(PS) CSPC Dophen Corporation v. Hu ( 2024 )

1 2 3 4 5 6 7 8 UNITED STATES DISTRICT COURT 9 FOR THE EASTERN DISTRICT OF CALIFORNIA 10 11 CSPC DOPHEN CORPORATION, No. 2:17-cv-01895-DAD-DB (PS) 12 Plaintiff, 13 v. TENTATIVE PRETRIAL ORDER 14 ZHIXIANG HU, 15 Defendant. 16 ZHIXIANG HU, 17 Counter Claimant, 18 v. 19 CSPC DOPHEN CORPORATION, 20 Counter Defendant. 21 22 On January 9, 2024, the court conducted a final pretrial conference in this case. Bryan J. 23 Wilson and Yue Li appeared as counsel for plaintiff; defendant Dr. Zhixiang Hu appeared on 24 behalf of himself. Having considered the parties’ joint pretrial statement and the views of the 25 parties as expressed at the conference, the court issues this tentative pretrial order. 26 This case arises from a dispute between a pharmaceutical research and development 27 company—plaintiff and counter defendant CSPC Dophen Corporation—and its former 1 28 employee—defendant and counter claimant Dr. Zh ixiang Hu—who allegedly secretly 1 incorporated a competing entity while still employed at CSPC Dophen Corporation, using CSPC 2 Dophen’s d/b/a name “Dophen Biomed” and physical laboratory address. Plaintiff alleges that 3 defendant misrepresented that Dophen Biomed was the same as CSPC Dophen and 4 misappropriated CSPC Dophen’s confidential, proprietary, and trade secret information. Plaintiff 5 asserts claims for breach of contract, breach of duty of loyalty, misappropriation of trade secrets, 6 and conversion. Dr. Hu’s counterclaims allege that the counter-defendant CSPC Dophen 7 Corporation engaged in deceptive practices to unlawfully acquire Dr. Hu’s mTgase site-specific 8 conjugation technology, promising him company ownership but failing to deliver on its 9 commitments. Furthermore, Dr. Hu claims that CSPC Dophen defaulted on his rightful 10 compensation, including salary, vacation pay, incentive stock shares, and stock dividends. Dr. 11 Hu’s counterclaims are for breach of contract, violation of California Business & Professions 12 Code § 17200 et seq., violation of California Labor Code § 203, and breach of fiduciary today. 13 I. JURISDICTION/VENUE 14 Jurisdiction is predicated on 28 U.S.C. §§ 1331, 1367. Jurisdiction is not contested. 15 Venue is proper pursuant to 28 U.S.C. § 1391(b). Venue is not contested. 16 II. JURY 17 Defendant Dr. Hu demanded a jury trial in the Joint Notice of Trial Readiness. (Doc. No. 18 323.) Plaintiff CSPC Dophen does not request a jury trial. The jury will consist of eight jurors, 19 although the court may adjust that number depending upon conditions in existence at the time of 20 the trial. 21 III. UNDISPUTED FACTS 22 1. Dr. Hu was an employee of CSPC Dophen. 23 IV. DISPUTED FACTUAL ISSUES1 24 1. Whether CSPC Dophen hired Dr. Hu in October 2011 as director of CSPC 25 Dophen’s Laboratory at 4070 Truxel Road, Sacramento, California. 26 1 As discussed at the pretrial conference, if Dr. Hu intends to list additional disputed facts not 27 already listed here, he may include them in his objections to this tentative pretrial order. However, the court reminds Dr. Hu that each fact should be listed in a concise, one-sentence 28 format, not lengthy paragraphs, and should remain focused on factual content, not arguments. 1 2. Whether Dr. Hu’s employment agreement states “[a]ll CSPC employees are 2 required to execute a Non-Disclosure Agreement and an Intellectual Property Agreement.” 3 3. Whether Dr. Hu signed a Non-Disclosure Agreement (“NDA”) on April 4, 2013, 4 which states: 5 I will observe the strictest secrecy with respect to the Trade Secrets disclosed to me and all information generated therefrom and will take 6 all affirmative steps necessary to maintain the trade secrets status of the Trade Secrets. I will neither make use of nor disclose to third 7 parties the Trade Secrets, unless prior consent in writing is given by the Company during the terms of my employment with the Company 8 and thereafter in any employment or business venture. I agree I will never, directly or indirectly, for myself or others, use disseminate, 9 disclose, lecture upon, or otherwise make available to others any confidential information, whether or not such confidential 10 information thereafter in whole or part becomes available to the public. My agent(s), servant(s), employer(s), employee(s) and all 11 persons acting therefore also disclaim any claim of right in and to such confidential information. 