^nitei)

Court
FOR THE

NORTHERN DISTRICT OF CALIFORNIA

VENUE: SAN JOSE

UNITED STATES OF AMERICA,
V.

CR

18

UNITED MiCRGELECTGNICS

CGRPGRATIGN. et a!.,

465

LHK

Si'/f
DEFENDANT(S).

INDICTMENT
VIOLATIONS:

Title 18, United States Code, Section 1831(a)(5) - Conspiracy to Commit Economic Espionage;
Title 18, United States Code, Section 1832(a)(5) - Conspiracy to Commit Theft of Trade Secrets;
Titie 18, United States Code, Section 1831(a)(1)- Economic Espionage (Theft of Trade Secrets);
Title 18, United States Code, Section 1831 (a)(2) - Economic Espionage (Copying and Conveying of Stolen Trade

Secrets); Title 18, United States Code, Section 1831(a)(3) and (2) - Economic Espionage (Receipt and Possession
of Stolen Trade Secrets); Titie 18 United States Code, Section 1832(a)(1) - Theft of Trade Secrets;
Title 18. United States Code, Section 2323 - Criminal Forfeiture
A true.bill/'".
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Foreman

Filed in open court this,

day of

rose maker
Clerk

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Bail. $

Dl-Vrf.iCT rOiJST

 ALEX G. TSE (CABN 152348)
United States Attorney

:3 1.7: 5 
?3 {mph g. 
V: -
SEP 2 7 2018 

SUSAN Y. SOONG

CLERK. US. COURT
NORTHERN DISTRICT OF CALIFORNIA

UNITED STATES DISTRICT COURT
NORTHERN DISTRICT OF CALIFORNIA
SAN JOSE DIVISION

UNITED STATES OF AMERICA, 918: 1 ES 4 6 5 LHK

Plaintiff, VIOLATIONS: 8W
Title 18, United States Code, Section 183 it
v. Conspiracy to Commit Economic Espionage;
Title 18, United States Code, Section 1832(a)(5) 
UNITED MICROELECTONICS Conspiracy to Commit Theft of Trade Secrets;

Title 18, United States Code, Section 1831(a)(1) 
Economic Espionage (Theft of Trade Secrets);

Title 18, United States Code, Section l83l(a)(2) 
Economic Espionage (Copying and Conveying of
Stolen Trade Secrets);

Title 18, United States Code, Section 1831(a)(3) and
(2) Economic Espionage (Receipt and Possession of
Stolen Trade Secrets);

Title 18 United States Code, Section 1832(a)(l) 
Theft of Trade Secrets;

Title 18, United States Code, Section 2323 
Criminal Forfeiture .

FUJ IAN INI-IUA
INTEGRATED CIRCUIT, CO., CHEN
ZHENGKUN, a.k.a. STEPHEN HE
JIANTING, J.T. and WANG
YUNGMING, a.k.a. KENNY WANG.

Defendants.

SAN JOSE VENUE



 

I 
The Grand Jury charges:
INTRODUCTORY ALLEGATIONS
I. Dynamic random-access memory (DRAM) is a memory device product used in
electronics to store information. DRAM stores each bit of data in a separate tiny capacitor within an

integrated circuit. DRAM is a technologically advanced commodity; it is widely used in digital

I

 



NM I?n u?a u?n 


 

 

electronics where low-cost and high-capacity memory is required. DRAM is used in leading-edge
computing, consumer, networking, automotive, industrial, embedded, and mobile productions, and is a
product that is used or intended for use in interstate or foreign commerce.

2. Growth of the electronics industry in the People?s Republic of China (PRC) created
signi?cant demand for memory products such as DRAM. The Central Government and State Council-of
the PRC publicly identi?ed the development of DRAM technology as a national economic priority
because PRC companies had not been able to deveIOp technologically advanced DRAM production
capabilities, and PRC electronics manufacturers relied on producers outside the PRC to supply DRAM.
DRAM production technology was closely held by manufacturers in the United States, South Korea, and
Taiwan, including Micron Technology, Inc. (?Micron? which had improved the technology through
intensive research and develOpment over many years. i

3. Aware of the national priority and the barriers placed by non-PRC manufacturers,
including Micron, on access to the technology, at the times set forth below, individuals and companies
named in this Indictment obtained DRAM trade secrets belonging to Micron and conveyed information
containing those trade secrets to a company controlled by the PRC government without authorization
from Micron. i

Defendants

4. Defendant United Microelectronics Corporation was a semiconductor foundry
company headquartered in Taiwan with global of?ces in Taiwan, China, Europe, Singapore, Japan,
Korea, and the United States, including in Sunnyvale, California. UMC was publicly listed and traded
on the NASDAQ. primary business was to mass produce integrated-circuit logic products based
on designs and technology developed and provided by its customers. UMC did not, prior to the events
charged in this Indictment, possess advanced DRAM-related technology.

5. Defendant Fujian Jinhua Integrated Circuit, Co., Ltd. inhua?) was established in
February 2016 in the Fujian Province of China for the sole purpose of designing, developing, and
manufacturing DRAM. Jinhua was created with billion in funding provided by the PRC
government and PRC government entities. Its two major shareholders were Electronics Information

Group Co., Ltd. and injiang Energy Investment Co., Ltd., which were PRC state-owned enterprises.

INDICTMENT 2

 






 

 

 

 

 

 

inhua?s self-described aim was ?to introduce intellects, technology, and resources from Taiwan and the
world, create the ?rst self-dependent DRAM production project and 12 inch DRAM wafer line in China
and ?ll the blank.? inhua described itself as having the ?duty to realize the domestic manufacturing of
[integrated circuit] chip and aims to become a state owned [integrated circuit] manufacturing enterprise
with advanced process and [an] independent intellectual property system.? .

6. In or around January 2016, UMC entered into a technology cooperation agreement with
inhua to develop DRAM technology for a product that UMC referred to as the ?32nm and 323nm
or ?F32nm/F323nm Under the technology cooperation agreement, UMC would
provide the DRAM research and deveIOpment, and inhua would provide the manufacturing and
fabrication facilities to mass-produce DRAM. UMC and Jinhua were to jointly own the DRAM
technology and development. Under the terms of the agreement, Jinhua would provide million
for purchasing necessary equipment for DRAM development and would pay million to UMC
based on the progress of DRAM development. In or around April 2016, Taiwan?s Ministry of
Economics approved the UMC and inhua technology cooperation agreement.

