Bez. Derivative Action: Tja, ehrlich gesagt, bin ich ein wenig ratlos. Ich habe Pacer gleich zwei Mal gecheckt, ich kann im Docket beim besten Willen keine Objection (und auch nicht die angeblichen 80 Seiten Anhang) von Joel Kaplan finden. Das Einzige, dass im Docket abgelegt wurde, ist ein Fax von Kaplan, in dem er um eine Verlängerung der Einspruchsfrist gebeten hat. Handschriftlich hat die Richterin darauf vermerkt (so ging es offenbar als Rückfax raus), dass sie die Objection nebst Anhängen akzeptieren würde, wenn diese den Poststempel vom 24.01.2014 tragen würden. Da nichts im Pacer-Docket zu finden ist, gehe ich eigentlich davon aus, dass diese Sachen nicht rechtzeitig angekommen sind und demzufolge nicht akzeptiert wurden. Das Einzige, dass von Kaplan noch zu finden ist, ist eine "Notice of Intention to appear", in der er ankündigt, am morgigen Freitag persönlich vor Ort zu sein und gleichzeitig darum bittet, seine nunmehr nur noch 30 Seiten Anhänge mailen zu dürfen. Das wurde wohl erlaubt, ins Docket kam aber nichts. Seltsamerweise gibt es von den ABAT-Anwälten jedoch eine Antwort auf die Kaplan-Objection, die dieser offenbar per E-Mail und/oder Fax den Anwälten hat zukommen lassen. Meines Erachtens wäre eine solche Objection schon rein formell ungültig. Davon ist in der Antwort jedoch nicht die Rede, stattdessen wird ihm
Hier mal das ganze Court Docket:
Date Filed # Docket Text
06/28/2011 1 COMPLAINT against Advanced Battery Technologies, Inc., Liqui Bai, Zhiguo Fu, Guopeng Gao, Yulin Hao, Ning Li, John McFadden, Cosimo Patti, Hongjun Si, Guohua Wan, Shaoqin Xia, Chi Yuan Xue, Shiyan Yang. (Filing Fee $ 350.00, Receipt Number 1010286)Document filed by Carl Braun. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4 Part 1, # 5 Exhibit 4 Part 2 Extracted Pages 1-6, # 6 Exhibit 4 Part 2 Extracted Pages 7-12, # 7 Exhibit 4 Part 3, # 8 Exhibit 5)(ama) (Entered: 06/30/2011)
06/28/2011 SUMMONS ISSUED as to Advanced Battery Technologies, Inc., Liqui Bai, Zhiguo Fu, Guopeng Gao, Yulin Hao, Ning Li, John McFadden, Cosimo Patti, Hongjun Si, Guohua Wan, Shaoqin Xia, Chi Yuan Xue, Shiyan Yang. (ama) (Entered: 06/30/2011)
06/28/2011 CASE REFERRED TO Judge Colleen McMahon as possibly related to 1:11-cv-2279. (ama) (Entered: 06/30/2011)
06/28/2011§ Case Designated ECF. (ama) (Entered: 06/30/2011)
07/06/2011 CASE ACCEPTED AS RELATED. Create association to 1:11-cv-02279-CM. Notice of Assignment to follow. (pgu) (Entered: 07/06/2011)
07/06/2011 2 NOTICE OF CASE ASSIGNMENT to Judge Colleen McMahon. Judge Unassigned is no longer assigned to the case. (pgu) (Entered: 07/06/2011)
07/06/2011§ Magistrate Judge Debra C. Freeman is so designated. (pgu) (Entered: 07/06/2011)
07/07/2011 3 AFFIDAVIT OF SERVICE of Summons and Complaint,,. Advanced Battery Technologies, Inc. served on 6/30/2011, answer due 7/21/2011; Liqui Bai served on 6/30/2011, answer due 7/21/2011; Zhiguo Fu served on 6/30/2011, answer due 7/21/2011; Guopeng Gao served on 6/30/2011, answer due 7/21/2011; Yulin Hao served on 6/30/2011, answer due 7/21/2011; Ning Li served on 6/30/2011, answer due 7/21/2011; John McFadden served on 6/30/2011, answer due 7/21/2011; Cosimo Patti served on 6/30/2011, answer due 7/21/2011; Hongjun Si served on 6/30/2011, answer due 7/21/2011; Guohua Wan served on 6/30/2011, answer due 7/21/2011; Shaoqin Xia served on 6/30/2011, answer due 7/21/2011; Chi Yuan Xue served on 6/30/2011, answer due 7/21/2011; Shiyan Yang served on 6/30/2011, answer due 7/21/2011. Service was accepted by DAVIS HE. Document filed by Carl Braun. (Garber, Todd) (Entered: 07/07/2011)