12 4. Whether Dr. Hu also signed a Policy of Conflict of Interest on April 4, 2013, 13 which states: 14 I will not engage in any conduct which would create a potential or 15 actual conflict of interest or create the appearance of such a conflict in my employment relationship with the Company. Such conduct 16 includes, without limitation, divulging the Company’s trade secrets for my own personal gain, seek employment with the Company’s 17 business competitors while still employed by the Company, usurping the business opportunity of the company and any other activity which 18 may directly or indirectly harm the Company. 19 5. Whether, in April of 2014, while still employed by CSPC Dophen, Dr. Hu 20 incorporated an entity called Dophen Biomed, Inc. and listed the address as 4070 Truxel Road, 21 Sacramento, California. 22 6. Whether, Dophen Biomed, Inc.—founded by Dr. Hu—is affiliated with CSPC 23 Dophen. 24 7. Whether Dr. Hu applied for grants from the National Institutes of Health in the 25 name of Dophen Biomed, Inc. 26 8. Whether the National Institutes of Health grant filed by Dr. Hu under Dophen 27 Biomed, Inc. included research data and results of the DP303c drug candidate. 28 ///// 1 9. Whether Dr. Hu submitted an Investigational New Drug (“IND”) application (IND 2 #130699) to the Food and Drug Administration under the name Dophen Biomed, Inc. 3 10. Whether CSPC Dophen entered into valid contracts with Dr. Hu (including the 4 employment agreement, NDA, and Conflict of Interest Policy). 5 11. Whether Dr. Hu took or used without authorization CSPC Dophen’s confidential, 6 proprietary, and/or trade secret information. 7 12. Whether Dr. Hu prevented CSPC Dophen from accessing its email accounts. 8 13. Whether Dr. Hu misappropriated CSPC Dophen’s funds, including depositing 9 CSPC Dophen’s revenues into Dophen Biomed, Inc.’s bank account. 10 14. Whether Dr. Hu incorporated Dophen Biomed, Inc., using CSPC Dophen’s d/b/a 11 name and address and misrepresented that Dophen Biomed, Inc. was part of CSPC Dophen. 12 15. Whether Dr. Hu took or used without authorization CSPC Dophen’s confidential, 13 proprietary, and/or trade secret information. 14 16. Whether Dr. Hu misappropriated CSPC Dophen’s funds, including depositing 15 CSPC Dophen’s revenues into Dophen Biomed, Inc.’s bank account. 16 17. Whether Dr. Hu usurped the business opportunity of CSPC Dophen. 17 18. Whether CSPC Dophen owns confidential information relating to the drug 18 candidate DP303c and antibody drug conjugates that derived independent economic value from 19 not being generally known. 20 19. Whether CSPC Dophen took reasonable steps to protect its confidential 21 information. 22 20. Whether Dr. Hu improperly acquired or used CSPC Dophen’s trade secrets 23 without authorization. 24 21. Whether Dr. Hu’s misappropriation was willful and malicious. 25 22. Whether Dr. Hu took control over CSPC Dophen’s email, computers, storage 26 devices, and payments from third parties without consent. 27 23. Whether Dr. Hu had an agreement with CSPC Dophen, not CSPC Limited, to 28 award Dr. Hu stock in CSPC Limited. 1 24. If such agreement exists, whether Dr. Hu performed under this agreement, despite 2 creating a competing entity using CSPC Dophen’s d/b/a name and misappropriating CSPC 3 Dophen’s confidential, proprietary, and/or trade secret information. 4 25. Whether CSPC Dophen’s actions, not those of CSPC Limited, constituted 5 unlawful or fraudulent business practices. 6 26. Whether CSPC Dophen willfully failed to pay Dr. Hu’s wages and unpaid vacation 7 time on his last day of employment. 8 27. Whether CSPC Dophen, the employer, owed Dr. Hu, the employee, a fiduciary 9 duty. 10 28. Whether CSPC-Dophen was registered by CSPC Limited in NJ and was doing 11 business in California. 12 29. Whether Dr. Hu was a research manager at Novozymes at Davis, a wholly owned 13 subsidiary of the Novo Nordisk Foundation. 14 30. Whether CSPC-Dophen solicited Dr. Hu to start a joint-venture company to work 15 on biological drugs based on Dr. Hu’s transglutaminase conjugation technology (referred as 16 mTgase technology). 17 31. Whether, in its initial job offer, CSPC-Dophen required Dr. Hu’s to transfer his 18 two mTgase patents to CSPC-Dophen as pre-requisition to join CSPC-Dophen. 19 32. Whether Dr. Jinxu Wang was the CEO of CSPC-Dophen. 20 33. Whether Dr. Jinxu Wang was the executive VP of CSPC Limited. 21 34. Whether Dr. Jinxu Wang was a board member of CSPC-Dophen. 