Académique Documents
Professionnel Documents
Culture Documents
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
[
3$57,(6¶-2,1758/(I5(3257
3XUVXDQWWR)HG5&LY3IWKHSDUWLHVSUHVHQWWKHIROORZLQJUHSRUWUHJDUGLQJFDVH
PDQDJHPHQWLVVXHVDQGDSODQIRUGLVFRYHU\$VGHWDLOHGEHORZWKHSDUWLHVKDYHFRQGXFWHGD
5XOHIFRQIHUHQFHEXWDUHXQDEOHWRDJUHHRQDSODQIRUGLVFRYHU\DQGZLOOWKHUHIRUHVXEPLW
VHSDUDWHO\WKHLUVFKHGXOLQJSURSRVDOVWRWKH&RXUWODWHUWRGD\
0DJLVWUDWH-XGJH
7KHSDUWLHVGRQRWFRQVHQWWRFRQGXFWDOOIXUWKHUSURFHHGLQJVEHIRUHD0DJLVWUDWH-XGJH
-XU\
7KHSDUWLHVDJUHHWKDWWKLVFDVHVKDOOEHWULHGEHIRUHDMXU\
,QLWLDO'LVFORVXUHV
7KHSDUWLHVDJUHHWKDWLQLWLDOGLVFORVXUHVZLOOEHVHUYHGRQ0D\
Case 1:18-cv-08175-ER Document 118 Filed 05/07/19 Page 2 of 6
7KHSRVVLELOLWLHVIRUSURPSWO\VHWWOLQJRUUHVROYLQJWKHFDVH
7KHSDUWLHVGRQRWEHOLHYHWKHUHLVDSRVVLELOLW\RIDSURPSWVHWWOHPHQWRIWKLVFDVH
DOWKRXJKWKH&RPPLVVLRQKDVQRWHGLWVZLOOLQJQHVVWRGLVFXVVVHWWOHPHQWZLWKDQ\'HIHQGDQW
3UHVHUYLQJGLVFRYHUDEOHLQIRUPDWLRQDQGWKH0DQQHURI3URGXFWLRQ
7KHSDUWLHVLGHQWLILHGQRLVVXHVUHJDUGLQJSUHVHUYDWLRQRIHOHFWURQLFDOO\VWRUHG
LQIRUPDWLRQDQGWKHPDQQHURISURGXFWLRQ
6XEMHFWVRI'LVFRYHU\
7KHSDUWLHVGLVFXVVHGFHUWDLQVXEMHFWVDERXWZKLFKGLVFRYHU\PD\EHQHHGHGLQFOXGLQJ
WKHDOOHJDWLRQVLQWKH&RPSODLQWWKHILQDQFLQJVDQGFRLQYHVWRUVUHIHUHQFHGWKHUHLQWUDGLQJE\
LQYHVWRUVLQWKHUHOHYDQWVHFXULWLHVWKH6(&¶VLQWHUSUHWDWLRQRI6HFWLRQGRIWKH6HFXULWLHV
([FKDQJH$FWRIDQGLWVGHYHORSPHQWRIDVVRFLDWHGUXOHVDQGDQ\SRWHQWLDODGYLFHRI
FRXQVHOGHIHQVH'HIHQGDQWVPD\DVVHUWLQDQ\$QVZHUWKDWZLOOEHILOHGDIWHUWKH0RWLRQVWR
'LVPLVVDUHUHVROYHG
7KHSDUWLHVDOVRGLVFXVVHGWKHSRWHQWLDOHIIHFWVRQGLVFRYHU\LIDQ\'HIHQGDQWDVVHUWHGD
)LIWK$PHQGPHQW³DFWRISURGXFWLRQ´SULYLOHJH7KH'HIHQGDQWVLQGLFDWHGWKDWLWZDVSUHPDWXUH
WRGLVFXVVZKHWKHUWKH\ZLOORUZLOOQRWDVVHUWVXFKDGHIHQVHSULRUWRVHUYLFHRIGRFXPHQW
UHTXHVWV
3URWHFWLYH2UGHU
7KHSDUWLHVGLVFXVVHGWKHQHHGIRUDSURWHFWLYHRUGHU7KHSDUWLHVDQWLFLSDWHWKDWWKH\ZLOO
VXEPLWDFRQILGHQWLDOLW\VWLSXODWLRQIRUWKH&RXUW¶VFRQVLGHUDWLRQSULRUWRSURGXFWLRQRI
