IN RE: Kauffman Mutual Fund Actions

oe) ) : '	Zi
a0 .
oh
oO F-
RD
Date Qa
7722771
[ actions in ten different district courts in the Southern District
[ of New York for consolidation under §1407. Brief and certificate
[ of service filed.
30/71 | NReguest for ext. of time to 9/13/71 by defense counsel,
8/2/71 —] Amended Certificate of Service from movants.	0 ORDER eX 0_9 he ime ® 3 BSNHON a motion
8/24/71 § HEARING ORDER - setting for September 24, 1971, Washington, D. C.
|| (A-1 through A-12) Notified Counsel and involved Judges.
8/30 |] R_from David H. Pittinsky to Samuel E. Gates stating motion to
| Jtran: Fer i plaintiff requested in Praver B. is solel 0 {
9/1/71 NASHIN QN__M al NVESTORS IND NC OHN ON MMON. § 0
|	JAND JAMES H MON ipplemental Brief and Supplemental Averment o
] I] Fact TN Al ida i ®, o ice in oppasi ion 0 nlainti motion	9 3 Defendants' Averment of Facts and Response to Plaintiff's Motion: Brief in
= Opposition to Plaintiff's Motion for Consolidation and Transfer	9 i 4 Resnonse of Defendan Stein Roe & Farnham Balanced Fund, Inc., Stein Roe
] & Farnham and Harry H. Hage Jr.
9/3/71 | 5. [Responsive Averments and Brief on Behalf of Minnesota Defendants, Investors
FC] Diversified Services, Inc. and Stuart F. Sillowa
Q rin Rogsnonse oO PNeTenaan Ham On Managemen Or p
9/7 /37% 7.I Response o elected American Shares, Security Supervisors and E.P. Rubin,
] ein Roe & Farnhs tein Roe & Farnham Balanced Fund, Inc. and
] HA H. Hage Technolog Fund, Inc., Supervised Investors
] ervice 0 ohn Hawkinson - Brief of Certain Defendants in] Opposition to Plaintiffs motion and response w/affidavit of service.
9/2/71 | 8 | Joint Brief and REsponse of Mass. defendants.
9 | og | Response and Brief in Opposition to motion from defendants
Ie Financial Industrial Fund, Inc.
[ Financial Programs, Inc. and Thomas J. Herbert
9/7/71 Response of defendants Technology Fund, Supervised Investors Services
[ Inc., John Hawkinson
9/7/71 Brief of defendant Tsai Management & Research Corp. w/certificate
lL] of service
9/1/71 | 12 § pefendant Hamilton Fund Response to plaintiffs motion. brief
in opposition 0 motionw e ificate © ervice Response
| | doined by Gerald Tsai, Jr. and Manhattan Fund Nn
9/8/71 nited Funds, I daddell & Reed, In oe Jack Merriman
] Value Line Specis ituation 1nd 0 Arnold Bernhard & Co
| and Arnold Bernhard Hoi in_and concur with (Pleading No
hE certificate of service
9/15/71 Plaintiff's Reply Brief to Defendants' Brief and Responses
| -CONSENT OF CHIEF JUDGE JULIAN FOR JUDGE PETTINE TQ handle litigationI in the District of Massachuse
1/21/72 |__| OPINION AND ORDER, transferring or consolidating D. Mass. 71-1408;
] .D.N.Y. iv. 009; N.D. I C 1652; D. Cdlorado C-3240
[| D- Columbia I38T-7I; D. Maryland 71-725; D. Minn 3-71-176; |
.D. Calit. -1695-WPG; N.D. Ca -1346-SC; D.N.J. 1348-68
es and DENYIN ONSOLIDATION o 01407/-G D..Mass; and S.D.N.Y. 71 Civ. 3256
TR onso.ldated actions transferred to D. Massachussetts and assigned to
|] uage Pettine.
KAUFFEAN V. DREYFUS FUND, S.D.N.Y., 71 Civ. 3256
CC] Letter with attachments from Sherman s& Sterling with order aying|] Proceeding ’
|

p.C. 110 Rev. Civil Docket Continuation [:)
—_——— ee —————— ee	ST —
DATE PROCEEDINGS Teo Noted
1/25/72 | ORDER - correcting Opinion and order entered 1/21/72. Correction
— mailed to all recipients.
2/17/72 ORDER - correcting Opinion an rder entered 1/21/72. Correcting
| eites. Womiried West.TT

