Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-3_08-cv-04238/USCOURTS-cand-3_08-cv-04238-12/pdf.json

Nature of Suit Code: 850
Nature of Suit: Securities, Commodities, Exchange
Cause of Action: 15:78m(a) Securities Exchange Act

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MARC J. FAGEL (Cal. Bar No. 154425) 

SUSAN F. LAMARCA (Cal Bar No. 215231) 

lamarcas@sec.gov 

ROBERT L. TASHJIAN (Cal Bar No. 191007) 

tashjianr@sec.gov 

WILLIAM T. SALZMANN (Cal. Bar No. 205808) 

salzmannw@sec.gov 

Attorneys for Plaintiff 

SECURITIES AND EXCHANGE COMMISSION 

44 Montgomery Street, Suite 2600 

San Francisco, California 94104 

Telephone: (415) 705-2500 

SECURITIES AND EXCHANGE COMMISSION,

 Plaintiff, 

 vs. 

RAJ P. SABHLOK and MICHAEL C. PATTISON,

 Defendants. 

Case No. C-08-4238 EMC 

STIPULATION BETWEEN SECURITIES 

AND EXCHANGE COMMISSION AND 

MICHAEL PATTISON CONCERNING 

CERTAIN TRIAL EXHIBITS 

Trial Date: Sept. 7, 2010 

Before the Honorable Edward M. Chen 

UNITED STATES DISTRICT COURT 

NORTHERN DISTRICT OF CALIFORNIA 

SAN FRANCISCO DIVISION 

Case 3:08-cv-04238-EMC Document 240 Filed 08/06/10 Page 1 of 6
STIPULATION RE EXHIBITS 1 No. C-08-4238 EMC 

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Plaintiff Securities and Exchange Commission and defendant Michael C. Pattison, by and 

through their undersigned counsel, hereby stipulate and agree to the following: 

A. E-mail messages and attachments 

The parties stipulate that exhibits reflecting printouts of e-mail messages bates labeled with 

the prefixes EMBT, EMBPALL, ETET, ETHE, ETRADE, ETSC, ETTCB, and GP are authentic email messages and require no further proof to establish their authenticity pursuant to Rule 901 of the 

Federal Rules of Evidence. The parties agree that these exhibits are e-mail messages sent by the 

person on the “FROM” line and to the recipients on the “TO,” “CC,” and “BCC” lines. The parties 

further agree that the messages were sent on the dates and at the times reflected in the printout. The 

parties also agree that the documents following e-mail messages in these exhibits are printouts of 

attachments to the e-mail messages. 

This stipulation does not apply to e-mail messages bates labeled with the prefix “RS-SEC”. 

The parties agree, however, that the “RS-SEC” e-mail messages marked as Exhibit Nos. 139, 169, 

and 185 are authentic because the parties located duplicate e-mail messages bates labeled EMBT. 

The parties further agree that e-mail messages marked as Exhibit Nos. 33 and 804 are 

authentic draft e-mail messages authored by the individuals identified on the “FROM” line and 

written on the dates identified on the exhibits. It is unknown from the face of the exhibits whether 

the messages were sent, as no one is identified as a recipient on the “TO” lines. 

B. Stock Option Grants 

The parties stipulate that signed exhibits captioned “Embarcadero Technologies, Inc. Stock 

Option Grant” and bates labeled with the prefix ETSC are authentic stock option agreements and 

require no further proof to establish their authenticity pursuant to Rule 901 of the Federal Rules of 

Evidence. 

C. Certain Quarterly Grant Lists 

The parties stipulate that the following exhibits bates labeled with the prefix ETSC are 

authentic and require no further proof to establish their authenticity pursuant to Rule 901 of the 

Federal Rules of Evidence: Exhs. 21; 354; 356; 470; 478; 481; 483; 494; 519; 520; 521; 549; 556; 

563; 576; 595; 605. 

Case 3:08-cv-04238-EMC Document 240 Filed 08/06/10 Page 2 of 6
STIPULATION RE EXHIBITS 2 No. C-08-4238 EMC 

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D. Memoranda 

The parties stipulate that the following exhibits reflecting memoranda bates labeled with the 

prefixes EMBT and ETET are authentic memoranda and require no further proof to establish their 

authenticity pursuant to Rule 901 of the Federal Rules of Evidence: Exhs. 5; 539; 546. 