22 35. Whether Dr. Jinxu Wang was a board member of CSPC Limited. 23 36. Whether Yingui Li was the VP of CSPC-Dophen. 24 37. Whether Yingui Li was the business director of CSPC Limited. 25 38. Whether Yingui Li was a board member of CSPC-Dophen. 26 39. Whether Dongchen Cai is the chairman and board member of both CSPC Dophen 27 and CSPC Limited. 28 40. Whether Jumin Sun was the Director of Finance of CSPC Limited. 1 41. Whether Jumin Sun was in charge of CSPC-Dophen’s finance. 2 42. Whether CSPC Limited is a Chinese company. 3 43. Whether CSPC-Dophen was 100% owned by CSPC Limited. 4 44. Whether Dr. Hu was an employee of CSPC-Dophen and a vice president of CSPC 5 Limited, managing CSPC-Dophen on behalf of CSPC Limited. 6 45. Whether Dr. Hu’s salary was paid one half in the USA by CPSC-Dophen, and one 7 half by CSPC Limited as arranged by CSPC Dophen since November 2011. 8 46. Whether, in March 2013, CSPC-Dophen awarded Dr. Hu stock options to 9 purchase 500,000 IPO shares of CSPC Stock at ¥1 per share. As part of the agreement, on April 10 4, 2013, Dr. Hu was asked to sign the NDA and Intellectual Property Agreement in exchange for 11 the stock options. 12 47. Whether on September 17, 2013, Dr. Hu purchased his stock option award, 13 500,000 CSPC IPO shares. 14 48. Whether CSPC Limited paid dividends based on 2 million common shares for 15 years 2013, 2014, and 2015. 16 49. During 2013, CSPC Limited encountered financial challenges, leading CSPC 17 Dophen to terminate two-thirds of its 15 employees-workforce. Moreover, the company was 18 three months overdue on its lab construction payment. Yingui Li and Dongchen Cai gave Dr. Hu 19 a mandate to explore viable solutions for CSPC-Dophen to attain self-sufficiency by the year 20 2014. 21 50. In an effort to diversify funding sources for CSPC Dophen, Dr. Jinxu Wang came 22 to Sacramento on April 17, 2014, to authorize Jasmine Xiong to register a US business entity to 23 apply for government funding. On April 21, 2014, Jasmine Xiong registered Dophen Biomed, 24 Inc., as part of this strategic initiative. 25 51. Whether, on June 12, 2014, Dophen Biomed filed an Antibody-Drug Conjugate 26 patent based on Dr. Hu’s mTgase technology via Janet Xiao, a lawyer from Morrison Foerster. 27 52. Whether Dophen Biomed was awarded a Small Business Innovation Research 28 grant from NIH worth over $1.2 million in early 2016. 1 53. Whether, in 2016, an online file sharing account was created by Dr. Hu to share 2 and deposit all IND enabling files related an Antibody-Drug Conjugate drug candidate named 3 DP303c. Whether all team members, plus Dr. Jinxu Wang and an external consultant were given 4 access. 5 54. Whether in April 2017, Dophen Biomed, with Jinxu Wang presence at the facility, 6 submitted an IND application to FDA for DP303c. 7 55. Whether on July 4, 2017, Jinxu Wang and Yingui Li traveled to California and 8 presented a termination package to Dr. Hu, suggesting Dr. Hu to continue working for CSPC 9 Dophen on a temporary basis as a consultant. 10 56. Whet ether on July 21, 2017, CSPC Dophen officially terminated Dr. Hu’s 11 employment and then failed to pay Dr. Hu’s 1.5 months’ salary until October 9, 2017. 12 57. Whether on November 23, 2020, CSPC-Dophen fired its entire work force and 13 terminated its business registration in California, transferring everything to CSPC Limited in 14 China. 15 58. Whether on October 27, 2021, CSPC-Dophen’s 4070 Truxel Lab was sold to 16 JOINN for $4.5 million by CSPC Dophen Delaware. 17 59. Whether CSPC Dophen Delaware, registered by CSPC Limited, has no employee 18 nor physical presence in US. 19 60. Whether, on July 28, 2022, CSPC Limited entered into a $1.2 billion deal with 20 Elevation Oncology, granting them global rights to an Antibody-Drug Conjugate drug that was 21 developed using Dr. Hu’s Antibody-Drug Conjugate Patent. 22 61. Whether on February 14, 2023, CSPC Limited licensed the US/Europe rights for 23 its Antibody-Drug Conjugate drug CRB-701 for $892.5 million, once again based on Dr. Hu’s 24 Antibody-Drug Conjugate patent. 