GRFXPHQWVWRSURWHFWFRQILGHQWLDODQGSHUVRQDOLGHQWLI\LQJLQIRUPDWLRQ
Ϯ
Case 1:18-cv-08175-ER Document 118 Filed 05/07/19 Page 3 of 6
'HSRVLWLRQV
7KH'HIHQGDQWVFRQWHPSODWHWKDWWKHGHSRVLWLRQOLPLWDWLRQLQ)HG5&LY3D
DQGRQWKHQXPEHURI'HIHQGDQWV¶GHSRVLWLRQVPD\KDYHWREHPRGLILHGLQWKLVFDVH7KH
SDUWLHVZLOOHQGHDYRUWRUHDFKDJUHHPHQWRQWKHQXPEHURIGHSRVLWLRQV'HIHQGDQWVZLOOQHHGDQG
WKHSDUWLHVZLOOSUHSDUHDQGVXEPLWDVWLSXODWLRQWRWKH&RXUWIRULWVDSSURYDOLIWKH\DUHDEOHWR
UHDFKDJUHHPHQW
3ODQIRU'LVFRYHU\
2Q0DUFK'HIHQGDQWVPDGHDZULWWHQSURSRVDOUHODWLQJWRDSODQIRUGLVFRYHU\
7KHSDUWLHVPHWDQGFRQIHUUHGRQGLVFRYHU\LVVXHVRQ$SULO3ODLQWLIISURYLGHG
'HIHQGDQWVZLWKDFRXQWHUSURSRVDORQ$SULODQG'HIHQGDQW/DGGSURYLGHGWKHSDUWLHV
ZLWKDUHYLVHGSURSRVDORQ$SULO7KHSDUWLHVPHWDQGFRQIHUUHGRQGLVFRYHU\LVVXHV
DJDLQRQ$SULO
$WWKH$SULOWHOHSKRQLFFRQIHUHQFH'HIHQGDQW%UDXVHUQRWHGKLVDJUHHPHQWWR
'HIHQGDQW/DGG¶VSURSRVDOXQGHUZKLFKGLVFRYHU\PD\SURFHHGLPPHGLDWHO\7KH
&RPPLVVLRQ¶VSURSRVDOFDOOHGIRUWKHSDUWLHVWRH[FKDQJH5XOHGRFXPHQWUHTXHVWV
LPPHGLDWHO\DIWHUWKHFRQWHPSODWHG0RWLRQVWR'LVPLVVDUHIXOO\EULHIHGZKLFKZDVWKHQ-XO\
'HIHQGDQWV+RQLJ6WHWVRQDQG2¶5RXUNHDJUHHGZLWKWKH&RPPLVVLRQ¶VSURSRVDOWR
ϭ
7KHIROORZLQJSDUWLHVSDUWLFLSDWHGLQWKH5XOHIFRQIHUHQFH3ODLQWLII6HFXULWLHVDQG
([FKDQJH&RPPLVVLRQWKH³&RPPLVVLRQ´'HIHQGDQW5REHUW/DGG'HIHQGDQWV-RKQ6WHWVRQ
6WHWVRQ&DSLWDO,QYHVWPHQWV,QFDQG+6&RQWUDULDQ,QYHVWPHQWV//&'HIHQGDQWV%DUU\
+RQLJDQG*54&RQVXOWDQWV,QF'HIHQGDQWV0LFKDHO%UDXVHUDQG*UDQGHU+ROGLQJV,QFDQG
'HIHQGDQWV-RKQ52¶5RXUNH,,,DQG$7*&DSLWDO//&'HIHQGDQWV(OOLRW0D]D%ULDQ.HOOHU
DQG-RKQ+)RUGGLGQRWSDUWLFLSDWHLQWKHFDOO(DFKKDVFRQVHQWHGWRDSDUWLDO-XGJPHQWRQKLV
OLDELOLW\OHDYLQJUHVROXWLRQRIWKH&RPPLVVLRQ¶VPRQHWDU\UHOLHIFODLPVWRDODWHUGDWH6HH
'RFNHW(QWULHV)RUG0D]DDQG.HOOHU
ϯ
Case 1:18-cv-08175-ER Document 118 Filed 05/07/19 Page 4 of 6
VWDUWGLVFRYHU\DIWHUFRPSOHWLRQRIEULHILQJEXWDJUHHGZLWKRWKHUDVSHFWVRI'HIHQGDQW/DGG¶V
$SULOSURSRVDO
7KHSDUWLHVKDYHEHHQXQDEOHWRUHVROYHWKHLUGLIIHUHQFHVZLWKUHVSHFWWRWKHWLPLQJDQG
