CASB ). V 13 0366 6 San Mateo County Superior Court Case No. C1V 522744 ) ) ) ) ) ) ) Case4:13 - cv- 03666 - KAW Document1 Filed08/08/13 Page1 of 45 4 E-FILING A U ri P//e cy 3 jarnes.lindfe1tpi1Isbury1aW.COm 2013 2550 Hanover Street w Palo Alto, CA 94304-1115 N 5 Telephone: (650) 233-4500 NJOs 0 4L, 6 Facsimile: (650) 233-4545 'V/A Attorneys for Defendant CAFEPRESS INC. 8 9 UNITED STATES DISTRICT COURT 10 NORTHERN DISTRICT OF CALIFORNIA 11 SAN FRANCISCO DIVISION 12 WALLACE JOSEPH DESMARAIS JR., Individually and on Behalf of All Others 13 Similarly Situated, 14 Plaintiff, VS. 1 PILLSBURY WINTHROP SHAW PITTMAN LLP DAVID M. FURBUSH (SBN 83447) 2 [email protected]JAMES M. LINDFELT (SBN 275352) 16 MONICA N. JOHNSON, FRED E. DURHAM III, BRAD W. BUSS, PATRICK; 17 J. CONNOLLY, MICHAEL DEARING, DOUGLAS M. LEONE, BOB MARINO, 18 J.P. MORGAN SECURITIES LLC, JEFFERIES & COMPANY, INC., COWEN 19 AND COMPANY, LLC, JANNEY MONTGOMERY SCOTT LLC, 20 RAYMOND JAMES & ASSOCIATES, INC. and CAFEPRESS INC., NOTICE OF REMOVAL OF STATE COURT ACTION 21 22 23 24 25 26 27 28 Defendants. 704479110v2 - 1 - NOTICE OF REMOVAL OF STATE COURT ACTION BY FAX
Transcript
CASB ).V 13 0366 6 San Mateo County Superior Court Case No. C1V 522744
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Case4:13-cv-03666-KAW Document1 Filed08/08/13 Page1 of 45 4
E-FILING A U ri
P//e cy 3 jarnes.lindfe1tpi1Isbury1aW.COm 2013
2550 Hanover Street w Palo Alto, CA 94304-1115
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5 Telephone: (650) 233-4500 NJOs 04L,
6 Facsimile: (650) 233-4545 'V/A
Attorneys for Defendant CAFEPRESS INC.
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9 UNITED STATES DISTRICT COURT
10 NORTHERN DISTRICT OF CALIFORNIA
11 SAN FRANCISCO DIVISION
12 WALLACE JOSEPH DESMARAIS JR., Individually and on Behalf of All Others
13 Similarly Situated,
14 Plaintiff,
VS.
1 PILLSBURY WINTHROP SHAW PITTMAN LLP DAVID M. FURBUSH (SBN 83447)
11 7. The Moving Defendants will promptly serve a copy of this Notice on
12 counsel for plaintiff and will file a copy of this Notice with the Clerk of the Superior Court
13 of the State of California for the County of San Mateo, pursuant to 28 U.S.C. section
14 1446(d).
15 8. Undersigned counsel certifies that all of the defendants that have been
16 served in this action consent to removal.
17 INTRADISTRICT ASSIGNMENT
18 9. As a putative securities class action, pursuant to Civil Local Rule 3-2(c), this
19 case should be assigned on a district-wide basis.
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704479110v2 - 3 - NOTICE OF REMOVAL OF STATE COURT ACTION
• Case4:13-cv-03666-KAW Document1 Filed08/08/13 Page4 of 45
I '
1 CONCLUSION
2 10, WHEREFORE, pursuant to 28 U.S.C. sections 1331, 1441 and 1446, the
3 Moving Defendants remove this action in its entirety from the Superior Court of the State
4 of California, County of San Mateo, to the United States District Court for the Northern
5 District of California.
7 Dated: 7 2013 PILLSBURY WRITMOP SHAW PMAN LLP
By 6JN'V 9. David M. Fufoush
10 Attorneys for Defendant CafePress inc.
Dated: 2013 DECHERT LLP
13 By
14 J.. organ
Attome De onants J.. Joshua
15 Jefferies LLC., Cowen and Company, LLC, Janney Montgomery Scott LLC and Raymond James &
16 Associates, Inc.
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704479110v2 -4- NOTICE OF REMOVAL OF STATE COURT ACTION
Case4:13-cv-03666-KAW Document1 Filed08/08/13 Page5 of 45
FILED LIONEL Z. GLANCY.(1134 180) SAN MATEO COUNTY MICHAEL GOLDBERG (#188669) ROBERT V. PRONGAY (0270796) 213 CASEY B. SADLER (#274241) GLANCY UINEOW & GOLDBERG LLF . mom 1925 Contry Park East, Suite 2100 Los Angeles, CulItbrnia 90067 Teephone 310)201-910 Facsimile: (310) 201-916.0 Email: Info1miov1awoom
4ttorneyfor Plaint o' [Additional counsel on signature page]
SUPERIOR COURT OF THE STATE OF CALIFORNIA FOR THE COUNTY OF SAN MATEO
WALLACE JOSEPH DESMARAIS JR., Case No, Qy 5 Z 27 44 hdividua1ly and On Behalf of All Others Similarly Situated,
CLAfig ACTION PlainUff,
V .
COMPLAINT'
MONICA N. JOHNSON, FRED B DURHAM UI, BRA]) W. BUSS, EMA FOR JURY TIIiL PATRICK J. CONNOLLY, MICHAEL DEARINGI DOUGLAS M.. LEONE, BOB MARINO., .1.?. MOROAN SECURITIES LLC, JEFFBRIES & COMPANY, INC., COWEN AND COMPANY, LLC, JANNEY MONTOOMER.Y SCOTT LLC P RAYMOND JAMES & ASSOCIATES, INC. aM CAPEPRESS INC.,
COMPLAINT
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Plaintiff Wallace Joseph Desmarais Jr. ("Plaintiff'), by and through his aftome
alleges the following upon information and belief, except as to those allegations coxicerni:
Plaintiff, which are' alleged upon personal knowledge. Plaintiff's information and belief
based upon, among other things, his counsel's investigation, which includes without limitati(
(a) review and analysis of regulatory filings made by CafePress, Inc. ("CafePress" or I
"Company") with the United States Securities and Exchange Commission ("SEC"); (b) revi
and analysis of press releases and media reports issued by and disseminated by CafePress; s
(c) review of other publicly available information concerning Ca±'ePress.
NATURE AND SUMMARY OF THE ACTION
1. This is a class action on behalf of persons and/or entitles who purchased
1 otherwise acquired the common stock of CafePress pursuant and/or traceable to the Company'
initial public offering (the "IPO" or the "Offering").
2. CafePress operates an e-commerce platform enabling customers to create, buy,
and sell various customized and personalized products worldwide.
3. The claims in this action arise from the materially false and/or misleading
Registration Statement and Prospectus issued in connection with the Offering. In the IPO, th
Company offered for sale4,500,00'Qtshares of common stock, at a price --of $100 per share, oJ
which CafePress offered 2,500,000 shares and selling stockholders offered 2,000,000 shares
According to CafePress, the Company received cash proceeds of $44.2 million from the sah
2,500,000 shares of common stock in the IPO, net of underwriting discounts and commissions
and the Company incurred offering costs of approximately $4.6 million related to the IPO. Ai
additional 2,000,000 shares of common stock were sold by existing stockholders from whom tb
Company did not receive any proceeds or incur any costs.
COMPLAINT -1-
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4. As detailed below, the Registration Statement and Prospectus
naterially false and misleading statements and omitted material information in violation
sections 11 and 15 of the Securities Act of 1933 (the "Securities Act"), 15 U.S.C. §§ 77k
77°.
JURISDICTION AND VENUE
5. The claims asserted herein arise under and pursuant to Sections 11 and 15 of
Securities Act (15 U.S.C. §§ 77k and 77o). This Court has jurisdiction aver the subject matter o
this action pursuant to Section 22 of the Securities Act, 15 U.S.C. § 77v, which explicitly state
that "[e]xcept as provided in section 16(e), no case arising under this title and brought In an
State court of competent jurisdiction shall be removed to any court in the United States.
Section 16(c) of the Securities Act refers to "covered class actions," which are defined a
lawsuits brought as class actions or brought on behalf of more than 50 persons asserting claim
under state or common law. This is an action asserting federal law claims. Thus, it does not fa
within the definition of a "covered class action" under §16c) and therefore is not removable I
federal court under the Securities Litigation Uniform Standards Act of 1998.
6. Each Defendant has sufficient contacts with California, or otherwise purl
avails itself of bóneflts from California or has property in California so as to render the
I of jurisdiction over each by the. California courts consistent with traditional notions of fair
I and substantial justice.
7. The amount in controversy exceeds the jurisdictional minimum of this Court,
I the total amount of damages sought exceeds $25,000.
8. Venue is proper in this Court pursuant to Section 22 of the Securities Act, I
I U.S .C. § 77v. Defendant CafePress's principal executive offices were located within this
COMPLAINT -2-
Case4:13-cv-03666-KAW Document1 Filed08/08/13 Page8 of 45
1 at the time of the IPO, the individual defendants conduct business in this County, and many
2 the acts and transactions alleged herein, including the preparation and dissemination
3 materially false and/or misleading information, occurred in substantial part in this County.
4 PARTIES 5
9. Plaintiff Wallace Joseph Desmarais Jr. purchased CafePress securities purs 6
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7 and/or traceable to the Registration Statement issued in connection with the Company's rPO
8 has been damaged thereby,
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10. Defendant CafePress is a Delaware corporation with its principal exeot
10 offices located at 6901 Riverport Drive, Louisville, KY 40258. At the time of the 110, 11 12 Company's principle executive offices were located at 1850 Gateway Drive, Suite 300,
13 Mateo, California 94404.
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11. Defendant Bob Marino ("Marino") was, at all relevant times, Chief Executivi
15 Officer ("CEO") and a director of CafePress and signed or authorized the signing of th
16 Company's Registration Statement filed with the SEC. 17
18 12. Defendant Monica N. Johnson ("Johnson") was, at all relevant times C1 -iie
19 Financial Officer ("CFO") of CafePress and signed or authorized the signing of the Company'
20 Registration Statement filed with the SEC.
21 13. Defendant Fred B. Durham III ("Durham") was, at all relevant times,
22 and a director of CafoPress and signed or authorized the signing of the Company's 23
24 I Statement filed with the SEC.
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14. Defendant Brad W. Buss ("Buss") was, at all relevant times, a director
26 CafePress and signed or authorized the signing of the Company's Registration Statement f
27 liwith the SEC. 28
COMPLAINT -3..