7. Defendant Chen Zhengkun (aka. Stephen Chen) was a Taiwanese national and former
General Manager and Chairman of Rexchip Electronics Corporation (?Rexchip?), a company that
Micron acquired in or around 2013, which formed Micron Memory Taiwan Co., Ltd. 
Micron?s Taiwan subsidiary. Chen became the President of MMT and Site Director of 
Fabrication Facility 16, responsible for making Micron?s 25nm DRAM chip. Chen resigned from MMT
in July 2015 and began working for UMC as the Senior Vice President and Fabrication Director in
Taiwan in September 2015. In or around January 2016, Chen helped negotiate the terms of the 
UMC/Jinhua technology cooperation agreement and became the Senior Vice President of newly
formed New Business Development division, tasked with overseeing F32nm DRAM
development project and the technology cooperation agreement between UMC and Jinhua. In or around
February 2017, UMC released Chen from his position at UMC, and Chen became the President of
Jinhua in charge of its DRAM production facility.

8. Defendant He ianting .T. Ho) was a Taiwanese national and former process

integration manager at MMT, whom Chen recruited to join UMC. Ho resigned from MMT in or around

INDICTMENT 3

 



October 2015 and began working at UMC in its process integration division in November 2015. Prior to
leaving MMT, Ho stole Micron con?dential and proprietary materials and used the stolen materials in
his work at UMC to advance the development of F32 DRAM technology design for transfer to
Jinhua. In April 2016, Ho became a project integration manager in UMC Project Management 2
Department. Between about December 2015 and January 2017, Ho communicated with another former
MMT employee, Wang Yungming Kenny Wang), using the LINE Messaging platform and
personal emails, to share and exchange con?dential and proprietary Micron information to further
F32mn DRAM technology design.

9. Defendant Kenny Wang was a Taiwanese national and former MMT employee, whom
Chen hired to join UMC. At MMT, Wang was a Process Integration/Device Section Manager and
remained in that role until his promotion to Product Quality Integration Section Manager in January
2016 and resignation from MMT in April 2016. While at MMT, Wang shared and exchanged
con?dential and proprietary Micron information with Ho, who at the time was working at UMC. Prior
to his of?cial exit from MMT, Wang misappropriated over 900 Micron ?les, some containing Micron
con?dential and proprietary information for the design of the company?s DRAM technology in its
current and future generations that were still in its research and development phase. Wang downloaded
trade secrets from Micron?s company servers in the United States, took them with him when he left the
company, and stored the ?les on his Google Drive account located on servers in the United States. After
Wang left MMT in April 2016 and began working at UMC immediately therea?er, he used the
misappropriated con?dential and proprietary Micron materials to further design of the F32nm
DRAM design process.

Micron Trade Secrets and Con?dentiality Provisions
10. Micron is the only United States-based company that manufactures DRAM. Micron?s
headquarters were in Boise, Idaho, and it maintained a large of?ce in the Northem District of Califomia.
The company became a major participant in the global semiconductor industry with its purchase of
Texas Instruments? DRAM memory business in 1998 and thereafter specialized in the advanced
research and deveIOpment and manufacturing of memory products including, but not limited to, DRAM.

Micron provides approximately 20-25% of the world supply of DRAM. The trade secrets identi?ed

INDICTMENT 4

 

QmQO?M-hmwr?t




below consisted of detailed, con?dential information used to design and construct ef?cient
manufacturing processes for advanced DRAM technology. The development of this information and its
con?dentiality provides Micron with a signi?cant competitive advantage 1n the world market. This
competitive advantage allows Micron to remain in business and continue to research and develop
advanced DRAM for commercial and other uses.

11. MMT was a subsidiary of Micron. MMT was one of Micron?s fabrication plants in
Taiwan that engaged in making DRAM. MMT assigned all intellectual property, including all trade
secrets that it developed, to Micron.

12. Micron?s DRAM technology included, but was not limited to, the following trade secrets,
as de?ned in 18 U.S.C. 1839(3):

a. Trade Secret 1: The Micron process to manufacture and produce DRAM
contained in the totality of information stolen by Wang and Ho ?'om Micron and provided to UMC and
Jinhua under the direction of Chen and others. Trade Secret 1 included ways and means in which
. proprietary and non-proprietary components were compiled and combined by Micron to form substantial
portions of the DRAM design and manufacturing process, including Trade Secrets 2 through 8, below.

b. Trade Secret 2: A 233-page PDF document identi?ed with digital ?lename
903 Traveler-20150518? (hereafter ?25nm Process Traveler document?). The 25nm Process
i Traveler document contained comprehensive and very detailed information documenting the beginning-
to~end manufacturing process for Micronfs 25nm DRAM product, including details of speci?cations and

production processes.

 

 

c. Trade Secret 3: An Excel spreadsheet with multiple tabs identi?ed with digital

 

?lename IMP conditions Table__20150318? (hereinafter ?Implant Conditions Table?). The
Implant Conditions Table contained implant data required to make each of the various different
transistor types required to make a 25nm DRAM product. Data in the Implant Conditions Table
included very speci?c details of the relevant particular process code - which could be matched back to
process descriptions in Trade Secret 2.

(1. Trade Secret 4: An Excel spreadsheet with multiple tabs identi?ed with digital
?lename ?Implant Condition for MES setting_1015? (hereafter ?Implant Conditions for MES

INDICTMENT 5

 

 

 



document?). MES referred to a particular software used to track the 25nm DRAM product through the
fabrication process, and the Implant Conditions for MES document was a tracking document that
informed the software. The document inputted into the MES so?ware enabled Micron to closely
monitor and manage its 25nm DRAM fabrication process. The implant Conditions for MES document
provided critical details to manage the fabrication of the 25nm DRAM product through the fabrication
process and provided information on the precision and outcome of each particular step.

7 e. Trade Secret 5: An Excel spreadsheet with multiple tabs identi?ed with digital
?lename Design rules (hereafter ?Design
Rules documen The Design Rules document contained detailed design speci?cations for the
architecture of the 25nm DRAM product, including details on how to layer Micron?s 25nm DRAM
product. The Design Rules document included precise information on how to build distances between
elements in a DRAM product to avoid electrical and physical interference. The Design Rules document
included Micron trade secrets related to these types of speci?cations, which were critical information
needed to-build a 25nm DRAM product.

f. Trade Secret 6: A 302-page PDF document identi?ed with digital ?lename
150730? (hereafter ?20nm Process Traveler document?).
The 20nm Process Traveler document contained the speci?c types of details summarized in the 25nm
Process Traveler document but for the next generation 20nm DRAM product. The 20nm Process
Traveler document also contained details regarding Micron?s upgrade ?'om the 25nm to the 20nm
DRAM product and contained trade secret information pertinent to both generations of the product.

g. Trade Secret 7: A 360 page PDF identi?ed with digital ?lename
?dram_1 0_series_(1 xnm)_ traveler__(zl 1a)-201 50915.pdf? (hereafter ?1 Process Traveler
documen The Process Traveler document contained the comprehensive and very detailed
information documenting the beginning-to-end manufacturing process for Micron?s DRAM
product, including details of speci?cations and production processes. The DRAM product was
Micron?s most advanced DRAM at the time. The Process Traveler document also contained
details regarding Micron?s upgrade from the 20nm DRAM product to the DRAM product and

contained trade secret information pertinent to both generations of the product.

