Authors Guild, Inc. v. Hathitrust

Filing 221

DEFERRED APPENDIX, volume 2 of 5, on behalf of Appellant Australian Society Of Authors Limited, Australian Society Of Authors Limited, Authors Guild, Inc., Authors League Fund, Inc., Authors' Licensing and Collecting Society, Pat Cummings, Pat Cummins, Erik Grundstrom, Angelo Loukakis, Norsk Faglitteraer Forfatter0OG Oversetterforening, Roxana Robinson, Helge Ronning, Andre Roy, Jack R. Salamanca, James Shapiro, James Shapiro, Daniele Simpson, Danielle Simpson, T.J. Stiles, Sveriges Forfattarforbund, Union Des Ecrivaines Et Des Ecrivains Quebecois, Fay Weldon and Writers' Union of Canada, FILED. Service date 06/28/2013 by CM/ECF.[978651] [12-4547]

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Copyrights Department ~ _ =-=--------1 ..".~............. ~ 375 Hudson Stre.t •• s..-. • Mew York H.Y • ... ;.c ., 1001( I . . • -". ........ ,101 ? ; ) •• ' 4 j . ' .... ,. ~ •• • _. • • ""... ",,", ;o.w~_c~"'~"""~ ____ ~ • t'vsC' t~"f ..",.,...---.,."................................................................... _ ... a.~~ .... _____ .. ~ ..... __ ... ~.--.. ... .. ,....,., ..., . . -.,.c ........ Dot......,~ 11 #; ............. J$. GOIIl.........,,....-1HG Oftra:t ·~"'-".GIIII2 •.....,. ...... A-467 Case 1: 11-cv-06351-H B Document 99-3 Filed 06/2mRMo~f 15 UNIT!:OSTttts COPYRIGHT OFFICE REGISTRATION NUMBER TX 4-084·784 IIIII1IIIII1III . ' ;"",,,,,.""";-1. TX J \ TXU JUL 071995 Oa, 00 NOT WRITE ABOVE THIS UNE, IF YOU NEED MORE SPACE. use A SEPARATE CONTlHUAnOH SHEE"t •. •. ,..:;:.,;:.:.: •.. ):,:;::::;~:::;:,~;::,;~:;.::;.;.;.;.:.::,:~:::::;;;.:::~~:-;Y',q';:~~;::>'::;;::::;::;(~<'::::~-::'~''-;;;':';::;:;;:~>::::::~::::W:<:~;;;:.YX$:«::(";:::=:";::X-:~;X;;-0~-.::t-t>';::';·:-:';'~'i:::;;x::~A~/'~~;<p»;;C:..;::;;:::X::::. ;;'<:;: ~~;::;;.~-:-{':~~.~\:.:~:.:;:;;,!:>,);::.~:::::::!~~'<~"':';':;~:v:.~;:.:.~:_:::::::···:···.····· ~ TITLE OF THIS WORK ... 1 SPLITTING PREVIOUS OR ALTERNATIVE TffiES ... PUBLICATION AS A CONTRIBUTION COltectH,'P worl 2 In If pubbshed In a If th" worl I,\o'hit"h the cnntnbuhon dPpt"~rt"d ~nodl<:J.1 Tltl~ WH publishtd .. a contribution ot CoilKti ... ~ Work-'" to a pt'nodic.l. ",';"1, or coliKtion, give infonnatioo .bout the or ~nal gHt" Volu.m:c. :~OtAUri\OR'~;:~~':";O:-M'N"~~'-fr"''''''''~i\iWi'~~~-~ Was th .. contribuhon to the wor" o t·~-­ l ~ . .. ~!!!!!!!!!! r ...... _ y.,. AUTHOR'S NATIONALITY OR DOMICILE N;)rn~ at Country """orlo. ffidde for hire"" WAS THIS AUTHOR'S CONTRIBU110N TO THE WORK II the a(Js .. er to ett/"lef OR {Citizen of" _-"1 1 ;:: _ _ _ _ _ _ _ _ _ _ _ _ Anonymou.' ............. Domloled [%:\:0 ATURE OF AUTHORSHIP Pseudon~'mous? In ... BOdl:-- Jes(n~' nature ot the mate-nat created 0 VHXX No 01 ...... questIOnS '. 0 Yesfi No ·':'~I:n~8(alled to:.! ttus a.uthor in wNch copynght is ct.,lImed . • Entire text OATES OF BIRTH AND DEATH AME OF AUTHOR ... Yeu Bom '" Yur Died '" ".&-. 1><.0 ~-!!!IBii :~!!II!!I!i 1'5 thIS contribution to the "'ork a 1 Y~ "N d~~ ~.- • CO ... • . --- ... oate-$ of o.rtr. ~ a.arn Diana AUTHOR'S NATIONALITY OR DOMICILE NafT'-e 01 COVnlry "", ark. made for hire" l OR { J :\:0 UURE Of AUTHORSHIP WAS THIS AUTHOR'S CONTRIBUTION TO THE WORK IfIl1e~n.w"'IO"'tI'\e< Anonymous? Dom1clll"d in ... 0 Pwudonymous? (,hzen of" DV.. ONo Yn Was thlj contnbutlOn to Ihl:" wt..1rl AUTHOR'S NATIONALITY OR DOMICILE .l Na""e Of Co..;O:'1' Y .. IS "'fa • see deia-loo Yeif Died .. WAS THIS AUTHOR'S CONTRIBUTION TO THE WOJU( OR { CuiL.n of ~---------------­ Anonymous? Oomloled In ... Ps-eudonymous? o :>;0 NATURE OF AUTHORSHIP Bnetl~ Jt>'l("n~ • ': ~mo,"'p .} I app • ~ Itlese question'S DATES OF BIRTH ANO DEATH Yt:.H Born .. MORE ON BACK ~ No Bnefly describe n,ature of the materwl crE'.lted by this author in which copyright is ddlmed Y "ME Of AUTHOR ... o 0 '3,ee- j"!d, O:>-J ,cat).~ n.:ltur\! of the material ,re.1ted by INS author in whKh copynght '>pacas 1'1,>[rr_d"ms \n,./rtef\ 5 I I) on the • 5JQllltle reve(s~ i{)('Tl s.oe Ol th!~ PCl9~. at kne 10. I; 0 0 Yes Yes clalmed .. :J 0 If.,. ¥1S'oIW@f ~o :-"':0 to 81ttlef ot1t'1ese queosIIQn$.$ ...... - see d@"lOi.ted lnsHu<:II-OnS A-468 Page 1 of 17 Document 99-4 Case 1: 11-cv-06351-H 8 FORMTX FOfl COPYRIGHT OFFICE USE ONLY 00 NOT WRITE ABOVE THIS LINE. 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CORaESPONDENCE Give nAlmlf' and ddd~s'!> to whICh corre .. pon.d~nce .. bout thl'i- applK.ltloo should be- sent. ________~M~a~r~y~~F~ower / Grove/Atlantic ____---'S 4::L.O.l.....B..road."w........ .... a y'--____________________________________ New York. New York 10Q03 I Area Coae &. Te1eQtlone r-.umber • _""";,. ,;.",,,.:,.;;,,,,;. , .,.,:, ,.;, ;.;.;".; .'; .,;,.;. .",.,. ,:""",."",:. : .;.; ..,,"'.,. ,..... .. .,.,.,';':.;. ,".: ........... ;"";~.,t}3).;;",;~J..,~.:Z~,~,L,:<.,,< .;.".:,:; :;",;":;,;", ,. thi! undi'r'il,!i!;ntc>d. h£>rt"b~ certify CERTIFICATION- that loam the Che<:l ont' ... of tM won.. tdrnfiflf'-d m thiS apphc.atlon and fhdt the .. tat~mt."nt .. moldl' by nw In this oJpphColtlOn are correct 10 the he:'>! or my k.no .....·h~d~e Typed Of prin~ n~me .tnd d,.t~ Y 0 '0 4 "".:::;",;.:,:;,:<,:"':'*:,:;'w..""""",.. ,<,-""",,;,,.,.,,:.=""; f1utnDer .'.".;·,·,·:···;w,;.'·"';'·':';' author 0 Be "". ~;;'~'P"Or'e othu copynght d.:umant o Owner of exclUSIve nght( ..) (1J: JuthonuJ lIlg~nt 01 _-,F,-,a~y--,W=e:.:l:.;d=o:.:n=N.llne at auFlOf Or ____________ Olhet CopyrlgN claomanr 01 OW'~I <X ~J.dtJSI\lP ngtIl(S) • Ii thiS Jppli(Jth.m gl\t·... ~ dJtt.' of pubhc.ltIlln in Spd.:t: 3, do nut sign and SUbmit it bctort' th.lt date- ____________________________________~H~a~r~y~F~l~o~w_e~r~_____________________ u~. 6/15/95 MAIL ~ CATETO 841 Broadway New York, New York 10003 MA L TO -~--=-:-==-=:::-:=====-====:::j -:-:~~~;:;:.;. ....,........:.:::;.,:;:;':. ·"uSC ,......,., I~;>l 1~200 4.r'",c.-.·,· . rA" 000 US GOVERNMENT PR .. TING OFFICE 1990-262·306 " A-469 Case 1: 11-cv-06351-HB Document 99-4 n Filed 06/2mRMn UNITED 17 STATEs COPYRIGHT OFFICE FiEGISTRATICN NUMBER i'IIIUIIIIIII ,,..v .1~:~ EFFECfn ,~ REGISTRAfiON AUG 3 0 1996 \ ------.;.;.;....--_.Month Oay ¥ear DO NOT WRITE ABOVE THIS LINE. IF YOU NEED MORE SPACE. USE A SEPARATE CONTINUAnON SHEET. ~~~!:W:::::'~;:::'~~:;':::!,:!*=::::::;:,~::<-::::-:~.::~::::::-:;:~;~:::::~:«?:;::'!>:~':;::~'::;::::::;:;:::;:;~;;:':::-:':';;:':':':::;:::::;:::~::=:;.~;;:::~:::::,;.:;:::::::::.:;:;:::::'::~::::::>::;.::::~:.-:~j;«;;;:;::::;;::U;:;;:::·y'::,::::-;?,;;;x:::;;:::;:«.·::::;x:::.%~wi::::;~:::;:Y;P;~~!~!!:x::;:':::::::-;::';;'Xk;';'J:r.;m;..,::';:J.-;:::;«~;,;;:::::r."::::m::::;;(.::x;:::-;;:~{;::'/..:~:::;.:} 1 TITLE OF THIS WORK " WORST FEARS PREVIOUS OR ALTERNATIVE TinES" PUBLICATION AS A CONTRIBUTION If ,his work was published ... contribution to. periodiul. ",rial, or collection. give information about the collective work in which the contribution appeared If published In. o ~ No Collediv~ Work'" Number ... pen<>dical or ""rial give. Volume ... Was thi, contribution to the wurk, "~..'ork made fm hire"? Yes NOTE Tit ... of AUTHOR'S NATIONALITY OR DOMICILE h.su~ D~te-'" OnP·s" ... 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"tlur of Rf'Jistution Numtt.T ... ~x~:·*;-;;:~:·;.!%~:~:~:::::::::;=-:;.:::.;.;.:::~r.::~:.:::::::::::::;:::::.;:;~-::.:,:.:.:::>~.:."":':.,:::::::; .'.:::::;::::::.:.:.:.: "':':':':-::::~::::::::; .•:.:.:i:.:. DERIVATIVE WORK OR COMPILATION Cum pi .. ,. I",,!, 'f"'c, 6.J A. 'N'ftisting "'ht~rUl ... y .::::::::-.:::.:.:.:.:.:.'.:.:.:-:.::::::::::.»:,.:::::;:::.;;:-:.:.:: .':::: :::;:::::::;:; ::;·;~·,:.:;-::;:;z·::;~:::;:~;;;-::':·>*::~;::~:=-~:;:;"'::;o{>A~%:~;:':>::::'';';:;·;';;~':·~::--::,::::;:;::::::,::;:c-;v:·:::·.·::::~:;:::::;:::0::::-::-:::.::::. ..• complete only 6b for a (Ompil~hon. & lob fur. deriv.'iv~ "ork. pree'l(l~ung work Of worlo.s th.lt thiS wurl-. i~ bJ~ on or Incorplf.ltes .. 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DEPOSIT ACCOUNT If the re81S".""n fec is to b<o cholrgd 10 a De po" , Ac(Ounteslabli,h.d in the Copyright OffICe. give name and numb<or of Account N~ • Account Numbe ... DA061131 Mary Flower CORRESPONDENCE Gil,.'e ndmtc' .and olddrlc"~~ to whICh COrT~"'p"-lOdt'nct" .lroUI thl~ applk.ltton should bt- sent. Mary Flower I Grove/Atlantic 841 Broad~~ ~ ~ ___ _ New York, New ~y~o~r~k~1~OcO,~0~3~~__~____________________________________________________ I[] Be sure to Ollie your da'(!lme phOne "'rumOOI Area Cooe & felt'phone Num!.ef • _""'.,,,~""".,.::.,.,.,."'.,. . ". ., '.,.,.,. ,. ,",,',.".,....... . . . 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If your an,w<r is "Y",." give ........... ~ N_"" T DERIVATIVE WORK OR COMPILATION a. 'Vuraf C<>m~te both.~ ~., biI .. 6b lor a derivative w<>rX; complet. only 6b lot a compilation. 6 r ....... i.ting Mat.riol Idtntify any ptH.o.ting work <>r won. II>.I this work is ~ on or incorpoaat.... ., All but 6 stories previously published b. M",t.rial Add.d to This Wodr. Giv•• hrirf. ~nt,.1 ,tat."",nt <>I the "",ttriol tlwt has b«n added to this work and in whKh copyright i. doimed. " 6 stories are new ::.:-:-: ",'_ _ _ _"I<i<I>_ _ _ _ ~~~ilAA<;;#:r.\·""~'I<~Ill?:$'m~_ _ _;IOHti~LWI_""""_~"".lQ.!8Otl .. _ _ _ _liiH:s ~iIlW<_ _ _J)ij{Sl\ljl«":'Ri"". .. 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REPRODUCTION FOR USE OF BLIND OR PHYSICALLY • rn C<>ples ond Phonorecord. ~::~:::::::.::: ".-:;:;:...;-;.,.;:;::-: ::::::::::::..::::;:::;::;:;::~:.~;--::;::::.-::~~~~"t'$ b :i'iI!ISt -~·tiS:"WW 0 s.. ~ (0 Phonorecords Only Cop;.. Only .OJ ·~;({"(~ff.;.-m~~·~·:R:"@"-Ii(t?W ~~=e-$3Ji DEPOSIT ACCOUNT If the registuOOn lee is to be clw<&ed to. ()Pposit Account tstlblishtd in tM Copyright Off'tce. Kiv.. Nrnt.nd number <>I Account N~me" Accou.nt N • •ber Y Y Grove/Atlantic, Inc. DA061131 CORRESPONDENCE GIve Mm •• nd .dd..... 10 which correspondence .boUI th~ application sh""ld be stnl. Natr./AddreufAplIClyISlaMIZop. Mary Flower / Grove/Atlantic 841 Broadway New York. New York 100Q3 1 _.,!.,I_....... ___= " ,.. ;:;:::::::::.::.,:...:....::...;..::::... ::.:::.:.:::;.. :;:.:.:.::~::;:;::!::;::::.:;::.:;:~::;~;%~;~;»,::o;:.~~~~~~:~~~~~:.~:~:~~~.y$.::::::::::::~~_ _ _ _ __.... j"'. CERTIFICATION· J. t~ undtrsignN. htreby c.rtify t~t I.m tM Ch«l <>no ... 'I u authorcopyright ciaiman' 0 other ~,.""'., Downer 01 exdusive righl(s) o' the work Idennh<>d in this .ppliution and II>.I t~ st.ltmen" "",de b)' me in ,hi •• ppheahon a", com'CI to tM bnl 01 my knowl.dg.. 0 .uthorl....J agent of _..:.F;..a=.o.y_W:.. .;;e.. ;l;..d;;.. :;o..:.________...,.-___..,....,...,.._ n Name 01 auf>ot '" 0'''' ceoynghl c _ t . "'."..,.. 01"""""0 ngIt~.) • Typed or print.d n.me and dn. ~ II th.s application gives. date 01 publication in space 3. do not sign and .ubmit it before tM! date. ______________________________________~M~a~r~y~F~l~o~w~e~r_____________________ ~ ... MAil CERnACATETO Mary Flower / Grove/Atlantic Certiflcaht 6/23/97 841 Broadway will be mailed In window envelope • ! 7 usc t=================-=_____________--' .. Sl·.j~ Pot :'" ., ..\ •• 1 t .. E."'1t.·.T~ "'E '":!"'·vH. PtlC"'~.E New York, New York 10003 .:.,.: ;;:::::',::·.<-' .. :·::::·:-_,·:.:;.;·:::/::::·:;·::~:X:;'»:·:::::~;::::::::!--::X~~~-::::,;:,:~~::*::::::-::::';;;·:·:~~«:-:::::W¥;:,;:~~~.;,,#.;:::::*;::;::~:::::-:,.:.:::.:-:-:~~:::::::;:$!::*:::::'{:-::-;;:-::':'Y~»::!:::.::~::::;:::::::~.::::~:::::::~)";'W:"'):~~~X>::';;;·~N&m-6;::::~.;;;;,~:.:.~;:;::::::.:::;: t ~x')6jP) Any p"l,;on who krowlrlQl'f make-! ollai'1e repu:seolahOrl cI ol maleflall&el rI' I'te apoilcallOr'l1oI cooynQhf r~.strahon piOlnded tOf by sechOn 409 c#., 1I'Iy Wf'llifYI sfafemef'\l "ted '" 1'0 Ir- I"'''' aooltc Il,)n 5"'<111 be tl .... t"d not mote II\an $2 500 C0'V\,.-; ',,-n A-473 Case 1:11-cv-06351-HB Document 99-4 Filed 06/29/12FBRM .. n I ~... illl611 ......... r!~ DO NOT WRITE ABOVE THIS LINE. F YOU NEED MORE SPACE, USE A sePARATE CONTNJA11ON SHEET. nnE OF 11IIS WORK ., 1 BIG WOMEN PREVIOUS OR ALTERNATIVE TITLES" puIIIIMm ... GlGIribuIioII to. porIodaJ. -'al.orrollodion; Pw INoeINlklli about doe ntH of Coo8edhe w ., .... PUBLICATION AS A CONTJUBUfJON It lids wmk _ collective work in which the conlribution appeaRd. If publishOO in • periodical or .mal glvr. VoI_. 2 a DATES OF BOlTIl AND DEATIl Year Born ., Year Died ., Fay Weldon w.. this contribution to the worko "work made for hire'? AUTHOR'S NATIONAUJ1( OR DOMICILE _dCoonry Entire text I.... b NAME OF AUTHOR ., DATES OF BOlTIl AND DEAm Yeu' 80m ~ Yeu'DIaJ ... the -author- 01 made <ill - .. or"- WAS 1HIS AUI'HOIt'S CON11tDU11ON TO THEWOJU( ... _ ..... ~l OY_ nNo ~::-~to ~? OY. ONo - - DYes OR{CitizenolllUK KiNo Dornidledlftlt NATURE OF AUlHORSHIP Briefly deocribe ...1Ift of...-w a-.I by tw.III"'- 1ft wIIkh mpyripI .. .w.....s.. ., NOTE Und., the NAME OF AUTHOR ., ~":n~;;:';;~h. -W-.-,'-h-i,-ron-tn-·bu-tion-to-the-work--.--A-um--O-.-'S-N-A-TI-O-N-AUJ1(---oa--DO-Ml-ClLE---- ::W::'AS-:-==1HIS=::""'::A-::um=:=0R'S=~CONDIBUI1=~===0=N~TO==-- employer, not "work made lor hi...'? THE WORK Anonymous? OY.. 0 No PIeudonymoua? 0 Ihe employee (s.e _oICoonry D Yes inSlrue- ~~~s~f ~h~~ any 0 !'.:':t.:ht~~ ~t,~. OR No { ..... CitIzIOnof... Domk:iled.... ... _ " ' .... v. 0 No ., . . . . . . . . . . . .. -V..... _cIoIoIod -- NATURE OF AUTHORSHIP Briefly decriI:>e mttln! ollNIerioI 0'eIIed by tltluutlMw In which mpyripI .. daiJned, ., check ·Y.& ~ In the apace provtcled, gIve C the employer (or other ~f.on'ol DATES OF BOlm AND Dl!ATIl Year Born ., Year Died ., ------------------------~=~~~~~~~~~~~~~------ ~~~==::""'::_==~=~=~====~~~ W.s this contribution to the wOl'k. 'work made lor hire'? whom 'he work w.s prepared) as • ... uthor· of thaI part, Ind 0 ~-::c~ ~o~ dal.. 01 bllih and de~th NAME OF AUTHOR ., AumOR'S NATIONALrn' OR DOMICIlE _oleo..., OR Yes { Citizen 01" 4 mE WORK "-ymouol . . . _ " ' .... 0 Y.. 0 No 0I . . . .....". .. -V..... _ cIoIoIod 0 No Dornidled inIt Poeudonymoua? 0 Y.. 0 No - NATURE OF AUlHORSHIP Briefty "-=ribe _ of material <H*IId by tw. III"'- In whJd, ropyrIaht 1sc:Wmed. ., blank. a WAS TIllS AUI1IOR'S CON11tDUI'ION TO YEAR IN WHICH CREATION OF nos WORKWASCOMPlETED lhIa~ 1997 ",y_::~ b DATE AND NATION OF fIRST PUlJUCA110N OF 1HIS fAR'IlCULAIl WORK ~_ _ =..:..-==-. November Great Britain -.. COPYRlGtIT CLAIMANT(S) NazMUId ~......t be zt-_lldoec:IabMM .. doe_.. lhe.uthorgiv.... inspaa2_" Fay Weldon 3A Greenaway Gardens T.nndnn W'l 7n.T Rno1and TRANSFER It the dolmant{s) named ~ 1ft IIJ*'l' 4 Is C-) dilfoftat &om Ihr euIhoorU) MINd 1ft spaCt' 2, give a ~ otalenwnt of how the dolmant(a) obIalaed --.hlp of doe ~ • MORE ON B~CK" .~ all ~~ (............ ,)011 ... _ • S- _ _ . .SIgn . . _ ..... ,O. .... allhltpeg.. 10 v-.. l22L.. ... _ APPlICATION AECEIYEO SW'::~'f:::-~:!r.IiceJVED:t:::::==------- Ii Hampstead 0.,.. III II ==-====-====-----TWOOEPOSITSRECEIVEO i~ S£POg. 1998 85 FUNDS RECEIVED A-474 Case 1:11-cv-063S1-HB Document 99-4 JORMTIC FOR CORRESPONDENCE O Yes COPVRIGH OFACE USE ONlY DO NOT WRITE ABOVE THIS LINE. IF YOU NEED MORE SPACE. USE A SEPARATE COtmNUATION SlEET. PR EVIOUS REGISTRA 110N Has regi5tntion for this wor\;. or for an eorlier - - . . eli !WI work. aJn.dy been JNOCIc in thor Copyricht Office? o y~ ~o If your answer is "Yes,' why is .not ...... ""8istration being.....pi? (Check IJIIIRIPIiak baoc) T 0. 0 This is the first publisM:! edition eli • work prev;ous!y ~ In unput.Iiohod Jonn. b.O This is the first application 5ubmiHed by ItU5 author ... ~ claimant. c. 0 This i. a changed vonion oithe wad, u ohown by ~ 6 on this Ippiiation. If your answer is "Y.... - give: P..vw....~ NUII\ber T Y_eIi • . . . . . , - T DERIV A11VE WORK OR COMPILATION Complete both ~6a and6bfor I~wark;-"- onIy6b for.~ a. PrHdstlng Mal.rIol Identify ony f'"""'iIting wad or works tIuot thio work» beet OII ... ~ T b. Mat.ri.1 Add.d to This Work Givt a brid". gmeralltotement of the marerW that .... """" ..wed 10 thlI work and In wIIIch C!OpJI'isht »dIlmed. T REPRODUCTION FOR USE OF BLIND OR PHYSICALLY HANDlCAI'I'ED INDIVIDUALS AoipatureOll thlI"'"" 1It ...... 1O 1IId. checl<1n_ of I"" boxC5 here in space 8 constitule5 • non..-.dual"""ant eli penniaaion 10 the LanryeliCoact-toroprocl.- IIIdcllotrtbuRooWy forthebliJld IIId phyoIaoIly handicapped and under the conditiotls and limitations ~ by the nsulatloN d the Copyri8ht Office: (l) CII:Ipin d the work idaItifIed In ~ 1 d this a ppltcation in Bratlle (or similar tactile symbols); or (2) ~ embc>dyInc. fixatloa d • rwdin& d Ihot ....-k; ... (3) both. rhononnxds .. 0 CopiefOnty DEPOSIT ACCOUNT If lhe regislTation (.., Is 10 "" charged 10. Dq:>ooII A.cmunl MIIIIIIbed In thorCopyrtcht OffIc:e, ~N.alIa'T Nam.T 6 i -space deleted- a ex Copies and 5 em _ aad IIUIIIber d Am>uat. e -- DA06113l Grove/Atlantic. Inc. CORRESPONDENCE Give name and add ..... 10 which COl I eapoacIcnc:e about this oppIic;IItIon 1hoNId .... - . Namel~I Apt/City ~/7JP T Mary Flower I Grove/Atlantic 841 Broadway New York. Ne~ Y~oLrk~~lQ~Q~0~3~~~~~~~~_______________________________________ _ CocItar'ldT........... _ . 212 614 7881 CERTIFICATION' I. the undersigned, hereby crrtify tIuot I am tht {D....u- Ch<d aNy one • 004'- ""f'Y'¥It daImud D_elie>lduliYe~) of the work identified in this application and tIuot tht Itot"""""" mod< by me in this application are COJTect to tht best of my knowkdsr. lllauthor1zec1tem1e1i -../:F,.,BLJyI'-'W l ........ .......... d n n'-_ _-'-_ _ _ _ __ _"'_._~-... " ' _ " ' _ ~. T yptd or printed nom. and dal. Y If thisapplication gives • d.1e d pubIicItiorIln ~ 3. do not • MaO Flower (~ Handwritt.noipulun{X)T 1(J .uwl1Ublnll1t befcft that elate. dMIt. 9/8198 )(~ '::1~ MAIL CERTIFJ.. CATETO NameT Mary Flower / Grove/Atlantic Number_~_T 841 Broadway Certificate will be mailed In window CtlyiSIaIeIZIP T New York. New York 10003 envelope "17 usc. § me). My pel_ who knowingIy.- ...... ...,......-. '" .--"Iad ... hlllOlClllOftlor ~....- _ _ WIth 1M appkatlOfl. shall be ftned not Jufy 199~ ~.OOO @ mor. than $2.500. PRINTFn ON RFCVClEO PAPER tor..,_ .. ", . . .., _ _ ~.6. lIadn _ _ GOII'E_ ~0fFICE: '111<).-.-.( A-475 ! ' Case 1 :11-cv-06351-HB Document 99-4 FORM CA Filed 06/29/12 PaQe 8 of 17 UNfTeo STATES PQPYRIGHT OFFICE TX 4-943-195 10590<4346 III 1III1111III1 MONlW J RE ./ 57j . O~ YE 00 NOT WRITE ABOVE THIS LINE. FOR COPYRIGHT OFFICE USE ONLY @ ....., ----- I TnL£ OF WORK: BIG WOMEN IRWISTRATION NUMBER OF BASIC REGISTRATION: TX4-843-655 YEAR OF BASIC REGISTRATION: NAMEIS) OF AUTHORIS): NAME(S) Of COPYRIGHT CLAlMANl(SI: Fay Weldon 1998 Fay Weldon i ® eorr. DIll Dft LOCAnON AND NATURE OF INCORRECT INFORMAnON IN BASIC REGISTRATION: line Number ............ Une Hnding or OescrIpIlon .....•................. ..... .... . ... , ...... ...................... INCORRECT INfORMATION AS IT APPEARS IN BASIC REGISTRATION: , i CORRECTED INFORMATION: EXPl.ANAnON OF CORRECTION: (Optlon8l) @ LOCATION AND NATURE OF INfORMATION IN BASIC REGISTRATION TO BE AMPliFIED: UneNumber ... 1.. ...... line Heading or Descr1ltlon ... 'l'.j,eL~. P.~ . t.lrJ·~.. ~~t;"lt ........................ , ............ IAIIIpIIftoMJoft AMPLIFIED INFORMATION: I US edition title was changed to BIG GIRLS DON'T CRY I " ~ EXPlANATION OF AMPlIFIED INfORMAnOH: (Optional) title was changed for the U.S. edition A-476 Documenl~4. .. Case 1 :11 -cv-06351-HB E)(MIINED BY. . CHECKED BV :. .. rt . . F 1 e<Kl61~~2Neeage 9 of 17 CORRESPONOENCE: COPYRIGHT OFFICE use REMmANC£ NUMBER AND DATE: o YES ~.. FOR APR. 15. 1999 . . .... . . ONLY 1~~~~~~~-----------------------t/ -4 I-rj"YES 0 NO DePOSIT ACCOUHT FUNDS USEO· J! 00 NOT WAITE ABOVE THIS LINE. FOA COPYRIGHT OFFICE USE ONLY i:, , ~HT1NUAT1ON Of: (Clwck which) 0 PART B OR 0 PART C If the registration tee Is 10 ~ charged to " Deposit Account established in the Copyright Office. give name and number of IDEPOSn ACCOUNT: : ~nt: Namf: ... G.t:OY~1 At)..~J)t;.i,c;:,. ).p<; '- . ....... ...... .... .. .. . .... . ....... '. Account Num~r ... D.A9~ Pn .. ! ® 0ep081t Aooount ..... MaIling ~~UU~~N~DDEENNC~~·GGI~ve;n~.;rne~~;Jd~~d.~~eu~to~wh~ic~h~c;orr~~~~den~c~e~~~u~dn~~w~n~t:~----------------------------------lkurt~~ l Name . .. Mary.. F.1ower . ./ . .Gr.ov.e JAtlant. ic ...... . . ....... . ...... ... .... . . . . . .... Apt No..... . .... . . . ...... . Address ...84.l ..3J'.QII.4~4Y.• . .~!!.Io! . .'Y~;-~t ..~ ..~9.Q9} .. .. ........................ ...... .. ... .. .... ............ . . <Numbe< _ CERTlflCATION *t SI' OOI) (C;ty) (SI",.) (Z IP Co<u! ) the underJiintd. hereby certify that lam the: (Check one) o author 0 oilWI' copyright claimant 0 owner 01 exclusive rlght(s):f] authorlttd agent of: . Fav ..Weldon . . . . . . .. . . . . . . . . . . . . . . . . .. . (Nime 6t IIUthor 01 Q4:Mrcopynght ~ . 01 owner oI.1lGtutNe rightl~ )) ,of the work ~tlfIed In this application and that the lIatements mlIde by me In this application are correct to the best of my knowledge. c::::r H~d....m_.'lXl .'lYJ.~..~~ Typed or ptinted name . . .. . ~ar.y. F.low.er . . ... ® .... ~...--Ion ............. ,~ .... ... ....... . . . .... .... .... .. ... . ~te: .. . 4.1S/.~9... .. ..... .. ........... ........ .. .... . l j • l7 usc '~I : FAl..SE REPAESENTATION - Alty penon who ~ me,q.. _ t.Jw ,.rprC'Hnf .. ion 01 a 1'NII4"ri.t f~ in rhtl otppltc ..ion NClIOf'I409. Of In ~y...,.lftm tI.wmm.- fHd inconMCtiOft ....h ,hot IppIicltlOn.lh.aI bI tm.d not mot'a ttt.n S2.soo '01 c~t rorgi. r M;On Jlfo vidc-d lor by ~ / · .. .. ... . Mary. .FlQwer . J. G~.o:v:e/~tbJlj:;L.c. ........ .... . . . . . . . . '_I · . .. . .. .. ~4J ..B.r.q~4lt'IilY .. . .. ... .. . ... .. ... .. ... . ... .. .. . . .. . . @ MAIL CERTIFICA TE TO AcId.-... ..... Aet ..... of c.rtH_ · ... . . . .. New..Yat:k •. New. Y~.I:k .10003.. . . .. .. . . ... ... ... .. . . . . tOrtl :,.. '.7-20.000 l&.tel In' ~I -u S. GOVERNioIEm PRlKTING OFFICE: lG87-181-531!-IO.= A-477 Case 1:11-cv-06351-H B Document 99-4 Filed 06/29/12 P~e • 10 of 17 FOKMTX Work For • NoncIram8tIc Uterary UNITED STATES COPYRIGHT OFFICE TX 5-l35-279 121005928 IIIII1III1I1III .rX*N5l151,..,. flllllill" EFFECTIV~ Of REGISTRATION - DO NOT WRITE ABOVE THIS LINE. IF YOU NEED MORE SPACE, USE A SEPARATE CONT1NUATJON SHEET, 1 TITLE OF THIS WORK '" RHODE ISLAND BLUES PREVIOUS OR ALTERNATIVE TITLES '" PUBLICATION AS A CONTRlBIJI10N If!hi> wor" WA. publishnl u a contribution to. poriodiral • .....w. or collrctKln, gi.e inlonn.tion about tM coUecti •• work in which the contribution Appe.mI. Title of Coli«tive Wor!< Y [f publ.is.hed in .. periodiotJ Of serial gi ....e: VoluftW 'Y (l Was this contribution to thr wcwk oil ''work rn.Ide lor hire",,? OY.,. b gan.,.Uy Ih. .mploy.,. no' ,h •• mploy.. :!~k~~~~i:,.. ~ No ~:::--.::::" IV No -""""""'. Entire text DATES OF BIRTH AND DEATH Year Born '" Year Died '" --:-=----__---- :"__==::-::-::===-======__TO =WAS THIS AUTHOR'S CONTRIBUTION Yes AUTHOR'S NATIONALIT'( OR DOMICILE -ole......" f..... OR lUUnO {e" 0 No l>otnJ.cUf'd THE WORK »"'_10_ Anonymous! IYudonrmous? in. 0 Yes 0 No ~1MM~O "Y••:_detaMd 0 Yes 0 No ~. NATURE OF AUTHORSHIP Brieflydescnbe nature of matuWcreated by thia author in which ropyright .. claimed. T pro"ld~. ~II''''. C NAME OF AUTHOR '" -------------:-=________TIONAUTY OR = ____-:---=:__===__DOMICILE Was !hi> contribution to tit< work A AUTHOR'S NA "work made for hire"? :::!:~.: and spac. for dates Homo 0 Yos 0 No OR { NATURE OF AuniORSHIP at Co.nuy ... Citiun 01 ... v_ Pseudooym.ous-r :::.:::-n b :::-...:..~ 00WI0d tnatnJcbOna.. is cWnwd. • November o.,~ ~ y_~ ....1QQ.O... United States of America ... "-" as i~ H~a~mwPws~t~e~a~d~-u~~~~~~------____~~~ En"bmd 15 _ _______________ I.(mdnn NW, 7n.l TRANSFER If tbe cWmanI(5) named Me in 5pAC't 4 is (~) ~t from the authorj.) named In sp~ 2. give. bnd sbttawnt 01 how the cuunant(5) obtamtd owneWp of the copyright. Y • s.. ~ inllrucbons of !heW qunbOnJ Ie "Y.. : _ DATE AND NATION OF FIRST PUBLICATION OF THIS PARTICULAR WORK Fay Weldon 3A Greenaway Gardens MORE ON BACK.." • Compf.' •• JI app'lC'.bJ. 0 Y.. 0 No 0 Y" 0 No ~ _ _ _• COPYRIGHT ClAlMANT(S) N ...... and addn>s must be given even if the cl.Unwlt i$ tit< _ the.uthorgtW11in~2.Y WAS THIS AUTHOR'S CONTRIBUTION TO THE WORK It ..... _ .. . - Briefly descri~ ~ture 04 [N~ ~~ted by this author in wNch «=OpYright YEAR IN WHICH CREATION OF THIS «2000 OATES OF BIRTH AND DEATH Year Born T Year Died T Anonymous? DomiciJed in. ':lI WORKWASCOMPLETED T l I I o _ 4 Anonymous? NAME OF AUTHOR '" 0 'mad. '0' h".' chKk ·Ve,· in (he &p.ce :~::~~I~~!. _'"U.#. K '___ _ _ _ _ _ __ ....... Domiciled in. Was this contribution to the work. "Work made for hire"? (s •• lnstrue- ~f:::.nt~~f work .... prop.,.d) . . 