Bank of New York Mellon Corp. Foreign Exchange Transactions Litigation 11-CV-09175-US

US District Court Civil Docket as of February 10, 2017 Retrieved from the court on February 10, 2017

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

CIVIL DOCKET FOR CASE #: 1:11-cv-09175-LAK

Louisiana Municipal Police Employees' Retirement System v. The Bank of New York Mellon Corporation et al Assigned to: Judge Lewis A. Kaplan Lead case: 1:12-md-02335-LAK-JLC Member case: (View Member Case) Related Cases: 1:11-cv-06969-LAK

1:12-md-02335-LAK-JLC

Cause: 15:77 Securities Fraud

Date Filed: 12/14/2011 Date Terminated: 10/20/2015 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question

Lead Plaintiff State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re

represented by Abraham Alexander Bernstein Litowitz Berger & Grossmann LLP 1285 Avenue of the Americas 38th Floor New York, NY 10019 (212) 554-1346 Fax: (212) 554-1444 Email: [email protected] ATTORNEY TO BE NOTICED Gerald H. Silk Bernstein Litowitz Berger & Grossmann LLP 1285 Avenue of the Americas 38th Floor New York, NY 10019 212 554 1282 Fax: 212-554-1444 Email: [email protected] ATTORNEY TO BE NOTICED John Christopher Browne Bernstein Litowitz Berger & Grossmann LLP 1285 Avenue of the Americas 38th Floor New York, NY 10019 212-554-1398

Fax: 212-554-1444 Email: [email protected] ATTORNEY TO BE NOTICED Keith A. Ketterling Stoll, Stoll, Berne, Lokting & Shlachter, P.C. 209 Southwest Oak Street, Suite 500 Portland, OR 97204 (503)-227-1600 Fax: (503)-227-6840 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Laura Helen Posner Bernstein Litowitz Berger & Grossmann LLP 1285 Avenue of the Americas 38th Floor New York, NY 10019 (212)554-1463 Fax: (212)554-1444 Email: [email protected] TERMINATED: 04/28/2014 Scott A. Shorr Stoll Stoll Berne Lokting & Shlachter P.C. 209 SW Oak Street, Suite 500 Portland, OR 97204 (503) 227-1600 Fax: (503) 227-6840 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Sean K. O'Dowd Bernstein Litowitz Berger & Grossmann LLP 1285 Avenue of the Americas 38th Floor New York, NY 10019 (212) 554-1400 Fax: (212) 554-1444 Email: [email protected] TERMINATED: 02/22/2013 Steven B. Singer Bernstein Litowitz Berger & Grossmann

LLP 1251 Avenue of the Americas New York, NY 10020 (212) 554-1413 Fax: (212)554-1444 Email: [email protected] TERMINATED: 04/28/2014 William Curtis Fredericks Bernstein Litowitz Berger & Grossmann LLP 1251 Avenue of the Americas New York, NY 10020 (212)554-1400 Fax: (212)554-1444 Email: [email protected] TERMINATED: 05/08/2013

Plaintiff Louisiana Municipal Police Employees' Retirement System Individually and on behalf of all others similarly situated

represented by Gerald H. Silk (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Avi Josefson Bernstein Litowitz Berger & Grossmann LLP 1285 Avenue of the Americas 38th Floor New York, NY 10019 (212)-554-1493 Fax: (212)-554-1444 Email: [email protected] ATTORNEY TO BE NOTICED Michael Dains Blatchley Bernstein Litowitz Berger & Grossmann LLP 1285 Avenue of the Americas 38th Floor New York, NY 10019 (212)-554-1400 Fax: (212)-554-1444 Email: [email protected] ATTORNEY TO BE NOTICED

V.

Movant

Miami Firefighters' Relief and Pension Fund

represented by Marian Rosner Wolf Popper LLP 845 Third Avenue New York, NY 10022 212 451 9608 Fax: 212 4862093 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Movant Ironworkers Locals 40, 361 & 417 - Union Security Funds

represented by Jeremy Alan Lieberman Pomerantz LLP 600 Third Avenue, 20th Floor New York, NY 10016 (212)-661-1100 Fax: (212)-661-8665 Email: [email protected] ATTORNEY TO BE NOTICED

Movant DeKalb County Pension Fund represented by James Milligan Wilson , Jr.

Faruqi & Faruqi, LLP 685 Third Avenue 26th Floor New York, NY 10017 212-983-9330 Fax: 212-983-9331 Email: [email protected] ATTORNEY TO BE NOTICED Robert W. Killorin Chitwood Harley Harnes LLP 1230 Peachtree Street, Ne, Promenade Ii, Suite 2300 Atlanta, GA 30309 (404)-873-3900 Fax: (404)-876-4476 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

Movant Union Asset Management Holding AG represented by David Avi Rosenfeld

Robbins Geller Rudman & Dowd LLP(LI) 58 South Service Road Suite 200 Melville, NY 11747 631-367-7100

Fax: 631-367-1173 Email: [email protected] ATTORNEY TO BE NOTICED Samuel Howard Rudman Robbins Geller Rudman & Dowd LLP(LI) 58 South Service Road Suite 200 Melville, NY 11747 (631) 367-7100 Fax: (631) 367-1173 Email: [email protected] ATTORNEY TO BE NOTICED Vincent Ian Parrett Motley Rice LLC (SC) 28 Bridgeside Boulevard P.O. Box 1792 Mount Pleasant, SC 29464 (843) 216-9214 Fax: (843) 216-9440 Email: [email protected] ATTORNEY TO BE NOTICED

Movant Pension Trust Fund For Operating Engineers

represented by David Avi Rosenfeld (See above for address) ATTORNEY TO BE NOTICED Samuel Howard Rudman (See above for address) ATTORNEY TO BE NOTICED Vincent Ian Parrett (See above for address) ATTORNEY TO BE NOTICED

Movant Danske Invest Management A/S represented by Gerald H. Silk

(See above for address) ATTORNEY TO BE NOTICED

V.

Defendant The Bank of New York Mellon Corporation

represented by Reid Mason Figel Kellogg, Huber, Hansen, Todd, Evans & Figel, P.L.L.C.

Sumner Square 1615 M Street, NW Suite 400 Washington, DC 20036 202-326-7900 Fax: 202-326-7999 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Edward Goldsmith Kellogg, Hansen, Todd, Figel & Frederick PLLC (DC) 1615 M Street, N.W., Suite 400 Washington, DC 20036 (202) 326-7945 Fax: (202) 326-7999 Email: [email protected] ATTORNEY TO BE NOTICED Andrew M. Hetherington Kellogg, Hansen, Todd, Figel & Frederick PLLC (DC) 1615 M Street, N.W., Suite 400 Washington, DC 20036 (202) 326 7900 Fax: (202) 326 7999 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Chun-Yang Shen Kellogg, Hansen, Todd, Figel & Frederick PLLC (DC) 1615 M Street, N.W., Suite 400 Washington, DC 20036 202-326-7900 Fax: 202-326-7999 Email: [email protected] ATTORNEY TO BE NOTICED Anna Mayergoyz Weinberg Kellogg, Huber, Hansen, Todd, Evans & Figel PLLC 1615 M Street Nw, Suite 400 Washington, DC 20036 (202)-809-4323 Fax: 202-326-7999

Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Caitlin Sinclair Hall Kellogg, Huber,Hansen,Todd, Evans & Figel, P.L.L.C 1615 M Street, N.W. Suite 400 Washington, DC 20036 (202)-326-7957 Fax: (202)-326-7999 Email: [email protected] (Inactive) ATTORNEY TO BE NOTICED David Lawrence Schwarz Kellogg, Huber, Hansen, Todd, Evans & Figel P.L.L.C. 1615 M. Street, N.W. Suite 400 Washington, DC 20036 202-326-7900 Fax: 202-326-7999 Email: [email protected] ATTORNEY TO BE NOTICED Derek Tam Ho Kellogg, Hansen, Todd, Figel & Frederick PLLC (DC) 1615 M Street, N.W., Suite 400 Washington, DC 20036 (202)-326-7931 Fax: (202)-326-7999 Email: [email protected] ATTORNEY TO BE NOTICED Geoffrey Stuart Brounell Kellogg, Huber, Hansen, Todd, Evans & Figel, PLLC (DC) 1615 M Street, N.W., Suite 400 Washington, DC 20036 (202)-3236-7900 Fax: (202)-326-7999 Email: [email protected] TERMINATED: 07/29/2014 Geoffrey Morris Klineberg Kellogg, Huber, Hansen, Todd, Evans & Figel 1615 M St Nw, Suite 400 Washington, DC 20036

(202)-326-7928 Fax: (202)-326-7999 Email: [email protected] ATTORNEY TO BE NOTICED Ian Craig Richardson Kellogg, Hansen, Todd, Figel & Frederick PLLC (DC) 1615 M Street, N.W., Suite 400 Washington, DC 20036 (202) 326-7975 Fax: (202) 326-7999 Email: [email protected] TERMINATED: 02/13/2015 Jessica Caroline Collins Kellogg, Hansen, Todd, Figel & Frederick PLLC (DC) 1615 M Street, N.W., Suite 400 Washington, DC 20036 (202)-326-7900 Fax: (202)-326-7999 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Joseph Solomon Hall Kellogg, Hansen, Todd, Figel & Frederick PLLC (DC) 1615 M Street, N.W., Suite 400 Washington, DC 20036 202 326 7983 Fax: 202 326 7999 Email: [email protected] ATTORNEY TO BE NOTICED Kenneth M Fetterman Kellogg, Hansen, Todd, Figel & Frederick PLLC (DC) 1615 M Street, N.W., Suite 400 Washington, DC 20036 (202)-326-7988 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Kevin J Miller Kellogg, Hansen, Todd, Figel & Frederick PLLC (DC) 1615 M Street, N.W., Suite 400

Washington, DC 20036 202-326-7900 Fax: 202-326-7999 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Michael J. Fischer Kellogg, Huber, Hansen, Todd, Evans & Figel., P.L.L.C. 1615 M Street, NW, Suite 400 Washington, DC 20036 202-326-7976 Fax: 202-326-7999 Email: [email protected] TERMINATED: 04/28/2014 Michael N. Nemelka Kellogg, Hansen, Todd, Figel & Frederick PLLC (DC) 1615 M Street, N.W., Suite 400 Washington, DC 20036 (202) 326-7932 Fax: (202) 326-7999 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Thomas Wooten Traxler , Jr. Kellogg, Hansen, Todd, Figel & Frederick PLLC (DC) 1615 M Street, N.W., Suite 400 Washington, DC 20036 (202) 326-7982 Fax: (202) 326-7999 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Whitney Corinne Cloud Kellogg, Hansen, Todd, Figel & Frederick PLLC (DC) 1615 M Street, N.W., Suite 400 Washington, DC 20036 (202)-326-7981 Fax: (202)-326-7999 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

William J Rinner Kellogg, Hansen, Todd, Figel & Frederick PLLC (DC) 1615 M Street, N.W., Suite 400 Washington, DC 20036 (202)-326-7946 Fax: (202)-326-7999 Email: [email protected] TERMINATED: 07/29/2014 PRO HAC VICE

Defendant Robert P. Kelly represented by Reid Mason Figel

(See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Edward Goldsmith (See above for address) ATTORNEY TO BE NOTICED Andrew M. Hetherington (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Chun-Yang Shen (See above for address) ATTORNEY TO BE NOTICED Anna Mayergoyz Weinberg (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Caitlin Sinclair Hall (See above for address) ATTORNEY TO BE NOTICED Derek Tam Ho (See above for address) ATTORNEY TO BE NOTICED Geoffrey Stuart Brounell (See above for address) TERMINATED: 07/29/2014 Geoffrey Morris Klineberg (See above for address)

ATTORNEY TO BE NOTICED Ian Craig Richardson (See above for address) TERMINATED: 02/13/2015 Jessica Caroline Collins (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Joseph Solomon Hall (See above for address) ATTORNEY TO BE NOTICED Kenneth M Fetterman (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Kevin J Miller (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Michael J. Fischer (See above for address) TERMINATED: 04/28/2014 Michael N. Nemelka (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Thomas Wooten Traxler , Jr. (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Whitney Corinne Cloud (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED William J Rinner (See above for address) TERMINATED: 07/29/2014 PRO HAC VICE

Defendant

Bruce W. Van Saun represented by Reid Mason Figel (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Edward Goldsmith (See above for address) ATTORNEY TO BE NOTICED Andrew M. Hetherington (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Chun-Yang Shen (See above for address) ATTORNEY TO BE NOTICED Anna Mayergoyz Weinberg (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Caitlin Sinclair Hall (See above for address) ATTORNEY TO BE NOTICED Derek Tam Ho (See above for address) ATTORNEY TO BE NOTICED Geoffrey Stuart Brounell (See above for address) TERMINATED: 07/29/2014 Geoffrey Morris Klineberg (See above for address) ATTORNEY TO BE NOTICED Ian Craig Richardson (See above for address) TERMINATED: 02/13/2015 Jessica Caroline Collins (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Joseph Solomon Hall

(See above for address) ATTORNEY TO BE NOTICED Kenneth M Fetterman (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Kevin J Miller (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Michael J. Fischer (See above for address) TERMINATED: 04/28/2014 ATTORNEY TO BE NOTICED Michael N. Nemelka (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Thomas Wooten Traxler , Jr. (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Whitney Corinne Cloud (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED William J Rinner (See above for address) TERMINATED: 07/29/2014 PRO HAC VICE

Defendant Thomas P. Gibbons represented by Reid Mason Figel

(See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Edward Goldsmith (See above for address) ATTORNEY TO BE NOTICED Andrew M. Hetherington

(See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Chun-Yang Shen (See above for address) ATTORNEY TO BE NOTICED Anna Mayergoyz Weinberg (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Caitlin Sinclair Hall (See above for address) ATTORNEY TO BE NOTICED Derek Tam Ho (See above for address) ATTORNEY TO BE NOTICED Geoffrey Stuart Brounell (See above for address) TERMINATED: 07/29/2014 Geoffrey Morris Klineberg (See above for address) ATTORNEY TO BE NOTICED Ian Craig Richardson (See above for address) TERMINATED: 02/13/2015 Jessica Caroline Collins (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Joseph Solomon Hall (See above for address) ATTORNEY TO BE NOTICED Kenneth M Fetterman (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Kevin J Miller (See above for address) PRO HAC VICE

ATTORNEY TO BE NOTICED Michael J. Fischer (See above for address) TERMINATED: 04/28/2014 Michael N. Nemelka (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Thomas Wooten Traxler , Jr. (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Whitney Corinne Cloud (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED William J Rinner (See above for address) TERMINATED: 07/29/2014 PRO HAC VICE

Defendant Michael K. Hughey represented by Reid Mason Figel

(See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Edward Goldsmith (See above for address) ATTORNEY TO BE NOTICED Andrew M. Hetherington (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Chun-Yang Shen (See above for address) ATTORNEY TO BE NOTICED Anna Mayergoyz Weinberg (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Caitlin Sinclair Hall (See above for address) ATTORNEY TO BE NOTICED Derek Tam Ho (See above for address) ATTORNEY TO BE NOTICED Geoffrey Stuart Brounell (See above for address) TERMINATED: 07/29/2014 Geoffrey Morris Klineberg (See above for address) ATTORNEY TO BE NOTICED Ian Craig Richardson (See above for address) TERMINATED: 02/13/2015 Jessica Caroline Collins (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Joseph Solomon Hall (See above for address) ATTORNEY TO BE NOTICED Kenneth M Fetterman (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Kevin J Miller (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Michael J. Fischer (See above for address) TERMINATED: 04/28/2014 Michael N. Nemelka (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Thomas Wooten Traxler , Jr.

(See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Whitney Corinne Cloud (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED William J Rinner (See above for address) TERMINATED: 07/29/2014 PRO HAC VICE

Defendant John A. Park represented by Reid Mason Figel

(See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Edward Goldsmith (See above for address) ATTORNEY TO BE NOTICED Andrew M. Hetherington (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Chun-Yang Shen (See above for address) ATTORNEY TO BE NOTICED Anna Mayergoyz Weinberg (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Caitlin Sinclair Hall (See above for address) ATTORNEY TO BE NOTICED Derek Tam Ho (See above for address) ATTORNEY TO BE NOTICED Geoffrey Stuart Brounell (See above for address) TERMINATED: 07/29/2014

Geoffrey Morris Klineberg (See above for address) ATTORNEY TO BE NOTICED Ian Craig Richardson (See above for address) TERMINATED: 02/13/2015 Jessica Caroline Collins (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Joseph Solomon Hall (See above for address) ATTORNEY TO BE NOTICED Kenneth M Fetterman (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Kevin J Miller (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Michael J. Fischer (See above for address) TERMINATED: 04/28/2014 Michael N. Nemelka (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Thomas Wooten Traxler , Jr. (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Whitney Corinne Cloud (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED William J Rinner (See above for address)

TERMINATED: 07/29/2014 PRO HAC VICE

Defendant Ruth E. Bruch represented by Reid Mason Figel

(See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Edward Goldsmith (See above for address) ATTORNEY TO BE NOTICED Andrew M. Hetherington (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Chun-Yang Shen (See above for address) ATTORNEY TO BE NOTICED Anna Mayergoyz Weinberg (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Caitlin Sinclair Hall (See above for address) ATTORNEY TO BE NOTICED Derek Tam Ho (See above for address) ATTORNEY TO BE NOTICED Geoffrey Stuart Brounell (See above for address) TERMINATED: 07/29/2014 Geoffrey Morris Klineberg (See above for address) ATTORNEY TO BE NOTICED Ian Craig Richardson (See above for address) TERMINATED: 02/13/2015 Jessica Caroline Collins (See above for address)

PRO HAC VICE ATTORNEY TO BE NOTICED Joseph Solomon Hall (See above for address) ATTORNEY TO BE NOTICED Kenneth M Fetterman (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Kevin J Miller (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Michael J. Fischer (See above for address) TERMINATED: 04/28/2014 Michael N. Nemelka (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Thomas Wooten Traxler , Jr. (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Whitney Corinne Cloud (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED William J Rinner (See above for address) TERMINATED: 07/29/2014 PRO HAC VICE

Defendant Nicholas M. Donofrio represented by Reid Mason Figel

(See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Edward Goldsmith (See above for address)

ATTORNEY TO BE NOTICED Andrew M. Hetherington (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Chun-Yang Shen (See above for address) ATTORNEY TO BE NOTICED Anna Mayergoyz Weinberg (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Caitlin Sinclair Hall (See above for address) ATTORNEY TO BE NOTICED Derek Tam Ho (See above for address) ATTORNEY TO BE NOTICED Geoffrey Stuart Brounell (See above for address) TERMINATED: 07/29/2014 Geoffrey Morris Klineberg (See above for address) ATTORNEY TO BE NOTICED Ian Craig Richardson (See above for address) TERMINATED: 02/13/2015 Jessica Caroline Collins (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Joseph Solomon Hall (See above for address) ATTORNEY TO BE NOTICED Kenneth M Fetterman (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Kevin J Miller (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Michael J. Fischer (See above for address) TERMINATED: 04/28/2014 Michael N. Nemelka (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Thomas Wooten Traxler , Jr. (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Whitney Corinne Cloud (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED William J Rinner (See above for address) TERMINATED: 07/29/2014 PRO HAC VICE

Defendant Steven G. Elliott represented by Reid Mason Figel

(See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Edward Goldsmith (See above for address) ATTORNEY TO BE NOTICED Andrew M. Hetherington (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Chun-Yang Shen (See above for address) ATTORNEY TO BE NOTICED Anna Mayergoyz Weinberg

(See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Caitlin Sinclair Hall (See above for address) ATTORNEY TO BE NOTICED Derek Tam Ho (See above for address) ATTORNEY TO BE NOTICED Geoffrey Stuart Brounell (See above for address) TERMINATED: 07/29/2014 Geoffrey Morris Klineberg (See above for address) ATTORNEY TO BE NOTICED Ian Craig Richardson (See above for address) TERMINATED: 02/13/2015 Jessica Caroline Collins (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Joseph Solomon Hall (See above for address) ATTORNEY TO BE NOTICED Kenneth M Fetterman (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Kevin J Miller (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Michael J. Fischer (See above for address) TERMINATED: 04/28/2014 Michael N. Nemelka (See above for address) PRO HAC VICE

ATTORNEY TO BE NOTICED Thomas Wooten Traxler , Jr. (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Whitney Corinne Cloud (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED William J Rinner (See above for address) TERMINATED: 07/29/2014 PRO HAC VICE

Defendant Gerald L. Hassell represented by Reid Mason Figel

(See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Edward Goldsmith (See above for address) ATTORNEY TO BE NOTICED Andrew M. Hetherington (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Chun-Yang Shen (See above for address) ATTORNEY TO BE NOTICED Anna Mayergoyz Weinberg (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Caitlin Sinclair Hall (See above for address) ATTORNEY TO BE NOTICED Derek Tam Ho (See above for address) ATTORNEY TO BE NOTICED

Geoffrey Stuart Brounell (See above for address) TERMINATED: 07/29/2014 Geoffrey Morris Klineberg (See above for address) ATTORNEY TO BE NOTICED Ian Craig Richardson (See above for address) TERMINATED: 02/13/2015 Jessica Caroline Collins (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Joseph Solomon Hall (See above for address) ATTORNEY TO BE NOTICED Kenneth M Fetterman (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Kevin J Miller (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Michael J. Fischer (See above for address) TERMINATED: 04/28/2014 Michael N. Nemelka (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Thomas Wooten Traxler , Jr. (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Whitney Corinne Cloud (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

William J Rinner (See above for address) TERMINATED: 07/29/2014 PRO HAC VICE

Defendant Edmund F. Kelly represented by Reid Mason Figel

(See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Edward Goldsmith (See above for address) ATTORNEY TO BE NOTICED Andrew M. Hetherington (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Chun-Yang Shen (See above for address) ATTORNEY TO BE NOTICED Anna Mayergoyz Weinberg (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Caitlin Sinclair Hall (See above for address) ATTORNEY TO BE NOTICED Derek Tam Ho (See above for address) ATTORNEY TO BE NOTICED Geoffrey Stuart Brounell (See above for address) TERMINATED: 07/29/2014 Geoffrey Morris Klineberg (See above for address) ATTORNEY TO BE NOTICED Ian Craig Richardson (See above for address) TERMINATED: 02/13/2015

Jessica Caroline Collins (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Joseph Solomon Hall (See above for address) ATTORNEY TO BE NOTICED Kenneth M Fetterman (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Kevin J Miller (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Michael J. Fischer (See above for address) TERMINATED: 04/28/2014 Michael N. Nemelka (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Thomas Wooten Traxler , Jr. (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Whitney Corinne Cloud (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED William J Rinner (See above for address) TERMINATED: 07/29/2014 PRO HAC VICE

Defendant Richard J. Kogan represented by Reid Mason Figel

(See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Andrew Edward Goldsmith (See above for address) ATTORNEY TO BE NOTICED Andrew M. Hetherington (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Chun-Yang Shen (See above for address) ATTORNEY TO BE NOTICED Anna Mayergoyz Weinberg (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Caitlin Sinclair Hall (See above for address) ATTORNEY TO BE NOTICED Derek Tam Ho (See above for address) ATTORNEY TO BE NOTICED Geoffrey Stuart Brounell (See above for address) TERMINATED: 07/29/2014 Geoffrey Morris Klineberg (See above for address) ATTORNEY TO BE NOTICED Ian Craig Richardson (See above for address) TERMINATED: 02/13/2015 Jessica Caroline Collins (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Joseph Solomon Hall (See above for address) ATTORNEY TO BE NOTICED Kenneth M Fetterman (See above for address) PRO HAC VICE

ATTORNEY TO BE NOTICED Kevin J Miller (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Michael J. Fischer (See above for address) TERMINATED: 04/28/2014 Michael N. Nemelka (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Thomas Wooten Traxler , Jr. (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Whitney Corinne Cloud (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED William J Rinner (See above for address) TERMINATED: 07/29/2014 PRO HAC VICE

Defendant Michael J. Kowalski represented by Reid Mason Figel

(See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Edward Goldsmith (See above for address) ATTORNEY TO BE NOTICED Andrew M. Hetherington (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Chun-Yang Shen (See above for address) ATTORNEY TO BE NOTICED

