UNITED STATES DISTRICT COURT CENTRAL DISTRICT OF...

US District Court Civil Docket as of September 24, 2019 Retrieved from the court on September 24, 2019

UNITED STATES DISTRICT COURT CENTRAL DISTRICT OF CALIFORNIA (Southern Division - Santa Ana)

CIVIL DOCKET FOR CASE #: 8:15-cv-00865-AG-SHK

HsingChing Hsu v. Puma Biotechnology, Inc. et al Assigned to: Judge Andrew J. Guilford Referred to: Magistrate Judge Shashi H. Kewalramani Related Cases: 8:18-cv-00236-AG-JCG

2:18-mc-00047-AG-SHK

2:18-cv-04802-AG-DFM

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

Date Filed: 06/03/2015 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question

Plaintiff

Hsingching Hsu Individually and on Behalf of all Others Similarly Situated

represented by Jennifer Pafiti Pomerantz LLP 1100 Glendon Avenue Suite 1557 Los Angeles, CA 90024 818-532-6499 Fax: 917-463-1044 Email: [email protected] LEAD ATTORNEY 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] LEAD ATTORNEY 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] LEAD ATTORNEY PRO HAC VICE

ATTORNEY TO BE NOTICED C Dov Berger Pomerantz LLP 600 Third Avenue 20th Floor New York, NY 10016 212-661-1100 Fax: 212-661-8665 Email: [email protected] TERMINATED: 08/07/2015 PRO HAC VICE ATTORNEY TO BE NOTICED Joseph Marco Janoski Gray Robbins Geller Rudman and Dowd LLP 655 West Broadway Suite 1900 San Diego, CA 92101 619-231-1058 Fax: 619-231-7423 Email: [email protected] TERMINATED: 02/10/2016 ATTORNEY TO BE NOTICED Tor Gronborg 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

Plaintiff

Norfolk County Council, as Administering Authority of the Norfolk Pension Fund

represented by Debashish Bakshi Robbins Geller Rudman and Dowd LLP 655 West Broadway Suite 1900 San Diego, CA 92101 619-231-1058 Fax: 619-231-7423 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Susannah R Conn Robbins Geller Rudman and Dowd LLP 655 West Broadway Suite 1900 San Diego, CA 92101 619-231-1058 Fax: 619-231-7423 Email: [email protected]

LEAD ATTORNEY ATTORNEY TO BE NOTICED Tor Gronborg (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Jason A Forge Robbins Geller Rudman and 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 Joseph Marco Janoski Gray (See above for address) ATTORNEY TO BE NOTICED Patrick Joseph Coughlin Robbins Geller Rudman and 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 Ting Hsiang Liu Robbins Geller Rudman and 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 Trig Randall Smith Robbins Geller Rudman and 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

V.

Movant

Ahmad Al-Mubaslat represented by Laurence M Rosen The Rosen Law Firm PA 355 South Grand Avenue Suite 2450 Los Angeles, CA 90071 213-785-2610 Fax: 213-226-4684 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Movant

AFSANEH AMIRABADI represented by Kolin Tang Shepherd Finkelman Miller and Shah LLP 1401 Dove Street Suite 540 Newport Beach, CA 92660 323-510-4060 Fax: 866-300-7367 Email: [email protected] ATTORNEY TO BE NOTICED Valerie L Chang-Russoniello Shepherd Finkelman Miller and Shah LLP 11755 Wilshire Boulevard 15th Floor Los Angeles, CA 90025 323-510-4060 Fax: 866-300-7367 Email: [email protected] TERMINATED: 08/12/2016 ATTORNEY TO BE NOTICED

Movant

Jason Green represented by 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] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Movant

Susan Nilipour represented by Jeremy A Lieberman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Movant

Soraya Nilipour represented by Jeremy A Lieberman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Movant

Pinakin Patel represented by Jeremy A Lieberman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Movant

Ruchir Patel represented by Jeremy A Lieberman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Movant

Norfolk County Council as Administering Authority of the Norfolk Pension Fund

represented by Darren J Robbins Robbins Geller Rudman and Dowd LLP 655 West Broadway Suite 1900 San Diego, CA 92101 619-231-1058 Fax: 619-231-7423 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Joseph Marco Janoski Gray (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Tor Gronborg (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Trig Randall Smith (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Tricia L McCormick Robbins Geller Rudman and Dowd LLP 655 West Broadway Suite 1900 San Diego, CA 92101 619-231-1058

Fax: 619-231-7423 Email: [email protected] TERMINATED: 08/15/2018 ATTORNEY TO BE NOTICED

V.

Defendant

Puma Biotechnology, Inc. represented by Amanda F Betsch Latham and Watkins LLP 12670 High Bluff Drive San Diego, CA 92130 858-523-5400 Fax: 858-523-5450 Email: [email protected] ATTORNEY TO BE NOTICED Andrew Clubok Latham and Watkins LLP 555 11th Street NW Suite 1000 Washington, DC 20004-1304 202-637-2200 Fax: 202-637-2201 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Colleen C Smith Latham and Watkins LLP 12670 High Bluff Drive San Diego, CA 92130 858-523-5400 Fax: 858-523-5450 Email: [email protected] ATTORNEY TO BE NOTICED Craig Edward TenBroeck Cooley LLP 4401 Eastgate Mall San Diego, CA 92121 858-550-6000 Fax: 858-550-6400 Email: [email protected] ATTORNEY TO BE NOTICED John Mark Pierce Pierce Bainbridge Beck Price and Hecht LLP 355 South Grand Ave., 44th Floor Los Angeles, CA 90071

213-262-9333 Fax: 213-279-2008 Email: [email protected] TERMINATED: 02/18/2016 Jordan Davisson Cook Latham and Watkins LLP 650 Town Center Drive 20th Floor Costa Mesa, CA 92626 714-540-1235 Fax: 714-755-8290 Email: [email protected] ATTORNEY TO BE NOTICED Koji F Fukumura Cooley LLP 4401 Eastgate Mall San Diego, CA 92121-1909 858-550-6000 Fax: 858-550-6420 Email: [email protected] ATTORNEY TO BE NOTICED Kristin Nicole Murphy Latham and Watkins LLP 650 Town Center Drive 20th Floor Costa Mesa, CA 92626 714-540-1235 Fax: 714-755-8290 Email: [email protected] ATTORNEY TO BE NOTICED Mary Kathryn Kelley Cooley LLP 4401 Eastgate Mall San Diego, CA 92121 858-550-6000 Fax: 858-550-6420 Email: [email protected] ATTORNEY TO BE NOTICED Meryn C N Grant Latham and Watkins LLP 505 Montgomery Street Suite 2000 San Francisco, CA 94111 415-391-0600 Fax: 415-395-8095 Email: [email protected] ATTORNEY TO BE NOTICED

Michael A Attanasio Cooley LLP 4401 Eastgate Mall San Diego, CA 92121 858-550-6000 Fax: 858-550-6420 Email: [email protected] ATTORNEY TO BE NOTICED Michele D Johnson Latham and Watkins LLP 650 Town Center Drive 20th Floor Costa Mesa, CA 92626-1925 714-540-1235 Fax: 714-755-8291 Email: [email protected] ATTORNEY TO BE NOTICED Ryan E Blair Cooley LLP 4401 Eastgate Mall San Diego, CA 92121 858-550-6000 Fax: 858-550-6240 Email: [email protected] ATTORNEY TO BE NOTICED Sarah A Tomkowiak Latham and Watkins LLP 555 Eleventh Street NW Suite 1000 Washington, DC 20004 202-637-2200 Fax: 202-637-2201 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

Defendant

Alan H. Auerbach represented by Amanda F Betsch (See above for address) ATTORNEY TO BE NOTICED Andrew Clubok (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Colleen C Smith (See above for address) ATTORNEY TO BE NOTICED

Craig Edward TenBroeck (See above for address) ATTORNEY TO BE NOTICED John Mark Pierce (See above for address) TERMINATED: 02/18/2016 Jordan Davisson Cook (See above for address) ATTORNEY TO BE NOTICED Koji F Fukumura (See above for address) ATTORNEY TO BE NOTICED Kristin Nicole Murphy (See above for address) ATTORNEY TO BE NOTICED Mary Kathryn Kelley (See above for address) ATTORNEY TO BE NOTICED Meryn C N Grant (See above for address) ATTORNEY TO BE NOTICED Michael A Attanasio (See above for address) ATTORNEY TO BE NOTICED Michele D Johnson (See above for address) ATTORNEY TO BE NOTICED Ryan E Blair (See above for address) ATTORNEY TO BE NOTICED Sarah A Tomkowiak (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Defendant

Charles R. Eyler represented by Amanda F Betsch (See above for address) ATTORNEY TO BE NOTICED

Andrew Clubok (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Colleen C Smith (See above for address) ATTORNEY TO BE NOTICED Craig Edward TenBroeck (See above for address) ATTORNEY TO BE NOTICED John Mark Pierce (See above for address) TERMINATED: 02/18/2016 Koji F Fukumura (See above for address) ATTORNEY TO BE NOTICED Kristin Nicole Murphy (See above for address) ATTORNEY TO BE NOTICED Mary Kathryn Kelley (See above for address) ATTORNEY TO BE NOTICED Meryn C N Grant (See above for address) ATTORNEY TO BE NOTICED Michael A Attanasio (See above for address) ATTORNEY TO BE NOTICED Michele D Johnson (See above for address) ATTORNEY TO BE NOTICED Ryan E Blair (See above for address) ATTORNEY TO BE NOTICED Sarah A Tomkowiak (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

ThirdParty Defendant

Mintz Levin Cohn Feris Glovsky and Popeo

represented by Eric J Eastham Mintz Levin Cohn Ferris Glovsky and Popeo PC 2029 Century Park East Suite 3100 Los Angeles, CA 90067 310-586-3200 Fax: 310-586-3202 Email: [email protected] ATTORNEY TO BE NOTICED John F Sylvia Mintz Levin Cohn Ferris Glovsky and Popeo PC One Financial Center Boston, MA 02111 617-542-6000 Fax: 617-542-2241 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

Special Master

The Honorable Rosalyn Chapman (Ret.)

represented by Rosalyn Chapman (Ret.) JAMS 555 West 5th Street 32nd Floor Los Angeles, CA 90013 213-253-9740 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

V.

Interested Party

Merrill Lynch, Pierce, Fenner & Smith Incorporated

represented by John Warren Rissier Morgan Lewis and Bockius LLP 300 South Grand Avenue 22nd Floor Los Angeles, CA 90071-3132 213-680-6860 Fax: 213-612-2501 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Lucy Han Wang Morgan Lewis and Bockius LLP Spear Street Tower One Market

San Francisco, CA 94105-1596 415-442-1000 Fax: 415-442-1001 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Charlene Sachi Shimada Morgan Lewis and Bockius LLP One Market Street Spear Street Tower San Francisco, CA 94105 (415) 442-1000 Fax: (415) 442-1001 Email: [email protected] ATTORNEY TO BE NOTICED

Interested Party

J.P. Morgan Securities LLC represented by John Warren Rissier (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Lucy Han Wang (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Charlene Sachi Shimada (See above for address) ATTORNEY TO BE NOTICED

Interested Party

Citigroup Global Markets Inc. represented by John Warren Rissier (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Lucy Han Wang (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Charlene Sachi Shimada (See above for address) ATTORNEY TO BE NOTICED

Interested Party

Leerink Partners LLC represented by John Warren Rissier (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Lucy Han Wang (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Charlene Sachi Shimada (See above for address) ATTORNEY TO BE NOTICED

Interested Party

Cowen and Company, LLC represented by Lucy Han Wang (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Charlene Sachi Shimada (See above for address) ATTORNEY TO BE NOTICED

Interested Party

UBS Securities LLC represented by John Warren Rissier (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Lucy Han Wang (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Charlene Sachi Shimada (See above for address) ATTORNEY TO BE NOTICED

Interested Party

Gilardi & Co. LLC Notice Administrator

represented by Gilardi & Co. LLC Email: [email protected] PRO SE

Interested Party

Pfizer Inc.,

Interested Party

Eric Stern represented by Christopher Thomas Casamassima Wilmer Cutler Pickering Hale and Dorr

LLP 350 South Grand Avenue Suite 2100 Los Angeles, CA 90071 213-443-5300 Fax: 213-443-5400 Email: [email protected] ATTORNEY TO BE NOTICED Lorraine Echavarria Wilmer Cutler Pickering Hale and Dorr LLP 350 South Grand Avenue Suite 2100 Los Angeles, CA 90071 213-443-5325 Fax: 213-443-5400 Email: [email protected] ATTORNEY TO BE NOTICED

Interested Party

Skye Drynan represented by Christopher Thomas Casamassima (See above for address) ATTORNEY TO BE NOTICED Lorraine Echavarria (See above for address) ATTORNEY TO BE NOTICED

Date Filed # Docket Text

06/03/2015 1 COMPLAINT Receipt No: 0973-15829761 - Fee: $400. (Attachments: # 1 Declaration Certification of Plaintiff, # 2 Supplement Schedule A) (Attorney Jennifer Pafiti added to party Hsingching Hsu(pty:pla))(Pafiti, Jennifer) (Entered: 06/03/2015)

06/03/2015 2 CIVIL COVER SHEET filed by Plaintiff Hsingching Hsu. (Pafiti, Jennifer) (Entered: 06/03/2015)

06/03/2015 3 Request for Clerk to Issue Summons on Complaint (Attorney Civil Case Opening) 1 Hsingching Hsu. (Pafiti, Jennifer) (Entered: 06/03/2015)

06/03/2015 4 NOTICE filed by of Interested Parties Hsingching Hsu. CERTIFICATION AND NOTICE OF INTERESTED PARTIES (Pafiti, Jennifer) (Entered: 06/03/2015)

06/04/2015 5 NOTICE OF ASSIGNMENT to District Judge Andrew J. Guilford and Magistrate Judge Jay C. Gandhi. (jtil) (Entered: 06/04/2015)

06/04/2015 6 NOTICE TO PARTIES OF COURT-DIRECTED ADR PROGRAM filed. (jtil) (Entered: 06/04/2015)

06/04/2015 7 NOTICE OF FILING FEE DUE on Pro Hac Vice Application mailed to Jeremy A. Lieberman for Plaintiff Hsingching Hsu 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. (jtil) (Entered: 06/04/2015)

06/04/2015 8 NOTICE OF FILING FEE DUE on Pro Hac Vice Application mailed to C. Dov Berger for Plaintiff Hsingching Hsu 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. (jtil) (Entered: 06/04/2015)

06/04/2015 9 NOTICE OF FILING FEE DUE on Pro Hac Vice Application mailed to Patrick V. Dahlstrom for Plaintiff Hsingching Hsu 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. (jtil) (Entered: 06/04/2015)

06/04/2015 10 21 DAY Summons Issued re Complaint (Attorney Civil Case Opening) 1 as to Defendants Alan H. Auerbach, Charles R. Eyler and Puma Biotechnology, Inc. (jtil) (Entered: 06/04/2015)

06/11/2015 11 APPLICATION for attorney Patrick V. Dahlstrom to Appear Pro Hac Vice(PHV Fee of $325 receipt number 0973-15885604 paid.) filed by Plaintiff Hsingching Hsu. (Attachments: # 1 Proposed Order Proposed Order, # 2 Exhibit Certificate of Good Standing)(Pafiti, Jennifer) (Entered: 06/11/2015)

06/12/2015 12 ORDER ON APPLICATION OF NON-RESIDENT ATTORNEY TO APPEAR IN A SPECIFIC CASE PRO HAC VICE by Judge Andrew J. Guilford: granting 11 Application to Appear Pro Hac Vice by Attorney Patrick V. Dahlstrom on behalf of Plaintiff, designating Jennifer Pafiti as local counsel. (lt) (Entered: 06/12/2015)

06/24/2015 13 APPLICATION for to Appear Pro Hac Vice (PHV Fee of $325 receipt number 0973-15965393 paid.) filed by plaintiff Hsingching Hsu. (Attachments: # 1 Proposed Order, # 2 Supplement Certificate of Good Standing) (Pafiti, Jennifer) (Entered: 06/24/2015)

06/25/2015 14 APPLICATION for attorney Jeremy A. Lieberman to Appear Pro Hac Vice (PHV Fee of $325 receipt number 0973-15973871 paid.) filed by plaintiff Hsingching Hsu. (Attachments: # 1 Proposed Order, # 2 Supplement Certificate of Good Standing) (Pafiti, Jennifer) (Entered: 06/25/2015)

06/25/2015 15 ORDER ON APPLICATION OF NON-RESIDENT ATTORNEY TO APPEAR IN A SPECIFIC CASE PRO HAC VICE by Judge Andrew J. Guilford: granting 14 APPLICATION to Appear Pro Hac Vice by Attorney Jeremy A. Lieberman on behalf of Plaintiff, designating Jennifer Pafiti as local counsel. (lt) (Entered: 06/26/2015)

06/26/2015 16 ORDER ON APPLICATION OF NON-RESIDENT ATTORNEY TO APPEAR IN A SPECIFIC CASE PRO HAC VICE by Judge Andrew J. Guilford: granting 13 APPLICATION to Appear Pro Hac Vice by Attorney C. Dov Berger on behalf of Plaintiff, designating Jennifer Pafiti as local counsel. (lt) (Entered: 06/29/2015)

07/23/2015 17 WAIVER OF SERVICE Returned Executed filed by Plaintiff Hsingching Hsu. Waiver of Service signed by Andrew Gray. (Lieberman, Jeremy) (Entered: 07/23/2015)



08/03/2015 20 NOTICE OF MOTION AND MOTION for Appointment of Counsel The Rosen Law Firm and Appointment of Lead Plaintiff filed by movant Ahmad Al-Mubaslat. Motion set for hearing on 9/14/2015 at 10:00 AM before Judge Andrew J. Guilford. (Attachments: # 1 Proposed Order) (Attorney Laurence M Rosen added to party Ahmad Al-Mubaslat(pty:mov)) (Rosen, Laurence) (Entered: 08/03/2015)

08/03/2015 21 MEMORANDUM in Support of NOTICE OF MOTION AND MOTION for Appointment of Counsel The Rosen Law Firm and Appointment of Lead Plaintiff 20 filed by Movant Ahmad Al-Mubaslat. (Rosen, Laurence) (Entered: 08/03/2015)

08/03/2015 22 DECLARATION of Laurence Rosen in support of NOTICE OF MOTION AND MOTION for Appointment of Counsel The Rosen Law Firm and Appointment of Lead Plaintiff 20 filed by Movant Ahmad Al-Mubaslat. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(Rosen, Laurence) (Entered: 08/03/2015)

08/03/2015 23 NOTICE OF MOTION AND MOTION for Appointment of Counsel MOTION FOR APPOINTMENT AS LEAD PLAINTIFF AND APPROVAL OF SELECTION OF COUNSEL filed by Movant AFSANEH AMIRABADI. Motion set for hearing on 8/31/2015 at 10:00 AM before Judge Andrew J. Guilford. (Attachments: # 1 Memorandum OF POINTS AND AUTHORITIES IN SUPPORT OF MOTION OF AFSANEH AMIRABADI FOR APPOINTMENT AS LEAD PLAINTIFF AND APPROVAL OF SELECTION OF COUNSEL, # 2 Declaration of VALERIE L. CHANG, # 3 Exhibit 1, # 4 Exhibit 2, # 5 Exhibit 3, # 6 Exhibit 4, # 7 Exhibit 5, # 8 Proposed Order, # 9 Proof of Service) (Attorney Valerie L Chang added to party AFSANEH AMIRABADI(pty:mov)) (Chang, Valerie) (Entered: 08/03/2015)

08/03/2015 24 NOTICE of Interested Parties filed by Movant AFSANEH AMIRABADI, identifying Afsaneh Amirabadi. (Chang, Valerie) (Entered: 08/03/2015)

08/03/2015 25 NOTICE OF MOTION AND MOTION for Appointment of Counsel and Appointment as Lead Plaintiff filed by Movant Jason Green. Motion set for hearing on 8/31/2015 at 10:00 AM before Judge Andrew J. Guilford. (Attachments: # 1 Proposed Order) (Attorney Robert Vincent Prongay added to party Jason Green(pty:mov)) (Prongay, Robert) (Entered: 08/03/2015)

08/03/2015 26 MEMORANDUM in Support of NOTICE OF MOTION AND MOTION for Appointment of Counsel and Appointment as Lead Plaintiff 25 filed by Movant Jason Green. (Prongay, Robert) (Entered: 08/03/2015)

08/03/2015 27 DECLARATION of Robert V. Prongay in Support of NOTICE OF MOTION AND MOTION for Appointment of Counsel and Appointment as Lead Plaintiff 25 filed by Movant Jason Green. (Attachments: # 1 Exhibit A - Press Release, # 2 Exhibit B - Movant Certification, # 3 Exhibit C - Loss Chart, # 4 Exhibit D - Firm Resume)(Prongay, Robert) (Entered: 08/03/2015)

08/03/2015 28 NOTICE of Interested Parties filed by Movant Jason Green, (Prongay, Robert) (Entered: 08/03/2015)

08/03/2015 29 NOTICE Susan Nilipour, Soraya Nilipour, Pinakin Patel, Ruchir Patel. NOTICE OF INTERESTED PARTIES (Lieberman, Jeremy) (Entered: 08/03/2015)

08/03/2015 30 Notice of Appearance or Withdrawal of Counsel: for attorney Tricia L McCormick counsel for Movant Norfolk County Council as Administering Authority of the Norfolk Pension Fund. Adding Tricia L. McCormick as counsel of record for Norfolk County Council as Administering Authority of the Norfolk Pension Fund for the reason indicated in the G-123 Notice. Filed by lead plaintiff movant Norfolk County Council as Administering Authority of the Norfolk Pension Fund. (Attorney Tricia L McCormick added to party Norfolk County Council as Administering Authority of the Norfolk Pension Fund(pty:mov))(McCormick, Tricia) (Entered: 08/03/2015)

08/03/2015 31 NOTICE OF MOTION AND MOTION for Appointment of Counsel and for Appointment as Lead Plaintiff filed by lead plaintiff movant Norfolk County Council as Administering Authority of the Norfolk Pension Fund. Motion set for hearing on 9/14/2015 at 10:00 AM before Judge Andrew J. Guilford. (Attachments: # 1 Proposed Order) (McCormick, Tricia) (Entered: 08/03/2015)

08/03/2015 32 NOTICE OF MOTION AND MOTION for Appointment of Counsel NOTICE OF MOTION AND MOTION BY THE NILIPOUR AND PATEL FAMILIES FOR APPPOINTMENT AS LEAD PLAINTIFF AND APPROVAL OF COUNSEL Soraya Nilipour, Susan Nilipour, Pinakin Patel, Ruchir Patel. Motion set for hearing on 8/31/2015 at 10:00 AM before Judge Andrew J. Guilford. (Attachments: # 1 Proposed Order) (Attorney Jeremy A Lieberman added to party Soraya Nilipour(pty:bkmov), Attorney Jeremy A Lieberman added to party Susan Nilipour(pty:bkmov), Attorney Jeremy A Lieberman added to party Pinakin Patel(pty:bkmov), Attorney Jeremy A Lieberman added to party Ruchir Patel(pty:bkmov)) (Lieberman, Jeremy) (Entered: 08/03/2015)

08/03/2015 33 MEMORANDUM in Support of NOTICE OF MOTION AND MOTION for Appointment of Counsel and for Appointment as Lead Plaintiff 31 filed by Movant Norfolk County Council as Administering Authority of the Norfolk Pension Fund. (McCormick, Tricia) (Entered: 08/03/2015)

08/03/2015 34 MEMORANDUM in Support of NOTICE OF MOTION AND MOTION for Appointment of Counsel NOTICE OF MOTION AND MOTION BY THE NILIPOUR AND PATEL FAMILIES FOR APPPOINTMENT AS LEAD PLAINTIFF AND APPROVAL OF COUNSEL 32 filed by Movants Soraya Nilipour, Susan Nilipour, Pinakin Patel, Ruchir Patel. (Lieberman, Jeremy) (Entered: 08/03/2015)

08/03/2015 35 DECLARATION of Tricia L. McCormick in support of NOTICE OF MOTION AND MOTION for Appointment of Counsel and for Appointment as Lead Plaintiff 31 filed by Movant Norfolk County Council as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(McCormick, Tricia) (Entered: 08/03/2015)

08/03/2015 36 DECLARATION in Support of NOTICE OF MOTION AND MOTION for Appointment of Counsel NOTICE OF MOTION AND MOTION BY THE NILIPOUR AND PATEL FAMILIES FOR APPPOINTMENT AS LEAD PLAINTIFF AND APPROVAL OF COUNSEL 32 filed by Movants Soraya Nilipour, Susan Nilipour, Pinakin Patel, Ruchir Patel. (Attachments: # 1 Exhibit A - Press Release, # 2 Exhibit B - Certifications, # 3 Exhibit C - Loss Chart, # 4 Exhibit D - Firm Resume)(Lieberman, Jeremy) (Entered: 08/03/2015)

08/03/2015 37 CERTIFICATE of Interested Parties filed by lead plaintiff movant Norfolk County Council as Administering Authority of the Norfolk Pension Fund, identifying Norfolk County Council as Administering Authority of the Norfolk Pension Fund. (McCormick, Tricia) (Entered: 08/03/2015)

08/04/2015 38 NOTICE OF NON-OPPOSITION to NOTICE OF MOTION AND MOTION for Appointment of Counsel NOTICE OF MOTION AND MOTION BY THE NILIPOUR AND PATEL FAMILIES FOR APPPOINTMENT AS LEAD PLAINTIFF AND APPROVAL OF COUNSEL 32 , NOTICE OF MOTION AND MOTION for Appointment of Counsel and for Appointment as Lead Plaintiff 31 , NOTICE OF MOTION AND MOTION for Appointment of Counsel The Rosen Law Firm and Appointment of Lead Plaintiff 20 , NOTICE OF MOTION AND MOTION for Appointment of Counsel MOTION FOR APPOINTMENT AS LEAD PLAINTIFF AND APPROVAL OF SELECTION OF COUNSEL 23 , NOTICE OF MOTION AND MOTION for Appointment of Counsel and Appointment as Lead Plaintiff 25 filed by Movant Jason Green. (Prongay, Robert) (Entered: 08/04/2015)

08/07/2015 39 Joint STIPULATION for Order Regarding Scheduling filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Proposed Order)(Attorney Michele D Johnson added to party Alan H. Auerbach(pty:dft), Attorney Michele D Johnson added to party Charles R. Eyler(pty:dft), Attorney Michele D Johnson added to party Puma Biotechnology, Inc.(pty:dft))(Johnson, Michele) (Entered: 08/07/2015)

08/07/2015 40 CERTIFICATE of Interested Parties filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., (Johnson, Michele) (Entered: 08/07/2015)

08/07/2015 41 CORPORATE DISCLOSURE STATEMENT filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc. identifying Puma Biotechnology, Inc. as Corporate Parent. (Johnson, Michele) (Entered: 08/07/2015)

08/07/2015 42 NOTICE of Appearance filed by attorney Michele D Johnson on behalf of Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc. (Johnson, Michele) (Entered: 08/07/2015)

08/07/2015 43 ORDER by Judge Andrew J. Guilford: Granting Stipulation Regarding Scheduling 39 (mt) (Entered: 08/07/2015)

08/10/2015 44 APPLICATION for attorney Sarah A. Greenfield to Appear Pro Hac Vice (PHV Fee of $325 receipt number 0973-16234304 paid.) filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 08/10/2015)

08/10/2015 45 NOTICE OF LODGING filed re (Proposed Order) re APPLICATION for attorney Sarah A. Greenfield to Appear Pro Hac Vice (PHV Fee of $325 receipt number 0973-16234304 paid.) 44 (Attachments: # 1 Proposed Order on Application of Non-Resident Attorney to Appear in a Specific Case Pro Hac Vice)(Johnson, Michele) (Entered: 08/10/2015)

08/10/2015 46 Notice of Appearance or Withdrawal of Counsel: for attorney C Dov Berger counsel for Plaintiff Hsingching Hsu. C. Dov Berger is no longer counsel of record for the aforementioned party in this case for the reason indicated in the G-123 Notice. Filed by Plaintiff HSINGCHING HSU. (Berger, C) (Entered: 08/10/2015)

08/10/2015 47 MEMORANDUM in Opposition to NOTICE OF MOTION AND MOTION for Appointment of Counsel NOTICE OF MOTION AND MOTION BY THE NILIPOUR AND PATEL FAMILIES FOR APPPOINTMENT AS LEAD PLAINTIFF AND APPROVAL OF COUNSEL 32 , NOTICE OF MOTION AND MOTION for Appointment of Counsel The Rosen Law Firm and Appointment of Lead Plaintiff 20 , NOTICE OF MOTION AND MOTION for Appointment of Counsel MOTION FOR APPOINTMENT AS LEAD PLAINTIFF AND APPROVAL OF SELECTION OF COUNSEL 23 , NOTICE OF MOTION AND MOTION for Appointment of Counsel and Appointment as Lead Plaintiff 25 filed by Movant Norfolk County Council as Administering Authority of the Norfolk Pension Fund. (McCormick, Tricia) (Entered: 08/10/2015)

08/10/2015 48 ORDER ON APPLICATION OF NON-RESIDENT ATTORNEY TO APPEAR IN A SPECIFIC CASE PRO HAC VICE by Judge Andrew J. Guilford: granting 44 APPLICATION to Appear Pro Hac Vice by Attorney Sarah A. Greenfield on behalf of Defendants Alan H. Auerbach, Charles R. Eyler and Puma Biotechnology, Inc., designating Michele D. Johnson as local counsel. (lt) (Entered: 08/11/2015)

08/18/2015 49 NOTICE OF NON-OPPOSITION to Competing Lead Plaintiff Motion filed by Movant Ahmad Al-Mubaslat. (Rosen, Laurence) (Entered: 08/18/2015)

08/25/2015 50 **CORRECT DOCUMENT ATTACHED TO DOCKET ENTRY #51** REPLY in Further Support of NOTICE OF MOTION AND MOTION for Appointment of Counsel and for Appointment as Lead Plaintiff 31 filed by Movant Norfolk County Council as Administering Authority of the Norfolk Pension Fund. (McCormick, Tricia) Modified on 8/26/2015 (lwag). (Entered: 08/25/2015)

08/25/2015 52 MINUTE ORDER IN CHAMBERS by Judge Andrew J. Guilford: ORDER ADVANCING HEARING ON MOTIONS. ( Motions reset for hearing on 8/31/2015 at 10:00 AM before Judge Andrew J. Guilford.) The Court ADVANCES the hearing on docket entries 20 and 31 to August 31, 2015 at 10:00a.m. (twdb) (Entered: 08/26/2015)

08/26/2015 51 REPLY in Further Support of NOTICE OF MOTION AND MOTION for Appointment of Counsel and for Appointment as Lead Plaintiff 31 CORRECTED filed by Movant Norfolk County Council as Administering Authority of the Norfolk Pension Fund. (McCormick, Tricia) (Entered: 08/26/2015)

08/27/2015 53 Notice of Withdrawal of Motion for Appointment of Counsel,, 32 Soraya Nilipour, Susan Nilipour, Pinakin Patel, Ruchir Patel. (Lieberman, Jeremy) (Entered: 08/27/2015)

08/31/2015 54 MINUTES (IN CHAMBERS) by Judge Andrew J. Guilford: granting 31 MOTION for Appointment of Counsel ; denying 32 MOTION for Appointment of Counsel ; denying 20 MOTION for Appointment of Counsel ; denying 23 MOTION for Appointment of Counsel ; denying 25 MOTION for Appointment of Counsel. The Court GRANTS Norfolk Pension Funds motion and DENIES all other pending motions to appoint lead plaintiff and to accept class counsel. (twdb) (Entered: 09/01/2015)

08/31/2015 55 MINUTES OF MOTIONS HEARING held before Judge Andrew J. Guilford: GRANTING Norfolk Pension Funds motion to be appointed lead counsel and to accept Robbins Geller as Class Counsel and DENYING all other pending motions to appoint lead plaintiff and accept class counsel.Court Reporter: Miriam Baird. (lb) (Entered: 09/02/2015)

09/08/2015 56 NOTICE of Appearance filed by attorney Trig Randall Smith on behalf of Movant Norfolk County Council as Administering Authority of the Norfolk Pension Fund (Attorney Trig Randall Smith added to party Norfolk County Council as Administering Authority of the Norfolk Pension Fund(pty:mov))(Smith, Trig) (Entered: 09/08/2015)

09/08/2015 57 NOTICE of Appearance filed by attorney Tor Gronborg on behalf of Movant Norfolk County Council as Administering Authority of the Norfolk Pension Fund (Attorney Tor Gronborg added to party Norfolk County Council as Administering Authority of the Norfolk Pension Fund(pty:mov))(Gronborg, Tor) (Entered: 09/08/2015)

10/16/2015 58 CONSOLIDATED COMPLAINT for Violations of the Federal Securities Laws related to: 1 Complaint (Attorney Civil Case Opening), filed by lead plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund(Attorney Trig Randall Smith added to party Norfolk County Council, as Administering Authority of the Norfolk Pension Fund(pty:pla))(Smith, Trig) (Entered: 10/16/2015)

10/21/2015 59 Notice of Appearance or Withdrawal of Counsel: for attorney Colleen C Smith counsel for Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. Adding Colleen C. Smith as counsel of record for Puma Biotechnology, Inc., Alan H. Auerbach, and Charles R. Eyler for the reason indicated in the G-123 Notice. Filed by Defendants Puma Biotechnology, Inc., Alan H. Auerbach, and

Charles R. Eyler. (Attorney Colleen C Smith added to party Alan H. Auerbach(pty:dft), Attorney Colleen C Smith added to party Charles R. Eyler(pty:dft), Attorney Colleen C Smith added to party Puma Biotechnology, Inc.(pty:dft))(Smith, Colleen) (Entered: 10/21/2015)

11/30/2015 60 NOTICE OF MOTION AND MOTION to Dismiss Case filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. Motion set for hearing on 3/14/2016 at 10:00 AM before Judge Andrew J. Guilford. (Attachments: # 1 Declaration Colleen Smith, # 2 Exhibit 1-5, # 3 Exhibit 6, # 4 Exhibit 7-13, # 5 Exhibit 14, # 6 Exhibit 15-21, # 7 Exhibit 22-28, # 8 Appendix A, # 9 Supplement Request for Judicial Notice, # 10 Proposed Order) (Johnson, Michele) (Entered: 11/30/2015)

12/01/2015 61 ORDER RE EARLY MEETING OF PARTIES AND SCHEDULING CONFERENCE: Scheduling Conference set for 2/1/2016 at 9:00 am. (lb) (Entered: 12/01/2015)

12/10/2015 62 [IN CHAMBERS] SCHEDULING NOTICE: Scheduling Conference set for 2/1/2016 at 9:00 a.m. is ordered VACATED. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (lb) TEXT ONLY ENTRY (Entered: 12/10/2015)

