The Reckstin Family Trust v. C3.ai, Inc. et al

Justia Dockets & Filings Ninth Circuit California Northern District The Reckstin Family Trust v. C3.ai, Inc. et al

The Reckstin Family Trust v. C3.ai, Inc. et al

Plaintiff:	The Reckstin Family Trust, Dennis Martinez, Christie Sweeney, Mark Samarghandi, Elizabeth Wensel, Sharon L. Zavalanski and David Linder
Defendant:	C3.ai, Inc., Thomas M. Siebel, David Barter, Patricia A. House, Richard Levin, Michael G. McCaffery, Nehal Raj, Condoleezza Rice, S. Shankar Sastry, Bruce Sewell, Lorenzo Simonelli, Stephen M. Ward Jr., C3, Inc., Baker Hughes Company, Edward Y. Abbo, Morgan Stanley & Co. LLC, J.P. Morgan Securities LLC, BofA Securities, Inc., Deutsche Bank Securities, Inc., Canaccord Genuity LLC, JMP Securities LLC, KeyBanc Capital Markets Inc., Needham & Company, LLC, Piper Sandler & Co. and Wedbush Securities Inc.
Petitioner:	Yining Cai, Leonard Janos, Fadi Karnaby, Hossein Y. Afshari, David Hu, Li Zhong Hu and Sravan Potu
Case Number:	4:2022cv01413
Filed:	March 4, 2022
Court:	US District Court for the Northern District of California
Presiding Judge:	Haywood S Gilliam
Nature of Suit:	Securities/Commodities
Cause of Action:	15 U.S.C. § 77 Securities Fraud
Jury Demanded By:	Plaintiff

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Docket Report

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Date Filed	Document Text
August 30, 2023	Filing 142 PLAINTIFFS' REPLY TO C3 DEFENDANTS' OPPOSITION TO PLAINTIFFS' REQUEST FOR JUDICIAL NOTICE IN SUPPORT OF OPPOSITION TO MOTIONS TO DISMISS re #140 Objection, by Mark Samarghandi. (Kathrein, Reed) (Filed on 8/30/2023) Modified text on 8/31/2023 (dhm, COURT STAFF).
August 23, 2023	Filing 141 Declaration of Harry A. Olivar, Jr. in Support of #137 Reply to Opposition/Response, #138 Reply to Opposition/Response, (Supplemental Declaration of Harry A. Olivar, Jr. in Support of the C3 Defendants' Motion to Dismiss) filed byEdward Y. Abbo, David Barter, C3.ai, Inc., Thomas M. Siebel, Lorenzo Simonelli. (Attachments: #1 Exhibit S - 2021 Form 10-K, #2 Exhibit T - 2022 Form 10-K)(Related document(s) #137 , #138 ) (Olivar, Harry) (Filed on 8/23/2023)
August 23, 2023	Filing 140 OBJECTIONS to re #119 Opposition/Response to Motion,,, (C3 Defendants' Opposition to Plaintiffs' Request for Judicial Notice in Support of Opposition to Motion to Dismiss - Re: Dkt. 119-7) by Edward Y. Abbo, David Barter, C3.ai, Inc., Thomas M. Siebel, Lorenzo Simonelli. (Olivar, Harry) (Filed on 8/23/2023)
August 23, 2023	Filing 139 REPLY (re #109 MOTION to Dismiss #71 Amended Class Action Complaint, and Joinder in C3 Defendants' #105 Motion to Dismiss ) filed byBaker Hughes Company. (Valenzuela, Jessica) (Filed on 8/23/2023)
August 23, 2023	Filing 138 REPLY (re #105 MOTION to Dismiss Plaintiffs' Amended Class Action Complaint Pursuant to Fed. R. Civ. P. 12(B)(6) ) (C3 Defendants' Reply in Further Support of their Request for Judicial Notice in Support of their Motion to Dismiss; Further Request for Judicial Notice as to Exhibits S and T - Re: Dkt 105-2) filed byEdward Y. Abbo, David Barter, C3.ai, Inc., Thomas M. Siebel, Lorenzo Simonelli. (Olivar, Harry) (Filed on 8/23/2023)
August 23, 2023	Filing 137 REPLY (re #105 MOTION to Dismiss Plaintiffs' Amended Class Action Complaint Pursuant to Fed. R. Civ. P. 12(B)(6) ) (The C3 Defendants' Reply in Support of Motion to Dismiss Plaintiffs' Amended Class Action Complaint Pursuant to Fed.R.Civ.P. 12(b)(6)) filed byEdward Y. Abbo, David Barter, C3.ai, Inc., Thomas M. Siebel, Lorenzo Simonelli. (Olivar, Harry) (Filed on 8/23/2023)
August 14, 2023	Filing 136 ORDER GRANTING #134 STIPULATION Extending Time for Defendants' Replies in Support of Motions to Dismiss.Reset Deadlines as to Docket Nos. #113 #109 #105 MOTIONS to Dismiss: Replies due by 8/23/2023. Signed by Judge Haywood S. Gilliam, Jr. on 8/14/2023. (ndr, COURT STAFF) (Filed on 8/14/2023)
August 14, 2023	Filing 135 CLERK'S NOTICE TO COUNSEL RE DOCKET NO. #134 . In the future when preparing your stipulation and proposed order, please put the filer's attestation after the attorneys' names and signatures. (This is a text-only entry generated by the court. There is no document associated with this entry.) (ndr, COURT STAFF) (Filed on 8/14/2023)
August 14, 2023	Filing 134 STIPULATION WITH PROPOSED ORDER Extending Time for Defendants' Replies in Support of Motions to Dismiss filed by Edward Y. Abbo, Baker Hughes Company, David Barter, C3, Inc., C3.ai, Inc., Thomas M. Siebel, Lorenzo Simonelli. (Olivar, Harry) (Filed on 8/14/2023)
August 14, 2023	Filing 133 ORDER GRANTING #132 MOTION to Withdraw as Attorney. Attorney Adam Marc Apton terminated. Signed by Judge Haywood S. Gilliam, Jr. on 8/14/2023. (ndr, COURT STAFF) (Filed on 8/14/2023)
August 14, 2023	Filing 132 MOTION to Withdraw as Attorney filed by Leonard Janos. Responses due by 8/28/2023. Replies due by 9/5/2023. (Attachments: #1 Proposed Order)(Apton, Adam) (Filed on 8/14/2023)
August 10, 2023	Filing 131 ORDER GRANTING #130 STIPULATION to Continue Hearing on Motions to Dismiss.Reset Hearings as to Docket Nos. #113 , #109 , and #105 : Motion Hearing set for 11/2/2023 02:00 PM in Oakland, Courtroom 2, 4th Floor before Judge Haywood S. Gilliam Jr. Signed by Judge Haywood S. Gilliam, Jr. on 8/10/2023. (ndr, COURT STAFF) (Filed on 8/10/2023)
August 9, 2023	* #128 STIPULATION WITH PROPOSED ORDER to Continue Hearing on Motions to Dismiss Terminated, Re-filed as Docket No. #130 .* (ndr, COURT STAFF) (Filed on 8/9/2023)
August 8, 2023	Filing 130 STIPULATION WITH PROPOSED ORDER to Continue Hearing on Motions to Dismiss filed by Mark Samarghandi. (Kathrein, Reed) (Filed on 8/8/2023)
August 7, 2023	Filing 129 CLERK'S NOTICE TO COUNSEL RE DOCKET NO. #128 . September 28, 2023 is not an available hearing date. Counsel are directed to check the Court's scheduling notes and then e-file a revised stipulation and proposed order proposing a hearing date when the Court is available. (This is a text-only entry generated by the court. There is no document associated with this entry.) (ndr, COURT STAFF) (Filed on 8/7/2023)
August 4, 2023	Filing 128 *RE-FILED AS DOCKET NO. #130 .*STIPULATION WITH PROPOSED ORDER to Continue Hearing on Motions to Dismiss filed by Mark Samarghandi. (Kathrein, Reed) (Filed on 8/4/2023) Modified on 8/9/2023 (ndr, COURT STAFF).
