Robert Ladd Answer To SEC Discovery Request 8.19.19

Case 1:18-cv-08175-ER Document 158-1 Filed 08/19/19 Page 1 of 18
EXHIBIT A
5$1'$//5/((
&22/(<//3
QG6WUHHW
6XLWH
6DQWD0RQLFD&$
UDQGDOOOHH#FRROH\FRP

&+5,6-2+16721(
:,/0(5&87/(53,&.(5,1*+$/(
$1''255//3
3DJH0LOO5RDG
3DOR$OWR&DOLIRUQLD

Attorneys for Defendant Robert Ladd
81,7('67$7(6',675,&7&2857
6287+(51',675,&72)1(:<25.
[
6(&85,7,(6$1'(;&+$1*(&200,66,21

3ODLQWLII
&LY(5
DJDLQVW
(&)&$6(

%$55<&+21,*0,&+$(/%5$86(5
-2+167(7621-2+152¶5285.(,,,
52%(57/$''(//,270$=$%5,$1.(//(5
-2+1+)25'$7*&$3,7$///&*54
&2168/7$176,1&+6&2175$5,$1
,19(670(176//&*5$1'(5+2/',1*6
,1&DQG67(7621&$3,7$/,19(670(176
,1&

'HIHQGDQWV
[
'()(1'$1752%(57/$''¶65(63216(6$1'2%-(&7,21672
3/$,17,))6(&85,7,(6$1'(;&+$1*(&200,66,21¶6
),5676(72)5(48(676)257+(352'8&7,212)'2&80(176
3523281',1*3$57< 6(&85,7,(6$1'(;&+$1*(&200,66,21
5(6321',1*3$57< '()(1'$1752%(57/$''
6(712 21(

3XUVXDQWWR5XOHVDQGRIWKH)HGHUDO5XOHVRI&LYLO3URFHGXUHDQGWKH&RXUW¶V
/RFDO5XOHV'HIHQGDQW5REHUW/DGGKHUHE\REMHFWVDQGUHVSRQGVWR3ODLQWLIIWKH6HFXULWLHVDQG
([FKDQJH&RPPLVVLRQ¶V³6(&´)LUVW6HWRI5HTXHVWVIRUWKH3URGXFWLRQRI'RFXPHQWV
³5HTXHVWVIRU3URGXFWLRQ´RU³5HTXHVWV´
*(1(5$/5(63216(6
0U /DGG¶V UHVSRQVH WR WKH 5HTXHVWV LV PDGH WR WKH EHVW RI 0U /DGG¶V SUHVHQW
NQRZOHGJHLQIRUPDWLRQ DQG EHOLHI 7KLV UHVSRQVH LVDW DOO WLPHV VXEMHFW WRVXFK DGGLWLRQDO RU
GLIIHUHQWLQIRUPDWLRQWKDWGLVFRYHU\RUIXUWKHULQYHVWLJDWLRQPD\GLVFORVHDQGZKLOHEDVHGRQWKH
SUHVHQW VWDWH RI 0U /DGG¶V UHFROOHFWLRQ LV VXEMHFW WR VXFK UHIUHVKLQJ RI UHFROOHFWLRQ DQG VXFK
DGGLWLRQDONQRZOHGJHRIIDFWVDVPD\UHVXOWIURP0U/DGG¶VIXUWKHUGLVFRYHU\RULQYHVWLJDWLRQ
0U/DGGUHVHUYHVWKHULJKWWRPDNHDQ\XVHRIRUWRLQWURGXFHDWWULDOGRFXPHQWV
UHVSRQVLYH WR WKH 5HTXHVWV EXW GLVFRYHUHG VXEVHTXHQW WR WKH GDWH RI 0U /DGG¶V LQLWLDO
SURGXFWLRQLQFOXGLQJEXWQRWOLPLWHGWRDQ\GRFXPHQWVREWDLQHGLQGLVFRYHU\KHUHLQ
0U /DGG ZLOO QRW SURGXFH GRFXPHQWV WKDW DUH VXEMHFW WR WKH ZRUN SURGXFW
GRFWULQH DWWRUQH\FOLHQW SULYLOHJH RU DQ\ RWKHU DSSOLFDEOH SULYLOHJH RU SURWHFWLRQ $Q\
LQDGYHUWHQWSURGXFWLRQWKHUHRIVKDOOQRWEHGHHPHGDZDLYHURIDQ\SULYLOHJHRUSURWHFWLRQZLWK
UHVSHFWWRVXFKGRFXPHQWVRULQIRUPDWLRQ
0U /DGG UHVHUYHV WKH ULJKW WR GHFLGH ZKHWKHU GRFXPHQWV VKDOO EH SURGXFHG DV
WKH\DUHNHSWLQWKHXVXDOFRXUVHRIEXVLQHVVRUVKDOOEHRUJDQL]HGDQGODEHOHGWRFRUUHVSRQGZLWK
WKHFDWHJRULHVLQWKH5HTXHVWVLQDFFRUGDQFHZLWK)HGHUDO5XOHRI&LYLO3URFHGXUHE
0U /DGG UHVHUYHV DOO REMHFWLRQV RU RWKHU TXHVWLRQV DV WR WKH FRPSHWHQF\
UHOHYDQFH PDWHULDOLW\ SULYLOHJH RU DGPLVVLELOLW\ DV HYLGHQFH LQ DQ\ VXEVHTXHQW SURFHHGLQJ RU
WULDORIWKLVRUDQ\RWKHUDFWLRQIRUDQ\SXUSRVHZKDWVRHYHURIWKLVUHVSRQVHDQGDQ\GRFXPHQWRU
WKLQJSURGXFHGLQUHVSRQVHWRWKH5HTXHVWV

