Securities & Exchange Commission v. Sabhlok et al

Filing 240

STIPULATION AND ORDER RE TRIAL EXHIBITS re 239 Stipulation filed by Securities & Exchange Commission. Signed by Judge Edward M. Chen on 8/6/10. (bpf, COURT STAFF) (Filed on 8/6/2010)

1 MARC J. FAGEL (Cal. Bar No. 154425) SUSAN F. LAMARCA (Cal Bar No. 215231) [e-mail] 2 ROBERT L. TASHJIAN (Cal Bar No. 191007) [e-mail] 3 WILLIAM T. SALZMANN (Cal. Bar No. 205808) [e-mail] 4 5 Attorneys for Plaintiff SECURITIES AND EXCHANGE COMMISSION 6 44 Montgomery Street, Suite 2600 San Francisco, California 94104 7 Telephone: [phone] 11 12 SECURITIES AND EXCHANGE COMMISSION, Case No. C-08-4238 EMC 13 14 15 vs. Plaintiff, STIPULATION BETWEEN SECURITIES AND EXCHANGE COMMISSION AND MICHAEL PATTISON CONCERNING CERTAIN TRIAL EXHIBITS ; ORDER Sept. 7, 2010 UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF CALIFORNIA SAN FRANCISCO DIVISION

16 RAJ P. SABHLOK and MICHAEL C. PATTISON, Trial Date: 17 18 19 20 21 22 23 24 25 26 27 28 Defendants.

Before the Honorable Edward M. Chen

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Plaintiff Securities and Exchange Commission and defendant Michael C. Pattison, by and

2 through their undersigned counsel, hereby stipulate and agree to the following: 3 A. 4 E-mail messages and attachments The parties stipulate that exhibits reflecting printouts of e-mail messages bates labeled with

5 the prefixes EMBT, EMBPALL, ETET, ETHE, ETRADE, ETSC, ETTCB, and GP are authentic e6 mail messages and require no further proof to establish their authenticity pursuant to Rule 901 of the 7 Federal Rules of Evidence. The parties agree that these exhibits are e-mail messages sent by the 8 person on the "FROM" line and to the recipients on the "TO," "CC," and "BCC" lines. The parties 9 further agree that the messages were sent on the dates and at the times reflected in the printout. The 10 parties also agree that the documents following e-mail messages in these exhibits are printouts of 11 attachments to the e-mail messages. 12 This stipulation does not apply to e-mail messages bates labeled with the prefix "RS-SEC".

13 The parties agree, however, that the "RS-SEC" e-mail messages marked as Exhibit Nos. 139, 169, 14 and 185 are authentic because the parties located duplicate e-mail messages bates labeled EMBT. 15 The parties further agree that e-mail messages marked as Exhibit Nos. 33 and 804 are

16 authentic draft e-mail messages authored by the individuals identified on the "FROM" line and 17 written on the dates identified on the exhibits. It is unknown from the face of the exhibits whether 18 the messages were sent, as no one is identified as a recipient on the "TO" lines. 19 B. 20 Stock Option Grants The parties stipulate that signed exhibits captioned "Embarcadero Technologies, Inc. Stock

21 Option Grant" and bates labeled with the prefix ETSC are authentic stock option agreements and 22 require no further proof to establish their authenticity pursuant to Rule 901 of the Federal Rules of 23 Evidence. 24 C. 25 Certain Quarterly Grant Lists The parties stipulate that the following exhibits bates labeled with the prefix ETSC are

26 authentic and require no further proof to establish their authenticity pursuant to Rule 901 of the 27 Federal Rules of Evidence: Exhs. 21; 354; 356; 470; 478; 481; 483; 494; 519; 520; 521; 549; 556; 28 563; 576; 595; 605. STIPULATION RE EXHIBITS 1 No. C-08-4238 EMC

1 D. 2

Memoranda The parties stipulate that the following exhibits reflecting memoranda bates labeled with the

3 prefixes EMBT and ETET are authentic memoranda and require no further proof to establish their 4 authenticity pursuant to Rule 901 of the Federal Rules of Evidence: Exhs. 5; 539; 546. 5 The parties agree that the memoranda were written by the authors reflected in the exhibits.

