Oakland County Employees' Retirement System, et al v. Sotera Health Company, et al
| OAKLAND COUNTY EMPLOYEES' RETIREMENT SYSTEM, on behalf of themselves and all others similarly situated, OAKLAND COUNTY VOLUNTARY EMPLOYEES' BENEFICIARY ASSOCIATION, on behalf of themselves and all others similarly situated, WAYNE COUNTY EMPLOYEES' RETIREMENT SYSTEM, CITY OF NORTH MIAMI BEACH GENERAL EMPLOYEES RETIREMENT PLAN and CITY OF NORTH MIAMI BEACH POLICE OFFICERS AND FIREFIGHTERS' RETIREMENT PLAN |
| SOTERA HEALTH COMPANY, MICHAEL B. PETRAS, JR., SCOTT J. LEFFLER, KATHLEEN A. HOFFMAN, RUOXI CHEN, SEAN L. CUNNINGHAM, DAVID A. DONNINI, STEPHANIE M. GEVEDA, ANN R. KLEE, CONSTANTINE S. MIHAS, JAMES C. NEARY, VINCENT K. PETRELLA, WARBURG PINCOS LLC, GTCR, LLC, JP MORGAN SECURITIES, LLC, CREDIT SUISSE SECURITIES (USA), LLC, GOLDMAN SACHS & COMPANY, LLC, JEFFRIES LLC, BARCLAYS CAPITAL INC., CITIGROUP GLOBAL MARKETS, INC., RBC CAPITAL MARKETS, LLC, KEYBANC CAPITAL MARKETS INC., CITIZENS CAPITAL MARKETS, INC., ING FINANCIAL MARKETS LLC, ACADEMY SECURITIES, INC., LOOP CAPITAL MARKETS, L.L.C., PENSERA SECURITIES LLC, SIEBERT WILLIAMS SHANK & CO., LLC, TIGRESS FINANCIAL PARTNERS LLC and BNP PARIBAS SECURITIES CORPORATION |
| In re: SOTERA HEALTH COMPANY SECURITIES LITIGATIONS |
| 25-3311 |
| April 23, 2025 |
| U.S. Court of Appeals, Sixth Circuit |
| Securities Commodities Exchg. |
Opinions
We have the following opinions for this case:
| Description |
|---|
| Oakland Cnty. Emp. Retirement Sys. v. Sotera Health Co. |
Docket Report
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| Filing 54 REPLY BRIEF filed by Attorney Mr. James Abram Harrod for Appellants City of North Miami Beach General Employees Retirement Plan, City of North Miami Beach Police Officers and Firefighters' Retirement Plan, Oakland County Employees' Retirement System, Oakland County Voluntary Employees' Beneficiary Association and Wayne County Employees' Retirement System. Certificate of Service: 09/30/2025. [25-3311] (JAH) [Entered: 09/30/2025 02:24 PM] |
| Filing 53 APPEARANCE filed for Appellants City of North Miami Beach General Employees Retirement Plan, City of North Miami Beach Police Officers and Firefighters' Retirement Plan, Oakland County Employees' Retirement System, Oakland County Voluntary Employees' Beneficiary Association and Wayne County Employees' Retirement System by Susan Ranee Saunders. Certificate of Service: 09/15/2025. [25-3311] (SRS) [Entered: 09/15/2025 02:19 PM] |
| Filing 52 LETTER filed by Mr. Gary S. Feinerman for Ruoxi Chen, Sean L. Cunningham, David A. Donnini, Stephanie M. Geveda, GTCR, LLC, Kathleen A. Hoffman, Ann R. Klee, Scott J. Leffler, Constantine S. Mihas, James C. Neary, Michael B. Petras, Jr., Vincent K. Petrella, Sotera Health Company and Warburg Pincos LLC communicating dates of unavailability for oral argument: October 20-22, 2025 and December 8-12, 2025. Certificate of Service: 09/09/2025. [25-3311] (GSF) [Entered: 09/09/2025 05:55 PM] |
| Filing 51 RULING LETTER SENT setting reply brief deadline: reply brief due 09/30/2025; granting motion to extend time to file brief [ # 50 ] filed by Mr. James Abram Harrod.. (MRL) [Entered: 08/21/2025 02:14 PM] |
| Filing 50 MOTION filed by Mr. James Abram Harrod for City of North Miami Beach General Employees Retirement Plan, City of North Miami Beach Police Officers and Firefighters' Retirement Plan, Oakland County Employees' Retirement System, Oakland County Voluntary Employees' Beneficiary Association and Wayne County Employees' Retirement System to extend time to file brief. Certificate of Service: 08/21/2025. [25-3311] (JAH) [Entered: 08/21/2025 12:51 PM] |
| Filing 49 APPELLEE BRIEF filed by Mr. Gary S. Feinerman for Ruoxi Chen, Sean L. Cunningham, David A. Donnini, Stephanie M. Geveda, GTCR, LLC, Kathleen A. Hoffman, Ann R. Klee, Scott J. Leffler, Constantine S. Mihas, James C. Neary, Michael B. Petras, Jr., Vincent K. Petrella, Sotera Health Company and Warburg Pincos LLC. Certificate of Service: 08/18/2025. Argument Request: not requested. [25-3311] (GSF) [Entered: 08/18/2025 09:23 PM] |