Case4:13-cv-03666-KAW Document1 Filed08/08/13 Page9 of 45
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1 1. Defendant Patrick J. Connolly ("Connolly") was, at all relevant times, a direci
2 of CafePress and signed or authorized the signing of the Company's Registration Statement ±1]
3 with the SEC.
4 16, Defendant Michael Dearing ("Dearing") was, at all relevant times, a director. 5 6 CafePress and signed or authorized the signing of the Company's Registration Stateinentfi]
7 with the SEC.
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17. Defendant Douglas M. Leone ("Leone") was, at all relevant times, a director
9 CafePress and signed or authorized the signing of the Company's Registration Statement fi
13 collectively referred to hereinafter as the "Individual Defendants."
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19. Defendant J.P. Morgan Securities LLC ("J.P. Morgan") served as an
15 Ito CafePress in connection with the Offering.
16 20. Defendant Jefferies & Company, Inc. ("Jefferies") served as an underwriter
17 18 CafePress in connection with the Offering.
19 21. Defendant Cowen and Company, LLC. ("Cowen") served as an underwriter
20 II CafaPress in connection with the Offering.
21 22. Defendant Janney Montgomery Scott LLC ("Janney") served as an 'underwn 22
to Ca±'ePress in connection with the Offering. 23
24 23, Defendant Raymond James & Associates, Inc. ("Raymond James") served as
25 underwriter to CafePress in connection with the Offering.
26 24, Defendants J.P. Morgan, Jefferies, Cowen, Janney and Raymond James,
2'7 collectively referred to hereinafter as the "Underwriter Defendants." 28
COMPLAINT -4-
Case4:13-cv-03666-KAW Document1 Filed08/08/13 Page10 of 45
S.
1 CLASS ACTION ALLEGATIONS
2. 25. Plaintiff brings this action as a class action pursuant to California Code of
3 Prodedure Section 382 on behalf of a Class, consisting of all persons and/or entities
4 purchased or otherwise acquired the common stock of CafePross pursuant and/or traceable to 5 6 Company's false and/or misleading Registration Statement and Prospectus issued in connec
7 with the Company's IPO, and who were damaged thereby (the "Class"). Excluded from
B Class are Defendants, the officers and directors of the Company, at all relevant times, meiri
9 of their immediate families and their legal representatives, heirs, successors or assigns and
10 I entity in which Defendants have or had a controlling interest,
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12 26. The members of the Class are so numerous that joinder of all members
13 impracticable. During the r1evan.t period, CafePress's securities were actively traded on the
14 NASDAQ Stock Exchange (the "NASDAQ"). While the exact number of Class members i
15 unknown to Plaintiff at this time and can only be ascertained through appropriate discovery
16 Plaintiff believes that there are hundreds or thousands of members in the proposed Class. Th 17 18 Company offered 4.5 million shares of common stock in the IPO. Moreover, record owners an(
19 other members of the Claai may be ideni±fied from records maintained by Cáfereas or it
20 transfer agent and may be notified of the pendenby of this action- by mail, using the 'firm o
21 notice similar to that customarily used in securities class actions. 22
23 27. Plaintiffs claims are typical of the claims of the members of the Class as
24 members of the Class are similarly affected by Defendants' wrongful conduct in violation
25 federal law that is complained of herein.
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28. . Plaintiff will fairly and adequately protect the Interests of the members of
27 I Class and have retained counsel competent and experienced in class and securities litigation.
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COMPLAINT -5-
Case4:13-cv-03666-KAW Document1 Filed08/08/13 Page11 of 45
1 29, Common questions of law and fact exist as to all members of the Class
2 predominate over any questions solely affecting individual members of the Class. Among
3 questions of law and fact common to the Class are:
4 (a) whether the Securities Act was violated by Defendants' acts as alle 5 6 herein;
7 (b) whether statements made by Defendants to the investing public it
8 connection with the Company's IPO omitted and/or misrepresented material facts about the
9 business, operations, and prospects of CafePress; and
10 (c) to what extent the members of the Class have sustained damages and th
11 12 proper measure of damages.
13 30. A class action is superior to all other available methods for the fair and eff&cien
14 adjudication of this controversy since joinder of all members is Impracticable. Furthermore, a
15 the damages suffered by individual Class members may be relatively small, the expense anc
16 burden of individual litigation make it impossible for members of the Class to individuall: 17 18 redress the wrongs done to them. There will be no difficulty in the management of this action a
19 a class action,
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BACKGROUND
21 31. CafePress operates an e-commerce platform enabling customers to create, buy 22
and sell various customized and personalized products worldwide. 23
24 32. On or about June 10, 2011, CafePress filed a registration statement with the SEC
25 on Form S-i. Thereafter, the Company repeatedly amended the Form S-i, including on or abou
26 March 28, 2012, when CafePress filed with the SEC the final Form S-1/A (collectively, th
27 "Registration Statement") for the IPO. 28
COMPLAINT -6-
Case4:13-cv-03666-KAW Document1 Filed08/08/13 Page12 of 45
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I 33. On or around March 2, 2012, the Company filed with the SEC its
2 Prospectus (the "Prospectus"), which forms part of the "Registration Statement" that wi
3 declared effective on March 28, 2012,
4 34. In the IPO, the Company offered for sale 4,500,000 shares of common stock at 5 6 price of $19.00 per share, of which CafePress offered 2,500,000 shares and selling stockholde
7 offered 2,000,000 shares. According to the Company, the Company received cash proceeds
8 $44.2 million from the sale 2,500,000 shares of common stock in the IPO, net of underwrith
9 discounts and commissions, and the Company incurred offering costs of approximately $4
10 million related to the IPO. An additional 2,000,000 shares of common stock were sold I 11 12 existing stockholders from whom the Company did not receive any proceeds or incur any costs.
15 35. Under applicable SEC rules and regulations, the Registration Statement
16 required to disclose known trends, events or uncertainties that were having, and were
17 likely to have, an impact on the Company's continuing operations,
18 36. However, the Registration Statement failed t6 disclose that the Company 19 20 being negatively impacted by known trends affecting its small shop óustomers. S,ecifioally,
21 Company failed to disclose that its core business derived from small shop customers, wi
22 business is largely dependent on Internet search traffic derived from search algorithms
23 customers, was increasingly eroding because the small shop customers were being nogatF
24 impacted by the complexity and competitiveness of the marketplace. Therefore, the Registra 25 26 Statement was negligently prepared and, as a result, contained untrue statements of material I
27 or omitted to state other facts necessary to make the statements made not misleading, and
2.8 not prepared in accordance with the rules and regulations governing their preparation.
COMPLAINT -7-
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37. On July 30, 2012, the Company issued a press release entitled,
I Reports Second Quarter 2012 Financial Results." Therein, the Company, in relevant part, stated:j
CafePress Inc. (Nasdaq:PRSS), The World's Customization Engine TM today reported financial results for the three months ended June30, 2012.
"Iii the second quarter CafePress posted 26% revenue growth and 36% adjusted EBITDA growth over last year, led by the addition of new content, products, partnerships and strong marketplace performance. Revenue from political gear and international channels was slightly weaker than expected during the period," said Chief Executive Officer Bob Marino. "We are encouraged by strong e-commerce trends towards customization coupled with recent initiatives, including expansion of our licensed content relationships, growth in large shops such as those for ABC and National Geographic, new mobile and social functionality and solid performance from our most recent acquisition, Logosportswear,com."
Second Quarter 2012 Financial Highlights
• Net revenues totaled $47.1 million, a 26% year over year increase. • Adjusted EBITDA was $4.0 million, compared to $3.0 million in the
second quarter of 2011, a 36% year over year increase. • Gross profit margin was 41.5% of net revenues, compared to 42.2% in the
second quarter of2011. • Non-GAAP net income (excluding stock based compensation,
amortization of intangible assets, and acquisition costs) was $1.7 million, compared to $0.9 million in the second quarter of 2011, an 84% year over year increase.
• Non-GAAP net income per diluted share was $0.10, compared to $0.06 in the second quarter of 2011, a 55% year over year increase.
• GAAP net loss was $(0.3) million (including stock based oompoiisaiion, amortization of Intangible assets, and acquisition costs), compared to $(0.1) million in the second quarter of 2011.
• GAAP net loss per basic and diluted share was ($0.02), compared to ($0.01) in the second quarter of 2011.
• At June 30, 2012, cash, cash equivalents, and short term investments totaled $61.2 million.
Second Quarter 2012 Operating Metrics
• Transacting customers totaled 737,000, a 17% year over year increase. • Orders totaled 888,000, a 20% year over year increase. • Average order size was $52, a 4% year over year increase.
COMPLAINT -8-
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Recent Operating Highlights
Successful acquisition of Logosportswear.com Launched strategic partnership with YoiiTube bringing CafePress merchandise to YouTube users Launched over 30 new licensed properties including the official shop for blockbuster film Ted and ABC's . The Chew official online shop Added 40 new products across new categories such as home and auto
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Added Design and List program making it simpler for users to add new designs
S Created CafePress Entertainment, aggregating entertainment based
merchandise
Business Outlook
"We, are taking a cautious approach to our outlook for the second half of 2012 given the current political cycles and macroo weakness in Europe. We expect to end the year with a strong holiday season resulting in solid growth and profitability for the year s " said Monica Johnson Chief Financial Officer.
Third Quarter 2012:
• Net revenues of $42.5 million to $45.0 million, • Adjusted EBITDA of $2.9 million to $3.5 million. • Non-GAAP net income per diluted share of $0.05 to $0.07. • GAAP net loss of $(1 .0) million to $(0.5) million. • GAAP net loss per diluted share of $(0.06) to $(0.03). • Weighted average basic shares of approximately 17.1 million.
'ufl Year 2012:
• Net revenues of $208 million to $217 million, a year oE ya± ic.reae.of 19% to 24%.
• Adjusted EBITDA of $23.0 million to $25.0 Million, • Non-GAAP net Income per diluted share of $0.68 to $0.77. • GAAP net income of $4.0 million to $5.4 million. • GAA? net income per diluted share of $0.23 to $0.32. • Weighted average diluted shares of approximately 16.9 million
38. That same day, the Company held a public conference call with
analysts and other market participants, regarding Its 2012 fiscal second quarter results.