INDICTMENT 6

 






 

 

 

 

 

 

h. Trade Secret 8: A 260 page PDF identi?ed with digital ?lename
(hereafter ?lxm Process Summary
Flow document?). The Process Summary Flow document contained the manufacturing process of
the DRAM chip as it ?owed through the manufacturing facility. It compared the process ?ow
with prior generations of DRAM products. It described the evolution of the DRAM product to the 
generation, explaining the purpose and reasons why certain changes and upgrades were made from one
generation to the next.

13. Micron took reasonable measures to keep Trade Secrets 1 through 8 secret, including
physical, electronic, legal, and policy measures.

14. The information contained in Trade Secrets 1 through 8 derived independent economic
value, actual and potential, from not being generally known to, and not being readily ascertainable
through proper means by, another person who could obtain economic value from the disclosure or use of
the information.

15. The value of Trade Secrets 1 through 8, and each of them, to UMC and Jinhua, was at
least $400 million and up to $8.75 billion, including expenses for research and design and other costs of
reproducing the trade secrets that UMC and inhua avoided by the actions alleged in Counts 1, 2, and
7.













7

 



rCOUNT ONE: (1 8 U.S.C. 1831(a)(5) - Conspiracy to Commit Economic Espionage)
16. The allegations contained in Paragraphs 1 through 15 are re-alleged.
17. Beginning in or about January 2016, and continuing to the date of this Indictment, in the
Northern District of California and elsewhere, defendants, 
UNITED MICROELECTONICS CORPORATION,
FUJ IAN INHUA INTEGRATED CIRCUIT, CO., LTD.,
CHEN ZHENGKUN, a.k.a. STEPHEN CHEN, .
HE JIANTING, a.k.a. .T. HO,
WANG YUNGMING, and a.k.a. KENNY WANG,
together with others known and unknown to the Grand Jury, knowingly combined, consPired, and
agreed to:
a. knowingly steal and without authorization appropriate, take, carry away, and
conceal, and by fraud, arti?ce, and deception obtain trade secrets belonging to Micron; and
b. knowingly and without authorization copy, duplicate, sketch, draw, photograph,

download, upload, alter, destroy, photocopy, replicate, transmit, deliver, send, mail, communicate, and

 

 

convey trade secrets belonging to Micron; and

c. knowingly receive, buy, and possess trade secrets belonging to Micron, knowing

 

the same to have been stolen, apprOpriated, obtained, and converted 'without authorization; intending and
knowing that the offenses would bene?t a foreign government, namely the PRC, and a foreign
instruinentality, namely inhua.
Manner and Means of the Conspiracy

18. In order to develop DRAM technology and production capabilities without investing
years of research and development and the expenditure of many millions of dollars, UMC and Jinhua, a
company entirely funded by the PRC government, and employees of both, conspired to circumvent
Micron?s restrictions on its proprietary technology and illegally obtain DRAM technology that had been
{developed by Micron, including Trade Secrets 1 through 8.

19. In or around February 2016, the PRC formed and funded inhua for the purpose of

developing, designing, and mass-producing advanced DRAM technology. The PRC prioritized the
development of integrated circuit devices, which included DRAM, in its 13'h Five-Year Plan, a national

plan that included objectives for China?s economic priorities for the years 2016-2020, rati?ed by the

8

 

 

 






 

 

 

 

National People?s Congress, and which established the Chinese Communist Party?s vision for the
country?s future developments.

20. In or around January 2016, inhua and UMC negotiated and later entered into a
technology cooperation agreement whereby, with funding from inhua, UMC would develop DRAM
technology, transfer the technology to inhua, and inhua would mass produce DRAM.

21. In the years leading up to the technology cooperation agreement, UMC did not have
advanced DRAM technology and had not been producing DRAM. UMC, however, had intentions to
take over DRAM business in China.

22. In September 2015, UMC hired Chen, who was previously the President of MMT and the
site director of Fabrication Facility 16 in charge of producing Micron?s 25nm DRAM product,
to be the Senior Vice President of UMC. In January 2016, UMC established the NBD division for
developing DRAM technology to transfer to Jinhua and placed Chen in charge of the NBD division.

23. From in or around October 2015 through April 2016, Chen recruited and hired several
MMT employees to work for UMC, including Ho and Wang, among others.

24. In or around November 2015, Chen hired Ho to work for UMC. Prior to leaving MMT,
Ho stole con?dential and proprietary materials belonging to Micron, including trade secrets pertaining to
the prior, current, and future generations of Micron?s DRAM technology, including the 80 (30mm), 90 .
(25nm), 100 (20mm), and 110 (anm) series DRAM. Ho referenced the stolen Micron materials to
support design of the F32nm DRAM technology for transfer to inhua pursuant to the two
companies? technology transfer agreement. Ho stored the stolen Micron trade secrets, including Trade
Secrets more digital devices belonging to UMC.

25. Between in or around December 2015 and April 2016, Ho communicated with his former
colleague Wang, who was still working at MMT. Wang provided Ho with con?dential and proprietary
Micron information to further F32nm DRAM technology design, including infOrmation related

. to Micron?s wafer speci?cations for its 25nm DRAM chip.

26. On April 26, 2016, Wang le? employment. During Wang?s exit interview ?'om
MMT, Wang told MMT that he was leaving to work at his family business, and he signed the MMT

Declaration of Resignation, declaring and certifying that he did not keep any documents, con?dential or

9

 






otherwise, belonging to the company, and that he destroyed any hard copy or electronic form in his
possession or control that were stored on non-Micron property, including computers, phone, personal
email, or ?le sharing accounts.

27. Wang did not leave to work for his family business but rather immediately began
j! working for UMC. 

28. In the weeks leading up to Wang?s resignation from MMT, he downloaded over 900
con?dential and proprietary ?les belonging to Micron, including Trade Secrets 1-8, by downloading the
?les from Micron servers and transferring them to USB external storage devices or uploading the ?les to

his personal Google Cloud account stored on servers in the United States. Many of the ?les were

 

 

marked ?Micron Con?dential,? ?Micron Technology, Inc., Con?dential and Proprietary,? or ?Micron
Con?dential/Do Not Duplicate.? The created dates in theGoogle ?les metadata showed that Wang
accessed Micron con?dential and proprietary ?les both before and after he left Micron employment, and
while working at UMC.