i OPINION AND ORDER of Jan. 21, 1972337 F. Supp. (337
, . DOCKET NO. 78
DOCKET -- JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
— Description of Litigation
C JUDGE PETTINE, DISTRICT OF MASS. A: KAUFFMAN MUTUAL FUND ACTIONS 4 “DSM/SS56 DD
: EET)
NO. D.C. NUMBER} JUDGE DATE MISC.
A-1 Joseph B. Kauffman, etg. v. The Dre fus Massachusetgs (faraFund, Inc., et al. Dl arse, 5/5/72 71-1408~G Garrit / 78-1
A-2,4 Joseph B. Kauffman, etc. v. Fidelity I Massachusett: . /
® ‘I rend Fund, Inc., et al. re -171-1407-G Garrit GeO ;	) Wal/7
A-3 Joseph B. Kauffman, etc. v. The Dreyfus S.D. N.Y. ,
Fund, Inc., et al. ear 6772 71 Civ. 3004 )/21]72 7£-2
A-4y o|Joseph B. Kauffman, etc. v. The Dreyfus S.D. N.Y. o/s wea“rund, Inc., et al. 71 Civ.3256 OKO,
) 72/7A-5 |Joseph B. Kauffman, etg. v. The Dreyfus |[N.D. Ill. Ag. [17/9 9-3
Fund, Inc., et al. oll arx. VPs 71 Cc 1652 |" J 7% /22 7
A-6 Joseph B. Kauffman, etc, v. The Dre fus Colorado J Jeo 1/21/7% 79-4Fund, Inc., et al. ease Ya C-3240
A-7 Joseph B. Kauffman, etc, v. The Dreyfus D.C. orcora YL 78-5 os
Fund, Inc., et al. er. Von 1381-71
A-8 Joseph B. Kauffman, etc, v. The Dr yfus Maryland LEE aif _Fund, Inc., et al. Alearre 275=- 71-725 civi} ; ~ /| 1/2, 78-6
A-9 Joseph B. Kauffman, etg. v. The Dreyfus Minnesota Jr _Fund, Inc., et al. Heol Pos Segre 6-ciy. dl qr - 2 7 78 7 Vr
K-10 |Joseph B. Kauffman, etc, v. The Dreyf C.D. Calif. Joly 29-8
C Fund, Inc., et al. te arrt Joe 71-1695-WPGA-11 |gosSeph B. Kauffman, etc. v. The Dreyf N.D. calif. VY 78-7AFund, Inc., et al. Acar i 71-1346-SC
a-12 |Joseph B. Kauffman, etg. v. The p yas |New Jersey |Z2. ey 78/0
Fund, Inc., et al. Hore 7552 1348-68 PZ) .Ko fzl Ap £0 XX 2 EAL Aan! 24. y 7A Q- ae smth 7 PL

ATTORNEY LIST -- JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
C DESCRIPTION OF LITIGATIONDOCKET NO. 78 - KAUFFMAN MUTUAL FUND ACTIONS
LIAISON COUNSEL (J. Pettine's Pretrial Order No. 2)
No. Plaintiff Defendant
Bruce W. Kauffman, Esquire Ansel B. Chaplin, Esquire
Dilworth, Paxson, Kalish, Levy & Gaston, Snow, Motley & Holt
C Coleman 82 Devonshire Street2600 The Fidelity Building Boston, Massachusetts 02109
Philadelphia, Penna. 19109

’ DOCKET NO. 78
ATTORNEY LIST -- JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
DESCRIPTION OF LITIGATION
® KAUFFMAN MUTUAL FUND ACTIONS
————
AMERICAN EXPRESS INVESTMENT FUND
Robert D. Raven, Esquire
C Morrison, Foerster, Holloway, Clinton	& Clark
Crocker Plaza
San Francisco, California 94104
SALEM FUND, INC. (FORMERLY DOW THEORY
INVESTMENT FUND)
FIDELITY FUND, INC.
: FIDELITY CAPITAL FUND, INC.
- 1 PURITAN FUNDS, INC.
John J. Clirtin, Esquire
Bingham, Dana & Gould
1 Federal Street
Boston, Massachusetts 02110
EATON & HOWARD, INC.
CHARLES F. EATON, JR.
: John F. Groden, Esquire
Withington, Cross, Park & Groden
73 Tremont Street
Boston, Massachusetts 02108
CHEMICAL FUND, INC.
E. Roger Frisch, Esquire
C Walsh & Frisch250 Park Avenue
New York, New York 10017
LOOMIS-SAYLES MUTUAL FUND, INC.
Daniel B. Bickford, Esquire
Ely, Bartlett, Brown & Proctor
225 Franklin Street
Boston, Massachusetts 02110
FIDELITY MANAGEMENT & RESEARCH CO.
EDWARD C. JOHNSON 2d
C PIONEER FUND, INC.George T. Finnegan, Esquire
Ropes & Gray
225 Franklin Street
Boston, Massachusetts 02110