I Defendant Marino admitted that there has been a trend of increased complexity
competitiveness in the marketplace negatively impacting its small shop customers and
COMPLAINT
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because of this trend, which the Company was aware of, it had been building up its larger
business to "steadily replac[e] the erosion of smaller, shop revenue." As Defendant Marino,
relevant part, explained:
Ill now turn to guidance. As we said before CafePr.ess balances revenue and profit growth. We will be opportunistic and capture outsized growth when it is available and accelerate margin improvement at other times. We've been successful in this regard with members growing to over 17 million during the first half of the year while orders grew 20% in Q2 and the aforementioned niargin growth was realized, That said, the benefit - with the benefit of additional perspective since our last call, we're taking a more cautious view of the second half of the year..
There are three reasons for this change. First, the sluggishness of political sales will have the greatest impact given their concentration that was planned for this revenue in the third and fourth quarters. The second is international, where we have to assume no improvement in consumer spending. The latest piece - the last piece is a dynamic where we are projecting weaker results from a segment of smaller shops compared to significantly better results front larger shops and corporate e-commerce partners.
If we rewind to 2009, we saw this change coming and that's why in that year we broadened the marketplace model to include large shops and other e-commerce companies. As a reminder, small shops are dependent on search for traffic. Given how complex and competitive 'search has become, It is not surprising that many small shops have struggled In the past three years. By contrast, w&re seeing strong growth from the marketplace where we drive traffic and larger shops where they drive their own traffic. A few example of these successful larger corporate shops would include National Geographic Art, The Hunger Games and Gerber,
So while we predicted this change a few years ago, ongoing algorithmic changes by search leaders combined with the weakness of the broader economy has disproportionately Impacted revenue growth of a segment of small shops at a greater rate than we had previously planned, We have factored this decline into our outlook for the second half of the year.
[Emphasis added.]
39. On this news, shares of the Company's stock declined $5.61 per share, or 40,
to close on July 31, 2012, at $809 per share, on unusually heavy trading volume,
COMPLAINT -10-
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FIRST CLAIM I Violation of Section 11 of The Securities Act 2 (Against All Defendants)
3 • 40. Plaintiff repeats and realleges each and every allegation contained above, exo'
4 any allegation of fraud, recklessness or intentional misconduct, 5
6 41. This Count is brought pursuant to Section 11 of the Securities Act, 15 U.S
7 §77k on behalf of the Class ) against all Defendants.
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42, The Registration Statement for the JPO was inaccurate and misleading, oon.taii
9 untrue statements of material facts ) omitted to state other facts necessary to make the state:
10 made not misleading, and omitted to state material facts required to be stated therein. 11
12 43. CafePress is the registrant for the IPO, The Defendants named herein
13 responsible for the contents and dissemination of the Registration Statement,
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44. As issuer of the shares, CafePress is strictly liable to Plaintiff and the Class for
15 I misstatements and omissions. 16
45. None of the Defendants named herein made a reasonable investigation 17 18 possessed reasonable grounds for the belief that the statements contained in the Regi
19 Statement were true and without omissions of any material facts and were not misleading.
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46. By.: reasOns .•df the conduct herein alleged ) each Defendant violated;
21 controlled a person who violated Section 11 of the Securities Act. 22
47. Plaintiff acquired CafePress shares pursuant and/or traceable to the 23 24 Statement for the tPO.
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48. Plaintiff and the Class have sustained damages. The value of CafePress
26 stock has declined substantially subsequent to and due to Defendants' violations.
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COMPLAINT - 11 -
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52. Individual Defendants' positions made them privy to and provided them w
actual knowledge of the material facts concealed from Plaintiff and the Class.
53. By virtue of the conduct alleged herein, the Individual Defendants are liable:
the aforesaid wrongfUl conduct and are liable to Plaintiff and the Class for damages suffered.
WHEREFORE, Plaintiff prays for relief and judgment, as follows:
(a) Determining that this action is a proper class action under California Code
Civil Procedure Section 382;
(b) Awarding compensatory damages in favor of Plaintiff and the other Claa
members against all Defendants, jointly and severally, for all damages sustained as a result o
Defendants' wrongdoing, in an amount to be proven at trial, including interest thereon;
(o) Awarding Plaintiff and the Class their reasonable costs and expenses incurred ii
this action, including counsel fees and expert fees;
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SECOND CLAIM Violation of Section 15 of The Securities Act
(Against the Individual Defendants)
491 Plaintiff repeats and realleges each and every allegation contained above,
any allegation of fraud, recklessness or intentional misconduct.
50. This count is asserted against the Individual Defendants and is based upon Sc
115 of the Securities Act;
51, Individual Defendants, by virtue of their offices, directorship and specific a
were, at the time of the wrongs alleged herein and as set forth herein, controlling persons
CafePress within the meaning of Section 15 of the Securities Act. The Individual Defends
had the power and influence and exercised the same to cause CafePress to engage in the
described herein.
-12 COMPLAINT
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(d) Awarding rescission or a rescissory measure of damages; and
(e) Such other and further relief as the Court may deem just and proper.
JURY TRIAL DEMANDED
Plaintiff hereby demands a trial by jury.
Dated: July 10, 2013 GLANCY BINKOW & GOLDBERG LLP
By: Lionel Z. Olanoy Michael Goldberg Robert V. Prongay Casey B. Sadler 1925 Century Park East, Suite 2100 Los Angeles, California 90067 Telephone: (310) 201-9150 Facsimile: (310) 201-9160
LAW OFFICES OF HOWARD G. SMITH Howard G. Smith 3070 Bristol Pike, Suite 112 Bensalem, PA 19020 Telephone: (215) 638-4847 Facsimile: (215) 638-4867
Attorneys for Plaintiff Wallace Joseph Desmarais Jr.
COMPLAINT -13-
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Case4:13-cv-03666-KAW Document1 Filed08/08/13 Page19 of 45
SUMMONS (ITAGION J&ID!QSAL
NOTICE TO DEFENDANT. AV1SO AL. EMANADOI; MONICA N. JOHNSON (See AtUwhiitent for Additional Defendants]
YOU ARE 991 NQ 81,1 1 110 BY PLAINTIFF , (LO ESTA DEMANDItNDO EL DEMANDANTE),
WALLACE JOSEPH DESMARAtS ift. I±ndividuafly and On Behalf of All Others Similarly Situated,
court may deulde agatnot YOU
(
FRCOUTUOONIY fiO&
° EARN ED ijAi\i MATEO COUNTY
J11, 10 2013 k the or Cowi
beloW, You have 80 CALENDAR DAYS after this summons and legal popera we served on you to boa wrItten reaponaeatthlatiou,twrd hove soapy
eervsO on the plaintiff. A taItM or phana coil will not pmteof you. 'lour.wtltten response must be In properlegal term If you weal the court to henryQur case. There may bS 0 court form that you-on use for your response. You nan find (bane court tons end mare lnfonwaflbn at the California Omirta Qiiflne aelf-Hel Center ( .cou ago v/naiThoIp), your county: lawlitWaty, .or ma ooudhoueaneareatyoU. If you cannot pay thafitnafee. ask The court clerk fore fee welver form.. It you do not file your response on lIme, you may lose the cone by default, and yourwagea, money, and property may be token without fwth.rwaxntng fromlhuoeurt.
Ther. are other legal requirements, You may want in call an tilto(nny right away. If you do not Iqww an ettnmey, you tnoy Want 10 cell en attorney referral samba. If you cannot afford an Ottornay, you may be ailgilAe for tree legal earvIcee from a nonprotuIogal verylge; program, You can locale these nonprofit graupa at the 0alltornl Legal Services Web SILB f wi wJawhelpoeilon'Je..o.'p). the California Courts OnitneSelt.Matp Oenter (tmW,coeflbIo.oe,goWo&Thalp), urby cbntooflng your local uourtarcorin(ybnras000tofOn. NC)Th The court has a tyllnl*tWalVOCSleGn 0110 coats on any settlement or arbitration award of $10,000 or more Ina cM cane. Thacourt'S lion muot be pakibafofe the court will dta,nlea the cane. 1AWSOILohandomandada Sloro mapondo-dentm do 30 dIes, is ceifepue* dbokilt cna contra efo eoouchar.0 version. Lea to lnftxrnal6rla conlhw'anlon,
Tlenrr $0 DL4$ 09 QALCNPARIO dsepu&a 00 qua to entroguon onto oltocIdny pope/na !ayaloa pare presenter one roop4reais poreac*tto on OslO carte It hover qua to eflirapuo tine apple at demandante Una awa 0 (1fl5 ilemeda lelenIoe no Jo profegen se )Iepuaeta pot 0*0110 tIdy. quo Qatar on tos'malo Ieg*Ioo.'relto a1 dosel quo pooson alt can eu /a corte. EapolbIe quo I,tiye ill fomuder/o quo voted pueda uder pate oil i)u09ta. Puod, ancOn fret oslo; WMWarkfi, de Is canto y wee lnfoimeclôn on etOon ire do Ayurla t/e lea Qodeede Calkonnkr (vw,euoorto.oa.uoVi, en is ournoreoa do /eyoc do it' nondedoo on Is ooito quo to quo* firM came, at no punt)o pager Is ouota do preaentooI6npldR aIaedt*teriO.dO Is condo quo to dO an formulatlo tie exenofon do papa do aMpt, at no ptoaorlla 0(1 rupuaa?n aUefnpo, puade p.rtlor at oaso par InournpJlrnIonlO yin cotta to padre guitar au aualdo, cl/pam y Motive *it, niCe a dvarlonare.
Hay cIrce requlslloa legaIos Es rocomendable qua Name a un at'oqoclo Inmodialomont.. SlnQoOnosa a on obogsqht, puodo Immure on awvlolo do rernlatdul 4 .L'ogadoo 9lnn puaxiopsgera un obogado, ol poslbte quo iiumpia con los requisites pare obfonersoMoloilepeleo graiuNon ct& iii progjatna do sony/elan leg&es aM fines do luaro, Puedo enoonttersetbo prupoi ala (fries do lucre sue! aitlowob do CaThttmlaioge! $onaos. (ew.lawhuIpeellfomln.org), anal Deniode Ayuda do Ins Co/fee do OeJlfomio, m.aucotle,ca.goyJiponl4niloso en uunisplo con In øostO 00! coIet'M da nbegadoOJOesI.4h, A VWID: Pot lay, In oct10 110110 dorecho a rer4anierlas 000las,y toe cellos exan foe pOtJnlpoll*f on revanteneobre ouaiqu(orreo&peraolOn do $10,000 6 inCa do V&otrcltJrti rnorllanla tin awwni.o 0 Ufl5 oonooalda de amifroja en an eeoc 00 doreobo eMS. Tlene quo pager 41r grovamen dole colfe entefl do.qua (a earle pueda desoohdr a! case. -
The name and address of the Court IC: . ,. p1W,ie oGly (i nambre y dlreoolOn data carte as): an Mateo Superior Coiirl -
.. is 27 4.4
Southern Branch - Hall of Justle - 400 County Canter - Redwood City, California 94063
The name, addroso, and telephone number of pbelntlffe attorney, or plaIntIff WIthOut an attorney, lit 1 nonibco, Is dfreooldn y elndnioro do feMlbno delabopnc/o del dome/ideate, o del dentendnnt9 qua no hone ebogado, o*
Robert V. ?rongny, 1925 Century Park Best, Suite 2100, Los Angeles, CA 90067, Telephone (310)201-9150
JOHN 0, rrrow - - - - .
