in re: ) chapter 11 response genetics, inc., ~ ) case no, 15-11663 (lss… · 2016-01-29 · code,...

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IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE In re: ) Chapter 11 RESPONSE GENETICS, INC., ~ ) Case No, 15-11663 (LSS) Debtor. ) Objection Deadline: February 16, 2016 at 4:00 p.m. prevailing Eastern Time Hearing Date: March 2, 2016 at 11:00 a.m. prevailing Eastern Time DEBTOR'S FIRST (NON -SUBSTANTIVE) OMNIBUS OBJECTION TO CLAIMS, PURSUANT TO SECTION 502(b) OF THE BANKRUPTCY CODE, BANKRUPTCY RULES 3003 AND 3007, AND LOCAL RULE 3007-1 THIS OBJECTION SEEKS TO DISALLOW CERTAIN PROOFS OF CLAIM FILED IN THIS CASE. ANY NON -DEBTOR PARTY WHO FILED A PROOF OF CLAIM SHOULD REVIEW THE ATTACHED EXHIBITS TO DETERMINE IF THE DEBTOR IS SEEKING TO DISALLOW OR MODIFY THEIR CLAIM. The above-captioned debtor and debtor in possession (the "Debtor") hereby objects (the "Objection") to each of the claims on Exhibit to the attached proposed order (the "Disputed Claims") pursuant to sections 502 of title 11 of the United States Code (the "Bankruptcy Code") and Rule 3007 of the Federal Rules of Bankruptcy Procedure (the `Bankruptcy Rules") and Local Rule 3007-1 of the Local Rules of the Bankruptcy Court for the District of Delaware (the "Local Rules") and requests entry of an order reclassifying the Equity Interest Claims (as defined below) listed on Exhibit A to the proposed order to proofs of interest. In support of this Objection, the Debtor submits the Declaration of Benjamin J. Matz (the Declaration") attached hereto as Exhibit 1. In further support of this Objection, the Debtor represents as follows; ~ 1'he last four digits of the Debtor's tax identification number are: (5548). The location of the Debtor's headquarters and set~vice address is 1640 Marengo St., 7th Floor, Los Angeles, CA 90033. rocs Ln:z~~aK4. i ~3snsiooa Case 15-11663-LSS Doc 315 Filed 01/29/16 Page 1 of 9

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Page 1: In re: ) Chapter 11 RESPONSE GENETICS, INC., ~ ) Case No, 15-11663 (LSS… · 2016-01-29 · CODE, BANKRUPTCY RULES 3003 AND 3007, AND LOCAL RULE 3007-1 ... Case 15-11663-LSS Doc

IN THE UNITED STATES BANKRUPTCY COURT

FOR THE DISTRICT OF DELAWARE

In re: ) Chapter 11

RESPONSE GENETICS, INC., ~ ) Case No, 15-11663 (LSS)

Debtor. )Objection Deadline: February 16, 2016 at 4:00 p.m. prevailing Eastern Time

Hearing Date: March 2, 2016 at 11:00 a.m. prevailing Eastern Time

DEBTOR'S FIRST (NON-SUBSTANTIVE) OMNIBUS OBJECTION

TO CLAIMS, PURSUANT TO SECTION 502(b) OF THE BANKRUPTCY

CODE, BANKRUPTCY RULES 3003 AND 3007, AND LOCAL RULE 3007-1

THIS OBJECTION SEEKS TO DISALLOW CERTAIN PROOFS OF CLAIM FILED INTHIS CASE. ANY NON-DEBTOR PARTY WHO FILED A PROOF OF CLAIMSHOULD REVIEW THE ATTACHED EXHIBITS TO DETERMINE IF THE DEBTORIS SEEKING TO DISALLOW OR MODIFY THEIR CLAIM.

The above-captioned debtor and debtor in possession (the "Debtor") hereby

objects (the "Objection") to each of the claims on Exhibit to the attached proposed order (the

"Disputed Claims") pursuant to sections 502 of title 11 of the United States Code (the

"Bankruptcy Code") and Rule 3007 of the Federal Rules of Bankruptcy Procedure (the

`Bankruptcy Rules") and Local Rule 3007-1 of the Local Rules of the Bankruptcy Court for the

District of Delaware (the "Local Rules") and requests entry of an order reclassifying the Equity

Interest Claims (as defined below) listed on Exhibit A to the proposed order to proofs of interest.

In support of this Objection, the Debtor submits the Declaration of Benjamin J. Matz (the

Declaration") attached hereto as Exhibit 1. In further support of this Objection, the Debtor

represents as follows;

~ 1'he last four digits of the Debtor's tax identification number are: (5548). The location of the Debtor's

headquarters and set~vice address is 1640 Marengo St., 7th Floor, Los Angeles, CA 90033.

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Jurisdiction and Venue

1. This Court has jurisdiction to consider the Objection pursuant to 28 U.S.C.

§§ 157 and 1334 and the Amended Standing Order of Reference from the United States District

Court for the District of Delaware dated as of February 29, 2012. Venue is proper in this District

pursuant to 28 U.S.C. §§ 1408 and 1409. Consideration of the Objection is a core proceeding

pursuant to 28 iJ.S.C. § 157(b).

2. The statutory predicates for the relief requested herein are section 502 of

the Bankruptcy Code, Bankruptcy Rule 3007 and Local Rule 3007-1.

3. Pursuant to Local Rule 9013-1(fj, the Debtor consents to the entry of a

final judgment or order with respect to the Motion if it is determined that this Court would lack

Article III jurisdiction to enter such final order or judgment absent the consent of the parties.

Background

1. On August 9, 2015 (the "Petition Date"), the Debtor filed a voluntary

petition for relief under chapter 11 of the Bankruptcy Code. The Debtor continues in possession

of its property and continues to operate and manage its business as a debtor in possession

pursuant to sections 1107(a) and 1108 of the Bankruptcy Code. No trustee or examiner has been

appointed in the Debtor's chapter 11 cases.

2. The Court has jurisdiction over this matter pursuant to 28 U.S.C. §§ 157

and 1334. This is a core proceeding pursuant to 28 U.S.C. § 157(b)(2),

3. On August 25, 2015, the United States Trustee for Region 3 appointed the

Official Committee of Unsecured Creditors (the "Committee") to represent the interests of all

unsecured creditors in this Case pursuant to section 1102 of the Bankruptcy Code.

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4. On October 1, 2015, the Court entered the Order (A) Approving the Sale

of Substantially All of the Debtor's Assets, and (B) Approving the Assumption and Assignment of

Certain Executory Contracts anc~ Unexpired Leases [Docket No. 186] (the "Sale Order"). By the

Sale Order, the Court approved the Debtor's sale of substantially all of its assets to Cancer

Genetics, Inc. ("CGI"). The sale closed on October 9, 2015.

5. On October 9, 2015, the Court entered an Order [Docket No. 208] (the

"Bar Date Order") in accordance with Bankruptcy Rule 3003(c) fixing November 24, 2015, at

4:00 p.m. prevailing Eastern time (the "Claims Bar Date") as the last day for the filing of proofs

of claim in this case for all claims against the Debtor arising prior to the Petition Date, including

claims arising under section 503(b)(9) of the Bankruptcy Code.