Anna Mayergoyz Weinberg (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Caitlin Sinclair Hall (See above for address) ATTORNEY TO BE NOTICED Derek Tam Ho (See above for address) ATTORNEY TO BE NOTICED Geoffrey Stuart Brounell (See above for address) TERMINATED: 07/29/2014 Geoffrey Morris Klineberg (See above for address) ATTORNEY TO BE NOTICED Ian Craig Richardson (See above for address) TERMINATED: 02/13/2015 Jessica Caroline Collins (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Joseph Solomon Hall (See above for address) ATTORNEY TO BE NOTICED Kenneth M Fetterman (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Kevin J Miller (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Michael J. Fischer (See above for address) TERMINATED: 04/28/2014 Michael N. Nemelka

(See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Thomas Wooten Traxler , Jr. (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Whitney Corinne Cloud (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED William J Rinner (See above for address) TERMINATED: 07/29/2014 PRO HAC VICE

Defendant John A. Luke, Jr. represented by Reid Mason Figel

(See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Edward Goldsmith (See above for address) ATTORNEY TO BE NOTICED Andrew M. Hetherington (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Chun-Yang Shen (See above for address) ATTORNEY TO BE NOTICED Anna Mayergoyz Weinberg (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Caitlin Sinclair Hall (See above for address) ATTORNEY TO BE NOTICED Derek Tam Ho (See above for address)

ATTORNEY TO BE NOTICED Geoffrey Stuart Brounell (See above for address) TERMINATED: 07/29/2014 Geoffrey Morris Klineberg (See above for address) ATTORNEY TO BE NOTICED Ian Craig Richardson (See above for address) TERMINATED: 02/13/2015 Jessica Caroline Collins (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Joseph Solomon Hall (See above for address) ATTORNEY TO BE NOTICED Kenneth M Fetterman (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Kevin J Miller (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Michael J. Fischer (See above for address) TERMINATED: 04/28/2014 Michael N. Nemelka (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Thomas Wooten Traxler , Jr. (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Whitney Corinne Cloud (See above for address) PRO HAC VICE

ATTORNEY TO BE NOTICED William J Rinner (See above for address) TERMINATED: 07/29/2014 PRO HAC VICE

Defendant Robert Mehrabian represented by Reid Mason Figel

(See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Edward Goldsmith (See above for address) ATTORNEY TO BE NOTICED Andrew M. Hetherington (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Chun-Yang Shen (See above for address) ATTORNEY TO BE NOTICED Anna Mayergoyz Weinberg (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Caitlin Sinclair Hall (See above for address) ATTORNEY TO BE NOTICED Derek Tam Ho (See above for address) ATTORNEY TO BE NOTICED Geoffrey Stuart Brounell (See above for address) TERMINATED: 07/29/2014 Geoffrey Morris Klineberg (See above for address) ATTORNEY TO BE NOTICED Ian Craig Richardson (See above for address)

TERMINATED: 02/13/2015 Jessica Caroline Collins (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Joseph Solomon Hall (See above for address) ATTORNEY TO BE NOTICED Kenneth M Fetterman (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Kevin J Miller (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Michael J. Fischer (See above for address) TERMINATED: 04/28/2014 Michael N. Nemelka (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Thomas Wooten Traxler , Jr. (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Whitney Corinne Cloud (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED William J Rinner (See above for address) TERMINATED: 07/29/2014 PRO HAC VICE

Defendant Mark A. Nordenberg represented by Reid Mason Figel

(See above for address) LEAD ATTORNEY PRO HAC VICE

ATTORNEY TO BE NOTICED Andrew Edward Goldsmith (See above for address) ATTORNEY TO BE NOTICED Andrew M. Hetherington (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Chun-Yang Shen (See above for address) ATTORNEY TO BE NOTICED Anna Mayergoyz Weinberg (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Caitlin Sinclair Hall (See above for address) ATTORNEY TO BE NOTICED Derek Tam Ho (See above for address) ATTORNEY TO BE NOTICED Geoffrey Stuart Brounell (See above for address) TERMINATED: 07/29/2014 Geoffrey Morris Klineberg (See above for address) ATTORNEY TO BE NOTICED Ian Craig Richardson (See above for address) TERMINATED: 02/13/2015 Jessica Caroline Collins (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Joseph Solomon Hall (See above for address) ATTORNEY TO BE NOTICED Kenneth M Fetterman

(See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Kevin J Miller (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Michael J. Fischer (See above for address) TERMINATED: 04/28/2014 Michael N. Nemelka (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Thomas Wooten Traxler , Jr. (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Whitney Corinne Cloud (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED William J Rinner (See above for address) TERMINATED: 07/29/2014 PRO HAC VICE

Defendant Catherine A. Rein represented by Reid Mason Figel

(See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Edward Goldsmith (See above for address) ATTORNEY TO BE NOTICED Andrew M. Hetherington (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Chun-Yang Shen

(See above for address) ATTORNEY TO BE NOTICED Anna Mayergoyz Weinberg (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Caitlin Sinclair Hall (See above for address) ATTORNEY TO BE NOTICED Derek Tam Ho (See above for address) ATTORNEY TO BE NOTICED Geoffrey Stuart Brounell (See above for address) TERMINATED: 07/29/2014 Geoffrey Morris Klineberg (See above for address) ATTORNEY TO BE NOTICED Ian Craig Richardson (See above for address) TERMINATED: 02/13/2015 Jessica Caroline Collins (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Joseph Solomon Hall (See above for address) ATTORNEY TO BE NOTICED Kenneth M Fetterman (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Kevin J Miller (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Michael J. Fischer (See above for address) TERMINATED: 04/28/2014

Michael N. Nemelka (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Thomas Wooten Traxler , Jr. (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Whitney Corinne Cloud (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED William J Rinner (See above for address) TERMINATED: 07/29/2014 PRO HAC VICE

Defendant William C. Richardson represented by Reid Mason Figel

(See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Edward Goldsmith (See above for address) ATTORNEY TO BE NOTICED Andrew M. Hetherington (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Chun-Yang Shen (See above for address) ATTORNEY TO BE NOTICED Anna Mayergoyz Weinberg (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Caitlin Sinclair Hall (See above for address) ATTORNEY TO BE NOTICED

Derek Tam Ho (See above for address) ATTORNEY TO BE NOTICED Geoffrey Stuart Brounell (See above for address) TERMINATED: 07/29/2014 Geoffrey Morris Klineberg (See above for address) ATTORNEY TO BE NOTICED Ian Craig Richardson (See above for address) TERMINATED: 02/13/2015 Jessica Caroline Collins (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Joseph Solomon Hall (See above for address) ATTORNEY TO BE NOTICED Kenneth M Fetterman (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Kevin J Miller (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Michael J. Fischer (See above for address) TERMINATED: 03/31/2014 Michael N. Nemelka (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Thomas Wooten Traxler , Jr. (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Whitney Corinne Cloud

(See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED William J Rinner (See above for address) TERMINATED: 07/29/2014 PRO HAC VICE

Defendant Samuel C. Scott, III represented by Reid Mason Figel

(See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Edward Goldsmith (See above for address) ATTORNEY TO BE NOTICED Andrew M. Hetherington (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Chun-Yang Shen (See above for address) ATTORNEY TO BE NOTICED Anna Mayergoyz Weinberg (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Caitlin Sinclair Hall (See above for address) ATTORNEY TO BE NOTICED Derek Tam Ho (See above for address) ATTORNEY TO BE NOTICED Geoffrey Stuart Brounell (See above for address) TERMINATED: 07/29/2014 Geoffrey Morris Klineberg (See above for address) ATTORNEY TO BE NOTICED

Ian Craig Richardson (See above for address) TERMINATED: 02/13/2015 Jessica Caroline Collins (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Joseph Solomon Hall (See above for address) ATTORNEY TO BE NOTICED Kenneth M Fetterman (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Kevin J Miller (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Michael J. Fischer (See above for address) TERMINATED: 03/31/2014 Michael N. Nemelka (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Thomas Wooten Traxler , Jr. (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Whitney Corinne Cloud (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED William J Rinner (See above for address) TERMINATED: 07/29/2014 PRO HAC VICE

Defendant John P. Surma represented by Reid Mason Figel

(See above for address)

LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Edward Goldsmith (See above for address) ATTORNEY TO BE NOTICED Andrew M. Hetherington (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Chun-Yang Shen (See above for address) ATTORNEY TO BE NOTICED Anna Mayergoyz Weinberg (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Caitlin Sinclair Hall (See above for address) ATTORNEY TO BE NOTICED Derek Tam Ho (See above for address) ATTORNEY TO BE NOTICED Geoffrey Stuart Brounell (See above for address) TERMINATED: 07/29/2014 Geoffrey Morris Klineberg (See above for address) ATTORNEY TO BE NOTICED Ian Craig Richardson (See above for address) TERMINATED: 02/13/2015 Jessica Caroline Collins (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Joseph Solomon Hall (See above for address) ATTORNEY TO BE NOTICED

Kenneth M Fetterman (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Kevin J Miller (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Michael J. Fischer (See above for address) TERMINATED: 03/31/2014 Michael N. Nemelka (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Thomas Wooten Traxler , Jr. (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Whitney Corinne Cloud (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED William J Rinner (See above for address) TERMINATED: 07/29/2014 PRO HAC VICE

Defendant Wesley W. Von Schack represented by Reid Mason Figel

(See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Edward Goldsmith (See above for address) ATTORNEY TO BE NOTICED Andrew M. Hetherington (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Andrew Chun-Yang Shen (See above for address) ATTORNEY TO BE NOTICED Anna Mayergoyz Weinberg (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Caitlin Sinclair Hall (See above for address) ATTORNEY TO BE NOTICED Derek Tam Ho (See above for address) ATTORNEY TO BE NOTICED Geoffrey Stuart Brounell (See above for address) TERMINATED: 07/29/2014 Geoffrey Morris Klineberg (See above for address) ATTORNEY TO BE NOTICED Ian Craig Richardson (See above for address) TERMINATED: 02/13/2015 Jessica Caroline Collins (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Joseph Solomon Hall (See above for address) ATTORNEY TO BE NOTICED Kenneth M Fetterman (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Kevin J Miller (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Michael J. Fischer

(See above for address) TERMINATED: 03/31/2014 Michael N. Nemelka (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Thomas Wooten Traxler , Jr. (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Whitney Corinne Cloud (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED William J Rinner (See above for address) TERMINATED: 07/29/2014 PRO HAC VICE

Defendant Barclays Capital Inc. represented by Christopher Michael Joralemon

Gibson, Dunn & Crutcher, LLP (NY) 200 Park Avenue New York, NY 10166 (212) 351-4000 Fax: (212) 351-4035 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Mark Adam Kirsch Gibson, Dunn & Crutcher, LLP (NY) 200 Park Avenue, 48th Floor New York, NY 10166 (212) 351-5391 Fax: (212) 351-5328 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Daniel Martin Sullivan Gibson, Dunn & Crutcher, LLP (NY) 200 Park Avenue New York, NY 10166 (212) 351-4000 Fax: (212) 351-5314

Email: [email protected] TERMINATED: 03/14/2014 Diana Michelle Feinstein Gibson, Dunn & Crutcher, LLP (NY) 200 Park Avenue, 48th Floor New York, NY 10166 (212)-351-2696 Fax: (212)-351-6297 Email: [email protected] ATTORNEY TO BE NOTICED

Defendant BNY Mellon Capital Markets, LLC represented by Christopher Michael Joralemon

(See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Mark Adam Kirsch (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Reid Mason Figel (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Andrew Edward Goldsmith (See above for address) ATTORNEY TO BE NOTICED Daniel Martin Sullivan (See above for address) TERMINATED: 03/14/2014 David Lawrence Schwarz (See above for address) ATTORNEY TO BE NOTICED Derek Tam Ho (See above for address) ATTORNEY TO BE NOTICED Diana Michelle Feinstein (See above for address) ATTORNEY TO BE NOTICED Geoffrey Stuart Brounell

(See above for address) TERMINATED: 07/29/2014 Joseph Solomon Hall (See above for address) ATTORNEY TO BE NOTICED Michael J. Fischer (See above for address) TERMINATED: 03/31/2014

Defendant Citigroup Global Markets Inc. represented by Christopher Michael Joralemon

(See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Mark Adam Kirsch (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Daniel Martin Sullivan (See above for address) TERMINATED: 03/14/2014 Diana Michelle Feinstein (See above for address) ATTORNEY TO BE NOTICED

Defendant Goldman, Sachs & Co. represented by Christopher Michael Joralemon


Defendant

Merrill Lynch, Pierce, Fenner & Smith Incorporated

represented by Christopher Michael Joralemon (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Mark Adam Kirsch (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Daniel Martin Sullivan (See above for address) TERMINATED: 03/14/2014 Diana Michelle Feinstein (See above for address) ATTORNEY TO BE NOTICED

Defendant Morgan Stanley & Co. Incorporated represented by Christopher Michael Joralemon


Defendant UBS Securities LLC represented by Christopher Michael Joralemon

(See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Mark Adam Kirsch (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Daniel Martin Sullivan (See above for address)

TERMINATED: 03/14/2014 Diana Michelle Feinstein (See above for address) ATTORNEY TO BE NOTICED

Defendant Jorge Rodriguez represented by Guy Petrillo

Petrillo Klein & Boxer LLP 655 Third Avenue 22nd Floor New York, NY 10017 (212) 370-0331 Fax: (212) 370-0391 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

All Plaintiffs MDL Plaintiffs Executive Committee represented by MDL Plaintiffs Executive Committee

PRO SE

Date Filed # Docket Text

12/14/2011 1 COMPLAINT against BNY Mellon Capital Markets, LLC, Barclays Capital Inc., Ruth E. Bruch, Citigroup Global Markets Inc., Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Goldman, Sachs & Co., Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. Incorporated, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, UBS Securities LLC, Bruce W. Van Saun, Wesley W. Von Schack. (Filing Fee $ 350.00, Receipt Number 24541)Document filed by Louisiana Municipal Police Employees' Retirement System.(ama) (Entered: 12/19/2011)

12/14/2011 SUMMONS ISSUED as to BNY Mellon Capital Markets, LLC, Barclays Capital Inc., Ruth E. Bruch, Citigroup Global Markets Inc., Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Goldman, Sachs & Co., Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. Incorporated, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, UBS Securities LLC, Bruce W. Van Saun, Wesley W. Von Schack. (ama) (Entered: 12/19/2011)

12/14/2011 CASE REFERRED TO Judge Lewis A. Kaplan as possibly related to 1:11-cv-6969. (ama) (Entered: 12/19/2011)

12/14/2011 Case Designated ECF. (ama) (Entered: 12/19/2011)

12/14/2011 2 STANDING ORDER IN RE PILOT PROJECT REGARDING CASE MANAGEMENT TECHNIQUES FOR COMPLEX CIVIL CASES IN THE SOUTHERN DISTRICT OF NEW YORK (See M-10-468 Order filed November 1, 2011). This case is hereby designated for inclusion in the Pilot Project Regarding Case Management Techniques for Complex Civil Cases in the Southern District of New York (the Pilot Project), unless the judge to whom this case is assigned determines otherwise. This case is designated for inclusion in the Pilot Project because it is a class action, an MDL action, or is in one of the following Nature of Suit categories: 160, 245, 315, 355, 365, 385, 410, 830, 840, 850, 893, or 950. The presiding judge in a case that does not otherwise qualify for inclusion in the Pilot Project may nevertheless designate the case for inclusion in the Pilot Project by issuing an order directing that the case be included in the Pilot Project. The description of the Pilot Project, including procedures to be followed, is attached to this Order. (Signed by Judge Loretta A. Preska on 10/31/2011) (ama) (Entered: 12/19/2011)

12/21/2011 CASE ACCEPTED AS RELATED. Create association to 1:11-cv-06969-LAK. Notice of Assignment to follow. (pgu) (Entered: 12/21/2011)

12/21/2011 3 NOTICE OF CASE ASSIGNMENT to Judge Lewis A. Kaplan. Judge Unassigned is no longer assigned to the case. (pgu) (Entered: 12/21/2011)

12/21/2011 Magistrate Judge James L. Cott is so designated. (pgu) (Entered: 12/21/2011)

02/13/2012 4 MOTION to Appoint Miami Firefighters' Relief and Pension Fund to serve as lead plaintiff(s). Document filed by Miami Firefighters' Relief and Pension Fund.(Rosner, Marian) (Entered: 02/13/2012)

02/13/2012 5 MEMORANDUM OF LAW in Support re: 4 MOTION to Appoint Miami Firefighters' Relief and Pension Fund to serve as lead plaintiff(s).. Document filed by Miami Firefighters' Relief and Pension Fund. (Rosner, Marian) (Entered: 02/13/2012)

02/13/2012 6 DECLARATION of Marian P. Rosner in Support re: 4 MOTION to Appoint Miami Firefighters' Relief and Pension Fund to serve as lead plaintiff(s).. Document filed by Miami Firefighters' Relief and Pension Fund. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Rosner, Marian) (Entered: 02/13/2012)

02/13/2012 7 CERTIFICATE OF SERVICE. Document filed by Miami Firefighters' Relief and Pension Fund. (Rosner, Marian) (Entered: 02/13/2012)

02/13/2012 8 MOTION to Appoint Ironworkers Locals 40, 361 & 417 - Union Security Funds to serve as lead plaintiff(s)., MOTION to Appoint Counsel Pomerantz Haudek Grossman & Gross LLP. Document filed by Ironworkers Locals 40, 361 & 417 - Union Security Funds. (Attachments: # 1 Text of Proposed Order)(Lieberman, Jeremy) (Entered: 02/13/2012)

02/13/2012 9 MEMORANDUM OF LAW in Support re: 8 MOTION to Appoint Ironworkers Locals 40, 361 & 417 - Union Security Funds to serve as lead plaintiff(s). MOTION to Appoint Counsel Pomerantz Haudek Grossman & Gross LLP. MOTION to Appoint Ironworkers Locals 40, 361 & 417 - Union Security Funds to serve as lead plaintiff(s).. Document filed by Ironworkers Locals 40, 361 & 417 - Union Security

Funds. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Lieberman, Jeremy) (Entered: 02/13/2012)

02/13/2012 10 MOTION to Appoint DeKalb County Pension Fund to serve as lead plaintiff(s) and Approve Its Selection of Lead Counsel. Document filed by DeKalb County Pension Fund. (Attachments: # 1 Text of Proposed Order)(Wilson, James) (Entered: 02/13/2012)

02/13/2012 11 MEMORANDUM OF LAW in Support re: 10 MOTION to Appoint DeKalb County Pension Fund to serve as lead plaintiff(s) and Approve Its Selection of Lead Counsel.. Document filed by DeKalb County Pension Fund. (Wilson, James) (Entered: 02/13/2012)

02/13/2012 12 DECLARATION of James M. Wilson, Jr. in Support re: 10 MOTION to Appoint DeKalb County Pension Fund to serve as lead plaintiff(s) and Approve Its Selection of Lead Counsel.. Document filed by DeKalb County Pension Fund. (Wilson, James) (Entered: 02/13/2012)

02/13/2012 13 CERTIFICATE OF SERVICE. Document filed by DeKalb County Pension Fund. (Wilson, James) (Entered: 02/13/2012)

02/13/2012 14 MOTION to Appoint Union Asset Management Holding AG and Pension Trust Fund for Operating Engineers to serve as lead plaintiff(s)., MOTION to Appoint Counsel. Document filed by Union Asset Management Holding AG, Pension Trust Fund For Operating Engineers. (Attachments: # 1 Text of Proposed Order)(Rudman, Samuel) (Entered: 02/13/2012)

02/13/2012 15 MEMORANDUM OF LAW in Support re: 14 MOTION to Appoint Union Asset Management Holding AG and Pension Trust Fund for Operating Engineers to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint Union Asset Management Holding AG and Pension Trust Fund for Operating Engineers to serve as lead plaintiff(s).. Document filed by Pension Trust Fund For Operating Engineers, Union Asset Management Holding AG. (Rudman, Samuel) (Entered: 02/13/2012)

02/13/2012 16 DECLARATION of Samuel H. Rudman in Support re: 14 MOTION to Appoint Union Asset Management Holding AG and Pension Trust Fund for Operating Engineers to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint Union Asset Management Holding AG and Pension Trust Fund for Operating Engineers to serve as lead plaintiff(s).. Document filed by Pension Trust Fund For Operating Engineers, Union Asset Management Holding AG. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G)(Rudman, Samuel) (Entered: 02/13/2012)

02/13/2012 17 MOTION to Appoint State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Retirement Fund, and Danske Invest Management A/S to serve as lead plaintiff(s). Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Retirement Fund, Danske Invest Management A/S.(Silk, Gerald) (Entered: 02/13/2012)

02/13/2012 18 MEMORANDUM OF LAW in Support re: 17 MOTION to Appoint State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Retirement Fund, and Danske Invest. Document filed by Danske Invest Management A/S, State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Silk, Gerald) (Entered: 02/13/2012)

02/13/2012 19 DECLARATION of Gerald H. Silk in Support re: 17 MOTION to Appoint State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Retirement Fund, and Danske Invest. Document filed by Danske Invest Management A/S, State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I)(Silk, Gerald) (Entered: 02/13/2012)

02/14/2012 20 ORDER: In accordance with Section 1 of the Standing Order in In re Pilot Project Regarding Case Management Techniques for Complex Civil Cases in the Southern District of New York, the undersigned hereby determines that this case shall NOT be designated for inclusion in the project. (Signed by Judge Lewis A. Kaplan on 2/14/2012) (tro) (Entered: 02/14/2012)

02/21/2012 21 NOTICE OF APPEARANCE by David Avi Rosenfeld on behalf of Pension Trust Fund For Operating Engineers, Union Asset Management Holding AG (Rosenfeld, David) (Entered: 02/21/2012)

02/29/2012 22 RESPONSE to Motion re: 4 MOTION to Appoint Miami Firefighters' Relief and Pension Fund to serve as lead plaintiff(s). Withdrawing Motion. Document filed by Miami Firefighters' Relief and Pension Fund. (Rosner, Marian) (Entered: 02/29/2012)

03/01/2012 23 RESPONSE to Motion re: 8 MOTION to Appoint Ironworkers Locals 40, 361 & 417 - Union Security Funds to serve as lead plaintiff(s). MOTION to Appoint Counsel Pomerantz Haudek Grossman & Gross LLP. MOTION to Appoint Ironworkers Locals 40, 361 & 417 - Union Security Funds to serve as lead plaintiff(s).. Document filed by Ironworkers Locals 40, 361 & 417 - Union Security Funds. (Lieberman, Jeremy) (Entered: 03/01/2012)

03/01/2012 24 RESPONSE to Motion re: 10 MOTION to Appoint DeKalb County Pension Fund to serve as lead plaintiff(s) and Approve Its Selection of Lead Counsel., 4 MOTION to Appoint Miami Firefighters' Relief and Pension Fund to serve as lead plaintiff(s)., 8 MOTION to Appoint Ironworkers Locals 40, 361 & 417 - Union Security Funds to serve as lead plaintiff(s). MOTION to Appoint Counsel Pomerantz Haudek Grossman & Gross LLP. MOTION to Appoint Ironworkers Locals 40, 361 & 417 - Union Security Funds to serve as lead plaintiff(s)., 17 MOTION to Appoint State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Retirement Fund, and Danske Invest.

