NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a hearing proceeding held on 2/16/17 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: 03/17/2017)
TRANSCRIPT of Proceedings re: hearing held on 2/16/2017 before Judge Lewis A. Kaplan. Court Reporter/Transcriber: Steven Greenblum, (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 4/7/2017. Redacted Transcript Deadline set for 4/17/2017. Release of Transcript Restriction set for 6/15/2017.(McGuirk, Kelly) (Entered: 03/17/2017)
ORDER APPROVING CLASS-ACTION SETTLEMENT: The Court grants final certification of the Class solely for purposes of the Settlement pursuant to Fed. R. Civ. P. 23(b)(3). The "Class" (consisting of "Class Members") is defined to consist of all persons and entities (or legal beneficiaries) who purchased or otherwise acquired FSC common stock during the period from July 7, 2014 through February 6, 2015, inclusive (the "Class Period"). Solely for purposes of the proposed Settlement, the Court hereby (i) confirms its appointment of Oklahoma Police Pension and Retirement System as the class representative and (ii) confirms its appointment of Labaton Sucharow LLP as class counsel pursuant to Fed. R. Civ. P. 23(g). If the Settlement does not become Final in accordance with the terms of the Settlement Agreement, or is terminated pursuant to the Settlement Agreement (including Section XII, XIII, and/or XIV), this Order and the Judgment shall be rendered null and void to the extent provided by and in accordance with the Settlement Agreement. There is no just reason to delay the entry of this Order and the Judgment, and immediate entry by the Clerk of the Court is expressly directed pursuant to Rule 54(b) of the Federal Rules of Civil Procedure. (Signed by Judge Lewis A. Kaplan on 2/17/2017) Filed In Associated Cases: 1:15-cv-07759-LAK, 1:15-cv-08908-LAK, 1:16-cv-00088-LAK(cla) Modified on 2/23/2017 (cla). (Entered: 02/21/2017)
ORDER APPROVING PLAN OF ALLOCATION: IT IS HEREBY ORDERED, ADJUDGED AND DECREED that: 1. Pursuant to and in compliance with Rule 23 of the Federal Rules of Civil Procedure, this Court hereby finds and concludes that due and adequate notice was directed to persons and entities who are Class Members, advising them of the proposed Plan of Allocation and of their right to object thereto, and a full and fair opportunity was accorded to persons and entities who are Class Members to be heard with respect to the Plan of Allocation. 2. There were no objections to the proposed Plan of Allocation. 3. The Court hereby finds and concludes that the Plan of Allocation for the calculation of claims that is set forth in the Notice of: (1) Pendency and Proposed Settlement of Class Action; (2) Motion for Attorneys' Fees and Expenses; and (3) Hearing on Proposed Settlement (the "Notice") disseminated to Class Members provides a fair and reasonable basis upon which to allocate the net settlement proceeds among Class Members. 3. The Court hereby finds and concludes that the Plan of Allocation set forth in the Notice is, in all respects, fair and reasonable and the Court hereby approves the Plan of Allocation. (Signed by Judge Lewis A. Kaplan on 2/17/2017) Filed In Associated Cases: 1:15-cv-07759-LAK, 1:15-cv-08908-LAK, 1:16-cv-00088-LAK(cla) (Entered: 02/17/2017)
FINAL JUDGMENT: The claims in the Action are hereby dismissed on the merits and with prejudice according to the terms of the Settlement Agreement and the Final Order, without costs to any party except as provided therein. FINAL JUDGMENT in the Action is hereby entered in accordance with Fed. R. Civ. P. 58. The Clerk of the Court is respectfully directed to mark this case closed. (Signed by Judge Lewis A. Kaplan on 2/17/2017) Filed In Associated Cases: 1:15-cv-07759-LAK, 1:15-cv-08908-LAK, 1:16-cv-00088-LAK(cla) (Entered: 02/17/2017)
117
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ORDER AWARDING ATTORNEYS' FEES AND EXPENSES granting (107 in case 1:15-cv-07759-LAK) Motion for Attorney Fees. Plaintiff's counsel is hereby awarded attorneys' fees in the following amounts, plus interest at the same rate earned by the Settlement Fund: Labaton Sucharow LLP $2,070,671.50 and Robbins Geller Rudman & Dowd LLP $393,644.75 Plaintiff's counsel is hereby awarded litigation expenses in the following amounts, plus interest at the same rate earned by the Settlement Fund: Labaton Sucharow LLP $238,073.51 and Robbins Geller Rudman & Dowd LLP $7,049.29 The Court finds these sums to be fair and reasonable under the particular circumstances of this case. (As further set out in this order) (Signed by Judge Lewis A. Kaplan on 2/17/2017) Filed In Associated Cases: 1:15-cv-07759-LAK, 1:15-cv-08908-LAK, 1:16-cv-00088-LAK (cla) Modified on 2/22/2017 (cla). (Entered: 02/17/2017)
DECLARATION of Adam D. Walter in Support re: 107 MOTION for Attorney Fees and Payment of Litigation Expenses., 105 MOTION for Settlement Approval of Proposed Class Action Settlement and Plan of Allocation.. Document filed by Oklahoma Police Pension and Retirement System. (Schochet, Ira) (Entered: 02/08/2017)
REPLY AFFIDAVIT of Ira A. Schochet in Support re: 107 MOTION for Attorney Fees and Payment of Litigation Expenses., 105 MOTION for Settlement Approval of Proposed Class Action Settlement and Plan of Allocation.. Document filed by Oklahoma Police Pension and Retirement System. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2)(Schochet, Ira) (Entered: 02/08/2017)
REPLY MEMORANDUM OF LAW in Support re: 107 MOTION for Attorney Fees and Payment of Litigation Expenses., 105 MOTION for Settlement Approval of Proposed Class Action Settlement and Plan of Allocation. . Document filed by Oklahoma Police Pension and Retirement System. (Attachments: # 1 Text of Proposed Order Final Judgment, # 2 Text of Proposed Order Approving Class Action Settlement, # 3 Text of Proposed Order Awarding Fees and Expenses, # 4 Text of Proposed Order Approving Plan of Allocation)(Schochet, Ira) (Entered: 02/08/2017)
