Legal Action: US Bancorp Piper Jaffray; Thomas J. O’Neil; Robert English; Charles Robert Lowry; Andrew William Dunleavy; Brian Hellberg; Richard Troy Chase; Andrew Scott Duff; Addison Lewis Piper; Joseph Daniel Fleming; Paul Peter Karos; David Wood Maclennan; James Louis Chosy; Sandra Gay Sponem; Ross Eugene Rogers and John and Jane Does

Legal Action: US Bancorp Piper Jaffray; Thomas J. O'Neil; Robert English; Charles Robert Lowry; Andrew William Dunleavy; Brian Hellberg; Richard Troy Chase; Andrew Scott Duff; Addison Lewis Piper; Joseph Daniel Fleming; Paul Peter Karos; David Wood Maclennan; James Louis Chosy; Sandra Gay Sponem; Ross Eugene Rogers and John and Jane Does

2015 US Bancorp Piper Jaffray; Thomas J. O’Neil; Robert English; Charles Robert Lowry; Andrew William Dunleavy; Brian Hellberg; Richard Troy Chase; Andrew Scott Duff; Addison Lewis Piper; Joseph Daniel Fleming; Paul Peter Karos; David Wood Maclennan; James Louis Chosy; Sandra Gay Sponem; Ross Eugene Rogers and John and Jane Does Consent Agreement