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10/20/2026\n 10/20/26 Page 1 of 11\n\n\n\n\n United States Court of Appeals\n for the Fifth Circuit\n United States Court of Appeals\n Fifth Circuit\n\n\n ____________\n FILED\n October 16, 2026\n\n No. 25-50855 Thomas B. Plunkett, III\n ____________ Clerk\n\n Mohammad Bozorgi; Ken Calderone; Manohar K. Rao,\n Individually and on Behalf of All Others Similarly Situated; All persons\n or entities who, between September 14, 2020 and October\n 12, 2023, purchased or otherwise acquired Cassava\n Sciences, Inc. securities,\n\n Plaintiffs\u2014Appellees,\n\n versus\n\n Cassava Sciences, Incorporated; Remi Barbier; Eric J.\n Schoen; Lindsay Burns,\n\n Defendants\u2014Appellants.\n ______________________________\n\n Appeal from the United States District Court\n for the Western District of Texas\n USDC No. 1:21-CV-751\n ______________________________\n\n Before Willett, Engelhardt, and Douglas, Circuit Judges.\n Kurt D. Engelhardt, Circuit Judge:\n A group of investors allege Cassava Sciences and its executives\n misrepresented the success of Cassava\u2019s experimental Alzheimer\u2019s drug\n \u201csimufilam,\u201d defrauding investors under sections 10(b) and 20(a) of the\n Securities Exchange Act and Rule 10b-5. The district court certified a class\n of \u201c[a]ll purchasers or acquirers\u201d of Cassava securities between September\n\f Case:\nCase 25-50855 Document:\n 1:21-cv-00751-DAE 113 404\n Document Page:Filed\n 2 Date Filed: 10/20/2026\n 10/20/26 Page 2 of 11\n\n\n\n No. 25-50855\n\n\n 14, 2020, and October 12, 2023. According to defendants, the class period\n covers the rise of the \u201cmeme-stock phenomenon\u201d\u2014where retail traders use\n social media platforms to fuel collective trading behavior, driving stock prices\n up or down in ways \u201cuntethered from company fundamentals or broader\n market trends.\u201d Defendants appealed the class certification order, arguing\n Cassava faced \u201cmeme-stock dynamics\u201d that should have defeated class\n certification. Because the district court misapplied legal standards while\n assessing Rule 23(b)(3)\u2019s predominance requirement, we VACATE the\n class certification order and REMAND.\n I.\n Cassava Sciences is a biopharmaceutical company developing drugs to\n treat neurodegenerative diseases like Alzheimer\u2019s. The company developed\n its experimental Alzheimer\u2019s product, simufilam, in 2011. Following an\n efficacy study yielding unsuccessful simufilam results in May 2020,\n Cassava\u2019s stock price dropped.\n From there, plaintiffs allege defendants defrauded investors in\n promoting simufilam \u201cby concealing facts that undermined the integrity of\n Cassava\u2019s research.\u201d Defendants allegedly \u201camplified simufilam\u2019s\n ostensibly promising results,\u201d while failing to acknowledge data\n manipulation, research anomalies, and conflicts of interest. Plaintiffs allege\n that defendants touted the effectiveness of simufilam in press releases, SEC\n filings, and scientific journals. As alleged, each public statement caused\n Cassava\u2019s stock price to skyrocket. But after various disclosures negating\n simufilam\u2019s success, Cassava\u2019s stock price plummeted. Plaintiffs filed\n securities fraud claims against the company and several executives. 1\n\n _____________________\n 1\n The SEC also brought securities fraud charges against defendants Cassava,\n Barbier, and Burns. The defendants settled and must pay civil penalties.\n\n\n\n\n 2\n\f Case:\nCase 25-50855 Document:\n 1:21-cv-00751-DAE 113 404\n Document Page:Filed\n 3 Date Filed: 10/20/2026\n 10/20/26 Page 3 of 11\n\n\n\n No. 25-50855\n\n\n Plaintiffs first moved to certify an investor class in March 2024, and\n the magistrate judge recommended the district court grant the motion. After\n the magistrate judge\u2019s Report and Recommendation, defendants filed a\n Daubert motion to exclude one of plaintiffs\u2019 experts, and plaintiffs moved to\n strike that motion as untimely. The district court denied the original class\n certification motion without prejudice due to changed circumstances, struck\n defendants\u2019 Daubert motion as untimely, and granted plaintiffs leave to file\n an amended complaint. The court ordered that plaintiffs should refile their\n motion for class certification but directed the parties to present \u201c[n]o new\n arguments, evidence, or non-existing briefing.\u201d Most relevant to this appeal,\n the existing evidence included economic expert reports from Dr. Steven P.\n Feinstein (for plaintiffs) and Dr. Rene M. Stulz (for defendants). The district\n court certified the class, appointed plaintiffs as class representatives, and\n appointed class counsel.\n Defendants petitioned to appeal the class certification order under\n Rule 23(f), which our court granted. Fed. R. Civ. P. 23(f) (permitting\n petition for interlocutory appeal from order granting or denying class\n certification). On appeal, defendants assert numerous challenges to the\n district court\u2019s analysis of Rule 23\u2019s certification prerequisites, along with\n other procedural errors.\n II.\n One jurisdictional matter comes first. After defendants filed this Rule\n 23(f) appeal, the parties mediated a binding settlement agreement. 2 Plaintiffs\n _____________________\n 2\n Plaintiffs ask the court to take judicial notice of three documents relevant to the\n settlement: (1) a Notice of ADR/Mediation Outcome, filed in the district court; (2)\n Cassava\u2019s Form 8-K, filed with the SEC; and (3) a December 2025 Cassava press release\n announcing the settlement. The ADR Notice and the Form 8-K are judicially noticeable\n matters of public record. Fed. R. Evid. 201(b)(2); In re Deepwater Horizon, 934 F.3d\n 434, 440 (5th Cir. 2019) (court filings); Lovelace v. Software Spectrum Inc., 78 F.3d 1015,\n\n\n\n\n 3\n\f Case:\nCase 25-50855 Document:\n 1:21-cv-00751-DAE 113 404\n Document Page:Filed\n 4 Date Filed: 10/20/2026\n 10/20/26 Page 4 of 11\n\n\n\n No. 25-50855\n\n\n argue the binding class settlement moots this action, invoking Article III\u2019s\n familiar cases and controversies jurisdictional limit. They suggest each of the\n defendants \u201cwill be given permanent peace after the Settlement\u2019s final\n approval in the district court.\u201d Plaintiffs\u2019 use of the future tense reveals the\n flaw in their mootness argument. Rule 23(e) requires court approval of a class\n settlement. Fed. R. Civ. P. 23(e). And a \u201csettlement that can take effect\n only with court approval does not moot an action unless the court grants\n approval.\u201d 13B Charles Alan Wright, Arthur R. Miller &\n Edward H. Cooper, Federal Practice & Procedure \u00a7 3533.2\n (3d ed. 2026); In re Asbestos Litig., 90 F.3d 963, 988 (5th Cir. 1996) (\u201cThe\n Supreme Court has stated that the existence of a proposed settlement does\n not render an action moot where judicial approval of the settlement is\n required before the settlement will bind the parties.\u201d (citing Havens Realty\n Corp. v. Coleman, 455 U.S. 363, 371 n.10 (1982))), vacated on other grounds by\n Ortiz v. Fibreboard Corp., 521 U.S. 1114 (1997) (mem).\n At oral argument, plaintiffs argued the proposed settlement\u2019s non-\n approval does not matter\u2014the agreement is binding on defendants. So, in\n their view, the 23(f) appeal is moot.But settlement approval requires a\n certified class\u2014whether previously certified or certified for settlement\n purposes. Fed. R. Civ. P. 23(e). And the parties\u2019 settlement itself carves\n out this appeal. Stipulation of Settlement at 41, In re Cassava Scis., Inc. Sec.\n Litig., No. 21-cv-00751 (W.D. Tex. June 18, 2026), Dkt. No. 381-1 (agreeing\n to stay proceedings apart from this appeal). We will not opine on the\n settlement\u2019s effect on the remaining district court proceedings. A live\n\n _____________________\n 1018 & n.1 (5th Cir. 1996) (SEC-required public disclosure documents). We need not\n address whether the press release is judicially noticeable because the relevant information\n is contained in the other two documents. We GRANT IN PART and DENY IN PART\n plaintiffs\u2019 motion for judicial notice.\n\n\n\n\n 4\n\f Case:\nCase 25-50855 Document:\n 1:21-cv-00751-DAE 113 404\n Document Page:Filed\n 5 Date Filed: 10/20/2026\n 10/20/26 Page 5 of 11\n\n\n\n No. 25-50855\n\n\n controversy remains, and we reject plaintiffs\u2019 request to dismiss the appeal\n as moot or hold it in abeyance until the district court rules on the proposed\n settlement.\n On to the thrust of this appeal: the propriety of the district court\u2019s\n class certification order.