NOTICE TO THE PERSON SERVED You are served 1. E= as en4ndlvlduØl defendant, 2, no the person nuod under (he fictitious name of (spudN:
Case4:13-cv-03666-KAW Document1 Filed08/08/13 Page20 of 45
im I
SHORT TITLE: aAoeNulrI, I )'
• Deanmrais, Jr. v. Johnson, at al. *1
INSTRUCTIONS FOR US 4 TIIIe farm may bO Used 55 an attachment to any summons If space doeS not psoilil the Using of all parties on the summons.
4 If this alleahmont to used, Invert the following etetomeM In the plaintiff or defendant bOX on the summons: 'Additional Peruse Attachment form Is attgohed.
List additional parties (Clreok only one box. Use S ee30610 page forsook (q,e of party.):
itutt [Z) Defendant ED cross-Campialnant D cross-Defendant
FRED B. DURHAM UI, BRA]) W. BUSS, PATRICK). CONNOLLY, )AICBAL DAIUNCI DOUGLAS M. LEONE, BOB MARINO, I.P. MO1tGAN SBCVR1TIBS LLC, J8B1EPiES & COMPANY, INC., COWEN AND COMPANY, LLC, SANNEY MONT(X)MB?.Y SCOTT LLC, RAYMOND JAMES & ASSOCIATES, INC. and CAIrBPRRSS NC
Business torUur,felr business praotice (07) H Other raI property (29)
Civil rights (08) U I wfui Delalnor Osfanietion (13) Conimoroial(31)
Fraud (10) Residential (32)
Intellectual Property (19) Druos (38) Professional negligence (29) udlclal Review
Oilier non-PIIPDMD tori (30) Asset forfeiture (05)
employment EJ ,PetWrrn ra: aibitrallon award (11) Wrongful torminnition (3$) Wdt or mandate (02)
ProvIsIonally complex Civil lJtI0Mton (Oct. Rules of Court, rules 3.400-4405)
Iowruaurrsde ragulsUon (03).
Ocnstmotlrm defeat (10) Mess tort (40) Seculifiss Ntgatlan (29) Environmenteirl'Qidc tort (30) Insurance covoreija cickas arising from the above Hated prcMalanaity complex case types (41)
Enforcement of Judgment Enforcement otJudgmsnt (20)
Miscellaneous Civil Oonrpielnt E RICO (27) Other odmpIaIntiei spoofflod above) (4)
MIscail*noous CMI Petition Partnershlo and corporate governance (21) Other petition (not specIfied above) (43)
2 mis case Is -: 'LJ to not complex under ruts 8.400 of the California Rules of Court. If the aese is complex, merit the factors requiring exceptional Judicial management: a. I3 Large number of separately represented podlos d, t::i Large number orwitrtsases b, 0 ExtenSIVO motion practice raising difficult or novel 9j ED Coordination With related actions pending In one or more courts
Issues that will be time-consuming to resolve in other counties, states, or countries, or in a federal court
Substantial amount of documentary evidence f. 12J Substantial posJudgmerrt Judicial supervision
3. Remedies sought (c/look all that apply)., a.17] monetary b.IZJ nunmonetary declaratory or Itunalive relief o. CPunitive
4, Number of causes of action (speoIfi,) 2 - V1olatios of geotions 11 and 15 of The eeurit1øs Act
5. This Case Is 0 is not a class action suIt. 6. If there are any known related cases, file and serve a notice of /elated sees. (You may use form CM-Of 6.)
Date: July 10, 2013 Robert V. Prona'
NOTICE a Plaintiff must file this cover sheet wffh the first paper flied in the cotton or proceeding (except smut otaims oases or cease tied
under the Probate Oodo,.Fsmfly Code, or Welfare and Institutions Code), (Cal. Rules of Court, rule 3.220.) Failure to tile may result • In sanctions.
• • File this cover sheet in addition to any cover sheet required by local oouii rule. • If this case is complex under rule 8.400 at seq. of the California Rules of Court, you must servo a copy of this cover sheet on all
other parties to the notion or proosoding, o tiritass this Is r collections case urxisr rule 3.740 ore complex case, this cover Sheet will be Used for statistical purposes onhY, 5, 1 at
CIVIL CASE COVER SHEET - °'
Case4:13-cv-03666-KAW Document1 Filed08/08/13 Page22 of 45
This certificate must he completed and filed with your Civil Case Cover Sheet if you have checked a Complex Case designation or Counter-Designation
In the attached CiviL Case Cover Sheet, this case Is being designated or oounter.destgnated as a complex case tor as not a complex case] because at least one or more of the following boxes has been oheolce&
X Box I Case type that is best described as being (or not being] provisionally complex civil litigation (I.e., antitrust or trade regulation claims, construction defect claims involving many parties or structures, securities claims or Investment losas involving may parties, environmental - or toxic tort claims involving many parties, claims lnvolvingnmas torts, orinsuratice coverage claims arising out of any of the foregoing claims),
cX Box 2— Complex (or not complex] due to factors requiring exceptional Judicial management
X Box 5 _1s (or Is not] a class action suit
2. This case Is being so designated based upon the following supporting Information (Including, without limitation, a brief description of the following factors as they pertain to this particular case: (I) management of a large number of separately represented parties; (2) complexity of antie1pted fotual and/or legal isSues; (3) numerous pretrial motions that will be time-consuming to resolve; (4) management of a large number of witnesses o a substantial amount of documentary evidence; (5) coordination with related actions
CV-19 [Rev, 1106) wwwsnnmatc000urt,org
Case4:13-cv-03666-KAW Document1 Filed08/08/13 Page23 of 45
'S
pending in one or more courts in other counties, states or countries or in a federal court; (6) whether or not certification of a putative class action will in fact be pursued; and (7) substantial post-judgment judicial supervision]:
This is a putative class action brought by Plaintiff on behalf of
purchasers of the common Atook of CafePresA, Id., pirenant and/or
tracea ble to the Company's Initial Public Offering
The daims in thIs action arise from the materially false and/or misleading
Registration Statement and Prospectus issued In connection with the Offering.
[See Attached Additional Pagel
(attach additional pages fnecessa,))
3
Based on the above-stated supporting Information, there is a reasonable basis for the complex case designation or counter-designation [or nonoomplex case counter-designation] being made in the attached Civil Case Cover Sheet.
I, the undersigned counsel or self-represented party, hereby certify that the above is true and correct and that I make this certification subject to the applicable provisions of California Code of Civil Procedure, Section 128,7 and/or California Rules of Professional Conduct, Rule 5-200 (B) and San Mateo County Superior Court Local Rules, Local Rule 230.
Dated: July 10, 2013
Robert V. Prongay
[Type or Print Name]
[Slgnatre of Party or Attorney For Party]
CV-59 [Rev. 1106) www.sanrnateocourt.org
Case4:13-cv-03666-KAW Document1 Filed08/08/13 Page24 of 45
ATTACHMENT TO CERTIFICATE RE COMPLEX DESIGNATION
Resolution of the claims will undoubtedly present challenging and complex legal and factual
issues and would be handled most efficiently and effectively by the Complex Litigation
Department.
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Case4:13-cv-03666-KAW Document1 Filed08/08/13 Page27 of 45
NOTICE OF CASE MANAGEMENT CONFERENCE
ENDORSED FILED CIV 52 744 AJjtp -
Dept. --on Tuesday & Thur
Dept. - 7 Wednesday KFrIday
You are hereby given notice of your Case Management Conference. The date, time and department have been written above.
1. in accordance with applicable California Rules of the Court and local Rules 2,3(d)1-4 and 24(m), you are hereby ordered
to:
a) Serve all named defendants and file proofs of service on those defendants with the court within 60-days of filing
the complaint (CRC 201.7).
b) Serve a copy of this notice, Case Management Statement and ADR information Sheet on all named parties In this
action.
c) File and serve a completed Case Management Statement at least 15-deys before the Case Management
Conference (CRC 212(g)). Failure to do so may result In monetary sanctions. ,
d) Meet and confer, In person or by telephone, to consider each of the Issues Identified In CRC 212(f) no later than
SO-days before the date set for the Case Management Conference,
2. If you fall to follow the orders above, you are ordered to show cause why you should not be sanctioned. The Order to Show Cause hearing will be at the same time as the Case Management Conference hearing. Sanctions may Include monetary, evldentlary or Issue sanctions as -well as striking pleadings and/or dismissal,
3. ContInuances of Case Management Conferences are highly disfavored unless good cause Is shown.
4. Parties may proceed to an appropriate dispute resolution process ("ADR M ) by filing a Stipulation to ADR and Proposed Order (see attached form). If plaintiff tiles a Stipulation to ADR and Proposed Order electing to proceed to Judicial
arbitration, the Case Management Conference will betaken off the court calendar and the case will be referred to the
Arbitration Administrator. If plaintiffs and defendants file a completed stipulation to another ADR process (e.g.,
mediation) 10--days prior to the first scheduled Case Management conference, the Case Management Conference will be
continued for 90-days to allow parties time .to complete their AIDR session, The court will notify parties of their new Case
Management Conference date.
5. If you have filed a default or a judgment has been entered, your case Is not automatically taken off Case Management
Conference Calendar, If "Does", "Roes," etc are named in your complaint, they must be dismissed In order to close the case. If any party is In bankruptcy, the case is stayed only as to that named party,
6. You are further ordered to appear In persons (or through your attorney of record) at the Case Management Conference
noticed above. You most be thoroughly familiar with the case and fully authorized to proceed.
7. The Case Management Judge will Issue orders at the conclusion of the conference that may Include:
a) Referring parties to voluntary ACR and setting an ADR completion date; b) Dismissing or severing claims or parties;
C) Setting a trial date.
