Case 5:18-cr-00259-BLF Document 1 Filed 06/14/18 Page 1 of 16 18 00259 3Lh Nc UNITED STATES DISTRICT^COURT NORTHERN DISTRICT OF CALIFORNIA SANJOSE DIVISION THE UNITED STATES OF AMERKA? ^ vs. JUN KATHERINEMOGAL, ^...,, ­ Z018 ANA ROS ARIO, PATRICK NARRON, PATRICIOROIVfANO, C'. RONG "AUDREY" ZHANG, and JING QUI "GEE" WEIDEN, INDICTMENT COUNTS ONE THROUGH FOURTEEN: (18 U.S.C. § 1832(a)(3) ­ Possession of Stolen Trade Secrets) A true bill Foreperson Filedin onm co^ir^hiSjL ^ Bail $ "i.N. day ov^ '^UnitedStatesMagistrateJudge Case Document 1 Filed 06/14/18 Page 2 of 16 ALEX G. TSE (CABN 152348) Acting United States Attorney UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF CALIFORNIA UNITED STATES OF Plaintiff, V. KATHERINE MOGAL, ANA ROSARIO, PATRICK NARRON, PATRICIO ROMANO, RONG ZHANG, and JING WEIDEN, Defendants. The Grand Jury charges: NC n259 Case No. VIOLATIONS: Title 18, United States Code, Section 1832(a)(3) Possession of Stolen Trade Secrets; Title 18, United States Code, Sections 1834 and 2323 Criminal Forfeiture SAN JOSE VENUE INDICTMENT INTRODUCTORY ALLEGATIONS 1. Between on or about 1998 and on or about July 2017, AliphCom, 1110., d.b.a. Jawbone? awbone?) designed, manufactured, and sold wearable electronic devices, ?tness trackers, and wireless speakers in interstate and international commerce. Jawbone was headquartered in San Francisco, California, and maintained an of?ce in Sunnyvale, California, with approximately 300 employees worldwide. 2. Fitbit, Inc. (?Fitbit?), a publicly traded company since June 18, 2015, described itself INDICTMENT Case Document 1 Filed 06/14/18 Page 3 of 16 in promotional materials as the ?leading global wearables brand? and being in the business of ?design[ing] products and experiences that track and provide motivation for everyday health and ?tness.? Fitbit was headquartered in San Francisco, California, and had over 1000 employees worldwide. 3. Katherine MOGAL a resident of San Francisco County, California, was employed at Jawbone as the Director of Market and Customer Experience Insights. She was hired by Jawbone on or about July 17, 2013, and signed an employment agreement with Jawbone which contained a con?dentiality clause. On or about March 13, 2015, MOGAL received an offer of employment from Fitbit, which she accepted. MOGAL resigned ?'om Jawbone on March 17, 2015, and signed a certi?cation stating she had returned all Jawbone property. 4. Ana ROSARIO a resident of San Mateo County, California, was employed at Jawbone as Design and User Researcher. She was hired by Jawbone on or about April 22, 2014, and signed an employment agreement with Jawbone which contained a con?dentiality clause. On or about April 17, 2015, ROSARIO received an offer of employment from Fitbit, which she accepted. ROSARIO resigned from Jawbone on April 23, 2015, and signed a certi?cation stating she had returned all Jawbone property. 5. Patrick NARRON a resident of Santa Cruz County, California, was employed at Jawbone as a Senior Audio Engineer. He was hired by Jawbone on or about August 29, 2011, and signed an employment agreement with Jawbone which contained a con?dentiality clause. On or about April 5, 2015, NARRON received an offer of employment from Fitbit, which he accepted. NARRON resigned from Jawbone on April 22, 2015, and signed a certi?cation stating he had returned all Jawbone property. 