'Au'no," 01 Citiun of ~_ - - - - - - - - - - - - - - - - - -__ lionO). Fe' any the empl0Y'.r WAS THIS AUTHOR'S CONTRIBUTION TO THE WORK ""'_"_ AUTHOR'S NATIONALITY OR DOMIOLE ""'-"'Coo.nr; OR { DYes Psatdonvmous! DYes NATURE Of AUTHORSHIP BrioIIy describ<! Ntwe of outuW created by thia AUthor in which copyright is cwmed. '" NOTE (oroth., OnPAgHT DATES OF BIRTH AND DEATH Year Born T Vear Died '" Fay Weldon }(1!:No 'h.'A". IMucOate'- NAME OF AUTHOR '" 2 Un •• , the ".uthor· of a A.ork m.d. for hir.- •• N .... Hr" s.p.aCH (numNIS s-.9, on the r."'elW $.WM 01 thle ~ .. $91" form . . . . . 8 b~ ONE DEPOSIT RECEIVED TWO DEPOSITS RECEIVfD APR 26 200 1 g~ =FUN:c"'D~S:-'::R~EC*EIVE±\!'D~+----"----- OONOT~HEAE P_ , 0I::},.-- _ A-478 Fped 9613911 2 Case 1 :11-cv-063S1-HB Document 99-4 Pa~w 11 at 17 EXAMlNEO~ CHEcJrMy O FOR CORRESPON>ENCE Yes COPYRIGHT OFFICE USE ONLV 00 NOT WRITE ABOVE THIS UNE. IF YOU NEED MORE SPACE. USE A SEPARATE CONTINUATION SHEET. PREVIOUS REGISTRATJON Hu ~tion lor tru. wo<k. or for an urliet wrsion of this work. awady boG> rNdt in the Copyright ~I Yf t KI No II your ansW<f is "Y<s." why is anoIhtr registnltion bang SOIIght? (Qeck approp~ box, T 5 o L 0 This is tho first published edition of I work ~y ~ in unpubIish<d lann. b.O This is tho first applKation subminod by this author .. copyr1ght dolm.lnt. c. 0 This is • chlnged vtrOlon of tho wo<k. as shown by ~ 6 on this apptiatiOn. U your UlSwer is ··Yes, ... glVII(": Prniou:a ~tiOl1 NlUIlber .. Year of Kep.1nIion T DERIVA TJVE WORK OR COMPILATION "-'<istinS Material I~tify any r-nsting w",k 0< w<rl:s that this work is b....d on or ~, T a - - - - - - - - - - - - - - - _ . _ - - - - - - - - - - ---'-- - - - - - b 6 Material A.dded to Thl. Work Give a brieI. general slal~t of tho material that h.ls boG> added 10 this work and in which copyright is claimed, T DEPOSIT ACCOUNT II the reglstntion fft is to b.. ch.u~ to. Doposit Account ..tabUshed in tho Copyrighl Officw, give Mm. and numbu of Ac<ow\I. N ..... 'It' 7 Aceoun! N"",""" 'It' a Grove/Atlantic, Inc. DA061131 CORRESPONDENCE Give n.une and add=s to whicll correspondence about this application tbouId be 5<l\t. b N_/ Address/ Apt/City I Sta.el ZIP 'It' Mary Flower / Grove/Atlantic 841 Broadway Ne~! York. New York 10003 F.. _ C£RTJACATJON" I. the und~roigned. hereby catify that I am the Check only one .. of the ,:"ork id~ntifi~d in this application and thai tbe ....tements mad. 1t\ thlS "p'plic.bon a~ <orr«t 10 ~ bto1;t of my lmowlNge. by me . .. 212 614 7886 { D author 0 other copyright cWmanl o OWlVr 01 excIWilve righlls) Elauthorizod. on' of g Fay Weldon Nam.e of It.I'VlOr Of' ca.. ~ - ctAim.lnl, t Of C'WIIf'lItf C ox~ JIQht($) 4. 8 Typed or printed n .. me.llnd d.t~ .... 1£ this .ppoc.tt:ic:wt gives. !Ute of publ..icilltion in sp.ce 3. do not sign.oo 6ubmit it be:fc:ft that da~, Mary Flower Dol... 4/24/2Q01 l1and •....,lt.n .ilP'll1&« (X) T ~~,=~-~~-----------------------Mall C*1lf1cate I to: Mary Flower / Grove/Atlantic N....-~...,. c.rtJfIcate will be mailed In window a l__-,---=-:--:=--_8_4_1_B_r_o_a_d_w_ y _ _ _ _ _ _ _ _ _ _ _ _ _ _ _----, ~ ~ii~~;:;~;:: 9 :t.. CotryiSWeiZIP ... New York, New York 10003 envelope • t1 U S_C, i .. 505(.,: My peJ'S..l>n who knowwV'IlNikft. • INn $2.500 WIIh the ~ II\.aJ t . r..d not s..>f.....,., 1997-lOO 000 S t.... ~ of .. m.&I~ fact ., ... appIicahOn k)r ~ ~ ~ fof by.,.;bon <&08, Of" fI'Y WI"IIMn &&aMw'nen4 filed in oonnectton f'JlI';n PRINTED ON RECYCLED PAPER aU S, GOVERHIAENT PAINTING OfFICE' 1997-4 17f7~,O<1 A-479 Case 1: 11-cv-06351-H B Document 99-4 Filed 06/29/12 Page 12 of 17 II FORMTX For a Nondramatlc Literary Work UNITED STATES COPYRIGHT OFFICI:: TX 5-741-087 REGISTRJ III1IIIIIIIIII TX5-741-087 \ 1IIIIIIIII11 IX ) TXU EFFECTIVEME OF REGISTRATION !i SO Month Q3 Year Day DO NOT WRITE ABOVE THIS LINE. IF yOU NEED MORE SPACE, USE A SEPARATE CONTINUATION SHEET. 1 TITLE Of THIS WORK " AUTO DA FAY PREVIOUS OR ALTERNATIVE TITUS" PUBLICATION AS A CONTRIBUTION If this work was, published as a contTibution to a period.irdl. send]. or coUectJon. give L'1iormatJOn about the co!.1edjve work in wNch the contributton appeared Title of Collective Work .... Ii published tn a peric'I(li<:al or serial give_ VoJum~ ..... 2 NumbtrY On P'g"'" DATES OF BIRTH AND DEATH Year Born" Year Died" NAME OF AlITHOR " a 1931 Fay Weldon Was thisconmbution to W work> O Ye$ WAS THIS AlITHOR'S CONTRIBUTION TO N8m& of Cot.I\try "work m.tde for hire"? AlITHOR'S NATIONALITY OR DOMICILE THE WORK OR XXNo or AUTHORSHIP Entire text NOTE { Dorn..icuoo TrK b ·.utho .... of • "work made for hJt.- i. generany tne 0 Yes 0: No -Ves,· we detalfed P~udonrmoU5? i..,,)o- NAME OF AlITHOR " tn. 11 the answer IQ eo1he<' 0' tt'lese queShons IS Anonymous,) [J Yes JO<.r-..;" InslrucllQ>nS Briefiy describe h.:lh!.re of material created by this author in ",,·h.ich cop;:right is claimed .. NATURE Undo, 'ho low, .. Cituen 0 I . . DATES OF BIRTH AND DEATH Year Born " Year Died " ----------------------------------- Was thisconto-ibution to rhe work a AlITHOR'S NATIONALITY OR DOMICILE WAS THIS AUTHOR'S COf\'TRIBUTION TO "",,'ork made for hire"? employ.,. n01 the emplo".. Name Of Country THE WORK 0 (tee ins1ruc- tiona). For any :~~ ~~~~i~u OR Yes { C itizen 0 f.... Anonymous? Pseudonymous? . 0 No Domidled rn. NATURE OF AUTHORSHIP Briefly d ..suioc nature of material created by thls author in ... hich copyright L5 d.uned " "mad. '0' hi,." ch.ck ~.s- In 0 Yes CI No 0 Yes 0 No H the an ...... 8r 10 tlrther of thew questlOtl$ IS "Yes: see dot. lIed lnS!ructlOf'5 the space provided.. geiy-t (or Qth.r person fOf DATES Of BIRTH AND DEATH Year Born" Year Died " NAME Of AlITHOR " the employ., C ."'om tnt work was prepared) -W-"'-thls-·-co-nm-·b-u-tio-n-to-th--·o-rk-·_ _ .... • A-UT_H_O-R'-S-N-AT-I-O-N-A-LITY--O-R-O-'-O-M-K":""I-lE-- WAS THIS AlITUOR'S CONTRIBlITlON TO '~'ork made for hir~~? •• "Author- of that par1, and 1•• ".lhe .pace 10' data Ii of bIrth and deeth blank. a 4 Name '" Cotnt'Y OR C.tilpn u O Yes { o No NA TURE OF AlffHORSHI r .v.., ArlonymolL<;:? 0 Yes 0 No 11' the ans ...... r lo~' of these questfOfls rs ...".s ~ see de!8lfed P5f?udonymou5? 0 C 1\:0 in.W\l(:~iorP~ THE WORK Dor:rJciled i.n~_ :::~~:!':!Z:.., b DATE AND NATION Of FIRST PUBLICATION OFTHIS PARTICULAR WORK c""'P'''' _""onnatlon Monlh~. June ____ Day,. ~ y..,~ -2Jll.lL ::'"~~~ Grea t Sri ta i COPYRIGHT ClAIMANT(S) Nam. and addre>s must be given nen 1 the da;mdnt "W ",me as tht-authocgiveninsp.ce2.'" Yes Bnefly describe nature of materiat created by this author in ",,+tich copyright is- claimed ... YEAR IN WHICH CREATION OF TH.IS WORK WAS COMPLETED Thl. Inform.,1on 2002 I" Fay Weldon 3A Greenaway Gardens Hampstead n . Nat.o., APPLICATION RECEIVED &JAV ~ n.,r.n~ w om'"6{P(j§i1'R~ ~~ "'z MN '~" -O~OO3 ffi~ 1 -1. ,,11.1'1 7n T 17n.1 ",,.,,1 o:~ EPOSITS ED ------------------~~~~~~~~~r-~~~~----------------4~~ TRANSFER !ftne cWmant(.~ named here in 'pAce 4 is (are) dill.".."t from tht- aurhor(s) named In ~o space 2, g;v•• brief st.temen' of how the daiman'(s) obtdined ownership of the copyright. 'f' g~ FUNDS RECEIVED .. -- --~ . - - ~--- MORE ON BACK.. • Complete aU apP'lcable spaC(I;S (Murntlerc 5-9) on the revena ~ld6 of HUG page • Sign !NJ f&m atl¥le 8 • See de~iied II1slr..dJont., DO NOT WRITE HERE Page I of __ d ~,p.aoes. A-480 Case 1: 11-cv-06351-HB Document 99-4 Filed 06/29/12 Page 13 of 17 [~ _ EXAMINED BY FORMTX CHECKEOBY FOR COPYRIGHT OFFICE USE ONLY CORRESPONDENCE O Yes DO NOT WRITE ABOVE THIS LINE. IF YOU NEED MORE SPACE, USE A SEPARATE CONTINUATION SHEET. PREVIOUS REGISTRATION Has regi.!.L[ototion rur this work., Of for an earLiE"r versIOn of this work, already b-e-en made in the :opyright Office':' Yn tiC! No li your M\$wer is "Yes;' why is M\other regis tration being sought? (Ch«k appropriate box) ... 5 o a. 0 lNs is the fint published ~tiOf\ of a work prev;ously regist.rod in unpublishod form It. 0 1'lili is the tint .pplk.ation ,ubmitteod by this author iI$ copyrighl claimant. c. 0 1l\i.s is " dunged version 01 the work, AS shown by sp.sCt 6 on th.i$ applIcation. If your vtswer is "Yes;"' give: PrfViou5 Registntion f'liumbn" Yeu of Resistr.ltion .. DERlV ATIVE WORK OR COMPILA TlON 6 '",existing Material Identify ~ny preex.i$ting worlo.: o r work.... that this \,o\.'ork is based on or lncorp¢tates . ... a - - -- - - - - - --_.- - -_ .. _ --------- SMirlst!'\.OCl,ons before c:ornplellflg b "-hterial Added to Thi& Work GlI,'e') brief, , cncrd l sta tement of the nldtrrial tha t hdS been added to thi~ .....·ori< and in ·",'hich copyrigh.t LS cl.umed Y tTliI sp~co ---... _.-- - - _ . _ - - - - - - -- -- DEPOSIT ACCOUNT If the registration (ee i.... to bt> d, .uged to a D£>~it N.me T a Grove/A~lart_~I!lc e-stabtished in the Copyright OffiCE .. gi.'·e name and number of Account Account Number" A C(OUI\t . b 7 DA0611;U CORRESPONDENCE Give name and iil dd r~s to which (orr~pond ence about Uus app llc~ tion should ~ sent Name ! Address / Apt J Clty / Stale l ZIP T Mary FJower / Grove/Atlantic 841 Broadway New York. _~ew York 10003 Fu number .. 212 614 7881 CERTIFICATION· I. the u.nders;gned. hereby certify that 1am the { O autho< Che.:k only one.. 0 other copyright damu.nt olth.workidentiliodinttu.oppucationondthattrn-statementsmad. by me in this application are correct to ~ ~t of my kno .....·ledge Type-d or printed noJ.m~ .. nd d.te • (f 8 o oy,'ner o( e)(ciuslve right(s) Q',i th . od I f Fay Weldon au onz -::;: ~I .~o-',"'",J.""", copy"'-'''ngn''-, .... ;m.,, - '-""'-n-.'-o-,--o-'"s.....e nghl{S) • ---'''-, "',"', ,.- - -,-," .. this application gi"es a date ot publication i..n space 3. d o not sign and sub:nit it before that date Mary Flower H •.nd WT,H,·n ,iso.duff: {X} " -~~-----------------------_'.111\1'1_1 NvmOerfS:raetlA.p4. • Mar Certlfic.le 8 will be mailed In f-c.., iS- 4-,.n:-IP-"--N-:: - 1 window Myelope FloweLl Grove/AtlantiC ::::~~::w Y~rk -~~O~- ----------_3 SUID AU J (LEUf.NfS j _ _ tN THE SALlE PACkAGE _ ._ - - COPY"9h< Offo«j t ), It\Oeool"\dotnc. ....... t\U4I . S E Vle.shong-tOf1 . Q ,C 2OSS9~ J7 U.S ,C . § 5OG{.} : Any pertlOfl who k,now'09ly ~k~ 3 !"'ISt> re pt4il~a r.lal,0<"i 01 S m.;le"ial fi.:111'l the a~IU !IOI'\ 'Of copyr.g": r.g.SI~ar,Ot1 p.'ovi6ed IOf by seeton 4-00. 01 rn A"Y wrinllil ~t,J19fT\o?n! f,IM tfth ftl4l appiIcAhon. Sh4lff .,. rl~ no( more tn.a.n $2.500 ~ernt::.r 9 •Co<npIe<." - " ' Y _8 • Sigr, your appkallC)n i'l1P1tU Mall certlflc.te to: 1997-300.000 * PA~TEOON RECYCLEO PAPER oLl S ~OVEn"-4MENT 1ft - cO<'\r:OCtn:,., PfUNTING OFFtCE ' 1997--417,7 5C -6002t A-481 • I Case 1:11-cv-06351-HB Document 99-4 Filed 06/29/12 Page 14 of 17 • Copyright Office fees are subject to change, For current fees, check the Copyright Office website at www.copyright.gov, write the Copy- TX 6-444-289 right Office, or call (202) 707-3000. 00 NOT WRITE ABOVE THI8 LINE-IF YOU NEED MORE 8PACE, USE A 8EPARATE CONTlNUAllON SHEET. 1 TTTLI! OF THIS WOIll( ... Sbe May Not Leave PREVIOUS OR ALTERNATIVE TITLES'" PUBUCAnON AS A CONTIUBUDON U!his work WM ~ U coIlectivoo work in whlch the <OnlriI>utIon oppeaaed. U publ1slwd In. poriodIcaI Of otriaI (11_ 2 a • oonIribution 10. porlodlcaI....w. or collodion. give InIonnation about tIw TItle of CoIIIdIft Wod< ., o.p.... ., Vom-" NAME OF AUIltOR ... DATES OF BJll11f AND DU11f YeMBom... YeatDied ... FayWeldon Was thI$ QOrItrII>utIon 10 the work a ''work made for lUre'? AUIltOR'S NAnONALITY OR DOMICILE WAS THIS AUIltOR'S CONTRIBurtON TO THl!WORK KIho_Io_ Anonytnou.?:::V"" [i1No ~!:.""..:=" I'!o!a!!onymo<e? DY.. Iil'No - . _deoumr, OR{Utiunoi. UK DV.. il'No DomldIedIn" NOTE ~~:.;;::~ :::O~~.~ .. In. employee =r:.:~ NAME OF AtrrHOlt ... DATal OF BJll11f AND DEA11f -W--thlI-contribu---t;on-lo-dle-,,-ork-.--A-UTH--O-R,-'S-N-It;-n-O-N-AUTY--O--R-DO-MI-ClLE---.. -work 11'IOde for hire'? ....... 01 CO\.I*Y b • '"work made fOf hint-Ie WAS THIS AUTHOR'S CONTRIBurtON TO THI! WOIll( MIho _ 1 0 _ Year Born ... DV.. Y :':t.0.i!:I:...., '",_ I., hlr.' OR{Cltizmol.-_ _ _ _ _ _ _ _ _ _ _ in" Year Died ... DV.. D No ~~":=Io Anonymouo? D No Domiciled 1'!eudoclyInouo7 0 Y.. D No - . NATURE OF AUIltORSHIP Briefly deocribe nature 01 ma!erial ClMIed by Ihio .uthor In which c:opyrls/lt Is claimed.... check "Y ••-in In._ --. gI.. NAME OF AUl'HOR ... DATES OF BJll11f AND DEA11f Yell' Born ... Year DIed ... ""'If C ::::"u:: =-W:""-t/1io:""·-ooo-nh-Ibutkm=---Io-:'dIe-w-ork-.--A':":1JTHO==lt='S:::-:'N:::-A:-:no=:-:N':":AUI'Y=::":":OIl=-:DO:-::-:MJCJLE"':""::":":~-- WAS THIS AUl'HOlt'S CONTRIBUTION TO .. In. ....pIG"" (or r wort< ~l:'::'~ ::!~ ..nd _ OR{~'~~.in:"'~"----------- OY.. to, datu ::':'bI::. _oIeour.y "workmodeforhin!"7 W"'_ .. _ THEWOIIK OVa n Anoo:IyJrIow? No ~~":=Io 0 No ~"""'" .~ Pwudonymout7 0 Ya 0 No - . NATURE OF AtrrHORSHIP Bdo!IIy ~ notu~ 01 maIeriaI CIMIed by thio author In whId> copyrlsht Is c:loimed. ... 1Ne_ b ::-:.:..-=- . . . . . _:==- ........- YEAJtINWHlCHCIUIA'I1ONOFTHIS a WORK WAS COMPLI!TED 20GS .. v_. DATEANDNATIONOFI'lRSTPUBUCAnON.OFTHISPARTICULAltWQIIK ~ December UK. o.,~ 1 . ~ 200S --- _ .. 4 -..........., ~~==~~--------~-----------------~----------;II~~~~==~~~~~---------COP¥JUGHf Cl.AJMANT(S) N_ oncI..tdreu muoll» given.,.."lJ the dolmmt is the _ the autil« 1Ii- In opace 2. ., .... - as Fay Weldon, c/o Kim Witherspoon, Inkwell Management, 521 Fifth Aveuuc, New York, NY 10175 TJlANSFER U die dahnam(1) """""" hore In II*'! 4 is I_I different &om the ...abao(.) I'UIIIlIld In ~ 2. gin a bOd _ _ 01 how die daiman!(.) obtained ownmhip 01 die copyright. ., MORe ON BACk ~ • CompIe" . . appIicablol _ . (.u"' .... 509' on Iho ,..,_ _ oIlIIio ~. • _ daIIIIad - - - . . . • SIgn Iholomt .... e. I~ !J I::.gg '::ui.~itrili:l 1"5 1'i DONOT~_ P.,01 _ _ _ ~~-~---- A-482 Case 1 :11-cv-06351-HB Document 99-4 Filed 06/29/12 Page 15 of 17 EXAMINED BY CHECKED BY '. 'YffiA) FORMTX ~PONOENCE FOR COPYRIGHT OFFICE USE ONlY DO NOT WRfTE ABOVE THIS UH£.IFVOU NE£D MORE SPACE, USE A SEPARATE CONTINUAlJON SHEET. PREVIOUS REGlSTRAnON Has regisb"aIIon lot: !hi. work. or for "".arlin ""nOOn 01 this wort<, olroady boon modo in the Copyright Offiao? o Y.. 'it No If your ansWff is "Yet," why is another registration b«ing.ought? (d>edr. appropriate box.) " a. 0 This Is the fitst pubIW>ed edilion of a work pntvioualy ~ in unpubIiahed forD\. 5 b. 0 This Is the flnI oppIkation ...bmIt!.od by this author .. ropyrIsht claimant. C. 0 This Is a changed version of tho work. as shown by space 6 on this application. If your ........ is "Yeo," 9ve: Prevlowo Rep.tnUoll N......... Yar of Iloslelntloa .. DERIVATIVE WORK OR COMPILATION a Preexlotlng Malftiat Identify any pntexistlng work or worko that !hi. wort< is baaed on or incorpont... " 6 a b 7 Material Ad4H to TIolo Work Give a brief, general ._~I oIlht material that h.. boon .deled to this work lAd in which copyrighll5 claimed. " DEPOSIT ACCOUNT If Iht "'9.lration fee is 10 be cIwged to • Dopooit ACOJUnt establiahed in tho Copyright Offiao, give name and number 01 Account Name" Account N....... " Grove/Atlantic, Inc. DA061131 COItR1!SPONDENCE Give name and adcUea to which comsponclen<e about this appli«lionohouid be aent. Namel Addt... f AptfOty/SlatefllP" Janet Picknally, Editorial Production Coordinator, Grove/Atlantic, Inc. 841 Broadway, 4th Floor New York, NY 10003 Ar.. coda and doytmo IoIophono ...-..... EmaIl.. 212-614-7953 . t:i\~ janet.pJ(;knally~ oveatlantic.com CliRmICATION' I.tM undenignod. hereby cemfy that I am tho Check only one .. of tho work ldentiiied In thia appllcation one! that the _ _to made by me In this appllc:ation are COIMCt 10 tho bttt of my knowledge. TJtp.d or prIaI..t flAme and dal. " U thia application giveo • d .t. Janet F. Pic1rnally -~. acIdre. . : 0 other copyright daimant Downer of.xcluoive rtghl(.) .uthorized apt of _F:..a"'Y'-W_e_ld_o_D ___________ - . . 01 ......... rJ< _OOIII"'QIM - . rJ< _ ' " a_IIgnI('I.A. 8 of pubkotion in SF"'" 3, do not oign and submit it before that date. Dm .. CertIf~ willie lUlled In wIndow enwIope to this ~.uthor 09127106 9 ~. Janet Pidrnally, Grove/Atlantic, Inc. 841 B~aY, 4th mdor New York, NY 10003 $2.500. R-..uy ~""" WoblWt:.M'/2003 • PItnIod on ~_ u.s. _ _ Printing 0fIic.:200C)..081-113r.!O.021 \ A-483 Case 1: 11-cv-06351-HB Document 99-4 Filed 06/29/12 Page 16 of 17 Registration Number TX 7-138-911 Effective date of registration: January 20,2010 Title - - - - - - - - - - - - - - - - - - - - - - - - - Title of Work: The Spa Completion/ Publication Year of Completion: 2007 Date of 1st Publication: September 15, 2007 Nation of 1st Publication: United States Author • Author: Fay Weldon Author Created: text Work made for hire: No Citizen of: United Kingdom Domiciled in: United Kingdom Copyright claimant Copyright Claimant: Fay Weldon c/o InkWell Management, 521 Fifth Avenue, 26th floor, New York, NY, 10175, United States Rights and Permissions Organization Name: GrovelAtlantic, Inc. Email: permissions@groveatlantic.com Address: 841 Broadway New York, NY 10003 United States Certification Name: Mary Flower Date: January 13, 2010 Page lof I A-484 Case 1:11-cv-06351-HB Document 99-4 Registration #: TXOOO7 1389 11 Service Request #: 1-313059249 GrovelAtlantic, Inc. Mary Flower 841 Broadway New York, NY 10003 United States Filed 06/29/12 Page 17 of 17 A-485 Case 1:11-cv-06351-HB Document 101 Filed 06/29/12 Page 1 of7 UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK ----------------------------------------------------------------X THE AUTHORS GUILD, INC., et a!., Plaintiffs, Index No. 11 Civ. 6351 (HB) - againstHATHITRUST, et al., Defendants. ----------------------------------------------------------------X DECLARA nON OF JOHN WHITE L John Warren White, hereby declare as follows: 1. I am the literary agent for Jack R. Salamanca, one of the plaintiffs in the above- captioned action and I submit this declaration in support of Plaintiffs' motion for summary judgment. 2. In light ofMr. Salamanca's poor health, r have assisted Mr. Salamanca in connection with this litigation, including providing documents and information concerning Mr. Salamanca's works in response to written discovery requests that Defendants issued to Mr. Salamanca and appearing for a deposition taken by Defendants' counsel. I am fully familiar with all of the facts set forth in this declaration and am able and authorized to submit this declaration regarding Mr. Salamanca's works. 3. I began my career as a fbll-time literary agent in 1995 and presently represent approximately 36 authors. 4. r have been Mr. Salamanca's literary agent since 1999. Mr. Salamanca is Professor Emeritus of the English Department at the University of Maryland. He is the author of six novels, two of which have been made into movies. 19894,00 A-486 Case 1:11-cv-06351-HB Document 101 Filed 06/29/12 Page 2 of 7 Although only one ofMr. Salamanca's novels was published while I was his agent, I am familiar with all of his priur works. The Works At L<;sue 5. Mr. Salamanca is the sole author and copyright owner of each work listed on Exhibit A hereto (hereafter referred to as the "Works"). A true and correct copy of the copyright registration for each of his six Works that is registered with the U.S. Copyright Office is attached hereto as Exhibit B. 6. Although Mr. Salamanca licensed to his publishers certain exclusive rights in connection with the commercial exploitation of the Works, he did so in exchange for the payment of royalties and he remains the legal and/or beneficial owner of all rights in and to his Works. Hc ncver assigncd to any third party the copyright to the Works. Orphan Works Pro2rarn 7. In or around September 2011, I was contacted by Paul Aiken, the Executive Director of The Authors Guild. Mr. Aiken informed me that as part of a so-called "Orphan Works Program," an organization called HathiTrust had listed one of Mr. Salamanca's novels, entitled The Lost Country, as an "orphan candidate," and that HathiTrust intended to make a digital copy of the book availablc on thc Intcrnct for studcnts, faculty and users of the University of Michigan library to view, download, print and copy without providing any compensation to Mr. Salamanca. I informed Mr. Aiken that Mr. Salamanca's works were certainly not "orphan works," as Mr. Salamanca is still alive and I am his literary agent. 8. I was particularly troubled by HathiTrust's imminent plans to distribute electronic copies of The Lost Country for free because at that time I was in the process of finalizing an agreement with Tantor Media. Inc. (HTantor") to have that novel and four others authored by Mr. 2 InY4300 A-487 Case 1:11-cv-06351-HB Document 101 Filed 06/29/12 Page 30f7 Salamanca, digitized and released for sale as electronic books. A copy of that agreement, which was finalized and entered into on or about November 29,2011, is attached hereto as Exhibit C. A prior agreement with Tantor covering the digitization and electronic release of Lilith, entered into on September I, 20 11, is attached as Exhibit D. As shown on the schedule attached as Exhibit A, each ofMr. Salamanca's works has now been digitized and is available for sale as an electronic book on Amazon.com and other online retailers. 9. Had Plaintiffs not intervened to stop the Orphan Works Project and, as Defendants had planned, digital copies of The Lost Country were made available for others to view, print and/or download in full, Mr. Salamanca may have lost the opportunity to license the work for digital distribution. In addition, it is likely that Defendants' unauthorized digital release of lhe Lost Country would have adversely impacted Plaintiff's anticipated revenues from sales of both the paper and electronic versions of the novel. 10. While this lawsuit apparently caused HathiTrust to halt its Orphan Works Program and prevented Mr. Salamanca's works from being distributed online, I am deeply concerned about the potential harm to him and others if the program resumes. Mr. Salamanca is easily locatable and, in fact, was found by The Authors Guild through a simple Internet search. Had The Authors Guild not contacted me, neither Mr. Salamanca nor I likely would have become aware of Hath iTrust's plans to display and distribute electronic copies of his books until it was too late to prevent their harmful effects. Defendants' missteps strongly suggest a lack of thoroughness on their part and an ineffective system of notice for authors whose works are listed as orphans. This is likely to result in substantial economic harm and to undermine the potential of bringing older books back into print, a possibility that was imminent for Mr. Salamanca and likely very real for many other authors whose works are supposedly "orphans." 3 19WI4301) A-488 Case 1: 11-cv-06351-HB Document 101 Filed 06/29/12 Page 4 of 7 Otber Unautborized Uses OfTbe Work 11. In addition to misidentifying The Lost Country as an orphan candidate, it has come to my attention that print copies of Mr. Salamanca's Works were copied without his permission when they were digitized by one the defendant universities (collectively referred to herein along with HathiTrust as "Detendants") in partnership with Google, as part of the HathiTrust and/or Google Books projects. This digitization took place without Mr. Salamanca's or my knowledge, consent, or approval. We did not authorize Google, HathiTrust, or any of the university defendants to digitize or make any other use of his Works. To date, Mr. Salamanca has received no compensation of any kind for Defendants' digitization and various uses of his Works. Harm Resulting From Defendants' Otber Uses OfTbe Works 12. As an author who depends in large part on the value of his work to earn a living, Mr. Salamanca agreed to join this lawsuit as a plaintiff because he believes Defendants' unauthorized digitization and use of his Works has harmed or threatens to harm him in a number of ways. 13. I have reviewed the Declaration ofTJ. Stiles and agree with and incorporate by reference Mr. Stiles' descriptions of the various harms and potential harms caused by the Defendants' actions. Two differences between Mr. Stiles and Mr. Salamanca are that (as described below) Mr. Salamanca's works were out-of-print at the time Defendants' digitized his work, and he had not yet chosen to make his Works available in digital fornl. However, these differences do not change the fact that Defendants' actions are causing and threatening to cause damage to him and to the value of his Works. 