US District Court Civil Docket as of September 18, 2019 Retrieved from the court on September 18, 2019

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

CIVIL DOCKET FOR CASE #: 1:16-cv-04531-LAK-DCF

IN RE CPI CARD GROUP INC. SECURITIES LITIGATIONAssigned to: Judge Lewis A. Kaplan Referred to: Magistrate Judge Debra C. Freeman Cause: 15:78j(b)ss Stockholder Suit

Date Filed: 06/15/2016 Date Terminated: 02/25/2019 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question

Lead Plaintiff

Alex Stewart represented by Alfred Louis Fatale , III Labaton & Sucharow LLP (NYC) 140 Broadway New York, NY 10005 (212)-818-0477 Fax: (212)-818-0477 Email: afatale@labaton.com LEAD ATTORNEY ATTORNEY TO BE NOTICED Eric David Gottlieb Labaton & Sucharow LLP (NYC) 140 Broadway New York, NY 10005 (212) 907-0623 Fax: (212) 883-7019 Email: egottlieb@labaton.com LEAD ATTORNEY ATTORNEY TO BE NOTICED Joel H. Bernstein Labaton Sucharow, LLP 140 Broadway New York, NY 10005 212-907-0869 Fax: 212-883-7069 Email: jbernstein@labaton.com TERMINATED: 09/04/2018 LEAD ATTORNEY ATTORNEY TO BE NOTICED Jonathan Gardner

Labaton Sucharow, LLP 140 Broadway New York, NY 10005 212-907-0839 Fax: 212-818-0477 Email: jgardner@labaton.com LEAD ATTORNEY ATTORNEY TO BE NOTICED Ross Michael Kamhi Labaton & Sucharow LLP (NYC) 140 Broadway, 34th Floor New York, NY 10005 (212) 907-0700 Fax: (212) 818-0477 Email: rkamhi@labaton.com LEAD ATTORNEY ATTORNEY TO BE NOTICED Michael P. Canty Labaton Sucharow 140 Broadway New York, NY 10005 (212)-907-0863 Fax: (212)-883-7063 Email: mcanty@labaton.com ATTORNEY TO BE NOTICED Michael Walter Stocker Labaton & Sucharow LLP (NYC) 140 Broadway, 34th Floor New York, NY 10005 (212) 907-0882 Fax: (212) 883-7082 Email: mikes@hbsslaw.com TERMINATED: 03/20/2018 Nicole M. Zeiss Labaton Sucharow, LLP 140 Broadway New York, NY 10005 212-907-0700 Fax: 212-818-0477 Email: nzeiss@labaton.com ATTORNEY TO BE NOTICED

Plaintiff

Mary Vance individually and on behalf of all others

represented by Samuel Howard Rudman Robbins Geller Rudman & Dowd LLP(LI)

similarly situated TERMINATED: 03/10/2017

58 South Service Road Suite 200 Melville, NY 11747 (631) 367-7100 Fax: (631) 367-1173 Email: srudman@rgrdlaw.com TERMINATED: 03/29/2017 William Scott Holleman Johnson Fistel, LLP 99 Madison Ave 5th Floor New York, NY 10016 212-802-1486 Fax: 212-602-1592 Email: holleman@bespc.com ATTORNEY TO BE NOTICED

V.

Movant

Brett Rosenfarb represented by Phillip C. Kim The Rosen Law Firm P.A. 275 Madison Avenue New York, NY 10016 (212) 686-1060 Fax: (212) 202-3827 Email: pkim@rosenlegal.com LEAD ATTORNEY ATTORNEY TO BE NOTICED

Movant

Steve Bostic represented by Lesley Frank Portnoy Glancy Prongay & Murray LLP 1925 Century Park East, Suite 2100 Los Angeles, CA 90067 310-201-9150 Fax: 310-201-9160 Email: LPortnoy@glancylaw.com LEAD ATTORNEY ATTORNEY TO BE NOTICED

Movant

Waltraud Buchanan represented by Lesley Frank Portnoy (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Movant

John Lorge represented by Peretz Bronstein Bronstein, Gewirtz & Grossman 60 East 42nd Street, Suite 4600 New York, NY 10165 (212)-697-6484 Fax: (212)-697-7296 Email: peretz@bgandg.com ATTORNEY TO BE NOTICED

Movant

Paul Costanzo Jr. represented by Peretz Bronstein (See above for address) ATTORNEY TO BE NOTICED

Movant

Kenyon Riches represented by Peretz Bronstein (See above for address) ATTORNEY TO BE NOTICED

Movant

John P. Hodges , Jr. represented by Peretz Bronstein (See above for address) ATTORNEY TO BE NOTICED

Movant

Dean Hiser represented by Kim Elaine Miller Kahn Swick & Foti, LLC 206 Covington Street Madisonville, LA 70447 (212) 696-3730 Fax: (504) 455-1498 Email: kim.miller@ksfcounsel.com ATTORNEY TO BE NOTICED

Movant

Thomas C. Swieringa represented by Jeffrey Philip Campisi Kaplan Fox & Kilsheimer LLP (NYC) 850 Third Avenue 14th Floor New York, NY 10022 212-687-1980 Fax: 212-687-1980 Email: jcampisi@kaplanfox.com LEAD ATTORNEY ATTORNEY TO BE NOTICED

Movant

Shannon Wayne Myers represented by Thomas Livezey Laughlin , IV Scott Scott, L.L.P.( NYC)

230 Park Avenue 17th Floor New York, NY 10169 (212) 223-6444 Fax: (212) 223-6334 Email: tlaughlin@scott-scott.com ATTORNEY TO BE NOTICED

Movant

Vida Myers represented by Thomas Livezey Laughlin , IV (See above for address) ATTORNEY TO BE NOTICED

Movant

Carl Zank represented by Carl Zank PRO SE 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: drosenfeld@rgrdlaw.com TERMINATED: 03/29/2017

V.

Defendant

CPI Card Group Inc. represented by James P. Smith , III Winston & Strawn LLP (NY) 200 Park Avenue New York, NY 10166 212-294-4633 Email: jpsmith@winston.com ATTORNEY TO BE NOTICED Matthew Lawrence DiRisio Winston & Strawn LLP (NY) 200 Park Avenue New York, NY 10166 (212)-294-6700 Fax: (212)-294-4700 Email: mdirisio@winston.com ATTORNEY TO BE NOTICED

Defendant

Steven Montross represented by James P. Smith , III (See above for address) ATTORNEY TO BE NOTICED Matthew Lawrence DiRisio (See above for address) ATTORNEY TO BE NOTICED

Defendant

David Brush represented by James P. Smith , III (See above for address) ATTORNEY TO BE NOTICED Matthew Lawrence DiRisio (See above for address) ATTORNEY TO BE NOTICED

Defendant

Jerry Dreiling represented by James P. Smith , III (See above for address) ATTORNEY TO BE NOTICED Matthew Lawrence DiRisio (See above for address) ATTORNEY TO BE NOTICED

Defendant

Bradley Seaman represented by James P. Smith , III (See above for address) ATTORNEY TO BE NOTICED Matthew Lawrence DiRisio (See above for address) ATTORNEY TO BE NOTICED

Defendant

Nicholas Peters represented by James P. Smith , III (See above for address) ATTORNEY TO BE NOTICED Matthew Lawrence DiRisio (See above for address) ATTORNEY TO BE NOTICED

Defendant

Robert Pearce represented by James P. Smith , III (See above for address) ATTORNEY TO BE NOTICED Matthew Lawrence DiRisio

(See above for address) ATTORNEY TO BE NOTICED

Defendant

David Rowntree represented by James P. Smith , III (See above for address) ATTORNEY TO BE NOTICED Matthew Lawrence DiRisio (See above for address) ATTORNEY TO BE NOTICED

Defendant

Tricor Pacific Capital Partners (Fund IV), Limited Partnership

represented by James P. Smith , III (See above for address) ATTORNEY TO BE NOTICED Matthew Lawrence DiRisio (See above for address) ATTORNEY TO BE NOTICED

Defendant

Tricor Pacific Capital Partners (Fund IV) US, Limited Partnership

represented by James P. Smith , III (See above for address) ATTORNEY TO BE NOTICED Matthew Lawrence DiRisio (See above for address) ATTORNEY TO BE NOTICED

Defendant

Tricor Pacific Capital, Inc. represented by James P. Smith , III (See above for address) ATTORNEY TO BE NOTICED Matthew Lawrence DiRisio (See above for address) ATTORNEY TO BE NOTICED

Defendant

BMO Capital Markets Corp. represented by Adam Selim Hakki Shearman & Sterling LLP (NY) 599 Lexington Avenue New York, NY 10022 (212)-848-4924 Fax: (646)-848-4924 Email: ahakki@shearman.com LEAD ATTORNEY ATTORNEY TO BE NOTICED

Agnes Dunogue Shearman & Sterling LLP (NY) 599 Lexington Avenue New York, NY 10022 (212) 848-5257 Fax: (212) 848-5257 Email: Agnes.Dunogue@Shearman.com ATTORNEY TO BE NOTICED

Defendant

Goldman, Sachs & Co. represented by Adam Selim Hakki (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Agnes Dunogue (See above for address) ATTORNEY TO BE NOTICED

Defendant

CIBC World Markets Inc. represented by Adam Selim Hakki (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Agnes Dunogue (See above for address) ATTORNEY TO BE NOTICED

Defendant

Robert W. Baird & Co. Incorporated represented by Adam Selim Hakki (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Agnes Dunogue (See above for address) ATTORNEY TO BE NOTICED

Defendant

William Blair & Company, L.L.C. represented by Adam Selim Hakki (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Agnes Dunogue (See above for address) ATTORNEY TO BE NOTICED

Defendant

Raymond James & Associates, Inc. represented by Adam Selim Hakki (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Agnes Dunogue (See above for address) ATTORNEY TO BE NOTICED

Defendant

Scotia Capital (USA) Inc. represented by Adam Selim Hakki (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Agnes Dunogue (See above for address) ATTORNEY TO BE NOTICED

Defendant

Griffiths McBurney Corp. represented by Adam Selim Hakki (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Agnes Dunogue (See above for address) ATTORNEY TO BE NOTICED

Date Filed # Docket Text

06/15/2016 1 COMPLAINT against BMO Capital Markets Corp., David Brush, CIBC World Markets Inc., CPI Card Group Inc., Jerry Dreiling, Goldman, Sachs & Co., Griffiths McBurney Corp., Steven Montross, Robert Pearce, Nicholas Peters, Raymond James & Associates, Inc., Robert W. Baird & Co. Incorporated, David Rowntree, Scotia Capital (USA) Inc., Bradley Seaman, Tricor Pacific Capital Partners (Fund IV) US, Limited Partnership, Tricor Pacific Capital Partners (Fund IV), Limited Partnership, Tricor Pacific Capital, Inc., William Blair & Company, L.L.C.. (Filing Fee $ 400.00, Receipt Number 0208-12424370)Document filed by Mary Vance.(Rudman, Samuel) (Entered: 06/15/2016)

