Chesemore et al v. Alliance Holdings, Inc. et al

Filing 1137

Transmission of Notice of Appeal, Docketing Statement, Orders and Docket Sheet to Seventh Circuit Court of Appeals re: 1134 Notice of Appeal, (Attachments: # 1 Docketing Statement, # 2 Order #1031, # 3 Order #1085, # 4 Order #1086, # 5 Order #1087, # 6 Order #1121, # 7 Order #1132, # 8 Docket Sheet) (lak)

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APPEAL, BGW, CLASS_ACTION, CLOSED, DECLINE_MJ, PROTECTIVE_ORDER,

U.S. District Court
Western District of Wisconsin (Madison)
CIVIL DOCKET FOR CASE #: 3:09-cv-00413-wmc

Chesemore, Carol et al. v. Alliance Holdings, Inc. et al.
Assigned to: District Judge William M. Conley
Referred to: Magistrate Judge Stephen L. Crocker
Case in other court: USCA for the 7th Circuit, 14-03181
USCA for the 7th Circuit, 14-03215
USCA for the 7th Circuit, 14-03428
Seventh Circuit, 15-03140
Cause: 29:1001 E.R.I.S.A.: Employee Retirement

Date Filed: 06/30/2009
Date Terminated: 09/08/2014
Jury Demand: None
Nature of Suit: 791 Labor: E.R.I.S.A.
Jurisdiction: Federal Question

Plaintiff
Carol Chesemore

represented by Andrew W. Erlandson
Hurley, Burish & Stanton, S.C.
P.O. Box 1528
Madison, WI 53701
608-257-0945
Fax: [phone]
Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Clifford Joe Cavitt
Coyne, Schultz, Becker & Bauer, S.C.
150 E. Gilman St., Suite 1000
Madison, WI 53703
608-255-1388
Fax: [phone]
Email: [e-mail]
TERMINATED: 09/03/2009
LEAD ATTORNEY
Karen L. Handorf
Cohen Milstein Sellers & Toll PLLC
1100 New York Avenue,
Suite 500
Washington, DC 20005
202-408-3628
Fax: [phone]
Email: [e-mail]
LEAD ATTORNEY

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ATTORNEY TO BE NOTICED
Marie A. Stanton
Hurley, Burish & Stanton, S.C.
P.O. Box 1528
Madison, WI 53701
608-257-0945
Fax: [phone]
Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Michelle Yau
Cohen Milstein Sellers & Toll PLLC
1100 New York Avenue,
Suite 500
Washington, DC 20005
202-408-4689
Email: [e-mail]
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Monya Monique Bunch
Cohen Milstein Sellers & Toll PLLC
1100 New York Avenue,
Suite 500
Washington, DC 20005
202-408-4670
Email: [e-mail]
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Robert Joseph Barton
Cohen Milstein Sellers & Toll PLLC
1100 New York Avenue,
Suite 500
Washington, DC 20005
202-408-4600
Fax: [phone]
Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Bruce Frank Rinaldi
Cohen Milstein Sellers & Toll PLLC

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1100 New York Avenue,
Suite 500
Washington, DC 20005
202-408-4600
Fax: [phone]
Email: [e-mail]
PRO HAC VICE
ATTORNEY TO BE NOTICED
Marc I. Machiz
Cohen Milstein Sellers & Toll PLLC
255 S. 17th Street
Suite 1307
Philadelphia, PA 19103
267-773-4680
Fax: [phone]
Email: [e-mail]
TERMINATED: 02/09/2012
PRO HAC VICE
Robyn Michelle Swanson
Cohen Milstein Sellers & Toll PLLC
1100 New York Avenue,
Suite 500
Washington, DC 20005
202-408-4600
Fax: [phone]
Email: [e-mail]
TERMINATED: 01/30/2013
ATTORNEY TO BE NOTICED
Plaintiff
Daniel Donkel

represented by Andrew W. Erlandson
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Clifford Joe Cavitt
(See above for address)
TERMINATED: 09/03/2009
LEAD ATTORNEY
Karen L. Handorf
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

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Marie A. Stanton
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Michelle Yau
(See above for address)
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Monya Monique Bunch
(See above for address)
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Robert Joseph Barton
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Bruce Frank Rinaldi
(See above for address)
PRO HAC VICE
ATTORNEY TO BE NOTICED
Marc I. Machiz
(See above for address)
TERMINATED: 02/09/2012
PRO HAC VICE
Robyn Michelle Swanson
(See above for address)
TERMINATED: 01/30/2013
ATTORNEY TO BE NOTICED
Plaintiff
Thomas Gieck

represented by Andrew W. Erlandson
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Clifford Joe Cavitt
(See above for address)
TERMINATED: 09/03/2009
LEAD ATTORNEY

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Karen L. Handorf
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Marie A. Stanton
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Michelle Yau
(See above for address)
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Monya Monique Bunch
(See above for address)
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Robert Joseph Barton
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Bruce Frank Rinaldi
(See above for address)
PRO HAC VICE
ATTORNEY TO BE NOTICED
Marc I. Machiz
(See above for address)
TERMINATED: 02/09/2012
PRO HAC VICE
Robyn Michelle Swanson
(See above for address)
TERMINATED: 01/30/2013
ATTORNEY TO BE NOTICED
Plaintiff
Martin Robbins

represented by Andrew W. Erlandson
(See above for address)
LEAD ATTORNEY

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ATTORNEY TO BE NOTICED
Clifford Joe Cavitt
(See above for address)
TERMINATED: 09/03/2009
LEAD ATTORNEY
Marie A. Stanton
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Michelle Yau
(See above for address)
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Monya Monique Bunch
(See above for address)
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Robert Joseph Barton
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Bruce Frank Rinaldi
(See above for address)
PRO HAC VICE
ATTORNEY TO BE NOTICED
Karen L. Handorf
(See above for address)
ATTORNEY TO BE NOTICED
Marc I. Machiz
(See above for address)
TERMINATED: 02/09/2012
PRO HAC VICE
Robyn Michelle Swanson
(See above for address)
TERMINATED: 01/30/2013
ATTORNEY TO BE NOTICED

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Plaintiff
Nannette Stoflet

represented by Andrew W. Erlandson
(See above for address)
ATTORNEY TO BE NOTICED
Bruce Frank Rinaldi
(See above for address)
PRO HAC VICE
ATTORNEY TO BE NOTICED
Karen L. Handorf
(See above for address)
ATTORNEY TO BE NOTICED
Monya Monique Bunch
(See above for address)
ATTORNEY TO BE NOTICED
Robert Joseph Barton
(See above for address)
ATTORNEY TO BE NOTICED
Robyn Michelle Swanson
(See above for address)
TERMINATED: 01/30/2013
ATTORNEY TO BE NOTICED

V.
Defendant
Alliance Holdings, Inc.

represented by Angela M. Rust
Hinshaw & Culbertson LLP
100 West Lawrence St.
Appleton, WI 54911
920-738-7550
Fax: [phone]
Email: [e-mail]
TERMINATED: 05/10/2013
LEAD ATTORNEY
Christopher Craig Woods
Squire, Sanders & Dempsey, LLP
2000 Huntington Center
41 S. High Street
Columbus, OH 43215
614-365-2700x2825

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Fax: [phone]
Email: [e-mail]
TERMINATED: 05/10/2013
LEAD ATTORNEY
PRO HAC VICE
Jeffrey J. Wedel
Squire, Sanders & Dempsey, LLP
4900 Key Tower
127 Public Square
Cleveland, OH 44114
216-479-8500x8767
Fax: [phone]
Email: [e-mail]
TERMINATED: 05/10/2013
LEAD ATTORNEY
Kristen Marie Blankley
Squire, Sanders & Dempsey, LLP
2000 Huntington Center
41 S. High Street
Columbus, OH 43215
614-365-2700x2889
Fax: [phone]
Email: [e-mail]
TERMINATED: 05/10/2013
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Ryan A. Sobel
Squire, Sanders & Dempsey, LLP
4900 Key Tower
127 Public Square
Cleveland, OH 44114
[phone] x8489
Fax: [phone]
Email: [e-mail]
TERMINATED: 05/10/2013
LEAD ATTORNEY
PRO HAC VICE
Charles Clark Jackson
Morgan, Lewis & Bockius LLP
77 West Wacker Drive, 5th Floor
Chicago, IL 60601
312-324-1156

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Fax: [phone]
Email: [e-mail]
ATTORNEY TO BE NOTICED
Christopher Alan Weals
Morgan, Lewis & Bockius LLP
1111 Pennsylvania Ave. N.W.
Washington, DC 20004
202-739-5350
Fax: [phone]
Email: [e-mail]
ATTORNEY TO BE NOTICED
Emily Anne Glunz
Morgan Lewis & Bockius, LLP
77 W. Wacker Drive
5th Floor
Chicago, IL 60601
312-324-1000 x1168
Fax: [phone]
Email: [e-mail]
ATTORNEY TO BE NOTICED
Erin E. McAdams
Morgan, Lewis & Bockius LLP
77 West Wacker Drive, 7th Floor
Chicago, IL 60601
312-324-1000
Fax: [phone]
Email: [e-mail]
ATTORNEY TO BE NOTICED
James P. Looby
Morgan, Lewis & Bockius LLP
77 West Wacker Drive, 5th Floor
Chicago, IL 60601
312-324-1181
Fax: [phone]
Email: [e-mail]
ATTORNEY TO BE NOTICED
Katherine Elizabeth Kenny
Morgan, Lewis & Bockius LLP
77 West Wacker Drive, 5th Floor
Chicago, IL 60601
312-324-1123
Fax: [phone]

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Email: [e-mail]
ATTORNEY TO BE NOTICED
Lora L. Zimmer
Hinshaw & Culbertson LLP
100 West Lawrence St.
Appleton, WI 54911
920-738-7550
Email: [e-mail]
TERMINATED: 05/10/2013
Patrick F. Koenen
Hinshaw & Culbertson LLP
100 West Lawrence St.
Appleton, WI 54911
920-738-7550
Fax: [phone]
Email: [e-mail]
TERMINATED: 05/10/2013
Defendant
David B. Fenkell

represented by Angela M. Rust
(See above for address)
TERMINATED: 05/10/2013
LEAD ATTORNEY
Christopher Craig Woods
(See above for address)
TERMINATED: 05/10/2013
LEAD ATTORNEY
PRO HAC VICE
David Richard Johanson
Hawkins, Parnell, Thackston & Young,
LLP
1776 Second Street
Napa, CA 94559
707-226-8997
Fax: [phone]
Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Douglas Andrew Rubel
Hawkins, Parnell, Thackston & Young,
LLP
P.O. Box 1285

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Cary, NC 27512-1285
919-523-3638
Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Jeffrey J. Wedel
(See above for address)
TERMINATED: 05/10/2013
LEAD ATTORNEY
Kristen Marie Blankley
(See above for address)
TERMINATED: 05/10/2013
LEAD ATTORNEY
PRO HAC VICE
Ryan A. Sobel
(See above for address)
TERMINATED: 05/10/2013
LEAD ATTORNEY
PRO HAC VICE
Brian Arthur Price
Jackson Lewis LLP
200 S. Executive Dr.
Ste. 100
Brookfield, WI 53005
262-717-3172
Fax: [phone]
Email: [e-mail]
TERMINATED: 11/21/2014
Lora L. Zimmer
(See above for address)
TERMINATED: 05/10/2013
Patrick F. Koenen
(See above for address)
TERMINATED: 05/10/2013
Defendant
Pamela Klute

represented by Charles B Wolf
Vedder Price P.C.
222 N. LaSalle St.
Chicago, IL 60601
312-609-7500

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Fax: [phone]
Email: [e-mail]
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Patrick Williamson Spangler
Vedder Price P.C.
222 N. LaSalle St.
Chicago, IL 60601
312-609-7797
Email: [e-mail]
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Benjamin Hartsock
Vedder Price P.C.
222 N. LaSalle St.
Chicago, IL 60601
312-609-7922
Fax: [phone]
Email: [e-mail]
PRO HAC VICE
ATTORNEY TO BE NOTICED
Lynn Marie Stathas
Reinhart Boerner Van Deuren S.C.
P.O. Box 2018
Madison, WI 53701
608-229-2200x2205
Fax: [phone]
Email: [e-mail]
ATTORNEY TO BE NOTICED
Defendant
Eric M. Lynn
TERMINATED: 03/11/2011

represented by Angela M. Rust
(See above for address)
TERMINATED: 05/10/2013
LEAD ATTORNEY
Christopher Craig Woods
(See above for address)
TERMINATED: 05/10/2013
LEAD ATTORNEY
PRO HAC VICE

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Jeffrey J. Wedel
(See above for address)
TERMINATED: 05/10/2013
LEAD ATTORNEY
Kristen Marie Blankley
(See above for address)
TERMINATED: 05/10/2013
LEAD ATTORNEY
PRO HAC VICE
Ryan A. Sobel
(See above for address)
TERMINATED: 05/10/2013
LEAD ATTORNEY
PRO HAC VICE
Lora L. Zimmer
(See above for address)
TERMINATED: 05/10/2013
Patrick F. Koenen
(See above for address)
TERMINATED: 05/10/2013
Defendant
James Mastrangelo

represented by Charles B Wolf
(See above for address)
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Patrick Williamson Spangler
(See above for address)
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Benjamin Hartsock
(See above for address)
PRO HAC VICE
ATTORNEY TO BE NOTICED
Lynn Marie Stathas
(See above for address)
ATTORNEY TO BE NOTICED

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Defendant
Stephen W. Pagelow

represented by Alan I. Silver
Bassford Remele, P.A.
33 South Sixth Street
Suite 3800
Minneapolis, MN 55402
612-376-1634
Fax: [phone]
Email: [e-mail]
ATTORNEY TO BE NOTICED
Jonathan Paul Norrie
Bassford Remele
33 South Sixth Street, Suite 3800
Minneapolis, MN 55402
612-333-3000x1606
Fax: [phone]
Email: [e-mail]
ATTORNEY TO BE NOTICED
Kevin Patrick Hickey
Bassford Remele, P.A.
33 South Sixth Street
Suite 3800
Minneapolis, MN 55402
612-376-1620
Fax: [phone]
Email: [e-mail]
ATTORNEY TO BE NOTICED

Defendant
Jeffrey A. Seefeldt

represented by Charles B Wolf
(See above for address)
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Patrick Williamson Spangler
(See above for address)
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Benjamin Hartsock
(See above for address)
PRO HAC VICE
ATTORNEY TO BE NOTICED

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Lynn Marie Stathas
(See above for address)
ATTORNEY TO BE NOTICED
Defendant
Trachte Building Systems, Inc.
Employee Stock Ownership Plan

represented by Brian L. Anderson
DeWitt Ross & Stevens
2 E Mifflin St, Suite 600
Madison, WI 53703
608-255-8891
Fax: [phone]
Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Charles B Wolf
(See above for address)
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Patrick Williamson Spangler
(See above for address)
ATTORNEY TO BE NOTICED

Defendant
Employee Stock Ownership Plan
TERMINATED: 10/07/2009
Defendant
Alliance Holdings, Inc. Employee Stock
Ownership Plan

represented by Angela M. Rust
(See above for address)
TERMINATED: 05/10/2013
LEAD ATTORNEY
Christopher Craig Woods
(See above for address)
TERMINATED: 05/10/2013
LEAD ATTORNEY
PRO HAC VICE
Jeffrey J. Wedel
(See above for address)
TERMINATED: 05/10/2013
LEAD ATTORNEY

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Kristen Marie Blankley
(See above for address)
TERMINATED: 05/10/2013
LEAD ATTORNEY
PRO HAC VICE
Ryan A. Sobel
(See above for address)
TERMINATED: 05/10/2013
LEAD ATTORNEY
PRO HAC VICE
Charles Clark Jackson
(See above for address)
ATTORNEY TO BE NOTICED
Emily Anne Glunz
(See above for address)
ATTORNEY TO BE NOTICED
Julia E. Zuckerman
Groom Law Group, Chartered
1701 Pennsylvania Avenue, NW
Suite 1200
Washington, DC 20006
202-857-0620
Email: [e-mail]
TERMINATED: 09/23/2013
Lars C. Golumbic
Groom Law Group, Chartered
1701 Pennsylvania Avenue, NW
Suite 1200
Washington, DC 20006
202-857-0620
Email: [e-mail]
ATTORNEY TO BE NOTICED
Lora L. Zimmer
(See above for address)
TERMINATED: 05/10/2013
Patrick F. Koenen
(See above for address)
TERMINATED: 05/10/2013
Sarah Adams Zumwalt

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Groom Law Group, Chartered
1701 Pennsylvania Avenue, NW
Suite 1200
Washington, DC 20006
202-857-0620
Email: [e-mail]
ATTORNEY TO BE NOTICED
Willie E. Wilder
Groom Law Group, Chartered
1701 Pennsylvania Avenue, NW
Suite 1200
Washington, DC 20006
202-857-0620
Email: [e-mail]
ATTORNEY TO BE NOTICED
Defendant
A.H.I., Inc.

represented by Charles Clark Jackson
(See above for address)
ATTORNEY TO BE NOTICED
Emily Anne Glunz
(See above for address)
ATTORNEY TO BE NOTICED
Erin E. McAdams
(See above for address)
ATTORNEY TO BE NOTICED
James P. Looby
(See above for address)
ATTORNEY TO BE NOTICED
Ryan A. Sobel
Squire, Sanders & Dempsey, LLP
4900 Key Tower
127 Public Square
Cleveland, OH 44114
216-479-8500x8489
Fax: [phone]
Email: [e-mail]
TERMINATED: 05/10/2013

Defendant
Alpha Investment Consulting Group,
LLC

represented by James J. Convery
Laner, Muchin

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515 North State Street
Suite 2800
Chicago, IL 60654
312-467-9800
Fax: [phone]
Email: [e-mail]
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Tara Michelle Mathison
Sorrentino Burkert Risch Kalter LLC
W229 N1433 Westwood Drive
Suite 100
Waukesha, WI 53186
414-225-1444
Fax: [phone]
Email: [e-mail]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Jeffrey P Carren
Laner Muchin
515 N. State Street
Suite 2800
Chicago, IL 60054
312-467-9800
Fax: [phone]
Email: [e-mail]
ATTORNEY TO BE NOTICED
Defendant
John Michael Maier

represented by James J. Convery
(See above for address)
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED
Tara Michelle Mathison
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Jeffrey P Carren
(See above for address)
ATTORNEY TO BE NOTICED

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Defendant
AH Transition Corporation

represented by Charles Clark Jackson
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Christopher Alan Weals
(See above for address)
ATTORNEY TO BE NOTICED
Emily Anne Glunz
(See above for address)
ATTORNEY TO BE NOTICED
Erin E. McAdams
(See above for address)
ATTORNEY TO BE NOTICED
James P. Looby
(See above for address)
ATTORNEY TO BE NOTICED
Ryan A. Sobel
(See above for address)
TERMINATED: 05/10/2013

Defendant
Karen Fenkell

represented by David Richard Johanson
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Douglas Andrew Rubel
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Brian Arthur Price
(See above for address)
TERMINATED: 11/21/2014

Cross Claimant
Pamela Klute

represented by Charles B Wolf
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

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Patrick Williamson Spangler
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Karen L. Handorf
(See above for address)
ATTORNEY TO BE NOTICED
Lynn Marie Stathas
(See above for address)
ATTORNEY TO BE NOTICED
Cross Claimant
James Mastrangelo

represented by Charles B Wolf
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Patrick Williamson Spangler
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Karen L. Handorf
(See above for address)
ATTORNEY TO BE NOTICED
Lynn Marie Stathas
(See above for address)
ATTORNEY TO BE NOTICED

Cross Claimant
Jeffrey A. Seefeldt

represented by Charles B Wolf
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Patrick Williamson Spangler
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Lynn Marie Stathas
(See above for address)
ATTORNEY TO BE NOTICED

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V.
Cross Defendant
Alliance Holdings, Inc.

represented by Angela M. Rust
(See above for address)
TERMINATED: 05/10/2013
LEAD ATTORNEY
Christopher Craig Woods
(See above for address)
TERMINATED: 05/10/2013
LEAD ATTORNEY
Jeffrey J. Wedel
(See above for address)
TERMINATED: 05/10/2013
LEAD ATTORNEY
Kristen Marie Blankley
(See above for address)
TERMINATED: 05/10/2013
LEAD ATTORNEY
Ryan A. Sobel
(See above for address)
TERMINATED: 05/10/2013
LEAD ATTORNEY
Christopher Alan Weals
(See above for address)
ATTORNEY TO BE NOTICED
Emily Anne Glunz
(See above for address)
ATTORNEY TO BE NOTICED
Erin E. McAdams
(See above for address)
ATTORNEY TO BE NOTICED
Lora L. Zimmer
(See above for address)
TERMINATED: 05/10/2013
Patrick F. Koenen
(See above for address)

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TERMINATED: 05/10/2013
Cross Defendant
Stephen W. Pagelow

represented by Alan I. Silver
(See above for address)
ATTORNEY TO BE NOTICED
Jonathan Paul Norrie
(See above for address)
ATTORNEY TO BE NOTICED
Kevin Patrick Hickey
(See above for address)
ATTORNEY TO BE NOTICED

Cross Claimant
Pamela Klute

represented by Charles B Wolf
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Patrick Williamson Spangler
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Karen L. Handorf
(See above for address)
ATTORNEY TO BE NOTICED
Lynn Marie Stathas
(See above for address)
ATTORNEY TO BE NOTICED

Cross Claimant
James Mastrangelo

represented by Charles B Wolf
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Patrick Williamson Spangler
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Karen L. Handorf
(See above for address)

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ATTORNEY TO BE NOTICED
Lynn Marie Stathas
(See above for address)
ATTORNEY TO BE NOTICED
Cross Claimant
Jeffrey A. Seefeldt

represented by Charles B Wolf
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Patrick Williamson Spangler
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Lynn Marie Stathas
(See above for address)
ATTORNEY TO BE NOTICED

V.
Cross Defendant
Alliance Holdings, Inc.

represented by Angela M. Rust
(See above for address)
TERMINATED: 05/10/2013
LEAD ATTORNEY
Christopher Craig Woods
(See above for address)
TERMINATED: 05/10/2013
LEAD ATTORNEY
Jeffrey J. Wedel
(See above for address)
TERMINATED: 05/10/2013
LEAD ATTORNEY
Kristen Marie Blankley
(See above for address)
TERMINATED: 05/10/2013
LEAD ATTORNEY
Ryan A. Sobel
(See above for address)
TERMINATED: 05/10/2013

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LEAD ATTORNEY
Christopher Alan Weals
(See above for address)
ATTORNEY TO BE NOTICED
Emily Anne Glunz
(See above for address)
ATTORNEY TO BE NOTICED
Erin E. McAdams
(See above for address)
ATTORNEY TO BE NOTICED
Lora L. Zimmer
(See above for address)
TERMINATED: 05/10/2013
Patrick F. Koenen
(See above for address)
TERMINATED: 05/10/2013
Cross Defendant
Stephen W. Pagelow

represented by Alan I. Silver
(See above for address)
ATTORNEY TO BE NOTICED
Jonathan Paul Norrie
(See above for address)
ATTORNEY TO BE NOTICED
Karen L. Handorf
(See above for address)
ATTORNEY TO BE NOTICED
Kevin Patrick Hickey
(See above for address)
ATTORNEY TO BE NOTICED

Cross Claimant
Karen Fenkell

represented by David Richard Johanson
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Douglas Andrew Rubel
(See above for address)

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LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Brian Arthur Price
(See above for address)
TERMINATED: 11/21/2014
V.
Cross Defendant
A.H.I., Inc.

represented by Charles Clark Jackson
(See above for address)
ATTORNEY TO BE NOTICED
Emily Anne Glunz
(See above for address)
ATTORNEY TO BE NOTICED
Erin E. McAdams
(See above for address)
ATTORNEY TO BE NOTICED
Ryan A. Sobel
(See above for address)
TERMINATED: 05/10/2013

Cross Defendant
AH Transition Corporation

represented by Charles Clark Jackson
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Christopher Alan Weals
(See above for address)
ATTORNEY TO BE NOTICED
Emily Anne Glunz
(See above for address)
ATTORNEY TO BE NOTICED
Erin E. McAdams
(See above for address)
ATTORNEY TO BE NOTICED
Ryan A. Sobel
(See above for address)
TERMINATED: 05/10/2013

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Cross Defendant
Alliance Holdings, Inc.

represented by Angela M. Rust
(See above for address)
TERMINATED: 05/10/2013
LEAD ATTORNEY
Christopher Craig Woods
(See above for address)
TERMINATED: 05/10/2013
LEAD ATTORNEY
Jeffrey J. Wedel
(See above for address)
TERMINATED: 05/10/2013
LEAD ATTORNEY
Kristen Marie Blankley
(See above for address)
TERMINATED: 05/10/2013
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Ryan A. Sobel
(See above for address)
TERMINATED: 05/10/2013
LEAD ATTORNEY
Charles Clark Jackson
(See above for address)
ATTORNEY TO BE NOTICED
Christopher Alan Weals
(See above for address)
ATTORNEY TO BE NOTICED
Emily Anne Glunz
(See above for address)
ATTORNEY TO BE NOTICED
Erin E. McAdams
(See above for address)
ATTORNEY TO BE NOTICED
Katherine Elizabeth Kenny
(See above for address)
ATTORNEY TO BE NOTICED

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Lora L. Zimmer
(See above for address)
TERMINATED: 05/10/2013
Patrick F. Koenen
(See above for address)
TERMINATED: 05/10/2013

Date Filed

#

Docket Text

06/30/2009

1 COMPLAINT against all defendants ( Filing fee $ 350 receipt number
34690004754.), filed by all plaintiffs. (Attachments:
# 1 JS-44 Civil Cover Sheet) (Cavitt, Clifford) (Entered: 06/30/2009)

07/01/2009

Case assigned to Magistrate Judge Stephen L. Crocker. (vob) (Entered:
07/01/2009)

07/01/2009

Standard attachments for Magistrate Judge Stephen L. Crocker required to be
served on all parties with summons or waiver of service: NORTC, Briefing
Guidelines, Corporate Disclosure Statement, Order Regarding Assignment of U.S.
Magistrate Judge to Civil Cases, Declination to Proceed before a U.S. Magistrate
Judge, Order on Dispositive Motions. (vob) (Entered: 07/01/2009)

07/27/2009

2 WAIVER OF SERVICE Returned Executed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Defendant Stephen W. Pagelow. Stephen
W. Pagelow waiver sent on 7/2/2009, answer due 8/31/2009. (Cavitt, Clifford)
(Entered: 07/27/2009)

07/28/2009

3 NOTICE of Appearance filed by Clifford Joe Cavitt for Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins (Attachments:
# 1 Certificate of Service) (Cavitt, Clifford) (Entered: 07/28/2009)

07/29/2009

4 WAIVER OF SERVICE Returned Executed by Plaintiff Carol Chesemore,
Defendants Pamela Klute, James Mastrangelo, Jeffrey A. Seefeldt. Pamela Klute
waiver sent on 7/2/2009, answer due 8/31/2009; James Mastrangelo waiver sent on
7/2/2009, answer due 8/31/2009; Jeffrey A. Seefeldt waiver sent on 7/2/2009,
answer due 8/31/2009. (Handorf, Karen) (Entered: 07/29/2009)

08/14/2009

5 WAIVER OF SERVICE Returned Executed by Plaintiff Carol Chesemore,
Defendant David B. Fenkell. David B. Fenkell waiver sent on 7/2/2009, answer
due 8/31/2009. (Handorf, Karen) (Entered: 08/14/2009)

08/21/2009

6 MOTION to Admit Charles B. Wolf, Patrick W. Spangler Pro Hac Vice by
Defendants Pamela Klute, James Mastrangelo, Jeffrey A. Seefeldt. (Stathas, Lynn)
(Entered: 08/21/2009)

08/24/2009

ACTION REQUESTED: Attorneys Charles Wolf and Patrick Spangler must be
registered for CM/ECF before the motion for pro hac vice is granted. (vob)
(Entered: 08/24/2009)

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08/26/2009

7 WAIVER OF SERVICE Returned Executed by Plaintiff Carol Chesemore,
Defendant Eric M. Lynn. Eric M. Lynn waiver sent on 7/21/2009, answer due
9/21/2009. (Handorf, Karen) (Entered: 08/26/2009)

08/28/2009

8 WAIVER OF SERVICE Returned Executed by Plaintiff Carol Chesemore,
Defendant Employee Stock Ownership Plan. Employee Stock Ownership Plan
waiver sent on 8/7/2009, answer due 10/6/2009. (Handorf, Karen) (Entered:
08/28/2009)

08/28/2009

9 WAIVER OF SERVICE Returned Executed by Plaintiff Carol Chesemore,
Defendant Alliance Holdings, Inc. Employee Stock Ownership Plan. Alliance
Holdings, Inc. Employee Stock Ownership Plan waiver sent on 8/7/2009, answer
due 10/6/2009. (Handorf, Karen) (Entered: 08/28/2009)

08/28/2009

10 WAIVER OF SERVICE Returned Executed by Plaintiff Carol Chesemore,
Defendant Alliance Holdings, Inc.. Alliance Holdings, Inc. waiver sent on
8/7/2009, answer due 10/6/2009. (Handorf, Karen) (Entered: 08/28/2009)

08/28/2009

11 MOTION for Leave to File Documents Outside the Pleadings in Connection with
his Rule 12(b)(6) Motion to Dismiss by Defendant Stephen W. Pagelow. (Silver,
Alan) (Entered: 08/28/2009)

08/28/2009

12 AFFIDAVIT of Stephen W. Pagelow filed by Defendant Stephen W. Pagelow re:
11 MOTION for Leave to File Documents Outside the Pleadings in Connection
with his Rule 12(b)(6) Motion to Dismiss filed by Stephen W. Pagelow
(Attachments:
# 1 Exhibit Table of Contents and Exhibits A - C) (Silver, Alan) (Entered:
08/28/2009)

08/28/2009

13 CERTIFICATE OF SERVICE by Defendant Stephen W. Pagelow re 11 MOTION
for Leave to File Documents Outside the Pleadings in Connection with his Rule
12(b)(6) Motion to Dismiss, 12 Affidavit, (Silver, Alan) (Entered: 08/28/2009)

08/31/2009

14 ** TEXT ONLY ORDER **
ORDER granting 6 Motion to Admit Pro Hac Vice. Charles B Wolf and Patrick W.
Spangler for Pamela Klute, James Mastrangelo and Jeffrey A. Seefeldt, admitted
pro hac vice. Signed by Magistrate Judge Stephen L. Crocker on 8/21/09. (vob)
(Entered: 08/31/2009)

08/31/2009

15 ** TEXT ONLY ORDER **
ORDER granting 11 Motion for Leave to File Documents Outside the Pleadings in
Connection with his Rule 12(b)(6) Motion to Dismiss. Signed by Magistrate Judge
Stephen L. Crocker on 8/31/09. (vob) (Entered: 08/31/2009)

08/31/2009

16 MOTION for Leave to File File Documents Outside the Pleadings by Defendants
Pamela Klute, James Mastrangelo, Jeffrey A. Seefeldt. (Attachments:
# 1 Exhibit A - Proposed Affidavit of James Mastrangelo and exhibits) (Stathas,
Lynn) Added exhibit description on 9/1/2009 (jef). (Entered: 08/31/2009)

08/31/2009

17 MOTION to Dismiss Counts VI and VII of the Complaint by Defendants Pamela
Klute, James Mastrangelo, Jeffrey A. Seefeldt. Brief in Opposition due by
9/21/2009. Brief in Reply due by 10/1/2009. (Stathas, Lynn) (Entered: 08/31/2009)

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08/31/2009

18 MOTION to Dismiss Under Rule 12(b)(6) by Defendant Stephen W. Pagelow.
Brief in Opposition due by 9/21/2009. Brief in Reply due by 10/1/2009. (Silver,
Alan) (Entered: 08/31/2009)

08/31/2009

19 BRIEF in Support by Defendant Stephen W. Pagelow re: 18 MOTION to Dismiss
Under Rule 12(b)(6) filed by Stephen W. Pagelow (Silver, Alan) (Entered:
08/31/2009)

08/31/2009

20 CERTIFICATE OF SERVICE by Defendant Stephen W. Pagelow re 18 MOTION
to Dismiss Under Rule 12(b)(6), 19 Brief in Support (Silver, Alan) (Entered:
08/31/2009)

08/31/2009

21 BRIEF in Support by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt re: 17 MOTION to Dismiss Counts VI and VII of the Complaint filed by
Pamela Klute, Jeffrey A. Seefeldt, James Mastrangelo (Stathas, Lynn) (Entered:
08/31/2009)

09/02/2009

22 ** TEXT ONLY ORDER **
ORDER granting 16 Motion for Leave to File Documents Outside the Pleadings.
Signed by Magistrate Judge Stephen L. Crocker on 9/2/09. (vob) (Entered:
09/02/2009)

09/02/2009

23 MOTION to Withdraw as Attorney by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins.Response due by 9/10/2009. (Cavitt, Clifford)
(Entered: 09/02/2009)

09/03/2009

24 ** TEXT ONLY ORDER **
ORDER granting 23 Motion by Attorney Clifford Joe Cavitt to Withdraw as
Attorney for Plaintiffs and to substitute Andrew W. Erlandson. Added attorney
Andrew W. Erlandson for plaintiffs. Attorney Clifford Joe Cavitt terminated.
Signed by Magistrate Judge Stephen L. Crocker on 9/3/09. (vob) Modified text on
9/10/2009 (llj/c). (Entered: 09/03/2009)

09/03/2009

25 AFFIDAVIT of James Mastrangelo filed by Defendants Pamela Klute, James
Mastrangelo, Jeffrey A. Seefeldt re: 17 MOTION to Dismiss Counts VI and VII of
the Complaint filed by Pamela Klute, Jeffrey A. Seefeldt, James Mastrangelo
(Attachments:
# 1 Exhibit 1 - Trachte Building Systems Employee Stock Ownership Plan,
# 2 Exhibit 2 - Trachte Building Systems Employee Stock Ownership Plan
Summary Plan Description,
# 3 Exhibit 3 - Stout Risius Ross, Inc. Valuation of Trachte Building Systems, Inc.,
# 4 Exhibit 4 - Draft Valuation and Fairness Opinion Performed by Barnes
Wendling Valuation Services, Inc.,
# 5 Exhibit 5 - RSM McGladrey Letter (dated July 6, 2007),
# 6 Exhibit 6 - Final Valuation and Fairness Opinion Performed by Barnes
Wendling Valuation Services, Inc.,
# 7 Exhibit 7 - Letter from Alpha Investment Consulting Group LLC (dated
August 29, 2007)) (Stathas, Lynn) (Entered: 09/03/2009)

09/04/2009

26 NOTICE of Appearance filed by Patrick F Koenen for Defendants David B.
Fenkell, Eric M. Lynn, Alliance Holdings, Inc. Employee Stock Ownership Plan,

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Alliance Holdings, Inc. (Koenen, Patrick) (Entered: 09/04/2009)
09/04/2009

27 MOTION to Admit Kristen Marie Blankley and Christopher Craig Woods Pro Hac
Vice by Defendants David B. Fenkell, Eric M. Lynn, Alliance Holdings, Inc.
Employee Stock Ownership Plan, Alliance Holdings, Inc.. (Attachments:
# 1 Exhibit CM/ECF Registration Form for Attorney Blankley,
# 2 Exhibit CM/ECF Registration Form for Attorney Woods) (Koenen, Patrick)
(Entered: 09/04/2009)

09/04/2009

28 CERTIFICATE OF SERVICE by Defendants David B. Fenkell, Eric M. Lynn,
Alliance Holdings, Inc. Employee Stock Ownership Plan, Alliance Holdings, Inc.
re 26 Notice of Appearance (Koenen, Patrick) (Entered: 09/04/2009)

09/04/2009

29 CERTIFICATE OF SERVICE by Defendants David B. Fenkell, Eric M. Lynn,
Alliance Holdings, Inc. Employee Stock Ownership Plan, Alliance Holdings, Inc.
re: 27 Motion to Admit Pro Hac Vice. (Koenen, Patrick) Modified on 9/4/2009
(Friedl, Joanne). (Entered: 09/04/2009)

09/04/2009

30 NOTICE of Appearance filed by Kevin Patrick Hickey for Defendant Stephen W.
Pagelow (Attachments:
# 1 Certificate of Service) (Hickey, Kevin) (Entered: 09/04/2009)

09/09/2009

31 ** TEXT ONLY ORDER **
ORDER granting 27 Motion to Admit Kristen Marie Blankley and Christopher
Craig Woods Pro Hac Vice. Kristen Marie Blankley for David B. Fenkell, Eric M.
Lynn, Alliance Holdings, Inc. Employee Stock Ownership Plan and Alliance
Holdings, Inc., Christopher Craig Woods for David B. Fenkell, Eric M. Lynn,
Alliance Holdings, Inc. Employee Stock Ownership Plan and Alliance Holdings,
Inc. admitted pro hac vice. Signed by Magistrate Judge Stephen L. Crocker on
9/8/09. (vob) (Entered: 09/09/2009)

09/17/2009

32 Unopposed MOTION to Amend Briefing Schedule by Plaintiffs Carol Chesemore,
Daniel Donkel, Thomas Gieck, Martin Robbins. Motions referred to Magistrate
Judge Stephen L. Crocker. (Erlandson, Andrew) (Entered: 09/17/2009)

09/17/2009

33 CERTIFICATE OF SERVICE by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins (Erlandson, Andrew) (Entered: 09/17/2009)

09/18/2009

34 ** TEXT ONLY ORDER **
ORDER granting 32 Motion to Amend Briefing Schedule. Brief in Opposition due
by 10/2/2009. Brief in Reply due by 10/22/2009. Signed by Magistrate Judge
Stephen L. Crocker on 9/18/09. (vob) (Entered: 09/18/2009)

10/02/2009

35 BRIEF in Opposition by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins re: 17 MOTION to Dismiss Counts VI and VII of the
Complaint filed by Pamela Klute, Jeffrey A. Seefeldt, James Mastrangelo
(Attachments:
# 1 Affidavit of Karen L. Handorf Pursuant to Rule 56(f)) (Handorf, Karen)
Emailed attorney to file the affidavit as a separate docket entry on 10/5/2009 (jef).
Emailed attorney to file a certif. of service for dockets #35-38 on 10/6/2009 (jef).
(Entered: 10/02/2009)

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10/02/2009

36 BRIEF in Opposition by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins re: 18 MOTION to Dismiss Under Rule 12(b)(6) filed by
Stephen W. Pagelow (Attachments:
# 1 Affidavit of Karen L. Handorf Pursuant to Rule 56(f)) (Handorf, Karen)
Emailed attorney to file the affidavit as a separate docket entry on on 10/5/2009
(jef). (Entered: 10/02/2009)

10/05/2009

37 AFFIDAVIT of Karen L. Handorf filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins re: 18 MOTION to Dismiss Under Rule
12(b)(6) filed by Stephen W. Pagelow (Handorf, Karen) (Entered: 10/05/2009)

10/05/2009

38 AFFIDAVIT of Karen L. Handorf filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins re: 17 MOTION to Dismiss Counts VI and
VII of the Complaint filed by Pamela Klute, Jeffrey A. Seefeldt, James Mastrangelo
(Handorf, Karen) (Entered: 10/05/2009)

10/05/2009

39 MOTION to Dismiss by Defendants David B. Fenkell, Eric M. Lynn, Alliance
Holdings, Inc. Employee Stock Ownership Plan, Alliance Holdings, Inc.. Brief in
Opposition due by 10/26/2009. Brief in Reply due by 11/5/2009. (Koenen, Patrick)
(Entered: 10/05/2009)

10/05/2009

40 BRIEF in Support by Defendants David B. Fenkell, Eric M. Lynn, Alliance
Holdings, Inc. Employee Stock Ownership Plan, Alliance Holdings, Inc. re: 39
MOTION to Dismiss filed by David B. Fenkell, Alliance Holdings, Inc., Alliance
Holdings, Inc. Employee Stock Ownership Plan, Eric M. Lynn (Koenen, Patrick)
(Entered: 10/05/2009)

10/05/2009

41 AFFIDAVIT of David B. Fenkell filed by Defendants David B. Fenkell, Eric M.
Lynn, Alliance Holdings, Inc. Employee Stock Ownership Plan, Alliance Holdings,
Inc. re: 39 MOTION to Dismiss filed by David B. Fenkell, Alliance Holdings, Inc.,
Alliance Holdings, Inc. Employee Stock Ownership Plan, Eric M. Lynn
(Attachments:
# 1 Exhibit A - Alliance Holdings Employee Stock Ownership Plan and Trust,
# 2 Exhibit B - Instrument Providing for Amendment and Spin-Off from ESOP)
(Koenen, Patrick) Added exhibit descriptions on 10/6/2009 (jef). (Entered:
10/05/2009)

10/05/2009

42 CERTIFICATE OF SERVICE by Defendants David B. Fenkell, Eric M. Lynn,
Alliance Holdings, Inc. Employee Stock Ownership Plan, Alliance Holdings, Inc.
re 41 Affidavit, 39 MOTION to Dismiss, 40 Brief in Support, (Koenen, Patrick)
(Entered: 10/05/2009)

10/06/2009

43 STIPULATION and Proposed Order to Establish Briefing Schedule on the Motion
to Dismiss by Defendants David B. Fenkell, Eric M. Lynn, Alliance Holdings, Inc.
Employee Stock Ownership Plan, Alliance Holdings, Inc., Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins. (Stanton, Marie)
Modified event to stipulation and modified text to reflect document title on
10/6/2009 (jef). (Entered: 10/06/2009)

10/06/2009

44 CERTIFICATE OF SERVICE re: 43 Stipulation and Proposed Order by
Defendants David B. Fenkell, Eric M. Lynn, Alliance Holdings, Inc. Employee

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Stock Ownership Plan, Alliance Holdings, Inc., Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins (Stanton, Marie) Created link to #43 on
10/6/2009 (Friedl, Joanne). (Entered: 10/06/2009)
10/06/2009

45 NOTICE of Appearance filed by Jonathan Paul Norrie for Defendant Stephen W.
Pagelow (Norrie, Jonathan) (Entered: 10/06/2009)

10/06/2009

46 CERTIFICATE OF SERVICE by Defendant Stephen W. Pagelow re 45 Notice of
Appearance (Norrie, Jonathan) (Entered: 10/06/2009)

10/06/2009

47 NOTICE of Appearance of Patrick W. Spangler and Charles B. Wolf for Defendant
Trachte Building Systems, Inc. Employee Stock Ownership Plan filed by Patrick
Williamson Spangler. (Spangler, Patrick) Modified text on 10/7/2009 (jef).
(Entered: 10/06/2009)

10/06/2009

48 CERTIFICATE OF SERVICE by Defendant Trachte Building Systems, Inc.
Employee Stock Ownership Plan re 47 Notice of Appearance (Spangler, Patrick)
Modified text on 10/7/2009 (jef). (Entered: 10/06/2009)

10/06/2009

49 ANSWER by Nominal Defendant Trachte Building Systems, Inc. Employee Stock
Ownership Plan. (Spangler, Patrick) Modified text on 10/7/2009 (jef). (Entered:
10/06/2009)

10/06/2009

50 CERTIFICATE OF SERVICE by Nominal Defendant Trachte Building Systems,
Inc. Employee Stock Ownership Plan re 49 Answer. (Spangler, Patrick) Modified
text on 10/7/2009 (jef). (Entered: 10/06/2009)

10/06/2009

51 CERTIFICATE OF SERVICE by Plaintiffs re 35 Brief in Opposition, 36 Brief in
Opposition. (Handorf, Karen) Modified text on 10/7/2009 (Friedl, Joanne).
(Entered: 10/06/2009)

10/07/2009

10/13/2009

Set Pretrial or Status Conference: Pretrial Conference set for 11/10/2009 at 09:30
AM before Magistrate Judge Stephen L. Crocker. Counsel for Plaintiff responsible
for setting up the call to chambers at [phone]. [Standing Order Governing
Preliminary Pretrial Conference attached] (vob) (Entered: 10/07/2009)
52 ** TEXT ONLY ORDER **
ORDER accepting 43 STIPULATION for Motion to dismiss. Brief in Opposition
due by 11/4/2009. Brief in Reply due by 11/19/2009. Signed by Magistrate Judge
Stephen L. Crocker on 10/09/09. (vob) (Entered: 10/13/2009)

10/13/2009

Set/Reset Deadlines as to 39 MOTION to Dismiss. Brief in Opposition due by
11/4/2009. Brief in Reply due by 11/19/2009. (vob) (Entered: 10/13/2009)

10/22/2009

53 BRIEF in Reply in Support re: 18 MOTION to Dismiss Under Rule 12(b)(6) filed
by Stephen W. Pagelow (Attachments:
# 1 Certificate of Service) (Hickey, Kevin) (Entered: 10/22/2009)

10/22/2009

54 BRIEF in Support by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt re: 17 MOTION to Dismiss Counts VI and VII of the Complaint filed by
Pamela Klute, Jeffrey A. Seefeldt, James Mastrangelo (Wolf, Charles) (Entered:
10/22/2009)

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10/22/2009

55 CERTIFICATE OF SERVICE by Defendants Pamela Klute, James Mastrangelo,
Jeffrey A. Seefeldt re 54 Brief in Support (Wolf, Charles) (Entered: 10/22/2009)

10/26/2009

56 NOTICE of Appearance filed by Lora L. Zimmer for Defendants David B. Fenkell,
Eric M. Lynn, Alliance Holdings, Inc. Employee Stock Ownership Plan, Alliance
Holdings, Inc. (Attachments:
# 1 Certificate of Service) (Zimmer, Lora) (Entered: 10/26/2009)

11/04/2009

57 BRIEF in Opposition by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins re: 39 MOTION to Dismiss filed by David B. Fenkell,
Alliance Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan,
Eric M. Lynn (Attachments:
# 1 Declaration of Karen L. Handorf,
# 2 Certificate of Service) (Handorf, Karen) (Entered: 11/04/2009)

11/05/2009

58 DECLARATION of Karen Handorf filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins re: 39 MOTION to Dismiss filed by David
B. Fenkell, Alliance Holdings, Inc., Alliance Holdings, Inc. Employee Stock
Ownership Plan, Eric M. Lynn (Handorf, Karen) (Entered: 11/05/2009)

11/05/2009

59 Joint REPORT of Rule 26(f) Planning Meeting (Attachments:
# 1 Certificate of Service) (Barton, Robert) (Entered: 11/05/2009)

11/06/2009

60 MOTION to Admit Jeffrey J. Wedel and Ryan A. Sobel Pro Hac Vice by
Defendants David B. Fenkell, Eric M. Lynn, Alliance Holdings, Inc. Employee
Stock Ownership Plan, Alliance Holdings, Inc.. Motions referred to Magistrate
Judge Stephen L. Crocker. (Attachments:
# 1 Certificate of Service) (Koenen, Patrick) (Entered: 11/06/2009)

11/09/2009

61 ** TEXT ONLY ORDER **
ORDER granting 60 Motion to Admit Jeffrey J. Wedel Pro Hac Vice. Jeffrey A.
Wedel for David B. Fenkell, Eric M. Lynn, Alliance Holdings, Inc. Employee
Stock Ownership Plan and Alliance Holdings, Inc. admitted pro hac vice. Signed
by Magistrate Judge Stephen L. Crocker on 11/9/09. (vob) (Entered: 11/09/2009)

11/10/2009

Minute Entry for proceedings held before Magistrate Judge Stephen L. Crocker:
Telephone Preliminary Pretrial Conference held on 11/10/2009 [:25] (cak)
(Entered: 11/10/2009)

11/12/2009

62 PRETRIAL CONFERENCE ORDER - Amendments to Pleadings due by
2/1/2010. Dispositive Motions due by 11/1/2010. Court Trial set for 4/11/2011 at
09:00 AM. Signed by Magistrate Judge Stephen L. Crocker on 11/10/09. (vob)
(Entered: 11/12/2009)

11/19/2009

63 BRIEF in Reply in Support re: 39 MOTION to Dismiss filed by David B. Fenkell,
Alliance Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan,
Eric M. Lynn (Attachments:
# 1 Certificate of Service,
# 2 Unreported Case - Lee v. Builders Supply,
# 3 Unreported Case - Ossey v. Marolda) (Wedel, Jeffrey) (Entered: 11/19/2009)

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11/20/2009

64 MOTION to Admit Marc Machiz Pro Hac Vice by Plaintiffs Carol Chesemore,
Daniel Donkel, Thomas Gieck, Martin Robbins. Motions referred to Magistrate
Judge Stephen L. Crocker. (Handorf, Karen) (Entered: 11/20/2009)

11/20/2009

65 DECLARATION of Marc Machiz filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins re: 64 MOTION to Admit Marc Machiz
Pro Hac Vice filed by Martin Robbins, Thomas Gieck, Daniel Donkel, Carol
Chesemore (Handorf, Karen) (Entered: 11/20/2009)

11/20/2009

66 CERTIFICATE OF SERVICE by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins re 64 MOTION to Admit Marc Machiz Pro Hac
Vice (Handorf, Karen) (Entered: 11/20/2009)

11/23/2009

ACTION REQUESTED: Attorney Marc Machiz must be registered for CM/ECF
before the Motion for Pro Hac Vice is granted. (vob) (Entered: 11/23/2009)

11/24/2009

67 TRANSCRIPT of Telephonic Preliminary Pretrial Conference, held 11/10/09
before Magistrate Judge Stephen L. Crocker. Court Reporter: CS.
Please review the court policy regarding electronic transcripts: see Electronic
Transcript Instructions and Notice of Intent to Request Redaction. (vob) (Entered:
11/24/2009)

12/01/2009

68 TRANSCRIPT of Digital Telephonic Hearing, held 11/10/09 before Magistrate
Judge Stephen L. Crocker. Court Reporter: LS.
Please review the court policy regarding electronic transcripts: see Electronic
Transcript Instructions and Notice of Intent to Request Redaction. (vob) (Entered:
12/01/2009)

12/02/2009

69 ** TEXT ONLY ORDER **
ORDER granting 64 Motion to Admit Marc Machiz Pro Hac Vice. Marc I. Machiz
for Carol Chesemore, Daniel Donkel, Thomas Gieck and Martin Robbins admitted
pro hac vice. Signed by Magistrate Judge Stephen L. Crocker on 12/2/09. (vob)
(Entered: 12/02/2009)

12/11/2009

70 ** TEXT ONLY ORDER **
ORDER granting 60 MOTION to Admit Ryan A. Sobel pro hac vice. Ryan Sobel
for Defendants David B. Fenkell, Eric M. Lynn, Alliance Holdings, Inc., and
Alliance Holdings, Inc. Employee Stock Ownership Plan admitted pro hac vice.
Signed by Magistrate Judge Stephen L. Crocker on 12/11/2009. (arw) (Entered:
12/11/2009)

12/11/2009

71 STIPULATION for Electronic Service by Defendants David B. Fenkell, Pamela
Klute, Eric M. Lynn, James Mastrangelo, Stephen W. Pagelow, Jeffrey A. Seefeldt,
Trachte Building Systems, Inc. Employee Stock Ownership Plan, Employee Stock
Ownership Plan, Alliance Holdings, Inc. Employee Stock Ownership Plan,
Alliance Holdings, Inc., Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins. (Barton, Robert) (Entered: 12/11/2009)

12/11/2009

72 NOTICE re: 57 BRIEF in Opposition Plaintiffs' Notice of Supplemental Authority
Relevant to All Defendants' Motions to Dismiss, by Plaintiffs Carol Chesemore,
Daniel Donkel, Thomas Gieck and Martin Robbins. (Attachments:

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# 1 Braden v. Wal-Mart Stores, Inc. - Eighth Circuit Opinion,
# 2 Will v. General Dynamics - U.S. District Court Decision, Southern District of
Illinois) (Handorf, Karen) Modified on 12/11/2009 (arw). (Entered: 12/11/2009)
12/11/2009

73 CERTIFICATE OF SERVICE by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins re 72 Notice (Other), Notice (Other) (Handorf,
Karen) (Entered: 12/11/2009)

12/22/2009

74 Response to 72 Plaintiffs' Notice of Supplemental Authority by Defendant Stephen
W. Pagelow. (Attachments:
# 1 Certificate of Service) (Silver, Alan) Modified text on 12/29/2009 (Friedl,
Joanne). (Entered: 12/22/2009)

01/13/2010

75 Notice of Supplemental Authority Relevant to All Defendants' Motions to Dismiss
by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins re
35 Brief in Opposition. (Handorf, Karen) (Entered: 01/13/2010)

01/22/2010

76 Motion for Protective Order Governing Confidential Documents by Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins. (Attachments:
# 1 Exhibit A - blacklined version of Protective Order,
# 2 Text of Proposed Order) (Barton, Robert)
Added exhibit description on 1/25/2010 (jef). (Entered: 01/22/2010)

01/22/2010

77 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins re: 78 Amended Complaint, 79 Amended Complaint
(re-filed). (Handorf, Karen) Modified on 1/25/2010 (arw). (Entered: 01/22/2010)

01/22/2010

78 Disregard - refiled as # 79 ; Emailed attorney to refile with a signature, the correct
event and a certificate of service on 1/25/2010 (jef). (Entered: 01/22/2010)

01/25/2010

79 AMENDED COMPLAINT against David B. Fenkell, Pamela Klute, James
Mastrangelo, Stephen W. Pagelow, Jeffrey A. Seefeldt, Trachte Building Systems,
Inc. Employee Stock Ownership Plan, Alliance Holdings, Inc. Employee Stock
Ownership Plan, Alliance Holdings, Inc., filed by Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, A.H.I. Inc., Alpha Investment Consulting
Group, and John Michael Maier. (Handorf, Karen) Modified text on 1/28/2010
(jef). (Entered: 01/25/2010)

01/26/2010

Set Deadlines as to 76 Motion for Protective Order Governing Confidential
Documents. Brief in Opposition due 1/29/2010. (vob/slc) (Entered: 01/26/2010)

01/28/2010

80 Request for Issuance of Summons for A.H.I, Inc. by Plaintiffs Carol Chesemore,
Daniel Donkel, Thomas Gieck, Martin Robbins. (Erlandson, Andrew) Modified
text on 1/29/2010 (jef). (Entered: 01/28/2010)

01/28/2010

81 Request for Issuance of Summons for Alpha Investment Consulting Group by
Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins.
(Erlandson, Andrew) Modified text on 1/29/2010 (jef). (Entered: 01/28/2010)

01/28/2010

82 Request for Issuance of Summons for John Michael Maier by Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins. (Erlandson, Andrew)
Modified text on 1/29/2010 (jef). (Entered: 01/28/2010)

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01/28/2010

83 Summons issued as to Defendants A.H.I. Inc., Alpha Investment Consulting
Group, LLC., John Michael Maier. (Attachments:
# 1 Alpha Investment Summons,
# 2 Maier Summons) (llj) (Entered: 01/28/2010)

01/29/2010

84 Joint Motion for Extension of Time For Serving A Responsive Pleading to the
Amended Complaint and to Amend Preliminary Pretrial Conference Order by
Defendants David B. Fenkell, Pamela Klute, Eric M. Lynn, James Mastrangelo,
Stephen W. Pagelow, Jeffrey A. Seefeldt, Trachte Building Systems, Inc. Employee
Stock Ownership Plan, Employee Stock Ownership Plan, Alliance Holdings, Inc.
Employee Stock Ownership Plan, A.H.I., Inc., Alpha Investment Consulting
Group, LLC, John Michael Maier, Alliance Holdings, Inc., Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins. Motions referred to
Magistrate Judge Stephen L. Crocker. (Handorf, Karen) (Entered: 01/29/2010)

01/29/2010

85 Certificate of Service by Defendants David B. Fenkell, Pamela Klute, Eric M.
Lynn, James Mastrangelo, Stephen W. Pagelow, Jeffrey A. Seefeldt, Trachte
Building Systems, Inc. Employee Stock Ownership Plan, Employee Stock
Ownership Plan, Alliance Holdings, Inc. Employee Stock Ownership Plan, A.H.I.,
Inc., Alpha Investment Consulting Group, LLC, John Michael Maier, Alliance
Holdings, Inc., Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin
Robbins re 84 Joint Motion for Extension of Time For Serving A Responsive
Pleading to the Amended Complaint and to Amend Preliminary Pretrial
Conference Order (Handorf, Karen) (Entered: 01/29/2010)

01/29/2010

86 Motion requesting guidance related to Defendants' pending motions to dismiss and
Plaintiffs' Amended Complaint by Defendant Stephen W. Pagelow. (Attachments:
# 1 Certificate of Service) (Silver, Alan) Modified text on 2/1/2010 (vob).
(Entered: 01/29/2010)

01/29/2010

87 Stipulation for Waiver of Service and Time for Defendants to Respond to Amended
Complaint by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin
Robbins. (Handorf, Karen) (Entered: 01/29/2010)

01/29/2010

88 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins re 87 Stipulation for Waiver of Service and Time for
Defendants to Respond to Amended Complaint (Handorf, Karen) (Entered:
01/29/2010)

01/29/2010

89 Notice of Appearance filed by Tara M. Mathison for Defendants Alpha Investment
Consulting Group, LLC, John Michael Maier (Mathison, Tara) (Entered:
01/29/2010)

01/29/2010

90 Brief in Opposition by Defendants David B. Fenkell, Pamela Klute, James
Mastrangelo, Stephen W. Pagelow, Jeffrey A. Seefeldt, Trachte Building Systems,
Inc. Employee Stock Ownership Plan, Employee Stock Ownership Plan, Alliance
Holdings, Inc. Employee Stock Ownership Plan, Alliance Holdings, Inc. re: 76
Motion for Protective Order Governing Confidential Documents filed by Martin
Robbins, Thomas Gieck, Daniel Donkel, Carol Chesemore (Attachments:
# 1 Exhibit A - Defendants' Proposed Protective Order,

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# 2 Exhibit B - Emails re: Defendants' Proposed Protective Order Section 2.D.,
# 3 Exhibit C - Defendants' Proposed Protective Order mark-up,
# 4 Exhibit D - Email to Attorney Sobel from Attorney Barton, 1/16/10) (Sobel,
Ryan)
Added exhibit descriptions on 2/1/2010 (jef). (Entered: 01/29/2010)
01/29/2010

02/01/2010

91 Certificate of Service by Defendants David B. Fenkell, Alliance Holdings, Inc.
Employee Stock Ownership Plan, Alliance Holdings, Inc. re 90 Brief in
Opposition,, (Sobel, Ryan) (Entered: 01/29/2010)
Set Status Conference: Status Conference set for 2/3/2010 at 01:30 PM before
Magistrate Judge Stephen L. Crocker. Counsel for defendant Stephen W. Pagelow
responsible for setting up the call to chambers at [phone]. (vob) (Entered:
02/01/2010)

02/01/2010

92 ** TEXT ONLY ORDER **
Plaintiffs' motion to accept and enter its version of the disputed protective order 76
is DENIED. A party is entitled to tighter protection of its unfiled discovery
material than provided for by plaintiffs' proposal. See Bond v. Utreras, 585 F.3d
1061, 1074-77 (7th Cir. 2009). Therefore, it is appropriate to limit the use of
confidential material to this lawsuit and to require persons to whom confidential
material is disclosed to submit themselves to the jurisdiction of this court for
enforcement purposes. On the other hand, once this is done, a party and its
attorneys may disclose confidential material to the extent necessary to prosecute
this lawsuit to whomever the party/attorney has an objectively reasonable basis to
disclose it. The parties may have until February 8 to submit a joint proposed
protective order; if they cannot agree, then each side shall submit its own version
and the court will pick one and enter it as submitted. Signed by Magistrate Judge
Stephen L. Crocker on 2/1/2010. (vob) (Entered: 02/01/2010)