| Filing 48 APPEARANCE filed for Appellees JP Morgan Securities, LLC, Credit Suisse Securities (USA), LLC, Goldman Sachs & Company, LLC, Jeffries LLC, Barclays Capital Inc., Citigroup Global Markets, Inc., Rbc Capital Markets, Llc, BNP Paribas Securities Corp., KeyBanc Capital Markets Inc., Citizens Capital Markets, Inc., ING Financial Markets LLC, Academy Securities, Inc., Loop Capital Markets, L.l.c., Pensera Securities LLC, Siebert Williams Shank & Co., LLC and Tigress Financial Partners LLC by Daniel Kahn. Certificate of Service: 08/18/2025. [25-3311] (DK) [Entered: 08/18/2025 06:26 PM] |
| Filing 47 APPEARANCE filed for Appellees JP Morgan Securities, LLC, Credit Suisse Securities (USA), LLC, Goldman Sachs & Company, LLC, Jeffries LLC, Barclays Capital Inc., Citigroup Global Markets, Inc., Rbc Capital Markets, Llc, BNP Paribas Securities Corp., KeyBanc Capital Markets Inc., Citizens Capital Markets, Inc., ING Financial Markets LLC, Academy Securities, Inc., Loop Capital Markets, L.l.c., Pensera Securities LLC, Siebert Williams Shank & Co., LLC and Tigress Financial Partners LLC by Daniel C. Lewis. Certificate of Service: 08/18/2025. [25-3311] (DCL) [Entered: 08/18/2025 06:12 PM] |
| Filing 46 RULING LETTER SENT resetting briefing schedule: appellee brief now due 08/18/2025; granting 30 day Unopposed motion to extend time to file brief [ # 45 ] filed by Mr. Gary S. Feinerman.. (MRL) [Entered: 06/30/2025 08:27 AM] |
| Filing 45 MOTION filed by Mr. Gary S. Feinerman for Ruoxi Chen, Sean L. Cunningham, David A. Donnini, Stephanie M. Geveda, GTCR, LLC, Kathleen A. Hoffman, Ann R. Klee, Scott J. Leffler, Constantine S. Mihas, James C. Neary, Michael B. Petras, Jr., Vincent K. Petrella, Sotera Health Company and Warburg Pincos LLC to extend time to file brief. Certificate of Service: 06/27/2025. [25-3311] (GSF) [Entered: 06/27/2025 05:37 PM] |
| Filing 44 APPELLANT BRIEF filed by Mr. James Abram Harrod for City of North Miami Beach General Employees Retirement Plan, City of North Miami Beach Police Officers and Firefighters' Retirement Plan, Oakland County Employees' Retirement System, Oakland County Voluntary Employees' Beneficiary Association and Wayne County Employees' Retirement System. Certificate of Service: 06/17/2025. Argument Request: requested. [25-3311] (JAH) [Entered: 06/17/2025 03:16 PM] |
| Filing 43 LETTER SENT to Mr. Timothy Fleming for Oakland County Employees' Retirement System, Oakland County Voluntary Employees' Beneficiary Association, Wayne County Employees' Retirement System, City of North Miami Beach General Employees Retirement Plan and City of North Miami Beach Police Officers and Firefighters' Retirement Plan, Ms. Serena P. Hallowell for Oakland County Employees' Retirement System, Oakland County Voluntary Employees' Beneficiary Association, Wayne County Employees' Retirement System, City of North Miami Beach General Employees Retirement Plan and City of North Miami Beach Police Officers and Firefighters' Retirement Plan, Mr. James Abram Harrod for Oakland County Employees' Retirement System, Oakland County Voluntary Employees' Beneficiary Association, Wayne County Employees' Retirement System, City of North Miami Beach General Employees Retirement Plan and City of North Miami Beach Police Officers and Firefighters' Retirement Plan, Mr. Gregg S. Levin for Oakland County Employees' Retirement System, Oakland County Voluntary Employees' Beneficiary Association, Wayne County Employees' Retirement System, City of North Miami Beach General Employees Retirement Plan and City of North Miami Beach Police Officers and Firefighters' Retirement Plan, Mr. William Stephen Norton for Oakland County Employees' Retirement System, Oakland County Voluntary Employees' Beneficiary Association, Wayne County Employees' Retirement System, City of North Miami Beach General Employees Retirement Plan and City of North Miami Beach Police Officers and Firefighters' Retirement Plan, Mr. Adam T. Savett for City of