Jorno v. Hisgadget - Complaint

Download as pdf or txt
Download as pdf or txt
You are on page 1of 16

Case 5:20-cv-03334 Document 1 Filed 05/15/20 Page 1 of 9

1 STEPHEN MICHAEL LOBBIN (Cal. Bar No. 181195)


[email protected]
2 SML AVVOCATI P.C.
888 Prospect St, Ste 200
3 La Jolla, CA 92037-4261
Tel: (949) 636-1391
4
CHRISTOPHER M. JOE (To be Admitted PHV)
5 [email protected]
BUETHER JOE & CARPENTER, LLC
6 1700 Pacific, Suite 4750
Dallas, TX 75201
7 Tel: (214) 466-1270
8 Fax: (214) 635-1842

9 Attorneys for Plaintiff


Jorno, LLC
10
11 UNITED STATES DISTRICT COURT
NORTHERN DISTRICT OF CALIFORNIA
12 SAN JOSE DIVISION

13
14 JORNO, LLC,
Case No. 5:20-cv-03334
15
Plaintiff, COMPLAINT FOR PATENT
16 INFRINGEMENT
v.
17 JURY TRIAL DEMAND
HISGADGET, INC. D/B/A iCLEVER,
18
Defendant.
19
20
21
22
23
24
25
26
27
28

1
COMPLAINT FOR PATENT INFRINGEMENT – CASE NO. _____
Case 5:20-cv-03334 Document 1 Filed 05/15/20 Page 2 of 9

1 This is a civil action for patent infringement based on the patent laws of the United
2 States, 35 U.S.C. § 1 et seq. in which Plaintiff Jorno, LLC complains against Defendant
3 HISGADGET Inc. d/b/a iClever, all upon information and belief, as follows:
4 A. THE PARTIES
5 1. Plaintiff Jorno, LLC (“Plaintiff” or “Jorno”) is a Wyoming limited liability
6
company having its principal place of business in New York, New York.
7
2. On information and belief Defendant HISGADGET Inc. d/b/a iClever
8
(“Defendant” or “iClever”) is a corporation organized under the laws of California and
9
operating the website www.iclever.com.
10
3. On information and belief Defendant iClever is headquartered in City of Newark,
11
California.
12
4. On information and belief Defendant iClever has a principal place of business at
13
37707 Cherry St. Newark CA 94560.
14
15 B. JURISDICTION AND VENUE

16 5. This Court has subject matter jurisdiction pursuant to 28 U.S.C. §§ 1331 and

17 1338(a).

18 6. This Court has general and specific personal jurisdiction over Defendant

19 inasmuch as the Defendant resides in this judicial district and by virtue of the Defendant’s
20 continuous and systematic business activities in this State, directly or through intermediaries,
21 which activities give rise to at least a portion of the infringements alleged herein and include:
22 (i) making, using, offering for sale and/or selling the below identified infringing apparatus in
23 this State, and/or importing the below identified infringing products into this State;
24 (ii) purposefully and voluntarily placing the below identified infringing apparatus into the
25
stream of commerce with the expectation that they will be purchased by consumers in this
26
State; and/or (iii) deriving substantial revenue from the below identified infringing products
27
provided to individuals in this State.
28

2
COMPLAINT FOR PATENT INFRINGEMENT – CASE NO. _____
Case 5:20-cv-03334 Document 1 Filed 05/15/20 Page 3 of 9

1 7. Venue is proper in this Judicial District as to Defendant under 28 U.S.C.


2 §§ 1391(b) and (c) and 1400(b) inasmuch as the Defendant resides in this judicial district and
3 by virtue of Defendant’s continuous and systematic business activities in this Judicial District,
4 directly or through intermediaries, which activities give rise to at least a portion of the
5 infringements alleged herein and include: (i) making, using, offering for sale and/or selling the
6
below identified infringing products in this Judicial District, and/or importing the below
7
identified infringing products into this Judicial District; (ii) purposefully and voluntarily
8
placing the below identified infringing products into the stream of commerce with the
9
expectation that they will be purchased by consumers in this Judicial District; and/or
10
(iii) deriving substantial revenue from the below identified infringing products provided to
11
individuals in this Judicial District.
12
THE PATENT
13
8. On January 3, 2017, the United States Patent and Trademark Office duly and
14
legally issued Unites States Patent No. D775,630 (the ’630 Patent) entitled “Keyboard” which
15
protects Jorno’s novel folding keyboard design. A true and correct copy of the ’630 Patent is
16
attached as Exhibit A.
17
18 9. Jorno LLC has been duly assigned and owns all rights, title, and interest in and

19 to the ’630 Patent and has the exclusive right to sue and recover for past, present, and future

20 infringement.