July 26, 2023	Filing 127 NOTICE of Change In Counsel by Reed R. Kathrein (Kathrein, Reed) (Filed on 7/26/2023)
July 19, 2023	Filing 126 CLERK'S NOTICE. Notice is hereby given that the hearings on the ( #105 , #109 , and #113 ) motions to dismiss, previously set for August 17, 2023, are continued to August 24, 2023, before Judge Haywood S. Gilliam, Jr., at 2:00 p.m., in Courtroom 2, 4th Floor, 1301 Clay Street, Oakland, CA. (This is a text-only entry generated by the court. There is no document associated with this entry.) (ndr, COURT STAFF) (Filed on 7/19/2023)
July 18, 2023	Filing 125 ORDER GRANTING #124 STIPULATION Extending Time and Page Limits for Defendants' Replies in Support of Motions to Dismiss.Reset Deadlines as to #113 , #109 , #105 MOTIONS to Dismiss : Replies due by 8/16/2023. Signed by Judge Haywood S. Gilliam, Jr. on 7/18/2023. (ndr, COURT STAFF) (Filed on 7/18/2023) Modified on 7/18/2023 to remove misc text (ndr, COURT STAFF).
July 18, 2023	Filing 124 STIPULATION WITH PROPOSED ORDER Extending Time and Page Limits for Defendants' Replies in Support of Motions to Dismiss filed by Edward Y. Abbo, David Barter, C3.ai, Inc., Thomas M. Siebel, Lorenzo Simonelli. (Olivar, Harry) (Filed on 7/18/2023) Modified on 7/19/2023 (anj, COURT STAFF).
July 12, 2023	#Electronic filing error. REMINDER: Counsel must update personal profile for change of contact information to be in effect. Re: #123 Notice of Change of Address filed by Baker Hughes Company (anj, COURT STAFF) (Filed on 7/12/2023)
July 11, 2023	Filing 123 NOTICE of Change of Address by Jessica Valenzuela (Valenzuela, Jessica) (Filed on 7/11/2023)
July 7, 2023	Filing 122 EXHIBITS RECEIVED- Flash drive of video re #120 -4 Declaration in Support, filed byMark Samarghandi. (Related document(s) #120 ) (anj, COURT STAFF) (Filed on 7/7/2023)
July 3, 2023	Filing 121 CLERK'S NOTICE TO COUSNEL RE DOCKET NOS. #119 AND #120 . In the future when filing an opposition/response, please be sure that the supporting documents (declarations, exhibits, and proposed order) are e-filed as attachments to the opposition/response filing and not e-filed as separate filings on the docket. (This is a text-only entry generated by the court. There is no document associated with this entry.) (ndr, COURT STAFF) (Filed on 7/3/2023)
June 30, 2023	* Party Deutsche Bank Securities, Inc., J.P. Morgan Securities LLC, JMP Securities LLC, KeyBanc Capital Markets Inc., Morgan Stanley & Co. LLC, Needham & Company, LLC, Piper Sandler & Co., Wedbush Securities Inc., BofA Securities, Inc. and Canaccord Genuity LLC Terminated, See Docket No. #118 . * (ndr, COURT STAFF) (Filed on 6/30/2023)
June 30, 2023	Filing 120 Declaration of Reed R. Kathrein in Support of #119 Opposition/Response to Motion,,, < filed by Mark Samarghandi. (Attachments: #1 Exhibit 1 - Joint Venture Agreement, #2 Exhibit 2 - Third Amendment to Joint Venture Agreement, #3 Exhibit 3 - CNBC Article, #4 Exhibit 4 - CNBC Video [manually filed], #5 Exhibit 5 - Quarterly Report for period ended Oct. 31, 2021)(Related document(s) #119 ) (Kathrein, Reed) (Filed on 6/30/2023) Modified on 7/3/2023 (jml, COURT STAFF).
June 30, 2023	Filing 119 OPPOSITION/RESPONSE (re #113 MOTION to Dismiss Amended Class Action Complaint, and Joinder in C3 Defendants' Motion to Dismiss in Section I.A. and I.B. and in C3 Defendants' Request for Judicial Notice with respect to Exhibit B, #109 MOTION to Dismiss #71 Amended Class Action Complaint, and Joinder in C3 Defendants' #105 Motion to Dismiss, #105 MOTION to Dismiss Plaintiffs' Amended Class Action Complaint Pursuant to Fed. R. Civ. P. 12(B)(6) ) (PLAINTIFFS' OMNIBUS OPPOSITION TO DEFENDANTS' MOTIONS TO DISMISS) filed byMark Samarghandi. (Attachments: #1 Appendix A, #2 Appendix B, #3 Appendix C, #4 Appendix D, #5 Appendix E, #6 Appendix F, #7 Request for Judicial Notice)(Kathrein, Reed) (Filed on 6/30/2023)
June 30, 2023	Filing 118 STIPULATION OF VOLUNTARY DISMISSAL WITH PREJUDICE as to Underwriter Defendants filed by Mark Samarghandi, Sharon L. Zavalanski, David Linder, Elizabeth Wensel, Morgan Stanley & Co. LLC; J.P. Morgan Securities LLC; BofA Securities, Inc.; Deutsche Bank Securities Inc.; Canaccord Genuity LLC; JMP Securities LLC; KeyBanc Capital Markets Inc.; Needham & Company, LLC; Piper Sandler & Co.; and Wedbush Securities Inc.. (Kathrein, Reed) (Filed on 6/30/2023) Modified on 7/3/2023 (jml, COURT STAFF).
June 8, 2023	Filing 117 ORDER by Judge Haywood S. Gilliam, Jr. Granting #116 Stipulation Regarding Omnibus Briefing and Page Limits. (ndr, COURT STAFF) (Filed on 6/8/2023)
May 31, 2023	Filing 116 STIPULATION WITH PROPOSED ORDER Regarding Omnibus Briefing and Page Limits filed by Mark Samarghandi. (Kathrein, Reed) (Filed on 5/31/2023)
May 23, 2023	Reset Deadlines as to #109 MOTION to Dismiss, See Docket No. #100 : Responses due by 6/30/2022 and Replies due by 8/2/2022. (ndr, COURT STAFF) (Filed on 5/23/2023)
May 9, 2023	Filing 115 ORDER by Hon. Haywood S. Gilliam, Jr. In light of Dkt. No. #112 Baker Hughes's notice of errata, the Court DIRECTS the Clerk to permanently remove Dkt. No. 108 from the docket. (This is a text-only entry generated by the court. There is no document associated with this entry.) (hsglc2, COURT STAFF) (Filed on 5/9/2023)
May 9, 2023	Filing 114 ORDER by Judge Haywood S. Gilliam, Jr. Granting #102 Motion for Pro Hac Vice for Youngwood, Jonathan. (ndr, COURT STAFF) (Filed on 5/9/2023)
May 1, 2023	Filing 113 MOTION to Dismiss Amended Class Action Complaint, and Joinder in C3 Defendants' Motion to Dismiss in Section I.A. and I.B. and in C3 Defendants' Request for Judicial Notice with respect to Exhibit B filed by BofA Securities, Inc., Canaccord Genuity LLC, Deutsche Bank Securities, Inc., J.P. Morgan Securities LLC, JMP Securities LLC, KeyBanc Capital Markets Inc., Morgan Stanley & Co. LLC, Needham & Company, LLC, Piper Sandler & Co., Wedbush Securities Inc.. Motion Hearing set for 8/17/2023 02:00 PM in Oakland, Courtroom 2, 4th Floor before Judge Haywood S Gilliam Jr.. Responses due by 6/30/2023. Replies due by 8/2/2023. (Attachments: #1 Proposed Order)(Strauss, Simona) (Filed on 5/1/2023)
May 1, 2023	Filing 112 NOTICE by Baker Hughes Company re 108 Opposition/Response to Motion, - NOTICE OF ERRATA (Adams, George) (Filed on 5/1/2023)
May 1, 2023	Filing 111 NOTICE of Appearance by George Bell Adams, III for Baker Hughes Company (Adams, George) (Filed on 5/1/2023)
May 1, 2023	Filing 110 Rule 7.1 Disclosures by Baker Hughes Company identifying Other Affiliate Capital Research Global Investors, Other Affiliate Capital World Investors, Other Affiliate The Vanguard Group for Baker Hughes Company. ; and Civil L.R. 3-15 Certificate of Interested Entities or Persons (Valenzuela, Jessica) (Filed on 5/1/2023)
May 1, 2023	Filing 109 MOTION to Dismiss #71 Amended Class Action Complaint, and Joinder in C3 Defendants' #105 Motion to Dismiss filed by Baker Hughes Company. Motion Hearing set for 8/17/2023 02:00 PM in Oakland, Courtroom 2, 4th Floor before Judge Haywood S Gilliam Jr.. Responses due by 5/15/2023. Replies due by 5/22/2023. (Attachments: #1 Proposed Order)(Valenzuela, Jessica) (Filed on 5/1/2023)
May 1, 2023	Filing 108 OPPOSITION/RESPONSE (re #105 MOTION to Dismiss Plaintiffs' Amended Class Action Complaint Pursuant to Fed. R. Civ. P. 12(B)(6) ) and Joinder in C3 Defendants' #105 Motion to Dismiss filed byBaker Hughes Company. (Attachments: # 1 Proposed Order)(Valenzuela, Jessica) (Filed on 5/1/2023) ATTACHMENT #1 REMOVED PER ORDER DKT115 Modified on 5/10/2023 (kab, COURT STAFF).
