US District Court Civil Docket as of 01/06/2004

United States District Court Northern District of Illinois

(Chicago) CIVIL DOCKET FOR CASE #: 1:98-cv-03450

Paskowitz, et al v. Cross, et al Assigned to: Hon. David H. Coar Demand: $0 Lead case: 1:98-cv-03450 Member case: 1:98-cv-04189Related Cases: 1:98-cv-04189 1:98-cv-07447Cause: 28:1331 Federal Question

Date Filed: 06/04/1998 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question

Plaintiff Laurence D Paskowitz represented by Arthur T. Susman

Susman & Watkins Two First National Plaza Suite 600 Chicago, IL 60603 (312) 346-3466 LEAD ATTORNEY ATTORNEY TO BE NOTICED Charles Robert Watkins Susman & Watkins Two First National Plaza Suite 600 Chicago, IL 60603 (312) 346-3466 Mary Jane Edelstein Fait Wolf, Haldenstein, Adler, Freeman & Herz LLC 656 West Randolph Street Suite 500W Chicago, IL 60661 (312) 466-9200 ATTORNEY TO BE NOTICED

Plaintiff

Jeffrey Abraham represented by Jules Brody Stull, Stull & Brody

Six East 45th Street New York, NY 10017 (212) 687-7230 LEAD ATTORNEY ATTORNEY TO BE NOTICED Jack G Fruchter Abaham, Fruchter & Twersky LLP One Penn Plaza #2805 New York, NY 10119 (212)279-5050 Mitchell M Z Twersky Law Offices of Kenneth D. Freundlich 60 East 42nd Street New York, NY 10165 (212) 557-5353 ATTORNEY TO BE NOTICED Robert D. Allison Robert D. Allison & Associates 122 S. Michigan Avenue Ste 1850 Chicago, IL 60603 427-4500 ATTORNEY TO BE NOTICED Tzivia Brody Stull, Stull & Brody Six East 45th Street New York, NY 10017 (212) 687-7230

Plaintiff

Hans Burchartz

Plaintiff

Patricia F Chandler

Plaintiff

David W Edwards, Jr

Plaintiff

Katherine Fox

Plaintiff

Christopher Germano represented by Marvin Alan Miller Miller Faucher and Cafferty, LLP 30 North LaSalle Street Suite 3200 Chicago, IL 60602 (312) 782-4880 LEAD ATTORNEY ATTORNEY TO BE NOTICED Adam J. Levitt Wolf, Haldenstein, Adler, Freeman & Herz LLC 656 West Randolph Street Suite 500W Chicago, IL 60661 (312) 466-9200 Richard D Kranich 531 Main Street Suite 407 New York, NY 10044-0107 (212) 608-8965 ATTORNEY TO BE NOTICED Samuel H Rudman Lerach Coughlin Stoia Geller Rudman & Robbins LLP 200 Broadhollow Road #406 Melville, NY 11747 (631) 367-7100 Steven G Schulman Milberg Weiss Bershad & Schulman LLP One Pennsylvania Plaza 49th Floor New York, NY 10119-0165 (212)594-5300 ATTORNEY TO BE NOTICED

Plaintiff

Christos Gines

Plaintiff

William Haun

Plaintiff

Donald Hurlbert

Plaintiff

Linda Jacobs on behalf of herself and all others similarly situated

represented by Marvin Alan Miller (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Chet B Waldman Wolf Popper, LLP 845 Third Avenue 12th Floor New York, NY 10022 (212) 759-4600 ATTORNEY TO BE NOTICED Jennifer Winter Sprengel Miller Faucher and Cafferty, LLP 30 North LaSalle Street Suite 3200 Chicago, IL 60602 (312) 782-4880 Leo W Desmond Law Offices of Leo W. Desmond 2161 Palm Beach Lakes Boulevard Suite 204 West Palm Beach, FL 33400 (561) 712-8000 ATTORNEY TO BE NOTICED

Plaintiff

Marvin Jacobs on behalf of himself and all others similarly situated

represented by Marvin Alan Miller (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Chet B Waldman (See above for address) Jennifer Winter Sprengel (See above for address) Leo W Desmond (See above for address)

ATTORNEY TO BE NOTICED Lester Levy Wolf Popper, LLP 845 Third Avenue 12th Floor New York, NY 10022 (212) 759-4600 ATTORNEY TO BE NOTICED

Plaintiff

Naxing Jin

Plaintiff

Chong-Cheng Lai

Plaintiff

Robert M. Lewis

Plaintiff

Lloyd R Martin

Plaintiff

Henry J Martinez

Plaintiff

Nadezhda Mozgovaya

Plaintiff

Bert A Newman

Plaintiff

Bobbie J O'Brien

Plaintiff

Laurence Paskowitz

Plaintiff

Donald Ragazzo

Plaintiff

Virginia Robbins

Plaintiff

Pamela Saunders

Plaintiff

Howard Saunders

Plaintiff

Virginia E Schroeder

Plaintiff

John G Simons

Plaintiff

Steven S Sittig

Plaintiff

Becky S Spencer

Plaintiff

Ann Warren

Plaintiff

Donald Warren

Plaintiff

Robert A Williadson

Plaintiff

Barry Pinkowitz on behalf of himself and all others similarly situated

represented by Michael I Behn Futterman & Howard, Chtd. 122 South Michigan Avenue Suite 1850 Chicago, IL 60603 (312) 427-3600

LEAD ATTORNEY ATTORNEY TO BE NOTICED

V.

Defendant

Robert W Cross represented by Arnold A. Pagniucci Sachnoff & Weaver, Ltd. 10 S. Wacker Drive 40th Floor Chicago, IL 60606 (312) 207-1000 LEAD ATTORNEY ATTORNEY TO BE NOTICED Bonita L. Stone Katten Muchin Zavis Rosenman 525 West Monroe Street Suite 1600 Chicago, Il 60661-3693 (312) 902-5200 TERMINATED: 12/28/1998 LEAD ATTORNEY ATTORNEY TO BE NOTICED Dawn Marie Canty Katten Muchin Zavis Rosenman 525 West Monroe Street Suite 1600 Chicago, Il 60661-3693 (312) 902-5200 TERMINATED: 12/28/1998 James A. Rolfes Sachnoff & Weaver, Ltd. 10 S. Wacker Drive 40th Floor Chicago, IL 60606 (312) 207-1000 Sarah R. Wolff Sachnoff & Weaver, Ltd. 10 S. Wacker Drive 40th Floor Chicago, IL 60606 (312) 207-1000 Stewart Theodore Kusper Katten Muchin Zavis Rosenman

525 West Monroe Street Suite 1600 Chicago, Il 60661-3693 (312) 902-5200 TERMINATED: 12/28/1998

Defendant

Dennis J Nowak represented by Bonita L. Stone (See above for address) TERMINATED: 12/28/1998 LEAD ATTORNEY ATTORNEY TO BE NOTICED Richard Lee Fenton Sonnenschein, Nath & Rosenthal, LLP 233 South Wacker Drive 8000 Sears Tower Chicago, IL 60606 (312)876-8000 LEAD ATTORNEY ATTORNEY TO BE NOTICED Dawn Marie Canty (See above for address) TERMINATED: 12/28/1998 Stewart Theodore Kusper (See above for address) TERMINATED: 12/28/1998

Defendant

Leonard A Batterson represented by Bonita L. Stone (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Dawn Marie Canty (See above for address) Stewart Theodore Kusper (See above for address)

Defendant

Steven Lazarus represented by Bonita L. Stone (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Dawn Marie Canty (See above for address) Stewart Theodore Kusper (See above for address)

Defendant

Richard W Siegel represented by Bonita L. Stone (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Dawn Marie Canty (See above for address) Stewart Theodore Kusper (See above for address)

Defendant

Robert W Shaw, Jr represented by Bonita L. Stone (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Dawn Marie Canty (See above for address) Stewart Theodore Kusper (See above for address)

Defendant

Donaldson Lufkin & Jenrette Securities Corporation

represented by Bruce Roger Braun Winston & Strawn LLP 35 West Wacker Drive 41st Floor Chicago, IL 60601 (312) 558-5139 LEAD ATTORNEY ATTORNEY TO BE NOTICED Andrew T Hahn Seyfarth Shaw 1270 Avenue of the Americas New York, NY 10020 (212)218-5500

