State of Maine v. R.J. Reynolds Tobacco Co.

• Court: Superior Court of Maine
• Decided: January 21, 2009
• Docket: KENcv-97-134
• Status: Unpublished

Opinion

STATE OF MAINE SUPERIOR COURT CIVIL ACTION KENNEBEC, ss. DOCKETr;J0, CV-97-134 \... J ," ,1\J V \ .-- 1-\k ,> " L.- ; '- 1/ I K'J /i // _ '.' 'r

STATE OF MAINE, ex reI. G. STEVEN ROWE,

Plaintiff

v. DECISION AND ORDER

RJ. REYNOLDS TOBACCO COMPANY, et al.,

Defendants

This matter is before the court on the State's motion to enforce a December 3,

1998 Consent Decree against the defendant.! After weighing the evidence submitted

during trial and reviewing all submitted memoranda, the court renders the following

decision.

FINDINGS OF FACT

In the mid-1990's, Maine and a number of other states brought suit against the

largest cigarette companies in the United States, including the defendant, RJ. Reynolds

(Reynolds). Rather than litigate, the four major companies, including Reynolds, and the

Attorneys General of forty-six states and six territories, including Maine, signed a

Master Settlement Agreement (MSA) in November of 1998. (Def.'s Ex. 103 (MSA).) The

MSA was implemented through a Consent Decree, and the court, through the Consent

Decree, retained jurisdiction. (Def.'s Ex. 104 (Consent Decree).) The current dispute

arises primarily from a Reynolds advertisement placed in the November 15, 2007, 40 th

Anniversary issue of Rolling Stone magazine.

IOn 5/20/08, this court DENIED the defendant's motion to dismiss the enforcement action. By Order dated 9/5/08, this court GRANTED defendant's motion to strike the state's request for civil sanctions. 2

1. Reynolds' "Camel Farm" Advertisement in Rolling Stone Magazine

Reynolds purchased a four-page gatefold advertisement in the November 15,

2007, 40 th Anniversary issue of Rolling Stone. (See State's Ex. 6.) The gatefold

advertisement contained four pages of Reynolds advertising and five pages of Rolling

Stone editorial content, arranged in the following manner: a lead-in page of advertising

was followed by a page of editorial content; the editorial content was then followed by

two opposing pages of advertising, which opened to four pages of editorial content; this

was followed by one page of lead-out advertising. (Id.; Stipulation <[ 18.) Both the

Reynolds advertisement itself and the circumstances surrounding the placement of the

advertisement relative to the Rolling Stone editorial content are material to the resolution

of this dispute.

a. Reynolds' Camel Farm Advertisement

Reynolds worked with Kaart Marketing to create the Camel Farm advertisement.

(See M. Weinstock Dep. at 33:12-32; 69:16-23.) The advertisement was based on a

preexisting Camel Farm creative platform Reynolds used to promote its Camel Farm

campaign, through which Reynolds supports independent rock labels and bands.

(State's Ex. 8; M. Weinstock Dep. at 43:19-45:13.) The Camel Farm imagery has been in

the public domain since mid-2006. (M. Weinstock Dep. at 107:2-15.) Reynolds gatefold

advertisement used a collection of photographs to display images including: (1) a red

tractor with film reels for wheels and a film projector for an engine; (2) radios, speakers

and television sets growing from the ground; (3) flying radios with propellers; and (4)

an eagle carrying a mirror from which protrudes a disembodied hand. (State's Ex. 6.)

Rolling Stone had no involvement in the creation of the Camel Farm advertisement.

b. Intertwinement W~th Rolling Stone's Editorial Content 3

Rolling Stone commissioned Benjamin Marra to prepare the graphics for the five

pages of editorial content. (Stipulation 1 19.) Entitled "Indie Rock Universe," the

editorial content consists of five pages grouping and cataloging independent rock music

labels and bands, accompanied by hand-drawn illustrations. (State's Ex. 6.) These

illustrations depict UFOs, a rocket-powered guitar, stylized planets, a guitar-playing

robot, a headless, armless bagpiper, and an "animal plant," among others things. (Id.)

The Rolling Stone editorial does not refer to tobacco products, Reynolds, the Camel

brand, or the Camel Farm campaign. (Id.)

Reynolds purchased the gatefold advertisement as a "high impact" unit, which is

designed to increase the odds of the advertisement being seen. Reynolds was aware

that their gatefold advertisement would open up to a Rolling Stone editorial relating to

independent music, and was attempting to connect its brand with independent music

through the advertisement. However, neither Reynolds, nor any Reynolds' employee

or agent, was involved in the development, creation, or execution of the editorial

content. (Stipulation 1 21.) Moreover, neither Reynolds, nor any Reynolds' employee

or agent, previewed the editorial content prior to the printing of the magazine.

(Stipulation 120.) Other than an awareness that Rolling Stone's editorial would concern

independent music, Reynolds had no knowledge or involvement in the substantive or

stylistic content of the editorial. (See Stipulation 1 22-23.) This"separation" between

advertising and editorial decision-making is standard industry practice.

At a 5/17/07 meeting, Rolling Stone showed Reynolds a copy of a gatefold in the

May 3 issue, the first of three planned 40th Anniversary issues. The gatefold included an

advertisement for Patron brand tequila, run adjacent to a Rolling Stone editorial

consisting of traditional typed text and photographs. (Brewer Dep. at 41:9-42:14; Hecht

Dep. at 55:17-57:24; Brown Dep. at 98:16-100:11; see State's Ex. 60.) Based on this 4

example and statements made at the meeting, Reynolds' representatives at the meeting

believed that the November 15 gatefold would look similar. (See, ~ Brewer Dep. at

50:1-14.) Reynolds did not indicate the "Cartoon" ban in its Insertion Order2 or

otherwise inform Rolling Stone about the "Cartoon" ban.

In a letter, following the receipt of an 11/21/07 letter from two state Attorneys

General expressing concern about the Camel Farm advertisement in the November 15 th

issue of Rolling Stone, Reynolds admitted that it was "surprised and concerned" when

the issue was published, and believed the juxtaposition of the Camel Farm advertising

with the gatefold was "unfortunate." (Def.'s Ex. 108.)

II. Reynolds' "Farm Rocks" Website

Readers of the Rolling Stone gatefold advertisement were invited to visit the

"Farm Rocks" age-restricted website. (State's Ex. 6.) The website includes the same

type of photographic montage as the Camel Farm gatefold advertisement and includes,

among other images: (1) a photo image of duck with a bird perched on its head; (2) an

eagle perched on a blindfolded man's head; and (3) a jet-propelled tractor. (State's Ex.

113.) To date, the State has not received any complaints from Maine residents

regarding the "Farm Rocks" website. (Stipulation

III. The Current Action

On 12/4/07, the State moved to enforce the Consent Decree against Reynolds,

asserting that the Rolling Stone advertisement and "Farm Rocks" website violated the

"Cartoon" provision of the Consent Decree.

DISCUSSION

2 Reynolds' Insertion Order constitutes the "positioning guidelines" for its advertising. Among other requirements, the Insertion Order directs Rolling Stone not to place the Camel Farm advertisement next to "antithetical editorial." (State's Ex. 1.) 5

The State, pursuant to 4 M.R.S. §§ 105 and 114, seeks to enforce the Consent

Decree against the defendant. Reynolds argues that this proceeding constitutes an

action for contempt, requiring the state to prove by "clear and convincing evidence"

that Reynolds violated the terms of the Consent Decree. See State v. Shattuck, 2000 ME

38,

becomes a judgment of the court, "subject to the rules generally applicable to other

judgments and decrees"); Land Use Regulation Comm'n v. Tuck, 490 A.2d 649,652 (Me.

1985) (applying law of civil contempt in an action alleging violations of a consent

order).3

Although the State concedes that contempt actions are one way that consent

decrees may be enforced, the State argues that the Consent Decree itself explicitly

authorizes the motion to enforce: "The State and/ or any Participating Manufacturer

may apply to the Court at any time for further orders and directions as may be

necessary or appropriate for the implementation and enforcement of this Consent

Decree and Final Judgment." (Def.'s Ex. 104 (Consent Decree § VLA).) Because, as

discussed below, the court finds that the State cannot meet its burden to prove by even

a preponderance of the evidence4 that Reynolds violated the Consent Decree, the court

need not determine whether the higher "clear and convincing evidence" standard

applies.

