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THE RMO k ' ~ S~ E R SCI E NTI F I C, I NC., E ~ '
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NOTI C~ ' ~ ' Q PA RTS:
CA SE NUMBE R
CVa3- 3368 A BC
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NOTI CE ' ~ Q PA R' ~ ' ~ S OF
CUi T~ t~ ' -DI RE CTE D A I 7~ I t ROG
~ .t i s th e p o l i c y o th i s Co u rt to e n c o u rage s e ttl e m e n t o f c i v i l l i ti gati o n wh e n s u c h i s i n th e s i u o i te te s t o f th e
p a~ i e s . Th e Co u rt fav a~ s atx y re as o n abl e m e an s , i z ~ c ~ u c l i m g al te rn ati v e d i s p u te re s o l u ti o n ( ) , to ac c v A ap ~ .s ~ i
t~ u i s go al . Se e Ci v i ~ ' ~ L .R 1 6-1 5 . Un l e s s e ~ e z z ~ p te d by fi h e tri al ju d ge , p an ti e s i n al l c i v i l c as e p ax 4 .c i p ate i n
a~ a ,A ,A R p ro c e s s be ~ o z e tri al . Se e Ci v i l L .R. 1 6-1 5 .1 .
T' h e d i s tri c t ju d ge to wh o m th e abo v e -~ re e x e t~ c e d c as e h as be e n as s agae d i s ~ m ~ ti c i p ati n g i n a~ R ~ ' ro gtam
tk ~ at p z e s u m Qti v e l y c i ~ i ~ e c ts th i s c as e to e i th e r th e Co v e rt Me d i ati o n Pan e l o r to p ri v ate m e th o .Se e Ge n e ral
Ord e r No . 1 1 -1 0, 5 . F o r m o re i n fo n n aat~ aaa abo u t th e Me d i ati o n Pan e , v i s i t th e Co u rt we ~ s x ,
v c ~ v v w.c ac d .u s c o wrts .go v , u n d e r " A D~ t.."
Pu rs u a~ x t ~ to Ci v i l L .R. 2 6-1 .(c ) , c o u n s e l az e d i re c te d to m u s h an d d i s c u s s wi th tk ~ e i u e c ax e r~ attac h e d A DR
No ti c e ' ~ o Parti e s be fo re th e c v m ~ ' e x e n c e o f th e p arti e s m a~ ad ate d b~ F e d .R.Ci v .P. 2 6(fl . B e d u p o n th e
c o n s tt~ tatx o ~ wi th th e i r c l i e n ts am d d i ,s c u s s ao ~ a wi th o ~ o s i n g c o wn s e l , c o u n s e l m u s t i n d s aa t fo l l o wi wg x z ~
th e i r J o i n t 2 6(fl R.e p o R: 1 ) wh e th e r th e c as e x s be s t s tu t~ fo r m e d i ~ i o n w~ i tk ~ a n e u tral ~ x o e Co u rt
i v i e d i ati o n Pan e l o ~ p z i v ate m e d i ati o n ; an d 2 ) wh e w ti n e ~ o n e d i ati o n s h o u l d o c c u r. Se e Cav e ~ ,. 2 6-1 (c ) .
A t th e i ~ ai i tx al s e be d u l i n g c o n fe re n c e , c o u ~ s e ~ s h o u l d be fu l l y p re p are d to d i s c u s s th e i r. re f ` c e fo r re fe z x al t4
th e Co u rt Me d x ati o ,~ . Pan e l o r to p ri v ate ~ arn e d i ati o n an d wh e n th e m e d i ati o ~ a s h o u l d o c c u r, e o u rt wi 1 1 e n te r
an Ord e r/ Re fe n ra~ to .A ,.D,~ at o r aro u n d th e ti m e o ~ # be s e ~ te d u l i n g c o n fe re n c e .
Cl e rk , U.S,
Date d : ~ z ~ ad ay, May 1 0, 2 0 ~ 3
By: A PE DRO
De p u ty Cl
' ~ + ~ UMTED STATES DISTRICT COURT
CEN~ ' ~ D~ S' ~ ' l . ~ C~ OF C, AL ~ k ' O~ , t NI, A
NOTICE T4 PARTIES: COURT POL ICY ON S~ ' ~ TL EME~ IT
AND USE OF AL TERNATYVE D7S~ JTE RESOL UTION (, AAIt )
Counsel are required t o furniaL xnd disc uss t L ig Not ic e w ~ t b , t b ~ eiur c ~ ie~
Desp it e t he effort s of t he c ourt s t o ac hiev e a faiu' , t im ael y aaad j ust out c om e iv a aU c ases, fit ' a } g as b ec om ie
a~ n, o t e~ , l eng t hy and ex~ eusiv e p roc ess, For t his reason, it is t his Court ' s p ol ic y t o enc o e art ier t o
at t em ap t t o set t l e t heiur diisp ut es, w ~ e~ ev er p ossib l e, t hzoug h al t ernat iv e disQ ut e resol ut ion R).
ADR c an reduc e b ot h t he t im e it t ak es t o resol v e a c ase a~ ad t ie c ost s o~ l at i, g at iom , w b ~ ic ~ b e sub st ant ial .
ADR op t ions iut uc l ude z~ o~ ediat ioz~ , a~ b it r~ t iox~ (b inding or noz~ - b inding ), neural :ev al uat ion ), c onc il iat ion,
~ aiv ai~ - t xX al anal fac t - finding . ADR c an b e eit her Court- direc t ed or p riv at el y c ondw c t ed.
' ~ ' ! ae Court ' s ADR Pro~ am offers m ediat ion t hroug h ~ p anel of qual ified am d um p axt ~ al at t ` y s w b ~ o w ad
enc ourag e t he fair, sp eedy a~ ad ec o~ aa~ auic rreso~ ut ~ om o~ c xv al , ac t ions. Pag el Mediat ors eac ha e at l east t en
y ~ aus l eg al exp erienc e and are ap p oint ed b y t he Court . They v ol uz~ t eez t b ~ eiur p rep arat ion t i ~ e d t he first
t w ee how ~ s of a m ediat ionsession. This is ac ost - effec t iv e w ay for p art ies t o e~ p ~ o~ ne p o t ~ av enues o~
reso~ u~ , om .
This Court requires t hat c v w asel disc uss w it h t heiur e~ ie~ o~ . t s t k ae ADR op t ions av ail ab l e and s c t s t hem t o
c ozaxe p nrep a~ red t o disc uss t he p art ies' c hoic e of ADR c ~ t iou (set t l em ent c at ifexenc e b e~ o a g ishat e
j udg e; Count N~ edit at ~ on Panel ; p riv at e m ediat ion) at t he init ial sc hedul ing c onferenc e. Co 1 are al so
required t o indic at e t ae c l aez~ t ' s c hoar. ~ o~ A, DR op l ioz~ ua adv anc e of t hat c onferenc e. See i L . R. 2 6 - 1 (c )
and Fed. RCiv . P. 2 6 {~ .
Cl ient s and t heir ~ ot t nsel shoul d c areful l y c onsider t he ant ic ip at ed exp ense of~ l it ig at ion, e c ert aint ies as
t o aut c a~ nae, t he t im e it w il l t ak e t o g et t o t rial , t he t im e an a~ ~ eal w il l t ak e if a dec ision is a ed, t he
b urdens on a c l ie~ at ' s t iu~ ae, and t b ~ e c ast s g ad exp ense, o~ l a~ g at iom ~ , t ~ , ze~ at iom t o t he am o ~ is r st ak es
inv ol v ed.
p ~ t 1 ~ . e ~ ano~ + e t han 9, 000 c iv il c ases fil ed in t he Dist ric t annual l y , l ess t hem 2 p erc ent ac y o t o t rial . The
rem aining c ases are, ~ oz t b ~ e ~ aost p art : set t l ed b et w een t he p at t ies; v ol ur~ t ar~ l y dism issed; e l iv ed t ht on~
Court- direc t ed or ot her form s of ADR; or dism issed b y t he Court as l ac l sa~ g iu~ ~ aez~ it or e er reasons
p rov ided b y l aw .
For m o~ c e it z~ # ' o~ naat ian ab out t l ae Court ' s ADR Prog ram , t he Mediat ion PanEl , and t he p ro~ e~ of m ediat ors,
v isit t he Cow ~ t w eb sit e, w w w . c ac d. useaurt s. g av , under "ADR"
UNYT~D SATES DIST~GT COURT
CENTRAL DIS1'~CT OF CAL~U~tNIA
NOTICE OF ASSIGNMENT TO UNWED STATES MAGIST~t.A,TE .NDGE
This cage has been assigned to Distr ict Jud ge ,A,ud ~ey B. Co l l ins and
d isco v er y Mag~stz ate Jud ge is Al icia G. Ro senber g.
The case z ~u~m ber o n al l d o cum ents f ix ed w itk ~ the Co ur t sho ul d r ead as
CV13 3368 ABC (AGRx )
p ux suat~t to Gener al Or d er OS-07 0~ t b e United States Distr act ~o u~t f o r the
l aistr ict o f Cal if o r nia, tbie Magistr ate Jud ge has been d esignated to heat d i.sco v ez ;
m o tio ns.
,A,I~ d isco v er y r el ated m o tio ns sk ~o ul ~d be no ticed o n the cal end ar ~o ~'the
NOTICE TO COUNSEL
A co p y o f this no d ice m um be ser v ed w tih the sum m o ns and co m p l aint o n al l d e~end en~s (If e nem o v / e is
f r ied , a co p y o f this no tice Est be ~r v ed o n aN p l aintif f s).
$ubs8quent d o cx im ents m ust be f il ed at the f o l l o w ing l o catio n:
esbem Div isio n U Saithem Div isio n (, ; Easf em Div i~io
312 N, Sp r ing St., Rm . G-B 411 West Fo ur th b't., RM. 1-453 '3470 TVuel 5k f im . 134
Lo e Mgel es, CA 90012 Santa Ana, CA 9 701X516 : Rr v sr sid s, C 9501
Fail ur e to f il e at tl ~e p ~np er l o caati~o n w il l r esul t in y o ur d o cum ents being r e l u n e d to ~r o u.
CV-18 (03/06) NOTICE OF ASSIGNMENT TO UNITED STATES MAGISTRATE JUDGE FOR
AO 440 (Rev. 06/12) Summaa i n A C i vi l Ac 1i o A (Di st 2)
C i vi l Ac ti o n No .
PROOF OF SERVIC E
(Thi s sec ti o n sho ul d n o t be f r i ed w i th the c o ax! un l ess r eq ui r ed by ,Fed ,R. C i v. P. ~ (l ))
T})SSU~ 1xIl O~ IS ~ Of (n aw i e o f i n di vi dual an d ti [ f e, i jan y~
w as r ec ei ved by me o n (r [ o eg )
~ I p er so n al l y ser ved the summo n s an the i n di vi dual at (p l ac e)
o n (dar e) ;
Q~ l ei the sur r ~ mo n s at the i n di vi dual ' s r esi den c e o r usual p l ac e o f abo de w i th ( r o m s )
a p er so n o f sui tabl e ag e an d di sc r eti o n w ho r esi d
o n (dar k ,an d mai l ed a c o p y to the i n di vi dual ' s l ast k n o w n addr ess; o r
QI ser ved the SummO~ n s o n (W ar n e o f i n dtvr duaQ
desi g n ated by l aw to ac c ep t ser vi c e o f p r o c ess o n behal f o f ( r a R m e o J r ug a.~ xar i a+ )
a~ (do es)
QI r etur n ed the sumr n ~ o n ~ s un exec uted bec ause
.N~ y f ees ar e $ ~ ' ar tf i avel aad $ f o r ser vi c es, ~ ' o r a to l tal o f S
I dec l ar e un der p er tahy o f p er jur y tb,at thi s i n f o r mati o n i s Uue.
Date: ~
Ser ver ' s si g n atur e
Pr r n l ed n ame an d f i !!e
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~ FREU D. HEATHER - S t a t e Ba r T1 o . I l 0650
f l ~ e a t h e r@ g a a s e rw e ~ ~ .c a m .
z , A.N ~ N AL- S ARRa F - S t a t e Ba r Ri o . 2651 1 6
a a ~ s a n ra ~ ~ ~ a s e rw e i l .c o m
3 GT.A, S E~ : W~ J, L FI N K JACOBS
HOWARD A, VC~ I EN d t S HAPI RO LLP
a 1 0250 Co n s t e l l a t i o n $o u]e va rd , 1 9t h Fl o o r
Lo s An g e l e s , Ca l i f o m a t a 90067
s ~ ' e ~ e p h o n e : 31 0} 553- 3000
Fa c s ~ i o a ~ l e : 31 f l ) 556- 2920
d
At t o rn e ys f o r Pl a i n t i FFs
~ Op e n Ga t e Ca p x t a l Cx ro u LLC,
D920I 2 LL~ , Ro un d Ro c k
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ROUN DROCK 09201 2 LLC a De ~ a w a ~ e
l i m i t e d l i t a b ~ l i t y c ~ o m p a-n y Rd UN DI ZOCK
COMPL, A.~ i V' ~ FOR
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S CI EN T~ ~ ~ C ~ 1 TE~ I A~ ' I ON AL LLC, a
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" " ~ De l a w a re l i m i t e d ~ i a b i ~ ~ t y c o m p a n y, CTYOI ~ T 1 0 .b AN D l
THE S E ' ~ 7E~
d ~ 5 ROUN DROC' K. MEX I CO ~ ..LC:, a OF
b De l a w a re l i m i t e d l i a b i l i t y c o m p a n y, ACT OF 1 93.4 ;
~ , ~ l e (2) FRAUD[) LEN T
Pl a i n t i f f s , ~ I S ~ LREGS EN TATI ~
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1 VQS ~ E~ RES N ' I ' A' ~ T~
a g 4 BREACH Of f ' C4 N
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1 9 b e l a w a ze c o a rp o x a t i o n , a n d Do e s 1 - 50, A 4 OF THE S ECL
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20 ~ De f e n d a n t s . B~ t E, A.CA OF THE
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U1~IITED STATES DXS'~C T C Q URT
~~ ~
C ent r ~,L Di str i c t of c al i .~~.~i a
Opeza.Gate C api tal Gr oup LLC ,.RoundRoc k
092012 I,Z ,C , Rou~dRoc k Sc i enti fi c
InC er nati onal LLC and RoundRoek Mexi c o
LLC
P l el nti f~r 's) .
v.
