DEFENDANTS’ NOTICE OF APPEAL

CIVIL ACTION NO. 5:16-CV-07408-EJD

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JOSHUA D. LICHTMAN (SBN 176143)

SARAH E. MOSES (SBN 291491)

NORTON ROSE FULBRIGHT US LLP

555 South Flower Street, Forty-First Floor

Los Angeles, California 90071

Telephone: (213) 892-9200

Facsimile: (213) 892-9494

joshua.lichtman@nortonrosefulbright.com

sarah.moses@nortonrosefulbright.com

ROBIN D. ADELSTEIN (admitted pro hac vice)

NORTON ROSE FULBRIGHT US LLP

1301 Avenue of the Americas

New York, New York 10019-6022

Telephone: (212) 318-3000

Facsimile: (212) 318-3400

robin.adelstein@nortonrosefulbright.com

PETER A. STOKES (admitted pro hac vice)

NORTON ROSE FULBRIGHT US LLP

98 San Jacinto Boulevard, Suite 1100

Austin, Texas 78701-4255

Telephone: (512) 474-5201

Facsimile: (512) 536-4598

peter.stokes@nortonrosefulbright.com

Attorneys for Defendants

PRONAI THERAPEUTICS, INC., NICK 

GLOVER, SUKHI JAGPAL, DONALD 

PARFET, ALBERT CHA, NICOLE ONETTO, 

ROBERT PELZER, PETER THOMPSON, 

JAMES TOPPER, and ALVIN VITANGCOL

CHARLENE S. SHIMADA (SBN 91407)

LUCY WANG (SBN 257771)

MORGAN, LEWIS & BOCKIUS LLP

One Market, Spear Street Tower

San Francisco, CA 94105-1596

Tel: (415) 442-1000

Fax: (415) 442-1001

charlene.shimada@morganlewis.com

lucy.wang@morganlewis.com

Attorneys for Defendants

JEFFERIES LLC, MERRILL LYNCH, 

PIERCE, FENNER & SMITH, 

INCORPORATED, WEDBUSH 

SECURITIES INC. AND SUNTRUST 

ROBINSON HUMPHREY, INC.

IN THE UNITED STATES DISTRICT COURT

FOR THE NORTHERN DISTRICT OF CALIFORNIA - SAN JOSE DIVISION

Christopher Book, Individually and on Behalf 

of All Others Similarly Situated,

Plaintiff,

v.

ProNAi Therapeutics, Inc., Nick Glover, Sukhi 

Jagpal, Donald Parfet, Albert Cha, Nicole 

Onetto, Robert Pelzer, Peter Thompson, James 

Topper, Alvin Vitangcol, Jefferies LLC, 

Merrill Lynch, Pierce, Fenner & Smith 

Incorporated, Wedbush Securities Inc., and 

SunTrust Robinson Humphrey, Inc.,

Defendants.

Civil Action No. 5:16-cv-07408-EJD 

DEFENDANTS’ NOTICE OF APPEAL

DATE: 

TIME: 

CTRM: 

Case 5:16-cv-07408-EJD Document 44 Filed 06/22/17 Page 1 of 3
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DEFENDANTS’ NOTICE OF APPEAL

CIVIL ACTION NO. 5:16-CV-07408-EJD

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Notice is hereby given that Defendants PRONAI THERAPEUTICS, INC. (n/k/a Sierra 

Oncology, Inc.); NICK GLOVER; SUKHI JAGPAL; DONALD PARFET; ALBERT CHA; 

NICOLE ONETTO; ROBERT PELZER; PETER THOMPSON; JAMES TOPPER; ALVIN 

VITANGCOL; JEFFERIES LLC; MERRILL LYNCH, PIERCE, FENNER & SMITH 

INCORPORATED; WEDBUSH SECURITIES, INC.; and SUNTRUST ROBINSON 

HUMPHREY, INC., (collectively, “Defendants”) hereby appeal to the United States Court of 

Appeals for the Ninth Circuit from the Order Granting Plaintiff’s Motions to Remand and 

Denying Defendants’ Motions to Stay, entered June 12, 2017, and all prior orders encompassed 

within it. This Order is attached hereto as Exhibit A. 

The District Court’s “remand order is not barred from review under [28 U.S.C.] § 

1447(d)” and is “final for purposes of [28 U.S.C.] § 1291.” Harmston v. City & Cnty. of San 

Francisco, 627 F.3d 1273, 1278 (9th Cir. 2010). The Ninth Circuit has recently denied a motion 

to dismiss an appeal from a district court order remanding a purported class action under the 

Securities Act of 1933, in virtually identical circumstances. See Ellis v. Natera, Inc., et al., No. 

16-16576 (9th Cir. Jan. 13, 2017) (ECF No. 10) (denying plaintiff-appellee’s motion to dismiss 

appeals and directing parties to include in their merits briefing whether the remand of a federal 

securities case is appealable to the Ninth Circuit).

Defendants’ Representation Statement is attached to this Notice as required by Ninth 

Circuit Rule 3-2(b).

Dated: June 22, 2017 Respectfully submitted,

JOSHUA D. LICHTMAN

NORTON ROSE FULBRIGHT US LLP

By: /s/ Joshua D. Lichtman

JOSHUA D. LICHTMAN

Attorneys for Defendants

ProNAi Therapeutics, Inc., Nick Glover, 

Sukhi Jagpal, Donald Parfet, Albert Cha, 

Nicole Onetto, Robert Pelzer, Peter 

Thompson, James Topper, and Alvin 

Vitangcol

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DEFENDANTS’ NOTICE OF APPEAL

CIVIL ACTION NO. 5:16-CV-07408-EJD

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Dated: June 22, 2017 CHARLENE S. SHIMADA

MORGAN, LEWIS & BOCKIUS LLP

By /s/ Charlene S. Shimada

CHARLENE S. SHIMADA

Attorneys for Defendants

Jefferies LLC, Merrill Lynch, Pierce, 

Fenner & Smith, Incorporated, Wedbush 

Securities Inc. and SunTrust Robinson 

Humphrey, Inc.

ATTESTATION

I, Joshua D. Lichtman, am the CM/ECF user whose ID and password are being used to 

file this stipulation and attest that concurrence in the filing of the document has been obtained 

from each of the other signatories.

/s/ Joshua D. Lichtman

Joshua D. Lichtman

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