The parties agree that the memoranda were written by the authors reflected in the exhibits. 

The parties also agree that the memoranda were written on the dates reflected in the exhibits. The 

parties further agree that the first memorandum in Exh. 546 dated March 14, 2003, refers to the two 

attached memoranda dated July 1, 2002, included in the exhibit. 

E. Printouts of Equity Edge Reports

 The parties stipulate that the following exhibits bates labeled with the prefixes ETSC and 

EMBT are authentic printouts of Equity Edge stock option reports from Embarcadero Technologies, 

Inc. and require no further proof to establish their authenticity pursuant to Rule 901 of the Federal 

Rules of Evidence: Exhs. 651; 655; 656; 657; 658. 

F. Management Representation Letters 

The parties stipulate that the following exhibits bates labeled with the prefixes PwC-EMBTSEC and EMBT are authentic management representation letters signed by Stephen Wong, Raj 

Sabhlok, and Michael Pattison and require no further proof to establish their authenticity pursuant to 

Rule 901 of the Federal Rules of Evidence: Exhs. 37; 487; 498; 516; 525; 547; 551; 560; 561; 570; 

592; 598; 601; 602; 616; 624; 626. 

G. Filings made by Embarcadero Technologies, Inc. 

The parties stipulate that the exhibits, listed below, reflecting Forms 10-K (annual reports), 

Forms 10-Q (quarterly reports), Schedules 14A (proxy statements), and Forms 8-K (periodic reports) 

are authentic filings made by Embarcadero Technologies, Inc. with the Securities and Exchange 

Commission and require no further proof to establish their authenticity pursuant to Rule 901 of the 

Federal Rules of Evidence. 

 

Case 3:08-cv-04238-EMC Document 240 Filed 08/06/10 Page 3 of 6
STIPULATION RE EXHIBITS 3 No. C-08-4238 EMC 

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The parties further agree that these exhibits were filed with the Securities and Exchange 

Commission on the dates reflected in the following chart: 

Exh. Description Filing Date 

2 Form 10-K (fiscal year ended Dec. 31, 2003) Mar. 12, 2004 

314 Form 10-K (fiscal year ended Dec. 31, 2004) Apr. 7, 2005 

315 Schedule 14A (Preliminary Proxy Statement) Oct. 6, 2006 

316 Form 8-K (dated Nov. 10, 2006) Nov. 13, 2006 

318 Form 8-K (dated Nov. 15, 2006) Nov. 17, 2006 

319 Form 8-K (dated Nov. 30, 2006) Nov. 30, 2006 

320 Form 8-K (dated Dec. 16, 2006) Dec. 18, 2006 

321 Form 10-K (fiscal year ended Dec. 31, 2006) May 24, 2007 

358 Form 8-K (dated Sept. 6, 2006) Sept. 8, 2006 

401 Form 10-K (fiscal year ended Dec. 31, 2000) Mar. 20, 2001 

402 Form 10-Q (quarter ended Mar. 31, 2001) May 11, 2001 

403 Form 10-Q (quarter ended June 30, 2001) Aug. 6, 2001 

404 Form 10-Q (quarter ended Sept. 30, 2001) Nov. 9, 2001 

405 Form 10-K (fiscal year ended Dec. 31, 2001) Mar. 26, 2002 

406 Schedule 14A (Proxy Statement for June 5, 

2002, stockholders meeting) 

Apr. 26, 2002 

407 Form 10-Q (quarter ended Mar. 31, 2002) May 14, 2002 

408 Form 10-Q (quarter ended June 30, 2002) Aug. 13, 2002 

409 Form 10-K (fiscal year ended Dec. 31, 2002) Mar. 26, 2003 

410 Form 8-K (dated Apr. 22, 2003) Apr. 22, 2003 

411 Schedule 14A (Proxy Statement for June 4, 

2003, stockholders meeting) 