Ther mo Fi sher Sc i enti fi c Tnc .
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SU~V1MO1v5 IN A C IVII, AC T10N
To: (Del endan~'r nanr a ar od addnr ar ) .
'~'her mo Fi sher Sei enti fc Lnc .
c /o C api tol C or por ate Ser vi c es, Inc .
455 C api tol Mal l , Sui C e 2l 7
Sac r amento, C A 95814
A l aw sui t has bec ~ fi l ed agai nst you.
Wi thi n 2l days aRer sei r vac e of thi s su~to~ts on you (nat c ounti si g the day you r ec ei ved at) or 6
ar e the Uni ted States or a ~Ini ted testes agenc y, ox ~ v~'ti c er or ~npl oyc e of the Unti ed States desc r i bes i n
P . 12 (a)(2) or (3) you must ser ve oA the pl ai nti ~F an answ er to the attad~ed c ompl ai nt or a moti on under
the Feder al Rul es of C i vi l i 'r tseed~~e. 'fi e answ er ai r utoti ot+ must be ser ved on the pl ai nti ff or pl ai nti ffs a
w l ~vse ~nar ue aad addr ess ar e:
Fr ed Heather , ~sq.
Ami n A1- Ssr r af, Esq.
GLASER WEi I, k~NK dAC ~BS HQ WARD ,t# VC k~ ~f & SHA~~K~ LLB
10250 C onstel l ati on Boul evar d, 19th Fl oor
I.os ,A,ngel es, C al i ~on~i a 90067
i f you fai l to r espond, judgment by defaul t w i l l be enter ed a~i nst you for the r el i ef demanded i r e
Yov al so must fi l e your answ er or moti on w i th the c our t.
_ .~,.~,~
Date: ~y 10.2013
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Ci vi ) Ac ri on No.
PROOF OF SERVICE
(Thi s sec t i on sboald not 6 e f i led w i t h / he c oac t w dess req ui red by Fed R C1 v. P. 4(! ))
Thi s summons f or (name oI t ,~di ~; dva~ ~d ri r~~, ~Ia y~
w as rec ei ved by nrx e oz ~ (dw e)
Q1 p ersonally served t he summons on t he i ndi vi dual at (p lac e)
- - - - - - 01 1 (dale) ? U
Ql lef t t he summons at t he i ndi vi dual' s resi de~nee or usual p lac e of abode w i t h (name)
a p erson of sui t able age and di ~sc x et i op w l~o resi de t k ~a
on (dae)
,and mai ler a c op y t o t k ~e i mdi vi dua~' s last k now n address; or
QY 9 6 f Ved t he St Ui lI1 7 4nS Cm (H ome oj i ndi vi dualf ,
desi ~at ed by law t o ac c ep t servi c e of p roc ess oo bebalf of <~T~ oI ~^~~+1
c m (dare) ; o~
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QOt her (: p ec ~(y):
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~ dec lare under p enalt y of p erj ury t hat t hi s i nf ormat i on i s t rue.
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FRED D. ~ I EA T ~ -DER. = S t a t e Ba r No . 110650
he a t he r@ g l a s e rw e i l .c o ~ a
A , N~ ~ 1 A L -S A RRA F -S t a t e ~ a ~ No . 2651 ] 6
a a l s a zr ~ ~ l a s e , -w e i l .c o m
G L A S E~ : W W I I .. FI NK ]A COBS
HOW A RD A VC~ T EN & S HA PT RO L Y , P
a 0250 Co n s t e l l a t i o n Bo u l e v a rd , 9t h Fl o o r
L o s A n g e l e s , Ca l i ~ ' o rn i a 90067
T e l e pho n e : 310 S S 3-3000
Fa c s i m i l e : ~ 310~ 556-2920
A t t o rn e y s fo r Pl a i n t i ffs
Ope n G a t e Ca p i t a l G ro u p L L C,
Ro u n d Ro c k 092012 L L G ,
~ o u n d Ro c k S c i e n t i fi c I n t e rn a t i o n a l L L C a n d
~ t o u n d Ro c k 1V~ e x x c o L T .G
U ~ T X ' ~ ' ED S T A T ES DI S T RI CT COL J J .~ ~
CENT R, A .x , D~ S " ~ ' RI C~ ' OF CA L I FORT ~ I A
OFENG A T E CA PI T A L G ROU P L ~ .C, a CA S E NO.:
De l a w a re l i m i t e d l ~ a b i l i t y c o m pa n y
R~ L T NDRfJ CK 092012 L L C a De ~ a w a ze
l i m i t e d l i a b i l i t y c o m pa ~ n y ,
R(~ U ~ T DROCK COMPY .A l NT FOR:
S CI ENT I FI C I NT ERT T A , T X QT I A L L L C, a i ~ ~ V I O ~ A . ' I ~ ' X ~ N U k'
De l a w a re l i m i t e d l i a b i l i t y c o x ~ zp a n y , 5 CT ~ ON 1Q ~ b A , ND ~
RQU NDROCK MEX Y CO ~ , ~ .C, a OF ' I CE S EC ES
De l a w a re l i m i t e d l i a b i l i t y c o m pa n y , A CT OF 1934
(Z) FRA U DU L ENT
Pl a i n t i ffs ,
~ I S ~ t EPRES ENT A T ~ I
v .
T HERMO FI S N~ I ~ Z S C~ EN~ ' i FI C, I NC., a
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~ De fEn d a n t s .
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4 BREA ~ C$ ~ F CON'
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I~ 04dD (Rev. p6/~ 2) Summw~ s.n acivil Action
U~ rz~ p s~ r.~ ~ s Uzs~ cT Cov~ x
ror th e
Cg,~ ,~ a1 pistrict ofCalif,,,Qrnia
OpenGa~ e Capital Group LLC, RoundRock
0 2012 LLB, RoundRock Bcientiflc
International LLC and RoundRock M~ xicv
LLC
v,
Th ermo Fish er Scientific Tnc.
5~ +~ .A~ Tfi~ ~ NEO
r i e l e n d a ~ r ( a )
~ Civil Action AIo.
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SUMMONS IN A CIVIL ACTION
To: (Delsndani' s we e and addrer~ ) .
Th emrw Fish er Scientific lnc.
c/o Capitol Cor~ orste Services, Inc.
4SS Capitol ~ al~ , Suite 2a7
Sacramento, CA 95814
A lawsuit h as been filed a~ sinst you.
With in 2] days aRe~ r aervAce of th is swmmons on you (not cowitong th e day you ireceiyed it) or
are th e United States or a United States agency, or an officer or employee of th e United State' s described i
~ . 12 (ax2) or (3) you must serve on th e plaintiff an ansvver to th e attach ed complaint dr aimotion undo
th e Federal Rules of Civil Procedure. Th e answer or motion must be served on th e plaintif~ ' ar plaimi~ ' s
wh ose name and address are:
k~ red Heath er, ~ sq.
Amin Al- Sarraf, Esq.
G~ ,ASBR VI~ ~ I.. ~ ~ 7A,COBS i~ OWA~ i,D A,VC~ IN & S~ -~ APIRO LLF
l 0250 Constellation Boulevard, 19th Floor
~ .os Angeles, Cal~ ~ ~ oirnia 90067
If you ~ sil m respond, judgment by default will be entered against you for th e relief demanded in
You also must file your answer or maion with tk,e court.
Date:~ ,v 1Q,~ Q~ ~
CLERK OF COURT'
sr~ ,Qu~ ofc ~ r~
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R. Civ_
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FRED D. HEA'fI~ ER - St a t e Ba r A1 o . 1 1 . 0 650
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ANIIN AL- SARRAF - St a t e Ba x Ri o . 2 651 1 6
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1 0 2 50 Co e s t e l l a t i o n ~ o u ~ e v a x d , a 9t k ~ F~ o o z
Lo s Ang e l e s , Ca l i fo rni 90 0 67
T e l e p h o ne : 31 Q 553- 30 0 0
~ 31 b3556- 2 92 0 Fa c s i m i l e :
A~ t t o z x x e y s fo x ~ ~ a i x ~ k i f~ s
Op e nGa t e Ca ~ p ~ t a l Gro u p LLC,
Ro u nd Ro c k X92 0 a 2 LLC, ~ .
~ t o u z ~ d Ro c k Sc i e m i fi c Int e rna t i o na l LLC a c a d
i Ro u nd Ro c k Me x i c o LLC
U , ~ T Z T ED ST AT ES DIST RICT COU RT
CEN'~ t . A~ L D~ S'~ 'R, ICT O~ CALIFORNIA
OP ENGAT E CAP Y T Ar, GROU P LLC, a
De l a w a re l i m i t e d l i a bi l i t y c o m p a ny
~ t , 0 i . 7Z V DROCK 0 92 0 1 2 LLC a De l a w a re
s c i ~ ~ ~ z c t~ ~ v ~ ~ ~ , ~ ~ r~ a ~ iC c , a
De l a w a z e l i m i t e d ~ i a bi ~ ~ t y c o rnp a ny ,
ROU NDROCK. MEXICO LLC, a
De l a w a re l i m i t e d l i a bi l i t y c o m p a ny ,
P l a i nt i ffs ,

T ~ ~ O F~ SI~ EE~ 2 ; SC~ ENT ~ . FI. C, l ~ i C. ,
De l a w a re c o x ~ o ~ ra t i o n, a nd Do e s 1 - 50 ,
De fe nd a nt s .
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CT ION 1 0 ~ AND R
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ACS OF 1 934;
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COMP ~ . . A, ~ NT
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UNITED SATES DIS'T~CT COURT . .
CENTRAL DISTRICT OF CALIFORNIA
attention: ~
New Civil Ac tio~as j
Puxs uamt to Loc al Rine 3 - 2 , you ar e r eq uvic ed to e- mail a ~ for med ,
s tamped c opy of your entir e initial filing to th e Cour t in PDF oar ~onat b '
b us ines th e fo~low~tng b us ines s d ay.
~- mails s h ould b e d ixec ted to th F
to wh it th e c as e ~s as s ig ned , as follows :
CxvilYnt~eCour tDoc s - LA@c ac d . us c our t ~ . g ov
(for " ~IV es te~n Dxv~is ion eas e nur nb exs CV ##~ #####
u
Civil~ntakeCour tDoc s =RS@c ac d . us c our ts . g ov
(for Eas ter n Divis ion c as e numb er s EDCV ~# - ###
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u
CivilIntakeCour tDoc s - - SA@c ac d . us c our ~s . g ov
{ fox South exn Divis ion. c as e numb er s SACS##- #~
SUBTEC~ LINE OF E- MAIL N~TST INCLUDE BOTH
DQCiJMENT TYPE (c omplai~~t, notic e of r emoval, etc . ) AND EASE Ni;
. , For ezam~le: Complaint CV 08- DI2 3 4 ABC{ SHx, ~
, A] , a d oc uments is th e iaiti~l 6 Uz~g amus t b e e- mailed to th e Cour t in PDF fi
c er tain d oc uments mus t b e inc lud ed an tk~e s ame PDF file as ~e Complaint ~
~te~moval, wh ile oth er d oc uments Faus t b e s ent as s epar ate PDT Files , as follows :
i
~ CO~~~a1Qt / ~TOtic e Q~ ~, emr nr al, Notic e of
As s ig r u~n~nt to Mag is ~ate Jud g e for
~xs c over y (CY- 18) , Summons (CY- O~. A. ) , and all pag es of th e Civilj Cover S~aee
(CY- 71) as one PDP axfiac h oo~eat
. Cer ti~ic ataon and Notic e of Inter es ted Par ties (CY- 3 0) as a s eepar ate ~DF attac h
A0- 12 0 or AO- 12 ~ (fir Patent, Tr ad emazk, Copyr ig h t c as es only) as a s epazate
attac h ment
, A~ay oth er d ~c +~ents filed m ~r a~ez~ or naat s imultaneous ly w~tb ~ t~i~ Complaint
of Rer x~, aval as s epar ate PDF a f i t a c ~ e z ~ t s .
Sub s eq uent d oc ur nenTs e- mailed to any of th e ab out ad d r es s es r ill not b e aaeptec
Pur s uant tv Loc al Rule 5 - 4. 1, a! 1 d oc uments in c ivil c as es mus t b elled elec tr onic ally us ing
~IYI/~CF Sys tem, unles s exempted b y Loc al Rule 5 - 4. 2 .
i
Th e ~CF Helpd e~k c an b e r eac h ed at 2 13 - 89~- 02 2 d ur ing b us ines s four s :
Mond ay th r oug h Fr id ay. 8:00 a. z~a. to 5 :00 p. m. (pac ific Ti~. e) .
E- mail q ues tions to:
ec f- h elpd es ~k@c ac d , . us c our ts . g ov
CV- W (G6 /~2 )
A~'$~7710N: NEW C7~RLACIIONS
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FRED D. HEATHER -State Bar No . 110650
(heather glaserwei l.co m
AMIN A -SARRAF -State Bar No . 265116
aalsarraf )glaserwei l.co m
GLASERC WEIL FINK JACOBS
HOWARD AVCHEN &SHAPIRO LLP
10250 Co n stellati o n Bo ulevard, 19th Flo o r
Lo s An geles, Cali f o rn i a 90067
Telepho n e: (3 10) 553 -3 000
Facsi mi le: (3 10} 556-2920
Atto rn eys f o r Plai n ti f f s
Open Gate Capi tal Gro u LLC,
Ro un dRo ck 092012 LL~ ,
Ro un dRo ck Sci en ti f i c In tern ati o n al LLC an d
Ro un dRo ck Mexi co LLC
UNITED STATES DISTRICT COURT
CENTRAL DISTRICT OF CALIFORNIA
OPENGATE CAPITAL GROUP LLC, a
Delaware li mi ted li ab i li ty co mpan y
ROUNDROCK 092012 LLC, a Delaware
li mi ted li ab i li ty co mp a~ n y, ROUNDROCK
SCIENTIFIC INTERNATIONAL LLC, a
' ~ Delaware li mi ted li ab i li ty co mpan y,
ROUNDROCK MEXICO LLC, a
Delaware li mi ted li ab i li ty co mpan y,
Plai n ti f f s,
v.