12/29/2015 63 Notice of Appearance or Withdrawal of Counsel: for attorney Joseph Marco Janoski Gray counsel for Plaintiff Hsingching Hsu. Adding Joseph Marco Janoski Gray ("Marco Janoski") as counsel of record for Plaintiff for the reason indicated in the G-123 Notice. Filed by Plaintiff Hsingching Hsu. (Attorney Joseph Marco Janoski Gray added to party Hsingching Hsu(pty:pla))(Gray, Joseph) (Entered: 12/29/2015)

01/14/2016 64 MEMORANDUM in Opposition to NOTICE OF MOTION AND MOTION to Dismiss Case 60 Lead Plaintiff's Opposition to Defendants' Motion to Dismiss the Consolidated Complaint filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attorney Tor Gronborg added to party Norfolk County Council, as Administering Authority of the Norfolk Pension Fund(pty:pla))(Gronborg, Tor) (Entered: 01/14/2016)

01/14/2016 65 MEMORANDUM in Opposition to NOTICE OF MOTION AND MOTION to Dismiss Case 60 Lead Plaintiff's Opposition to Defendants' Request for Judicial Notice filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Gronborg, Tor) (Entered: 01/14/2016)

01/14/2016 66 DECLARATION of J. Marco Janoski Gray in opposition to NOTICE OF MOTION AND MOTION to Dismiss Case 60 Declaration of J. Marco Janoski Gray in Support of: (1) Lead Plaintiff's Opposition to Defendants' Motion to Dismiss the Consolidated Complaint; and (2) Lead Plaintiff's Opposition to Defendants' Request for Judicial Notice filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G)(Gronborg, Tor) (Entered: 01/14/2016)

02/10/2016 67 NOTICE OF ERRATA filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. correcting Notice of Appearance or Withdrawal of Counsel (G-123), 63 for Attorney Joseph Marco Janoski Gray (Gray, Joseph) (Entered: 02/10/2016)

02/16/2016 68 REPLY Support NOTICE OF MOTION AND MOTION to Dismiss Case 60 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Defendants' Reply In Support of Request for Judicial Notice in Support of Motion to Dismiss, # 2 Declaration Supplemental Declaration of Colleen C. Smith in Support of Defendants' Reply in Support of Motion to Dismiss)(Johnson, Michele) (Entered: 02/16/2016)

02/18/2016 69 Notice of Appearance or Withdrawal of Counsel filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc. of John Pierce (Johnson, Michele) (Entered: 02/18/2016)

02/24/2016 70 EX PARTE APPLICATION for Leave to file Lead Plaintiff's Sur-Reply in Response to Defendants' Reply in Support of Request for Judicial Notice filed by Lead Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order, # 2 Proposed Sur-Reply) (Gray, Joseph) (Entered: 02/24/2016)

02/25/2016 71 Opposition re: EX PARTE APPLICATION for Leave to file Lead Plaintiff's Sur-Reply in Response to Defendants' Reply in Support of Request for Judicial Notice 70 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 02/25/2016)

02/25/2016 72 MINUTES (IN CHAMBERS) by Judge Andrew J. Guilford Denying Emergency Application 70 . (nbo) (Entered: 02/25/2016)

03/14/2016 73 MINUTES RE: Defendants' Motion to Dismiss the Consolidated Complaint 60 held before Judge Andrew J. Guilford: Cause is called for hearing and counsel make their appearances. The matter is argued and taken under submission.Court Reporter: Miriam Baird. (lwag) (Entered: 03/18/2016)

08/12/2016 74 Notice of Appearance or Withdrawal of Counsel: for attorney Kolin Tang counsel for Movant AFSANEH AMIRABADI. Adding Kolin C. Tang as counsel of record for Movant Afsaneh Amirabadi for the reason indicated in the G-123 Notice. Filed by Attorney Kolin Tang. (Attorney Kolin Tang added to party AFSANEH AMIRABADI(pty:mov))(Tang, Kolin) (Entered: 08/12/2016)

08/12/2016 75 Notice of Appearance or Withdrawal of Counsel: for attorney Valerie L Chang counsel for Movant AFSANEH AMIRABADI. Valerie L. Chang is no longer counsel of record for the aforementioned party in this case for the reason indicated in the G-123 Notice. Filed by Attorney Valerie L. Chang. (Chang, Valerie) (Entered: 08/12/2016)

09/30/2016 76 ORDER Denying Motion to Dismiss 60 by Judge Andrew J. Guilford: The Court DENIES the Motion to Dismiss. See document for further information. (lwag) (Entered: 09/30/2016)

10/07/2016 77 NOTICE of Appearance filed by attorney Susannah R Conn on behalf of Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund (Attorney Susannah R Conn added to party Norfolk County Council, as Administering Authority of the Norfolk Pension Fund(pty:pla))(Conn, Susannah) (Entered: 10/07/2016)

10/12/2016 78 STIPULATION Extending Time to Answer the complaint as to Alan H. Auerbach answer now due 11/14/2016; Puma Biotechnology, Inc. answer now due 11/14/2016; Charles R. Eyler answer now due 11/14/2016, re Consolidated Complaint, 58 filed by Defendants Alan H. Auerbach; Puma Biotechnology, Inc.; Charles R. Eyler. (Attachments: # 1 Proposed Order Granting Stipulation to Extend Time to Respond to Consolidated Complaint)(Johnson, Michele) (Entered: 10/12/2016)

10/12/2016 79 ORDER RE EARLY MEETING OF PARTIES AND SCHEDULING CONFERENCE: Scheduling Conference set for 12/5/2016 at 9:00 am. (lb) (Entered: 10/12/2016)

10/31/2016 80 STIPULATION for Discovery as to Establishing Protocol for Production of Documents filed by Lead Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order)(Gronborg, Tor) (Entered: 10/31/2016)

10/31/2016 81 JOINT REPORT of Discovery Plan Pursuant to Federal Rules of Civil Procedure 26(f) and Local Rule 26-1 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Gronborg, Tor) (Entered: 10/31/2016)

11/14/2016 82 ANSWER to Consolidated Complaint, 58 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc..(Johnson, Michele) (Entered: 11/14/2016)

11/29/2016 83 STIPULATION for Protective Order filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc..(Smith, Colleen) (Entered: 11/29/2016)

12/05/2016 84 MINUTES OF Scheduling Conference held: Discovery cut-off 8/6/2018. Final Pretrial Conference set for 10/22/2018 at 8:30 am. Jury Trial set for 11/6/2018 at 9:00 am. Court Reporter: Miriam Baird. (lb) (Entered: 12/05/2016)

12/05/2016 85 SCHEDULING ORDER SPECIFYING PROCEDURES: Discovery cut-off 8/6/2018. Final Pretrial Conference set for 10/22/2018 at 8:30 am. Jury Trial set for 11/6/2018 at 9:00 am. (lb) (Entered: 12/05/2016)

12/06/2016 86 STIPULATED PROTECTIVE ORDER by Magistrate Judge Jay C. Gandhi re Stipulation for Protective Order 83 . (kh) (Entered: 12/06/2016)

12/19/2016 87 STIPULATION for Order Supplementing the December 5, 2016 Scheduling Order filed by Lead Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund.(Gronborg, Tor) (Entered: 12/19/2016)

12/21/2016 88 ORDER Supplementing the December 5, 2016 Scheduling Order by Judge Andrew J. Guilford: Accordingly, the Court approves the following supplemental schedule: See document for further dates and information. (lwag) (Entered: 12/21/2016)

12/22/2016 89 NOTICE OF MOTION AND MOTION for Order for Establishing an Informal Discovery Dispute Protocol filed by Lead Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. Motion set for hearing on 1/17/2017 at 10:00 AM before Judge Andrew J. Guilford. (Attachments: # 1 Proposed Order) (Gray, Joseph) (Entered: 12/22/2016)

12/27/2016 90 Amended NOTICE OF MOTION AND MOTION to Supplement the December 5, 2016 Scheduling Order and Establish an Informal Discovery Dispute Protocol filed by Lead Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. Motion set for hearing on 1/23/2017 at 10:00 AM before Judge Andrew J. Guilford. (Attachments: # 1 Proposed Order) (Gray, Joseph) (Entered: 12/27/2016)

12/30/2016 91 NOTICE OF NON-OPPOSITION to Amended NOTICE OF MOTION AND MOTION to Supplement the December 5, 2016 Scheduling Order and Establish an Informal Discovery Dispute Protocol 90 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 12/30/2016)

01/12/2017 92 MINUTES (IN CHAMBERS)by Judge Andrew J. Guilford: Denying Motion Regarding Discovery Protocol without Prejudice re 89 , 90 . This matter is appropriate for resolution without oral argument. See Fed. R. Civ. P. 78(b). The Court VACATES the January 23, 2017 hearing. Because certain pre-trial matters are better left to resolution by a magistrate judge in the first instance, see 28 U.S.C. § 636; C.D. Cal. L.R. 72; General Order No. 05-07, the Court DENIES Hsu's motion WITHOUT PREJUDICE. (Dkt. Nos. 89, 90.) Hsu may choose tore-file the motion, or the parties may choose to file a joint stipulation, before Judge Ghandi. This Court fully authorizes Judge Ghandi to establish any discovery protocol he wishes. (mba) (Entered: 01/12/2017)

01/12/2017 93 ORDER ESTABLISHING AN INFORMAL DISCOVERY DISPUTE PROTOCOL by Magistrate Judge Jay C. Gandhi, re Motion 89 , Motion to Supplement 90 . (kh) (Entered: 01/12/2017)

01/17/2017 94 REQUEST to Compel Answers to Interrogatories of Defendants filed by Lead Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Gronborg, Tor) (Entered: 01/17/2017)

01/24/2017 95 Opposition Opposition re: REQUEST to Compel Answers to Interrogatories of Defendants 94 Puma Biotechnology, Alan Auerbach, and Charles Eyler filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 01/24/2017)

01/27/2017 96 REPLY filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund to Objection/Opposition (Motion related), 95 , REQUEST to Compel Answers to Interrogatories of Defendants 94 (Gronborg, Tor) (Entered: 01/27/2017)

01/30/2017 97 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: Reply, 96 . The following error(s) was found: Title page is missing. 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. (dv) (Entered: 01/30/2017)

02/14/2017 98 NOTICE of Appearance filed by attorney Debashish Bakshi on behalf of Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund (Attorney Debashish Bakshi added to party Norfolk County Council, as

Administering Authority of the Norfolk Pension Fund(pty:pla))(Bakshi, Debashish) (Entered: 02/14/2017)

02/15/2017 99 NOTICE of Appearance filed by attorney Kristin Nicole Murphy on behalf of Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc. (Attorney Kristin Nicole Murphy added to party Alan H. Auerbach(pty:dft), Attorney Kristin Nicole Murphy added to party Charles R. Eyler(pty:dft), Attorney Kristin Nicole Murphy added to party Puma Biotechnology, Inc.(pty:dft))(Murphy, Kristin) (Entered: 02/15/2017)

02/16/2017 100 STATEMENT OF CONSENT TO PROCEED before the assigned Magistrate Judge filed by Lead Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Gronborg, Tor) (Entered: 02/16/2017)

02/16/2017 101 CONTINUED SERVICE REPORT of Pursuant to 2/14/17 Telephonic Hearing filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 02/16/2017)

02/27/2017 102 MINUTES OF TELEPHONIC DISCOVERY HEARING RE REQUEST TO COMPEL ANSWERS TO INTERROGATORIES OF DEFENDANTS FILED BY LEAD PLAINTIFF NORFOLK COUNTY COUNCIL held before Magistrate Judge Jay C. Gandhi: Case called. Appearances announced. The parties argue. The Court GRANTS the request 94 , as articulated on the record. Court Recorder: CS 2/27/2017. (kh) (Entered: 02/28/2017)

03/15/2017 103 NOTICE OF MOTION AND MOTION to Certify Class filed by Lead Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. Motion set for hearing on 6/26/2017 at 10:00 AM before Judge Andrew J. Guilford. (Attachments: # 1 Proposed Order) (Gronborg, Tor) (Entered: 03/15/2017)

03/15/2017 104 MEMORANDUM in Support of NOTICE OF MOTION AND MOTION to Certify Class 103 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Gronborg, Tor) (Entered: 03/15/2017)

03/15/2017 105 DECLARATION of PROFESSOR STEVEN P. FEINSTEIN, PH.D., CFA in support of NOTICE OF MOTION AND MOTION to Certify Class 103 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Gronborg, Tor) (Entered: 03/15/2017)

03/15/2017 106 DECLARATION of Trig R. Smith in support of NOTICE OF MOTION AND MOTION to Certify Class 103 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Smith, Trig) (Entered: 03/15/2017)

03/31/2017 107 APPLICATION for Discovery regarding For Issuance of Letter of Request for International Judicial Assistance filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Declaration Declaration of Kristin Murphy in Support of Defendants' Unopposed Application for Issuance of Letter of Request for International Judicial Assistance, # 2 Exhibit Exhibit A, # 3 Exhibit Exhibit B, # 4 Exhibit Exhibit C, # 5 Exhibit Exhibit D, # 6 Proposed Order Proposed Order Granting Defendants' Unopposed Application for Issuance of Letter of Request for International Judicial Assistance, # 7 Proposed Order Letter of

Request for International Judicial Assistance in the Production of Documents)(Murphy, Kristin) (Entered: 03/31/2017)

04/20/2017 108 ORDER GRANTING DEFENDANTS' UNOPPOSED APPLICATION FOR ISSUANCE OF LETTER OF REQUEST FOR INTERNATIONAL JUDICIAL ASSISTANCE by Magistrate Judge Jay C. Gandhi re Application for Discovery 107 . (kh) (Entered: 04/20/2017)

04/20/2017 109 LETTERS ROGATORY ISSUED: Letters Rogatory and Commission/Order signed by Magistrate Judge Jay C. Gandhi. (kh) (Entered: 04/20/2017)

04/26/2017 110 STIPULATION for Hearing re NOTICE OF MOTION AND MOTION to Certify Class 103 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Proposed Order Granting Stipulation to Extend Schedule on Motion for Class Certification)(Johnson, Michele) (Entered: 04/26/2017)

04/27/2017 111 ORDER by Judge Andrew J. Guilford, Granting Stipulation to Extend Schedule on Motion for Class Certification 110 . Before the Court is Lead Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund and Defendants Puma Biotechnology, Inc., Alan H. Auerbach, and Charles R. Eyler's Stipulation to Extend Schedule on Motion for Class Certification. Pursuant to the parties' stipulation, the Court approves the following revised schedule: (see document for details). (dro) (Entered: 04/27/2017)

05/23/2017 112 APPLICATION to file document Letter Motion and Exhibits in Support Thereof under seal filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order, # 2 Redacted Document)(Conn, Susannah) (Entered: 05/23/2017)

05/23/2017 113 DECLARATION of Susannah R. Conn in support of APPLICATION to file document Letter Motion and Exhibits in Support Thereof under seal 112 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Conn, Susannah) (Entered: 05/23/2017)

05/23/2017 114 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Letter Motion and Exhibits in Support Thereof under seal 112 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Unredacted Document)(Conn, Susannah) (Entered: 05/23/2017)

05/24/2017 115 APPLICATION for Discovery regarding For Issuance of Revised Letter of Request for International Judicial Assistance filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Declaration of Kristin Murphy in Support of Defendants' Unopposed Application for Issuance of Revised Letter of Request for International Judicial Assistance, # 2 Exhibit A, # 3 Exhibit B, # 4 Exhibit C, # 5 Exhibit D, # 6 Proposed Order Granting Defendants' Unopposed Application for Issuance of Revised Letter of Request for International Judicial Assistance, # 7 Proposed Order Revised Letter of Request for International Judicial Assistance in the Production of Documents)(Murphy, Kristin) (Entered: 05/24/2017)

05/26/2017 116 REQUEST to Compel Production of Documents filed by Lead Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund.

(Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Proposed Order)(Bakshi, Debashish) (Entered: 05/26/2017)

05/30/2017 117 REQUEST to Clarify Plaintiff's Letter Motion to Compel Production of Documents (Dkt. No. 116) filed by Lead Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Bakshi, Debashish) (Entered: 05/30/2017)

05/30/2017 118 DECLARATION of Kristen N. Murphy in Support of APPLICATION to file document Letter Motion and Exhibits in Support Thereof under seal 112 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Murphy, Kristin) (Entered: 05/30/2017)

05/31/2017 119 NOTICE OF MOTION AND MOTION for Leave to file Proposed First Amended Complaint filed by Lead Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. Motion set for hearing on 6/26/2017 at 10:00 AM before Judge Andrew J. Guilford. (Attachments: # 1 Proposed Order) (Smith, Trig) (Entered: 05/31/2017)

05/31/2017 120 MEMORANDUM in Support of NOTICE OF MOTION AND MOTION for Leave to file Proposed First Amended Complaint 119 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Smith, Trig) (Entered: 05/31/2017)

06/01/2017 121 ***NOTE: CHANGES MADE BY THE COURT*** ORDER GRANTING MOTION FOR LEAVE TO AMEND THE CONSOLIDATED COMPLAINT by Judge Andrew J. Guilford: The [Proposed] First Amended Complaint for Violations of the Federal Securities Laws, submitted with Plaintiff's Motion, shall be electronically filed within 5 days. 119 (dv) (Entered: 06/01/2017)

06/01/2017 122 NOTICE of Appearance for Limited Purpose of Discovery Dispute filed by Non-Parties Merrill Lynch, Pierce, Fenner & Smith Incorporated, J.P. Morgan Securities LLC, Citigroup Global Markets Inc., Leerink Partners LLC, Cowen and Company, LLC, UBS Securities LLC. (Shimada, Charlene) (Entered: 06/01/2017)

06/01/2017 123 OPPOSITION re: APPLICATION to file document Letter Motion and Exhibits in Support Thereof under seal 112 Non-Party Investment Banks' Opposition to Plaintiffs Motion to Compel Production of Documents filed by Miscellaneous Citigroup Global Markets Inc., Cowen and Company, LLC, J.P. Morgan Securities LLC, Leerink Partners LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, UBS Securities LLC. (Attorney Charlene Sachi Shimada added to party Citigroup Global Markets Inc.(pty:misc), Attorney Charlene Sachi Shimada added to party Cowen and Company, LLC(pty:misc), Attorney Charlene Sachi Shimada added to party J.P. Morgan Securities LLC(pty:misc), Attorney Charlene Sachi Shimada added to party Leerink Partners LLC (pty:misc), Attorney Charlene Sachi Shimada added to party Merrill Lynch, Pierce, Fenner & Smith Incorporated(pty:misc), Attorney Charlene Sachi Shimada added to party UBS Securities LLC(pty:misc))(Shimada, Charlene) (Entered: 06/01/2017)

06/01/2017 124 NOTICE of Interested Parties filed by Non-Parties Citigroup Global Markets Inc., Cowen and Company, LLC, J.P. Morgan Securities LLC, Leerink Partners LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, UBS Securities LLC, (Shimada, Charlene) (Entered: 06/01/2017)

06/01/2017 125 REPLY to Declaration of Kristin N. Murphy in Support of Plaintiff's Application to File Documents Under Seal filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Gronborg, Tor) (Entered: 06/01/2017)

06/01/2017 126 APPLICATION to file document in Support of Supplemental Memorandum under seal filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Proposed Order, # 2 Redacted Document (Exhibit 1), # 3 Redacted Document (Exhibit 2))(Murphy, Kristin) (Entered: 06/01/2017)

06/01/2017 127 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document in Support of Supplemental Memorandum under seal 126 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Unredacted Document (Exhibit 1), # 2 Unredacted Document (Exhibit 2))(Murphy, Kristin) (Entered: 06/01/2017)

06/01/2017 128 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Declaration in SupportDeclaration, 127 served on June 1, 2017. (Murphy, Kristin) (Entered: 06/01/2017)

06/01/2017 129 MEMORANDUM in Opposition Defendants' Supplemental Memorandum Regarding Lead Plaintiff's Letter Motion to Compel Production of Documents by Non-Party Investment Banks filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit 1 (Redacted), # 2 Exhibit 2 (Redacted), # 3 Exhibit 3)(Smith, Colleen) (Entered: 06/01/2017)

06/02/2017 130 Opposition opposition re: REQUEST to Compel Production of Documents 116 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G)(Johnson, Michele) (Entered: 06/02/2017)

06/05/2017 131 EX PARTE APPLICATION to Enforce the Court's Scheduling Orders filed by Lead Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order) (Smith, Trig) (Entered: 06/05/2017)

06/05/2017 132 NOTICE OF MOTION AND MOTION to Enforce the Mandatory Discovery Stay Pursuant to PSLRA, NOTICE OF MOTION AND MOTION to Vacate Order, Set/Reset Deadlines/Hearings 88 , Pretrial-Trial Scheduling Order - form only 85 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. Motion set for hearing on 7/10/2017 at 10:00 AM before Judge Andrew J. Guilford. (Attachments: # 1 Declaration of Colleen C. Smith, # 2 Exhibit A to Smith Decl., # 3 Proposed Order) (Johnson, Michele) (Entered: 06/05/2017)

06/05/2017 133 Opposition re: EX PARTE APPLICATION to Enforce the Court's Scheduling Orders 131 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Declaration of Colleen C. Smith, # 2 Exhibit A to Smith Decl.)(Johnson, Michele) (Entered: 06/05/2017)

06/06/2017 134 REPLY to Investment Banks' Response to Plaintiff's Motion to Compel filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Conn, Susannah) (Entered: 06/06/2017)

06/06/2017 135 REPLY to Defendants' Supplemental Memorandum Regarding Plaintiff's Motion to Compel filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit A)(Conn, Susannah) Modified on 1/8/2019 (es). (Entered: 06/06/2017)

06/06/2017 136 ORDER GRANTING DEFENDANTS' UNOPPOSED APPLICATION FOR ISSUANCE OF REVISED LETTER OF REQUEST FOR INTERNATIONAL JUDICIAL ASSISTANCE by Magistrate Judge Jay C. Gandhi re Application for Discovery 115 . (kh) (Entered: 06/06/2017)

06/06/2017 137 LETTERS ROGATORY ISSUED: Revised Letter of Request for International Judicial Assistance in the Production of Documents Pursuant to the Hague Convention of 18 March 1970 on the Taking of Evidence Abroad in Civil or Commercial Matters to the Appropriate Judicial Authority Judicial Authority in the United Kingdom signed by Magistrate Judge Jay C. Gandhi. (kh) (Entered: 06/06/2017)

06/06/2017 138 FIRST AMENDED COMPLAINT against Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc. amending Consolidated Complaint, 58 , filed by Lead Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund(Smith, Trig) (Entered: 06/06/2017)

06/06/2017 139 MINUTES (IN CHAMBERS) by Judge Andrew J. Guilford: denying 131 EX PARTE APPLICATION. (twdb) (Entered: 06/06/2017)

06/07/2017 140 REPLY to Defendants' Opposition to Plaintiff's Request to Compel Production of Documents filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Bakshi, Debashish) (Entered: 06/07/2017)

06/08/2017 141 STIPULATION for Extension of Time to File Motion to Dismiss First Amended Complaint filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Proposed Order Granting Stipulation Regarding Extension of Defendants' Deadline to Move to Dismiss First Amended Complaint)(Johnson, Michele) (Entered: 06/08/2017)

06/09/2017 142 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: Notice (Other), 122 . The following error(s) was found: Incorrect event selected. The correct event is: Appearance. 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. (lom) (Entered: 06/09/2017)

06/09/2017 143 ORDER by Judge Andrew J. Guilford, Granting Stipulation Regarding Extension of Defendants' Deadline to Move to Dismiss First Amended Complaint 141 . Before the Court is Lead Plaintiff Norfolk County Council as Administering Authority of the Norfolk Pension Fund and Defendants Puma Biotechnology, Inc., Alan H. Auerbach, and Charles R. Eyler's Stipulation Regarding Extension of Defendants' Deadline to Move to Dismiss First Amended Complaint. Pursuant to the parties' stipulation, IT IS HEREBY ORDERED THAT: 1. Defendants shall move to dismiss the First Amended Complaint on or before June 19, 2017 with a noticed hearing date of July 24, 2017; 2. Consistent with Local Rule 7-9, Plaintiff shall file an opposition

to Defendants' motion to dismiss on or before July 3, 2017; and 3. Consistent with Local Rule 7-10, Defendants shall file a reply in support of their motion to dismiss on or before July 10, 2017. IT IS SO ORDERED. (dro) (Entered: 06/09/2017)

06/19/2017 144 OPPOSITION re: NOTICE OF MOTION AND MOTION to Enforce the Mandatory Discovery Stay Pursuant to PSLRA NOTICE OF MOTION AND MOTION to Vacate Order, Set/Reset Deadlines/Hearings 88 , Pretrial-Trial Scheduling Order - form only 85 132 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Smith, Trig) (Entered: 06/19/2017)

06/19/2017 145 DECLARATION of Trig R. Smith re Objection/Opposition (Motion related), 144 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Smith, Trig) (Entered: 06/19/2017)

06/19/2017 146 NOTICE OF MOTION AND MOTION to Dismiss the New Claims and Theories in the First Amended Complaint filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. Motion set for hearing on 7/24/2017 at 10:00 AM before Judge Andrew J. Guilford. (Attachments: # 1 Declaration of Colleen C. Smith, # 2 Exhibit A, # 3 Exhibit B, # 4 Exhibit C, # 5 Exhibit D, # 6 Exhibit E, # 7 Proposed Order) (Johnson, Michele) (Entered: 06/19/2017)

06/26/2017 147 REPLY Support NOTICE OF MOTION AND MOTION to Enforce the Mandatory Discovery Stay Pursuant to PSLRA NOTICE OF MOTION AND MOTION to Vacate Order, Set/Reset Deadlines/Hearings 88 , Pretrial-Trial Scheduling Order - form only 85 132 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 06/26/2017)

06/30/2017 148 OPPOSITION to NOTICE OF MOTION AND MOTION to Certify Class 103 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 06/30/2017)

07/03/2017 149 OPPOSITION re: NOTICE OF MOTION AND MOTION to Dismiss the New Claims and Theories in the First Amended Complaint 146 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Gronborg, Tor) (Entered: 07/03/2017)

07/03/2017 150 DECLARATION of Trig R. Smith re Objection/Opposition (Motion related), 149 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)(Gronborg, Tor) (Entered: 07/03/2017)

07/05/2017 151 MINUTES (IN CHAMBERS) ORDER Continuing Hearing by Judge Andrew J. Guilford. For reasons of calendar management, the Court CONTINUES the July 10, 2017 hearing on Defendants' motion to stay. (Dkt. No. 132 .) Now, both of Defendants' pending motions will be heard on the same date--Monday, July 24, 2017 at 10:00 a.m. (Dkt. Nos. 132 , 146 .) (dro) (Entered: 07/05/2017)

07/05/2017 152 NOTICE OF ERRATA filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. correcting Objection/Opposition (Motion related), 149 (Attachments: # 1 Corrected Lead Plaintiff's Opposition to Defendants'

Motion to Dismiss the New Claims and Theories in the First Amended Complaint)(Gronborg, Tor) (Entered: 07/05/2017)

07/10/2017 153 REPLY in Support of NOTICE OF MOTION AND MOTION to Dismiss the New Claims and Theories in the First Amended Complaint 146 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 07/10/2017)

07/24/2017 155 MINUTES RE: Motion to Enforce 132 and Motion to Dismiss 146 held before Judge Andrew J. Guilford: Cause is called for hearing and counsel make their appearances. Matter is argued and taken under submission. Court Reporter: Miriam Baird. (lwag) (Entered: 07/28/2017)

07/25/2017 154 MINUTES (IN CHAMBERS) Order Denying Motion to Dismiss First Amended Complaint 146 by Judge Andrew J. Guilford: For these reasons, the Court DENIES the motion to dismiss. (Dkt. No. 146.) Because the motion to dismiss is no longer pending, Defendants motion to stay all discovery under 15 U.S.C. § 78u-4(b)(3)(B) is MOOT. (Dkt. No. 132.). See document for further information. (lwag) (Entered: 07/25/2017)

08/01/2017 156 TRANSCRIPT ORDER as to Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc. for Court Reporter. Court will contact Karen Patterson at [email protected] with any questions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Smith, Colleen) (Entered: 08/01/2017)

08/01/2017 157 STIPULATION to Amend Order, Set/Reset Deadlines/Hearings 88 filed by Plaintiff Hsingching Hsu. (Attachments: # 1 Proposed Order)(Attorney Tor Gronborg added to party Hsingching Hsu(pty:pla))(Gronborg, Tor) (Entered: 08/01/2017)

08/02/2017 158 TRANSCRIPT ORDER as to Lead Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund for Court Reporter. Court will contact Kirsten M. McCormack at [email protected] with any questions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Gronborg, Tor) (Entered: 08/02/2017)

08/02/2017 159 ORDER by Judge Andrew J. Guilford, AMENDING the December 21, 2016 Scheduling Order re Stipulation 157 .GOOD CAUSE APPEARING, the Court hereby approves this Stipulation and supplemental schedule. (mba) (Entered: 08/02/2017)

08/08/2017 160 ANSWER to Amended Complaint/Petition, 138 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc..(Johnson, Michele) (Entered: 08/08/2017)

08/11/2017 161 TRANSCRIPT for proceedings held on 7/24/17 10:30 AM. Court Reporter/Electronic Court Recorder: Miriam V. Baird, 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 9/1/2017. Redacted Transcript Deadline set for 9/11/2017. Release of Transcript Restriction set for 11/9/2017. (Baird, Miriam) (Entered: 08/11/2017)

08/11/2017 162 NOTICE OF FILING TRANSCRIPT filed for proceedings 7/24/17 10:00 AM re Transcript 161 THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (Baird, Miriam) TEXT ONLY ENTRY (Entered: 08/11/2017)

08/14/2017 163 STIPULATION for Order Regarding Briefing Schedule on Motion for Class Certification filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Proposed Order)(Johnson, Michele) (Entered: 08/14/2017)

08/17/2017 164 ORDER by Judge Andrew J. Guilford, Granting Stipulation to Extend Schedule on Motion for Class Certification 163 . (twdb) (Entered: 08/17/2017)

09/12/2017 165 STIPULATION for Discovery as to Deposition to Be Taken After Close of Fact Discovery filed by Lead Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order)(Conn, Susannah) (Entered: 09/12/2017)

09/12/2017 166 ORDER REGARDING DEPOSITION TO BE TAKEN AFTER CLOSE OF FACT DISCOVERY 165 by Judge Andrew J. Guilford. Pursuant to the parties stipulation:1. Notwithstanding the deadlines set forth in the Order Amending theDecember 21, 2016 Scheduling Order (Dkt. No. 159) (Scheduling Order), thedeposition of Arlene Chan, M.D. (Dr. Chan) may proceed after December 13, 2017, but before June 15, 2018 (the deadline for filing dispositive motions). 2. All other deadlines set forth in the Scheduling Order remain in place, and no party will request extending or modifying the Scheduling Order on the basis that Dr. Chans deposition was not completed before December 13, 2017. 3. Nothing in this Order prevents any party from asserting any other objection concerning Dr. Chans deposition, including that such deposition exceeds any agreed-upon deposition limit. (es) (Entered: 09/12/2017)

09/13/2017 167 REQUEST to Compel Extending Length of Alan Auerbach's Deposition filed by Lead Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit A - Email Exchange)(Gronborg, Tor) (Entered: 09/13/2017)

09/19/2017 168 APPLICATION to file document Portions of Letter Motion and Exhibits in Support Thereof under seal filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order, # 2 Redacted Document Letter with Exhibits in Support Thereof)(Smith, Trig) (Entered: 09/19/2017)

09/19/2017 169 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Portions of Letter Motion and Exhibits in Support Thereof under seal 168 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Unredacted Document Letter with Exhibits in Support Thereof)(Smith, Trig) (Entered: 09/19/2017)

09/20/2017 170 OPPOSITION to REQUEST to Compel Extending Length of Alan Auerbach's Deposition 167 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Declaration of William Hutcheson in Support of Defendants' Response to Plaintiff's Letter Request to Compel Extending the Length of Alan Auerbach's Deposition)(Johnson, Michele) (Entered: 09/20/2017)

09/22/2017 171 REPLY In Support of REQUEST to Compel Extending Length of Alan Auerbach's Deposition 167 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Gronborg, Tor) (Entered: 09/22/2017)

09/25/2017 172 NOTICE of Change of Attorney Business or Contact Information: for attorney Sarah A Tomkowiak counsel for Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. Changing e-mail to [email protected]. Filed by Counsel for Defendants Sarah A. Tomkowiak. (Tomkowiak, Sarah) (Entered: 09/25/2017)

09/25/2017 173 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Portions of Letter Motion and Exhibits in Support Thereof under seal 168 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc..(Tomkowiak, Sarah) (Entered: 09/25/2017)

09/25/2017 174 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Declaration in SupportDeclaration 173 of Sarah A. Tomkowiak served on 9-25-2017. (Tomkowiak, Sarah) (Entered: 09/25/2017)

09/26/2017 175 APPLICATION to file document (Documents in Support of Defendants' Opposition to Request to Compel Re: Accellion Log Files) under seal filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Proposed Order, # 2 Redacted Document (Opposition to Request to Compel re: Accellion Log Files), # 3 Redacted Document (Declaration of Meryn C. N. Grant))(Tomkowiak, Sarah) (Entered: 09/26/2017)

09/26/2017 176 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document (Documents in Support of Defendants' Opposition to Request to Compel Re: Accellion Log Files) under seal 175 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Unredacted Document (Opposition to Request to Compel re: Accellion Log Files), # 2 Unredacted Document (Declaration of Meryn C. N. Grant))(Tomkowiak, Sarah) (Entered: 09/26/2017)

09/26/2017 177 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Declaration in SupportDeclaration, 176 served on September 26, 2017. (Tomkowiak, Sarah) (Entered: 09/26/2017)

09/26/2017 178 OPPOSITION to Request to Compel re: Accellion Log Files (Redacted) [168-2] filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc. (Attachments: # 1 Exhibit 1, # 2 Declaration of Meryn C. N. Grant (Redacted), # 3 Declaration of Dean Petrakis)(Johnson, Michele) (Entered: 09/26/2017)

09/27/2017 179 ORDER GRANTING PLAINTIFF'S APPLICATION FOR LEAVE TO FILE PORTIONS OF LETTER MOTION AND EXHIBITS IN SUPPORT THEREOF UNDER SEAL by Magistrate Judge Jay C. Gandhi re Application to file document Portions of Letter Motion and Exhibits in Support Thereof under seal 168 . (kh) (Entered: 09/27/2017)

09/27/2017 180 (IN CHAMBERS) ORDER RE LEAD PLAINTIFF NORFOLK'S REQUEST TO COMPEL EXTENDING LENGTH OF ALAN AUERBACH'S DEPOSITION 167 by Magistrate Judge Jay C. Gandhi: Plaintiff may depose defendant Alan Auerbach

for up to 14 hours. It is so ordered. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (kh) TEXT ONLY ENTRY (Entered: 09/27/2017)