Document filed by Pension Trust Fund For Operating Engineers, Union Asset Management Holding AG. (Rudman, Samuel) (Entered: 03/01/2012)

03/01/2012 25 RESPONSE to Motion re: 4 MOTION to Appoint Miami Firefighters' Relief and Pension Fund to serve as lead plaintiff(s)., 8 MOTION to Appoint Ironworkers Locals 40, 361 & 417 - Union Security Funds to serve as lead plaintiff(s). MOTION to Appoint Counsel Pomerantz Haudek Grossman & Gross LLP. MOTION to Appoint Ironworkers Locals 40, 361 & 417 - Union Security Funds to serve as lead plaintiff(s)., 17 MOTION to Appoint State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Retirement Fund, and Danske Invest, 14 MOTION to Appoint Union Asset Management Holding AG and Pension Trust Fund for Operating Engineers to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint Union Asset Management Holding AG and Pension Trust Fund for Operating Engineers to serve as lead plaintiff(s).. Document filed by DeKalb County Pension Fund. (Wilson, James) (Entered: 03/01/2012)

03/01/2012 26 DECLARATION of James M. Wilson, Jr. in Support re: 10 MOTION to Appoint DeKalb County Pension Fund to serve as lead plaintiff(s) and Approve Its Selection of Lead Counsel.. Document filed by DeKalb County Pension Fund. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G)(Wilson, James) (Entered: 03/01/2012)

03/01/2012 27 CERTIFICATE OF SERVICE of Memorandum in Further Support of the Motion of the DeKalb County Pension Fund for Appointment as Lead Plaintiff and Lead Counsel and in Opposition to the Competing Motions and Declaration of James M. Wilson, Jr. in Further Support of the DeKalb County Pension Fund's Motion For Appointment and in Opposition to the Competing Motions. Document filed by DeKalb County Pension Fund. (Wilson, James) (Entered: 03/01/2012)

03/01/2012 28 MEMORANDUM OF LAW in Support re: 17 MOTION to Appoint State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Retirement Fund, and Danske Invest. Document filed by Danske Invest Management A/S, State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Silk, Gerald) (Entered: 03/01/2012)

03/08/2012 29 MEMO ENDORSEMENT on re: 22 NOTICE of Miami Firefighters' Relief and Persion Fund Withdrawing Motion for Appointment as Lead Plaintiff. ENDORSEMENT: Motion withdrawn. (Signed by Judge Lewis A. Kaplan on 3/7/2012) (mro) (Entered: 03/08/2012)

03/12/2012 30 REPLY to Response to Motion re: 10 MOTION to Appoint DeKalb County Pension Fund to serve as lead plaintiff(s) and Approve Its Selection of Lead Counsel. and in Further Opposition to the Competing Motion. Document filed by DeKalb County Pension Fund. (Wilson, James) (Entered: 03/12/2012)

03/12/2012 31 DECLARATION of James M. Wilson, Jr. in Support re: 10 MOTION to Appoint DeKalb County Pension Fund to serve as lead plaintiff(s) and Approve Its Selection

of Lead Counsel.. Document filed by DeKalb County Pension Fund. (Wilson, James) (Entered: 03/12/2012)

03/12/2012 32 CERTIFICATE OF SERVICE of Reply Memorandum in Further Support of the Motion of the DeKalb County Pension Fund for Appointment as Lead Plaintiff and Lead Counsel and in Further Opposition to the Competing Motion and Declaration of James M. Wilson, Jr. in Further Support of the Motion of the DeKalb County Pension Fund for Appointment as Lead Plaintiff and Lead Counsel and in Further Opposition to the Competing Motion. Document filed by DeKalb County Pension Fund. (Wilson, James) (Entered: 03/12/2012)

03/12/2012 33 REPLY MEMORANDUM OF LAW in Support re: 17 MOTION to Appoint State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Retirement Fund, and Danske Invest. Document filed by Danske Invest Management A/S, State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Silk, Gerald) (Entered: 03/12/2012)

03/12/2012 34 DECLARATION of Gerald H. Silk in Support re: 17 MOTION to Appoint State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Retirement Fund, and Danske Invest. Document filed by Danske Invest Management A/S, State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J, # 11 Exhibit K)(Silk, Gerald) (Entered: 03/12/2012)

03/19/2012 35 ORDER. The Court will hear oral argument of the pending motions for appointment as lead plaintiff and approval of selection of lead counsel on March 29, 2012 at 10:00 a.m. in Courtroom 21B. (Oral Argument set for 3/29/2012 at 10:00 AM in Courtroom 21B, U.S. Courthouse, 500 Pearl Street, New York, NY 10007 before Judge Lewis A. Kaplan.) (Signed by Judge Lewis A. Kaplan on 3/19/2012) (rjm) (Entered: 03/19/2012)

03/22/2012 36 NOTICE OF APPEARANCE by Vincent Ian Parrett on behalf of Pension Trust Fund For Operating Engineers, Union Asset Management Holding AG (Parrett, Vincent) (Entered: 03/22/2012)

03/23/2012 37 MOTION for Robert W. Killorin to Appear Pro Hac Vice. Document filed by DeKalb County Pension Fund.(pgu) (Entered: 03/26/2012)

03/28/2012 CASHIERS OFFICE REMARK on 37 Motion to Appear Pro Hac Vice in the amount of $200.00, paid on 03/23/2012, Receipt Number 1033453. (jd) (Entered: 03/28/2012)

03/28/2012 38 MEMO ENDORSEMENT granting 37 Motion for Robert W. Killorin to Appear Pro Hac Vice. ENDORSEMENT: Granted. (Signed by Judge Lewis A. Kaplan on 3/26/2012) (mro) (Entered: 03/28/2012)

03/29/2012 39 ORDER granting in part and denying in part 17 Motion to Appoint ; denying 8 Motion to Appoint ; denying 10 Motion to Appoint ; denying 14 Motion to Appoint ; denying 14 Motion to Appoint Counsel. 1. The motion of plaintiff State of Oregon by and through the Oregon State Treasurer, etc., and others for appointment as lead plaintiff and approval of their selection of lead counsel [DI 17] is granted to the extent that (a) the State of Oregon, by and through the Oregon State Treasurer on behalf of the Common School Fund, and the Oregon Public Employee Retirement Board, on behalf of the Oregon Public Employee Retirement Fund, are appointed co-lead plaintiffs, and (b) their selection of Bernstein Litowitz Berger & Grossman LLP (the "Bernstein Firm") as Lead Counsel for the alleged Class is approved, and denied in all other respects. 2. The motions to appoint (a) Ironworkers Locals 40, 361 and 417, (b) DeKalb County Pension Fund, and (c) Union Asset Management Holding AG and others as lead plaintiffs and to approve their respective selections of proposed lead counsel [DI 8, 10 and 14] all are denied. (Signed by Judge Lewis A. Kaplan on 3/29/2012) (lmb) (Entered: 03/29/2012)

03/29/2012 Minute Entry for proceedings held before Judge Lewis A. Kaplan: Motion Hearing held on 3/29/2012 re: 10 MOTION to Appoint DeKalb County Pension Fund to serve as lead plaintiff(s) and Approve Its Selection of Lead Counsel. filed by DeKalb County Pension Fund, 8 MOTION to Appoint Ironworkers Locals 40, 361 & 417 - Union Security Funds to serve as lead plaintiff(s). MOTION to Appoint Counsel Pomerantz Haudek Grossman & Gross LLP. MOTION to Appoint Ironworkers Locals 40, 361 & 417 - Union Security Funds to serve as lead plaintiff(s). filed by Ironworkers Locals 40, 361 & 417 - Union Security Funds, 14 MOTION to Appoint Union Asset Management Holding AG and Pension Trust Fund for Operating Engineers to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint Union Asset Management Holding AG and Pension Trust Fund for Operating Engineers to serve as lead plaintiff(s). filed by Union Asset Management Holding AG, Pension Trust Fund For Operating Engineers. Remark: Regarding motions 8, 10, and 14. (jfe) (Entered: 04/02/2012)

03/30/2012 40 NOTICE OF APPEARANCE by William Curtis Fredericks on behalf of State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re (Fredericks, William) (Entered: 03/30/2012)

03/30/2012 41 NOTICE OF APPEARANCE by Laura Helen Gundersheim on behalf of State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re (Gundersheim, Laura) (Entered: 03/30/2012)

03/30/2012 42 NOTICE OF APPEARANCE by Sean K. O'Dowd on behalf of State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re (O'Dowd, Sean) (Entered: 03/30/2012)

04/12/2012 43 WAIVER OF SERVICE RETURNED EXECUTED. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on

Behalf of the Oregon Public Employee Re. (Gundersheim, Laura) (Entered: 04/12/2012)

04/12/2012 44 WAIVER OF SERVICE RETURNED EXECUTED. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Gundersheim, Laura) (Entered: 04/12/2012)








04/12/2012 52 WAIVER OF SERVICE RETURNED EXECUTED. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common

School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Gundersheim, Laura) (Entered: 04/12/2012)













04/12/2012 65 AFFIDAVIT OF SERVICE of Summons & Complaint served on Barclays Capital Inc. on 4/9/12. Service was accepted by Person. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Gundersheim, Laura) (Entered: 04/12/2012)

04/12/2012 66 AFFIDAVIT OF SERVICE of Summons & Complaint served on Citigroup Global Markets Inc. on 4/9/12. Service was accepted by Person. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Gundersheim, Laura) (Entered: 04/12/2012)

04/12/2012 67 AFFIDAVIT OF SERVICE of Summons & Complaint served on Goldman Sachs & Co. on 4/9/12. Service was accepted by Person. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Gundersheim, Laura) (Entered: 04/12/2012)

04/12/2012 68 AFFIDAVIT OF SERVICE of Summons & Complaint served on Merrill Lynch, Pierce, Fenner & Smith on 4/9/12. Service was accepted by Person. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Gundersheim, Laura) (Entered: 04/12/2012)

04/12/2012 69 AFFIDAVIT OF SERVICE of Summons & Complaint served on Morgan Stanley & Co. Inc. on 4/9/12. Service was accepted by Person. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common

School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Gundersheim, Laura) (Entered: 04/12/2012)

04/12/2012 70 AFFIDAVIT OF SERVICE of Summons & Complaint served on UBS Securities LLC on 4/9/12. Service was accepted by Person. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Gundersheim, Laura) (Entered: 04/12/2012)

04/12/2012 71 AFFIDAVIT OF SERVICE of Summons & Complaint served on UBS on 4/10/12. Service was accepted by Person. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Gundersheim, Laura) (Entered: 04/12/2012)

04/17/2012 CASE ACCEPTED AS RELATED. Create association to 1:12-md-02335-LAK. (sjo) (Entered: 04/17/2012)

04/17/2012 CONSOLIDATED MDL CASE: Create association to 1:12-md-02335-LAK. (sjo) (Entered: 04/17/2012)

04/19/2012 72 TRANSCRIPT of Proceedings re: Argument held on 3/29/2012 before Judge Lewis A. Kaplan. Court Reporter/Transcriber: Karen Gorlaski, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 5/14/2012. Redacted Transcript Deadline set for 5/24/2012. Release of Transcript Restriction set for 7/23/2012.(McGuirk, Kelly) (Entered: 04/19/2012)

04/19/2012 73 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Argument proceeding held on 3/29/12 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly) (Entered: 04/19/2012)

04/27/2012 74 PRETRIAL ORDER NO.1 (Initial Case Management Order): It appearing that the cases listed on Attachment A, which have been filed in or transferred to this Court pursuant to 28 U.S.C. § 1407, merit special attention as complex litigation and as further set forth in this document. (Signed by Judge Lewis A. Kaplan on 4/27/2012) Filed In Associated Cases: 1:12-md-02335-LAK et al.(cd) (Entered: 04/27/2012)

05/03/2012 75 TRANSCRIPT of Proceedings re: ARGUMENT held on 3/29/2012 before Judge Lewis A. Kaplan. Court Reporter/Transcriber: Karen Gorlaski, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 5/29/2012. Redacted Transcript Deadline set for 6/7/2012. Release of Transcript Restriction set for 8/6/2012.(McGuirk, Kelly) (Entered: 05/03/2012)

05/03/2012 76 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a ARGUMENT proceeding held on 3/29/12 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly) (Entered: 05/03/2012)

05/04/2012 77 NOTICE OF APPEARANCE by Reid Mason Figel on behalf of Mellon Bank N.A., The Bank of New York Mellon, The Bank of New York Mellon Corporation, The Bank of New York Mellon Corporation, BNY Mellon Capital Markets, LLC, Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack, The Bank of New York Mellon Corporation, Scott Freidenrich, THOMAS GIBBONS, LEO P. GROHOWSKI, GERALD HASSELL, J. ROBERT HITCHINGS, Richard Hoey, ROBERT JAEGER, CARL KRASIK, MARK KUZMA, JEFF LANDAU, Jack Lane, MARK MUSI, JESSE PASCO, ROBERT PEREGO, LISA B. PETERS, BRIAN ROGAN, JANE C. SHERBURNE, ROBERT SKENA, THE APPOINTING AND MONITORING COMMITTEE, THE BENEFITS INVESTMENT COMMITTEE, JAMES VALLONE, SHEENA WILSON, KURT WOETZEL, the Benefits Administration Committee, Mellon Bank, N.A., The Bank of New York Filed In Associated Cases: 1:12-md-02335-LAK et al.(Figel, Reid) (Entered: 05/04/2012)

05/04/2012 78 NOTICE OF APPEARANCE by Christopher Michael Joralemon on behalf of BNY Mellon Capital Markets, LLC, Barclays Capital Inc., Citigroup Global Markets Inc., Goldman, Sachs & Co., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. Incorporated, UBS Securities LLC (Joralemon, Christopher) (Entered: 05/04/2012)

05/04/2012 79 NOTICE OF APPEARANCE by Mark Adam Kirsch on behalf of BNY Mellon Capital Markets, LLC, Barclays Capital Inc., Citigroup Global Markets Inc., Goldman, Sachs & Co., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. Incorporated, UBS Securities LLC (Kirsch, Mark) (Entered: 05/04/2012)

05/05/2012 80 FILING ERROR - CORPORATE PARENT/OTHER AFFILIATE NOT ADDED - RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Barclays PLC for Barclays Capital Inc. Document filed by Barclays Capital Inc.Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Joralemon, Christopher) Modified on 5/7/2012 (gp). (Entered: 05/05/2012)

05/05/2012 81 FILING ERROR - CORPORATE PARENT/OTHER AFFILIATE NOT ADDED - RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent The Bank of New York Mellon Corporation for BNY Mellon Capital Markets, LLC. Document filed by BNY Mellon Capital Markets, LLC.Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Joralemon, Christopher) Modified on 5/7/2012 (gp). (Entered: 05/05/2012)

05/05/2012 82 FILING ERROR - CORPORATE PARENT/OTHER AFFILIATE NOT ADDED - RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Citigroup, Inc. for CitiGroup Global Market, Inc.. Document filed by CitiGroup Global Market, Inc..Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Joralemon, Christopher) Modified on 5/7/2012 (gp). (Entered: 05/05/2012)

05/05/2012 83 FILING ERROR - CORPORATE PARENT/OTHER AFFILIATE NOT ADDED - RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent The Goldman Sachs Group, Inc. for Goldman, Sachs & Co. Document filed by Goldman, Sachs & Co.Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Joralemon, Christopher) Modified on 5/7/2012 (gp). (Entered: 05/05/2012)

05/05/2012 84 FILING ERROR - CORPORATE PARENT/OTHER AFFILIATE NOT ADDED - RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Bank Of America Corporation for Merrill Lynch Pierce Fenner & Smith Incorporated. Document filed by Merrill Lynch Pierce Fenner & Smith Incorporated.Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Joralemon, Christopher) Modified on 5/7/2012 (gp). (Entered: 05/05/2012)

05/05/2012 85 FILING ERROR - CORPORATE PARENT/OTHER AFFILIATE NOT ADDED - RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Morgan Stanley Domestic Holdings, Inc., Corporate Parent Morgan Stanley Capital Management LLC, Corporate Parent Morgan Stanley for Morgan Stanley & CO. Incorporated. Document filed by Morgan Stanley & CO. Incorporated.Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Joralemon, Christopher) Modified on 5/7/2012 (gp). (Entered: 05/05/2012)

05/05/2012 86 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent UBS AG for UBS Securities LLC. Document filed by UBS Securities LLC.Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Joralemon, Christopher) (Entered: 05/05/2012)

05/07/2012 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Christopher Joralemon to RE-FILE Document 83 Rule 7.1 Corporate Disclosure Statement, 82 Rule 7.1 Corporate Disclosure Statement, 84 Rule 7.1 Corporate Disclosure Statement, 81 Rule 7.1 Corporate Disclosure Statement, 80 Rule 7.1 Corporate Disclosure Statement, 85 Rule 7.1 Corporate Disclosure Statement,. ERROR(S): Corporate Parents were only added to (1:12-MD-2335). Please re-file this document and when prompted: Are there any corporate parents or other affiliates?, select the YES radio button and enter the Corporate Parent(s) or Affiliate(s). NOTE: YOU MUST SELECT THE FILER FOR EACH INDIVIDUAL CASE. (gp) (Entered: 05/07/2012)

05/07/2012 87 STATUS REPORT. Joint Status Report Document filed by Diane Borgna, Steven G. Elliott, Fiduciary Counselors, Inc., Scott Freidenrich, THOMAS GIBBONS, LEO P. GROHOWSKI, GERALD HASSELL, J. ROBERT HITCHINGS, Richard Hoey, ROBERT JAEGER, CARL KRASIK, MARK KUZMA, JEFF LANDAU, Jack Lane, MARK MUSI, JESSE PASCO, ROBERT PEREGO, LISA B. PETERS, John A. Park, BRIAN ROGAN, JANE C. SHERBURNE, ROBERT SKENA, THE

APPOINTING AND MONITORING COMMITTEE, THE BENEFITS INVESTMENT COMMITTEE, Joanne Terrazas, The Bank of New York Mellon Corporation, JAMES VALLONE, SHEENA WILSON, KURT WOETZEL, the Benefits Administration Committee, ISABEL F. SANSANO, BNY Mellon Capital Markets, LLC, Barclays Capital Inc., Ruth E. Bruch, Citigroup Global Markets Inc., Danske Invest Management A/S, DeKalb County Pension Fund, Nicholas M. Donofrio, Thomas P. Gibbons, Goldman, Sachs & Co., Gerald L. Hassell, Michael K. Hughey, Ironworkers Locals 40, 361 & 417 - Union Security Funds, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, Louisiana Municipal Police Employees' Retirement System, John A. Luke, Jr, Robert Mehrabian, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Miami Firefighters' Relief and Pension Fund, Morgan Stanley & Co. Incorporated, Mark A. Nordenberg, Pension Trust Fund For Operating Engineers, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re, John P. Surma, The Bank of New York Mellon Corporation, UBS Securities LLC, Union Asset Management Holding AG, Bruce W. Van Saun, Wesley W. Von Schack, Arthur Certosimo, Marilyn Clark, Iron Workets Mid-South Pension Fund, Micahel J. Kowalski, Richard Mahoney, James P. Palermo, The Bank of New York Mellon Corporation, Weslty W. Von Schack.Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-08471-LAK, 1:11-cv-09175-LAK, 1:12-cv-03068-LAK, 1:12-cv-03069-LAK(Figel, Reid) (Entered: 05/07/2012)

05/10/2012 88 NOTICE OF APPEARANCE by Joseph Solomon Hall on behalf of Mellon Bank N.A., The Bank of New York Mellon, The Bank of New York Mellon Corporation, The Bank of New York Mellon Corporation, The Bank of New York, The Bank of New York Company, Inc., The Bank of New York Mellon Trust Company National Association, BNY Mellon Capital Markets, LLC, Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack, The Bank of New York Mellon Corporation, Scott Freidenrich, THOMAS GIBBONS, LEO P. GROHOWSKI, GERALD HASSELL, J. ROBERT HITCHINGS, Richard Hoey, ROBERT JAEGER, CARL KRASIK, MARK KUZMA, JEFF LANDAU, Jack Lane, MARK MUSI, JESSE PASCO, ROBERT PEREGO, LISA B. PETERS, BRIAN ROGAN, JANE C. SHERBURNE, ROBERT SKENA, THE APPOINTING AND MONITORING COMMITTEE, THE BENEFITS INVESTMENT COMMITTEE, JAMES VALLONE, SHEENA WILSON, KURT WOETZEL, the Benefits Administration Committee, Mellon Bank, N.A., Bank of New York Mellon Trust Company, N.A. Filed In Associated Cases: 1:12-md-02335-LAK et al.(Hall, Joseph) (Entered: 05/10/2012)

05/10/2012 89 NOTICE OF APPEARANCE by Derek Tam Ho on behalf of Mellon Bank N.A., The Bank of New York Mellon, The Bank of New York Mellon Corporation, The Bank of New York Mellon Corporation, The Bank of New York, The Bank of New York Company, Inc., The Bank of New York Mellon Trust Company National Association, BNY Mellon Capital Markets, LLC, Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K.

Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack, The Bank of New York Mellon Corporation, Scott Freidenrich, THOMAS GIBBONS, LEO P. GROHOWSKI, GERALD HASSELL, J. ROBERT HITCHINGS, Richard Hoey, ROBERT JAEGER, CARL KRASIK, MARK KUZMA, JEFF LANDAU, Jack Lane, MARK MUSI, JESSE PASCO, ROBERT PEREGO, LISA B. PETERS, BRIAN ROGAN, JANE C. SHERBURNE, ROBERT SKENA, THE APPOINTING AND MONITORING COMMITTEE, THE BENEFITS INVESTMENT COMMITTEE, JAMES VALLONE, SHEENA WILSON, KURT WOETZEL, the Benefits Administration Committee, Mellon Bank, N.A. Filed In Associated Cases: 1:12-md-02335-LAK et al.(Ho, Derek) (Entered: 05/10/2012)

05/10/2012 90 NOTICE OF APPEARANCE by Andrew Edward Goldsmith on behalf of Mellon Bank N.A., The Bank of New York Mellon, The Bank of New York Mellon Corporation, The Bank of New York Mellon Corporation, The Bank of New York, The Bank of New York Company, Inc., The Bank of New York Mellon Trust Company National Association, BNY Mellon Capital Markets, LLC, Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack, The Bank of New York Mellon Corporation, Scott Freidenrich, THOMAS GIBBONS, LEO P. GROHOWSKI, GERALD HASSELL, J. ROBERT HITCHINGS, Richard Hoey, ROBERT JAEGER, CARL KRASIK, MARK KUZMA, JEFF LANDAU, Jack Lane, MARK MUSI, JESSE PASCO, ROBERT PEREGO, LISA B. PETERS, BRIAN ROGAN, JANE C. SHERBURNE, ROBERT SKENA, THE APPOINTING AND MONITORING COMMITTEE, THE BENEFITS INVESTMENT COMMITTEE, JAMES VALLONE, SHEENA WILSON, KURT WOETZEL, the Benefits Administration Committee, Mellon Bank, N.A., Bank of New York Mellon Trust Company, N.A. Filed In Associated Cases: 1:12-md-02335-LAK et al.(Goldsmith, Andrew) (Entered: 05/10/2012)

05/10/2012 91 NOTICE OF APPEARANCE by Geoffrey Stuart Brounell on behalf of Mellon Bank N.A., The Bank of New York Mellon, The Bank of New York Mellon Corporation, The Bank of New York Mellon Corporation, The Bank of New York, The Bank of New York Company, Inc., The Bank of New York Mellon Trust Company National Association, BNY Mellon Capital Markets, LLC, Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack, The Bank of New York Mellon Corporation, Scott Freidenrich, THOMAS GIBBONS, LEO P. GROHOWSKI, GERALD HASSELL, J. ROBERT HITCHINGS, Richard Hoey, ROBERT JAEGER, CARL KRASIK, MARK KUZMA, JEFF LANDAU, Jack Lane, MARK MUSI, JESSE PASCO, ROBERT PEREGO, LISA B. PETERS, BRIAN ROGAN, JANE C. SHERBURNE, ROBERT SKENA, THE APPOINTING AND MONITORING COMMITTEE, THE

BENEFITS INVESTMENT COMMITTEE, JAMES VALLONE, SHEENA WILSON, KURT WOETZEL, the Benefits Administration Committee, Mellon Bank, N.A., Bank of New York Mellon Trust Company, N.A. Filed In Associated Cases: 1:12-md-02335-LAK et al.(Brounell, Geoffrey) (Entered: 05/10/2012)

05/11/2012 93 CONSOLIDATED CLASS ACTION COMPLAINT Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit)(cd) (Additional attachment(s) added on 5/16/2012: # 1 Ex. A, # 2 Ex. B, # 3 Ex. C, # 4 Certificate of Service) (ama). (Entered: 05/15/2012)

05/11/2012 96 CERTIFICATE OF SERVICE of Summons and Complaint,. BNY Mellon Capital Markets, LLC served on 5/11/2012, answer due 6/1/2012. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (lmb) (Entered: 05/16/2012)

05/15/2012 92 WAIVER OF SERVICE RETURNED EXECUTED. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-08471-LAK, 1:11-cv-09175-LAK, 1:12-cv-03068-LAK, 1:12-cv-03069-LAK(Gundersheim, Laura) (Entered: 05/15/2012)

