Preview
MCGUIREWOODS LLP
Kelsey D. Haines, SBN #327536
1800 Century Park East, 8th Floor
ELECTRONICALLY
Los Angeles, CA 90067
Telephone: 310.315.8200 FILED
Superior Court of California,
Facsimile: 310.315.8210 County of San Francisco
khaines@meguirewoods.com 03/04/2021
Clerk of the Court
BY: JUDITH NUNEZ
Jodie Herrmann Lawson (moving for admission pro hac vice) Deputy Clerk
201 North Tryon Street, Suite 3000
Charlotte, NC 28202
Telephone: 704.343.2329
Facsimile: 704.343.2300
jlawson@mcguirewoods.com
Attorneys for Defendant Merrill Lynch, Pierce, Fenner & Smith Incorporated
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SUPERIOR COURT OF THE STATE OF CALIFORNIA
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CITY AND COUNTY OF SAN FRANCISCO
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JAMI HANDELMAN KATZ, CASE NO. CGC-20-588007
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Plaintiff, Hon. Judge Ethan P. Schulman
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Department 302
vs.
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DECLARATION OF SCOTT LEVAGGI
16 MERRILL LYNCH, PIERCE, FENNER &
SMITH INCORPORATED, a Delaware
Date: April 8, 2021
17 Corporation; and DOES 1-5, inclusive,
Time: 9:30 a.m.
18 Defendants. Dept.: 302
19 [Filed concurrently with Demurrer to
Plaintiff's Complaint; Motion to Strike
20 Punitive Damages Allegations; Motion to
Compel Arbitration and to Stay Proceedings
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Pending Arbitration; Memoranda of Points
22 and Authorities in Support Thereof; Request
for Judicial Notice; Declaration of Jodie
23 Herrmann Lawson; and [Proposed] Orders]
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25
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DECLARATION OF SCOTT LEVAGGI
I, Scott Levaggi, declare that:
1 I am over the age of 18 years and make this declaration of my own personal
knowledge of the facts stated herein. If called upon as a witness, I could and would testify
competently to such facts. I submit this declaration in support of Merrill Lynch, Pierce, Fenner &
Smith Incorporated’s Motion to Compel Arbitration, filed concurrently herewith.
2 Tam employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated (“MLPF&S”)
as a Market Supervision Manager. By reason of my position, I am authorized and qualified to make
this declaration. I make this declaration based upon my personal knowledge, my review of
MLPF&S’s records, and my personal knowledge as to how those records are generated and
10 maintained in the ordinary course of MLPF&S’s business.
11 3 Tam familiar with the MLPF&S Cash Management Account Agreement (““CMAA”)
12 and Client Relationship Agreement (“CRA”) in general, and in particular with the CMAA and CRA
13 that the deceased Joan C. Lickerman (the “Decedent”) signed, and the CRA that Plaintiff Jami
14 Handelman Katz (“Plaintiff”) signed. I am generally familiar with the practices and processes used
15 by MLPF&S in maintaining its business records and in opening new accounts.
16 4 On or about March 16, 1998, the Decedent opened a Cash Management Account with
yi MLPF&S with account number ending in 8022 (the “CMA”).
18 5 On or about March 11, 1998, the Decedent signed a CMAA form with MLPF&S.
19 Attached hereto as Exhibit A is a true and accurate copy of the CMAA form the Decedent signed
20 and submitted to MLPF&S in 1998.
21 6 Attached hereto as Exhibit B is a true and accurate copy of the terms and conditions of
22 the CMAA referenced by the CMAA form the Decedent signed on March 11, 1998. As a result of
23 the Decedent signing the CMAA form attached hereto as Exhibit A, and per the terms of the CMAA
24 form the Decedent signed, the terms and conditions of the CMAA attached hereto as Exhibit B
25 governed the Decedent’s relationship with MLPF&S in general, and the Decedent’s CMA in
26 particular.
27 7 In the ordinary and regular course of the business of MLPF&S, clients receive a copy
28 of the CMAA upon opening a new Cash Management Account like the Decedent’s CMA.
1
DECLARATION OF SCOTT LEVAGGI
8 On or about December 16, 2004, the Decedent signed a CRA form with MLPF&S to
govern the CMA. Attached hereto as Exhibit C is a true and accurate copy of the CRA form the
Decedent signed and submitted to MLPF&S in 2004.
9 Attached hereto as Exhibit D is a true and accurate copy of the terms and conditions of
the CRA referenced by the CRA form the Decedent signed on December 16, 2004. As a result of
the Decedent signing the CRA form attached hereto as Exhibit C, and per the terms of the CRA form
the Decedent signed, the terms and conditions of the CRA attached hereto as Exhibit D governed the
Decedent's relationship with MLPF&S in general, and the Decedent’s CMA in particular.