4 19894.300 A-489 Case 1:11-cv-06351-HB Document 101 14. Filed 06/29/12 Page 5 of 7 Although his Works were not in print at the start of Defendants' digitization, the hanns articulated in the Declaration ofTJ. Stiles nevertheless apply because all of his Works are still protected by copyright law and he still held the copyrights. Whether his Works are in print or not, he has the right to choose whether or not to engage in licensing agreements for any uses of his Works, be they electronic publication, digital archiving, non-consumptive research, fulltext searching, or other derivative uses. By preempting his right to make a decision as to how he wishes to exploit his Works, Defendants have narrowed the scope of his rights and lessened the strength of his control over his own Works. This is illustrated all the more deeply by the fact that Mr. Salamanca was engaged in negotiations to electronically publish his Works while Defendants were proceeding with their own unauthorized digitization and imminent distribution of The Lus' Cuuntry in connection with the Orphan Works Program. 15. Mr. Salamanca is entitled to detennine whether, when and under what circumstances his Works are scanned, digitized, copied and used. Defendants' insistence that the new, complex, technologically-enabled uses they intend to make of his Works should be pennitted without his consent dangerously presupposes that copyright law does not give authors any right to control how their works are used and exploited in these contexts. To the best of my knowledge, this is not the law in the United States. 16. Defendants argue that uses of Mr. Salamanca's Works that do not allow individuals to rcad the text, such as non-consumptive research and full-text searching, do not inhibit sales of his Works or deprive him oflicensing opportunities and therefore do not require my pennission. This is not so. As the Declaration of TJ. Stiles points out, these kinds of uses represent a new market whose value is evidenced by Defendants' use of his Works, as well as the works owned by the other Plaintiffs and the millions of other works Defendants scanned and 5 19894300 A-490 Case 1:11-cv-06351-HB Document 101 Filed 06/29/12 Page 6 of 7 copied. Mr. Salamanca has the legal right to decide whether or not to permit these uses, and to seek remuneration for these uses if he does decide to allow them. Defendants could have asked pennission to digitize his work, but they chose not to. 17. In addition, by failing to seek a license, Defendants eliminated the usual mechanism that authors use to exercise control over our work: licensing or other agreements that definc terms of use and hold liccnsees accountablc. Whcn Mr. Salamanca has licensed the electronic rights in certain of his works, for example to Tantor, his representatives, myself in particular, have been careful to ensure that he obtained appropriate financial benefits and other contractual protections. When Defendants make digital copies without his consent and without a contract, he is rendered powerless to dictate terms as to how his Work mayor may not be used. He also has no ability to insist that HathiTrust take security measures to protect his work. He has no power to ensurc that the infringing copics of his work arc truly in a "dark archive" that is not accessible for viewing or further copying. He has no assurance that Defendants' actual use of his work is limited to the uses they claim to intend to make, and no power of enforcement if their uses exceed this scope. [The rest of this page intentionally left blank] 6 19894300 A-491 Case 1: 11-cv-06351-HB Document 101 Filed 06/29/12 Page 7 of 7 I declare under penalty of perjury thut the foregoing is true and correct. Duted: Cheshire. Connecticut June 2~, 2012 7 A-492 Case 1:11-cv-063S1-HB Document 101-1 Filed 06/29/12 Page 1 of3 EXHIBIT A ! i .. TITLE " Jack R. Salamanca The lost country: a novel A sea change That summer's trance: a novel Jack R. Salamanca Jack R. Salamanca Jack R. Salamanca Jack R. Salamanca Southern light: a novel Embarkation AUTIIOR r --- - - -· -- ·- - ·· - . I 976INew York: Bantam 2012-03-08/Connecticut: Tantor Media 1974-10-24/London: Cassell S UBSEQUENT PUB(S). -. .- Filed 06/29/12 2000-061New York: Welcome Rain 1969INew York: Knopf 2012-02-16/Connecticut: Tantor Media 2001-07 -lOIN ew York: Welcome Rain 2012-03-08/Connecticut: Tantor Media 2012-03-08/Connecticut: Tantor Media I 970INew York: Bantam 2012-02-14/Connecticut: Tantor Media I 958INew York: 1961INew York: Pocket Simon & Schuster Books (under title "Wild in the Country") 1986-02-12INew York: Knopf I 973INew York: Knopf FIRST PUBLICATION EXHIBIT A Case 1:11-cv-06351-HB Document 101-1 Electronic Electronic Electronic Electronic Electronic MOST RECENT PUB. HARDCOPY OR ELECTRONIC? -- -. Page 2 of 3 Screenplay: PAuOO 1187325 1984-06-25 TXOO07502316 2012-03-12 AI49560 1969 REOOO0313041 1986-12-11 AOOOO0364416 1958-10-29 TXOOO 1800562 1986-04-08 A501943 1973-10-31 REGISTRA TIONS OR RENEWALS U.S. COPYRIGIIT - - ··· · · --- ---- --· ~ - j , .. l A-493 Jack R. Salamanca ~" -" " "~' -- '-------"'- I AUTHOR ,----_._-- - _._-_ . I Lilith TITLE 1961INew York: Simon and Schuster PUBLICA TION FIRST .......... __,_... _... ~.'"-- -- . Tantor Media 2011-10-10/Connecticut: 2002-02-20INew York: Welcome Rain 2000-04-0 1INew York: Welcome Rain 1973/London: Bruce & Watson 1965lBarcelona: Plana & Janes (Spanish translation) 1964INew York: Bantam I 964/Geneva & Hamburg: Verlag Helmut Kossodo AG (German translation) 1964lLondon: Pan Books 1963lParis: Stock (French translation) 19631Milan: Longanesi & C. (Italian translation) 1962ILondon: Heinemann 1962INew York: Bantam ...-.-- -... - R£GISTRA TIONS i - U.S:-CoPyRIG ii"T-1 Electronic REOOO0463295 1989-12-27 REOOO0459151 1989-12-21 AOOOO0515978 1961-07-24 O~-'i:!-,~«;!R.J>~1~7 _ _ QI(.~EN~'Y~~ __ __ MOST RECENT P UB. HARDCOP\' . - -~- - - Filed 06/29/12 Page 3 of 3 SUBSEQUENT PUB(S). Case 1:11-cv-06351-HB Document 101-1 A-494 A-495 Case 1:11-cv-06351-HB Document 101-2 Filed 06/29/12 Page 1 of 21 EXHIBITB A-496 _ . . . .cc....: FORM A CLASS gpptiradon for Rtgtmation of a ~lafm to ~opytight uot: ~:. .....~.9.~!L ...... 'J ,.MIsbtd AA book manufachlred in lbe United States of America ....i .....1 Make sure that all applicable spaces bne been _.t . . eta! before you .ubmit 1M loon. The application mlUt ...... at line 10 and tM AHIDAWIT (1iDe 11) PLITID AND NOTAIIZID. The application should not be i~ until after the date of publication given in line 4, and IIIould state the facts which ex"ted on that date. For further l ~ eeepase4. ~EGISTRAT/ON NO. 149560 DO NOT WRITE HERE Pases 1 lad 2 should be typewritten or printed with P< and ink. Pages} and 4 sbould contain aactly the same inlormatio as paps I and 2, but may be carboa copies. Mail all ~aes of tI: application to the Register of Copyrights, library Of Consres Wuhington, D .C. 20~~O, lOselher ",ith 2 ropies of the best editio of the work: and the regiJttatioa fee payable to the Registrr of Copyrigbll. at $6. Malee your remitbDl I. ~t CIa....tI.) .. II A. .,..C •• , t Give the name(s) and addressees) of the copyright owner(s). Ordimrlly the _ lbouJd Iir the IIlIlC as in the notice of copyright on the copies deposited. ".;.. _.J:.L..lt,..~.l§!lM!TI.~.!L __ _._................................................................................._ .. ...... _...... ......_ ...._ ~ IOIe ...._ _ ._ _ ._ ..._~_~.17....M},.~~el..'..~.Jh:!y.~......~~t.h~~.4.1!.1 ...~.r.Y..l.~.lt .................. _.. ..... marked "IX)," notuy public. >II (s (3) of prindDg wbleb am the k described ill this . ~ .....A ........ ....... ... ........ ... . .. SEA CHANGE ." --...... ............... ..... ................ ....................... ......... ................... ....... ..... ... ........... ----............. . (Gift the tid. of the book .. it '"pun on the title p.,.,l or..aizadon claim· in this application; pplicatlon, on: Citizensbip and domicile inf01'll'lSuon must be Biven. • work: w .. made for hire, thr rroployer is the author. The .uup of organiutions formed under U.s. Federal or State IhouJd be st.ted as U.S.A. Authors may be editors, compilers, Uii······.... ·· .... ·· .. · s performed within from ty~ set lei within me Wnia 'ithin the limits of . and bindina were translators, illustrators, etc., as well as authors of original tat If the copyright claim is hued on new matter (see line ') giv• requelted informatioa about the author of the new mattu. ~,~ .. .,.J ......R •... Sa1ausnca ............................................................... _...................... _ StateS .t. (Giye ~ umt followed"'" PI<\I~OD"" if lilter ._ra OA CitiacD&hip ......... ~AL (N_ of country) .._ ....._.... the copits) JCH TY!'lsmiNG ID IINDING. ETC.) 10 U.S.A. Y.. .. .............. No ............... In U.S.A. 'u allo".) ..th.................. .. Y.. ......... ..... No .... _..... ..... Addr... .... .. . ....................................................... ...... ........ . Addreu . . ..... ............. ... ..................... ................ _ ........... ................. ............. ..... ... _ ... .. ... .... W "'lleatC... of T... EIIIIl ••: Give the complete date . ' ~es of this particular edition were: first plared on sale, l ll .p ublicly distributed. The date when copies were made or printed sbould not be confused with the date of publication . NOTE: The full date (mexXh, day, &ad year) must be Biven. For furtha- information, scoe J>aBI' 4 . -·-:-··--.. ··--···----·· .... --··· . ·..·-- ..·....·~·~·'P·f:=r! ..··..(Ditj~.. ··..·..~tr · ··· · ....··....······· . ·· . ..·............---......-.. ··· Of'" . . CNOTl: Leave 11M • It......IDI..........1 I......ctlo. . .pply t ...I• • .. 4C If any substantial part of this time in this version. New matter may consist of compilation, . .. M , I. nil V•.PlI.a: ..... _ hem previousl, published anywh~e, ~.e a brid'. general t bf the nature of the new matter published for the first -" ~- •• . ~ . - - -_. -- translation, abridgment, editorial revision, and th~ like, as well IS additional tat or pictorial matter. __ - . . __ - -- ___ _._-_ •••. -•. _.. -•• . •. _. - ._ . .•• ••. _e. _. _.••. . •. .••.•••• __ _._ .. . ...• 0 ___ • • __ • • _ _ _ _ _ .e __. ,," __' " . ____ .,_ . __ ___. _. __ . __ ___ . •_ . ~OTII 'Lean II •• , ~ .... u ...,. ..... 1M•• a PREVIOUS FOUIGN IDmON la ... ..,11,. I••,..,• •, . . . . Ie ...11•• ',.vl••• 1y Maallfact.ratI . .4 'dllI... 1I Anal!: If all or a substantial part or the text 01 this edition 101Ii1, manufactured .na· ~bli.hed abroad in the English lanSWlge, complete the following 'Paces ; ... W", ......... of fint publicatioo of foreign • edition ......................... .. (Year) Wu registration for tbe foreign edition made in th~ U .S. Copyright Ollia? Yeo .... ..... No ......... EXAMINER IDswer is "Yeo," Bive regi.tration number .... ... ...... .......... ............. .. _...... ................ .......... f -nY A-497 Case 1 :11-cv-06351-HB Document 101-2 Filed 06/29/12 Page 3 of 1. If ....Iahtf_ ... II h .. c....tI te • •,.... ................. II ... Copyrf.... oe-. .... ~ . . . . . . . ,.,....,.,........... h . . . . _ . _.,,......,If ..,.....w .. u . . . . . . . . . . .- ~_l'1.z~.~~J:..~!:~~!...~~~:.... _............... _...__. gppucaoo1 'I • puldlsh•1 Add.- ... _•.••••• __ ••••••••••.• ,.hM ............. . M8h . . . . . . . . . . . . . . . . . . .- -• • • - . - • • - -. . . . . . . . . . . . . . . . . . . . . ..... N_ _ PI,..l ~, ••••• _............ ....... _ __ ..' A1 fted .A•.. ~p ••Inc_ .............. _................... .. N. . . et.ceHtl ~--------------------------------~ 201 East 50th Street ....... , ...................... ··-·· ..··_-(N"ua.Iicr·oiiC\··oiieiij"····· .. •••·• ..•• .. •..•••..·······-· .. ••... " ---.--.. Jif!M.··~f--········-··_»~pJ.:k·_·····-···--12B2.:r.T··................ 1.. (NOT!: App1latioa DOt IICceptable lIIlkH siped) 1 Cl!I.TIFY that the _ I I made '" _ io tbU application an C'OrftCt to the belt oi mr Imowled&e. J. ...·. nd.., ....)· ···-....···-~~S~)~.----·--··. ~;~1I1k to~ 11. AtI4IeYtt ' .... ItuUuctioo,: IpAa!I with special attmtiol1 "CX)." (2) the ailidavit before &11 officer luthocW!d to odminist~ oaths withia the Uniu!d SlUes•• um u a IlOtIU7 public. (~) Have the oIIicer and -.l the allid..,it and 61I1a the d8te of encutWo. " NOTE: The ailidnit mud be ,iped and _ized only D& ~ II/ur the date oi publiadon Of complecioo oi printlna whicb it n. alIidavit ellst be tIped '" &11 iadiYidulJ. I. the UDdmiped, depote and ray that I am the o Penon claiaIiq coprrisht io the book described ····1 sn COUNTY Of ......~••XQ~......................... That the book WIll publisbed Of the printlna wu completed 00: 'X) ...............S.~.P.t.embe.~ .~ .. r.l9.~9. ............... . . --1GIn ....,. &4d )'Ur' That, of the MOUI proceueI employed in the production of the copies dqositN, the settina: oi the type wu pedOJmCd withia llaUtI of 1M United StJleI or the inalcins of the platel was performed wi!hJft the limlll of the United Slata from . the Iitbopphk or pho~ procellet uJed in proclucll1l the test were wboUy pedormed within the Umits and that the prinlini 01 the text Illd the bindinl (if any) wen: abo perfoDDCd within the limits oi the aettID.&. platenaltio&. litbopph!c Of photompYin' ptOCCII, ptintlnJ. and bindlna weJe performed '" the indlflCl..b It the foUowiq..Idnssea : ,em ntl NAMn AND ADIDSSII Of! THI I'IUONI 01 OIGANIZATIONS WHO "IIPOlaUI IUCH 'rY1.n.n'll 01 I'LATlUKJNG 01 UTHOGIAJIHIC "IOCIII 01 I'HOTOINCIIAYiNCI nocul 01 .IINTING AND IUllDIlItGI, N_ un ...a«dd9..u..Crafta~tL. ...................... _ . ... 59 •. Add:eOO ...._ _ ••C 'LACE H£R& ..... .. ., SUM!' J. AIItIIon: Ci Ii z W1ae« • work "'" dtl:ceiublp of o'g ~... should be sial ." Johr Nl1III!. , .-~ ""1: ';'. ~laU.S.A. ;) ~r:~"~ ~ ~AIIIG · . , . ... . 000aIdIed ill U.s.A. DomkJIed NOTARIAL B£AL BO,] lr. T1Ha.! application ; Ow, authorize.:! aaeat oi the jIenon Of orpni2atioa riaht io the bOok described io thiI IpplicatiOO; o ~tet 01 the book described in thiI application. ~ c.nrftIIt eN ~ 6c the J&Dl' Johr 14_--'" CerIfIcofIoa: STATE Of •. ·······~~··!gN.:. ..············.. ···.. I. u. U.S.A . • , hte et '_I~ wh<n copies of tI aoId, DC publicly, - ....... M_tt.r' wadr:hu"-tpreStltemmt of the r. ........-.~.~~p.~ APR. 2 I, 19 '/ 0 . . . NOTl: 14 APR 1970 I .. .... .. r.,N preorlousJy manu/I 0.. of 6nt publ 11.1._,..,.._.- U J'.OIU answer il A-498 FORM A Bratton for Rtglstratton of a ttlaim to ttop~right ".blished book manlfactared In the United States of America lUIlIIiI..rtt... : Make lUre that all applicable lpaca ban been · -'eel before you wbmlt the fonD. Tbe application IIIUSI at line to and the II/fiJ-iI (line 11) compl.ted and f.JII_rCMd. The application Ihould aot be Illbmlaed uatil alter • • of publlWion &inn in line ". uxI tbouId ltate rhe . 1Ihicb .emted 00 that date. For funber illformatioa, ....... Pa«a I uxlz abould be typewrittell or prioted wiIh pea ud iDk. Paps, aad " abou1d contain aaa1y the _ iDformauas ~1eI 1 and l, bUI may be carbon copies. Ma.d all J>l.lca of rhe application to die RegllW" of CoJ>Yri.thu. Libruy of Cooareu. WatbiD&ton 15, D. c., rocerhet'Wida l copiea of the best edition of the work and tbe reaiauatioA fee of $4. Make your relDittaDce payable to tbe Reai.ter of Copyrjpu. t. Cepyrt,. . . C....4IIItbJ ..II "1111..... (.. 1: Gin the DI.mf:(.) and addressees) of the copyrilht owner(I). . ..-(. ) aIIouJd be the _ at in the DOpa of copyript on the roples depo,ited. Ordinarily the _. ______~~~_lt._~_e.1~!ar;!?2__________________ ..______ ... _..... ___ ...._ _____________ ___ ... marked ·'(X)." Hne .bIic. (,> 1!tJ.¥--------------------------------------------------.. ----------------------------..----------------------.. - - , ' f pdatina which TIC LO:.c T ::OU'!-:TT:Y or orpuizatiOll tb.it applicarloo; " ' f .•••••------.---.----.-----------------------------.---------.---------------------.-------.-----------(GI.. the tiel. 01 rho book .. it appean aD ,be <ld......) -- _----- ---------------- -------------- - ---------------------------------------------------- -- ------ ---------------- ...... -_ ... .... " ......: Citizenship aad dmnicile informluion must be Where a work was made for hite, the employer i. the • 1hc dtlzenah~ orlanizatloru formed uDder U. S. >J>licatioD. may be editor.. compilers, uanslaton, iIlusttaton, etc., as well as authors of original teXL U tbe copyright claim is based on new matter (1ft line .ive requated information n ___ C_~;~~~~~_~;c:l~-:~.~--~~-.~-~::~--::-=-~~:~-~~-~~-~::~ E~:A~____ _ (Gin ItpJ . . - followed by ..........,.. If IarCa . _ OIl rho eopict) £HE COPIES- ·lI....... .I1_IIdIo... in u. s. A. Y.. ___ ~___ No ________ Addnu _________ .~_~~:~~_~:___c:2:_~~ in U. S. A . Y .. _______ (Name 01 COWIur) _______________ .___________________________ _ No ___ ____ _ A.s.u.. _______________________________________________ ._. __________• __ ________ _ .. '''lIeatl••• f This Idltl.. : Give tbe date when ropiH of this edition were int placed (NOT.B: The full date (moarh. day, aDd,.....) mUlt be given.) '11I1Id_d. 011 we, 1O.1d, or publicly _________9ct?.l:> IS!~ __~2.1_);2?~__ ....__________________________________________________________ ._______________ _ . ."IyL..... .... ...... _ ' Metter .. ,.... , .. ,.10.: (NOTE: ............U..... lutntctlou put of dlia W9rk has been previou&ly puba brief a-ral atatement of the DaW~ of rhe new IIIbstaatial ftI""~·ft '10. wotl.J matter lu rhia venWn. New maner ma,. coosUt of compilatioa, traDJl.tion, abcidllllent, editorW revisioa, and rhe like, as wd.I as additional teXt or pictOrial me ner. ----------------------------,------------_ .. _--._---_._--------------------------------_ .._--------==-.....----•• ItIItIH ....... Ie ....la. "rat M.....e............ !'I1!IIIk4 AMooII: (NOTI: a..-......... III............ .. ....,.ctIe. . .ppty ~ till. w."') If thla i. the ...... " - dote of inl publicatiOA of foreign edidoc -.---_________ . (You) U. S. editioa of a book in Enali" and all or a IUbacaDtlal part of the Eaalish te:IIt of lID earlier fora ... edition ..... _ulacrured and inl published abroad, complete rhe folJ~ ....en. For IItrlHr i./rm.tlJio., ,,, 1M1l' 4• No Veo Wu claim to ad lutuim copyriaht rcaistered in the foreign edition 1 '!~ 10 ad lulerim COJ>yrighl was .", regi.tered, i. U. S. copyright in rhe fordp edition claimed ......e of !he UnivenaJ Copyrlaht Convention? o o Y. No o o A-499 p.ge I ,gpp.HI in a pul ;/; G:...il.P1l xd '':'. • 1. .: ,. ~ (Type or prim Dame aDd addreu) C ')',. :; .. . : . ; _ - _ __ . _. I•• 1.. _t; ;-~_:.:.:.:_=_~~i::Z::~_ 4:_~_~_ _ _.__ _ ~ Certilcatlo.: (NOT.I!: Application I cnTUY 7. (:r-) ( CiIJ) DOt acceptable ual_ aip>ed) MR (SiaaIl1aR 01 tOllt'rip! daimaa. ~Uiborized "_I - 11. A.dolt ,.....,.11 .., 1 1. butrucUOGI: (1) Fill 14 the bI. . ipaca with special atwuloc 10 tboM marked "(X). •• (2) Sip the a1Iid&vit before an ofticu authorized 10 adminiJut oaths witbl4 the United Stata, tum u a notary public. (3) Ha the officer sign and - ' the aIlidnit Uld fill 14 the "re of exmItlOl1. NOTE: The a/lidayit mUlt be 'i~ and aowized onlf O. fir the dare of publicatloa or completioll of priatial wldcia it ltateS. The aHidavit mUlt be.iped y aa individual. " I, the uodusiped, depo.. aad 1&)1 chat I UII the .. .,In I ·'ceo'. :':.::~ k STATE OP ....... .....• :: .... - " ••.•••.••..•.•••.....••.•.•. o II: PcnoIl daimina oopyriabt in the book desas'bed in diI( applicatioa; rn: 'Iha ...................... duly authorized . . - of the ~ or CIC 011: Addt ...... 3. AlI"or (X) _. ____ .. _ _.Q~_!&.Q.eL.22+~ ____ .. _ • (Gin, -do, dl" lAd yeu) .1 That of the variOUt ~_ employed in the produruOIl of the copies depolited, the Httiaa of the type and the makio& of ~ or the lithopapbi£ or pboweograviDa procClla ...eel iaJroduClOg the tat, were 1ICd0rmed witJlin the limiu of the (Jait" States. and that die prlatia. of the Iex& and the biading any) were also performed within the limiu of the United StaW, t 'That these procCIICI were 1ICd0rmed by the folloNg e.tablisbmeou or iadlvidual. It the follow"", addre..a: : r (GIVE TIll! NAMES ANt> ADDRESSES OF THE PERSONS OR ORGANIZATIONS WHO PRODUC1!D THE COPU!S-- ·. TYPESETTERS. P1UNTl!RS, BINDERS. ETC.) I . Inc. ::..1._____________ .>.ine;sno.rt Press Name. (X) _______ < - _______ ... N.--.... Z. TltI., • o Tbe p814ut of the book described in this applicaUoII. That the book wu published or the printia. wu completed - ~ --------- A&WtUI··· cl&imiaa copyript in the book dacrt'bed in this ap~. COUNTY OF .........~:~.~.. ~?~:~ --...--- ... N.--." ",+ '1' AdcItuIea (X) .____ JI(. . .'_!i-'<~Q~.l<,.~s.:J~----- ~ . ' 1'' .1' ------------ ...--------------..... -----_...._-_...__ ..----_.. _------------------------- ! Biven. '" author. 1 Federal 0 :;:-lib _ · N .... ___ • DQlIliciJed i N""", __ .. _ DOII1iciledi Na_ ... __ Domiciled I 4. Dot. PLACE 0' distributed NOTARIAL SEAL HERE ---_ .._-------nil COI'YIIICIIIT oPnea .... ... OIILY (~'Oi~ilied in tt.16I ...... Qili~OtIn!L lisbed. 8iVl 3 '. C .~~ _ ~ ------ ...~_-- AppUoallon and alYtd ••1l no ..... d ~OIJ S, N•• /I 1110011 lIole ff .&Ilr ,ube 19 1953 . : .... . . ------- Two copl•• recel_ 6. U. S, E, '.11111110 .. fonowl., NOV 101958 'Mrtcsl." Year dace · KEj\)~C~1 U claim - - .- "'""" by vlnue 10 0 A-500 Case 1:11-cv-06351-HB Document 101-2 Filed 06/29/12 Page 6 of 21 ISSN 0041-7815 Catalog of Copyright Entries: Third Series Volume 28, Part I, Number I, Section 2 Books and Pamphlets Including Serials and Contributions to Periodicals Current and Renewal Registrations J anuary-June 1974 COPYRIGHT OFFICE • THE LIBRARY OF CONGRESS WASHINGTON: 1976 A-501 Case 1:11-cv-06351-HB Document 101-2 CURRENT REGISTRATIONS 1'11 day 1n the ye8r. A5019}O. Trucki~ 1t1Srg@rA: Ll. rl1gulatorv viewpoint. By James C. Johnson. 2'7 p. t) D.. C. H('o.th and company; 16Nov7~; A')(ll~nO. A501931. Prices and "'ae~s- in U. S. manufacturing: a factor analysis. By Na.ncy Smith Bar-rptt, Ceraldine Gerardi & Thom.as P. Hart. ~12 p. 0 D .. C. Hl!:Jsth and Company; 6Nov7); A501931. A50 19,2. Purt" cont.raption: I1s~ays. f) Filed 06/29/12 Page 7 of 21 composerle By Ned Rorem. 149 p. By Ray Bre:dbury 4 A50l96o. A Skunk in the hOU8e. By Constance Taber Col by, photos. tAken by David L. Wertheimer. 144 p~ {) Con&tance Taber Colby; 16Apr73; A50196o. 143 p. Nl-\: revisions I< additions. Ray Bradbury; 31Oct73; A50l945. ~ A501<J46. Sula. By Toni Morrison. 174, E • Toni Morrison; 29Nov13; A501946. .(i A501961. The R master. A501947. Golden shadows. nying hooves. By George B. Schaller. 287 p. Portion prev. pub. in June 1970 issu.e ot Natural history magazine. i') George 9. Schaller; 3lOct73; A501947. II Ned [{orem; 2Jan-r4j A501932 .. AS01<J41l. SOCio)ogy and estrangement; three sociologIsts of Imperial Germany. A501933. Cosmic laughter: science r1ctlon for the fun of it. Compl1ed by Joe W. Haldeman. 189 p. NM, compilation. () Joe Haldeman; ;:>,Tan74; A501933. A501Q34. Tonal harmony 1.n concept and practice. By Allen Forte. 2nd ed. 502 p. '0 HoI t, Rinehart and Wins ton J Inc.; 2Jan74; A50l934. Dy Arthur Mi tzman. 37", p. 'Q Arthur Mitzman, 31Oct73, A~01948. A501949. Block by block; rebuild1ng City neighborhoods. By Martha E. Mun~er &: Helen W. Vogel. 164 p. Appl. states all new except preY. pub. photos. © Martha Munzer" Helen Vogel; 160ct73; A50l949. A501935. Dramatic theory and criticism. Greeks to Grotowskl. By Bernard F. Dukore. 1003 p. () Holt, Rinehart and Winston, Inc.; 2Jan74; A50l935. A501950. Bukhar1n and the Bolshevik Revolution; • political biography, 1888 - 1938. By Stephen F. Cohen. 1'95 p. NM, 85';: new text &: Bome photos. :0 Stephen F. Cohen; 3lOct73; A50l950. A501936. A501951. special education 1.n transition. Edt tor, Lloyd M. Dunn. 2nd ed. 600 p. 0 HOlt) R1nehart and Winston, Inc.; 19MA1'13; A50l936. consequences of Stalinism. By Roy A. Medvedey, translated by Colleen Taylor, ed.t ted by _David Joravsky &: Exceptional chtldren in the schools: A5<l1937 - A501938. The Dragon Kite. By Thomas P. Lewis, pictures by Errol LeCatn. 1 v. L~t history jud'ge; the origins and Georges Haupt. 566 p. Appl. au.: Al fred A. Knopf. Inc., employer for hire a NM; translatton. editing, introd. &: glossary. t? Alfred A. Knopf, Inc.; 24Nov71; A5019S1. o A501952. 2Jan74; A501938. EdIted & with an 1ntrod. by Anne 'lUcker. 169 p. on text; Thomas P. Lewis i 2Jan7 1 1; A501937. 0 on 1l1us. j Errol LeCainj 'Dle Woman1s eye. N'M: editing, text, 1ntrod., photos. & •• lected A501939. The Student who became king in spite of himself; a Hungarian folktale. Retold & illustrated by Francois Colos. 