07/27/2011 4 ORDER SCHEDULING AN INITIAL PRETRIAL CONFERENCE: Initial Conference set for 9/9/2011 at 11:45 AM in Courtroom 14C, 500 Pearl Street, New York, NY 10007 before Judge Colleen McMahon. (Signed by Judge Colleen McMahon on 7/27/2011) (tro) (Entered: 07/27/2011)
07/29/2011 5 STIPULATION AND ORDER. IT IS HEREBY STIPULATED AND AGREED AS FOLLOWS: Nominal Defendant ABAT and Individual Defendants John J. McFadden and Cosimo J. Patti do not object to the method or adequacy of service of Plaintiff's Summons and Complaint on them. Individual Defendants Zhiguo Fu, Guohua Wan, Guopeng Gao, Hongjun Si, Liqui Bai, Ning Li, Shaoqiu Xia, Shiyan Yang and Chi Yuan Xue object to the adequacy of service of Plaintiff's Summons and Complaint on them and reserve all rights with respect to challenging the adequacy of such service. All proceedings in this action, including all obligations and deadlines with respect to the service of Plaintiff's Summons and Complaint and any responses thereto, are stayed until thirty (30) days after the entry of an Order resolving Defendants' anticipated motion to dismiss the related securities class actions, and as further set forth. (Signed by Judge Colleen McMahon on 7/29/11) (rjm) (Entered: 07/29/2011)
07/29/2011§ Case Stayed. (rjm) (Entered: 07/29/2011)
08/11/2011 6 NOTICE of WITHDRAWAL OF APPEARANCE OF ATTORNEY TODD S. GARBER. Document filed by Carl Braun. (Garber, Todd) (Entered: 08/11/2011)
09/12/2013 7 ORDER: The Court is putting this action on an expedited trial schedule. The parties must be ready for trial by December 1, 2013. All discovery must be complete by November 15, 2013. Depositions and document productions may be taken on three days' notice. The parties must apprise the Court of any discovery disputes within 24 hours so that they may be referred to Magistrate Judge Debra Freeman. No extensions will be granted. Should all of the conditions for settlement be met in the interim, the Court will entertain a motion for approval of that settlement. Ready for Trial by 12/1/2013. Discovery due by 11/15/2013. (Signed by Judge Colleen McMahon on 9/12/2013) Filed In Associated Cases: 1:11-cv-02279-CM, 1:11-cv-02354-CM, 1:11-cv-02849-CM, 1:11-cv-03098-CM, 1:11-cv-03729-CM(ft) (Entered: 09/13/2013)
10/14/2013 8 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Settlement Joint Motion for Preliminary Approval. Document filed by Carl Braun. (Attachments: # 1 Memorandum of Law In Support of Joint Motion for Preliminary Approval, # 2 Declaration of Shannon L. Hopkins In Support, # 3 Exhibit Exhibit 1 to Declaration of Shannon L. Hopkins)(Hopkins, Shannon) Modified on 10/15/2013 (db). (Entered: 10/14/2013)
10/15/2013§ ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Shannon Lee Hopkins to RE-FILE Document8 MOTION for Settlement Joint Motion for Preliminary Approval. ERROR(S): Supporting Documents are filed separately, each receiving their own document #. (db) (Entered: 10/15/2013)
10/16/2013 9 MOTION for Settlement Joint Motion for Preliminary Approval. Document filed by Carl Braun.(Hopkins, Shannon) (Entered: 10/16/2013)
10/16/2013 10 MEMORANDUM OF LAW in Support re: 9 MOTION for Settlement Joint Motion for Preliminary Approval.. Document filed by Carl Braun. (Hopkins, Shannon) (Entered: 10/16/2013)
