Table of Authorities - pli.edu · Table of Authorities (References are to pages.) CASES A A. W....

Table of Authorities

(References are to pages.)

CASES

AA. W. Chesterton Co. v. Chesterton .......................................... 10-21Abbott Labs. Derivative S’holders Litig., In re ....................9-13, 9-20Abercrombie v. Davies ....................................................12-24, 12-25Abraham v. Emerson Radio Corp. ............................................. 10-19Ace Ltd. v. Capital Re Corp. ...................................................... 13-25Ahmad v. Morgan Stanley & Co. .............................................. 14-30Air Prods. & Chems., Inc. v. Airgas, Inc. .................................. 13-35Airgas, Inc. v. Air Prods. & Chems., Inc. ...................................... 8-8Airvator, Inc. v. Turtle Mountain Mfg. Co. ................................... 1-4Alford v. Shaw ............................................................................. 8-44Amalgamated Bank v. Yahoo! Inc. ............................................... 8-26Amanda Acquisition Corp. v. Universal Foods Corp. .................. 9-18Amgen, Inc. v. Conn. Ret. Plans & Tr. Funds ................14-13, 14-14Ams. Mining Corp. v. Theriault ................................................ 10-14Analytical Surveys, Inc. v. Tonga Partners, L.P. ......................... 14-21Anderson v. Campbell ................................................................. 8-59Andrikopoulos v. Silicon Valley Innovation Co. .......................... 9-29AngioScore, Inc. v. TriReme Med., Inc. ....................................... 10-6Aronson v. Lewis ....................................8-29, 8-30, 9-9, 9-23, 13-34Appraisal of Ancestry.com, Inc., In re ......................................... 13-9Appraisal of Dell, Inc., In re ........................................................ 13-8Asadi v. G.E. Energy (USA), LLC ...................................14-32, 14-34Asarco, Inc. v. Holmes à Court ................................................... 12-8Asbury Hosp. v. Cass County ........................................................ 1-4ATP Tour, Inc. v. Deutscher Tennis Bund ................................... 6-10Auerbach v. Bennett ..................................................................... 8-44

T–1(Soderquist, Rel. #4, 8/16)

BBabak, In re ................................................................................. 8-67Baker v. Health Mgmt. Sys., Inc. ................................................. 9-31Baker v. Impact Holding, Inc. ...................................................... 6-17Banko v. Apple, Inc. ................................................................... 14-34Barasch v. Williams Real Estate Co. ............................................ 8-27Barnes v. Andrews .......................................................... 9-3, 9-4, 9-5Barnes v. Telestone Techs. Corp. ................................................. 8-27Basic, Inc. v. Levinson ........................................ 14-11, 14-12, 14-13Bates v. Dresser ......................................................................9-4, 9-5Bebo v. SEC ............................................................................... 14-37Bechtel v. Admin. Rev. Bd., U.S. Dep’t of Labor ........................ 14-27Becker v. Killarney ....................................................................... 3-33Benihana of Tokyo, Inc. v. Benihana, Inc. ................................... 10-3Bennett v. SEC ........................................................................... 14-37Berman v. Neo@Ogilvy LLC ..................................................... 14-34B.J.’s Wholesale Club, Inc. S’holders Litig., In re ...................... 10-10Boilermakers Local 154 Ret. Fund v. Chevron Corp. .........6-13, 6-14Bonanno v. VTB Holdings ........................................................... 6-17Bos. Concord & Montreal R.R. v. State ......................................... 1-4Branin v. Stein Roe Inv. Counsel, LLC ........................................ 9-30Brautigam v. Blankfein ................................................................ 8-30Brautigam v. Dahlback ................................................................ 8-30Brehm v. Eisner ........................................................................... 8-29Brevan Howard Credit Catalyst Master Fund, Ltd. v.

Spanish Broad. Sys., Inc. ................................................... 11-13Brock Built, LCC v. Blake ............................................................ 9-27Brodie v. Jordan ......................................................................... 10-21Brooks v. Willcuts .......................................................................... 2-6Broz v. Cellular Info. Sys. ............................................................ 10-6Burgess v. Patterson ..................................................................... 8-44Burwell v. Hobby Lobby Stores, Inc. ...................................4-23, 4-37Bus. Roundtable v. SEC ............................................ 5-8, 8-20, 14-29Buttonwood Tree Value Partners, L.P. v. R.L. Polk & Co. .....4-38, 9-2

CC&J Energy Servs., Inc. v.

City of Miami Gen. Emps.’ &Sanitation Emps.’ Ret. Tr. ........................................13-39, 13-40

Calma ex rel. Citrix Sys., Inc. v. Templeton ............................... 8-52Canmore Consultants Ltd. v. L.O.M. Med. Int’l, Inc. ................. 8-18Cantor v. Sunshine Greenery, Inc. .....................................4-44, 4-45

SODERQUIST ON CORPORATE LAW & PRACTICE

T–2

Caremark Int’l, Inc. Derivative Litig., In re ........................ 9-8, 9-19,...........................................................................9-20, 9-21, 13-39

Carnero v. Bos. Sci. Corp. ......................................................... 14-26Case of Langforth Bridge ............................................................... 1-7Case of Sutton’s Hosp. ........................................................... 1-2, 1-3Cent. Laborers’ Pension Fund v. Dimon ..................................... 9-20CertiSign Holding, Inc., In re ...................................................... 4-51Cent. Laborers Pension Fund v. News Corp. ............................... 8-27Chammas v. Navlink, Inc. .......................................................... 8-28ChinaCast Educ. Corp. Sec. Litig., In re .......................... 8-56, 14-11Cigna Life & Health Ins. Co. v. Audax Health Sols., Inc. ........... 13-7Citizens United v. Fed. Election Comm’n ............................ 1-8, 4-37City of Providence v. First Citizens BancShares, Inc. .................. 6-14City of Westland Police & Fire Ret. Sys. v.

Axcelis Techs., Inc. ............................................................... 8-24Cleveland v. Johnson .............................................................. 4-6, 4-7CML V, LLC v. Bax ............................................................. 3-54, 8-31Commonwealth v. Proprietors of New Bedford Bridge .................. 1-8Connolly v. Remkes ................................................................... 14-34Cornerstone Therapeutics, Inc. Stockholder Litig., In re ............ 9-11Corwin v. KKR Fin. Holdings LLC ................................... 9-26, 10-12Coyne v. Park & Tilford Distillers Corp. ..................................... 4-11Cranson v. IBM .................................................................. 4-44, 4-45Credit Suisse Sec. (USA) LLC v. Simmonds ................... 14-21, 14-22Crimson Expl., Inc. Stockholder Litig., In re ............................. 10-11Crown EMAK Partners, LLC v. Kurz ...........................6-6, 6-22, 8-22CTS Corp. v. Dynamics Corp. of Am. ........................... 13-42, 13-43Cuppy v. Ward ............................................................................... 2-6CytRx Corp. S’holder Derivative Litig., In re .............................. 6-14

DDaniels v. Thomas, Dean & Hoskins, Inc. ............................... 10-21DBA Distrib. Servs., Inc. v.

All Source Freight Sols., Inc. .............................................. 13-21Delmarmo Assoc. v. N.J. Eng’g & Supply Co. ............................... 6-5Denkins v. Zinkan Enters. .......................................................... 5-43DeWitt Truck Brokers, Inc. v.

W. Ray Flemming Fruit Co. ............................................. 7-6, 7-7Dodge v. Ford Motor Co. ........................................................... 11-18Dole Food Co. Stockholder Litig., In re ..................................... 10-15Donahue v. Rodd Electrotype Co. ...............................2-6, 2-7, 10-20,

............................................................. 10-21, 12-6, 12-13, 12-14Donnawell v. Hamburger ............................................................ 8-64Drive-In Dev. Corp., In re ........................................................... 8-61



EEdelman v. JELBS ........................................................................ 8-64Edgar v. MITE Corp. .......................................... 13-41, 13-42, 13-43Egan v. Trading Screen, Inc. ...................................................... 14-34Elf Atochem N. Am., Inc. v. Jaffari & Malek LLC ....................... 3-46Ellington v. Giacoumakis .......................................................... 14-31Emerald Partners v. Berlin (Emerald I) ...............................9-12, 9-13Enerl, In re ................................................................................ 15-19Englehart v. Career Educ. Corp. ................................................ 14-34Erica P. John Fund, Inc. v. Halliburton Co. ............................... 14-12Escott v. BarChris Constr. Corp. ................................................... 9-8Espinoza ex rel. JPMorgan Chase & Co. v. Dimon ..................... 9-26Espinoza v. Zuckerberg ................................................................ 8-52Essex Universal Corp. v. Yates ................................................... 10-17EZCORP, Inc. Consulting Agreement

Derivative Litig., In re ...............................................9-12, 10-12

