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Touryalai (Usa vs Indictment)

Touryalai (Usa vs Indictment)

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Published by ht5116

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Published by: ht5116 on Oct 26, 2011
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01/08/2014

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UNITEDSTATESDISTRICTCOURTSOUTHERNDISTRICTOFNEWYORK
--------------x
UNITEDSTATESOFAMERICASEALEDINDICTMENT
-v.-
RAJATK.GUPTA,
11]-CRIM
907
Defendant.
----------------x
COUNTONE
(ConspiracytoCommitSecuritiesFraud)TheGrandJurycharges:
RelevantEntitiesandIndividuals
1.AtalltimesrelevanttothisIndictment,TheGoldmanSachsGroup,Inc.("Goldman
Sachs")
wasaglobalfinancialservicesfirmwithitsheadquartersinNewYork,NewYork.AtalltimesrelevanttothisIndictment,GoldmanSachswasapubliccompanywhosestocktradedontheNewYorkStockExchange
("NYSE")
underthetickersymbol
"GS."
2.AtalltimesrelevanttothisIndictment,RAJATK.GUPTA,thedefendant,servedontheBoardofDirectorsofGoldmanSachs(the"GoldmanSachs
Board").
InhiscapacityasamemberoftheGoldmanSachsBoard,GUPTAregularlyreceivedconfidentialinformationaboutGoldmanSachs'searnings,contemplatedandactualcorporatetransactions,andothersignificantdevelopmentspriortoGoldmanSachs'spublicannouncementofsuchinformation.
 
3.AtalltimesrelevanttothisIndictment
I
theProcter&GambleCompany
("P&G
II)
wasaglobalproviderofbrandedconsumerproductswithitsheadquartersinCincinnati
I
Ohio.AtalltimesrelevanttothisIndictment
I
P&GwasapubliccompanywhosestocktradedontheNYSEunderthetickersymbol
"PG.
II
4.AtalltimesrelevanttothisIndictment
I
RAJATK.GUPTA
I
thedefendant
I
servedontheBoardofDirectorsofP&G(the"P&G
Board
ll).
InhiscapacityasamemberoftheP&G
Board
l
GUPTAregularlyreceivedconfidentialinformationabout
P&G/s
earnings
I
contemplatedandactualcorporatetransactions
I
andothersignificantdevelopmentspriorto
P&G/s
publicannouncementofsuchinformation.5.AtalltimesrelevanttothisIndictment
I
theGalleonGroup
("Galleon
ll)
operatedafamilyofhedgefundsinNewYork
I
NewYork.GalleonManagement
I
LP("GalleonManagement
ll)
managedanumberofthosehedgefunds
I
includingtheGalleonTechnologyOffshoreFundILtd.
1
andGalleonDiversifiedFundILtd.(collectivelYIthe"GalleonTechFunds
ll)
6.RajRajaratnam("Rajaratnam
ll)
wasthefounderandheadofGalleon.AtalltimesrelevanttothisIndictment
I
RajaratnamwastheManagingMemberofGalleonManagementLLC,thegeneralpartnerofGalleonManagement.Inaddition
l
atalltimesrelevanttothisIndictment
I
RajaratnamwasaportfoliomanagerfortheGalleonTechFunds.
2
 
7.AtalltimesrelevanttothisIndictment,BerkshireHathawayInc.("BerkshireHathaway")wasapublicholdingcompanyheadquarteredinOmaha,Nebraska,thatownedanumberofsubsidiariesengagedinavarietyofbusinessactivities,includingtheinsurancebusiness.TheRelationshipBetweenGUPTAandRajaratnam8.AtalltimesrelevanttothisIndictment,RAJATK.GUPTA,thedefendant,andRajaratnamhadnumerousbusinessdealingswitheachother.Inaddition,GUPTAandRajaratnammaintainedapersonalrelationshipandfriendship.Theirbusinessdealingsincludedthefollowing:a.Frominorabout2003throughinoraboutAugust2005,GUPTAhadmoneyinvestedinatleasttwodifferentGalleonoffshorefundsthroughanoffshoreentitythatGUPTAhadcreated.OnoraboutMarch31,2005,thevalueofthoseinvestmentswasapproximately$2,444,518.b.Inorabout2005,GUPTAandRajaratnam,alongwithathirdindividual,formedaninvestmentfundcalledVoyagerCapitalPartners("Voyager").AtthetimeVoyagerwasformed,GUPTAinvested$5millionandRajaratnaminvested$40million.Inoraboutearly2007,GUPTAinvestedanadditional$5millioninVoyager,resultinginGUPTAhavinga20%equityinterestandRajaratnamhavingan80%equityinterest.Certainoftheassets
3

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