Here are the subpoenas to Microsoft, Sun, HP and Baystar, attached to IBM's Notice of Service of Subpoenas Duces Tecum , as text. Thanks go to Steven J. Lilley, Bernhard Nortmann, Joachim Durchholz, ethericalzen, gumnos, brooker, and Auke Jan Kroon for doing the transcribing. The story has hit the media. Let's take a look at a few reactions, including from Microsoft and SCO. It seems they barely know each other, to hear them tell it.
First, Jack Loftus has an interview with Tom Carey, a partner with the Boston-based intellectual property firm Bromberg & Sunstein on Search Open Source. Carey says IBM is now asking the question, Was SCO acting alone? He also shares his thoughts on the case going forward:
Q: Is it fair to ask why this SCO case is still around?
Carey: In sense that's still a good question because I think by now the marketplace does not care anymore. In a sense SCO has already lost, but they have invested millions of dollars and have basically bet the company on this lawsuit. So, they just can't stop. ...
Q: What can IBM hope to achieve with these subpoenas?
Carey: IBM has fought back nicely already and I think what this news today is, is that IBM in particular is potentially looking around to see if there is any kind of illegal conspiracy going on that might cause it to name some other party as defendant. The Seattle Post Intelligencer's Todd Bishop got a reaction from Microsoft: Jack Evans, a Microsoft spokesman, said the company had not received IBM's subpoena as of Wednesday evening. However, he said, Microsoft is "not involved in any way" with SCO's legal action against IBM.
"SCO's case against IBM is an issue between those two companies," Evans said, reiterating Microsoft's past statements.
Well. Could be. That's their story, and they're sticking to it. Then again, those of us following along closely noted that at the December 20th hearing, we found out that IBM learned when deposing SCO CEO Darl McBride recently that there have been a lot of emails between Darl and Microsoft people, discussing of all things Linux, emails SCO's attorneys had not turned over in discovery, so it wouldn't amaze me if IBM would like to know a bit more about all that. Matt Whipp in PCPro adds this question to the mix: The depositions set for next month will reveal exactly what was going on.
Similarly they will answer long held questions such as how Sun ever had the rights to open-source an entire Unix platform while Linux users were being sent letters demanding licensing fees for their use of Unix IP in an open-source product.
That's a good question, as in how come Sun can distribute Linux, which it did, with all the allegedly misused materials in it and SCO didn't lift a finger? As for answers, it may not be so simple. As Carey points out in his interview, we may see some pushback from the subpoenaed parties. Blake Stowell puts the SCO spin on the events, interviewed by K.C. Jones of Tech Web: SCO spokesman Blake Stowell said the subpoenas are a normal part of the discovery process.
"We're fine with whatever it is they want to try to find out," he said. "We're a fairly open book when it comes to those relationships." Yes. I'm sure that's the very first word you think of when you think of SCO. "Open".
So you can follow along and check the originals, here are the PDFs: One thing I notice is that Microsoft is being asked for all documents "concerning communications or agreements relating to SCO or this litigation, including all communications with... Canopy..." That would likely mean old Canopy, in effect, back when Ralph Yarro was running it. Update: Steven J. Vaughan-Nichols at Linux-Watch tried to get reactions from both Sun and Microsoft: Sun spokesperson Joanne Kisling said that the company would have no comment on the subpoenas that were handed to it by IBM on Tuesday as part of the SCO Group lawsuit against Big Blue.
A Microsoft spokesman responded to Linux-Watch.com later in the day Wednesday with the following statement:
"We haven’t been served but understand we will be shortly.
"SCO’s suit against IBM is an issue between those two companies, now in the hands of the court. Microsoft is not involved in any way with or contributing to SCO's current actions with IBM or other industry actions.
"As in other cases, we will respond to proper discovery in due course. It’s important to note, however, that Microsoft, like many other companies, receives literally hundreds of requests for third-party discovery for cases in which it has no involvement."
*******************************
1.
HEWLETT-PACKARD:
EXHIBIT A
1
Issued by the UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF CALIFORNIA
|
The SCO Group, Inc.
V.
International Business Machines Corporation
|
SUBPOENA IN A CIVIL CASE
CASE NUMBER:1 2:03CV-0294 District of Utah
|
To: Hewlett-Packard Company
[address, CA]
___YOU ARE COMMANDED to appear in the United States District Court at the place, date, and time specified below to testify in the above case.
|
PLACE OF TESTIMONY |
COURTROOM |
|
DATE and TIME
|
X YOU ARE COMMANDED to appear at the place, date, and time specified below to testify at the taking of a deposition in the above case.
The testimony will be recorded by the following method(s):
[ ] stenographic; [ ] sound; [X] sound and visual
|
PLACE OF DEPOSITION
LegaLink San Francisco
[address, CA]
|
DATE AND TIME
March 15, 2006
9:00 a.m.
|
X YOU ARE COMMANDED to produce and permit inspection and copying of the following documents or objects at the place,
date, and time specified below (list documents or objects):
See Attachment A
|
PLACE
LegaLink San Francisco
[address, CA]
|
DATE AND TIME
March 7, 2006
9:00 a.m.
|
____YOU ARE COMMANDED to permit inspection of the following premises at the date and time specified below. |
PREMISES
|
DATE and TIME |
Any organization not a party to this suit that is subpoenaed for the taking of a deposition shall designate one or more officer, directors, or managing agents, or other persons who consent to testify on its behalf, and may set forth, for each person designated, the matters on which the person will testify, Federal Rules of Civil Procedure, 30(b)(6).
|
ISSUING OFFICER SIGNATURE AND TITLE (INDICATE IF ATTORNEY FOR PLAINTIFF OR DEFENDANT)
[signature of David Marriott] Attorney for International Business Machines Corporation
|
DATE
February 21, 2006
|
ISSUING OFFICER'S NAME, ADDRESS AND PHONE NUMBER
David R. Marriott, Cravath, Swaine & Moore LLP, [address] New Yoork, NY [zip, phone]
|
(See Rule 45 Federal Rules of Civil Procedure, Parts C & D on Reverse)
1 If action is pending in district other than the district of issuance state district under case number.
2
PROOF OF SERVICE
Date ________
Place ___________
Served on(Print name) ___________
Manner of Service ___________
Served By (Print name)___________
Title __________
Declaration of Server
I declare under penalty of perjury under the laws of the United States of
America that the foregoing information contained in the Proof of Service is true
and correct.
Executed on ______
DATE
____________
SIGNATURE OF SERVER _____________
ADDRESS OF SERVER
Rule 45. Federal Rules of Civil Procedure, Parts C & D
(c) PROTECTION OF PERSONS SUBJECT TO SUBPOENAS.
(1) A party or an attorney responsible for the issuance and service of a
subpoena shall take reasonable steps to avoid imposing undue burden or expense
on a person subject to that subpoena. The court on behalf of which the subpoena
was issued shall enforce this duty and impose upon the party or attorney in
breach of this duty an appropriate sanction, which may include, but is not
limited to, lost earnings and a reaonable attorney's fee.
(2) (A) A person comanded to produce and permit inspection and copying of
designated books, papers, documents or tangible things, or inspection of
premises need not appear in person at the place of production or inspection
unless commanded to appear for deposition, hearing or trial.
(B) Subject to paragraph (d)(2) of this rule, a person commanded to produce and
permit inspection and copying may, within 14 days after service of the subpoena
or before the time specified for compliance if such time is less than 14 days
after service, serve upon the party or attorney designated in the subpoena
written objection to inspection or copying of any or all of the designated
materials or of the premises. If objection is made, the party serving the
subpoena shall not be entitled to inspect and copy the materials or inspect the
premises except pursuant to an order of the court by which the subpoena was
issued. If objection has been made, the party serving the subpoena may, upon
notice to the person commanded to produce, move at any time for an order to
compel the production. Such an order to compel production shall protect any
person who is not a party or an officer of a party from significant expense
resulting from the inspect and copying commanded.
(3) (A) On timely motion, the court by which a subpoena was issued shall quash
or modify the subpoena if it
(i) fails to allow reasonable time for compliance
(ii) requirs a person who is not a party or an officer of the party to travel
to a place more than 100 miles from the place where that person resides,
is employed or regularly transaction business in person, except that
subject to the provisions of clause (c)(3)(B)(ii) of this rule, such a
person may in order to attend trial be commanded to travel from any such
place within the satete in which the trial is held, or
(iii) requires disclosure of priviledged or other protected matter and not
exception or waiver applies, or
(iv) subject a person to undue burden.