FFab Universal Corp. S’holder Derivative Litig., In re .................. 8-50Farmers’ Loan & Tr. Co. v. Pierson ............................................... 1-4FDIC v. Stahl ............................................................................... 9-16FDIC v. Van Dellen ..................................................................... 9-27Fett Roofing & Sheet Metal Co. v. Moore ................................... 5-18Fezzani v. Bear, Stearns & Co. ................................................... 14-16First Nat’l Bank v. Bellotti ............................................................. 1-8Fizzano Bros. Concrete Prods., Inc. v. XLN, Inc. ...................... 13-16Fleet/Norstar Sec. Litig., In re ...................................................... 9-16Forsythe v. ESC Fund Mgmt. Co. (U.S.) ...................................... 3-37Fought v. Morris ........................................................................ 10-21Francis v. United Jersey Bank ........................................................ 9-8Frank v. Elgamal ...................................... 10-11, 10-12, 10-14, 10-19Freedman v. Adams ..................................................................... 8-65Freedman v. Redstone .........................................................8-64, 8-65Fuchs v. Wren Holdings, LLC .................................................... 10-16

GGabelli v. SEC ............................................................................ 14-18Gaillard v. Natomas Co. .............................................................. 9-27Galaviz v. Berg ........................................1-10, 4-24, 6-14, 6-15, 8-31Galler v. Galler ....................................................... 2-6, 12-19, 12-20


T–4

Gantler v. Stephens .................................................... 9-2, 9-15, 9-27Gay v. Gay ’s Supermarkets, Inc. ............................................... 11-18Genberg v. Porter ....................................................................... 14-34Genelux Corp., In re ................................................................... 4-51Gen. Overseas Films, Ltd. v. Robin Int’l, Inc. ............................. 8-62Gentili v. L.O.M. Med. Int’l, Inc. ................................................ 8-22Gimbel v. Signal Cos. ................................................................ 15-21Glassman v. Unocal Expl. Corp. .......................... 1-16, 10-13, 13-24Godbold v. Branch Bank .............................................................. 9-22Gorman v. Salamone ................................................................... 8-53Graham v. Allis-Chalmers Mfg. Co. ...................................9-18, 9-20Gray Fin. Grp., Inc. v. SEC ....................................................... 14-37Grimes v. Donald ........................................................................ 8-28Guth v. Loft, Inc. ................................................................10-5, 10-6

HHaberland v. Bulkeley .................................................................. 8-64Hale v. Henkel ............................................................................... 1-8Hall v. Hall .....................................................................12-12, 12-13Halliburton Co. v. Erica P. John Fund, Inc.

(Halliburton II) ............................................. 14-11, 14-12, 14-13Hammar v. Cost Control Mktg. & Sales Mgmt. of Va., Inc. ......... 7-11Hanewald v. Bryan’s, Inc. ............................................................ 5-34Hanson Tr. PLC v. SCM Corp. .................................................. 13-27Hariton v. ARCO Elecs., Inc. ..................................................... 13-15Harrill v. Davis ............................................................................ 4-44Harris v. Curtis .............................................................................. 7-4Heilbrunn v. Sun Chem. Corp. ................................................. 13-15Heine v. Streamline Foods Inc. .................................................... 4-36Helms v. Duckworth ..........................................................2-6, 10-20Hertz Corp. v. Friend ..................................................................... 4-9Hill Int’l, Inc. v. Opportunity Partners, L.P. .................................. 6-5Hill v. SEC ................................................................................. 14-37Holley v. Nipro Diagnostics, Inc. ................................................ 9-29Holston Invs., Inc. B. V. I. v. LanLogistics Corp. ....................... 13-44Huff Energy Fund, LP, v. Longview Energy Co. .......................... 10-6Huff Fund. Inv. P ’ship v. CKx, Inc. ........................................... 13-10Husted v. Amrep Corp. ................................................................ 7-11



IIn re Abbott Labs. Derivative S’holders Litig. .....................9-13, 9-20In re Appraisal of Ancestry.com, Inc. .......................................... 13-9In re Appraisal of Dell, Inc. ......................................................... 13-8In re Babak .................................................................................. 8-67In re B.J.’s Wholesale Club, Inc. S’holders Litig. ....................... 10-10In re Caremark Int’l, Inc. Derivative Litig. .........................9-8, 9-19,

.......................................................................... 9-20, 9-21, 13-39In re CertiSign Holding, Inc. ....................................................... 4-51In re ChinaCast Educ. Corp. Sec. Litig. ...........................8-56, 14-11In re Cornerstone Therapeutics, Inc. Stockholder Litig. ............. 9-11In re Crimson Expl., Inc. Stockholder Litig. .............................. 10-11In re CytRx Corp. S’holder Derivative Litig. ............................... 6-14In re Dole Food Co. Stockholder Litig. .................................... 10-15In re Drive-In Dev. Corp. ............................................................ 8-61In re Enerl ................................................................................. 15-19In re EZCORP, Inc. Consulting Agreement

Derivative Litig. .........................................................9-12, 10-12In re Fab Universal Corp. S’holder Derivative Litig. ................... 8-50In re Fleet/Norstar Sec. Litig. ....................................................... 9-16In re Genelux Corp. .................................................................... 4-51In re Intel Corp. Derivative Litig. ................................................ 8-30In re John P. Flannery & James P. Hopkins ............................... 14-17In re KBR, Inc. ........................................................................... 14-33In re Kemp & Beatley, Inc. ........................................................ 12-15In re Kenneth Cole Prods., Inc. S’holder Litig. .......................... 10-15In re LNR Prop. Corp. S’holders Litig. ...........................10-14, 10-19In re Logitech Int’l SA ............................................................... 15-19In re Lululemon Athletica, Inc. ................................................... 8-24In re Nine Sys. Corp. S’holders Litig. ........................................ 10-16In re Novell, Inc. S’holder Litig. ................................................ 10-10In re Numoda Corp. S’holder Litig. ............................................. 4-51In re OPENLANE, Inc. S’holders Litig. ....................................... 8-21In re Orchard Enters., Inc. Stockholder Litig. .......................... 10-16In re PSE&G S’holder Litig. ........................................................ 8-44In re Revlon, Inc. S’holders Litig. .................... 1-10, 4-24, 6-13, 8-31In re Riverbed Tech., Inc. Stockholders Litig. .............................. 13-5In re Salix Pharm., Ltd. ............................................................. 15-19In re Synthes, Inc. S’holder Litig. .............................................. 10-18In re TIBCO Software, Inc. Stockholders Litig. ........................... 9-27In re Trulia, Inc. Stockholder Litig. ....................................13-4, 13-5In re Vaalco Energy S’holder Litig. ............................................... 8-16In re Wal-Mart Stores, Inc. S’holder Derivative Litig. ................. 8-27In re Walt Disney Co. Derivative Litig. ..............................8-64, 9-13In re Zale Corp. Stockholders Litig. ........................................... 9-26


T–6

Insuranshares Corp. v. N. Fiscal Corp. ..................................... 10-16Intel Corp. Derivative Litig., In re ............................................... 8-30Intertrust GCN, LP v. Interstate Gen. Media, LLC ................... 13-46Int’l Flavors & Fragrances, Inc. v. St. Paul Protective Ins. Co. ....... 13-16Iron Workers Mid-South Pension Fund v. Davis ......................... 9-27Irving Tr. Co. v. Deutsche ............................................................ 10-6Ivanhoe Partners v. Newmont Mining Corp. .............................. 9-12

JJacksonville M.P. Ry. & Navigation Co. v. Hooper ...................... 4-23Jacobson v. Stern ........................................................................... 4-6Jacobus v. Jamestown Mantel Co. ............................................... 8-62Janus Capital Grp., Inc. v. First Derivative Traders .........14-7, 14-16,

..................................................................................14-17, 14-20Jarkesy v. SEC ............................................................................ 14-37Jefferson v. Dominion Holdings, Inc. .......................................... 8-26John P. Flannery & James P. Hopkins, In re .............................. 14-17Jones v. Southpeak Interactive Corp. ......................................... 14-27Jones v. Wallace ........................................................................... 6-23Joy v. North ................................................................................. 9-24

KKahn v. Lynch Commc’n Sys., Inc. ........... 9-25, 10-14, 10-15, 10-16Kahn v. M&F Worldwide Corp. ........................................9-25, 10-14Kan. Heart Hosp., LLC v. Idbeis .................................................... 6-5Kaufman v. Alexander ................................................................... 6-5KBR, Inc., In re .......................................................................... 14-33Kemp & Beatley, Inc., In re ....................................................... 12-15Kenneth Cole Prods., Inc. S’holder Litig., In re ......................... 10-15Kenneth Cole Prods., Inc. v. Blitzer ........................................... 10-15Khazin v. TD Ameritrade Holding Corp. ........... 14-31, 14-33, 14-34Kirk v. Schaeffler Grp. USA, Inc. ............................................... 13-13Kirschner v. K&L Gates LLP ........................................................ 8-45Klang v. Smith’s Food & Drug Ctrs., Inc. ......................11-15, 11-16Knapp v. N. Am. Rockwell Corp. .............................................. 13-15Knoll Capital Mgmt. L.P. v. Advaxis, Inc ..................................... 4-51Kolb v. ACRA Control, Ltd. ........................................................ 8-64Kovacik v. Reed ...................................................................3-29, 3-33Kramer v. Trans-Lux Corp. .............................................14-30, 14-34Kruger v. Gerth .............................................................................. 2-6



LLavene v. Lavene ............................................................................ 2-6Lawson v. FMR LLC .................................................................. 14-26Laya v. Erin Homes, Inc. ............................................................... 7-2Lehman Bros. Holdings, Inc. v.