ENDORSED LETTER addressed to Judge Lewis A. Kaplan from Jonathan E. Richman dated 2/2/2017 re: Request to withdraw the appearance of Katharine H. Parker. ENDORSEMENT: Application granted. (Attorney Katharine H. Parker terminated.) (Signed by Judge Lewis A. Kaplan on 2/2/2017) Filed In Associated Cases: 1:15-cv-07759-LAK, 1:16-cv-00088-LAK(cla) (Entered: 02/02/2017)
LETTER addressed to Judge Lewis A. Kaplan from Dixon W. Tucker dated 1/22/2017 re: Request that Attorney's Fees and Expenses not be granted and that the case be dismissed. Document filed by Fifth Street Finance Corp.(cla) (Entered: 01/30/2017)
LETTER addressed to Judge Lewis A. Kaplan from Nancy K. Collins dated 1/22/2017 re: Request that Attorney's Fees and Expenses not be granted and that the case be dismissed. Document filed by Fifth Street Finance Corp.(cla) (Entered: 01/30/2017)
MEMORANDUM OF LAW in Support re: 105 MOTION for Settlement Approval of Proposed Class Action Settlement and Plan of Allocation. . Document filed by Alexander C. Frank, Bernard D. Berman, Fifth Street Asset Management, Inc., Ivelin M. Dimitrov. (Ferrara, Ralph) (Entered: 01/12/2017)
MEMORANDUM OF LAW in Support re: 107 MOTION for Attorney Fees and Payment of Litigation Expenses. . Document filed by Oklahoma Police Pension and Retirement System. (Schochet, Ira) (Entered: 01/12/2017)
MOTION for Attorney Fees and Payment of Litigation Expenses. Document filed by Oklahoma Police Pension and Retirement System. Return Date set for 2/16/2017 at 09:30 AM.(Schochet, Ira) (Entered: 01/12/2017)
MEMORANDUM OF LAW in Support re: 105 MOTION for Settlement Approval of Proposed Class Action Settlement and Plan of Allocation. . Document filed by Oklahoma Police Pension and Retirement System. (Schochet, Ira) (Entered: 01/12/2017)
MOTION for Settlement Approval of Proposed Class Action Settlement and Plan of Allocation. Document filed by Oklahoma Police Pension and Retirement System. Return Date set for 2/16/2017 at 09:30 AM.(Schochet, Ira) (Entered: 01/12/2017)
ORDER PROVISIONALLY CERTIFYING SETTLEMENT CLASS AND APPROVING NOTICE TO SETTLEMENT CLASS: 1. Provisional Certification of Class for Settlement Purposes. The Court hereby provisionally certifies the Class solely for purposes of the proposed Settlement pursuant to Fed. R. Civ. P 23(b)(3). The Class (consisting of "Class Members") is defined to consist of all persons and entities (or legal beneficiaries) who purchased or otherwise acquired common stock of Fifth Street Finance Corp. ("FSC") during the period from July 7, 2014 through February 6, 2015, inclusive ("the Class Period") as further set forth in this order. 4. Certification of Class Representative and Appointment of Class Counsel for Settlement Purposes. Solely for purposes of the proposed Settlement, the Court hereby provisionally certifies Oklahoma Police Pension and Retirement System as the class representative and provisionally appoints Labaton Sucharow LLP as class counsel pursuant to Fed. R. Civ. P. 23(g). 5. Fairness Hearing. Pursuant to Fed. R. Civ. P. 23(e), the Court will hold a (the "Fairness Hearing") on Feb. 16, 2017, at 9:30 a.m. (a date no fewer than 100 days from the date of this Order), before The Honorable Lewis A. Kaplan, United States District Judge for the Southern District of New York, at the United States Courthouse, 500 Pearl Street, New York, New York, 10007, in Courtroom 21B as further set forth in this order., ( Fairness Hearing set for 2/16/2017 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 11/7/2016) Filed In Associated Cases: 1:15-cv-07759-LAK, 1:15-cv-08908-LAK, 1:16-cv-00088-LAK(lmb) (Entered: 11/10/2016)
LETTER addressed to Judge Lewis A. Kaplan from Joel Bernstein dated 10/28/2016 re: Providing Revised Proposed Order Provisionally Certifying Settlement Class and Approving Notice to a Settlement Class per the instructions of the judge's law clerk. Document filed by Oklahoma Police Pension and Retirement System. (Attachments: # 1 Text of Proposed Order Proposed OrderProvisionally Certifying Settlement Class and Approving Notice to Settlement Class, # 2 Exhibit 1, # 3 Exhibit 2, # 4 Exhibit 3, # 5 Exhibit 4)(Bernstein, Joel) (Entered: 10/28/2016)
LETTER addressed to Judge Lewis A. Kaplan from Joel H. Bernstein dated 10/26/2016 re: submission of document pursuant to the judge's guidance at the hearing of 10/20/2016. Document filed by Oklahoma Police Pension and Retirement System. (Attachments: # 1 Enclosure 1, # 2 Enclosure 2- Part A, # 3 Enclosure 2-Part B (redline), # 4 Enclosure 3-Part A, # 5 Enclosure 3- Part B (redline), # 6 Enclosure 4- Part A, # 7 Enclosure 4- Part B (redline))(Bernstein, Joel) (Entered: 10/26/2016)
ORDER: The Court will conduct a conference with respect to the applications now pending on October 20, 2016 at 10:00 a.m. Among the matters to be discussed are the nature of the relationship between Fifth Street Finance Corp. and Fifth Street Asset Management Inc., the nature of the relationship between the two proposed settlements, and the adequacy of the proposed class notices. ( Motion Hearing set for 10/20/2016 at 10:00 AM before Judge Lewis A. Kaplan.) (Signed by Judge Lewis A. Kaplan on 10/14/2016) (mro) (Entered: 10/17/2016)