0U /DGG¶V IDLOXUH WR PDNH D VSHFLILF REMHFWLRQ WR D SDUWLFXODU 5HTXHVW IRU
3URGXFWLRQLVQRWDQGVKDOOQRWEHFRQVWUXHGDVDQDGPLVVLRQWKDWUHVSRQVLYHLQIRUPDWLRQH[LVWV
1RQH RI WKHVH 5HVSRQVHV LV DQ DGPLVVLRQ UHODWLYH WR WKH H[LVWHQFH RI DQ\ LQIRUPDWLRQ RU
GRFXPHQWV RU WR WKH UHOHYDQFH RU DGPLVVLELOLW\ RI DQ\ LQIRUPDWLRQ RU GRFXPHQWV UHIHUUHG WR LQ
3ODLQWLII¶V)LUVW6HWRI5HTXHVWVIRUWKH3URGXFWLRQRI'RFXPHQWV
0U/DGGZLOOQRWPDNHDSURGXFWLRQIURPDQ\HPDLODFFRXQWFRPSXWHURURWKHU
HOHFWURQLF GHYLFH RZQHG RU FRQWUROOHG E\ 0*7 &DSLWDO ,QF ³0*7´ DV DQ\ GRFXPHQWV DQG
LQIRUPDWLRQFRQWDLQHGWKHUHLQDUHWKHSURSHUW\RI0*7
$PRQJRWKHUUHDVRQV0*7LVDGLVWLQFWOHJDOHQWLW\0U/DGGGRHVQRWKDYHXQLODWHUDO
DXWKRULW\WRSURGXFH0*7GRFXPHQWVLQWKLVOLWLJDWLRQDQGGRHVQRWFRQWURO0*7¶VERDUGDQG
WKXVODFNVWKH³SUDFWLFDODELOLW\´DVDPDWWHURIODZWRSURGXFHVXFKGRFXPHQWVLQUHVSRQVHWR
WKHVH5HTXHVWVSee, e.g.Shcherbakovskiy v. Da Capo Al Fine/WG)GG&LU
$VDVHSDUDWHHQWLW\ZLWKLWVRZQULJKWVDQGUHVSRQVLELOLWLHV0*7ZDVUHSUHVHQWHGLQWKH
6(&¶VLQYHVWLJDWLRQDQGLVUHSUHVHQWHGLQWKLVDFWLRQE\VHSDUDWHFRXQVHO
0RUHRYHU3ODLQWLIIKDGDFFHVVWR0*7GRFXPHQWVGXULQJLWVLQYHVWLJDWLRQLQFOXGLQJE\
VXESRHQD RI 0*7 DQG WKURXJK QHJRWLDWLRQV ZLWK FRXQVHO IRU 0*7 DQG KDV PDGH XVH RI VXFK
PDWHULDOV LQ WKLV DFWLRQ 3ODLQWLII FRQWLQXHV WR KDYH DFFHVV WR DQ\ UHOHYDQW 0*7 UHFRUGV
GRFXPHQWVDQGLQIRUPDWLRQE\ZD\RIWKH)HGHUDO5XOHVRI&LYLO3URFHGXUHDQGWKXVPD\QRW
FRPSHO0U/DGGWRXQGHUWDNHWKHEXUGHQRISURYLGLQJVXFKPDWHULDOVXQGHU5XOHSee, e.g.
SEC v. Strauss1R&LY:/DW 6'1<2FWGenOn
Mid-Atl., LLC v. Stone & Webster, Inc.)5'6'1<aff’d:/
6'1<0D\
0U /DGG ZLOO PDNH UHDVRQDEOH HIIRUWV LI QHFHVVDU\ WR FRRSHUDWH ZLWK DQ\ IXWXUH