02/02/2010

93 ORDER denying as moot 17 , 18 and 39 Motions to Dismiss. Granting 87
Stipulation for Waiver of Service and Time for Defendants to Respond to Amended
Complaint. Defendants may have until 3/1/2010 to respond to amended complaint.
Signed by Chief Judge Barbara B. Crabb on 2/2/2010. (vob) (Entered: 02/02/2010)

02/04/2010

94 Motion to Admit Monya M. Bunch Pro Hac Vice by Plaintiffs Carol Chesemore,
Daniel Donkel, Thomas Gieck, Martin Robbins. Motions referred to Magistrate
Judge Stephen L. Crocker. (Attachments:
# 1 Certificate of Service) (Handorf, Karen) (Entered: 02/04/2010)

02/04/2010

95 Declaration of Monya M. Bunch filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins In Support Of re: 94 Motion to Admit
Monya M. Bunch Pro Hac Vice filed by Martin Robbins, Thomas Gieck, Daniel
Donkel, Carol Chesemore (Handorf, Karen) (Entered: 02/04/2010)

02/08/2010

96 ** TEXT ONLY ORDER **
Based upon a telephone call received from plaintiffs, which apparently defendants
have no objection to, the deadline to submit either a joint proposed protective order
or each side's own version is extended to Wednesday, February 10th. No further
extensions will be granted. Signed by Magistrate Judge Stephen L. Crocker on

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2/8/2010. (vob) (Entered: 02/08/2010)
02/09/2010

97 ** TEXT ONLY ORDER **
ORDER granting 94 Motion to Admit Monya M. Bunch Pro Hac Vice. Monya
Monique Bunch for Carol Chesemore, Daniel Donkel, Thomas Gieck and Martin
Robbins admitted pro hac vice. Signed by Magistrate Judge Stephen L. Crocker on
2/9/2010. (vob) (Entered: 02/09/2010)

02/10/2010

98 Motion for Clarification re: 93 Order on Motion to Dismiss, Order on Stipulation
Letter for Clarification by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins. (Erlandson, Andrew) (Entered: 02/10/2010)

02/10/2010

99 Certificate of Service re 98 Motion for Clarification by Plaintiffs Carol Chesemore,
Daniel Donkel, Thomas Gieck, Martin Robbins (Erlandson, Andrew) Created link
#98 on 2/11/2010 (Friedl, Joanne). (Entered: 02/10/2010)

02/10/2010

100 Disregard - refiled as # 101 ; with additional attachment, per telephone call from
filing party on 2/10/2010 (llj). (Entered: 02/10/2010)

02/10/2010

101 Renewed Motion for Protective Order Governing Confidential Documents by
Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins.
(Attachments:
# 1 Exhibit A - Email between counsel, dated 2/10/2010,
# 2 Proposed Protective Order) (Erlandson, Andrew) Modified text on 2/11/2010
(jef). (Entered: 02/10/2010)

02/10/2010

102 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins re 101 Renewed Motion for Protective Order. (Erlandson,
Andrew) Added link to #101 on 2/11/2010 (Friedl, Joanne). (Entered: 02/10/2010)

02/10/2010

103 Notice of Filing of Proposed Protective Order by Defendants David B. Fenkell,
Pamela Klute, James Mastrangelo, Stephen W. Pagelow, Jeffrey A. Seefeldt,
Trachte Building Systems, Inc. Employee Stock Ownership Plan, Alliance
Holdings, Inc. Employee Stock Ownership Plan, Alliance Holdings, Inc. re 92
Order on Motion for Protective Order. (Attachments:
# 1 Proposed Protective Order,
# 2 Certificate of Service) (Sobel, Ryan) Modified text on 2/11/2010 (jef).
(Entered: 02/10/2010)

02/11/2010

104 ** TEXT ONLY ORDER **
Plaintiffs motion for clarification 98 , properly construed as a motion for a ruling
on an earlier joint filing 84 , is GRANTED. Plaintiffs' motion to extend the
deadline for filing an amended complaint without leave of the court 84 , is
DENIED. In the event some or all of plaintiffs' claims are dismissed, it will be a
matter for the courts discretion to determine whether plaintiffs may file another
amended complaint to address any pleading deficiencies identified in the dismissal
order. See Airborne Beepers & Video, Inc. v. AT&T Mobility LLC, 499 F.3d 663,
666-67 (7th Cir. 2007. Plaintiffs' motion to extend the deadline for moving for
class certification, dkt. 84, is GRANTED in part. The original deadline for class
certification is VACATED, but plaintiff's proposed new deadline of March 17,
2010 is not feasible because the parties will still be briefing defendants' motions to

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dismiss. A new deadline will be set once the court rules on defendants' motions to
dismiss. Signed by Magistrate Judge Stephen L. Crocker on 2/11/2010. (vob)
Modified on 2/22/2010 (llj/t). (Entered: 02/11/2010)
02/11/2010

105 ** TEXT ONLY ORDER **
Pursuant to this court's February 1 order 92 , each side has submitted similar but
not identical proposed protective orders. The court accepts and enters plaintiffs'
version 101 Exh. 2. As for the disputes over Rule 45 subpoena/deposition practice,
the court is satisfied that the "issuing court" can and will enforce this court's
protective order; further, such depositions are, by definition, part of the discovery
in this case, which means that the parties may disclose on an as-needed basis
confidential material to deponents who agree to be bound by the protective order.
Signed by Magistrate Judge Stephen L. Crocker on 2/11/2010. (vob) Modified on
2/22/2010 (llj/t). (Entered: 02/11/2010)

02/22/2010

106 Motion to Admit James J. Convery Pro Hac Vice by Defendants Alpha Investment
Consulting Group, LLC, John Michael Maier. Motions referred to Magistrate
Judge Stephen L. Crocker. (Convery, James) (Entered: 02/22/2010)

02/22/2010

107 Motion to Substitute Attorney by Defendants Alpha Investment Consulting Group,
LLC, John Michael Maier. Motions referred to Magistrate Judge Stephen L.
Crocker. (Convery, James) (Entered: 02/22/2010)

02/23/2010

108 ** TEXT ONLY ORDER **
ORDER granting 106 Motion to Admit James J. Convery Pro Hac Vice. James J.
Convery for Alpha Investment Consulting Group, LLC and John Michael Maier
admitted pro hac vice. Signed by Magistrate Judge Stephen L. Crocker on
2/23/2010. (vob) (Entered: 02/23/2010)

02/23/2010

109 ** TEXT ONLY ORDER **
ORDER granting 107 Motion to Substitute Attorney, with the understanding that
the existing schedule remains in place. Signed by Magistrate Judge Stephen L.
Crocker on 2/23/2010. (vob) (Entered: 02/23/2010)

03/01/2010

110 MOTION TO DISMISS by Defendant Stephen W. Pagelow. Brief in Opposition
due 3/22/2010. Brief in Reply due 4/1/2010. (Hickey, Kevin) (Entered:
03/01/2010)

03/01/2010

111 Supplemental Brief in Support by Defendant Stephen W. Pagelow re: 110
MOTION TO DISMISS filed by Stephen W. Pagelow (Attachments:
# 1 Text of Proposed Order,
# 2 Certificate of Service) (Hickey, Kevin) (Entered: 03/01/2010)

03/01/2010

112 MOTION TO DISMISS COUNTS VI AND VIII OF THE AMENDED
COMPLAINT by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt. Brief in Opposition due 3/22/2010. Brief in Reply due 4/1/2010. (Wolf,
Charles) (Entered: 03/01/2010)

03/01/2010

113 Brief in Support by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt re: 112 MOTION TO DISMISS COUNTS VI AND VIII OF THE
AMENDED COMPLAINT filed by Pamela Klute, Jeffrey A. Seefeldt, James

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Mastrangelo (Wolf, Charles) (Entered: 03/01/2010)
03/01/2010

114 Motion for Leave to File Documents Outside The Pleadings by Defendants Pamela
Klute, James Mastrangelo, Jeffrey A. Seefeldt. (Wolf, Charles) (Attachment(s):
# 1 Supplemental Affidavit of James Mastrangelo,
# 2 Exhibit 1 - Letter of Intent, 4/19/07,
# 3 Exhibit 2 - Engagement letter, 8/13/07,
# 4 Exhibit 3 - Written Consent, 8/24/07) (jef). Added exhibit descriptions and
emailed attorney to file affidavit separately on 3/2/2010 (jef). (Entered:
03/01/2010)

03/01/2010

115 Certificate of Service by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt re 112 MOTION TO DISMISS COUNTS VI AND VIII OF THE
AMENDED COMPLAINT, 113 Brief in Support, 114 Motion for Leave to File
Documents Outside The Pleadings (Wolf, Charles) (Entered: 03/01/2010)

03/01/2010

116 Notice of Appearance filed by James J. Convery for Defendants Alpha Investment
Consulting Group, LLC, John Michael Maier (Convery, James) (Entered:
03/01/2010)

03/01/2010

117 ANSWER to Amended Complaint by Defendants Alpha Investment Consulting
Group, LLC, John Michael Maier. (Convery, James) (Entered: 03/01/2010)

03/01/2010

118 MOTION TO DISMISS Plaintiffs' Amended Class Action Complaint by
Defendants David B. Fenkell, Alliance Holdings, Inc. Employee Stock Ownership
Plan, A.H.I., Inc., Alliance Holdings, Inc.. Brief in Opposition due 3/22/2010.
Brief in Reply due 4/1/2010. (Attachments:
# 1 Certificate of Service) (Sobel, Ryan) (Entered: 03/01/2010)

03/01/2010

119 Supplemental Brief in Support by Defendants David B. Fenkell, Alliance
Holdings, Inc. Employee Stock Ownership Plan, A.H.I., Inc., Alliance Holdings,
Inc. re: 118 MOTION TO DISMISS Plaintiffs' Amended Class Action Complaint
filed by A.H.I., Inc., David B. Fenkell, Alliance Holdings, Inc., Alliance Holdings,
Inc. Employee Stock Ownership Plan (Attachments:
# 1 Unreported Case - Lee v. Builder's Supply Co.,
# 2 Certificate of Service) (Sobel, Ryan) (Entered: 03/01/2010)

03/02/2010

120 Supplemental Affidavit of James Mastrangelo filed by Defendants Pamela Klute,
James Mastrangelo, Jeffrey A. Seefeldt re: 114 Motion for Leave to File
Documents Outside The Pleadings filed by Pamela Klute, Jeffrey A. Seefeldt,
James Mastrangelo (Attachments:
# 1 Exhibit 1 - Letter of Intent, 4/19/07,
# 2 Exhibit 2 - Engagement letter, 8/13/07,
# 3 Exhibit 3 - Written Consent, 8/24/07,
# 4 Certificate of Service) (jef). Separated and reattached exhibits on 3/3/2010
(jef). (Entered: 03/02/2010)

03/03/2010

121 Disregard - refiled as # 123 ; attorney refiled w/ a signature that matches the log-in,
3/5/2010 (jef). (Entered: 03/03/2010)

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03/03/2010

122 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins re 121 Motion to Compel Production of Documents from
Defendants Alliance Holdings, Inc., David B. Fenkell, and Alliance Holdings, Inc.
ESOP (Barton, Robert) (Entered: 03/03/2010)

03/04/2010

Set/Reset Deadlines as to 121 Motion to Compel Production of Documents from
Defendants Alliance Holdings, Inc., David B. Fenkell, and Alliance Holdings, Inc.
ESOP. Response due 3/10/2010. Telephone Motion Hearing set for 3/17/2010 at
09:30 AM before Magistrate Judge Stephen L. Crocker. Counsel for Plaintiff
responsible for setting up the call to chambers at [phone]. (vob) (Entered:
03/04/2010)

03/04/2010

123 Motion to Compel Production of Documents from Defendants Alliance Holdings,
Inc., David B. Fenkell, and Alliance Holdings, Inc. ESOP by Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins. Motions referred to
Magistrate Judge Stephen L. Crocker. Response due 3/10/2010. (Attachments:
# 1 Exhibit List,
# 2 Exhibit 1 - Emails between counsel - 12/10/09,
# 3 Exhibit 2 - 1st Request for Production of Documents,
# 4 Exhibit 3 - Objections and Responses to 1st Request for Production of
Documents,
# 5 Exhibit 4 - Email from R. Sobel to J. Barton, 1/14/10,
# 6 Exhibit 5 - Email from J. Barton to R. Sobel, 1/14/10,
# 7 Exhibit 6 - Email from Patricia McKeegan w/letter from R. Sobel to J. Barton,
# 8 Exhibit 7 - Email from M. Bunch to R. Sobel, 2/11/10,
# 9 Exhibit 8 - Email from R. Sobel to M. Bunch, 2/26/10,
# 10 Exhibit 9 - Initial Disclosures of Def. Alliance Holdings, et al,
# 11 Exhibit 10 - July 2007 Town Hall Meeting Slides PPTF 00701-738,
# 12 Exhibit 11 - Confidential Material Sealed Pursuant to Protective Order,
# 13 Exhibit 12 - Pgs. 232-233 of Deposition of Carol Chesemore, 2/26/10)
(Bunch, Monya) Changed response due date from 3/11 to 3/10 per court deadline
entry on 3/4, 3/9/2010 (jef). (Entered: 03/04/2010)

03/04/2010

124 Declaration of Monya M. Bunch filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins re: 123 Motion to Compel Production of
Documents from Defendants Alliance Holdings, Inc., David B. Fenkell, and
Alliance Holdings, Inc. ESOP filed by Martin Robbins, Thomas Gieck, Daniel
Donkel, Carol Chesemore (Bunch, Monya) (Entered: 03/04/2010)

03/04/2010

125 Declaration of R. Joseph Barton filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins re: 123 Motion to Compel Production of
Documents from Defendants Alliance Holdings, Inc., David B. Fenkell, and
Alliance Holdings, Inc. ESOP filed by Martin Robbins, Thomas Gieck, Daniel
Donkel, Carol Chesemore (Barton, Robert) (Entered: 03/04/2010)

03/04/2010

126 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins re 123 Motion to Compel Production of Documents from
Defendants Alliance Holdings, Inc., David B. Fenkell, and Alliance Holdings, Inc.
ESOP (Bunch, Monya) (Entered: 03/04/2010)

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03/10/2010

127 Brief in Opposition by Defendants David B. Fenkell, Alliance Holdings, Inc.
Employee Stock Ownership Plan, A.H.I., Inc., Alliance Holdings, Inc. re: 123
Motion to Compel Production of Documents from Defendants Alliance Holdings,
Inc., David B. Fenkell, and Alliance Holdings, Inc. ESOP filed by Martin Robbins,
Thomas Gieck, Daniel Donkel, Carol Chesemore (Attachments:
# 1 Exhibit A: Dec. 31, 2009 Response to Rule 34 Requests,
# 2 Unreported Case: Kipperman v. Onex Corp.,
# 3 Unreported Case: M. McGee Design Studio, Inc. v. Brinson,
# 4 Certificate of Service) (Sobel, Ryan) (Entered: 03/10/2010)

03/10/2010

128 Declaration of Ryan A. Sobel re 127 Brief in Opposition,, (Attachments:
# 1 Certificate of Service) (Sobel, Ryan) (Entered: 03/10/2010)

03/17/2010

129 ** TEXT ONLY ORDER **
At a March 17, 2010 telephonic hearing, the court granted in part and denied in
part plaintiffs' motion to compel discovery 123 in the manner and for the reasons
stated. Signed by Magistrate Judge Stephen L. Crocker on 3/17/2010. (llj)
(Entered: 03/17/2010)

03/17/2010

Minute Entry for proceedings held before Magistrate Judge Stephen L. Crocker:
Telephone Motion Hearing held on 3/17/2010 [:28] (Court Reporter LS) (cak)
(Entered: 03/17/2010)

03/22/2010

130 Motion to Strike 117 Answer to Amended Complaint (Motion to Strike Affirmative
Defenses of Defendants Alpha Investment Consulting, LLC and John Maier) by
Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin
Robbins.Response due 3/29/2010. (Barton, Robert) (Entered: 03/22/2010)

03/22/2010

131 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins re 130 Motion to Strike 117 Affirmative Defenses of
Defendants Alpha Investment Consulting, LLC and John Maier. (Barton, Robert)
(Entered: 03/22/2010)

03/22/2010

132 Brief in Opposition by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins re: 110 MOTION TO DISMISS filed by Stephen W. Pagelow, 112
MOTION TO DISMISS COUNTS VI AND VIII OF THE AMENDED
COMPLAINT filed by Pamela Klute, Jeffrey A. Seefeldt, James Mastrangelo, 118
MOTION TO DISMISS Plaintiffs' Amended Class Action Complaint filed by
A.H.I., Inc., David B. Fenkell, Alliance Holdings, Inc., Alliance Holdings, Inc.
Employee Stock Ownership Plan (Consolidated Opposition to Defendant
Pagelow's Supplemental Memorandum of Law in Support of His Motion to Dismiss
(Dkt. 111); Defs. Mastrangelo, Klute and Seefeldt's Brief in Support of their Motion
to Dismiss Counts VI/VIII of Amended Complaint (Dkt. 113) and Supplemental
Memorandum Defs. Alliance, A.H.I. Inc., David B. Fenkell and Alliance Holdings,
Inc. ESOP and Trust (Dkt. 119) (Handorf, Karen) (Entered: 03/22/2010)

03/22/2010

133 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins re 132 Brief in Opposition. (Handorf, Karen) (Entered:
03/22/2010)

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03/31/2010

134 Order Reassigning Case. Case reassigned to District Judge William M. Conley and
Magistrate Judge Stephen L. Crocker for all further proceedings. Signed by District
Judge William M. Conley on 3/31/10. (krj) (Entered: 03/31/2010)

04/01/2010

Set/Reset Trial Deadlines/Hearings: Court Trial set for 4/11/2011 at 09:00 AM (krj)
(Entered: 04/01/2010)

04/01/2010

135 Brief in Reply in Support by Defendants Pamela Klute, James Mastrangelo, Jeffrey
A. Seefeldt re: 112 MOTION TO DISMISS COUNTS VI AND VIII OF THE
AMENDED COMPLAINT filed by Pamela Klute, Jeffrey A. Seefeldt, James
Mastrangelo (Wolf, Charles) Modified text, wrong event, 4/2/2010 (jef). (Entered:
04/01/2010)

04/01/2010

136 Certificate of Service by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt re 135 Brief in Reply. (Wolf, Charles) Modified text on 4/2/2010 (jef).
(Entered: 04/01/2010)

04/01/2010

137 Disregard - refiled as # 140 ; Emailed attorney to refile with a signature that
matches log-in and with the Brief in Reply event, 4/2/2010 (jef). (Entered:
04/01/2010)

04/01/2010

138 Brief in Reply in Support re: 118 MOTION TO DISMISS Plaintiffs' Amended
Class Action Complaint filed by A.H.I., Inc., David B. Fenkell, Alliance Holdings,
Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan (Attachments:
# 1 Certificate of Service) (Sobel, Ryan) (Entered: 04/01/2010)

04/02/2010

139 Disregard - refiled as # 14 Attorney called advising wrong dates on brief. Modified
on 4/2/2010 (vob). Modified on 4/2/2010 (jef). (Entered: 04/02/2010)

04/02/2010

140 Brief in Reply in Support re: 110 MOTION TO DISMISS filed by Stephen W.
Pagelow (Attachments:
# 1 Certificate of Service) (Norrie, Jonathan) (Entered: 04/02/2010)

04/05/2010

141 Transcript of motion hearing, held 3/17/10 before Magistrate Judge Stephen L.
Crocker. Court Reporter: LS.
Please review the court policy regarding electronic transcripts: see Electronic
Transcript Instructions and Notice of Intent to Request Redaction. (krj) (Entered:
04/05/2010)

04/12/2010

142 Brief in Opposition re: 130 Motion to Strike
and Alternative Request for Leave to File Amended Answer by Defendants Alpha
Investment Consulting Group, LLC and John Maier. (Convery, James) Modified
text on 4/13/2010 (jef). (Entered: 04/12/2010)

04/13/2010

143 Stipulation for Electronic Service by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins, Defendant Alpha Investment Consulting Group,
LLC. (Barton, Robert) (Entered: 04/13/2010)

04/19/2010

144 ** TEXT ONLY ORDER **
ORDER granting 143 Stipulation for Electronic Service. Signed by Magistrate
Judge Stephen L. Crocker on 4/19/2010. (vob) (Entered: 04/19/2010)

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04/22/2010

145 Brief in Reply in Support by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins re: 130 Motion to Strike 117 Answer to Amended
Complaint (Motion to Strike Affirmative Defenses of Defendants Alpha Investment
Consulting, LLC and John Maier) filed by Martin Robbins, Thomas Gieck, Daniel
Donkel, Carol Chesemore Reply in Support of Plaintiffs' Motion to Strike the
Affirmative Defenses of Defendants Alpha Investment Consulting LLC and John
Maier (Barton, Robert) Modified text, wrong event used, 4/23/2010 (jef). (Entered:
04/22/2010)

07/01/2010

146 Unopposed Motion to Modify Scheduling Order re 62 Pretrial Conference Order
by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin
Robbins.Response due 7/8/2010. (Attachments:
# 1 Text of Proposed Order) (Bunch, Monya) . (Entered: 07/01/2010)

07/12/2010

Set Hearings: Telephone Scheduling Conference set for 7/28/2010 at 09:00 AM
before Magistrate Judge Stephen L. Crocker. Counsel for Plaintiff responsible for
setting up the call to chambers at [phone]. (vob) (Entered: 07/12/2010)

07/28/2010

Minute Entry for proceedings held before Magistrate Judge Stephen L. Crocker:
Telephone Scheduling Conference held on 7/28/2010 [:08] (skv) (Entered:
07/28/2010)

07/29/2010

147 AMENDED Scheduling Order: Dispositive Motions due 2/1/2011. Settlement
Letters due 4/28/2011. Court Trial set for 7/18/2011 at 09:00 AM. Signed by
Magistrate Judge Stephen L. Crocker on 7/28/2010. (vob) (Entered: 07/29/2010)

09/24/2010

148 Motion to Admit Michelle C. Yau Pro Hac Vice by Plaintiffs Carol Chesemore,
Daniel Donkel, Thomas Gieck, Martin Robbins. Motions referred to Magistrate
Judge Stephen L. Crocker. (Handorf, Karen) (Entered: 09/24/2010)

09/24/2010

149 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins re 148 Motion to Admit Michelle C. Yau Pro Hac Vice
(Handorf, Karen) (Entered: 09/24/2010)

09/27/2010

Action Requested: Attorney Michelle Yau must be registered with CM/ECF before
the motion pro hac vice is granted. (vob) Modified text on 10/7/2010 (llj).
(Entered: 09/27/2010)

09/30/2010

150 ** TEXT ONLY ORDER **
ORDER granting 148 Motion to Admit Michelle C. Yau Pro Hac Vice. Michelle
Yau for Carol Chesemore, Daniel Donkel, Thomas Gieck and Martin Robbins
admitted pro hac vice. Signed by Magistrate Judge Stephen L. Crocker on
9/30/2010. (vob) (Entered: 09/30/2010)

10/12/2010

151 Motion to Modify Scheduling Order and Request for Scheduling Conference re
147 Scheduling Order, 62 Pretrial Conference Order by Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins.Response due
10/19/2010. (Attachments:
# 1 Text of Proposed Order,
# 2 Attachment A: Defendants' Counsel's Unavailability for Depositions and
Schedule of Depositions) (Barton, Robert) (Entered: 10/12/2010)

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152 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins re 151 Motion to Modify Scheduling Order and Request for
Scheduling Conference re 147 Scheduling Order, 62 Pretrial Conference Order
Motion to Modify Scheduling Order and Request for Scheduling Conference re
147 Scheduling Order, 62 Pretrial Conference Order (Barton, Robert) (Entered:
10/12/2010)
Set Telephone Status Conference: Telephone Status Conference set for 11/3/2010
at 11:00 AM before Magistrate Judge Stephen L. Crocker. Counsel for Plaintiff
responsible for setting up the call to chambers at [phone]. (vob) (Entered:
10/13/2010)

10/18/2010

153 Brief in Opposition by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt re: 151 Motion to Modify Scheduling Order and Request for Scheduling
Conference re 147 Scheduling Order, 62 Pretrial Conference Order Motion to
Modify Scheduling Order and Request for Scheduling Conference re 147
Scheduling Order, 62 Pretrial Conference Order filed by Martin Robbins, Thomas
Gieck, Daniel Donkel, Carol Chesemore (Spangler, Patrick) (Entered: 10/18/2010)

10/18/2010

154 Certificate of Service by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt re 153 Brief in Opposition, (Spangler, Patrick) (Entered: 10/18/2010)

10/19/2010

155 Motion for Clarification concerning 11/3 status conference by Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins.Response due
10/26/2010. (Attachments:
# 1 Exhibit Order in District of Minnesota Case No. 10-0069) (Erlandson, Andrew)
(Entered: 10/19/2010)

10/19/2010

156 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins (Erlandson, Andrew) (Entered: 10/19/2010)

10/22/2010

157 Brief in Reply in Support re: 151 Motion to Modify Scheduling Order and Request
for Scheduling Conference re 147 Scheduling Order, 62 Pretrial Conference Order
Motion to Modify Scheduling Order and Request for Scheduling Conference re
147 Scheduling Order, 62 Pretrial Conference Order filed by Martin Robbins,
Thomas Gieck, Daniel Donkel, Carol Chesemore (Attachments:
# 1 Certificate of Service) (Barton, Robert) Modified docket text on 10/25/2010
(jas). (Entered: 10/22/2010)

10/27/2010

10/27/2010

Set Telephone Pretrial or Status Conference: Telephone Status Conference set for
11/3/2010 at 11:00 AM rescheduled to 11/16/2010 at 09:00 AM to accommodate
the court. Counsel for Plaintiff remains responsible for setting up the call to
chambers at [phone]. (cak) (Entered: 10/27/2010)
158 ** TEXT ONLY ORDER **
The November 3, 2010 telephonic status conference is moved to November 16,
2010 at 9:00 a.m. All dates in the current schedule are suspended pending this
hearing. Signed by Magistrate Judge Stephen L. Crocker on 10/27/10. (krj)
(Entered: 10/27/2010)

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159 ** TEXT ONLY ORDER **
Rescheduling 11/16/2010 Status Conference to 12/10/2010 at 9:00 AM before
Judge William M. Conley. Counsel for Plaintiff responsible for setting up the call
to chambers at [phone]. Signed by District Judge William M. Conley on
11/15/2010. (vob) (Entered: 11/15/2010)

12/10/2010

Minute Entry for proceedings held before District Judge William M. Conley:
Telephone Status Conference held on 12/10/2010 [1:00] (mfh) (Entered:
12/10/2010)

12/17/2010

160 Transcript of Telephonic Hearing, held 12/10/2010 before Judge William M.
Conley. Court Reporter: LS.
Please review the court policy regarding electronic transcripts: see Electronic
Transcript Instructions and Notice of Intent to Request Redaction. (vob) (Entered:
12/17/2010)

12/17/2010

161 Unopposed Motion for Clarification re 159 Text Only Order, briefing and
discovery deadlines by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins. Response due 12/27/2010. (Erlandson, Andrew) Modified on
12/20/2010 (jas/t). (Entered: 12/17/2010)

12/17/2010

162 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins (Erlandson, Andrew) Modified docket text on 12/20/2010
(jas). (Entered: 12/17/2010)

01/03/2011

163 Disregard; refiled as entry 167 per telephone call from attorney's office regarding
signature. Modified on 1/4/2011 (jas). (Entered: 01/03/2011)

01/03/2011

164 Disregard; refiled as entry 166 per telephone call from attorney's office regarding
signature. Modified on 1/4/2011 (jas). (Entered: 01/03/2011)

01/03/2011

165 Disregard; refiled as entry 167 . Requested attorney refile with matching log in and
signature on 1/4/2011 (jas). Modified on 1/4/2011 (jas). Modified on 1/6/2011
(llj/c). (Entered: 01/03/2011)

01/03/2011

166 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins (Bunch, Monya) (Entered: 01/03/2011)

01/04/2011

167 Notice of Supplemental Authority by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins re 110 , 112 , 118 Motions to
Dismiss(Attachments:
# 1 In re Text Messaging Antitrust Litigation - 7th Circuit Opinion) (Barton,
Robert) Modified docket text on 1/4/2011 (jas/c). Added docket relationships on
1/5/2011 (jas). (Entered: 01/04/2011)

01/04/2011

168 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins (Barton, Robert) (Entered: 01/04/2011)

01/10/2011

169 Motion for Extension of Time by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins. (Erlandson, Andrew) Modified docket text and
event on 1/11/2011 (jas/c). (Entered: 01/10/2011)

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01/10/2011

170 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins (Erlandson, Andrew) (Entered: 01/10/2011)

01/14/2011

171 ** TEXT ONLY ORDER **
ORDER re: 169 Motion for Extension of Time. Plaintiffs' motion for class
certification is due 30 days from the date of a decision on the motion to dismiss.
Responses shall be due 21 days after any motion for class certification is filed, with
any reply due 21 days after a response is filed. All other dates remain the same.
Signed by District Judge William M. Conley on 1/14/2011. (lak) (Entered:
01/14/2011)

02/17/2011

172 ORDER granting in part and denying in part 110 Motion to dismiss. Granting in
part and denying in part 112 Motion to dismiss counts VI and VIII of the amended
complaint. Denying 114 Motion for leave to file documents outside the pleadings
and granting in part and denying in part 118 Motion to dismiss amended class
action complaint. Signed by District Judge William M. Conley on 2/17/2011. (voc)
(Entered: 02/17/2011)

02/17/2011

173 ORDER granting in part and denying in part 130 Motion to strike answer to
amended complaint. Signed by District Judge William M. Conley on 2/16/2011.
(voc) (Entered: 02/17/2011)

02/18/2011

174 Scheduling Order: Motion for Class Certification due 3/17/2011. Dispositive
Motions due 5/27/2011. Settlement Letters due 8/15/2011. Motions in Limine due
9/23/2011. Response to Motions due 9/30/2011. Final Pretrial Conference set for
10/6/2011 at 02:00 PM. Final Pretrial Submissions due 9/29/2011. Jury Selection
and Trial set for 10/11/2011 at 09:00 AM. Signed by District Judge William M.
Conley on 2/17/2011. (voc) (Entered: 02/18/2011)

02/18/2011

175 Stipulation re: Expert Disclosures by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins. (Erlandson, Andrew) Modified on 2/22/2011
(jas/t). (Entered: 02/18/2011)

02/18/2011

176 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins (Erlandson, Andrew) (Entered: 02/18/2011)

02/23/2011

177 ** TEXT ONLY ORDER **
Pursuant to stipulation 175 by the parties and their representation that no other
deadline in the scheduling order, including the trial date, should be affected; IT IS
ORDERED that: (1) the due date for proponents' expert disclosures shall be March
18, 2011; (2) the due date for respondents' expert disclosures shall be April 18,
2011; and (3) all other due dates will remain the same. Signed by District Judge
William M. Conley on 2/23/2011. (voc) (Entered: 02/23/2011)

02/28/2011

178 ANSWER to Amended Complaint by Defendant Stephen W. Pagelow. (Norrie,
Jonathan) (Entered: 02/28/2011)

03/02/2011

179 Motion for Extension of Time to File Answer re 79 Amended Complaint, by
Defendants Alliance Holdings, Inc., Alliance Holdings, Inc. Employee Stock
Ownership Plan, David B. Fenkell. Motions referred to Magistrate Judge Stephen
L. Crocker. Response due 3/9/2011. (Attachments:

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# 1 Certificate of Service) (Sobel, Ryan) (Entered: 03/02/2011)
03/02/2011

180 ** TEXT ONLY ORDER **
ORDER granting 179 Motion for Extension of Time to Answer. Alliance Holdings,
Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan and David B.
Fenkell answer due 3/10/2011. Signed by Magistrate Judge Stephen L. Crocker on
3/2/2011. (voc) (Entered: 03/02/2011)

03/03/2011

181 ANSWER to Amended Complaint , Affirmative Defenses, CROSSCLAIM against
Alliance Holdings, Inc., Stephen W. Pagelow by Defendants Pamela Klute, James
Mastrangelo, Jeffrey A. Seefeldt. (Wolf, Charles) Modified docket text on 3/4/2011
(jas/p). (Entered: 03/03/2011)

03/03/2011

182 Certificate of Service by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt (Wolf, Charles) (Entered: 03/03/2011)

03/04/2011

183 Stipulation for Expert Disclosure Deadline by Defendants Alliance Holdings, Inc.,
Alliance Holdings, Inc. Employee Stock Ownership Plan, Alpha Investment
Consulting Group, LLC, Employee Stock Ownership Plan, David B. Fenkell,
Pamela Klute, John Michael Maier, James Mastrangelo, Stephen W. Pagelow,
Jeffrey A. Seefeldt, Trachte Building Systems, Inc. Employee Stock Ownership
Plan, Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins.
(Barton, Robert) (Entered: 03/04/2011)

03/04/2011

184 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins (Barton, Robert) (Entered: 03/04/2011)

03/08/2011

185 ** TEXT ONLY ORDER **
ORDER granting 183 Stipulation for Expert Disclosure Deadline. Signed by
Magistrate Judge Stephen L. Crocker on 3/8/2011. (voc) (Entered: 03/08/2011)

03/10/2011

186 ANSWER to Amended Complaint by Defendants Alliance Holdings, Inc., Alliance
Holdings, Inc. Employee Stock Ownership Plan, David B. Fenkell. (Attachments:
# 1 Certificate of Service) (Sobel, Ryan) (Entered: 03/10/2011)

03/17/2011

187 Motion to Certify Class under Rule 23 by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet. Brief in Opposition due
4/7/2011. Brief in Reply due 4/18/2011. (Bunch, Monya) (Entered: 03/17/2011)

03/18/2011

188 Brief in Support of 187 Motion to Certify Class under Rule 23 by Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet
(Attachments:
# 1 Exhibit 1 - Chesemore Deposition excerpts,
# 2 Exhibit 2 - Donkle Deposition excerpts,
# 3 Exhibit 3 - Gieck Deposition excerpts,
# 4 Exhibit 4 - Robbins Deposition excerpts,
# 5 Exhibit 5 - Stoflet Deposition excerpts,
# 6 Exhibit 6 - Klute Deposition excerpts,
# 7 Exhibit 7 - Klute Deposition Ex. 20,
# 8 Exhibit 8 - Trachte ESOP Representative Deposition excerpts,
# 9 Exhibit 9 - Trachte Plan Document,

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# 10 Exhibit 10 (Pt. 1) Alliance Plan Document,
# 11 Exhibit 10 (Pt. 2) - Alliance Plan Document,
# 12 Exhibit 10 (Pt. 3) Alliance Plan Document,
# 13 Exhibit 11 - Alpha Rule 26 Disclosures,
# 14 Exhibit 12 - Pagelow Rule 26 Disclosures,
# 15 Exhibit 13 - Alliance Rule 26 Disclosures,
# 16 Exhibit 14 - Trustees' Rule 26 Disclosures) (Bunch, Monya) Modified on
3/18/2011 (jas). (Entered: 03/18/2011)
03/18/2011

189 Declaration of Monya M. Bunch filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 187 Motion to
Certify Class under Rule 23 (Attachments:
# 1 Exhibit A - Firm Resume (Cohen Milstein Sellers & Toll, PLLC),
# 2 Exhibit B - Firm Profile (Hurley Burish & Stanton)) (Bunch, Monya) (Entered:
03/18/2011)

03/18/2011

190 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Bunch, Monya) (Entered: 03/18/2011)

03/22/2011

191 Motion to Admit Robyn Swanson Pro Hac Vice by Plaintiffs Carol Chesemore,
Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet. Motions referred
to Magistrate Judge Stephen L. Crocker. (Handorf, Karen) (Entered: 03/22/2011)

03/22/2011

192 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Handorf, Karen) (Entered: 03/22/2011)

03/23/2011

Action Requested: Attorney Robyn Swanson must be registered for CM/ECF
before the motion for pro hac vice is granted. (voc) (Entered: 03/23/2011)

03/24/2011

193 ** TEXT ONLY ORDER **
ORDER granting 191 Motion to Admit Robyn Swanson Pro Hac Vice. Signed by
Magistrate Judge Peter A. Oppeneer on 3/24/11. (krj) (Entered: 03/24/2011)

03/24/2011

194 Motion for Discovery for Leave to Serve Nine Additional Interrogatories on
Trustee Defendants by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet. Motions referred to Magistrate Judge Stephen L.
Crocker. Response due 3/31/2011. (Swanson, Robyn) Modified on 4/1/2011
(voc/po). (Entered: 03/24/2011)

03/24/2011

195 Declaration of Robyn M. Swanson filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 194 Motion for
Discovery for Leave to Serve Nine Additional Interrogatories on Trustee
Defendants (Attachments:
# 1 Exhibit A - Email from R. Swanson to P. Spangler,
# 2 Exhibit B - Proposed Interrogatories) (Swanson, Robyn) Modified on
3/25/2011 (jas). (Entered: 03/24/2011)

03/24/2011

196 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 03/24/2011)

03/24/2011

197 ANSWER to Crossclaim by Defendant Stephen W. Pagelow. (Norrie, Jonathan)
(Entered: 03/24/2011)

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03/25/2011

Set/Reset Deadlines as to 194 Motion for Leave to Serve Nine Additional
Interrogatories on Trustee Defendants. Response due 3/31/2011. Telephone Motion
Hearing set for 4/6/2011 at 01:30 PM before Magistrate Judge Stephen L. Crocker.
Counsel for Plaintiff responsible for setting up the call to chambers at (608)
264-5153. (krj) (Entered: 03/25/2011)

03/25/2011

198 Motion for Discovery (Motion to Exceed the Number of Depositions in the Parties'
Joint Rule 26(f) Report by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet. Motions referred to Magistrate Judge
Stephen L. Crocker. Response due 4/1/2011. (Attachments:
# 1 Exhibit A - Individuals Identified in Rule 26 Disclosures,
# 2 Exhibit B - Deposition of James Lindau - See also docket entry 201 ) (Bunch,
Monya) Modified on 3/28/2011 (jas). Modified on 3/29/2011 (jas). Modified on
4/1/2011 (voc/po). (Entered: 03/25/2011)

03/25/2011

199 Declaration of Monya M. Bunch filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet (Bunch, Monya)
Modified on 3/28/2011 (jas). (Entered: 03/25/2011)

03/25/2011

200 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Bunch, Monya) (Entered: 03/25/2011)

03/28/2011

201 Deposition of James Lindau taken on October 7, 2010 (Filed as Exhibit B in
Support of Motion to Exceed the Number of Depositions in the Parties' Joint Rule
26(f) Report) (Bunch, Monya) (Entered: 03/28/2011)

03/29/2011

Telephone Motion Hearing set for 4/6/2011 at 01:30 PM before Magistrate Judge
Stephen L. Crocker re: 198 Motion for Discovery (Motion to Exceed the Number
of Depositions in the Parties' Joint Rule 26(f) Report by Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet.
Counsel for Plaintiff responsible for setting up the call to chambers at (608)
264-5153. (voc) (Entered: 03/29/2011)

03/30/2011

202 ANSWER to Crossclaim by Cross Defendant Alliance Holdings, Inc..
(Attachments:
# 1 Certificate of Service) (Sobel, Ryan) (Entered: 03/30/2011)

03/31/2011

203 Stipulation for (Regarding Plaintiffs' Motion To Exceed The Interrogatory Limit)
by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins,
Nannette Stoflet. (Swanson, Robyn) (Entered: 03/31/2011)

03/31/2011

204 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 03/31/2011)

03/31/2011

205 Motion for Discovery For Leave To Serve Thirteen Interrogatories On The
Alliance Defendants Or Alternatively, Requiring These Defendants To Plead In
Support Of Their Affirmative Defenses by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet. Motions referred to
Magistrate Judge Stephen L. Crocker. Response due 4/7/2011. (Swanson, Robyn)
Modified on 3/31/2011 (voc). (Entered: 03/31/2011)

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03/31/2011

206 Declaration of Robyn Swanson filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet (Attachments:
# 1 Exhibit- plaintiffs' 2nd Set of Interrogatories ) (Swanson, Robyn) Modified on
3/31/2011 (voc). (Entered: 03/31/2011)

03/31/2011

207 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 03/31/2011)

04/01/2011

208 ** TEXT ONLY ORDER **
ORDER granting 203 Stipulation Regarding Plaintiffs' Motion To Exceed The
Interrogatory Limit. Signed by Magistrate Judge Peter A. Oppeneer on 4/1/2011.
(voc) (Entered: 04/01/2011)

04/01/2011

Telephone Motion Hearing set for 4/13/2011 at 03:00 PM re: 205 before Magistrate
Judge Stephen L. Crocker. Counsel for Plaintiff responsible for setting up the call
to chambers at [phone]. (voc) (Entered: 04/01/2011)

04/01/2011

209 Stipulation to Increase the Number of Depositions Plaintiffs May Take Without
Seeking Leave of Court by Defendants A.H.I., Inc., Alliance Holdings, Inc.,
Alliance Holdings, Inc. Employee Stock Ownership Plan, Alpha Investment
Consulting Group, LLC, David B. Fenkell, Pamela Klute, John Michael Maier,
James Mastrangelo, Stephen W. Pagelow, Jeffrey A. Seefeldt, Trachte Building
Systems, Inc. Employee Stock Ownership Plan, Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet. (Barton, Robert)
(Entered: 04/01/2011)

04/01/2011

210 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Barton, Robert) (Entered: 04/01/2011)

04/07/2011

211 Brief in Opposition by Cross Defendant Stephen W. Pagelow, Defendant Stephen
W. Pagelow re: 187 Motion to Certify Class under Rule 23 filed by Nannette
Stoflet, Martin Robbins, Thomas Gieck, Daniel Donkel, Carol Chesemore (Silver,
Alan) (Entered: 04/07/2011)

04/07/2011

212 Declaration of Jonathan P. Norrie filed by Cross Defendant Stephen W. Pagelow,
Defendant Stephen W. Pagelow re: 187 Motion to Certify Class under Rule 23
(Sealed Document) (Attachments:
# 1 Exhibit A - Page 1 of the Master Closing Memorandum for the 2007
Transaction,
# 2 Exhibit B - 2002 Shareholders' Agreement,
# 3 Exhibit C - 2005 Agreement for Early Exercise of Put Option,
# 4 Exhibit D - Pages from March 31, 2010 deposition of Brian Anderson,
# 5 Exhibit E - 2007 Employee Stock Ownership Plan) (Silver, Alan) Modified on
4/8/2011 (jas). Sealed on 4/8/2011 at request of filer (rep). (Entered: 04/07/2011)

04/07/2011

213 Brief in Opposition by Defendants Alpha Investment Consulting Group, LLC, John
Michael Maier in Support of 187 Motion to Certify Class under Rule 23
Defendants' Alpha Investment Consulting Group, LLC and John Michael Maier's
Response to Plaintiffs' Motion for Class Certification (Convery, James) Modified
docket text on 4/11/2011 (voc). (Entered: 04/07/2011)

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04/07/2011

214 Brief in Opposition by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt re: 187 Motion to Certify Class under Rule 23 filed by Nannette Stoflet,
Martin Robbins, Thomas Gieck, Daniel Donkel, Carol Chesemore (Attachments:
# 1 Exhibit 1-Videotape Deposition Excerpts of Brian L. Anderson,
# 2 Exhibit 2-Videotaped Deposition Excerpts of Susane E. Gould,
# 3 Exhibit 3-Videotaped Deposition Excerpts of Rosanne J. Aumiller,
# 4 Exhibit 4- Videotaped Deposition Excerpts of John Michael Maier,
# 5 Exhibit 5-Deposition Excerpts of Scott D. Miller,
# 6 Exhibit 6-Deposition of Nannette Stoflet,
# 7 Exhibit 7-Deposition of Jill McDowell - See also 222 ,
# 8 Exhibit 8-Deposition Excerpts of Carol Chesemore - See also 223 ,
# 9 Exhibit 9-Plaintiffs' Responses and Objections to Defendants Pamela Klute,
James Mastrangelo, and Jeffrey A. Seefeldt's First Set of Requests For Production
of Documents Directed to All Plaintiffs,
# 10 Exhibit 10-Letter to Robert Joseph Barton,
# 11 Exhibit 13-West Law/Case Law) (Spangler, Patrick) Modified on 4/11/2011
(jas). (Entered: 04/07/2011)

04/07/2011

215 Affidavit of Pamela Klute re 187 Motion to Certify Class under Rule 23
(Attachments:
# 1 Exhibit A - Severance Agreement & Release of Claims) (Spangler, Patrick)
Modified on 4/8/2011 (jas). (Entered: 04/07/2011)

04/07/2011

216 Brief in Opposition by Defendant Alliance Holdings, Inc. re: 187 Motion to Certify
Class under Rule 23 filed by Nannette Stoflet, Martin Robbins, Thomas Gieck,
Daniel Donkel, Carol Chesemore (Attachments:
# 1 Stoflet Deposition Excerpts,
# 2 Robbins Deposition Excerpts,
# 3 Gieck Deposition Excerpts,
# 4 Donkle Deposition Excerpts,
# 5 Chesemore Deposition Excerpts,
# 6 Unreported Case # 1: Zapka v. Coca-Cola,
# 7 Unreported Case # 2: Young v. Appalachian Power,
# 8 Unreported Case # 3: Runyon v. National School Studios,
# 9 Certificate of Service) (Sobel, Ryan) (Entered: 04/07/2011)

04/07/2011

217 Affidavit of James Mastrangelo re 187 Motion to Certify Class under Rule 23.
(Sealed Document) (Attachments:
# 1 Exhibit A - Letter To James Mastrangelo,
# 2 Exhibit B - Letter To James Mastrangelo, Jeffery Seefeldt and Pamela Klute,
# 3 Exhibit C- Confidential Management Presentation,
# 4 Exhibit D- Certificate of Chief Financial Officer,
# 5 Exhibit E - Unaudited Financial Statements and Management Reports,
# 6 Exhibit F - Email to Pam Klute) (Spangler, Patrick) Modified on 4/8/2011 (jas).
(Entered: 04/07/2011)

04/07/2011

218 Declaration of Ryan A. Sobel filed by Defendant Alliance Holdings, Inc. re: 187
Motion to Certify Class under Rule 23 (Attachments:
# 1 Certificate of Service) (Sobel, Ryan) (Entered: 04/07/2011)

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04/07/2011

219 Exhibit A - 2008 Combined Financial Report to 218 Declaration filed by Alliance
Holdings, Inc. (Sealed Document) (Sobel, Ryan) Modified on 4/8/2011 (jas).
(Entered: 04/07/2011)

04/07/2011

220 Exhibit B - 2009 Combined Financial Report to 218 Declaration filed by Alliance
Holdings, Inc. (Sealed Document) (Sobel, Ryan) Modified on 4/8/2011 (jas).
(Entered: 04/07/2011)

04/08/2011

221 Motion for Extension of Time until 4/11/11 to Respond to Plaintiffs' Motion for
Discovery [#205] by Defendants Alliance Holdings, Inc., David B. Fenkell.
Motions referred to Magistrate Judge Stephen L. Crocker. Response due 4/15/2011.
(Attachments:
# 1 Certificate of Service) (Sobel, Ryan) (Entered: 04/08/2011)

04/08/2011

222 Deposition of Nannette Stoflet taken on 4/27/2010 (Filed As Exhibit 6 In Support
Of Brief In Opposition To Plaintiff's Motion For Class Certification) (Sealed
Document) (Attachments:
# 1 Exhibit A - Email to mprcam) (Spangler, Patrick) (Entered: 04/08/2011)

04/08/2011

223 Deposition of Jill McDowell taken on 4/28/2010 (Filed As Exhibit 7 In Support Of
Brief In Opposition To Plaintiffs' Motion For Class Certification) (Sealed
Document) (Spangler, Patrick) (Entered: 04/08/2011)

04/11/2011

224 ** TEXT ONLY ORDER **
ORDER granting 221 Motion for Extension of Time by defendant Alliance
Holdings, Inc. Response to plaintiff's motion for discovery due by 4/11/2011.
Signed by Magistrate Judge Stephen L. Crocker on 4/8/2011. (voc) (Entered:
04/11/2011)

04/11/2011

225 Brief in Opposition by Defendants Alliance Holdings, Inc., David B. Fenkell re
205 Motion for Discovery For Leave To Serve Thirteen Interrogatories On The
Alliance Defendants Or Alternatively, Requiring These Defendants To Plead In
Support Of Their Affirmative Defenses (Attachments:
# 1 Certificate of Service) (Sobel, Ryan) Modified on 4/12/2011 (jas). (Entered:
04/11/2011)

04/11/2011

226 Declaration of Ryan A. Sobel filed by Defendants Alliance Holdings, Inc., David
B. Fenkell re 205 Motion for Discovery For Leave To Serve Thirteen
Interrogatories On The Alliance Defendants Or Alternatively, Requiring These
Defendants To Plead In Support Of Their Affirmative Defenses (Attachments:
# 1 Exhibit E-Mail correspondence of 3/30/11,
# 2 Certificate of Service) (Sobel, Ryan) Modified on 4/12/2011 (jas). (Entered:
04/11/2011)

04/13/2011

227 ** TEXT ONLY ORDER **
Plaintiffs' motion for leave to serve 13 extra interrogatories on the Alliance
defendants 205 is GRANTED. As this court's orders in previous complex cases
make pellucid, this court has little patience for a punctilious approach to discovery
in sprawling cases involving millions of dollars. Common sense suggests that
plaintiffs are entitled to declarations from these defendants on the bases for their
recently-stated affirmative defenses without being limited to drawing inferences

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and making deductions from the discovery already provided. Nor were plaintiffs
required to cede their right even to seek leave to pose additional interrogatories
later. By the same token, the Alliance defendants were not required to roll over and
play dead if they had a legitimate beef about the interrogatories, so it was
appropriate for them to object if they deemed it worth the effort 225 . Although this
dispute is properly before the court, in a situation like this, the ruling was virtually
foreordained. This does not mean that these defendants cannot object to any
additional interrogatories plaintiffs might come up with in the future. Each side will
bear its own costs on this motion, and each side will be spared the cost of
participating in an unnecessary telephonic motion hearing this afternoon. Signed by
Magistrate Judge Stephen L. Crocker on 4/13/11. (rep) Modified on 4/27/2011 (llj).
(Entered: 04/13/2011)
04/18/2011

228 Joint Motion to Bifurcate the Case Regarding Issues Concerning Certain Equitable
Relief by Defendants A.H.I., Inc., Alliance Holdings, Inc., Alliance Holdings, Inc.
Employee Stock Ownership Plan, Alpha Investment Consulting Group, LLC,
Employee Stock Ownership Plan, David B. Fenkell, Pamela Klute, Eric M. Lynn,
John Michael Maier, James Mastrangelo, Stephen W. Pagelow, Jeffrey A. Seefeldt,
Trachte Building Systems, Inc. Employee Stock Ownership Plan, Cross
Defendants Alliance Holdings, Inc., Stephen W. Pagelow, Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet,
Cross Claimants Pamela Klute, James Mastrangelo, Jeffrey A. Seefeldt. Response
due 4/25/2011. (Attachments:
# 1 Text of Proposed Order Stipulation and Proposed Order Regarding Bifurcation,
# 2 Certificate of Service) (Barton, Robert) (Entered: 04/18/2011)

04/21/2011

Set Motion Hearing as to 228 Joint Motion to Bifurcate the Case Regarding Issues
Concerning Certain Equitable Relief. Telephone Motion Hearing set for 4/27/2011
at 08:45 AM before Judge William M. Conley. Counsel for Plaintiff responsible for
setting up the call to chambers at [phone]. (voc) (Entered: 04/21/2011)

04/22/2011

229 Unopposed Motion for Extension of Time to File Reply In Support of Motion for
Class Certification by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet. Motions referred to Magistrate Judge Stephen L.
Crocker. Response due 4/29/2011. (Bunch, Monya) (Entered: 04/22/2011)

04/22/2011

230 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Bunch, Monya) (Entered: 04/22/2011)

04/25/2011

231 ** TEXT ONLY ORDER **
ORDER granting 229 Motion for Extension of Time. Brief in Reply due 5/3/2011.
Signed by Magistrate Judge Stephen L. Crocker on 4/22/2011. (voc) (Entered:
04/25/2011)

04/26/2011

232 Motion to Amend 79 Amended Complaint, by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet. Brief in Opposition due
5/3/2011. Brief in Reply due 5/10/2011. (Swanson, Robyn) (Entered: 04/26/2011)

04/26/2011

233 Brief in Support of 232 Motion to Amend Complaint by Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet

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(Swanson, Robyn) (Entered: 04/26/2011)
04/26/2011

234 Declaration of Robyn Swanson filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 232 Motion to
Amend 79 Amended Complaint, (Attachments:
# 1 Proposed Amended Complaint,
# 2 Proposed Amended Complaint with track changes) (Swanson, Robyn)
(Entered: 04/26/2011)

04/26/2011

235 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 04/26/2011)

04/27/2011

Reset Deadlines and Hearings re: 228 Joint Motion to Bifurcate Regarding Issues
Concerning Certain Equitable Relief. Telephone Motion Hearing reset from 8:45
AM to 10:45 AM on 4/27/2011 to accommodate the court's calendar. Counsel for
Plaintiff responsible for setting up the call to chambers at [phone]. (arw)
(Entered: 04/27/2011)

04/29/2011

Reset Hearing re: 228 Joint Motion to Bifurcate Regarding Issues Concerning
Certain Equitable Relief. Telephone Motion Hearing reset from 4/27/2011 to
5/4/2011 at 08:15 AM before Judge William M. Conley. Counsel for Plaintiff
responsible for setting up the call to chambers at [phone]. (voc) (Entered:
04/29/2011)

05/02/2011

NOTICE TO COUNSEL: Motion Hearing regarding 228 Joint Motion to Bifurcate
the Case Regarding Issues Concerning Certain Equitable Relief rescheduled to
5/5/2011 at 8:15 AM. Telephone Motion Hearing set for 5/5/2011 at 08:15 AM
before Judge William M. Conley. Counsel for Plaintiff responsible for setting up
the call to chambers at [phone]. (voc) (Entered: 05/02/2011)

05/02/2011

236 Motion for Extension of Time to File Reply in Support of Motion for Class
Certification by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin
Robbins, Nannette Stoflet. Motions referred to Magistrate Judge Stephen L.
Crocker. Response due 5/9/2011. (Bunch, Monya) (Entered: 05/02/2011)

05/02/2011

237 Declaration of Monya M. Bunch filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 236 Motion for
Extension of Time to File Reply in Support of Motion for Class Certification
(Bunch, Monya) (Entered: 05/02/2011)

05/02/2011

238 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Bunch, Monya) (Entered: 05/02/2011)

05/02/2011

239 ** TEXT ONLY ORDER **
ORDER granting 236 Plaintiffs Motion for Extension of Time re: 187 Motion to
Certify Class under Rule 23. Brief in Reply due 5/5/2011. Signed by Magistrate
Judge Stephen L. Crocker on 5/2/2011. (voc) (Entered: 05/02/2011)

05/03/2011

240 Brief in Opposition by Defendants Alliance Holdings, Inc., Alliance Holdings, Inc.
Employee Stock Ownership Plan, David B. Fenkell re: 232 Motion to Amend 79
Amended Complaint, filed by Nannette Stoflet, Martin Robbins, Thomas Gieck,
Daniel Donkel, Carol Chesemore (Attachments:

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# 1 Unreported Case: Amich v. Sedgwick Claims Mgmt. Servs., Inc.,
# 2 Unreported Case: Anderson v. City of West Bend Police Dep't,
# 3 Unreported Case: Alioto v. Town of Lisbon,
# 4 Unreported Case: B.A. v. Bohlmann,
# 5 Certificate of Service) (Sobel, Ryan) (Entered: 05/03/2011)
05/05/2011

Minute Entry for proceedings held before District Judge William M. Conley:
Telephone Motion Hearing held on 5/5/2011 re 232 Motion to Amend 79 Amended
Complaint, filed by Nannette Stoflet, Martin Robbins, Thomas Gieck, Daniel
Donkel, Carol Chesemore, 228 Joint Motion to Bifurcate the Case Regarding
Issues Concerning Certain Equitable Relief filed by John Michael Maier, Alpha
Investment Consulting Group, LLC, Carol Chesemore, Nannette Stoflet, Thomas
Gieck, Pamela Klute, Employee Stock Ownership Plan, Stephen W. Pagelow,
David B. Fenkell, Martin Robbins, James Mastrangelo, Jeffrey A. Seefeldt, Daniel
Donkel, Eric M. Lynn, A.H.I., Inc., Trachte Building Systems, Inc. Employee
Stock Ownership Plan, Alliance Holdings, Inc., Alliance Holdings, Inc. Employee
Stock Ownership Plan [:30] (Court Reporter LS.) (mfh) (Entered: 05/05/2011)

05/05/2011

241 Disregard. See docket entry 248 . Requested attorney refile with exhibit
descriptions on 5/6/2011 (jas). Modified on 5/9/2011 (jas). (Entered: 05/05/2011)

05/05/2011

242 Disregard. See docket entry 249 . Requested attorney refile with exhibit
descriptions on 5/6/2011 (jas). Modified on 5/9/2011 (jas). (Entered: 05/06/2011)

05/06/2011

243 Declaration of Nannette Stoflet filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet (Filed In Support of D.E.
#241) re: 187 Motion to Certify Class under Rule 23 (Barton, Robert) (Entered:
05/06/2011)

05/06/2011

244 Declaration of R. Joseph Barton filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet (Filed In Support of D.E.
#241) re: 187 Motion to Certify Class under Rule 23 (Attachments:
# 1 Exhibit A - Trustee privilege log,
# 2 Exhibit B - Alliance revised privilege log,
# 3 Exhibit C - Pagelow's privilege log) (Barton, Robert) Modified on 5/6/2011
(jas). (Entered: 05/06/2011)

05/06/2011

245 Declaration of Jason T. Kolcun filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet (Filed in Support of D.E.
#241) re: 187 Motion to Certify Class under Rule 23 (Barton, Robert) (Entered:
05/06/2011)

05/06/2011

246 Disregard. See docket entry 250 . Requested attorney refile with exhibit
descriptions on 5/6/2011 (jas). Modified on 5/9/2011 (jas). (Entered: 05/06/2011)

05/06/2011

247 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Barton, Robert) (Entered: 05/06/2011)

05/06/2011

248 Brief in Reply by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet in Support of 187 Motion to Certify Class under
Rule 23 (Attachments:

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# 1 Exhibit 15 (ESOP Account Values) (to be filed under seal),
# 2 Exhibit 16 (Deposition of Brian Anderson) (to be filed under seal),
# 3 Exhibit 17 (Pt. 1) Transcript of July 13, 2007 Town Hall Meeting,
# 4 Exhibit 17 (Pt. 2) Transcript of July 13, 2007 Town Hall Meeting,
# 5 Exhibit 18 (Deposition of Daniel Donkle) (to be filed under seal),
# 6 Exhibit 19 (Emails from L. Jenkins to J. Mastrangelo) (to be filed under seal),
# 7 Exhibit 20 (Declaration of Thomas Termperley),
# 8 Exhibit 21 (Minutes of Nov. 15, 2007 Trachte Board of Directors Meeting) (to
be filed under seal),
# 9 Exhibit 22 (Deposition of Martin Robbins) (to be filed under seal)) (Barton,
Robert) Modified on 5/9/2011 to seal exhibits (voc). (Entered: 05/06/2011)
05/06/2011

