Securities and Exchange Commission v. SHE Beverage Company, Inc.

Opinion

Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 1 of 25 Page IDF #IL:1E6D9 CLERK, U.S. DISTRICTCOURT 0011//1188//22002222 1 AMY JANE LONGO (Cal. Bar No. 198304) CENTRAL DISTRICTOF CALIFORNIA Email: longoa@sec.gov BY: ____jj _mm ______________ DEPUTY 2 JANET RICH WEISSMAN (Cal. Bar No. 137023) 3 Email: weissmanj@sec.gov 4 Attorneys for Plaintiff 5 Securities and Exchange Commission Michele Wein Layne, Regional Director 6 Ansu N. Banerjee, Associate Regional Director 7 444 S. Flower Street, Suite 900 Los Angeles, California 90071 8 Telephone: (323) 965-3998 9 Facsimile: (213) 443-1904 10 11 UNITED STATES DISTRICT COURT 12 CENTRAL DISTRICT OF CALIFORNIA 13 Western Division 14 15 SECURITIES AND EXCHANGE Case No. 2:21-cv-07339-CAS-AS COMMISSION, 16 Plaintiff, AMENDED STIPULATED 17 PROTECTIVE ORDER1 18 vs. 19 SHE BEVERAGE COMPANY, INC., LUPE L. ROSE, SONJA F. SHELBY 20 AND KATHERINE E. DIRDEN, 21 Defendants. 22 23 24 25 26 27 1 This Amended Stipulated Protective Order cures the deficiencies listed in the “Notice to Filer of 28 Deficiencies in Electronically Filed Documents.” (Dkt. No. 31) AMENDED STIPULATED PROTECTIVE ORDER 2:21-cv-07339-CAS-AS Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 2 of 25 Page ID #:170

1 1. A. PURPOSES AND LIMITATIONS 2 Discovery in this action is likely to involve production of confidential, 3 proprietary, or private information for which special protection from public 4 disclosure and from use for any purpose other than prosecuting this litigation may be 5 warranted. Plaintiff Securities and Exchange Commission (“SEC”) takes the position 6 that when considering whether good cause for a protective order under Rule 26(c) 7 exists, courts must weigh the presumption of openness of litigation materials against 8 the asserted right of confidentiality. When the government is a party to the litigation, 9 those matters are of significant public concern which may often outweigh any 10 competing interest in confidentiality. Nevertheless, to facilitate the exchange of 11 information, the parties hereby stipulate to and petition the Court to enter the 12 following Stipulated Protective Order. The parties acknowledge that this Order does 13 not confer blanket protections on all disclosures or responses to discovery and that 14 the protection it affords from public disclosure and use extends only to the limited 15 information or items that are entitled to confidential treatment under the applicable 16 legal principles. The parties further acknowledge, as set forth in Section 12.3, below, 17 that this Stipulated Protective Order does not entitle them to file confidential 18 information under seal; Civil Local Rule 79-5 sets forth the procedures that must be 19 followed and the standards that will be applied when a party seeks permission from 20 the court to file material under seal. 21 B. GOOD CAUSE STATEMENT 22 This action is likely to involve commercial and/or financial information for 23 which special protection from public disclosure and from use for any purpose other 24 than prosecution of this action is warranted. Such confidential and proprietary 25 materials and information consist of, among other things, confidential business or 26 financial information, information regarding confidential business practices, or other 27 confidential research, development, or commercial information (including 28 information implicating privacy rights of third parties), information otherwise AMENDED STIPULATED PROTECTIVE ORDER 1 2:21-cv-07339-CAS-AS Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 3 of 25 Page ID #:171

1 generally unavailable to the public, or which may be privileged or otherwise 2 protected from disclosure under state or federal statutes, court rules, case decisions, 3 or common law. Accordingly, to expedite the flow of information, to facilitate the 4 prompt resolution of disputes over confidentiality of discovery materials, to 5 adequately protect information the parties are entitled to keep confidential, to ensure 6 that the parties are permitted reasonable necessary uses of such material in 7 preparation for and in the conduct of trial, to address their handling at the end of the 8 litigation, and serve the ends of justice, a protective order for such information is 9 justified in this matter. It is the intent of the parties that information will not be 10 designated as confidential for tactical reasons and that nothing be so designated 11 without a good faith belief that it has been maintained in a confidential, non-public 12 manner, and there is good cause why it should not be part of the public record of this 13 case. 14 2. DEFINITIONS 15 2.1 Action: SEC v SHE Beverage, Inc. et al., Case No. Case No. 2:21-cv- 16 07339-CAS-AS. 17 2.2 Challenging Party: a Party or Non-Party that challenges the designation of 18 information or items under this Order. 19 2.3 “CONFIDENTIAL” Information or Items: information (regardless of how 20 it is generated, stored or maintained) or tangible things that qualify for 21 protection under Federal Rule of Civil Procedure 26(c), and as specified above 22 in the Good Cause Statement. 23 2.4 Counsel: Outside Counsel of Record and House Counsel (as well as their 24 support staff). 25 2.5 Designating Party: a Party or Non-Party that designates information or 26 items that it produces in disclosures or in responses to discovery as 27 “CONFIDENTIAL.” 28 2.6 Disclosure or Discovery Material: all items or information, regardless of AMENDED STIPULATED PROTECTIVE ORDER 2 2:21-cv-07339-CAS-AS Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 4 of 25 Page ID #:172