6 The parties also agree that the memoranda were written on the dates reflected in the exhibits. The 7 parties further agree that the first memorandum in Exh. 546 dated March 14, 2003, refers to the two 8 attached memoranda dated July 1, 2002, included in the exhibit. 9 E. 10 Printouts of Equity Edge Reports The parties stipulate that the following exhibits bates labeled with the prefixes ETSC and

11 EMBT are authentic printouts of Equity Edge stock option reports from Embarcadero Technologies, 12 Inc. and require no further proof to establish their authenticity pursuant to Rule 901 of the Federal 13 Rules of Evidence: Exhs. 651; 655; 656; 657; 658. 14 F. 15 Management Representation Letters The parties stipulate that the following exhibits bates labeled with the prefixes PwC-EMBT-

16 SEC and EMBT are authentic management representation letters signed by Stephen Wong, Raj 17 Sabhlok, and Michael Pattison and require no further proof to establish their authenticity pursuant to 18 Rule 901 of the Federal Rules of Evidence: Exhs. 37; 487; 498; 516; 525; 547; 551; 560; 561; 570; 19 592; 598; 601; 602; 616; 624; 626. 20 G. 21 Filings made by Embarcadero Technologies, Inc. The parties stipulate that the exhibits, listed below, reflecting Forms 10-K (annual reports),

22 Forms 10-Q (quarterly reports), Schedules 14A (proxy statements), and Forms 8-K (periodic reports) 23 are authentic filings made by Embarcadero Technologies, Inc. with the Securities and Exchange 24 Commission and require no further proof to establish their authenticity pursuant to Rule 901 of the 25 Federal Rules of Evidence. 26 27 28 STIPULATION RE EXHIBITS 2 No. C-08-4238 EMC

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The parties further agree that these exhibits were filed with the Securities and Exchange

2 Commission on the dates reflected in the following chart: 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 Exh. 2 314 315 316 318 319 320 321 358 401 402 403 404 405 406 407 408 409 410 411 412 413 414 415 416 417 418 419 Description Form 10-K (fiscal year ended Dec. 31, 2003) Form 10-K (fiscal year ended Dec. 31, 2004) Schedule 14A (Preliminary Proxy Statement) Form 8-K (dated Nov. 10, 2006) Form 8-K (dated Nov. 15, 2006) Form 8-K (dated Nov. 30, 2006) Form 8-K (dated Dec. 16, 2006) Form 10-K (fiscal year ended Dec. 31, 2006) Form 8-K (dated Sept. 6, 2006) Form 10-K (fiscal year ended Dec. 31, 2000) Form 10-Q (quarter ended Mar. 31, 2001) Form 10-Q (quarter ended June 30, 2001) Form 10-Q (quarter ended Sept. 30, 2001) Form 10-K (fiscal year ended Dec. 31, 2001) Schedule 14A (Proxy Statement for June 5, 2002, stockholders meeting) Form 10-Q (quarter ended Mar. 31, 2002) Form 10-Q (quarter ended June 30, 2002) Form 10-K (fiscal year ended Dec. 31, 2002) Form 8-K (dated Apr. 22, 2003) Schedule 14A (Proxy Statement for June 4, 2003, stockholders meeting) Form 10-Q (quarter ended Mar. 31, 2003) Form 8-K (dated Jul. 24, 2003) Form 10-Q (quarter ended June 30, 2003) Form 8-K (dated ) Form 10-Q (quarter ended Sept. 30, 2003) Form 8-K (dated Jan. 27, 2004) Form 10-K (fiscal year ended Dec. 31, 2003) Form 8-K (dated Apr. 20, 2004) 3 Filing Date Mar. 12, 2004 Apr. 7, 2005 Oct. 6, 2006 Nov. 13, 2006 Nov. 17, 2006 Nov. 30, 2006 Dec. 18, 2006 May 24, 2007 Sept. 8, 2006 Mar. 20, 2001 May 11, 2001 Aug. 6, 2001 Nov. 9, 2001 Mar. 26, 2002 Apr. 26, 2002 May 14, 2002 Aug. 13, 2002 Mar. 26, 2003 Apr. 22, 2003 Apr. 23, 2003 May 12, 2003 Jul. 24, 2003 Aug. 11, 2003 Oct. 16, 2003 Nov. 10, 2003 Jan. 27, 2004 Mar. 12, 2004 Apr. 20, 2004 No. C-08-4238 EMC