May 1, 2023	Filing 107 NOTICE of Appearance by Jessica Valenzuela for Baker Hughes Company (Valenzuela, Jessica) (Filed on 5/1/2023)
May 1, 2023	Filing 106 Declaration of Harry A. Olivar in Support of #105 MOTION to Dismiss Plaintiffs' Amended Class Action Complaint Pursuant to Fed. R. Civ. P. 12(B)(6) filed byEdward Y. Abbo, David Barter, C3.ai, Inc., Thomas M. Siebel, Lorenzo Simonelli. (Attachments: #1 Exhibit A - December 1, 2021 Form 8-K, #2 Exhibit B - C3 Prospectus, #3 Exhibit C - C3 Registration Statement, #4 Exhibit D - 2021 Form 10-K, #5 Exhibit E - 2022 Form 10-K, #6 Exhibit F - March 1, 2021 Form 8-K, #7 Exhibit G - June 2, 2021 Form 8-K, #8 Exhibit H - September 1, 2021 Form 8-K, #9 Exhibit I - August 20, 2021 Proxy, #10 Exhibit J - August 24, 2022 Proxy, #11 Exhibit K - Baker Hughes April 8, 2021 Form 4, #12 Exhibit L - Baker Hughes April 9, 2021 Form 4, #13 Exhibit M - Baker Hughes April 23, 2021 Form 4, #14 Exhibit N - Baker Hughes April 8, 2021 Form 144, #15 Exhibit O - Baker Hughes April 16, 2021 Form 144, #16 Exhibit P - December 2, 2021 Bank of America Report, #17 Exhibit Q - December 2, 2021 Deutsche Bank Report, #18 Exhibit R - December 2, 2021 J.P. Morgan Report)(Related document(s) #105 ) (Olivar, Harry) (Filed on 5/1/2023)
May 1, 2023	Filing 105 MOTION to Dismiss Plaintiffs' Amended Class Action Complaint Pursuant to Fed. R. Civ. P. 12(B)(6) filed by Edward Y. Abbo, David Barter, C3.ai, Inc., Thomas M. Siebel, Lorenzo Simonelli. Motion Hearing set for 8/17/2023 02:00 PM in Oakland, Courtroom 2, 4th Floor before Judge Haywood S Gilliam Jr.. Responses due by 6/30/2023. Replies due by 8/2/2023. (Attachments: #1 Appendix A, #2 Request for Judicial Notice, #3 Proposed Order)(Olivar, Harry) (Filed on 5/1/2023)
April 26, 2023	Filing 104 Rule 7.1 Disclosures by C3.ai, Inc. (Olivar, Harry) (Filed on 4/26/2023)
April 19, 2023	Filing 103 Corporate Disclosure Statement by BofA Securities, Inc., Canaccord Genuity LLC, Deutsche Bank Securities, Inc., J.P. Morgan Securities LLC, JMP Securities LLC, KeyBanc Capital Markets Inc., Morgan Stanley & Co. LLC, Needham & Company, LLC, Piper Sandler & Co., Wedbush Securities Inc. identifying Corporate Parent JPMorgan Chase & Co., Other Affiliate The Vanguard Group, Inc., Other Affiliate J.P. Morgan Broker Dealer Holdings Inc. for J.P. Morgan Securities LLC; Corporate Parent DB U.S. Financial Markets Holding Corporation, Corporate Parent DB USA Corporation, Corporate Parent Deutsche Bank AG for Deutsche Bank Securities, Inc.; Corporate Parent KeyCorp for KeyBanc Capital Markets Inc.; Corporate Parent NB Holdings Corporation, Corporate Parent Bank of America Corporation, Other Affiliate Berkshire Hathaway Inc. for BofA Securities, Inc. ; Corporate Parent Needham Group, Inc. for Needham & Company, LLC; Corporate Parent JMP Group Inc., Corporate Parent Citizens Financial Group, Inc., Corporate Parent JMP Investment Holdings LLC, Corporate Parent JMP Group LLC, Corporate Parent JMP Holding LLC for JMP Securities LLC; Corporate Parent Wedbush Financial Services, LLC, Corporate Parent Wedbush Capital for Wedbush Securities Inc.; Corporate Parent Morgan Stanley Capital Management, LLC, Corporate Parent Morgan Stanley Domestic Holdings, Inc., Corporate Parent Morgan Stanley, Other Affiliate Mitsubishi UFJ Financial Group Inc. for Morgan Stanley & Co. LLC; Corporate Parent Piper Sandler Companies, Other Affiliate The Vanguard Group, Inc., Other Affiliate BlackRock, Inc. for Piper Sandler & Co.; Corporate Parent Canaccord Genuity Group Inc., Corporate Parent Canaccord Adams Delaware Inc., Corporate Parent Collins Stewart Inc., Corporate Parent Canaccord Adams Financial Group Inc. for Canaccord Genuity LLC. (Strauss, Simona) (Filed on 4/19/2023)
April 18, 2023	Filing 102 MOTION for leave to appear in Pro Hac Vice ( Filing fee $ 317, receipt number ACANDC-18184815.) filed by BofA Securities, Inc., Canaccord Genuity LLC, Deutsche Bank Securities, Inc., J.P. Morgan Securities LLC, JMP Securities LLC, KeyBanc Capital Markets Inc., Morgan Stanley & Co. LLC, Needham & Company, LLC, Piper Sandler & Co., Wedbush Securities Inc.. (Youngwood, Jonathan) (Filed on 4/18/2023)
April 18, 2023	Filing 101 NOTICE of Appearance by Simona Gurevich Strauss (Strauss, Simona) (Filed on 4/18/2023)
April 12, 2023	* 5/1/2023 Amended Pleadings Deadline Terminated. 5/1/2023 is Response to Amended Pleadings Deadline. See Docket No. #100 . * (ndr, COURT STAFF) (Filed on 4/12/2023)
April 11, 2023	Filing 100 ORDER by Judge Haywood S. Gilliam, Jr. granting #99 Stipulation Extending Time for Defendants to Respond to Amended Class Action Complaint. Amended Pleadings due by 5/1/2023; Motions due by 5/15/2023; Responses due by 6/30/2023; and Replies due by 8/2/2023. (ndr, COURT STAFF) (Filed on 4/11/2023)
April 10, 2023	Filing 99 STIPULATION WITH PROPOSED ORDER re #71 Amended Complaint,, Extending Time for Defendants to Respond to Amended Class Action Complaint filed by David Linder, Dennis Martinez, Mark Samarghandi, Christie Sweeney, The Reckstin Family Trust, Elizabeth Wensel, Sharon L. Zavalanski. (Kathrein, Reed) (Filed on 4/10/2023)
April 5, 2023	Filing 98 ORDER by Judge Haywood S. Gilliam, Jr. Granting #81 Motion for Pro Hac Vice for Empson, Leigha. (ndr, COURT STAFF) (Filed on 4/5/2023)
April 4, 2023	Filing 97 SUMMONS Returned Executed by Elizabeth Wensel, Sharon L. Zavalanski, David Linder, Mark Samarghandi. Wedbush Securities Inc. served on 3/16/2023, answer due 4/6/2023. (Kathrein, Reed) (Filed on 4/4/2023)
April 4, 2023	Filing 96 SUMMONS Returned Executed by Elizabeth Wensel, Sharon L. Zavalanski, David Linder, Mark Samarghandi. Piper Sandler & Co. served on 3/16/2023, answer due 4/6/2023. (Kathrein, Reed) (Filed on 4/4/2023)
April 4, 2023	Filing 95 SUMMONS Returned Executed by Elizabeth Wensel, Sharon L. Zavalanski, David Linder, Mark Samarghandi. Needham & Company, LLC served on 3/15/2023, answer due 4/5/2023. (Kathrein, Reed) (Filed on 4/4/2023)
April 4, 2023	Filing 94 SUMMONS Returned Executed by Elizabeth Wensel, Sharon L. Zavalanski, David Linder, Mark Samarghandi. Morgan Stanley & Co. LLC served on 3/16/2023, answer due 4/6/2023. (Kathrein, Reed) (Filed on 4/4/2023)
