CSPC Dophen Corporation v. Hu

Filing 347

TENTATIVE PRETRIAL ORDER signed by District Judge Dale A. Drozd on 1/11/1024 ORDERING that Jury Trial is SCHEDULED for 9/9/2024 at 09:00 AM in Courtroom 4 (DAD) before District Judge Dale A. Drozd.(Mena-Sanchez, L)

1
2
3
4
5
6
7
8

UNITED STATES DISTRICT COURT

9

FOR THE EASTERN DISTRICT OF CALIFORNIA

10
11

CSPC DOPHEN CORPORATION,
Plaintiff,

12
13

v.

14

ZHIXIANG HU,

ZHIXIANG HU,
Counter Claimant,

17
18
19
20

TENTATIVE PRETRIAL ORDER

Defendant.

15
16

No. 2:17-cv-01895-DAD-DB (PS)

v.
CSPC DOPHEN CORPORATION,
Counter Defendant.

21
22

On January 9, 2024, the court conducted a final pretrial conference in this case. Bryan J.

23

Wilson and Yue Li appeared as counsel for plaintiff; defendant Dr. Zhixiang Hu appeared on

24

behalf of himself. Having considered the parties’ joint pretrial statement and the views of the

25

parties as expressed at the conference, the court issues this tentative pretrial order.

26
27
28

This case arises from a dispute between a pharmaceutical research and development
company—plaintiff and counter defendant CSPC Dophen Corporation—and its former
1
employee—defendant and counter claimant Dr. Zhixiang Hu—who allegedly secretly

1

incorporated a competing entity while still employed at CSPC Dophen Corporation, using CSPC

2

Dophen’s d/b/a name “Dophen Biomed” and physical laboratory address. Plaintiff alleges that

3

defendant misrepresented that Dophen Biomed was the same as CSPC Dophen and

4

misappropriated CSPC Dophen’s confidential, proprietary, and trade secret information. Plaintiff

5

asserts claims for breach of contract, breach of duty of loyalty, misappropriation of trade secrets,

6

and conversion. Dr. Hu’s counterclaims allege that the counter-defendant CSPC Dophen

7

Corporation engaged in deceptive practices to unlawfully acquire Dr. Hu’s mTgase site-specific

8

conjugation technology, promising him company ownership but failing to deliver on its

9

commitments. Furthermore, Dr. Hu claims that CSPC Dophen defaulted on his rightful

10

compensation, including salary, vacation pay, incentive stock shares, and stock dividends. Dr.

11

Hu’s counterclaims are for breach of contract, violation of California Business & Professions

12

Code § 17200 et seq., violation of California Labor Code § 203, and breach of fiduciary today.

13

I.

JURISDICTION/VENUE

14

Jurisdiction is predicated on 28 U.S.C. §§ 1331, 1367. Jurisdiction is not contested.

15

Venue is proper pursuant to 28 U.S.C. § 1391(b). Venue is not contested.

16

II.

17

JURY
Defendant Dr. Hu demanded a jury trial in the Joint Notice of Trial Readiness. (Doc. No.

18

323.) Plaintiff CSPC Dophen does not request a jury trial. The jury will consist of eight jurors,

19

although the court may adjust that number depending upon conditions in existence at the time of

20

the trial.

21

III.

22
23

UNDISPUTED FACTS
1.

IV.

24

Dr. Hu was an employee of CSPC Dophen.

DISPUTED FACTUAL ISSUES1
1.

Whether CSPC Dophen hired Dr. Hu in October 2011 as director of CSPC

25

Dophen’s Laboratory at 4070 Truxel Road, Sacramento, California.

26

1

27
28

As discussed at the pretrial conference, if Dr. Hu intends to list additional disputed facts not
already listed here, he may include them in his objections to this tentative pretrial order.
However, the court reminds Dr. Hu that each fact should be listed in a concise, one-sentence
format, not lengthy paragraphs, and should remain focused on factual content, not arguments.
2

1
2

2.

required to execute a Non-Disclosure Agreement and an Intellectual Property Agreement.”

3
4

Whether Dr. Hu’s employment agreement states “[a]ll CSPC employees are

3.

Whether Dr. Hu signed a Non-Disclosure Agreement (“NDA”) on April 4, 2013,

which states:

5

I will observe the strictest secrecy with respect to the Trade Secrets
disclosed to me and all information generated therefrom and will take
all affirmative steps necessary to maintain the trade secrets status of
the Trade Secrets. I will neither make use of nor disclose to third
parties the Trade Secrets, unless prior consent in writing is given by
the Company during the terms of my employment with the Company
and thereafter in any employment or business venture. I agree I will
never, directly or indirectly, for myself or others, use disseminate,
disclose, lecture upon, or otherwise make available to others any
confidential information, whether or not such confidential
information thereafter in whole or part becomes available to the
public. My agent(s), servant(s), employer(s), employee(s) and all
persons acting therefore also disclaim any claim of right in and to
such confidential information.

6
7
8
9
10
11
12
4.

Whether Dr. Hu also signed a Policy of Conflict of Interest on April 4, 2013,

13
which states:
14
I will not engage in any conduct which would create a potential or
actual conflict of interest or create the appearance of such a conflict
in my employment relationship with the Company. Such conduct
includes, without limitation, divulging the Company’s trade secrets
for my own personal gain, seek employment with the Company’s
business competitors while still employed by the Company, usurping
the business opportunity of the company and any other activity which
may directly or indirectly harm the Company.

15
16
17
18
19

5.

Whether, in April of 2014, while still employed by CSPC Dophen, Dr. Hu

20

incorporated an entity called Dophen Biomed, Inc. and listed the address as 4070 Truxel Road,

21

Sacramento, California.

22
23

6.
Dophen.

24
25

Whether, Dophen Biomed, Inc.—founded by Dr. Hu—is affiliated with CSPC

7.

Whether Dr. Hu applied for grants from the National Institutes of Health in the

name of Dophen Biomed, Inc.

26

8.

Whether the National Institutes of Health grant filed by Dr. Hu under Dophen

27

Biomed, Inc. included research data and results of the DP303c drug candidate.

28

/////
3

1
2
3
4
5
6

9.

Whether Dr. Hu submitted an Investigational New Drug (“IND”) application (IND

#130699) to the Food and Drug Administration under the name Dophen Biomed, Inc.
10.

Whether CSPC Dophen entered into valid contracts with Dr. Hu (including the

employment agreement, NDA, and Conflict of Interest Policy).
11.

Whether Dr. Hu took or used without authorization CSPC Dophen’s confidential,

proprietary, and/or trade secret information.

7

12.

Whether Dr. Hu prevented CSPC Dophen from accessing its email accounts.

8

13.

Whether Dr. Hu misappropriated CSPC Dophen’s funds, including depositing

9
10
11
12
13
14
15

CSPC Dophen’s revenues into Dophen Biomed, Inc.’s bank account.
14.

Whether Dr. Hu incorporated Dophen Biomed, Inc., using CSPC Dophen’s d/b/a

name and address and misrepresented that Dophen Biomed, Inc. was part of CSPC Dophen.
15.

Whether Dr. Hu took or used without authorization CSPC Dophen’s confidential,

proprietary, and/or trade secret information.
16.

Whether Dr. Hu misappropriated CSPC Dophen’s funds, including depositing

CSPC Dophen’s revenues into Dophen Biomed, Inc.’s bank account.

16

17.

Whether Dr. Hu usurped the business opportunity of CSPC Dophen.

17

18.

Whether CSPC Dophen owns confidential information relating to the drug

18

candidate DP303c and antibody drug conjugates that derived independent economic value from

19

not being generally known.

20
21
22
23

19.

Whether CSPC Dophen took reasonable steps to protect its confidential

information.
20.

Whether Dr. Hu improperly acquired or used CSPC Dophen’s trade secrets

without authorization.

24

21.

Whether Dr. Hu’s misappropriation was willful and malicious.

25

22.

Whether Dr. Hu took control over CSPC Dophen’s email, computers, storage

26
27
28

devices, and payments from third parties without consent.
23.

Whether Dr. Hu had an agreement with CSPC Dophen, not CSPC Limited, to

award Dr. Hu stock in CSPC Limited.
4

1

24.

If such agreement exists, whether Dr. Hu performed under this agreement, despite

2

creating a competing entity using CSPC Dophen’s d/b/a name and misappropriating CSPC

3

Dophen’s confidential, proprietary, and/or trade secret information.

4
5

25.

unlawful or fraudulent business practices.

6
7

26.

10
11
12
13
14

Whether CSPC Dophen willfully failed to pay Dr. Hu’s wages and unpaid vacation

time on his last day of employment.

8
9

Whether CSPC Dophen’s actions, not those of CSPC Limited, constituted

27.

Whether CSPC Dophen, the employer, owed Dr. Hu, the employee, a fiduciary

28.

Whether CSPC-Dophen was registered by CSPC Limited in NJ and was doing

duty.

business in California.
29.

Whether Dr. Hu was a research manager at Novozymes at Davis, a wholly owned

subsidiary of the Novo Nordisk Foundation.
30.

Whether CSPC-Dophen solicited Dr. Hu to start a joint-venture company to work

15

on biological drugs based on Dr. Hu’s transglutaminase conjugation technology (referred as

16

mTgase technology).

17
18

31.

Whether, in its initial job offer, CSPC-Dophen required Dr. Hu’s to transfer his

two mTgase patents to CSPC-Dophen as pre-requisition to join CSPC-Dophen.

19

32.

Whether Dr. Jinxu Wang was the CEO of CSPC-Dophen.

20

33.

Whether Dr. Jinxu Wang was the executive VP of CSPC Limited.

21

34.

Whether Dr. Jinxu Wang was a board member of CSPC-Dophen.

22

35.

Whether Dr. Jinxu Wang was a board member of CSPC Limited.

23

36.

Whether Yingui Li was the VP of CSPC-Dophen.

24

37.

Whether Yingui Li was the business director of CSPC Limited.

25

38.

Whether Yingui Li was a board member of CSPC-Dophen.

26

39.

Whether Dongchen Cai is the chairman and board member of both CSPC Dophen

27

and CSPC Limited.

28

40.

Whether Jumin Sun was the Director of Finance of CSPC Limited.
5

1

41.

Whether Jumin Sun was in charge of CSPC-Dophen’s finance.

2

42.

Whether CSPC Limited is a Chinese company.

3

43.

Whether CSPC-Dophen was 100% owned by CSPC Limited.

4

44.

Whether Dr. Hu was an employee of CSPC-Dophen and a vice president of CSPC

5

Limited, managing CSPC-Dophen on behalf of CSPC Limited.

6
7

45.

Whether Dr. Hu’s salary was paid one half in the USA by CPSC-Dophen, and one

half by CSPC Limited as arranged by CSPC Dophen since November 2011.

8

46.

Whether, in March 2013, CSPC-Dophen awarded Dr. Hu stock options to

9

purchase 500,000 IPO shares of CSPC Stock at ¥1 per share. As part of the agreement, on April

10

4, 2013, Dr. Hu was asked to sign the NDA and Intellectual Property Agreement in exchange for

11

the stock options.

12

47.

13

500,000 CSPC IPO shares.

14
15

Whether on September 17, 2013, Dr. Hu purchased his stock option award,

48.

Whether CSPC Limited paid dividends based on 2 million common shares for

years 2013, 2014, and 2015.

16

49.

During 2013, CSPC Limited encountered financial challenges, leading CSPC

17

Dophen to terminate two-thirds of its 15 employees-workforce. Moreover, the company was

18

three months overdue on its lab construction payment. Yingui Li and Dongchen Cai gave Dr. Hu

19

a mandate to explore viable solutions for CSPC-Dophen to attain self-sufficiency by the year

20

2014.

21

50.

In an effort to diversify funding sources for CSPC Dophen, Dr. Jinxu Wang came

22

to Sacramento on April 17, 2014, to authorize Jasmine Xiong to register a US business entity to

23

apply for government funding. On April 21, 2014, Jasmine Xiong registered Dophen Biomed,

24

Inc., as part of this strategic initiative.

25
26
27
28

51.

Whether, on June 12, 2014, Dophen Biomed filed an Antibody-Drug Conjugate

patent based on Dr. Hu’s mTgase technology via Janet Xiao, a lawyer from Morrison Foerster.
52.

Whether Dophen Biomed was awarded a Small Business Innovation Research

grant from NIH worth over $1.2 million in early 2016.
6

1

53.

Whether, in 2016, an online file sharing account was created by Dr. Hu to share

2

and deposit all IND enabling files related an Antibody-Drug Conjugate drug candidate named

3

DP303c. Whether all team members, plus Dr. Jinxu Wang and an external consultant were given

4

access.

5
6

54.

Whether in April 2017, Dophen Biomed, with Jinxu Wang presence at the facility,

submitted an IND application to FDA for DP303c.

7

55.

Whether on July 4, 2017, Jinxu Wang and Yingui Li traveled to California and

8

presented a termination package to Dr. Hu, suggesting Dr. Hu to continue working for CSPC

9

Dophen on a temporary basis as a consultant.

10
11

56.

Whet ether on July 21, 2017, CSPC Dophen officially terminated Dr. Hu’s

employment and then failed to pay Dr. Hu’s 1.5 months’ salary until October 9, 2017.

12

57.

Whether on November 23, 2020, CSPC-Dophen fired its entire work force and

13

terminated its business registration in California, transferring everything to CSPC Limited in

14

China.

15
16

58.

JOINN for $4.5 million by CSPC Dophen Delaware.

17
18

Whether on October 27, 2021, CSPC-Dophen’s 4070 Truxel Lab was sold to

59.

Whether CSPC Dophen Delaware, registered by CSPC Limited, has no employee

nor physical presence in US.

19

60.

Whether, on July 28, 2022, CSPC Limited entered into a $1.2 billion deal with

20

Elevation Oncology, granting them global rights to an Antibody-Drug Conjugate drug that was

21

developed using Dr. Hu’s Antibody-Drug Conjugate Patent.

22

61.

Whether on February 14, 2023, CSPC Limited licensed the US/Europe rights for

23

its Antibody-Drug Conjugate drug CRB-701 for $892.5 million, once again based on Dr. Hu’s

24

Antibody-Drug Conjugate patent.

25

62.

Whether on May 31, 2023, CSPC Dophen hastily issued a settlement check of

26

$1319 to Dr. Hu, which was intended as a means to intimidate him.

27

/////

28

/////
7

1
2

V.

