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Criminal Charges Against Clayton and Drew Peterson

Criminal Charges Against Clayton and Drew Peterson

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Published by DealBook
Criminal charges against Clayton and Drew Peterson in an insider trading case.
Criminal charges against Clayton and Drew Peterson in an insider trading case.

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Published by: DealBook on Aug 05, 2011
Copyright:Attribution Non-commercial

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07/10/2013

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UNITEDSTATESDISTRICTCOURTSOUTHERNDISTRICTOFNEWYORK
----~------------------------------x
UNITEDSTATESOFAMERICAINFORMATION
-v.-
11Cr.DREWCLAYTONPETERSON,Defendant.
-----------------------------------x
COUNTONE
(ConspiracyToCommitSecuritiesFraud)TheUnitedStatesAttorneycharges:RelevantPersonsandEntities1.AtalltimesrelevanttothisInformation,MarinerEnergy,Inc.("Mariner")wasacompanybasedinHouston,Texas..Marinerwasengagedin,amongotherthings,thebusinessofoilandgasexplorationandproduction.Mariner'scommonstockwastradedontheNewYorkStockExchangeunderthetickersymbol"ME."2.AtalltimesrelevanttothisInformation,ApacheCorporation("Apache")wasacompanybasedinHouston,Texas.Apachewasengagedin,amongotherthings,thebusinessofoilandgasexplorationandproduction.Apache'scommonstockwas
 
tradedontheNewYorkstockExchangeunderthetickersymbol"APA."3.BeginninginoraboutMarch2006,andatalltimesrelevanttothisInformation,aco-conspiratornotnamedasadefendantherein("CC-1"),wasamemberofMariner'sboardofdirectors.AsamemberofMariner'sboardofdirectors,CC-1participatedinand/orwaskeptapprisedofthenegotiationofpotentialmergersandacquisitionsbetweenMarinerandothercompanies,includingotherpubliclytradedcompanies.Inaddition,atalltimesrelevanttothisInformation,CC-1wasthechairmanoftheauditcommitteefortheMarinerboardofdirectors.CC-1isaresidentofDenver,Colorado.4.DREWCLAYTONPETERSON,thedefendant,isCC-1'sson.AtalltimesrelevanttothisInformation,PETERSONworkedasaninvestmentadvisor.PETERSONisaresidentofDenver,Colorado.TheInsiderTradingScheme5.OnoraboutMarch25,2010,representativesofApachebeganconfidentialdiscussionswithrepresentativesofMarinertoacquireMariner.OnoraboutMarch26,2010,representativesofApacheandMarinerenteredintoa
-2-
 
confidentialityagreementforthepurposeoffacilitatingthosediscussions.6.OnoraboutWednesday,April7,2010,ApachesentMarineratermsheetproposingtoacquireMarinerforcashandApachestocktotaling$25pershareofMariner.Atthetime,Mariner'sstockwastradingatapproximately$17pershare.Apache'stermsheetstatedthatitwouldexpireonApril14,2010.7.Mariner'sboardofdirectorsconvenedatelephonicspecialmeetingonoraboutApril7,2010todiscussApache'sproposal.CC-1participatedinthatmeeting.8.OnoraboutThursday,April8,2010,CC-1telephonedhisson,DREWCLAYTONPETERSON,thedefendant.InbreachofCC-1'sfiduciaryandotherdutiesoftrustandconfidenceowedtoMarineranditsshareholders,CC-1toldPETERSONthatCC-1hadparticipatedrecentlyinanumberofMarinerboardmeetingsandinstructedPETERSONtopurchaseMarinerstockonbehalfofCC-1'sdaughter,PETERSON'ssister.WhenPETERSONaskedwhy,CC-1saidthathewouldnotcomment,butthathewouldcomevisitPETERSONthatdayattheofficewherePETERSONworkedasaninvestmentadvisor.AfterhangingupwithCC-1,PETERSON-withouthissister'sknowledge-using
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