Case 1:18-cr-00031-ABJ Document 1 Filed 02/16/18 Page 1 of 2 UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLUMBIA Criminal No.: UNITED STATES OF AM ERICA Violation: 18 U.S.C. § 1001(a)(2) (False Statements) v. ALEX VAN DER ZW AAN, Defendant. Case: 1:18-cr-00031 Assigned To : Judge Jackson, Amy Berman Assign. D a te : 2/16/2018 Description: INFORMATION (A) Case Related to: 17-cr-201 (ABJ) INFORMATION The Special Counsel inform s the Court: (False Statements) On N ovem ber 3, 2017, the defendant, ALEX VAN DER ZW AAN, did willfully and know ingly m ake m aterially false, fictitious, and fraudulent statem ents and representations in a m atter within the jurisdiction o f the executive branch o f the Governm ent o f the United States, to wit, the defendant falsely stated and represented to the Special C ounsel’s Office, including Special Agents o f the Federal Bureau o f Investigation, in W ashington, D.C., in the course of answ ering questions concerning his work as an attorney employed by a law firm engaged in 2012 by the Ukraine M inistry o f Justice to prepare a report on the trial o f Y ulia Tymoshenko: (i) his last com m unication with Richard W. Gates III was in m id-A ugust 2016 (which consisted o f an innocuous text m essage) and his last com m unication with Person A was in 2014 (when VAN DER ZW AA N and Person A discussed Person A ’s family); and (ii) he did not know why an email between him and Person A in Septem ber 2016 was not produced to the Special C ounsel’s Office, when in fact, as he then and there well knew and believed: Case 1:18-cr-00031-ABJ (i) Document 1 Filed 02/16/18 Page 2 of 2 in or about Septem ber 2016, he spoke with both Gates and Person A regarding the Report, and surreptitiously recorded the calls; and (ii) he deleted and otherwise did not produce em ails sought by the Special C ounsel’s Office and Law Firm A, including the email betw een Person A and him in Septem ber 2016. (Title 18, United States Code. Section 1001(a)(2)) RO BERT S. M UELLER, III Kyle Freeny Brian M. Richardson Senior/Assistant Special Counsel 2 February 14, 2018 William Schwartz Laura Grossfleld Birger Cooley LLP 1114 Avenue of the Americas New York, NY 10036 . Re: United States v. Alex van der Zwaan Dear Counsel: This letter sets forth the full and complete plea offer to your client Alex van der Zwaan (hereinafter referred to as “your client” or “defendant”), from the Special Counsel’s Office (hereinafter also referred to as “the Government” or “this Office”). If your client accepts the terms and conditions o f this offer, please have your client execute this document in the space provided below. Upon receipt of the executed document, this letter will become the Plea Agreement (hereinafter referred to as “this Agreement”). The terms o f the offer are as follows: 1. Charges and Statutory Penalties Your client agrees to waive indictment, plead guilty to a Criminal Information, a copy of which is attached, charging your client with one count of making false statements to the Special Counsel’s Office, including Special Agents with the Federal Bureau o f Investigation, in violation of 18 U.S.C. § 1001(a)(2), Your client understands that a violation of 18 U.S.C. § 1001 carries a maximum sentence o f 5 years’ imprisonment; a fine o f $250,000, pursuant to 18 U.S.C. § 3571(b)(3); a term of supervised release of not more than 3 years, pursuant to 18 U.S.C. § 3583(b)(2); and an obligation to pay any applicable interest or penalties on fines and restitution not timely made. In addition, your client agrees to pay a mandatory special assessment of $100 per felony conviction to the Clerk o f the United States District Court for the District o f Columbia before sentencing. Your client also understands that, pursuant to 18 U.S.C. § 3572 and § 5E1.2 of the United States Sentencing Guidelines, Guidelines Manual (2016) (hereinafter “Sentencing Guidelines,” “Guidelines,” or “U.S.S.G.”), the Court may also impose a fine that is sufficient to pay the federal government the costs o f any imprisonment, term o f supervised release, and period of probation. 2. Plea Your client understands and acknowledges that this Agreement and any plea of guilty which your client may enter pursuant to this Agreement are contingent upon the entry o f a guilty plea by the defendant in this case. If your client fails to enter a guilty plea, this Agreement and any proceedings pursuant to this Agreement may be withdrawn or voided in whole or in part at the option o f this Office. 3. Factual Stipulations Your client agrees that the attached Statement of the Offense fairly and accurately describes your client’s actions and involvement in the offense to which your client is pleading guilty. Please have your client sign and return the Statement o f the Offense as a written proffer o f evidence, along with this Agreement. 