6. Additional factual background regarding the Debtor, including its current

and historical business operations and the events precipitating the chapter 11 filing, is set forth in

detail in the Declaration of Thomas A. Bologna in Support of First Day Motions (the "First Day

Declaration") [Docket No. 2], which is fully incorporated herein by reference.

Relief Requested

7. The Debtor seeks entry of an order pursuant to Bankruptcy Code section

502(b) and Bankruptcy Rule 3007, and Local Rule 3007-1 reclassifying each of the Equity

Interest Claims (as defined below) listed on Exhibit A to the proposed order. This Objection is

made on non-substantive grounds pursuant to Local Rule 3007-1(d)(vi), and the Objection

complies in all respects with Local Rule 3007-1.

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Basis for Relief

A. equity Interest Claims (Exhibit A)

8. Each of the claims listed on Exhibit A to the proposed order were filed by

a shareholder of the Debtor based solely on the ownership of stock, and not based upon a

"claim," and many assert that all or a portion of each proof of claim is entitled to a priority

classification pursuant to Bankruptcy Code § 507(a) (the "~quitx Interest Claims"). Because

equity interests are not claims against the Debtor's estate, the Debtor requests that the Court

reclassify each of the Equity Interest Claims to proofs of interest as there is no basis for the

allowance of the Equity Interest Claims in any of the enumerated priorities afforded under

Bankruptcy Code § 507(a) or as secured, priority or general unsecured claims.

9. The Bankruptcy Code defines an "equity security" as a: "(A) share in a

corporation, whether or not transferable or denominated "stock", or similar security; (B) interest

of a limited partner in a limited partnership; or (C) warrant or right, other than a right to convert,

to purchase, sell, or subscribe to a share, security, or interest of a kind specified in subparagraph

(A) or (B) of this paragraph." l 1 U.S.L. §101(16). Holders of equity securities do not have

"claims" under section 101(5) of the Bankruptcy Code, but rather equity interests. See, e.g., In

re Insilco Techs., Inc., 480 F.3d 212, 217 (3d Cir. 2007) (distinguishing "between creditors (who

hold ̀ claims' against the estate) and equity investors (who hold ̀ interests' in the estate")).

Leal Basis far Relief

10. Pursuant to section S02(a) of the Bankruptcy Code, any claim for which a

proof of claim has been filed under section 501 of the Bankruptcy Code shall be deemed allowed

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unless a party in interest objects. If an objection is filed, the court, upon notice and a hearing,

shall determine the proper and appropriate amount of such claim. See 11 U.S.C. § 502(b).

11. When asserting a proof of claim against a bankrupt estate, a claimant must

allege facts that, if true, would support a finding that the debtor is legally liable to the claimant.

In re Allegheny Intl, Inc., 954 F.2d 167, 173 (3d Cir. 1992); MatteN of Intl Mcztch Corp., 69

F'.2d 73, 76 (2d Cir. 1934) (finding that a proof of claim should at least allege facts from which

legal liability can be seen to exist). Where the claimant alleges sufficient facts to support its

claim, its claim is afforded prima facie validity. In re Allegheny Intl, Inc., 954 F.2d at 173. A

party wishing to dispute such a claim must provide evidence in sufficient force to negate the

claim's prima facie validity. Id. In practice, the objecting party must produce evidence that

would refute at least one of the allegations essential to the claim's legal sufficiency. Id. Once

the objecting party produces such evidence, the burden shifts back to the claimant to prove the

validity of his or her claim by a preponderance of the evidence. Id. The burden of persuasion is

always on the claimant. Id.

Filing and Service of Rest~onses

12. Filing and Service of Responses. To contest this First Omnibus Claims

Objection, a claimant must file and serve a written response to the First Omnibus Claims

Objection (a "Response") so that it is received no later than 4:00 p.m. (Eastern Time) on

February lb, 2016. Claimants should read the proposed First Omnibus Claims Objection and

Order and the attached exhibits carefully. A claimant who has timely filed a written Response

and wishes to oppose the First Omnibus Claims Objection must attend or make other

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arrangements to participate in the hearing on the objection, which hearing is scheduled to be held

on March 2, 2016 at 11:00 a.m, before the Honorable Laurie S. Silverstein, United States

Bankruptcy Judge, at the United States Bankruptcy Court for the District of Delaware, 824 North

Market Street, Wilmington, Delaware 19801 (the "Hearing")

13. Every Response shall be filed and served upon the following entities at the

following addresses: (a) Office of the Clerk, United States Bankruptcy Court for the District of

Delaware, Marine Midland Plaza, 824 Market Street, 3 d̀ Floor, Wilmington, Delaware 19801;

(b) Pachulski Stang Ziehl &Jones LLP, 919 North Market Street, 17t" Floor, Wilmington, DE

19899, Attn: James E. O'Neill, Esq.; and (c) Pachulski Stang Ziehl &Jones LLP, 150 California

Street, 15t}' Floor, San Francisco, CA 94111, Attn: john W. Lucas, Esq.

14. Content of Responses. Every Response to the First Omnibus Claims

Objection must contain at a minimum the following:

a. a caption setting forth the name of the Court, the name of the Debtor, the

case number and the title of the objection to which the Response is

directed;

b. the name of the claimant and description of the basis for the amount of the

Equity Interest Claim;

c, a concise statement setting forth the reasons why the Equity Interest Claim

should not be disallowed for reasons set forth in the First Omnibus Claims

Objection including, but not limited to, the specific factual and legal bases

upon which the claimant relies in opposing the First Omnibus Claims

Objection;

d. all documentation or other evidence supporting the Equity Interest Claim

not included with the proof of claim previously filed with the Bankruptcy

Court, upon which the claimant relies in opposing the First Omnibus

Claims Objection and

e. the name, address, telephone number and fax number of the persons)

(which may be the claimant or a legal representative thereof to whom

counsel for the Debtor should serve a reply to the Response and who

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possesses authority to reconcile, settle or otherwise resolve the objectionto the Equity Interest Claim on behalf of the claimant.

15. Timel~ponse Re uq fired• If the claimants fail to file and serve a timely

Response, the Debtor will present to the Court an order reclassifying the Equity Interest Claims

without a hearing or further notice to claimants.

16. Service Address. If a Response contains an address for the claimant

different from that stated on the Equity Interest Claim, the address in the Response shall

constitute the service address for future service of papers upon the claimant with respect to the

First Omnibus Claims Objection unless or until counsel for the Debtor receives written notice

from the claimant or the claimant's counsel of a changed service address.

Ret~lies to Responses

17. The Debtor may, at its option, file and serve a reply to a claimant's

Response no later than 4:00 p.m. prevailing Eastern Time, one day prior to the deadline for filing

the agenda on any hearing on the Objection.

Set~arate Contested Matter

18. Each of the above objections to the Claims constitutes a separate contested

matter as contemplated by Bankruptcy Rule 9014. The Debtor requests that any order entered by

this Court with respect to this Objection shall be deemed a separate order with respect to each

Claim.