05/15/2012 94 MEMO ENDORSEMENT RE: granting (53) Motion for David L. Schwarz to Appear Pro Hac Vice in case 1:12-md-02335-LAK; granting [] Motion for David L. Schwarz to Appear Pro Hac Vice in case 1:11-cv-08471-LAK; granting [] Motion for David L. Schwarz to Appear Pro Hac Vice in case 1:11-cv-08810-LAK; granting [] Motion for David L. Schwarz to Appear Pro Hac Vice in case 1:11-cv-09175-LAK; granting [] Motion for David L. Schwarz to Appear Pro Hac Vice in case 1:12-cv-03066-LAK; granting [] Motion for David L. Schwarz to Appear Pro Hac Vice in case 1:12-cv-03068-LAK; granting [] Motion for David L. Schwarz to Appear Pro Hac Vice in case 1:12-cv-03069-LAK; granting [] Motion for David L. Schwarz to Appear Pro Hac Vice in case 1:12-cv-03470-LAK. ENDORSEMENT Granted.. (Signed by Judge Lewis A. Kaplan on 5/15/2012) Filed In Associated Cases: 1:12-md-02335-LAK et al.(laq) (Attorney Added only in 12md2335 case) Modified on 5/21/2012 (laq). (Entered: 05/15/2012)

05/15/2012 95 MEMO ENDORSEMENT on re: in case 1:11-cv-08471-LAK; granting (50) Motion for Rebecca A. Beynon to Appear Pro Hac Vice in case 1:12-md-02335-LAK; granting [] Motion for Rebecca A. Beynon to Appear Pro Hac Vice in case 1:11-cv-08471-LAK; granting [] Motion for Rebecca A. Beynon to Appear Pro Hac Vice in case 1:11-cv-08810-LAK; granting [] Motion for Rebecca A. Beynon to Appear Pro Hac Vice in case 1:11-cv-09175-LAK; granting [] Motion for Rebecca A. Beynon to Appear Pro Hac Vice in case 1:12-cv-03066-LAK; granting [] Motion for Rebecca A. Beynon to Appear Pro Hac Vice in case 1:12-cv-03068-LAK; granting [] Motion for Rebecca A. Beynon to Appear Pro Hac Vice in case 1:12-cv-03069-LAK; granting [] Motion for Rebecca A. Beynon to Appear Pro Hac Vice in case 1:12-cv-03470-LAK. ENDORSEMENT: Granted. (Signed by Judge Lewis A. Kaplan on 5/15/2012) Filed In Associated Cases: 1:12-md-02335-LAK et al.(jfe) (Entered: 05/15/2012)

05/22/2012 97 NOTICE OF APPEARANCE by Steven B. Singer on behalf of State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-08471-LAK, 1:11-cv-09175-LAK, 1:12-cv-03068-LAK, 1:12-cv-03069-LAK(Singer, Steven) (Entered: 05/22/2012)

05/23/2012 Minute Entry for proceedings held before Judge Lewis A. Kaplan: Scheduling Conference held on 5/23/2012. Associated Cases: 1:12-md-02335-LAK et al.(js) (Entered: 06/18/2012)

05/25/2012 98 TRANSCRIPT of Proceedings re: conference held on 5/23/2012 before Judge Lewis A. Kaplan. Court Reporter/Transcriber: Denise Richards, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/18/2012. Redacted Transcript Deadline set for 6/28/2012. Release of Transcript Restriction set for 8/27/2012.Filed In Associated Cases: 1:12-md-02335-LAK et al.(McGuirk, Kelly) (Entered: 05/25/2012)

05/25/2012 99 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 5/23/12 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...Filed In Associated Cases: 1:12-md-02335-LAK et al.(McGuirk, Kelly) (Entered: 05/25/2012)

05/25/2012 100 NOTICE OF APPEARANCE by Abraham Alexander on behalf of State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK, 1:12-cv-03068-LAK, 1:12-cv-03069-LAK(Alexander, Abraham) (Entered: 05/25/2012)

06/06/2012 101 STIPULATION AND ORDER REGARDING THE TIME FOR DEFENDANTS TO ANSWER, MOVE TO DISMISS OR OTHERWISE RESPOND TO THE CONSOLIDATED COMPLAINT: Defendants in the securities class action captioned 11-CV-09175 shall move to dismiss or otherwise respond to the Consolidated Complaint Action Complaint no later than June 22, 2012. Lead Plaintiffs shall file their opposition to Defendants' motion(s) to dismiss any, no later than July 30, 2012. Defendants shall file any reply briefs in further support of their motion(s) to dismiss no later than August 17, 2012. All Defendants.( Motions due by 6/22/2012., Responses due by 7/30/2012, Replies due by 8/17/2012.) (Signed by Judge Alison J. Nathan, Part 1 on 6/5/2012) (pl) Modified on 6/6/2012 (pl). Modified on 6/6/2012 (pl). (Entered: 06/06/2012)

06/08/2012 102 Objection TO [PROPOSED] PRETRIAL ORDER NO. 2 SUBMITTED BY PUTATIVE CUSTOMER CLASS. Document filed by Los angeles department of water and power retirement plan. Filed In Associated Cases: 1:12-md-02335-LAK et al.(Williams, Steven) (Entered: 06/08/2012)

06/20/2012 103 PRETRIAL ORDER NO. 2: Having requested that counsel for Plaintiffs in the actions consolidated as specified in PTO 1 present to the Court a plan for the organization of Plaintiffs' counsel to facilitate the efficient prosecution of these actions, and having considered Plaintiffs' submission, the Court orders: 1. There shall be a Plaintiffs' Executive Committee consisting of: Elizabeth J. Cabraser LIEFF, CABRASER, HEIMANN & BERNSTEIN, LLP 250 Hudson Street, 8th Floor New York, NY 10013 Tel.: (212) 355-9500 Fax: (212) 355-9592 Email: [email protected]; Joseph H. Meltzer KESSLER TOPAZ MELTZER & CHECK LLP 280 King of Prussia Road Radnor, PA 19087 Tel.: (610) 667-7706 Fax: (610) 667-7056 Email: [email protected]; Steven B. Singer BERNSTEIN LITOWITZ BERGER & GROSSMANN LLP 1285 Avenue of the Americas New York, NY 10019 Tel: (212) 554-1413 Fax: (212) 554-1444 [email protected]. 2. Plaintiffs' Executive Committee shall be responsible for coordinating the activities of Plaintiffs during pretrial proceedings and shall: a. determine (after such consultation with other members of Plaintiffs' Steering Committee and other co-counsel as may be appropriate) and present (in briefs, oral argument, or such other fashion as may be appropriate, personally or by a designee) to the Court and opposing parties the position of Plaintiffs arising during pretrial proceedings and as further set forth in this order. (Signed by Judge Lewis A. Kaplan on 6/20/2012) Filed In Associated Cases: 1:12-md-02335-LAK et al.(lmb) (Entered: 06/20/2012)

06/20/2012 104 CONFIDENTIALITY PRETRIAL ORDER NO.3...regarding procedures to be followed that shall govern the handling of confidential material...Notwithstanding anything to the contrary herein: 1. Any papers filed under seal in this action shall be made part of the public record on or after 6/20/17 unless the Court otherwise orders. 2. Any person may apply to the Court for access to any papers filed under seal pursuant to this order. Should such an application be made, the person or persons who designated the sealed material as Confidential shall have the burden of establishing good cause for the continuation of the sealing order unless the Court previously made an individual determination of the existence of good cause for sealing. (Signed by Judge Lewis A. Kaplan on 6/20/2012) Filed In Associated Cases: 1:12-md-02335-LAK et al.(lmb) (Entered: 06/20/2012)

06/22/2012 105 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Barclays PLC for Barclays Capital Inc.. Document filed by Barclays Capital Inc..(Joralemon, Christopher) (Entered: 06/22/2012)

06/22/2012 106 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Bank of New York Mellon Corporation for BNY Mellon Capital Markets, LLC. Document filed by BNY Mellon Capital Markets, LLC.(Joralemon, Christopher) (Entered: 06/22/2012)

06/22/2012 107 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Citigroup, Inc. for Citigroup Global Markets Inc.. Document filed by Citigroup Global Markets Inc..(Joralemon, Christopher) (Entered: 06/22/2012)

06/22/2012 108 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Goldman Sachs Group, Inc. for Goldman, Sachs & Co.. Document filed by Goldman, Sachs & Co..(Joralemon, Christopher) (Entered: 06/22/2012)

06/22/2012 109 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Bank of America Corporation for Merrill Lynch, Pierce, Fenner & Smith

Incorporated. Document filed by Merrill Lynch, Pierce, Fenner & Smith Incorporated.(Joralemon, Christopher) (Entered: 06/22/2012)

06/22/2012 110 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Morgan Stanley Domestic Holdings, Inc., Corporate Parent Morgan Stanley Capital Management LLC, Corporate Parent Morgan Stanley for Morgan Stanley & Co. Incorporated. Document filed by Morgan Stanley & Co. Incorporated.(Joralemon, Christopher) (Entered: 06/22/2012)

06/22/2012 111 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent UBS A.G. for UBS Securities LLC. Document filed by UBS Securities LLC.(Joralemon, Christopher) (Entered: 06/22/2012)

06/22/2012 112 NOTICE OF APPEARANCE by Daniel Martin Sullivan on behalf of BNY Mellon Capital Markets, LLC, Barclays Capital Inc, CitiGroup Global Market, Inc., Goldman, Sachs & Co, Merrill Lynch Pierce Fenner & Smith Incorporated, Morgan Stanley & CO. Incorporated, UBS Securities LLC, Barclays Capital Inc., Citigroup Global Markets Inc., Goldman, Sachs & Co., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. Incorporated, UBS Securities LLC Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Sullivan, Daniel) (Entered: 06/22/2012)

06/22/2012 113 MOTION to Dismiss. Document filed by BNY Mellon Capital Markets, LLC, Barclays Capital Inc, CitiGroup Global Market, Inc., Goldman, Sachs & Co, Merrill Lynch Pierce Fenner & Smith Incorporated, Morgan Stanley & CO. Incorporated, UBS Securities LLC, Barclays Capital Inc., Citigroup Global Markets Inc., Goldman, Sachs & Co., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. Incorporated, UBS Securities LLC. Responses due by 7/30/2012Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Kirsch, Mark) (Entered: 06/22/2012)

06/22/2012 114 MEMORANDUM OF LAW in Support re: (113 in 1:11-cv-09175-LAK, 108 in 1:12-md-02335-LAK) MOTION to Dismiss.. Document filed by BNY Mellon Capital Markets, LLC, Barclays Capital Inc, CitiGroup Global Market, Inc., Goldman, Sachs & Co, Merrill Lynch Pierce Fenner & Smith Incorporated, Morgan Stanley & CO. Incorporated, UBS Securities LLC, Barclays Capital Inc., Citigroup Global Markets Inc., Goldman, Sachs & Co., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. Incorporated, UBS Securities LLC. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Kirsch, Mark) (Entered: 06/22/2012)

06/22/2012 115 FIRST MOTION to Dismiss. Document filed by Jorge Rodriquez. Responses due by 7/30/2012Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Petrillo, Guy) (Entered: 06/22/2012)

06/22/2012 116 DECLARATION of Mark A. Kirsch in Support re: (113 in 1:11-cv-09175-LAK, 108 in 1:12-md-02335-LAK) MOTION to Dismiss.. Document filed by BNY Mellon Capital Markets, LLC, Barclays Capital Inc, CitiGroup Global Market, Inc., Goldman, Sachs & Co, Merrill Lynch Pierce Fenner & Smith Incorporated, Morgan Stanley & CO. Incorporated, UBS Securities LLC, Barclays Capital Inc., Citigroup Global Markets Inc., Goldman, Sachs & Co., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. Incorporated, UBS Securities LLC.

(Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Kirsch, Mark) (Entered: 06/22/2012)

06/22/2012 117 FIRST MEMORANDUM OF LAW in Support re: (115 in 1:11-cv-09175-LAK, 110 in 1:12-md-02335-LAK) FIRST MOTION to Dismiss.. Document filed by Jorge Rodriquez. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Petrillo, Guy) (Entered: 06/22/2012)

06/22/2012 118 MOTION to Dismiss the Consolidated Class Action Complaint. Document filed by The Bank of New York Mellon Corporation.Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Figel, Reid) (Entered: 06/22/2012)

06/22/2012 119 MEMORANDUM OF LAW in Support re: (118 in 1:11-cv-09175-LAK, 113 in 1:12-md-02335-LAK) MOTION to Dismiss the Consolidated Class Action Complaint.. Document filed by The Bank of New York Mellon Corporation. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Figel, Reid) (Entered: 06/22/2012)

06/22/2012 120 MOTION to Dismiss the Consolidated Class Action Complaint. Document filed by Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, Bruce W. Van Saun, Wesley W. Von Schack.Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Figel, Reid) (Entered: 06/22/2012)

06/22/2012 121 MEMORANDUM OF LAW in Support re: (115 in 1:12-md-02335-LAK, 120 in 1:11-cv-09175-LAK) MOTION to Dismiss the Consolidated Class Action Complaint.. Document filed by Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, Bruce W. Van Saun, Wesley W. Von Schack. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Figel, Reid) (Entered: 06/22/2012)

06/22/2012 122 DECLARATION of Joshua D. Branson in Support re: (118 in 1:11-cv-09175-LAK, 113 in 1:12-md-02335-LAK) MOTION to Dismiss the Consolidated Class Action Complaint., (115 in 1:12-md-02335-LAK, 120 in 1:11-cv-09175-LAK) MOTION to Dismiss the Consolidated Class Action Complaint.. Document filed by Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8, # 9 Exhibit 9, # 10 Exhibit 10, # 11 Exhibit 11, # 12 Exhibit 12, # 13 Exhibit 13, # 14 Exhibit 14, # 15 Exhibit 15, # 16 Exhibit 16, # 17 Exhibit 17, # 18 Exhibit 18, # 19 Exhibit 19, # 20 Exhibit 20, # 21 Exhibit 21, # 22 Exhibit 22, # 23 Exhibit 23, # 24 Exhibit 24, #

25 Exhibit 25, # 26 Exhibit 26, # 27 Exhibit 27, # 28 Exhibit 28, # 29 Exhibit 29, # 30 Exhibit 30, # 31 Exhibit 31, # 32 Exhibit 32, # 33 Exhibit 33, # 34 Exhibit 34, # 35 Exhibit 35, # 36 Exhibit 36, # 37 Exhibit 37, # 38 Exhibit 38, # 39 Exhibit 39)Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Figel, Reid) (Entered: 06/22/2012)

07/06/2012 123 MOTION for Scott A Shorr to Appear Pro Hac Vice. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re.(pgu) (Entered: 07/06/2012)

07/06/2012 124 MOTION for Keith A. Ketterling to Appear Pro Hac Vice. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re.Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(pgu) (Entered: 07/06/2012)

07/09/2012 125 MEMO ENDORSEMENT granting 124 Motion for Keith A. Ketterling to Appear Pro Hac Vice: Granted. (Signed by Judge Lewis A. Kaplan on 7/9/2012) (lmb) (Entered: 07/09/2012)

07/09/2012 126 MEMO ENDORSEMENT granting 123 Motion for Scott A. Shorr to Appear Pro Hac Vice: Granted. (Signed by Judge Lewis A. Kaplan on 7/9/2012) (lmb) (Entered: 07/09/2012)

07/27/2012 127 STIPULATION AND ORDER REGARDING LEAD PLAINTIFF'S OMNIBUS BRIEF IN OPPOSITION TO DEFENDANTS' MOTIONS TO DISMISS: NOW, THEREFORE, it is hereby stipulated and agreed, and it is ORDERED by the Court that Lead Plaintiff shall have up to 70 pages to respond in one omnibus opposition brief to Defendants' four respective motions to dismiss. (Signed by Judge Lewis A. Kaplan on 7/27/2012) Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(jfe) (Entered: 07/27/2012)

07/30/2012 128 MEMORANDUM OF LAW in Opposition re: (118 in 1:11-cv-09175-LAK) MOTION to Dismiss the Consolidated Class Action Complaint., (113 in 1:11-cv-09175-LAK) MOTION to Dismiss., (120 in 1:11-cv-09175-LAK) MOTION to Dismiss the Consolidated Class Action Complaint., (115 in 1:11-cv-09175-LAK) FIRST MOTION to Dismiss.. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Singer, Steven) (Entered: 07/30/2012)

07/30/2012 129 DECLARATION of Steven B. Singer in Opposition re: (118 in 1:11-cv-09175-LAK) MOTION to Dismiss the Consolidated Class Action Complaint., (113 in 1:11-cv-09175-LAK) MOTION to Dismiss., (120 in 1:11-cv-09175-LAK) MOTION to Dismiss the Consolidated Class Action Complaint., (115 in 1:11-cv-09175-LAK) FIRST MOTION to Dismiss.. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit

4)Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Singer, Steven) (Entered: 07/30/2012)

07/30/2012 130 CERTIFICATE OF SERVICE. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Singer, Steven) (Entered: 07/30/2012)

08/17/2012 131 REPLY MEMORANDUM OF LAW in Support re: (118 in 1:11-cv-09175-LAK, 113 in 1:12-md-02335-LAK) MOTION to Dismiss the Consolidated Class Action Complaint.. Document filed by The Bank of New York Mellon Corporation. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Figel, Reid) (Entered: 08/17/2012)

08/17/2012 132 REPLY MEMORANDUM OF LAW in Support re: (115 in 1:11-cv-09175-LAK, 110 in 1:12-md-02335-LAK) FIRST MOTION to Dismiss. the Consolidated Class Action Complaint. Document filed by Jorge Rodriquez. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Petrillo, Guy) (Entered: 08/17/2012)

08/17/2012 133 REPLY MEMORANDUM OF LAW in Support re: (115 in 1:12-md-02335-LAK, 120 in 1:11-cv-09175-LAK) MOTION to Dismiss the Consolidated Class Action Complaint.. Document filed by Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, Bruce W. Van Saun, Wesley W. Von Schack. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Figel, Reid) (Entered: 08/17/2012)

08/17/2012 134 REPLY MEMORANDUM OF LAW in Support re: (113 in 1:11-cv-09175-LAK) MOTION to Dismiss. REPLY MEMORANDUM OF LAW IN SUPPORT OF UNDERWRITER DEFENDANTS' MOTION TO DISMISS. Document filed by BNY Mellon Capital Markets, LLC, Barclays Capital Inc, CitiGroup Global Market, Inc., Goldman, Sachs & Co, Merrill Lynch Pierce Fenner & Smith Incorporated, Morgan Stanley & CO. Incorporated, UBS Securities LLC, Barclays Capital Inc., Citigroup Global Markets Inc., Goldman, Sachs & Co., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. Incorporated, UBS Securities LLC. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Kirsch, Mark) (Entered: 08/17/2012)

02/22/2013 135 MEMO ENDORSEMENT on NOTICE OF WITHDRAWAL OF APPEARANCE. Sean K.O'Dowd is no longer associated with Bernstein Litowitz Berger & Grossmann, LLP, and is hereby withdrawn as Lead Counsel for Lead Plaintiff and the Class, in this action. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 2/21/2013) Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(tro) (Entered: 02/22/2013)

03/08/2013 136 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Michael J. Fischer to Withdraw as Attorney. Document filed by Mellon Bank N.A., The Bank of New York Mellon, The Bank of New York Mellon Corporation, The Bank of New York Mellon Corporation, The Bank of New York, The Bank of New York

Company, Inc., The Bank of New York Mellon Trust Company National Association, BNY Mellon Capital Markets, LLC, Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack, The Bank of New York Mellon Corporation, Mellon Bank, N.A., Bank of New York Mellon Trust Company, N.A.. (Attachments: # 1 Affidavit Declaration of Michael Fischer)Filed In Associated Cases: 1:12-md-02335-LAK et al.(Fischer, Michael) Modified on 3/11/2013 (ldi). (Entered: 03/08/2013)

03/08/2013 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Michael J. Fischer to RE-FILE Document (52 in 1:11-cv-08471-LAK, 111 in 1:12-cv-03064-LAK, 26 in 1:11-cv-08810-LAK, 34 in 1:12-cv-03470-LAK, 222 in 1:12-md-02335-LAK, 144 in 1:12-cv-03067-LAK, 136 in 1:11-cv-09175-LAK, 100 in 1:12-cv-03066-LAK) MOTION for Michael J. Fischer to Withdraw as Attorney. ERROR(S): Supporting documents must be filed separately, each receiving their own document number. Declaration in Support of Motion is found under the event list Replies, Opposition and Supporting Documents. Filed In Associated Cases: 1:12-md-02335-LAK et al.(ldi) (Entered: 03/11/2013)

03/11/2013 137 MOTION for Michael J. Fischer to Withdraw as Attorney. Document filed by Mellon Bank N.A., The Bank of New York Mellon, The Bank of New York Mellon Corporation, The Bank of New York, The Bank of New York Company, Inc., The Bank of New York Mellon Trust Company National Association, BNY Mellon Capital Markets, LLC, Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack, The Bank of New York Mellon Corporation, Mellon Bank, N.A., Bank of New York Mellon Trust Company, N.A..Filed In Associated Cases: 1:12-md-02335-LAK et al.(Fischer, Michael) (Entered: 03/11/2013)

03/11/2013 138 DECLARATION of Michael J. Fischer in Support re: (35 in 1:12-cv-03470-LAK) MOTION for Michael J. Fischer to Withdraw as Attorney.. Document filed by Mellon Bank N.A., The Bank of New York Mellon, The Bank of New York Mellon Corporation, Mellon Bank, N.A., The Bank of New York, The Bank of New York Mellon Corporation, Bank of New York Mellon Trust Company, N.A., The Bank of New York Company, Inc., The Bank of New York Mellon Trust Company National Association, BNY Mellon Capital Markets, LLC, Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack, The Bank of New York Mellon Corporation. Filed In Associated Cases: 1:12-md-02335-LAK et al.(Fischer, Michael) (Entered: 03/11/2013)

04/24/2013 139 ORDER: The parties shall file status reports with the Court by Monday, May 7, 2013, via electronic filing. The Court has scheduled a status conference with all parties to this Multidistrict Litigation, and its related civil action, for Friday, May 17, 2013, at 9:30a.m., in Courtroom 21B of the Daniel Patrick Moynihan Courthouse, 500 Pearl Street, Manhattan, New York. SO ORDERED.( Status Conference set for 5/17/2013 at 09:30 AM in Courtroom 21B, 500 Pearl Street, New York, NY 10007 before Judge Lewis A. Kaplan.) (Signed by Judge Lewis A. Kaplan on 4/24/2013) Filed In Associated Cases: 1:12-md-02335-LAK et al.(ama) (Entered: 04/24/2013)

05/07/2013 140 STATUS REPORT. JOINT Document filed by MDL Plaintiffs Executive Committee.Filed In Associated Cases: 1:12-md-02335-LAK et al.(Chiplock, Daniel) (Entered: 05/07/2013)

05/08/2013 141 MEMO ENDORSEMENT on Notice of Withdrawal of Appearance. PLEASE TAKE NOTICE THAT William C. Fredericks is no longer associated with Bernstein Litowitz Berger & Grossmann, LLP, and is hereby withdrawn as Lead Counsel for Lead Plaintiff and the Class, in the above-captioned action. Bernstein Litowitz Berger & Grossman, LP, through the undersigned counsel of record, continues to serve as Lead Counsel for Lead Plaintiff and the Class in this action and all future correspondence and papers in this action should continue to be directed to them. ENDORSEMENT: So ordered. (Signed by Judge Lewis A. Kaplan on 5/8/2013) Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(mro) (Entered: 05/08/2013)

05/17/2013 142 PRETRIAL ORDER NO. 6 (Amendments to Complaints): As indicated at today's pretrial conference, any amended complaints or motions to amend complaints shall be filed on or before July 1, 2013. ( Amended Pleadings due by 7/1/2013., Motions due by 7/1/2013.) (Signed by Judge Lewis A. Kaplan on 5/17/2013) Filed In Associated Cases: 1:12-md-02335-LAK et al.(mro) (Entered: 05/17/2013)