PHFKDQLVPVIRUGLVFRYHU\'HIHQGDQW/DGGSURSRVHGWKDWWKHSDUWLHVILOHVHSDUDWHOHWWHUVRIQR
SURSRVHGGLVFRYHU\SODQVDQGDQ\IDFWVRUDUJXPHQWVVXSSRUWLQJVXFKSURSRVDOV7KH
&RPPLVVLRQDJUHHGWRWKHSURSRVDODQGQRRWKHU'HIHQGDQWREMHFWHG
5XOH&RQIHUHQFH
7KHSDUWLHVDUHDOODYDLODEOHIRUD5XOHFRQIHUHQFHDWDWLPHRIWKH&RXUW¶VFRQYHQLHQFH
RQ0D\RUWKHDIWHUQRRQRI0D\7KHSDUWLHVDUHDOVRDYDLODEOHRQWKHIROORZLQJGDWHV
3ODLQWLII6(& $Q\GD\EHWZHHQ0D\DQG0D\0D\
DQG
'HIHQGDQW/DGG 0D\
'HIHQGDQW%UDXVHU 0D\DIWHUQRRQPRUQLQJ
'HIHQGDQW6WHWVRQ 0D\
'HIHQGDQW+RQLJ $Q\RIWKHDERYHGDWHVH[FHSW0D\
'HIHQGDQW2¶5RXUNH$Q\GD\EHWZHHQ0D\WKURXJK-XQH
ϰ
Case 1:18-cv-08175-ER Document 118 Filed 05/07/19 Page 5 of 6
'DWHG1HZ<RUN1HZ<RUN
0D\ 5HVSHFWIXOO\VXEPLWWHG
-2+167(7621+6&2175$5,$1 6(&85,7,(6$1'(;&+$1*(
,19(670(176//&DQG67(7621 &200,66,21
&$3,7$/,19(670(176,1&
%\ BBBBBBBV*HRUJH&DQHOORVBBBBBBB %\ BBBBBBV1DQF\$%URZQBBBBBBBB
*HRUJH&DQHOORV 1DQF\$%URZQ
0LOEDQN//3 9HVH\6WUHHW
+XGVRQ<DUGV 6XLWH
1HZ<RUN1HZ<RUN 1HZ<RUN1<
$WWRUQH\VIRU'HIHQGDQWV-RKQ6WHWVRQ+6 $WWRUQH\VIRU3ODLQWLII6HFXULWLHVDQG
&RQWUDULDQ,QYHVWPHQWV//&DQG6WHWVRQ ([FKDQJH&RPPLVVLRQ
&DSLWDO,QYHVWPHQWV,QF
%$55<&+21,*DQG*54 0,&+$(/%5$86(5DQG*5$1'(5
&2168/7$176,1& +2/',1*6,1&
%\ BBBBBBV0LFKDHO2VQDWRBBBBBBBBB %\ BBBBV'HQQLV5LFKDUGBBBBBBBBBBBB
0LFKDHO2VQDWR 'HQQLV5LFKDUG(VT
6LPSVRQ7KDFKHU %DUWOHWW//3 5LFKDUGDQG5LFKDUG3$
/H[LQJWRQ$YHQXH 7RZHU,,,±WK)ORRU
1HZ<RUN1HZ<RUN %ULFNHOO%D\'ULYH
0LDPL)/
$WWRUQH\VIRU'HIHQGDQWV%DUU\&+RQLJDQG
*54&RQVXOWDQWV,QF $WWRUQH\VIRU'HIHQGDQWV0LFKDHO%UDXVHU
DQG*UDQGHU+ROGLQJV,QF
ϱ
Case 1:18-cv-08175-ER Document 118 Filed 05/07/19 Page 6 of 6
-2+152¶5285.(,,,DQG$7* 52%(57/$''
&$3,7$///&
%\ BBBBBBBBV*UHJRU\0RUYLOORBBBBB %\ BBBBBBBBV5DQGDOO5/HHBBBBBBBB
*UHJRU\0RUYLOOR 5DQGDOO5/HH
2UULFN+HUULQJWRQ 6XWFOLIIH//3 &RROH\//3
:QG6WUHHW QG6WUHHW
1HZ<RUN1< 6DQWD0RQLFD&$
$WWRUQH\VIRU'HIHQGDQWV-RKQ52¶5RXUNH $WWRUQH\VIRU'HIHQGDQW5REHUW/DGG
,,,DQG$7*&DSLWDO//&
ϲ