21 C. ACCUSED DEVICES

22 10. The infringing devices include folding keyboards that Defendant sells and/or
23 offers for sale (e.g., on its website iClever.com) whose design is substantially similar to
24 Plaintiff’s patented keyboard design (the ’630 Patent). These keyboards each bear such a
25 striking similarity that it would be absolutely clear to an ordinary observer that the accused
26 devices were made with the intent to simply copy Plaintiff’s protected design and would be
27 deceptively similar to a normal observer.
28

3
COMPLAINT FOR PATENT INFRINGEMENT – CASE NO. _____
Case 5:20-cv-03334 Document 1 Filed 05/15/20 Page 4 of 9

1 11. The specific accused Products detailed below are identified by iClever’s Model
2 Number and by a short textual description. The specific devices, Models, etc. listed is not an
3 exhaustive list and the Products accused are not so limited.
4 12. On its website, Defendant offers for sale accused devices providing, among
5 other things, a textual and pictorial description of the infringing keyboard, the purchase price
6
of the product, and a Specifications and Reviews section describing the product.
7
13. On its website, Defendant provides direct sales and/or provides web links
8
connecting a consumer directly to a U.S. third party seller inducing the third party seller and
9
end-users to directly infringe the ’360 Patent. 1
10
14. iClever also provides video tutorials providing instructions of how to use an
11
infringing product. 2
12
15. On information and belief Defendant sells and offers for sale the following
13
infringing devices: the iClever– “Bluetooth Portable Keyboard,” Model: IC-BK03, and the
14
15 iClever– “Tri-Folding Bluetooth Keyboard,” Model: BK05.

16
D. COUNT I
17
PATENT INFRINGEMENT
18
16. The prior paragraphs of this Complaint are incorporated by reference as though
19
fully set forth herein.
20
21 17. Defendant has been and now is directly infringing the ’630 Patent in the United

22 States by, among other things, selling or exposing for sale keyboards to which such design or

23 colorable imitation has been applied making, using, offering for sale, selling, and/or importing

24 within this judicial district and elsewhere in the United States, without license or authority,

25 keyboards that incorporate the patented features of the ’630 Patent in violation of
26 35 U.S.C. §271.
27
1
28 See https://www.iclever.com/products/BK03-Bluetooth-Portable-Keyboard
2
https://www.iclever.com/products/BK05-Tri-Folding-Bluetooth-Keyboard

4
COMPLAINT FOR PATENT INFRINGEMENT – CASE NO. _____
Case 5:20-cv-03334 Document 1 Filed 05/15/20 Page 5 of 9

1 18. The filing of this Complaint constitutes notice in accordance with


2 35 U.S.C. § 287. Despite such notice, upon information and belief, the Defendant continues to
3 import into, market, offer for sale and/or sell keyboards in the United States and/or inducing
4 third-party sellers and/or end-users to infringe the ’630 Patent by using and/or selling the
5 accused products.
6
19. As a direct result of Defendant’s unlicensed infringement, Plaintiff has been
7
irreparably harmed due to loss of sales and/or loss of market share.
8
20. Due at least to the significant disparity in hardships between the parties,
9
remedies available at law, such as monetary damages, are inadequate to compensate for the
10
injury to Plaintiff.
11
21. As a direct and proximate result of Defendant’s infringing conduct, Plaintiff has
12
been injured and will continue to suffer irreparable injury to its business unless Defendant is
13
restrained by this Court from further violation of Plaintiff's keyboard design intellectual
14
15 property by infringing the ’630 Patent.

16 22. On its website, Defendant offers for sale at least accused device BK05 “Tri-

17 Folding Bluetooth Keyboard.” Defendant has sold this infringing product at least since February

18 2016. The iClever BK05 keyboard’s design is substantially the same keyboard design as the

19 ’630 patent and the two keyboards are deceptively similar to a normal observer.
20 23. For example, Figure 1 of the ’630 Patent (shown below) shows the ornamental
21 design of a tri-foldable keyboard. The ’630 patent has a distinctive design to its hinges
22 resembling a butterfly. The center portion of the hinge having a distinctive shape somewhat
23 like an inverted letter T with a thick, rounded bottom. The “wings” of the butterfly are wider at
24 their ends. The ’630 design also has its keys laid out such that there is a little over three key
25
widths (counting from the outside of the top and bottom rows) aligned with a line between the
26
27
28

5
COMPLAINT FOR PATENT INFRINGEMENT – CASE NO. _____
Case 5:20-cv-03334 Document 1 Filed 05/15/20 Page 6 of 9

1 center of the hinges. The outer edge of the keyboard’s typing face is slightly raised forming a
2 ridge around the face of the keyboard.
3
4
5
6
7
8
9
10
11
12
13
14
15
Figure 1 of the ’630 Patent. Compare to Defendant’s Product Below.
16
17
18
19
20
21
22
23
24
25
26
27
28