1 the medium or manner in which it is generated, stored, or maintained 2 (including, among other things, testimony, transcripts, and tangible things), that 3 are produced or generated in disclosures or responses to discovery in this 4 matter. 5 2.7 Expert: a person with specialized knowledge or experience in a matter 6 pertinent to the litigation who has been retained by a Party or its counsel to 7 serve as an expert witness or as a consultant in this Action. 8 2.8 House Counsel: attorneys who are employees of a party to this Action. 9 House Counsel does not include Outside Counsel of Record or any other 10 outside counsel. 11 2.9 Non-Party: any natural person, partnership, corporation, association, or 12 other legal entity not named as a Party to this action. 13 2.10 Outside Counsel of Record: attorneys who are not employees of a party to 14 this Action but are retained to represent or advise a party to this Action and 15 have appeared in this Action on behalf of that party or are affiliated with a law 16 firm which has appeared on behalf of that party, and includes support staff. 17 2.11 Party: any party to this Action, including all of its officers, directors, 18 employees, consultants, retained experts, and Outside Counsel of Record (and 19 their support staffs). 20 2.12 Producing Party: a Party or Non-Party that produces Disclosure or 21 Discovery Material in this Action. 22 2.13 Professional Vendors: persons or entities that provide litigation support 23 services (e.g., photocopying, videotaping, translating, preparing exhibits or 24 demonstrations, and organizing, storing, or retrieving data in any form or 25 medium) and their employees and subcontractors. 26 2.14 Protected Material: any Disclosure or Discovery Material that is 27 designated as “CONFIDENTIAL.” 28 2.15 Receiving Party: a Party that receives Disclosure or Discovery Material AMENDED STIPULATED PROTECTIVE ORDER 3 2:21-cv-07339-CAS-AS Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 5 of 25 Page ID #:173

1 from a Producing Party. 2 3. SCOPE 3 The protections conferred by this Stipulation and Order cover not only 4 Protected Material (as defined above), but also (1) any information copied or 5 extracted from Protected Material; (2) all copies, excerpts, summaries, or 6 compilations of Protected Material; and (3) any testimony, conversations, or 7 presentations by Parties or their Counsel that might reveal Protected Material. Any 8 use of Protected Material at trial shall be governed by the orders of the trial judge. 9 This Order does not govern the use of Protected Material at trial. 10 The protections conferred by this Protective Order do not cover the 11 following information: (a) any information that is in the public domain at the time of 12 disclosure to a Receiving Party or becomes part of the public domain after its 13 disclosure to a Receiving Party as a result of publication not involving violation of this Protective Order, including becoming part of the public record through trial or 14 otherwise; (b) any information known to the Receiving Party prior to the disclosure 15 or obtained by the Receiving Party after the disclosure from a source who obtained 16 the information lawfully and under no obligation of confidentiality to the Designating 17 Party; and (c) any information that has come into the possession of a Receiving Party 18 prior to the entry of this Protective Order. 19 Notwithstanding any other provision contained herein, this Protective Order 20 shall not limit or otherwise abrogate the ability and authority of the SEC to, without 21 notifying the Designating Party: (1) use, disclose, or retain any materials to the 22 extent required by law; and/or (2) use or disclose any materials in a manner consistent 23 with paragraphs 1-22 of Section H of SEC Form 1662 (the “Routine Uses of 24 Information”), a copy of which is attached hereto as Exhibit B. 25 Notwithstanding any other provision of this Protective Order, the SEC shall not 26 be limited in its ability to share, disclose, or produce any information received in 27 connection with this action with any other federal or state authority, agency, or 28 department. AMENDED STIPULATED PROTECTIVE ORDER 4 2:21-cv-07339-CAS-AS Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 6 of 25 Page ID #:174

1 4. DURATION 2 Even after final disposition of this litigation, the confidentiality obligations 3 imposed by this Order shall remain in effect until a Designating Party agrees 4 otherwise in writing or a court order otherwise directs. Final disposition shall be 5 deemed to be the later of (1) dismissal of all claims and defenses in this Action, with 6 or without prejudice; and (2) final judgment herein after the completion and 7 exhaustion of all appeals, rehearings, remands, trials, or reviews of this Action, 8 including the time limits for filing any motions or applications for extension of time 9 pursuant to applicable law. 10 5. DESIGNATING PROTECTED MATERIAL 11 5.1 Exercise of Restraint and Care in Designating Material for Protection. Each 12 Party or Non-Party that designates information or items for protection under this 13 Order must take care to limit any such designation to specific material that qualifies 14 under the appropriate standards. The Designating Party must designate for protection 15 only those parts of material, documents, items, or oral or written communications that 16 qualify so that other portions of the material, documents, items, or communications 17 for which protection is not warranted are not swept unjustifiably within the ambit of 18 this Order. 19 Mass, indiscriminate, or routinized designations are prohibited. Designations 20 that are shown to be clearly unjustified or that have been made for an improper 21 purpose (e.g., to unnecessarily encumber the case development process or to impose 22 unnecessary expenses and burdens on other parties) may expose the Designating 23 Party to sanctions. 24 If it comes to a Designating Party’s attention that information or items that it 25 designated for protection do not qualify for protection, that Designating Party must 26 promptly notify all other Parties that it is withdrawing the inapplicable designation. 27 5.2 Manner and Timing of Designations. Except as otherwise provided in this 28 Order (see, e.g., second paragraph of section 5.2(a) below), or as otherwise stipulated AMENDED STIPULATED PROTECTIVE ORDER 5 2:21-cv-07339-CAS-AS Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 7 of 25 Page ID #:175

1 or ordered, Disclosure or Discovery Material that qualifies for protection under this 2 Order must be clearly so designated before the material is disclosed or produced. 3 Designation in conformity with this Order requires: 4 (a) for information in documentary form (e.g., paper or electronic documents, 5 but excluding transcripts of depositions or other pretrial or trial 6 proceedings), that the Producing Party affix at a minimum, the legend 7 “CONFIDENTIAL” (hereinafter “CONFIDENTIAL legend”), to each page 8 that contains protected material. If only a portion or portions of the material 9 on a page qualifies for protection, the Producing Party also must clearly 10 identify the protected portion(s) (e.g., by making appropriate markings in 11 the margins). 12 A Party or Non-Party that makes original documents available for inspection 13 need not designate them for protection until after the inspecting Party has indicated 14 which documents it would like copied and produced. During the inspection and 15 before the designation, all of the material made available for inspection shall be 16 deemed “CONFIDENTIAL.” After the inspecting Party has identified the documents 17 it wants copied and produced, the Producing Party must determine which documents, 18 or portions thereof, qualify for protection under this Order. Then, before producing 19 the specified documents, the Producing Party must affix the “CONFIDENTIAL 20 legend” to each page that contains Protected Material. If only a portion or portions of 21 the material on a page qualifies for protection, the Producing Party also must clearly 22 identify the protected portion(s) (e.g., by making appropriate markings in the 23 margins). 24 (b) for testimony given in depositions that the Designating Party identify the 25 Disclosure or Discovery Material on the record, before the close of the deposition all 26 protected testimony. 27 (c) for information produced in some form other than documentary and for any 28 other tangible items, that the Producing Party affix in a prominent place on the AMENDED STIPULATED PROTECTIVE ORDER 6 2:21-cv-07339-CAS-AS Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 8 of 25 Page ID #:176