SURGXFWLRQRIUHOHYDQWPDWHULDOVE\0*7LQWKLVPDWWHU
0U /DGG KDV PDGH *HQHUDO 2EMHFWLRQV DQG VSHFLILF REMHFWLRQV KHUHLQ VR DV WR
SUHVHUYH KLV ULJKWV ,Q FRPSOLDQFH ZLWK WKH UHYLVHG )HGHUDO 5XOHV RI &LYLO 3URFHGXUH XQOHVV
VSHFLILFDOO\ QRWHG 0U /DGG ZLOO QRW RQ WKH EDVLV RI DQ\ SDUWLFXODU REMHFWLRQ ZLWKKROG
GRFXPHQWVWKDWDUHRWKHUZLVHUHVSRQVLYHWRDQ\5HTXHVWIRU3URGXFWLRQ
*(1(5$/2%-(&7,21
0U/DGGREMHFWVWRHDFK5HTXHVWIRU3URGXFWLRQDVXQUHDVRQDEO\FXPXODWLYHDQG
GXSOLFDWLYHDQGRYHUO\EXUGHQVRPHLQOLJKWRIWKH6(&¶VH[WHQVLYHFROOHFWLRQRIGRFXPHQWVDQG
RWKHULQIRUPDWLRQLQWKHFRXUVHRILWVLQYHVWLJDWLRQ$PRQJRWKHUVXESRHQDVLVVXHGLQWKHFRXUVH
RILWVLQYHVWLJDWLRQWKH6(&LVVXHGDVXESRHQDWR0*7RQ6HSWHPEHU0*7SURGXFHG
PRUHWKDQGRFXPHQWVWRWKH6(&$FFRUGLQJWRWKH6(&¶VLQLWLDOGLVFORVXUHVLQWKLVDFWLRQ
WKH6(&REWDLQHGGRFXPHQWSURGXFWLRQVIURPPRUHWKDQGLVWLQFWLQGLYLGXDOVDQGHQWLWLHVDQG
DOVRREWDLQHGWHVWLPRQ\IURPZLWQHVVHV$FFRUGLQJO\WKH6(&¶VXQWDUJHWHGDQGXQIRFXVHG
5HTXHVWVDUHLQDSSURSULDWHJLYHQWKHKLVWRU\RIWKH6(&¶VLQYHVWLJDWLRQRIWKLVFDVH
2%-(&7,216723/$,17,))¶6'(),1,7,216$1',16758&7,216
0U/DGGREMHFWVWR'HILQLWLRQ1RRI³<RX´RU³<RXU´WRWKHH[WHQWLWSXUSRUWVWR
GHILQHWKRVHWHUPVPRUHEURDGO\WKDQSHUPLWWHGE\5XOHRIWKH/RFDO5XOHVRIWKH6RXWKHUQ
'LVWULFWRI1HZ<RUN0U/DGGZLOOLQWHUSUHWWKHVHWHUPVFRQVLVWHQWZLWKWKH/RFDO5XOHV
0U/DGGREMHFWVWR'HILQLWLRQ1RWRWKHH[WHQWLWGHILQHVWKH³5HOHYDQW3HULRG´WR
HQFRPSDVVDSHULRGWKDWLQFOXGHVHYHQWVRXWVLGHWKHDSSOLFDEOHVWDWXWHRIOLPLWDWLRQVVXFKDVWKH
DOOHJDWLRQVFRQFHUQLQJHYHQWVLQDQG
0U/DGGREMHFWVWR,QVWUXFWLRQ1RDQGZLOOQRWSURYLGHWKHUHTXHVWHGLQIRUPDWLRQ
DERXWGRFXPHQWVWKDWDUHQRWLQKLVSRVVHVVLRQFXVWRG\RUFRQWURO7KHUHTXHVWLVQRWZLWKLQWKH