THERMO FISHER SCIENTIFIC, INC., a
Delaware co rpo rati o n , an d Do es 1-50,
Def en dan ts.
CASE NO.:
COMPLAINT FOR:
(1 VIOLATION OF
S~ CTION 10 b AND RULE lOb -5
OF THE SEC~ ITIES EXCHANGE
ACT OF 193 4 ;
(2) FRAUDULENT
MISREPRESENTATION;
(3 ) NEGLIGENT
MISREPRESENTATION;
4 BREACH OF CONTRACT;
5~ VIOLATION OF SECTION
EXCH N G ACT OF
193 4 ;
ES
(6~ ) BREACH OF THE IMPLIED
COVENANT OF GOOD FAITH
AND FAIR DEALING
COMPLAINT
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P l a i n t i f f s Open Ga t e C a pi t a l Gro up LLC , Ro un dRo ck 092012 LLC ,
Ro un dRo ck S ci en t i f i c I n t ern a t i o n a l LLC , a n d Ro un dRo ck Mexi co LLC ( co l l ect i v el y ,
"Ro un dRo ck" o r "P l a i n t i f f s ") , by t h ei r a t t o rn ey s Fred Hea t h er a n d Ami n Al - S a rra f o f
t h e l a w f i rm Gl a s er Wei l Fi n k Ja co bs Ho wa rd Av ch en &S h a pi ro LLP , f o r t h ei r
co mpl a i n t a g a i n s t def en da n t Th ermo Fi s h er S ci en t i f i c, I n c. ( "Th ermo Fi s h er" o r
"Def en da n t ") a n d Do es 1- 50 ( t h e "Do e Def en da n t s ") ( co l l ect i v el y "Def en da n t s ") ,
a l l eg e a s f o l l o ws :
NATURE OF THE AC TI ON
1. Th ermo Fi s h er a ct ed i n ba d f a i t h t o i n duce P l a i n t i f f s t o purch a s e i t s La b
Wo rks t a t i o n Bus i n es s i n Oct o ber 2012, by , a mo n g o t h er t h i n g s , f ra udul en t l y
co n cea l i n g cri t i ca l i n f o rma t i o n rel a t ed t o t h e s a f et y , s ecuri t y , v i a bi l i t y a n d o pera t i o n
o f t h e bus i n es s , i n cl udi n g t h e f a ct t h a t i t s pri ma ry ma n uf a ct uri n g f a ci l i t y h a s been
o v errun by a reput a bl y v i o l en t a n d h o s t i l e Mexi ca n drug ca rt el
2. Th ermo Fi s h er ( NYS E: TMO) , a publ i cl y - t ra ded co mpa n y wi t h a n n ua l
rev en ues i n exces s o f $12 bi l l i o n , pri des i t s el f o n en a bl i n g o t h ers t o ma ke t h e wo rl d
"h ea l t h i er, cl ea n er a n d s a f er. " No t wi t h s t a n di n g t h i s l o f t y epi t h et , Th ermo Fi s h er h a s ,
i n f a ct , a ct ed o v er t h e co urs e o f ma n y y ea rs , i n co n s ci o us di s reg a rd o f t h e h ea l t h a n d
s a f et y o f i t s empl o y ees a n d o t h ers i n i t s o v ers i g h t o f a s i g n i f i ca n t di v i s i o n o f i t s
bus i n es s .
3. As o f 2012, Th ermo Fi s h er ca rri ed o n i t s bo o ks a n eg l ect ed, o r
"o rph a n ed," di v i s i o n o f i t s mul t i - bi l l i o n do l l a r h ea l t h ca re equi pmen t bus i n es s , ca l l ed
t h e La b Wo rks t a t i o n Bus i n es s . Th e La b Wo rks t a t i o n Bus i n es s ma n uf a ct ures
l a bo ra t o ry f urn i t ure i n f a ci l i t i es i n , a mo n g o t h er pl a ces , Arka n s a s a n d Mexi co . Th e
f a ci l i t y i n Rey n o s a , Mexi co ( t h e "Rey n o s a Fa ci l i t y ") i s t h e l a rg es t , mo s t pro f i t a bl e
f a ci l i t y f o r t h e La b Wo rks t a t i o n Bus i n es s . Th e Rey n o s a Fa ci l i t y empl o y s a wo rkf o rce
o f a ppro xi ma t el y 1,000, a n d g en era t es a ppro xi ma t el y 40- 50% o f t h e rev en ue o f t h e
Bus i n es s .
4. Duri n g a l l t i mes un der Th ermo Fi s h er' s co n t ro l , t h e La b Wo rks t a t i o n
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Bus i nes s wa s run by a gro up o f c o mpa ni es i nc ludi ng Ha mi lt o n Fi s her L.L.C., FHML
S. de R.L. de C.V., Fi s her Ha mi lt o n S. de R.L. de C.V, Co llegeda le, LLC, Adva nc ed
La b Co nc ept s , I nc ., Adva nc ed La b Co nc ept s o f Aus t i n, LLC a nd Epo xyn Pro duc t s ,
L.L.C. ( c o llec t i vely, t he "Ha mi lt o n Ent i t i es " o r t he "Sec uri t i es ") .
5. Co mpelled t o i mmedi a t ely di ves t i t s elf fro m t he La b Wo rks t a t i o n
Bus i nes s fo r fi na nc i a l a nd a c c o unt i ng purpo s es , Thermo Fi s her enli s t ed t he
i nves t ment ba nk, Ba rc la ys , t o c o nduc t a publi c a uc t i o n t o s ell t he La b Wo rks t a t i o n
Bus i nes s . Thermo Fi s her i ns t ruc t ed Ba rc la ys t o s ell t he Ha mi lt o n Ent i t i es a s fa s t a s
po s s i ble, a nd, event ua lly, rega rdles s o f purc ha s e pri c e.
6. The Thermo Fi s her/ Ba rc la ys ' a uc t i o n c a ught Ro undRo c k's a t t ent i o n.
At t ra c t ed by, a mo ng o t her t hi ngs , t he a ppea l a nd po t ent i a l o f t he di vi s i o n, whi c h
bo a s t ed a ppro xi ma t ely $180mi lli o n i n a nnua l revenues , Ro undRo c k i ni t i a t ed
nego t i a t i o ns wi t h Thermo Fi s her i n mi d-2012.
7. Des pera t e, i n pa rt , o n a c c o unt o f fi na nc i a l a nd reput a t i o na l fa c t o rs
i nc ent i vi z i ng Thermo Fi s her t o remo ve t he neglec t ed bus i nes s fro m i t s bo o ks , Thermo
Fi s her a c t ed wi t h ha s t e t o explo i t t he s t ea dfa s t i nt eres t o f Ro undRo c k. Wha t
Ro undRo c k di d no t kno w a t t he t i me wa s t ha t Thermo Fi s her ha d a ddi t i o na l, mo re
c o mpelli ng rea s o ns t o c a us e i t t o di ves t i t s elf fro m wha t c a n o nly be des c ri bed a s a
bus i nes s fra ught wi t h lo gi s t i c a l a nd lega l c o mpli c a t i o ns t ha t t hrea t ened no t o nly t he
pro fi t a bi li t y o f t he bus i nes s but i t s vi a bi li t y a t a lli nc ludi ng t ha t t he Reyno s a Fa c i li t y
wa s under s i ege a nd t he s ubj ec t o f repea t ed, nea r-da i ly s ec uri t y brea c hes by members
o f t he Gulf Ca rt el, a n i nt i mi da t i ng a nd vi o lent c ri mi na l s yndi c a t e a nd drug t ra ffi c ki ng
o rga ni z a t i o n res i di ng i n Mexi c o .
8. At a ll t i mes duri ng t he s ubs equent nego t i a t i o ns lea di ng t o t he s a le o f i t s
La b Wo rks t a t i o n Bus i nes s , a nd unbekno wns t t o Pla i nt i ffs , Thermo Fi s her wa s i nt ent
o n ens uri ng t ha t Pla i nt i ffs wo uld no t di s c o ver c ert a i n ma t eri a l i nfo rma t i o n a bo ut t he
Reyno s a Fa c i li t y, whi c h ha d been t o ut ed t hro ugho ut t he s a le a s t he La b Wo rks t a t i o n
Bus i nes s ' mo s t pro duc t i ve a nd pro fi t a ble fa c i li t y.
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9. I n o rder t h a t i t co uld q ui ck ly s i ph o n o ff t h e t ro ub led b us i nes s , Th ermo
Fi s h er eng a g ed i n pa i ns t a k i ng effo rt s t o o b fus ca t e, co ncea l a nd a ffi rma t i vely
mi s repres ent t h e t rue co ndi t i o n o f t h e La b Wo rk s t a t i o n Bus i nes s . Fro m t h e fi rs t
pres ent a t i o n a nd t h ro ug h o ut t h e ens ui ng neg o t i a t i o ns , Th ermo Fi s h er s t ruct ured t h e
s a les a nd di li g ence pro ces s i n a ma nner t h a t wo uld eli mi na t e t h e po s s i b i li t y o f
Ro undRo ck di s co veri ng , a mo ng o t h er t h i ng s , t h e da ng ero us a nd co ncerni ng t h rea t s
ex i s t ent a t t h e Rey no s a Fa ci li t y a nd t h e vi o lent a t t a ck s t h a t were t ra ns pi ri ng i n t h e
reg i o n a s Th ermo Fi s h er s i mult a neo us ly h eld i t s elf o ut a s pro vi di ng Ro undRo ck wi t h
cri t i ca l i nfo rma t i o n a b o ut t h e Fa ci li t y . I ns t ea d, t h ro ug h o ut t h e s a les a nd di li g ence
pro ces s , Th ermo Fi s h er:
Pro vi ded ma t eri a ls wh i ch , a lt h o ug h purpo rt i ng t o repres ent t h e t rue
co ndi t i o ns o f t h e fa ci li t i es , i ncludi ng s peci fi ca lly , t h ei r res pect i ve
s t reng t h s a nd h i g h li g h t i ng cert a i n fea t ures o f t h e fa ci li t i es '
"g eo g ra ph y ," fa i led t o di s clo s e fa ct s a b o ut t h e C a rt el a nd furt h er fa i led
t o s i g na l t h e s i g ni fi ca nt b urdens , co s t s a nd po t ent i a l li a b i li t i es
s t emmi ng fro m t h e fa ci li t i es ' lo ca le;
Repres ent ed t h a t i t wa s "co mmi t t ed t o t h e o ng o i ng s ucces s " o f t h e La b
Wo rk s t a t i o n Bus i nes s ' o pera t i o ns i n Mex i co no t wi t h s t a ndi ng t h a t i t s
a ct i o ns preda t i ng t h e a uct i o n i ncluded t urni ng a b li nd ey e t o t h e C a rt el
s i t ua t i o n, ma i nt a i ni ng i na deq ua t e s ecuri t y des pi t e plea s fro m i t s
o pera t i o ns ma na g ers ca lli ng fo r i mpro vement s , a nd h a vi ng i g no red
pro po s a ls t o pro vi de fo rt i fi ca t i o n t o t h e Rey no s a Fa ci li t y , wh i ch i t
ult i ma t ely fa i led t o a ct o n;
S t ruct ured s i t e vi s i t s i n a ma nner des i g ned t o a vo i d Ro undRo ck ' s
di s co very o f t h e h o s t i le encro a ch ment a nd o ccupa t i o n b y t h e C a rt el o f
t h e Rey no s a Fa ci li t y a nd o t h er i s s ues rela t i ng t o t h e fa ci li t i es '
o pera t i o ns ;
I nt ent i o na lly o rdered t h e emplo y ees o f t h e Ha mi lt o n E nt i t i es t o fo llo w
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a s t r i c t c o de o f s i len c e, ma ki n g i t i mpo s s i ble fo r Ro un dRo c k t o
a s c er t a i n kn o wledge o f t h e wo r ki n g a n d o per a t i n g c o n di t i o n s t h a t
ex i s t ed a n d t h a t o n ly c o uld h a ve been kn o wn by Th er mo F i s h er a n d i t s
emplo yees i n t h e Reyn o s a a n d o t h er fa c i li t i es ;
Co n c ea led c o r r es po n den c e r ela t i n g t o t h e Ca r t el a c t i vi t y, i n c ludi n g
i n fo r ma t i o n a n d pr o po s a ls det a i li n g s ec ur i t y defi c i en c i es a n d
en h a n c emen t s n ec es s a r y t o fo r t i fy t h e Reyn o s a F a c i li t y.
10. No t a bly, n o t wi t h s t a n di n g t h e fa c t t h a t i t s s en i o r ex ec ut i ves beli eved t h e
s i t ua t i o n t o be gr a ve en o ugh t o wa r r a n t t h e pr epa r a t i o n a n d ex plo r a t i o n o f pr o po s a ls
fo r wo r k t o fo r t i fy t h e mult i- mi lli o n do lla r Reyn o s a F a c i li t y a n d n o t wi t h s t a n di n g a
br ea c h o f s ec ur i t y i n t h e mi ds t o f t h e n ego t i a t i o n s , Th er mo F i s h er deli ber a t ely
wi t h h eld a ll i n fo r ma t i o n r ela t ed t o t h e Ca r t el a c t i vi t y, i n c ludi n g s i t ua t i o n r epo r t s a n d
pr o po s a ls fo r s ec ur i t y upgr a des t o a ddr es s t h e o n go i n g br ea c h es . In fa c t , n o n e o f
Th er mo F i s h er ' s do c umen t s des c r i bi n g t h e La b Wo r ks t a t i o n Bus i n es s men t i o n ed a n y
o f t h e mult i ple a n d s er i o us pr o blems t h a t , n o w kn o wn , r i ddled t h e pa s t o per a t i o n s a n d
fut ur e bus i n es s o ut lo o k o f t h e Ha mi lt o n E n t i t i es .
