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CIVIL

COVERSHEET

52013

JS

44C/SDNY

REV.

1/2008

TheJS-44

civil

coversheetandthe

information

contained

herein

neither

re

pleadings

or

other

papers

as

required

by

law,

except

as

provided

by

local

rule

Conference

ofthe

United

StatesinSeptember1974,is

required

foruseof

the

civil

docket

sheet.

PLAINTIFFS

SecuritiesandExchangeCommission

ATTORNEYS

(FIRM

NAME,

ADDRESS,

AND

TELEPHONE

NUMBER)

ATTORNEYS

(IFKNOWN)

Securities

and

Exchange

Commission,

3

World

Financial

Center,

Suite400

New

York,

NY

10281-1022-212-336-1100.

(Sanjay

Wadhwa,

Charles

D.

None

Riely,

David

S.

Brown,

Megan

M.

Bergstrom,

and

DanielHawke)

_

CAUSEOF

ACTION

(cite

the

u.s.civil

statute

under

whichyou

are

filingand

write

a

brief

statement

of

cause)

(DONOTCITE

JURISDICTIONALSTATUTESUNLESS

DIVERSITY)

DEFENDANTS

Certain

Unknown

TradersintheSecuritiesofH.J.Heinz

Company

15U.S.C.

§§78j(b)

and

17

C.F.R.

§

240.10b-5.

Insider

trading.

Has

this

or

a

similar

case

been

previously

filed

in

SDNY

at

anytime?

No?

\7\

Yes?

D

Judge

Previously

Assigned

If

yes,was

this

caseVolD

Invol.

•

Dismissed.

NoD

Yes

D

If

yes,

give

date

&

Case

No.

(PLACE

ANfxlIN

ONE

BOX

ONLY)

NATURE

OFSUIT

ACTIONS

UNDER

STATUTES

CONTRACT

PERSONAL

INJURYPERSONAL

INJURY

FORFEITURE/PENALTYBANKRUPTCY

[

1422

APPEAL

28

USC158

[

]423

WITHDRAWAL

28

USC157

OTHER

STATUTES

11110

[J120[]130[J140

[1150

[1151

[1152

[1153[1160[1190

[1195

[1196

INSURANCE

MARINEMILLER

ACTNEGOTIABLE

INSTRUMENTRECOVERY

OF

OVERPAYMENT&

ENFORCEMENT

OF

JUDGMENT

MEDICARE

ACTRECOVERY

OF

DEFAULTED

STUDENT

LOANS

(EXCL

VETERANS)

RECOVERY

OF

OVERPAYMENT

OF

VETERAN'SBENEFITS

STOCKHOLDERS

SUITS

OTHERCONTRACTCONTRACTPRODUCT

LIABILITY

FRANCHISE

REALPROPERTY

[1210[1220

(

]230

[1240[1245

[

1290

LAND

CONDEMNATION

FORECLOSURERENTLEASE

&

EJECTMENT

TORTSTO

LAND

TORTPRODUCT

LIABILITY

ALL

OTHER

REAL

PROPERTY

[]310

[1315

[

1320

[

1330

[1340[1345

[

1350

[

1355

(

]360

AIRPLANE

PRODUCT

LIABILITY

ASSAULT.

LIBEL&

SLANDER

FEDERALEMPLOYERS'

LIABILITY

MARINE

PRODUCT

LIABILITY

MOTORVEHICLEMOTORVEHICLE

PRODUCT

LIABILITY

OTHERPERSONAL

INJURY

[

1362

[

]365

[1368

PERSONALINJURY-

MEDMALPRACTICE

PERSONAL

INJURYPRODUCT

LIABILITY

ASBESTOSPERSONAL

INJURY

PRODUCT

LIABILITY

PERSONALPROPERTY

I

1370

[]371

[

]380

[

1385

OTHER

FRAUD

TRUTH

INLENDING

OTHERPERSONALPROPERTY

DAMAGE

PROPERTY

DAMAGE

PRODUCT

LIABILITY

[1610

[

]620

[1625

[

]630

[1640

[

]650

[

1660

[

1690

AGRICULTURE

OTHERFOOD

&

DRUG

DRUGRELATEDSEIZURE

OF

PROPERTY

21

USC881

LIQUORLAWSRR

STRUCK

AIRLINE

REGSOCCUPATIONALSAFETY/HEALTH

OTHER

PROPERTY

RIGHTS

[1820

COPYRIGHTS

[1830

PATENT

[]840

TRADEMARK

SOCIAL

SECURITY

[]861HIA(1395ff)