1 y. CI Francois Colos; 2Ja1174; A50l939· A501900 - A501901. Christmas in the Southwest. Text by Joanne B. Young, photos. by Taylor Biggs Lewis, Jr. 63 p. e on text; Joanne B. Young; 190ct73; A50l9Uo. () on photos.; Taylor Biggs Lc\O,'1s J Jr.; 190ct73; A501901. A5619l12. Emba rka t 10n. By J. R. Salamanca. 273 p. 0 J. R. Salamanca; 3l0ct73; A50l942. A50l943. rHckel Mountain; e pa.storal novel. By John Champlin Gardner, with etchings by Thoma sO' Donohue. 312 p. Port ions prev. pub. in different form in Quarterly review ot 1:1 terature & others. ~ on addltlonal t.ext.; John Gardner; 23Nov73l A501'l43. A5~~~imc works. By Thomas Bernhard) translated from the German by Sophie Wilkins. 241 p. Appl. au., Alfred A. Knopf, Inc., employer for hire. Translat10n of Das Kalkwerk. NM: translation. 0 Alfred A. Knopf", Inc.; l6Oct73; A501944. 1633 b1bliography. 00 Allred A. Hhop!, Inc.; 23Oct73; A501952. 1'.501953. The Modern parents I guide to baby and child care. By Violet Broadr1bb &: Henry F. Lee. 458 P. :c> on text; Violet Broadr1bb &; Henry F. Lee; 12Jul73; A50l953. A50l954. The Modern parents' guide to baby and child care. By vtolet Broadr1bb &: Henry F. Lee. 458 p. Appl. au., Sanford K08sina R) on illuB.; J. B. Lippincott Company; l2Ju173; A50l954. A501955. Thl! Story of Serge1 Prokofiev. By Helen L. Kaufmann. 160 p. NM: text. e Helen L. Kaufmannj 27May'l'l; A50I955. 1'.501 956. The Secret museum. By Sheila Greenwald. 127 pa ~ Sheila Greenwald; 16Jan74; A50l9?6. A501957. Heads you win, tails I losea A novel by Isabelle Holland. 159 p. :() Isabelle Holland; 24Jul73; A50l957. A501958. A Simple act of klndaesB. By Winston M. Estes. 320 p. :0 Winston M. Estes; 3Apr73; A5019?8. By Gordon Ra DicK8on. 216 p. () Gordon R. A50196l. D1c~son; 19Oct73; A50l962. The Fearful void. By Geoffrey Moorhouse. 288 p. tI Geoffrey Moorhouse; l4Jan74; A501962. A501963. GranoJr'18 s ters of chess. By Harold C. Schonberg. 317 p. Port ion8 prey a pub. in Harper's magazine &: 1'h@ New York t1mes magazine. NM: additional text. IC Harold. C. Schonberg; 40ct73; A501963. A50l964. DeaUng with cheats. By A. D. Livingston. 320 p. Portions expanded from article entitled A sawyer takes the pot anytlrne prevo pub. in. Sports illustrated. M;, additional text & pictorial IDattel". () A. D. Livingston; llOct73; A50l964. A5 0 1965 • Curricul1,lM and instruction in nursing. By Virginia C. Conley. 673 p. () Little, Brown and Company~ Inc.; 3lOct13; A50l965. A50l966. The Economics of industry. tJy Roger Sherman. 426 p. o 11ttle, Brown and Company, Inc.; 2Jan74j A50l966. A50l967. ':'he Devil and John Foster Dulles. By Townsend Hoopes. 51\2 p. o Townsend Hoopes; 190c t73; A50l967. A50196B. The Dione Luca~ Book of French cooking. By Dione Lucas &- Marion P. Gorman, illustrated by Joseph S. Patti. 9:15 p. Portion (5%) prevo pub. in 1947 1n The Cordon bleu cookbook. NM: 95% new matter. () Marlt ~5~i~.M8.rlon F. Gorman; l8Nov7~; A501969. 'In cheese. Wine; the first beverage of French clJisine. By L1.or:el H. Braun. (In The Dione Lucas Book. of French cooking, p. 687 - 697 &: p. 858 - 871) 0 on articles ent1tled On cheese &: Wine: the first beverage or F'rench cuisine: Lionel H. Braun; 18Nov73; A501969. A501970 - 50197l. Somebody j s dog. By M1 ska Miles (Patricis Miles Martin), illuBtra ted by John Schoenherr. 47 p. 0 on textj Miska Miles; 13Nov73; A501970. o on 111us.; John Schoenherr; 13Nov73~ A50l97 1. A501972. Political change 1n the United states: 11 framework tor 8.nalys1 s. By Kenneth M. Dolbeare. 246 p. () McGraw Hill, Inc.; 17 Jan74; A50l972. A501973. Going like sixty, a lighthearted look at the late:r ,years. By Richard Willard Armour. 133 pa Q Richard Armour; 15Jan74; A501973. A50l9?9. A5~~5~lCPhants last 1n the dooryard hloomed; c~lebr.tion8 for almost any So far from h~*,ven. By Richard Bradford. 273 pa Condensation of' this novel prevo pub. in Redboolt. 'Q R1chard Bradford; 17May73; A5Dl959. A501974. The G€ ography of crime and justice. Keith D. Harries. 125 p. '" !(cOra" KUI, Inc.; 15Jan74; A501974. 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Pu~ claiml4, coPYriaht ia the book deteribed in this application; The duly ...thorlzcd &JCIIt of the ~ or orpaizatiOD claimin, COpyrlshl in the book daaibed in this application; z. o The printer 01 the book deKrlIoed in this application. That the book was publishecl or the printiDa wu completed 00: (X) .JlU.T-24.-_1961 ___ ____________ _ (Gi.... - b . dOJ. IU>d year) production of the copies deposited, the serlin, of the type and the makioa of places. Thai of the various proc.._ employed io the or the lithographic or pbo~"'in, proccua used in rroduaq the cat, were performed within the limits of the Uniud Snltes. a.nd thac dM priotiDa of the tnt &ad the binding (i any) were also performed within the limits of the United Stat... Thac these 1K0ces_ were performed by the following establishmeDti or individuals at the followin~ addresses: (GIVE 'IHE NAMES AND ADDRESSES OP mE PERSONS OR ORGANIZATIONS WHO PRODUCED THE COPlESTYPESETl1!RS. PIUNTERS, BINDERS, ETc.) Nama (X) ____ Wolf! _____ ._________ Addrelles (X) .____ No__ 3. giv aut Fe, N.. Iork__________________________. DOD _ _____________Nml. y!31L ___________________ _ Noa Ji_" ________________ Qeo!'M.J~Kl.QQi.Jl_ &S9~_____ DOG Ir ----/_~ .. (S~----------------(Sip and aotamc oaI,. OIl or u.. elate ainn above) N ... Doao PLACE 4. , NOTAR' AL SEAL dlstJ HERE 5. fi bl •• Ifill lisbc Appllcatton and affldav!1 r ... 'Y~ ~W~ Two cop'.' "I·.·.' 'd,'UG 7 - 1961 Fa.roca, ... d Year U d. by vi A-504 Case 1:11-cv-06351-HB Document 101-2 Page 10 of 21 Filed 06/29/12 ~--------- . -- 00 NOT WRITE ABOVE THIS LINE IF YOU NEED MORE SPACE. USE CONTINUATION SHEET (FOAM PAl CON) .. . - - . ---iNATlIRHlFTHISw6iUi,;;" ---TiruOflHf~wi1RK C!) A SEA CHANGE AudioviBtlal work * ---~- .. , -- ,--------- ------'MPOAT ANT: tJ~;.,.·;;.-~~;,.,~~. ·:;·rt~;" ~;" . N~',10 u, :,; ® fu t""-' tNt' r he~1o Yt'.s -" "P;r'.fI ~ f 10;11;.i111 4'-' ,N·",. ~ Slh!~' I,~ .):rt« ""'l,J' """t'nlt-jot ' •. ~ m :. ~- ,,~,'~, ~~.~~~ ~;''''U( 'I'z_. ~ .. j.1" lof;, H'"';o-,n' " J. R. SIll&1MnclI ." , r r·, th~ .. ·>\ I .... l' I 'AflrnOR'S'NATION.WtvoRiiONiCiiE: . . ~~i,~~_.State. I -AUTHOR OF: iH~i~-r.~:-·T.;'~;;r;.-:-;:~7;;;-;:r;f· ---:; I':: ~ " ~ ,q' ~.u 11<1i M·THonCOH~W JHl_ t ' .. Au",· r x ~ .'11"«11'" ~. ,.>t o ' ",; AUTHOR'S N;\iioN!u.rTYOR DOMICiLE; ., .... \ ..L __ ._. ____ .__._ .. __ _ NANE OF AUTHOR: AijTHOifsN'''TioNAliiYOR~DoMICii£: C'I.t'f, .f . ~~AUt'iRHfM: -i:-;tr\"I:~;~~ t pO I ·;.\i:;-;~nrlr;ituI7, ~,'. ,- 1"<1' •• _____ .1. .- ... ~ 'tEAR IN ~. . • «._-- _.. -" . ... - .-. -. - ,. - . - WHK:H CIllATION OF THIS WORK WAS (·OMPlfTF.D DATE AND NATION OF FIRST PlIBLICATION, ..._ - ' ""~.L __ ,_. Mr. J. R. Sala1Mrc. 10843 ~bor'h PotollllC, MD. ., i" • ~ompll'.aloPP'l.-ilb""\r")(t'·' fnr,mbt'rt- ') tj " f' fJ<:-t'''''<'~ ~if' ,.),tt, . p.. • FoIot.r~d".,mUf!<oN,j!1OCh~ • S..,n'';''fN.,·.tt''.n.-'h j"! Drive 20854 I I A-505 Case 1:11-cv-06351-HB Document 101-2 Filed 06/29/12 Page 11 of 21 PAu 1- 1".87-325 I om 1969 A 11a956O D''''~V'''''''''''"''''tl.1I1A1 I do,."l' .. . ACCOqn lIll .... ' ............... - . . . . ........... n 'Iv C ".,.,."g........ .. .. . t.. .... 10 • . _ _ """ 04~ bJ J. •• lel_ _ --_ - - -....................... - , .. .... ~ -- Inc. / ~l4 .-tJol'\ .~IlF. 216 r1fth "-De ~ ... IUtl Vala ""'" .Y. . fIuo14 .. tao ~QJ. Inc:. "-ftb Awrme 216 lAA.. .. .... ........ . ...... _.,... ......... ton,. .... ---- -"'t buH on ttl. nOTel A SIA CHAd lOOal .. rtI'_ - ••T. IIA& .... c:a il'ttAl 1 TO ... A-506 Case 1:11-cv-06351-HB Document 101-2 Filed 06/29/12 Page 12 of21 FORM RE UNITED 5T AlES COPYRIClKT OFRCE _ _ _ _ _ _ _OO-----,--NOf.... .-w AIO'fI!"""'" _ ~ COPT_ OPflCeUIIOlLY i C!) ~EWALC1AIMANT(SI.~NQ)I1Am-.:;:.;;-;:.;.; r . .; Oft,;,. .; C1AIMI=;.;.; . :.(Se ~....;"":;:;-=;;::.._____ _ __----~ I j I .. .I ~.I : I i .. ,.l.Il .. SII1M'S,," . . . c(o ."!l.~Ql~ IfaU.QII ('-il...• . . l~c ..• . Z7~ f.iJ~h "'Vf;lfl.lI~ •. _ _Xork. NY 10001. New Nun. . .. ' ADdr_ . ~.. the author i,'I ~ I ~ 1 / (_~ .._________________~_~_~__._-_~_.~__~_~-.__ _ _ _ _ _ _ _ _ _ _ _~ _m_~_ . .._ .. _ ' I N.m. i 3 I Mdrtw LC!)-r _____ l.~~c~~~~.~~~~~~===.=~=-=-=-=.•==.;=~=-=~=~===============~ - . r ' --=:...~ ' I Ilf'WOIIK JllfWHICH alalWALIl a..AIIft!DI. THE LOST COUHTRY PII"kE IICATtiJi: . , - - ~'" entire text c "" -AI "" IU '" a A o J.R. Salamanca @ :.:: •• I I 0RIGINAllt£GISTIIA1ION H\JMIII!R: ~ __ .A .364~16 I OIIIGINAlIMTE Of COf'YIUOHT; L __ ..... .~.,.,..r ORIGINAL COP'YIIJGIfT ClAMANI; J .R . Sal8JraDc8 . ~ --In·T-nlonn.tOR '.If::.,<lf\IInoI ........-'OI,Iuo .......... _Inunpubllonorllaom, _ Oc:tQ~r _2.9.1958" { I 1'1"' _ _ ,..., - b .......... ""Tfrlf'P\J8U('ATION OAT£OfIl£Glr>TIIIoTlOl't . A-507 Filed 06/29/12 Page 13 of 21 Case 1:11-cv-06351-HB Document 101-2 . "'" r-=1WC==WAL=~F:::OII=~<lIt=OO=:':-;OF='7:IIIORKli-:-;: BY lANE AlJTHOII. To "",II, • ..,.;. .~r lor. ~ 01 ..."Iw by.n. ...,. .-.dMd...l-" ~ M ('J.)I:ttn~lO:-\~ ro ~1'f'1 ,-«oN ~~ "'tt~L 'lJ' ~ t ~m'1't ()f\,w, ut "~(,,, '(lna~r\ -r (fJ()f1li! ~. rt, n-«i..d • .,.q~ u~""""' .tIftf .form RfJCON, '*'"' .------- -.---------.-.- _._. _ _ _ _ _ _ _ _ _ _ 0 0 . _ _ _ _ _. . . . . . . ; T~t:JfCnn1I~;~.In r"", ~ P~fYxko1* OM~ ... 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Salamanca !0ii0ii0\i IWl or CC;;oiiiGHi i I • :.:- oripWI ' ....-.on Joe' Ih to.otk ..... m.o. l\ p:ubl:thed fomt (lA r((]Jpwuc",1OfO Jllly 24, ..... >Oat I OR ~. If::'0f'1IIft. r~JnO" 1961~ .. ~ 1 lot 11\.1, WOfk .... mMf rf't IJftp~,,"'.d OATtOfUc.asTUHON I......... -0.,1 tom. A-511 Case 1:11-cv-06351-HB Document 101-2 Filed 06/29/12 Page 17 of 21 CEP':-S T .CCC}VIrIIT ~~ <, c: 00 NOT WIUT! ... . -/. t}lf"" • mil COPYIIICiiif CW'ICI Uii OM. Y Rf '(;"'4 r I .. I "iO'Ii THIS LIlli!. .. ~ 'u J ," ~ 'r t>~ ,,' TIe >tPil'f." : .. 1 n'lll' 'P ~ R('". f ~''' 4' • ~ .11 l. ....... "'.", HI"; ",, ' Tt'C of c.. '" blorl'( 11 ..,~ . '., T , '" 01 Pfr·,r..~ ..: ~ '. Oacl'Q' p"t) M.,.; " .,,' e4fO "~ Ie J.,,,, I" ... .~., ': " q .. .,'IT']' " i~,...1'" tJoIt# " ~~ ..'" "jt'. -'" ... -:." T I~ ?l p",. dl~.s 0.11' of P ,~< ,-: ", I," ' ,.1.. :" .liO '. , 2 ,:,.- 1' .: ...... ... ~"\M ~M" '.,,"T'Ir.cr TtI.O'C ,'nO,", ' Ji 5 r! e-l P., ~C' '" Dl, .. )1 P ,1-0- (:a I .. , . 6 I-:"'~I" " •. 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'$ ' 0" ....- Oecelllber 21. 1989 IWL -~_~========'=~=====~_===='.=~~====~~...___' _I_L-I~ , . __~ Victoria Sanders, Staon & Scbutter Inc, CERTIFICATE i 230 Avenue of the ~rlca9. 10th floor TO ....... -""'O''i" .... ....e ............... ...........,.. i )la.. York. Sew York .. v '• .,..,........., .....'IfItOOf'oCI ...... ' ... '011. 10020 (~r , R _ A-512 Case 1:1 1-cv-06351-HB Document 101-2 Filed 06/29/12 Page 18 of 21 1ft'U soOthern Li9ht .""'61ltiM.L1M1HUi' I'iMLiCBiiiD'_ ...__ . . . . ,..__. . ....-._. _ ,___ .. ...... _ .. _ .. _......... ...oICIIiIooItoo_· ....... __ _11M. UW,=UDMIIDU - ---' .ta...... ... "' ...... Ml a; ..... . Di...:at1W&UMdl66iIiiIiI .......-.... .....,.. 1iiiIt .~ ~.. 'n -"" . . ~t&fW'&'iti ,. . • ........ _ -.,-: -. .. ...., - , -.-~ .. 0'" a "'" 0- 0 " ~-- .. ~ .... A-513 Filed 06/29/12 Page 19 of 21 Case 1:11 -cv-0635 1-HB Document 101-2 . ll 1-800-562 IIIGII1&IfIDN _...".- ...... - . . . . _ _ _ "'.. ....., .............. ~a...I 5 0 - . .... _ _ . . .·..,.. _ _ _ ..... """",*,IOoodI ............... .,. - ......--..... _ tJ 4I!.............- " ' . - ................... . . . . - . 0 ... ' ..... ____ - " ..... --...,......Q Io ........ _ " ' . . _ ... _ .......... -.......-._--_ _.. _~ ..... _ _ . . . . - ....-~. ............... ...... ..,....... .. ~ • bri,t !lUQt.a faa '. ~ . ...... -...- ..., ................ ~=;'-'IIt_~ a.. • ...." ............ "'........ _ ........... _ • 't~~ woR polg41ng a brief quQt;ia fmI!l a:pot. .... _--... .. ...- • ... . - ~ ... - . . . . . . . . , . . . , . . t_ . . 0I0Ik__ 0 ... ..".,........ 0 -................ 'r!.:;.':::.:.::.....:..~==.... · - " : ! ,.....!J.!~..._i~. $i~......... "'."'•......,:a".......... -.-...;:".. ., ..............[ u. Oor 6 - .•. -.......... 1 :-=..-lIt_ ____ ==-.. . . . .~ .......... .-- .... ==-- .Et·"== ___ I . ... .. " . :~- -'-~ ~ , ...---..- . . .--... ~~------...;.;=.-. A-514 Case 1:11-cv-06351-HB Document 101-2 Filed 06/29/12 Page 20 of 21 Registration Number TX 7-502-316 Effective date of registration: March 13,2012 Title Title of Work: That Summer's Trance Completion! Publication Year of Completion: 2000 Date of 1st Publication: June I, 2000 International Standard Number: ISBN Nation of 1st Publication: United States 9781566491258 Author Author: J. R. Salan1anca • Author Created: text Work made for hire: No Citizen of: United States Year Born: 1921 Copyright claimant Copyright Claimant: 1. R. Sal3111anca 10843 Deborah Dr., Potomac, MD, 20854, United States Cert ifi cat ion Name: Anita Fore Date: March 9,2012 Copyright Office notes: Regarding limitation of claim: statements on deposit indicate some text pnxxisting. Page lof 1 A-515 Case 1:11-cv-06351-HB Document 101-2 Registration #: TX0007502316 Service Request #: 1-722867979 Anita Fore The Authors Guild 31 E. 32nd Street, 7th Floor New York, NY 10016 United States Filed 06/29/12 Page 21 of 21 A-516 Case 1:11-cv-06351-HB Document 101-3 Filed 06/29/12 Page 1 of9 EXHIBIT C A-517 Case 1:11-cv-06351-HB Document 101-3 Filed 06/29/12 Page 2 of 9 TANTOR MEDIA, INC. 2 BUSINESS PARK ROAD, OLD SAYBROOK, Cr 06475 - (860) 395-1195 - FAX (860) 395-1154 This Agreement (the "Agreement") is effective as of November 29, 2011 (the ;'Effective Date") by and between J.R. Salamanca, 10843 Deborah Drive, Potomac, MD 20854, represented by the John W. White Literary Agency located at 60 Pound Ridge Rd., Cheshire, CT 06410, (hereinafter referred to as the "Licensor") and Tantor Media. Inc. (hereinafter referred to as "Tantor") located at 2 Business Park Road, Old Saybrook. CT 06475, a Connecticut corporation. WHEREAS, the Licensor is the owner oftlle electronic rights in and to the book(s) sct forth in Exhibit A attached hereto and incorporated hereby (hereafter referred to as the "Work(s)"); and WHEREAS, Tantor is il11he nllsiness of the publication and sale of literary Work(s) in electronic formats and desires to acquire from tbe Licensor the rights to the Work(s) as set forth herein. NOW, THEREFORE, in consideration of the mutual covenants, promises and conditions contained in this Agreement and for other good and va!uable consideration, the receipt and slIl1iciency of which are hereby acknmvledged, the Licensor and Tantor agree as follows: t. Grant of Rights. 1\. The Licensor hereby grants, conveys, and transfers the following rights to TantoI': (i) The right to produce, publish, promote and sell electronic fOmlalS ofthc Work(s), including on disks and ciectronic downloads for tbe E-readcr format or any other digilal format or media nm\' kn0\\11 or hereafter developed or devised during tbe term of this Agreement (the "Electronic FOI1'lla(') (ii) In the territory of the World (iii) In the World English langllage (iv) For the initial term of 10 years, commencing from the EHcctivc Date of this Agreement: ,"vith subsequent automatic renewal term(s) of I year ca;;h, unless and until tC1U1inated at the end of the then current term with ninely (90) days prior \\Tittcn noticc to the other party. (v) In All .\-1arkets (=Library + Retail) (vi) This grant of rights shall be exclusive (vii) In unabridged fomlut. B. The parties agree that the Electronic Fonnat contemplated herein shall be the entire text of the Work(s) and that no changes. additions. or re\<!sions to the text shall be made without the Licensor's prior \Hinen apptO\"al. CONFIDENTIAL AG 0000120 A-518 Case 1: 11-cv-06351-HB Document 101-3 Filed 06/29/12 Page 3 of 9 C. The parties agree that Tantor shall be the owner of the Electronic Format of tile Work(s) produced by Tantor hereunder. In the cvent and to the extent necessary, Licensor agrees to and does hereby grant to Tantor any rights necessary tor Tantor to be the owner of such Electronic Fonnat as contemplated in the previous sentence. This paragraph shall survive tennination of this Agreement. D. Upon request by Licensor at the tennination of this Agreement. Tantor and Licensor may negotiate in good faith an agreement reasonably acceptable to the parties to provide a copy of the file containing such Electronic Format of the \Vork(s) to Licensor. This paragraph shall survive tem1inatioll of this Agreement. E. Tanlor shall have the right to sell the Work(s) in Electronic Format in a digital. downloadable format CDownloadable Format''). \vith or without digital rights management protection. ("'DRM"). F, If the Licensor has a website for its \Vork(s). the Licensor may use lip to two (2) chapters. including prologue. or the final. approved Electronic Format of the Work{s) for promotional purposes Oil his/her website, depending on the length of the book. upon agreement between t)l<.: parties. 2, Reservation of Rights All rights not specifically granted to Tantor herein are reserved by the Licensor, including but not limited to the retention of any print editions. abridged vcrsiun: or audio and vidl.'o rights in any recording based on a dramatic adaptation or dramati71ltion in connection \\ith the grant of lllotlOIl picture. television. radio. or drml1ati<.: rights. 3. Royalties Tantor shall pay Licensor or its Agent scmi-nnnually (3) tor Electronic Fom1at of a Work a sum equal to Fifty Percent (50";;,) of Tan101"s "Jet Sales Receipts (,'Royalty") on sales oftbe electronic JOl'mul: ... Original Materials =l*biceflSOf shall make evefy-reaso!lab~~~ftt0I*effifltly provide Tanmr-with the4int5l:tea eeflyeatred-comruteF fileefthe-Weffi(s}.-{-+X-T-:-BOC--;-R+F. or any other1ntittlally agreeahle htFffiat}: Tantonvill pro\'ide one (1) finished copy of the PDF version of the Work for Licensor and its Agent for personal use only and for no other purpose. 5. Promotion :vlatcrials The Licensor consents to the LIse by Tantor of subsidiary promotional materials that shall inclLtde: the Author's name, appro\cd photograph. and approved biographical material, pIllS text and CONFIDENTIAL AG 0000121 A-519 Case1:11-cv-06351-HB Document101-3 Filed06/29/12 Page4of9 graphic elements of the book jacket, and other materials which may be available in connection \.. ith the Work(s) (the '·Material''). In any case where a third party owns or controls any of the Material described in this Section 5. the Licensor will make best efforts to provide accurate contact information for the oWl1ers/righlsholders. At Tantor's reasonable discretion. Tamor will make reasonable efforts to clear ownersnip of such Materials and. if cleared to Tantor's reasonable satisfaction, will pay any fees related to their use in the Electronic Forrnat. Any such Materials will be used in an appropriate and tasteful manner. Licensor grants to Tantor the follO\'ving promotional rights: (a) the right to promote other Tantor e-books alongside the Work(s)~ (b) the right to be able to give away first chapter samples of Work( s); (c) the rightto provide portions of the Electronic Format of a Work for the "Look Inside" function on Amazon so lhnt sample pages \""ill be available on Amazon. as \I,'ell as for any similar feature that is cl\'ailable during the term of this Agreement; and (d) the right to give away copies of the Electronic Format ofWork(s) {(1r promotional purposes. 6. Artistic Control Ii:mtor shall have full artistic contl'()! over the production of the Electronic Format of the \Vork(s) 7. Accounting or Tantor shall k~ep at:curale books accoull1 and records covering all transactions relating to this Agreement. TantoI' shall provide Licensor viith a commen:ially reasonable detailed statement of Royalties rendered as semi-annual ;;tatetnents of account as ofJum: 30th and Decemhcr ') I 51 of each calendar year and shall mail such statements along, with any amount due within sixty «(0) days of the close of each accounting period commencing with the first full six months after the Electronic Format o1'thc Work(s) is lJrs( offered f{)f distribution hereunder. Statements of Royalties will set forth the specific allocations of Licensor's earning by each Electronic Format from which such earnings are derived, and will be sent regardless of wbether a payment is due. Licensor or its representative may, upon reasonable written notice. examine Tanior's records relating to Royalties during nomlal business hours under such conditions as Tantor may reasonably prescribe. Such examination may take place not more than once every twelve (12) months. If an error in the Licensor' 5 favor is discovered as a result of any such examination, TantoI' shall promptly pay for the amount of the error. Any such examination shall be at the Licensor" s expense unless errors of accounting in Tantor's favor amounting to five percenl (5%) or more of the calendar year being examined in such audit are found. in which event all reasonable and customary examination expenses shal! be at Tantor"s expense. 8. Copyright and Authorship Credit Tantor shall. as an express condition of receiving the grant of rights specified in Paragraphs 1. publish a copyright notice on the Electronic Format of the Work(s) as follows: CONFIDENTIAL AG 0000122 A-520 Case 1:11-cv-063S1-HB Document 101-3 Filed 06/29/12 Page 5 of 9 At the beginning of the Electronic Format of the Work: Copyright (C) (1958), (1969), (1973), (1986), (2000) by J.n. Salamanca. This electronic fonnat is published by Tantor cRooks, a division of Tantor Media, Inc, and was produced in the year 2011. 9. Duty to Publish Tantor shall publish the Electronic Ponnat ofthc Work(s) 110 later than six (6) months after the Effective Date. Failure to 50 publish shall give the Licensor the right to terminate this Agreement (without prejudice to monies paid) upon sixty (60) days ptior written notice of Tamor's failure to make timely publication and opportunity to cure. At its reasonable discretion, Tantor will make best efforts to publish and promote the Work(s) using appropriate e-book sales chrumels and options consistent with industry standards. 10. Representation and Warranty; Indemnity Licensor represents and warrants that (a) it is free to enkr this Agreement; (b) this Agreement does not violate the terms of any other agreement between a party and any third pany: (c) it has all the right:; necessary to enter into this Agrcernent and granlthe rights herein, including all intellectual property rights and. as to out of print Work(s). print rights to those Work(s). and that such rights arc owned or controlled by the Licensor without encumbrance: (e) that the Work(s) does not \'iolate the right of privac: or any other right of any person: (d) that the Work(s) is n01 libelous or obscene (to the best of Licensor 's knowledge); and (e) that the Work(s) does not infringe upon the statutory or common law copyright Of other rnte! Iectual property of any other party. Licensor agrees to indemnif)'. defend and hold TantoI' hamlless again!>t any loss, cxpense or damage occasioned by any claim. action. proceeding or recovery arising out of a claim i nconsislem with any of the foregoing representations and warranties. The representations, warranties and indemnities made herein shall survive the termination ofthis Agreement. 11. Oefault and Termination Ierrninatig!}. Either party may terminate this Agreement if: (i) the other party fails to perform any of the material tcrms. conditions. agreements. or covenants in this Abrecment and such failure is not cured \vithin thirty (30) days t{lllowing receipt of a written notice of sllch failure from the non-breaching party. or (ii) if the other party files a voluntary petition in bankruptcy or applies for appointment of a receiver for its business. or if a petition in bankruptcy is filed against the other party by any third pal1y. which is not dismissed \vilhin sixty (60) days after filing. 