VFRSHRI)HGHUDO5XOHRI&LYLO3URFHGXUH&RPSO\LQJZLWKWKHUHTXHVWZRXOGEHXQGXO\
EXUGHQVRPHDQGOLNHO\LPSRVVLEOH
0U/DGGREMHFWVWR,QVWUXFWLRQ1RWRWKHH[WHQWLWVXJJHVWVWKDW0U/DGGEHDUV
UHVSRQVLELOLW\IRUWKHSURGXFWLRQRI0*7GRFXPHQWVIRUWKHUHDVRQVGLVFXVVHGDERYH
0U/DGGREMHFWVWR,QVWUXFWLRQ1REHFDXVHLWSXUSRUWVWRUHTXLUH0U/DGGWR
³FRQWLQXHWRSURGXFHUHVSRQVLYHGRFXPHQWVDVWKH\DUHIRXQGRUFUHDWHGRQDQRQJRLQJEDVLV´
'RFXPHQWVFUHDWHGIROORZLQJWKHILOLQJRIWKH&RPSODLQWDUHKLJKO\OLNHO\WREHSURWHFWHGE\
DWWRUQH\FOLHQWSULYLOHJHRUDVDWWRUQH\ZRUNSURGXFW0U/DGGZLOOWKHUHIRUHQRWSURGXFH
GRFXPHQWVFUHDWHGDIWHU6HSWHPEHU
'2&80(176$1'7+,1*65(48(67('
5(48(67)25352'8&7,2112
$OOGRFXPHQWVFRQFHUQLQJFRPPXQLFDWLRQVZLWKRUDERXWWKHIROORZLQJHQWLWLHVRUDQ\RIHDFK
RIWKHLUUHVSHFWLYHRIILFHUVGLUHFWRUVHPSOR\HHVSDUWQHUVFRUSRUDWHSDUHQWVXEVLGLDULHVRU
DIILOLDWHVDQGLQGLYLGXDOVGXULQJRUFRQFHUQLQJWKH5HOHYDQW3HULRGLQFOXGLQJHPDLOVWH[WV
FKDWVWHOHSKRQHUHFRUGVDXGLRUHFRUGLQJVFRQWUDFWVDQGRUDJUHHPHQWV
D %DUU\+RQLJ
E -RQDWKDQ+RQLJ
F $ODQ+RQLJ
G 0LFKDHO%UDXVHU
H %HQ%UDXVHU
I 0DUN*URXVVPDQ
J -RKQ6WHWVRQ
K -RKQ2
5RXUNH
L -RKQ)RUG
M 'UHZ&LFFDUHOOL
N 5LFN$OOLVRQ
O *HRUJH$QWRQRSRORXV
P <RDY5RWK
Q 5LFKDUG$EEH
R -RVKXD6LOYHUPDQ
S 0LFKDHO5DSSDSRUW
T -RKQ0F$IHH
U +DUYH\.HVQHU
V 7DUD*XHUQHUL)HUUDUD
W -D\.DSORZLW]

X $UWKXU0DUFXV
Y $YLWDO(YHQ6KRVKDQ
Z 6WRFNEHDVWFRP
[ 6PDOO&DSOHDGHU
] *54&RQVXOWDQWV,QF
DD )RXU.LGV,QYHVWPHQW)XQGV//&
EE *UDQGHU+ROGLQJV,QF
FF 0HOHFKGDYLG,QF
GG 6WHWVRQ&DSLWDO,QYHVWPHQWV,QF
HH $7*&DSLWDO//&
II %DUU\DQG5HQHH+RQLJ&KDULWDEOH)RXQGDWLRQ
JJ %URDGEDQG&DSLWDO0DQDJHPHQW
KK &KDUGDQ&DSLWDO0DUNHWV//&
LL '9DVLYH,QF
MM +XGVRQ%D\&DSLWDO0DQDJHPHQW/3
NN ,URTXRLV&DSLWDO0DQDJHPHQW//&
OO )XWXUH7HQVH6HFXUH6\VWHPV,QF
PP 76;9HQWXUHV//&

5(63216(725(48(67)25352'8&7,2112
0U/DGGREMHFWVWR5HTXHVWIRU3URGXFWLRQ1RRQWKHJURXQGVWKDWLWLVJURVVO\
RYHUEURDGRSSUHVVLYHDQGXQGXO\EXUGHQVRPHLQUHTXHVWLQJ³$OOGRFXPHQWVFRQFHUQLQJ´
VHSDUDWHLQGLYLGXDOVDQGHQWLWLHVLQOLJKWRIWKHIDFWWKDWWKH6(&LQYHVWLJDWHGWKHPDWWHUVUDLVHG
LQWKH&RPSODLQWIRUVHYHUDO\HDUVGXULQJZKLFKWLPHLWKDGWKHDXWKRULW\WRLVVXHDQXQOLPLWHG
QXPEHURIVXESRHQDV,QWKLVFRQWH[WVXFKDQXQWDUJHWHGDQGXQIRFXVHG5HTXHVWLV
LQDSSURSULDWHJLYHQWKHKLVWRU\RIWKH6(&¶VLQYHVWLJDWLRQRIWKLVFDVH
0U/DGGIXUWKHUREMHFWVWRWKLV5HTXHVWWRWKHH[WHQWLWFDOOVIRUGRFXPHQWVLQWKH6(&¶V
SRVVHVVLRQ7KH6(&REWDLQHGPRUHWKDQGRFXPHQWVWKDW0U/DGGVHQWRUUHFHLYHGZKHQ
LWVXESRHQDHG0*7GXULQJLWVLQYHVWLJDWLRQ7KH5HTXHVWLVGXSOLFDWLYHRIUHTXHVWVWKH6(&
PDGHGXULQJLWVLQYHVWLJDWLRQDQGLVWKHUHE\FXPXODWLYH
0U/DGGIXUWKHUREMHFWVWRWKLVUHTXHVWEHFDXVHLWFDOOVIRU0*7GRFXPHQWVDVWRZKLFK
WKH6(&KDVHTXDORUVXSHULRUDFFHVVWKDQ0U/DGGYLDWKH)HGHUDO5XOHVRI&LYLO3URFHGXUH