DISPUTED EVIDENTIARY ISSUES/MOTIONS IN LIMINE
The parties have not yet filed motions in limine. The court does not encourage the filing

3

of motions in limine unless they are addressed to issues that can realistically be resolved by the

4

court prior to trial and without reference to the other evidence which will be introduced by the

5

parties at trial. The parties anticipate filing the motions in limine listed below. Any motions in

6

limine counsel elects to file shall be filed no later than 28 days before trial. Opposition shall be

7

filed no later than 21 days before trial and any replies shall be filed no later than 14 days before

8

trial. Upon receipt of any opposition briefs, the court will notify the parties if it will hear

9

argument on any motions in limine prior to the first day of trial.

10

Plaintiff’s Anticipated Motions in Limine

11

1.

Dr. Hu should be precluded from introducing any evidence or arguments

12

concerning dismissed parties: CSPC Pharmaceutical Group Limited (“CSPC Limited”), Yingui

13

Li, Jinxu Wang, Jumin Sun, and Dongchen Cai. Dr. Hu also should be precluded from raising

14

new claims and allegations against CSPC Limited, which are irrelevant and were forfeited by Dr.

15

Hu’s failure to plead them in his counterclaims.

16
17
18

2.

Dr. Hu should be precluded from presenting any evidence or arguments

concerning dismissed claims.
3.

Dr. Hu should be precluded from arguing that CSPC Dophen or its parent is a

19

Chinese company. CSPC Dophen is not a Chinese company. Its parent, CSPC Limited, has been

20

dismissed.

21
22
23
24
25

4.

Dr. Hu should be precluded from introducing any evidence or arguments that

disparage CSPC Dophen or its counsel.
5.

Dr. Hu should be precluded from making any arguments that suggest CSPC

Dophen engaged in illegal activities or is under criminal investigation.
6.

Dr. Hu should be precluded from arguing that CSPC Dophen breached the

26

employment contract by failing to pay his wages, unused vacation, or benefits. Without agreeing

27

with this assertion, CSPC Dophen tendered payment for the remaining $1,319.64 claimed by Dr.

28

Hu on May 31, 2023, thereby resolving Dr. Hu’s breach of contract claim. Dr. Hu should be
8

1

precluded from arguing he is owned stock because his allegations of a purported contract

2

involving stock options are against CSPC Limited, a dismissed party.

3

7.

Dr. Hu should be precluded from offering evidence or arguments regarding patents

4

that he filed before his employment with CSPC Dophen and other alleged intellectual property

5

that he obtained before his employment with CSPC Dophen. Dr. Hu’s counterclaims do not

6

allege patent infringement and these arguments are irrelevant and prejudicial.

7
8

8.

discovery or presenting any arguments based on evidence he destroyed or withheld.

9
10

Dr. Hu should be precluded from introducing any evidence that he withheld during

9.

Dr. Hu should be precluded from introducing or relying on any evidence that was

not produced during discovery.

11

Defendant’s Anticipated Motions in Limine

12

1.

CSPC Dophen should be precluded from use of exhibits derived from Jiaying

13

Fan’s computer, Dr. Hu’s cell phone, and [e-mail] on the grounds of privacy

14

violations.

15

2.

CSPC Dophen should be precluded from using the deposition testimony of

16

Jasmine Xiong and Dr. Hu.

17

VI.

18

SPECIAL FACTUAL INFORMATION
Pursuant to Local Rule 281(b)(6), in their objections to this tentative pretrial order, the

19

parties shall provide any special factual information within either the disputed or undisputed facts

20

sections as appropriate.

21

VII.

RELIEF SOUGHT

22

1.

Plaintiff seeks monetary damages for violation of state and federal law.

23

2.

Plaintiff seeks restitution and disgorgement of Dr. Hu’s unjust enrichment.

24

3.

Plaintiff seeks Punitive, exemplary, and enhanced damages.

25

4.

Plaintiff seeks attorneys’ fees and costs.

26

5.

Plaintiff seeks prejudgment and post-judgment interest as authorized by law.

27

6.

Plaintiff seeks an order and/or permanent injunction directing Dr. Hu to return all

28

CSPC Dophen’s tangible and intangible property.
9

1
2

7.

option award, unpaid stock dividends since 2016 plus interests and associated penalties.

3
4

Defendant seeks return of his 500,000 CSCP IPO shares purchased via his stock

8.

Defendant seeks unpaid unused-vacation time and penalties for CSPC Dophen’s

intentional withholding of his wages for 3 months after termination plus interest.

5

9.

Defendant seeks compensatory, punitive, and enhanced exemplary damages for

6

unlawful and fraudulent business practices by CSPC Dophen. The allegations of unlawful and

7

fraudulent practices include deceiving Dr. Hu through the NDA and IP agreements,

8

misappropriating his patented technology and trade secrets, and using false pretenses to exploit

9

his inventions.

10

10.

Defendant seeks license fee recovery. Specifically, he is seeking his rightful

11

portion of the license proceeds generated from the Antibody-Drug Conjugate drug deals executed

12

by CSPC Limited, which obtained the intellectual property (IP) as a result of CSPC Dophen’s

13

dissolution.

14

11.

Defendant seeks restitution and injunctive relief. Specifically, he seeks the return

15

of his intellectual property (IP), trade secrets, and the Antibody-Drug Conjugate patent, and

16

injunctive relief to prevent CSPC Limited, the successor of CSPC Dophen, from further using or

17

exploiting his IP, trade secrets, or the Antibody-Drug Conjugate patent.

18
19

12.

Defendant seeks attorney fees and expenses incurred during his pro se legal

representation.

20

13.

Defendant seeks compensatory damages for financial loss suffered as a result of

21

defending CSPC Dophen’s frivolous suit including lost business opportunities, reputational

22

damage, or emotional distress.

23

VIII.

24

POINTS OF LAW
The claims/counterclaims asserted in this action arise under federal and state law. All of

25

plaintiff’s claims are brought against defendant Dr. Hu. All of Dr. Hu’s counterclaims remain

26

against CSPC Dophen Corporation only.

27
28

1.

The elements of, standards for, and burden of proof in a misappropriation of trade
secrets under the Defend Trade Secrets, 18 U.S.C. § 1832(a)(1), cause of action.
10

1

2.

2

of action.

3

3.

4

The elements of, standards for, and burden of proof in a breach of duty of loyalty
cause of action.

5

4.

6

The elements of, standards for, and burden of proof in a breach of fiduciary duty
cause of action.

7

5.

8

The elements of, standards for, and burden of proof in a conversion cause of
action.

9

6.

The elements of, standards for, and burden of proof in a California Business &
Professions Code § 17200 et seq. cause of action.2

10
11

7.

12

The elements of, standards for, and burden of proof in a California Labor Code
§ 203 cause of action.

13

8.

14

The elements of, standards for, and burden of proof in an affirmative defense for
unclean hands.

15
16

The elements of, standards for, and burden of proof in a breach of contract cause

Trial briefs addressing the points of law implicated by these remaining claims shall be
filed with this court no later than 14 days before trial in accordance with Local Rule 285.

17

ANY CAUSES OF ACTION OR AFFIRMATIVE DEFENSES NOT EXPLICITLY

18

ASSERTED IN THE PRETRIAL ORDER UNDER POINTS OF LAW AT THE TIME IT

19

BECOMES FINAL ARE DISMISSED, AND DEEMED WAIVED.

20

IX.

21

ABANDONED ISSUES
CSPC Dophen will not pursue the following claims at trial: violation of Lanham Act,

22

violation of the California Comprehensive Computer Data Access and Fraud Act, California

23

Penal Code § 502, defamation, and unfair competition.3

24
The court will issue findings of fact and conclusions of law on Dr. Hu’s California Business
and Professions Code § 17200 unfair claim. See Section XVIII.
2

25
26
27
28

3

As discussed at the pretrial conference, the parties are directed to clarify in their objections to
this tentative pretrial order which of their affirmative defenses, if any, have been abandoned. Any
claims or affirmative defenses that the parties believe remain for trial must be listed in the points
of law section above to be preserved for trial.
11

1

X.

Plaintiff’s witnesses shall be those listed in Attachment A. Defendant’s witnesses shall

2
3

WITNESSES

be those listed in Attachment B. Each party may call any witnesses designated by the other.

4

A.

The court does not allow undisclosed witnesses to be called for any purpose,

5

including impeachment or rebuttal, unless they meet the following criteria:

6

(1)

The party offering the witness demonstrates that the witness is for the

7

purpose of rebutting evidence that could not be reasonably anticipated at

8

the pretrial conference, or

9

(2)

10

The witness was discovered after the pretrial conference and the proffering
party makes the showing required in paragraph B, below.

11

B.

Upon the post pretrial discovery of any witness a party wishes to present at trial,

12

the party shall promptly inform the court and opposing parties of the existence of

13

the unlisted witnesses by filing a notice on the docket so the court may consider

14

whether the witnesses shall be permitted to testify at trial. The witnesses will not

15

be permitted unless:

16

(1)

17

The witness could not reasonably have been discovered prior to the
discovery cutoff;

18

(2)

19

The court and opposing parties were promptly notified upon discovery of
the witness;

20

(3)

If time permitted, the party proffered the witness for deposition; and

21

(4)

If time did not permit, a reasonable summary of the witness’s testimony

22
23

was provided to opposing parties.
XI.

EXHIBITS, SCHEDULES, AND SUMMARIES
Plaintiff’s exhibits are listed in Attachment C. Defendant’s exhibits will be listed in

24
25

Attachment D, but because the list provided was inadequate, it is not included in this tentative

26

pretrial order. In his objections to this tentative pretrial order, defendant Dr. Hu is directed to

27

revise his exhibit list.

28

/////
12

1

No exhibit shall be marked with or entered into evidence under multiple exhibit numbers,

2

and the parties are hereby directed to meet and confer for the purpose of designating joint exhibits

3

and to provide a list of joint exhibits. All exhibits must be pre-marked as discussed below. At

4

trial, joint exhibits shall be identified as JX and listed numerically, e.g., JX-1, JX-2. Plaintiff’s

5

exhibits shall be listed numerically, and defendants’ exhibits shall be listed alphabetically.

6

The parties must prepare three (3) separate exhibit binders for use by the court at trial,

7

with a side tab identifying each exhibit in accordance with the specifications above. Each binder

8

shall have an identification label on the front and spine. The parties must exchange exhibits no

9

later than 35 days before trial. Any objections to exhibits are due no later than 21 days before

10

trial. The final exhibits are due the Thursday before the trial date. In making any objection,

11

the party is to set forth the grounds for the objection. As to each exhibit which is not objected to,

12

no further foundation will be required for it to be received into evidence, if offered.

13
14
15

The court does not allow the use of undisclosed exhibits for any purpose, including
impeachment or rebuttal, unless they meet the following criteria:
A.

The court will not admit exhibits other than those identified on the exhibit lists

16

referenced above unless:

17

(1)

The party proffering the exhibit demonstrates that the exhibit is for the

18

purpose of rebutting evidence that could not have been reasonably

19

anticipated, or

20

(2)

21
22

The exhibit was discovered after the issuance of this order and the
proffering party makes the showing required in paragraph B, below.

B.

Upon the discovery of exhibits after the discovery cutoff, a party shall promptly

23

inform the court and opposing parties of the existence of such exhibits by filing a

24

notice on the docket so that the court may consider their admissibility at trial. The

25

exhibits will not be received unless the proffering party demonstrates:

26

(1)

The exhibits could not reasonably have been discovered earlier;

27

(2)

The court and the opposing parties were promptly informed of their

28

existence;
13

1

(3)

The proffering party forwarded a copy of the exhibits (if physically

2

possible) to the opposing party. If the exhibits may not be copied the

3

proffering party must show that it has made the exhibits reasonably

4

available for inspection by the opposing parties.

5

XII.

6
7

DISCOVERY DOCUMENTS
Counsel must lodge the sealed original copy of any deposition transcript to be used at trial

with the Clerk of the Court no later than 14 days before trial.

8

Plaintiff has indicated the intent to use the following discovery documents at trial:

9

1.

Deposition testimony of Jasmine Xiong.

10

2.

Deposition testimony of Dr. Hu.

11

XIII.

12

FURTHER DISCOVERY OR MOTIONS
None. Discovery and law and motion are closed under the scheduling order issued in this

13

case.

14

XIV. STIPULATIONS

15
16
17
18
19

None.
XV.

AMENDMENTS/DISMISSALS
None.

XVI. SETTLEMENT
The parties participated in a settlement conference before Magistrate Judge Deborah

20

Barnes on November 9, 2023, and those negotiations were unsuccessful. No further court

21

supervised settlement conference will be scheduled unless both parties indicate that a further

22

settlement conference may be productive.

23

XVII. JOINT STATEMENT OF THE CASE

24

This case arises from a dispute between a pharmaceutical research and development

25

company—plaintiff and counter defendant CSPC Dophen Corporation—and its former

26

employee—defendant and counter claimant Dr. Zhixiang Hu—who allegedly secretly

27

incorporated a competing entity while still employed at CSPC Dophen Corporation, using CSPC

28

Dophen’s d/b/a name “Dophen Biomed” and physical laboratory address. Plaintiff alleges that
14

1

defendant misrepresented that Dophen Biomed was the same as CSPC Dophen and

2

misappropriated CSPC Dophen’s confidential, proprietary, and trade secret information. Plaintiff

3

asserts claims for breach of contract, breach of duty of loyalty, misappropriation of trade secrets,

4

and conversion. Dr. Hu’s counterclaims allege that the counter-defendant CSPC Dophen

5

Corporation engaged in deceptive practices to unlawfully acquire Dr. Hu’s mTgase site-specific

6

conjugation technology, promising him company ownership but failing to deliver on its

7

commitments. Furthermore, Dr. Hu claims that CSPC Dophen defaulted on his rightful

8

compensation, including salary, vacation pay, incentive stock shares, and stock dividends. Dr.

9

Hu’s counterclaims are for breach of contract, violation of California Business & Professions

10

Code § 17200 et seq., violation of California Labor Code § 203, and breach of fiduciary today.

11

XVIII. SEPARATE TRIAL OF ISSUES

12

Dr. Hu asserts a counterclaim against CSPC Dophen for violation of California Business

13

& Professions Code § 17200 (the “UCL”). Under California and federal authorities, there is no

14

right to a jury trial for UCL claims because they are equitable in nature. Okura & Co. (Am.) v.

15

Careau Grp., 783 F. Supp. 482, 491 (C.D. Cal. 1991) (“[N]o right of jury trial attaches to [a

16

UCL] cause of action.”); Cel-Tech Commc’ns, Inc. v. L.A. Cellular Tel. Co., 20 Cal. 4th 163, 179

17

(1999) (“Prevailing [UCL] plaintiffs are generally limited to injunctive relief and restitution.”);

18

Hodge v. Superior Court, 145 Cal. App. 4th 278, 284 (2006) (“There Is No Right To a Jury Trial

19

For a Section 17200 Cause of Action”); id. (“the UCL provides only for equitable remedies . . . .