North Miami Beach General Employees Retirement Plan and City of North Miami Beach Police Officers and Firefighters' Retirement Plan, Mr. Scott D. Simpkins for Oakland County Employees' Retirement System, Oakland County Voluntary Employees' Beneficiary Association, Wayne County Employees' Retirement System, City of North Miami Beach General Employees Retirement Plan and City of North Miami Beach Police Officers and Firefighters' Retirement Plan, Mr. John M. Alten for Citigroup Global Markets, Inc., BNP Paribas, Goldman Sachs & Company, LLC, Barclays Capital Inc., Credit Suisse Securities (USA), LLC, Rbc Capital Markets, Llc, Loop Capital Markets, L.l.c., JP Morgan Securities, LLC, Jeffries LLC, KeyBanc Capital Markets Inc., Citizens Capital Markets, Inc., ING Financial Markets LLC, Academy Securities, Inc., Pensera Securities LLC, Siebert Williams Shank & Co., LLC and Tigress Financial Partners LLC, Mr. Gary S. Feinerman for Sotera Health Company, Michael B. Petras, Jr., Scott J. Leffler, Kathleen A. Hoffman, Ruoxi Chen, Sean L. Cunningham, David A. Donnini, Stephanie M. Geveda, Ann R. Klee, Constantine S. Mihas, James C. Neary, Vincent K. Petrella, Warburg Pincos LLC and GTCR, LLC, Ms. Renatta A. Gorski for Sotera Health Company, Michael B. Petras, Jr., Scott J. Leffler, Kathleen A. Hoffman, Ruoxi Chen, David A. Donnini, Stephanie M. Geveda, Ann R. Klee, Constantine S. Mihas, James C. Neary, Vincent K. Petrella, Warburg Pincos LLC and GTCR, LLC, Mr. Jeff G. Hammel for Sotera Health Company, Michael B. Petras, Jr., Scott J. Leffler, Kathleen A. Hoffman, Ruoxi Chen, Sean L. Cunningham, David A. Donnini, Stephanie M. Geveda, Ann R. Klee, Constantine S. Mihas, James C. Neary and Vincent K. Petrella, Mr. Benjamin Evan Harris for Sotera Health Company, Michael B. Petras, Jr., Scott J. Leffler, Kathleen A. Hoffman, Ruoxi Chen, David A. Donnini, Stephanie M. Geveda, Ann R. Klee, Constantine S. Mihas, James C. Neary, Vincent K. Petrella, Warburg Pincos LLC and GTCR, LLC, Mr. Nicholas J. Siciliano for Sotera Health Company, Michael B. Petras, Jr., Scott J. Leffler, Kathleen A. Hoffman, Ruoxi Chen, David A. Donnini, Stephanie M. Geveda, Ann R. Klee, Constantine S. Mihas, James C. Neary, Vincent K. Petrella, Warburg Pincos LLC and GTCR, LLC and Mr. William J. Trach for Sotera Health Company, Michael B. Petras, Jr., Scott J. Leffler, Kathleen A. Hoffman, Ruoxi Chen, Sean L. Cunningham, David A. Donnini, Stephanie M. Geveda, Ann R. Klee, Constantine S. Mihas, James C. Neary, Vincent K. Petrella, Warburg Pincos LLC and GTCR, LLC, regarding amended caption (MRL) [Entered: 06/16/2025 01:55 PM] |
| Filing 42 Mediation Office is no longer involved in this appeal. (MLB) [Entered: 05/15/2025 01:25 PM] |
| Filing 41 Letter sent by Mediation Office REGARDING MEDIATION: The Mediation Conference scheduled for 05/21/2025 is hereby canceled. (LMR) [Entered: 05/13/2025 04:11 PM] |
| Filing 40 APPEARANCE filed for Appellees Sotera Health Company, Michael B. Petras, Jr., Scott J. Leffler, Kathleen A. Hoffman, Ruoxi Chen, Sean L. Cunningham, David A. Donnini, Stephanie M. Geveda, Ann R. Klee, Constantine S. Mihas, James C. Neary, Vincent K. Petrella, Warburg Pincos LLC and GTCR, LLC by Benjamin Evan Harris. Certificate of Service: 05/09/2025. [25-3311] (BEH) [Entered: 05/09/2025 06:53 PM] |
| Filing 39 APPEARANCE filed for Appellees Sotera Health Company, Michael B. Petras, Jr., Scott J. Leffler, Kathleen A. Hoffman, Ruoxi Chen, Sean L. Cunningham, David A. Donnini, Stephanie M. Geveda, Ann R. Klee, Constantine S. Mihas, James C. Neary, Vincent K. Petrella, Warburg Pincos LLC and GTCR, LLC by Renatta Ann Gorski. Certificate of Service: 05/09/2025. [25-3311] (RAG) [Entered: 05/09/2025 06:47 PM] |
| Filing 38 APPEARANCE filed for Appellees Sotera Health Company, Michael B. Petras, Jr., Scott J. Leffler, Kathleen A. Hoffman, Ruoxi Chen, Sean L. Cunningham, David A. Donnini, Stephanie M. Geveda, Ann R. Klee, Constantine S. Mihas, James C. Neary, Vincent K. Petrella, Warburg Pincos LLC and GTCR, LLC by Nicholas J. Siciliano. Certificate of Service: 05/09/2025. [25-3311] (NJS) [Entered: 05/09/2025 06:43 PM] |