4. Additional Charges In consideration o f your client’s guilty plea to the above offense, your client will not be further prosecuted criminally by this Office for the conduct set forth in the attached Statement of the Offense, for any other false statements made by him to the Office on November 3 and December 1, 2017, any destruction, deletion, and withholding o f documents and evidence in connection with requests by this Office or his law firm, and any violations o f the Foreign Agent Registration Act or other law arising from the preparation and/or roll out of the Tymoshenko report for the Ukraine Ministry o f Justice. 5. Sentencing Guidelines Analysis Your client understands that the sentence in this case will be determined by the Court, pursuant to the factors set forth in 18 U.S.C. § 3553(a), including a consideration o f the applicable guidelines and policies set forth in the Sentencing Guidelines. Pursuant to Federal Rule of Criminal Procedure 11 (c)( 1)(B), and to assist the Court in determining the appropriate sentence, the parties agree to the following: A. Estimated Offense Level Under the Guidelines The parties agree that the following Sentencing Guidelines sections apply: U.S.S.G. §2B 1.1(a)(2) B. Base Offense Level: 6 Total: 6 Acceptance of Responsibility The Government agrees that a 2-level reduction will be appropriate, pursuant to U.S.S.G. § 3E1.1, provided that your client clearly demonstrates acceptance o f responsibility, to the satisfaction of the Government, through your client’s allocution, adherence to every provision of this Agreement, and conduct between entry o f the plea and imposition o f sentence. Nothing in this Agreement limits the right o f the Government to seek denial o f the adjustment for acceptance o f responsibility, pursuant to U.S.S.G. § 3E1.1, and/or imposition of an adjustment for obstruction o f justice, pursuant to U.S.S.G. § 3C1.1, regardless of any agreement set forth above, should your client move to withdraw your client’s guilty plea after it is entered, or should it be determined by the Government that your client has either (a) engaged in conduct, unknown to the Government at the time o f the signing o f this Agreement, that constitutes obstruction o f justice, (b) engaged in additional criminal conduct after signing this Agreement, or (c) taken any other action inconsistent with acceptance of responsibility. In accordance with the above, the applicable Guidelines Offense Level will be at least 4. C. Estimated Criminal History Category Based upon the information now available to this Office, your client has no criminal convictions. Accordingly, your client is estimated to have zero criminal history points and your client’s Criminal History Category is estimated to be I. Your client acknowledges that if additional convictions are discovered during the pre-sentence investigation by the United States Probation Office, your client’s criminal history points may increase. D. Estimated Applicable Guidelines Range Based upon the agreed total offense level and the estimated criminal history category set forth above, your client’s estimated Sentencing Guidelines range is zero months to six months’ imprisonment (the “Estimated Guidelines Range”). In addition, the parties agree that, pursuant to U.S.S.G. § 5E1.2, should the Court impose a fine, at Guidelines level 4, the estimated applicable fine range is $500 to $9,500. Your client reserves the right to ask the Court not to impose any applicable fine. The parties agree that, solely for the purposes o f calculating the applicable range under the Sentencing Guidelines, a downward departure from the Estimated Guidelines Range set forth above is not warranted. Accordingly, the defendant will not seek any departure or adjustment to the Estimated Guidelines Range, nor will he suggest that the Court consider such a departure or adjustment, except as provided above. Moreover, your client understands and acknowledges that the Estimated Guidelines Range agreed to by the parties is not binding on the Probation Office or the Court. Should the Court determine that a different guidelines range is applicable, your client will not be permitted to withdraw your client’s guilty plea on that basis, and the Government and your client will still be bound by this Agreement. Your client understands and acknowledges that the terms o f this section apply only to conduct that occurred before the execution o f this Agreement. Should your client commit any conduct after the execution o f this Agreement that would form the basis for an increase in your client’s base offense level or justify an upward departure (examples of which include, but are not limited to, obstruction o f justice, failure to appear for a court proceeding, criminal conduct while pending sentencing, and false statements to law enforcement agents, the probation officer, or the Court), the Government is free under this Agreement to seek an increase in the base offense level based on that post-agreement conduct. 6. A greem ent as to Sentencing Allocution Based upon the information known to the Government at the time of the signing o f this Agreement, the parties further agree that a sentence within the Estimated Guidelines Range would constitute a reasonable sentence in light o f all o f the factors set forth in 18 U.S.C. § 3553(a), should such a sentence be subject to appellate review notwithstanding the appeal waiver provided below. 