25 62. Whether on May 31, 2023, CSPC Dophen hastily issued a settlement check of 26 $1319 to Dr. Hu, which was intended as a means to intimidate him. 27 ///// 28 ///// 1 V. DISPUTED EVIDENTIARY ISSUES/MOTIONS IN LIMINE 2 The parties have not yet filed motions in limine. The court does not encourage the filing 3 of motions in limine unless they are addressed to issues that can realistically be resolved by the 4 court prior to trial and without reference to the other evidence which will be introduced by the 5 parties at trial. The parties anticipate filing the motions in limine listed below. Any motions in 6 limine counsel elects to file shall be filed no later than 28 days before trial. Opposition shall be 7 filed no later than 21 days before trial and any replies shall be filed no later than 14 days before 8 trial. Upon receipt of any opposition briefs, the court will notify the parties if it will hear 9 argument on any motions in limine prior to the first day of trial. 10 Plaintiff’s Anticipated Motions in Limine 11 1. Dr. Hu should be precluded from introducing any evidence or arguments 12 concerning dismissed parties: CSPC Pharmaceutical Group Limited (“CSPC Limited”), Yingui 13 Li, Jinxu Wang, Jumin Sun, and Dongchen Cai. Dr. Hu also should be precluded from raising 14 new claims and allegations against CSPC Limited, which are irrelevant and were forfeited by Dr. 15 Hu’s failure to plead them in his counterclaims. 16 2. Dr. Hu should be precluded from presenting any evidence or arguments 17 concerning dismissed claims. 18 3. Dr. Hu should be precluded from arguing that CSPC Dophen or its parent is a 19 Chinese company. CSPC Dophen is not a Chinese company. Its parent, CSPC Limited, has been 20 dismissed. 21 4. Dr. Hu should be precluded from introducing any evidence or arguments that 22 disparage CSPC Dophen or its counsel. 23 5. Dr. Hu should be precluded from making any arguments that suggest CSPC 24 Dophen engaged in illegal activities or is under criminal investigation. 25 6. Dr. Hu should be precluded from arguing that CSPC Dophen breached the 26 employment contract by failing to pay his wages, unused vacation, or benefits. Without agreeing 27 with this assertion, CSPC Dophen tendered payment for the remaining $1,319.64 claimed by Dr. 28 Hu on May 31, 2023, thereby resolving Dr. Hu’s breach of contract claim. Dr. Hu should be 1 precluded from arguing he is owned stock because his allegations of a purported contract 2 involving stock options are against CSPC Limited, a dismissed party. 3 7. Dr. Hu should be precluded from offering evidence or arguments regarding patents 4 that he filed before his employment with CSPC Dophen and other alleged intellectual property 5 that he obtained before his employment with CSPC Dophen. Dr. Hu’s counterclaims do not 6 allege patent infringement and these arguments are irrelevant and prejudicial. 7 8. Dr. Hu should be precluded from introducing any evidence that he withheld during 8 discovery or presenting any arguments based on evidence he destroyed or withheld. 9 9. Dr. Hu should be precluded from introducing or relying on any evidence that was 10 not produced during discovery. 11 Defendant’s Anticipated Motions in Limine 12 1. CSPC Dophen should be precluded from use of exhibits derived from Jiaying 13 Fan’s computer, Dr. Hu’s cell phone, and SeanHu2020@gmail.com on the grounds of privacy 14 violations. 15 2. CSPC Dophen should be precluded from using the deposition testimony of 16 Jasmine Xiong and Dr. Hu. 17 VI. SPECIAL FACTUAL INFORMATION 18 Pursuant to Local Rule 281(b)(6), in their objections to this tentative pretrial order, the 19 parties shall provide any special factual information within either the disputed or undisputed facts 20 sections as appropriate. 21 VII. RELIEF SOUGHT 22 1. Plaintiff seeks monetary damages for violation of state and federal law. 23 2. Plaintiff seeks restitution and disgorgement of Dr. Hu’s unjust enrichment. 24 3. Plaintiff seeks Punitive, exemplary, and enhanced damages. 25 4. Plaintiff seeks attorneys’ fees and costs. 26 5. Plaintiff seeks prejudgment and post-judgment interest as authorized by law. 27 6. Plaintiff seeks an order and/or permanent injunction directing Dr. Hu to return all 28 CSPC Dophen’s tangible and intangible property. 1 7. Defendant seeks return of his 500,000 CSCP IPO shares purchased via his stock 2 option award, unpaid stock dividends since 2016 plus interests and associated penalties. 3 8. Defendant seeks unpaid unused-vacation time and penalties for CSPC Dophen’s 4 intentional withholding of his wages for 3 months after termination plus interest. 