0U/DGGIXUWKHUREMHFWVWRWKLV5HTXHVWWRWKHH[WHQWLWFDOOVIRUGRFXPHQWVWKURXJKRXW
WKH³5HOHYDQW3HULRG´DVGHILQHGDQGWRWKHH[WHQWLWFDOOVIRUGRFXPHQWVFRQFHUQLQJLQGLYLGXDOV
RUHQWLWLHVZKRVHUHOHYDQFHLIDQ\LVWRHYHQWVGHVFULEHGLQWKHDOOHJDWLRQVLQWKH$PHQGHG
&RPSODLQWZLWKUHVSHFWWR&RPSDQ\%RFFXUULQJRXWVLGHWKHDSSOLFDEOHVWDWXWHRIOLPLWDWLRQV
VXFKDVWKHDOOHJDWLRQVFRQFHUQLQJHYHQWVLQDQG
0U/DGGIXUWKHUREMHFWVWR5HTXHVWIRU3URGXFWLRQ1RDVFDOOLQJIRUWKHSURGXFWLRQRI
LQIRUPDWLRQWKDWLVQRWUHOHYDQWWRPDWWHUVUDLVHGLQWKH$PHQGHG&RPSODLQWLQFOXGLQJE\OLVWLQJ
FHUWDLQLQGLYLGXDOVRUHQWLWLHVWKDW0U/DGGKDVQHYHUHYHQKHDUGRIKDVQHYHUKDGDQ\
LQWHUDFWLRQVZLWKDQGRUKDVQRXQGHUVWDQGLQJRIZK\WKH\DUHQDPHG
0U/DGGIXUWKHUREMHFWVWR5HTXHVWIRU3URGXFWLRQ1RDVFDOOLQJIRUWKHSURGXFWLRQRI
GRFXPHQWVWKDWDUHSURWHFWHGE\DWWRUQH\FOLHQWSULYLOHJH
6XEMHFWWRWKHIRUHJRLQJ*HQHUDO5HVSRQVHV*HQHUDO2EMHFWLRQV2EMHFWLRQVWR3ODLQWLII¶V
'HILQLWLRQVDQG,QVWUXFWLRQVDQGVSHFLILFREMHFWLRQV0U/DGGLVSURGXFLQJGRFXPHQWV
UHVSRQVLYHWRWKLV5HTXHVWIRU3URGXFWLRQDORQJZLWKWKHVH5HVSRQVHVDQG2EMHFWLRQV0U/DGG
LVQRWZLWKKROGLQJDQ\RWKHUZLVHUHVSRQVLYHGRFXPHQWVRQWKHEDVLVRIKLVREMHFWLRQV
5(48(67)25352'8&7,2112
$OOGRFXPHQWVFRQFHUQLQJ<RXUDFTXLVLWLRQEHQHILFLDORZQHUVKLSDQGWUDGLQJRI0*7VHFXULWLHV
GXULQJWKH5HOHYDQW3HULRGLQFOXGLQJEXWQRWOLPLWHGWREURNHUDJHUHFRUGVHPSOR\PHQW
DJUHHPHQWVRUVWRFNJUDQWVDQGFRPPXQLFDWLRQVZLWKDQ\UHSUHVHQWDWLYHRIDQ\WUDQVIHUDJHQWRU
EURNHUGHDOHUFRQFHUQLQJVXFKDFTXLVLWLRQEHQHILFLDORZQHUVKLSDQGWUDGLQJ
5(63216(725(48(67)25352'8&7,2112
FHUWDLQPDWWHUVLQOLJKWRIWKHIDFWWKDWWKH6(&LQYHVWLJDWHGWKHPDWWHUVUDLVHGLQWKH&RPSODLQW
IRUVHYHUDO\HDUVGXULQJZKLFKWLPHLWKDGWKHDXWKRULW\WRLVVXHDQXQOLPLWHGQXPEHURI