| Filing 37 APPEARANCE filed for Appellees Sotera Health Company, Michael B. Petras, Jr., Scott J. Leffler, Kathleen A. Hoffman, Ruoxi Chen, Sean L. Cunningham, David A. Donnini, Stephanie M. Geveda, Ann R. Klee, Constantine S. Mihas, James C. Neary, Vincent K. Petrella, Warburg Pincos LLC and GTCR, LLC by William J. Trach. Certificate of Service: 05/09/2025. [25-3311] (WJT) [Entered: 05/09/2025 06:39 PM] |
| Filing 36 APPEARANCE filed for Appellees Sotera Health Company, Michael B. Petras, Jr., Scott J. Leffler, Kathleen A. Hoffman, Ruoxi Chen, Sean L. Cunningham, David A. Donnini, Stephanie M. Geveda, Ann R. Klee, Constantine S. Mihas, James C. Neary, Vincent K. Petrella, Warburg Pincos LLC and GTCR, LLC by Gary Feinerman. Certificate of Service: 05/09/2025. [25-3311] (GSF) [Entered: 05/09/2025 02:48 PM] |
| Filing 35 BRIEFING LETTER SENT setting briefing schedule: appellant brief due 06/17/2025;. appellee brief due 07/17/2025; (MRL) [Entered: 05/08/2025 07:16 AM] |
| Filing 34 CORPORATE DISCLOSURE STATEMENT. Name of Counsel: John M. Alten ; Tigress Financial Partners LLC makes the following disclosure: 1. Is said party a subsidiary or affiliate of a publicly owned corporation? Tigress Financial Partners LLC is a subsidiary of Tigress Holdings LLC. No publicly held corporation owns 10% or more of Tigress Financial Partners LLC's stock. 2. Is there a publicly owned corporation, not a party to the appeal, with a financial interest in the outcome? NO Certificate of Service: 05/07/2025. [25-3311] (JMA) [Entered: 05/07/2025 10:33 PM] |
| Filing 33 CORPORATE DISCLOSURE STATEMENT. Name of Counsel: John M. Alten ; Siebert Williams Shank & Co., LLC makes the following disclosure: 1. Is said party a subsidiary or affiliate of a publicly owned corporation? NO 2. Is there a publicly owned corporation, not a party to the appeal, with a financial interest in the outcome? NO Certificate of Service: 05/07/2025. [25-3311] (JMA) [Entered: 05/07/2025 10:32 PM] |
| Filing 32 CORPORATE DISCLOSURE STATEMENT. Name of Counsel: John M. Alten ; Rbc Capital Markets, Llc makes the following disclosure: 1. Is said party a subsidiary or affiliate of a publicly owned corporation? RBC Capital Markets, LLC is an indirect, wholly owned subsidiary of Royal Bank of Canada. Royal Bank of Canada is a publicly traded corporation listed on the New York Stock Exchange and Toronto Stock Exchange. Royal Bank of Canada has no parent company, and there are no publicly held corporations that own 10% or more of Royal Bank of Canada's common stock. 2. Is there a publicly owned corporation, not a party to the appeal, with a financial interest in the outcome? NO Certificate of Service: 05/07/2025. [25-3311] (JMA) [Entered: 05/07/2025 10:31 PM] |
| Filing 31 CORPORATE DISCLOSURE STATEMENT. Name of Counsel: John M. Alten ; Pensera Securities LLC makes the following disclosure: 1. Is said party a subsidiary or affiliate of a publicly owned corporation? NO 2. Is there a publicly owned corporation, not a party to the appeal, with a financial interest in the outcome? NO Certificate of Service: 05/07/2025. [25-3311] (JMA) [Entered: 05/07/2025 10:28 PM] |
| Filing 30 CORPORATE DISCLOSURE STATEMENT. Name of Counsel: John M. Alten ; Loop Capital Markets, L.l.c. makes the following disclosure: 1. Is said party a subsidiary or affiliate of a publicly owned corporation? Loop Capital Markets LLC is majority owned by Loop Capital, LLC, a wholly-owned subsidiary of Loop Capital Holdings LLC. No publicly held company holds 10% or more of Loop Capital Markets LLC's stock. 2. Is there a publicly owned corporation, not a party to the appeal, with a financial interest in the outcome? NO Certificate of Service: 05/07/2025. [25-3311] (JMA) [Entered: 05/07/2025 10:26 PM] |