05/17/2013 143 ORDER: The Court has scheduled a status conference with all parties to this Multidistrict Litigation, and its related civil action, for Tuesday, July 23, 2013, at 10:00 a.m., in Courtroom 21B of Daniel Patrick Moynihan Courthouse, 500 Pearl Street, Manhattan, New York. ( Status Conference set for 7/23/2013 at 10:00 AM in Courtroom 21B, 500 Pearl Street, New York, NY 10007 before Judge Lewis A. Kaplan.) (Signed by Judge Lewis A. Kaplan on 5/17/2013) Filed In Associated Cases: 1:12-md-02335-LAK et al.(mro) (Entered: 05/17/2013)

05/28/2013 144 OPPOSITION BRIEF re: (234 in 1:12-md-02335-LAK, 140 in 1:11-cv-09175-LAK) Status Report Motion to Lift PSLRA Discovery Stay. Document filed by Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack.Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Figel, Reid) (Entered: 05/28/2013)

05/28/2013 145 MEMORANDUM OF LAW in Support - UNDERWRITER DEFENDANTS' SUBMISSION IN SUPPORT OF MAINTAINING THE PSLRA STAY. Document filed by BNY Mellon Capital Markets, LLC, Barclays Capital Inc, CitiGroup Global Market, Inc., Goldman, Sachs & Co, Merrill Lynch Pierce Fenner & Smith

Incorporated, Morgan Stanley & CO. Incorporated, UBS Securities LLC, Barclays Capital Inc., Citigroup Global Markets Inc., Goldman, Sachs & Co., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. Incorporated, UBS Securities LLC. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Kirsch, Mark) (Entered: 05/28/2013)

05/31/2013 146 TRANSCRIPT of Proceedings re: CONFERENCE held on 5/17/2013 before Judge Lewis A. Kaplan. Court Reporter/Transcriber: Linda Fisher, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/24/2013. Redacted Transcript Deadline set for 7/8/2013. Release of Transcript Restriction set for 9/3/2013.Filed In Associated Cases: 1:12-md-02335-LAK et al.(Rodriguez, Somari) (Entered: 05/31/2013)

05/31/2013 147 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 5/17/13 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...Filed In Associated Cases: 1:12-md-02335-LAK et al.(Rodriguez, Somari) (Entered: 05/31/2013)

06/06/2013 148 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - REPLY MEMORANDUM OF LAW re: (144 in 1:11-cv-09175-LAK, 244 in 1:12-md-02335-LAK) Opposition Brief,, (245 in 1:12-md-02335-LAK, 145 in 1:11-cv-09175-LAK) Memorandum of Law in Support,,. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Singer, Steven) Modified on 6/7/2013 (db). (Entered: 06/06/2013)

06/06/2013 149 DECLARATION of Steven B. Singer re: (144 in 1:11-cv-09175-LAK, 244 in 1:12-md-02335-LAK) Opposition Brief,, (245 in 1:12-md-02335-LAK, 145 in 1:11-cv-09175-LAK) Memorandum of Law in Support,,. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Attachments: # 1 Exhibit A, # 2 Exhibit B)Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Singer, Steven) (Entered: 06/06/2013)

06/07/2013 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Note to Attorney Steven B. Singer to RE-FILE Document (249 in 1:12-md-02335-LAK, 148 in 1:11-cv-09175-LAK) Reply Memorandum of Law. Use the event type Reply Memorandum in Support of Motion found under the event list Replies, Opposition and Supporting Documents. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(db) (Entered: 06/07/2013)

06/07/2013 150 REPLY re: (234 in 1:12-md-02335-LAK, 140 in 1:11-cv-09175-LAK) Status Report. Document filed by State of Oregon By and Through the Oregon State

Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Singer, Steven) (Entered: 06/07/2013)

06/10/2013 151 ORDER denying (113) Motion to Dismiss; denying (118) Motion to Dismiss; denying (120) Motion to Dismiss in case 1:11-cv-09175-LAK; denying (108) Motion to Dismiss; denying (113) Motion to Dismiss; denying (115) Motion to Dismiss in case 1:12-md-02335-LAK. The motions to dismiss the consolidated class action complaint by The Bank of New York Mellon Corporation [12 MD 2335 (Master Docket) DI 113], the officer and director defendants [Master Docket DI 115], and the underwriter defendants [Master Docket DI 108] are denied. To the extent the arguments made in these motions are not foreclosed by the Court's rulings in the SEPTA action and the action brought by the United States, the denial is without prejudice to renewal on motions for summary judgment. The discovery stay under the Private Securities Litigation Reform Act is dissolved, in the alternative, substantially for the reasons set forth in Lead Plaintiff's Reply Memorandum in Further Support of its Motion to Lift the PSLRA Discovery Stay. (Signed by Judge Lewis A. Kaplan on 6/10/2013) Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(mro) (Entered: 06/11/2013)

07/16/2013 152 NOTICE OF APPEARANCE by Diana Michelle Feinstein on behalf of BNY Mellon Capital Markets, LLC, Barclays Capital Inc, CitiGroup Global Market, Inc., Goldman, Sachs & Co, Merrill Lynch Pierce Fenner & Smith Incorporated, Morgan Stanley & CO. Incorporated, UBS Securities LLC, Barclays Capital Inc., Citigroup Global Markets Inc., Goldman, Sachs & Co., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. Incorporated, UBS Securities LLC. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Feinstein, Diana) (Entered: 07/16/2013)

09/15/2013 153 ANSWER to 93 Complaint,. Document filed by BNY Mellon Capital Markets, LLC, Citigroup Global Markets Inc., Goldman, Sachs & Co., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. Incorporated, UBS Securities LLC.(Kirsch, Mark) (Entered: 09/15/2013)

09/15/2013 154 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by The Bank of New York Mellon Corporation.Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Figel, Reid) (Entered: 09/15/2013)

09/15/2013 155 ANSWER to Complaint. Document filed by The Bank of New York Mellon Corporation.(Figel, Reid) (Entered: 09/15/2013)

09/15/2013 156 ANSWER to Complaint. Document filed by Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, Bruce W. Van Saun, Wesley W. Von Schack.(Figel, Reid) (Entered: 09/15/2013)

09/16/2013 157 ANSWER to 93 Complaint,. Document filed by Jorge Rodriguez.(Petrillo, Guy) (Entered: 09/16/2013)

09/30/2013 158 NOTICE OF APPEARANCE by Andrew Chun-Yang Shen on behalf of Mellon Bank N.A., The Bank of New York Mellon, The Bank of New York Mellon Corporation, BNY Mellon, National Association, Mellon Bank, N.A., The Bank of New York, Bank of New York Mellon Corporation, Bank of New York Mellon Trust Company, N.A., The Bank of New York Company, Inc., The Bank of New York Mellon Trust Company National Association, Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack. Filed In Associated Cases: 1:12-md-02335-LAK et al.(Shen, Andrew) (Entered: 09/30/2013)

10/01/2013 159 SEALED DOCUMENT placed in vault.(nm) (Entered: 10/01/2013)

10/01/2013 160 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Michael N. Nemelka to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8927518. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Text of Proposed Order Proposed Order)(Nemelka, Michael) Modified on 10/1/2013 (bcu). (Entered: 10/01/2013)

10/01/2013 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice regarding Document No. 160 MOTION for Michael N. Nemelka to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8927518. Motion and supporting papers to be reviewed by Clerk's Office staff.. The filing is deficient for the following reason(s): Missing Certificate of Good Standing and there should only be the case number of the case you are filing your motion in.. Certificate of Good Standing must be issued from the Supreme Court of Virginia and not from a State Bar Association. Re-file the document as a Corrected Motion to Appear Pro Hac Vice and attach a valid Certificate of Good Standing, issued within the past 30 days. (bcu) (Entered: 10/01/2013)

10/01/2013 161 FILING ERROR - ELECTRONIC FILING OF NON-ECF DOCUMENT - MOTION to Compel Plaintiffs to Produce Documents. Document filed by Bank of New York Mellon Corporation, The Bank of New York Mellon Corporation. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Shen, Andrew) Modified on 10/2/2013 (db). (Entered: 10/01/2013)

10/01/2013 162 MOTION for Jessica C. Collins to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8927882. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William

C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Text of Proposed Order)(Collins, Jessica) Modified on 10/2/2013 (wb). Modified on 10/2/2013 (wb). (Entered: 10/01/2013)

10/02/2013 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - NON-ECF DOCUMENT ERROR. Note to Attorney Andrew Chun-Yang Shen. Document No. (283) Letter. This document is not filed via ECF. The Court permits the filing of letters including certain types of letter motions, a Motion to Compel must be formally filed. Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(db) (Entered: 10/02/2013)

10/02/2013 163 LETTER addressed to Judge Lewis A. Kaplan from Andrew C. Shen dated October 1, 2013 re: Motion to Compel. Document filed by The Bank of New York Mellon Coroporation, The Bank of New York Mellon Corporation. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)Filed In Associated Cases: 1:12-md-02335-LAK, 1:11-cv-09175-LAK(Shen, Andrew) (Entered: 10/02/2013)

10/04/2013 164 LETTER addressed to Judge Lewis A. Kaplan from Steven B. Singer dated 10/04/2013 re: Bank of New York Mellon's Motion to Compel [Dkt 286]. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Attachments: # 1 Exhibit A)Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Singer, Steven) (Entered: 10/04/2013)

10/07/2013 165 NOTICE OF APPEARANCE by Ian Craig Richardson on behalf of Mellon Bank N.A., The Bank of New York Mellon, The Bank of New York Mellon Corporation, BNY Mellon, National Association, Mellon Bank, N.A., The Bank of New York, Bank of New York Mellon Corporation, Bank of New York Mellon Trust Company, N.A., The Bank of New York Company, Inc., The Bank of New York Mellon Trust Company National Association, Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack. Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(Richardson, Ian) (Entered: 10/07/2013)

10/08/2013 166 SEALED DOCUMENT placed in vault.(mps) (Entered: 10/08/2013)

10/08/2013 167 LETTER addressed to Magistrate Judge James L. Cott from Andrew C. Shen dated 10/8/2013 re: REDACTED Motion for Leave to File Reply in Support of Motion to Compel. Document filed by The Bank of New York Mellon Corporation. (Attachments: # 1 Exhibit E)Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Shen, Andrew) (Entered: 10/08/2013)

10/09/2013 168 NOTICE OF APPEARANCE by Andrew M. Hetherington on behalf of Mellon Bank N.A., The Bank of New York Mellon, The Bank of New York Mellon Corporation, BNY Mellon, National Association, Mellon Bank, N.A., The Bank of New York, Bank of New York Mellon Corporation, Bank of New York Mellon Trust Company, N.A., The Bank of New York Company, Inc., The Bank of New

York Mellon Trust Company National Association, Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack. Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(Hetherington, Andrew) (Entered: 10/09/2013)

10/10/2013 169 MOTION for Michael N Nemelka to Appear Pro Hac Vice. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Text of Proposed Order)(Nemelka, Michael) (Entered: 10/10/2013)

10/11/2013 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 169 MOTION for Michael N Nemelka to Appear Pro Hac Vice. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb) (Entered: 10/11/2013)

10/11/2013 170 MOTION for Caitlin S. Hall to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8965666. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Text of Proposed Order)(Hall, Caitlin) (Entered: 10/11/2013)

10/11/2013 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 170 MOTION for Caitlin S. Hall to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8965666. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb) (Entered: 10/11/2013)

10/11/2013 171 MOTION for Kenneth M. Fetterman to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8968060. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Text of Proposed Order)(Fetterman, Kenneth) (Entered: 10/11/2013)

10/11/2013 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 171 MOTION for Kenneth M. Fetterman to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8968060. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb) (Entered: 10/11/2013)

10/16/2013 172 MOTION for William J. Rinner to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8979985. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Text of Proposed Order)(Rinner, William) (Entered: 10/16/2013)

10/16/2013 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 172 MOTION for William J. Rinner to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8979985. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb) (Entered: 10/16/2013)

10/23/2013 173 STIPULATION AND ORDER REGARDING THE TIME FOR DEFENDANTS TO ANSWER THE CONSOLIDATED COMPLAINT: The Parties hereby stipulate, through their attorneys of record, and Defendants request that the Court enter an order permitting the Defendants to file answers to the Consolidated Class Action Complaint no later than August 1, 2013. (Signed by Judge Lewis A. Kaplan on 10/22/2013) Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(lmb) (Entered: 10/23/2013)

10/24/2013 174 MEMORANDUM ORDER: Judge Kaplan has referred two discovery disputes to me for resolution in this multidistrict litigation. (Dkt. No. 287) (Order of Reference dated October 4,2013). The first dispute arises out of an application of Defendants Bank of New York Mellon et al. ("BNYM") to compel the production of certain documents that have been withheld by Southeastern Pennsylvania Transportation Authority ("SEPTA"), the Ohio Police & Fire Pension Fund ("OP & F") and the School Employees Retirement System of Ohio ("SERS") in the cases captioned OP&F v. The Bank of New York Mellon Corp., 12 Civ. 3470 (LAK) and SEPTA v. The Bank of New York Mellon Corp., 12 Civ. 3066 (LAK) (Dkt. No. 285) ("The First Dispute"). The second dispute arises out of a BNYM application to compel the production of certain documents that have been withheld by the State of Oregon, the Laborers' Local 235 Benefit Fund, and the Pompano Beach General Employees Retirement System in the case captioned Louisiana Municipal Police Employees' Retirement System v. The Bank of New York Mellon Corp., No. 11 Civ. 9175 (LAK) (Dkt. No. 286) ("The Second Dispute"). I address each of these disputes in turn as further set forth in this order. (Signed by Magistrate Judge James L. Cott on 10/24/2013) Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK, 1:12-cv-03066-LAK, 1:12-cv-03470-LAK(lmb) Modified on 10/25/2013 (lmb). (Entered: 10/24/2013)

11/01/2013 175 LETTER addressed to Judge Lewis A. Kaplan from Elizabeth J. Cabraser, Joseph H. Meltzer, and Steven B. Singer dated November 1, 2013 re: Motion For Protective Order. Document filed by MDL Plaintiffs Executive Committee. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(Chiplock, Daniel) (Entered: 11/01/2013)

11/05/2013 176 ORDER: The Court has received The Bank of New York Mellon's motion for emergency relief [DI 305]. All counsel who wish to be heard on this motion shall appear before the Court on Thursday, November 7, 2013 at 4:30 pm., Set Deadlines/Hearing as to (305 in 1:12-md-02335-LAK-JLC) MOTION For Emergency Relief. ( Motion Hearing set for 11/7/2013 at 04:30 PM before Judge Lewis A. Kaplan.) (Signed by Judge Lewis A. Kaplan on 11/5/2013) Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(lmb) Modified on 11/5/2013 (lmb). (Entered: 11/05/2013)

11/06/2013 177 Objection re: (174 in 1:11-cv-09175-LAK, 299 in 1:12-md-02335-LAK-JLC) Order,,,,, Denying Motion to Compel. Document filed by The Bank of New York Mellon Corporation. Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Figel, Reid) (Entered: 11/06/2013)

11/06/2013 178 DECLARATION of Joshua D. Branson in Support re: (177 in 1:11-cv-09175-LAK) Objection (non-motion), Objection (non-motion). Document filed by The Bank of New York Mellon Corporation. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5)Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Figel, Reid) (Entered: 11/06/2013)

11/06/2013 179 LETTER addressed to Magistrate Judge James L. Cott from Elizabeth J. Cabraser, Joseph H. Meltzer and Steven B. Singer dated 11/06/2013 re: In re Bank of New York Mellon Corp. Foreign Exchange Transaction Litigation. Document filed by MDL Plaintiffs Executive Committee. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(Singer, Steven) (Entered: 11/06/2013)

11/11/2013 180 REPLY re: (314 in 1:12-md-02335-LAK-JLC, 177 in 1:11-cv-09175-LAK) Objection (non-motion), Objection (non-motion). Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(Singer, Steven) (Entered: 11/11/2013)

11/11/2013 181 DECLARATION of Steven B. Singer in Opposition re: (68 in 1:11-cv-08471-LAK, 69 in 1:12-cv-09248-LAK, 69 in 1:12-cv-03470-LAK, 92 in 1:12-cv-03069-LAK, 178 in 1:12-cv-03067-LAK, 52 in 1:12-cv-08990-LAK, 319 in 1:12-md-02335-LAK-JLC, 138 in 1:12-cv-03064-LAK, 71 in 1:12-cv-03068-LAK, 39 in 1:11-cv-08810-LAK, 180 in 1:11-cv-09175-LAK, 135 in 1:12-cv-03066-LAK) Reply, (177 in 1:11-cv-09175-LAK, 314 in 1:12-md-02335-LAK-JLC) Objection (non-motion), Objection (non-motion). Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(Singer, Steven) (Entered: 11/11/2013)

11/11/2013 182 REPLY MEMORANDUM OF LAW in Opposition re: (305 in 1:12-md-02335-LAK-JLC) MOTION For Emergency Relief.. Document filed by MDL Plaintiffs Executive Committee. Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(Chiplock, Daniel) (Entered: 11/11/2013)

11/11/2013 183 DECLARATION of Daniel P. Chiplock in Opposition re: (305 in 1:12-md-02335-LAK-JLC) MOTION For Emergency Relief.. Document filed by MDL Plaintiffs Executive Committee. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(Chiplock, Daniel) (Entered: 11/11/2013)

11/12/2013 184 CERTIFICATE OF SERVICE. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(Singer, Steven) (Entered: 11/12/2013)

11/15/2013 185 ORDER granting (305) Motion for Emergency Relief in case 1:12-md-02335-LAK-JLC. Upon the motion for emergency relief filed by Defendant The Bank of New York Mellon ("BNYM") on November 4, 2013 (Dkt. No. 305), and the opposition thereto, in connection with subpoenas issued in the above-captioned case and in United States v. The Bank of New York Mellon, Case No. 11-Civ.-6969, and having considered the evidence and the arguments presented, it is hereby: ORDERED that BNYM's motion is GRANTED as further set forth in this order. (Signed by Judge Lewis A. Kaplan on 11/15/2013) Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al. (lmb) (Entered: 11/15/2013)

11/18/2013 186 REPLY MEMORANDUM OF LAW in Support re: (314 in 1:12-md-02335-LAK-JLC, 177 in 1:11-cv-09175-LAK) Objection (non-motion), Objection (non-motion) to Order Denying Motion to Compel. Document filed by The Bank of New York Mellon Corporation. Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Figel, Reid) (Entered: 11/18/2013)

11/19/2013 187 ORDER: The Bank of New York Mellon objects to Magistrate Judge Cott's October 24, 2013 order denying its motion to compel plaintiffs in the above captioned case to produce certain documents. "A party challenging a magistrate judge's ruling on a [discovery-related] matter must demonstrate the judge erred as a matter of law or that the decision rests on a clearly erroneous factual determination." E.g., Kormendi v. Computer Assocs. Int'l, Inc., No. 02 Civ. 2996 (LAK), 2004 WL 121792, at *1 (S.D.N.Y. Jan. 27,2004). The Court finds neither. This is particularly so in light of Federal Rule of Civil Procedure 26(b )(2)(C)(iii), under which a court may limit discovery if it determines that "the burden or expense ofthe proposed discovery outweighs its likely benefit" considering the factors thereafter enumerated. Accordingly, the order [MD DI 299] is affirmed. (Signed by Judge Lewis A. Kaplan on 11/19/2013) Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(lmb) (Entered: 11/19/2013)

11/20/2013 188 MEMORANDUM ORDER. The parties are directed to inform the Court of their views as to what effect, if any, Judge Kaplan's order granting Bank of New York Mellon's motion for emergency relief in connection with certain third party subpoenas (Dkt No. 325) and his order affirming my discovery order of October 24, 2013 (Dkt No. 330) have on the Plaintiffs' Executive Committee's outstanding

motion for a protective order (Dkt. No. 304), which Judge Kaplan has referred to me (Dkt. No. 313). The parties shall submit letters of no longer than three pages addressing this inquiry no later than November 25, 2013. (Signed by Magistrate Judge James L. Cott on 11/20/2013). Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK, 1:12-cv-03066-LAK, 1:12-cv-03470-LAK (rjm) (Entered: 11/21/2013)

11/25/2013 189 LETTER addressed to Magistrate Judge James L. Cott from Elizabeth J. Cabraser, Joseph H. Meltzer and Steven B. Singer dated 11/25/2013 re: In re Bank of New York Mellon Corp. Forex Transactions Litigation. Document filed by MDL Plaintiffs Executive Committee. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(Singer, Steven) (Entered: 11/25/2013)

11/26/2013 190 ORDER: The Court will hear oral argument on the Plaintiffs' Executive Committee's pending letter-motion for a protective order (Dkt. No. 304) on December 5, 2013 at 11 a.m. in courtroom 21-D, 500 Pearl Street, New York, New York. (Oral Argument set for 12/5/2013 at 11:00 AM in Courtroom 21D, 500 Pearl Street, New York, NY 10007 before Magistrate Judge James L. Cott.) (Signed by Magistrate Judge James L. Cott on 11/26/2013) (djc) (Entered: 11/26/2013)

11/27/2013 191 LETTER addressed to Magistrate Judge James L. Cott from Steven B. Singer dated 11/27/2013 re: In re Bank of New York Mellon Corp. Forex Transactions Litigation. Document filed by MDL Plaintiffs Executive Committee.Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(Singer, Steven) (Entered: 11/27/2013)

12/04/2013 192 ORDER: In light of Judge Kaplan's referral dated December 3, 2013 (Dkt. No. 341), the Court will hear oral argument on Defendants' motion to compel (Dkt. No. 334) in addition to Plaintiffs' Executive Committee's motion for a protective order (Dkt. No. 304) on December 12, 2013 at 2:30 p.m. in courtroom 21-D, 500 Pearl Street, New York, New York. SO ORDERED. ( Oral Argument set for 12/12/2013 at 02:30 PM in Courtroom 21D, 500 Pearl Street, New York, NY 10007 before Magistrate Judge James L. Cott.) (Signed by Magistrate Judge James L. Cott on 12/04/2013) Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK, 1:12-cv-03066-LAK, 1:12-cv-03470-LAK(ama) (Entered: 12/04/2013)

12/13/2013 193 ORDER: For the reasons set forth at the conference held yesterday, Defendants' motion to compel, (as set forth in their November 25, 2013 letter to the Court (Dkt. No. 334) is granted. Notwithstanding this ruling, no modification to the discovery schedule is approved. For the reasons set forth at the conference, the parties are directed to conduct a further meet-and-confer as to the issues underlying Plaintiffs' motion for a protective order (Dkt. No. 304). The parties shall advise the Court by letter whether they have reached a resolution of the issues raised by the motion by December 20, 2013. Should no resolution be reached, the Court shall issue a further order outlining additional submissions to be made by the parties. SO ORDERED. (Signed by Magistrate Judge James L. Cott on 12/13/2013) Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK, 1:12-cv-03066-LAK, 1:12-cv-03470-LAK(ama) (Entered: 12/13/2013)

12/20/2013 194 LETTER addressed to Magistrate Judge James L. Cott from Reid M. Figel, Daniel P. Chiplock, Daniel H.R. Laguardia dated 12/20/2013 re: Motion for a Protective Order. Document filed by The Bank of New York Mellon. (Attachments: # 1 Exhibit

1, # 2 Exhibit 2, # 3 Exhibit 3)Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(Figel, Reid) (Entered: 12/20/2013)

02/21/2014 195 NOTICE OF APPEARANCE by John Christopher Browne on behalf of State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Browne, John) (Entered: 02/21/2014)

02/25/2014 196 LETTER addressed to Magistrate Judge James L. Cott from Reid M. Figel dated 2/25/2014 re: Renewed Motion to Compel. Document filed by The Bank of New York Mellon Corporation. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J, # 11 Exhibit K, # 12 Exhibit L, # 13 Exhibit M, # 14 Exhibit N, # 15 Exhibit O, # 16 Exhibit P, # 17 Exhibit Q, # 18 Exhibit R, # 19 Exhibit S, # 20 Exhibit T, # 21 Exhibit U, # 22 Exhibit V)Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Figel, Reid) (Entered: 02/25/2014)

02/28/2014 197 MOTION for Anna Mayergoyz Weinberg to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-9402916. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Text of Proposed Order)(Weinberg, Anna) (Entered: 02/28/2014)

02/28/2014 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 197 MOTION for Anna Mayergoyz Weinberg to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-9402916. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb) (Entered: 02/28/2014)

02/28/2014 198 LETTER addressed to Magistrate Judge James L. Cott from John C. Browne dated 02/28/2014 re: Opposition to The Bank of New York Mellon's Renewed Motion to Compel. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Browne, John) (Entered: 02/28/2014)

