Civil Case Cover Sheet

Cal. Super. - 6th Dist.March 23, 2021

1314923 ATTORNEY OR PARTY WITHOUT ATTORNEY (Name, State Bar number, and address+ Gloria Zarco (SBN¹ 199702) Rachel W. Haney (SBN¹308259) Kimberlee Tsai (S8N¹ 227426) Gurstei Law Firm, P.C. 9320 E Raintree Dr., Scottsdale, AZ 85260 TELEPHONE NO. (877) 344-4002 FAX NOJ (877) 750-6335 ATTORNEY FOR (name): Franklin Low Duration Total Return Fund FOR COURT USE ONLY CM-010 San Jose, CA 95113 San Jose SUPERIOR COURT OF CALIFORNIA, COUNTY OF SANTA CLARA STREET ADDRESS: 191 N First Street MAILING ADDRESS: CITY AND ZIP CODE: BRANCH NAME: CASE NAME: Franklin Low Duration Total Return Fund vs. Rodney Bray 0 Unlimited (Amount demanded exceeds $25,000) ~ Limited (Amount demanded is $25.000 or less) CIVIL CASE COVER SHEET Complex Case Designation 0 Counter O Joinder Filed with first appearance by defendant (Cal. Rules of Court, rule 3.402) Items 1-6betow must be corn feted seeinstructionson a e2). COURT CASE NOJ JUDGE: DEPT: 1. Check one box below for the case type that best describes this case: Auto Tort Contract 0 Auto (22) 0 Breach of Contract/warranty (06) 0 Uninsured motorist (46) ~ Rule 3.740 collections (09) Other PI/PD/WD (Personal Injury/Property 0 Other collections (09) Damage/Wrongful Death) Tort) 0 Insurance coverage (18) 0 Asbestos (04) 0 Other contract (37) 0 Product liability (24) Real Property 0 Medical malpractice (45) 0 Eminent Domain/Inverse 0 Other Pl/PD/WD (23) condemnation (14) Non-Pl/PD/WD (Other) Tort 0 Wrongful eviction (33) Business tort/unfair business practice (07) 0 Other real property (26) 0 Civil rights (D8) Unlawful Detainer 0 Defamation (13) 0 Commercial (31) 0 Fraud (16) 0 Residential (32) 0 Intellectual property (19) 0 Drugs (38) Professional negligence (25) Judicial Review 0 Other non-Pl/PD/WD tort (35) 0 Asset forfeiture (05) Employment 0 Petition re: arbitration award (11) Wrongful termination (36) 0 Writ of mandate( 02) 0 Other employment (15) 0 Other judicial review (39) Provisionally Complex Civil Litigation (Cal. Rules of Court, rules 3.400-3.403) 0 Antitrust/Trade regulation (03) 0 Construction defect (10) 0 Mass tort (40) 0 Securities litigation (28) 0 Environmental/Toxic tort (30) 0 Insurance coverage claims arising from the above listed provisionally complex case types (41) Enforcement of Judgment 0 Enforcement of judgment (20) Miscellaneous Civil Complaint 0 RICO (27) 0 Other complaint (not specified above) (42) Miscellaneous Civil Petition 0 Partnership and corporate governance (21) 0 Other petition (not specified above) (43) 2. This case 0 is ~ is not complex under rule 3.400 of the California Rules of Court. If the case is complex, mark the factors requiring exceptional judicial management: a. 0 Large number of separately represented parties d. 0 Large number of witnesses b. Extensive motion practice raising difficult or novel e. Coordination with related actions pending in one or more courts issues that will be time-consuming to resolve in other counties, states, or countries, or in a federal court c. 0 Substantial amount of documentary evidence f. CI Substantial postjudgment judicial supervision b. 0 nonmonetary; declaratory or injury c. 0 punitive3. Remedies sought (check a/I that apply): a. ~ monetary 4. Number of causes of action (specify): Two 5. This case 0 is ~ is not a class action suit. 6. If there are any known related cases, file and serve a notice of related case. (You may Use form CM-015.) Date: March lg, 2021 loria Zar / Kimberlee Tsai / Rachel Haney (TYPE OR PRINT NAME) NOTICE (S P TYOR 0 NEY FOR PARTY) . Plaintiff must file this cover sheet with the first paper filed in the action or proceeding {except small claims cases or cases filed under the Probate Code, Family Code, or Welfare and Institutions Code). (Cal. Rules of Court, rule 3.220.) Failure to file may result in sanctions. ~ File this cover sheet in addition to any cover sheet required by local court rule. ~ If this case is complex under rule 3.400 et seq. of the California Rules of Court, you must serve a copy of this cover sheet on all other parties to the action or proceeding. ~ Unless this is a collections case under rule 3.740 or a complex case, this cover sheet will be used for statistical purposes only. Page 1 of 2 Form Adopted for Mandatory use Judicial Counal of Cagfornia CM-010 [Rev July 1. 2007) CIVIL CASE COVER SHEET Cat. Rules of Court, rules 22. 30 3 220, 3.400-3 403, 3.740; Cal Standards of Judiaal Administration sld 310 www courtinfo ca gov Electronically Filed by Superior Court of CA, County of Santa Clara, on 3/23/2021 6:55 AM Reviewed By: Ashley Mackenzie Case #21CV379166 Envelope: 6088047 21CV379166 CM-010 HSTRUCTJONS ONuTOW TO COMPLETE THE COVER SHEET To Plaintiffs and Others Fifjf1g=First Papers. If you are filing a first paper (for example, a complaint) in a civil casepyou must complete and file, along with your first paper, the Civil Case Cover Sheet contained on page 1. This information will be used to compile statistics about the types and numbers of cases filed. You must complete items 1 through 6 on the sheet. In item 1, you must check one box for the case type that best describes the case. If the case fits both a general and a more specific type of case listed in item1, check the more specific one. If the case has multiple causes of action, check the box that best indicates the primary cause of action. To assist you in completing the sheet, examples of the cases that belong under each case type in item 1 are