09/27/2017 181 SEALED REQUEST to Compel Production of Accellion Log Documents re Order on Motion for Leave to File Document Under Seal, 179 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund.(Smith, Trig) (Entered: 09/27/2017)

09/28/2017 182 (IN CHAMBERS) ORDER SETTING TELEPHONIC DISCOVERY HEARING by Magistrate Judge Jay C. Gandhi. This matter is set for a Telephonic Discovery Hearing on Monday, October 30, 2017 at 2:00 p.m. Call in information to follow.THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (kh) TEXT ONLY ENTRY (Entered: 09/28/2017)

09/29/2017 183 REPLY in Support of SEALED REQUEST to Compel Production of Accellion Log Documents re Order on Motion for Leave to File Document Under Seal, 179 181 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Smith, Trig) (Entered: 09/29/2017)

10/10/2017 184 STATEMENT of Non-Opposition to Plaintiffs' Motion for Class Certification NOTICE OF MOTION AND MOTION to Certify Class 103 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 10/10/2017)

10/11/2017 185 REPLY in Support of NOTICE OF MOTION AND MOTION to Certify Class 103 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Gronborg, Tor) (Entered: 10/11/2017)

10/16/2017 186 TEXT ONLY ENTRY RE TELEPHONIC BRIDGE by Magistrate Judge Jay C. Gandhi: The call-in information for the 2:00pm, October 30, 2017 Telephonic Discovery Conference is as follows: Call-in Number: 213.894.3669; Conference Password: 129663# re Scheduling Notice, 182 . THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (kh) TEXT ONLY ENTRY (Entered: 10/16/2017)

10/25/2017 187 STIPULATION for Discovery as to Deposition to Be Taken After Close of Fact Discovery filed by Lead Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order)(Gronborg, Tor) (Entered: 10/25/2017)

10/26/2017 188 Notice of Appearance or Withdrawal of Counsel: for attorney Amanda F Betsch counsel for Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. Adding Amanda Betsch as counsel of record for Defendants Puma Biotechnology, Inc., Alan H. Auerbach, and Charles R. Eyler for the reason indicated in the G-123 Notice. Filed by Defendants Puma Biotechnology, Inc., Alan H. Auerbach, and Charles R. Eyler. (Attorney Amanda F Betsch added to party Alan H. Auerbach(pty:dft), Attorney Amanda F Betsch added to party Charles R. Eyler(pty:dft), Attorney Amanda F Betsch added to party Puma Biotechnology, Inc.(pty:dft))(Betsch, Amanda) (Entered: 10/26/2017)

10/27/2017 189 Notice of Appearance or Withdrawal of Counsel: for attorney Meryn C N Grant counsel for Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology,

Inc.. Adding Meryn C.N. Grant as counsel of record for Defendants Puma Biotechnology, Inc., Alan H. Auerbach, and Charles R. Eyler for the reason indicated in the G-123 Notice. Filed by Defendants Puma Biotechnology, Inc., Alan H. Auerbach, and Charles R. Eyler. (Attorney Meryn C N Grant added to party Alan H. Auerbach(pty:dft), Attorney Meryn C N Grant added to party Charles R. Eyler(pty:dft), Attorney Meryn C N Grant added to party Puma Biotechnology, Inc.(pty:dft))(Grant, Meryn) (Entered: 10/27/2017)

10/27/2017 190 REQUEST to Compel Documents Related to FDA Approval filed by Lead Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit A - Hearing Transcript, # 2 Exhibit B - Second Request for Production of Documents, # 3 Exhibit C - Responses to Request for Production, # 4 Exhibit D - Email Exchange, # 5 Exhibit E - Search Criteria, # 6 Exhibit F - Email Exchange, # 7 Exhibit G - FDA Briefing Document)(Gronborg, Tor) (Entered: 10/27/2017)

10/30/2017 191 ORDER GRANTING PLAINTIFF'S APPLICATION FOR LEAVE TO FILE PORTIONS OF LETTER MOTION AND EXHIBITS IN SUPPORT THEREOF UNDER SEAL by Magistrate Judge Jay C. Gandhi re 112 APPLICATION to Seal Document. (kh) (Entered: 11/01/2017)

10/30/2017 192 ORDER GRANTING DEFENDANTS' APPLICATION FOR LEAVE TO FILE DOCUMENTS IN SUPPORT OF SUPPLEMENTAL MEMORANDUM UNDER SEAL by Magistrate Judge Jay C. Gandhi re 126 APPLICATION to Seal Document. (kh) (Entered: 11/01/2017)

10/30/2017 193 ORDER GRANTING DEFENDANTS' APPLICATION FOR LEAVE TO FILE DOCUMENTS IN SUPPORT OF DEFENDANTS OPPOSITION TO MOTION TO COMPEL RE: ACCELLION LOG FILES UNDER SEAL by Magistrate Judge Jay C. Gandhi re 175 APPLICATION to Seal Document. (kh) (Entered: 11/01/2017)

10/30/2017 194 MINUTES OF TELEPHONIC DISCOVERY HEARING held before Magistrate Judge Jay C. Gandhi: Case called. Appearances announced. The parties argue. The Court GRANTS Plaintiff Norfolk's Request to Compel re Documents from Six Investment Banks, and Request to Compel Production of Documents 116 , as articulated on the record. The Request to Compel Production of Accellion Log Documents 181 , is held in abeyance. Court Recorder: CS 10/30/2017. (kh) (Entered: 11/02/2017)

11/02/2017 195 ORDER Regarding Deposition to Be Taken After Close of Fact Discovery 187 by Judge Andrew J. Guilford: Pursuant to the parties stipulation: Notwithstanding the deadlines set forth in the Order Amending the December 21, 2016 Scheduling Order (Dkt. No. 159), the deposition of defendant Alan Auerbach may proceed on or before December 20, 2017. (lwag) (Entered: 11/02/2017)

11/02/2017 196 SEALED DOCUMENT Documents In Support of Supplemental Memorandum re Order on Motion for Leave to File Document Under Seal 192 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)(Smith, Colleen) (Entered: 11/02/2017)

11/02/2017 197 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Document, 196 served on November 2, 2017. (Smith, Colleen) (Entered: 11/02/2017)

11/02/2017 198 SEALED DOCUMENT Documents in Support of Defendants' Opposition to Request to Compel Re: Accellion Log Files re Order on Motion for Leave to File Document Under Seal 193 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Declaration of Meryn C.N. Grant)(Johnson, Michele) (Entered: 11/02/2017)

11/02/2017 199 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Document, 198 served on November 2, 2017. (Johnson, Michele) (Entered: 11/02/2017)

11/02/2017 200 NOTICE OF ERRATA filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. correcting Sealed Document, 198 (Grant, Meryn) (Entered: 11/02/2017)

11/02/2017 201 SEALED DOCUMENT Documents In Support of Defendants' Opposition to Request to Compel Re: Accellion Log Files re Order on Motion for Leave to File Document Under Seal 193 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Corrected Declaration of Meryn C.N. Grant)(Johnson, Michele) (Entered: 11/02/2017)

11/02/2017 202 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Document, 201 served on November 2, 2017. (Johnson, Michele) (Entered: 11/02/2017)

11/03/2017 203 SEALED DOCUMENT May 23, 2017 Letter Motion and Exhibits in Support Thereof re Order on Motion for Leave to File Document Under Seal 191 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit L, # 2 Exhibit M, # 3 Exhibit N)(Conn, Susannah) (Entered: 11/03/2017)

11/03/2017 204 PROOF OF SERVICE filed by Lead Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund, re Sealed Document, 203 served on November 3, 2017. (Conn, Susannah) (Entered: 11/03/2017)

11/03/2017 205 OPPOSITION re: REQUEST to Compel Documents Related to FDA Approval 190 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit 1)(Johnson, Michele) (Entered: 11/03/2017)

11/03/2017 206 DECLARATION of Sarah A. Tomkowiak in Opposition to REQUEST to Compel Documents Related to FDA Approval 190 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Tomkowiak, Sarah) (Entered: 11/03/2017)

11/08/2017 207 REPLY in Support of REQUEST to Compel Documents Related to FDA Approval 190 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit A - Advisory Committee Minutes, # 2 Exhibit B - Email, # 3 Exhibit C - Proposed Search Criteria)(Gronborg, Tor) (Entered: 11/08/2017)

11/10/2017 208 REQUEST for Hearing Motion to Compel, re SEALED REQUEST to Compel Production of Accellion Log Documents re Order on Motion for Leave to File Document Under Seal, 179 181 , filed by Lead Plaintiff Norfolk County Council, as

Administering Authority of the Norfolk Pension Fund. (Smith, Trig) (Entered: 11/10/2017)

11/13/2017 209 STATUS REPORT re Motion to Compel Documents re FDA's Approval of Neratinib filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Gronborg, Tor) (Entered: 11/13/2017)

11/13/2017 210 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: REQUEST for Hearing Motion to Compel 208 . The following error(s) was/were found: Proposed Document was not submitted as separate attachment. 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. You need not take any action in response to this notice unless and until the Court directs you to do so. (twdb) (Entered: 11/13/2017)

11/13/2017 211 OPPOSITION re: REQUEST for Hearing Motion to Compel, re SEALED REQUEST to Compel Production of Accellion Log Documents re Order on Motion for Leave to File Document Under Seal, 179 181 , 208 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Smith, Colleen) (Entered: 11/13/2017)

11/22/2017 212 REQUEST to Supplement Update re Motion to Compel "Accellion Log" Documents filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Smith, Trig) (Entered: 11/22/2017)

12/01/2017 213 STIPULATION for Discovery as to Document Discovery and Deposition to Be Taken After Close of Fact Discovery filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order)(Gronborg, Tor) (Entered: 12/01/2017)

12/04/2017 214 ORDER Regarding Document Discovery and Deposition to Be Taken After Close of Fact Discovery by Judge Andrew J. Guilford, re Stipulation for Discovery, 213 . NOTE: CHANGES BY THE COURT. (see document for details). (dro) (Entered: 12/04/2017)

12/05/2017 215 STIPULATION to Amend the Pre-trial Schedule Order 159 filed by Lead Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order)(Gronborg, Tor) (Entered: 12/05/2017)

12/06/2017 216 STIPULATION to Waive Oral Argument on Plaintiff's Motion for Class Certification on December 11, 2017 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Proposed Order)(Johnson, Michele) (Entered: 12/06/2017)

12/07/2017 217 ORDER AMENDING THE PRETRIAL SCHEDULE 215 by Judge Andrew J. Guilford. Accordingly, the Court approves the following supplemental schedule: Fact Discovery Cutoff: January 26, 2018; Deadline for Plaintiff to Serve Expert Reports: March 2, 2018; Deadline for Defendants to Serve Expert Reports: April 11, 2018; Deadline for Plaintiff to Serve Rebuttal Expert Reports: May 9, 2018; Expert Discovery Cutoff: June 8, 2018; Deadline to File Dispositive Motion(s): July 10, 2018; Opposition(s) to Dispositive Motion(s): August 14, 2018; Reply in Support of Dispositive Motion(s): September 10, 2018. (es) (Entered: 12/07/2017)

12/08/2017 218 MINUTES (IN CHAMBERS) ORDER GRANTING CLASS ACTION CERTIFICATION by Judge Andrew J. Guilford: Finding the requirements of Rule 23 satisfied and noting the lack of objection from Defendants, the Court GRANTS the motion for class certification and appointment of class counsel. (Dkt. No. 103.) Hearing set for December 11, 2017 is VACATED. (SEE ORDER) (es) (Entered: 12/08/2017)

01/10/2018 219 REQUEST to Compel to Fully Answer Interrogatory No. 19 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit A - First Set of Interrogatories, # 2 Exhibit B - Third Supplemental Response, # 3 Exhibit C - Email Exchange, # 4 Exhibit D - Sixth Set of Interrogatories, # 5 Exhibit E - Responses to Interrogatories, # 6 Exhibit F - Email Exchange)(Gronborg, Tor) (Entered: 01/10/2018)

01/16/2018 220 REQUEST for Protective Order for Prohibiting Defendants and Defendants' Counsel from Videotaping Plantiff's Counsel During Deposition filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit A - Email, # 2 Exhibit B - Email Exchange, # 3 Exhibit C - Amended Notice of Deposition)(Gronborg, Tor) (Entered: 01/16/2018)

01/17/2018 221 OPPOSITION re: REQUEST to Compel to Fully Answer Interrogatory No. 19 219 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Declaration of Sarah A. Tomkowiak, # 2 Exhibit 1, # 3 Exhibit 2)(Tomkowiak, Sarah) (Entered: 01/17/2018)

01/22/2018 222 REPLY in Support of Motion REQUEST to Compel to Fully Answer Interrogatory No. 19 219 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Gronborg, Tor) (Entered: 01/22/2018)

01/22/2018 223 Opposition re: REQUEST for Protective Order for Prohibiting Defendants and Defendants' Counsel from Videotaping Plantiff's Counsel During Deposition 220 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Tomkowiak, Sarah) (Entered: 01/22/2018)

01/22/2018 224 DECLARATION of Colleen C. Smith In Opposition to REQUEST for Protective Order for Prohibiting Defendants and Defendants' Counsel from Videotaping Plantiff's Counsel During Deposition 220 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Smith, Colleen) (Entered: 01/22/2018)

01/22/2018 225 APPLICATION for Leave for In Camera Review filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Proposed Order)(Tomkowiak, Sarah) (Entered: 01/22/2018)

01/23/2018 226 REPLY in Support of Motion REQUEST for Protective Order for Prohibiting Defendants and Defendants' Counsel from Videotaping Plantiff's Counsel During Deposition 220 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Gronborg, Tor) (Entered: 01/23/2018)

01/23/2018 227 DECLARATION of Tor Gronborg in support of REQUEST for Protective Order for Prohibiting Defendants and Defendants' Counsel from Videotaping Plantiff's Counsel During Deposition 220 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit A -

Email, # 2 Exhibit B - Email, # 3 Exhibit C - Email, # 4 Exhibit D - Email)(Gronborg, Tor) (Entered: 01/23/2018)

01/23/2018 228 DECLARATION of Trig R. Smith in support of REQUEST for Protective Order for Prohibiting Defendants and Defendants' Counsel from Videotaping Plantiff's Counsel During Deposition 220 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Smith, Trig) (Entered: 01/23/2018)

01/24/2018 229 (IN CHAMBERS) SCHEDULING NOTICE SETTING TELEPHONE CONFERENCE by Magistrate Judge Jay C. Gandhi. This matter is set for a Telephone Conference re Discovery TODAY, WEDNESDAY, JANUARY 24, 2018 AT 4:00 P.M. The call in information is as follows: Call-in Number: (888) 273-3658; Access Code: 5575. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (kh) TEXT ONLY ENTRY (Entered: 01/24/2018)

01/24/2018 230 (IN CHAMBERS) **AMENDED**SCHEDULING NOTICE SETTING TELEPHONE CONFERENCE by Magistrate Judge Jay C. Gandhi. This matter is set for a Telephone Conference re Discovery TODAY, WEDNESDAY, JANUARY 24, 2018 AT 4:00 P.M. The call in information is as follows: Call-in Number: (888) 273-3658; (**AMENDED AS TO ACCESS CODE) **Access Code: 7359740. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (kh) TEXT ONLY ENTRY (Entered: 01/24/2018)

01/24/2018 231 ORDER GRANTING DEFENDANTS' UNOPPOSED APPLICATION FOR IN CAMERA REVIEW OF DEPOSITION TRANSCRIPTS by Magistrate Judge Jay C. Gandhi: The application 225 is hereby granted. Defendants shall immediately deliver full unredacted transcripts from the depositions of Alvin Wong, Bin Yao, Charles Eyler, Claire Sherman, Judith Bebchuk Segal, Kevin Clark and Puma's corporate representative (Judith Bebchuk Segal) for review, and file with the Court under seal. (kh) (Entered: 01/24/2018)

01/24/2018 232 SEALED DOCUMENT [Deposition Transcripts] re Objection/Opposition (Motion related), 223 , Leave For In Camera Review, 231 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Deposition Transcript of Kevin Clark, # 2 Deposition Transcript of Charles Eyler, # 3 Deposition Transcript of Judith Segal, # 4 Deposition Transcript of Judith Segal 2, # 5 Deposition Transcript of Claire Sherman, # 6 Deposition Transcript of Alvin Wong, # 7 Deposition Transcript of Yao Bin)(Tomkowiak, Sarah) (Entered: 01/24/2018)

01/24/2018 238 MINUTES OF TELEPHONIC DISCOVERY HEARING held before Magistrate Judge Jay C. Gandhi: Case called. Appearances announced. Telephonic Discovery Hearing held regarding Plaintiff's Request to Compel to Fully Answer Interrogatory No. 19 219 and Plaintiff's Request for Protective Order for Prohibiting Defendants and Defendants' Counsel from Videotaping Plaintiff's Counsel During Deposition 220 . The parties argue. The parties have stipulated to a special master to oversee the deposition of Alan Auerbach. The parties shall meet and confer to select an available special master, and submit a stipulation once selected. Plaintiff's Request to Compel to Fully Answer Interrogatory No. 19 is DENIED as articulated on the record. Court Recorder: CS 01/24/2018. (kh) (Entered: 02/15/2018)

01/25/2018 233 STIPULATION for Discovery as to Deposition of Alan Auerbach filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Proposed Order)(Tomkowiak, Sarah) (Entered: 01/25/2018)

01/26/2018 234 ORDER by Magistrate Judge Jay C. Gandhi Granting Joint Stipulation Regarding Deposition of Alan Auerbach 233 . IT IS HEREBY ORDERED THAT: 1. Judge Rosalyn Chapman (Retired) is appointed as special master; (see document for details). (dro) (Entered: 01/26/2018)

02/08/2018 235 NOTICE OF MOTION AND MOTION to Certify and Approve Unopposed Class Notice Plan and Schedule filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. Motion set for hearing on 3/12/2018 at 10:00 AM before Judge Andrew J. Guilford. (Attachments: # 1 Exhibit A - Postcard Notice, # 2 Exhibit B - Class Notice, # 3 Declaration of Alan Vasquez, # 4 Proposed Order) (Bakshi, Debashish) (Entered: 02/08/2018)

02/14/2018 236 APPLICATION to file document Portions of Plaintiff's Request and Certain Exhibits in Support Thereof under seal filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order, # 2 Redacted Document)(Gronborg, Tor) (Entered: 02/14/2018)

02/14/2018 237 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Portions of Plaintiff's Request and Certain Exhibits in Support Thereof under seal 236 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Unredacted Document)(Gronborg, Tor) (Entered: 02/14/2018)

02/15/2018 239 ORDER GRANTING PLAINTIFF'S APPLICATION FOR LEAVE TO FILE PORTIONS OF ITS REQUEST AND EXHIBITS IN SUPPORT THEREOF UNDER SEAL 236 by Magistrate Judge Jay C. Gandhi. (kh) (Entered: 02/15/2018)

02/16/2018 240 NOTICE OF NON-OPPOSITION to NOTICE OF MOTION AND MOTION to Certify and Approve Unopposed Class Notice Plan and Schedule 235 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Tomkowiak, Sarah) (Entered: 02/16/2018)

02/20/2018 241 NOTICE of Appearance filed by attorney Michael A Attanasio on behalf of Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc. (Attorney Michael A Attanasio added to party Alan H. Auerbach(pty:dft), Attorney Michael A Attanasio added to party Charles R. Eyler(pty:dft), Attorney Michael A Attanasio added to party Puma Biotechnology, Inc.(pty:dft))(Attanasio, Michael) (Entered: 02/20/2018)

02/20/2018 242 NOTICE of Appearance filed by attorney Koji F Fukumura on behalf of Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc. (Attorney Koji F Fukumura added to party Alan H. Auerbach(pty:dft), Attorney Koji F Fukumura added to party Charles R. Eyler(pty:dft), Attorney Koji F Fukumura added to party Puma Biotechnology, Inc.(pty:dft))(Fukumura, Koji) (Entered: 02/20/2018)

02/21/2018 243 NOTICE of Appearance filed by attorney Ryan E Blair on behalf of Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc. (Attorney Ryan E Blair added to party Alan H. Auerbach(pty:dft), Attorney Ryan E Blair added to

party Charles R. Eyler(pty:dft), Attorney Ryan E Blair added to party Puma Biotechnology, Inc.(pty:dft))(Blair, Ryan) (Entered: 02/21/2018)

02/21/2018 244 NOTICE of Appearance filed by attorney Mary Kathryn Kelley on behalf of Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc. (Attorney Mary Kathryn Kelley added to party Alan H. Auerbach(pty:dft), Attorney Mary Kathryn Kelley added to party Charles R. Eyler(pty:dft), Attorney Mary Kathryn Kelley added to party Puma Biotechnology, Inc.(pty:dft))(Kelley, Mary) (Entered: 02/21/2018)

02/21/2018 245 APPLICATION to file document (Response to Plaintiff's Letter Brief [236-2]) under seal filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Proposed Order, # 2 Redacted Document)(Tomkowiak, Sarah) (Entered: 02/21/2018)

02/21/2018 246 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document (Response to Plaintiff's Letter Brief [236-2]) under seal 245 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Unredacted Document)(Murphy, Kristin) (Entered: 02/21/2018)

02/21/2018 247 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Declaration in SupportDeclaration, 246 served on February 21, 2018. (Murphy, Kristin) (Entered: 02/21/2018)

02/22/2018 248 ORDER GRANTING DEFENDANTS' APPLICATION FOR LEAVE TO FILE DOCUMENTS IN SUPPORT OF DEFENDANTS' OPPOSITION TO MOTION TO COMPEL RE: REQUESTED FDA DEPOSITION UNDER SEAL by Magistrate Judge Jay C. Gandhi re Application to Seal Document 245 . (kh) (Entered: 02/22/2018)

02/22/2018 249 SEALED DOCUMENT (Response to Plaintiff's Letter Brief [236-2]) re Order on Motion for Leave to File Document Under Seal, 248 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc..(Tomkowiak, Sarah) (Entered: 02/22/2018)

02/22/2018 250 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Document 249 served on February 22, 2018. (Tomkowiak, Sarah) (Entered: 02/22/2018)

02/23/2018 251 SEALED DOCUMENT Plaintiff's Letter Request re Order on Motion for Leave to File Document Under Seal 239 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund.(Gronborg, Tor) (Entered: 02/23/2018)

02/23/2018 252 PROOF OF SERVICE filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund, re Sealed Document 251 served on February 23, 2018. (Gronborg, Tor) (Entered: 02/23/2018)

02/26/2018 253 APPLICATION to file document Plaintiff's Reply Letter and Exhibits Thereto under seal filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order, # 2 Redacted Document Reply Letter)(Gronborg, Tor) (Entered: 02/26/2018)

02/26/2018 254 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Plaintiff's Reply Letter and Exhibits Thereto under seal 253 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Unredacted Document Reply Letter)(Gronborg, Tor) (Entered: 02/26/2018)

02/26/2018 255 RESPONSE filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fundto Sealed Declaration in SupportDeclaration, 246 (Gronborg, Tor) (Entered: 02/26/2018)

03/02/2018 256 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Plaintiff's Reply Letter and Exhibits Thereto under seal 253 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc..(Murphy, Kristin) (Entered: 03/02/2018)

03/02/2018 257 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Declaration in SupportDeclaration 256 served on March 2, 2018. (Murphy, Kristin) (Entered: 03/02/2018)

03/05/2018 258 ORDER GRANTING PLAINTIFF'S APPLICATION FOR LEAVE TO FILE PORTIONS OF ITS REPLY LETTER AND EXHIBITS IN SUPPORT THEREOF UNDER SEAL by Magistrate Judge Jay C. Gandhi re Application to Seal Document 253 . (kh) (Entered: 03/06/2018)

03/06/2018 259 SEALED DOCUMENT Plaintiff's Reply Letter and Exhibits Thereto re Order on Motion for Leave to File Document Under Seal 258 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund.(Gronborg, Tor) (Entered: 03/06/2018)

03/06/2018 260 PROOF OF SERVICE filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund, re Sealed Document, 259 served on March 6, 2018. (Gronborg, Tor) (Entered: 03/06/2018)

03/12/2018 261 MINUTES (IN CHAMBERS) ORDER by Judge Andrew J. Guilford Granting With Modification 235 MOTION for Approval of Class Notice Plan and Schedule. The Court GRANTS WITH MODIFICATION Plaintiff's motion for approval of the class notice plan and schedule. (Dkt. No. 235 .) The Court also ADOPTS the implementation schedule included in the parties' proposed order. (Dkt. No. 235 at 6-7.) The Court APPOINTS Gilardi & Co. LLC as Notice Administrator. (see document for details). (dro) (Entered: 03/13/2018)

03/13/2018 262 ORDER GRANTING PLAINTIFFS UNOPPOSED MOTION FOR APPROVAL OF CLASS NOTICE PLAN AND SCHEDULE by Judge Andrew J. Guilford. Before the Court is Plaintiff's Unopposed Motion for Approval of Class Notice Plan and Schedule (the "Motion"). After considering the submission, and in light of defendants' non-opposition, the Court finds that the proposed method of providing notice of pendency satisfies the requirements of Rule 23 of the Federal Rules of Civil Procedure and due process. The Court GRANTS the Motion and directs the parties to implement the notice plan as set forth in plaintiff's Motion and as follows: (see document for details). (dro) (Entered: 03/13/2018)

03/30/2018 263 REPLY in Support of Motion to Compel Non-Party Mintz Levin to Respond to Plaintiff's December 4, 2017 Subpoena filed by Plaintiff Norfolk County Council, as

Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit 1 - Motion and Supporting Documents, # 2 Exhibit 2 - Opposition and Supporting Documents, # 3 Exhibit 3 - Transfer Order, # 4 Exhibit 4 - Metadata Chart)(Conn, Susannah) (Entered: 03/30/2018)

03/30/2018 264 DECLARATION of Susannah R. Conn re Reply (Motion related), 263 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Conn, Susannah) (Entered: 03/30/2018)

03/30/2018 265 APPLICATION to file document Exhibit B to Plaintiff's Motion to Compel under seal filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order)(Conn, Susannah) (Entered: 03/30/2018)

03/30/2018 266 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Exhibit B to Plaintiff's Motion to Compel under seal 265 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit B - Emails)(Conn, Susannah) (Entered: 03/30/2018)

04/02/2018 267 APPLICATION to file document Portions of Letter Motion to Compel JP Morgan to Produce Witness and Identify Documents and Exhibits in Support Thereof under seal filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order, # 2 Redacted Document Letter with Exhibits in Support Thereof)(Conn, Susannah) (Entered: 04/02/2018)

04/02/2018 268 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Portions of Letter Motion to Compel JP Morgan to Produce Witness and Identify Documents and Exhibits in Support Thereof under seal 267 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Unredacted Document Letter with Exhibits in Support Thereof)(Conn, Susannah) (Entered: 04/02/2018)

04/06/2018 269 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Portions of Letter Motion to Compel JP Morgan to Produce Witness and Identify Documents and Exhibits in Support Thereof under seal 267 filed by Interested Party J.P. Morgan Securities LLC.(Wang, Lucy) (Entered: 04/06/2018)

04/06/2018 270 PROOF OF SERVICE filed by non-party J.P. Morgan Securities LLC, re Sealed Declaration in SupportDeclaration, 269 served on April 6, 2018. (Wang, Lucy) (Entered: 04/06/2018)

04/09/2018 271 APPLICATION for Leave to file Portions of Its Opposition to Plaintiff's Motion to Compel Under Seal filed by Non-Party J.P. Morgan Securities LLC. (Attachments: # 1 Redacted Document Opposition to Motion to Compel and Exhibits 1-5, # 2 Proposed Order) (Wang, Lucy) (Entered: 04/09/2018)

04/09/2018 272 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Portions of Letter Motion to Compel JP Morgan to Produce Witness and Identify Documents and Exhibits in Support Thereof under seal 267 filed by Interested Party J.P. Morgan Securities LLC. (Attachments: # 1 Unredacted Document Opposition to Motion to Compel and Exhibits 1-5)(Wang, Lucy) (Entered: 04/09/2018)

04/09/2018 273 PROOF OF SERVICE filed by Non-Party J.P. Morgan Securities LLC, re Sealed Declaration in SupportDeclaration, 272 served on April 9, 2018. (Wang, Lucy) (Entered: 04/09/2018)

04/10/2018 274 APPLICATION to file document Portions of Plaintiff's Supplemental Reply and Exhibit in Support Thereof under seal filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order, # 2 Redacted Document)(Gronborg, Tor) (Entered: 04/10/2018)

04/10/2018 275 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Portions of Plaintiff's Supplemental Reply and Exhibit in Support Thereof under seal 274 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Unredacted Document)(Gronborg, Tor) (Entered: 04/10/2018)

04/11/2018 276 ORDER TRANSFERRING CIVIL ACTION pursuant to General Order 05-07. ORDER case transferred from Magistrate Judge Jay C. Gandhi to the calendar of Magistrate Judge Shashi H. Kewalramani for any discovery matters. The case number will now reflect the initials of the transferee Judge SACV15-00865 AG (SHKx). Signed by Magistrate Judge Magistrate Shashi H. Kewalramani and Magistrate Judge Jay C. Gandhi. (lwag) (Entered: 04/11/2018)

04/11/2018 277 APPLICATION to file document Portions of Plaintiff's Reply to Motion to Compel under seal filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order, # 2 Redacted Document)(Conn, Susannah) (Entered: 04/11/2018)

04/11/2018 278 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Portions of Plaintiff's Reply to Motion to Compel under seal 277 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Unredacted Document)(Conn, Susannah) (Entered: 04/11/2018)

04/16/2018 279 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Portions of Plaintiff's Reply to Motion to Compel under seal 277 filed by Interested Party J.P. Morgan Securities LLC.(Wang, Lucy) (Entered: 04/16/2018)

04/16/2018 280 PROOF OF SERVICE filed by Non-Party J.P. Morgan Securities LLC, re Sealed Declaration in SupportDeclaration 279 served on April 16, 2018. (Wang, Lucy) (Entered: 04/16/2018)

04/16/2018 281 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Portions of Plaintiff's Supplemental Reply and Exhibit in Support Thereof under seal 274 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc..(Murphy, Kristin) (Entered: 04/16/2018)

04/16/2018 282 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Declaration in SupportDeclaration, 281 served on April 16, 2018. (Murphy, Kristin) (Entered: 04/16/2018)

04/18/2018 283 APPLICATION to file document (Response to Plaintiff's Supplemental Reply [274-2]) under seal filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Proposed Order, # 2 Redacted Document)(Tomkowiak, Sarah) (Entered: 04/18/2018)

04/18/2018 284 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document (Response to Plaintiff's Supplemental Reply [274-2]) under seal 283 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Unredacted Document)(Murphy, Kristin) (Entered: 04/18/2018)

04/18/2018 285 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Declaration in SupportDeclaration, 284 served on April 18, 2018. (Murphy, Kristin) (Entered: 04/18/2018)

04/19/2018 286 RESPONSE filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fundto Sealed Declaration in SupportDeclaration, 284 (Bakshi, Debashish) (Entered: 04/19/2018)

04/23/2018 287 REPLY in Support of APPLICATION to file document (Response to Plaintiff's Supplemental Reply [274-2]) under seal 283 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Murphy, Kristin) (Entered: 04/23/2018)

04/26/2018 288 ORDER GRANTING DEFENDANTS APPLICATION FOR LEAVE TO FILE DEFENDANTS'RESPONSE TO PLAINTIFF'S SUPPLEMENTAL REPLY RE: REQUESTED FDA DEPOSITIONUNDER SEAL by Magistrate Judge Shashi H. Kewalramani: granting 283 APPLICATION to Seal Document. (dc) (Entered: 04/26/2018)

04/26/2018 289 SEALED DOCUMENT Defendants' Response to Plaintiff's Supplemental Reply re Order on Motion for Leave to File Document Under Seal, 288 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc..(Tomkowiak, Sarah) (Entered: 04/26/2018)

04/26/2018 290 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Document, 289 served on April 26, 2018. (Tomkowiak, Sarah) (Entered: 04/26/2018)

04/27/2018 291 ORDER GRANTING NONPARTY J.P. MORGAN SECURITIES LLC'S APPLICATION FOR LEAVE TOFILE PORTIONS OF ITS OPPOSITION TO PLAINTIFF'S MOTION TO COMPEL UNDER SEAL by Magistrate Judge Shashi H. Kewalramani: granting 271 APPLICATION for Leave to File (dc) (Entered: 04/30/2018)

04/27/2018 292 ORDER GRANTING PLAINTIFF'S APPLICATION FOR LEAVE TO FILE PORTIONS OF ITS LETTERMOTION AND EXHIBITS IN SUPPORT THEREOF UNDER SEAL by Magistrate Judge Shashi H. Kewalramani: 267 APPLICATION to Seal Document (dc) (Entered: 04/30/2018)

04/27/2018 293 ORDER GRANTING PLAINTIFF'S APPLICATION FOR LEAVE TO FILE PORTIONS OF ITS REPLYUNDER SEAL by Magistrate Judge Shashi H. Kewalramani: granting 277 APPLICATION to Seal Document (dc) (Entered: 04/30/2018)

04/27/2018 294 ORDER GRANTING PLAINTIFF'S APPLICATION FOR LEAVE TO FILE EXHIBIT B IN SUPPORT OFMOTION TO COMPEL UNDER SEAL by Magistrate Judge Shashi H. Kewalramani: granting 265 APPLICATION to Seal Document (dc) (Entered: 04/30/2018)

04/27/2018 295 ORDER GRANTING PLAINTIFF'S APPLICATION FOR LEAVE TO FILE PORTIONS OF ITSSUPPLEMENTAL REPLY AND EXHIBIT IN SUPPORT THEREOF UNDER SEAL by Magistrate Judge Shashi H. Kewalramani: granting 274 APPLICATION to Seal Document (dc) (Entered: 04/30/2018)

05/01/2018 296 SEALED DOCUMENT Non-Party J.P. Morgan Securities LLC's Opposition to Plaintiff's Motion to Compel re Order on Motion for Leave to File Document, 291 filed by Interested Party J.P. Morgan Securities LLC.(Shimada, Charlene) (Entered: 05/01/2018)

05/01/2018 297 PROOF OF SERVICE filed by Non-Party J.P. Morgan Securities LLC, re Sealed Document 296 served on May 1, 2018. (Shimada, Charlene) (Entered: 05/01/2018)

05/07/2018 298 SEALED DOCUMENT Exhibit B to Plaintiff's March 30, 2018 Letter re Reply (Motion related), 263 , Order on Motion for Leave to File Document Under Seal 294 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund.(Conn, Susannah) (Entered: 05/07/2018)

05/07/2018 299 PROOF OF SERVICE filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund, re Sealed Document, 298 served on May 7, 2018. (Conn, Susannah) (Entered: 05/07/2018)