03/03/2014 199 ORDER re: (104 in 1:11-cv-09175-LAK, 104 in 1:12-md-02335-LAK-JLC) Protective Order. The Securities Plaintiffs in the above-captioned action have applied to the Court for leave to file their opposition to Defendants' renewed motion to compel under seal (Dkt. No. 198), pursuant to the Confidentiality Order entered on June 20, 2012 (MDL Dkt. No. 104). Securities Plaintiffs' application is GRANTED without prejudice to the Court unsealing the said opposition papers at a later date. (Signed by Magistrate Judge James L. Cott on 3/3/2014) Filed In

Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(ja) (Entered: 03/03/2014)

03/04/2014 200 LETTER addressed to Magistrate Judge James L. Cott from Reid M. Figel dated 3/4/2014 re: Reply in Support of Renewed Motion to Compel. Document filed by The Bank of New York Mellon Corporation.Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Figel, Reid) (Entered: 03/04/2014)

03/07/2014 201 MOTION to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-9430644. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack. (Attachments: # 1 Exhibit A, # 2 Text of Proposed Order)(Klineberg, Geoffrey) (Entered: 03/07/2014)

03/07/2014 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 201 MOTION to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-9430644. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb) (Entered: 03/07/2014)

03/14/2014 202 WITHDRAWAL OF APPEARANCE: that Daniel M. Sullivan of Gibson, Dunn & Crutcher LLP hereby withdraws his appearance in the above-captioned case on behalf of defendants Goldman, Sachs & Co., Citigroup Global Markets Inc., Morgan Stanley & Co. Incorporated (n/k/a Morgan Stanley & Co. LLC), Barclays Capital Inc., BNY Capital Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and UBS Securities LLC. The Clerk is directed to terminate Mr. Sullivan as a counsel of record in this case. (Signed by Magistrate Judge James L. Cott on 3/14/2014) Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK (tn) (Entered: 03/14/2014)

03/14/2014 203 ORDER: The Court will hear argument on the Bank of New York Mellon Defendants' motion to compel and for sanctions pursuant to Fed. R. Civ. P. 37(b)(2) (MDL Dkt. No. 354) and their renewed motion to compel (MDL Dkt. No. 363) on April 8, 2014 at 11 a.m. in courtroom 21-D, 500 Pearl Street, New York, New York. Should counsel not be available on that date, they should consult with each other and then contact my chambers with several alternative dates in April. SO ORDERED. (Oral Argument set for 4/8/2014 at 11:00 AM in Courtroom 21D, 500 Pearl Street, New York, NY 10007 before Magistrate Judge James L. Cott.) (Signed by Magistrate Judge James L. Cott on 3/14/2014) Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK, 1:12-cv-03066-LAK, 1:12-cv-03470-LAK(ja) (Entered: 03/17/2014)

03/24/2014 204 ORDER: Upon request of the parties, the conference scheduled for April 8, 2014 to hear arguments on Defendants' outstanding discovery and sanctions motions is adjourned to April 23, 2014 at 11:00 a.m. in courtroom 21-D, 500 Pearl Street, New York, New York. SO ORDERED. (Oral Argument set for 4/23/2014 at 11:00 AM in Courtroom 21D, 500 Pearl Street, New York, NY 10007 before Magistrate Judge James L. Cott.) (Signed by Magistrate Judge James L. Cott on 3/24/2014) Filed In

Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK, 1:12-cv-03066-LAK, 1:12-cv-03470-LAK(kgo) (Entered: 03/24/2014)

03/31/2014 205 ORDER granting 137 Motion to Withdraw as Attorney. Attorney Michael J. Fischer terminated (HEREBY ORDERED by Judge Lewis A. Kaplan)(Text Only Order) (Kaplan, Lewis) (Entered: 03/31/2014)

04/15/2014 206 NOTICE OF APPEARANCE by Jeremy Patrick Robinson on behalf of State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Robinson, Jeremy) (Entered: 04/15/2014)

04/22/2014 208 ORDER in case 1:11-cv-09175-LAK; denying (354) Motion for Sanctions in case 1:12-md-02335-LAK-JLC. The Court held a hearing today to address a renewed motion to compel and for sanctions brought by Defendant the Bank of New York Mellon Corporation ("BNYM") (Dkt. No. 354) against Plaintiff Southeastern Pennsylvania Transportation Authority ("SEPTA"). The parties are directed to the transcript of the hearing for the Court's decision resolving the motion. This Order briefly memorializes the Court's rulings as set forth within. The Clerk is directed to close the Motion at Docket Number 354. SO ORDERED. (Signed by Magistrate Judge James L. Cott on 4/23/2014) Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK, 1:12-cv-03066-LAK, 1:12-cv-03470-LAK (ajs) (Entered: 04/23/2014)

04/23/2014 207 ORDER re: (129 in 1:12-cv-03066-LAK, 174 in 1:11-cv-09175-LAK, 63 in 1:12-cv-03470-LAK, 299 in 1:12-md-02335-LAK-JLC) Order, (363 in 1:12-md-02335-LAK-JLC, 196 in 1:11-cv-09175-LAK) Letter, filed by The Bank of New York Mellon Corporation. For these reasons, the renewed motion to compel is DENIED. Finally, I note that the Securities Plaintiffs, in an attempt to compromise, were willing to run two of the additional searches requested by BNYM regarding "best execution." They qualified their offer by offering to produce only documents that pertained to BNYM or refer to an industry-wide practice relating to "best execution." I direct the Securities Plaintiffs to run these two searches and produce the documents along the lines that they had proposed to the Bank during their meet-and-confer. SO ORDERED. (Signed by Magistrate Judge James L. Cott on 4/23/2014) Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK, 1:12-cv-03066-LAK, 1:12-cv-03470-LAK(ajs) (Entered: 04/23/2014)

04/23/2014 Minute Entry for proceedings held before Magistrate Judge James L. Cott: Oral Argument held on 4/23/2014 re: (154 in 1:12-cv-03066-LAK, 354 in 1:12-md-02335-LAK-JLC) MOTION for Sanctions. filed by The Bank of New York Mellon Corporation, The Bank of New York Mellon. Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK, 1:12-cv-03066-LAK, 1:12-cv-03470-LAK(Landers, Rigoberto) (Entered: 04/24/2014)

04/24/2014 209 ORDER FOR ADMISSION PRO HAC VICE granting (170) Motion for Caitlin S. Hall to Appear Pro Hac Vice in case 1:11-cv-09175-LAK; granting (125) Motion for Caitlin S. Hall to Appear Pro Hac Vice in case 1:12-cv-03066-LAK; granting (165) Motion for Caitlin S. Hall to Appear Pro Hac Vice in case 1:12-cv-03067-LAK; granting (132) Motion for Caitlin S. Hall to Appear Pro Hac Vice in case 1:12-cv-03064-LAK; granting (59) Motion for Caitlin S. Hall to Appear Pro Hac Vice in

case 1:12-cv-03470-LAK; granting (45) Motion for Caitlin S. Hall to Appear Pro Hac Vice in case 1:12-cv-08990-LAK; granting (61) Motion for Caitlin S. Hall to Appear Pro Hac Vice in case 1:12-cv-09248-LAK. The motion of Caitlin S. Hall, for admission to practice Pro Hac Vice in the above captioned actions is granted.(Signed by Judge Lewis A. Kaplan on 4/24/2014) Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al. (ama) (Main Document 209 replaced on 4/28/2014) (ama). (Main Document 209 replaced on 4/28/2014) (ama). (Entered: 04/24/2014)

04/24/2014 210 ORDER PRO HAC VICE granting 172 Motion for William J. Rinner to Appear Pro Hac Vice. (Signed by Judge Lewis A. Kaplan on 4/24/2014) (ajs) (Entered: 04/24/2014)

04/24/2014 211 ORDER FOR ADMISSION PRO HAC VICE: granting (169) Motion for Michael N Nemelka to Appear Pro Hac Vice in case 1:11-cv-09175-LAK; granting (121) Motion for Michael N Nemelka to Appear Pro Hac Vice in case 1:12-cv-03066-LAK; granting (161) Motion for Michael N Nemelka to Appear Pro Hac Vice in case 1:12-cv-03067-LAK; granting (131) Motion for Michael N Nemelka to Appear Pro Hac Vice in case 1:12-cv-03064-LAK; granting (55) Motion for Michael N Nemelka to Appear Pro Hac Vice in case 1:12-cv-03470-LAK; granting (44) Motion for Michael N Nemelka to Appear Pro Hac Vice in case 1:12-cv-08990-LAK; granting (60) Motion for Michael N Nemelka to Appear Pro Hac Vice in case 1:12-cv-09248-LAK. The motion of Michael N. Nemelka, for admission to practice Pro Hac Vice in the above captioned actions is granted.(Signed by Judge Lewis A. Kaplan on 4/24/2014) Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al. (ama) (Entered: 04/25/2014)

04/24/2014 212 ORDER FOR ADMISSION PRO HAC VICE: granting (201) Motion for Geoffrey Morris Klineberg to Appear Pro Hac Vice in case 1:11-cv-09175-LAK; granting (161) Motion for Geoffrey Morris Klineberg to Appear Pro Hac Vice in case 1:12-cv-03066-LAK; granting (189) Motion for Geoffrey Morris Klineberg to Appear Pro Hac Vice in case 1:12-cv-03067-LAK; granting (148) Motion for Geoffrey Morris Klineberg to Appear Pro Hac Vice in case 1:12-cv-03064-LAK; granting (87) Motion for Geoffrey Morris Klineberg to Appear Pro Hac Vice in case 1:12-cv-03470-LAK; granting (62) Motion for Geoffrey Morris Klineberg to Appear Pro Hac Vice in case 1:12-cv-08990-LAK; granting (89) Motion for Geoffrey Morris Klineberg to Appear Pro Hac Vice in case 1:12-cv-09248-LAK. The motion of Geoffrey M. Klineberg, for admission to practice Pro Hac Vice in the above-captioned actions is granted. (Signed by Judge Lewis A. Kaplan on 4/24/2014) Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al. (ama) (Entered: 04/25/2014)

04/24/2014 213 ORDER FOR ADMISSION PRO HAC VICE: granting (197) Motion for Anna Mayergoyz Weinberg to Appear Pro Hac Vice in case 1:11-cv-09175-LAK; granting (160) Motion for Anna Mayergoyz Weinberg to Appear Pro Hac Vice in case 1:12-cv-03066-LAK; granting (188) Motion for Anna Mayergoyz Weinberg to Appear Pro Hac Vice in case 1:12-cv-03067-LAK; granting (147) Motion for Anna Mayergoyz Weinberg to Appear Pro Hac Vice in case 1:12-cv-03064-LAK; granting (86) Motion for Anna Mayergoyz Weinberg to Appear Pro Hac Vice in case 1:12-cv-03470-LAK; granting (61) Motion for Anna Mayergoyz Weinberg to Appear Pro Hac Vice in case 1:12-cv-08990-LAK; granting (87) Motion for Anna Mayergoyz Weinberg to Appear Pro Hac Vice in case 1:12-cv-09248-LAK. The motion of Anna M. Weinberg, for admission to practice Pro Hac Vice in the above captioned actions

is granted.(Signed by Judge Lewis A. Kaplan on 4/24/2014) Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al. (ama) (Entered: 04/25/2014)

04/28/2014 214 NOTICE OF WITHDRAWAL: PLEASE TAKE NOTICE that Laura H. Posner hereby withdraws as counsel of record. Bernstein Litowitz Berer & Grossmann LLP will continue to represent Lead Plaintiffs and the Securities Class. Attorney Laura Helen Posner terminated. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 4/28/2014) (ajs) (Entered: 04/28/2014)

04/28/2014 215 ORDER: PLEASE TAKE NOTICE that Steven B. Singer is hereby withdraws as counselof record. Bernstein Litowitz Berger & Grossmann LLP will continue to represent LeadPlaintiffs and the Securities Class. SO ORDERED. Attorney Steven B. Singer terminated. (Signed by Judge Lewis A. Kaplan on 4/28/2014) (ajs) (Entered: 04/28/2014)

04/28/2014 216 ORDER FOR ADMISSION PRO HAC VICE granting (171) Motion for Kenneth M. Fetterman to Appear Pro Hac Vice in case 1:11-cv-09175-LAK; granting (126) Motion for Kenneth M. Fetterman to Appear Pro Hac Vice in case 1:12-cv-03066-LAK; granting (166) Motion for Kenneth M. Fetterman to Appear Pro Hac Vice in case 1:12-cv-03067-LAK; granting (133) Motion for Kenneth M. Fetterman to Appear Pro Hac Vice in case 1:12-cv-03064-LAK; granting (60) Motion for Kenneth M. Fetterman to Appear Pro Hac Vice in case 1:12-cv-03470-LAK; granting (46) Motion for Kenneth M. Fetterman to Appear Pro Hac Vice in case 1:12-cv-08990-LAK; granting (62) Motion for Kenneth M. Fetterman to Appear Pro Hac Vice in case 1:12-cv-09248-LAK. (Signed by Judge Lewis A. Kaplan on 4/28/2014) Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al. (cd) (Entered: 04/28/2014)

04/28/2014 217 MEMO ENDORSED on MOTION TO WITHDRAW in case 1:11-cv-08471-LAK; granting (101) Motion to Withdraw as Attorney. Attorney Michael J. Fischer terminated in case 1:12-cv-03066-LAK; granting (145) Motion to Withdraw as Attorney. Attorney Michael J. Fischer terminated in case 1:12-cv-03067-LAK; granting (112) Motion to Withdraw as Attorney. Attorney Michael J. Fischer terminated in case 1:12-cv-03064-LAK; granting (35) Motion to Withdraw as Attorney. Attorney Michael J. Fischer terminated in case 1:12-cv-03470-LAK. (already granted on 3/11/2013 by text only orders in 11-cv-8471, 11-cv-8810, and 11-cv-9175). (Signed by Judge Lewis A. Kaplan on 4/28/2014) Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al. (cd) (Entered: 04/28/2014)

04/28/2014 218 ORDER FOR ADMISSION PRO HAC VICE granting (162) Application for the Court to Request Counsel in case 1:11-cv-09175-LAK; granting (115) Application for the Court to Request Counsel in case 1:12-cv-03066-LAK; granting (128) Application for the Court to Request Counsel in case 1:12-cv-03064-LAK; granting (49) Application for the Court to Request Counsel in case 1:12-cv-03470-LAK; granting (40) Application for the Court to Request Counsel in case 1:12-cv-08990-LAK; granting (56) Application for the Court to Request Counsel in case 1:12-cv-09248-LAK. (Signed by Judge Lewis A. Kaplan on 4/28/2014) Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al. (ajs) (Entered: 04/28/2014)

04/29/2014 219 NOTICE OF APPEARANCE by Katherine Anastasia Stefanou on behalf of State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on

Behalf of the Oregon Public Employee Re. Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Stefanou, Katherine) (Entered: 04/29/2014)

04/30/2014 220 MOTION for Kevin J. Miller to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-9623045. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack. (Attachments: # 1 Exhibit A, # 2 Text of Proposed Order)(Miller, Kevin) (Entered: 04/30/2014)

05/01/2014 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 220 MOTION for Kevin J. Miller to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-9623045. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb) (Entered: 05/01/2014)

05/15/2014 221 ORDER FOR ADMISSION PRO HAC VICE granting (220) Motion for Kevin J. Miller to Appear Pro Hac Vice in case 1:11-cv-09175-LAK; granting (392) Motion for Kevin J. Miller to Appear Pro Hac Vice in case 1:12-md-02335-LAK-JLC; granting (177) Motion for Kevin J. Miller to Appear Pro Hac Vice in case 1:12-cv-03066-LAK; granting (198) Motion for Kevin J. Miller to Appear Pro Hac Vice in case 1:12-cv-03067-LAK; granting (157) Motion for Kevin J. Miller to Appear Pro Hac Vice in case 1:12-cv-03064-LAK; granting (100) Motion for Kevin J. Miller to Appear Pro Hac Vice in case 1:12-cv-03470-LAK; granting (71) Motion for Kevin J. Miller to Appear Pro Hac Vice in case 1:12-cv-08990-LAK; granting (99) Motion for Kevin J. Miller to Appear Pro Hac Vice in case 1:12-cv-09248-LAK. (Signed by Judge Richard M. Berman, Part One, on 5/15/2014) Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al. (ajs) (Entered: 05/15/2014)

06/09/2014 222 LETTER addressed to Magistrate Judge James L. Cott from Reid M. Figel dated June 9, 2014 re: Motion to Compel the Production of Documents by FX Transparency, LLC. Document filed by The Bank of New York Mellon. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J, # 11 Exhibit K, # 12 Exhibit L, # 13 Exhibit M, # 14 Exhibit N, # 15 Exhibit O, # 16 Exhibit P)Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(Figel, Reid) (Entered: 06/09/2014)

06/16/2014 223 LETTER addressed to Magistrate Judge James L. Cott from Reid M. Figel dated 6/16/2014 re: Reply in support of Motion to Compel FX Transparency, LLC. Document filed by The Bank of New York Mellon.Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(Figel, Reid) (Entered: 06/16/2014)

06/26/2014 224 MEMORANDUM ORDER:For the foregoing reasons, BNYM's motion to compel the production of documents by FXT is granted in part, subject to the modifications explained herein. FXT is directed to produce the identified documents on a rolling basis, with the last production to take place no later than July 17, 2014. (Signed by Magistrate Judge James L. Cott on 6/26/2014) Filed In Associated Cases: 1:12-md-

02335-LAK-JLC, 1:11-cv-09175-LAK, 1:12-cv-03066-LAK, 1:12-cv-03470-LAK Copies E-Mailed By Chambers. (tn) (Entered: 06/26/2014)

06/26/2014 225 MOTION for Geoffrey S. Brounell to Withdraw as Attorney . Document filed by Mellon Bank N.A., The Bank of New York Mellon, The Bank of New York Mellon Corporation, BNY Mellon, National Association, Mellon Bank, N.A., The Bank of New York, Bank of New York Mellon Corporation, Bank of New York Mellon Trust Company, N.A., The Bank of New York Company, Inc., The Bank of New York Mellon Trust Company National Association, BNY Mellon Capital Markets, LLC, Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack.Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(Brounell, Geoffrey) (Entered: 06/26/2014)

06/26/2014 226 DECLARATION of Geoffrey S. Brounell in Support re: (82 in 1:12-cv-08990-LAK, 105 in 1:12-cv-03470-LAK, 417 in 1:12-md-02335-LAK-JLC, 182 in 1:12-cv-03066-LAK, 225 in 1:11-cv-09175-LAK, 202 in 1:12-cv-03067-LAK, 106 in 1:12-cv-09248-LAK, 171 in 1:12-cv-03064-LAK) MOTION for Geoffrey S. Brounell to Withdraw as Attorney .. Document filed by Mellon Bank N.A., The Bank of New York Mellon, The Bank of New York Mellon Corporation, BNY Mellon, National Association, Mellon Bank, N.A., The Bank of New York, Bank of New York Mellon Corporation, Bank of New York Mellon Trust Company, N.A., The Bank of New York Company, Inc., The Bank of New York Mellon Trust Company National Association, BNY Mellon Capital Markets, LLC, Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack. Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(Brounell, Geoffrey) (Entered: 06/26/2014)

07/11/2014 227 NOTICE OF APPEARANCE by Kurt Michael Hunciker on behalf of State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Hunciker, Kurt) (Entered: 07/11/2014)

07/18/2014 228 MOTION for William J. Rinner to Withdraw as Attorney . Document filed by Mellon Bank N.A., The Bank of New York Mellon, The Bank of New York Mellon Corporation, BNY Mellon, National Association, Mellon Bank, N.A., The Bank of New York, Bank of New York Mellon Corporation, Bank of New York Mellon Trust Company, N.A., The Bank of New York Company, Inc., The Bank of New York Mellon Trust Company National Association, Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of

New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack.Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(Rinner, William) (Entered: 07/18/2014)

07/18/2014 229 DECLARATION of William J. Rinner in Support re: (113 in 1:12-cv-09248-LAK) MOTION for William J. Rinner to Withdraw as Attorney .. Document filed by Mellon Bank N.A., The Bank of New York Mellon, The Bank of New York Mellon Corporation, BNY Mellon, National Association, Mellon Bank, N.A., The Bank of New York, Bank of New York Mellon Corporation, Bank of New York Mellon Trust Company, N.A., The Bank of New York Company, Inc., The Bank of New York Mellon Trust Company National Association, Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack. Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(Rinner, William) (Entered: 07/18/2014)

07/29/2014 230 MEMO ENDORSED ORDER granting 228 Motion to Withdraw as Attorney. ENDORSEMENT: SO ORDERED. Attorney William J Rinner terminated. (Signed by Judge Lewis A. Kaplan on 7/29/2014) (ajs) (Entered: 07/30/2014)

07/29/2014 231 MEMO ENDORSED ORDER in case 1:11-cv-08471-LAK; granting (417) Motion to Withdraw as Attorney in case 1:12-md-02335-LAK-JLC. ENDORSEMENT: SO ORDERED. (Signed by Judge Lewis A. Kaplan on 7/29/2014) Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al. (ajs) (Entered: 07/30/2014)

08/22/2014 232 ORDER in case 1:11-cv-08471-LAK; granting (440) Motion for Jonathan F. Neumann to Appear Pro Hac Vice in case 1:12-md-02335-LAK-JLC. (Signed by Judge Lewis A. Kaplan on 8/22/2014) Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al. (Kaplan, Lewis) (Entered: 08/22/2014)

09/02/2014 233 LETTER addressed to Judge Lewis A. Kaplan from Daniel Chiplock dated September 2, 2014 re: Improper Privilege Claims by The Bank of New York Mellon. Document filed by International Union of Operating Engineers, Stationary Engineers Local 39 Pension Trust Fund, Ohio Police & Fire Pension Fund, School Employees Retirement System of Ohio, Southeastern Pennsylvania Transportation Authority. (Attachments: # 1 Exhibit Exhibit A, # 2 Exhibit Exhibit B, # 3 Exhibit Exhibit C, # 4 Exhibit Exhibit D)Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(Chiplock, Daniel) (Entered: 09/02/2014)

09/10/2014 234 MOTION for Thomas W. Traxler to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10083892. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Text of Proposed Order)(Traxler, Thomas) (Entered: 09/10/2014)

09/10/2014 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 234 MOTION for Thomas W. Traxler to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10083892. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu) (Entered: 09/10/2014)

09/22/2014 235 MEMORANDUM AND ORDER: Customer Class Plaintiffs seek an order (1) determining that an email dated December 5, 2007 from Richard Rua to A.J. Quitadamo (the "Rua Email") in which Rua relates at least part of the substance of legal advice he had received from Bank of New York Mellon ("BNYM") counsel concerning a matter of mutual concern to him and Quitadamo was not privileged and therefore should have been produced in unredacted form, (2) holding in any event that any privilege that otherwise might have attached was waived by the production by BNYM of the Rua Email earlier in the case in an unredacted or less redacted form, (3) requiring BNYM to state that it has not relied, and will not rely, on Rua's testimony or other evidence to assert that its counsel advised it that standing instruction FX trades were not comparable to other FX trades or, failing such a statement, to produce any documents it now is withholding as privileged that relate to the comparability issue, and (4) precluding BNYM counsel from directing witnesses not to disclose how many documents they viewed in preparation for their depositions, whether they were videotaped during preparation, or whether they viewed any such videotapes prior to testifying; as further set forth herein. Customer Class Plaintiffs' letter motion [DI 452] is denied in all respects. The Court notes, moreover, that its individual practices provide that discovery disputes are to be raised by a letter of up to four pages and contemplate only a single reply of the same length. Counsel on this motion have submitted at least nine letters, all single spaced and quite a few well in excess of the four-page limit. The Court encourages counsel to bear in mind that discovery is a means for the just, speedy, and inexpensive determination of lawsuits, not an end in itself. (Signed by Judge Lewis A. Kaplan on 9/22/2014) Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al ***Pursuant to instructions from Chambers.(mro) (Entered: 09/22/2014)

09/22/2014 236 ORDER FOR ADMISSION PRO HAC VICE granting (234) Motion for Thomas W. Traxler to Appear Pro Hac Vice in case 1:11-cv-09175-LAK. (Signed by Judge Lewis A. Kaplan on 9/22/2014) Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK (mro) Modified on 9/22/2014 (mro). (Entered: 09/22/2014)