12. Assignment Any and all of the rights granted to Tantor under the terms Oflhis Agreement shall he assignahle lIpon the sale of all or substantially all ofTantor's assets. Except for the: sale of all or substantially all of the assets of Tantor, any and all of the righls granted to Tamor under the terms oflhis Agreement shall be assignable provided that Licensor extends advance written approval for the assignment. Upon the written assumption of those obligations by the assignce. Tantor shall forward a copy of the written and fully executed assumption of obligations to the Licensor. and Tamor shall be discharged of all further obligations and have no further righrs under this Agreement. CONFIDENTIAL AG 0000123 A-521 Case 1:11-cv-063S1-HB Document 101-3 Filed 06/29/12 Page 6 of9 13. Liability In no event shall either party be liable under this Agreement (whethcr in an action in negligence. contract or lort or based on a warranty or otherwise) for loss. profits. revenue or any indirect. incidentaL punitive, special 0)' consequential damages incurred hy either party. In no event shall Tantor' s total liability, howsoever arising, whether arising out of contract, negligence. strict liability in tort or breach of warranty or any other cause of action. exceed the royalties paid to Licensor hy Tantor for the six months immediately preceding the event that gave rise to such liability under this agreement. 14. Interpretation and Choice of Law This Agreement shall be gOverned by and construed under the laws of the State of Connecticut. applicable to agrecments made and fully pert{)rmed therein without regard to contlict of law principles. 15. Fees and Costs If any action tn enforce or interpret this Agreement is taken by the Licensor or TantoI' against the other, then the substnntially prevailing party in such action will he entitled (0 recover from the other all reasonable costs and expenses incurred in taking or defending slich action. including reasonable fees of attorneys, the Ices of experts and other technical advisors. inclusive of appeaL 16. Waiver Waiver by one party hen;to o1'bre<1ch of any provision operate or be (;onstrued as a continuing waiver. or this !\grecl1lcnt by the other shall not 17. Notices Any and allnotlc('s, demands, or other communications required or desired to be given hereunder by any party shall be in writing and shall be val idly given or made to another party if personally sened. or jf deposited in the United Stales mail. certified or registered. postage prepaid. return receipt requested. I r such notice or demand is served personally. notice shall be deemed constructively made at the time of such personal service. If such notice. demand ,)r other communication is given by mail. such notice shall be conclusively deemed given five days alter deposit thereof in the United States mail addressed to the party to whom slIch notice. demand or other communication is to be given as follows: ffto Licensor: John W. White Literary Agency 60 Pound Ridge Rd. Cheshire. CT O(i4 I 0 CONFIDENTIAL AG 0000124 A-522 Case 1:11-cv-063S1-HB Document 101-3 Filed 06/29/12 Page 7 of9 If to Tantor: Tantor Media, [ne. Att: Ron Formica 2 Business Park Road Old Saybrook, CT 06475 Any party hereto may change its address for purposes of this paragraph by written notice given in the manner provided above. 18. Independent Status. The performance by TantoI' of its duties and obligations under this Agreement shall be that of an independent contractor. and nothing herein shall create or imply an agency or employment relationship between Licensor and Tantor. 19. Modification or Amendment No amendment. change, or modification of this Agreement shall be valid unless in writing signed by the parties hereto. 20. Entire Understanding Tilis Agreement and any exhibit attached hereto constiwtes the entire understanding and agreement of the partks as 10 the subject matter herein. and any and all prior agreements. understandings. and representations are hereby terminated and canceled ill their enrirelY and arc of no further force and effect. 21. {Jnenforceahility of Provisions Irany provision of this Agreement, or any portion thereoC is held to be invalid and unenforceable. then the remainder of this Agreement shall nevertheless n:main in full force and effect. 22. Survival All provisions of this Agreement regarding indemnification. warranty. liability and such other provisions that by fair implication required performance beyond the term of this Agreement shall survive expiration or termination of the Agreement until fully performed or otherwise arc inapplicable. 23. Force Majeure Neither party v,ill be liable for any failure or delay In its perfOlmance under this Agreement due to causes beyond its reasonable control. including, but not limited to. acts of God, acts of civil or military authority. acts ofterrorisl11. tire. epidemic, Hood, earthquake, rioL war, sabotage. labor shortage or dispute, failure of suppliers to perform or failures in supply chains, and govemmentaJ action. provided that the delayed party: (i) gives the other patty \vritten notice of such cause promptly. and in any event within fifteen (15) days of discovery thereof: and (ii) uses its CONFIDENTIAL AG 0000125 A-523 Case 1:11-cv-06351-HB Document 101-3 Filed 06/29/12 Page 8 of 9 reasonable efforts to correct such failure or delay in its performance. 24. Arbitration Any claim, dispute or controversy arising out of or in connection with this Agreement or any breach thereof shall be arbitrated by the parties before the American Arbitration Association under the rules obtaining oftllat Association. Such arbitration shall be held in the City of New Haven. Judgment may be entered on the award in any coun having jurisdiction thereof. The arbitrator shall be one mutually agreeable to both parties in the claim, dispute or controversy. 25. Bankruptcy In case of (a) bankruptcy, receivership or as~igllment lor benefit of creditors of the Publisher. or (b) ira petition in bal1kruptcy is filed by th~ Publisher. all rights granted herein shall revert to the Author and thereupon this Agreement shall terminate but the Author shall have the right to buy back any remaining copies or sheets at a fair market value, to be determined by agreement 26. Agency The Author hereby authorizes the Author's agent. John While, 60 Pound Ridge Road. Cheshire. Connecticut 06410-34 J 2 to coiled and receive all sums of money payable to the Author under the tenns \11' (his agreement and declares that the receipt by said agent shall be a good and valid discharge in respect thereof, and the said agent is hereby empowered to act on behalf of the Author in all matters arising out of this agreement; said authorization shall continue in c!Tcct unless and until the Pllblisher shall be otherwise instructed in writing by the Author. IN WITNESS \VHEREOE the panies have signed this Agreement as of the date first scI forth above. Tantor Media, Inc. Licensor: ------------------- Ron Formica 2 (1 Ncv e vvJx:~Y- 2()[J Date CONFIDENTIAL AG 0000126 A-524 Case 1: 11-cv-06351-HB Document 101-3 Filed 06/29/12 Page 9 of 9 EXHIBIT A The Work{s) TITLE l. 2. 3. 4. 5. CONFIDENTIAL AUTHOR The Lost Country A Sea Change Embarkation Southern Light That Sununc['s Trance J .R. Salamanca J.R. Salamanca J.R. Salamanca J.R. Salamanca J.R. Salamanca AG 0000127 A-525 Case 1:11-cv-06351-HB Document 101-4 Filed 06/29/12 Page 1 of9 EXHIBITD A-526 Case 1:11-cv-06351-HB Document 101-4 Flied 06/29/12 Page 2 of9 TANTOR MEDIA, INC. 2 BUSINESS PARK ROAD, OLD SAYBROOK, CT 06475 - (860) 395-1195 - FAX (860) 395-1154 This Agreement (the "Agreement") is effective as of September 1, 2011 (the "Effective Date") by and between J.R. Salamanca, 10843 Deborah Drive, Potomac, MD 20854, represented by the John W. White Litcrary Agency located at 60 Pound Ridge Rd., Cheshire, CT 06410, (hereinafter referred to as the "Licensor") and Tantor Media. Inc. (hereinafter referred to as "Tantor") located at 2 Business Park Road, Old Saybrook, CT 06475, a Connecticut corporation. WHEREAS, the Licensor is the o\vner of the electronic rights in and to the book(s) set torth in ExhibjtA attached hereto and incorporated hereby (hereafter rekrred to as the "Work(s)"); and WHEREAS, Tantor is in th", business of the publication and sale of literary Work(s) in electronic formats and desires to acquire from the Licensor the rights to the Work(s) as set forth herein. NOW, THEREFORE, in consideration of the mutual covenants, promises and conditions contained in this Agreement and for other good and valuable consideration. the receipt and sufficiency of which are hereby acknowledged. the Licensor and Tantor agree as follows: L Grant of Rights. A. The Licensor hereby grants. conveys. and tnU1skrs the f()llowing rights to Tumor: (i) The right to produce. publish. promote and se[! electronic formats of the Work(s). including Of] disks and electronic downloads for the E-reader formal or any other digital format or media now known Of hereafter developed or devised during the term of this Agreement (tl1e "Electronic Fonnaf') (ii) £11 the territory of tile \Vodd (iii) In the World English language (iv) For the initial term of 10 ycars, commencing from the Effective Date of this Agreement: with subsequent automatic renewal lerm(s) of 1 year each. unlt:ss and until terminated at the end of the then current term with ninety (90) days prior written notice to the other palty. (v) In All Marl{Cts (=Lihrary + Retail) (vi) This grant of rights shall be exclusive (vii) In unabridged fomlat. B. The parties agree that the Electronic Format contemplated herein shall be the entire text ofthc Work(s) and thal no changes. additions. or revisions to the text shall be made without the Licensor's prior written approval. CONFIDENTIAL AG 0000112 A-527 Case 1:11-cv-063S1-HB Document 101-4 Filed 06/29/12 Page 3 of9 C. The parties agree that Tantor shall be the o\\uer of the Electronic Format of the Work(s) produced by Tantor hereunder. In the event and to the extent necessary. Licensor agrees to and does hereby grant to Tantor any rights necessary for Tantor to be the owner of such Electronic Format as contemplated in the previous sentence. This paragraph shall survive termination of this Agreement. D. Upon request by Licensor at the termination of this Agreement, Tantor and Licensor may negotiate in good faith an af,rreement reasonably acceptable to the parties to provide a copy oftlle file containing such Electronic Fom1at of the Work(s) to Licensor. This paragraph shall survive termination of this Agreement. E. Tantor shall have the right to sell the Work(s) in Electronic Format in a digital, downloadable format (,'Downloadable Format''). with or without digital rights management protection. ("DRM"). E If the Licensor has a website for its Work(s), the Licensor may use up to two (2) chapters. including prologue. of (he final, approved Electronic Format of the Work(s) for promotional purposes on his/her v\'ehsitc, depending on the length of the book. upon agreement between the parties. 2. Reservation of Rights All rights not speci lically granted to Tantor herein an: reserwd by H1C Licensor. including but n\)t I imited to the retention of any print editions. abridged version. or audio and video rights in any recording based on a dramatic adaptation Of dranlatiz"ltiol1 in connection with the grant of motion picture, television. radio. or dramatic rights. 3. Royalties TantoI' shall pay Licensor or its Agent semi-annually Ca) for Electronic Fomat of a Work a sum equal to Fifty Percent (50%) of Tantor's Net Sales Receipts ("Royalty") on sales of the electronic format; 4. Original Materials The LieenstlHRa.J.!.-make-every reasonable effort to Prt)1'flptly 6epyedited form<*). ellmpttref·fHe{'tf:.me-Weffi(~F. pro\'itle-+antof-w~tlHhe-+ffitshecl DOC, KIT';-BI any othe!,fllulually agr~ Tantor will provide one (J) finished copy of the PDF version of the Work for Licensor and its Agent for personal use only and for no other purpose. 5. Promotion Materials The Licensor consents to the use by Tantor of subsidiary promotional materials that shall include: The Amhor's name, approved photograph. and approved biographicaJ material. plus text and CONFIDENTIAL AG 0000113 A-528 Case 1:11-cv-063S1-HB Document 101-4 Filed 06/29/12 Page 4 of 9 graphic element s of the book jacket, and other materials which may be available in connection with the Work(s) (the "Materi al"). In any case where a third party owns or controls any of the Material described in this Section 5, the Licenso r will make best efforts to provide accurate contact infommtion for the ownerslrightsholders. At Tamor' s reasonable discretion, Tantor will make reasona ble efforts to clear o\vnership of such Materials and, if cleared to Ta11tor's reasona ble satisfaction, will pay any fees related to their use in the Electronic F01TI1aL .Any such Materia ls will be used in an appropr iate and tasteful manner. Licenso r I,'Tants to Tantor the following promotional rights: (a) the right to promot e other Tantor e-books alongside the Work(s); (b) the right to be able to give away first chapter samples of Work(s) ; (c) the rigllt to provide portions oflhe Electronic Fonllat of a Work for the "Look Inside" function on Amazo n so that sample pages will be available on Amazon . as well as for any similar feature that is available during the term of this Agreement; and (d) the right to give away copies of the Electronic Fonnat ofWork (s) for promotional purposes. 6. Artistic Control Tantor shall have full artistic control over the production of the Electron ic Format ofthe Work(s). 7. Accounting Tantor shall keep accurat e books of account and records coverin g all transnctions relating to this Agreem ent. TanlOr shall provide Licenso r with a comme rcially reasona ble detailed stateme nt of Royalti es rendere d as semi-an nual stateme nts of accoun t as of June 30th and Decemb er 3l st of each calenda r year and shall mail such stateme nts along with any amount due within sixty (60) days of the close of each accoun ting period comme ncing with the first full six months after the Electronic Format ofthc Work(s) is first offered for distribu tion hereund er. Stateme nts of Royalti es will set forth the specific allocati ons of licenso r's earning by each Ekctron ic Fonnat frolll which such earning s are derived , and will be sent regardless of whethe r a paymen t is due. Licenso r or its represe ntative may. upon reasona ble written notice, examin e Tal1lor's records relating ro Royalti es during normal busines s hours under such conditio ns as Tantor may reasona bly prescribe. Such examin ation may take place not more than once every twelve (12) months . If an error in the Licenso r's favor is discove red as a result of any slIch examin ation, Tantor shall prompt ly pay for the amount of the error. Any such examin ation shall be at the Licenso r's expense unless errors of accoun ting in Tantor' s favor amount ing to five percent (5%) or more of the calenda r year being examin ed in such audit are found, in which event all reasona ble and custom ary examin ation expense s shall be at Tantor' s expense . 8, Copyright and Authorship Credit Tantor shall, as an express conditio n of receh:ing the grant of rights specified in Paragra phs 1, publish a copyrig ht notice on the Electronic Format of the Work(s) as follows: CONF IDENT IAL AG 0000114 A-529 Case 1:11-cv-06351-HB Document 101-4 Flied 06/29/12 Page 5 of 9 At the beginning ofthe Electronic Format of the Work: Copyright (C) J961 by J.R. Salamanca. This electronic format is published by Tantor eBooks, a division of Tantor Media, Inc, and was produced in the year 2011. 9. Duty to Publish Tantor shall publish the Electronic Format of the Work(s) no later than six (6) months a!l:er the Effective Date, Failure to so publish shall give the Licensor the right to terminate this Agreement (without prejudice to monies paid) upon sixty (60) days prior wTitten notice ofTantor's failure to make timely publication and opportunity to cure. At its reasonable discretion. Tantor will make best efforts to publish and promote the Work(s) using appropriate e-book sales channels and options consistent with industry standards. 10. Representation and Warranty; Indemnity Licensor represents and warrants that (a) it is fi'ee to enter this Agreement; (b) this Agreement does not violate the terms of any other agreement between a party and any third party: (c) it has all the rights necessary to enter into this Agreement and grant the rights herein, including all intellectual property rights and, as to out of print Work{s), print rights to those Work(s), and that such fights are owned or controlled by the Licensor without encumbrance; (c) that the Work(s) docs not violate the right of privacy or any other right of any person; (d) that the Work(s) is not libelous or obscene (to the best ofI.icensor 's knowledge); and (e) that the Work(s) does not infringe upon the statutor), or common law copyright or other intellectual property of allY other party, Licensor agrees to indemnify, delend and hold Tantor harmless against any loss, expense or damage occasioned by any claim, action, proceeding or recover), arising out ora claim inconsistent with any of the foregoing representations and warranties. The representations. warranties and indemnities made herein shaH survive the termination of this Agreement 11. Default and Termination TemlLl1{lJi9r!, Either party may terminate this Agreement if: (i) the other party 13ih to perform any of the material terms, conditions. agreements. or covenants in this Agreement and such failure is not cured wilhin thirty (30) days following receipt of a written notice of such failure from the non-breaching party, or (ji) if the other party i1les a voluntary petition in bankruptcy or applies for appointment of a receiver for its business. or if a petition in bankruptcy is filed against the other party by any third party. which is not dismissed within sixty (60) days after filing. 12. Assignment Any and all oflhe rights granted to Tantor underthe terms of this Agreement shall be assignable upon the sale of at! or substantially all of TantoI" s assets. Except for the sale of all or substantially all of the assets of Tantor. any and all of the rights granted to Tamor LInder the terms of this Agreement shall be assignable provided that Licensor extends advance written approval for the assignment. Upon the wTitten assumption of those obligations by the assignee, Tantor shall forward a copy of the written and fully executed assumption of obligations to the Licensor, and T antor shall be discharged of all further obligations and have no further rights under this Agreement CONFIDENTIAL AG 0000115 A-530 Case 1:11-cv-063S1-HB Document 101-4 Filed 06/29/12 Page 6 of9 13. Liability lUl10 event shall either party be liable under this Agreement (whether in an action in negligence. contract or tort or based on a warranty or otherwise) for loss, profits, revenue or any indirect, incidental, punitive, special or consequential damages incurred by either party. In no event shall Tantor's totalliahility. howsoever arising, whether arising out of contract, negligence, strict liahility in tort or breach of warranty or any other cause of action, exceed the royalties paid to Licensor by Tantor for the six months immediately preceding the event that gave rise to such liability under this agreement. 1-1. Interpretation and Choice of Law This Agreement shall be governed by and cOllstmed under the laws of the Stale of Connecticut. applicable to agreements made and ful!y performed therein without regard to con:lict of law principles. 15. Fees and Costs I f any action to enf()fCe or interpret this Agreement is taken by the Licensor or Tantor against the other. then the substantially prevailing pariy in such action will be entitled 10 recover from the other all reasonable costs and expenses incurred in taking or defending such action. including reasonable fees of attorneys. the fees of experts and other technical advisors. inclusive of appeal. 16. Waiver Waiver by one patiy hereto of breach of any provision of this Agreement by the other shall not operate or be construed as a continuing waiver. 17. Notices Any and all notices, demands, or other communications required or desired to be given hereunder by any party shall be in writing and shall be validly given or made to another party if personally served, or if deposited in the United States mail, certified or registered, postage prepaid. return receipt requested. If such notice or demand is served personally, notice shall be deemed constructively made at the lime of such personal service. If such notice, demand or other communication is given by mail. such notice shall be conclusively deemed given five days after deposit thereof in the Cnited States mail addressed to the party to whom such notice. demand or other communication is to be given as follows: If to Licensor: John W. White Literary Agency 60 Pound Ridge Rd. CONFIDENTIAL AG 0000116 A-531 Case1:11-cv-06351-HB Document101-4 Filed06/29/12 Page7of9 Cheshire, CT 06410 lfto Tantor: Tantor Media. Inc. Att: Ron Formica 2 Business Park Road Old Saybrook, CT 06475 Any party hereto may change its address for purposes of this paragraph by \\Tittcn notice given in the manner provided above. 18. Independent Status. The performance by TantoI' or its Juties and ohl igations under this Agreement shall be that of an independent coJ1lraclor. and nothing herein shall create or imply an agency or employment relationship between Licensor and Tantor. 19. Modification OJ' Amendment No amendment. change. or modification by the parties hereto. or this Agreement shall be valid llnless in writing signed 20. Entire Understanding This Agreement and any exhibit attached hereto constitutes the entire understanding and agreement of the parties as to the subjeclillatter herein, and any and aJl prior agreements. understandings. and representations nrc herehy terminated and canceled in their entirety and are of no fUlther force and effect. 21. Unenforceability of Provisions If any provision of this Agreement, or any portion thereof, is held to be invalid and unenforceable. then the remainder of this Agreement shall nevertl1des!> remain jll full force and effect. 22. Survival All provisions of this Agreement regarding indemnification, warranty. liability and such other provisions that by fair implication required perfom1ancc beyond the teml of this Agreement shall survive expiration or termination orthe Agreement until fully performed or otherwise are inapplicable. 23. Force Majeure Neither party will be liable for any failure or delay in its performance under this Agreement due CONFIDENTIAL AG 0000117 A-532 Case 1:11-cv-06351-HB Document 101-4 Filed 06/29/12 Page 8 of9 to causes beyond its reasonable control, including, but not limited to, acts of God, acts of civil or military authority, acts ofterrorisffi, fire. epidemic, flood. earthquake, riot, war, sabotage, labor shortage or dispute, failure of suppliers to perform or failures in supply chains, and governmental action. provided that the delayed party: (i) gives the other party \witten notice of Stich cause promptly, and in any event within fifteen (15) days of discovery thereof; and (ii) uses its reasonable efforts to correct such failure or delay in its performance. 24. Arbitration Any claim, dispute or controversy arising out of or in connection with this Agreement or any breach thereof shall be arbitrated by the parties before [he American Arbitration Association under the rules obtaining of that Association. Such arbitration shall be held in the City of New Haven. Judgment may be entered on the award in any COUlt having jurisdiction thereof. The arbitrator shall be one mutually agreeable to both parties in the claim, dispute or controversy. 25. Bankruptcy In case of (a) bankruptcy. receivership or assignment for benefit of creditors of the Publisher. or (b) if a pelition in bankruptcy IS filed by the Publisher. all fights granted herein shall revert to the Author and thereupon this Agreement shalllerminatc but the Author shall have the right to buy hack any remaining copies or sheets at a fair market value. to be determined by agreement. 26. Agency The Author hereby authori7cs {he Author'S agent John White. 60 Pound Ridge Road, Cheshire, Connecticut 06410-3412 to collect and receive all sums of money payable to the Author under the terms of this agrcement and declares that the receipt by said agent shall be a good and valid discharge in respect thereoL and lhe said agcnt is hereby empowered to act on behalf of the Author in all matters arising out of this agreement; said authorization shall continue in etTecl unless and until the Publisher shall be otherwise instructed in writing by the Author. IN WITNESS WHEREOF- the patties have signed this Agreement as of the date first set forth above. Ron Formica ~ __~::f*~.