10. In the ordinary and regular course of the business of MLPF&S, clients receive a copy
10 of the CRA upon signing the CRA form like the Decedent signed in 2004.
ll dels By January 2008, the CMA’s account number had changed from account number
12 ending in 8022 to account number ending in 6421. The terms and conditions of the CMAA and
13 CRA to which Plaintiff previously agreed in 1998 and 2004, respectively, continued to govern the
14 CMA.
15 12 On or about February 1, 2008, the Decedent opened a Simplified Employee Pension
16 Retirement Account with MLPF&S with account number ending in 6496 (the “SEP”).
iy 13: On or about August 19, 2010, the Decedent signed and submitted a Beneficiary
18 Designation Form relating to the SEP. Attached hereto as Exhibit E is a true and accurate copy of
19 the Beneficiary Designation Form related to the SEP the Decedent signed and submitted to
20 MLPF&S in 2010.
21 14. On or about July 9, 2019, Plaintiff opened an Individual Retirement Account with
22. MLPF&S with account number ending in 2092 (the “Katz IRA”).
23 15. On or about June 28, 2019, Plaintiff signed a CRA form with MLPF&S to govern the
24 Katz IRA. Attached hereto as Exhibit F is a true and accurate copy of the CRA form Plaintiff signed
25 and submitted to MLPF&S in 2019. As stated on the CRA form attached hereto as Exhibit F,
26 Plaintiff opened the Katz IRA to inherit the assets from the SEP.
27 16. Attached hereto as Exhibit G is a true and accurate copy of the terms and conditions of
28 the CRA referenced by the CRA form Plaintiff signed on June 28, 2019. As a result of Plaintiff
a
DECLARATION OF SCOTT LEVAGGI
signing the CRA form attached hereto as Exhibit F, and per the terms of the CRA form Plaintiff
signed, the terms and conditions of the CRA attached hereto as Exhibit G govern Plaintiffs
relationship with MLPF&S in general, and the Katz IRA in particular.
17. In the ordinary and regular course of the business of MLPF&S, clients receive a copy
of the CRA upon opening a new Individual Retirement Account like Plaintiff's Katz IRA.
18. Exhibits A through G were prepared in the ordinary course of business at or near the
time of the act, condition, or event therein. Exhibits A through G were and have been duly
maintained in the files of MLPF&S in the ordinary and regular course of its business.
I declare under penalty of perjury under the laws of the State of California that the foregoing
10 is true and correct.
11 Executed this the Seay of Mayzh ,200, a 5n0 Mloteg., California.
12
13 By:
14 cott Levaggi
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16
17
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2a
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3
DECLARATION OF SCOTT LEVAGGI
PROOF OF SERVICE
STATE OF CALIFORNIA, COUNTY OF SAN FRANCISCO
Tam employed in the County of San Francisco, State of California. I am over the age of
eighteen years and not a party to the within action; my business address is Two Embarcadero Center,
Suite 1300, San Francisco, CA 94111-3821.
On March 4, 2021, I served the following document described as DECLARATION OF
SCOTT LEVAGGI on the interested parties in this action by placing true copies thereof enclosed
in sealed envelopes addressed as follows:
Donald J. Putterman (dputterman@plylaw.com) Attorneys for Plaintiff
Dannielle M. Campbell (dcampbell@plylaw.com) Jami Handelman Katz
Putterman Yu LLP
10 345 California Street, Suite 1160
San Francisco, CA 94104
11
y BY OVERNIGHT DELIVERY: I deposited such document(s) in a box or other facility
12 regularly maintained by the overnight service carrier, or delivered such document(s) to a
courier or driver authorized by the overnight service carrier to receive documents, in an
13 envelope or package designated by the overnight service carrier with delivery fees paid or
provided for, addressed to the person(s) served hereunder. (C.C.P. § 1013(d)(e))
14
15 I declare under penalty of perjury under the laws of the State of California that the foregoing
16 is true and correct.
17 Executed on March 4, 2021, at San Francisco, CA.
18
19
dilwWraure,
20
Josh Tabisaura
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4
DECLARATION OF SCOTT LEVAGGI
EXHIBIT A
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INSTRUCTIONS
UPR Please print the name, address and account number of the CMA® account which will serve as the
Vrs aster CMA account in this CMA Master Financial™ service.
a eee
By checking the appropriate box, the master CMA account holder agrees that the master
Pe Cts
CMA account will be charged for the CMA SubAccount™ annual fee for this and all other
CMA SubAccounts related to this master CMA account.
All parties to the master CMA account must sign and date this Application and Agreement form.
Include titles, such as Trustee, with your signature, where appropriate (e.g., John Doe, Trustee).
NOTE: If you participate in the CMA Link® statement service, your participation in the CMA Master
Financial service may change your Link relationships. Refer to the CMA Link brochure or ask your
Financial Consultant for details.
Please check the appropriate box for the type of CMA account you wish to open.
Your Financial Consultant can answer any questions you may have.
Cir Please print the names of all the account holders for this CMA SubAccount. The term “Primary
PULP Crt ae Account Holder” is used here only to identify the account holder whose Social Security/Taxpayer
Cee Identification Number will be used for tax reporting purposes.