05/07/2018 300 SEALED DOCUMENT Plaintiff's April 2, 2018 Letter and Exhibits Thereto re APPLICATION to file document Portions of Letter Motion to Compel JP Morgan to Produce Witness and Identify Documents and Exhibits in Support Thereof under seal 267 , Order on Motion for Leave to File Document Under Seal 292 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund.(Conn, Susannah) (Entered: 05/07/2018)


05/07/2018 302 SEALED DOCUMENT Plaintiff's April 11, 2018 Letter re APPLICATION to file document Portions of Plaintiff's Reply to Motion to Compel under seal 277 , Order on Motion for Leave to File Document Under Seal 293 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund.(Conn, Susannah) (Entered: 05/07/2018)


05/07/2018 304 SEALED DOCUMENT Plaintiff's April 10, 2018 Letter and Exhibit Thereto re APPLICATION to file document Portions of Plaintiff's Supplemental Reply and Exhibit in Support Thereof under seal 274 , Order on Motion for Leave to File Document Under Seal 295 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund.(Gronborg, Tor) (Entered: 05/07/2018)

05/07/2018 305 PROOF OF SERVICE filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund, re Sealed Document, 304 served on May 7, 2018. (Gronborg, Tor) (Entered: 05/07/2018)

05/18/2018 306 SCHEDULING TELEPHONIC CONFERENCE NOTICE RE DISCOVERY DEPOSITION DISPUTE Telephone Conference set for 5/23/2018 10:00 AM before Magistrate Judge Shashi H. Kewalramani. Counsel are to contact the Courtroom Deputy Clerk if they have not received their dial instructions upon filing of this notice.THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (dc) TEXT ONLY ENTRY (Entered: 05/18/2018)

05/21/2018 307 MINUTE ORDER IN CHAMBERS by Magistrate Judge Shashi H. Kewalramani:After the Court has received Mintz Levins response to the letter, the Courtintends to promptly schedule a telephonic conference to address the issuespresented in Plaintiffs motion. (dc) (Entered: 05/21/2018)

05/22/2018 308 NOTICE of Appearance filed by attorney Eric J Eastham on behalf of ThirdParty Defendant Mintz Levin Cohn Feris Glovsky and Popeo (Attorney Eric J Eastham added to party Mintz Levin Cohn Feris Glovsky and Popeo(pty:3pd))(Eastham, Eric) (Entered: 05/22/2018)

05/23/2018 310 MINUTES OF Telephone Conference held before Magistrate Judge Shashi H. Kewalramani: Following discussion between the Court and counsel, the Court raised the issue regarding the discovery request was filed with the Court beyond the discovery cut-off date. The Magistrate Judge does not have the authority to alter the District Judge's scheduling order. The Court encouraged the parties to contact the Courtroom Deputy Clerk to District Judge Guilford for further guidance as to extending Judge Guilford's discovery order. Court Recorder: XTR Recording. (dc) (Entered: 05/25/2018)

05/25/2018 309 SCHEDULING TELEPHONIC CONFERENCE NOTICE RE JP MORGAN DISCOVERY DISPUTE: Telephone Conference set for 6/7/2018 10:00 AM before Magistrate Judge Shashi H. Kewalramani. Counsel are to contact the Courtroom Deputy Clerk if they have not received their dial instructions upon filing of this notice.THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (dc) TEXT ONLY ENTRY (Entered: 05/25/2018)

05/25/2018 311 NOTICE OF MOTION AND MOTION to Serve a Deposition Subpoena on the U.S. Food and Drug Administration filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order) (Gronborg, Tor) (Entered: 05/25/2018)

05/25/2018 312 APPLICATION to file document Portions of the Memorandum of Law in Support of Plaintiff's Motion for Leave to Serve a Deposition Subpoena on the U.S. Food and Drug Administration and Certain Exhibits to the Declaration of Tor Gronborg in Support Thereof under seal filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order, # 2 Redacted Document Memorandum of Law, # 3 Redacted Document Declaration of Tor Gronborg)(Gronborg, Tor) (Entered: 05/25/2018)

05/25/2018 313 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Portions of the Memorandum of Law in Support of Plaintiff's Motion for Leave to Serve a Deposition Subpoena on the U.S. Food and Drug Administration and Certain Exhibits to the Declaration of Tor Gronborg in Suppor 312 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Unredacted Document Memorandum of Law, # 2 Unredacted

Document Sealed Exhibits to Declaration of Tor Gronborg)(Gronborg, Tor) (Entered: 05/25/2018)

05/29/2018 314 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Portions of the Memorandum of Law in Support of Plaintiff's Motion for Leave to Serve a Deposition Subpoena on the U.S. Food and Drug Administration and Certain Exhibits to the Declaration of Tor Gronborg in Suppor 312 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Unredacted Document (Exhibit D), # 2 Unredacted Document (Exhibit H), # 3 Unredacted Document (Exhibit J), # 4 Unredacted Document (Exhibit K))(Murphy, Kristin) (Entered: 05/29/2018)

05/29/2018 315 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Declaration in SupportDeclaration,, 314 served on May 29, 2018. (Murphy, Kristin) (Entered: 05/29/2018)

05/30/2018 316 RESPONSE filed by ThirdParty Defendant Mintz Levin Cohn Feris Glovsky and Popeoto Reply (Motion related), 263 (Attachments: # 1 Exhibit A)(Eastham, Eric) (Entered: 05/30/2018)

05/30/2018 317 APPLICATION of Non-Resident Attorney John F. Sylvia to Appear Pro Hac Vice on behalf of ThirdParty Defendant Mintz Levin Cohn Feris Glovsky and Popeo (Pro Hac Vice Fee - Fee Paid, Receipt No. 0973-21839580) Mintz Levin Cohn Feris Glovsky and Popeo. (Attachments: # 1 Proposed Order) (Eastham, Eric) (Entered: 05/30/2018)

05/30/2018 318 ORDER by Judge Andrew J. Guilford: granting 312 APPLICATION for Leave to File Portions of its Motion and Exhibits in Support Thereof Under Seal. Accordingly, the Court ORDERS that the Motion and exhibits in support thereof shall be filed under seal. (twdb) (Entered: 05/30/2018)

05/31/2018 319 ORDER by Judge Andrew J. Guilford: Granting 317 Non-Resident Attorney John F Sylvia APPLICATION to Appear Pro Hac Vice on behalf of ThirdParty Defendant Mintz Levin Cohn Feris Glovsky and Popeo, designating Eric J Eastham as local counsel. (mt) (Entered: 05/31/2018)

05/31/2018 320 SEALED DOCUMENT Memorandum of Law in Support of Plaintiff's Motion for Leave to Serve a Deposition Subpoena on the U.S. Food and Drug Administration re Order on Motion for Leave to File Document Under Seal, 318 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund.(Gronborg, Tor) (Entered: 05/31/2018)

05/31/2018 321 SEALED DOCUMENT Exhibits A-D and G-K to the Declaration of Tor Gronborg in Support of Plaintiff's Motion for Leave to Serve a Deposition Subpoena on the U.S. Food and Drug Administration re Order on Motion for Leave to File Document Under Seal, 318 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund.(Gronborg, Tor) (Entered: 05/31/2018)

05/31/2018 322 PROOF OF SERVICE filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund, re Sealed Document, 320 , Sealed Document, 321 served on May 31, 2018. (Gronborg, Tor) (Entered: 05/31/2018)

06/01/2018 323 SCHEDULING TELEPHONIC NOTICE RE PRODUCTION OF DOCUMENTS DISCOVERY AS TO MINTZ LEVIN. Telephone Conference set for 6/8/2018 10:00 AM before Magistrate Judge Shashi H. Kewalramani. The parties have been provided with their dial instructions at the time of filing of this notice. Parties who have not received their dial instructions are to contact the courtroom clerk. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (dc) TEXT ONLY ENTRY (Entered: 06/01/2018)

06/05/2018 324 APPLICATION to file document (Opposition to Plaintiff's Motion to Serve a Deposition Subpoena on the U.S. Food and Drug Administration 311 ) under seal filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Proposed Order, # 2 Redacted Document (Opposition to Motion to Serve a Deposition Subpoena on the U.S. Food and Drug Administration), # 3 Redacted Document (Declaration of Kristin N. Murphy))(Tomkowiak, Sarah) (Entered: 06/05/2018)

06/05/2018 325 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document (Opposition to Plaintiff's Motion to Serve a Deposition Subpoena on the U.S. Food and Drug Administration 311 ) under seal 324 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Unredacted Document (Opposition to Motion to Serve a Deposition Subpoena on the U.S. Food and Drug Administration), # 2 Unredacted Document (Declaration of Kristin N. Murphy))(Murphy, Kristin) (Entered: 06/05/2018)

06/05/2018 326 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Declaration in SupportDeclaration,, 325 served on June 5, 2018. (Murphy, Kristin) (Entered: 06/05/2018)

06/06/2018 327 NOTICE of Appearance filed by attorney Craig Edward TenBroeck on behalf of Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc. (Attorney Craig Edward TenBroeck added to party Alan H. Auerbach(pty:dft), Attorney Craig Edward TenBroeck added to party Charles R. Eyler(pty:dft), Attorney Craig Edward TenBroeck added to party Puma Biotechnology, Inc.(pty:dft))(TenBroeck, Craig) (Entered: 06/06/2018)

06/07/2018 328 MINUTES OF TELEPHONIC STATUS CONFERENCE: RE DISCOVERYDEPOSITION DISPUTE held before Magistrate Judge Shashi H. Kewalramani: Counsel were ordered to submit letter briefs to the Court that are no more than two (2) pages in length by 5 p.m. on June 8, 2018 to include the information discussed during the telephonic hearing. The Court will then take thematter under submission and issue its ruling on a separate cover. Court Recorder: XTR Recording. (dc) (Entered: 06/08/2018)

06/08/2018 329 MINUTES OF Telephone Conference held before Magistrate Judge Shashi H. Kewalramani: With respect to documents at issue ending with Bate Numbers 37, 81, 321, 328 and 495 the Court ORDERS counsel for Mintz Levin to file with the Court the redacted documents by Tuesday, June 12, 2018. The unredacted portions of those same documents shall be sent via email to [email protected] to allow the Court to conduct an in camerareview. Court Recorder: XTR Recording. (Entered: 06/08/2018)

06/08/2018 330 SUPPLEMENT Supplemental Letter Brief in Support of Plaintiff's Motion to Compel Further Rule 30(b)(6) Testimony from J.P. Morgan Securities LLC filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Conn, Susannah) (Entered: 06/08/2018)

06/08/2018 331 SUPPLEMENT Non-Party J.P. Morgan Securities LLC's Supplemental Letter Brief In Opposition to Motion to Compel filed by Interested Party J.P. Morgan Securities LLC. (Wang, Lucy) (Entered: 06/08/2018)

06/11/2018 332 APPLICATION to file document Portions of Plaintiff's Reply in Further Support of Motion for Leave to Serve a Deposition Subpoena on the U.S. Food and Drug Administration and Certain Exhibits to the Declaration of Tor Gronborg in Support Thereof under seal filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order, # 2 Redacted Document Reply, # 3 Redacted Document Declaration of Tor Gronborg in Support of Reply)(Gronborg, Tor) (Entered: 06/11/2018)

06/11/2018 333 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Portions of Plaintiff's Reply in Further Support of Motion for Leave to Serve a Deposition Subpoena on the U.S. Food and Drug Administration and Certain Exhibits to the Declaration of Tor Gronborg in Support Thereo 332 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Unredacted Document Reply, # 2 Unredacted Document Sealed Exhibits to Declaration of Tor Gronborg in Support of Reply)(Gronborg, Tor) (Entered: 06/11/2018)

06/15/2018 334 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Portions of Plaintiff's Reply in Further Support of Motion for Leave to Serve a Deposition Subpoena on the U.S. Food and Drug Administration and Certain Exhibits to the Declaration of Tor Gronborg in Support Thereo 332 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc..(Murphy, Kristin) (Entered: 06/15/2018)

06/15/2018 335 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Declaration in SupportDeclaration, 334 served on June 15, 2018. (Murphy, Kristin) (Entered: 06/15/2018)

06/20/2018 336 ORDER RE DISCOVERY MOTION FOR RULE 30(B)(6) DEPOSITION OF NON-PARTY JP MORGAN SECURITIES, LLC by Magistrate Judge Shashi H. Kewalramani. Having reviewed the papers filed by the parties and the arguments made by the parties involved in this dispute as well as by the other parties to this litigation, the Court GRANTS IN PART and DENIES IN PART Plaintiffs' Motion. ECF Nos. 267-272, 278, 296, 298, 300, 302, 330, and 331. (SEE ORDER FOR FURTHER DETAILS) (iva) (Entered: 06/20/2018)

06/21/2018 337 ORDER by Judge Andrew J. Guilford: Granting Defendants' APPLICATION for Leave to File Documents in Support of Defendants' Opposition to Plaintiff's Motion for Leave to Serve a Deposition Subpoena on the U.S. Food and Drug Administration Under Seal 324 . (mt) (Entered: 06/21/2018)

06/21/2018 338 ORDER by Judge Andrew J. Guilford: Granting Plaintiff's APPLICATION for Leave to File Portions of Its Reply and Exhibits in Support Thereof Under Seal 332 (mt) (Entered: 06/21/2018)

06/21/2018 339 STATEMENT Submission of Requests for Exclusion Resulting from Notice of Pendency of Class Action in Accordance with ECF No. 262 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund (Attachments: # 1 Exhibit 1 - Declaration of Michael Joaquin, # 2 Exhibit 2 - Cease and Desist Order)(Bakshi, Debashish) (Entered: 06/21/2018)

06/21/2018 340 SEALED OPPOSITION RE NOTICE OF MOTION AND MOTION to Serve a Deposition Subpoena on the U.S. Food and Drug Administration 311 , Order on Motion for Leave to File Document Under Seal, 337 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc..(Tomkowiak, Sarah) (Entered: 06/21/2018)

06/21/2018 341 SEALED DOCUMENT (Declaration of Kristin N. Murphy) re Sealed Opposition, 340 , Order on Motion for Leave to File Document Under Seal, 337 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc..(Murphy, Kristin) (Entered: 06/21/2018)

06/21/2018 342 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Opposition, 340 , Sealed Document, 341 served on June 21, 2018. (Murphy, Kristin) (Entered: 06/21/2018)

06/22/2018 343 SEALED DOCUMENT Plaintiff's Reply in Further Support of Motion for Leave to Serve a Deposition Subpoena on the U.S. Food and Drug Administration re Order on Motion for Leave to File Document Under Seal 338 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund.(Gronborg, Tor) (Entered: 06/22/2018)

06/22/2018 344 SEALED DOCUMENT Exhibits 1 and 3-5 to the Declaration of Tor Gronborg in Support of Plaintiff's Reply in Further Support of Motion for Leave to Serve a Deposition Subpoena on the U.S. Food and Drug Administration re Order on Motion for Leave to File Document Under Seal 338 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund.(Gronborg, Tor) (Entered: 06/22/2018)

06/22/2018 345 PROOF OF SERVICE filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund, re Sealed Document, 344 , Sealed Document, 343 served on June 22, 2018. (Gronborg, Tor) (Entered: 06/22/2018)

06/25/2018 346 APPLICATION of Non-Resident Attorney Andrew B. Clubok to Appear Pro Hac Vice on behalf of Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc. (Pro Hac Vice Fee - Fee Paid, Receipt No. 0973-21986756) filed by Defendants Al an H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Proposed Order) (Johnson, Michele) (Entered: 06/25/2018)

06/25/2018 355 MINUTES OF MOTION FOR LEAVE TO SERVE A DEPOSITION SUBPOENA ON THE US FOOD AND DRUG ADMINISTRATION [DKT 311] Hearing held: Motion argued and DENIED. Court Reporter: Miriam Baird. (lb) (Entered: 06/29/2018)

06/26/2018 347 NOTICE of Deficiency in Electronically Filed Pro Hac Vice Application RE: APPLICATION of Non-Resident Attorney Andrew B. Clubok to Appear Pro Hac Vice on behalf of Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc. (Pro Hac Vice Fee - Fee Paid, Receipt No. 0973-21986756) 346

. The following error(s) was/were found: Local Rule 83-2.1.3.3(a) Application not complete: state and/or federal courts to which the applicant has been admitted are not listed. (lom) (Entered: 06/26/2018)

06/26/2018 348 ORDER by Judge Andrew J. Guilford, GRANTING 346 Non-Resident Attorney Andrew B Clubok APPLICATION to Appear Pro Hac Vice on behalf of Defendant Puma Biotechnology, Inc., Alan H. Auerbach, and Charles R. Eyler, designating Michele D Johnson as local counsel. (es) (Entered: 06/26/2018)

06/26/2018 349 APPLICATION to file document Letter Motion to Strike Defendants' Confidentiality Designations of Selected Excerpts and Exhibits from Defendant Alan H. Auerbach's Deposition Transcript and Exhibits Thereto under seal filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order, # 2 Redacted Document Letter Motion with Exhibits)(Gray, Joseph) (Entered: 06/26/2018)

06/26/2018 350 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Letter Motion to Strike Defendants' Confidentiality Designations of Selected Excerpts and Exhibits from Defendant Alan H. Auerbach's Deposition Transcript and Exhibits Thereto under seal 349 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Unredacted Document Sealed Letter with Exhibits)(Gray, Joseph) (Entered: 06/26/2018)

06/27/2018 351 ORDER RE PLAINTIFFS' DISCOVERY MOTION TO COMPEL PRODUCTION OF DOCUMENTS FROM NON-PARTY MINTZ, LEVIN, COHEN, FERRIS, GLOVSKY & POPEO 263 by Magistrate Judge Shashi H. Kewalramani. IT IS HEREBY ORDERED that Plaintiff's Motion is GRANTED IN PART AND DENIED IN PART and Mintz Levin is to produce the unredacted e-mails in accordance with the previous reasoning in this order within 3 business days. Each side is to bear its own costs and attorneys' fees. (see order for details) (hr) (Entered: 06/27/2018)

06/28/2018 352 TRANSCRIPT for proceedings held on 6/25/18 10:30 am. Court Reporter/Electronic Court Recorder: Miriam V. Baird, 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 7/19/2018. Redacted Transcript Deadline set for 7/30/2018. Release of Transcript Restriction set for 9/26/2018. (Baird, Miriam) (Entered: 06/28/2018)

06/28/2018 353 NOTICE OF FILING TRANSCRIPT filed for proceedings 6/25/18 re Transcript 352 THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (Baird, Miriam) TEXT ONLY ENTRY (Entered: 06/28/2018)

06/28/2018 354 ORDER GRANTING PLAINTIFFS APPLICATION FOR LEAVE TO FILE PORTIONS OF ITS LETTERMOTION AND EXHIBITS IN SUPPORT THEREOF UNDER SEAL by Magistrate Judge Shashi H. Kewalramani: granting 349 APPLICATION to Seal Document (dc) (Entered: 06/28/2018)

07/02/2018 356 SEALED DOCUMENT Plaintiff's Letter Motion to Strike Defendants' Confidentiality Designations on Selected Excerpts and Exhibits from Defendant

Auerbach's Deposition and Exhibits A and K-L Thereto re Order on Motion for Leave to File Document Under Seal 354 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund.(Gray, Joseph) (Entered: 07/02/2018)

07/02/2018 357 PROOF OF SERVICE filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund, re Sealed Document, 356 served on July 2, 2018. (Gray, Joseph) (Entered: 07/02/2018)

07/03/2018 358 NOTICE OF MOTION AND MOTION to Strike Plaintiff's Redacted Letter Motion to Strike Defendants' Confidentiality Designations on Selected Excerpts and Exhibits from Defendant Auerbach's Deposition filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit A - Auerbach Deposition Excerpts (Redacted), # 2 Exhibit B - Email Exchange, # 3 Exhibit C - Letter, # 4 Exhibit D - Email Exchange, # 5 Exhibit E - Letter, # 6 Exhibit F - Email Exchange, # 7 Exhibit G - Email Exchange, # 8 Exhibit H - Email Exchange, # 9 Exhibit I - Depo Exs. 468-470, # 10 Exhibit J - Email Exchange, # 11 Exhibit K - Filed Under Seal, # 12 Exhibit L - Filed Under Seal)(Gray, Joseph) (Entered: 07/03/2018)

07/03/2018 359 APPLICATION to file document (Opposition to Motion to Strike Confidentiality Designations to Defendant Auerbach's Deposition Testimony) under seal filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Proposed Order, # 2 Redacted Document (Opposition to Motion to Strike Confidentiality Designations to Defendant Auerbach's Deposition Testimony), # 3 Redacted Document (Exhibit 3), # 4 Redacted Document (Exhibit 4))(Tomkowiak, Sarah) (Entered: 07/03/2018)

07/03/2018 360 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document (Opposition to Motion to Strike Confidentiality Designations to Defendant Auerbach's Deposition Testimony) under seal 359 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Unredacted Document (Opposition to Motion to Strike Confidentiality Designations to Defendant Auerbach's Deposition Testimony), # 2 Unredacted Document (Exhibit 3), # 3 Unredacted Document (Exhibit 4))(Murphy, Kristin) (Entered: 07/03/2018)

07/03/2018 361 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Declaration in SupportDeclaration,, 360 served on July 3, 2018. (Murphy, Kristin) (Entered: 07/03/2018)

07/03/2018 362 OPPOSITION re: MOTION to Strike Plaintiff's Redacted Letter Motion to Strike Defendants' Confidentiality Designations on Selected Excerpts and Exhibits from Defendant Auerbach's Deposition 358 (Redacted) filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(Smith, Colleen) (Entered: 07/03/2018)

07/09/2018 363 APPLICATION to file document Reply Letter in Support of Plaintiff's Letter Motion to Strike under seal filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order, # 2 Redacted Document Reply Letter)(Gray, Joseph) (Entered: 07/09/2018)

07/09/2018 364 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Reply Letter in Support of Plaintiff's Letter Motion to Strike under seal 363 filed by

Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Unredacted Document Reply Letter)(Gray, Joseph) (Entered: 07/09/2018)

07/09/2018 365 REPLY in Support of MOTION to Strike Plaintiff's Redacted Letter Motion to Strike Defendants' Confidentiality Designations on Selected Excerpts and Exhibits from Defendant Auerbach's Deposition 358 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit M - Email Exchange, # 2 Exhibit N - Hearing Transcript, # 3 Exhibit O - Conference Call Transcript)(Gray, Joseph) (Entered: 07/09/2018)

07/10/2018 366 ORDER GRANTING PLAINTIFF'S APPLICATION FOR LEAVE TO FILE PORTIONS OF ITSREPLY LETTER UNDER SEAL by Magistrate Judge Shashi H. Kewalramani: 363 APPLICATION to Seal Document. The Court ORDERS that the Reply be filed under seal. (dc) (Entered: 07/10/2018)

07/10/2018 367 NOTICE OF MOTION AND MOTION for Partial Summary Judgment as to Classwide Reliance and Four Affirmative Defenses filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. Motion set for hearing on 9/24/2018 at 10:00 AM before Judge Andrew J. Guilford. (Attachments: # 1 Proposed Order) (Conn, Susannah) (Entered: 07/10/2018)

07/10/2018 368 MEMORANDUM in Support of NOTICE OF MOTION AND MOTION for Partial Summary Judgment as to Classwide Reliance and Four Affirmative Defenses 367 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Conn, Susannah) (Entered: 07/10/2018)

07/10/2018 369 DECLARATION of Trig R. Smith in Support of NOTICE OF MOTION AND MOTION for Partial Summary Judgment as to Classwide Reliance and Four Affirmative Defenses 367 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit 1 - Trading Records, # 2 Exhibit 2 - Trading Records, # 3 Exhibit 3 - Complaint, # 4 Exhibit 4 - Answer, # 5 Exhibit 5 - Press Release, # 6 Exhibit 6 - 07.22.14 Conference Call, # 7 Exhibit 7 - Slip Sheet, # 8 Exhibit 8 - 11.13.14 Conference Call, # 9 Exhibit 9 - Portions of Form S-3ASR, # 10 Exhibit 10 - Portions of Form 424B2, # 11 Exhibit 11 - 02.12.15 Conference Call, # 12 Exhibit 12 - Portions of Form 10-K, # 13 Exhibit 13 - 03.03.15 Conference Call, # 14 Exhibit 14 - 05.07.15 Conference Call, # 15 Exhibit 15 - Motion for Class Certification, # 16 Exhibit 16 - 03.15.2017 Expert Report of Steven Feinstein, # 17 Exhibit 17 - Statement of Non-Opposition, # 18 Exhibit 18 - Portions of Expert Paul Gompers Deposition Transcript, # 19 Exhibit 19 - Defendants' Responses to Interrogatories, # 20 Exhibit 20 - 03.02.2018 Expert Report of Steven Feinstein, # 21 Exhibit 21 - 04.11.2018 Expert Report of Paul Gompers)(Smith, Trig) (Entered: 07/10/2018)

07/10/2018 370 STATEMENT of Uncontroverted Facts and Conclusions of Law in Support of NOTICE OF MOTION AND MOTION for Partial Summary Judgment as to Classwide Reliance and Four Affirmative Defenses 367 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Smith, Trig) (Entered: 07/10/2018)

07/10/2018 371 NOTICE OF LODGING filed Exhibit 7 to the Declaration of Trig R. Smith in Support of Plaintiff's Motion for Partial Summary Judgment re Declaration (Motion related),,,,, 369 (Conn, Susannah) (Entered: 07/10/2018)

07/10/2018 372 NOTICE OF MOTION AND MOTION for Summary Judgment filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. Motion set for hearing on 9/24/2018 at 10:00 AM before Judge Andrew J. Guilford. (Attachments: # 1 Memorandum of Points and Authorities, # 2 Statement of Uncontroverted Facts and Conclusions of Law (Redacted), # 3 Proposed Order Proposed Judgment) (Johnson, Michele) (Entered: 07/10/2018)

07/10/2018 373 REQUEST FOR JUDICIAL NOTICE re NOTICE OF MOTION AND MOTION for Summary Judgment 372 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Proposed Order)(Johnson, Michele) (Entered: 07/10/2018)

07/10/2018 374 DECLARATION of Charles Eyler in support of NOTICE OF MOTION AND MOTION for Summary Judgment 372 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 07/10/2018)

07/11/2018 375 DECLARATION of Alan H. Auerbach in Support of NOTICE OF MOTION AND MOTION for Summary Judgment 372 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit 178-193, # 2 Exhibit 194-199, # 3 Exhibit 200, # 4 Exhibit 201-203, # 5 Exhibit 204-208, # 6 Exhibit 209-212)(Johnson, Michele) (Entered: 07/11/2018)

07/11/2018 376 DECLARATION of Kristin N. Murphy in Support of NOTICE OF MOTION AND MOTION for Summary Judgment 372 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibits 1-30, # 2 Exhibits 31-40, # 3 Exhibits 41-47, # 4 Exhibit 48, # 5 Exhibits 49-80, # 6 Exhibit 81, # 7 Exhibit 82, # 8 Exhibits 83-92, # 9 Exhibit 93, # 10 Exhibits 94-107, # 11 Exhibits 108-109, # 12 Exhibit 110, # 13 Exhibits 111-112, # 14 Exhibits 113-114, # 15 Exhibits 115-118, # 16 Exhibits 120-126, # 17 Exhibits 127-129, # 18 Exhibits 130-150, # 19 Exhibits 151-156, # 20 Exhibits 157-160, # 21 Exhibits 213-214)(Murphy, Kristin) (Entered: 07/11/2018)

07/11/2018 377 APPLICATION to file document (Documents in Support of Defendants' Motion for Summary Judgment) under seal filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Proposed Order, # 2 Redacted Document Separate Statement of Uncontroverted Facts and Conclusions of Law, # 3 Redacted Document Exhibit 3 to Declaration of Kristin N. Murphy, # 4 Redacted Document Exhibit 4 to Declaration of Kristin N. Murphy, # 5 Redacted Document Exhibit 26 to Declaration of Kristin N. Murphy)(Tomkowiak, Sarah) (Entered: 07/11/2018)

07/11/2018 378 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document (Documents in Support of Defendants' Motion for Summary Judgment) under seal 377 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Unredacted Document Separate Statement of Uncontroverted Facts and Conclusions of Law, # 2 Unredacted Document Exhibit 3 to Declaration of Kristin N. Murphy, # 3 Unredacted Document Exhibit 4 to Declaration of Kristin

N. Murphy, # 4 Unredacted Document Exhibit 7 to Declaration of Kristin N. Murphy, # 5 Unredacted Document Exhibit 10 to Declaration of Kristin N. Murphy, # 6 Unredacted Document Exhibit 16 to Declaration of Kristin N. Murphy, # 7 Unredacted Document Exhibit 26 to Declaration of Kristin N. Murphy, # 8 Unredacted Document Exhibit 30 to Declaration of Kristin N. Murphy, # 9 Unredacted Document Exhibits 43-46 to Declaration of Kristin N. Murphy, # 10 Unredacted Document Exhibits 49-51 to Declaration of Kristin N. Murphy, # 11 Unredacted Document Exhibits 53-57 to Declaration of Kristin N. Murphy, # 12 Unredacted Document Exhibits 60-65 to Declaration of Kristin N. Murphy, # 13 Unredacted Document Exhibits 66-72 to Declaration of Kristin N. Murphy, # 14 Unredacted Document Exhibits 73-76 to Declaration of Kristin N. Murphy, # 15 Unredacted Document Exhibit 85 to Declaration of Kristin N. Murphy, # 16 Unredacted Document Exhibit 95 to Declaration of Kristin N. Murphy, # 17 Unredacted Document Exhibit 96 to Declaration of Kristin N. Murphy, # 18 Unredacted Document Exhibit 97 to Declaration of Kristin N. Murphy, # 19 Unredacted Document Exhibits 101-103 to Declaration of Kristin N. Murphy, # 20 Unredacted Document Exhibit 105 to Declaration of Kristin N. Murphy, # 21 Unredacted Document Exhibit 107 to Declaration of Kristin N. Murphy)(Murphy, Kristin) (Entered: 07/11/2018)

07/11/2018 379 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Declaration in SupportDeclaration,,,,,,, 378 served on July 11, 2018. (Murphy, Kristin) (Entered: 07/11/2018)





07/11/2018 384 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re APPLICATION to file document (Documents in Support of Defendants' Motion for Summary Judgment) under seal 377 , Sealed Declaration in SupportDeclaration,,,,,,, 378 on Designating Third Party RBC Capital Markets served on July 11, 2018. (Murphy, Kristin) (Entered: 07/11/2018)

07/11/2018 385 NOTICE OF MOTION AND MOTION for Order to Show Cause re: JP Morgan Non-Compliance with June 20, 2018 Discovery Order Letter Motion for Order to Show Cause filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Conn, Susannah) (Entered: 07/11/2018)

07/11/2018 386 DECLARATION of Marco Janoski in Support of NOTICE OF MOTION AND MOTION for Order to Show Cause re: JP Morgan Non-Compliance with June 20,

2018 Discovery Order Letter Motion for Order to Show Cause 385 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit 1 - Email Exchange)(Gray, Joseph) (Entered: 07/11/2018)

07/12/2018 387 SEALED DOCUMENT Plaintiff's Reply Letter in Further Support of Its Motion to Strike Defendants' Confidentiality Designations on Selected Excerpts and Exhibits from Defendant Auerbach's Deposition re Order on Motion for Leave to File Document Under Seal 366 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund.(Gray, Joseph) (Entered: 07/12/2018)

07/12/2018 388 PROOF OF SERVICE filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund, re Sealed Document, 387 served on July 12, 2018. (Gray, Joseph) (Entered: 07/12/2018)

07/12/2018 389 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: NOTICE OF MOTION AND MOTION for Order to Show Cause re: JP Morgan Non-Compliance with June 20, 2018 Discovery Order Letter Motion for Order to Show Cause 385 . The following error(s) was/were found: Caption of document is incomplete/incorrect. Case number is incorrect or missing. Incorrect document is attached to the docket entry. Other error(s) with document(s): Proposed document was not submitted as separate attachment.. 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. You need not take any action in response to this notice unless and until the Court directs you to do so. (es) (Entered: 07/12/2018)

07/12/2018 390 NOTICE OF ERRATA filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. correcting NOTICE OF MOTION AND MOTION for Summary Judgment 372 (Attachments: # 1 Corrected Memorandum In Support of Defendants' Motion for Summary Judgment)(Murphy, Kristin) (Entered: 07/12/2018)

07/12/2018 391 ORDER by Judge Andrew J. Guilford: Granting Defendants' APPLICATION for Leave to File Documents in Support of Motion for Summary Judgment Under Seal 377 . (mt) (Entered: 07/12/2018)

07/13/2018 392 Notice of Withdrawal of Declaration (Motion related), 386 , Motion for Order to Show Cause, 385 filed by plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Conn, Susannah) (Entered: 07/13/2018)

07/16/2018 393 (Statement of Uncontroverted Facts and Conclusions of Law) re NOTICE OF MOTION AND MOTION for Summary Judgment 372 , Order on Motion for Leave to File Document Under Seal 391 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc..(Johnson, Michele) Modified on 9/23/2019 (es). *UNSEALED BY COURT ORDER 781 * (Entered: 07/16/2018)

07/16/2018 394 SEALED DOCUMENT *MAIN DOCUMENT 394 SEALED* (Exhibits 3, 4, 7, 10, 16, 26, 30, 43-46, 49-51, 53-57, 60-76, 85, 95-97, 101-103, 105, and 107 to Declaration of Kristin N. Murphy) re NOTICE OF MOTION AND MOTION for Summary Judgment 372 , Order on Motion for Leave to File Document Under Seal 391 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit 3, # 2 Exhibit 4, # 3 Exhibit 7, # 4 Exhibit 10, # 5

Exhibit 16, # 6 Exhibit 26, # 7 Exhibit 30, # 8 Exhibits 43-46, # 9 Exhibits 49-51, # 10 Exhibits 53-57, # 11 Exhibits 60-65, # 12 Exhibits 66-72, # 13 Exhibits 73-76, # 14 Exhibit 85, # 15 Exhibit 95, # 16 Exhibit 96, # 17 Exhibit 97, # 18 Exhibits 101-103, # 19 Exhibit 105, # 20 Exhibit 107)(Murphy, Kristin) Modified on 9/23/2019 (es). *ATTACHMENTS 394-1 THRU 394-20 UNSEALED BY ORDER OF THE COURT 781 * Modified on 9/23/2019 (es). (Entered: 07/16/2018)

07/16/2018 395 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Document,,, 394 , Sealed Document, 393 served on July 16, 2018. (Murphy, Kristin) (Entered: 07/16/2018)

07/17/2018 396 SCHEDULING NOTICE re: Sealed Document, 356 , MOTION to Strike Plaintiff's Redacted Letter Motion to Strike Defendants' Confidentiality Designations on Selected Excerpts and Exhibits from Defendant Auerbach's Deposition 358 Telephone Conference set for 7/19/2018 10:00 AM before Magistrate Judge Shashi H. Kewalramani. The parties who will be participating in the call are to contact the Courtroom Clerk if they have not received their dial information upon filing of this notice. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (dc) TEXT ONLY ENTRY (Entered: 07/17/2018)