06/15/2016 2 CIVIL COVER SHEET filed. (Rudman, Samuel) (Entered: 06/15/2016)

06/15/2016 3 REQUEST FOR ISSUANCE OF SUMMONS as to BMO Capital Markets Corp., re: 1 Complaint,,. Document filed by Mary Vance. (Rudman, Samuel) (Entered: 06/15/2016)

06/15/2016 4 REQUEST FOR ISSUANCE OF SUMMONS as to David Brush, re: 1 Complaint,,. Document filed by Mary Vance. (Rudman, Samuel) (Entered: 06/15/2016)

06/15/2016 5 REQUEST FOR ISSUANCE OF SUMMONS as to CIBC World Markets, Inc., re: 1 Complaint,,. Document filed by Mary Vance. (Rudman, Samuel) (Entered: 06/15/2016)

06/15/2016 6 REQUEST FOR ISSUANCE OF SUMMONS as to CPI Card Group Inc., re: 1 Complaint,,. Document filed by Mary Vance. (Rudman, Samuel) (Entered: 06/15/2016)

06/15/2016 7 REQUEST FOR ISSUANCE OF SUMMONS as to Jerry Dreiling, re: 1 Complaint,,. Document filed by Mary Vance. (Rudman, Samuel) (Entered: 06/15/2016)

06/15/2016 8 REQUEST FOR ISSUANCE OF SUMMONS as to Goldman Sachs & Co., re: 1 Complaint,,. Document filed by Mary Vance. (Rudman, Samuel) (Entered: 06/15/2016)

06/15/2016 9 REQUEST FOR ISSUANCE OF SUMMONS as to Griffiths McBurney Corp., re: 1 Complaint,,. Document filed by Mary Vance. (Rudman, Samuel) (Entered: 06/15/2016)

06/15/2016 10 REQUEST FOR ISSUANCE OF SUMMONS as to Steven Montross, re: 1 Complaint,,. Document filed by Mary Vance. (Rudman, Samuel) (Entered: 06/15/2016)

06/15/2016 11 REQUEST FOR ISSUANCE OF SUMMONS as to Nicholas Peters, re: 1 Complaint,,. Document filed by Mary Vance. (Rudman, Samuel) (Entered: 06/15/2016)

06/15/2016 12 REQUEST FOR ISSUANCE OF SUMMONS as to Raymond James & Associates, Inc., re: 1 Complaint,,. Document filed by Mary Vance. (Rudman, Samuel) (Entered: 06/15/2016)

06/15/2016 13 REQUEST FOR ISSUANCE OF SUMMONS as to Robert W. Baird & Co. Incorporated, re: 1 Complaint,,. Document filed by Mary Vance. (Rudman, Samuel) (Entered: 06/15/2016)

06/15/2016 14 REQUEST FOR ISSUANCE OF SUMMONS as to David Rowntree, re: 1 Complaint,,. Document filed by Mary Vance. (Rudman, Samuel) (Entered: 06/15/2016)

06/15/2016 15 REQUEST FOR ISSUANCE OF SUMMONS as to Scotia Capital (USA) Inc., re: 1 Complaint,,. Document filed by Mary Vance. (Rudman, Samuel) (Entered: 06/15/2016)

06/15/2016 16 REQUEST FOR ISSUANCE OF SUMMONS as to Bradley Seaman, re: 1 Complaint,,. Document filed by Mary Vance. (Rudman, Samuel) (Entered: 06/15/2016)

06/15/2016 17 REQUEST FOR ISSUANCE OF SUMMONS as to Tricor Pacific Capital Partners (Fund IV), Limited Partnership, re: 1 Complaint,,. Document filed by Mary Vance. (Rudman, Samuel) (Entered: 06/15/2016)

06/15/2016 18 REQUEST FOR ISSUANCE OF SUMMONS as to Tricor Pacific Capital Partners (Fund IV) US Limited Partnership, re: 1 Complaint,,. Document filed by Mary Vance. (Rudman, Samuel) (Entered: 06/15/2016)

06/15/2016 19 REQUEST FOR ISSUANCE OF SUMMONS as to Tricor Pacific Capital, Inc., re: 1 Complaint,,. Document filed by Mary Vance. (Rudman, Samuel) (Entered: 06/15/2016)

06/15/2016 20 REQUEST FOR ISSUANCE OF SUMMONS as to William Blair & Company, LLC, re: 1 Complaint,,. Document filed by Mary Vance. (Rudman, Samuel) (Entered: 06/15/2016)

06/15/2016 21 REQUEST FOR ISSUANCE OF SUMMONS as to Robert Pearce, re: 1 Complaint,,. Document filed by Mary Vance. (Rudman, Samuel) (Entered: 06/15/2016)

06/15/2016 22 NOTICE OF APPEARANCE by William Scott Holleman on behalf of Mary Vance. (Holleman, William) (Entered: 06/15/2016)

06/16/2016 ***NOTICE TO ATTORNEY REGARDING PARTY MODIFICATION. Notice to attorney Samuel Howard Rudman. The party information for the following party/parties has been modified: Mary Vance. The information for the party/parties has been modified for the following reason/reasons: party text was omitted. (pc) (Entered: 06/16/2016)

06/16/2016 ***NOTICE TO ATTORNEY REGARDING CASE OPENING STATISTICAL ERROR CORRECTION: Notice to attorney Samuel Howard Rudman. The following case opening statistical information was erroneously selected/entered: County code Albany. The following correction(s) have been made to your case entry: the County code has been modified to XX Out of State. (pc) (Entered: 06/16/2016)

06/16/2016 CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Lewis A. Kaplan. Please download and review the Individual Practices of the assigned District Judge, located at http://nysd.uscourts.gov/judges/District. Attorneys are responsible for providing courtesy copies to judges where their Individual Practices require such. Please download and review the ECF Rules and Instructions, located at http://nysd.uscourts.gov/ecf_filing.php. (pc) (Entered: 06/16/2016)

06/16/2016 Magistrate Judge Debra C. Freeman is so designated. (pc) (Entered: 06/16/2016)

06/16/2016 Case Designated ECF. (pc) (Entered: 06/16/2016)

06/16/2016 23 FILING ERROR - DEFICIENT PLEADING -PDF ERROR AMENDED COMPLAINT amending 1 Complaint,, against BMO Capital Markets Corp., David Brush, CIBC World Markets Inc., CPI Card Group Inc., Jerry Dreiling, Goldman, Sachs & Co., Griffiths McBurney Corp., Steven Montross, Robert Pearce, Nicholas Peters, Raymond James & Associates, Inc., Robert W. Baird & Co. Incorporated, David Rowntree, Scotia Capital (USA) Inc., Bradley Seaman, Tricor Pacific Capital Partners (Fund IV) US, Limited Partnership, Tricor Pacific Capital Partners (Fund IV), Limited Partnership, Tricor Pacific Capital, Inc., William Blair & Company, L.L.C. with JURY DEMAND.Document filed by Mary Vance. Related document: 1

Complaint,, filed by Mary Vance.(Rudman, Samuel) Modified on 6/17/2016 (dgo). (Entered: 06/16/2016)

06/17/2016 ***NOTICE TO ATTORNEY REGARDING DEFICIENT PLEADING. Notice to Attorney Samuel Howard Rudman to RE-FILE Document No. 23 Amended Complaint,,,. The filing is deficient for the following reason(s): Pleading does not state AMENDED COMPLAINT. Re-file the pleading using the event type AMENDED Complaint found under the event list Complaints and Other Initiating Documents - attach the correct signed PDF - select the individually named filer/filers - select the individually named party/parties the pleading is against. (dgo) (Entered: 06/17/2016)

06/17/2016 24 LETTER addressed to Judge Lewis A. Kaplan from Mary K. Blasy dated June 17, 2016 re: inadvertent omission of plaintiff's Certification to the initial Complaint. Document filed by Mary Vance. (Attachments: # 1 Certification Of Plaintiff Pursuant To The Federal Securities Laws)(Blasy, Mary) (Entered: 06/17/2016)

06/17/2016 25 ELECTRONIC SUMMONS ISSUED as to BMO Capital Markets Corp.. (pc) (Entered: 06/17/2016)

06/17/2016 26 ELECTRONIC SUMMONS ISSUED as to David Brush. (pc) (Entered: 06/17/2016)

06/20/2016 27 ELECTRONIC SUMMONS ISSUED as to Robert Pearce. (pc) (Entered: 06/20/2016)

06/20/2016 28 ELECTRONIC SUMMONS ISSUED as to William Blair & Company, L.L.C.. (pc) (Entered: 06/20/2016)

06/20/2016 29 ELECTRONIC SUMMONS ISSUED as to Tricor Pacific Capital, Inc.. (pc) (Entered: 06/20/2016)

06/20/2016 30 ELECTRONIC SUMMONS ISSUED as to Tricor Pacific Capital Partners (Fund IV) US, Limited Partnership. (pc) (Entered: 06/20/2016)

06/20/2016 31 ELECTRONIC SUMMONS ISSUED as to Tricor Pacific Capital Partners (Fund IV), Limited Partnership. (pc) (Entered: 06/20/2016)

06/20/2016 32 ELECTRONIC SUMMONS ISSUED as to Bradley Seaman. (pc) (Entered: 06/20/2016)

06/20/2016 33 ELECTRONIC SUMMONS ISSUED as to Scotia Capital (USA) Inc.. (pc) (Entered: 06/20/2016)

06/20/2016 34 ELECTRONIC SUMMONS ISSUED as to Robert W. Baird & Co. Incorporated. (pc) (Entered: 06/20/2016)

06/20/2016 35 ELECTRONIC SUMMONS ISSUED as to Raymond James & Associates, Inc.. (pc) (Entered: 06/20/2016)

06/20/2016 36 ELECTRONIC SUMMONS ISSUED as to Nicholas Peters. (pc) (Entered: 06/20/2016)

06/20/2016 37 ELECTRONIC SUMMONS ISSUED as to Steven Montross. (pc) (Entered: 06/20/2016)

06/20/2016 38 ELECTRONIC SUMMONS ISSUED as to Griffiths McBurney Corp.. (pc) (Entered: 06/20/2016)

06/20/2016 39 ELECTRONIC SUMMONS ISSUED as to Goldman, Sachs & Co.. (pc) (Entered: 06/20/2016)

06/20/2016 40 ELECTRONIC SUMMONS ISSUED as to Jerry Dreiling. (pc) (Entered: 06/20/2016)

06/20/2016 41 ELECTRONIC SUMMONS ISSUED as to CPI Card Group Inc.. (pc) (Entered: 06/20/2016)

06/20/2016 42 ELECTRONIC SUMMONS ISSUED as to CIBC World Markets Inc.. (pc) (Entered: 06/20/2016)