7. Reservation of Allocution The Government and your client reserve the right to describe fully, both orally and in writing, to the sentencing judge, the nature and seriousness o f your client’s misconduct, including any misconduct not described in the charges to which your client is pleading guilty. The parties also reserve the right to inform the presentence report writer and the Court of any relevant facts, to dispute any factual inaccuracies in the presentence report, and to contest any matters not provided for in this Agreement. In the event that the Court considers any Sentencing Guidelines adjustments, departures, or calculations different from any agreements contained in this Agreement, or contemplates a sentence outside the Guidelines range based upon the general sentencing factors listed in 18 U.S.C. § 3553(a), the parties reserve the right to answer any related inquiries from the Court. In addition, if in this Agreement the parties have agreed to recommend or refrain from recommending to the Court a particular resolution o f any sentencing issue, the parties reserve the right to full allocution in any post-sentence litigation. The parties retain the full right o f allocution in connection with any post-sentence motion which may be filed in this matter and/or any proceeding(s) before the Bureau o f Prisons. In addition, your client acknowledges that the Government is not obligated and currently does not intend to file any post-sentence downward departure motion in this case pursuant to Rule 35(b) of the Federal Rules o f Criminal Procedure. 8. Court Not Bound by this Agreement or the Sentencing Guidelines Your client understands that the sentence in this case will be imposed in accordance with 18 U.S.C. § 3553(a), upon consideration o f the Sentencing Guidelines. Your client further understands that the sentence to be imposed is a matter solely within the discretion o f the Court. Your client acknowledges that the Court is not obligated to follow any recommendation o f the Government at the time o f sentencing or to grant a downward departure based on your client’s substantial assistance to the Government, even if the Government files a motion pursuant to Section 5K1.1 o f the Sentencing Guidelines. Your client understands that neither the Government’s recommendation nor the Sentencing Guidelines are binding on the Court. Your client acknowledges that your client’s entry of a guilty plea to the charged offense authorizes the Court to impose any sentence, up to and including the statutory maximum sentence, which may be greater than the applicable Guidelines range. The Government cannot, and does not, make any promise or representation as to what sentence your client will receive. Moreover, it is understood that your client will have no right to withdraw your client’s plea of guilty should the Court impose a sentence that is outside the Guidelines range or if the Court does not follow the Government’s sentencing recommendation. The Government and your client will be bound by this Agreement, regardless o f the sentence imposed by the Court. Any effort by your client to withdraw the guilty plea because of the length of the sentence shall constitute a breach o f this Agreement. 9. W aivers A. Venue Your client waives any challenge to venue in the District of Columbia. B. Statute of Limitations Your client agrees that, should the conviction following your client’s plea of guilty pursuant to this Agreement be vacated for any reason, any prosecution, based on the conduct set forth in the attached Statement of the Offense, that is not time-barred by the applicable statute of limitations on the date o f the signing o f this Agreement (including any counts that the Government has agreed not to prosecute or to dismiss at sentencing pursuant to this Agreement) may be commenced or reinstated against your client, notwithstanding the expiration o f the statute o f limitations between the signing of this Agreement and the commencement or reinstatement of such prosecution. It is the intent of this Agreement to waive all defenses based on the statute of limitations with respect to any prosecution o f conduct set forth in the attached Statement o f the Offense that is not time-barred on the date that this Agreement is signed. C. Trial Rights Your client understands that by pleading guilty in this case your client agrees to waive certain rights afforded by the Constitution of the United States and/or by statute or rule. Your client agrees to forego the right to any further discovery or disclosures o f information not already provided at the time o f the entry o f your client’s guilty plea. Your client also agrees to waive, among other rights, the right to be indicted by a Grand Jury, the right to plead not guilty, and the right to a jury trial. If there were a jury trial, your client would have the right to be represented by counsel, to confront and