10/16/2013 11 DECLARATION of Shannon L. Hopkins in Support re: 9 MOTION for Settlement Joint Motion for Preliminary Approval.. Document filed by Carl Braun. (Attachments: # 1 Exhibit Ex. 1 to Declaration)(Hopkins, Shannon) (Entered: 10/16/2013)
10/18/2013 12 ORDER PRELIMINARILY APPROVING SETTLEMENT AND PROVIDING FOR NOTICE granting 9 Motion for Settlement: Pursuant to Federal Rule of Civil Procedure 23.1(c) and by this Order, the Court hereby preliminarily approves the Stipulation and the Settlement set forth therein, including the terms and conditions for settlement and dismissal with prejudice of the Action, subject to further consideration at the Settlement Hearing described below (the "Order"). The Settlement Hearing shall be held before the Court on 12/13/2013 at 10 AM at the United States District Court for the Southern District of New York, 500 Pearl Street, New York, NY, 10007. The Court approves, in form and content, the Notice attached as Exhibit A-1 to the Stipulation and hereto, and finds that publication of the Notice substantially in the manner and form set forth in Paragraph 4 of this Order meets the requirements of Federal Rule of Civil Procedure 23.1(c), due process, and is the best notice practicable under the circumstances and shall constitute due and sufficient notice to all persons entitled thereto. Counsel for the Parties are hereby ordered to cooperate to supervise and administer the notice procedure as more fully set forth in this Order. All ABAT shareholders may appear and show cause at the Settlement Hearing if they have any reason why the proposed Settlement of the Action should not be approved as fair, reasonable, adequate and in the best interests of ABAT and ABAT shareholders why the Order and Final Judgment should not be entered, as further set below. (Signed by Judge Colleen McMahon on 10/18/2013) (tn) Modified on 10/21/2013 (tn). (Entered: 10/21/2013)
11/22/2013 13 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Settlement Final Approval of Proposed Settlement., MOTION for Attorney Fees and Expenses and Case Contribution Award.( Return Date set for 12/13/2013 at 10:00 AM.) Document filed by Carl Braun. (Attachments: # 1 Memorandum of Law In Support of Motion for Final Approval and Award of Attorneys Fees, # 2 Declaration of Shannon L. Hopkins In Support, # 3 Exhibit Exhibit A to Declaration of Shannon L. Hopkins, # 4 Exhibit Exhibit B to Declaration of Shannon L. Hopkins, # 5 Exhibit Exhibit C to Declaration of Shannon L. Hopkins, # 6 Exhibit Exhibit D to Declaration of Shannon L. Hopkins, # 7 Exhibit Exhibit E to Declaration of Shannon L. Hopkins, # 8 Exhibit Exhibit F to Declaration of Shannon L. Hopkins, # 9 Exhibit Exhibit G to Declaration of Shannon L. Hopkins, # 10 Exhibit Exhibit H to Declaration of Shannon L. Hopkins, # 11 Exhibit Exhibit I to Declaration of Shannon L. Hopkins, # 12 Exhibit Exhibit J to Declaration of Shannon L. Hopkins, # 13 Exhibit Exhibit K to Declaration of Shannon L. Hopkins)(Hopkins, Shannon) Modified on 11/25/2013 (db). (Entered: 11/22/2013)
11/25/2013 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Shannon Lee Hopkins to RE-FILE Document 13 MOTION for Settlement Final Approval of Proposed Settlement. MOTION for Attorney Fees and Expenses and Case Contribution Award. ERROR(S): Supporting Documents are filed separately, each receiving their own document #. (db) (Entered: 11/25/2013)
