Case 3:18-cr-00465-MMC Document 1 Filed 09/27/18 Page 1 of 32 Winiitti ^tatesf Court FOR THE NORTHERN DISTRICT OF CALIFORNIA VENUE: SAN JOSE UNITED STATES OF AMERICA, V. CR 18 465 UNITED MICROELECTONICS CORPORATION, et a!., 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; Title 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); Title 18 United States Code, Section 1832(a)(1) - Theft of Trade Secrets; Title 18, United States Code, Section 2323 - Criminal Forfeiture A true .bill/ 7 / 0 .A^- Foreman Filed in open court this. day of i—^ 7^^ ROSE MAHER Bail, $ OiSVt-v-'T r-,-,, •>- Case Document 1 Filed 09727/18 Page 2 of 32 A9357 (Rev. 6/78) by DEFENDANT INFORMATION RELATIVE TO A CRIMINAL ACTION - IN U.S. ?sz COMPLAINT Cl INFORMATION INDICTMENT Name of District Court. and/or Judg?agslrate Loa HE CT FC LIIF IA OFFENSE CHARGED El SUPERSEDING RT RN ?8 SAN Joel?s~ sf? this See Attached Petty I I . egg/?700 Minor r? Misde- ~44 CI meanor 9 United Microelectronics Corporation, Inc. Feb? DISTRICT COURT PENALTY: See 93 i8 455 DEFENDANT PROCEEDING IS NOTIN CUSTODY Name of Complaintant Agency. or Person Title. if any) Federal Bureau of Investigation person is awaiting trial in another Federal or State Court, give name of court El this person/proceeding 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 of: U.S. DEFENSE SHOW DOCKET NO. Has not been arrested. pending outcome 1) If not detained give date any prior summons was served on above charges 9 2) Is a Fugitive 3) Is on Bail or Release from (show District) IS IN CUSTODY 4) On this charge 5) On another conviction Federal State 6) Awaiting trial on other charges If answer to (6) is "Yes". show name of institution this prosecution relates to a .. .. Pending case involving this same Has detainer Yes givzzsate defendant MAGISTRATE been ?led? No med 7 CASE NO. prior proceedings or appearance(s) DATE OF 9 Month/Day?Year 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/Day/Y ear Furnishing Information on this form ALEX G. TSE T0 U.S. CUSTODY Attorney Other U.S. Agency Name of Assistant U.S. Attorney (if assigned) John Hemann and Shiao Lee This report amends A0 257 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 previously apprehended on complaint, no new summons or warrant needed. since Magistrate has scheduled arraignment - Datefrlme: November 19, 2018 Before Judge: Duty Magistrate CV A1 CEILIW Case Document 1 Filed 09727/18 Page 3 of 32 PENALTY SHEET ATTACHMENT 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. 183 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 Al Case Document 1 Filed 09727/18 Page 4 of 32 . I A0 251? (Rev. 61:8) Fr DEFENDANT INFORMATION RELATIVE TO A CRIMINAL ACTION - IN DIS OURT INDICTMENT Name of District Court, and/or JuggMg'j? te Location ALIFORNIA OFFENSE CHARGED SUPERSEDING NORTHEA D, ?D/ggogme - SAN Josgf?v? 0 See Attached . Petty vuo Minor - DEFENDANT-US ?4 Misde- El meanor Fujian Jinhua Integrated Circuit, Co., Ltd. Felony PENALTY: has DISTRICT COURT NUMBER 4:65: A ?t PROCEEDING Name of Complaintant Agency. or Person Title. if any) Federal Bureau of Investigation 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 El 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 U.S. Magistrate regarding this defendant were recorded under Name and Of?ce of Person Furnishing Information on this form ALEX G. TSE EUS. Attorney Other U.S. Agency Name of Assistant U.S. Attorney (if assigned) John Hemann and Shiao Lee PROCESS: SUMMONS [3 NO WARRANT If Summons. complete following: Arraignment Initial Appearance Defendant Address: Fujian Jinhua Integrated Circuit, Co., Ltd. Comments: ADDITIONAL INFORMATION OR COMMENTS Bail Amount: Where defendant previously apprehended on complaint. no new summons or warrant needed, since Magistrate has scheduled arraignment Daten'imei November 19. 2018 DEFENDANT IS NOTIN CUSTODY Has not been arrested. pending outcome 1) 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) IS IN CUSTODY 4) On this charge 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 med DATE 5 Month/Dale ear ARREST ifArresting Agency Warrant were not DATE TRANSFERRED Month/Dale ear TO U.S. CUSTODY This report amends A0 257 previously submitted fee/pm Sl? Before Judge: Duty Mafistrate 1L Case Document 1 Filed 0937/18 Page 5 of 32 PENALTY SHEET ATTACHMENT 1F UJIAN JINHUA INTEGRATED C0., LTD.) 