Jeffrey E. Crane Sidley Austin Brown & Wood LLP Bank One Plaza 10 South Dearborn Street Chicago, IL 60603 (312) 853-7000 Robert M Buschmann Winston & Strawn, LLP 200 Park Avenue New York, NY 10166 (212) 294-6700 ATTORNEY TO BE NOTICED Timothy J. McCaffrey Winston & Strawn LLP 35 West Wacker Drive 41st Floor Chicago, IL 60601 (312) 558-5600

Defendant

Furman Selz LLC represented by Bruce Roger Braun (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Andrew T Hahn (See above for address) Jeffrey E. Crane (See above for address) Robert M Buschmann (See above for address) ATTORNEY TO BE NOTICED Timothy J. McCaffrey (See above for address)

Defendant

Cibc Oppenheimer Corp. represented by Bruce Roger Braun (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Andrew T Hahn (See above for address)

Jeffrey E. Crane (See above for address) Robert M Buschmann (See above for address) ATTORNEY TO BE NOTICED Timothy J. McCaffrey (See above for address)

Defendant

Nanophase Technologies Corporation represented by Bonita L. Stone (See above for address) TERMINATED: 12/28/1998 LEAD ATTORNEY ATTORNEY TO BE NOTICED David L. Weinstein Wildman, Harrold, Allen & Dixon 225 West Wacker Drive Suite 3000 Chicago, IL 60606-1229 (312) 201-2000 LEAD ATTORNEY ATTORNEY TO BE NOTICED Dawn Marie Canty (See above for address) TERMINATED: 12/28/1998 Michael R. Dockterman Wildman, Harrold, Allen & Dixon 225 West Wacker Drive Suite 3000 Chicago, IL 60606-1229 (312) 201-2000 Samuel Seth Cohen Wildman, Harrold, Allen & Dixon 225 West Wacker Drive Suite 3000 Chicago, IL 60606-1229 (312) 201-2000 Stewart Theodore Kusper (See above for address) TERMINATED: 12/28/1998

Defendant

Donaldson Lufkin

Defendant

Jenrette Securities Corporation

Date Filed # Docket Text

06/04/1998 1 COMPLAINT (Attachments); jury demand - Civil cover sheet - Appearance(s) of Charles Robert Watkins, Arthur T. Susman as attorney(s) for plaintiff ( 10 originals and 10 copies summons(es) issued.) ( Documents: 1-1 through 1-3) (rmm) (Entered: 06/05/1998)

06/04/1998 RECEIPT regarding payment of filing fee paid; on 6/4/98 in the amount of $ 150.00, receipt # 513906. (rmm) (Entered: 06/05/1998)

06/05/1998 2 RETURN OF SERVICE of summons and complaint executed upon defendant Nanophase Tech Corp on 6/4/98 (rmm) (Entered: 06/08/1998)

06/05/1998 3 RETURN OF SERVICE of summons and complaint executed upon defendant Robert W Cross on 6/4/98 (rmm) (Entered: 06/08/1998)

06/05/1998 4 RETURN OF SERVICE of summons and complaint executed upon defendant Dennis J Nowak on 6/4/98 (rmm) (Entered: 06/08/1998)

06/05/1998 5 RETURN OF SERVICE of summons and complaint executed upon defendant Leonard A Batterson on 6/4/98 (rmm) (Entered: 06/08/1998)

06/05/1998 6 RETURN OF SERVICE of summons and complaint executed upon defendant Steven Lazarus on 6/4/98 (rmm) (Entered: 06/08/1998)

06/05/1998 7 RETURN OF SERVICE of summons and complaint executed upon defendant Richard W Siegel on 6/4/98 (rmm) (Entered: 06/08/1998)

06/05/1998 8 RETURN OF SERVICE of summons and complaint executed upon defendant Robert W Shaw Jr on 6/4/98 (rmm) (Entered: 06/08/1998)

06/05/1998 9 RETURN OF SERVICE of summons and complaint executed upon defendant Donaldson Lufkin on 6/4/98 (rmm) (Entered: 06/08/1998)

06/05/1998 10 RETURN OF SERVICE of summons and complaint executed upon defendant Furman Selz LLC on 6/4/98 (rmm) (Entered: 06/08/1998)

06/05/1998 11 RETURN OF SERVICE of summons and complaint executed upon defendant Cibc Oppenheimer on 6/4/98 (rmm) (Entered: 06/08/1998)

06/26/1998 12 ATTORNEY APPEARANCE for defendants Robert W Cross, Dennis J Nowak, Leonard A Batterson, Steven Lazarus, Richard W Siegel, Robert W Shaw Jr, Nanophase Tech Corp by Bonita L. Stone, Dawn Marie Canty, Stewart Theodore Kusper (rmm) (Entered: 06/29/1998)

07/30/1998 13 ATTORNEY APPEARANCE for defendants Donaldson Lufkin, Furman Selz LLC, Cibc Oppenheimer by Bruce Roger Braun, Jeffrey E. Crane (rmm) (Entered: 08/03/1998)

07/30/1998 14 AGREED MOTION by defendants Nanophase Tech Corp, Robert W Cross, Dennis J Nowak, Leonard A Batterson, Steven Lazarus, Richard W Siegel, Robert W Shaw Jr for extension of time to answer or otherwise plead to complaint (Exhibit); Notice of agreed motion (rmm) Modified on 08/04/1998 (Entered: 08/04/1998)

07/30/1998 15 AGREED MOTION by defendants Donaldson Lufkin, Furman Selz LLC, Cibc Oppenheimer to extend time to answer or otherwise plead to class action complaint ; Notice of agreed motion (rmm) (Entered: 08/04/1998)

08/03/1998 16 MINUTE ORDER of 8/3/98 by Hon. David H. Coar : Defendants Donaldson, Lufkin & Jenerette Securities Corp., Furman Selz LLC: CIBC Oppenheimer Corp's agreed motion to extend time to answer or otherwise plead to class action complaint is granted, on or before 9/15/98 [15-1]. Mailed notice (rmm) (Entered: 08/04/1998)

08/03/1998 17 MINUTE ORDER of 8/3/98 by Hon. David H. Coar : Defendants Nanophase Technologies Corporation, Robert W. Cross, Dennis J. Nowak, Leonard A. Betterson, Steven Lazarus, Richard W. Siegel and Robert W. Shaw, Jr., motion to extend time to answer or otherwise plead to complaint is granted, answer or plead on or before 9/15/98 [14-1]. Mailed notice (rmm) (Entered: 08/04/1998)

08/03/1998 18 NOTICE of motion by regarding appointment as lead plaintiffs and for approval of proposed lead plaintiffs' choice of counsel and memorandum of law in support thereof by Nanophase plaintiffs group, Helen E Amrich, Robert Van Eman, Victoria Azrin (Attachment) (rmm) (Entered: 08/20/1998)

08/03/1998 25 MOTION by the Nanophase plaintiffs Helen E Amrich, Robert Van Eman, Victoria Azrin for appointment of lead platintiffs , and for approval of the proposed lead plaintiffs' choice of counsel with memorandum of law in support thereof (Attachments); (rmm) (Entered: 08/25/1998)

08/03/1998 25 MEMORANDUM of law by defendants Helen E Amrich, Robert Van Eman, Victoria Azrin in support of motion for appointment of lead platintiffs [25-1], and for approval of the proposed lead plaintiffs' choice of counsel [25-2] with motion (Attachments) (rmm) (Entered: 08/25/1998)

08/04/1998 19 MOTION by plaintiff for appointment of lead plaintiffs , and approval of co-lead counsel (Attachments); Notice of motion (Attachments) (rmm) (Entered: 08/20/1998)

08/04/1998 20 MEMORANDUM of law by plaintiff in support of motion for appointment of lead plaintiffs [19-1] and lead counsel [19-2] (rmm) (Entered: 08/20/1998)

08/04/1998 21 AFFIDAVIT of Jules Brody in support of movants' motion for appointment of lead plaintiffs [19-1] (Attachments) (rmm) (Entered: 08/20/1998)