No. Defendant
MASSACHUSETTS FUND
Daniel F. Featherston, Jr., Esquir
7 Water Street ®	Boston, Massachusetts 02109
COLONIAL FUND, INC.
Lewis H. Weinstein, Esquire
Foley, Hoag & Eliot
; © 10 Post Office Square
Boston, Massachusetts 02109
BULLOCK FUND, INC.
DIVIDEND SHARES, INC.
Stephen R. Steinberg, Esquire
Reavis & McGrath o.1 Chase Manhattan Plaza
New York, New York 10005
INVESTMENT COMPANY INSTITUTE
~ Murray Bring, Esquire
Arnold & Porter
1229 Nineteenth Street, N.W.
Washington, D.C. 20036
’ ®

DOCKET NO. 78
ATTORNEY LIST -- JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
et ee Ee ——
DESCRIPTION OF LITIGATION
® KAUFFMAN MUTUAL FUND ACTIONS
ee
No. Plaintiff Defendant
. 1 © + |GROUP SECURITIES, INC.	TT : Howard F. Ordman, Esquire yi
o Putney, Twombly, Hall 5 sulifSoN,250 Park Avenue
New York, New York 10017
FIDELITY TREND FUND, INC.
BOSTON FUND, INC.
EATON & HOWARD STOCK FUND
EATON & HOWARD BALANCED FUND
SCUDDER, STEVENS & CLARK COMMON STOCK
FUND, INC.
SCUDDER, STEVENS & CLARK BALANCED FUND,
INC.
AXE-HOUGHTON FUND B, INC.
CHANNING SHARES, INC.
CHANNING GROWTH FUND
HANNING BALANCED FUND
"[STEIN, ROE& FARNHAM BALANCED FUND, INC.
| mMalliam P. Vepdon, Esquire
Meyn®™g & Witty
24 Co Ce Street
Newend#, Ney Jersey 07102
"RFFILIATED FUND, INC.
Edward J. Ross, Esquire
C Breed, Abbott & Morgan	: 1 Chase Manhattan Plaza
New York, New York 10005
COMMONWEALTH INVESTMENT CO.
John C. Howell, Esquire
Moore & Howell
744 Broad Street
Newark, New Jersey 07102

No. Defendant
1 RALPH	E. SAMUEL & CO.
DONALD C. SAMUEL
ENERGY FUND, INC. C	Larry M. Lavinsky, Esquire
Proskauer, Rose, Goetz & Mendelsohn
300 Park Avenue
: New York, New York 10022
; STEIN, ROSE & FARNHAM
HARRY HAGEY, JR.
Otis Halleen, Esquire
Sonnenschein, Levinson, Carlin, Nath
& Rosenthal
69 W. Washington Street
Chicago, Illinois 60602 C
ANTHONY R. TYRONE
BOSTON MANAGEMENT & RESEARCH CO., INC.
VANCE, SANDERS & CO., INC.
HENRY T. VANCE
THOMAS A. MARTIN
Donald B. Kipp, Esquire
Pitney, Hardin & Kipp
570 Broad Street
Newark, New Jersey 07102
LORD, ABBETT & CO.
ROBERT S. DRISCOLL
Judson A. Parsons, Jr., Esquire
Dewey, Ballantine, Bushby, Palmer
& Wood
140 Broadway
New York, New York 10005
AMERICAN EXPRESS INVESTMENT MANAGEMENT
COMPANY (FORMERLY FUND AMERICAN
INVESTMENT MANAGEMENT CO.)
FRED H. MERRILL
Richard Murray, Esquire ®	McCutchen, Doyle, Brown & Enerse
601 California Street
San Francisco, California 94108
VAN STRUM & TOWNE, INC.
Isaac Shapiro, Esquire
Milbank, Tweed, Hadley & McCloy
One Chase Manhattan Plaza
New York, New York 10005