06/20/2016 43 ELECTRONIC SUMMONS ISSUED as to David Rowntree. (pc) (Entered: 06/20/2016)

07/08/2016 44 AFFIDAVIT OF SERVICE of Summons and Complaint,,. BMO Capital Markets Corp. served on 6/22/2016, answer due 7/13/2016. Service was accepted by Amy McLaren, Person Authorized to Accept Service. Document filed by Mary Vance. (Rudman, Samuel) (Entered: 07/08/2016)

07/08/2016 45 AFFIDAVIT OF SERVICE of Summons and Complaint,,. CPI Card Group Inc. served on 6/22/2016, answer due 7/13/2016. Service was accepted by Amy McLaren, Person Authorized to Accept Service. Document filed by Mary Vance. (Rudman, Samuel) (Entered: 07/08/2016)

07/08/2016 46 AFFIDAVIT OF SERVICE of Summons and Complaint,,. Jerry Dreiling served on 6/22/2016, answer due 7/13/2016. Service was accepted by Julie Dreiling, Spouse. Document filed by Mary Vance. (Rudman, Samuel) (Entered: 07/08/2016)

07/11/2016 47 MEMO ENDORSEMENT on re: 24 Letter, filed by Mary Vance. ENDORSEMENT: Granted. (Signed by Judge Lewis A. Kaplan on 7/11/2016) (mro) (Entered: 07/11/2016)

07/11/2016 Transmission to the Case Openings Clerk. Transmitted re: 47 Memo Endorsement, to the Case Openings Clerk for case processing. (mro) (Entered: 07/11/2016)

07/13/2016 48 ORDER RESCHEDULING AND INITIAL PRETRIAL CONFERENCE: Counsel for all parties are directed to confer regarding an agreed scheduling order. If counsel are able to agree on a schedule and the agreed schedule calls for filing of the pretrial order not more than six (6) months from the date of this order, counsel shall sign and file within forty-five (45) days from the date hereof a consent order in the form annexed for consideration by the Court. If such a consent order is not filed within the time provided, a conference will be held on 9/15/2016 in courtroom 21B, 500 Pearl Street, New York, New York at 2:30 pm. Initial Conference set for 9/15/2016 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 7/12/2016) (mro) (Entered: 07/13/2016)

07/13/2016 49 AFFIDAVIT OF SERVICE of Summons and Complaint,,. Goldman, Sachs & Co. served on 6/22/2016, answer due 7/13/2016. Service was accepted by Joanne Cook,

Vice President. Document filed by Mary Vance. (Rudman, Samuel) (Entered: 07/13/2016)

07/28/2016 50 FILING ERROR - ELECTRONIC FILING OF NON-ECF DOCUMENT - LETTER addressed to Judge Lewis A. Kaplan from Mary Blasy dated July 27, 2016 re: July 13, 2016 Order re Pretrial Conference. Document filed by Mary Vance. (Attachments: # 1 Exhibit July 13, 2016 Order)(Rudman, Samuel) Modified on 7/29/2016 (db). (Entered: 07/28/2016)

08/11/2016 ***DELETED DOCUMENT. Deleted document number 51 NOTICE OF DISMISSAL. The document was incorrectly filed in this case. (ama) (Entered: 08/11/2016)

08/15/2016 51 MOTION to Appoint Counsel Rosen Law Firm., MOTION to Appoint Lead Plaintiff., MOTION to Consolidate Cases . Document filed by Brett Rosenfarb. (Attachments: # 1 Text of Proposed Order)(Kim, Phillip) (Entered: 08/15/2016)

08/15/2016 52 FILING ERROR - WRONG PDF FILE ASSOCIATED WITH DOCKET ENTRY - MEMORANDUM OF LAW in Support re: 51 MOTION to Appoint Counsel Rosen Law Firm. MOTION to Appoint Lead Plaintiff. MOTION to Consolidate Cases . . Document filed by Brett Rosenfarb. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(Kim, Phillip) Modified on 8/16/2016 (db). (Entered: 08/15/2016)

08/15/2016 53 MOTION to Appoint Steve Bostic and Waltraud Buchanan to serve as lead plaintiff(s) ., MOTION to Appoint Counsel Glancy Prongay & Murray LLP., MOTION to Consolidate Cases 1:16-cv-04531-LAK and 1:16-cv-04539-ALC . Document filed by Steve Bostic, Waltraud Buchanan. (Attachments: # 1 Text of Proposed Order)(Portnoy, Lesley) (Entered: 08/15/2016)

08/15/2016 54 MEMORANDUM OF LAW in Support re: 53 MOTION to Appoint Steve Bostic and Waltraud Buchanan to serve as lead plaintiff(s) . MOTION to Appoint Counsel Glancy Prongay & Murray LLP. MOTION to Consolidate Cases 1:16-cv-04531-LAK and 1:16-cv-04539-ALC . . Document filed by Steve Bostic, Waltraud Buchanan. (Portnoy, Lesley) (Entered: 08/15/2016)

08/15/2016 55 DECLARATION of Lesley F. Portnoy in Support re: 53 MOTION to Appoint Steve Bostic and Waltraud Buchanan to serve as lead plaintiff(s) . MOTION to Appoint Counsel Glancy Prongay & Murray LLP. MOTION to Consolidate Cases 1:16-cv-04531-LAK and 1:16-cv-04539-ALC .. Document filed by Steve Bostic, Waltraud Buchanan. (Attachments: # 1 Exhibit A - Press Release, # 2 Exhibit B - Movant Certifications, # 3 Exhibit C - Loss Chart, # 4 Exhibit D - GPM Firm Resume)(Portnoy, Lesley) (Entered: 08/15/2016)

08/15/2016 56 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION to Appoint John Lorge, Paul Costanzo Jr., Kenyon Riches, John P. Hodges Jr. to serve as lead plaintiff(s) . Document filed by John Lorge, Paul Costanzo Jr., Kenyon Riches, John P. Hodges, Jr. (Attachments: # 1 Text of Proposed Order Proposed Order, # 2 Affidavit Bronstein Decl., # 3 Exhibit A to Decl., # 4 Exhibit B to Decl., # 5 Exhibit C. to Decl., # 6 Exhibit D. to Decl., # 7 Exhibit E. to Decl.)(Bronstein, Peretz) Modified on 8/16/2016 (db). (Entered: 08/15/2016)

08/15/2016 57 MOTION to Appoint Dean Hiser to serve as lead plaintiff(s) and to Approve Proposed Lead Plaintiff's Choice of Counsel. Document filed by Dean Hiser. (Attachments: # 1 Text of Proposed Order Appointing Lead Plaintiff and Approving Lead Plaintiff's Choice of Counsel)(Miller, Kim) (Entered: 08/15/2016)

08/15/2016 58 MEMORANDUM OF LAW in Support re: 57 MOTION to Appoint Dean Hiser to serve as lead plaintiff(s) and to Approve Proposed Lead Plaintiff's Choice of Counsel. . Document filed by Dean Hiser. (Miller, Kim) (Entered: 08/15/2016)

08/15/2016 59 FILING ERROR - DEFICIENT DOCKET ENTRY - MEMORANDUM OF LAW in Support re: 56 MOTION to Appoint John Lorge, Paul Costanzo Jr., Kenyon Riches, John P. Hodges Jr. to serve as lead plaintiff(s) . . Document filed by Paul Costanzo Jr., John P. Hodges, Jr, John Lorge, Kenyon Riches. (Bronstein, Peretz) Modified on 8/16/2016 (db). (Entered: 08/15/2016)

08/15/2016 60 DECLARATION of KIM E. MILLER in Support re: 57 MOTION to Appoint Dean Hiser to serve as lead plaintiff(s) and to Approve Proposed Lead Plaintiff's Choice of Counsel.. Document filed by Dean Hiser. (Miller, Kim) (Entered: 08/15/2016)

08/15/2016 61 MOTION to Consolidate Cases 1:16-cv-04531, 1:16-cv-04539 ., MOTION to Appoint THOMAS C. SWIERINGA to serve as lead plaintiff(s) ., MOTION to Appoint Counsel KAPLAN FOX & KILSHEIMER LLP. Document filed by Thomas C. Swieringa.(Campisi, Jeffrey) (Entered: 08/15/2016)

08/15/2016 62 MEMORANDUM OF LAW in Support re: 61 MOTION to Consolidate Cases 1:16-cv-04531, 1:16-cv-04539 . MOTION to Appoint THOMAS C. SWIERINGA to serve as lead plaintiff(s) . MOTION to Appoint Counsel KAPLAN FOX & KILSHEIMER LLP. . Document filed by Thomas C. Swieringa. (Campisi, Jeffrey) (Entered: 08/15/2016)

08/15/2016 63 DECLARATION of JEFFREY P. CAMPISI in Support re: 61 MOTION to Consolidate Cases 1:16-cv-04531, 1:16-cv-04539 . MOTION to Appoint THOMAS C. SWIERINGA to serve as lead plaintiff(s) . MOTION to Appoint Counsel KAPLAN FOX & KILSHEIMER LLP.. Document filed by Thomas C. Swieringa. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Campisi, Jeffrey) (Entered: 08/15/2016)

08/15/2016 64 MOTION to Appoint Alex Stewart to serve as lead plaintiff(s) and for Consolidation, and Approval of Selection of Lead Counsel. Document filed by Alex Stewart. (Attachments: # 1 Text of Proposed Order)(Stocker, Michael) (Entered: 08/15/2016)

08/15/2016 65 MEMORANDUM OF LAW in Support re: 64 MOTION to Appoint Alex Stewart to serve as lead plaintiff(s) and for Consolidation, and Approval of Selection of Lead Counsel. . Document filed by Alex Stewart. (Stocker, Michael) (Entered: 08/15/2016)

08/15/2016 66 MOTION to Appoint Shannon Wayne Myers and Vida Myers to serve as lead plaintiff(s) ., MOTION to Appoint Counsel ., MOTION to Consolidate Cases 16-cv-04539 . Document filed by Shannon Wayne Myers, Vida Myers. (Attachments: # 1 Text of Proposed Order)(Laughlin, Thomas) (Entered: 08/15/2016)

08/15/2016 67 MEMORANDUM OF LAW in Support re: 66 MOTION to Appoint Shannon Wayne Myers and Vida Myers to serve as lead plaintiff(s) . MOTION to Appoint Counsel . MOTION to Consolidate Cases 16-cv-04539 . . Document filed by Shannon Wayne Myers, Vida Myers. (Laughlin, Thomas) (Entered: 08/15/2016)

08/15/2016 68 MOTION to Consolidate Cases 1:16-cv-04531; 1:16-cv-4539 ., MOTION to Appoint Carl Zank to serve as lead plaintiff(s) ., MOTION to Appoint Counsel . Document filed by Carl Zank. (Attachments: # 1 Text of Proposed Order)(Rosenfeld, David) (Entered: 08/15/2016)