J In order to find a party in contempt, the court must find, by clear and convincing evidence, that: "0) the alleged contemnor has failed or refused to perform an act required or continues to do an act prohibited by a court order, and (ii) it is within the alleged contemnor's power to perform the act required or cease performance of the act prohibited." M.R. Civ. P. 66(d)(2)(D); White v. Nason, 2005 ME 73, lj[ 7, 874 A.2d 891, 893. "Evidence is clear and convincing when 'the required factual findings were proved to be highly probable.''' Id. (quoting Shrader-Miller v. Miller, 2004 ME 117, lj[ 20, 855 A.2d 1139, 1145). Before a party may be held in contempt for violating a court order, "the order should inform him in definite terms as to the duties thereby imposed upon him." Banker v. Bath Iron Works Corp., 507 A.2d 602, 604 (Me. 1986). 4 See Iacobs v. Iacobs, 507 A.2d 596, 599 (Me. 1986) ("The standard of proof in a civil case between two private parties is ordinarily preponderance of the evidence, a rule that is departed from only in those rare circumstances where a higher standard of proof is clearly justified for constitutional or other significant policy reasons."). 6

The Consent Decree provides, in pertinent part, 5 that Reynolds is permanently

enjoined from "using or causing to be used within the State of Maine any Cartoon in the

advertising, promoting, packing or labeling of Tobacco Products." (Def.'s Ex. 104

(Consent Decree § V.B.).) For purposes of interpreting the Consent Decree, "Cartoon"

means:

any drawing or other depiction of an object, person, animal, creature or any similar caricature that satisfies any of the following criteria:

(1) the use of comically exaggerated features;

(2) the attribution of human characteristics to animals, plants or other objects, or the similar use of anthropomorphic technique; or

(3) the attribution of unnatural or extrahuman abilities, such as imperviousness to pain or injury, X-ray vision, tunneling at very high speeds or transformation.

The term "Cartoon" includes "Joe Camel," ....

(State's Ex. 109.)

The State makes two claims. First, the State argues that the Camel Farm imagery

used in Reynolds' four-page Camel Farm advertisement, as well as on the related "Farm

Rocks" website, contained Cartoons. Second, the State argues that Reynolds violated

the Cartoon prohibition because Rolling Stone's five-page "Indie Rock Universe"

editorial contained Cartoons. Neither of the State's arguments have merit.

I. Reynolds' Camel Farm Imagery Is Not A "Carloon"

None of the imagery contained in the Camel Farm creative platform, including

the Camel Farm advertisement in November 15th issue of Rolling Stone and the "Farm

Rocks" website, falls within the MSA definition of "Cartoon./I Generally, the Camel

Farm imagery employs surreal, somewhat simplistic, unusual, unrealistic photo-collage

5 The State does not contend that the Camel Farm advertisement or the "Farm Rocks" website violates any provision of the MSA/Consent Decree other than the prohibition of "Cartoons." (Stipulation lJ[lJ[ 7-8.) 7

style imagery. These images are far different from the animated Joe Camel, a more

traditional cartoon of the type holding a particular appeal for children. Although the

definition of "Cartoon" is not restricted to the Joe Camel type-image, interpreting the

definition of "Cartoon" without reference to the concerns of the parties involved

disregards common sense and established legal principles. See Shattuck, 2000 ME 38,

18, 747 A.2d at 179 (noting contractual nature of consent decrees); Baybutt Constr. Corp.

v. Commercial Union Ins. Co., 455 A.2d 914, 919 (Me. 1983) (following the "long

established rwe of law in this State that the paramount principle in the construction of

contracts is to give effect to the intention of the parties as gathered from the language of

the agreement viewed in the light of all the circumstances under which it was made.").

Given this general, underlying interpretive construction, the Camel Fann

imagery does not meet any of the three definitions of "Cartoon" set forth in the MSA.

None of the images contain "comically exaggerated features" or attribute "human

characteristics to animals, plants or other objects" in any manner similar to the

prototypical Joe Camel. Nor do any of the images involve the "attribution of unnatural

or extrahuman abilities, such as imperviousness to pain or injury, X-ray vision,

tunneling at very high speeds or transfonnation." (State's Ex. 109.) While the list of

attributes in this definition is not exclusive, they are instructive, like the example of Joe

Camel, in defining the boundaries of the definition. See Penobscot Nation v. Stilphen,

461 A.2d 478, 489 (Me. 1983) (applying the cannon of ejusdem generis, which states that

"a general term followed by a list of illustrations is ordinarily assumed to embrace only

concepts similar to those illustration"). None of the Camel Farm imagery involves any

of the "super-hero" like powers embraced within this definition. Finally, because 8

Reynolds used the same type of images on its "Farm Rocks" website, the website

similarly does not violate the Consent Decree's Cartoon ban. 6

II. Reynolds Did Not Violate The "Cartoon" Prohibition Because of Rolling Stone's Editorial Content

As an initial matter, although the Rolling Stone editorial content, "Indie Rock

Universe," obviously contains Cartoons, the editorial itself plainly does not "advertis[e]

... Tobacco Products." The editorial does not refer to Reynolds or any arguably

tobacco-related product. Instead, the State argues that Reynolds chose to avail itself of

the content of the editorial by purchasing advertising inextricably physically and

thematically intertwined with the editorial content. Accordingly, the State argues,

Reynolds "used and caused to be used" Cartoons in the advertising of its products. The

court cannot agree. Although Reynolds sought to establish a synergy with Rolling Stone

and emphasize its support of independent music, it did not "use" or "cause to be used"

the Cartoons in the Rolling Stone editorial. The MSA Cartoon ban employs two active

verbs, prohibiting Reynolds from "using" Cartoons or "causing" Cartoons to be used in

advertising tobacco products. This language prohibits Reynolds from engaging in

affirmative conduct. See McCready v. eBay, Inc., 453 F.3d 882, 889 ("To be a 'debt

collector' under the FDCPA entails engaging in some affirmative conduct with regard

to collecting a debt, as evidenced by the statute's use of active verbs."); Washington v.

RT. Reynolds Tobacco Co., No. 96-2-15056-8 SEA, at *5 (Wash. Super. Ct., June 2, 2008) (reasoning that "using" and "causing" are active verbs and the "Consent Decree's

agreed language thus must be read to prohibit RJR from certain affirmative conduct").

Regarding Reynolds' role in the Rolling Stone editorial content, at most, Reynolds had

6The court also notes that, thus far, both MSA courts addressing this issue determined that none of the Camel Farm imagery fell within the definition of "Cartoon." See Ohio v. R.T. Reynolds Tobacco Co" No. 97 CVH 05-5114, at *25-27 (Ohio Ct. of Common Pleas, July 30, 2008); Washington v. R.I. Reynolds Tobacco Co.. No. 96-2-15056-8 SEA, at *4 (Wash. Super. Ct., June 2,2008). 9

knowledge, and desired, that the enclosed editorial content would address independent

music. Beyond this, however, given the separation between editorial and advertising

departments at Rolling Stone, Reynolds did not, and indeed could not, know the

editorial content would contain Cartoons. Indeed, the witness testimony in this case

demonstrated Reynolds' lack of control regarding the placement of their advertising

and, more importantly, the editorial content with which it appeared. Witnesses testified

that it was standard industry practice for an advertiser such as Reynolds to be in the

dark as to the editorial content that would appear with its advertising. Without any

involvement in or knowledge of the stylistic content in the Rolling Stone editorial,

Reynolds cannot be said to have been "using" Cartoons or "causing" them to be used.

On the other hand, Reynolds did have "some control" over the positioning of its

advertisement, evidenced by its Insertion Order prohibiting the placement of its

advertisement next to "antithetical editorial." An MSA court in Ohio, in imposing a

duty upon Reynolds to take reasonable steps to prevent the use of Cartoons in its

advertising, noted that Reynolds could have inserted a provision in its Insertion Order

requesting that no Cartoons be used in the editorial content within its gatefold

advertisement. See Ohio v. R.I. Reynolds Tobacco Co., No. 97 CVH 05-5114, at *29-31

(Ohio Ct. of Common Pleas, July 30, 2008).

Nevertheless, the facts in this case establish that Reynolds was shown examples

of previous Rolling Stone gatefolds, including editorial content, which employed only

traditional text and photographs. Given what Reynolds knew and reasonably expected

at the time, the court cannot view Reynolds failure to specifically request that the

Rolling Stone editorial content not contain Cartoons as "causing" Cartoons to be used in

advertising tobacco products. See Washington v. R.T. Reynolds Tobacco Co., No. 96-2­

15056-8 SEA, at *7. Even applying a negligence standard, Reynolds was not 10

unreasonable in assuming that the gatefold would be similar to the examples they were

shown.

Accordingly, the court concludes that Reynolds has not violated the terms of the

Consent Decree by "using or causing to be used within the State of Maine any Cartoon

in the advertising, promoting, packing or labeling of Tobacco Products." Because

Reynolds did not violate the Consent Decree, the State is not entitled to any of the

remedies requested.