April 4, 2023	Filing 93 SUMMONS Returned Executed by Elizabeth Wensel, Sharon L. Zavalanski, David Linder, Mark Samarghandi. KeyBanc Capital Markets Inc. served on 3/16/2023, answer due 4/6/2023. (Kathrein, Reed) (Filed on 4/4/2023)
April 4, 2023	Filing 92 SUMMONS Returned Executed by Elizabeth Wensel, Sharon L. Zavalanski, David Linder, Mark Samarghandi. JMP Securities LLC served on 3/15/2023, answer due 4/5/2023. (Kathrein, Reed) (Filed on 4/4/2023)
April 4, 2023	Filing 91 SUMMONS Returned Executed by Elizabeth Wensel, Sharon L. Zavalanski, David Linder, Mark Samarghandi. J.P. Morgan Securities LLC served on 3/16/2023, answer due 4/6/2023. (Kathrein, Reed) (Filed on 4/4/2023)
April 4, 2023	Filing 90 SUMMONS Returned Executed by Elizabeth Wensel, Sharon L. Zavalanski, David Linder, Mark Samarghandi. Deutsche Bank Securities, Inc. served on 3/16/2023, answer due 4/6/2023. (Kathrein, Reed) (Filed on 4/4/2023)
April 4, 2023	Filing 89 SUMMONS Returned Executed by Elizabeth Wensel, Sharon L. Zavalanski, David Linder, Mark Samarghandi. Canaccord Genuity LLC served on 3/16/2023, answer due 4/6/2023. (Kathrein, Reed) (Filed on 4/4/2023)
April 4, 2023	Filing 88 SUMMONS Returned Executed by Elizabeth Wensel, Sharon L. Zavalanski, David Linder, Mark Samarghandi. BofA Securities, Inc. served on 3/16/2023, answer due 4/6/2023. (Kathrein, Reed) (Filed on 4/4/2023)
April 3, 2023	Filing 87 CLERK'S NOTICE TO COUNSEL RE DOCKET NO. #81 . Your address on the application does not match the address listed on the docket. Either update your address on the docket or e-file a revised application (with attachments) with the correct address reflected on it. (This is a text-only entry generated by the court. There is no document associated with this entry.) (ndr, COURT STAFF) (Filed on 4/3/2023)
April 3, 2023	Filing 86 ORDER by Judge Haywood S. Gilliam, Jr. Granting #82 Motion for Pro Hac Vice for Waldman, Jacob. (ndr, COURT STAFF) (Filed on 4/3/2023)
April 3, 2023	Filing 85 ORDER by Judge Haywood S. Gilliam, Jr. Granting #80 Motion for Pro Hac Vice for Bernstein, Jesse. (ndr, COURT STAFF) (Filed on 4/3/2023)
April 3, 2023	Filing 84 ORDER by Judge Haywood S. Gilliam, Jr. Granting #79 Motion for Pro Hac Vice for Carlinsky, Michael. (ndr, COURT STAFF) (Filed on 4/3/2023)
April 3, 2023	Filing 83 NOTICE of Appearance by David Edward Myre, III for Defendants C3.ai, Inc., Edward Y. Abbo, David Barter, Thomas M. Siebel, and Lorenzo Simonelli (Myre, David) (Filed on 4/3/2023)
March 31, 2023	Filing 82 MOTION for leave to appear in Pro Hac Vice ( Filing fee $ 317, receipt number ACANDC-18130712.) filed by Edward Y. Abbo, David Barter, C3.ai, Inc., Thomas M. Siebel, Lorenzo Simonelli. (Waldman, Jacob) (Filed on 3/31/2023)
March 31, 2023	Filing 81 MOTION for leave to appear in Pro Hac Vice ( Filing fee $ 317, receipt number ACANDC-18130589.) filed by Edward Y. Abbo, David Barter, C3.ai, Inc., Thomas M. Siebel, Lorenzo Simonelli. (Empson, Leigha) (Filed on 3/31/2023)
March 31, 2023	Filing 80 MOTION for leave to appear in Pro Hac Vice ( Filing fee $ 317, receipt number ACANDC-18130361.) filed by Edward Y. Abbo, David Barter, C3.ai, Inc., Thomas M. Siebel, Lorenzo Simonelli. (Bernstein, Jesse) (Filed on 3/31/2023)
March 31, 2023	Filing 79 MOTION for leave to appear in Pro Hac Vice ( Filing fee $ 317, receipt number ACANDC-18130310.) filed by Edward Y. Abbo, David Barter, C3.ai, Inc., Thomas M. Siebel, Lorenzo Simonelli. (Carlinsky, Michael) (Filed on 3/31/2023)
March 31, 2023	Filing 78 NOTICE of Appearance by Harry Arthur Olivar, Jr (Olivar, Harry) (Filed on 3/31/2023)
March 29, 2023	Filing 77 ORDER by Judge Haywood S. Gilliam, Jr. Granting #76 Motion for Leave to File Excess Pages. (ndr, COURT STAFF) (Filed on 3/29/2023)
March 28, 2023	Filing 76 Joint MOTION for Leave to File Excess Pages and Proposed Order filed by C3, Inc., C3.ai, Inc.. (Olivar, Harry) (Filed on 3/28/2023)
March 14, 2023	Filing 75 Summons Issued as to Baker Hughes Company, BofA Securities, Inc., Canaccord Genuity LLC, Deutsche Bank Securities, Inc., J.P. Morgan Securities LLC, JMP Securities LLC, KeyBanc Capital Markets Inc., Morgan Stanley & Co. LLC, Needham & Company, LLC, Piper Sandler & Co., Wedbush Securities Inc.. (dhm, COURT STAFF) (Filed on 3/14/2023)
March 13, 2023	Filing 74 Proposed Summons. (Kathrein, Reed) (Filed on 3/13/2023)
February 16, 2023	Filing 73 ORDER GRANTING #72 MOTION to Withdraw as Attorney Attorney Danielle Suzanne Myers; Juan Carlos Sanchez; Shawn A. Williams; Michael Albert and Jennifer N. Caringal Terminated.Signed by Judge Haywood S. Gilliam, Jr. on 2/16/2023. (ndr, COURT STAFF) (Filed on 2/16/2023)
February 16, 2023	Filing 72 MOTION to Withdraw as Attorney filed by Hossein Y. Afshari. Responses due by 3/2/2023. Replies due by 3/9/2023. (Attachments: #1 Proposed Order)(Sanchez, Juan) (Filed on 2/16/2023)
February 15, 2023	Filing 71 AMENDED COMPLAINT against David Barter, Thomas M. Siebel, Lorenzo Simonelli, C3, Inc., Baker Hughes Company, Edward Y. Abbo, Morgan Stanley & Co. LLC, J.P. Morgan Securities LLC, BofA Securities, Inc., Deutsche Bank Securities, Inc., Canaccord Genuity LLC, JMP Securities LLC, KeyBanc Capital Markets Inc., Needham & Company, LLC, Piper Sandler & Co., Wedbush Securities Inc.. Filed byMark Samarghandi, Elizabeth Wensel, Sharon L. Zavalanski, David Linder. (Attachments: #1 Exhibit A - Certification of Sharon Zavalanski, #2 Exhibit B - Certification of David Linder, #3 Exhibit C - Certification of Elizabeth Wensel)(Kathrein, Reed) (Filed on 2/15/2023)
January 12, 2023	Filing 70 Order by Judge Haywood S Gilliam, Jr granting #69 Motion for Pro Hac Vice as to Catherine Gannon. (bxs, COURT STAFF) (Filed on 1/12/2023)
January 12, 2023	Filing 69 MOTION for leave to appear in Pro Hac Vice ( Filing fee $ 317, receipt number ACANDC-17894198.) filed by Mark Samarghandi. (Attachments: #1 Certificate of Good Standing)(Gannon, Catherine) (Filed on 1/12/2023)
January 10, 2023	Filing 68 ORDER GRANTING #67 STIPULATED SCHEDULING ORDER. Amended Pleadings due by 2/15/2023; Motions due by 4/14/2023; Responses due by 6/14/2023; and Replies due by 7/18/2023. Signed by Judge Haywood S. Gilliam, Jr. on 1/10/2023. (ndr, COURT STAFF) (Filed on 1/10/2023)