5 9. Defendant seeks compensatory, punitive, and enhanced exemplary damages for 6 unlawful and fraudulent business practices by CSPC Dophen. The allegations of unlawful and 7 fraudulent practices include deceiving Dr. Hu through the NDA and IP agreements, 8 misappropriating his patented technology and trade secrets, and using false pretenses to exploit 9 his inventions. 10 10. Defendant seeks license fee recovery. Specifically, he is seeking his rightful 11 portion of the license proceeds generated from the Antibody-Drug Conjugate drug deals executed 12 by CSPC Limited, which obtained the intellectual property (IP) as a result of CSPC Dophen’s 13 dissolution. 14 11. Defendant seeks restitution and injunctive relief. Specifically, he seeks the return 15 of his intellectual property (IP), trade secrets, and the Antibody-Drug Conjugate patent, and 16 injunctive relief to prevent CSPC Limited, the successor of CSPC Dophen, from further using or 17 exploiting his IP, trade secrets, or the Antibody-Drug Conjugate patent. 18 12. Defendant seeks attorney fees and expenses incurred during his pro se legal 19 representation. 20 13. Defendant seeks compensatory damages for financial loss suffered as a result of 21 defending CSPC Dophen’s frivolous suit including lost business opportunities, reputational 22 damage, or emotional distress. 23 VIII. POINTS OF LAW 24 The claims/counterclaims asserted in this action arise under federal and state law. All of 25 plaintiff’s claims are brought against defendant Dr. Hu. All of Dr. Hu’s counterclaims remain 26 against CSPC Dophen Corporation only. 27 1. The elements of, standards for, and burden of proof in a misappropriation of trade 28 secrets under the Defend Trade Secrets, 18 U.S.C. § 1832(a)(1), cause of action. 1 2. The elements of, standards for, and burden of proof in a breach of contract cause 2 of action. 3 3. The elements of, standards for, and burden of proof in a breach of duty of loyalty 4 cause of action. 5 4. The elements of, standards for, and burden of proof in a breach of fiduciary duty 6 cause of action. 7 5. The elements of, standards for, and burden of proof in a conversion cause of 8 action. 9 6. The elements of, standards for, and burden of proof in a California Business & 10 Professions Code § 17200 et seq. cause of action.2 11 7. The elements of, standards for, and burden of proof in a California Labor Code 12 § 203 cause of action. 13 8. The elements of, standards for, and burden of proof in an affirmative defense for 14 unclean hands. 15 Trial briefs addressing the points of law implicated by these remaining claims shall be 16 filed with this court no later than 14 days before trial in accordance with Local Rule 285. 17 ANY CAUSES OF ACTION OR AFFIRMATIVE DEFENSES NOT EXPLICITLY 18 ASSERTED IN THE PRETRIAL ORDER UNDER POINTS OF LAW AT THE TIME IT 19 BECOMES FINAL ARE DISMISSED, AND DEEMED WAIVED. 20 IX. ABANDONED ISSUES 21 CSPC Dophen will not pursue the following claims at trial: violation of Lanham Act, 22 violation of the California Comprehensive Computer Data Access and Fraud Act, California 23 Penal Code § 502, defamation, and unfair competition.3 24 2 The court will issue findings of fact and conclusions of law on Dr. Hu’s California Business 25 and Professions Code § 17200 unfair claim. See Section XVIII. 26 3 As discussed at the pretrial conference, the parties are directed to clarify in their objections to 27 this tentative pretrial order which of their affirmative defenses, if any, have been abandoned. Any claims or affirmative defenses that the parties believe remain for trial must be listed in the points 28 of law section above to be preserved for trial. 1 X. WITNESSES 2 Plaintiff’s witnesses shall be those listed in Attachment A. Defendant’s witnesses shall 3 be those listed in Attachment B. Each party may call any witnesses designated by the other. 4 A. The court does not allow undisclosed witnesses to be called for any purpose, 5 including impeachment or rebuttal, unless they meet the following criteria: 6 (1) The party offering the witness demonstrates that the witness is for the 7 purpose of rebutting evidence that could not be reasonably anticipated at 8 the pretrial conference, or 9 (2) The witness was discovered after the pretrial conference and the proffering 10 party makes the showing required in paragraph B, below. 