07/19/2018 397 MINUTES OF Telephone Conference held before Magistrate Judge Shashi H. Kewalramani: Furthermore, this Court will confer with theDistrict Judge as to the remaining disputes and applicable procedures. If necessary,the Court will issue its final ruling at a later date. Court Recorder: XTR- Chambers. (dc) (Entered: 07/20/2018)

07/24/2018 398 NOTICE OF MOTION AND MOTION to Exclude the Testimony of Defendants' Expert Dr. Gregory K. Frykman filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. Motion set for hearing on 10/15/2018 at 10:00 AM before Judge Andrew J. Guilford. (Attachments: # 1 Proposed Order) (Gronborg, Tor) (Entered: 07/24/2018)

07/24/2018 399 MEMORANDUM in Support of NOTICE OF MOTION AND MOTION to Exclude the Testimony of Defendants' Expert Dr. Gregory K. Frykman 398 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Gronborg, Tor) (Entered: 07/24/2018)

07/24/2018 400 DECLARATION of Debashish Bakshi in support of NOTICE OF MOTION AND MOTION to Exclude the Testimony of Defendants' Expert Dr. Gregory K. Frykman 398 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit 1 - Amended Expert Report of Gregory K. Frykman, M.D., # 2 Exhibit 2 - Redlined version of Amended Expert Report of Gregory K. Frykman, M.D., # 3 Exhibit 3 - Redlined version of Amended Exhibit C - List of Materials Considered, # 4 Exhibit 4 - Curriculum vitae for Gregory K. Frykman, M.D., # 5 Exhibit 5 - Deposition Transcript of Gregory K. Frykman, M.D., # 6 Exhibit 6 - Expert Report of Gregory K. Frykman, M.D.)(Bakshi, Debashish) (Entered: 07/24/2018)

07/24/2018 401 NOTICE OF MOTION AND MOTION to Exclude Certain Opinions of Defendants' Expert Dr. John Kornak filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. Motion set for hearing on 10/15/2018 at

10:00 AM before Judge Andrew J. Guilford. (Attachments: # 1 Proposed Order) (Gronborg, Tor) (Entered: 07/24/2018)

07/24/2018 402 MEMORANDUM in Support of NOTICE OF MOTION AND MOTION to Exclude Certain Opinions of Defendants' Expert Dr. John Kornak 401 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Gronborg, Tor) (Entered: 07/24/2018)

07/24/2018 403 DECLARATION of Tor Gronborg in support of NOTICE OF MOTION AND MOTION to Exclude Certain Opinions of Defendants' Expert Dr. John Kornak 401 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit 1 - Expert Report of Dr. John Kornak, # 2 Exhibit 2 - Deposition Transcript of John Kornak, Ph.D.)(Gronborg, Tor) (Entered: 07/24/2018)

07/24/2018 404 NOTICE OF MOTION AND MOTION to Exclude the Testimony of Defendants' Expert Dr. Jackie Walling filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. Motion set for hearing on 10/15/2018 at 10:00 AM before Judge Andrew J. Guilford. (Attachments: # 1 Proposed Order) (Smith, Trig) (Entered: 07/24/2018)

07/24/2018 405 MEMORANDUM in Support of NOTICE OF MOTION AND MOTION to Exclude the Testimony of Defendants' Expert Dr. Jackie Walling 404 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Smith, Trig) (Entered: 07/24/2018)

07/24/2018 406 DECLARATION of Susannah R. Conn in support of NOTICE OF MOTION AND MOTION to Exclude the Testimony of Defendants' Expert Dr. Jackie Walling 404 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit 1 - Amended Expert Report of Jack Walling, Ph.D., # 2 Exhibit 2 - Deposition Transcript of Jackie Walling, Ph.D., M.D., # 3 Exhibit 3 - Amended Expert Report of Richard Schwab, # 4 Exhibit 4 - Curriculum vitae for Jackie Walling, MBChB, PhD)(Conn, Susannah) (Entered: 07/24/2018)

07/24/2018 407 NOTICE OF MOTION AND MOTION to Exclude Exclude Expert Testimony of Philip Lavin filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. Motion set for hearing on 10/15/2018 at 10:00 AM before Judge Andrew J. Guilford. (Attachments: # 1 Memorandum, # 2 Proposed Order) (Smith, Colleen) (Entered: 07/24/2018)

07/24/2018 408 DECLARATION of Meryn C.N. Grant in Support of Defendants' Motion to Exclude Testimony of Dr. Philip Lavin NOTICE OF MOTION AND MOTION to Exclude Exclude Expert Testimony of Philip Lavin 407 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit 1-10, # 2 Exhibit 11-20)(Grant, Meryn) (Entered: 07/24/2018)

07/24/2018 409 NOTICE OF MOTION AND MOTION to Exclude Exclude Certain Expert Testimony of Steven Feinstein filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. Motion set for hearing on 10/15/2018 at 10:00 AM before Judge Andrew J. Guilford. (Attachments: # 1 Memorandum, # 2 Proposed Order) (Tomkowiak, Sarah) (Entered: 07/24/2018)

07/24/2018 410 DECLARATION of Jordan D. Cook in Support of Defendants' Motion to Exclude Certain Expert Testimony of Steven Feinstein NOTICE OF MOTION AND MOTION to Exclude Exclude Certain Expert Testimony of Steven Feinstein 409 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit 1-7, # 2 Exhibit 8-11, # 3 Exhibit 12-17, # 4 Exhibit 18, # 5 Exhibit 19, # 6 Exhibit 20, # 7 Exhibit 21-24)(Cook, Jordan) (Entered: 07/24/2018)

07/25/2018 411 NOTICE OF MOTION AND MOTION to Unseal Document Declaration (Motion related),, 376 , Sealed Document,,, 394 [Plaintiff's Notice of Motion and Motion to Unseal Records Filed in Support of Defendants' Motion for Summary Judgment] filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. Motion set for hearing on 9/24/2018 at 10:00 AM before Judge Andrew J. Guilford. (Attachments: # 1 Proposed Order) (Gray, Joseph) (Entered: 07/25/2018)

07/25/2018 412 MEMORANDUM in Support of NOTICE OF MOTION AND MOTION to Unseal Document Declaration (Motion related),, 376 , Sealed Document,,, 394 [Plaintiff's Notice of Motion and Motion to Unseal Records Filed in Support of Defendants' Motion for Summary Judgment] 411 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Gray, Joseph) (Entered: 07/25/2018)

07/25/2018 413 DECLARATION of Tor Gronborg in support of NOTICE OF MOTION AND MOTION to Unseal Document Declaration (Motion related),, 376 , Sealed Document,,, 394 [Plaintiff's Notice of Motion and Motion to Unseal Records Filed in Support of Defendants' Motion for Summary Judgment] 411 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit A - Email with Defendants, # 2 Declaration B - Deposition Exhibit 492, # 3 Exhibit C - Email with RBC, # 4 Exhibit D - Email with Rho, # 5 Exhibit E - Email with Stifel, # 6 Exhibit F - Email with Underwriters, # 7 Exhibit G - Bleharski Deposition Tr. excerpt [redacted], # 8 Exhibit H - Wolff Deposition Transcript excerpt [redacted])(Gronborg, Tor) (Entered: 07/25/2018)

08/08/2018 414 Joint STIPULATION for Order Regarding Deposition of William C. Hicks filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Proposed Order)(Smith, Colleen) (Entered: 08/08/2018)

08/10/2018 415 ORDER GRANTING JOINT STIPULATION REGARDING DEPOSITION OF WILLIAM C.HICKS by Magistrate Judge Shashi H. Kewalramani, re Stipulation for Order 414 (dc) (Entered: 08/10/2018)

08/10/2018 416 Joint STIPULATION for Hearing re NOTICE OF MOTION AND MOTION to Exclude the Testimony of Defendants' Expert Dr. Gregory K. Frykman 398 , NOTICE OF MOTION AND MOTION to Exclude the Testimony of Defendants' Expert Dr. Jackie Walling 404 , NOTICE OF MOTION AND MOTION to Exclude Certain Opinions of Defendants' Expert Dr. John Kornak 401 , NOTICE OF MOTION AND MOTION to Exclude Exclude Certain Expert Testimony of Steven Feinstein 409 , NOTICE OF MOTION AND MOTION to Exclude Exclude Expert Testimony of Philip Lavin 407 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Proposed Order)(Tomkowiak, Sarah) (Entered: 08/10/2018)

08/14/2018 417 MEMORANDUM of Points and Authorities in Opposition filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. Re: Request for Judicial Notice 373 (Conn, Susannah) (Entered: 08/14/2018)

08/14/2018 418 DECLARATION of Susannah R. Conn re Memorandum of Points and Authorities in Opposition 417 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit A - Email Exchange, # 2 Exhibit B - Article)(Conn, Susannah) (Entered: 08/14/2018)

08/14/2018 419 MEMORANDUM in Opposition to NOTICE OF MOTION AND MOTION for Summary Judgment 372 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Gronborg, Tor) (Entered: 08/14/2018)

08/14/2018 420 STATEMENT Uncontroverted Facts in Support of filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund re: MEMORANDUM in Opposition to Motion 419 . (Gronborg, Tor) (Entered: 08/14/2018)

08/14/2018 421 STATEMENT Genuine Disputes of Material Fact filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund Statement of Genuine Disputes of Material Fact to Defendants' Statement of Uncontroverted Facts and Conclusions of Law (Smith, Trig) (Entered: 08/14/2018)

08/14/2018 422 OBJECTIONS Plaintiff's Evidentiary Objections to Defendants' Statement of Uncontroverted Facts and Conclusions of Law filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Smith, Trig) (Entered: 08/14/2018)

08/14/2018 423 ORDER GRANTING Joint Stipulation Regarding Hearing Date for Motions to Exclude Expert Testimony 416 by Judge Andrew J. Guilford that: The hearing on the Daubert Motions [Docket 398 , 401 , 404 , 407 and 409 ] set for 10/15/2018 are ADVANCED to 10/1/2018 at 10:00 AM. (jp) (Entered: 08/14/2018)

08/14/2018 424 DECLARATION of Trig R. Smith re MEMORANDUM in Opposition to Motion 419 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8, # 9 Exhibit 9, # 10 Exhibit 10, # 11 Exhibit 11, # 12 Exhibit 12, # 13 Exhibit 13, # 14 Exhibit 14, # 15 Exhibit 15, # 16 Exhibit 16, # 17 Exhibit 17, # 18 Exhibit 18, # 19 Exhibit 18-A, # 20 Exhibit 19, # 21 Exhibit 20, # 22 Exhibit 21, # 23 Exhibit 22, # 24 Exhibit 23, # 25 Exhibit 24, # 26 Exhibit 25, # 27 Exhibit 26, # 28 Exhibit 27, # 29 Exhibit 28, # 30 Exhibit 29, # 31 Exhibit 30, # 32 Exhibit 31, # 33 Exhibit 32, # 34 Exhibit 33, # 35 Exhibit 34, # 36 Exhibit 35, # 37 Exhibit 36, # 38 Exhibit 37, # 39 Exhibit 38, # 40 Exhibit 39, # 41 Exhibit 40, # 42 Exhibit 41, # 43 Exhibit 42, # 44 Exhibits 43-45, # 45 Exhibit 46, # 46 Exhibit 47, # 47 Exhibit 48, # 48 Exhibit 49, # 49 Exhibit 50, # 50 Exhibit 51, # 51 Exhibit 52, # 52 Exhibits 53-57, # 53 Exhibit 58, # 54 Exhibit 59, # 55 Exhibit 60, # 56 Exhibit 61, # 57 Exhibit 62, # 58 Exhibit 63, # 59 Exhibit 64, # 60 Exhibit 65, # 61 Exhibit 66, # 62 Exhibit 67, # 63 Exhibit 68, # 64 Exhibit 69, # 65 Exhibit 70, # 66 Exhibit 71, # 67 Exhibit 72, # 68 Exhibit 73, # 69 Exhibit 74, # 70 Exhibit 75, # 71 Exhibit 76, # 72 Exhibit 77, # 73 Exhibit 78, # 74 Exhibit 79, # 75 Exhibit 80, # 76 Exhibit 81, # 77 Exhibit 82, # 78 Exhibit 83, # 79 Exhibit 84, # 80 Exhibit 85, # 81 Exhibit 86, # 82 Exhibit 87, # 83 Exhibit 88, # 84

Exhibit 89, # 85 Exhibit 90, # 86 Exhibit 91, # 87 Exhibit 92, # 88 Exhibit 93, # 89 Exhibit 94, # 90 Exhibit 95, # 91 Exhibit 96, # 92 Exhibit 97, # 93 Exhibits 98-110, # 94 Exhibit 111, # 95 Exhibit Exhibits 112-114, # 96 Exhibit 115, # 97 Exhibit 116, # 98 Exhibit 117, # 99 Exhibits 118-119, # 100 Exhibit 120, # 101 Exhibit 121, # 102 Exhibit 122, # 103 Exhibit 123, # 104 Exhibit 124-Part 1, # 105 Exhibit 124-Part 2, # 106 Exhibit 124-Part 3, # 107 Exhibit 124-Part 4, # 108 Exhibit 125, # 109 Exhibit 126, # 110 Exhibit 127, # 111 Exhibit 128, # 112 Exhibit 129, # 113 Exhibit 130, # 114 Exhibit 131, # 115 Exhibit 132, # 116 Exhibit 133, # 117 Exhibit 134, # 118 Exhibit 135, # 119 Exhibit 136, # 120 Exhibit 137, # 121 Exhibit 138, # 122 Exhibit 139, # 123 Exhibit 140-Part 1, # 124 Exhibit 140-Part 2, # 125 Exhibit 141, # 126 Exhibit 142, # 127 Exhibit 143, # 128 Exhibit 144, # 129 Exhibit 145, # 130 Exhibit 146)(Smith, Trig) (Entered: 08/14/2018)

08/14/2018 425 APPLICATION to file document for Leave to File Documents in Support of Plaintiff's Opposition to Defendants' Motion for Summary Judgment under seal filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order, # 2 Redacted Document Plaintiff's Opposition to Defendants' Motion for Summary Judgment, # 3 Redacted Document Plaintiff's Statement of Uncontroverted Facts in Support of Plaintiff's Opposition, # 4 Redacted Document Plaintiff's Statement of Genuine Disputes of Material Fact, # 5 Redacted Document Ex. 3 to Smith Declaration, # 6 Redacted Document Ex. 6 to Smith Declaration, # 7 Redacted Document Ex. 11 to Smith Declaration, # 8 Redacted Document Ex. 13 to Smith Declaration, # 9 Redacted Document Ex. 17 to Smith Declaration, # 10 Ex. 20 to Smith Declaration - slip sheet, # 11 Ex. 30 to Smith Declaration - slip sheet, # 12 Ex. 39 to Smith Declaration - slip sheet, # 13 Exs. 43-45 to Smith Declaration - slip sheets, # 14 Exs. 53-57 to Smith Declaration - slip sheets, # 15 Ex. 78 to Smith Declaration - slip sheet, # 16 Ex. 83 to Smith Declaration - slip sheet, # 17 Ex. 85 to Smith Declaration - slip sheet, # 18 Ex. 91 to Smith Declaration - slip sheet, # 19 Exs. 98-110 to Smith Declaration - slip sheets, # 20 Redacted Document Ex. 111 to Smith Declaration, # 21 Exs. 112-114 to Smith Declaration - slip sheets, # 22 Exs. 118-119 to Smith Declaration - slip sheets, # 23 Ex. 130 to Smith Declaration - slip sheet)(Gronborg, Tor) (Entered: 08/14/2018)

08/14/2018 426 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document for Leave to File Documents in Support of Plaintiff's Opposition to Defendants' Motion for Summary Judgment under seal 425 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Unredacted Document Plaintiff's Opposition to Defendants' Motion for Summary Judgment, # 2 Unredacted Document Plaintiff's Statement of Uncontroverted Facts in Support of Plaintiff's Opposition, # 3 Unredacted Document Plaintiff's Statement of Genuine Disputes of Material Fact, # 4 Unredacted Document Ex. 3, # 5 Unredacted Document Ex. 6, # 6 Unredacted Document Ex. 11, # 7 Unredacted Document Ex. 13, # 8 Unredacted Document Ex. 17, # 9 Unredacted Document Ex. 20, # 10 Unredacted Document Ex. 30, # 11 Unredacted Document Ex. 39, # 12 Unredacted Document Ex. 43, # 13 Unredacted Document Ex. 44, # 14 Unredacted Document Ex. 45, # 15 Unredacted Document Ex. 53, # 16 Unredacted Document Ex. 54, # 17 Unredacted Document Ex. 55, # 18 Unredacted Document Ex. 56, # 19 Unredacted Document Ex. 57-Part 1, # 20 Unredacted Document Ex. 57-Part 2, # 21 Unredacted Document Ex. 78, # 22 Unredacted Document Ex. 80, # 23 Unredacted Document Ex. 85-Part 1, # 24 Unredacted Document Ex. 85-Part 2, # 25 Unredacted Document Ex. 91, # 26 Unredacted Document Ex. 98, # 27 Unredacted Document

Ex. 99, # 28 Unredacted Document Ex. 100, # 29 Unredacted Document Ex. 101, # 30 Unredacted Document Ex. 102, # 31 Unredacted Document Ex. 103, # 32 Unredacted Document Ex. 104, # 33 Unredacted Document Ex. 105, # 34 Unredacted Document Ex. 106, # 35 Unredacted Document Ex. 107, # 36 Unredacted Document Ex. 108, # 37 Unredacted Document Ex. 109, # 38 Unredacted Document Ex. 110, # 39 Unredacted Document Ex. 111, # 40 Unredacted Document Ex. 112, # 41 Unredacted Document Ex. 113, # 42 Unredacted Document Ex. 114, # 43 Unredacted Document Ex. 118, # 44 Unredacted Document Ex. 119, # 45 Unredacted Document Ex. 130)(Gronborg, Tor) (Entered: 08/14/2018)

08/14/2018 427 NOTICE OF LODGING filed Ex. 66 to the Declaration of Trig R. Smith in Support of Plaintiff's Opposition to Defendants' Motion for Summary Judgment re Declaration,,,,,,,,,,, 424 (Gronborg, Tor) (Entered: 08/14/2018)

08/14/2018 428 MEMORANDUM in Opposition to NOTICE OF MOTION AND MOTION for Partial Summary Judgment as to Classwide Reliance and Four Affirmative Defenses 367 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 08/14/2018)

08/14/2018 429 STATEMENT of of Genuine Disputes of Material Fact in Opposition to Plaintiff's Motion for Partial Summary Judgment NOTICE OF MOTION AND MOTION for Partial Summary Judgment as to Classwide Reliance and Four Affirmative Defenses 367 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 08/14/2018)

08/14/2018 430 DECLARATION of Kristin N. Murphy in Support of Opposition to NOTICE OF MOTION AND MOTION for Partial Summary Judgment as to Classwide Reliance and Four Affirmative Defenses 367 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit 41, # 2 Exhibit 42, # 3 Exhibit 48, # 4 Exhibits 64, 68, 70, 75 - 77, # 5 Exhibit 81, # 6 Exhibit 82, # 7 Exhibit 85, # 8 Exhibits 92, 95, 101 - 103, 107, # 9 Exhibit 108, # 10 Exhibit 109, # 11 Exhibit 110, # 12 Exhibit 114, # 13 Exhibit 115, # 14 Exhibit 125, # 15 Exhibit 126, # 16 Exhibits 127, 131 - 133, 136, 162, 215 - 222, # 17 Exhibits 223 - 229, # 18 Exhibits 230 - 235, # 19 Exhibits 236 - 242, # 20 Exhibits 243 - 251)(Murphy, Kristin) (Entered: 08/14/2018)

08/14/2018 431 DECLARATION of Alan H. Auerbach in Support of Opposition to NOTICE OF MOTION AND MOTION for Partial Summary Judgment as to Classwide Reliance and Four Affirmative Defenses 367 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit 195, # 2 Exhibit 198, # 3 Exhibit 202, # 4 Exhibit 203, # 5 Exhibit 204, # 6 Exhibit 205, # 7 Exhibit 206, # 8 Exhibit 207, # 9 Exhibit 208, # 10 Exhibit 209, # 11 Exhibit 210, # 12 Exhibit 212)(Johnson, Michele) (Entered: 08/14/2018)

08/14/2018 432 REQUEST FOR JUDICIAL NOTICE In Support of Defendants' Opposition to Plaintiff's Partial Motion for Summary Judgment filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Proposed Order)(Smith, Colleen) (Entered: 08/14/2018)

08/14/2018 433 APPLICATION to file document (Opposition to Plaintiff's Motion for Partial Summary Judgment) under seal filed by Defendants Alan H. Auerbach, Charles R.

Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Proposed Order, # 2 Redacted Document (Opposition to Plaintiff's Motion for Partial Summary Judgment), # 3 Redacted Document (Statement of Genuine Disputes of Material Fact), # 4 Redacted Document (Exhibit 227 to Declaration of Kristin N. Murphy))(Murphy, Kristin) (Entered: 08/14/2018)

08/14/2018 434 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document (Opposition to Plaintiff's Motion for Partial Summary Judgment) under seal 433 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Unredacted Document (Opposition to Plaintiff's Motion for Partial Summary Judgment), # 2 Unredacted Document (Statement of Genuine Disputes of Material Fact), # 3 Unredacted Document (Exhibit 68 to Declaration of Kristin N. Murphy), # 4 Unredacted Document (Exhibit 70 to Declaration of Kristin N. Murphy), # 5 Unredacted Document (Exhibit 101 to Declaration of Kristin N. Murphy), # 6 Unredacted Document (Exhibit 102 to Declaration of Kristin N. Murphy), # 7 Unredacted Document (Exhibit 225 to Declaration of Kristin N. Murphy), # 8 Unredacted Document (Exhibit 227 to Declaration of Kristin N. Murphy), # 9 Unredacted Document (Exhibit 228 to Declaration of Kristin N. Murphy), # 10 Unredacted Document (Exhibit 231 to Declaration of Kristin N. Murphy), # 11 Unredacted Document (Exhibit 233 to Declaration of Kristin N. Murphy), # 12 Unredacted Document (Exhibit 235 to Declaration of Kristin N. Murphy), # 13 Unredacted Document (Exhibit 237 to Declaration of Kristin N. Murphy), # 14 Unredacted Document (Exhibit 238 to Declaration of Kristin N. Murphy), # 15 Unredacted Document (Exhibit 250 to Declaration of Kristin N. Murphy))(Murphy, Kristin) (Entered: 08/14/2018)

08/14/2018 435 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Declaration in SupportDeclaration,,,,, 434 served on August 14, 2018. (Murphy, Kristin) (Entered: 08/14/2018)



08/15/2018 438 Notice of Appearance or Withdrawal of Counsel: for attorney Tricia L McCormick counsel for Movant Norfolk County Council as Administering Authority of the Norfolk Pension Fund. Tricia L. McCormick 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 plaintiff Norfolk County Council as Administering Authority of the Norfolk Pension Fund. (McCormick, Tricia) (Entered: 08/15/2018)

08/17/2018 439 ORDER by Judge Andrew J. Guilford, GRANTING 433 DEFENDANTS' APPLICATION FOR LEAVE TO FILE DOCUMENTS IN SUPPORT OF DEFENDANTS' OPPOSITION TO PLAINTIFF'S MOTION FOR PARTIAL SUMMARY JUDGMENT UNDER SEAL (es) (Entered: 08/17/2018)

08/17/2018 440 ORDER by Judge Andrew J. Guilford, GRANTING PLAINTIFF'S APPLICATION FOR LEAVE TO FILE DOCUMENTS IN SUPPORT OF ITS OPPOSITION TO

DEFENDANTS' MOTION FOR SUMMARY JUDGMENT UNDER SEAL 425 (es) (Entered: 08/17/2018)

08/20/2018 441 Opposition to Plaintiff's Motion for Partial Summary Judgment re Order on Motion for Leave to File Document Under Seal 439 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Sealed Statement of Genuine Disputes of Material Fact in Opposition to Plaintiff's Motion for Partial Summary Judgment, # 2 Sealed Exhibits, # 3 Sealed Exhibit 68, # 4 Sealed Exhibit 70, # 5 Sealed Exhibit 101, # 6 Sealed Exhibit 102, # 7 Sealed Exhibit 225, # 8 Sealed Exhibit 227, # 9 Sealed Exhibit 228, # 10 Sealed Exhibit 231, # 11 Sealed Exhibit 233, # 12 Sealed Exhibit 235, # 13 Sealed Exhibit 237, # 14 Sealed Exhibit 238, # 15 Sealed Exhibit 250)(Johnson, Michele) Modified on 9/23/2019 (es). *UNSEALED BY ORDER OF THE COURT 781 * (Entered: 08/20/2018)

08/20/2018 442 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Document,,, 441 served on 8/20/18. (Johnson, Michele) (Entered: 08/20/2018)

08/21/2018 443 Plaintiff's Opposition to Defendants' Motion for Summary Judgment re Order on Motion for Leave to File Document Under Seal, 440 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Sealed Statement of Uncontroverted Facts in Support of Plaintiff's Opposition, # 2 Sealed Statement of Genuine Disputes of Material Fact to Defendants' Statement of Uncontroverted and Conclusions of Law, # 3 Sealed Exhibit 3, # 4 Sealed Exhibit 6, # 5 Sealed Exhibit 11, # 6 Sealed Exhibit 13, # 7 Sealed Exhibit 17, # 8 Sealed Exhibit 20, # 9 Sealed Exhibit 30, # 10 Sealed Exhibit 39, # 11 Sealed Exhibit 43, # 12 Sealed Exhibit 44, # 13 Sealed Exhibit 45, # 14 Sealed Exhibit 53, # 15 Sealed Exhibit 54, # 16 Sealed Exhibit 55, # 17 Sealed Exhibit 56, # 18 Sealed Exhibit 57 - Part 1, # 19 Sealed Exhibit 57 - Part 2, # 20 Sealed Exhibit 78, # 21 Sealed Exhibit 80, # 22 Sealed Exhibit 85 - Part 1, # 23 Sealed Exhibit 85 - Part 2, # 24 Sealed Exhibit 91, # 25 Sealed Exhibit 98, # 26 Sealed Exhibit 99, # 27 Sealed Exhibit 100, # 28 Sealed Exhibit 101, # 29 Sealed Exhibit 102, # 30 Sealed Exhibit 103, # 31 Sealed Exhibit 104, # 32 Sealed Exhibit 105, # 33 Sealed Exhibit 106, # 34 Sealed Exhibit 107, # 35 Sealed Exhibit 108, # 36 Sealed Exhibit 109, # 37 Sealed Exhibit 110, # 38 Sealed Exhibit 111, # 39 Sealed Exhibit 112, # 40 Sealed Exhibit 113, # 41 Sealed Exhibit 114, # 42 Sealed Exhibit 118, # 43 Sealed Exhibit 119, # 44 Sealed Exhibit 130)(Gronborg, Tor) Modified on 9/23/2019 (es). *DOCUMENT PARTIALLY UNSEALED BY ORDER OF THE COURT 781 * (Entered: 08/21/2018)

08/21/2018 444 PROOF OF SERVICE filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund, re Sealed Document,,,,,, 443 served on August 21, 2018. (Gronborg, Tor) (Entered: 08/21/2018)

08/23/2018 445 MEMORANDUM in Opposition to NOTICE OF MOTION AND MOTION to Exclude Exclude Expert Testimony of Philip Lavin 407 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Gronborg, Tor) (Entered: 08/23/2018)

08/23/2018 446 MEMORANDUM in Opposition to NOTICE OF MOTION AND MOTION to Exclude Exclude Certain Expert Testimony of Steven Feinstein 409 filed by Plaintiff

Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Gronborg, Tor) (Entered: 08/23/2018)

08/23/2018 447 DECLARATION of Tor Gronborg re MEMORANDUM in Opposition to Motion 445 , MEMORANDUM in Opposition to Motion, 446 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit 1 - Paul Gompers Transcript, # 2 Exhibit 2 - Conference Call Transcript, # 3 Exhibit 3 - Analyst Report, # 4 Exhibit 4 - Analyst Report, # 5 Exhibit 5 - Analyst Report, # 6 Exhibit 6 - Analyst Report, # 7 Exhibit 7 - Analyst Report, # 8 Exhibit 8 - Alan Auerbach Transcript - Excerpts, # 9 Exhibit 9 - Article, # 10 Exhibit 10 - Article, # 11 Exhibit 11 - Article, # 12 Exhibit 12 - Claire Sherman Transcript - Excerpts)(Gronborg, Tor) (Entered: 08/23/2018)

08/23/2018 448 Opposition re: NOTICE OF MOTION AND MOTION to Exclude the Testimony of Defendants' Expert Dr. Gregory K. Frykman 398 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 08/23/2018)

08/23/2018 449 DECLARATION of Kristen Murphy In Opposition to NOTICE OF MOTION AND MOTION to Exclude the Testimony of Defendants' Expert Dr. Gregory K. Frykman 398 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Murphy, Kristin) (Entered: 08/23/2018)

08/23/2018 450 In Opposition re: NOTICE OF MOTION AND MOTION to Exclude Certain Opinions of Defendants' Expert Dr. John Kornak 401 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 08/23/2018)

08/23/2018 451 DECLARATION of Meryn C.N. Grant In Opposition to NOTICE OF MOTION AND MOTION to Exclude Certain Opinions of Defendants' Expert Dr. John Kornak 401 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Grant, Meryn) (Entered: 08/23/2018)

08/23/2018 452 Opposition re: NOTICE OF MOTION AND MOTION to Exclude the Testimony of Defendants' Expert Dr. Jackie Walling 404 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 08/23/2018)

08/23/2018 453 DECLARATION of Amanda Betsch In Oppostion to NOTICE OF MOTION AND MOTION to Exclude the Testimony of Defendants' Expert Dr. Jackie Walling 404 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H (Part 1), # 9 Exhibit H (Part 2), # 10 Exhibit H (Part 3), # 11 Exhibit H (Part 4), # 12 Exhibit H (Part 5), # 13 Exhibit I)(Betsch, Amanda) (Entered: 08/23/2018)

08/31/2018 454 Non-Parties J.P. Morgan Securities LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporateds Opposition to Plaintiffs Motion to Unseal Records Filed in Support of Defendants Motion for Summary Judgment re: NOTICE OF MOTION AND MOTION to Unseal Document Declaration (Motion related),, 376 , Sealed Document,,, 394 [Plaintiff's Notice of Motion and Motion to Unseal Records Filed

in Support of Defendants' Motion for Summary Judgment] 411 filed by Interested Parties J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Shimada, Charlene) (Entered: 08/31/2018)

08/31/2018 455 DECLARATION of Lucy Wang in Opposition to NOTICE OF MOTION AND MOTION to Unseal Document Declaration (Motion related),, 376 , Sealed Document,,, 394 [Plaintiff's Notice of Motion and Motion to Unseal Records Filed in Support of Defendants' Motion for Summary Judgment] 411 Declaration of Lucy Wang in Support of Non-Parties J.P. Morgan Securities LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporateds Opposition to Plaintiffs Motion to Unseal filed by Interested Parties J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Wang, Lucy) (Entered: 08/31/2018)

08/31/2018 456 APPLICATION to file document Non-Parties J.P. Morgan Securities LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporateds Application for Leave to File Documents Under Seal under seal filed by Interested Parties J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Attachments: # 1 Proposed Order, # 2 Exhibit A, # 3 Exhibit B)(Wang, Lucy) (Entered: 08/31/2018)

08/31/2018 457 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Non-Parties J.P. Morgan Securities LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporateds Application for Leave to File Documents Under Seal under seal 456 filed by Interested Parties J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Wang, Lucy) (Entered: 08/31/2018)

08/31/2018 458 PROOF OF SERVICE filed by Non-Parties J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, re Sealed Declaration in SupportDeclaration, 457 served on 08/31/2018. (Wang, Lucy) (Entered: 08/31/2018)

08/31/2018 459 MEMORANDUM in Opposition to NOTICE OF MOTION AND MOTION to Unseal Document Declaration (Motion related),, 376 , Sealed Document,,, 394 [Plaintiff's Notice of Motion and Motion to Unseal Records Filed in Support of Defendants' Motion for Summary Judgment] 411 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 08/31/2018)

08/31/2018 460 DECLARATION of Kristin N. Murphy in Support of Opposition to NOTICE OF MOTION AND MOTION to Unseal Document Declaration (Motion related),, 376 , Sealed Document,,, 394 [Plaintiff's Notice of Motion and Motion to Unseal Records Filed in Support of Defendants' Motion for Summary Judgment] 411 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Murphy, Kristin) (Entered: 08/31/2018)

09/05/2018 461 ORDER GRANTING NON-PARTIES J.P. MORGAN SECURITIES LLC AND MERRILL LYNCH, PIERCE,FENNER & SMITH INCORPORATED'S APPLICATION FOR LEAVE TO FILE DOCUMENTS UNDER SEAL 456 by Judge Andrew J. Guilford (es) (Entered: 09/05/2018)

09/05/2018 462 SEALED DOCUMENT Exhibits A and B to Declaration of Lucy Wang in Support of Non-Parties J.P. Morgan Securities LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporateds Opposition to Plaintiffs Motion to Unseal re Declaration

(Motion related),, 455 , Order on Motion for Leave to File Document Under Seal 461 filed by Interested Parties J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Wang, Lucy) (Entered: 09/05/2018)

09/05/2018 463 PROOF OF SERVICE filed by Non-Parties J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, re Sealed Document, 462 served on 09/05/2018. (Wang, Lucy) (Entered: 09/05/2018)

09/10/2018 464 REPLY in Support of NOTICE OF MOTION AND MOTION for Partial Summary Judgment as to Classwide Reliance and Four Affirmative Defenses 367 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Conn, Susannah) (Entered: 09/10/2018)

09/10/2018 465 STATEMENT Genuine Disputes of Material Fact in Response to Defendants' Supplemental Uncontroverted Facts filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund re: Statement (Motion related), 429 . (Smith, Trig) (Entered: 09/10/2018)

09/10/2018 466 DECLARATION of Trig R. Smith re Reply (Motion related), 464 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit 22 - Excerpts of Deposition, # 2 Exhibit 23 - Analyst Report, # 3 Exhibit 24 - Analyst Report)(Smith, Trig) (Entered: 09/10/2018)

09/10/2018 467 REPLY in Support of NOTICE OF MOTION AND MOTION to Unseal Document Declaration (Motion related),, 376 , Sealed Document,,, 394 [Plaintiff's Notice of Motion and Motion to Unseal Records Filed in Support of Defendants' Motion for Summary Judgment] 411 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Gray, Joseph) (Entered: 09/10/2018)

09/10/2018 468 REPLY (Redacted) in support of NOTICE OF MOTION AND MOTION for Summary Judgment 372 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 09/10/2018)