(B) If a subpoena
(i) requires disclosure of a trade secret or other confidential research,
development, or commercial information or
(ii) requires disclosure of an unretained expert's opinion or information not
describing specific events or occurances in dispute and resulting from the
expert's study made not at the request of any party, or
(iii) requires a person who is not a party or an officer of a party to incur
substantial expense to travel more than 100 miles to attend trial, the
court may, to protect a person subject to or affected by the subpoena,
quash or modify the subpoena or, if the party in whose behalf the subpoena
is issued shows a substantial need for the testimony or material that
cannot be otherwise met without undue hardship and assures that the person
to whom the subpoena is address will be reasonably compensated, the court
may order appearance or production only upon specified conditions.
(d) DUTIES IN RESPONDING TO SUBPOENA
(1) A person responding to a subpoena to produce documents shall produce them as
they are kept in the usual course of business or shall organize and label them
to correspond with the categories in the demand.
(2) When information subject to a subpoena is withheld on a claim that it is
priviledged or subject to protection as trial preparation materials, the claim
shall be made expressly and shall be supported by a description of the nature of
the documents, comunications, or things not produces that is sufficient to
enable the demanding party to contest the claim.
3
Topics for 30(b)(6) Deposition of Hewlett-Packard Company
1. Agreements relating to any UNIX software product involving
Hewlett-Packard and AT&T, USL, Novell, Santa Cruz, or SCO, including but not limited to
software licensing agreements, sublicensing agreements, and letter agreements.
2. Agreements relating to any Hewlett-Packard software product involving
Hewlett-Packard and AT&T, USL, Novell, Santa Cruz, Tarantella, or SCO.
3. Hewlett-Packard's rights and obligations, vis-à-vis AT&T, USL, Novell,
Santa Cruz, Tarantella, and SCO, with respect to any Hewlett-Packard UNIX product.
4. Royalties paid by Hewlett-Packard with respect to any UNIX product.
5. Open sourcing of any Hewlett-Packard UNIX product or public disclosure
by Hewlett-Packard of the source code for any Hewlett-Packard UNIX product.
6. Origin of any UNIX source code publicly disclosed or open sourced by Hewlett-Packard.
7. Competition between Hewlett-Packard's operating system products and
UnixWare and OpenServer, including but not limited to the identity and the qualities and
characteristics of the products.
8. Restrictions or prohibitions on Hewlett-Packard employees having access
to any UNIX product, including, but not limited to, its source code.
9. All communications between Hewlett-Packard and SCO since June 28, 2002.
10. All agreements involving Hewlett-Packard and SCO.
11. The identity of and contact information for all representatives of Hewlett-Packard
who have had access to and worked with or developed UNIX source code, and
the other projects/products on which they have worked.
4
ATTACHMENT A TO SUBPOENA TO Hewlett-Packard Company
You are instructed to produce the following documents
at the time and place specified in the subpoena.
Documents To Be Produced
1. All documents concerning any agreement or license between
Hewlett-Packard and SCO or between Hewlett-Packard and any of SCO's predecessors
in interest for the use of any UNIX source code, including but not limited to all
documents relating to the terminability of any such license.
2. All documents concerning any agreements relating to any Hewlett-Packard
software product involving Hewlett-Packard and AT&T, USL, Novell, Santa
Cruz, Tarantella, or SCO.
3. All documents concerning Hewlett-Packard's rights and
obligations, vis-à-vis AT&T, USL, Novell, Santa Cruz, Tarantella, and SCO, with respect
to any Hewlett-Packard software product.
4. All documents concerning royalties paid by Hewlett-Packard with respect to any UNIX product.
5. All documents concerning open sourcing of any Hewlett-Packard
UNIX product or public disclosure by Hewlett-Packard of the source code for any
Hewlett-Packard UNIX product.
6. All documents concerning the origin of any UNIX source code
publicly disclosed or open sourced by Hewlett-Packard.
5
7. All documents concerning competition between Hewlett-Packard's
operating system products and Unixware or OpenServer, including but not limited to the
identity and the qualities and characteristics of the products.
8. All documents concerning restrictions or prohibitions on Hewlett-Packard
employees having access to UNIX source code.
9. All documents concerning any communications between Hewlett-Packard and SCO.
10. The identity of and contact information for all representatives of
Hewlett-Packard who have had access to and worked with or developed UNIX source
code, and the other projects/products on which they have worked.
11. All documents concerning any decision by any current or
prospective customer to use HP-UX instead of OpenServer or UnixWare occurring after
March 7, 2003.
12. All documents concerning any efforts to ensure or maintain the
secrecy or confidentiality of any UNIX source code, know-how, concepts, techniques, or
methods, including but not limited to: (a) any rule, policy, practice or procedure relating
to the confidentiality or secrecy, or lack of confidentiality or secrecy, of any UNIX
source code, know-how, concepts, techniques, or methods; any breach of any such rule,
policy, practice or procedure; (c) the use by any person of any UNIX source code, know-how,
concepts, techniques, or methods; and (d) the disclosure or availability of any UNIX
source code, know-how, concepts, techniques, or methods to any person.
13. Documents sufficient to identify all licensees, sublicensees or
assignees of any UNIX source code, know-how, concepts, techniques, or methods and all
6
persons to whom any UNIX source code, know-how, concepts, techniques, or methods
has been disclosed.
14. All documents concerning SCO's rights concerning UNIX or Linux.
15. All documents concerning any agreement or understanding
(written or oral) concerning SCO.
16. All documents concerning any decision, plan or offer by Hewlett-Packard
(contemplated or actual) to indemnify customers concerning SCO's alleged
rights concerning UNIX or Linux.
17. A copy of all UNIX materials and all soffivare materials (in
electronic form, where available), including but not limited to source code and user
manuals, obtained from SCO or any of SCO's predecessors in interest (including AT&T,
USL, Novell or Tarantella).
Definitions and Instructions
Defendant IBM hereby incorporates by reference all instructions,
definitions and rules contained in Rules 30, 33, 34, and 45 of the Federal Rules of Civil
Procedure and the local rules or individual practices of this Court and supplements them
with the following definitions and instructions;
A. Definitions
1. The term "communication" shall mean any transmittal of
information, whether oral or written, including correspondence, electronic mail and other
internet transmissions, web pages, Internet Relay Chat logs, telex, facsimile
transmissions, telecopies, recordings in any medium of oral communication, telephone
and message logs, notes or memoranda relating to written or oral communications.
7
2. The term "concerning" shall mean relating to, referring to,
reflecting, describing, evidencing, referencing, discussing or constituting.
3. The term "document" shall be synonymous in meaning and usage
to the broadest scope of the term used in Rule 34(a) of the Federal Rules of Civil
Procedure. The term document shall include without limitation all written, phonic,
graphic or recorded matter, including without limitation, information stored on
computers, disks, tapes (i.e., magnetic or other storage media), World Wide Web pages,
electronic mailing lists or automated fax support systems. The term "document"
specifically includes electronic mail, electronic correspondence, or electronic peer-to-peer messages
("e-mail") and any attachments and files created and maintained in
electronic form in the normal course of business.
4. The term "include" or "including" shall mean including without limitation.
5. The term "object code" shall mean output from a compiler or
assembler which is itself executable machine code or is suitable for processing to produce
executable machine code.
6. The term "person" refers to natural persons or all private or public entities.
7. The term "Santa Cruz" shall mean and include, collectively and/or
individually, The Santa Cruz Operation, Inc. and all its directors, officers, authorized
agents, employees, consultants, attorneys, representatives, direct and indirect contractors,
entities that were acquired by or merged with The Santa Cruz Operation, Inc., and/or all
other persons acting on behalf of The Santa Cruz Operation, Inc.
8
8. The term "SCO" shall mean and include, collectively and/or
individually, Caldera Systems, Inc., Caldera International, Inc., or The SCO Group, Inc.,
and all its directors, officers, authorized agents, employees, consultants, attorneys, sales
representatives, distributors, dealers, direct and indirect contractors, entities that were in
part or in whole acquired by or merged with Caldera Systems, Inc., Caldera International,
Inc., or The SCO Group, Inc., affiliates, subsidiaries or predecessor companies of Caldera
Systems, Inc., Caldera International, Inc., or The SCO Group, Inc., and/or all other
persons acting on behalf of Caldera Systems, Inc., Caldera International, Inc., or The
SCO Group, Inc. This includes the Server Software and Professional Services divisions
acquired in 2001 by Caldera International, Inc. from Tarantella, Inc., f/k/a The Santa
Cruz Operation, Inc.