NOTICE of Withdrawal of Katharine H. Parker of Proskauer Rose LLP as counsel of record for defendants Fifth Street Asset Management, Inc., Leonard M. Tannenbaum, Bernard D. Berman, Alexander C. Frank, Todd G. Owens, Ivelin M. Dimitrov, and Richard A. Petrocelli. Document filed by Bernard D. Berman, Ivelin M. Dimitrov, Fifth Street Asset Management, Inc., Alexander C. Frank, Todd G. Owens, Richard A. Petrocelli, Leonard M. Tannenbaum, Alexander C. Frank, Bernard D. Berman, Ivelin M. Dimitrov, Leonard M. Tannenbaum, Richard A. Petrocelli, Todd G. Owens. Filed In Associated Cases: 1:15-cv-07759-LAK, 1:16-cv-00088-LAK(Parker, Katharine) (Entered: 10/05/2016)
LETTER addressed to Judge Lewis A. Kaplan from Ralph C. Ferrara dated September 26, 2016 re: The Motions filed on September 23, 2016, in Connection with Proposed Settlements of the Actions.. Document filed by Alexander C. Frank, Bernard D. Berman, Fifth Street Asset Management, Inc., Ivelin M. Dimitrov, Leonard M. Tannenbaum, Richard A. Petrocelli, Todd G. Owens.(Ferrara, Ralph) (Entered: 09/26/2016)
ORDER denying without prejudice (86) Motion to Dismiss in case 1:15-cv-07759-LAK (HEREBY ORDERED by Judge Lewis A. Kaplan)(Text Only Order) Filed In Associated Cases: 1:15-cv-07759-LAK, 1:15-cv-08908-LAK, 1:16-cv-00088-LAK (Kaplan, Lewis) (Entered: 09/26/2016)
MEMORANDUM OF LAW in Support re: 92 CONSENT MOTION for Settlement Motion for Authorization to Notify Class of Proposed Settlement and to Schedule Fairness Hearing. . Document filed by Oklahoma Police Pension and Retirement System. (Bernstein, Joel) (Entered: 09/23/2016)
DECLARATION of Joel H. Bernstein in Support re: 92 CONSENT MOTION for Settlement Motion for Authorization to Notify Class of Proposed Settlement and to Schedule Fairness Hearing.. Document filed by Oklahoma Police Pension and Retirement System. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)(Bernstein, Joel) (Entered: 09/23/2016)
CONSENT MOTION for Settlement Motion for Authorization to Notify Class of Proposed Settlement and to Schedule Fairness Hearing. Document filed by Oklahoma Police Pension and Retirement System. (Attachments: # 1 Text of Proposed Order)(Bernstein, Joel) (Entered: 09/23/2016)
STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND, SUBJECT TO APPROVAL OF THE COURT, ORDERED AS FOLLOWS: 1. All operative deadlines in the Court's April 8, 2016 Order shall be extended by 90 days. 2. Should any of those deadlines (as extended) fall on a Saturday, Sunday, or legal holiday, the period will continue to run until the end of the next day that is not a Saturday, Sunday, or legal holiday. 3. Pursuant to section 21D(b)(3)(B) of the PSLRA, all discovery pursuant to the Federal Rules of Civil Procedure remains stayed during the period described above. (Signed by Judge Lewis A. Kaplan on 7/11/2016) Filed In Associated Cases: 1:15-cv-07759-LAK, 1:15-cv-08908-LAK, 1:16-cv-00088-LAK, as per Chambers. (mro) Modified on 7/11/2016 (mro). (Entered: 07/11/2016)
MEMO ENDORSEMENT on re: 84 Letter, filed by Alexander C. Frank, Bernard D. Berman, Fifth Street Asset Management, Inc., Leonard M. Tannenbaum, Richard A. Petrocelli, Todd G. Owens, Ivelin M. Dimitrov. ENDORSEMENT: Granted. (Signed by Judge Lewis A. Kaplan on 6/1/2016) (lmb) (Entered: 06/01/2016)
DECLARATION of Julia D. Alonzo in Support re: 86 MOTION to Dismiss Notice of Defendants' Motion to Dismiss Lead Plaintiff's Consolidated Amended Complaint.. Document filed by Alexander C. Frank, Bernard D. Berman, Fifth Street Asset Management, Inc., Ivelin M. Dimitrov, Leonard M. Tannenbaum, Richard A. Petrocelli, Todd G. Owens. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, Part 1, # 6 Exhibit E, Part 2, # 7 Exhibit F, # 8 Exhibit G, # 9 Exhibit H, # 10 Exhibit I, # 11 Exhibit J, # 12 Exhibit K, # 13 Exhibit L, # 14 Exhibit M, # 15 Exhibit N, # 16 Exhibit O, # 17 Exhibit P, # 18 Exhibit Q, # 19 Exhibit R)(Alonzo, Julia) (Entered: 05/31/2016)
MEMORANDUM OF LAW in Support re: 86 MOTION to Dismiss Notice of Defendants' Motion to Dismiss Lead Plaintiff's Consolidated Amended Complaint. Defendants' Memorandum of Law in Support of Motion to Dismiss Lead Plaintiff's Consolidated Amended Complaint. Document filed by Alexander C. Frank, Bernard D. Berman, Fifth Street Asset Management, Inc., Ivelin M. Dimitrov, Leonard M. Tannenbaum, Richard A. Petrocelli, Todd G. Owens. (Ferrara, Ralph) (Entered: 05/31/2016)
MOTION to Dismiss Notice of Defendants' Motion to Dismiss Lead Plaintiff's Consolidated Amended Complaint. Document filed by Alexander C. Frank, Bernard D. Berman, Fifth Street Asset Management, Inc., Ivelin M. Dimitrov, Leonard M. Tannenbaum, Richard A. Petrocelli, Todd G. Owens. (Attachments: # 1 [Proposed] Order Granting Defendants' Motion to Dismiss Lead Plaintiff's Consolidated Amended Complaint)(Ferrara, Ralph) (Entered: 05/31/2016)
NOTICE OF APPEARANCE by Julia Diane Alonzo on behalf of Alexander C. Frank, Bernard D. Berman, Fifth Street Asset Management, Inc., Ivelin M. Dimitrov, Leonard M. Tannenbaum, Richard A. Petrocelli, Todd G. Owens. (Alonzo, Julia) (Entered: 05/31/2016)
LETTER addressed to Judge Lewis A. Kaplan from Ralph C. Ferrara dated May 25 2016 re: Leave to file a Memorandum of Law of 41 pages. Document filed by Alexander C. Frank, Bernard D. Berman, Fifth Street Asset Management, Inc., Ivelin M. Dimitrov, Leonard M. Tannenbaum, Richard A. Petrocelli, Todd G. Owens.(Ferrara, Ralph) (Entered: 05/25/2016)