[1862

BLACK

LUNG

(923)[]863

DIWC/DIWW

(405(g))[]864SSID

TITLE

XVI

[1865RSI(405(g))

[]710

FAIRLABOR

STANDARDS

ACT

[]720

LABOR/MGMT

RELATIONSLABOR/MGMT

REPORTING

&

DISCLOSURE

ACTRAILWAY

LABOR

ACT

OTHER

LABOR

LITIGATION

EMPLRET

INC

SECURITYACT

[]400

[1410

11430

[)

450

M460[1470

[]480

[1490[1810

^850

[1875

[

1890

[1891

[

]892

[

]893

[1894

[

]895

[

]900

[

)950

ACTIONS

UNDER

STATUTES

CIVIL

RIGHTS

[J441VOTING

[1442

EMPLOYMENT

[]443HOUSING/

ACCOMMODATIONS

[]444WELFARE

[1445

AMERICANS

WITH

DISABILITIES

-

EMPLOYMENT

[1446

AMERICANSWITH

DISABILITIES

-OTHER

[1440

OTHER

CIVIL

RIGHTS

[1730

PRISONER

PETITIONS

[1740

[1790

[1791

1510

MOTIONS

TO

VACATE

SENTENCE

28USC

2255

HABEAS

CORPUS

DEATHPENALTY

MANDAMUS&

OTHER

CIVIL

RIGHTS

PRISON

CONDITION

FEDERALTAX

SUITS

[]870

TAXES

(U.S.Plaintiff

or

Defendant)

[]871

IRS-THIRD

PARTY

26

USC

7609

[

)530

[

)535

[J540[

)550

[

1555

IMMIGRATION

[J

462I

1463

[1465

NATURALIZATIONAPPLICATION

HABEAS

CORPUS-

ALIEN

DETAINEE

OTHER

IMMIGRATION

ACTIONSSTATE

REAPPORTIONMENT

ANTITRUST

BANKS&BANKING

COMMERCE

DEPORTATIONRACKETEER

INFLU

ENCED

&

CORRUPT

ORGANIZATIONACT

(RICO)

CONSUMERCREDIT

CABLBSATELLITETV

SELECTIVE

SERVICE

SECURITIES/COMMODITIES/EXCHANGECUSTOMERCHALLENGE

12

USC

3410

OTHERSTATUTORY

ACTIONS

AGRICULTURALACTS

ECONOMIC

STABILIZATIONACT

ENVIRONMENTALMATTERSENERGYALLOCATION

ACT

FREEDOM

OF

INFORMATIONACT

APPEAL

OF

FEE

DETERMINATIONUNDER

EQUAL

ACCESS

TO

JUSTICE

CONSTITUTIONALITY

OF

STATESTATUTES

Check

if

demanded

incomplaint:

CHECK

IFTHISISACLASSACTION

UNDERF.R.C.P.

23

DEMAND$

DOYOU

CLAIM

THIS

CASE

IS

RELATEDTO

A

CIVIL

CASE

NOW

PENDING

IN

S.D.N.Y.?

IF

SO,

STATE:

OTHER

Check

YES

only

if

demanded

in

complaint

JURY

DEMAND:

•

YES

0

NO

JUDGE.

DOCKETNUMBER_

NOTE:

Please

submit

atthe

time

of

filing

an

explanation

of

why

casesare

deemed

related.

(PLACE

ANxINONEBOX

ONLY)

ORIGIN

01

original

L_l

2a.

Removed

from

CD

3

Remanded

from

LI4

Reinstated

or

Q5

Transferred

from

•6

Multidistrict

LJ

7

Appeal

to

District

Proceeding

State

Court

Appellate

Court

Reopened

(Specify

District)Litigation

Judge

from

.Removed

from

State

Court

AND

at

least

one

party

is

pro

se.

•

«,

Magistrate

Judge

_D.Removed

from..

__nf

Judgment

(PLACE

ANx

IN

ONE

BOX

ONLY)

BASIS

OF

JURISDICTION

IF

DIVERSITY,

INDICATE

Q1US

PLAINTIFF

•2

U.S.

DEFENDANT

•3

FEDERAL

QUESTION

D4

DIVERSITY

CITIZENSHIP

BELOW.

(U.S.

NOT

A

PARTY)

(28USC1322,

1441)

CITIZENSHIPOFPRINCIPAL

PARTIES

(FOR

DIVERSITY

CASES

ONLY)(Placean

[X]

inoneboxfor

Plaintiff

andoneboxfor

Defendant)

PTFDEFPTFDEFPTFDEF

CITIZEN

OF

THIS

STATE

[]1[]1

CITIZEN

OR

SUBJECT

OFA

[13

INCORPORATED

and

PRINCIPAL

PLACE

[)5

[]5

FOREIGNCOUNTRY

OF

BUSINESS

IN

ANOTHERSTATE

CITIZENOF

ANOTHERSTATE

[]2[]2

INCORPORATED

or

PRINCIPALPLACE

[14(14

FOREIGN

NATION

[16

[]6

OF

BUSINESS

IN

THISSTATE

PLAINTIFF(S)

ADDRESS(ES)

AND

COUNTY(IES)

Securities

and

Exchange

Commission

3

World

Financial

Center,Suite

400

New

York,NY

10281-1022

New

York

County

DEFENDANT(S)

ADDRESS(ES)

AND

COUNTY(IES)

DEFENDANT(S)ADDRESS

UNKNOWN

REPRESENTATION

IS

HEREBY

MADE

THAT,

ATTHIS

TIME,

I

HAVE

BEEN

UNABLE.

WITH

REASONABLEDILIGENCE,

TO

ASCERTAIN

THE

RESIDENCEADDRESSES

OF

THEFOLLOWINGDEFENDANTS:

Checkone:

THISACTIONSHOULD

BE

ASSIGNED

TO:

•

WHITEPLAINS0MANHATTAN

(DONOTcheckeitherboxifthisaPRISONER

PETITION.)

DATE

02/15/13

SIGNATURE

OF

ATTORNEY

OFRECORD

ADMITTED

TOPRACTICE

IN

THIS

DISTRICT

^H

«f

^

*J^

U

YES

(DATEADMITTED

Mo.

NoV"

Yr.

2005

RECEIPT

#

Attorney

BarCode#

SW-2457.

U1P

XITVS'"?»<fMAil

MagistrateJudgeistobedesignatedbytheClerkoftheCourt.

MAS-.

*>«_

•-=-

*

•a^i"iU'

MagistrateJudgeissoDesignated.

J.MichaelMcMahon,ClerkofCourtbyDeputyClerk,DATED.

UNITED

STATESDISTRICTCOURT(NEWYORKSOUTHERN)

XMMM

SANJAYWADHWA

Attorney

for

Plaintiff

SECURITIESANDEXCHANGE

COMMISSION

New

York

RegionalOffice

3

World

Financial

CenterRoom

400

New

York,

New

York

10281

(212)336-0181

UNITED

STATES

DISTRICTCOURT

SOUTHERN

DISTRICT

OF

NEW

YORK

SECURITIESANDEXCHANGECOMMISSION,

Plaintiff,

-against-

CERTAINUNKNOWNTRADERS

IN

THE

SECURITIES

OF

H.J.

HEINZ

COMPANY

Defendants.

13

cry

io8o

o

CO

—n

m._:-J

"-<

—

CO

13

Civ.

()

COMPLAINT

ECF

CASE

PlaintiffSecuritiesandExchangeCommission("Commission"),foritsComplaintagainstdefendantsCertainUnknownTradersintheSecurities

of

H.J.HeinzCompany("Defendants"),

allegesasfollows:

SUMMARY

1.Thisisaninsidertradingcaseinvolvinghighlysuspicioustradingincalloptioncontracts("calls")

of

H.J.HeinzCompany("Heinz")bytheDefendants

just

priortotheFebruary

14,2013announcementthatHeinzhadenteredintoanagreementtobeacquiredfor$72.50per

sharebyaninvestmentconsortiumcomprised

of

BerkshireHathawayand3GCapitalPartners,

o