Unites States of America v. Apple, Inc. et al

Filing 329

BRIEF In Support of Plaintiffs' Proposed Injunction. Document filed by Unites States of America. (Attachments: # 1 Exhibit Plaintiffs' Proposed Final Judgment, # 2 Exhibit, # 3 Exhibit, # 4 Exhibit)(Buterman, Lawrence)

EXHIBIT 2

Case3:09-cr-00110-SI
AO 245E

Document976

Filed10/02/12

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(Rev. 12/03) Judgm ent in a Crim inal C ase for O rganizational Defendants
Sheet 1

U n it e d S t a t e s D is t r ic t C o u r t
District of

N orthern

C alifornia

JUDGMENT IN A CRIMINAL CASE

UNITED STATES OF AMERICA

(For O rganizational D efendants)

V.

CASE NUMBER:

CR 09-00110-10 SI

AU OPTRONICS CORPORATION
Dennis Riordan, Retained
D efen d an t O rg a n iz a tio n ' s A tto rn ey

THE DEFENDANT ORGANIZATION:
□

pleaded guilty to count(s) __________________

□

pleaded nolo contendere to count(s)
which was accepted by the court.

□

was found guilty on count(s)

O ne

after a plea o f not guilty.
The organizational defen d an t is adjudicated guilty o f these offenses:

Title & Section
15 U.S.C. § 1

Nature o f Offense

Offense Ended

Count

Price Fixing

December 2006

One

T he defendant organization is sentenced as provided in pages 2

5

o f this judgm ent.

□

T he defendant organization has been found not guilty on count(s) __________________________________________________________

□

Count(s) __________________________________ □ is

□ are

dism issed on the m otion o f the U nited S tates.

It is ordered that the defendant organization m ust notify the U nited States attorney for th is d istric t w ithin 30 days o f any
change o f nam e, principal business address, or m ailing address until all fines, restitution, costs, and special assessm ents im posed by
this ju d g m en t are fully paid. If ordered to pay restitution, the defendant organization m ust notify the co u rt and U nited S tates attorney
o f m aterial changes in econom ic circum stances.
D e fendan t O rg a n iz a tio n ' s
F ederal E m p lo y er I.D. N o.:

N o t a v a ila b le

Septem ber 20. 2012

D e fendan t O rg a n iz atio n ’s P rin cip al B u sin ess A d d ress:

No. 1. Li-H sin R oad 2. H sinchu S cience Park
S ignature o f Ju d g e

H sinchu. Taiw an
R epublic o f C hina

H onorable S usan Illston. U.S. D istrict Judge
N am e and T id e o f J u d g e

Date
D e fendan t O rg a n iz a tio n ' s M ailin g A d d re ss:

No. 1. Li-H sin Road 2. H sinchu S cience Park
H sinchu, T aiw an
R epublic o f China

Case3:09-cr-00110-SI

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AO 245E
(Rev. 12/03) Judgment in a Criminal Case fo r Organizational Defendants
___________ Sheet 2 — Probation___________________________________________________________________________________________________
Judgment—Page

2

of

5

DEFENDANT ORGANIZATION: AU Optronics Corporation
CASE NUMBER: CR 09-00110-10 SI

PROBATION
The defendant organization is hereby sentenced to probation for a term o f :
Three (3) years
The defendant organization shall not commit another federal, state or local crime.

If this judgment imposes a fine or a restitution obligation, it is a condition of probation that the defendant organization pay in
accordance with the Schedule of Payments sheet of this judgment.

The defendant organization must comply with the standard conditions that have been adopted by this court as well as with any
additional conditions on the attached page (if indicated below).

STANDARD CONDITIONS OF SUPERVISION
1) within thirty days from the date of this judgment, the defendant organization shall designate an official of the organization to
act as the organizations’s representative and to be the primary contact with the probation officer;
2) the defendant organization shall answer truthfully all inquiries by the probation officer and follow the instructions of the
probation officer;
3) the defendant organization shall notify the probation officer ten days prior to any change in principal business or mailing
address;
4) the defendant organization shall permit a probation officer to visit the organization at any of its operating business sites;
5) the defendant organization shall notify the probation officer within seventy-two hours of any criminal prosecution, major civil
litigation, or administrative proceeding against the organization;
6) the defendant organization shall not dissolve, change its name, or change the name under which it does business unless this
judgment and all criminal monetary penalties imposed by this court are either fully satisfied or are equally enforceable against
the defendant’s successors or assignees; and
7) the defendant organization shall not waste, nor without permission of the probation officer, sell, assign, or transfer its assets.