6
COMPLAINT FOR PATENT INFRINGEMENT – CASE NO. _____
Case 5:20-cv-03334 Document 1 Filed 05/15/20 Page 7 of 9

1
2
3
4
5
6
7
8
9
10
11 The iClever BK05 keyboard (shown above) incorporates at least the distinctive ornamental

12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27 features of the ’630 Patent as described above. The other accused BK03 product (above)

28

7
COMPLAINT FOR PATENT INFRINGEMENT – CASE NO. _____
Case 5:20-cv-03334 Document 1 Filed 05/15/20 Page 8 of 9

1 similarly incorporate these features and are substantially the same keyboard design for at least
2 the reasons stated above.
3 24. For example, the iClever BK03 keyboard shown below has at least the features
4 distinctive ornamental features of the ’630 Patent as described above:
5 25. In light of the foregoing, Plaintiff is entitled to injunctive relief prohibiting
6
Defendant from infringing the ’630 Patent and to recover from Defendant all damages,
7
including attorneys’ fees, that Plaintiff has sustained and will sustain as a result of such
8
infringing acts, and all gains, profits and advantages obtained by Defendant as a result thereof,
9
in an amount to be determined, which amount can be trebled under 35 U.S.C. § 284.
10
PRAYER FOR RELIEF
11
WHEREFORE, Plaintiff Jorno requests that this Court enter:
12
A. A judgment in favor of Jorno that Defendant has infringed the’630 Patent;
13
B. A judgment and order requiring Defendant to pay Jorno its damages, costs,
14
expenses, prejudgment and post-judgment interest, and post-judgment royalties for Defendant’s
15
infringement of the ’630 Patent as provided under 35 U.S.C. § 284;
16
C. An order enjoining Defendant from continued infringement of Jorno’s
17
18 ’630 Patent; and

19 D. Any and all other relief to which the Court may deem Jorno entitled.

20 DEMAND FOR JURY TRIAL

21 Plaintiff Jorno, under Rule 38 of the Federal Rules of Civil Procedure, requests a trial by

22 jury of any issues so triable by right.


23
24
25
26
27
28

8
COMPLAINT FOR PATENT INFRINGEMENT – CASE NO. _____
Case 5:20-cv-03334 Document 1 Filed 05/15/20 Page 9 of 9

1 Dated: May 15, 2020 SML AVVOCATI P.C.


2
/s/ Stephen M. Lobbin
3 Stephen Michael Lobbin
(Cal. Bar No. 181195)
4 888 Prospect St, Ste 200
5 La Jolla, CA 92037-4261
Tel: (949) 636-1391
6 Email: [email protected]
7
8 Buether Joe & Carpenter, LLC
Christopher M. Joe (To Be Admitted PHV)
9 (TX Bar No. 00787770)
1700 Pacific Avenue
10
Suite 4750
11 Dallas, Texas 75201
Telephone: (214) 466-1270
12 Facsimile: (214) 635-1842
Email: [email protected]
13
14 Attorneys for Plaintiff
Jorno, LLC
15
16
17
18
19
20
21
22
23
24
25
26
27
28