All account holders for the master CMA account and CMA SubAccounts must be members
of the same family with the same address. All monthly account statements will be sent to
that address.
For UGMA/UTMA accounts, the CMA SubAccount Information section (Primary CMA SubAccount
Holder) should be completed as follows: “John Doe Cust for Mary Doe UGMA (or UTMA).”
cred Please check either the Social Security number or Taxpayer Identification Number box and provide
Pitt aay that number for the Primary Account Holder* of the CMA SubAccount. If you are NOT a U.S. citizen,
Pr ea a U.S. resident for tax purposes or other U.S. person, you must execute a Certificate of Foreign
Status and Reduced Rate, Form W-8/1001. If a Social Security number or Taxpayer Identification
Number has been applied for but not received, use Form W-9. Your Financial Consultant can
provide you with the appropriate forms if necessary.
*For UGMA/UTMA accounts, the minor’s Social Security number must be used.
Pr ae lLae Joint ownership of property is an important part of your estate planning and entails important legal
rr be and tax consequences. Please consult your attorney if you have any questions about your joint
Coreg account ownership choice.
NOTE: Nonresident aliens who elect to maintain a joint account agree in the CMA SubAccount
Agreement that the account will be governed by New York law.
Dey The CMA SubAccount holder MUST complete this section to authorize or decline the Funds
pr Orid 4s Transfer Service.
PRCw ed
The Funds Transfer Service is subject to the following eligibility rules: (1) You may authorize
transfers INTO any CMA SubAccount; (2) You, as the CMA SubAccount holder, may also choose to
authorize transfers both JNTO your CMA SubAccount and FROM your CMA SubAccount to the
master CMA account.
Please note, however, that transfers FROM any fiduciary account (i.e., testamentary trust,
UGMA/UTMA, guardianship account, etc.), whether it is the master CMA account or the CMA
SubAccount, may be authorized only when the transfers are to be made to an account with
the identical title.
Oho] The Investor CreditLine™ service allows suitable investors to borrow against the value of the
ate e ae eligible securities in their accounts. Check the box only if you DO NOT wish to establish this
Taare CMA SubAccount with this service. Please note: If multiple accounts are opened in the same
name, only one account may be established with the Investor CreditLine service. Also, certain
accounts, such as UGMA/UTMA accounts, and accounts for certain trusts, are not eligible for
participation in this service.
Pad Please select one of the CMA Money Accounts as your Primary Money Account. Your free
tad credit balances will be automatically invested or deposited into the Money Account you indicate
Ptr ag as number 1. You may change your Primary Money Account selection at any time simply by
Pea notifying your Financial Consultant. For more information about these Money Accounts,
including making additional manual investments, please refer to the CMA booklet or speak
with your Financial Consultant.
You can automatically reinvest dividends in additional shares of the same security with
no commission charge in your CMA account or CMA SubAccount through the Reinvestment
Power™ program. For more information or to enroll, speak with your Financial Consultant.
Cirry Please read the CMA SubAccount Agreement carefully and be sure that each CMA SubAccount
Pirro bg holder signs and dates the form. Be sure to include titles, such as Trustee or Custodian, with your
Ptah signature where appropriate (e.g., John Doe, Trustee).
Please return ONLY the Client Account Services copy and Financial Consultant copy to your
Financial Consultant. Keep the rest of this form for your records.
Complete, Detach and Return to Merrill Lynch COO -O0000
CMA®* SUBACCOUNT™ APPLICATION AND AGREEMENT FORM CMA SubAccount Number: Office Use
Cae ey
3
PCr ey Name(s):
(Master OMA Account Holder) F Toker Master CMA Recount Holder, F Joint Account)
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‘Master CMA Account Nurhber:
Mailing Addréss:
De
Street Aadress Ch Zip Code
Lagree to.add the following CMA SubAccoiintas a relate account-to.my master CMA account and, if applicable, authorize you
to.accept my. telephonic instructions.for transfers to.and/or from.such CMA SubAccount through the CMA Funds Transfer
érvice. If this master CMA account is.a grantor revocable living trust, 1 represent and warrant to you: (1) that the trust permits
h
the funds transfers l.am-authorizing; or q > if applicable, such funds transfers represent valid partial or total revocations
by me; and.you may conclusively rely on this rey resentation. If the box below is. checked, lagree to pay the CMA SubAccount
annual fee of, is‘and; if applicable; i my: cMAS
ubAc
Master UO Charge mi ¢ CMA account for.Cl SubAccount
cMA
account X se CA Ri Dae
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“Tite (For Special Acebuns, ag, Thisiee)
holder(s)
sign here
is sorraster Ml ee Acounb Holder, dol os iY ess ‘hss= i eee =, Date.
2 = Thi Tey Shes ASU 7 Coarustee),
Indicate the type of CMA SubAccount you wish to open by checking the appropriate box:
O Single O Joint (COUGMA/UTMA O Trust U Transfer on Death O Other
CU Cyc
Pew) Name(s):
(Primary CMA SubAccount Holder) (Secondary CMA SubAccount Holder, if Joint Account)
Check one: [Social Security Number or O Taxpayer Identification Number: CJ CL CL OO C] CL CJ CI
O Check here if you are subject to backup withholding due to notification by the IRS.