Gateway Funding Diversified Mortg. Servs., L.P. ................ 13-16Lehman Bros. Holdings Inc. v. Spanish Broad. Sys. .................... 5-10Lehrman v. Cohen .............................................. 12-24, 12-25, 12-26Lidow v. Superior Court .............................................................. 4-36Litwin v. Allen ......................................................... 9-5, 9-6, 9-7, 9-9Liu v. Siemens A.G. ................................................................... 14-32LNR Prop. Corp. S’holders Litig., In re ..........................10-14, 10-19Logitech Int’l SA, In re .............................................................. 15-19Long Park, Inc. v. Trenton-New Brunswick Theaters Co. ......... 12-21LongPath Capital, LLC v. Ramtron Int’l Corp. ............................ 13-9Louis K. Liggett Co. v. Lee ..................................................1-11, 1-13La. Mun. Police Emps. Ret. Sys. v. Morgan Stanley & Co. ......... 8-24Lululemon Athletica, Inc., In re .................................................. 8-24Lutzeier v. Citigroup, Inc. .......................................................... 14-34Lyondell Chem. Co. v. Ryan ................................. 9-13, 13-38, 13-39

MMalpiede v. Towson ..................................................................... 9-13Mannix v. PlasmaNet, Inc. .......................................................... 13-9Manson v. Curtis ......................................................................... 8-32Marx v. Akers .............................................................................. 8-29Matrixx Initiatives, Inc. v. Siracusano ............................14-11, 14-14McArthur v. Times Printing Co. ................................................... 4-3McCulloch v. Maryland ................................................................. 1-2McPadden v. Sidhu ...................................................................... 9-26Meinhard v. Salmon .................................................................... 3-22Mendel v. Carroll ....................................................................... 10-19Merion Capital LP v. BMC Software, Inc. ................................... 13-9Merlin Partners LP v. AutoInfo, Inc. ........................................... 13-9Meso Scale Diagnostics, LLC v. Roche Diagnostics GmbH ...... 13-20Miller v. AT&T ............................................................................ 9-21Miller v. Miller ............................................................................ 10-6Mills Acquisition Co. v. Macmillan, Inc. .................................... 9-12Mitchell v. Highland-W. Glass ..................................................... 9-24Molasky Enters., Inc. v. Carps, Inc. ............................................. 8-57


T–8

Moran v. Household Int’l, Inc. ........................... 13-33, 13-34, 13-35Morrical v. Rogers ........................................................................ 8-17Morrison v. Nat’l Austl. Bank Ltd. ............................................ 14-18M/S Bremen v. Zapata Off-Shore Co. .......................................... 6-14Murray v. UBS Sec., LLC ........................................................... 14-34

NNAMA Holdings, LLC. v. World Mkt. Ctr. Venture, LLC ........... 3-46Namerly v. Generalcar ................................................................. 4-47Nat’l Labor Relations Bd. v. White Oak Coal Co. ..............7-10, 7-11N.Y. Cent. & Hudson River R.R. v. United States ........................ 1-8N.Y. Cent. R.R. v. Lockwood ..................................................9-6, 9-7Nine Sys. Corp. S’holders Litig., In re ....................................... 10-16Nixon v. Blackwell ..............................................................2-7, 12-14Nollner v. S. Baptist Convention, Inc. ...................................... 14-34Norlin Corp. v. Rooney, Pace, Inc. ............................................. 13-36North v. McNamara .................................................................... 6-15N. Am. Catholic Educ.

Programming Found. v. Gheewalla ....................................... 8-31Ne. Harbor Golf Club, Inc. v. Harris ........................................... 10-8Novell, Inc. S’holder Litig., In re ............................................... 10-10Numoda Corp. S’holder Litig., In re ............................................ 4-51

OObre v. Alban Tractor Co. ........................................................... 5-18Okla. Press Publ’g Co. v. Walling .................................................. 1-8Olson v. Halvorsen ...................................................................... 3-46Omnicare, Inc. v. NCS Healthcare, Inc. .................................... 13-25OPENLANE, Inc. S’holders Litig., In re ...................................... 8-21Orchard Enters., Inc. Stockholder Litig., In re .......................... 10-16Owen v. Cannon ......................................................................... 13-9

PPanter v. Marshall Field & Co. .................................................... 9-22Para-Med. Leasing, Inc. v. Hangen .............................................. 9-16Paramount Commc’ns, Inc. v. QVC Network, Inc. ........13-36, 13-37Paramount Commc’ns, Inc. v. Time, Inc. ................................. 13-36Pederson v. Arctic Slope Reg’l Corp. ............................................ 8-26Pepper v. Litton ......................................................................... 10-19



Pereira v. Cogan ......................................................................... 11-16Perl v. IU Int’l Corp. .................................................................. 13-24Perlman v. Feldman ................................................................... 10-17Pierce v. SEC .............................................................................. 14-37Pipelife Corp. v. Bedford .............................................................. 5-36Potter v. Pohlad ............................................................................ 9-16Prousalis v. Moore ..................................................................... 14-17Providence & Worcester Co. v. Baker .......................................... 12-7PSE&G S’holder Litig., In re ....................................................... 8-44Pyott v. La. Mun. Police Emps.’ Ret. Sys. .................................... 4-36

QQuaker Hill, Inc. v. Par .................................................................. 4-5

RRales v. Blasband ......................................................................... 8-30Randall v. Bailey ........................................................................ 11-15Rath v. Rath Packing Co. ........................................................... 13-15Ravenswood Inv. Co. v. Winmill & Co. ...................................... 8-26Ray v. Alad Corp. ...................................................................... 13-15RBC Capital Mkts., LLC v. Jervis .....................................9-27, 13-40Red Oak Fund, L.P. v. Digirad Corp. ........................................... 8-17Regnante v. Sec. & Exch. Officials ............................................. 14-32Revlon Inc. v. MacAndrews & Forbes Holdings, Inc. ........6-13, 9-12,

...................................................................................9-18, 13-36,

...................................................................... 13-37, 13-39, 13-40Revlon, Inc. S’holders Litig., In re ................... 1-10, 4-24, 6-13, 8-31Richert v. Handly ......................................................................... 3-29Ringling Bros.—Barnum & Bailey

Combined Shows, Inc. v. Ringling ...........................12-25, 12-26Ripin v. U.S. Woven Label Co. ...................................................... 2-6Riverbed Tech., Inc. Stockholders Litig., In re ............................. 13-5Roach & Legal Ctr., Inc. v. Bynum .............................................. 6-22Roam-Tel Partners v.

AT&T Mobility Wireless Operations Holdings, Inc. ............ 13-9Roberts v. TriQuint Semiconductor, Inc. ............................6-14, 6-15Robertson v. Levy ......................................................................... 4-46Rosenblum v. Thomson Reuters (Mkts.) LLC ........................... 14-34Rosenfield v. Metals Selling Corp. ............................................... 9-16Rothenberg v. Goldstein .............................................................. 6-19


T–10

Rubenstein v. Gonzalez ............................................................. 13-53Rubin v. United States ................................................................. 14-4Ryan v. Gifford ............................................................................ 8-64

SSalix Pharm., Ltd., In re ............................................................ 15-19Santa Clara Co. v. S. Pac. R.R. ...................................................... 1-8Santoro v. Accenture Fed. Servs., LLC ....................................... 14-33Scandia Down Corp. v. Euroquilt, Inc. .......................................... 1-4Se. Pa. Transp. Auth. v. AbbVie, Inc. ........................................... 8-25Seagrave Corp. v. Mount ................................................10-16, 10-17SEC v. A Chi. Convention Ctr., LLC ......................................... 14-32SEC v. Chenery Corp. .................................................................... 9-1SEC v. Monteroso ...................................................................... 14-17SEC v. Pentagon Capital Mgmt. PLC .............................14-16, 14-17SEC v. Stoker ....................................................................14-7, 14-19Seinfeld v. Slager .......................................................................... 8-65Seinfeld v. Verizon Commc’ns, Inc. ............................................. 8-24Selcke v. Bove .............................................................................. 9-16Shaev v. Adkerson ........................................................................ 8-64Shaffer v. Heitner ........................................................................... 9-2Sherwood & Roberts-Oregon, Inc. v. Alexander .....................4-4, 4-5Sierra v. Goldbelt, Inc. ................................................................. 5-37Sinchareonkul v. Fahnemann ...................................................... 4-27Singer v. Magnavox .................................................................... 13-23Sinking-Fund Cases ....................................................................... 1-8Smith v. Van Gorkom ..................... 9-9, 9-10, 9-23, 9-24, 9-34, 9-35S. Pac. Co. v. Bogert ................................................................... 10-19Spring Hill Capital Partners LLC v. SEC ................................... 14-37State v. Luv Pharmacy, Inc. ........................................................... 1-4State v. Morris & E. R.R. ............................................................... 1-8Steginsky v. Xcelera, Inc. ........................................................... 14-18Stern v. Lucy Webb Hayes Nat’l Training Sch. for

Deaconesses & Missionaries ...........................................9-8, 9-9Stifel Fin. Corp. v. Cochran ......................................................... 9-32Stockholders Comm. for Better Mgmt. v.