08/15/2016 69 MEMORANDUM OF LAW in Support re: 68 MOTION to Consolidate Cases 1:16-cv-04531; 1:16-cv-4539 . MOTION to Appoint Carl Zank to serve as lead plaintiff(s) . MOTION to Appoint Counsel . . Document filed by Carl Zank. (Rosenfeld, David) (Entered: 08/15/2016)

08/15/2016 70 DECLARATION of David A. Rosenfeld in Support re: 68 MOTION to Consolidate Cases 1:16-cv-04531; 1:16-cv-4539 . MOTION to Appoint Carl Zank to serve as lead plaintiff(s) . MOTION to Appoint Counsel .. Document filed by Carl Zank. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(Rosenfeld, David) (Entered: 08/15/2016)

08/15/2016 71 DECLARATION of Michael W. Stocker in Support re: 64 MOTION to Appoint Alex Stewart to serve as lead plaintiff(s) and for Consolidation, and Approval of Selection of Lead Counsel.. Document filed by Alex Stewart. (Attachments: # 1 Exhibit A - Certification, # 2 Exhibit B - Loss Analysis, # 3 Exhibit C - Notice, # 4 Exhibit D - Labaton Sucharow Firm Resume)(Stocker, Michael) (Entered: 08/15/2016)

08/15/2016 72 DECLARATION of Thomas L. Laughlin in Support re: 66 MOTION to Appoint Shannon Wayne Myers and Vida Myers to serve as lead plaintiff(s) . MOTION to Appoint Counsel . MOTION to Consolidate Cases 16-cv-04539 .. Document filed by Shannon Wayne Myers, Vida Myers. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Exhibit)(Laughlin, Thomas) (Entered: 08/15/2016)

08/16/2016 ***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - PDF ERROR. Notice to Attorney Phillip C. Kim to RE-FILE Document 52 Memorandum of Law in Support of Motion. Refile and attach Memorandum in Support of Motion PDF as main document. (db) (Entered: 08/16/2016)

08/16/2016 73 MEMORANDUM OF LAW in Support re: 51 MOTION to Appoint Counsel Rosen Law Firm. MOTION to Appoint Lead Plaintiff. MOTION to Consolidate Cases . . Document filed by Brett Rosenfarb. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(Kim, Phillip) (Entered: 08/16/2016)

08/16/2016 ***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Notice to Attorney Peretz Bronstein to RE-FILE Document 56 MOTION to Appoint John Lorge, Paul Costanzo Jr., Kenyon Riches, John P. Hodges Jr. to serve as lead plaintiff(s) . ERROR(S): Supporting Documents are filed separately, each receiving their own document #. (db) (Entered: 08/16/2016)

08/16/2016 ***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Notice to Attorney Peretz Bronstein to RE-FILE

Document 59 Memorandum of Law in Support of Motion. ERROR(S): Document(s) linked to filing error(s). (db) (Entered: 08/16/2016)

08/19/2016 74 NOTICE of Non-Opposition to Competing Motions for Appointment as Lead Plaintiff re: 57 MOTION to Appoint Dean Hiser to serve as lead plaintiff(s) and to Approve Proposed Lead Plaintiff's Choice of Counsel.. Document filed by Dean Hiser. (Miller, Kim) (Entered: 08/19/2016)

08/25/2016 75 NOTICE of Non-Opposition to Competing Motions for Lead Plaintiff re: 56 MOTION to Appoint John Lorge, Paul Costanzo Jr., Kenyon Riches, John P. Hodges Jr. to serve as lead plaintiff(s) .. Document filed by Paul Costanzo Jr., John P. Hodges, Jr, John Lorge, Kenyon Riches. (Bronstein, Peretz) (Entered: 08/25/2016)

08/25/2016 76 NOTICE of Non-opposition to Competing Motions for Appointment as Lead Plaintiff, and Approval of Lead Counsel re: 61 MOTION to Consolidate Cases 1:16-cv-04531, 1:16-cv-04539 . MOTION to Appoint THOMAS C. SWIERINGA to serve as lead plaintiff(s) . MOTION to Appoint Counsel KAPLAN FOX & KILSHEIMER LLP.. Document filed by Thomas C. Swieringa. (Campisi, Jeffrey) (Entered: 08/25/2016)

08/26/2016 77 ORDER denying without prejudice 61 Letter Motion to Consolidate Cases 16-cv-4531 (as Lead Case) with 16-cv-4539; denying 61 Motion to Appoint ; denying 61 Motion to Appoint Counsel. (Signed by Judge Lewis A. Kaplan on 8/26/2016) (Kaplan, Lewis) (Entered: 08/26/2016)

08/26/2016 78 NOTICE of Withdrawal of Lead Plaintiff Motion re: 51 MOTION to Appoint Counsel Rosen Law Firm. MOTION to Appoint Lead Plaintiff. MOTION to Consolidate Cases .. Document filed by Brett Rosenfarb. (Kim, Phillip) (Entered: 08/26/2016)

08/26/2016 79 MEMO ENDORSEMENT on re: 56 MOTION to Appoint John Lorge, Paul Costanzo Jr., Kenyon Riches, John P. Hodges Jr. to serve as lead plaintiff(s) . filed by Paul Costanzo Jr., John Lorge, Kenyon Riches, John P. Hodges, Jr. ENDORSEMENT: Motion denied. (Signed by Judge Lewis A. Kaplan on 8/26/2016) (cla) (Entered: 08/26/2016)

08/26/2016 80 NOTICE of of Non opposition to Competing Motions for Lead Plaintiff re: 68 MOTION to Consolidate Cases 1:16-cv-04531; 1:16-cv-4539 . MOTION to Appoint Carl Zank to serve as lead plaintiff(s) . MOTION to Appoint Counsel ., 69 Memorandum of Law in Support of Motion, 70 Declaration in Support of Motion,. Document filed by Carl Zank. (Rosenfeld, David) (Entered: 08/26/2016)

08/26/2016 81 ORDER denying as moot 51 Motion to Appoint Counsel ; denying as moot 51 Motion to Appoint ; denying as moot 51 Letter Motion to Consolidate Cases. (Signed by Judge Lewis A. Kaplan on 8/26/2016) (Kaplan, Lewis) (Entered: 08/26/2016)

08/26/2016 82 ORDER withdrawing 68 Letter Motion to Consolidate Cases ; withdrawing 68 Motion to Appoint ; withdrawing 68 Motion to Appoint Counsel. (Signed by Judge Lewis A. Kaplan on 8/26/2016) (Kaplan, Lewis) (Entered: 08/26/2016)

08/29/2016 83 NOTICE of Non-Opposition of the Myers Family to Competing Motions for Appointment as Lead Plaintiff and Approval of Lead Counsel re: 68 MOTION to Consolidate Cases 1:16-cv-04531; 1:16-cv-4539 . MOTION to Appoint Carl Zank to serve as lead plaintiff(s) . MOTION to Appoint Counsel ., 51 MOTION to Appoint Counsel Rosen Law Firm. MOTION to Appoint Lead Plaintiff. MOTION to Consolidate Cases ., 56 MOTION to Appoint John Lorge, Paul Costanzo Jr., Kenyon Riches, John P. Hodges Jr. to serve as lead plaintiff(s) ., 64 MOTION to Appoint Alex Stewart to serve as lead plaintiff(s) and for Consolidation, and Approval of Selection of Lead Counsel., 57 MOTION to Appoint Dean Hiser to serve as lead plaintiff(s) and to Approve Proposed Lead Plaintiff's Choice of Counsel., 53 MOTION to Appoint Steve Bostic and Waltraud Buchanan to serve as lead plaintiff(s) . MOTION to Appoint Counsel Glancy Prongay & Murray LLP. MOTION to Consolidate Cases 1:16-cv-04531-LAK and 1:16-cv-04539-ALC ., 61 MOTION to Consolidate Cases 1:16-cv-04531, 1:16-cv-04539 . MOTION to Appoint THOMAS C. SWIERINGA to serve as lead plaintiff(s) . MOTION to Appoint Counsel KAPLAN FOX & KILSHEIMER LLP.. Document filed by Shannon Wayne Myers, Vida Myers. (Laughlin, Thomas) (Entered: 08/29/2016)

08/29/2016 84 NOTICE of Non-Opposition to Competing Motions for Consolidation, Appointment as Lead Plaintiff and Approval of Lead Counsel. Document filed by Steve Bostic, Waltraud Buchanan. (Portnoy, Lesley) (Entered: 08/29/2016)

08/29/2016 85 ORDER denying 53 Motion to Appoint ; denying 53 Motion to Appoint Counsel ; denying as moot 53 Letter Motion to Consolidate Cases. (Signed by Judge Lewis A. Kaplan on 8/29/2016) (Kaplan, Lewis) (Entered: 08/29/2016)

08/29/2016 86 ORDER denying 57 Motion to Appoint. (Signed by Judge Lewis A. Kaplan on 8/29/2016) (Kaplan, Lewis) (Entered: 08/29/2016)

08/29/2016 87 ORDER denying 66 Motion to Appoint ; denying 66 Motion to Appoint Counsel ; denying without prejudice 66 Letter Motion to Consolidate Cases. (Signed by Judge Lewis A. Kaplan on 8/29/2016) (Kaplan, Lewis) (Entered: 08/29/2016)

08/30/2016 88 ORDER GRANTING TO THE EXTENT PROVIDED HEREIN THE MOTION OF ALEX STEWART FOR CONSOLIDATION, APPOINTMENT AS LEAD PLAINTIFF, AND APPROVAL OF SELECTION OF LEAD COUNSEL granting 64 Motion to Appoint: The motion [16CV4531, DI 47] is GRANTED, to the extent set forth herein. The above-captioned actions are consolidated for all purposes (the "Consolidated Action"). This Order (the "Order") shall apply to the Consolidated Action and to each case that relates to the same subject matter that is subsequently filed in this Court or is transferred to this Court, and is consolidated with the Consolidated Action. A Master File is established for this proceeding. The Master File shall be Case No. 16-cv-04531. The Clerk shall file all pleadings in the Master File and note such filings on the Master Docket. Every pleading in the Consolidated Action shall have the following caption, as further set forth in this order. Stewart's selection of Michael W. Stockes of Labaton Sicharow LLP as Lead Counsel for the Class is approved pursuant to 15 U.S.C. § 77z-1(a)(3)(B)(v), as further set forth in this order. (Signed by Judge Lewis A. Kaplan on 8/29/2016) (tn) (Entered: 08/30/2016)

09/13/2016 89 NOTICE OF APPEARANCE by James P. Smith, III on behalf of David Brush, CPI Card Group Inc., Jerry Dreiling, Steven Montross, Robert Pearce, Nicholas Peters,