cross-examine witnesses against your client, to challenge the admissibility o f evidence offered against your client, to compel witnesses to appear for the purpose o f testifying and presenting other evidence on your client’s behalf, and to choose whether to testify. If there were a jury trial and your client chose not to testify at that trial, your client would have the right to have the jury instructed that your client’s failure to testify could not be held against your client. Your client would further have the right to have the jury instructed that your client is presumed innocent until proven guilty, and that the burden would be on the United States to prove your client’s guilt beyond a reasonable doubt. If your client were found guilty after a trial, your client would have the right to appeal your client’s conviction. Your client understands that the Fifth Amendment to the Constitution of the United States protects your client from the use o f compelled self-incriminating statements in a criminal prosecution. By entering a plea o f guilty, your client knowingly and voluntarily waives or gives up your client’s right against compelled self-incrimination. Your client acknowledges discussing with you Rule 11(f) o f the Federal Rules of Criminal Procedure and Rule 410 of the Federal Rules o f Evidence, which ordinarily limit the admissibility o f statements made by a defendant in the course o f plea discussions or plea proceedings if a guilty plea is later withdrawn. Your client knowingly and voluntarily hereby waives the rights that arise under these rules, or from the proffer agreement dated December 1, 2017, to object to the Government’s use o f all statements by him to the government on and after November 3, 2017, in the event your client breaches this Agreement, withdraws his guilty plea, or seeks to withdraw from this Agreement after signing it. Your client also agrees to waive all constitutional and statutory rights to a speedy sentence and agrees that the plea of guilty pursuant to this Agreement will be entered at a time decided upon by the parties with the concurrence o f the Court. Your client understands that the date for sentencing will be set by the Court. Your client agrees not to accept remuneration or compensation o f any sort, directly or indirectly, for the dissemination of information through any means, including but not limited to books, articles, speeches, blogs, podcasts, and interviews, however disseminated, regarding his work for his employer (Law Firm A) as it relates to its work for the Ukraine Ministry of Justice, the events alleged in the Information and Statement o f Facts, or the investigation by the Office or prosecution of any criminal or civil cases against him. D. Appeal Rights Your client understands that federal law, specifically 18 U.S.C. § 3742, affords defendants the right to appeal their sentences in certain circumstances. Your client agrees to waive the right to appeal the sentence in this case, including but not limited to any term of imprisonment, fine, forfeiture, award o f restitution, term or condition o f supervised release, authority of the Court to set conditions o f release, and the manner in which the sentence was determined, except to the extent the Court sentences your client above the statutory maximum or guidelines range determined by the Court or your client claims that your client received ineffective assistance o f counsel, in which case your client would have the right to appeal the illegal sentence or above-guidelines sentence or raise on appeal a claim o f ineffective assistance ’ o f counsel, but not to raise on appeal other issues regarding the sentencing. In agreeing to this waiver, your client is aware that your client’s sentence has yet to be determined by the Court. Realizing the uncertainty in estimating what sentence the Court ultimately will impose, your client knowingly and willingly waives your client’s right to appeal the sentence, to the extent noted above, in exchange for the concessions made by the Government in this Agreement. E. C ollateral A ttack Your client also waives any right to challenge the conviction entered or sentence imposed under this Agreement or otherwise attempt to modify or change the sentence or the manner in which it was determined in any collateral attack, including, but not limited to, a motion brought under 28 U.S.C. § 2255 or Federal Rule of Civil Procedure 60(b), except to the extent such a motion is based on newly discovered evidence or on a claim that your client received ineffective assistance o f counsel. Your client reserves the right to file a motion brought under 18 U.S.C. § 3582(c)(2), but agrees to waive the right to appeal the denial o f such a motion. F. Privacy Act and FOIA Rights Your client also agrees to waive all rights, whether asserted directly or by a representative, to request or receive from any department or agency o f the United States any records pertaining to the investigation or prosecution o f this case, including and without limitation any records that may be sought under the Freedom o f Information Act, 5 U.S.C. § 552, or the Privacy Act, 5 U.S.C. § 552a, for the duration o f the Office’s investigation. 