If so, you must also cross out the portion of the Tax Certification below as instructed.
oer es If this is a joint account, your account will be titled as you indicate by checking the appropriate box below:
ver be (1 JTWROS: Joint Account with Right of Survivorship
CT eg OTIC: Joint Account without Right of Survivorship, also known as Tenants in Common
CATBE: As Tenants by Entirety (for married persons, only in states where applicable)
CACOMMPROP: Community Property (for married persons, only in states where applicable)
CO Other Tenancy Designation (Specify):
DD Thereby authorize the above-named master CMA account holder(s) to transfer funds through the CMA Funds Transfer Service
bore as as follows (check one): L] INTO this CMA SubAccount only [] INTO this CMA SubAccount AND FROM this CMA SubAccount to
OU ire eat the master CMA account.
If this CMA SubAccount is a grantor revocable living trust, [ represent and warrant to you: (1) that the trust permits the funds
transfers I am authorizing; or (2) that, if applicable, such funds transfers represent valid partial or total revocations by me;
you may conclusively rely on this representation.
C1 Check here if you DO NOT authorize transfers through the Funds Transfer Service.
Ney Your CMA SubAccount will be established with the Investor CreditLine service (if eligible) unless you check the box below.
te Oo (Check here if you DO NOT want the Investor CreditLine service.
This
TOE Sd Indicate your choice for your Primary Money Account as number I below. You may also designate the remaining Money
Tad Accounts as choices 2, 3, 4, etc., if you wish Money Account balances to be automatically redeemed or withdrawn in that order.
PCa CMA Money Fund CMA Treasury Fund Other:
ET Te Cat Indicate name of Money Account
CMA Tax-Exempt Fund O Insured Savings™ Account
CMA Government Securities Fund CMA Municipal Money Fund (circle one): AZ, CA, CT, MA, MI, NJ, NY, NC, OH, PA
CUE By signing below, I hereby apply for the Cash Management Account® financial service (CMA® Service) and I consent and agree to all of the
SUT a terms and conditions of the attached Cash Management Account ent (the Agreement”), which is incorporated herein by
reference. | acknowledge that I have read the Agreement and will retain my copy for my records,
Nake [further acknowledge and agree that the
transactions in my
‘eement will govern all aspects of the CMA Service
MA SubAccount and, applicable, all transfers between it and the master a
ided by or through you, including all
account to which it is linked, as well
t
as, ifal plicable, the CMA Money Funds, the Insured Savings Account, the Investor CreditLine service, and any optional CMA services to
which may subscribe now or in the future. [ authorize monthly statements for my account to be mailed to the address of the master CMA
account to which my account is linked.
, as the “Primary Account Holder” signing below and under penalties of ) that the taxpayer Identification number
number and (2) t I am not sul ject to ‘backup ‘withholding elther because 1 have not been
Preview
MCGUIREWOODS LLP Kelsey D. Haines, SBN #327536 1800 Century Park East, 8th Floor ELECTRONICALLY Los Angeles, CA 90067 Telephone: 310.315.8200 FILED Superior Court of California, Facsimile: 310.315.8210 County of San Francisco khaines@meguirewoods.com 03/04/2021 Clerk of the Court BY: JUDITH NUNEZ Jodie Herrmann Lawson (moving for admission pro hac vice) Deputy Clerk 201 North Tryon Street, Suite 3000 Charlotte, NC 28202 Telephone: 704.343.2329 Facsimile: 704.343.2300 jlawson@mcguirewoods.com Attorneys for Defendant Merrill Lynch, Pierce, Fenner & Smith Incorporated 10 SUPERIOR COURT OF THE STATE OF CALIFORNIA 11 CITY AND COUNTY OF SAN FRANCISCO 12 JAMI HANDELMAN KATZ, CASE NO. CGC-20-588007 13 Plaintiff, Hon. Judge Ethan P. Schulman 14 Department 302 vs. 15 DECLARATION OF SCOTT LEVAGGI 16 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, a Delaware Date: April 8, 2021 17 Corporation; and DOES 1-5, inclusive, Time: 9:30 a.m. 18 Defendants. Dept.: 302 19 [Filed concurrently with Demurrer to Plaintiff's Complaint; Motion to Strike 20 Punitive Damages Allegations; Motion to Compel Arbitration and to Stay Proceedings 21 Pending Arbitration; Memoranda of Points 22 and Authorities in Support Thereof; Request for Judicial Notice; Declaration of Jodie 23 Herrmann Lawson; and [Proposed] Orders] 24 25 26 27 28 DECLARATION OF SCOTT LEVAGGI I, Scott Levaggi, declare that: 1 I am over the age of 18 years and make this declaration of my own personal knowledge of the facts stated herein. If called upon as a witness, I could and would testify competently to such facts. I submit this declaration in support of Merrill Lynch, Pierce, Fenner & Smith Incorporated’s Motion to Compel Arbitration, filed concurrently herewith. 