The entry is:

The State of Maine's Motion to Enforce Consent Decree is hereby denied.

January ~ 2009

Attorney for State of Maine Jennifer Willis Christopher Taub Office of Attorney General 6 State House Station Augusta, ME 04333-0006

Attorney for Defendant John Paterson P.O. Box 9729 Portland, ME 04104-5029

Geoffrey Beach 51 Louisiana Ave N.W. Washington, DC 20001-2113 STATE OF MAINE - PLAINTIFF SUPERIOR COURT KENNEBEC, ss. Attorney for: STATE OF MAINE Docket No AUGSC-CV-1997-00134 JENNIFER ANN WILLIS - RETAINED 07/17/2008 OFFICE OF THE ATTORNEY GENERAL 6 STATE HOUSE STATION DOCKET RECORD AUGUSTA ME 04333-0006

COMMISSIONER OF DHHS - PLAINTIFF

Attorney for: COMMISSIONER OF DHHS CHRISTOPHER C TAUB - RETAINED 04/19/2006 ATTORNEY GENERAL OFFICE OF AG 111 SEWALL STREET 6 STATE HOUSE STATION AUGUSTA ME 04333-0006

vs PHILIP MORRIS INC - DEFENDANT

Attorney for: PHILIP MORRIS INC JOHN LAMBERT - RETAINED LAMBERT COFFIN RUDMAN HOCHMAN 477 CONGRESS STREET 14TH FLOOR PO BOX 15215 PORTLAND ME 04112-5215

R.J.REYNOLDS TOBACCO COMPANY, INC. - DEFENDANT

Attorney for: R.J.REYNOLDS TOBACCO COMPANY, INC. JOHN PATERSON - RETAINED BERNSTEIN SHUR SAWYER & NELSON 100 MIDDLE ST PO BOX 9729 PORTLAND ME 04104-5029

LORILLARD TOBACCO COMPANY - DEFENDANT

Attorney for: LORILLARD TOBACCO COMPANY CHARLES HARVEY - RETAINED HARVEY & FRANK PO BOX 126 PORTLAND ME 04112-0126

Attorney for: LORILLARD TOBACCO COMPANY ROBERT FRANK - RETAINED HARVEY & FRANK PO BOX 126 PORTLAND ME 04112-0126

COMMONWEALTH BRANDS, INC. - DEFENDANT

Page 1 of 15 Printed on: 01/23/2009 AUGSC-CV-1997-00134 DOCKET RECORD Attorney for: COMMONWEALTH BRANDS, INC. ROBERT GALLO - RETAINED MCNEILL & TAYLOR PA PO BOX 815 180 LOCUST STREET DOVER NH 03821-0815

LIGGETT GROUP LLC - DEFENDANT

Attorney for: LIGGETT GROUP LLC ROBERT GALLO - RETAINED MCNEILL & TAYLOR PA PO BOX 815 180 LOCUST STREET DOVER NH 03821-0815

SHERMAN 1400 BROADWAY N.Y.C. INC. - DEFENDANT

Attorney for: SHERMAN 1400 BROADWAY N.Y.C. INC. ROBERT GALLO - RETAINED MCNEILL & TAYLOR PA PO BOX 815 180 LOCUST STREET DOVER NH 03821-0815

Filing Document: COMPLAINT Minor Case Type: PRODUCT LIABILITY Filing Date: 09/17/1997

Docket Events: 04/27/2006 FILING DOCUMENT - COMPLAINT FILED ON 09/17/1997

NOTE - PRIOR ENTRIES IN MANUAL DOCKET ENTERED ON 09/17/1997

04/27/2006 Party(s): STATE OF MAINE ATTORNEY - RETAINED ENTERED ON 04/27/2006

04/27/2006 Party(s): PHILIP MORRIS INC ATTORNEY - RETAINED ENTERED ON 04/27/2006 Defendant's Attorney: JOHN LAMBERT

04/27/2006 Party(s): STATE OF MAINE OTHER FILING - OTHER DOCUMENT FILED ON 04/26/2006 Plaintiff's Attorney: CHRISTOPHER C TAUB REQUEST FOR HEARING NEEDED FOR PREVIOUS FILING OF MOTION FOR DECLARATORY JUDGMENT.

05/01/2006 Party(s): STATE OF MAINE MOTION - OTHER MOTION FILED ON 04/19/2006 Plaintiff's Attorney: CHRISTOPHER C TAUB PLAINTIFFS' MOTION FOR DECLARATORY JUDGMENT WITH INCORPORATED MEMORANDUM 0 F LAW, FILED.

05/01/2006 Party(s): STATE OF MAINE MOTION - MOTION FOR ENLARGEMENT OF TIME FILED ON 04/19/2006 Plaintiff's Attorney: CHRISTOPHER C TAUB Page 2 of 15 Printed on: 01/23/2009 AUGSC-CV-1997-00134 DOCKET RECORD

MOTION FOR ADDITIONAL PAGES WITH INCORPORATED MEMORANDUM OF LAW, FILED.

05/11/2006 Party(s): R.J.REYNOLDS TOBACCO COMPANY, INC. ATTORNEY - RETAINED ENTERED ON 05/10/2006

05/11/2006 Party(s): R.J.REYNOLDS TOBACCO COMPANY, INC. ATTORNEY - RETAINED ENTERED ON 05/10/2006

05/11/2006 Party(s): LORILLARD TOBACCO COMPANY ATTORNEY - RETAINED ENTERED ON 05/10/2006 Defendant's Attorney: CHARLES HARVEY

05/11/2006 Party(s): LORILLARD TOBACCO COMPANY ATTORNEY - RETAINED ENTERED ON 05/10/2006 Defendant's Attorney: ROBERT FRANK

05/11/2006 Party(s): PHILIP MORRIS INC,R.J.REYNOLDS TOBACCO COMPANY, INC. ,LORILLARD TOBACCO COMPANY MOTION - MOTION FOR ENLARGEMENT OF TIME FILED ON 05/10/2006 Defendant's Attorney: JOHN LAMBERT S/ROBERT FRANK, ESQ. MOTION FOR LEAVE TO FILE MEMORANDUM OF LAW IN EXCESS OF APPLICABLE PAGE LIMITS, PROPOSED ORDER AND REQUEST FOR HEARING

05/11/2006 party(s): PHILIP MORRIS INC,R.J.REYNOLDS TOBACCO COMPANY, INC.,LORILLARD TOBACCO COMPANY MOTION - MOTION TO COMPEL FILED ON 05/10/2006 Defendant's Attorney: JOHN LAMBERT S/FRANK, ESQ. DEFENDANT ORI GINAL PARTICIPATING MANUFACTURERS' MOTION TO COMPEL ARBITRATION, PROPOSED ORDER AND REQUEST FOR HEARING

05/11/2006 Party(s): PHILIP MORRIS INC,R.J.REYNOLDS TOBACCO COMPANY, INC.,LORIL~RD TOBACCO COMPANY OTHER FILING - OPPOSING MEMORANDUM FILED ON 05/10/2006 Defendant's Attorney: JOHN LAMBERT S/FRANK, ESQ. DEFENDANT ORIGINAL PARTICIPATING MANUFACTURERS' MEMORANDUM: (l)IN OPPOSIITION TO PLAINTIFFS' MOTION FOR DECLARATORY JUDGMENT; AND (2) IN SUPPORT OF DEFENDANTS' MOTION TO COMPEL ARBITRATION AND AFFIDAVIT OF JOHN B. WILLIAMS WITH SETTLEMENT AGREEMENT (IN FOLDER)

05/11/2006 Party(s): COMMONWEALTH BRANDS, INC. ATTORNEY - RETAINED ENTERED ON 05/10/2006 Defendant's Attorney: ROBERT GALLO

05/11/2006 Party(s): LIGGETT GROUP LLC ATTORNEY - RETAINED ENTERED ON 05/10/2006 Defendant's Attorney: ROBERT GALLO

05/11/2006 Party(s): SHERMAN 1400 BROADWAY N.Y.C. INC. ATTORNEY - RETAINED ENTERED ON 05/10/2006 Defendant's Attorney: ROBERT GALLO

05/11/2006 Party(s): COMMONWEALTH BRANDS, INC. ,LIGGETT GROUP LLC,SHERMAN 1400 BROADWAY N.Y.C. INC. OTHER FILING - ENTRY OF APPEARANCE FILED ON 05/10/2006 Defendant's Attorney: ROBERT GALLO Page 3 of 15 Printed on: 01/23/2009 AUGSC-CV-1997-00134 DOCKET RECORD

05/11/2006 Party(s): COMMONWEALTH BRANDS, INC. ,LIGGETT GROUP LLC,SHERMAN 1400 BROADWAY N.Y.C. INC. MOTION - MOTION TO COMPEL FILED ON 05/10/2006 Defendant's Attorney: ROBERT GALLO SUBSEQUENT PARTICIPATING MANUFACTURERS' JOINDER IN ORIGINAL PARITICIPATING MANUFACTURERS' MOTION TO COMPEL ARBITRATION AND APPENDIX TO SUBSEQUENT PARTICIPATING MANUFACTURERS' JOINDER IN ORIGINAL PARTICIPATING MANUFACTURERS' MOTION TO COMPEL ARBITRATION AND PROPOSED ORDER

05/11/2006 Party(s): COMMISSIONER OF DHHS ATTORNEY - RETAINED ENTERED ON 04/19/2006 Plaintiff's Attorney: CHRISTOPHER C TAUB

05/15/2006 Party(s): STATE OF MAINE LETTER - FROM PARTY FILED ON 05/15/2006 Plaintiff's Attorney: PETER LAFOND LETTER INFORMING THE COURT THE STATE HAS NO OBJECTION TO THE DEFENDANTS' MOTION TO EXCEED APPLICABLE PAGE LIMITS.