9
COMPLAINT FOR PATENT INFRINGEMENT – CASE NO. _____
Case 5:20-cv-03334 Document 1-1 Filed 05/15/20 Page 1 of 5

EXHIBIT A
Case 5:20-cv-03334 Document 1-1 Filed 05/15/20 Page 2 of 5

USOOD775630S

(12) United States Design Patent (10) Patent No.: US D775,630 S


Starrett (45) Date of Patent: Jan. 3, 2017
(54) KEYBOARD D475,709 S * 6/2003 Tritschler ..................... D14/396
6,793.421 B1* 9/2004 Baldwin ............... G06F 3,0221
(71) Applicant: CERVANTES MOBILE, Los Angeles, ck 361,679.14
CA (US) 6,877,919 B2 4/2005 Sitalasai ............... G06F 1, 1632
400/472
(72) Inventor: Scott Starrett, Los Angeles, CA (US) * cited by examiner
ck
(**) Term: 14 Years Primary Examiner — Freda S Nunn
(21) Appl. No.: 29/518,234 (74) Attorney, Agent, or Firm — Cowan, Liebowitz &
Latman, P.C.; Steven D. Underwood
(22) Filed: Feb. 20, 2015
(51) LOC (10) Cl. ............................................... 14-02
USPC ......................................................... D14/455
(58) Field of Classification Search The ornamental design for a keyboard, as shown and
USPC ....... D14/315-327, 391-399, 341, 345, 440; described.
D18/1, 2, 7, 11; 235/145 A, 145 R:
341/22, 23: 345/104, 156, 168, 169,
345/173: 361/679.08, 679.09, 679.11,
361/679.26, 679.27; D3/218, 269, 298, DESCRIPTION
D3A299
CPC ........ G06F 1/16; G06F 1/1616; G06F 1/1626;
G06F 1/1632: G06F 1/1613; G06F FIG. 1 is a perspective view of the keyboard of the present
1/1601; G06F 1/1618: G06F 1/162; G06F invention wherein the broken lines are shown for environ
3/0221; G06F 3/0216; G06F ment only and form no part of the claimed design;
1/1628; H01R 35/02; H03M 11/00; G09B FIG. 2 is a top, front, and side perspective view thereof
13/04; H03K 17/94; G09G 5/00; F16M shown partially opened;
11/10; H05K 5700; H04M 1/0237; H01H
13/14: H01H 13/84: B41J 5/00; B41J FIG. 3 is a top, front and side perspective view thereof
5/12: B41J 5/10; A45C 3/02 shown in the closed position;
See application file for complete search history. FIG. 4 is a front view thereof
56 Ref Cited FIG. 5 is a rear view thereof;
(56) eerees e FIGS. 6 and 7 are side views thereof
U.S. PATENT DOCUMENTS FIG. 8 is a top view thereof; and,
4.509,873 A * 4/1985 Ryan .......................... so FIG. 9 is a bottom view thereof.
341 (22
D457.525 S * 5/2002 Olodort ........................ D14/396 1 Claim, 3 Drawing Sheets
Case 5:20-cv-03334 Document 1-1 Filed 05/15/20 Page 3 of 5

U.S. Patent Jan. 3, 2017 Sheet 1 of 3 US D775,630 S

FIG. 1

FIG.2
Case 5:20-cv-03334 Document 1-1 Filed 05/15/20 Page 4 of 5

U.S. Patent Jan. 3, 2017 Sheet 2 of 3 US D775,630 S


Case 5:20-cv-03334 Document 1-1 Filed 05/15/20 Page 5 of 5

U.S. Patent Jan. 3, 2017 Sheet 3 of 3 US D775,630 S


-6&$1' 5HY  Case 5:20-cv-03334 Document 1-2 Filed 05/15/20 Page 1 of 2
  &,9,/&29(56+((7 
7KH-6&$1'FLYLOFRYHUVKHHWDQGWKHLQIRUPDWLRQFRQWDLQHGKHUHLQQHLWKHUUHSODFHQRUVXSSOHPHQWWKHILOLQJDQGVHUYLFHRISOHDGLQJVRURWKHUSDSHUVDVUHTXLUHGE\ODZ
H[FHSWDVSURYLGHGE\ORFDOUXOHVRIFRXUW7KLVIRUPDSSURYHGLQLWVRULJLQDOIRUPE\WKH-XGLFLDO&RQIHUHQFHRIWKH8QLWHG6WDWHVLQ6HSWHPEHULVUHTXLUHGIRUWKH&OHUNRI
&RXUWWRLQLWLDWHWKHFLYLOGRFNHWVKHHW(SEE INSTRUCTIONS ON NEXT PAGE OF THIS FORM.)
, D 3/$,17,))6 '()(1'$176
Jorno, LLC HISGADGET, Inc. d/b/a iClever
 E &RXQW\RI5HVLGHQFHRI)LUVW/LVWHG3ODLQWLII Laramie County, Wyoming &RXQW\RI5HVLGHQFHRI)LUVW/LVWHG'HIHQGDQW
  (EXCEPT IN U.S. PLAINTIFF CASES) (IN U.S. PLAINTIFF CASES ONLY)
127(,1/$1'&21'(01$7,21&$6(686(7+(/2&$7,212)
 7+(75$&72)/$1',192/9('
 F $WWRUQH\V(Firm Name, Address, and Telephone Number) $WWRUQH\V(If Known)
Stephen Michael Lobbin 
888 Prospect St, Ste 200, La Jolla, CA 92037-4261
Tel: (949) 636-1391

,, %$6,62)-85,6',&7,21(Place an “X” in One Box Only) ,,,&,7,=(16+,32)35,1&,3$/3$57,(6 (Place an “X” in One Box for Plaintiff
 (For Diversity Cases Only)     and One Box for Defendant) 
 37) '() 37) '()
 86*RYHUQPHQW3ODLQWLII  )HGHUDO4XHVWLRQ &LWL]HQRI7KLV6WDWH   ,QFRUSRUDWHGor3ULQFLSDO3ODFH  
  (U.S. Government Not a Party)
   RI%XVLQHVV,Q7KLV6WDWH
&LWL]HQRI$QRWKHU6WDWH   ,QFRUSRUDWHGand3ULQFLSDO3ODFH  
 86*RYHUQPHQW'HIHQGDQW  'LYHUVLW\    RI%XVLQHVV,Q$QRWKHU6WDWH
  (Indicate Citizenship of Parties in Item III)
&LWL]HQRU6XEMHFWRID   )RUHLJQ1DWLRQ  
)RUHLJQ&RXQWU\