09/24/2014 237 MOTION for Protective Order . Document filed by International union of operating engineers, stationary engineers local 39 pension trust fund, Ohio Police & Fire Pension Fund, School Employees Retirement System of Ohio, Southeastern Pennsylvania Transportation Authority. (Attachments: # 1 Exhibit A, # 2 Exhibit B)Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(Chiplock, Daniel) (Entered: 09/24/2014)

09/29/2014 238 MEMORANDUM OF LAW in Opposition re: (188 in 1:12-cv-03064-LAK, 203 in 1:12-cv-03066-LAK, 41 in 1:14-cv-05496-LAK, 221 in 1:12-cv-03067-LAK, 486 in 1:12-md-02335-LAK-JLC, 85 in 1:11-cv-08471-LAK, 122 in 1:12-cv-03470-LAK, 100 in 1:12-cv-08990-LAK, 107 in 1:12-cv-03069-LAK, 55 in 1:11-cv-08810-LAK, 126 in 1:12-cv-09248-LAK, 86 in 1:12-cv-03068-LAK, 237 in 1:11-cv-09175-LAK) MOTION for Protective Order . . Document filed by The Bank of New York

Mellon. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I)Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(Figel, Reid) (Entered: 09/29/2014)

10/07/2014 239 MOTION for Whitney Corinne Cloud to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10179732. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Text of Proposed Order)(Cloud, Whitney) (Entered: 10/07/2014)

10/07/2014 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 239 MOTION for Whitney Corinne Cloud to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10179732. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu) (Entered: 10/07/2014)

10/16/2014 240 ORDER: Customer Class Plaintiffs, and perhaps defendant The Bank of New York Mellon ("the Bank") as well, appear to be under a misapprehension that all discovery motions have been referred to Magistrate Judge Cott. In fact, however, while specific discovery matters have been-and may continue to be-referred, all new applications should be addressed in the first instance to the undersigned. Accordingly, the Bank's response to Customer Class Plaintiffs' October 15, 2014 letter motion should be filed in accordance with this Court's individual practices. ( Responses due by 10/15/2014) (Signed by Judge Lewis A. Kaplan on 10/16/2014) Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al, Pursuant to instructions from Chambers. (mro) (Entered: 10/16/2014)

10/23/2014 241 MOTION for Reconsideration re; (502 in 1:12-md-02335-LAK-JLC) Order on Motion for Protective Order,, Motion for Clarification and Partial Reconsideration. Document filed by The Bank of New York Mellon. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J, # 11 Exhibit K, # 12 Exhibit L, # 13 Exhibit M)Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(Figel, Reid) (Entered: 10/23/2014)

10/23/2014 242 LETTER addressed to Judge Lewis A. Kaplan from Reid M. Figel dated 10/23/2014 re: Motion for Clarification and Partial Reconsideration. Document filed by The Bank of New York Mellon.Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(Figel, Reid) (Entered: 10/23/2014)

10/24/2014 243 STIPULATION AND ORDER EXTENDING TIME TO FILE: NOW THEREFORE, the Parties hereby stipulate, through their attorneys of record, that Defendants' Motion for Clarification and Partial Reconsideration shall be filed on October 23, 2014, Plaintiffs' opposition to that motion shall be submitted no later than October 30, 2014, and Defendants' opposition to Plaintiffs' motion for a protective order shall be submitted no later than October 27, 2014. ( Responses due

by 10/30/2014) (Signed by Judge Loretta A. Preska on 10/24/2014) Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al, pursuant to instructions from Chambers. (mro) (Entered: 10/24/2014)

11/03/2014 244 REPLY to Response to Motion re: (88 in 1:11-cv-08471-LAK, 241 in 1:11-cv-09175-LAK, 193 in 1:12-cv-03064-LAK, 105 in 1:12-cv-08990-LAK, 516 in 1:12-md-02335-LAK-JLC, 110 in 1:12-cv-03069-LAK, 131 in 1:12-cv-09248-LAK, 130 in 1:12-cv-03470-LAK, 59 in 1:11-cv-08810-LAK, 89 in 1:12-cv-03068-LAK, 229 in 1:12-cv-03067-LAK, 56 in 1:14-cv-05496-LAK, 211 in 1:12-cv-03066-LAK) MOTION for Reconsideration re; (502 in 1:12-md-02335-LAK-JLC) Order on Motion for Protective Order,, Motion for Clarification and Partial Reconsideration. . Document filed by The Bank of New York Mellon. Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(Figel, Reid) (Entered: 11/03/2014)

11/06/2014 245 ORDER ON MOTION FOR RECONSIDERATION AND CLARIFICATION granting in part and denying in part (88) Motion for Reconsideration in case 1:11-cv-08471-LAK; granting in part and denying in part (59) Motion for Reconsideration in case 1:11-cv-08810-LAK; granting in part and denying in part (241) Motion for Reconsideration in case 1:11-cv-09175-LAK; granting in part and denying in part (516) Motion for Reconsideration in case 1:12-md-02335-LAK-JLC; granting in part and denying in part (110) Motion for Reconsideration in case 1:12-cv-03069-LAK; granting in part and denying in part (89) Motion for Reconsideration in case 1:12-cv-03068-LAK; granting in part and denying in part (211) Motion for Reconsideration in case 1:12-cv-03066-LAK; granting in part and denying in part (229) Motion for Reconsideration in case 1:12-cv-03067-LAK; granting in part and denying in part (193) Motion for Reconsideration in case 1:12-cv-03064-LAK; granting in part and denying in part (130) Motion for Reconsideration in case 1:12-cv-03470-LAK; granting in part and denying in part (105) Motion for Reconsideration in case 1:12-cv-08990-LAK; granting in part and denying in part (131) Motion for Reconsideration in case 1:12-cv-09248-LAK; granting in part and denying in part (56) Motion for Reconsideration in case 1:14-cv-05496-LAK. The Bank of New York Mellon ("BNYM" or the "Bank") now seeks clarification and partial reconsideration of the Order [12-md-2335, DI 516] (the "Motion"). It claims that the Order is unclear as to the limits imposed on the depositions of the eight witnesses, and seeks reconsideration with respect to-and leave to examine-three of the eleven absent class members whose depositions the Order foreclosed. 1. The Court does not share the Bank's confusion as to the limitations imposed by the Order on the scope of the eight depositions. BNYM is permitted to examine those class members concerning their work in their capacities as investment managers for named plaintiffs and/or, if they are referred to in the USAO Action, concerning the specific allegations there made. The contention that the Order, properly construed, permits examination of those eight witnesses "about decisions, general policies and practices, analyses, or communications related to FX trading for any BNYM customer" [Motion, at 2] is incorrect; as set forth herein. 2. The Bank seeks reconsideration of the Order to the extent it enjoined the taking of depositions of three particular absent class members, claiming that the Court "fail[ed] to address four arguments that show why [that] testimony...is relevant to its defense." [Motion, at 5]. But as it concedes two sentences later, the Bank made none of those four arguments in its opposition to Customer Class Plaintiffs' motion for a protective order, apparently because, in its view, "[t]he relevance of the disputed depositions...was not primarily at issue" and it wished to devote the pages available

to it to other subjects. [Id]; as set forth herein. The Bank's motion for clarification and partial reconsideration [12-md-2335, DI 516] is granted to the extent that the Order is clarified as stated in paragraph 1, above, and denied in all other respects. Moreover, even if the Court were disposed to reconsider the Order insofar as it relates to the three depositions discussed in paragraph 2, above, it would adhere to its prior ruling. (Signed by Judge Lewis A. Kaplan on 11/6/2014) Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al, pursuant to instructions from Chambers. (mro) (Entered: 11/06/2014)

11/06/2014 246 ORDER ON MOTION FOR PROTECTIVE ORDER denying 122 Motion for Protective Order in 11-CV-6969-LAK. In all the circumstances, the parties are directed to meet and confer in an attempt to work out a mutually acceptable resolution of their remaining differences, aided by the Court's rejection of the movants' principal argument. At or before 3 p.m. on November 13, 2014, the parties are to submit a stipulation reflecting full agreement for the Court's consideration or, failing that, a joint letter setting forth the points upon which they have agreed and their respective positions as to all unresolved issues. Absent resolution of all matters, the Court will hold a conference on November 14, 2014 at 9:30 a.m. in an effort to bring closure to this unfortunate situation. Accordingly, the October 22, 2014 motion for a protective order [11-cv-6969, DI 122], which was filed partially under seal, is denied in all respects. The Court further declines to stay the depositions previously scheduled for dates through November 14, 2014. (Signed by Judge Lewis A. Kaplan on 11/6/2014) Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al, pursuant to instructions from Chambers. (mro) (Entered: 11/06/2014)

11/06/2014 Set/Reset Hearings: Status Conference set for 11/14/2014 at 09:30 AM before Judge Lewis A. Kaplan. Associated Cases: 1:12-md-02335-LAK-JLC et al.(mro) (Entered: 11/06/2014)

01/12/2015 247 MOTION to Strike the Expert Report of David DeRosa . Document filed by The Bank of New York Mellon. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(Figel, Reid) (Entered: 01/12/2015)

01/14/2015 248 RESPONSE in Opposition to Motion re: (217 in 1:12-cv-03066-LAK, 554 in 1:12-md-02335-LAK-JLC, 142 in 1:12-cv-09248-LAK, 247 in 1:11-cv-09175-LAK, 137 in 1:12-cv-03470-LAK, 77 in 1:14-cv-05496-LAK, 235 in 1:12-cv-03067-LAK) MOTION to Strike the Expert Report of David DeRosa . . Document filed by International union of operating engineers, stationary engineers local 39 pension trust fund, Ohio Police & Fire Pension Fund, School Employees Retirement System of Ohio, Southeastern Pennsylvania Transportation Authority, Carl Carver, Landol D. Fletcher, Louisiana Municipal Police Employees' Retirement System. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(Chiplock, Daniel) (Entered: 01/14/2015)

01/15/2015 249 REPLY to Response to Motion re: (217 in 1:12-cv-03066-LAK, 554 in 1:12-md-02335-LAK-JLC, 142 in 1:12-cv-09248-LAK, 199 in 1:12-cv-03064-LAK, 137 in 1:12-cv-03470-LAK, 77 in 1:14-cv-05496-LAK, 116 in 1:12-cv-03069-LAK, 65 in 1:11-cv-08810-LAK, 94 in 1:11-cv-08471-LAK, 95 in 1:12-cv-03068-LAK, 111 in 1:12-cv-08990-LAK, 235 in 1:12-cv-03067-LAK, 247 in 1:11-cv-09175-LAK) MOTION to Strike the Expert Report of David DeRosa . . Document filed by The

Bank of New York Mellon. Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(Figel, Reid) (Entered: 01/15/2015)

01/21/2015 250 STIPULATION AND ORDER: The undersigned parties in the above referenced matters hereby stipulate and agree that all deadlines set forth in the Amended Scheduling Order entered on July 11, 2014 are extended by twenty eight (28) days. (Signed by Judge Lewis A. Kaplan on 1/21/2015) Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al, Pursuant to instructions from Chambers. (mro) (Entered: 01/21/2015)

02/06/2015 251 MOTION for Ian C. Richardson to Withdraw as Attorney . Document filed by Mellon Bank N.A., The Bank of New York Mellon, The Bank of New York Mellon Corporation, BNY Mellon, National Association, Mellon Bank, N.A., The Bank of New York, Bank of New York Mellon Corporation, Bank of New York Mellon Trust Company, N.A., The Bank of New York Company, Inc., The Bank of New York Mellon Trust Company National Association, Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack.Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(Richardson, Ian) (Entered: 02/06/2015)

02/06/2015 252 DECLARATION of Ian C. Richardson in Support re: (141 in 1:12-cv-03470-LAK, 221 in 1:12-cv-03066-LAK, 239 in 1:12-cv-03067-LAK, 251 in 1:11-cv-09175-LAK, 146 in 1:12-cv-09248-LAK, 202 in 1:12-cv-03064-LAK, 561 in 1:12-md-02335-LAK-JLC, 114 in 1:12-cv-08990-LAK) MOTION for Ian C. Richardson to Withdraw as Attorney .. Document filed by Mellon Bank N.A., The Bank of New York Mellon, The Bank of New York Mellon Corporation, BNY Mellon, National Association, Mellon Bank, N.A., The Bank of New York, Bank of New York Mellon Corporation, Bank of New York Mellon Trust Company, N.A., The Bank of New York Company, Inc., The Bank of New York Mellon Trust Company National Association, Ruth E. Bruch, Nicholas M. Donofrio, Steven G. Elliott, Thomas P. Gibbons, Gerald L. Hassell, Michael K. Hughey, Edmund F. Kelly, Robert P. Kelly, Richard J. Kogan, Michael J. Kowalski, John A. Luke, Jr, Robert Mehrabian, Mark A. Nordenberg, John A. Park, Catherine A. Rein, William C. Richardson, Samuel C. Scott, III, John P. Surma, The Bank of New York Mellon Corporation, Bruce W. Van Saun, Wesley W. Von Schack. Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(Richardson, Ian) (Entered: 02/06/2015)

02/13/2015 253 MEMO ENDORSEMENT granting (251) Motion to Withdraw as Attorney in case 1:11-cv-09175-LAK; granting (561) Motion to Withdraw as Attorney in case 1:12-md-02335-LAK-JLC; granting (221) Motion to Withdraw as Attorney in case 1:12-cv-03066-LAK; granting (202) Motion to Withdraw as Attorney in case 1:12-cv-03064-LAK; granting (141) Motion to Withdraw as Attorney in case 1:12-cv-03470-LAK; granting (114) Motion to Withdraw as Attorney in case 1:12-cv-08990-LAK; granting (146) Motion to Withdraw as Attorney. ENDORSEMENT: SO ORDERED. Attorney Ian Craig Richardson terminated. (Signed by Judge Lewis A. Kaplan on 2/13/2015) Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al. (mro) Modified on 2/13/2015 (mro). (Entered: 02/13/2015)

02/20/2015 254 ORDER: It is hereby ORDERED that all discovery is stayed for 28 days (from February 17, 2015 until March 17, 2015), and all pre-trial deadlines as set forth in the Amended Scheduling Order entered on July 11, 2014, as modified by the Stipulation and Order entered on January 21, 2015, are extended by 28 days. (Signed by Judge Lewis A. Kaplan on 2/20/2015) Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al., Pursuant to instructions from Chambers. (mro) Modified on 2/23/2015 (mro). (Entered: 02/20/2015)

03/23/2015 255 STIPULATION AND ORDER REGARDING OUTSTANDING DEPOSITIONS: IT IS HEREBY STIPULATED AND AGREED, by and among the parties hereto, through their undersigned counsel, as follows: For the convenience of the above-mentioned witnesses, the depositions of Capital Guardian, Dr. Kothari, Ms. Watt and SSGA may be conducted within a period of up to two weeks after the close of fact and class certification discovery in the above-captioned action., as per Chambers. (Signed by Judge Lewis A. Kaplan on 3/23/2015) Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al.(mro) (Entered: 03/23/2015)

03/23/2015 256 STIPULATION AND ORDER OF VOLUNTARY DISMISSAL WITH PREJUDICE OF CLAIMS ASSERTED BY POMPANO BEACH GENERAL EMPLOYEE RETIREMENT FUND AND LABORERS' LOCAL 235 BENEFIT FUND: IT IS HEREBY STIPULATED AND AGREED, by and among the parties hereto, through their undersigned counsel, that: The claims asserted by Plaintiffs Pompano and Local 235 in the Consolidated Class Action Complaint, including Pompano's and Local 235's Section 11, 12(a)(2) and 15 claims under the Securities Act of 1933 against Defendants BNYM, Kelly, Gibbons, Park, the Director Defendants and the Underwriter Defendants (Counts Three, Four, and Five of the Consolidated Class Action Complaint) are hereby DISMISSED WITH PREJUDICE, with each side to bear its own costs and attorneys' fees; and 2. Nothing in this Stipulation and Order has dismissed, or shall be deemed to have impacted in any way, the claims of Lead Plaintiff or the putative class brought pursuant to the Securities Exchange Act of 1934 in this consolidated securities action (Counts One an Two of the Consolidated Class Action Complaint). (Signed by Judge Lewis A. Kaplan on 3/23/2015) Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al., as per Chambers. (mro) (Entered: 03/23/2015)

03/23/2015 257 STIPULATION AND ORDER OF WITHDRAWAL OF CERTAIN EXPERT REPORTS: IT IS HEREBY STIPULATED AND AGREED, by and among the parties hereto, through their undersigned counsel, that: 1. Defendants withdraw the Bekaert, Cornell, Macey and Mandell expert reports submitted on December 5, 2014 from the Securities Action; 2. Lead Plaintiff withdraws the DeRosa expert report submitted on January 9, 2014 from the Securities Action; 3. The parties will not rely on or refer to the previously-submitted expert reports from Bekaert, Cornell, Macey, Mandell and DeRosa, or the opinions contained therein, in connection with the determination of class certification in the Securities Action. 4. The parties reserve all rights to submit new expert reports from Bekaert, Cornell, Macey, Mandell and DeRosa in connection with merits expert discovery in the Securities Action. 5. Nothing in this Stipulation and Order impacts or affects in any way the expert report of Professor S.P. Kothari submitted by Lead Plaintiff on November 3, 2014 in connection with class certification in the Securities Action. (Signed by Judge Lewis A. Kaplan on 3/23/2015) Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al., as per Chambers. (mro) (Entered: 03/23/2015)

03/27/2015 258 MOTION to Certify Class . Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re.Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Browne, John) (Entered: 03/27/2015)

03/27/2015 259 MEMORANDUM OF LAW in Support re: (258 in 1:11-cv-09175-LAK) MOTION to Certify Class . . Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Browne, John) (Entered: 03/27/2015)

03/27/2015 260 DECLARATION of John C. Browne in Support re: (258 in 1:11-cv-09175-LAK) MOTION to Certify Class .. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Attachments: # 1 Exhibit Filed Under Seal)Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Browne, John) (Entered: 03/27/2015)

04/27/2015 261 ORDER denying (247) Motion for to Strike the Expert Report of David DeRosa in case 1:11-cv-09175-LAK; denying (554) Motion for to Strike the Expert Report of David DeRosa in case 1:12-md-02335-LAK-JLC; denying (217) Motion for to Strike the Expert Report of David DeRosa in case 1:12-cv-03066-LAK; denying (235) Motion for to Strike the Expert Report of David DeRosa in case 1:12-cv-03067-LAK; denying (137) Motion for to Strike the Expert Report of David DeRosa in case 1:12-cv-03470-LAK; denying (142) Motion for to Strike the Expert Report of David DeRosa in case 1:12-cv-09248-LAK; denying (77) Motion for to Strike the Expert Report of David DeRosa in case 1:14-cv-05496-LAK. Before the Court is a motion by The Bank of New York Mellon to strike the expert report of David DeRosa [12-md-2335, DI 554]. The motion is pending in all of the above-captioned cases. The parties have agreed, subject to approval by the Court, to settle all of the above-captioned cases save 11 Civ. 9175. As to those cases, then, the motion to strike the expert report is denied without prejudice to renewal by filing a notice of renewal within 30 days of entry of any order disapproving the settlement. With respect to 11 Civ. 9175, the parties agreed to withdraw, among other things, the DeRosa expert report, and the Court signed the parties' Stipulation and Order of Withdrawal of Certain Expert Reports on March 23, 2015 [12-md-2335, DI 576]. As to 11 Civ. 9175, then, the Bank's motion to strike is denied as moot. The Clerk shall close DI 554 in 12-md-2335. The Clerk shall close also: DI 217 in 12-cv-3066, DI 235 in 12-cv-3067, DI 137 in 12-cv-3470, DI 247 in 11-cv-9175, DI 142 in 12-cv-9248, DI 77 in 14-cv-5496. (Signed by Judge Lewis A. Kaplan on 4/27/2015) Filed In Associated Cases: 1:12-md-02335-LAK-JLC et al. (mro) (Entered: 04/27/2015)

04/27/2015 262 MEMORANDUM OF LAW in Opposition re: (258 in 1:11-cv-09175-LAK, 586 in 1:12-md-02335-LAK-JLC) MOTION to Certify Class . . Document filed by BNY Mellon, Thomas P. Gibbons, Michael K. Hughey, Robert P. Kelly, John A. Park, Jorge Rodriguez, The Bank of New York Mellon Corporation, Bruce W. Van Saun. Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Figel, Reid) (Entered: 04/27/2015)

04/27/2015 263 DECLARATION of Andrew C. Shen in Opposition re: (586 in 1:12-md-02335-LAK-JLC, 258 in 1:11-cv-09175-LAK) MOTION to Certify Class .. Document filed by BNY Mellon, Thomas P. Gibbons, Michael K. Hughey, Robert P. Kelly, John A. Park, Jorge Rodriguez, The Bank of New York Mellon Corporation, Bruce W. Van Saun. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8, # 9 Exhibit 9, # 10 Exhibit 10, # 11 Exhibit 11, # 12 Exhibit 12, # 13 Exhibit 13, # 14 Exhibit 14, # 15 Exhibit 15, # 16 Exhibit 16, # 17 Exhibit 17, # 18 Exhibit 18, # 19 Exhibit 19, # 20 Exhibit 20, # 21 Exhibit 21, # 22 Exhibit 22, # 23 Exhibit 23, # 24 Exhibit 24, # 25 Exhibit 25, # 26 Exhibit 26, # 27 Exhibit 27, # 28 Exhibit 28, # 29 Exhibit 29, # 30 Exhibit 30, # 31 Exhibit 31, # 32 Exhibit 32, # 33 Exhibit 33, # 34 Exhibit 34, # 35 Exhibit 35, # 36 Exhibit 36, # 37 Exhibit 37, # 38 Exhibit 38, # 39 Exhibit 39, # 40 Exhibit 40, # 41 Exhibit 41, # 42 Exhibit 42, # 43 Exhibit 43, # 44 Exhibit 44, # 45 Exhibit 45, # 46 Exhibit 46, # 47 Exhibit 47, # 48 Exhibit 48, # 49 Exhibit 49, # 50 Exhibit 50, # 51 Exhibit 51, # 52 Exhibit 52, # 53 Exhibit 53, # 54 Exhibit 54, # 55 Exhibit 55, # 56 Exhibit 56, # 57 Exhibit 57, # 58 Exhibit 58, # 59 Exhibit 59, # 60 Exhibit 60, # 61 Exhibit 61, # 62 Exhibit 62, # 63 Exhibit 63, # 64 Exhibit 64, # 65 Exhibit 65, # 66 Exhibit 66, # 67 Exhibit 67, # 68 Exhibit 68, # 69 Exhibit 69, # 70 Exhibit 70, # 71 Exhibit 71, # 72 Exhibit 72, # 73 Exhibit 73, # 74 Exhibit 74, # 75 Exhibit 75, # 76 Exhibit 76, # 77 Exhibit 77, # 78 Exhibit 78, # 79 Exhibit 79, # 80 Exhibit 80, # 81 Exhibit 81, # 82 Exhibit 82, # 83 Exhibit 83, # 84 Exhibit 84, # 85 Exhibit 85, # 86 Exhibit 86, # 87 Exhibit 87, # 88 Exhibit 88, # 89 Exhibit 89, # 90 Exhibit 90)Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Figel, Reid) (Entered: 04/27/2015)

04/27/2015 264 DECLARATION of Jeremy S. Newman in Opposition re: (258 in 1:11-cv-09175-LAK, 586 in 1:12-md-02335-LAK-JLC) MOTION to Certify Class .. Document filed by BNY Mellon, Thomas P. Gibbons, Michael K. Hughey, Robert P. Kelly, John A. Park, Jorge Rodriguez, The Bank of New York Mellon Corporation, Bruce W. Van Saun. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit 1, # 5 Exhibit 2, # 6 Exhibit 3, # 7 Exhibit 4, # 8 Exhibit 5, # 9 Exhibit 6, # 10 Exhibit 7, # 11 Exhibit 8, # 12 Exhibit 9, # 13 Exhibit 10, # 14 Exhibit 11, # 15 Exhibit 12, # 16 Exhibit 13, # 17 Errata 14, # 18 Exhibit 15, # 19 Exhibit 16, # 20 Exhibit 17, # 21 Exhibit 18, # 22 Exhibit 19, # 23 Exhibit 20, # 24 Exhibit 21, # 25 Exhibit 22, # 26 Exhibit 23, # 27 Exhibit 24, # 28 Exhibit 25, # 29 Exhibit 26, # 30 Exhibit 27, # 31 Exhibit 28, # 32 Exhibit 29, # 33 Exhibit 30, # 34 Exhibit 31)Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Figel, Reid) (Entered: 04/27/2015)