Reservation of Rights

19. The Debtor expressly reserves the right to amend, modify or supplement

the Abjection, and to file additional objections to any claims filed in this chapter 11 case

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including, without limitation, omnibus and substantive objections with respect to the any of the

remaining Claims. Should this Objection be dismissed or overruled, the Debtor also reserves the

right to object to any of the Claims on any grounds that governing law permits.

Adjournment of Hearin

20, The Debtor reserves the right to adjourn the hearing on any claim subject

to the Objection. In the event that the Debtor adjourns the hearing, the adjournment will be

reflected on the agenda for the hearing on the Objection.

No Prior Request

21. No previous request for the relief sought herein has been made to this or

any other court.

Notice

22. A copy of the Objection has been served upon: (a) the Office of the United

States Trustee; (b) counsel for the Official Committee of Unsecured Creditors; (c) those persons

who have requested notice pursuant to Rule 2002 of the Federal Rules of Bankruptcy Procedure;

and (d) claimants whose claims are identified on Exhibits A and B to this Objection. A copy of

the Notice was served on the parties on the Rule 2002 Service List. The Debtor submits that no

further notice is required.

No Prior Request

23. No prior motion for the relief requested herein has been made to this or

any other court.

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Compliance with Delaware Bankruntcv Local Rule 3007-1

23. This First Omnibus Claims Objection complies with the requirements of

Del. Bank. L. R. 3007-1 except as indicated above. To the extent that the Objection does not

comply with the Local Rules, the Debtor requests a waiver of the Local Rules solely for the

purposes indicated herein.

WHEREFORE, the Debtor respectfully requests that the Court enter an order

substantially in the form annexed hereto, (a) reclassifying the Equity Interest Claims listed on

F,xhibit A to the proposed order to proofs of interest, and (b) disallowing in full the Late Filed

Claims listed on Exhibit B to the proposed order.

Dated: January 29, 2016PACHULSKI STANG ZIEHL &JONES LLP

/s/.Ia~nes E. O'NeillJeffrey N. Pomerantz (CA Bar No. 143717)Ira D. Kharasch (CA Bar No. 109084)James E. O'Neill (Bar No. 4042)John W. Lucas (CA Bar No. 271038)919 North Market Street, 17th Floor

P.O. Box 8705Wilmington, DE 19899-8705 (Courier 19801)Telephone: (302) 652-4100Facsimile: (302) 652-4400E-mail; [email protected]

ikharsch@pszj law. [email protected]@pszjlaw.com

Counsel for Debtor and Debtor in Possession

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IN THE UNITED STATES BANKRUPri'CY COURT

FOR THE DISTRICT OF DELAWARE

In re: ) Chapter 11

RESPONSE GENETICS, INC., ~ ) Case No. 15-11663 (LSS)

Debtor. )Objection Deadline: February 16, 2016 at 4:00 p. m. prevailing Eastern Time

Hearing Date: March 2, 2016 at 11:00 a.m. prevailing Eastern Time

NOTICE OF DEBTOR'S FIRST (NON-SUBSTANTIVE) OMNIBUS OBJECTION TOCLAIMS PURSUANT TO SECTION 502(6) OF THE BANKRUPTCY CODE,

BANKRUPTCY RULES 3003 AND 3007, AND LOCAL RULE 3407-1

THIS OBJECTION SEEKS TO DISALLOW CERTAIN PROOFS OF CLAIM FILED INTHIS CASE. ANY NON-DEBTOR PARTY WHO FILED A PROOF OF CLAIMSHOULD REVIEW THE ATTACHED EXHIBITS TO DETERMINE IF THE DEBTORIS SEEKING TO DISALLOW OR MODIFY THEIR CLAIM.

PLEASE TAKE NOTICE that on January 29, 2016 Response Genetics, Inc. (the

"Debtor"), filed the attached Debtor's First Omnibus (Non-Substantive) Objection to Claims,

Pursuant to Section 502(b) of the Bankruptcy Code, Bankruptcy Rules 3003 and 3007, and Local

Rule 3007-1 (the "Objection").

PLEASE TAKE FURTHER NOTICE that any responses to the Objection yr

the relief requested therein must be made in writing, filed with the United States Bankruptcy

Court for the District Of Delaware (the ̀ Bankruptcy Court"), 824 North Market Street, 3ra

Floor, Wilmington, Delaware 19801, on or before February 16, 2016 at 4:00 p.m. (Eastern

time).

PLEASE TAKE FURTHER NOTICE that at the same time, you must also

serve a copy of the response or objection upon: (i) counsel to the Debtor, Pachulski Stang Ziehl

~ The last four digits of the Debtor's tax identification number are. (5548). The location of the Debtor's

headquarters and service address is 1640 Marengo St., 7th Ploor, Los Angeles, CA 90033.

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& Jones LLP, 919 North Market Street, 17t" Floot~, P.O. Box 8705, Wilmington, DE 19899-

8705 (Couriet~ 19801), Atrn: James E. O'Neill, Esq.; and Pachulski Stang Ziehl &Jones LLP,

150 California Street, 1 Stf' Floor, San Francisco, CA 94111, Attn: John W. Lucas, Esq.; and (ii)

and (ii) the Office of the United States Trustee, J. Caleb Boggs Federal Building, 844 North

King Street, Suite 2207, Lock Box 35, Wilmington, DE 19801, Attn: Mark S. Kenney, F,sq.

PLEASE TAKE FURTI-IER NOTICE THAT every Response must contain, at a

minimum, the following information:

(a) a caption setting forth the name of the Bankruptcy Court, the name of theDebtor, the case number, and the title of the objection to which theResponse is directed;

(b) the name of the Claimant and description of the basis for the amount of theClaim; a concise statement specifically setting forth the reasons why theClaim should not be disallowed by the Bankruptcy Court in the manner setforth in the objection, including, but not limited to, the specific factual andlegal bases in support of the Response;

(c) all documentation or other evidence of the Claim, to the extent notincluded with the Claim previously filed with the Court, upon which theClaimant will rely in opposing the objection;

(d) the address(es), if different from that or those presented in the Claim, towhich the Debtor must return any reply to the Response; and

(e) the name, address and telephone number of the person possessing ultimateauthority to reconcile, settle or otherwise resolve the Claim.

IF YOU FAIL TO RESPOND OR OBJECT 1N ACCORDANCE WITII THIS

NOTICE, THE COURT MAY GRANT THE RELIEF REQUESTED IN "THE OBJECTION

WITHOUT' FURTF-IER NOTICE OR HEARING.

PLEASE TAKE FURTHER NOTICE THAT IF A RESPONSE IS PROPERLY

FILED AND SERVED IN ACCORDANCE WITH THE ABOVE PROCEDURES, A

HEARING ON THE OBJECTION WILL BE HELD ON MARCH 2, 2016 AT 11:00 A.M.