provided below. A cover sheet must be filed only with your initial paper. Failure to file a cover sheet with the first paper filed in a civil case may subject a party, its counsel, or both to sanctions under rules 2.30 and 3.220 of the California Rules of Court. To Parties in Rule 3.740 Collections Cases. A "collections case" under rule 3.740 is defined as an action for recovery of money owed in a sum stated to be certain that is not more than $25,000, exclusive of interest and attorney's fees, arising from a transaction in which property, services, or money was acquired on credit. A collections case does not include an action seeking the following: (1) tort damages, (2) punitive damages, (3) recovery of real property, (4) recovery of personal property, or (5) a prejudgment writ of attachment. The identification of a case as a rule 3.740 collections case on this form means that it will be exempt from the general time-for-service requirements and case management rules, unless a defendant files a responsive pleading. A rule 3.740 collections case will be subject to the requirements for service and obtaining a judgment in rule 3.740. To Parties in Complex Cases. In complex cases only, parties must also use the Civil Case Cover Sheet to designate whether the case is complex. If a plaintiff believes the case is complex under rule 3.400 of the California Rules of Court, this must be indicated by completing the appropriate boxes in items 1 and 2. If a plaintiff designates a case as complex, the cover sheet must be served with the complaint on all parties to the action. A defendant may file and serve no later than the time of its first appearance a joinder in the plaintiffs designation, a counter-designation that the case is not complex, or, if the plaintiff has made no designation, a designation that the case is complex. CASE TYPES AND EXAMPLES Auto Tort Auto (22)-Personal Injury/Property Damage/Wrongful Death Uninsured Motorist (46) (if the case involves an uninsured motors/ claim subject to arbitration, check this item instead of Auto) Other PI/P D/WD (Personal injury/ Property Damage/Wrongful Death) Tort Asbestos (04) Asbestos Property Damage Asbestos Personal Injury/ Wrongful Death Product Liability (not asbestos or toxic/environmental) (24) Medical Malpractice (45) Medical Malpractice- Physicians 8 Surgeons Other Professional Health Care Malpractice Other Pl/PD/WD (23) Premises Liability (e.g., slip and fall) Intentional Bodily Injury/PD/WD (e.g., assault, vandalism) Intentional Infliction of Em otiona I Distress Negligent Infliction of Emotional Distress Other Pl/PD/WD Non-PI/PD/WD (Other) Tort Business Tort/Unfair Business Practice (07) Civil Rights (e.g., discrimination, false arrest) (not civil harassment) (08) Defamation (e.g., slander, libel) (13) Fraud (16) Intellectual Property {19) Professional Negligence (25) Legal Malpractice Other Professional Malpractice (not medical or /ega/) Other Non-Pl/PD/WD Tort (35) Employment Wrongful Termination (36) Other Employment (15) cM-210 [Rev July 1, 2007) Contract Breach of Contract/Warranty (06) Breach of Rental/Lease Contract (not unlawful detainer or wrongfv/ eviction) Contract/Warranty Breach-Seller Plaintiff (not fraud or negligence) Negligent Breach of Contract/ Warranty Other Breach of Contract/Warranty Collections (e.g., money owed, open book accounts) (09) Collection Case~eller Plaintiff Other Promissory Note/Collections Case Insurance Coverage (not prov/siona//y comp/ex) (18) Auto Subrogation Other Coverage Other Contract (37) ContractualFraud Other Contract Dispute Real Property Eminent Domain/Inverse Condemnation (14) Wrongful Eviction (33) Other Real Property (e.g., quiet title) (26) Writ of Possession of Real Property Mortgage Foreclosure Quiet Title Other Real Property (no/ eminent domain, /and/ordf/enant, or forec/osvre) Unlawful Detainer Commercial (31) Resi de ntia I (32) Drugs (38) (if the case involves i//ega/ drugs, check this item; otherwise, report as Commercial or Residential) Judicial Review Asset Forfeiture (05) Petition Re: Arbitration Award (11) Writ of Mandate (02) Writ-Administrative Mandamus Writ-Mandamus on Limited Court Case Matter Writ-Other Limited Court Case Review Other Judicial Review (39) Review of Health Officer Order Notice of Appeal-Labor Commissioner Appeals CIVIL CASE COVER SHEET Provisionally Complex Civil Litigation (Cal. Rules of Court Rules 3.400-3.403) Antitrustfrrade Regulation {03) Construction Defect (10) Claims Involving Mass Tort (40) Securities Litigation (28) Environmental/Toxic Tort (30) Insurance Coverage Claims (aris/ng from provisionally complex case type listed above) (41) Enforcement of Judgment Enforcement of Judgment (20) Abstract of Judgment (Out of County) Confession of Judgment (non- domestic relations) Sister State Judgment Administrative Agency Award (not unpaid taxes) Petition/Certification of Entry of Judgment on Unpaid Taxes Other Enforcement of Judgment Case Miscellaneous Civil Complaint RICO (27) Other Complaint (not specified above) (42) Declaratory Relief Only Injunctive Relief Only (non- harassrnent) Mechanics Lien Other Commercial Complaint Case (non-toft/non-comp/ex) Other Civil Complaint (non-tortlnon-comp/ex) Miscellaneous Civil Petition Partnership and Corporate Governance (21) Other Petition (not specified above)(43) Civil Harassment Workplace Violence Elder/Dependent Adult Abuse Election Contest Petition for Name Change Petition for Relief From Late Claim Other Civil Petition Page 2 of 2