20

Damages are not available.”). Accordingly, Dr. Hu is not entitled to a jury trial on his UCL

21

counterclaim. Therefore, the court will first try the jury claim and will then issue findings of fact

22

and conclusions of law on the UCL counterclaim based on the evidence presented during the jury

23

trial. See GSI Tech., Inc. v. United Memories, Inc., No. 5:13-cv-01081-PSG, 2016 WL 3035698,

24

at *1, *3 (N.D. Cal. May 26, 2016).

25

XIX. IMPARTIAL EXPERTS/LIMITATION OF EXPERTS

26
27
28

None.
XX.

ATTORNEYS’ FEES
In the event of a ruling in plaintiff’s favor for the misappropriation of trade secrets,
15

1

plaintiff will seek attorneys’ fees pursuant to 18 U.S.C. § 1836(b)(3)(D) for the willful and

2

malicious misappropriation of trade secrets. Plaintiff proposes to file a motion within 28 days

3

after judgment is final as provided in Local Rule 293.

4

In the event that the ruling is in favor of the defendant and counterclaimant, Dr. Hu

5

reserves the right to seek attorney fees and all costs associated with pro se representation, to be

6

awarded on par with attorney fees for the pre pro se period, as part of his defense and

7

counterclaims.

8

XXI. TRIAL PROTECTIVE ORDER AND REDACTION OF TRIAL EXHIBITS

9

At the pretrial hearing, plaintiff’s counsel clarified that plaintiff is no longer seeking to

10

negotiate a stipulation with defendant regarding sealing the courtroom when its confidential

11

information is offered into evidence and represented that plaintiff would instead stand on the

12

protective order (Doc. No. 44) previously entered in this case. However, that protective order

13

states that “[a]ny use of Protected Material at trial shall be governed by a separate agreement or

14

order.” (Doc. No. 44 at 4.) Therefore, it is not clear to the court what plaintiff’s intentions are

15

with regard to the information that plaintiff apparently believes is confidential. This subject may

16

be addressed in the objections filed to this tentative pretrial order.

17

XXII. MISCELLANEOUS

18
19
20

None.
XXIII. ESTIMATED TIME OF TRIAL/TRIAL DATE
Jury trial is scheduled for September 9, 2024, at 9:00 a.m. in Courtroom 4 before the

21

Honorable Dale A. Drozd. Trial is anticipated to last 6 to 7 court days. The parties are directed

22

to Judge Drozd’s Standing Order in Civil Actions, available on his webpage on the court’s

23

website.

24

Counsel are directed to contact Pete Buzo, courtroom deputy, at [phone], no later

25

than one week prior to trial to ascertain the status of the trial date.

26

XXIV. PROPOSED JURY VOIR DIRE AND PROPOSED JURY INSTRUCTIONS

27
28

The parties shall file any proposed jury voir dire 14 days before trial. Each party will be
limited to fifteen minutes of supplemental jury voir dire.
16

1

The court directs counsel to meet and confer in an attempt to generate a joint set of jury

2

instructions and verdicts. The parties shall file any such joint set of instructions 21 days before

3

trial, identified as “Joint Jury Instructions and Verdicts.” To the extent the parties are unable to

4

agree on all or some instructions and verdicts, their respective proposed instructions are due 21

5

days before trial.

6

Counsel shall e-mail a copy of all proposed jury instructions and verdicts, whether agreed

7

or disputed, as a Word document to [e-mail] no later than 21 days before

8

trial; all blanks in form instructions should be completed and all brackets removed.

9

Objections to proposed jury instructions must be filed 14 days before trial; each

10

objection shall identify the challenged instruction and shall provide a concise explanation of the

11

basis for the objection along with citation of authority. When applicable, the objecting party shall

12

submit an alternative proposed instruction on the issue or identify which of his or her own

13

proposed instructions covers the subject.

14

XXV. TRIAL BRIEFS

15
16

As noted above, trial briefs are due 14 days before trial.
XXVI. OBJECTIONS TO PRETRIAL ORDER

17

Each party is granted 14 days from the date of entry of this order to file objections to

18

the same. Each party is also granted 7 days thereafter to respond to the other party’s objections.

19

If no objections are filed, the order will become final without further order of this court.

20

The parties are reminded that pursuant to Rule 16(e) of the Federal Rules of Civil

21

Procedure and Local Rule 283 of this court, this order shall control the subsequent course of this

22

action and shall be modified only to prevent manifest injustice.

23

IT IS SO ORDERED.

24
Dated:
25
26

January 11, 2024
DALE A. DROZD
UNITED STATES DISTRICT JUDGE

27
28
17

1

ATTACHMENT A

2

Plaintiff’s Witness List

3

1.

Zhixiang Hu

4

2.

Jasmine Xiong

5

3.

Ashley Smith

6

4.

Lixin Feng

7

5.

Lisha Allen

8

6.

Kuanzhong Gao

9

7.

Peggy Tang

10

8.

Dr. Hui Ouyang

11

9.

Josephine Cardarelli

12

10.

Mike Kunkel

13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
18

1

ATTACHMENT B

2

Defendants’ Witness List

3

1.

Dr. Sean Hu

4

2.

Dr. Jinxu Wang

5

3.

Mr. Yingui Li

6

4.

Mr. Dongchen Cai

7

5.

Mr. Jumin Sun

8

6.

Dr. Janet Xiao

9

7.

Ms. Jasmine Xiong

10

8.

Ms. Lisha Allen

11

9.

Ms. Ashley Smith

12

10.

Dr. Lixin Feng

13

11.

Mr. Tom (Kuanzhong) Gao

14

12.

Dr. Hui Ouyang

15

13.

Mike Kunkel

16

14.

Josephine Cardarell

17
18
19
20
21
22
23
24
25
26
27
28
19

1

ATTACHMENT C

2

Plaintiff’s Exhibit List

3

Exh.

Description

4

1

Declaration of Pina Cardarelli ISO CSPC Dophen’s Motion for Summary Judgment.
2022‐06‐17

5
6

2

Expert Report of Dr. Josephine ("Pina") Cardarelli. 2019‐02‐08

7

3

Expert Report Exhibit A: Josephine ("Pina") Cardarelli, Ph.D. Curriculum Vitae. (n/a)
2019‐02‐08

8
9

4

10
11

Expert Report Exhibit B: Materials Considered in connection with the preparation of
the Cardarelli Expert Report. 2019‐02‐08

5

12

Declaration of Mike Kunkel ISO CSPC Dophen's Motion for Summary Judgment.
2022‐06‐17

13

6

Expert Report of Michael Kunkel. 2019‐02‐08

14

7

Expert Report Exhibit A: Michael Kunkel, Setec Investigations, Curriculum Vitae

15

with Testimony. 2018‐09‐ 13

16

8

Kunkel Expert Report Exhibit B: Samsung‐USB_Devices. 2022‐06‐17

17

9

Kunkel Expert Report Exhibit C: Samsung Removable LNK File. 2022‐06‐17

18

10

Kunkel Expert Report Exhibit D: Samsung Network LNK File. 2022‐06‐17

11

Kunkel Expert Report Exhibit E: Samsung Cloud Storage. (n/a‐), 2022‐06‐17

12

Kunkel Expert Report Exhibit F: Piriform webpage product description ‐ What can

19
20
21
22

you use it for. 2022‐06‐ 17
13

23
24

disk space. 2022‐06‐ 17
14

25
26
27

Kunkel Expert Report Exhibit G: Piriform webpage product description ‐ Wiping free

Kunkel Expert Report Exhibit H: CCleaner.com webpage product description ‐
Including files and folders for cleaning. 2022‐06‐17

15

Kunkel Expert Report Exhibit I: Vostro CCleaner Wiped Files. 2022‐06‐17

16

Kunkel Expert Report Exhibit J: Vostro Minitool Log File Directory. 2022‐06‐17

28
20

1

17

2
3

Kunkel Expert Report Exhibit K: Deleted Files from Backup File Directory. 2022‐06‐
17

18

4

Kunkel Expert Report Exhibit L: Vostro Laptop USB Devices File Directory. 2022‐
06‐17

5
19
6

Kunkel Expert Report Exhibit M: Dell Desktop USB Devices File Directory. 2022‐
06‐17

7
20
8

Non‐Disclosure of Confidential and Proprietary Information. (CSPC0000012), 2013‐
04‐04

9
21

CSPC Dophen’s Employee Manual. (CSPC0000054‐CSPC0000088), undated

22

Conflict of Interest Policy with CSPC Dophen. (CSPC0000013), 2013‐04‐04

23

Sean Hu’s W‐2 from CSPC Dophen for the years 2012‐2017. (CSPC0000102‐

10
11
12

CSPC0000107, 314), 2012‐2017

13
14

24

CSPC0000313), 1/1/2012 ‐ 7/31/2017

15
16
17

25

Termination letter sent from CSPC Dophen to Sean Hu. (CSPC0000111), 2017‐07‐21

26

Excerpted copy of the January 10, 2019, deposition of Song “Jasmine” Xiong. 2019‐
01‐10

18
19

27

28

29

30

28

Chase Bank Statement December 30, 2017 thru January 31, 2018. (CHASE0000205‐
CHASE0000211), 2018‐ 11‐02

26
27

Chase Bank Statement December 1, 2017 thru December 29, 2017. (CHASE0000202‐
CHASE0000204), 2018‐11‐02

24
25

Email between Lisha Allen and Ashley Smith re: FW: Senior Accountant.
(CSPC0089882‐CPSC0089885), 2017‐08‐01

22
23

Copy of an invoice sent from Sean under Dophen Biomed, Inc. to Heidelberg Pharma
for purchase of Microbial Transglutaminase. (CSPC0000207), 2016‐10‐07

20
21

CSPC Dophen’s Safe Harbor 401(k) Plan for Sean Hu. (CSPC0000305‐

31

Chase Bank Statement June 1, 2018 thru June 29, 2018. (CHASE0000226‐
CHASE0000235), 2018‐11‐02

21

1

32

2
3

Chase Bank Statement June 30, 2018 thru July 31, 2018. (CHASE0000236‐
CHASE0000239), 2018‐11‐02

33

4

Chase Bank Statement August 1, 2018 thru August 31, 2018. (CHASE0000240‐
CHASE0000244), 2018‐11‐02

5
34
6

Chase Bank Statement September 1, 2018 thru September 28, 2018.
(CHASE0000245‐CHASE0000250), 2018‐11‐02

7
35

Documents produced by Ms. Song (Jasmine) Xiong in response to the subpoenas and

8
letter from Morrison & Foerster. various dates
9
36
10

Email between Sean Hu and Jasmine Xiong re: Offer. (CSPC0089049‐
CPSC0089050), 2014‐03‐08

11
37
12

Email between Jasmine Xiong and Sean Hu re: Business License. (CSPC0077212‐
CSPC0077214), 2014‐12‐ 09

13
38

Articles of Incorporation for Dophen Biomed, Inc. (CSPC0000225), 2014‐04‐22

39

Declaration of Jasmine Xiong in Support of Sean Hu's Motion to Disqualify Counsel.

14
15

2018‐07‐12

16
17

40

Enforcement. (CSPC0078182‐ CSPC0078183), 2015‐10‐06

18
19

41

42

43

2015‐05‐01

25
44

National Institute of Health Grant Proposal. (CSPC0090215‐CSPC0090278), 2015‐
12‐29

27
28

Email between Jasmine Xiong and Tiger Technologies re: Legal owner contact
change for dophenbiomed.com (A‐23529‐71899). (CSPC0077987‐CSPC0077988),

24

26

Declaration of Jasmine Xiong in Support of Sean Hu's Opposition to CSPC Dophen's
Motion to Compel Discovery Responses from Dr. Sean Hu. 2018‐06‐22

22
23

Letter dated February 17, 2015, to Yanhong Li from Jasmine Xiong. (CSPC0077227),
2015‐02‐17

20
21

Email between Jasmine Xiong, Tina Ren and Li Yingui re: Dophen Budget

45

State of California Statement of Information form. (CSPC0094338), 2016‐03‐15

22

1

46

2
3

Declaration of Jasmine Xiong in Support of Sean Hu's Opposition to CSPC
Pharmaceutical Group Limited's Motion to Dismiss. 2018‐08‐30

47

4

Declaration of Sean Hu in Support of Opposition to Plaintiff's Motion for Expedited
Discovery. 2017‐10‐ 20

5
48
6

Declaration of Sean Hu in Support of Sean Hu's Opposition to Motion to Quash or
Modify Defendant's Subpoenas. 2018‐12‐07

7
49

E‐mail chain between Peggy Tang and Sean Hu re: Hu's CV and BP Deck. 2017‐10‐

8
06
9
50
10

Sean Hu PowerPoint presentation re Salvage Targeted Bio‐Therapeutics for Cancer
by Mitigating Toxicity. 2017‐09‐20

11
51
12

E‐mail chain between Sean Hu and Jinxu Wang re: Recommending Lixen to move to
Simon's group to manage ADC project. (CSPC0094520), 2017‐04‐10

13
52
14

E‐mail between Sean Hu and Jinxu Wang re: DP303 IND Sponsor. (CSPC0094822‐
CSPC0094823), 2017‐04‐ 12

15
16

53

to Jinxu in 2011. (CSPC0094754‐CSPC0094757), 2017‐08‐06

17
18

54

immediately CRM:0106000000269. (CSPC0078075‐CSPC0078078), 2017‐08‐07

20
55

56

57

28

National Institute of Health Grant Proposal. (CSPC0090215‐CSPC0090278), 2015‐
12‐29

26
27

Sacramento Business Journal article: Local subsidiary of Chines pharamceutical giant
in legal fight with researcher. (CSPC0094860‐CSPC0094862), 2017‐09‐28

24
25

Email between Jasmine Xiong and Sean Hu re: Business License. (CSPC0077212‐
CSPC0077214), 2014‐12‐ 09

22
23

Email between Jasmine Xiong and Lan Tang re: Order Summary (GenScript order
470719 for quotation 1166031) ‐‐ Please review this order and reply for any changes

19

21

E‐mail chain between "Ichunlei," Sean Hu, Li Yingui and Jinxu Wang re: Fwd: email

58

Email between Rubin Yang and Sean Hu re: Monthly Report. (CSPC0000315), 2016‐
12‐01

23

1

59

2
3

Dophen BioMed November Monthly Report attached to R. Yang email.
(CSPC0000316‐CSPC0000321), 2016‐11‐30

60

4

Email between Rubin Yang and Sean Hu re: January Report. (CSPC0000322), 2017‐
02‐03

5
61
6

Dophen BioMed November (sic) [January] Monthly Report attached to R. Yang
email. (CSPC0000323‐ CSPC0000327), 2017‐02‐01