05/15/2006 Party(s): STATE OF MAINE,COMMISSIONER OF DHHS MOTION - MOTION FOR ENLARGEMENT OF TIME FILED ON 05/15/2006 Plaintiff's Attorney: PETER LAFOND TO FILE A REPLY WITH PROPOSED ORDER

OS/23/2006 Party(s): STATE OF MAINE,COMMISSIONER OF DHHS MOTION - MOTION FOR ENLARGEMENT OF TIME GRANTED ON 05/17/2006 S KIRK STUDSTRUP , JUSTICE COPIES TO PARTIES/COUNSEL IT IS HEREBY ORDERED: PLAINTIFF STATE OF MAINE'S REPLY BRIEF IN RESPONSE TO DEFENDANTS' OPPOSITION IS EXTENDED UNTIL MAY 24, 2006

OS/25/2006 Party(s): STATE OF MAINE,COMMISSIONER OF DHHS OTHER FILING - OPPOSING MEMORANDUM FILED ON OS/24/2006 Plaintiff's Attorney: PETER LAFOND PLAINTIFFS' MEMORANDUM OF LAW IN OPPOSITION TO DEFENDANTS' MOTION TO COMPEL ARBITRATION AND IN REPLY TO DEFENDANTS OPPOSITION TO PLAINTIFFS' MOTION FOR DECLARATORY JUDGMENT AND AFFIDAVIT OF LAURIE NELSON.

OS/25/2006 Party(s): STATE OF MAINE,COMMISSIONER OF DHHS MOTION - OTHER MOTION FILED ON OS/24/2006 Plaintiff's Attorney: PETER LAFOND PLAINTIFFS' MOTION FOR LEAVE TO FILE MEMORANDUM OF LAW IN EXCESS OF APPLIC ABLE PAGE LIMITS WITH PROPOSED ORDER.

OS/26/2006 Party(s): STATE OF MAINE LETTER - FROM PARTY FILED ON OS/26/2006 Defendant's Attorney: PETER LAFOND LETTER OF DEFS. STATING THEY HAVE NO OBJECTION TO PLTS. MOTION FOR LEAVE TO FILE MEMORANDUM OF LAW IN EXCESS OF APPLICABLE PAGE LIMITS,THAT WAS FILED ON 05-24-06.

OS/26/2006 Party(s): R.J.REYNOLDS TOBACCO COMPANY, INC. MOTION - MOTION TO ADMIT VISIT. ATTY FILED ON OS/26/2006 FOR DEF. R.J. REYNOLDS TOBACCO Page 4 of 15 Printed on: 01/23/2009 AUGSC-CV-1997-00134 DOCKET RECORD

OS/26/2006 Party(s): PHILIP MORRIS INC,R.J.REYNOLDS TOBACCO COMPANY, INC.,LORILLARD TOBACCO COMPANY MOTION - MOTION FOR ENLARGEMENT OF TIME GRANTED ON OS/24/2006 S KIRK STUDSTRUP , JUSTICE COPIES TO PARTIES/COUNSEL

OS/26/2006 Party(s): STATE OF MAINE MOTION - MOTION FOR ENLARGEMENT OF TIME GRANTED ON OS/24/2006 S KIRK STUDSTRUP , JUSTICE COPIES TO PARTIES/COUNSEL

OS/26/2006 Party(s): PHILIP MORRIS INC,R.J.REYNOLDS TOBACCO COMPANY, INC.,LORILLARD TOBACCO COMPANY MOTION - MOTION FOR ENLARGEMENT OF TIME FILED ON OS/26/2006 Defendant's Attorney: ROBERT FRANK MOTION FOR EXTENSION OF TIME TO FILE REPLY MEMORANDUM WITH INCORPORATED MEMORANDUM OF LAW AND PROPOSED ORDER AND REQUEST FOR HEARING

05/30/2006 Party(s): COMMONWEALTH BRANDS, INC. ,LIGGETT GROUP LLC,SHERMAN 1400 BROADWAY N.Y.C. INC. MOTION - MOTION FOR ENLARGEMENT OF TIME FILED ON 05/30/2006 Defendant's Attorney: ROBERT GALLO ASSENTED TO MOTION FOR EXTENSION OF TIME TO FILE REPLY MEMORANDUM AND INCORPORATED MEMORANDUM OF LAW WITH PROPOSED ORDER AND REQUEST FOR HEARING FILED BY DEFS. MANUFACTURERS COMMONWEALTH BRANDS, INC, LIGGETT GROUP LLC AND SHERMAN 1400 BROADWAY N.Y.C. INC.

06/01/2006 Party(s): COMMONWEALTH BRANDS, INC. ,LIGGETT GROUP LLC,SHERMAN 1400 BROADWAY N.Y.C. INC. MOTION - MOTION TO ADMIT VISIT. ATTY FILED ON 06/01/2006 Defendant's Attorney: ROBERT GALLO CERTIFICATE OF SERVICE, AFFIDAVIT OF ROBERT J. BROOKHISER, ESQ. ON SUPPORT OF MOTION PRO HAC VICE AND PROPOSED ORDER.

06/01/2006 Party(s): COMMONWEALTH BRANDS, INC. ,LIGGETT GROUP LLC,SHERMAN 1400 BROADWAY N.Y.C. INC. MOTION - MOTION TO ADMIT VISIT. ATTY FILED ON 06/01/2006 Defendant's Attorney: ROBERT GALLO AFFIDAVIT OF ELIZABETH B. MCCALLUM, ESQ. IN SUPPORT OF MOTION PRO HAC VICE PROPOSED ORDER AND REQUEST FOR HEARING.

06/01/2006 Party(s): PHILIP MORRIS INC,R.J.REYNOLDS TOBACCO COMPANY, INC. ,LORILLARD TOBACCO COMPANY MOTION - MOTION FOR ENLARGEMENT OF TIME GRANTED ON 05/30/2006 S KIRK STUDSTRUP , JUSTICE TIME EXTENDED TO 6/7/06 TO FILE REPLY TO MOTION TO COMPEL ARBITRATION. COPIES MAILED TO ATTYS.

06/01/2006 Party(s): COMMONWEALTH BRANDS, INC. ,LIGGETT GROUP LLC,SHERMAN 1400 BROADWAY N.Y.C. INC. MOTION - MOTION FOR ENLARGEMENT OF TIME GRANTED ON 05/30/2006 DONALD H MARDEN , JUSTICE COPIES TO PARTIES/COUNSEL MANUFACTURERS COMMONWEALTH BRANDS INC., LIGGETT GROUP LLC AND SHERMAN'S TIME TO FILE REPLY EXTENDED TO 6/8/06.

06/05/2006 Party(s): LORILLARD TOBACCO COMPANY MOTION - MOTION TO ADMIT VISIT. ATTY FILED ON 06/05/2006 Defendant's Attorney: CHARLES HARVEY Page 5 of 15 Printed on: 01/23/2009 AUGSC-CV-1997-00134 DOCKET RECORD

TO ADMIT PENNY P. REID, NOTICE OF MOTION,AFFIDAVIT OF PENNY P. REID, PROPOSED ORDER AND REQUEST FOR HEARING.

06/05/2006 Party(s): R.J.REYNOLDS TOBACCO COMPANY, INC. MOTION - MOTION TO ADMIT VISIT. ATTY GRANTED ON 06/01/2006 DONALD H MARDEN , JUSTICE COPIES TO PARTIES/COUNSEL JOHN B. WILLIAMS IS ADMITTED PRO HAC VICE.

