Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-5_05-cv-04187/USCOURTS-cand-5_05-cv-04187-2/pdf.json

Nature of Suit Code: 890
Nature of Suit: Other Statutory Actions
Cause of Action: 15:631 Small Business Act

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28 C05-4187 JF - ORDER APPROVING THE FORM AND MANNER OF NOTICE TO 

CLAIMANTS AND ESTABLISHING A CLAIMS BAR DATE

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KEVIN V. RYAN, CA NO. 118321 

United States Attorney 

JOANN M. SWANSON, CA NO. 88143 

Chief, Civil Division 

EDWIN L. JOE, CA NO. 112328 

Special Assistant U.S. Attorney 

455 Market Street, Sixth Floor 

San Francisco, CA 94105 

Telephone: (415) 744-8494 

Facsimile: (415) 744-6812 

edwin.joe@sba.gov

Attorneys for Plaintiff 

 

IN THE UNITED STATES DISTRICT COURT 

FOR THE NORTHERN DISTRICT OF CALIFORNIA 

SAN JOSE DIVISION 

UNITED STATES OF AMERICA, ) E-filing 

 Plaintiff, ) 

 ) Civil Case No. C05 4187 JF 

 v. ) 

 ) 

NEW VISTA CAPITAL FUND, LP ) Date: August 18, 2006 

 Defendant. ) Time: 9 AM 

 ) Room: 3, 5th Floor 

____________________________________) 280 South First Street 

 San Jose, CA 

ORDER APPROVING THE FORM AND MANNER OF NOTICE TO

CLAIMANTS AND ESTABLISHING A CLAIMS BAR DATE

Upon full consideration of the Motion of the U.S. Small Business Administration as 

Receiver for New Vista Capital Fund, L.P. for an Order Approving the Form and Manner of 

Notice to Claimants and Establishing a Claims Bar Date, filed by the U.S. Small Business 

Administration, Receiver (“Receiver”) for New Vista Capital Fund, L.P. ("New Vista”), and this 

Court being duly advised as to the merits, 

**e-filed 8/21/06

Case 5:05-cv-04187-JF Document 19 Filed 08/21/06 Page 1 of 5
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28 C05-4187 JF - ORDER APPROVING THE FORM AND MANNER OF NOTICE TO 

CLAIMANTS AND ESTABLISHING A CLAIMS BAR DATE

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IT IS HEREBY ORDERED THAT: 

 1. The Receiver's Motion for entry of an Order Approving the Form and Manner of 

Notice to Claimants and Establishing a Claims Bar Date is GRANTED; 

 2. Following the entry of this Order, the Receiver is ORDERED to send notice, 

substantially in the form set forth as Exhibit "A" hereto, via first-class mail, postage prepaid, to 

those persons or entities, other than the U.S. Small Business Administration and parties 

contracted or retained by the U.S. Small Business Administration as Receiver, which the 

Receiver has reason to believe are creditors, agents, former directors or officers, employees, 

partners, participant investors or lenders with New Vista, portfolio concerns or limited partners 

of New Vista, and to any other persons or entities who have, during the term of the receivership, 

asserted a claim (of whatever kind or merit) against New Vista, the receivership estate, or assets 

or funds in the possession of the Receiver; 

 3. The Receiver is further ORDERED to publish notice, substantially in the form set 

forth in Exhibit "A" hereto, once each week for two weeks in The Santa Clara Weekly and in the

San Jose City Times, each of which is, a newspaper of general circulation; 

 4. This Court further ORDERS that it finds that notice provided in the form and 

manner described in Paragraphs 2 and 3 of this Order is reasonable notice, under the 

circumstances, to persons or entities who may have claims against New Vista, the receivership 

estate, or assets or funds in the possession of the Receiver; 

 5. All persons or entities having claims against New Vista, or the receivership estate, 

or assets or funds in the possession of the Receiver, other than the U.S. Small Business 

Administration and parties contracted or retained by the U.S. Small Business Administration as 

Receiver, are ORDERED to file such claims in writing and in the form prescribed in paragraph 6 

Case 5:05-cv-04187-JF Document 19 Filed 08/21/06 Page 2 of 5
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28 C05-4187 JF - ORDER APPROVING THE FORM AND MANNER OF NOTICE TO 

CLAIMANTS AND ESTABLISHING A CLAIMS BAR DATE

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of this Order, with the Receiver, c/o Richard Moser, Member, Phoenix Management Partners, 

LLC, Principal Agent for SBA, Receiver for New Vista Capital Fund, L.P., 666 11th Street, 

N.W., Suite 200, Washington, D.C. 20001, within thirty (30) days of the last day of notice by 

publication, which date will be stated in the mailed and published notices; 

 6. In setting forth a claim against New Vista, the receivership estate or assets or 

funds in the possession of the Receiver, all persons and entities are ORDERED to state in 

writing: (1) the full name and address and telephone number of the claimant; (2) the amount of 

the claim; (3) the specific grounds for each claim; and (4) the date on which the obligation was 

allegedly incurred by New Vista, and (5) to provide at the time of filing such written claims any 

and all documents or other materials which the claimant believes supports the claim or might 

assist the Receiver in evaluating the claim; 