\n III.\n \u201cWe review class certification orders for abuse of discretion,\n recognizing the \u2018essentially factual basis of the certification inquiry and of the\n district court\u2019s inherent power to manage and control pending litigation.\u2019\u201d\n Kincannon v. United Airlines, Inc., 168 F.4th 713, 721 (5th Cir. 2026) (quoting\n Sampson v. United Servs. Auto. Ass\u2019n, 83 F.4th 414, 418 (5th Cir. 2023)). If\n the district court has premised \u201cits legal analysis on an erroneous\n understanding of governing law, it has abused its discretion.\u201d Sampson, 83\n F.4th at 419 (citation modified).\n \u201cCertification requires plaintiffs to satisfy all requirements of Rule\n 23(a)\u2014numerosity, commonality, typicality, and adequacy\u2014and at least one\n of the three requirements listed in Rule 23(b).\u201d Id. at 418 (citing Wal-Mart\n Stores, Inc. v. Dukes, 564 U.S. 338, 345\u201346 (2011)). In a Rule 23(b)(3) class\n action, like this one, \u201cquestions of law or fact common to class members\n [must] predominate\u201d over individualized questions and the class action must\n be \u201csuperior to other available methods\u201d of adjudication. See Fed. R. Civ.\n P. 23(b)(3). We start and end with predominance here, concluding the\n district court abused its discretion by applying an incorrect legal standard.\n A.\n The predominance inquiry begins with the \u201celements of the\n underlying cause of action.\u201d Erica P. John Fund, Inc. v. Halliburton Co.\n (Halliburton I), 563 U.S. 804, 809 (2011). Section 10(b) and Rule 10b-5\n\n\n\n\n 5\n\f Case:\nCase 25-50855 Document:\n 1:21-cv-00751-DAE 113 404\n Document Page:Filed\n 6 Date Filed: 10/20/2026\n 10/20/26 Page 6 of 11\n\n\n\n No. 25-50855\n\n\n claims require: (1) a material misrepresentation or omission; (2) scienter; (3)\n a connection between the misrepresentation or omission and the purchase or\n sale of a security; (4) reliance on the misrepresentation or omission; (5)\n economic loss; and (6) loss causation. 3 Id. at 809\u201310 (citing Matrixx\n Initiatives, Inc. v. Siracusano, 563 U.S. 27, 37\u201338 (2011)). \u201cWhether common\n questions of law or fact predominate in a securities fraud action often turns\n on the element of reliance.\u201d Id. This case is no exception.\n In this securities-fraud context, \u201cplaintiffs may show reliance on a\n defendant\u2019s misrepresentations\u2014and therefore satisfy [Rule] 23(b)(3)\u2019s\n predominance requirement\u2014by invoking the Basic presumption[.]\u201d Ga.\n Firefighters\u2019 Pension Fund v. Anadarko Petroleum Corp., 99 F.4th 770, 773 (5th\n Cir. 2024) (citing Basic Inc. v. Levinson, 485 U.S. 224, 247 (1988)). Basic\n \u201callows courts to presume \u2018an investor\u2019s reliance on any public material\n misrepresentations\u2019 if certain requirements are met.\u201d Id. (quoting Basic, 485\n U.S. at 247). The Basic presumption\u2019s fraud-on-the-market theory\n encompasses the understanding that (A) \u201cthe market price of shares traded\n on well-developed markets reflects all publicly available information, and,\n hence, any material misrepresentations,\u201d and (B) that \u201can investor relies on\n public misstatements whenever he \u2018buys or sells stock at the price set by the\n market.\u2019\u201d Halliburton I, 563 U.S. at 811 (quoting Basic, 485 U.S. at 244, 246\u2013\n 47). To avail themselves of the rebuttable presumption, plaintiffs must first\n prove (1) \u201cthe alleged misrepresentation was publicly known;\u201d (2) \u201cit was\n material;\u201d (3) \u201cthe stock traded in an efficient market;\u201d and (4) \u201cthe\n\n _____________________\n 3\n Section 20(a) control liability claims exist only with a primary violation of, for\n example, section 10(b). See Alaska Elec. Pension Fund v. Flotek Indus., Inc., 915 F.3d 975,\n 981, 986 (5th Cir. 2019) (concluding section 20(a) claim failed because plaintiffs had not\n pleaded a violation of section 10(b) and \u201c[c]ontrol person liability [under section 20(a)] is\n secondary only and cannot exist in the absence of a primary violation\u201d (citing Southland\n Sec. Corp. v. INSpire Ins. Sols., Inc., 365 F.3d 353, 383 (5th Cir. 2004)).\n\n\n\n\n 6\n\f Case:\nCase 25-50855 Document:\n 1:21-cv-00751-DAE 113 404\n Document Page:Filed\n 7 Date Filed: 10/20/2026\n 10/20/26 Page 7 of 11\n\n\n\n No. 25-50855\n\n\n plaintiff traded the stock between the time the misrepresentation was made\n and when the truth was revealed.\u201d Ga. Firefighters\u2019 Pension Fund, 99 F.4th at\n 773 (citation modified).\n We zero-in on the efficient market element here. \u201cAbsent an efficient\n market, individual reliance by each plaintiff must be proven, and the\n proposed class will fail the predominance requirement.\u201d Unger v. Amedisys\n Inc., 401 F.3d 316, 322 (5th Cir. 2005) (citation omitted). The market\n efficiency determination demands a \u201crigorous, though preliminary,\n standard[] of proof.\u201d Id. (collecting cases). Basic counsels that efficient\n markets incorporate publicly available information in stock price. Basic, 485\n U.S. at 246\u201347; Amgen Inc. v. Conn. Ret. Plans & Tr. Funds, 568 U.S. 455, 461\n (2013) (\u201cThe fraud-on-the-market theory rests on the premise that certain\n well[-]developed markets are efficient processors of public information.\u201d);\n Unger, 401 F.3d at 324 (\u201cIn an efficient market, where information is nearly\n perfect, material misstatements alter a stock\u2019s price almost immediately.\u201d).\n To assess whether the market for a particular security does so, our court often\n assesses the Cammer/Krogman factors:\n (1) the average weekly trading volume expressed as a\n percentage of total outstanding shares; (2) the number of\n securities analysts following and reporting on the stock; (3) the\n extent to which market makers and arbitrageurs trade in the\n stock; (4) the company\u2019s eligibility to file SEC registration\n Form S\u20133 (as opposed to Form S\u20131 or S\u20132); (5) the existence\n of empirical facts showing a cause and effect relationship\n between unexpected corporate events or financial releases and\n an immediate response in the stock price; (6) the company\u2019s\n market capitalization; (7) the bid-ask spread for stock sales; and\n (8) float, the stock\u2019s trading volume without counting insider-\n owned stock.\n\n\n\n\n 7\n\f Case:\nCase 25-50855 Document:\n 1:21-cv-00751-DAE 113 404\n Document Page:Filed\n 8 Date Filed: 10/20/2026\n 10/20/26 Page 8 of 11\n\n\n\n No. 25-50855\n\n\n Unger, 401 F.3d at 323 (citation modified) (outlining first five factors from\n Cammer v. Bloom, 711 F. Supp. 1264, 1286\u201387 (D.N.J. 1989), and remaining\n three factors from Krogman v. Sterritt, 202 F.R.D. 467, 477\u201378 (N.D. Tex.\n 2001)). But the Cammer/Krogman factors are not exhaustive. Id. Courts must\n analytically weigh these \u201ctools for gauging market efficiency,\u201d instead of\n simply counting them. Id.; Bratya SPRL v. Bed Bath & Beyond Corp., 752 F.\n Supp. 3d 34, 54 (D.D.C. 2024) (recognizing Cammer/Krogman factors are a\n tool \u201cprobative of informational efficiency\u201d).\n Critically, courts must consider all evidence for and against market\n efficiency in assessing whether the Basic presumption applies. See Unger, 401\n F.3d at 325 (\u201cBecause Rule 23 mandates a complete analysis of \u2018fraud on the\n market\u2019 indicators, district courts must address and weigh factors both for\n and against market efficiency.\u201d); In re Petrobras Sec., 862 F.3d 250, 277 (2d\n Cir. 2017) (endorsing \u201cholistic analysis\u201d of market efficiency \u201cbased on the\n totality of the evidence presented\u201d); Local 703, I.B. of T. Grocery & Food\n Emps. Welfare Fund v. Regions Fin. Corp., 762 F.3d 1248, 1254\u201355 (11th Cir.\n 2014) (recognizing \u201cflexibility to make the fact-intensive [market efficiency]\n inquiry on a case-by-case basis\u201d considering \u201cnew factors yet unknown\u201d that\n \u201cmarket theorists might consider to indicate market efficiency\u201d).\n B.\n The district court rejected defendants\u2019 \u201cmeme stock argument\u201d as\n \u201clegally and factually inaccurate.\u201d As a matter of law, the district court noted\n that \u201cno Fifth Circuit case law\u201d directs courts to avoid the Cammer/Krogman\n factors \u201cwhen the defendant argues that the stock was a meme stock.