04/30/2015 265 ORDER granting (593) Motion to De-Designate Documents BNYM marked as confidential in case 1:12-md-02335-LAK-JLC. This is a securities class action brought on behalf of persons who purchased Bank of New York Mellon ("BNYM") common stock during part of the period 2008 through 2011. The claim, which in substantial part underlies also a civil action by the United States as well as actions against BNYM by customers, turns in major part on the assertion that BNYM's standing instruction foreign exchange ("FX") service was marketed as providing its customers with "best execution" for FX transactions when, in truth and in fact, it did not-it provided BNYM with exceptional profits, allegedly at customer expense. The government and customer cases, subject in some cases to court approval, have been settled for more than $700 million in the course of which BNYM in substance admitted the assertion regarding the standing instruction service and "best

execution." This case, which claims that BNYM common stock purchasers were misled by BNYM's actions, remains. It is before the Court on a motion by the Lead Plaintiff to eliminate confidentiality protection for a handful of the millions of documents that BNYM designated as confidential pursuant to the Confidentiality Order entered in this action on June 20, 2012 (DI 104). The eight documents in question consist of emails between and among BNYM personnel concerning a variety of matters relating to the standing instruction program and the pricing of FX services thereunder. The Court has reviewed each of them. Some or all probably are embarrassing to BNYM. But they are old-the earliest dates in part to 1997 and the most recent to 2010-and, from a competitive point of view, appear quite stale in light of the events of the last several years relating to the matters here in controversy. Parts of two of the emails in question have been made public by one or another state attorney general. One comments tersely on a Reuters news story concerning another bank. All appear to relate to the fraud alleged in this case and, in some respects at least, admitted in cases that are pending settlement approval proceedings. In the circumstances, the Court concludes that BNYM has not demonstrated good cause for maintaining these documents in confidence. Indeed, its arguments approach the outer limit of responsibility. Lead Plaintiff's motion to de-designate certain documents marked as confidential by BNYM [12-md-2335, DI 593] is granted in all respects. (Signed by Judge Lewis A. Kaplan on 4/30/2015) Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK (mro) (Entered: 04/30/2015)

05/12/2015 Minute Entry for proceedings held before Judge Lewis A. Kaplan: Settlement Conference held on 5/12/2015. (Mohan, Andrew) (Entered: 05/12/2015)

06/23/2015 266 MOTION to Approve (I) CERTIFICATION OF THE SETTLEMENT CLASS, (II) AUTHORIZATION TO NOTIFY THE SETTLEMENT CLASS OF A PROPOSED SETTLEMENT, AND (III) SCHEDULING A SETTLEMENT HEARING . Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2)Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Browne, John) (Entered: 06/23/2015)

06/23/2015 267 MEMORANDUM OF LAW in Support re: (266 in 1:11-cv-09175-LAK) MOTION to Approve (I) CERTIFICATION OF THE SETTLEMENT CLASS, (II) AUTHORIZATION TO NOTIFY THE SETTLEMENT CLASS OF A PROPOSED SETTLEMENT, AND (III) SCHEDULING A SETTLEMENT HEARING . . Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Browne, John) (Entered: 06/23/2015)

07/14/2015 268 ORDER granting 239 Motion for Whitney Corinne Cloud to Appear Pro Hac Vice (HEREBY ORDERED by Judge Lewis A. Kaplan)(Text Only Order) (Kaplan, Lewis) (Entered: 07/14/2015)

07/14/2015 269 ORDER terminating 237 Motion for Protective Order. (HEREBY ORDERED by Judge Lewis A. Kaplan)(Text Only Order) (Kaplan, Lewis) (Entered: 07/14/2015)

07/21/2015 Set/Reset Hearings: Settlement Conference set for 10/20/2015 at 10:00 AM in Courtroom 21B, 500 Pearl Street, New York, NY 10007 before Judge Lewis A. Kaplan. Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(mro) (Entered: 07/23/2015)

07/23/2015 270 NOTICE ORDER CONCERNING PROPOSED SETTLEMENT granting (266) Motion to Approve Certification of Class Settlement in case 1:11-cv-09175-LAK; granting (611) Motion to Approve Certification of Class Settlement in case 1:12-md-02335-LAK-JLC. IT IS HEREBY ORDERED: The Court finds, upon a preliminary evaluation, that for purposes of the Settlement only the requirements of Rules 23(a) and (b)(3) of the Federal Rules of Civil Procedure have been met and certifies a Settlement Class consisting of all persons and entities who or which purchased BNYM common stock during the period beginning on February 28, 2008 through and including October 4, 2011 (the "Settlement Class Period") and were damaged thereby. Excluded from the Settlement Class are (i) Defendants; (ii) BNYM's subsidiaries and affiliates in which BNYM has a majority ownership interest; (iii) any person who is, or was at any time during the Settlement Class Period, an Officer or director of BNYM; (iv) the members of the Immediate Family of each of the Individual Defendants or of any other person who is, or was at any time during the Settlement Class Period, an Officer or director of BNYM; (v) the Former Underwriter Defendants and their respective Officers and directors at any time during the Settlement Class Period or currently; (vi) the members of the Immediate Families of each person who is, or was at any time during the Settlement Class Period, an Officer or director of any of the Former Underwriter Defendants; and (vii) any entity in which any of the foregoing, at any time during the Settlement Class Period, held or as of May 21, 2015 held a majority interest; provided, however, that any Investment Vehicle (as defined in the Stipulation) shall not be deemed an excluded person by definition. Also excluded from the Settlement Class arc any persons and entities who or which exclude themselves by submitting a request for exclusion that is accepted by the Court. The Court will hold a settlement hearing (the "Settlement Hearing") on Oct. 20, 2015 at 10:00 a.m. in Courtroom 21B of the Daniel Patrick Moynihan United States Courthouse, 500 Pearl Street, New York, NY 10007 for the purposes listed herein. Until otherwise ordered by the Court, the Court stays all proceedings in the Action other than proceedings necessary to carry out or enforce the terms and conditions of the Stipulation. Pending final determination of whether the Settlement should be approved, the Court bars and enjoins Lead Plaintiff: and all other members of the Settlement Class, from commencing or prosecuting any and all of the Released Plaintiffs' Claims against each and all of the Defendants' Releases. The Clerk shall terminate DI 266 in 11-cv-9175 and DI 611 in 12-MD-2335. (As further set forth in this Order.) (Signed by Judge Lewis A. Kaplan on 7/23/2015) Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK (mro) (Entered: 07/23/2015)

07/23/2015 271 ORDER denying (258) Motion to Certify Class in case 1:11-cv-09175-LAK; denying (586) Motion to Certify Class in case 1:12-md-02335-LAK-JLC. The parties have agreed, subject to approval by the Court, to settle this case, and the Court has scheduled a settlement hearing for October 20, 2015 at 10 a.m. to determine, among other things, whether the proposed settlement is fair, reasonable, and adequate. In light of the pending settlement, lead plaintiff's March 27, 2015 motion for class certification and appointment of class representative and class counsel [12-md-2335, DI 586; l l-cv-9175, DI 258] is denied without prejudice to

renewal by filing a notice of renewal within 30 days of entry of any order disapproving the settlement. (Signed by Judge Lewis A. Kaplan on 7/23/2015) Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK (mro) (Entered: 07/23/2015)

09/15/2015 272 MOTION to Approve CLASS ACTION SETTLEMENT AND PLAN OF ALLOCATION . Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re.Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Browne, John) (Entered: 09/15/2015)

09/15/2015 273 MEMORANDUM OF LAW in Support re: (272 in 1:11-cv-09175-LAK) MOTION to Approve CLASS ACTION SETTLEMENT AND PLAN OF ALLOCATION . . Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Browne, John) (Entered: 09/15/2015)

09/15/2015 274 MOTION for Attorney Fees AND REIMBURSEMENT OF LITIGATION EXPENSES. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re.Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Browne, John) (Entered: 09/15/2015)

09/15/2015 275 MEMORANDUM OF LAW in Support re: (274 in 1:11-cv-09175-LAK) MOTION for Attorney Fees AND REIMBURSEMENT OF LITIGATION EXPENSES. . Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Browne, John) (Entered: 09/15/2015)

09/15/2015 276 DECLARATION of John C. Browne in Support re: (272 in 1:11-cv-09175-LAK) MOTION to Approve CLASS ACTION SETTLEMENT AND PLAN OF ALLOCATION ., (274 in 1:11-cv-09175-LAK) MOTION for Attorney Fees AND REIMBURSEMENT OF LITIGATION EXPENSES.. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 4A, # 6 Exhibit 4B, # 7 Exhibit 4C, # 8 Exhibit 5, # 9 Exhibit 6, # 10 Exhibit 7, # 11 Exhibit 8, # 12 Exhibit 9, # 13 Exhibit 10, # 14 Exhibit 11, # 15 Exhibit 12)Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Browne, John) (Entered: 09/15/2015)

10/13/2015 277 REPLY MEMORANDUM OF LAW in Support re: (272 in 1:11-cv-09175-LAK) MOTION to Approve CLASS ACTION SETTLEMENT AND PLAN OF ALLOCATION ., (274 in 1:11-cv-09175-LAK) MOTION for Attorney Fees AND REIMBURSEMENT OF LITIGATION EXPENSES. . Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common

School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Browne, John) (Entered: 10/13/2015)

10/13/2015 278 DECLARATION of John C. Browne in Support re: (272 in 1:11-cv-09175-LAK) MOTION to Approve CLASS ACTION SETTLEMENT AND PLAN OF ALLOCATION ., (274 in 1:11-cv-09175-LAK) MOTION for Attorney Fees AND REIMBURSEMENT OF LITIGATION EXPENSES.. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Browne, John) (Entered: 10/13/2015)

10/13/2015 279 CERTIFICATE OF SERVICE. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Browne, John) (Entered: 10/13/2015)

10/20/2015 280 ORDER APPROVING PLAN OF ALLOCATION OF NET SETTLEMENT FUND granting (272) Motion to Approve in case 1:11-cv-09175-LAK; granting (629) Motion to Approve in case 1:12-md-02335-LAK-JLC. IT IS HEREBY ORDERED THAT: This order approving the proposed Plan of Allocation incorporate by reference the definitions in the Stipulation and Agreement of Settlement June 23, 2015 (ECF No. 611-1) as modified by the Judgement dated Oct. 20, 2015 (the "Stipulation") and all terms not otherwise defined herein shall have the same meanings as set forth in the Stipulation. 2. The Court has jurisdiction to enter this Order approving the proposed Plan of Allocation, and over the subject matter of the Action and all parties to the Action, including all Settlement Class Members. 3. Notice of Lead Plaintiff's motion for approval of the proposed Plan of Allocation was given to all Settlement Class Members who could be identified with reasonable effort. The form and method of notifying the Settlement Class of the motion for approval of the proposed Plan of Allocation satisfied the requirements of Rule 23 of the Federal Rules of Civil Procedure, the Private Securities Litigation Reform Act of 1995 (15 U.S.C. § 78u-4(a)(7)), due process, and all other applicable law and rules, constituted the best notice practicable under the circumstances, and constituted due and sufficient notice to all persons and entities entitled thereto. 4. Copies of the Notice, which included the Plan of Allocation, were mailed to over 957,000 potential Settlement Class Members and nominees. One objection to the Plan of Allocation was received, which the Court has considered and found to be without merit. 5. The Court hereby finds and concludes that the formula for the calculation of the claims of Claimants as set forth in the Plan of Allocation mailed to Settlement Class Members provides a fair and reasonable basis upon which to allocate the proceeds of the Net Settlement Fund among Settlement Class Members with due consideration having been given to administrative convenience and necessity. 6. The Court hereby finds and concludes that the Plan of Allocation is, in all respects, fair and reasonable to the Settlement Class. Accordingly, the Court hereby approves the Plan of Allocation proposed by Lead Plaintiff, provided, however, that nothing herein approves any attorneys' fees or expense reimbursement, as to which decision is reserved. 7. There is no just reason for delay in the entry of this Order, and

immediate entry by the Clerk of the Court is expressly directed. (Signed by Judge Lewis A. Kaplan on 10/20/2015) Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK (mro) (Entered: 10/20/2015)

10/20/2015 281 JUDGMENT APPROVING CLASS ACTION SETTLEMENT: WHEREAS, (a) Lead Plaintiff the State of Oregon, by and through the Oregon State Treasurer on behalf of the Common School Fund and, together with the Oregon Public Employee Retirement Board on behalf of the Oregon Public Employee Retirement Fund ("Lead Plaintiff" or "Oregon"), on behalf of itself and the Settlement Class (defined below), and (b) defendants The Bank of New York Mellon Corporation ("BNYM"), Robert P. Kelly, Bruce W. Yan Saun, Thomas P. Gibbons, Jorge Rodriguez, Michael K. Hughey, and John A. Park (collectively, the "Individual Defendants," and, together with BNYM, the "Defendants," and, together with Lead Plaintiff, the "Parties") have entered into a Stipulation and Agreement of Settlement dated June 23, 2015 (the "Stipulation"), that provides for a complete dismissal with prejudice of the claims asserted against Defendants in the Action on the terms and conditions set forth in the Stipulation. subject to the approval of this Court (the "Settlement"); IT IS HEREBY ORDERED, ADJUDGED AND DECREED: The Court has jurisdiction over the subject matter of the Action, and all matters relating to the Settlement, as well as personal jurisdiction over all of the Parties and each of the Settlement Class Members. This Judgment incorporates and makes a part hereof: (a) the Stipulation filed with the Court on June 23, 2015; and (b) the Notice and the Summary Notice, both of which were filed with the Court on September 15, 2015. The Court hereby affirms its preliminary determinations in the Notice Order and finally certifies, for the purposes of the Settlement only, the Action as a class action pursuant to Rules 23(a) and (b)(3) of the Federal Rules of Civil Procedure on behalf of the Settlement Class consisting of all persons and entities who or which purchased BNYM common stock during the period beginning on February 28, 2008 through and including October 4, 2011 (the "Settlement Class Period") and were damaged thereby. Pursuant to Rule 23 of the Federal Rules of Civil Procedure, and for the purposes of the Settlement only, the Court hereby affirms its preliminary determinations in the Notice Order and finally certifies Lead Plaintiff as Class Representative for the Settlement Class and appoints Lead Counsel as Class Counsel for the Settlement Class. Lead Plaintiff and Lead Counsel have fairly and adequately represented the Settlement Class both in terms of litigating the Action and for purposes of entering into and implementing the Settlement and have satisfied the requirements of Federal Rules of Civil Procedure 23(a)(4) and 23(g), respectively. The Action and all of the claims asserted against Defendants in the Action by Lead Plaintiff and the other Settlement Class Members are hereby dismissed with prejudice. The Parties shall bear their own costs and expenses, except as otherwise expressly provided in the Stipulation. The terms of the Stipulation and of this Judgment shall be forever binding on Defendants. Lead Plaintiff and all other Settlement Class Members (regardless of whether or not any individual Settlement Class Member submits a Proof of Claim Form or seeks or obtains a distribution from the Net Settlement Fund), as well as their respective successors and assigns. The persons and entities listed on Exhibit 1 hereto are excluded from the Settlement Class pursuant to request and arc not bound by the terms of the Stipulation or this Judgment. Pursuant to, and in accordance with, Rule 23 of the Federal Rules of Civil Procedure, and subject to the proviso hereinafter set forth, this Court hereby fully and finally approves the Settlement set forth in the Stipulation in all respects (including, without limitation:

the amount of the Settlement; the Releases provided for therein, including the release of the Released Plaintiffs' Claims (as defined in paragraph 9(a) below) as against the Defendants' Releasees (as defined in paragraph 9(a) below); and the dismissal with prejudice of the claims asserted against Defendants in the Action), provided, however, that the Court specifically disapproves the first sentence of paragraph 17 of the Stipulation and strikes it therefrom. The Court finds that the Settlement, as modified by the foregoing sentence and proviso, is, in all respects, fair, reasonable and adequate to the Settlement Class. There is no just reason to delay the entry of this Judgment as a final judgment in this Action. Accordingly, the Clerk of the Court is directed to immediately enter this final judgment in this Action. (As further set forth in this Judgment.) (Signed by Judge Lewis A. Kaplan on 10/20/2015) (Attachments: # 1 Right to appeal attachment part 1, # 2 Right to appeal attachment part 2)Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(mro) (Entered: 10/20/2015)

10/20/2015 Terminate Transcript Deadlines (mro) (Entered: 10/20/2015)

10/26/2015 282 LETTER addressed to Judge Lewis A. Kaplan from Max W. Berger dated 10/26/2015 re: Supplemental Submission in Support of Motion for Attorneys' Fees. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6)Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Browne, John) (Entered: 10/26/2015)

10/30/2015 283 LETTER addressed to Judge Lewis A. Kaplan from John C. Brown dated 10/27/2015 re: Corrected exhibit. (kgo) (Entered: 10/30/2015)

11/17/2015 284 ORDER: The attention of Plaintiffs' Lead Counsel is invited to the request for exclusion on behalf of Universidad Centroamericana Jose Simeon Cafias dated November 3, 2015. (Signed by Judge Lewis A. Kaplan on 11/17/2015) Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(mro) (Entered: 11/17/2015)

11/17/2015 285 LETTER from Andreu Oliva de La Esperanza dated 11/3/15 re: We write to inform you that we have received too late, the correspondence related to Civil Action No. Master File 12 MD 2335 (LAK), 11-CV-09175, to respond before September 29, 2015. Therefore, we ask that our exclusion request is accepted extemporaneously by the court, as indicated in paragraph number 71, section of the document which explains how to be excluded of the settlement class. Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(mro) (Entered: 11/17/2015)

11/17/2015 286 NOTICE OF CHANGE OF ADDRESS by John Christopher Browne on behalf of State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. New Address: Bernstein Litowitz Berger & Grossmann LLP, 1251 Avenue of the Americas, 44th Floor, New York, New York, 10020, 212-554-1398. Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Browne, John) (Entered: 11/17/2015)

11/17/2015 287 NOTICE OF CHANGE OF ADDRESS by Gerald H. Silk on behalf of State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. New Address: Bernstein Litowitz Berger & Grossmann LLP, 1251 Avenue of the Americas, 44th Floor, New York, New York, 10020, 212-554-1282. Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Silk, Gerald) (Entered: 11/17/2015)

11/19/2015 288 NOTICE OF CHANGE OF ADDRESS by Jeremy Patrick Robinson on behalf of State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. New Address: Bernstein Litowitz Berger & Grossmann LLP, 1251 Ave. of the Americas, 44th floor, New York, New York, 10020, 212-554-1492. Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Robinson, Jeremy) (Entered: 11/19/2015)

11/24/2015 289 LETTER addressed to Judge Lewis A. Kaplan from Max W. Berger dated 11/24/2015 re: the Court's November 17, 2015 order regarding the request for exclusion. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re.Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Browne, John) (Entered: 11/24/2015)

12/01/2015 290 MEMO ENDORSEMENT on re: 289 Letter, filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee. ENDORSEMENT: Granted. (Signed by Judge Lewis A. Kaplan on 11/30/2015) (mro) (Entered: 12/01/2015)

12/04/2015 291 MEMORANDUM OPINION ON MOTION FOR ATTORNEYS' FEES #106065 re: (631 in 1:12-md-02335-LAK-JLC) MOTION for Attorney Fees AND REIMBURSEMENT OF LITIGATION EXPENSES filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee. For the foregoing reasons, the motion to approve the requested attorneys' fees and expenses [12 MD 2335 DI 631, 11-cv-9175 DI 274] is granted. A separate order embodying this ruling will enter. (As further set forth in this Memorandum Opinion.) (Signed by Judge Lewis A. Kaplan on 12/4/2015) Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(mro) Modified on 12/15/2015 (ca). (Entered: 12/04/2015)

12/04/2015 292 ORDER AWARDING ATTORNEYS' FEES AND EXPENSES: This matter came on for hearing on October 20, 2015 (the "Settlement Hearing") on Lead Counsel's motion for an award of attorneys' fees and reimbursement of litigation expenses. The Court having considered all matters submitted to it at the Settlement Hearing and otherwise; and it appearing that notice of the Settlement Hearing substantially in the form approved by the Court was mailed to all Settlement Class Members who or which could be identified with reasonable effort, and that a summary notice of the hearing substantially in the form approved by the Court was published in the Wall Street Journal was transmitted over the PR Newswire pursuant to the specifications of the Court; the Court having rendered its Memorandum Opinion of even date; and

the Court having considered and determined the fairness and reasonableness of the award of attorneys' fees and litigation expenses requested. NOW, THEREFORE, IT IS HEREBY ORDERED THAT: 1. This Order incorporates by reference the definitions m the Stipulation and Agreement of Settlement dated June 23, 2015 (ECF No. 611-1) (the "Stipulation") and all terms not otherwise defined herein shall have the same meanings as set forth in the Stipulation. 2. The Court has jurisdiction to enter this Order and over the subject matter of the Action and all parties to the Action, including all Settlement Class Members 3. Notice of Lead Counsel's motion for attorneys' fees and reimbursement of litigation expenses was given to all Settlement Class Members who could be identified with reasonable effort. The form and method of notifying the Settlement Class of the motion for attorneys' fees and expenses satisfied the requirements of Rule 23 of the Federal Rules of Civil Procedure, the Private Securities Litigation Reform Act of 1995 (15 U.S.C. § 78u-4(a)(7)), due process, and all other applicable law and rules, constituted the best notice practicable under the circumstances, and constituted due and sufficient notice to all persons and entities entitled thereto. 4. The Court has reviewed Lead Counsel's motion for attorneys' fees and reimbursement of litigation expenses requesting an award of attorneys' fees in the amount of $45 million, which represents a lodestar multiplier of approximately.96 of Plaintiff's Counsel's aggregate lodestar. Plaintiff's Counsel also seek reimbursement of $1,616,575.69 in total litigation expenses. The Lead Plaintiff is not seeking any PSLRA service award or any reimbursement of expenses. 5. Plaintiff's counsel are hereby awarded attorneys' fees in the aggregate amount of $45 million, and reimbursement of out-of-pocket expenses in the aggregate amount of $1,616,575.69. (As further set forth in this Order.) (Signed by Judge Lewis A. Kaplan on 12/4/2015) Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(mro) (Entered: 12/04/2015)

12/28/2015 293 NOTICE of Withdrawal of Counsel: Scott A. Shorr. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Ketterling, Keith) (Entered: 12/28/2015)

12/28/2016 294 MOTION to Approve Distribution Plan . Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Attachments: # 1 Text of Proposed Order)Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Browne, John) (Entered: 12/28/2016)

12/28/2016 295 MEMORANDUM OF LAW in Support re: (294 in 1:11-cv-09175-LAK) MOTION to Approve Distribution Plan . . Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Browne, John) (Entered: 12/28/2016)

12/28/2016 296 DECLARATION of Stephanie A. Thurin in Support re: (294 in 1:11-cv-09175-LAK) MOTION to Approve Distribution Plan .. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re. (Attachments: # 1 Exhibit A, # 2 Exhibit B and B-1 to

B-5, # 3 Exhibit B-6 to B-10, # 4 Exhibit C-1, # 5 Exhibit C-2, # 6 Exhibit C-3 Part 1, # 7 Exhibit C-3 Part 2, # 8 Exhibit D)Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Browne, John) (Entered: 12/28/2016)

01/17/2017 297 MEMO ENDORSEMENT granting (674) Motion to Approve Distribution Plan in case 1:12-md-02335-LAK-JLC. ENDORSEMENT: Granted. (Signed by Judge Lewis A. Kaplan on 1/16/2017) Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK (cla) (Entered: 01/17/2017)

02/10/2017 298 LETTER addressed to Judge Lewis A. Kaplan from John C. Browne dated 2/10/2017 re: Distribution Motion. Document filed by State of Oregon By and Through the Oregon State Treasurer on Behalf of the Common School Fund and, Together with the Oregon Public Employee Retirement Board, on Behalf of the Oregon Public Employee Re.Filed In Associated Cases: 1:12-md-02335-LAK-JLC, 1:11-cv-09175-LAK(Browne, John) (Entered: 02/10/2017)

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