8. The Case Management judge maybe the trial Judge In this case.
For further information regarding case management policies and procedures, see the court's webslte at: www.sanmateocpurt.org
'Telephonic appeorcines at case management confe.rences are OcQiable by contodlqj CourtCoii, LLC an independent vendor, at least five busfnsss days prior to the scheduled conference (see attached Ceu,tCalI Information),
Case4:13-cv-03666-KAW Document1 Filed08/08/13 Page28 of 45
CM .110
A11ORNSY OR PARTY WI1UT ,VrTOYEy (Nemft, Saie 58riu,nbol nds,$) FOR COURT USC ONLY
T5LI-ONEHU. FAX NO, (CiORI,t
C4A'L ADDRESS (tbn.
ATTORNCY FOR rNwfle
SUPERIOR COURT OF CALIFORNIA COUNTY OF SAN MATEC
stas'r ADoxesst 400 County Center
MAflNGAPDRE$S 400 County Center CI1?ANP ZIP C000 Redwood City, CA 94083-1665
Southern Branch
PLAuNTIvrIFETITIONER:
DEFENDANT/RESPONDENT:
CASE MANAGEMENT STATEMENT CANNUMBEk
(Check one): UNLIMflED CASE LIMITED CAGE (Amount demanded (Amount demanded is $28000 exceed8 $25,000) or less)
A CASE MANAGEMENT CONFERENCE is scheduled as follows:
Date: lime: Dept.; Div.: Room:
Address of court (if different from the address above).,
Notice of latent to Appear by Telephone, by (name
INSTRUCTIONS: All applicable boxes must be chacied, and the specuisci imortnation must os provueo.
1, party or parties (answer one);
a, LJ This statement is submitted by party (name): b. LJ This statement Is submitted jointly by parties (names):
2. Complaint and cross-complaint (lo be answered by pJ&ntIffa arid ctces-ceniplaInanlscniy a. The complaint was flied on (date): b. EM The cross-complaint If any, was flied on (date):
3. Service (10 be answered bypIantffts and cross'-complainants only)
a. EJ All parties named In the complaint and cross-complaint have been served, have appeared or have been dismissed,
b. c: The following parties named In the complaint or cross-complaint
(1) = have not been served (specify nertaa and explain why no():
(2) EJ have been served but have not appeared and have not been dismissed (specify names):
(3) c: have had a default entered against them (specify names):
c. LJ The following additional parties maybe added (specify names, nature of In votveneni In case, and dSYe by which they may be .se,vod):
4. Description of case -
a. Type of case in = corrtpiaint crosa-complaint (De.scrlbe, Including causes of action):
rp.inMaIoItoytJmG CASE MANAGEMENT STATEMENT coundi uIOnUron'a M5 .730470
elk iiOlRen.JOY I,0I1 ,
Case4:13-cv-03666-KAW Document1 Filed08/08/13 Page29 of 45
CAM KWUR
FF/TIONER -
sough(' specify 4. b, Provide a brief statement 01 the case including any damages,
OEFENDANTIRESPONDENT
damages claimed, Including macliesl expenses to date (indicate sorime and amount), esumated future medical expenses. lost
earnings to daf, and estimated future lost earnings. If equitable relief is sought, describe the net ute of the relief)
(if more space is needed, check this box and attach a page designated as Attachment 4b.)
5, Jury or nonjury trial a jury trial a nonjufy trial (if more than one party, provide the name of each party
The party or parties request requesting ejwy Mal):
6. Trial date a, = The tdel has been set for (date):
b. CJ No trial date has been set, This case will be ready for trial within 12 months of the date of the filing of the complaint
(d
not, oxplaTh)
c. Dates on which parties or attorneys will not be available for trial (specifydaies and explain reasons for unavailabilily)
7, Estimated length of trial The party or parties estimate that the trial will take (check one):
a. EJ days (specifY number):
b. hours-(short causes) (specify):
a. Trial representation (to be answered for each party)
The pertyor parities will be represented at trial by the attorney or party listed In the caption
by the iollowlng
a. Attorney:
b. Firm; c, Address: f. Fax number: d. Telephone number: g. Party represented; e.• E-mail addieSS
Additional representation is described in AttchfliBnt 8.
9, Preferefl$ This case is entitled to preference (specify code &edion)
10. Alternative dispute resolution (ADR) a. ADR information package. Please note that different ADR processes are available indifferent courts and communities
read
the ADR Information package Provided by the court under rule 3.221 for information about the processes available through the
court and community programs in this case. parties represented by counsel: Counsel - has ED has not provided the ADR information package Identified
(1) For part In rule 3,22110 the client and reviewed ADR options with the client.
(2) For self-represented parties: Party has (] has not reviewed the AtIR information package identIfied in rule 3.221.
b. Referral tojudlotel arbitration or civil action mediation (if aveilebie).
(1) This matter is subject to mandatory Judicial arbitration under Code of Civil Procedure section 1141.11 or to
cMl action
mediation under Code of Civil Procedure section 1775.3 because the amount in controversy does not exceed the
statutory limit.
(2) [
Plaintiff elects to rarer this case to judicial arbitration and agrees to limit recoverY to the amount specified In Code of
Civil procedure section i'141.11.
(3) [
This case is exempt from iudiciai arbitration under rule 3.811 of the California Rules of Court or from civil action
mediation under Code of Civil Procedure section 1775 of seq. (specifY exemption) .-
AAMEHT SATN
Case4:13-cv-03666-KAW Document1 Filed08/08/13 Page30 of 45
CM1 10
PLAINTIFF/PETITIONER;
ENDANT/RESPONEWT:
10. c. indicate the AR process or processes that the party or parties are willing to participate In have agreed to participate In, or have already participated in (check all that apply and provide the specified lhforrnallon):
The party or parties completing I if the party or parties completing this form in the case have agreed to We form are willing to participate in or have already completed an ADR process or processes, participate in the following ADR indicate the status of the processes (attach e copy of the pa/lies' ADR processes (check all that apply): stipulation).:
Mediation session not yet scheduled
EJ Mediation session scheduled for (dale): (1) Mediation
: Agreed to compiete mediation y (dale):
J. Mediation completed on (dale):
Settlement conference not yet scheduled
(2) $eWemrsnt Settlement conference scheduled for (date):
conference Agreed to complete settlement conference by (date):
c: Seiflement conference completed on (date);
Neutral evaluation not yet scheduled
. Neutral evaluation scheduled for (date): .(3)t<1eUllvaiu8tIon
Agreed to complete neutral evaluation by (date):
tJ Neutral evaiuètion completed on (date)
[ Judicial arbiiratlon not yet scheduled
(4) Nonbinding judicial (J Judicial arbitration scheduled for (date):
arbItration Agreed to complete judicial arbitration by (dale):
LJ Judicial arbitration completed on (data):
EJ Private arbitration not yet scheduled
(5) BInding private Private arbitration scheduled for (date):
arbitration Agreed to complete private arbitration by (dale):
Private arbitration completed on date);
CJ ADR session not yet scheduled
(B) Other (specify): ADR session scheduled for (dale):
Agreed to complete AOR session by (da(e):
[J ADR completed o in (date):
cM.uOtUv.iey 1. 20th CASE MANAGEMENT STATEMENT
Pop 3 61 a
Case4:13-cv-03666-KAW Document1 Filed08/08/13 Page31 of 45
C#-5E NU4.55R
pLANrtFp,pETmOWER:
DF-FENDA14TIRES
ii. insurancea. (
Insurance carrier, if an , for party filing Oils stalemefli (name):
b, Reservation of rights: yes = No
c. Coveree issues will significantly affect resolution of this case (explsifl)t
12, JurisdIction Indicate any matters thai may affect the courts jurisdiction or processing of this case and describe the status
Bankruptcy [] Other (spec!!)'):
Status:
13, Related C55OS. 05oil4atibfl, and coordination
a. There itre companion, underlying, or related cases,
(1) Name of case:
(2) Narhe of count: (3) Case number: (4) Status:
dltioai cases are described In Attachment 13a.
A motion to = consolidate E] coordinate will belied by (name party):
14, Bifurcation l
The party qr parties Intend to file a motion for an order bifurcating, severing or coordinating the following issues or causes of
action (speoify moving party, type of motloii,.Bfld (aasofl$)
15, Other motions The party or parties expect to file the following motions before trial
000Y moving party, type Or' otion, and Issues):
16. Discovery a. CJ The party or parties have completed all discovery.
b. The idilowlng discovery wIll be completed by the date specified (dertb6
0 arflicip&sa' (1iscovery): QIg
ry of electronically stored information, are
c. (J The following discovery issues, including issues regarding the discove
aniiclpat5d (specify):
cW11n jr4v. July I, 2011 CASS MANAGEMENT STATEMENT
Case4:13-cv-03666-KAW Document1 Filed08/08/13 Page32 of 45
CASE HUM55I
piLFFPflhlON:
DaFN0/..MT/RESPONO1ENI:
17, Economic litigation a.
This is a limited civil case (i.e.. the amount demanded is $25,000 or lass) and the economic MlgetlOri procedures in Cods
of Civil procedure sectifle 90-98 Will apply to this case,
b. 111J This is a limited civil case arid a motion to withdraw the case from the economic litigation procedures or for additional
discovery will be flied (If checked, explain specifically why economic (IiJation procedures relating to discovery or lifel
should not apply to this case):
16. Other Issues
Ei The party or parties request that the following additional matters be considered or determined at the case management
conference (specify):
19 Meet and confer The party or patties have met and conferred with all parties on all subjects required by rule 3.724 of the California Rules
of Court (If riot, explain):
b. After meeting and conferring as required by rule 3,724 of the California Rules of Court, the parties agree on the following
(specify):
20. Total number of pages attached (If any):________
I am completely familiar with this case and will be fully prepared to discuss the status of discovery and alternative dispute resolution, as well as other issues raised by this statement, and will possess the authority to enter into stipulations on these issues at the time of
the case management conference Including the written authoilty of the party where required.
Date:
itYPEoR PRIM NAME) (SIGNATUIE OF ?AMY OR A1roRl4ey)
(ll-la OR pRVT t.ui.iay (S1OMATURE OF PARTY OR M1ORW'fl
EJ Additional signatures are attached.
ci.i-iiotr CASE MANAGEMENT STATEMENT Ff *15
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(Adopted, cffbtiVo Jsnuwy 1, 2000) (Amended, effective January 1, 2007)
PART 2. CASEPI.OW MANAGEMENT
RS1lV
This rule applies to all civil oases with the exception of the following: (1) juvenile court matters, (2) probate matters; (3) family law matters; and (4) civil oases which, based on subject matter, have been assigned to it judge, or to more than one judge, for all purposes. For rules applicable to these exceptions, see CRC. 2.20 2.30, 2.570.2.573, 2.585, 2,810-2,819, 2.830-2.834, 3.650 3.700-3.735, 3,920.3.927, 3.1370, .1380-3.1385, 3.1590-3.1591, 3,1806, 5.590, 10.90040.901, 10.910, 10,950-10.953,,
(a) Purposes and Goals
The purposes and goals of the San Mateo Superior Court Civil Case Management System effective January 1, 192 are:
(1) To manage fairly and efficiently, from commencement to disposition, the processing of civil litigation.
