1012-00005 · Stonefield Logistics Group · Dormancy & Monitoring

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ATTORNEY WORK PRODUCT — PRIVILEGED AND CONFIDENTIAL

Quarterly Docket Check Report — Q2 2024

Firm: Calderwood & Harkness LLP 200 Park Avenue, 38th Floor New York, NY 10166

Matter Name: Vantor Holdings Corp. v. Stonefield Logistics Group Inc.

Case Number: 22-cv-07841 (S.D.N.Y.)

Court: United States District Court for the Southern District of New York

Presiding Judge: Hon. Margaret T. Calloway, U.S.D.J.

C&H Matter No.: 1012-00005

Client: Stonefield Logistics Group Inc.

Report Date: July 8, 2024

Prepared By: Helen Tsao, Senior Paralegal

Distributed To: Patrick Gallagher, Lead Associate, Litigation (General)

Designation: Attorney Work Product — Privileged and Confidential

1. Purpose and Scope of Report

This report constitutes the quarterly docket check for the second quarter of 2024, covering the period from April 13, 2024 through July 8, 2024. The review has been conducted pursuant to the case dormancy protocol established in the Internal Memorandum — Case Dormancy Protocol dated April 15, 2024, authored by Patrick Gallagher, Lead Associate, and approved by Samuel Eklund, Responsible Partner. That protocol was adopted in recognition of the particular procedural posture of this matter and the likelihood that the case would remain inactive for an extended period following the expiration of the Court's most recent deadline for plaintiff to retain substitute counsel.

Under the terms of the dormancy protocol, quarterly docket checks on the PACER/ECF system for Case No. 22-cv-07841 are to be performed to monitor for any new filings, orders, counsel appearances, or other docket activity that would trigger reactivation of active case management on behalf of our client, Stonefield Logistics Group Inc. The protocol was designed to ensure that Stonefield's interests remain protected during any period of inactivity while also minimizing unnecessary expenditure of legal fees during a period in which no affirmative action by the defense team is required.

For context, the matter was placed on dormant/monitoring status following the expiration of the April 12, 2024 deadline for Vantor Holdings Corp. to retain substitute counsel. That deadline was set by the Court during the February 12, 2024 hearing on the Order to Show Cause and represented a 60-day extension of the original December 17, 2023 deadline established when the Court granted the withdrawal of Caldwell Royce & Shapiro LLP as plaintiff's counsel on October 18, 2023. The April 12, 2024 deadline passed without any notice of appearance or other filing by Vantor Holdings Corp. or on its behalf, confirming the anticipated dormancy of the case and triggering implementation of the monitoring protocol.

This is the first quarterly docket check report prepared under the dormancy protocol. Subsequent reports are scheduled on an approximately quarterly basis, with the next review anticipated for the week of October 7, 2024 (Q3 2024).

2. Case Status Summary

Current Case Posture: Dormant. There are no pending motions before the Court. All discovery and dispositive motion deadlines were previously stayed by the Court pursuant to the October 18, 2023 order granting the withdrawal of Caldwell Royce & Shapiro LLP as counsel for the plaintiff, Vantor Holdings Corp. The stay remains in effect, and no party has moved to lift or modify it. No scheduling conference has been held or ordered since the stay was imposed, and no amended case management plan has been entered.

Last Docket Entry: The most recent entry on the docket is dated February 12, 2024. That entry is a minute entry reflecting the hearing held before Judge Calloway on the Court's Order to Show Cause, which had been issued on January 22, 2024. At that hearing, Nikolai Vantorovich, identified on the record as Chief Executive Officer and Founder of Vantor Holdings Corp., appeared pro se and addressed the Court regarding Vantor's efforts to retain substitute counsel. According to the minute entry, Mr. Vantorovich represented to the Court that he had been in discussions with several law firms but had not yet secured a formal engagement. He requested a 90-day extension of the deadline to retain new counsel, citing the complexity of the underlying claims and the difficulty in identifying a firm willing to take the case at what he described as a mid-stream juncture. Judge Calloway granted a 60-day extension, rather than the 90 days requested, and set a new deadline of April 12, 2024 for new counsel to file a notice of appearance on behalf of Vantor Holdings Corp. The Court's minute entry further noted that no further extensions would be granted absent extraordinary circumstances.

Key Procedural Note: It is important to note for the record that Vantor Holdings Corp. is a New York corporation organized and existing under the laws of the State of New York. As a corporate entity, Vantor Holdings Corp. cannot appear pro se in federal court; it must be represented by a licensed attorney admitted to the bar of this Court. See Rowland v. California Men's Colony, 506 U.S. 194, 201–02 (1993); Jones v. Niagara Frontier Transp. Auth., 722 F.2d 20, 22 (2d Cir. 1983). Mr. Vantorovich's pro se appearance at the February 12, 2024 hearing was permitted by Judge Calloway solely for the limited purpose of addressing the Order to Show Cause and requesting an extension of the deadline to retain substitute counsel. Mr. Vantorovich is not authorized to file pleadings, motions, or other papers on behalf of the corporate plaintiff, and any attempt to do so would be subject to challenge. This limitation further constrains Vantor's ability to prosecute its claims absent the retention of qualified counsel.