09/10/2018 469 DEFENDANTS' REPLY IN SUPPORT OF DEFENDANTS STATEMENT OF UNCONTROVERTED FACTS AND STATEMENT OF GENUINE DISPUTES TO PLAINTIFFS OPPOSITION SEPARATE STATEMENT (Redacted) re NOTICE OF MOTION AND MOTION for Summary Judgment 372 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 09/10/2018)

09/10/2018 470 DEFENDANTS' SUPPLEMENTAL STATEMENT OF UNCONTROVERTED FACTS IN SUPPORT OF MOTION FOR SUMMARY JUDGMENT (Redacted) re NOTICE OF MOTION AND MOTION for Summary Judgment 372 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 09/10/2018)

09/10/2018 471 DEFENDANTS' STATEMENT OF GENUINE DISPUTES OF MATERIAL FACT IN OPPOSITION TO PLAINTIFFS OPPOSITION TO DEFENDANTS MOTION FOR SUMMARY JUDGMENT (Redacted) re NOTICE OF MOTION AND MOTION for Summary Judgment 372 filed by Defendants Alan H. Auerbach,

Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 09/10/2018)

09/10/2018 472 DECLARATION of Alan H. Auerbach in Support of Defendants' Reply NOTICE OF MOTION AND MOTION for Summary Judgment 372 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit 277, # 2 Exhibit 278, # 3 Exhibit 279, # 4 Exhibit 280, # 5 Exhibit 281)(Johnson, Michele) (Entered: 09/10/2018)

09/10/2018 473 DECLARATION of Kristin N. Murphy in Support of Defendants' Reply NOTICE OF MOTION AND MOTION for Summary Judgment 372 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit 252-260, # 2 Exhibit 261, # 3 Exhibit 262, # 4 Exhibit 263, # 5 Exhibit 264-266, # 6 Exhibit 267-276, # 7 Exhibit 282-288)(Murphy, Kristin) (Entered: 09/10/2018)

09/10/2018 474 REPLY In Support of Request for Judicial Notice in Support of Defendants' Motion for Summary Judgment filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Smith, Colleen) (Entered: 09/10/2018)

09/10/2018 475 DEFENDANT'S EVIDENTIARY OBJECTIONS TO PLAINTIFF'S STATEMENT OF UNCONTROVERTED FACTS (Redacted) re NOTICE OF MOTION AND MOTION for Summary Judgment 372 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 09/10/2018)

09/10/2018 476 DEFENDANTS RESPONSES TO PLAINTIFFS EVIDENTIARY OBJECTIONS TO DEFENDANTS STATEMENT OF UNCONTROVERTED FACTS AND CONCLUSIONS OF LAW re NOTICE OF MOTION AND MOTION for Summary Judgment 372 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 09/10/2018)

09/10/2018 477 APPLICATION to file document in Support of Reply In Support of Motion for Summary Judgment under seal filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Proposed Order, # 2 Redacted Document Exhibit 256 to Declaration of Kristin N. Murphy, # 3 Redacted Document Exhibit 257 to Declaration of Kristin N. Murphy, # 4 Redacted Document Exhibit 266 to Declaration of Kristin N. Murphy, # 5 Redacted Document Exhibit 267 to Declaration of Kristin N. Murphy, # 6 Redacted Document Exhibit 283 to Declaration of Kristin N. Murphy, # 7 Redacted Document Defendants' Evidentiary Objections to Plaintiff's Statement of Uncontroverted Facts, # 8 Redacted Document Defendants Statement of Genuine Disputes of Material Fact to Plaintiffs Statement of Uncontroverted Facts in Support of Plaintiffs Opposition to Defendants Motion for Summary Judgment, # 9 Redacted Document Defendants' Reply In Support of Defendants' Statement of Uncontroverted Facts and Statement of Genuine Disputes to Plaintiff's Opposition on Separate Statement, # 10 Redacted Document Defendants' Supplemental Statement of Uncontroverted Facts In Support of Motion for Summary Judgment, # 11 Redacted Document Defendants' Reply in Support of Summary Judgment)(Tomkowiak, Sarah) (Entered: 09/11/2018)

09/11/2018 478 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document in Support of Reply In Support of Motion for Summary Judgment under seal 477 filed

by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Unredacted Document Defendants' Reply in Support of Summary Judgment, # 2 Unredacted Document Document Defendants' Evidentiary Objections to Plaintiff's Statement of Uncontroverted Facts, # 3 Unredacted Document Defendants' Reply In Support of Defendants' Statement of Uncontroverted Facts and Statement of Genuine Disputes to Plaintiff's Opposition on Separate Statement, # 4 Unredacted Document Defendants' Supplemental Statement of Uncontroverted Facts In Support of Motion for Summary Judgment, # 5 Unredacted Document Defendants Statement of Genuine Disputes of Material Fact to Plaintiffs Statement of Uncontroverted Facts in Support of Plaintiffs Opposition to Defendants Motion for Summary Judgment, # 6 Unredacted Document Exhibit 256 to Declaration of Kristin N. Murphy, # 7 Unredacted Document Exhibit 257 to Declaration of Kristin N. Murphy, # 8 Unredacted Document Exhibit 266 to Declaration of Kristin N. Murphy, # 9 Unredacted Document Exhibit 267 to Declaration of Kristin N. Murphy, # 10 Unredacted Document Exhibit 283 to Declaration of Kristin N. Murphy)(Tomkowiak, Sarah) (Entered: 09/11/2018)

09/11/2018 479 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Declaration in SupportDeclaration,,,,, 478 On Third Party Bank of America Merrill Lynch served on September 11, 2018. (Tomkowiak, Sarah) (Entered: 09/11/2018)

09/11/2018 480 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Declaration in SupportDeclaration,,,,, 478 on Plaintiffs served on September 11, 2018. (Tomkowiak, Sarah) (Entered: 09/11/2018)

09/11/2018 481 ORDER GRANTING Application for Leave to File Documents in support of their Reply in support of Motion for Summary Judgment Under Seal 477 by Judge Andrew J. Guilford. (jp) (Entered: 09/11/2018)

09/13/2018 482 TRANSCRIPT ORDER as to Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc. for Court Smart (CS). Court will contact Karen M. Patterson at [email protected] with further instructions regarding this order. Transcript preparation will not begin until payment has been satisfied with the transcription company. (Smith, Colleen) (Entered: 09/13/2018)

09/13/2018 483 TRANSCRIPT ORDER as to Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund for Court Smart (CS). Court will contact Kirsten McCormack at [email protected] with further instructions regarding this order. Transcript preparation will not begin until payment has been satisfied with the transcription company. (Gray, Joseph) (Entered: 09/13/2018)

09/13/2018 484 REPLY RE Order on Motion for Leave to File Document Under Seal 481 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc..(Johnson, Michele) Modified on 9/23/2019 (es). *UNSEALED BY ORDER OF THE COURT 781 * (Entered: 09/13/2018)

09/13/2018 485 Defendants' Evidentiary Objections to Plaintiff's Statement of Uncontroverted Facts re Order on Motion for Leave to File Document Under Seal 481 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc..(Johnson, Michele) Modified on 9/23/2019 (es). *UNSEALED BY ORDER OF THE COURT 781 * (Entered: 09/13/2018)

09/13/2018 486 Defendants' Statement of Genuine Disputes of Material Fact in Opposition to Plaintiff's Opposition to Defendants' Motion for Summary Judgment re Order on Motion for Leave to File Document Under Seal 481 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc..(Johnson, Michele) Modified on 9/23/2019 (es). *UNSEALED BY ORDER OF THE COURT 781 * (Entered: 09/13/2018)

09/13/2018 487 Defendants' Reply in Support of Defendants' Statement of Uncontroverted Facts and Statement of Genuine Disputes to Plaintiff's Opposition Separate Statement re Order on Motion for Leave to File Document Under Seal 481 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc..(Johnson, Michele) Modified on 9/23/2019 (es). *UNSEALED BY ORDER OF THE COURT 781 * (Entered: 09/13/2018)

09/13/2018 488 Defendants' Supplemental Statement of Uncontroverted Facts in Support of Motion for Summary Judgment re Order on Motion for Leave to File Document Under Seal 481 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc..(Johnson, Michele) Modified on 9/23/2019 (es). *UNSEALED BY ORDER OF THE COURT 781 * (Entered: 09/13/2018)

09/13/2018 489 Sealed Exhibits 256, 257, 266, 267, 283 to Supplemental Declaration of Kristin N. Murphy in Support of Defendants' Reply in Support of Summary Judgment re Order on Motion for Leave to File Document Under Seal 481 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc..(Murphy, Kristin) Modified on 9/23/2019 (es). *UNSEALED BY ORDER OF THE COURT 781 * (Entered: 09/13/2018)

09/13/2018 490 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Reply 484 , Sealed Document, 489 , Sealed Document, 487 , Sealed Document, 486 , Sealed Document, 488 , Sealed Document, 485 served on 09/13/2018. (Johnson, Michele) (Entered: 09/13/2018)

09/17/2018 491 RESPONSE filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fundto Motion Related Document, 475 (Smith, Trig) (Entered: 09/17/2018)

09/17/2018 492 STATEMENT Genuine Disputes of Material Fact to Defendants' Supplemental Statement of Uncontroverted Facts in Support of Motion for Summary Judgment filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund re: Motion Related Document, 470 . (Gronborg, Tor) (Entered: 09/17/2018)

09/17/2018 493 DECLARATION of Marco Janoski re Statement, 492 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit 147 - New England Journal of Medicine Article, # 2 Exhibit 148 - Malley Deposition Transcript, # 3 Exhibit 149 - Wilson Deposition Transcript, # 4 Exhibit 150 - Hicks Deposition Transcript, # 5 Exhibit 151 - Bleharski Deposition Transcript - Filed Under Seal, # 6 Exhibit 152 - Wolff Deposition Transcript)(Gray, Joseph) (Entered: 09/17/2018)

09/17/2018 494 APPLICATION to file document Plaintiff's Statement of Genuine Disputes of Material Fact to Defendants' Supplemental Statement of Uncontroverted Facts in Support of Motion for Summary Judgment and Exhibits in Support Thereof under

seal filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order, # 2 Redacted Document Statement of Genuine Disputes of Material Fact, # 3 Redacted Document Ex. 148 - Malley Deposition Transcript, # 4 Redacted Document Ex. 150 - Hicks Deposition Transcript, # 5 Ex. 151 slip sheet)(Gronborg, Tor) (Entered: 09/17/2018)

09/17/2018 495 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Plaintiff's Statement of Genuine Disputes of Material Fact to Defendants' Supplemental Statement of Uncontroverted Facts in Support of Motion for Summary Judgment and Exhibits in Support Thereof under sea 494 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Unredacted Document Statement of Genuine Disputes of Material Fact, # 2 Unredacted Document Exhibit 148 - Malley Deposition Transcript, # 3 Unredacted Document Exhibit 150 - Hicks Deposition Transcript, # 4 Unredacted Document Exhibit 151 - Bleharski Deposition Transcript)(Gronborg, Tor) (Entered: 09/17/2018)

09/18/2018 496 TRANSCRIPT for proceedings held on 7/19/2018, 9:06 p.m.. Court Reporter/Electronic Court Recorder: EXCEPTIONAL REPORTING SERVICES, INC., phone number (361) 949-2988. 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 10/9/2018. Redacted Transcript Deadline set for 10/19/2018. Release of Transcript Restriction set for 12/17/2018. (ls) (Entered: 09/20/2018)

09/18/2018 497 NOTICE OF FILING TRANSCRIPT filed for proceedings 7/19/2018, 9:06 p.m. re Transcript 496 THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (ls) TEXT ONLY ENTRY (Entered: 09/20/2018)

09/21/2018 498 REPLY in Support of NOTICE OF MOTION AND MOTION to Exclude the Testimony of Defendants' Expert Dr. Gregory K. Frykman 398 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Bakshi, Debashish) (Entered: 09/21/2018)

09/21/2018 499 REPLY in Support of NOTICE OF MOTION AND MOTION to Exclude Certain Opinions of Defendants' Expert Dr. John Kornak 401 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Bakshi, Debashish) (Entered: 09/21/2018)

09/21/2018 500 REPLY in Support of NOTICE OF MOTION AND MOTION to Exclude the Testimony of Defendants' Expert Dr. Jackie Walling 404 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Bakshi, Debashish) (Entered: 09/21/2018)

09/21/2018 501 DECLARATION of Debashish Bakshi in Further Support of NOTICE OF MOTION AND MOTION to Exclude the Testimony of Defendants' Expert Dr. Gregory K. Frykman 398 , NOTICE OF MOTION AND MOTION to Exclude the Testimony of Defendants' Expert Dr. Jackie Walling 404 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit 1 - Email, # 2 Exhibit 2 - Email Exchange, # 3 Exhibit 3 -

Search Terms, # 4 Exhibit 4 - Revised Materials Considered)(Bakshi, Debashish) (Entered: 09/21/2018)

09/21/2018 502 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Plaintiff's Statement of Genuine Disputes of Material Fact to Defendants' Supplemental Statement of Uncontroverted Facts in Support of Motion for Summary Judgment and Exhibits in Support Thereof under sea 494 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc..(Murphy, Kristin) (Entered: 09/21/2018)

09/21/2018 503 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Declaration in SupportDeclaration, 502 served on September 21, 2018. (Murphy, Kristin) (Entered: 09/21/2018)

09/21/2018 504 REPLY in support of NOTICE OF MOTION AND MOTION to Exclude Exclude Certain Expert Testimony of Steven Feinstein 409 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Tomkowiak, Sarah) (Entered: 09/21/2018)

09/21/2018 505 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Plaintiff's Statement of Genuine Disputes of Material Fact to Defendants' Supplemental Statement of Uncontroverted Facts in Support of Motion for Summary Judgment and Exhibits in Support Thereof under sea 494 filed by Interested Parties Citigroup Global Markets Inc., Cowen and Company, LLC, J.P. Morgan Securities LLC, Leerink Partners LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated.(Wang, Lucy) (Entered: 09/21/2018)

09/21/2018 506 DECLARATION of Jordan D. Cook in support of NOTICE OF MOTION AND MOTION to Exclude Exclude Certain Expert Testimony of Steven Feinstein 409 (Supplemental Declaration In Support of Defendants' Reply) filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit 25, # 2 Exhibit 26, # 3 Exhibit 27, # 4 Exhibit 28, # 5 Exhibit 29)(Cook, Jordan) (Entered: 09/21/2018)

09/21/2018 507 PROOF OF SERVICE filed by Non-Party Citigroup Global Markets Inc., Cowen and Company, LLC, J.P. Morgan Securities LLC, Leerink Partners LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, re Sealed Declaration in SupportDeclaration, 505 served on September 21, 2018. (Wang, Lucy) (Entered: 09/21/2018)

09/21/2018 508 REPLY in support NOTICE OF MOTION AND MOTION to Exclude Exclude Expert Testimony of Philip Lavin 407 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Smith, Colleen) (Entered: 09/21/2018)

09/21/2018 509 DECLARATION of Meryn C.N. Grant in support NOTICE OF MOTION AND MOTION to Exclude Exclude Expert Testimony of Philip Lavin 407 (Supplemental Declaration in Support of Defendants' Reply) filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit 21, # 2 Exhibit 22, # 3 Exhibit 23)(Grant, Meryn) (Entered: 09/21/2018)

09/24/2018 510 MINUTES OF 1. PLAINTIFF'S MOTION FOR PARTIAL SUMMARY JUDGMENT [DKT 367 ] 2. DEFENDANTS' MOTION FOR SUMMARY JUDGMENT [DKT 372 ] 3. PLAINTIFF'S MOTION TO UNSEAL RECORDS

FILED IN SUPPORT OF DEFENDANT'S MOTION FOR SUMMARY JUDGMENT [DKT 411 ] held before Judge Andrew J. Guilford: Cause is called for hearing and counsel make their appearances. Matters are argued and taken under submission. Court Reporter: Miriam Baird. (es) (Entered: 09/24/2018)

09/25/2018 511 TRANSCRIPT ORDER as to Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund for Court Reporter. Court will contact Kirsten McCormack at [email protected] with further instructions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Gronborg, Tor) (Entered: 09/25/2018)

09/25/2018 512 NOTICE OF MOTION AND MOTION IN LIMINE (#1) to Preclude Evidence of or Reference to Aggregate Damages to the Class filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. Motion set for hearing on 10/22/2018 at 08:30 AM before Judge Andrew J. Guilford. (Attachments: # 1 Proposed Order)(Conn, Susannah) (Entered: 09/25/2018)

09/25/2018 513 NOTICE OF MOTION AND MOTION IN LIMINE (#2) to Preclude Evidence Concerning Plaintiff's Trades in Puma Securities filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. Motion set for hearing on 10/22/2018 at 08:30 AM before Judge Andrew J. Guilford. (Attachments: # 1 Proposed Order)(Conn, Susannah) (Entered: 09/25/2018)

09/25/2018 514 NOTICE OF MOTION AND MOTION IN LIMINE (#3) to Preclude Evidence of and Reference to Cougar Biotechnology, Inc. and Abiraterone/Zytiga filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. Motion set for hearing on 10/22/2018 at 08:30 AM before Judge Andrew J. Guilford. (Attachments: # 1 Proposed Order)(Conn, Susannah) (Entered: 09/25/2018)

09/25/2018 515 NOTICE OF MOTION AND MOTION IN LIMINE (#4) to Preclude Evidence of Irrelevant Post-Class Period Events, Results, and Outcomes filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. Motion set for hearing on 10/22/2018 at 08:30 AM before Judge Andrew J. Guilford. (Attachments: # 1 Proposed Order)(Conn, Susannah) (Entered: 09/25/2018)

09/25/2018 516 NOTICE OF MOTION AND MOTION IN LIMINE (#5) to Preclude Testimony of Kandi Franklin filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. Motion set for hearing on 10/22/2018 at 08:30 AM before Judge Andrew J. Guilford. (Attachments: # 1 Proposed Order)(Conn, Susannah) (Entered: 09/25/2018)

09/25/2018 517 NOTICE OF MOTION AND MOTION IN LIMINE (#6) to Preclude Testimony of Witnesses Not Disclosed During Discovery filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. Motion set for hearing on 10/22/2018 at 08:30 AM before Judge Andrew J. Guilford. (Attachments: # 1 Proposed Order)(Conn, Susannah) (Entered: 09/25/2018)

09/25/2018 518 NOTICE OF MOTION AND MOTION IN LIMINE (#7) to Determine Trial Procedures filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. Motion set for hearing on 10/22/2018 at 08:30 AM

before Judge Andrew J. Guilford. (Attachments: # 1 Proposed Order)(Conn, Susannah) (Entered: 09/25/2018)

09/25/2018 519 NOTICE OF MOTION AND MOTION IN LIMINE (# 1-4) to Exclude Evidence or Argument filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. Motion set for hearing on 10/22/2018 at 08:30 AM before Judge Andrew J. Guilford. (Attachments: # 1 Proposed Order)(Smith, Colleen) (Entered: 09/25/2018)

09/25/2018 520 DEFENDANTS MOTION IN LIMINE (No. 3) TO EXCLUDE EVIDENCE RELATING TO INSIDER TRADING POLICIES AND ALLEGATIONS re MOTION IN LIMINE (# 1-4) to Exclude Evidence or Argument 519 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 09/25/2018)

09/25/2018 521 DEFENDANTS MOTION IN LIMINE (NO. 4) TO EXCLUDE EVIDENCE OR ARGUMENT RELATING TO ALAN AUERBACHS CHARACTER (Redacted) re MOTION IN LIMINE (# 1-4) to Exclude Evidence or Argument 519 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 09/25/2018)

09/26/2018 522 DECLARATION of Kristin N. Murphy in Support of MOTION IN LIMINE (# 1-4) to Exclude Evidence or Argument 519 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit 1-53 (Redacted))(Murphy, Kristin) (Entered: 09/26/2018)

09/26/2018 523 APPLICATION to file document [Motion in Limine No. 1, 2, 4 and Exhibits] under seal filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Proposed Order, # 2 Redacted Motion in Limine No. 4, # 3 Redacted Exhibits to Declaration of Kristin Murphy)(Murphy, Kristin) (Entered: 09/26/2018)

09/26/2018 524 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document [Motion in Limine No. 1, 2, 4 and Exhibits] under seal 523 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Memorandum Defendants Motion In Limine (No. 1) To Exclude Evidence Or Argument Relating To FDA Meeting Minutes, # 2 Memorandum Defendants Motion In Limine (No. 2) To Exclude Evidence Of Pumas Dispute With A Third Party, # 3 Unredacted Document Defendants Motion In Limine (No. 4) To Exclude Evidence Or Argument Relating To Alan Auerbachs Character, # 4 Exhibit 1, # 5 Exhibit 2, # 6 Exhibit 3, # 7 Exhibit 4, # 8 Exhibit 7-19, # 9 Exhibit 20-25, # 10 Exhibit 27-35, # 11 Exhibit 36, # 12 Exhibit 37, # 13 Exhibit 38-50, # 14 Exhibit 51-52)(Murphy, Kristin) (Entered: 09/26/2018)

09/26/2018 525 PROOF OF SERVICE filed by Defendant Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Declaration in SupportDeclaration,,, 524 served on 9/26/2018. (Smith, Colleen) (Entered: 09/26/2018)

09/26/2018 526 ORDER by Judge Andrew J. Guilford, GRANTING 523 DEFENDANTS' APPLICATION FOR LEAVE TO FILE DOCUMENTS IN SUPPORT OF MOTIONS IN LIMINE NOS. 1-4 UNDER SEAL (es) (Entered: 09/26/2018)

09/26/2018 527 ORDER GRANTING PLAINTIFF'S APPLICATION FOR LEAVE TO FILE PORTIONS OF ITS STATEMENT OF GENUINE DISPUTES OF MATERIAL FACT TO DEFENDANTS' SUPPLEMENTAL STATEMENT OF UNCONTROVERTED FACTS IN SUPPORT OF MOTION FOR SUMMARY JUDGMENT AND EXHIBITS IN SUPPORT THEREOF UNDER SEAL 494 by Judge Andrew J. Guilford. (es) (Entered: 09/26/2018)

09/26/2018 528 NOTICE of Appearance filed by attorney Jason A Forge on behalf of Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund (Attorney Jason A Forge added to party Norfolk County Council, as Administering Authority of the Norfolk Pension Fund(pty:pla))(Forge, Jason) (Entered: 09/26/2018)

09/27/2018 529 Plaintiff's Statement of Genuine Disputes of Material Fact to Defendants' Supplemental Statement of Uncontroverted Facts in Support of Motion for Summary Judgment re Order on Motion for Leave to File Document Under Seal, 527 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund.(Gronborg, Tor) Modified on 9/23/2019 (es). *UNSEALED BY ORDER OF THE COURT [781}* (Entered: 09/27/2018)

09/27/2018 530 Exhibits 148, 150, and 151 re Declaration,, 493 , Order on Motion for Leave to File Document Under Seal, 527 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund.(Gray, Joseph) Modified on 9/23/2019 (es). *UNSEALED BY ORDER OF THE COURT 781 * (Entered: 09/27/2018)

09/27/2018 531 PROOF OF SERVICE filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund, re Sealed Document, 529 , Sealed Document, 530 served on September 27, 2018. (Gray, Joseph) (Entered: 09/27/2018)

09/27/2018 532 NOTICE of Intent to Request Redaction of Transcript of Hearing Dated July 19, 2018 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Murphy, Kristin) (Entered: 09/27/2018)

09/27/2018 533 TRANSCRIPT ORDER as to Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc. for Court Reporter. Court will contact Karen M. Patterson at [email protected] with further instructions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Smith, Colleen) (Entered: 09/27/2018)

09/28/2018 534 NOTICE OF MOTION AND MOTION to Unseal Document Sealed Declaration in SupportDeclaration,,, 524 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. Motion set for hearing on 10/22/2018 at 08:30 AM before Judge Andrew J. Guilford. (Attachments: # 1 Proposed Order) (Gray, Joseph) (Entered: 09/28/2018)

09/28/2018 535 MEMORANDUM in Support of NOTICE OF MOTION AND MOTION to Unseal Document Sealed Declaration in SupportDeclaration,,, 524 534 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Gray, Joseph) (Entered: 09/28/2018)

09/28/2018 536 DECLARATION of Susannah R. Conn in Support of NOTICE OF MOTION AND MOTION to Unseal Document Sealed Declaration in SupportDeclaration,,, 524 534 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit A - Transcript Redaction Request Form, # 2 Exhibit B - Hearing Transcript, # 3 Exhibit C - Conference Call Transcript)(Conn, Susannah) (Entered: 09/28/2018)

09/28/2018 537 APPLICATION to file document Memorandum of Law in Support of Plaintiff's Motion to Unseal Records Filed in Support of Defendants' Motions in Limine under seal filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order, # 2 Redacted Document Memorandum of Law)(Gray, Joseph) (Entered: 09/28/2018)

09/28/2018 538 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Memorandum of Law in Support of Plaintiff's Motion to Unseal Records Filed in Support of Defendants' Motions in Limine under seal 537 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Unredacted Document Memorandum of Law)(Gray, Joseph) (Entered: 09/28/2018)

10/01/2018 539 Defendants' Motion in Limine (No. 1) re Order on Motion for Leave to File Document Under Seal 526 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc..(Johnson, Michele) Modified on 9/23/2019 (es). *UNSEALED BY ORDER OF THE COURT 781 * (Entered: 10/01/2018)

10/01/2018 540 SEALED DOCUMENT Defendants' Motion in Limine (No. 2) re Order on Motion for Leave to File Document Under Seal 526 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc..(Johnson, Michele) (Entered: 10/01/2018)

10/01/2018 541 SEALED DOCUMENT Defendants' Motion in Limine (No. 4) re Order on Motion for Leave to File Document Under Seal 526 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc..(Johnson, Michele) (Entered: 10/01/2018)

10/01/2018 542 SEALED DOCUMENT Exhibits in Support of Declaration of Kristin Murphy in Support of Defendants' Motions in Limine (Nos. 1-4) re Order on Motion for Leave to File Document Under Seal 526 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit 1-3, # 2 Exhibit 4-15, # 3 Exhibit 16-21, # 4 Exhibit 22-27, # 5 Exhibit 28-36, # 6 Exhibit 37, # 7 Exhibit 38-52)(Murphy, Kristin) Modified on 9/23/2019 (es). *ATTACHMENTS 542-1; 542-2; 542-3; 542-6; 542-7 UNSEALED BY ORDER OF THE COURT 781 * (Entered: 10/01/2018)

10/01/2018 543 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Document 539 , Sealed Document 540 , Sealed Document, 542 , Sealed Document 541 served on October 1, 2018. (Johnson, Michele) (Entered: 10/01/2018)

10/01/2018 544 Defendants' OBJECTION re: NOTICE OF MOTION AND MOTION to Unseal Document Sealed Declaration in SupportDeclaration,,, 524 534 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Tomkowiak, Sarah) (Entered: 10/01/2018)

10/01/2018 545 Proposed Joint Exhibit List filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund.. (Attachments: # 1 Proof of Service)(Smith, Trig) (Entered: 10/01/2018)

10/01/2018 546 MEMORANDUM of CONTENTIONS of FACT and LAW filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Smith, Trig) (Entered: 10/01/2018)

10/01/2018 547 Witness List filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund.. (Gronborg, Tor) (Entered: 10/01/2018)

10/01/2018 548 MEMORANDUM of CONTENTIONS of FACT and LAW filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 10/01/2018)

10/01/2018 549 Witness List filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc... (Johnson, Michele) (Entered: 10/01/2018)

10/01/2018 550 RESPONSE filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fundto Objection/Opposition (Motion related), 544 (Attachments: # 1 Exhibit A - Email Exchange)(Gray, Joseph) (Entered: 10/01/2018)

10/01/2018 551 MINUTES OF 1. PLAINTIFF'S MOTION TO EXCLUDE THE TESTIMONY OF DEFENDANTS' EXPERT DR GREGORY K FRYKMAN [DKT 398 ] 2. PLAINTIFF'S MOTION TO EXCLUDE CERTAIN OPINIONS OF DEFENDANTS' EXPERT DR JOHN KORNAK [DKT 401 ] 3. PLAINTIFF'S MOTION TO EXCLUDE THE TESTIMONY OF DEFENDANTS' EXPERT DR JACKIE WALLING [DKT 404 ] 4. DEFENDANT'S MOTION TO EXCLUDE EXPERT TESTIMONY OF PHILIP LAVIN [DKT 407 ] 5. DEFENDANTS' MOTION TO EXCLUDE CERTAIN EXPERT TESTIMONY OF STEVEN FEINSTEIN [DKT 409 ] Motion Hearing held before Judge Andrew J. Guilford: Matters are argued and taken under submission. Court Reporter: Miriam Baird. (es) (Entered: 10/02/2018)

10/02/2018 552 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Memorandum of Law in Support of Plaintiff's Motion to Unseal Records Filed in Support of Defendants' Motions in Limine under seal 537 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc..(Murphy, Kristin) (Entered: 10/02/2018)

10/02/2018 553 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Declaration in SupportDeclaration, 552 served on 10/02/2018. (Murphy, Kristin) (Entered: 10/02/2018)

10/04/2018 554 TRANSCRIPT ORDER as to Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund for Court Reporter. Court will contact Kirsten McCormack at [email protected] with further instructions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Forge, Jason) (Entered: 10/04/2018)

10/05/2018 555 TRANSCRIPT ORDER as to Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc. for Court Reporter. Court will contact Karen M. Patterson

at [email protected] with further instructions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Murphy, Kristin) (Entered: 10/05/2018)

10/05/2018 556 MINUTES [IN CHAMBERS] ORDER RE MOTIONS TO EXCLUDE EXPERT WITNESSES by Judge Andrew J. Guilford: The Court DENIES Defendants' motion to exclude the testimony of Dr. Steven Feinstein without prejudice to raising objections at trial. (Dkt. No. 409 .) (es) (Entered: 10/09/2018)

10/05/2018 557 MINUTES [IN CHAMBERS] ORDER RE MOTIONS FOR SUMMARY JUDGMENT by Judge Andrew J. Guilford: The Court GRANTS in part Plaintiffs' motion for partial summary judgment. (Dkt. No. 367 .) The Court GRANTS in part Defendants' motion for summary judgment. (Dkt. No. 372 .) SEE ORDER FOR FURTHER DETAILS. (es) (Entered: 10/09/2018)

10/09/2018 558 MEMORANDUM in Opposition to NOTICE OF MOTION AND MOTION to Unseal Document Sealed Declaration in SupportDeclaration,,, 524 534 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 10/09/2018)

10/09/2018 559 DECLARATION of Amanda Betsch in Support of Defendants' Opposition to NOTICE OF MOTION AND MOTION to Unseal Document Sealed Declaration in SupportDeclaration,,, 524 534 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Betsch, Amanda) (Entered: 10/09/2018)

10/09/2018 560 MEMORANDUM in Opposition to MOTION IN LIMINE (#1) to Preclude Evidence of or Reference to Aggregate Damages to the Class 512 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 10/09/2018)

10/09/2018 561 MEMORANDUM in Opposition to MOTION IN LIMINE (#2) to Preclude Evidence Concerning Plaintiff's Trades in Puma Securities 513 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 10/09/2018)

10/09/2018 562 MEMORANDUM in Opposition to MOTION IN LIMINE (#3) to Preclude Evidence of and Reference to Cougar Biotechnology, Inc. and Abiraterone/Zytiga 514 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 10/09/2018)

10/09/2018 563 MEMORANDUM in Opposition to MOTION IN LIMINE (#4) to Preclude Evidence of Irrelevant Post-Class Period Events, Results, and Outcomes 515 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 10/09/2018)

10/09/2018 564 MEMORANDUM in Opposition to MOTION IN LIMINE (#5) to Preclude Testimony of Kandi Franklin 516 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 10/09/2018)

10/09/2018 565 MEMORANDUM in Opposition to MOTION IN LIMINE (#6) to Preclude Testimony of Witnesses Not Disclosed During Discovery 517 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 10/09/2018)

10/09/2018 566 MEMORANDUM in Opposition to MOTION IN LIMINE (#7) to Determine Trial Procedures 518 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 10/09/2018)

10/09/2018 567 DECLARATION of Kristin N. Murphy in Support of Oppositions to Plaintiff's Motions in Liminie Nos. 1-7 MOTION IN LIMINE (#5) to Preclude Testimony of Kandi Franklin 516 , MOTION IN LIMINE (#4) to Preclude Evidence of Irrelevant Post-Class Period Events, Results, and Outcomes 515 , MOTION IN LIMINE (#3) to Preclude Evidence of and Reference to Cougar Biotechnology, Inc. and Abiraterone/Zytiga 514 , MOTION IN LIMINE (#2) to Preclude Evidence Concerning Plaintiff's Trades in Puma Securities 513 , MOTION IN LIMINE (#6) to Preclude Testimony of Witnesses Not Disclosed During Discovery 517 , MOTION IN LIMINE (#7) to Determine Trial Procedures 518 , MOTION IN LIMINE (#1) to Preclude Evidence of or Reference to Aggregate Damages to the Class 512 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit 1-8, # 2 Exhibit 9-20, # 3 Exhibit 21-33 (Redacted))(Murphy, Kristin) (Entered: 10/09/2018)

10/09/2018 568 APPLICATION to file document in Support of Defendants' Oppositions to Plaintiff's Motions in Limine Nos. 1-7 under seal filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Proposed Order)(Tomkowiak, Sarah) (Entered: 10/09/2018)

10/09/2018 569 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document in Support of Defendants' Oppositions to Plaintiff's Motions in Limine Nos. 1-7 under seal 568 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit 32)(Murphy, Kristin) (Entered: 10/09/2018)

10/09/2018 570 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Declaration in SupportDeclaration, 569 served on October 9, 2018. (Tomkowiak, Sarah) (Entered: 10/09/2018)

10/09/2018 571 NOTICE OF MOTION AND MOTION for Order for Prohibiting Plaintiff from Calling Shayne Kennedy as a Trial Witness filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. Motion set for hearing on 10/22/2018 at 08:30 AM before Judge Andrew J. Guilford. (Attachments: # 1 Proposed Order) (Smith, Colleen) (Entered: 10/09/2018)

10/09/2018 572 MEMORANDUM in Support of NOTICE OF MOTION AND MOTION for Order for Prohibiting Plaintiff from Calling Shayne Kennedy as a Trial Witness 571 (Motion in Limine No. 5 Redacted) filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 10/09/2018)

10/09/2018 573 DECLARATION of Meryn C.N. Grant in Support of (Motion In Limine No. 5) NOTICE OF MOTION AND MOTION for Order for Prohibiting Plaintiff from Calling Shayne Kennedy as a Trial Witness 571 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit Exhibits 1-3 (Redacted))(Grant, Meryn) (Entered: 10/09/2018)

10/09/2018 574 APPLICATION to file document in Support of Motion in Limine no. 5 under seal filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Memorandum Redacted Motion in Limine No. 5 to Prohibit