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(EASTERN TIME) BEFORE THE HONORABLE LAURIE S. SILVERSTF,IN, JUDGE OF

THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE, IN

THE UNITED STATES BANKRUPTCY COURT, 824 NORTH MARKET STRF_,ET, 6TH

FLOOR, COURTROOM 2, WILMINGTON, DELAWARE 19801. ONLY RESPONSES

MADE IN WRITING AND TIMELY FILED AND RECEIVED WILL BE CONSIDERED BY

THE BANKRUPTCY COURT AT SUCH HEARING.

Dated: January 29, 2016PACHULSKI STANG 7.IEHL &JONES LLP

/s/Jafnes E. O'NeillJeffrey N. Pomerantz (CA Bar Na. 143717)Ira D. Kharasch (CA Bar No, 109084)James E. O'Neill (Bar No. 4042)John W. Lucas (CA Bar No. 271038)919 North Market Street, 17th floorP.O. Box 8705Wilmington, DE 19899-8705 (Courier 19801)Telephone: (302) 652-4100Facsimile: (302) 652-4400E-mail: [email protected]

ikharsch@pszj law. [email protected] Lucas@pszj law.com

Counsel for Debtor and Debtor in Possession

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EXHIBIT 1

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IN THE UNITED STATES BANKRUPTCY COURT

FOR THE DISTRICT OF DELAWARE

In re: ) Chapter 11

RESPONSE GENETICS, INC., ~ ) Case No. 15-11663 (LSS)

Debtor

DECLARATION OF BENJAMIN J. MATZ IN SUPPORT OF DEBTOR'S FIRST (NON-

SUBSTANTIV~) OMNIBUS OBJECTION TO CLAIMS, PURSUANT TO SECTION

502(b) OF THE BANKRUPTCY CODE, BANKRUPTCYRULES 3003 AND 3007, AND LOCAL RULE 3007-1

I, Benjamin J. Matz, hereby declare that the following is true to the best of my

knowledge, information and belief:

I am chief restructuring officer of the Debtor. I am authorized to submit

this declaration (the "Declaration") in support of the Debtor's First Omnibus (Non-Substantive)

Objection to Claims, Pursuant to Section 502(b) of'the Bankruptcy Code, BankNuptcy Rules 3003

and 3007, and Local Rule 3007-1 (the "Objection"),Z and I am familiar with the information

contained therein, either from personal knowledge, information supplied or verified by the

Debtor and/or the Debtor's third-party advisors, including Omni Management Group, LLC, my

review of the relevant documents regarding the Debtor's bankruptcy case, finances and/or

business affairs.

2. I make this Declaration on the basis of my review of claims referenced in

the Objection, together with any supporting or related documentation.

~ The last four digits of the Debtor's tax identification number are: (5548). The location of the Debtor's

headquatrters and service address is 1640 Marengo St., 7th Floor, Los Angeles, CA 90033.

Z Unless otherwise defined herein, capitalized terms shall have the meanings ascribed to them in the Objection.

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I have familiarity with the claims review process and the related objection

process. In that capacity, I am directly familiar with the information contained therein.

Additionally, I read the Objection and the proposed order with respect to the Objection. Some of

the bases for the Objection contained herein relate to matters within the knowledge of other

agents of the Debtor and is based on information I received from them. The Equity Interest

Claims identified in the Objection were reviewed and analyzed in good faith and by utilizing due

diligence by appropriate personnel.

4. Based upon these efforts and to the best of my knowledge, I have

determined that the Equity Interest Claims identified on Exhibit A attached to the proposed order

were filed by shareholders of the Debtor based solely on the ownership of stock, and not based

upon a "claim," and many assert that all or a portion of each proof of claim is entitled to a

priority classification pursuant to Bankruptcy Code § 507(a). Because equity interests are not

claims against the Debtor's estate, the Debtor requests that the Court reclassify each of the

Equity Interest Claims to proofs of interest as there is no basis for the allowance of the Equity

Interest Claims in any of the enumerated priorities afforded under Bankruptcy Lode § 507(a) or

as secured, priority or general unsecured claims.

5. Accordingly, based upon my review of the Equity Interest Claims subject

to the Objection, I believe that the relief sought in the Objection is in the best interests of the

Debtor and its estate and creditors.

Pursuant to 28 U.S.C. § 1746, I declare under penalty of perjury that the faregaing

is true and correct to the best of my knowledge, information and belief.

DOGS LA296284.1 73845/002 2

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Dated: c ~• ,~.,2016 `" l

UCJCS I.A:2962~4.1 738~i51W2

Case 15-11663-LSS Doc 315-2 Filed 01/29/16 Page 4 of 4

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IN THE UNITED STATES BANKRUPTCY COURT

FOR THE DISTRICT OF DELAWARE

In re: ) Chapter 11

RESPONSE GENETICS, INC., ~ ) Case No. 15-11663 (LSS)

Debtor. ) Re Docket No. _

ORDER SUSTAINING DEBTOR'S FIRST (NON-SUBSTANTIVE)OMNIBUS OBJECTION TO CLAIMS, PURSUANT TO SECTION

502(b) OF THE BANKRUPTCY CODE, BANKRUPTCYRULES 3003 AND 3007, AND LOCAL RULE 3007-1

Upon the Objection2 filed by the Debtor for entry of an order reclassifying the

Equity Interest Claims as proofs of interest; and it appearing that the relief requested in the

Objection is in the best interests of the Debtor, creditors, and other parties in interest, and after

due deliberation thereon and sufficient cause appearing therefore, it is hereby ORDERED,

ADJUDGED, AND DECREED that:

The Objection is SUSTAINED.

2. Any response to the Objection not otherwise withdrawn, resolved, or

adjourned is hereby overruled on its merits.

3. The official Claims register in this chapter 11 case shall be modified in

accordance with this Order.

4. each of the Equity Interest Claims identified on Exhibit A attached to this

Order is hereby reclassified as a proof of interest without prejudice to (i) the rights of the Debtor

~ The last four digits of the Debtor's tax identification number are: (5548). The location of the Debtor's

headquarters and service address is 1640 Marengo St., 7th Floor, Los Angeles, CA 90033.

Z Capitalized terms used but not otherwise defined herein shall have the meanings ascribed to such terms in the

Objection.

DOGS LA296284.1 73845/002

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and/or its successors in interest to object to the Equity Interest Claims on any other ground that

governing law permits and (ii} the claimants' rights to oppose such objection..

5. The Debtor's rights to amend, modify, or supplement the Objection, to file

additional objections to any of the claims identified on Exhibit A attached to this Order, or any

other claims (filed or not) which may be asserted against the Debtor, and to seek further

reduction of any claim to the extent such claim has been paid, are preserved.

6. The Debtor, on behalf of itself, and its successor in interest, further reserve

its rights to use any available defenses under section 502 of the Bankruptcy Code to setoff

against or otherwise reduce all or part of any claim.

7. Each of the claims and the objections by the Debtor to such claims, as

addressed in the Objection and set forth on the Exhibit A to this Order, constitutes a separate

contested matter as contemplated by Bankruptcy Rule 9014. This Order shall be deemed a

separate Order with respect to each of the claims.

8. The terms and conditions of this Order shall be immediately effective and

enforceable upon its entry.

9. The Debtor and the Debtor's claims agent, Omni Management Gxoup,

LLC, are authorized to take all actions necessary to effectuate the relief granted pursuant to this

Order.