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. l831(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 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; Restitution; Asset Forfeiture; and 0 $400 special assessment A92 9 Case Document 1 Filed 0%7/18 Page 6 Of 32 A0257 (ng'v. 6/78) DEFENDANT INFORMATION RELATIVE TO A CRIMINAL ACTION - IN U.S. DISTRICT COURT BY: El COMPLAINT INFORMATION INDICTMENT CI SUPERSEDING OFFENSE CHARGED See Attached Petty Minor Misde- meanor Felony PENALTY: See Attached Name of District Court. and/or Judge/Magistrate Location NORTHERN DISTRICT OF CALIFORNIA SAN JOSE DIVISION DEFENDANT - U.S . CHEN ZHENGKUN a.k.a. STEPHEN CHEN DISTRICT COURT NUMBER 91.2. 18 Name of Complaintant Agency, or Person Title, if any) Federal Bureau Of Investigation El 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. U.S. ATTORNEY DEFENSE this prosecution relates to a pending case involving this same defendant MAGISTRATE CASE NO. prior proceedings or appearance(s) before U.S. Magistrate regarding this defendant were recorded under Name and Of?ce of Person Furnishing Information on this form ALEX G. TSE EUS. Attorney [1 Other U.S. Agency Name of Assistant U.S. Attorney (if assigned) John Hemann and Shiao Lee PROCESS: SUMMONS El NO [j WARRANT If Summons, complete following: Arraignment Initial Appearance Defendant Address: CHEN ZHENGKUN a.k.a. STEPHEN CHEN Comments: IS NOTIN CUSTODY Has not been arrested, pending outco 1) 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) IS IN CUSTODY 4) On this charge 5) On another conviction Federal State 6) Awaiting trial on other charges If answer to (6) is "Yes", show name of institution Has detainer Yes been ?led? No ?led DATE OF . Montthay/Year ARREST if Arresting Agency Warrant were not DATE TRANSFERRED Month/Dale ear TO U.S. CUSTODY ADDITIONAL INFORMATION OR COMMENTS Bail Amount: Where defendant previously apprehended on complaint, no new summons or warrant needed, since Magistrate has scheduled arraignment Date/Time: November 19, 2018 This report amends A0 257 previously submitted Before Judge: Duty Magistrate Case Document 1 Filed 09727/18 Page 7 of 32 PENALTY SHEET ATTACHMENT (CHEN ZHENGKUN, a.k.a. STEPHEN CHEN 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 Seven: 18 U.S.C. 1831(a)(3) and 2 Economic Espionage (Receiving and Possessing Stolen Trade Secrets) Maximum Penalties Counts One and Seven: $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 Case Document 1 Filed 09727/18 Page 8 of 32 AC). 257 (File. 6173) I DEFENDANT INFORMATION RELATIVE TO A CRIMINAL ACTION - IN U.S. DI COMPLAINT INFORMATION INDICTMENT Name of District Court. andiorJud istrateL i THERND TRICT OF NIA OFFENSE CHARGED CI SUPERSEDING OR ISV A?ng . SAN Jw??g?wh 6? See Attached Patty . :9 9/ Minor DEFENDANT-US Misde- 44 El meanor CHEN ZHENGKUN a.k.a. STEPHEN CHEN I Few DISTRICT COURT NUMBER PENALTY: See Attached 1 8 4 6 DEFENDANT IS NOTIN CUSTODY . A . . 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 of Investigation person is awaiting trial in another Federal or State Court. 2) Is a Fugitive give name of court 3) Is on Bail or Release from (show District) 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 which were dismissed on motion [3 Federal State of: DOCKET NO. 6) El Awaiting trial on other charges DEFENSE SHOW 5) On another conviction U.S. ATTORNEY If answer to (6) is "Yes". show name of institution this prosecution relates to a .. .. pending case involving this same Has detainer Yes givzzsate defendant been ?led? No ?led CASE NO. prior proceedings or appearancets) DATE Month/Day?ear before U.S. Magistrate regarding this ARREST defendant were recorded under if Arresting Agency 8. Warrant were not Name and Office of Person DATE TRANSFERRED Month/DEIle ear Furnishing Information on this form ALEX G. TSE TO U.S. CUSTODY U.S. Attorney Other U.S. Agency Name of Assistant U.S. This report amends A0 257 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 complaint, no new summons or warrant needed, since Magistrate has scheduled arraignment Defendant Address: CHEN ZHENGKUN a.k.a. STEPHEN CHEN Datemmei November 19. 