\u201d And,\n as a matter of fact, it rejected the notion that Cassava was a meme stock\n because defendants\u2019 expert Stulz never explicitly opined that it was one or\n that it traded in an inefficient market. The district court relied on plaintiffs\u2019\n expert Feinstein\u2019s opinion and, without analysis, concluded the meme stock\n\n\n\n\n 8\n\f Case:\nCase 25-50855 Document:\n 1:21-cv-00751-DAE 113 404\n Document Page:Filed\n 9 Date Filed: 10/20/2026\n 10/20/26 Page 9 of 11\n\n\n\n No. 25-50855\n\n\n argument \u201cis unsupported and moot.\u201d From there, the district court ticked\n through each Cammer/Krogman factor and concluded Cassava traded in an\n efficient market. The district court\u2019s approach misapplied the legal standard\n by failing to evaluate evidence of market inefficiency and rejecting\n defendants\u2019 meme-stock-dynamics argument out of hand. See Unger, 401\n F.3d at 325 (requiring \u201ccomplete analysis of \u2018fraud on the market\u2019\n indicators\u201d). Properly applied, the district court would have addressed and\n weighed \u201cfactors both for and against market efficiency.\u201d Id. (emphasis\n added).\n The error of the district court\u2019s approach is illuminated by record\n evidence that could suggest market inefficiency\u2014like price volatility in the\n absence of news and short selling constraints. \u201c[I]n an efficient market, a\n stock\u2019s price remains relatively stable in the absence of news, and changes\n very rapidly as the market receives new and unexpected information.\u201d\n Krogman, 202 F.R.D. at 477. Stulz opined on Cassava\u2019s price volatility in the\n absence of news and in the face of meme-stock dynamics, comparing Cassava\n stock to well-recognized meme stocks like AMC and GameStop. Such\n evidence undermines Basic\u2019s key premise that the stock was incorporating\n information efficiently. See Bratya SPRL, 752 F. Supp. 3d at 58 (noting that\n high trading volume could indicate stock price inflation \u201cwithout any regard\n to value-relevant information\u201d and that the relevant inquiry is \u201cwhether its\n stock price was information efficient\u201d (citation modified)); cf. also\n Halliburton Co. v. Erica P. John Fund, Inc. (Halliburton II), 573 U.S. 258, 272\n (2014) (recognizing that it is not stock price inaccuracy alone that is\n important but the effect of false statements on price).\n What\u2019s more, short selling constraints provide \u201cindirect evidence of\n market inefficiency.\u201d Bratya SPRL, 752 F. Supp. 3d at 59 (quoting Smilovits\n v. First Solar, Inc., 295 F.R.D. 423, 434 (D. Ariz. 2013)). As Stulz explained,\n short selling constraints \u201cimpede market efficiency by . . . hindering the\n\n\n\n 9\n\f Case:\nCase 25-50855 Document:\n 1:21-cv-00751-DAE 113 404\n Document Page:Filed\n 10 10/20/26\n Date Filed: Page\n 10/20/2026\n 10 of 11\n\n\n\n No. 25-50855\n\n\n process by which information is incorporated into prices.\u201d Stulz opined\n about various short selling constraints affecting Cassava stock, such as the\n utilization rate peaking at over 93 percent during the class period and high\n borrowing costs peaking at 67 percent. These short selling constraints\n provide evidence that Cassava\u2019s market may have inefficiently processed\n information. See id. at 59\u201360 (noting short utilization rate near 100 percent\n during the class period was evidence that stock was not informationally\n efficient and borrowing costs peaking at 50 percent during the class period\n \u201climited arbitrageurs from translating negative information into [stock]\n price\u201d).\n Although the district court is tasked with considering the \u201cessentially\n factual basis of the certification inquiry,\u201d Kincannon, 168 F.4th at 721\n (internal quotation marks and citation omitted), the district court adopted\n Feinstein\u2019s conclusions without engaging with defendants\u2019 evidence. It\n instead faulted defendants\u2019 expert for not expressly concluding Cassava was\n a meme stock and that the market was inefficient. But Stulz explained in his\n deposition that Cassava \u201cmay have been influenced by the meme\n phenomenon,\u201d based on a \u201cnumber of indicia.\u201d The district court\u2019s\n approach is divorced from the \u201crigorous\u201d assessment of all the evidence\n required when assessing market efficiency. See Unger, 401 F.3d at 322, 325;\n Bratya SPRL, 752 F. Supp. 3d at 60 (recognizing \u201cindirect evidence of\n market inefficiency\u201d should \u201cbe weighed against the indirect evidence of\n market efficiency that plaintiffs present\u201d (citation modified)). By declining\n to evaluate defendants\u2019 evidence of market inefficiency in favor of a default\n application of the Cammer/Krogman factors, the district court abused its\n discretion. See Sampson, 83 F.4th at 419 (explaining district court abuses\n discretion by premising \u201clegal analysis on an erroneous understanding of\n governing law\u201d (internal quotation marks and citation omitted)). We make\n\n\n\n\n 10\n\f Case:\nCase 25-50855 Document:\n 1:21-cv-00751-DAE 113 404\n Document Page:Filed\n 11 10/20/26\n Date Filed: Page\n 10/20/2026\n 11 of 11\n\n\n\n No. 25-50855\n\n\n no judgment about whether Cassava, based on that evidence, traded in an\n efficient or inefficient market.\n * * *\n\n The parties raise other significant questions that we decline to resolve\n in this appeal. The skids are greased for the district court to address those\n issues on remand. Predominance in a section 10(b) securities fraud case often\n turns on reliance, shown through the Basic presumption. But in assessing\n Basic\u2019s requirement that the relevant securities traded in an efficient market,\n we reiterate that courts must assess evidence of both market efficiency and\n market inefficiency. The Cammer/Krogman factors are merely a tool to that\n end, not the whole project. We VACATE the class certification order and\n REMAND for proceedings consistent with this opinion. We also GRANT\n IN PART and DENY IN PART plaintiffs\u2019 motion for judicial notice,\n consistent with footnote 2.\n\n\n\n\n 11\n\f","ocr_status":2,"date_upload":"2026-10-21T09:21:40.714227-07:00","document_number":"404","attachment_number":null,"pacer_doc_id":"181037644943","is_available":true,"is_free_on_pacer":null,"is_sealed":null,"document_type":1,"description":"USCA Order (NOT Judgment/Mandate)","acms_document_guid":""}],"date_created":"2026-10-20T14:06:23.946917-07:00","date_modified":"2026-10-29T08:25:52.963474-07:00","date_filed":"2026-10-20","time_filed":"15:27:01","entry_number":404,"recap_sequence_number":"2026-10-20.001","pacer_sequence_number":1520,"description":"USCA, Fifth Circuit Reissued Opinion as Published. [Mandate issuance date: 11/6/2026]. (cnr) (Entered: 10/20/2026)","tags":[]},{"resource_uri":"https://www.courtlistener.com/api/rest/v4/docket-entries/481004331/","id":481004331,"docket":"https://www.courtlistener.com/api/rest/v4/dockets/60318072/","recap_documents":[{"resource_uri":"https://www.courtlistener.com/api/rest/v4/recap-documents/496725510/","id":496725510,"tags":[],"absolute_url":"/docket/60318072/403/in-re-cassava-sciences-inc-securities-litigation/","date_created":"2026-10-08T14:09:33.829168-07:00","date_modified":"2026-10-12T12:01:52.567480-07:00","sha1":"dd519b43714b8a379633eabc548ccf739383b55e","page_count":3,"file_size":97546,"filepath_local":"recap/gov.uscourts.txwd.1145175/gov.uscourts.txwd.1145175.403.0_2.pdf","filepath_ia":"https://archive.org/download/gov.uscourts.txwd.1145175/gov.uscourts.txwd.1145175.403.0.pdf","ia_upload_failure_count":null,"thumbnail":null,"thumbnail_status":0,"plain_text":" Case 1:21-cv-00751-DAE Document 403 Filed 10/08/26 Page 1 of 3\n\n\n\n\n UNITED STATES DISTRICT COURT\n WESTERN DISTRICT OF TEXAS\n AUSTIN DIVISION\n\n IN RE CASSAVA SCIENCES, INC. Master File No. 1:21-cv-00751-DAE\n SECURITIES LITIGATION\n CONSOLIDATED CLASS ACTION\n\n\n CARLOS P\u00c9REZ-COTAPOS UGARTE, Case No. 1:24-cv-01525-DAE\n et al.,\n Plaintiffs\n v. CLASS ACTION\n\n CASSAVA SCIENCES, INC., et al.,\n Defendants\n\n ORDER\n\n Now before the Court is the parties\u2019 Joint Status Report and Request for Scheduling\n\nConference, filed September 14, 2026 (Dkt. 401 in 1:21-cv-00751-DAE; Dkt. 109 in 1:24-cv-\n\n1525-DAE). The Honorable David A. Ezra referred the request for scheduling conference to this\n\nMagistrate Judge for disposition, pursuant to 28 U.S.C. \u00a7 636(b)(1)(A), Federal Rule of Civil\n\nProcedure 72, and Rule 1(c) of Appendix C of the Local Court Rules of the United States District\n\nCourt for the Western District of Texas.