249 Exhibit 23 (Deposition of Thomas Gieck - to be filed under seal) to 248 Brief in
Reply filed by Nannette Stoflet, Martin Robbins, Thomas Gieck, Daniel Donkel,
Carol Chesemore (Attachments:
# 1 Exhibit 24 (Deposition of Carol Chesemore) (to be filed under seal),
# 2 Exhibit 25 (Memo from RSM McGladrey to J. Mastrangelo; January 15, 2007)
(to be filed under seal),
# 3 Exhibit 26 (Defendant Seefeldt's Answers and Objections to Plaintiffs' First Set
of Interrogatories to Seefeldt),
# 4 Exhibit 27 (Deposition of James Mastrangelo) (to be filed under seal),
# 5 Exhibit 28 (Email from Bill Byrd to Trachte Employees) (to be filed under
seal),
# 6 Exhibit 29 (Declaration of David Goodspeed),
# 7 Exhibit 30 (Trustee Defendants' Objections and Answers to Plaintiffs' First Set
of Interrogatores to Trustee Defendants),
# 8 Exhibit 31 (Press Release Regarding 2007 Transaction) (to be filed under seal),
# 9 Exhibit 32 (Presentation of July 13, 2007 Trachte Town Hall Meeting) (to be
filed under seal),
# 10 Exhibit 33 (Deposition of Pamela Klute) (to be filed under seal),
# 11 Exhibit 34 (Pt. 1) Trachte Employee Handbook 2005,
# 12 Exhibit 34 (Pt. 2) Trachte Employee Handbook 2005,
# 13 Exhibit 35 (Deposition of Walter Smith) (to be filed under seal),
# 14 Exhibit 36 (Excerpts from Production of Walter Smith),
# 15 Exhibit 37 (Email from J. Mastrangelo to J. Seefeldt and Walter Smith) (to be
filed under seal),
# 16 Exhibit 38 (Deposition of Thomas Klingele) (to be filed under seal),
# 17 Exhibit 39 (Draft of Barnes Wendling Fairness Opinion),
# 18 Exhibit 40 (Email from Brian Anderson to Pam Klute copying J. Mastrangelo
and J. Seefeldt),
# 19 Exhibit 41 (ESOP Loan and Pledge Agreement) (to be filed under seal))
(Barton, Robert) Modified on 5/9/2011 (jas). Modified on 5/9/2011 to seal
deposition and exhibits (voc). (Entered: 05/06/2011)

05/06/2011

250 Exhibit 15 - (ESOP Account Valuesto 248 Brief in Reply filed by Nannette Stoflet,
Martin Robbins, Thomas Gieck, Daniel Donkel, Carol Chesemore (Sealed
Document) (Attachments:
# 1 Exhibit 16 (Deposition of Brian Anderson),

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# 2 Exhibit 18 (Deposition of Daniel Donkle),
# 3 Exhibit 19 (Emails from L. Jenkins to J. Mastrangelo),
# 4 Exhibit 21 (Minutes of Nov. 15, 2007 Trachte Board of Directors Meeting),
# 5 Exhibit 22 (Deposition of Martin Robbins),
# 6 Exhibit 23 (Deposition of Thomas Gieck),
# 7 Exhibit 24 (Deposition of Carol Chesemore),
# 8 Exhibit 25 (Memo from RSM McGladrey to J. Mastrangelo, Jan. 15, 2007),
# 9 Exhibit 27 (Deposition of J. Mastrangelo),
# 10 Exhibit 28 (Email from Bill Byrd to Trachte employees),
# 11 Exhibit 31 (Press Release Regarding 2007 Transaction),
# 12 Exhibit 32 (Pressentation of July 13, 2007 Trachte Town Hall Meeting),
# 13 Exhibit 33 (Deposition of Pamela Klute),
# 14 Exhibit 35 (Deposition of Walter Smith),
# 15 Exhibit 37 (Pt. 1) Email from J. Mastrangelo to J. Seefeldt and W. Smith),
# 16 Exhibit 37 (Pt. 2) Email from J. Mastrangelo to J. Seefeldt and W. Smith,
# 17 Exhibit 37 (Pt. 3) Email from J. Mastrangelo to J. Seefeldt and W. Smith,
# 18 Exhibit 38 (Deposition of Thomas Klingele),
# 19 Exhibit 41 (ESOP Loan and Pledge Agreement)) (Barton, Robert) (Additional
attachment(s) added on 5/9/2011:
# 20 Exhibit 24 (Deposition of Carol Chesemore)) (jas). Modified on 5/9/2011
(jas). (Entered: 05/06/2011)
05/16/2011

251 Stipulation for Waiver of Service of the Second Amended Complaint by Plaintiffs
Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette
Stoflet. (Swanson, Robyn) (Entered: 05/16/2011)

05/16/2011

252 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 05/16/2011)

05/23/2011

253 ** TEXT ONLY ORDER **
ORDER approving 251 Stipulation for Waiver of Service of the Second Amended
Complaint. Signed by District Judge William M. Conley on 5/23/2011. (voc)
(Entered: 05/23/2011)

05/27/2011

254 AMENDED COMPLAINT Second Amended Class Action Complaint against
A.H.I., Inc., Alliance Holdings, Inc., Alliance Holdings, Inc. Employee Stock
Ownership Plan, Alpha Investment Consulting Group, LLC, Employee Stock
Ownership Plan, David B. Fenkell, Pamela Klute, Eric M. Lynn, John Michael
Maier, James Mastrangelo, Stephen W. Pagelow, Jeffrey A. Seefeldt, Trachte
Building Systems, Inc. Employee Stock Ownership Plan, filed by Martin Robbins,
Carol Chesemore, Daniel Donkel, Nannette Stoflet, Thomas Gieck. (Swanson,
Robyn) (Entered: 05/27/2011)

05/27/2011

255 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 05/27/2011)

05/27/2011

256 ORDER granting in part and denying in part 228 Motion to Bifurcate; granting 232
Motion to Amend Complaint. A separate trial on equitable relief will be held on
1/3/12. Responses to the second amended complaint are due 5/31/11. Signed by
District Judge William M. Conley on 5/27/11. (rep) (Entered: 05/27/2011)

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05/27/2011

257 Disregard; duplicate of 256 . (krj) (Entered: 05/27/2011)

05/27/2011

258 ANSWER to Amended Complaint (Second) and Affirmative Defenses,
CROSSCLAIM against Alliance Holdings, Inc., Stephen W. Pagelow by
Defendants Alliance Holdings, Inc., Stephen W. Pagelow. (Wolf, Charles)
(Entered: 05/27/2011)

05/27/2011

259 Certificate of Service by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt (Wolf, Charles) (Entered: 05/27/2011)

05/27/2011

260 ANSWER to Amended Complaint Answer to Second Amended Class Action
Complaint by Defendants Alpha Investment Consulting Group, LLC, John Michael
Maier. (Convery, James) (Entered: 05/27/2011)

05/27/2011

261 ANSWER to Amended Complaint by Defendants A.H.I., Inc., Alliance Holdings,
Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan, David B. Fenkell.
(Attachments:
# 1 Certificate of Service) (Sobel, Ryan) (Entered: 05/27/2011)

05/31/2011

262 ANSWER to Amended Complaint by Defendant Stephen W. Pagelow. (Norrie,
Jonathan) (Entered: 05/31/2011)

06/08/2011

263 Supplement to 187 Motion to Certify Class under Rule 23 filed by Nannette
Stoflet, Martin Robbins, Thomas Gieck, Daniel Donkel, Carol Chesemore
(Attachments:
# 1 Declaration of Nannette Stoflet - See docket entry 265 .) (Barton, Robert)
Requested attorney refile declaration as separate docket entry on 6/9/2011 (jas).
Modified on 6/10/2011 (jas). (Entered: 06/08/2011)

06/08/2011

264 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Barton, Robert) (Entered: 06/08/2011)

06/09/2011

265 Declaration of Nannette Stoflet re 263 Supplement, (Submission of Supplemental
Declaration Related to Class Certification) (Barton, Robert) (Entered: 06/09/2011)

06/10/2011

266 ANSWER to Crossclaim by Defendant Stephen W. Pagelow. (Norrie, Jonathan)
(Entered: 06/10/2011)

06/13/2011

267 ANSWER to Crossclaim by Cross Defendant Alliance Holdings, Inc..
(Attachments:
# 1 Certificate of Service) (Sobel, Ryan) (Entered: 06/13/2011)

06/22/2011

268 Notice by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin
Robbins, Nannette Stoflet (Notice of Typographical Error In Plaintiffs' Second
Amended Complaint). (Swanson, Robyn) (Entered: 06/22/2011)

06/22/2011

269 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 06/22/2011)

06/24/2011

270 Deposition of Stephen W. Pagelow taken on 05/12/2011 (Norrie, Jonathan)
(Entered: 06/24/2011)

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06/24/2011

271 Deposition of Stephen W. Pagelow taken on 05/13/2011 (Norrie, Jonathan)
(Entered: 06/24/2011)

06/24/2011

272 Deposition of Stephen W. Pagelow taken on 05/13/2011 (Sealed Document)
(Norrie, Jonathan) (Entered: 06/24/2011)

06/24/2011

273 Deposition of David Brian Fenkell taken on 04/07/2011 (Norrie, Jonathan)
(Entered: 06/24/2011)

06/24/2011

274 Deposition of Kenneth J. Wanko taken on 05/24/2011 (Norrie, Jonathan) (Entered:
06/24/2011)

06/24/2011

275 Deposition of Eric M. Lynn taken on 05/25/2011 (Norrie, Jonathan) (Entered:
06/24/2011)

06/24/2011

276 Deposition of Susan E. Gould taken on 10/22/2010 (Norrie, Jonathan) (Entered:
06/24/2011)

06/24/2011

277 Deposition of Charles Hanneman taken on 04/21/2011 (Sealed Document) (Norrie,
Jonathan) (Entered: 06/24/2011)

06/24/2011

278 Deposition of John Michael Maier taken on 07/09/2010 (Norrie, Jonathan)
(Entered: 06/24/2011)

06/24/2011

279 Disregard-wrong document filed; Modified on 6/27/2011; filer contacted court and
will refile correct document. (mmo). (Entered: 06/24/2011)

06/24/2011

280 Deposition of Brian L. Anderson taken on 03/22/2011 (Norrie, Jonathan) (Entered:
06/24/2011)

06/24/2011

281 Deposition of Cecilia A. Loftus taken on September 13, 2010 (Spangler, Patrick)
(Entered: 06/24/2011)

06/24/2011

282 Deposition of James N. Mastrangelo taken on May 10, 2011 (Spangler, Patrick)
(Entered: 06/24/2011)

06/24/2011

283 Deposition of Jeffrey A. Seefeldt taken on May 17, 2011 (Spangler, Patrick)
(Entered: 06/24/2011)

06/24/2011

284 Deposition of Rosanne J. Aumiller taken on November 10, 2010 (Spangler,
Patrick) (Entered: 06/24/2011)

06/24/2011

285 Deposition of William R. Peck taken on March 21, 2011 (Spangler, Patrick)
(Entered: 06/24/2011)

06/27/2011

286 Deposition of James J. Lindau taken on 05/12/2011 (Norrie, Jonathan) (Entered:
06/27/2011)

06/27/2011

287 Affidavit of Patrick W. Spangler. (Spangler, Patrick) (Entered: 06/27/2011)

06/27/2011

288 MOTION FOR SUMMARY JUDGMENT by Defendants Alpha Investment
Consulting Group, LLC, John Michael Maier. Brief in Opposition due 7/18/2011.
Brief in Reply due 7/28/2011. (Convery, James) (Entered: 06/27/2011)

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06/27/2011

289 Brief in Support of 288 Motion for Summary Judgment by Defendants Alpha
Investment Consulting Group, LLC, John Michael Maier (Convery, James)
(Entered: 06/27/2011)

06/27/2011

290 Exhibit to 287 Affidavit (Sealed Document) (Attachments:
# 1 Exhibit 2 - Deposition Exhibit No. 10 from the November 10, 2010 deposition
of Roseanne Aumiller 284 ,
# 2 Exhibit 3 - Deposition Exhibit No. 4 from the October 22, 2010 deposition of
Susan Gould 276 ,
# 3 Exhibit 4 - Deposition of Exhbit No. 5 from the October 22, 2010 deposition of
Susan Gould 276 ,
# 4 Exhibit 5 - Deposition Exhibit No. 6 from the October 22, 2010 deposition of
Susan Gould 276 ,
# 5 Exhibit 6 - Deposition Exhibit No. 16 from the October 22, 2010 deposition of
Susan Gould 276 ,
# 6 Exhibit 7 - Deposition Exhibit No. 17 from the October 22, 2010 deposition of
Susan Gould 276 ,
# 7 Exhibit 8 - Deposition Exhibit No. 20 from the October 22, 2010 deposition of
Susan Gould 276 ,
# 8 Exhibit 9 - Deposition Exhibit No. 6 from the April 21, 2011 deposition of
Charles Hanemann 277 ,
# 9 Exhibit 10 - Deposition Exhibit No. 8 from the November 1, 2010 deposition
of Thomas Klingele 250 , Ex. 38),
# 10 Exhibit 11 - Deposition Exhibit No. 1 from the July 9, 2010 deposition of
John Michael Maier 278 ,
# 11 Exhibit 12 - Deposition Exhibit No. 4 from the July 9, 2010 deposition of
John Michael Maier 278 ,
# 12 Exhibit 13 - Deposition Exhibit No. 6 from the July 9, 2010 deposition of
John Michael Maier 278 ,
# 13 Exhibit 14 - Deposition Exhibit 2 from the May 10, 2011 deposition of James
Mastrangelo 282 ,
# 14 Exhibit 15 - Deposition Exhibit No. 7 from the May 10, 2011 deposition of
James Mastrangelo 282 ,
# 15 Exhibit 16 - Deposition Exhibit No. 14 from the May 10, 2011 deposition of
James Mastrangelo 282 ,
# 16 Exhibit 17 - Deposition Exhibit No. 16 from the May 10, 2011 deposition of
James Mastrangelo 282 ,
# 17 Exhibit 18 - Deposition Exhibit No. 21 from the May 10, 2011 deposition of
James Mastrangelo 282 ) (Spangler, Patrick) Modified on 6/28/2011 (voc).
(Entered: 06/27/2011)

06/27/2011

291 Proposed Findings of Fact filed by Defendants Alpha Investment Consulting
Group, LLC, John Michael Maier re: 288 Motion for Summary Judgment filed by
John Michael Maier, Alpha Investment Consulting Group, LLC (Sealed
Document) (Attachments:
# 1 Exhibit 1- Second Amended Complaint (Docket # 254),
# 2 Exhibit 2- Deposition Transcript of John Michael Maier,
# 3 Exhibit 3- Deposition Exhibits of John Michael Maier (non-restricted),

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# 4 Exhibit 4- Deposition Exhibits of John Michael Maier,
# 5 Exhibit 5- Deposition Transcript of Charles Hanemann,
# 6 Exhibit 6- Deposition Exhibits of Charles Hanemann,
# 7 Exhibit 7- Deposition Transcript of James Mastrangelo, May 10, 2011,
# 8 Exhibit 8- Deposition Exhibits of James Mastrangelo, May 10, 2011,
# 9 Exhibit 9- Deposition Transcript of Jamie Lindau, October 7, 2010,
# 10 Exhibit 10- Deposition Transcript of Brian Anderson, March 22, 2011,
# 11 Exhibit 11- Deposition Exhibits of Brian Anderson, March 22, 2011,
# 12 Exhibit 12- Deposition Transcript of Thomas Klingele,
# 13 Exhibit 13- Deposition Exhibits of Thomas Klingele,
# 14 Exhibit 14- Deposition Transcript of James Mastrangelo, April 1, 2010,
# 15 Exhibit 15- Deposition Exhibits of James Mastrangelo, April 1, 2010
(non-restricted),
# 16 Exhibit 16- Deposition Exhibits of James Mastrangelo, April 1, 2010,
# 17 Exhibit 17- Deposition Transcript of Walter Smith,
# 18 Exhibit 18- Deposition Exhibits of Walter Smith,
# 19 Exhibit 19- Deposition Transcript of Jeff Seefeldt,
# 20 Exhibit 20- Deposition Transcript of Brian Anderson, March 31, 2010,
# 21 Exhibit 21- Deposition Exhibits of Brian Anderson, March 31, 2010)
(Convery, James) (Entered: 06/27/2011)
06/27/2011

292 MOTION FOR SUMMARY JUDGMENT on Counts V, VI and XII by
Defendants Pamela Klute, James Mastrangelo, Jeffrey A. Seefeldt. Brief in
Opposition due 7/18/2011. Brief in Reply due 7/28/2011. (Wolf, Charles) (Entered:
06/27/2011)

06/27/2011

293 Brief in Support of 292 Motion for Summary Judgment by Defendants Pamela
Klute, James Mastrangelo, Jeffrey A. Seefeldt (Wolf, Charles) (Entered:
06/27/2011)

06/27/2011

294 Proposed Findings of Fact filed by Defendants Pamela Klute, James Mastrangelo,
Jeffrey A. Seefeldt re: 292 Motion for Summary Judgment filed by Pamela Klute,
Jeffrey A. Seefeldt, James Mastrangelo (Wolf, Charles) (Entered: 06/27/2011)

06/27/2011

295 Declaration of John Michael Maier filed by Defendants Alpha Investment
Consulting Group, LLC, John Michael Maier re: 288 Motion for Summary
Judgment (Sealed Document) (Attachments:
# 1 Exhibit 1- Trachete 401(k) and ESOP Form 5500 Reports,
# 2 Exhibit 2- Aug. 6, 2007 Email re: Engagement Letter,
# 3 Exhibit 3- Aug. 6, 2001 Email to Mastrangelo with attachment,
# 4 Exhibit 4- Alliance Holdings, Inc. ESOP Form 5500,
# 5 Exhibit 5- Aug. 9, 2007 Emails from Mastrangelo,
# 6 Exhibit 6- Aug. 13, 2007 Email with signed engag. letter from Mastrangelo
with attachments,
# 7 Exhibit 7- Aug. 13, 2007 Email with signed engag. letter from Maier,
# 8 Exhibit 8- Board Resolution for Alpha engagement,
# 9 Exhibit 9- Aug. 21, 2007 Email with amended engag. letter,
# 10 Exhibit 10- Part 1- Docs. received from Mastrangelo on Aug. 14, 2007,
# 11 Exhibit 10- Part 2,

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# 12 Exhibit 11- Aug. 15, 2007 Email between Wanko, Seefeldt and Mastrangelo,
# 13 Exhibit 12- Aug. 14, 2007 Up-dated request for documents,
# 14 Exhibit 13- Aug. 14, 2007 Maier notes,
# 15 Exhibit 14- Aug. 15, 2007 Flow charts/ notes,
# 16 Exhibit 15- Aug. 16, 2007 Maier notes,
# 17 Exhibit 16- Aug. 17, 2007 Maier notes from phone interview with Seefeldt,
# 18 Exhibit 17- Aug. 16, 2007 Email and working draft direction letter,
# 19 Exhibit 18- Working draft notes,
# 20 Exhibit 19- Aug. 16, 2007 Email from Mastrangelo,
# 21 Exhibit 20- Aug. 16, 2007 Emails between Maier, Mastrangelo and Wanko,
# 22 Exhibit 21- Part 1- Aug. 20, 2007 Email from Wanko with SRR presentation,
# 23 Exhibit 21- Part 2,
# 24 Exhibit 22- Aug. 20, 2007 Email from Spears,
# 25 Exhibit 23- Aug. 20, 2007 Attachments from Spears,
# 26 Exhibit 24- Aug. 20, 2007 Email to Anderson and Aumiller,
# 27 Exhibit 25- Aug. 20, 2007 Maier notes on SRR valuation,
# 28 Exhibit 26- Aug. 24, 2007 Maier notes from discussion with Kindstrom,
# 29 Exhibit 27- Aug. 27, 2007 Letter of direction,
# 30 Exhibit 28- Aug. 27, 2007 Flow charts,
# 31 Exhibit 29- Aug. 29, 2007 Take down letter) (Convery, James) (Entered:
06/27/2011)
06/27/2011

296 Affidavit of James N. Mastrangelo. (Wolf, Charles) (Entered: 06/27/2011)

06/27/2011

297 Exhibit to 296 Affidavit of James N. Mastrangelo (Sealed Document)
(Attachments:
# 1 Exhibit 1 Part 2, Closing Binder,
# 2 Exhibit 1 Part 3, Closing Binder,
# 3 Exhibit 1 Part 4, Closing Binder,
# 4 Exhibit 1 Part 5, Closing Binder,
# 5 Exhibit 1 Part 6, Closing Binder,
# 6 Exhibit 1 Part 7, Closing Binder,
# 7 Exhibit 1 Part 8, Closing Binder,
# 8 Exhibit 1 Part 9, Closing Binder,
# 9 Exhibit 1 Part 10, Closing Binder,
# 10 Exhibit 1 Part 11, Closing Binder,
# 11 Exhibit 1 Part 12, Closing Binder,
# 12 Exhibit 1 Part 13, Closing Binder,
# 13 Exhibit 1 Part 14, Closing Binder,
# 14 Exhibit 1 Part 15, Closing Binder,
# 15 Exhibit 1 Part 16, Closing Binder,
# 16 Exhibit 1 Part 17, Closing Binder,
# 17 Exhibit 1 Part 18, Closing Binder,
# 18 Exhibit 1 Part 19, Closing Binder,
# 19 Exhibit 1 Part 20, Closing Binder,
# 20 Exhibit 2, Trachte's Audited Financial Statements for the fiscal year ending
December 31, 2003,
# 21 Exhibit 3, Trachte's Audited Financial Statements for the fiscal year ending

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December 31, 2004,
# 22 Exhibit 4, Trachte's Audited Financial Statements for the fiscal year ending
December 31, 2005,
# 23 Exhibit 5, Trachte's Audited Financial Statements for the fiscal year ending
December 31, 2006,
# 24 Exhibit 6, Trachte's Audited Financial Statements for the fiscal year ending
December 31, 2007,
# 25 Exhibit 7, 1st Lien Covenants Sch 1 and 2nd Lien Covenants Sch 2) (Wolf,
Charles) Modified on 6/28/2011 (voc). (Entered: 06/27/2011)
06/27/2011

298 Certificate of Service by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt (Spangler, Patrick) (Entered: 06/27/2011)

06/27/2011

299 MOTION FOR SUMMARY JUDGMENT by Defendants A.H.I., Inc., Alliance
Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan, David B.
Fenkell. Brief in Opposition due 7/18/2011. Brief in Reply due 7/28/2011.
(Attachments:
# 1 Certificate of Service) (Sobel, Ryan) (Entered: 06/27/2011)

06/27/2011

300 Declaration of David B. Fenkell filed by Defendants A.H.I., Inc., Alliance
Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan, David B.
Fenkell re: 299 Motion for Summary Judgment, (Sealed Document) (Attachments:
# 1 Exhibit 2003 Alliance ESOP Annual Valuation,
# 2 Exhibit 2004 Alliance ESOP Annual Valuation,
# 3 Exhibit 2005 Alliance ESOP Annual Valuation,
# 4 Exhibit 2007 Master Closing Memorandum for Sale of Trachte,
# 5 Exhibit 2002 Master Agreement for Acquisition of Trachte,
# 6 Exhibit Trachte Phantom Stock Plan for Alliance Employees,
# 7 Exhibit Trachte Phantom Stock Plan for Trachte Employees,
# 8 Exhibit Instrument of Merger and Amendment of Alliance ESOP and Trachte
ESOP,
# 9 Certificate of Service) (Sobel, Ryan) (Entered: 06/27/2011)

06/27/2011

301 Declaration of Ryan A. Sobel filed by Defendants A.H.I., Inc., Alliance Holdings,
Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan, David B. Fenkell
re: 299 Motion for Summary Judgment, (Sealed Document) (Attachments:
# 1 Exhibit Alliance Companies Organizational Chart,
# 2 Exhibit Closing Transcript of August 29, 2007,
# 3 Exhibit May 17, 2006 Trachte Board Meeting Minutes,
# 4 Exhibit William & Blair Engagement Agreement,
# 5 Exhibit Aug. 4, 2006 Shareholder Direction Letter,
# 6 Exhibit Confidentiality Agreement,
# 7 Exhibit Confidential Descriptive Memorandum,
# 8 Exhibit Summary of Initial Indications of Interest,
# 9 Exhibit Feb. 6, 2007 Letter of Intent from Trachte Mgmt.,
# 10 Exhibit Feb. 2, 2007 Letter of Intent from HIG,
# 11 Exhibit Feb. 14, 2007 Revised Letter of Intent from HIG,
# 12 Exhibit Apr. 5, 2007 Revised Letter of Intent from HIG,
# 13 Exhibit Apr. 12, 2007 Draft Letter of Intent from Trachte Mgmt.,

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# 14 Exhibit Apr. 12, 2007 Marked-Up Letter of Intent from Trachte Mgmt.,
# 15 Exhibit April 17, 2007 Marked-Up Letter of Intent from Trachte Mgmt.,
# 16 Exhibit Apr. 18, 2007 Marked-Up Letter of Intent from Trachte Mgmt.,
# 17 Exhibit Aug. 29, 2007 Valuation Analysis of AH Transition,
# 18 Exhibit Aug. 29, 2007 Valuation Analysis of Trachte,
# 19 Exhibit Aug. 29, 2007 Valuation Analysis of Alliance,
# 20 Exhibit Alliance ESOP Valuation as of Dec. 31, 2006,
# 21 Exhibit July 6, 2007 RSM McGladrey Letter,
# 22 Exhibit Aug. 15, 2007 Summary of Transaction Price Adjustments,
# 23 Exhibit Alpha Engagement Letter,
# 24 Exhibit Draft Letter of Direction of Alpha,
# 25 Certificate of Service) (Sobel, Ryan) (Entered: 06/27/2011)
06/27/2011

302 Answer to Interrogatories from Alliance Holdings, Inc., AHI, Inc., AH Transition
Corp., David Fenkell, Alliance ESOP by Defendants A.H.I., Inc., Alliance
Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan, David B.
Fenkell. (Attachments:
# 1 Certificate of Service) (Sobel, Ryan) (Entered: 06/27/2011)

06/27/2011

303 MOTION FOR SUMMARY JUDGMENT by Defendant Stephen W. Pagelow.
Brief in Opposition due 7/18/2011. Brief in Reply due 7/28/2011. (Norrie,
Jonathan) (Entered: 06/27/2011)

06/27/2011

304 Brief in Support of 303 Motion for Summary Judgment by Defendant Stephen W.
Pagelow (Norrie, Jonathan) (Entered: 06/27/2011)

06/27/2011

305 Declaration of Stephen Pagelow filed by Defendant Stephen W. Pagelow re: 303
Motion for Summary Judgment (Sealed Document) (Attachments:
# 1 Exhibit Exhibit A 2002 Shareholders Agreement,
# 2 Exhibit Exhibit B 2005 Early Exercise Agreement,
# 3 Exhibit Exhibit C August 22, 2007 Written Action,
# 4 Exhibit Exhibit D August 24, 2007 Written Consent) (Norrie, Jonathan)
(Entered: 06/27/2011)

06/27/2011

306 Proposed Findings of Fact filed by Defendant Stephen W. Pagelow re: 303 Motion
for Summary Judgment filed by Stephen W. Pagelow (Norrie, Jonathan) (Entered:
06/27/2011)

06/27/2011

307 MOTION FOR PARTIAL SUMMARY JUDGMENT by Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet.
Brief in Opposition due 7/18/2011. Brief in Reply due 8/1/2011. (Swanson, Robyn)
Modified briefing schedule per order 256 on 7/1/2011 (krj). (Entered: 06/27/2011)

06/27/2011

308 Proposed Findings of Fact filed by Defendants A.H.I., Inc., Alliance Holdings,
Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan, David B. Fenkell
re: 299 Motion for Summary Judgment, filed by A.H.I., Inc., David B. Fenkell,
Alliance Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan
(Attachments:
# 1 Certificate of Service) (Sobel, Ryan) (Entered: 06/27/2011)

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06/27/2011

309 Brief in Support of 299 Motion for Summary Judgment, by Defendants A.H.I.,
Inc., Alliance Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership
Plan, David B. Fenkell (Attachments:
# 1 Unreported Case: Gillis v. SPX Corp.,
# 2 Unreported Case: In re AOL Time Warner,
# 3 Unreported Case: Neil v. Zell,
# 4 Unreported Case: Peck v. Chopp,
# 5 Certificate of Service) (Sobel, Ryan) (Entered: 06/27/2011)

06/27/2011

310 Declaration of Jonathan P. Norrie filed by Defendant Stephen W. Pagelow re: 303
Motion for Summary Judgment (Sealed Document) (Attachments:
# 1 Exhibit strategic alternatives,
# 2 Exhibit IOI summary,
# 3 Exhibit August 15 email,
# 4 Exhibit disbursement of proceeds,
# 5 Exhibit HIG 2006,
# 6 Exhibit Feb 2007 HIG,
# 7 Exhibit Feb 14 2007 HIG,
# 8 Exhibit HIG internal review,
# 9 Exhibit April 2, 2007 HIG email,
# 10 Exhibit RSM letter,
# 11 Exhibit William Blair letter,
# 12 Exhibit sources and uses,
# 13 Exhibit alpha engagement,
# 14 Exhibit BWVS letter,
# 15 Exhibit Feb 2007 offer,
# 16 Exhibit proceeds comparison,
# 17 Exhibit march 27 email,
# 18 Exhibit april 3, 2007 email,
# 19 Exhibit april 5, 2007 email,
# 20 Exhibit april 19, 2007 letter of intent,
# 21 Exhibit alpha engagement letter) (Norrie, Jonathan) (Entered: 06/27/2011)

06/28/2011

311 Declaration of Robyn M. Swanson filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 307 Motion for
Partial Summary Judgment (Sealed Document) (Attachments:
# 1 Exhibit A - November 13, 2007 Compensation Committee Meeting Minutes,
# 2 Exhibit B - May 17, 2006 Trachte Board of Directors Meeting Minutes,
# 3 Exhibit C - August 2, 2006 Email from Wanko to Seefeldt,
# 4 Exhibit D - July 31, 2006 Wm. Blair Engagement Letter,
# 5 Exhibit E - Marketing Process Summary,
# 6 Exhibit F - Executive Summary) (Swanson, Robyn) (Entered: 06/28/2011)

06/28/2011

312 Exhibit to 311 Declaration of Robyn M. Swanson, filed by Nannette Stoflet, Martin
Robbins, Thomas Gieck, Daniel Donkel, Carol Chesemore (Exhibit G, Pt. 1.,
Confidential Descriptive Memorandum) (Sealed Document) (Attachments:
# 1 Exhibit G (Pt 2) Confidential Descriptive Memorandum,
# 2 Exhibit G (Pt 3) Confidential Descriptive Memorandum,

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# 3 Exhibit H - November 15, 2006 Trachte Board of Directors Meeting Minutes,
# 4 Exhibit I - November 29, 2006 HIG Letter of Interest,
# 5 Exhibit J - November 17, 2006 Tricor Letter of Interest,
# 6 Exhibit K - Summary of Initial Indications,
# 7 Exhibit L - Exhibit 2-A to Deposition of James Lindau,
# 8 Exhibit M - Management Presentation Schedule,
# 9 Exhibit N - February 2, 2007 HIG Letter of Intent) (Swanson, Robyn) Modified
on 6/28/2011 (voc). (Entered: 06/28/2011)
06/28/2011

313 Exhibit to 311 Declaration of Robyn M. Swanson , filed by Nannette Stoflet,
Martin Robbins, Thomas Gieck, Daniel Donkel, Carol Chesemore (Exhibit O Summary of Revised Offers) (Sealed Document) (Attachments:
# 1 Exhibit P - Management Offer,
# 2 Exhibit Q - Proceeds Comparison,
# 3 Exhibit R - HIG Letter of Intent,
# 4 Exhibit S - March 27, 2007 Email from Ken Wanko,
# 5 Exhibit T - Letter from Trachte Management to HIG,
# 6 Exhibit U - April 2, 2007 Email from Wanko to Fenkell,
# 7 Exhibit V - April 3, 2007 Email from Shay Brockemond to Wanko,
# 8 Exhibit W - April 5, 2007 Email from Samuel Tinaglia) (Swanson, Robyn)
Modified on 6/28/2011 (voc). (Entered: 06/28/2011)

06/28/2011

314 Exhibit to 311 Declaration Robyn M. Swanson, filed by Nannette Stoflet, Martin
Robbins, Thomas Gieck, Daniel Donkel, Carol Chesemore (Exhibit X - April 4,
2007 Email Attaching Proceeds Comparison Chart) (Sealed Document)
(Attachments:
# 1 Exhibit Y - April 12, 2007 Draft Letter of Intent,
# 2 Exhibit Z - Final Letter of Intent,
# 3 Exhibit AA - April 19, 2007 Email from Brian Anderson,
# 4 Exhibit BB - June 15, 2007 Email from Brian Anderson,
# 5 Exhibit CC - August 26, 2007 email from Donald Hughes,
# 6 Exhibit DD - July 6, 2007 Letter from RSM McGladrey,
# 7 Exhibit Alpha Engagement Letter,
# 8 Exhibit August 13, 2007 Email from Maier to Mastrangelo) (Swanson, Robyn)
Modified on 6/28/2011 (voc). (Entered: 06/28/2011)

06/28/2011

315 Exhibit to 311 Declaration Robyn M. Swanson, filed by Nannette Stoflet, Martin
Robbins, Thomas Gieck, Daniel Donkel, Carol Chesemore (Exhibit GG - August
15, 2007 (email from Kenneth Wanko)) (Sealed Document) (Attachments:
# 1 Exhibit HH - Alpha Draft Opinion Letter,
# 2 Exhibit II - Final Alpha Letter,
# 3 Exhibit JJ - Trachte ESOP Plan Document,
# 4 Exhibit KK - Master Closing Memorandum,
# 5 Exhibit LL - Barnes Wendling Fairness Opinion,
# 6 Exhibit MM (Pt 1) Alliance ESOP Plan Document,
# 7 Exhibit MM (Pt. 2) Alliance ESOP Plan Document,
# 8 Exhibit MM (Pt. 3) Alliance ESOP Plan Document) (Swanson, Robyn)
Modified on 6/28/2011 (voc). (Entered: 06/28/2011)

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06/28/2011

316 Exhibit to 311 Declaration Robyn M. Swanson, filed by Nannette Stoflet, Martin
Robbins, Thomas Gieck, Daniel Donkel, Carol Chesemore (NN Pt. 1 - 2006
Alliance Valuation) (Sealed Document) (Attachments:
# 1 Exhibit NN Pt. 2 - 2006 Alliance Valuation,
# 2 Exhibit OO Pt. 1 - 2007 Trachte Valuation,
# 3 Exhibit OO Pt. 2 - 2007 Trachte Valuation,
# 4 Exhibit PP - May 20, 2008 Trachte Board of Directors Meeting Minutes,
# 5 Exhibit QQ Pt. 1 - 2008 Trachte Valuation,
# 6 Exhibit QQ Pt. 2 - 2008 Trachte Valuation) (Swanson, Robyn) Modified on
6/28/2011 (voc). (Entered: 06/28/2011)

06/28/2011

317 Brief in Support of 307 Motion for Partial Summary Judgment by Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet
(Swanson, Robyn) (Entered: 06/28/2011)

06/28/2011

318 Proposed Findings of Fact filed by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins, Nannette Stoflet re: 307 Motion for Partial
Summary Judgment filed by Nannette Stoflet, Martin Robbins, Thomas Gieck,
Daniel Donkel, Carol Chesemore (Swanson, Robyn) (Entered: 06/28/2011)

06/28/2011

319 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 06/28/2011)

06/28/2011

320 Motion to Admit Benjamin A. Hartsock Pro Hac Vice by Defendants Pamela
Klute, James Mastrangelo, Jeffrey A. Seefeldt. Motions referred to Magistrate
Judge Stephen L. Crocker. (Stathas, Lynn) (Entered: 06/28/2011)

06/28/2011

321 Motion to Admit Bruce F. Rinaldi Pro Hac Vice by Plaintiffs Carol Chesemore,
Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet. Motions referred
to Magistrate Judge Stephen L. Crocker. (Handorf, Karen) (Entered: 06/28/2011)

06/28/2011

322 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Handorf, Karen) (Entered: 06/28/2011)

06/28/2011

323 Motion to Strike Partially The Expert Report And Bar The Testimony of Steven R.
Fischer by Defendants Pamela Klute, James Mastrangelo, Jeffrey A. Seefeldt.
Response due 7/5/2011. (Spangler, Patrick) (Entered: 06/28/2011)

06/28/2011

324 Brief in Support of 323 Motion to Strike by Defendants Pamela Klute, James
Mastrangelo, Jeffrey A. Seefeldt (Spangler, Patrick) (Entered: 06/28/2011)

06/28/2011

325 Exhibit to 324 Brief in Support filed by Pamela Klute, Jeffrey A. Seefeldt, James
Mastrangelo (Sealed Document) (Attachments:
# 1 Exhibit B - Responsive Report of Steven R. Fischer) (Spangler, Patrick)
(Entered: 06/28/2011)

06/28/2011

326 Certificate of Service by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt (Spangler, Patrick) (Entered: 06/28/2011)

06/29/2011

327 ** TEXT ONLY ORDER **
ORDER granting 320 Motion to Admit Benjamin A. Hartsock Pro Hac Vice.
Signed by Magistrate Judge Stephen L. Crocker on 6/28/2011. (voc) (Entered:

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06/29/2011)
06/30/2011

328 ** TEXT ONLY ORDER **
ORDER granting 321 Motion to Admit Bruce Rinaldi Pro Hac Vice. Signed by
Magistrate Judge Stephen L. Crocker on 6/30/2011. (voc) (Entered: 06/30/2011)

06/30/2011

329 Unopposed Motion for Extension of Time to File Response to Motion to Partially
Strike the Expert Report and Bar the Testimony of Steven R. Fischer by Defendants
Alpha Investment Consulting Group, LLC, John Michael Maier. Motions referred
to Magistrate Judge Stephen L. Crocker. Response due 7/7/2011. (Convery, James)
(Entered: 06/30/2011)

07/01/2011

330 ** TEXT ONLY ORDER **
ORDER granting 329 Motion for Extension of Time to file response to 323 motion
to partially expert report and bar testimony of Steven R. Fischer by defendants
Alpha Investment Consulting Group, LLC and John Michael Maier. Brief in
Opposition due 7/18/2011. Signed by Magistrate Judge Stephen L. Crocker on
7/1/2011. (voc) (Entered: 07/01/2011)

07/11/2011

331 Motion for Extension of Time (Plaintiffs' Motion For Extension Of Time To File
Oppositions To The Alliance Defendants' And The Trustee Defendants' Motions
For Summary Judgment) by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet. Motions referred to Magistrate Judge
Stephen L. Crocker. Response due 7/18/2011. (Swanson, Robyn) (Entered:
07/11/2011)

07/11/2011

332 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 07/11/2011)

07/12/2011

333 Motion to Admit Peter Romer-Friedman Pro Hac Vice by Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet.
Motions referred to Magistrate Judge Stephen L. Crocker. (Handorf, Karen)
(Entered: 07/12/2011)

07/12/2011

334 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Handorf, Karen) (Entered: 07/12/2011)

07/12/2011

335 Joint Brief in Opposition by Defendants A.H.I., Inc., Alliance Holdings, Inc.,
Alliance Holdings, Inc. Employee Stock Ownership Plan, David B. Fenkell,
Pamela Klute, James Mastrangelo, Jeffrey A. Seefeldt, Trachte Building Systems,
Inc. Employee Stock Ownership Plan re: 331 Motion for Extension of Time
(Plaintiffs' Motion For Extension Of Time To File Oppositions To The Alliance
Defendants' And The Trustee Defendants' Motions For Summary Judgment) filed
by Nannette Stoflet, Martin Robbins, Thomas Gieck, Daniel Donkel, Carol
Chesemore (Attachments:
# 1 Certificate of Service) (Sobel, Ryan) Modified on 7/13/2011 (jas). (Entered:
07/12/2011)

07/12/2011

336 ** TEXT ONLY ORDER **
ORDER denying 331 Motion for Extension of Time. Signed by Magistrate Judge
Stephen L. Crocker on 7/12/2011. (voc) (Entered: 07/12/2011)

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07/16/2011

337 Deposition of Samuel J. Tinaglia, Sr. taken on July 5, 2011 (Attachments:
# 1 Deposition of Samuel J. Tinaglia, Sr. Dated July 6, 2011 - See also docket entry
343 ) (Swanson, Robyn) Requested attorney refile Volume II as a separate docket
entry on 7/18/2011 (jaf). Modified on 7/19/2011 (jaf). (Entered: 07/16/2011)

07/16/2011

338 Deposition of Thomas Temperly taken on July 8, 2011 (Swanson, Robyn)
(Entered: 07/16/2011)

07/16/2011

339 Deposition of Jeffrey S. Buettner taken on October 20, 2010 (Swanson, Robyn)
(Entered: 07/16/2011)

07/16/2011

340 Deposition of Scott D. Miller taken on November 30, 2010 (Swanson, Robyn)
(Entered: 07/16/2011)

07/16/2011

341 Deposition of David B. Fenkell taken on June 29, 2011 (Swanson, Robyn)
(Entered: 07/16/2011)

07/16/2011

342 Deposition of Bradley Scott Seaman taken on October 5, 2010 (Sealed Document)
(Swanson, Robyn) (Entered: 07/16/2011)

07/18/2011

343 Deposition of Samuel J. Tinaglia, Sr. taken on July 6, 2011 (Swanson, Robyn)
(Entered: 07/18/2011)

07/18/2011

344 Disregard. See docket entry 382 . Requested attorney refile with exhibits attached
separately and described on 7/19/2011 (jaf). Modified on 7/29/2011 (jaf). (Entered:
07/18/2011)

07/18/2011

345 Brief in Opposition by Defendants Alpha Investment Consulting Group, LLC, John
Michael Maier re: 323 Motion to Strike Partially The Expert Report And Bar The
Testimony of Steven R. Fischer filed by Pamela Klute, Jeffrey A. Seefeldt, James
Mastrangelo (Convery, James) (Entered: 07/18/2011)

07/18/2011

346 Exhibit A - Fischer CV to 345 Brief in Opposition by Defendants John Michael
Maier, Alpha Investment Consulting Group, LLC re: 323 Motion to Strike. (Sealed
Document) (Convery, James) Modified on 7/19/2011 (jaf). Modified event
relationship on 7/19/2011 (llj). (Entered: 07/18/2011)

07/18/2011

347 Exhibit B - Fischer 3/21/11 Report to 345 Brief in Opposition by Defendants John
Michael Maier, Alpha Investment Consulting Group, LLC re: 323 Motion to
Strike. (Sealed Document) (Convery, James) Modified on 7/19/2011 (jaf).
Modified event relationship on 7/19/2011 (llj). (Entered: 07/18/2011)

07/18/2011

348 Exhibit C - Fischer 4/25/11 Report to 345 Brief in Opposition by Defendants John
Michael Maier, Alpha Investment Consulting Group, LLC re: 323 Motion to
Strike. (Sealed Document) (Convery, James) Modified on 7/19/2011 (jaf).
Modified event relationship on 7/19/2011 (llj). (Entered: 07/18/2011)

07/18/2011

349 Brief in Opposition by Defendants Alpha Investment Consulting Group, LLC, John
Michael Maier re: 307 MOTION FOR PARTIAL SUMMARY JUDGMENT filed
by Nannette Stoflet, Martin Robbins, Thomas Gieck, Daniel Donkel, Carol
Chesemore (Convery, James) (Entered: 07/18/2011)

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07/18/2011

350 Brief in Opposition by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt re: 307 MOTION FOR PARTIAL SUMMARY JUDGMENT filed by
Nannette Stoflet, Martin Robbins, Thomas Gieck, Daniel Donkel, Carol
Chesemore (Wolf, Charles) (Entered: 07/18/2011)

07/18/2011

351 Certificate of Service by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt (Wolf, Charles) (Entered: 07/18/2011)

07/18/2011

352 Response to Proposed Findings of Fact filed by Defendants Alpha Investment
Consulting Group, LLC, John Michael Maier re: 307 MOTION FOR PARTIAL
SUMMARY JUDGMENT (Convery, James) (Entered: 07/18/2011)

07/18/2011

353 Response to Proposed Findings of Fact filed by Defendants Pamela Klute, James
Mastrangelo, Jeffrey A. Seefeldt re: 307 MOTION FOR PARTIAL SUMMARY
JUDGMENT (Wolf, Charles) (Entered: 07/18/2011)

07/18/2011

354 Certificate of Service by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt (Wolf, Charles) (Entered: 07/18/2011)

07/18/2011

355 Response to Proposed Findings of Fact filed by Defendant Alliance Holdings, Inc.
re: 307 MOTION FOR PARTIAL SUMMARY JUDGMENT (Attachments:
# 1 Certificate of Service) (Sobel, Ryan) (Entered: 07/18/2011)

07/18/2011

356 Proposed Findings of Fact filed by Defendant Alliance Holdings, Inc. re: 307
Motion for Partial Summary Judgment, filed by Nannette Stoflet, Martin Robbins,
Thomas Gieck, Daniel Donkel, Carol Chesemore (Attachments:
# 1 Certificate of Service) (Sobel, Ryan) (Entered: 07/18/2011)

07/18/2011

357 Response to Proposed Findings of Fact filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 303 MOTION FOR
SUMMARY JUDGMENT (Opposition to Defendant Pagelow's Findings of Fact)
(Attachments:
# 1 Certificate of Service) (Swanson, Robyn) (Entered: 07/18/2011)

07/18/2011

358 Response to Proposed Findings of Fact filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 288 MOTION FOR
SUMMARY JUDGMENT (Opposition to Defendants Alpha Investment
Consulting Group, LLC and John Michael Maier Proposed Findings of Fact)
(Attachments:
# 1 Certificate of Service) (Swanson, Robyn) Modified on 7/19/2011 (llj).
(Entered: 07/18/2011)

07/18/2011

359 Brief in Opposition by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet re: 299 MOTION FOR SUMMARY
JUDGMENT filed by A.H.I., Inc., David B. Fenkell, Alliance Holdings, Inc.,
Alliance Holdings, Inc. Employee Stock Ownership Plan (Attachments:
# 1 Certificate of Service) (Swanson, Robyn) (Entered: 07/18/2011)

07/18/2011

360 Brief in Opposition by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet re: 288 MOTION FOR SUMMARY
JUDGMENT filed by John Michael Maier, Alpha Investment Consulting Group,
LLC (Attachments:

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# 1 Certificate of Service) (Swanson, Robyn) (Entered: 07/18/2011)
07/18/2011

361 Brief in Opposition by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet re: 303 MOTION FOR SUMMARY
JUDGMENT filed by Stephen W. Pagelow (Handorf, Karen) (Entered:
07/18/2011)

07/18/2011

362 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Handorf, Karen) (Entered: 07/18/2011)

07/18/2011

363 Brief in Opposition by Defendant Alliance Holdings, Inc. re: 307 MOTION FOR
PARTIAL SUMMARY JUDGMENT filed by Nannette Stoflet, Martin Robbins,
Thomas Gieck, Daniel Donkel, Carol Chesemore (Attachments:
# 1 Certificate of Service) (Sobel, Ryan) (Entered: 07/18/2011)

07/18/2011

364 Response to Proposed Findings of Fact filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 299 MOTION FOR
SUMMARY JUDGMENT (Opposition to Defendants Alliance Holdings, Inc.,
David Fenkell, A.H.I. Inc., AH Transition Corp., and Alliance Holdings, Inc.
Employee Stock Ownership Plan and Trust Findings of Fact) (Attachments:
# 1 Certificate of Service) (Handorf, Karen) Modified on 7/19/2011 (llj). (Entered:
07/18/2011)

07/18/2011

365 Proposed Findings of Fact filed by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins, Nannette Stoflet re: 288 Motion for Summary
Judgment filed by John Michael Maier, Alpha Investment Consulting Group, LLC,
292 Motion for Summary Judgment filed by Pamela Klute, Jeffrey A. Seefeldt,
James Mastrangelo, 299 Motion for Summary Judgment, filed by A.H.I., Inc.,
David B. Fenkell, Alliance Holdings, Inc., Alliance Holdings, Inc. Employee Stock
Ownership Plan, 303 Motion for Summary Judgment filed by Stephen W. Pagelow
(Swanson, Robyn) (Entered: 07/18/2011)

07/18/2011

366 Response to Proposed Findings of Fact filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 292 MOTION FOR
SUMMARY JUDGMENT (Opposition to Defendants Mastrangelo, Klute and
Seefeldt's Findings of Fact) (Attachments:
# 1 Certificate of Service) (Handorf, Karen) Modified on 7/19/2011 (llj). (Entered:
07/18/2011)

07/18/2011

367 Declaration of Robyn Swanson filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 288 Motion for
Summary Judgment, 292 Motion for Summary Judgment, 299 Motion for
Summary Judgment, 303 Motion for Summary Judgment (Sealed Document)
(Attachments:
# 1 Exhibit 1 - Pagelow000001-9,
# 2 Exhibit 2 - WilliamBlair021921,
# 3 Exhibit 3 - Alliances Responses and Objections to First Request for
Admissions,
# 4 Exhibit 4 - Alpha903-16,
# 5 Exhibit 5 - Alpha00506-14,

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# 6 Exhibit 6 - Alpha00746-48,
# 7 Exhibit 7 - Alpha00609-20,
# 8 Exhibit 8 - Alpha00026,
# 9 Exhibit 9 - Alpha00052-55,
# 10 Exhibit 10 - A000603) (Swanson, Robyn) (Entered: 07/18/2011)
07/18/2011

368 Exhibit 11 - Alliance 006422 to 367 Declaration of Robyn Swanson, filed by
Nannette Stoflet, Martin Robbins, Thomas Gieck, Daniel Donkel, Carol
Chesemore (Sealed Document) (Attachments:
# 1 Exhibit 12 - A077545-48,
# 2 Exhibit 13 - Declaration of Don Ketelboeter - See also docket entry 376 ,
# 3 Exhibit 14 - Declaration of Rolf Killingstad - See also docket entry 377 ,
# 4 Exhibit 15 - MP2002638-45,
# 5 Exhibit 16 - Alliance006611-32,
# 6 Exhibit 17 - Pagelow000799,
# 7 Exhibit 18 - Pagelow Response to First Request for Admissions,
# 8 Exhibit 19 - Dewitt001110,
# 9 Exhibit 20 - Trustees Response to First Request for Admissions,
# 10 Exhibit 21 - Temperly000001-5,
# 11 Exhibit 22 - WilliamBlair049547-49,
# 12 Exhibit 23 - Dewitt001091,
# 13 Exhibit 24 - Pagelow000675-76,
# 14 Exhibit 25 pt. 1 - Trustees00003199-246,
# 15 Exhibit 25 pt. 2 - Trustees00003199-246,
# 16 Exhibit 25 pt.3 - Trustees00003199-246) (Swanson, Robyn) Requested
attorney refile Declarations as separate docket entries on 7/19/2011 (jaf). Modified
text on 7/20/2011 to correct identification of main document to Exhibit 11. (llj)
Modified on 7/21/2011 (jaf). (Entered: 07/19/2011)

07/19/2011

369 Disregard. See docket entry 378 . Requested attorney refile with appropriate
descriptions on 7/19/2011 (jaf). Modified on 7/21/2011 (jaf). (Entered: 07/19/2011)

07/19/2011

370 Brief in Opposition by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet re: 292 MOTION FOR SUMMARY
JUDGMENT on Counts V, VI and XII filed by Pamela Klute, Jeffrey A. Seefeldt,
James Mastrangelo (Attachments:
# 1 Certificate of Service) (Handorf, Karen) (Entered: 07/19/2011)

07/19/2011

371 Disregard. See docket entry 379 . Requested attorney refile with appropriate
descriptions on 7/19/2011 (jaf). Modified on 7/21/2011 (jaf). (Entered: 07/19/2011)

07/19/2011

372 Disregard. See docket entry 380 . Requested attorney refile with appropriate
descriptions on 7/19/2011 (jaf). Modified on 7/21/2011 (jaf). (Entered: 07/19/2011)

07/19/2011

373 Disregard. See docket entry 381 . Requested attorney refile with appropriate
descriptions on 7/19/2011 (jaf). Modified on 7/21/2011 (jaf). (Entered: 07/19/2011)

07/19/2011

374 Disregard. See docket entry 381 . Requested attorney refile with appropriate
descriptions on 7/19/2011 (jaf). Modified on 7/21/2011 (jaf). (Entered: 07/19/2011)

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07/19/2011

375 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 07/19/2011)

07/20/2011

376 Declaration of Don Ketelboeter (Swanson, Robyn) (Entered: 07/20/2011)

07/20/2011

377 Declaration of Rolf Killingstad (Swanson, Robyn) (Entered: 07/20/2011)

07/20/2011

378 Exhibits 26 (Letter from HIG Capital to Sam Tinaglia re: Amendment to February
14, 2007 Letter of Intent, dated April 5, 2007 (HIG031773-75) - 46 to 367
Declaration of Robyn Swanson, filed by Nannette Stoflet, Martin Robbins, Thomas
Gieck, Daniel Donkel, Carol Chesemore (Sealed Document) (Attachments:
# 1 Exhibit 27 - Trachte Building Systems Minutes of Quarterly Meeting of the
Board of Directors, dated March 5, 2008 (Trustees00010658-91),
# 2 Exhibit 28 Trachte Building Systems Conclusion of Value as of August 27,
2007 prepared by SRR (A141163-92),
# 3 Exhibit 29 - Pagelow Dep. Ex. 1, Letter from Fenkell to Killingstad and Smith
re: TBS/Strategic Alternatives, dated May 5, 2006,
# 4 Exhibit 30 - Pagelow Dep. Ex. 2, Trachte Building Systems Minutes of a
Quarterly Meeting of the Board of Directors, dated May 17, 2006,
# 5 Exhibit 31 - Pagelow Dep. Ex. 3, Email from Wanko to Fenkell, Lynn and
Whitaker re: Analysis of Four Letters of Intent for Trachte, dated December 5,
2006,
# 6 Exhibit 32 - Pagelow Dep. Ex. 4, Trachte Building Systems Minutes of the
Annual Meeting of the Board of Directors, dated November 15, 2006,
# 7 Exhibit 33 - Pagelow Dep. Ex. 6, Email from Wanko to Pagelow, Tinaglia,
Brokemond, Reitz, Ellis, Donovan, Lynn, Fenkell, and Whitaker re: Trachte
Market to Sales Flow Chart, dated March 27, 2007,
# 8 Exhibit 34 - Pagelow Dep. Ex. 8, Email from Brokemond to Wanko and
Tinaglia re: Response to HIG, dated April 3, 2007,
# 9 Exhibit 35 - Pagelow Dep. Ex. 9, Email from Seefeldt to Anderson re: Trachte
Offer, dated April 12, 2007,
# 10 Exhibit 36 - Pagelow Dep. Ex. 10, Fax from Pagelow to Mastrangelo
enclosing Letter of Intent, dated April 20, 2007,
# 11 Exhibit 37 - Pagelow Dep. Ex. 11, Table re Tanker Proceeds Comparison, data
as of February 8, 2007,
# 12 Exhibit 38 - Pagelow Dep. Ex. 12, Email from Seefeldt to Pagelow re: RSM
McGladrey, dated April 30, 2007,
# 13 Exhibit 39 - Pagelow Dep. Ex. 13, Open Items and Agenda for On-Site
Meeting and Management Interview, dated May 30, 2007,
# 14 Exhibit 40 - Pagelow Dep. Ex. 14, Email from Seefeldt to Aumiller re: Article
of Real Estate Professional, June 6, 2007,
# 15 Exhibit 41 - Pagelow Dep. Ex. 15, Slides entitled Trachte Building Systems
ESOP by Rosanne Aumiller, dated July 2007,
# 16 Exhibit 42 - Pagelow Dep. Ex. 16, Letter from Klingele to Mastrangelo re:
BWVS and SRR Valuations, dated July 6, 2007,
# 17 Exhibit 43 - Pagelow Dep. Ex. 17, Email from Peck to Anderson, Mastrangelo
and Seefeldt re: Trachte/Alliance Letter of Intent, dated April 18, 2007,
# 18 Exhibit 44 - Pagelow Dep. Ex. 20, Email from Aumiller to Anderson and

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Mastrangelo re: Trachte Update, dated May 30, 2007,
# 19 Exhibit 45 - Mastrangelo Dep., Ex. 23, Email enclosing Memo to All
Personnel re Update on the Sale of the Company, dated May 22, 2007,
# 20 Exhibit 46 - Mastrangelo Dep. Ex. 24, Presentation entitled Trachte Education
Center, dated July 13, 2007) (Swanson, Robyn) Modified on 7/21/2011 (jaf).
Modified on 7/22/2011 (llj). (Entered: 07/20/2011)
07/20/2011

379 Exhibits 47 (Mastrangelo Dep. II Ex. 4, Email from Maier to Mastrangelo re:
Engagement Letter, dated August 8, 2007) - 67 to 367 Declaration of Robyn
Swanson, filed by Nannette Stoflet, Martin Robbins, Thomas Gieck, Daniel
Donkel, Carol Chesemore (Sealed Document) (Attachments:
# 1 Exhibit 48 - Mastrangelo Dep. II Ex. 6, Wanko to Mastrangelo re: SRR
Valuation, dated August 17, 2007,
# 2 Exhibit 49 - Mastrangelo Dep. II Ex. 12, Trachte Building Systems Minutes of
the Annual Meeting of the Board of Directors, dated November 15, 2006,
# 3 Exhibit 50 - Mastrangelo Dep. II Ex. 13, Pagelow Dep. Ex. 4, Trachte Building
Systems Minutes of a Quarterly Meeting of the Board of Directors, dated February
22, 2007,
# 4 Exhibit 51 - Mastrangelo Dep. II Ex. 28, Email from Mastrangelo to Maier re:
SRR Valuation, dated August 20, 2007,
# 5 Exhibit 52 - Mastrangelo Dep. II Ex. 30, Trachte Building Systems Minutes of
Quarterly Meeting of the Board of Directors, dated May 20, 2008,
# 6 Exhibit 53 - Gould Dep. Ex. 9, Email from Gould to Wanko re: Trachte
Transaction, dated June 20, 2007,
# 7 Exhibit 54 - Gould Dep. Ex. 12, Email from Gould to Fenkell and Draucker re:
Trachte ESOP Fiduciary Reliance, dated August 20, 2007,
# 8 Exhibit 55 - Gould Dep. Ex. 16, Trachte Building Systems Inc. Conclusion of
Value, dated August 27, 2007,
# 9 Exhibit 56 - Gould Dep. Ex. 15, Email from Gould to Socol and Buettner re:
Alliance/Trachte, dated April 26, 2007,
# 10 Exhibit 57 - Anderson Dep. Ex. 6, Email from Maier to Anderson and Peck
re: Fiduciary Agreement, dated August 13, 2007,
# 11 Exhibit 58 - Anderson Dep. II Ex. 3, Subpoena to Anderson dated March 4,
2011,
# 12 Exhibit 59 - Anderson Dep. II Ex. 14, Email from Aumiller to Mastrangelo re:
Draft engagement letter and information request, dated May 8, 2007,
# 13 Exhibit 60 - Fenkell Dep. Ex. 10, Trachte Building Systems Minutes of
Quarterly Meeting of the Board of Directors, dated August 9, 2006,
# 14 Exhibit 61 - Fenkell Dep. Ex. 11, Trachte Building Systems Minutes of
Annual Meeting of the Board of Directors, dated November 5, 2006,
# 15 Exhibit 62 - Fenkell Dep. Ex. 12, Minutes of Meeting of the Compensation
Committee of Alliance Holdings, Inc., dated December 4, 2006,
# 16 Exhibit 63 - Fenkell Dep. Ex. 14, Email from Wanko to Fenkell, Lynn and
Whitaker re: Summary of Initial Indications, dated December 5, 2006,
# 17 Exhibit 64 - Fenkell Dep. Ex. 15, Letter from Tricor to William Blair re:
Trachte Building Systems, dated November 17, 2006,
# 18 Exhibit 65 - Fenkell Dep. Ex. 16 Letter from Tricor to William Blair re:
Revised Proposal re Trachte Building Systems, dated January 31, 2007,