06/05/2006 Party(s): STATE OF MAINE,COMMISSIONER OF DHHS MOTION - OTHER MOTION GRANTED ON 06/01/2006 DONALD H MARDEN , JUSTICE PLAINTIFFS' MOTION FOR LEAVE TO FILE MEMORANDUM OF LAW IN EXCESS OF APPLIC ABLE PAGE LIMITS WITH PROPOSED ORDER. PAGE LIMITED EXTENDED TO 27 PAGES. COPIES MAILED TO ATTYS.

06/05/2006 Party(s): COMMONWEALTH BRANDS, INC. ,LIGGETT GROUP LLC,SHERMAN 1400 BROADWAY N.Y.C. INC. MOTION - MOTION TO ADMIT VISIT. ATTY GRANTED ON 06/02/2006 DONALD H MARDEN , JUSTICE COPIES TO PARTIES/COUNSEL ROBERT BROOKHISER, ESQ. ADMITTED PRO HAC VICE.

06/05/2006 Party(s): COMMONWEALTH BRANDS, INC. ,LIGGETT GROUP LLC,SHERMAN 1400 BROADWAY N.Y.C. INC. MOTION - MOTION TO ADMIT VISIT. ATTY GRANTED ON 06/02/2006 DONALD H MARDEN , JUSTICE COPIES TO PARTIES/COUNSEL ELIZABETH MCCALLUM, ESQ. ADMITTED PRO HAC VICE

06/08/2006 Party(s): PHILIP MORRIS INC,R.J.REYNOLDS TOBACCO COMPANY, INC. ,LORILLARD TOBACCO COMPANY OTHER FILING - REPLY MEMORANDUM FILED ON 06/07/2006 Defendant's Attorney: JOHN LAMBERT S/ROBERT FRANK, ESQ. DEFENDANT ORIGINAL PARTICIPATING MANUFACTURERS' REPLY BRIEF IN SUPPORT OF THEIR MOTION TO COMPEL ARBITRATION, SECOND AFFIDAVIT OF JOHN B. WILLIAMS WITH ATTACHED DOCUMENTS P-Y

06/08/2006 Party(s): PHILIP MORRIS INC,R.J.REYNOLDS TOBACCO COMPANY, INC. ,LORILLARD TOBACCO COMPANY MOTION - MOTION FOR LEAVE FILED ON 06/07/2006 Defendant's Attorney: JOHN LAMBERT S/ROBERT FRANK, ESQ. MOTION FOR LEAVE TO FILE REPLY MEMORANDUM IN EXCESS OF APPLICABLE PAGE LIMTS, REQUEST FOR HEARING AND PROPOSED ORDER.

06/09/2006 Party(s): R.J.REYNOLDS TOBACCO COMPANY, INC. OTHER FILING - AFFIDAVIT FILED ON 06/08/2006 S/JOHN B WILLIAMS

06/09/2006 Party(s): STATE OF MAINE,COMMISSIONER OF DHHS OTHER FILING - REPLY MEMORANDUM FILED ON 06/09/2006 Plaintiff's Attorney: CHRISTOPHER C TAUB PLTS. RESPONSE TO DEFS. MOTION FOR LEAVE TO FILE REPLY BRIEF IN EXCESS OF APPLICABLE PAGE LIMITS.

page 6 of 15 Printed on: 01/23/2009 AUGSC-CV-1997-00134 DOCKET RECORD

06/14/2006 Party(s): LORILLARD TOBACCO COMPANY MOTION - MOTION TO ADMIT VISIT. ATTY GRANTED ON 06/13/2006 NANCY MILLS , JUSTICE COPIES TO PARTIES/COUNSEL PENNY REID, ESQ. ADMITTED.

06/14/2006 party(s): PHILIP MORRIS INC,R.J.REYNOLDS TOBACCO COMPANY, INC.,LORILLARD TOBACCO COMPANY MOTION - MOTION FOR LEAVE GRANTED ON 06/14/2006 NANCY MILLS , JUSTICE DEFENDANTS GIVEN LEAVE TO FILE 27 PAGE REPLY BRIEF.

06/21/2006 party(s): STATE OF MAINE OTHER FILING - OPPOSING MEMORANDUM FILED ON 06/21/2006 Plaintiff's Attorney: CHRISTOPHER C TAUB PLTS. SUR-REPLY BRIEF IN OPPOSITION TO DEFS. MOTION TO COMPEL ARBITRATION AND IN SUPPORT OF PLTS. MOTION FOR DECLARATORY JUDGMENT.

07/17/2006 Party(s): PHILIP MORRIS INC,R.J.REYNOLDS TOBACCO COMPANY, INC. OTHER FILING - OTHER DOCUMENT FILED ON 07/17/2006 Defendant's Attorney: JOHN LAMBERT S/CHARLES HARVEY, ESQ. DEFENDANT OR IGINAL PARTICIPATING MANUFACTURERS'NOTICE OF SUPPLEMENTAL AUTHORITY IN SUPPORT OF THEIR MOTION TO COMPEL ARBITRATION.

07/24/2006 Party(s): STATE OF MAINE,COMMISSIONER OF DHHS OTHER FILING - OPPOSING MEMORANDUM FILED ON 07/24/2006 Plaintiff's Attorney: CHRISTOPHER C TAUB PLTS. NOTICE OF SUPPLEMENTAL AUTHORITY IN OPPOSITION TO DEFS. MOTION TO COMPEL ARBITRATION.

07/2B/2006 Party(s): PHILIP MORRIS INC OTHER FILING - OTHER DOCUMENT FILED ON 07/2B/2006 Defendant's Attorney: ROBERT FRANK DEF. ORIGINAL PARTICIPATING MANUFACTURERS' SECOND NOTICE OF SUPPLEMENTAL AUTHORITY IN SUPPORT OF MOTION TO COMPEL ARBITRATION

08/29/2006 party(s): STATE OF MAINE,COMMISSIONER OF DHHS LETTER - FROM PARTY FILED ON OB/29/2006 Plaintiff's Attorney: PETER LAFOND REQUEST HEARING SCHEDULED FOR 9/6/06 BE RECORDED.

09/01/2006 party(s): PHILIP MORRIS INC,R.J.REYNOLDS TOBACCO COMPANY, INC.,LORILLARD TOBACCO COMPANY OTHER FILING - OTHER DOCUMENT FILED ON 08/31/2006 DEFENDANT ORIGINAL PARTICIPATING MANUFACTURERS' THIRD NOTICE OF SUPPLEMENTAL AUTHORITY IN SUPPORT OF THEIR MOTION TO COMPEL ARBITRATION. S/LAMBERT, ESQ. S/HARVEY, ESQ. (ATTACHMENTS 1-9)

09/01/2006 Party(s): PHILIP MORRIS INC MOTION - MOTION TO ADMIT VISIT. ATTY FILED ON 09/01/2006 Defendant's Attorney: JOHN LAMBERT WITH PROPOSED ORDER AND CERTIFICATE IN SUPPORT OF MOTION FOR ADMISSION PRO HAC VICE OF THOMAS FREDERICK, ESQ.

Page 7 of 15 Printed on: 01/23/2009 AUGSC-CV-1997-00134 DOCKET RECORD

09/15/2006 Party(s): PHILIP MORRIS INC,R.J.REYNOLDS TOBACCO COMPANY, INC. ,LORILLARD TOBACCO COMPANY OTHER FILING - OTHER DOCUMENT FILED ON 09/15/2006 Defendant's Attorney: JOHN LAMBERT DEFENDANT ORIGINAL PARITCIPATING MANUFACTURERS' FOURTH NOTICE OF SUPPLEMENTAL AUTHORITY IN SUPPORT OF THEIR MOTION TO COMPEL ARBITRATION

09/20/2006 HEARING - OTHER MOTION HELD ON 09/06/2006 S KIRK STUDSTRUP , JUSTICE HEARING HELD ON PENDING MOTIONS. TAPE #2 INDEX 003-2658 PETER LAFOND, CHRISTOPHER TAUB, TOM FREDERICK AND ATTY. MCCALL PRESENT FOR ATTYS. ORAL ARGUMENTS MADE TO THE COURT. COURT TO TALK MATTER UNDER ADVISEMENT.

10/04/2006 Party(s): PHILIP MORRIS INC MOTION - MOTION TO ADMIT VISIT. ATTY GRANTED ON 09/01/2006 S KIRK STUDSTRUP , JUSTICE COPIES TO PARTIES/COUNSEL THOMAS FREDERICK PERMITTED PRO HAC VICE

10/04/2006 Party(s): STATE OF MAINE MOTION - OTHER MOTION DISMISSED ON 10/03/2006 S KIRK STUDSTRUP , JUSTICE PLAINTIFFS' MOTION FOR DECLARATORY JUDGMENT WITH INCORPORATED MEMORANDUM 0 F LAW, FILED.