3. Docket Review — Q2 2024

Review Method: The docket review was conducted via the PACER/ECF electronic case filing system for the United States District Court for the Southern District of New York. The docket for Case No. 22-cv-07841 was accessed and reviewed in its entirety on July 8, 2024. In addition to reviewing the docket sheet entries, the undersigned confirmed that no new documents had been uploaded to the ECF system and that no pending deadlines or scheduled events appeared on the Court's calendar for this case.

Review Period: April 13, 2024 through July 8, 2024.

Findings:

The docket review for the Q2 2024 reporting period yielded the following findings:

New Filings: None. No documents of any kind have been filed by any party or non-party to this action since February 12, 2024. Specifically, no complaints, amended pleadings, motions, memoranda of law, affidavits, declarations, discovery materials, letters, or other papers have been submitted to the Court by either the plaintiff or the defendant during the review period. The docket remains static as of the date of the February 12, 2024 minute entry.

New Counsel Appearance: None. No notice of appearance has been filed on behalf of Vantor Holdings Corp. by any attorney or law firm. Similarly, no notice of appearance has been filed on behalf of Vantor Transport Services LLC, a related entity referenced in certain allegations of the Amended Complaint. The April 12, 2024 deadline set by Judge Calloway for new counsel to file a notice of appearance expired without compliance, and no counsel has appeared at any point during the 87 days since that deadline passed.

Court Orders: None. No orders, scheduling notices, minute entries, or other judicial action of any kind has been entered on the docket since the February 12, 2024 hearing. Notably, the Court has not issued a further Order to Show Cause, a notice of intent to dismiss for failure to prosecute, or any other directive following the expiration of the April 12, 2024 deadline. The Court has likewise not issued any administrative orders or notices relating to the case.

Motions: None pending. No new motions have been filed by either party during the review period. The defense has no pending motions before the Court. No cross-motions, discovery motions, or other interlocutory applications are outstanding.

Other Activity: No letters, status reports, joint status updates, stipulations, or other communications of any nature have been filed on the docket during the review period. No amicus briefs or intervention applications have been filed. No third-party subpoenas or other discovery-related filings appear on the docket. The case has been entirely inactive during the Q2 2024 period.

In summary, there has been zero docket activity in this matter during the Q2 2024 review period. The case remains in the same procedural posture as it was at the time the dormancy protocol was implemented in mid-April 2024.

4. Summary of Key Prior Docket Events (Context)

For reference and to provide appropriate context for this report, the following chronological table summarizes the critical docket entries in this matter from the filing of the original complaint through the current reporting period:

This chronological summary is intended to provide a concise reference tool for the litigation team. The complete docket sheet, as downloaded from PACER/ECF on July 8, 2024, is maintained in the electronic matter file under Matter No. 1012-00005, Category I (Court Filings & Docket Sheets).

5. Days of Inactivity

As of the date of this report (July 8, 2024), the following measures of inactivity are noted:

• Days since last docket entry: Approximately 147 days (nearly five months) have elapsed since the last docket entry on February 12, 2024 (the minute entry reflecting the Order to Show Cause hearing). No filing, order, or other activity of any kind has appeared on the docket since that date.

• Days since expiration of the April 12, 2024 deadline: Approximately 87 days have elapsed since the Court-imposed deadline for Vantor Holdings Corp. to retain substitute counsel and cause such counsel to file a notice of appearance. That deadline expired without compliance and without any request for further extension.

• Days since withdrawal of plaintiff's counsel: The case has been effectively without active plaintiff's counsel since Caldwell Royce & Shapiro LLP's withdrawal was granted on October 18, 2023 — a period of approximately 264 days, or roughly 8.5 months, as of the date of this report. During that entire period, no attorney has entered an appearance on behalf of the plaintiff corporation, and no substantive filings have been made in furtherance of the plaintiff's claims.

These periods of inactivity are significant in the context of any future motion to dismiss for failure to prosecute under Fed. R. Civ. P. 41(b). Courts in the Second Circuit apply the five-factor test set forth in Drake v. City of New York, 2020 WL 2616156 (S.D.N.Y. May 22, 2020), and LeSane v. Hall's Security Analyst, Inc., 239 F.3d 206, 209 (2d Cir. 2001), which considers, among other factors, the duration of the plaintiff's inaction and whether the plaintiff was given notice that further delay would result in dismissal. Both factors weigh heavily in favor of dismissal on the present record. However, the strategic decision regarding whether and when to file such a motion rests with the responsible partner and the litigation team and is outside the scope of this docket monitoring report.