6. Patricio ROMANO a resident of Los Angeles County, California, was employed at Jawbone as a Product Design Engineer. He was hired by Jawbone on or about November 11, 2013, and signed an employment agreement with Jawbone which contained a con?dentiality clause. On or about March 13, 2015, ROMANO received an offer of employment from Fitbit, which he accepted. ROMANO resigned from Jawbone on March 17, 2015, and signed a certi?cation stating he had returned all Jawbone property. IN DICTMENT 2 Case Document 1 Filed 06/14/18 Page 4 of 16 7. Rong ?Audrey? ZHANG a resident of Contra Costa County, California, was employed at Jawbone as a Senior Supply Chain Manager. She was hired by Jawbone on or about July 23, 2012, and signed an employment agreement with Jawbone which contained a con?dentiality clause. On or about March 23, 2015, received an offer of employment from Fitbit, which she accepted. ZHANG resigned from Jawbone on April 5, 2015, but refused to sign a certi?cation stating she had returned all Jawbone property. 8. Jing Qui ?Gee? WEIDEN a resident ofSanta Clara County, California, was employed at Jawbone as an Engineering Product Manager. She was hired by Jawbone on or about May 20, 201 1, and signed an employment agreement with Jawbone which contained a con?dentiality 132.8 0 clause. WEIDEN resigned from Jawbone on March 21, 2014, and signed a ceitification statingshe had returned all Jawbone property. WEIDEN began working at Fitbit in or about November 2014. 9. The technology and information at issue involved the research, development, production, and sale of personal health tracking devices and other ?wearable? electronic devices. Jawbone?s Trade Secrets 10. Jawbone?s internal computer systems and cloud storage applications used secure, password-protected repositories to store its documents, with access available to employees in the course oftheirjob responsibilities as authenticated by a Windows login. These secure Jawbone repositories contained trade secrets, as defined in Title 18, United States Code, Section 1839(3), including the following: a. Audio New Study (?Trade Secret Jawbone?s proprietary and confidential qualitative survey conducted of users of small?form speaker products, describing the results of inquiries into timing and location of small speakers, threshold of convenience for use of an external Speaker versus an internal device Speaker, and other factors affecting a user?s decision to purchase a speaker. The study, which had been professionally designed, implemented, and summarized at considerable expense, was part ofJawbone?s overall concentration on and investment in research and development, and contained substantial proprietary and con?dential information, including but not limited to a roadmap for future steps and product development INDICTMENT 3 WOO-Case Document 1 Filed 06/14/18 Page 5 of 16 based on the research conclusions. Only authorized team members had access to the study, and limitations were placed on the use and copying of the study. Chinese User Market Study (?Trade Secret awbone?s proprietary and con?dential multi-faceted study of Chinese consumers, providing highly speci?c information about users? motivations, in?uences, desired features, brand preferences, reasons for purchasing ?tness trackers, and shopping methodologies. The 53-page document is marked with a legend specifying it to be ?proprietary and confidential,? and contains a significant volume of information, both quantitative and qualitative, about users in one of the world?s most important consumer markets. Only authorized team members had access. to the study, and limitations were placed on the use and copying of the study. Vendor And Pricing Information For International Suppliers (?Trade Secret Lists and schedules of Jawbone?s vendors who have been determined to be, through trial and error, capable of providing reliable services and products, including but not limited to printed circuit board fabrication, labor, materials, components, and other services involving specialized skills or equipment, and corresponding pricing information. Further, Jawbone had, over the course of many years, negotiated extensively to obtain competitive price quotes from these vendors for the delivery of specialized and unique prototypes of new products in