Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-4_02-cv-01486/USCOURTS-cand-4_02-cv-01486-13/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: January 24, 2006 

Time: 9:00 a.m. 

Ctrm: E, 15th Floor 

Before: Hon. Elizabeth D. Laporte 

Case 4:02-cv-01486-CW Document 433 Filed 01/18/06 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; and 

WHEREAS it appears necessary for the purpose of justice that Thomas Pitre, 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: January 17, 2006 

 

 ELIZABETH D. LAPORTE 

United States Magistrate Judge 

Case 4:02-cv-01486-CW Document 433 Filed 01/18/06 Page 2 of 8
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PROPOSED LETTER ROGATORY

Master File No. C 02-1486 CW 

SCHEDULE A 

DEFINITIONS 

1. “You” and “Your” shall mean each person to whom this document request is 

directed and any persons acting on their behalf or under their direction or control. 

2. “JDSU” or the “Company” means JDS Uniphase Corporation and each of its 

subsidiaries, divisions, subdivisions, affiliated companies or persons, predecessors, and all 

present and former directors, officers, employees, representatives, advisors, agents, 

intermediaries, attorneys, accountants and all other persons acting on its behalf. 

3. “Individual Defendants” means Jozef Straus, Kevin Kalkhoven, Anthony R. 

Muller, and Charles J. Abbe, both collectively and individually. 

4. “Defendants” means JDSU, and the Individual Defendants, both collectively and 

individually. 

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

employees, bureaus, divisions, regional offices, and representatives thereof. 

6. “RedBook” means internal product demand forecasts produced by JDSU. 

7. “RedBook Team” means the employees, consultants or other personnel at JDSU 

responsible for generating the RedBook. 

8. “Document” or “Documents” means any and all written, recorded or graphic 

material, whether recorded or stored in hard copy or electronically, including but not limited to: 

tapes or other voice recordings, e-mails, booklets, brochures, pamphlets, circulars, notices, 

periodicals, papers, contracts, agreements, photographs, agendas, minutes, memoranda, written 

instructions, messages, appraisals, analyses, reports, plans, evaluations, financial calculations and 

representations, diary entries, calendars, phone or other logs, correspondence, telegrams, press 

releases, advertisements, notes, transcripts, working papers, drawings, schedules, tabulations and 

projections, surveys, studies, graphs, charts, films, printouts, and all other data, including drafts 

Case 4:02-cv-01486-CW Document 433 Filed 01/18/06 Page 3 of 8
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PROPOSED LETTER ROGATORY

Master File No. C 02-1486 CW 

of or modifications to, including subsequent reproductions containing additional commentary, 

notes or annotations. 

9. “Communication” means any and all transmittals of information, in the form of 

facts, ideas, inquiries or otherwise, whether orally, electronically or in writing; whether directly 

or indirectly; and whether in person or by telephone, telecopier, mail, personal delivery, 

electronic mail, Internet or otherwise. 

10. “And,” “or” and “and/or” have both conjunctive and disjunctive meanings; “all” 

and “any” means each and every. 

11. “Concerning” means directly or indirectly referring to, relating to, connected 

with, commenting on, impinging or impacting upon, affecting, responding to, showing, 

describing, analyzing, reflecting on or considering. 

12. “Refer,” “relate,” “referring” and “relating to” mean any and all documents which 

comprise, memorialize, embody, discuss, evaluate, consider, comment on, reflect, record or 

report on the subject matter of the request, or which were reviewed in conjunction with, or were 

created, generated or maintained as a result of, the subject matter of the request. 

13. “Meeting” means the contemporaneous presence of any natural persons, in 

person, by telephone or by any other means, for any purpose, whether or not such presence was 

by chance or prearranged, and whether or not the meeting was formal or informal or occurred in 

connection with some other activity. 

INSTRUCTIONS 

1. In responding to this Request, You shall produce all responsive documents which 

are in Your possession, custody or control, or in the possession, custody or control of Your 

agents, employees, attorneys, accountants or other representatives. A document shall be deemed 

to be within Your control if You have the right to secure the document or a copy of the document 

from another person having possession or custody of the document. 

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PROPOSED LETTER ROGATORY

Master File No. C 02-1486 CW 

2. You are to produce for inspection and copying by Plaintiffs original documents as 

they are kept in the usual course of business, or You shall organize and label them to correspond 

with the categories in these requests. All non-identical copies which differ from the original or 

from the other copies produced for any reason, including, but not limited to, the making of notes 

thereon, are to be produced. 

