Proview Technology, Inc. et al v. AU Optronics Corporation et al

Filing 107

ORDER re 9374 MOTION for Issuance of Letters Rogatory Defendants' Notice of Motion and Motion for Issuance of Requests for International Judicial Assistance [Proposed] Request for International Judicial Assistance (Letter of Request) Regarding Essex Monitor (H.K.) Company, Ltd. by Chi Mei Optoelectronics USA, Inc., Chimei Innolux Corp.. Signed by Judge Susan Illston on 1/25/15. (tfS, COURT STAFF) (Filed on 1/29/2015)

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Christopher B. Hockett (SBN 121539)
Neal A. Potischman (SBN 254862)
Samantha H. Knox (SBN 254427)
William D. Pollak (SBN 293654)
DAVIS POLK & WARDWELL LLP
1600 El Camino Real
Menlo Park, California 94025
Telephone:
[phone]
Facsimile:
[phone]
Emmet P. Ong (pro hac vice)
DAVIS POLK & WARDWELL LLP
450 Lexington Avenue
New York, New York 10017
Telephone:
[phone]
Facsimile:
[phone]
Attorneys for Defendants Chimei Innolux Corporation
(n/k/a Innolux Corporation) and Chi Mei Optoelectronics
USA, Inc. (n/k/a Innolux Optoelectronics USA, Inc.)

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UNITED STATES DISTRICT COURT
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FOR THE NORTHERN DISTRICT OF CALIFORNIA
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SAN FRANCISCO DIVISION
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IN RE: TFT-LCD (FLAT PANEL) ANTITRUST
LITIGATION

MDL NO. 3:07-md-01827-SI
CASE NO. 3:12-cv-03802-SI

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This Document Relates to
Individual Case No. 3:12-cv-03802-SI

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PROVIEW TECHNOLOGY, INC.,

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[PROPOSED] REQUEST FOR
INTERNATIONAL JUDICIAL
ASSISTANCE (LETTER OF REQUEST)
REGARDING ESSEX MONITOR (H.K.)
COMPANY, LTD.

Plaintiff,
v.
AU OPTRONICS CORPORATION et al.,
Defendants.

The Honorable Susan Illston

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[PROPOSED] REQUEST FOR INT’L JUDICIAL ASSISTANCE
REGARDING PROVIEW ESSEX MONITOR (H.K.) COMPANY, LTD.
CASE NO. 3:12-CV-03802-SI, MDL 3:07-MD-01827-SI

The United States District Court for the Northern District of California and the Honorable

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Susan Illston, Senior District Judge, present their compliments to the Appropriate Judicial

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Authority of Hong Kong (“Hong Kong”) and issue this letter of request (the “Request”) for

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international judicial assistance to obtain evidence to be used in a civil proceeding before this

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Court in the above-captioned matter.

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I.

REQUEST
The Court requests that the Appropriate Judicial Authority of Hong Kong request that the

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following corporate entity, Essex Monitor (H.K.) Company, Ltd. (“Essex Monitor”), whose

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address follows below, produce (1) the documents described in Exhibit A to this Request and (2)

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a witness to testify at a deposition regarding the matter described in Exhibit B to this Request.
Essex Monitor (H.K.) Company, Ltd.
9/F, Paul Y. Centre, Room 901
51 Hung To Road
Kwun Tong, Hong Kong

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The Court requests such assistance as is necessary in the interest of justice. Furthermore,

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the Court understands the confidential nature of the documents requested from Essex Monitor

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and thus advises the Appropriate Judicial Authority of Hong Kong that any documents produced

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in connection with this Request are subject to the confidentiality order that is attached hereto as

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Exhibit C.

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II.

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FACTS
Plaintiff Proview Technology, Inc. (“Proview”) instituted the above-captioned civil

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proceeding in the United States District Court for the Northern District of California against

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Defendants for the purpose of recovering damages that were allegedly caused by Defendants’

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conspiracy to fix prices for thin film transistor liquid crystal display (“TFT-LCD”) panels and

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products. Defendants’ conspiracy allegedly began on or before January 1, 1996, and lasted

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through December 11, 2006. The names and addresses of the parties to this proceeding and their

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representatives are included in Exhibit D, which is attached hereto.

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[PROPOSED] REQUEST FOR INT’L JUDICIAL ASSISTANCE
REGARDING PROVIEW ESSEX MONITOR (H.K.) COMPANY, LTD.
CASE NO. 3:12-CV-03802-SI, MDL 3:07-MD-01827-SI

In particular, Proview alleges that Defendants sold TFT-LCD panels to various original

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equipment manufacturers (“OEMs”) in Asia affiliated with Proview, including Essex Monitor, at

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artificially high prices. Proview further alleges that such OEMs, including Essex Monitor, then

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incorporated panels that had been purchased from Defendants into finished TFT-LCD products,

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which Proview purchased and resold to customers in the United States.

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Accordingly, it appears that Essex Monitor possesses information of relevance to this

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litigation, including (1) the quantity of TFT-LCD panels that Essex Monitor purchased from

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Defendants on behalf of Proview, (2) the costs of such purchases, (3) the prices at which Essex

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Monitor sold TFT-LCD finished products to Proview, (4) the quantity of TFT-LCD products that

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Essex Monitor sold to Proview, and (5) the names of the companies that supplied the TFT-LCD

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panels to Essex Monitor.

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III.

OFFER OF RECIPROCAL ASSISTANCE
The United States District Court for the Northern District of California is willing to

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provide to the Judicial Authorities of Hong Kong assistance similar to the type of assistance that

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is the subject of this Request. See 28 U.S.C. § 1782.

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IV.

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REIMBURSEMENT FOR COSTS
If there are any costs associated with the provision of assistance that is the subject of this

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Request, it will be the responsibility of the attorneys for Defendants to reimburse the Appropriate

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Judicial Authority of Hong Kong for any such costs. Please direct any correspondence or

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communications concerning such costs to Neal A. Potischman, Davis Polk & Wardwell LLP,

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1600 El Camino Real, Menlo Park, California 94025, United States of America.

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[PROPOSED] REQUEST FOR INT’L JUDICIAL ASSISTANCE
REGARDING PROVIEW ESSEX MONITOR (H.K.) COMPANY, LTD.
CASE NO. 3:12-CV-03802-SI, MDL 3:07-MD-01827-SI

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1/25/15

Date:
(Seal of Court)

Honorable Susan Illston
United States District Court
Northern District of California
450 Golden Gate Avenue
19th Floor, Room 10
San Francisco, California 94102
United States of America

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[PROPOSED] REQUEST FOR INT’L JUDICIAL ASSISTANCE
REGARDING PROVIEW ESSEX MONITOR (H.K.) COMPANY, LTD.
CASE NO. 3:12-CV-03802-SI, MDL 3:07-MD-01827-SI

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Exhibit A

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Requests for the Production of Documents

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Essex Monitor (H.K.) Company, Ltd.

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INSTRUCTIONS

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1.

In producing documents and other materials, you are requested to furnish all

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documents or things in your possession, custody or control, regardless of whether such

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documents or materials are possessed directly by you or your directors, officers, partners,

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members, agents, employees, representatives, subsidiaries, managing agents, affiliates,

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investigators, or by your attorneys or their agents, employees, representatives, or investigators.
2.

If any requested document is not or cannot be produced in full, produce it to the

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extent possible, indicating which document, or portion of that document, is being withheld, and

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the reason why that document, or portion of that document, is being withheld.

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3.

In producing documents, you are requested to produce each document requested

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together with all nonidentical copies and drafts of that document. If the original of any

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document cannot be located, a copy shall be provided in lieu thereof, and shall be legible and

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bound or stapled in the same manner as the original.

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4.

Documents shall be produced as they are kept in the usual course of business.

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5.

Documents attached to each other should not be separated.

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6.

Documents not otherwise responsive to the following requests for production (the

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“Requests”) shall be produced if such documents mention, discuss, refer to, or explain the

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documents that are called for by the Requests, or if such documents are attached to documents

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called for by the Requests and constitute routing slips, transmittal memoranda, or letters,

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comments, evaluations, or similar materials.

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7.

To the extent that you withhold the production of documents pursuant to a claim

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of attorney-client privilege or attorney work product protection, please prepare and produce a

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“privilege log,” which shall include the following information, to the extent that providing such

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EXHIBIT A TO [PROPOSED] REQUEST FOR INT’L JUDICIAL ASSISTANCE
REGARDING PROVIEW ESSEX MONITOR (H.K.) COMPANY, LTD.
CASE NO. 3:12-CV-03802-SI, MDL 3:07-MD-01827-SI

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information will not destroy the purported privilege or protection: (1) the name of the document

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custodian; (2) beginning and end Bates stamp numbers for each document and for each

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attachment to same; (3) the date of the document; (4) the name(s) of all persons authoring or

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receiving the document; (5) a brief description of the subject matter of the document; (6) whether

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the document contains redactions or has been withheld in its entirety; (7) the nature of the

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privilege or protection claimed; (8) a brief statement as to why, under the law, the document is

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privileged or protected, including whether the primary purpose of the document was to seek or

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provide legal advice or services; and (9) the number of pages contained in the document.
8.

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The obligation to respond to these Requests for production is continuing. If at

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any time after responding to these Requests for production you discover additional information

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that will make your responses to these Requests for production more complete or correct,

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supplement or correct your responses as soon as reasonably possible.
DEFINITIONS

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1.