Erie Tech. Prods., Inc. ..................................................12-5, 12-6Stone ex rel. AmSouth Bancorporation v. Ritter ......................... 9-20Stone v. Ritter ................................................ 9-13, 9-21, 10-9, 13-39Strougo v. Hollander ...........................................................6-10, 6-11SV Inv. Partners, LLC v. Thought Works, Inc. .......................... 11-13Synthes, Inc. S’holder Litig., In re ............................................. 10-18



TThird Point, LLC v. Ruprechet .................................................. 13-30Thisted v. Tower Mgmt. Corp. ...................................................... 2-6TIBCO Software, Inc. Stockholders Litig., In re .......................... 9-27Tilton v. SEC ............................................................................. 14-37Timberline Equip. Co. v. Davenport ............................................ 4-46Toms v. Coop. Mgmt. Corp. ........................................................ 5-30Tooley v. Donaldson, Lufkin & Jenrette, Inc. .............................. 8-29Trs. of Dartmouth Coll. v. Woodward ........................................... 1-3Trulia, Inc. Stockholder Litig., In re ...................................13-4, 13-5T.S.G. Water Res., Inc. v. D’Alba & Donovan CPA ..................... 9-16Tyson Foods, Inc. v. McReynolds ............................................... 13-43

UUnited States v. Bestfoods ........................................................... 7-10United States v. Gansman ......................................................... 14-15United States v. Jenkins ............................................................ 14-14United States v. Newman .......................................................... 14-15United States v. Rajaratnam ...................................................... 14-15United States v. Van Schaik ........................................................... 1-8United States v. Vilar ................................................................. 14-18United Techs. v. Treppel .....................................................6-15, 8-25Unocal Corp. v. Mesa Petroleum Co. .................. 9-24, 13-31, 13-34,

........................................................... 13-35, 13-36, 13-37, 13-38

VVaalco Energy S’holder Litig., In re .............................................. 8-16Van Asdale v. Int’l Game Tech. ................................................. 14-26VantagePoint Venture Partners 1996 v. Examen, Inc. .....1-9, 4-8, 4-36Venture Sales, LLC v. Perkins ...................................................... 3-51Verble v. Morgan Stanley Smith Barney, LLC ............................ 14-34Verfuerth v. Orion Energy Sys. Inc. ........................................... 14-34Versata Enters., Inc. v. Selectica, Inc. ........................................ 13-35Villanueva v. Core Labs ............................................................. 14-26Villanueva v. U.S. Dep’t of Labor .............................................. 14-26


T–12

WWadler v. Bio-Rad Labs., Inc. ..........................................14-26, 14-32Wal-Mart Stores, Inc. S’holder Derivative Litig., In re ................ 8-27Wal-Mart Stores, Inc. v.

Ind. Elec. Workers Pension Tr. Fund IBEW .......................... 8-24Walt Disney Co. Derivative Litig., In re .............................8-64, 9-13Walther v. ITT Educ. Servs., Inc. ................................................. 8-24Walton v. Nova Info. Sys. .......................................................... 14-34Weinberger v. UOP, Inc. ........................................ 9-14, 10-13, 13-23Weiss v. Swanson ......................................................................... 8-64Wellman v. Dixon ...................................................................... 13-27Wheeling Steel Corp. v. Glander ................................................... 1-8Wilkes v. Springside Nursing Home, Inc. .................................. 10-21Williams v. Geier ....................................................................... 13-38WPP Lux. Gamma Three Sarl v. Spot Runner, Inc. ................... 14-14

YYucca Mining & Petroleum Co. v.

Howard C. Phillips Oil Co. .................................................. 8-58

ZZale Corp. Stockholders Litig., In re ........................................... 9-26Zapata Corp. v. Maldonado ................................................8-44, 9-24Zeitlin v. Hanson Holdings, Inc. ............................................... 10-18Zulfer v. Playboy Enters., Inc. .................................................... 14-27



STATUTES

Statutes by Name

Administrative Procedures Act .........................................8-20, 14-29Alaska Native Claims Settlement Act (ANCSA) ......................... 5-37Commodity Exchange Act ......................................................... 14-33Commodity Futures Modernization

Act of 2000 (CFMA) ..................................................5-48, 14-29Comprehensive Environmental Response,

Compensation and Liability Act (CERCLA) ..............7-10, 13-14Dodd-Frank Wall Street Reform and Consumer

Protection Act (Dodd-Frank)generally ................................ 1-18, 5-48, 8-42, 8-43, 8-56, 8-59,

.....................8-66, 8-67, 14-2, 14-25, 14-27, 14-28, 14-29,

................14-30, 14-31, 14-32, 14-33, 14-34, 14-35, 15-16§ 922 ................................................................................... 14-30§ 954 ..................................................................................... 8-66

Emergency Economic Stabilization Act of 2008 .......................... 1-19Foreign Corrupt Practices Act (FCPA) ......................................... 9-19Interstate Land Sales Full Disclosure Act .................................... 7-11Investment Company Act of 1940 .............................................. 14-9National Bank Act of 1864 ........................................................... 1-6Patient Protection and Affordable Care Act ........................4-23, 4-37Religious Freedom Restoration Act .....................................4-23, 4-37Revised Prototype Limited Liability

Company Act .......................................... 3-45, 3-47, 3-49, 3-51Sarbanes-Oxley Act of 2002

generally ...................................................1-17, 1-18, 2-17, 8-31,...........................8-41, 8-42, 8-66, 8-67, 9-21, 14-2, 14-22,.......................... 14-23, 14-24, 14-25, 14-26, 14-27, 14-28,........................... 14-30, 14-32, 14-33, 14-35, 15-16, 15-26

§ 103(a)(2)(A)(iii) ................................................................ 14-24§ 203 ................................................................................... 14-23§ 204 ................................................................................... 14-23§ 206 ................................................................................... 14-23§ 301 ................................................................................... 14-25§ 302 ................................................................................... 14-24§ 304 ................................................................ 2-17, 8-66, 14-25§ 306 ................................................................................... 14-25§ 306(a)(2)(B) ...................................................................... 14-25§ 402 ................................................................................... 14-25§ 802 ................................................................................... 14-25


T–14

§ 806 ........................................................................14-24, 14-25§ 807 ................................................................................... 14-25§ 902 ................................................................................... 14-25§ 906 ................................................................................... 14-24§ 1101 ................................................................................. 14-25

Securities Act of 1933generally .........................2-9, 5-41, 5-49, 6-26, 9-33, 14-2, 14-3,

..........................14-4, 14-5, 14-6, 14-7, 14-8, 14-19, 14-22§ 2(a)(2) .................................................................................. 1-7§ 2(a)(3) ................................................................................ 14-4§ 3(a)(11) .............................................................................. 14-5§ 5 ................................................................................14-3, 14-6§ 11 ................................................................................9-8, 14-6§ 11(b) ..................................................................................... 9-8§ 11(c) ..................................................................................... 9-8§ 12(a)(1) .............................................................................. 14-7§ 12(a)(2) .............................................................................. 14-7§ 17 ................................................................ 14-7, 14-19, 14-20§ 17(a) ...................................................14-6, 14-7, 14-17, 14-19§ 24 ....................................................................................... 14-6Rule 145 ............................................................................... 14-4Rule 147 ......................................................................14-5, 14-6

Securities Exchange Act of 1934generally ..........................................1-17, 2-9, 2-10, 8-23, 13-32,

.................................... 14-2, 14-6, 14-7, 14-8, 14-9, 14-10,

.......................................14-18, 14-19, 14-21, 14-22, 14-30§ 10(b) ...............14-7, 14-11, 14-14, 14-17, 14-18, 14-19, 14-20§ 12 ....................................................................................... 2-10§ 12(b) ............................................................................2-8, 14-8§ 12(g) ..................................................................................... 2-8§ 12(g)(1) ............................................................................... 14-8§ 13 ...............................................................2-8, 2-9, 14-8, 14-9§ 13(a) ................................................................................... 14-8§ 13(d) ........................................................... 13-41, 14-9, 14-10§ 13(e) ........................................................................13-41, 14-9§ 14(a) ................................................................................... 14-9§ 14(d) ........................................................... 13-41, 14-9, 14-10§ 14(e) ............................................................ 13-41, 14-9, 14-10§ 14(f) ............................................................ 13-41, 14-9, 14-10§ 15(d) ...........................................................................2-9, 14-8§ 16 ............................................................................2-10, 14-20§ 16(a) .......................................................... 14-20, 14-21, 14-22§ 16(b) .......................................................... 14-20, 14-21, 14-22§ 32 ....................................................................................... 14-6