\n\n I. Background\n\n On August 12, 2025, Judge Ezra granted the Plaintiffs\u2019 Motion for Class Certification in the\n\nConsolidated Class Action. Dkt. 332 in 1:21-cv-00751-DAE. Defendants appealed that order to\n\nthe Fifth Circuit. The Fifth Circuit heard oral argument on August 3, 2026, and its ruling remains\n\npending. Bozorgi v. Cassava Sciences, No. 25-5085 (5th Cir.).\n\n On June 29, 2026, this Magistrate Judge denied Defendants\u2019 Motion to Consolidate the Ugarte\n\nClass Action into the Consolidated Class Action. Dkt. 384 in 1:21-cv-00751-DAE. Defendants\n\nfiled an Objection to that Order, which is pending before Judge Ezra. Id. at Dkt. 388. Also pending\n\n 1\n\f Case 1:21-cv-00751-DAE Document 403 Filed 10/08/26 Page 2 of 3\n\n\n\n\nbefore Judge Ezra is Plaintiffs\u2019 Motion for an Order Preliminarily Approving Settlement and\n\nProviding for Notice, filed June 18, 2026, which seeks approval of a $31.25 million settlement in\n\nthe Consolidated Action. Id. at Dkt. 380.\n\n On July 24, 2026, Judge Ezra held a status conference to discuss the pending matters in both\n\ncases, then issued an order (1) denying without prejudice the then-pending motions to dismiss in\n\nUgarte, (2) ordering the parties to \u201cconfer regarding the best approach going forward in light of\n\nthe pending appeal and numerous pending motions,\u201d and (3) referring the matter to this Magistrate\n\nJudge to conduct a scheduling conference after the parties\u2019 conferral. Id. at Dkt. 393.\n\n Counsel for Defendants and the Ugarte plaintiffs conferred on August 3, 2026. Id. at Dkt. 401.\n\nThey disagree whether Judge Ezra should wait for the Fifth Circuit to rule on whether the class\n\nwas properly certified in the Consolidated Class Action before ruling on Defendants\u2019 Objection to\n\nthis Magistrate Judge\u2019s Order denying consolidation. Defendants argue that Judge Ezra should\n\nwait for the Fifth Circuit to rule before addressing Defendants\u2019 Objection, while Plaintiffs argue\n\nthat Judge Ezra should not wait. The parties appear to agree that Judge Ezra should defer ruling on\n\nPlaintiffs\u2019 Motion for Preliminary Approval of Settlement and any forthcoming motions to dismiss\n\nuntil after the Fifth Circuit rules on the certification issue.1\n\n II. Order\n\n The Court GRANTS the Request for a Scheduling Conference (Dkt. 401 in 1:21-cv-00751-\n\nDAE; Dkt. 109 in 1:24-cv-1525-DAE) and ORDERS the parties, or counsel of record appearing\n\non their behalf, to appear for a scheduling conference at 2 p.m. November 12, 2026 in Courtroom\n\n6 on the Sixth Floor of the United States Courthouse, 501 West Fifth Street, Austin, Texas 78701.\n\n\n1\n Defendants and the Ugarte plaintiffs also agreed that the Court should first address the Ugarte Plaintiffs\u2019\nMemorandum of Law in Support of Opposed Motion to View Sealed Documents (Dkt. 389 in 1:21-cv-\n00751-DAE; Dkt. 95 in 1:24-cv-1525-DAE). Judge Lane granted that motion three days after the parties\nfiled the Joint Status Report. Dkt. 110 in 1:24-cv-1525-DAE.\n\n 2\n\f Case 1:21-cv-00751-DAE Document 403 Filed 10/08/26 Page 3 of 3\n\n\n\n\n At the Scheduling Conference, the Court will address: (1) the order of consideration of the\n\npending motions (Dkts. 380, 388 in 1:21-cv-00751-DAE) in light of the appeal before the Fifth\n\nCircuit; (2) whether the parties will file any new dispositive motions, and if so, the timing of those\n\nmotions and related briefs; and (3) any other outstanding scheduling issues.\n\n SIGNED on October 8, 2026.\n\n\n SUSAN HIGHTOWER\n UNITED STATES MAGISTRATE JUDGE\n\n\n\n\n 3\n\f","ocr_status":2,"date_upload":"2026-10-08T14:56:36.434782-07:00","document_number":"403","attachment_number":null,"pacer_doc_id":"181037575042","is_available":true,"is_free_on_pacer":null,"is_sealed":null,"document_type":1,"description":"Order on Motion for Hearing","acms_document_guid":""}],"date_created":"2026-10-08T14:09:33.796484-07:00","date_modified":"2026-10-29T08:25:52.935369-07:00","date_filed":"2026-10-08","time_filed":"15:35:11","entry_number":403,"recap_sequence_number":"2026-10-08.001","pacer_sequence_number":1518,"description":"ORDER GRANTING Joint 401 Request for Scheduling Conference. Scheduling Conference set for 11/12/2026 02:00 PM in Austin before Judge Susan Hightower . At the Scheduling Conference, the Court will address: (1) the order of consideration of the pending motions (Dkts. 380, 388 in 1:21-cv-00751-DAE) in light of the appeal before the Fifth Circuit; (2) whether the parties will file any new dispositive motions, and if so, the timing of those motions and related briefs; and (3) any other outstanding scheduling issues. Signed by Judge Susan Hightower. (cnr) (Entered: 10/08/2026)","tags":[]},{"resource_uri":"https://www.courtlistener.com/api/rest/v4/docket-entries/480825270/","id":480825270,"docket":"https://www.courtlistener.com/api/rest/v4/dockets/60318072/","recap_documents":[{"resource_uri":"https://www.courtlistener.com/api/rest/v4/recap-documents/496541703/","id":496541703,"tags":[],"absolute_url":"","date_created":"2026-10-07T11:35:34.190596-07:00","date_modified":"2026-10-07T11:35:34.190618-07:00","sha1":"","page_count":null,"file_size":null,"filepath_local":null,"filepath_ia":"","ia_upload_failure_count":null,"thumbnail":null,"thumbnail_status":0,"plain_text":"","ocr_status":null,"date_upload":null,"document_number":"","attachment_number":null,"pacer_doc_id":"","is_available":false,"is_free_on_pacer":null,"is_sealed":null,"document_type":1,"description":"","acms_document_guid":""}],"date_created":"2026-10-07T11:35:34.174334-07:00","date_modified":"2026-10-07T11:35:34.174356-07:00","date_filed":"2026-10-07","time_filed":null,"entry_number":null,"recap_sequence_number":"2026-10-07.001","pacer_sequence_number":null,"description":"Text Order MOOTING 389 Motion in light of U.S. Magistrate Judge Lane's Order 110 granting 95 in 1:24-cv-01525-DAE. 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The deadline for the Ugarte plaintiffs to file their reply is hereby extended up to and including August 20, 2026. Entered by Judge David A. Ezra. (This is a text-only entry generated by the court. There is no document associated with this entry.) (MJSl)","tags":[]},{"resource_uri":"https://www.courtlistener.com/api/rest/v4/docket-entries/480825261/","id":480825261,"docket":"https://www.courtlistener.com/api/rest/v4/dockets/60318072/","recap_documents":[{"resource_uri":"https://www.courtlistener.com/api/rest/v4/recap-documents/496541697/","id":496541697,"tags":[],"absolute_url":"/docket/60318072/397/in-re-cassava-sciences-inc-securities-litigation/","date_created":"2026-10-07T11:35:34.000526-07:00","date_modified":"2026-10-07T11:35:34.000552-07:00","sha1":"","page_count":null,"file_size":null,"filepath_local":null,"filepath_ia":"","ia_upload_failure_count":null,"thumbnail":null,"thumbnail_status":0,"plain_text":"","ocr_status":null,"date_upload":null,"document_number":"397","attachment_number":null,"pacer_doc_id":"","is_available":false,"is_free_on_pacer":null,"is_sealed":null,"document_type":1,"description":"","acms_document_guid":""}],"date_created":"2026-10-07T11:35:33.919049-07:00","date_modified":"2026-10-29T08:25:52.894877-07:00","date_filed":"2026-08-05","time_filed":null,"entry_number":397,"recap_sequence_number":"2026-08-05.001","pacer_sequence_number":null,"description":"*SEALED* Response in Opposition to Objections, filed by Mohammad Bozorgis, Ken Calderone, Manohar Rao, re 388 Objections filed by Defendant Remi Barbier, Defendant Eric J. Schoen, Defendant Lindsay Burns, Defendant Cassava Sciences, Inc. (cnr) (Entered: 08/05/2026)","tags":[]},{"resource_uri":"https://www.courtlistener.com/api/rest/v4/docket-entries/480825258/","id":480825258,"docket":"https://www.courtlistener.com/api/rest/v4/dockets/60318072/","recap_documents":[{"resource_uri":"https://www.courtlistener.com/api/rest/v4/recap-documents/496541692/","id":496541692,"tags":[],"absolute_url":"","date_created":"2026-10-07T11:35:33.802903-07:00","date_modified":"2026-10-07T11:35:33.802926-07:00","sha1":"","page_count":null,"file_size":null,"filepath_local":null,"filepath_ia":"","ia_upload_failure_count":null,"thumbnail":null,"thumbnail_status":0,"plain_text":"","ocr_status":null,"date_upload":null,"document_number":"","attachment_number":null,"pacer_doc_id":"","is_available":false,"is_free_on_pacer":null,"is_sealed":null,"document_type":1,"description":"","acms_document_guid":""}],"date_created":"2026-10-07T11:35:33.742620-07:00","date_modified":"2026-10-07T11:35:33.742650-07:00","date_filed":"2026-08-05","time_filed":null,"entry_number":null,"recap_sequence_number":"2026-08-05.001","pacer_sequence_number":null,"description":"Text Order GRANTING 395 Sealed Motion to file under seal. Entered by Judge David A. Ezra. (This is a text-only entry generated by the court. There is no document associated with this entry.) 