1 exterior of the container or containers in which the information is stored the legend 2 “CONFIDENTIAL.” If only a portion or portions of the information warrants 3 protection, the Producing Party, to the extent practicable, shall identify the protected 4 portion(s). 5 5.3 Inadvertent Failures to Designate. If timely corrected, an inadvertent failure 6 to designate qualified information or items does not, standing alone, waive the 7 Designating Party’s right to secure protection under this Order for such material. 8 Upon timely correction of a designation, the Receiving Party must make reasonable 9 efforts to assure that the material is treated in accordance with the provisions of this 10 Order. 11 6. CHALLENGING CONFIDENTIALITY DESIGNATIONS 12 6.1 Timing of Challenges. Any Party or Non-Party may challenge a 13 designation of confidentiality at any time that is consistent with the Court’s 14 Scheduling Order. 15 6.2 Meet and Confer. The Challenging Party shall initiate the informal dispute 16 resolution process set forth in the Court's Procedures and Schedules. see 17 http://www.cacd.uscourts.gov/honorable-alka-sagar 18 6.3 The burden of persuasion in any such challenge proceeding shall be on the 19 Designating Party. Frivolous challenges, and those made for an improper purpose 20 (e.g., to harass or impose unnecessary expenses and burdens on other parties) may 21 expose the Challenging Party to sanctions. Unless the Designating Party has waived 22 or withdrawn the confidentiality designation, all parties shall continue to afford the 23 material in question the level of protection to which it is entitled under the Producing 24 Party’s designation until the Court rules on the challenge. 25 7. ACCESS TO AND USE OF PROTECTED MATERIAL 26 7.1 Basic Principles. A Receiving Party may use Protected Material that is 27 disclosed or produced by another Party or by a Non-Party in connection with this 28 Action only for prosecuting, defending, or attempting to settle this Action. Such AMENDED STIPULATED PROTECTIVE ORDER 7 2:21-cv-07339-CAS-AS Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 9 of 25 Page ID #:177

1 Protected Material may be disclosed only to the categories of persons and under the 2 conditions described in this Order. When the Action has been terminated, a Receiving 3 Party must comply with the provisions of section 12 below (FINAL DISPOSITION). 4 Protected Material must be stored and maintained by a Receiving Party at a 5 location and in a secure manner that ensures that access is limited to the persons 6 authorized under this Order. 7 7.2 Disclosure of “CONFIDENTIAL” Information or Items. Unless otherwise 8 ordered by the court or permitted in writing by the Designating Party, a Receiving 9 Party may disclose any information or item designated “CONFIDENTIAL” only to: 10 (a) the Receiving Party’s Outside Counsel of Record in this Action, as well as 11 employees of said Outside Counsel of Record to whom it is reasonably necessary to 12 disclose the information for this Action; 13 (b) the officers, directors, and employees (including House Counsel) of the 14 Receiving Party to whom disclosure is reasonably necessary for this Action; 15 (c) Experts (as defined in this Order) of the Receiving Party to whom 16 disclosure is reasonably necessary for this Action and who have signed the 17 “Acknowledgment and Agreement to Be Bound” (Exhibit A); 18 (d) the court and its personnel; 19 (e) court reporters and their staff; 20 (f) professional jury or trial consultants, mock jurors, and Professional Vendors 21 to whom disclosure is reasonably necessary for this Action and who have signed the 22 “Acknowledgment and Agreement to Be Bound” (Exhibit A); 23 (g) the author or recipient of a document containing the information or a 24 custodian or other person who otherwise possessed or knew the information; 25 (h) during their depositions, witnesses, and attorneys for witnesses, in the 26 Action to whom disclosure is reasonably necessary provided: (1) the deposing party 27 requests that the witness sign the form attached as Exhibit A hereto; and (2) they will 28 not be permitted to keep any confidential information unless they sign the AMENDED STIPULATED PROTECTIVE ORDER 8 2:21-cv-07339-CAS-AS Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 10 of 25 Page ID #:178

1 “Acknowledgment and Agreement to Be Bound” (Exhibit A), unless otherwise 2 agreed by the Designating Party or ordered by the court. Pages of transcribed 3 deposition testimony or exhibits to depositions that reveal Protected Material may be 4 separately bound by the court reporter and may not be disclosed to anyone except as 5 permitted under this Stipulated Protective Order; and 6 (i) any mediator or settlement officer, and their supporting personnel, mutually 7 agreed upon by any of the parties engaged in settlement discussions. 8 8. PROTECTED MATERIAL SUBPOENAED OR ORDERED 9 PRODUCED IN OTHER LITIGATION 10 If a Party is served with a subpoena or a court order issued in other litigation 11 that compels disclosure of any information or items designated in this Action as 12 “CONFIDENTIAL,” that Party must: 13 (a) promptly notify in writing the Designating Party. Such notification shall 14 include a copy of the subpoena or court order; 15 (b) promptly notify in writing the party who caused the subpoena or order to 16 issue in the other litigation that some or all of the material covered by the subpoena or 17 order is subject to this Protective Order. Such notification shall include a copy of this 18 Stipulated Protective Order; and 19 (c) cooperate with respect to all reasonable procedures sought to be pursued by 20 the Designating Party whose Protected Material may be affected. If the Designating 21 Party timely seeks a protective order, the Party served with the subpoena or court 22 order shall not produce any information designated in this action as 23 “CONFIDENTIAL” before a determination by the court from which the subpoena or 24 order issued, unless the Party has obtained the Designating Party’s permission. The 25 Designating Party shall bear the burden and expense of seeking protection in that 26 court of its confidential material and nothing in these provisions should be construed 27 as authorizing or encouraging a Receiving Party in this Action to disobey a lawful 28 directive from another court. AMENDED STIPULATED PROTECTIVE ORDER 9 2:21-cv-07339-CAS-AS Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 11 of 25 Page ID #:179