The words and phrases used in these Requests shall have the meanings ascribed to

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them under the Federal Rules of Civil Procedure. In addition, the following terms have the

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meanings set forth below whenever used in any Request.

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2.

“Bill-to Location” means the address of the entity to which the bill for a product

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“Communicate” or “Communication” means, without limitation, the transmittal of

is sent.

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information (in the form of facts, ideas, inquiries or otherwise) between individuals or

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companies, whether oral, written, electronic, or otherwise, and whether direct or through an

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intermediary.

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4.

“Complaint” means the Third Amended Complaint for Damages and Injunctive

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Relief, Dkt. 44, filed on June 7, 2013, by Proview Technology, Inc. (“Proview”) in In re TFT-

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LCD (Flat Panel) Antitrust Litigation, Case No. 071827 SI, MDL No. 1827, in the United States

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District Court for the Northern District of California.

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EXHIBIT A TO [PROPOSED] REQUEST FOR INT’L JUDICIAL ASSISTANCE
REGARDING PROVIEW ESSEX MONITOR (H.K.) COMPANY, LTD.
CASE NO. 3:12-CV-03802-SI, MDL 3:07-MD-01827-SI

5.

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“Concerning” means discussing, relating to, contradicting, referring to, reflecting,

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analyzing, describing, constituting, evidencing, containing, disclosing, or supporting the

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referenced matter.

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6.

“Document” and “Documents” shall include, without limitation, the following

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items, whether handwritten, printed, recorded, filmed, or produced by any mechanical or

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electronic process, whether or not asserted to be privileged or immune to discovery, and whether

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a master, original, or copy: agreements; communications; correspondence; cablegrams;

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telegrams; telexes and telecopies; electronic mail or “e-mail”; electronic texts and instant

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messages; notes and memoranda; summaries and minutes of conferences; summaries and records

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of personal conversations or interviews; books, manuals, and publications; calendars and diaries;

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computer tapes, cards, or disks; marginal notations appearing on any document; charts, graphs,

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or graphics; and any other paper or other medium containing information in your possession,

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custody, or control. “Document” or “documents” shall also mean all electronically stored

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information (“ESI”), including, without limitation, electronic data or data compilations,

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electronic files, e-mail, and other electronic communications saved to or located on hard disks,

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file servers, floppy disks, CDs, DVDs, backup tapes, thumb drives, or any other electronic

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media, whether or not in tangible or electronic form.
7.

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The term “Person” or “Persons” includes any natural person, governmental entity,

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public entity, partnership, corporation, association, firm, trust, joint venture, agency, department,

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board, authority, commission, or other such entity.
8.

“Relevant Period” means the period from January 1, 1996, through December 11,

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9.

“Ship-to Location” means the address to which an item is delivered.

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10.

“TFT-LCD Panel” refers to “TFT-LCD Panel” as described in paragraphs 62 and

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2006.

63 of the Complaint.
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“TFT-LCD Product” means a television, monitor, or laptop computer in which a

TFT-LCD Panel is a key component.

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EXHIBIT A TO [PROPOSED] REQUEST FOR INT’L JUDICIAL ASSISTANCE
REGARDING PROVIEW ESSEX MONITOR (H.K.) COMPANY, LTD.
CASE NO. 3:12-CV-03802-SI, MDL 3:07-MD-01827-SI

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12.

“You” or “Your” refers to Essex Monitor (H.K.) Company, Ltd., and any agents,

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employees, representatives and other persons or entities acting, or authorized to act, on its behalf.

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REQUESTS FOR PRODUCTION OF DOCUMENTS

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REQUEST NO. 1.
Documents sufficient to show Your principal place of business and country of

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incorporation from January 1, 1999, to December 6, 2012.

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REQUEST NO. 2.

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All Documents Concerning Your distribution chain relating to TFT-LCD Panels and

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TFT-LCD Products, from the purchase of TFT-LCD Panels, to the manufacture of TFT-LCD

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Products, to the sale of those TFT-LCD Products, to the resale of those TFT-LCD Products.

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REQUEST NO. 3.

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All agreements, contracts, memoranda of understanding, or any other Document relating

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to Your acquisition of TFT-LCD Panels or sale of TFT-LCD Products, including all exclusive

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contracts, cost-plus contracts, and most-favored-nation contracts and purchase order

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acknowledgments, as well as representative purchase orders and invoices.

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REQUEST NO. 4.

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For the period from January 1, 1994 through December 31, 2009, transactional data,

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information, and Documents sufficient to show Your acquisition of any TFT-LCD Panels,

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including Documents evidencing:

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a.

the date You acquired each TFT-LCD Panel;

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b.

the place You acquired each TFT-LCD Panel, including the specific entity

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that shipped the TFT-LCD Panel, and the physical location from which the

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TFT-LCD Panel was shipped to You;

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c.

the Person or entity from whom You acquired each TFT-LCD Panel;

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d.

the Ship-to Location and Bill-to Location for each TFT-LCD Panel;

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e.

the type of each TFT-LCD Panel;

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f.

the size of each TFT-LCD Panel;

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EXHIBIT A TO [PROPOSED] REQUEST FOR INT’L JUDICIAL ASSISTANCE
REGARDING PROVIEW ESSEX MONITOR (H.K.) COMPANY, LTD.
CASE NO. 3:12-CV-03802-SI, MDL 3:07-MD-01827-SI

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g.

the technology used in each TFT-LCD Panel;

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h.

the manufacturer of each TFT-LCD Panel;

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i.

the intended use for each TFT-LCD Panel (for example, for incorporation
into an TFT-LCD Product or for resale);

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j.

the application of each TFT-LCD Panel;

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k.

the quantity of each acquisition;

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l.

the list price or negotiated price of each TFT-LCD Panel;

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m.

the before-tax net price of each TFT-LCD Panel, including any store or
manufacturer discounts, coupons, rebates, refunds, dividends, or other

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price adjustments;

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n.

LCD Panel;

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any taxes, customs, tariffs, duties, or other fees You paid on each TFT-

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all terms and conditions that were part of each acquisition of any TFT-

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LCD Panel, including any rebates, below-cost pricing, most-favored-

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nation pricing, negotiable pricing, sale pricing, or loss-leader pricing;

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p.

any and all freight charges associated with each TFT-LCD Panel,

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including the freight terms (e.g., FOB, CIF, etc.) and shipping destination

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agreed upon with the seller;

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q.

whether each TFT-LCD Panel was acquired as part of a system or other

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bundled product and, if so, the value of each component of such systems

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or bundled products; and

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r.

each TFT-LCD Panel.

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all tracking numbers, model numbers, or other information used to identify

REQUEST NO. 5.
For the period from January 1, 1994, through December 31, 2009, transactional data,
information, and Documents sufficient to show the initial purchase or acquisition of any TFT-

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EXHIBIT A TO [PROPOSED] REQUEST FOR INT’L JUDICIAL ASSISTANCE
REGARDING PROVIEW ESSEX MONITOR (H.K.) COMPANY, LTD.
CASE NO. 3:12-CV-03802-SI, MDL 3:07-MD-01827-SI

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LCD Panel that was made by a third-party system integrator, contract manufacturer, or some

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other Person or entity on Your behalf or at Your direction, including Documents evidencing:

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a.

the date You acquired each TFT-LCD Panel;

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b.

the place You acquired each TFT-LCD Panel, including the specific entity

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that shipped the TFT-LCD Panel, and the physical location from which the

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TFT-LCD Panel was shipped to You;

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c.

the Person or entity from whom You acquired each TFT-LCD Panel;

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d.

the Ship-to Location and Bill-to Location for each TFT-LCD Panel;

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e.

the type of each TFT-LCD Panel;

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f.

the size of each TFT-LCD Panel;

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g.

the technology used in each TFT-LCD Panel;

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h.

the manufacturer of each TFT-LCD Panel;

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i.

the intended use for each TFT-LCD Panel (for example, for incorporation
into an TFT-LCD Product or for resale);

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j.

the application of each TFT-LCD Panel;

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k.

the quantity of each acquisition;

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l.

the list price or negotiated price of each TFT-LCD Panel;

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m.

the before-tax net price of each TFT-LCD Panel, including any store or

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manufacturer discounts, coupons, rebates, refunds, dividends, or other

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price adjustments;

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n.

LCD Panel;

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any taxes, customs, tariffs, duties, or other fees You paid on each TFT-

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all terms and conditions that were part of each acquisition of any TFT-

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LCD Panel, including any rebates, below-cost pricing, most-favored-

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nation pricing, negotiable pricing, sale pricing, or loss-leader pricing;

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EXHIBIT A TO [PROPOSED] REQUEST FOR INT’L JUDICIAL ASSISTANCE
REGARDING PROVIEW ESSEX MONITOR (H.K.) COMPANY, LTD.
CASE NO. 3:12-CV-03802-SI, MDL 3:07-MD-01827-SI

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p.

any and all freight charges associated with each TFT-LCD Panel,

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including the freight terms (e.g., FOB, CIF) and shipping destination

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agreed upon with the seller;

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q.

whether each TFT-LCD Panel was acquired as part of a system or other

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bundled product and, if so, the value of each component of such systems

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or bundled products; and

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r.

each TFT-LCD Panel.

