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GMCR Class Action Complaint - Nov. 2011

GMCR Class Action Complaint - Nov. 2011

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Published by: garyrweiss on Dec 04, 2011
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12/04/2011

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U.S.DISTieTSOUi;'j'
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2011NOV
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UNITEDSTATESDISTRICTCOURTDISTRICTOFVERMONTLOUISIANAMUNICIPALPOLICEEMPLOYEES'RETIREMENTSYSTEMonbehalfofitselfandallotherssimilarlysituated,Plaintiff,
v,
GREENMOUNTAINCOFFEEROASTERS,INC.,ROBERTP.STILLER,LAWRENCEJ.BLANFORD,FRANCESG.RATHKE,BARBARAD.CARLINI,WILLIAMD.DAVIS,JULESA.DELVECCHIO,MICHAELJ.MARDY,HINDAMILLER,DAVIDE.MORAN,MERRILLLYNCH,PIERCE,FENNER
&
SMITHINC.,SUNTRUSTROBINSONHUMPHREY,INC.,WILLIAMBLAIR
&
COMPANY,L.L.C.,CANACCORDGENUITYINC.,JANNEYMONTGOMERYSCOTTLLC,PIPERJAFFRAY
&
CO.,RBCCAPITALMARKETS,LLC,WELLSFARGOSECURITIES,LLC,RABOSECURITIESUSA,INC.,ANDSANTANDERINVESTMENTSECURITIESINC.Defendants.CLASSACTIONCOMPLAINT
 
TABLEOFCONTENTS
I.SUMMARYOFTHEACTION1II.JURISDICTIONANDVENUE5III.PARTIES6A.Plaintiff,6B.ExchangeActDefendants6C.SecuritiesActDefendants8IV.FACTUALALLEGATIONSANDDEFENDANTS'MATERIALLYFALSEANDMISLEADINGSTATEMENTS-11A.TheRiseOfGMCRAndTheK-CupCoffeeMaker11B.GMCR's"At-Home"DistributionChannel..12C.Pre-ClassPeriodFinancialRestatementsAndThePurportedExonerationOfGMCR'SRelationshipWithMblock.,13D.GMCRAnnouncesFirst-Quarter2011ResultsAndIssues2011Guidance........14E.GMCRAnnouncesBetter-Than-ExpectedSecond-Quarter2011Results16F.GMCR'SMay2011SecondaryStockOffering20G.GMCRAnnouncesBetter-Than-ExpectedThird-Quarter2011Results22H.GMCR'SCorrespondenceWithTheSecAboutMblock24I.TheTruthAboutDefendants'SchemeBeginsToEmerge27V.ADDITIONALEVIDENCEOFSCIENTER-EXCHANGEACTCLAIMS31VI.LOSSCAUSATION-EXCHANGEACTCLAIMS32VII.APPLICABILITYOFFRAUDONTHEMARKETPRESUMPTION35VIII.THEINAPPLICABILITYOFTHESTATUTORYSAFEHARBORANDBESPEAKSCAUTIONDOCTRINE36IX.CLASSACTIONALLEGATIONS37
 
X.
CLAIMSFORRELIEFUNDERTHESECURITIESACT39COUNTI,""39ForViolationsOf
§
11OfTheSecuritiesAct(AgainstTheSecuritiesActDefendants)_.39COUNT
11__
41ForViolationsOf
§
12(a)(2)OfTheSecuritiesAct(AgainstDefendantsGMCR,Stiller,Blanford,Davis,Moran,AndTheUnderwriterDefendants)41COUNT11142ForViolationsOf
§
15OfTheSecuritiesAct(AgainstTheOfficerDefendantsAndDirectorDefendants)42XI.CLAIMSFORRELIEFUNDERTHEEXCHANGEACT43COUNTIV_43ViolationsofSection1O(b)oftheExchangeActandRulelOb-5(AgainstTheExchangeActDefendants)43COUNTV_-45ViolationsofSection20(a)oftheExchangeAct(AgainstTheOfficerDefendants),45PRAYERFORRELIEF-ApplicableToAllClaims47JURYTRIALDEMAND-ApplicableToAllClaims48
11

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