11. Th er mo F i s h er ex ec ut i ves a t t h e h i gh es t levels wh o h a d been
kn o wledgea ble a bo ut t h e Ca r t el a c t i vi t y fo r yea r s , t o o k a ddi t i o n a l a ffi r ma t i ve s t eps t o
s uppr es s ma t er i a l i n fo r ma t i o n , i n c ludi n g by r epea t edly r es i s t i n g, t h wa r t i n g a n d
di s mi s s i n g a t t empt s by Ro un dRo c k t o bec o me mo r e kn o wledgea ble a bo ut t h e
bus i n es s t h r o ugh o ut t h e di li gen c e pr o c es s , ma n i pula t i n g a n d pr o vi di n g mi s lea di n g
a n d i n c o n s i s t en t i n fo r ma t i o n i n r es po n s e t o di li gen c e r eq ues t s , c o n c ea li n g ma t er i a l
fla ws i n t h e La b Wo r ks t a t i o n Bus i n es s , i n c ludi n g i s s ues t h a t a r o s e s i mult a n eo us ly
dur i n g t h e n ego t i a t i o n s , a n d t h e h uge c o n t i n gen t li a bi li t i es fa c i n g t h e Ha mi lt o n
E n t i t i es a n d r us h i n g t h e di li gen c e pr o c es s a ll t h e wh i le pla c i n g un r ea s o n a ble
r es t r i c t i o n s a n d a fa s t t i met a ble o n t h e dea l' s c lo s i n g.
11. In t r ue fo r m, Th er mo F i s h er a ls o wi t h h eld ma t er i a l i n fo r ma t i o n
r ega r di n g t h e Ha mi lt o n E n t i t i es ' E po x yn Pr o duc t s fa c i li t y i n Mo un t a i n Ho me,
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Arkans as ( t h e "Arkans as F ac i l i t y ") . S pe c i f i c al l y , Th e rmo F i s h e r's s e ni o r e x e c u t i v e s
d i re c t e d e mpl o y e e s i n Arkans as t o c o nc e al c e rt ai n s i g ni f i c ant f ac t s c o nc e rni ng t h e
o pe rat i o ns o f t h e Arkans as F ac i l i t y .
12. As a re s u l t o f Th e rmo F i s h e r's b o l d - f ac e d d e c e pt i v e s c h e me , P l ai nt i f f s
h av e s u f f e re d c o ns i d e rab l e d amag e s ari s i ng f ro m t h e i r pu rc h as e o f t h e Hami l t o n
E nt i t i e s .
THE P ARTIE S
12. P l ai nt i f f Ope nGat e C api t al Gro u p LLC i s a De l aware l i mi t e d l i ab i l i t y
c o mpany wi t h i t s pri nc i pal pl ac e o f b u s i ne s s i n Lo s Ang e l e s , C al i f o rni a.
13. P l ai nt i f f Ro u nd Ro c k 092012 LLC i s a De l aware l i mi t e d l i ab i l i t y
; c o mpany wi t h i t s pri nc i pal pl ac e o f b u s i ne s s i n Lo s Ang e l e s , C al i f o rni a. Ro u nd Ro c k
092012 LLC i s an i nd i re c t s u b s i d i ary o f , and i s c o nt ro l l e d b y , Ope nGat e C api t al
~ Gro u p LLC .
14. P l ai nt i f f Ro u nd Ro c k S c i e nt i f i c Int e rnat i o nal LLC i s a De l aware l i mi t e d
l i ab i l i t y c o mpany wi t h i t s pri nc i pal pl ac e o f b u s i ne s s i n Lo s Ang e l e s , C al i f o rni a.
Ro u nd Ro c k S c i e nt i f i c Int e rnat i o nal LLC i s a s u b s i d i ary o f Ro u nd Ro c k 092012 LLC .
15. P l ai nt i f f Ro u nd Ro c k Me x i c o LLC i s a De l aware l i mi t e d l i ab i l i t y
c o mpany wi t h i t s pri nc i pal pl ac e o f b u s i ne s s i n Lo s Ang e l e s , C al i f o rni a. Ro u nd Ro c k
Me x i c o LLC i s a s u b s i d i ary o f Ro u nd Ro c k 092012 LLC .
16. On i nf o rmat i o n and b e l i e f , De f e nd ant Th e rmo F i s h e r S c i e nt i f i c , Inc . i s a
De l aware c o rpo rat i o n wi t h i t s pri nc i pal pl ac e o f b u s i ne s s i n Bo s t o n, Mas s ac h u s e t t s .
JURIS DIC TION AND VE NUE
17. Th e j u ri s d i c t i o n o f t h i s C o u rt l i e s i n, amo ng o t h e r pl ac e s , t h e pro v i s i o ns
o f 28 U. S . C . 1331 b e c au s e t h i s ac t i o n ari s e s u nd e r t h e pro v i s i o ns o f S e c t i o n 10( b )
o f t h e S e c u ri t i e s E x c h ang e Ac t o f 1934, 15 U. S . C . 78( j ) and 17 C . F . R. 240. 1 Ob - 5.
18. Th i s C o u rt h as s u ppl e me nt al j u ri s d i c t i o n o v e r t h e s t at e l aw c l ai ms i n t h i s
ac t i o n pu rs u ant t o 28 U. S . C . 1367 b e c au s e t h e re mai ni ng s t at e l aw c l ai ms are s o
re l at e d t o t h e f e d e ral s e c u ri t i e s c l ai ms t h at t h e y f o rm a part o f t h e s ame c as e o r
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co ntro vers y and f al l w i th i n th i s Co urt's s uppl emental j uri s di cti o n.
19. Venue i s pro per i n th i s di s tri ct purs uant to 15 U. S. C. 78aa and 28
U. S. C. 1391.
FACTUAL ALLEGATIONS
A. Th ermo Fi s h er So ugh t To Of f-Lo ad Th e Hami l to n Enti ti es At Al l Co s ts .
20 . As o f June 20 12, Th ermo Fi s h er carri ed o n i ts bo o ks a bus i nes s cal l ed
th e Lab Wo rks tati o n Bus i nes s , w h i ch w as co nducted by th e Hami l to n Enti ti es . Th e
Lab Wo rks tati o n Bus i nes s h ad been run w i th o ut adequate co ntro l s , i ncurred o verruns
and pai d co mmi s s i o ns to Th ermo Fi s h er empl o yees i n "o f f bal ance" s h eet
trans acti o ns .
21. On June 28, 20 12, Th ermo Fi s h er anno unced i n a Current Repo rt o n
Fo rm 8-K f i l ed w i th th e Securi ti es and Exch ange Co mmi s s i o n ("SEC") th at Th ermo
Fi s h er's s eni o r management made a deci s i o n to purs ue a s al e o f th e Lab Wo rks tati o n
Bus i nes s , part o f Th ermo Fi s h er's "Labo rato ry Pro ducts and Servi ces Segment. " Th e
Fo rm 8-K f i l ed w i th th e SEC s tated th at "th e Co mpany expects to co mpl ete s uch a
trans acti o n w i th i n tw el ve mo nth s . Th e Co mpany w i l l repo rt th e f i nanci al res ul ts o f i ts
l abo rato ry w o rks tati o ns bus i nes s as a di s co nti nued o perati o n begi nni ng i n th e s eco nd
quarter o f 20 12. "
22. Th ermo Fi s h er al s o di s cl o s ed i n i ts Fo rm 8-K th at, o n a bus i nes s w i th
revenues i n 20 11 o f $180 mi l l i o n, Th ermo Fi s h er pl anned to reco rd an af ter-tax
ch arge o f appro xi matel y $50 mi l l i o n as th e es ti mated l o s s o n th e pl anned di ves ti ture.
23. Upo n i nf o rmati o n and bel i ef , ei th er at o r abo ut th e ti me i t i s s ued th es e
publ i c s tatements , Th ermo Fi s h er retai ned Barcl ays to run a publ i c aucti o n to s el l th e
Hami l to n Enti ti es and th e Lab Wo rks tati o n Bus i nes s , w i th th e aucti o n co nducted to
s el l th e Hami l to n Fi s h er enti ti es as f as t as po s s i bl e, and, eventual l y, regardl es s o f
purch as e pri ce.
24. Amo ng o th er th i ngs , Th ermo Fi s h er and Barcl ays ' f ai l ure to s el l th e Lab
Wo rks tati o n Bus i nes s and th e Hami l to n Enti ti es by th e end o f 20 12 w o ul d h ave
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r e q u i r e d p u b l i c d i s c l o s u r e b y The r mo F i s he r t ha t i t ha d f a i l e d t o s e l l t he $180 mi l l i o n
La b Wo r ks t a t i o n Bu s i n e s s wi t hi n 6 mo n t hs , a f a c t t ha t wo u l d ha ve c e r t a i n l y r a i s e d
c o n c e r n s a b o u t u n d i s c l o s e d l i a b i l i t i e s b y p u b l i c i n ve s t o r s , a n d wo u l d ha ve d i r e c t l y
i mp a c t e d The r mo F i s he r ' s e a r n i n g s p e r s ha r e , a r g u a b l y t he mo s t i mp o r t a n t me t r i c o n
Wa l l S t r e e t .
B. Ro u n d Ro c k' s Ne g o t i a t i o n s Le a d i n g To Pu r c ha s e o f t he Ha mi l t o n E n t i t i e s .
25. A t t r a c t e d b y t he a p p e a l a n d p o t e n t i a l o f t he La b Wo r ks t a t i o n Bu s i n e s s ,
o n J u l y 2, 20 12, Ro u n d Ro c k e xp r e s s e d i n t e r e s t i n p o t e n t i a l l y a c q u i r i n g t he Ha mi l t o n
E n t i t i e s .
26. A f t e r e xe c u t i n g a l l o n -Di s c l o s u r e A g r e e me n t r e q u i r e d b y The r mo F i s he r
i n o r d e r t o r e c e i ve n o n -p u b l i c d o c u me n t s a b o u t t he Ha mi l t o n E n t i t i e s , Ro u n d Ro c k
' ma d e p r e l i mi n a r y d u e d i l i g e n c e r e q u e s t s i n t he e a r l y p a r t o f J u l y 20 12.
27. A l t ho u g h The r mo F i s he r p r o vi d e d s o me i n f o r ma t i o n d u r i n g t he p a r t i e s '
~ e a r l y d i s c u s s i o n s , t he i n f o r ma t i o n f l o w s t o p p e d i n l a t e A u g u s t 20 12.
28. On i n f o r ma t i o n a n d b e l i e f , b e t we e n l a t e A u g u s t a n d S e p t e mb e r 20 12,
The r mo F i s he r ha d e n g a g e d a n o t he r b u ye r who u l t i ma t e l y b a c ke d o u t .
29. F r a n t i c , i n mi d-S e p t e mb e r 20 12, Ba r c l a ys c o n t a c t e d Ro u n d Ro c k t o r e -
e n g a g e i n n e g o t i a t i o n s a n d s e e k a s wi f t c l o s i n g o f t he s a l e .
30 . Mo t i va t e d t o f u l l y d i l i g e n c e t he Ha mi l t o n E n t i t i e s a n d t he La b
Wo r ks t a t i o n Bu s i n e s s , Ro u n d Ro c k mo b i l i z e d t e a m me mb e r s t o me e t wi t h
ma n a g e me n t a n d t o c o n d u c t d i l i g e n c e r e g a r d i n g t he f i n a n c i a l a s p e c t s o f t he b u s i n e s s .
Nu me r o u s me e t i n g s a n d t e l e p ho n e c a l l s t he n t o o k p l a c e o ve r t he c o u r s e o f t he n e xt
s e ve r a l d a ys .
31. Du r i n g t he s e e a r l y d i s c u s s i o n s , The r mo F i s he r ma d e c l e a r t ha t i t d e s i r e d
t o ha ve a s i g n e d p u r c ha s e a g r e e me n t b e f o r e s a t i s f a c t o r y c o mp l e t i o n o f d u e d i l i g e n c e .
32. A s o f l a t e i n t he d a y o n F r i d a y, S e p t e mb e r 21, 20 12, t he Ro u n d Ro c k
~ t e a m wa s i n Bo s t o n t o n e g o t i a t e a p u r c ha s e c o n t r a c t wi t h The r mo F i s he r f o r t he
~ Ha mi l t o n E n t i t i e s . The s t a t e d g o a l o f t he p a r t i e s wa s t o n e g o t i a t e a n d e xe c u t e a
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' purcha s e a g reement by Sunda y ni g ht.
33. In o rder a cco mmo da te Thermo F i s her' s s ta ted need f o r expedi ence i n
cl o s i ng the dea l , Ro undRo ck pro po s ed to s tructure the tra ns a cti o n s uch tha t the
a g reement, a f ter neg o ti a ti o n, wo ul d be executed a nd the tra ns a cti o n wo ul d cl o s e a f ter
certa i n co ndi ti o ns , i ncl udi ng s a ti s f a cto ry co mpl eti o n o f due di l i g ence ( the "Cl o s i ng
Due Di l i g ence Co ndi ti o n") .
34. The Cl o s i ng Due Di l i g ence Co ndi ti o n, ho wever, wa s a term rej ected o ut
o f ha nd by Thermo F i s her' s neg o ti a ti ng tea m, whi ch i ncl uded Shi ra z La di wa l a ,
Executi ve Vi ce P res i dent o f Bus i nes s Devel o pment o f Thermo F i s her. In f a ct,
Thermo F i s her co mmuni ca ted to P l a i nti f f s tha t i t wa nted the tra ns a cti o n to cl o s e
s i mul ta neo us l y wi th the executi o n o f the a g reement.
35. F ro m September 18, 2012, a nd a f terwa rd, Ro undRo ck co nti nuo us l y
reques ted f i na nci a l a nd o pera ti o na l da ta to a s s es s the Ha mi l to n Enti ti es . Thes e
reques ts i ncl uded the mo s t f unda menta l i tems , s uch a s recei va bl es , o uts ta ndi ng l etters
o f credi t, a l i s ti ng o f perf o rma nce bo nds , i nvento ry repo rts a nd wo rki ng ca pi ta l needs
o f the co mpa ny.
36. In res po ns e to Ro undRo ck' s i nqui ri es , repo rts a nd ever-cha ng i ng
i nf o rma ti o n co ncerni ng Acco unts Recei va bl es , Ag ed Acco unts , Invento ry Level s ,
Hi s to ri ca l Invento ry Wri te-Do wns , Empl o yee Cens us Da ta , P a yro l l a nd Retenti o n
P a yments , a nd Li s ti ng o f Letters o f Credi t a nd P erf o rma nce Bo nds to be a s s umed o r
g ua ra nteed by Ro undRo ck, were pro vi ded. Ea ch reques t, ho wever, wa s met wi th
a cri mo ny by Thermo F i s her a nd the i nf o rma ti o n pro duced cha ng ed wi th ea ch
ques ti o n by Ro undRo ck i ntended to pro be i nto the a ccura cy a nd ba s i s f o r the repo rted
i nf o rma ti o n.