DOCKET NO. 78
ATTORNEY LIST -- JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
ee
e DESCRIPTION OF LITIGATION
KAUFFMAN MUTUAL FUND ACTIONS :
ye .
No. / Plaintiff Defendant
Harold E. Kohn, Esquire "HAMILTON MANAGEMENT CORP.
1214 IVB Building Roberts P. Owen, Esquire
C 1700 Market Street Covington & Burling	Philadelphia, Pennsylvania 19103 888 16th Street, N.W.
Washington, D.C. 20006
B W. Kauffman, Esquire
V/A Dilworth, baxson. Kalish. Levy & INVESTORS DIVERSIFIED SERVICES, INC.Coleman ! BTUART F. SILLOWAY
2600 The Fidelity Building James A. Magee, Esquire
Philadelphia, Penna. 19109 Donovan, Leisure, Newton & IrvineTwo Wall Street
New York, New York 10005
ASHINGTON MUTUAL INVESTORS FUND
. JOHNSTON, LEMON & CO.
" YAMES	“H. LEMON
John A. Beck, Esquire :
: Frost & Towers
.. Southern Building
: Washington, D. C. 20005
PIONEER MANAGEMENT CORP.
J PHILIP L. CARRET
Jerome P. Facher, Esquire
‘Hale & Dorr
28 State Street
® Boston, Massachusetts 02109
STATE STREET RESEARCH & MANAGEMENT CO.
PAUL C. CABOT
Harold M. Wilcox, Esquire
Herrick, Smith, Donald, Farley & Ketchun
294 Washington Street
Boston, Massachusetts 02108
NATIONAL SECURITIES & RESEARCH CORP.
PHILIP C. SMITH
Robert J. Sisk, Esquire
C py Hughes, Hubbard & Reed	One Wall Street
New York, New York 10005

No. Defendant
CAPITAL RESEARCH & MANAGEMENT CO.
JONATHAN B. LOVELACE
Philip	F. Belleville, Esquire C	Latham & Watkins
615 S. Flower Street
Los Angeles, California 90017
TECHNOLOGY FUND, INC.
: SUPERVISED INVESTORS SERVICES, INC.
J JOHN HAWKINSON
Charles F. Custer, Esquire
Meyers_& Matthias
| Suite 34885, 288 f MoN@oE SIREET
Chicago, Illinois 60602
SELECTED AMERICAN SHARES, INC. ®SECURITIES SUPERVISORS
EDWARD P. RUBIN
Edward H. Hatton, Esquire
Jenner & Block
135 South LaSalle Street
Chicago, Illinois 60603
TE SRS fore, Ine:
: HOWARD M. STEIN
Stuart A. Jackson, Esquire
Royall, Koegel & Wells
} Two Hundred Park Avenue
New York, New York 10017
TSAI MANAGEMENT & RESEARCH CORP.
W. Foster Wollen, Esquire
Shearman & Sterling
53 Wall Street
New York, New York 10005
UNITED FUNDS, INC.
VALUE LINE SPECIAL SITUATION FUNDS, .
ADDELL & REED, INC. ¢OE JACK MERRIMAN )
ARNOLD BERNHARD & CO., INC.
ARNOLD BERNHARD
i Albert D. Jordan, Esquire
Valicenti, Leighton, Reid & Pine
70 Pine Street
New York, New York 10005
: GERALD TSAI, JR.
Sames Heater, iii, esquire
Jokp P. Hawch, Edquire
Archway, Greiher, Hunter Read C518 Market Stresf \ .
Camden, New Jersey 08102