January 6, 2023	Filing 67 STIPULATION WITH PROPOSED ORDER (STIPULATION AND [PROPOSED] SCHEDULING ORDER) filed by Mark Samarghandi. (Kathrein, Reed) (Filed on 1/6/2023)
December 12, 2022	Filing 66 ORDER GRANTING SAMARGHANDIS #30 MOTION FOR APPOINTMENT AS LEAD PLAINTIFF AND LEAD COUNSEL, DENYING THE ( #11 , #18 , #25 , #26 , #35 and #39 ) REMAINING MOTIONS FOR LEAD PLAINTIFF. Case Management Statement due by 1/10/2023. Initial Case Management Conference set for 1/17/2023 02:00 PM.The 1/17/2023 proceeding will be held by AT&T Conference Line. The parties are advised that in the event of an audio problem, counsel should be prepared to attend the hearing via Zoom conference at the Courts direction. The court circulates the following conference number to allow the equivalent of a public hearing by telephone.For conference line information, see: https://apps.cand.uscourts.gov/telhrg/ All counsel, members of the public and press please use the following dial-in information below to access the conference line: Dial In: 888-808-6929Access Code: 6064255The Court may be in session with proceedings in progress when you connect to the conference line. Therefore, mute your phone if possible and wait for the Court to address you before speaking on the line. For call clarity, parties shall NOT use speaker phone or earpieces for these calls, and where at all possible, parties shall use landlines. The parties are further advised to ensure that the Court can hear and understand them clearly before speaking at length.PLEASE NOTE: Persons granted access to court proceedings held by telephone or videoconference are reminded that photographing, recording, and rebroadcasting of court proceedings, including screenshots or other visual copying of a hearing, is absolutely prohibited. See General Order 58 at Paragraph III. Signed by Judge Haywood S. Gilliam, Jr. on 12/12/2022. (ndr, COURT STAFF) (Filed on 12/12/2022)
September 6, 2022	Filing 65 RELATED CASE ORDER Re Docket No. #64 . Signed by Judge Haywood S. Gilliam, Jr. on 9/6/2022. (ndr, COURT STAFF) (Filed on 9/6/2022)
August 29, 2022	Filing 64 Judicial Referral for Purpose of Determining Relationship of Cases re 22-cv-3031-WHO. Signed by Judge William H. Orrick on 08/29/2022. (jmd, COURT STAFF) (Filed on 8/29/2022)
August 9, 2022	Filing 63 CLERK'S NOTICE RE DOCKET NOS. #11 , #18 , #25 , #25 , #30 , #35 , AND #39 . Notice is hereby given that the Court takes the pending motions to appoint lead plaintiff and lead counsel filings under submission. The hearings previously scheduled for August 18, 2022 at 2:00 p.m. are vacated. The Court will issue a written order. (This is a text-only entry generated by the court. There is no document associated with this entry.) (ndr, COURT STAFF) (Filed on 8/9/2022)
August 9, 2022	Filing 62 ORDER by Judge Haywood S. Gilliam, Jr. Granting #61 Stipulation REGARDING AMENDED COMPLAINT AND DEFENDANTS' RESPONSE. (ndr, COURT STAFF) (Filed on 8/9/2022)
August 8, 2022	Filing 61 STIPULATION WITH PROPOSED ORDER REGARDING AMENDED COMPLAINT AND DEFENDANTS' RESPONSE filed by C3.ai, Inc., Mark Samarghandi. (Olivar, Harry) (Filed on 8/8/2022) Modified on 8/9/2022 (cjl, COURT STAFF).
August 8, 2022	Filing 60 NOTICE of Appearance by Harry Arthur Olivar, Jr (Olivar, Harry) (Filed on 8/8/2022)
June 14, 2022	Filing 59 ORDER by Judge Haywood S. Gilliam, Jr. Granting #58 Motion for Pro Hac Vice for Berman, Steve. (ndr, COURT STAFF) (Filed on 6/14/2022)
June 13, 2022	Filing 58 MOTION for leave to appear in Pro Hac Vice ( Filing fee $ 317, receipt number ACANDC-17258914.) filed by Mark Samarghandi. (Berman, Steve) (Filed on 6/13/2022)
June 10, 2022	Filing 57 NOTICE OF COMPETING APPLICANTS NON-OPPOSITION TO #30 MARK SAMARGHANDIS MOTION FOR APPOINTMENT AS LEAD PLAINTIFF, AND APPROVAL OF SELECTION OF LEAD COUNSEL by Mark Samarghandi. (Gilmore, Lucas) (Filed on 6/10/2022) Modified on 6/13/2022 (cjl, COURT STAFF).
June 8, 2022	Filing 56 Notice of Withdrawal of Motion re #7 MOTION to Appoint Lead Plaintiff and Lead Counsel by Yining Cai. (Rosen, Laurence) (Filed on 6/8/2022) Modified on 6/9/2022 (cjl, COURT STAFF).
May 24, 2022	Filing 55 REPLY (re #7 MOTION to Appoint Lead Plaintiff and Lead Counsel ) in Further Support of Yining Cai's Lead Plaintiff Motion filed byYining Cai. (Attachments: #1 Declaration of Laurence M. Rosen, #2 Exhibit 1 - Movant's LIFO Dura Loss Chart)(Rosen, Laurence) (Filed on 5/24/2022)
May 24, 2022	Filing 54 REPLY (re #30 MOTION to Appoint Lead Plaintiff and Lead Counsel ) filed byMark Samarghandi. (Gilmore, Lucas) (Filed on 5/24/2022)
May 18, 2022	Filing 53 NOTICE by Leonard Janos re #11 MOTION to Appoint Lead Plaintiff and Lead Counsel Notice of Non-Opposition to Competing Lead Plaintiff Motions (Apton, Adam) (Filed on 5/18/2022)
May 18, 2022	#Electronic filing error. Document not properly linked. [err102]Corrected by Clerk's Office. No further action is necessary. Re: #50 Notice (Other), filed by Dennis Martine z, Christie Sweeney (dhm, COURT STAFF) (Filed on 5/18/2022)
May 17, 2022	Filing 52 OPPOSITION/RESPONSE (re #11 MOTION to Appoint Lead Plaintiff and Lead Counsel , #25 MOTION to Appoint Lead Plaintiff and Lead Counsel , #18 MOTION to Appoint Lead Plaintiff and Lead Counsel ; Memorandum of Law in Support Thereof, #7 MOTION to Appoint Lead Plaintiff and Lead Counsel , #39 MOTION to Appoint Lead Plaintiff and Lead Counsel , #35 MOTION to Appoint Lead Plaintiff and Lead Counsel , #26 MOTION to Appoint Lead Plaintiff and Lead Counsel ) filed byMark Samarghandi. (Attachments: #1 Declaration of Lucas E. Gilmore, #2 Exhibit A - Loss Calculations)(Gilmore, Lucas) (Filed on 5/17/2022)
May 17, 2022	Filing 51 OPPOSITION/RESPONSE (re #30 MOTION to Appoint Lead Plaintiff and Lead Counsel , #11 MOTION to Appoint Lead Plaintiff and Lead Counsel , #18 MOTION to Appoint Lead Plaintiff and Lead Counsel ; Memorandum of Law in Support Thereof ) filed byYining Cai. (Rosen, Laurence) (Filed on 5/17/2022)
May 17, 2022	Filing 50 NOTICE by Dennis Martinez, Christie Sweeney of Non-Opposition to Competing Lead Plaintiff Motions (Linehan, Charles) (Filed on 5/17/2022) Modified on 5/18/2022 linking entry to related documents #7 , #11 , #18 , #25 , #26 , #30 , #35 , #39 (dhm, COURT STAFF).