David Rowntree, Bradley Seaman, Tricor Pacific Capital Partners (Fund IV) US, Limited Partnership, Tricor Pacific Capital Partners (Fund IV), Limited Partnership, Tricor Pacific Capital, Inc.. (Smith, James) (Entered: 09/13/2016)

09/13/2016 90 NOTICE OF APPEARANCE by Matthew Lawrence DiRisio on behalf of David Brush, CPI Card Group Inc., Jerry Dreiling, Steven Montross, Robert Pearce, Nicholas Peters, David Rowntree, Bradley Seaman, Tricor Pacific Capital Partners (Fund IV) US, Limited Partnership, Tricor Pacific Capital Partners (Fund IV), Limited Partnership, Tricor Pacific Capital, Inc.. (DiRisio, Matthew) (Entered: 09/13/2016)

09/13/2016 91 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by CPI Card Group Inc., Tricor Pacific Capital, Inc..(Smith, James) (Entered: 09/13/2016)

09/13/2016 92 NOTICE OF APPEARANCE by Adam Selim Hakki on behalf of BMO Capital Markets Corp., CIBC World Markets Inc., Goldman, Sachs & Co., Griffiths McBurney Corp., Raymond James & Associates, Inc., Robert W. Baird & Co. Incorporated, Scotia Capital (USA) Inc., William Blair & Company, L.L.C.. (Hakki, Adam) (Entered: 09/13/2016)

09/13/2016 93 NOTICE OF APPEARANCE by Agnes Dunogue on behalf of BMO Capital Markets Corp., CIBC World Markets Inc., Goldman, Sachs & Co., Griffiths McBurney Corp., Raymond James & Associates, Inc., Robert W. Baird & Co. Incorporated, Scotia Capital (USA) Inc., William Blair & Company, L.L.C.. (Dunogue, Agnes) (Entered: 09/13/2016)

09/13/2016 94 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Bank of Montreal for BMO Capital Markets Corp.. Document filed by BMO Capital Markets Corp..(Hakki, Adam) (Entered: 09/13/2016)

09/13/2016 95 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Canadian Imperial Bank of Commerce for CIBC World Markets Inc.. Document filed by CIBC World Markets Inc..(Hakki, Adam) (Entered: 09/13/2016)

09/13/2016 96 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent The Goldman Sachs Group, Inc. for Goldman, Sachs & Co.. Document filed by Goldman, Sachs & Co..(Hakki, Adam) (Entered: 09/13/2016)

09/13/2016 97 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent GMP Securities L.P., Corporate Parent GMP Capital Inc. for Griffiths McBurney Corp.. Document filed by Griffiths McBurney Corp..(Hakki, Adam) (Entered: 09/13/2016)

09/13/2016 98 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Raymond James Financial, Inc. for Raymond James & Associates, Inc.. Document filed by Raymond James & Associates, Inc..(Hakki, Adam) (Entered: 09/13/2016)

09/13/2016 99 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Baird Financial Corporation, Corporate Parent Baird Holding Company, Corporate Parent Baird Financial Group, Inc. for Robert W. Baird & Co.

Incorporated. Document filed by Robert W. Baird & Co. Incorporated.(Hakki, Adam) (Entered: 09/13/2016)

09/13/2016 100 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Scotia Capital Inc., Corporate Parent The Bank of Nova Scotia for Scotia Capital (USA) Inc.. Document filed by Scotia Capital (USA) Inc..(Hakki, Adam) (Entered: 09/13/2016)

09/13/2016 101 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent WBC Holdings, L.P. for William Blair & Company, L.L.C.. Document filed by William Blair & Company, L.L.C..(Hakki, Adam) (Entered: 09/13/2016)

09/15/2016 102 NOTICE OF APPEARANCE by Eric David Gottlieb on behalf of Alex Stewart. (Gottlieb, Eric) (Entered: 09/15/2016)

09/15/2016 103 MOTION for W. Scott Holleman to Withdraw as Attorney . Document filed by Mary Vance. (Attachments: # 1 Text of Proposed Order)(Holleman, William) (Entered: 09/15/2016)

09/16/2016 104 ORDER denying without prejudice to renewal by formal motion 103 Motion to Withdraw as Attorney. (HEREBY ORDERED by Judge Lewis A. Kaplan)(Text Only Order) (Kaplan, Lewis) (Entered: 09/16/2016)

09/16/2016 Minute Entry for proceedings held before Judge Lewis A. Kaplan: Scheduling Conference held on 9/16/2016. (Mohan, Andrew) (Entered: 09/16/2016)

09/16/2016 105 STIPULATION AND ORDER ESTABLISHING A SCHEDULE FOR FILING OF AMENDED CLASS ACTION COMPLAINT AND DEFENDANTS' MOTION TO DISMISS, ANSWER OR OTHER RESPONSE: IT IS HEREBY STIPULATED AND AGREED, by and among the undersigned attorneys for the respective parties, subject to the approval of the Court, as follows: No defendant in the above-captioned action shall be required to answer or otherwise respond to, and all defendants are hereby expressly relieved from answering or otherwise responding to, any complaint filed in any action consolidated in the above-captioned action. Upon the Court' so-ordering of this stipulation and order, Lead Plaintiff shall have 30 days to file a consolidated amended complaint. The amended complaint shall be the operative complaint and shall supersede all complaints filed in any of the actions consolidated in the above-captioned action. Undersigned counsel is authorized and will accept service of the amended class action complaint when it is filed, but undersigned counsel's acceptance of service of the amended complaint is without prejudice to and without waiver of any defenses, objections or arguments in this matter or an other matter, except as to sufficiency of service of process, including but not limited to defenses based on personal jurisdiction or with respect to class-action status. Defendants shall answer, move against, or otherwise respond to the amended complaint within 30 days after the amended complaint is filed. Lead Plaintiff shall have 30 days thereafter to oppose any motion that may be filed by defendants. Defendants shall have 15 days after the filing of Lead Plaintiff's oppostion papers to file their reply. In light of the mandatory discovery stay imposed by the PSLRA, the initial pre-trial conference, currently scheduled on September 15, 2016, is stayed pending defendants' answer or the resolution of an motion to dismiss the amended complaint. (Signed by Judge Lewis A. Kaplan on 9/16/2016) (mro) (Main Document 105 replaced on 9/19/2016) (mro). (Entered: 09/16/2016)

09/16/2016 106 NOTICE OF APPEARANCE by Joel H. Bernstein on behalf of Alex Stewart. (Bernstein, Joel) (Entered: 09/16/2016)

09/22/2016 107 MEMO ENDORSEMENT on re: (103 in 1:16-cv-04531-LAK) MOTION for W. Scott Holleman to Withdraw as Attorney filed by Mary Vance. ENDORSEMENT: Movant attorney, who filed the Vance action (No. 16-cv-4531) on behalf of the plaintiff, seeks leave to withdraw inasmuch as (1) the Vance action has been consolidated with other, similar actions, (2) another plaintiff has been selected as lead plaintiff, and (3) another lawyer has been designated lead counsel. Movant's position is understandable but the motion seems premature, as least on the basis of the papers now before the Court. As an initial matter, it seems reasonably clear that the court-approved lead counsel is to run the show, so to speak, in these consolidated actions. On the other hand, however, plaintiff Vance retained movant to represent her in her individual action. It is debatable whether the order of consolidation thus far entered eliminated the separate identity of the Vance case. See, e.g., Ivanov-McPhee v. Washington Nat'l Ins. Co., 719 F.2d 927, 928-30 (7th Cir. 1983). Issues conceivably could arise with respect to effects of actions or proposed actions of lead counsel on the interests of plaintiff Vance. See Police and Fire Retirement System of City of Detroit v. IndyMac MBS, Inc., 721 F.3d 95 (2d Cir. 2013), cert. granted Pub. Emps. Ret. Syst. of Miss. v. IndyMac MBS, Inc., 134 S.Ct. 1515, cert. dismissed as improvidently granted, 135 S.Ct. 42 (2014). Accordingly, I do not feel comfortable relieving plaintiff Vance's retained counsel, without notice to her, simply because her retained counsel did not succeed in having Vance appointed lead plaintiff and himself lead counsel. Although the likelihood of any meaningful let alone demanding role is not very great, his duties to his client with respect to her claim may not be over. Accordingly, the motion is denied without prejudice to renewal upon an application that (a) fully answers the concerns raised here, and (b) has been served on movant's client. (Signed by Judge Lewis A. Kaplan on 9/22/2016) Filed In Associated Cases: 1:16-cv-04531-LAK, 1:16-cv-04539-LAK(mro) (Entered: 09/22/2016)

10/17/2016 108 NOTICE OF APPEARANCE by Alfred Louis Fatale, III on behalf of Alex Stewart. (Fatale, Alfred) (Entered: 10/17/2016)

10/17/2016 109 AMENDED COMPLAINT amending 1 Complaint,, against BMO Capital Markets Corp., David Brush, CIBC World Markets Inc., CPI Card Group Inc., Jerry Dreiling, Goldman, Sachs & Co., Griffiths McBurney Corp., Steven Montross, Robert Pearce, Nicholas Peters, Raymond James & Associates, Inc., Robert W. Baird & Co. Incorporated, David Rowntree, Scotia Capital (USA) Inc., Bradley Seaman, Tricor Pacific Capital Partners (Fund IV) US, Limited Partnership, Tricor Pacific Capital Partners (Fund IV), Limited Partnership, Tricor Pacific Capital, Inc., William Blair & Company, L.L.C. with JURY DEMAND.Document filed by Alex Stewart. Related document: 1 Complaint,, filed by Mary Vance.(Stocker, Michael) (Entered: 10/17/2016)

11/16/2016 110 MOTION to Dismiss Plaintiff's Consolidated Class Action Complaint for Violations of Federal Securities Laws, pursuant to Fed. R. of Civ. P. 12(b)(6). Document filed by David Brush, CPI Card Group Inc., Jerry Dreiling, Steven Montross, Robert Pearce, Nicholas Peters, David Rowntree, Bradley Seaman, Tricor Pacific Capital Partners (Fund IV) US, Limited Partnership, Tricor Pacific Capital Partners (Fund

IV), Limited Partnership, Tricor Pacific Capital, Inc..(DiRisio, Matthew) (Entered: 11/16/2016)

11/16/2016 111 DECLARATION of Matthew L. DiRisio in Support re: 110 MOTION to Dismiss Plaintiff's Consolidated Class Action Complaint for Violations of Federal Securities Laws, pursuant to Fed. R. of Civ. P. 12(b)(6).. Document filed by David Brush, CPI Card Group Inc., Jerry Dreiling, Steven Montross, Robert Pearce, Nicholas Peters, David Rowntree, Bradley Seaman, Tricor Pacific Capital Partners (Fund IV) US, Limited Partnership, Tricor Pacific Capital Partners (Fund IV), Limited Partnership, Tricor Pacific Capital, Inc.. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J)(DiRisio, Matthew) (Entered: 11/16/2016)