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The deadline for Defendants to respond to the Ugarte Plaintiffs' Motion to View Sealed Documents is extended to August 10, 2026. Entered by Judge David A. Ezra. (This is a text-only entry generated by the court. There is no document associated with this entry.) (ASlc)","tags":[]},{"resource_uri":"https://www.courtlistener.com/api/rest/v4/docket-entries/480825223/","id":480825223,"docket":"https://www.courtlistener.com/api/rest/v4/dockets/60318072/","recap_documents":[{"resource_uri":"https://www.courtlistener.com/api/rest/v4/recap-documents/496541659/","id":496541659,"tags":[],"absolute_url":"","date_created":"2026-10-07T11:35:32.605625-07:00","date_modified":"2026-10-07T11:35:32.605645-07:00","sha1":"","page_count":null,"file_size":null,"filepath_local":null,"filepath_ia":"","ia_upload_failure_count":null,"thumbnail":null,"thumbnail_status":0,"plain_text":"","ocr_status":null,"date_upload":null,"document_number":"","attachment_number":null,"pacer_doc_id":"","is_available":false,"is_free_on_pacer":null,"is_sealed":null,"document_type":1,"description":"","acms_document_guid":""}],"date_created":"2026-10-07T11:35:32.480339-07:00","date_modified":"2026-10-07T11:35:32.480360-07:00","date_filed":"2026-07-23","time_filed":null,"entry_number":null,"recap_sequence_number":"2026-07-23.001","pacer_sequence_number":null,"description":"Text Order GRANTING 390 Motion for Extension of Time to File Response/Reply. The deadline for the Ugarte plaintiffs to respond to the Objection is hereby extended to August 3, 2026. Entered by Judge David A. Ezra. (This is a text-only entry generated by the court. There is no document associated with this entry.) (ASlc)","tags":[]},{"resource_uri":"https://www.courtlistener.com/api/rest/v4/docket-entries/480825204/","id":480825204,"docket":"https://www.courtlistener.com/api/rest/v4/dockets/60318072/","recap_documents":[{"resource_uri":"https://www.courtlistener.com/api/rest/v4/recap-documents/496541642/","id":496541642,"tags":[],"absolute_url":"","date_created":"2026-10-07T11:35:32.029018-07:00","date_modified":"2026-10-07T11:35:32.029044-07:00","sha1":"","page_count":null,"file_size":null,"filepath_local":null,"filepath_ia":"","ia_upload_failure_count":null,"thumbnail":null,"thumbnail_status":0,"plain_text":"","ocr_status":null,"date_upload":null,"document_number":"","attachment_number":null,"pacer_doc_id":"","is_available":false,"is_free_on_pacer":null,"is_sealed":null,"document_type":1,"description":"","acms_document_guid":""}],"date_created":"2026-10-07T11:35:31.827513-07:00","date_modified":"2026-10-07T11:35:31.827532-07:00","date_filed":"2026-07-13","time_filed":null,"entry_number":null,"recap_sequence_number":"2026-07-13.002","pacer_sequence_number":null,"description":"[CONSTRUED] APPEAL OF MAGISTRATE JUDGE DECISION to District Court pursuant to 388 Objections by Remi Barbier, Lindsay Burns, Cassava Sciences, Inc., Eric J. Schoen re 384 Order. (cnr)","tags":[]},{"resource_uri":"https://www.courtlistener.com/api/rest/v4/docket-entries/480825181/","id":480825181,"docket":"https://www.courtlistener.com/api/rest/v4/dockets/60318072/","recap_documents":[{"resource_uri":"https://www.courtlistener.com/api/rest/v4/recap-documents/496541613/","id":496541613,"tags":[],"absolute_url":"","date_created":"2026-10-07T11:35:31.197880-07:00","date_modified":"2026-10-07T11:35:31.197906-07:00","sha1":"","page_count":null,"file_size":null,"filepath_local":null,"filepath_ia":"","ia_upload_failure_count":null,"thumbnail":null,"thumbnail_status":0,"plain_text":"","ocr_status":null,"date_upload":null,"document_number":"","attachment_number":null,"pacer_doc_id":"","is_available":false,"is_free_on_pacer":null,"is_sealed":null,"document_type":1,"description":"","acms_document_guid":""}],"date_created":"2026-10-07T11:35:31.054540-07:00","date_modified":"2026-10-07T11:35:31.054563-07:00","date_filed":"2026-06-29","time_filed":null,"entry_number":null,"recap_sequence_number":"2026-06-29.003","pacer_sequence_number":null,"description":"Motions No Longer Referred: 346 Sealed Motion filed pursuant to W.D. Texas SDS procedures, 375 Sealed Motion filed by Ken Calderone pursuant to W.D. Texas SDS procedures, 338 Opposed MOTION to Consolidate Cases, 368 Sealed Motion filed pursuant to W.D. Texas SDS procedures, 360 MOTION for Leave to File Notice of Supplemental Authority Plaintiffs Motion for Leave to File Notice of Supplemental Authority in Further Support of Their Opposition to Defendants Motion to Strike and Opposition to Defendants Motion to Consolidate< (cnr)","tags":[]},{"resource_uri":"https://www.courtlistener.com/api/rest/v4/docket-entries/480825170/","id":480825170,"docket":"https://www.courtlistener.com/api/rest/v4/dockets/60318072/","recap_documents":[{"resource_uri":"https://www.courtlistener.com/api/rest/v4/recap-documents/496541605/","id":496541605,"tags":[],"absolute_url":"/docket/60318072/385/in-re-cassava-sciences-inc-securities-litigation/","date_created":"2026-10-07T11:35:30.930434-07:00","date_modified":"2026-10-07T11:35:30.930464-07:00","sha1":"","page_count":null,"file_size":null,"filepath_local":null,"filepath_ia":"","ia_upload_failure_count":null,"thumbnail":null,"thumbnail_status":0,"plain_text":"","ocr_status":null,"date_upload":null,"document_number":"385","attachment_number":null,"pacer_doc_id":"","is_available":false,"is_free_on_pacer":null,"is_sealed":null,"document_type":1,"description":"","acms_document_guid":""}],"date_created":"2026-10-07T11:35:30.697253-07:00","date_modified":"2026-10-07T11:35:30.735124-07:00","date_filed":"2026-06-29","time_filed":null,"entry_number":385,"recap_sequence_number":"2026-06-29.002","pacer_sequence_number":null,"description":"*SEALED* Plaintiffs' Notice of Supplemental Authority in Further Support of their Opposition to Defendants' Motion to Strike and Opposition to Defendants' Motion to Consolidate pursuant to W.D. 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(cnr) (Entered: 06/29/2026)","tags":[]},{"resource_uri":"https://www.courtlistener.com/api/rest/v4/docket-entries/480821528/","id":480821528,"docket":"https://www.courtlistener.com/api/rest/v4/dockets/60318072/","recap_documents":[{"resource_uri":"https://www.courtlistener.com/api/rest/v4/recap-documents/496537905/","id":496537905,"tags":[],"absolute_url":"","date_created":"2026-10-07T11:19:38.204441-07:00","date_modified":"2026-10-07T11:19:38.204462-07:00","sha1":"","page_count":null,"file_size":null,"filepath_local":null,"filepath_ia":"","ia_upload_failure_count":null,"thumbnail":null,"thumbnail_status":0,"plain_text":"","ocr_status":null,"date_upload":null,"document_number":"","attachment_number":null,"pacer_doc_id":"","is_available":false,"is_free_on_pacer":null,"is_sealed":null,"document_type":1,"description":"Order on Motion for Miscellaneous Relief","acms_document_guid":""}],"date_created":"2026-10-07T11:19:38.183434-07:00","date_modified":"2026-10-07T11:19:38.183457-07:00","date_filed":"2026-10-07","time_filed":"13:07:01","entry_number":null,"recap_sequence_number":"2026-10-07.001","pacer_sequence_number":null,"description":"","tags":[]},{"resource_uri":"https://www.courtlistener.com/api/rest/v4/docket-entries/479095881/","id":479095881,"docket":"https://www.courtlistener.com/api/rest/v4/dockets/60318072/","recap_documents":[{"resource_uri":"https://www.courtlistener.com/api/rest/v4/recap-documents/494737818/","id":494737818,"tags":[],"absolute_url":"/docket/60318072/402/in-re-cassava-sciences-inc-securities-litigation/","date_created":"2026-09-23T10:12:41.123928-07:00","date_modified":"2026-10-01T12:40:27.469622-07:00","sha1":"dc26d54f5bb5bfe1670abb764dbb5e46816c3ba7","page_count":1,"file_size":272004,"filepath_local":"recap/gov.uscourts.txwd.1145175/gov.uscourts.txwd.1145175.402.0_4.pdf","filepath_ia":"https://archive.org/download/gov.uscourts.txwd.1145175/gov.uscourts.txwd.1145175.402.0.pdf","ia_upload_failure_count":null,"thumbnail":null,"thumbnail_status":0,"plain_text":" Case 1:21-cv-00751-DAE Document 402 Filed 09/23/26 Page 1 of 1\n\n\n\n\n Luc W. M. Mitchell\n\n September 23, 2026\n\nVia ECF\n\nThe Honorable David A. Ezra\nUnited States Courthouse\n262 West Nueva Street\nSan Antonio, TX 78207\n\n Re: Ugarte v. Cassava Scis., Inc., No. 1:24-cv-01525 (W.D. Tex.) (\u201cUgarte\u201d);\n In Re Cassava Scis., Inc. Sec. Litig., No. 1:21-cv-00751 (W.D. Tex.) (the\n \u201cConsolidated Action\u201d)\n\nDear Judge Ezra,\n\n We write on behalf of the plaintiffs in Ugarte. As Your Honor is aware, the Defendants\u2019\nObjection to the Magistrate Judge\u2019s Order Denying Consolidation is presently pending before the\nCourt. Ugarte ECF No. 94; Consolidated Action ECF No. 388. In a separate motion\u2014the Ugarte\nplaintiffs\u2019 Motion to View Sealed Documents\u2014we had respectfully asked \u201cthat the Court suspend\ndisposition of that objection [to the Magistrate Judge\u2019s order] until after it rules on this motion [to\nview sealed documents]. If this motion is granted, we would then request the opportunity to file a\nshort sur-reply addressing any relevant arguments or information from the sealed filings that we\nhave so far been unable to access.