development. Schematics, Design Speci?cations, And Detailed Description Of Unreleased Fitness Headphone (?Trade Secret As part of its research and development of a project code named ?Heisenberg,? emails, drawings, and other ?les detailing the speci?c combination of sensors to be integrated into awbone?s unreleased ?tness headphones product, including gyroscopes, accelerometers, magnetometers, an Optical heart-rate monitor, and microphones on each ear piece. Such data was highly proprietary, represented a multi-million dollar investment into research and design, and was a critical part of awbone?s historical strategic advantage in headphones and speakers over its competitors, particularly Fitbit, which in 2015 did not have any headphone or audio products for sale to consumers. Emails, Presentations, And Design Documents Related To Heisenberg Headphones (?Trade Secret Documents containing the specific features Jawbone intended to include INDICTMENT 4 Case Document 1 Filed 06/14/18 Page 6 of 16 in its unreleased ?tness Heisenberg Headphone product, including its audio features, advanced tracking features, and lifestyle coaching. Three?Dimensional Drawing 0f HRM And Driver Locations And Heisenberg Sensor Boards Schematics (?Trade Secret Drawings containing the layout and design of components and circuits to be included in the unreleased Heisenberg headphones in order to optimize functionality, stability, and battery life. . Internal Email And Attachment Regarding Heisenberg CAD (?Trade Secret A Computer?aided Design ?le containing the settings, technical speci?cations, and features for the heart rate monitor to be included in the unreleased Heisenberg headphones, which provided the ability to adjust sampling frequency and intensity of the optical monitor to determine heart rate accurately while minimizing the extent of power consumption. . Jawbone NPI COGS Refresh And Supporting Spreadsheet With Unit Profit And Loss Forecast (?Trade Secret awbone?s detailed ?nancial data specifying product costs, margins, and action plans for multiple Jawbone products sold in interstate and foreign commerce. Spitz Parts, Material, Process, Site/Vendor, Cosmetic, Volume, And Pricing Spreadsheet (?Trade Secret Data, photos, and analyses speci?cally re?ecting Jawbone?s costs, including its cost of goods sold and its liabilities to manufacturers, suppliers, or vendors for the ?Spitz? waterproof version of awbone?s wearable ?tness tracker. Daily Diary Study (?Trade Secret A joumal-based qualitative study with 18 participants who used both awbone?s UP24 electronic ?tness tracker and Fitbit wristbands, seeking to understand how users interact with wearable devices, assessing users? needs, goals, and perceptions. This comprehensive study of user preferences, particularly in the comparison between Jawbone and Fitbit products, was a ?Foundational? document for Jawbone. . User Segmentation Study (?Trade Secret A quantitative study of over 1400 Jawbone users inquiring into users? backgrounds, reasons for purchasing ?tness trackers, interest in health and ?tness, and motivation. Containing the legend ?Proprietary and Con?dential,? this study was the starting point of subsequent efforts by Jawbone to de?ne user personas and INDICTMENT 5 Case Document 1 Filed 06/14/18 Page 7 of 16 archetypes to better understand market segmentation to develop and produce for sale more speci?c, targeted products beyond basic unitary features. Information contained in this 73-page document served as the basis for much of Jawbone?s product roadmap, and had signi?cant economic value to Jawbone. 