| Filing 29 CORPORATE DISCLOSURE STATEMENT. Name of Counsel: John M. Alten ; KeyBanc Capital Markets Inc. makes the following disclosure: 1. Is said party a subsidiary or affiliate of a publicly owned corporation? KeyBanc Capital Markets Inc. is wholly owned by KeyCorp, a publicly traded company. No other publicly held corporation owns 10% or more of KeyBanc's stock. 2. Is there a publicly owned corporation, not a party to the appeal, with a financial interest in the outcome? NO Certificate of Service: 05/07/2025. [25-3311] (JMA) [Entered: 05/07/2025 10:24 PM] |
| Filing 28 CORPORATE DISCLOSURE STATEMENT. Name of Counsel: John M. Alten ; JP Morgan Securities, LLC makes the following disclosure: 1. Is said party a subsidiary or affiliate of a publicly owned corporation? J.P. Morgan Securities LLC is an indirect, wholly-owned subsidiary of JPMorgan Chase & Co., which is a publicly held corporation. JPMorgan Chase & Co. does not have a parent corporation. To the best of JPMorgan Chase & Co.'s knowledge, no publicly held corporation owns 10% or more of its stock. 2. Is there a publicly owned corporation, not a party to the appeal, with a financial interest in the outcome? NO Certificate of Service: 05/07/2025. [25-3311] (JMA) [Entered: 05/07/2025 10:22 PM] |
| Filing 27 CORPORATE DISCLOSURE STATEMENT. Name of Counsel: John M. Alten ; Jeffries LLC makes the following disclosure: 1. Is said party a subsidiary or affiliate of a publicly owned corporation? Jefferies LLC is a limited liability company wholly owned by Jefferies Financial Group Inc. 2. Is there a publicly owned corporation, not a party to the appeal, with a financial interest in the outcome? NO Certificate of Service: 05/07/2025. [25-3311] (JMA) [Entered: 05/07/2025 10:21 PM] |
| Filing 26 CORPORATE DISCLOSURE STATEMENT. Name of Counsel: John M. Alten ; ING Financial Markets LLC makes the following disclosure: 1. Is said party a subsidiary or affiliate of a publicly owned corporation? ING Financial Markets LLC is an indirect wholly-owned subsidiary of ING Groep, NV, a publicly traded corporation. No other publicly held corporation owns 10 percent or more of ING Financial Markets LLC. 2. Is there a publicly owned corporation, not a party to the appeal, with a financial interest in the outcome? NO Certificate of Service: 05/07/2025. [25-3311] (JMA) [Entered: 05/07/2025 10:07 PM] |
| Filing 25 CORPORATE DISCLOSURE STATEMENT. Name of Counsel: John M. Alten ; Goldman Sachs & Company, LLC makes the following disclosure: 1. Is said party a subsidiary or affiliate of a publicly owned corporation? Goldman Sachs & Co. LLC is a wholly-owned subsidiary of The Goldman Sachs Group, Inc. (Group Inc.), except for de minimis non-voting, non-participating interests held by unaffiliated broker-dealers. Group Inc. is a corporation organized under the laws of Delaware and whose shares are publicly traded on the New York Stock Exchange. No other publicly held company owns a 10% or more interest in Goldman Sachs & Co. LLC. 2. Is there a publicly owned corporation, not a party to the appeal, with a financial interest in the outcome? NO Certificate of Service: 05/07/2025. [25-3311] (JMA) [Entered: 05/07/2025 10:05 PM] |
| Filing 24 CORPORATE DISCLOSURE STATEMENT. Name of Counsel: John M. Alten ; Credit Suisse Securities (USA), LLC makes the following disclosure: 1. Is said party a subsidiary or affiliate of a publicly owned corporation? Credit Suisse Securities (USA) LLC is directly held by Credit Suisse (USA) LLC (99%) and Credit Suisse Group Finance (U.S.) LLC (1%) and further indirectly fully held by UBS Group AG through Credit Suisse Holdings (USA), Inc., UBS Americas Holding LLC and UBS AG. UBS Group AG has no parent company, and no publicly held corporation owns ten percent or more of its stock. 2. Is there a publicly owned corporation, not a party to the appeal, with a financial interest in the outcome? NO Certificate of Service: 05/07/2025. [25-3311] (JMA) [Entered: 05/07/2025 10:04 PM] |