\u201d Ugarte ECF No. 95 at 3 n.2; Consolidated Action ECF No.\n389 at 3 n.2. Last Thursday, Magistrate Judge Lane granted the Motion to View Sealed documents.\nUgarte ECF No. 110. The Defendants have subsequently provided copies of such filings.\n\n Having reviewed the filings that the Defendants have provided, we do not believe that\nfurther briefing related to consolidation is necessary. We respectfully submit, therefore, that the\nDefendants\u2019 objection is now ripe for disposition.1\n\n Very truly yours,\n\n /s/ Luc W. M. Mitchell\n Luc W. M. Mitchell\n\n1\n The parties disagree as to whether disposition of the Defendants\u2019 objection should wait for\nthe Fifth Circuit\u2019s forthcoming ruling regarding class certification in the Consolidated Action.\nThis will be decided at a scheduling conference by Magistrate Judge Hightower. See Ugarte ECF\nNo. 109; Consolidated Action ECF No. 401.\n lmitchell@pomlaw.com\n 600 Third Avenue, New York, NY 10016 Main: 212.661.1100 Direct: 646.581.9961\n NEW YORK CHICAGO LOS ANGELES LONDON PARIS TEL AVIV\n www.pomlaw.com\n\f","ocr_status":2,"date_upload":"2026-09-24T10:18:03.035174-07:00","document_number":"402","attachment_number":null,"pacer_doc_id":"181037463177","is_available":true,"is_free_on_pacer":null,"is_sealed":null,"document_type":1,"description":"Leave to File Document","acms_document_guid":""}],"date_created":"2026-09-23T10:12:41.085767-07:00","date_modified":"2026-10-07T11:32:07.559942-07:00","date_filed":"2026-09-23","time_filed":"11:33:13","entry_number":402,"recap_sequence_number":"2026-09-23.001","pacer_sequence_number":1510,"description":"NOTICE Regarding Prior Request for Sur-Reply by Hoorieh Alaghemand, Maria Isable Ureta Bazan, Sheryl Grove, Inversiones Ane Miren Limitada, Carlos Perez-Cotapos Subercaseaux, Carlos Perez-Cotapos Ugarte (Mitchell, Luc) (Entered: 09/23/2026)","tags":[]},{"resource_uri":"https://www.courtlistener.com/api/rest/v4/docket-entries/477914916/","id":477914916,"docket":"https://www.courtlistener.com/api/rest/v4/dockets/60318072/","recap_documents":[{"resource_uri":"https://www.courtlistener.com/api/rest/v4/recap-documents/493525668/","id":493525668,"tags":[],"absolute_url":"/docket/60318072/401/in-re-cassava-sciences-inc-securities-litigation/","date_created":"2026-09-14T13:06:07.207899-07:00","date_modified":"2026-09-28T20:36:16.187722-07:00","sha1":"216a0a19cd4d391ff9c1b32c1284fcaae6eb7f05","page_count":13,"file_size":250774,"filepath_local":"recap/gov.uscourts.txwd.1145175/gov.uscourts.txwd.1145175.401.0_3.pdf","filepath_ia":"https://archive.org/download/gov.uscourts.txwd.1145175/gov.uscourts.txwd.1145175.401.0.pdf","ia_upload_failure_count":null,"thumbnail":null,"thumbnail_status":0,"plain_text":" Case 1:21-cv-00751-DAE Document 401 Filed 09/14/26 Page 1 of 13\n\n\n\n\n IN THE UNITED STATES DISTRICT COURT\n FOR THE WESTERN DISTRICT OF TEXAS\n AUSTIN DIVISION\n\nIn re CASSAVA SCIENCES, INC. \u00a7 No. 1:21-cv-00751-DAE\nSECURITIES LITIGATION \u00a7\n \u00a7 CONSOLIDATED CLASS ACTION\n \u00a7\n \u00a7\nCARLOS PEREZ-COTAPOS UGARTE, et al., \u00a7\n Plaintiffs, \u00a7 No. 1:24-cv-01525-DAE\n \u00a7\nv. \u00a7\n \u00a7 CLASS ACTION\nCASSAVA SCIENCES, INC., et al., \u00a7\n Defendants. \u00a7\n \u00a7\n\n JOINT STATUS REPORT AND REQUEST FOR SCHEDULING CONFERENCE\n\n Pursuant to the Court\u2019s July 24, 2026 Order (Consolidated Action ECF No. 393; Ugarte\n\nECF No. 99), Defendants Cassava Sciences, Inc., Eric Schoen, Remi Barbier, and Dr. Lindsay\n\nBurns (the \u201cDefendants\u201d) and Lead Plaintiff Carlos Perez-Cotapos Ugarte (\u201cUgarte\u201d) jointly file\n\nthe following status report and request for scheduling conference before Judge Hightower.\n\n 1. Five sets of interrelated motions are currently pending before this Court in the\n\nabove-captioned matters, No. 1:21-cv-00751 (the \u201cConsolidated Action\u201d) and No. 1:24-cv-01525\n\n(\u201cUgarte\u201d):\n\n a. The Ugarte Plaintiffs\u2019 Motion to View Sealed Documents (Consolidated\n\n Action ECF No. 389; Ugarte ECF No. 95).\n\n b. Defendants\u2019 Objection to Magistrate Judge Hightower\u2019s Order Denying\n\n Consolidation (Consolidated Action ECF No. 388; Ugarte ECF No. 94) (the\n\n \u201cConsolidation Objection\u201d);\n\n\n\n\n 1\n\f Case 1:21-cv-00751-DAE Document 401 Filed 09/14/26 Page 2 of 13\n\n\n\n\n c. Defendants\u2019 Motions to Dismiss in the Ugarte action (ECF Nos. 69, 70),\n\n along with the Ugarte Plaintiffs\u2019 Motion to Strike exhibits attached thereto\n\n (ECF No. 75); 1 and\n\n d. The Consolidated Action Lead Plaintiffs\u2019 Motion for Preliminary Approval\n\n of Settlement (ECF No. 380);\n\n 2. Also pending is Defendants\u2019 appeal of class certification in the Consolidated\n\nAction, which was argued before the Fifth Circuit on August 3, 2026. See Bozorgi v. Cassava\n\nSciences, No. 25-50855 (5th Cir.).\n\n 3. On July 24, 2026, Judge Ezra convened an informal status conference to address\n\nthe pending matters.\n\n 4. Following the conference, Judge Ezra issued an Order. Amongst other things, the\n\nOrder stated that:\n\n the parties are hereby INSTRUCTED to confer regarding the best approach going\n forward in light of the pending appeal and numerous pending motions. The Court\n urges the parties to create an agreed schedule for the briefing and disposition of the\n pending matters that account for both potential outcomes at the Fifth Circuit and\n the interrelated matters before the Court as well as the refiling of the motions to\n dismiss should the parties choose to do so. After the parties\u2019 conference, the matter\n is REFERRED to U.S. Magistrate Judge Susan Hightower for a scheduling\n conference.\n\nConsolidated Action ECF No. 393 at 3; Ugarte ECF No. 99 at 3.\n\n 5. Accordingly, on August 3, 2026, counsel for Defendants and counsel for the Ugarte\n\nPlaintiffs met in person to confer regarding the order in which the Court should address the pending\n\nmotions. Counsel for Defendants invited counsel for lead plaintiffs in the Consolidated Action to\n\n\n\n\n1\n These motions have been denied without prejudice subject to refiling. Consolidated Action\nECF No. 393 at 3; Ugarte ECF No. 99 at 3.\n\n\n 2\n\f Case 1:21-cv-00751-DAE Document 401 Filed 09/14/26 Page 3 of 13\n\n\n\n\nparticipate in the conferral. Counsel for lead plaintiffs in the Consolidated Action declined to\n\nparticipate in the conferral.\n\n 6. As explained below, Defendants and the Ugarte Plaintiffs agree on the Order in\n\nwhich the Court should address the pending motions, with one primary exception relating to the\n\ntiming of the Consolidation Objection.\n\n 7. Specifically, Defendants propose that the Court address the pending motions in the\n\nfollowing Order:\n\n a. First, the Court should address the Ugarte Plaintiffs\u2019 Motion to View Sealed\n\n Documents (Consolidated Action ECF No. 389; Ugarte ECF No. 95). This\n\n motion is ripe, and the parties agree it should be decided before the Court\n\n addresses Defendants\u2019 Consolidation Objection.\n\n This Motion has been referred to Judge Lane, but relates to Defendants\u2019 Motion\n\n to Consolidate and Motion to Strike, both of which were addressed by Judge\n\n Hightower. Accordingly, the parties agree that the most efficient course is for\n\n Judge Hightower to address this motion.\n\n b. Second, the Fifth Circuit should determine whether the class was properly\n\n certified in the Consolidated Action. The Fifth Circuit heard oral argument on\n\n this appeal on August 3, 2026, and the appeal is currently under consideration.\n\n c. Third, after (a) and (b) above, Judge Ezra should address Defendants\u2019\n\n Consolidation Objection.\n\n d. Fourth, Judge Ezra should address the Consolidated Action Lead Plaintiffs\u2019\n\n Motion for Preliminary Approval of Settlement (ECF No. 380); and\n\n\n\n\n 3\n\f Case 1:21-cv-00751-DAE Document 401 Filed 09/14/26 Page 4 of 13\n\n\n\n\n e. Fifth, if necessary, the Court should set a schedule for streamlined briefing of\n\n Defendants\u2019 Motions to Dismiss in Ugarte, and the Ugarte Plaintiffs\u2019 related\n\n Motion to Strike.