6. Assessment and Observations

Based on the docket review conducted for the Q2 2024 reporting period, the following assessment and observations are offered for the litigation team's consideration:

Failure to Comply with Court-Ordered Deadlines. Vantor Holdings Corp. has now failed to comply with two successive court-ordered deadlines to retain substitute counsel. The first deadline, December 17, 2023, was set in the October 18, 2023 order granting the withdrawal of Caldwell Royce & Shapiro LLP. The second deadline, April 12, 2024, was set at the February 12, 2024 hearing on the Order to Show Cause. In both instances, the deadline expired without compliance and without any filing or communication from Vantor or its representatives. This pattern of non-compliance strengthens the basis for any potential motion for dismissal for failure to prosecute and may inform the Court's assessment of Vantor's diligence — or lack thereof — in pursuing its claims.

Absence of Sua Sponte Court Action. Notably, the Court has not yet taken sua sponte action following the expiration of the April 12, 2024 deadline. No further Order to Show Cause, order of dismissal, or other judicial directive has been entered. While the Court retains inherent authority to dismiss the case on its own motion under Fed. R. Civ. P. 41(b), it has not yet exercised that authority. This may reflect the Court's typical practice of awaiting a motion from the opposing party, or it may reflect the volume of the Court's docket and the relatively low priority of a dormant case. In either event, the absence of sua sponte action does not alter the defense's strategic options and should not be interpreted as an indication that the Court is disinclined to grant dismissal if properly requested.

Dormancy Protocol — Reactivation Triggers. Per the dormancy protocol established in the April 15, 2024 Internal Memorandum, the triggers for reactivation of active case management include: (a) new counsel filing a notice of appearance for Vantor Holdings Corp.; (b) any court order directing action by the parties, including but not limited to a scheduling order, an Order to Show Cause, or an order setting a conference or hearing; and (c) any filing by Vantor Holdings Corp. or on its behalf, including letters, motions, or other papers. None of these triggers have been activated during the Q2 2024 review period. Accordingly, the matter remains in dormant/monitoring status, and no reactivation of active case management is required at this time.

Cross-Reference to Memorandum on Case Resolution Options. This report notes for the record that the dormancy protocol contemplated the preparation of a separate Memorandum — Options for Case Resolution by Patrick Gallagher addressing the strategic options available to Stonefield at this juncture. Those options were anticipated to include: (i) filing a renewed motion for involuntary dismissal for failure to prosecute under Fed. R. Civ. P. 41(b), potentially building upon the draft motion previously prepared; (ii) continued monitoring pursuant to the dormancy protocol, allowing additional time for the Court to act sua sponte or for Vantor to either retain counsel or effectively abandon its claims; and (iii) direct outreach to Mr. Vantorovich, either through informal communication or through a formal letter, to ascertain the plaintiff's intentions. The undersigned understands that the Options Memorandum is under development and will be circulated to the litigation team upon completion. This docket check report is intended to provide a factual foundation for that analysis.

7. Recommended Next Steps

Based on the findings of this quarterly docket check, the following next steps are recommended:

1. Continue Quarterly Docket Monitoring. The dormancy protocol should remain in effect, and docket monitoring should continue on a quarterly basis. The next quarterly docket check is scheduled for approximately October 7, 2024, covering the Q3 2024 period (July 9, 2024 through approximately October 7, 2024). The undersigned will prepare and circulate the Q3 2024 Quarterly Docket Check Report promptly following that review.

2. Consider Affirmative Motion Practice. This report is flagged for the attention of Patrick Gallagher, Lead Associate, and Samuel Eklund, Responsible Partner: the team should consider whether the time has come to file a renewed motion to dismiss for failure to prosecute under Fed. R. Civ. P. 41(b), or alternatively, to submit a letter to the Court pursuant to Judge Calloway's Individual Practices requesting that the Court take action in light of the extended period of inactivity and Vantor's failure to comply with two court-ordered deadlines. The case has now been without active plaintiff's counsel for over eight months, and the second court-imposed deadline has been in default for nearly three months. These circumstances present a strong basis for dismissal under the LeSane factors, and the continued accrual of dormancy may weigh in favor of earlier rather than later action.

3. Draft Motion to Dismiss Available for Finalization. The draft Motion to Dismiss for Failure to Prosecute, initially prepared on January 15, 2024 by Patrick Gallagher and Simone Laroche, Junior Associate, remains available in the matter file. That draft was prepared in anticipation of the possibility that Vantor would fail to comply with the original December 17, 2023 deadline and was held in abeyance when the Court issued the Order to Show Cause and subsequently granted the 60-day extension. The draft will require updating to reflect the subsequent events (the February 12, 2024 hearing, the second missed deadline, and the continued period of inactivity), but the core legal arguments and supporting case law remain sound. The motion can be finalized and filed on short notice upon instruction from the responsible partner.

4. Client Communication — Lakeshore National Bank. The litigation team should confirm whether a mid-year quarterly litigation update to Lakeshore National Bank is warranted at this time. Catherine Devereaux, Senior Vice President, Loan Administration, at Lakeshore National Bank, has historically received quarterly updates on this matter as required under the reporting covenant in Stonefield's credit facility. The most recent update was provided on January 5, 2024, covering the fourth quarter of 2023. It is recommended that the team confirm with Tobias Wren, General Counsel of Stonefield Logistics Group Inc., whether a mid-year update is needed or whether the next update can be deferred until the regularly scheduled Q3/Q4 cycle, given the absence of any material developments. If an update is warranted, it should note the continued dormancy of the case and the absence of any new activity.