~?0~JV 2(J I Date CONFIDENTIAL J " AG 0000118 A-533 Case 1:11-cv-06351-HB Document 101-4 Filed 06/29/12 Page 9 of9 EXHIBIT A The Work(s) TITLE I. CONFIDENTIAL AUTHOR Lilith l.R. Salamanca AG 0000119 A-534 Case 1:11-cv-06351-HB Document 102 Filed 06/29/12 Page 1 of 21 KILPATRICK TOWNSEND & STOCKTON LLP Joseph Petersen (JP 9071) Robert Potter (RP 5757) 1114 Avenue of the Americas New York, NY 10036 Telephone: (212) 775-8700 Facsimile: (212) 775-8800 Email: jpetersen@kilpatricktownsend.com Joseph M. Beck (admitted pro hac vice) W. Andrew Pequignot (admitted pro hac vice) Allison Scott Roach (admitted pro hac vice) 1100 Peachtree Street, Suite 2800 Atlanta, Georgia 30309-4530 Telephone: (404) 815-6500 Facsimile: (404) 815-6555 Email: jbeck@kilpatricktownsend.com Attorneys for Defendants UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK THE AUTHORS GUILD, INC., ET AL., Case No. 11 Civ. 6351 (HB) Plaintiffs, v. HATHITRUST, ET AL., Defendants. DECLARATION OF STANLEY KATZ IN SUPPORT OF DEFENDANTS’ MOTION FOR SUMMARY JUDGMENT I, Stanley N. Katz, pursuant to 28 U.S.C. § 1746, hereby declare as follows: 1. I am President Emeritus of the American Council of Learned Societies, the national humanities organization in the United States, and director of the Princeton University Center for Arts and Cultural Policy Studies. I graduated magna cum laude from Harvard University in 1955 with a major in English History and Literature. I was trained in British and 1 A-535 Case 1:11-cv-06351-HB Document 102 Filed 06/29/12 Page 2 of 21 American history at Harvard (M.A 1959; Ph.D. 1961) and also attended Harvard Law School (1969-70) (although I am not a member of the bar). 2. I am the Editor in Chief of the Oxford International Encyclopedia of Legal History, and the Editor of the Oliver Wendell Holmes Devise History of the United States Supreme Court. I have served as President of the Organization of American Historians and the American Society for Legal History and as Vice President of the Research Division of the American Historical Association. I am a member of the Board of Trustees of the Newberry Library. I serve as Chair of the American Council of Learned Societies/Social Science Research Council Working Group on Cuba. I am a member of the New Jersey Council for the Humanities, the American Antiquarian Society, the American Philosophical Society; a Fellow of the American Society for Legal History, the American Academy of Arts and Sciences, and the Society of American Historians; and a Corresponding Member of the Massachusetts Historical Society. I received the annual Fellows Award from Phi Beta Kappa in 2010 and the National Humanities Medal (awarded by President Obama) in 2011. My full curriculum vitae is attached to this declaration as Exhibit A. 3. I am an American historian and scholar specializing in legal and constitutional history and the history of philanthropy. Most recently, my research has focused on the relationship of civil society and constitutionalism to democracy and specifically on the relationship of the United States to the international human rights regime. 4. I submit this declaration in support of the defendants’ motion for summary judgment. I make this declaration based upon my own personal knowledge. 5. As a scholar trained to use research materials in the mid-1900s, I learned how to use library card catalogs to extract the basic information (e.g., author, title, publication date) 2 A-536 Case 1:11-cv-06351-HB Document 102 Filed 06/29/12 Page 3 of 21 about the books that may be relevant to my research. These card catalogs actually consisted of cards stored in drawers in the library, and I would physically go to various libraries to search the card catalogs of the books in the holdings of those libraries. Those card catalogs were of very little use as guides to subject matter topics, for which I usually turned to subject matter bibliographies. Unfortunately, subject matter bibliographies inevitably became quickly outdated. And for most topics, there were few or no subject matter bibliographic resources. 6. While many books were available in the libraries to read and study, the only reliable source of information about what was in the text of those books was an index to the book itself (if the book had an index). Bibliographic research – research to identify potential relevant sources for further review – was simply a rough first cut at identifying relevant sources. The next step was to retrieve the books (or journals), read the apparently relevant chapters (or articles), and hope that the footnotes would guide me to additional relevant sources. 7. For decades as a researcher, I always feared that I was neglecting significant bodies of material simply because I did not know certain sources might contain information relevant to my research. Although I feared that I was missing sources, there was no way to confirm or alleviate those fears. 8. The digital era changed the nature of scholarly research. A resource that became available (and still is available) was the Online Public Access Catalogs (OPAC), which contained electronic records of the card catalog information for library material on a global basis. No longer did I have to go to several libraries to search the card catalogs at each of those libraries; now I could search the OPAC and retrieve bibliographic information from the holdings of books in virtually all the libraries of the world while sitting in front of one computer. Another benefit of the OPAC was that I could conduct many searches, electronically, and 3 A-537 Case 1:11-cv-06351-HB Document 102 Filed 06/29/12 Page 4 of 21 retrieve the results virtually instantaneously. This is in comparison to using physical card catalogs for which searches were arduous and time consuming. 9. Full-text digital searching over vast quantities of text revolutionized humanities scholarship profoundly – even more profoundly than the OPAC. Sophisticated digital searching over the text of large numbers of books has permitted me to search for specific words or names (or words or names in relation to each other) that simply was not possible using a library card catalog, the electronic OPAC, or other bibliographic resources. 10. I have come to rely on the full-text searching of millions of books offered by the HathiTrust, and it is now one of the most important sources for my historical scholarship. The HatiTrust Digital Library is primarily useful to me as a bibliographical resource, since I can tailor my searches of the items indexed by the HathiTrust quite precisely, and generate lists of search results, or “hits,” to determine which might be worth closer examination. While some of the hits that I get in my research are to items that provide a full-text view (i.e., I can read the entire work on my computer screen), most are designated as “limited (search only),” and I am not provided the text of the work online by the HathiTrust. 11. The hits that do not provide a full-text view are still exceedingly helpful for my research. Those tell me how frequently words and phrases that I search occur in the book, so that I know how relevant the book will likely be for my research. Without having to get a copy of a book and without having to review the book I can determine which books I need to locate in a library or purchase myself and which are not worth further consideration. Not only that, but many of the “hits” I receive through searches of the HathiTrust are of books that I would not have discovered through a search of a library card catalog, the OPAC, or alternative bibliographic resources. 4 A-538 Case 1:11-cv-06351-HB Document 102 12. Filed 06/29/12 Page 5 of 21 Let me provide an example based on one of my current research projects. I am researching for a book I am writing on the question of why the United States has had such a difficult time participating in the international human rights system. This is primarily a problem, as I conceive it, concerning the United States since the emergence of the Universal Declaration of Human Rights in 1948. It is a genuinely international subject since it involves comparing what the United States has (and has not) done with what other comparable nations have (or have not) done. The question is one of politics, economics, and intellectual history. 13. One aspect of this research question involves the role of the then newly-emergent human rights non-governmental organizations (NGOs). Searches using the OPAC did not assist me in fully identifying books relevant to my search; and there were few additional bibliographic resources, and those did not provide any additional help. 14. As I now do with most research questions, I searched in the HathiTrust, and I was able to identify many dozens of promising-looking references to material that I was not able to identify working with the OPAC and other bibliographic material at the Princeton research library. 15. One such book I located through the HathiTrust is Universal Human Rights: Origins and Development. The book was published in 2007 and I identified the book through the HathiTrust website even though the website did not provide the ability to view the full text of the book online. Using the HathiTrust website, however, I was able to locate a copy of the book at the Princeton library. The book contains many pages discussing the role of the United States in relationship to the norms of the Universal Declaration of Human Rights (UDHR), which is particularly relevant to my research because of the tension between the United States approval of 5 A-539 Case 1:11-cv-06351-HB Document 102 Filed 06/29/12 Page 6 of 21 elements of the UDHR and our country's failure to apprO\ie of other elements (especially elements related to economic and social rights). 16. Another book I located through the HathiTrust was NGOs in international Politics. This book was published in 2006 and I also identified it through the HathiTrust website even though it did not provide the ability to view the full text of the book online. Again, using the HathiTrust website, I was ab le to locate a copy of the book at the Princeton library. This book contains 5everol pages of discussion of the role of the United States Agency for International De. . elopment in re lation to international NGOs, including the agency 's programs relating to human rights. which is also relevant to my research. \ 7. Despite significant efforts to locate relevant sources for my research, I had not identified either Univer...·al Ilumall Rights: Origins and Development or NGOs in llliernmional Politics through the OPAC or other resources that do not utilize full tex t searching. 18. 1have not provided testimony as an expert in any cases in the last four years. 19. 1 am being paid in connection with th is declaration and any deposition or trial testimony at a rate or$ 1,000 per ful l day of work. [ declare under penalty or perjury under the laws of the United States that the foregoing is true and correct. 04- nate: June 2(1, 2012 9fJ.J~ Stan y N. Katz 6 A-540 Case 1:11-cv-06351-HB Document 102 Filed 06/29/12 Page 7 of 21 EXHIBIT A A-541 Case 1:11-cv-06351-HB Document 102 Filed 06/29/12 Page 8 of 21 Stanley N. Katz curriculum vitae www.princeton.edu/~snkatz PERSONAL DATA Born: Chicago, Illinois, April 23, 1934; Married, two children Address: (o)428 Robertson Hall, Woodrow Wilson School, Princeton University, Princeton, NJ 085441013 (ph) 609-258-5637 (fax) 609-258-1235 (h)152 Clover Lane, Princeton, New Jersey, 08540 (ph) (609) 921-7379 E-mail: snkatz@wws.princeton.edu Web: http://www.princeton.edu/~snkatz Web: http://princeton.edu/~artspol/ EDUCATION A.B. Harvard University (Magna cum laude; Phi Beta Kappa). English History and Literature, 1955. M.A. Harvard University, American History, 1959. Ph.D. Harvard University, American History, 1961. Harvard Law School, 1969-70. EMPLOYMENT Harvard University, 1957-65 Teaching Fellow, History Department, 1957-59. Instructor, History Department, 1961-64. Assistant Professor, History Department, 1964-65. (Dean: Allston Burr Senior Tutor in Leverett House, 1963-65.) University of Wisconsin, 1965-71 Assistant Professor, History Department, 1965-68. Associate Professor, History Department, 1968-71. University of Chicago, 1971-78 Professor of Legal History, 1971-78. Professor of History, 1974-78. Associate Dean, Law School, 1974-78. Committee on Public Policy Studies, 1975-78; Chairman, 1977-78. University of Pennsylvania Law School, Visiting Professor of Law, 1979-86. Adjunct Professor of Law, Fall, 2003 American Council of Learned Societies, President, 1986-97. Board of Directors, Council for International Exchange of Scholars (CIES), 1986-96. Conference Board of Associated Research Councils, 1986-97, (Chair, 1986-93). Sponsors Group, Committee on Scholarly Communication with China (CSCC), 1986-97. Board of Directors, International Research & Exchanges Board (IREX), 1986-94, (Chair, 1986-91). Princeton University, 1978Class of 1921 Bicentennial Professor of the History of American Law and Liberty, 1978-86. Professor of Public and International Affairs, Woodrow Wilson School, 1982-86. Master, John D. Rockefeller 3rd College, 1982-86. Senior Fellow, Public and International Affairs, Woodrow Wilson School, 1986-97. Co-Director, Center for Arts and Cultural Policy Research, 1994-98; Director, 1998 – http://www.princeton.edu/~artspol/ Lecturer with the rank of Professor, Woodrow Wilson School, 1997Faculty Chair, Undergraduate Program, Woodrow Wilson School, 1998 – Director, Woodrow Wilson Society of Fellows, 1997 – Vice President (1998-99), President (1999-01), Board (1998-2006)Center for Jewish Life. Acting Director, Program Law and Public Affairs (LAPA), 2004-5. A-542 Case 1:11-cv-06351-HB Document 102 Filed 06/29/12 Page 9 of 21 06/26/12 S. N. Katz 2 Cardozo Law School, Yeshiva University, Lecturer in Law, 1998-2000. FELLOWSHIPS Fulbright, King's College, London, U.K., 1959-60. Harvard Graduate School of Arts and Sciences, 1960-61. Research Fellow in Legal History, American Bar Foundation, 1966-67. Research Fellow, Charles Warren Center for Studies in American History, Harvard University, 1966-67. Fellow in Law and American History, Harvard Law School, 1969-70. Study Fellowship (Law), American Council of Learned Societies, 1969-70. National Endowment for the Humanities Fellowship for Independent Study and Research, 1981-82. Visiting Fellow, Institute for Advanced Study, Princeton, New Jersey, 1981-82, 1/92-6/92. Fellow, National Constitution Center, Philadelphia, Fall, 2003 MAJOR, ENDOWED LECTURES OR KEYNOTE ADDRESSES “Property and Revolution: The Law of Inheritance,” Cooley Lecture, University of Michigan Law School, November 1975. “Philanthropy and Cultural Diplomacy,” Keynote Address, Fulbright Alumni Association, College Park, Maryland, September 25, 1982. “Constitutionalism and the American Founding,” 1st Annual Jessie Swift Lecture in American Constitutionalism, Middlebury College, May 7, 1985. “Constitutionalism and the Humanities,” Annual Lecture, New Jersey Committee for the Humanities, Princeton, New Jersey, June 18, 1986. “The Burden of Humanism: The University and Society,” Innaugural Banquet, University of North Carolina, Chapel Hill, October 16, 1986. “The Revolutionary Origins of American Constitutionalism,” Annual Lecture, Japanese American Studies Association, Kyoto, March 30, 1987; German American Studies Association, Bremen, June 9, 1987; numerous other similar talks on the Constitution during 1987. “The Institutional Mind: Independent Research Libraries, Learned Societies and the Humanities in the United States,” 175th Anniversary of the American Antiquarian Society, Worcester, Massachusetts, October 22, 1987. “The Strange Birth and Unlikely History of Constitutional Equality,” Presidential Address, Organization of American Historians, Reno, Nevada, March 25, 1988; also as “Constitutional Equality,” Harold and Margaret Rorschach Lecture in Legal History, Rice University, Houston, Texas, April 6, 1990; also as “Does the Constitution Guarantee Equality,” Kohlenberg-Towne Lecture Series, Northeast Missouri State University, Kirksville, Missouri, March 19, 1991. “Constitutional Equality in American History,” Second Annual Alfred L. Luongo Lecture, Historical Society of the United States District Court for the Eastern District of Pennsylvania, Philadelphia, December 8, 1988. “Constitutionalism in East Central Europe: Some Negative Lessons from the American Experience,” 4th Bratislava Symposium: Constitutionalism and Politics, Bratislava, Slovakia, November 11, 1993; Seventh Annual Lecture, German Historical Institute, Washington, D.C., November 15, 1993. “The Scholar, the Community, and the World,” Keynote Address, 20th Anniversary Festival, Virginia Foundation for the Humanities, Richmond, Virginia, October 14, 1994. “Do Disciplines Matter? History and the Social Sciences,” Keynote Address, 75th Annual Meeting, Southwestern Social Science Association, Dallas, Texas, March 23, 1995. “Depending on Strangers: At Home and Abroad,” Maurice Guerin Lecture at the International Conference on Fund Raising, Boston, Massachusetts, March 6, 1994. “United We Stand: Moving Carefully and Collaboratively into the Future,” Keynote Address, 7th Annual Joint Conference, Association for Computers and the Humanities and Association for Literary and Linguistic Computing, U. of California, Santa Barbara, Santa Barbara, California, July 12, 1995. “Accountability in the Arts and Sciences: Images and Reality,” Annual Meeting, Council of Colleges of Arts and Sciences, Philadelphia, Pennsylvania, November 14, 1996. A-543 Case 1:11-cv-06351-HB Document 102 06/26/12 Filed 06/29/12 Page 10 of 21 S. N. Katz 3 “Can Liberal Education Cope?,” keynote address for the Annual Meeting, Association of Graduate Programs in the Liberal Arts, Philadelphia, October 30, 1997. “Public and Private Issues: The Role of Research,” keynote address for the inaugural conference, Israeli Center for Third-sector Research, Ben Gurion University of the Negev, Beer Sheva, Israel, 15 March, 1998. “Constitutionalism and Civil Society,” the Jefferson Memorial Lecture, University of California, Berkeley, 25 April, 2000. Also delivered at: Yale Law School, Legal History Workshop, 2 October 2000; Chicago-Kent Law School, 25 October 2000. “What would it mean to be a ‘just’ university?” After dinner address for the conference on "Higher Education In and For a Just Society," 125th anniversary of Texas A&M University, College Station, Texas, 3 October 2001. “Constitutionalism and Human Rights: The Dilemma of the United States,” Second Annual Walter F. Murphy Lecture in American Constitutionalism, Princeton University, 28 February 2002. “Everything that happens globally happens in some particular place,” keynote address for Festschrift conference in honor of Lloyd and Susanne Rudolph, University of Chicago, 10 April 2003. “Why Technology Matters: the Humanities in the 21st Century,” Wisbey Lecture, King’s College, University of London, 15 October 2003. “America’s Human Right Dilemma: Constitutions, Popular Sovereignty and Foreign Values,” Annual Lecture, National Constitution Center, Philadelphia, Pennsylvania, 20 November 2003 (also For the Chiesman Foundation, Black Hills State University, Spearfish, S.D., 4 March 2004). “Gun Barrel Democracy? Democratic Constitutionalism Following Military Occupation: Reflections on the US Experience in Japan, Germany, Afghanistan, and Iraq,” Bodek Lecture, University of Pennsylvania, 14 May 2004. “Libraries Are To Liberal Education as Lakes Are To Swimming,” Keynote Address, Dedication of Donnelley and Lee Library, Lake Forest College, Chicago, 8 October 2004. “Who’s Afraid of Senator Byrd? The Constitution and the Uses of American History,” Princeton University Constitution Day Lecture, 17 September 2007. “General Education and Democracy: What Can John Dewey Tell Us?,” Alan Nevins Lecture, Huntington Library, San Marino, California, 29 January 2009: OTHER LECTURES AND PAPERS AT CONFERENCES “The Making and Breaking of Colonial Governors: Newcastle's New York,” OAH, Cincinnati, April 1966. “Between Scylla and Charybdis: Anglo-American Politics in New York, 1710-1760,” 20th Conference on Early American History, Rutgers University, October 1966. “Andrews Revisited: The English Colonial Bureaucracy, 1607-1776,” AHA, New York, December 1968. “Controversies over Chancery Courts and Equity Law in the Middle Colonies,” 29th Conference on Early American History, Newark, October 1970. “Teaching Legal History in Law Schools,” AHA, New Orleans, 1972. “Constitutionalism and the American Revolution,” National Archives Conference, Washington, D.C., November 1973. “Thomas Jefferson and the Right to Property in Revolutionary America,” Bicentennial Lecture, University of Chicago Law School, February 1976. “The Legal Preconditions of the American Philanthropic Foundation,” ASLH, November 1977. “The Future of Legal History,” Conference on American Legal History, National Archives, Washington, D.C., September 1978. “Law and Philanthropy,” History Department, University of Texas at El Paso, March 1979. “The Legitimization of the Philanthropic Foundation,” Davis Center, Princeton University, January 1981. “Problems in Private Foundation Support of Academic Research: The U.S. Experience,” University of Chicago Law School Conference on Philanthropy, April 1981. “Current Research in American Legal History: The Ideological Challenge,” OAH, Detroit, April 1981. “The Nation, the State and the People; or, Lessons from the Anti-Federalists,” Commencement Address, Stockton State College (N.J.), May 1981. A-544 Case 1:11-cv-06351-HB Document 102 06/26/12 Filed 06/29/12 Page 11 of 21 S. N. Katz 4 “The Problem of a Colonial Legal History,” Conference on Anglo-American Colonial History, Oxford, August 1981. “History and the Future of Philanthropy,” Independent Sector, Minneapolis, October 1981. “The Current State of American Legal History,” Inaugural Conference of Australian Law and History Society, May 16, 1982 (included in the Lecture Tour of Australia, United States Information Agency), April, May 1982). “Legal Theory and Colonial Legal History,” Yale Law School Legal Theory Workshop, November 1982. “Women and Fundraising in Historical Perspective,” Mt. Holyoke College Conference on Volunteerism, March 19, 1983. “George Washington: The Great White Father and His Indian Children (or, White Eyes and Conotocarious),” Pennsylvania Historical Society, April 30, 1983. “The American Academic Community and International Educational Exchange,” 13th Conference of European Fulbright Executive Directors, Salzburg, Austria, May 21, 1983. “The History of Philanthropy: Foundations,” Organization of American Historians, Los Angeles, April 1984. “Changing Values and Modern American Philanthropy,” Independent Sector Research Forum, New York City, April 1984. “History, Cultural Policy and International Exchange in the Performing Arts,” Rockefeller Foundation Conference on Support of Contemporary Performing Arts in Europe and America, Bellagio, June 10-14, 1985. “Philanthropy and Public Policy in the United States,” Plenary Meeting XII of the President's Committee on the Arts and the Humanities, The Henry Francis duPont Winterthur Museum, Winterthur, Delaware, June 19, 1986. “Foundations and the History of Philanthropy in the U.S.,” Salzburg Seminar in American Studies, Salzburg, Austria, June 21-July 4, 1986. “Foundations and Public Policy,” Minnesota Council on Foundations 1987 Summer Seminar, Minneapolis, Minnesota, August 6, 1987. “Constitutional Accountability,” National Archives Constitution Study Group Bicentennial Lecture, Washington, D.C., August 12, 1987. “The Constitution, Democracy and Education in the United States,” The Woodrow Wilson National Fellowship Foundation, Princeton, New Jersey, November 10, 1987. “Philanthropy, Politics, and Culture in American Society,” American Studies Association/Canadian Association for American Studies International Convention, New York City, November 21, 1987. “Cultural Relations between Europe (Italy) and the United States post-World War II,” “Nationes” Days, University of Bologna, Bologna, Italy, November 17, 1988. “The Uneasy Case for Constitutional Equality,” 27th Annual Callahan Lecture, West Virginia University, Morgantown, West Virginia, April 11, 1989. “George Washington's States,” before the legislature of the state of New Hampshire, New Hampshire Humanities Council, Concord, New Hampshire, April 25, 