DOCKET NO. 78
ATTORNEY LIST -- JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
em
DESCRIPTION OF LITIGATION
KAUFFMAN MUTUAL FUND ACTIONS
ee
No. Plaintiff Defendant
LEHMAN BROTHERS
ALLAN B. HUNTER
o James J. Hagan, EsquireSimpson, Thacher & Bartlett
One Battery Park Plaza
New York, New York 10004
T. ROWE PRICE & ASSOCIATES, INC.
T. ROWE PRICE
ROWE PRICE MANAGEMENT CO., INC.
ANCHOR CORPORATION
CHARLES W. SHAEFFER
JOHN R. HAIRE
Daniel A. Pallack, Esquire
Pollack & Singer
111 Bragadway
New York, New York 10006
LOOMIS-SAYLES & CO., INC.
MAURICE T. FREEMAN
Samuel Hoar, Esquire
Goodwin,, Procter & Hoar
28 Stade Street
Boston, Massachusetts 02109
SCUDDER, STEVENS & CLARK
o RONALD T. LYMAN, JR.ftE. W. AXE & CO., INC.
LOUIS K. HYDE, JR.
Samuel E. Gates, Esquire
Debevoise, Plimpton,	, Lyons & Gates
320 Park Avenue
New York, New York 10022
PUTNAM MANAGEMENT CO., INC.
CHARLES M. WERLY
Philip H. Strubing, Esquire
Pepper, Hamilton & Scheetz
® 123 South Broad StreetPhiladelphia, Pennsylvania 19109

No. Defendant
F. EBERSTADT & CO.
CALVIN BULLOCK, LTD.
KEYSTONE CUSTODIAN FUNDS, INC. C	DISTRIBUTORS GROUP, INC.
FRANCIS S. WILLIAMS
HUGH BULLOCK
WILFRED GODFREY
FIREMEN	Ld SPM ed i ne PN Qe 4 |
; Marvin Schwartz, Esquire
Sullivan & Cromwell
48 Wall Street
New York, New York 10005
FUNDAMENTAL INVESTORS, INC.
ANCHOR GROWTH FUND (formerly known Cas DIVERSIFIED GROWTH STOCK FUND,
INC.)
ANCHOR INCOME FUND (FORMERLY KNOWN
AS DIVERSIFIED INVESTMENT FUND, INC.)
William G. Bischoff, Esquire
Taylor, Bischoff, Williams & Martin
330 Market Street
Camden, New Jersey 08102
’ NATIONAL SECURITIES SERIES
NATIONAL SECURITIES STOCK SERIES
NATIONAL SECURITIES GROWTH SERIES
Thomas B. Fenlon, Esquire
Emmet, Marvin & Martin
48 Wall Street
New York, New York 10005
FINANCIAL INDUSTRIAL FUND, INC.
FINANCIAL PROGRAMS, INC.
THOMAS J. HERBERT
Richard Shaw, Esquire
Modesitt & Shaw
Suite 1500, United Bank Center
1700 Broadway oDenver, Colorado 80202
| AMERICAN MUTUAL FUND, ZNE=
William W. Vaughn, Esquire
O'Melveny & Meyers
611 West Sixth Street
Los Angeles, California 90017
THE INVESTMENT COMPANY OF AMERICA
Carl J. Schuck, Esquire
Overton, Lyman & Prince
Suite 607, 550 S. Flower Street CLos Angeles, California 90017

DOCKET NO. 78
ATTORNEY LIST -- JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
bee ee ee ee ee
DESCRIPTION OF LITIGATION
® KAUFFMAN MUTUAL FUND ACTIONS
UNITED ACCUMULATIVE FUND.
UNITED SCIENCE FUND
UNITED INCOME FUND
C Arthur Kahn, EsquireSchnader, Harrison, Segal & Lewis
1719 Packard Building
Philadelphia, Pennsylvania 19102
HAMILTON FUNDS, INC.
James A. Clark, Esquire
Berge, Martin & Clark
500 Capitol Life Center
Denver, Colorado 80203
MANHATTAN FUND, INC.
Paul M. O'Connor, Jr., Esquire
Whitman & Ransom
522 5th Avenue
New York, New York 10036
INVESTORS MUTUAL, INC.
INVESTORS STOCK FUND, INC.
INVESTORS VARIABLE PAYMENT FUND, INC.
Richard E. Nolan, Esquire
‘ Davis, Polk & Wardell
1 Chase Manhattan Plaza
® New York, New York 10005KEYSTONE POWER-PRICED COMMON STOCK FUND
(5-4)
KEYSTONE GROWTH FUND (K-2)
KEYSTONE INCOME FUND (K-1)
KEYSTONE GROWTH COMMON STOCK FUND (S-3)
KEYSTONE INCOME COMMON STOCK FUND (5-2)
William F. Hyland, Esquire
lan, dinis & Reberkenny	499 Cooper Landing™Road™
Cherry Hill, New Jersey 08034