Plaintiff From Calling Shayne Kennedy as a Trial Witness, # 2 Proposed Order)(Murphy, Kristin) (Entered: 10/09/2018)

10/09/2018 575 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document in Support of Motion in Limine no. 5 under seal 574 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc.. (Attachments: # 1 Memorandum Motion in Limine No. 5 To Prohibit Plaintiff From Calling Shayne Kennedy as a Trial Witness, # 2 Exhibit 2)(Murphy, Kristin) (Entered: 10/09/2018)

10/09/2018 576 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Declaration in SupportDeclaration, 575 served on October 9, 2018. (Murphy, Kristin) (Entered: 10/09/2018)

10/09/2018 577 OPPOSITION to MOTION IN LIMINE (# 1-4) to Exclude Evidence or Argument 519 Opposition to Motion in Limine (No. 3) filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Conn, Susannah) (Entered: 10/09/2018)

10/09/2018 578 OPPOSITION to MOTION IN LIMINE (# 1-4) to Exclude Evidence or Argument 519 Opposition to Motion in Limine (No. 4) filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Conn, Susannah) (Entered: 10/09/2018)

10/09/2018 579 OPPOSITION to MOTION IN LIMINE (# 1-4) to Exclude Evidence or Argument 519 Omnibus Opposition to Motions in Limine (Nos. 1 and 2) filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Gronborg, Tor) (Entered: 10/09/2018)

10/09/2018 580 DECLARATION of Susannah R. Conn re Response in Opposition to Motion, 579 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit 1 - Slip Sheet, # 2 Exhibit 2 - Email, # 3 Exhibit 3 - Email, # 4 Exhibit 4 - Slip Sheet, # 5 Exhibit 5 - Email, # 6 Exhibit 6 - Email, # 7 Exhibit 7 - Email, # 8 Exhibits 8-9 - Slip Sheets, # 9 Exhibit 10 - Excerpts to Hicks Deposition, # 10 Exhibits 11-12 - Slip Sheets, # 11 Exhibit 13 - Conference Call Transcript, # 12 Exhibits 14-16 - Slip Sheets, # 13 Exhibit 17 - Email, # 14 Exhibit 18 - Slip Sheet, # 15 Exhibit 19 - Excerpts to JP Morgan Deposition, # 16 Exhibit 20 - Excerpts to Auerbach Deposition, # 17 Exhibit 21 - Letter, # 18 Exhibit 22 - Email Exchange, # 19 Exhibit 23 - Metadata, # 20 Exhibit 24 - Metadata)(Conn, Susannah) (Entered: 10/09/2018)

10/09/2018 581 APPLICATION to file document Plaintiff's Application for Order Granting Leave to File Its Omnibus Opposition to Defendants' Motions in Limine Nos. 1 and 2 Publicly, or, Alternatively, Under Seal under seal filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order, # 2 Redacted Document Memorandum of Law, # 3 Exhibit 1 - Slip Sheet, # 4 Exhibit 4 - Slip Sheet, # 5 Exhibits 8-9 Slip Sheets, # 6 Redacted Document Exhibit 10 - Excerpts of Hicks Deposition, # 7 Exhibits 11-12 Slip Sheets, # 8 Exhibits 14-16 Slip Sheets, # 9 Exhibit 18 - Slip Sheet, # 10 Redacted Document Exhibit 19 - Excerpts to JP Morgan Deposition)(Conn, Susannah) (Entered: 10/10/2018)

10/10/2018 582 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Plaintiff's Application for Order Granting Leave to File Its Omnibus Opposition to

Defendants' Motions in Limine Nos. 1 and 2 Publicly, or, Alternatively, Under Seal under seal 581 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Unredacted Document Memorandum of Law, # 2 Unredacted Document Exhibit 1, # 3 Unredacted Document Exhibit 4, # 4 Unredacted Document Exhibit 8, # 5 Unredacted Document Exhibit 9, # 6 Unredacted Document Exhibit 10, # 7 Unredacted Document Exhibit 11, # 8 Unredacted Document Exhibit 12, # 9 Unredacted Document Exhibit 14, # 10 Unredacted Document Exhibit 15, # 11 Unredacted Document Exhibit 16, # 12 Unredacted Document Exhibit 18, # 13 Unredacted Document Exhibit 19)(Gray, Joseph) Modified on 9/23/2019 (es). *DOCUMENT 582-11 UNSEALED BY ORDER OF THE COURT 781 * (Entered: 10/10/2018)

10/10/2018 583 ORDER by Judge Andrew J. Guilford, GRANTING 568 Defendants' APPLICATION for Leave to File Exhibit 32 Under Seal. (es) (Entered: 10/10/2018)

10/10/2018 584 ORDER by Judge Andrew J. Guilford, GRANTING 574 Defendants' APPLICATION for Leave to File Documents in Support of Motion in Limine No.5 Under Seal. *See order for further details. (es) (Entered: 10/10/2018)

10/11/2018 585 NOTICE OF LODGING Proposed Pretrial Conference Order Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 [Proposed] Final Pretrial Conference Order with Joint Objections to Exhibits)(Gronborg, Tor) (Entered: 10/11/2018)

10/12/2018 586 SEALED DOCUMENT Defendants' Motion In Limine No. 5 to Prohibit Plaintiff From Calling Shayne Kennedy as a Trial Witness re Order on Motion for Leave to File Document Under Seal 584 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc..(Johnson, Michele) (Entered: 10/12/2018)

10/12/2018 587 SEALED DOCUMENT Sealed Exhibit 2 to Declaration of Meryn C.N. Grant in Support of Defendants' Motion In Limine (No. 5) to Prohibit Plaintiff from Calling Shayne Kennedy as a Trial Witness re Order on Motion for Leave to File Document Under Seal 584 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc..(Grant, Meryn) (Entered: 10/12/2018)

10/12/2018 588 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Document, 586 , Sealed Document, 587 served on October 12, 2018. (Murphy, Kristin) (Entered: 10/12/2018)

10/12/2018 589 Exhibit 32 to Declaration of Kristin Murphy in Support of Defendants' Oppositions to Plaintiff's Motion In Limine Nos. 1-7 re Order on Motion for Leave to File Document Under Seal 583 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc..(Murphy, Kristin) Modified on 9/23/2019 (es). *UNSEALED BY ORDER OF THE COURT 781 * (Entered: 10/12/2018)

10/12/2018 590 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Document, 589 served on October 12, 2018. (Tomkowiak, Sarah) (Entered: 10/12/2018)

10/14/2018 591 TRANSCRIPT for proceedings held on 10/1/18 10:15 AM. Court Reporter/Electronic Court Recorder: MIRIAM BAIRD, 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 11/5/2018. Redacted Transcript Deadline set for 11/14/2018. Release of Transcript Restriction set for 1/14/2019. (Baird, Miriam) (Entered: 10/14/2018)

10/14/2018 592 NOTICE OF FILING TRANSCRIPT filed for proceedings 10/1/18 10:15 am re Transcript 591 THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (Baird, Miriam) TEXT ONLY ENTRY (Entered: 10/14/2018)

10/15/2018 593 DECLARATION of Rocky C. Tsai in Support of the Application for Leave to File Documents Under Seal filed by Interested Party Pfizer Inc.,. (Tsai, Rocky) (Entered: 10/15/2018)

10/15/2018 594 PROOF OF SERVICE Pfizer Inc.,, served on 10/15/2018. (Tsai, Rocky) (Entered: 10/15/2018)

10/15/2018 595 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Plaintiff's Application for Order Granting Leave to File Its Omnibus Opposition to Defendants' Motions in Limine Nos. 1 and 2 Publicly, or, Alternatively, Under Seal under seal 581 filed by Interested Parties Citigroup Global Markets Inc., Cowen and Company, LLC, J.P. Morgan Securities LLC, Leerink Partners LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated.(Wang, Lucy) (Entered: 10/15/2018)

10/15/2018 596 PROOF OF SERVICE filed by Non-Parties Citigroup Global Markets Inc., Cowen and Company, LLC, J.P. Morgan Securities LLC, Leerink Partners LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, re Sealed Declaration in SupportDeclaration, 595 served on 10/15/2018. (Wang, Lucy) (Entered: 10/15/2018)

10/15/2018 597 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Plaintiff's Application for Order Granting Leave to File Its Omnibus Opposition to Defendants' Motions in Limine Nos. 1 and 2 Publicly, or, Alternatively, Under Seal under seal 581 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc..(Murphy, Kristin) (Entered: 10/15/2018)

10/15/2018 598 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Declaration in SupportDeclaration, 597 served on October 15, 2018. (Murphy, Kristin) (Entered: 10/15/2018)

10/15/2018 599 MEMORANDUM in Opposition to NOTICE OF MOTION AND MOTION for Order for Prohibiting Plaintiff from Calling Shayne Kennedy as a Trial Witness 571 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Forge, Jason) (Entered: 10/15/2018)

10/15/2018 600 DECLARATION of Jason A. Forge re MEMORANDUM in Opposition to Motion, 599 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit 1 - Responses to Interrogatories, # 2 Exhibits 2-3 Slip Sheets, # 3 Exhibit 4 - William Hicks Deposition Transcript, # 4 Exhibit 5 - Email, # 5 Exhibits 6-7 Slip Sheets, # 6 Exhibit 8 - Conference Call Transcript, # 7 Exhibits 9-10 Slip Sheets, # 8 Exhibit 11 - Email, # 9 Exhibit 12 - Metadata Slip Sheet, # 10 Exhibit 13 - Metadata Slip Sheet, # 11 Exhibit 14 - Email, # 12 Exhibits 15-16 Slip Sheets, # 13 Exhibit 17 - Alan Auerbach Deposition Transcript)(Forge, Jason) (Entered: 10/15/2018)

10/15/2018 601 APPLICATION to file document Plaintiff's Application for Order Granting Leave to File Its Opposition to Defendants' Motion in Limine No. 5 Publicly, or, Alternatively, Under Seal under seal filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order, # 2 Redacted Document Memorandum of Law in Opposition, # 3 Exhibits 2-3 Slip Sheets, # 4 Redacted Document Exhibit 4 - William Hicks Deposition Transcript, # 5 Exhibits 6-7 Slip Sheets, # 6 Exhibits 9-10 Slip Sheets, # 7 Exhibits 15-16 Slip Sheets)(Forge, Jason) (Entered: 10/15/2018)

10/15/2018 602 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Plaintiff's Application for Order Granting Leave to File Its Opposition to Defendants' Motion in Limine No. 5 Publicly, or, Alternatively, Under Seal under seal 601 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Unredacted Document Memorandum of Law in Opposition, # 2 Unredacted Document Exhibit 2 - Written Consent, # 3 Unredacted Document Exhibit 3 - Email, # 4 Unredacted Document Exhibit 4 - William Hicks Deposition Transcript, # 5 Unredacted Document Exhibit 6 - Email, # 6 Unredacted Document Exhibit 7 - Email, # 7 Unredacted Document Exhibit 9 - Email, # 8 Unredacted Document Exhibit 10 - Email, # 9 Unredacted Document Exhibit 15 - Minutes, # 10 Unredacted Document Exhibit 16 - Email)(Forge, Jason) (Entered: 10/15/2018)

10/18/2018 603 ORDER GRANTING PLAINTIFF'S APPLICATION TO FILE PUBLICLY 601 by Judge Andrew J. Guilford. Plaintiffs Application is hereby: GRANTED. Accordingly, the Court ORDERS that an unredacted version of Plaintiffs Opposition to Defendants Motion in Limine No. 5 to Prohibit Plaintiff from Calling Shayne Kennedy as a Trial Witness and any supporting exhibits thereto be filed on the public docket. (es) (Entered: 10/18/2018)

10/18/2018 604 MEMORANDUM in Opposition to NOTICE OF MOTION AND MOTION for Order for Prohibiting Plaintiff from Calling Shayne Kennedy as a Trial Witness 571 Refiled Publicly Pursuant to October 18, 2018 Order (ECF No. 603) filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Forge, Jason) (Entered: 10/18/2018)

10/18/2018 605 DECLARATION of Jason A. Forge re MEMORANDUM in Opposition to Motion, 604 Refiled Publicly Pursuant to October 18, 2018 Order (ECF No. 603) filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit 1 - Responses to Interrogatories, # 2 Exhibit 2 - Written Consent, # 3 Exhibit 3 - Email, # 4 Exhibit 4 - William Hicks Deposition Transcript, # 5 Exhibit 5 - Email, # 6 Exhibit 6 - Email, # 7 Exhibit 7 - Email, # 8 Exhibit 8 - Conference Call Transcript, # 9 Exhibit 9 - Email, # 10 Exhibit 10 - Email, # 11 Exhibit 11 - Email, # 12 Exhibit 12 - Metadata Slip Sheet, # 13 Exhibit 13 - Metadata Slip Sheet, # 14 Exhibit 14 - Email, # 15 Exhibit 15 - Minutes, # 16 Exhibit 16 - Email, # 17 Exhibit 17 - Alan Auerbach Deposition Transcript)(Forge, Jason) (Entered: 10/18/2018)

10/19/2018 606 NOTICE of Appearance filed by attorney Lorraine Echavarria on behalf of Interested Parties Eric Stern, Skye Drynan (Attorney Lorraine Echavarria added to party Eric Stern(pty:ip), Attorney Lorraine Echavarria added to party Skye Drynan(pty:ip))(Echavarria, Lorraine) (Entered: 10/19/2018)

10/19/2018 607 NOTICE of Appearance filed by attorney Christopher Thomas Casamassima on behalf of Interested Parties Skye Drynan, Eric Stern (Attorney Christopher Thomas Casamassima added to party Skye Drynan(pty:ip), Attorney Christopher Thomas Casamassima added to party Eric Stern(pty:ip))(Casamassima, Christopher) (Entered: 10/19/2018)

10/19/2018 608 STATEMENT of Non-Party Eric Stern in Support of MOTION IN LIMINE (#6) to Preclude Testimony of Witnesses Not Disclosed During Discovery 517 filed by Interested Party Eric Stern. (Casamassima, Christopher) (Entered: 10/19/2018)

10/19/2018 609 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Plaintiff's Application for Order Granting Leave to File Its Opposition to Defendants' Motion in Limine No. 5 Publicly, or, Alternatively, Under Seal under seal 601 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc..(Murphy, Kristin) (Entered: 10/19/2018)

10/19/2018 610 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Declaration in SupportDeclaration, 609 served on 10/19/2018. (Murphy, Kristin) (Entered: 10/19/2018)


10/22/2018 612 TRANSCRIPT ORDER as to Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc. for Court Reporter. Court will contact Karen Patterson at [email protected] with further instructions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Smith, Colleen) (Entered: 10/22/2018)

10/22/2018 617 MINUTES OF 1. PRETRIAL CONFERENCE (7 DAY JURY TRIAL 11/6/18) 2. DEFENDANTS MOTIONS IN LIMINE NOS. 1-4 [DKT 519] 3. DEFENDANTS MOTION IN LIMINE #3 TO EXCLUDE EVIDENCE RELATING TO INSIDER TRADING POLICIES AND ALLEGATIONS [DKT 520] 4. DEFENDANTS MOTION IN LIMINE #4 TO EXCLUDE EVIDENCE OR ARGUMENT RELATING TO ALAN AUERBACHS CHARACTER [DKT 521] 5. PLAINTIFFS MOTION IN LIMINE #1 TO PRECLUDE EVIDENCE OF OR REFERENCE TO AGGREGATE DAMAGES TO CLASS [DKT 512] 6. PLAINTIFFS MOTION IN LIMINE #2 TO PRECLUDE EVIDENCE CONCERNING PLAINTIFFS TRADES IN PUMA SECURITIES [DKT 513] 7. PLAINTIFFS MOTION IN LIMINE #3 TO PRECLUDE EVIDENCE AND REFERENCE TO COUGAR BIOTECHNOLOGY AND ABIRATERONE/ZYTIGA [DKT 514] 8. PLAINTIFFS MOTION IN LIMINE #4 TO PRECLUDE EVIDENCE OF IRRELEVANT POST-CLASS PERIOD EVENTS, RESULTS AND OUTCOMES [DKT 515] 9. PLAINTIFFS MOTION IN LIMINE #5 TO PRELUDE TESTIMONY OF KANDI FRANKLIN 10. PLAINTIFFS MOTION IN LIMINE #6 TO PRECLUDE TESTIMONY OF WITNESSES NOT DISCLOSED DURING DISCOVERY [DKT 517] 11. PLAINTIFFS MOTION IN LIMINE #7 TO DETERMINE TRIAL PROCEDURES 518] 12. PLAINTIFFS MOTION TO UNSEAL RECORDS FILED IN SUPPORT OF DEFENDANTS MOTIONS IN LIMINE [DKT 534] 13. DEFENDANTS

MOTION IN LIMINE NO. 5 PROHIBITING PLAINTIFF FROM CALLING SHAYNE KENNED AS A TRIAL WITNESS [DKT 572] held before Judge Andrew J. Guilford: Pretrial Conference is held and motions in limine are argued. A separate minute order ruling on motions to issue. Court Reporter: Miriam Baird. (es) (Entered: 10/31/2018)

10/24/2018 614 MINUTES (IN CHAMBERS) ORDER REGARDING TRIAL PROCEDURES AND PRETRIAL FILINGS by Judge Andrew J. Guilford: This order addresses the matters discussed during the October 22, 2018 Final Pretrial Conference, the parties' proposed final pretrial conference order, motions in limine, and other trial procedures. *See order for details.* (es) (Entered: 10/26/2018)

10/25/2018 613 MINUTE ORDER [IN CHAMBERS] ORDER CONTINUING TRIAL by Judge Andrew J. Guilford: On the Court's own motion, the trial in this matter is continued from November 6, 2018 to January 15, 2019 at 9:00 a.m. due to this Court's congested trial calendar, including criminal trials that must take priority. (es) (Entered: 10/25/2018)

10/30/2018 615 TRANSCRIPT for proceedings held on 10/22/18 8:30 am. Court Reporter/Electronic Court Recorder: miriam VELIZ baird, 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 11/20/2018. Redacted Transcript Deadline set for 11/30/2018. Release of Transcript Restriction set for 1/28/2019. (Baird, Miriam) (Entered: 10/30/2018)

10/30/2018 616 NOTICE OF FILING TRANSCRIPT filed for proceedings 10/22/18 8:30 am re Transcript 615 THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (Baird, Miriam) TEXT ONLY ENTRY (Entered: 10/30/2018)

11/09/2018 618 NOTICE OF MOTION AND MOTION to Amend Order on Motion in Limine to Preclude,,,,,,,,,,,, Order on Motion in Limine to Determine, 614 for Clarification of the Court's October 24, 2018 Order Excluding Evidence of Puma's Dispute with Third-Party Pfizer filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. Motion set for hearing on 12/10/2018 at 10:00 AM before Judge Andrew J. Guilford. (Attachments: # 1 Proposed Order) (Forge, Jason) (Entered: 11/09/2018)

11/09/2018 619 MEMORANDUM in Support of NOTICE OF MOTION AND MOTION to Amend Order on Motion in Limine to Preclude,,,,,,,,,,,, Order on Motion in Limine to Determine, 614 for Clarification of the Court's October 24, 2018 Order Excluding Evidence of Puma's Dispute with Thir 618 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Forge, Jason) (Entered: 11/09/2018)

11/09/2018 620 DECLARATION of Jason A. Forge in Support of NOTICE OF MOTION AND MOTION to Amend Order on Motion in Limine to Preclude,,,,,,,,,,,, Order on Motion in Limine to Determine, 614 for Clarification of the Court's October 24, 2018 Order Excluding Evidence of Puma's Dispute with Thir 618 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit A - Excerpted pages from J.P. Morgan record, # 2 Exhibit

B - Email, # 3 Exhibit C - Slip Sheet, # 4 Exhibit D - Email, # 5 Exhibit E - Email, # 6 Exhibits F-H - Slip Sheets, # 7 Exhibit I - Email Exchange, # 8 Exhibits J-K - Slip Sheets, # 9 Exhibit L - Email, # 10 Exhibit M - Email Exchange, # 11 Exhibit N - Slip Sheet, # 12 Exhibit O - Letter, # 13 Exhibit P - Letter, # 14 Exhibit Q - Letter)(Forge, Jason) (Entered: 11/09/2018)

11/09/2018 621 APPLICATION to file document Plaintiff's Application for Order Granting Leave to File Publicly, Or, Alternatively, Under Seal, Its Memorandum of Law in Support of Motion for Clarification and Exhibits in Support Thereof under seal filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order, # 2 Redacted Document Memorandum of Law, # 3 Exhibits C, F-H, J-K, and N Slip Sheets)(Forge, Jason) (Entered: 11/09/2018)

11/09/2018 622 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Plaintiff's Application for Order Granting Leave to File Publicly, Or, Alternatively, Under Seal, Its Memorandum of Law in Support of Motion for Clarification and Exhibits in Support Thereof under seal 621 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Unredacted Document Memorandum of Law, # 2 Unredacted Document Exhibit C - Email Exchange, # 3 Unredacted Document Exhibit F - Email, # 4 Unredacted Document Exhibit G - Email, # 5 Unredacted Document Exhibit H - Email Exchange, # 6 Unredacted Document Exhibit J - Email, # 7 Unredacted Document Exhibit K - Email, # 8 Unredacted Document Exhibit N - Letter)(Forge, Jason) Modified on 9/23/2019 (es). *ATTACHMENTS 622-3 THRU 622-5; 622-7 UNSEALED BY ORDER OF THE COURT 781 * (Entered: 11/09/2018)

11/13/2018 623 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Plaintiff's Application for Order Granting Leave to File Publicly, Or, Alternatively, Under Seal, Its Memorandum of Law in Support of Motion for Clarification and Exhibits in Support Thereof under seal 621 filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc..(Murphy, Kristin) (Entered: 11/13/2018)

11/13/2018 624 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Charles R. Eyler, Puma Biotechnology, Inc., re Sealed Declaration in SupportDeclaration, 623 served on November 13, 2018. (Murphy, Kristin) (Entered: 11/13/2018)

11/15/2018 625 NOTICE of Appearance filed by attorney Ting Hsiang Liu on behalf of Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund (Attorney Ting Hsiang Liu added to party Norfolk County Council, as Administering Authority of the Norfolk Pension Fund(pty:pla))(Liu, Ting) (Entered: 11/15/2018)

11/19/2018 626 MEMORANDUM in Opposition to NOTICE OF MOTION AND MOTION to Amend Order on Motion in Limine to Preclude,,,,,,,,,,,, Order on Motion in Limine to Determine, 614 for Clarification of the Court's October 24, 2018 Order Excluding Evidence of Puma's Dispute with Thir 618 filed by Defendants Alan H. Auerbach, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 11/19/2018)

11/19/2018 627 DECLARATION of Jordan D. Cook in support of Opposition to NOTICE OF MOTION AND MOTION to Amend Order on Motion in Limine to Preclude,,,,,,,,,,,,

Order on Motion in Limine to Determine, 614 for Clarification of the Court's October 24, 2018 Order Excluding Evidence of Puma's Dispute with Thir 618 filed by Defendants Alan H. Auerbach, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, Part 1 (Redacted), # 4 Exhibit 3,Part 2 (Redacted), # 5 Exhibit 4 (Redacted))(Cook, Jordan) (Entered: 11/19/2018)

11/19/2018 628 APPLICATION to file document in Support of Defendants' Opposition to Motion for Clarification of the Court's October 24, 2018 Order Excluding Evidence of Puma's Dispute with Third Party Pfizer under seal filed by Defendants Alan H. Auerbach, Puma Biotechnology, Inc.. (Attachments: # 1 Proposed Order)(Smith, Colleen) (Entered: 11/19/2018)

11/19/2018 629 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document in Support of Defendants' Opposition to Motion for Clarification of the Court's October 24, 2018 Order Excluding Evidence of Puma's Dispute with Third Party Pfizer under seal 628 filed by Defendants Alan H. Auerbach, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit 3, Part 1 of 2, # 2 Exhibit 3, Part 2 of 2, # 3 Exhibit 4, # 4 Memorandum Opposition to Motion for Clarification)(Grant, Meryn) (Entered: 11/19/2018)

11/19/2018 630 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Puma Biotechnology, Inc., re Sealed Declaration in SupportDeclaration, 629 served on November 19, 2018. (Smith, Colleen) (Entered: 11/19/2018)

11/20/2018 631 EX PARTE APPLICATION for Order for Prohibiting Plaintiff's Deposition of Jeannette Dinin filed by Defendants Alan H. Auerbach, Puma Biotechnology, Inc.. (Attachments: # 1 Memorandum of Points and Authorities, # 2 Proposed Order) (Johnson, Michele) (Entered: 11/20/2018)

11/20/2018 632 DECLARATION of Kristin N. Murphy in support of EX PARTE APPLICATION for Order for Prohibiting Plaintiff's Deposition of Jeannette Dinin 631 filed by Defendants Alan H. Auerbach, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)(Murphy, Kristin) (Entered: 11/20/2018)

11/21/2018 633 NOTICE of Opposition to Defendants' Ex Parte Application for an Order Prohibiting the Deposition of Jeannette Dinin filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Gronborg, Tor) (Entered: 11/21/2018)

11/21/2018 634 MINUTES (IN CHAMBERS): GRANTING 631 Defendants' Ex Parte Application for Order to prohibit Plaintiffs post-discovery deposition of FDA employee Jeannette Dinin (lb) (Entered: 11/22/2018)

11/26/2018 635 ORDER GRANTING DEFENDANTS' APPLICATION FOR LEAVE TO FILE DOCUMENTS IN SUPPORT OF THEIR OPPOSITION TO PLAINTIFF'S MOTION FOR CLARIFICATION OF THE COURT'S OCTOBER 24, 2018 ORDER EXCLUDING EVIDENCE OF PUMAS DISPUTE WITH THIRD-PARTY PFIZER UNDER SEAL 628 by Judge Andrew J. Guilford (es) (Entered: 11/26/2018)

11/26/2018 636 REPLY in Support of NOTICE OF MOTION AND MOTION to Amend Order on Motion in Limine to Preclude,,,,,,,,,,,, Order on Motion in Limine to Determine, 614 for Clarification of the Court's October 24, 2018 Order Excluding Evidence of

Puma's Dispute with Thir 618 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Forge, Jason) (Entered: 11/26/2018)

11/26/2018 637 DECLARATION of Jason A. Forge in Further Support of NOTICE OF MOTION AND MOTION to Amend Order on Motion in Limine to Preclude,,,,,,,,,,,, Order on Motion in Limine to Determine, 614 for Clarification of the Court's October 24, 2018 Order Excluding Evidence of Puma's Dispute with Thir 618 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit R - Conference Call Transcript, # 2 Exhibit S - Slip Sheet, # 3 Exhibit T - Excerpts to William Hicks Deposition, # 4 Exhibit U - Capital International's Philosophy, # 5 Exhibit V - Excerpts of Darcy Kopcho Deposition)(Forge, Jason) (Entered: 11/26/2018)

11/26/2018 638 APPLICATION to file document Plaintiff's Application for Order Granting Leave to File Publicly, Or, Alternatively, Under Seal, Its Reply in Support of Motion for Clarification and Exhibit in Support Thereof under seal filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order, # 2 Redacted Document Reply in Support of Motion for Clarification, # 3 Exhibit S Slip Sheet)(Forge, Jason) (Entered: 11/26/2018)

11/26/2018 639 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Plaintiff's Application for Order Granting Leave to File Publicly, Or, Alternatively, Under Seal, Its Reply in Support of Motion for Clarification and Exhibit in Support Thereof under seal 638 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Unredacted Document Reply in Support of Motion for Clarification, # 2 Exhibit S - Excerpts to Alan Auerbach Deposition)(Forge, Jason) (Entered: 11/26/2018)

11/27/2018 640 EX PARTE APPLICATION for Reconsideration re Order on Motion for Order 634 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order) (Gronborg, Tor) (Entered: 11/27/2018)

11/27/2018 641 DECLARATION of Tor Gronborg in Support of EX PARTE APPLICATION for Reconsideration re Order on Motion for Order 634 640 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit A - Email, # 2 Exhibit B - Excerpt to Amended Privilege Log, # 3 Exhibit C - Letter, # 4 Exhibit D - Letter, # 5 Exhibit E - Meeting Minutes, # 6 Exhibit F - Metadata, # 7 Exhibit G - Email, # 8 Exhibit H - Excerpt of Darcy Kopcho Deposition, # 9 Exhibit I - Email)(Gronborg, Tor) (Entered: 11/27/2018)

11/28/2018 642 MINUTES (IN CHAMBERS)ORDER DENYING EX PARTE APPLICATION (DKT. 640) by Judge Andrew J. Guilford: Plaintiff Norfolk County Council has filed an ex parte application to reconsider the Court's order granting Defendants' ex parte application to prevent the deposition of Jeannette Dinin. (Dkt. 640 .) The Court has reviewed the Plaintiff's 23-page filing and finds that the requested ex parte relief is not merited. Plaintiff's ex parte application is DENIED. (Dkt. 640.) (es) (Entered: 11/28/2018)

11/29/2018 643 SEALED DOCUMENT Opposition to Plaintiff's Motion for Clarification of the Court's October 24, 2018 Order re Order on Motion for Leave to File Document Under Seal, 635 filed by Defendants Alan H. Auerbach, Puma Biotechnology, Inc..(Johnson, Michele) (Entered: 11/29/2018)

11/29/2018 644 SEALED DOCUMENT Exhibits 3 and 4 to Declaration of Jordan D. Cook in Support of Opposition to Motion for Clarification of the Court's October 24, 2018 Order re Order on Motion for Leave to File Document Under Seal, 635 filed by Defendants Alan H. Auerbach, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit 3 Part 1, # 2 Exhibit 3 Part 2, # 3 Exhibit 4)(Cook, Jordan) Modified on 9/23/2019 (es). *ATTACHMENTS 644-1 THRU 644-3 UNSEALED BY ORDER OF THE COURT 781 * (Entered: 11/29/2018)

11/29/2018 645 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Puma Biotechnology, Inc., re Sealed Document, 644 , Sealed Document, 643 served on November 29, 2018. (Johnson, Michele) (Entered: 11/29/2018)

11/30/2018 646 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Plaintiff's Application for Order Granting Leave to File Publicly, Or, Alternatively, Under Seal, Its Reply in Support of Motion for Clarification and Exhibit in Support Thereof under seal 638 filed by Defendants Alan H. Auerbach, Puma Biotechnology, Inc..(Murphy, Kristin) (Entered: 11/30/2018)

11/30/2018 647 PROOF OF SERVICE filed by Defendants Alan H. Auerbach, Puma Biotechnology, Inc., re Sealed Declaration in SupportDeclaration, 646 served on November 30, 2018. (Murphy, Kristin) (Entered: 11/30/2018)

12/03/2018 648 EX PARTE APPLICATION for Order for Preventing Defendants from Re-Deposing Third Party Skye Drynan filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order) (Conn, Susannah) (Entered: 12/03/2018)

12/03/2018 649 DECLARATION of Susannah R. Conn in Support of EX PARTE APPLICATION for Order for Preventing Defendants from Re-Deposing Third Party Skye Drynan 648 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit A - Email, # 2 Exhibit B - Notice of Trial Deposition)(Conn, Susannah) (Entered: 12/03/2018)

12/04/2018 650 OPPOSITION re: EX PARTE APPLICATION for Order for Preventing Defendants from Re-Deposing Third Party Skye Drynan 648 filed by Defendants Alan H. Auerbach, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 12/04/2018)

12/04/2018 651 DECLARATION of Kristin N. Murphy in Support of Opposition EX PARTE APPLICATION for Order for Preventing Defendants from Re-Deposing Third Party Skye Drynan 648 filed by Defendants Alan H. Auerbach, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(Murphy, Kristin) (Entered: 12/04/2018)

12/04/2018 652 MINUTES (IN CHAMBERS) ORDER GRANTING EX PARTE APPLICATION (DKT. 648 ) by Judge Andrew J. Guilford (es) (Entered: 12/04/2018)

12/05/2018 653 ORDER ON PLAINTIFF'S APPLICATION TO FILE PUBLICLY 638 by Judge Andrew J. Guilford (es) (Entered: 12/06/2018)

12/10/2018 654 Joint STIPULATION for Leave to Allow Limited Appearance of Counsel for Non-Party Underwriters filed by Non-Party Underwriters Citigroup Global Markets Inc., Cowen and Company, LLC, J.P. Morgan Securities LLC, Leerink Partners LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Attachments: # 1 Proposed Order)(Shimada, Charlene) (Entered: 12/10/2018)

12/10/2018 655 MINUTES OF PLAINTIFF'S MOTION FOR CLARIFICATION OF THE COURT'S OCTOBER 24, 2018 ORDER EXCLUDING EVIDENCE OF PUMAS DISPUTE WITH THIRD-PARTY PFIZER [DKT 618] Hearing held before Judge Andrew J. Guilford: The Motion is argued. Motion is DENIED. The Court's order stands. Jury trial remains set for January 15, 2019 at 9:00 a.m. Court Reporter: Miriam Baird. (es) (Entered: 12/10/2018)

12/10/2018 656 NOTICE OF MOTION AND MOTION to Allow Jeannette Dinin to Testify Via Contemporaneous Transmission at Trial Pursuant to Fed. R. Civ. P. 43(a) filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. Motion set for hearing on 1/7/2019 at 10:00 AM before Judge Andrew J. Guilford. (Attachments: # 1 Proposed Order) (Conn, Susannah) (Entered: 12/10/2018)

12/10/2018 657 MEMORANDUM in Support of NOTICE OF MOTION AND MOTION to Allow Jeannette Dinin to Testify Via Contemporaneous Transmission at Trial Pursuant to Fed. R. Civ. P. 43(a) 656 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Conn, Susannah) (Entered: 12/10/2018)

12/10/2018 658 TRANSCRIPT ORDER as to Defendants Alan H. Auerbach, Puma Biotechnology, Inc. for Court Reporter. Court will contact Karen M. Patterson at [email protected] with further instructions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Murphy, Kristin) (Entered: 12/10/2018)


12/11/2018 660 NOTICE of Appearance filed by attorney Patrick Joseph Coughlin on behalf of Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund (Attorney Patrick Joseph Coughlin added to party Norfolk County Council, as Administering Authority of the Norfolk Pension Fund(pty:pla))(Coughlin, Patrick) (Entered: 12/11/2018)

12/11/2018 661 ORDER GRANTING STIPULATION ALLOWING LIMITED APPEARANCE OF COUNSEL FOR NON-PARTY UNDERWRITERS 654 by Judge Andrew J. Guilford. IT IS HEREBY ORDERED THAT: 1. Morgan, Lewis & Bockius LLP may appear as counsel to the Non-Party Underwriters during the trial testimony of William C. Hicks, Esq. and Bradley Wolff for the limited purpose of preserving the attorney-client privilege held by the Non-Party Underwriters. (es) (Entered: 12/11/2018)