1 9. A NON-PARTY’S PROTECTED MATERIAL SOUGHT TO BE 2 PRODUCED IN THIS LITIGATION 3 (a) The terms of this Order are applicable to information produced by a 4 NonParty in this Action and designated as “CONFIDENTIAL.” Such information 5 produced by Non-Parties in connection with this litigation is protected by the 6 remedies and relief provided by this Order. Nothing in these provisions should be 7 construed as prohibiting a Non-Party from seeking additional protections. 8 (b) In the event that a Party is required, by a valid discovery request, to 9 produce a Non-Party’s confidential information in its possession, and the Party is 10 subject to an agreement with the Non-Party not to produce the Non-Party’s 11 confidential information, then the Party shall: 12 (1) promptly notify in writing the Requesting Party and the Non-Party 13 that some or all of the information requested is subject to a confidentiality 14 agreement with a Non-Party; 15 (2) promptly provide the Non-Party with a copy of the Stipulated 16 Protective Order in this Action, the relevant discovery request(s), and a 17 reasonably specific description of the information requested; and (3) make the 18 information requested available for inspection by the Non-Party, if requested. 19 (c) If the Non-Party fails to seek a protective order from this court within 14 20 days of receiving the notice and accompanying information, the Receiving Party may 21 produce the Non-Party’s confidential information responsive to the discovery request. 22 If the Non-Party timely seeks a protective order, the Receiving Party shall not 23 produce any information in its possession or control that is subject to the 24 confidentiality agreement with the Non-Party before a determination by the court. 25 Absent a court order to the contrary, the Non-Party shall bear the burden and expense 26 of seeking protection in this court of its Protected Material. 27 10. UNAUTHORIZED DISCLOSURE OF PROTECTED MATERIAL 28 If a Receiving Party learns that, by inadvertence or otherwise, it has disclosed AMENDED STIPULATED PROTECTIVE ORDER 10 2:21-cv-07339-CAS-AS Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 12 of 25 Page ID #:180

1 Protected Material to any person or in any circumstance not authorized under this 2 Stipulated Protective Order, the Receiving Party must immediately (a) notify in 3 writing the Designating Party of the unauthorized disclosures, (b) use its best efforts 4 to retrieve all unauthorized copies of the Protected Material, (c) inform the person or 5 persons to whom unauthorized disclosures were made of all the terms of this Order, 6 and (d) request such person or persons to execute the “Acknowledgment and 7 Agreement to Be Bound” that is attached hereto as Exhibit A. 8 11. INADVERTENT PRODUCTION OF PRIVILEGED OR OTHERWISE 9 PROTECTED MATERIAL 10 When a Producing Party gives notice to Receiving Parties that certain 11 inadvertently produced material is subject to a claim of privilege or other protection, 12 the obligations of the Receiving Parties are those set forth in Federal Rule of Civil 13 Procedure 26(b)(5)(B). This provision is not intended to modify whatever procedure 14 may be established in an e-discovery order that provides for production without prior 15 privilege review. Pursuant to Federal Rule of Evidence 502(d) and (e), insofar as the 16 parties reach an agreement on the effect of disclosure of a communication or 17 information covered by the attorney-client privilege or work product protection, the 18 parties may incorporate their agreement in the stipulated protective order submitted to 19 the court. 20 12. MISCELLANEOUS 21 12.1 Right to Further Relief. Nothing in this Order abridges the right of any 22 person to seek its modification by the Court in the future. 23 12.2 Right to Assert Other Objections. By stipulating to the entry of this 24 Protective Order no Party waives any right it otherwise would have to object to 25 disclosing or producing any information or item on any ground not addressed in this 26 Stipulated Protective Order. Similarly, no Party waives any right to object on any 27 ground to use in evidence of any of the material covered by this Protective Order. 28 12.3 Filing Protected Material. A Party that seeks to file under seal any AMENDED STIPULATED PROTECTIVE ORDER 11 2:21-cv-07339-CAS-AS Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 13 of 25 Page ID #:181

1 Protected Material must comply with Civil Local Rule 79-5. Protected Material may 2 only be filed under seal pursuant to a court order authorizing the sealing of the 3 specific Protected Material at issue. If a Party's request to file Protected Material 4 under seal is denied by the court, then the Receiving Party may file the information in 5 the public record unless otherwise instructed by the court. 6 There is a strong presumption that the public has a right of access to judicial 7 proceedings and records in civil cases. In connection with non-dispositive motions, 8 good cause must be shown to support a filing under seal. See Kamakana v. City and 9 County of Honolulu, 447 F.3d 1172, 1176 (9th Cir. 2006), Phillips v. Gen. Motors Corp., 307 F.3d 1206, 1210-11 (9th Cir. 2002), Makar-Welbon v. Sony Electrics, Inc., 10 187 F.R.D. 576, 577 (E.D. Wis. 1999) (even stipulated protective orders require good 11 cause showing), and a specific showing of good cause or compelling reasons with 12 proper evidentiary support and legal justification, must be made with respect to 13 Protected Material that a party seeks to file under seal. The parties’ mere designation 14 of Disclosure or Discovery Material as CONFIDENTIAL does not—without the 15 submission of competent evidence by declaration, establishing that the material 16 sought to be filed under seal qualifies as confidential, privileged, or otherwise 17 protectable—constitute good cause. 18 Further, if a party requests sealing related to a dispositive motion or trial, then 19 compelling reasons, not only good cause, for the sealing must be shown, and the 20 relief sought shall be narrowly tailored to serve the specific interest to be protected. 21 See Pintos v. Pacific Creditors Ass’n, 605 F.3d 665, 677-79 (9th Cir. 2010). For each 22 item or type of information, document, or thing sought to be filed or introduced under 23 seal in connection with a dispositive motion or trial, the party seeking protection must 24 articulate compelling reasons, supported by specific facts and legal justification, for the requested sealing order. Again, competent evidence supporting the application to 25 file documents under seal must be provided by declaration. 26 Any document that is not confidential, privileged, or otherwise protectable in 27 its entirety will not be filed under seal if the confidential portions can be redacted. If 28 AMENDED STIPULATED PROTECTIVE ORDER 12 2:21-cv-07339-CAS-AS Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 14 of 25 Page ID #:182