STIPULATION AND ORDER: NOW, THEREFORE, IT IS HEREBY STIPULATED AND, SUBJECT TO APPROVAL OF THE COURT, ORDERED AS FOLLOWS: The above-captioned actions are hereby consolidated for all purposes under Case No. 1:15-cv-07759 (LAK) (the "Consolidated Action"). Every pleading filed in the Consolidated Action, or in any separate action included in the Consolidated Action, shall bear the caption as set forth herein. This Stipulation and Order shall apply to each case subsequently filed in, removed to, or transferred to this Court arising out of transactions and/or events that are the same as or similar to those in the Consolidated Action. When a case that properly belongs as part of the Consolidated Action is hereafter filed in, removed to, or transferred to this Court, counsel for the parties shall call such filing, removal, or transfer to the attention of the Clerk of this Court for purposes of moving the Court for an order consolidating such case(s) with the Consolidated Action. Counsel for the pa1ties will further assist in assuring that counsel for the parties in such subsequent action(s) receive notice of any such order. Defendants will respond to the consolidated complaint, or to any original complaint so designated by lead plaintiff, within 60 days after such filing or designation. If defendants move to dismiss the consolidated complaint or a designated original complaint, lead plaintiff will respond to that motion within 60 days. Defendants may reply to lead plaintiff's opposition within 45 days. Pursuant to section 21D(b)(3)(B) of the PSLRA, all discovery is stayed during the period described above. (Signed by Judge Lewis A. Kaplan on 4/7/2016) Filed In Associated Cases: 1:15-cv-07759-LAK, 1:15-cv-08908-LAK, 1:16-cv-00088-LAK(mro) (Entered: 04/08/2016)
AMENDED COMPLAINT amending 1 Complaint,, against Alexander C. Frank, Bernard D. Berman, Fifth Street Asset Management, Inc., Fifth Street Finance Corp., Ivelin M. Dimitrov, Leonard M. Tannenbaum, Richard A. Petrocelli, Todd G. Owens with JURY DEMAND.Document filed by Oklahoma Police Pension and Retirement System. Related document: 1 Complaint,, filed by Howard Randall.(Bernstein, Joel) (Entered: 04/01/2016)
MEMORANDUM AND ORDER WITH RESPECT TO SELECTION OF LEAD PLAINTIFF AND LEAD COUNSEL denying 53 Motion to Appoint Joseph Sacco and Arthur Stein as Lead Plaintiff(s); denying 56 Motion to Consolidate Cases ; granting in part and denying in part 56 Motion to Appoint Oklahoma Police Pension and Retirement System as Lead Plaintiff(s); granting in part and denying in part 56 Motion to Appoint Labaton Sucharow as Lead Counsel. OPPRS's motion [DI 56] is granted to the extent that (1) OPPRS is appointed lead plaintiff, and (2) OPPRS's selection of Labaton Sucharow as lead counsel is approved. OPPRS's motion is denied in all other respects. Sacco and Stein's motion [DI 53] is denied. (As further set forth in this Order.) (Signed by Judge Lewis A. Kaplan on 2/1/2016) (adc) (Entered: 02/01/2016)
DECLARATION of Nicholas I. Porritt in Support re: 53 MOTION to Appoint Joseph Sacco and Arthur Stein to serve as lead plaintiff(s) .. Document filed by Joseph Sacco and Arthur Stein. (Attachments: # 1 Exhibit SFX Decision, # 2 Exhibit Loss Analysis, # 3 Exhibit OPPRS Board Minutes)(Porritt, Nicholas) (Entered: 01/21/2016)
RESPONSE in Support of Motion re: 53 MOTION to Appoint Joseph Sacco and Arthur Stein to serve as lead plaintiff(s) . RESPONSE TO COURT ORDER. Document filed by Joseph Sacco and Arthur Stein. (Porritt, Nicholas) (Entered: 01/21/2016)
DECLARATION of Michael W. Stocker re: 72 Brief, 67 Order,,,,,,,,,,,,,, In Support of the Motion for Appointment as Lead Plaintiff Approval of Selection of Lead Counsel. Document filed by Oklahoma Police Pension and Retirement System. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C- FILED UNDER SEAL)(Stocker, Michael) (Entered: 01/21/2016)
SUPPLEMENTAL BRIEF re: 67 Order,,,,,,,,,,,,,, In Further Support of the Motion for Appointment as Lead Plaintiff Approval of Selection of Lead Counsel. Document filed by Oklahoma Police Pension and Retirement System.(Stocker, Michael) (Entered: 01/21/2016)
NOTICE of Withdrawal re: 47 MOTION to Appoint Dana H. Stewardson, as Trustee of the Revocable Agreement of Trust Executed by Ann S. Moyer, Under Agreement 10/5/06 to serve as lead plaintiff(s) and Approval of His Selection of Lead Counsel.. Document filed by Dana H. Stewardson, as trustee of the Revocable Agreement of Trust Executed by Ann S. Moyer, Under Agreement 10/5/06. (Nirmul, Sharan) (Entered: 01/15/2016)
NOTICE of Withdrawal re: 41 MOTION to Consolidate Cases . MOTION to Appoint . MOTION to Appoint Counsel NOTICE OF MOTION AND MOTION OF ROBERT J. HURWITZ FOR CONSOLIDATION, APPOINTMENT AS LEAD PLAINTIFF AND APPROVAL OF COUNSEL.. Document filed by Robert J. Hurwitz. (Lieberman, Jeremy) (Entered: 12/28/2015)
MEMORANDUM WITH RESPECT TO SELECTION OF LEAD PLAINTIFF AND LEAD COUNSEL: This is a putative securities fraud class action. The matter is before the Court on a number of competing motions for, among other things, appointment as lead plaintiff(s) and approval of lead counsel for the class. There remain three candidates [DIs 47, 53, 56], two of which are groups of two plaintiffs each; set forth herein. As an initial matter, Sacco and Stein oppose the Randall-OPPRS motion [DI 63]. They point out that it is undisputed that OPPRS currently is serving as a lead plaintiff in four federal securities class actions within the past three years. And they note that 15 U.S.C. § 78u-4(a)(3)(B)(vi) reads: "Restrictions on professional plaintiffs. Except as the court may otherwise permit, consistent with the purposes of this section, a person may be a lead plaintiff, or an officer, director, or fiduciary of a lead plaintiff, in no more than 5 securities class actions brought as plaintiff class actions pursuant to the Federal Rules of Civil Procedure during any 3-year period." But the key words are "more than 5," not "5 or more." In consequence, the Court rejects the contention that OPPRS should be excluded as a lead plaintiff or that the presumption that attaches to its loss, which is the largest loss claimed by any of the individual plaintiffs seeking lead plaintiff status, is devalued. Thus, the Court begins from the premise that OPPRS presumptively is the lead plaintiff. But that is