(2) To prepare the bench and bar før full Implementation of the Trial Court Delay Reduction Act A.B. 3S20) on July 1, 1992; and
(3) To encourage parties to agree to informal discovery early In the life of the case, to two standard form interrogatories and to promote alternative dispute resolution. Nothing in these rules is intended to prevent the parties from stipulating to an earlier interveniozt by the court by way of a ease management oonfrence, settlement conference or any other Intervention that seems appropriate.
(4) In accordance with Sections 3.710-3.715, 10900, 10.901 of the Caii.foinia Rules of Court, Local Rule 2.3 is adopted to advance the goals of Section 8603 of the Govetmneot Code and Section 2.1 of the Standards of Judicial Administration recommended by the Judicial Council.
(b) Team concept
Beginning January i, 1994 civil litigation will be managed primarily by a team of two program judges.
The clerk will assign the case to a program judge at the liin.e the complaint is flied. The case shall be managed by the assigned program judge until disposition or until the case is assigned to a trial department.
Div U . Rules 201 Rov1scd 1/1/2012
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*
I 311pi1r COuit of Ciiiforni', Comity of Snn MMoo
(e) Cases filed after July 1, 1992
Upon the filing of a complaint after July 1, 1992, the ease shall he subject to all of the civil case management system rules set forth below. Cases filed b2f= July 1, 1992 shall also be subject to these rules except for subsection (d) (Filing and service of pleadings; exceptions).
(4) Filing and service of pleadings; exceptions.
(1) Complaint; Except as provided in paragraph 5 below, plaintiff shall within 60 days after filing of the complaint serve the complaint on each defendant along with:
(A) A blank copy. of the Judicial Council Case Management Statement;
(B) Aoopy of Local Rule 2.3;
(C) The Notice of Case Management Conference.
If a matter has been submitted to arbitration pursuant to uninsured, motorist insurance, the plaintiff shall file a notice to that effect with the court at the time of filing the complaint or at the time the matter is submitted. The notice shI1 include the name, address and telephone number of the insurance company, along with the claim number or other designation under which the matter Is being processed.
(2) Cross-complaint: Except as provided in paragraph (5) below, each defendant shall within 30 days after answering the complaint file any cross-complaint (within 5( days if compliance with a governmental claims statute Is a prerequisite to the erossccmplatnt) not already served with the answer under Code of Civil Procedure section 42850 and serve with that cross-eoniplaint.
(A) A blank copy of the Judicial Council Case Management Statonient;
(B) A copy of Local Rule 2,3;
(C) The Notice of Case Management Conference,
(3) Responsive pleadings: Except as provided In paragraph 5 below, each party served with a complaint or oross.CouWIShlt shall file and serve a response within 30 days after service. The parties may by written agreement stipulate to one 15-day extension to respond to a complaint or oross.coinplaint.
If the responsive pleading is a demuner, motion to strike, motion to quash service of process, motion for a change of venue or a motion to stay or dismiss the case on forum non conveniens grounds, and the demurrer is ovemiled or the motion denied, a further responsive pleading shall be filed within 10 days following notice of the ruling unless otherwise ordered, If a demurrer is sustained or a. motion to strike is granted with leave to amend, an amended complaint shall be filed within 10 days following notice, of the ruling unless otherwise ordered. The court may fix a time for filing pleadings responsive to such amended complaint.
(4) Proof's of service: Proofs of service must be flied at least 10 calendar days before the case management conference.
(5) Exeoptions for longer periods of time, to serve or respond:
Dv 11 Rides 202 Revised Jji/21fl2
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superior Court of CaUtomln, county or San Mitco
(A.) Time to serve may be extended for good cause: Upon ax parte application to the court, In cornplIaiue with CalifornIa Rules of Court 3,J200.-3.1 206, witlthi. 60 days of the date the complaint was flied, plaintiff may obtain an extension of time to serve to a date on or before the case management conference, if good cause is shown by declaration of counsel (or plaintiff filing in propria persona). An additional extension of the time to serve (an initial extension if the application, is by a cross-complainant) may be obtained upon written application to the court upon good cause shown before the prior extension has expired. The filing of it timely application for an extension will automatically extend the time to serve by five days, whether or not the application is granted.
Good cause will be found If the declaration shows that the action is tIled against a defendant who. Is an. unnured,aotorist, nd..tho_plaintiffsolaim Is. sub,ject.to. an arbitration provision in plaintiffs contract of Insurance, lit determining good cause in other oases, the court will give due consideration to any standards, procedures and policies which have been developed in consultation with the bar of the county through the bench-bar trial court delay committee,
(B) Additional extension of time if uninsured motorist arbitration is pending, in addition to any cxtension of time obtained pursuant to subsection (5)(A) above, if an uninsirrd motorist arbitration is still pending between plaintiff and plaintiffs insurance carrier 30 days prior to the expiration of the extension, plaintiff may obtain an additional extension of time by an ex pane application supported by a declaration showing the scheduled or anticipated, date of the arbitration hearing and the diligence of plaintiff in pursuing arbitration.
(C) Time to respond may be extended for good cause: Before the time to respond has expired, any party served with a complaint or cross-complaint may, with notice to all other parties in the notion, make ox pane application to the court upon good cause shown for an extension of time to respond. The filing of a timely application for an extension will automatically extend the time to respond by five days, whether or not the application Is granted.
(a) Case management conference
(1) Date of conference: Unless the parties stipulate in writing and the court orders that the case be earlier referred to arbitration, it case management conference will be set by the clerk at the time the complaint is filed. (Government Code 68616)
(2) Attendance at the case management conference is mandatory for all parties or their attorneys of record,
(3) Plaintiff must serve the Notice of Case Management on all parties no later than 30 calendar days before the conference, unless otherwise ordered by the Court.
(4) The Court will deem the case to be at-issue at the time of the conference (Reference: CRC 3.714(a)) absent a showing of extraordinary circumstances.
(5) The conference may be set at an earlier date by order of the Court or by written stipulation of the parties.
(6) Designation of trial counsel: Trial counsel and, except for good. cause shown, back-up trial counsel, must be specified at the case nianagelnent conference. If such counsel Is not
Div 11 -Rid ox 203 Psuined 1/1/2012
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Supoif or Court of CA Ufomia. County of $un MuLco
specified, relief ñom the scheduled trial date may not be obtained based upon the ground that counsel Is engaged elsewhere,
(1) Conference orders -, At the initial conference, the program judge will make appropriate pre-trial orders that may Include the following:
(A) An order referring the case to arbitration, mediation or other dispute resolution process;
(B) An order transferring the case to the limited jurisdiction of the superior court;
(C) An order assigning a trial date; - -
(D) An order identifying the ease as one which may be protracted and determining whet special administrative and judicial attention may be appropriate, including special assignment;
(E) An order identifying the case as one which may be amenable to early settlement or other alternative disposition technique,
(F) An order of discovery; including but not limited to establishing n discovery schedule, assignment to a discovery referee, and/or establishing a discovery cut-off date;
(G) An order scheduling the ecbango of export witness Intonnation;
(H) An order assigning it mandatory settlement conference date pursuant to Local Rule 2,3(k) and 2.4; and
(I) Other orders to achieve the interests .otjnstice and the timely disposition of the ease,
(8) CotrrtCall Telephonic Appearances
(A) Reference CRC, Rule 3,670
(B) Procedure. Telephonic appearances through the use of Court,CalI, an independent vendor, are permitted at case management conference hearings. A party wishing to make a telephone appearance must serve and file a Request for Telephone Appearance Form with CourtCall not less than five court days prior to the case management conference hearing. Copies of the Request for CourtCsll Appearance fomi and accompanying Information sheet are available In the Clerk's office. There Is a lee to parties for each CouriCail appearance and fees are paid directly to CouttCail. CourtCall will fait confirmation of the roqyest to parties.
(C) On the day of the case management conference hearing, counsel and parties appearing by CotrrtCall must check-itt five minutes prior to the hearing. Chek-ia is accomplished by dialing the courtroom's dedicated toll-free teleconference number and access code that will be provided by CourtCall In the oonnnatioit Any attorney or party calling after the check-In period shall be considered late for the hearing and shall be treated in the same manner as if the person had personally appeared-late for the hearing,
Div it Rules 204 Revised I1I2012
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C
Superior Court ofCe1lfonti, County olSen Mateo
(D) At a case management conference, parttee may be retbrred to an appropriate dispute resolution ("AD1V'). process (eg., mediation, binding arbitration or neutral evaluation). If parties are roferted ADR, they must radial the dedicated toll-free teleconference number Immediately following their ease management conference appearance and use a second CourtCnll access code to telephonically appear at the ADR referral meeting with ADR staff, If a case has been referred to ADR, a party's case management conference appearance is not complete until they have also telephonically appeared at. the mandatory ADR referral. If parties are referred to judicial arbitration, they do not have, to appear at the ADitreferral.
(1) Case Management Statement
At least 15 calendar days before the scheduled ease management conference, each party shall file with the court and serve on all other parties a completed Judicial Council Case Management Statement, If the case is set for further case management eanference hearing(s), all patties must file updated Case Management Statements iS (fifteen) calendar days prior to the scheduled beatings(s).
The Court finds it is in the best interests of parties to litigation to participate in appropriate dispute resolution procedures, including but not limited to mediation, neutral evaluation, private or judicial arbitration, voluntary settlement conferences, and the use of special masters and referees. Therefore, all parties shall stipulate to, or be referred to an appropriate form of dispute resolution before being set for trial, unless there is good cause to dispense with this requirement. Parties are encouraged to stipulate to judicial arbitration or ADR. prior to the ease mairngenaeat conference.
(h) Stipulations to Arbitration
(1) If the case is at issue, and all counsel and each party appearing in propia persona stipulate in writing to judicial arbitration prior to the case management conference, discovery will remain open following Judicial arbitration. A written stipulation to judicial arbitration must be fIled with the clerk and a copy Immediately sent to The Master Calendar Coordinator at least 10 calendar days before the ease management cenibrence In order to avoid the need to appear at that conference. A written stipulation to arbitrate will be deemed to be without a limit as to the amount of the award unless it expressly states otherwise,
(2) It is the policy of this court to make every effort to process cases In a -timely manner. Parties who cleat or are ordered b the court to judicial arbitration must complete, the arbitration hearing within the time frame specified by the Court,
Parties who wish to oontinuø the arbitration hearing after the jurisdictional time frame must submit a court provided form entitled "Ex Parts Motion and Stipukitton for continuance of Judicial arbitration FJeartn." Pardes can obtain a copy of the form by contacting the court's judicial arbitration administrator [See Local Rule 1.0.10)(1)). Continuances without adequate grounds will not be considered, A case management judge will either grant or deny the request for continuance. If the request is dented, the case may be assigned a trial date, If the request is granted, the judge will Impose a new deadline by which the arbitration must be completed.