2 Tam employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated (“MLPF&S”) as a Market Supervision Manager. By reason of my position, I am authorized and qualified to make this declaration. I make this declaration based upon my personal knowledge, my review of MLPF&S’s records, and my personal knowledge as to how those records are generated and 10 maintained in the ordinary course of MLPF&S’s business. 11 3 Tam familiar with the MLPF&S Cash Management Account Agreement (““CMAA”) 12 and Client Relationship Agreement (“CRA”) in general, and in particular with the CMAA and CRA 13 that the deceased Joan C. Lickerman (the “Decedent”) signed, and the CRA that Plaintiff Jami 14 Handelman Katz (“Plaintiff”) signed. I am generally familiar with the practices and processes used 15 by MLPF&S in maintaining its business records and in opening new accounts. 16 4 On or about March 16, 1998, the Decedent opened a Cash Management Account with yi MLPF&S with account number ending in 8022 (the “CMA”). 18 5 On or about March 11, 1998, the Decedent signed a CMAA form with MLPF&S. 19 Attached hereto as Exhibit A is a true and accurate copy of the CMAA form the Decedent signed 20 and submitted to MLPF&S in 1998. 21 6 Attached hereto as Exhibit B is a true and accurate copy of the terms and conditions of 22 the CMAA referenced by the CMAA form the Decedent signed on March 11, 1998. As a result of 23 the Decedent signing the CMAA form attached hereto as Exhibit A, and per the terms of the CMAA 24 form the Decedent signed, the terms and conditions of the CMAA attached hereto as Exhibit B 25 governed the Decedent’s relationship with MLPF&S in general, and the Decedent’s CMA in 26 particular. 27 7 In the ordinary and regular course of the business of MLPF&S, clients receive a copy 28 of the CMAA upon opening a new Cash Management Account like the Decedent’s CMA. 1 DECLARATION OF SCOTT LEVAGGI 8 On or about December 16, 2004, the Decedent signed a CRA form with MLPF&S to govern the CMA. Attached hereto as Exhibit C is a true and accurate copy of the CRA form the Decedent signed and submitted to MLPF&S in 2004. 9 Attached hereto as Exhibit D is a true and accurate copy of the terms and conditions of the CRA referenced by the CRA form the Decedent signed on December 16, 2004. As a result of the Decedent signing the CRA form attached hereto as Exhibit C, and per the terms of the CRA form the Decedent signed, the terms and conditions of the CRA attached hereto as Exhibit D governed the Decedent's relationship with MLPF&S in general, and the Decedent’s CMA in particular. 10. In the ordinary and regular course of the business of MLPF&S, clients receive a copy 10 of the CRA upon signing the CRA form like the Decedent signed in 2004. ll dels By January 2008, the CMA’s account number had changed from account number 12 ending in 8022 to account number ending in 6421. The terms and conditions of the CMAA and 13 CRA to which Plaintiff previously agreed in 1998 and 2004, respectively, continued to govern the 14 CMA. 15 12 On or about February 1, 2008, the Decedent opened a Simplified Employee Pension 16 Retirement Account with MLPF&S with account number ending in 6496 (the “SEP”). iy 13: On or about August 19, 2010, the Decedent signed and submitted a Beneficiary 18 Designation Form relating to the SEP. Attached hereto as Exhibit E is a true and accurate copy of 19 the Beneficiary Designation Form related to the SEP the Decedent signed and submitted to 20 MLPF&S in 2010. 21 14. On or about July 9, 2019, Plaintiff opened an Individual Retirement Account with 22. MLPF&S with account number ending in 2092 (the “Katz IRA”). 23 15. On or about June 28, 2019, Plaintiff signed a CRA form with MLPF&S to govern the 24 Katz IRA. Attached hereto as Exhibit F is a true and accurate copy of the CRA form Plaintiff signed 25 and submitted to MLPF&S in 2019. As stated on the CRA form attached hereto as Exhibit F, 26 Plaintiff opened the Katz IRA to inherit the assets from the SEP. 27 16. Attached hereto as Exhibit G is a true and accurate copy of the terms and conditions of 28 the CRA referenced by the CRA form Plaintiff signed on June 28, 2019. As a result of Plaintiff a DECLARATION OF SCOTT LEVAGGI signing the CRA form attached hereto as Exhibit F, and per the terms of the CRA form Plaintiff signed, the terms and conditions of the CRA attached hereto as Exhibit G govern Plaintiffs relationship with MLPF&S in general, and the Katz IRA in particular. 17. In the ordinary and regular course of the business of MLPF&S, clients receive a copy of the CRA upon opening a new Individual Retirement Account like Plaintiff's Katz IRA. 18. Exhibits A through G were prepared in the ordinary course of business at or near the time of the act, condition, or event therein. Exhibits A through G were and have been duly maintained in the files of MLPF&S in the ordinary and regular course of its business. I declare under penalty of perjury under the laws of the State of California that the foregoing 10 is true and correct. 