1. Lifestyle Tracker Shopper Journey Study (?Trade Secret A quantitative study of ?tness tracker owners, inquiring into users? desired features, shopping research, familiarity with various brands and products, motivation to use a tracker device. This document contained information on user comparisons between Jawbone and Fitbit. m. International Tracker Market Study (?Trade Secret A quantitative study of over 1500 European Jawbone users inquiring into users? expectations, desired features, reasons for purchasing ?tness trackers, and shopping methodology. n. Headphones Owner Survey and Workout Headphones Survey (?Trade Secret Quantitative surveys of headphone owners? demanded features, price sensitivities, and speci?c -. factors affecting consumers? use of headphones during exercise. COUNTS ONE THROUGH OURTEEN: (18 U.S.C. 1832(a)(3) Possession of Stolen Trade Secrets) 11. The factual allegations contained in Paragraphs 1 through 10 are incorporated here. 12. On dates unknown to the grand jury, but no later than the dates speci?ed below, and until approximately October 2015, in the Northern District of California and elsewhere, the defendants, KATHERINE MOGAL, ANA ROSARIO, PATRICK NARRON, PATRICIO ROMANO, RONG ZHANG, and JING QUI WEIDEN knowingly received and possessed the Jawbone trade secrets identi?ed below, knowing them to have been stolen and appropriated, obtained, and converted without authorization, with the intent to convert the trade secrets, which were related to and intended to be included in products to be produced for and placed in interstate and foreign commerce, to the economic bene?t of someone other than Jawbone, and TNDICTMENT 6 Case Document 1 Filed 06/14/18 Page 8 of 16 intending and knowing that the offense would injure Jawbone. Count Defendant(s) Jawbone Date Defendant Description Trade Resigned from Jawbone Secret One MOGAL A March 17, 2015 (Mogal) Audio New Study ROSARIO April 23, 2015 (Rosario) Two MOGAL March 17, 2015 (Mogal) Chinese User Market Study ROSARIO April 23, 2015 (Rosario) Three WEIDEN March 31, 2014 Vendor And Pricing Information For International Suppliers Four NARRON April 22, 2015(Narron) Schematics, Design ROMANO March 17, 2015 (Romano) Speci?cations, And Detailed Description Of Unreleased Fitness Headphone Five NARRON April 22, 2015 (Narron) Documents Containing Speci?c ROMANO March 17, 2015 (Romano) Features To Be Included In Heisenberg Fitness Headphone Product, Including Its Audio Features, Advanced Tracking Features, And Lifestyle Coaching Six ROMANO March 17, 2015 Three-Dimensional Drawing Of HRM And Driver Locations And Heisenberg Sensor Boards Schematics Seven ROMANO March 17, 2015 Internal Email And Attachment Regarding Heisenberg CAD Eight ZHANG April 5, 2015 Jawbone NPI COGS Refresh And Supporting Spreadsheet With Unit Pro?t And Loss Forecast Nine ZHANG I April 5, 2015 Spitz Parts, Material, Process, Site/Vendor, Cosmetic, Volume, And Pricing Spreadsheet INDICTMENT Case Document 1 Filed 06/14/18 Page 9 of 16 Count Defendant(s) Jawbone Date Defendant Description Trade Resigned from Jawbone Secret Ten MOGAL March 17, 2015 (Mogal) Daily Diary Study ROSARIO April 23, 2015 (Rosario) Eleven MOGAL March 17, 2015 (Mogal) User Segmentation Study ROSARIO April 23, 2015 (Rosario) Twelve MOGAL March 17, 2015 Lifestyle Tracker Shopper Journey Study Thirteen MOGAL March 17, 2015 International Tracker Market Study Fourteen ROSARIO April 23, 2015 Headphones Owner Survey And Workout Headphones Survey Each in violation of Title 18, United States Code, Section 1832(a)(3). FORFEITURE ALLEGATION: (18 U.S.C. 1834 and 2323 Proceeds and Property Involved in Theft of Trade Secrets) 13. The allegations contained in Counts 1 through 12 of this Indictment are hereby re?alleged and incorporated as if fully set forth here. Upon conviction of any of those offenses, the defendants, KATHERINE MOGAL, ANA ROSARIO, PATRICK NARRON, PATRICIO ROMANO, RONG ZHANG, and ING QUI WEIDEN, shall forfeit to the United States of America, pursuant to Title 18, United States Code, Sections 1834 and 2323, any property used, or intended to be used, in any manner or part to commit or facilitate the commission of the offenses, and any property constituting or derived from any proceeds obtained directly or indirectly as a result of the commission of the offenses. 