ROCS LA:296284.1 73845/002 2

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10. This Court shall retain jurisdiction to hear and determine all matters

arising; from the implementation of this Order.

Dated: , 2016Honorable Laurie S. Silverstein

DOGS LA:2)6284.1 73845/002

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Exhibit A

DOGS LA296284.1 738Q5/002

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Equi

ty Int

eres

# Claims

Filed Cl

aims

Claim

Claimant's Name &Address

Filed

File

dFiled

File

dReason for Modification

No.

Secu

red

Prio

rity

Unsecured

503(

b)(9

)

Recl

assi

fy Equ

ity In

tere

st Claim to proof of

interest as there is

no bas

is for the all

owan

ceALVAREZ, ROBERT

of the Equ

ity In

tere

s# Claim in any of the

86

2445 W. VIA

LUC

IA$1,800.00

enumerated priorities afforded under

MONTEBELLO, CA 90640

Bank

rupt

cy Code § 507

(a) or

as se

cure

d,

priority or ge

nera

l unsecured claim.

Reclassify Equ

ity In

tere

st Ciaim to proof of

BELL

lNGE

R, KENNETH L. &

interest as there

is no basis for

the all

owan

ce

54

BLAN KA

JOINT TENANTS

$541.99

of the Equ

ity In

tere

st Claim in any of the

enumerated priorities af

ford

ed und

er2015. MCGINNIS

Bankruptcy Code § 507(a) or as se

cure

d,RANTOUL, KS 66079

priority or ge

nera

l unsecured claim.

Reclassify Equ

ity In

tere

st Claim to proof of

inte

rest

as th

ere

is no bas

is for

the all

owan

ceBENNETT, ALEX

of the Equ

ity Interest Claim in any of the

84

1400 CLEARY

$300.00

enumerated priorities af

ford

ed under

JOLI

ET, IL

60435

Bank

rupt

cy Code § 507

(a) or as secured,

prio

rity

or ge

nera

l unsecured claim.

Reclassi#y Equ

ity Interest Claim to proof of

interest as there

is no bas

is for

the all

owan

cefDWARDS, MAUREEN A.

of the Equ

ity In

tere

st Claim in any of the

72

69 DIVEN ST.

$3,6

17.9

4enumerated priorities af

ford

ed under

SPRI

NGFI

ELD.

NJ 07081

Bankruptcy Code § 507

(a) or as se

cure

d,

priority or gen

eral

unsecured claim.

Reclassify Equity interest Claim to proof of

40

EMS, DAVID

99 BRiGH~ RD

$862.85

$862.85

interest as there

is no bas

is for

the all

owan

ce

of the Equ

ity In

tere

st Cla

im in any of the

PERKWSTON, MS 39573

enumerated pri

orit

ies af

ford

ed und

er

DOCS LA296284.1 738

45/0

02

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File

d Cl

aims

Claim

Claimant's Name &Address

File

dFi

led

filed

File

dReason for

Modification

No.

Secu

red

Prio

rity

Unsecured

503(

b)(9

)

Bank

rupt

cy Code § 507(a) o

r as secured,

priority or ge

nera

l un

secu

red cl

aim.

Reclassify Equ

ity Interest Cla

im to pr

oof of

interest as there

is no basis for

the

all

owan

ceFEIGENBAUM, ALAN

~f the

Equ

ity In

tere

st Cla

im in an

y of

the

33

419 NW 29TH WAY

$9,626.00

$9,626.00

enumerated priorities af

ford

ed und

erBOCA BATON, FL 33433

Bank

rupt

cy Code § 507{a) or

as se

cure

d,

priority or ge

nera

l un

secu

red cl

aim.

Reclassify Equ

ity Interest Cla

im to pr

oof of

inte

rest

as there

is no bas

is for

the

allowance

FIRDOUS, FAROOQ

of the Equ

ity In

tere

st Cla

im in any of the

51

1179 WILLIAM ST

$2,000.00

enumerated priorities af

ford

ed und

erHEWLETT, NY 11557

Bank

rupt

cy Code § 507(a) or as se

cure

d,

priority or ge

nera

l un

secu

red cl

aim.

Reclassify Equ

ity In

tere

st Cla

im to pr

oof of

inte

rest

as there

is no bas

is for

the all

owan

ceGAMBELLA, ROY

~f the Equ

ity In

tere

st Cla

im in any of th

e50

12 DUMPUN HILL LN

$7,307.80

enumerated pri

orit

ies af

ford

ed und

erHUNTINGTON, NY 11743

Bank

rupt

cy Code § 507(a) or

as secured,

priority or ge

nera

l un

secu

red cl

aim.

Reclassify Equ

ity In

tere

st Cla

im to pr

oof of

inte

rest

as there

is no bas

is for

the

all

owan

ceHALPERN, MATHEW

of the

Equ

ity In

tere

st Cla

im in any of th

e82

131 BEACON LANE

$1,006.45

enumerated priori#ies af

ford

ed und

erEATONTOWN, NJ 07724

Bank

rupt

cy Code § 507{a) o

r as

secured,

priority or genera! un

secu

red cl

aim.

Reclassify Equ

ity In

tere

st Cla

im to pr

oof of

HAWKiMS, ROBERT P.

inte

rest

as there

is no basis #or the

all

owan

ce61

6306 BLUFF FOREST DR.

$233.88

of the Equ

ity in

tere

st Cla

im in any of th

eST

. LOUIS, MO 63124

enumerated priorities af

ford

ed und

er

DOCS LA296284.1 738

45/0

02

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Filed Cl

aims

Claim

Claimant's Name &Address

File

dFiled

File

dFi

led

Reason for

Mod

ific

atio

nNo.

Secu

red

Prio

rity

Unsecured

503{

b)(9

)

Bank

rupt

cy Code § 507

(a) o

r as

sec

ured

,

priority or ge

nera

l unsecured cl

aim.

Recl

assi

fy Equ

ity in

tere

st Cla

im to pr

oof of

HIRSCHMANN, SUE &

inte

rest

as there

is no bas

is for

the allowance

OSVALDO

$632

.95

of the

Equ

ity In

tere

st Cla

im in any of th

e

59

12046 CEDAR FORM LANE

enumerated pri

orit

ies af

ford

ed und

er

STAFFORD, TX 77477-161

Bank

rupt

cy Code § 507

(a) or

as secured,

priority or ge

nera

l un

secu

red cl

aim.

Reclassify Equ

ity In

tere

st Cla

im to proof of

inte

rest

as there

is no basis for

the

all

owan

ceIA

COUZ

ZI, GERALD

of the Equ

ity In

tere

st Claim in any of th

e24

146 N. PA

SSAI

C AVE

$4,8

31.5

2enumerated pri

orit

ies af

ford

ed und

erCHATHAM, NJ 07928

Bank

rupt

cy Code § 507

(a) or

as secured,

priority or ge

nera

l un

secu

red claim.