11/16/2016 112 MEMORANDUM OF LAW in Support re: 110 MOTION to Dismiss Plaintiff's Consolidated Class Action Complaint for Violations of Federal Securities Laws, pursuant to Fed. R. of Civ. P. 12(b)(6). . Document filed by David Brush, CPI Card Group Inc., Jerry Dreiling, Steven Montross, Robert Pearce, Nicholas Peters, David Rowntree, Bradley Seaman, Tricor Pacific Capital Partners (Fund IV) US, Limited Partnership, Tricor Pacific Capital Partners (Fund IV), Limited Partnership, Tricor Pacific Capital, Inc.. (DiRisio, Matthew) (Entered: 11/16/2016)

11/16/2016 113 JOINDER to join re: 110 MOTION to Dismiss Plaintiff's Consolidated Class Action Complaint for Violations of Federal Securities Laws, pursuant to Fed. R. of Civ. P. 12(b)(6). . Document filed by BMO Capital Markets Corp., CIBC World Markets Inc., Goldman, Sachs & Co., Griffiths McBurney Corp., Raymond James & Associates, Inc., Robert W. Baird & Co. Incorporated, Scotia Capital (USA) Inc., William Blair & Company, L.L.C..(Hakki, Adam) (Entered: 11/16/2016)

12/13/2016 114 NOTICE OF APPEARANCE by Ross Michael Kamhi on behalf of Alex Stewart. (Kamhi, Ross) (Entered: 12/13/2016)

12/14/2016 115 LETTER MOTION for Extension of Time to File Response/Reply on behalf of all defendants, to request one-week extension to file reply papers, from January 3, 2017 to January 10, 2017, in regard to defendants' motion to dismiss, addressed to Judge Lewis A. Kaplan from Matthew L. DiRisio dated 12/14/2016. Document filed by David Brush, CPI Card Group Inc., Jerry Dreiling, Steven Montross, Robert Pearce, Nicholas Peters, David Rowntree, Bradley Seaman, Tricor Pacific Capital Partners (Fund IV) US, Limited Partnership, Tricor Pacific Capital Partners (Fund IV), Limited Partnership, Tricor Pacific Capital, Inc..(DiRisio, Matthew) (Entered: 12/14/2016)

12/15/2016 116 ORDER granting 115 Letter Motion for Extension of Time to File Response/Reply Replies due by 1/10/2017. (HEREBY ORDERED by Judge Lewis A. Kaplan)(Text Only Order) (Kaplan, Lewis) (Entered: 12/15/2016)

12/16/2016 117 NOTICE OF CHANGE OF ADDRESS by Ross Michael Kamhi on behalf of Alex Stewart. New Address: Labaton Sucharow LLP, 140 Broadway, New York, New York, USA 10005, 212-907-0892. (Kamhi, Ross) (Entered: 12/16/2016)

12/16/2016 118 MEMORANDUM OF LAW in Opposition re: 110 MOTION to Dismiss Plaintiff's Consolidated Class Action Complaint for Violations of Federal Securities Laws, pursuant to Fed. R. of Civ. P. 12(b)(6). . Document filed by Alex Stewart. (Stocker, Michael) (Entered: 12/16/2016)

01/10/2017 119 LETTER addressed to Judge Lewis A. Kaplan from Michael W. Stocker dated 01/10/2017 re: Available dates for oral argument of defendants' pending motion to dismiss. Document filed by Alex Stewart.(Stocker, Michael) (Entered: 01/10/2017)

01/10/2017 120 REPLY MEMORANDUM OF LAW in Support re: 110 MOTION to Dismiss Plaintiff's Consolidated Class Action Complaint for Violations of Federal Securities Laws, pursuant to Fed. R. of Civ. P. 12(b)(6). . Document filed by David Brush, CPI Card Group Inc., Jerry Dreiling, Steven Montross, Robert Pearce, Nicholas Peters, David Rowntree, Bradley Seaman, Tricor Pacific Capital Partners (Fund IV) US, Limited Partnership, Tricor Pacific Capital Partners (Fund IV), Limited Partnership, Tricor Pacific Capital, Inc.. (DiRisio, Matthew) (Entered: 01/10/2017)

01/10/2017 121 JOINDER to join re: 120 Reply Memorandum of Law in Support of Motion,, . Document filed by BMO Capital Markets Corp., CIBC World Markets Inc., Goldman, Sachs & Co., Griffiths McBurney Corp., Raymond James & Associates, Inc., Robert W. Baird & Co. Incorporated, Scotia Capital (USA) Inc., William Blair & Company, L.L.C..(Hakki, Adam) (Entered: 01/10/2017)

03/10/2017 122 NOTICE OF VOLUNTARY DISMISSAL OF PLAINTIFF: PLEASE TAKE NOTICE that plaintiff Mary Vance hereby voluntarily dismisses her claims without prejudice to her ability to participate in this Action as an absent class member. Ms. Vance's counsel, Samuel H. Rudman and David A. Rosenfeld of Robbins Geller Rudman & Dowd LLP are also concurrently filing a Motion for Leave to Withdraw in this Action. The class's interests will continue to be represented by Michael W. Stocker of Labaton Sucharow LLP, Court-appointed Lead Counsel. (Mary Vance (individually and on behalf of all others similarly situated) terminated.) (Signed by Judge Lewis A. Kaplan on 3/10/2017) (cla) (Entered: 03/13/2017)

03/29/2017 123 ORDER GRANTING MOTION FOR LEAVE TO WITHDRAW: Upon consideration of Motion for Leave to Withdraw as Counsel, and for good cause shown, it is HEREBY ORDERED THAT Samuel H. Rudman and David A. Rosenfeld of Robbins Geller Rudman & Dowd LLP are hereby withdrawn as counsel of record. The Clerk of the Court is directed to remove the above-named attorneys and law firm from the docket as well as the ECF Service List. (Attorney David Avi Rosenfeld and Samuel Howard Rudman terminated.) (Signed by Judge Lewis A. Kaplan on 3/10/2017) Filed In Associated Cases: 1:16-cv-04531-LAK, 1:16-cv-04539-LAK(cla) (Entered: 04/21/2017)

10/30/2017 124 MEMORANDUM OPINION re: 110 MOTION to Dismiss Plaintiff's Consolidated Class Action Complaint for Violations of Federal Securities Laws, pursuant to Fed. R. of Civ. P. 12(b)(6) filed by Robert Pearce, Bradley Seaman, David Brush, Tricor Pacific Capital Partners (Fund IV) US, Limited Partnership, Steven Montross, Jerry Dreiling, Tricor Pacific Capital, Inc., David Rowntree, Tricor Pacific Capital Partners (Fund IV), Limited Partnership, Nicholas Peters, CPI Card Group Inc. For the reasons stated above, defendants' motion to dismiss [DI 110] is denied. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 10/27/2017) (anc) (Entered: 10/30/2017)

11/08/2017 125 STIPULATION AND ORDER ESTABLISHING A SCHEDULE FOR ANSWERING AMENDED CONSOLIDATED CLASS ACTION COMPLAINT: IT IS HEREBY STIPULATED AND AGREED, by and among the undersigned attorneys for the respective parties, subject to the approval of the Court, as follows:

Defendants shall have until January 12, 2018 to file answer(s) to the Complaint; and as further set forth herein. IT IS SO STIPULATED. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 11/8/2017)***Pursuant to instructions from Chambers, Filed In Associated Cases: 1:16-cv-04531-LAK, 1:16-cv-04539-LAK(anc) Modified on 11/8/2017 (anc). (Entered: 11/08/2017)

11/08/2017 Set/Reset Deadlines: BMO Capital Markets Corp. answer due 1/12/2018; David Brush answer due 1/12/2018; CIBC World Markets Inc. answer due 1/12/2018; CPI Card Group Inc. answer due 1/12/2018; Jerry Dreiling answer due 1/12/2018; Goldman, Sachs & Co. answer due 1/12/2018; Griffiths McBurney Corp. answer due 1/12/2018; Steven Montross answer due 1/12/2018; Robert Pearce answer due 1/12/2018; Nicholas Peters answer due 1/12/2018; Raymond James & Associates, Inc. answer due 1/12/2018; Robert W. Baird & Co. Incorporated answer due 1/12/2018; David Rowntree answer due 1/12/2018; Scotia Capital (USA) Inc. answer due 1/12/2018; Bradley Seaman answer due 1/12/2018; Tricor Pacific Capital Partners (Fund IV) US, Limited Partnership answer due 1/12/2018; Tricor Pacific Capital Partners (Fund IV), Limited Partnership answer due 1/12/2018; Tricor Pacific Capital, Inc. answer due 1/12/2018; William Blair & Company, L.L.C. answer due 1/12/2018. (anc) (Entered: 11/08/2017)

11/30/2017 126 NOTICE OF APPEARANCE by Jonathan Gardner on behalf of Alex Stewart. (Gardner, Jonathan) (Entered: 11/30/2017)

12/20/2017 127 STIPULATION AND ORDER FOR SUBMITTING DISCOVERY PLAN: IT IS HEREBY STIPULATED AND AGREED, by and among the undersigned attorneys for the respective parties, subject to the approval of the Court, that the parties shall submit their discovery plan, together with their proposed Protective Order and ESI Protocol, to the Court on January 19, 2018. IT IS SO STIPULATED. (Signed by Judge Lewis A. Kaplan on 12/20/2017) (anc) (Entered: 12/20/2017)

01/12/2018 128 NOTICE OF APPEARANCE by Michael P. Canty on behalf of Alex Stewart. (Canty, Michael) (Entered: 01/12/2018)

01/12/2018 129 ANSWER to 109 Amended Complaint,,. Document filed by David Brush, CPI Card Group Inc., Jerry Dreiling, Steven Montross, Robert Pearce, Nicholas Peters, David Rowntree, Bradley Seaman, Tricor Pacific Capital Partners (Fund IV) US, Limited Partnership, Tricor Pacific Capital Partners (Fund IV), Limited Partnership, Tricor Pacific Capital, Inc..(DiRisio, Matthew) (Entered: 01/12/2018)

01/12/2018 130 ANSWER to 109 Amended Complaint,,. Document filed by BMO Capital Markets Corp., CIBC World Markets Inc., Goldman, Sachs & Co., Griffiths McBurney Corp., Raymond James & Associates, Inc., Robert W. Baird & Co. Incorporated, Scotia Capital (USA) Inc., William Blair & Company, L.L.C..(Hakki, Adam) (Entered: 01/12/2018)