2018 Before Judge: Duty Magistrate Comments: 6.) A 33 Case Document 1 Filed 09727/18 Page 9 of 32 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 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 $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 Case Documentl Filed 0975?7/18 Page A0. 257V(Rev. 6/7 8) DEFENDANT INFORMATION RELATIVE TO A CRIMINAL ACTION - IN COMPLAINT El INFORMATION INDICTMENT SUPERSEDING OFFENSE CHARGED See Attached Petty Minor Misde- meanor Felony PENALTY: Si 9? See A . All/2 A Name of District Court, and/or qugation NORTHERN DISTRICT 0 SAN JOSE DIVISION 09% DEFENDANT - U.S . HE a.k.a. J.T. HO 4 6 DEFENDANT PROCEEDING Name of Complaintant Agency. or Person Title. if any) Federal Bureau of Investigation El person is awaiting trial inanother 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 El charges previously dismissed which were dismissed on motion SHOW of; DOCKET NO. US. ATTORNEY DEFENSE this prosecution relates to a pending case involving this same defendant MAGISTRATE CASE NO. prior proceedings or appearance(s) [3 before US. Magistrate regarding this defendant were recorded under Name and Of?ce of Person Furnishing Information on this form ALEX 6- TSE EUS. Attorney [3 Other US. Agency Name of Assistant US. Attorney (if assigned) John Hemann and Shiao Lee IS NOT IN CUSTODY Has not been arrested. pending outcome this proced? g. 1) If not detained give date any prior I summons was served on above charges 2) Is a Fugitive 3) Is on Bail or Release from (show District) IS IN CUSTODY 4) On this charge 5) On another conviction Federal State 6) Awaiting trial on other charges If answer to (6) is "Yes". show name of institution Has detainer Yes Ifivzzsate been ?led? No gIed DATE 0F Month/Day/Year ARREST if Arresting Agency Warrant were not DATE TRANSF ERRED Month/Day/Y ear T0 U.S. CUSTODY PROCESS: SUMMONS NO [j WARRANT If Summons. complete following: Arraignment Initial Appearance Defendant Address: HE JIANTING J.T. HO Comments: ADDITIONAL INFORMATION OR COMMENTS Dale/Time: November 19, 2018 This report amends A0 257 previously submitted Bail Amount: Where defendant previously apprehended on complaint, no new summons or warrant needed. since Magistrate has scheduled arraignment Before Judge: Duty MagistrT/fe Mao/3M Case Document 1 Filed Page 11 of 32 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 Five: 18 U.S.C. 1831(a)(2) Economic Espionage (Copying and Conveying Trade Secrets) Count Six: 18 U.S.C. 1832(a)(1) 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, 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 Case Document 1 Filed 09727/18 Page 12 of 32 A0 257,(Rev. 6/78) DEFENDANT INFORMATION RELATIVE TO A CRIMINAL ACTION - IN U.S. DISTRICT COURT BY: COMPLAINT INFORMATION INDICTMENT Name of District Court, and/or Judge/Magistrate Location OFFENSE CHARGED SUPERSEDING NORTHERN DISTRICT OF CALIFORNIA SAN JOSE DIVISION See Attached Petty Minor r? DEFENDANT - u.s Misde- l:l meanor . WANG YUNGMING a.k.a. KENNY WANG Fem" DISTRICT COURT NUMBER PENALTY: See Attached .?Org I 4 DEFENDANT PROCEEDING IS NOTIN CUSTODY a . . Has not been arrested. endin outcome this . Name of Complaintant Agency, or Person Title, if any) 1) If not detained give datepany p20], 9 . . summons was served on above char es . Federal Bureau of Investigation 9 person is awaiting trial in another Federal or State Court, 2) Is a Fugitive CI give name of court 3) Is on Bail or Release from (show District) 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 6) Awaiting trial on other charges U.S. ATTORNEY El DEFENSE . . . If answer to (6) is "Yes". show name of Institution this prosecution relates to a .. pending case involving this same Has detainer Yes givzedsate defendant MAGISTRATE been ?led? No ?led CASE NO. prior proceedings or appearance(s) DATE OF Month/Day/Year 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/Day/Y ear Furnishing Information on this form ALEX G. TSE TO U.S. CUSTODY