08/04/1998 22 AMENDED NOTICE of motion by plaintiff regarding motion of the Naophase plaintiffs group for appointment as lead plaintiffs and for approval of the proposed lead plaintiffs' choice of counsel and memornadum of law in support thereof (rmm)

(Entered: 08/20/1998)

08/07/1998 23 AMENDED NOTICE of motion by plaintiff regarding motion for appointment of lead plaintiffs [19-1] and approval of co-lead counsel [19-2] and the memorandum of law [20-1] (rmm) (Entered: 08/20/1998)

08/18/1998 24 MINUTE ORDER of 8/18/98 by Hon. David H. Coar : Answer brief to motion for appointment of lead plaintiffs [19-1] and approval of co-lead counsel [19-2] due 8/28/98. Reply to answer brief due 9/10/98. Ruling on motion for appointment of lead plaintiffs [19-1] and approval of co-lead counsel [19-2] set for 9:30 a.m. 10/15/98. No notice (rmm) (Entered: 08/20/1998)

08/18/1998 27 MOTION by plaintiff for reassignment for all purposes based on relatedness (Exhibits) (rmm) (Entered: 08/28/1998)

08/18/1998 28 NOTICE of motion by plaintiff regarding motion for reassignment for all purposes based on relatedness [27-1] (Attachments) (rmm) Modified on 08/28/1998 (Entered: 08/28/1998)

08/26/1998 26 APPLICATION for leave to appear pro hac vice by Robert M. Buschmann for defendants Donaldson Lufkin, Furman Selz LLC, Cibc Oppenheimer ; Order entered granting leave by Hon. David H. Coar (rmm) (Entered: 08/27/1998)

08/27/1998 29 MINUTE ORDER of 8/27/98 by Hon. David H. Coar : Motion for reassignment for all purposes based on relatedness is granted [27-1]. The Court finds that the following cases are related: 98 C 3535 before Judge Lindberg; 98 C 3601 before Judge Gettleman; 98 C 4189 before Judge Conlon; and 98 C 4326 before Judge Bucklo. Mailed notice (rmm) (Entered: 08/28/1998)

08/28/1998 32 APPLICATION for leave to appear pro hac vice by Andrew T. Hahn for defendants Donaldson Lufkin, Furman Selz LLC, Cibc Oppenheimer; Order entered granting leave by Hon. David H. Coar (rmm) (Entered: 09/04/1998)

09/01/1998 30 WITHDRAWAL by Helen E Amrich, Robert Van Eman, Victoria Azrin of previously filed motion of the Nanaphase Plaintiffs Group for appointment of lead platintiffs [25-1], and for approval of the proposed lead plaintiffs' choice of counsel [25-2] (Attachment); Notice of filing (rmm) Modified on 09/02/1998 (Entered: 09/02/1998)

09/01/1998 33 RENEWED MOTION by plaintiff for appointment of lead plaintiffs , and approval of co-lead counsel (Attachments) ; Notice of motion (Attachments) (rmm) (Entered: 09/04/1998)

09/02/1998 31 MINUTE ORDER of 9/2/98 by Hon. David H. Coar : Pursuant to the withdrawal of previously filed motion ty the Nanophas Plaintiff Group filed on 9/1/98, Motion for appointment of lead platintiffs [25-1] and for approval of the proposed lead plaintiffs' choice of counsel [25-2] is withdrawn and terminated. Mailed notice (rmm) (Entered: 09/03/1998)

09/03/1998 34 ORDER appointing lead plaintiffs and approving lead plaintiffs' choice of lead counsel [331-1][33-2] (rmm) (Entered: 09/04/1998)

09/03/1998 35 MINUTE ORDER of 9/3/98 by Hon. David H. Coar : Motion for appointment of lead plaintiffs [33-1] and approval of co-lead counsel granted [33-2]. Enter order

approving the "Paskowitz Group" as lead plaintiffs and the law firms of Stull, Stull & Brody, Lowey, Dannenberg, Bemporad & Selinger, P.C. and Wolf Popper LLP as lead counsel, who will serve as an executive committee with Stull, Stull as Chair. Robert D. Allison & Associates is appoinged as co-liaison counsel. The plaintiff shall file a motion with a week to consolidate the related cases. After the filing of amended consolidated complaint the plaintifs will be required tos ubmit a supplemental order to specify the duties of each law firm. Motion to appoint lead plaintiffs and counsel is moot and terminated [19-1][19-2]. Mailed notice (rmm) (Entered: 09/04/1998)

09/11/1998 36 MOTION by plaintiff for consolidation for all purposes cases 98 C 3450, 98 C 3535, 98 C 3601, 98 C 4189, 98 C 4326 , and entry of pretrial order No. 1 (Attachment) (Exhibit); Notice of motion (rmm) Modified on 09/30/1998 (Entered: 09/30/1998)

09/17/1998 37 MINUTE ORDER of 9/17/98 by Hon. David H. Coar : Motion for consolidation for all purposes [36-1], and entry of pretrial order No. 1 is granted [36-2]. Case # 98 C 3450, 98 C 3535, 98 C 3601, 98 C 4189 and 98 C 4326 are hereby consolidated. Corrected pretrial order are to be submitted for entry. No notice (rmm) (Entered: 09/30/1998)

09/29/1998 38 PRE-TRIAL ORDER No. 1 (rmm) (Entered: 09/30/1998)

09/29/1998 39 MINUTE ORDER of 9/29/98 by Hon. David H. Coar : The consolidated actions shall be referred as "In re Nanophas Technologies Corporation Securities Litigation" No. 98 C 3450, every pleading shall bear said caption. The Clerk shall establish a master file and master docket and to file all pleadings in the Master File and note each filing on the Master Docket #98 C 3450. A consolidated class action complaint to be filed within 30 days of this order, defendant shall have 45 days after service to respond to the consolidated complaint, if response is a motion, plaintiff shall have 45 days thereafter to file response, thereafter, the defendants will have 28 days to file reply brief. Enter pretrial order no. 1. Mailed notice (rmm) (Entered: 09/30/1998)

09/30/1998 40 TRANSCRIPT of proceedings for the following date(s): 9/3/98 before Honorable David H. Coar (rmm) (Entered: 09/30/1998)

10/30/1998 41 CONSOLIDATED CLASS ACTION COMPLAINT (rmm) (Entered: 11/05/1998)

11/16/1998 42 UNOPPOSED MOTION by plaintiff for leave to file substitute pages to correct certain typographical errors in consolidated class action complaint (Attachments); Notice of motion (Attachment) (rmm) (Entered: 11/23/1998)

11/18/1998 SUMMONS (3 originals and 3 copies) issued as to defendants Cibc Oppenheimer, Donaldson Lufkin, Furman Selz LLC, Jenrette Sec Corp (rmm) (Entered: 11/19/1998)

11/19/1998 43 MINUTE ORDER of 11/19/98 by Hon. David H. Coar : Plaintiffs' unopposed motion for leave to file substitute pages to correct certain typographical errors in consolidated class action complaint is granted [42-1]. The plaintiffs shall file a corrected consolidatged class action complaint as opposed to the corrected individual pages 3, 4, 19 and 20. Mailed notice (rmm) (Entered: 11/23/1998)

11/24/1998 44 CORRECTED CONSOLIDATED CLASS ACTION COMPLAINT [1-1] by plaintiffs (rmm) (Entered: 11/25/1998)

12/10/1998 45 MOTION by defendant Donaldson Lufkin to extend time to move to dismiss and to file a brief in excess of the page limitation ; Notice. (vmj) (Entered: 12/15/1998)

12/10/1998 51 AGREED MOTION by defendants Nanophase Tech Corp, Robert W Cross, Dennis J Nowak, Leonard A Batterson, Steven Lazarus, Richard W Siegel for extension of time to file response to complaint , and for leave to file memorandum in support of motion to dismiss not to exceed twenty-five pages ; Notice of agreed motion (Attachments) (rmm) (Entered: 12/29/1998)