11 Executed this the Seay of Mayzh ,200, a 5n0 Mloteg., California. 12 13 By: 14 cott Levaggi 15 16 17 18 19 20 21 2a 23 24 25 26 27 28 3 DECLARATION OF SCOTT LEVAGGI PROOF OF SERVICE STATE OF CALIFORNIA, COUNTY OF SAN FRANCISCO Tam employed in the County of San Francisco, State of California. I am over the age of eighteen years and not a party to the within action; my business address is Two Embarcadero Center, Suite 1300, San Francisco, CA 94111-3821. On March 4, 2021, I served the following document described as DECLARATION OF SCOTT LEVAGGI on the interested parties in this action by placing true copies thereof enclosed in sealed envelopes addressed as follows: Donald J. Putterman (dputterman@plylaw.com) Attorneys for Plaintiff Dannielle M. Campbell (dcampbell@plylaw.com) Jami Handelman Katz Putterman Yu LLP 10 345 California Street, Suite 1160 San Francisco, CA 94104 11 y BY OVERNIGHT DELIVERY: I deposited such document(s) in a box or other facility 12 regularly maintained by the overnight service carrier, or delivered such document(s) to a courier or driver authorized by the overnight service carrier to receive documents, in an 13 envelope or package designated by the overnight service carrier with delivery fees paid or provided for, addressed to the person(s) served hereunder. (C.C.P. § 1013(d)(e)) 14 15 I declare under penalty of perjury under the laws of the State of California that the foregoing 16 is true and correct. 17 Executed on March 4, 2021, at San Francisco, CA. 18 19 dilwWraure, 20 Josh Tabisaura 21 22 23 24 25 26 27 28 4 DECLARATION OF SCOTT LEVAGGI EXHIBIT A Page 6 of 34 EXHIBIT iA He) ace: * APPL! Oh LDAP TION AMD A bari, EMENT FORM 22: | 3 one e a Ro TES) me nT. a canteen adc accom Brash revocable SEMA a aang mae ‘ts ba met yey Sth ester (ne A BY eo Be Res aaloen |s Sipe sg rar ea eS TT BRE ——— Indteate the type of CMA SubAccourt you wish to open by ehacking the approgriare bax Semen Cent CUMTMA Tru (truss on Death Dorner, WE — de rere — ‘Check coe Security Munber or SJ Tespeyte taarnean Ccnect here #, are saber os, you ex Cras ext te parte wate te peteaton Cartbcatics by Oe eatrotad. Wis a jlet BOLOSDT. yw oCCOUNT WE be Und a you Lecicate by checieng Ge abDreeriay Dex below C sTWROS, Jeter Ameo wit Rye of Berdworthip JTC lot Acoust witbaet pit ef Survivorship, to Inve a8 Tenant be Comerse & ATRE: Aa Tenants by firey (ov matiad parvont. ty ln aces where appticable) Seen Den Cen eer ee Dore 7 4 sisslgiaatees roamaster st CMA necountoy to wnat tends ia CA he COCA Pandas Trae is CMA Setbhornuntto Saget pate ns tet repress! and ware Siocennton OatVagal ae ads nse pret vada eitot ten pert te revocations by me nad you rnay conchae 109 . Jeonsheall pasatar mdete eriertereh tea enetiote Your CMA SubAccLwnt wil ba estabtaded with the ivmstor Crudt_iw warvice (id wighld) cleus you check tbe bax bale (Check bare t yee DO NOT wart the hreestorConditLine wervice an mang Indicate your atee foe your Pi Moory hecoat! | sesteieess Lt mes ty wan Mecey hese beac ee ere ee wee Cath Mey Pod (COA Treamary Prd OA Teeianepe Fund L ned Santee Account Tas [CwA Gonwamene Sacertes nd —_[_] cA Muricpal Money Pad (ec 0: A. CA C7. 2 NR. P Sees saree my Mar"Agent Fat (he Sgoerratsn a vii at AS 2 eens ote ie odsnes ae rein mea SR ne Berl ‘owas we esau Wed Be tte Rawr Ca siaeaaaae co 39 OF THE AGRERDGDYT |AME AGREEDVG 04 ATONE TO AREETRATE AMY a bt OF ee TOF Ane \cconet CS Hacks 2 Fdifye = rte) ign nave Te Te Fo —a— Sea Teach sats Gigi nee Avoount Detach and Return to Merritt Lynch (Coe 96459-1087 https://edol.services.us.ml cony/cdol/imageholder. aspx?print =yes&doctype=ml snaps_dms 12/2/2020 EXHIBIT B WW < a CMA aes a ae Lao ROS Ow os On Baird an ~, rawms aes THE MERRILL Lynch CMA® SusAccounT™ ane APPLICATION AND AGREEMENT FORM Rand; : rari roe rans Fas! Bake i =< Fad a. ae ieee re \S Rie bss Fos a LS a mer Ness We oy a. Na = Fe Me AN = ee SA re aie SEX Chel Soe Ln ty aes Ra IO oie hous ES AS a vas Aye i ae NS 3 eee oe TH ? i) ag coPd fe ont pet} fy, ae ts es A eae xy iy [ee ay a rs nee ea ZT eS IMPORTANT: In order to open a CMA SubAccount™ you must ed sa ail Ce hl BS LF I a ge Ze complete this form. ne nero ‘Ss au ets «= Ifyou currently have a CMA account and wish to SNe 4 A participate in the CMA Master Financial™ service remy by opening one or more CMA® SubAccounts, DO Za Za eae sex NOT complete the green CMA Account Application and Agreement form. ee St 2 x a rise as ha = /fyou are opening one or more CMA SubAccounts a ol c i WY in conjunction with a new CMA account, please be Cr Neg L sure to complete both the green CMA Account 5 GZ ey Application and Agreement form and a blue CMA oS SubAccount Application and Agreement form for pied CHE? Tg a eS ee each CMA SubAccount you wish to open. Oe) Ss pyre *; Tate id wd es vee is? fen seSt Saas i oP ik JZ Tipe Taha 4 A rn cao InN ea 03 merrill Lyneh ar eeen 2 Roan oe; rae ia