01/22/2018 131 AGREED PROTOCOL AND ORDER GOVERNING DISCOVERY MATTERS AND THE PRODUCTION OF ELECTRONICALLY STORE INFORMATION ("ESI"): The parties, by their undersigned Counsel, hereby agree to the extent not unduly burdensome to prepare their production of documents in accordance with the below agreed-upon specifications: All hard copy documents should be scanned and produced as black and white single-page, Group IV, 300 DPI Tagged Image File Format (.TIFF or .TIF) images with an image load file (.OPT file and/or .LFP file)

and a delimited database/metadata load file (.DAT). Each TIFF image should be named as its corresponding Bates number. Original document orientation should be maintained (i.e. portrait to portrait and landscape to landscape); and as further set forth herein. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 1/22/2018) (anc) Modified on 1/24/2018 (anc). (Entered: 01/22/2018)

01/22/2018 132 STIPULATION AND PROTECTIVE ORDER...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 1/22/2023 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 individualized determination of the existence of good cause for sealing. (Signed by Judge Lewis A. Kaplan on 1/22/2018) (mro) (Entered: 01/23/2018)

01/31/2018 133 LETTER MOTION to Substitute Attorney. Old Attorney: Michael W. Stocker, New Attorney: Jonathan Gardner Specifically, we hereby request that the Labaton Sucharow partner representing Lead Plaintiff and the Class be changed from Michael W. Stocker to Jonathan Gardner addressed to Judge Lewis A. Kaplan from Jonathan Gardner dated January 31, 2018. Document filed by Alex Stewart. (Attachments: # 1 Exhibit A - Biography)(Gardner, Jonathan) (Entered: 01/31/2018)

02/01/2018 134 ORDER granting 133 Letter Motion to Substitute Attorney. Granted. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 2/1/2018) (anc) (Entered: 02/01/2018)

03/08/2018 Minute Entry for proceedings held before Judge Lewis A. Kaplan: Scheduling Conference held on 3/8/2018. (Mohan, Andrew) (Entered: 03/08/2018)

03/08/2018 135 SCHEDULING ORDER: It is hereby, ORDERED that the following schedule of deadlines shall govern the further conduct of pretrial proceedings in this case: Fact Discovery due by 8/31/2018. Depositions due by 10/30/2018. Pretrial Order due by 11/15/2018. Ready for Trial by 11/15/2018. The following trial materials shall be filed at least ten days before trial: (a) Trial brief stating the legal and factual issues and authorities relied upon and discussing any anticipated substantive or procedural problems (b) Motions in limine to exclude evidence. Motions in limine shall be made returnable at the time and date fixed for trial unless made at or prior to the date fixed for filing the pretrial order, in which case they shall be made without a return date and dealt with in accordance with the Court's individual rules of procedure. Papers in opposition to motions in limine made returnable on the trial date shall be filed at least three days before trial. (Signed by Judge Lewis A. Kaplan on 3/8/2018) (anc) Modified on 3/9/2018 (anc). (Entered: 03/08/2018)

03/22/2018 136 MEMO ENDORSEMENT on re: 133 LETTER MOTION to Substitute Attorney. Old Attorney: Michael W. Stocker, New Attorney: Jonathan Gardner Specifically, we hereby request that the Labaton Sucharow partner representing Lead Plaintiff and the Class be changed from Michael W. Stocker to Jonathan Gardner addressed to Judge Lewis A. Kaplan from Jonathan Gardner dated January 31, 2018. Document filed by Alex Stewart. ENDORSEMENT: Granted. So ordered. Attorney Michael

Walter Stocker terminated. (Signed by Judge Lewis A. Kaplan on 3/22/2018) (rjm) Modified on 5/21/2018 (rjm). (Entered: 03/22/2018)

04/23/2018 137 MOTION to Certify Class , Appoint Class Representative, and Appoint Class Counsel. Document filed by Alex Stewart.(Gardner, Jonathan) (Entered: 04/23/2018)

04/23/2018 138 MEMORANDUM OF LAW in Support re: 137 MOTION to Certify Class , Appoint Class Representative, and Appoint Class Counsel. . Document filed by Alex Stewart. (Gardner, Jonathan) (Entered: 04/23/2018)

04/23/2018 139 DECLARATION of Alfred L. Fatale III in Support re: 137 MOTION to Certify Class , Appoint Class Representative, and Appoint Class Counsel.. Document filed by Alex Stewart. (Attachments: # 1 Exhibit A - Complaint, # 2 Exhibit B - Form S-1/A, # 3 Exhibit C - Form 424(b)(4), # 4 Exhibit D - Declaration of Alex Stewart, # 5 Exhibit E - CPIs October 15, 2015 press release, # 6 Exhibit F - Labaton Firm Resume, # 7 Exhibit G - Order Awarding Lead Counsel Attorneys Fees and Litigation Expenses)(Fatale, Alfred) (Entered: 04/23/2018)

05/24/2018 140 ORDER REFERRING CASE TO MAGISTRATE JUDGE. Order that case be referred to the Clerk of Court for assignment to a Magistrate Judge for Specific Non-Dispositive Motion/Dispute. Referred to Magistrate Judge Debra C. Freeman. Motions referred to Debra C. Freeman. DI 137, Motion to certify class. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 5/24/2018) (anc) (Entered: 05/24/2018)

06/11/2018 141 MOTION for Joel H. Bernstein to Withdraw as Attorney for Lead Plaintiff Alex Stewart. Document filed by Alex Stewart.(Bernstein, Joel) (Entered: 06/11/2018)

06/11/2018 142 MEMORANDUM OF LAW in Opposition re: 137 MOTION to Certify Class , Appoint Class Representative, and Appoint Class Counsel. . Document filed by David Brush, CPI Card Group Inc., Jerry Dreiling, Steven Montross, Robert Pearce, Nicholas Peters, David Rowntree, Bradley Seaman, Tricor Pacific Capital Partners (Fund IV) US, Limited Partnership, Tricor Pacific Capital Partners (Fund IV), Limited Partnership, Tricor Pacific Capital, Inc.. (DiRisio, Matthew) (Entered: 06/11/2018)

06/11/2018 143 JOINDER to join re: 142 Memorandum of Law in Opposition to Motion, . Document filed by BMO Capital Markets Corp., CIBC World Markets Inc., Goldman, Sachs & Co., Griffiths McBurney Corp., Raymond James & Associates, Inc., Robert W. Baird & Co. Incorporated, Scotia Capital (USA) Inc., William Blair & Company, L.L.C..(Hakki, Adam) (Entered: 06/11/2018)

06/11/2018 144 DECLARATION of Matthew L. DiRisio in Opposition re: 137 MOTION to Certify Class , Appoint Class Representative, and Appoint Class Counsel.. Document filed by David Brush, CPI Card Group Inc., Jerry Dreiling, Steven Montross, Robert Pearce, Nicholas Peters, David Rowntree, Bradley Seaman, Tricor Pacific Capital Partners (Fund IV) US, Limited Partnership, Tricor Pacific Capital Partners (Fund IV), Limited Partnership, Tricor Pacific Capital, Inc.. (Attachments: # 1 Exhibit A - May 10, 2018 correspondence, # 2 Exhibit B - May 22, 2018 deposition transcript of A. Stewart (redacted), # 3 Exhibit C - Retention Agreement for Securities Class Action Litigation (filed under seal))(DiRisio, Matthew) (Entered: 06/11/2018)

06/12/2018 145 SEALED DOCUMENT placed in vault.(rz) (Entered: 06/12/2018)

06/13/2018 146 MOTION for Michael W. Stocker to Withdraw as Attorney and be Removed from the Court's Service List for Lead Plaintiff Alex Stewart. Document filed by Alex Stewart.(Gardner, Jonathan) (Entered: 06/13/2018)

08/30/2018 147 STATUS REPORT. (JOINT STATUS REPORT) Document filed by Alex Stewart.(Gardner, Jonathan) (Entered: 08/30/2018)

09/04/2018 148 ORDER denying without prejudice (137) Motion to Certify Class in case 1:16-cv-04531-LAK-DCF (HEREBY ORDERED by Judge Lewis A. Kaplan)(Text Only Order) Filed In Associated Cases: 1:16-cv-04531-LAK-DCF, 1:16-cv-04539-LAK (Kaplan, Lewis) (Entered: 09/04/2018)

09/04/2018 149 ORDER granting (146) Motion to Withdraw as Attorney. Attorney Joel H. Bernstein terminated in case 1:16-cv-04531-LAK-DCF (HEREBY ORDERED by Judge Lewis A. Kaplan)(Text Only Order) Filed In Associated Cases: 1:16-cv-04531-LAK-DCF, 1:16-cv-04539-LAK (Kaplan, Lewis) (Entered: 09/04/2018)

09/07/2018 150 SEALED DOCUMENT placed in vault.(mhe) (Entered: 09/07/2018)

09/17/2018 151 LETTER addressed to Judge Lewis A. Kaplan from Jonathan Gardner dated 09/17/2018 re: Update on Proposed Settlement. Document filed by Alex Stewart.(Gardner, Jonathan) (Entered: 09/17/2018)

09/21/2018 152 MOTION for Settlement -- LEAD PLAINTIFFS UNOPPOSED MOTION FOR AUTHORIZATION TO NOTIFY SETTLEMENT CLASS OF PROPOSED SETTLEMENT AND TO SCHEDULE A SETTLEMENT HEARING. Document filed by Alex Stewart. (Attachments: # 1 Text of Proposed Order)(Gardner, Jonathan) (Entered: 09/21/2018)

09/21/2018 153 MEMORANDUM OF LAW in Support re: 152 MOTION for Settlement -- LEAD PLAINTIFFS UNOPPOSED MOTION FOR AUTHORIZATION TO NOTIFY SETTLEMENT CLASS OF PROPOSED SETTLEMENT AND TO SCHEDULE A SETTLEMENT HEARING. . Document filed by Alex Stewart. (Gardner, Jonathan) (Entered: 09/21/2018)

09/21/2018 154 DECLARATION of Jonathan Gardner in Support re: 152 MOTION for Settlement -- LEAD PLAINTIFFS UNOPPOSED MOTION FOR AUTHORIZATION TO NOTIFY SETTLEMENT CLASS OF PROPOSED SETTLEMENT AND TO SCHEDULE A SETTLEMENT HEARING.. Document filed by Alex Stewart. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)(Gardner, Jonathan) (Entered: 09/21/2018)

10/01/2018 155 MEMO ENDORSEMENT on LEAD PLAINTIFF'S denying without prejudice to renewal 152 Motion for Settlement. ENDORSEMENT: Denied without prejudice to renewal with a proposed notice that discloses both plaintiff's and defendants' positions as to the amount of damages payable, assuming plaintiffs prevail on liability. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 9/30/2018) (anc) (Entered: 10/01/2018)

10/01/2018 156 NOTICE OF APPEARANCE by Nicole M. Zeiss on behalf of Alex Stewart. (Zeiss, Nicole) (Entered: 10/01/2018)