29. In the weeks leading up to Wang?s resignation from MMT, Wang ran numerous deletion
processes and a CCleaner program on his laptop computer to maskhis theft of Micron trade secrets. He
also conducted numerous internet searches, accessing a number of publicly available news articles about
the PRC government?s support of the growth of the DRAM business in the PRC, and speci?cally on
UMC and Jinhua?s cooperation toward creating and producing DRAM.

30. While working at UMC, Wang referenced Micron trade secrets to assist and further
development of its F32nm DRAM technology. In or around July or August 2016, Wang, at the
direction of a UMC employee, referenced Micron?s Trade Secret 5 and provided critical design rule data
to that employee to further development of its F32nm DRAM technology, knowing that UMC
would transfer the technology to Jinhua, Wang used his UMC-assigned laptop to access his Google
Drive, download a copy of Trade Secret 5, and reference the data contained therein to assist UMC with
its 32mm DRAM design rule. UMC employees were directed to use the information Wang provided to
complete F32mn DRAM design rule. Trade Secret 5 and F32nm DRAM design rule
were stored in Wang?s Google Drive, and a comparison of the two show Micron?s information being

used in F32nm DRAM design rule document.

10

 

 

 



October 23, 2016, Chen, UMC, inhua, and government of?cials from the PRC
attended a inhua/UMC recruiting fair in the Northern District of California to recruit employees from
the United States with semi-conductor experience to work for both companies in either the research and
development or sales and marketing division. Chen stated at the recruiting fair that UMC had
transferred its 25nm DRAM chip to Jinhua. On or about October 24, 2016, Chen and others from UMC
and Jinhua, including the mayors from the PRC cities of injiang and Quanzhou, also visited several
semiconductor equipment-manufacturing companies in the Northern District of California to facilitate
its DRAM production process. While at the recruiting fair and visiting the equipment-manufacturing
companies in the Northern District of California, Chen, UMC, and inhua had obtained and were in
continuous control of the stolen Micron trade secrets.

32. From in or around September 2016 through March 2017, UMC and inhua ?led ?ve
patents and a patent application concerning DRAM technology that contained information that was the
same or very similar to technology described in Micron?s Trade Secrets 2 and 6. Ho was listed as an
inventor in each of the ?ve patents and the-patent application. The information contained in the patents
and patent application contained Micron trade secrets that could not be obtained through reverse .
engineering.

33. .In February 2017, Taiwan law enforcement authorities executed search warrants and
seized items from of?ces and Ho?s and Wang?s residences. They found electronic and hard
copy ?les containing Micron trade secrets in areas and on devices associated with UMC and belonging
to Ho and Wang. Knowing that Taiwan law enforcement was on its way to execute search warrants at
UMC, a UMC employee directed both Ho and Wang to remove any electronic devices they possessed
that contained Micron information on them. Some of the electronic devices that contained Micron
information were turned over to Taiwan law enforcement. At least one electronic device that contained
Micron information was not turned over to Taiwan law enforcement and had been concealed by UMC
and Chen.

34. In or around February 2017, in addition to his position at UMC, Chen assumed the post

of President of Jinhua.

INDICTMENT I

 

 




WHO?M-huwh?owm?muvhuN??o

ll

 

 

Overt Acts

35. Between in or about October 2015 and April 2016, Chen recruited Micron employees Ho
and Wang to work at UMC to develop 32nm DRAM technology.

36. In or around January 2016, UMC entered a technology cooperation agreement to develop
and transfer F32nm DRAM technology to inhua, a state-owned enterprise of the People?s Republic of
China.

37. In or around October 2015, Ho stole Micron trade secrets, including Trade Secret 1 and
?les identi?ed as Trade Secrets 6, 7, and 8, and brought them with him to UMC. In or around
December 2015, Ho saved ?les identi?ed as Trade Secrets 6, 7, and 8 onto his UMC laptop.

38. In or around December 2015, Ho obtained from Chen a UMC company laptop with USB
capability in order to access con?dential and proprietary Micron materials in support of the UMC
F32nm DRAM project. 

39. On or about February 28, 2016, Wang downloaded Trade Secret 5 from Micron servers.
On or about May'4, 2016 and June 29, 2016, Wang uploaded Trade Secret 5 to his BRH5476 Google
Cloud Account.

40. On or about April 23, 2016, Wang downloaded Trade Secrets 2, 3, and 4 from his Micron
company laptop and uploaded Trade Secrets 2, 3, and 4 to his BR115476 Google Cloud Account.

41. On or about April 23, 2016, Wang downloaded Trade Secret 6 from Micron servers. On
or about April 23, 2016 and October 23, 2016, Wang uploaded Trade Secret 6 to his BRH5476 Google
Cloud Account.

42. On or about May 22, 2016, Wang emailed Trade Secret 5 from his BRHS476 Gmail
Account to his UMC email account. 

43. In or around July or August 2016, Wang used stolen Micron trade secret material
contained in Trade Secret 5 to assist UMC with its design of the F32nm DRAM product. Information
from Trade Secret 5 was put into document titled: UMC 32nm DRAM Process Topological
Layout Rule Version 0.1, Phase 3 (Revision History Approved Date August 1, 2016).

44. On or about October 10, 2016, Wang uploaded Trade Secrets 7 and 8 to his BRH5476

Google Cloud Account.

INDICTMENT 12

 






 

 

 

 

45. On or about October 18, 2016, UMC and inhua ?led a patent application (with
corresponding Patent No. 9,679,901 Bl) in the United States Patent and Trademark Of?ce, which
claimed priority to a Chinese patent application ?led on September'22, 2016. Ho was listed as a named
inventor on the patent application. The disclosures and inventions described in the patent application
were based on or derived ?'om misappropriated proprietary Micron materials identi?ed in Trade Secrets
2 and 6. On June 13, 2017, the United States Patent and Trademark Of?ce issued patent 9,679,901 Bl
to UMC and inhua. .

46. . On or about October 23, 2016, UMC, inhua, and Chen, after having obtained Micron
trade secrets and being in continuous control over them, arranged and coordinated a UMC/Jinhua
recruiting event in the Northem District of California to recruit employees from the United States with
semi-conductor experience to work for UMC/Jinhua. PRC government of?cials attended the event to
show support for the companies. Chen announced at the recruiting event that UMC. had transferred the
F32nm DRAM design technology to Jinhua. 

47. On or about October 24, 2016, UMC, inhua, Chen, and government of?cials ?'om the
PRC visited Applied Materials, Lam Research, and KLA Tencor, semiconductor equipment-
manufacturing companies in the Northern District of California, to facilitate and ?irther its DRAM
production process.

48. In February 2017, a UMC employee directed Ho and Wang to remove and hide electronic
devices containing Micron information from Taiwan law enforcement who were going to search 
of?ces.