LPO ie a , aa Lace “e oe Lavoe enn tt — INSTRUCTIONS UPR Please print the name, address and account number of the CMA® account which will serve as the Vrs aster CMA account in this CMA Master Financial™ service. a eee By checking the appropriate box, the master CMA account holder agrees that the master Pe Cts CMA account will be charged for the CMA SubAccount™ annual fee for this and all other CMA SubAccounts related to this master CMA account. All parties to the master CMA account must sign and date this Application and Agreement form. Include titles, such as Trustee, with your signature, where appropriate (e.g., John Doe, Trustee). NOTE: If you participate in the CMA Link® statement service, your participation in the CMA Master Financial service may change your Link relationships. Refer to the CMA Link brochure or ask your Financial Consultant for details. Please check the appropriate box for the type of CMA account you wish to open. Your Financial Consultant can answer any questions you may have. Cir Please print the names of all the account holders for this CMA SubAccount. The term “Primary PULP Crt ae Account Holder” is used here only to identify the account holder whose Social Security/Taxpayer Cee Identification Number will be used for tax reporting purposes. All account holders for the master CMA account and CMA SubAccounts must be members of the same family with the same address. All monthly account statements will be sent to that address. For UGMA/UTMA accounts, the CMA SubAccount Information section (Primary CMA SubAccount Holder) should be completed as follows: “John Doe Cust for Mary Doe UGMA (or UTMA).” cred Please check either the Social Security number or Taxpayer Identification Number box and provide Pitt aay that number for the Primary Account Holder* of the CMA SubAccount. If you are NOT a U.S. citizen, Pr ea a U.S. resident for tax purposes or other U.S. person, you must execute a Certificate of Foreign Status and Reduced Rate, Form W-8/1001. If a Social Security number or Taxpayer Identification Number has been applied for but not received, use Form W-9. Your Financial Consultant can provide you with the appropriate forms if necessary. *For UGMA/UTMA accounts, the minor’s Social Security number must be used. Pr ae lLae Joint ownership of property is an important part of your estate planning and entails important legal rr be and tax consequences. Please consult your attorney if you have any questions about your joint Coreg account ownership choice. NOTE: Nonresident aliens who elect to maintain a joint account agree in the CMA SubAccount Agreement that the account will be governed by New York law. Dey The CMA SubAccount holder MUST complete this section to authorize or decline the Funds pr Orid 4s Transfer Service. PRCw ed The Funds Transfer Service is subject to the following eligibility rules: (1) You may authorize transfers INTO any CMA SubAccount; (2) You, as the CMA SubAccount holder, may also choose to authorize transfers both JNTO your CMA SubAccount and FROM your CMA SubAccount to the master CMA account. Please note, however, that transfers FROM any fiduciary account (i.e., testamentary trust, UGMA/UTMA, guardianship account, etc.), whether it is the master CMA account or the CMA SubAccount, may be authorized only when the transfers are to be made to an account with the identical title. Oho] The Investor CreditLine™ service allows suitable investors to borrow against the value of the ate e ae eligible securities in their accounts. Check the box only if you DO NOT wish to establish this Taare CMA SubAccount with this service. Please note: If multiple accounts are opened in the same name, only one account may be established with the Investor CreditLine service. Also, certain accounts, such as UGMA/UTMA accounts, and accounts for certain trusts, are not eligible for participation in this service. Pad Please select one of the CMA Money Accounts as your Primary Money Account. Your free tad credit balances will be automatically invested or deposited into the Money Account you indicate Ptr ag as number 1. You may change your Primary Money Account selection at any time simply by Pea notifying your Financial Consultant. For more information about these Money Accounts, including making additional manual investments, please refer to the CMA booklet or speak with your Financial Consultant. You can automatically reinvest dividends in additional shares of the same security with no commission charge in your CMA account or CMA SubAccount through the Reinvestment Power™ program. For more information or to enroll, speak with your Financial Consultant. Cirry Please read the CMA SubAccount Agreement carefully and be sure that each CMA SubAccount Pirro bg holder signs and dates the form. Be sure to include titles, such as Trustee or Custodian, with your Ptah signature where appropriate (e.g., John Doe, Trustee). Please return