10. Restitution Your client understands that the Court has an obligation to determine whether, and in what amount, mandatory restitution applies in this case under 18 U.S.C. § 3663A. The Government and your client agree that mandatory restitution does not apply in this case. 11. Immigration Consequences Your client recognizes that because your client is not a citizen o f the United States, your client’s guilty plea and conviction make it very likely that your client’s deportation from the United States is presumptively mandatory and that, at a minimum, your client is at risk o f being deported or suffering other adverse immigration consequences. Your client acknowledges discussing the possible immigration consequences (including deportation) o f this guilty plea and conviction with you. Your client affirms that your client wants to plead guilty regardless of any immigration consequences that may result from the guilty plea and conviction, even if those consequences include deportation from the United States. It is agreed that your client will have no right to withdraw this guilty plea based on any actual or perceived adverse immigration consequences (including deportation) resulting from the guilty plea and conviction. It is further agreed that your client will not challenge your client’s conviction or sentence on direct appeal, or through litigation under 28 U.S.C §§ 2255 and/or 2241, on the basis o f any actual or perceived adverse immigration consequences (including deportation) resulting from your client’s guilty plea and conviction. 12. Breach of Agreement Your client understands and agrees that, if after entering this Agreement, your client fails specifically to perform or to fulfill completely each and every one of your client’s obligations under this Agreement, or engages in any criminal activity prior to sentencing (even if discovered by the Government after sentencing), your client will have breached this Agreement. In the event of such a breach: (a) the Government will be free from its obligations under this Agreement; (b) your client will not have the right to withdraw the guilty plea; (c) your client will be fully subject to criminal prosecution for any other crimes, including perjury and obstruction of justice; and (d) the Government will be free to use against your client, directly and indirectly, in any criminal or civil proceeding, all statements made by your client and any of the information or materials provided by your client, including such statements, information and materials provided pursuant to this Agreement or during the course o f any proffer sessions conducted before or after entry o f this Agreement, whether or not the debriefings were previously characterized as “off-the-record” debriefings, and including your client’s statements made during proceedings before the Court pursuant to Rule 11 of the Federal Rules o f Criminal Procedure. Your client understands and agrees that the Government shall be required to prove a breach o f this Agreement only by a preponderance o f the evidence, except where such breach is based on a violation of federal, state, or local criminal law, which the Government need prove only by probable cause in order to establish a breach of this Agreement. Nothing in this Agreement shall be construed to permit your client to commit perjury, to make false statements or declarations, to obstruct justice, or to protect your client from prosecution for any crimes not included within this Agreement or committed by your client after the execution of this Agreement. Your client understands and agrees that the Government reserves the right to prosecute your client for any such offenses. Your client further understands that any perjury, false statements or declarations, or obstruction o f justice relating to your client's obligations under this Agreement shall constitute a breach o f this Agreement. In the event of such a breach, your client will not be allowed to withdraw your client's guilty plea. 13. Complete Agreement Other than a proffer agreement dated December 1, 2017, no agreements, promises, understandings, or representations have been made by the parties or their counsel other than those contained in writing herein, nor will any such agreements, promises, understandings, or representations be made unless committed to writing and signed by your client, defense counsel, and the Office. The proffer agreement is superseded as noted herein if the Agreement is breached. Your client further understands that this Agreement is binding only upon the Office. This Agreement does not bind any United States Attorney’s Office, nor does it bind any other state, local, or federal prosecutor. It also does not bar or compromise any civil, tax, or administrative claim pending or that may be made against your client. If the foregoing terms and conditions are satisfactory, your client may so indicate by signing this Agreement