11 B. Upon the post pretrial discovery of any witness a party wishes to present at trial, 12 the party shall promptly inform the court and opposing parties of the existence of 13 the unlisted witnesses by filing a notice on the docket so the court may consider 14 whether the witnesses shall be permitted to testify at trial. The witnesses will not 15 be permitted unless: 16 (1) The witness could not reasonably have been discovered prior to the 17 discovery cutoff; 18 (2) The court and opposing parties were promptly notified upon discovery of 19 the witness; 20 (3) If time permitted, the party proffered the witness for deposition; and 21 (4) If time did not permit, a reasonable summary of the witness’s testimony 22 was provided to opposing parties. 23 XI. EXHIBITS, SCHEDULES, AND SUMMARIES 24 Plaintiff’s exhibits are listed in Attachment C. Defendant’s exhibits will be listed in 25 Attachment D, but because the list provided was inadequate, it is not included in this tentative 26 pretrial order. In his objections to this tentative pretrial order, defendant Dr. Hu is directed to 27 revise his exhibit list. 28 ///// 1 No exhibit shall be marked with or entered into evidence under multiple exhibit numbers, 2 and the parties are hereby directed to meet and confer for the purpose of designating joint exhibits 3 and to provide a list of joint exhibits. All exhibits must be pre-marked as discussed below. At 4 trial, joint exhibits shall be identified as JX and listed numerically, e.g., JX-1, JX-2. Plaintiff’s 5 exhibits shall be listed numerically, and defendants’ exhibits shall be listed alphabetically. 6 The parties must prepare three (3) separate exhibit binders for use by the court at trial, 7 with a side tab identifying each exhibit in accordance with the specifications above. Each binder 8 shall have an identification label on the front and spine. The parties must exchange exhibits no 9 later than 35 days before trial. Any objections to exhibits are due no later than 21 days before 10 trial. The final exhibits are due the Thursday before the trial date. In making any objection, 11 the party is to set forth the grounds for the objection. As to each exhibit which is not objected to, 12 no further foundation will be required for it to be received into evidence, if offered. 13 The court does not allow the use of undisclosed exhibits for any purpose, including 14 impeachment or rebuttal, unless they meet the following criteria: 15 A. The court will not admit exhibits other than those identified on the exhibit lists 16 referenced above unless: 17 (1) The party proffering the exhibit demonstrates that the exhibit is for the 18 purpose of rebutting evidence that could not have been reasonably 19 anticipated, or 20 (2) The exhibit was discovered after the issuance of this order and the 21 proffering party makes the showing required in paragraph B, below. 22 B. Upon the discovery of exhibits after the discovery cutoff, a party shall promptly 23 inform the court and opposing parties of the existence of such exhibits by filing a 24 notice on the docket so that the court may consider their admissibility at trial. The 25 exhibits will not be received unless the proffering party demonstrates: 26 (1) The exhibits could not reasonably have been discovered earlier; 27 (2) The court and the opposing parties were promptly informed of their 28 existence; 1 (3) The proffering party forwarded a copy of the exhibits (if physically 2 possible) to the opposing party. If the exhibits may not be copied the 3 proffering party must show that it has made the exhibits reasonably 4 available for inspection by the opposing parties. 5 XII. DISCOVERY DOCUMENTS 6 Counsel must lodge the sealed original copy of any deposition transcript to be used at trial 7 with the Clerk of the Court no later than 14 days before trial. 8 Plaintiff has indicated the intent to use the following discovery documents at trial: 9 1. Deposition testimony of Jasmine Xiong. 10 2. Deposition testimony of Dr. Hu. 11 XIII. FURTHER DISCOVERY OR MOTIONS 12 None. Discovery and law and motion are closed under the scheduling order issued in this 13 case. 14 XIV. STIPULATIONS 15 None. 16 XV. AMENDMENTS/DISMISSALS 17 None. 18 XVI. SETTLEMENT 19 The parties participated in a settlement conference before Magistrate Judge Deborah 20 Barnes on November 9, 2023, and those negotiations were unsuccessful. No further court 21 supervised settlement conference will be scheduled unless both parties indicate that a further 22 settlement conference may be productive. 