Recl

assi

fy Equ

ity In

tere

st Cla

im to proof of

JAVEDN, MICHAEL M &MRS.

inte

rest

as there is

no bas

is for

the

allowance

62

ZARRINTA

$1796.23

~f the

Equ

ity In

tere

st Claim. i

n any of th

e

311 CABOT CT.

enumerated priorities af

ford

ed und

er

GRANITE BAY, CA 95746

Bank

rupt

cy Code § 507

(a) or

as se

cure

d,

prio

rity

or ge

nera

l un

secu

red cl

aim.

Recl

assi

fy Equ

ity In

tere

st Cla

im to proof of

JOHNSON I

II, EARL B.

inte

rest

as there

is no basis for

the

allowance

71

7800 W. FORESTHILL LN,

$6,895.25

of the Equ

ity In

tere

st Cla

im in any of the

#306

enumerated pri

orit

ies af

ford

ed under

PALOS HEI

GHTS

, IL

60463

Bank

rupt

cy Code § 507

(a) or as se

cure

d,

priority or ge

nera

l un

secu

red claim.

Recl

assi

fy Equ

ity In

tere

st Cla

im to proof of

KHO.

IA, AMEER

+pte

rest

as there

is no bas

is for

the all

owan

ce64

401 EASTLAND DRIVE

$445

.00

of the

Equ

ity In

tere

st Cla

im in any of th

e iI

LEWi

SIVL

LE, TX 75056

enumerated priorities af

ford

ed und

er

DOCS LA296284.1 73845/002

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File

d Cl

aims

Claim

Claimant's Name &Address

File

dFi

led

Filed

File

dReason for

Mod

ific

atio

nNo.

Secu

red

Prio

rity

Unsecured

503(

b)(9

)

Bank

rupt

cy Code § 507

(a) or as se

cure

d,

priority or general un

secu

red cl

aim.

Reclassify Equ

ity In

tere

st Cla

im to pr

oof of

interest as th

ere

is no basis for

the

all

owan

ce

47

LEVI

TY, DAVID

278 NEW GALENA RD.

$6,OOO.dO

of the

Equ

i#y In

tere

st Cla

im in any of the

enumerated priorities af

ford

ed und

erCHALFONT, PA 19814

Bank

rupt

cy Code § 507

(a) o

r as

sec

ured

,

priority or general un

secu

red cl

aim.

LI, RUGHAO

Reclassify Equ

ity In

tere

st Cla

im to pr

oof of

RM2704 N0.11

inte

rest

as th

ere

is no basis for

the

allowance

$~

YUNHAITON6JIN

~8'~~~~~

of the Equ

ity In

tere

st Cla

im in an

y of

the

DONGCHUAN tU Yll

EXIU

QU

enumerated priorities af

ford

ed und

er

GUANGZNOU, GUANGDONG

Bank

rupt

cy Code § 507

{a} or

as se

cure

d,CHINA

priority or general un

secu

red cl

aim.

Reclassify Equ

ity In

tere

st Cla

im to pr

oof of

inte

rest

as there

is no basis for

the

allowance

MARSHALL, JOHN L.

of the Equ

ity In

tere

st Cla

im in any of th

e26

4292 ISL

AND PARK DR

$1,327.00

enumerated priorities af

ford

ed und

erWATERFORD, MI 4329

Bank

rupt

cy Code § 507

(a) or as se

cure

d,

priority or general un

secu

red cl

aim.

Reclassify Equ

ity In

tere

st Cla

im to pr

oof of

inte

rest

as th

ere

is no bas

is for

the

allowance

MCDOUGALL, GERALD

of the

Equ

ity In

tere

st Cla

im in any of the

SS

39 CONNELLY HIL

L RD.

$3,5

09.0

9enumerated priorities af

ford

ed und

erHOPKINTON, MA 01748

Bank

rupt

cy Code § 507

(a) or as se

cure

d,priority or general un

secu

red cl

aim.

MICHAUD, THOMAS

Reclassify Equ

ity In

tere

st Cla

im to pr

oof of

25

69 LYNN DRI

VE$1,250.00

inte

rest

as th

ere

is no basis for

the

all

owan

ceof

the Equ

ity In

tere

st Cla

im in an

y of

the

ANDOVER, NJ 07821

enumerated pri

orit

ies af

ford

ed und

er

DOCS LA296284.1 73845/002

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Filed Cl

aims

Claim

Claimant's Name &Address

Filed.

Filed

Filed

Filed

Reason for Modification

No.

Secured

Prio

rity

Unsecured

503{

b)(9

)

Bank

rupt

cy Code § 507{a) or

as secured,

priority or ge

nera

l unsecured claim.

Reclassify Equity Interest Claim to proof of

interest as th

ere is

no bas

is for the all

owan

ceMU

LVIH

iLL,

JOHN

of the Equ

ity In

tere

st Cla

im in any of the

70

1431 N BENSON CT.

$1,488.00

enumerated priorities af

ford

ed und

erCHANDLER, AZ 85224

Bank

rupt

cy Code § 507(a) or

as se

cure

d,

priority or ge

nera

l unsecured claim.

Reclassify Equity In

tere

st Claim to proof of

interest as th

ere

is no bas

is for

the all

owan

ceMUSKAT, HEDDA

of the Equity In

tere

st Claim in any of the

30

1443 S. REXFORD DR. #5

$148.00

$148.00

enumerated priorities af

ford

ed under

Los An

gele

s, CA 90035

Bank

rupt

cy Code § 507(a) or

as se

cure

d,

priority or ge

nera

l unsecured claim.

Reclassify Equity In

tere

st Claim to proof of

inte

rest

as th

ere

is no bas

is for

the all

owan

ceOBADIAH, EDWARD

of the Equ

ity In

tere

st Claim in any of the

53

10 DECHIARO LANE

$1,633.70

enumerated priorities af

ford

ed und

erWILLISTON PARK, NY 11596

Bank

rupt

cy Code § 507{a) or

as secured,

priority or ge

nera

l unsecured claim.

Reclassify Equity Interest Claim to proof of

interest as th

ere

is no bas

is for

the all

owan

ceOBADIAH, VALONTIEN

of the Equ

ity In

tere

st Claim in any of the

55

10 DECHIARO LANE

$3,022.07

enumerated priorities af

ford

ed under

WILUSTON PARK, NY 11596

Bank

rupt

cy Code § 507(a) or

as secured,

priority or ge

nera

l unsecured claim.

PAPAZIAN, NICHOLAS

Reclassify Equ

ity In

tere

st Claim #o proof of

56

23 EL BALAZO

$99945

inte

rest

as th

ere

is no basis for the all

owan

ce

RANCHO SAi

VTA MARGARITA,

of the Equ

ity Interest Claim in any of the

~i

CA 92688

enumerated priorities af

ford

ed under

~~,

DOCS LA296284.1 73845/002

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File

d Cl

aims

Claim

Clai

mant

's Name &Address

File

dFi

led

File

dFi

led

Reason for

Mod

ific

atio

nNo.

Secu

red

Prio

rity

Unsecured

503(

b)(9

)

Bank

rupt

cy Code § 507(a) o

r as

sec

ured

,priority or ge

nera

l un

secu

red cl

aim.