1 documents can be redacted, then a redacted version for public viewing, omitting only 2 the confidential, privileged, or otherwise protectable portions of the document, shall 3 be filed. Any application that seeks to file documents under seal in their entirety 4 should include an explanation of why redaction is not feasible. 5 13. FINAL DISPOSITION 6 After the final disposition of this Action, as defined in paragraph 4, within 60 7 days of a written request by the Designating Party, each Receiving Party must return 8 all Protected Material to the Producing Party or destroy such material. As used in this 9 subdivision, “all Protected Material” includes all copies, abstracts, compilations, 10 summaries, and any other format reproducing or capturing any of the Protected 11 Material. Whether the Protected Material is returned or destroyed, the Receiving 12 Party must submit a written certification to the Producing Party (and, if not the same 13 person or entity, to the Designating Party) by the 60 day deadline that (1) identifies 14 (by category, where appropriate) all the Protected Material that was returned or 15 destroyed and (2)affirms that the Receiving Party has not retained any copies, 16 abstracts, compilations, summaries or any other format reproducing or capturing any 17 of the Protected Material. Notwithstanding this provision, Counsel are entitled to 18 retain an archival copy of all pleadings, motion papers, trial, deposition, and hearing 19 transcripts, legal memoranda, correspondence, deposition and trial exhibits, expert 20 reports, attorney work product, and consultant and expert work product, even if such 21 materials contain Protected Material. Any such archival copies that contain or 22 constitute Protected Material remain subject to this Protective Order as set forth in 23 Section 4 (DURATION). 24 Unlike private litigants, the SEC has separate and additional document 25 retention obligations mandated by statutes, including, but not limited to, the 26 following: (1) 18 U.S.C. §§ 641 and 2071; (2) 44 U.S.C. Chapters 21, 29, 31, and 27 33; and (3) 36 C.F.R. Parts 1220-1239. As a result, Paragraph 13 shall not apply to any Protected Material in the possession of the SEC. In addition, nothing in this 28 AMENDED STIPULATED PROTECTIVE ORDER 13 2:21-cv-07339-CAS-AS Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 15 of 25 Page ID #:183

1 Protective Order shall restrict or limit the SEC from retaining any materials to the 2 extent required by law. The SEC may retain any Protected Material should it or its 3 staff determine that it should or must retain such information to fulfill its record- 4 keeping obligations or any other obligation, or to carry out any permitted uses under the SEC’s Form 1662, Exhibit B. 5 14. Any violation of this Order may be punished by any and all appropriate 6 measures including, without limitation, contempt proceedings and/or monetary 7 sanctions. 8 9 IT IS SO STIPULATED, THROUGH COUNSEL OF RECORD. 10 11 DATED: January 14, 2022 12 13 s/ Amy Jane Longo 14 Amy Jane Longo 15 Janet Rich Weissman Attorneys for Plaintiff 16 17 DATED: January 14, 2022 18 19 s/ Jonathan Bletzacker 20 Jonathan Bletzacker 21 Attorneys for Defendants 22 FOR GOOD CAUSE SHOWN, IT IS SO ORDERED. DATED: 01/18/2022 23 24 /S/ 25 Honorable Alka Sagar 26 United States Magistrate Judge 27 28 AMENDED STIPULATED PROTECTIVE ORDER 14 2:21-cv-07339-CAS-AS Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 16 of 25 Page ID #:184

1 EXHIBIT A 2 ACKNOWLEDGMENT AND AGREEMENT TO BE BOUND 3 I, _____________________________ [print or type full name], of 4 _________________ [print or type full address], declare under penalty of perjury that 5 I have read in its entirety and understand the Stipulated Protective Order that was 6 issued by the United States District Court for the Central District of California on 7 [date] in the case of Securities and Exchange Commission v. SHE Beverage 8 Company, Inc., et al., Civil Case No.: 2:21-cv-07339-CAS-AS. I agree to comply 9 with and to be bound by all the terms of this Stipulated Protective Order and I 10 understand and acknowledge that failure to so comply could expose me to sanctions 11 and punishment in the nature of contempt. I solemnly promise that I will not disclose 12 in any manner any information or item that is subject to this Stipulated Protective 13 Order to any person or entity except in strict compliance with the provisions of this 14 Order. I further agree to submit to the jurisdiction of the United States District Court 15 for the Central District of California for the purpose of enforcing the terms of this 16 Stipulated Protective Order, even if such enforcement proceedings occur after 17 termination of this action. I hereby appoint __________________________ [print or 18 type full name] of _______________________________________ [print or type full 19 address and telephone number] as my California agent for service of process in 20 connection with this action or any proceedings related to enforcement of this 21 Stipulated Protective Order. 22 23 Date: ______________________________________ 24 City and State where sworn and signed: ________________________________ 25 26 Printed name: _______________________________ 27 Signature: __________________________________ 28 AMENDED STIPULATED PROTECTIVE ORDER 15 2:21-cv-07339-CAS-AS Case 2:21-cv-07339-CAS-AS EXNHIBIT age 2a ExoAAG Heh SRin Data Delivery Standards Seu i on U.S. Securities and Exchange Commission = wo kin Fg □□ Data Delivery Standards SOUS This document describes the technical requirements for paper and electronic document productions to the U.S. Securities and Exchange Commission (SEC). **Any questions or proposed file formats other than those described below must be discussed with the legal and technical staff of the SEC Division of Enforcement prior to submission.**

Gemeral Instructions... □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□ Delivery □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□ 2 T. Timaged Productions... □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□ Tima ges... cee □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□ O 2. Image Cross-Reference File 0... □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□ 3. Data File... eee □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□ A TeX cece cece ceec ence cece cece □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□ 3 5. Linked Native Files... □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□ Il. Native File Productions without Load Files □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□ 4 TH. Adobe PDF File Productions □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□ cece □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□ A TV. Audio Files oo... □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□ A © VW, Video Files □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□ 4 VI. Electronic Trade and Bank Records □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□ cece □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□ A VII. Electromic Phone Records □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□ A VIL. Audit Workpapets ...... □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□ TX. Mobile Device Data 2.0... □□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□□ D

General Instructions Due to COVID-19 restrictions the current, temporary mailing address for all physical productions sent to the SEC is: ENF-CPU (U.S. Securities & Exchange Commission), 14420 Albemarle Point Place, Suite 102, Chantilly, VA 20151-1750 Electronic files must be produced in their native format, i.e. the format in which they are ordinarily used and maintained during the normal course of business. For example, an MS Excel file must be produced as an MS Excel file rather than an image of a spreadsheet. (Note: An Adobe PDF file is not considered a native file unless the document was initially created as a PDF.) In the event produced files require the use of proprietary software not commonly found in the workplace, the SEC will explore other format options with the producing party. The proposed use of file de-duplication methodologies or computer-assisted review or technology-assisted review (TAR) during the processing of documents must be discussed with and approved by the legal and technical staff of the Division of Enforcement (ENF). If your production will be de-duplicated it is vital that you 1) preserve any unique metadata associated with the duplicate files, for example, custodian name and file location and, 2) make that unique metadata part of your production to the SEC, Rev 8/2021

Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 18 of 25 Page ID #:186 U.S. Securities and Exchange Commission Data Delivery Standards

General requirements for ALL document productions are:

1. A cover letter must be included with each production and should include the following information: a. Case number, case name and requesting SEC staff member name b. A list of each piece of media included in the production with its unique production volume number c. A list of custodians, identifying the Bates range for each custodian d. The time zone in which the emails were standardized during conversion e. Whether the production contains native files produced from Mac operating system environments 2. Data can be produced on CD, DVD, thumb drive, etc., using the media requiring the least number of deliverables and labeled with the following: a. Case number b. Production date c. Producing party d. Bates range (if applicable) 3. All submissions must be organized by custodian unless otherwise instructed. 4. All document family groups, i.e. email attachments, embedded files, etc., should be produced together and children files should follow parent files sequentially in the Bates numbering. 5. All load-ready collections should include only one data load file and one image pointer file. 6. All load-ready text must be produced as separate document-level text files. 7. All load-ready collections should account for custodians in the custodian field. 8. All load-ready collections must provide the extracted contents of any container files to ensure all relevant files are produced as separate records. 9. Audio files should be separated from data files if both are included in the production. 10. Only alphanumeric characters and the underscore character are permitted in file names and folder names. Special characters are not permitted. 11. All electronic productions submitted on media must be produced using industry standard self-extracting encryption software. 12. The SEC uses 7zip to access compressed files. Note that the SEC cannot accept files that use AES-256 Jpeg or pkAES-256- Cert Deflate compression methods, even if the files are created with 7zip. If you have any questions or need additional information, please reach out to the requesting SEC staff member. 13. Electronic productions of 20 GB or less are strongly encouraged to be submitted via Secure File Transfer. All Secure File Transfers should be sent to the SEC Centralized Production Unit (ENF-CPU@sec.gov) with a CC to the requesting SEC staff member. If you do not have your own Secure File Transfer application, you may reach out to the requesting SEC staff member for a link to the SEC system in order to upload your production. If using the SEC Secure File Transfer system, you will NOT be able to CC individuals outside the SEC on your upload transmission. Note that the SEC cannot accept productions made using file sharing sites such as Google Drive, Microsoft Office 365 or Dropbox. 14. Productions containing BSA or SAR material must be delivered on encrypted physical media. The SEC cannot accept electronic transmission of BSA or SAR material. Any BSA or SAR material produced should be segregated and appropriately marked as BSA or SAR material, or should be produced separately from other case related material. 15. Passwords for electronic documents, files, compressed archives and encrypted media must be provided separately either via email or in a cover letter apart from the media. 16. All electronic productions should be produced free of computer viruses. 17. Before producing forensically collected images, parties should reach out to the requesting SEC staff member in order to discuss appropriate handling. 18. Before producing unique data sets (large sets of relational data, website reconstruction, chat room data, etc.), parties should reach out to the requesting SEC staff member in order to discuss an appropriate production format. 19. Additional technical descriptions can be found in the addendum to this document.

*Please note that productions sent to the SEC via United States Postal Service are subject to Mail Irradiation, and as a result electronic productions may be damaged.*

2 Rev 8/2021 Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 19 of 25 Page ID #:187 U.S. Securities and Exchange Commission Data Delivery Standards Delivery Formats

I. Imaged Productions The SEC prefers that all scanned paper and electronic file collections be produced in a structured format including industry standard load files, Bates numbered image files, native files and searchable document-level text files.

1. Images a. Black and white images must be 300 DPI Group IV single-page TIFF files b. Color images must be produced in JPEG format c. File names cannot contain embedded spaces or special characters (including the comma) d. Folder names cannot contain embedded spaces or special characters (including the comma) e. All image files must have a unique file name, i.e. Bates number f. Images must be endorsed with sequential Bates numbers in the lower right corner of each image g. The number of image files per folder should not exceed 2,000 files h. Excel spreadsheets should have a placeholder image named by the Bates number of the file i. AUTOCAD/photograph files should be produced as a single page JPEG file

2. Image Cross-Reference File The image cross-reference file (.LOG or .OPT) links the images to the database records. It should be a comma-delimited file consisting of seven fields per line with a line in the cross-reference file for every image in the database with the following format: ImageID,VolumeLabel,ImageFilePath,DocumentBreak,FolderBreak,BoxBreak,PageCount

3. Data File The data file (.DAT) contains all of the fielded information that will be loaded into the database.

a. The first line of the .DAT file must be a header row identifying the field names b. The .DAT file must use the following Concordance® default delimiters: Comma ASCII character (020) Quote þ ASCII character (254) c. If the .DAT file is produced in Unicode format it must contain the byte order marker d. Date fields should be provided in the format: mm/dd/yyyy e. Date and time fields must be two separate fields f. The time zone must be included in all time fields g. If the production includes imaged emails and attachments, the attachment fields must be included to preserve the parent/child relationship between an email and its attachments h. An OCRPATH field must be included to provide the file path and name of the extracted text file on the produced storage media. The text file must be named after the FIRSTBATES. Do not include the text in the .DAT file. i. For productions with native files, a LINK field must be included to provide the file path and name of the native file on the produced storage media. The native file must be named after the FIRSTBATES. j. BEGATTACH and ENDATTACH fields must be two separate fields k. A complete list of metadata fields is available in Addendum A to this document

4. Text Text must be produced as separate document-level text files, not as fields within the .DAT file. The text files must be named per the FIRSTBATES/Image Key and the full path to the text file (OCRPATH) should be included in the .DAT file. Text files may be in either ANSI or Unicode format, however, ALL text files must be in the same format within the same production. Note that productions containing text with foreign characters must produce text files in Unicode format to preserve the foreign characters. Text files must be in a separate folder, and the number of text files per folder should not exceed 2,000 files. There should be no special characters (including commas) in the folder names. For redacted documents, provide the full text for the redacted version.