not the end of the matter for at least two reasons. First, assuming arguendo that OPPRS were selected as lead counsel, the Court would see no added value from the participation of Mr. Randall as a co-lead plaintiff. Nor would it see any reason to involve two law firms as co-lead counsel. All of the firms in contention for the lead counsel slot, including both proposed by OPPRS and Randall, are entirely capable of representing any class that might be certified. The proposed redundancy of law firms would be likely only to increase the cost of the representation without commensurate benefit. Assuming arguendo that the Court were disposed to select OPPRS as lead counsel, it is entitled to know which Jaw firm it would select were it obliged to select only one. Second, OPPRS is a public body, some of the trustees of which are elected and others of whom are appointed by elected officials or appointees of elected officials. OKLA.STAT.ANN.tit.11, § 50-103.1 (West); https://www.ok.gov/OPPRS/About_ OPPRS/Board_of_trustees/index.html (last visited Dec. 22, 2015). This Court recently has noted concerns that have been expressed with respect to political contributions by Jaw firms seeking class action representations to holders of and candidates for public office who could be in a position to influence participation by public pension funds in securities litigation and the selection of counsel by such funds. In re Bank of New York Mellon Forex Transactions Litig., No. 12-md-2335 (LAK), -F. Supp. 3d.-, 2015 WL 8082783, at *3-4 (S.D.N.Y. Dec. 4, 2015). OPPRS's proposed participation as a lead plaintiff alone would raise those concerns. The fact that it is participating as lead plaintiff in four other class actions and has sought that status in still others heighten their acuity. Accordingly, the Court requires additional information in order to rule on the remaining motions. OPPRS shall provide the following information no later than January 21, 2016; as further set forth in this Order. (Signed by Judge Lewis A. Kaplan on 12/22/2015) (mro) Modified on 12/23/2015 (mro). (Entered: 12/23/2015)
MEMO ENDORSEMENT denying 50 Motion to Appoint; denying 50 Motion to Appoint Counsel; denying 50 Letter Motion to Consolidate Cases. ENDORSEMENT: Denied. (Signed by Judge Lewis A. Kaplan on 12/21/2015) (mro) (Entered: 12/21/2015)
MEMO ENDORSEMENT denying 41 Letter Motion to Consolidate Cases; denying 41 Motion to Appoint; denying 41 Motion to Appoint Counsel. ENDORSEMENT: Denied. (Signed by Judge Lewis A. Kaplan on 12/21/2015) (mro) (Entered: 12/21/2015)
DECLARATION of Adam M. Apton in Opposition re: 56 MOTION to Consolidate Cases 1:15-cv-08908 and 1:15-cv-07759. MOTION to Appoint Howard Randall, Trustee, Howard & Gale Randall Trust FBO Kimberly Randall Irrevocable Trust UA FEB 15, 2000 and Oklahoma Police Pension and Retirement System to serve as lead plaintiff(s) . MOTION to Appoint Counsel Robbins Geller Rudman & Dowd LLP and Labaton Sucharow LLP., 44 MOTION to Consolidate Cases 15-cv-7759; 15-cv-8908 . MOTION to Appoint Thomas Manter and David Watson to serve as lead plaintiff(s) . MOTION to Appoint Counsel ., 41 MOTION to Consolidate Cases . MOTION to Appoint . MOTION to Appoint Counsel NOTICE OF MOTION AND MOTION OF ROBERT J. HURWITZ FOR CONSOLIDATION, APPOINTMENT AS LEAD PLAINTIFF AND APPROVAL OF COUNSEL., 50 MOTION to Appoint Bruce G. Brereton to serve as lead plaintiff(s) . MOTION to Appoint Counsel Glancy Prongay & Murray LLP. MOTION to Consolidate Cases Case No. 1:15-cv-07759-LAK and Case No. 1:15-cv-08908-LAK ., 47 MOTION to Appoint Dana H. Stewardson, as Trustee of the Revocable Agreement of Trust Executed by Ann S. Moyer, Under Agreement 10/5/06 to serve as lead plaintiff(s) and Approval of His Selection of Lead Counsel.. Document filed by Joseph Sacco and Arthur Stein. (Attachments: # 1 Exhibit, # 2 Exhibit)(Apton, Adam) (Entered: 12/17/2015)
MEMORANDUM OF LAW in Opposition re: 56 MOTION to Consolidate Cases 1:15-cv-08908 and 1:15-cv-07759. MOTION to Appoint Howard Randall, Trustee, Howard & Gale Randall Trust FBO Kimberly Randall Irrevocable Trust UA FEB 15, 2000 and Oklahoma Police Pension and Retirement System to serve as lead plaintiff(s) . MOTION to Appoint Counsel Robbins Geller Rudman & Dowd LLP and Labaton Sucharow LLP., 44 MOTION to Consolidate Cases 15-cv-7759; 15-cv-8908 . MOTION to Appoint Thomas Manter and David Watson to serve as lead plaintiff(s) . MOTION to Appoint Counsel ., 41 MOTION to Consolidate Cases . MOTION to Appoint . MOTION to Appoint Counsel NOTICE OF MOTION AND MOTION OF ROBERT J. HURWITZ FOR CONSOLIDATION, APPOINTMENT AS LEAD PLAINTIFF AND APPROVAL OF COUNSEL., 50 MOTION to Appoint Bruce G. Brereton to serve as lead plaintiff(s) . MOTION to Appoint Counsel Glancy Prongay & Murray LLP. MOTION to Consolidate Cases Case No. 1:15-cv-07759-LAK and Case No. 1:15-cv-08908-LAK ., 47 MOTION to Appoint Dana H. Stewardson, as Trustee of the Revocable Agreement of Trust Executed by Ann S. Moyer, Under Agreement 10/5/06 to serve as lead plaintiff(s) and Approval of His Selection of Lead Counsel. . Document filed by Joseph Sacco and Arthur Stein. (Apton, Adam) (Entered: 12/17/2015)
DECLARATION of Michael W. Stocker in Support re: 56 MOTION to Consolidate Cases 1:15-cv-08908 and 1:15-cv-07759. MOTION to Appoint Howard Randall, Trustee, Howard & Gale Randall Trust FBO Kimberly Randall Irrevocable Trust UA FEB 15, 2000 and Oklahoma Police Pension and Retirement System to serve as lead plaintiff(s) . MOTION to Appoint Counsel Robbins Geller Rudman & Dowd LLP and Labaton Sucharow LLP.. Document filed by Oklahoma Police Pension and Retirement System, Howard Randall. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Stocker, Michael) (Entered: 12/17/2015)