Reclassify Equ

ity In

tere

st Cla

im to pr

oof of

PATEL, SMITABEN R.

inte

rest

as there

is no bas

is for

the all

owan

ce

27

1 OAKWOOD WAY

$266

.85

of the

Equ

ity In

tere

st Claim in an

y of

the

WEST-WINDSOR, N108550

enumerated pri

orit

ies afforded und

erBa

nkru

ptcy

Code § 507

(a) or as se

cure

d,

priority or ge

nera

l un

secu

red cl

aim.

Reclassify Equ

ity In

tere

st Cla

im to pr

oof of

RAMIREZ, JASON BARRERA

interest as there

is no bas

is for

the allowance

52

6533 PATTI DR APT 103

$300.00

of the Equ

ity In

tere

st Cla

im in any of th

e

CORPUS CHR

ISTI

, TX 78414

enumerated priorities af

ford

ed und

er

Bank

rupt

cy Code § 507(a) or

as secured,

priority or ge

nera

l un

secu

red cl

aim.

Reclassify Equ

ity In

tere

st Cla

im to proof of

RODRIGUEZ, CARMEN A.

inte

rest

as there

is no basis for

the allowance

35

1402 BRICKELL BAY DRI

VE$2,524.40

of the Equ

ity In

tere

st Claim in any of th

eAPT. 1001

enumerated priorities af

ford

ed und

erMIAMI, FL 33131

Bank

rupt

cy Code § 507(a) or

as se

cure

d,priority or ge

nera

l un

secu

red cl

aim.

Recl

assi

fy Equ

ity In

tere

st Cla

im to pr

oof of

ROZEFF, JONATHAN

inte

rest

as there

is no bas

is for

the all

owan

ce

90

PO BOX 873

$3,442.00

$3,442.00

$3,442.00

of the

Equ

ity In

tere

st Claim in any of th

e

WELLS, ME 04090

enumerated priorities af

ford

ed und

er

Bank

rupt

cy Code § 507(a) or

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DOCS LA296284.1 73845/002

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DOCS LA296284.1 73845/002

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Case 15-11663-LSS Doc 315-3 Filed 01/29/16 Page 11 of 12

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DOCS LA296284.1 73845/002

I Z

Case 15-11663-LSS Doc 315-3 Filed 01/29/16 Page 12 of 12

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IN THE UNITED STATES BANKRUPTCY COURT

FOR THE DISTRICT OF DELAWARE

Chapter 11In re:

Case No. 15-11663 (LSS)RESPONSE GENETICS, INC., ~

Debtor.

AFFIDAVIT OF SERVICE

S 1'ATF, OF DELAWARE )ss:

COUNTY OF NEW CAS rL~ )

Kathleen Torte Finlayson, being duly sworn according to law, deposes and says that she

is employed by the law firm of Pachulski Stang Ziehl &Jones LLP attorneys for the Debtor in

the above-captioned action, and that on the 29th day of January 2016 she caused a copy of the

following documents) to be served upon the parties on the attached service lists in the manner

indicated:

Notice And Debtor's First (Non-Substantive) Omnibus Objection to ClaimsPursuant to Section 502(b) of the Ban~raptcy Code, Bankruptcy Rules 3003and 3007, and Local Rule 3007-1

~ K thleen Forte Finla~son_.

Sworn to anc~/subscribed beforeme this ~ ~ day f anuary 2016

l~ ,~" ~~Nc~~~ry~ t~ua is ~~ ~O~-ITUf=?

C:~~mi;nis:,ic~n Ex NOTARY PUBLIC

p'' _AWAKE

i~~ocs ocza~~s~, i ~3s4sio~Y Commission Expires June 17; 2G16

~ The last tour digits of the Debtor's tax identification number are: (5548). The location of the

Debtor's headquarters and service address is 1640 Marengo St., 7th Floor, Los Angeles, CA 90033.

Case 15-11663-LSS Doc 315-4 Filed 01/29/16 Page 1 of 7

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Response Genetics —First Omnibus Obj. First Class Mail

Service List Gambella, Roy

Case No. 15-11663 (LSS) 12 Dumplin Hill Lane

Document No. 204853 Huntington, NY 11743

39 —First Class MailFirst Class MailHalpern, Mathew

First Class Mail 131 Beacon Lane

Alvarez, Robert Eatontown, NJ 07724

2445 W. Via LuciaMontebello, CA 90640 First Class Mail

Hawkins, Robert P.

First Class Mail 6306 Bluff Forest Drive

Bellinger, Kenneth L. & Blanka St. Louis, MO 63124

Joint 'Tenants201 S. Mcginnis First Class Mail

Rantoul, KS 66079 Hirschmann, Sue &Osvaldo12046 Cedar Form Lane

First Class Mail Stafford, TX 77477-161

Bennett, Alex1400 Cleary First Class Mail

Joliet, IL 60435 Iacouzzi, Gerald146 N. Passaic Avenue

First Class Mail Chatham, NJ 07928

Edwards, Maureen A.69 Diven Street First Class Mail

Springfield. NJ 07081 Javedn, Michael M &Mrs. Zarrinta311 Cabot Court

First Class Mail Granite Bay, CA 95746

EMS, David99 Bright Road First Ctass Mail

Perkinston, MS 39573 Johnson III, Earl B.7800 W. Foresthill Lane, #306

First Class Mail Palos Heights, IL 60463

Feigenbaum, Alan4198 NW 29th Way First Class Maii

Boca Baton, FL 33433 Khoja, Ameer401 Eastland Drive

First Class Mail Lewisivlle, TX 75056

Firdous, Farooq1179 William St First Class Mail

Hewlett, NY 11557 Levitt, David278 New Galena RdoaChalfont, PA 19814

DOCS DE204A53.1 73845/002

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First Class MailLi, RuohaoRm2704 No.l l YunhaitongjinDongchuan Lu Yuexiu QuCJuangzhou, GuangdongChina

First Class MailMarshall, John L.4292 Island Park DriveWaterford, MI 48329

First Class MailMcdougall, Gerald39 Connelly Hill RoadHopkinton, MA U 1748

First Class MailMichaud, Thomas69 Lynn DriveAndover, NJ 07821

First Class MailMulvihill, John1431 N Benson CourtChandler, AZ 85224

First Class MailMuskat, Hedda1443 S. Rexford Drive, #SLos Angeles, CA 9003 S

First Class MailObadiah, Edward10 Dechiaro LaneWilliston Park, NY 11596

First Class MailObadiah, Valontien10 Dechiaro LaneWilliston Park, NY 11596

First Class MailPapazian, Nicholas21 El BalazoRancho Santa Margarita, CA 92688

First Class MailPatel, Smitaben R.1 Oakwood WayWest-Windsor, NJ 08550

First Class MailRamirez, Jason Barrera6533 Patti Drive, Apt. 103Corpus Christi, TX 78414

First Class MailRodriguez, Carmen A.1402 Brickell Bay Drive, Apt. 1001Miami, FL 33131