49. 7 Sometime after February 2017, UMC and Chen concealed at least one electronic device
containing misappropriated Micron materials from Taiwan law enforcement.

All in violation of Title 18, United States Code, Section 1831(a)(5).







INDICTMENT l3

 






COUNT TWO: (18 U.S.C. 1832(a)(5) - Conspiracy to Commit Theft of Trade Secrets)
50. The allegations contained in Paragraphs 1 through 15 are re-alleged and incorporated as
if fully set forth herein.
51. Beginning in or about October 2015, and continuing to the date of this Indictment, in the
Northern District of California and elsewhere, defendants,
UNITED MICROELECTONICS CORPORATION, 
FUJ IAN INHUA INTEGRATED CIRCUIT, CO, LTD.,
II CHEN ZHENGKUN, a.k.a. STEPHEN CHEN,
HE JIANTING, a.k.a. .T. HO,
WANG YUNGMING, and KENNY WANG,

together with others known and unknown to the Grand Jury, knowingly combined, conspired, and

 

 

agreed to:
a. knowingly steal and without authorization appropriate, take, carry away, and
conceal, and by ?aud, arti?ce, and deception obtain trade secrets belonging to Micron; and
b. knowingly and without authorization copy, duplicate, sketch, draw, photograph,
download, upload, alter, destroy, photocopy, replicate, transmit, deliver, send, mail, communicate, and
convey trade secrets belonging to Micron; and
c. knowingly receive, buy, and possess trade secrets belonging to Micron, knowing
the same to have been stolen, appropriated, obtained, and converted without authorization; 
intending to convert a trade secret that is related to a product, namely DRAM, that is used in and
intended for use in interstate and foreign commerce, to the economic bene?t of someone other than
Micron, and intending and knowing that the offense would injure Micron.
Manner and Means of the Consgiracy
52. The objects of the conspiracy were carried out, in part, as alleged in Paragraphs 18
through 34 above.
Overt Acts
53. In furtherance of the conspiracy and to effect its objects, defendants committed theiovert
acts alleged in paragraphs 34 through 49, among others, in the Northern District of California and
elsewhere. .

All in violation of Title 18, United States Code, Section 1832(a)(5).

l4

 

 

 




I-I 

 

 

COUNT THREE: (18 U.S.C. l831(a)( l) Economic Espionage (Theft of Trade Secrets?

54. The allegations contained in Paragraphs 1 through 49 are re-alleged.

55. From in or about March 2016 to in or about October 2016, in the Northern District of
California and elsewhere, defendant

WANG YUNGMING, a.k.a. KENNY WANG,

intending and lmowing that he would bene?t a foreign government, foreign instrumentality, and foreign
agent, knowingly stole, and without authorization, appropriated, took, carried away, and concealed, and
by fraud, artifice, and deception, obtained Trade Secrets 1 through 8, in violation of Title 18, United
States Code, Section 183l(a)(1).

COUNT FOUR: (l 8 U.S.C. 1831(a)(2)? Economic Espionage (Copying and Conveying of Trade

Secrets?

56. The allegations contained in Paragraphs 1 through 49 are re-alleged.

57. From in or about March 2016 to in or about February 2017, in the Northern District of
California and elsewhere, defendant

WANG YUNGMING, a.k.a. KENNY WANG,
intending and knowing that he would bene?t a foreign government, foreign instrumentality, and foreign
agent, knowingly and without authorization, copied, duplicated, downloaded, uploaded, replicated,
transmitted, delivered, sent, communicated, and conveyed Trade Secrets 1 and 5, in violation of Title 18,
United States Code, Section 183l(a)(2).
COUNT FIVE: (18 U.S.C. 183 Economic Espionage (Cepying and Conveying of
Trade Secrets? -

58. The allegations contained in Paragraphs 1 through 49 are re-alleged.

59. From in or about February 2016 to in or about February 2017, in the Northern District of
California and elsewhere, defendant

HE JIANTING, a.k.a. J.T. HO,

intending and knowing that he would bene?t a foreign government, foreign instrumentality, and foreign
agent, knowingly and without authorization, copied, duplicated, downloaded, uploaded, replicated,

transmitted, delivered, sent, communicated, and conveyed Trade Secret 1, in violation of Title 18,

INDICTMENT 15

 





I



 

 

United States Code, Section 1831(a)(2).

COUNT SIX: -(18 U.S.C. 1832 Theft of Trade Secrets)

60. The allegations contained in Paragraphs 1 through 49 are re-alleged.

61 . In or about October 2015, in the Northern District of California and elsewhere, defendant

HE JIANTING, a.k.a. LT. HO,
intending to convert a trade secret to the economic bene?t of someone other than Micron, and intending
and lcnowing that the offense would injure Micron, knowingly stole and without authorization
appropriated, took, carried away, concealed, and by fraud, arti?ce and deception obtained Trade Secrets.
1, 6, 7, and 8, related to a product and service used in and intended for use in interstate and foreign
commerce, in violation of Title 18, United States Code, Section 1832(a)(1).
COUNT SEVEN: (l 8 U.S.C. 1831(a)(3) and 2 Economic Espionage (Receiving and Possessing
Stolen Trade Secrets?

62. The allegations contained in Paragraphs 1 through 49 are re-alleged.

63. From in or about February 2016 to the present, in the Northern District of California and
elsewhere, defendants,

UNITED MICROELECTONICS CORPORATION,
FUJ IAN INHUA INTEGRATED CIRCUIT, CO., LTD.,
CHEN ZHENGKUN, a.k.a. STEPHEN CHEN,
HE JIANTING, a.k.a. .T. HO, and
WANG YUNGMING, a.k.a. KENNY WANG,

intending and knowing that they would bene?t a foreign government, foreign instrumentality, and
foreign agent, knowingly received, bought, and possessed Trade Secrets 1 through 8, knowing them to
have been stolen and appropriated, obtained, and converted without authorization, in violation of Title
18, United States Code, Sections 1831(a)(3) and 2.