MEMORANDUM OF LAW in Support re: 56 MOTION to Consolidate Cases 1:15-cv-08908 and 1:15-cv-07759. MOTION to Appoint Howard Randall, Trustee, Howard & Gale Randall Trust FBO Kimberly Randall Irrevocable Trust UA FEB 15, 2000 and Oklahoma Police Pension and Retirement System to serve as lead plaintiff(s) . MOTION to Appoint Counsel Robbins Geller Rudman & Dowd LLP and Labaton Sucharow LLP. Memorandun of Law in Further Support. Document filed by Oklahoma Police Pension and Retirement System, Howard Randall. (Stocker, Michael) (Entered: 12/17/2015)
ORDER terminating 44 Letter Motion to Consolidate Cases ; terminating 44 Motion to Appoint ; terminating 44 Motion to Appoint Counsel (HEREBY ORDERED by Judge Lewis A. Kaplan)(Text Only Order) (Kaplan, Lewis) (Entered: 12/09/2015)
NOTICE of Withdrawal re: 44 MOTION to Consolidate Cases 15-cv-7759; 15-cv-8908 . MOTION to Appoint Thomas Manter and David Watson to serve as lead plaintiff(s) . MOTION to Appoint Counsel .. Document filed by Thomas Manter, David Watson. (Gershon, A.) (Entered: 12/08/2015)
DECLARATION of David A. Rosenfeld in Support re: 56 MOTION to Consolidate Cases 1:15-cv-08908 and 1:15-cv-07759. MOTION to Appoint Howard Randall, Trustee, Howard & Gale Randall Trust FBO Kimberly Randall Irrevocable Trust UA FEB 15, 2000 and Oklahoma Police Pension and Retirement System to serve as lead plaintiff(s) . MOTION to Appoint Counsel Robbins Geller Rudman & Dowd LLP and Labaton Sucharow LLP.. Document filed by Oklahoma Police Pension and Retirement System, Howard Randall. (Attachments: # 1 Exhibit 1 - Certifications, # 2 Exhibit 2 - Loss Chart, # 3 Exhibit 3 - First notice, # 4 Exhibit 4 - Robbins Geller firm resume, # 5 Exhibit 5 - Labaton Sucharow firm resume)(Rosenfeld, David) (Entered: 11/30/2015)
MEMORANDUM OF LAW in Support re: 56 MOTION to Consolidate Cases 1:15-cv-08908 and 1:15-cv-07759. MOTION to Appoint Howard Randall, Trustee, Howard & Gale Randall Trust FBO Kimberly Randall Irrevocable Trust UA FEB 15, 2000 and Oklahoma Police Pension and Retirement System to serve as lead plaintiff(s) . MOTION to Appoint Counsel Robbins Geller Rudman & Dowd LLP and Labaton Sucharow LLP. . Document filed by Oklahoma Police Pension and Retirement System, Howard Randall. (Rosenfeld, David) (Entered: 11/30/2015)
MOTION to Consolidate Cases 1:15-cv-08908 and 1:15-cv-07759., MOTION to Appoint Howard Randall, Trustee, Howard & Gale Randall Trust FBO Kimberly Randall Irrevocable Trust UA FEB 15, 2000 and Oklahoma Police Pension and Retirement System to serve as lead plaintiff(s) ., MOTION to Appoint Counsel Robbins Geller Rudman & Dowd LLP and Labaton Sucharow LLP. Document filed by Howard Randall, Oklahoma Police Pension and Retirement System. (Attachments: # 1 Text of Proposed Order)(Rosenfeld, David) (Entered: 11/30/2015)
DECLARATION of Adam M. Apton in Support re: 53 MOTION to Appoint Joseph Sacco and Arthur Stein to serve as lead plaintiff(s) .. Document filed by Joseph Sacco and Arthur Stein. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Exhibit)(Apton, Adam) (Entered: 11/30/2015)
MEMORANDUM OF LAW in Support re: 53 MOTION to Appoint Joseph Sacco and Arthur Stein to serve as lead plaintiff(s) . . Document filed by Joseph Sacco and Arthur Stein. (Apton, Adam) (Entered: 11/30/2015)
MOTION to Appoint Joseph Sacco and Arthur Stein to serve as lead plaintiff(s) . Document filed by Joseph Sacco and Arthur Stein. (Attachments: # 1 Text of Proposed Order)(Apton, Adam) (Entered: 11/30/2015)
DECLARATION of Lesley F. Portnoy in Support re: 50 MOTION to Appoint Bruce G. Brereton to serve as lead plaintiff(s) . MOTION to Appoint Counsel Glancy Prongay & Murray LLP. MOTION to Consolidate Cases Case No. 1:15-cv-07759-LAK and Case No. 1:15-cv-08908-LAK .. Document filed by Bruce G. Brereton. (Attachments: # 1 Exhibit A - Press Release, # 2 Exhibit B - Movant Certification, # 3 Exhibit C - Loss Chart, # 4 Exhibit D - Glancy Firm Resume)(Portnoy, Lesley) (Entered: 11/30/2015)
MEMORANDUM OF LAW in Support re: 50 MOTION to Appoint Bruce G. Brereton to serve as lead plaintiff(s) . MOTION to Appoint Counsel Glancy Prongay & Murray LLP. MOTION to Consolidate Cases Case No. 1:15-cv-07759-LAK and Case No. 1:15-cv-08908-LAK . . Document filed by Bruce G. Brereton. (Portnoy, Lesley) (Entered: 11/30/2015)
MOTION to Appoint Bruce G. Brereton to serve as lead plaintiff(s) ., MOTION to Appoint Counsel Glancy Prongay & Murray LLP., MOTION to Consolidate Cases Case No. 1:15-cv-07759-LAK and Case No. 1:15-cv-08908-LAK . Document filed by Bruce G. Brereton. (Attachments: # 1 Text of Proposed Order)(Portnoy, Lesley) (Entered: 11/30/2015)
DECLARATION of Sharan Nirmul in Support re: 47 MOTION to Appoint Dana H. Stewardson, as Trustee of the Revocable Agreement of Trust Executed by Ann S. Moyer, Under Agreement 10/5/06 to serve as lead plaintiff(s) and Approval of His Selection of Lead Counsel.. Document filed by Dana H. Stewardson, as trustee of the Revocable Agreement of Trust Executed by Ann S. Moyer, Under Agreement 10/5/06. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Nirmul, Sharan) (Entered: 11/30/2015)
MEMORANDUM OF LAW in Support re: 47 MOTION to Appoint Dana H. Stewardson, as Trustee of the Revocable Agreement of Trust Executed by Ann S. Moyer, Under Agreement 10/5/06 to serve as lead plaintiff(s) and Approval of His Selection of Lead Counsel. . Document filed by Dana H. Stewardson, as trustee of the Revocable Agreement of Trust Executed by Ann S. Moyer, Under Agreement 10/5/06. (Nirmul, Sharan) (Entered: 11/30/2015)