23 XVII. JOINT STATEMENT OF THE CASE 24 This case arises from a dispute between a pharmaceutical research and development 25 company—plaintiff and counter defendant CSPC Dophen Corporation—and its former 26 employee—defendant and counter claimant Dr. Zhixiang Hu—who allegedly secretly 27 incorporated a competing entity while still employed at CSPC Dophen Corporation, using CSPC 28 Dophen’s d/b/a name “Dophen Biomed” and physical laboratory address. Plaintiff alleges that 1 defendant misrepresented that Dophen Biomed was the same as CSPC Dophen and 2 misappropriated CSPC Dophen’s confidential, proprietary, and trade secret information. Plaintiff 3 asserts claims for breach of contract, breach of duty of loyalty, misappropriation of trade secrets, 4 and conversion. Dr. Hu’s counterclaims allege that the counter-defendant CSPC Dophen 5 Corporation engaged in deceptive practices to unlawfully acquire Dr. Hu’s mTgase site-specific 6 conjugation technology, promising him company ownership but failing to deliver on its 7 commitments. Furthermore, Dr. Hu claims that CSPC Dophen defaulted on his rightful 8 compensation, including salary, vacation pay, incentive stock shares, and stock dividends. Dr. 9 Hu’s counterclaims are for breach of contract, violation of California Business & Professions 10 Code § 17200 et seq., violation of California Labor Code § 203, and breach of fiduciary today. 11 XVIII. SEPARATE TRIAL OF ISSUES 12 Dr. Hu asserts a counterclaim against CSPC Dophen for violation of California Business 13 & Professions Code § 17200 (the “UCL”). Under California and federal authorities, there is no 14 right to a jury trial for UCL claims because they are equitable in nature. Okura & Co. (Am.) v. 15 Careau Grp., 783 F. Supp. 482, 491 (C.D. Cal. 1991) (“[N]o right of jury trial attaches to [a 16 UCL] cause of action.”); Cel-Tech Commc’ns, Inc. v. L.A. Cellular Tel. Co., 20 Cal. 4th 163, 179 17 (1999) (“Prevailing [UCL] plaintiffs are generally limited to injunctive relief and restitution.”); 18 Hodge v. Superior Court, 145 Cal. App. 4th 278, 284 (2006) (“There Is No Right To a Jury Trial 19 For a Section 17200 Cause of Action”); id. (“the UCL provides only for equitable remedies . . . . 20 Damages are not available.”). Accordingly, Dr. Hu is not entitled to a jury trial on his UCL 21 counterclaim. Therefore, the court will first try the jury claim and will then issue findings of fact 22 and conclusions of law on the UCL counterclaim based on the evidence presented during the jury 23 trial. See GSI Tech., Inc. v. United Memories, Inc., No. 5:13-cv-01081-PSG, 2016 WL 3035698, 24 at *1, *3 (N.D. Cal. May 26, 2016). 25 XIX. IMPARTIAL EXPERTS/LIMITATION OF EXPERTS 26 None. 27 XX. ATTORNEYS’ FEES 28 In the event of a ruling in plaintiff’s favor for the misappropriation of trade secrets, 1 plaintiff will seek attorneys’ fees pursuant to 18 U.S.C. § 1836(b)(3)(D) for the willful and 2 malicious misappropriation of trade secrets. Plaintiff proposes to file a motion within 28 days 3 after judgment is final as provided in Local Rule 293. 4 In the event that the ruling is in favor of the defendant and counterclaimant, Dr. Hu 5 reserves the right to seek attorney fees and all costs associated with pro se representation, to be 6 awarded on par with attorney fees for the pre pro se period, as part of his defense and 7 counterclaims. 8 XXI. TRIAL PROTECTIVE ORDER AND REDACTION OF TRIAL EXHIBITS 9 At the pretrial hearing, plaintiff’s counsel clarified that plaintiff is no longer seeking to 10 negotiate a stipulation with defendant regarding sealing the courtroom when its confidential 11 information is offered into evidence and represented that plaintiff would instead stand on the 12 protective order (Doc. No. 44) previously entered in this case. However, that protective order 13 states that “[a]ny use of Protected Material at trial shall be governed by a separate agreement or 14 order.” (Doc. No. 44 at 4.) Therefore, it is not clear to the court what plaintiff’s intentions are 15 with regard to the information that plaintiff apparently believes is confidential. This subject may 16 be addressed in the objections filed to this tentative pretrial order. 17 XXII. MISCELLANEOUS 18 None. 19 XXIII. ESTIMATED TIME OF TRIAL/TRIAL DATE 20 Jury trial is scheduled for September 9, 2024, at 9:00 a.m. in Courtroom 4 before the 21 Honorable Dale A. Drozd. Trial is anticipated to last 6 to 7 court days. The parties are directed 22 to Judge Drozd’s Standing Order in Civil Actions, available on his webpage on the court’s 23 website. 