10/04/2006 party(s): PHILIP MORRIS INC,R.J.REYNOLDS TOBACCO COMPANY, INC.,LORILLARD TOBACCO COMPANY MOTION - MOTION TO COMPEL GRANTED ON 10/03/2006 S KIRK STUDSTRUP , JUSTICE COPIES TO PARTIES/COUNSEL SEE DECISION AND ORDER

10/04/2006 party(s): COMMONWEALTH BRANDS, INC. ,LIGGETT GROUP LLC,SHERMAN 1400 BROADWAY N.Y.C. INC. MOTION - MOTION TO COMPEL GRANTED ON 10/03/2006 S KIRK STUDSTRUP , JUSTICE COPIES TO PARTIES/COUNSEL SEE DECISION AND ORDER

10/04/2006 FINDING - JUDGMENT DETERMINATION ENTERED ON 10/03/2006 S KIRK STUDSTRUP , JUSTICE DECISION AND ORDER-MOTION FOR DECLARATORY JUDGMENT DISMISSED. MOTION TO COMPEL ARBITRATION IS GRANTED AND ORDERED THAT THE PARTIES SUBMIT THEIR ISSUES TO BINDING ARBITRATION IN ACCORDANCE WITH THE MASTER SETTLEMENT AGREEMENT. COPIES MAILED TO ATTYS.

ORDER - COURT JUDGMENT ENTERED ON 10/03/2006 S KIRK STUDSTRUP , JUSTICE DECISION AND ORDER-MOTION FOR DECLARATORY JUDGMENT DISMISSED. MOTION TO COMPEL ARBITRATION IS GRANTED AND ORDERED THAT THE PARTIES SUBMIT THEIR ISSUES TO BINDING ARBITRATION IN ACCORDANCE WITH THE MASTER SETTLEMENT AGREEMENT. COPIES MAILED TO ATTYS. Judgment entered for PHILIP MORRIS INC and against STATE OF MAINE.

10/04/2006 FINDING - FINAL JUDGMENT CASE CLOSED ON 10/04/2006

10/25/2006 party(s): STATE OF MAINE APPEAL - NOTICE OF APPEAL FILED ON 10/24/2006 Page 8 of 15 Printed on: 01/23/2009 AUGSC-CV-1997-00134 DOCKET RECORD

Plaintiff's Attorney: CHRISTOPHER C TAUB

10/25/2006 Party(s): STATE OF MAINE,COMMISSIONER OF DHHS APPEAL - STATEMENT OF ISSUES FILED ON 10/24/2006 Plaintiff's Attorney: CHRISTOPHER C TAUB

10/25/2006 Party(s): STATE OF MAINE APPEAL - NOTICE OF APPEAL SENT TO LAW COURT ON 10/25/2006 ATTESTED COPIES OF NOTICE OF APPEAL AND DOCKET SHEETS SENT TO LAW COURT AND ATTORNEYS OF RECORD.

10/27/2006 Party(s): PHILIP MORRIS INC,R.J.REYNOLDS TOBACCO COMPANY, INC.,LORILLARD TOBACCO COMPANY OTHER FILING - TRANSCRIPT ORDER FORM FILED ON 10/27/2006 Defendant's Attorney: TERESA M CLOUTIER ATTESTED COpy MAILED TO JAMES CHUTE, CLERK OF THE LAW COURT.

10/27/2006 Party(s): PHILIP MORRIS INC,R.J.REYNOLDS TOBACCO COMPANY, INC. ,LORILLARD TOBACCO COMPANY OTHER FILING - TRANSCRIPT ORDER FORM SENT TO REPORTER/ER ON 10/27/2006 COPY MAILED TO ELECTRONIC RECORDING.

11/01/2006 APPEAL - RECORD ON APPEAL DUE IN LAW COURT ON 11/01/2006 NOTICE FROM LAW COURT, FILED. S/CHUTE, CLERK OF THE LAW COURT. CASE TO BE TRANSMITTED NOVEMBER 14, 2006, DOCKET NUMBER ASSIGNED IS KEN-06-665

11/01/2006 OTHER FILING - OTHER DOCUMENT FILED ON 11/01/2006 LETTER REGARDING TRANSCRIPT ORDER, FILED. S/GAYLE KINNEY

12/19/2006 Party(s): COMMONWEALTH BRANDS, INC. OTHER FILING - OTHER DOCUMENT FILED ON 06/09/2006 Defendant's Attorney: ROBERT GALLO SUBSEQUENT PARTICIPATING MANUFACTURER'S JOINDER IN ORIGINAL PARTICIPATING MANUFACTURERS' REPLY IN FURTHER SUPPORT OF MOTION TO COMPEL ARBITRATION (ATTACHMENT)

12/19/2006 Party(s): COMMONWEALTH BRANDS, INC. OTHER FILING - OTHER DOCUMENT FILED ON 08/09/2006 Defendant's Attorney: ROBERT GALLO SUBSEQUENT PARTICIPATING MANUFACTURERS COMPANIA INDUSTRIAL DE TABACOS MONTE PAZ, SA,DAUGHTERS & RYAN, INC., HOUSE OF PRINCE A/S, PETER STOKKEBYE A/S, AND VIRGINIA CAROLINA CORPORATION, INC. 'S ASSENTED TO JOINDER IN THE PENDING MOTION TO COMPEL ARBITRATION, FILED.

12/19/2006 APPEAL - RECORD ON APPEAL SENT TO LAW COURT ON 12/19/2006 ENTIRE FILE TAKEN TO LAW. ATTESTED COPIES OF DOCKET SHEETS AND TRANSMITTAL OF EXHIBITS MAILED TO JAMES CHUTE, CLERK OF THE LAW COURT. COPIES MAILED TO ATTYS. OF RECORD. COURT ACKNOWLEDGEMENT, FILED. S/CHUTE, CLERK (4/20/07)

08/02/2007 APPEAL - MANDATE/ORDER FILED ON 08/01/2007 S/JAMES CHUTE, CLERK

08/02/2007 APPEAL - MANDATE/ORDER DISMISSED ON 08/01/2007

08/15/2007 APPEAL - RECORD ON APPEAL RECVD FROM LAW COURT ON 10/02/2007 Page 9 of 15 Printed on: 01/23/2009 AUGSC-CV-1997-00134 DOCKET RECORD

ALL EXHIBIT AND FILES RECEIVED FROM LAW COURT.

12/06/2007 Party(s): STATE OF MAINE MOTION - MOTION TO ENFORCE FILED ON 12/04/2007 Plaintiff's Attorney: JENNIFER ANN WILLIS STATE'S MOTION TO ENFORCE CONSENT DECREE AND FINAL JUDGMENT (ATTACHMENTS) 12/5/07 - 21­ DAY NOTICE. S/WILLIS, AAG 12/6/07 - PROPOSED ORDER. S/WILLIS, AAG

12/19/2007 Party{s): R.J.REYNOLDS TOBACCO COMPANY, INC. MOTION - MOTION FOR ENLARGEMENT OF TIME FILED ON 12/18/2007 Defendant's Attorney: JOHN PATERSON RJ REYNOLDS' MOTION FOR EXTENSION OF TIME TO RESPOND TO MOTION TO ENFORCE CONSENT DECREE. PROPOSED ORDER.

12/28/2007 Party{s): R.J.REYNOLDS TOBACCO COMPANY, INC. MOTION - MOTION FOR ENLARGEMENT OF TIME GRANTED ON 12/19/2007 DONALD H MARDEN , JUSTICE COPIES TO PARTIES/COUNSEL ON THE MOTION OF THE DEFENDANT R.J. REYNOLDS TOBACCO COMPANY IT IS HEREBY ORDERED THAT R.J. REYNOLDS SHALL HAVE UNTIL JANUARY 11, 2008 TO RESPOND TO THE MOTION TO ENFORCE CONSENT DECREE.

01/09/2008 Party(s): R.J.REYNOLDS TOBACCO COMPANY, INC. MOTION - OTHER MOTION FILED ON 01/08/2008 Defendant's Attorney: MICHAEL HODGINS MOTION FOR LEAVE TO EXCEED PAGE LIMITS

01/11/2008 Party(s): R.J.REYNOLDS TOBACCO COMPANY, INC. MOTION - OTHER MOTION GRANTED ON 01/10/2008 JOSEPH M JABAR , JUSTICE MOTION FOR LEAVE TO EXCEED PAGE LIMITS COPIES MAILED TO ATTYS. OF RECORD.