,9 1$785(2)68,7(Place an “X” in One Box Only)
&2175$&7 72576 )25)(,785(3(1$/7< %$1.5837&< 27+(567$787(6
,QVXUDQFH 3(5621$/,1-85< 3(5621$/,1-85< 'UXJ5HODWHG6HL]XUHRI $SSHDO86&† )DOVH&ODLPV$FW
0DULQH 3URSHUW\86&† :LWKGUDZDO86& 4XL7DP 86&
$LUSODQH 3HUVRQDO,QMXU\±3URGXFW
0LOOHU$FW /LDELOLW\ 2WKHU † † D 
$LUSODQH3URGXFW/LDELOLW\
1HJRWLDEOH,QVWUXPHQW +HDOWK&DUH /$%25 3523(57<5,*+76 6WDWH5HDSSRUWLRQPHQW
$VVDXOW/LEHO 6ODQGHU
5HFRYHU\RI 3KDUPDFHXWLFDO3HUVRQDO $QWLWUXVW
)HGHUDO(PSOR\HUV¶ )DLU/DERU6WDQGDUGV$FW &RS\ULJKWV
2YHUSD\PHQW2I ,QMXU\3URGXFW/LDELOLW\ %DQNVDQG%DQNLQJ
/LDELOLW\ /DERU0DQDJHPHQW 3DWHQW
9HWHUDQ¶V%HQHILWV $VEHVWRV3HUVRQDO,QMXU\ &RPPHUFH
0DULQH 5HODWLRQV 3DWHQWņ$EEUHYLDWHG1HZ
0HGLFDUH$FW 3URGXFW/LDELOLW\
0DULQH3URGXFW/LDELOLW\ 5DLOZD\/DERU$FW 'UXJ$SSOLFDWLRQ 'HSRUWDWLRQ
5HFRYHU\RI'HIDXOWHG 3(5621$/3523(57< 5DFNHWHHU,QIOXHQFHG 
0RWRU9HKLFOH )DPLO\DQG0HGLFDO 7UDGHPDUN
6WXGHQW/RDQV ([FOXGHV 2WKHU)UDXG &RUUXSW2UJDQL]DWLRQV
0RWRU9HKLFOH3URGXFW /HDYH$FW
9HWHUDQV  7UXWKLQ/HQGLQJ 62&,$/6(&85,7<
/LDELOLW\ 2WKHU/DERU/LWLJDWLRQ &RQVXPHU&UHGLW
5HFRYHU\RI 2WKHU3HUVRQDO3URSHUW\ +,$ II 
2WKHU3HUVRQDO,QMXU\ (PSOR\HH5HWLUHPHQW 7HOHSKRQH&RQVXPHU
2YHUSD\PHQW 'DPDJH ,QFRPH6HFXULW\$FW %ODFN/XQJ   3URWHFWLRQ$FW
 RI9HWHUDQ¶V%HQHILWV 3HUVRQDO,QMXU\0HGLFDO
0DOSUDFWLFH 3URSHUW\'DPDJH3URGXFW ',:&',::  J  &DEOH6DW79
6WRFNKROGHUV¶6XLWV /LDELOLW\ ,00,*5$7,21
66,'7LWOH;9, 6HFXULWLHV&RPPRGLWLHV
2WKHU&RQWUDFW 1DWXUDOL]DWLRQ ([FKDQJH
&,9,/5,*+76 35,621(53(7,7,216 56,  J 
&RQWUDFW3URGXFW/LDELOLW\ $SSOLFDWLRQ
2WKHU&LYLO5LJKWV 2WKHU6WDWXWRU\$FWLRQV
+$%($6&25386 2WKHU,PPLJUDWLRQ )('(5$/7$;68,76
)UDQFKLVH $JULFXOWXUDO$FWV
9RWLQJ $OLHQ'HWDLQHH $FWLRQV 7D[HV 863ODLQWLIIRU
5($/3523(57< (PSOR\PHQW (QYLURQPHQWDO0DWWHUV
0RWLRQVWR9DFDWH 'HIHQGDQW 
/DQG&RQGHPQDWLRQ 6HQWHQFH )UHHGRPRI,QIRUPDWLRQ
+RXVLQJ ,56±7KLUG3DUW\86&
$FFRPPRGDWLRQV $FW
)RUHFORVXUH *HQHUDO †
$PHUZ'LVDELOLWLHV± $UELWUDWLRQ
5HQW/HDVH (MHFWPHQW 'HDWK3HQDOW\
(PSOR\PHQW $GPLQLVWUDWLYH3URFHGXUH
7RUWVWR/DQG 27+(5
$PHUZ'LVDELOLWLHV±2WKHU $FW5HYLHZRU$SSHDORI
7RUW3URGXFW/LDELOLW\ 0DQGDPXV 2WKHU $JHQF\'HFLVLRQ
$OO2WKHU5HDO3URSHUW\ (GXFDWLRQ
&LYLO5LJKWV &RQVWLWXWLRQDOLW\RI6WDWH
3ULVRQ&RQGLWLRQ 6WDWXWHV
&LYLO'HWDLQHH±
&RQGLWLRQVRI
&RQILQHPHQW