Regulation 15D ..................................................................... 14-8Regulation FD ..................................................................... 14-14Rule 10b-5 ..............................14-7, 14-10, 14-11, 14-12, 14-13,

........................... 14-14, 14-16, 14-17, 14-18, 14-19, 14-20Rule 10b-5(a) ...................................................................... 14-17Rule 10b-5(b) ...........................................................14-16, 14-17Rule 10b-5(c) ....................................................................... 14-17Rule 12g-1 .....................................................................2-8, 14-8Rule 14a-8 ............................................................................ 14-9Rule 14a-8(i)(8) ..........................................................8-20, 14-29Rule 14a-9 ............................................................................ 14-9Rule 14a-11 ...............................................................8-20, 14-29Rule 19c-4 ............................................................................... 5-8

Social Purpose Corporation Act ................................................... 3-64Stop Trading on Congressional

Knowledge Act of 2012 (STOCK Act) ................................. 14-15Tax Reform Act of 1986 .............................................................. 3-41Williams Act .............................................. 13-41, 13-42, 14-9, 14-10

UNITED STATES CODE

TITLE 1

§ 1 ....................................... 1-7

TITLE 15

§ 77b(a)(2) ........................... 1-7§ 78m(b) ............................ 9-19§ 1701 ............................... 7-11§ 1701(5) ........................... 7-11

TITLE 18

ch. 73 .............................. 14-24

TITLE 26 (I.R.C.)

§ 162(m) ............................ 8-64§ 170(c)(2) ........................... 2-4§ 170(c)(2)(B) ..................... 3-54§ 170(c)(2)(D) .................... 3-55§ 501(c)(3) ........................... 2-4§ 501(c)(4) ........................... 2-4

§ 1361–79 .......................... 3-10§ 2055(a) ............................. 2-4§ 2522(a) ............................. 2-4

TITLE 31

§ 9101–09 ............................ 2-3§ 9103 ................................. 2-3

TITLE 36

§ 22902 ............................... 2-5§ 230502 ............................. 2-5

TITLE 39

§ 201 ................................... 2-3§ 202–404 ............................ 2-3

TITLE 42

§ 9601 ............................. 13-14§ 9607(a)(2) ....................... 7-10


T–16

MODEL AND UNIFORM ACTS

Model Business Corporation Act (1978)generally ....... 10-9, 11-7, 13-50art. IV, § 6 .......................... 8-60§ 2(h) ......................5-38, 11-13§ 2.03 .... 4-13, 4-14, 4-46, 4-47

§ 2.04 ............. 4-46, 4-47, 4-48§ 18 ................................... 5-38§ 45 ................................... 11-3

Model Business Corporation Act(1984, as amended 2005)

generally ..... 1-2, 1-6, 1-7, 1-15,......... 1-16, 1-17, 2-5, 2-6,....... 2-9, 2-10, 2-11, 2-14,..... 3-57, 3-64, 3-66, 3-67,..... 4-10, 4-11, 4-13, 4-15,..... 4-17, 4-20, 4-21, 4-25,..... 4-26, 4-41, 4-42, 4-46,..... 4-47, 4-48, 5-18, 5-19,..... 5-24, 5-25, 5-30, 5-31,..... 5-32, 5-34, 5-36, 5-37,......... 5-38, 5-41, 6-2, 6-3,....... 6-5, 6-18, 6-20, 6-21,....... 6-22, 6-24, 6-27, 7-5,......... 8-5, 8-9, 8-10, 8-11,..... 8-12, 8-13, 8-14, 8-19,..... 8-20, 8-21, 8-22, 8-30,..... 8-32, 8-33, 8-34, 8-37,..... 8-38, 8-39, 8-40, 8-53,..... 8-54, 8-55, 8-60, 9-15,..... 9-16, 9-28, 9-29, 9-31,..... 9-32, 10-4, 10-8, 10-9,... 11-2, 11-5, 11-6, 11-11,........ 11-12, 11-13, 11-16,... 11-17, 12-2, 12-5, 12-7,.......... 12-9, 12-11, 12-15,........ 12-21, 12-22, 12-23,... 12-24, 13-3, 13-6, 13-7,.......... 13-8, 13-11, 13-12,........ 13-15, 13-19, 13-21,........ 13-25, 13-47, 13-48,

........ 13-49, 13-50, 13-51,

.....................13-52, 14-29art. 9 .................................. 4-41art. 9B ................................ 4-41§ 1.20 ............... 1-2, 4-13, 4-14§ 1.20–1.26 ........................ 4-13§ 1.21 .......................4-13, 4-14§ 1.23 ................................ 4-13§ 1.24 .......................4-14, 4-48§ 1.25 ................................ 4-13§ 1.26 .........................1-3, 4-13§ 1.40 ........................2-9, 4-13,

................... 6-3, 8-9, 8-38§ 1.40(6) .................11-5, 11-11§ 1.40(9AA) ....................... 8-25§ 1.40(10) .......................... 4-40§ 1.40(18A) ..... 2-9, 8-33, 12-17§ 1.40(21) .......................... 8-27§ 1.40(26) .................8-11, 12-7§ 1.41 .................................. 8-9§ 1.43 ................................ 8-40§ 1.43(b) ............................ 8-40§ 1.43(b)(2) ........................ 8-41§ 2.01 .......................4-13, 4-20§ 2.01–2.03 ........................ 4-13§ 2.02 ...... 1-6, 4-13, 4-14, 12-9§ 2.02(a) .......................... 15-21§ 2.02(a)(4) ........................ 4-20§ 2.02(b) ...................4-25, 10-9§ 2.02(b)(2) ......... 1-5, 6-5, 8-34



§ 2.02(b)(3) ...............6-20, 8-13§ 2.02(b)(4) ...............9-11, 9-16§ 2.02(b)(iv) ....................... 5-25§ 2.03 .... 4-13, 4-14, 4-46, 4-47§ 2.03(b) ............................ 4-14§ 2.04 ............. 4-46, 4-47, 4-48§ 2.05(a)(1) .......................... 6-2§ 2.05(b) .............................. 6-3§ 2.06 ................ 6-4, 6-6, 6-18,

.... 6-22, 8-19, 8-20, 14-29§ 2.06(b) .......................6-4, 6-5§ 3.01 .........................1-6, 4-21§ 3.01(a) .....................1-6, 4-15§ 3.02 ................. 1-6, 1-7, 4-26§ 3.02(2) ............................ 6-28§ 3.02(6) .......................... 13-32§ 3.04 .........................1-7, 4-22§ 3.04(a) .............................. 1-7§ 3.04(b) .............................. 1-7§ 4.01 ................................ 4-15§ 4.02 ................................ 4-17§ 4.03 ................................ 4-18§ 6.01 .......................5-18, 5-19§ 6.02 ................................ 1-16§ 6.03 ................................ 5-30§ 6.03(1)(b) .......................... 5-7§ 6.03(c) ............................. 5-11§ 6.20 .........................4-7, 4-19§ 6.21 .......................5-24, 5-25§ 6.21(b) ......... 3-49, 5-31, 5-32§ 6.21(c) ....................5-32, 5-36§ 6.21(d) ............................ 5-32§ 6.21(e) ............................. 5-32§ 6.22(b) .............................. 7-1§ 6.24(c) ....................6-28, 8-39§ 6.25 .......................6-25, 6-26§ 6.26 ................................ 6-25§ 6.27 ................................ 5-41§ 6.30 .......................4-25, 5-39§ 6.30(b) .......................... 12-13§ 6.40 ....................5-25, 11-11,

......... 11-13, 11-14, 12-21§ 6.40(c) ...... 11-5, 11-16, 11-17§ 6.40(c)(1) ...............11-3, 11-5§ 6.40(c)(2) ..... 11-6, 11-14, 11-17

§ 6.40(d) .................11-6, 11-17§ 6.40(e)(1) ...................... 11-14§ 6.40(g) ........................... 11-14§ 6.40(h) ...............11-14, 13-45§ 7.01 .................................. 8-8§ 7.02 .................................. 8-8§ 7.03(b) .............................. 8-9§ 7.04(a) ...................1-16, 8-21§ 7.04(b) ............................ 1-16§ 7.05 .................................. 8-8§ 7.05(a) .............................. 8-9§ 7.06 .................................. 8-8§ 7.07 .................................. 8-9§ 7.07(e) ............................... 8-9§ 7.09 ................................ 8-21§ 7.20(a) .............................. 8-9§ 7.20(b) .............................. 8-9§ 7.21 .........................8-7, 8-10§ 7.21(a) .............................. 8-7§ 7.22 .... 1-17, 8-3, 8-19, 12-26§ 7.23 .................................. 8-9§ 7.25 .... 4-38, 4-39, 8-11, 12-7§ 7.25(a) .............................. 8-9§ 7.25(c) ............................. 8-10§ 7.26 .... 4-38, 4-39, 8-11, 12-7§ 7.27 .............................. 12-10§ 7.27(a) ...................8-12, 8-13§ 7.27(b) ............................ 8-14§ 7.28 ................................ 12-3§ 7.28(b) ............................ 12-3§ 7.28(c) ............................. 12-3§ 7.29A .......... 6-18, 8-17, 8-18,