No.l plaintars | Defendant
T. ROWE PRICE GROWTH STOCK FUND, INC.
ROWE PRICE NEW HORIZONS FUND, INC.
Stanley J. Friedman, Esquire ®	Shereff, Friedman, Hoffman & Good
26 Broadway
New York, New York 10004
ONE WILLIAM STREET FUND, INC.
"Robert C. Carlson, Esquire
Roth, Cartson, Kwit, Spfagler & Goodell
280 Park Avenue
New York, New York
WELLINGTON FUND, INC.
WINDSOR FUND, INC. C	WELLINGTON MANAGEMENT CO.
WALTER L. MORGAN
, Robert M. Buchanan, Esquire
Sullivan & Worcester
225 Franklin Street
Boston, Massachusetts 02110
COLONIAL MANAGEMENT ASSOCIATES INC.
™» JAMES H. ORR. John R. Hally, Esquire
Nutter, McClennen & Fish
75 Federal Street
Boston, Massachusetts 02110
PUTNAM GROWTH FUND
GEORGE PUTNAM FUND OF BOSTON
PUTNAM INVESTORS FUND, INC.
Lawrence T. Perera, Esquire
Palmer & Dodge
28 State Street
Boston, Massachusetts 02109
MASSACHUSETTS COMPANY, INC.
HENRY R. GUILD CDouglas Danner, Esquire )
Powers & Hall
30 Federal Street
Boston, Massachusetts 02110
STATE	. STREET INVESTMENT CORP.
FEDERAL STREET FUND, INC.
R. Robert Popeo, Esquire
Mintz, Levin, Cohn & Glovsky
One Center Plaza, Suite 600
Boston, Massachusetts 02108 ®

CL — ~ Roe nsa rie Hereoo Pp. 1
JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
DOCKET NO. _ 7g - Kauffman Mutual Fund Actions
C COMMON PARTY CHECKLIST
NAME OF PARTY NAMED, AS PARTY IN FOLLOWING ACTIONS
TNe Dreyfus Fund, | 7 cz	ry
Inc. re
\ /. 1
A, me, H-3 F-42870-K:PT,13A20,A7.	AFI RB -C
¢$nattan Fund, Inc. |. ~~ SO oro os sr
1
[ 2\ A A 1. BI3 RED AA;	F087,	te B-/2
~ Fidelity Trend Fund, | _° 2 + C+ 4 7 7 ~~ vr]
Nine. 2 7ee
Na -
A N BR	2 ALR BA BRA LL FD Avosy
Te Putnam Growth ee
Fund A 1	1
\ LA4-/
A-/
\Ndsor Fund, Inc.. ee
7
PA ee ——_————
V A-/	000
® ridx1yty fund, Ine. (oo	oo]ee	————_—
ee
0]
aA,
ENG Inc. A——————————
7]
asA-,
1delid Capital 1
Fund, In 1
: pr
2
ee
\ Pow Theory Invest- a
Ment Fund, Inc. 2
A) eo AND Ned

| Pe. _2 Co
p=] |
‘Ne feorge Putnam
\ gFunq} of Boston
. ®Putyamy Investors Fund,
Inc. ee]
5-,________
cor 3 -—
~ -;	OOO
redYal Street Fund, Inc.| ®
A) a
Boston Fund, Inc. ——————————————	———————————
\/ 5qvstone Custodian -——
\ 5-7	OOOO]
Eaton & Howard Stock ee]
a
VEaton & Howard BaMancea [M7
Fund -—
The Colonial Fumd, Inc. (7
=r
Vitassachusetts Fund A
N | Hd —
Lighis-Sayles Mutual 1 @
rN, Inc. >/ —

. . . 3
~ , . bp. _~
JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
DOCKET NO. 78 -— Kauffman Mutual Fund Actions
COMMON PARTY CHECKLIST
>
ae NAME OF PARTY NAMED AS PARTY IN FOLLOWING ACTIONS
5 ry
Pioneer Fund, Ine. fe
| ec VA
Nel fington Management| ——————————————
ca
@ 23
Qpiity Management
& Research Co. EE cS
NE 2
bitin nenagenens
Co., Inc. 2c 1]
\ L-/	OO
tate Street Research — I I —
28
N poy	0
Boston Management fT
§ Research Co., Inc. [7 ——————
2 2 ee]
\ VA	A
ee
@ |e semders co.	Inc. yy
NN pt	ee
yr & Howard, Ine.
2.9	\ ee ———
. L-yA
ofonial Management [TT
Agociates, Inc. ss
o IN 30 ——\/ zg
A
Thy Massachusetts I
cos Inc. Jf IY.