9 25,*,1(Place an “X” in One Box Only)
 2ULJLQDO  5HPRYHGIURP  5HPDQGHGIURP  5HLQVWDWHGRU  7UDQVIHUUHGIURP  0XOWLGLVWULFW  0XOWLGLVWULFW
 3URFHHGLQJ  6WDWH&RXUW  $SSHOODWH&RXUW  5HRSHQHG  $QRWKHU'LVWULFW(specify)  /LWLJDWLRQ±7UDQVIHU  /LWLJDWLRQ±'LUHFW)LOH

9, &$86(2) &LWHWKH86&LYLO6WDWXWHXQGHUZKLFK\RXDUHILOLQJ(Do not cite jurisdictional statutes unless diversity)
28 U.S.C. Sections 1331 and 1338(a)
 $&7,21
%ULHIGHVFULSWLRQRIFDXVH
Patent Infringement

9,, 5(48(67(',1 &+(&.,)7+,6,6$&/$66$&7,21 '(0$1'

&+(&.<(6RQO\LIGHPDQGHGLQFRPSODLQW
 &203/$,17 81'(558/()HG5&LY3 -85<'(0$1' <HV 1R

9,,,5(/$7('&$6( 6  -8'*(  '2&.(7180%(5
 ,)$1<(See instructions): 

,; ',9,6,21$/$66,*10(17 &LYLO/RFDO5XOH 
3ODFHDQ³;´LQ2QH%R[2QO\  6$1)5$1&,6&22$./$1' 6$1-26( (85(.$0&.,1/(<9,//(

'$7( 05/15/2020 6,*1$785(2)$77251(<2)5(&25' /s/ Stephen M. Lobbin


-6&$1' UHY  Case 5:20-cv-03334 Document 1-2 Filed 05/15/20 Page 2 of 2

,16758&7,216)25$77251(<6&203/(7,1*&,9,/&29(56+((7)250-6&$1'