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all tracking numbers, model numbers, or other information used to identify

REQUEST NO. 6.
For the period from January 1, 1994, through December 31, 2009, transactional data,

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information, and Documents sufficient to show any sale by You of any TFT-LCD Product,

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including Documents evidencing:

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a.

the date of the sale;

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b.

the place You sold each TFT-LCD Product, including the specific entity

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that shipped each TFT-LCD Product, and the physical location from

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which each TFT-LCD Product was shipped or sold;

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c.

the Person or entity to whom You sold the TFT-LCD Product;

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d.

the Ship-to Location and Bill-to Location for the sale;

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e.

the type of each TFT-LCD Panel contained in the TFT-LCD Product;

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f.

the size of each TFT-LCD Panel contained in the TFT-LCD Product;

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g.

the technology used in each TFT-LCD Panel in the TFT-LCD Product;

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h.

the manufacturer of each TFT-LCD Panel contained in the TFT-LCD
Product;

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i.

the intended use for each TFT-LCD Product;

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j.

the quantity of each sale;

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k.

the list price or negotiated price of each TFT-LCD Product;

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EXHIBIT A TO [PROPOSED] REQUEST FOR INT’L JUDICIAL ASSISTANCE
REGARDING PROVIEW ESSEX MONITOR (H.K.) COMPANY, LTD.
CASE NO. 3:12-CV-03802-SI, MDL 3:07-MD-01827-SI

1

l.

the before-tax net price of each TFT-LCD Product sold, including any

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store or manufacturer discounts, coupons, rebates, refunds, dividends, or

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other price adjustments;

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m.

the Cost to You of each TFT-LCD Product You sold, on an itemized basis,

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including logistics costs (e.g., transportation costs) as well as the

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methodology and any assumptions used to calculate these costs;

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n.

any taxes, customs, tariffs, duties, or other fees You paid on each sale;

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o.

all terms and conditions that were part of each sale by You, including any
rebates, below-cost pricing, most-favored-nation pricing, negotiable

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pricing, sale pricing, or loss-leader pricing;

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p.

any and all freight charges associated with each sale, including the freight

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terms (e.g., FOB, CIF) and shipping destination agreed upon with the

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seller;

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q.

whether each TFT-LCD Product was sold as part of a system or other

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bundled product (e.g., an TFT-LCD monitor purchased in conjunction

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with a CPU) and, if so, the value of each component of such systems or

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bundled products; and

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r.

Documents evidencing each sale; and

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s.

all tracking numbers, model numbers, or other information used to identify
each TFT-LCD Product.

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copies of all receipts, invoices, wire transfer records, or other similar

REQUEST NO. 7.

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Documents sufficient to link, trace, or otherwise establish a relationship between each

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acquisition of any TFT-LCD Panels identified in Documents produced in response to Request

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Nos. 5 and 6 and each sale by You of any TFT-LCD Products identified in Documents produced

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in response to Request No. 7.

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EXHIBIT A TO [PROPOSED] REQUEST FOR INT’L JUDICIAL ASSISTANCE
REGARDING PROVIEW ESSEX MONITOR (H.K.) COMPANY, LTD.
CASE NO. 3:12-CV-03802-SI, MDL 3:07-MD-01827-SI

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REQUEST NO. 8.

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For each electronic data file produced in response to Request Nos. 5 through 8,

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Documents sufficient to (a) describe the contents of the data file, (b) define all data fields (i.e.,

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variables) and terms contained in the data, (c) describe any relationship(s) between the data file

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and other data files produced, and (d) identify Persons most knowledgeable of the operation and

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contents of the data file.

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REQUEST NO. 9.

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Documents sufficient to show the meaning of all model codes and other codes stated in

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any data produced in response to Request Nos. 5 through 8. For TFT-LCD Panels, such

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documentation should include files that contain the characteristics of the TFT-LCD Panel

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associated with each model code, including the size, resolution, pixel configuration, video

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display standard (e.g., XGA, WSXGA), application (e.g., industrial automation and information

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products, including controllers and industrial monitors), grade, luminance, viewing angle,

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contrast ratio, response time, and mode of panel (e.g., twisted nematic, in-plane switching). For

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TFT-LCD Products, such documentation should include characteristics of the TFT-LCD Panel

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associated with the TFT-LCD Product, as described above, as well as any other characteristics of

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the TFT-LCD Product (e.g., the inclusion of a camera, music player, or keyboard if the TFT-

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LCD Product is a mobile device).

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REQUEST NO. 10.

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Documents Concerning Your policies and procedures for inventory management of

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purchases or acquisitions of TFT-LCD Panels, including the location(s) of any inventory

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warehouses and the procedure by which You managed that inventory, and where and when You

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took title to product.

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REQUEST NO. 11.

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All distribution agreements between You and any wholesale distributor that distributed
TFT-LCD Products for You.

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EXHIBIT A TO [PROPOSED] REQUEST FOR INT’L JUDICIAL ASSISTANCE
REGARDING PROVIEW ESSEX MONITOR (H.K.) COMPANY, LTD.
CASE NO. 3:12-CV-03802-SI, MDL 3:07-MD-01827-SI

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REQUEST NO. 12.
All Documents Concerning revenue, costs, profitability and margins (on a monthly,

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quarterly, and yearly basis) for all TFT-LCD Products You sold, used, manufactured, distributed

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or supplied during the Relevant Period.

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REQUEST NO. 13.

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Without limitation as to time, all Documents summarizing, describing, or relating to any

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suspicion or belief by You or any other Person or entity that any manufacturer or seller of TFT-

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LCD Panels or TFT-LCD Products was engaged in any anticompetitive conduct relating to TFT-

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LCD Panels or TFT-LCD Products.

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REQUEST NO. 14.
Without limitation as to time, all Documents summarizing, describing, or relating to the

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circumstances under which You first became aware of the facts alleged in the Complaint,

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including, without limitation, any Documents summarizing, describing, or relating to what

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caused You to become aware of those facts.

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REQUEST NO. 15.

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Documents Concerning the identity and location of each entity that owns or operates each

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facility where TFT-LCD Products were assembled for or by You.

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REQUEST NO. 16.

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Documents Concerning the current contact information for all Your former or current

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employees who had responsibilities regarding the acquisition of TFT-LCD Panels or sale of

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TFT-LCD Products, including name, former position, telephone number, mail address, email

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address, and, if represented in this matter, attorney and attorney’s contact information.

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REQUEST NO. 17.

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All Documents evidencing the relationship between You, Proview Technology, Inc.,

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Proview Techonology (Shenzhen) Co., Ltd., Proview Group (Labuan) Ltd., Proview Optronics

26

(Shenzhen) Co., Ltd., Proview Electronics Co., Ltd., or Proview Technology (Wuhan) Co., Ltd.,

27

and any of their respective predecessor or successor entities, including, but not limited to, the

28
10
EXHIBIT A TO [PROPOSED] REQUEST FOR INT’L JUDICIAL ASSISTANCE
REGARDING PROVIEW ESSEX MONITOR (H.K.) COMPANY, LTD.
CASE NO. 3:12-CV-03802-SI, MDL 3:07-MD-01827-SI

1

dates of any combinations, mergers, stock acquisitions, divestitures, spin-offs, sales or other

2

transactions, and the identities of all such predecessors or successors.

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
11
EXHIBIT A TO [PROPOSED] REQUEST FOR INT’L JUDICIAL ASSISTANCE
REGARDING PROVIEW ESSEX MONITOR (H.K.) COMPANY, LTD.
CASE NO. 3:12-CV-03802-SI, MDL 3:07-MD-01827-SI

1

Exhibit B

2

Matter on Which Examination Is Requested

3

Essex Monitor (H.K.) Company, Ltd.

4
5
6
7
8

MATTER ON WHICH EXAMINATION IS REQUESTED
EXAMINATION MATTER NO. 1:
The substance of the documents and materials requested in Exhibit A to this Request for
International Judicial Assistance.

9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
1
EXHIBIT B TO [PROPOSED] REQUEST FOR INT’L JUDICIAL ASSISTANCE
REGARDING PROVIEW ESSEX MONITOR (H.K.) COMPANY, LTD.
CASE NO. 3:12-CV-03802-SI, MDL 3:07-MD-01827-SI

Case3:07-md-01827-SI Document5168 Filed03/15/12 Page1 of 27
·,

_;

1
2

3
4

5
6

7
8

UNITED STATES DISTRICT COURT

9

NORTHERN DISTRICT OF CALIFORNIA

10
11

12

In Re TFT-LCD (FLAT PANEL)
ANTITRUST LITIGATION

13
14
15

This Document Relates to:

)
)
)
)
·)
)
)
)

No.: M-07-1827 SI

MDL NO. 1827
STIPULATED PROTECTIVE ORDER

ALL ACTIONS.
___________________________ )

16
1.

17

PURPOSES AND LIMITATIONS.

Disclosure and discovery activity in this action may involve production of trade

18
secrets or other confidential research, development, or commercial information, within the

19

meaning of Fed.R.Civ.P. 26(c); or other private or competitively sensitive information for

20
which special protection from public disclosure and from use for any purpose other than

21
prosecuting this litigation would be warranted. Accordingly, the parties hereby stipulate to and

22
petition the Court to enter the following Stipulated Protective Order. The parties acknowledge
23

that this Order does not confer blanket protections on all disclosures or responses to discovery
24.

and that the protection it affords extends only to the limited information or items that are
25

entitled under the applicable legal principles to confidential treatment. The parties further
26

27
28

acknowledge, as set forth in Section 10, below, that this Stipulated Protective Order creates no
entitlement to file confidential information under seal. Civil Local Rule 79-5 sets forth the
STIPULATED PROTECTIVE ORDER

Case3:07-md-01827-SI Document5168 Filed03/15/12 Page2 of 27

1

procedures that must be followed and reflects the standards that will be applied when a party

2

seeks permission from the Court to file material under seal, and is hereby incorporated by

3

reference.