\n\n 8. The Ugarte Plaintiffs agree that their Motion to View Sealed Documents should be\n\ndecided first, and without regard to the Fifth Circuit appeal. Should the Court rule on this motion\n\nbefore the Fifth Circuit issues its opinion, however, the Ugarte Plaintiffs believe that Judge Ezra\n\nshould then proceed to address the Consolidation Objection without waiting for the Fifth Circuit\u2019s\n\nruling. Then, should the Court, before the Fifth Circuit rules, both (a) decide the Motion to View\n\nSealed Documents and (b) deny the Consolidation Objection, the Ugarte Plaintiffs also believe\n\nthat the Court should set a schedule for streamlined resolution of Defendants\u2019 Motions to Dismiss\n\nand the Ugarte Plaintiffs\u2019 Motion to Strike. By contrast, should the Court, before the Fifth Circuit\n\nrules, both (a) decide the Motion to View Sealed Documents and (b) grant the Consolidation\n\nObjection, then the Ugarte Plaintiffs agree that the Court should defer resolution of the Motions\n\nto Dismiss and Motion to Strike until after the Fifth Circuit rules.\n\n 9. Defendants\u2019 and the Ugarte Plaintiffs\u2019 respective positions are as follows:\n\n Defendants\u2019 Position:\n\n The Court should wait for the Fifth Circuit to rule before addressing Defendants\u2019\n\nConsolidation Objection for three reasons.\n\n First, Judge Ezra has already made clear that the Court should wait for the Fifth Circuit to\n\nrule before he addresses the Consolidation Objection. Indeed, the pending Fifth Circuit ruling was\n\nthe impetus for the Court\u2019s Order asking the parties to confer on an appropriate schedule to address\n\nthe pending Motions in the first place. In that Order, Judge Ezra specifically states that \u201c[t]he\n\nundersigned is reluctant to address any of the above matters before the Fifth Circuit has reached a\n\n\n\n\n 4\n\f Case 1:21-cv-00751-DAE Document 401 Filed 09/14/26 Page 5 of 13\n\n\n\n\ndecision on the class certification in the Consolidated Action\u201d \u2013 with the \u201cabove matters\u201d\n\nspecifically including the Consolidation Objection. ECF No. 393, 2. Indeed, Judge Ezra in that\n\nsame Order went on to expressly \u201cfind[] it in the best interest of judicial economy and, ultimately,\n\nthe best interest of the parties, to await the Firth Circuit\u2019s order on class certification.\u201d ECF No.\n\n393, 3. Any schedule in this case should respect Judge Ezra\u2019s express conclusion that the Fifth\n\nCircuit should rule before he decides any of the pending substantive Motions, including the\n\nConsolidation Objection.\n\n Second, Judge Ezra was correct in determining that the best and most economical course is\n\nto wait for the Fifth Circuit to determine whether the class was properly certified before he\n\naddresses pending motions, including specifically the Consolidation Objection. Judge\n\nHightower\u2019s Order denied consolidation for two primary reasons: (1) the Consolidated Action and\n\nUgarte were at two different procedural stages, and (2) consolidation could prejudice Plaintiffs in\n\nthe Consolidated Action by jeopardizing their settlement and delaying resolution of their case.\n\nECF No. 338, 7-8. The Fifth Circuit\u2019s decision on class certification, however, may substantially\n\nchange the premises underlying both of these conclusions. If the Fifth Circuit finds that the\n\nConsolidated Action class was not properly certified, the proposed Consolidated Action settlement\n\ncannot be approved. And if there is no settlement of the Consolidated Action, this fundamentally\n\nalters the procedural posture of the case and eliminates the prejudice Judge Hightower relied on in\n\nmaking her determination. Accordingly, the Court is wise to wait for the Fifth Circuit\u2019s ruling\n\nbefore addressing the Consolidation Objection.\n\n Third, any delay in addressing the Consolidation Appeal while waiting for the Fifth Circuit\n\nto rule is hypothetical and will not prejudice the Ugarte plaintiffs. The parties agree that Judge\n\nEzra should not address the Consolidation Objection until after this Court has ruled on the Ugarte\n\n\n\n\n 5\n\f Case 1:21-cv-00751-DAE Document 401 Filed 09/14/26 Page 6 of 13\n\n\n\n\nPlaintiffs\u2019 Motion to View Sealed Documents. No one is suggesting that Judge Ezra review the\n\nConsolidation Objection now. And, in fact, given that the Fifth Circuit heard oral argument well\n\nover a month ago, it is possible (if not likely) the Fifth Circuit will decide class certification before\n\nthis Court decides the Motion to View, rendering this \u201cdispute\u201d moot. And even if this Court does\n\naddress the Motion to View first, any additional wait for the Fifth Circuit\u2019s decision is unlikely to\n\nbe long, and will not cause any undue prejudice to the Ugarte Plaintiffs.\n\n Plaintiffs assert that it is \u201cprocedurally improper\u201d for the Court to consider the Fifth\n\nCircuit\u2019s decision on class certification in deciding whether to consolidate the cases. Nonsense.\n\nThe Fifth Circuit\u2019s decision is binding law, not \u201cfurther evidence.\u201d The Court can and should\n\nconsider it. Plaintiffs further argue that it is \u201cfar too late\u201d for Defendants to ask that the\n\nConsolidation Objection be addressed after the Fifth Circuit decision. But Defendants did not raise\n\nthe issue. Judge Ezra determined that it was in the best interest of the parties and judicial economy\n\nto wait for the Fifth Circuit\u2019s decision before ruling, and Judge Ezra who ordered the parties to set\n\na schedule that \u201cwill streamline the final disposition of these cases and prevent premature or\n\nimproper action on any of the pending motions, to the benefit of both the judicial system and the\n\nparties.\u201d ECF. No. 393, 4. Finally, Plaintiffs pretend that the Fifth Circuit\u2019s decision is not\n\nrelevant to Consolidation. But they do not in fact contest that, if the Fifth Circuit reverses class\n\ncertification, it will revert the Consolidated Action to an earlier stage and prevent the Court from\n\napproving the proposed settlement \u2013 the two primary bases for Judge Hightower\u2019s Order. Plaintiffs\n\nthus concede that that Fifth Circuit\u2019s position is directly relevant to consolidation.\n\n\n\n\n 6\n\f Case 1:21-cv-00751-DAE Document 401 Filed 09/14/26 Page 7 of 13\n\n\n\n\n Plaintiffs\u2019 Position:\n\n The Court should decide consolidation without regard to the forthcoming Fifth Circuit\n\nopinion for two reasons. First, it would be procedurally improper for the Court to consider the\n\nFifth Circuit opinion in ruling on consolidation. Second, that opinion is irrelevant to consolidation.\n\n Procedure: The Fifth Circuit appeal is irrelevant to the sole issue that remains before the\n\nCourt on consolidation: whether the Magistrate Judge\u2019s order denying consolidation was clearly\n\nerroneous or contrary to law. The Fifth Circuit\u2019s decision will have no bearing on this issue, for\n\n\u201c[u]nder Rule 72(a), the district court is not permitted to receive further evidence.\u201d Moore v. Ford\n\nMotor Co., 755 F.3d 802, 808 n.15 (quotation marks omitted); see SEC v. Commonwealth\n\nAdvisors, Inc., 2016 WL 1364141, at *5 (M.D. La. Apr. 6, 2016) (\u201c[T]he reviewing court may not\n\nconsider evidence which was not before the MJ.\u201d). It would therefore be inappropriate for the\n\nCourt to consider the Fifth Circuit\u2019s forthcoming opinion when it rules on the Defendants\u2019 Rule\n\n72(a) objection.\n\n In their statement above (point two), the Defendants argue that the Fifth Circuit opinion\n\nmay \u201cchange the premises underlying [Judge Hightower\u2019s] conclusions\u201d as to (a) the procedural\n\nposture of the Consolidated Action, and/or (b) prejudice. Even if true, this would mean only that,\n\nhad Judge Hightower waited for the Fifth Circuit\u2019s opinion before ruling on consolidation\u2014which\n\nthe Defendants never so much as suggested she should do\u2014she may have decided their motion\n\ndifferently; it would not mean that her opinion was clearly erroneous or contrary to law.