14. If any of the property described above, as a result of any act or omission of the defendants: a. cannot be located upon the exercise of due diligence; INDICTMENT 8 Case Document 1 Filed 06/14/18 Page 10 of 16 b. has been transferred or sold to, or deposited with, a third party; (3. has been placed beyond the jurisdiction of the court; (1. has been substantially diminished in value; or e. has been commingled with other preperty which cannot be divided without difficulty, the United States of America shall be entitled to forfeiture of substitute property pursuant to Title 21, United States Code, Section 853(p), as incorporated by Title 18, United States Code, Section 2323(b). A11 pursuant to Title 18, United States Code, Sections 1834 and 2323. DATED: 101? \8 A T5113 BILL. ALEX G.TSE United on H. HEMANN Deputy Chief, Criminal Division (Approved as to form. INDICTMENT 9 Case Document 1 Filed 06/14/18 Page 11 of 16 A0 25? (Rev. 6/78) DEFENDANT INFORMATION RELATIVE TO A CRIMINAL ACTION - IN US. DISTRICT COURT ?l BY: CI COMPLAINT CI INFORMATION INDICTMENT Name of District Court. andror JudgeIMagistrate Location NORTHERN DISTRICT OF CALIFORNIA CHARGED SAN JOSE DIVISION COUNTS ONE and TWO and TEN-THIRTEEN: Petty 18 U.S.C. 1832(a)(3) Possession Of Stolen Trade Secrets MIMI DEFENDANT- U.S Misde- meanor Katherine ("Katy") Mogal ?my DISTRICT COURT NUMBER I33 18 U.S.C. 1832(a)(3) 10 years Imprisonment, $250,000 fine, $100 special assessment and 3 years' supervis release DEFENDANT PROCEEDING IS NOT IN CUSTODY Has not been arrested pending outcome this proceeding. Name of Complaintant Agency, or Person Title, if any) not detained give date any prior summons was served on aban Waseem Iqbal, DHS-HSI ED person is awaiting trial in another Federal or State Court, 2) Is a Fugitive give name of court Bail or Release from (show Dist Nan this person/proceeding is transferred from another district per (circle one) 20, 21. or 40. Show District IS IN CUSTODY 4) On this charge this is a reprosecution of charges previously dismissed 5) On another conviction which were dismissed on motion SHOW Federal State of. DOCKET NO. 6) Awaiting trial on othercharges DEFENSE . .A TORNEY . . . If answer to (6) is ?Yes", show name of InstItutIon this prosecution relates to a . If "Yes pending case involving this same Has detainer Yes give date defendant MAGISTRATE been ?led? No filed CASE NO. DATE OF ear prior proceedings or appearance(s) . before US. Magistrate regarding this ARREST defendant were recorded under Or.? if Arresting Agency Warrant were not Name and Of?ce of Person I DATE TRANSFERRED Montthay/Year Furnishing Information on this form ALEX G-TSEI Acting TO US CUSTODY US. Attorney Other US. Agency Name of Assistant US. This report amends A0 25? previously submitted Attorney (if assigned) Amie D. Rooney ADDITIONAL INFORMATION OR COMMENTS PROCESS: SUMMONS CI NO CI WARRANT Bail Amount: If Summons, complete following: Arraignment Initial Appearance Where defendant previously apprehended on complaint, no new summons or warrant needed, since Magistrate has scheduled arraignment Defendant Address: DateI'Time: July 9, 2018130 pm BBIOFB Judge: Virginia De Marchi Agent will be serving Summons A A 4) Comments: Case Document 1 Filed 06/14/18 Page 12 of 16 A0 257 (Rev. sna) DEFENDANT INFORMATION RELATIVE TO A CRIMINAL ACTION IN U.S. DISTRICT COURT BY: COMPLAINT INFORMATION INDICTMENT OFFENSE CHARGED COUNTS ONE, Two, TENELEVEN a FOURTEEN: Petty 18 U.S.C. 1832(aii3] Possession of Stolen Trade Secrets Minor meanor Felony 18 U. S. C. 1832i ia}(3) 10 years imprisonment $250 000 ?ne, $100 special assessment