12/14/1998 46 MINUTE ORDER of 12/14/98 by Hon. David H. Coar: Agreed motion to extend time to move to dismiss [45-1] and to file a brief in excess of the page limitation [45-2] is granted. The Underwriter defendants have to 12/18/98 to file its motion to dismiss and to file a twenty page brief in support of its motion. No further extension will be allowed for such reasons as asserted in this motion. Status hearing set for 12/28/98 as to the Nanophase defendants and the DNOs. Mailed notice (vmj) (Entered: 12/15/1998)

12/14/1998 52 MINUTE ORDER of 12/14/98 by Hon. David H. Coar : Defendants' motion for extension of time to file response to complaint [51-1] and for leave to file memorandum in support of motion to dismiss not to exceed twenty-five pages [51-2] is entered and continued to 9:30 a.m. 12/28/98. No notice (rmm) (Entered: 12/29/1998)

12/15/1998 72 MOTION by Harbour Court LPI to modify Pretrial Order No. 1 with memorandum (Exhibits); Notice of motion (rmm) (Entered: 01/15/1999)

12/15/1998 72 MEMORANDUM by Harbour Court LPI in support of a motion to modify Pretrial Order No. 1 [72-1] with motion (Exhibits); Notice of motion (rmm) (Entered: 01/15/1999)

12/18/1998 47 MOTION by Underwriter defendants Donaldson Lufkin, Furman Selz LLC, Cibc Oppenheimer to dismiss the complaint ; Notice (Attachments) (rmm) Modified on 12/22/1998 (Entered: 12/22/1998)

12/18/1998 48 JOINT MEMORANDUM of law by Underwriter defendants Donaldson Lufkin, Furman Selz LLC, Cibc Oppenheimer in support of their motion to dismiss the complaint pursuant to Fed.R.Civ.P. 12(b)(6) [47-1] (rmm) Modified on 12/22/1998 (Entered: 12/22/1998)

12/18/1998 49 APPENDIX filed by Underwriter defendants Donaldson Lufkin, Furman Selz LLC, Cibc Oppenheimer to joint memorandum of law in support of their motion to dismiss pursuant to Fed.R.civ.P.12(b)(6) [48-1] (Exhibits) (rmm) (Entered: 12/22/1998)

12/18/1998 53 MOTION by defendants Robert W Cross, Dennis J Nowak for leave to withdraw appearances as counsel to Robert W. Cross and Dennis J. Nowak, attorneys Bonita L. Stone, Dawn M. Canty and Stewart T. Kusper (Attachment); Notice of motion (rmm) (Entered: 12/29/1998)

12/23/1998 50 MINUTE ORDER of 12/23/98 by Hon. David H. Coar : Underwriter defendants' having filed a motion {Doc #47] to dismiss the consolidated class action in lieu of

an answer, the briefing schedule contained in the court's order dated 9/29/98 is applicable and after the completion of briefing the Court will rule by mail. Mailed notice (rmm) (Entered: 12/24/1998)

12/24/1998 54 MEMORANDUM of law by plaintiffs in opposition to the motion by the KMZ attorneys for leave to withdraw appearances as counsel to Robert W. Cross and Dennis J. Nowak, attorneys Bonita L. Stone, Dawn M. Canty and Stewart T. Kusper [53-1] (rmm) (Entered: 12/29/1998)

12/28/1998 55 MOTION by defendant Nanophase Tech Corp for leave to withdraw attorneys Bonita L. Stone, Dawn M. Canty and Stewart T. Kusper as counsel of record to Nanaphase Technologies Corporation , to substitute attorney David Weinstein as attorney of record to Nanophase Technologies Corporation (Exhibit); Notice of filing (Attachment) (rmm) (Entered: 12/29/1998)

12/28/1998 56 MINUTE ORDER of 12/28/98 by Hon. David H. Coar : Defendants' motion for extension of time to file response to complaint [51-1], and for leave to file memorandum in support of motion to dismiss not to exceed twenty-five pages [51-2] is granted. Motion for leave to withdraw appearance as counsel to Robert W. Cross and Dennis J. Nowak is granted [53-1]. Leave granted Stone, Canty and Kusper to withdraw as attorney for said defendants. Mailed notice (rmm) (Entered: 12/29/1998)

12/28/1998 57 MINUTE ORDER of 12/28/98 by Hon. David H. Coar : Motion for leave to withdraw [55-1] and substitute appearance as counsel of record record to Nanophase Technologies Corporation is granted [55-2]. Leave granted Stone, Canty and Kusper to withdraw as attorney for said defendants. Leave granted David Weinstein to file and substitute appearance on behalf of Nanophase Technologies Corporation. Time to answer or plead to consolidated complaint by defendants Nanophase Corporation and Dennis J. Nowak is extended to and including 1/4/99. Leave granted to a Mr. Fenton to file and substitute appearance on behalf of Dennis Nowak. Mailed notice (rmm) (Entered: 12/29/1998)

12/28/1998 58 ATTORNEY APPEARANCE for defendant Dennis J Nowak by Richard Lee Fenton (rmm) (Entered: 12/29/1998)

12/28/1998 59 ATTORNEY APPEARANCE for defendant Nanophase Tech Corp by David L. Weinstein (rmm) (Entered: 12/29/1998)

12/28/1998 60 MOTION by outside directors Leonard A Batterson, Steven Lazarus, Robert W Shaw Jr, Richard W Siegel to dismiss corrected consolidated class action complaint ; Notice of filing (Attachment) (rmm) (Entered: 12/31/1998)

12/28/1998 61 MEMORANDUM by Outside Directors Leonard A Batterson, Steven Lazarus, Richard Siegel, Robert W Shaw Jr in support of motion to dismiss corrected consolidated class action complaint [60-1] (Attachments) (rmm) (Entered: 12/31/1998)

12/30/1998 62 TRANSCRIPT of proceedings for the following date(s): 12/28/98 before Honorable David H. Coar (rmm) (Entered: 12/31/1998)

12/30/1998 73 AMENDED NOTICE of motion by Harbour Court LPI regarding motion to modify Pretrial Order No. 1 [72-1] (rmm) (Entered: 01/15/1999)

01/04/1999 63 MOTION by defendant Dennis J Nowak to dismiss corrected consolidated class action complaint (Attachment); Notice of filing (rmm) Modified on 01/12/1999 (Entered: 01/05/1999)

01/04/1999 65 MOTION by defendant Nanophase Tech Corp to dismiss consolidated class action complaint (Attachment); Notice of filing (rmm) (Entered: 01/06/1999)

01/04/1999 66 MEMORANDUM of law by defendant Nanophase Tech Corp in support of its motion to dismiss consolidated class action complaint [65-1] (rmm) (Entered: 01/06/1999)

01/05/1999 64 ATTORNEY APPEARANCE for defendant Nanophase Tech Corp by Michael R. Dockterman, Samuel Seth Cohen; Notice of filing (rmm) (Entered: 01/06/1999)

01/06/1999 67 OBJECTIONS by lead plaintiffs to motion of plaintiff Harbor Court LPI to modify pretrial order No. 1 (rmm) Modified on 01/07/1999 (Entered: 01/07/1999)

01/06/1999 68 ATTORNEY APPEARANCE for defendant Robert W Cross by Arnold A. Pagniucci, Sarah R. Wolff (rmm) Modified on 01/29/1999 (Entered: 01/07/1999)

01/07/1999 69 ATTORNEY APPEARANCE for defendant Robert W Cross by James A. Rolfes (rmm) (Entered: 01/08/1999)

01/07/1999 74 AMENDED NOTICE of motion by Harbour Court LPI regarding motion and memorandum in support of a motion to modify Pretrial Order No. 1 [72-1], [72-1] (rmm) (Entered: 01/15/1999)

01/12/1999 70 REPLY by Harbour Court LPI plaintiff to the Paskowitz plaintiffs' objections [67-1] (Exhibits); Notice of filing (rmm) (Entered: 01/13/1999)

01/13/1999 71 MOTION by defendant Robert W Cross to dismiss corrected consolidted class action complaint (Attachments); Notice of filing (rmm) (Entered: 01/14/1999)