............... 8-20, 8-41, 8-54§ 7.30 ...................12-23, 12-26§ 7.31 .............................. 12-26§ 7.31(a) .......................... 12-26§ 7.31(b) ...............12-24, 12-26§ 7.32 .............. 2-9, 2-10, 2-11,

......... 3-57, 6-4, 6-6, 6-20,

................ 8-4, 8-13, 8-33,

........... 8-34, 12-21, 12-22§ 7.32(a) ...............12-21, 12-22§ 7.32(a)(7) ...................... 12-45§ 7.32(b) .................8-32, 12-22§ 7.32(d) .......................... 12-45


T–18

§ 7.32(e) ............................. 3-57§ 7.42 ................................ 8-30§ 8.01 .............. 2-9, 4-26, 4-38,

.............. 5-31, 8-33, 8-35,

...........................9-3, 12-9§ 8.01(a) .....................6-6, 8-32§ 8.01(b) ..................2-10, 3-57,

.................. 5-31, 6-4, 6-5,

................. 6-6, 8-34, 12-9§ 8.01(c) ......................6-6, 8-33§ 8.01(c)(viii) ...................... 8-50§ 8.02 .......................8-35, 8-37§ 8.03 .......................2-10, 4-25§ 8.04 ................................ 12-6§ 8.05 ............... 8-4, 8-14, 8-15§ 8.05(e) ........ 6-19, 8-12, 12-11§ 8.06 .........................8-4, 12-5§ 8.07 .......................6-20, 8-13§ 8.08 .......................8-15, 8-16§ 8.08(a) .............................. 8-4§ 8.08(c) ............................. 12-4§ 8.09 .......................8-15, 8-16§ 8.10(a) .............................. 8-4§ 8.20 .................................. 4-9§ 8.21 ............... 1-16, 4-9, 8-38§ 8.24 .....................8-38, 12-10§ 8.24(c) ........................... 12-10§ 8.25 ................................ 8-40§ 8.25(a) ............................ 8-40§ 8.26 .............................. 13-25§ 8.30 ............... 9-2, 9-14, 11-9§ 8.30(a)–(b) ....................... 9-14§ 8.30(c) ............................. 9-14§ 8.30(d) ............................ 9-15§ 8.30(d)–(f) ....................... 9-15§ 8.30(e) ............................. 9-15§ 8.30(f) ............................. 9-15§ 8.30(f)(1) ......................... 9-15§ 8.30(f)(3) ......................... 9-15§ 8.33(a) .................11-8, 11-17§ 8.40 .......................6-24, 8-53§ 8.41 ................................ 8-54§ 8.42 ............... 9-2, 9-16, 9-27§ 8.43(b) .......................... 12-27§ 8.44 .............................. 12-27

§ 8.51 ................................ 9-28§ 8.53 ................................ 9-29§ 8.54(b) ............................ 9-31§ 8.58 ................................ 9-29§ 8.58(b) ............................ 9-33§ 8.60–8.63 ........................ 10-3§ 8.62 ................................ 8-40§ 8.70 ............. 8-40, 10-5, 10-9§ 9.20–9.25 ........................ 4-41§ 9.21(6) ............................ 12-7§ 9.24(a)(5) ........................ 4-42§ 9.30 .....................3-67, 13-47§ 9.30–9.35 .............3-67, 13-47§ 9.34(b) .......................... 13-48§ 9.40–9.43 ...........13-47, 13-49§ 9.50–9.55 ........................ 3-67§ 9.50–9.56 ...................... 13-47§ 10.01 .....................4-22, 12-9§ 10.02 .............................. 4-38§ 10.02–10.03 .................... 4-26§ 10.03 ........... 4-38, 8-5, 11-12§ 10.03(e) ........................... 8-10§ 10.04 .....................8-11, 12-7§ 10.04(a) .......................... 4-39§ 10.05 .......................4-39, 8-5§ 10.06 .............................. 4-40§ 10.07 .............................. 4-39§ 10.20 .......................6-21, 8-5§ 10.21(a) .......................... 6-22§ 10.22 ....................6-20, 6-21,

............... 8-13, 8-15, 8-18§ 10.22(a)(2) ...................... 8-18§ 11.01 .............................. 13-7§ 11.01–11.03 ...................... 8-5§ 11.01–11.28 .................. 13-12§ 11.02 ............................ 13-19§ 11.03 .....................1-16, 13-7§ 11.04 .....................1-16, 13-7§ 11.04(f) ........................... 13-8§ 11.04(g) ........................... 13-8§ 11.05 .....................1-16, 13-7§ 11.06 .............................. 13-6§ 12.02 .....................8-5, 13-12§ 13.01–13.31 .........13-9, 13-22§ 13.02 ...................13-8, 13-23



§ 13.02(a)(6) .......................4-42§ 13.02(a)(7) .....................13-48§ 13.02(b) .........................13-10§ 13.24 ...............................13-9§ 14.01 .............................13-44§ 14.02 ..................... 8-5, 13-44§ 14.02(e) ..........................13-44§ 14.03 .............................13-44§ 14.04 .............................13-44§ 14.05 ................... 4-26, 13-44§ 14.20 .............................13-45§ 14.21 .............................13-45§ 14.22 ................... 4-48, 13-45§ 14.30 ................. 12-16, 13-45§ 14.30(2) ............. 12-17, 12-18

§ 14.30(a)(5) .....................12-16§ 14.30(b) .........................12-16§ 14.31 ..................... 2-9, 13-46§ 14.32 ................. 12-18, 13-46§ 14.33 .............................13-46§ 14.34 .................... 2-9, 12-16,

..................... 12-17, 12-18§ 14.34(g) ..........................12-17§ 15.01–15.32 .....................4-40§ 15.06(a)(1) .......................4-17§ 16.01 ..................... 8-23, 8-24§ 16.02 ...............................8-23§ 16.04(c) ............................8-25§ 16.05 ............ 8-28, 8-35, 8-48§ 16.20 ...............................8-22

Model Entity Transaction Act (META)generally ............................................................................ 3-66, 3-67

Model Nonprofit Corporation Act (MNCA)generally ............................................................ 2-5, 2-14, 3-66, 3-67

Revised Model Nonprofit Corporation Act(1987)

generally ...............................................................................2-5, 3-67§ 11.01 et seq. ............................................................................. 3-67

Model Registered Agents Act (MRAA)generally ...................................................................................... 3-67

Uniform Cooperative Associations Act (UCAA)generally ...................................................................................... 3-67

Uniform Limited Liability Company Act (1996)generally .............................................................................3-43, 3-44


T–20

Revised Uniform Limited Liability CompanyAct (2006)

generally ..................3-16, 3-43,.............. 3-44, 3-45, 3-49,............... 3-50, 3-51, 3-66

§ 101(7) ............................. 3-16§ 102(13) ........................... 3-45§ 110 ................................. 3-45§ 110(a) ............................. 3-45§ 111 ................................. 3-45§ 112 ................................. 3-45§ 113 ................................. 3-45§ 201 ................................. 3-45§ 301(a) ............................. 3-47§ 304 ................................. 3-48§ 402 ................................. 3-50§ 403 ................................. 3-50§ 403(b) ............................. 3-48

§ 404(a) ............................. 3-50§ 404(b) ............................. 3-51§ 406 ................................. 3-48§ 406(a) ............................. 3-50§ 407 ........................3-47, 3-48§ 407(b) ............................. 3-47§ 407(c) .............................. 3-48§ 409(a)–(e) ........................ 3-49§ 409(c) .............................. 3-49§ 409(h) ............................. 3-49§ 502(a) ............................. 3-50§ 602 ................................. 3-50§ 603(a)(1) ......................... 3-51§ 701 ................................. 3-51§ 901–03 ............................ 3-53§ 1002 ............................... 3-52

Uniform Limited Partnership Act (1916)generally ...................................................................................... 3-37

Uniform Limited Partnership Act (1976)generally ......... 3-37, 3-39, 3-40§ 201 ................................. 3-37§ 303(a) ............................. 3-40

§ 303(b) ............................. 3-40§ 403 ................................. 3-40

Uniform Limited Partnership Act (2001)generally ..................3-37, 3-41,

.........................3-42, 3-66§ 303 ................................. 3-42§ 404(a) ............................. 3-42

§ 404(c) .............................. 3-42§ 601 ................................. 3-42§ 602(3) ............................. 3-42

Uniform Partnership Act (1914)generally .......... 3-6, 3-13, 3-14,

..... 3-15, 3-21, 3-22, 3-23,..... 3-24, 3-25, 3-26, 3-29,............... 3-31, 3-32, 3-33