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# 19 Exhibit 66 - Fenkell Dep. Ex. 17, Email from Tinaglia to Wanko and Lynn re:
Watermill, dated November 20, 2006,
# 20 Exhibit 67 - Fenkell Dep. Ex. 19, Email from Wanko to Fenkell and Lynn re:
Trachte ESOP Offer, dated February 6, 2007) (Swanson, Robyn) Modified on
7/21/2011 (jaf). Modified on 7/22/2011 (llj). (Entered: 07/20/2011)
07/20/2011

380 Exhibits 68 (Fenkell Dep. Ex. 20, Minutes of Meeting of the Compensation
Committee of Alliance Holdings, Inc., dated November 13 and 16, 2007) - 88 to
367 Declaration of Robyn Swanson, filed by Nannette Stoflet, Martin Robbins,
Thomas Gieck, Daniel Donkel, Carol Chesemore (Sealed Document)
(Attachments:
# 1 Exhibit 69 - Fenkell Dep. Ex. 23, Letter from SRR to Fenkell re: Final SRR
Valuation Letter of Alliance, dated August 28, 2007,
# 2 Exhibit 70 - Fenkell Dep. Ex. 24, Letter from SRR to Fenkell re: Final SRR
Valuation Letter of AH Transition, dated August 28, 2007,
# 3 Exhibit 71 - Fenkell Dep. Ex. 25, Letter from SRR to Fenkell re: Final SRR
Valuation Letter of Trachte, dated August 28, 2007,
# 4 Exhibit 72 - Fenkell Dep. Ex. 26, Trachte Building Systems Phantom Stock
Plan for Alliance Employees, effective October 1, 2002,
# 5 Exhibit 73 - Fenkell Dep. Ex. 28, Trachte Building Systems Minutes of
Quarterly Meeting of the Board of Directors, dated February 22, 2007,
# 6 Exhibit 74 - Fenkell Dep. Ex. 32, Trachte Building Systems Conclusion of
Value, dated August 27, 2007,
# 7 Exhibit 75 - Fenkell Dep., Ex. 32, Trachte Financial Statements dated August
29, 2007,
# 8 Exhibit 76 - Wanko Dep. Ex. 8, Strategic Alternatives Presentations dated April
12, 2006,
# 9 Exhibit 77 - Wanko Dep. Ex. 11, Email from Wanko to Alliance Employees re:
bid summary dated December 5, 2006,
# 10 Exhibit 78 - Wanko Dep. Ex. 13, Email from Wanko re: Trachte sale market
dated March 27, 2007,
# 11 Exhibit 79 - Wanko Dep. Ex. 14, email from Wanko to Fenkell forwarding
HIG concerns dated April 2, 2007,
# 12 Exhibit 80 - Wanko Dep. Ex. 15, email from Wanko re: response to HIG bid
dated April 3, 2007,
# 13 Exhibit 81 - Wanko Dep. Ex. 17, email from Gould to Socol & Buettner dated
April 26, 2007,
# 14 Exhibit 82 - Wanko Dep. Ex. 20, Final Trachte Letter of Intent dated April 19,
2007,
# 15 Exhibit 83 - Wanko Dep. Ex. 21, Email from Tinaglia to Wanko dated May
15, 2007,
# 16 Exhibit 84 - Wanko Dep. Ex. 22, Email from Kaitlin Donovan attaching
proceeds comparison dated April 4, 2007,
# 17 Exhibit 85 - Wanko Dep. Ex. 23, Email from Wanko to Gould & Buettner
dated May 29, 2007,
# 18 Exhibit 86 - Wanko Dep. Ex. 24, Email from Gould to Socol & Buettner dated
April 26, 2007,
# 19 Exhibit 87 - Wanko Dep. Ex. 25, Email from Gould to Socol & Buettner dated

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June 20, 2007,
# 20 Exhibit 88 - Wanko Dep. Ex. 26, Email from Wanko to Gould & Buettner
dated July 11, 2007) (Swanson, Robyn) Modified on 7/21/2011 (jaf). Modified on
7/22/2011 (llj). (Entered: 07/20/2011)
07/20/2011

381 Exhibits 89 (Wanko Dep. Ex. 27, Email from Wanko to Gould & Buettner dated
May 30, 2007) - 125 to 367 Declaration of Robyn Swanson, filed by Nannette
Stoflet, Martin Robbins, Thomas Gieck, Daniel Donkel, Carol Chesemore (Sealed
Document) (Attachments:
# 1 Exhibit 90 - Wanko Dep. Ex. 28, Email from Mastrangelo to Wanko re: Alpha
engagement dated August 9, 2007,
# 2 Exhibit 91 - Wanko Dep. Ex. 29, Email from Mastrangelo to Maier and Wanko
dated August 9, 2007,
# 3 Exhibit 92 - Wanko Dep. Ex. 30, Email from Wanko to Fenkell and Lynn dated
August 16, 2007,
# 4 Exhibit 93 - Wanko Dep. Ex. 31, Emails between Mastrangelo, Maier,
Anderson, and Wanko dated August 20, 2007,
# 5 Exhibit 94 - Wanko Dep. Ex. 32, Email from Wanko to Gould forwarding
exchange re: Alpha direction dated August 17, 2007,
# 6 Exhibit 95 - Wanko Dep. Ex. 33, Email from Wanko to Mastrangelo dated
August 17, 2007,
# 7 Exhibit 96 - Wanko Dep. Ex. 34, Email from Gould to Fenkell, Wanko and
SSD Attorneys dated August 20, 2007,
# 8 Exhibit 97 - Wanko Dep. Ex. 35, Email from Wanko to Mastrangelo
forwarding SRR letters dated August 24, 2007,
# 9 Exhibit 98 - Wanko Dep. Ex. 37, Email from Wanko to Gould re: delay to deal
dated June 29, 2007,
# 10 Exhibit 99 - Wanko Dep. Ex. 38, Email from Wanko to Mastrangelo re:
changes to deal dated June 18, 2007,
# 11 Exhibit 100 - Seefeldt Dep. Ex. 3, Email from Peck to Mastrangelo, Seefeldt,
and Attorneys dated April 17, 2007,
# 12 Exhibit 101 - Seefeldt Dep. Ex. 9, Final BWVS Letter dated August 29, 2007,
# 13 Exhibit 102 - Seefeldt Dep. Ex. 15, Trachte Board of Directors Meeting
Minutes dated August 19, 2008,
# 14 Exhibit 103 - Seefeldt Dep. Ex. 16, Memo from Karen Hitchcock to Trachte
management dated March 19, 2007,
# 15 Exhibit 104 - Klute Dep. Ex. 6, Email from Mastrangelo to Seefeldt and Klute
with sales concerns dated July 10, 2007,
# 16 Exhibit 105 - Klute Dep. Ex. 12, Email from Paavola to Klute re: due
diligence dated September 13, 2007,
# 17 Exhibit 106 - Klute Dep. Ex. 13, BWVS Letter dated August 28, 2007,
# 18 Exhibit 107 - Klute Dep. Ex. 15, ESOP Association Issue Brief re: ESOP
valuations,
# 19 Exhibit 108 - Klute Dep. Ex. 17, Emails among Klute, Mastrangelo, and
Seefeldt re: employee concerns dated July 18, 2007,
# 20 Exhibit 109 - Klute Dep. Ex. 18, Email from Brian Anderson with draft of
ESOP Plan Document,
# 21 Exhibit 110 - Maier Dep. Ex. 23, Handwritten Maier Notes,

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# 22 Exhibit 111 -Maier Dep. Ex. 5, Email from Mastrangelo to Maier re: making
Alliance comfortable dated August 9, 2007,
# 23 Exhibit 112 - Maier Dep. Ex. 7, Pages of Maiers Calendar for August 2007,
# 24 Exhibit 113 - Maier Dep. Ex. 8, Pages from SRR website,
# 25 Exhibit 114 - Maier Dep. Ex. 9, Pages from ESOP Economics website,
# 26 Exhibit 115 - Maier Dep. Ex. 10, Pages from Barnes Wendling website,
# 27 Exhibit 116 - Maier Dep. Ex. 6, Final Alpha Direction Letter dated August 29,
2007,
# 28 Exhibit 117 - Maier Dep. Ex. 11, Alpha document review request,
# 29 Exhibit 118 - Maier Dep. Ex. 18, Handwritten Maier Notes,
# 30 Exhibit 119 - Buettner Dep. Ex. 5, Trachte Conclusion of Value dated June 30,
2007,
# 31 Exhibit 120 - Buettner Dep. Ex. 7, Email from Gould to Buettner re: valuation
method dated April 26, 2007,
# 32 Exhibit 121 - Buettner Dep. Ex. 6, Trachte 12/31/2006 Valuation Presentation
dated May 10, 2007,
# 33 Exhibit 122 - Buettner Dep. Ex. 8, Trachte Conclusion of Value dated
December 31, 2006,
# 34 Exhibit 123 - Buettner Dep. Ex. 9, Email from Wanko to Gould and Buettner
re: projections dated May 30, 2007,
# 35 Exhibit 124 - Buettner Dep. Ex. 10, Trachte Financial Statements dated May
31, 2007,
# 36 Exhibit 125 - Buettner Dep. Ex. 13, Letter from SRR to Maier dated August
27, 2007) (Swanson, Robyn) Modified on 7/21/2011 (jaf). Modified on 7/22/2011
(llj). (Entered: 07/20/2011)
07/28/2011

382 Declaration of Kevin Kreitzman (Sealed Document) (Attachments:
# 1 Exhibit A - Expert Report of Kevin Kreitzman, dated March 24, 2011 - See
also docket entry 401 ,
# 2 Exhibit B - Rebuttal Expert Report of Kevin Kreitzman, dated April 25, 2011 See also docket entry 402 ) (Swanson, Robyn) Requested attorney file expert
reports as separate docket entries on 7/29/2011 (jaf). Modified on 8/1/2011 (jaf).
(Entered: 07/28/2011)

07/28/2011

383 Deposition of Lucian Morrison taken on July 15, 2011 (Sealed Document)
(Swanson, Robyn) (Entered: 07/28/2011)

07/28/2011

384 Deposition of David Heald taken on July 21, 2011 (Sealed Document) (Swanson,
Robyn) (Entered: 07/28/2011)

07/28/2011

385 Brief in Reply by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet in Support of 307 Motion for Partial Summary
Judgment, (Plaintiffs' Reply Memorandum In Support Of Their Motion For Partial
Summary Judgment Against Defendants Pamela Klute, James Mastrangelo, and
Jeffrey A. Seefeldt) (Swanson, Robyn) (Entered: 07/28/2011)

07/28/2011

386 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 07/28/2011)

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07/28/2011

387 Brief in Reply by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet in Support of 307 Motion for Partial Summary
Judgment, (Plaintiffs' Reply Memorandum In Support of Their Motion For Partial
Summary Judgment Against Defendants Alpha Investment Consulting Group, LLC
and John Michael Maier). (Swanson, Robyn) Modified event on 7/29/2011 (krj).
(Entered: 07/28/2011)

07/28/2011

388 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 07/28/2011)

07/28/2011

389 Brief in Reply by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet in Support of 307 Motion for Partial Summary
Judgment, (Plaintiffs' Reply Memorandum in Support of their Motion for Partial
Summary Judgment Against Alliance Holdings, Inc.) (Swanson, Robyn) Modified
event on 7/29/2011 (krj). (Entered: 07/28/2011)

07/28/2011

390 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 07/28/2011)

07/28/2011

391 Declaration of Robyn Swanson filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 307 Motion for
Partial Summary Judgment, (Sealed Document) (Attachments:
# 1 Exhibit RR - Tinaglia Dep., Ex. 4, Memorandum directed to Deal Marketing
Committee, dated October 9, 2006,
# 2 Exhibit SS - Tinaglia Dep., Ex. 6, Confidential Descriptive Memorandum for
Tracthe Building Services, dated November 2006,
# 3 Exhibit TT - Tinaglia Dep., Ex. 25, Email from Tinaglia to Wanko, dated
December 5, 2006,
# 4 Exhibit UU - Tinaglia Dep., Ex. 33, Email from Tinaglia to Reitz, Brokemond,
Ellis, Donovan, dated February 7, 2011,
# 5 Exhibit VV - Tinaglia Dep., Ex. 34, Email from Donovan to Whitaker, dated
February 8, 2007,
# 6 Exhibit WW - Tinaglia Dep., Ex. 41, Email from Lynn to Reitz, dated March 9,
2007,
# 7 Exhibit XX - Tinaglia Dep., Ex. 42, Email from Tinaglia to Lynn, dated March
24, 2007,
# 8 Exhibit YY - Tinaglia Dep., Ex. 43, Email from Tinaglia to Reitz, Brokemond,
Ellis, Donovan, dated March 26, 2007,
# 9 Exhibit ZZ - Tinaglia Dep., Ex. 49, Email from Donovan to Tinaglia,
Brokemond, Reitz, Benjamin, dated April 4, 2007,
# 10 Exhibit AAA - Email from Anderson to Peck, Mastrangelo, Seefeldt, dated
April 19, 2007,
# 11 Exhibit BBB - Defendant Alpha Investment Consulting Group and Maier's
Response to Plaintiffs First Set of Requests for Admission, dated July 13, 2011)
(Swanson, Robyn) (Entered: 07/28/2011)

07/28/2011

392 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 07/28/2011)

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07/28/2011

393 Reply in Support of Proposed Findings of Fact filed by Plaintiffs Carol Chesemore,
Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 307 MOTION
FOR PARTIAL SUMMARY JUDGMENT (Plaintiffs' Reply To Alpha Consulting
Group, LLC and John Michael Maier's Response to Plaintiffs' Proposed Findings
of Fact) (Swanson, Robyn) (Entered: 07/28/2011)

07/28/2011

394 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 07/28/2011)

07/28/2011

395 Response to Proposed Findings of Fact filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 307 MOTION FOR
PARTIAL SUMMARY JUDGMENT (Response to Allliance New Facts)
(Swanson, Robyn) (Entered: 07/28/2011)

07/28/2011

396 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 07/28/2011)

07/28/2011

397 Reply in Support of Proposed Findings of Fact filed by Plaintiffs Carol Chesemore,
Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 307 MOTION
FOR PARTIAL SUMMARY JUDGMENT (Plaintiffs' Reply to Defendants
Mastrangelo, Klute and Seefeldt's Response to Plaintiffs' Statement of Proposed
Findings of Fact) (Swanson, Robyn) (Entered: 07/28/2011)

07/28/2011

398 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 07/28/2011)

07/28/2011

399 Response to Proposed Findings of Fact filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 307 MOTION FOR
PARTIAL SUMMARY JUDGMENT (Plaintiffs' Reply to Alliance Holdings, Inc.'s
Response to Plaintiffs' Statement of Proposed Findings of Fact) (Swanson, Robyn)
(Entered: 07/28/2011)

07/28/2011

400 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 07/28/2011)

07/29/2011

401 Expert Report of Kevin Kreitzman by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins, Nannette Stoflet (Sealed Document)
(Attachments:
# 1 Exhibit A - Non-deductibility of ESOP Principal,
# 2 Exhibit B - Spreadsheets regarding Discounted Cash Flow,
# 3 Exhibit C - Spreadsheets regarding BWVS Discounted Cash Flow,
# 4 Exhibit D - Spreadsheet regarding BWVS Fairness Opinion Free Cash Flow
Valuation,
# 5 Exhibit E - Spreadsheets regarding BWVS Fairness Opinion Free Cash Flow
Valuation,
# 6 Exhibit F - Valuation Methodology,
# 7 Exhibit G - Spreadsheet regarding Barnes Wendling Fairness Opinion Free
Cash Flow Valuation) (Swanson, Robyn) (Entered: 07/29/2011)

07/29/2011

402 Expert Report of Kevin Kreitzman (Rebuttal) by Plaintiffs Carol Chesemore,
Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet (Sealed

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Document) (Attachments:
# 1 Exhibit A - Spreadsheets regarding Maximum Value and No SNS - Excess
Compensation Adjustment) (Swanson, Robyn) (Entered: 07/29/2011)
08/01/2011

403 Disregard. See docket entry 426 . Requested attorney refile as a brief in reply on
8/2/2011 (jaf). Modified on 8/3/2011 (jaf). (Entered: 08/01/2011)

08/01/2011

404 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 08/01/2011)

08/01/2011

405 Brief in Reply by Defendants Alpha Investment Consulting Group, LLC, John
Michael Maier in Support of 288 Motion for Summary Judgment (Convery, James)
(Entered: 08/01/2011)

08/01/2011

406 Response to Proposed Findings of Fact filed by Defendants Alpha Investment
Consulting Group, LLC, John Michael Maier re: 288 MOTION FOR SUMMARY
JUDGMENT (Convery, James) (Entered: 08/01/2011)

08/01/2011

407 Brief in Reply by Defendants Alpha Investment Consulting Group, LLC, John
Michael Maier in Support of 288 Motion for Summary Judgment (Convery, James)
(Entered: 08/01/2011)

08/01/2011

408 Declaration of James J. Convery filed by Defendants Alpha Investment Consulting
Group, LLC, John Michael Maier re: 288 Motion for Summary Judgment (Sealed
Document) (Convery, James) (Entered: 08/01/2011)

08/01/2011

409 Exhibit A - Agreement to 408 Declaration filed by John Michael Maier, Alpha
Investment Consulting Group, LLC (Sealed Document) (Convery, James)
Modified on 8/2/2011 (jaf). (Entered: 08/01/2011)

08/01/2011

410 Disregard. See docket entry 428 . Requested attorney refile as brief in reply on
8/2/2011 (jaf). Modified on 8/3/2011 (jaf). (Entered: 08/01/2011)

08/01/2011

411 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 08/01/2011)

08/01/2011

412 Reply in Support of Proposed Findings of Fact filed by Defendants Pamela Klute,
James Mastrangelo, Jeffrey A. Seefeldt re: 292 MOTION FOR SUMMARY
JUDGMENT on Counts V, VI and XII (Wolf, Charles) (Entered: 08/01/2011)

08/01/2011

413 Certificate of Service by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt (Wolf, Charles) (Entered: 08/01/2011)

08/01/2011

414 Disregard. See docket entry 430 . Requested attorney refile as brief in reply on
8/2/2011 (jaf). Modified on 8/3/2011 (jaf). (Entered: 08/01/2011)

08/01/2011

415 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 08/01/2011)

08/01/2011

416 Response to Proposed Findings of Fact filed by Defendants Pamela Klute, James
Mastrangelo, Jeffrey A. Seefeldt re: 292 MOTION FOR SUMMARY
JUDGMENT on Counts V, VI and XII (Wolf, Charles) (Entered: 08/01/2011)

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08/01/2011

417 Certificate of Service by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt (Wolf, Charles) (Entered: 08/01/2011)

08/01/2011

418 Brief in Reply by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt in Support of 292 Motion for Summary Judgment (Wolf, Charles)
(Entered: 08/01/2011)

08/01/2011

419 Certificate of Service by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt (Wolf, Charles) (Entered: 08/01/2011)

08/01/2011

420 Reply in Support of Proposed Findings of Fact filed by Defendants A.H.I., Inc.,
Alliance Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan,
David B. Fenkell re: 299 MOTION FOR SUMMARY JUDGMENT (Attachments:
# 1 Certificate of Service) (Sobel, Ryan) (Entered: 08/01/2011)

08/01/2011

421 Response to Proposed Findings of Fact filed by Defendants A.H.I., Inc., Alliance
Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan, David B.
Fenkell re: 299 MOTION FOR SUMMARY JUDGMENT (Attachments:
# 1 Certificate of Service) (Sobel, Ryan) (Entered: 08/01/2011)

08/01/2011

422 Brief in Reply by Defendants A.H.I., Inc., Alliance Holdings, Inc., Alliance
Holdings, Inc. Employee Stock Ownership Plan, David B. Fenkell in Support of
299 Motion for Summary Judgment, (Attachments:
# 1 Unreported Decision: Helms v. Local 705,
# 2 Unreported Decision: Peck v. Chopp,
# 3 Unreported Decision: Neil v. Zell,
# 4 Certificate of Service) (Sobel, Ryan) (Entered: 08/01/2011)

08/01/2011

423 Reply in Support of Proposed Findings of Fact filed by Defendant Stephen W.
Pagelow re: 303 MOTION FOR SUMMARY JUDGMENT (Norrie, Jonathan)
(Entered: 08/01/2011)

08/01/2011

424 Brief in Reply by Defendant Stephen W. Pagelow in Support of 303 Motion for
Summary Judgment (Norrie, Jonathan) (Entered: 08/01/2011)

08/01/2011

425 Response to Proposed Findings of Fact filed by Defendant Stephen W. Pagelow re:
307 MOTION FOR PARTIAL SUMMARY JUDGMENT (Norrie, Jonathan)
(Entered: 08/01/2011)

08/02/2011

426 Brief in Reply by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet in Support of 307 Motion for Partial Summary
Judgment, (Plaintiffs' Supplemental Reply Memorandum in Support of Their
Motion for Partial Summary Judgment Against Alliance Holdings, Inc.)
(Attachments:
# 1 Exhibit Pages From Pratt Transcript (Rough Draft)) (Swanson, Robyn)
(Entered: 08/02/2011)

08/02/2011

427 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 08/02/2011)

08/02/2011

428 Brief in Reply by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet in Support of 307 Motion for Partial Summary

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Judgment, (Plaintiffs' Amended Reply to Alliance Holdings, Inc.'s Response to
Plaintiffs' Statement of Proposed Findings of Fact) (Swanson, Robyn) (Entered:
08/02/2011)
08/02/2011

429 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 08/02/2011)

08/02/2011

430 Brief in Reply by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet in Support of 307 Motion for Partial Summary
Judgment, (Plaintiffs' Amended Responses to Proposed Findings of Fact by
Defendant Alliance Holdings, Inc.) (Swanson, Robyn) (Entered: 08/02/2011)

08/02/2011

431 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 08/02/2011)

08/08/2011

432 Motion to Strike 428 Brief in Reply, 430 Brief in Reply, 426 Brief in Reply, by
Defendants A.H.I., Inc., Alliance Holdings, Inc., Alliance Holdings, Inc. Employee
Stock Ownership Plan, David B. Fenkell. Response due 8/15/2011. (Attachments:
# 1 Certificate of Service) (Sobel, Ryan) (Entered: 08/08/2011)

08/08/2011

433 Brief in Support of 432 Motion to Strike, by Defendants A.H.I., Inc., Alliance
Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan, David B.
Fenkell (Attachments:
# 1 Certificate of Service) (Sobel, Ryan) (Entered: 08/08/2011)

08/08/2011

434 Declaration of Ryan A. Sobel filed by Defendants A.H.I., Inc., Alliance Holdings,
Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan, David B. Fenkell
re: 432 Motion to Strike, (Sealed Document) (Attachments:
# 1 Exhibit (1) March 25, 2011 Expert Disclosure of Alliance Defendants,
# 2 Exhibit (2) April 25, 2011 Rebuttal Expert Disclosure of Alliance Defendants,
# 3 Exhibit (3) Rough Transcript of Deposition of Dr. Pratt of July 27, 2011,
# 4 Certificate of Service) (Sobel, Ryan) (Entered: 08/08/2011)

08/12/2011

435 Motion to Withdraw 432 Motion to Strike by Defendants A.H.I., Inc., Alliance
Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan, David B.
Fenkell, AH Transition Corporation. Response due 8/19/2011. (Attachments:
# 1 Certificate of Service) (Sobel, Ryan) Modified on 8/25/2011 (llj). (Entered:
08/12/2011)

08/15/2011

436 ** TEXT ONLY ORDER **
ORDER granting 435 Motion to withdraw 432 Motion to strike. Signed by
Magistrate Judge Stephen L. Crocker on 8/12/2011. (voc) Modified on 8/25/2011
(llj). (Entered: 08/15/2011)

09/12/2011

437 Stipulation for Rule 31 Deposition by Written Questions of A.H.I., Inc. (with
Proposed Order) (Sealed Document) by Defendants A.H.I., Inc., AH Transition
Corporation, Alliance Holdings, Inc., Alliance Holdings, Inc. Employee Stock
Ownership Plan, Alpha Investment Consulting Group, LLC, Employee Stock
Ownership Plan, David B. Fenkell, Pamela Klute, Eric M. Lynn, John Michael
Maier, James Mastrangelo, Stephen W. Pagelow, Jeffrey A. Seefeldt, Trachte
Building Systems, Inc. Employee Stock Ownership Plan, Cross Defendants

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Alliance Holdings, Inc., Alliance Holdings, Inc., Stephen W. Pagelow, Stephen W.
Pagelow, Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin
Robbins, Nannette Stoflet, Cross Claimants Pamela Klute, Pamela Klute, James
Mastrangelo, James Mastrangelo, Jeffrey A. Seefeldt, Jeffrey A. Seefeldt.
(Attachments:
# 1 Rule 31 Deposition Transcript of AHI Designated Representative,
# 2 Exhibit Exhibit 1 to Rule 31 Deposition Transcript,
# 3 Exhibit Exhibit 2 to Rule 31 Deposition Transcript,
# 4 Exhibit Exhibit 3 to Rule 31 Deposition Transcript) (Sobel, Ryan) (Entered:
09/12/2011)
09/12/2011

438 Stipulation for Rule 31 Deposition by Written Questions of AH Transition
Corporation (with Proposed Order) (Sealed Document) by Defendants A.H.I., Inc.,
AH Transition Corporation, Alliance Holdings, Inc., Alliance Holdings, Inc.
Employee Stock Ownership Plan, Alpha Investment Consulting Group, LLC,
Employee Stock Ownership Plan, David B. Fenkell, Pamela Klute, Eric M. Lynn,
John Michael Maier, James Mastrangelo, Stephen W. Pagelow, Jeffrey A. Seefeldt,
Trachte Building Systems, Inc. Employee Stock Ownership Plan, Cross
Defendants Alliance Holdings, Inc., Alliance Holdings, Inc., Stephen W. Pagelow,
Stephen W. Pagelow, Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet, Cross Claimants Pamela Klute, Pamela Klute,
James Mastrangelo, James Mastrangelo, Jeffrey A. Seefeldt, Jeffrey A. Seefeldt.
(Attachments:
# 1 Rule 31 Deposition Transcript of AH Transition Corp. Designated
Representative,
# 2 Exhibit Exhibit 1 to Rule 31 Deposition Transcript,
# 3 Exhibit Exhibit 2 to Rule 31 Deposition Transcript,
# 4 Exhibit Exhibit 3 to Rule 31 Deposition Transcript) (Sobel, Ryan) (Entered:
09/12/2011)

09/12/2011

439 Deposition of Rolf T. Killingstad taken on July 13, 2011 (Stathas, Lynn) (Entered:
09/12/2011)

09/15/2011

440 Joint Motion for Clarification re 174 Scheduling Order, by Defendants A.H.I., Inc.,
AH Transition Corporation, Alliance Holdings, Inc., Alliance Holdings, Inc.
Employee Stock Ownership Plan, Alpha Investment Consulting Group, LLC,
Employee Stock Ownership Plan, David B. Fenkell, Pamela Klute, Eric M. Lynn,
John Michael Maier, James Mastrangelo, Stephen W. Pagelow, Jeffrey A. Seefeldt,
Trachte Building Systems, Inc. Employee Stock Ownership Plan, Cross
Defendants Alliance Holdings, Inc., Alliance Holdings, Inc., Stephen W. Pagelow,
Stephen W. Pagelow, Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet, Cross Claimants Pamela Klute, Pamela Klute,
James Mastrangelo, James Mastrangelo, Jeffrey A. Seefeldt, Jeffrey A. Seefeldt.
Response due 9/22/2011. (Stathas, Lynn) (Entered: 09/15/2011)

09/21/2011

441 ** TEXT ONLY ORDER **
ORDER granting 440 Motion for Clarification. The parties joint motion for bench
trial is GRANTED, and the parties are relieved of their filing obligations as to
proposed voir dire questions, jury instructions, and verdict forms, as well as expert

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narratives as set forth in paragraphs m and n(i) of the court's scheduling order 174 .
Signed by District Judge William M. Conley on 9/20/2011. (voc) (Entered:
09/21/2011)
09/21/2011

442 ORDER granting 438 Stipulation for Rule 31 Deposition (Sealed Document).
Signed by District Judge William M. Conley on 9/31/2011. (voc) Modified on
10/4/2011 (llj). (Entered: 09/21/2011)

09/21/2011

443 ORDER granting 437 Stipulation for Rule 31 Deposition. Signed by District Judge
William M. Conley on 9/21/2011. (voc) Modified on 10/4/2011 (llj). (Entered:
09/21/2011)

09/21/2011

444 Stipulation for Rule 31 Deposition by Written Questions of Non-Party RSM
McGladrey Business Solutions d/b/a/ RSM McGladrey Retirement Services by
Defendants AH Transition Corporation, Alliance Holdings, Inc., Alliance
Holdings, Inc. Employee Stock Ownership Plan, Alpha Investment Consulting
Group, LLC, Employee Stock Ownership Plan, David B. Fenkell, Pamela Klute,
John Michael Maier, James Mastrangelo, Stephen W. Pagelow, Jeffrey A. Seefeldt,
Trachte Building Systems, Inc. Employee Stock Ownership Plan, Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet.
(Attachments:
# 1 Deposition on Written Questions of Non-Party RSM McGladrey Business
Solutions d/b/a RSM McGladrey Retirement Resources (Dittmer Affidavit))
(Barton, Robert) (Entered: 09/21/2011)

09/21/2011

445 ORDER granting 444 Stipulation for Rule 31 Deposition by Written Questions of
Non-Party RSM McGladrey Business Solutions d/b/a/ RSM McGladrey
Retirement Services. Signed by District Judge William M. Conley on 9/21/2011.
(voc) (Entered: 09/21/2011)

09/22/2011

446 ORDER granting 187 Motion to Certify Class under Rule 23 by plaintiffs. Signed
by District Judge William M. Conley on 9/22/2011. (voc) (Entered: 09/22/2011)

09/22/2011

447 ** TEXT ONLY ORDER **
ORDER granting 333 Motion to Admit Peter Romer-Friedman Pro Hac Vice.
Signed by Magistrate Judge Stephen L. Crocker on 9/22/2011. (voc) (Entered:
09/22/2011)

09/22/2011

Motion Hearing/Oral Argument re: Motions for Summary Judgment scheduled for
10/6/2011 at 10:00 AM before Judge William Conley in courtroom 250. (voc/mh)
(Entered: 09/22/2011)

09/23/2011

448 Deposition of Kevin Kreitzman taken on 07/29/2011 (Sealed Document) (Silver,
Alan) (Entered: 09/23/2011)

09/23/2011

449 Deposition of Kevin Kreitzman taken on 09/08/2011 (Sealed Document) (Silver,
Alan) (Entered: 09/23/2011)

09/23/2011

450 Deposition of Paul Halverson taken on 07/22/2011 (Sealed Document) (Silver,
Alan) (Entered: 09/23/2011)

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09/23/2011

451 Deposition of Robert Gross taken on 07/19/2011 (Silver, Alan) (Entered:
09/23/2011)

09/23/2011

452 Deposition of John Murphy taken on 07/07/2011 (Silver, Alan) (Entered:
09/23/2011)

09/23/2011

453 Motion in Limine to Exclude Expert Opinion and Testimony of Plaintiffs' Expert
Kevin Kreitzman by Defendant Stephen W. Pagelow. (Norrie, Jonathan) (Entered:
09/23/2011)

09/23/2011

454 Declaration of Paul J. Halverson filed by Defendant Stephen W. Pagelow re: 453
Motion in Limine (Attachments:
# 1 Exhibit A - Article "Valuing a Business",
# 2 Exhibit B - Article "An Introduction to ESOP Valuations",
# 3 Exhibit C - Article "Valuing ESOP Shares") (Norrie, Jonathan) (Entered:
09/23/2011)

09/23/2011

455 Motion in Limine to Exclude Expert Testimony from Lucian Morrison by
Defendants Alliance Holdings, Inc., David B. Fenkell. (Attachments:
# 1 Certificate of Service) (Sobel, Ryan) (Entered: 09/23/2011)

09/23/2011

456 Declaration of Ryan A. Sobel filed by Defendants Alliance Holdings, Inc., David
B. Fenkell re: 455 Motion in Limine (Sealed Document) (Attachments:
# 1 Exhibit Report of Lucian Morrison,
# 2 Certificate of Service) (Sobel, Ryan) (Entered: 09/23/2011)

09/23/2011

457 Brief in Support of 455 Motion in Limine by Defendants Alliance Holdings, Inc.,
David B. Fenkell (Attachments:
# 1 Unreported Case: George v. Kraft,
# 2 Certificate of Service) (Sobel, Ryan) (Entered: 09/23/2011)

09/23/2011

458 Motion in Limine To Bar Certain Opinions and Testimony of Plaintiffs' Expert
Lucian Morrison by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt. (Spangler, Patrick) (Entered: 09/23/2011)

09/23/2011

459 Brief in Support of 458 Motion in Limine by Defendants Pamela Klute, James
Mastrangelo, Jeffrey A. Seefeldt (Spangler, Patrick) (Entered: 09/23/2011)

09/23/2011

460 Certificate of Service by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt (Spangler, Patrick) (Entered: 09/23/2011)

09/23/2011

461 Motion in Limine To Exclude Evidence and Testimony Concerning Irrelevant
Opinions Regarding The 2007 Transaction and Other Related Topics by
Defendants Pamela Klute, James Mastrangelo, Jeffrey A. Seefeldt. (Wolf, Charles)
(Entered: 09/23/2011)

09/23/2011

462 Brief in Support of 461 Motion in Limine by Defendants Pamela Klute, James
Mastrangelo, Jeffrey A. Seefeldt (Wolf, Charles) (Entered: 09/23/2011)

09/23/2011

463 Deposition of Shannon Pratt taken on July 27, 2011 (Barton, Robert) (Entered:
09/23/2011)

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09/23/2011

464 Motion in Limine TO PRECLUDE EVIDENCE THAT THE AUGUST 29, 2007
FAIRNESS OPINION PREPARED BY BARNES WENDLING CONSTITUTES AN
OPINION OF FAIR MARKET VALUE by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet. (Erlandson, Andrew)
(Entered: 09/23/2011)

09/23/2011

465 Brief in Support of 464 Motion in Limine, TO PRECLUDE EVIDENCE THAT
THE AUGUST 29, 2007 FAIRNESS OPINION PREPARED BY BARNES
WENDLING CONSTITUTES AN OPINION OF FAIR MARKET VALUE by
Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins,
Nannette Stoflet (Erlandson, Andrew) (Entered: 09/23/2011)

09/23/2011

466 Motion in Limine TO PRECLUDE EVIDENCE THAT ANY TRACTHE ESOP
FIDUCIARY THOUGHT, BELIEVED OR UNDERSTOOD THAT STOUT RISIUS
ROSS SERVED AS AN INDEPENDENT APPRAISER OF TRACHTE BUILDINGS
SYSTEMS, INC. STOCK IN CONNECTION WITH THE 2007 TRANSACTION by
Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins,
Nannette Stoflet. (Erlandson, Andrew) (Entered: 09/23/2011)

09/23/2011

467 Brief in Support of 453 Motion in Limine to Exclude Kreitzman Opinion and
Testimony by Defendant Stephen W. Pagelow (Norrie, Jonathan) (Entered:
09/23/2011)

09/23/2011

468 Brief in Support of 466 Motion in Limine, TO PRECLUDE EVIDENCE THAT
ANY TRACTHE ESOP FIDUCIARY THOUGHT, BELIEVED OR UNDERSTOOD
THAT STOUT RISIUS ROSS SERVED AS AN INDEPENDENT APPRAISER OF
TRACHTE BUILDINGS SYSTEMS, INC. STOCK IN CONNECTION WITH THE
2007 TRANSACTION by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Erlandson, Andrew) (Entered:
09/23/2011)

09/23/2011

469 Motion in Limine TO PREVENT DEFENDANTS FROM PRESENTING
WITNESSES IN PERSON WHO REFUSE TO APPEAR IN PERSON FOR
PLAINTIFFS' CASE-IN-CHIEF by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins, Nannette Stoflet. (Erlandson, Andrew) (Entered:
09/23/2011)

09/23/2011

470 Brief in Support of 469 Motion in Limine, TO PREVENT DEFENDANTS FROM
PRESENTING WITNESSES IN PERSON WHO REFUSE TO APPEAR IN
PERSON FOR PLAINTIFFS' CASE-IN-CHIEF by Plaintiffs Carol Chesemore,
Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet (Erlandson,
Andrew) (Entered: 09/23/2011)

09/23/2011

471 Declaration of Andrew W. Erlandson filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 466 Motion in
Limine, 464 Motion in Limine, 469 Motion in Limine, (Sealed Document)
(Attachments:
# 1 Exhibit 1 - 8/29/07 Correspondence,
# 2 Exhibit 2 - 5/9/07 Correspondence) (Erlandson, Andrew) Modified on
9/26/2011 (jaf). (Entered: 09/23/2011)

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09/23/2011

472 Motion to Strike Portions of Robert Gross's Expert Testimony by Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet.
Response due 9/30/2011. (Swanson, Robyn) (Entered: 09/23/2011)

09/23/2011

473 Brief in Support of 472 Motion to Strike Portions of Robert Gross's Expert
Testimony by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin
Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 09/23/2011)

09/23/2011

474 Declaration of Robyn M. Swanson filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 472 Motion to Strike
(Attachments:
# 1 Exhibit 1 - Expert Report of Robert Gross,
# 2 Exhibit 2 - Exh. 17 to Deposition of Robert Gross,
# 3 Exhibit 3 - "Advance Issue Brief" (Ex. 8 to Murphy Dep.)) (Swanson, Robyn)
(Entered: 09/23/2011)

09/23/2011

475 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 09/23/2011)

09/23/2011

476 Motion to Strike Portions of the Expert Testimony of Paul Halverson by Plaintiffs
Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette
Stoflet. Response due 9/30/2011. (Swanson, Robyn) (Main Document 476 replaced
on 9/30/2011) (jaf). Modified on 9/30/2011 (jaf). (Entered: 09/23/2011)

09/23/2011

477 Disregard. Refiled as docket entry 480 . Modified on 9/26/2011 (jaf). (Entered:
09/23/2011)

09/23/2011

478 Declaration of Robyn M. Swanson filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 476 Motion to Strike
(Sealed Document) (Attachments:
# 1 Exhibit 1 - Expert Report of Shannon Pratt,
# 2 Exhibit 2 - Expert Report of Paul Halverson,
# 3 Exhibit 3 - Rebuttal Expert Report of John P. Murphy,
# 4 Exhibit 4 - Expert Report of Robert Gross,
# 5 Exhibit 5 - Emails between R. Aumiller and J. Mastrangelo (Ex. 1 to Aumiller
Dep.),
# 6 Exhibit 6 - Barnes Wendling Valuation Services Engagement Agreement (Ex. 2
to Aumiller Dep.),
# 7 Exhibit 7 - "An Introduction to ESOP Valuation" (Ex. 3 to Murphy Dep.))
(Swanson, Robyn) (Entered: 09/23/2011)

09/23/2011

479 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 09/23/2011)

09/23/2011

480 Brief in Support of 476 Motion to Strike Portions of Expert Testimony of Paul
Halverson by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin
Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 09/23/2011)

09/27/2011

Trial Deadlines/Hearings: Court Trial on equitable relief set for 1/3/2012 at 09:00
AM. (voc/lk/lj) (Entered: 09/27/2011)

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09/28/2011

481 Response re: 446 Order on Motion to Certify Class under Rule 23 (Unopposed) by
Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins,
Nannette Stoflet. (Bunch, Monya) (Entered: 09/28/2011)

09/28/2011

482 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Bunch, Monya) (Entered: 09/28/2011)

09/29/2011

483 Witness List by Defendants Alpha Investment Consulting Group, LLC, John
Michael Maier (Convery, James) (Entered: 09/29/2011)

09/29/2011

484 Exhibit List by Defendants Alpha Investment Consulting Group, LLC, John
Michael Maier. (Convery, James) (Entered: 09/29/2011)

09/29/2011

485 Witness List & Exhibit List by Defendants Pamela Klute, James Mastrangelo,
Jeffrey A. Seefeldt (Spangler, Patrick) (Entered: 09/29/2011)

09/29/2011

486 Certificate of Service by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt (Spangler, Patrick) (Entered: 09/29/2011)

09/29/2011

487 Witness List Plaintiffs' Identification of Witnesses to be Called at Trial with
Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Barton, Robert) (Entered: 09/29/2011)

09/29/2011

488 Exhibit List by Defendants A.H.I., Inc., AH Transition Corporation, Alliance
Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan, David B.
Fenkell. (Attachments:
# 1 Certificate of Service) (Sobel, Ryan) (Entered: 09/29/2011)

09/29/2011

489 Witness List by Defendants A.H.I., Inc., AH Transition Corporation, Alliance
Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan, David B.
Fenkell (Attachments:
# 1 Certificate of Service) (Sobel, Ryan) (Entered: 09/29/2011)

09/29/2011

490 Witness List by Defendant Stephen W. Pagelow (Norrie, Jonathan) (Entered:
09/29/2011)

09/29/2011

491 Exhibit List by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin
Robbins, Nannette Stoflet. (Attachments:
# 1 Plaintiffs' Trial Exhibit List) (Barton, Robert) (Entered: 09/29/2011)

09/29/2011

492 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Barton, Robert) (Entered: 09/29/2011)

09/29/2011

493 Exhibit List by Defendant Stephen W. Pagelow. (Norrie, Jonathan) (Entered:
09/29/2011)

09/30/2011

494 Brief in Opposition by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt re: 466 Motion in Limine, filed by Nannette Stoflet, Martin Robbins,
Thomas Gieck, Daniel Donkel, Carol Chesemore (Wolf, Charles) (Entered:
09/30/2011)

09/30/2011

495 Brief in Opposition by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt re: 476 Motion to Strike, filed by Nannette Stoflet, Martin Robbins,

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Thomas Gieck, Daniel Donkel, Carol Chesemore (Wolf, Charles) (Entered:
09/30/2011)
09/30/2011

496 Brief in Opposition by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt re: 469 Motion in Limine, filed by Nannette Stoflet, Martin Robbins,
Thomas Gieck, Daniel Donkel, Carol Chesemore (Wolf, Charles) (Entered:
09/30/2011)

09/30/2011

497 Brief in Opposition by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt re: 464 Motion in Limine, filed by Nannette Stoflet, Martin Robbins,
Thomas Gieck, Daniel Donkel, Carol Chesemore (Wolf, Charles) (Entered:
09/30/2011)

09/30/2011

498 Certificate of Service by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt (Wolf, Charles) (Entered: 09/30/2011)

09/30/2011

499 Brief in Opposition by Defendants Alpha Investment Consulting Group, LLC, John
Michael Maier re: 466 Motion in Limine, filed by Nannette Stoflet, Martin
Robbins, Thomas Gieck, Daniel Donkel, Carol Chesemore (Convery, James)
(Entered: 09/30/2011)

09/30/2011

500 Brief in Opposition by Defendants Alpha Investment Consulting Group, LLC, John
Michael Maier re: 464 Motion in Limine, filed by Nannette Stoflet, Martin
Robbins, Thomas Gieck, Daniel Donkel, Carol Chesemore (Convery, James)
(Entered: 09/30/2011)

09/30/2011

501 Brief in Opposition by Defendants A.H.I., Inc., AH Transition Corporation,
Alliance Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan,
David B. Fenkell re: 469 Motion in Limine, filed by Nannette Stoflet, Martin
Robbins, Thomas Gieck, Daniel Donkel, Carol Chesemore (Attachments:
# 1 Certificate of Service) (Sobel, Ryan) (Entered: 09/30/2011)

09/30/2011

502 Brief in Opposition by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet re: 455 Motion in Limine filed by David B.
Fenkell, Alliance Holdings, Inc., 458 Motion in Limine filed by Pamela Klute,
Jeffrey A. Seefeldt, James Mastrangelo (Swanson, Robyn) (Entered: 09/30/2011)

09/30/2011

503 Declaration of Lucian L. Morrison by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins, Nannette Stoflet re: 455 Motion in Limine
(Swanson, Robyn) Modified on 10/3/2011 (jaf). (Entered: 09/30/2011)

09/30/2011

504 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 09/30/2011)

09/30/2011

505 Brief in Opposition by Defendant Stephen W. Pagelow re: 476 Motion to Strike,
filed by Nannette Stoflet, Martin Robbins, Thomas Gieck, Daniel Donkel, Carol
Chesemore, 464 Motion in Limine, filed by Nannette Stoflet, Martin Robbins,
Thomas Gieck, Daniel Donkel, Carol Chesemore, 466 Motion in Limine, filed by
Nannette Stoflet, Martin Robbins, Thomas Gieck, Daniel Donkel, Carol
Chesemore, 469 Motion in Limine, filed by Nannette Stoflet, Martin Robbins,
Thomas Gieck, Daniel Donkel, Carol Chesemore (Norrie, Jonathan) (Entered:
09/30/2011)

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09/30/2011

506 Brief in Opposition by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet re: 461 Motion in Limine filed by Pamela Klute,
Jeffrey A. Seefeldt, James Mastrangelo (Attachments:
# 1 Exhibit A - June 10, 2007 Email from Mastrangelo to McDowell et al.
(Temperly Dep. Ex. 4),
# 2 Exhibit B - August 1, 2007 Email from Mastrangelo to Seefeldt/Smith (Smith
Dep. Ex. 8)) (Bunch, Monya) (Entered: 09/30/2011)

09/30/2011

507 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Bunch, Monya) (Entered: 09/30/2011)

09/30/2011

508 Brief in Opposition by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet re: 453 Motion in Limine filed by Stephen W.
Pagelow (Barton, Robert) (Entered: 09/30/2011)

09/30/2011

509 Declaration of Kevin Kreitzman by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins, Nannette Stoflet re: 453 Motion in Limine
(Barton, Robert) Modified on 10/3/2011 (jaf). (Entered: 09/30/2011)

09/30/2011

510 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Barton, Robert) (Entered: 09/30/2011)

10/03/2011

511 Deposition Designations by Defendant Stephen W. Pagelow. (Norrie, Jonathan)
(Entered: 10/03/2011)

10/03/2011

512 Deposition Designations by Defendants A.H.I., Inc., AH Transition Corporation,
Alliance Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan,
David B. Fenkell. (Attachments:
# 1 Deposition Designations, Counter-Designations, and Objections,
# 2 Certificate of Service) (Sobel, Ryan) (Entered: 10/03/2011)

10/03/2011

513 Deposition Designations (Plaintiffs' Identification of Witnesses Whose Testimony
May Be Presented by Deposition at the Trial) by Plaintiffs Carol Chesemore,
Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet. (Attachments:
# 1 Exhibit A - Plaintiffs' Deposition Designations,
# 2 Exhibit B - Defendants' Deposition Designations) (Barton, Robert) (Entered:
10/03/2011)

10/03/2011

514 Deposition Designations by Defendants Pamela Klute, James Mastrangelo, Jeffrey
A. Seefeldt. (Attachments:
# 1 Trustees' Trial Deposition With Plaintiffs' Responses,
# 2 Plaintiffs' Trial Deposition Designations With Trustee Responses) (Wolf,
Charles) (Entered: 10/03/2011)

10/03/2011

515 Certificate of Service by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt (Wolf, Charles) (Entered: 10/03/2011)

10/04/2011

516 Deposition of Larry Jenkins taken on July 29, 2011 (Sealed Document) (Stathas,
Lynn) (Entered: 10/04/2011)

10/04/2011

517 Errata Sheet to 516 Deposition (Sealed Document) (Stathas, Lynn) (Entered:
10/04/2011)

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10/04/2011

518 Motion to Admit Jeffrey P Carren Pro Hac Vice by Defendant Alpha Investment
Consulting Group, LLC. Motions referred to Magistrate Judge Stephen L. Crocker.
(Convery, James) (Entered: 10/04/2011)

10/04/2011

519 Proposed Findings of Fact by Defendants Alpha Investment Consulting Group,
LLC, John Michael Maier (Convery, James) (Entered: 10/04/2011)

10/04/2011

520 Proposed Special Verdict - Liability and Damages by Defendants Alpha Investment
Consulting Group, LLC, John Michael Maier (Convery, James) (Entered:
10/04/2011)

10/04/2011

521 Proposed Special Verdict - Liability and Damages by Defendants Pamela Klute,
James Mastrangelo, Jeffrey A. Seefeldt (Wolf, Charles) (Entered: 10/04/2011)

10/04/2011

522 Certificate of Service by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt (Wolf, Charles) (Entered: 10/04/2011)

10/04/2011

523 Proposed Findings of Fact by Defendants Pamela Klute, James Mastrangelo,
Jeffrey A. Seefeldt (Wolf, Charles) (Entered: 10/04/2011)

10/04/2011

524 Certificate of Service by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt (Wolf, Charles) (Entered: 10/04/2011)

10/04/2011

525 Proposed Conclusions of Law by Defendants Pamela Klute, James Mastrangelo,
Jeffrey A. Seefeldt (Wolf, Charles) (Entered: 10/04/2011)

10/04/2011

526 Certificate of Service by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt (Wolf, Charles) (Entered: 10/04/2011)

10/04/2011

527 Proposed Findings of Fact by Defendants A.H.I., Inc., AH Transition Corporation,
Alliance Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan,
David B. Fenkell (Attachments:
# 1 Certificate of Service) (Sobel, Ryan) (Entered: 10/04/2011)

10/04/2011

528 Proposed Conclusions of Law by Defendants A.H.I., Inc., AH Transition
Corporation, Alliance Holdings, Inc., Alliance Holdings, Inc. Employee Stock
Ownership Plan, David B. Fenkell (Attachments:
# 1 Certificate of Service) (Sobel, Ryan) (Entered: 10/04/2011)

10/04/2011

529 Proposed Findings of Fact by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Barton, Robert) (Entered: 10/04/2011)

10/04/2011

530 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Barton, Robert) (Entered: 10/04/2011)

10/04/2011

531 Proposed Conclusions of Law by Defendant Stephen W. Pagelow (Norrie,
Jonathan) (Entered: 10/04/2011)

10/04/2011

532 Proposed Findings of Fact by Defendant Stephen W. Pagelow (Norrie, Jonathan)
(Entered: 10/04/2011)

10/04/2011

533 Trial Brief Pretrial Statement for Non-Jury Issues Submitted by Plaintiffs by
Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins,
Nannette Stoflet (Attachments:

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# 1 Exhibit A - Stipulated Facts,
# 2 Exhibit B - Comprehensive List of Prospective Witnesses,
# 3 Exhibit C - Parties' Joint Stipulated Trial Exhibit List,
# 4 Exhibit D - Alliance Defendants' Objections to Plaintiffs' Trial Exhibits,
# 5 Exhibit E - Trustee Defendants' Objections to Plaintiffs' Exhibit List,
# 6 Exhibit F - Defendant Pagelow's Objections to Plaintiffs' Trial Exhibits,
# 7 Exhibit G - Alpha Defendants' Objections to Plaintiffs' Exhibit List,
# 8 Exhibit H - Plaintiffs' Objections to Alliance Defendants' Trial Exhibits,
# 9 Exhibit I - Plaintiffs' Objections to Trustee Defendants' Trial Exhibits,
# 10 Exhibit J - Plaintiffs' Objections to Defendant Pagelow's Trial Exhibits,
# 11 Exhibit K - Plaintiffs' Objections to Alpha Defendants' Trial Exhibits,
# 12 Exhibit L - Parties' Agreed Statement of Contested Issues of Law,
# 13 Exhibit M - Plaintiffs' Statement of Contested Issues of Law,
# 14 Exhibit N - Defendant Pagelow's Statement of Contested Issues of Law)
(Bunch, Monya) (Entered: 10/04/2011)
10/04/2011

534 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Bunch, Monya) (Entered: 10/04/2011)

10/05/2011

535 ** TEXT ONLY ORDER **
ORDER granting 518 Motion to Admit Jeffrey Carren Pro Hac Vice. Signed by
Magistrate Judge Stephen L. Crocker on 10/5/2011. (voc) (Entered: 10/05/2011)

10/05/2011

536 Notice of Appearance filed by Jeffrey P Carren for Defendants Alpha Investment
Consulting Group, LLC, John Michael Maier (Carren, Jeffrey) (Entered:
10/05/2011)

10/05/2011

537 Trial Brief by Defendants Pamela Klute, James Mastrangelo, Jeffrey A. Seefeldt
(Wolf, Charles) (Entered: 10/05/2011)

10/05/2011

538 Certificate of Service by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt (Wolf, Charles) (Entered: 10/05/2011)

10/06/2011

539 Deposition of Brian Anderson taken on March 31, 2010 (Deposition of Brian
Anderson (NO SEAL) Taken on March 31, 2010 (Swanson, Robyn) (Entered:
10/06/2011)

10/06/2011

540 Deposition of Carol Chesemore taken on January 26, 2010 (Deposition of Carol
Chesemore (SEALED) Taken on January 26, 2010) (Sealed Document) (Swanson,
Robyn) (Entered: 10/06/2011)

10/06/2011

541 Deposition of Daniel Donkel taken on January 28, 2010 (Deposition of Daniel
Donkel (SEALED) Taken on January 28, 2010) (Sealed Document) (Swanson,
Robyn) (Entered: 10/06/2011)

10/06/2011

542 Deposition of James Mastrangelo taken on April 1, 2010 (Deposition of James
Mastrangelo (SEALED) Taken on April 1, 2010) (Sealed Document) (Swanson,
Robyn) (Entered: 10/06/2011)

10/06/2011

543 Deposition of Martin Robbins taken on January 27, 2010 (Deposition of Martin
Robbins (SEALED) Taken on January 27, 2010) (Sealed Document) (Swanson,
Robyn) (Entered: 10/06/2011)

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10/06/2011

544 Deposition of Pamela Klute taken on February 9, 2011 (Deposition of Pamela
Klute (NO SEAL) Taken on February 9, 2011) (Swanson, Robyn) (Entered:
10/06/2011)

10/06/2011

545 Deposition of Steve Kindstrom taken on July 27, 2011 (Deposition of Steve
Kindstrom (NO SEAL) Taken on July 27, 2011) (Swanson, Robyn) (Entered:
10/06/2011)

10/06/2011

546 Deposition of Walter Smith taken on April 26, 2011 (Deposition of Walter Smith
(NO SEAL) Taken on April 26, 2011) (Swanson, Robyn) (Entered: 10/06/2011)

10/06/2011

547 Deposition of Steven Fischer taken on July 26, 2011 (Deposition of Steven Fischer
(NO SEAL) Taken on July 26, 2011) (Swanson, Robyn) (Entered: 10/06/2011)

10/06/2011

548 Deposition of Thomas Gieck taken on January 28, 2010 (Deposition of Thomas
Gieck (SEAL) Taken on January 28, 2010) (Sealed Document) (Swanson, Robyn)
(Entered: 10/06/2011)

10/06/2011

549 Deposition of Thomas Klingele taken on November 1, 2010 (Deposition of Thomas
Klingele (NOT SEALED) Taken on November 1, 2010) (Swanson, Robyn)
(Entered: 10/06/2011)

10/06/2011

550 Minute Entry for proceedings held before Judge William M. Conley: Motion
Hearing held on 10/6/2011. [2:18] (Court Reporter LS.) (voc) Modified on
10/7/2011 (voc). (Entered: 10/07/2011)

10/06/2011

551 Minute Entry for proceedings held before District Judge William M. Conley: Final
Pretrial Conference held on 10/6/2011. [1:01] (Court Reporter LS.) (voc) (Entered:
10/07/2011)

10/07/2011

552 Transcript of Motion Hearing, held 10/6/2011 before Judge William M. Conley.
Court Reporter: LS.
Please review the court policy regarding electronic transcripts: see Electronic
Transcript Instructions and Notice of Intent to Request Redaction. (voc) (Entered:
10/07/2011)

10/07/2011

553 Transcript of Final Pretrial Conference, held 10/6/2011 before Judge William M.
Conley. Court Reporter: LS.
Please review the court policy regarding electronic transcripts: see Electronic
Transcript Instructions and Notice of Intent to Request Redaction. (voc) (Entered:
10/07/2011)

10/07/2011

554 Supplement to 299 Motion for Summary Judgment, filed by A.H.I., Inc., David B.
Fenkell, Alliance Holdings, Inc., Alliance Holdings, Inc. Employee Stock
Ownership Plan (Attachments:
# 1 Case: Bakner v. Xerox Corp. ESOP,
# 2 Case: Peck v. Chopp,
# 3 Case: Ames v. American National Can Co.,
# 4 Certificate of Service) (Sobel, Ryan) (Entered: 10/07/2011)

10/07/2011

555 ORDER granting in part and denying in part 323 Motion to Strike; denying in part
and reserving in part 453 Motion in Limine; granting in part and denying in part

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455 Motion in Limine; granting in part and denying in part 458 Motion in Limine;
denying 461 Motion in Limine; denying 464 Motion in Limine; denying 466
Motion in Limine; 469 Motion in Limine withdrawn by plaintiffs; reserving ruling
on 472 Motion to Strike ; denying as moot 476 Motion to Strike. Signed by District
Judge William M. Conley on 10/7/11. (krj) (Entered: 10/07/2011)
10/11/2011

Set/Reset Trial Date: Court Trial 2nd day set for 10/12/2011 at 08:00 AM. (llj)
(Entered: 10/11/2011)

10/12/2011

Set/Reset Trial Date: Court Trial 3rd Day set for 10/13/2011 at 08:00 AM. (llj)
(Entered: 10/12/2011)

10/12/2011

556 Minute Entry for proceedings held before District Judge William M. Conley: 1st
Day Court Trial held on 10/11/2011 Trial continues. [9:25] (Court Reporter
CS/LS.) (voc) (Entered: 10/12/2011)

10/12/2011

557 Minute Entry for proceedings held before District Judge William M. Conley: 2nd
Day Court Trial held on 10/12/2011 Trial continues. [8:40] (Court Reporter
CS/LS.) (voc) (Entered: 10/14/2011)

10/13/2011

Set/Reset Trial Date: Court Trial 4th Day set for 10/13/2011 at 08:00 AM. (llj)
(Entered: 10/13/2011)

10/14/2011

Set/Reset Trial Date: Court Trial 5th Day set for 10/17/2011 at 08:00 AM (llj)
(Entered: 10/14/2011)

10/14/2011

558 Minute Entry for proceedings held before District Judge William M. Conley: 3rd
Day Court Trial held on 10/13/2011 Trial continues. [8:55] (Court Reporter
CS/LS.) (voc) (Entered: 10/14/2011)

10/14/2011

559 Minute Entry for proceedings held before District Judge William M. Conley: 4th
Day Court Trial held on 10/14/2011 Trial continues. [6:25] (Court Reporter
CS/LS.) (voc) (Entered: 10/14/2011)

10/16/2011

560 Stipulation for Deposition of Non-Party Stout Risius & Ross by Defendants A.H.I.,
Inc., AH Transition Corporation, Alliance Holdings, Inc., Alliance Holdings, Inc.
Employee Stock Ownership Plan, Alpha Investment Consulting Group, LLC,
Employee Stock Ownership Plan, David B. Fenkell, Pamela Klute, Eric M. Lynn,
John Michael Maier, James Mastrangelo, Stephen W. Pagelow, Jeffrey A. Seefeldt,
Trachte Building Systems, Inc. Employee Stock Ownership Plan, Cross
Defendants Alliance Holdings, Inc., Alliance Holdings, Inc., Stephen W. Pagelow,
Stephen W. Pagelow, Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet, Cross Claimants Pamela Klute, Pamela Klute,
James Mastrangelo, James Mastrangelo, Jeffrey A. Seefeldt, Jeffrey A. Seefeldt.
(Attachments:
# 1 Exhibit Testimony of Stout Risius Ross, Inc.,
# 2 Certificate of Service) (Swanson, Robyn) (Entered: 10/16/2011)