01/13/1999 75 MINUTE ORDER of 1/13/99 by Hon. David H. Coar : All parties in this case must adhere to Local Rule 12, if in the future parties fail to comply with this Local Rule, Motions will be stricken. Motion and Memorandum of plaintiff Harbour Court LP in support of a Motion to Modify Pretrial Order No. 1 is denied [72-1] [72-1] and motion to modify is terminated. Leave granted Robert Cross to join and adopt previously filed motions to dismiss. Ruling to issue by mail on all motions to dismiss plaintiffs' corrected consolidated class action complaint. Mailed notice (rmm) (Entered: 01/15/1999)

01/20/1999 79 MOTION by Harbour Court LPI for clarification on Pretrial Order No. 1 (Exhibits); Notice of motion (rmm) (Entered: 01/27/1999)

01/25/1999 76 OBJECTIONS by lead plaintiffs to motion of plaintiff Harbour Court LP1 for clarification of Pretrial Order No. 1 (Attachments) (rmm) (Entered: 01/26/1999)

01/25/1999 77 MOTION by lead plaintiffs for leave to file a single brief, not to exceed thirty five pages, on 2/10/99 in response to all defendants' motions to dismiss (Attachments); Notice of motion (Attachment) (rmm) (Entered: 01/27/1999)

01/26/1999 78 MINUTE ORDER of 1/26/99 by Hon. David H. Coar : Motion for leave to file a single brief, not to exceed thirty five pages, on 2/10/99 in response [77-1] to all defendants' motions to dismiss the complaint [47-1], to dismiss corrected

consolidated class action complaint [60-1], [63-1] [65-1] [71-1] granted, an appearance on 1/27/99 on this motion is not required. Mailed notice (rmm) (Entered: 01/27/1999)

01/26/1999 80 MINUTE ORDER of 1/26/99 by Hon. David H. Coar : motion for clarification on Pretrial Order No. 1 denied [79-1] Mailed notice (rmm) (Entered: 01/27/1999)

02/08/1999 81 NOTICE by plaintiff Jeffrey Abraham's attorney of change of address (Attachments) (rmm) (Entered: 02/10/1999)

02/10/1999 82 MEMORANDUM of law by plaintiffs in opposition to motion to dismiss the complaint [47-1], motion to dismiss corrected consolidated class action complaint [60-1], [63-1] [71-1], motion to dismiss consolidated class action complaint [65-1] (Exhibit) (rmm) (Entered: 02/11/1999)

03/08/1999 83 MOTION by defendants Leonard A Batterson, Steven Lazarus, Robert W Shaw Jr, Richard W Siegel, Nanophase Tech Corp, Robert W Cross, Dennis J Nowak for leave to file consolidated reply memorandum in support of motions to dismiss not to exceed thirty pages. (Attachments); Notice of motion (rmm) (Entered: 03/10/1999)

03/10/1999 84 MINUTE ORDER of 3/10/99 by Hon. David H. Coar : Defendant's motion for leave to file consolidated reply memorandum in support of motions to dismiss not to exceed thirty pages is granted [83-1]. Mailed notice (rmm) (Entered: 03/11/1999)

03/10/1999 85 JOINT REPLY memorandum of law by Underwriter defendants Donaldson Lufkin, Furman Selz LLC, Cibc Oppenheimer in support of their motion to dismiss the complaint pursuant to Fed.R.Civ.P.12(b)(6) [47-1] (Exhibit) (rmm) (Entered: 03/11/1999)

03/10/1999 86 CONSOLIDATED REPLY memorandum by The Outside Directors, Nanophase Tech Corp, Robert W Cross, Dennis J Nowak in support of motions to dismiss consolidated class action complaint [65-1], [71-1], [63-1] (rmm) (Entered: 03/12/1999)

03/10/1999 87 APPENDIX filed by The Outside Directors, Nanophase Tech Corp, Robert W Cross, Dennis J Nowak to consolidated reply memorandum in support of motions to dismiss [86-1] (1 vol) (rmm) (Entered: 03/12/1999)

03/10/1999 88 NOTICE of filing by The Outside Directors, Leonard A Batterson, Robert W Shaw Jr, Steven Lazarus, Richard W Siegel regarding Consolidated reply memorandum in support of motions to dismiss [86-1] (Attachments) (rmm) (Entered: 03/12/1999)

03/10/1999 90 MOTION by lead plaintiffs for reassignment based on relatedness , and other relief (Attachments)(Exhibits); Notice of motion (Attachments) (rmm) Modified on 03/24/1999 (Entered: 03/24/1999)

03/12/1999 89 MEMORANDUM by Harbour Ct LPI in partial opposition to lead plaintiffs' motion for reassignment based on relatedness and other requested relief (Exhibits); Notice of filing (rmm) (Entered: 03/16/1999)

03/15/1999 91 MINUTE ORDER of 3/15/99 by Hon. David H. Coar : This motion for reassignment based on relatedness is granted [90-1]. The court finds that 98 C 7447 pending before Judge Alesia is related to 98 C 3450 and will request for

reassignment, the "other relief" [90-2] is denied. Case number 98 C 7447 and 98 C 3450 are also consolidated. Mailed notice (rmm) (Entered: 03/25/1999)

04/08/1999 92 MOTION by lead plaintiffs for leave to file supplemental authority (Exhibit); Notice of motion (eav) (Entered: 04/16/1999)

04/13/1999 93 MINUTE ORDER of 4/13/99 by Hon. David H. Coar : Lead plaintiffs motion for leave to file supplemental authority is granted. [92-1] Defendants to file a 3 page reply by 4/16/99. Mailed notice (eav) (Entered: 04/16/1999)

04/16/1999 94 RESPONSE by defendants to plaintiffs' supplemental authority regarding standing (Exhibit); Notice of filing. (tlm) (Entered: 04/19/1999)

06/04/1999 95 MEMORANDUM by plaintiff Harbour Court LPI in support of motion to be appointed lead plaintiff, with motion ; (Attachments); Notice. (Attachments), with motion. (fce) Modified on 06/15/1999 (Entered: 06/08/1999)

06/04/1999 95 MOTION by plaintiff Harbour Court LPI to modify pretrial order no. 1 (Attachments); Notice, with memorandum. (fce) (Entered: 06/08/1999)

06/04/1999 97 MOTION by plaintiff Harbour Court LPI for ruling on pending lead plaintiff motion and to modify pretrial order no. 1 ; Notice. (fce) (Entered: 06/16/1999)

06/11/1999 96 OBJECTIONS by lead plaintiffs to motion of Harbour Court LPI for ruling on pending lead plaintiff motion and motion to modify pretrial order no. 1 [95-1]; (Attachments). (fce) (Entered: 06/15/1999)

06/14/1999 98 REPLY memorandum of plaintiff Harbour Court LPI in further support of its motion to be appointed lead plaintiff and to modify pretrial order number 1 [97-1] [97-2] ; Notice. (fce) (Entered: 06/16/1999)

06/15/1999 99 MINUTE ORDER of 6/15/99 by Hon. David H. Coar : Plaintiff's motion for ruling on pending lead plaintiff motion [97-1] and motion to modify pretrial order no. 1 [97-2] is taken under advisement. Ruling to issue by mail. Mailed notice (fce) (Entered: 06/16/1999)

09/01/1999 SCHEDULE set on 9/1/99 by Hon. David H. Coar : Noticed motion set for 9:15 9/7/99 No notice (smm) (Entered: 09/02/1999)

09/01/1999 100 MOTION by lead plaintiffs for leave to file supplemental authority ;(Attachments); Notice. (fce) (Entered: 09/08/1999)

09/07/1999 101 MINUTE ORDER of 9/7/99 by Hon. David H. Coar : Lead plaintiffs motion for leave to file supplemental authority in connection with defendants pending motions to dismiss the corrected consolidated class action complaint is granted. Leave granted the defendants to file a one(1) page reply within seven (7) days [100-1]. Mailed notice (fce) (Entered: 09/08/1999)

09/14/1999 102 CERTAIN defendants' Robert W Cross, Dennis J Nowak, Leonard A Batterson, Steven Lazarus, Richard W Siegel, Robert W Jr, and Nanophase Tech Corp consolidated response to plaintiffs' additional supplemental authority on standing; (Attachment); Notice. (fce) (Entered: 09/16/1999)

09/24/1999 103 MINUTE ORDER of 9/24/99 by Hon. David H. Coar : For the foregoing reasons, the defendants' motions to dismiss are granted in part and denied in part. [71-1]