U.S. Attorney [3 Other U.S. Agency Name of Assistant U.S. This report amends A0 257 previously submitted Attorney (if assigned) John Hemann and Shiao Lee ADDITIONAL INFORMATION OR COMMENTS PROCESS: SUMMONS [1 NO 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: WANG YUNGMING a.k.a. KENNY WANG Date/Time: November 19, 2018 Before Judge: Duty Magistrate Comments: Case Document 1 Filed 0927/18 Page 13 of 32 PENALTY SHEET ATTACHMENT (WAN YUNGMING a.k.a. KENNY WAN G) 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 Three: 18 U.S.C. 1831(a)(1) Economic Espionage (Theft of Trade Secrets) Count Four: 18 U.S.C. 1831(a)(2) Economic Espionage (Copying and Conveying 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, 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: $250,000 ?ne or twice the gross gain or loss 10 years imprisonment 3 years supervised release $100 Special assessment Restitution Forfeiture Case 3:18-ef-od465-MMC Document 1 Filed Page 14 of 32 ALEX G. TSE (CABN 152348) United States Attorney SEP 2 7 2018 SUSAN SOONG CLERK. U.S. DISTRICT COURT NORTHERN DISTRICT OF CALIFORNIA UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF CALIFORNIA SAN JOSE DIVISION UNITED STATES OF AMERICA, 1 8 Plaintiff, VIOLATIONS: Title 18, United States Code, Section 1831(a)(5) v. Conspiracy to Commit Economic Espionage; Title 18, United States Code, Section 1832(a)(5) UNITED MICROELECTONICS Conspiracy to Commit Theft of Trade Secrets; FUJ IAN INHUA Title 18, United States Code, Section 1831(a)(1) INTEGRATED CIRCUIT, CO., LTD. CHEN Economic Espionage (Theft of Trade Secrets); ZHENGKUN, a.k.a. STEPHEN HE Title 18, United States Code, Section 1831(a)(2) IANTIN G, a.k.a. J.T. and WANG Economic Espionage (Copying and Conveying of YUNGMING, a.k.a. KENNY WANG. Stolen Trade Secrets); Title 18, United States Code, Section 1831(a)(3) and Defendants. (2) Economic Espionage (Receipt and Possession of Stolen Trade Secrets); Title 18 United States Code, Section 1832(a)(1) Theft of Trade Secrets; Title 18, United States Code, Section 2323 Criminal Forfeiture SAN JOSE VENUE IN I The Grand Jury charges: INTRODUCTORY ALLEGATIONS 1. 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 INDICTMENT Case Document 1 Filed 0972?7/18 Page 15 of 32 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 develop 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. 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. 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, deve10ping, and manufacturing DRAM. inhua was created with billion in ?mding provided by the PRC government and PRC government entities. Its two major shareholders were Electronics Information Group Co., Ltd. and inj iang Energy Investment Co., Ltd., which were PRC state-owned enterprises. INDICTMENT 2 AWN Case Document 1 Filed 09727/18 Page 16 of 32 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 ?32mm and 328nm or ?F32nm/F328nm Under the technology cooperation agreement, UMC would provide the DRAM research and development, and inhua would provide the manufacturing and fabrication facilities to mass-produce DRAM. UMC and inhua were to jointly own the DRAM technology and development. Under the terms of the agreement, inhua 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 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 25mn 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 inhua. In or around February 2017, UMC released Chen from his position at UMC, and Chen became the President of inhua in charge of its DRAM production facility. 8. Defendant He ianting J.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 Case Document 1 Filed 09727/18 Page 17 of 32 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 inhua. 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 Yungrning (aka. Kenny Wang), using the LINE Messaging platform and personal emails, to share and exchange con?dential and proprietary Micron information to further F32nm 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 California. 