$XWKRULW\)RU&LYLO&RYHU6KHHW7KH-6&$1'FLYLOFRYHUVKHHWDQGWKHLQIRUPDWLRQFRQWDLQHGKHUHLQQHLWKHUUHSODFHVQRUVXSSOHPHQWVWKHILOLQJVDQG
VHUYLFHRISOHDGLQJRURWKHUSDSHUVDVUHTXLUHGE\ODZH[FHSWDVSURYLGHGE\ORFDOUXOHVRIFRXUW7KLVIRUPDSSURYHGLQLWVRULJLQDOIRUPE\WKH-XGLFLDO
&RQIHUHQFHRIWKH8QLWHG6WDWHVLQ6HSWHPEHULVUHTXLUHGIRUWKH&OHUNRI&RXUWWRLQLWLDWHWKHFLYLOGRFNHWVKHHW&RQVHTXHQWO\DFLYLOFRYHUVKHHWLV
VXEPLWWHGWRWKH&OHUNRI&RXUWIRUHDFKFLYLOFRPSODLQWILOHG7KHDWWRUQH\ILOLQJDFDVHVKRXOGFRPSOHWHWKHIRUPDVIROORZV
,D 3ODLQWLIIV'HIHQGDQWV(QWHUQDPHV ODVWILUVWPLGGOHLQLWLDO RISODLQWLIIDQGGHIHQGDQW,IWKHSODLQWLIIRUGHIHQGDQWLVDJRYHUQPHQWDJHQF\XVH
RQO\WKHIXOOQDPHRUVWDQGDUGDEEUHYLDWLRQV,IWKHSODLQWLIIRUGHIHQGDQWLVDQRIILFLDOZLWKLQDJRYHUQPHQWDJHQF\LGHQWLI\ILUVWWKHDJHQF\DQG
WKHQWKHRIILFLDOJLYLQJERWKQDPHDQGWLWOH
E &RXQW\RI5HVLGHQFH)RUHDFKFLYLOFDVHILOHGH[FHSW86SODLQWLIIFDVHVHQWHUWKHQDPHRIWKHFRXQW\ZKHUHWKHILUVWOLVWHGSODLQWLIIUHVLGHVDWWKH
WLPHRIILOLQJ,Q86SODLQWLIIFDVHVHQWHUWKHQDPHRIWKHFRXQW\LQZKLFKWKHILUVWOLVWHGGHIHQGDQWUHVLGHVDWWKHWLPHRIILOLQJ 127(,QODQG
FRQGHPQDWLRQFDVHVWKHFRXQW\RIUHVLGHQFHRIWKH³GHIHQGDQW´LVWKHORFDWLRQRIWKHWUDFWRIODQGLQYROYHG 
F $WWRUQH\V(QWHUWKHILUPQDPHDGGUHVVWHOHSKRQHQXPEHUDQGDWWRUQH\RIUHFRUG,IWKHUHDUHVHYHUDODWWRUQH\VOLVWWKHPRQDQDWWDFKPHQWQRWLQJ
LQWKLVVHFWLRQ³ VHHDWWDFKPHQW ´
,,-XULVGLFWLRQ7KHEDVLVRIMXULVGLFWLRQLVVHWIRUWKXQGHU)HGHUDO5XOHRI&LYLO3URFHGXUH D ZKLFKUHTXLUHVWKDWMXULVGLFWLRQVEHVKRZQLQ
SOHDGLQJV3ODFHDQ³;´LQRQHRIWKHER[HV,IWKHUHLVPRUHWKDQRQHEDVLVRIMXULVGLFWLRQSUHFHGHQFHLVJLYHQLQWKHRUGHUVKRZQEHORZ
  8QLWHG6WDWHVSODLQWLII-XULVGLFWLRQEDVHGRQ86&††DQG6XLWVE\DJHQFLHVDQGRIILFHUVRIWKH8QLWHG6WDWHVDUHLQFOXGHGKHUH
  8QLWHG6WDWHVGHIHQGDQW:KHQWKHSODLQWLIILVVXLQJWKH8QLWHG6WDWHVLWVRIILFHUVRUDJHQFLHVSODFHDQ³;´LQWKLVER[
  )HGHUDOTXHVWLRQ7KLVUHIHUVWRVXLWVXQGHU86&†ZKHUHMXULVGLFWLRQDULVHVXQGHUWKH&RQVWLWXWLRQRIWKH8QLWHG6WDWHVDQDPHQGPHQW
WRWKH&RQVWLWXWLRQDQDFWRI&RQJUHVVRUDWUHDW\RIWKH8QLWHG6WDWHV,QFDVHVZKHUHWKH86LVDSDUW\WKH86SODLQWLIIRUGHIHQGDQWFRGH
WDNHVSUHFHGHQFHDQGER[RUVKRXOGEHPDUNHG
  'LYHUVLW\RIFLWL]HQVKLS7KLVUHIHUVWRVXLWVXQGHU86&†ZKHUHSDUWLHVDUHFLWL]HQVRIGLIIHUHQWVWDWHV:KHQ%R[LVFKHFNHGWKH
FLWL]HQVKLSRIWKHGLIIHUHQWSDUWLHVPXVWEHFKHFNHG 6HH6HFWLRQ,,,EHORZ127(IHGHUDOTXHVWLRQDFWLRQVWDNHSUHFHGHQFHRYHUGLYHUVLW\
FDVHV 
,,,5HVLGHQFH FLWL]HQVKLS RI3ULQFLSDO3DUWLHV7KLVVHFWLRQRIWKH-6&$1'LVWREHFRPSOHWHGLIGLYHUVLW\RIFLWL]HQVKLSZDVLQGLFDWHGDERYH
0DUNWKLVVHFWLRQIRUHDFKSULQFLSDOSDUW\