4

2.

DEFINITIONS.

5

2.1

Party: any party to this action, including all of its officers, directors,

6

and employees.
2.2

7

Disclosure or Discovery Material: all items or information, regardless

8

of the medium or manner generated, stored, or maintained (including, among other things,

9

documents, testimony, transcripts, or tangible things) that are produced or generated in

10

disclosures or responses to discovery in this matter.
2.3

11

Confidential Information or Items: information (regardless of how

12

generated, stored or maintained) or tangible things that qualify for protection under standards

13

developed under Fed.R.Civ.P. 26(c).

14

2.4

Highly Confidential Information or Items: extremely sensitive

15

Confidential Information or lt~ms whose disclosure to another Party or non-party would create

16

a substantial risk of injury that could not be avoided by less restrictive means.

17
18

2.5

Receiving Party: a Party that receives Disclosure or Discovery Material

from a Producing Party.

19

2.6

20

Discovery Material in this action.

21

2.7.

Producing Party: a Party or non-party that produces Disclosure or

Designating Party: a Party or non-party that designates information or

22

items that it produces in disclosures or in responses to discovery as "Confidential" or "Highly

23

Confidential. "

24
25
26

2. 8

Protected Material: any Disclosure or Discovery Material that is

designated as "Confidential" or as "Highly Confidential."
2.9.

Outside Counsel: attorneys, along with their paralegals, and other

27

support personnel, who are not employees of a P~rty but who are retained to represent or

28

advise a Party in this action.
2

STIPULATED PROTECTIVE ORDER

Case3:07-md-01827-SI Document5168 Filed03/15/12 Page3 of 27

1

2.10

In House Legal Personnel: attorneys and other personnel employed by

2

a Party to perform legal functions who are responsible for overseeing this litigation for the

3

Party.

4

2.11

Counsel (without qualifier): Outside Counsel and In House Legal

5

Personnel (as well as their support staffs, including but not limited to attorneys, paralegals,

6

secretaries, law clerks, and investigators).

7

2.12

Expert and/or Consultant: a person with specialized knowledge or

8

experience in a matter pertinent to the litigation, along with his or her employees and support

9

personnel, who has been retained by a Party or its Counsel to serve as an expert witness or as

10

a consultant in this action, and who is not currently an employee, nor has been an employee

11

within four years of the date of entry of this Order, of a Party or of a TFT-LCD business unit

12

of a non-party, and who, at the time of retention, is not anticipated to become an employee of

13

a Party or of a TFT-LCD business unit of a non-party. This definition includes a professional

14

jury or trial consultant retained in connection with this litigation.

15

2.13

Professional Vendors: persons or entities that provide litigation support

16

services (e.g., photocopying; videotaping; translating; preparing exhibits or demonstrations;

17

organizing, storing, retrieving data in any form or medium; etc.)

18

subcontractors.

an~

their employees and

19

3.

20

The protections conferred by this Stipulated Protective Order cover not only

SCOPE.

21

Protected Material (as defmed above), but also any information copied or extracted therefrom,

22

as well as all copies, excerpts, summaries, or compilations thereof, plus testimony,

23

conversations, or presentations by Parties or Counsel in settings that might reveal Protected

24

Material. However, this Order shall not be construed to cause any Counsel to produce, return,

25

and/or destroy their own attorney work product, or the work product of their co-counsel.

26

4.

27

The confidentiality obligations imposed by this Order shall remain in effect until

28

DURATION.

the Designating Party agrees otherwise in writing or this Court orders otherwise.
3

STIPULATED PROTECTIVE ORDER

Case3:07-md-01827-SI Document5168 Filed03/15/12 Page4 of 27

1

5.

DESIGNATING PROTECTED MATERIAL.

2

5.1

Exercise of Restraint and Care in Designating Material for Protection.

3

Each Party or non-party that designates infonnation or items for protection under this Order

4

must take care to ·limit any such designation to specific material that qualifies under the

5

appropriate standards and avoid indiscriminate designations.

6

If it comes to a Designating Party's attention that information or items that it

7

designated for protection do not qualify for protection at all, or do not qualify for the level of

8

protection initially asserted, that Designating Party must promptly notify all Receiving Parties

9

that it is withdrawing or changing the mistaken designation.

10

5.2

Manner and Timing of Designations. Except as otherwise provided in

11

this Order (see, e.g., section 5.2(b), below), or as otherwise stipulated or ordered, material

12

that qualifies for protection under this Order must be clearly so designated before the material

13

is disclosed or produced. Notwithstanding the preceding sentence, should a Producing Party

14

discover that it produced material that was not designated as Protected Material or that it

15

produced material that was designated as Protected Material but had designated that Protected

16

Material in the incorrect category of Protected Material, the Producing Party may notify all

17

Parties, in writing, of the error and identifying (by bates number or other individually

18

identifiable information) the affected documents and their new designation or re-designation.

19

Thereafter, the material so designated or re-designated will be treated as Protected Material.

20

Promptly after providing such notice, the Producing Party shall provide re-labeled copies of

21

the material to each Receiving Party reflecting the change in designation. The Receiving Party

22

will replace the incorrectly designated material with the newly designated materials and will

23

destroy the incorrectly designated materials.

24

Designation in conformity with this Order requires:

25

(a)

for information in documentary form (apart from transcripts of

26

depositions or other pretrial or trial proceedings), that the Producing Party affix the

27

legend "CONFIDENTIAL" or "HIGHLY CONFIDENTIAL" on each page that

28

contains protected material.
4

STIPULATED PROTECTIVE ORDER

Case3:07-md-01827-SI Document5168 Filed03/15/12 Page5 of 27

1

(b)

for testimony given in deposition, that a Party, or a non-party that

2

sponsors, offers, gives, or elicits the testimony, designate any portion of the testimony

3

as "CONFIDENTIAL" or "HIGHLY CONFIDENTIAL," either on the record before

4

the deposition is concluded, or in writing on or before the later of (i) fourteen days after

5

the final transcript is received or (ii) the date by which any review by the witness and

6

corrections to the transcript are to be completed under Fed. R. Civ. P. 30(e). Only

7

those portions of the testimony that are designated for protection in accordance with the

8

preceding sentence shall be covered by the provisions of this Stipulated Protective

9

Order. The entire testimony shall be deemed to have been designated Highly

10

Confidential until the time within which the transcript may be designated has elapsed.

11

If testimony is not designated within the prescribed time period, then such testimony

12

shall not be deemed Confidential or Highly Confidential except as ordered by the

13

Court.

14

Transcript pages containing Protected Material must be separately bound by the

15

court reporter, who must affix to each such page the legend "CONFIDENTIAL'' or

16

"HIG~L Y

17

offering, giving or eliciting the witness' testimony.

18

(c)

CONFIDENTIAL," as instructed by the Party or nonparty sponsoring,

for information produced in electronic or video format, and for any

19

other tangible items, that the Producing Party affix in a prominent place on the exterior

20

of the container or containers in which the information or item is stored the legend

21

"CONFIDENTIAL" or "HIGHLY CONFIDENTIAL."
5.3

22

Inadvertent Failures to Designate. If corrected, an inadvertent failure to

23

designate qualified information or items as "Confidential" or "Highly Confidential" does not,

24

standing alone, waive the Designating Party's right to secure protection under this Order for

25

such material. If material is re-designated as "Confidential" or "Highly Confidential" after the

26

material was initially produced, the Receiving Party, upon notification of the designation, must

27

make reasonable efforts to assure that the material is treated in accordance with the provisions

28

of this Order.
s
STIPULATED PROTECTIVE ORDER

Case3:07-md-01827-SI Document5168 Filed03/15/12 Page6 of 27
~6V~t&m.sl7 -SDoCl.acentetm321

5 .4

1

IRIEJHll2/W/Qi>OFag!ftwd B7of 27

Increasing the Designation of Information or Items Produced by Other

2

Parties or Non-Parties. Subject to the standards of paragraph 5.1, a Party may increase the

3

designation (i.e. , change any Disclosure or Discovery Material produced without a designation

4

to a

5

Disclosure or Discovery Material produced as "CONFIDENTIAL'' to a designation of

6

"HIGHLY CONFIDENTIAL") of any Discovery Material produced by any other Party or

7

non-Party, provided that said Discovery Material contains the upward Designating Party's own

8

Confidential or Highly Confidential Information. Any such increase in the designation of a

9

document shall be made within 90 days of the date of its production, unless good cause is

10
11

desi~nation

of "CONFIDENTIAL" or "HIGHLY CONFIDENTIAL" or designate any

shown for a later increase in the designation.
Increasing a designation shall be accomplished by providing written notice to all

12

Parties identifying (by bates number or other individually identifiable information) the

13

Disclosure or Discovery Material whose designation is to be increased. Promptly after

14

providing such notice, the upward Designating Party shall provide re-labeled copies of the

15

material to each Receiving Party reflecting the change in designation. The Receiving Party

16

will replace the incorrectly designated material with the newly designated materials and will

17

destroy the incorrectly designated materials. Any Party may object to the increased

18

designation of Disclosure or Discovery Materials pursuant to the procedures set forth in

19

paragraph 6 regarding challenging designations. The upward Designating Party shall bear the

20

burden of establishing the basis for the increased designation.

21

6.

CHALLENGING CONFIDENTIALITY DESIGNATIONS.