37. The pa rti es s pent the weekend o f September 22 a nd 23, 2012, neg o ti a ti ng
a t the o f f i ces o f Thermo F i s her' s co uns el , duri ng whi ch ti me numero us a ddi ti o na l due
di l i g ence reques ts were ma de by Ro undRo ck to unders ta nd the La b Wo rks ta ti o n
~ Bus i nes s a nd the Ha mi l to n Enti ti es , i ncl udi ng to i ndependentl y veri f y the s a l es
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do cuments a nd ma na ger p res enta ti o ns ma de to th e Ro undRo ck tea m.
38. By ea rly Sa turda y mo rni ng, Sep tember 22, 2012, i t wa s clea r th a t much
i nfo rma ti o n th a t h a d s p eci fi ca lly been req ues ted, i ncludi ng i n co nnecti o n wi th th e
Reyno s a F a ci li ty i n Mexi co , h a d no t been p ro vi ded by Th ermo F i s h er. On th a t
mo rni ng, Ro undRo ck p ro vi ded Th ermo F i s h er wi th a ddi ti o na l i tems th a t i t exp ected
a nd des i red to s ee. Rep res enta ti ves o f Ba rcla ys , o n Th ermo F i s h er' s beh a lf,
exp res s ed di s ma y, di s co ntent a nd i ncreduli ty th a t th e a ddi ti o na l i tems h a d been
req ues ted a nd o bj ected to p ro vi di ng a ddi ti o na l i nfo rma ti o n o n th e gro unds th a t th e
i nfo rma ti o n wa s ei th er a lrea dy ma de a va i la ble to Ro undRo ck o r no t releva nt.
39. Ro undRo ck' s tea m co nti nued to wo rk th ro ugh th e weekend to
unders ta nd th e true ch a ra cter o f th e La b Wo rks ta ti o n Bus i nes s a nd th e Ha mi lto n
E nti ti es .
40. By Sunda y, Sep tember 23, 2012, co mmuni ca ti o n between th e p a rti es
wa s tens e. As o f th a t p o i nt, th e p a rti es were una ble to co me to a greement o n ma teri a l
terms o f th e Agreement, i ncludi ng th e Clo s i ng Due Di li gence Co ndi ti o n, th e ti mi ng o f
s i gni ng a nd clo s i ng, a nd a n a dj us ted p urch a s e p ri ce i n li gh t o f Th ermo F i s h er' s
co nduct to da te.
41. After a few da ys , Ba rcla ys bro ugh t th e p a rti es ba ck to geth er a nd
di s cus s i o ns res umed o n Th urs da y, Sep tember 27, 2012. Ro undRo ck co nti nued i ts
due di li gence, wi th a ns wers to i ts q ues ti o ns p ro vi ded by Th ermo F i s h er i n a ma nner
th a t Ro undRo ck no w unders ta nds wa s p urp o s efully mea nt to mi s lea d Ro undRo ck.
Ro undRo ck co nti nued i ts revi ew o f a ddi ti o na l do cuments ma de a va i la ble by Th ermo
F i s h er a nd, ba s ed up o n th e di li gence p ro vi ded a nd furth er rep res enta ti o ns ma de by
Th ermo F i s h er rega rdi ng th e o p era ti o ns o f th e Ha mi lto n E nti ti es , Ro undRo ck a greed
to execute a p urch a s e a greement o n F ri da y, Octo ber 5, 2012, wi th o ut a p ro vi s i o n fo r
unwi ndi ng th e dea l i n th e event o f a ny p o s t- executi o n di s co veri es , a nd wi th a very
s h o rt wi ndo w fo r furth er di li gence between s i gni ng a nd clo s i ng o f th e tra ns a cti o n.
42. Reflecti ve o f th e ma nner i n wh i ch Th ermo F i s h er co nducted i ts elf duri ng
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t he c o ur s e o f t he t r an s ac t i o n , at 11 p. m. o n Oc t o ber 5, 20 12, when t he par t i es wer e i n
t he mi ds t o f s i g n i n g an d exc han g i n g t he Equi t y Pur c has e an d S al e Ag r eemen t By an d
Bet ween Ther mo F i s her S c i en t i fi c I n c . an d Ro un dRo c k 0 920 12 LLC (t he "Pur c has e
Ag r eemen t "), Ther mo F i s her dumped a s er i es o f mat er i al do c umen t s o n Ro un dRo c k
r efl ec t i n g addi t i o n al l i abi l i t i es t o be g uar an t eed by Ro un dRo c k, amo un t i n g t o far
mo r e what Ro un dRo c k was pr ev i o us l y i n fo r med by Ther mo F i s her .
43. By t hat t i me, t he Pur c has e Ag r eemen t was effec t i v e an d Ro un dRo c k had
n o r ec o ur s e t o un do t he deal .
44. On o r abo ut Oc t o ber 25, 20 12, t he par t i es ul t i mat el y c l o s ed t he
t r an s ac t i o n fo r t he pur c has e an d s al e o f t he Hami l t o n En t i t i es (as defi n ed
her ei n abo v e) i n exc han g e fo r c o n s i der at i o n , i n c l udi n g $3,0 0 0 ,0 0 0 i n c as h, 10 % o f t he
ful l y di l ut ed equi t y o f Pl ai n t i ffs at t he c l o s i n g , an d a pr o mi s s o r y n o t e fo r $10 ,0 0 0 ,0 0 0
(t he "S al e").
C. Pl ai n t i ffs Di s c o v er S ec ur i t y Thr eat s t o Reyn o s a F ac i l i t y That Wer e
F r audul en t l y Co n c eal ed By Ther mo F i s her
45. Ro un dRo c k t o o k po s s es s i o n o f t he pr emi s es o f eac h o f t he Hami l t o n
En t i t i es ' fac i l i t i es i n t he Un i t ed S t at es an d Mexi c o at mi dn i g ht o n Oc t o ber 22, 20 12.
Un t i l t hat pr ec i s e mo men t , Ther mo F i s her had r efus ed t o al l o w Ro un dRo c k ac c es s t o
an y o f t he fac i l i t i es , i n c l udi n g an y c o n t ac t per mi t t ed wi t h i t s empl o yees .
46. F o l l o wi n g t hei r pur c has e o f t he Hami l t o n En t i t i es , Pl ai n t i ffs di s c o v er ed,
fo r t he fi r s t t i me, o n g o i n g , ho s t i l e s ec ur i t y t hr eat s an d dai l y en c r o ac hmen t s by t he
Car t el at t he Hami l t o n En t i t i es ' man ufac t ur i n g fac i l i t y i n Reyn o s a, Mexi c o
47. Wi t hi n ho ur s o f Ro un dRo c k as s umi n g po s s es s i o n an d o wn er s hi p o f t he
fac i l i t i es , o n t he day Ro un dRo c k fi r s t appear ed wi t h i t s man ag emen t t eam t o c o n duc t
t o wn hal l meet i n g s an d t r an s i t i o n t he empl o yees , an empl o yee at t he Reyn o s a F ac i l i t y
i n Mexi c o appr i s ed a r epr es en t at i v e o f Ro un dRo c k o f t he Car t el ac t i v i t y. I n addi t i o n
t o r epo r t i n g o n t he Car t el ' s r eg ul ar en t r y o f t he pr emi s es an d ev en t he mai n bui l di n g
i t s el f, t he empl o yee expr es s ed s er i o us c o n c er n s abo ut t he s afet y o f t he F ac i l i t y, an d
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as ked t h at P l ai n t i f f s t ake ac t i o n t o addres s t h e pro bl em, wh i c h h ad n o t been do n e
un der t h e previ o us o wn er, Th ermo F i s h er.
48. P l ai n t i f f s i mmedi at el y i n i t i at ed an i n ves t i g at i o n t o det ermi n e t h e n at ure
an d ex t en t o f t h e Gul f C art el ac t i vi t y at t h e Reyn o s a F ac i l i t y. Th i s i n ves t i g at i o n i s
o n g o i n g .
49. Duri n g t h e c o urs e o f t h ei r i n ves t i g at i o n , t o dat e, P l ai n t i f f s h ave
di s c o vered t h at :
a. Th e Reyn o s a F ac i l i t y i s , an d h as been c o n t i n uo us l y s i n c e at l eas t
2011 (wh i l e Th ermo F i s h er s t i l l o wn ed t h e Hami l t o n E n t i t i es ) , i n f i l t rat ed by s en i o r
l o c al l eaders o f t h e "Gul f C art el ," a Mex i c an c ri mi n al o rg an i z at i o n ac t i ve al o n g t h e
bo rder o f Mex i c o an d t h e Un i t ed S t at es , o n a dai l y bas i s an d at al l h o urs o f t h e day;
b. On o r abo ut Oc t o ber 19, 2011, i n di vi dual s c o mmo n l y kn o wn o r
bel i eved t o be i n vo l ved wi t h t h e C art el bran di s h ed weapo n s t o empl o yees at t h e
~ Reyn o s a F ac i l i t y i n o rder t o g ai n ac c es s t o t h e parki n g l o t ;
c . On t h at s ame day, t h o s e i n di vi dual s g ai n ed ac c es s t o t h e l o t an d
~ l ef t a veh i c l e i n t h e F ac i l i t y parki n g l o t f o r appro x i mat el y n i n e h o urs ;
d. On Oc t o ber 24, 2011, t h e s ame i n di vi dual s as t h o s e wh o en t ered
t h e parki n g l o t o n Oc t o ber 19, 2012, ret urn ed an d l ef t t h e s ame veh i c l e i n t h e parki n g
~ l o t o f t h e F ac i l i t y f o r mo re t h an 24 h o urs .
e. S i n c e t h e Oc t o ber 19 an d Oc t o ber 24, 2011, i n c i den t s , members o f
t h e Gul f C art el h ave en t ered t h e g ro un ds o f t h e Reyn o s a F ac i l i t y every day, reg ul arl y
l eavi n g t h ei r c ars an d, o n o c c as i o n , t rac t o r- t rai l ers f i l l ed wi t h un kn o wn c arg o i n
t h e F ac i l i t y' s parki n g l o t o vern i g h t ;
In o r aro un d Jan uary an d F ebruary 2012, t h e mo vemen t o f
~ veh i c l es o perat ed by Gul f C art el members o n t o t h e premi s es o f t h e Reyn o s a F ac i l i t y
n o t abl y i n c reas ed, pro mpt i n g empl o yees at t h e F ac i l i t y t o s eek as s i s t an c e f ro m
~ Th ermo F i s h er;
g . In o r aro un d Jan uary an d F ebruary 2012, Th ermo F i s h er' s s ec uri t y
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a d v i s o r s a t t e m p t e d t o d e v e lo p a s t r a t e g y f o r s e c u r i t y m e a s u r e s t o be t a k e n a t t h e
Re y n o s a F a c i li t y i n r e s p o n s e t o t h e c a r t e l i n f i lt r a t i o n . Th e y p r o p o s e d c e r t a i n
u p g r a d e s t o t h e g u a r d bo o t h s , p e r i m e t e r f e n c i n g a n d p a r k i n g lo t a c c e s s r a m p s ;
h . No n e o f t h e p r o p o s e d m e a s u r e s o r u p g r a d e s we r e m e a n i n g f u lly
o r e f f e c t i v e ly i m p le m e n t e d , d e s p i t e r e p e a t e d r e q u e s t s f r o m e m p lo y e e s a t t h e Re y n o s a
F a c i li t y ;
i . On o r a bo u t Se p t e m be r 23, 20 12 - i n t h e m i d s t o f n e g o t i a t i o n s
be t we e n P la i n t i f f s a n d Th e r m o F i s h e r , n o le s s - a r m e d m i li t a n t s e n t e r e d t h e c a f e t e r i a
a t t h e Re y n o s a F a c i li t y a f t e r be i n g f o llo we d by r i v a ls ( e i t h e r o p p o s i n g c a r t e l m e m be r s
o r s o ld i e r s ) . Th e y s t a y e d f o r a n h o u r o r m o r e be f o r e le a v i n g ;
j . On o r a bo u t Oc t o be r 3, 20 12, d u r i n g t h e c o u r s e o f n e g o t i a t i o n s
i be t we e n Th e r m o F i s h e r a n d Ro u n d Ro c k , a n d d u e d i li g e n c e by Ro u n d Ro c k , Ar t
i Wo o d , t h e Vi c e P r e s i d e n t o f Hu m a n Re s o u r c e s a t Th e r m o F i s h e r , i n s t r u c t e d t h e
Co u n t r y Hu m a n Re s o u r c e s D i r e c t o r f o r Me xi c o , Ro be r t o E n r i q u e z , n o t t o d i s c lo s e
m a t e r i a l i n f o r m a t i o n r e g a r d i n g s e c u r i t y t h r e a t s a t t h e Re y n o s a F a c i li t y , t o
Ro u n d Ro c k , i n c lu d i n g br e a c h e s o f t h e p r e m i s e s a n d bu i ld i n g by m e m be r s o f t h e Gu lf
Ca r t e l. Sp e c i f i c a lly , i n r e s p o n s e t o a n e m a i l s e n t by Mr . E n r i q u e z t o Mr . Wo o d a n d
Jo h n Mi t c h e ll ( Th e r m o F i s h e r ' s D i r e c t o r o f Co r p o r a t e Se c u r i t y ) , i n f o r m i n g Me s s r s .
Wo o d a n d Mi t c h e ll o f t h e n - r e c e n t v i o le n t a c t i v i t y i n s i d e t h e Re y n o s a F a c i li t y , Mr .