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(Rev. 12/03) Judgment in a Criminal Case for Organizational Defendants
Sheet 2B— Probation
Judgment—Page

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DEFENDANT ORGANIZATION:
AU Optronics Corporation
CASE NUMBER:
CR 09 - 00110 - 10 SI
S P E C IA L C O N D IT IO N S O F S U P E R V IS IO N

1) A U O ptronics C o rp o ratio n shall develop, adopt, and im plem ent an effective com pliance and ethics p ro g ra m
Such a pro g ram shall establish standards and procedures to prevent and d e te c t crim inal conduct. A U O ptronics
C orporation shall notify its em ployees and shareholders o f its conviction and its effective com pliance and ethics
p ro g ra m A ll aspects o f th e p ro g ra m shall b e rep o rted to th e pro b atio n officer as directed and qu arterly reports
detailing th e o rg an izatio n ’s p ro g re ss shall b e subm itted to ensure com pliance.
2) A U O ptronics C o rp o ratio n shall, a t its o w n expense, acknow ledge th e fact o f conviction, th e n a tu re o f the
punishm ent im posed, and th e step s th at will b e tak e n to prevent th e recu rren ce o f sim ilar offenses, in th re e major
trad e publications in b o th th e U nited S tates and Taiw an.
3) A U O /A U O A are required to hire, a t their expense, an independent m o n ito r w ithin sixty (60) calendar days o f
th e date o f sentencing, to m onitor A U O /A U O A 's antitrust com pliance p ro g ra m fo r th e p erio d o f th eir p robation
supervision. W ithin th irty (30) calendar days after th e d a te o f sentencing, A U O /A U O A shall recom m end to the
P robation Office and th e U nited S tates D epartm ent o f Justice, A ntitrust D ivision, S an Francisco Field O ffice a p o o l
o f three qualified m o n ito r candidates and p rovide to th e P robation O ffice and th e A n titru st D ivision a description
o f each candidate's qualifications and credentials. A fter consultation w ith th e A n titru st D ivision, th e P robation
Office, in its sole discretion, shall either select o n e o f th e candidates nom inated b y A U O /A U O A to serve as the
m onitor, select an alternative-qualified m onitor o f its o w n choosing, o r instruct A U O /A U O A to p ro p o se three
additional candidates fo r selection p u rsuant to th e process set fo rth above. T h e m o n ito r shall n o t b e an em ployee
o r agent o f A U O /A U O A and shall n o t hold any interest in, o r have any relationship w ith, A U O /A U O A o r their
directors, officers, em ployees, agents, o r business partners. T h e m onito r shall p ro v id e qu arterly re p o rts t o th e
probation office regarding antitrust com pliance.

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Sheet 3 —Criminal Monetary Penalties

Judgment —Page 4______ of 5
_
DEFENDANT ORGANIZATION:
AU Optronics Corporation
CASE NUMBER:
CR 09-00110-10 SI
C R IM IN A L M O N E T A R Y P E N A L T IE S
The defendant organization must pay the following total criminal monetary penalties under the schedule of payments on Sheet 4.

TOTALS

Assessment
$ 400

$

Fine
500,000,000

Restitution
$ 0

□

The determination of restitution is deferred until _______
entered after such determination.

□

The defendant organization shall make restitution (including community restitution) to the following payees in the amount listed
below.

. An Amended Judgment in a Criminal Case (AO 245C); will be

If the defendant organization makes a partial payment, each payee shall receive an approximately proportioned payment, unless specified
otherwise in the priority order or percentage payment column below. However, pursuant to 18 U.S.C. § 3664(i), all nonfederal victims
must be paid before the United States is paid.
Name of Payee

TOTALS

Total Loss*

Restitution O rdered

$

Priority or Percentage

$

□

Restitution amount ordered pursuant to plea agreement $ ________________

B

The defendant organization shall pay interest on restitution or a fine of more than $2,500, unless the restitution or fine is paid in full
before the fifteenth day after the date of the judgment, pursuant to 18 U.S.C. § 3612(f). All of the payment options on Sheet 4 may
be subject to penalties for delinquency and default, pursuant to 18 U.S.C. § 3612(g).

□

The court determined that the defendant organization does not have the ability to pay interest, and it is ordered that:
□

the interest requirement is waived for the

□

the interest requirement for the

□

fine

□

fine

□

restitution.

□ restitution is modified as follows:

Case3:09-cr-00110-SI
AO 245E

Document976

Filed10/02/12

Page5 of 5

(Rev. 12/03) Judgment in a Criminal Case for Organizational Defendants
Sheet 4 — Schedule of Payments
Judgment — Page

5

of _____ 5

DEFENDANT ORGANIZATION:
AU Optronics Corporation
CASE NUMBER:
CR 09-00110-10 SI

SCHEDULE OF PAYMENTS
Having assessed the organization’s ability to pay, payment of the total criminal monetary penalties are due as follows:
A

Lump sum payment of $ _____ 500,000,400 due immediately, balance due
□

not later than

H in accordance with □

, or
C or

□

D below; or

B

□

Payment to begin immediately (may be combined with

□ C or

□ D below); or

C

□

Payment in

D

B

Special instructions regarding the payment of criminal monetary penalties:

(e.g., equal, weekly, monthly, quarterly) installments of $
_over a period of
(e.g., months or years), to commence
. (e.g., 30 or 60 days) after the date of this judgment; or

The fine is payable as follows: $125 million within 120 days of sentencing, and $125 million per year for the next three years.
Interest is not waived for the fine.

All criminal monetary penalties are made to the clerk of the court.
The defendant organization shall receive credit for all payments previously made toward any criminal monetary penalties imposed.

□

Joint and Several
Defendant and Co-Defendant Names and Case Numbers (including defendant number), Total Amount, Joint and Several Amount,
and corresponding payee, if appropriate.

□

The defendant organization shall pay the cost o f prosecution.

□

The defendant organization shall pay the following court cost(s):

□

The defendant organization shall forfeit the defendant organization’s interest in the following property to the United States: