Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-3_18-cv-05080/USCOURTS-cand-3_18-cv-05080-4/pdf.json

Nature of Suit Code: 850
Nature of Suit: Securities, Commodities, Exchange
Cause of Action: 15:77 Securities Fraud

---

Stipulated Order re: ESI 1 Case No. 3:18-cv-05080-JST-DMR 

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28

C. DABNEY O’RIORDAN (Cal. Bar No. 205158) 

ERIN E. SCHNEIDER (Cal. Bar No. 216114) 

 schneidere@sec.gov 

JEREMY E. PENDREY (Cal. Bar No. 187075) 

 pendreyj@sec.gov 

E. BARRETT ATWOOD (Cal. Bar No. 291181) 

 atwoode@sec.gov 

ANDREW J. HEFTY (Cal. Bar No. 220450) 

 heftya@sec.gov 

SECURITIES AND EXCHANGE COMMISSION 

44 Montgomery Street, Suite 2800 

San Francisco, CA 94104 

T: (415) 705-2500 

F: (415) 705-2501 

ERIC M. BROOKS (Cal. Bar No. 209153) 

 brookse@sec.gov 

SECURITIES AND EXCHANGE COMMISSION 

33 Arch Street, 23rd Floor 

Boston, MA 02110-1424 

(617) 573-8900 

SECURITIES AND EXCHANGE COMMISSION, 

 Plaintiff, 

 vs. 

MICHAEL B. ROTHENBERG, and 

ROTHENBERG VENTURES LLC (f/k/a 

FRONTIER TECHNOLOGY VENTURE CAPITAL 

LLC and ROTHENBERG VENTURES 

MANAGEMENT COMPANY, LLC), 

 Defendants. 

Case No. 3:18-cv-05080-JST-DMR

STIPULATED ORDER RE: 

DISCOVERY OF 

ELECTRONICALLY STORED 

INFORMATION 

 

 

UNITED STATES DISTRICT COURT 

NORTHERN DISTRICT OF CALIFORNIA 

SAN FRANCISCO DIVISION 

Case 3:18-cv-05080-JST Document 45 Filed 01/18/19 Page 1 of 5
Stipulated Order re: ESI 2 Case No. 3:18-cv-05080-JST-DMR 

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28

1. PURPOSE 

This Order will govern discovery of electronically stored information (“ESI”) in this 

case as a supplement to the Federal Rules of Civil Procedure, this Court’s Guidelines for the 

Discovery of Electronically Stored Information, and any other applicable orders and rules. 

2. COOPERATION 

The parties are aware of the importance the Court places on cooperation and commit to 

cooperate in good faith throughout the matter consistent with this Court’s Guidelines for the 

Discovery of ESI. 

3. LIAISON 

The parties have identified liaisons to each other who are and will be knowledgeable 

about and responsible for discussing their respective ESI. Each e-discovery liaison will be, or 

have access to those who are, knowledgeable about the technical aspects of e-discovery, 

including the location, nature, accessibility, format, collection, search methodologies, and 

production of ESI in this matter. The parties will rely on the liaisons, as needed, to confer 

about ESI and to help resolve disputes without court intervention. 

4. PRESERVATION 

The parties have discussed their preservation obligations and needs and agree that 

preservation of potentially relevant ESI will be reasonable and proportionate. To reduce the 

costs and burdens of preservation and to ensure proper ESI is preserved, the parties agree that: 

a) Only ESI created since November 1, 2013, will be preserved; 

b) The parties have exchanged a list of the types of ESI they believe should be 

preserved and the custodians, or general job titles or descriptions of custodians, for 

whom they believe ESI should be preserved, e.g., “HR head,” “scientist,” and 

“marketing manager.” The parties shall add or remove custodians as reasonably 

necessary; 

c) The parties have agreed on the number of custodians per party for whom ESI will 

be preserved; 

d) Among the sources of data the parties agree are not reasonably accessible, the 

parties agree not to preserve the following: backup media created before November 

1, 2013, digital voicemail, instant messaging, and automatically saved versions of 

documents; and 

e) In addition to the agreements above, the parties agree data from these sources (a) 

Case 3:18-cv-05080-JST Document 45 Filed 01/18/19 Page 2 of 5
Stipulated Order re: ESI 3 Case No. 3:18-cv-05080-JST-DMR 

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28

could contain relevant information but (b) under the proportionality factors, should 

not be preserved: backup media created before November 1, 2013, digital 

voicemail, instant messaging, and automatically saved versions of documents. 

5. SEARCH 

The parties agree that in responding to an initial Fed. R. Civ. P. 34 request, or earlier if 

appropriate, they will meet and confer about methods to search ESI in order to identify ESI 

that is subject to production in discovery and filter out ESI that is not subject to discovery. 

6. PRODUCTION FORMATS 

The parties agree to produce documents in ☒ PDF, ☒TIFF, ☒native and/or ☐paper or 

a combination thereof (check all that apply) file formats. The default production format will be 

TIFF with OCR text and metadata load files, and, if available, native files for files from 

Microsoft Excel, Microsoft Access, and/or QuickBooks. PDF and/or paper formats will be 

produced only if specifically requested or not otherwise available in another format. If 

particular documents warrant a different format, the parties will cooperate to arrange for the 

mutually acceptable production of such documents. The parties agree not to degrade the 

searchability of documents as part of the document production process. 

7. PHASING 

When a party propounds discovery requests pursuant to Fed. R. Civ. P. 34, the parties 

agree to phase the production of ESI and the initial production will be from the following 

sources and custodians: Rothenberg Ventures, Michael Rothenberg, Burke Robinson, and J.R. 

Eppler. Following the initial production, the parties will continue to prioritize the order of 

subsequent productions. 

8. DOCUMENTS PROTECTED FROM DISCOVERY 

a) Pursuant to Fed. R. Evid. 502(d), the production of a privileged or work-productprotected document, whether inadvertent or otherwise, is not a waiver of privilege 

or protection from discovery in this case or in any other federal or state proceeding. 

For example, the mere production of privileged or work-product-protected 

documents in this case as part of a mass production is not itself a waiver in this case 

or in any other federal or state proceeding. 

b) The parties have agreed upon a “quick peek” process pursuant to Fed. R. Civ. P. 

26(b)(5) and reserve rights to assert privilege as set forth in their Stipulated 

Protective Order dated December 14, 2018 (ECF No. 34). 

Case 3:18-cv-05080-JST Document 45 Filed 01/18/19 Page 3 of 5
Stipulated Order re: ESI 4 Case No. 3:18-cv-05080-JST-DMR 

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28

c) Communications involving counsel retained or employed for purposes of this 

investigation and litigation need not be placed on a privilege log. Communications 

may be identified on a privilege log by category, rather than individually, if 

appropriate. 

9. MODIFICATION 

This Stipulated Order may be modified by a Stipulated Order of the parties or by the 

Court for good cause shown. 

IT IS SO STIPULATED, through Counsel of Record. 

Dated: January 17, 2019 /s/ E. Barrett Atwood 

E. Barrett Atwood 

Andrew J. Hefty 

Eric M. Brooks 

Attorneys for Plaintiff 

SECURITIES AND EXCHANGE COMMISSION 

/s/ Marc J. Fagel _ 

Marc J. Fagel 

GIBSON, DUNN & CRUTCHER 

555 Mission Street, Suite 3000 

San Francisco, CA 94105 

Attorney for Defendants Michael B. Rothenberg 

and Rothenberg Ventures LLC 

ATTESTATION 

I, E. Barrett Atwood, am the ECF User whose identification and password are being used 

to file this Stipulated Order re: Discovery of Electronically Stored Information. I hereby attest 

that each of the above Parties or their representatives concurs in this filing to the extent 

indicated. 

Dated: January 17, 2019 /s/ E. Barrett Atwood 

E. Barrett Atwood 

Attorney for Plaintiff 

SECURITIES AND EXCHANGE COMMISSION 

 

Case 3:18-cv-05080-JST Document 45 Filed 01/18/19 Page 4 of 5
Stipulated Order re: ESI 5 Case No. 3:18-cv-05080-JST-DMR 

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28

IT IS ORDERED that the forgoing Agreement is approved. 

Dated: 

Hon. Jon S. Tigar

United States District Judge

January 18, 2018 January 18, 2019

Case 3:18-cv-05080-JST Document 45 Filed 01/18/19 Page 5 of 5