Wo o d s t a t e d : "I be li e v e we a r e t h r o u g h t h e d i li g e n c e p r o c e s s wi t h o u r bu y e r s , s o
d o n ' t k n o w t h a t n o w i s t h e t i m e t o r a i s e t h e i s s u e . " In t h e s a m e e m a i l, Mr . Wo o d a ls o
a c k n o wle d g e d t h a t s e c u r i t y m e a s u r e s m u s t be t a k e n t o a d d r e s s t h e t h r e a t o f t h e Ca r t e l;
k . As o f t h e t i m e Ro u n d Ro c k t o o k p o s s e s s i o n o f t h e Re y n o s a
F a c i li t y , t h e p r e s e n c e o f t h e Ca r t e l wa s wi d e s p r e a d a n d p e r v a s i v e . Me m be r s o f t h e
c a r t e l, k n o wn a s "h a wk s ," o c c u p y a d a i ly p r e s e n c e o u t s i d e o f t h e g a t e o f t h e F a c i li t y .
Th e "h a wk s " m o n i t o r t h e F a c i li t y i n t h i s m a n n e r 24 h o u r s a d a y , 7 d a y s a we e k , e v e n
t a k i n g c o m f o r t i n t h e a i r - c o n d i t i o n e d s e c u r i t y bo o t h wh e n i t i s h e lp f u l;
1. Th e Ca r t e l' s p r e s e n c e i s wi d e s p r e a d k n o wle d g e a m o n g s t t h e
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'Reynos a F ac i li t y's employees .
50. Upon i nformat i on and b eli ef, Thermo F i s her unders t ood t hat t he s ec uri t y
t hreat s , and b reac hes of t he Reynos a F ac i li t y b y memb ers of a drug c art el, would
i nfluenc e t he c ours e of negot i at i ons and would li k ely di s s uade RoundRoc k from
~ ent eri ng i nt o t he Purc has e Agreement .
51. On i nformat i on and b eli ef, duri ng a s i t e v i s i t t o t he Reynos a F ac i li t y
~ pri or t o t he c los i ng, Thermo F i s her ens ured t hat Plai nt i ffs ' repres ent at i v es c ould not
~ t our or i ns pec t t he peri met er of t he F ac i li t y and av oi ded any v i s i t s i n t he ev eni ng,
~ when t he C art el ac t i v i t y generally t ak es plac e.
52. On at leas t one oc c as i on i n 2013, memb ers of t he Gulf C art el agai n
ut i li z ed t he Reynos a F ac i li t y t o t ak e c ov er from a gun b at t le t ak i ng plac e out s i de of
t he F ac i li t y.
53. Upon i nformat i on and b eli ef, as a res ult of t he C art el ac t i v i t y, t he
~ managers of t he Reynos a F ac i li t y leav e t he premi s es eac h day b efore s undown.
54. The i nfi lt rat i on and t hreat s b y Gulf C art el memb ers at t he Reynos a
F ac i li t y was fully k nown b y c orporat e ex ec ut i v es at Thermo F i s her as early as
Nov emb er 2011, approx i mat ely one year pri or t o t he s ale of t he Hami lt on E nt i t i es t o
i g I lPlai nt i ffs .
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D. Thermo F i s her E x ec ut i v es at t he Hi ghes t Lev els Were Aware Of t he Drug
C art el Ac t i v i t y at t he Reynos a F ac i li t y Nearly A Year Before The Sale
55. Duri ng t he c ours e of t hei r i nv es t i gat i on, Plai nt i ffs hav e di s c ov ered t hat at
~ leas t t he followi ng Thermo F i s her employees and ex ec ut i v es were aware of t he
i nfi lt rat i on and drug c art el ac t i v i t y at t he Reynos a F ac i li t y s i nc e at leas t as early as
Nov emb er 2011:
a. Thomas W. Loewald (Seni or Vi c e Pres i dent , Pres i dent Lab orat ory
Produc t s Group);
b . Jos eph S. Web b (Vi c e Pres i dent , Manufac t uri ng Operat i ons ,
Sourc i ng and Logi s t i c s );
13
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804829
c. Bob Simpson (Vice President and General Manager, Laboratory
Workstations);
d. Art Wood, (Vice President of Human Resources at Thermo Fisher)
e. Fiona Walker (Vice President, Human Resources);
f. J oseph A. Baiunco (Vice President, Human Resources);
g. Roberto Enriquez (Country Human Resources Director for
Mexico);
h. J ared Slagle (Director of Finance, Laboratory Equipment
Division);
i. Amy L. Martin (Director, Human Resources); and
j. J ohn Mitchell (Director of Corporate Security).
56. On or about November 2, 2011, Thermo Fishers Country Human
Resources Director for Mexico, Roberto Enriquez, sent a detailed email to J oseph
Baiunco and J ohn Mitchell describing recent incidents wherein Gulf Cartel members
had breached the parking lot and security office at the Reynosa Facility.
57. On or about November 11, 2011, J oseph Webb provided a Reynosa
security update to Bob Simpson, J ared Slagle, Ricardo Salazar, Amy Martin, Fiona
Walker and Thomas Loewald, informing them that the situation involving the drug
cartel was being worked and that he would advise further as information becomes
available.
58. Plaintiffs are informed and believe, and on that basis allege that, despite
its knowledge of the activity at the Reynosa Facility, beginning in November 2011,
Thermo Fisher made none of the upgrades that were recommended by its security
advisors in J anuary and February 2012, and took no meaningful action to fortify or
further secure the Facility in response to the continuing cartel infiltration. Instead,
Thermo Fisher began searching for a buyer on whom it could dump the Hamilton
Entities.
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59. Moreover, at no p oi nt p ri or to the p urchas e and s al e of the Hami l ton
~ E nti ti es were P l ai nti ffs ever made aware of the drug cartel acti vi ty on the p remi s es of
~ the Reynos a F aci l i ty.
60. Rather, wi th ful l knowl edg e about the s cop e and mag ni tude of the drug
cartel acti vi ty on the p remi s es of the Reynos a F aci l i ty, Thermo F i s her i ntenti onal l y
~ conceal ed that i nformati on from P l ai nti ffs duri ng the due di l i g ence p roces s for the
S al e.
E . Thermo F i s her Conceal ed Materi al Informati on Wi th Res p ect To Other
As p ects Of The Hami l ton E nti ti es
61. Thermo F i s her conceal ed addi ti onal materi al facts wi th res p ect to the
s afety, vi abi l i ty and op erati on of the other faci l i ti es op erated by the Hami l ton E nti ti es .
62. F or examp l e, Thermo F i s her's Vi ce P res i dent of Manufacturi ng
Op erati ons , S ourci ng And Log i s ti cs , Jos ep h S . Webb, i ns tructed emp l oyees at the
E p oxyn P roducts faci l i ty i n Mountai n Home, Arkans as to wi thhol d i nformati on
reg ardi ng certai n op erati ons from P l ai nti ffs at a s i te vi s i t to the Arkans as F aci l i ty
p ri or to the S al e.
63. In the days and weeks p ri or to the cl os i ng , Thermo F i s her al s o exp res s l y
'di s al l owed P l ai nti ffs from s p eaki ng at al l wi th any emp l oyees worki ng for the
Hami l ton E nti ti es .
64. F urther, P l ai nti ffs are i nformed and bel i eve that Thermo F i s her may have
~ conceal ed addi ti onal materi al facts reg ardi ng the Hami l ton E nti ti es i n order to i nduce
the S al e.
F . In Addi ti on To Conceal i ng Materi al Informati on, Thermo F i s her Made
Mi s l eadi ng , Affi rmati ve Rep res entati ons To P l ai nti ffs
65. Many of the materi al terms i n the P urchas e Ag reement i ncl ude
rep res entati ons by Thermo F i s her concerni ng the exi s ti ng condi ti ons and op erati ons at
~ the vari ous faci l i ti es , al l of whi ch render Thermo F i s her's conduct and the materi al s
~ they p rovi ded addi ti onal l y mi s l eadi ng . S p eci fi cal l y, i n i ts " Confi denti al Informati on
804829
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P r e s e n t a t i o n " me mo r a n dum t h a t wa s pr o vi de d t o P l a i n t i f f s dur i n g t h e co ur s e o f due
di l i ge n ce , Th e r mo F i s h e r we n t s o f a r a s t o ma ke r e pr e s e n t a t i o n s t o P l a i n t i f f s
r e ga r di n g t h e po s i t i ve ch a r a ct e r i s t i cs o f t h e " Ge o gr a ph y" o f Re yn o s a , Me xi co ,
wi t h o ut a n y me n t i o n o f o r wa r n i n g a bo ut t h e pr e va l e n ce o f vi o l e n t , cr i mi n a l a ct i vi t y
i n a n d a r o un d t h e Re yn o s a F a ci l i t y i t s e l f . I n s t e a d, Th e r mo F i s h e r me r e l y s t a t e d t h a t
t h e ci t y o f Re yn o s a i s " h i gh l y i n dus t r i a l i z e d" a n d h a s " e a s y s h i ppi n g r o ut e s t o o t h e r
ke y ci t i e s . " I n t h a t s a me me mo r a n dum, Th e r mo F i s h e r s t a t e d t h a t i t wa s " co mmi t t e d
t o t h e o n go i n g s ucce s s " o f t h e La b Wo r ks t a t i o n Bus i n e s s i n Me xi co .
66. Th e P ur ch a s e Agr e e me n t , da t e d Oct o be r 5, 2012, a l s o co n t a i n s n ume r o us
r e pr e s e n t a t i o n s a n d wa r r a n t i e s a n d o t h e r s t a t e me n t s r e l a t i n g t o t h e o pe r a t i o n s o f t h e
bus i n e s s .
(a ) P a r a gr a ph 2. 11 o f t h e Agr e e me n t s t a t e s , a mo n g o t h e r t h i n gs t h a t " . . . a l l
o f s uch pr o pe r t i e s a n d bui l di n gs . . . (i i ) a r e s ui t a bl e , s uf f i ci e n t a n d a ppr o pr i a t e i n a l l
ma t e r i a l r e s pe ct s f o r t h e i r cur r e n t a n d co n t e mpl a t e d us e s " ;
(b) P a r a gr a ph 2. 18 pr o vi de s t h a t " t h e Co mpa n i e s a n d S ubs i di a r i e s a r e i n
co mpl i a n ce wi t h a l l La ws o f a n y f e de r a l , s t a t e o r f o r e i gn go ve r n me n t " ; a n d
(c) P a r a gr a ph 2. 7(n ) co n t a i n s , i n pa r t , a r e pr e s e n t a t i o n t h a t t h e Ha mi l t o n
~ E n t i t i e s h a d n o t " s uf f e r e d a Bus i n e s s Ma t e r i a l Adve r s e E f f e ct " , wh i ch i s de f i n e d i n
pa r a gr a ph 2. 1(a ) a s , i n r e l e va n t pa r t , " a n y ch a n ge , e f f e ct o r ci r cums t a n ce t h a t (i ) i s
~ ma t e r i a l l y a dve r s e t o t h e bus i n e s s " .
67. Th e s e r e pr e s e n t a t i o n s a n d wa r r a n t i e s we r e mi s l e a di n g, pa t e n t l y f a l s e a n d
~ we r e de s i gn e d t o i n duce P l a i n t i f f s ' pur ch a s e o f t h e Ha mi l t o n E n t i t i e s de s pi t e s e r i o us
co n ce r n s t h a t s h o ul d h a ve be e n di s cl o s e d.
F I RS T CLAI M F OR RE LI E F
(Vi o l a t i o n o f S e ct i o n 10(b) o f t h e 1934 S e cur i t i e s E xch a n ge Act (15 U. S . C.
78i (b)) a n d Rul e l Ob-5 (17 C. F . R. ~ 240. 1Ob-5) Aga i n s t Al l De f e n da n t s )
68. P l a i n t i f f s r e a l l e ge a n d i n co r po r a t e by r e f e r e n ce e a ch a n d e ve r y a l l e ga t i o n
~ co n t a i n e d i n t h e a bo ve pa r a gr a ph s a s i f f ul l y s e t f o r t h h e r e i n .
804829
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69. Defendants eng ag ed i n a s cheme to i ndu ce the s al e o f the Hami l to n
E nti ti es to P l ai nti ffs by, amo ng o ther thi ng s , o mi tti ng to di s cl o s e facts mater i al to the
v al u e, s ecu r i ty and s afe o p er ati o n o f the Hami l to n E nti ti es and thei r faci l i ti es , and by
maki ng affi r mati v e mi s r ep r es entati o ns to the s ame effect.
70. Defendants knew and fai l ed to di s cl o s e to P l ai nti ffs mater i al facts ,
i ncl u di ng bu t no t l i mi ted to :
a. The Reyno s a F aci l i ty i s , and has been co nti nu o u s l y s i nce at l eas t
2011, i nfi l tr ated by member s o f the Gu l f C ar tel , a Mexi can cr i mi nal o r g ani z ati o n, o n
a dai l y bas i s ;
b. On o r abo u t Octo ber 19, 2011, i ndi v i du al s kno wn o r bel i ev ed to
be as s o ci ated wi th the Gu l f C ar tel br andi s hed weap o ns to emp l o yees at the Reyno s a
F aci l i ty;
c. On o r abo u t Octo ber 19, 2011, i ndi v i du al s kno wn o r bel i ev ed to
be as s o ci ated wi th the Gu l f C ar tel g ai ned acces s to the p ar ki ng l o t o f the Reyno s a
F aci l i ty and l eft a v ehi cl e ther e fo r ap p r o xi matel y ni ne ho u r s ;
d. On o r abo u t Octo ber 24, 2011, the s ame i ndi v i du al s g ai ned entr y
i nto the p ar ki ng l o t ag ai n and l eft thei r v ehi cl e fo r mo r e than 24 ho u r s ;
e. S i nce the i nci dents o n Octo ber 19 and 24, 2011, member s o f the
~ Gu l f C ar tel hav e enter ed the g r o u nds o f the Reyno s a F aci l i ty ev er y day, r eg u l ar l y
l eav i ng thei r car s and, o n o ccas i o n, tr acto r- tr ai l er s fi l l ed wi th u nkno wn car g o i n
the F aci l i ty' s p ar ki ng l o t o v er ni g ht;
f. I n o r ar o u nd J anu ar y and F ebr u ar y 2012, emp l o yees at the
Reyno s a F aci l i ty s o u g ht as s i s tance fr o m Ther mo F i s her to addr es s the C ar tel acti v i ty;
g . I n o r ar o u nd J anu ar y and F ebr u ar y 2012, Ther mo F i s her was
p r es ented wi th p r o p o s al s fo r cer tai n s ecu r i ty meas u r es and u p g r ades to the g u ar d
bo o ths , p er i meter fenci ng and p ar ki ng l o t acces s r amp s at the Reyno s a F aci l i ty;
h. Ther mo F i s her fai l ed to meani ng fu l l y o r effecti v el y i mp l ement
any o f the p r o p o s ed s ecu r i ty meas u r es o r u p g r ades ;
804829
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i . On o r abo ut Sept ember 23, 2012, ar med mi l i t ant s ent er ed t h e
c af et er i a at t h e Reyno s a F ac i l i t y and s t ayed f o r an h o ur o r mo r e;
j . On o r abo ut Oc t o ber 3, 2012, Ar t Wo o d, t h e Vi c e P r es i dent o f
Human Res o ur c es at Th er mo F i s h er , i ns t r uc t ed t h e Co unt r y Human Res o ur c es
D i r ec t o r f o r Mexi c o , Ro ber t o Enr i quez , no t t o di s c l o s e mat er i al i nf o r mat i o n r eg ar di ng
s ec ur i t y t h r eat s at t h e Reyno s a F ac i l i t y t o Ro undRo c k, s t at i ng : "I bel i ev e we ar e
t h r o ug h t h e di l i g enc e pr o c es s wi t h o ur buyer s , s o do n' t kno w t h at no w i s t h e t i me t o
r ai s e t h e i s s ue" wh i l e ac kno wl edg i ng , at t h e s ame t i me, t h at s ec ur i t y meas ur es mus t
be t aken t o addr es s t h e t h r eat s ; and
k. Th er mo F i s h er s eni o r exec ut i v es di r ec t ed empl o yees at t h e
Ar kans as F ac i l i t y t o c o nc eal c er t ai n mat er i al f ac t s c o nc er ni ng t h e o per at i o ns o f t h e
F ac i l i t y f r o m P l ai nt i f f s dur i ng t h e di l i g enc e per i o d.