01/15/2008 Party{s): R.J.REYNOLDS TOBACCO COMPANY, INC. OTHER FILING - OPPOSING MEMORANDUM FILED ON 01/11/2008 Defendant's Attorney: JOHN PATERSON TO PLAINTIFF STATE OF MAINE'S MOTION TO ENFORCE CONSENT DECREE & FINAL JUDGMENT, AND DEFENDANT'S MEMORANDUM IN SUPPORT OF MOTION TO DISMISS

01/22/2008 Party(s): STATE OF MAINE MOTION - MOTION FOR ENLARGEMENT OF TIME FILED ON 01/18/2008 Plaintiff's Attorney: JENNIFER ANN WILLIS TO REPLY TO OPPOSITION TO THE STATE'S MOTION TO ENFORCE.

01/28/2008 Party(s): STATE OF MAINE LETTER - FROM PARTY FILED ON 01/25/2008 LETTER FILED BY JENNIFER WILLIS AAG INDICATING THAT DEF RJ REYNOLDS DOES NOT OPPOSE THE STATE'S MOTION FOR ENLGARGMENT OF TIME FILED.

01/30/2008 Party(s): STATE OF MAINE MOTION - MOTION FOR ENLARGEMENT OF TIME GRANTED ON 01/30/2008 JOSEPH M JABAR , JUSTICE COPIES TO PARTIES/COUNSEL ON THE MOTION Page 10 of 15 Printed on: 01/23/2009 AUGSC-CV-1997-00134 DOCKET RECORD

OF THE PLAINTIFF STATE OF MAINE IT IS HEREBY ORDERED THAT THE STATE OF MAINE SHALL HAVE UNTIL FEBRUARY 4, 2008 TO REPLY TO R.J. REYNOLDS' OPPOSITION TO THE MOTION TO ENFORCE THE CONSENT DECREE AND TO FILE ITS OPPOSITION TO R.J. REYNOLDS' MOTION TO DISMISS.

02/06/2008 Party(s): STATE OF MAINE OTHER FILING - REPLY MEMORANDUM FILED ON 02/04/2008 Plaintiff's Attorney: JENNIFER ANN WILLIS STATE OF MAINE REPLY MEMORANDUM AND STATE'S OPPOSITION TO DEFENDANT'S MOTION TO DISMISS (ATTACHMENTS)

02/07/2008 Party(s): R.J.REYNOLDS TOBACCO COMPANY, INC. MOTION - MOTION TO DISMISS FILED ON 01/11/2008 Defendant's Attorney: MICHAEL HODGINS MOTION TO DISMISS THE STATE!S MOTION TO ENFORCE CONSENT DECREE

02/11/2008 Party(s): R.J.REYNOLDS TOBACCO COMPANY, INC. MOTION - OTHER MOTION FILED ON 02/07/2008 Plaintiff's Attorney: JOHN PATERSON MOTION TO LEAVE TO FILE A MEMORANDUM IN EXCESS OF THE PAGE LIMITS WITH PROPOSED ORDER.

02/12/2008 Party(s): R.J.REYNOLDS TOBACCO COMPANY, INC. OTHER FILING - REPLY MEMORANDUM FILED ON 02/11/2008 Defendant's Attorney: JOHN PATERSON TO MOTION TO DISMISS

02/12/2008 Party(s): STATE OF MAINE,COMMISSIONER OF DHHS LETTER - FROM PARTY FILED ON 02/11/2008 Plaintiff's Attorney: JENNIFER ANN WILLIS LETTER INFORMING THE COURT THERE IS NO OBJECTION TO MOTION TO EXCEED

02/29/2008 HEARING - MOTION TO ENFORCE SCHEDULED FOR 04/08/2008 @ 9:30 in Room No. 1 MOTION TO DISMISS

03/10/2008 Party(s): R.J.REYNOLDS TOBACCO COMPANY, INC. OTHER FILING - OTHER DOCUMENT FILED ON 03/10/2008 Defendant's Attorney: JOHN PATERSON DEF RJ RENOLD'S FIRST RQUEST FOR ADMISSIONS, FIRST SET OF INTERROGATORIES AND REQUEST FOR DOCUMENTS SERVED ON AAG JENNIFER WILLIS ON 3/7/08.

04/08/2008 HEARING - MOTION TO ENFORCE NOTICE SENT ON 02/29/2008 COPIES TO ATTYS. OF RECORD.

04/08/2008 HEARING - MOTION TO ENFORCE HELD ON 04/08/2008 JOSEPH M JABAR , JUSTICE Defendant's Attorney: JOHN PATERSON Plaintiff's Attorney: JENNIFER ANN WILLIS

04/08/2008 party(s): STATE OF MAINE MOTION - MOTION TO ENFORCE UNDER ADVISEMENT ON 04/08/2008 JOSEPH M JABAR , JUSTICE

04/08/2008 Party(s): R.J.REYNOLDS TOBACCO COMPANY, INC. MOTION - MOTION TO DISMISS UNDER ADVISEMENT ON 04/08/2008 Page 11 of 15 Printed on: 01/23/2009 AUGSC-CV-1997­ DOCKET RECORD

JOSEPH M JABAR , JUSTICE

04/09/2008 Party(s); R.J.REYNOLDS TOBACCO COMPANY, INC. MOTION - MOTION TO ADMIT VISIT. ATTY FILED ON 04/04/2008 Defendant's Attorney: JOHN PATERSON MOTION TO ADMIT PETER BIERSTEKER

04/09/2008 party(s): R.J.REYNOLDS TOBACCO COMPANY, INC. MOTION - MOTION TO ADMIT VISIT. ATTY FILED ON 04/04/2008 Defendant's Attorney: JOHN PATERSON MOTION TO ADMIT NOEL FRANCISCO

OS/20/2008 Party(s); R.J.REYNOLDS TOBACCO COMPANY, INC. MOTION - MOTION TO ADMIT VISIT. ATTY GRANTED ON 05/05/2008 JOSEPH M JABAR , JUSTICE COPIES TO PARTIES/COUNSEL

OS/20/2008 Party(s): R.J.REYNOLDS TOBACCO COMPANY, INC. MOTION - MOTION TO ADMIT VISIT. ATTY GRANTED ON 05/05/2008 JOSEPH M JABAR , JUSTICE COPIES TO PARTIES/COUNSEL

OS/20/2008 party(s): R.J.REYNOLDS TOBACCO COMPANY, INC. MOTION - MOTION TO DISMISS DENIED ON OS/20/2008 JOSEPH M JABAR , JUSTICE COPIES TO PARTIES/COUNSEL

OS/20/2008 ORDER - COURT ORDER ENTERED ON OS/20/2008 JOSEPH M JABAR • JUSTICE DEFENDANT'S MOTION TO DISMISS IS DENIED. COPIES TO PARTIES/COUNSEL

06/19/2008 Party(s); R.J.REYNOLDS TOBACCO COMPANY, INC. OTHER FILING - OTHER DOCUMENT FILED ON 06/09/2008 Defendant's Attorney: JOHN PATERSON NOTICE OF DEPOSITION OF PLAINTIFF STATE OF MAINE SERVED ON JENNIFER WILLIS, AAG ON 6/5/08

07/08/2008 HEARING - PRETRIAL/STATUS SCHEDULED FOR 08/06/2008 @ 8:30 JOSEPH M JABAR , JUSTICE

07/08/2008 HEARING - PRETRIAL/STATUS NOTICE SENT ON 07/08/2008

07/17/2008 Party(s): R.J.REYNOLDS TOBACCO COMPANY, INC. ATTORNEY - RETAINED ENTERED ON 07/17/2008 Defendant's Attorney: JOHN PATERSON

07/17/2008 Party{s): STATE OF MAINE ATTORNEY - RETAINED ENTERED ON 07/17/2008 Plaintiff's Attorney: JENNIFER ANN WILLIS

07/17/2008 HEARING - PRETRIAL/STATUS SCHEDULED FOR 08/06/2008 @ 8:30 in Room No. 2

07/17/2008 HEARING - PRETRIAL/STATUS NOTICE SENT ON 07/17/2008 Page 12 of 15 Printed on: 01/23/200 AUGSC-CV-1997-00134 DOCKET RECORD

07/22/2008 Party(s): R.J.REYNOLDS TOBACCO COMPANY, INC. OTHER FILING - OTHER DOCUMENT FILED ON 07/21/2008 Defendant's Attorney: JOHN PATERSON FIRST AMENDED NOTICE OF RULE 30(B) (6) DEPOSITION TO PLAINTIFF STTE OF MAINE SERVED ON JENNIFER WILLIS, AAG ON 7/16/08.

08/04/2008 Party{s): STATE OF MAINE,COMMISSIONER OF DHHS LETTER - FROM PARTY FILED ON 08/01/2008 Plaintiff's Attorney: JENNIFER ANN WILLIS LETTER REGARDING DISCOVERY ISSUE.