May 17, 2022	Filing 49 RESPONSE (re #30 MOTION to Appoint Lead Plaintiff and Lead Counsel , #11 MOTION to Appoint Lead Plaintiff and Lead Counsel , #25 MOTION to Appoint Lead Plaintiff and Lead Counsel , #7 MOTION to Appoint Lead Plaintiff and Lead Counsel , #39 MOTION to Appoint Lead Plaintiff and Lead Counsel , #35 MOTION to Appoint Lead Plaintiff and Lead Counsel , #26 MOTION to Appoint Lead Plaintiff and Lead Counsel ) filed by Hossein Y. Afshari. (Albert, Michael) (Filed on 5/17/2022) Modified text on 5/18/2022 (dhm, COURT STAFF).
May 17, 2022	Filing 48 Statement of Non-Opposition re #25 MOTION to Appoint Lead Plaintiff and Lead Counsel filed byFadi Karnaby. (Related document(s) #25 ) (Abadou, Ramzi) (Filed on 5/17/2022)
May 10, 2022	Filing 47 Statement of Non-Opposition re #35 MOTION to Appoint Lead Plaintiff and Lead Counsel filed byDavid Hu, Li Zhong Hu. (Related document(s) #35 ) (Del Gaizo, Gregory) (Filed on 5/10/2022)
May 10, 2022	Filing 46 CLERK'S NOTICE TO COUNSEL RE DOCKET NO. #45 . In the future when filing a notice of non-opposition, the correct event to use is statement of non-opposition located under Other Supporting Documents under the Motions and Related Filings Category. (This is a text-only entry generated by the court. There is no document associated with this entry.) (ndr, COURT STAFF) (Filed on 5/10/2022)
May 10, 2022	Filing 45 NOTICE of Non-Opposition by Sravan Potu to #39 MOTION to Appoint Lead Plaintiff and Lead Counsel (Pafiti, Jennifer) (Filed on 5/10/2022) Modified text on 5/10/2022 (dhm, COURT STAFF).
May 10, 2022	#Electronic filing error. Incorrect event used. [err101]Corrected by Clerk's Office. No further action is necessary. Re: #45 Notice (Other) filed by Sravan Potu (dhm, CO URT STAFF) (Filed on 5/10/2022)
May 4, 2022	Filing 44 CLERK'S NOTICE. Notice is hereby given that the initial case management conference, previously set for June 21, 2022, is continued to August 18, 2022 before Judge Haywood S. Gilliam, Jr., at 2:00 p.m., in Courtroom 2, 4th Floor, 1301 Clay Street, Oakland, CA. All the hearings on the pending ( #7 , #11 , #18 , #25 , #26 , #30 , #35 , #39 ) motions to appoint lead plaintiff and lead counsel are either advanced or continued to August 18, 2022, before Judge Haywood S. Gilliam, Jr., at 2:00 p.m., in Courtroom 2, 4th Floor, 1301 Clay Street, Oakland, CA. Hearing dates of July 28th, August 11th and November 3rd are vacated. (This is a text-only entry generated by the court. There is no document associated with this entry.) (ndr, COURT STAFF) (Filed on 5/4/2022)
May 4, 2022	Filing 43 CLERK'S NOTICE. Notice is hereby given that counsel must re-notice not re-file the #39 motion to appoint lead plaintiff and lead counsel. Hearing date of June 16, 2022, is vacated. The briefing schedule remains in effect. Counsel is directed to check the Court's scheduling notes before re-noticing the motion for a new hearing date. June 16th was not the Court's next available hearing date when this motion was e-filed. (This is a text-only entry generated by the court. There is no document associated with this entry.) (ndr, COURT STAFF) (Filed on 5/4/2022)
May 4, 2022	Filing 42 CLERK'S NOTICE TO COUNSEL REGARDING DOCKET NOS. #7 , #26 , AND #35 . In the future when filing a motion, please be sure that the supporting documents (declarations, exhibits, and proposed order) are e-filed as attachments to the motion filing and not e-filed as separate filings on the docket. (This is a text-only entry generated by the court. There is no document associated with this entry.) (ndr, COURT STAFF) (Filed on 5/4/2022)
May 3, 2022	Filing 41 Certificate of Interested Entities by Sravan Potu re #39 MOTION to Appoint Lead Plaintiff and Lead Counsel (Pafiti, Jennifer) (Filed on 5/3/2022)
May 3, 2022	Filing 40 CERTIFICATE of Counsel re #39 MOTION to Appoint Lead Plaintiff and Lead Counsel by Jennifer Pafiti on behalf of Sravan Potu (Pafiti, Jennifer) (Filed on 5/3/2022)
May 3, 2022	Filing 39 MOTION to Appoint Lead Plaintiff and Lead Counsel filed by Sravan Potu. Motion Hearing set for 6/16/2022 02:00 PM in Oakland, Courtroom 2, 4th Floor before Judge Haywood S Gilliam Jr.. Responses due by 5/17/2022. Replies due by 5/24/2022. (Attachments: #1 Proposed Order, #2 Declaration of Jennifer Pafiti, #3 Exhibit A - Loss Chart, #4 Exhibit B - Press Release, #5 Exhibit C - Certification, #6 Exhibit D - Declaration, #7 Exhibit E - Firm Resume)(Pafiti, Jennifer) (Filed on 5/3/2022)
May 3, 2022	Filing 38 CERTIFICATE of Counsel by Gregory Eric Del Gaizo on behalf of David Hu, Li Zhong Hu (Del Gaizo, Gregory) (Filed on 5/3/2022)
May 3, 2022	Filing 37 Certificate of Interested Entities by David Hu, Li Zhong Hu (Del Gaizo, Gregory) (Filed on 5/3/2022)
May 3, 2022	Filing 36 Declaration of Gregory E. Del Gaizo in Support of #35 MOTION to Appoint Lead Plaintiff and Lead Counsel filed byDavid Hu, Li Zhong Hu. (Attachments: #1 Exhibit A (Published Notice), #2 Exhibit B (Movants' Certifications), #3 Exhibit C (Loss Calculations), #4 Exhibit D (Robbins LLP Resume))(Related document(s) #35 ) (Del Gaizo, Gregory) (Filed on 5/3/2022)
May 3, 2022	Filing 35 MOTION to Appoint Lead Plaintiff and Lead Counsel filed by David Hu, Li Zhong Hu. Motion Hearing set for 11/3/2022 02:00 PM in Oakland, Courtroom 2, 4th Floor before Judge Haywood S Gilliam Jr.. Responses due by 5/17/2022. Replies due by 5/24/2022. (Attachments: #1 Proposed Order)(Del Gaizo, Gregory) (Filed on 5/3/2022)
May 3, 2022	Filing 34 CERTIFICATE of Counsel by Wesley Aaron Wong on behalf of Mark Samarghandi (Wong, Wesley) (Filed on 5/3/2022)
May 3, 2022	Filing 33 CERTIFICATE of Counsel by Reed R. Kathrein on behalf of Mark Samarghandi (Kathrein, Reed) (Filed on 5/3/2022)
May 3, 2022	Filing 32 CERTIFICATE of Counsel by Lucas E. Gilmore on behalf of Mark Samarghandi (Gilmore, Lucas) (Filed on 5/3/2022)
May 3, 2022	Filing 31 Certificate of Interested Entities by Mark Samarghandi (Gilmore, Lucas) (Filed on 5/3/2022)
May 3, 2022	Filing 30 MOTION to Appoint Lead Plaintiff and Lead Counsel filed by Mark Samarghandi. Motion Hearing set for 7/28/2022 02:00 PM in Oakland, Courtroom 2, 4th Floor before Judge Haywood S Gilliam Jr.. Responses due by 5/17/2022. Replies due by 5/24/2022. (Attachments: #1 Declaration of Lucas E. Gilmore, #2 Exhibit A - Movant's Certification, #3 Exhibit B - Movant's Loss Chart, #4 Exhibit C- Notice of Pendency, #5 Exhibit D- Firm Resume, #6 Exhibit E- Movant's Declaration, #7 Proposed Order)(Gilmore, Lucas) (Filed on 5/3/2022)
May 3, 2022	Filing 29 CERTIFICATE of Counsel by Charles Henry Linehan on behalf of Dennis Martinez, Christie Sweeney (Linehan, Charles) (Filed on 5/3/2022)
May 3, 2022	Filing 28 Certificate of Interested Entities by Dennis Martinez, Christie Sweeney (Linehan, Charles) (Filed on 5/3/2022)
May 3, 2022	Filing 27 Declaration of Charles H. Linehan in Support of #26 MOTION to Appoint Lead Plaintiff and Lead Counsel filed byDennis Martinez, Christie Sweeney. (Attachments: #1 Exhibit A - Press Release, #2 Exhibit B - Certification, #3 Exhibit C - Loss Chart, #4 Exhibit D - GPM Firm Resume)(Related document(s) #26 ) (Linehan, Charles) (Filed on 5/3/2022)