1989. “Humanists at Work,” Symposium, Humanists at Work: Disciplinary Perspectives and Personal Reflections, University of Illinois at Chicago, April 28, 1989. “Out of Small Beginnings,” Bicentennial Ceremony, United States District Court for the District of New Jersey, Newark, New Jersey, December 14, 1989. “Teaching, Learning, and the Community,” The President's Lecture Series, University of Montana, Missoula, Montana, October 29, 1990. “Scholars, Teachers, Pastors: The Study of Religion in the Academy,” 1990 Annual Meeting of the American Academy of Religion and the Society of Biblical Literature, New Orleans, November 17, 1990. “Strong Bills of Rights: The States, 1776-1840,” The Bill of Rights: Government Proscribed, 1991 Symposium of the United States Capitol Historical Society, Washington, D.C., March 13, 1991. “The Plight of the Humanities in the Research University,” Series on: Issues in Education, Committee on Public Lectures, Princeton University, Princeton, New Jersey, November 14, 1991. “Challenges to Higher Education in the U.S.: The Humanities and Social Sciences,” 1992 Annual Meeting, American Association for the Advancement of Science, Chicago, February 12, 1992. A-545 Case 1:11-cv-06351-HB Document 102 06/26/12 Filed 06/29/12 Page 12 of 21 S. N. Katz 5 “Pluralism, Democracy and Higher Education in the U.S.,” A Lecture in Honor of the 50th Anniversary of the USIS Benjamin Franklin Library, Mexico City, May 12, 1992. “Changing Conceptions of Pluralism in American Law and Constitutionalism,” Conference, American Pluralism: Towards a History of the Discussion, State University of New York at Stony Brook, Stony Brook, New York, June 5, 1992 “Challenges to American Higher Education in the Twenty-first Century,” Conference on Higher Education in Japan and the U.S., University of Tsukuba, Tsukuba, Japan, June 11, 1992. (Translated into Japanese by Izo Shimizu, “IDE - Current Higher Education,” No. 340: American General Education Today, November, 1992.) “The Humanities and Public Education,” ACLS Conference on The Humanities in the Schools, The Huntington Library, San Marino, California, August 31, 1992. “Form and Substance in the Electronic Age,” International Symposium on Rare Book and Manuscript Libraries in the Twenty-First Century, Houghton Library, Harvard University, Cambridge, Massachusetts, September 11, 1992. “The Humanities and the Future of the Research Library,” Fifth Japan-U.S. Conference on Libraries and Information Science in Higher Education, Tokyo, Japan, October 9, 1992. “Cultural Policy and the State: From Kennedy to Clinton,” under the auspices of the Ministry of Cultural Affairs, Wellington, New Zealand, July 5, 1993. “Forming Cultural Policy: Reconciling Government and Community Perspectives,” under the auspices of the New Zealand Academy for the Humanities; Wellington, New Zealand, July 7, 1993. “Popular Culture Hits (?) the Academy,” under the auspices of the New Zealand Academy for the Humanities, Hamilton, New Zealand, July 8, 1993. “Peace and Pluralism Through Knowledge,” Luncheon Address, 16th Annual Meeting of the Fulbright Association, Washington, D.C., October 2, 1993. “Research on Philanthropy in the United States: Lessons for International and Comparative Research,” Voluntas Foundation Symposium, Paris, October 21, 1993. “Restructuring for Liberal Education in the 21st Century,” Conference on Rethinking Liberal Education, sponsored by the American Council of Learned Societies and the Educational Leadership Program of the Christian A. Johnson Endeavor Foundation, held at the American Academy of Arts and Sciences, Cambridge, Massachusetts, April 15, 1994. “Liberal Arts Education for the Coming Century,” Commencement Address, University of Puget Sound, Tacoma, Washington, May 14, 1994. “The Scholar-Teacher, the University and Society,” Conference on the Politics of Research, Rutgers University, New Brunswick, New Jersey, October 21, 1994. “Opening Address,” Bondage, Freedom & the Constitution, Cardozo Law School Conference, New York, New York, February 19, 1995. “The Best of Times and the Worst of Times (the state of the Humanities),” Humanities Council, University of Florida, Gainesville, Florida, September 28, 1995. “The Emergence of Constitutionalism after the Cold War,” The Second Annual Milton M. Klein Endowment Lecture, University of Tennessee, Knoxville, Tennessee, October 9, 1995. “Scholars, Institutions, Educational Policy,” Keynote Address, Association for the Study of Higher Education, Orlando, Florida, November 2, 1995. “The Holocaust and the Universities: Teaching and the Liberal Arts,” Conference on “America’s Encounter with the Holocaust: Cultural Perspectives,” co-sponsored by American University, the Scholarly Division of the United States Holocaust Memorial Museum, and the United States Holocaust Research Institute, Washington, D.C., November 8, 1995. “History, Law and Politics,” 10th Annual DeBartolo Conference, Tampa, Florida, February 23, 1996. “Advocacy and History,” Keynote Address, New Jersey History Issues Convention, New Brunswick, New Jersey, March 23, 1996. “The Public Duties of Our Profession,” Presidential Forum, 27th Annual Meeting, American Society for Eighteenth-Century Studies, Austin, Texas, March 30, 1996. “History, Politics, and Law: A Personal Journey,” Society of Fellows in the Humanities, Columbia University, New York, New York, April 11, 1996. A-546 Case 1:11-cv-06351-HB Document 102 06/26/12 Filed 06/29/12 Page 13 of 21 S. N. Katz 6 “Scholarship and Public Policy: The Institutional Structure,” Public Lecture, University of Minnesota, Minneapolis, Minnesota, May 13, 1996. “The End of the World as We Have Known It,” Commencement Address, Graduate School, Brown University, Providence, Rhode Island, May 27, 1996. “What is the Content of Liberal Education?” What Does Liberal Education Offer Civil Society?, Educational Leadership Program (of the Christian A. Johnson Endeavor Foundation) Conference, Budapest, Hungary, October 25, 1996. “Morality and Education,” Commencement Address, C.W. Post Campus, Long Island University, Brookville, New York, February 2, 1997. “Liberal Education After the Disciplines,” a paper prepared for the Rollins College Colloquy, Toward a Pragmatic Liberal Education: The Curriculum of the 21st Century, Winter Park, Florida, February 14, 1997. “The College as Crossroads: Liberal Education at the Century’s End,” lecture at the presidential inauguration, Earlham College, Richmond, IN, 26 March, 1998. “Is the United States a Role Model? Does our Constitutional History Provide an Example for Newly Democratizing Societies?,” the Driggs Lecture, University of Minnesota at Morris, 9 April, 1998. “Educational Crossroads: Accountability in Colleges and Universities,” University of Colorado at Boulder, 17 April, 1998. With Benjamin Gidron, “The International Study of Peace/Conflict Resolution Organizations: Preliminary Findings,” International Research, Ben Gurion University of the Negev, Beer Sheva, Israel, 9 July, 1998. “A Computer is not a Typewriter, or, Getting Right with Information Technology in the Humanities,” Digital Directions Lecture Series, University of Virginia, Charlottesville, 5 February 1999. “Does Constitutionalism Require Civil Society? And Vice Versa?,” Rorschach Lecture, Rice University, 11 November 1999. “Liberal Education, the Modern University, and the 21st Century,” Integrative Studies Institute, Michigan University, East Lansing, MI, 1 December 1999. “Constitutionalism, Democracy and Civil Society,” Holden Lecture, University of New Hampshire, Durham, 5 April, 2000. “Intellectual Needs Shaping Technical Solutions,” Building Blocks Conference of the National Initiative for a Networked Cultural Heritage (NINCH), Washington, D.C., 23 September 2000. “Don’t Confuse a Tool with a Goal: Making Information Technology Serve Higher Education, Rather Than the Other Way Around,” Forum on the Future of Higher Education, Aspen Symposium, Aspen, Colorado, 26 September 2000 Commencement address, Roosevelt University, Chicago, Illinois, 11 January 2003. “What’s Wrong with Higher Education,” Graduate School, University of Wyoming, Laramie, 5 March 2004. “The Just University,” University of North Florida, Gainsville, 7 October, 2004. “Gun Barrel Democracy? Perspectives on Democratization in Afghanistan and Iraq,” Wayne State University, Detroit, Center for the Study of Citizenship, 14 December 2004. “Graduate Education and the Real World: Doing Good by Doing Well,” Convocation, College of Humanities and Social Sciences, George Mason University, Fairfax, Virginia, 15 May 2004 “Why There’s No ‘Free Lunch’ on the Internet: Two stories from academe,” Specialized Information Publishers Association (SIPA), Washington, DC, 1 June 2008. “General Education and Democracy: What Can John Dewey Tell Us?,” Allen Nevins Lecture, Huntington Library, San Marino, CA, 29 January 2009. “Why There’s No Free Lunch in Cyberpublishing: Take Two,” Penn State University Libraries, State College, PA, 19 March 2009. “Whither Philanthropy: New Problems and New Directions,” Annual Phi Beta Kappa Fellows dinner, New York City, 22 June 2010. “What is the “new normal’ in higher education?,” Interdisciplinary Humanities Center, University of California, Santa Barbara, 8 November 2010. “Can the Liberal Arts College Help to Save Our Democracy?,” Ewing Lecture, Lycoming College, A-547 Case 1:11-cv-06351-HB Document 102 06/26/12 Filed 06/29/12 Page 14 of 21 S. N. Katz 7 Williamsport, PA, 3 April 2012. PUBLICATIONS “Newcastle's New York Governors,” New York Historical Society, Quarterly LI (1967), pp. 7-24. “Looking Backward: The Early History of American Law,” University of Chicago Law Review XXXIII (1966), pp. 867-884. “The Origins of American Constitutional Thought,” Perspectives in American History III (1969), pp. 474490. “Between Scylla and Charybdis: James DeLancey and Anglo-American Politics in Early Eighteenth Century New York,” in A.G. Olson and R.M. Brown (eds.), Anglo-American Political Relations, 1675-1775, Rutgers University Press, 1970, pp. 92-108. “A New York Mission to England: The London Letters of Lewis Morris to James Alexander, 1735-1736,” William and Mary Quarterly, 3rd ser., XXVIII, (1971), pp. 439-484. Editor, James Alexander, A Brief Narrative of the Case and Tryal of John Peter Zenger, Harvard University Press, 1963; 2nd ed., revised, 1972. Newcastle's New York: Anglo-American Politics, 1732-1753, Harvard University Press, 1968. With Stanley I. Kutler (eds.), New Perspectives On the American Past, 2 Vols., Little, Brown, 1969; 2nd ed., 2 Vols., 1972. Editor, Colonial America: Essays in Politics and Social Development, Little, Brown, 1971; 2nd ed., revised 1976; 3rd ed., with John M. Murrin, Alfred A. Knopf, 1983; 4th ed., with John M. Murrin and Douglas Greenberg, McGraw-Hill, Inc., 1992, 5th edition, with Murrin and Greenberg, McGraw-Hill, Inc., 2000; 6th edition, with Murrin, Greenberg, David J. Silverman and Denver Brunsman, Routledge, 2010. “The Politics of Law in Colonial America: Controversies over Chancery Courts and Equity Law in the Eighteenth Century,” Perspectives in American History V, (1971), pp. 485-518. “Republicanism and the Law of Inheritance in the American Revolutionary Era,” 76 Michigan Law Review, (1977), pp. 1-29. “Thomas Jefferson and the Right to Property in Revolutionary America,” 19 Journal of Law and Economics, (1976), pp. 467-487. “Postscript 1978: Bibliographical Note,” in Richard L. Perry (ed.), Sources of Our Liberties, American Bar Foundation, (1978), pp. 449-456. “Introduction,” Sir William Blackstone, Commentaries on the Law of England, Vol. I (reprinted), University of Chicago Press, 1979. With Barry D. Karl, “Donors, Trustees, Staffs: An Historical View, 1890-1930,” in The Art of Giving, Rockefeller Archives Center, Pocantico Hills, New York, 1977, pp. 3-14. “The Legal and Religious Context of Natural Rights Theory: A Comment,” in Patricia U. Bonomi (ed.), Party and Political Opposition in Revolutionary America, The Sleepy Hollow Press, Tarrytown, New York, 1980, pp. 35-42. “Law and Economic Development: A Commentary,” in Glenn Porter and W.H. Mulligan, Jr. (eds.), Working Papers, Regional Economic History Center, Wilmington, 1980, pp. 90-99. With Stanley I. Kutler (eds.), American History: Progress and Prospects, Johns Hopkins University Press, 1983. “The Problem of a Colonial Legal History,” in Jack P. Greene and Jack Pole, (eds.), Colonial British America, Johns Hopkins University Press, 1984, pp. 457-489. With Barry D. Karl, “The American Private Philanthropic Foundation and the Public Sphere, 1890-1930,” Minerva XIX (1981), pp. 236-270, (pub. March 1983). “An Historical Perspective on Crises in Civil Liberties,” in Norman Dorsen, (ed.), Our Endangered Rights, Pantheon, 1984, pp. 311-323. “Influences on Public Policies in the United States,” in W. McNeil Lowry, (ed.), The Arts and Public Policy, Prentice-Hall, 1984, pp. 23-37. With Barry Sullivan and C. Paul Beach, “Legal Change and Legal Autonomy: Charitable Trusts in New York, 1777-1893,” Law and History Review (1985), pp. 51-90. “The Scholar and the Public,” Humanities (June, 1985) 6, pp. 14-15. A-548 Case 1:11-cv-06351-HB Document 102 06/26/12 Filed 06/29/12 Page 15 of 21 S. N. Katz 8 “Grantmaking and Research in the U.S., 1933-1983,” Proceedings of the American Philosophical Society, 129 (1985), pp. 1-2. “The History of Foundations: Giving & Volunteering,” New Frontiers of Knowledge Independent Sector/United Way Institute, (Working Papers, Spring, 1985) pp. 75-90. “A Historical and Social Perspective on Judicial Corruption,” l6 Loyola University of Chicago Law Journal, (1985), pp. 449-457. “History, Cultural Policy, and International Exchange in the Performing Arts,” Performing Arts Journal IX (1985), pp. 76-88. “Constitutionalism as a Bicentennial Theme,” Federation Review IX (1986), pp. 42-49. “The American Constitution: A Revolutionary Interpretation,” in Richard Beeman, Stephen Botein, and Edward C. Carter II, (eds.), Beyond Confederation: Origins of the Constitution and American National Identity, University of North Carolina Press for the Institute of Early American History and Culture, 1987, pp. 23-37. With Barry D. Karl, “Foundations and Ruling Class Elites,” Daedalus 116 (1987), pp. 1-40. Spanish version, Las fundaciones y las elites de la clase dominante, Division Cultural, NRM Nucleo Radio Mil, Mexico, D.F., 1992. “The Institutional Mind: Independent Research Libraries, Learned Societies and the Humanities in the United States,” Proceedings of the American Antiquarian Society Volume 97 Part 2 (1987), pp. 283-298, (pub. May 1988). “Constitutional Equality,” this Constitution: A Bicentennial Chronicle published by Project ‘87 of the American Historical Association and the American Political Science Association, No. 18 (Spring/Summer 1988), pp. 31-35. “The ‘Public Humanities’ Depend on Vigorous, Specialized Scholarship,” Point of View, The Chronicle of Higher Education, October 5, 1988, p. A52. “The Strange Birth and Unlikely History of Constitutional Equality,” The Journal of American History, Volume 75, No. 3, (Dec., 1988), pp. 747-762. “Law,” in William Bate and Perry Frank, (eds.), Handbook for the Study of the United States, United States Information Agency, 1989, pp. 75-78. “I rapporti culturali fra Europa e Stati Uniti dopo la Seconda guerra mondiale,” il Mulino, anno XXXVII, numero 324, (4/89), pp. 643-651. “Libraries and Me,” Humanists at Work: Papers presented at a symposium held at the University of Illinois at Chicago, University of Illinois, Chicago, 1989, pp. 115-121. “Congress’s Reaction to 2 Controversial Photographic Exhibits May Pose an Even Greater Threat to Scholars Than to Artists,” Opinion, The Chronicle of Higher Education, September 13, 1989, p. B1. Reprinted as “Don’t Bite (or Lick) the Hand that Feeds You,” ACLS Newsletter, Vol. 2, No. 3, Winter 1990, pp. 2-4. “Disorder in the Courts,” The New Republic, (June 18, 1990), pp. 46-49. With Michael Kammen, “Bernard Bailyn, Historian and Teacher,” in James A. Henretta, Michael Kammen, and Stanley N. Katz (eds.), The Transformation of Early American History, Alfred A. Knopf, New York, 1991, pp. 3-15. “Developing Human Resources,” Challenges and Opportunities for U.S.-Japan Exchange in the New Era: Report of the International Symposium, Center for Global Partnership, The Japan Foundation, (August, 1991), pp. 67- 71. Introduction, “Explaining the Law in Early American History,” The William and Mary Quarterly, 3rd Series, Vol. L, No. 1, (January, 1993), pp. 3-6. “Constitutionalism and Revolution,” Cardozo Law Review, Volume 14, Numbers 3-4, (January 1993), pp. 635-638. Editor (with others), Constitutionalism and Democracy: Transitions in the Contemporary World, Oxford University Press, New York, 1993. Foreword, in Peter Juviler and Bertram Gross, (eds.), with Vladimir Kartashkin and Elena Lukasheva, Human Rights for the 21st Century: Foundations for Responsible Hope, A U.S.-Post-Soviet Dialogue, M. E. Sharpe, Armonk, New York, 1993, pp. xv-xvi. A-549 Case 1:11-cv-06351-HB Document 102 06/26/12 Filed 06/29/12 Page 16 of 21 S. N. Katz 9 Comments on, James Culbertson, “Pharaoh's Dreams . . . and Ours,” in Randolph Jennings, (ed.), Fire in the Eyes of Youth: The Humanities in American Education, Occasional Press, St. Paul, Minnesota, 1993, pp. 61-63. Foreword, in Richard T. Arndt and David Lee Rubin, (eds.), The Fulbright Difference, 1948-1992: Studies on Cultural Diplomacy and the Fulbright Experience, Transaction Publishers, New Brunswick, New Jersey, 1993, pp. xv-xvii. “The Humanities and Public Education,” The Humanities in the Schools, American Council of Learned Societies Occasional Paper, No. 20, (1993), pp. 1- 10. “Form and Substance in the Electronic Age,” in Richard Wendorf (ed.), Rare Book and Manuscript Libraries in the Twenty-First Century, Harvard University Library, Cambridge, Massachusetts, 1993, pp. 17-21. Also published as New Series, Volume 4, Number 1 and 2 of the Harvard Library Bulletin. “The Humanities and the Future of the Research Library,” in Tadao Shimizu, Jiro Asano, Haruki Nagata, Warren M. Tsuneishi, Theodore F. Welch, and Hideo Kaneko (eds.), Japan-U.S. Collaboration in Enhancing International Access to Scholarly Information: Looking Toward the 21st Century, Universal Academy Press, Inc., Tokyo, 1993, pp. 36-44. “Constitutionalism in East Central Europe: Some Negative Lessons from the American Experience,” German Historical Institute, Annual Lecture Series No. 7, Washington, D.C., 1994. Reprinted in Irena Grudzinska Gross, ed., Constitutionalism and Politics, Bratislava, 1994, pp. 14-22; “Konstytucjonalizm w Europie Srodkowo-Wschodniej: kilka negatywnych lekcji z doswiadczenia Ameryki,” in Pawel Spiewak (ed.) Konstytucjonalizm, Demokracja, Wolnosc, Warsaw, 1996, pp. 56-64, in Vicki C. Jackson and Mark Tushnet, eds., Comparative Constitutional Law, New York, 1999, pp. 283-6. With Douglas Greenberg (eds.), The Life of Learning, Oxford University Press, New York, 1994. Foreword, in Irena Grudzinska-Gross, (ed.), Constitutionalism in East Central Europe: Discussions in Warsaw, Budapest, Prague, Bratislava, Czecho-Slovak Committee of the European Cultural Foundation, Bratislava, 1994, pp. 4-6. “The Unfinished Project of Humanism,” Common Knowledge, Vol. 3, No. 1, 1994, pp. 13-15. “Philanthropy and Democracy: Which Comes First?,”Advancing Philanthropy, Summer 1994, pp. 34-39. “Defining Education Quality and Accountability,” Point of View, The Chronicle of Higher Education, November 16, 1994, p. A56. “The Case for Federal Funding of the Humanities and the Arts,” The Key Reporter, Phi Beta Kappa, Volume 60, Number Two, Winter 1994-95, p. 4. “Possibilities for Remaking Liberal Education at the Century’s End,” in Robert Orrill, (ed.), The Condition of American Liberal Education/Pragmatism and a Changing Tradition, College Entrance Examination Board, New York, 1995, pp. 127-133. “Remaking Liberal Education at the Century’s End: Problems and Prospects,” The College Board Review, No. 175, Spring 1995, pp. 22-27. “Do Disciplines Matter? History and the Social Sciences,” Social Science Quarterly, Volume 76, Number 4, December, 1995, pp. 863-877. “The Future of Educational Exchange in North America: A View from the United States,” in Peggy Blumenthal, Craufurd Goodwin, Alan Smith, and Ulrich Teichler (eds.) Academic Mobility in A Changing World, Jessica Kingsley Publishers, London and Bristol, Pennsylvania, 1996, pp. 220236. “Restructuring for the Twenty-First Century,” in Nicholas H. Farnham and Adam Yarmolinsky, (eds.), Rethinking Liberal Education, Oxford University Press, New York, 1996, pp. 77-90. “Opening Address,” Cardozo Law Review, Yeshiva University, Volume 17, Number 6, May, 1996, pp. 1689-1693. “Vieles regelt die offene Gesellschaft selbst,” Das Parlement (Bonn) 47 Jahrgang/Nr. 17, April 18, 1997, p. 11 “The Scholar-Teacher, the University and Society,” in E. Ann Kaplan and George Levine, (eds.), The Politics of Research, Rutgers University Press, New Brunswick, NJ, 1997, pp. 46-58. “Official History: the Holmes Devise History of the Supreme Court,” Proceedings of the American Philosophical Society, Vol. 141, no. 3 (September, 1997), pp.297-304. A-550 Case 1:11-cv-06351-HB Document 102 06/26/12 Filed 06/29/12 Page 17 of 21 S. N. Katz 10 “La Justice,” in Robert Darnton and Olivier Duhamel, eds., Democratie, Editions du Rocher, [Paris,] 1998, pp. 183-189. “The Legal Framework of American Pluralism: Liberal Constitutionalism and the Protection of Groups,” in Wendy F. Katkin, Ned Landsman, and Andrea Tyree, eds., Beyond Pluralism: The Conception of Groups and Group Identities in America, University of Illinois Press, 1998, pp. 1-27. With Warren F. Ilchman and Edward L. Queen, II, eds., Philanthropy in the World’s Traditions, Indiana University Press, 1998. “Criticism of Foundations,” Grantmakers in the Arts vol. 9 no. 2 (fall, 1998), pp.12-16. “Where Did the Serious Study of Philanthropy Come From, Anyway?,” Nonprofit and voluntary Sector Quarterly, vol. 28, no. 1 March, 1999, pp. 74-82. “Reply,” p. 535 to Peter Dobkin Hall, “The Work of Many Hands: A Response to Stanley N. Katz on the Origins of the ‘Serious Study’ of Philanthropy,” in NSVQ, vol. 28, no. 4, December, 1999, pp. 522-534. “Can Liberal Education Cope?,” The Journal of Graduate Liberal Studies, vol. 4 no. 1 Fall, 1998, pp. 110.; also in Marek Kwiek, ed., The University, Globalization, Central Europe, Peter Lang, Frankfurt, Germany, 2001. “Criticism of Foundations,” Grantmakers in the Arts, vol. 9 no 2, Fall, 1998, pp. 12-16. “A Conversation with Stanley N. Katz,” National Arts Stabilization Journal, vol. 2 no. 3, Summer, 1999, pp.31-34. “The Idea of Civil Society,” Civil Society: New Agenda for U.S.