7
62

Email between Rubin Yang and Sean Hu re: Feb Report. (CSPC0000328), 2017‐03‐

8
01
9
63
10

Dophen BioMed November (sic) [February] Monthly Report attached to R. Yang
email. (CSPC0000329‐ CSPC0000331), 2017‐02‐28

11
64
12

Email between Rubin Yang and Sean Hu re: March Report. (CSPC0000332), 2017‐
04‐01

13
65
14

Dophen BioMed March Monthly Report attached to R. Yang email. (CSPC0000333‐
CSPC0000336), 2017‐03‐ 31

15
16

66

2017‐04‐29

17
18

67

68

69

70

71

Dophen BioMed March [June] Monthly Report attached to R. Yang email.
(CSPC0000347‐CSPC0000354), 2017‐06‐31 (sic)

27
28

Email between Rubin Yang, Sean Hu and Lisha Allen re: June Report.
(CSPC0000346), 2017‐07‐02

25
26

Dophen BioMed May Monthly Report attached to R. Yang email. (CSPC0000344‐
CSPC0000345), 2017‐05‐ 31

23
24

Email between Rubin Yang and Sean Hu re: May Report. (CSPC0000343), 2017‐06‐
01

21
22

Dophen BioMed April Monthly Report attached to R. Yang email. (CSPC0000338‐
CSPC0000342), 2017‐04‐ 28

19
20

Email between Rubin Yang and Sean Hu re: April Monthly Report. (CSPC0000337),

72

Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0000355), 2017‐

24

1
2

03‐31
73

3

Dophen BioMed March 2017 Monthly Report attached to L. Allen email.
(CSPC0000356‐CSPC0000366), 2017‐03‐30

4
74
5

Dophen BioMed March 2017 Monthly Report attached to L. Allen email.
(CSPC0000367‐CSPC0000377), 2017‐03‐30

6
75
7

Dophen BioMed August Monthly Report from L. Allen. (CSPC0000394‐
CSPC0000407), 2015‐08‐27

8
76
9

Email between Lisha Allen and Sean Hu re: Update on Production / Plan of Stability.
(CSPC0000408), 2016‐ 07‐08

10
77

DP303c Drug Product Characterization Table. (CSPC0000409‐CSPC0000410),

11
undated
12
78

DP303c Drug Product Stability Study Protocol. (CSPC0000411), undated

79

DP303c Drug Substance Stability Study Protocol. (CSPC0000419‐CSPC0000427),

13
14

undated

15
16
17
18

80

Dophen BioMed June Monthly Report. (CSPC0000428‐CSPC0000437), 2016‐07‐04

81

Dophen BioMed June Monthly Report. (CSPC0000438‐CSPC0000447), 2016‐07‐04

82

Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0000448), 2015‐
12‐01

19
20

83

(CSPC0000449‐ CSPC0000455), 2015‐11‐30

21
22

84

85

86

M1‐NHW mTgase Production SOP information sheet. (CSPC0000464‐
CSPC0000471), undated

27
28

Email between Lisha Allen and Sean Hu re: mTgase production used for DP303c
batches. (CSPC0000463), 2017‐02‐26

25
26

Dophen BioMed November 2015 Monthly Report attached to L. Allen email.
(CSPC0000456‐ CSPC0000462), 2015‐11‐30

23
24

Dophen BioMed November 2015 Monthly Report attached to L. Allen email.

87

Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0000472), 2016‐

25

1
2

05‐03
88

3

Dophen BioMed April 2016 Monthly Report attached to L. Allen email.
(CSPC0000473‐CSPC0000487), 2016 04‐27

4
89
5

Dophen BioMed April 2016 Monthly Report attached to L. Allen email.
(CSPC0000488), 2016‐04‐27

6
90
7

Email between Lisha Allen and Sean Hu re: Report for DP303c Production Thus Far.
(CSPC0000503), 2016‐ 04‐07

8
91
9

Dophen BioMed March 2016 Monthly Report attached to L. Allen email.
(CSPC0000504‐CSPC0000515), 2016‐04‐03

10
92
11

Dophen BioMed March 2016 Monthly Report attached to L. Allen email.
(CSPC0000516‐CSPC0000527), 2016‐04‐03

12
93
13

Email between Lisha Allen and Sean Hu re: October Monthly Report.
(CSPC0000528), 2016‐11‐03

14
15

94

(CSPC0000529‐CSPC0000541), 2016‐10‐31

16
17

95

96

97

98

26

99

ADC Reaction RT vs Time charts (native excel). (CSPC0000584), undated

100

Email between Lisha Allen and Sean Hu re: January Monthly Report.
(CSPC0000585), 2016‐02‐01

27
28

Dophen BioMed September 2015 Monthly Report attached to L. Allen email.
(CSPC0000570‐ CSPC0000583), 2015‐09‐28

24
25

Dophen BioMed September 2015 Monthly Report attached to L. Allen email.
(CSPC0000556‐ CSPC0000569), 2015‐09‐28

22
23

Email between Lisha Allen and Sean Hu re: September Monthly Report.
(CSPC0000555), 2015‐09‐30

20
21

Dophen BioMed October 2016 Monthly Report attached to L. Allen email.
(CSPC0000542‐CSPC0000554), 2016‐10‐31

18
19

Dophen BioMed October 2016 Monthly Report attached to L. Allen email.

101

Dophen BioMed January 2016 Monthly Report attached to L. Allen email.

26

1
2

(CSPC0000586‐CSPC0000599), 2015‐01‐30 (sic)
102

3

Dophen BioMed January 2016 Monthly Report attached to L. Allen email.
(CSPC0000600‐CSPC0000613), 2015‐01‐30 (sic)

4
103
5

Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0000614), 2017‐
02‐03

6
104
7

Dophen BioMed January 2017 Monthly Report attached to L. Allen email.
(CSPC0000615‐CSPC0000622), 2017‐02‐02

8
105
9

Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0000623), 2017‐
03‐01

10
106
11

Dophen BioMed February 2017 Monthly Report attached to L. Allen email.
(CSPC0000624‐CSPC0000630), 2017‐02‐28

12
107
13

Dophen BioMed February 2017 Monthly Report attached to L. Allen email.
(CSPC0000631‐CSPC0000638), 2017‐02‐28

14
15

108

2017‐06‐01

16
17

109

110

111

112

113

28

Dophen BioMed November 2016 Monthly Report attached to L. Allen email.
(CSPC0000674‐ CSPC0000686), 2016‐11‐28

26
27

Dophen BioMed November 2016 Monthly Report attached to L. Allen email.
(CSPC0000661‐ CSPC0000673), 2016‐11‐28

24
25

Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0000660), 2016‐
12‐06

22
23

Dophen BioMed May 2017 Monthly Report attached to L. Allen email.
(CSPC0000650‐CSPC0000659), 2017‐ 05‐30

20
21

Dophen BioMed May 2017 Monthly Report attached to L. Allen email.
(CSPC0000640‐CSPC0000649), 2017‐ 05‐30

18
19

Email between Lisha Allen and Sean Hu re: May Monthly Report. (CSPC0000639),

114

Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0000687), 2015‐
11‐01

27

1

115

2
3

Dophen BioMed October 2015 Monthly Report attached to L. Allen email.
(CSPC0000688‐CSPC0000702), 2015‐10‐30

116

4

Dophen BioMed October 2015 Monthly Report attached to L. Allen email.
(CSPC0000703‐CSPC0000717), 2015‐10‐30

5
117
6

Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0000718), 2017‐
04‐29

7
118
8

Dophen BioMed April 2017 Monthly Report attached to L. Allen email.
(CSPC0000719‐CSPC0000726), 2017 04‐28

9
119
10

Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0000727), 2016‐
01‐01

11
120
12

Dophen BioMed December 2015 Monthly Report attached to L. Allen email.
(CSPC0000728‐ CSPC0000738), 2015‐12‐30

13
121
14

Dophen BioMed December 2015 Monthly Report attached to L. Allen email.
(CSPC0000739‐ CSPC0000749), 2015‐12‐30

15
16

122

01‐04

17
18

123

124

125

126

27
28

Dophen BioMed July 2015 Monthly Report attached to L. Allen email.
(CSPC0000784‐CSPC0000797), 2015‐ 07‐30

25
26

Email between Lisha Allen and Sean Hu re: July Monthly Report. (CSPC0000783),
2015‐08‐01

23
24

Dophen BioMed December 2016 Monthly Report attached to L. Allen email.
(CSPC0000767‐ CSPC0000782), 2016‐12‐29

21
22

Dophen BioMed December 2016 Monthly Report attached to L. Allen email.
(CSPC0000751‐ CSPC0000766), 2016‐12‐29

19
20

Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0000750), 2017‐

127

ADC Reaction RT vs Time charts (native excel). (CSPC0000798), undated

128

Dophen BioMed July 2015 Monthly Report attached to L. Allen email.
(CSPC0000799‐CSPC0000812), 2015‐ 07‐30

28

1

129

2
3

Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0000813), 2016‐
06‐03

130

4

Dophen BioMed May 2016 Monthly Report attached to L. Allen email.
(CSPC0000814‐CSPC0000825), 2016‐ 05‐31

5
131
6

Dophen BioMed May 2016 Monthly Report attached to L. Allen email.
(CSPC0000826‐CSPC0000837), 2016‐ 05‐31

7
132
8

Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0000838), 2016‐
03‐02

9
133
10

Dophen BioMed February 2016 Monthly Report attached to L. Allen email.
(CSPC0000839‐CSPC0000849), 2016‐02‐29

11
134
12

Dophen BioMed February 2016 Monthly Report attached to L. Allen email.
(CSPC0000850‐CSPC0000860), 2016‐02‐29

13
135
14

Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0000861), 2015‐
07‐03

15
16

136

(CSPC0000862‐CSPC0000872), 2015‐ 07‐01

17
18

137

138

139

140

27
28

Dophen BioMed June 2017 Monthly Report attached to L. Allen email.
(CSPC0000892‐CSPC0000898), 2017‐ 06‐30

25
26

Dophen BioMed June 2017 Monthly Report attached to L. Allen email.
(CSPC0000885‐CSPC0000891), 2017‐ 06‐30

23
24

Email between Lisha Allen and Sean Hu re: June Monthly Report. (CSPC0000884),
2017‐07‐01

21
22

Dophen BioMed June 2015 Monthly Report attached to L. Allen email.
(CSPC0000873‐CSPC0000883), 2015‐ 07‐01

19
20

Dophen BioMed June 2015 Monthly Report attached to L. Allen email.

141

Letter from Sean Hu to Center for Drug Evaluation & Research re submission of
Investigational new drug application re clinical study of DP303c‐101.
(CSPC0036493), 2017‐03‐27

29

1

142

2
3

Investigator's Brochure re Investigational Product Compound Number: DP303c.
(CSPC0036502‐ CSPC0036526), 2017‐03‐22

143

IND 130699 (SDP303c) 2.2 Introduction to Summary. (CSPC0036577), undated

144

IND 130699 (SDP303c) 2.3 Drug Product. (CSPC0036579‐CSPC0036583), undated

145

IND 130699 (SDP303c) 2.3 DP303c Drug Substance. (CSPC0036584‐

4
5
6

CSPC0036588), undated
7
146

IND 130699 (SDP303c) 2.3 Quality Overall Summary . (CSPC0036589), undated

147

IND 130699 (SDP303c) 2.4 Nonclinical Overview. (CSPC0036590‐CSPC0036606),

8
9

undated
10
148

IND 130699 (SDP303c) 2.5 Nonclinical Overview. (CSPC0036607‐CSPC0036609),

11
undated
12
13
14

149

IND 130699 (SDP303c) 2.6.1 Introduction. (CSPC0036610), undated

150

IND 130699 (SDP303c) 2.6.3 Pharmacology Tabulated Summary. (CSPC0036615‐
CSPC0036619), undated

15
16

151

CSPC0036626), undated

17
18

152

153

154

155

156

IND 130699 (SDP303c) 3.2.A.2 Adventitious Agents Safety Evaluation.
(CSPC0036695‐CSPC0036702), undated

27
28

IND 130699 (SDP303c) 2.6.6 Pharmacology Written Summary. (CSPC0036681),
undated

25
26

IND 130699 (SDP303c) 2.6.7 Toxicology Tabulated Summary. (CSPC0036672),
undated

23
24

IND 130699 (SDP303c) 2.6.4 Pharmacokinetics Written Summary. (CSPC0036639),
undated

21
22

IND 130699 (SDP303c) 2.6.5 Pharmacokinetics Summary. (CSPC0036627‐
CSPC0036638), undated

19
20

IND 130699 (SDP303c) 2.6.2 Pharmacology Written Summary. (CSPC0036620‐

157

IND 130699 (SDP303c) 3.2.P.1 Description and Composition of Drug Product.

30

1
2

(CSPC0036703‐ CSPC0036705), undated
158

3

IND 130699 (SDP303c) 3.2.P.2 Pharmaceutical Development. (CSPC0036706‐
CSPC0036713), undated

4
159

IND 130699 (SDP303c) 3.2.P.3.2 Batch Formula. (CSPC0036714), undated

160

IND 130699 (SDP303c) 3.2.P.3.4 Controls of Critical Steps and Intermediates.

5
6
(CSPC0036715), undated
7
161
8

IND 130699 (SDP303c) 3.2.P.3.3 Description of Manufacturing Process and Process
Controls. (CSPC0036716‐CSPC0036718), undated

9
162

IND 130699 (SDP303c) 3.2.P.3.1 Manufacturers. (CSPC0036719), undated

163

IND 130699 (SDP303c) 3.2.P.3.5 Process Validation and/or Evaluation.

10
11
(CSPC0036720), undated
12
13

164

(CSPC0036721), undated

14
15
16

165

IND 130699 (SDP303c) 3.2.P.4.1 Specifications. (CSPC0036722), undated

166

IND 130699 (SDP303c) 3.2.P.5.1 Specifications. (CSPC0036723‐CSPC0036724),
undated

17
18
19

167

IND 130699 (SDP303c) 3.2.P.5.2 Analytical Procedures. (CSPC0036725), undated

168

IND 130699 (SDP303c) 3.2.P.5.3 Validation of Analytical Procedures.
(CSPC0036726), undated

20
21

169

24

170

Certificate of Analysis. (CSPC0036732‐CSPC0036733), undated

171

IND 130699 (SDP303c) 3.2.P.5.5 Characterization of Impurities. (CSPC0036734),
undated

25
26

172

IND 130699 (SDP303c) 3.2.P.5.6 Justification of Specifications. (CSPC0036735),
undated

27
28

IND 130699 (SDP303c) 3.2.P.5.4 Validation of Analytical Procedures.
(CSPC0036727‐CSPC0036731), undated

22
23

IND 130699 (SDP303c) 3.2.P.4.5 Excipients of Human or Animal Origin.