9. The term "source code" shall mean the human-readable form of a
computer program written in the original and preferred form for human inspection and
modification, and includes but is not limited to source code listings; compiler and/or
assembler output listings for such source code; source code listings for macros or
"includes" (both executable and mapping) listings used in such source code; job control
language files; and/or other files required to create an executable version of a program,
including but not limited to user interface components; panels; screen definitions and
help text; and c-lists.
10. The term "HP-UX" shall mean the UNIX-branded operating
system distributed and/or developed by Hewlett-Packard, including all prior versions,
releases and maintenance modifications.
9
11. The term "Hewlett-Packard" shall mean and include, collectively
and/or individually, Hewlett-Packard Company and all its directors, officers, authorized
agents, employees, consultants, attorneys, sales representatives, distributors, dealers,
direct and indirect contractors, entities that were acquired by or merged with Hewlett-Packard,
subsidiaries of Hewlett-Packard, and/or all other persons acting on behalf of Hewlett-Packard.
12. The term "UNIX" shall mean any and all versions, flavors, or other
variants of any UNIX computer operating system, including but not limited to all
operating systems certified as conforming to the UNIX-brand standards set by The Open
Group, the owner of the UNIX trademark.
13. The term "AT&T" shall mean and include, collectively and/or
individually, AT&T Corporation and all its directors, officers, authorized agents,
employees, consultants, attorneys, sales representatives, direct and indirect contractors,
entities that were acquired by or merged with AT&T, subsidiaries of AT&T, including
but not limited to AT&T Technologies, Inc., and/or all other persons acting on behalf of
AT&T.
14. The term "USL" shall mean and include, collectively and/or
individually, UNIX Systems Laboratories, Inc. and all its directors, officers, authorized
agents, employees, consultants, attorneys, sales representatives, direct and indirect
contractors, entities that were acquired by or merged with USL, subsidiaries of USL,
and/or all other persons acting on behalf of USL.
15. The term "Novell" shall mean and include, collectively and/or
individually, Novell, Inc. and all its directors, officers, authorized agents, employees,
10
consultants, attorneys, sales representatives, direct and indirect contractors, entities that
were acquired by or merged with Novell, subsidiaries of Novell, and/or all other persons
acting on behalf of Novell.
16. The term "Tarantella" shall mean and include, collectively and/or
individually, Tarantella, Inc. and all its directors, officers, authorized agents, employees,
consultants, attorneys, sales representatives, direct and indirect contractors, entities that
were acquired by or merged with Tarantella, subsidiaries of Tarantella, and/or all other
persons acting on behalf of Tarantella.
B. Instructions
1. Each paragraph should herein be construed independently and,
unless otherwise directed, without reference to any other paragraph for the purpose of limitation.
2. The use of any definition for the purposes of this request shall not
be deemed to constitute an agreement or acknowledgment on the part of defendant that
such definition is accurate, meaningful or appropriate for any other purpose in this action.
3. Unless otherwise specified, the documents requested are the
responsive documents in your possession, control or custody that were prepared, written,
sent, dated, received, applicable or in effect at any time up to the date of your compliance
with this demand.
4. Each requested document shall be produced in its entirety. If a
document responsive to any request cannot be produced in full, it shall be produced to the
extent possible with an explanation stating why production of the remainder is not
possible.
11
5. Each page or sheet produced is to be marked with a consecutive
document control number.
6. All documents produced in response to this subpoena shall be
produced in the same order as they are kept or maintained in the ordinary course of
business and, where attached, shall not be separated or disassembled.
7. With respect to any document responsive to this request that is
withheld from production based upon a claim of privilege, please provide the information
required pursuant to Rules 26(b)(5) and 45(d)(2) of the federal Rules of Civil Procedure.
8. If, for reasons other than a claim of privilege, you refuse to
produce any document requested herein, state the grounds upon which the refusal is
based with sufficient specificity to permit a determination of the propriety of such refusal.
9. If there were no documents responsive to any paragraph or
subparagraph set forth in the requests, please provide a written response so stating.
12
2. BAYSTAR CAPITAL:
EXHIBIT B
1
Issued by the UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF CALIFORNIA
|
The SCO Group, Inc.
V.
International Business Machines Corporation
|
SUBPOENA IN A CIVIL CASE
CASE NUMBER:1 2:03CV-0294 District of Utah
|
To: Baystar Capital
[address, CA]
___YOU ARE COMMANDED to appear in the United States District Court at the place, date, and time specified below to testify in the above case.
|
PLACE OF TESTIMONY |
COURTROOM |
|
DATE and TIME
|
X YOU ARE COMMANDED to appear at the place, date, and time specified below to testify at the taking of a deposition in the above case.
The testimony will be recorded by the following method(s):
[ ] stenographic; [ ] sound; [X] sound and visual
|
PLACE OF DEPOSITION
LegaLink San Francisco
[address, CA]
|
DATE AND TIME
March 16, 2006
9:00 a.m.
|
X YOU ARE COMMANDED to produce and permit inspection and copying of the following documents or objects at the place,
date, and time specified below (list documents or objects):
See Attachment A
|
PLACE
LegaLink San Francisco
[address, CA]
|
DATE AND TIME
March 7, 2006
9:00 a.m.
|
____YOU ARE COMMANDED to permit inspection of the following premises at the date and time specified below. |
PREMISES
|
DATE and TIME |
Any organization not a party to this suit that is subpoenaed for the taking of a deposition shall designate one or more officer, directors, or managing agents, or other persons who consent to testify on its behalf, and may set forth, for each person designated, the matters on which the person will testify, Federal Rules of Civil Procedure, 30(b)(6).
|
ISSUING OFFICER SIGNATURE AND TITLE (INDICATE IF ATTORNEY FOR PLAINTIFF OR DEFENDANT)
[signature of David Marriott] Attorney for International Business Machines Corporation
|
DATE
February 21, 2006
|
ISSUING OFFICER'S NAME, ADDRESS AND PHONE NUMBER
David R. Marriott, Cravath, Swaine & Moore LLP, [address] New York, NY [zip, phone]
|
(See Rule 45 Federal Rules of Civil Procedure, Parts C & D on Reverse)
1 If action is pending in district other than the district of issuance state district under case number.
2
PROOF OF SERVICE
Date ________
Place_________
Served on(Print name)_________
Manner of Service___________
Served By (Print name)________
Title ________
Declaration of Server
I declare under penalty of perjury under the laws of the United States of
America that the foregoing information contained in the Proof of Service is true
and correct.
Executed on
______
DATE
____________
SIGNATURE OF SERVER _____________
ADDRESS OF SERVER
Rule 45. Federal Rules of Civil Procedure, Parts C & D
(c) PROTECTION OF PERSONS SUBJECT TO SUBPOENAS.
(1) A party or an attorney responsible for the issuance and service of a
subpoena shall take reasonable steps to avoid imposing undue burden or expense
on a person subject to that subpoena. The court on behalf of which the subpoena
was issued shall enforce this duty and impose upon the party or attorney in
breach of this duty an appropriate sanction, which may include, but is not
limited to, lost earnings and a reaonable attorney's fee.
(2) (A) A person comanded to produce and permit inspection and copying of
designated books, papers, documents or tangible things, or inspection of
premises need not appear in person at the place of production or inspection
unless commanded to appear for deposition, hearing or trial.
(B) Subject to paragraph (d)(2) of this rule, a person commanded to produce and
permit inspection and copying may, within 14 days after service of the subpoena
or before the time specified for compliance if such time is less than 14 days
after service, serve upon the party or attorney designated in the subpoena
written objection to inspection or copying of any or all of the designated
materials or of the premises. If objection is made, the party serving the
subpoena shall not be entitled to inspect and copy the materials or inspect the
premises except pursuant to an order of the court by which the subpoena was
issued. If objection has been made, the party serving the subpoena may, upon
notice to the person commanded to produce, move at any time for an order to
compel the production. Such an order to compel production shall protect any
person who is not a party or an officer of a party from significant expense
resulting from the inspect and copying commanded.