May 3, 2022	Filing 26 MOTION to Appoint Lead Plaintiff and Lead Counsel filed by Dennis Martinez, Christie Sweeney. Motion Hearing set for 11/3/2022 02:00 PM in Oakland, Courtroom 2, 4th Floor before Judge Haywood S Gilliam Jr.. Responses due by 5/17/2022. Replies due by 5/24/2022. (Attachments: #1 Proposed Order)(Linehan, Charles) (Filed on 5/3/2022)
May 3, 2022	Filing 25 MOTION to Appoint Lead Plaintiff and Lead Counsel filed by Fadi Karnaby. Motion Hearing set for 8/11/2022 02:00 PM in Oakland, Courtroom 2, 4th Floor before Judge Haywood S Gilliam Jr.. Responses due by 5/17/2022. Replies due by 5/24/2022. (Attachments: #1 Declaration of Ramzi Abadou, #2 Exhibit A (Certification & Schedule A), #3 Exhibit B (Loss Chart), #4 Exhibit C (Karnaby Declaration), #5 Exhibit D (GlobeNewswire PR), #6 Exhibit E (KSF Resume), #7 Proposed Order)(Abadou, Ramzi) (Filed on 5/3/2022)
May 3, 2022	Filing 24 CERTIFICATE of Counsel Pursuant to Local Rule 3-7(d) by Juan Carlos Sanchez on behalf of Hossein Y. Afshari (Sanchez, Juan) (Filed on 5/3/2022)
May 3, 2022	Filing 23 CERTIFICATE of Counsel Pursuant to Local Rule 3-7(d) by Jennifer N. Caringal on behalf of Hossein Y. Afshari (Caringal, Jennifer) (Filed on 5/3/2022)
May 3, 2022	Filing 22 CERTIFICATE of Counsel Pursuant to Local Rule 3-7(d) by Danielle Suzanne Myers on behalf of Hossein Y. Afshari (Myers, Danielle) (Filed on 5/3/2022)
May 3, 2022	Filing 21 CERTIFICATE of Counsel Pursuant to Local Rule 3-7(d) by Shawn A. Williams on behalf of Hossein Y. Afshari (Williams, Shawn) (Filed on 5/3/2022)
May 3, 2022	Filing 20 CERTIFICATE of Counsel Pursuant to Local Rule 3-7(d) by Michael Albert on behalf of Hossein Y. Afshari (Albert, Michael) (Filed on 5/3/2022)
May 3, 2022	Filing 19 Certificate of Interested Entities by Hossein Y. Afshari (Albert, Michael) (Filed on 5/3/2022)
May 3, 2022	Filing 18 MOTION to Appoint Lead Plaintiff and Lead Counsel ; Memorandum of Law in Support Thereof filed by Hossein Y. Afshari. Motion Hearing set for 11/3/2022 02:00 PM in Oakland, Courtroom 2, 4th Floor before Judge Haywood S Gilliam Jr.. Responses due by 5/17/2022. Replies due by 5/24/2022. (Attachments: #1 Declaration of Michael Albert in Support, #2 Exhibit A - PSLRA Notice, #3 Exhibit B - Certification, #4 Exhibit C - Estimate of losses, #5 Exhibit D - Mr. Afshari's Declaration, #6 Proposed Order)(Albert, Michael) (Filed on 5/3/2022)
May 3, 2022	Filing 17 NOTICE of Appearance by Michael Albert (Albert, Michael) (Filed on 5/3/2022)
May 3, 2022	Filing 16 Certificate of Interested Entities by Fadi Karnaby Pursuant to Local Rule 3-15 (Abadou, Ramzi) (Filed on 5/3/2022)
May 3, 2022	Filing 15 CERTIFICATE of Counsel Pursuant to Local Rule 3-7(d) by Ramzi Abadou on behalf of Fadi Karnaby (Abadou, Ramzi) (Filed on 5/3/2022)
May 3, 2022	Filing 14 NOTICE of Appearance by Ramzi Abadou (Abadou, Ramzi) (Filed on 5/3/2022)
May 3, 2022	Filing 13 Certificate of Interested Entities by Leonard Janos re #11 MOTION to Appoint Lead Plaintiff and Lead Counsel (Apton, Adam) (Filed on 5/3/2022)
May 3, 2022	Filing 12 CERTIFICATE of Counsel re #11 MOTION to Appoint Lead Plaintiff and Lead Counsel by Adam Marc Apton on behalf of Leonard Janos (Apton, Adam) (Filed on 5/3/2022)
May 3, 2022	Filing 11 MOTION to Appoint Lead Plaintiff and Lead Counsel filed by Leonard Janos. Motion Hearing set for 11/3/2022 02:00 PM in Oakland, Courtroom 2, 4th Floor before Judge Haywood S Gilliam Jr.. Responses due by 5/17/2022. Replies due by 5/24/2022. (Attachments: #1 Declaration of Adam M. Apton, #2 Exhibit A - PSLRA Certification, #3 Exhibit B - Loss Chart, #4 Exhibit C - PSLRA Notice, #5 Exhibit D - Janos Decl., #6 Exhibit E - LK Resume, #7 Proposed Order)(Apton, Adam) (Filed on 5/3/2022)
May 3, 2022	Filing 10 CERTIFICATE of Counsel re #7 MOTION to Appoint Lead Plaintiff and Lead Counsel by Laurence Matthew Rosen on behalf of Yining Cai (Rosen, Laurence) (Filed on 5/3/2022)
May 3, 2022	Filing 9 Certificate of Interested Entities by Yining Cai re #7 MOTION to Appoint Lead Plaintiff and Lead Counsel (Rosen, Laurence) (Filed on 5/3/2022)
May 3, 2022	Filing 8 Declaration of Laurence M. Rosen in Support of #7 MOTION to Appoint Lead Plaintiff and Lead Counsel filed byYining Cai. (Attachments: #1 Exhibit 1 - PSLRA Early Notice, #2 Exhibit 2 - PSLRA Cert., #3 Exhibit 3 - Loss Chart, #4 Exhibit 4 - Firm Resume)(Related document(s) #7 ) (Rosen, Laurence) (Filed on 5/3/2022)
May 3, 2022	Filing 7 MOTION to Appoint Lead Plaintiff and Lead Counsel filed by Yining Cai. Motion Hearing set for 11/3/2022 02:00 AM in Oakland, Courtroom 2, 4th Floor before Judge Haywood S Gilliam Jr.. Responses due by 5/17/2022. Replies due by 5/24/2022. (Attachments: #1 Proposed Order)(Rosen, Laurence) (Filed on 5/3/2022)
March 25, 2022	Filing 6 CLERK'S NOTICE. Notice is hereby given that the Case Management Conference, previously set for June 7, 2022, is continued to June 21, 2022, before Judge Haywood S. Gilliam, Jr., at 2:00 p.m. Case Management Statement due by June 14th. The June 21st proceeding will be held by AT&T Conference Line. The parties are advised that in the event of an audio problem, counsel should be prepared to attend the hearing via Zoom conference at the Courts direction. The court circulates the following conference number to allow the equivalent of a public hearing by telephone.For conference line information, see: https://apps.cand.uscourts.gov/telhrg/ All counsel, members of the public and press please use the following dial-in information below to access the conference line: Dial In: 888-808-6929Access Code: 6064255The Court may be in session with proceedings in progress when you connect to the conference line. Therefore, mute your phone if possible and wait for the Court to address you before speaking on the line. For call clarity, parties shall NOT use speaker phone or earpieces for these calls, and where at all possible, parties shall use landlines. The parties are further advised to ensure that the Court can hear and understand them clearly before speaking at length.PLEASE NOTE: Persons granted access to court proceedings held by telephone or videoconference are reminded that photographing, recording, and rebroadcasting of court proceedings, including screenshots or other visual copying of a hearing, is absolutely prohibited. See General Order 58 at Paragraph III. (This is a text-only entry generated by the court. There is no document associated with this entry.) (ndr, COURT STAFF) (Filed on 3/25/2022)
March 7, 2022	Filing 5 Summons Issued as to David Barter, C3.ai, Inc., Patricia A. House, Richard Levin, Michael G. McCaffery, Nehal Raj, Condoleezza Rice, S. Shankar Sastry, Bruce Sewell, Thomas M. Siebel, Lorenzo Simonelli, Stephen M. Ward Jr.. (dhm, COURT STAFF) (Filed on 3/7/2022)
March 7, 2022	Filing 4 Initial Case Management Scheduling Order with ADR Deadlines: Case Management Statement due by 5/31/2022. Initial Case Management Conference set for 6/7/2022 02:00 PM in Oakland, Courtroom 2, 4th Floor. (dhm, COURT STAFF) (Filed on 3/7/2022)
March 7, 2022	Filing 3 Case assigned to Judge Haywood S Gilliam, Jr. Counsel for plaintiff or the removing party is responsible for serving the Complaint or Notice of Removal, Summons and the assigned judge's standing orders and all other new case documents upon the opposing parties. For information, visit E-Filing A New Civil Case at http://cand.uscourts.gov/ecf/caseopening.Standing orders can be downloaded from the court's web page at www.cand.uscourts.gov/judges. Upon receipt, the summons will be issued and returned electronically. A scheduling order will be sent by Notice of Electronic Filing (NEF) within two business days. (cv, COURT STAFF) (Filed on 3/7/2022)
