Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-4_02-cv-01486/USCOURTS-cand-4_02-cv-01486-35/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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PROPOSED LETTER ROGATORY

Master File No. C 02-1486 CW 

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Joseph J. Tabacco, JR. (75484) 

Christopher T. Heffelfinger (118058) 

BERMAN DeVALERIO PEASE 

 TABACCO BURT & PUCILLO 

425 California Street, Suite 2025 

San Francisco, California 94104-2205 

Telephone: (415) 433-3200 

Facsimile: (415) 433-6382 

Liaison Counsel for Lead Plaintiff 

Connecticut Retirement Plans and Trust Funds 

and Counsel for Oklahoma Firefighters 

Pension and Retirement System 

Jonathan M. Plasse 

Barbara J. Hart 

Anthony J. Harwood 

Michael Stocker (179083) 

Jon Adams 

LABATON SUCHAROW & RUDOFF LLP 

100 Park Avenue 

New York, New York 10017-5563 

Telephone: (212) 907-0700 

Facsimile: (212) 818-0477 

Lead Counsel for Lead Plaintiff 

Connecticut Retirement Plans and Trust Funds

 

UNITED STATES DISTRICT COURT 

NORTHERN DISTRICT OF CALIFORNIA 

OAKLAND DIVISION

IN RE JDS UNIPHASE CORPORATION 

SECURITIES LITIGATION 

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Master File No. C 02-1486 CW 

[PROPOSED] LETTER ROGATORY TO 

THE SUPERIOR COURT OF JUSTICE OF 

ONTARIO, CANADA 

Date: August 8, 2006 

Time: 9:00 a.m. 

Ctrm: E, 15th Floor 

Before: Hon. Elizabeth D. Laporte 

Case 4:02-cv-01486-CW Document 562 Filed 08/04/06 Page 1 of 8
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PROPOSED LETTER ROGATORY

Master File No. C 02-1486 CW 

TO THE SUPERIOR COURT OF JUSTICE OF ONTARIO, CANADA: 

WHEREAS the captioned action is properly under the jurisdiction of and is now pending 

in this Court; 

WHEREAS it appears that Mario Leduc has evidence relevant to this action which will 

be adduced during the trial of this action if the evidence is admissible; 

WHEREAS this evidence is not otherwise obtainable; 

WHEREAS it appears necessary for the purpose of justice that Mario Leduc, a witness 

residing or otherwise doing business within your jurisdiction be examined there, with a view to 

testifying, producing, authenticating and reviewing documents within his possession and control; 

YOU ARE REQUESTED, in furtherance of justice, to cause the aforesaid witness to 

appear by means ordinarily used in your jurisdiction to answer questions under oath or 

affirmation and to bring to and produce at the examination the documents set forth in the 

schedule annexed hereto. 

When you request it, this Court is ready and willing to do the same for you in a similar 

case. 

This Letter Rogatory is signed and sealed by Order of the Court made on the date set 

forth below. 

Dated: July __, 2006 

 ____________________________ 

 United States District Judge 

August 4

U

Magistrate

NITED STATES DISTRICT COURT

NORTHERN DISTRICT OF CALIFORNIA

IT IS SO ORDERED

Judge Elizabeth D. Laporte

Case 4:02-cv-01486-CW Document 562 Filed 08/04/06 Page 2 of 8
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PROPOSED LETTER ROGATORY

Master File No. C 02-1486 CW 

SCHEDULE A: Mario Leduc 

I. DEFINITIONS

1. “Board of Directors” means the Board of Directors of JDS Uniphase Corporation 

and any committee thereof, including but not limited to audit committees. 

2. “Financial statements” means, without limitation, balance sheets and statements 

of income, earnings, retained earnings, sources and applications of funds, operations and deficit, 

profit and loss, changes in financial position, and cash flows, and also includes all notes to each 

of the foregoing, and any other notes that pertain to the past, present, or future financial 

condition of JDS Uniphase Corporation (as defined herein). Any of the foregoing documents 

constitute a financial statement whether it is audited or unaudited, or final, interim, yearly, 

monthly, pro forma, complete or partial, consolidated or nonconsolidated, or otherwise. 

3. “Defendants” means Defendants JDS Uniphase Corporation, Jozef Straus, 

Anthony R. Muller, Charles J. Abbe, and Kevin Kalkhoven. 

4. “Individual Defendants” mean Defendants Jozef Straus, Anthony R. Muller, 

Charles J. Abbe, and Kevin Kalkhoven. 

5. “JDS” means Defendant JDS Uniphase Corporation, its Board of Directors, each 

committee of its Board of Directors, each of its subsidiaries, divisions, subdivisions, joint 

ventures, parents, affiliated persons, and predecessors (including but not limited to Uniphase 

Corporation and JDS FITEL, Inc.), and its present and former directors, officers, employees, 

representatives, agents, and other persons acting on behalf of any of them. 

6. “Pitre E-mail” means the e-mail sent by Thomas G. Pitre to “OPSS” and others at 

1:53 p.m. eastern time on August 18, 2000 concerning “(RedBook) Sales and Operations 

Planning,” a copy of which is annexed to this Schedule A. 

7. “Products” means any product developed, manufactured, or sold by JDS, 

including but not limited to fiber-optics, semiconductor lasers, high-speed external modulators, 

transmitters, amplifiers, couplers, multiplexers, circulators, tunable filters, optical switches, and 

isolators for fiber-optic applications. 

8. “SEC” means the United States Securities and Exchange Commission. 

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PROPOSED LETTER ROGATORY

Master File No. C 02-1486 CW 

9. “Communication” means the transmittal of information, in the form of facts, 

ideas, inquiries or otherwise. 

10. “Concerning” means relating to, referring to, describing, evidencing or 

constituting. 

11. “Document” is synonymous in meaning and equal in scope to the usage of this 

term in Rule 34(a) of the Federal Rules of Civil Procedure, and includes: writings, drawings, 

graphs, charts, photographs, phonorecords, and other data compilations from which information 

can be obtained, translated, if necessary, by detection devices into reasonably usable form. Emails and electronic or computerized data compilations are within the meaning of this term. A 

draft or non-identical copy is a separate document within the meaning of this term. 

12. “Person” means any natural person or any business, legal or governmental entity 

or association. 

13. The terms “all” and “each” shall be construed as all and each. 

14. The connectives “and” and “or” shall be construed either disjunctively or 

conjunctively as necessary to bring within the scope of this Request for Production all responses 

that might otherwise be considered to be outside of its scope. 

15. The use of the singular form of any word includes the plural and vice versa. 

16. The term “you” or “your” shall mean or refer to Mario Leduc. 

17. The term “Redbook” refers to reports by that name generated by JDS’s FPG 

division. 

II. RELEVANT PERIOD

Unless otherwise indicated in a specific Request for Production, the Relevant Period 

herein is January 1, 1999 through the date of your production of documents in response to this 

request, and shall include all documents which relate to such period even though prepared, 

published, sent or received, in whole or in part, prior or subsequent to this period. 

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PROPOSED LETTER ROGATORY

Master File No. C 02-1486 CW 

III. INSTRUCTIONS

1. In producing documents and other materials in response to this Request for 

Production, you are requested to furnish all documents in your possession, custody, or control, 

regardless of whether such documents are possessed directly by you or your agents, employees, 

partners, representatives, subsidiaries, affiliates or investigators, or by your attorneys or their 

agents, employees, or investigators. 

2. All documents you produce in response to this request shall either: (a) be 

organized and labeled to correspond with the number of the request to which the documents are 

responsive, or (b) be produced in the order and in the manner in which you keep the documents 

in the usual course of business with a designation of the file or files from which the documents 

have been produced. 

3. Produce each document in response to this Request for Production in its entirety, 

without deletion or excision, regardless of whether you consider the entire document to be 

relevant or responsive. If any requested document cannot be produced in full, produce it to the 

extent possible, indicating which portion of that document is being withheld and the reason that 

portion of the document is being withheld. Do not produce “redacted” documents unless you are 

asserting a privilege or immunity with respect to the redacted portion. 

4. If you object to any request in this Request for Production on the ground that it is 

overly broad, produce documents in response to the request as narrowed to conform to your 

objection and state in your response (a) how you narrowed the request, and (b) the reason why 

you claim the request is overly broad. 

5. If you withhold any responsive document from production pursuant to a claim of 

attorney-client privilege, attorney work product doctrine, or any other privilege or immunity, 

provide the following information with respect to each such document: 

(a) The type of document, e.g., letter or memorandum; 

(b) The actual or approximate date of the document; 

(c) The author(s) of the document and any other person(s) who 

prepared or participated in the preparation of the document; 

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PROPOSED LETTER ROGATORY

Master File No. C 02-1486 CW 

(d) A description of the subject matter and physical size (e.g., the 

number of pages) of the document; 

(e) All addressees and recipient(s) of the original or a copy thereof, 

together with the date or approximate date on which saidrecipient(s) received the document or a copy thereof; 

(f) All other persons to whom the contents of the document have been 

disclosed, the date such disclosure took place, and the means of 

such disclosure; and 

(g) The nature of the privilege or other rule of law relied upon and any 

facts supporting your position. 

(h) The nature of the documents not produced or disclosed in a manner 

that, without revealing information that is privileged or 

confidential, will enable an assessment of the applicability of the 

privilege or protection. 

6. If a document responsive to the following requests has been destroyed or 

discarded, identify the document as per the instructions in paragraph 5 above. If no documents 

responsive to a particular document request exist or are within your possession, custody or 

control, so state in your response to the request. 

IV. DOCUMENTS REQUESTED

1. All documents concerning JDS’s actual and projected financial results during the 

Relevant Time Period, including but not limited to documents concerning product sales, demand 

for products, and documents concerning inventory, revenue, sales, earnings and forecasts. 

2. All documents concerning any meeting of JDS’s Board of Directors or of any 

committee of the Board of Directors, including any minutes, agendas, notes, and any material 

distributed at such meetings relating to the documents described in paragraph 1. 

3. All documents concerning the Pitre Email. 

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PROPOSED LETTER ROGATORY

Master File No. C 02-1486 CW 

4. All documents concerning the Redbook, preparation of the Redbook, or the 

Redbook Team, including, without limitation, (a) all Redbooks prepared during the Relevant 

Time Period; (b) all documents reviewed or relied upon in connection with the preparation of the 

Redbook or other forecast information; and (c) all documents provided by you or any other 

member of the Redbook Team to the Individual Defendants or any other person concerning the 

Redbook or forecast information. 

5. All documents concerning the potential for or existence of a downturn in demand 

for JDS products during the Relevant Time Period. 

6. All documents, policies, handbooks, and notes concerning shipment of JDS 

products during the Relevant Time Period, including, but not limited to, the shipment of JDS 

products to temporary storage units. 

7. All documents, policies, handbooks, and notes concerning JDS’s recognition of 

revenue during the Relevant Time Period. 

8. All documents concerning JDS’s write-down of approximately $270 million in 

inventory for the quarter ended June 30, 2001, announced on or about July 26, 2001. 

9. All documents concerning JDS’s excess, aging, or obsolete inventory. 

10. All documents concerning JDS’s inventory turn rates. 

11. All documents concerning overshipment of JDS products, premature shipment of 

JDS products, delayed deliveries of JDS products, delaying of booking orders for JDS products, 

shipping products on cancelled orders, customers refusing to take delivery on agreed upon 

orders, and order or contract cancellations. 

12. All documents concerning JDS’s contracts with Lucent, Nortel, Corning, 

Marconi, Cisco, and Corvis. 

13. All documents concerning any potential or actual change or restatement of JDS’s 

financial statements. 

14. All documents concerning any communications you had with any government 

agency (including the SEC) regarding JDS. 

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PROPOSED LETTER ROGATORY

Master File No. C 02-1486 CW 

15. All documents concerning any communications between JDS’s customers and 

JDS relating to demand, or product pricing. 

16. Any confidentiality, severance, or employment agreements between you and JDS, 

and any drafts thereof. 

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