10/17/2011

561 Supplement to 359 Brief in Opposition, filed by Nannette Stoflet, Martin Robbins,
Thomas Gieck, Daniel Donkel, Carol Chesemore (Attachments:
# 1 Certificate of Service) (Swanson, Robyn) (Entered: 10/17/2011)

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10/17/2011

562 Deposition Designations (William Peck) by Defendants Pamela Klute, James
Mastrangelo, Jeffrey A. Seefeldt. (Stathas, Lynn) (Entered: 10/17/2011)

10/17/2011

563 Deposition Designations (Charles Hanemann) by Defendants Pamela Klute, James
Mastrangelo, Jeffrey A. Seefeldt. (Stathas, Lynn) (Entered: 10/17/2011)

10/17/2011

564 ***WITHDRAWN*** Deposition Designations (Cecelia Loftus) by Defendants
Pamela Klute, James Mastrangelo, Jeffrey A. Seefeldt. (Stathas, Lynn) Withdrawn
during Court Trial. Modified on 10/17/2011 (voc/wmc). (Entered: 10/17/2011)

10/17/2011

566 Deposition Designations of AH Transition (revised) by Plaintiffs Carol Chesemore,
Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet. (Swanson,
Robyn) (Entered: 10/17/2011)

10/17/2011

567 Deposition Designations of Susan Gould by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet. (Swanson, Robyn)
(Entered: 10/17/2011)

10/17/2011

568 Deposition Designations of Cecilia Loftus (revised) (part I) by Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet.
(Attachments:
# 1 Loftus designations part II) (Swanson, Robyn) (Entered: 10/17/2011)

10/17/2011

569 Deposition Designations of Bradley Seaman (part I) (revised) by Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet.
(Sealed Document) (Attachments:
# 1 Seaman designations (part II)) (Swanson, Robyn) (Entered: 10/17/2011)

10/17/2011

570 Deposition Designations of Samuel Tinaglia (Vol. I Part I) (revised) by Plaintiffs
Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette
Stoflet. (Attachments:
# 1 Tinaglia designations Vol. I Part II) (Swanson, Robyn) (Entered: 10/17/2011)

10/17/2011

571 Deposition Designations of Samuel Tinaglia Vol. II Part 1 by Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet.
(Attachments:
# 1 Tinaglia designations Vol. II Part 2,
# 2 Tinaglia designations Vol. II Part 3,
# 3 Tinaglia designations Vol. II Part 4) (Swanson, Robyn) (Entered: 10/17/2011)

10/17/2011

Set/Reset Trial Date: Court Trial 6th Day set for 10/18/2011 at 8:00 AM. (lak)
(Entered: 10/17/2011)

10/17/2011

577 Minute Entry for proceedings held before District Judge William M. Conley: 5th
Day Court Trial held on 10/17/2011 Trial continues. [7:05] (Court Reporter FTR.)
(voc) (Entered: 10/20/2011)

10/18/2011

572 Deposition Designations of Bradley Seaman by Defendants A.H.I., Inc., AH
Transition Corporation, Alliance Holdings, Inc., Alliance Holdings, Inc. Employee
Stock Ownership Plan, David B. Fenkell. (Sealed Document) (Sobel, Ryan)
(Entered: 10/18/2011)

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10/18/2011

573 Deposition Designations of William Peck by Defendants A.H.I., Inc., AH
Transition Corporation, Alliance Holdings, Inc., Alliance Holdings, Inc. Employee
Stock Ownership Plan, David B. Fenkell. (Sobel, Ryan) (Entered: 10/18/2011)

10/18/2011

574 Deposition Designations of Samuel Tinaglia (Vol. I) by Defendants A.H.I., Inc.,
AH Transition Corporation, Alliance Holdings, Inc., Alliance Holdings, Inc.
Employee Stock Ownership Plan, David B. Fenkell. (Sobel, Ryan) (Entered:
10/18/2011)

10/18/2011

575 Deposition Designations of Samuel Tinaglia (Vol. II) by Defendants A.H.I., Inc.,
AH Transition Corporation, Alliance Holdings, Inc., Alliance Holdings, Inc.
Employee Stock Ownership Plan, David B. Fenkell. (Sobel, Ryan) (Entered:
10/18/2011)

10/18/2011

576 Deposition Designations of Charles Hanemann by Defendants A.H.I., Inc., AH
Transition Corporation, Alliance Holdings, Inc., Alliance Holdings, Inc. Employee
Stock Ownership Plan, David B. Fenkell. (Sobel, Ryan) (Entered: 10/18/2011)

10/18/2011

Set/Reset Trial Date: Court Trial 7th Day set for 10/19/2011 at 9:00 AM. (lak)
(Entered: 10/18/2011)

10/19/2011

578 Minute Entry for proceedings held before District Judge William M. Conley: 6th
Day Court Trial held on 10/18/2011 Trial continues. 5 (Court Reporter FTR.) (voc)
(Entered: 10/20/2011)

10/19/2011

579 Minute Entry for proceedings held before District Judge William M. Conley: 7th
Day Court Trial held on 10/19/2011. 3 (Court Reporter FTR.) (voc) (Entered:
10/20/2011)

10/26/2011

580 Deposition of Thomas Klingele taken on October 7, 2011 (Bunch, Monya)
(Entered: 10/26/2011)

10/26/2011

581 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Bunch, Monya) (Entered: 10/26/2011)

10/27/2011

582 Joint Exhibit List (Parties' Revised Joint Stipulated Trial Exhibit List) by
Defendants AH Transition Corporation, Alliance Holdings, Inc., Alliance
Holdings, Inc. Employee Stock Ownership Plan, Alpha Investment Consulting
Group, LLC, David B. Fenkell, Pamela Klute, John Michael Maier, James
Mastrangelo, Jeffrey A. Seefeldt, Trachte Building Systems, Inc. Employee Stock
Ownership Plan, Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet. (Attachments:
# 1 Certificate of Service) (Bunch, Monya) (Entered: 10/27/2011)

10/27/2011

583 Exhibit to 582 Exhibit List,, filed by David B. Fenkell, AH Transition Corporation,
Martin Robbins, John Michael Maier, Jeffrey A. Seefeldt, James Mastrangelo,
Alpha Investment Consulting Group, LLC, Daniel Donkel, Carol Chesemore,
Nannette Stoflet, Trachte Building Systems, Inc. Employee Stock Ownership Plan,
Thomas Gieck, Alliance Holdings, Inc., Pamela Klute, Alliance Holdings, Inc.
Employee Stock Ownership Plan JE-1, Pt. 1 (Alliance ESOP Plan Document)
(Attachments:
# 1 Exhibit JE-1, Pt. 2 (Alliance ESOP Plan Document),

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# 2 Exhibit JE-2 (Trachte ESOP Plan Document),
# 3 Exhibit JE-3 (Trachte Phantom Stock Plan for Alliance Employees),
# 4 Exhibit JE-4 (Strategic Alternatives Document),
# 5 Exhibit JE-5 (Trachte Board Meeting Minutes Dated May 17, 2006)) (Bunch,
Monya) (Entered: 10/27/2011)
10/27/2011

584 Exhibit to 582 Exhibit List,, filed by David B. Fenkell, AH Transition Corporation,
Martin Robbins, John Michael Maier, Jeffrey A. Seefeldt, James Mastrangelo,
Alpha Investment Consulting Group, LLC, Daniel Donkel, Carol Chesemore,
Nannette Stoflet, Trachte Building Systems, Inc. Employee Stock Ownership Plan,
Thomas Gieck, Alliance Holdings, Inc., Pamela Klute, Alliance Holdings, Inc.
Employee Stock Ownership Plan JE-6 (Trachte Board Meeting Minutes Dated
November 15, 2006) (Attachments:
# 1 Exhibit JE-7 (Trachte Board Meeting Minutes Dated August 9, 2006),
# 2 Exhibit JE-8 (Trachte Board Meeting Minutes Dated February 22, 2007),
# 3 Exhibit JE-9 (Trachte Audited Financial Report Dated December 31, 2005),
# 4 Exhibit JE-10 (Trachte Audited Financial Report Dated December, 31, 2006),
# 5 Exhibit JE-11 (Trachte Audited Financial Report Dated December 31, 2007))
(Bunch, Monya) (Entered: 10/27/2011)

10/27/2011

585 Exhibit to 582 Exhibit List,, filed by David B. Fenkell, AH Transition Corporation,
Martin Robbins, John Michael Maier, Jeffrey A. Seefeldt, James Mastrangelo,
Alpha Investment Consulting Group, LLC, Daniel Donkel, Carol Chesemore,
Nannette Stoflet, Trachte Building Systems, Inc. Employee Stock Ownership Plan,
Thomas Gieck, Alliance Holdings, Inc., Pamela Klute, Alliance Holdings, Inc.
Employee Stock Ownership Plan JE-12, Pt. 1 (Valuation of Alliance Holdings as of
December 31, 2005) (Attachments:
# 1 Exhibit JE-12, Pt. 2 (Valuation of Alliance Holdings as of December 31, 2005),
# 2 Exhibit JE-12, Pt. 3 (Valuation of Alliance Holdings as of December 31, 2005),
# 3 Exhibit JE-12, Pt. 4 (Valuation of Alliance Holdings as of December 31, 2005),
# 4 Exhibit JE-12, Pt. 5 (Valuation of Alliance Holdings as of December 31, 2005),
# 5 Exhibit JE-13 (Valuation of Alliance Holdings as of December 31, 2006))
(Bunch, Monya) (Entered: 10/27/2011)

10/27/2011

586 Exhibit to 582 Exhibit List,, filed by David B. Fenkell, AH Transition Corporation,
Martin Robbins, John Michael Maier, Jeffrey A. Seefeldt, James Mastrangelo,
Alpha Investment Consulting Group, LLC, Daniel Donkel, Carol Chesemore,
Nannette Stoflet, Trachte Building Systems, Inc. Employee Stock Ownership Plan,
Thomas Gieck, Alliance Holdings, Inc., Pamela Klute, Alliance Holdings, Inc.
Employee Stock Ownership Plan JE-14 (BWVS Fairness Opinion Draft Dated
June 13, 2007) (Attachments:
# 1 Exhibit JE-15 (BWVS Fairness Opinion Draft Dated June 20, 2007),
# 2 Exhibit JE-16 (Draft of BWVS Fairness Opinion Dated July 2, 2007),
# 3 Exhibit JE-17 (Draft of BWVS Fairness Opinion Dated July 10, 2007),
# 4 Exhibit JE-18 (Draft of BWVS Fairness Opinion Dated August 21, 2007),
# 5 Exhibit JE-19 (Trachte Management Proposal Dated February 6, 2007),
# 6 Exhibit JE-20 (SRR Engagement Letter),
# 7 Exhibit JE-21 (April 19, 2007 Letter of Intent),
# 8 Exhibit JE-22 (BWVS Engagement Letter),

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# 9 Exhibit JE-23 (RSM McGladrey Letter),
# 10 Exhibit JE-24 (Alpha Engagement Letter),
# 11 Exhibit JE-25 (Revised Alpha Engagement Letter),
# 12 Exhibit JE-26 (Action by Unanimous Written Consent of The Trachte
Shareholders Dated August 22, 2007),
# 13 Exhibit JE-27 (Written Consent of the Trachte Board Dated August 24, 2007),
# 14 Exhibit JE-28 (Alpha Direction Letter)) (Bunch, Monya) (Entered:
10/27/2011)
10/27/2011

587 Exhibit to 582 Exhibit List,, filed by David B. Fenkell, AH Transition Corporation,
Martin Robbins, John Michael Maier, Jeffrey A. Seefeldt, James Mastrangelo,
Alpha Investment Consulting Group, LLC, Daniel Donkel, Carol Chesemore,
Nannette Stoflet, Trachte Building Systems, Inc. Employee Stock Ownership Plan,
Thomas Gieck, Alliance Holdings, Inc., Pamela Klute, Alliance Holdings, Inc.
Employee Stock Ownership Plan JE-29 (BWVS Fairness Opinion) (Attachments:
# 1 Exhibit JE-30 (SRR Valuation Opinion Letter of Trachte),
# 2 Exhibit JE-31 (SRR Valuation Opinion Letter of Alliance),
# 3 Exhibit JE-32 (SRR Valuation Opinion Letter of AH Transition),
# 4 Exhibit JE-33, Pt. 1 (Closing Binder for the 2007 Transaction),
# 5 Exhibit JE-33, Pt. 2 (Closing Binder for the 2007 Transaction)) (Bunch,
Monya) (Entered: 10/27/2011)

10/27/2011

588 Exhibit to 582 Exhibit List,, filed by David B. Fenkell, AH Transition Corporation,
Martin Robbins, John Michael Maier, Jeffrey A. Seefeldt, James Mastrangelo,
Alpha Investment Consulting Group, LLC, Daniel Donkel, Carol Chesemore,
Nannette Stoflet, Trachte Building Systems, Inc. Employee Stock Ownership Plan,
Thomas Gieck, Alliance Holdings, Inc., Pamela Klute, Alliance Holdings, Inc.
Employee Stock Ownership Plan JE-33 Pt. 3 (Closing Binder for 2007
Transaction) (Attachments:
# 1 Exhibit JE-34, Pt. 1 (Chase Loan Agreement),
# 2 Exhibit JE-34, Pt. 2 (Chase Loan Agreement),
# 3 Exhibit JE-34, Pt. 3 (Chase Loan Agreement)) (Bunch, Monya) (Entered:
10/27/2011)

10/27/2011

589 Exhibit to 582 Exhibit List,, filed by David B. Fenkell, AH Transition Corporation,
Martin Robbins, John Michael Maier, Jeffrey A. Seefeldt, James Mastrangelo,
Alpha Investment Consulting Group, LLC, Daniel Donkel, Carol Chesemore,
Nannette Stoflet, Trachte Building Systems, Inc. Employee Stock Ownership Plan,
Thomas Gieck, Alliance Holdings, Inc., Pamela Klute, Alliance Holdings, Inc.
Employee Stock Ownership Plan JE-34, Pt. 4 (Chase Loan Agreement)
(Attachments:
# 1 Exhibit JE-34, Pt. 5 (Chase Loan Agreement),
# 2 Exhibit JE-34, Pt. 6 (Chase Loan Agreement),
# 3 Exhibit JE-34, Pt. 7 (Chase Loan Agreement)) (Bunch, Monya) (Entered:
10/27/2011)

10/27/2011

590 Exhibit to 582 Exhibit List,, filed by David B. Fenkell, AH Transition Corporation,
Martin Robbins, John Michael Maier, Jeffrey A. Seefeldt, James Mastrangelo,
Alpha Investment Consulting Group, LLC, Daniel Donkel, Carol Chesemore,

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Nannette Stoflet, Trachte Building Systems, Inc. Employee Stock Ownership Plan,
Thomas Gieck, Alliance Holdings, Inc., Pamela Klute, Alliance Holdings, Inc.
Employee Stock Ownership Plan JE-36 (Draft of HIG Letter of Intent Dated April
5, 2007) (Attachments:
# 1 Exhibit JE-37 (Wm. Blair Memorandum),
# 2 Exhibit JE-38 (HIG Letter of Intent)) (Bunch, Monya) (Entered: 10/27/2011)
10/27/2011

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591 Exhibit List by Defendants Pamela Klute, James Mastrangelo, Jeffrey A. Seefeldt.
(Attachments:
# 1 Exhibit T-1510 Sources and Uses Document April 10, 2007 [DeWitt002487,
Trustees00026439, Trustees00002856-75],
# 2 Exhibit T-1512 Proceeds Analysis Jims version [Trustees00003046-70],
# 3 Exhibit T-1514 Email from Jim Mastrangelo to Rosanne Aumiller dated
August 16, 2007 with attachments [Trustees00028578-600],
# 4 Exhibit T-1515 Email from Jim Mastrangelo to Rosanne Aumiller dated
August 20, 2007 [Trustees00013871],
# 5 Exhibit T-1521 BWVS Calculation Document [BWVS000550-563],
# 6 Exhibit T-1522 Trachte Building Systems Excluding SNS Consolidated
Five-Year Projection [BWVS002213],
# 7 Exhibit T-1524 Pro Forma Deleveraging at 80% of Management Forecast
[BWVS 2214],
# 8 Exhibit T-1525 Email from Aumiller to Mastrangelo dated August 27, 2007
[BWVS 1561],
# 9 Exhibit T-1526 Trachte Building Systems, Inc. and Subsidiaries Unaudited
Financial Statements & Management Reports as of July 31, 2007 [BWVS 1563],
# 10 Exhibit T-1530 Maier resume [DeWitt000418-19],
# 11 Exhibit T-1531 January 31, 2007 unaudited financials [Chase 004615-36],
# 12 Exhibit T-1532 February 28, 2007 unaudited financials [Chase 004742-63],
# 13 Exhibit T-1533 March 31, 2007 unaudited financials [Chase 004831-54],
# 14 Exhibit T-1534 April 30, 2007 unaudited financials [Chase 004855-76],
# 15 Exhibit T-1535 May 31, 2007 unaudited financials [Chase 004877-99],
# 16 Exhibit T-1536 June 30, 2007 unaudited financials [Chase 004900-23],
# 17 Exhibit T-1537 July 31, 2007 unaudited financials [Chase 004924-45],
# 18 Exhibit T-1538 August 29, 2007 unaudited financials [Alliance005146-68],
# 19 Exhibit T-1539 September 30, 2007 unaudited financials [Chase004946-70],
# 20 Exhibit T-1540 October 31, 2007 unaudited financials [Chase004789-812],
# 21 Exhibit T-1541 November 30, 2007 unaudited financials [Chase004764-88],
# 22 Exhibit T-1542 December 31, 2007 unaudited financials [Chase004666-91],
# 23 Exhibit T-1543 January 1, 2008 unaudited financials [Chase005002-25],
# 24 Exhibit T-1544 February 29, 2008 unaudited financials [Chase005076-99],
# 25 Exhibit T-1545 March 31, 2008 unaudited financials [Chase005439-65],
# 26 Exhibit T-1546 April 30, 2008 unaudited financials [Chase005100-23],
# 27 Exhibit T-1547 May 31, 2008 unaudited financials [Chase005124-48],
# 28 Exhibit T-1548 June 30, 2008 unaudited financials [Chase005406-33],
# 29 Exhibit T-1549 July 31, 2008 unaudited financials [Chase005149-73],
# 30 Exhibit T-1550 August 31, 2008 unaudited financials [Chase005174-98],
# 31 Exhibit T-1551 September 30, 2008 unaudited financials [Chase005473-500],
# 32 Exhibit T-1552 October 31, 2008 unaudited financials [Chase005026-50],

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# 33 Exhibit T-1553 November 30, 2008 unaudited financials [Chase005051-75],
# 34 Exhibit T-1554 December 31, 2008 unaudited financials [Chase005225-52],
# 35 Exhibit T-1555 January 1, 2009 unaudited financials [Chase005501-23],
# 36 Exhibit T-1556 February 28, 2009 unaudited financials [Chase005593-615],
# 37 Exhibit T-1557 March 31, 2009 unaudited financials [Chase005616-36],
# 38 Exhibit T-1558 April 30, 2009 unaudited financials [Chase005637-57],
# 39 Exhibit T-1559 May 31, 2009 unaudited financials [Chase005658-78],
# 40 Exhibit T-1560 June 30, 2009 unaudited financials [Chase005679-99],
# 41 Exhibit T-1561 July 31, 2009 unaudited financials [Chase005700-20],
# 42 Exhibit T-1562 August 31, 2009 unaudited financials [Chase005721-41],
# 43 Exhibit T-1563 September 30, 2009 unaudited financials [Chase005742-64],
# 44 Exhibit T-1564 October 31, 2009 unaudited financials [Chase005524-46],
# 45 Exhibit T-1565 November 30, 2009 unaudited financials [Chase005547-69],
# 46 Exhibit T-1566 December 31, 2009 unaudited financials [Chase005570-92],
# 47 Exhibit T-1567 January 31, 2010 unaudited financials [Chase005872-94],
# 48 Exhibit T-1568 February 28, 2010 unaudited financials [PagelowTR00352-74],
# 49 Exhibit T-1569 March 31, 2010 unaudited financials [PagelowTR02396-417],
# 50 Exhibit T-1570 April 30, 2010 unaudited financials [Pagelow-TR02372-94],
# 51 Exhibit T-1571 May 31, 2010 unaudited financials [Pagelow-TR02348-70],
# 52 Exhibit T-1572 June 30, 2010 unaudited financials [Pagelow-TR02324-46],
# 53 Exhibit T-1576 Self Storage Industry Facts and Trends Report, Third Quarter
2010 [Trustees00042313-20],
# 54 Exhibit T-1582 March 14, 2007 memo from Mastrangelo and Seefeldt to HIG
Capital [HIG023192-97],
# 55 Exhibit T-1583 Audited Financials as of December 31, 2002
[Trustees00001228-46],
# 56 Exhibit T-1584 Audited Financials as of December 31, 2003
[Trustees00001247-68],
# 57 Exhibit T-1585 Audited Financials as of December 31, 2004
[Trustees00001269-90],
# 58 Exhibit T-1586 Audited Financials as of December 31, 2005
[Trustees00001291-311],
# 59 Exhibit T-1587 Audited Financials as of December 31, 2006
[Trustees00013201-23],
# 60 Exhibit T-1588 Audited Financials as of December 31, 2007
[Trustees00035460-83],
# 61 Exhibit T-1589 Audited Financials as of December 31, 2008
[Trustees00041765],
# 62 Exhibit T-1590 Audited Financials as of December 31, 2009
[Trustees00041790],
# 63 Exhibit T-1595 ESOP Economics report dated August 2007
[ESE000279-317],
# 64 Exhibit T-1596 (Part 1 of 2) ESI Valuation of the Common Stock of Trachte
Building Systems, Inc. at December 31, 2007 [Trustees00004592-4700],
# 65 Exhibit T-1596 (Part 2 of 2) ESI Valuation of the Common Stock of Trachte

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Building Systems, Inc. at December 31, 2007 [Trustees00004592-4700],
# 66 Exhibit T-1597 E-mail from Wanko with some negotiated terms dated August
15, 2007 [Trustees00012923],
# 67 Exhibit T-1598 E-mail from Wanko to Mastrangelo dated June 13, 2007
[Trustees00012900],
# 68 Exhibit T-1599 E-mail from Wanko to Mastrangelo dated June 13, 2007
[Trustees00012901-6],
# 69 Exhibit T-1601 E-mail from Wanko to Mastrangelo dated August 15, 2007
[Trustees00012822-44],
# 70 Exhibit T-1602 E-mail from Wanko to Mastrangelo dated June 18, 2007
[Trustees00012897-9],
# 71 Exhibit T-1603 E-mail from Wanko to Mastrangelo dated August 15, 2007
[Trustees00012822-44],
# 72 Exhibit T-1604 E-mail from Mastrangelo dated August 16, 2007
[Boardman006776-7],
# 73 Exhibit T-1605 E-mail from Wanko dated August 24, 2007
[Trustees00030530],
# 74 Exhibit T-1606 E-mail from Mastrangelo dated August 16, 2007
[Trustees00018594-8],
# 75 Exhibit T-1609 Chase Approval Proposal dated October 30, 2008 [Chase
-33850-033860],
# 76 Exhibit T-1619 Email from Kindstrom to Mastrangelo dated July 11, 2007
with attachments [Trustees 19175-19178],
# 77 Exhibit T-1620 (Part 1 of 2) Approval Proposal dated May 16, 2007 [Chase
38567-38605],
# 78 Exhibit T-1620 (Part 2 of 2) Approval Proposal dated May 16, 2007 [Chase
38567-38605],
# 79 Exhibit T-1621 (Part 1 of 3) ESOP Plan Administration Binder as of July 31,
2007 [Trustees11356-684],
# 80 Exhibit T-1621 (Part 2 of 3) ESOP Plan Administration Binder as of July 31,
2007 [Trustees11356-684],
# 81 Exhibit T-1621 (Part 3 of 3) ESOP Plan Administration Binder as of July 31,
2007 [Trustees11356-684],
# 82 Exhibit T-1622 (Part 1 of 5) ESOP Plan Administration Binder as of
December 31, 2007 [Trustees11685-2018],
# 83 Exhibit T-1622 (Part 2 of 5) ESOP Plan Administration Binder as of
December 31, 2007 [Trustees11685-2018],
# 84 Exhibit T-1622 (Part 3 of 5) ESOP Plan Administration Binder as of
December 31, 2007 [Trustees11685-2018],
# 85 Exhibit T-1622 (Part 4 of 5) ESOP Plan Administration Binder as of
December 31, 2007 [Trustees11685-2018],
# 86 Exhibit T-1622 (Part 5 of 5) ESOP Plan Administration Binder as of
December 31, 2007 [Trustees11685-2018],
# 87 Exhibit T-1623 (Part 1 of 2) ESOP Plan Administration Binder as of
December 31, 2008 [Trustees12019-365],
# 88 Exhibit T-1623 (Part 2 of 2) ESOP Plan Administration Binder as of
December 31, 2008 [Trustees12019-365],

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# 89 Exhibit T-1626 E-mail dated April 2, 2007 from HIG to William Blair
[Alliance006592-3],
# 90 Exhibit T-1627 E-mail dated April 3, 2007 from Alliance entitled Response to
HIG [Alliance 006590],
# 91 Exhibit T-1637 Gross Dep. Ex. 17) (Stathas, Lynn) (Entered: 10/27/2011)
10/27/2011

592 Exhibit List by Defendants A.H.I., Inc., AH Transition Corporation, Alliance
Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan, David B.
Fenkell. (Attachments:
# 1 Exhibit 2510 (2004 Alliance ESOP Annual Valuation),
# 2 Exhibit 2511 (Pagelow Agreement for Early Exercise of Put Option),
# 3 Exhibit 2514 - part 1 of 2 (2005 Alliance ESOP Annual Valuation),
# 4 Exhibit 2514 - part 2 of 2 (2005 Alliance ESOP Annual Valuation),
# 5 Exhibit 2539 (2006 Alliance ESOP Annual Valuation),
# 6 Exhibit 2556 (HIG Revised Draft LOI of 4/5/07),
# 7 Exhibit 2558 (Email with Trachte Draft LOI of 4/12/07),
# 8 Exhibit 2588 (Mastrangelo/Klingele Email of 7/1/07 and 7/2/07),
# 9 Exhibit 2591 (Draft Master Closing Memorandum of 7/11/07),
# 10 Exhibit 2608 (Wanko Email of 8/15/07 Summarizing Price Adjustments),
# 11 Exhibit 2619 (SRR Conclusion of Value for Trachte as of 8/27/07),
# 12 Exhibit 2624 - part 1 of 2 (Alliance Version of Master Closing Memorandum
of 8/29/07),
# 13 Exhibit 2624 - part 2 of 2 (Alliance Version of Master Closing Memorandum
of 8/29/07)) (Sobel, Ryan) (Entered: 10/27/2011)

10/28/2011

593 Exhibit to 491 Exhibit List filed by Nannette Stoflet, Martin Robbins, Thomas
Gieck, Daniel Donkel, Carol Chesemore Plaintiff's Exhibits Entered into Evidence
At Trial - Exhibit PX-5 - 2010 Publication of ESOP Association, ESOP Fiduciary
Handbook (Attachments:
# 1 Exhibit PX-11 - Plan Docs from Trachte Bldg. Sys. re: Trachte Phantom Stock
Plan,
# 2 Exhibit PX-12 - Alliance ESOP Plan Description for Trachte Employees,
# 3 Exhibit PX-15 - SRR Valuation re: Trachte,
# 4 Exhibit SRR Valuation Appendix D,
# 5 Exhibit PX-24 - Correspondence from Fenkell to Killingstad/Smith re: Trachte
Strategic Alternatives,
# 6 Exhibit PX-30A - Wm. Blair Engagement Letter,
# 7 Exhibit PX-44 - Correspondence from W. Smith to Pagelow re: Resignation
from Board,
# 8 Exhibit Memo from Tinaglia, et al to Deal Marketing Comm. re: Sale of
Trachte,
# 9 Exhibit Memo from Wm. Blair re: Confidential Descriptive Memorandum
(11/2006)) (Bunch, Monya) (Entered: 10/28/2011)

10/28/2011

594 Exhibit List by Defendants Alpha Investment Consulting Group, LLC, John
Michael Maier. (Attachments:
# 1 Alpha 1102,
# 2 Alpha 1103,
# 3 Alpha 1104,

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# 4 Alpha 1105,
# 5 Alpha 1106,
# 6 Alpha 1107,
# 7 Alpha 1112,
# 8 Alpha 1113,
# 9 Alpha 1128,
# 10 Alpha 1129,
# 11 Alpha 1130,
# 12 Alpha 1131,
# 13 Alpha 1136,
# 14 Alpha 1137,
# 15 Alpha 1138,
# 16 Alpha 1139,
# 17 Alpha 1140,
# 18 Alpha 1143,
# 19 Alpha 1144,
# 20 Alpha 1145,
# 21 Alpha 1146,
# 22 Alpha 1147,
# 23 Alpha 1148,
# 24 Alpha 1167,
# 25 Alpha 1171,
# 26 Alpha 1172,
# 27 Alpha 1173,
# 28 Alpha 1174,
# 29 Alpha 1175,
# 30 Alpha 1176) (Convery, James) (Entered: 10/28/2011)
10/28/2011

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595 Exhibit to 491 Exhibit List filed by Nannette Stoflet, Martin Robbins, Thomas
Gieck, Daniel Donkel, Carol Chesemore Plaintiffs' Exhibits Admitted into Evidence
at Trial - PX-63 - Email from Tinaglia to Wanko & Lynn re: Trachte (Attachments:
# 1 Exhibit PX-73B - Alliance Holdings, Inc. Compensation Committee Meeting
Minutes,
# 2 Exhibit PX-74 - Email from Wanko to Fenkell/Lynn/Whitaker,
# 3 Exhibit PX-75 - Email from Tinaglia to Wanko,
# 4 Exhibit PX-76 - Email from Lynn to Tinaglia/Wanko/Brokemond/Reitz/Ellis re
HIG,
# 5 Exhibit PX-77 - SRR Valuation of Trachte as of 12/31/06,
# 6 Exhibit PX-101 - Email from Wanko to Fenkell re: HIG Bid/Contract,
# 7 Exhibit PX-102 - Email from Hanemann to Reitz re: Tax Issue,
# 8 Exhibit PX-103 - Email from Wanko to Fenkell/Lynn re: Trachte Offer,
# 9 Exhibit PX-104 - Email from Tinaglia to Reitz/Brokemond/Ellis/Donovan re:
Trachte Offer,
# 10 Exhibit PX-108 - Email from Reitz to Tinaglia/Brokemond re: Trachte
January 2007,
# 11 Exhibit PX-109 - Email from Tinaglia to P. Reitz/Brokemond/Ellis re: Tricor,
# 12 Exhibit PX-113 - Email from Reitz to L. Pagelow/Lynn/Wanko/Whitaker re:
Proceeds Comparison,

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# 13 Exhibit PX-126 - Email from Lynn to Reitz re: Conference Call with HIG,
# 14 Exhibit PX-135 - Memo re: Warning of Business Cycle Phase Shift,
# 15 Exhibit PX-136 - Email from Tinaglia to Lynn re: Tanker,
# 16 Exhibit PX-137 - Email re: HIG Exclusivity Period,
# 17 Exhibit PX-138 - Email from Whitaker to Gould re: Trachte) (Bunch, Monya)
(Entered: 10/28/2011)
10/28/2011

596 Exhibit to 491 Exhibit List filed by Nannette Stoflet, Martin Robbins, Thomas
Gieck, Daniel Donkel, Carol Chesemore Plaintiffs' Exhibits Admitted into Evidence
at Trial - PX-139 - Presentation from LEK Consulting re: Trachte Due Diligence
(Attachments:
# 1 Exhibit PX-140 - Email from Tinaglia to Wanko re: HIG,
# 2 Exhibit PX-141 - Email from Tinaglia to Brokemond re: HIG,
# 3 Exhibit PX-143 - Email re: Trachte Market to Sales Process Flow Chart,
# 4 Exhibit PX-146A - Email from Brokemond to Wanko/Lynn re: Trachte
Follow-up,
# 5 Exhibit PX-147 - Email from Wanko to Fenkell re: Trachte Follow-up,
# 6 Exhibit PX-150 - Email from Donovan to Tinaglia/Brokemond/Reitz/Ellis,
# 7 Exhibit PX-153 - Email from Mastrangelo to Fenkell re: Term Sheets,
# 8 Exhibit PX-155 - Email from Tinaglia to Fenkell re: Revised LOI,
# 9 Exhibit PX-163 - Email from Seefeldt to Anderson re: MBO Letter of Intent,
# 10 Exhibit PX-165 - Email from Hughes to Seefeldt re: Trachte MBO Letter of
Intent,
# 11 Exhibit PX-170 - Email from Gould to Whitaker re: Trachte,
# 12 Exhibit PX-180 - Email from Anderson to Peck/Mastrangelo/Seefeldt re:
Trachte-Alliance LOI,
# 13 Exhibit PX-181 - Email from Anderson to Peck/Mastrangelo/Seefeldt re:
Trachte-Alliance LOI,
# 14 Exhibit PX-182D - Final Letter of Intent Dated 4/19/2007,
# 15 Exhibit PX-182E - Final Letter of Intent Dated 4/19/2007,
# 16 Exhibit PX-186 - Chart of Sources and Uses W/Notes by W. Smith,
# 17 Exhibit PX-190 - Email from Wanko to Mastrangelo re: Model - Flat
Scenario) (Bunch, Monya) (Entered: 10/28/2011)

10/28/2011

597 Exhibit to 491 Exhibit List filed by Nannette Stoflet, Martin Robbins, Thomas
Gieck, Daniel Donkel, Carol Chesemore Plaintiffs' Exhibits Admitted Into
Evidence at Trial - PX-192 - Email from Gould to Socol/Buettner re:
Alliance/Trachte Dated 04/26/2007 (Attachments:
# 1 Exhibit PX-193 - Email from Gould to Buettner re: Alliance Subs/Spencer
Deal Dated 4/26/2007,
# 2 Exhibit PX-194 - Email from Gould to Socol/Buettner re: Alliance/Trachte
Transaction dated 4/26/2007,
# 3 Exhibit PX-195 - Email from Gould to Socol/Buettner re: Trachte dated
04/27/2007,
# 4 Exhibit PX-200 - Email from Seefeldt to Pagelow re: RSM McGladrey dated
4/30/2007,
# 5 Exhibit PX-203 - Email from Aumiller to Seefeldt re: Contact Info dated
05/07/2007,

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# 6 Exhibit PX-207 - Chart re: Shares Allocation Post-Transaction,
# 7 Exhibit PX-208 - W. Smith Notes Re: Transaction,
# 8 Exhibit PX-209 - Email from Aumiller to Mastrangelo re: Draft Engagement
Letter and Information Request Dated 05/08/2007,
# 9 Exhibit PX-210 - Email from VanHorn to Mastrangelo re: Transaction Proposal
Dated 05/08/2007,
# 10 Exhibit PX-212A - Barnes Wendling Engagement Letter Dated05/09/2007,
# 11 Exhibit PX-212B - Barnes Wendling Engagement Letter Dated05/09/2007,
# 12 Exhibit PX-216 - Email from Kevin Parks attaching April 2007 Financials
Dated 05/10/2007,
# 13 Exhibit PX-218 - Email from Tinaglia to Hanemann Dated 05/11/2007,
# 14 Exhibit PX-219 - Email from Tinaglia to Wanko re: call Dated 05/15/2007,
# 15 Exhibit PX-223 - Email from Wanko to Mastrangelo re: Trachte Valuation
dated 05/17/2007,
# 16 Exhibit PX-224 - Agreement for Early Exercise Put Option dated 09/02/2005,
# 17 Exhibit PX234 - Email from Wanko to Gould re: Barnes Dated 05/30/2007,
# 18 Exhibit PX235A - Trachte May 2007 Financials,
# 19 Exhibit PX238 - Email from Jackson to Anderson dated 06/05/2007,
# 20 Exhibit PX-245 - Draft of BWVS Fairness Opinion dated 06/13/2007,
# 21 Exhibit PX-248A - Email from Andereson to Aumiller dated 06/15/2007,
# 22 Exhibit PX-250 - Email from Tinaglia to Brokemond Dated 06/15/2007,
# 23 Exhibit PX-252 - Email from Anderson to Peck re: Credit Agreement dated
06/16/2007,
# 24 Exhibit PX-254 - Email from Aumiller to Mastrangelo re: Revised Draft dated
06/19/2007,
# 25 Exhibit PX-255 - Email from Aumiller to Mastrangelo re: Rev'd FO Draft for
Discussion dated 06/19/2007,
# 26 Exhibit PX-257 - Email from Gould to Socol re: Alliance/Trachte Transaction
Dated 06/20/2007,
# 27 Exhibit PX-258 - Email from Gould to Wanko re: Trachte Transaction dated
06/20/2007,
# 28 Exhibit PX-259 - Draft of BWVS Fairness Opinion Dated 06/20/2007,
# 29 Exhibit PX-261 - Email from Tinaglia to Lynn re: Director Search dated
06/25/2007,
# 30 Exhibit PX-263 - Email from Gould to Buettner re: Trachte dated 06/29/2007,
# 31 Exhibit PX-265 - Trachte Conclusion of Value Dated 06/30/2007) (Bunch,
Monya) (Entered: 10/28/2011)
10/28/2011

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598 Exhibit to 491 Exhibit List filed by Nannette Stoflet, Martin Robbins, Thomas
Gieck, Daniel Donkel, Carol Chesemore Plaintiff's' Exhibits Introduced into
Evidence at Trial - PX-268A - Presentation by R. Aumiller re: Trachte ESOP
(Attachments:
# 1 Exhibit PX-271 - Collection of notes, charts and emails from BWVS,
# 2 Exhibit PX-272 - Draft from BWVS to Mastrangelo, Seefeldt, Klute re:
Fairness Opinion,
# 3 Exhibit PX-281 - Email re:Questions Relative to Employee Purchase of
Company,
# 4 Exhibit PX-282 - Email from Mastrangelo to McDowell, et al re: Fairness

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Opinion/McGladrey Position,
# 5 Exhibit PX-283A - Draft of BWVS Fairness Opinion,
# 6 Exhibit PX-283B - Draft from Barnes Wendling Valuation Services to
Mastrangelo/Seefeldt re: Fairness Opinion,
# 7 Exhibit PX-284 - Email from Wanko to Gould/Buettner re Trachte,
# 8 Exhibit PX-287 - Question from Employees and Answers from Town Hall
Mtg.,
# 9 Exhibit PX-288B - Presentation Slides for Trachte Town Hall Meeting,
# 10 Exhibit PX-300 - Email from Klute to Seefeldt re: Employee Questions Town
Hall Mtg (July 2007),
# 11 Exhibit PX-302B - Trachte and Subsidiaries Unaudited Financial Stmts. &
Mgmt. Reports as of 07/31/2007,
# 12 Exhibit PX-303 - Plaintiff Chesemore's Stmts. of Accounts for Alliance ESOP
and Trachte ESOP from 2000-2007,
# 13 Exhibit PX-304 - Chart/Notes re: Trachte Building Systems) (Bunch, Monya)
(Entered: 10/28/2011)
10/28/2011

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599 Exhibit to 491 Exhibit List filed by Nannette Stoflet, Martin Robbins, Thomas
Gieck, Daniel Donkel, Carol Chesemore Plaintiffs' Exhibits Admitted Into
Evidence at Trial: PX-307 - Email from Anderson to Jenkins re: Legal and
Fiduciary Considerations at Trachte (Attachments:
# 1 Exhibit PX-308 - Pages from Maier's Calendar, First Half of August 2007,
# 2 Exhibit PX-313 - Email from Mastrangelo to Seefeldt re: email contacts,
# 3 Exhibit PX-319 - Email from Maier to Mastrangelo re: Engagement Letter,
# 4 Exhibit PX-320 - Email from Mastarngelo to Wako re: Engagement Letter,
# 5 Exhibit PX-323A - Email from Maier to Mastrangelo re: Fiduciary Agreement,
# 6 Exhibit PX-326 - Email from Klute to Ketelboeter et al re: Notes from 8/01
Meeting,
# 7 Exhibit PX-331C - Email from Wanko to Sefeldt/Mastrangelo re: Information
in Anticipation of 4:15 Call,
# 8 Exhibit PX-332A - Trachte Bldg. Sys. Conclusion of Value as of August 15,
2007,
# 9 Exhibit PX-341 - Email from Maier to Mastrangelo re: Draft Alpha
Conclusion,
# 10 Exhibit PX-342 - Email from Wanko to Fenkel/Lynn re: SRR Valuation,
# 11 Exhibit PX-345 - Email from Buettner to Gould re: SRR Valuation,
# 12 Exhibit PX-347 - Email from Wanko to Mastrangelo re: SRR Valuation,
# 13 Exhibit PX-348 - Email from Gould to Buettner re: SRR Valuation,
# 14 Exhibit PX-354 - Email from Mastrangelo to Maier re: SRR Valuation,
# 15 Exhibit PX-357 - Email from Gould to Fenkell/Draucker re: Trachte - ESOP
Fiduciary Reliance,
# 16 Exhibit PX-358 - Email from Gould to Fenkell/Draucker re: Trachte - ESOP
Fiduciary Reliance,
# 17 Exhibit PX-359 - Email from Mastrangelo to Maier re: SRR Valuation,
# 18 Exhibit PX-360 - Maier's Handwritten Notes on Needing Independent
Assessment of Reasonbless of Management Forecasts,
# 19 Exhibit PX-366B - Opinion from Barnes Wendling Valuation Services, Inc. to
Mastrangelo, Seefeldt, Klute, Trachte ESOP re: Draft Fairness Opinion,

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# 20 Exhibit PX-372 - Email from Wanko to Mastrangelo re: Trachte Closing,
# 21 Exhibit PX-377A - SRR Valuation re: Trachte Conclusion of Value as of
08/27/2007,
# 22 Exhibit PX-377B - SRR Valuation re: Trachte Conclusion of Value as of
08/27/2007,
# 23 Exhibit PX-377C - SRR Valuation re: Trachte Conclusion of Value as of
08/27/2007,
# 24 Exhibit PX-378 - Notes on Trachte,
# 25 Exhibit PX-385 - Opinion from Dewitt Ross & Stevens) (Bunch, Monya)
(Entered: 10/28/2011)
10/28/2011

600 Exhibit to 491 Exhibit List filed by Nannette Stoflet, Martin Robbins, Thomas
Gieck, Daniel Donkel, Carol Chesemore Plaintiffs' Exhibits Admitted Into
Evidence at Trial: PX-386, Pt. 1, Closing Transcript (Attachments:
# 1 Exhibit PX-386, Pt. 2 - Closing Transcript,
# 2 Exhibit PX-386, Pt. 3 - Closing Transcript,
# 3 Exhibit PX-391A - Trachte Financials as of August 29, 2007,
# 4 Exhibit PX-395D - BWVS Final Fairness Opinion,
# 5 Exhibit PX-395E - BWVS Final Fairness Opinion,
# 6 Exhibit PX-407 - Letter Regarding New Trachte ESOP dated 10/3/2007,
# 7 Exhibit PX-409B - Alliance Compensation Committee Meeting Minutes dated
11/16/07,
# 8 Exhibit PX-416B - Trachte Valuation as of December 31, 2007) (Bunch,
Monya) (Entered: 10/28/2011)

10/28/2011

601 Exhibit to 491 Exhibit List filed by Nannette Stoflet, Martin Robbins, Thomas
Gieck, Daniel Donkel, Carol Chesemore Plaintiffs' Exhibits Admitted into Evidence
at Trial: PX-422B - March 2008 Trachte Board Minutes (Attachments:
# 1 Exhibit PX-423 - Minutes of May 2008 Trachte Board Meeting,
# 2 Exhibit PX-425B - Trachte Valuation as of December 31, 2008,
# 3 Exhibit PX-434 - Instrument of Spinoff,
# 4 Exhibit PX-451 - Chesemore's 2009 ESOP Statement,
# 5 Exhibit PX-487 - Letter from Aumiller to Mastrangelo and Seefeldt re: Initial
Information,
# 6 Exhibit PX-494 - Backlog Chart,
# 7 Exhibit PX-499 - Alpha Summary Exhibit re: Production) (Bunch, Monya)
(Entered: 10/28/2011)

10/31/2011

602 Joint Exhibit 35 (CD) to 591 filed by Pamela Klute, Jeffrey A. Seefeldt and James
Mastrangelo. (Received by Clerk's Office and filed in exhibit room) (voc)
(Entered: 10/31/2011)

11/09/2011

603 Exhibit List by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin
Robbins and Nannette Stoflet. (voc) (Entered: 11/09/2011)

11/09/2011

604 Exhibit List by Defendants Pamela Klute, James Mastrangelo and Jeffrey A.
Seefeldt. (voc) (Entered: 11/09/2011)

11/09/2011

605 Exhibit List by Defendants Alpha Investment Consulting Group, LLC and John
Michael Maier. (voc) (Entered: 11/09/2011)

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11/09/2011

606 Exhibit List by Defendants AH Transition Corporation, Alliance Holdings, Inc.,
Alliance Holdings, Inc. Employee Stock Ownership Plan and David B. Fenkell.
(voc) (Entered: 11/09/2011)

11/23/2011

607 Motion to Compel Production of Documents from Defendant David B. Fenkell by
Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins,
Nannette Stoflet. Motions referred to Magistrate Judge Stephen L. Crocker.
Response due 11/30/2011. (Swanson, Robyn) (Entered: 11/23/2011)

11/23/2011

608 Declaration of Robyn M. Swanson filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 607 Motion to
Compel, (Attachments:
# 1 Exhibit A - Plaintiffs' First Request for Production o f Documents to Defendant
Fenkell dated June 20, 2011,
# 2 Exhibit B - Responses and Objections to Plaintiffs' Request for Production of
Documents to Defendant Fenkell dated July 20, 2011) (Swanson, Robyn) (Entered:
11/23/2011)

11/23/2011

609 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 11/23/2011)

11/28/2011

Telephone Motion Hearing set as to 607 Motion to Compel Production of
Documents from Defendant David B. Fenkell. Telephone Motion Hearing set for
12/7/2011 at 11:00 AM before Magistrate Judge Stephen L. Crocker. Counsel for
Plaintiff responsible for setting up the call to chambers at [phone]. (voc)
(Entered: 11/28/2011)

11/30/2011

610 Joint Motion for Hearing Parties' Joint Request for Telephonic Status Conference
by Defendants A.H.I., Inc., AH Transition Corporation, Alliance Holdings, Inc.,
Alliance Holdings, Inc. Employee Stock Ownership Plan, Alpha Investment
Consulting Group, LLC, Employee Stock Ownership Plan, David B. Fenkell,
Pamela Klute, John Michael Maier, James Mastrangelo, Stephen W. Pagelow,
Jeffrey A. Seefeldt, Trachte Building Systems, Inc. Employee Stock Ownership
Plan, Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Nannette Stoflet.
Response due 12/7/2011. (Barton, Robert) (Entered: 11/30/2011)

11/30/2011

611 Certificate of Service by Defendants AH Transition Corporation, Alliance
Holdings, Inc. Employee Stock Ownership Plan, Alpha Investment Consulting
Group, LLC, David B. Fenkell, Pamela Klute, John Michael Maier, James
Mastrangelo, Stephen W. Pagelow, Jeffrey A. Seefeldt, Trachte Building Systems,
Inc. Employee Stock Ownership Plan, Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins, Nannette Stoflet (Barton, Robert) (Entered:
11/30/2011)

11/30/2011

612 ** TEXT ONLY ORDER **
ORDER setting telephone status conference for 12/2/2011 at 9:00 AM. Counsel for
Plaintiff is responsible for setting up the call to chambers at [phone].
Signed by District Judge William M. Conley on 11/30/2011. (llj) (Entered:
11/30/2011)

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613 Brief in Opposition by Defendant David B. Fenkell re: 607 Motion to Compel,
filed by Nannette Stoflet, Martin Robbins, Thomas Gieck, Daniel Donkel, Carol
Chesemore (Attachments:
# 1 Certificate of Service) (Sobel, Ryan) (Entered: 11/30/2011)

12/02/2011

Minute Entry for proceedings held before District Judge William M. Conley:
Telephone Status Conference held on 12/2/2011 [:10] (mfh) (Entered: 12/02/2011)

12/02/2011

614 ** TEXT ONLY ORDER **
At a status/scheduling conference held today, the court set the following schedule:
Plaintiffs damages expert report and any supporting legal brief regarding
appropriate relief shall be filed not later than January 16, 2012; Defendants
response to the damage expert report and any response brief shall be filed not later
than February 16, 2012. Trial to the court on damages shall commence February
27, 2012. Signed by District Judge William M. Conley on 12/2/2011. (voc)
(Entered: 12/02/2011)

12/02/2011

Set/Reset Trial Deadlines/Hearings: Court Trial set for 2/27/2012 at 08:00 AM.
(voc) (Entered: 12/02/2011)

12/06/2011

615 Brief in Reply by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet in Support of 607 Motion to Compel, (Plaintiffs'
Reply In Support Of Their Motion To Compel Production Of Documents From
Defendant David B. Fenkell) (Swanson, Robyn) (Entered: 12/06/2011)

12/06/2011

616 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 12/06/2011)

12/07/2011

12/07/2011

Minute Entry for proceedings held before District Judge William M. Conley:
Telephone Motion Hearing held on 12/7/2011 re 607 Motion to Compel Production
of Documents from Defendant David B. Fenkell filed by Nannette Stoflet, Martin
Robbins, Thomas Gieck, Daniel Donkel, Carol Chesemore [:15] (mfh) (Entered:
12/07/2011)
617 ** TEXT ONLY ORDER **
ORDER granting 607 Motion to Compel. On December 7, 2011, the Court held a
telephonic hearing on plaintiffs Motion to Compel Production of Documents from
Defendant David B. Fenkell 607 . Attorneys for all parties were present. Plaintiffs
and defendant Fenkell appear to agree that disgorgement is a proper remedy for a
breach of fiduciary duty or a prohibited transaction under ERISA § 409. Their
discovery dispute concerns whether such a claim against Fenkell remains in light
of the courts finding at summary judgment that the spin-off of the Trachte
employees holdings in the Alliance ESOP complied with the technical
requirements of ERISA § 208. Section 406(b) of ERISA, however, prohibits a
fiduciary from dealing with plan assets in his own interest or receiving any
consideration from any party dealing with a plan in connection with a transaction
involving plan assets. Fenkell argues that if the spin-off complied with § 208, then
he could not be found to have used plan assets for a prohibited transaction while
acting in his fiduciary capacity. Unfortunately for Fenkell, the court has not yet
ruled on this liability issue and disgorgement of funds received under the Phantom

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Stock plan remain a potential remedy. Accordingly, plaintiffs Motion to Compel is
GRANTED except insofar as plaintiffs seek to compel discovery of Fenkells
income tax returns. Signed by District Judge William M. Conley on 12/7/2011.
(voc) (Entered: 12/07/2011)
12/27/2011

618 Motion for Extension of Time to Submit Phase 2 Expert Reports & Briefs on
Damages and Relief by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet. Motions referred to Magistrate Judge Stephen L.
Crocker. Response due 1/3/2012. (Barton, Robert) Modified on 1/18/2012 (voc).
(Entered: 12/27/2011)

01/03/2012

619 Brief in Opposition by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt re: 618 MOTION for Extension of Time, filed by Nannette Stoflet, Martin
Robbins, Thomas Gieck, Daniel Donkel, Carol Chesemore (Wolf, Charles)
(Entered: 01/03/2012)

01/03/2012

620 Certificate of Service by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt (Wolf, Charles) (Entered: 01/03/2012)

01/03/2012

621 Brief in Opposition by Defendants A.H.I., Inc., AH Transition Corporation,
Alliance Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan,
David B. Fenkell re: 618 MOTION for Extension of Time, filed by Nannette
Stoflet, Martin Robbins, Thomas Gieck, Daniel Donkel, Carol Chesemore (Sealed
Document) (Attachments:
# 1 Exhibit (1) Feb. 15, 2011 Email,
# 2 Exhibit (2) Sept. 8, 2011 Email,
# 3 Exhibit (3) Sept. 12, 2011 Email,
# 4 Exhibit (4) Nov. 4, 2011 Email,
# 5 Exhibit (5) Nov. 15, 2011 Email,
# 6 Exhibit (6) Nov. 29, 2011 Letter,
# 7 Exhibit (7) Dec. 5, 2011 Email,
# 8 Exhibit (8) Dec. 22, 2011 Email,
# 9 Exhibit (9) Dec. 27, 2011 Email,
# 10 Exhibit (10) Jan. 3, 2012 Email) (Sobel, Ryan) (Entered: 01/03/2012)

01/03/2012

622 Certificate of Service by Defendants A.H.I., Inc., AH Transition Corporation,
Alliance Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan,
David B. Fenkell (Sobel, Ryan) (Entered: 01/03/2012)

01/06/2012

623 Motion to Compel Production of Documents from Defendant Fenkell by Plaintiffs
Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette
Stoflet. Motions referred to Magistrate Judge Stephen L. Crocker. Response due
1/13/2012. (Swanson, Robyn) (Entered: 01/06/2012)

01/06/2012

624 Declaration of Robyn Swanson filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 623 Motion to
Compel, (Sealed Document) (Attachments:
# 1 Exhibit A - Swanson email dated December 13, 2011,
# 2 Exhibit B - Sobel email dated December 21, 2011,
# 3 Exhibit C - Sobel email dated December 21, 2011 and related attachments,

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# 4 Exhibit D - Barton letter dated December 23, 2011,
# 5 Exhibit E - Sobel email dated December 27, 2011,
# 6 Exhibit F part 1 - Sobel email dated December 30, 2011 and related
attachments,
# 7 Exhibit F part 2 - attachments to Sobel email dated December 30, 2011,
# 8 Exhibit F part 3 - attachments to Sobel email dated December 30, 2011,
# 9 Exhibit F part 4 - attachments to Sobel email dated December 30, 2011,
# 10 Exhibit F part 5 - attachments to Sobel email dated December 30, 2011,
# 11 Exhibit F part 6 - attachments to Sobel email dated December 30, 2011,
# 12 Exhibit F part 7- attachments to Sobel email dated December 30, 2011,
# 13 Exhibit F part 8 - attachments to Sobel email dated December 30, 2011,
# 14 Exhibit F part 9 - attachments to Sobel email dated December 30, 2011)
(Swanson, Robyn) (Entered: 01/06/2012)
01/06/2012

625 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 01/06/2012)

01/09/2012

626 Brief in Reply by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet in Support of 618 MOTION for Extension of
Time, (Barton, Robert) (Entered: 01/09/2012)

01/09/2012

627 Declaration of R. Joseph Barton filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet (in re: Reply in Support )
re: 618 MOTION for Extension of Time, (Attachments:
# 1 Exhibit A-1 (Plaintiffs' Second Request for Production of Documents from
Defendants Alliance Holdings, Inc. and A.H.I., Inc. issued on October 28, 2010),
# 2 Exhibit A-2 (Objections and Responses to Plaintiffs' Second Request for
Production of Documents from Defendants Alliance Holdings, Inc. and A.H.I., Inc.
dated December 14, 2010),
# 3 Exhibit B (Letters from Ryan Sobel dated August 22 and August 31, 2011),
# 4 Exhibit C (Email from Sobel to Barton dated December 26, 2011),
# 5 Exhibit D (Email from Sobel to Barton dated January 3, 2012)) (Barton,
Robert) (Entered: 01/09/2012)

01/09/2012

628 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Barton, Robert) (Entered: 01/09/2012)

01/09/2012

Set Telephone Hearing as to 623 Motion to Compel Production of Documents from
Defendant Fenkell. Telephone Motion Hearing set for 1/18/2012 at 09:00 AM
before Judge William M. Conley. Counsel for Plaintiff responsible for setting up
the call to chambers at [phone]. (voc) (Entered: 01/09/2012)

01/13/2012

629 ** TEXT ONLY ORDER **
ORDER re: 618 Plaintiff's deadline for expert report is suspended pending the
outcome of the hearing scheduled for Jan. 18, 2012 at 9:00 a.m. Signed by District
Judge William M. Conley on 1/12/2012. (voc) (Entered: 01/13/2012)

01/13/2012

630 Brief in Opposition by Defendant David B. Fenkell re: 623 Motion to Compel,
filed by Nannette Stoflet, Martin Robbins, Thomas Gieck, Daniel Donkel, Carol
Chesemore (Attachments:

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# 1 Unreported Case: Kumar v. Hilton Hotels Corp.,
# 2 Unreported Case: EEOC v. Premier Well Services,
# 3 Certificate of Service) (Sobel, Ryan) (Entered: 01/13/2012)
01/18/2012

Minute Entry for proceedings held before District Judge William M. Conley:
Telephone Motion Hearing held on 1/18/2012 re 623 Motion to Compel
Production of Documents from Defendant Fenkell filed by Nannette Stoflet, Martin
Robbins, Thomas Gieck, Daniel Donkel, Carol Chesemore, 618 Motion for
Extension of Time to Submit Phase 2 Expert Reports & Briefs on Damages and
Relief filed by Nannette Stoflet, Martin Robbins, Thomas Gieck, Daniel Donkel,
Carol Chesemore [:25] (Court Reporter LS.) (mfh) (Entered: 01/18/2012)

01/18/2012

631 ORDER granting 618 Motion for Extension of Time; Plaintiffs expert reports are
now due on or before February 15, 2012; responses are due on or before March 15,
2012; and the phase 2 trial to the court shall commence on Wednesday, April 25,
2012. Motion to Compel 623 is granted in part and denied in part. Signed by
District Judge William M. Conley on 1/18/2012. (voc) (Entered: 01/18/2012)

01/18/2012

Reset Trial Hearing: Court Trial set for 4/25/2012 at 08:30 AM. (voc) (Entered:
01/18/2012)

02/08/2012

632 Notice of Withdrawal of Counsel by Marc I. Machiz re: Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet
(Machiz, Marc) (Entered: 02/08/2012)

02/08/2012

633 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Machiz, Marc) (Entered: 02/08/2012)

02/15/2012

634 Response re: 614 Text Only Order, 631 Order on Motion for Extension of Time,,
Order on Motion to Compel, (Plaintiffs' Memorandum on Remedies and Relief) by
Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins,
Nannette Stoflet. (Barton, Robert) (Entered: 02/15/2012)

02/15/2012

635 Declaration of R. Joseph Barton re 634 Response to Order, (Plaintiffs'
Memorandum on Remedies and Relief) (Attachments:
# 1 Exhibit A - Alpha Insurance Documents- See also document 636 (Sealed))
(Barton, Robert) Modified on 2/16/2012 (voc). (Entered: 02/15/2012)

02/15/2012

636 Exhibit A-Part 1 to 635 Declaration of R. Joseph Barton (Pt.1) - Alpha Insurance
Documents (Sealed Document) (Attachments:
# 1 Exhibit A- Part 2 - Alpha Insurance Documents (Barton, Robert) Modified on
2/16/2012 (jaf). Modified on 2/16/2012 (voc). (Entered: 02/15/2012)

02/15/2012

637 Expert Report of Kevin Kreitzman by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins, Nannette Stoflet (Sealed Document) (Barton,
Robert) (voc). (Additional attachment(s) added on 2/17/2012:
# 1 Appendix 1- BWVS Free Cash Flow Valuation-Corrected,
# 2 Appendix 2- Illustration of BWVS Free Cash Flow,
# 3 Appendix 3- Values of Trachte Employee's Accounts,
# 4 Appendix 4- Trachte Employee's Contributions,
# 5 Appendix 5- Trachte Building Systems 2002-2007 Comparison Transactions,

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# 6 Appendix 6- Documents Considered for Phase II,
# 7 Appendix 7- Comparison of the Transaction Prices to the Current Values of
Trachte) (voc). Modified on 2/17/2012 (voc). (Entered: 02/15/2012)
02/15/2012

638 Disregard. See docket entry 640 . Requested attorney refile exhibits as separate
attachments on 2/16/2012 (jaf). Modified on 2/17/2012 (jaf). (Entered: 02/15/2012)

02/15/2012

639 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Barton, Robert) (Entered: 02/15/2012)

02/16/2012

640 Expert Report of Michael L. Spang by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins, Nannette Stoflet (Sealed Document)
(Attachments:
# 1 Appendices A1-A4 - Payment and Account Balances,
# 2 Appendices B-B1 - Securities and Stock Purchases,
# 3 Appendices C-C1 - Asset Value and Cash Flow Analysis,
# 4 Appendices E-E1 - Asset Balances and Values,
# 5 Appendix F - Ending Balances,
# 6 Exhibit 1 - Spang Resume,
# 7 Exhibit 2 - Documents Considered,
# 8 Exhibit 3 - Statements Reviewed) (Barton, Robert) Modified on 2/17/2012
(jaf). (Entered: 02/16/2012)

03/01/2012

641 Transcript of telephonic motion hearing, held 1/18/12 before Judge William M.
Conley. Court Reporter: LS.
Please review the court policy regarding electronic transcripts: see Electronic
Transcript Instructions and Notice of Intent to Request Redaction. (krj) (Entered:
03/01/2012)

03/07/2012

642 Motion to Strike 637 Expert Report,, (Portions Of) by Defendants Pamela Klute,
James Mastrangelo, Jeffrey A. Seefeldt. Response due 3/14/2012. (Attachments:
# 1 Exhibit A - Transcript of January 18, 2012 Hearing) (Spangler, Patrick)
Modified on 3/8/2012 (jaf). (Entered: 03/07/2012)

03/07/2012

643 Exhibit B to 642 Motion to Strike filed by Pamela Klute, Jeffrey A. Seefeldt, James
Mastrangelo Kreitzman's Original Report (Sealed Document) (Spangler, Patrick)
Modified on 3/8/2012 (jaf). (Entered: 03/07/2012)

03/07/2012

644 Exhibit C to 642 Motion to Strike filed by Pamela Klute, Jeffrey A. Seefeldt, James
Mastrangelo Kreitzman's Rebuttal Report (Sealed Document) (Spangler, Patrick)
Modified on 3/8/2012 (jaf). (Entered: 03/07/2012)

03/07/2012

645 Certificate of Service by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt (Spangler, Patrick) (Entered: 03/07/2012)

03/09/2012

646 Transcript of First Day of Court Trial, Volume 1-A, held 10/11/2011 before Judge
William M. Conley. Court Reporter: LS.
Please review the court policy regarding electronic transcripts: see Electronic
Transcript Instructions and Notice of Intent to Request Redaction. (voc) (Entered:
03/09/2012)

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03/09/2012

647 Transcript of First Day of Court Trial, Volume 1-C, held 10/11/2011 before Judge
William M. Conley. Court Reporter: LS.
Please review the court policy regarding electronic transcripts: see Electronic
Transcript Instructions and Notice of Intent to Request Redaction. (voc) (Entered:
03/09/2012)

03/12/2012

648 Transcript of First Day of Court Trial, Volume 1-B, held 10/11/2011 before Judge
William M. Conley. Court Reporter: CS.
Please review the court policy regarding electronic transcripts: see Electronic
Transcript Instructions and Notice of Intent to Request Redaction. (lak) (Entered:
03/12/2012)

03/12/2012

649 Unopposed Motion for Extension of Time to Respond to Defendants' 642 Motion
to Strike Portions of Kevin Kreitzman's Phase 2 Report by Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet.
Motions referred to Magistrate Judge Stephen L. Crocker. (Rinaldi, Bruce)
Modified on 3/13/2012 (voc). (Entered: 03/12/2012)

03/12/2012

650 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Rinaldi, Bruce) (Entered: 03/12/2012)

03/13/2012

651 ** TEXT ONLY ORDER **
ORDER granting 649 Motion for Extension of Time to respond to Defendants' 642
motion to strike portions of Kevin Kreitzman's phase 2 report. Brief in Opposition
due 3/16/2012. Signed by Magistrate Judge Stephen L. Crocker on 3/12/2012.
(voc) (Entered: 03/13/2012)

03/13/2012

Reset Deadlines as to 642 Motion to Strike 637 Expert Report, (Portions Of). Brief
in Opposition due 3/16/2012. (voc) (Entered: 03/13/2012)

03/13/2012

652 Transcript of Second Day of Court Trial, held 10/12/2011, Volume 2-B, before
Judge William M. Conley. Court Reporter: LS.
Please review the court policy regarding electronic transcripts: see Electronic
Transcript Instructions and Notice of Intent to Request Redaction. (voc) (Entered:
03/13/2012)

03/15/2012

653 Transcript of Telephonic Status Conference, held 12/2/2011 before Judge William
M. Conley. Court Reporter: LS.
Please review the court policy regarding electronic transcripts: see Electronic
Transcript Instructions and Notice of Intent to Request Redaction. (voc) (Entered:
03/15/2012)

03/15/2012

654 Transcript of Fourth Day of Court Trial, Volume 4-B, held 10/14/2011 before
Judge William M. Conley. Court Reporter: LS.
Please review the court policy regarding electronic transcripts: see Electronic
Transcript Instructions and Notice of Intent to Request Redaction. (voc) (Entered:
03/15/2012)

03/15/2012

655 Transcript of third day of court trial, Volume 3-A, held 10/13/11 before Judge
William M. Conley. Court Reporter: LS.
Please review the court policy regarding electronic transcripts: see Electronic

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Transcript Instructions and Notice of Intent to Request Redaction. (krj) (Entered:
03/15/2012)
03/15/2012

656 Response re: 631 Order on Motion for Extension of Time,, Order on Motion to
Compel, Response to Plaintiffs' Memo on Remedies and Relief by Defendants
Alpha Investment Consulting Group, LLC, John Michael Maier. (Convery, James)
(Entered: 03/15/2012)

03/15/2012

657 Response re: 631 Order on Motion for Extension of Time,, Order on Motion to
Compel, by Defendants Pamela Klute, James Mastrangelo, Jeffrey A. Seefeldt.
(Wolf, Charles) (Entered: 03/15/2012)

03/15/2012

658 Exhibit to 657 Response to Order filed by Pamela Klute, Jeffrey A. Seefeldt, James
Mastrangelo Exhibit 1 - Supplemental Expert Report (Sealed Document) (Wolf,
Charles) Modified on 3/16/2012 (jaf). (Entered: 03/15/2012)

03/15/2012

659 Certificate of Service by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt (Wolf, Charles) (Entered: 03/15/2012)

03/15/2012

660 Trial Brief (Phase 2 - Damages) by Defendants AH Transition Corporation,
Alliance Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan,
David B. Fenkell (Attachments:
# 1 Unreported Case: Adair v. Unisys Corp.,
# 2 Unreported Case: McDannold v. Star Bank,
# 3 Unreported Case: Neil v. Zell,
# 4 Unreported Case: Pa Chiropractic Assn v. Blue Cross,
# 5 Unreported Case: Richards v. Ernst & Young,
# 6 Street v. Ingalls Mem. Hosp.,
# 7 Certificate of Service) (Sobel, Ryan) (Entered: 03/15/2012)

03/15/2012

661 Expert Report of John D. Davis, CPA/ABV, CVA, CFE by Defendants AH
Transition Corporation, Alliance Holdings, Inc., Alliance Holdings, Inc. Employee
Stock Ownership Plan, David B. Fenkell (Sealed Document) (Attachments:
# 1 Certificate of Service) (Sobel, Ryan) (Entered: 03/15/2012)

03/16/2012

662 Brief in Opposition by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet re: 642 Motion to Strike, filed by Pamela Klute,
Jeffrey A. Seefeldt, James Mastrangelo (Brief in Opposition to Defendants' Motion
to Strike Portions of Kevin Kreitzman's Phase 2 Report) (Barton, Robert) (Entered:
03/16/2012)

03/16/2012

663 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Barton, Robert) (Entered: 03/16/2012)

03/19/2012

664 Transcript of Second Day of Court Trial, Volume 2-A, held 10/12/2011 before
Judge William M. Conley. Court Reporter: CS.
Please review the court policy regarding electronic transcripts: see Electronic
Transcript Instructions and Notice of Intent to Request Redaction. (voc) (Entered:
03/19/2012)

03/19/2012

665 Transcript of Second Day of Court Trial, Volume 2-C, held 10/12/2011 before
Judge William M. Conley. Court Reporter: CS.