8. Distribution and Filing

This report is being provided to Patrick Gallagher, Lead Associate, Litigation (General), for his review and for further distribution as he deems appropriate. In particular, distribution to the following individuals may be warranted:

• Samuel Eklund, Partner, Responsible Partner for this matter;

• Linda Osei, Partner, Billing Partner for this matter.

Distribution to the client, including Tobias Wren, General Counsel of Stonefield Logistics Group Inc., is at the discretion of the responsible partner. This report is designated as Attorney Work Product — Privileged and Confidential and should be treated accordingly.

A copy of this report will be maintained in the matter file under Matter No. 1012-00005, Category XII (Dormancy & Case Monitoring). A PDF copy of the PACER/ECF docket sheet as downloaded on July 8, 2024 is being filed concurrently in the electronic matter file under Category I (Court Filings & Docket Sheets) for reference.

Prepared by:

________________________________________

Helen Tsao Senior Paralegal Calderwood & Harkness LLP 200 Park Avenue, 38th Floor New York, NY 10166 Telephone: (212) 555-4200

Email: htsao@calderwoodharkness.com

Date: July 8, 2024

ATTORNEY WORK PRODUCT — PRIVILEGED AND CONFIDENTIAL This document has been prepared in anticipation of litigation and at the direction of counsel. It is protected by the attorney work product doctrine and the attorney-client privilege. This document is not to be disclosed, distributed, or reproduced without the express authorization of the responsible partner. Unauthorized disclosure may result in waiver of applicable privileges.

Docket Date	Entry Description
August 12, 2022	Original Complaint filed by Vantor Holdings Corp. against Stonefield Logistics Group Inc., asserting claims for breach of contract, tortious interference with prospective business relations, and unjust enrichment arising out of the parties' master freight forwarding agreement. Caldwell Royce & Shapiro LLP (William J. Caldwell, Daniel R. Shapiro) appeared as counsel of record for plaintiff.
December 2, 2022	Amended Complaint filed by Vantor Holdings Corp., adding additional factual allegations relating to Stonefield's alleged diversion of Vantor's logistics contracts to a competing entity and including a claim for breach of the implied covenant of good faith and fair dealing.
January 13, 2023	Stonefield Logistics Group Inc.'s Answer to the Amended Complaint, Affirmative Defenses, and Counterclaim filed by Calderwood & Harkness LLP (Samuel Eklund, Patrick Gallagher). Counterclaim asserts breach of contract and conversion relating to Vantor's alleged misappropriation of Stonefield's proprietary routing algorithms.
February 17, 2023	Case Management Order entered by Judge Calloway following the initial pretrial conference. Key deadlines: completion of fact discovery by September 29, 2023; completion of expert discovery by January 12, 2024; dispositive motions due by March 1, 2024. Trial date reserved for Fall 2024 term.
October 3, 2023	Caldwell Royce & Shapiro LLP files Motion to Withdraw as counsel for Vantor Holdings Corp. pursuant to Local Civil Rule 1.4, citing irreconcilable differences with the client. Motion supported by a declaration of William J. Caldwell.
October 18, 2023	Court grants Motion to Withdraw. Order directs Vantor Holdings Corp. to retain new counsel and cause new counsel to file a notice of appearance within 60 days (by December 17, 2023). All pending deadlines in the Case Management Order are stayed pending retention of new counsel.
December 17, 2023	Deadline for new counsel to appear on behalf of Vantor expires. No notice of appearance or other filing is made.
January 8, 2024	Calderwood & Harkness LLP (Samuel Eklund) files letter to the Court pursuant to the Individual Practices of Judge Calloway, noting Vantor's failure to retain substitute counsel by the December 17, 2023 deadline and requesting a telephone conference to address the status of the case.
January 22, 2024	Court issues Order to Show Cause directing Vantor Holdings Corp. to appear on February 12, 2024 and show cause why its claims should not be dismissed for failure to prosecute pursuant to Fed. R. Civ. P. 41(b). Copy of order served on Nikolai Vantorovich at the last known address of Vantor Holdings Corp.
February 12, 2024	Hearing on Order to Show Cause. Nikolai Vantorovich appears pro se on behalf of Vantor Holdings Corp. for the limited purpose of addressing the OSC. Mr. Vantorovich requests 90-day extension. Court grants 60-day extension; sets April 12, 2024 as deadline for new counsel appearance. Court indicates on the record that no further extensions will be granted absent extraordinary circumstances.
April 12, 2024	Extension deadline expires. No notice of appearance filed. No filings of any kind made on behalf of Vantor Holdings Corp.
April 13 – July 8, 2024	No docket activity of any kind (current Q2 2024 reporting period).