71. D ef endant s al s o made af f i r mat i v e mi s r epr es ent at i o ns r eg ar di ng t h e
c o ndi t i o n o f t h e Hami l t o n Ent i t i es ' f ac i l i t i es v er bal l y and i n wr i t i ng i n, at l eas t , t h e
P ur c h as e Ag r eement , i nc l udi ng but no t l i mi t ed t o :
a. Al l o f t h e Hami l t o n Ent i t i es ' pr o per t i es and bui l di ng s "ar e
s ui t abl e, s uf f i c i ent and appr o pr i at e i n al l mat er i al r es pec t s f o r t h ei r c ur r ent and
c o nt empl at ed us es ";
b. Th e Hami l t o n Ent i t i es "ar e i n c o mpl i anc e wi t h al l Laws o f any
~ f eder al , s t at e o r f o r ei g n g o v er nment "; and
c . Th e Hami l t o n Ent i t i es h ad no t "s uf f er ed a Bus i nes s Mat er i al
Adv er s e Ef f ec t ".
72. Th e c o ur s e o f c o nduc t eng ag ed i n by D ef endant s , as des c r i bed
h er ei nabo v e, v i o l at ed Sec t i o n 10(b) (15 U. S. C. 78j (b)) and Rul e l Ob-5 (17 C. F . R.
240. 1Ob-5) i ns o f ar as D ef endant s : (a) Empl o yed dev i c es , s c h emes and ar t i f i c es t o
def r aud P l ai nt i f f s ; (b) Made unt r ue s t at ement s o f mat er i al f ac t s o r o mi t t ed t o s t at e
mat er i al f ac t s nec es s ar y i n o r der t o make t h e s t at ement s made, i n l i g h t o f t h e
c i r c ums t anc es under wh i c h t h ey wer e made, no t mi s l eadi ng ; o r (c ) Eng ag ed i n ac t s ,
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p r a ct ice s a nd a cou r se of b u sine ss t h a t op e r a t e d a s a fr a u d or de ce it u p on P l a int iffs
w it h r e sp e ct t o t h e p u r ch a se a nd sa l e of t h e Ha mil t on E nt it ie s.
7 3. De fe nda nt s a ct e d w it h t h e int e nt t o de fr a u d P l a int iffs a nd t o indu ce
P l a int iffs t o p u r ch a se t h e Ha mil t on E nt it ie s. Ha d P l a int iffs b e e n a w a r e of t h e
for e g oing fa ct s, P l a int iffs w ou l d not h a ve ma de t h e p u r ch a se .
7 4. As a dir e ct a nd p r ox ima t e r e su l t of t h e a for e sa id a ct ions, ma nip u l a t ive
p r a ct ice s, misr e p r e se nt a t ions, a nd omissions, P l a int iffs h a ve su ffe r e d da ma g e s in a n
a mou nt t o b e de t e r mine d a ccor ding t o p r oof a t t r ia l , t og e t h e r w it h int e r e st t h e r e on.
7 5. WHE RE FORE , P l a int iffs p r a y for ju dg me nt a s h e r e ina ft e r se t for t h .
SE COND CLAIM FOR RE LIE F
(Fr a u du l e nt Misr e p r e se nt a t ion Ag a inst Al l De fe nda nt s)
7 6. P l a int iffs r e a l l e g e a nd incor p or a t e b y r e fe r e nce e a ch a nd e ve r y a l l e g a t ion
~ cont a ine d in t h e a b ove p a r a g r a p h s a s if fu l l y se t for t h h e r e in.
7 7 . De fe nda nt s fa il e d t o discl ose t o P l a int iffs t h e ma t e r ia l fa ct s de scr ib e d
~ a b ove , incl u ding b u t not l imit e d t o:
a . Th e Re y nosa Fa cil it y is, a nd h a s b e e n cont inu ou sl y since a t l e a st
20 11, infil t r a t e d b y me mb e r s of t h e Gu l f Ca r t e l , a Me x ica n cr imina l or g a niz a t ion, on
~ a da il y b a sis;
b . On or a b ou t Oct ob e r 19, 20 11, individu a l s know n or b e l ie ve d t o
~ b e a ssocia t e d w it h t h e Gu l f Ca r t e l b r a ndish e d w e a p ons t o e mp l oy e e s a t t h e Re y nosa
~ Fa cil it y ;
c. On or a b ou t Oct ob e r 19, 20 11, individu a l s know n or b e l ie ve d t o
b e a ssocia t e d w it h t h e Gu l f Ca r t e l g a ine d a cce ss t o t h e p a r king l ot of t h e Re y nosa
Fa cil it y a nd l e ft a ve h icl e t h e r e for a p p r ox ima t e l y nine h ou r s;
d. On or a b ou t Oct ob e r 24, 20 11, t h e sa me individu a l s g a ine d e nt r y
~ int o t h e p a r king l ot a g a in a nd l e ft t h e ir ve h icl e for mor e t h a n 24 h ou r s;
e . Since t h e incide nt s on Oct ob e r 19 a nd 24, 20 11, me mb e r s of t h e
Gu l f Ca r t e l h a ve e nt e r e d t h e g r ou nds of t h e Re y nosa Fa cil it y e ve r y da y , r e g u l a r l y
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l e a vi n g t h e i r c a r s a n d, o n o c c a s i o n , t r a c t o r- t r a i l e r s f i l l e d wi t h un kn o wn c a r g o i n
t h e F a c i l i t y ' s pa r ki n g l o t o ve r n i g h t ;
f . In o r a r o un d Ja n ua r y a n d F e br ua r y 2012, e mpl o y e e s a t t h e
Re y n o s a F a c i l i t y s o ug h t a s s i s t a n c e f r o m Th e r mo F i s h e r t o a ddr e s s t h e C a r t e l a c t i vi t y ;
g . In o r a r o un d Ja n ua r y a n d F e br ua r y 2012, Th e r mo F i s h e r wa s
pr e s e n t e d wi t h pr o po s a l s f o r c e r t a i n s e c ur i t y me a s ur e s a n d upg r a de s t o t h e g ua r d
bo o t h s , pe r i me t e r f e n c i n g a n d pa r ki n g l o t a c c e s s r a mps a t t h e Re y n o s a F a c i l i t y ;
h . Th e r mo F i s h e r f a i l e d t o me a n i n g f ul l y o r e f f e c t i ve l y i mpl e me n t
a n y o f t h e pr o po s e d s e c ur i t y me a s ur e s o r upg r a de s ;
i . On o r a bo ut S e pt e mbe r 23, 2012, a r me d mi l i t a n t s e n t e r e d t h e
c a f e t e r i a a t t h e Re y n o s a F a c i l i t y a n d s t a y e d f o r a n h o ur o r mo r e ;
j . On o r a bo ut Oc t o be r 3, 2012, Ar t Wo o d, t h e Vi c e P r e s i de n t o f
Huma n Re s o ur c e s a t Th e r mo F i s h e r , i n s t r uc t e d t h e C o un t r y Huma n Re s o ur c e s
D i r e c t o r f o r Me xi c o , Ro be r t o En r i que z, n o t t o di s c l o s e ma t e r i a l i n f o r ma t i o n r e g a r di n g
s e c ur i t y t h r e a t s a t t h e Re y n o s a F a c i l i t y t o Ro un dRo c k, s t a t i n g : "I be l i e ve we a r e
t h r o ug h t h e di l i g e n c e pr o c e s s wi t h o ur buy e r s , s o do n ' t kn o w t h a t n o w i s t h e t i me t o
' r a i s e t h e i s s ue " wh i l e a c kn o wl e dg i n g , a t t h e s a me t i me , t h a t s e c ur i t y me a s ur e s mus t
be t a ke n t o a ddr e s s t h e t h r e a t s ; a n d
k. Th e r mo F i s h e r s e n i o r e xe c ut i ve s di r e c t e d e mpl o y e e s a t t h e
Ar ka n s a s F a c i l i t y t o c o n c e a l c e r t a i n ma t e r i a l f a c t s c o n c e r n i n g t h e o pe r a t i o n s o f t h e
F a c i l i t y f r o m P l a i n t i f f s dur i n g t h e di l i g e n c e pe r i o d.
78. D e f e n da n t s a l s o ma de f a l s e a n d mi s l e a di n g r e pr e s e n t a t i o n s t o P l a i n t i f f s
r e g a r di n g t h e s a f e t y a n d s e c ur i t y o f t h e Ha mi l t o n En t i t i e s ' f a c i l i t i e s , a n d o mi t t e d t o
s t a t e ma t e r i a l f a c t s n e c e s s a r y t o ma ke t h e s t a t e me n t s t h e y ma de n o t mi s l e a di n g , a s s e t
f o r t h h e r e i n a bo ve .
79. D e f e n da n t s t o o k a f f i r ma t i ve a c t i o n s i n o r de r t o pr e ve n t P l a i n t i f f s f r o m
~ di s c o ve r i n g t h e a bo ve f a c t s , i n c l udi n g , but n o t l i mi t e d t o , wi t h h o l di n g c r i t i c a l
~ , i n f o r ma t i o n dur i n g t h e due di l i g e n c e pr o c e s s a n d pr e ve n t i n g P l a i n t i f f s f r o m
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ad e q u at e ly i n s p e c t i n g t h e Hami lt o n E n t i t i e s ' f ac i li t i e s an d s p e ak i n g t o e mp lo y e e s
t h e r e i n .
80 . De f e n d an t s ' f ai lu r e t o d i s c lo s e t h e mat e r i al f ac t s d e s c r i b e d ab o ve t o
P lai n t i f f s was a mat e r i al o mi s s i o n o f f ac t .
81. De f e n d an t s i n t e n d e d t o d e c e i ve P lai n t i f f s b y f ai li n g t o d i s c lo s e t h e
mat e r i al f ac t s h e r e i n ab o ve , an d b y mak i n g f als e an d mi s le ad i n g r e p r e s e n t at i o n s t o
P lai n t i f f s r e g ar d i n g t h e s af e t y , s e c u r i t y an d vi ab i li t y o f t h e Hami lt o n E n t i t i e s , i n o r d e r
t o i n d u c e P lai n t i f f s t o p u r c h as e t h e Hami lt o n E n t i t i e s .
82. P lai n t i f f s we r e u n awar e o f t h e f als i t y an d i n t e n t i o n ally mi s le ad i n g n at u r e
o f t h e af o r e me n t i o n e d r e p r e s e n t at i o n s , i n c lu d i n g , b u t n o t li mi t e d t o t h e
mi s r e p r e s e n t at i o n s b y o mi s s i o n o f mat e r i al f ac t s , an d j u s t i f i ab ly r e li e d u p o n t h e
r e p r e s e n t at i o n s i n p u r c h as i n g t h e Hami lt o n E n t i t i e s .
83. P lai n t i f f s wo u ld n o t h ave p u r c h as e d t h e Hami lt o n E n t i t i e s i f De f e n d an t s
h ad d i s c lo s e d t h e mat e r i al f ac t s h e r e i n ab o ve .
84. As a d i r e c t an d p r o x i mat e r e s u lt o f t h e De f e n d an t s ' f als e an d
i n t e n t i o n ally mi s le ad i n g r e p r e s e n t at i o n s an d c o n c e alme n t o f mat e r i al f ac t s , as alle g e d
h e r e i n , P lai n t i f f s h ave b e e n d amag e d an d ar e e n t i t le d t o c o mp e n s at i o n i n an amo u n t t o
b e d e t e r mi n e d ac c o r d i n g t o p r o o f at t r i al.
85. F u r t h e r mo r e , as a r e s u lt o f De f e n d an t s ' f r au d u le n t c o n d u c t , P lai n t i f f s ar e
~ e n t i t le d t o e x e mp lar y an d p u n i t i ve d amag e s .
86. WHE RE F ORE , P lai n t i f f s p r ay f o r j u d g me n t as h e r e i n af t e r s e t f o r t h .
THIRD CLAIM F OR RE LIE F
(N e g li g e n t Mi s r e p r e s e n t at i o n Ag ai n s t All De f e n d an t s )
87. P lai n t i f f s r e alle g e an d i n c o r p o r at e b y r e f e r e n c e e ac h an d e ve r y alle g at i o n
~ c o n t ai n e d i n t h e ab o ve p ar ag r ap h s as i f f u lly s e t f o r t h h e r e i n .