INDICTMENT 16

 






 

 

CRIMINAL FORFEITURE ALLEGATION:
64. The allegations contained in Counts One through Seven of this Indictment are hereby
realleged and incorporated by reference for the purpose of alleging forfeiture pursuant to 18 U.S.C.
2323(b). 
65. As a result of their conviction on one or more of the felony offenses set forth in Counts
One through Seven of this Indictment, defendants,
UNITED MICROELECTONICS CORPORATION,
FUJ IAN JINHUA INTEGRATED CIRCUIT, CO., LTD.,
CHEN ZHENGKUN, a.k.a. STEPHEN CHEN,
HE JIANTING, a.k.a. .T. HO,
WANG YUNGMING, and a.k.a. KENNY WANG,
shall forfeit the following property, real or personal, to the United States:
(1) Any article, the making or traf?cking of which, is prohibited under 18 U. S. C. Chapter 90;
(2) Any property used, or intended to be used, in any manner or part to commit or facilitate a
violation of 18 U.S.C. Chapter 90; and
(3) Any property constituting or derived from any proceeds obtained directly or indirectly as
a result of a violation of 18 U.S.C. Chapter 90.
66. If any of the preperty described above, as a result of any act or omission of the defendant:
a. cannot be located upon exercise of due diligence;

b. has been placed beyond the jurisdiction of the Court;

0. has been transferred or sold to, or deposited with a third party,
(1. has been substantially diminished in value; or
c. has been commingled with other property which cannot be divided without dif?culty;







INDICTMENT 17

 

the United States of America shall be entitled to forfeiture of substitute property pursttant to Title

2 United States Code, Section 853(1)), all pursuant to Title 18, United States Code, Section 2323(b).

DATED: 32'in ?1,901?

ALEX G. TSE
United States Attorney



 

BARBARA VALLIERE
Chief. Criminal Division

Annroved as to form:







A TRUE BILL.

tAngr 3W

FOREPERSON
San Francisco Grand urv No. 17-3

{to

 

 

JOHN MAN

Deputy 1i, f, Criminal Division


Assistant United States Attorney

INDICTMENT l8

 

 (Rev. 6178)

 

DEFENDANT INFORMATION RELATIVE TO

 

A CRIMINAL ACTION

IN U. s. 

 

ev: COMPLAINT INFORMATION INDICTMENT

Name of District Court andfor Judg?pagtrategw Loca?

 

 

 

 

NORTHERN CT IA
CHARGED . '35 SOS Hit-9%
SAN Jos?E/B?gjs?i
See Attached El 9W ngP/T 
El Minor ?035;?4 $0,251?;
Misde- MA
meanor 9 United Microelectronics Corporation,lnc.
I Felony DISTRICT COURT NUMBER
PENALTY: ..
See Attached 

9R18 45.55

DEFENDANT

 

PROCEEDING

IS NOTIN CUSTODY

 

Name of Complaintant Agency, or Person (8: Title. if any)

Federal Bureau of Investigation

 

person is awaiting trial in another Federal or State Court.
give name of court

CI

 

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

 

1). I 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)

Has not been arrested, pending outcome this proceemng



 

 

IS IN CUSTODY
4) On this charge

5) On another conviction

 

 

 

 

which were dismissed on motion SHOW Federal State
Of- DOCKET NO.
. 6) Awaiting trial on other charges
. . NEY DE . . .
ATTOR FENSE 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
?led
CASE nttha lYear
prior proceedings or appearance(s) DATE OF 0 
before US. Magistrate regarding this ARREST
defendant were recorded under ifArresting Agency 8. Warrant were not
Name and Of?ce of Person DATE TRANSFERRED MonthiDaleear
Furnishing Information on this form ALEX G.TSE TO U.S. CUSTODY

 

 

US. Attorney OtherU.S.Agency

Name ofAssistant US.

Attorney (if assigned) John Hemann and Shiao Lee

 

This report amends A0 25? previously submitted

 

 

PROCESS:
SUMMONS NO WARRANT

If Summons, complete following:
Arraignment Initial Appearance

Defendant Address:

United Microelectronics Corporation, Inc.

 

Comments:

 

ADDITIONAL INFORMATION OR COMMENTS

 

 

 

Bail Amount:

Where defendant previoasly apprehended on complaint, no new summons or

warrant needed. since Magistrate has scheduled arraignment

DatefTime: November 19, 2018

1 i3 - . 
r: seem

 

A1


Before Judge: Duty Magistrate Qt,

 

PENALTY SHEET ATTACHMENT GJNITED MICROELECTRONICS
CORPORATION. INC.)

Offenses Charged

Count One: 18 U.S.C. 1831(a)(5) Conspiracy to Commit Economic ESpionage

Count Two: 18 U.S.C. 1832(a)(5) Conspiracy to Commit Theft of Trade Secrets

Count Seven: 18 U.S.C. 183l(a)(3) and 2 - Economic Espionage (Receiving and Possessing
Stolen Trade Secrets)

Maximum Penalties

Counts One and Seven:

A ?ne not more than the greater of $10,000,000 or 3 times the value of the stolen trade
secret to the organization, including expenses for research and design and other costs of
reproducing the trade secret that the organization has thereby avoided;

Restitution;

Asset Forfeiture; and

$400 special assessment

Count Two:

A ?ne not more than the greater of $5,000,000 or 3 times the value of the stolen trade
secret to the organization, including expenses for research and design and other costs of
reproducing the trade secret that the organization has thereby avoided;

Restitution;

Asset Forfeiture; and

$400 special assessment

 

 

 

PIL 

 

 

 

 

 

 

 

 

 

 

 

 

DEFENDANT INFORMATION RELATIVE TO A CRIMINAL ACTION - IN DIS OURT
var" .
BY: l:l l:l INDICTMENT Name ofDistrictCourt. andforJungW?gi'sBate Location
I ORNIA
CHARGED NO D. .ogoO?; 
SAN JO ?esta?
See Attached JGDE ?74qu;

Minor DEFENDANT - us
Misde-
l:l meanor Fujian Jinhua Integrated Circuit, Co.. Ltd.
I
em DISTRICT COURT 
PENALTY:
See Attached DEFENDANT
PROCEEDING . IS NOTIN CUSTODY
. . . Has not been arrested, pending outcome to ing.
Name of Complaintant Agency. or Person (8: Title, if any) 1) If not detained give date any prior
. . summons was served on above charges
Federal Bureau oftnvestigation
l:l person is awaiting trial in another Federal or State Court. 2) Is a Fugitive

give name of court
3) Is on Bait or Release from (show District)

 

 

this personlproceeding is transferred from another district

l:l 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) [3 Awaiting trial on other charges

U.S. ATTORNEY DEFENSE . . . .
El It answer to (6) Is "Yes". show name of 

 

 

 

 

 

 

 

 

 

this prosecution relates to a If "Yes"
pending case involving this same Has detainer l:l Yes give date
defendant MAGISTRATE been filed? l:l No ?led
CASE NO.
. . DATE OF Montthay/Y ear
prior proceedings or appearance(s) .
before U.S. Magistrate regarding this ARREST
defendant were recorded under if Arresting Agency Warrant were not
Name and Of?ce of Person DATE TRANSFERRED Month/DayNear
Furnishing Information on this form ALEX G. TSE TO US. CUSTODY
US. Attorney Cl Other US. Agency 
Name of Assistant U.S. This report amends A0 25? previously submitted

Attorney (ifassigned) John Hemann and Shiao Lee
ADDITIONAL INFORMATION OR COMMENTS

 

 

 

PROCESS:
SUMMONS NO WARRANT Bail Amount:

[f Summons, complete following: .