| Filing 23 CORPORATE DISCLOSURE STATEMENT. Name of Counsel: John M. Alten ; Citizens Capital Markets, Inc. makes the following disclosure: 1. Is said party a subsidiary or affiliate of a publicly owned corporation? Citizens JMP Securities, LLC, successor-by-merger to Citizens Capital Markets, Inc., is a wholly owned indirect subsidiary of Citizens Financial Group, Inc. 2. Is there a publicly owned corporation, not a party to the appeal, with a financial interest in the outcome? No Certificate of Service: 05/07/2025. [25-3311] (JMA) [Entered: 05/07/2025 10:01 PM] |
| Filing 22 CORPORATE DISCLOSURE STATEMENT. Name of Counsel: John M. Alten ; Citigroup Global Markets, Inc. makes the following disclosure: 1. Is said party a subsidiary or affiliate of a publicly owned corporation? Citigroup Global Markets Inc. is an indirect, wholly-owned subsidiary of Citigroup Inc., a publicly held corporation that has no parent corporation. To the best of its knowledge, no publicly held corporation owns 10% or more stock in Citigroup Inc. 2. Is there a publicly owned corporation, not a party to the appeal, with a financial interest in the outcome? NO Certificate of Service: 05/07/2025. [25-3311] (JMA) [Entered: 05/07/2025 09:58 PM] |
| Filing 21 CORPORATE DISCLOSURE STATEMENT. Name of Counsel: John M. Alten ; BNP Paribas makes the following disclosure: 1. Is said party a subsidiary or affiliate of a publicly owned corporation? BNP Paribas Securities Corp. is a wholly-owned, indirect subsidiary of BNP Paribas. BNP Paribas is a publicly traded company organized under the laws of France. BNP Paribas has no parent and no publicly held corporation owns 10% or more of its shares. 2. Is there a publicly owned corporation, not a party to the appeal, with a financial interest in the outcome? NO Certificate of Service: 05/07/2025. [25-3311] (JMA) [Entered: 05/07/2025 09:56 PM] |
| Filing 20 CORPORATE DISCLOSURE STATEMENT. Name of Counsel: John M. Alten ; Barclays Capital Inc. makes the following disclosure: 1. Is said party a subsidiary or affiliate of a publicly owned corporation? Barclays Capital Inc. identifies the following as parent or publicly held corporations that own 10% or more of any class of its equity interests: Barclays Group US Inc., Barclays US LLC, Barclays US Holdings Limited, Barclays Bank PLC, and Barclays PLC 2. Is there a publicly owned corporation, not a party to the appeal, with a financial interest in the outcome? NO Certificate of Service: 05/07/2025. [25-3311] (JMA) [Entered: 05/07/2025 09:53 PM] |
| Filing 19 CORPORATE DISCLOSURE STATEMENT. Name of Counsel: John M. Alten ; Academy Securities, Inc. makes the following disclosure: 1. Is said party a subsidiary or affiliate of a publicly owned corporation? NO 2. Is there a publicly owned corporation, not a party to the appeal, with a financial interest in the outcome? NO Certificate of Service: 05/07/2025. [25-3311] (JMA) [Entered: 05/07/2025 09:50 PM] |
| Filing 18 APPEARANCE filed for Appellees BNP Paribas, Barclays Capital Inc., Academy Securities, Inc., Loop Capital Markets, L.l.c., Credit Suisse Securities (USA), LLC, Citigroup Global Markets, Inc., Citizens Capital Markets, Inc., ING Financial Markets LLC, Goldman Sachs & Company, LLC, Pensera Securities LLC, KeyBanc Capital Markets Inc., Siebert Williams Shank & Co., LLC, Tigress Financial Partners LLC, JP Morgan Securities, LLC and Rbc Capital Markets, Llc by John M. Alten. Certificate of Service: 05/07/2025. [25-3311] (JMA) [Entered: 05/07/2025 09:34 PM] |
| Filing 17 CORPORATE DISCLOSURE STATEMENT. Name of Counsel: Jeff G. Hammel ; Sotera Health Company, Michael B. Petras, Jr., Scott J. Leffler, Kathleen A. Hoffman, Ruoxi Chen, Sean L. Cunningham, David A. Donnini, Stephanie M. Geveda, Ann R. Klee, Constantine S. Mihas, James C. Neary and Vincent K. Petrella makes the following disclosure: 1. Is said party a subsidiary or affiliate of a publicly owned corporation? NO 2. Is there a publicly owned corporation, not a party to the appeal, with a financial interest in the outcome? NO [25-3311] (JGH) [Entered: 05/07/2025 05:58 PM] |