173

IND 130699 (SDP303c) 3.2.P.6 Biotech Drug Product Reference Standards or

31

1
2

Materials. (CSPC0036736), undated
174

3

IND 130699 (SDP303c) 3.2.P.7 Drug Product Container Closure System.
(CSPC0036737), undated

4
175

IND 130699 (SDP303c) 3.2.P.8.3 Stability Data. (CSPC0036738‐CSPC0036753),

5
undated
6
176
7

IND 130699 (SDP303c) 3.2.P.8.1 Stability Summary and Conclusion.
(CSPC0036754‐CSPC0036760), undated

8
177

IND 130699 (SDP303c) 3.2.S.1.3 General Properties. (CSPC0036761), undated

178

IND 130699 (SDP303c) 3.2.S.1.1 Nomenclature. (CSPC0036762), undated

179

IND 130699 (SDP303c) 3.2.S.1.2 Structure. (CSPC0036763‐CSPC0036766), undated

180

IND 130699 (SDP303c) 3.2.S.2.4 Control of Critical Steps and Intermediates.

9
10
11
12

(CSPC0036767), undated

13
14

181

CSPC0036775), undated

15
16

182

183

21

184

IND 130699 (SDP303c) 3.2.S.2.1 Manufacturers. (CSPC0036783), undated

185

IND 130699 (SDP303c) 3.2.S.3.1 Elucidation of Structure and Other Characteristics.
(CSPC0036784‐ CSPC0036796), undated

22
23

186

187

28

IND 130699 (SDP303c) 3.2.S.4.2 Specification . (CSPC0036800‐CSPC0036801),
undated

26
27

IND 130699 (SDP303c) 3.2.S.3.2 Impurities. (CSPC0036797‐CSPC0036799),
undated

24
25

IND 130699 (SDP303c) 3.2.S.2.6 Manufacturing Process Development.
(CSPC0036781‐CSPC0036782), undated

19
20

IND 130699 (SDP303c) 3.2.S.2.2 Description of Manufacturing Process and Process
Controls. (CSPC0036776‐CSPC0036780), undated

17
18

IND 130699 (SDP303c) 3.2.S.2.3 Control of Materials. (CSPC0036768‐

188

IND 130699 (SDP303c) 3.2.S.4.1 Analytical Procedures. (CSPC0036802‐
CSPC0036807), undated

32

1

189

2
3

IND 130699 (SDP303c) 3.2.S.4.3 Validation of Analytical Procedures.
(CSPC0036808), undated

190

4

IND 130699 (SDP303c) 3.2.S.4.4 Batch Analyses. (CSPC0036809‐CSPC0036812),
undated

5
191

IND 130699 (SDP303c) 3.2.S.4.5 Justification of Specification. (CSPC0036813‐

6
CSPC0036816), undated
7
192

IND 130699 (SDP303c) 3.2.S.5 References Standards or Materials. (CSPC0036817),

8
undated
9
193

IND 130699 (SDP303c) 3.2.S.6 Container Closure System. (CSPC0036818), undated

194

IND 130699 (SDP303c) 3.2.S.7.3 Stability Data. (CSPC0036819‐CSPC0036831),

10
11

undated
12
195
13

IND 130699 (SDP303c) 3.2.S.7.1 Stability Summary and Conclusions.
(CSPC0036832‐CSPC0036837), undated

14
15
16
17
18

196

IND 130699 (SDP303c) 3.2.S.1.3 General Properties. (CSPC0036838), undated

197

IND 130699 (SDP303c) 3.2.S.1.1 Nomenclature. (CSPC0036839), undated

198

IND 130699 (SDP303c) 3.2.S.1.2 Structure. (CSPC0036840‐CSPC0036842), undated

199

IND 130699 (SDP303c) 3.2.S.2.4 Control of Critical Steps and Intermediates.
(CSPC0036843), undated

19
20

200

CSPC0036852), undated

21
22

201

202

27
28

IND 130699 (SDP303c) 3.2.S.2.6 Manufacturing Process Development.
(CSPC0036864), undated

25
26

IND 130699 (SDP303c) 3.2.S.2.2 Description of Manufacturing Process and Process
Controls. (CSPC0036853‐CSPC0036863), undated

23
24

IND 130699 (SDP303c) 3.2.S.2.3 Control of Materials. (CSPC0036844‐

203

IND 130699 (SDP303c) 3.2.S.2.1 Manufacturers. (CSPC0036865), undated

204

IND 130699 (SDP303c) 3.2.S.2.5 Process Validation and/or Evaluation.
(CSPC0036866), undated

33

1

205

2
3

IND 130699 (SDP303c) 3.2.S.3.1 Elucidation of Structure and Other Characteristics.
(CSPC0036867‐ CSPC0036879), undated

206

4

IND 130699 (SDP303c) 3.2.S.3.2 Impurities. (CSPC0036880‐CSPC0036885),
undated

5
207

IND 130699 (SDP303c) 3.2.S.4.1 Specification. (CSPC0036886), undated

208

IND 130699 (SDP303c) 3.2.S.4.2 Analytical Procedures. (CSPC0036887‐

6
7

CSPC0036890), undated
8
209

IND 130699 (SDP303c) 3.2.S.4.3 Validation of Analytical Procedures

9
(CSPC0036891), undated
10
210

IND 130699 (SDP303c) 3.2.S.4.4 Batch Analyses. (CSPC0036892‐CSPC0036895),

11
undated
12
211

IND 130699 (SDP303c) 3.2.S.4.5 Justification of Specification. (CSPC0036896‐

13
CSPC0036898), undated
14
15

212

undated

16
17
18

213

IND 130699 (SDP303c) 3.2.S.6 Container Closure System. (CSPC0036900), undated

214

IND 130699 (SDP303c) 3.2.S.7.3 Stability Data. (CSPC0036901‐CSPC0036911),
undated

19
20

215

23
24
25

216

IND 130699 (SDP303c) 3.2.S.1.3 General Properties. (CSPC0036918), undated

217

IND 130699 (SDP303c) 3.2.S.1.1 Nomenclature. (CSPC0036919), undated

218

IND 130699 (SDP303c) 3.2.S.1.2 Structure. (CSPC0036920), undated

219

IND 130699 (SDP303c) 3.2.S.2.4 Control of Critical Steps and Intermediates.
(CSPC0036921), undated

26
27
28

IND 130699 (SDP303c) 3.2.S.7.1 Stability Summary and Conclusions.
(CSPC0036912‐CSPC0036917), undated

21
22

IND 130699 (SDP303c) 3.2.S.5 References Standards or Materials. (CSPC0036899),

220

IND 130699 (SDP303c) 3.2.S.2.3 Control of Materials. (CSPC0036922‐
CSPC0036924), undated

34

1

221

2
3

IND 130699 (SDP303c) 3.2.S.2.2 Description of Manufacturing Process and Process
Controls. (CSPC0036925), undated

222

IND 130699 (SDP303c) 3.2.S.2.1 Manufacturers. (CSPC0036928), undated

223

IND 130699 (SDP303c) 3.2.S.2.6 Manufacturing Process Development.

4
5
(CSPC0036929), undated
6
224

IND 130699 (SDP303c) 3.2.S.2.5 Process Validation and/or Evaluation.

7
(CSPC0036930), undated
8
225
9

IND 130699 (SDP303c) 3.2.S.3.1 Elucidation of Structure and Other Characteristics.
(CSPC0036931‐ CSPC0036935), undated

10
226

IND 130699 (SDP303c) 3.2.S.3.2 Impurities. (CSPC0036936‐CSPC0036939),

11
undated
12
227

IND 130699 (SDP303c) 3.2.S.4.1 Specification. (CSPC0036940), undated

228

IND 130699 (SDP303c) 3.2.S.4.2 Analytical Procedures. (CSPC0036941), undated

229

IND 130699 (SDP303c) 3.2.S.4.3 Validation of Analytical Procedures.

13
14
15

(CSPC0036942), undated

16
17

230

undated

18
19

231

232

24
25

233

IND 130699 (SDP303c) 3.2.S.6 Container Closure System. (CSPC0036950), undated

234

IND 130699 (SDP303c) 3.2.S.7.3 Stability Data. (CSPC0036951), undated

235

IND 130699 (SDP303c) 3.2.S.7.1 Stability Summary and Conclusions.
(CSPC0036952‐CSPC0036958), undated

26
27
28

IND 130699 (SDP303c) 3.2.S.5 References Standards or Materials. (CSPC0036949),
undated

22
23

IND 130699 (SDP303c) 3.2.S.4.5 Justification of Specification. (CSPC0036946‐
CSPC0036948), undated

20
21

IND 130699 (SDP303c) 3.2.S.4.4 Batch Analyses. (CSPC0036943‐CSPC0036945),

236

Email between Rubin Yang, Sean Hu and L. Allen re: mTgase new constructs.
(CSPC0094892), 2016‐08‐29

35

1

237

2
3

Email between Rubin Yang, Sean Hu and L. Allen re: additional Q step for
NHW07282016. (CSPC0094893), 2017‐02‐26

238

Q sepharose purification for NHW07282016. (CSPC0094894), undated

239

Email between Rubin Yang and Sean Hu re: Streptavidin binding assay.

4
5

(CSPC0094895), 2017‐06‐18

6
240

06192017 experiment design (Herceptin HBP and Streptavidin binding assay).

7
(CSPC0094896), undated
8
241
9

Email between Rubin Yang and Sean Hu re: mTgase new constructs.
(CSPC0094897), 2016‐08‐29

10
242

mTgase new constructs. (CSPC0094898‐CSPC0094903), undated

243

Email between Rubin Yang and Sean Hu re: additional Q step for NHW07282016.

11
12

(CSPC0094904), 2017‐03‐ 07

13
14

244

undated

15
16

245

19

246

Sources 15s NHW purification.docx. (CSPC0094908‐CSPC0094909), undated

247

Email between Rubin Yang, Sean Hu and L. Allen re: Flow chart. (CSPC0094910),
2017‐03‐30

20
21
22

248

FabArmExchange IgGi reduce disrupt and refold. (CSPC0094911), undated

249

Email between Rubin Yang, Sean Hu and J. Lovinger re: Flow chart.
(CSPC0094912), 2017‐04‐03

23
24

250

251

Email between Rubin Yang, Sean Hu and J. Lovinger re: Flow chart.
(CSPC0094915), 2017‐04‐03

27
28

Flow chart and purification summary 04032017. (CSPC0094913‐CSPC0094914),
undated

25
26

Email between Rubin Yang, Sean Hu and L. Allen re: mTtgase production used for
DP3O3c batches. (CSPC0094907), 2016‐03‐07

17
18

Q sepharose purification for NHW07282016. (CSPC0094905‐CSPC0094906),

252

Flow chart and purification summary 04032017. (CSPC0094916‐CSPC0094917),

36

1
2

undated
253

3

Email between Rubin Yang and Sean Hu re: ELISA signal. (CSPC0094918), 2017‐
04‐05

4
254

ELISA description signal table. (CSPC0094919), undated

255

ELISA description signal table (native excel). (CSPC0094920), undated

256

Email between Lisha Allen and Sean Hu re: July Monthly Report. (CSPC0095698),

5
6
7

2015‐08‐01

8
257
9

Dophen BioMed July 2015 Monthly Report attached to L. Allen email.
(CSPC0095699), 2015‐07‐30

10
258
11

Dophen BioMed July 2015 Monthly Report attached to L. Allen email.
(CSPC0095700‐CSPC0095713), 2015‐ 07‐30

12
13

259

2015‐08‐01

14
15

260

261

262

263

264

265

28

Email between Sean Hu and Lisha Allen re: 6 mTgase mutants. (CSPC0118551),
2015‐09‐08

26
27

Dophen BioMed January 2017 Monthly Report attached to L. Allen email.
(CSPC0096258‐CSPC0096265), 2017‐02‐02

24
25

Dophen BioMed January 2017 Monthly Report attached to L. Allen email.
(CSPC0096250‐CSPC0096257), 2017‐02‐02

22
23

Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0096249), 2017‐
02‐03

20
21

Dophen BioMed July 2015 Monthly Report attached to L. Allen email.
(CSPC0095781‐CSPC0095794), 2015‐ 07‐30

18
19

Dophen BioMed July 2015 Monthly Report attached to L. Allen email.
(CSPC0095780), 2015‐07‐30

16
17

Email between Lisha Allen and Sean Hu re: July Monthly Report. (CSPC0095779),

266

Six PromTgase mutants brief. (CSPC0118552‐CSPC0118553), undated

267

Email between Lisha Allen and Sean Hu re: August Monthly Report.

37

1
2

(CSPC0118554), 2015‐09‐01
268

3

Dophen BioMed March 2017 Monthly Report attached to L. Allen email.
(CSPC0118555‐CSPC0118568), 2015‐08‐27

4
269
5

Dophen BioMed March 2017 Monthly Report attached to L. Allen email.
(CSPC0118569‐CSPC0118582), 2015‐08‐27

6
270
7

Email between Lisha Allen and Sean Hu re: bispecific powerpoint and DBCO
compound. (CSPC0118583), 2017‐02‐17

8
271
9

Bispecific Antibody Preparation by Cross‐linking (Copper Catalyst Click Chemistry
Method PowerPoint. (CSPC0118584‐CSPC0118589), undated

10
272
11

Email between L. Allen and Lixin Feng re: DP3O3c Production report for GLP Tox
batch. (CSPC0118590), 2017‐01‐12

12
273
13

DP3O3c HME03192016 Production Report. (CSPC0118591‐CSPC0118610), 2017‐
01‐11

14
15

274

mTgase mutants. (CSPC0118611‐CSPC0118613), 2015‐08‐20

16
17
18
19
20
21
22
23

275

list of the Six PromTgase mutants. (CSPC0118614‐CSPC0118617), undated

276

Email between Lixin Feng L. Allen and re: CoA's. (CSPC0118618), 2017‐01‐05

277

Certificate of Analysis. (CSPC0118619), 2016‐04‐29

278

Certificate of Analysis. (CSPC0118620), 2016‐03‐25

279

Certificate of Analysis. (CSPC0118621), 2016‐01‐15

280

Certificate of Analysis. (CSPC0118622), 2016‐03‐02

281

Email between Lisha Allen and Sean Hu re: January Monthly Report.
(CSPC0118623), 2016‐02‐01

24
25

282

28

Dophen BioMed January 2016 Monthly Report attached to L. Allen email.
(CSPC0118624‐CSPC0118637), 2015‐01‐30 (sic)

26
27

Email between Sean Hu and Lisha Allen re: Six New mutants re: Two New Pro‐

283

Dophen BioMed January 2016 Monthly Report attached to L. Allen email.
(CSPC0118638), 2015‐01‐30 (sic)

38

1

284

2
3

Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0118652), 2016‐
01‐01

285

4

Dophen BioMed December 2015 Monthly Report attached to L. Allen email.
(CSPC0118653‐ CSPC0118663), 2015‐12‐30

5
286
6

Dophen BioMed December 2015 Monthly Report attached to L. Allen email.
(CSPC0118664‐ CSPC0118674), 2015‐12‐30

7
287
8

Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0118675), 2015‐
12‐01

9
288
10

Dophen BioMed November 2015 Monthly Report attached to L. Allen email.
(CSPC0118676‐ CSPC0118682), 2015‐11‐30

11
289
12

Dophen BioMed November 2015 Monthly Report attached to L. Allen email.
(CSPC0118683‐ CSPC0118689), 2015‐11‐30

13
290
14

Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0118690), 2015‐
11‐01

15
16

291

(CSPC0118691‐CSPC0118705), 2015‐10‐30

17
18

292

293

23

294

PromTgase new mutants June 2016. (CSPC0118722), undated

295

Email between Lisha Allen and Ou Yang Yue re: peptide mapping on HPLC protocol.
(CSPC0118723), 2016‐ 11‐02

24
25

296

28

DP303c Peptide Profile Sample Preparation and Analysis for Release and Stability.
(CSPC0118724), 2016‐10‐ 26

26
27

Email between Sean Hu and Lisha Allen re: New mTgase ordered. (CSPC0118721),
2016‐06‐28

21
22

Dophen BioMed October 2015 Monthly Report attached to L. Allen email.
(CSPC0118706‐CSPC0118720), 2015‐10‐30

19
20

Dophen BioMed October 2015 Monthly Report attached to L. Allen email.