ATTORNEY WORK PRODUCT — PRIVILEGED AND CONFIDENTIAL
Quarterly Docket Check Report — Q2 2024
Firm: Calderwood & Harkness LLP 200 Park Avenue, 38th Floor New York, NY 10166
Matter Name: Vantor Holdings Corp. v. Stonefield Logistics Group Inc.
Case Number: 22-cv-07841 (S.D.N.Y.)
Court: United States District Court for the Southern District of New York
Presiding Judge: Hon. Margaret T. Calloway, U.S.D.J.
C&H Matter No.: 1012-00005
Client: Stonefield Logistics Group Inc.
Report Date: July 8, 2024
Prepared By: Helen Tsao, Senior Paralegal
Distributed To: Patrick Gallagher, Lead Associate, Litigation (General)
Designation: Attorney Work Product — Privileged and Confidential
1. Purpose and Scope of Report
This report constitutes the quarterly docket check for the second quarter of 2024, covering the period from April 13, 2024 through July 8, 2024. The review has been conducted pursuant to the case dormancy protocol established in the Internal Memorandum — Case Dormancy Protocol dated April 15, 2024, authored by Patrick Gallagher, Lead Associate, and approved by Samuel Eklund, Responsible Partner. That protocol was adopted in recognition of the particular procedural posture of this matter and the likelihood that the case would remain inactive for an extended period following the expiration of the Court's most recent deadline for plaintiff to retain substitute counsel.
Under the terms of the dormancy protocol, quarterly docket checks on the PACER/ECF system for Case No. 22-cv-07841 are to be performed to monitor for any new filings, orders, counsel appearances, or other docket activity that would trigger reactivation of active case management on behalf of our client, Stonefield Logistics Group Inc. The protocol was designed to ensure that Stonefield's interests remain protected during any period of inactivity while also minimizing unnecessary expenditure of legal fees during a period in which no affirmative action by the defense team is required.
For context, the matter was placed on dormant/monitoring status following the expiration of the April 12, 2024 deadline for Vantor Holdings Corp. to retain substitute counsel. That deadline was set by the Court during the February 12, 2024 hearing on the Order to Show Cause and represented a 60-day extension of the original December 17, 2023 deadline established when the Court granted the withdrawal of Caldwell Royce & Shapiro LLP as plaintiff's counsel on October 18, 2023. The April 12, 2024 deadline passed without any notice of appearance or other filing by Vantor Holdings Corp. or on its behalf, confirming the anticipated dormancy of the case and triggering implementation of the monitoring protocol.
This is the first quarterly docket check report prepared under the dormancy protocol. Subsequent reports are scheduled on an approximately quarterly basis, with the next review anticipated for the week of October 7, 2024 (Q3 2024).
2. Case Status Summary
Current Case Posture: Dormant. There are no pending motions before the Court. All discovery and dispositive motion deadlines were previously stayed by the Court pursuant to the October 18, 2023 order granting the withdrawal of Caldwell Royce & Shapiro LLP as counsel for the plaintiff, Vantor Holdings Corp. The stay remains in effect, and no party has moved to lift or modify it. No scheduling conference has been held or ordered since the stay was imposed, and no amended case management plan has been entered.
Last Docket Entry: The most recent entry on the docket is dated February 12, 2024. That entry is a minute entry reflecting the hearing held before Judge Calloway on the Court's Order to Show Cause, which had been issued on January 22, 2024. At that hearing, Nikolai Vantorovich, identified on the record as Chief Executive Officer and Founder of Vantor Holdings Corp., appeared pro se and addressed the Court regarding Vantor's efforts to retain substitute counsel. According to the minute entry, Mr. Vantorovich represented to the Court that he had been in discussions with several law firms but had not yet secured a formal engagement. He requested a 90-day extension of the deadline to retain new counsel, citing the complexity of the underlying claims and the difficulty in identifying a firm willing to take the case at what he described as a mid-stream juncture. Judge Calloway granted a 60-day extension, rather than the 90 days requested, and set a new deadline of April 12, 2024 for new counsel to file a notice of appearance on behalf of Vantor Holdings Corp. The Court's minute entry further noted that no further extensions would be granted absent extraordinary circumstances.
Key Procedural Note: It is important to note for the record that Vantor Holdings Corp. is a New York corporation organized and existing under the laws of the State of New York. As a corporate entity, Vantor Holdings Corp. cannot appear pro se in federal court; it must be represented by a licensed attorney admitted to the bar of this Court. See Rowland v. California Men's Colony, 506 U.S. 194, 201–02 (1993); Jones v. Niagara Frontier Transp. Auth., 722 F.2d 20, 22 (2d Cir. 1983). Mr. Vantorovich's pro se appearance at the February 12, 2024 hearing was permitted by Judge Calloway solely for the limited purpose of addressing the Order to Show Cause and requesting an extension of the deadline to retain substitute counsel. Mr. Vantorovich is not authorized to file pleadings, motions, or other papers on behalf of the corporate plaintiff, and any attempt to do so would be subject to challenge. This limitation further constrains Vantor's ability to prosecute its claims absent the retention of qualified counsel.
3. Docket Review — Q2 2024