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 deve10pment 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 Case Document 1 Filed Page 18 of 32 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 in 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 from Micron and provided to UMC and inhua 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 90s Traveler-20150518? (hereafter ?25nm Process Traveler document?). The 25nm Process Traveler document contained comprehensive and very detailed information documenting the beginning- to-end manufacturing process for Micron?s 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. d. 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 Case Document 1 Filed Page 19 of 32 document?). MES referred to a particular software used to track the 25mm 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 software 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. e. Trade Secret 5: An Excel spreadsheet with multiple tabs identi?ed with digital ?lename Design rules (hereafter ?Design Rules document?). 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 25mn 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 from 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 (hereafter ?l Process Traveler document?). 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 Case Document 1 Filed 09757/18 Page 20 of 32 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 inhua, 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. INDICTMENT 7 #wN 00?Case Document 1 Filed 06/27/18 Page 21 of 32 COUNT ONE: (18 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, 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 instrumentality, 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 inhua, 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 Jinhua 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 13th Five?Year Plan, a national plan that included objectives for China?s economic priorities for the years 2016-2020, rati?ed by the INDICTMENT 8 Case Document 1 Filed Page 22 of 32 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 ?nding from inhua, UMC would develop DRAM technology, transfer the technology to inhua, and Jinhua 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 inhua 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 Jinhua 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 left employment. During Wang?s exit interview from MMT, Wang told MMT that he was leaving to work at his family business, and he signed the MMT Declaration of Resignation, declaring and certifyng that he did not keep any documents, con?dential or INDICTMENT 9 Case Document 1 Filed 0937/18 Page 23 of 32 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 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 the Google ?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 mask his theft of Micron trade secrets. He also conducted numerous intemet searches, accessing a number of publicly available news articles about the PRC govemment?s support of the growth of the DRAM business in the PRC, and speci?cally on UMC and inhua?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 32nm DRAM technology, knowing that UMC would transfer the technology to inhua. 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 F32nm DRAM design rule. UMC employees were directed to use the information Wang provided to complete 32mm 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. INDICTMENT lO Case Document 1 Filed Page 24 of 32 31. On October 23, 2016, Chen, UMC, Jinhua, 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 inhua. On or about October 24, 2016, Chen and others from UMC and Jinhua, including the mayors from the PRC cities of Jinjiang 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 Jinhua 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 inhua. INDICTMENT 1 Case Document 1 Filed 09727/18 Page 25 of 32 Overt Acts 7 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 32mm 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 BRH5476 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 BRH5476 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 2 Case Document 1 Filed 09/2 7/18 Page 26 of 32 45. On or about October 18, 2016, UMC and inhua ?led a patent application (with correSponding Patent No. 9,679,901 B1) 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 from 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 B1 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 Northern 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 inhua. 