VXESRHQDV,QWKLVFRQWH[WVXFKDQXQWDUJHWHGDQGXQIRFXVHG5HTXHVWLVLQDSSURSULDWHJLYHQWKH
KLVWRU\RIWKH6(&¶VLQYHVWLJDWLRQRIWKLVFDVH
0U/DGGIXUWKHUREMHFWVWRWKLVUHTXHVWEHFDXVHLWFDOOVIRUGRFXPHQWVIURP0*7
EURNHUDJHILUPVDQGWUDQVIHUDJHQWVDVWRZKLFKWKH6(&KDVHTXDORUVXSHULRUDFFHVVWKDQ0U
/DGGYLDWKH)HGHUDO5XOHVRI&LYLO3URFHGXUH
'HILQLWLRQVDQG,QVWUXFWLRQVDQGVSHFLILFREMHFWLRQVDQGIROORZLQJDUHDVRQDEOHVHDUFK0U
/DGGLVSURGXFLQJGRFXPHQWVUHVSRQVLYHWRWKLV5HTXHVWIRU3URGXFWLRQDORQJZLWKWKHVH
5HVSRQVHVDQG2EMHFWLRQV0U/DGGLVQRWZLWKKROGLQJDQ\RWKHUZLVHUHVSRQVLYHGRFXPHQWVRQ
WKHEDVLVRIKLVREMHFWLRQV0U/DGGIXUWKHUVWDWHVWKDWKHKDVQRWKDGDFFHVVWRKLVEURNHUDJH
UHFRUGVVLQFHLQRUDERXWWKH)DOORIEHFDXVHDIWHUWKH6(&ILOHGLWV&RPSODLQWWKH
EURNHUDJHILUPVZKHUH0U/DGG¶VDFFRXQWVZHUHKHOGWHUPLQDWHGKLVDFFHVV
5(48(67)25352'8&7,2112
$OOGRFXPHQWVFRQFHUQLQJFRPPXQLFDWLRQVZLWKDQ\RIWKHIROORZLQJLQGLYLGXDOVRUHQWLWLHVRU
DQ\RQHDFWLQJRQHDFKRIKLVRULWVEHKDOIFRQFHUQLQJDQ\DFTXLVLWLRQRIVHFXULWLHVLQWKH

VHFXULWLHVRIIHULQJSULYDWHSODFHPHQWRURWKHUNLQGRIDFTXLVLWLRQWUDQVDFWLRQLQYROYLQJD
VHFXULWLHVLVVXHUGXULQJWKH5HOHYDQW3HULRG
%DUU\+RQLJ
0LFKDHO%UDXVHU
-RKQ6WHWVRQ
-RKQ2
5RXUNH
0DUN*URXVVPDQ
5LFKDUG$EEH
<RDY5RWK
*HRUJH$QWRQRSRXORV
%D\&DSLWDO
:KLWH7URXW/DNH//&
6DQGRU&DSLWDO0LUDPDU,QYHVWRUV
5(63216(725(48(67)25352'8&7,2112
FRPPXQLFDWLRQVZLWKVHSDUDWHLQGLYLGXDOVDQGHQWLWLHVLQOLJKWRIWKHIDFWWKDWWKH6(&
LQYHVWLJDWHGWKHPDWWHUVUDLVHGLQWKH&RPSODLQWIRUVHYHUDO\HDUVGXULQJZKLFKWLPHLWKDGWKH
DXWKRULW\WRLVVXHDQXQOLPLWHGQXPEHURIVXESRHQDV,QWKLVFRQWH[WVXFKDQXQWDUJHWHGDQG
XQIRFXVHG5HTXHVWLVLQDSSURSULDWHJLYHQWKHKLVWRU\RIWKH6(&¶VLQYHVWLJDWLRQRIWKLVFDVH

0U/DGGIXUWKHUREMHFWVWRWKLV5HTXHVWDVFDOOLQJIRUWKHSURGXFWLRQRILQIRUPDWLRQWKDW
LVQRWUHOHYDQWWRPDWWHUVUDLVHGLQWKH$PHQGHG&RPSODLQWLQFOXGLQJE\OLVWLQJFHUWDLQ
LQGLYLGXDOVRUHQWLWLHVWKDW0U/DGGKDVQHYHUHYHQKHDUGRIKDVQHYHUKDGDQ\LQWHUDFWLRQV
ZLWKDQGRUKDVQRXQGHUVWDQGLQJRIZK\WKH\DUHQDPHGDQGE\FDOOLQJIRUGRFXPHQWVUHODWHG
WRDQ\³VHFXULWLHVLVVXHU´DVRSSRVHGWR0*7
/DGGVWDWHVWKDWKHKDVQRUHVSRQVLYHGRFXPHQWVZLWKLQKLVSRVVHVVLRQFXVWRG\RUFRQWURO
5(48(67)25352'8&7,2112
DQ\RQHDFWLQJRQHDFKRIKLVRULWVEHKDOIFRQFHUQLQJ<RXUKLVRULWVLQWHQWLRQWRVHOOGLVSRVHRU
FRQYHUWDQ\VHFXULWLHVGXULQJWKH5HOHYDQW3HULRG
%DUU\+RQLJ
0LFKDHO%UDXVHU
-RKQ6WHWVRQ
-RKQ2
5RXUNH
0DUN*URXVVPDQ
5LFKDUG$EEH
<RDY5RWK
*HRUJH$QWRQRSRXORV
%D\&DSLWDO
:KLWH7URXW/DNH//&
5(63216(725(48(67)25352'8&7,2112