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Transcript Instructions and Notice of Intent to Request Redaction. (voc) (Entered:
03/19/2012)
03/22/2012

666 Transcript of Third Day of Court Trial, Volume 3-B, held 10/13/2011 before Judge
William M. Conley. Court Reporter: CS.
Please review the court policy regarding electronic transcripts: see Electronic
Transcript Instructions and Notice of Intent to Request Redaction. (voc) (Entered:
03/22/2012)

03/22/2012

667 Notice by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin
Robbins, Nannette Stoflet (Notice of Filing of Appendix D to the Report of
Plaintiffs' Expert & Summary Witness Report of Michael Spang). (Barton, Robert)
(Entered: 03/22/2012)

03/22/2012

668 Exhibit to 669 Expert Report of Michael Spang (Corrected) filed by Nannette
Stoflet, Martin Robbins, Thomas Gieck, Daniel Donkel, Carol Chesemore
(Appendix D to Expert and Summary Witness Report of Michael L. Spang) (Sealed
Document) (Barton, Robert) Modified on 3/23/2012 (jaf). (Entered: 03/22/2012)

03/22/2012

669 Disregard; to be refiled. Expert Report of Michael Spang (Corrected) by Plaintiffs
Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette
Stoflet (Sealed Document) (Barton, Robert) Requested attorney refile with exhibits
attached and described on 3/23/2012 (jaf). (Entered: 03/22/2012)

03/22/2012

670 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Barton, Robert) (Entered: 03/22/2012)

03/23/2012

671 Expert Report of Michael Spang by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins, Nannette Stoflet (Sealed Document)
(Attachments:
# 1 Appendices A1-A4 - Payment and Account Balances,
# 2 Appendices B-B1 - Securities and Stock Purchases,
# 3 Appendices C-C1 - Asset Value and Cash Flow Analysis,
# 4 Appendix D - Asset Value Over Time,
# 5 Appendices E-E1 - Asset Values and Balances,
# 6 Appendix F - Ending Balances,
# 7 Exhibit 1 - Spang Resume,
# 8 Exhibit 2 - Documents Considered,
# 9 Exhibit 3 - Statements Reviewed) (Barton, Robert) (Entered: 03/23/2012)

03/26/2012

672 Exhibit List - Plaintiffs' Identification of Phase 2 Trial Exhibits by Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins and Nannette Stoflet.
(Attachments:
# 1 Plaintiffs' Phase 2 Trial Exhibit List) (Barton, Robert) Modified on 3/27/2012
(voc). (Entered: 03/26/2012)

03/26/2012

673 Witness List - Plaintiffs' Identification of Witnesses to be Called at Phase 2 of Trial
by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins and
Nannette Stoflet (Barton, Robert) Modified on 3/27/2012 (voc). (Entered:
03/26/2012)

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03/26/2012

674 Deposition Designations (Phase 2) by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins, Nannette Stoflet. (Barton, Robert) (Entered:
03/26/2012)

03/26/2012

675 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Barton, Robert) (Entered: 03/26/2012)

03/28/2012

676 Transcript of Fifth Day of Court Trial, Volume 5, held 10/17/2011 before Judge
William M. Conley. Court Reporter: LS.
Please review the court policy regarding electronic transcripts: see Electronic
Transcript Instructions and Notice of Intent to Request Redaction. (voc) (Entered:
03/28/2012)

03/28/2012

677 ORDER denying 288 Motion for Summary Judgment by Defendants Alpha
Investment Consulting Group, LLC and John Michael Maier. Denying 292 Motion
for Summary Judgment by Defendants Pamela Klute, James Mastrangelo and
Jeffrey A. Seefeldt. Granting in part and denying in part 299 Motion for Summary
Judgment by Defendants A.H.I., Inc., Alliance Holdings, Inc., Alliance Holdings,
Inc., Employee Stock Ownership Plan and David B. Fenkell. Granting 303 Motion
for Summary Judgment Defendant Stephen W. Pagelow. Granting in part and
denying in part 307 Motion for Partial Summary Judgment by Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins and Nannette Stoflet.
Signed by District Judge William M. Conley on 3/28/2012. (voc) (Entered:
03/28/2012)

03/30/2012

678 Transcript of Fourth Day of Court Trial, Volume 4-A, held 10/14/2011 before
Judge William M. Conley. Court Reporter: CS.
Please review the court policy regarding electronic transcripts: see Electronic
Transcript Instructions and Notice of Intent to Request Redaction. (voc) (Entered:
03/30/2012)

03/30/2012

679 Transcript of Sixth Day of Court Trial, Volume 6A, held 10/18/2011 before Judge
William M. Conley. Court Reporter: LS.
Please review the court policy regarding electronic transcripts: see Electronic
Transcript Instructions and Notice of Intent to Request Redaction. (voc) (Entered:
03/30/2012)

04/02/2012

680 Transcript of Sixth Day of Court Trial, Volume 6-B, held 10/18/2011 before Judge
William M. Conley. Court Reporter: CS.
Please review the court policy regarding electronic transcripts: see Electronic
Transcript Instructions and Notice of Intent to Request Redaction. (voc) (Entered:
04/02/2012)

04/05/2012

681 Expert Report of Michael L. Spang (Supplemental) by Plaintiffs Carol Chesemore,
Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet (Sealed
Document) (Attachments:
# 1 Appendix G - 2007 Transaction Proportionate Share (89%),
# 2 Appendix G-1 - 2007 Transaction Proportionate Share (83%),
# 3 Exhibit 4 - Schedule of Production by Date) (Barton, Robert) (Entered:
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04/05/2012

682 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Barton, Robert) (Entered: 04/05/2012)

04/06/2012

683 Transcript of 7th Day Jury Trial, Volume 7, held 10/19/2011 before Judge William
M. Conley. Court Reporter: CS.
Please review the court policy regarding electronic transcripts: see Electronic
Transcript Instructions and Notice of Intent to Request Redaction. (llj) (Entered:
04/06/2012)

04/10/2012

684 Joint Motion for Hearing (Status Conference) by Defendants A.H.I., Inc., AH
Transition Corporation, Alliance Holdings, Inc., Alliance Holdings, Inc. Employee
Stock Ownership Plan, Alpha Investment Consulting Group, LLC, Employee
Stock Ownership Plan, David B. Fenkell, Pamela Klute, John Michael Maier,
James Mastrangelo, Jeffrey A. Seefeldt, Trachte Building Systems, Inc. Employee
Stock Ownership Plan, Cross Defendants Alliance Holdings, Inc., Alliance
Holdings, Inc., Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin
Robbins, Nannette Stoflet, Cross Claimants Pamela Klute, Pamela Klute, James
Mastrangelo, James Mastrangelo, Jeffrey A. Seefeldt, Jeffrey A. Seefeldt.
(Attachments:
# 1 Certificate of Service) (Sobel, Ryan) (Entered: 04/10/2012)

04/10/2012

685 ** TEXT ONLY ORDER **
ORDER granting 684 Motion for Hearing.Telephone Status Conference set for
4/13/2012 at 01:30 PM. Signed by District Judge William M. Conley on 4/10/2012.
(voc) (Entered: 04/10/2012)

04/11/2012

686 Exhibit List (Amended Plaintiffs' Phase 2 Exhibit List) by Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet.
(Barton, Robert) (Entered: 04/11/2012)

04/11/2012

687 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Barton, Robert) (Entered: 04/11/2012)

04/13/2012

Minute Entry for proceedings held before District Judge William M. Conley:
Telephone Status Conference held on 4/13/2012 [:30] (skv) (Entered: 04/13/2012)

04/16/2012

688 ** TEXT ONLY ORDER **
Plaintiffs may file for leave to amend the complaint to add Karen Fenkell no later
than 5/7/2012. Court Trial set for 7/25/2012 at 8:30 AM. Telephone Status
Conference set for 7/13/2012 at 01:00 PM before Judge William M. Conley.
Counsel for Plaintiff responsible for setting up the call to chambers at (608)
264-5087. Signed by District Judge William M. Conley on 4/16/2012. (voc)
(Entered: 04/16/2012)

04/16/2012

Set Hearing: Court Trial set for 7/25/2012 at 08:30 AM. (voc) (Entered:
04/16/2012)

05/03/2012

689 Motion to Amend 254 Amended Complaint,, by Plaintiffs Carol Chesemore,
Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet. Brief in
Opposition due 5/10/2012. Brief in Reply due 5/17/2012. (Bunch, Monya)
(Entered: 05/03/2012)

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05/03/2012

690 Declaration of Monya M. Bunch filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 689 Motion to
Amend Complaint (Attachments:
# 1 Exhibit A - Plaintiffs' Proposed Third Amended Complaint,
# 2 Exhibit B - Excerpted pages (redline) from Proposed Third Amended
Complaint,
# 3 Exhibit C - August and September Fenkell Statements (Filed Under Seal),
# 4 Exhibit D - October Fenkell Statements (Filed Under Seal),
# 5 Exhibit E - Email from R. Sobel to J. Barton and J. Wedel 3.21.2012 (Filed
Under Seal)) (Bunch, Monya) (Entered: 05/03/2012)

05/03/2012

691 Exhibit C - August and September Fenkell Statements to 690 Declaration,, filed by
Nannette Stoflet, Martin Robbins, Thomas Gieck, Daniel Donkel, Carol
Chesemore (Sealed Document) (Attachments:
# 1 Exhibit D - October Fenkell Statements,
# 2 Exhibit E - Email from R. Sobel to J. Barton and J. Wedel 3.21.2012) (Bunch,
Monya) Modified on 5/4/2012 (jaf). (Entered: 05/03/2012)

05/03/2012

692 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Bunch, Monya) (Entered: 05/03/2012)

05/10/2012

693 Brief in Opposition by Defendants A.H.I., Inc., AH Transition Corporation,
Alliance Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan,
David B. Fenkell re: 689 Motion to Amend Complaint filed by Nannette Stoflet,
Martin Robbins, Thomas Gieck, Daniel Donkel, Carol Chesemore (Attachments:
# 1 Unreported Case: Am. Top English v. Lexicon,
# 2 Unreported Case: Amich v. Sedgwick,
# 3 Unreported Case: Beauchem v. Rockford Prods.,
# 4 Unreported Case: In re Bernard Madoff,
# 5 Unreported Case: Rizzo v. Wheaton Police Dept.,
# 6 Certificate of Service) (Sobel, Ryan) (Entered: 05/10/2012)

05/10/2012

694 Declaration of Ryan A. Sobel filed by Defendants A.H.I., Inc., AH Transition
Corporation, Alliance Holdings, Inc., Alliance Holdings, Inc. Employee Stock
Ownership Plan, David B. Fenkell re: 689 Motion to Amend Complaint
(Attachments:
# 1 Exhibit (1) E-mail of 2-6-12,
# 2 Exhibit (2) SQUIRE03865 - SQUIRE03866, with cover letter of 9/7/10,
# 3 Certificate of Service) (Sobel, Ryan) (Entered: 05/10/2012)

05/17/2012

695 Deposition of John D. Davis taken on April 13, 2012 (Bunch, Monya) (Entered:
05/17/2012)

05/17/2012

696 Brief in Reply by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet in Support of 689 Motion to Amend Complaint
(Bunch, Monya) (Entered: 05/17/2012)

05/17/2012

697 Declaration of R. Joseph Barton filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet (Re: Reply In Support of
Plaintiffs' Motion for Leave to Amend the Complaint) re: 689 Motion to Amend

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Complaint (Bunch, Monya) (Entered: 05/17/2012)
05/17/2012

698 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Bunch, Monya) (Entered: 05/17/2012)

06/25/2012

699 Witness List & Exhibit List (Phase Two) by Defendants Pamela Klute, James
Mastrangelo, Jeffrey A. Seefeldt (Spangler, Patrick) Advised counsel to file exhibit
list and witness list separately. Modified on 6/26/2012 (voc). (Entered: 06/25/2012)

06/25/2012

700 Certificate of Service by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt (Spangler, Patrick) (Entered: 06/25/2012)

06/25/2012

701 Rule 26(a)(3) Pretrial Disclosures by Defendants AH Transition Corporation,
Alliance Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan,
David B. Fenkell, Cross Defendants Alliance Holdings, Inc., Alliance Holdings,
Inc. (Sobel, Ryan) Advised counsel to file exhibit list and witness list separately.
Modified on 6/26/2012 (voc). (Entered: 06/25/2012)

06/25/2012

702 Witness List by Defendants Alpha Investment Consulting Group, LLC, John
Michael Maier (Convery, James) (Entered: 06/25/2012)

06/25/2012

703 Exhibit List by Defendants Alpha Investment Consulting Group, LLC, John
Michael Maier. (Convery, James) (Entered: 06/25/2012)

06/25/2012

704 Witness List (Plaintiffs' Identification of Witnesses to be Called at Phase 2 Trial)
by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins,
Nannette Stoflet (Barton, Robert) (Entered: 06/25/2012)

06/25/2012

705 Exhibit List (Plaintiffs' Second Amended Identification of Phase 2 Trial Exhibits)
by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins,
Nannette Stoflet. (Barton, Robert) (Entered: 06/25/2012)

06/25/2012

706 Deposition Designations (Plaintiffs' Identification of Witnesses Whose Testimony
May Be Presented by Deposition at Trial) by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet. (Barton, Robert)
(Entered: 06/25/2012)

06/25/2012

707 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Barton, Robert) (Entered: 06/25/2012)

06/25/2012

708 Notice by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin
Robbins, Nannette Stoflet re 681 Expert Report, (Notice of Submission of
Corrected Appendix G to Report of Plaintiff's Expert Michael L. Spang). (Sealed
Document) (Attachments:
# 1 Explanation of Error,
# 2 Corrected Exhibit G) (Barton, Robert) Advised counsel to refile Exhibit "G"
separately. Modified on 6/26/2012 (voc). (Entered: 06/25/2012)

06/25/2012

709 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Barton, Robert) (Entered: 06/25/2012)

06/26/2012

710 Exhibit to 681 Expert Report, filed by Nannette Stoflet, Martin Robbins, Thomas
Gieck, Daniel Donkel, Carol Chesemore (Corrected Appendix G) (Sealed

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Document) (Barton, Robert) (Entered: 06/26/2012)
06/26/2012

711 Witness List :Alliance Defendants' Rule 26(a)(3) Identification of Live Witnesses
for Phase 2 of Trial, filed by Defendants AH Transition Corporation, Alliance
Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan, David B.
Fenkell (Sobel, Ryan) (Entered: 06/26/2012)

06/26/2012

712 Exhibit List :Alliance Defendants' Rule 26(a)(3) Identification of Exhibits for
Phase 2 of Trial, filed by Defendants AH Transition Corporation, Alliance
Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan, David B.
Fenkell. (Sobel, Ryan) (Entered: 06/26/2012)

06/28/2012

Telephone Status Conference previously set for 7/13/2012 has been rescheduled to
7/16/2012 at 1:00 PM to accommodate the court's calendar. Counsel for Plaintiff
responsible for setting up the call to chambers at [phone]. (voc) (Entered:
06/28/2012)

07/09/2012

713 Objections to Trial Exhibits by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins, Nannette Stoflet. (Barton, Robert) (Entered:
07/09/2012)

07/09/2012

714 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Barton, Robert) (Entered: 07/09/2012)

07/09/2012

715 Objections to Trial Exhibits by Defendants AH Transition Corporation, Alliance
Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan, David B.
Fenkell (Sobel, Ryan) Modified on 7/10/2012 (voc). (Entered: 07/09/2012)

07/09/2012

716 Objection to Rule 26(a)(3) Designation of Deposition Testimony by Defendants
AH Transition Corporation, Alliance Holdings, Inc., Alliance Holdings, Inc.
Employee Stock Ownership Plan, David B. Fenkell (Sobel, Ryan) Modified on
7/10/2012 (voc). (Entered: 07/09/2012)

07/09/2012

717 Objections to Trial Exhibits by Defendants Pamela Klute, James Mastrangelo,
Jeffrey A. Seefeldt. (Spangler, Patrick) (Entered: 07/09/2012)

07/09/2012

718 Certificate of Service by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt (Spangler, Patrick) (Entered: 07/09/2012)

07/10/2012

719 Transcript of Telephonic Status Conference, held 4/3/2012 before Judge William
M. Conley. Court Reporter: CS.
Please review the court policy regarding electronic transcripts: see Electronic
Transcript Instructions and Notice of Intent to Request Redaction. (voc) (Entered:
07/10/2012)

07/10/2012

720 Objections to Trial Exhibits Objections to Plaintiffs' Phase 2 Trial Exhibit List by
Defendants Alpha Investment Consulting Group, LLC, John Michael Maier.
(Convery, James) (Entered: 07/10/2012)

07/10/2012

721 Stipulation for Phase 2 by Defendants AH Transition Corporation, Alliance
Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan, Alpha
Investment Consulting Group, LLC, Employee Stock Ownership Plan, David B.
Fenkell, Pamela Klute, John Michael Maier, James Mastrangelo, Stephen W.

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Pagelow, Jeffrey A. Seefeldt, Trachte Building Systems, Inc. Employee Stock
Ownership Plan, Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet. (Barton, Robert) (Entered: 07/10/2012)
07/10/2012

722 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Barton, Robert) (Entered: 07/10/2012)

07/12/2012

723 Disregard - refiled as entry 726 ;Requested that condensed version of deposition be
filed on 7/13/2012 (krj). Modified on 7/13/2012 (mmo). (Entered: 07/12/2012)

07/12/2012

724 Motion to Strike 658 Exhibit (Portions of Robert J. Gross' Phase 2 Expert
Testimony by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin
Robbins, Nannette Stoflet. Response due 7/19/2012. (Bunch, Monya) (Entered:
07/12/2012)

07/12/2012

725 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Bunch, Monya) (Entered: 07/12/2012)

07/13/2012

726 Deposition of Robert Gross taken on June 12, 2012. (Bunch, Monya) Modified
docket text on 7/13/2012 (mmo). (Entered: 07/13/2012)

07/16/2012

Minute Entry for proceedings held before District Judge William M. Conley:
Telephone Status Conference held on 7/16/2012. Court trial to start July 25th at
3:00 p.m. - half days with criminal trial. [:15] (mfh) (Entered: 07/16/2012)

07/19/2012

727 Brief in Opposition by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt re: 724 Motion to Strike filed by Nannette Stoflet, Martin Robbins,
Thomas Gieck, Daniel Donkel, Carol Chesemore (Attachments:
# 1 Exhibit (1) Gross's initial report,
# 2 Exhibit (2) Gross's rebuttal report,
# 3 Exhibit (3) Gross's supplemental report) (Wolf, Charles) (Entered: 07/19/2012)

07/19/2012

728 Certificate of Service by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt (Wolf, Charles) (Entered: 07/19/2012)

07/20/2012

729 Notice to Counsel: Court trial scheduled for 7/25/2012 will take place in courtroom
260. (lak) (Entered: 07/20/2012)

07/23/2012

730 Notice by Defendants AH Transition Corporation, Alliance Holdings, Inc.,
Alliance Holdings, Inc. Employee Stock Ownership Plan, David B. Fenkell : Letter
Re: Alliance Defendants' Phase II Trial Exhibits (Nos. 2871 to 3090). (Sobel,
Ryan) (Entered: 07/23/2012)

07/23/2012

731 Notice by Defendants Pamela Klute, James Mastrangelo, Jeffrey A. Seefeldt
(Letter to Court filing Trustee Defendants' Phase 2 Trial Exhibits T-1638 - T-1647).
(Stathas, Lynn) (Entered: 07/23/2012)

07/23/2012

732 Supplemental Exhibit List by Defendants AH Transition Corporation, Alliance
Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan, David B.
Fenkell. (Sobel, Ryan) (Entered: 07/23/2012)

07/24/2012

733 POST TRIAL ORDER. Motion to Strike 472 by plaintiffs is denied. Motion for
leave to amend complaint 689 is granted in part and reserved in part. Signed by

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District Judge William M. Conley on 7/24/2012. (voc) (Entered: 07/24/2012)
07/24/2012

734 Revised Notice to Counsel: Court trial scheduled for 7/25/2012 will take place in
courtroom 250. (lak) (Entered: 07/24/2012)

07/24/2012

735 ORDER granting in part and denying in part 642 Motion to Strike Portions of
Kevin Kreitzman's Phase 2 Report, granting in part and denying in part 724 Motion
to Strike Portions of Robert Gross' Phase 2 Expert Testimony. Signed by District
Judge William M. Conley on 7/24/2012. (arw) (Entered: 07/24/2012)

07/25/2012

736 ORDER that Plaintiffs' motion for leave to amend their complaint to add Karen
Fenkell as a defendant and to assert a claim against her as a gratuitous transferee in
violation of ERISA § 502(a)(3) dkt. # 689 is GRANTED. Plaintiffs' proposed third
amended complaint dkt. # 690 -1 is now the operative pleading in this case. Signed
by District Judge William M. Conley on 7/25/2012. (voc) (Entered: 07/25/2012)

07/25/2012

Set/Reset Trial Date: Second Day Court Trial set for 7/26/2012 at 3:00 PM. (lak)
(Entered: 07/25/2012)

07/25/2012

737 Response to Discovery Request from David B. Fenkell (Sealed Document) by
Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins,
Nannette Stoflet. (Bunch, Monya) (Entered: 07/25/2012)

07/25/2012

738 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Bunch, Monya) (Entered: 07/25/2012)

07/26/2012

Set/Reset Trial Date: Third Day Court Trial set for 7/27/2012 at 3:00 PM. (lak)
(Entered: 07/26/2012)

07/26/2012

739 Notice by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin
Robbins, Nannette Stoflet (Plaintiffs' Request for Judicial Notice of Exhibit).
(Attachments:
# 1 Exhibit A - Historical Zero Coupon Bond Prices of U.S. Treasury Separate
Trading of Registered Interest and Principal of Securities (STRIPS)) (Bunch,
Monya) (Entered: 07/26/2012)

07/26/2012

740 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Bunch, Monya) (Entered: 07/26/2012)

07/26/2012

741 Minute Entry for proceedings held before District Judge William M. Conley: 1st
Day Court Trial held on 7/25/2012 Trial continues. [3:55] (Court Reporter LS.)
(voc) (Entered: 07/26/2012)

07/26/2012

742 Minute Entry for proceedings held before District Judge William M. Conley: 2nd
Day Court Trial held on 7/26/2012 Trial continues. [3:55] (Court Reporter LS.)
(voc) (Entered: 07/30/2012)

07/27/2012

743 Minute Entry for proceedings held before District Judge William M. Conley: 3rd
Day Court Trial held on 7/30/2012. [1:40] (Court Reporter LS.) (voc) (Entered:
07/30/2012)

08/16/2012

744 Request for Issuance of Summons by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins, Nannette Stoflet. (Bunch, Monya) (Entered:

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08/16/2012)
08/17/2012

745 Disregard. See docket entry 747 . Modified on 8/17/2012. (voc/lk) Modified on
8/23/2012: counsel contacted the court, indicated wrong document was attached.
(arw) Modified on 8/24/2012 (jaf). (Entered: 08/17/2012)

08/17/2012

746 Summons Issued as to Karen Fenkell. (voc) (Entered: 08/17/2012)

08/23/2012

747 AMENDED COMPLAINT (THIRD AMENDED COMPLAINT) against A.H.I.,
Inc., AH Transition Corporation, Alliance Holdings, Inc., Alliance Holdings, Inc.
Employee Stock Ownership Plan, Alpha Investment Consulting Group, LLC,
Employee Stock Ownership Plan, David B. Fenkell, Karen Fenkell, Pamela Klute,
John Michael Maier, James Mastrangelo, Jeffrey A. Seefeldt, Trachte Building
Systems, Inc. Employee Stock Ownership Plan, filed by All Plaintiffs. (Bunch,
Monya) (Entered: 08/23/2012)

08/27/2012

Set Hearings: Settlement Conference set for 9/28/2012 at 9:00 AM in courtroom
360 before Peter Oppeneer. Any submissions of the parties must be received at
[e-mail] by noon on 9/26/2012. (jaf) (Entered:
08/27/2012)

09/07/2012

748 Notice by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin
Robbins, Nannette Stoflet Plaintiffs' Notice Regarding the Status of Defendants'
Affirmative Defenses. (Barton, Robert) (Entered: 09/07/2012)

09/07/2012

749 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Barton, Robert) (Entered: 09/07/2012)

10/01/2012

Minute Entry for proceedings held before Magistrate Judge Peter A. Oppeneer:
Settlement Conference held on 9/28/2012 [6:30] (jaf) (Entered: 10/01/2012)

10/01/2012

750 ** TEXT ONLY ORDER **
Mediation was held on 9/28/2012 during which the parties did not reach a final
settlement. Signed by Magistrate Judge Peter A. Oppeneer on 9/28/2012. (jaf)
(Entered: 10/01/2012)

10/16/2012

751 Stipulation for Acknowledgement of Service by Karen Fenkell (Stipulation
Regarding Service of & Response to the Third Amended Complaint) by Plaintiffs
Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette
Stoflet, Defendant Karen Fenkell. (Attachments:
# 1 Certificate of Service Certificate of Service) (Bunch, Monya) (Entered:
10/16/2012)

11/19/2012

752 Motion to Supplement The Record by Defendants Pamela Klute, James
Mastrangelo, Jeffrey A. Seefeldt. Motions referred to Magistrate Judge Stephen L.
Crocker. (Wolf, Charles) (Entered: 11/19/2012)

11/19/2012

753 Certificate of Service by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt (Wolf, Charles) (Entered: 11/19/2012)

11/27/2012

754 Brief in Opposition by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet re: 752 Motion to Supplement filed by Pamela
Klute, Jeffrey A. Seefeldt, James Mastrangelo (Barton, Robert) (Entered:

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11/27/2012)
11/27/2012

755 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Barton, Robert) (Entered: 11/27/2012)

12/06/2012

756 Amended Motion to Supplement The Record by Defendants Pamela Klute, James
Mastrangelo, Jeffrey A. Seefeldt. Motions referred to Magistrate Judge Stephen L.
Crocker. (Wolf, Charles) Requested attorney refile with affidavit as an individual
docket entry on 12/7/2012 (jaf). See docket entry 758 for Affidavit on 12/11/2012
(jaf). (Entered: 12/06/2012)

12/06/2012

757 Certificate of Service by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt (Wolf, Charles) (Entered: 12/06/2012)

12/07/2012

758 Affidavit of Brian L. Anderson . (Attachments:
# 1 Exhibit A - Consent Resolutions,
# 2 Exhibit B - Agreement Executed by Alerus Financial, N.A.,
# 3 Certificate of Service) (Wolf, Charles) Modified on 12/10/2012 (jaf). (Entered:
12/07/2012)

01/08/2013

759 Notice of Supplemental Authority by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins, Nannette Stoflet re 634 Response to Order, .
(Attachments:
# 1 Exhibit Amara v. Cigna Corp.) (Barton, Robert) (Entered: 01/08/2013)

01/08/2013

760 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Barton, Robert) (Entered: 01/08/2013)

01/18/2013

761 Notice of Appearance filed by Charles Clark Jackson for Defendant Alliance
Holdings, Inc. (Attachments:
# 1 Certificate of Service) (Jackson, Charles) (Entered: 01/18/2013)

01/22/2013

762 Motion to Admit Katherine Elizabeth Kenny Pro Hac Vice. ( Pro Hac Vice fee $ 50
receipt number 0758-1113625.) by Defendant Alliance Holdings, Inc.. Motions
referred to Magistrate Judge Stephen L. Crocker. (Attachments:
# 1 Declaration of Katherine E. Kenny,
# 2 Certificate of Service) (Kenny, Katherine) (Entered: 01/22/2013)

01/23/2013

763 ** TEXT ONLY ORDER **
ORDER granting 762 Motion to Admit Katherine Elizabeth Kenny Pro Hac Vice.
Signed by Magistrate Judge Peter A. Oppeneer on 1/23/2013. (voc) (Entered:
01/23/2013)

01/29/2013

764 Notice of Withdrawal of Counsel by Robyn Michelle Swanson re: Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet
(Swanson, Robyn) (Entered: 01/29/2013)

01/29/2013

765 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Swanson, Robyn) (Entered: 01/29/2013)

04/26/2013

766 Notice of Appearance filed by Charles Clark Jackson for Defendants AH
Transition Corporation, Alliance Holdings, Inc. (Attachments:
# 1 Certificate of Service certificate of service) (Jackson, Charles) (Entered:

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04/26/2013)
04/29/2013

767 Motion to Withdraw : Motion of Squire Sanders (US) LLP and Hinshaw
Culbertson LLP for Leave to Withdraw as Counsel for Alliance Defendants by
Defendants A.H.I., Inc., AH Transition Corporation, Alliance Holdings, Inc.,
Alliance Holdings, Inc. Employee Stock Ownership Plan. Response due 5/6/2013.
(Sobel, Ryan) (Entered: 04/29/2013)

04/30/2013

768 Motion to Admit Lars C. Golumbic Pro Hac Vice. ( Pro Hac Vice fee $ 50 receipt
number 0758-1167964.) by Defendant Alliance Holdings, Inc. Employee Stock
Ownership Plan. Motions referred to Magistrate Judge Stephen L. Crocker.
(Golumbic, Lars) (Entered: 04/30/2013)

04/30/2013

769 ** TEXT ONLY ORDER **
ORDER granting 768 Motion to Admit Lars C. Golumbic Pro Hac Vice. Signed by
Magistrate Judge Peter A. Oppeneer on 4/30/2013. (voc) (Entered: 04/30/2013)

05/01/2013

770 Notice of Appearance filed by Lars C. Golumbic for Defendant Alliance Holdings,
Inc. Employee Stock Ownership Plan (Golumbic, Lars) (Entered: 05/01/2013)

05/03/2013

771 Notice of Appearance for Emily Glunz filed by Emily Anne Glunz for Defendants
AH Transition Corporation, Alliance Holdings, Inc., Cross Defendants Alliance
Holdings, Inc., Alliance Holdings, Inc. (Attachments:
# 1 Certificate of Service) (Glunz, Emily) (Entered: 05/03/2013)

05/03/2013

772 Motion for Leave to File Amended Answer Asserting Contingent Crossclaims for
Contribution and Indemnification by Defendants A.H.I., Inc., AH Transition
Corporation, Alliance Holdings, Inc.. (Attachments:
# 1 Exhibit A - Proposed Contingent Crossclaims) (Jackson, Charles) (Entered:
05/03/2013)

05/03/2013

773 Brief in Support of 772 Motion for Leave to File, by Defendants A.H.I., Inc., AH
Transition Corporation, Alliance Holdings, Inc. (Jackson, Charles) (Entered:
05/03/2013)

05/03/2013

774 Certificate of Service by Defendants A.H.I., Inc., AH Transition Corporation,
Alliance Holdings, Inc. (Jackson, Charles) (Entered: 05/03/2013)

05/03/2013

775 Notice of Appearance filed by Brian Arthur Price for Defendants David B. Fenkell,
Karen Fenkell (Price, Brian) (Entered: 05/03/2013)

05/06/2013

776 Motion to Withdraw as Attorney (Withdrawal of Squire Sanders (US) LLP and
Hinshaw Culbertson LLP from Representation of Alliance Defendants, Alliance
ESOP, and David Fenkell) by Defendants A.H.I., Inc., AH Transition Corporation,
Alliance Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan,
David B. Fenkell, Cross Defendants Alliance Holdings, Inc., Alliance Holdings,
Inc.. Response due 5/13/2013. (Sobel, Ryan) (Entered: 05/06/2013)

05/08/2013

777 Notice of Appearance filed by Douglas Andrew Rubel for Defendants David B.
Fenkell, Karen Fenkell (Rubel, Douglas) (Entered: 05/08/2013)

05/08/2013

778 Notice of Appearance filed by David Richard Johanson for Defendants David B.
Fenkell, Karen Fenkell (Johanson, David) (Entered: 05/08/2013)

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05/10/2013

779 Motion to Admit Sarah Adams Zumwalt Pro Hac Vice. ( Pro Hac Vice fee $ 50
receipt number 0758-1174206.) by Defendant Alliance Holdings, Inc. Employee
Stock Ownership Plan. Motions referred to Magistrate Judge Stephen L. Crocker.
(Zumwalt, Sarah) (Entered: 05/10/2013)

05/10/2013

780 Motion to Admit Julia E. Zuckerman Pro Hac Vice. ( Pro Hac Vice fee $ 50 receipt
number 0758-1174209.) by Defendant Alliance Holdings, Inc. Employee Stock
Ownership Plan. Motions referred to Magistrate Judge Stephen L. Crocker.
(Zuckerman, Julia) (Entered: 05/10/2013)

05/10/2013

781 ** TEXT ONLY ORDER **
ORDER granting 767 Motion of Squire Sanders (US) LLP and Hinshaw
Culbertson LLP for Leave to Withdraw as Counsel for Alliance Defendants by
Defendants A.H.I., Inc., AH Transition Corporation, Alliance Holdings, Inc.,
Alliance Holdings, Inc. Employee Stock Ownership Plan. Signed by District Judge
William M. Conley on 5/10/2013. (voc) (Entered: 05/10/2013)

05/10/2013

782 ** TEXT ONLY ORDER **
ORDER granting 776 Motion to Withdraw as Attorney. Attorney Angela M. Rust;
Ryan A. Sobel; Jeffrey J Wedel; Christopher Craig Woods; Lora L. Zimmer;
Kristen Marie Blankley and Patrick F. Koenen terminated Signed by District Judge
William M. Conley on 5/10/2013. (voc) (Entered: 05/10/2013)

05/10/2013

Set Briefing Deadlines as to 772 Motion for Leave to File Amended Answer
Asserting Contingent Crossclaims for Contribution and Indemnification. Response
due by 5/21/2013. (voc) (Entered: 05/10/2013)

05/13/2013

783 ** TEXT ONLY ORDER **
ORDER granting 780 Motion to Admit Julia E. Zuckerman Pro Hac Vice. Signed
by Magistrate Judge Peter A. Oppeneer on 5/13/2013. (voc) (Entered: 05/13/2013)

05/13/2013

784 ** TEXT ONLY ORDER **
ORDER granting 779 Motion to Admit Sarah Adams Zumwalt Pro Hac Vice.
Signed by Magistrate Judge Peter A. Oppeneer on 5/13/13. (voc) (Entered:
05/13/2013)

05/14/2013

785 Unopposed Motion for Extension of Time to File Response to the Alliance
Defendants' Motion for Leave to Amend Answer to Assert Contingent Crossclaims
[DE 772 and 773] by Defendant David B. Fenkell. Motions referred to Magistrate
Judge Stephen L. Crocker. (Rubel, Douglas) Modified on 5/14/2013 (voc).
(Entered: 05/14/2013)

05/14/2013

786 Amended Motion for Extension of Time to File Responses to the Alliance
Defendants' Motion for Leave to Amend Answer to Assert Contingent Crossclaims
[DE 772-773] (Unopposed) by Defendant David B. Fenkell. Motions referred to
Magistrate Judge Stephen L. Crocker. (Rubel, Douglas) (Entered: 05/14/2013)

05/14/2013

787 ** TEXT ONLY ORDER **
ORDER granting 786 Motion for Extension of Time to File Responses to the
Alliance Defendants' Motion for Leave to Amend Answer. Brief in Opposition due
6/5/2013. Brief in Reply due 6/17/2013. Signed by District Judge William M.

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Conley on 5/14/2013. (voc) (Entered: 05/14/2013)
05/15/2013

788 Notice of Appearance for Christopher A. Weals filed by Christopher Alan Weals
for Defendants AH Transition Corporation, Alliance Holdings, Inc., Cross
Defendants Alliance Holdings, Inc., Alliance Holdings, Inc. (Weals, Christopher)
(Entered: 05/15/2013)

05/31/2013

789 ORDER that plaintiffs are entitled to judgment on all affirmative defenses alleged
in 258 answer by defendants James Mastrangelo, Jeffrey Seefeldt and Pamela
Klute and 261 answer by defendants A.H.I., Inc., Alliance Holdings, Inc. and
David B. Fenkell, except its standing defense which the court will resolve in the
remedies opinion. Signed by District Judge William M. Conley on 5/31/13. (krj)
(Entered: 05/31/2013)

06/04/2013

790 ORDER ruling on remedies. Signed by District Judge William M. Conley on
6/4/2013. (voc) (Entered: 06/04/2013)

06/05/2013

791 Brief in Support of 772 Motion for Leave to File, by Defendant Alliance Holdings,
Inc. Employee Stock Ownership Plan (Zuckerman, Julia) (Entered: 06/05/2013)

06/05/2013

792 Brief in Opposition by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet re: 772 Motion for Leave to File, filed by A.H.I.,
Inc., AH Transition Corporation, Alliance Holdings, Inc. (PLAINTIFFS'
OPPOSITION TO THE ALLIANCE ENTITIES' MOTION FOR LEAVE TO
AMEND THEIR ANSWER TO ASSERT CONTINGENT CROSSCLAIMS AGAINST
DEFENDANT DAVID B. FENKELL) (Attachments:
# 1 Exhibit A - Complaint (Spear v. Fenkell)) (Barton, Robert) (Entered:
06/05/2013)

06/05/2013

793 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Barton, Robert) (Entered: 06/05/2013)

06/05/2013

794 Corrected Brief in Opposition by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins, Nannette Stoflet re: 772 Motion for Leave to File,
filed by A.H.I., Inc., AH Transition Corporation, Alliance Holdings, Inc.
(PLAINTIFFS' OPPOSITION TO THE ALLIANCE ENTITIES' MOTION FOR
LEAVE TO AMEND THEIR ANSWER TO ASSERT CONTINGENT
CROSSCLAIMS AGAINST DEFENDANT DAVID B. FENKELL) (Attachments:
# 1 Exhibit A - Complaint (Spear v. Fenkell)) (Barton, Robert) (Entered:
06/05/2013)

06/05/2013

795 Brief in Opposition by Defendant David B. Fenkell re: 772 Motion for Leave to
File, filed by A.H.I., Inc., AH Transition Corporation, Alliance Holdings, Inc.
(Rubel, Douglas) (Entered: 06/05/2013)

06/05/2013

796 Certificate of Service by Defendant David B. Fenkell (Rubel, Douglas) (Entered:
06/05/2013)

06/06/2013

797 Certificate of Service by Defendant Alliance Holdings, Inc. Employee Stock
Ownership Plan (Zuckerman, Julia) (Entered: 06/06/2013)

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06/12/2013

798 ORDER denying 772 Motion for Leave to File Amended Answer Asserting
Contingent Crossclaims for Contribution and Indemnification. Signed by District
Judge William M. Conley on 6/12/2013. (voc) (Entered: 06/12/2013)

07/01/2013

799 Motion for Clarification re 790 Order on Motion to Supplement by Defendant
Alliance Holdings, Inc. Employee Stock Ownership Plan. Response due 7/8/2013.
(Attachments:
# 1 Text of Proposed Order) (Golumbic, Lars) (Entered: 07/01/2013)

07/01/2013

800 Declaration of Barbie L. Spear filed by Defendant Alliance Holdings, Inc.
Employee Stock Ownership Plan re: 799 Motion for Clarification (Attachments:
# 1 Exhibit A - Employee Stock Ownership Plan and Trust) (Golumbic, Lars)
Modified on 7/2/2013 (jaf). (Entered: 07/01/2013)

07/05/2013

801 Unopposed Motion for Extension of Time to Respond to Nominal Defendant
Alliance Holdings Inc. Employee Stock Ownership Plan's Motion for Clarification
of the Court's June 4, 2013 Opinion and Order by Plaintiffs Carol Chesemore,
Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet. Motions referred
to Magistrate Judge Stephen L. Crocker. (Bunch, Monya) (Entered: 07/05/2013)

07/05/2013

802 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Bunch, Monya) (Entered: 07/05/2013)

07/05/2013

803 MOTION TO DISMISS by Defendant Karen Fenkell. Brief in Opposition due
7/26/2013. Brief in Reply due 8/5/2013. (Rubel, Douglas) (Entered: 07/05/2013)

07/05/2013

804 Brief in Support of 803 Motion to Dismiss by Defendant Karen Fenkell
(Attachments:
# 1 Exhibit A: Fenkell Declaration - See also 806 ) (Rubel, Douglas) Requested
attorney file declaration as an individual docket entry on 7/8/2013 (jaf). Modified
on 7/9/2013 (jaf). (Entered: 07/05/2013)

07/05/2013

805 Certificate of Service by Defendant Karen Fenkell (Rubel, Douglas) (Entered:
07/05/2013)

07/08/2013

806 Declaration of Karen Fenkell filed by Defendant Karen Fenkell re: 803 Motion to
Dismiss (Rubel, Douglas) (Entered: 07/08/2013)

07/09/2013

807 ** TEXT ONLY ORDER **
ORDER granting 801 Motion for Extension of Time. Brief in Opposition due
7/16/2013. Signed by Magistrate Judge Stephen L. Crocker on 7/9/2013. (voc)
(Entered: 07/09/2013)

07/10/2013

808 ** TEXT ONLY ORDER **
Amending briefing schedule re: 803 Motion to dismiss by Defendant Karen
Fenkell. Brief in Opposition due 7/22/2013. Brief in Reply due 8/1/2013. Signed
by District Judge William M. Conley on 7/10/2013. (voc/mh) (Entered:
07/10/2013)

07/15/2013

809 Transcript of First Day of Court Trial, held 7/25/2012 before Judge William M.
Conley. Court Reporter: LS.
Please review the court policy regarding electronic transcripts: see Electronic

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Transcript Instructions and Notice of Intent to Request Redaction. (voc) Modified
trial date on 7/16/2013 (krj). (Entered: 07/15/2013)
07/15/2013

810 Transcript of Second Day Court Trial, held 7/26/2012 before Judge William M.
Conley. Court Reporter: LS.
Please review the court policy regarding electronic transcripts: see Electronic
Transcript Instructions and Notice of Intent to Request Redaction. (voc) Modified
trial date on 7/16/2013 (krj). (Entered: 07/15/2013)

07/15/2013

811 Transcript of Third Day of Court Trial, held 7/27/2012 before Judge William M.
Conley. Court Reporter: LS.
Please review the court policy regarding electronic transcripts: see Electronic
Transcript Instructions and Notice of Intent to Request Redaction. (voc) Modified
trial date on 7/16/2013 (krj). (Entered: 07/15/2013)

07/16/2013

812 Brief in Opposition by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet re: 799 Motion for Clarification filed by Alliance
Holdings, Inc. Employee Stock Ownership Plan (Barton, Robert) (Entered:
07/16/2013)

07/16/2013

813 Declaration of R. Joseph Barton filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet in Support of Plaintiffs'
Response re: 799 Motion for Clarification (Attachments:
# 1 Exhibit A - Alliance Holdings Website Information for Kenneth J. Wanko,
# 2 Exhibit B - Alliance Holdings Website Information for Barbie Spear,
# 3 Exhibit C - Alliance Holdings ESOP and Trust Summary Plan Description)
(Barton, Robert) (Entered: 07/16/2013)

07/16/2013

814 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet (Barton, Robert) (Entered: 07/16/2013)

07/16/2013

815 Brief in Opposition by Defendant David B. Fenkell re: 799 Motion for
Clarification filed by Alliance Holdings, Inc. Employee Stock Ownership Plan
(Rubel, Douglas) (Entered: 07/16/2013)

07/19/2013

816 Motion for Leave to File Reply Brief in Support of Motion for Clarification by
Defendant Alliance Holdings, Inc. Employee Stock Ownership Plan. (Attachments:
# 1 Text of Proposed Order Granting Motion for Leave to File Reply Brief in
Support of Motion for Clarification) (Golumbic, Lars) (Entered: 07/19/2013)

07/19/2013

817 Brief in Reply by Defendant Alliance Holdings, Inc. Employee Stock Ownership
Plan in Support of 799 Motion for Clarification, 816 Motion for Leave to File,
Reply Brief in Support of Motion for Clarification (Golumbic, Lars) (Entered:
07/19/2013)

07/22/2013

818 Brief in Opposition by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet re: 803 Motion to Dismiss filed by Karen Fenkell
(Plaintiffs' Opposition to Defendant Karen Fenkell's Motion to Dismiss) (Barton,
Robert) (Entered: 07/22/2013)

08/01/2013

819 Brief in Reply by Defendant Karen Fenkell in Support of 803 Motion to Dismiss
Count XVI of the Third Amended Complaint (Johanson, David) (Entered:

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08/01/2013)
08/01/2013

820 Certificate of Service by Defendant Karen Fenkell (Johanson, David) (Entered:
08/01/2013)

09/21/2013

821 Motion to Withdraw as Attorney Julia E. Zuckerman by Defendant Alliance
Holdings, Inc. Employee Stock Ownership Plan. (Zuckerman, Julia) (Entered:
09/21/2013)

09/21/2013

822 Notice of Withdrawal of Counsel by Julia E. Zuckerman re: Defendant Alliance
Holdings, Inc. Employee Stock Ownership Plan (Zuckerman, Julia) (Entered:
09/21/2013)

09/23/2013

823 ** TEXT ONLY ORDER **
ORDER granting 821 Motion to Withdraw as Attorney. Attorney Julia E.
Zuckerman terminated. Signed by Magistrate Judge Stephen L. Crocker on
9/23/2013. (voc) (Entered: 09/23/2013)

10/16/2013

824 ORDER granting in part and denying in part 799 Motion for Clarification of the
court's June 4, 2013, opinion and order. ; denying 803 Motion to Dismiss by
defendant Karen Fenkell and granting 816 Motion for Leave to File reply brief.
Signed by District Judge William M. Conley on 10/15/2013. (voc) (Entered:
10/16/2013)

10/23/2013

Minute Entry for proceedings held before District Judge William M. Conley:
Telephone Scheduling Conference held on 10/23/2013 [:40] (mfh) (Entered:
10/23/2013)

10/23/2013

825 AMENDED Scheduling Order: Dispositive Motions due 12/20/2013. Final Pretrial
Conference set for 3/6/2014 at 03:00 PM. Court Trial set for 3/10/2014 at 08:30
AM. Signed by District Judge William M. Conley on 10/23/2013. (voc) (Entered:
10/23/2013)

10/30/2013

826 Unopposed Motion for Extension of Time to File Answer or Otherwise Respond to
The Third Amended Complaint by Defendant Karen Fenkell. Motions referred to
Magistrate Judge Stephen L. Crocker. (Johanson, David) (Entered: 10/30/2013)

10/30/2013

827 Motion to Admit Willie E. Wilder Pro Hac Vice. ( Pro Hac Vice fee $ 50 receipt
number 0758-1249686.) by Defendant Alliance Holdings, Inc. Employee Stock
Ownership Plan. Motions referred to Magistrate Judge Stephen L. Crocker.
(Wilder, Willie) (Entered: 10/30/2013)

10/30/2013

828 ** TEXT ONLY ORDER **
ORDER granting 826 Motion for Extension of Time to Answer. Karen Fenkell
answer due 11/6/2013. Signed by Magistrate Judge Stephen L. Crocker . (voc)
(Entered: 10/30/2013)

10/30/2013

829 ** TEXT ONLY ORDER **
ORDER granting 827 Motion to Admit Willie E. Wilder Pro Hac Vice. Signed by
Magistrate Judge Peter A. Oppeneer on 10/30/2013. (voc) (Entered: 10/30/2013)

10/30/2013

830 Motion for Approval of Proposed Notice and Questionnaire to Class Members and
Request for Payment of Notice Costs by Defendants re 824 Order on Motion for

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Clarification,, Order on Motion to Dismiss,, Order on Motion for Leave to File, by
Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins,
Nannette Stoflet. Response due 11/6/2013. (Attachments:
# 1 SubClass Notice and Questionnaire) (Bunch, Monya) (Entered: 10/30/2013)
10/30/2013

831 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet as to 830 Motion for Approval of
Proposed Notice and Questionnaire to Class Members and Request for Payment of
Notice Costs by Defendants re 824 Order on Motion for Clarification,, Order on
Motion to Dismiss,, Order on Motion for Leave to File, . (Bunch, Monya)
(Entered: 10/30/2013)

11/06/2013

832 ANSWER to Amended Complaint , CROSSCLAIM against A.H.I., Inc., AH
Transition Corporation, Alliance Holdings, Inc. by Defendant Karen Fenkell.
(Johanson, David) Modified on 11/7/2013 (jaf). (Entered: 11/06/2013)

11/13/2013

833 Motion for Reconsideration re 824 Order on Motion for Clarification,, Order on
Motion to Dismiss,, Order on Motion for Leave to File, by Defendant Karen
Fenkell. Response due 11/20/2013. (Attachments:
# 1 Certificate of Service) (Johanson, David) (Entered: 11/13/2013)

11/13/2013

834 Brief in Support re: 833 Motion for Reconsideration re 824 Order on Motion for
Clarification,, Order on Motion to Dismiss,, Order on Motion for Leave to File, by
Defendant Karen Fenkell. Response due 11/20/2013. (Attachments:
# 1 Certificate of Service) (Johanson, David) Modified on 11/14/2013 (jaf).
(Entered: 11/13/2013)

11/15/2013

835 Response re: 824 Order on Motion for Clarification,, Order on Motion to Dismiss,,
Order on Motion for Leave to File, by Defendant Alliance Holdings, Inc..
(Attachments:
# 1 Exhibit A - Redline Proposed Changes to Notice) (Wilder, Willie) Modified on
11/18/2013 (jaf). (Entered: 11/15/2013)

11/15/2013

836 Response re: 824 Order on Motion for Clarification,, Order on Motion to Dismiss,,
Order on Motion for Leave to File, to Plaintiffs' Proposed Notice to the Subclass
and Accompanying Motion by Defendants A.H.I., Inc., AH Transition Corporation,
Alliance Holdings, Inc.. (Attachments:
# 1 Exhibit A (Part 1) - Combined Value Calculations,
# 2 Exhibit A (Part 2) - Combined Value Calcualtions,
# 3 Exhibit B - B. Spear Declaration - See also 838 ) (Jackson, Charles) Requested
attorney file declaration as separate docket entry ; modified on 11/18/2013 (jaf).
Modified on 11/19/2013 (jaf). (Entered: 11/15/2013)

11/15/2013

837 Response re: 824 Order on Motion for Clarification,, Order on Motion to Dismiss,,
Order on Motion for Leave to File, (To Plaintiff's Proposed Notice to the SubClass
and Accompanying Motion) by Defendants David B. Fenkell, Karen Fenkell.
(Attachments:
# 1 Exhibit A: Redline of Proposed Notice,
# 2 Certificate of Service) (Rubel, Douglas) (Entered: 11/15/2013)

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11/18/2013

838 Declaration of Barbie Spear re 836 Response to Order,, (Jackson, Charles)
(Entered: 11/18/2013)

11/20/2013

839 Brief in Opposition by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet re: 833 Motion for Reconsideration, filed by
Karen Fenkell (Barton, Robert) (Entered: 11/20/2013)

11/20/2013

840 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet as to 839 Brief in Opposition. (Barton,
Robert) (Entered: 11/20/2013)