08/04/2008 Party{s): R.J.REYNOLDS TOBACCO COMPANY, INC. LETTER - FROM PARTY FILED ON 08/04/2008 Defendant's Attorney: JOHN PATERSON LETTER REGARDING DISCOVERY ISSUES.

08/04/2008 party{s): R.J.REYNOLDS TOBACCO COMPANY, INC. MOTION - MOTION TO ADMIT VISIT. ATTY FILED ON 08/04/2008 Defendant's Attorney: JOHN PATERSON WITH PROPOSED ORDER.

08/08/2008 HEARING - PRETRIAL/STATUS HELD ON 08/06/2008 JOSEPH M JABAR , JUSTICE TELEPHONE CONFERENCE WITH ATTYS. OF RECORD. MOTION TO ENFORCE HEARING SET FOR SEPTEMBER 25,26 AT 8:30.

08/11/2008 HEARING - PRETRIAL/STATUS HELD ON 08/06/2008 BY PHONE

08/11/2008 Party(s): R.J.REYNOLDS TOBACCO COMPANY, INC. MOTION - MOTION TO ADMIT VISIT. ATTY GRANTED ON 08/06/2008 JOSEPH M JABAR , JUSTICE COPIES TO PARTIES/COUNSEL

08/11/2008 ORDER - COURT ORDER ENTERED ON 08/07/2008 JOSEPH M JABAR , JUSTICE BY AGREEMENT OF THE PARTIES A HEARING WILL BE HELD IN KENNEBEC SUPERIOR COURT ON SEPTEMBER 25 AND 26. THE PARTIES SHALL EXCHANGE WITNESS AND EXHIBITS LISTS BY AUGUST 29, 2008. THE PARTIES ALSO AGREED TO WORK OUT SOME DISCOVERT DISPUTES; HOWEVER, IN THE EVENT THE PARTIES CANNOT WORK OUT DISPUTES, THEN THE PARTIES SHALL QUICKLY NOTIFIY THE COURT. COPIES TO ATTYS. OF RECORD.

08/11/2008 HEARING - MOTION TO ENFORCE SCHEDULED FOR 09/25/2008 @ 8:30 in Room No. 2

08/12/2008 party(s): STATE OF MAINE,COMMISSIONER OF DHHS LETTER - FROM PARTY FILED ON 08/11/2008 Plaintiff's Attorney: JENNIFER ANN WILLIS LETTER REGARDING TRIAL

08/14/2008 HEARING - OTHER MOTION SCHEDULED FOR 09/02/2008 @ 9:00 in Room No. 2 REQUEST A JURY TRIAL

Page 13 of 15 Printed on: 01/23/2009 AUGSC-CV-1997-00134 DOCKET RECORD

08/14/2008 HEARING - OTHER MOTION NOTICE SENT ON 08/14/2008 ORAL ARGUMENTS

08/18/2008 HEARING - OTHER MOTION CONTINUED ON 08/18/2008 REQUEST A JURY TRIAL

08/18/2008 HEARING - OTHER MOTION SCHEDULED FOR 09/04/2008 @ 8:15 in Room No. 2 ORAL ARGUMENTS

08/18/2008 HEARING - OTHER MOTION NOTICE SENT ON 08/18/2008 ORAL ARGUMENTS

08/21/2008 Party(s): STATE OF MAINE OTHER FILING - OTHER DOCUMENT FILED ON 08/20/2008 Plaintiff's Attorney: JENNIFER ANN WILLIS PLAINTIFF'S FIRST REQUEST FOR ADMISSIONS; PLAINITFF'S FIRST SET OF INTERROGATORIES AND PLAINTIFF'S FIRST REQUEST FOR PRODUCTION OF DOCUMENTS SERVED ON PETER BIERTEKER, ESQ. AND JOHN PATERSON, ESQ. ON 8/19/08.

09/02/2008 Party(s): STATE OF MAINE OTHER FILING - OPPOSING MEMORANDUM FILED ON 08/28/2008 Plaintiff's Attorney: JENNIFER ANN WILLIS TO DEFENDANT'A REQUEST TO STRIKE PLAINTIFF'S REQUESTED MONETARY SANCTIONS OR FOR A JURY TRIAL

09/02/2008 Party(s): R.J.REYNOLDS TOBACCO COMPANY, INC. OTHER FILING - REPLY MEMORANDUM FILED ON 09/02/2008 S/BEACH, ESQ

09/03/2008 MOTION - MOTION TO ADMIT VISIT. ATTY FILED ON 09/03/2008 Defendant's Attorney: JOHN PATERSON WITH PROPOSED ORDER.

09/04/2008 HEARING - OTHER MOTION HELD ON 09/04/2008 JOSEPH M JABAR , JUSTICE Defendant's Attorney: JOHN PATERSON Plaintiff's Attorney: JENNIFER ANN WILLIS ORAL ARGUMENTS CHRISTOPHER TAUB, NOEL FRANCISCO, ESQ. AND JEFFREY BEACH, ESQ. TAPE 1017 INDEX 3841-6386

09/05/2008 ORDER - COURT ORDER ENTERED ON 09/05/2008 JOSEPH M JABAR , JUSTICE DEFENDANT'A MOTION TO STRIKE THE STATE'S REQUEST FOR CIVIL SANCTIONS IS GRANTED;THE STATE'S REQUEST FOR CIVIL SANCTIONS OF $100.00 PER ISSUE OF ROLLING STONE MAGAZINE 40TH ANNIVERSARY ISSUE DISTRIBUTED IN MAINE AND FOR REYNOLDS' WEBSITES RELATED TO THE FORM ADVERTISING AND PROMOTION, IS STRIKEN. COPIES TO ATTYS. OF RECORD.

09/05/2008 MOTION - MOTION TO ADMIT VISIT. ATTY GRANTED ON 09/05/2008 JOSEPH M JABAR , JUSTICE COPIES TO PARTIES/COUNSEL

09/09/2008 Party(s): R.J.REYNOLDS TOBACCO COMPANY, INC. OTHER FILING - OTHER DOCUMENT FILED ON 09/09/2008 Page 14 of 15 Printed on: 01/23/2009 1 AUGSC-CV-1997-00134 DOCKET RECORD

Defendant's Attorney: JOHN PATERSON NOTICE OF DEPOSITION OF BECCA MATUSOVICH AND NOTICE OF DEPOSITION OF ROBERT COTT SERVED ON JENNIFER WILLIS, AAG ON 9/8/08.

09/16/2008 Party(s): R.J.REYNOLDS TOBACCO COMPANY, INC. OTHER FILING - OTHER DOCUMENT FILED ON 09/16/2008 Defendant's Attorney: JOHN PATERSON DEFENDANT'S RESPONSES TO PLAINTIFF'S FIRST REQUEST FOR ADMDISSIONS; DEFENDANT'S RESPONSES TO PLAINTIFF'S FIRST SET OF INTERROGATORIES AND DEFENDANT'S ANSWERS TO PLAINTIFF'S FIRST REQUEST FOR PRODUCTION OF DOCUMENTS SERVED ON JENNIFER WILLIS, ESQ. ON 8/15/08.

09/18/2008 party(s): STATE OF MAINE,COMMISSIONER OF DHHS OTHER FILING - OTHER DOCUMENT FILED ON 09/18/2008 Plaintiff's Attorney: JENNIFER ANN WILLIS PLAINTIFF'S FIRST REQUEST TO DEFENDANT'S SUPPLEMENTAL INTERROGATORIES SERVED ON PETER BIERSTEKER, ESQ AND GEOFFREY BEACH, ESQ. ON 9/15/08. PLAINTIFF'S FIRST SUPPLEMENTAL RESPONSE TO DEFENDANT'S FIRST SET OF INTERROGATORIES AND PLIANTIFF'S SECOND CORRECTED AMENDED EXHIBIT DESIGNATION SERVED ON JOHN PATERSON, ESQ. ON 9/15/08.

09/23/2008 Party(s): R.J.REYNOLDS TOBACCO COMPANY, INC. OTHER FILING - OTHER DOCUMENT FILED ON 09/23/2008 Defendant's Attorney: JOHN PATERSON PRETRIAL BRIEF AND PROPOSED FINDINGS OF FACT AND CONCLUSION OF LAW.

09/25/2008 HEARING - MOTION TO ENFORCE HELD ON 09/25/2008 JOSEPH M JABAR , JUSTICE ATTYS. OF RECORD. NO COURTROOM CLERK

01/23/2009 ORDER - COURT ORDER ENTERED ON 01/21/2009 JOSEPH M JABAR , JUSTICE ORDERED INCORPORATED BY REFERENCE AT THE SPECIFIC DIRECTION OF THE COURT. COPIES TO PARTIES/COUNSEL

A TRUE COpy ATTEST: Clerk

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