[65-1] [63-1] [60-1] [47-1]. The defendants' motion to dismiss the plaintiffs who purchased securities in Nanophase Technologies Corporation after 11/26/97 as to their Section 12(a)(2) claim is granted. All other portijons of the motions to dismiss are denied. (Entered Memorandum Opinion and Order). Mailed notice (fce) (Entered: 09/30/1999)

09/27/1999 104 MINUTE ORDER of 9/27/99 by Hon. David H. Coar : For the foregoing reasons, plaintiff Habour Court LPI's motion to be appointed lead plaintiff of an additional is granted. Harbour Court LPI's motion to modify Pretrial Order No. 1 is granted. (Doc#6-1,6-2) in case 98 c 3450 are all terminated. Document numbers 71-1 and 95-1 in case # 98c3450 are terminated. [95-1] [97-1] [97-2] (Entered Memorandum Opinion and Order) Mailed notice (emd) Modified on 10/01/1999 (Entered: 09/30/1999)

09/27/1999 105 MINUTE ORDER of 9/27/99 by Hon. David H. Coar : Applicability of pretrial order no. 1 - The provisions contained in pretrial order no. 1 remain fully effective and unmodified by this order except to the extent that this order directly contradicts provisions contained in the pretrial order #1. II. Consolidation - Harbour Court action is hereby consolidated for pretrial purposes only. III. Representation of the Harbour Court Plaintiffs - The law firm of Wolf Haldenstein is designated as Lead Counsel to the class of plaintiffs represented in Harbour Court Action. IV. Organization of plaintiffs' counsel - Wolf Haldenstein Freeman shall assume a position on the Executive Committee appointed under pretrial order 1. (Entered Order to Amend Pretrial Order No. 1) Mailed notice (emd) (Entered: 10/01/1999)

10/20/1999 106 MOTION by defendants to dismiss Harbour Court complaint and to enter briefing schedule ; Notice (hp) (Entered: 10/26/1999)

10/20/1999 107 AGREED MOTION by defendants for extension of time to answer ; Notice (hp) (Entered: 10/26/1999)

10/20/1999 108 MOTION by defendants for certification of interlocutory appeal (Attachments); Notice (one volume) (hp) (Entered: 10/26/1999)

10/21/1999 SCHEDULE set on 10/21/99 by Hon. David H. Coar : Noticed motion scheduled for 9:15 10/25/99 No notice (pm) (Entered: 10/21/1999)

10/25/1999 109 MINUTE ORDER of 10/25/99 by Hon. David H. Coar : Filed defendants' motion to dismiss Harbour Court complaint. [106-1] Brief in support of motion due 11/23/99. Answer brief to motion due 01/13/00. Reply to answer brief due 02/03/00. Ruling on defendants' motion to dismiss Harbour Court complaint will be by mail. Request to enter briefing schedule is granted and entered as stated in this order. [106-2] Agreed motion for extension of time to answer or plead is granted, defendants time to answer the consolidated class action complaint is extended to and including 11/15/99. [107-1] Defendants' motion for certification of interlocutory appeal is denied. [108-1] Mailed notice (hp) (Entered: 10/26/1999)

11/15/1999 110 ANSWER and affirmative defenses by defendant Nanophase Tech Corp to corrected consolidated class action complaint [44-1]; Notice (fce) (Entered: 11/16/1999)

11/15/1999 111 ANSWER and affirmative defenses by defendant Dennis J Nowak to plaintiffs' corrected consolidated class action complaint [44-1] (fce) (Entered: 11/16/1999)

11/15/1999 112 ANSWER and affirmative defenses by defendant Robert W Cross to plaintiffs' consolidated class action complaint [44-1] ; Notice (fce) (Entered: 11/16/1999)

11/15/1999 113 ANSWER and affirmative defenses by Underwriter defendants Donaldson, Lufkin, & Jenrette Sec Corp, Furman Selz LLC, CIBC Oppenheimer, to plaintiffs' corrected consolidated class action complaint [44-1] (fce) (Entered: 11/16/1999)

11/15/1999 114 ANSWER and affirmative defenses by Outside Directors' Leonard A Batterson, Steven Lazarus, Richard W Siegel, Robert W Shaw Jr to plaintiffs' corrected consolidated class action complaint [44-1]; Notice (fce) (Entered: 11/16/1999)

11/19/1999 117 MOTION by defendants Leonard A. Batterson, Nanophase Technologies Corporation, Donaldson, Lufkin & Jenrette Securities Corp., Furman Selz, LLC and CIBC Oppenheimer Corp. (Underwriter defendants), Robert W. Cross and Dennis J. Nowak for leave to file consolidated memorandum in support of motion to dismiss not to exceed twenty-five pages ; Notice (hp) (Entered: 11/30/1999)

11/19/1999 120 MOTION by lead plaintiff Paskowitz to compel production of documents by defendants (Attachments); Notice (hp) Modified on 12/01/1999 (Entered: 12/01/1999)

11/23/1999 SCHEDULE set on 11/23/99 by Hon. David H. Coar : Noticed motion scheduled for 9:15 11/29/99 No notice (pm) (Entered: 11/23/1999)

11/23/1999 115 JOINT OPPOSITION by defendants to Paskowitz lead plaintiffs' motion to compel production of documents (Attachments); Notice (fce) (Entered: 11/24/1999)

11/23/1999 118 MINUTE ORDER of 11/23/99 by Hon. David H. Coar : Defendant's motion for leave to file consolidated memorandum in support of motion to dismiss not to exceed twenty-five pages is granted. The defendant is given leave to file the memo, the Court will review the memo and will determine if the memo is to stand or stricken. [117-1] Mailed notice (hp) (Entered: 11/30/1999)

11/23/1999 121 MOTION by lead plaintiff Harbour Court LPI to compel the production of documents by defendants ; Memorandum in support; (Attachment); Notice (hp) (Entered: 12/01/1999)

11/23/1999 122 MOTION by underwriter defendants Leonard A. Batterson, Nanophase Technologies Corp, Donaldson, Lufkin & Jenrette Securities Corp., Furman Selz LLC, CIBC Oppenheimer Corporation for leave to file twenty-four page consolidated memorandum in support of their motion to dismiss ; Notice (hp) (Entered: 12/01/1999)

11/23/1999 123 AMENDED NOTICE of motion regarding Paskowitz lead plaintiff's motion to compel by defendants [120-1] (hp) (Entered: 12/01/1999)

11/24/1999 116 REPLY brief by Paskowitz lead plaintiffs in support of their motion to compel production of documents by defendants (fce) (Entered: 11/29/1999)

11/29/1999 119 JOINT OPPOSITION by defendants to Harbour Court plaintiff's motion for production of documents by defendants; Notice (hp) Modified on 12/01/1999 (Entered: 11/30/1999)

11/29/1999 125 MINUTE ORDER of 11/29/99 by Hon. David H. Coar : Paskowitz lead plaintiffs'

motion to compel production of documents by defendants is granted. [120-1] Defendants directed to produce discovery. Mailed notice (hp) (Entered: 12/01/1999)

11/29/1999 126 MINUTE ORDER of 11/29/99 by Hon. David H. Coar : Harbour Court plaintiffs' motion to compel the production of documents by defendants [121-1] is entered and continued to 12/01/99 at 9:30 a.m. Mailed notice (hp) (Entered: 12/01/1999)

11/30/1999 124 MEMORANDUM by defendants in support of their motion to dismiss [106-1] (Attachment); Notice (one volume) (hp) (Entered: 12/01/1999)

11/30/1999 127 MINUTE ORDER of 11/30/99 by Hon. David H. Coar : Defendants' motion for leave to file twenty-four page consolidated memorandum in support of motion to dismiss is granted. [122-1] No notice (hp) (Entered: 12/01/1999)

12/01/1999 128 MINUTE ORDER of 12/1/99 by Hon. David H. Coar: Harbour court plaintiffs' motion to compel production of documents by defendants is denied [121-1]. Mailed notice (vmj) (Entered: 12/02/1999)