| Filing 16 TRANSCRIPT ORDER filed - transcript is already on file in the District Court Clerks Office. Filed by Mr. James Abram Harrod for City of North Miami Beach General Employees Retirement Plan, City of North Miami Beach Police Officers and Firefighters' Retirement Plan, Oakland County Employees' Retirement System, Oakland County Voluntary Employees' Beneficiary Association and Wayne County Employees' Retirement System. Certificate of Service: 05/07/2025. [25-3311] (JAH) [Entered: 05/07/2025 05:14 PM] |
| Filing 15 CIVIL APPEAL STATEMENT OF PARTIES AND ISSUES filed by Attorney Mr. James Abram Harrod for Appellants City of North Miami Beach General Employees Retirement Plan, City of North Miami Beach Police Officers and Firefighters' Retirement Plan, Oakland County Employees' Retirement System, Oakland County Voluntary Employees' Beneficiary Association and Wayne County Employees' Retirement System. Is this case a cross-appeal? No ; Has this case or a related one been before this court previously? No ; Parties Against Whom this Appeal is Being Taken: Sotera Health Company, Michael B. Petras, Jr., Scott J. Leffler, Kathleen A. Hoffman, Ruoxi Chen, Sean L. Cunningham, David A. Donnini, Stephanie M. Geveda, Ann R. Klee, Constantine S. Mihas, James C. Neary, Vincent K. Petrella, Warburg Pincos LLC, GTCR, LLC, Academy Securities, Inc., Barclays Capital Inc., BNP Paribas, Citigroup Global Markets, Inc., Citizens Capital Markets, Inc., Credit Suisse Securities (USA), LLC, Goldman Sachs & Company, LLC, ING Financial Markets LLC, Jeffries LLC, JP Morgan Securities, LLC, KeyBanc Capital Markets Inc., Loop Capital Markets, L.l.c., Pensera Securities LLC, Rbc Capital Markets, Llc, Siebert Williams Shank & Co., LLC and Tigress Financial Partners LLC ; Issues: Whether the U.S. District Court for the Northern District of Ohio erred in finding that: 1. Plaintiffs failed to plead material misstatements that trigger liability under Section 10(b) and Rule 10b-5 of the Exchange Act of 1934 with particularity; 2. Plaintiffs' claims for scheme liability under Rule 10b-5(a) and (c) should be dismissed; 3. Plaintiffs' non-fraud claims under the Securities Act of 1933 sounded in fraud and were thus subject to the enhanced pleading standards for fraud claims; and 4. Plaintiffs failed to adequately allege any actionable untrue statement of material fact or omission in the Initial Public Offering (IPO) and Secondary Public Offering (SPO) Materials, whether under the pleading standards of Rule 8(a) or 9(b). . Certificate of Service: 05/07/2025. [25-3311] (JAH) [Entered: 05/07/2025 05:11 PM] |
| Filing 14 CORPORATE DISCLOSURE STATEMENT. Name of Counsel: James A. Harrod ; City of North Miami Beach General Employees Retirement Plan and City of North Miami Beach Police Officers and Firefighters' Retirement Plan makes the following disclosure: 1. Is said party a subsidiary or affiliate of a publicly owned corporation? No 2. Is there a publicly owned corporation, not a party to the appeal, with a financial interest in the outcome? No Certificate of Service: 05/07/2025. [25-3311] (JAH) [Entered: 05/07/2025 04:26 PM] |
| Filing 13 CORPORATE DISCLOSURE STATEMENT. Name of Counsel: James A. Harrod ; Oakland County Employees' Retirement System and Oakland County Voluntary Employees' Beneficiary Association makes the following disclosure: 1. Is said party a subsidiary or affiliate of a publicly owned corporation? No 2. Is there a publicly owned corporation, not a party to the appeal, with a financial interest in the outcome? No Certificate of Service: 05/07/2025. [25-3311] (JAH) [Entered: 05/07/2025 04:09 PM] |
| Filing 12 APPEARANCE filed for Appellants City of North Miami Beach General Employees Retirement Plan and City of North Miami Beach Police Officers and Firefighters' Retirement Plan by Adam T. Savett. Certificate of Service: 05/07/2025. [25-3311] (ATS) [Entered: 05/07/2025 03:24 PM] |
| Filing 11 APPEARANCE filed for Appellees Sotera Health Company, Michael B. Petras, Jr., Scott J. Leffler, Kathleen A. Hoffman, Ruoxi Chen, Sean L. Cunningham, David A. Donnini, Stephanie M. Geveda, Ann R. Klee, Constantine S. Mihas, James C. Neary, Vincent K. Petrella, Warburg Pincos LLC and GTCR, LLC by Jeff G. Hammel. Certificate of Service: 05/07/2025. [25-3311] (JGH) [Entered: 05/07/2025 02:11 PM] |