5. Linked Native Files Copies of original email and native file documents/attachments must be included for all electronic productions. a. Native file documents must be named per the FIRSTBATES number b. The full path of the native file must be provided in the .DAT file for the LINK field c. The number of native files per folder should not exceed 2,000 files

3 Rev 8/2021 Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 20 of 25 Page ID #:188 U.S. Securities and Exchange Commission Data Delivery Standards II. Native File Production without Load Files With prior approval, native files may be produced without load files. The native files must be produced as they are maintained in the normal course of business and organized by custodian-named file folders. When approved, native email files (.PST or .MBOX) may be produced. A separate folder should be provided for each custodian.

III. Adobe PDF File Production With prior approval, Adobe PDF files may be produced in native file format. 1. All PDFs must be unitized at the document level, i.e., each PDF must represent a discrete document. 2. PDF files should be produced in separate folders named by the custodian. The folders should not contain any special characters (including commas). 3. All PDF files must contain embedded text that includes all discernible words within the document, not selected text or image only. This requires all layers of the PDF to be flattened first. 4. If PDF files are Bates endorsed, the PDF files must be named by the Bates range.

IV. Audio Files Audio files from telephone recording systems must be produced in a format that is playable using Microsoft Windows Media Player™. Additionally, the call information (metadata) related to each audio recording MUST be provided. The metadata file must be produced in a delimited text format. Field names must be included in the first row of the text file. The metadata must include, at a minimum, the following fields:

1) Caller Name: Caller’s name or account/identification number 2) Originating Number: Caller’s phone number 3) Called Party Name: Called party’s name 4) Terminating Number: Called party’s phone number 5) Date: Date of call 6) Time: Time of call 7) Filename: Filename of audio file

V. Video Files Video files must be produced in a format that is playable using Microsoft Windows Media Player™.

VI. Electronic Trade and Bank Records When producing electronic trade records, bank records, or financial statements, provide the files in one of the following formats:

1. MS Excel spreadsheet with header information detailing the field structure. If any special codes exist in the dataset, a separate document must be provided that details all such codes. If details of the field structure do not fit in the header, a separate document must be provided that includes such details.

2. Delimited text file with header information detailing the field structure. The preferred delimiter is a vertical bar “|”. If any special codes exist in the dataset, a separate document must be provided that details all such codes. If details of the field structure do not fit in the header, a separate document must be provided that includes such details.

VII. Electronic Phone Records When producing electronic phone records, provide the files in the following format:

1. MS Excel spreadsheet with header information detailing the field structure. If any special codes exist in the dataset, a separate document must be provided that details all such codes. If details of the field structure do not fit in the header, a separate document must be provided that includes such details. Data must be formatted in its native format (i.e. dates in a date format, numbers in an appropriate numerical format, and numbers with leading zeroes as text). a. The metadata that must be included is outlined in Addendum B of this document. Each field of data must be loaded into a separate column. For example, Date and Start_Time must be produced in separate columns and not combined into a single column containing both pieces of information. Any fields of data that are provided in addition to those listed in Addendum B must also be loaded into separate columns.

4 Rev 8/2021 Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 21 of 25 Page ID #:189 U.S. Securities and Exchange Commission Data Delivery Standards VIII. Audit Workpapers The SEC prefers for workpapers to be produced in two formats: (1) With Bates numbers in accordance with the SEC Data Delivery Standards; and (2) in native format or if proprietary software was used, on a standalone laptop with the appropriate software loaded so that the workpapers may be reviewed as they would have been maintained in the ordinary course of business. The laptop must have printing capability, and when possible, the laptop should be configured to enable a Virtual Machine (VM) environment.

IX. Mobile Device Data Before producing mobile device data (including but not limited to text messages) parties should reach out to the requesting SEC staff member in order to discuss the appropriate production format.

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ADDENDUM A

The metadata of electronic document collections should be extracted and provided in a .DAT file using the field definition and formatting described below:

Field Name Sample Data Description FIRSTBATES EDC0000001 First Bates number of native file document/email LASTBATES EDC0000001 Last Bates number of native file document/email **The LASTBATES field should be populated for single page documents/emails. ATTACHRANGE EDC0000001 - EDC0000015 Bates number of the first page of the parent document to the Bates number of the last page of the last attachment “child” document BEGATTACH EDC0000001 First Bates number of attachment range ENDATTACH EDC0000015 Last Bates number of attachment range PARENT_BATES EDC0000001 First Bates number of parent document/Email **This PARENT_BATES field should be populated in each record representing an attachment “child” document CHILD_BATES EDC0000002; EDC0000014 First Bates number of “child” attachment(s); can be more than one Bates number listed depending on the number of attachments **The CHILD_BATES field should be populated in each record representing a “parent” document CUSTODIAN Smith, John Email: Mailbox where the email resided Native: Name of the individual or department from whose files the document originated FROM John Smith Email: Sender Native: Author(s) of document **semi-colon should be used to separate multiple entries TO Coffman, Janice; LeeW Recipient(s) [mailto:LeeW@MSN.com] **semi-colon should be used to separate multiple entries CC Frank Thompson [mailto: Carbon copy recipient(s) frank_Thompson@cdt.com] **semi-colon should be used to separate multiple entries BCC John Cain Blind carbon copy recipient(s) **semi-colon should be used to separate multiple entries SUBJECT Board Meeting Minutes Email: Subject line of the email Native: Title of document (if available) FILE_NAME BoardMeetingMinutes.docx Native: Name of the original native file, including extension DATE_SENT 10/12/2010 Email: Date the email was sent Native: (empty) TIME_SENT/TIME 07:05 PM GMT Email: Time the email was sent/ Time zone in which _ZONE the emails were standardized during conversion. Native: (empty) **This data must be a separate field and cannot be combined with the DATE_SENT field TIME_ZONE GMT The time zone in which the emails were standardized during conversion. Email: Time zone Native: (empty) 6 Rev 8/2021 Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 23 of 25 Page ID #:191 U.S. Securities and Exchange Commission Data Delivery Standards LINK D:\001\ EDC0000001.msg Hyperlink to the email or native file document **The linked file must be named per the FIRSTBATES number MIME_TYPE application/msword The content type of an email or native file document as identified/extracted from the header FILE_EXTEN MSG The file type extension representing the email or native file document; will vary depending on the format AUTHOR John Smith Email: (empty) Native: Author of the document LAST_AUTHOR Jane Doe Email: (empty) Native: Last Author of the document DATE_CREATED 10/10/2010 Email: (empty) Native: Date the document was created TIME_CREATED/T 10:25 AM GMT Email: (empty) IME_ZONE Native: Time the document was created including time zone **This data must be a separate field and cannot be DATE_MOD 10/12/2010 Email: (empty) Native: Date the document was last modified TIME_MOD/TIME_ 07:00 PM GMT Email: (empty) ZONE Native: Time the document was last modified including the time zone **This data must be a separate field and cannot be DATE_ACCESSD 10/12/2010 Email: (empty) Native: Date the document was last accessed TIME_ACCESSD/T 07:00 PM GMT Email: (empty) IME_ZONE Native: Time the document was last accessed including the time zone **This data must be a separate field and cannot be PRINTED_DATE 10/12/2010 Email: (empty) Native: Date the document was last printed FILE_SIZE 5,952 Size of native file document/email in KB PGCOUNT 1 Number of pages in native file document/email PATH J:\Shared\SmithJ\October Email: (empty) Agenda.doc Native: Path where native file document was stored including original file name. INTFILEPATH Personal Folders\Deleted Email: original location of email including original Items\Board Meeting file name. Minutes.msg Native: (empty) INTMSGID <000805c2c71b$75977050$cb Email: Unique Message ID 8306d1@MSN> Native: (empty) 7 Rev 8/2021 Case 2:21-cv-07339-CAS-AS Document 34 Filed 01/18/22 Page 24 of 25 Page ID #:192 U.S. Securities and Exchange Commission Data Delivery Standards HEADER Return-Path: Email: The email header information Native: (empty) X-SpamCatcher-Score:1[X] Received:from[136.167.40.119] (HELO dc.edu) by fe3.dc.edu (CommuniGate Pro SMTP4.1.8) with ESMTP-TLS id 61258719 for example_to@mail.dc.edu; Mon, 23 Aug 2004 11:40:10 - 0400 Message-ID: <4129F3CA.2020509@dc.edu> Date: Mon, 23 Aug 2005 11:40:36 -400 From: Taylor Evans User-Agent:Mozilla/5.0 (Windows;U; Windows NT 5.1; en-US;rv:1.0.1) Gecko/20020823 Netscape/7.0 X-Accept-Language:en-us,en MIME-Version:1.0 To: Jon Smith Subject:Business Development Meeting Content-Type: text/plain;charset=us-ascii; format=flowed Content-Transfer-Encoding:7bit MD5HASH d131dd02c5e6eec4693d9a069 MD5 Hash value of the document. 8aff95c 2fcab58712467eab4004583eb 8fb7f89 OCRPATH TEXT/001/EDC0000001.txt Path to extracted text of the native file

Sample Image Cross-Reference File: IMG0000001,,E:\001\IMG0000001.TIF,Y,,, IMG0000002,,E:\001\IMG0000002.TIF,,,, IMG0000003,,E:\001\IMG0000003.TIF,,,, IMG0000004,,E:\001\IMG0000004.TIF,Y,,, IMG0000005,,E:\001\IMG0000005.TIF,Y,,, IMG0000006,,E:\001\IMG0000006.TIF,,,,

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ADDENDUM B

For Electronic Phone Records, include the following fields in separate columns: For Calls: 1) Account Number 2) Connection Date – Date the call was received or made 3) Connection Time – Time call was received or made 4) Seizure Time – Time it took for the call to be placed in seconds 5) Originating Number – Phone that placed the call 6) Terminating Number – Phone that received the call 7) Elapsed Time – The length of time the call lasted, preferably in seconds 8) End Time – The time the call ended 9) Number Dialed – Actual number dialed 10) IMEI Originating – Unique id to phone used to make call 11) IMEI Terminating– Unique id to phone used to receive call 12) IMSI Originating – Unique id to phone used to make call 13) IMSI Terminating- Unique id to phone used to receive call 14) Call Codes – Identify call direction or other routing information 15) Time Zone – Time Zone in which the call was received or placed, if applicable

For Text messages: 1) Account Number 2) Connection Date – Date the text was received or made 3) Connection Time – Time text was received or made 4) Originating Number – Who placed the text 5) Terminating Number – Who received the text 6) IMEI Originating – Unique id to phone used to make text 7) IMEI Terminating– Unique id to phone used to receive text 8) IMSI Originating - Unique id to phone used to make text 9) IMSI Terminating- Unique id to phone used to receive text 10) Text Code – Identify text direction, or other text routing information 11) Text Type Code – Type of text message (sent SMS, MMS, or other) 12) Time Zone – Time Zone in which the call was received or placed, if applicable

For Mobile Data Usage: 1) Account Number 2) Connection Date – Date the data was received or made 3) Connection Time – Time data was received or made 4) Originating number – Number that used data 5) IMEI Originating – Unique id of phone that used data 6) IMSI Originating - Unique id of phone that used data 7) Data or Data codes – Identify data direction, or other data routing information 8) Time Zone – Time Zone in which the call was received or placed, if applicable

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