11/20/2013

841 Motion for Reconsideration and Clarification/Modification of October 23, 2013
Scheduling Order re 825 Scheduling Order by Defendant Karen Fenkell. Response
due 11/27/2013. (Attachments:
# 1 Certificate of Service) (Johanson, David) (Entered: 11/20/2013)

11/20/2013

842 Brief in Support of 841 Motion for Reconsideration, Clarification/Modification of
October 23, 2013 Scheduling Order by Defendant Karen Fenkell (Attachments:
# 1 Certificate of Service) (Johanson, David) (Entered: 11/20/2013)

11/27/2013

843 Brief in Opposition by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet re 835 Response to Order, 836 Response to
Order,, (PLAINTIFFS' RESPONSE TO THE ALLIANCE ENTITIES & THE
ALLIANCE ESOP'S DISGUISED MOTIONS FOR RECONSIDERATION).
(Barton, Robert) (Entered: 11/27/2013)

11/27/2013

844 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet as to 843 Notice (Other),. (Barton,
Robert) (Entered: 11/27/2013)

11/27/2013

845 Brief in Opposition by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet 830 Motion for Miscellaneous Relief,
(Attachments:
# 1 Exhibit A - Redline of Proposed SubClass Notice and Questionnaire,
# 2 Exhibit B - Clean Version of Proposed Subclass Notice and Questionnaire)
(Bunch, Monya) Modified on 12/2/2013 (jaf). (Entered: 11/27/2013)

11/27/2013

846 MOTION TO DISMISS Karen Fenkell's Crossclaims by Defendants A.H.I.,
Inc., AH Transition Corporation, Alliance Holdings, Inc.. Brief in Opposition due
12/18/2013. Brief in Reply due 12/30/2013. (Jackson, Charles) (Entered:
11/27/2013)

11/27/2013

847 Brief in Support of 846 Motion to Dismiss by Defendants A.H.I., Inc., AH
Transition Corporation, Alliance Holdings, Inc. (Attachments:
# 1 Exhibit A - 2012 Amendment,
# 2 Exhibit B - Employment Agreement,
# 3 Exhibit C - Fenkell Complaint filed 3.22.2013) (Jackson, Charles) (Entered:
11/27/2013)

11/28/2013

848 Brief in Reply by Defendant Karen Fenkell in Support of 833 Motion for
Reconsideration, (Attachments:
# 1 Certificate of Service) (Johanson, David) (Entered: 11/28/2013)

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11/29/2013

849 Notice by Defendants David B. Fenkell, Karen Fenkell of Partial Settlement.
(Johanson, David) (Entered: 11/29/2013)

11/29/2013

850 Certificate of Service by Defendants David B. Fenkell, Karen Fenkell. (Johanson,
David) (Entered: 11/29/2013)

11/29/2013

851 Motion to Stay proceedings pending Partial Settlement and request for order to file
under seal partial settlement and in camera by Defendant Karen Fenkell. Response
due 12/6/2013. (Johanson, David) Modified on 12/2/2013 (voc). (Entered:
11/29/2013)

11/29/2013

852 Certificate of Service by Defendant Karen Fenkell. (Johanson, David) (Entered:
11/29/2013)

12/03/2013

853 ** TEXT ONLY ORDER **
Defendant Karen Fenkell's unopposed motion to stay proceedings pending partial
statement and request for order to file under seal partial settlement and in camera
(dkt. # 851 ) is GRANTED subject to plaintiffs filing the settlement term sheet
under seal and in camera on or before December 6, 2013. The court will hold a
telephonic status conference next Wednesday, December 11, 2013, at 9:30 a.m.
Plaintiffs to initiate the call to chambers at 608-264-5087. Telephone Status
Conference set for 12/11/2013 at 09:30 AM Signed by District Judge William M.
Conley on 12/3/2013. (voc) (Entered: 12/03/2013)

12/05/2013

854 Settlement Agreement Partial Settlement Term Sheet by Defendants David B.
Fenkell, Karen Fenkell (Johanson, David) Modified on 3/17/2014 (voc). (Entered:
12/05/2013)

12/06/2013

855 Motion for an Order That David Fenkell's Alliance ESOP Account May Be Used
To Satisfy the Award Against Him In the Court's Remedies Decision re 790 Order
on Motion to Supplement by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet. Response due 12/13/2013. (Attachments:
# 1 Exhibit A - Excerpt of Trial Transcript,
# 2 Exhibit B - Excerpt of Deposition Transcript of David Fenkell) (Barton,
Robert) (Entered: 12/06/2013)

12/06/2013

856 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet as to 855 Motion for an Order That David
Fenkell's Alliance ESOP Account May Be Used TO Satisfy the Award Against
Him In the Court's Remedies Decision re 790 Order on Motion to Supplement .
(Barton, Robert) (Entered: 12/06/2013)

12/09/2013

Set Telephone Status Conference: Telephone Status Conference rescheduled from
12/11/2013 at 09:30 AM to 12/11/2013 at 9:00 AM at the request of counsel.
Counsel for Plaintiff responsible for setting up the call to chambers at (608)
264-5087. (voc) (Entered: 12/09/2013)

12/11/2013

Minute Entry for proceedings held before District Judge William M. Conley:
Telephone Status Conference held on 12/11/2013 [:30] (Court Reporter LS.) (mfh)
(Entered: 12/11/2013)

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12/11/2013

857 ORDER denying as moot 833 Motion for Reconsideration ; 841 Motion for
Reconsideration and Clarification/Modification of October 23, 2013 Scheduling
Order and 846 Motion to Dismiss Karen Fenkell's Crossclaims. Telephone Hearing
set for 1/29/2014 at noon. Signed by District Judge William M. Conley on
12/11/2013. (voc) (Entered: 12/11/2013)

12/11/2013

Set Hearing: Telephone Hearing set for 1/29/2014 at 12:00 PM before Judge
William M. Conley. Counsel for Plaintiff responsible for setting up the call to
chambers at [phone]. (voc) (Entered: 12/11/2013)

12/12/2013

858 Transcript of Telephonic Hearing, held 12/11/13 before Judge William M. Conley.
Court Reporter: LS.
Please review the court policy regarding electronic transcripts: see Electronic
Transcript Instructions and Notice of Intent to Request Redaction. (rep) (Entered:
12/12/2013)

12/13/2013

859 Unopposed Motion for Extension of Time To File Opposition To Plaintiffs' Request
for an Order That David Fenkell's Alliance ESOP Account May Be Used To Satisfy
the Award Against Him In The Court's Remedies Decision by Defendant David B.
Fenkell. Motions referred to Magistrate Judge Stephen L. Crocker. Response due
12/20/2013. (Attachments:
# 1 Certificate of Service) (Johanson, David) (Entered: 12/13/2013)

12/16/2013

860 ** TEXT ONLY ORDER **
ORDER granting 859 Motion for Extension of Time. Brief in Opposition due
12/20/2013. Signed by District Judge William M. Conley on 12/16/2013. (voc)
(Entered: 12/16/2013)

12/20/2013

861 Unopposed Motion for Extension of Time to File Opposition to Plaintiff's Request
for an Order that David B. Fenkell's Alliance ESOP Account May be Used to
Satisfy the Award Against Him by Defendants David B. Fenkell, Karen Fenkell.
Motions referred to Magistrate Judge Stephen L. Crocker. (Attachments:
# 1 Certificate of Service) (Johanson, David) (Entered: 12/20/2013)

12/23/2013

862 ** TEXT ONLY ORDER **
ORDER granting 861 Motion for Extension of Time. Brief in Opposition due
12/24/2013. Signed by District Judge William M. Conley on 12/23/2013. (voc)
(Entered: 12/23/2013)

12/24/2013

863 Brief in Opposition by Defendant David B. Fenkell re: 855 Motion for
Miscellaneous Relief, filed by Nannette Stoflet, Martin Robbins, Thomas Gieck,
Daniel Donkel, Carol Chesemore (Attachments:
# 1 Text of Proposed Order,
# 2 Certificate of Service) (Rubel, Douglas) (Entered: 12/24/2013)

01/07/2014

864 Brief in Support of 855 Motion for Miscellaneous Relief, (Plaintiffs' Reply in
Support of Plaintiffs' Request for an Order that David Fenkell's Alliance ESOP
Account May Be Used to Satisfy the Award Against Him in the Court's Remedies
Decision) by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin
Robbins, Nannette Stoflet (Barton, Robert) (Entered: 01/07/2014)

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01/07/2014

865 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet as to 864 Brief in Support,. (Barton,
Robert) (Entered: 01/07/2014)

01/29/2014

866 ORDER granting in part and denying in part 855 Motion for an Order That David
Fenkell's Alliance ESOP Account May Be Used To Satisfy The Award Against
Him In The Court's Remedies Decision re 790 Order on Motion to Supplement.
Signed by District Judge William M. Conley on 1/28/2014. (lak) (Entered:
01/29/2014)

01/29/2014

Minute Entry for proceedings held before William M Conley: Telephone Hearing
held on 1/29/2014 [:25] (Court Reporter LS.) (mfh) (Entered: 01/29/2014)

01/29/2014

01/29/2014

867 ** TEXT ONLY ORDER **
The court held a telephonic conference today at which all of the parties appeared
by counsel. While the court was prepared to rule on all remaining issues, all parties
advised the court that they were close to settlement and asked for the court to hold
off on issuing any further decisions. The court reluctantly agreed to do so, but only
for a very limited period of time. Accordingly, (1) on or before February 5, 2014,
the parties shall advise the court whether this matter has been resolved; (2) on or
before February 12, 2014, the parties shall submit the terms of settlement and /or
proposed class notice; (3) on or before Saturday, February 15, 2014, any responses
to the February 12, 2014, submissions are due; (4) on or before Monday, February
17, 2014, any replies are due; and (5) the court hold will hold a telephonic hearing
on February 18, 2014, at 10:00 a.m. to address all remaining matters in dispute
and/or preliminarily approve the settlement and proposed class notice. Plaintiffs to
initiate the call to chambers at 608-264-5087. Telephone Status Conference set for
2/18/2014 at 10:00 AM before Judge William M. Conley. Counsel for Plaintiff
responsible for setting up the call to chambers at [phone]. Signed by
District Judge William M. Conley on 1/29/2014. (voc) (Entered: 01/29/2014)
Briefing set re: Settlement and/or Proposed class notice. Brief in Opposition due
2/15/2014. Brief in Reply due 2/17/2014. Signed by District Judge William M.
Conley on 1/29/2014. (voc) (Entered: 01/29/2014)

01/31/2014

868 Transcript of Telephonic Motion Hearing, held 1/29/2014 before Judge William M.
Conley. Court Reporter: LS.
Please review the court policy regarding electronic transcripts: see Electronic
Transcript Instructions and Notice of Intent to Request Redaction. (voc) (Entered:
01/31/2014)

02/05/2014

869 Status Report by Defendants David B. Fenkell, Karen Fenkell (Attachments:
# 1 Certificate of Service) (Rubel, Douglas) (Entered: 02/05/2014)

02/05/2014

870 Status Report by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet (Erlandson, Andrew) (Entered: 02/05/2014)

02/07/2014

871 Status Report (Supplemental) by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins, Nannette Stoflet (Erlandson, Andrew) (Entered:
02/07/2014)

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02/12/2014

872 Status Report by Defendants David B. Fenkell, Karen Fenkell (Attachments:
# 1 Certificate of Service) (Johanson, David) (Entered: 02/12/2014)

02/12/2014

873 Settlement Agreement (Agreement In Principle with Trustee Defendants and
Steven Pagelow) by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet, Defendants Pamela Klute, James Mastrangelo,
Stephen W. Pagelow, Jeffrey A. Seefeldt (Barton, Robert) (Entered: 02/12/2014)

02/12/2014

874 Settlement Agreement (Settlement Term Sheet with Alliance Defendants) by
Defendants A.H.I., Inc., AH Transition Corporation, Alliance Holdings, Inc.,
Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins,
Nannette Stoflet (Barton, Robert) (Entered: 02/12/2014)

02/12/2014

875 Settlement Agreement (Agreement with Trachte Building Systems and Trachte
Building Systems, Inc. ESOP) by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins, Nannette Stoflet, Defendant Trachte Building
Systems, Inc. Employee Stock Ownership Plan (Barton, Robert) (Entered:
02/12/2014)

02/12/2014

876 Motion for Preliminary Approval of Settlement Agreement by Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet.
(Attachments:
# 1 Proposed Settlement Class Notice) (Barton, Robert) (Entered: 02/12/2014)

02/13/2014

877 Notice by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin
Robbins, Nannette Stoflet re 876 Motion for Preliminary Approval of Settlement
Agreement (Notice of Filing of Plan of Allocation). (Attachments:
# 1 Plan of Allocation) (Barton, Robert) (Entered: 02/13/2014)

02/14/2014

878 Notice of Appearance (Personal) by Counsel at Telephonic Hearing for David B.
Fenkell and Karen G. Fenkell with Certificate of Service filed by David Richard
Johanson for Defendants David B. Fenkell, Karen Fenkell (Johanson, David)
(Entered: 02/14/2014)

02/14/2014

879 Motion to Clarify and Modify the Definition of the Class and Subclass by Plaintiffs
Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette
Stoflet. Response due 2/21/2014. (Barton, Robert) (Entered: 02/14/2014)

02/14/2014

880 Notice of Appearance (Notice of Personal Appearance by Class Counsel at
Hearing on February 18, 2014) filed by Robert Joseph Barton for Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet
(Barton, Robert) (Entered: 02/14/2014)

02/15/2014

881 Motion to Adopt Changes to the Proposed Class Notice by Defendants A.H.I., Inc.,
AH Transition Corporation, Alliance Holdings, Inc.. Response due 2/24/2014.
(Attachments:
# 1 Exhibit A - Redlined Version of Class Notice,
# 2 Exhibit B - Class Notice Incorporating Changes) (Jackson, Charles) Modified
on 2/18/2014 (jaf). (Entered: 02/15/2014)

02/15/2014

882 Brief in Opposition by Defendants David B. Fenkell, Karen Fenkell re 873
Settlement Agreement, 871 Status Report, 874 Settlement Agreement, 875

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Settlement Agreement, 870 Status Report [Response and Preliminary Objections of
Defendants David B. Fenkell and Karen G. Fenkell Regarding Plaintiffs' Settlement
Filings, Proposed Class Notice, February 12, 2014, Filings by Plaintiffs, and
Finalization of This Court's Orders]. (Attachments:
# 1 Exhibit A: Preliminary Proposed Objections and REvisions to Proposed Notice,
# 2 Certificate of Service) (Rubel, Douglas) Modified on 2/19/2014 (jaf). (Entered:
02/15/2014)
02/15/2014

883 Motion for Court-Ordered, Mandatory Settlement Conference by Defendants
David B. Fenkell, Karen Fenkell. Response due 2/24/2014. (Attachments:
# 1 Text of Proposed Order,
# 2 Certificate of Service) (Rubel, Douglas) (Entered: 02/15/2014)

02/17/2014

884 Brief in Opposition by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt re: 883 Motion for Miscellaneous Relief filed by David B. Fenkell, Karen
Fenkell (Attachments:
# 1 Certificate of Service) (Wolf, Charles) (Entered: 02/17/2014)

02/17/2014

885 Brief in Opposition by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet re: 883 Motion for Miscellaneous Relief filed by
David B. Fenkell, Karen Fenkell (Erlandson, Andrew) (Entered: 02/17/2014)

02/17/2014

886 Brief in Support of 876 Motion to Approve Settlement Agreement by Plaintiffs
Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette
Stoflet (Attachments:
# 1 Redlined/Revised Class Notice) (Barton, Robert) (Entered: 02/17/2014)

02/17/2014

887 Brief in Opposition by Defendants A.H.I., Inc., AH Transition Corporation,
Alliance Holdings, Inc. re: 883 Motion for Miscellaneous Relief filed by David B.
Fenkell, Karen Fenkell and re 882 Responses and Preliminary Objections by David
and Karen Fenkell (Jackson, Charles) (Entered: 02/17/2014)

02/17/2014

888 Brief in Opposition re: 881 Motion to Adopt Changes to the Proposed Class Notice
[Reply to the February 15, 2014, Alliance Entities' and Alliance ESOP's Motion to
Adopt Changes to the Class Notice]. (Attachments:
# 1 Certificate of Service) (Rubel, Douglas) Modified on 2/18/2014 (jaf). (Entered:
02/17/2014)

02/18/2014

Minute Entry for proceedings held before William M Conley: Status Conference
held on 2/18/2014. Preliminary settlement approved. Final Settlement hearing set
for 6/17/14 at 1:00 pm. [:55] (Court Reporter LS.) (rep) (Entered: 02/18/2014)

02/18/2014

Set Hearings: Settlement Approval Hearing set for 6/17/2014 at 01:00 PM. (rep)
(Entered: 02/18/2014)

02/19/2014

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889 ORDER denying as moot 830 Motion for Approval of Proposed Notice and
Questionnaire to Class Members and Request for Payment of Notice Costs by
Defendants. Denying as moot 881 Motion to Adopt Changes to the Proposed Class
Notice , Denying 883 Motion for Court-Ordered, Mandatory Settlement
Conference . Granting 876 Motion for Preliminary Approval of Settlement
Agreement. Signed by District Judge William M. Conley on 2/18/2014. (voc)

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(Entered: 02/19/2014)
02/26/2014

890 Transcript of Status Hearing, held 2/18/2014 before Judge William M. Conley.
Court Reporter: LS.
Please review the court policy regarding electronic transcripts: see Electronic
Transcript Instructions and Notice of Intent to Request Redaction. (voc) (Entered:
02/26/2014)

02/26/2014

891 Notice by Defendants A.H.I., Inc., AH Transition Corporation, Alliance Holdings,
Inc. Alliance Entities' Notice of Compliance with the Class Action Fairness Act, 28
U.S.C. 1715(b). (Attachments:
# 1 Exhibit 1 - Alliance Entities' CAFA Notice to US Attorney General,
# 2 Exhibit 2 - Alliance Entities' Sample CAFA Notice) (Jackson, Charles)
(Entered: 02/26/2014)

03/03/2014

892 Disregard. See docket entry 894 . Requested attorney refile with exhibits attached
individually and named on 3/4/2014 (jaf). Modified on 3/6/2014 (jaf). (Entered:
03/03/2014)

03/03/2014

893 Certificate of Service by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt as to 892 Notice (Other). (Spangler, Patrick) (Entered: 03/03/2014)

03/04/2014

894 Notice by Defendants Pamela Klute, James Mastrangelo, Jeffrey A. Seefeldt of
Compliance. (Attachments:
# 1 Exhibit 2/21/14 Letter from Patrick Spangler,
# 2 Exhibit 2/28/14 Letter from Patrick Spangler) (Spangler, Patrick) (Entered:
03/04/2014)

03/04/2014

895 Certificate of Service by Defendants Pamela Klute, James Mastrangelo, Jeffrey A.
Seefeldt as to 894 Notice (Other). (Spangler, Patrick) (Entered: 03/04/2014)

03/04/2014

896 Brief in Reply by Defendant Stephen W. Pagelow, Cross Defendants Stephen W.
Pagelow, Stephen W. Pagelow in Support of 879 Motion for Miscellaneous Relief
(Silver, Alan) (Entered: 03/04/2014)

03/05/2014

897 ** TEXT ONLY ORDER **
The court previously reserved on plaintiffs' motion to clarify and modify the
definitions of the class and subclass to exclude defendants (dkt. # 879 ) pending a
response from Stephen Pagelow. (2/19/14 Order (dkt. # 889 ) 5.) In light of
Pagelow's response, stating that he does not object to the motion (dkt. # 896 ),
plaintiffs' motion to amend the class definition (dkt. # 879 ) is GRANTED. Signed
by District Judge William M. Conley on 3/5/14. (jat) (Entered: 03/06/2014)

03/07/2014

898 Notice re: Settlement in Principle by Defendant Stephen W. Pagelow, Cross
Defendants Stephen W. Pagelow, Stephen W. Pagelow . (Attachments:
# 1 Exhibit March 5, 2014 CAFA Notice) (Silver, Alan) Modified on 3/10/2014
(jaf). (Entered: 03/07/2014)

03/10/2014

899 Settlement Agreement (Class Action Settlement Agreement Between Plaintiffs and
Defendants James Mastrangelo, Jeffrey Seefeldt, Pamela Klute and Stephen
Pagelow) by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin
Robbins, Nannette Stoflet, Defendants Pamela Klute, James Mastrangelo, Stephen

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W. Pagelow, Jeffrey A. Seefeldt (Barton, Robert) (Entered: 03/10/2014)
03/10/2014

900 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet as to 899 Settlement Agreement,. (Barton,
Robert) (Entered: 03/10/2014)

03/11/2014

901 Notice by Defendants David B. Fenkell, Karen Fenkell (Service of CAFA Notice).
(Attachments:
# 1 Exhibit A: CAFA Notice to Attorneys General,
# 2 Certificate of Service) (Rubel, Douglas) (Entered: 03/11/2014)

03/14/2014

902 Consent Motion to Unseal Document 854 by Defendants A.H.I., Inc., AH
Transition Corporation, Alliance Holdings, Inc.. Motions referred to Magistrate
Judge Stephen L. Crocker. (Jackson, Charles) (Entered: 03/14/2014)

03/17/2014

903 ** TEXT ONLY ORDER **
ORDER granting 902 Motion to Unseal Document 854 Settlement Agreement.
Signed by Magistrate Judge Stephen L. Crocker on 3/17/2014. (voc) (Entered:
03/17/2014)

03/21/2014

904 Unopposed Motion for Extension of Time to Issue Class Notice by Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet.
Motions referred to Magistrate Judge Stephen L. Crocker. (Barton, Robert)
(Entered: 03/21/2014)

03/21/2014

905 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet as to 904 Unopposed Motion for
Extension of Time to Issue Class Notice. (Barton, Robert) (Entered: 03/21/2014)

03/26/2014

906 ** TEXT ONLY ORDER **
The court is in receipt of plaintiffs' unopposed motion for extension of time to issue
class notices based on a new settlement agreement concerning plaintiffs' claims
regarding Fenkell's ESOP account. (Dkt. # 904 .) This motion is GRANTED as
follows: (1) this new settlement agreement and revised class notice shall be filed
on or before March 28, 2014, in order to be considered as part of this class
settlement; (2) if the settlement agreement is not filed by Friday, March 28, 2014,
class counsel shall send notices to class members by April 7, 2014; (3) if the
settlement agreement is filed by March 28, 2014, the court will promptly issue an
opinion on preliminary approval of the settlement, and class counsel shall send the
approved revised class notices within ten days of that order; (4) on or before May
7, 2014, class counsel shall file a declaration to the court confirming compliance
with notice procedures; and (5) class members shall have until May 31, 2014, to
review the terms of the settlement, return the questionnaire (for subclass members),
or object. All other dates in the court's February 19, 2014, order (dkt. # 889 )
remain in place. Signed by District Judge William M. Conley on 3/25/2014. (voc)
(Entered: 03/26/2014)

03/26/2014
03/28/2014

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Set Deadline: Settlement agreement due 3/28/2014. (voc) (Entered: 03/26/2014)
907 Settlement Agreement (Settlement Term Sheet between Plaintiffs and Alpha
Investment Consulting Group and John Michael Maier) by Defendants Alpha

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Investment Consulting Group, LLC, John Michael Maier, Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet.
(Barton, Robert) (Entered: 03/28/2014)
03/28/2014

908 Settlement Agreement (Partial Settlement Term Sheet Between Plaintifffs and
David B. Fenkell Regarding Plaintiffs' Claims Against David B. Fenkell's Alliance
ESOP Account) by Defendant David B. Fenkell. (Rubel, Douglas) (Entered:
03/28/2014)

03/28/2014

909 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet as to 907 Settlement Agreement. (Barton,
Robert) (Entered: 03/28/2014)

03/28/2014

910 Motion for Preliminary Approval of Settlement Agreement by Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet.
(Attachments:
# 1 Revised Plan of Allocation,
# 2 Updated Class Notice with Questionnaire) (Barton, Robert) (Entered:
03/28/2014)

03/28/2014

911 Certificate of Service by Defendant David B. Fenkell as to 908 Settlement
Agreement. (Rubel, Douglas) (Entered: 03/28/2014)

03/28/2014

912 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet as to 910 Motion for Preliminary
Approval of Settlement Agreement . (Barton, Robert) (Entered: 03/28/2014)

04/09/2014

913 ORDER granting 910 Motion for Preliminary Approval of Settlement Agreement
Settlement Approval Hearing set for 7/24/2014 at 01:00 PM Signed by District
Judge William M. Conley on 4/9/2014. (voc) (Entered: 04/09/2014)

04/15/2014

914 Notice by Defendants Alpha Investment Consulting Group, LLC, John Michael
Maier re 907 Settlement Agreement, Regarding 28 U.S.C. Section 1715(b).
(Attachments:
# 1 Exhibit 1- April 15, 2014 Notice ) (Convery, James) Modified on 4/16/2014
(voc). (Entered: 04/15/2014)

04/24/2014

915 Notice by Defendants David B. Fenkell, Karen Fenkell (Notice of Compliance With
28 U.S.C. Section 1715(b) (CAFA)). (Attachments:
# 1 Exhibit 1: Second CAFA Notice,
# 2 Certificate of Service) (Johanson, David) (Entered: 04/24/2014)

05/07/2014

916 Notice by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin
Robbins, Nannette Stoflet re 913 Order on Motion to Approve Settlement
Agreement (Notice of Filing Declaration Confirming Compliance with Class
Notice Procedures). (Barton, Robert) (Entered: 05/07/2014)

05/07/2014

917 Declaration of Nashira Washington re 916 Compliance with the Class Notice
Procedures. (Barton, Robert) Modified on 5/8/2014. (lak) (Entered: 05/07/2014)

05/15/2014

918 Motion to Appear by Telephone at Fairness Hearing by Defendant Alliance
Holdings, Inc. Employee Stock Ownership Plan. Motions referred to Magistrate

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05/16/2014

919 ** TEXT ONLY ORDER **
Nominal defendant Alliance Holdings, Inc. Employee Stock Ownership Plan's
motion 918 to appear at the fairness hearing via telephone is GRANTED. Signed
by District Judge William M. Conley on 5/16/2014. (voc) (Entered: 05/16/2014)

05/20/2014

920 Notice of Appearance filed by Brian L. Anderson for Defendant Trachte Building
Systems, Inc. Employee Stock Ownership Plan. (Anderson, Brian) (Entered:
05/20/2014)

06/12/2014

921 Motion for Payment of Incentive Awards to the Class Representatives by Plaintiffs
Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette
Stoflet. Response due 6/19/2014. (Barton, Robert) (Entered: 06/12/2014)

06/12/2014

922 Declaration of Carol Chesemore filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 921 Motion for
Payment of Incentive Awards to the Class Representatives. (Barton, Robert)
Modified on 6/12/2014. (lak) (Entered: 06/12/2014)

06/12/2014

923 Declaration of Daniel Donkle filed by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins, Nannette Stoflet re: 921 Motion for Payment of
Incentive Awards to the Class Representatives. (Barton, Robert) Modified on
6/12/2014. (lak) (Entered: 06/12/2014)

06/12/2014

924 Declaration of Martin Robbins filed by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins, Nannette Stoflet re: 921 Motion for Payment of
Incentive Awards to the Class Representatives. (Barton, Robert) Modified on
6/12/2014. (lak) (Entered: 06/12/2014)

06/12/2014

925 Declaration of Nannette Stoflet filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 921 Motion for
Payment of Incentive Awards to the Class Representatives. (Barton, Robert)
Modified on 6/12/2014. (lak) (Entered: 06/12/2014)

06/12/2014

926 Declaration of Thomas Gieck filed by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins, Nannette Stoflet re: 921 Motion for Payment of
Incentive Awards to the Class Representatives. (Barton, Robert) Modified on
6/12/2014. (lak) (Entered: 06/12/2014)

06/12/2014

927 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet as to 921 Motion for Payment of
Incentive Awards to the Class Representatives . (Barton, Robert) (Entered:
06/12/2014)

06/12/2014

928 Motion for Attorney Fees (Class Counsel's Motion for an Award of Attorney's Fees
and Reimbursement of Expenses) by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins, Nannette Stoflet. (Barton, Robert) (Main
Document 928 replaced on 6/13/2014) (voc). (Entered: 06/12/2014)

06/12/2014

929 Declaration of Jeff Burbach filed by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins, Nannette Stoflet re: 928 Motion for Attorney Fees

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(Barton, Robert) (Entered: 06/12/2014)
06/12/2014

930 Declaration of Bruce Rinaldi filed by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins, Nannette Stoflet re: 928 Motion for Attorney Fees
(Barton, Robert) (Entered: 06/12/2014)

06/12/2014

931 Declaration of Gary Greenwald filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 928 Motion for
Attorney Fees (Barton, Robert) (Entered: 06/12/2014)

06/12/2014

932 Declaration of Daniel Feinberg filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 928 Motion for
Attorney Fees (Barton, Robert) (Entered: 06/12/2014)

06/12/2014

933 Declaration of Andrew Erlandson filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 928 Motion for
Attorney Fees (Attachments:
# 1 Exhibit A - HBS Firm Listing of Graduation Years and Billing Rates) (Barton,
Robert) (Entered: 06/12/2014)

06/12/2014

934 Motion for Attorney Fees and Costs Pursuant to ERISA §502(g)(1) Against
Defendant David Fenkell, by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet. (Barton, Robert) (Main Document 934
replaced on 6/13/2014) (voc). (Entered: 06/13/2014)

06/13/2014

935 Disregard. Signature and exhibits missing. See 936 . Modified on 6/13/2014 (voc).
Modified on 6/16/2014. (lak) (Entered: 06/13/2014)

06/13/2014

Set Deadlines as to 928 Motion for Attorney Fees (Class Counsel's Motion for an
Award of Attorney's Fees and Reimbursement of Expenses), 934 Motion for
Attorney Fees (Plaintiffs' Motion for an Award of Attorney Fees and Costs
Pursuant to ERISA §502(g)(1) Against Defendant David Fenkell), 921 Motion for
Payment of Incentive Awards to the Class Representatives. Brief in Opposition due
6/27/2014. Brief in Reply due 7/7/2014. (voc/bw) (Entered: 06/13/2014)

06/13/2014

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936 Declaration of R. Joseph Barton filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 928 Motion for
Attorney Fees, 934 Motion for Attorney Fees, (Attachments:
# 1 Exhibit A -CMST Firm Resume,
# 2 Exhibit B -Law 360 article,
# 3 Exhibit C -Biographical Information of Marc I. Machiz,
# 4 Exhibit D -Chart of Document Subpoenas to Non-Parties,
# 5 Exhibit E -Chart of Witness Depositions,
# 6 Exhibit F -Primary CMST Attorney Chart,
# 7 Exhibit G -Summary Chart of Fees Billed to Case,
# 8 Exhibit H -Summary of Lodestar at Historical Rates,
# 9 Exhibit I -Expense Summary,
# 10 Exhibit J -Eisenberg & Miller article,
# 11 Exhibit K -Parker v. Dish Network,
# 12 Exhibit L -Detailed time Entries,
# 13 Exhibit M -National Law Journal 2013 Rate Survey,

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# 14 Exhibit N -Taxable/Nontaxable Costs) (Barton, Robert) Modified on
6/16/2014. (lak) (Entered: 06/13/2014)
06/27/2014

937 Brief in Opposition by Defendant David B. Fenkell re: 934 Motion for Attorney
Fees, filed by Nannette Stoflet, Martin Robbins, Thomas Gieck, Daniel Donkel,
Carol Chesemore. (Johanson, David) Modified on 6/30/2014: Also see 938
Corrected Brief in Opposition. (lak) (Entered: 06/28/2014)

06/30/2014

938 Corrected Brief in Opposition by Defendant David B. Fenkell re: 928 Motion for
Attorney Fees, filed by Nannette Stoflet, Martin Robbins, Thomas Gieck, Daniel
Donkel, Carol Chesemore, 934 Motion for Attorney Fees, filed by Nannette
Stoflet, Martin Robbins, Thomas Gieck, Daniel Donkel, Carol Chesemore
(Johanson, David) (Entered: 06/30/2014)

07/03/2014

939 Motion for Appointment of Independent Fiduciary by Defendants A.H.I., Inc., AH
Transition Corporation, Alliance Holdings, Inc. Response due 7/10/2014.
(Attachments:
# 1 Exhibit - Declaration of David Cohen (Also see 940 .),
# 2 Text of Proposed Order) (Jackson, Charles) Modified on 7/6/2014: Declaration
to be filed separately. (lak) (Entered: 07/03/2014)

07/07/2014

940 Declaration of David Cohen filed by Defendants A.H.I., Inc., AH Transition
Corporation, Alliance Holdings, Inc. re: 939 Motion for Appointment of
Independent Fiduciary. (Jackson, Charles) Modified on 7/7/2014. (lak) (Entered:
07/07/2014)

07/07/2014

941 Notice by Defendants A.H.I., Inc., AH Transition Corporation, Alliance Holdings,
Inc. re: 934 Motion for Attorneys Fees. (Jackson, Charles) Modified on 7/8/2014 to
link to motion. (lak) (Entered: 07/07/2014)

07/07/2014

942 Brief in Reply in Support of 934 Motion for Attorney Fees, (Reply to Def. Fenkell's
Opposition to Plaintiffs' ERISA 502(g) Motion and Class Counsel's Motion for An
Award of Attorneys' Fees and Reimbursement of Expenses) by Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet
(Barton, Robert) Modified on 7/8/2014. (lak) (Entered: 07/07/2014)

07/07/2014

943 Declaration of Alina B. Lindblom re 934 Motion for Attorney Fees, (Attachments:
# 1 Exhibit A - Prejudgment Interest Calculation) (Barton, Robert) Modified on
7/8/2014 to link to motion instead of brief. (lak) (Entered: 07/07/2014)

07/07/2014

944 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet. (Barton, Robert) (Entered: 07/07/2014)

07/09/2014

945 Motion to Appear by Telephone at July 24, 2014 Fairness Hearing by Defendants
Pamela Klute, James Mastrangelo, Jeffrey A. Seefeldt. Motions referred to
Magistrate Judge Stephen L. Crocker. (Wolf, Charles) (Entered: 07/09/2014)

07/10/2014

946 Motion for Final Approval of Settlement Agreement by Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet.
(Barton, Robert) (Entered: 07/10/2014)

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07/10/2014

947 Declaration of Alina B. Lindblom filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 946 Motion to
Approve Settlement Agreement. (Barton, Robert) (Entered: 07/10/2014)

07/10/2014

948 Supplemental Declaration of Nashira Washington filed by Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re:
946 Motion to Approve Settlement Agreement. (Barton, Robert) (Entered:
07/10/2014)

07/10/2014

949 Declaration of R. Joseph Barton filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 946 Motion to
Approve Settlement Agreement. (Barton, Robert) (Entered: 07/10/2014)

07/11/2014

950 ** TEXT ONLY ORDER **
ORDER that the Trustee Defendants' motion to appear at the fairness hearing via
telephone (dkt. # 945 ) is GRANTED. Signed by District Judge William M. Conley
on 7/11/2014. (voc) (Entered: 07/11/2014)

07/11/2014

951 Brief in Opposition by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet re: 939 Motion for Appointment of Independent
Fiduciary, filed by A.H.I., Inc., AH Transition Corporation, Alliance Holdings, Inc.
(Barton, Robert) Modified on 7/11/2014. (lak) (Entered: 07/11/2014)

07/11/2014

Set Telephone Status Conference: Telephone Status Conference set for 7/17/2014
at 10:00 AM before Judge William M. Conley. Counsel for Plaintiff responsible for
setting up the call to chambers at [phone]. (voc) (Entered: 07/11/2014)

07/11/2014

952 Supplemental Declaration of Bruce F. Rinaldi filed by Plaintiffs Carol Chesemore,
Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 928 Motion
for Attorney Fees, 934 Motion for Attorney Fees, (Attachments:
# 1 Exhibit A - Updated Trachte Lodestar,
# 2 Exhibit B - Updated Trachte Timekeeper Detail,
# 3 Exhibit C - Updated Trachte Expenses) (Rinaldi, Bruce) (Entered: 07/11/2014)

07/11/2014

953 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet. (Rinaldi, Bruce) (Entered: 07/11/2014)

07/14/2014

954 Motion to Reschedule Telephone Status Conference to 4:00 p.m. Central Time on
July 17, 2014 by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet. (Erlandson, Andrew) (Entered: 07/14/2014)

07/14/2014

955 ** TEXT ONLY ORDER **
ORDER granting 954 Motion to Reschedule Hearing. Telephone Status
Conference set for 7/17/2014 at 04:00 PM. Signed by District Judge William M.
Conley on 7/14/2014. (voc) (Entered: 07/14/2014)

07/14/2014

956 Supplemental Declaration of Andrew W. Erlandson filed by Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re:
928 Motion for Attorney Fees, 934 Motion for Attorney Fees, (Attachments:
# 1 Exhibit A - Time Keeping Records) (Erlandson, Andrew) Modified on
7/15/2014 to add exhibit description. (lak) (Entered: 07/14/2014)

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07/15/2014

957 Motion to Appear by Telephone at the Fairness Hearing by Defendant Stephen W.
Pagelow. Motions referred to Magistrate Judge Stephen L. Crocker. (Silver, Alan)
(Entered: 07/15/2014)

07/15/2014

958 Brief in Reply by Defendants A.H.I., Inc., AH Transition Corporation, Alliance
Holdings, Inc. in Support of 939 Motion for Appointment of Independent
Fiduciary. (Jackson, Charles) Modified on 7/16/2014. (lak) (Entered: 07/15/2014)

07/16/2014

959 ** TEXT ONLY ORDER **
ORDER granting 957 Motion to Appear by Telephone by Defendant Stephen W.
Pagelow at Fairness Hearing. Signed by District Judge William M. Conley on
7/16/2014. (voc) (Entered: 07/16/2014)

07/17/2014

Minute Entry for proceedings held before District Judge William M. Conley:
Telephone Status Conference held on 7/17/2014 [:20] (mfh) (Entered: 07/17/2014)

07/18/2014

960 Settlement Agreement by Defendants Alpha Investment Consulting Group, LLC,
John Michael Maier, Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet. (Convery, James) (Entered: 07/18/2014)

07/21/2014

961 Motion to Appear by Telephone at Fairness Hearing on July 24, 2014 by
Defendants Alpha Investment Consulting Group, LLC, John Michael Maier.
Motions referred to Magistrate Judge Stephen L. Crocker. (Convery, James)
(Entered: 07/21/2014)

07/22/2014

962 Motion to Appear by Telephone at Fairness Hearing by Cross Defendants A.H.I.,
Inc., AH Transition Corporation, Alliance Holdings, Inc., Alliance Holdings, Inc.,
Alliance Holdings, Inc., Defendants A.H.I., Inc., AH Transition Corporation,
Alliance Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan.
Motions referred to Magistrate Judge Stephen L. Crocker. (Glunz, Emily) (Entered:
07/22/2014)

07/22/2014

963 Second Supplemental Declaration of Bruce F. Rinaldi filed by Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re:
928 Motion for Attorney Fees, 934 Motion for Attorney Fees, (Attachments:
# 1 Exhibit A - CMST Lodestar through 7/1/14) (Rinaldi, Bruce) Modified on
7/23/2014. (lak) (Entered: 07/22/2014)

07/23/2014

964 ** TEXT ONLY ORDER **
ORDER granting 961 and 962 Motions to Appear by Telephone at Fairness
Hearing. Signed by District Judge William M. Conley on 7/23/2014. (voc)
(Entered: 07/23/2014)

07/23/2014

965 Supplemental Brief in Support re: 946 Motion to Approve Settlement Agreement
by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins,
Nannette Stoflet. (Barton, Robert) Modified on 7/23/2014. (lak) (Entered:
07/23/2014)

07/24/2014

966 Settlement Agreement Between Class and Alliance by Plaintiffs Carol Chesemore,
Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet. (Engel, Peyton)
(Entered: 07/24/2014)

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07/24/2014

967 Settlement Agreement Between Plaintiffs, the Alliance Entities, and the Alliance
ESOP by Defendant Alliance Holdings, Inc. Employee Stock Ownership Plan.
(Golumbic, Lars) . (Entered: 07/24/2014)

07/24/2014

968 Minute Entry for proceedings held before District Judge William M. Conley:
Settlement Approval Hearing held on 7/24/2014 re 946 Motion for Final Approval
of Settlement Agreement filed by Nannette Stoflet, Martin Robbins, Thomas
Gieck, Daniel Donkel, Carol Chesemore. Responses to be filed by 7/29/14. Replies
by 8/1/14. [1:00] (Court Reporter LS.) (rep) (Entered: 07/24/2014)

07/24/2014

969 ORDER granting 939 Motion for Appointment of Independent Fiduciary. Plaintiffs
to submit a letter by 8/1/14 to update the court on the settlement with the Fenkells.
If a telephone hearing is necessary, it will be held 8/4/14 at 6:00 pm. The Alliance
defendants may file a response to 938 by 7/29/14. Replies due 8/1/14. Signed by
District Judge William M. Conley on 7/24/14. (rep) (Entered: 07/24/2014)

07/24/2014

Set Deadlines as to 946 Motion for Final Approval of Settlement Agreement.
Telephone Motion Hearing set for 8/4/2014 at 06:00 PM before Judge William M.
Conley. Counsel for Plaintiff responsible for setting up the call to chambers at
[phone]. Response to 938 Defendants Opposition to Attorneys' Fees due
7/29/14. Reply due 8/1/14. (rep) (Entered: 07/24/2014)

07/29/2014

970 Response re: 969 Order on Motion, Response re: 928 Motion for Attorney Fees,
Response re: 934 Motion for Attorney Fees, by Defendants A.H.I., Inc., AH
Transition Corporation, Alliance Holdings, Inc. (Jackson, Charles) Modified on
7/30/2014 to link to motions instead of brief. (lak) (Entered: 07/29/2014)

08/01/2014

971 Status Report (Pursuant to Court's Order of July 24, 2014 - DE# 969 ) by Plaintiffs
Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette
Stoflet. (Barton, Robert) Modified on 8/4/2014. (lak) (Entered: 08/01/2014)

08/01/2014

972 Declaration of Michael Spang re 971 Status Report. (Barton, Robert) (Entered:
08/01/2014)

08/01/2014

973 Response by Defendant David B. Fenkell re: 928 Motion for Attorney Fees, 934
Motion for Attorney Fees. (Rubel, Douglas) Modified on 8/4/2014. (lak) (Entered:
08/01/2014)

08/05/2014

974 ** TEXT ONLY ORDER **
Barring an indication from plaintiffs that the remaining confirmatory discovery
dispute has been resolved, the court will hold a telephonic hearing at 6:00 p.m. on
Friday, August 8, 2014. Plaintiffs to initiate the call to chambers at 608-264-5087.
Signed by District Judge William M. Conley on 8/4/14. (jat) (Entered: 08/05/2014)

08/05/2014

Minute Entry for proceedings held before District Judge William M. Conley:
Telephone Status Conference held on 8/4/2014 [:15] (Court Reporter LS.) (mfh)
(Entered: 08/05/2014)

08/13/2014

Minute Entry for proceedings held before District Judge William M. Conley:
Telephone Status Conference held on 8/8/2014 [:10] (mfh) (Entered: 08/13/2014)

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08/14/2014

975 Notice of Supplemental Authority by Plaintiffs Carol Chesemore, Daniel Donkel,
Thomas Gieck, Martin Robbins, Nannette Stoflet re 934 Motion for Attorney Fees
(and Costs Pursuant to ERISA §502(g)(1) Against Defendant David Fenkell),
(Attachments:
# 1 Temme v. Bemis Co., Inc.) (Barton, Robert) Modified on 8/14/2014. (lak)
(Entered: 08/14/2014)

08/14/2014

976 Certificate of Service by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet as to 975 Notice of Supplemental
Authority. (Barton, Robert) (Entered: 08/14/2014)

08/15/2014

977 Status Report by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet. (Barton, Robert) (Entered: 08/15/2014)

08/16/2014

978 Notice of Settlement (Status Report) by Defendant David B. Fenkell. (Johanson,
David) Modified on 8/18/2014. (lak) (Entered: 08/16/2014)

08/18/2014

979 ** TEXT ONLY ORDER **
In the event the court does not receive all remaining signed settlement agreements,
a telephonic hearing will be held on Friday, August 23, 2014, at 6:00 p.m. Plaintiffs
to initiate the call. Telephone Status Conference set for 8/22/2014 at 06:00 PM
before Judge William M. Conley. Counsel for Plaintiff responsible for setting up
the call to chambers at [phone]. Signed by District Judge William M.
Conley on 8/18/2014. (voc) (Entered: 08/18/2014)

08/22/2014

980 ** TEXT ONLY ORDER **
In light of reports of an impasse, the telephonic status conference set for today at
6:00 p.m. central time is moved up to 3:00 p.m. Any party wishing to participate
should contact Attorney R. Joseph Bartzen.Telephone Status Conference set for
8/22/2014 at 03:00 PM before Judge William M. Conley. Counsel for Plaintiff
responsible for setting up the call to chambers at [phone]. Signed by
District Judge William M. Conley on 8/22/2014. (voc) (Entered: 08/22/2014)

08/22/2014

981 ** TEXT ONLY ORDER **
Consistent with the status conference held by telephone this afternoon, counsel for
plaintiffs and the Fenkell defendants may have until Wed. August 27, 2014, to file
a final version of their settlement agreement, along with a brief statement of no
more than 5 pages as to why their version of the remaining dispute over language
in sections 9.6(b) and 13.2 is consistent with the express language and spirit of the
parties' original settlement term sheet. Signed by District Judge William M. Conley
on 8/22/2014. (voc) (Entered: 08/22/2014)

08/26/2014

982 Status Report by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet. (Barton, Robert) (Entered: 08/26/2014)

08/26/2014

983 Settlement Agreement Between Plaintiffs, David B. Fenkell and Karen G. Fenkell,
Trachte Building Systems, Inc. and Trachte Building Systems Inc. Employee Stock
Ownership Plan by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet. (Barton, Robert) (Entered: 08/26/2014)

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09/02/2014

984 Settlement Agreement (Fully Executed Partial Settlement Agreement Between
Plaintiffs, David B. and Karen G. Fenkell, Trachte Building Systems, Inc.; and
Trachte Building Systems, Inc. Employee Stock Ownership Plan) by Plaintiffs
Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette
Stoflet. (Barton, Robert) (Entered: 09/02/2014)

09/05/2014

985 ORDER granting 921 Motion for Payment of Incentive Awards to the Class
Representatives by Plaintiffs ; Granting 928 Motion for Attorney Fees by Plaintiffs
; Granting 934 Motion for Attorney Feesby Plaintiffs ; Granting 946 Motion for
Final Approval of Settlement Agreement by Plaintiffs Carol Chesemore. Signed by
District Judge William M. Conley on 9/4/2014. (voc) (Entered: 09/05/2014)

09/08/2014

986 FINAL JUDGMENT in favor of Carol Chesemore, Daniel Donkel, Martin
Robbins, Nannette Stoflet, Thomas Gieck against David B. Fenkell in the total
amount of $ 3,898,022.92. (WMC /PAO). Signed by District Judge William M.
Conley on 9/8/2014. (voc) (Entered: 09/08/2014)

10/01/2014

987 Notice by Defendants A.H.I., Inc., AH Transition Corporation, Alliance Holdings,
Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan re: Valuation
Report. (Weals, Christopher) (Entered: 10/01/2014)

10/03/2014

988 NOTICE OF APPEAL by Defendant David B. Fenkell as to 677 Order on Motion
for Summary Judgment, Order on Motion for Partial Summary Judgment, 688 Text
Only Order, 172 Order on Motion to Dismiss, Order on Motion for Leave to File,
733 Order on Motion to Strike, Order on Motion to Amend Complaint, 736 Order,
889 Order on Motion for Miscellaneous Relief, Order on Motion to Approve
Settlement Agreement, 789 Order, 617 Order on Motion to Compel, 866 Order on
Motion for Miscellaneous Relief, 256 Order on Motion to Bifurcate, Order on
Motion to Amend Complaint, 986 Judgment, 824 Order on Motion for
Clarification, Order on Motion to Dismiss, Order on Motion for Leave to File, 913
Order on Motion to Approve Settlement Agreement, 969 Order on Motion for
Miscellaneous Relief, 631 Order on Motion for Extension of Time, Order on
Motion to Compel, 985 Order on Motion for Miscellaneous Relief, Order on
Motion for Attorney Fees, Order on Motion to Approve Settlement Agreement,
790 Order on Motion to Supplement, 555 Order on Motion to Strike, Order on
Motion in Limine. Filing fee of $505, receipt number 0758-1423235 paid.
Docketing Statement filed. (Attachments:
# 1 Docketing Statement) (Johanson, David) Modified on 10/6/2014. (lak)
(Entered: 10/03/2014)

10/06/2014

989 Appeal Information Packet. (lak) (Entered: 10/06/2014)

10/06/2014

990 Transmission of Notice of Appeal, Appeal Information Sheet, Docketing
Statement, Orders, Judgment and Docket Sheet to Seventh Circuit Court of
Appeals re: 988 Notice of Appeal, (Attachments:
# 1 Appeal Information Sheet,
# 2 Docketing Statement,
# 3 Order 677,
# 4 Order 172,
# 5 Order 889,

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# 6 Order 631,
# 7 Order 256,
# 8 Order 733,
# 9 Order 913,
# 10 Order 790,
# 11 Order 789,
# 12 Order 985,
# 13 Order 555,
# 14 Order 824,
# 15 Order 969,
# 16 Order 736,
# 17 Order 866,
# 18 Judgment,
# 19 Docket Sheet) (lak) (Attachment 19 replaced on 10/9/2014) (lak). (Entered:
10/06/2014)
10/06/2014

991 Motion to Amend/Correct the Order on Fees and Expenses and the Judgment re:
986 Judgment, 985 Order on Motion for Miscellaneous Relief, Order on Motion
for Attorney Fees, Order on Motion to Approve Settlement Agreement, by
Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins,
Nannette Stoflet. Response due 10/14/2014. (Barton, Robert) Modified on
10/7/2014. (lak) (Entered: 10/06/2014)

10/07/2014

992 USCA Case Number 14-3181 for 988 Notice of Appeal filed by David B. Fenkell.
(voc) (Entered: 10/07/2014)

10/08/2014

993 CROSS NOTICE OF APPEAL by Plaintiffs Thomas Gieck, Martin Robbins,
Nannette Stoflet as to 986 Judgment, 172 Order on Motion to Dismiss, 677 Order
on Motion for Summary Judgment, 735 Order on Motion to Strike, 790 Order
Ruling on Remedies, 985 Order on Motion for Miscellaneous Relief. Filing fee of
$ 505, receipt number 0758-1425538 paid. Docketing Statement filed.
(Attachments:
# 1 Docketing Statement,
# 2 Certificate of Service) (Barton, Robert) Modified on 10/9/2014 to include
orders. (lak) (Entered: 10/08/2014)

10/09/2014

994 Appeal Information Packet. (lak) (Entered: 10/09/2014)

10/09/2014

995 Transmission of Notice of Cross Appeal, Appeal Information Sheet, Docketing
Statement, Orders, Judgment and Docket Sheet to Seventh Circuit Court of
Appeals re: 993 Notice of Cross Appeal, (Attachments:
# 1 Appeal Information Sheet,
# 2 Docketing Statement,
# 3 Order 172,
# 4 Order 677,
# 5 Order 735,
# 6 Order 790,
# 7 Order 985,
# 8 Judgment,

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# 9 Docket Sheet) (lak) (Entered: 10/09/2014)
10/10/2014

996 USCA Case Number 14-3215 for 993 Notice of Cross Appeal, filed by Nannette
Stoflet, Martin Robbins, Thomas Gieck. (voc) (Entered: 10/10/2014)

10/16/2014

997 ** TEXT ONLY ORDER **
The court is in receipt of plaintiffs' motion to amend/correct the order on fees and
expenses (dkt. # 985 ) and the judgment (dkt. # 986 ). (Pls.' Mot. (dkt. # 991 ).)
Having received no opposition from defendants, the motion is GRANTED in both
respects. First, the September 5, 2014, order is amended to reflect that the Fenkells
agreed to pay $7,500 toward costs as part of the settlement agreement on the
settled claims. (See Settlement Agreement with Fenkells (dkt. # 983 ) p.18 4.)
Accordingly, the court will reduce the award of the costs from the common fund to
$391,291.29. To clarify, the $1,854,008.50 in attorneys' fees awarded to plaintiffs
against David Fenkell on the unsettled claims did not contemplate an award of
costs. The clerk of court is directed to file an amended judgment in which
paragraph d should read: "David Fenkell is liable to plaintiffs for attorney's fees on
all claims not part of the settlement agreement in the amount of $1,854,008.50."
Second, the court clarifies its order to allow fees and expenses paid out of the
common fund to include a proportionate share of accrued interest. Signed by
District Judge William M. Conley on 10/17/2014. (voc) (Entered: 10/16/2014)

10/17/2014

998 Transcript Request Form by Defendant David B. Fenkell re 988 Notice of Appeal,
(Attachments:
# 1 Proceedings for which transcript is required) (Johanson, David) Modified on
10/20/2014. (lak) (Entered: 10/17/2014)

10/17/2014

999 AMENDED JUDGMENT that David B. Fenkell to restore to Alliance Holdings,
Inc. Employee Stock Ownership Plan $ 2,044,014.42; in favor of plaintiffs against
David B. Fenkell for attorney fees in the amount of $ 1,854,008.50. (WMC /PAO).
(rep) (Entered: 10/17/2014)

10/20/2014

1000 Transcript Request Form by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas
Gieck, Martin Robbins, Nannette Stoflet. (Barton, Robert) (Entered: 10/20/2014)

10/22/2014

1001 Notice by Defendants A.H.I., Inc., AH Transition Corporation, Alliance Holdings,
Inc. (Attachments:
# 1 Exhibit A - Independent Fiduciary Statement) (Jackson, Charles) (Entered:
10/22/2014)

10/27/2014

1002 Court Reporter Certification of Seventh Circuit Transcript Information Sheet (voc)
(Entered: 10/27/2014)

10/28/2014

1003 Court Reporter Certification of Seventh Circuit Transcript Information Sheet (voc)
(Entered: 10/28/2014)

10/31/2014

1004 Transcript of Settlement Hearing, held 7/24/14 before Judge William M. Conley.
Court Reporter: LS.
Please review the court policy regarding electronic transcripts: see Electronic
Transcript Instructions and Notice of Intent to Request Redaction. (jat) (Entered:
10/31/2014)

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10/31/2014

1005 AMENDED NOTICE OF APPEAL by Defendant David B. Fenkell as to 677
Order on Motion for Summary Judgment, Order on Motion for Partial Summary
Judgment, 172 Order on Motion to Dismiss, Order on Motion for Leave to File,
889 Order on Motion for Miscellaneous Relief, Order on Motion to Approve
Settlement Agreement, 986 Judgment, 824 Order on Motion for Clarification,
Order on Motion to Dismiss, Order on Motion for Leave to File, 913 Order on
Motion to Approve Settlement Agreement, 985 Order on Motion for Miscellaneous
Relief, Order on Motion for Attorney Fees, Order on Motion to Approve
Settlement Agreement, 790 Order on Motion to Supplement. Filing fee of $ 505,
receipt number 0758-1438682 paid. Docketing Statement filed. (Attachments:
# 1 Docketing Statement (Amended)) (Johanson, David) Modified on 11/3/2014.
(lak) (Entered: 10/31/2014)

11/03/2014

1006 Motion to Permit Registration of Judgment for Enforcement in Other Districts by
Defendants Alliance Holdings, Inc., Alliance Holdings, Inc. Employee Stock
Ownership Plan, Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet. Response due 11/10/2014. (Attachments:
# 1 Exhibit - Post-Judgment Document Requests,
# 2 Exhibit - Post-Judgment Interrogatories) (Jackson, Charles) (Entered:
11/03/2014)

11/03/2014

1007 Appeal Information Packet. (lak) (Entered: 11/03/2014)

11/03/2014

1008 Transmission of Amended Notice of Appeal, Appeal Information Sheet, Amended
Docketing Statement, Orders, Judgment and Docket Sheet to Seventh Circuit Court
of Appeals re: 1005 Notice of Appeal, (Attachments:
# 1 Appeal Information Sheet,
# 2 Amended Docketing Statement,
# 3 Order 677,
# 4 Order 172,
# 5 Order 889,
# 6 Order 824,
# 7 Order 913,
# 8 Order 985,
# 9 Order 790,
# 10 Judgment,
# 11 Docket Sheet) (lak) (Entered: 11/03/2014)

11/04/2014

1009 USCA Case Number 14-3428 for 1005 Notice of Appeal, filed by David B.
Fenkell. (voc) (Entered: 11/04/2014)

11/06/2014

1010 Unopposed Motion for Extension of Time To File Amended Notice of Appeal by
Defendant David B. Fenkell. Motions referred to Magistrate Judge Stephen L.
Crocker. (Rubel, Douglas) (Entered: 11/06/2014)

11/06/2014

1011 Brief in Support of 1010 MOTION for Extension of Time To File Amended Notice
of Appeal by Defendant David B. Fenkell (Attachments:
# 1 Exhibit A: Seventh Circuit Consolidation Order,
# 2 Exhibit B: Seventh Circuit Order Regarding Jurisdictional Briefing,
# 3 Text of Proposed Order) (Rubel, Douglas) (Entered: 11/06/2014)

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11/10/2014

1012 Transcript of Telephonic Hearing, held 8/4/2014 before Judge William M. Conley.
Court Reporter: LS.
Please review the court policy regarding electronic transcripts: see Electronic
Transcript Instructions and Notice of Intent to Request Redaction. (voc) (Entered:
11/10/2014)

11/10/2014

1013 Transcript of Audio Recording of of Telephone Hearing, held 8/8/2014 before
Judge William M. Conley. Court Reporter: LS.
Please review the court policy regarding electronic transcripts: see Electronic
Transcript Instructions and Notice of Intent to Request Redaction. (voc) (Entered:
11/10/2014)

11/14/2014

1014 Notice of Change of Address by Douglas Andrew Rubel. (Rubel, Douglas)
(Entered: 11/14/2014)

11/14/2014

1015 Notice of Change of Address by David Richard Johanson. (Johanson, David)
(Entered: 11/14/2014)

11/17/2014

1016 ** TEXT ONLY ORDER **
For the reasons set forth in defendant David B. Fenkell's unopposed motion for
extension of time to file amended notice of appeal (dkt. # 1010 ), the court finds
excusable neglect and grants defendant's motion pursuant to Fed. R. App. P.
4(a)(5). Signed by District Judge William M. Conley on 11/17/2014. (voc)
(Entered: 11/17/2014)

11/17/2014

1017 ORDER granting 1006 Motion to Permit Registration of Judgment for
Enforcement in Other Districts by by Defendants Alliance Holdings, Inc., Alliance
Holdings, Inc. Employee Stock Ownership Plan, Plaintiffs Carol Chesemore,
Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet . Signed by
District Judge William M. Conley on 11/17/2014. (voc) (Entered: 11/17/2014)

11/18/2014

1018 Notice of Withdrawal of Counsel by Brian Arthur Price re: Defendants David B.
Fenkell, Karen Fenkell, Cross Claimant Karen Fenkell. (Price, Brian) (Entered:
11/18/2014)

12/03/2014

1019 Answer to Interrogatories from Alliance Parties by Defendant David B. Fenkell.
(Johanson, David) (Entered: 12/03/2014)

12/03/2014

1020 Response to Discovery Request from Alliance Parties by Defendant David B.
Fenkell. (Johanson, David) (Entered: 12/03/2014)