and 3 years? supervised release SUPERSEDING Name of District Court, andior Judge/Magistrate Location NORTHERN DISTRICT OF CALIFORNIA SAN JOSE DIVISION DEFENDANT U.S . Ana Rosario DISTRICT COURT NUMBER 25 9 NC DEFENDANT PROCEEDING Name of Complaintant Agency, or Person Title, if any) Waseem Iqbal, DHS-HSI I: person is awaiting trial in another Federal or State Court, give name of court this person/proceeding is transferred from another district per (circle one) 20, 21, or 40. Show District this is a reprosecution of charges previously dismissed which were dismissed on motion SHOW of DOCKET NO [1 us. ATTORNEY DEFENSE this prosecution relates to a pending case involving this same defendant MAGISTRATE prior proceedings or appearance(s) before US. Magistrate regarding this defendant were recorded under CASE NO. Name and Of?ce of Person Furnishing Information on this form ALEX 6- Acting US. Attorney Other US. Agency Name of Assistant US. Attorney (if assigned) Amie D. Rooney IS CUSTODY Has not been arrested, pending outcome this proceeding. If not detained give date any prior summons was served on above charges 2) Is a Fugitive 3) Is on Bail or Release from (show 74 2nfn None? NY M5300 IS IN CUSTODY IHEHN $35235 :Flr'gicgcounr On this charge ALIFORNIA 5) On another conviction Federal State 6) Awaiting trial on othercharges If answer to (6) is "Yes?, show name of institution If "Yes" give date Has detainer Yes been ?led? I: No ?led DATE OF . Month/DayI?Year ARREST ifArresting Agency Warrant were not DATE TRANSFERRED Month/Day/Year TO U.S. CUSTODY PROCESS: SUMMONS NO WARRANT if Summons, complete following: Arraignment [3 Initial Appearance Defendant Address: Comments: Agent will be serving Summons ADDITIONAL INFORMATION OR COMMENTS - Datei'Time: July 9, 2018 1:30 pm This report amends A0 25? previously submitted Bail Amount: Where defendant previously apprehended on compiaint, no new summons or warrant needed, since Magistrate has scheduied anaignment Before Judge: Virginia De Marchi 1- Case Document 1 Filed 06/14/18 Page 13 of 16 A0 257 (Rev. SHE) DEFENDANT INFORMATION RELATIVE TO A CRIMINAL ACTION - IN U.S. DISTRICT COURT BY: CI COMPLAINT CI INFORMATION INDICTMENT El SUPERSEDING OFFENSE CHARGED COUNTS FOUR-FIVE: Petty 18 U.S.C. 1832(ait3) Possession of Stolen Trade Secrets Minor Misde- meanor Felony Name of District Court, andior JudgeiMagistrate Location NORTHERN DISTRICT OF CALIFORNIA SAN JOSE DIVISION DEFENDANT U.S . Patrick Narron DISTRICT COURT NUMBER 18 U.S.C. 1832(a)(3) 10 years imprisonment, 5250:000 fine, $100 special assessment and 3 years? supervised release PENALTYDEFENDANT PROCEEDING Name of Complaintant Agency: or Person Title, if any) Waseem Iqbal, DHS-HSI person is awaiting trial in another Federal or State Court, give name of court El this personiproceeding is transferred from another district per (circle one) 20, 21. or 40. Show District CI this is a reprosecution of charges previously dismissed which were dismissed on motion I3 SHOW of: DOCKET NO. U.S.ATTORNEY DEFENSE this prosecution relates to a pending case involving this same defendant MAGISTRATE CASE NO. Name and Of?ce of Person Furnishing Information on this form ALEX G. TSE. Acting U.S. Attorney Other U.S. Agency prior proceedings or appearance(s) before U.S. Magistrate regarding this defendant were recorded under Name of Assistant U.S. Attorney (if assigned) Amie D. Rooney PROCESS: SUMMONs NO WARRANT If Summons, complete following: Arraignment Initial Appearance Defendant Address: Datei'Time: July 9, 2018 1:30 pm Comments: Agent will be serving Summons IS NOTIN CUSTODY Has not been arrested, pending outcome this proceeding. 1) If not detained give date any prior summons was served on above charges . 