Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-5_04-cv-04908/USCOURTS-cand-5_04-cv-04908-37/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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573454_1 

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UNITED STATES DISTRICT COURT 

NORTHERN DISTRICT OF CALIFORNIA 

SAN JOSE DIVISION 

In re UTSTARCOM, INC. SECURITIES 

LITIGATION 

This Document Relates To: 

ALL ACTIONS. 

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Master File No. C-04-4908-JW(PVT) 

CLASS ACTION

STIPULATION AND [PROPOSED] ORDER 

APPROVING FORM AND MANNER OF 

NOTICE 

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WHEREAS, on May 12, 2010 the United States District Court for the Northern District of 

California certified a Class of all persons or entities who purchased or otherwise acquired 

UTStarcom, Inc. (“UTStarcom”) securities between February 21, 2003 and July 23, 2007, inclusive, 

and who did not sell such acquired securities before October 23, 2003 and who were damaged, as 

defined in the Notice of Pendency of Class Action; 

WHEREAS, UTStarcom has previously provided the transfer records for all persons or 

entities who purchased or otherwise acquired UTStarcom publicly traded securities between 

February 21, 2003 and July 23, 2007 to Gilardi & Co. LLC in connection with the pending partial 

settlement that if finally approved, would resolve all of plaintiffs’ claims against the UTStarcom 

defendants; 

NOW, THEREFORE, IT IS HEREBY ORDERED: 

1. The Court approves, as to form and content, the Notice of Pendency of Class Action 

(the “Notice”) and the Summary Notice from the United States District Court for the Northern 

District of California (“Summary Notice”) annexed as Exhibits 1 and 2 hereto, and finds that the 

mailing and distribution of the Notice and the publishing of the Summary Notice substantially, in the 

manner and form set forth in paragraphs 2 and 3 of this Order, meet the requirements of Fed. R. Civ. 

P. 23 and due process, and are the best notice practicable under the circumstances and shall 

constitute due and sufficient notice to all persons entitled thereto. 

2. The firm of Gilardi & Co. LLC (“Claims Administrator”) is hereby appointed to 

supervise and administer the notice procedure set forth below: 

(a) Not later than August 16, 2010, lead counsel shall cause a copy of the Notice 

substantially in the form annexed as Exhibit 1 hereto, to be mailed by first class mail to all Class 

members who can be identified with reasonable effort; 

(b) Not later than August 23, 2010, lead counsel shall cause the Summary Notice 

to be published once in Investor’s Business Daily.

3. Nominees who purchased or acquired the publicly traded securities of UTStarcom for 

the beneficial ownership of Class members during the Class Period shall send the Notice to all 

beneficial owners of such UTStarcom securities within ten (10) days after receipt thereof, or if they 

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have not already done so in connection with the Notice of Pendency and Proposed Settlement of 

Class Action dated May 13, 2010 previously sent in connection with the proposed settlement with 

the UTStarcom defendants, send a list of the names and addresses of such beneficial owners to the 

Claims Administrator within ten (10) days of receipt thereof, in which event the Claims 

Administrator shall promptly mail the Notice to such beneficial owners. Lead counsel shall, if 

requested, reimburse banks, brokerage houses or other nominees solely for their reasonable out-ofpocket expenses incurred in providing Notice to beneficial owners who are Class members, which 

expenses would not have been incurred except for the sending of such Notice, subject to further 

order of this Court with respect to any dispute concerning such compensation. 

4. Any person falling within the definition of the Class may, upon request, be excluded 

from the Class. Any such person must submit to the Claims Administrator a request for exclusion 

(“Request for Exclusion”), postmarked no later than October 7, 2010. A Request for Exclusion must 

state: (a) the full name and address of the person requesting exclusion; (b) that the person wishes to 

be excluded from the Class; and (c) be signed. All persons who submit valid and timely Requests 

for Exclusion in the manner set forth in this paragraph shall not be bound by any judgment entered in 

this litigation. 

5. Nothing in this stipulation and order or in the notices to be distributed pursuant to this 

stipulation and order shall be deemed a waiver of any of the SoftBank defendants’ objections to 

certification of the Class. 

IT IS SO STIPULATED by and between counsel. 

DATED: July 29, 2010 ROBBINS GELLER RUDMAN 

 & DOWD LLP 

SHAWN A. WILLIAMS 

SHIRLEY H. HUANG 

DANIEL J. PFEFFERBAUM 

PHILLIP G. FREEMON 

s/ Shawn A. Williams 

SHAWN A. WILLIAMS 

100 Pine Street, Suite 2600 

San Francisco, CA 94111 

Telephone: 415/288-4545 

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415/288-4534 (fax) 

ROBBINS GELLER RUDMAN 

 & DOWD LLP 

JOHN J. RICE 

655 West Broadway, Suite 1900 

San Diego, CA 92101 

Telephone: 619/231-1058 

619/231-7423 (fax) 

Lead Counsel for Plaintiffs 

DATED: July 29, 2010 SULLIVAN & CROMWELL LLP 

ROBERT A. SACKS 

JASON DE BRETTEVILLE 

R. JEREMY ADAMSON 

s/ Robert A. Sacks 

ROBERT A. SACKS 

1870 Embarcadero Road 

Palo Alto, California 94303 

Telephone: 650/461-5682 

650/461-5754 (fax) 

Attorneys for Defendants SoftBank America, 

Inc., SoftBank Holdings, Inc., and SoftBank 

Corporation 

I, Shawn A. Williams, am the ECF User whose ID and password are being used to file this 

Stipulation and [Proposed] Order Approving Form and Manner of Notice. In compliance with 

General Order 45, X.B., I hereby attest that Robert A. Sacks has concurred in this filing. 

 s/ Shawn A. Williams 

 SHAWN A. WILLIAMS 

* * * 

O R D E R 

IT IS SO ORDERED. 

DATED: _________________________ 

THE HONORABLE JAMES WARE 

UNITED STATES DISTRICT JUDGE 

August 9, 2010 

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CERTIFICATE OF SERVICE

I hereby certify that on July 29, 2010, I authorized the electronic filing of the foregoing with 

the Clerk of the Court using the CM/ECF system which will send notification of such filing to the 

e-mail addresses denoted on the attached Electronic Mail Notice List, and I hereby certify that I 

caused to be mailed the foregoing document or paper via the United States Postal Service to the nonCM/ECF participants indicated on the attached Manual Notice List. 

I certify under penalty of perjury under the laws of the United States of America that the 

foregoing is true and correct. Executed on July 29, 2010. 

 s/ Shawn A. Williams 

 SHAWN A. WILLLIAMS 

ROBBINS GELLER RUDMAN 

 & DOWD LLP 

100 Pine Street, Suite 2600 

San Francisco, CA 94111 

Telephone: 415/288-4545 

415/288-4534 (fax) 

E-mail:shawnw@rgrdlaw.com

Case 5:04-cv-04908-JW Document 422 Filed 08/09/10 Page 5 of 7
Mailing Information for a Case 5:04-cv-04908-JW 

Electronic Mail Notice List 

The following are those who are currently on the list to receive e-mail notices for this case. 

 Patricia I. Avery 

pavery@wolfpopper.com 

 Eric J. Belfi 

ebelfi@labaton.com,ElectronicCaseFiling@labaton.com

 Patrick J. Coughlin 

PatC@rgrdlaw.com,e_file_sd@rgrdlaw.com,e_file_sf@rgrdlaw.com 

 Stephanie L. Dieringer 

sldieringer@hulettharper.com,office@hulettharper.com 

 Kimberly C. Epstein 

e_file_sf@csgrr.com,mariam@lerachlaw.com,e_file_sf@lerachlaw.com 

 Cheryl Weisbard Foung 

cfoung@wsgr.com,bhickman@wsgr.com 

 Marvin L. Frank 

mfrank@murrayfrank.com,info@murrayfrank.com 

 Gregory Phillip Freemon 

GFreemon@rgrdlaw.com,e_file_sd@rgrdlaw.com,e_file_sf@rgrdlaw.com 

 Lionel Z. Glancy 

info@glancylaw.com 

 Michael M. Goldberg 

info@glancylaw.com 

 Philip Howard Gordon 

pgordon@gordonlawoffices.com,tmurphy@gordonlawoffices.com 

 Nicole M. Healy 

nhealy@wsgr.com,llow@wsgr.com 

 Sverker Kristoffer Hogberg 

hogbergs@sullcrom.com,herediak@sullcrom.com,singhl@sullcrom.com 

 Shirley H. Huang 

shirleyh@rgrdlaw.com,e_file_sd@rgrdlaw.com,jdecena@rgrdlaw.com,JRice@rgrdlaw.com,e_file_sf@rgrdlaw.com

 Terry T. Johnson 

tjohnson@wsgr.com,calendar@wsgr.com,lkerska@wsgr.com,mevenson@wsgr.com 

 Christopher J. Keller 

ckeller@labaton.com,cchan@labaton.com,electroniccasefiling@labaton.com 

 Bryan Jacob Ketroser 

bketroser@wsgr.com 

 William S. Lerach 

e_file_sf@lerachlaw.com 

 Elizabeth Pei Lin 

elin@milberg.com,schang@milberg.com,cchaffins@milberg.com 

 Dale MacDiarmid 

info@glancylaw.com 

 Louis David Nefouse 

dnefouse@wsgr.com,lbeltran@wsgr.com 

 Keith F. Park 

keithp@rgrdlaw.com,karnold@rgrdlaw.com,jstark@rgrdlaw.com,e_file_sd@rgrdlaw.com 

 Daniel Jacob Pfefferbaum 

DPfefferbaum@rgrdlaw.com,khuang@rgrdlaw.com,gfreemon@rgrdlaw.com,nrogers@rgrdlaw.com,e_file_sd@rgrdlaw.com,e_file_sf@rgrdlaw.com 

 Mark Punzalan 

mpunzalan@finkelsteinthompson.com,arivas@finkestienthompson.com,srenwick@finkelsteinthompson.com,rrivas@finkelsteinthompson.com,ttien@finkelsteinthompson.com,jdito@fink

 Rachele R. Rickert 

rickert@whafh.com 

 Darren Jay Robbins 

e_file_sd@rgrdlaw.com 

CAND-ECF- Page 1 of 2

https://ecf.cand.uscourts.gov/cgi-bin/MailList.pl?335524191500506-L_366_0-1 7/29/2010

Case 5:04-cv-04908-JW Document 422 Filed 08/09/10 Page 6 of 7
 Robert Andrew Sacks 

sacksr@sullcrom.com 

 Bahram Seyedin-Noor 

bnoor@wsgr.com,rlustan@wsgr.com 

 Sylvia Sum 

SSum@csgrr.com,e_file_sf@csgrr.com,e_file_sd@csgrr.com 

 Elizabeth K Tripodi 

ekt@ftllaw.com 

 Shawn A. Williams 

shawnw@rgrdlaw.com,khuang@rgrdlaw.com,travisd@rgrdlaw.com,cwood@rgrdlaw.com,e_file_sd@rgrdlaw.com,jdecena@rgrdlaw.com,e_file_sf@rgrdlaw.com 

 Jason de Bretteville 

debrettevillej@sullcrom.com,adamsonrj@sullcrom.com,hogbergs@sullcrom.com,thornj@sullcrom.com 

Manual Notice List 

The following is the list of attorneys who are not on the list to receive e-mail notices for this case (who therefore require manual noticing). You may wish to use your mouse 

to select and copy this list into your word processing program in order to create notices or labels for these recipients. 

Sam Brott

550 West C Street 

San Diego, CA 92101 

Paul T. Curley 

Murray Frank & Sailer LLP

275 Madison Avenue 

Suite 801 

New York, NY 10016 

Boris Feldman 

Wilson Sonsini Goodrich & Rosati 

650 Page Mill Road 

Palo Alto, CA 94304-1050 

CAND-ECF- Page 2 of 2

https://ecf.cand.uscourts.gov/cgi-bin/MailList.pl?335524191500506-L_366_0-1 7/29/2010

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