\n\n It is also far too late for the Defendants to ask the Court to suspend disposition on\n\nconsolidation. The appeal has been pending for a year: It began last September, two weeks before\n\nthe Defendants moved to consolidate. Yet none of their briefing on consolidation ever mentioned\n\nthe appeal, until their Consolidation Objection. In technical terms, this means that the Defendants\n\n\n\n\n 7\n\f Case 1:21-cv-00751-DAE Document 401 Filed 09/14/26 Page 8 of 13\n\n\n\n\nhave forfeited this argument; in substantive terms, it means that they are simply looking for an\n\nissue with which to relitigate consolidation. Thus, while the Defendants claim (in point three) that\n\na delay will not prejudice the Ugarte plaintiffs, the true prejudice that the Ugarte plaintiffs attempt\n\nto forestall is the Defendants repeatedly relitigating a motion that they have already lost.\n\n Relevance: Even were it appropriate for the Court to consider the Fifth Circuit\u2019s\n\nforthcoming opinion, that opinion would not bear on consolidation. In briefing, the only reason\n\nthe Defendants proposed for why the appeal may do so is that \u201c[t]he certified class rests on Lead\n\nPlaintiff\u2019s unusual theory that a class period may close before the corrective disclosures said to\n\nreveal the fraud: the period ends on October 12, 2023, while the operative complaint alleges\n\ncorrective disclosures in June, July, and September 2024. If the Fifth Circuit disturbs certification\n\non that ground, the Consolidated Action plaintiffs may well seek to certify a broader class . . . that\n\nwould overlap the Ugarte period outright.\u201d Ugarte ECF No. 94 at 2\u20133 (emphasis added);\n\nConsolidated Action ECF No. 388 at 2\u20133 (emphasis added). This is incorrect for two reasons.\n\n First, the consolidated plaintiffs have expressly and emphatically stated that they will \u201cnot\n\nmodify the Class definition in any way.\u201d Consolidated Action ECF No. 275 at 4. The Court, too,\n\nhas stated that they will not be allowed to do so. Consolidated Action ECF No. 317 at 7 (\u201cPlaintiffs\n\nrepeatedly maintain that they do not seek to expand the Class Period in their supplemented\n\ncomplaint. Nor will they be allowed to do so based on the proposed new allegations.\u201d). The Court\n\nshould take them (and itself) at their (and the Court\u2019s own) word\u2014not substitute their word with\n\nthe Defendants\u2019 hypotheticals.\n\n Second, the Defendants never made this argument to the Fifth Circuit. Although they\n\nclaimed before this Court that the corrective disclosures could not extend beyond the class period,\n\nthe argument was thoroughly rebutted by the consolidated plaintiffs, and easily rejected by the\n\n\n\n\n 8\n\f Case 1:21-cv-00751-DAE Document 401 Filed 09/14/26 Page 9 of 13\n\n\n\n\nCourt. Consolidated Action ECF Nos. 269 at 7\u20138; 275 at 4\u20135; 317 at 6\u20138. They then abandoned\n\nthe argument on appeal, never once mentioning it in their briefs. They are thus suggesting that the\n\nFifth Circuit may rule in their favor on an argument that they never made.\n\n The Defendants no longer pursue this claim in their above statement, perhaps for the very\n\nreasons just discussed. Instead, they pivot to claiming (at point two) that if the Fifth Circuit\n\ndecertifies the consolidated class, the Consolidated Action will return to an earlier stage. But\n\nearlier does not mean early. Rather, the parties to that action would likely be litigating some\n\ncombination of (a) the post-decertification validity of the settlement, and (b) a second round of\n\nclass certification; meanwhile, Ugarte still awaits resolution of two motions to dismiss. The\n\ndiffering procedural posture would thus still militate against consolidation.\n\n Finally: The Defendants note (in point one) the line in the Court\u2019s July 24 order that \u201c[t]he\n\nundersigned is reluctant to address any of the above matters before the Fifth Circuit has reached a\n\ndecision on the class certification in the Consolidated Action.\u201d But even the Defendants tacitly\n\nadmit that this is not absolute, because one of \u201cthe above matters\u201d is the Motion to View Sealed\n\nDocuments\u2014which the Defendants agree should be addressed now. 2 We respectfully submit that,\n\nfor the reasons set forth above, the Court should not wait on the Fifth Circuit to rule on\n\nconsolidation.\n\n\n\n\n2\n They attempt to dodge this admission by inserting the word \u201csubstantive\u201d in the following\nline: \u201cAny schedule in this case should respect Judge Ezra\u2019s express conclusion that the Fifth\nCircuit should rule before he decides any of the pending substantive Motions, including the\nConsolidation Objection.\u201d The Court itself made no such distinction, instead referring to \u201cany of\nthe above matters.\u201d\n\n\n 9\n\f Case 1:21-cv-00751-DAE Document 401 Filed 09/14/26 Page 10 of 13\n\n\n\n\n 10. Pursuant to Judge Ezra\u2019s July 24, 2026 Order, the Defendants\u2019 and Ugarte Plaintiffs\n\nrequest a conference with Judge Hightower to address the schedule for addressing the pending\n\nmotions, and the primary item in dispute, at a time convenient to the Court.\n\n\n\nDated: September 14, 2026 Respectfully submitted,\n\n /s/ Gregg Costa\n Gregg Costa (Tx. Bar No. 24028160)\n Trey Cox (Tx. Bar No. 24003722)\n GIBSON, DUNN & CRUTCHER LLP\n 811 Main Street Suite 3000\n Houston, TX 77002\n Telephone: 346.718.6600\n Facsimile: 346.718.6979\n gcosta@gibsondunn.com\n tcox@gibsondunn.com\n\n Monica K. Loseman (admitted pro hac vice)\n Scott Campbell (admitted pro hac vice)\n John Turquet Bravard (admitted pro hac vice)\n GIBSON, DUNN & CRUTCHER LLP\n 1900 Lawrence Street, Suite 3000\n Denver, CO 80202-2642\n Telephone: 303.298.5700\n Facsimile: 303.298.5907\n mloseman@gibsondunn.com\n scampbell@gibsondunn.com\n jturquetbravard@gibsondunn.com\n\n Counsel for Defendants Cassava Sciences, Inc. and\n Eric J. Schoen\n\n Douglas W. Greene\n BAKER & HOSTETLER LLP\n 45 Rockefeller Plaza\n New York, NY 10111\n Telephone: 212.847.7090\n dgreene@bakerlaw.com\n\n\n\n\n 10\n\f Case 1:21-cv-00751-DAE Document 401 Filed 09/14/26 Page 11 of 13\n\n\n\n\n C. Shawn Cleveland\n BAKER & HOSTETLER LLP\n 2850 N. Harwood Street, Suite 1100\n Dallas, TX 75201\n Telephone: 214.210.1200\n scleveland@bakerlaw.com\n\n Counsel for Defendants Remi Barbier and\n Lindsay Burns\n\n\n\nDated: September 14, 2026 Respectfully submitted,\n\n /s/ Luc W. M. Mitchell\n Luc W. M. Mitchell (pro hac vice)\n (State of New York Juris No. 5671037)\n POMERANTZ LLP\n Jeremy A. Lieberman (pro hac vice)\n (State of New York Juris No. 4161352)\n 600 Third Avenue, 20th Floor\n New York, New York 10016\n Telephone: (212) 661-1100\n Facsimile: (917) 463-1044\n Email: lmitchell@pomlaw.com\n jalieberman@pomlaw.com\n\n BRONSTEIN, GEWIRTZ &\n GROSSMAN, LLC\n Peretz Bronstein (pro hac vice)\n (State of New York Juris No. 2155067)\n 60 East 42nd Street, Suite 4600\n New York, New York 10165\n Telephone: (212) 697-6484\n Facsimile: (212) 697-7296\n Email: peretz@bgandg.com\n\n Michael J. Boyle (pro hac vice)\n (State of Ohio Juris No. 0091162)\n 4200 Regent Street, Suite 200\n\n\n 11\n\fCase 1:21-cv-00751-DAE Document 401 Filed 09/14/26 Page 12 of 13\n\n\n\n\n Columbus, OH 43219\n Telephone: (614) 578-5582\n Email: mboyle@bgandg.com\n\n Counsel for Plaintiffs and\n Co-Lead Counsel for the Class\n\n THE BRISCOE LAW FIRM, PLLC\n Willie C. Briscoe (Tx. Bar Number 24001788)\n 12700 Park Central Drive, Suite 520\n Dallas, Texas 75251\n Telephone: (972) 521-6868\n Facsimile: (281) 254-7789\n Email: wbriscoe@thebriscoelawfirm.com\n\n Counsel for Plaintiffs and\n Liaison Counsel for the Class\n\n THE ROSEN LAW FIRM, P.A.\n Phillip Kim (pro hac vice application forthcoming)\n (State of New York Juris No. 4145397)\n 275 Madison Avenue, 40th Floor\n New York, NY 10116\n Telephone: (212) 686-1060\n Facsimile: (212) 202-3827\n Email: philkim@rosenlegal.com\n\n Additional Counsel for Plaintiffs\n\n\n\n\n 12\n\f Case 1:21-cv-00751-DAE Document 401 Filed 09/14/26 Page 13 of 13\n\n\n\n\n CERTIFICATE OF SERVICE\n\nThe undersigned certifies that on September 14, 2026, a true and correct copy of the foregoing was\n\nserved upon each attorney of record via email.\n\n\n /s/ Gregg Costa\n Gregg Costa\n\n\n\n\n 13\n\f","ocr_status":1,"date_upload":"2026-09-14T14:00:18.335852-07:00","document_number":"401","attachment_number":null,"pacer_doc_id":"181037402129","is_available":true,"is_free_on_pacer":null,"is_sealed":null,"document_type":1,"description":"Hearing","acms_document_guid":""}],"date_created":"2026-09-14T13:06:07.183777-07:00","date_modified":"2026-10-07T11:32:54.680960-07:00","date_filed":"2026-09-14","time_filed":"14:43:04","entry_number":401,"recap_sequence_number":"2026-09-14.001","pacer_sequence_number":1508,"description":"STATUS REPORT and Request for Scheduling Conference by Cassava Sciences, Inc., Eric J. 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