P. 4 ’
V rl
L-omis-Sayles & Co., Inc.
2 ®	| FA
(
Pioneer Management Cove. —
ny
NA He
\ LH	-/iRegpA-2 000 0 0 0d 00 00000 |
Yard C. Johnson, IL fe ®
\ gs 0000
WM V2 EAT: YR SE
Wharles M. Tetly 7
A 6 —rz
Paul €. Cabot —
Na $7\Y gy 0000]
\ go
rz;	00
\ gr ®
| 4	OO
\ -
\ |
\enry R. Guild —	1 @

oo | | . | 0. 5
JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
DOCKET NO. 8 -- Kauffman Mutual Fund Actions
C COMMON PARTY CHECKLIST
NAME OF PARTY NAMED AS PARTY IN FOLLOWING ACTIONS |
N r-/	oe]
aurice T. Freeman endmmmmrmrrermremeSirpeeeeed[EE	—
yo. EI
py
® yi
: Nk Fund, Ine. 0000000000000	0000000000000]
ac
Ynited Funds, Ipc. [~~	0000000
DN -
N\] EE EE	United Bccumulative
4 EE
h FE
United Income Fund
I SC	—
United Science Fund [~~ 0000000000000]
® —
FE
I
emical Fund, Ine. [~~ 0000000000000
1 ee ——————
\/ lax 00000000000 0]pividend Shares, Ine. 0000000000000	|
J/ FE	® \Bullock Fund, Ltd. [~~ — ~~ ~~ ~~ ~~ 00000000000

. Ck p . 6 . *
Natiomwl Securities : :
Series i
ation] securities -—————
stock Mice 5 PY
atioh} Securities —————————
Growth eries re	J&L —
NN Fo
xe-Houghton Fund B, Inc. | oo	| @
ba William Street Fund, [oor
Tne) —_—
1 ~
Nenganing shares, tne. SEO ———————————————————————
a FTE Yr TE
Need 59 —_—
Vi Balanced Fund [oT
NJ Fe
Nader, Stevens & Clark [oor ——T ———
common Stock Bund Ine TT
\ f—————————————
Mager, stevens & clark [oo ___ ———
Palanced Fund, Inc. ————————————
0 eS	| value Line Special [0]
Nubeions Fond. tne —
ergy Fund, Inc. -— ®

. . Pp. 7
JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
DOCKET NO. 78 -— Kauffman Mutual Fund Actions
C COMMON PARTY CHECKLIST
NAME OF PARTY NAMED AS PARTY IN FOLLOWING ACTIONS
J =a _____________	_ _
iW Dreyfus Corp. eeee
ee
___________
Nora, abbett s co. |	________________
| NT s reed, Inc. L.___________ _——0
ph\ / zz
- Ws taat & Co. ss
ee
24 CT ,]
ai Management & ]
yy |]
livin Bullock, Ltd. |...	=	—
7]
7 CC]
NIN
N¥ional securities sf.
( Research Corp. —————————————————	TT—
e.[w. axe s co., Tne.
R re
Nftributors Growp, |.	0
ING. -
[) —_—
Mhnan Brothers I

: p. 8 ’
wan Strum & Towne, Inc. IE
C.
Ralph E. Samuel & Co. 7 C
— 2 rz
Howard M. Stein re
Nonort S. Driscoll 1
Joy Jack Merriman 1
a
rancis S. Williams -
3A oGerald Tsai, Jr. 1
N =	Jiugh Bullock 1]
EE.	it	\ cr — 1
\ =Philip C. Smith = ee]
i = 1] @

Co Co } P. 9
JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
DOCKET NO. 78 -- Kauffman Mutual Fund Actions
C COMMON PARTY CHECKLIST
NAME OF PARTY NAMED AS PARTY IN FOLLOWING ACTIONS |
AN) A-9g	U0
ee
Louis K. Hyde, Jr. ee
{A ee	1
NS A-
Yerbert R. Anderson bo —————ee
ee
| .] 1
\, /
AY¥lan B. Hunter ee
ee
14 ————————	I.
A-s5
Ropal4d Tr. Lyman, Jr. | 00
———————————
ee
\ / EE
\J lA 0000000	——————
_rpbld Bernhard ee
N y——————————————————ANNpnald C. Samuel le
ee
ee
\}vestment company | 0
C Institute I.	—————————
ee
N
rechnology Fund, Inc.| =~ ~~ ~~	0]
I.
/% el\ fq A000000]
Splected American
ares, Inc.
@ tein Roe & Farnham
Balanced Fund, Inc. A— —— ———