12/17/2018 662 TRANSCRIPT for proceedings held on 12/10/18 10:30 AM. Court Reporter/Electronic Court Recorder: miriam baird, 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 1/7/2019. Redacted Transcript Deadline set for 1/17/2019. Release of Transcript Restriction set for 3/18/2019. (Baird, Miriam) (Entered: 12/17/2018)

12/17/2018 663 NOTICE OF FILING TRANSCRIPT filed for proceedings 12/10/18 10:30 AM re Transcript 662 THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (Baird, Miriam) TEXT ONLY ENTRY (Entered: 12/17/2018)

12/17/2018 664 MEMORANDUM in Opposition to NOTICE OF MOTION AND MOTION to Allow Jeannette Dinin to Testify Via Contemporaneous Transmission at Trial Pursuant to Fed. R. Civ. P. 43(a) 656 filed by Defendants Alan H. Auerbach, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 12/17/2018)

12/17/2018 665 DECLARATION of Kristin N. Murphy in support of Opposition to NOTICE OF MOTION AND MOTION to Allow Jeannette Dinin to Testify Via Contemporaneous Transmission at Trial Pursuant to Fed. R. Civ. P. 43(a) 656 filed by Defendants Alan H. Auerbach, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2)(Murphy, Kristin) (Entered: 12/17/2018)

12/19/2018 666 OBJECTIONS to Plaintiff's Proposed Jury Instructions filed by Defendants Alan H. Auerbach, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 12/19/2018)

12/19/2018 667 STATEMENT in Support of Defendants' Proposed Jury Instructions Nos. 1-16 (Johnson, Michele) (Entered: 12/19/2018)

12/19/2018 668 PROPOSED JURY INSTRUCTIONS (Joint set) filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund.. (Gronborg, Tor) (Entered: 12/19/2018)

12/19/2018 669 STATEMENT in Support of Plaintiffs' Proposed Jury Instructions Nos. 1-8 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund (Gronborg, Tor) (Entered: 12/19/2018)

12/19/2018 670 OBJECTIONS to Defendants' Proposed Jury Instructions filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Appendix A)(Gronborg, Tor) (Entered: 12/19/2018)

12/21/2018 671 REPLY in Support of NOTICE OF MOTION AND MOTION to Allow Jeannette Dinin to Testify Via Contemporaneous Transmission at Trial Pursuant to Fed. R. Civ. P. 43(a) 656 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Conn, Susannah) (Entered: 12/21/2018)

12/21/2018 672 DECLARATION of Susannah R. Conn re Reply (Motion related), 671 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit A - Email Exchange, # 2 Exhibit B - Email Exchange with Proposed Stipulation)(Conn, Susannah) (Entered: 12/21/2018)

01/07/2019 673 MINUTES OF Hearing on Motion to Allow Jeannette Dinin to Testify Via Contemporaneous Transmission at Trial Pursuant to FRCP 43(A) 656 held before

Judge Andrew J. Guilford: Motion hearing held. The Court hears oral argument from the parties. The Court takes the Motion under submission. Order to issue. Court Reporter: Miriam Baird. Attorneys for Plaintiff: Susannah Conn; Attorneys for Defendant: Colleen Smith, Michele Thompson, Andrew Clubok, PHV. Courtroom Deputy: Lisa Bredahl, Melissa Kunig; Time in Court: 0:28. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. TEXT ONLY ENTRY. Court Reporter: Miriam Baird. (mku) (Entered: 01/08/2019)

01/08/2019 674 MINUTES (IN CHAMBERS) ORDER REGARDING VIDEO TESTIMONY AT TRIAL (DKT. 656 ) by Judge Andrew J. Guilford: Plaintiff has filed a motion to allow FDA employee Jeanette Dinin to testify at trial by live video transmission. After extensive briefing and thorough oral argument, the Court finds the Plaintiff has not made a showing sufficient to satisfy Rule 43. Plaintiff's request to allow Dinin to testify by video transmission is DENIED. (See order for further details) (es) (Entered: 01/08/2019)

01/08/2019 675 TRANSCRIPT ORDER as to Defendants Alan H. Auerbach, Puma Biotechnology, Inc. for Court Reporter. Court will contact Karen Patterson at [email protected] with further instructions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Murphy, Kristin) (Entered: 01/08/2019)

01/08/2019 676 STIPULATION for Discovery as to Regarding the Identification of Trial Witnesses filed by Plaintiffs Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order)(Gronborg, Tor) (Entered: 01/08/2019)

01/08/2019 677 PROPOSED Special JURY VERDICT filed by Plaintiffs Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Special Verdict Form)(Gronborg, Tor) (Entered: 01/08/2019)

01/08/2019 678 Proposed Voir Dire Questions filed by Plaintiffs Norfolk County Council, as Administering Authority of the Norfolk Pension Fund.. (Gronborg, Tor) (Entered: 01/08/2019)

01/08/2019 679 TRIAL BRIEF filed by Plaintiffs Norfolk County Council, as Administering Authority of the Norfolk Pension Fund.. (Conn, Susannah) (Entered: 01/08/2019)

01/08/2019 680 PROPOSED SPECIAL JURY VERDICT filed by Defendants Alan H. Auerbach, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 01/08/2019)

01/08/2019 681 Proposed Voir Dire Questions filed by Defendants Alan H. Auerbach, Puma Biotechnology, Inc... (Johnson, Michele) (Entered: 01/08/2019)

01/08/2019 682 TRIAL BRIEF filed by Defendants Alan H. Auerbach, Puma Biotechnology, Inc... (Johnson, Michele) (Entered: 01/08/2019)

01/10/2019 683 MINUTE ORDER (IN CHAMBERS) ORDER REGARDING JURY INSTRUCTIONS by Judge Andrew J. Guilford: The Court has received five documents from the parties containing joint and contested jury instructions, totaling 249 pages. To promote efficiency, the Court instructs the parties to meet and confer further regarding contested jury instructions and file a single document by 4 p.m. on January 14, 2019 containing each party's contested instructions, with each proposed

instruction followed immediately by the other party's objections. (SEE ATTACHED ORDER FOR FURTHER DETAILS) (es) (Entered: 01/10/2019)

01/11/2019 684 Joint PRETRIAL STIPULATION regarding Exhibits Regarding the Exchange of Demonstrative Material. (Attachments: # 1 Proposed Order)(Gronborg, Tor) (Entered: 01/11/2019)

01/14/2019 685 Notice of Appearance or Withdrawal of Counsel: for attorney Jordan Davisson Cook counsel for Defendants Alan H. Auerbach, Puma Biotechnology, Inc.. Adding Jordan D. Cook as counsel of record for Puma Biotechnology, Inc., and Alan H. Auerbach for the reason indicated in the G-123 Notice. Filed by Defendants Puma Biotechnology, Inc., and Alan H. Auerbach. (Attorney Jordan Davisson Cook added to party Alan H. Auerbach(pty:dft), Attorney Jordan Davisson Cook added to party Puma Biotechnology, Inc.(pty:dft))(Cook, Jordan) (Entered: 01/14/2019)

01/14/2019 686 ORDER GRANTING STIPULATION REGARDING THE EXCHANGE OF DEMONSTRATIVE MATERIAL 684 by Judge Andrew J. Guilford. IT IS HEREBY ORDERED THAT: The Parties shall exchange any demonstrative(s) within 2.5 hours of the close of proceedings, the day before the disclosing party intends to use the demonstrative(s). Demonstrative(s) to be used on a Tuesday shall be exchanged by no later than 5:00p.m. the preceding Monday. (es) (Entered: 01/14/2019)

01/14/2019 687 PROPOSED JURY INSTRUCTIONS (Joint Submission Regarding Contested Jury Instructions set) filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund.. (Gronborg, Tor) (Entered: 01/14/2019)

01/14/2019 688 CIVIL JURY SELECTION PROCEDURES by Judge Andrew J. Guilford. [SEE ORDER FOR DETAILS AND GUIDLINES] (es) (Entered: 01/14/2019)

01/15/2019 689 MINUTES OF Jury Trial - 1st Day held before Judge Andrew J. Guilford: Jury impaneled and sworn. Opening statements made. Case continued to 1/16/2019 at 8:00 AM before Judge Andrew J. Guilford. Court Reporter: Miriam Baird. (es) (Entered: 01/16/2019)

01/16/2019 691 MINUTES OF Jury Trial - 2nd Day Held and Continued before Judge Andrew J. Guilford: Witnesses called, sworn and testified. Exhibits identified and admitted. Case continued to 1/17/2019 at 9:00 AM., for further trial/further jury deliberation. Court Reporter: Miriam Baird. (jp) (Entered: 01/22/2019)

01/17/2019 692 MINUTES OF Jury Trial - 3rd Day Held and Continued before Judge Andrew J. Guilford: Witnesses called, sworn and testified. Exhibits identified and admitted. Case continued to 1/22/2019 at 9:00 AM., for further trial/further jury deliberation. Court Reporter: Miriam Baird. (jp) (Entered: 01/22/2019)

01/18/2019 690 MINUTE [IN CHAMBERS] ORDER REGARDING TIMED TRIAL by Judge Andrew J. Guilford: The Court ORDERS that this case shall last a total of 35 hours, with each side assigned 17.5 hours. (SEE DOCUMENT FOR FURTHER INFORMATION). (jp) (Entered: 01/18/2019)

01/22/2019 693 MINUTES OF Jury Trial - 4th Day held before Judge Andrew J. Guilford: Witnesses called, sworn and testified. Exhibits identified and admitted. Case

continued to 1/23/2019 at 9:00 AM before Judge Andrew J. Guilford. Court Reporter: Miriam Baird. (es) (Entered: 01/23/2019)

01/23/2019 694 MINUTES OF Jury Trial - 5th Day held before Judge Andrew J. Guilford: Witnesses called, sworn and testified. Exhibits identified and admitted. Jury Trial continued to 1/24/2019 at 9:00 AM for further trial/further jury deliberation before Judge Andrew J. Guilford. Court Reporter: Miriam Baird. (es) (Entered: 01/24/2019)

01/24/2019 695 MINUTES OF Jury Trial - 6th Day held before Judge Andrew J. Guilford: Witnesses called, sworn and testified. Exhibits identified and admitted. Plaintiff(s) rest. Motion for Judgment/Directed Verdict by defendant submitted. Jury Trial continued to 1/25/2019 at 8:00 AM for further trial/further jury deliberation before Judge Andrew J. Guilford. Court Reporter: Miriam Baird. (es) (Entered: 01/25/2019)

01/25/2019 696 MINUTES OF Jury Trial - 7th Day held before Judge Andrew J. Guilford: Witnesses called, sworn and testified. Exhibits identified and admitted. Defendant(s) rest. Motion for Judgment/Directed Verdict by Defendant Denied. Clerk reviewed admitted exhibits with counsel to be submitted to the Jury/Court for deliberation/findings. Case continued to Tuesday, 1/29/2019 at 9:00 AM for further trial/further jury deliberation before Judge Andrew J. Guilford. Plaintiff's oral Motion for Judgment as a Matter of Law is made and taken under submission. The Court and counsel confer regarding jury instructions. The Court sets a status conference to further discuss jury instructions on Monday, January 28, 2019 at 10:00 a.m. Court Reporter: Miriam Baird. (es) (Entered: 01/25/2019)

01/28/2019 697 MINUTES OF STATUS CONFERENCE held before Judge Andrew J. Guilford: Status Conference held. The Court and counsel confers regarding matters as stated on the record. Court Reporter: Miriam Baird. (es) (Entered: 01/28/2019)

01/28/2019 698 * SEALED TO PROTECT DRIVER PERSONAL INFORMATION * ORDER GRANTING THE PARTIES ACCESS TO THE LOADING DOCK FOR LOADING MATERIALS AND SUPPLIES USED DURING TRIAL by Judge Andrew J. Guilford. The Court GRANTS the parties access to the loading dock at the Ronald Reagan Courthouse at 4:00 p.m. on Tuesday, January 29, 2019, to load materials and supplies used during the trial in this matter as follows: SEE ORDER FOR FURTHER INFORMATION. (es) Modified on 1/29/2019 (mku). (Entered: 01/29/2019)

01/28/2019 715 RECEIPT FOR RELEASE OF EXHIBITS to Counsel Upon Verdict/Judgment at Trial; Pursuant to stip of counsel and/or by Order of the Court, all exhibits listed on Court's exhibits list are returned to counsel for respective party(ies). (es) (Entered: 02/05/2019)

01/29/2019 699 Joint STIPULATION for Order regarding Plaintiffs' Claim Under Section 20(a) of the Securities Exchange Act filed by Defendants Alan H. Auerbach, Puma Biotechnology, Inc.. (Attachments: # 1 Proposed Order)(Johnson, Michele) (Entered: 01/29/2019)

01/29/2019 700 FINAL JURY INSTRUCTIONS filed (es) (Entered: 01/29/2019)

01/29/2019 701 MINUTES OF Jury Trial - 8th Day held before Judge Andrew J. Guilford: Closing arguments made by plaintiff(s), defendant(s). Court instructs jury. Bailiff(s) sworn. Jury retires to deliberate. Clerk reviewed admitted exhibits with counsel to be

submitted to the Jury/Court for deliberation/findings. Counsel stipulate to the return of exhibits upon the conclusion of trial. Exhibit Release Form prepared and filed. Case continued to Wednesday, 1/30/2019 at 9:00 AM for further trail/further jury deliberation. Court Reporter: Miriam Baird. (es) (Entered: 01/29/2019)

01/30/2019 702 MINUTES OF Jury Trial - 9th Day held before Judge Andrew J. Guilford: Jury resumes deliberations. Case continued to Thursday, 1/31/2019 at 9:00 AM for further jury deliberation. Court Reporter: Miriam Baird. (es) (Entered: 01/30/2019)

01/31/2019 703 MINUTES OF Jury Trial - 10th Day held before Judge Andrew J. Guilford: Jury resumes deliberations. Case continued to Friday, 2/1/2019 at 8:00 AM for further deliberation. Court Reporter: Miriam Baird; Debbie Hino-Spaan. (es) (Entered: 02/01/2019)

02/01/2019 704 MINUTES OF Jury Trial - 11th Day held before Judge Andrew J. Guilford: Jury resumes deliberations. Case continued to Monday, 2/4/2019 at 9:00 AM for further trial/further jury deliberation. The Court ORDERS the parties to meet and confer regarding settlement over the weekend. Court Reporter: Miriam Baird. (es) (Entered: 02/01/2019)

02/01/2019 705 ORDER GRANTING JOINT STIPULATION REGARDING PLAINTIFFS' CLAIM UNDER SECTION 20(a) OF THE SECURITIES EXCHANGE ACT 699 by Judge Andrew J. Guilford. IT IS HEREBY ORDERED THAT: 1. The jury's finding of liability or the absence of liability on Plaintiffs' Section 10(b) claim will apply to Plaintiffs' Section 20(a) claim. 2. This stipulation is made subject to, and without waiver of, any issues to be preserved for appeal with respect to Plaintiffs' claims and Defendants' defenses. (es) (Entered: 02/01/2019)

02/04/2019 706 MINUTES OF Jury Trial - 12th Day held and completed before Judge Andrew J. Guilford: Jury resumes deliberation. Verdict reached. Jury FINDS: in favor of plaintiff(s). Polling waived. Filed Witness & Exhibit Lists. Filed jury notes. The Court and counsel confer regarding Jury Note # 5. Court Reporter: Miriam Baird. (es) (Entered: 02/04/2019)

02/04/2019 707 REDACTED Jury Notes # 1 filed. (es) (Entered: 02/05/2019)

02/04/2019 708 REDACTED RESPONSE to Jury Notes #1 707 (es) (Entered: 02/05/2019)



02/04/2019 711 REDACTED RESPONSE to Jury Notes # 3 710 (es) (Entered: 02/05/2019)


02/04/2019 713 REDACTED RESPONSE to Jury Notes # 4 712 (es) (Entered: 02/05/2019)


02/04/2019 716 LIST OF EXHIBITS AND WITNESSES at trial. (es) (Entered: 02/05/2019)

02/04/2019 717 REDACTED RESPONSE to Jury Notes # 2 (es) Modified on 2/5/2019 (es). (Entered: 02/05/2019)

02/04/2019 718 REDACTED JURY VERDICT in favor of plaintiff (es) (Entered: 02/05/2019)

02/04/2019 719 SEALED UNREDACTED Jury Note # 1 707 (es) (Entered: 02/05/2019)

02/04/2019 720 SEALED UNREDACTED RESPONSE to Jury Note # 1 708 (es) (Entered: 02/05/2019)



02/04/2019 723 SEALED UNREDACTED Jury Note #3 710 (es) (Entered: 02/05/2019)


02/04/2019 725 SEALED UNREDACTED Jury Note #4 712 (es) (Entered: 02/05/2019)



02/04/2019 728 SEALED UNREDACTED JURY VERDICT 718 (es) (Entered: 02/05/2019)

02/21/2019 729 *STRICKEN BY ORDER OF THE COURT 739 * NOTICE of Proposed Judgment filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit A - [Proposed] Judgment)(Gronborg, Tor) Modified on 5/22/2019 (es). (Entered: 02/21/2019)

03/07/2019 730 STIPULATION for Order Regarding Proposed Judgment filed by Defendants Alan H. Auerbach, Puma Biotechnology, Inc.. (Attachments: # 1 Proposed Order)(Johnson, Michele) (Entered: 03/07/2019)

03/08/2019 731 ORDER GRANTING JOINT STIPULATION REGARDI PROPOSED JUDGMENT 730 by Judge Andrew J. Guilford. IT IS HEREBY ORDERED THAT: 1. Defendants shall file their objection to Plaintiffs' proposed judgment no later than March 15, 2019; 2. Plaintiffs shall file a response to Defendants' objection no later than March 22, 2019; and 3. Defendants shall file their reply to Plaintiffs' response no later than March 29, 2019. (es) (Entered: 03/08/2019)

03/15/2019 732 OBJECTIONS to Notice (Other) 729 filed by Defendants Alan H. Auerbach, Puma Biotechnology, Inc.. (Attachments: # 1 Declaration of Michele D. Johnson in Support of Defendants' Objections to Plaintiffs' Notice of Proposed Judgment, # 2 Exhibit 1 to the Declaration of Michele D. Johnson, # 3 Exhibit 2 to the Declaration of Michele D. Johnson, # 4 Exhibit 3 to the Declaration of Michele D. Johnson, # 5 Exhibit 4 to the Declaration of Michele D. Johnson, # 6 Exhibit 5 to the Declaration of Michele D. Johnson)(Johnson, Michele) (Entered: 03/15/2019)

03/22/2019 733 RESPONSE filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fundto Objection,, 732 Plaintiffs' Response to Defendants' Objections to the Proposed Judgment (Gronborg, Tor) (Entered: 03/22/2019)

03/22/2019 734 DECLARATION of Tor Gronborg re Response 733 , Objection,, 732 in Support of Plaintiffs' Response to Defendants' Objections to the Proposed Judgment filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit January 30, 2018 Judgment in In re Apollo Group, Inc. Securities Litigation, # 2 Exhibit February 4, 2019 article, Jury Reasvhes Verdict in Favor of Latham Client Puma Biotechnology in Securities Class Action Trial, # 3 Exhibit Notice of (I) Pendency of Class Action and Proposed Settlement; (II) Settlement Hearing; and (III) Motion for Attorneys Fees and Expenses, # 4 Exhibit April 6, 2011 Judgment in In re Apollo Group, Inc. Securities Litigation)(Gronborg, Tor) (Entered: 03/22/2019)

03/29/2019 735 REPLY filed by Defendants Alan H. Auerbach, Puma Biotechnology, Inc. to Notice (Other) 729 (Reply in Opposition to Plaintiffs' Notice of Proposed Judgment) (Attachments: # 1 Declaration of Michele D. Johnson, # 2 Exhibit 6)(Johnson, Michele) (Entered: 03/29/2019)

04/04/2019 736 MINUTES [IN CHAMBERS] ORDER REGARDING PROPOSED JUDGMENT by Judge Andrew J. Guilford: The issue of whether the Court should enter a final judgment has now been fully briefed, and it involves some complex and novel questions. The Court will hear oral arguments on May 20, 2019 at 10:00 a.m. regarding the issues already briefed, namely (1) whether entry of judgment would premature at this time, and if so, (2) what outstanding issues must be resolved, and on what schedule, before entry of judgment (if any). *See document for further information* (es) (Entered: 04/04/2019)

05/20/2019 737 TRANSCRIPT ORDER as to Defendants Alan H. Auerbach, Puma Biotechnology, Inc. for Court Reporter. Court will contact Karen M. Patterson at [email protected] with further instructions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Murphy, Kristin) (Entered: 05/20/2019)

05/20/2019 738 MINUTES OF HEARING RE: FINAL JUDGMENT held before Judge Andrew J. Guilford: Cause is called for hearing and counsel make their appearances. Court and counsel confer. The Court hears oral argument from the parties. The Court takes the matter under submission. Order to issue. Court Reporter: Miriam Baird. (es) (Entered: 05/22/2019)

05/22/2019 739 MINUTE ORDER [IN CHAMBERS] ORDER REGARDING PROPOSED JUDGMENT by Judge Andrew J. Guilford: The Court STRIKES the Plaintiffs' proposed final judgment as premature. The parties are further ORDERED to file a joint proposed briefing schedule regarding post-verdict, pre-judgment issues by June 7, 2019. Plaintiffs suggested at the May 20, 2019 hearing that they intend to file a brief by this deadline. To clarify, a unilateral brief will not be considered a proper substitute for the joint proposed schedule required by the Court, though it may be filed additionally if the corresponding briefing schedule is reflected in the parties joint proposed schedule. (See document for further details.) (es) (Entered: 05/22/2019)

05/24/2019 740 TRANSCRIPT for proceedings held on 5/20/19. Court Reporter/Electronic Court Recorder: Miriam Baird, 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 6/14/2019. Redacted Transcript Deadline set for 6/24/2019. Release of Transcript Restriction set for 8/22/2019. (Baird, Miriam) (Entered: 05/24/2019)

05/24/2019 741 NOTICE OF FILING TRANSCRIPT filed for proceedings 5/20/19 re Transcript 740 THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (Baird, Miriam) TEXT ONLY ENTRY (Entered: 05/24/2019)


06/07/2019 743 Joint STIPULATION for Hearing re and Briefing Schedule re Post-Verdict, Prejudgment Matters filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order)(Gronborg, Tor) (Entered: 06/07/2019)

06/10/2019 744 *NOTE: CHANGES MADE BY THE COURT* ORDER GRANTING POST-VERDICT, PREJUDGMENT BRIEFING SCHEDULE 743 by Judge Andrew J. Guilford. IT IS HEREBY ORDERED THAT: 1. Plaintiffs' opening briefs regarding post-verdict, prejudgment matters shall be filed no later than June 14, 2019; 2. Defendants' opposition briefs shall be filed no later than July 26, 2019; 3. Plaintiffs' reply briefs shall be filed no later than August 16, 2019; and 4. The hearing on the post-verdict, prejudgment issues shall be set for September 9, 2019 at 10:00 a.m. (es) (Entered: 06/10/2019)

06/14/2019 745 NOTICE OF MOTION AND MOTION for Order for Awarding Prejudgment Interest filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. Motion set for hearing on 9/9/2019 at 10:00 AM before Judge Andrew J. Guilford. (Attachments: # 1 Proposed Order) (Gronborg, Tor) (Entered: 06/14/2019)

06/14/2019 746 MEMORANDUM in Support of NOTICE OF MOTION AND MOTION for Order for Awarding Prejudgment Interest 745 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Gronborg, Tor) (Entered: 06/14/2019)

06/14/2019 747 DECLARATION of Tor Gronborg in support of NOTICE OF MOTION AND MOTION for Order for Awarding Prejudgment Interest 745 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit A Puma Form 8-K, filed November 6, 2017, # 2 Exhibit B Puma Form 8-K, filed May 9, 2018)(Gronborg, Tor) (Entered: 06/14/2019)

06/14/2019 748 NOTICE OF MOTION AND MOTION for Order for Approval of Notice of Verdict and Claims Administration Procedure filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. Motion set for hearing on 9/9/2019 at 10:00 AM before Judge Andrew J. Guilford. (Attachments: # 1 Proposed Order) (Gronborg, Tor) (Entered: 06/14/2019)

06/14/2019 749 MEMORANDUM in Support of NOTICE OF MOTION AND MOTION for Order for Approval of Notice of Verdict and Claims Administration Procedure 748 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit 1 - Notice of Verdict, # 2 Exhibit 2 - Proof of Claim Form)(Gronborg, Tor) (Entered: 06/14/2019)

06/14/2019 750 DECLARATION of of Michael Joaquin in support of NOTICE OF MOTION AND MOTION for Order for Approval of Notice of Verdict and Claims Administration Procedure 748 Regarding Puma Biotechnology Securities Litigation Notice and Claims Process filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Gronborg, Tor) (Entered: 06/14/2019)

06/14/2019 751 DECLARATION of Debashish Bakshi in support of NOTICE OF MOTION AND MOTION for Order for Approval of Notice of Verdict and Claims Administration Procedure 748 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Exhibit A- Order, Jaffe v. Household Int'l, Inc.,, # 2 Exhibit B- Notice, In re Apollo Group, Inc. Sec. Litig., # 3 Exhibit C- Final Pretrial Order, Jaffe v. Household Int'l, Inc.)(Bakshi, Debashish) (Entered: 06/14/2019)

06/14/2019 752 NOTICE OF MOTION AND MOTION to Unseal Document Sealed Document, 489 , Sealed Declaration in SupportDeclaration,,, 582 , Sealed Declaration in SupportDeclaration,, 639 , Sealed Document, 644 , Sealed Document 539 , Sealed Document 540 , Sealed Document,,, 394 , Sealed Document, 542 , Sealed Document, 586 , Sealed Document, 643 , Sealed Document, 393 , Sealed Document, 589 , Sealed Document, 587 , Sealed Document, 485 , Sealed Reply 484 , Sealed Document, 529 , Sealed Declaration in SupportDeclaration, 538 , Sealed Document, 487 , Sealed Document, 530 , Sealed Document, 486 , Sealed Declaration in SupportDeclaration,,, 622 , Sealed Document,,, 441 , Sealed Document, 488 , Sealed Document,,,,,, 443 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. Motion set for hearing on 9/9/2019 at 10:00 AM before Judge Andrew J. Guilford. (Attachments: # 1 Proposed Order) (Gray, Joseph) (Entered: 06/14/2019)

06/14/2019 753 MEMORANDUM in Support of NOTICE OF MOTION AND MOTION to Unseal Document Sealed Document, 489 , Sealed Declaration in SupportDeclaration,,, 582 , Sealed Declaration in SupportDeclaration,, 639 , Sealed Document, 644 , Sealed Document 539 , Sealed Document 540 , Seal 752 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Appendix A - Under Seal Filings Subject to Motion to Unseal)(Gray, Joseph) (Entered: 06/14/2019)

07/26/2019 754 MEMORANDUM in Opposition to NOTICE OF MOTION AND MOTION for Order for Approval of Notice of Verdict and Claims Administration Procedure 748 filed by Defendants Alan H. Auerbach, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit 1)(Johnson, Michele) (Entered: 07/26/2019)

07/26/2019 755 DECLARATION of Kristin N. Murphy in Support of Defendants' Opposition to NOTICE OF MOTION AND MOTION for Order for Approval of Notice of Verdict and Claims Administration Procedure 748 filed by Defendants Alan H. Auerbach, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Murphy, Kristin) (Entered: 07/26/2019)

07/26/2019 756 MEMORANDUM in Opposition to NOTICE OF MOTION AND MOTION to Unseal Document Sealed Document, 489 , Sealed Declaration in SupportDeclaration,,, 582 , Sealed Declaration in SupportDeclaration,, 639 , Sealed Document, 644 , Sealed Document 539 , Sealed Document 540 , Seal 752 filed by Defendants Alan H. Auerbach, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 07/26/2019)

07/26/2019 757 DECLARATION of Kristin N. Murphy in Support of Opposition to NOTICE OF MOTION AND MOTION to Unseal Document Sealed Document, 489 , Sealed Declaration in SupportDeclaration,,, 582 , Sealed Declaration in SupportDeclaration,, 639 , Sealed Document, 644 , Sealed Document 539 , Sealed Document 540 , Seal 752 filed by Defendants Alan H. Auerbach, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Murphy, Kristin) (Entered: 07/26/2019)

07/26/2019 758 MEMORANDUM in Opposition to NOTICE OF MOTION AND MOTION for Order for Awarding Prejudgment Interest 745 filed by Defendants Alan H. Auerbach, Puma Biotechnology, Inc.. (Johnson, Michele) (Entered: 07/26/2019)

07/26/2019 759 DECLARATION of Meryn C.N. Grant, in Support of Opposition to NOTICE OF MOTION AND MOTION for Order for Awarding Prejudgment Interest 745 filed by Defendants Alan H. Auerbach, Puma Biotechnology, Inc.. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit Trial Exhibit 14, # 4 Exhibit Trial Exhibit 22, # 5 Exhibit Trial Exhibit 103, # 6 Exhibit Trial Exhibit 979, # 7 Exhibit Trial Exhibit 995)(Grant, Meryn) (Entered: 07/26/2019)

07/31/2019 760 TRANSCRIPT for proceedings held on 1/15/19 day 1 opening. Court Reporter/Electronic Court Recorder: Miriam Baird, 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 8/21/2019. Redacted Transcript Deadline set for 9/3/2019. Release of Transcript Restriction set for 10/29/2019. (Baird, Miriam) (Entered: 07/31/2019)

07/31/2019 761 TRANSCRIPT for proceedings held on 1/15/19 Day 1. Court Reporter/Electronic Court Recorder: Miriam Baird, 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 8/21/2019. Redacted Transcript Deadline set for 9/3/2019. Release of Transcript Restriction set for 10/29/2019. (Baird, Miriam) (Entered: 07/31/2019)






07/31/2019 767 TRANSCRIPT for proceedings held on 1/25/19 Day 7. Court Reporter/Electronic Court Recorder: M. Baird, 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 8/21/2019. Redacted Transcript Deadline set for 9/3/2019. Release of Transcript Restriction set for 10/29/2019. (Baird, Miriam) (Entered: 07/31/2019)

07/31/2019 768 TRANSCRIPT for proceedings held on 1/28/19 Day 8. Court Reporter/Electronic Court Recorder: M. Baird, 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 8/21/2019. Redacted

Transcript Deadline set for 9/3/2019. Release of Transcript Restriction set for 10/29/2019. (Baird, Miriam) (Entered: 07/31/2019)




07/31/2019 772 TRANSCRIPT for proceedings held on 2/4/19 Verdict. Court Reporter/Electronic Court Recorder: M.Baird, 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 8/21/2019. Redacted Transcript Deadline set for 9/3/2019. Release of Transcript Restriction set for 10/29/2019. (Baird, Miriam) (Entered: 07/31/2019)

07/31/2019 773 NOTICE OF FILING TRANSCRIPT filed for proceedings 1/15/19; 1/16/19; 1/17/19; 1/22/19; 1/23/19; 1/24/19; /1/25/19; 1/28/19; 1/29/19; 1/30/19; 2/1/19; 2/4/19 re Transcript 761 , 772 , 762 , 769 , 766 , 764 , 770 , 767 , 765 , 768 , 771 , 760 THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (Baird, Miriam) TEXT ONLY ENTRY (Entered: 07/31/2019)

08/16/2019 774 REPLY in Further Support of NOTICE OF MOTION AND MOTION to Unseal Document Sealed Document, 489 , Sealed Declaration in SupportDeclaration,,, 582 , Sealed Declaration in SupportDeclaration,, 639 , Sealed Document, 644 , Sealed Document 539 , Sealed Document 540 , Seal 752 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Gray, Joseph) (Entered: 08/16/2019)

08/16/2019 775 REPLY in Further Support of NOTICE OF MOTION AND MOTION for Order for Awarding Prejudgment Interest 745 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Declaration of Ting H. Liu in support thereof, # 2 Exhibit A - Relevant pages from Puma Biotechnology, Inc.s 2014 Annual Report filed, March 2, 2015, # 3 Exhibit Relevant pages from Puma Biotechnology, Inc.s 2015 Annual Report, filed February 29, 2016, # 4 Exhibit C - Article by Jenna Greene, published by The AmLaw Litigation Daily, March 19, 2019)(Gronborg, Tor) (Entered: 08/16/2019)

08/16/2019 776 REPLY in Further Support of NOTICE OF MOTION AND MOTION for Order for Approval of Notice of Verdict and Claims Administration Procedure 748 filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Gronborg, Tor) (Entered: 08/16/2019)

09/09/2019 777 MINUTES OF Hearing re: Post-Verdict and Pre-Judgment Issues, Plaintiff's Motion for Order Awarding Prejudgment Interest 745 , Plaintiff's Motion for Order for Approval of Notice of Verdict and Claims Administration Procedure 748 , and Plaintiff's Motion to Unseal Document 752 held before Judge Andrew J. Guilford: Motion hearings held. The Court hears oral argument from the parties. The Court takes the Motions under submission. Order to issue. Court Reporter: Miriam Baird. Attorneys for Plaintiff: Tor Gronberg, Trig Smith, Marco Janoski; Attorneys for Defendant: Michele Johnson, Kristin Murphy, Andrew Clubock. Courtroom Deputy: Melissa Kunig; Time in Court: 0:28. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. TEXT ONLY ENTRY. (mku) (Entered: 09/09/2019)

09/09/2019 778 ORDER REGARDING PLAINTIFFS MOTIONS FOR PREJUDGMENT INTEREST, APPROVAL OF NOTICE OF VERDICT AND CLAIMS ADMINISTRATION PROCEDURE, AND UNSEALING DOCUMENTS (DKT.NOS. 745, 748, 752) by Judge Andrew J. Guilford: GRANTING, 745 MOTION for Order for Awarding Prejudgment Interest and 748 MOTION for Order for Approval of Notice of Verdict and Claims Administration Procedure and DENIES 752 MOTION to Unseal Document Sealed Document. See order for details. (shb) (Entered: 09/10/2019)

09/18/2019 779 Joint STIPULATION for Order to Unseal Summary Judgment and in Limine Materials filed by Plaintiff Norfolk County Council, as Administering Authority of the Norfolk Pension Fund. (Attachments: # 1 Proposed Order)(Gray, Joseph) (Entered: 09/18/2019)

09/20/2019 780 TRANSCRIPT ORDER as to Defendants Alan H. Auerbach, Puma Biotechnology, Inc. for Court Reporter. Court will contact Karen Patterson at [email protected] with further instructions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Murphy, Kristin) (Entered: 09/20/2019)

09/20/2019 781 *NOTE: CHANGES MADE BY THE COURT* ORDER GRANTING JOINT STIPULATION REGARDING THE UNSEALING OF SUMMARY JUDGMENT AND IN LIMINE MATERIALS 779 by Judge Andrew J. Guilford. The HEREBY ORDERS the following documents to be unsealed and made available on the public docket: SEE DOCUMENT FOR DETAILS. (es) (Entered: 09/20/2019)


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