12/09/2014

1021 Notice of Appearance filed by Erin E. McAdams for Cross Defendants A.H.I., Inc.,
AH Transition Corporation, Alliance Holdings, Inc., Alliance Holdings, Inc.,
Alliance Holdings, Inc., Defendants A.H.I., Inc., AH Transition Corporation,
Alliance Holdings, Inc. (Attachments:
# 1 Certificate of Service) (McAdams, Erin) Modified on 12/11/2014. (lak)
(Entered: 12/09/2014)

12/09/2014

1022 Notice of Appearance filed by James P. Looby for Defendants A.H.I., Inc., AH
Transition Corporation, Alliance Holdings, Inc.. (Looby, James) (Entered:
12/09/2014)

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12/19/2014

1023 Motion to Compel by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet. Motions referred to Magistrate Judge Stephen L.
Crocker. Response due 12/29/2014. (Erlandson, Andrew) (Entered: 12/19/2014)

12/19/2014

1024 Disregard. See 1026 . Modified on 12/22/2014. (lak) (Entered: 12/19/2014)

12/19/2014

1025 Motion to Compel by Defendants Alliance Holdings, Inc., Alliance Holdings, Inc.
Employee Stock Ownership Plan. Motions referred to Magistrate Judge Stephen L.
Crocker. Response due 12/29/2014. (Attachments:
# 1 Exhibit A, Post-Judgment Interrogatories,
# 2 Exhibit B, Post-Judgment Document Requests,
# 3 Exhibit C, January 28 Deposition Notice,
# 4 Exhibit D, February 11, Deposition Notice,
# 5 Exhibit E, December 12, 2014 Email,
# 6 Exhibit F, December 4, 2014 Email,
# 7 Exhibit G, Chain of Emails) (Jackson, Charles) (Entered: 12/19/2014)

12/22/2014

1026 Corrected Declaration of Andrew W. Erlandson filed by Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re:
1023 Motion to Compel (Attachments:
# 1 Exhibit A - Notices of Deposition,
# 2 Exhibit B - 12/4/14 Email Exchange) (Erlandson, Andrew) (Entered:
12/22/2014)

12/29/2014

1027 ORDER from USCA Dimissing Appeal No. 14-3428 as unnecessary, 1005 Notice
of Appeal filed by David B. Fenkell. (Attachments:
# 1 Notice of Issuance of Mandate) (voc) (Entered: 12/29/2014)

12/29/2014

1028 Brief in Opposition by Defendant David B. Fenkell re: 1023 Motion to Compel
filed by Nannette Stoflet, Martin Robbins, Thomas Gieck, Daniel Donkel, Carol
Chesemore, 1025 Motion to Compel, filed by Alliance Holdings, Inc., Alliance
Holdings, Inc. Employee Stock Ownership Plan. (Johanson, David) (Entered:
12/29/2014)

12/30/2014

Set Deadlines as to 1023 Motion to Compel, 1025 Motion to Compel. Brief in
Reply due 1/6/2015. (jat) (Entered: 12/30/2014)

01/06/2015

1029 Brief in Reply by Defendants Alliance Holdings, Inc., Alliance Holdings, Inc.
Employee Stock Ownership Plan in Support of 1025 Motion to Compel. (Jackson,
Charles) (Entered: 01/06/2015)

01/06/2015

1030 Brief in Reply by Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck,
Martin Robbins, Nannette Stoflet in Support of 1023 Motion to Compel.
(Erlandson, Andrew) (Entered: 01/06/2015)

02/03/2015

1031 ORDER granting 1023 Motion to Compel by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins and Nannette Stoflet; Granting 1025
Motion to Compel by Defendants Alliance Holdings, Alliance Holdings, Inc and
Employee Stock Ownership Plan Inc. The movants' request for attorneys' fees and
costs pursuant to Fed. R. Civ. P. 37(a)(5)(A) is granted. Movants shall submit their
respective requests with all necessary supporting materials on or 2/17/2015;

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Fenkell may respond on or before 3/3/2015. Signed by District Judge William M.
Conley on 2/3/2015. (voc) (Entered: 02/03/2015)
02/17/2015

1032 Motion for Attorney Fees on Motion to Compel by Plaintiffs Carol Chesemore,
Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet. (Erlandson,
Andrew) (Entered: 02/17/2015)

02/17/2015

1033 Declaration of Andrew W. Erlandson filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 1032 Motion for
Attorney Fees, (Attachments:
# 1 Exhibit A - Detailed Time Entries) (Erlandson, Andrew) Modified on
2/18/2015 to add exhibit description. (lak) (Entered: 02/17/2015)

02/17/2015

1034 Motion for Attorney Fees by Defendants Alliance Holdings, Inc., Alliance
Holdings, Inc. Employee Stock Ownership Plan. (Attachments:
# 1 Exhibit A: Itemized Time Entries,
# 2 Exhibit B: Overall Time Summary and Fee Calculation,
# 3 Exhibit C: Jackson Declaration,
# 4 Exhibit D: McAdams Declaration,
# 5 Exhibit E: Delany Declaration,
# 6 Exhibit F: Weals Declaration,
# 7 Exhibit G: Golumbic Declaration,
# 8 Exhibit H: Levine Declaration,
# 9 Exhibit I: Looby Declaration,
# 10 Exhibit J: Chang Declaration,
# 11 Exhibit K: December Invoice (Redacted)) (Jackson, Charles) (Entered:
02/17/2015)

02/17/2015

1035 Joint Motion for Extension of Time to Respond to Discovery and Take the
Deposition of David B. Fenkell by Defendant David B. Fenkell. Motions referred
to Magistrate Judge Stephen L. Crocker. (Johanson, David) (Entered: 02/17/2015)

02/18/2015

1036 ** TEXT ONLY ORDER **
ORDER granting 1035 Motion for Extension of Time. Signed by District Judge
William M. Conley on 2/18/2015. (voc) (Entered: 02/18/2015)

02/18/2015

Reset Deadlines as to 1034 Motion for Attorney Fees. Per 2/3/2015 Order, # 1031 ,
Brief in Opposition due 3/3/2015. (voc) (Entered: 02/18/2015)

03/03/2015

1037 Brief in Opposition by Defendant David B. Fenkell re: 1032 Motion for Attorney
Fees filed by Nannette Stoflet, Martin Robbins, Thomas Gieck, Daniel Donkel,
Carol Chesemore, 1034 Motion for Attorney Fees, filed by Alliance Holdings, Inc.,
Alliance Holdings, Inc. Employee Stock Ownership Plan. (Johanson, David
(Entered: 03/03/2015)

03/06/2015

1038 Motion for Leave to File a Reply Instanter by Defendants Alliance Holdings, Inc.,
Alliance Holdings, Inc. Employee Stock Ownership Plan. (Attachments:
# 1 Exhibit A: Reply in Further Support of Fee Petition,
# 2 Exhibit B: Declaration in Further Support of Fee Petition) (Jackson, Charles)
(Entered: 03/06/2015)

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03/09/2015

1039 Brief in Opposition by Defendant David B. Fenkell re: 1038 Motion for Leave to
File, filed by Alliance Holdings, Inc., Alliance Holdings, Inc. Employee Stock
Ownership Plan. (Johanson, David) (Entered: 03/09/2015)

03/25/2015

1040 Motion to put the Court on notice of deposition and potential request for judicial
intervention by Defendants Alliance Holdings, Inc., Alliance Holdings, Inc.
Employee Stock Ownership Plan. Response due 4/1/2015. (Attachments:
# 1 Exhibit - Notice of Videotaped Deposition of David Fenkell) (Jackson,
Charles) Modified on 3/25/2015 (voc/bw). (Entered: 03/25/2015)

03/31/2015

1041 Certified and Transmitted Record on Appeal to US Court of Appeals re: 988
Notice of Appeal, 993 Notice of Appeal, (Attachments:
# 1 Certification) (lak) (Entered: 03/31/2015)

06/24/2015

1042 Motion to Quash Plaintiffs' Subpoenas to Financial Institutions by Defendants
David B. Fenkell, Karen Fenkell. Motions referred to Magistrate Judge Stephen L.
Crocker. Response due 7/1/2015. (Johanson, David) (Entered: 06/24/2015)

06/24/2015

1043 Brief in Support of 1042 Motion to Quash by Defendants David B. Fenkell, Karen
Fenkell. (Johanson, David) (Entered: 06/24/2015)

06/24/2015

1044 Declaration of Douglas A. Rubel filed by Defendants David B. Fenkell, Karen
Fenkell re: 1042 Motion to Quash, (Attachments:
# 1 Exhibit A: Subpoena to Barclays Capital,
# 2 Exhibit B: Subpoena to Morgan Stanley) (Rubel, Douglas) (Entered:
06/24/2015)

07/01/2015

1045 Brief in Opposition re: 1042 Motion To Quash Plaintiffs' Subpoenas To Produce
Documents And For A Protective Order (Sealed Document) by Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet.
Motions referred to Magistrate Judge Stephen L. Crocker. (Bunch, Monya)
Modified on 7/2/2015 to correct the docket event and docket text. (lak) (Entered:
07/01/2015)

07/01/2015

1046 Redaction to 1045 Brief in Opposition by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet, filed by Nannette
Stoflet, Martin Robbins, Thomas Gieck, Daniel Donkel, Carol Chesemore. (Bunch,
Monya) Modified on 7/2/2015. (lak) (Entered: 07/01/2015)

07/01/2015

1047 Declaration of Monya M. Bunch filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 1042 Motion To
Quash Plaintiffs' Subpoenas To Produce Documents And For A Protective Order
(Attachments:
# 1 Exhibit A: K. Fenkell July 9, 2014 Deposition Transcript (filed under seal),
# 2 Exhibit B: K. Fenkell April 23, 2015 Deposition Transcript (filed under seal),
# 3 Exhibit C: D. Fenkell March 25, 2015 Deposition Transcript (filed under seal),
# 4 Exhibit D: D. Fenkell March 26, 2015 Deposition Transcript (filed under seal),
# 5 Exhibit E: K. Fenkell Deposition Exhibit 133, Power of Attorney of Karen
Fenkell, DTAX04977 (filed under seal),
# 6 Exhibit F: Plaintiffs' Corrected Subpoena and Schedule A to Barclays Capital
Inc.,

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# 7 Exhibit G: Plaintiffs' Corrected Subpoena and Schedule A to Morgan Stanley,
# 8 Exhibit H: D. Fenkell Deposition Exhibit 36, David and Karen Fenkell Morgan
Stanley Account Statement dated September 30, 2007 (filed under seal),
# 9 Exhibit I: D. Fenkell Deposition Exhibit 37, Karen G. Fenkell Morgan Stanley
Statement dated June 30, 2007 (filed under seal),
# 10 Exhibit J: S. Fenkell MS Account, AH_EDPA_001459355 (filed under seal),
# 11 Exhibit K: M. Fenkell MS Account, AH_EDPA_001470300 (filed under seal),
# 12 Exhibit L: D. Fenkell Deposition Exhibit 57, Promissory Note (filed under
seal),
# 13 Exhibit M: April 1, 2009 Assignment of Promissory Note, FEN PJD 004452
(filed under seal),
# 14 Exhibit N: June 15, 2015 Email from Doug Rubel,
# 15 Exhibit O: June 15, 2015 Production of Karen Fenkell's Deposition in Spear,
# 16 Exhibit P: D. Fenkell Deposition Exhibit 5, Fenkell Compensation (filed
under seal),
# 17 Exhibit Q: D. Fenkell Deposition Exhibit 32, David and Karen Fenkell
Financial Statement (filed under seal),
# 18 Exhibit R: D. Fenkell Deposition Exhibit 31, David and Karen Fenkell
Financial Statement (filed under seal),
# 19 Exhibit S: K. Fenkell Deposition Exhibit 147, Karen G. Fenkell's Morgan
Stanley Account Statement dated February 29, 2006 (filed under seal),
# 20 Exhibit T: K. Fenkell Deposition Exhibit 148, Karen G. Fenkell's Morgan
Stanley Account Statement dated June 30, 2008 (filed under seal),
# 21 Exhibit U: K. Fenkell Deposition Exhibit 134, March 1, 2011 Email (filed
under seal),
# 22 Exhibit V: K. Fenkell Deposition Exhibit 149, Karen G. Fenkell's Barclays
Account Statement dated January 31, 2012 (filed under seal),
# 23 Exhibit W: D. Fenkell Deposition Exhibit 30, January 18, 2012 email (filed
under seal),
# 24 Exhibit X: Fenkell Post-Judgment Privilege Log, dated June 9, 2015 (filed
under seal),
# 25 Exhibit Y: D. Fenkell Deposition Exhibit 33, John A. Terrill, II Firm
Biography,
# 26 Exhibit Z: March 20, 2015 Production to Chesemore Plaintiffs of Third-Party
Subpoena Responses) (Bunch, Monya) (Attachment 23 replaced on 7/2/2015) (jls).
Modified on 7/2/2015 (jls). (Attachment 2 replaced on 7/2/2015) (jls). (Entered:
07/01/2015)
07/01/2015

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1048 Exhibit A re: 1047 Declaration of Monya M. Bunch, (Sealed Document) by
Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins,
Nannette Stoflet. Motions referred to Magistrate Judge Stephen L. Crocker.
(Attachments:
# 1 Exhibit B: K. Fenkell April 23, 2015 Deposition Transcript,
# 2 Exhibit C: D. Fenkell March 25, 2015 Deposition Transcript,
# 3 Exhibit D: D. Fenkell March 26, 2015 Deposition Transcript,
# 4 Exhibit E: K. Fenkell Deposition Exhibit 133, Power of Attorney of Karen
Fenkell, DTAX04977,
# 5 Exhibit H: D. Fenkell Deposition Exhibit 36, David and Karen Fenkell Morgan

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Stanley Account Statement dated September 30, 2007,
# 6 Exhibit I: D. Fenkell Deposition Exhibit 37, Karen G. Fenkell Morgan Stanley
Statement dated June 30, 2007,
# 7 Exhibit J: S. Fenkell MS Account, AH_EDPA_001459355,
# 8 Exhibit K: M. Fenkell MS Account, AH_EDPA_001470300,
# 9 Exhibit L: D. Fenkell Deposition Exhibit 57, Promissory Note,
# 10 Exhibit M: April 1, 2009 Assignment of Promissory Note, FEN PJD 004452,
# 11 Exhibit P: D. Fenkell Deposition Exhibit 5, Fenkell Compensation,
# 12 Exhibit Q: D. Fenkell Deposition Exhibit 32, David and Karen Fenkell
Financial Statement,
# 13 Exhibit R: D. Fenkell Deposition Exhibit 31, David and Karen Fenkell
Financial Statement,
# 14 Exhibit S: K. Fenkell Deposition Exhibit 147, Karen G. Fenkell's Morgan
Stanley Account Statement dated February 29, 2006,
# 15 Exhibit T: K. Fenkell Deposition Exhibit 148, Karen G. Fenkell's Morgan
Stanley Account Statement dated June 30, 2008,
# 16 Exhibit U: K. Fenkell Deposition Exhibit 134, March 1, 2011 Email,
# 17 Exhibit V: K. Fenkell Deposition Exhibit 149, Karen G. Fenkell's Barclays
Account Statement dated January 31, 2012,
# 18 Exhibit W: D. Fenkell Deposition Exhibit 30, January 18, 2012 email,
# 19 Exhibit X: Fenkell Post-Judgment Privilege Log, dated June 9, 2015) (Bunch,
Monya) Modified on 7/2/2015 (jls). (Entered: 07/01/2015)
07/08/2015

1049 ORDER denying 1042 Motion to Quash Plaintiffs' Subpoenas to Financial
Institutions by Defendants David B. Fenkell, Karen Fenkell. Signed by District
Judge William M. Conley on 7/7/2015. (voc) (Entered: 07/08/2015)

07/10/2015

1050 Motion to Compel by Cross Defendant Alliance Holdings, Inc., Defendant
Alliance Holdings, Inc. Employee Stock Ownership Plan, Plaintiffs Carol
Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet.
Motions referred to Magistrate Judge Stephen L. Crocker. Response due
7/17/2015. (Erlandson, Andrew) (Entered: 07/10/2015)

07/10/2015

1051 Brief in Support of 1050 Motion to Compel, by Cross Defendant Alliance
Holdings, Inc., Defendant Alliance Holdings, Inc. Employee Stock Ownership
Plan, Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins,
Nannette Stoflet (Sealed Document) (Erlandson, Andrew) (Entered: 07/10/2015)

07/10/2015

1052 Redaction to 1051 Brief in Support by Cross Defendant Alliance Holdings, Inc.,
Defendant Alliance Holdings, Inc. Employee Stock Ownership Plan, Plaintiffs
Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette
Stoflet. (Erlandson, Andrew) Modified on 7/13/2015. (lak) (Entered: 07/10/2015)

07/10/2015

1053 Redacted Declaration of Andrew W. Erlandson filed by Cross Defendant Alliance
Holdings, Inc., Defendant Alliance Holdings, Inc. Employee Stock Ownership
Plan, Plaintiffs Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins,
Nannette Stoflet re: 1050 Motion to Compel, (Attachments:
# 1 Exhibit A - April 27, 2015 email from R. Joseph Barton to Douglas A. Rubel
and David R. Johanson and attachment,

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# 2 Exhibit B - May 29, 2015 email from Monya Bunch to Douglas Rubel,
# 3 Exhibit C - May 29, 2015 email from R. Joseph Barton to Douglas A. Rubel
and David R. Johanson and attachment,
# 4 Exhibit D - June 5, 2015 email from R. Joseph Barton to Douglas Rubel,
# 5 Exhibit E - June 9, 2015, email from Douglas A. Rubel to R. Joseph Barton,
# 6 Exhibit F - June 24, 2015 email from R. Joseph Barton to Douglas Rubel,
# 7 Exhibit G - June 26, 2015 email from Douglas Rubel to R. Joseph Barton,
# 8 Exhibit H - June 26, 2015 email from R. Joseph Barton to Douglas Rubel,
# 9 Exhibit I - Deposition testimony of David Fenkell in this action, taken March
25, 2015,
# 10 Exhibit J - Deposition testimony of David Fenkell in this action, taken on
March 26, 2015,
# 11 Exhibit K - Deposition testimony of Karen Fenkell, taken April 23, 2015,
# 12 Exhibit L - D. Fenkell Deposition Exhibit 5, Fenkell Compensation,
# 13 Exhibit M - D. Fenkell Deposition Exhibit 32, David and Karen Fenkell 2011
Financial Statement,
# 14 Exhibit N - D. Fenkell Deposition Exhibit 31, David and Karen Fenkell 2015
Financial Statement,
# 15 Exhibit O - D. Fenkell Deposition Exhibit 30, January 18, 2010 email from D.
Fenkell to Andrew Cherry,
# 16 Exhibit P - K. Fenkell Deposition Exhibit 133, Power of Attorney of Karen
Fenkell,
# 17 Exhibit Q - K. Fenkell Deposition Exhibit 147, Karen G. Fenkell's Morgan
Stanley Account Statement dated February 29, 2006,
# 18 Exhibit R - K. Fenkell Deposition Exhibit 148, Karen G. Fenkell's Morgan
Stanley Account Statement dated June 30, 2008,
# 19 Exhibit S - K. Fenkell Deposition Exhibit 149, Karen G. Fenkell's Barclays
Account Statement dated January 31, 2012,
# 20 Exhibit T - D. Fenkell Deposition Exhibit 51, David and Karen Fenkell's
Barclays Account Statement dated November 30, 2014,
# 21 Exhibit U - D. Fenkell Deposition Exhibit 54, David and Karen Fenkell's
Barclays Statement dated January 31, 2015) (Erlandson, Andrew) Modified on
7/13/2015. (lak) (Entered: 07/10/2015)
07/10/2015

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1054 Declaration of Andrew W. Erlandson filed by Cross Defendant Alliance Holdings,
Inc., Defendant Alliance Holdings, Inc. Employee Stock Ownership Plan, Plaintiffs
Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette
Stoflet re: 1050 Motion to Compel, (Sealed Document) (Attachments:
# 1 Exhibit A - April 27, 2015 email from R. Joseph Barton to Douglas A. Rubel
and David R. Johanson,
# 2 Exhibit I - Deposition testimony of David Fenkell, taken March 25, 2015,
# 3 Exhibit J - Deposition testimony of David Fenkell, taken on March 26, 2015,
# 4 Exhibit K - Deposition of Karen Fenkell, taken April 23, 2015,
# 5 Exhibit L - D. Fenkell Deposition Exhibit 5, Fenkell Compensation,
# 6 Exhibit M - D. Fenkell Deposition Exhibit 32, David and Karen Fenkell 2011
Financial,
# 7 Exhibit N - D. Fenkell Deposition Exhibit 31, David and Karen Fenkell 2015
Financial Statement,

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# 8 Exhibit O - D. Fenkell Deposition Exhibit 30, (AH_PJD00000177), January 18,
2010 email from D. Fenkell to Andrew Cherry,
# 9 Exhibit P - K. Fenkell Deposition Exhibit 133, Power of Attorney of Karen
Fenkell DTAX04977,
# 10 Exhibit Q - K. Fenkell Deposition Exhibit 147, Karen G. Fenkell's Morgan
Stanley Account Statement dated February 29, 2006,
# 11 Exhibit R - K. Fenkell Deposition Exhibit 148, Karen G. Fenkell's Morgan
Stanley Account Statement dated June 30, 2008,
# 12 Exhibit S - K. Fenkell Deposition Exhibit 149, Karen G. Fenkell's Barclays
Account Statement dated January 31, 2012,
# 13 Exhibit T - D. Fenkell Deposition Exhibit 51, David and Karen Fenkell's
Barclays Account Statement dated November 30, 2014,
# 14 Exhibit U - D. Fenkell Deposition Exhibit 54, David and Karen Fenkell's
Barclays Statement dated January 31, 20-15) (Erlandson, Andrew) Modified on
7/13/2015. (lak) (Entered: 07/10/2015)
07/23/2015

1055 Brief in Opposition by Defendant David B. Fenkell re: 1050 Motion to Compel,
filed by Nannette Stoflet, Martin Robbins, Thomas Gieck, Alliance Holdings, Inc.,
Alliance Holdings, Inc. Employee Stock Ownership Plan, Daniel Donkel, Carol
Chesemore. (Johanson, David) (Entered: 07/23/2015)

08/14/2015

1056 Redacted Motion for Temporary Restraining Order by Defendant Alliance
Holdings, Inc. Employee Stock Ownership Plan, Defendant Alliance Holdings,
Inc., Cross Defendant Alliance Holdings, Inc. (Jackson, Charles) Modified on
8/17/2015. (lak/arw) (Entered: 08/14/2015)

08/14/2015

1057 Redaction to 1067 Proposed Findings of Fact. Modified on 8/17/2015: Corrected
the docketing event. (lak) (Entered: 08/14/2015)

08/14/2015

1058 Redaction to 1068 Deposition of D. Fenkell taken on March 25, 2015. (Jackson,
Charles) Modified on 8/17/2015: Corrected docketing event. (lak) (Entered:
08/14/2015)

08/14/2015

1059 Redaction to 1069 Deposition of D. Fenkell taken on March 26, 2015. (Jackson,
Charles) Modified on 8/17/2015: Corrected docketing event. (lak) (Entered:
08/14/2015)

08/14/2015

1060 Redaction to 1070 Deposition of K. Fenkell taken on July 9, 2014. (Jackson,
Charles) Modified on 8/17/2015: Corrected docketing event. (lak) (Entered:
08/14/2015)

08/14/2015

1061 Redaction to 1071 Deposition of K. Fenkell taken on April 23, 2015. (Jackson,
Charles) Modified on 8/17/2015: Corrected docketing event. (lak) (Entered:
08/14/2015)

08/14/2015

1062 Redaction to 1072 Deposition of K. Fenkell taken on July 29, 2015. (Jackson,
Charles) Modified on 8/17/2015: Corrected docketing event. (lak) (Entered:
08/14/2015)

08/14/2015

1063 Redaction to 1073 Declaration of Erin E. McAdams filed by Cross Defendant
Alliance Holdings, Inc., (Attachments:

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# 1 Text of Proposed Order,
# 2 Exhibit G: K. Fenkell Deposition Exhibit 133,
# 3 Exhibit H: K. Fenkell Deposition Exhibit 134,
# 4 Exhibit I: K. Fenkell Deposition Exhibit 135,
# 5 Exhibit J: K. Fenkell Deposition 136,
# 6 Exhibit K: K. Fenkell Deposition 137,
# 7 Exhibit L: K. Fenkell Deposition 138,
# 8 Exhibit M: K. Fenkell Deposition 139,
# 9 Exhibit N: K. Fenkell Deposition 141,
# 10 Exhibit O: K. Fenkell Deposition Exhibit 129,
# 11 Exhibit P: K. Fenkell Deposition Exhibit 3,
# 12 Exhibit Q: Barclays_Fenkell 0010852,
# 13 Exhibit R: K. Fenkell Deposition Exhibit 4,
# 14 Exhibit S: K. Fenkell Deposition Exhibit 5,
# 15 Exhibit T: K. Fenkell Deposition Exhibit 130,
# 16 Exhibit U: AH_PJD_00010862-77,
# 17 Exhibit V: D. Fenkell Deposition Exhibit 27,
# 18 Exhibit W: D. Fenkell Deposition Exhibit 31,
# 19 Exhibit X: K. Fenkell Deposition Exhibit 34,
# 20 Exhibit Y: Barclays_Fenkell 0001976-2010,
# 21 Exhibit Z: K. Fenkell Deposition Exhibit 35) (Jackson, Charles) Modified on
8/17/2015: Corrected docketing event. (lak) (Entered: 08/14/2015)
08/14/2015

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1064 Redaction to 1074 Declaration of Erin E. McAdams filed by Cross Defendant
Alliance Holdings, Inc., (Attachments:
# 1 Exhibit AA: D. Fenkell Deposition Exhibit 57,
# 2 Exhibit BB: FEN PJD Assignment of Promissory Note, FEN PJD 004452,
# 3 Exhibit CC: Barclays_Fenkell 0007494-519,
# 4 Exhibit DD: Barclays_Fenkell 0006230-241,
# 5 Exhibit EE: K. Fenkell Deposition Exhibit 21,
# 6 Exhibit FF: K. Fenkell Deposition Exhibit 7,
# 7 Exhibit GG: K. Fenkell Deposition Exhibit 147,
# 8 Exhibit HH: K. Fenkell Deposition Exhibit 148,
# 9 Exhibit II: K. Fenkell Deposition Exhibit 149,
# 10 Exhibit JJ: K. Fenkell Deposition Exhibit 9,
# 11 Exhibit KK: AH_EDPA_001453309-18,
# 12 Exhibit LL: K. Fenkell Deposition Exhibit 10,
# 13 Exhibit MM: AH_EDPA_001470691-96,
# 14 Exhibit NN: K. Fenkell Deposition Exhibit 8,
# 15 Exhibit OO: K. Fenkell Deposition Exhibit 15,
# 16 Exhibit PP: AH_EDPA_001454415-50,
# 17 Exhibit QQ: K. Fenkell Deposition Exhibit 13,
# 18 Exhibit RR: K. Fenkell Deposition Exhibit 14,
# 19 Exhibit SS: AH_EDPA_001454805-30,
# 20 Exhibit TT: K. Fenkell Deposition Exhibit 12,
# 21 Exhibit UU: AH_EDPA_001455149-70,
# 22 Exhibit VV: K. Fenkell Deposition Exhibit 11,
# 23 Exhibit WW: AH_EDPA_001454379-414,

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# 24 Exhibit XX: AH_EDPA_01454781-804,
# 25 Exhibit YY: K. Fenkell Deposition Exhibit 17,
# 26 Exhibit ZZ: K. Fenkell Deposition Exhibit 18) (Jackson, Charles) Modified on
8/17/2015: Corrected docketing event. (lak) (Entered: 08/14/2015)
08/14/2015

1065 Redaction to 1075 Declaration of Erin E. McAdams filed by Cross Defendant
Alliance Holdings, Inc., (Attachments:
# 1 Exhibit AAA: AH_EDPA_001470680-84,
# 2 Exhibit BBB: K. Fenkell Deposition Exhibit 16,
# 3 Exhibit CCC: K. Fenkell Deposition Exhibit 20,
# 4 Exhibit DDD: K. Fenkell Deposition Exhibit 19,
# 5 Exhibit EEE: K. Fenkell Deposition Exhibit 23,
# 6 Exhibit FFF: K. Fenkell Deposition Exhibit 24,
# 7 Exhibit GGG: K. Fenkell Deposition Exhibit 25,
# 8 Exhibit HHH: K. Fenkell Deposition Exhibit 26,
# 9 Exhibit III: K. Fenkell Deposition Exhibit 27,
# 10 Exhibit JJJ: K. Fenkell Deposition Exhibit 28,
# 11 Exhibit KKK: K. Fenkell Deposition Exhibit 29,
# 12 Exhibit LLL: K. Fenkell Deposition Exhibit 30,
# 13 Exhibit MMM: K. Fenkell Deposition Exhibit 31,
# 14 Exhibit NNN: K. Fenkell Deposition Exhibit 32,
# 15 Exhibit OOO: AH_EDPA_001455125-48,
# 16 Exhibit PPP: Morgan Stanley Certificate of Business Records,
# 17 Exhibit QQQ: Declaration of John D. Matthew) (Jackson, Charles) Modified
on 8/17/2015: Corrected docketing event. (lak) (Entered: 08/14/2015)

08/14/2015

1066 Motion for Temporary Restraining Order by Defendant Alliance Holdings, Inc.
Employee Stock Ownership Plan, Defendant Alliance Holdings, Inc., Cross
Defendant Alliance Holdings, Inc. (Sealed Document) (Jackson, Charles) Modified
on 8/17/2015. (arw) (Entered: 08/14/2015)

08/14/2015

1067 Proposed Findings of Fact filed by Cross Defendant Alliance Holdings, Inc. re:
1056 Motion for TRO. (Sealed Document) (Jackson, Charles) (Entered:
08/14/2015)

08/14/2015

1068 Deposition of D. Fenkell taken on March 25, 2015 in support of Motion to Enforce
the Judgment, for a Constructive Trust, Temporary Restraining Order and
Injunction Freezing Fenkell Assets. (Sealed Document) (Jackson, Charles)
(Entered: 08/14/2015)

08/14/2015

1069 Deposition of D. Fenkell taken on March 26, 2015 in support of Motion to Enforce
the Judgment, for a Constructive Trust, Temporary Restraining Order and
Injunction Freezing Fenkell Assets. (Sealed Document) (Jackson, Charles)
(Entered: 08/14/2015)

08/14/2015

1070 Deposition of K. Fenkell taken on July 9, 2014 in support of Motion to Enforce the
Judgment, for a Constructive Trust, Temporary Restraining Order and Injunction
Freezing Fenkell Assets. (Sealed Document) (Jackson, Charles) (Entered:
08/14/2015)

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08/14/2015

1071 Deposition of K. Fenkell taken on April 23, 2015 in support of Motion to Enforce
the Judgment, for a Constructive Trust, Temporary Restraining Order and
Injunction Freezing Fenkell Assets. (Sealed Document) (Jackson, Charles)
(Entered: 08/14/2015)

08/14/2015

1072 Deposition of K. Fenkell taken on July 29, 2015 in support of Motion to Enforce
the Judgment, for a Constructive Trust, Temporary Restraining Order and
Injunction Freezing Fenkell Assets. (Sealed Document) (Jackson, Charles)
(Entered: 08/14/2015)

08/14/2015

1073 Declaration of Erin E. McAdams filed by Cross Defendant Alliance Holdings, Inc.
re: 1056 Motion for TRO, (Sealed Document) (Attachments:
# 1 Exhibit G: K. Fenkell Deposition Exhibit 133,
# 2 Exhibit H: K. Fenkell Deposition Exhibit 134,
# 3 Exhibit I: K. Fenkell Deposition Exhibit 135,
# 4 Exhibit J: K. Fenkell Deposition 136,
# 5 Exhibit K: K. Fenkell Deposition 137,
# 6 Exhibit L: K. Fenkell Deposition 138,
# 7 Exhibit M: K. Fenkell Deposition 139,
# 8 Exhibit N: K. Fenkell Deposition 141,
# 9 Exhibit O: K. Fenkell Deposition Exhibit 129,
# 10 Exhibit P: K. Fenkell Deposition Exhibit 3,
# 11 Exhibit Q: Barclays_Fenkell 0010852,
# 12 Exhibit R: K. Fenkell Deposition Exhibit 4,
# 13 Exhibit S: K. Fenkell Deposition Exhibit 5,
# 14 Exhibit T: K. Fenkell Deposition Exhibit 130,
# 15 Exhibit U: AH_PJD_00010862-77,
# 16 Exhibit V: D. Fenkell Deposition Exhibit 27,
# 17 Exhibit W: D. Fenkell Deposition Exhibit 31
# 18 Exhibit X: K. Fenkell Deposition Exhibit 34,
# 19 Exhibit Y: Barclays_Fenkell 0001976-2010,
# 20 Exhibit Z: K. Fenkell Deposition Exhibit 35 (Jackson, Charles) Modified on
8/17/2015. (lak) (Entered: 08/14/2015)

08/14/2015

1074 Declaration of Erin E. McAdams filed by Cross Defendant Alliance Holdings, Inc.
re: 1056 Motion for TRO, (Sealed Document) (Attachments:
# 1 Exhibit AA: D. Fenkell Deposition Exhibit 57,
# 2 Exhibit BB: FEN PJD Assignment of Promissory Note, FEN PJD 004452,
# 3 Exhibit CC: Barclays_Fenkell 0007494-519,
# 4 Exhibit DD: Barclays_Fenkell 0006230-241,
# 5 Exhibit EE: K. Fenkell Deposition Exhibit 21,
# 6 Exhibit FF: K. Fenkell Deposition Exhibit 7,
# 7 Exhibit GG: K. Fenkell Deposition Exhibit 147,
# 8 Exhibit HH: K. Fenkell Deposition Exhibit 148,
# 9 Exhibit II: K. Fenkell Deposition Exhibit 149,
# 10 Exhibit JJ: K. Fenkell Deposition Exhibit 9,
# 11 Exhibit KK: AH_EDPA_001453309-18,
# 12 Exhibit LL: K. Fenkell Deposition Exhibit 10,

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# 13 Exhibit MM: AH_EDPA_001470691-96,
# 14 Exhibit NN: K. Fenkell Deposition Exhibit 8,
# 15 Exhibit OO: K. Fenkell Deposition Exhibit 15,
# 16 Exhibit PP: AH_EDPA_001454415-50,
# 17 Exhibit QQ: K. Fenkell Deposition Exhibit 13,
# 18 Exhibit RR: K. Fenkell Deposition Exhibit 14
# 19 Exhibit SS: AH_EDPA_001454805-30,
# 20 Exhibit TT: K. Fenkell Deposition Exhibit 12,
# 21 Exhibit UU: AH_EDPA_001455149-70,
# 22 Exhibit VV: K. Fenkell Deposition Exhibit 11,
# 23 Exhibit WW: AH_EDPA_001454379-414,
# 24 Exhibit XX: AH_EDPA_01454781-804,
# 25 Exhibit YY: K. Fenkell Deposition Exhibit 17,
# 26 Exhibit ZZ: K. Fenkell Deposition Exhibit 18) (Jackson, Charles) Modified on
8/17/2015. (lak) (Entered: 08/14/2015)
08/14/2015

1075 Declaration of Erin E. McAdams filed by Cross Defendant Alliance Holdings, Inc.
re: 1056 Motion for TRO, (Sealed Document) (Attachments:
# 1 Exhibit AAA: AH_EDPA_001470680-84,
# 2 Exhibit BBB: K. Fenkell Deposition Exhibit 16,
# 3 Exhibit CCC: K. Fenkell Deposition Exhibit 20,
# 4 Exhibit DDD: K. Fenkell Deposition Exhibit 19,
# 5 Exhibit EEE: K. Fenkell Deposition Exhibit 23,
# 6 Exhibit FFF: K. Fenkell Deposition Exhibit 24,
# 7 Exhibit GGG: K. Fenkell Deposition Exhibit 25,
# 8 Exhibit HHH: K. Fenkell Deposition Exhibit 26,
# 9 Exhibit III: K. Fenkell Deposition Exhibit 27,
# 10 Exhibit JJJ: K. Fenkell Deposition Exhibit 28,
# 11 Exhibit KKK: K. Fenkell Deposition Exhibit 29,
# 12 Exhibit LLL: K. Fenkell Deposition Exhibit 30,
# 13 Exhibit MMM: K. Fenkell Deposition Exhibit 31,
# 14 Exhibit NNN: K. Fenkell Deposition Exhibit 32,
# 15 Exhibit OOO: AH_EDPA_001455125-48) (Jackson, Charles) Modified on
8/17/2015. (lak) (Entered: 08/14/2015)

08/17/2015

1076 ** TEXT ONLY ORDER **
Without deciding whether Alliance Holdings, Inc. and Alliance Holdings, Inc.
Employee Stock Ownership Plan ("judgment creditors") have demonstrated
irreparable harm in their motion for temporary restraining order, this motion does
not present the type of emergency which would require action on the part of the
court prior to the opposing party being heard. See Granny Goose Foods, Inc. v.
Bhd. of Teamsters & Auto Truck Drivers Local No. 70 of Alameda Cnty., 415 U.S.
423, 438-439 (1974) (explaining that the "stringent restrictions imposed by... Rule
65, on the availability of ex parte temporary restraining orders reflect the fact that
our entire jurisprudence runs counter to the notion of court action taken before
reasonable notice and an opportunity to be heard has been granted both sides of a
dispute"). As such, David Fenkell has until Friday, August 21, 2015, to respond to
the judgment creditors' motion for temporary restraining order. Signed by District

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Judge William M. Conley on 08/17/2015. (bgw) (Entered: 08/17/2015)
08/17/2015

1077 Motion for Extension of Time by Defendants David B. Fenkell, Karen Fenkell.
Motions referred to Magistrate Judge Stephen L. Crocker. Response due
8/24/2015. (Attachments:
# 1 Text of Proposed Order) (Johanson, David) Modified on 8/18/2015. (lak)
(Entered: 08/17/2015)

08/18/2015

1078 ** TEXT ONLY ORDER **
Defendant David Fenkell's motion for extension of time (dkt. # 1077 ) is
GRANTED. Fenkell's response to the motion for temporary restraining order is
now due Monday, August 24, 2015. Signed by District Judge William M. Conley
on 8/18/2015. (jls) (Entered: 08/18/2015)

08/24/2015

1079 Disregard. See 1080 . Modified on 8/25/2015. (lak) (Entered: 08/24/2015)

08/24/2015

1080 Corrected Brief in Opposition by Defendant David B. Fenkell re: 1066 Motion for
TRO, filed by Alliance Holdings, Inc., Alliance Holdings, Inc. Employee Stock
Ownership Plan (Attachments:
# 1 Exhibit - Affirmation (Also see 1083 .),
# 2 Exhibit - Declaration (Also see 1082 .) (Johanson, David) Modified on
8/25/2015. (lak) (Entered: 08/24/2015)

08/25/2015

1081 Brief in Opposition by Defendant David B. Fenkell re: 1066 Motion for TRO, filed
by Alliance Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership
Plan, 1056 Motion for TRO filed by Alliance Holdings, Inc., Alliance Holdings,
Inc. Employee Stock Ownership Plan. (Johanson, David) Modified on 8/25/2015:
Duplicate of 1080 ? Now linked to motion 1056 . (lak) (Entered: 08/25/2015)

08/25/2015

1082 Declaration of David B. Fenkell filed by Defendant David B. Fenkell In Support of
Opposition to Motion for TRO re: 1056 Motion for TRO, 1066 Motion for TRO.
(Johanson, David) Modified on 8/25/2015. (lak) (Entered: 08/25/2015)

08/25/2015

1083 Declaration of David R. Johanson filed by Defendant David B. Fenkell In Support
of Opposition to Motion for TRO re: 1056 Motion for TRO, 1066 Motion for TRO,
(Johanson, David) (Additional attachment(s) added on 8/25/2015:
# 1 Exhibit A - Excerpt of David B. Fenkell Deposition taken 3/25/2015 (See 1068
for complete deposition in condensed format.),
# 2 Exhibit B - Excerpt of Karen G. Fenkell Deposition taken 7/29/2015 (See 1072
for complete deposition in condensed format.) (lak) Modified on 8/25/2015 (lak).
(Entered: 08/25/2015)

08/25/2015

Set Telephonic Status Conference re: dkt. 1066 . Telephonic Status Conference set
for 8/26/2015 at 01:00 PM before Judge William M. Conley. Counsel for
Defendant Alliance Holdings responsible for setting up the call to chambers at
[phone]. (jls) (Entered: 08/25/2015)

08/25/2015

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1084 Notice to Counsel: The telephonic conference scheduled for tomorrow re: dkt.
1066 is cancelled. The court will reschedule if necessary. (jls) (Entered:
08/25/2015)

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08/28/2015

1085 ORDER granting 1032 Motion for Attorney Fees. Plaintiffs awarded attorney fees
in the amount of $17,599.81; granting 1034 Motion for Attorney Fees. Alliance
Holdings, Inc. and Alliance Holdings, Inc. Employee Stock Ownership Plan
awarded attorney fees in the amount of $31,740.54; denying as unnecessary 1038
Motion for Leave to File a Reply Instanter. Signed by District Judge William M.
Conley on 8/27/2015. (jls) (Entered: 08/28/2015)

08/28/2015

1086 ORDER denying 1050 Motion to Compel except that on or before September 10,
2015 David Fenkell is required to disclose the time and place of communications at
issue and whether any other individuals were involved. Signed by District Judge
William M. Conley on 8/27/2015. (jls) (Entered: 08/28/2015)

08/28/2015

1087 ORDER denying without prejudice 1066 Motion for TRO. Defendant Fenkell is
ordered to RESTORE to the Alliance ESOP $2,044,014.42 on or before September
4, 2015. Barring that, the court will hold a hearing on September 10, 2015, at 10:00
a.m., at which David Fenkell is ordered to appear in person to show cause why he
should not be held in civil contempt of this court's final judgment. Signed by
District Judge William M. Conley on 8/27/2015. (jls) (Entered: 08/28/2015)

08/28/2015

Set Hearing: Contempt Hearing set for 9/10/2015 at 10:00 AM in Courtroom 250
before District Judge William M. Conley. (jls) (Entered: 08/28/2015)

09/04/2015

1088 Motion to Enforce Judgment Against Defendant David B. Fenkell by Plaintiffs
Carol Chesemore, Daniel Donkel, Thomas Gieck, Martin Robbins, Nannette
Stoflet. Response due 9/11/2015. (Attachments:
# 1 Certificate of Service) (Bunch, Monya) (Entered: 09/04/2015)

09/04/2015

1089 Declaration of Monya M. Bunch filed by Plaintiffs Carol Chesemore, Daniel
Donkel, Thomas Gieck, Martin Robbins, Nannette Stoflet re: 1088 Motion to
Enforce Judgment, (Attachments:
# 1 Exhibit A - April 3 Praecipe for Writ of Execution against David Fenkell,
# 2 Exhibit B - April 6 E.D. Pa. Court's Write of Execution,
# 3 Exhibit C - July 27 renewed Praceipe for Write of Execution against Fenkell,
# 4 Exhibit D - July 27 E.D. Pa. Court's Writ of Execution) (Bunch, Monya)
Modified on 9/7/2015. (lak) (Entered: 09/04/2015)

09/04/2015

1090 Motion for Reconsideration (and Response) re: 1087 Order on Motion for TRO,
Set Deadlines/Hearings by Defendant David B. Fenkell. Response due 9/11/2015.
(Attachments:
# 1 Text of Proposed Order) (Johanson, David) Modified on 9/7/2015. (lak)
(Entered: 09/04/2015)

09/04/2015

1091 Redaction to 1094 Declaration of David R. Johanson filed by Defendant David B.
Fenkell (Attachments:
# 1 Exhibit A: EDPA Registration Docket 1,
# 2 Exhibit B: EDPA Registration Docket 2,
# 3 Exhibit C: Alliance ESOP Document,
# 4 Exhibit D: Excerpts of Fenkell 7th Circuit Brief,
# 5 Exhibit E: D. Fenkell Post-Judgment Deposition Excerpts (Filed Under Seal),
# 6 Exhibit F: K. Fenkell Post-Judgment Deposition Excerpts (Filed Under Seal),

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# 7 Exhibit G: Spencer Turbine Agreement (Filed Under Seal) (Johanson, David)
Modified on 9/7/2015. (lak) (Entered: 09/04/2015)
09/04/2015

1092 Redaction to 1096 Declaration of David B. Fenkell, (Attachments:
# 1 Exhibit A: Accounting,
# 2 Exhibit B: IRA Statement,
# 3 Exhibit C: SEP Statement,
# 4 Exhibit D: IRA Documentation,
# 5 Exhibit E: SEP Documentation,
# 6 Exhibit F: IRA Statement,
# 7 Exhibit G: SEP Statement) (Johanson, David) Modified on 9/7/2015. (lak)
(Entered: 09/04/2015)

09/04/2015

1093 Redaction to 1095 Brief in Support and Response to August 28th Order by
Defendant David B. Fenkell. (Johanson, David) Modified on 9/8/2015. (lak)
(Entered: 09/04/2015)

09/05/2015

1094 Declaration of David R. Johanson filed by Defendant David B. Fenkell re: 1090
Motion for Reconsideration (Sealed Document) (Attachments:
# 1 Exhibit A: EDPA Registration Docket 1,
# 2 Exhibit B: EDPA Registration Docket 2,
# 3 Exhibit C: Alliance ESOP Document,
# 4 Exhibit D: Excerpts of Fenkell 7th Circuit Brief,
# 5 Exhibit E: D. Fenkell Post-Judgment Deposition Excerpts (See 1068 for
complete deposition.),
# 6 Exhibit F: K. Fenkell Post-Judgment Deposition Excerpts (See 1071 for
complete deposition.),
# 7 Exhibit G: Spencer Turbine Agreement) (Johanson, David) Modified on
9/7/2015. (lak) (Entered: 09/05/2015)

09/08/2015

1095 Brief in Support of 1090 Motion for Reconsideration and Response to August 28th
Order by Defendant David B. Fenkell. (Sealed Document) (Johanson, David)
Modified on 9/8/2015. (lak) (Entered: 09/08/2015)

09/08/2015

1096 Declaration of David B. Fenkell filed by Defendant David B. Fenkell re: 1090
Motion for Reconsideration, (Sealed Document) (Attachments:
# 1 Exhibit A: Accounting,
# 2 Exhibit B: IRA Statement,
# 3 Exhibit C: SEP Statement,
# 4 Exhibit D: IRA Documentation,
# 5 Exhibit E: SEP Documentation,
# 6 Exhibit F: IRA Statement,
# 7 Exhibit G: SEP Statement) (Johanson, David) (Entered: 09/08/2015)

09/09/2015

1097 Brief in Opposition by Defendants Alliance Holdings, Inc., Alliance Holdings, Inc.
Employee Stock Ownership Plan re: 1090 Motion for Reconsideration, filed by
David B. Fenkell. (Golumbic, Lars) (Entered: 09/09/2015)

09/10/2015

1098 Declaration of David B. Fenkell filed by Defendant David B. Fenkell in
Compliance with this Court's Order of August 27, 2015 re: 1086 Order on Motion

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to Compel. (Johanson, David) (Entered: 09/10/2015)
09/11/2015

1099 Minute Entry for proceedings held before District Judge William M. Conley:
Contempt Hearing held on 9/10/2015. Written order to follow. [4:13] (Court
Reporters FTR, CS) (arw) (Entered: 09/11/2015)

09/11/2015

1100 Motion for Extension of Time by Defendant David B. Fenkell. Motions referred to
Magistrate Judge Stephen L. Crocker. (Attachments:
# 1 Text of Proposed Order) (Johanson, David) (Entered: 09/11/2015)

09/11/2015

1101 ** TEXT ONLY ORDER **
Defendant David Fenkell's motion for extension of time (dkt. # 1100 ) is
GRANTED. His response to Alliance's brief (dkt. # 1097 ) is now due Wednesday,
September 16, 2015. No further extensions will be granted except for extraordinary
cause. Signed by District Judge William M. Conley on 9/11/2015. (elc) (Entered:
09/11/2015)

09/16/2015

1103 Exhibits to Contempt Hearing held on 9/10/2015 before District Judge William M.
Conley. (Sealed Document) (Attachments:
# 1 Exhibit 1 - Account Statement,
# 2 Exhibit 2 - Account Statement,
# 3 Exhibit 3 - Account Statement,
# 4 Exhibit 4 - Account Statement,
# 5 Exhibit 5 - Account Statement,
# 6 Exhibit 6 - Account Statement,
# 7 Exhibit 7 - Account Statement,
# 8 Exhibit 8 - Personal Financial Statement,
# 9 Exhibit 9- Alliance ESOP Plan,
# 10 Exhibit 10 - Phantom Stock Agreement) (arw) (Entered: 09/16/2015)

09/16/2015

1105 Response to Proposed Findings of Fact filed by Defendant David B. Fenkell re:
1090 Motion for Reconsideration (in Response to Docket 1057 and 1067). (Sealed
Document) (Rubel, Douglas) (Entered: 09/16/2015)

09/16/2015

1106 Disregard. See 1107 for the Corrected Brief. (Sealed Document) (Rubel, Douglas)
Modified on 9/17/2015. (lak) (Entered: 09/16/2015)

09/17/2015

1107 Corrected Brief in Reply by Defendant David B. Fenkell in Support of 1090
Motion for Reconsideration. (Sealed Document) (Rubel, Douglas) (Entered:
09/17/2015)

09/18/2015

1108 Brief in Opposition by Defendant David B. Fenkell re: 1088 Motion to Enforce
Judgment, filed by Nannette Stoflet, Martin Robbins, Thomas Gieck, Daniel
Donkel, Carol Chesemore. (Johanson, David) (Entered: 09/18/2015)

09/25/2015

1109 NOTICE OF APPEAL by Defendant David B. Fenkell as to 1087 Order on Motion
for TRO. Filing fee of $ 505, receipt number 0758-1650915 paid. Docketing
Statement filed. (Attachments:
# 1 Docketing Statement) (Johanson, David) (Entered: 09/25/2015)

09/26/2015

1110 Notice of Supplemental Authority by Defendants Alliance Holdings, Inc., Alliance
Holdings, Inc. Employee Stock Ownership Plan re 1087 Order on Motion for TRO,

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(Attachments:
# 1 Exhibit A: Notifications of Electronic Filing for Dkt. Nos. 481 & 482,
# 2 Exhibit B: Dkt. Nos. 481 & 482) (Jackson, Charles) (Entered: 09/26/2015)
09/28/2015

1111 Appeal Information Packet. (lak) (Entered: 09/28/2015)

09/28/2015

1112 Transmission of Notice of Appeal, Docketing Statement, Order and Docket Sheet
to Seventh Circuit Court of Appeals re: 1109 Notice of Appeal, (Attachments:
# 1 Docketing Statement,
# 2 Order,
# 3 Docket Sheet) (lak) (Entered: 09/28/2015)

09/28/2015

1113 USCA Case Number 15-3140 for 1109 Notice of Appeal filed by David B. Fenkell.
(jls) (Entered: 09/28/2015)

10/02/2015

1114 Notice by Defendants Alliance Holdings, Inc., Alliance Holdings, Inc. Employee
Stock Ownership Plan of Filing Motion to Dismiss D. Fenkell's Appeal.
(Attachments:
# 1 Exhibit 1: October 2, 2015 Motion to Dismiss Appeal) (Jackson, Charles)
(Entered: 10/02/2015)

10/09/2015

1115 Transcript Request Form by Defendants Alliance Holdings, Inc., Alliance
Holdings, Inc. Employee Stock Ownership Plan. (Jackson, Charles) (Entered:
10/09/2015)

10/13/2015

1116 Court Reporter Certification of Seventh Circuit Transcript Information Sheet re
1109 Notice of Appeal. (jls) (Entered: 10/13/2015)

10/13/2015

1117 Transcript Request Form by Defendant David B. Fenkell, (Attachments:
# 1 Certificate of Service) (Johanson, David) (Entered: 10/13/2015)

10/14/2015

1118 Court Reporter Certification of Seventh Circuit Transcript Information Sheet re
1109 Notice of Appeal. (jls) (Entered: 10/14/2015)

10/14/2015

1119 Court Reporter Certification of Seventh Circuit Transcript Information Sheet re
1109 Notice of Appeal. (jls) (Entered: 10/14/2015)

10/30/2015

1120 Notice by Defendants Alliance Holdings, Inc., Alliance Holdings, Inc. Employee
Stock Ownership Plan of Filing. (Attachments:
# 1 Exhibit A: Response to Fenkell's Jurisdictional Statement in the Seventh
Circuit) (Jackson, Charles) (Entered: 10/30/2015)

11/18/2015

1121 ORDER denying 1090 Motion for Reconsideration and directing David Fenkell to
restore $2,044.014.42 to Alliance ESOP or provide a bond assuring the payment
pending appeal. Failure to do so by December 9, 2015 will result in a fine of $500
per day beginning on December 10, 2015 and doubling every week thereafter, until
in full compliance. If the total of the fines should exceed $1 million Mr. Fenkell is
ordered to appear before this court to show cause why he should not be held in
custody until in full compliance. Any fines received by the Clerk of Court will be
remitted to the plaintiffs. Signed by District Judge William M. Conley on
11/18/2015. (jls) (Entered: 11/18/2015)

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11/28/2015

1122 Motion to Stay re: 1121 Order on Motion for Reconsideration, by Defendant David
B. Fenkell. Response due 12/7/2015. (Attachments:
# 1 Text of Proposed Order) (Johanson, David) (Entered: 11/28/2015)

11/28/2015

1123 Brief in Support of 1122 Motion to Stay by Defendant David B. Fenkell,
(Attachments:
# 1 Exhibit - E-mail Dated 11/28/2015) (Johanson, David) Modified on
11/29/2015: Added exhibit description. (lak) (Entered: 11/28/2015)

11/30/2015

Reset Deadline: Response 1122 Motion to Stay re: 1121 Order on Motion for
Reconsideration. due 12/2/2015. (jls) (Entered: 11/30/2015)

12/02/2015

1124 Disregard. See 1127 . Modified on 12/3/2015. (lak) (Entered: 12/02/2015)

12/02/2015

1125 Brief in Opposition by Defendants Alliance Holdings, Inc., Alliance Holdings, Inc.
Employee Stock Ownership Plan re: 1122 Motion to Stay filed by David B.
Fenkell (Sealed Document) (Attachments:
# 1 Exhibit A: First Proposed Order,
# 2 Exhibit B: Second Proposed Order,
# 3 Exhibit C: Declaration of B. Spear (Also see 1128 .),
# 4 Exhibit D: David Fenkell 2014 Plan Participant Statement) (Jackson, Charles)
Modified on 12/3/2015. (lak) (Entered: 12/02/2015)

12/03/2015

1126 Brief in Reply by Defendant David B. Fenkell in Support of 1122 Motion to Stay
(Attachments:
# 1 Text of Proposed Order) (Rubel, Douglas) (Entered: 12/03/2015)

12/03/2015

1127 Redaction to 1125 Brief in Opposition to Motion to Stay by Defendants Alliance
Holdings, Inc., Alliance Holdings, Inc. Employee Stock Ownership Plan
(Attachments:
# 1 Exhibit A: First Proposed Order,
# 2 Exhibit B: Second Proposed Order,
# 3 Exhibit D: David Fenkell 2014 Plan Participant Statement) (Jackson, Charles)
(Entered: 12/03/2015)

12/03/2015

1128 Declaration of B. Spear filed by Defendants Alliance Holdings, Inc., Alliance
Holdings, Inc. Employee Stock Ownership Plan in support of Opposition re: 1122
Motion to Stay. (Sealed Document) (Jackson, Charles) Modified on 12/3/2015.
(lak) (Entered: 12/03/2015)

12/03/2015

1129 Motion for Leave to File Sur-Reply by Defendants Alliance Holdings, Inc.,
Alliance Holdings, Inc. Employee Stock Ownership Plan. (Attachments:
# 1 Exhibit A: Sur-Reply to Fenkell's Motion to Stay) (Jackson, Charles) (Entered:
12/03/2015)

12/04/2015

12/07/2015

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Minute Entry for proceedings held before District Judge William M. Conley:
Telephone Motion Hearing held on 12/4/2015 re 1122 Motion to Stay re: 1121
Order on Motion for Reconsideration filed by David B. Fenkell [:20] (mfh)
(Entered: 12/04/2015)
1130 Notice by Defendants Alliance Holdings, Inc., Alliance Holdings, Inc. Employee
Stock Ownership Plan of Filing Proposed Orders and Pledge Agreements re: 1122

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Motion to Stay re: 1121 Order on Motion for Reconsideration, (Attachments:
# 1 Exhibit A: Judgment Creditors' Proposed Order,
# 2 Exhibit B: Fenkell's Proposed Order,
# 3 Exhibit C: Proposed Order Comparison,
# 4 Exhibit D: Judgment Creditors' Proposed Pledge,
# 5 Exhibit E: Fenkell's Proposed Pledge,
# 6 Exhibit F: Pledge Comparison) (Jackson, Charles) Modified on 12/7/2015.
(lak) (Entered: 12/07/2015)
12/07/2015

Minute Entry for proceedings held before District Judge William M. Conley:
Continued Telephone Motion Hearing held on 12/7/2015 re 1122 Motion to Stay
re: 1121 Order on Motion for Reconsideration filed by David B. Fenkell [:40]
(Court Reporter ls.) (skv) (Entered: 12/07/2015)

12/08/2015

Minute Entry for proceedings held before District Judge William M. Conley:
(second) continued Motion Hearing held on 12/8/2015 [:40] (Court Reporter LS.)
(mfh) (Entered: 12/08/2015)

12/08/2015

1131 Notice by Defendant David B. Fenkell of Filing Agreed Order re: 1121 Order on
Motion for Reconsideration, (Attachments:
# 1 Text of Proposed Order) (Rubel, Douglas) Modified on 12/9/2015. (lak)
(Entered: 12/08/2015)

12/09/2015

1132 ORDER denying 1122 Motion to Stay; enforcing Mr. Fenkell's Pledge of Collateral
Assets; and directing Mr. Fenkell to post a supersedeas bond in the amount of
$995,345.78 by December 9, 2015. Failure to do so will result in fines being
imposed consistent with the Court's November 18, 2015 Opinion and Order (Dkt.
1121 ). Signed by District Judge William M. Conley on 12/9/2015. (Attachments:
# 1 Collateral Pledge of Assets) (jls) (Entered: 12/09/2015)

12/09/2015

1133 ** TEXT ONLY ORDER **
Defendants Alliance Holdings, Inc. and Alliance Holdings, Inc. ESOP's motion for
leave to file sur-reply (dkt. # 1129 ) is GRANTED. Signed by District Judge
William M. Conley on 12/9/2015. (jls) (Entered: 12/09/2015)

12/09/2015

1134 NOTICE OF APPEAL by Defendant David B. Fenkell as to 1031 Order on Motion
to Compel, 1132 Order on Motion to Stay, Order on Motion for Leave to File, 1085
Order on Motion for Attorney Fees, Order on Motion for Leave to File, 1087 Order
on Motion for TRO, 1086 Order on Motion to Compel, 1121 Order on Motion for
Reconsideration. Filing fee of $ 505, receipt number 0758-1699437 paid.
Docketing Statement filed. (Attachments:
# 1 Docketing Statement) (Rubel, Douglas) Modified on 12/10/2015. (lak)
(Entered: 12/09/2015)

12/09/2015

1135 Notice by Defendant David B. Fenkell of Filing of Supersedeas Bond.
(Attachments:
# 1 Exhibit A: Copy of Supersedeas Bond) (Rubel, Douglas) (Entered: 12/09/2015)

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