12/16/1999 129 AGREED MOTION by defendant Nanophase Technologies Corp., for entry of protective order (Attachment); Notice (hp) (Entered: 12/28/1999)

12/21/1999 130 MINUTE ORDER of 12/21/99 by Hon. David H. Coar : Agreed motion for entry of protective order is granted. [129-1] (Entered protective order regarding trade secrets and other confidential or proprietary information, including financial information, customer lists, customer relationships, marketing plans, manufacturing processes and other descriptive technology information that is proprietary and disclosure or dissemination could competitively impair the defendants' business or professional standing.) No notice (hp) (Entered: 12/28/1999)

12/30/1999 131 TRANSCRIPT of proceedings for the following date(s): 11/29/99 Before Honorable Judge David H. Coar (fce) (Entered: 01/03/2000)

12/30/1999 132 EMERGENCY MOTION by Harbour Ct LPI for an extension of time to file response to defendants' joint motion to dismiss ; Notice (las) (Entered: 01/07/2000)

01/04/2000 133 MINUTE ORDER of 1/4/00 by Hon. Robert W. Gettleman : Harbour Court LPI's emergency motion for an extension of time to file response to defendants' joint motion to dismiss [132-1] is entered and continued before Judge Coar for 9:15 a.m. on 1/6/00. No notice. (las) (Entered: 01/07/2000)

01/04/2000 134 AMENDED MOTION by Harbour Ct LPI for an extension of time to file response to defendants' joint motion to dismiss [132-1] ;Amended Notice (las) Modified on 01/12/2000 (Entered: 01/10/2000)

01/06/2000 135 MINUTE ORDER of 1/6/00 by Hon. David H. Coar :Plaintiff Harbour Court LPI's emergency motion for an extension of time to file response to defendants' joint motion to dismiss is granted. Plaintiff's Harbour Court LPI's amended motion for an extension of time to file response to defendants' joint motion to dismiss is granted. [132-1] Leave granted to plaintiff to file its response to the consolidated memorandum in support of the joint motion to dismiss by 2/4/00. Defendants to file response by 2/25/00. Mailed notice. Mailed notice (las) (Entered: 01/10/2000)

02/04/2000 136 MOTION by Harbour Court LPI for leave to file twenty-five page memorandum in

response to defendants' joint motion to dismiss (Attachments); Notice (dj) (Entered: 02/14/2000)

02/11/2000 137 MINUTE ORDER of 2/11/00 by Hon. David H. Coar: Harbour Court's motion for leave to file twenty-five page memorandum in response to defendants' joint motion to dismiss is granted. [136-1] Mailed notice (dj) (Entered: 02/14/2000)

02/25/2000 138 REPLY memorandum by defendant Leonard A Batterson in support of his motion to dismiss class action complaint [106-1]; (Attachments) Notice (dj) (Entered: 02/28/2000)

03/09/2000 139 MOTION by Harbour Court LPI for leave to file surreply instanter ; Memorandum in opposition; Notice (dj) (Entered: 03/16/2000)

03/15/2000 140 MINUTE ORDER of 3/15/00 by Hon. David H. Coar: Harbour Court LPI's motion for leave to file surreply instanter is denied. [139-1] All previous memoranda (except the initial motion to dismiss and memorandum in support) in refernece to the motion to dismiss are stricken. The following briefing schedule for Motion to Dismiss shall apply: Answer brief to the motion to dismiss to be filed within seven (7) days by 3/22/00; reply brief to be filed by 3/29/00. [106-1] Mailed notice (dj) (Entered: 03/16/2000)

03/21/2000 142 MOTION by lead plaintiffs David W Edwards Jr, Pamela Saunders, Howard Saunders and Steven S Sittig to be excused as lead plaintiffs (Attachments); Notice (fce) (Entered: 03/30/2000)

03/21/2000 143 MOTION by certain lead plaintiffs Hans Burchartz, Katherine Fox, Christos Gines, Donald Hurlbert, Linda Jacobs, Marvin Jacobs, Naxing Jin, Chong-Cheng Lai, Henry J Martinez, Bert A Newman, Becky S Spencer and Robert A Williadson for extension of time to respond to discovery requests (Attachment); Notice (fce) (Entered: 03/30/2000)

03/23/2000 141 REVISED RESPONSE by Harbour Court plaintiffs to defendants' motion to dismiss plaintiffs' complaint [106-1]; (Attachments) (dj) (Entered: 03/24/2000)

03/29/2000 144 REVISED REPLY memorandum by defendant Leonard A Batterson in support of motion to dismiss class action complaint [138-1] [106-1] (Attachment) ; Notice (fce) (Entered: 03/30/2000)

03/29/2000 145 MINUTE ORDER of 3/29/00 by Hon. David H. Coar : Motion of lead plaintiffs David W. Edwards, Jr., Pamela and Howard Saunders and Steven V. Sittig to be excused as lead plaintiffs is granted [142-1]. Edwards, Jr., Saunders and Sittig are excused from further service as lead plaintiffs and shall continue in the case as members of the proposed plaintiff class. Mailed notice (fce) (Entered: 03/30/2000)

03/29/2000 146 MINUTE ORDER of 3/29/00 by Hon. David H. Coar : Motion of certain lead plainitffs for extension of time to respond to discovery requests is granted [143-1] and is extended from 3/20/00 to 4/7/00. No notice (fce) (Entered: 03/30/2000)

08/11/2000 147 MINUTE ORDER of 8/11/00 by Hon. David H. Coar : For the reasons set forth in the attached memorandum opinion adn order, the defendants' motion to dismiss Harbour Court complaint is denied [106-1]. Memorandum Opinion and Order. Mailed notice (fce) (Entered: 08/14/2000)

08/21/2000 148 AGREED MOTION by defendant Leonard A Batterson for extension of time for defendants to answer the class action complaint ; Notice (fce) (Entered: 08/29/2000)

08/28/2000 149 MINUTE ORDER of 8/28/00 by Hon. David H. Coar : Agreed motion for extension of time to answer is granted [148-1]. Answer or plead on or before 9/30/00. No notice (fce) (Entered: 08/29/2000)

09/15/2000 150 TRANSCRIPT of proceedings for the following date(s): 8/28/00 Before Honorable David H. Coar (fce) (Entered: 09/18/2000)

09/25/2000 151 ATTORNEY APPEARANCE for defendants Donaldson Lufkin, Furman Selz LLC and Cibc Oppenheimer by Timothy J. McCaffrey (fce) (Entered: 09/26/2000)

09/25/2000 152 ANSWER by Underwriter defendants Donaldson Lufkin, Furman Selz LLC and Cibc Oppenheimer to plaintiffs' class action complaint [44-1] (fce) (Entered: 09/26/2000)

09/25/2000 153 ANSWER and affirmative defenses by defendant Leonard A Batterson to class action complaint for violations of the federal securities laws [44-1]; Notice (fce) (Entered: 09/26/2000)

09/25/2000 154 ANSWER by defendant Dennis J Nowak to class action complaint for violations of the federal securities laws [44-1] (fce) (Entered: 09/26/2000)

09/25/2000 155 ANSWER and affirmative defenses by defendant Nanophase Tech Corp to class action complaint for violations of the federal securities laws [44-1] (fce) (Entered: 09/27/2000)

10/10/2000 156 ATTORNEY APPEARANCE for plaintiff by Mary Jane Fait; Notice (yap) (Entered: 10/11/2000)

10/13/2000 157 AGREED MOTION by defendants for entry of protective order (Attachment); Notice (fce) (Entered: 10/25/2000)

10/23/2000 158 MINUTE ORDER of 10/23/00 by Hon. David H. Coar : Defendant's Agreed motion for entry of protective order [157-1] is entered and continued to 9:15 a.m. on 10/26/00. Mailed notice (fce) (Entered: 10/25/2000)

10/25/2000 159 MINUTE ORDER of 10/25/00 by Hon. David H. Coar : Defendant's Agreed motion for entry of protective order [157-1] is reset to 9:30 a.m. on 10/31/00. Telephoned notice (fce) (Entered: 10/25/2000)

10/31/2000 160 MINUTE ORDER of 10/31/00 by Hon. David H. Coar : Defendant's agreed motion for entry of protective order is granted [157-1] as amended on page 3, paragraph 5 of the order. The parties agree that the "qualified persons" in this order shall be deemed "qualified persons' as that term is used in the protective order entered in In Re Nanophase Technologies Corporation Securities Litigation, No. 98 C 3450 (All actions except 98 C 7447 - Paskowitz Acton) (Entered Protective Order.) No notice (fce) (Entered: 11/01/2000)

11/30/2000 162 MOTION by plaintiffs for preliminary approval of proposed class action settlement (Attachments); Notice (fce) (Entered: 12/08/2000)

12/04/2000 161 NOTICE by plaintiff Christopher Germano of change of address by Richard D.