§ 6 ..................................... 3-13§ 7 ..................................... 3-13§ 8 ..................................... 3-25§ 9 ..................................... 3-23§ 9(1) ................................. 3-24§ 13 ................................... 3-23§ 14 ................................... 3-23§ 15(a) ............................... 3-23§ 15(b) ........................3-6, 3-23§ 19 ................................... 3-21§ 20 ................................... 3-21§ 21 ................................... 3-21§ 24 ................................... 3-25§ 28(1) ............................... 3-25§ 28(2) ............................... 3-25§ 29 ................................... 3-31§ 29–43 .............................. 3-15

§ 31 ................................... 3-15§ 31(1)(a) ........................... 3-31§ 31(1)(b) ........................... 3-31§ 31(1)(c) ........................... 3-31§ 31(1)(d) ........................... 3-32§ 31(2) ............................... 3-31§ 31(4) ............................... 3-31§ 31(5) ............................... 3-31§ 31(6) ............................... 3-32§ 38 ................................... 3-32§ 38(2)(b) ........................... 3-32§ 40(a) ............................... 3-32§ 40(b) ............................... 3-32§ 40(d) ............................... 3-32§ 40(h) ............................... 3-32§ 41(3) ............................... 3-32

Uniform Partnership Act (1994)generally ...................................................................................... 3-13

Uniform Partnership Act (1996)generally ...................................................................................... 3-13

Uniform Partnership Act (1997)generally .......... 3-6, 3-13, 3-15,

..... 3-16, 3-17, 3-18, 3-19,

..... 3-20, 3-22, 3-23, 3-24,

.............. 3-25, 3-26, 3-27,

.........................3-33, 3-42§ 103 ........................3-14, 3-22§ 105(e) .............................. 3-22§ 201 ................................. 3-15§ 201(a) ............................. 3-26§ 202 .............. 3-13, 3-15, 3-17§ 202(a) ............................. 3-17§ 202(b) ............................. 3-17§ 301(1) ............................. 3-24§ 303 ................................. 3-16

§ 304 ................................. 3-16§ 306(a) ..... 3-6, 3-14, 3-15, 3-23§ 306(c) .............................. 3-24§ 308 ................................. 3-16§ 401(a) ....................3-19, 3-26§ 401(a)(1) ......................... 3-27§ 401(a)(2) ......................... 3-27§ 401(b) ....................3-27, 3-33§ 401(e) .............................. 3-18§ 401(f) .............................. 3-20§ 401(h) ............................. 3-19§ 401(i) .......................3-6, 3-14§ 401(j) .......................3-6, 3-20§ 403 ................................. 3-22


T–22

§ 404(a) ............................. 3-22§ 404(b) ............................. 3-22§ 404(c) .............................. 3-22§ 404(d) ............................. 3-22§ 501 ................................. 3-26§ 503 ................................. 3-14§ 601 ................................. 3-33§ 601(7) ............................. 3-30§ 602(c) .....................3-30, 3-33§ 603(a) ............................. 3-33§ 603(b)(2) ......................... 3-22

§ 603(b)(3) ......................... 3-22§ 701 ........................3-15, 3-33§ 701(a) ............................. 3-30§ 701(c) .............................. 3-30§ 704 ................................. 3-33§ 807 ................................. 3-33§ 807(a) ............................. 3-18§ 807(b) ............................. 3-33§ 1001 ............................... 3-18§ 1003 ............................... 3-18

Revised Uniform Partnership Act (RUPA)generally ...................................................................................... 3-66

Uniform Statutory Trust Act (USTA)generally ...................................................................................... 3-67

Uniform Unincorporated NonprofitAssociations Act (UUNAA)

generally .............................................................................3-66, 3-67



STATE AUTHORITIES

CaliforniaCal. Const. art. XII, § 3 (1879) ................................................... 1-13

ColoradoColo. Rev. Stat.

§ 7-60-101–7-60-154 ......................................................... 3-13§ 7-64-101–7-64-1206 ....................................................... 3-13

Colorado Uniform Partnership Act (1997) .................................. 3-13

Connecticut1837 Conn. Pub. Acts ch. 63 ...................................................... 1-11Conn. Gen. Stat. § 33-756(d) ...................................................... 9-18

DelawareDel. Code Ann. tit. 6

§ 15-101(12) ...................................................................... 3-16§ 15-123 ............................................................................ 3-16§ 15-901 ............................................................................ 3-36§ 15-902 ............................................................................ 3-34§ 15-902(m) ....................................................................... 3-35§ 15-904 ............................................................................ 3-35§ 15-905 ............................................................................ 3-35§ 17-101(12) ...................................................................... 3-38§ 17-106(d) ........................................................................ 3-38§ 17-209 ............................................................................ 3-39§ 17-211(l) ......................................................................... 3-39§ 17-217 ............................................................................ 3-39§ 17-1101(i) ....................................................................... 3-38§ 18-101(7) ........................................................................ 3-46§ 18-106 ............................................................................ 3-46§ 18-209 ............................................................................ 3-52§ 18-209(i) ......................................................................... 3-52§ 18-212 ............................................................................ 3-53§ 18-213 ............................................................................ 3-53§ 18-302(f) ......................................................................... 3-47§ 18-1101(h) ...................................................................... 3-44§ 18-1101(i) ....................................................................... 3-47

Del. Code Ann. tit. 8§ 102(a) ............................................................................. 4-17§ 102(a)(1) ......................................................................... 4-17§ 102(b)(1) ......................................................................... 4-32


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§ 102(b)(6) ........................................................................... 7-1§ 102(b)(7) ...................................................... 9-11, 9-13, 9-16§ 102(f) .............................................................................. 6-12§ 103 ................................................................................. 4-48§ 109(a) ....................................................................6-13, 6-21§ 109(b) ............................................................................. 6-12§ 112 ............................................6-6, 6-18, 6-22, 8-19, 14-29§ 113 ............................................6-6, 6-18, 6-22, 8-20, 14-29§ 114 ................................................................ 2-5, 2-15, 3-68§ 114(b) ............................................................................. 6-12§ 115 ........................................................................6-16, 6-17§ 122(17) ........................................................................... 10-6§ 141 ..............................................1-16, 4-9, 4-38, 8-32, 8-35§ 141(b) ............................................................................. 6-21§ 141(f) .............................................................................. 8-38§ 144 ................................................................................. 10-2§ 145 ................................................................................. 9-32§ 145(f) .............................................................................. 9-33§ 146 ............................................................................... 13-25§ 151 .........................................................1-16, 5-7, 5-8, 5-11§ 151(a) ............................................................................. 5-23§ 154 ......................................................................11-4, 11-11§ 170 ........................................11-3, 11-4, 11-7, 11-11, 11-14§ 170(a) ..................................................................5-28, 11-16§ 174 ............................................................................... 11-16§ 203 ................................................................................. 4-11§ 204 ........................................................................4-49, 4-50§ 204(i) .............................................................................. 4-50§ 205 ........................................................................4-49, 4-50§ 211 ................................................................................... 8-9§ 211(a)(1) ......................................................................... 8-20§ 211(a)(2) ......................................................................... 8-20§ 211(b) ............................................................................. 8-22§ 213 ................................................................................... 8-9§ 216 .............................................................. 6-21, 8-10, 8-14§ 218 ............................................................................... 12-23§ 220 ................................................................................. 8-24§ 220(d) ............................................................................. 8-28§ 222 ................................................................................... 8-9§ 225 ................................................................................. 8-15§ 225(a) ....................................................................8-17, 8-18§ 228 ........................................................................1-16, 8-22§ 242 ............................................................................... 11-12§ 242(a) ............................................................................. 4-11



§ 242(b)(1) ....................................................................... 13-38§ 244(a)(4) ......................................................................... 11-5§ 244(b) .......................................................... 11-2, 11-3, 11-5§ 251 ................................................................................. 1-16§ 251(h) ...........................................................................13-27§ 253 ......................................................................1-16, 13-24§ 254 ............................................................................... 13-51§ 257 ............................................................................... 13-49§ 258 ............................................................................... 13-49§ 262(b) ...........................................................................13-10§ 262(g) ............................................................................ 13-10§ 262(h) ...........................................................................13-10§ 263 ......................................................................3-68, 13-51§ 264 ......................................................................3-68, 13-51§ 265 ......................................................................3-68, 13-51§ 266 ......................................................................3-68, 13-51§ 271 ............................................................................... 15-21§ 312 ................................................................................. 4-48§ 362 ................................................................................. 3-64§ 388(a) ............................................................................. 4-43§ 388(b) ............................................................................. 4-43§ 389 ................................................................................. 4-43§ 390 ................................................................................. 4-43

Del. Code Ann. tit. 10§ 3114(a) ............................................................................. 9-2

Del. Gen. Corp. Lawgenerally .............................. 1-9, 3-64, 4-26, 5-25, 5-29, 10-6,

...........................................11-2, 11-12, 12-15, 13-6, 13-25§ 102(a)(4) ......................................................................... 5-25§ 141(b) ....................................................................6-22, 8-14§ 141(k) ............................................................................. 8-16§ 144 ................................................................................. 10-2§ 152 ........................................................................5-26, 5-31§ 153 ................................................................................. 5-26§ 154 ........................................................................5-26, 5-27§ 160 ............................................................................... 11-16§ 160(a) ...........................................................................11-13§ 170 ......................................................................11-3, 11-15§ 173 ............................................................................... 11-11§ 220 ................................................................................. 8-24§ 221 ................................................................................... 8-7§ 228 ........................................................................8-52, 8-53§ 244 ................................................................................. 5-29§ 352 ............................................................................... 12-18§ 353 ............................................................................... 12-18


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IllinoisIllinois Act ......................................................................13-41, 13-42

§ 9 ................................................................................... 13-42

NevadaNev. Rev. Stat.