(3) (A) On timely motion, the court by which a subpoena was issued shall quash
or modify the subpoena if it
(i) fails to allow reasonable time for compliance
(ii) requirs a person who is not a party or an officer of the party to travel
to a place more than 100 miles from the place where that person resides,
is employed or regularly transaction business in person, except that
subject to the provisions of clause (c)(3)(B)(ii) of this rule, such a
person may in order to attend trial be commanded to travel from any such
place within the satete in which the trial is held, or
(iii) requires disclosure of priviledged or other protected matter and not
exception or waiver applies, or
(iv) subject a person to undue burden.
(B) If a subpoena
(i) requires disclosure of a trade secret or other confidential research,
development, or commercial information or
(ii) requires disclosure of an unretained expert's opinion or information not
describing specific events or occurances in dispute and resulting from the
expert's study made not at the request of any party, or
(iii) requires a person who is not a party or an officer of a party to incur
substantial expense to travel more than 100 miles to attend trial, the
court may, to protect a person subject to or affected by the subpoena,
quash or modify the subpoena or, if the party in whose behalf the subpoena
is issued shows a substantial need for the testimony or material that
cannot be otherwise met without undue hardship and assures that the person
to whom the subpoena is address will be reasonably compensated, the court
may order appearance or production only upon specified conditions.
(d) DUTIES IN RESPONDING TO SUBPOENA
(1) A person responding to a subpoena to produce documents shall produce them as
they are kept in the usual course of business or shall organize and label them
to correspond with the categories in the demand.
(2) When information subject to a subpoena is withheld on a claim that it is
priviledged or subject to protection as trial preparation materials, the claim
shall be made expressly and shall be supported by a description of the nature of
the documents, comunications, or things not produces that is sufficient to
enable the demanding party to contest the claim.
3
Topics for 30(b)(6) Deposition of Baystar Capital
1. Communications between Baystar and SCO.
2. Agreements involving Baystar and SCO.
3. Baystar's relationship with SCO.
4. Statements made by Baystar about SCO.
5. Baystar's investment in SCO.
6. Baystar's knowledge of SCO's business.
7. Communications between Baystar and Microsoft regarding SCO, IBM, or this litigation.
8. Baystar's response to and efforts to comply with this subpoena and IBM's subpoena to Baystar dated May 10, 2004.
4
ATTACHMENT A TO SUBPOENA TO BAYSTAR CAPITAL
You are instructed to produce the following documents
at the time and place specified in the subpoena.
Documents To Be Produced
1. All documents concerning communications between Baystar and SCO.
2. All documents concerning agreements involving Baystar and SCO.
3. All documents concerning Baystar's relationship with SCO.
4. All documents concerning statements made by Baystar about SCO.
5. All documents concerning Baystar's investment in SCO.
6. All documents concerning Baystar's knowledge of SCO's business.
7. All documents concerning communications between Baystar and Microsoft regarding SCO, IBM, or this litigation.
Definitions and Instructions
Defendant IBM hereby incorporates by reference all instructions,
definitions and rules contained in Rules 30, 33, 34, and 45 of the Federal Rules of Civil
Procedure and the local rules or individual practices of this Court and supplements them
with the following definitions and instructions:
A. Definitions
1. The term "communication" shall mean any transmittal of
information, whether oral or written, including correspondence, electronic mail and other
internet transmissions, web pages, Internet Relay Chat logs, telex, facsimile
transmissions, telecopies, recordings in any medium of oral communication, telephone
and message logs, notes or memoranda relating to written or oral communications.
5
2. The term "concerning" shall mean relating to, referring to,
reflecting, describing, evidencing, referencing, discussing or constituting.
3. The term "document" shall be synonymous in meaning and usage
to the broadest scope of the term used in Rule 34(a) of the Federal Rules of Civil
Procedure. The term document shall include without limitation all written, phonic,
graphic or recorded matter, including without limitation, information stored on
computers, disks, tapes (i.e., magnetic or other storage media), World Wide Web pages,
electronic mailing lists or automated fax support systems. The term "document"
specifically includes electronic mail, electronic correspondence, or electronic peer-to-peer messages
("e-mail") and any attachments and files created and maintained in
electronic form in the normal course of business.
4. The term "person" refers to natural persons or all private or public entities.
5. The term "SCO" shall mean and include, collectively and/or
individually, Caldera Systems, Inc., Caldera International, Inc., or The SCO Group, Inc.,
and all its directors, officers, authorized agents, employees, consultants, attorneys, sales
representatives, distributors, dealers, direct and indirect contractors, entities that were in
part or in whole acquired by or merged with Caldera Systems, Inc., Caldera International,
Inc., or The SCO Group, Inc., affiliates, subsidiaries or predecessor companies of Caldera
Systems, Inc., Caldera International, Inc., or The SCO Group, Inc., and/or all other
persons acting on behalf of Caldera Systems, Inc., Caldera International, Inc., or The
SCO Group, Inc. This includes the Server Software and Professional Services divisions
6
acquired in 2001 by Caldera International, Inc. from Tarantella, Inc., f/k/a The Santa
Cruz Operation, Inc.
6. The term "Baystar" shall mean and include, collectively and/or individually, Baystar Captial and all its directors, officers, authorized agents, employees, consultants, attorneys, representatives, direct and indirect contractors, and/or all other persons acting on behalf of Baystar Capital.
7. The term "Microsoft" shall mean and include, collectively
and/or individually, Microsoft Corporation and all its directors, officers, authorized
agents, employees, consultants, attorneys, representatives,
direct and indirect contractors, and/or all other persons acting on behalf of Microsoft Corporation.
B. Instructions
1. Each paragraph should herein be construed independently and,
unless otherwise directed, without reference to any other paragraph for the purpose of limitation.
2. The use of any definition for the purposes of this request shall not
be deemed to constitute an agreement or acknowledgment on the part of defendant that
such definition is accurate, meaningful or appropriate for any other purpose in this action.
3. Unless otherwise specified, the documents requested are the
responsive documents in your possession, control or custody that were prepared, written,
sent, dated, received, applicable or in effect at any time up to the date of your compliance
with this demand.
4. Each requested document shall be produced in its entirety. If a
document responsive to any request cannot be produced in full, it shall be produced to the
7
extent possible with an explanation stating why production of the remainder is not
possible.
5. Each page or sheet produced is to be marked with a consecutive
document control number.
6. All documents produced in response to this subpoena shall be
produced in the same order as they are kept or maintained in the ordinary course of
business and, where attached, shall not be separated or disassembled.
7. With respect to any document responsive to this request that is
withheld from production based upon a claim of privilege, please provide the information
required pursuant to Rules 26(b)(5) and 45(d)(2) of the federal Rules of Civil Procedure.
8. If, for reasons other than a claim of privilege, you refuse to
produce any document requested herein, state the grounds upon which the refusal is
based with sufficient specificity to permit a determination of the propriety of such refusal.
9. If there were no documents responsive to any paragraph or
subparagraph set forth in the requests, please provide a written response so stating.
8
3. MICROSOFT:
EXHIBIT C
1
Issued by the UNITED STATES DISTRICT COURT WESTERN DISTRICT OF WASHINGTON
|
The SCO Group, Inc.
V.
International Business Machines Corporation
|
SUBPOENA IN A CIVIL CASE
CASE NUMBER:1 2:03CV-0294 District of Utah
|
To: Microsoft Corporation
[address, WA]
___YOU ARE COMMANDED to appear in the United States District Court at the place, date, and time specified below to testify in the above case.
|
PLACE OF TESTIMONY |
COURTROOM |
|
DATE and TIME
|
X YOU ARE COMMANDED to appear at the place, date, and time specified below to testify at the taking of a deposition in the above case.
The testimony will be recorded by the following method(s):
[ ] stenographic; [ ] sound; [X] sound and visual
|
PLACE OF DEPOSITION
Premiere Realtime Reporting and Video
[address, WA]
|
DATE AND TIME
March 14, 2006
9:00 a.m.
|
X YOU ARE COMMANDED to produce and permit inspection and copying of the following documents or objects at the place,
date, and time specified below (list documents or objects):
See Attachment A
|
PLACE
Premiere Realtime Reporting and Video
[address, WA]
|
DATE AND TIME
March 7, 2006
9:00 a.m.
|
____YOU ARE COMMANDED to permit inspection of the following premises at the date and time specified below. |
PREMISES
|
DATE and TIME |
Any organization not a party to this suit that is subpoenaed for the taking of a deposition shall designate one or more officer, directors, or managing agents, or other persons who consent to testify on its behalf, and may set forth, for each person designated, the matters on which the person will testify, Federal Rules of Civil Procedure, 30(b)(6).
|
ISSUING OFFICER SIGNATURE AND TITLE (INDICATE IF ATTORNEY FOR PLAINTIFF OR DEFENDANT)
[signature of David Marriott] Attorney for International Business Machines Corporation
|
DATE
February 21, 2006
|
ISSUING OFFICER'S NAME, ADDRESS AND PHONE NUMBER
David R. Marriott, Cravath, Swaine & Moore LLP, [address] New York, NY [zip, phone]
|
(See Rule 45 Federal Rules of Civil Procedure, Parts C & D on Reverse)
1 If action is pending in district other than the district of issuance state district under case number.
2
PROOF OF SERVICE
Date ________
Place _________
Served on(Print name)________
Manner of Service __________
Served By (Print name)__________
Title ______________
Declaration of Server
I declare under penalty of perjury under the laws of the United States of
America that the foregoing information contained in the Proof of Service is true
and correct.