MOTION to Appoint Dana H. Stewardson, as Trustee of the Revocable Agreement of Trust Executed by Ann S. Moyer, Under Agreement 10/5/06 to serve as lead plaintiff(s) and Approval of His Selection of Lead Counsel. Document filed by Dana H. Stewardson, as trustee of the Revocable Agreement of Trust Executed by Ann S. Moyer, Under Agreement 10/5/06. (Attachments: # 1 Text of Proposed Order)(Nirmul, Sharan) (Entered: 11/30/2015)
DECLARATION of A. Arnold Gershon in Support re: 44 MOTION to Consolidate Cases 15-cv-7759; 15-cv-8908 . MOTION to Appoint Thomas Manter and David Watson to serve as lead plaintiff(s) . MOTION to Appoint Counsel .. Document filed by Thomas Manter, David Watson. (Attachments: # 1 Exhibit Certifications, # 2 Exhibit Loss Charts, # 3 Exhibit Notice, # 4 Exhibit Firm Biography)(Gershon, A.) (Entered: 11/30/2015)
MEMORANDUM OF LAW in Support re: 44 MOTION to Consolidate Cases 15-cv-7759; 15-cv-8908 . MOTION to Appoint Thomas Manter and David Watson to serve as lead plaintiff(s) . MOTION to Appoint Counsel . . Document filed by Thomas Manter, David Watson. (Gershon, A.) (Entered: 11/30/2015)
MOTION to Consolidate Cases 15-cv-7759; 15-cv-8908 ., MOTION to Appoint Thomas Manter and David Watson to serve as lead plaintiff(s) ., MOTION to Appoint Counsel . Document filed by Thomas Manter, David Watson. (Attachments: # 1 Proposed Order)(Gershon, A.) (Entered: 11/30/2015)
DECLARATION in Support re: 41 MOTION to Consolidate Cases . MOTION to Appoint . MOTION to Appoint Counsel NOTICE OF MOTION AND MOTION OF ROBERT J. HURWITZ FOR CONSOLIDATION, APPOINTMENT AS LEAD PLAINTIFF AND APPROVAL OF COUNSEL.. Document filed by Robert J. Hurwitz. (Attachments: # 1 Exhibit A - Press Release, # 2 Exhibit B - Certification, # 3 Exhibit C - Loss Chart, # 4 Exhibit D - Firm Resume)(Lieberman, Jeremy) (Entered: 11/30/2015)
MEMORANDUM OF LAW in Support re: 41 MOTION to Consolidate Cases . MOTION to Appoint . MOTION to Appoint Counsel NOTICE OF MOTION AND MOTION OF ROBERT J. HURWITZ FOR CONSOLIDATION, APPOINTMENT AS LEAD PLAINTIFF AND APPROVAL OF COUNSEL. . Document filed by Robert J. Hurwitz. (Lieberman, Jeremy) (Entered: 11/30/2015)
MOTION to Consolidate Cases ., MOTION to Appoint ., MOTION to Appoint Counsel NOTICE OF MOTION AND MOTION OF ROBERT J. HURWITZ FOR CONSOLIDATION, APPOINTMENT AS LEAD PLAINTIFF AND APPROVAL OF COUNSEL. Document filed by Robert J. Hurwitz. (Attachments: # 1 Text of Proposed Order)(Lieberman, Jeremy) (Entered: 11/30/2015)
NOTICE OF APPEARANCE by Ann M. Ashton on behalf of Alexander C. Frank, Bernard D. Berman, Ivelin M. Dimitrov, Leonard M. Tannenbaum, Richard A. Petrocelli, Todd G. Owens. (Ashton, Ann) (Entered: 11/02/2015)
MEMO ENDORSEMENT granting 30 Motion for Ann M. Ashton to Appear Pro Hac Vice. ENDORSEMENT: Granted. (Signed by Judge Lewis A. Kaplan on 10/30/2015) (kgo) (Entered: 10/30/2015)
STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND, SUBJECT TO APPROVAL OF THE COURT, ORDERED AS FOLLOWS: 1. Defendant Fifth Street Finance Corp. need not respond to the Complaint filed in the above-captioned action until after the Court appoints lead plaintiff and lead counsel pursuant to the PSLRA. 2. Within 10 days after the Court appoints lead plaintiff and lead counsel, lead counsel and defendants' counsel will submit a joint proposed schedule for the filing of an amended complaint (if any) and for defendants' response to the amended complaint (or to the pending complaint if an amended complaint is not filed). 3. The parties reserve all other rights except to the extent specified in this Stipulation and Order. (As further set forth in this Order.) (Signed by Judge Lewis A. Kaplan on 10/30/2015) (kgo) (Entered: 10/30/2015)
STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND, SUBJECT TO APPROVAL OF THE COURT, ORDERED AS FOLLOWS: 1. Defendants Leonard M. Tannenbaum, Bernard D. Berman, Alexander C. Frank, Todd G. Owens, Ivelin M. Dimitrov, and Richard A. Petrocelli need not respond to the Complaint filed in the above-captioned action until after the Court appoints lead plaintiff and lead counsel pursuant to the PSLRA. 2. Within 10 days after the Court appoints lead plaintiff and lead counsel, lead counsel and defendants' counsel will submit a joint proposed schedule for the filing of an amended complaint (if any) and for defendants' response to the amended complaint (or to the pending complaint if an amended complaint is not filed). (As further set forth in this Order.) (Signed by Judge Lewis A. Kaplan on 10/30/2015) (kgo) (Entered: 10/30/2015)
NOTICE OF CHANGE OF ADDRESS by Jonathan E. Richman on behalf of Alexander C. Frank, Bernard D. Berman, Fifth Street Asset Management, Inc., Ivelin M. Dimitrov, Leonard M. Tannenbaum, Richard A. Petrocelli, Todd G. Owens. New Address: Proskauer Rose LLP, Eleven Times Square, New York, NY, USA 10036-8299, 212-969-3448. (Richman, Jonathan) (Entered: 10/26/2015)
NOTICE OF APPEARANCE by Jonathan E. Richman on behalf of Alexander C. Frank, Bernard D. Berman, Ivelin M. Dimitrov, Leonard M. Tannenbaum, Richard A. Petrocelli, Todd G. Owens. (Richman, Jonathan) (Entered: 10/26/2015)
NOTICE OF APPEARANCE by Ralph Carmine Ferrara on behalf of Alexander C. Frank, Bernard D. Berman, Ivelin M. Dimitrov, Leonard M. Tannenbaum, Richard A. Petrocelli, Todd G. Owens. (Ferrara, Ralph) (Entered: 10/26/2015)
MOTION for Ann M. Ashton to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11544222. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Fifth Street Asset Management, Inc.. (Attachments: # 1 Certificate of Good Standing)(Ashton, Ann) (Entered: 10/23/2015)
STIPULATION AND ORDER. IT IS HEREBY STIPULATED AND, SUBJECT TO APPROVAL OF THE COURT, ORDERED AS FOLLOWS: Defendant Fifth Street Asset Management, Inc. need not respond to the Complaint filed in the above-captioned action until after the Court appoints lead plaintiff and lead counsel pursuant to the PSLRA, and as further set forth in this Stipulation and Order. The following deadline(s) was terminated: Answer Due Date for Fifth Street Asset Management, Inc. (Signed by Judge Lewis A. Kaplan on 10/22/2015) (rjm). (Entered: 10/23/2015)