Review Method: The docket review was conducted via the PACER/ECF electronic case filing system for the United States District Court for the Southern District of New York. The docket for Case No. 22-cv-07841 was accessed and reviewed in its entirety on July 8, 2024. In addition to reviewing the docket sheet entries, the undersigned confirmed that no new documents had been uploaded to the ECF system and that no pending deadlines or scheduled events appeared on the Court's calendar for this case.
Review Period: April 13, 2024 through July 8, 2024.
Findings:
The docket review for the Q2 2024 reporting period yielded the following findings:
New Filings: None. No documents of any kind have been filed by any party or non-party to this action since February 12, 2024. Specifically, no complaints, amended pleadings, motions, memoranda of law, affidavits, declarations, discovery materials, letters, or other papers have been submitted to the Court by either the plaintiff or the defendant during the review period. The docket remains static as of the date of the February 12, 2024 minute entry.
New Counsel Appearance: None. No notice of appearance has been filed on behalf of Vantor Holdings Corp. by any attorney or law firm. Similarly, no notice of appearance has been filed on behalf of Vantor Transport Services LLC, a related entity referenced in certain allegations of the Amended Complaint. The April 12, 2024 deadline set by Judge Calloway for new counsel to file a notice of appearance expired without compliance, and no counsel has appeared at any point during the 87 days since that deadline passed.
Court Orders: None. No orders, scheduling notices, minute entries, or other judicial action of any kind has been entered on the docket since the February 12, 2024 hearing. Notably, the Court has not issued a further Order to Show Cause, a notice of intent to dismiss for failure to prosecute, or any other directive following the expiration of the April 12, 2024 deadline. The Court has likewise not issued any administrative orders or notices relating to the case.
Motions: None pending. No new motions have been filed by either party during the review period. The defense has no pending motions before the Court. No cross-motions, discovery motions, or other interlocutory applications are outstanding.
Other Activity: No letters, status reports, joint status updates, stipulations, or other communications of any nature have been filed on the docket during the review period. No amicus briefs or intervention applications have been filed. No third-party subpoenas or other discovery-related filings appear on the docket. The case has been entirely inactive during the Q2 2024 period.
In summary, there has been zero docket activity in this matter during the Q2 2024 review period. The case remains in the same procedural posture as it was at the time the dormancy protocol was implemented in mid-April 2024.
4. Summary of Key Prior Docket Events (Context)
For reference and to provide appropriate context for this report, the following chronological table summarizes the critical docket entries in this matter from the filing of the original complaint through the current reporting period:
This chronological summary is intended to provide a concise reference tool for the litigation team. The complete docket sheet, as downloaded from PACER/ECF on July 8, 2024, is maintained in the electronic matter file under Matter No. 1012-00005, Category I (Court Filings & Docket Sheets).
5. Days of Inactivity
As of the date of this report (July 8, 2024), the following measures of inactivity are noted:
•  Days since last docket entry: Approximately 147 days (nearly five months) have elapsed since the last docket entry on February 12, 2024 (the minute entry reflecting the Order to Show Cause hearing). No filing, order, or other activity of any kind has appeared on the docket since that date.
•  Days since expiration of the April 12, 2024 deadline: Approximately 87 days have elapsed since the Court-imposed deadline for Vantor Holdings Corp. to retain substitute counsel and cause such counsel to file a notice of appearance. That deadline expired without compliance and without any request for further extension.
•  Days since withdrawal of plaintiff's counsel: The case has been effectively without active plaintiff's counsel since Caldwell Royce & Shapiro LLP's withdrawal was granted on October 18, 2023 — a period of approximately 264 days, or roughly 8.5 months, as of the date of this report. During that entire period, no attorney has entered an appearance on behalf of the plaintiff corporation, and no substantive filings have been made in furtherance of the plaintiff's claims.
These periods of inactivity are significant in the context of any future motion to dismiss for failure to prosecute under Fed. R. Civ. P. 41(b). Courts in the Second Circuit apply the five-factor test set forth in Drake v. City of New York, 2020 WL 2616156 (S.D.N.Y. May 22, 2020), and LeSane v. Hall's Security Analyst, Inc., 239 F.3d 206, 209 (2d Cir. 2001), which considers, among other factors, the duration of the plaintiff's inaction and whether the plaintiff was given notice that further delay would result in dismissal. Both factors weigh heavily in favor of dismissal on the present record. However, the strategic decision regarding whether and when to file such a motion rests with the responsible partner and the litigation team and is outside the scope of this docket monitoring report.
6. Assessment and Observations
Based on the docket review conducted for the Q2 2024 reporting period, the following assessment and observations are offered for the litigation team's consideration:
Failure to Comply with Court-Ordered Deadlines. Vantor Holdings Corp. has now failed to comply with two successive court-ordered deadlines to retain substitute counsel. The first deadline, December 17, 2023, was set in the October 18, 2023 order granting the withdrawal of Caldwell Royce & Shapiro LLP. The second deadline, April 12, 2024, was set at the February 12, 2024 hearing on the Order to Show Cause. In both instances, the deadline expired without compliance and without any filing or communication from Vantor or its representatives. This pattern of non-compliance strengthens the basis for any potential motion for dismissal for failure to prosecute and may inform the Court's assessment of Vantor's diligence — or lack thereof — in pursuing its claims.
Absence of Sua Sponte Court Action. Notably, the Court has not yet taken sua sponte action following the expiration of the April 12, 2024 deadline. No further Order to Show Cause, order of dismissal, or other judicial directive has been entered. While the Court retains inherent authority to dismiss the case on its own motion under Fed. R. Civ. P. 41(b), it has not yet exercised that authority. This may reflect the Court's typical practice of awaiting a motion from the opposing party, or it may reflect the volume of the Court's docket and the relatively low priority of a dormant case. In either event, the absence of sua sponte action does not alter the defense's strategic options and should not be interpreted as an indication that the Court is disinclined to grant dismissal if properly requested.
Dormancy Protocol — Reactivation Triggers. Per the dormancy protocol established in the April 15, 2024 Internal Memorandum, the triggers for reactivation of active case management include: (a) new counsel filing a notice of appearance for Vantor Holdings Corp.; (b) any court order directing action by the parties, including but not limited to a scheduling order, an Order to Show Cause, or an order setting a conference or hearing; and (c) any filing by Vantor Holdings Corp. or on its behalf, including letters, motions, or other papers. None of these triggers have been activated during the Q2 2024 review period. Accordingly, the matter remains in dormant/monitoring status, and no reactivation of active case management is required at this time.
Cross-Reference to Memorandum on Case Resolution Options. This report notes for the record that the dormancy protocol contemplated the preparation of a separate Memorandum — Options for Case Resolution by Patrick Gallagher addressing the strategic options available to Stonefield at this juncture. Those options were anticipated to include: (i) filing a renewed motion for involuntary dismissal for failure to prosecute under Fed. R. Civ. P. 41(b), potentially building upon the draft motion previously prepared; (ii) continued monitoring pursuant to the dormancy protocol, allowing additional time for the Court to act sua sponte or for Vantor to either retain counsel or effectively abandon its claims; and (iii) direct outreach to Mr. Vantorovich, either through informal communication or through a formal letter, to ascertain the plaintiff's intentions. The undersigned understands that the Options Memorandum is under development and will be circulated to the litigation team upon completion. This docket check report is intended to provide a factual foundation for that analysis.
7. Recommended Next Steps
Based on the findings of this quarterly docket check, the following next steps are recommended:
1.  Continue Quarterly Docket Monitoring. The dormancy protocol should remain in effect, and docket monitoring should continue on a quarterly basis. The next quarterly docket check is scheduled for approximately October 7, 2024, covering the Q3 2024 period (July 9, 2024 through approximately October 7, 2024). The undersigned will prepare and circulate the Q3 2024 Quarterly Docket Check Report promptly following that review.
2.  Consider Affirmative Motion Practice. This report is flagged for the attention of Patrick Gallagher, Lead Associate, and Samuel Eklund, Responsible Partner: the team should consider whether the time has come to file a renewed motion to dismiss for failure to prosecute under Fed. R. Civ. P. 41(b), or alternatively, to submit a letter to the Court pursuant to Judge Calloway's Individual Practices requesting that the Court take action in light of the extended period of inactivity and Vantor's failure to comply with two court-ordered deadlines. The case has now been without active plaintiff's counsel for over eight months, and the second court-imposed deadline has been in default for nearly three months. These circumstances present a strong basis for dismissal under the LeSane factors, and the continued accrual of dormancy may weigh in favor of earlier rather than later action.
3.  Draft Motion to Dismiss Available for Finalization. The draft Motion to Dismiss for Failure to Prosecute, initially prepared on January 15, 2024 by Patrick Gallagher and Simone Laroche, Junior Associate, remains available in the matter file. That draft was prepared in anticipation of the possibility that Vantor would fail to comply with the original December 17, 2023 deadline and was held in abeyance when the Court issued the Order to Show Cause and subsequently granted the 60-day extension. The draft will require updating to reflect the subsequent events (the February 12, 2024 hearing, the second missed deadline, and the continued period of inactivity), but the core legal arguments and supporting case law remain sound. The motion can be finalized and filed on short notice upon instruction from the responsible partner.