22

6.1

Timing of Challenges. A Party does not waive its right to challenge a

23

confidentiality designation by electing not to mount a challenge promptly after the original

24

designation is disclosed.

25

6.2

Meet and Confer. A Party that elects to initiate a challenge to a

26

Designating Party's confidentiality designation must do so in good faith and must begin the

27

process by notifying the Designating Party in writing, by telephone or in person of its challenge

28

and identify the challenged material, then conferring directly in voice to voice dialogue (othdr
6

STIPULATED PROTECTIVE ORDER

Case3:07-md-01827-SI Document5168 Filed03/15/12 Page7 of 27

1

forms of conununication are not sufficient) with counsel for the Designating Party. The Parties

2

must then meet and confer in good faith. Each Party must explain the basis for its respective

3

position about the propriety of the challenged confidentiality designations. The parties shall

4

have fourteen (14) days from the initial notification of a challenge to complete this meet and

5

confer process.

6

6. 3

Judicial Intervention. In any judicial proceeding challenging a

7

confidentiality designation, the burden of persuasion with respect to the propriety of the

8

confidentiality designation shall remain upon the Designating Party. If the parties are not able

9

to resolve a dispute about a confidentiality designation within the time provided in paragraph
thereafte~,

10

6.2, above, the parties shall, within fourteen (14) days

prepare and present to the

11

Special Master a joint letter brief that identifies the challenged material and sets forth the

12

respective positions of the parties about the propriety of the challenged confidentiality

13

designations. Until the ruling on the dispute becomes final pursuant to the provisions of

14

Pre-Trial Order No. 4, all parties shall continue to afford the material in question the level of

15

protection to which it is entitled under the Designating Party's designation.

16

In the event that the final ruling is that the challenged material is not confidential

17

or that its designation should be changed, the Designating Party shall reproduce copies of all

18

materials with their designations removed or changed in accordance with the ruling within

19

thirty (30) days at the expense of the Designating Party.

20

7.

ACCESS TO AND USE OF PROTECTED MATERIAL.

21

7.1

Basic Principles. A Receiving Party may use Protected Material that is

22

disclosed or produced by a Producing Party only in connection with this action for prosecuting,

23

defending, or attempting to settle this action. Such Protected Material may be disclosed only

24

to the categories of persons and under the conditions described in this Order. When the

25

litigation has been terminated, a Receiving Party must comply with the provisions of section 11,

26

below (FINAL DISPOSITION).

27
28

Protected Material must be stored and maintained by a Receiving Party at a
location and in a secure manner that ensures that access is limited to the persons authorized
7

STIPULATED PROTECTIVE ORDER

I

.

Case3:07-md-01827-SI Document5168 Filed03/15/12 Page8 of 27

1

under this Order. For purposes of this Order, a secure website, or other internet-based

2

document depository with adequate security, shall be deemed a secure location.

3

7.2

Disclosure of "CONFIDENTIAL" Information or Items. Unless

4

otherwise ordered by the Court or permitted in writing by the Designating Party, a Receiving

5

Party may disclose any information or item designated "CONFIDENTIAL" only to:

6

(a)

the Receiving Party's Outside Counsel of record in this action, as well as

7

employees of said counsel to whom it is reasonably necessary to disclose the

8

information for this litigation;

9

(b)

current or former officers, directors, anC;i employ~s of Parties to whom

10

disclosure is reasonably necessary for this litigation and who have signed the

11

"Agreement To Be Bound by Protective Order" (Exhibit A);

12

(c)

Experts and/or Consultants with respect to each of whom (1) disclosure

13

is reasonably necessary for this litigation, and (2) an "Agreement To Be Bound by

14

Protective Order" (Exhibit A) has been signed;

15

(d)

the Court and its personnel;

16

(e)

stenographers, their staffs, and professional vendors to whom disclosure

17

is reasonably necessary for this litigation and who have signed the "Agreement To Be

18

Bound by Protective Order" (Exhibit A);

19

(f)

the author, addressees, or recipients of the document, or any other

20

natural person who would have likely reviewed such document during his or her

21

employment as a result of the substantive nature of his or her employment position, or

22

who is specifically identified in the document, or whose conduct is purported to be

23

specifically identified in the document;

24

(g)

witnesses in the action to whom disclosure is reasonably necessary for

25

this litigation and who have signed the "Agreement To Be Bound by Protective Order"

26

(Exhibit A); provided that, Confidential Information may be disclosed to a witness

27

during their deposition, but only if they have executed the "Agreement to Be Bound by

28

Protective Order" (Exhibit A), which shall be made an exhibit to the deposition
8

STIPULATED PROTECTIVE ORDER

Case3:07-md-01827-SI Document5168 Filed03/15/12 Page9 of 27

1

transcript, or have agreed on the record to keep the information confidential and not to

2

use it for any purpose, or have been ordered to do so; and provided further that, pages

3

of transcribed deposition testimony or exhibits to depositions that reveal Confidential

4

Information must be marked "Confidential" and separately bound by the court reporter

5

and not included in the main deposition transcript and exhibit binder, and may not be

6

disclosed to anyone except as permitted under this Stipulated Protective Order; and

7

(h)

any other person to whom the Designating Party agrees in writing or on

8

the record, and any other person to whom the Court compels access to the Confidential

9

Information.

10

7.3

Disclosure of "HIGHLY CONFIDENTIAL" Information or Items.

11

Unless otherwise ordered by the Court or permitted in writing by the Designating Party, a

12

Receiving Party may disclose any information or item designated "HIGHLY

13

CONFIDENTIAL" only to:

14

(a)

the Receiving Party's Outside Counsel of record in this action, as well as

15

employees of said counsel to whom it is reasonably necessary to disclose the

16

information for this litigation;

17

(b)

Experts and/or Consultants with respect to each of whom (1) disclosure

18

is reasonably necessary for this litigation, and (2) an "Agreement To Be Bound by

19

Protective Order" (Exhibit A) has been signed;

20

(c)

the Court and its personnel;

21

(d)

stenographers, their staffs, and professional vendors to whom disclosure

22

is reasonably necessary for this litigation and who have signed the "Agreement to Be

23

Bound by Protective Order" (Exhibit A);

24

(e)

the author, addressees or recipients of the document, or any other

25

natural person who would have likely reviewed such document during his or her

26

employment as a result of the substantive nature of his or her employment position, or

27

who is specifically identified in the document, or whose conduct is purported to be

28

specifically identified in the document;
9

STIPULATED PROTECTIVE ORDER

Case3:07-md-01827-SI Document5168 Filed03/15/12 Page10 of 27

1

(f)

deposition witnesses but only during their depositions and only if they

2

have executed the "Agreement to Be Bound by Protective Order" (Exhibit A), which

3

shall be made an exhibit to the deposition transcript, or have agreed on the record to

4

keep the information confidential and not to use it for any purpose, or have been

5

ordered to do so; and in addition, if the witness is an employee of a Party or is a former

6

employee of a Party, then In House Legal Personnel of the Party in attendance at the

7

deposition of such a witness, may also be present during that portion of the deposition

8

but only if the In House Legal Personnel has signed the "Agreement to Be Bound by

9

Protective Order" (Exhibit A); provided that, pages of transcribed deposition testimony

10

or exhibits to depositions that reveal Highly Confidential Information must be marked

11

"Highly Confidential" and separately bound by the court reporter and not included in

12

the main deposition transcript and exhibit binder, and may not be disclosed to anyone

13

except as permitted under this Stipulated Protective Order; and provided, further that,

14

the parties will meet and confer if the Designating Party believes a particular document

15

requires different treatment for use at deposition; and

16

(g)

any other person to whom the Designating Party agrees in writing or on

17

the record, and any other person to whom the Court compels access to the Highly

18

Confidential Information.

19

7. 4

Retention of Exhibit A. Outside Counsel for the Party that obtains the

20

signed "Agreements To Be Bound by Protective Order" (Exhibit A), as required above, shall

21

retain them for one year following the final termination of this action, including any appeals,

22

and shall make them available to other Parties upon good cause shown.

23

7.5

Retention of Protected Material. Persons who have been shown

24

Protected Material pursuant to Section 7 .2(b), (f), or (g), or Section 7 .3(e) or (f) shall not

25

retain copies of such Protected Material.

26
27

28
10

STIPULATED PROTECTIVE ORDER

Case3:07-md-01827-SI Document5168 Filed03/15/12 Page11 of 27

1

8.

2

PROTECTED MATERIAL SUBPOENAED OR ORDERED
PRODUCED IN OTHER LITIGATION.

3

If a Receiving Party is served with a discovery request, subpoena or an order

4

issued in other litigation that would compel disclosure of any information or items designated

5

in this action as "CONFIDENTIAL" or "HIGHLY CONFIDENTIAL," the Receiving Party

6

must so notify the Designating Party, in writing (by fax or electronic mail, if possible), along

7

with a copy of the discovery request, subpoena or order, as soon as reasonably practicable.

8

The Receiving Party also must immediately inform the party who caused the

9

discovery request, subpoena or order to issue in the other litigation that some or all the material

10

covered by the subpoena or order is the subject of this Protective Order. In addition, the

11

Receiving Party must deliver a copy of this Stipulated Protective Order promptly to the party

12

in the other action that caused the discovery request, subpoena or order to issue.

13

The purpose of imposing these duties is to alert the interested parties to the .

14

existence of this Stipulated Protective Order and to afford the Designating Party in this case an

15

opportunity to try to protect its confidentiality interest in the court from which the discovery

16

request, subpoena or order is issued. The Designating Party shall bear the burdens and the

17

expenses of seeking protection in that court of its confidential or highly confidential material.