297

Email between Lisha Allen and Dr. T Hechler re: Protocols for ADC preparation
through the use of mTgase. (CSPC0118730), 2016‐10‐12

39

1

298

2
3

Direct Conjugation of IgGi Antibody by Microbial Transglutaminase II.
(CSPC0118731‐CSPC0118735), 2016‐ 10‐06

299

4

ADC Conjugation Reaction Analysis by RP‐HPLC. (CSPC0118736‐CSPC0118741),
2016‐10‐10

5
300

ADC Purification by Protein Affinity Chromatography II. (CSPC0118742‐

6
CSPC0118746), 2016‐10‐06
7
301
8

Email between Lisha Allen and J. Fang re: ADC filing. (CSPC0118747‐
CSPC0118748), 2017‐01‐19

9
302

DP303C Stability Study Results Overview. (CSPC0118749‐CSPC0118779), 2017‐01‐

10
18
11
303

DP303C Stability Study sample checklist. (CSPC0118780), undated

304

DP303C Reference Standard Characterization Checklist. (CSPC0118781‐

12
13

CSPC0118782), undated
14
15

305

CSPC0118784), undated

16
17

306

307

308

309

26

310

alignment.SPF (software file). (CSPC0118797), undated

311

G558134 CHW protein and DNA sequences gene mutation information.
(CSPC0118798), undated

27
28

CHW NHW protein and DNA sequences gene mutation information.
(CSPC0118795), undated

24
25

Email between Sean Hu, Yuxi Shan, and Lisha Allen re: Remove "AP" from CHW
mutant. (CSPC0118794), 2015‐10‐10

22
23

DP303c and Component Lot History Tables 01062017. (CSPC0118791‐
CSPC0118793), undated

20
21

Email between Lisha Allen and J. Fang re: COA's and Master drug files.
(CSPC0118785), 2017‐01‐07

18
19

DP303C HME07302016 Drug Product Lot Release Checklist. (CSPC0118783‐

312

GS58134‐2 pET39b‐Mutant_1NHW.cm5 (software file). (CSPC0118802), undated

40

1

313

2
3

GS58134‐2 pET39b‐Mutant_1NHW.gb (software file). (CSPC0118803‐
CSPC0118805), undated

314

Mutant_1NHW F1.ab1 (software file). (CSPC0118806‐CSPC0119902), undated

315

Mutant_1NHW PET‐F.ab1 (software file). (CSPC0119903‐CSPC0120993), undated

316

original seq information. (CSPC0120994), undated

317

alignment.SPF (software file). (CSPC0120995‐CSPC0120995), undated

318

GS58134‐1 pET39b‐Mutant_1CHW Plasmid Map. (CSPC0120996‐CSPC0120999),

4
5
6
7
8

undated
9
319

GS58134‐1 pET39b‐Mutant_1CHW.cm5 (software file). (CSPC0121000), undated

320

GS58134‐1 pET39b‐Mutant_1CHW.gb (software file). (CSPC0121001‐

10
11

CSPC0121003), undated

12
13
14
15
16

321

Mutant_1CHW F1.ab1 (software file). (CSPC0121004‐CSPC0122075), undated

322

Mutant_1CHW PET‐F.ab1 (software file). (CSPC0122076‐CSPC0122147), undated

323

original seq information. (CSPC0122148), undated

324

email between Lisha Allen and Sean Hure: re: SEC‐HPLC Method Validation.
(CSPC0122149‐CSPC0122149), undated

17
18
19

325

Super 3000 SEC‐HPLC Method Validation. (CSPC0122150), undated

326

Email between Lisha Allen and Sean Hu re: September Monthly Report.
(CSPC0122151), 2015‐09‐30

20
21

327

(CSPC0122152‐ CSPC0122165), 2015‐09‐28

22
23

Dophen BioMed September 2015 Monthly Report attached to L. Allen email.

328

Dophen BioMed September 2015 Monthly Report attached to L. Allen email.
(CSPC0122166), 2015‐09‐28

24
25

329

ADC Reaction RT vs Time charts. (CSPC0122180), undated

26

330

Email between Rubin Yang, Sean Hu and L. Allen re: Disrupt Pro‐mTgase
interaction. (CSPC0122181), 2016‐ 09‐07

27
28

331

PM1‐QQG &PM1‐EEK general protocol. (CSPC0122182‐CSPC0122183), undated

41

1

332

2
3

Email between Rubin Yang and Sean Hu re: mTgase new constructs.
(CSPC0122184), 2016‐08‐29

333

mTgase new constructs. (CSPC0122185‐CSPC0122190), undated

334

Email between Rubin Yang, Sean Hu and L. Allen re: mTtgase production used for

4
5

DP303c batches. (CSPC0122191), 2017‐03‐07

6
335

Sources 15s NHW purification protocol sheet. (CSPC0122192‐CSPC0122193),

7
undated
8
336
9

Email between Yingui Li and Sean Hu re: Fwd: FW: International Application No.
PCT/US2015/035375 (Our Reference: 72069‐20001.40). (CSPC0096848 ‐

10

CSPC0096854), 2017‐08‐07

11
337
12

Payroll records for Dophen Biomed, Inc. (10/14/2016, 12/16/2016, 3/14/2017, and
6/15/2017). (CSPC0096867 ‐CSPC0096873), 2017‐06‐15

13
338

Photograph of Sean Hu in front of the office sign at 2945 Ramco St. #150, West

14
Sacramento, CA, 95691. (CSPC0000010), 2013
15
16

339

Wang. (CSPC0000048‐ CSPC0000049), 2011‐09‐27

17
18

340

21
22

341

Confirmation Details of Dophen Biomed Inc. wire payment (CSPC0000141), undated

342

Screenshot of Sean Hu's text messages. (CSPC0000185), 7/4/2017 ‐ 7/10/2017

343

CSPC Dophen Chase Bank Account (7205) statements (CSPC0000257‐
CSPC0000292), 2017‐01‐01

23
24

344

27
28

DP303c Study report prepared by Xiancheng Zeng and sponsored by Dophen Biomed
Corporation. (CSPC0058132‐CSPC0058158), 2016‐03‐28

25
26

Dophen Biomed Inc. Chase bank statement. (CSPC0000114‐CSPC0000137), 2016‐
10‐26

19
20

CSPC Dophen Corporation employment offer letter to Sean Hu signed by Jinxu

345

NIH Grant Application (Phase I). (CSPC0073657‐CSPC0073720), 2015‐12‐17

346

Email between Kelly Aubrecht at NIGMS Sean Hu and Ashley Smith re: Phase II
Continuation Package ‐‐ Grant Number 1R44GM121096‐01. (CSPC0073737‐

42

1
2

CSPC0073740), 2017‐07‐25
347

3

Employment offer letter to Tianxin Wang signed by Sean Hu. (CSPC0073825‐
CSPC0073826), 2014‐04‐03

4
348
5

Email between Jasmine Xiong, Sean Hu and Zuofeng Feng at Gateway
pharmaceutical re: Order for PBD. (CSPC0074010‐CSPC0074013), 2015‐04‐10

6
349

Confidentiality Agreement between Dophen Biomedical and China Gateway Life

7
Science (Holdings) Ltd. signed by Sean on behalf of Dophen Biomedical.
8

(CSPC0074014‐CSPC0074017), 2015‐04‐01

9
350

Master Services Agreement between Dophen Biomedical and China Gateway Life

10
Science (Holdings) Ltd. Signed by Sean on behalf of Dophen Biomedical.
11

(CSPC0074018‐CSPC0074034), 2015‐04‐01

12
351
13

Email from Sean Hu to Peter Fang from Shanghai CP Guojian pharmaceutical Co.,
Ltd. re: Dophen's Patent Introduction. (CSPC0074057‐CSPC0074064), 2015‐05‐27

14
352
15

Draft confidential agreement between Shanghai CP Guojian Pharmaceutical Co., Ltd
and CSPC Dophen Biomed. (CSPC0074065‐CSPC0074066), 2015‐06‐04

16
17

353

and CSPC Dophen Biomed. (CSPC0074070‐CSPC0074073), 2015‐06‐04

18
19

354

355

356

357

28

Signed sponsor letter by Sean Hu to Glycohub, Inc. on behalf of CSPC Dophen
Corporation re NIH SBIR Phase I proposal. (CSPC0074516), 2016‐08‐22

26
27

Signed MSA between Dophen Biomed Corporation and a Shanghai biomedical
company. (CSPC0074099‐ CSPC0074101), 2016‐02‐03

24
25

Email between Gan (Peter) Fang, Jasmine Xiong and Sean Hu re: CDA Agreement.
(CSPC0074077), 2015‐06‐ 16

22
23

Email from Sean Hu instructing Jasmine Xiong and Lisha Allen re: how to set up
your new Dophen mail on Outlook. (CSPC0074074‐CSPC0074075), 2015‐06‐08

20
21

Draft confidential agreement between Shanghai CP Guojian Pharmaceutical Co., Ltd

358

Email from Sabrina Lichsteiner (Heidelberg Pharma GmbH) to Jasmine Xiong and
Sean Hu re: Enzyme Shipment from Dophen. (CSPC0074549‐CSPC0074550), 2016‐

43

1
2

10‐12
359

3

Invoice to Heidelberg Pharma GmbH for €50,000 for Recombinant Microbial
Transglutaminase (mTGase) Dophen Biomed, Inc. (CSPC0074551), undated

4
360
5

Specific technical descriptions from page 41 on re: DP303c and studies in NIH grant
letter. (CSPC0076208‐ CSPC0076334), undated

6
361
7

Email between Sean Hu and Jim Rinehart, Yingui Li, and Jinxu Wang re: partnership
between City of Sacramento and CSPC Dophen BioMed. (CSPC0076506‐

8

CSPC0076507), 2012‐03‐20

9
362
10

Invitation letter by Sean Hu on behalf of Dophen Biomed to Xiwu Hui to participate
in drug research program. (CSPC0077172), 2014‐07‐10

11
363

NIH SBIR support letter from Jasmine Xiong, in which she stated that Dophen

12
Biomed will lease space to Glycohub within CSPC Dophen R & D lab.
13

(CSPC0077227), 2015‐02‐17

14
364
15

Email between Jasmine Xiong and Li Yanhong re: Supporting letter and lease.
(CSPC0077232‐ CSPC0077234), 2015‐04‐01

16
17

365

a portion of the Building located in 4070 Truxel Road Sacramento, CA.

18

(CSPC0077235‐CSPC0077238), 2015‐04‐01

19
20

366

367

368

(CSPC0077953), 2013/10/26

26

28

CSPC Dophen Corp payroll, as a parallel to and a contrast to the Dophen Biomed
payroll that contained Sean's name and other employees who worked under him .

25

27

Request for Taxpayer Identification Number (Form W‐9) for CSPC Dophen
Corporation. (CSPC0077890‐ CSPC0077893), undated

23
24

NIH SBIR support letter signed by Sean Hu stating that Dophen Biomed is leasing
CSPC Dophen R& D lab to tenant Glycohub, Inc. (CSPC0077240), 2015‐04‐01

21
22

Draft lease agreement between Dophen Biomed (landlord) and Glycohub (tenant), for

369

Email between Jasmine Xiong and Sean Hu re Jasmine creating @dophenbiomed.com
account for Sean Hu. (CSPC0078063‐CSPC0078065), ‐ 2013/11/25

44

1

370

2

470719 for quotation 1166031) ‐‐ Please review this order and reply for any changes

3
4

Email between Jasmine Xiong and Lan Tang re: Order Summary (GenScript order

immediately CRM:0106000000269. (CSPC0078075‐CSPC0078078), 2014‐06‐30
371

5

Email between Jasmine Xiong and Sean Hu re: Fees for ADC prep and ADC Summitt
Poster. (CSPC0078083‐ CSPC0078093), 2014‐08‐07

6
372
7

Invoice from Dophen Biomed, Inc. to Heidelberg Pharma GmbH, for Recombinant
Microbial Transglutaminase (mTGase), with the total amount of € 50,000.00 and

8

requesting the payment to be made to Dophen Biomed Inc. (CSPC0078235), 2014‐

9

12‐02

10
373
11

Email from Sean Hu to Audrey Jia re: Proposal for your IND filing. (CSPC0079092‐
CSPC0079102), 2016‐10‐ 07

12
374
13

Email from Sean Hu to Jianguo Yang re: Information regarding to our bispecific
antibody projects (CSPC0079552), 2016‐07‐21

14
375
15

Summary study for NIH grant, release date: April 2, 2016 (PDF) Meeting date: March
14, 2016 Request date: July 1, 2016. (CSPC0081470‐CSPC0081482), 2016‐05‐12

16
376
17

Draft material transfer agreement between CSPC and Heidelberg Pharma.
(CSPC0081553‐CSPC0081562), 2016‐04‐02

18
19

377

(CSPC0082452‐ CSPC0082453), 2015‐09‐29

20
21

378

379

380

28

Email from Sean Hu to "[e-mail]" re: none. (CSPC0085216‐
CSPC0085216), 2017‐08‐07

26
27

Email between Yingui Li and Sean Hu re: Fwd: Company registration.
(CSPC0094330‐CSPC0094333), 2015‐ 06‐12

24
25

Email between Sean Hu and Gan (Peter) Fang CGPJ Pharmaceuticals re: CDA
agreement. (CSPC0082585‐ CSPC0082586), 2015‐06‐16

22
23

Email from Sean Hu to Yan Wang re: please reply asap regarding your lunch choice.