2) Is a Fugitive 3) Is on Bail or Reieas?n?olg?'o IS IN cusmoyv 0% SU if 076 4) On this Charge. THER?IIgssig/gg??le 7 Co ?"4359; dim/?Rt? 5) On another conviction Federal State 6) Awaiting trial on other charges lfanswer to (6) is "Yes", show name of institution Has detainer Yes givzzsate been ?led? No ?led DATE OF . Month/Daleear ARREST if Arresting Agency Warrant were not DATE TRANSFERRED MonthiDay/Year TO U.S. CUSTODY ADDITIONAL INFORMATION OR COMMENTS Bail Amount: Where defendant previousiy apprehended on complaint, no new summons or warrant needed, since Magistrate has scheduied arraignment This report amends A0 25? previously submitted Before Judge: Virginia De Marchi 7W lu?n?J Case Document 1 Filed 06/14/18 Page 14 of 16 A0 257 (Rev. 6i78) DEFENDANT INFORMATION RELATIVE TO A CRIMINAL ACTION - IN US. DISTRICT COURT BY: COMPLAINT El INFORMATION INDICTMENT SUPERSEDING OFFENSE CHARGED COUNTS FOUR-SEVEN: FEW 18 U.S.C. 1832(a)(3) Possession of Stolen Trade Secrets Minor Misde- meanor Felony 18 ?1832(a)(3) 10 years imprisonment $250,000 line, 5100 special assessment and 3 years? supe ise release - PENALTY: Name of District Court, andior Judge/Magistrate Location NORTHERN DISTRICT OF CALIFORNIA SAN JOSE DIVISION DEFENDANT - U.S . Patricio Romano gisreicDOt? gag 9 1TH DEFENDANT PROCEEDING Name of Complaintant Agency. or Person Title, if any) Waseem Iqbal, DHS-HSI person is awaiting trial in another Federal or State Court? El give name of court . this personiproceeding is transferred from another district El per (circle one) 20, 21, or 40. Show District this is a reprosecution of charges previously dismissed which were dismissed on motion SHOW Of DOCKET NO [3 US. ATTORNEY DEFENSE this prosecution relates to a pending case involving this same defendant MAGISTRATE prior proceedings or appearance(s) before US Magistrate regarding this defendant were recorded under CASE NO. Name and Of?ce of Person Furnishing Information on this form ALEX 6- TSE, ACting US. Attorney Other US. Agency Name of Assistant US. Attorney (if assigned) Amie D. Rooney IS NOTIN CUSTODY Has not been arrested pending outcome this proceeding. If not detained give date any prior summons was served on above charges 2) Is a Fugitive 3) Is on Bail or Release from(s aims Jim 1 IS IN CUSTODY 4) On this charge 5) On another conviction Federal State 6) El Awaiting trial on other charges If answer to (6) is "Yes", show name of institution if "Yes" give date Has detainer Yes been ?led? No ?le (1 DATE OF . Month/Day/Year ARREST if Arresting Agency Warrant were not DATE TRANSFERRED Montthay/Year TO u.s. CUSTODY PROCESS: SUMMONS NO WARRANT If Summons, complete following: Arraignment Initial Appearance Defendant Address: i . DateiTime: July 9, 20181530 pm Comments: Agent will be serving Summons ADDITIONAL INFORMATION OR COMMENTS This report amends A0 25? previously submitted Bail Amount: Where defendant previousiy apprehended on complaint, no new summons or warrant needed, since Magistrate has scheduied arraignment Before Judge: Virginia De Ma rchi Case Document 1 Filed 06/14/18 Page 15 of 16 A0 257 (Rev? en's) DEFENDANT INFORMATION RELATIVE TO A CRIMINAL ACTION - IN U.S. DISTRICT COURT BY: COMPLAINT INFORMATION INDICTMENT SUPERSEDING CHARGED COUNTS Petty 18 U.S.C. 1832(a)(3) Possession of Stolen Trade Secrets '3 Minor Misde- meanor Felony PENALTY: 18 U.S.C. 1832(a)(3) 10years imprisonment, . $250,000 ?ne, 5100 special assessment and 3 years? supervis 1 release *9 - - NC Name of District Court. and/or JudgeiM agisirate Location NORTHERN DISTRICT OF CALIFORNIA SAN JOSE DIVISION I. DEFENDANT - U.S . Rong ("Audrey") Zhang 4. DISTRICT COURT NUMBER 5: -.