ZLWKDQGRUKDVQRXQGHUVWDQGLQJRIZK\WKH\DUHQDPHGDGE\VHHNLQJLQIRUPDWLRQUHODWLQJWR
WKHLQWHQWLRQWRVHOOGLVSRVHRUFRQYHUW³DQ\´VHFXULWLHVDVRSSRVHGWRWKRVHLVVXHGE\0*7

5(48(67)25352'8&7,2112
DQ\RQHDFWLQJRQHDFKRIKLVRULWVEHKDOIFRQFHUQLQJYRWLQJRQVKDUHKROGHUSURSRVDOVLQ
FRQQHFWLRQZLWKDQ\FRUSRUDWLRQLQZKLFK<RXKDGDQLQYHVWPHQWGXULQJWKH5HOHYDQW3HULRG
%DUU\+RQLJ
0LFKDHO%UDXVHU
-RKQ6WHWVRQ
-RKQ2¶5RXUNH
0DUN*URXVVPDQ
5LFKDUG$EEH
<RDY5RWK
*HRUJH$QWRQRSRXORV
%D\&DSLWDO
:KLWH7URXW/DNH//&
5(63216(725(48(67)25352'8&7,2112

ZLWKDQGRUKDVQRXQGHUVWDQGLQJRIZK\WKH\DUHQDPHGDQGE\VHHNLQJLQIRUPDWLRQ
FRQFHUQLQJYRWLQJRQVKDUHKROGHUSURSRVDOVLQFRQQHFWLRQZLWK³DQ\´FRUSRUDWLRQLQZKLFK0U
/DGGKDGDQLQYHVWPHQWDVRSSRVHGWR0*7
5(48(67)25352'8&7,2112
$OOGRFXPHQWVFRQFHUQLQJSUHVVUHOHDVHVLVVXHGE\0*7GXULQJWKH5HOHYDQW3HULRG
5(63216(725(48(67)25352'8&7,2112
RYHUEURDGRSSUHVVLYHDQGXQGXO\EXUGHQVRPHLQUHTXHVWLQJ³$OOGRFXPHQWVFRQFHUQLQJ´D
PDWWHUWKDWWKH6(&LQYHVWLJDWHGIRUVHYHUDO\HDUVGXULQJZKLFKWLPHLWKDGWKHDXWKRULW\WRLVVXH
DQXQOLPLWHGQXPEHURIVXESRHQDV,QWKLVFRQWH[WVXFKDQXQWDUJHWHGDQGXQIRFXVHG5HTXHVWLV
SRVVHVVLRQ7KH6(&REWDLQHGPRUHWKDQGRFXPHQWVIURP0*7GXULQJLWVLQYHVWLJDWLRQ
7KH5HTXHVWLVGXSOLFDWLYHRIUHTXHVWVWKH6(&PDGHGXULQJLWVLQYHVWLJDWLRQDQGLVWKHUHE\
FXPXODWLYH

5(48(67)25352'8&7,2112
$OOGRFXPHQWVFRQFHUQLQJ<RXUHIIRUWVWRHQKDQFHLQYHVWRUDZDUHQHVVRIDQ\FRUSRUDWLRQLQ
ZKLFK<RXRU0*7KDGDQLQYHVWPHQWGXULQJWKH5HOHYDQW3HULRG
5(63216(725(48(67)25352'8&7,2112
SRVVHVVLRQ7KH6(&REWDLQHGPRUHWKDQGRFXPHQWVIURP0*7GXULQJLWVLQYHVWLJDWLRQ
7KH5HTXHVWLVGXSOLFDWLYHRIUHTXHVWVWKH6(&PDGHGXULQJLWVLQYHVWLJDWLRQDQGLVWKHUHE\
FXPXODWLYH

0U/DGGIXUWKHUREMHFWVWRWKLV5HTXHVWWRWKHH[WHQWLWFDOOVIRUGRFXPHQWVUHODWLQJWR
HIIRUWVWRHQKDQFHLQYHVWRUDZDUHQHVVRI³DQ\´FRUSRUDWLRQLQZKLFK0U/DGGKDGDQ
LQYHVWPHQWDVRSSRVHGWR0*7
5(48(67)25352'8&7,2112
$OOGRFXPHQWVFRQFHUQLQJPDWFKHGFRRUGLQDWHGFRQWHPSRUDQHRXVRUVLPXOWDQHRXVWUDGLQJ
EHWZHHQ<RXDQGDQ\SHUVRQRUHQWLW\LQ0*7VHFXULWLHVGXULQJWKH5HOHYDQW3HULRG
5(63216(725(48(67)25352'8&7,2112