381

Email between Sean Hu and Li Yanhong re: Supporting Letter and lease.
(CSPC0087755‐CSPC0087758), 2016‐07‐21

45

1

382

2
3

Employment offer letter from Sean Hu to Song Xiong (Jasime Xiong).
(CSPC0089050), 2016‐02‐11

383

4

Commercialization Plan of Dophen Biophen. (CSPC0089988‐CSPC0089991), 2014‐
03‐07

5
384

Office of Research integrity Small Organization Statement for Handling Allegations

6
of Research Misconduct Involving Public ! Health Services Research and Related
7

Activities. (CSPC0091228), 2015‐12‐17

8
385
9

Signed letter from Sean Hu to NIH Center for Scientific Review. (CSPC0091293),
2017‐04‐03

10
386
11

Letter from Yingui Li announcing Sean Hu's resignation from CSPC Dophen
Corporation. (CSPC0091486), 2015‐12‐23

12
387

Termination letter outlining terms of Sean's termination. (CSPC0091487), 2017‐07‐10

388

Email between Li Yingui and Sean Hu re Dophen's Patent Introduction.

13
14

(CSPC0093760‐CSPC0093768), 2107 07‐10

15
16

389

Biomed, Inc. (CSPC0094476‐ CSPC0094519), 2016‐05‐27

17
18

390

391

392

25

393

Dophen Biomed Form W‐9 signed by Ashley Smith. (CSPC0094685), 2017‐07‐25

394

Department of Health and Human Services Payment Management System Request
Access. (CSPC0094686‐ CSPC0094688), 2016‐06‐06

26
27
28

Letter from Ashley Smith to Lixin Feng & Yingui Li regarding Payroll Discrepancy
Found During Audit ‐‐ Action Taken to Correct. (CSPC0094678), 2015‐12‐15

23
24

Letter from Jasmine Xiong to Sean Hu attaching signed lease. (CSPC0094661‐
CSPC0094665), 2015‐12‐15

21
22

Commercial lease final agreement signed by Jasmine Xiong and Sean Hu on
December 15, 2015. (CSPC0094583‐CSPC0094587), 2017‐04‐05

19
20

Bispecific Antibody Grant Application submitted by Sean on behalf of Dophen

395

Payroll Details of each employee under Dophen Biomed Inc within Pay Period from
05/01/2017 to 07/31/2017. (CSPC0094689‐CSPC0094691), 2016‐08‐08

46

1

396

2
3

Research Collaboration and License Option Agreement between Heidelberg Pharma
GmbH and Dophen Biomed. (CSPC0094762‐CSPC0094774), 2017‐07‐31

397

4

E‐mail between Sean Hu and Jinxu Wang re: DP303 IND Sponsor. (CSPC0094822‐
CSPC0094823), 2016‐09‐ 22

5
398
6

Research Collaboration and License Option Agreement between Heidelberg Pharma
GmbH and Dophen Biomed. (CSPC0094845‐CSPC0094857), 2017‐04‐11

7
399

Response from California Secretary of State to Jasmine Xiong's request regarding

8
name availability reservation with CA Secretary of State before registering Dophen
9

Biomed, Inc. (CSPC0094858‐ CSPC0094859), 2016‐09‐22

10
400
11

Dophen BioMed Inc. California Business Entity Title. (CSPC0102727‐
CSPC0102728), 2014‐04‐23

12
401
13

Presentation by Sean Hu, on behalf of Dophen Biomed, titled "The most stable site‐
specific ADCs Made Simple." (CPSC0079888‐CSPC0079918), 2017‐09‐28

14
402
15

Email from Sean Hu to Ashley smith re: Tax records and financial documents.
(CSPC0096314), 2105‐06‐12

16
17

403

Dophen Corporation. (CSPC0096337‐CSPC0096342), 2018‐03‐07

18
19

404

405

406

407

28

Declaration of Lixin Feng iso CSPC Dophen Corporation's motion for expedited
discovery at ECF No. 20‐9. 2017‐10‐20

26
27

Declaration of Sean Hu iso Opposition to Pltf's Motion for Expedited Discovery
including exhibits at ECF Nos. Dkt 17‐1 to 17‐2. 2017‐10‐19

24
25

Declaration of Sean Hu iso Motion for Disqualification of Counsel including exhibits
at ECF Nos. Dkt 16‐1 to 16‐14. 2017‐09‐29

22
23

Declaration of Lixin Feng iso CSPC Dophen Corporation's ex parte application for
expedited discovery

20
21

Assignment Agreement between Sean Hu, Lisha Allen, Dophen Biomed and CSPC

408

Declaration of Lisha Allen iso CSPC Dophen Corporation's motion for expedited
discovery at ECF No. 20‐12. 2017‐10‐27

47

1

409

2
3

Declaration of Sean Hu iso Opposition to Plaintiff's motion for expedited discovery at
ECF No. 20‐18. 2017‐ 10‐27

410

4

Declaration of Ashley Smith iso CSPC Dophen Corporation's motion for expedited
discovery including exhibits at ECF Nos. Dkt 20‐10 to 20‐11. 2017‐10‐27

5
411
6

Declaration of Michael Kunkel iso CSPC Dophen Corporation's motion for expedited
discovery including exhibits at ECF Nos. Dkt 20‐13 to 20‐16. 2017‐10‐27

7
412
8

Declaration of Lisha Allen in opposition to Sean Hu's motion for disqualification of
counsel at ECF No. 28. 2017‐10‐27

9
413
10

Declaration of Yingui Li in opposition to Sean Hu's motion for disqualification of
counsel including exhibits at ECF Nos. Dkt 27 to 27‐9. 2017‐11‐02

11
414
12

Declaration of Ashley Smith in opposition to Sean Hu's motion for disqualification of
counsel including exhibits at ECF Nos. Dkt 29 to 29‐2. 2017‐11‐02

13
415
14

Declaration of Yingui Li iso CSPC Dophen Corporation's surreply iso opposition to
motion for disqualification of counsel including exhibits at ECF Nos. Dkt 38‐1 to 38‐

15

2. 2017‐11‐02

16
17

416

counsel for defendant and counterclaimant Sean Hu at ECF No. 51‐2. (n/a‐), 2017‐11‐

18

28

19
20

417

at ECF Nos. Dkt 65‐1 to 65‐4. 2018‐04‐16

22
418

419

28

Declaration of Ashley Smith iso CSPC Dophen Corporation's motion to compel
discovery responses w Ex. 1 at ECF No. Dkt 72‐20. 2018‐06‐08

26
27

Declaration of Michael Kunkel iso CSPC Dophen Corporation's motion to compel
discovery responses w Exs A‐C at ECF No. Dkt 72‐19. (n/a‐), 2018‐05‐24

24
25

Declaration of Sean Hu iso Sean Hu's opposition to CSPC Dophen Corporation's
motion to dismiss and motion to strike first amended counterclaims including exhibits

21

23

Declaration of Sean Hu iso Motion by Krogh & Decker LLP for leave to withdraw as

420

Declaration of Jiaying Fan iso Sean Hu's Opposition to CSPC Dophen Corporation's
motion to dismiss and motion to strike first amended counterclaims [attached to jt

48

1
2

stmt re mtn to compel] at ECF No. Dkt 72‐21. 2018‐06‐08
421

3

Declaration of Sean Hu iso Sean Hu's Opposition to CSPC Dophen Corporation's
motion to dismiss and motion to strike first amended counterclaims [attached to jt

4

stmt re mtn to compel] including exhibits at ECF Nos. Dkt 72‐22 to 72‐27. 2018‐06‐

5

08

6
422

Declaration of Sean Hu iso Sean Hu's Opposition to CSPC Dophen Corporation's

7
motion to dismiss and motion to strike first amended counterclaims including exhibits
8

at ECF Nos. Dkt 74‐1 to 74‐3. 2018‐06‐08

9
423

Declaration of Jasmin Xiong iso Sean Hu's Opposition to CSPC Dophen

10
Corporation's motion to compel discovery responses from Dr. Sean Hu at ECF No.
11

78‐9. 2018‐06‐14

12
424

Declaration of Sean Hu iso Sean Hu's Opposition to CSPC Dophen Corporation's

13
motion to compel discovery responses from Dr. Sean Hu including exhibits at ECF
14

Nos. Dkt 78‐10 to 78‐12. 2018‐06‐22

15
425
16

Declaration of Sean Hu iso Sean Hu's Motion to disqualify counsel including exhibits
at ECF Nos. Dkt 84‐2 to 84‐36. 2018‐06‐22

17
426
18

Declaration of Jasmine Xiong iso Sean Hu's Motion to disqualify counsel including
exhibits at ECF Nos. Dkt 84‐37 to 84‐40. 2018‐07‐13

19
20

427

counsel at ECF No. 87‐13. 2018‐07‐13

21
22

428

429

430

Notice of Errata ad Correction to declaration of Sean Hu iso Sean Hu's motion to
disqualify counsel including exhibits at ECF Nos. Dkt 88 to 88‐1. 2018‐07‐27

27
28

Declaration of Yingui Li iso CSPC Dophen's Opposition to Motion to disqualify
counsel including exhibits at ECF Nos. Dkt 87‐14‐to 87‐31. 2018‐07‐27

25
26

Declaration of Ashley Smith iso CSPC Dophen's Opposition to Motion to disqualify
counsel including exhibits at ECF Nos. Dkt 87‐1 to 87‐3. 2018‐07‐27

23
24

Declaration of Lisha Allen iso CSPC Dophen's Opposition to Motion to disqualify

431

Declaration of Sean Hu iso Sean Hu's opposition to CSPC Dophen's request for

49

1

continuance of hearing date for Defendant's motion for disqualification of counsel

2
3

including exhibits at ECF Nos. Dkt 90‐1 to 90‐5. 2018 07‐31
432

4

Sean Hu's Reply [declaration iso reply] to CSPC Dophen's opposition to motion for
disqualification of counsel including exhibits at ECF Nos. Dkt 91‐1 to 91‐2. 2018‐08‐

5

02

6
433
7

Declaration of Michael Kunkel [iso CSPC Mtn to Enforce Order] including exhibits at
ECF Nos. Dkt 107‐2 to 107‐8. 2018‐09‐07

8
434
9

Declaration of Sean Hu iso Sean Hu's opposition to CSPC Dophen Corporation's
Misleading Motion to Enforce Court Order including exhibits at ECF Nos. Dkt 110‐1

10

to 110‐9. (n/a‐), 2018‐10‐15

11
435
12

Supplemental Declaration of Michael Kunkel [iso CSPC Mtn to Enforce Order] at
ECF No. 112‐1. 2018‐11‐ 02

13
436
14

Declaration of Sean Hu iso motion for sanctions against counter‐defendants' counsel
including exhibits at ECF Nos. Dkt 113‐1 to 113‐5. (n/a‐), 2018‐11‐09

15
437
16

Declaration of Jiaying Fan iso Sean Hu's Motion for Reconsideration including
exhibits at ECF Nos. Dkt 116‐ 2 to 116‐5. 2018‐11‐11

17
18

438

Defendants' Counsel including exhibits at ECF Nos. Dkt 128‐1 to 128‐7. (n/a‐), 2018‐

19

11‐18

20
21

439

136‐1 to 136‐2. 2018‐12‐02

23
440

137‐1 to 137‐2. 2018‐12‐07

26

28

Declaration of Sean Hu iso Sean Hu's opposition to motion to quash or modify
Defendant's subpoenas [Conjupro's Mtn to Quash] including exhibits at ECF Nos. Dkt

25

27

Declaration of Sean Hu iso Sean Hu's opposition to motion to quash or modify
Defendant's subpoenas [Yingui Li Mtn to Quash] including exhibits at ECF Nos. Dkt

22

24

Declaration of Sean Hu iso Reply to Motion for Sanctions against Counter‐

441

Declaration of Sean Hu iso Sean Hu's Request for Reconsideration by the District
Court of Magistrate Judge's Ruling including exhibits at ECF Nos. Dkt 138‐1 to 138‐

50

1
2

9. 2018‐12‐07
442

3

Declaration of Tom Gao iso Sean Hu's Amended Counterclaim [filed with Mtn for
30‐day ext to file 2d Amended Counterclaim] at ECF No. 156‐1. 2018‐12‐09

4
443
5

Declaration of Dr. Hui Ouyang iso Sean Hu's motion for summary judgment
[attached to Second Amended Counterclaims, decl dated 1‐30‐2019] including

6

exhibits at ECF Nos. Dkt 224‐1 to 224‐2. 2019‐12‐06

7
444
8

Declaration of Tom Gao iso Sean Hu's Amended Counterclaim [filed with 2d
Amended Counterclaim] including exhibits at ECF Nos. Dkt 224‐9 to 224‐23. 2019‐

9

12‐10

10
445
11

Declaration of Sean Hu iso Sean Hu's motion to enforce court's subpoenas to depose
CSPC‐Dophen's officers including exhibits at ECF Nos. Dkt 242‐1 to 242‐6. 2019‐12‐

12
10
13
446
14

Declaration of Sean Hu iso Sean Hu's motion to compel discovery responses from
CSPC‐Dophen's including exhibits at ECF Nos. Dkt 243‐1 to 243‐5. 2020‐01‐31

15
447
16

Declaration of Dongchen Cai iso CSPC Dophen's opposition to Hu's motion to
enforce court subpoenas to depose CSPC Dophen's officers at ECF No. 255‐7. 2020‐

17

01‐31

18
19

448

court subpoenas to depose CSPC Dophen's officers at ECF No. 255‐8. 2020‐03‐06

20
21

449

450

06

25
451

Declaration of Sean Hu regarding service of summons of counterclaim defendants'
counsel Mr. Wilson including exhibits at ECF Nos. Dkt 277, 277‐6. 2020‐03‐06

27
28

Declaration of Sean Hu iso Sean Hu's motion to enforce court's subpoenas to depose
CSPC‐Dophen's officers including exhibits at ECF Nos. Dkt 255‐1 to 255‐6. 2020‐03‐

24

26

Hu Exhibits A and B to Joint Statement re Renewed Motion to Compel Discovery
Responses including exhibits at ECF Nos. Dkt 254‐1 to 254‐2. 2020‐03‐06

22
23

Declaration of Yingui Li iso CSPC Dophen's opposition to Hu's motion to enforce

452

POS Dongchen Cai (attached to declaration) including exhibits at ECF No. Dkt 277‐