ONLY the Client Account Services copy and Financial Consultant copy to your Financial Consultant. Keep the rest of this form for your records. Complete, Detach and Return to Merrill Lynch COO -O0000 CMA®* SUBACCOUNT™ APPLICATION AND AGREEMENT FORM CMA SubAccount Number: Office Use Cae ey 3 PCr ey Name(s): (Master OMA Account Holder) F Toker Master CMA Recount Holder, F Joint Account) GC ec OD) CLs es OOOO ‘Master CMA Account Nurhber: Mailing Addréss: De Street Aadress Ch Zip Code Lagree to.add the following CMA SubAccoiintas a relate account-to.my master CMA account and, if applicable, authorize you to.accept my. telephonic instructions.for transfers to.and/or from.such CMA SubAccount through the CMA Funds Transfer érvice. If this master CMA account is.a grantor revocable living trust, 1 represent and warrant to you: (1) that the trust permits h the funds transfers l.am-authorizing; or q > if applicable, such funds transfers represent valid partial or total revocations by me; and.you may conclusively rely on this rey resentation. If the box below is. checked, lagree to pay the CMA SubAccount annual fee of, is‘and; if applicable; i my: cMAS ubAc Master UO Charge mi ¢ CMA account for.Cl SubAccount cMA account X se CA Ri Dae 4 “Tite (For Special Acebuns, ag, Thisiee) holder(s) sign here is sorraster Ml ee Acounb Holder, dol os iY ess ‘hss= i eee =, Date. 2 = Thi Tey Shes ASU 7 Coarustee), Indicate the type of CMA SubAccount you wish to open by checking the appropriate box: O Single O Joint (COUGMA/UTMA O Trust U Transfer on Death O Other CU Cyc Pew) Name(s): (Primary CMA SubAccount Holder) (Secondary CMA SubAccount Holder, if Joint Account) Check one: [Social Security Number or O Taxpayer Identification Number: CJ CL CL OO C] CL CJ CI O Check here if you are subject to backup withholding due to notification by the IRS. If so, you must also cross out the portion of the Tax Certification below as instructed. oer es If this is a joint account, your account will be titled as you indicate by checking the appropriate box below: ver be (1 JTWROS: Joint Account with Right of Survivorship CT eg OTIC: Joint Account without Right of Survivorship, also known as Tenants in Common CATBE: As Tenants by Entirety (for married persons, only in states where applicable) CACOMMPROP: Community Property (for married persons, only in states where applicable) CO Other Tenancy Designation (Specify): DD Thereby authorize the above-named master CMA account holder(s) to transfer funds through the CMA Funds Transfer Service bore as as follows (check one): L] INTO this CMA SubAccount only [] INTO this CMA SubAccount AND FROM this CMA SubAccount to OU ire eat the master CMA account. If this CMA SubAccount is a grantor revocable living trust, [ represent and warrant to you: (1) that the trust permits the funds transfers I am authorizing; or (2) that, if applicable, such funds transfers represent valid partial or total revocations by me; you may conclusively rely on this representation. C1 Check here if you DO NOT authorize transfers through the Funds Transfer Service. Ney Your CMA SubAccount will be established with the Investor CreditLine service (if eligible) unless you check the box below. te Oo (Check here if you DO NOT want the Investor CreditLine service. This TOE Sd Indicate your choice for your Primary Money Account as number I below. You may also designate the remaining Money Tad Accounts as choices 2, 3, 4, etc., if you wish Money Account balances to be automatically redeemed or withdrawn in that order. PCa CMA Money Fund CMA Treasury Fund Other: ET Te Cat Indicate name of Money Account CMA Tax-Exempt Fund O Insured Savings™ Account CMA Government Securities Fund CMA Municipal Money Fund (circle one): AZ, CA, CT, MA, MI, NJ, NY, NC, OH, PA CUE By signing below, I hereby apply for the Cash Management Account® financial service (CMA® Service) and I consent and agree to all of the SUT a terms and conditions of the attached Cash Management Account ent (the Agreement”), which is incorporated herein by reference. | acknowledge that I have read the Agreement and will retain my copy for my records, Nake [further acknowledge and agree that the transactions in my ‘eement will govern all aspects of the CMA Service MA SubAccount and, applicable, all transfers between it and the master a ided by or through you, including all account to which it is linked, as well t as, ifal plicable, the CMA Money Funds, the Insured Savings Account, the Investor CreditLine service, and any optional CMA services to which may subscribe now or in the future. [ authorize monthly statements for my account to be mailed to the address of the master CMA account to which my account is linked. , as the “Primary Account Holder” signing below and under penalties of ) that the taxpayer Identification number number and (2) t I am not sul ject to ‘backup ‘withholding elther because 1 have not been