Arraignment Initial Appearance Where defendant previously apprehended on compiaint. no new summons or
warrant needed. since Magistrate has scheduted arraignment

Defendant Address:

 

 

0 I 
Fujian linhua Integrated Circuit. Co, Ltd. Dalen?lmei November 19, 2018 Before Duty Ma 'strate Ql'
Comments: i A i

 

 

PENALTY SHEET ATTACHMENT (FUJIAN INTEGRATED CIRCUIT. C0..
1411;)

Offenses Charged

Count One: 18 U.S.C. 1831(a)(5) - Conspiracy to Commit Economic Espionage
Count Two: 18 U.S.C. 1832(a)(5) Conspiracy to Commit Theft of Trade Secrets

Count Seven: 18 U.S.C. 1831(a)(3) and 2 - Economic Espionage (Receiving and Possessing
Stolen Trade Secrets)

Maximum Penalties

Counts One and Seven:

0 A ?ne not more than the greater of $10,000,000 or 3 times the value of the stolen trade
secret to the organization, including expenses for research and design and other costs of
reproducing the trade secret that the organization has thereby avoided;

- Restitution;

- Asset Forfeiture; and

0 $400 special assessment

Count Two:

0 A ?ne not more than the greater of $5,000,000 or 3 times the value of the stolen trade
secret to the organization, including expenses for research and design and other costs of
reproducing the trade secret that the organization has thereby avoided;

I Restitution;

0 Asset Forfeiture; and

0 $400 special assessment

 257 (FR. SITE)

 

OFFENSE CHARGED

DEFENDANT INFORMATION RELATIVE TO

BY: COMPLAINT CI INFORMATION INDICTMENT
I: SUPERSEDING

A CRIMINAL ACTION - IN U.S. DI CKOURT

Name of District Court andior Judg

gwistrate 
NORTHERN DISTRICT OF AEROENIA

 

SAN Ja?wgiegi

 

 

 

See Attached Petty
0/870 37% ofV
6?
El Minor DEFENDANT- U.S log].
Misde- 05474
meanor . CHEN ZHENGKUN a.k.a. STEPHEN CHEN
Fem? DISTRICT COURT NUMBER
PENALTY:
See Attached

9R 18 46;



 

 

DEFENDANT

 

 

IS NOTIN CUSTODY

 



Name of Complaintant Agency. or Person (8: Title. if any)

Federal Bureau Of Investigation

 

person is awaiting trial in another Federal or State Court,
give name of court



 

this personr?proceeding is transferred from another district
per (circle one) 20. 21. or 40. Show District

El

 

this is a reprosecution of
charges previously dismissed

1) If not detained give date any prior
summons was served on above charges

2) Is a Fugitive

I: A,


Has not been arrested. pending outcome this proceeding.

3) Is on Bail or Reiease from (show District) 
. 5? 

 

IS IN CUSTODY
4) On this charge

5) On another conviction

 

 

 

 



which were dismissed on motion SHOW Federal State
of: DOCKET NO.
6) Awaiting trial on other charges
U.S. DEFENSE . . .
RNEY If answer to (6) is "Yes". show name of InstItutIon
this prosecution relates to a If "Yes"
pending case involving this same H88 detainer Yes give date
defendant MAGISTRATE been ?led? No
?led
CASE NO.
. . DATE OF Month/Dainear
prior proceedings or appearance(s)
before U.S. Magistrate regarding this ARREST
defendant were recorded under if Arresting Agency 8. Warrant were not
Name and Of?ce of Person 4 DATE TRANSFERRED MOWWDAWEW
Furnishing Information on this form ALEX 6- TSE T0 U-S- CUSTODY

 

 

U.S. Attorney Other US. Agency

Name of Assistant U.S.

Attorney (ifassigned) John Hemann and Shiao Lee

 

This report amends A0 25? previously submitted

 

 

SUMMONS NO DWARRANT

If Summons. complete following:
Arraignment Initial Appearance

Defendant Address:

CHEN ZHENGKUN {like STEPHEN CHEN

 

Comments:

 

ADDITIONAL INFORMATION OR COMMENTS

 

 

 

Bail Amount:

Where defendant previously apprehended on complaint, no new summons or
warrant needed, since Magistrate has scheduied arraignment

DatefTime: November 19, 2018

150.753
I

 



Before Judge: Duty Magistrate gI

 

PENALTY SHEET ATTACHMENT (CHEN ZHENGKUN. a.k.a. STEPHEN 

Offenses Charged
Count One: 18 U.S.C. 1831(a)(5) Conspiracy to Commit Economic Espionage
Count Two: 18 U.S.C. 1832(a)(5) ConSpiracy to Commit The? of Trade Secrets

Count Seven: 18 U.S.C. 183l(a)(3) and 2 Economic Espionage (Receiving and Possessing
Stolen Trade Secrets)

Maximum Penalties

Counts One and Seven:
0 $5,000,000 ?ne or twice the gross gain or loss
0 15 years imprisonment

3 years supervised release

0 $100 special assessment
0 Restitution
0 Forfeiture

Count Two:

0 $250,000 ?ne or twice the gross gain or loss
10 years imprisonment 
3 years supervised release

$100 special assessment

Restitution

Forfeiture

FILED

A0. 25? (Rev. one)

 

 

 

 

 

 

 

 

 

 

 

 

 


DEFENDANT INFORMATION RELATIVE To A CRIMINAL ACTION - IN?ug. 
In h-
. "urn-? BMW 
av. El COMPLAINT INFORMATION INDICTMENT Name ofDistrictCOUnlandm, mag? ?Wane?
CHARGED NORTHERN DISTRICT 0 0:0;
I SAN JOSE DIVISION 
See Attached Petty
Minor DEFENDANT - u.s
Misde-
Ij meanor .HEJIANTING 
- . 
. em? 0 RICT CitiegvumaER 4 6 5
PENALTY: - - 
See Attached . 
at
DEFENDANT 
PROCEEDING IS NOT IN CUSTODY
. . Has not been arrested. pending outcome this proceeding.
Name of Complaintant Agency. or Person Title. If any) 1) If not detained give date any prior

. . summons was served on above charges
Federal Bureau oflnvestigation

 

CI person is awaiting trial in another Federal or State Court. 2) Is a Fugitive
give name of court

3) CI Is on Bail or Release from (Show District)

 

 

this personiproceeding 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
CI which were dismissed on motion

5 On another conviction
SHOW 

Federal State

of: DOCKET NO.
6) Awaiting trial on other charges
U.S. ATTORNEY DEFEN . . .
I: If answer to (6) is "Yes". show name of Institution