47. On or about October 24, 2016, UMC, inhua, Chen, and government of?cials from the PRC visited Applied Materials, Lam Research, and KLA Tencor, semiconductor equipment- manufacturing companies in the Northern District of California, to facilitate and further 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. 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 1 3 ALAN Case 3:18-chb465-MMC Document 1 Filed 0&3/27/18 Page 27 of 32 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., 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 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 Conspiracy 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 the overt 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). INDICTMENT l4 Case Document 1 Filed 0972?7/18 Page 28 of 32 COUNT THREE: (18 U.S.C. 1831(a)(1) 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 knowing 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, arti?ce, and deception, obtained Trade Secrets 1 through 8, in violation of Title 18, United States Code, Section 1831(a)(1). COUNT FOUR: (18 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 1831(a)(2). COUNT FIVE: (18 U.S.C. 1831(a)(2) Economic Espionage (Copying 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 IANTING, a.k.a. .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, TNDICTMENT 1 5 COUNT SIX: COUNT SEVEN: Case Document 1 Filed 09727/18 Page 29 of 32 United States Code, Section 1831(a)(2). (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. .T. HO, intending to convert a trade secret to the economic bene?t of someone other than Micron, and intending and knowing 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). (18 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, UJ IAN INHUA INTEGRATED CIRCUIT, CO., LTD., CHEN ZHENGKUN, a.k.a. STEPHEN CHEN, HE IANTING, a.k.a. J.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 1 6 WVONM-PUJNHOWOOQQMAUJNHO Case Document 1 Filed 0972\7/18 Page 30 of 32 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, UJ IAN JINHUA INTEGRATED CIRCUIT, CO., LTD., CHEN ZHENGKUN, a.k.a. STEPHEN CHEN, HE IANTING, a.k.a. .T. HO, WANG YUNGMIN G, 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. a. cannot be located upon exercise of due diligence; b. has been placed beyond the jurisdiction of the Court; c. 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 1 7 If any of the property described above, as a result of any act or omission of the defendant: Case Document 1 Filed 09727/18 Page 31 of 32 the United States of America shall be entitled to forfeiture of substitute property pursuant to Title 21, United States Code, Section 853(p), all pursuant to Title 18, United States Code, Section 2323(b). DATED: 52145193 1) 3(7/ 2/ A TRUE BILL. San Francisco Grand urv No. 17-3 ALEX G. TSE United States Attorney ?3 Mm BARBARA VALLIERE Chief. Criminal Division Approved as to form: A JOHN Hl, MANN Deputy in f, Criminal Division SHIAO EE Assistan United States Attorney INDICTMENT 8 Case Document 1 Filed 09727/18 Page 32 of 32 UNITED STATES DISTRICT COURT RN DISTRICT OF CALIFORNIA 2 7 2018 SUSAN . CRIMINAL COVER SHEET ~032l5$1 PIPT m: (?111 If Instructions: E??ective November 1, 2016, this Criminal Cover Sheet must be completed and submitted, along with the Defendant Information arm, for each new criminal case. CASE NAME: CASE NUMBER: USA V. JUNITED MICROELECTONICS CORPORATION, et al. CR Is This Case Under Seal? No 1 8 Total Number of Defendants: Five Roesghis case involve ONLY charges N0 finder U.S.C. 1325 and/or 1326? Venue (Per Crim. L.R. 18-1): San Jose Is this a potential high-cost case? No Is any defendant charged with a death-penalty-eligible crime? No Is this a RICO Act gang case? No Assi ned AUSA . (Lei, Attorney): Shlao c. Lee Date Submitted: 9/27/2018 Comments: I Form CAND-CRIM-COVER (Rev. 11/16) RESET FORM SAVE PDF 1