(3) Parties who wish to change their election from judicial arbitration to another form of ADR. nnmt file a "Stipulation and [Proposed] Order to [Mediation, Neutral Evaluation, etc,] In Lieu of [Court-Ordered] Judicial Arbitration" with the Cletk of the Court. The Stipulation must
Div ti Ru!ce 205 Revised 111/2012
Case4:13-cv-03666-KAW Document1
Filed08/08/13 Page38 of 45
Supt1oi Cowl of CaIlfori, Couz%ty ofSon Mtco
state that parties have: (I) notified both the judicial arbitration and I½DR. coordinators; (Li) cancelled the judicial arbitration hearing: (iii) scheduled the ADR session within five months of the previously scheduled judicial arbitration hearing; and (iv) stipulated to a trial date, which is not more than six months from the previously sob eduled judicial arbitration hearing.
Stipulations to Private ADR
(1) If a case is at issue and all counsel and each party appearing in propria persona stipulate in writing to ADR and file a completed Stipulation and Order to Ai)R with the clerk of the oonrt at least ten (10) calendar days before the first scheduled case management conference, that conference shell be continued 90 days. The court shall notWy all parties of the continued case management cnferenoe,.......-. ..............-.
(2) If counsel and each party appearing in propris persona are unable to agree upon an appropriate ADll. process, they ahall appear at the case management conference
(3) Poiiowing an appearance at a case management . conferenee hearing, parties shall, within 21 calendar days file a completed Stipulation to AD?, and lroposed Order identifying the name of the AJ)R provider, date of ADR session and the names of those who will be in. attendance at the ADR session. The completed Stipulation to JDR and Proposed Order shall be filed with the court by plaintiff's counseL The parties, through counsel, if represented, shall conFer with the court's Multi-Option ADR Project (M.A.P) stan' If they cannot agree on a provider. Plaintiffs counsel, shall additionally, send a copy of the completed Stipulation to the court's M,A.P, aces within the same 21-day period.
(4) All parties and .counsel shall participate in the.'ADR process In good faith.
() To maintain the quality of ADR services the court requires cooperation from all parties, counsel and AIM providers in completing ADR evaluation ±bruia, and returning these forms to the M.A.1. offices within 10:ealendar.days of the completion of the ADR. process.
(6) ADR ProgrmuCcmlaInt Po1in If mediation session participants have a. concern about the mediation process or the oondut of amediator affiliated with the court's program, the court encourages them to speak directly with the msdietorflrst. In accordance with California Rules of Court §3.865 at $eq., parties may also address written complaints, referencing the specific Rule of Court allegedly violated, to the Court's Civil ADR Program Coordinator. (Pbr complete complaint procedure guidelines, see court web site:
(7) In accordance with the Code of Civil Procedure, section 1033.5(c)(4), the court, in its discretion, may allow the prevailing party at trial the fees and expenses of the ADR provider, unless there is a contrary agreenicntly the parties.
Setting Short Cause Matters
If the parties agree that the time estimated for trial is 5 hours or less prior to the couferenoe, a written stipulation shall be filed at least 10 calendar ds before the case management conference in order to avoid the need to appear at that conference and a copy immediately sent to the Master Calendar Coordinator. In the absence of a stipulation, either party may file a. motion to have the
matter designated a Mahort cause" and set the case accordingly. All such matters shall be presumed short cause unless the contrary is established at the hearing on the motion.
(k)
Law and Motion
IDly IT . Rules 206 Rovisod 1/L/2012
(i)
a)
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-U
Supflor Court ofCallfornini County ot5w Melee
All law and motion matters shall be heard by the regularly assigned Law and Motion judge.
(1) Settlement Conferences
All oases not assigned to arbitration or some other dispute resdiution mechanism will be assigned two Battlement conference dates the first of which will be at the earliest practicable date under the circumstances presented by the case, and the second within approximately two weeks prior to the assigned trial, date.
Cases assigned to arbitration or other form of ADR. may be subjected to a settlement conference prior to the arbitration or ADR. process, but will be assigned to a pre-trial settlement conference
nIy. Lth ab imp fajt rsolthe.ese...
All oases whioh fail to resolve by the trial date will be subject to an additional settlement conference on the trial date.
All settlement con±brences shall be subject to the requirements specified in Local Rule 24.
(m) Sanctions
Sanctions pursuant to CRC 2.30 shall be Imposed for any violation of the civil case management system rules. The nthtimuni sanction imposed shall be $150L00 payable to the court; sanctions payable to the court may be larger where appropriate and will be in addition to appropriate attorney fees and calendar changes, including any appropriate change In calendar status of the action,
Sanctions mandated hereby may be waived by the judge conducting the conference only upon an application showing good cause why sanctions should not be imposed.
(Adopted, efto6e July 1, 1996X,Ainended, offQCtIve January, 1,2000) (Amended, eff4n January 1, 2003) (Amended effective July 1, 2003) (Amended, effective January 1, 200SXArnended, effective January 1, 2006) (Amended, cfleotivs January I, 2007) (Amended, effeotFve January 1 2010)
We 211 Orders to Show Cause re: Dismissals
(a) A hearing on an order to show cause why the case should not be dismissed for faU'ure to prosecute the matter shall be set at the two year anniversary of the filing of the complaint and/or cross-complaint.
(1) An order to show cause hearing shall be set 45 days after court's receipt of notice of settlement,
(c) An order to show cause hearing regarding dismissals may be set by the court to achieve the interests of justice and the timely disposition of the case.
(d) An order to show cause hearing re: failure to complete judicial arbitration within the court-ordered time frame may be beard during the case management calendar. Sanctions may be imposed and a trial date may be assigned,
(Adopted, effeotlo January 1,2000) (Amended, effective January 1, 2003XAinended, effeoth'e January 1, 2006)
Rule 2.4 SettlenneatConference
Reference: California Rule of Court, rule 3.138. Div 11 Rulea 207 Revised 111/2012
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CMI Appropriate Dispute Rsoluton (APR) Information Sheet Superior Court of California, Sari Mateo County
Appropriate ølspqle Resolution (APR) lea way of solving legal problems vM hout going to trial. All types of disputes can be resolved throgAD.9,Jh Court oncoutngbsyôu to use joffie lorm of ADR before YOU' proceed to trial The moalpops,ilarjorn fAQ.F1ie.mad4siion The Multi-Opt ion ADR Project can help you choose the option that Is best fat your case and refer' yáU to an experianceciAbR provider.
What are the Adventacis eiiJslna ADR?
Fester— Traditional litigation can take years to complete but ADR usually lakes weeks or months.
o Cheaper— Parties can save on attorneys' lees and litigation costs.
dD • More.cônjrol & flexibility - Partls choose the ADR process most apptoprlate for their case.
cooperative & less stress/ui —In meation, parties cooperate to find a 'rrnituatiy agroeabl8 solution to their dispute, . . . . .
jfV*bgt jrethè Pie'athantegéà of listric DR?
you may go to cowt anyway —If you cant resolve. your case rig AD R, you may still have to spend time and money on your awsuiL .. . '. . . -
so Not free —Thèneutal ohsr'feês (except in judicial arbitration) but you may qualify.: for financial aid.
Are There Different Kinds-of AD
.o Mediation A neutral person (mediator) helps the parties cofrimunicate, ciarfly,facis , identify legal issues, explore settlement .options and agree on a solution that Is acceptable to all sides. . . . .•.
• Judicial Arbitration—la an inlcrrmal hirIng where a neutral person (arbitrator) reviews the evidence, hears arguments and makes a decision on your cas. in non-binding Judicial arbitration, parties have the right to reject the arbitrator's decision and proceed to trial For more 'Information regrtUnqjuiciai,arttatfl. pleee.s.e the attachad sheet ,o call (85O)63-488.
Binding Arbitr'allon ahead The parties agree of time to accept the arbitrator's deciaon as final. Parties who choose bltd1ng arbitration give up their /igt to goto orrt and their right to appeal the arbitrator's decision. . ..
o Neutral Svoluation A neutral person (evaluator) listens to the parties, asks them questions about their case, reviews evidence and may hear witness testimony. The evaluator helps the parties Identify the most important legal Issues In their case and gives them an analysis of the strengths and weaknesses of each side's case. Special neutral evaluation guidelines are available on the Court's webslte atw,sarunateocourt.oraIadt.
o Settlement Conference - Although similar to mediation, the neutral (a judge) may take more control In encouraging parties to settle. Settlement conferences take place at the courthoniee,. All cae1'natPe tL rnnindatory settlement conference approximately 2-3 weeks before the trial dale,
Paee 'o5
Appropriate Dispute Resolution Information Sheet POle adpld lot MOdOWy 1.100 JOA RVIO at OOuit Ita2t ted Co.sI PtmhDtt'CV4 Itww SapIm5er. 11115
Case4:13-cv-03666-KAW Document1 Filed08/08/13 Page41 of 45
1 ( How ppayOIVfltarV
The person who tiles the lawsuit (the plaintiff) must include this ADA Information Sheet with the complaint when aeMng the defendants in the case.
v All the parties in your case will meat with a judge at your first Case Management
Conference (0MG) 1 which 18 scheduled within 120 days of the filing 01 the complaint. The judge
will speak to you about your voluntary ADA options, encourage you to participate in ADA and ask
you to meat with Court ADF% staff , if you and The parties decide to use ADA, Local Rule 2,3(i)(3) states that you must file a
11pu!at(Qfl and Order to ADA with the Court Clerks Office. This lorm lets the Court know both whom you have selected as your ADA neutral and the date of the ADA session.
You and the other-parties can find your own ADA neutral for the case or use a neutral
who Is on the ourt'5 ADA Panel. o
For a list of Court ADA neutrals and their resumes, visit the Court's website at wtimatocPl,ift,Pr0i8dL (Go to "CMI ADA Program," "Clvi ADA Program Panelist List" and click on any provider's name.)
If you decide to do ADA and file a SlipuJafton and Order to ADA at least 10 days before
your first 0MG, the Court will postpone (continue) your first 0MG for 90 days to allow the parties time to resolve the case using ADR. The Clerk's Office will send you a notice with your new
0MG date.
e Within 10 days of completing ADA, you and your lawyer (It you have one) must nil out
either an Evaluation By Attorneys or Client Evaluation and mall or fax It to the ADA offices at 400 County Conler, Courtroom 2P, Redwood City, CA 94063; (650) 5991764 (lax).
pii1vejo Pjrytp UAH2..
o Yes. You and his other parties will pay the ADA neutral directly. However, you do not
have to pay the Court for either judicial arbitration or for the mandatory settlement conference
that Is scheduled before your trial-
. V if you expect to have difficulty paying the AD provider's fee, ask the ADA Coordinator
for aflnartciai aid application. You will need to liii out this application to determine whether or not
you quality for financial assistance.
in San Mateo County, parties also can lake their case to the community mediation organization, the
pnlauia0án1tIOt'Ft050IUtt0fl Centar'("I`C8C1,1 and have their case mediated by ACRC's panel of
trained end eperlenoed volunter,mediat0rS'9'Q ieann'moreaboUt programsand.Iee8'00fltect PtR0's Manager of Mediation Programs at (650) 513-0230.
For more informatIon, visit the court webalte at ,5flE51eOi'flL9 or contact the
Multi-Option ADA Project , 400 County Center, Courtroom 2F, RodWood City, CA 94065. (650) 599-1070, (680) 3054148 11aX (650) $99-1754
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-10
1
Judicial Arbitration, one of the available App'oprIate Dispute Resolution (ADR) options, dIffars from other options in that It Is usually court-ordered, urJess the parties agree to it.
Whet are theAdvOr1tmctee of Usina Judicial Athitratton?
.c Free -Parties do not have to pay for the arbitrator's fee,
ro Past Parties are usually given 120 days from the date of the Case Management Conference (CMC) to have their case hoard by the appointed arbitrator.
10 Informal .Tho hearing is conducted by an arbitrator who Issues an award (Arbitrators are usually attorneys who practice or have practiced in San Melee County.)
What are the Disafvontaoss of Using Judicial AtbItratlOi?
dD The award issued by the arbitrator is not always binding (unless the parties stipulated otherwise). If any party requests a trial within 30 days of the award, the award becomes void and the coca continues on to trial
110w Does Jildiolal a,rbttratlon Work In Son Melee County?
.ao During your first CMG hearing, the judge my decide to order you to judicial arbitration. You will then receive Instructions and a proposed list of arbitrators In the mail.
Parties also may agree to judicial arbitration by filing a Stipulation and Order to ADR terra at least 10 days before the first 0MG. The DM0 clerk will then vacate your 0MG hearing and send the case to arbitration. The parties will receive instructions and a proposed list of arbitrators In the mail.
Parties oan stipulate (agree) to an arbitrator on the Court's Judicial Arbitration Panel list. Otherwise, proposed names of arbitrators will be sent to the parties.
o For allot of arbitrators, their resumes, and other information, visit the Court's wabsite at www,sarieteocoi.irt.om/adr, (a to 'Judicial Arbitration Program," 'Judicial Arbitration Panelist List" and click on the arbitrator's name. To view the arbitrators by subject matter, click on"Judicial Arbitration Panelists by Suteot Matter.')
oD Alter the arbitration hearing is held and the arbitrator Issues an award, the parties have 30 clays to turn downlre)eol the award by filing a Trial do Nova (unless they have stipulated .that the award would be binding).
.so lithe parties reject the award and request a Trial do Nova, the Court will send out - notices to the parties of the Mandatory Settlement Conference date and the trial date. 7.
Following your arbitration hearing, you will also receive an evaluation form to be filled out and returned to the Arbitration Administrator.
For more information, visit the court website at www.aanipaie000ud,ercnledr or contact Judicial Arbitration., 400 County Center, First floor, Redwood City, CA 94083. Phone
(650) 363-1805 and Paxi (650) 36-4897
Page 0 015 Appropriate Dispute Resolution Information Sheet
Fcnmth.pt.d lot I s.datoty Use (CA R04 01 Oowl 3.2sIl 1.0011 OoU,1 Fon AOR-OYO iHuw Soplo.nbor, 001 0Iweoaanrnotucoow1.oi0
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ADR Stipulation and Evaluation Instructions
In accordance with Lal Rule 2.3(i)(3), all parties going to ADR must complete a Stipulation and Order to ADR and file It with the Clerk of the Superior Court The Office of the Clerk is located at,-
Clerk of the Superior Court, Civil Division Superior Court of California, County of San Mateo 400 County Center Redwood City, CA 94063-1655
There is no filing fee for filing the stipulation. An incomplete stipulation will be returned to the parties by the C)erk1 s Office. All stipulations must include the following:
U Original signatures for all attorneys (and/or parties in pro per); C] The name of the neutral; Cl Date of the ADR session; and Cl Service List (Counsel need not aerve the stipulation on parties).
Parties mutually agree on a neutral and schedule ADR sessions directly with the neutral. If parties would like a copy of the court's Civil AIDR Program Panelist List and information sheets on individual panelists, they may visit the court' a website at www.aanmeteocourtprgiadr.
f Puma the 8t1puIat1oj Prior to an In11a1 Case Manasetnent Conference To stipulate to ADR prior to the initial case manaoinent conference, parties must file a completed stipulation at least 10 days before the scheduled case management conference. The clerk will send notice of a new' case management conference date approximately 90 days from the current date to allow time for the ADR process to be completed.
If F111n Stipulation Followhia - a gase Mans genient Conference When parties come 'to an agreement at a. case management conference to utilize ADR, they have 21 days from the date of the case management conference to file a Stipulation and Order to ADR with the court [Locai Rule 23(i)(3)].
post-OR Session Thcaluatlons Local Rule 23(0(5) requires submission of post-AD:R session evaluations within 10 days of completion of the ADR process. Evaluations are to be filled out by both attorneys and clients. A copy of the Evaluation By Attorneys and Client Evaluation are attached to the Civil AIDR Program Panelist List or can be downloaded from the court's web tile.
on.B.ind1na Jutildal Arbitration Names and dates are not needed for stipulations to judicial arbitration. The Judicial Arbitration Administrator will send a list of names to parties once a stipulation has been submitted. The Judicial Arbitration Administrator can be contacted at. (650) 363-4896.
For further information regarding San Mateo Superior Court's Civil AD1. and Judicial Arbitration Programs, visit the Court's website at wwwsanrnateocourtorWpdr Os, contaci the ADR offices at (650) 599-1070,
Case4:13-cv-03666-KAW Document1 Filed08/08/13 Page44 of 45
Superior Court of California County of San Mateo
Civil Department 400 County Center
Redwood City, CA 94063-1655 (650)363-4599
www.sanmateocourt.org
WALLACE JOSEPH DESMARAIS, JR. Notice of Complex Case Status Conference Plaintiff(s)
VS. Case No.: CIV 522744 Date: 09/10/13 MONICA N. JOHNSON
Defendant(s) Time: 9:00 AM
Dent. 21
Title; WALLACE JOSEPH DESMAB.AIS JR.VS MONICA N JOHNSON
You are hereby given not1c6 of your. Complex Case Status Conference. The date, time and department have been written above. At this conference, the Presiding Judge Will decide whether this action is a complex case within the meaning of California Rules of Court ("CRC"), Rule 3.400, subdivision (a) and whether it should be assigned to a single judge for all purposes.
1. In accordance with applicable San Mateo County Local Rule 2,30, you are hereby ordered to: a. Serve copies of this notice, your Civil Case Cover Sheet, and your Certificate Re: Complex
Case Designation on all named parties in this action. no later than service of your first appearance pleadings.
b. Give reasonable notice of the Complex Case Status Conference to all named paities in this action, even if they have not yet made a first appearance or been formally served with the documents listed in subdivision (a). Such notice shall be given in the same manner as required for an ox parte application pursuant to CRC 3,1203.
2. If you fail to follow the orders above, you are ordered to show cause why you should not be sanctioned, The Order To Show Cause hearing will be at the same time as the Complex Case Status Conference. Sanctions may include monetary, evidentiary or issue sanctions as well as striking pleadings and/or dismissal.
3. An aôtion is provisionally a complex case if it involves one or more of the following types of claims: (1) antitrust or trade regulation claims; (2) construction dofeot.claims involving many parties or structures; (3) securities claims or investment losses involving many pnties; (4) environmental or toxic tort claims involving many parties; (5) claims involving massive torts; (6) claims involving class actions; or (7) insurance coverage claims arising out of any of the claims listed in subdivisions (1) through (6). The Court shall treat a provisionally complex action as a complex case until the Presiding Judge has the opportunity to decide whether the action meets the definition in CRC 3.400(a).
4. Any party who files either a Civil Case Cover Sheet (pursuant to CRC 3.401) or a counter or joinder Civil Case Cover Sheet (pursuant to CRC 3.402, subdivision (b) or (c)), designating an action as a complex case in Items 1,2 and/or 5, must also file an accompanying Certificate Re: Complex Case Designation in the form prescribed by the Court. The certificate must include supporting information showing a reasonable basis for the complex case designation being sought. Such supporting information may include, without limitation, a brief description of the following factors as they pertain to the particular action: (1) management of a large number of
Form: CCSC
Case4:13-cv-03666-KAW Document1 Filed08/08/13 Page45 of 45
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separately represented parties; (2) complexity of anticipated factual and/or legal issues; (3) numerous pretrial motions that will be time-consuming to resolve; (4) management of a large number of witnesses or a substantial amount of documentary evidence; (5) coordination with related actions pending in one or more courts In other counties, states or countries or in a federal court; (6) whether or not certification of a putative class action will in fact be pursued; and (7) substantial post-judgment judicial supervision.
For further information regarding case management policies and procedures, see the court website at
www.sanmateocourt.org
* Telephonic appearances at Complex Case Status Conference are available by contacting CourtCalll, LLC, an independent vendor, at least 5 business days prior to the scheduled conference.
CLERK'S CERTIFICATE OF MAILING
I her9by certify that.I am the clerk of this Court, not a.party to this cause; that I served a copy of this notice on the below date, by placing a copy thereof in separate sealed envelopes addressed to the address shown by the records of this Court, and by then sealing said envelopes and depositing same,
with postage fully pre-paid thereon, in the United States Mail at Redwood City, California.
Date: 07110/13 John C. Fitton, Court Executive Officer/Clerk
By:GRACIELA MAROUEZ Deputy Clerk
Copies mailed to:
ROBERT V PRONGAY 1925 CENTURY PARK EAST SUITE 2100 LOS ANGELES CA 90067