- DEFENDANT PROCEEDING Name of Complaintant Agency. or Person Title, if any) Waseem Iqbal, DHS-HSI person is awaiting trial in another Federal or State Court, CI give name of court this personlproceeding is transferred from another district per (circle one) 20, 21, or 40. Show District this is a reprosecution of Charges previously dismissed which were dismissed on motion SHOW of DOCKET NO U.S.ATTORNEY DEFENSE this prosecution relates to a pending case involving this same defendant MAGISTRATE CASE NO prior proceedings or appearance(s) before US. Magistrate regarding this defendant were recorded under Name and Of?ce of Person Furnishing Information on this form ALEX G. TSE, Acting US. Attorney Other US. Agency Name of Assistant US. IS NOTIN CUSTODY Has not been arrested pending outcome this proceeding. if not detained give date any prior summons was served on above charges 2) Is a Fugitive 3) Is on Bail or Release from (show District) Fl; EB IS IN CUSTODY 4) On this Charge I4 2018 - STRICT 5) On another C0nV Cth is?) COURT ta 6) Awaiting trial on other charges If answer to (6) is "Yes", show name of institution Has detainer Yes If. Yes been ?led? No all: date DATE OF MonthiDay/Year ARREST if Arresting Agency 8. Warrant were not DATE TRANSFERRED MOHIhiDayI?Year TO US. CUSTODY This report amends A0 257 previously submitted Attorney (if assigned) Amie D. Rooney ADDITIONAL INFORMATION OR COMMENTS PROCESS: SUMMONS NO WARRANT Bail Amount: If Summons, complete following: Arraignment Initial Appearance Where defendant previously apprehended on compiainr, no new summons or Defendant Address: Comments: Agent will be serving Summons warrant needed, since Magistrate has scheduied arraignment DatelTime: July 9, 2018 1:30 pm Before Judge: Virginia De Marchi Case Document 1 Filed 06/14/18 Page 16 of 16 A0 257 (Rev. 5(78) DEFENDANT INFORMATION RELATIVE TO A CRIMINAL ACTION - IN U.S. DISTRICT COURT BY: COMPLAINT INFORMATION INDICTMENT CHARGED SUPERSEDING COUNT TH REE: Petty 18 U.S.C. 1832(a)(3) Possession of Stolen Trade Secrets Inor Misde- meanor Felony PENALTY: 18 U.S.C. 1832(a)(3) 10 years imprisonment, $250,000 ?ne, $100 special assessment and 3 years? supervised release Name of District Court. andior JudgetMagistrate Location NORTHERN DISTRICT OF CALIFORNIA SAN JOSE DIVISION DEFENDANT - U.S . Jing Qi Weiden IS CTCO DEFENDANT PROCEEDING Name of Complaintant Agency, or Person (8: Title, if any) Waseem Iqbal, DHS-HSI person is awaiting trial in another Federal or State Court, give name of court this person/proceeding is transferred from another district per (circle one) 20. 21, or 40. Show District this is a reprosecution of charges previously dismissed which were dismissed on motion SHOW of DOCKET NO CI us. ATTORNEY DEFENSE this prosecution relates to a pending case involving this same defendant MAGISTRATE prior proceedings or appearance(s) before US. Magistrate regarding this defendant were recorded under CASE NO. Name and Of?ce of Person Furnishing Information on this form ALEX 6- TSE, Acting U.S. Attorney El Other U.S. Agency Name of Assistant U.S. Attorney (if assigned) Amie D. Rooney IS NOTIN CUSTODY Has not been arrested, pending outcome this proceeding. If not detained give date any prior summons was served on above charges 2) Is a Fugitive 3) Is on Bail or Release from (show District)!L vii IS lN CUSTODY U093: a? 2076 4) [3 On this charge ERNojgrgig-m Soorg fore 04400ng 5) On another conviction Federal State 6) Awaiting trial on other charges if answer to (6) is "Yes", show name of institution If "Yes" give date Has detainer Yes been ?led? No ?led DATE OF MonthiDaytYear ARREST ifArresting Agency Warrant were not DATE TRANSFERRED Month/Dayf?i?ear TO U.S. CUSTODY PROCESS: SUMMONS NO WARRANT If Summons. complete foilowing: Arraignment Initial Appearance Defendant Address: CommentS: Agent will be serving Summons ADDITIONAL INFORMATION OR COMMENTS Datei?Time: July 9, 2018 1:30 pm This report amends A0 25? previously submitted Bail Amount: Where defendant previously apprehended on complaint, no new summons or warrant needed, since Magistrate has scheduled arraignment Before Judge: Virginia De Marchi