Approved:AssistantUnitedStatesAttorneysBefore:HONORABLEGABRIELW.GORENSTEINUnitedStatesMagistrateJudgeSouthernDistrictofNewYork
-----------------2C
-v.-
SEALEDCOMPLAINTViolationof18U.S.C.
§§
2,371,1349;15U.S.C.
§§
78j(b),78ff;17C.F.R.
§§
240.10b-5and240.10b5-2UNITEDSTATESOFAMERICAJOHNKINNUCAN,Defendant.COUNTYOFOFFENSE:NEWYORK
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MATTHEWA.,THORESEN,beingdulysworn,deposesandsaysthatheisaSpecialAgentwiththeFederalBureauofInvestigation("FBI")andchargesasfollows:
COUNTONE
(ConspiracytoCommitSecuritiesFraud)1.Fromatleastinorabout2008throughinorabout2010,intheSouthernDistrictofNewYorkandels.ewhere,JOHNKINNUCAN,thedefendant,andothersknownandunknown,willfullyandknowinglydidcombine,conspire,confederateandagreetogetherandwitheachothertocommitoffensesagainsttheUnitedStates,towit,securitiesfraud,inviolationofTitle15,UnitedStatesCode,Sections78j(b)and78ff,andTitle17,CodeofFederalRegulations,Sections240.10b-5and240.10b5-2.2.ItwasapartandanobjectoftheconspiracythatJOHNKINNUCAN,thedefendant,andothersknownandunknown,willfullyandknowingly,directlyandindirectly,bytheuseofthemeansandinstrumentalitiesofinterstatecommerce,andofthemails,andofthefacilitiesofnationalsecuritiesexchanqee,wouldanddiduseandemp
Loy,
inconnectionwiththepurchaseandsaleofsecurities
t
manipulativeanddeceptivedevicesandcontrivancesinviolationofTitle17
t
Codeof
1
FederalRegulations,Section240.10b-Sby:(a)employingdevices,schemesandartificestodefraud;(b)makinguntruestatementsofmaterialfactandomittingtostatematerialfactsnecessaryinordertomakethestatementsmade,inthelightofthecircumstancesunderwhichtheyweremade,notmisleading;and(c)engagiriginacts,practicesandcoursesofbusinesswhichoperatedandwouldoperateasafraudanddeceituponanyperson,allinviolationofTitleIS,UnitedStatesCode,Sections78j(b)and78ff,andTitle17,CodeofFederalRegulations,Sections240.10b-Sand240.10bS~2.
OvertActs
3.Infurtheranceoftheconspiracy,andtoeffecttheillegalobjectthereof,JOHNKINNUCAN,thedefendant,committedthefollowingovertacts,amongothers,intheSouthernDistrictofNewYorkandelsewhere:a.OnoraboutMay20,2010,KINNUCANhadatelephoneconversationwithanemployeeatFlextronicsInternational,Ltd.("Flextronics"),duringwhichtheFlextronicsemployeeprovidedKINNUCANwithmaterial,nonpublicinformation("InsideInformation")concerningsalesfiguresforthepiiorfiscalyearandthenextfiscalyearforOmniVisionTechnologies,Inc.("OmniVision")b.OnoraboutJuly2,
201Q,
KINNUCANhadatelephoneconversationwithanemployeeatFSNetworks,Inc.("FS"),duringwhichtheFSemployeeprovidedKINNUCANwithInsideInformationconcerningFS'squarterlyearningsresults.c.OnoraboutJuly2,2010,KINNUCANcalledmultipleclientsofBroadbandResearch,LtC("BBRClients"),severalofwhomwerelocatedinNewYork,NewYork,andprovidedthemwithFSInsideInformation.d.OnoraboutJulyIS,2010,KINNuCANcalledaportfoliomanagerwhowaslocatedinNewYork,NewYork,andemployedbyahedgefundlocatedinTexas("HedgeFundA"),duringwhichKINNUCANreferencedtheFSInsideInformationthathehadprovidedonanearlieroccasion.e.OnoraboutJuly21,2010,aportfoliomanagerlocatedinNewYork,NewYorkcausedHedgeFundAtopurchaseapproximately99,000sharesofFS.
2
f.OnoraboutSeptember10,2010,KINNUCANhadatelephoneconversationwithanemployeeatSanDiskCorporation("SanDisk
fl),
duringwhichtheSanDiskemployeeprovidedKINNUCANwithSanDiskInsideInformationconcerningconfidentialnegotiationsbetweenSanDiskandApple,Inc.("Apple
fl).
(Title18,UnitedStatesCode,Section371.)
COUNTTWO
(ConspiracytoCommitWire'Fraud)4.Frominorabout2008throughinorabout2010,intheSouthernDist~ictofNewYorkandelsewhere,JOHNKINNUCAN,thedefendant,andothersknownandunknown,willfullyandknowinglycombined,conspired,confederated,andagreedtogetherandwitheachothertocommitanoffenseagainsttheUnitedStatesofAmerica,towit,wirefraud,inviolationofTitle18,UnitedStatesCode,Section1343.5.ItwasapartandanobjectoftheconspiracythatJOHNKINNUCAN,thedefendant,willfullyandknowingly,havingdevisedandintendingtodeviseaschemeandartificeto,defraud,andforobtainingmoneyandpropertybymeansoffalse,andfraudulentpretenses,representations,andpromises,wouldanddidtransmitandcausetobetransmittedbymeansofwire,communicationininterstatecommercewritings,signs,signais,picturesandsoundsforthepurposeofexecutingsuchschemeandartifice,inviolationofTitle18,UnitedStatesCode,Section1343.Overt
Acts
6.Infurtheranceoftheconspiracyandtoeffecttheillegalobjectthereof,JOHNKINNUCAN,thedefendant,andothersknownandunknown,committedthesameovertactssetforthaboveinparagraph3,amongothers,intheSouthernDistrictofNewYorkandelsewhere.(Title18,UnitedStatesCode,Section1349.)
COUNTSTHREEANDFOUR
(SecuritiesFraud)7.Onoraboutthedatessetforthbelow,intheSouthernDistrictofNewYorkandelsewhere,JOHNKINNUCAN,thedefendant,willfullyandknowingly,directlyandindirectly,by
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