and the Statement o f the Offense, and returning both to me no later than February 14, 2018. Sincerely yours, ROBERT S. MUELLER, III Kyle Freeny Brian M. Richardson Senior/Assistant Special Counsels The Special Counsel ?5 Of?ce DEFENDANT’S ACCEPTANCE I have read every page of this Agreement and have discussed it with my attorneys, William Schwartz and Laura Grossfield Birger. I fully understand this Agreement and agree to it without reservation. [ do this voluntarily and of my own free will, intending to be legally bound. No threats have been made to me nor am I under the influence of anything that could impede my ability to understand this Agreement fully. I am pleading guilty because I am in fact guilty of the offense identified in this Agreement. I reaffirm that absolutely no promises, agreements, understandings, or conditions have been made or entered into in connection with my decision to plead guilty except those set forth in this Agreement. I am satisfied with the legal services provided by my attorneys in connection with this Agreement and matters related to it. Alex van der Zwaan Defendant ATTORNEYS’ ACKNOWLEDGMENT I have read every page of this Agreement, reviewed this Agreement with my client, Alex van der Zwaan, and fully discussed the provisions of this Agreement with my client. These pages accurately and completely set forth the entire Agreement. I concur in my client’s desire to plead guilty as set forth in this Agreement. Date: William Schwartz Attorney for Defendant Laura Grossfield Birger Attorney for Defendant DEFENDANT’S ACCEPTANCE I have read every page o f this Agreement and have discussed it with my attorneys, William Schwartz and Laura Grossfield Birger. I fully understand this Agreement and agree to it without reservation. I do this voluntarily and o f my own free will, intending to be legally bound. No threats have been made to me nor am I under the influence o f anything that could impede my ability to understand this Agreement fully. I am pleading guilty because I am in fact guilty o f the offense identified in this Agreement. I reaffirm that absolutely no promises, agreements, understandings, or conditions have been made or entered into in connection with my decision to plead guilty except those set forth in this Agreement. I am satisfied with the legal services provided by my attorneys in connection with this Agreement and matters related to it. Date: Alex van der Zwaan Defendant ATTORNEYS’ ACKNOWLEDGMENT I have read every page o f this Agreement, reviewed this Agreement with my client, Alex van der Zwaan, and fully discussed the provisions o f this Agreement with my client. These pages accurately and completely set forth the entire Agreement. I concur in my client’s desire to UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLUMBIA UNITED STATES OF AMERICA Criminal No.: Violation: 18U.S.C. § 1001 (a)(2) (False Statements) v. ALEX VAN DER ZWAAN, Defendant. STATEMENT OF THE OFFENSE Pursuant to Federal Rule o f Criminal Procedure 11, the United States o f America and the defendant, ALEX VAN DER ZWAAN, stipulate and agree that the following facts are true and accurate. These facts do not constitute all of the facts known to the parties concerning the charged offense; they are being submitted to demonstrate that sufficient facts exist that the defendant committed the offense to which he is pleading guilty. 1. At all relevant times herein, the Special Counsel’s Office had an open investigation into Paul J. Manafort, Jr. and Richard W. Gates III in connection with, among other things, their work in the United States on behalf o f foreign principals as to which they had not registered under the Foreign Agents Registration Act (FARA). The investigation encompassed United States lobbying and public relations work on behalf of the Ukraine Ministry o f Justice in 2012, including the dissemination to the United States media and others of a report written by an international law firm (Law Firm A) concerning the trial o f Yulia Tymoshenko (the Report). On October 27, 2017, arising in part from this investigation, a Grand Jury indicted Manafort and Gates, among other things, for acting as unregistered agents o f a foreign principal in violation of FARA, 22 U.S.C. §§ 615 and 618(a)(1). The indictment was unsealed on October 30, 2017. 2. The defendant, ALEX VAN DER ZWAAN, was an English lawyer associated with Law Firm A. He had worked on the Report. 3. On November 3, 2017, in Washington, D.C., VAN DER ZWAAN was interviewed by the Special Counsel’s Office, including Department o f Justice prosecutors and Special Agents of the Federal Bureau o f Investigation. He was represented by counsel. He was warned that intentionally false statements to the Office could subject him to criminal charges. He indicated that he understood. 4. VAN DER ZWAAN thereafter made materially false statements during the interview. 