3. If any responsive document was, but is no longer in Your possession or subject to 

Your control, state whether it is: (a) missing or lost; (b) destroyed; (c) transferred voluntarily or 

involuntarily to others; or (d) otherwise disposed of, and in each instance identify the name and 

address of its current or last known custodian, and the circumstances surrounding such 

disposition. 

4. You shall produce said documents as they are kept in the usual course of business 

or shall organize and label them in correspondence with the categories in this request. 

5. You are to produce all documents originating in, referring to, considering or 

concerning the Relevant Time Period. 

6. Where a claim of privilege is asserted in responding or objecting to any Requests 

for Documents, and information is not provided on the basis of such assertion, You shall in the 

response or objection identify the nature of the privilege (including work product) which is being 

claimed; and set forth the state privilege rule being invoked and indicate whether (a) such 

documents exist, or (b) such oral communications took place. In addition, if any part of the 

Request for Documents is deemed to call for the production of any privileged materials and such 

privilege is asserted, a list is to be furnished identifying each document so withheld together with 

the following information: 

(a) the reason for withholding; 

(b) statement of facts constituting the basis for any claim of privilege, work 

product or other ground of non-disclosure; 

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PROPOSED LETTER ROGATORY

Master File No. C 02-1486 CW 

(c) brief description of the document, including: 

(i) the date of the document; 

(ii) the name of its author, authors, or preparers and an identification 

by employment and title of each such person; 

(iii) the names of each person who was sent or had access to, or 

custody of the documents, together with an identification of each such person; 

(iv) the paragraph to this request to which the document relates; and 

(v) in the case of any document relating in any way to an oral 

communication, identification of such oral communication. 

(vi) If the documents requested herein have been lost or destroyed, the 

documents so lost or destroyed shall be identified by author, date and subject matter. 

7. You are to produce each document requested herein in its entirety without 

deletion or excision (except as qualified by the preceding instruction concerning privilege), 

regardless of whether You consider the entire document to be relevant or responsive to the 

request. 

8. Where a document is not produced in full or is produced in redacted form, so 

indicate on the document. State with particularity the reason it is not being produced in full, and 

describe to the best of Your knowledge, information and belief, and with as much particularity as 

possible, those portions of the document which are not being produced or are being redacted. 

9. You are to supplement Your responses if, subsequent to the date of this Request, 

you locate or come into possession of documents responsive to this Request. 

10. You are requested to provide an appropriate affidavit attesting to the authenticity 

of the documents produced. 

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PROPOSED LETTER ROGATORY

Master File No. C 02-1486 CW 

RELEVANT TIME PERIOD 

Unless otherwise specified, the relevant time period for these Document Requests shall 

be from October 28, 1999 through July 26, 2001, inclusive, and shall include all documents and 

information that relate in whole or in part to such periods, or to events or circumstances during 

such periods, even though dated, prepared, generated, used or received prior or subsequent to 

those periods. If a different time period is indicated in a particular document request, that time 

period shall similarly include all documents and information that relate in whole or in part to 

such period, or to events or circumstances during such period, even though dated, prepared, 

generated or received prior or subsequent to that period. 

REQUEST FOR DOCUMENTS 

1. All documents produced, authored, or otherwise created by You concerning the 

production of JDSU's product demand forecasts. 

2. To the extent not covered by Request Number 1, all documents produced, 

authored, or otherwise created by You concerning the production of JDSU's RedBook. 

3. All documents reviewed or relied upon by You or any other member of the 

RedBook team in preparing product demand forecasts 

4. To the extent not covered by Request Number 3, all documents reviewed or relied 

upon by You or any other member of the RedBook team in preparing any RedBook. 

5. All documents concerning or reflecting any communications between You and the 

Individual Defendants, including email or other electronic communications. 

6. All documents concerning, reflecting, or memorializing any presentations made 

by you or any other member of the RedBook Team to the Individual Defendants. 

7. To the extent not covered by Request Number 6, any documents provided by you 

or any other member of the RedBook Team to the Individual Defendants, including but not 

limited to documents concerning JDSU's product demand forecasts or RedBook. 

8. All documents concerning JDSU that were sent to, received from, or concerning 

communications with the SEC or other regulatory agency. 

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PROPOSED LETTER ROGATORY

Master File No. C 02-1486 CW 

9. All documents concerning facts, information, or projections about current and 

expected demand for JDS products. 

Case 4:02-cv-01486-CW Document 433 Filed 01/18/06 Page 8 of 8