,91DWXUHRI6XLW3ODFHDQ³;´LQWKHDSSURSULDWHER[,IWKHQDWXUHRIVXLWFDQQRWEHGHWHUPLQHGEHVXUHWKHFDXVHRIDFWLRQLQ6HFWLRQ9,EHORZLV
VXIILFLHQWWRHQDEOHWKHGHSXW\FOHUNRUWKHVWDWLVWLFDOFOHUN V LQWKH$GPLQLVWUDWLYH2IILFHWRGHWHUPLQHWKHQDWXUHRIVXLW,IWKHFDXVHILWVPRUHWKDQ
RQHQDWXUHRIVXLWVHOHFWWKHPRVWGHILQLWLYH
92ULJLQ3ODFHDQ³;´LQRQHRIWKHVL[ER[HV
  2ULJLQDO3URFHHGLQJV&DVHVRULJLQDWLQJLQWKH8QLWHG6WDWHVGLVWULFWFRXUWV
  5HPRYHGIURP6WDWH&RXUW3URFHHGLQJVLQLWLDWHGLQVWDWHFRXUWVPD\EHUHPRYHGWRWKHGLVWULFWFRXUWVXQGHU7LWOH86&†:KHQWKH
SHWLWLRQIRUUHPRYDOLVJUDQWHGFKHFNWKLVER[
  5HPDQGHGIURP$SSHOODWH&RXUW&KHFNWKLVER[IRUFDVHVUHPDQGHGWRWKHGLVWULFWFRXUWIRUIXUWKHUDFWLRQ8VHWKHGDWHRIUHPDQGDVWKHILOLQJ
GDWH
  5HLQVWDWHGRU5HRSHQHG&KHFNWKLVER[IRUFDVHVUHLQVWDWHGRUUHRSHQHGLQWKHGLVWULFWFRXUW8VHWKHUHRSHQLQJGDWHDVWKHILOLQJGDWH
  7UDQVIHUUHGIURP$QRWKHU'LVWULFW)RUFDVHVWUDQVIHUUHGXQGHU7LWOH86&† D 'RQRWXVHWKLVIRUZLWKLQGLVWULFWWUDQVIHUVRU
PXOWLGLVWULFWOLWLJDWLRQWUDQVIHUV
  0XOWLGLVWULFW/LWLJDWLRQ7UDQVIHU&KHFNWKLVER[ZKHQDPXOWLGLVWULFWFDVHLVWUDQVIHUUHGLQWRWKHGLVWULFWXQGHUDXWKRULW\RI7LWOH86&
†:KHQWKLVER[LVFKHFNHGGRQRWFKHFN  DERYH
  0XOWLGLVWULFW/LWLJDWLRQ'LUHFW)LOH&KHFNWKLVER[ZKHQDPXOWLGLVWULFWOLWLJDWLRQFDVHLVILOHGLQWKHVDPHGLVWULFWDVWKH0DVWHU0'/GRFNHW
3OHDVHQRWHWKDWWKHUHLVQR2ULJLQ&RGH2ULJLQ&RGHZDVXVHGIRUKLVWRULFDOUHFRUGVDQGLVQRORQJHUUHOHYDQWGXHWRFKDQJHVLQVWDWXWH
9,&DXVHRI$FWLRQ5HSRUWWKHFLYLOVWDWXWHGLUHFWO\UHODWHGWRWKHFDXVHRIDFWLRQDQGJLYHDEULHIGHVFULSWLRQRIWKHFDXVH'RQRWFLWHMXULVGLFWLRQDO
VWDWXWHVXQOHVVGLYHUVLW\([DPSOH86&LYLO6WDWXWH86&†%ULHI'HVFULSWLRQ8QDXWKRUL]HGUHFHSWLRQRIFDEOHVHUYLFH
9,,5HTXHVWHGLQ&RPSODLQW&ODVV$FWLRQ3ODFHDQ³;´LQWKLVER[LI\RXDUHILOLQJDFODVVDFWLRQXQGHU)HGHUDO5XOHRI&LYLO3URFHGXUH
'HPDQG,QWKLVVSDFHHQWHUWKHDFWXDOGROODUDPRXQWEHLQJGHPDQGHGRULQGLFDWHRWKHUGHPDQGVXFKDVDSUHOLPLQDU\LQMXQFWLRQ
-XU\'HPDQG&KHFNWKHDSSURSULDWHER[WRLQGLFDWHZKHWKHURUQRWDMXU\LVEHLQJGHPDQGHG
9,,,5HODWHG&DVHV7KLVVHFWLRQRIWKH-6&$1'LVXVHGWRLGHQWLI\UHODWHGSHQGLQJFDVHVLIDQ\,IWKHUHDUHUHODWHGSHQGLQJFDVHVLQVHUWWKHGRFNHW
QXPEHUVDQGWKHFRUUHVSRQGLQJMXGJHQDPHVIRUVXFKFDVHV
,;'LYLVLRQDO$VVLJQPHQW,IWKH1DWXUHRI6XLWLVXQGHU3URSHUW\5LJKWVRU3ULVRQHU3HWLWLRQVRUWKHPDWWHULVD6HFXULWLHV&ODVV$FWLRQOHDYHWKLV
VHFWLRQEODQN)RUDOORWKHUFDVHVLGHQWLI\WKHGLYLVLRQDOYHQXHDFFRUGLQJWR&LYLO/RFDO5XOH³WKHFRXQW\LQZKLFKDVXEVWDQWLDOSDUWRIWKH
HYHQWVRURPLVVLRQVZKLFKJLYHULVHWRWKHFODLPRFFXUUHGRULQZKLFKDVXEVWDQWLDOSDUWRIWKHSURSHUW\WKDWLVWKHVXEMHFWRIWKHDFWLRQLVVLWXDWHG´
'DWHDQG$WWRUQH\6LJQDWXUH'DWHDQGVLJQWKHFLYLOFRYHUVKHHW



You might also like