Executed on ______
DATE
____________
SIGNATURE OF SERVER _____________
ADDRESS OF SERVER
Rule 45. Federal Rules of Civil Procedure, Parts C & D
(c) PROTECTION OF PERSONS SUBJECT TO SUBPOENAS.
(1) A party or an attorney responsible for the issuance and service of a
subpoena shall take reasonable steps to avoid imposing undue burden or expense
on a person subject to that subpoena. The court on behalf of which the subpoena
was issued shall enforce this duty and impose upon the party or attorney in
breach of this duty an appropriate sanction, which may include, but is not
limited to, lost earnings and a reaonable attorney's fee.
(2) (A) A person comanded to produce and permit inspection and copying of
designated books, papers, documents or tangible things, or inspection of
premises need not appear in person at the place of production or inspection
unless commanded to appear for deposition, hearing or trial.
(B) Subject to paragraph (d)(2) of this rule, a person commanded to produce and
permit inspection and copying may, within 14 days after service of the subpoena
or before the time specified for compliance if such time is less than 14 days
after service, serve upon the party or attorney designated in the subpoena
written objection to inspection or copying of any or all of the designated
materials or of the premises. If objection is made, the party serving the
subpoena shall not be entitled to inspect and copy the materials or inspect the
premises except pursuant to an order of the court by which the subpoena was
issued. If objection has been made, the party serving the subpoena may, upon
notice to the person commanded to produce, move at any time for an order to
compel the production. Such an order to compel production shall protect any
person who is not a party or an officer of a party from significant expense
resulting from the inspect and copying commanded.
(3) (A) On timely motion, the court by which a subpoena was issued shall quash
or modify the subpoena if it
(i) fails to allow reasonable time for compliance
(ii) requirs a person who is not a party or an officer of the party to travel
to a place more than 100 miles from the place where that person resides,
is employed or regularly transaction business in person, except that
subject to the provisions of clause (c)(3)(B)(ii) of this rule, such a
person may in order to attend trial be commanded to travel from any such
place within the satete in which the trial is held, or
(iii) requires disclosure of priviledged or other protected matter and not
exception or waiver applies, or
(iv) subject a person to undue burden.
(B) If a subpoena
(i) requires disclosure of a trade secret or other confidential research,
development, or commercial information or
(ii) requires disclosure of an unretained expert's opinion or information not
describing specific events or occurances in dispute and resulting from the
expert's study made not at the request of any party, or
(iii) requires a person who is not a party or an officer of a party to incur
substantial expense to travel more than 100 miles to attend trial, the
court may, to protect a person subject to or affected by the subpoena,
quash or modify the subpoena or, if the party in whose behalf the subpoena
is issued shows a substantial need for the testimony or material that
cannot be otherwise met without undue hardship and assures that the person
to whom the subpoena is address will be reasonably compensated, the court
may order appearance or production only upon specified conditions.
(d) DUTIES IN RESPONDING TO SUBPOENA
(1) A person responding to a subpoena to produce documents shall produce them as
they are kept in the usual course of business or shall organize and label them
to correspond with the categories in the demand.
(2) When information subject to a subpoena is withheld on a claim that it is
priviledged or subject to protection as trial preparation materials, the claim
shall be made expressly and shall be supported by a description of the nature of
the documents, comunications, or things not produces that is sufficient to
enable the demanding party to contest the claim.
3
Topics for 30(b)(6) Deposition of Microsoft Corporation
1. Agreements relating to any UNIX product involving Microsoft and AT&T, USL, Novell, Santa Cruz or SCO, including but not limited to: (a) the software licensing agreements with AT&T executed by Microsoft on December 1, 1981, August 13, 1986 and May 27, 1988; (b) the sublicensing agreement with AT&T executed by Microsoft on October 9, 1986; (c) the letter agreements with AT&T acknowledged by Microsoft on October 13, 1983, June 3, 1984, January 17, 1985, September 30, 1985, December 10, 1985, August 21, 1986, October 1, 1986, June 26 1989, January 31, 1990, June 6, 1990, and July 20, 1990; (d) the letter agreement with USL acknowledged by Microsoft on June 16, 1992; (e) any SCOSource license agreement with SCO; and (f) the Release, License and Option Agreement with SCO effective as of April 29, 2003, and amendments thereto.
2. Agreements relating to any Microsoft UNIX product involving Microsoft and AT&T, USL, Novell, Santa Cruz, or SCO.
3. Microsoft's rights and obligations, vis-à-vis AT&T, USL, Novell, Santa Cruz, and SCO, with respect to any Microsoft UNIX product.
4. Royalties paid by Microsoft with respect to any UNIX product.
5. Origin of any UNIX source code publicly disclosed or open sourced by Microsoft.
6. Competition between Microsoft's operating system products and UnixWare and OpenServer, including but not limited to the identity and quantities and characteristics of the products.
7. Restrictions or prohibitions on Microsoft employees having access to any UNIX product, including, but not limited to, its source code.
4
8. The antitrust litigation brought against Microsoft by Caldera, Inc. in the United States District Court for the District of Utah.
9. All communications between Microsoft and SCO since June 28, 2002, including but not limited to Darl McBride's May 2003 communication with Steven Ballmer regarding SCO's rights to the UNIX operating system.
10. All agreements involving Microsoft and SCO.
11. The identity of and contact information for all representatives of Microsoft who have had access to and worked with or developed UNIX source code, and the other projects/products on which they have worked.
12. Microsoft's business strategy regarding Linux.
13. All communications or agreements relating to SCO or this litigation, including all communications with Baystar, Royal Bank of Canada, and Everyone's Internet, Ltd.
5
ATTACHMENT A TO SUBPOENA TO MICROSOFT CORPORATION
You are instructed to produce the following documents at the time and place specified in the subpoena.
Documents To Be Produced
- All documents concerning agreements involving Microsoft and AT&T, USL, Novell, Santa Cruz, or SCO relating to any UNIX product.
- All documents concerning Microsoft's rights and obligations, vis-à-vis AT&T, USL, Novell, Santa Cruz, and SCO, with respect to any Microsoft UNIX product.
- All documents concerning royalties paid by Microsoft with respect to any UNIX product.
- All documents concerning the origin of any UNIX source code publicly disclosed or open sourced by Microsoft.
- All documents concerning competition between Microsoft's operating system products and UnixWare and OpenServer, including but not limited to the identity and the qualities and characteristics of the products.
- All documents concerning restrictions or prohibitions on Microsoft employees having access to any UNIX product.
- All documents concerning the antitrust litigation brought against Microsoft by Caldera, Inc. in the United States District Court for the District of Utah.
- All documents concerning any communications between Microsoft and SCO since June 28, 2002.
6
- All documents concerning any agreements involving Microsoft and SCO, including but not limited to Darl McBride's May 2003 communication with Steven Ballmer regarding SCO's rights to the UNIX operating system.
- All documents concerning the identity of and contact information for all representatives of Microsoft who have had access to and worked with or developed UNIX source code, and the other projects/products on which they have worked.
- All documents concerning Microsoft's business strategy regarding Linux.
- All documents concerning communications or agreements relating to SCO or this litigation, including all communications with SCO's employees, shareholders, directors, officers, Baystar, Canopy, Royal Bank of Canada, and/or Everyone's Internet, Ltd..
- All documents concerning any contracts relating to UNIX or Linux, including but not limited to licenses, licensing agreements, software agreements and sublicensing agreements.
- All documents concerning communications or agreements relating to SCO or this litigation, including all communications with Baystar, Royal Bank of Canada, and Everyone's Internet, Ltd.