87.010–.430 ....................................................................... 3-1387.4301–.4357 ................................................................... 3-13

New Jersey1896 N.J. Laws ch. 185 ............................................................... 1-12N.J. Rev. Stat. (1877) 175 ............................................................ 1-12

New York1811 N.Y. Laws ch. 67 ................................................................ 1-101817 N.Y. Laws ch. 223 .............................................................. 1-12N.Y. Bus. Corp. Law

§ 518(c) ................................................................................ 5-5§ 721–24 ............................................................................ 9-31

N.Y. Gen. Constr. Law § 37 .......................................................... 1-7N.Y. Not-for-Profit Corp. Law § 404 ............................................. 2-5

Pennsylvania15 Pa. Cons. Stat. § 1712(a) ........................................................ 9-1715 Pa. Cons. Stat. § 1715 ............................................................ 9-17

TexasTex. Bus. & Com. Code

§ 21.901–21.912 .............................................................. 4-50§ 21.901–21.917 ................................................................ 4-49§ 21.902 ............................................................................ 4-49§ 21.913 ........................................................................... 4-50§ 21.914–21.917 .............................................................. 4-50

VermontVt. Stat. Ann. tit. 11, § 3001(27) ................................................ 3-54



LAW JOURNALS/PERIODICALS

BaumThe Job Nobody Wants,BUS. WK. 56 (Sept. 8, 1986) .......................................9-9, 9-10

BerleTheory of Enterprise Entity,47 COLUM. L. REV. 343 (1947) ............................................ 1-2

BishopSitting Ducks and Decoy Ducks: New Trends in theIndemnification of Corporate Directors and Officers,77 YALE L.J. 1078 (1968) ..................................................... 9-7

Black, Cheffins & KlausnerOutside Director Liability,58 STAN. L. REV. 1055 (2006) ............................................ 9-35

BrownThe Corporate Director’s Compliance OversightResponsibility in the Post Caremark Era,26 DEL. J. CORP. L. 1 (2001) .............................................. 9-20

CaryFederalism and Corporate Law:Reflections upon Delaware,83 YALE L.J. 663 (1974) ..................................................... 1-17

ChamberlainWhy It’s Harder and Harder to Get a Good Board,FORTUNE 109 (Nov. 1962) ................................................... 9-8

ChayesMadam Wagner and the Close Corporation,73 HARV. L. REV. 1532 (1960) .............................................. 2-6

ChewCompeting Interests in the CorporateOpportunity Doctrine,67 N.C. L. REV. 435 (1989) ............................................... 10-4

CoffeeCommittee on Corporate LawsOther Constituencies Statutes:Potential for Confusion,45 BUS. LAW. 2253 (1990) .................................................. 9-17The Attorney as Gatekeeper:An Agenda for the SEC,103 COLUM. L. REV. 1293 (2003) ...................................... 2-18

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CunninghamChoosing Gatekeepers: The Financial StatementInsurance Alternative to Auditor Liability,52 UCLA L. REV. 459 (2004) ..............................................9-34The Sarbanes-Oxley Yawn:Heavy Rhetoric, Light Reform(And It Might Just Work),35 CONN. L. REV. 915 (2003) ...........................................15-26

DysonThe Director’s Liability for Negligence,40 IND. L.J. 341 (1964) ........................................................9-7

Glaberson & PowellA Landmark Ruling That Puts BoardMembers in Peril,BUS. WK. 56 (Mar. 18, 1986) ...................................... 9-9, 9-10

GordonThe Rise of Independent Directors in theUnited States, 59 STAN. L. REV. 1465 (2007) .....................8-48

HoffmanDisputing Limited Liability,104 NW. U. L. REV. 853 (2010) ...........................................7-11

IsraelsThe Close Corporation and the Law,33 CORNELL L.Q. 487 (1948) ...............................................2-6

JacobsThe Role of Securities Exchange Act Rule 10b-5 in theRegulation of Corporate Management,59 CORNELL L. REV. 27 (1973) ..........................................14-19

JonesLaw, Norms and the Breakdown of the Board:Promoting Accountability in Corporate Governance,92 IOWA L. REV. 105 (2006) ................................................9-35

KoesslerThe Person in Imagination or PersonaFicta of the Corporation,9 LA. L. REV. 435 (1949) .......................................................1-3

MaceThe President and the Board of Directors,HARV. BUS. REV. 37 (Mar.–Apr. 1972) ........................ 8-46, 8-47

ManningReflections and Practical Tips on Life in theBoardroom After Van Gorkom,41 BUS. LAW. 1 (1985) ...........................................................9-9



MauroLiability in the Boardroom,NATION’S BUS. 45 (May 1986) ........................................... 9-10

NewportProtecting Directors Suddenly Gets Costly,FORTUNE 61 (Mar. 18, 1985) ............................................. 9-10

PowellIs It Safe to Go Back in the Boardroom?,NEWSWEEK 45 (May 4, 1987) ............................................. 9-10

ScottThe Close Corporation in Contemporary Business,13 BUS. LAW. 741 (1958) ......................................................2-6

SoderquistReconciling Shareholders’ Rights and CorporateResponsibility: Close and Small Public Corporations,33 VAND. L. REV. 1387 (1980) ............................................. 2-6The Proper Standard for Directors’ Negligence Liability,66 NOTRE DAME L. REV. (1990) ....................................9-2, 9-7Toward a More Effective Corporate Board:Reexamining Role of Outside Directors,52 N.Y.U. L. REV. 1341 (1977) ............................................ 9-9

WillistonHistory of the Law of Business Corporations Before 1800,2 HARV. L. REV. 105 (1888) .................................................. 1-2

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TREATISES/OTHER PUBLICATIONS

BallantineMANUAL OF CORPORATION LAW & PRACTICE 92 (1930) ..... 4-45MANUAL OF CORPORATION LAW & PRACTICE 302–03(rev. ed. 1946) ...................................................................... 7-4

BlackstoneCOMMENTARIES ON THE LAWS OF

ENGLAND 467 (1765) ....................................................1-4, 1-6Brown

SECURITIES LAW AND PRACTICE HANDBOOK

(PLI 6th ed. 2012 & Supp. 2016) (formerly SODERQUIST ON

THE SECURITIES LAWS) .............................................2-19, 6-26,...........................................................................13-32, 14-2

FletcherCYCLOPEDIA OF THE LAW OF PRIVATE CORPORATIONS

§ 21 (1917) ........................................................................ 1-13CYCLOPEDIA OF THE LAW OF PRIVATE CORPORATIONS

§ 374 (perm. ed., rev. vol. 1998) ........................................ 8-54Hoffman

ISRAELS ON CORPORATE PRACTICE 148 (4th ed. 1983) ....... 12-3Jerry

UNDERSTANDING INSURANCE LAW (3d ed. 2002) ............... 9-34Klein & Coffee

BUSINESS ORGANIZATION AND FINANCE 8 (2011) .............. 5-13Krugman

THE RETURN OF DEPRESSION ECONOMICS AND THE

CRISIS OF 2008 (W.W. Norton 2009) .................................. 1-21Latty

SUBSIDIARIES & AFFILIATED CORPORATIONS 191 (1936) ....... 7-2Mace

DIRECTORS: MYTH AND REALITY

(Harvard Univ. Press 1971) ............................................... 8-46Nader, Green & Seligman

TAMING THE GIANT CORPORATION (1976) ........................ 1-17O’Neal & Thompson

O’NEAL AND THOMPSON’S CLOSE CORPORATIONS

AND LLCS (rev. 3d ed. 2004) .....................................5-39, 5-42Posner

A FAILURE OF CAPITALISM: THE CRISIS OF ’08 AND THE

DESCENT INTO DEPRESSION 315–20(Harvard Univ. Press 2009) ............................................... 1-20PUBLIC PAPERS OF WOODROW WILSON 273–75(Baker & Dodd eds.) .......................................................... 1-14



Sagalow & YoungDealing with the D&O Insurer, inACCOUNTING IRREGULARITIES AND FINANCIAL FRAUD 140(Michael R. Young ed., 2d ed. 2002) ........................9-33, 9-34

ThompsonPiercing the Corporate Veil: An Empirical Study,76 CORNELL L. REV. 1036 (1991) .......................................7-13

WORDS & PHRASES 83–131 ......................................................... 9-12

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