10/15/2018 157 MOTION for Settlement LEAD PLAINTIFF'S RENEWED UNOPPOSED MOTION FOR AUTHORIZATION TO NOTIFY SETTLEMENT CLASS OF PROPOSED SETTLEMENT AND TO SCHEDULE A SETTLEMENT HEARING. Document filed by Alex Stewart. (Attachments: # 1 Renewed Proposed Order Approving Form and Manner of Notice, and Setting Date for Hearing on Final Approval of Settlement)(Gardner, Jonathan) (Entered: 10/15/2018)

10/15/2018 158 MEMORANDUM OF LAW in Support re: 157 MOTION for Settlement LEAD PLAINTIFF'S RENEWED UNOPPOSED MOTION FOR AUTHORIZATION TO NOTIFY SETTLEMENT CLASS OF PROPOSED SETTLEMENT AND TO SCHEDULE A SETTLEMENT HEARING. . Document filed by Alex Stewart. (Gardner, Jonathan) (Entered: 10/15/2018)

10/15/2018 159 DECLARATION of Jonathan Gardner in Support re: 157 MOTION for Settlement LEAD PLAINTIFF'S RENEWED UNOPPOSED MOTION FOR AUTHORIZATION TO NOTIFY SETTLEMENT CLASS OF PROPOSED SETTLEMENT AND TO SCHEDULE A SETTLEMENT HEARING.. Document filed by Alex Stewart. (Attachments: # 1 Exhibit 1 - Stipulation of Settlement, # 2 Exhibit 2- Labaton Sucharow Resume, # 3 Exhibit 3 - AB Data, Ltd. Resume, # 4 Exhibit 4 - Redlined Revised Long Form Notice)(Gardner, Jonathan) (Entered: 10/15/2018)

10/22/2018 160 ORDER APPROVING FORM AND MANNER OF NOTICE, AND SETTING DATE FOR HEARING ON FINAL APPROVAL OF SETTLEMENT granting (157) Motion for Settlement in case 1:16- cv-04531-LAK-DCF. The Court hereby provisionally certifies the Settlement Class solely for purposes of the proposed Settlement, pursuant to Rules 23(a) and (b) of the Federal Rules of Civil Procedure. The Settlement Class (consisting of "Settlement Class Members") means all Persons who purchased or acquired CPI common stock pursuant to or traceable to the registration statement issued in connection with CPI's October 9, 2015 initial public offering, and who were damaged thereby; and as further set forth herein. Solely for purposes of the proposed Settlement, the Court hereby provisionally certifies Alex Stewart as the Class Representative and provisionally appoints Labaton Sucharow LLP as Class Counsel pursuant to Rule 23(g). The Court will hold a settlement hearing (the "Settlement Hearing") on Feb. 5, 2019 at 4:30 p.m. in the United States District Court for the Southern District of New York, Daniel Patrick Moynihan United States Courthouse, 500 Pearl Street, New York, New York 10007, Courtroom 21B, for the following purposes: (i) to determine whether the Court should grant final certification of the Action as a class action for purposes of the Settlement and confirm its appointment of Lead Plaintiff and Lead Counsel as Class Representative and Class Counsel, respectively; and as further set forth herein. The Court retains jurisdiction of this Action to consider all further applications arising out of or otherwise relating to the proposed Settlement, and as otherwise warranted. The claimant must submit a properly executed Claim Form, substantially in the form annexed hereto as Exhibit 2, to the Claims Administrator, at the address indicated in the Notice, postmarked or received no later than NINETY (90) calendar days after the Notice Date. As set forth in the Stipulation, notwithstanding the fact that the Effective Date has not yet occurred, Lead Counsel may pay from the Settlement Fund, without further approval from Defendants or further order of this Court, up to $500,000 in Notice and Administration Expenses. Until otherwise ordered by the Court, the Court shall continue to stay 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, Lead Plaintiff and all Settlement Class Members shall not institute, commence, or prosecute any action which asserts Released Claims against the Released Defendant Parties. Counsel shall conform the notice to this order. (Signed by Judge Lewis A. Kaplan on 10/22/2018)**Pursuant to instructions from Chambers, Filed In All Member Cases: 1:16-cv-04531-LAK-DCF, 1:16-cv-04539-LAK (anc) Modified on 10/24/2018 (anc). (Entered: 10/22/2018)

12/31/2018 161 MOTION for Settlement and Approval of Class Action Settlement and Plan of Allocation. Document filed by Alex Stewart. Return Date set for 2/5/2019 at 04:30 PM.(Gardner, Jonathan) (Entered: 12/31/2018)

12/31/2018 162 MOTION for Attorney Fees and Expenses. Document filed by Alex Stewart. Return Date set for 2/5/2019 at 04:30 PM.(Gardner, Jonathan) (Entered: 12/31/2018)

12/31/2018 163 MEMORANDUM OF LAW in Support re: 161 MOTION for Settlement and Approval of Class Action Settlement and Plan of Allocation. . Document filed by Alex Stewart. (Gardner, Jonathan) (Entered: 12/31/2018)

12/31/2018 164 MEMORANDUM OF LAW in Support re: 162 MOTION for Attorney Fees and Expenses. . Document filed by Alex Stewart. (Gardner, Jonathan) (Entered: 12/31/2018)

12/31/2018 165 DECLARATION of Jonathan Gardner in Support re: 161 MOTION for Settlement and Approval of Class Action Settlement and Plan of Allocation., 162 MOTION for Attorney Fees and Expenses.. Document filed by Alex Stewart. (Attachments: # 1 Exhibit 1- Lead Plaintiff Declaration, # 2 Exhibit 2- Mailing Declaration, # 3 Exhibit 3- Labaton Declaration, # 4 Exhibit 4 - Goldberg Declaration, # 5 Exhibit 5 - Schall Declaration, # 6 Exhibit 6 - Summary Table, # 7 Exhibit 7 - Rate Table, # 8 Exhibit 8 - Cornerstone Article re Filings, # 9 Exhibit 9 - Cornerstone Article re Settlements, # 10 Exhibit 10- Eisenberg Miller Article, # 11 Exhibit 11- Fitzpatrick Article, # 12 Exhibit 12- NERA Article, # 13 Exhibit 13- Compendium)(Gardner, Jonathan) (Entered: 12/31/2018)

01/25/2019 166 Vacated as per Judge's Order dated 1/28/2019, Doc. #167 ORDER granting 161 MOTION for Settlement and Approval of Class Action Settlement and Plan of Allocation. Granted. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 1/25/2019) (jca) Modified on 1/28/2019 (mro). (Entered: 01/25/2019)

01/28/2019 167 ORDER: The order granting the motion to approve the proposed settlement [DI 166] is vacated. The fairness hearing will be held on February 5, 2019 at 4:30 pm as scheduled. (Signed by Judge Lewis A. Kaplan on 1/28/2019) (mro) (Entered: 01/28/2019)

01/29/2019 168 REPLY MEMORANDUM OF LAW in Support re: 161 MOTION for Settlement and Approval of Class Action Settlement and Plan of Allocation., 162 MOTION for Attorney Fees and Expenses. . Document filed by Alex Stewart. (Attachments: # 1 Text of Proposed Order Final Order and Judgment, # 2 Text of Proposed Order Approving Plan of Allocation, # 3 Text of Proposed Order Awarding Attorneys' Fees and Expenses)(Gardner, Jonathan) (Entered: 01/29/2019)

01/29/2019 169 DECLARATION of Adam D. Walter in Support re: 161 MOTION for Settlement and Approval of Class Action Settlement and Plan of Allocation., 162 MOTION for

Attorney Fees and Expenses.. Document filed by Alex Stewart. (Attachments: # 1 Exhibit A- Exclusion Request)(Gardner, Jonathan) (Entered: 01/29/2019)

02/05/2019 Minute Entry for proceedings held before Judge Lewis A. Kaplan: Fairness Hearing held on 2/5/2019. (Mohan, Andrew) (Entered: 02/12/2019)

02/06/2019 170 ORDER: The motion to approve the proposed settlement [DI 161] is granted, as the Court concludes that the settlement is fair, reasonable and adequate. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 2/6/2019) (jca) (Entered: 02/06/2019)

02/06/2019 171 MEMORANDUM AND ORDER granting 162 Motion for Attorney Fees. Accordingly, the Lead Counsel's motion for attorneys fees and expenses [DI 162] is granted to the extent that Lead Counsel and the two other lawyers for whom fees are sought togetherare awarded fees of $2,265,073.50 plus expenses of $105,801.19. It is denied in all other respects. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 2/6/2019) (jca) (Entered: 02/06/2019)

02/25/2019 172 FINAL ORDER AND JUDGMENT: NOW, THEREFORE, IT IS HEREBY ORDERED, ADJUDGED AND DECREED that: Pursuant to, and in accordance with, Rule 23 of the Federal Rules of Civil Procedure, the Court hereby fully and finally approves the Settlement set forth in the Stipulation in all respects, and finds that the Settlement is fair, reasonable, and adequate. This Court further finds the Settlement set forth in the Stipulation is the result of arm's - length negotiations between experienced counsel representing the interests of Lead Plaintiff, the Settlement Class, and are directed to implement, perform, and consummate the Settlement in accordance with the terms and provisions of the Stipulation. The Consolidated Class Action Complaint for Violation of the Federal Securities Laws, filed on October 17, 2016, is dismissed in its entirety, with prejudice, and without costs to any Party, except as otherwise provided in the Stipulation. (As further set forth in this Order.) 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 expressly directed to immediately enter this final judgment in this Action. (Signed by Judge Lewis A. Kaplan on 2/25/2019) (cf) (Entered: 02/25/2019)

03/19/2019 173 TRANSCRIPT of Proceedings re: hearing held on 2/5/2019 before Judge Lewis A. Kaplan. Court Reporter/Transcriber: Vincent Bologna, (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 4/9/2019. Redacted Transcript Deadline set for 4/19/2019. Release of Transcript Restriction set for 6/17/2019.(McGuirk, Kelly) (Entered: 03/19/2019)

03/19/2019 174 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a hearing proceeding held on 2/5/19 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: 03/19/2019)

09/18/2019 175 ORDER: No. 16-cv-4539 was consolidated with 16-cv-4531. The final judgment entered in No. 16-cv-4531 [DI 172] is hereby amended by adding to the caption

docket number 16-cv-4539. That judgment shall be entered also on the docket in No. l 6-cv-4539 and closes the latter case as well. The Clerk shall close 16-cv-4539. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 9/18/2019) Filed In Associated Cases: 1:16-cv-04531-LAK-DCF, 1:16-cv-04539-LAK(jca) (Entered: 09/18/2019)

Note: Links in this docket are stored in the PACER system (Public Access to Court Electronic Records). PACER is a service of United States Judiciary. To view and retrieve the linked documents from PACER, you must be a registered user. To register, fill out one of the registration forms available on the PACER site. The United States Congress has given the Judicial Conference of the United States, the judicial governing body of the U.S. Federal Courts, authority to impose user fees for electronic access to case information. For more information visit the PACER site at http://pacer.psc.uscourts.gov/pacerdesc.html