18

Nothing in these provisions should.be construed as authorizing or encouraging a Receiving

19

Party in this action to disobey a lawful directive from another court.

20
21

9.

UNAUTHORIZED DISCLOSURE OF PROTECTED
MATERIAL.

22

If a Receiving Party learns that, by inadvertence or otherwise, it has disclosed

23

Protected Material to any person or in any circumstance not authorized under this Stipulated

24

Protective Order, the Receiving Party must immediately (a) notify in writing the Designating

25

Party of the unauthorized disclosures, (b) use its best efforts to retrieve all copies of the

26

Protected Material, (c) inform the person or persons to whom unauthorized disclosures were

27

made of all the terms of this Order, and (d) request such person or persons to execute the

28

"Acknowledgment and Agreement To Be Bound" that is attached hereto as Exhibit A.
II

STIPULATED PROTECTIVE ORDER

Case3:07-md-01827-SI Document5168 Filed03/15/12 Page12 of 27

1

10.

FILING PROTECTED MATERIAL.

2

Without written permission from the Designating Party or a court order secured

3

after appropriate notice to all interested persons, a Party may not file in the public record in this

4

action any Protected Material. A Party that seeks to file under seal any Protected Material

5

must comply with Civil Local Rule 79-5.

6

11.

FINAL DISPOSITION.

7

Unless otherwise ordered or agreed in writing by the Producing Party, within

8

thirty days after the final termination of this action, including any appeals, each Receiving

9

Party must return all Protected Material to the Producing Party. As used in this subdivision,

10

"Protected Material" includes all copies, abstracts, compilations, summaries or any other form

11

of reproducing or capturing any of the Protected Material. The Receiving Party may destroy

12

some or all of the Protected Material instead of returning it. Whether the Protected Material

13 . is returned or destroyed, the Receiving Party must submit a written certification to the
14

Producing Party (and, if not the same person or entity, to the Designating Party) by the thirty

15

day deadline that identifies (by category, where appropriate) all the Protected Material that was

16

returned or destroyed and that affirms that the Receiving Party has not retained any copies,

17

abstracts, compilations, summaries or other forms of reproducing or capturing any of the

18

Protected Material. Notwithstanding this provision, counsel are entitled to retain an archival

19

copy of all pleadings, motion papers, transcripts, legal memoranda, correspondence or

20

attorney work product, even if such materials contain Protected Material. Any such archival

21

copies that contain or constitute Protected Material remain subject to this Protective Order as

22

set forth in Section 4 (DURATION), above.

23

12.

24

If a Party at any time notifies any other Party that it inadvertently produced

INADVERTENTLY PRODUCED DOCUMENTS.

25

documents, testimony, infof!Dation, and/or things that are protected from disclosure under the

26

attorney-client privilege, work product doctrine, and/or any other applicable privilege or

27

immunity from disclosure, or the Receiving Party discovers such inadvertent production, the

28

inadvertent production shall not be deemed a waiver of the applicable privilege or protectio~.
12

STIPULATED PROTECTIVE ORDER

i

Case3:07-md-01827-SI Document5168 Filed03/15/12 Page13 of 27

1

The Receiving Party shall immediately return all copies of such docwnents, testimony,

2

information and/or things to the inadvertently producing Party and shall not use such items for

3

any purpose until further order of the Court. In all events, such return must occur within three

4

(3) business days of receipt of notice or discovery of the inadvertent production. The return of

5

any discovery item to the inadvertently producing Party shall not in any way preclude the

6

Receiving Party from moving the Court for a ruling that the document or thing was never

7

privileged.

8

13.

ATTORNEY RENDERING ADVICE

9

Nothing in this Protective Order will bar or otherwise restrict an attorney from

10

rendering advice to his or her client with respect to this matter or from relying upon or

11

generally referring to "CONFIDENTIAL" or "HIGHLY CONFIDENTIAL" Disclosure or

12

Discovery Material in rendering such advice; provided however, that in rendering such advice

13

or in otherwise communicating with his or her client, the attorney shall not reveal or disclose

14

the specific content thereof if such disclosure is not otherwise permitted under this Protective

15

Order.

16

14.

DISPOSITIVE MOTION HEARINGS AND TRIAL

17

The terms of this Protective Order shall govern in all circumstances except for

18

presentations of evidence and argument at hearings on dispositive motions and at trial. The

19

parties shall meet and confer in advance of such proceedings and seek the guidance of the Court

20

as to appropriate procedures to govern such proceedings.

21

15.

MISCELLANEOUS.

22

15.1

Right to Further Relief. Nothing in this Order abridges the right of any

23
24

person to seek its modification by the Court in the future.
15.2

Right to Assert Other Objections. By stipulating to the entry of this

25

Protective Order no Party waives any right it otherwise would have to object to disclosing or

26

producing any information or item on any ground not addressed in this Stipulated Protective

27

Order. Similarly, no Party waives any right to object on any ground to use in evidence of any

28

of the material covered by this Protective Order.
13

STIPULATED PROTECTIVE ORDER

Case3:07-md-01827-SI Document5168 Filed03/15/12 Page14 of 27

1

IT IS SO STIPULATED.

2

PEARSON, SIMON, SOTER, WARSHAW &
PENNY, LLP

3
4

By:

5
Bruce L. Simon (State Bar No. 96241)
44 Montgomery Street, Suite 1200
San Francisco, CA 94104
Telephone:
[phone]
Facsimile:
[phone]

6

7
8

Interim Co-Lead Counsel for the Direct Purchaser
Plaintiffs

9

10

ANN &BERNSTEIN, LLP

11

12
13
Richard M. Heimann (State Bar No. 63607)
-275 Battery Street, 30th Floor
San Francisco, CA 94111-3339
Telephone:
[phone]
Facsimile:
[phone]

14

15
16

Interim Co-Lead Counsel for the Direct Purchaser
Plaintiffs

17
18
19

GIRARD GffiBS, LLP

20
21

By:

c
Elizabeth C. Pritzker

22

Elizabeth C. Pritzker (State Bar No. 146267)
601 California Street, Suite 1400
San Francisco, CA 94108
Telephone:
[phone]
Facsimile:
[phone]

23
24

25

Interim Liaison Counsel for the Direct Purchaser
Plaintiffs

26
27
28

14

STIPULATED PROTECTIVE ORDER

Case3:07-md-01827-SI Document5168 Filed03/15/12 Page15 of 27

ZELLE HOFMANN VOELBEL MASON &
GETTELLP
.

1

2
3
4
Francis 0. Scarpulla (State Bar No. 41059)
44 Montgomery Street, Suite 3400
San Francisco, CA 94104
Telephone:
[phone]
Facsimile:
[phone]

5
6
7

Interim Co-Lead Counsel for the Indirect Purchaser
Plaintiffs

8
9

10

ALIOTO LAW FIRM

11

By:~C

12
13

Joseph M. Alioto (State Bar No. 42680)
555 California Street, Suite 3160
San Francisco, CA 94104
Telephone:
[phone]
Facsimile:
[phone]

14
15

16

Interim Co-Lead Counsel for the Indirect Purchaser
Plaintiffs

17
18

MINAMI TAMAKI LLP

19

/'.

20

·.

.

Bv~

21
22
23
24
25

Interim Liaison Counsel for the Indirect Purchaser
Plaintiffs

26
27
28

IS

STIPULATED PROTECTIVE ORDER

Case3:07-md-01827-SI Document5168 Filed03/15/12 Page16 of 27

.-

1

PILLSBURY WINTHROP SHAW PITTMAN LLP

2

3

4
5
6
7

8
9

SBDGWI9K, DETERT, MORAN & ARNOLD LLP

10
11
12

Michael Healy

13

Michael Healy (State Bar No. 95098)
One Market Plaza
Steuart Tower, 8th Floor
San Francisco, CA 94105
Tel:
[phone]
Fax:
[phone]

14
15
16

17

Attome~furDerenrumt

AU Optronics Corporation America

18
:19

WIL:MER CUTLER PICKERING HALE AND DORR

LLP

20
21

Steven F. Cherry

22

23

Steven F. Cherry (pro hac vice)
1875 Pennsylvania Avenue NW
Washington, DC 20006
Tel: =· [phone]
Fax:
{202) 663-6363

24
25
..-·

--

26

Attorneys for Defendants Chi Mei Optoelectronics USA,
Inc., CMO Japan Co., Ltd., and Nexgen Mediatech USA,
Inc.