 

 

 

 

 

 

 

 

 

 

this prosecution relates to a If "Yes"
pending case involving this same H85 detainer '3 Yes give date
defendant MAGISTRATE been ?led? II No ?led
CASE NO. fY
prior proceedings or appearance(s) DATE OF . on ay ear
before U.S. Magistrate regarding this ARREST
defendant were recorded under if Arresting Agency Warrant were not
Name and Of?ce of Person DATE TRANSFERRED Montthay/Year
Furnishing Information on this form ALEX G. TSE I TO US CUSTODY
US Attorney Other US. AgenCy
Name of Assistant U.S. This report amends A0 25? previously submitted
Attorney (if assigned) John Hemann and Shiao Lee

 

 

 

ADDITIONAL INFORMATION OR COMMENTS

PROCESS:
SUMMONS NO WARRANT Bail Amount:

If Summons. complete following:

Arraignment Initial Appearance Where defendant previously apprehended on compiaint. no new summons or
warrant needed, since Magistrate has scheduled arraignment

Defendant Address:

 

 

a.k.a.J.T. HO Datefiime: November 19,2018 Before Judge: Duty Magistr

Comments: (/1010qu I

 

 

 

 

 

Offenses Charged

Count One: 18 U.S.C. 1831(a)(5) - ConSpiracy to Commit Economic Espionage
Count Two: 18 U.S.C. 1832(a)(5) Conspiracy to Commit Theft of Trade Secrets

Count Five: 18 U.S.C. 1831(a)(2) - Economic EsPionage (Copying and Conveying Trade
Secrets)

Count Six: 18 U.S.C. 1832(a)(l) The? of Trade Secrets

Count Seven: 18 U.S.C. 1831(a)(3) and 2 - Economic Espionage (Receiving and Possessing
Stolen Trade Secrets)

Maximum Penalties

Counts One, Five, and Seven:
0 $5,000,000 ?ne or twice the gross gain or loss
15 years imprisonment
3 years supervised release
$100 special assessment
Restitution
Forfeiture

Counts Two and Six:
0 $250,000 ?ne or twice the gross gain or loss
10 years imprisonment
3 years supervised release
100 special assessment
Restitution
Forfeiture

 

. AC) PIL ?b

 

DEFENDANT INFORMATION RELATIVE TO A CRIMINAL ACTION - IN U.S. 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Comments: :1 [59/1913


4'
BY: COMPLAINT INFORMATION INDICTMENT Name 
NORTHERN DIS RT g5 I: RNIA
OFFENSE CHARGED 5? 553?; 5, i?me
SAN JOSE BMW 0
See Attached '3 Petty 
. 03%
Minor DEFENDANT - u.s
Misde-
EI meanor WANG YUNGMING a.k.a. KENNY WANG

?my DISTRICT COURT NUMBER
PENALTY:
See Attached 8 4 6 5
DEFENDANT
PROCEEDING 1 IS NOTIN CUSTODY
. Has not been arrested. pending outcome this ding.
Name of ComplaIntant Agency. or Person Title, If any) 1) If not detained give date any prior
. summons was served on above charges
Federal Bureau of Investigatlon
person is awaiting trial in another Federal or State Court. 2) I: Is a Fugitive
'3 give name of court
3) Is on Bail or Release from (show District)
this person/proceeding is transferred from another district
El 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 other charges
. . RNE . . .
ATTO DEFENSE 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? 
[j 0 ?led
CASE NO.
. . DATE or: Monthl'Dayl'Year
prIor or appearance(s) 
before U.S. Magistrate regarding this ARRE 
defendant were recorded under if Arresting Agency Warrant were not
Name and Of?ce of Person 4 DATE TRANSFERRED Month/DawYear
Furnishing Information on this form ALEX G. TSE TO U.S. CUSTODY
U.S. Attorney Other U.S. Agency 
Name ofAssistant U.S. This report amends A0 25? previously submitted
Attorney (if assigned) John Hemann and Shiao Lee
ADDITIONAL INFORMATION OR COMMENTS
PROCESS:
SUMMONS NO WARRANT Bait Amount:
If Summons. complete following: I I I 
A A Where defendant prevrous appre ten 6 on comp amt, no new summons or
rraIgnment InItIa ppearance warrant needed, since Magistrate has scheduted arraignment
Defendant Address:
WANG YUNGMING a.k.a. KENNY WANG Dalemm??: November 19, 2018 BBIOTB Judge: Duty Magistrate {g I







 

PENALTY SHEET ATTACHMENT YUNGMING a.k.a. KENNY WAN G)

Offenses Charged

Count One: 18 U.S.C. l831(a)(5) Conspiracy to Commit Economic Espionage
Count Two: 18 U.S.C. 1832(a)(5) - ConSpiracy to Commit Theft of Trade Secrets
Count Three: 18 U.S.C. 1831(a)(l) Economic Espionage (Theft of Trade Secrets)

Count Four: 18 U.S.C. l831(a)(2) Economic ESpionage (Copying and Conveying Trade
Secrets)

Count Seven: 18 U.S.C. l831(a)(3) and 2 Economic Espionage (Receiving and Possessing
Stolen Trade Secrets)

Maximum Penalties

Counts One, Three, Four, and Seven:
0 $5,000,000 ?ne or twice the gross gain or loss
15 years imprisonment
3 years supervised release
$100 Special assessment
Restitution
Forfeiture

Count Two:
0 $250,000 ?ne or twice the gross gain or loss
10 years imprisonment
3 years supervised release
$100 special assessment
Restitution
Forfeiture

A0

UNITED STATES DISTRICT COURT 

DISTRICT OF CALIFORNIA

?3:9 Via); 1 

.
h?u?
2? 

3"ch 2, 7 201a

. OOVG
. -.. ?1 a I
CRIMINAL COVER SHEET 5131;;Nmurcou%

1 9?


Instructions: Effective November 1, 2016, this Criminal Cover Sheet must be completed and submitted.
along with the Defendant Information Form, for each new criminal case.

CASE NAME:

CASE NUMBER:

USA V. JUNITED MICROELECTONICS CORPORATION, ct 

Is This Case Under Seal?
Total Number of Defendants:

Rees-this case involve ONLY charges
tinder 8 U.S.C. 1325 and/or 1326?

Venue (Per Crim. L.R. 18-1):
Is this a potential high-cost case?

Is any defendant charged with
a death-penalty-eligihle crime?

Is this a RICO Act gang case?

Assigned AUSA 
(Lead Attorney): Shlao C- Lee

Comments:

Form CAND-CRIM-COVER (RevSan Jose

No
No
No

Date Submitted: 9/27/2018

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