March 4, 2022	Filing 2 Proposed Summons. (Pafiti, Jennifer) (Filed on 3/4/2022)
March 4, 2022	Filing 1 CLASS ACTION COMPLAINT under private action arising under the Securities Act or Exchange Act. against David Barter, C3.ai, Inc., Patricia A. House, Richard Levin, Michael G. McCaffery, Nehal Raj, Condoleezza Rice, S. Shankar Sastry, Bruce Sewell, Thomas M. Siebel, Lorenzo Simonelli, Stephen M. Ward Jr. ( Filing fee $ 402, receipt number ACANDC-16963458.). Filed byThe Reckstin Family Trust. (Attachments: #1 Certification, #2 Schedule A, #3 Civil Cover Sheet)(Pafiti, Jennifer) (Filed on 3/4/2022) Modified on 3/7/2022 (cv, COURT STAFF).

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Search for this case: The Reckstin Family Trust v. C3.ai, Inc. et al
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Plaintiff: The Reckstin Family Trust
Represented By:	Jennifer Pafiti
Represented By:	Reed R. Kathrein
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Plaintiff: Dennis Martinez
Represented By:	Charles Henry Linehan
Represented By:	Pavithra Rajesh
Represented By:	Reed R. Kathrein
Represented By:	Robert Vincent Prongay
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Plaintiff: Christie Sweeney
Represented By:	Charles Henry Linehan
Represented By:	Pavithra Rajesh
Represented By:	Reed R. Kathrein
Represented By:	Robert Vincent Prongay
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Plaintiff: Mark Samarghandi
Represented By:	Catherine Gannon
Represented By:	Lucas E. Gilmore
Represented By:	Reed R. Kathrein
Represented By:	Steve W. Berman
Represented By:	Wesley Aaron Wong
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Plaintiff: Elizabeth Wensel
Represented By:	Reed R. Kathrein
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Plaintiff: Sharon L. Zavalanski
Represented By:	Reed R. Kathrein
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Plaintiff: David Linder
Represented By:	Reed R. Kathrein
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Defendant: C3.ai, Inc.
Represented By:	David Edward Myre, III
Represented By:	Jacob J Waldman
Represented By:	Leigha Empson
Represented By:	Harry Arthur Olivar, Jr.
Represented By:	Jesse A. Bernstein
Represented By:	Michael Barry Carlinsky
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Defendant: Thomas M. Siebel
Represented By:	David Edward Myre, III
Represented By:	Jacob J Waldman
Represented By:	Leigha Empson
Represented By:	Harry Arthur Olivar, Jr.
Represented By:	Jesse A. Bernstein
Represented By:	Michael Barry Carlinsky
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Defendant: David Barter
Represented By:	David Edward Myre, III
Represented By:	Jacob J Waldman
Represented By:	Leigha Empson
Represented By:	Harry Arthur Olivar, Jr.
Represented By:	Jesse A. Bernstein
Represented By:	Michael Barry Carlinsky
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Defendant: Patricia A. House
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Defendant: Richard Levin
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Defendant: Michael G. McCaffery
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Defendant: Nehal Raj
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Defendant: Condoleezza Rice
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Defendant: S. Shankar Sastry
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Defendant: Bruce Sewell
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Defendant: Lorenzo Simonelli
Represented By:	Leigha Empson
Represented By:	David Edward Myre, III
Represented By:	Jacob J Waldman
Represented By:	Harry Arthur Olivar, Jr.
Represented By:	Jesse A. Bernstein
Represented By:	Michael Barry Carlinsky
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Defendant: Stephen M. Ward Jr.
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Defendant: C3, Inc.
Represented By:	Harry Arthur Olivar, Jr.
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Defendant: Baker Hughes Company
Represented By:	Jessica Valenzuela
Represented By:	George Bell Adams, III
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Defendant: Edward Y. Abbo
Represented By:	David Edward Myre, III
Represented By:	Jacob J Waldman
Represented By:	Leigha Empson
Represented By:	Harry Arthur Olivar, Jr.
Represented By:	Jesse A. Bernstein
Represented By:	Michael Barry Carlinsky
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Defendant: Morgan Stanley & Co. LLC
Represented By:	Simona Gurevich Strauss
Represented By:	Jonathan K. Youngwood
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Defendant: J.P. Morgan Securities LLC
Represented By:	Simona Gurevich Strauss
Represented By:	Jonathan K. Youngwood
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Defendant: BofA Securities, Inc.
Represented By:	Simona Gurevich Strauss
Represented By:	Jonathan K. Youngwood
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Defendant: Deutsche Bank Securities, Inc.
Represented By:	Simona Gurevich Strauss
Represented By:	Jonathan K. Youngwood
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Defendant: Canaccord Genuity LLC
Represented By:	Simona Gurevich Strauss
Represented By:	Jonathan K. Youngwood
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Defendant: JMP Securities LLC
Represented By:	Simona Gurevich Strauss
Represented By:	Jonathan K. Youngwood
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Defendant: KeyBanc Capital Markets Inc.
Represented By:	Simona Gurevich Strauss
Represented By:	Jonathan K. Youngwood
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Defendant: Needham & Company, LLC
Represented By:	Simona Gurevich Strauss
Represented By:	Jonathan K. Youngwood
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Defendant: Piper Sandler & Co.
Represented By:	Simona Gurevich Strauss
Represented By:	Jonathan K. Youngwood
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Defendant: Wedbush Securities Inc.
Represented By:	Simona Gurevich Strauss
Represented By:	Jonathan K. Youngwood
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Petitioner: Yining Cai
Represented By:	Laurence Matthew Rosen
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Petitioner: Leonard Janos
Represented By:	Adam Marc Apton
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Petitioner: Fadi Karnaby
Represented By:	Ramzi Abadou
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Petitioner: Hossein Y. Afshari
Represented By:	Danielle Suzanne Myers
Represented By:	Jennifer N. Caringal
Represented By:	Juan Carlos Sanchez
Represented By:	Michael Albert
Represented By:	Shawn A. Williams
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Petitioner: David Hu
Represented By:	Brian J. Robbins
Represented By:	Craig Wallace Smith
Represented By:	Gregory Eric Del Gaizo
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Petitioner: Li Zhong Hu
Represented By:	Brian J. Robbins
Represented By:	Craig Wallace Smith
Represented By:	Gregory Eric Del Gaizo
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Petitioner: Sravan Potu
Represented By:	Jennifer Pafiti
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