- A copy of all UNIX materials and all software materials (in electronic form, where available), including but not limited to source code and user manuals, obtained from SCO or any of SCO's predecessors in interest (including AT&T, USL, Novell or Tarantella).
7
Definitions and Instructions
The instructions, definitions, and rules contained in the Federal Rules of Civil Procedure, including in particular Rules 30, 33, 34, and 45, and the local rules or individual practices of this Court are incorporated herein by reference and supplemented with the following definitions and instructions:
A. Definitions
1. The term "communication" shall mean any transmittal of information, whether oral or written, including correspondence, electronic mail and other internet transmissions, web pages, Internet Relay Chat logs, instant messages, telexes, facsimile transmissions, telecopies, recordings in any medium or oral communication, telephone or message logs, or notes or memoranda concerning written or oral communications.
2. The term "Canopy" shall mean and include, collectively and/or individually, The Canopy Group, Inc. and all its directors, officers, authorized agents, employees, consultants, attorneys, representatives, direct and indirect contractors, and/or all other persons acting on behalf of The Canopy Group, Inc.
3. The term "concerning" shall mean relating to, referring to, reflecting, describing, evidencing, referencing, discussing or constituting.
4. The term "document" shall be synonymous in meaning and usage with the broadest scope of the term used in Rule 34(a) of the Federal Rules of Civil Procedure. The term "document" shall include without limitation all written, phonic, graphic or recorded matter, including without limitation, information stored on computers, disks, tapes (i.e., magnetic or other storage media), World Wide Web pages,
8
electronic mailing lists or automated fax support systems. The term "document" specifically includes electronic mail, electronic correspondence, or electronic peer-to-peer messages ("e-mail") and any attachments and files created and maintained in electronic form in the normal course of business.
5. The term "including" shall mean including without limitiation.
6. The term "Linux" shall mean any and all versions, or other variants of any Linux computer operating system, including but not limited to any Linux kernel and/or GNU tools suite.
7. The term "Microsoft" shall mean and include, collectively and/or individually, Microsoft Corporation and all of its directors, officers, authorized agents, employees, consultants, attorneys, representatives, direct and indirect contractors, and/or all persons acting on behalf of Microsoft Corporation.
8. The term "person" shall mean any natural person or any private or public entity.
9. The term "Santa Cruz" shall mean and include, collectively and/or individually, The Santa Cruz Operation, Inc. and all its directors, officers, authorized agents, employees, consultants, attorneys, representatives, direct and indirect contractors, entities that were acquired by or merged with The Santa Cruz Operation, Inc., and/or all other persons acting on behalf of The Santa Cruz Operation, Inc.
10. The term "SCO" shall mean and include, collectively and/or individually, plaintiff Caldera Systems, Inc., Caldera International, Inc., or The SCO Group, Inc., and all its directors, officers, authorized agents, employees, consultants, attorneys, sales representatives, direct and indirect contractors, entities that were in part
9
or in whole acquired by or merged with Caldera Systems, Inc., Caldera International, Inc., or The Santa Cruz Operation, Inc., affiliates, subsidiaries or predecessor companies of Caldera Systems, Inc., Caldera International, Inc., or The Santa Cruz Operation, Inc. This includes the Server Software and Professional Services divisions acquired in 2001 by Caldera International, Inc. from Tarantella, Inc., f/k/a The Santa Cruz Operation, Inc.
11. The term "source code" shall mean the human-readable form of a computer program written in the original and preferred form for human inspection and modification, and includes but is not limited to source code listings; compiler and/or assembler output listings for such source code; source code listings for macros or "includes" (both executable and mapping) listings used in such source code; job control language files; and/or other files required to create an executable version of a program, including but not limited to user interface components; panels; screen definitions and help text; and c-lists.
12. The term "UNIX" shall mean all predecessors to, and versions of, the UNIX System V computer operating system, including but not limited to: UNIX System III; UNIX System IV; UNIX System V; UNIX System V Release 2; UNIX System V Release 3; UNIX System V Release 4; UNIX System V/286; and/or UNIX System V/386.
14. The term "AT&T" shall mean and include, collectively and/or individually, AT&T Corporation and all its directors, officers, authorized agents, employees, consultants, attorneys, sales representatives, direct and indirect contractors,
10
entities that were acquired by or merged with AT&T, subsidiaries of AT&T, including but not limited to AT&T Technologies, Inc., and/or all other persons acting on behalf of AT&T.
15.The term "Baystar" shall mean and include, collectively and/or individually, Baystar Capital and all its directors, officers, authorized agents, employees, consultants, attorneys, representatives, direct and indirect contractors, and/or all other persons acting on behalf of Baystar Capital.
16. The term "USL" shall mean and include, collectively and/or individually, UNIX Systems Laboratories, Inc. and all its directors, officers, authorized agents, employees, consultants, attorneys, sales representatives, direct and indirect contractors, entities that were acquired by or merged with USL, subsidiaries of USL, and/or all other persons acting on behalf of USL.
18. The term "Novell" shall mean and include, collectively and/or individually, Novell, Inc. and all its directors, officers, authorized agents, employees, consultants, attorneys, sales representatives, direct and indirect contractors, entities that were acquired by or merged with Novell, subsidiaries of Novell, and/or all other persons acting on behalf of Novell.
19. The term "Tarantella" shall mean and include, collectively and/or individually, Tarantella, Inc. and all its directors, officers, authorized agents, employees, consultants, attorneys, sales representatives, direct and indirect contractors, entities that were acquired by or merged with Tarantella, subsidiaries of Tarantella, and/or all other persons acting on behalf of Tarantella.
11
20. The term "Everyone's Internet, Ltd." shall mean and include, collectively and/or individually, Everyone's Internet, Ltd. and all its directors, officers, authorized agents, employees, consultants, attorneys, sales representatives, direct and indirect contractors, entities that were acquired by or merged with Everyone's Internet, Ltd., subsidiaries of Everyone's Internet, Ltd., and/or all other persons acting on behalf of Everyone's Internet, Ltd.
B. Instructions
1. Each paragraph should herein be construed independently and, unless otherwise directed, without reference to any other paragraph for the purpose of limitation.
2. The use of any definition for the purposes of this request shall not be deemed to constitute an agreement or acknowledgment on the part of IBM that such definition is accurate, meaningful or appropriate for any other purpose in this action.
3. Each requested document shall be produced in its entirety. If a document responsive to any request cannot be produced in full, it shall be produced to the extent possible with an explanation stating why production of the remainder is not possible.
12
4. Each page or sheet produced is to be marked with a consecutive document control number.
5. All documents produced in response to this subpoena shall be produced in the same order as they are kept or maintained in the ordinary course of business and, where attached, shall not be separated or disassembled.
6. All documents produced in response to the subpoena shall be produced, where available, in electronic or machine-readable form.
7. With respect to any document responsive to this subpoena that is withheld from production upon claim of privilege, please provide the information required pursuant to Rules 26(b)(5) and 45(d)(2) of the Federal Rules of Civil Procedure.
8. If, for reasons other than a claim of privilege, you refuse to produce any document subpoenaed herein, state the grounds upon which the refusal is based with sufficient specificity to permit a determination of the propriety of such refusal.
9. If there are no documents responsive to any paragraph or subparagraph set forth in the subpoena, please provide a written response so stating.
13
4. SUN MICROSYSTEMS:
EXHIBIT D
1
Issued by the UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF CALIFORNIA
|
The SCO Group, Inc.
V.
International Business Machines Corporation
|
SUBPOENA IN A CIVIL CASE
CASE NUMBER:1 2:03CV-0294 District of Utah
|
To: Sun Microsystems, Inc.
[address, CA]
___YOU ARE COMMANDED to appear in the United States District Court at the place, date, and time specified below to testify in the above case.
|
PLACE OF TESTIMONY |
COURTROOM |
|
DATE and TIME
|
X YOU ARE COMMANDED to appear at the place, date, and time specified below to testify at the taking of a deposition in the above case.