5. During the November 3, 2017, interview, VAN DER ZWAAN knowingly and intentionally falsely stated the following: a. his last communication with Gates was in mid-August 2016, which consisted o f an innocuous text message; b. his last communication with a longtime business associate o f Manafort and Gates in Ukraine (Person A) was in 2014, when he talked with Person A about Person A ’s family; and c. he did not know why Law Firm A had not produced to the Special Counsel’s Office a September 2016 e-mail between him and Person A. 6. In truth and in fact, VAN DER ZWAAN well knew and believed the following facts, when he made each o f the above statements: a. In or about September 2016, VAN DER ZWAAN spoke with both Gates and Person A regarding the Report. In early September 2016, Gates called VAN DER ZWAAN and told him to contact Person A. After the 2 call, Gates sent VAN DER ZWAAN documents including a preliminary criminal complaint in Ukraine via an electronic application called Viber. VAN DER ZWAAN then called Person A and discussed in Russian that formal criminal charges might be brought against a former Ukrainian Minister o f Justice, Law Firm A. and Manafort. VAN DER ZWAAN recorded the call. VAN DER ZWAAN then called the senior partner on the Report at I,aw Firm A and partially recorded that call. Finally, VAN DER ZWAAN called Gates and recorded the call. VAN DER ZWAAN also took notes of the calls. b. Prior to the November 3, 2017, interview, VAN DER ZWAAN did not produce to Law Firm A and deleted and otherwise did not produce emails he possessed that he understood had been requested by either the Special Counsel’s Office or Law Firm A, or both, including an email in Russian dated September 12, 2016 in which Person A asked VAN DER ZWAAN to contact Person A and to use an encrypted application. 7. During the November 3, 2017, interview, VAN DER ZWAAN stated that he played a passive role in the roll out o f the Report, limited to defending the Report to ensure Law Firm A ’s work was properly portrayed. However, in or about late July-early August 2012, VAN DER ZWAAN gave, without authorization, an advance draft of the Report to the public relations firm retained by the Ukraine Ministry o f Justice to manage the global press and lobbying strategy for the Report, and in September 2012 provided Gates talking points for use in the public relations campaign as to how to describe the Report in ways favorable to the client. For instance, VAN DER ZWAAN advised that the text o f the Report could be used to Ukraine’s advantage if 3 one looked beyond the Report’s description of “procedural” infractions in Tymoshenko’s trial and focused instead on the fact that her defense was weak, ROBERT S. MUELLER, III Greg Donald Andres Kyle Freeny Brian M, Richardson Senior/Assistant Special Counsel 4 DEFENDANT’S ACCEPTANCE The preceding statement is a summary, made for the purpose o f providing the Court with a factual basis for my guilty plea to the charge against me. It does not include all of the facts known to me regarding this offense. I make this statement knowingly and voluntarily and because I am, in fact, guilty of the crime charged. No threats have been made to me nor am I under the influence o f anything that could impede my ability to understand this Statement o f the Offense fully. I have read every word o f this Statement o f the Offense, or have had it read to me. Pursuant to Federal Rule o f Criminal Procedure 11, after consulting with my attorneys, I agree and stipulate to this Statement o f the Offense, and declare under penalty o f perjury that it is true and correct. I am fully satisfied with the legal representation I have received in connection with this plea. Date: Alex van der Zwaan Defendant ATTORNEYS’ ACKNOWLEDGMENT 1 have read this Statement o f the Offense, and have reviewed it with my client fully. I concur in my client’s desire to adopt and stipulate to this Statement o f the Offense as true and accurate. Attorney for Defendant 5 DEFENDANT’S ACCEPTANCE The preceding statement is a summary, made for the purpose of providing the Court with a factual basis for my guilty plea to the charge against me. It does not include all of the facts known to me regarding this offense. I make this statement knowingly and voluntarily and because I am, in fact, guilty of the crime charged. No threats have been made to me nor am I under the influence of anything that could impede my ability to understand this Statement of the Offense fully. I have read every word of this Statement of the Offense, or have had it read to me. Pursuant to Federal Rule of Criminal Procedure 11, after consulting with my attorneys, I agree and stipulate to this Statement of the Offense, and declare under penalty of perjury that it is true and correct. I am fully satisfied with the legal representation I have received in connection with this plea. Date: /<*- £ o /g Alex van der Zwaan Defendant ATTORNEYS’ ACKNOWLEDGMENT I have read this Statement of the Offense, and have reviewed it with my client fully. I concur in my client’s desire to adopt and stipulate to this Statement of the Offense as true and accurate. Date: William Schwartz Attorney for Defendant Laura Grossfield Birger Attorney for Defendant 5