First Class MailRozeff, JonathanPO Box 873Wells, ME 04090

First Class MailSavocca, Marianna260 Winward DrivePort Jefferson, NY 11777

First Ctass MailSchwartz, RandallPO Box 682Cape Neddick, ME 03902

First Class MailSrinivasiah, Kothapalli R.PO Bax 22Litchfield Park, AZ 85340-0022

First Class MailSuzuki, Satoru64 Clifton BoulevardClifton, NJ 07011

First Class MailTopakas, Alexander G.2258 Mead DriveBoulder, CO 80301

DOCS DE:204853.1 73845/002

Case 15-11663-LSS Doc 315-4 Filed 01/29/16 Page 3 of 7

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First Class MaiiWinkler, Sonya3 822-169th StreetHammond, IN 46323

First Class MailWong, Joyce W.801 Delano AvenueSan Francisco, CA 94112

First Class MailWong, Kam Tao801 Delano AvenueSan Francisco, CA 94112

First Class MailWong, Kam TaoJoyce W. Wong804 Delano AvenueSan Francisco, CA 94112-3303

First Class MailYeo, Kee Seng495 Yio Chu Kang Road, #10-01Singapore, 787080

DOCS DE204853.1 73845/002

Case 15-11663-LSS Doc 315-4 Filed 01/29/16 Page 4 of 7

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Response Genetics 2002 Service List (FCM)Case No. 15-11663 (LSS)Document No. 201134v202 —Interoffice Mail07 —Hand Delivery15 —First Class Mail

(Counsel to the Debtor)James E. O'Neill, EsquirePachulski Stang Ziehl &Jones LLP919 N. Market Street, 17th FloorWilmington, DE 19801

INTEROFFICE MAIL(Counsel to the DebtoN)Jeffrey N. Pomerantz, EsquireIra D. Kharasch, EsquirePachulski Stang Ziehl &Jones LLP10100 Santa Monica Boulevard, 13th door

Los Angeles, CA 90067

INTEROFFICE MAIL(Counsel to the Debtor)John W. Lucas, EsquirePachulski Stang Ziehl &Jones LLP150 California Street, 15th FloorSan Francisco, CA 94111

HAND DELIVERY(United States Trustee)Linda Casey, EsquireOffice of the United States TrusteeJ. Caleb Boggs Federal Building, Suite 2207844 King StreetLockbox 35Wilmington, DE 19801

HAND DELIVERY(State Attorney General)Matthew P. Denn, EsquireDelaware Department of JusticeCarvel State Office Building, 5th Floor820 N. French Street.Wilmington, DE 19801

HAND ~ELIT~ERYZillah A. FramptonBankruptcy AdministratorDelaware Division of RevenueCarvel State Office Building, 8th Floor820 N. French StreetWilmington, DE 19801

HAND DELIVERY(United States Attorney)Charles Oberly, Esquirec/o Ellen W. Slights, EsquireUnited States Attorney's OfficeDistrict of Delaware1007 N. Orange Street, Suite 700Wilmington, DE 19801

HA1dD DELIVERY(Counsel to Silicon Valley Bank ("SVB'))William E. Chipman, Jr, EsquireChipman Brown Cicero &Cole, LLP1007 N. Orange Street, Suite 1110Wilmington, DE 19801

HA1VD DELIVERY(Counsel to the Official Comneittee ofUnsecured Creditot~s)Frederick B. Rosner, EsquireJulia B. Klein, EsquireThe Rosner Law Group LLC824 Market Street, Suite 810Wilmington, DE 19801

HAND DELIVERY(Counsel to SWK Funding LLC)Neil B. Glassman, EsquireScott D. Counsins, EsquireEvan T. Miller, esquireBayard, P.A.222 Delaware Avenue, Suite 900PO Box 25130Wilmington, DE 19899

Case 15-11663-LSS Doc 315-4 Filed 01/29/16 Page 5 of 7

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FIRST CLASS 1tIAIL(United Stated Attorney General)Eric H. Holder, Jr., EsquireOffice of the US Attorney GeneralU.S. Department of Justice950 Pennsylvania Avenue, NW, Room 4400Washington, DC 20530-0001

FIRST CLASS MAILState of DelawareDivision of Corporations -Franchise TaxJohn G. Townsend Building, Suite 4401 Federal. StreetPO Box 898 (Zip 19903)Dover, DE 19901

FfRST CLASS AVAILDelaware Secretary of Treasury820 Silver Lake Boulevard, Suite 100Dover, DE 19904

FIRST CLASS MAILOffice of General CounselU.S. Department of the Treasury1500 Pennsylvania Avenue, NWWashington, DC 20220

FIRST CLASS MAILOffice of General CounselSecurities & F,xchange Commission100 F Street, NEWashington, DC 20554

FIRS' CLASS 1lIAILSharon Binger, Regional DirectorPhiladelphia Regional OfficeSecurities &Exchange CommissionOne Penn Center, Suite 5201617 JFK BoulevardPhiladelphia, PA 19103

~rRST class NrarLAndrew Calamari, Regional DirectorNew York Regional Off ceSecurities &Exchange CommissionBrookfield Place, Suite 400200 Vesey StreetNew York, NY 10281

~7~tST CLASS MAILOffice of the Chief CounselPension Benefit Guaranty Corporation1200 K Street, NWWashington, DC 20005

FIRST CLASS NfAIL(Counsel to the Official Committee ofUnsecured CreditoNs)Carren B. Shulman, EsquireSheppard, Mullin, Richter &Hampton LLP30 Rockefeller PlazaNew York, NY 10112

FIRST CLASS MAIL(Counsel to the Official Comfnittee ofUnsecured Creditors)Ori Katz, EsquireSheppard, Mullin, Richter &Hampton LLPFour Embarcadero CenterSeventeenth FloorSan Francisco, CA 94111

FIRST CLASS MAIL(Counsel to Silicon Valley Bank ("SVB'))Leo D. Plotkin, EsquireLevy, Small & Lallas815 Moraga DriveLos. Angeles, CA 90049

DOGS DE:201134.2 73845/001

Case 15-11663-LSS Doc 315-4 Filed 01/29/16 Page 6 of 7

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FIRST CLASS MAIL(Counsel,for Abbott Molecular Div. AbbottLaboratories Inc.)Samuel C. Wisotzkey, EsquireKohner, Mann &Kailas, S.C.Washington Building, Barnabas BusinessCenter4650 North Port Washington RoadMilwaukee, WI 53212-1OS9

FIRST CLASS MAIL(Counsel to SWK Funding LLC)Robert W. Jones, EsquireBrian J. Smith, EsquireHolland &Knight200 Crescent Court, Suite 1600Dallas, TX 75201

FIRST CLASS 1lF1AIL(Counsel to University of SouthernCalifornia)Monica Y. Kim, EsquireLevene, Neale, Bender, Yoo &Brill L.L.P10250 Constellation Blvd., Suite 1700Los Angeles, CA 90067

FIRST CLASS MAIL(CreditoN)Rhonda Stewart GoldsteinOffice of General CounselThe Regents of the University of California1111 Franklin Street, 8th FloorOakland, CA 94607-5200

DOGS DI::201134.2 73845/001

Case 15-11663-LSS Doc 315-4 Filed 01/29/16 Page 7 of 7