88. As s e t f o r t h h e r e i n ab o ve , De f e n d an t s mad e mat e r i al mi s r e p r e s e n t at i o n s ,
~ wi t h o u t r e as o n ab le g r o u n d s f o r b e li e vi n g t h e m t o b e t r u e , an d o mi t t e d t o s t at e
mat e r i al f ac t s n e c e s s ar y t o mak e t h e s t at e me n t s t h e y mad e n o t mi s le ad i n g .
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89. Defendants i ntended th at P lai nti ffs r ely o n s ai d r ep r es entati o ns ,
~ mi s leadi ng s tatements and o mi s s i o ns .
90. P lai nti ffs wer e i gno r ant o f th e fals i ty o f Defendants ' r ep r es entati o ns and
b eli ev ed th em to b e tr u e. P lai nti ffs r eas o nab ly r eli ed o n th e r ep r es entati o ns ,
mi s leadi ng s tatements and o mi s s i o ns . In r eas o nab le and j u s ti fi ab le r eli anc e o n s ai d
~ r ep r es entati o ns and o mi s s i o ns , P lai nti ffs p u r c h as ed th e Hami lto n E nti ti es .
91. As a di r ec t and p r o xi mate r es u lt o f th e negli gent mi s r ep r es entati o ns and
~ o mi s s i o ns o f Defendants , as h er ei n alleged, P lai nti ffs h av e b een damaged i n a s u m to
b e deter mi ned ac c o r di ng to p r o o f at tr i al.
92. WHE RE FORE , P lai nti ffs p r ay fo r j u dgment as h er ei nafter s et fo r th .
FOURTH CLAIM FOR RE LIE F
(Br eac h o f Co ntr ac t Agai ns t Defendant Th er mo Fi s h er S c i enti fi c , Inc .)
93. P lai nti ffs r eallege and i nc o r p o r ate b y r efer enc e eac h and ev er y allegati o n
c o ntai ned i n th e ab o v e p ar agr ap h s as i f fu lly s et fo r th h er ei n.
94. P lai nti ff Ro u ndRo c k 092012 LLC and Defendant Th er mo Fi s h er
~ S c i enti fi c , Inc . enter ed i nto th e P u r c h as e Agr eement, as alleged h er ei nab o v e, o n o r
~ ab o u t Oc to b er 5, 2012, i n c o nnec ti o n wi th th e p u r c h as e and s ale o f th e Hami lto n
E nti ti es .
95. In th e P u r c h as e Agr eement, Th er mo Fi s h er made s ev er al r ep r es entati o ns
and war r anti es , i nc lu di ng b u t no t li mi ted to : (a) i n p ar agr ap h 2.11, th at "...all o f
s u c h p r o p er ti es and b u i ldi ngs ... (i i ) ar e s u i tab le, s u ffi c i ent and ap p r o p r i ate i n all
mater i al r es p ec ts fo r th ei r c u r r ent and c o ntemp lated u s es "; (b ) i n p ar agr ap h 2.18, th at
"Th e Co mp ani es and S u b s i di ar i es ar e i n c o mp li anc e wi th all Laws o f any feder al,
s tate o r fo r ei gn go v er nment"; and (c ) i n p ar agr ap h 2.7(n), th at th e Hami lto n E nti ti es
h ad no t "s u ffer ed a Bu s i nes s Mater i al Adv er s e E ffec t".
96. Th er mo Fi s h er h as b r eac h ed th e P u r c h as e Agr eement b y maki ng mater i al
mi s r ep r es entati o ns and mater i al o mi s s i o ns i n c o nnec ti o n wi th r ep r es entati o ns and
war r anti es i n th e P u r c h as e Agr eement, as alleged h er ei n.
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97. P l a i n t i f f s ha ve f u l l y perf o rmed t hei r pro mi s es a n d o b l i g a t i o n s u n der t he
P u rcha s e Ag reemen t .
98. As a di rect a n d pro xi ma t e res u l t o f Thermo F i s her' s b rea ch o f co n t ra ct ,
P l a i n t i f f s ha ve i n cu rred g en era l a n d s peci a l da ma g es t o b e det ermi n ed a cco rdi n g t o
~ pro o f a t t ri a l .
99. WHEREF ORE, P l a i n t i f f s pra y f o r ju dg men t a s herei n a f t er s et f o rt h.
F I F TH CLAI M F OR RELI EF
(Vi o l a t i o n o f Sect i o n 9(a )(4) o f t he Secu ri t i es Excha n g e Act o f 1934 (15 U.S.C.
78i (a )(4)) Ag a i n s t Al l Def en da n t s )
100. P l a i n t i f f s rea l l eg e a n d i n co rpo ra t e b y ref eren ce ea ch a n d every
~ a l l eg a t i o n co n t a i n ed i n t he a b o ve pa ra g ra phs a s i f f u l l y s et f o rt h herei n .
101. Def en da n t s , a s s el l ers o f t he Secu ri t i es a s s o ci a t ed wi t h t he
~ Ha mi l t o n En t i t i es , ma de mi s repres en t a t i o n s a n d o mi s s i o n s o f ma t eri a l f a ct s i n o rder
t o i n du ce t he pu rcha s e o f s a i d Secu ri t i es b y P l a i n t i f f s , i n cl u di n g b u t n o t l i mi t ed t o :
a . The Rey n o s a F a ci l i t y i s , a n d ha s b een co n t i n u o u s l y s i n ce a t l ea s t
2011, i n f i l t ra t ed b y memb ers o f t he Gu l f Ca rt el , a Mexi ca n cri mi n a l o rg a n i z a t i o n , o n
~ a da i l y b a s i s ;
b . On o r a b o u t Oct o b er 19, 2011, i n di vi du a l s kn o wn o r b el i eved t o
~ b e a s s o ci a t ed wi t h t he Gu l f Ca rt el b ra n di s hed wea po n s t o empl o y ees a t t he Rey n o s a
~ F a ci l i t y ;
c. On o r a b o u t Oct o b er 19, 2011, i n di vi du a l s kn o wn o r b el i eved t o
~ b e a s s o ci a t ed wi t h t he Gu l f Ca rt el g a i n ed a cces s t o t he pa rki n g l o t o f t he Rey n o s a
~ F a ci l i t y a n d l ef t a vehi cl e t here f o r a ppro xi ma t el y n i n e ho u rs ;
d. On o r a b o u t Oct o b er 24, 2011, t he s a me i n di vi du a l s g a i n ed en t ry
i n t o t he pa rki n g l o t a g a i n a n d l ef t t hei r vehi cl e f o r mo re t ha n 24 ho u rs ;
e. Si n ce t he i n ci den t s o n Oct o b er 19 a n d 24, 2011, memb ers o f t he
~ Gu l f Ca rt el ha ve en t ered t he g ro u n ds o f t he Rey n o s a F a ci l i t y every da y , reg u l a rl y
~ l ea vi n g t hei r ca rs a n d, o n o cca s i o n , t ra ct o r- t ra i l ers f i l l ed wi t h u n kn o wn ca rg o i n
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the F a c i l i ty ' s pa r ki ng l o t o v er ni ght;
f . In o r a r o und Ja nua r y a nd F ebr ua r y 2012, empl o y ees a t the
Rey no s a F a c i l i ty s o ught a s s i s ta nc e f r o m Ther mo F i s her to a ddr es s the C a r tel a c ti v i ty ;
g. In o r a r o und Ja nua r y a nd F ebr ua r y 2012, Ther mo F i s her wa s
' pr es ented wi th pr o po s a l s f o r c er ta i n s ec ur i ty mea s ur es a nd upgr a des to the gua r d
bo o ths , per i meter f enc i ng a nd pa r ki ng l o t a c c es s r a mps a t the Rey no s a F a c i l i ty ;
h. Ther mo F i s her f a i l ed to mea ni ngf ul l y o r ef f ec ti v el y i mpl ement
~ a ny o f the pr o po s ed s ec ur i ty mea s ur es o r upgr a des ;
i . On o r a bo ut September 23, 2012, a r med mi l i ta nts enter ed the
c a f eter i a a t the Rey no s a F a c i l i ty a nd s ta y ed f o r a n ho ur o r mo r e;
j . On o r a bo ut Oc to ber 3, 2012, Ar t Wo o d, the Vi c e P r es i dent o f
Huma n Res o ur c es a t Ther mo F i s her , i ns tr uc ted the C o untr y Huma n Res o ur c es
Di r ec to r f o r Mexi c o , Ro ber to Enr i quez, no t to di s c l o s e ma ter i a l i nf o r ma ti o n r ega r di ng
s ec ur i ty thr ea ts a t the Rey no s a F a c i l i ty to Ro undRo c k, s ta ti ng: "I bel i ev e we a r e
thr o ugh the di l i genc e pr o c es s wi th o ur buy er s , s o do n' t kno w tha t no w i s the ti me to
r a i s e the i s s ue" whi l e a c kno wl edgi ng, a t the s a me ti me, tha t s ec ur i ty mea s ur es mus t
be ta ken to a ddr es s the thr ea ts ; a nd
k. Ther mo F i s her s eni o r exec uti v es di r ec ted empl o y ees a t the
Ar ka ns a s F a c i l i ty to c o nc ea l c er ta i n ma ter i a l f a c ts c o nc er ni ng the o per a ti o ns o f the
F a c i l i ty f r o m P l a i nti f f s dur i ng the di l i genc e per i o d.
102. Def enda nts knew o r ha d r ea s o na bl e gr o unds to bel i ev e tha t the
~ mi s r epr es enta ti o ns a nd o mi s s i o ns wer e f a l s e a nd mi s l ea di ng.
103. Def enda nts ' mi s r epr es enta ti o ns a nd o mi s s i o ns o f ma ter i a l f a c ts
~ c o ns ti tute a v i o l a ti o n o f Sec ti o n 9( a ) ( 4) o f the Sec ur i ti es Exc ha nge Ac t o f 1934 ( 15
U. S. C . 7 8 i ( a ) ( 4) ) .
104. As a di r ec t a nd pr o xi ma te c a us e o f Def enda nts ' v i o l a ti o n o f
Sec ti o n 9( a ) ( 4) , a nd pur s ua nt to Sec ti o n 9( ~ o f the Sec ur i ti es Exc ha nge Ac t o f 1934,
P l a i nti f f s a r e enti tl ed to gener a l a nd s pec i a l da ma ges i n a n a mo unt to be deter mi ned
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a c c o rdi n g t o pro o f a t t ri a l , a s w e l l a s re a s o n a b l e c o s t s a n d a t t o rn e y s ' fe e s .
10 5. WHEREFORE, P l a i n t i ffs pra y fo r judgme n t ~ s h e re i n a ft e r s e t
fo rt h .
SIXTH CLAIM FOR RELIEF
(Bre a c h o f t h e Impl i e d Co ve n a n t o f Go o d Fa i t h a n d Fa i r De a l i n g Aga i n s t
De fe n da n t Th e rmo Fi s h e r Sc i e n t i fi c , In c . )
10 6. P l a i n t i ffs re a l l e ge a n d i n c o rpo ra t e b y re fe re n c e e a c h a n d e ve ry
a l l e ga t i o n c o n t a i n e d i n t h e a b o ve pa ra gra ph s a s i f ful l y s e t fo rt h h e re i n .
10 7. Impl i e d w i t h i n e ve ry c o n t ra c t i s a c o ve n a n t o f go o d fa i t h a n d fa i r
de a l i n g, w h i c h pre ve n t s o n e c o n t ra c t i n g pa rt y fro m e n ga gi n g i n c o n duc t t h a t un fa i rl y
frus t ra t e s t h e o t h e r pa rt y 's ri gh t t o re c e i ve t h e b e n e fi t s o f t h e pa rt i e s ' a gre e me n t .
10 8. Th e rmo Fi s h e r un fa i rl y frus t ra t e d P l a i n t i ffs ' ri gh t t o re c e i ve t h e
b e n e fi t s due un de r t h e pa rt i e s ' P urc h a s e Agre e me n t b y ma ki n g ma t e ri a l
mi s re pre s e n t a t i o n s a n d o mi s s i o n s pri o r t o t h e Sa l e .
10 9. As a di re c t a n d pro xi ma t e c a us e o f Th e rmo Fi s h e r's b re a c h o f t h e
i mpl i e d c o ve n a n t o f go o d fa i t h a n d fa i r de a l i n g, P l a i n t i ffs h a ve i n c urre d ge n e ra l a n d
s pe c i a l da ma ge s t o b e de t e rmi n e d a c c o rdi n g t o pro o f a t t ri a l .
110 . WHEREFORE, P l a i n t i ffs pra y fo r judgme n t a s h e re i n a ft e r s e t
fo rt h .
P RAYER FOR RELIEF
WHEREFORE, P l a i n t i ffs pra y fo r judgme n t i n fa vo r o f P l a i n t i ffs a n d a ga i n s t
De fe n da n t s , a n d e a c h o f t h e m, a s fo l l o w s :
1. Fo r a judgme n t a w a rdi n g ge n e ra l a n d s pe c i a l da ma ge s i n fa vo r o f
P l a i n t i ffs a ga i n s t De fe n da n t s , i n c l udi n g a l l mo n i e s o w e d un de r t h e Agre e me n t ,
c o n s e q ue n t i a l da ma ge s , a n d i n t e re s t t h e re o n ;
2. Fo r e xe mpl a ry a n d pun i t i ve da ma ge s ;
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3. Fo r c o s t s and expens es i nc u rred i n c o nnec t i o n wi t h t hi s ac t i o n t o t he
ext ent perm i t t ed by law, i nc lu di ng bu t no t li m i t ed t o at t o rneys ' f ees pu rs u ant t o
S ec t i o n 9 ( f j o f t he S ec u ri t i es and Exc hang e Ac t o f 19 34 ( 15 U.S .C. 78i ( ~ ) ; and
4. Fo r s u c h o t her and f u rt her reli ef as t he Co u rt m ay deem j u s t and pro per.
DATED: May 10, 2013
GLAS ER WEIL FINK JACOBS
HOWARD AVCHEN & S HAPIRO LLP
By:
At t o rneys f o r Plai nt i f f s
OpenGat e Caprt al Gro u p LLC, Ro u ndRo c k
09 2012 LLC,ZZo u ndRo c k S c i ent i f i c
Int ernat i o nal LLC and Ro u ndRo c k Mexi c o
LLC
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