12/11/2013 14 DECLARATION of Lee S. Shalov re: 12 Order on Motion for Settlement,,,,,,. Document filed by Advanced Battery Technologies, Inc.. (Shalov, Lee) (Entered: 12/11/2013)
12/13/2013 Minute Entry for proceedings held before Judge Colleen McMahon: Interim Pretrial Conference held on 12/13/2013. Decision: Fairness hearing held. See order and transcript for details. The hearing is adjourned until February 21, 2014 at 9:30 am.(Submitted by Diana Conner). (Court Reporter Kristen Carannante). (mde) (Entered: 12/13/2013)
12/13/2013 Set/Reset Hearings: Fairness Hearing set for 2/21/2014 at 9:30 AM in Courtroom 14C, 500 Pearl Street, New York, NY 10007 before Judge Colleen McMahon. (mde) (Entered: 12/13/2013)
12/23/2013 15 TRANSCRIPT of Proceedings re: CONFERENCE held on 12/13/2013 before Judge Colleen McMahon. Court Reporter/Transcriber: Kristen Carannante, (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 1/16/2014. Redacted Transcript Deadline set for 1/27/2014. Release of Transcript Restriction set for 3/27/2014.(Rodriguez, Somari) (Entered: 12/23/2013)
12/23/2013 16 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 12/13/13 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(Rodriguez, Somari) (Entered: 12/23/2013)
01/02/2014 17 ENDORSED LETTER addressed to Judge Colleen McMahon from Joel Caplan dated 12/30/2013 re: Joel Caplan writes to express his intent to request redaction of his private information in the Transcript of this case. ENDORSEMENT: Submit copies of letters with proposed redactions. (Signed by Judge Colleen McMahon on 1/2/2014) (tro) (Entered: 01/02/2014)
01/13/2014 18 LETTER addressed to Judge Colleen McMahon from Lee S. Shalov dated 1/13/14 re: December 13, 2013 hearing. Document filed by Advanced Battery Technologies, Inc., Zhiguo Fu, Guohua Wan. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2)(Shalov, Lee) (Entered: 01/13/2014)
01/15/2014 19 MEMO ENDORSEMENT on re: 18 Letter filed by Advanced Battery Technologies, Inc., Zhiguo Fu, Guohua Wan. ENDORSEMENT: Mr. Caplan is free to object to the settlement if he likes-as long as the deadline for objecting has not expired. (Signed by Judge Colleen McMahon on 1/14/2014) (mro) (Entered: 01/15/2014)
01/24/2014 20 ENDORSED LETTER (via Fax) addressed to Judge Colleen McMahon from Joel Caplan dated 1/24/2014 re: Your Honor, I would like to ask for a 1-2 business day extension to send our supporting Exhibits. The Exhibits which are about 80 pages will be sent today for arrival at the Clerk of Court on Monday January 27. ENDORSEMENT: If your mailing is post-marked with today's date, the Court will accept it. If you email or fax in your exhibits, the Court will not accept them. (Signed by Judge Colleen McMahon on 1/24/2014) (rjm) (Entered: 01/27/2014)
01/30/2014 21 ENDORSED LETTER addressed to Judge Colleen McMahon from Joel Caplan and Louis Duchesneau re: Counsel requests permission to mail the 30 items to the Court in hard copy. ENDORSEMENT: Mail them. (Signed by Judge Colleen McMahon on 1/30/2014) Copies Mailed By Chambers. (ft) Modified on 1/30/2014 (ft). (Entered: 01/30/2014)
02/14/2014 22 OPPOSITION BRIEF re: 21 Endorsed Letter, 20 Endorsed Letter,, Response to Joe Caplan's Objection to Settlement. Document filed by Carl Braun. (Attachments: # 1 Exhibit Ex. 1 to Opposition Brief, # 2 Exhibit Ex. 2 to Opposition Brief)(Hopkins, Shannon) (Entered: 02/14/2014)