-Japan Intellectual Exchange, Center for Global Partnership Paper Series, 1999, pp.33-38. Benjamin Gidron, Stanley Katz, Megan Meyer, Yeheskel Hasenfeld, Raviv Schwartz, and Jonathan K. Crane, “Peace and Conflict Resolution Organizations in Three Protracted Conflicts: Structures, Resources and Ideology,” Voluntas, December, 1999, pp. 275-298. “Rethinking the Humanities Endowment,” The Chronicle of Higher Education, 5 January 2001, pp. B7-10. "In Information Technology: Don't Mistake a Tool for a Goal," The Chronicle [of Higher Education] Review, 15 June 2001, pp.B7-9; "Don't Confuse a Tool with a Goal: Making Information Technology Serve Higher Education," Futures Forum 200, pp.47-50. "Political Status and Democracy in Multiethnic and Multiracial States," in Norman Dorsen and Prosser Gifford, Democracy and the Rule of Law, CQ Press, Washington, D.C., 2001, pp.162-3. “Effective Uses of Technology Today: An Interview with Stanley N. Katz,” Michigan Community College Journal, vol. 7, no. 2 (Fall, 2001), pp. 9-15. “Forward,” Van Burkleo, Hall and Kaczorowski, eds., Constitutionalism and American Culture: Writing the New Constitutional History (University Press of Kansas, 2002), vii-xi. “Choosing Justice Over Excellence,” The Chronicle[ of Higher Education] Review, 17 May 2002, pp. B79. “Constitutionalism, Contestation and Civil Society,” Common Knowledge, vol. 8 no.2, Spring, 2002, pp.287-303 Benjamin Gidron, Stanley N. Katz, Yeheskel Hasenfeld, Mobilizing for Peace: Conflict Resolution in Northern Ireland, Israel/Palestine and South Africa, Oxford University Press, New York, 2002. Awarded the Virginia A. Hodgkinson Research Prize of Independent Sector, Nov. 2003. “Justice after September 11th,” Academe, January-February 2002 [Reprinted in Across the Disciplines, http://wac.colostate.edu/atd/911] “Excellence Is by No Means Enough,” Common Knowledge, vol. 8, no. 3, Fall, 2002, pp. 427-438. “The Pathbreaking, Fractionalized, Uncertain World of Knowledge,” The Chronicle[ of Higher Education] Review, 20 September 2002, pp. B7-9. [Reprinted as “From Civilised to Fractionalised” in The Australian (Sydney), 30 October 2002. Reprinted as "O Rixikeleuthos, Katakermatismenos, Avevaios Kosmos tis Gnosis"] translation and notes Pantelis Kyprianos, Sygchroni Ekpaidevsi [Contemporary Education] Trimestrial Review of Educational Issues, no. 142, July-September 2005, Athens, pp. 27-35.] “Our Collegiate University: In its Expansion, is Princeton Losing its Way,” Princeton Alumni Weekly, 12 February 2003, pp.17,43 “The Cheated Undergraduate,” Newsday newspaper, Opinion section, 4 May 2003 “Can Liberal Education Cope?” in Marek Kwiek, ed., The University, Globalization Central Europe (Peter Lang, Frankfurt, 2003), pp.57-70. A-551 Case 1:11-cv-06351-HB Document 102 06/26/12 Filed 06/29/12 Page 18 of 21 S. N. Katz 11 “Carnegie and Rockefeller: Their Most Lasting Contribution,” in David L. Halberstam, ed., Defining a Nation: Our America and the Sources of its Strength (National Geographic, Washington, DC, 2003), pp. 212-217. “A New American Dilemma?: U.S. Constitutionalism vs. International Human Rights,” 58 University of Miami Law Review, no.1, Oct. 2003, pp. 323-345 “Scholars and Teachers: Hidden Partners for Hidden Collections,” RBM: A Journalof Rare Books, Manuscripts, and Cultural Heritage, vol. 5, no. 2, Fall, 2004, pp. 115-122. “What Does It Mean to Say that Philanthropy is ‘Effective’? The Philanthropists’ New Clothes,” Proceedings of the American Philosophical Society, vol. 149, no. 2, June 2005, pp.123-131. "Why Technology Matters: The Humanities in the Twenty-First Century," Interdisciplinary Science Reviews, 2005, vol. 30, no. 2, pp. 105-118. “The Liberal Arts in School and College,” The Chronicle[ of Higher Education] Review, 10 March 2006, pp. B46-47. “Democratic Constitutionalism After Military Occupation: Reflections on the United States’ Experience in Japan, Germany, Afghanistan and Iraq,” Common Knowledge, vol.12, no.2, 2006, pp. 181-196. “Philanthropy,” in Ginsburgh, Victor A. and David Throsby, eds., Handbook of the Economics and Art and Culture (North Holland-Elsevier, Amsterdam, 2006), pp. 1299-1321. “Philanthropy’s New Math,” The Chronicle[ of Higher Education] Review, 2 February 2007 “Disciplinary Societies and Evaluating Scholarship: A View From History,” Profession 2007 (Modern Language Association of America, 2007), pp.89-92. “Taking the True Measure of a Liberal Education,” The Chronicle of Higher Education, 23 May 2008, A32. “Assessment and General Education: Resisting Reductionism without Resisting Responsibility,” Liberal Education, vol.94, no.3, 2008, pp.30-37. Editor in Chief, Oxford International Encyclopedia of Legal History, Oxford University Press, New York, 6 vols., 2009. [National History Center: SNK and James Grossman] “The History Major and Liberal Education,” Liberal Education, vol. 95, no.2 (Spring, 2009), pp. 40-47. “Eastern Europe since 1989,” East European Politics and Societies OnlineFirst, published on August 3, 2009 as doi:10.1177/0888325409342111 “Review Essay: W. McNeil Lowry, The performing arts and American society,” The International Journal Cultural Policy, vol. 16, no.1 (February, 2010), pp. 39-40. “The Law Librarian’s Role in the Scholarly Enterprise,” Journal of Law & Education, vol. 39, no.3, July, 2010, pp.355-364. “The Rise of a Modern and Democratic Learned Society,” in Richard S. Kirkendall, ed., The Organization of American Historians and the Writing and Teaching of American History, Oxford University Press, New York, 2011, pp. 13-16. “Prospects for a Global Networked Cultural Heritage: Law Versus Technology?” Ramesh Subramanian and Eddan Katz, eds., The Global Flow of Information: Legal, Social and Cultural Perspectives, New York University Press, NY, 2011, pp.90-102. EDITORIAL Editor, Oliver Wendell Holmes Devise, History of the United States Supreme Court (co-editor with Paul Freund, 1978-89), (1990- ). Editorial Board, Common Knowledge (1991- )(Chair, Editorial Board, 2007- ). Editorial Board, Journal on Computing and Cultural Heritage (2008- ) Editorial Board, The Journal of Arts Management, Law and Society (2006- ) Associate Editor, The Journal of Interdisciplinary History (1970- ). Editorial Board, Nonprofit and Voluntary Sector Quarterly (NVSQ)(1998- ) Associate Editor, Reviews in American History (1973-97). Editorial Board, American Journal of Legal History (1980- ). Editorial Board, Pennsylvania Magazine of History and Biography (1981-86). A-552 Case 1:11-cv-06351-HB Document 102 06/26/12 Filed 06/29/12 Page 19 of 21 S. N. Katz 12 Editorial Board, Journal of the History of Ideas (1986-97). Editorial Board, Voluntas (International Journal of Voluntary and Non Profit Organizations) (1990-96). Editorial Board, William and Mary Quarterly (1997- ), Chair (1998-99) Editor, Studies in Legal History (1971-75), monographic series published by Harvard University Press in association with the American Society for Legal History. Nine volumes edited. Advisory Committee, Journal of Legal Studies (1971-78). Co-editor (with Morton J. Horwitz, American Law: The Formative Years (Arno Press, 1972), 28 vols., reprints of nineteenth century legal treatises. Editorial Board, Continuity and Change (1985-90). Editorial Advisory Board, Teachers College Record (1990-95). Editorial Board, Rice University Press (2007-10) CURRENT OFFICES & ACTIVITIES: Joint Advisory Board, Georgetown University School of Foreign Service-Qatar (2005- ) Board of Trustees, United Nations Ass. Princeton-Mercer Chapter (2010- ) Board of Trustees, Philani Fund USA (2008- ) Princeton AlumniCorps (formerly Princeton Project 55) (2008- ) Board of Trustees, Jill Sigman Thinkdance (2007- ) Commissioner, National Historic Publications and Records Commission, National Archives and Records Administration (2005- ), Executive Committee (2008- ) Board of Trustees, International Cultural Property Society (2004- ) (Treas., 2005-07) (Pres., 2007-08), (Vice Pres., 2008- ). Board of Trustees, Policy Development (2002- ) American Philosophical Society, Library and Research Committees (2002 ). Board of Directors, Copyright Clearance Center, (1997-2010), Director Emeritus (2010- ) Chair, American Council of Learned Societies/Social Science Research Council Working Group on Cuba, (1996- ) Member, New Jersey Council for the Humanities, (1996- ) (Gubernatorial appointee) Member, Council on Foreign Relations, (1994- ). Board of Directors, Eighteenth Century Short Title Catalogue for North America, Inc., (1992- ). Life Trustee, The Newberry Library, (1990- ). Advisory Committee, The Papers of Thomas Jefferson, Princeton University, (1988- ). Chairman, Board of Trustees, Papers of the Founding Fathers, Inc., (1984- ). American Historical Association: Vice President, Research Division, (1997-2000); Chairman, LittletonGriswold Committee (with the American Society for Legal History), (1973-78); Member Research Division, (1976-79), (elected); Member Beveridge Prize Committee, (1981), Committee on Graduate Education in History (2001 - ), Chair, Task Force on Intellectual Property (2001- ). OTHER OFFICES & ACTIVITIES Executive Committee, Society of American Historians (2006- ); Chair, Francis Parkman Prize Committee, 2009. Advisory Council, Center on Nonprofits and Philanthropy, Urban Institute (1997- ). Academic Freedom Committee, Human Rights Watch (1994- ) Board of Overseers, University of Pennsylvania Library (1998-2010) Board of Trustees, National History Center (2002-9) International Advisory Council, Consortium of Humanities Centers and Institutes (2001-06)) Research Task Force, Center for Arts and Culture, Washington, D.C. (1998-05) Board of Directors, Social Science Research Council, Executive Committee (2001-06) Board of Governors, Institute for the International Education of Students (l976-2002). Board of Governors, Humanities Research Institute, University of California (1998-2004) Board of Directors, National Initiative for a Networked Cultural Heritage (NINCH), (1999-2003), President (1999-2001). A-553 Case 1:11-cv-06351-HB Document 102 06/26/12 Filed 06/29/12 Page 20 of 21 S. N. Katz 13 Board of Trustees, Institute for Caribbean and International Studies, St. George’s University, Grenada, W.I. Vice-President, Board of Directors, Friends of the Law Library of Congress, (1992-2003 ). Board of Trustees, The National Faculty, (1995-2001). Supreme Court of New Jersey, Disciplinary Oversight Committee, (1994-01); New Jersey Ethics Commission, (1991-94); Committee on Model Rules of Professional Conduct, (1982-83); Committee on the Sale of Law Practices, (1983-84, 1989). Southern Methodist University: Board of Trustees, (1988-2000); Executive Board, Dedman College, (1988-94); Executive Board, Law School, (1994- ), Executive Board, Library, (1999- ..). Organization of American Historians: International Committee, (1994-99); Ad Hoc Committee on Access to Lawyers’ Files, (1993- ); Executive Committee, (1976-79), (elected); Chairman, Executive Secretary Search Committee, (1981); President-elect (1986-87); President (1987-88). Board of Directors, National Cultural Alliance, (1990-99, Chair, 1997-99). Council, Institute of Early American History and Culture, Williamsburg, Virginia (1997- 99 , 1990-93, 1974-76). Board of Directors, Research Libraries Group, (1996-98, 1991-93). Board of Trustees, Toynbee Prize Foundation, (1994-97), President (1994-97). Advisory Committee, College of the Humanities, Ohio State University (1996- 98) Chair, Governing Board, Thesaurus Linguae Graecae, (1991-96). Independent Sector: Board of Directors, (1989-95); Research Committee, (1983-96, Chair, 1989-93). Trustee, Supreme Court of the United States Historical Society, (1982-96). Board of Overseers for the Humanities, Tufts University, (1989-94). Board of Advisors, Program on Philanthropy and the Law, New York University Law School, (1988-94). Research Committee, Council on Foundations, (1989-93). Council on Academic Affairs, The College Board, (1987-96). Advisory Committee on Special Projects, Center for Advanced Study in the Behavioral Sciences, (198798). Board of Trustees, Historical Society of Pennsylvania, (1987-91). Board of Trustees, National Constitution Center, (1987-90). Executive Committee, National Commission on Social Studies, (1987-89). Advisory Council, The American Trust for the British Library, (1986-96). Board of Trustees, The Historical Society of the United States District Court for the District of New Jersey, (1986-89). Advisory Council, Rockefeller Archives, Pocantico Hills, New York, (1983-89). Program Director, American Bar Foundation, Project in Legal History (Fellowship Competition), (19761987). Council for International Exchange of Scholars (Senior Fulbright Program): American History selection panel, (1975-78); Chairman, (1981-85). Committee on Philanthropic Organizations, Association of the Bar of the City of New York, (1982-1985). American Council of Learned Societies: Delegate, American Society for Legal History (1980-84); American Studies Advisory Committee, (1980-83), President (1986-97). National Endowment for the Humanities State Program: Chairman, Chicago American Issues Forum Committee, (1975-76), Member, New Jersey Committee for the Humanities (1978-84); Vice Chairman (1981-2) Vice-chairman, American Bar Association Commission on Undergraduate Education in Law and the Humanities (1977-81). Chairman, Law Center Consultative Committee, University of Massachusetts, (1974-75). Vice Chair, Board of Directors, Council of American Overseas Research Centers (CAORC), (1991-97); Advisory Board (1988-90). American Society for Legal History: Chairman, Publications Committee (1985-?); Board of Directors, (1975-80), (elected); Vice-President, (1975-78), (elected); President, (1978-80), (elected). Board of Directors, The Hong Kong-America Center, (1993-98). Advisory Board, Center for Electronic Texts in the Humanities (CETH), (1991-97). Council, American Philosophical Society (2002-8) A-554 Case 1:11-cv-06351-HB Document 102 Filed 06/29/12 Page 21 of 21 06/26/12 S. N. Katz 14 Board of Directors, Civic Education Project, (1997- 2007) Board of Directors, Center for Creative Communities (formerly British American Arts Association), (1991-2007). Steering Committee, Lilly Endowment-Princeton University Project on Church and State in the United States, (1983- ). Advisor, Scientific Committee, Fondacion H. Dudley Wright, Geneva, Switzerland (2000-6) Board of Directors, Rice University Press (2007-9) HONORS LL.D. (Hon.) Stockton (N.J.) State College, 1981. D.H.L. (Hon.) University of Puget Sound, 1994. D.H.L. (Hon.) C.W. Post Campus, Long Island University, 1997. D.H.L. (Hon.) Sacred Heart University (Fairfield, CT), 1997. D.H.L. (Hon.) The Ohio State University, 1998 LL.D (Hon.) University of Hartford, 1998 D.H.L. (Hon.) Roosevelt University (Chicago, IL), 2003 D.L.A. (Hon.) Ursinus College (Collegeville, PA), 2003 D.H.L. (Hon.) Dickinson College (Carlisle, PA), 2003 Association of the Comparative History of Institutions and Law of the Socialist Republic of Romania (1978). Permanent Committee on the Oliver Wendell Holmes Devise (appointed by President Gerald Ford, 197684). American Antiquarian Society (1981), (elected). Honorary Fellow, American Society for Legal History (1990). Fellow, American Academy of Arts and Sciences (1991), (elected). Fellow, Society of American Historians (1991), (elected). Corresponding Member, Massachusetts Historical Society (1992) (elected). Member, American Philosophical Society (1996) (elected). The McCreight Award for Distinguished Service to the Humanities, by the Federation of State Humanities Councils (1988). Award for Contributions to Research Libraries, Association of Research Libraries (1997) Academico Correspondiente, Cuban Academy of Sciences (2005) (elected) Troyer-Steele Anderson Award, American Historical Association (for exemplary contribution to the advancement of the Association's mission) (2006) Roy Rosenzweig Distinguished Service Award, Organization of American Historians (for enriching our understanding and appreciation of American history) (2009) Annual Fellows Award, Phi Beta Kappa (2010) National Humanities Medal (awarded by Pres. Obama, 3/2/11) A-555 Case 1:11-cv-06351-HB Document 103 Filed 06/29/12 Page 1 of 6 KILPATRICK TOWNSEND & STOCKTON LLI' Joseph Petersen (JP 9071) Robert Potter (RP 5757) 11 14 Avenue of the Americas New York, NY 10036 Telephone: (212) 775-8700 Facsimile: (212) 775-8800 Email: jpetersen@ki lpatricktownsend.com Joseph M. Beck (admitted pro hac vice) W. Andrew Pequignot (admitted pro hac vice) Allison Scott Roach (admitted pro hac vice) 1100 Peachtree Street, Suite 2800 Atlanta, Georgia 30309-4530 Telephone: (404) 8 15-6500 Facsimi le: (404) 815-6555 Email : j beck@kilpatricktownsend.com Allorneys for Defendants UNITED STATES DISTRICT COURT SOUTHEM DISTRICT OF NEW YORK THE AUTHORS GUILD, INC., ET A1., Plaintiffs, Case No. 11 Civ. 6351 (HB) v. Hi\THITRUST, ET A1., Defendants. DECLARATION OF MARGARET LI<:AUY iN SUPPORT OF DEFENDANTS' MOTION FOR SUMMARY JUDGMENT I, Margaret Leary, pursuant to 28 U.S.C. § 1746, hereby declare as I. follow~: I submit this declaration in support of the defendant li braries' motion for summary judgment. Unless otherwise noted, I make this declaration based upon my own personal knowledge. A-556 Case 1:11-cv-06351-HB Document 103 2. Filed 06/29/12 Page 2 of 6 From 1979 to 2011, I taught a law school course in advanced legal research at the University of Michigan Law SchooL This course taught students about the content of major sources of the law for the U.S., intemational organizations, and other nations ; how to use those sources; and how to construct an efficient and effective strategy for conducting that research by using secondary (material about the law) as well as primary (text of the law) materials. 3. I have also carried out my own research, most notably into the life and times of Michigan Law graduate and donor of the Michigan Law quadrangle, William W. Cook (18581930). I have published a book based on this research, titled Giving 11 All Away. The Siory of William W Cook and His MichifJan Law QuadranfJle. Other of my publications are listed at: http://www.law.umich.edullibrary/guests/pubsfaculty/facultypages/Pages/leary margaret.aspx. 4. [ have a B.A. from Cornell University, a M.A. in library science from the University of Minnesota, and a J.D. from the William Mitchell College of Law. 5. r have worked in law libraries since 1970, and at the University of Michigan Law Library since 1973. From 1984 until 2011 I was the Director and Librarian of that library, which is one of the world's largest and most comprehensive: over I million volumes of law and law related materials, designed to support research in any topic, for any country, at any period of time. 6_ As the Director and Librarian ofthe Michigan Law Library, my responsibilities included oversight of all aspects of the library's operation: 40 [ulltime employees, a $7 million annual budget, and 100,000 square feet of space. I oversaw collection development (purchase of, and contractual access to, all formats of material) and services, including reference and research service to law school faculty, students, and other users (assisting and guiding researchers with their research needs)_ 2 A-557 Case 1:11-cv-06351-HB Document 103 7. Filed 06/29/12 Page 3 of 6 Since retiring from the Michigan Law Library, for the last six months I have worked as a volunteer reference librarian, two days a week, at the l3entley Historical Library; and have taken courses in Michigan history, which require me to do research. 8. I am very fami liar with the HathiTrust program from those several perspectives: as the builder of a collection; as the person responsible for ensuring the long-tenn availability of the information in the collection; as the provider of information within and beyond our collection to users; as a teacher ofthe best techniques and resources for doing effective and efficient research; and as a researcher seeking everything findable about William W. Cook, a man who played a critical role in the development of the University of Michigan Law School but is not widely known outside of the Michigan Law School community and who died more than eighty years ago. I have watched, and benefitted from, the HathiTrust program since its inception, and, as further described below, [ have experienced how it has greatly expanded the capacity for new scholarship and learning. 9. As an experienced researcher, I have seen first hand how the HathiTrust program has expanded the use of print works through the ability to electronically search for terms present anywhere in the text of a work. The HathiTrust program has opened up books to me- and everyone--that I wo uld never have thought of looking at in print----£ither because I didn' t know about them, or didn't think they would have rel evant in tormation in them. The HathiTrust program also enables me to find the exact page on which a name, term, or set of words occurs, which no index can do comprehensively. This expands and extends my use of print, both from libraries and from bookstores. 10. For example, when researching my recent book on William Cook, T benefitted from the ability to search the text of an enomlOU number of books. By searching the various S 3 A-558 Case 1:11-cv-06351-HB Document 103 Filed 06/29/12 Page 4 of 6 forms of Cook's name, I found it mentioned in dozens of books, including Ida Tarbell's History of the Standard Oil Company. The results did not give me the full text, so I went to the University of Michigan's main library and checked out the printed book. 11. My search had told me the exact pages where Cook's name appeared, which saved hours oftime (the book is two volumes). From Tarbell, llearned that Cook had published a book cntitiled Ii'us!s which includcd the full tcxt ofthc Standard Oil Trust Agreement, which had until then not been public . 1 also leamed that the Ohio Attorney General named David Watson discovered the copy of the Standard Oil Trust Agreement in Cook's work and immediately detennined that the Agreement violated at least six Ohio statutes. Watson brought suit. The action dragged out and ultimately failed, but it created negative public opinion about the behavior of a huge and important trust, and ultimately drove Standard Oil from Cleveland to New York City. 12. As a result of my search, I discovered that Cook, only five years out oflaw school, through his research and writing exerted a powerful influence on the development of American law. This example illustrates perfectly the power of a full text search; I simply could not have discovered this connection between Mr. Cook and the history of the Standard Oil Company through searc hes of catalog information - the catalog infonnation for Tarbell's work does not list Cook nor is he listed in the index or table of contents. 13. Tarbell's book is a classic for many reasons (written by a woman, excellent journalistic techniques, role in antitrust movement) but I would never have taken the trouble to read the whole book on the off chance that she would mention Cook. Without thc HathiTrust, I woul d never have fo und how important 'J/"usts was. In seven years of research, I did not lind that information anywhere else. 4 A-559 Case 1:11-cv-06351-HB Document 103 14. Filed 06/29/12 Page 5 of 6 Another example from my Cook research is that HathiTrust books enabled me to search and find his name in directories of clubs 1 would not otherwise have known he belonged to, and seeing who other members were . The directories were not in University of Michigan libraries, and I would not have travelled to California, Wisconsin, or other states where I knew there were print copies because the chance of finding useful information was so small. In the HathiTrust, I can do a search in five minutes and have a definitive answer to the question "Was Cook a nlelnber?" 15. During the course of my research on Cook, [ purchased at least two books because of references to Cook, or companies and people important in his life, that [ found via HathiTrust or Google search-only searches: Hollinger, Science. Jews and Secular Culture, Princeton University Press. 1996; and Usselman, Regulating Railroad Innovation, Cambridge University Press, 2002. Of course, had J not discovered these works through my research, I would never have purchased them. 16. As the Director and Librarian of the Michigan Law Library, I also have first hand experience assisting other researchers in accessing works relevant to their research. Before libraries used digitizing as a means to preserve our collections, we used microform (small reproductions of works that a researcher could view through magnificati on). 17. I was very involved in an organization then called the Law Library Microform Consortium, or LLMC. LLMC is a cooperative of academic law libraries thai collectively microtilmed as much material as possible. 18. We learned an important lesson from this project: users make choices about the amount of time and etlort to put into getting at a particular item. The effort of using microform stopped some people some ufthe time. They didn't like using a special machine; they didn't like 5 A-560 Case 1:11-cv-06351-HB Document 103 Filed 06/29/12 Page 6 of 6 reading the sometimes blwTY ur blotchy film; they didn' t like the kind of printouts; they didn't like having to wait for the library to deliver the film to them; they didn' t like not being able to "check out" the item. [had many experiences with law school faculty and other users decidin g not to consult an item, such as an old newspaper, book, Congressional hearing or stale session law, when the only form availab le was microf onn. 19. In my v iew, librarie s should not put such obs1acles in front of users and any techno logy that makes it easier for usef'i to discov er books vastly improv es the quality of scholar ship. I declare under penalty of perjury under tne laws of lhe United States that the foregoing is true and correct. Date: June ~ 2012 6 0sno~ 119MOl'B'l 'ehn:cr. 7 1 07 unr

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