p. 10 : i
Supervised Investors
ervices, Inc. 7,
iN re 8	zNMurjty Supervisors
A 97 EE I
N 2-85	=]
/7 J I.
\J (Ay
John Hawkinson ee C
pp
Edw £2. Rubin -——————
5
Harry H. Hagey, Jr. ee
7, oo]
Findxci \ prauserial ee
\ 23
ML ton Management Corp. | ______ — ~~ 0]
Thomds Jr Herbert ee] ®

. : Pp. 11
JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
DOCKET NO. 78 -_ Kauffman Mutual Fund Actions
C COMMON PARTY CHECKLIST
NAME OF PARTY NAMED AS PARTY IN FOLLOWING ACTIONS |
5“
~~
Tsai Mana nt & Ne
Research £0rp: Yh
I
ashimgton Mutual I
nv&stoks fund, ne. |00000000]
le
® g I
RYLemon & Co. |OO]—————
0 J oo]	| y
amd\ H, JLemon ee]
I
) 4 ee]	ee
I
Rowe Price Growth
Stock Fund, Inc. y)) a
AYRp Price New IHoNzons Fund, Inc.
I
ee
\
T™ Rowe Price & ee
C Associates, Inc. ee]	————
™& Price Management | ~~	00000]
Co., Inc.
|
\/
arles W. schaeffer | ~~ ~~	oo]
ee
: |
® r. Mowe Price -
—————————

’ Pp. /3— Tas
A-9
M Tnvestors Diversified |
Services, Inc.
N Stuart F. Sillovay
\ The Investment Company
of America /4
\J/ 2-10]
American Mutual fund, Inc, 00000] C
” ee
NJ © 2-10]
Capital Reeearch & ee
Management Co. eo
[29 1NJ © 2-10
Jonathan B. Lovelace ee
/2 oo]
American Express Invest- - ee]
A| African Express Invest- i
A) 2 oo]
N nn @Fr H. Merrill ee]
INzedtors Mutual, Inc. re]
xvebtors Variable Payment a]
Ford] Inc. 1 @
> 00 0 0 |]

i . Pp. 13
JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
DOCKET No 78 _ Kauffman Mutual Fund Actuins :
C COMMON PARTY CHECKLIST
NAME OF PARTY NAMED AS PARTY IN FOLLOWING ACTIONS
2-22
ee, ee
FMdamental Investors, _ ________ _____ _——	———————————————
Inc. ee	———_,_,_,_—_—_—_——
“/{ i
Anchor Growth Fund, Ing.	_____________————————
~~
27 ee-
anchor Income fund,: [| __ _______—— ——"/ 2? /—// «#7
NiC 2,
-/V
Mouwp Securities, Inc.| ———
ee	———]
44 1	| ]	:
|
WR. Haire ee
ee	————
ee	——,—,e,eeYe_eY_e—_—_
[3% —
zs
wkstors stock Fund, b—
® eee	SL LSS Lb ELAR Ab SESE
N\yersieied Growth Qf pm mp
| t¥ck Fund, Inc. Ma ara 28 2 2 724 2 all =.1 22 2... 22
4 I ARN 7 ARLE 7	(ANCA AA] RICE	I
Wl 2p AN LL
A APC, Sper
I,
Diprsified \ Va. 7.) 7 ola
BurMyg Inc. SAALE A A AN	Ne,	ZZ —Z 1)
C ) / Bg	ZS. Py a. & By Fy 5 BN 2,
as Ye
<

- | Pp. 4 ; ’
{
ommonwealth Investment |
ompany ) uy
a a	—eyp ong Cxstgdiqn Fuxds, ee
J The I
, re	—]
va’ —_—
Thomas A. Martin J lS ®y ee
i NS | oo
Keystone Power-Priced ee]
Common Stock Fund (S-4) ee —,,ee_e_ee____
eystone Growth Fund ee	e————
Yr mm 0 ——/——
Keystone Income Fund ee]
’ — |Keytone Growth Common ee]
Stock Fund (S-3) ee]
Reystone Income Common Stodk	~~	~~ = =|
Fund (S-2_ ee]