Kranich (fce) (Entered: 12/04/2000)

12/07/2000 163 MINUTE ORDER of 12/7/00 by Hon. David H. Coar : Plaintiffs' motion for preliminary approval of proposed class action settlement is granted [162-1]. The Court finds that this case satisfies all of the requirements of FRCP 23(a) and (B)(3) and is provisionally certified as a class action for purposes of settlement only. A hearing shall be held on 9:30 a.m on 3/27/01 to determine if the proposed settlement is fair. The objections of the notice are overruled and the Court approves the notice of class action. Objection to the settlement to be filed by 3/1/01. (Entered Preliminary Approval Order.) No notice (fce) (Entered: 12/08/2000)

12/18/2000 164 AMOUNT or percentage of exclusion requests which would provide the settling defendants the option to withdraw from the settlement by plaintiffs. (ar) Modified on 01/09/2004 (Entered: 12/19/2000)

12/21/2000 165 TRANSCRIPT of proceedings for the following date(s): 12/6/00 Before Honorable David H. Coar (fce) (Entered: 12/22/2000)

03/20/2001 166 MOTION by plaintiffs for final approval of class action settlement (Attachments); Notice of motion ; Memorandum of Law in Support (eav) (Entered: 03/28/2001)

03/20/2001 167 MOTION by plaintiffs for an award of attorney fees and reimbursement of expenses out of settlement fund (Attachments); Notice of motion ; Memorandum in Support (eav) (Entered: 03/28/2001)

03/20/2001 168 AFFIDAVIT of Michael Rosenbaum of mailing (Attachments) (eav) (Entered: 03/28/2001)

03/20/2001 169 COMPENDIUM OF DECLARATIONS of plaintiffs' counsel Edwin J. Mills (Attachments) (eav) (Entered: 03/28/2001)

03/27/2001 170 MINUTE ORDER of 3/27/01 by Hon. David H. Coar : Fairness hearing held, there being no objections to the settlement and only 1 opt out, the Court finds that this case satisfies all of the requirements for settlement class certification under FRCP 23(a) and (b)(3). Plaintiff's motion for final approval of class action settlement is granted. [166-1] Plaintiff's motion for an award of attorneys' fees and [167-1] reimbursement of expenses out of settlement fund is granted. [167-2] The Court awards class counsel, int he aggregate $1,341.532.00 in attorneys' fees and $87,527.56 as reimbursement of expenses. Pursuant to Rule 54(b), there is no just reason for delay and entry of this order and judgment of dismissal and the Clerk of the Court is directed to enter this judgment forthwith. Any pending motions are moot as terminated. This order relates to all actions except 98 C 7447. Case is closed. (Entered Order and Final Judgment) terminating case Mailed notice (eav) (Entered: 03/28/2001)

05/21/2001 171 OFFER of judgment filed by defendants'; Notice. (vmj) (Entered: 05/22/2001)

07/09/2001 172 MOTION by Harbour Court LPI's Harbour Court to strike Rule 68 offer of judgment ; Memorandum in support (Attachments); Notice. (vmj) (Entered: 07/31/2001)

07/13/2001 173 AMENDED notice of motion by Harbour Court regarding motion to strike Rule 68 offer of judgment [172-1]. (vmj) (Entered: 07/31/2001)

07/20/2001 175 CONSENT by defendant Robert W Cross to exercise of jurisdiction by a United States Magistrate Judge. (rmm) (Entered: 08/06/2001)

07/20/2001 176 CONSENT by defendant Dennis J Nowak to exercise of jurisdiction by a United States Magistrate Judge. (rmm) (Entered: 08/06/2001)

07/20/2001 177 CONSENT by defendant Nanophase Tech Corp to exercise of jurisdiction by a United States Magistrate Judge. (rmm) (Entered: 08/06/2001)

07/20/2001 178 NOTICE by defendant Nanophase Tech Corp of Magistrate order [177-1] (rmm) (Entered: 08/06/2001)

07/20/2001 179 CONSENT by Donaldson Lufkin, Donaldson Lufkin, Jenrette Sec Corp, Furman Selz LLC, Cibc Oppenheimer to exercise of jurisdiction by a United States Magistrate Judge. (rmm) (Entered: 08/06/2001)

07/24/2001 180 CONSENT by defendant Leonard A Batterson to exercise of jurisdiction by a United States Magistrate Judge; Notice (rmm) (Entered: 08/06/2001)

07/30/2001 174 MINUTE ORDER of 7/30/01 by Hon. David H. Coar: The parties appeared and advised the court that the parties orally agree to settle remaining matters. Case 98 C 7447 is deconsolidated from case 98 C 3450. Consents having been executed, Case 98 C 7447 will be reassigned to Judge Ashman. All documents relating to 98 C 7447 are now to be docketed under 98 C 7447. Plaintiff Harbour Court LPI's (98 C 7447) motion to strike Rule 68 offer of judgment [172-1] is continued to 9/5/01 at 9:30 a.m. before Judge Ashman. Mailed notice (vmj) (Entered: 07/31/2001)

12/06/2001 181 MOTION by plaintiffs for an order adopting the recommendations of the claims administrator as to class members claims, compensating the claims administrator, directing distribution of the net settlement fund and granting other relief (Attachments); Notice (yap) (Entered: 12/14/2001)

12/13/2001 182 MINUTE ORDER of 12/13/01 by Hon. David H. Coar: Plaintiffs' motion for an order adopting the recommendations of the claims administrators as to class members claims, compensating the claims administrator, directing distribution of the net settlement fund and granting other relief [181-1] will be granted upon the submission of the letter from counsel as stated on the record. After reviewing the letter, the court will enter the proposed order. No notice (yap) (Entered: 12/14/2001)

12/18/2001 183 LETTER from Michael Rosenbaum to Mr. Mills dated 12/13/01 (eav) (Entered: 12/20/2001)

12/18/2001 184 LETTER from Robert D. Allison to Judge Coar dated 12/14/01 (eav) (Entered: 12/20/2001)

12/19/2001 185 MINUTE ORDER of 12/19/01 by Hon. David H. Coar : The Court adopts the recommendations of the Claims Administrator with respect to the acceptance and rejection of class member claims as set forth in the Rosenbaum Affidavit & exhibits. Those claims identified in Exhibit C to the affidavit are allowed. Those claims identified in Exhibits D & E to the affidavit are rejected. The Court approves payment to David Berdon & Co., LLP, Claims Adminsitrator in the aggregate amount of $34,384.78 and direct payment as well to Stull Stull & Boby in the amount of $588.56. Balance of any funds to be contributed to the National

Multiple Sclerosis Society. Without affecting the Final Judgment of Dismiss dated 3/2/01, upon distribution of funds, the parties to the stipulation, their agents and attorneys and the Claims Administrator are released, etc. (Entered Order) Mailed notice (eav) (Entered: 12/20/2001)

03/01/2002 186 MINUTE ORDER of 3/1/02 by Hon. David H. Coar: Motion to strike Rule 68 offer of judgment [172-1] is denied as moot and terminated. Mailed notice (rmm) (Entered: 03/04/2002)

03/20/2002 187 AFFIDAVIT of mailing of Michael Rosenbaum (Attachments) (Originally entered on wrong docket). (ntf) (Entered: 04/19/2002)

01/06/2004 188 MINUTE ORDER of 1/6/04 by Hon. David H. Coar: All matters having been resolved and the case having been closed since December of 2001 the documents that are subject to the Court's Protective order are now unsealed pursuant to LR 26.2e. Mailed notice (ntf) (Entered: 01/08/2004)

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