| Filing 10 CORPORATE DISCLOSURE STATEMENT. Name of Counsel: Serena P. Hallowell ; Wayne County Employees' Retirement System makes the following disclosure: 1. Is said party a subsidiary or affiliate of a publicly owned corporation? No. 2. Is there a publicly owned corporation, not a party to the appeal, with a financial interest in the outcome? No. Certificate of Service: 05/07/2025. [25-3311] (SPH) [Entered: 05/07/2025 11:24 AM] |
| Filing 9 APPEARANCE filed for Appellants City of North Miami Beach General Employees Retirement Plan, City of North Miami Beach Police Officers and Firefighters' Retirement Plan, Oakland County Employees' Retirement System, Oakland County Voluntary Employees' Beneficiary Association and Wayne County Employees' Retirement System by Serena P. Hallowell. Certificate of Service: 05/07/2025. [25-3311] (SPH) [Entered: 05/07/2025 09:54 AM] |
| Filing 8 APPEARANCE filed for Appellants Oakland County Employees' Retirement System, Oakland County Voluntary Employees' Beneficiary Association, Wayne County Employees' Retirement System, City of North Miami Beach General Employees Retirement Plan and City of North Miami Beach Police Officers and Firefighters' Retirement Plan by Timothy G. Fleming. Certificate of Service: 05/05/2025. [25-3311] (TF) [Entered: 05/05/2025 04:53 PM] |
| Filing 7 APPEARANCE filed for Appellants Oakland County Voluntary Employees' Beneficiary Association, Oakland County Employees' Retirement System, Wayne County Employees' Retirement System, City of North Miami Beach General Employees Retirement Plan and City of North Miami Beach Police Officers and Firefighters' Retirement Plan by James A. Harrod. Certificate of Service: 05/05/2025. [25-3311] (JAH) [Entered: 05/05/2025 04:33 PM] |
| Filing 6 APPEARANCE filed for Appellants City of North Miami Beach General Employees Retirement Plan, City of North Miami Beach Police Officers and Firefighters' Retirement Plan, Oakland County Employees' Retirement System, Oakland County Voluntary Employees' Beneficiary Association and Wayne County Employees' Retirement System by William S. Norton. Certificate of Service: 05/01/2025. [25-3311] (WSN) [Entered: 05/01/2025 02:43 PM] |
| Filing 5 APPEARANCE filed for Appellants Oakland County Employees' Retirement System, Oakland County Voluntary Employees' Beneficiary Association, Wayne County Employees' Retirement System, City of North Miami Beach General Employees Retirement Plan and City of North Miami Beach Police Officers and Firefighters' Retirement Plan by Scott D. Simpkins. Certificate of Service: 04/30/2025. [25-3311] (SDS) [Entered: 04/30/2025 05:18 PM] |
| Filing 4 APPEARANCE filed for Appellants City of North Miami Beach General Employees Retirement Plan, City of North Miami Beach Police Officers and Firefighters' Retirement Plan, Oakland County Employees' Retirement System, Oakland County Voluntary Employees' Beneficiary Association and Wayne County Employees' Retirement System by Gregg S. Levin. Certificate of Service: 04/30/2025. [25-3311] (GSL) [Entered: 04/30/2025 04:12 PM] |
| Filing 3 MEDIATION OFFICE is involved in this appeal. VIDEO CONFERENCE: A Mediation conference has been scheduled for 05/21/2025 at 9:30 AM (ET) with Scott Coburn. [Please open notice for important details and deadlines.] (CAW) [Entered: 04/24/2025 12:16 PM] |
| Filing 2 The case manager for this case is: Michelle R. Lambert (MRL) [Entered: 04/23/2025 09:37 AM] |
| Filing 1 Civil Case Docketed. Notice filed by Appellants City of North Miami Beach General Employees Retirement Plan, City of North Miami Beach Police Officers and Firefighters' Retirement Plan, Oakland County Employees' Retirement System, Oakland County Voluntary Employees' Beneficiary Association and Wayne County Employees' Retirement System. Transcript needed: y. (MRL) [Entered: 04/23/2025 09:35 AM] |
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