STIPULATION RE EXHIBITS

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 // // //

Exh. 420 421 422 423 424 425 426 427 428 429 430 431 432 433 434 435 436 437 438 439 440 441

Description Schedule 14A (Proxy Statement for June 15, 2004, stockholders meeting) Form 10-Q (quarter ended Mar. 31, 2004) Form 8-K (dated July 20, 2004) Form 10-Q (quarter ended June 30, 2004) Form 8-K (dated Oct. 27, 2004) Form 10-Q/A (quarter ended Mar. 31, 2004) Form 10-Q/A (quarter ended June 30, 2004) Form 10-Q (quarter ended Sept. 30, 2004) Form 8-K (quarter ended Sept. 30, 2004) Form 8-K (dated Mar. 1, 2005) Form 10-K (fiscal year ended Dec. 31, 2004) Form 10-K/A (fiscal year ended Dec. 31, 2004) Schedule 14A (Proxy Statement for July 14, 2005, stockholders meeting) Schedule 14A (Proxy Statement for Nov. 30, 2006, stockholders meeting) Form 8-K (dated Nov. 10, 2006) Form 8-K (dated Nov. 15, 2006) Form 8-K (dated Nov. 30, 2006) Form 8-K (dated Dec. 16, 2006) Form 8-K (dated Apr. 5, 2007) Schedule 14A (Proxy Statement for June 22, 2007, stockholders meeting) Form 10-K (fiscal year ended Dec. 31, 2006) Form 10-Q (quarter ended Sept. 30, 2002)

Filing Date Apr. 29, 2004 May 10, 2004 Jul. 20, 2004 Aug. 9, 2004 Oct. 27, 2004 Jan. 18, 2005 Jan. 18, 2005 Jan. 18, 2005 Jan. 18, 2005 Mar. 7, 2005 Apr. 7, 2005 Apr. 25, 2005 Apr. 29, 2005 Oct. 24, 2006 Nov. 13, 2006 Nov. 17, 2006 Nov. 30, 2006 Dec. 18, 2006 Apr. 6, 2007 May 24, 2007 May 24, 2007 Nov. 8, 2002

STIPULATION RE EXHIBITS

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No. C-08-4238 EMC

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By entering into this stipulation, the parties agree to the authenticity of the exhibits identified

2 above and waive any objection as to the authentication of the exhibits under Rules 901 and 902 of the 3 Federal Rules of Evidence. The parties reserve their rights to object to the admission of the exhibits 4 identified above on any other appropriate ground. 5 IT IS SO STIPULATED. 6 Dated: August 6, 2010 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 STIPULATION RE EXHIBITS 5 No. C-08-4238 EMC
S DISTRICT TE C TA

Respectfully submitted,

/s/ Robert L. Tashjian Susan F. LaMarca Robert L. Tashjian William T. Salzmann Attorneys for Plaintiff SECURITIES AND EXCHANGE COMMISSION /s/ James H. Vorhis Patrick J. Richard James H. Vorhis Brendan F. Macaulay NOSSAMAN LLP Attorney for Defendant MICHAEL C. PATTISON

IT IS SO ORDERED
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_________________ Edward M. Chen U.S. Magistrate Judge
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