The testimony will be recorded by the following method(s):
[ ] stenographic; [ ] sound; [X] sound and visual
|
PLACE OF DEPOSITION
Bell & Myers
[address, CA]
|
DATE AND TIME
March 7, 2006
9: 00 a.m.
|
X YOU ARE COMMANDED to produce and permit inspection and copying of the following documents or objects at the place,
date, and time specified below (list documents or objects):
See Attachment A
|
PLACE
Bell & Myers
[address, CA]
|
DATE AND TIME
March 7, 2006
9:00 a.m.
|
____YOU ARE COMMANDED to permit inspection of the following premises at the date and time specified below. |
PREMISES
|
DATE and TIME |
Any organization not a party to this suit that is subpoenaed for the taking of a deposition shall designate one or more officer, directors, or managing agents, or other persons who consent to testify on its behalf, and may set forth, for each person designated, the matters on which the person will testify, Federal Rules of Civil Procedure, 30(b)(6).
|
ISSUING OFFICER SIGNATURE AND TITLE (INDICATE IF ATTORNEY FOR PLAINTIFF OR DEFENDANT)
[signature of David Marriott] Attorney for International Business Machines Corporation
|
DATE
February 21, 2006
|
ISSUING OFFICER'S NAME, ADDRESS AND PHONE NUMBER
David R. Marriott, Cravath, Swaine & Moore LLP, [address] New York, NY [zip, phone]
|
(See Rule 45 Federal Rules of Civil Procedure, Parts C & D on Reverse)
1 If action is pending in district other than the district of issuance state district under case number.
2
PROOF OF SERVICE
Date _______
Place _________
Served on(Print name) __________
Manner of Service ___________
Served By (Print name) _________
Title __________
Declaration of Server
I declare under penalty of perjury under the laws of the United States of
America that the foregoing information contained in the Proof of Service is true
and correct.
Executed on ______
DATE
____________
SIGNATURE OF SERVER _____________
ADDRESS OF SERVER
Rule 45. Federal Rules of Civil Procedure, Parts C & D
(c) PROTECTION OF PERSONS SUBJECT TO SUBPOENAS.
(1) A party or an attorney responsible for the issuance and service of a
subpoena shall take reasonable steps to avoid imposing undue burden or expense
on a person subject to that subpoena. The court on behalf of which the subpoena
was issued shall enforce this duty and impose upon the party or attorney in
breach of this duty an appropriate sanction, which may include, but is not
limited to, lost earnings and a reaonable attorney's fee.
(2) (A) A person comanded to produce and permit inspection and copying of
designated books, papers, documents or tangible things, or inspection of
premises need not appear in person at the place of production or inspection
unless commanded to appear for deposition, hearing or trial.
(B) Subject to paragraph (d)(2) of this rule, a person commanded to produce and
permit inspection and copying may, within 14 days after service of the subpoena
or before the time specified for compliance if such time is less than 14 days
after service, serve upon the party or attorney designated in the subpoena
written objection to inspection or copying of any or all of the designated
materials or of the premises. If objection is made, the party serving the
subpoena shall not be entitled to inspect and copy the materials or inspect the
premises except pursuant to an order of the court by which the subpoena was
issued. If objection has been made, the party serving the subpoena may, upon
notice to the person commanded to produce, move at any time for an order to
compel the production. Such an order to compel production shall protect any
person who is not a party or an officer of a party from significant expense
resulting from the inspect and copying commanded.
(3) (A) On timely motion, the court by which a subpoena was issued shall quash
or modify the subpoena if it
(i) fails to allow reasonable time for compliance
(ii) requirs a person who is not a party or an officer of the party to travel
to a place more than 100 miles from the place where that person resides,
is employed or regularly transaction business in person, except that
subject to the provisions of clause (c)(3)(B)(ii) of this rule, such a
person may in order to attend trial be commanded to travel from any such
place within the satete in which the trial is held, or
(iii) requires disclosure of priviledged or other protected matter and not
exception or waiver applies, or
(iv) subject a person to undue burden.
(B) If a subpoena
(i) requires disclosure of a trade secret or other confidential research,
development, or commercial information or
(ii) requires disclosure of an unretained expert's opinion or information not
describing specific events or occurances in dispute and resulting from the
expert's study made not at the request of any party, or
(iii) requires a person who is not a party or an officer of a party to incur
substantial expense to travel more than 100 miles to attend trial, the
court may, to protect a person subject to or affected by the subpoena,
quash or modify the subpoena or, if the party in whose behalf the subpoena
is issued shows a substantial need for the testimony or material that
cannot be otherwise met without undue hardship and assures that the person
to whom the subpoena is address will be reasonably compensated, the court
may order appearance or production only upon specified conditions.
(d) DUTIES IN RESPONDING TO SUBPOENA
(1) A person responding to a subpoena to produce documents shall produce them as
they are kept in the usual course of business or shall organize and label them
to correspond with the categories in the demand.
(2) When information subject to a subpoena is withheld on a claim that it is
priviledged or subject to protection as trial preparation materials, the claim
shall be made expressly and shall be supported by a description of the nature of
the documents, comunications, or things not produces that is sufficient to
enable the demanding party to contest the claim.
3
Topics for 30(b)(6) Deposition
of Sun Microsystems, Inc
1. Agreements relating to any UNIX
software product involving Sun and
AT&T, USL, Novell, Santa Cruz, or SCO,
including but not limited to: (a) the
software licensing agreements with AT&T
executed on July 17, 1985, April 24, 1986,
and May 21, 1986; (b) the sublicensing
agreement with AT&T executed on August
7, 1986; (c) the letter agreements with
AT&T acknowledged by Sun on January 12,
1986, January 12, 1987, February 20, 1987,
June 19, 1987, August 11, 1987, March 17,
1988, July 19, 1989, September 13, 1990,
December 14, 1990; (d) the letter
agreement with USL acknowledged by Sun on
October 3, 1992; (e) the software licensing
agreement with Novell executed on March 17,
1994; and (f) the software licensing
agreement with SCO executed on February 25,
2003.
2. Agreements relating to any Sun software
product involving Sun and AT&T, USL,
Novell, Santa Cruz, Tarantella, or SCO.
3. Sun's rights and obligations,
vis-à-vis AT&T, USL, Novell,
Santa Cruz, Tarantella, and SCO, with
respect to any Sun software product.
4. Royalties paid by Sun with respect to
any UNIX product.
5. Open sourcing of any Sun UNIX product
or public disclosure by Sun of the source
code for any Sun UNIX product.
6. Origin of any UNIX source code publicly
disclosed or open sourced by Sun.
7. Competition between Solaris and
UnixWare and OpenServer, including but not
limited to the identity and the qualities
and characteristics of the products.
8. Restrictions or prohibitions on Sun
employees having access to any UnixWare
product, including, but not limited to, its
source code.
4
9. All communications between Sun and SCO
since June 28, 2002, including but not
limited to: (a) communications between SCO
and Sun from February 2003 to May 2003
relating to any software licensing
agreements; (b) Darl McBride's May 2003
communication with Scott McNealy regarding
SCO's rights to the UNIX operating system,
and (c) discussions of business
opportunities between SCO and Sun.
10. The identity of and contact
information for all representatives of Sun
whohave had access to and worked with or
develloped UNIX source code, and the other
projects/products on which they have
worked.
11. Involvement by Sun in the development
of Linux.
5
ATTACHMENT A TO SUBPOENA TO SUN
MICROSYSTEMS, INC.
You are instructed to produce the following
documents at the time and place specified
in the subpoena.
Documents To Be Produced
1. All documents concerning any agreement
or license between Sun and SCO or between
Sun and any of SCO's predecessors in
interest for the use of any UNIX source
code, including but not limited to all
documents relating to the terminability of
any such license.
2. All documents concerning any agreements
relating to any Sun software product
involving Sun and AT&T, USL, Novell,
Santa Cruz, Tarantella, or SCO.
3. All documents concerning Sun's rights
and obligations, vis-à-vis AT&T,
USL, Novell, Santa Cruz, Tarantella, and
SCO, with respect to any Sun software
product.
4. All documents concerning royalties paid
by Sun with respect to any UNIX product.
5. All documents concerning open sourcing
of any Sun UNIX product or public
disclosure by Sun of the source code for
any Sun UNIX product.
6. All documents concerning the origin of
any UNIX source code publicly disclosed or
open sourced by Sun.
7. All documents concerning competition
between Solaris and Unixware and
OpenServer, including but not limited to
the identity and hte qualities and
characteristics of the products.
6
8. All documents concerning restrictions
or prohibitions on Sun employees having
access to UNIX code.
9. All documents concerning any
communications between Sun and SCO,
including but not limited to: (a)
communications between SCO and Sun from
February 2003 to May 2003 relating to any
software licensing agreements; (b) Darl
McBride's May 2003 communications with
Scott McNealy regarding SCO's rights to the
UNIX operating system, and (c) disclosed of
business opportunities between SCO and Sun.