AFFIDAVIT OF SERVICE of Summons and Complaint,,. Richard A. Petrocelli served on 10/5/2015, answer due 10/26/2015. Service was accepted by Syed Hussain, substituted service on doorman. Document filed by Howard Randall. (Rudman, Samuel) (Entered: 10/22/2015)
AFFIDAVIT OF SERVICE of Summons and Complaint,,. Alexander C. Frank served on 10/5/2015, answer due 10/26/2015. Service was accepted by Alexander C. Frank. Document filed by Howard Randall. (Rudman, Samuel) (Entered: 10/22/2015)
AFFIDAVIT OF SERVICE of Summons and Complaint,,. Bernard D. Berman served on 10/5/2015, answer due 10/26/2015. Service was accepted by Leila Odum, substitute service on employee of household. Document filed by Howard Randall. (Rudman, Samuel) (Entered: 10/22/2015)
AFFIDAVIT OF SERVICE of Summons and Complaint,,. Leonard M. Tannenbaum served on 10/5/2015, answer due 10/26/2015. Service was accepted by Stacey Tannenbaum, spouse. Document filed by Howard Randall. (Rudman, Samuel) (Entered: 10/21/2015)
AFFIDAVIT OF SERVICE of Summons and Complaint,,. Fifth Street Asset Management, Inc. served on 10/6/2015, answer due 10/27/2015. Service was accepted by Lynanne Gares, person authorized to accept service. Document filed by Howard Randall. (Rudman, Samuel) (Entered: 10/21/2015)
AFFIDAVIT OF SERVICE of Summons and Complaint,,. Fifth Street Finance Corp. served on 10/6/2015, answer due 10/27/2015. Service was accepted by Amy McLaren, person authorized to accept service. Document filed by Howard Randall. (Rudman, Samuel) (Entered: 10/21/2015)
ORDER RE SCHEDULING AND INITIAL PRETRIAL CONFERENCE: Initial Conference set for 11/18/2015 at 02:30 PM in Courtroom 21B, 500 Pearl Street, New York, NY 10007 before Judge Lewis A. Kaplan. (Signed by Judge Lewis A. Kaplan on 10/5/2015) (mro) (Entered: 10/05/2015)
REQUEST FOR ISSUANCE OF SUMMONS as to Leonard M. Tannenbaum, re: 1 Complaint,,. Document filed by Howard Randall, Trustee, Howard & Gale Randall Trust FBO Kimberly Randall Irrevocable Trust UA FEB 15, 2000, Howard Randall, Trustee, Howard & Gale Randall Trust FBO Kimberly Randall Irrevocable Trust UA FEB 15, 2000, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) (Entered: 10/01/2015)
REQUEST FOR ISSUANCE OF SUMMONS as to Richard A. Petrocelli, re: 1 Complaint,,. Document filed by Howard Randall, Trustee, Howard & Gale Randall Trust FBO Kimberly Randall Irrevocable Trust UA FEB 15, 2000, Howard Randall, Trustee, Howard & Gale Randall Trust FBO Kimberly Randall Irrevocable Trust UA FEB 15, 2000, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) (Entered: 10/01/2015)
REQUEST FOR ISSUANCE OF SUMMONS as to Todd G. Owens, re: 1 Complaint,,. Document filed by Howard Randall, Trustee, Howard & Gale Randall Trust FBO Kimberly Randall Irrevocable Trust UA FEB 15, 2000, Howard Randall, Trustee, Howard & Gale Randall Trust FBO Kimberly Randall Irrevocable Trust UA FEB 15, 2000, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) (Entered: 10/01/2015)
REQUEST FOR ISSUANCE OF SUMMONS as to Alexander C. Frank, re: 1 Complaint,,. Document filed by Howard Randall, Trustee, Howard & Gale Randall Trust FBO Kimberly Randall Irrevocable Trust UA FEB 15, 2000, Howard Randall, Trustee, Howard & Gale Randall Trust FBO Kimberly Randall Irrevocable Trust UA FEB 15, 2000, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) (Entered: 10/01/2015)
REQUEST FOR ISSUANCE OF SUMMONS as to Fifth Street Asset Management, Inc., re: 1 Complaint,,. Document filed by Howard Randall, Trustee, Howard & Gale Randall Trust FBO Kimberly Randall Irrevocable Trust UA FEB 15, 2000, Howard Randall, Trustee, Howard & Gale Randall Trust FBO Kimberly Randall Irrevocable Trust UA FEB 15, 2000, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) (Entered: 10/01/2015)
REQUEST FOR ISSUANCE OF SUMMONS as to Fifth Street Finance Corp., re: 1 Complaint,,. Document filed by Howard Randall, Trustee, Howard & Gale Randall Trust FBO Kimberly Randall Irrevocable Trust UA FEB 15, 2000, Howard Randall, Trustee, Howard & Gale Randall Trust FBO Kimberly Randall Irrevocable Trust UA FEB 15, 2000, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) (Entered: 10/01/2015)
REQUEST FOR ISSUANCE OF SUMMONS as to Ivelin M. Dimitrov, re: 1 Complaint,,. Document filed by Howard Randall, Trustee, Howard & Gale Randall Trust FBO Kimberly Randall Irrevocable Trust UA FEB 15, 2000, Howard Randall, Trustee, Howard & Gale Randall Trust FBO Kimberly Randall Irrevocable Trust UA FEB 15, 2000, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) (Entered: 10/01/2015)
REQUEST FOR ISSUANCE OF SUMMONS as to Bernard D. Berman, re: 1 Complaint,,. Document filed by Howard Randall, Trustee, Howard & Gale Randall Trust FBO Kimberly Randall Irrevocable Trust UA FEB 15, 2000, Howard Randall, Trustee, Howard & Gale Randall Trust FBO Kimberly Randall Irrevocable Trust UA FEB 15, 2000, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) (Entered: 10/01/2015)
COMPLAINT against Alexander C. Frank, Bernard D. Berman, Fifth Street Asset Management, Inc., Fifth Street Finance Corp., Ivelin M. Dimitrov, Leonard M. Tannenbaum, Richard A. Petrocelli, Todd G. Owens. (Filing Fee $ 400.00, Receipt Number 0208-11458120)Document filed by Howard Randall, Trustee, Howard & Gale Randall Trust FBO Kimberly Randall Irrevocable Trust UA FEB 15, 2000, Individually and on Behalf of All Others Similarly Situated, Howard Randall, Trustee, Howard & Gale Randall Trust FBO Kimberly Randall Irrevocable Trust UA FEB 15, 2000.(Rudman, Samuel) (Entered: 10/01/2015)
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