0U/DGGIXUWKHUREMHFWVWRWKLV5HTXHVWDVVHHNLQJLUUHOHYDQWLQIRUPDWLRQDQG
UHSUHVHQWLQJDILVKLQJH[SHGLWLRQEHFDXVHLQFRQWUDVWWRRWKHUQDPHGFRGHIHQGDQWVWKHUHLVQR
DOOHJDWLRQLQWKH$PHQGHG&RPSODLQWWKDW0U/DGGFRRUGLQDWHGWUDGLQJDFWLYLW\LQ0*7
VHFXULWLHVZLWKDQ\RWKHUSHUVRQ

'DWHG0D\ 5HVSHFWIXOO\VXEPLWWHG
/s/ Randall R. Lee

5DQGDOO5/HH
&22/(<//3
QG6WUHHW
6XLWH
6DQWD0RQLFD&$
UDQGDOOOHH#FRROH\FRP

&(57,),&$7(2)6(59,&(
, KHUHE\ FHUWLI\ WKDW RQ 0D\ WKH IRUHJRLQJ GRFXPHQW HQWLWOHG ³'HIHQGDQW
5REHUW /DGG¶V 5HVSRQVHV 7R 3ODLQWLII 6HFXULWLHV $QG ([FKDQJH &RPPLVVLRQ¶V )LUVW 6HW 2I
5HTXHVWV)RU7KH3URGXFWLRQ2I'RFXPHQWV´ZDVVHUYHGLQDFFRUGDQFHZLWKWKH)HGHUDO5XOHV
RI &LYLO 3URFHGXUH DQGRU WKH /RFDO 5XOHV RI WKH 8QLWHG 6WDWHV'LVWULFW &RXUW IRU WKH 6RXWKHUQ
'LVWULFW RI 1HZ <RUN XSRQ WKH DWWRUQH\V IRU WKH SODLQWLII LQ WKH DERYHHQWLWOHG DFWLRQ E\
HOHFWURQLFPDLO

'$7(' 0D\
1HZ<RUN1HZ<RUN

%\/s/ Michael Berkovits
0LFKDHO%HUNRYLWV

Robert Ladd Answer To SEC Discovery Request 8.19.19

Загружено:

Сведения о документе

Оригинальное название

Авторское право

Доступные форматы

Поделиться этим документом

Поделиться или встроить документ

Параметры публикации

Этот документ был вам полезен?

Это неприемлемый материал?

Авторское право:

Доступные форматы

Robert Ladd Answer To SEC Discovery Request 8.19.19

Загружено:

Авторское право:

Доступные форматы

Case 1:18-cv-08175-ER Document 158-1 Filed 08/19/19 Page 1 of 18

([FKDQJH&RPPLVVLRQ¶V³6(&´)LUVW6HWRI5HTXHVWVIRUWKH3URGXFWLRQRI'RFXPHQWV

WKHVH5HTXHVWVSee, e.g.Shcherbakovskiy v. Da Capo Al Fine/WG)GG&LU

SEC v. Strauss1R&LY:/DW 6'1<2FWGenOn

Mid-Atl., LLC v. Stone & Webster, Inc.)5'6'1<aff’d:/

/s/ Randall R. Lee

Вам также может понравиться

Robert Ladd Answer To SEC Discovery Request 8.19.19

Загружено:

Сведения о документе

Оригинальное название

Авторское право

Доступные форматы

Поделиться этим документом

Поделиться или встроить документ

Параметры публикации

Этот документ был вам полезен?

Это неприемлемый материал?

Авторское право:

Доступные форматы

Robert Ladd Answer To SEC Discovery Request 8.19.19

Загружено:

Авторское право:

Доступные форматы

Case 1:18-cv-08175-ER Document 158-1 Filed 08/19/19 Page 1 of 18

([FKDQJH&RPPLVVLRQ¶V ³6(&´ )LUVW6HWRI5HTXHVWVIRUWKH3URGXFWLRQRI'RFXPHQWV

WKHVH5HTXHVWVSee, e.g.Shcherbakovskiy v. Da Capo Al Fine/WG)G G&LU

SEC v. Strauss1R&LY:/DW  6'1<2FW GenOn

Mid-Atl., LLC v. Stone & Webster, Inc.)5' 6'1< aff’d:/

/s/ Randall R. Lee

Вам также может понравиться

([FKDQJH&RPPLVVLRQ¶V³6(&´)LUVW6HWRI5HTXHVWVIRUWKH3URGXFWLRQRI'RFXPHQWV

WKHVH5HTXHVWVSee, e.g.Shcherbakovskiy v. Da Capo Al Fine/WG)GG&LU

SEC v. Strauss1R&LY:/DW 6'1<2FWGenOn

Mid-Atl., LLC v. Stone & Webster, Inc.)5'6'1<aff’d:/