10. The identity of and contact
information for all representatives of Sun
who ahve had access to and worked with or
developed UNIX source code, and the other
projects/products on which they have
worked.
11. All documents concerning any decision
by any current or prospective customer to
use Solaris instead of OpenServer or
UnixWare occuring after March 7. 2003.
12. All documents concerning any efforts
to ensure or maintain the secrecy or
confidentiality of any UNIX source code,
know-how, concepts, techniques, or methods,
including but not limited to: (a) any
rule, policy, practice or procedure
relating, to the confidentiality or secrecy
or lack of confidentiality or secrecy of
any UNIX source code, know-how, concepts,
techniques, or methods; any breach of any
such rule, policy, practice, or procedure;
(c) the use by any person of any UNIX
source code, know-how, concepts,
techniques, or methods; and (d) the
disclosure or availability of any UNIX
source code, know-how, concepts,
techniques, or methods to any person.
7
13. Documents sufficient to identify all
licensees, sublicensees or assignees of any
UNIX source code, know-how, concepts,
techniques, or methods and all persons to
whom any UNIX source code, know-how,
concepts, techniques, or methods has been
disclosed.
14. All documents concerning SCO's rights
concerning UNIX or Linux.
15. All documents concerning any
agreement or understanding (written or
oral) concerning SCO.
16. All documents concerning involvement
by Sun in the developed of Linux.
17. All documents concerning any decision,
plan or offer by Sun (contemplated or
actual) to indemnify customers concerning
SCO's alleged rights concerning UNIX or
Linux.
18. A copy of all UNIX materials and all
software materials (in electronic form,
where available), including but not limited
to source code and user manuals, obtained
from SCO or any of SCO's predecessors in
interest (including AT&T, USL, Novell
or Tarantella).
Definitions and Instructions
Defendant IBM hereby incorporates all
instructions, definitions and rules
contained in Rules 30, 33, 34, and 45 of
the Federal Rules of Civil Procedure and
the local rules or individual practices of
this Court and supplements them with the
following definitions and instructions:
8
A. Definitions
- The term "communication" shall mean
any transmittal of information, whether
oral or written, including
correspondence, electronic mail and other
internet transmissions, web pages,
Internet Relay Chat logs, telex,
facsimile transmissions, telecopies,
recordings in any medium of oral
communication, telephone and message
logs, notes or memoranda relating to
written or oral communications.
- The term "concerning" shall mean
relating to, referring to, reflecting,
describing, evidencing, referencing,
discussing or constituting.
- The term "document" shall be
synonymous in meaning and usage to the
broadest scope of the term used in Rule
34(a) of the Federal Rules of Civil
Procedure. The term document shall
include without limitation all written,
phonic, graphic or recorded matter
including without limitation, information
stord on computers, disks, tapes (i.e.,
magnetic or other storage media), World
Wide Web pages, electronic mailing lists
or automated fax support systems. The
term "document" specifically includes
electronic mail, electronic
correspondence, or electronic
peer-to-peer messages ("e-mail") and any
attachments and files created and
maintained in electronic form in the
normal course of business.
- The term "include" or "including"
shall mean including without limitation.
- The term "object code" shall mean
output from a compiler or assembler which
is itself executable machine code or is
suitable for processing to produce
executable machine code.
9
- The term "person" refers to natural
persons or all private or putlic
entities.
- The term "Santa Cruz" shall mean and
include, collectively and/or
individually, The Santa Cruz Operation,
Inc. and all of its directors, officers,
authorized agents, employees,
consultants, attorneys, representatives,
direct and indirect contractors,
entities that were acquired by or merged
with The Santa Cruz Operation, Inc.
- The term "SCO" shall mean and
include, collectively and/or individually
Caldera Systems, Inc., Caldera
International, Inc., or The SCO Group,
Inc., and all its directors, officers,
authorized agents, employees,
consultants, attorneys, sales
representatives, distributors, dealers,
direct and indirect contractors,
entities that were in part or in whole
acquired by or merged with Caldera
Systems, Inc. Caldera International,
Inc., or The SCO Group, Inc., affiliates,
subsidiaries or predecessor companies of
Caldera Systems, Inc., or The SCO Group,
Inc., and/or all other persons acting on
behalf of Caldera Systems, Inc., Caldera
International, Inc., or The SCO Group,
Inc. This includes the Server Software
and Professional Services divisions
acquired in 2001 by Caldera
International, Inc. from Tarantella,
Inc., f/k/a The Santa Cruz Operation,
Inc.
- The term "source code" shall mean the
human-readable form of a computer program
written in the original and preferred
form for human inspection and
modification, and includes but is not
limited to source code listings; compiler
and/or assembler output listings for such
source code; source code listings for
macros or "includes" (both executable and
mapping) listings used in such source
code; job control
10
language files; and/or other files
required to create an executable version
of a program, including but not limited
to user interface components; panels;
screen definitions and help text; and
c-lists.
- The term "Solaris" shall mean the
UNIX-branded operating system distributed
and/or developed by Sun, including all
prior versions, releases and maintenance
modifications.
- The term "Sun" shall mean and
include, collectively and/or
individually, Sun Microsystems, Inc. and
all its directors, officers, authorized
agents, employees, consultants,
attorneys, sales representatives,
distributed dealers, direct and indirect
control, entities that were acquired by
or merged with Sun, subsidiaries of Sun,
and/or all other persons acting on behalf
of Sun.
- The term "UNIX" shall mean any and
all versions, flavors, or other variants
of any UNIX computer operating system,
including but not limited to all
operating systems certified as conforming
to the UNIX-brand standards set by The
Open Group, the owner of the UNIX
trademrk.
- The term "AT&T" shall mean and
include, collectively and/or
individually, AT&T Corporation and
all its directors, officers, authorized
agents, employees, consultants,
attorneys, sales representatives, direct
and indirect contractors, entities that
were acquired or merged with AT&T,
subsidiaries of AT&T, including but
not limited to AT&T Technologies,
Inc., and/or all other persons acting on
behalf of AT&T.
- The term "USL" shall mean and
include, collectively and/or
individually, UNIX System Laboratories,
Inc. and all its directors, officers,
authorized
11
agents, employees, consultants,
attorneys, sales representatives, dirct
and indirect contractors, entities that
were acquired or merged with USL,
subsidiaries of USL, and/or all other
persons acting on behalf of USL.
- The term "Novell" shall mean and
include, collectively and/or
individually, Novell Inc. and all its
directors, officers, authorized agents,
employees, consultants, attorneys, sales
representatives, direct and indirect
contractors, entities that were acquired
by or merged with Novell, subsidiaries of
Novell, and/or all other persons acting
on behalf of Novell.
- The term "Tarantella" shall mean and
include, collectively and/or
individually, Tarantella, Inc. and all
its directors, officers, authorized
agents, employees, consultants,
attorneys, sales representatives, direct
and indirect contractors, entities that
were acquired by or merged with
Tarantella, subsidiaries of Tarantella
and/or all other persons acting on behalf
of Tarantella.
B. Instructions
- Each paragraph should herein be
construed independently and, unless
otherwise directed, without reference to
any other paragraph for the purpose of
limitation.
- The use of any definition for the
purposes of this request shall not be
deemed to constitute an agreement or
acknowledgment on the part of the
defendant that such definition is
accurate, meaningful or appropriate for
any other purpose in this action.
- Unless otherwise specified, the
documents requested are the responsive
documents in your possession, control or
custody that were prepared, written
12
sent, dated, received, applicable or in
effect at any time up to the date of your
compliance with this demand.
- Each requested document shall be
produced in its entirety. If a document
responsive to any request cannot be
produced in full, it shall be produced to
the extent possible with an explanation
stating why production of the remainder
is not possible.
- Each page or sheet produced is to be
marked with a consecutive document
control number.
- All documents produced in response to
this subpoena shall be produced in the
same order as they are kept or maintained
in the ordinary course of business and,
where attached, shall not be separated or
disassembled.
- With respect to any document
responsive to this request that is
withheld from production based upon a
claim of privilege, please provide the
information required pursuant to Rules
26(b)(5) and 45(d)(2) of the Federal
Rules of Civil Procedure.
- If, for reasons other than a claim of
privilege, you refuse to produce any
document requested herein, state the
grounds upon which the refusal is based
with sufficient specificity to permit a
detrmination of the propriety of such a
refusal.
- If there are no documents responsive
to any paragraph or subparagraph set
forth in the requests, please provide a
written response so stating.
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