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U.S. v. Doug Whitman

U.S. v. Doug Whitman

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Published by DealBook

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categoriesBusiness/Law
Published by: DealBook on Feb 10, 2012
Copyright:Attribution Non-commercial

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07/10/2013

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UNITEDSTATESDISTRICTCOURTSOUTHERNDISTRICTOFNEWYORK
x
UNITEDSTATESOFAMERICAINDICTMENT
-v.-
1
CRIM
1
Defendant.DOUGWHITMAN,
-------------X
COUNTONE
(Conspi~acytoCommitSecuritiesFraud)TheGrandJurycharges:
RelevantEntitiesandIndividuals
1.
AtalltimesrelevanttothisIndictment,WhitmanCapital,LLC("WhitmanCapital")operateditsaninvestment.advisoryfirmlocatedinCaliforniafocusingontechnologycompanies.WhitmanCapitalmanagedWhitmanPartners,L.P.("WhitmanPartners"),aprivatepartnershipthatinvestedinthesecuritiesofvarioustechnologycompanies.2.
.I..
AtalltimesrelevanttothisIndictment,DOUGWHITMAN,thedefendant,servedasthePresidentofWhitmanCapitalandtheprincipalportfoliomanagerofWhitmanPartners.3.Atalltimesre
Levant;
t6\·this',Indictment,KarlMotey("Motey")workedas:aresearchanalystandprovidedservicestohedgefundclients'andothersintheinvestment
1
 
community.
The
InsidlarTrading
Scheme',
4.Fromatleastinorabout2007throughinorabout2009,DOUGWHITMAN,thedeferidantj'KarlMotey,andothersknownandunknown,participated"in'aschemetodefraudbydisclosingmaterial,nonpublicinformation("InsideInformation")and/orexecutingsecuritiestransactionsb~sed"onInsideInformation
"I
pertainingtopubliclytraded'companies,includingMarvellTechnologyGroup,Ltd.("Marvell"),apubliccompanythattradesontheNasdaqStockMarket.5.Morespecifically,KarlMoteyobtainedearnings,revenue,and/orothermat'erfkl.i;fhanclal'~and'businessinformation("MarvellInsideInformation")fromoneor'moreindividualsnot
.
,
..
("MarvellInsideSources"):TheMarvellInsideSourcesdisclosed
i.':.
namedasdefendantsherefhwhoworkedasemployeesatMarvellMarvellInsideInformationtoMoteyin:violationoftheirduties
:
'
oftrustandconfidencethattheyowed'toMarvellandMarvell
,
,
shareholdersandforpersonalbenefit.6.AfterobtainingtheMarvellInsideInformationfromtheMarvellInsideSources,MoteyprovidedtheMarvellInsideInformationtoDOUGWHITMAN,'thedefendant,andothers.
I':.~
;_.~._.,\:'.'\"','
WHITMANknewthattheMarvellInsideInformat:r.onthatMoteyprovidedtohimwasobtainedinviolationofdutiesoftrustand
2
 
confidencethattheMarvellInsideSourcesowedtoMarvellandMarvellshareholders.7.
I.
AfterreceivingtheMarvellInsideInformation
,'I.:.~:,.,..
fromMotey,DOUGWHITMAN,thedefendant,causedsecurltlestransactionstobeexecutedba~ed,atleastinpart,ontheMarvellInsideInformation.8.InexchangefortheMarvellInsideInformationprovidedbyMotey,DOUGWHITMAN,thed~fendant,causedWhitmanCapitaland/orWhitmanPartnerstopayMoteythroughsoftdollarpayments.
TheConspiracy
9.Fromatleastinorabout2007throughinorabout2009,intheSouthernDistrictof!NewYork~ndelsewhere,DOUG
l,\.~
WHITMAN,thedefendant,'and'othe'rsknownandunknown,willfullyandknowingly,didcombine,conspire,confederateandagree,togetherandwitheathothertocommitoffensesagainsttheUnitedStates,towit,'securitiesfraud,inviolationofTitie15,UnitedStatesCode,Sections78j(b).
&
78ff,andTitle17,CodeofFederalRegulations,Section240.10b-S.10.Itwasapartandobjectof,theconspiracythatDOUGWHITMAN,thedefendant,andothersknownandunknown,willfullyandknowingly,directlyandindirectly,bytheuseofthemeansandinstrumentalitiesof·interstatecommerce,andof
,
,t.
,
.
",
3
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