4.  Client Communication — Lakeshore National Bank. The litigation team should confirm whether a mid-year quarterly litigation update to Lakeshore National Bank is warranted at this time. Catherine Devereaux, Senior Vice President, Loan Administration, at Lakeshore National Bank, has historically received quarterly updates on this matter as required under the reporting covenant in Stonefield's credit facility. The most recent update was provided on January 5, 2024, covering the fourth quarter of 2023. It is recommended that the team confirm with Tobias Wren, General Counsel of Stonefield Logistics Group Inc., whether a mid-year update is needed or whether the next update can be deferred until the regularly scheduled Q3/Q4 cycle, given the absence of any material developments. If an update is warranted, it should note the continued dormancy of the case and the absence of any new activity.
8. Distribution and Filing
This report is being provided to Patrick Gallagher, Lead Associate, Litigation (General), for his review and for further distribution as he deems appropriate. In particular, distribution to the following individuals may be warranted:
•  Samuel Eklund, Partner, Responsible Partner for this matter;
•  Linda Osei, Partner, Billing Partner for this matter.
Distribution to the client, including Tobias Wren, General Counsel of Stonefield Logistics Group Inc., is at the discretion of the responsible partner. This report is designated as Attorney Work Product — Privileged and Confidential and should be treated accordingly.
A copy of this report will be maintained in the matter file under Matter No. 1012-00005, Category XII (Dormancy & Case Monitoring). A PDF copy of the PACER/ECF docket sheet as downloaded on July 8, 2024 is being filed concurrently in the electronic matter file under Category I (Court Filings & Docket Sheets) for reference.
Prepared by:
________________________________________
Helen Tsao Senior Paralegal Calderwood & Harkness LLP 200 Park Avenue, 38th Floor New York, NY 10166 Telephone: (212) 555-4200
Email: htsao@calderwoodharkness.com
Date: July 8, 2024
ATTORNEY WORK PRODUCT — PRIVILEGED AND CONFIDENTIAL This document has been prepared in anticipation of litigation and at the direction of counsel. It is protected by the attorney work product doctrine and the attorney-client privilege. This document is not to be disclosed, distributed, or reproduced without the express authorization of the responsible partner. Unauthorized disclosure may result in waiver of applicable privileges.
Docket Date | Entry Description
August 12, 2022 | Original Complaint filed by Vantor Holdings Corp. against Stonefield Logistics Group Inc., asserting claims for breach of contract, tortious interference with prospective business relations, and unjust enrichment arising out of the parties' master freight forwarding agreement. Caldwell Royce & Shapiro LLP (William J. Caldwell, Daniel R. Shapiro) appeared as counsel of record for plaintiff.
December 2, 2022 | Amended Complaint filed by Vantor Holdings Corp., adding additional factual allegations relating to Stonefield's alleged diversion of Vantor's logistics contracts to a competing entity and including a claim for breach of the implied covenant of good faith and fair dealing.
January 13, 2023 | Stonefield Logistics Group Inc.'s Answer to the Amended Complaint, Affirmative Defenses, and Counterclaim filed by Calderwood & Harkness LLP (Samuel Eklund, Patrick Gallagher). Counterclaim asserts breach of contract and conversion relating to Vantor's alleged misappropriation of Stonefield's proprietary routing algorithms.
February 17, 2023 | Case Management Order entered by Judge Calloway following the initial pretrial conference. Key deadlines: completion of fact discovery by September 29, 2023; completion of expert discovery by January 12, 2024; dispositive motions due by March 1, 2024. Trial date reserved for Fall 2024 term.
October 3, 2023 | Caldwell Royce & Shapiro LLP files Motion to Withdraw as counsel for Vantor Holdings Corp. pursuant to Local Civil Rule 1.4, citing irreconcilable differences with the client. Motion supported by a declaration of William J. Caldwell.
October 18, 2023 | Court grants Motion to Withdraw. Order directs Vantor Holdings Corp. to retain new counsel and cause new counsel to file a notice of appearance within 60 days (by December 17, 2023). All pending deadlines in the Case Management Order are stayed pending retention of new counsel.
December 17, 2023 | Deadline for new counsel to appear on behalf of Vantor expires. No notice of appearance or other filing is made.
January 8, 2024 | Calderwood & Harkness LLP (Samuel Eklund) files letter to the Court pursuant to the Individual Practices of Judge Calloway, noting Vantor's failure to retain substitute counsel by the December 17, 2023 deadline and requesting a telephone conference to address the status of the case.
January 22, 2024 | Court issues Order to Show Cause directing Vantor Holdings Corp. to appear on February 12, 2024 and show cause why its claims should not be dismissed for failure to prosecute pursuant to Fed. R. Civ. P. 41(b). Copy of order served on Nikolai Vantorovich at the last known address of Vantor Holdings Corp.
February 12, 2024 | Hearing on Order to Show Cause. Nikolai Vantorovich appears pro se on behalf of Vantor Holdings Corp. for the limited purpose of addressing the OSC. Mr. Vantorovich requests 90-day extension. Court grants 60-day extension; sets April 12, 2024 as deadline for new counsel appearance. Court indicates on the record that no further extensions will be granted absent extraordinary circumstances.
April 12, 2024 | Extension deadline expires. No notice of appearance filed. No filings of any kind made on behalf of Vantor Holdings Corp.
April 13 – July 8, 2024 | No docket activity of any kind (current Q2 2024 reporting period).

ATTORNEY WORK PRODUCT — PRIVILEGED AND CONFIDENTIAL

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