27
28

16

STIPULATED PROTECTIVE ORDER

Case3:07-md-01827-SI Document5168 Filed03/15/12 Page17 of 27

SEDGWICK, DETERT. MORAN & ARNOLD LLP

·1

2

lt\f\ ~ ....!..\
m -~% ~

ay:

3
4

5
6
7

8

Attorneys for Defendant

9

AU Optronics Corporation America

10

WILMER CUTLER PICKERING HALE AND DORR

LLP

11

12
Steven F. Cherry

13

14

Steven F. Cherry (pro hac vice)
1875 Pennsylvania Avenue NW

15

Washington, DC 20006

Tel:
Fax:

16
17

[phone]
[phone]

Attorneys for Defendants Chi Mei Optoelectronics
USA, Inc., CMO Japan Co., Ltd., and Nexgen
Mediatech USA, Inc.
PAUL, HASTINGS, JANOFSKY & WALKER LLP

18

19
20
21

Kevin C. McCann

22

Kevin C. McCann (State Bar No. 120874)
55 Second Street, 24th Floor
San Francisco, CA 94105
Tel:
[phone]
Fax:
[phone]

23
24

25

Attorneys for Defendants Epson Electronics America,
Inc. and Epson Imaging Devices Corporation

26

27

28
17

STIPULATED PROTECTIVE ORDER

Case3:07-md-01827-SI Document5168 Filed03/15/12 Page18 of 27

SEDGWICK, DETERT, MORAN"& ARNOLD LLP

1
2

3
Michael Healy
4
Michael Healy (State Bar No. 95098)
One Market Plaza
Steuart Tower, 8th Floor
San Francisco, CA 94105
Tel:
[phone]
Fax:
[phone]

5
6
7

8

Attorneys for Defendant
AU Optronics Corporation America

9

10

WILMER CUTLER PICKERING HALE AND DORR
LLP

.11

~z~

12
By:

13

14

~·Steven uh~

Steven F. Cherry (pro hac vice)
1875 Pennsylvania Avenue NW
Washington, DC 20006
Tel:
[phone]
Fax:
[phone]

15
16
17

Attorneys for Defendants Chi Mei Optoelectronics
USA, Inc., CMO Japan Co., Ltd., and Nexgen
Mediatech USA, Inc.
PAUL, HASTINGS, JANOFSKY & WALKER LLP

18
19
20

21
Kevin C. McCann

22

Kevin C. McCann (State Bar No. 120874)
55 Second Street, 24th Floor
San Francisco, CA 94105
·rei:
[phone]
Fax:
[phone]

23

24
25

Attorneys for Defendants Epson Electronics America,
Inc. and Epson Imaging Devices Corporation

26

27
28
17

STIPULATED PROTECTIVE ORDER

l

I

.II
I

I
I

I

Case3:07-md-01827-SI Document5168 Filed03/15/12 Page19 of 27

. i\.

1

2
3
4

Kevin C. McCann (State Bar No. 120874)
55 Second Street, 24th Floor
San Francisco, CA 94105
Tel:
[phone]
Fax:
[phone]

5
6
7

Attorneys for Defendants Epson Electronics America,
Inc. and Epson Imaging Devices Corporation ·

8
9

MORGAN, LEWIS & BOCKIUS LLP

10
11

12

Kent M. Roger

13

Kent M. Roger (State Bar No. 95987)
One Market
Spear Street Tower
San Francisco, CA 94105
Tel.:
[phone]
Fax:
[phone]

14

15

16

.

.

17

Attorneys for Defendants H~tachi Electronic Devices
(USA), Inc., Hitachi, Ltd., and Hitachi Displays, Ltd.

18.

19

WINSTON & STRAWN LLP

20

21
Lawrence R. Desideri

22

Lawrence R. Desideri (pro hac vice)
35 W. Wacker Drive
Chicago, Illinois 60601
Tel:
[phone]
Fax:
.[phone]

23

24
25

26

Attorneys for Defendant
LG Electronics USA, Inc.

27

28
17

STIPULATED PROTECTIVE ORDER

Case3:07-md-01827-SI Document5168 Filed03/15/12 Page20 of 27

PAUL, HASTINGS, JANOFSKY & WALKER LLP
2

3
Kevin C. McCann

4

Kevin C. McCann (State Bar No. 120874)
55 Second Street, 24th Floor
San Francisco, CA 94105
Tel:
[phone]
Fax:
[phone]

5
6
7

Attorneys for Defendants Epson Electronics America,
Inc. and Epson Imaging Devices Corporation

8
9

MORGAN, LEWIS & BOCKIUS LLP

10

11
12

Kent

. Roger

13

Kent M. Roger (State Bar No. 95987)
One Market
Spear Street Tower
San Francisco, CA 94105
Tel.:
[phone]
Fax:
[phone]

14

15
16

17

Attorneys for Defendants Hitachi Electronic Devices
(USA), Inc., Hitachi, Ltd., and Hitachi Displays, Ltd.

18
19

WINSTON & STRAWN LLP

20
21
Lawrence R. Desideri

22

Lawrence R. Desideri (pro hac vice)
35 W. Wacker Drive
Chicago, Illinois 60601
Tel:
[phone]
Fax:
[phone]

:23
:24

25

26

Attorneys for Defendant
LG Electronics USA, Inc.

27
28

17

STIPULATED PROTECTIVE ORDER

Case3:07-md-01827-SI Document5168 Filed03/15/12 Page21 of 27

1

PAUL, HASTINGS, JANOFSKY & WALKER LLP

2

3
Kevin C. McCann

4

Kevin C. McCann (State BarNo. 120874)
55 Second Street, 24th Floor
San Francisco, CA 94105
Tel:
[phone]
Fax:
[phone]

5
6

7

Attorneys for Defendants Epson Electronics America,
Inc. and Epson hnaging Devices Corporation

8
9

MORGAN, LEWIS & BOCKIUS LLP

10
11
12

Kent M. Roger

13

Kent M. Roger (State Bar No. 95987)
One Market
Spear Street Tower
San Francisco, CA 941 OS
Tel.:
[phone]
Fax:
[phone]

14

15
16

17

Attorneys for Defendants Hitachi Electronic Devices
(USA), Inc., Hitachi, Ltd., and Hitachi Displays, Ltd.

18
19

WINSTON & STRAWN LLP

20
21

By:

22
Lawrence R. Desideri (pro hac vice)
Michael P. Mayer (pro hac vice)
35 W. Wacker Drive
Chicago, IlHnois 60601
Tel:
[phone]
fax:
[phone]

23

24
25
26

Attorneys for Defendant
LG Electronics USA, Inc.

27

28
17

STIPULATED PROTECTIVE ORDER

Case3:07-md-01827-SI Document5168 Filed03/15/12 Page22 of 27

...._._,. ... ,

MOR.GAN, LEWIS & BOCKIUS LLP

1
2

By:

3

Kent M. Roger
4
Kent M. Roger (State Bar No. 95987)
One Market
Spear Street Tower
San Francisco, CA 94105
Tel.:
[phone]
Fax:
[phone]

5
6

7
8

Attorneys for Defendants Hitachi Electronic Devices
(USA), Inc., Hitachi, Ltd., and Hitachi Displays, Ltd.

9
10

WINSTON & STRAWN LLP

11.

12

By:
Lawrence R. Desideri

13

Lawrence R. Desideri (pro hac vice)
35 W. Wacker Drive
Chicago, lllinois 60601
Tel:
[phone]
Fax:
[phone]

14
15
16
17

Attorneys for Defendant
LG Electronics USA, Inc.

18

19

CLEARY GOTTLIEB STEEN & HAMU..TON LLP

20
21

22
Michael R. Lazerwitz (pro hac vice)
2000 Pennsylvania Avenue NW
Washington, DC 20006
Tel.:
(202) 97 4-1680
Fax:
[phone]

23
24
25

26

Attorneys for Defendants LG.Philips LCD America,
Inc. and LG.Philips LCD Co., Ltd.

27
28

18

STIPULATED PROTECTIVE ORDER

Case3:07-md-01827-SI Document5168 Filed03/15/12 Page23 of 27

1

CLEARY GOITLlE.B STEEN & HAMILTON LLP

2

By:

3

Michael R. Lazerwitz

4

Michael R. Lazenvitz (pro hac vice)
2000. Pennsylvani~ Avenue NW
Washington, DC 20006
Tel.:
· [phone]
Fax:
[phone]

5
6
7

Attorneys for Defendants LG .Philips LCD America, Inc.
and LG.Philips LCD Co., Ltd.

8

9

DUANE MORRIS LLP

10
11

12
13

14
15

16
17

Attorneys for Defendants NEC Electronics America, Inc.

18
SHEPPARD MULLIN RICHTER &

19

J:IAMPT~N

LLP

20

21

J.ames L. McGinnis

22

James L. McGinnis (State Bar No. 95788)
4 Embarcadero Center, 17th Floor
Francisco, CA 94111-4109
Tel:
[phone]
Fax:
[phone]

23

San

24

25

Attorneys for Defendants Samsung Electronics America,
Inc., Samsung Semiconductor, Inc. and Samsung
Electronics Co., Ltd.

26
27

28
18

STIPULATED PROTECI'IVE ORDER

Case3:07-md-01827-SI Document5168 Filed03/15/12 Page24 of 27

CLEARY GOTTLIEB STEEN & HAMILTON LLP

1
2

3

Michael R. Lazerwitz

4

Michael R. Lazerwitz (pro hac vice)
2000 Pennsylvania Avenue NW
Washington, DC 20006
Tel.:
[phone]
Fax:
[phone]

5

6

7

Attorneys for Defendants LG. Philips LCD America, Inc.
and LG.Philips LCD Co., Ltd.

8
9

DQANE MORRIS LLP

10
11

12·

George D. Niespolo

13

16

George D. Niespolo (State Bar No. 72107)
One Market Street
Spear Tower, 20th Floor
San Francisco, CA 94105
Tel.:
[phone]
Fax:
[phone]

17

Attorneys for Defendants NEC Electronics America, Inc.

14
15

18

D MULLIN RICHTER & HAMPTON LLP

19

t---------------·-··-···--

20
21

James L. McGinnis

22

James . McGinnis (State Bar No. 95788)
4 Embarcadero Center, 17th Floor
San Francisco, CA 94111-4109
Tel:
[phone]
Fax:
[phone]

23

24
25

Attorneys for Defendants Samsung Electronics America,

26

Inc., Samsung Semiconductor, Inc. and Samsung
Electronics Co., Ltd.

27

28
18

STIPULATED PROTECTIVE ORDER

Case3:07-md-01827-SI Document5168 Filed03/15/12 Page25 of 27

1

WHITE & CASE LLP

2
By:

3

w~ A. tAs'S. 1'1U#'[

4

5
6

7
Attorneys for Defendants Toshiba America Electronic
Components, Inc., Toshiba America Information
Systems, Inc., Toshiba Corporation, and Toshiba
Matsushita Display Technology Co., Ltd.

8
9

10
11

SULLIVAN & CROMWELL LLP

12
13
Garrard R. Beeney

14

Garrard R. Beeney (pro hac vice)
125 Broad Street
New York, NY 10004
Tel:
[phone]
Fax:
[phone]

15
16
17

Attorneys for Defendant
Koninklijke Philips Electronics N.V.

18
19
20

21
22

PlJR!SUANT TO STIPULATION, IT IS SO ORDERED.

23

-~~

24
25

DA11ED:_ - - - - - - -

Hon. Susan Illston
United States District Judge

26

27
28
19

STIPULATED PROTECTIVE ORDER

Case3:07-md-01827-SI Document5168 Filed03/15/12 Page26 of 27

WHITE & CASE LLP

1
2

3
Wayne A. Cross

4
Wayne A. Cross (pro hac vice)
1155 Avenue of the Americas
New York, NY 10036
Tel:
[phone]
Fax:
[phone]

5
6
7

Attorneys for Defendants Toshiba America Electronic
Components, Inc., Toshiba America Information
Systems, Inc., Toshiba Corporation, and Toshiba
Matsushi~ Display Technology Co., Ltd.

8

9
10

SULLIVAN & CROMWELL LLP

11

12
By:

13

Garrard R. Beeney

14
Garrard R. Beeney (pro hac vice)
125 Broad Street
New York, NY 10004
Tel:
[phone]
Fax:
[phone]

15

16

17

Attorneys for Defendant
Koninklijke Philips Electronics N.Y.

18

19
20

21
22
23

24
25

PURSUANT TO STIPULATION, IT IS SO ORDERED.

DATED:~ J2l \ill v/

Hon. Susan lllston
United States District Judge

26

27
28
19

STIPULATED PROTECI'IVE ORDER

Case3:07-md-01827-SI Document5168 Filed03/15/12 Page27 of 27

1

EXHIBIT A

2

ACKNOWLEDGMENT. AND AGREEMENT TO BE. BOUND

3

I, - - - - - - - - - - - [ p r i n t full name], of

4

- - - - - - - - - - - - - - - - - - - - - [print or type full address],

5

declare under penalty of perjury under the laws of the United States of America that I have read

6

in its entirety and understand the Stipulated Protective Order that was issued by the United

7

States District Court for the Northern District of California, San Francisco Division, in the

8

case ofln Re TFT-LCD (FLAT PANEL) ANTITRUST LITIGATION, No.: M-07-1827 Sl,

9

MDL No. 1827.

10

I agree to comply with and to be bound by all the terms of this Stipulated

11

Protective Order, and I understand and aclmowledge that failure to so comply could expose me

12

to sanctions and punishment in the nature of contempt. I solemnly promise that I will not

13

disclose in any manner any information or item that is subject to this Stipulated Protective

14

Order to any person or entity except in strict compliance with the provisions of this Order.

15

I further agree to submit to the jurisdiction of the United States District Court

16

for the Northern District of California for the purpose of enforcing the terms of this Stipulated

17

Protective Order, even if such enforcement proceedings occur after termination of this action.

18
Date:

19
20

City and State (or Country) where sworn and signed:

21
Printed name:
22

23

----------------------

Signature:

24

25

26
27

28
20

STIPULATED PROTECTIVE ORDER

1

Exhibit D

2

Names and Addresses
of Parties and Representatives

3
4

PARTIES

5
6
7
8

REPRESENTATIVES
Plaintiff

Proview Technology, Inc.
7373 Hunt Avenue
Garden Grove, California 92841
United States of America

9
10
11

Richard M. Heimann
Brendan P. Glackin
Eric B. Fastiff
Marc Pilotin
Lieff Cabraser Heimann & Bernstein LLP
275 Battery St., 29th Floor
San Francisco, California 94111-3339
United States of America
Christopher I. Brain
Kim D. Stephens
Chase C. Alvord
Tousley Brain Stephens PLLC
1700 Seventh Avenue, Suite 2200
Seattle, Washington 98101
United States of America

12
13
14
15

Mark D. Baute
Sean A. Andrade
Baute Crochetiere & Gilford LLP
777 South Figueroa Street, Suite 4900
Los Angeles, California 90017
United States of America

16
17
18
19
20
21
22

AU Optronics Corporation
No. 1, Li-Hsin Rd. 2
Hsinchu Science Park, Hsinchu 30078
Taiwan

23
24
25
26

AU Optronics Corporation America,
Inc.
9720 Cypresswood Drive, Suite 241
Houston, Texas 77070
United States of America

Defendants
Carl L. Blumenstein
Nossaman LLP
50 California Street, 34th Floor
San Francisco, California 94111
United States of America
Carl L. Blumenstein
Nossaman LLP
50 California Street, 34th Floor
San Francisco, California 94111
United States of America

27
28
1

1
2
3
4

PARTIES
Chi Mei Corporation
No. 11-2, Jen Te 4th St.
Jen Te Village
Jen Te, Tainan 717
Taiwan

5
6
7

REPRESENTATIVES
Christopher B. Hockett
Neal A. Potischman
Sandra West Neukom
Samantha H. Knox
Davis Polk & Wardwell LLP
1600 El Camino Real
Menlo Park, California 94025
United States of America
Emmet P. Ong
Davis Polk & Wardwell LLP
450 Lexington Avenue
New York, New York 10017
United States of America

8
9
10
11
12
13

Chimei Innolux Corp.
No. 160 Kesyue Rd., Chu-Nan Site
Hsinchu Science Park Chu-Nan, MiaoLi
Taiwan

14
15

Emmet P. Ong
Davis Polk & Wardwell LLP
450 Lexington Ave.
New York, New York 10017
United States of America

16
17
18
19
20
21
22
23

Christopher B. Hockett
Neal A. Potischman
Sandra West Neukom
Samantha H. Knox
Davis Polk & Wardwell LLP
1600 El Camino Real
Menlo Park, California 94025
United States of America

Chi Mei Optoelectronics USA, Inc.
101 Metro Drive, Suite 510
San Jose, California 95110
United States of America

Christopher B. Hockett
Neal A. Potischman
Sandra West Neukom
Samantha H. Knox
Davis Polk & Wardwell LLP
1600 El Camino Real
Menlo Park, California 94025
United States of America

24
25
26
27

Emmet P. Ong
Davis Polk & Wardwell LLP
450 Lexington Avenue
New York, New York 10017
United States of America

28
2

1
2
3
4

PARTIES
CMO Japan Co. Ltd.
Nansei Yaesu Bldg. 4F
2-2-10 Yaesu
Chuo-Ku, Tokyo 104-0028
Japan

5
6
7

REPRESENTATIVES
Christopher B. Hockett
Neal A. Potischman
Sandra West Neukom
Samantha H. Knox
Davis Polk & Wardwell LLP
1600 El Camino Real
Menlo Park, California 94025
United States of America
Emmet P. Ong
Davis Polk & Wardwell LLP
450 Lexington Avenue
New York, New York 10017
United States of America

8
9
10
11
12
13

Nexgen Meditech, Inc.
No. 11-2, Jen Te 4th St.
Jen Te Village
Jen Te, Tainan 717
Taiwan

14
15

Emmet P. Ong
Davis Polk & Wardwell LLP
450 Lexington Avenue
New York, New York 10017
United States of America

16
17
18
19
20
21
22
23

Christopher B. Hockett
Neal A. Potischman
Sandra West Neukom
Samantha H. Knox
Davis Polk & Wardwell LLP
1600 El Camino Real
Menlo Park, California 94025
United States of America

Nexgen Mediatech USA, Inc.
16712 East Johnson Drive
City of Industry, California 91745
United States of America

Christopher B. Hockett
Neal A. Potischman
Sandra West Neukom
Samantha H. Knox
Davis Polk & Wardwell LLP
1600 El Camino Real
Menlo Park, California 94025
United States of America

24
25
26
27

Emmet P. Ong
Davis Polk & Wardwell LLP
450 Lexington Avenue
New York, New York 10017
United States of America

28
3

1

PARTIES

2

Samsung Electronics Co., Ltd.
Samsung Main Building
250-2 ga Taepyung-ro Chung-gu, Seoul
Republic of Korea

Robert D. Wick
Covington & Burling LLP
One City Center
850 Tenth Street, NW
Washington, District of Columbia 20001-4956
United States of America

Samsung Electronics America, Inc.
105 Challenger Road
Ridgefield Park, New Jersey 07660
United States of America

Robert D. Wick
Covington & Burling LLP
One City Center
850 Tenth Street, NW
Washington, District of Columbia 20001-4956
United States of America

Samsung Semiconductor, Inc.
3655 North First Street
San Jose, California 95134
United States of America

Robert D. Wick
Covington & Burling LLP
One City Center
850 Tenth Street, NW
Washington, District of Columbia 20001-4956
United States of America

3
4
5
6
7
8
9
10
11
12
13

REPRESENTATIVES

14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
4