Apr. 23, 2003 

412 Form 10-Q (quarter ended Mar. 31, 2003) May 12, 2003 

413 Form 8-K (dated Jul. 24, 2003) Jul. 24, 2003 

414 Form 10-Q (quarter ended June 30, 2003) Aug. 11, 2003 

415 Form 8-K (dated ) Oct. 16, 2003 

416 Form 10-Q (quarter ended Sept. 30, 2003) Nov. 10, 2003 

417 Form 8-K (dated Jan. 27, 2004) Jan. 27, 2004 

418 Form 10-K (fiscal year ended Dec. 31, 2003) Mar. 12, 2004 

419 Form 8-K (dated Apr. 20, 2004) Apr. 20, 2004 

Case 3:08-cv-04238-EMC Document 240 Filed 08/06/10 Page 4 of 6
STIPULATION RE EXHIBITS 4 No. C-08-4238 EMC 

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Exh. Description Filing Date 

420 Schedule 14A (Proxy Statement for June 15, 

2004, stockholders meeting) 

Apr. 29, 2004 

421 Form 10-Q (quarter ended Mar. 31, 2004) May 10, 2004 

422 Form 8-K (dated July 20, 2004) Jul. 20, 2004 

423 Form 10-Q (quarter ended June 30, 2004) Aug. 9, 2004 

424 Form 8-K (dated Oct. 27, 2004) Oct. 27, 2004 

425 Form 10-Q/A (quarter ended Mar. 31, 2004) Jan. 18, 2005 

426 Form 10-Q/A (quarter ended June 30, 2004) Jan. 18, 2005 

427 Form 10-Q (quarter ended Sept. 30, 2004) Jan. 18, 2005 

428 Form 8-K (quarter ended Sept. 30, 2004) Jan. 18, 2005 

429 Form 8-K (dated Mar. 1, 2005) Mar. 7, 2005 

430 Form 10-K (fiscal year ended Dec. 31, 2004) Apr. 7, 2005 

431 Form 10-K/A (fiscal year ended Dec. 31, 

2004) 

Apr. 25, 2005 

432 Schedule 14A (Proxy Statement for July 14, 

2005, stockholders meeting) 

Apr. 29, 2005 

433 Schedule 14A (Proxy Statement for Nov. 30, 

2006, stockholders meeting) 

Oct. 24, 2006 

434 Form 8-K (dated Nov. 10, 2006) Nov. 13, 2006 

435 Form 8-K (dated Nov. 15, 2006) Nov. 17, 2006 

436 Form 8-K (dated Nov. 30, 2006) Nov. 30, 2006 

437 Form 8-K (dated Dec. 16, 2006) Dec. 18, 2006 

438 Form 8-K (dated Apr. 5, 2007) Apr. 6, 2007 

439 Schedule 14A (Proxy Statement for June 22, 

2007, stockholders meeting) 

May 24, 2007 

440 Form 10-K (fiscal year ended Dec. 31, 2006) May 24, 2007 

441 Form 10-Q (quarter ended Sept. 30, 2002) Nov. 8, 2002 

// 

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// 

 

Case 3:08-cv-04238-EMC Document 240 Filed 08/06/10 Page 5 of 6
STIPULATION RE EXHIBITS 5 No. C-08-4238 EMC 

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By entering into this stipulation, the parties agree to the authenticity of the exhibits identified 

above and waive any objection as to the authentication of the exhibits under Rules 901 and 902 of the 

Federal Rules of Evidence. The parties reserve their rights to object to the admission of the exhibits 

identified above on any other appropriate ground. 

IT IS SO STIPULATED. 

Dated: August 6, 2010 Respectfully submitted, 

/s/ Robert L. Tashjian 

 Susan F. LaMarca 

 Robert L. Tashjian 

 William T. Salzmann 

 Attorneys for Plaintiff 

 SECURITIES AND EXCHANGE COMMISSION 

/s/ James H. Vorhis 

 Patrick J. Richard 

James H. Vorhis 

Brendan F. Macaulay 

NOSSAMAN LLP 

 Attorney for Defendant 

MICHAEL C. PATTISON 

Case 3:08-cv-04238-EMC Document 240 Filed 08/06/10 Page 6 of 6