51

1
2

1. 2020‐11‐10
453

3

Declaration of Sean Hu iso his motion for leave to amend 2nd counterclaim including
exhibits at ECF Nos. Dkt 295‐1 to 295‐6. 2020‐12‐24

4
454
5

Declaration of Sean Hu iso his motion for sanction including exhibits at ECF Nos.
Dkt 296‐1 to 296‐8. 2022‐ 05‐06

6
455
7

Declaration of Pina Cardarelli iso CSPC Dophen's motion for summary judgment
including exhibits at ECF No. Dkt 308‐2 to 308‐3. 2022‐05‐11

8
456
9

Declaration of Mike Kunkel iso CSPC Dophen's motion for summary judgment
including exhibits at ECF Nos. Dkt 308‐4 to 308‐5. 2022‐06‐17

10
457
11

Declaration of Sean Hu iso Sean Hu's opposition to CSPC Dophen's motion for
summary judgment including exhibits at ECF Nos. Dkt 310‐2 to 310‐11. 2022‐06‐20

12
458

Declaration of Sean Hu iso his response and opposition to CSPC Dophen

13
Corporation's objections to Magistrate Judge's order including exhibits at ECF Nos.
14

Dkt 318‐1 to 318‐2. 2022‐06‐28

15
16

459

Hongkong. (CSPC0094775),

17
18
19
20

460

U.S. Patent Application US 2017/0106096. 2011‐11‐04

461

Dophen Biomed, Inc. Form FC55927. (CSPC0094338), 2016‐03‐15

462

International Application WO 2015/191883 A1. (CSPC0082954‐CSPC0083033),
2016‐10‐27

21
22

463

464

27
28

Department of Health and Human Services Payment Management System Request
Access. (CSPC0094686‐ CSPC0094688), 2016‐08‐09

25
26

Payroll Details of each employee under Dophen Biomed Inc within Pay Period from
05/01/2017 to 07/31/2017. (CSPC0094689‐CSPC0094691), 2018‐01‐17

23
24

Email between Sean Hu and Jinxu Wang re: My Salary pay 50% in RMB via

465

Dophen Biomed Form W‐9 signed by Ashley Smith. (CSPC0094685), 2016‐08‐08

466

NIH Grant Application Package. (CSPC0094522‐CSPC0094554), 2015‐12‐28

467

Email between Qingxi Wang and Sean Hu re: Fw: Countersigned Agreement.

52

1
2

(CSPC0087805), 2017‐04‐20
468

Grant Progress Report. (CSPC0078262‐CSPC0078281), 2016‐10‐02

469

Letter from Dr. Hu to Dr. Yu. (CSPC0078227‐CSPC0078228), 2016‐03‐23

470

CSPC Dophen Quarterly Federal Tax Return. (CSPC0078205‐CSPC0078207), 2016‐

3
4
5

08‐30

6
471
7

Email between Jasmine Xiong and Glycohub re: "Re: Urgent Supporting letter for
SBIR." (CSPC0077239), 2016‐04‐15

8
472
9

Email between Jasmine Xiong and Xi Chen re: Supporting letter and lease.
(CSPC0077225‐CSPC0077226), 2015‐04‐01

10
473

Levena Biopharma Invoice. (CSPC0074561), 2015‐02‐17

474

Levena Biopharma Invoice. (CSPC0074560), 2016‐10‐07

475

NIH Notice of Award. (CSPC0094468‐CSPC0094475), 2016‐10‐13

476

CSPC Dophen Corporation California Business Entity Title. (CSPC0000201), 2016‐

11
12
13
14

02‐29

15
16

477

Inc. (CSPC0000143‐ CSPC0000144), 2016‐12‐08

17
18
19
20

478

Payment re: "Payment to Dophen Biomed from CSPC." (CSPC0000142), 2017‐06‐30

479

Payment re: "Payment to Dophen Biomed from CSPC." (CSPC0000141), 2017‐07‐27

480

Buyer Final Closing Statement for property located at 4070 Truxel Road, Sacramento,
CA. (CSPC0000140), 2017‐07‐27

21
22
23

481

City of West Sacramento Business License No. 15009. (CSPC0057215), 2012‐05‐22

482

CMC Strategies for Antibody‐Drug Conjugates ‐ The Bioprocessing Summit.
(CSPC0000145‐CSPC0000147), 2012‐11‐16

24
25

483

28

State of California Certificate of Qualification CSPC Dophen Corporation.
(CSPC0057216‐CSPC0057217), 2017‐08‐01

26
27

Assignment Agreement between CSPC Dophen Corporation and Dophen Biomed,

484

CSPC Dophen Business Operations Tax Certificate for City of Sacramento.
(CSPC0000251), 2011‐02‐14

53

1

485

2

State of California regarding 4070 Truxel Road, Sacramento, CA. (CSPC0057221),

3
4

CSPC Dophen Corporation Change of Address form sent to Secretary of State of the

2012‐05‐03
486

5

CSPC Dophen Corp. Monthly Work Schedule and Report. (CSPC0122946), 2012‐08‐
21

6
487

Dophen Biomed 2011 Annual Report. (CSPC0000255), 2011‐11‐30

488

Certificate of Status CSPC Dophen Corporation. (CSPC0057214), undated

489

Dophen Biomedical Business Operation Tax Notice. (CSPC0057222), 2011‐02‐11

490

Dophen Biomed Inc. Articles of Incorporation. (CSPC0000006), 2016‐06‐10

491

Grant Application for Novel enzymatic site‐specific antibody drug conjugation

7
8
9
10
11
technique to produce homogeneous antibody drug conjucate (ADC)s with improved
12

safety, stability, and efficacy. (CSPC0057077‐ CSPC0057140), 2014‐04‐22

13
14
15

492

Dr. Sean Hu Employee File. (SMP00001‐SMP000061), 2017‐04‐05

493

Chase Bank Statement June 28, 2016 thru June 30, 2016. (CHASE0000126‐
CHASE0000127), various

16
17

494

CHASE0000129), 2018‐11‐02

18
19

495

496

497

498

28

Chase Bank Statement November 1, 2016 thru November 30, 2016.
(CHASE0000136‐CHASE0000139), 2018‐11‐02

26
27

Chase Bank Statement October 1, 2016 thru October 31, 2016. (CHASE0000134‐
CHASE0000135), 2018‐11‐ 02

24
25

Chase Bank Statement September 1, 2016 thru September 30, 2016.
(CHASE0000132‐CHASE0000133), 2018‐11‐02

22
23

Chase Bank Statement July 30, 2016 thru August 31, 2016. (CHASE0000130‐
CHASE0000131), 2018‐11‐02

20
21

Chase Bank Statement July 1, 2016 thru July 29, 2016. (CHASE0000128‐

499

Chase Bank Statement December 1, 2016 thru December 30, 2016. (CHASE0000142‐
CHASE0000143), 2018‐11‐02

54

1

500

2
3

Chase Bank Statement December 31, 2016 thru January 31, 2017. (CHASE0000149‐
CHASE0000152), 2018‐ 11‐02

501

4

Chase Bank Statement February 1, 2017 thru February 28, 2017. (CHASE0000155‐
CHASE0000156), 2018‐ 11‐02

5
502
6

Chase Bank Statement March 1, 2017 thru March 31, 2017. (CHASE0000160‐
CHASE0000161), 2018‐11‐02

7
503
8

Chase Bank Statement April 1, 2017 thru April 28, 2017. (CHASE0000168‐
CHASE0000169), 2018‐11‐02

9
504
10

Chase Bank Statement April 29, 2017 thru May 31, 2017. (CHASE0000173‐
CHASE0000174), 2018‐11‐02

11
505
12

Chase Bank Statement June 1, 2017 thru June 30, 2017. (CHASE0000175‐
CHASE0000178), 2018‐11‐02

13
506
14

State of California Certificate of Qualification CSPC Dophen Corporation.
(CSPC0057210‐CSPC0057213), 2018‐11‐02

15
16

507

Interrogatories ‐‐ General (Set One). 2017‐09‐28

17
18

508

509

510

511

March 8, 2017. 2016‐12‐11

26

28

ECF No. 26‐4: Assignment Agreement re Homogenous Antibody Drug Conjugates
via Enzymes Methods ‐‐ confirmatory assignment recorded with the USPTO on

25

27

ECF No. 26‐3: email between Janet Xiao, Sean Yu and Yan Qi re: Re: Re: Fwd:
Dophen Company Name. 2016‐10‐20

23
24

ECF No. 26‐2: Provisional Assignment ‐‐ corrective assignment recorded with the
USPTO on October 20, 2016 , 2015‐06‐05

21
22

ECF No. 26‐1: Notice of Recordation: initial assignment of the patent application
recorded with the U.S. Patent and Trademark Office (‐), 2017‐10‐25

19
20

ECF No. 25‐2: Plaintiff's Dophen BioMed, Inc.'s Responses to CSPC Dophen's Form

512

ECF No. 61‐3:Declaration of Michael Kunkel, Director of Investigative Services of
Setec Security Technologies, Inc. 2017‐03‐08

55

1
2

513

ECF No. 150‐3: Certified translation of Sean Hu txt messages. 2018‐02‐18

514

ECF No. 150‐4: Certified translation of Sean Hu txt messages. 2017‐11‐02

515

ECF No. 150‐5: Certified translation of Sean Hu txt messages. 2017‐11‐02

516

ECF No. 150‐6: Certified translation of Sean Hu txt messages. 2017‐11‐02

517

ECF No. 150‐7: Certified translation of Sean Hu txt messages. 2017‐11‐02

518

ECF No. 200‐5: PowerPoint presentation produced by non‐party Urban Real Estate

3
4
5
6
7

Investment, Inc. in response to CSPC Dophen’s Subpoena Duces Tecum dated

8

January 18, 2019 (submitted under seal). 2017‐ 11‐02

9
519
10

ECF No. 202‐28: A copy of a check payable to ADCure Biomed, Inc. from Urban
Real Estate Investment, Inc. for $200,000 dated June 1, 2018 produced by non‐party

11

UREII. (UREII 001‐UREII 001), 2018‐05‐03

12
13

520

Tang of UREII re: My CV anf BP Deck (UREII 002‐UREII 004), 2018‐06‐01

14
15

521

522

523

524

2016. 2017‐07‐21

23
525

27
28

Q4 20416 ‐ PSC 272 FFR Report Source: Payment Management System.
(CSPC0000227‐CSPC0000235),

25
26

ECF No. 302‐14: Invoice sent from Sean Hu under Dophen Biomed, Inc. to
Heidelberg Pharma for purchase of Microbial Transglutaminase dated October 7,

22

24

Wilson Declaration Exhibit B ‐‐ ECF No. 302‐3: CPSC Dophen Corporation
Certificate of Good Standing. 2019‐05‐31

20
21

ECF No. 302‐2: CSPC Dophen Corporation State of Delaware Certificate of
Incorporation. 2018‐08‐29

18
19

ECF No. 202‐29: email exchange dated October 6, 2017 between Dr. Hu and Peggy
Tang of UREII re: My CV anf BP Deck (UREII 005‐UREII 036), 2017‐10‐06

16
17

ECF No. 202‐29: email exchange dated October 6, 2017 between Dr. Hu and Peggy

526

Grant Progress Report. (CSPC0057157), 2014‐04‐22

527

Hu Response to CSPC Interrogatories No. 4.

528

Hu Responses to CSPC Dophen’s Interrogatories (Set One). 2022‐05‐25

56

1

529

2
3

Hu Verification for Responses to CSPC Dophen's Interrogatories (Set One). 2022‐05‐
25

530

Hu Supplemental Responses to CSPC Dophen's Interrogatories (Set One). 2022‐05‐25

531

Hu's Responses to CSPC Dophen's Interrogatories (Set Two). 2022‐06‐17

532

Hu's Supplemental Responses to CSPC Dophen's Interrogatories (Set One). 2018‐06‐

4
5
6

08
7
533

Hu's Responses to CSPC's Request for Admissions ‐‐ Set One. 2018‐07‐09

534

Hu's Responses to Requests for Interrogatory Responses ‐‐ Set Three. 2017‐11‐20

535

Hu Verification (RFAs Set One, Rogs Set 3, RFPs Sets 3 & 4). 2017‐11‐30

536

Hu Responses to CSPC’s 4th Set of Interrogatories (Rog No. 23). 2018‐01‐11

537

Hu Verification (Rogs Set 4). 2018‐06‐08

538

Hu's Responses to Requests for Interrogatory Responses ‐‐ Set Five. 2018‐07‐09

539

A Brief Account of Ownership Dispute between CSPC and Sean. (CSPC0000212‐

8
9
10
11
12
13
14

CSPC0000216), 2017‐08‐ 01

15
16

540

08‐09

17
18
19
20

Thousand Talents Plan Dr. Hu Application. (CSPC0000236‐CSPC0000240), 2017‐

541

State of Delaware Certificate of Incorporation CSPC Dophen. 2019‐08‐29

542

State of Delaware Certificate of Good Standing CSPC Dophen. 2022‐05‐03

543

Email from Yingui Li to Jinxu Wang re: Heidelberg Pharma. (CSPC0094779), 2018‐
02‐06

21
544

CSPC Dophen Deposit Form and W‐9. (CSPC0078092‐CSPC0078093), 2014‐12‐02

23

545

Dophen Biomed Articles of Incorporate. (HU000049), 2014‐04‐22

24

546

NIH Grant Application Cover Letter. (CSPC0088044), 2017‐04‐04

25

547

Email from Sean Hu to Lennin Greenwood re: Request for additional information:

22

26

1R44GM121096 – 01 PI Name: Hu, Sean. (CSPC0086792‐CSPC0086796), 2016‐08‐

27

24

28

548

Email from Xia Zuyong to Sean Hu re: Opportunity at Dophen. (CSPC0079428‐
57

1
2

CSPC0079429), 2017‐05‐03
549

3

Commercial Lease Agreement between CSPC Dophen and Dophen Biomed, Inc.
(CSPC0000245‐ CSPC0000250), 2016‐12‐01

4
550
5

Email from Pahl Andreas to Sean Hu re AW: MTA, linker design and amount of
mAB and toxin. (CSPC0081539‐CSPC0081552), 2015‐09‐29

6
551
7

Email from Dophen Biomed to Sabrina Lichtsteiner re Enzyme Shipment from
Dophen. (CSPC0078229‐ CSPC0078234), 2016‐10‐13

8
552
9

Email from Sean Hu to Lixin Feng et al re: Draft IND application ready by end of this
Month. (CSPC0057258 ), 2017‐01‐06

10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
58

1

ATTACHMENT D

2

Defendant’s Exhibit List

3
4

As discussed at the final pretrial conference, in his objections to this tentative pretrial
order, defendant Dr. Hu is directed to revise his exhibit list.

5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
59