 7. In the event that the Receiver recommends denial of any claim, it is ORDERED 

that the Receiver is authorized and directed to move for summary disposition of said claim(s) 

and to furnish a copy of the moving papers to the claimant(s); in such case the claimant may 

respond within 30 days, serving a copy of its response on the Receiver, and the Court will 

resolve said claim(s) expeditiously through a summary procedure that the Court will determine at 

that time; and 

 8. To give effect to the "claims bar date" established in Paragraph 5 of this Order, by 

which date claims must be filed or shall forever be barred, it is further ORDERED that any 

persons or entities, other than the U.S. Small Business Administration and parties contracted or 

retained by the U.S. Small Business Administration as Receiver, which fail to file a claim against 

New Vista, the receivership estate, or assets or funds in the possession of the Receiver, in the 

form and by the time and date required by this Order, shall be forever barred and permanently 

Case 5:05-cv-04187-JF Document 19 Filed 08/21/06 Page 3 of 5
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28 C05-4187 JF - ORDER APPROVING THE FORM AND MANNER OF NOTICE TO 

CLAIMANTS AND ESTABLISHING A CLAIMS BAR DATE

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enjoined from asserting, pursuing or prosecuting any such claims, of any kind or nature, whether 

now known or unknown, against New Vista, its Receiver, their successors or assigns, or against 

assets or funds in the possession of the Receiver. 

 

 IT SO ORDERED: This, 8/18/06, in San Jose, California. 

 

 _____________________________ 

 HONORABLE JEREMY FOGEL 

 United States District Court Judge 

Copies To: 

Edwin L. Joe 

Special Assistant United States Attorney 

455 Market Street, Sixth Floor 

San Francisco, CA 094105 

Telephone: (415) 744-8494 

Facsimile: (415) 744-6812 

Arlene M. Embrey 

Trial Attorney 

U.S. Small Business Administration 

Receiver for New Vista Capital Fund, L.P. 

409 Third Street, S.W., 7th Floor 

Washington, DC 20416 

Telephone: (202) 205-6976 

Facsimile: (202) 481-0324 

Richard Moser, Member, Phoenix Management Partners, LLC 

Principal Agent for the Receiver 

SBA, Receiver for New Vista Capital Fund, L.P. 

666 11th Street, N.W., Suite 200 

Washington, D.C. 20001-4542 

Telephone: (202) 272-3617 

Facsimile: ( 202) 504-2247 

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28 C05-4187 JF - ORDER APPROVING THE FORM AND MANNER OF NOTICE TO 

CLAIMANTS AND ESTABLISHING A CLAIMS BAR DATE

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(EXHIBIT A) 

 

NOTICE TO ALL CREDITORS OR CLAIMANTS OF 

NEW VISTA CAPITAL FUND, L.P.

 By Order of the U.S. District Court for the Northern District of California, San Jose 

Division, dated _________________, persons or entities who wish to assert a claim against New 

Vista Capital Fund, L.P. L.P. (“New Vista”) must do so by filing a written claim with the 

Receiver on or before [date thirty (30) days after last date of notice by publication]. All 

previously submitted claims against New Vista or its Receiver must be resubmitted in 

accordance with this Notice.

New Vista, a Delaware limited partnership, is a Small Business Investment Company 

("SBIC") licensed by the U.S. Small Business Administration ("SBA"). New Vista has been in 

receivership since December 8, 2005 by Order of the Court identified above, entered in Case No. 

C05-4187 JF, U.S.A. v. New Vista Capital Fund, L.P., 

 Any person or entity asserting a claim against New Vista or assets or funds in the hands 

of the Receiver, must do so in writing, and forward such claim to: 

 SBA, Receiver for New Vista Capital Fund, L.P. 

 Richard Moser, Member 

 Phoenix Management Partners, LLC, Principal Agent 

 666 11th Street, N.W., Suite 200 

 Washington, D.C. 20001-4542 

 Claims must be received no later than 5:00 p.m. E.S.T., [date thirty (30) days after last 

date of notice by publication]. 

 Your claim must state: (1) the full name, address and telephone number of the claimant; 

(2) the amount of the claim; (3) the specific grounds for each claim; (4) the date on which the 

obligation was allegedly incurred by New Vista or the Receiver; and (5) must attach all other 

documents or materials which support the claim, or which the Receiver might require in 

evaluating the claim. If you fail to provide any of the specified information, your claim will be 

deemed incomplete and untimely. 

 Failure to present a complete and timely claim to the Receiver on or before (Date) will 

result in your claim being forever barred, and you will not thereafter be able to make a claim 

against New Vista, or any other assets or funds in the possession of the Receiver. 

 U.S. SMALL BUSINESS ADMINISTRATION 

 As Receiver for New Vista Capital Fund, L.P. 

 

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