24 Counsel are directed to contact Pete Buzo, courtroom deputy, at (916) 930-4016, no later 25 than one week prior to trial to ascertain the status of the trial date. 26 XXIV. PROPOSED JURY VOIR DIRE AND PROPOSED JURY INSTRUCTIONS 27 The parties shall file any proposed jury voir dire 14 days before trial. Each party will be 28 limited to fifteen minutes of supplemental jury voir dire. 1 The court directs counsel to meet and confer in an attempt to generate a joint set of jury 2 | instructions and verdicts. The parties shall file any such joint set of instructions 21 days before 3 | trial, identified as “Joint Jury Instructions and Verdicts.” To the extent the parties are unable to 4 | agree on all or some instructions and verdicts, their respective proposed instructions are due 21 5 | days before trial. 6 Counsel shall e-mail a copy of all proposed jury instructions and verdicts, whether agreed 7 | or disputed, as a Word document to dadorders @caed.uscourts.gov no later than 21 days before 8 | trial; all blanks in form instructions should be completed and all brackets removed. 9 Objections to proposed jury instructions must be filed 14 days before trial; each 10 | objection shall identify the challenged instruction and shall provide a concise explanation of the 11 | basis for the objection along with citation of authority. When applicable, the objecting party shall 12 | submit an alternative proposed instruction on the issue or identify which of his or her own 13 | proposed instructions covers the subject. 14 | XXV. TRIAL BRIEFS 15 As noted above, trial briefs are due 14 days before trial. 16 | XXVI. OBJECTIONS TO PRETRIAL ORDER 17 Each party is granted 14 days from the date of entry of this order to file objections to 18 | the same. Each party is also granted 7 days thereafter to respond to the other party’s objections. 19 | Ifno objections are filed, the order will become final without further order of this court. 20 The parties are reminded that pursuant to Rule 16(e) of the Federal Rules of Civil 21 | Procedure and Local Rule 283 of this court, this order shall control the subsequent course of this 22 | action and shall be modified only to prevent manifest injustice. 23 IT IS SO ORDERED. | pated: _ January 11, 2024 Dab A. 2, sxe 25 DALE A. DROZD 06 UNITED STATES DISTRICT JUDGE 27 28 1 ATTACHMENT A 2 Plaintiff’s Witness List 3 1. Zhixiang Hu 4 2. Jasmine Xiong 5 3. Ashley Smith 6 4. Lixin Feng 7 5. Lisha Allen 8 6. Kuanzhong Gao 9 7. Peggy Tang 10 8. Dr. Hui Ouyang 11 9. Josephine Cardarelli 12 10. Mike Kunkel 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 1 ATTACHMENT B 2 Defendants’ Witness List 3 1. Dr. Sean Hu 4 2. Dr. Jinxu Wang 5 3. Mr. Yingui Li 6 4. Mr. Dongchen Cai 7 5. Mr. Jumin Sun 8 6. Dr. Janet Xiao 9 7. Ms. Jasmine Xiong 10 8. Ms. Lisha Allen 11 9. Ms. Ashley Smith 12 10. Dr. Lixin Feng 13 11. Mr. Tom (Kuanzhong) Gao 14 12. Dr. Hui Ouyang 15 13. Mike Kunkel 16 14. Josephine Cardarell 17 18 19 20 21 22 23 24 25 26 27 28 1 ATTACHMENT C 2 Plaintiff’s Exhibit List 3 Exh. Description 4 1 Declaration of Pina Cardarelli ISO CSPC Dophen’s Motion for Summary Judgment. 5 2022‐06‐17 6 2 Expert Report of Dr. Josephine ("Pina") Cardarelli. 2019‐02‐08 7 3 Expert Report Exhibit A: Josephine ("Pina") Cardarelli, Ph.D. Curriculum Vitae. (n/a) 8 2019‐02‐08 9 4 Expert Report Exhibit B: Materials Considered in connection with the preparation of 10 the Cardarelli Expert Report. 2019‐02‐08 11 5 Declaration of Mike Kunkel ISO CSPC Dophen's Motion for Summary Judgment. 12 2022‐06‐17 13 6 Expert Report of Michael Kunkel. 2019‐02‐08 14 7 Expert Report Exhibit A: Michael Kunkel, Setec Investigations, Curriculum Vitae 15 with Testimony. 2018‐09‐ 13 16 8 Kunkel Expert Report Exhibit B: Samsung‐USB_Devices. 2022‐06‐17 17 9 Kunkel Expert Report Exhibit C: Samsung Removable LNK File. 2022‐06‐17 18 10 Kunkel Expert Report Exhibit D: Samsung Network LNK File. 2022‐06‐17 19 11 Kunkel Expert Report Exhibit E: Samsung Cloud Storage. (n/a‐), 2022‐06‐17 20 12 Kunkel Expert Report Exhibit F: Piriform webpage product description ‐ What can 21 you use it for. 2022‐06‐ 17 22 13 Kunkel Expert Report Exhibit G: Piriform webpage product description ‐ Wiping free 23 disk space. 2022‐06‐ 17 24 14 Kunkel Expert Report Exhibit H: CCleaner.com webpage product description ‐ 25 Including files and folders for cleaning. 2022‐06‐17 26 15 Kunkel Expert Report Exhibit I: Vostro CCleaner Wiped Files. 2022‐06‐17 27 16 Kunkel Expert Report Exhibit J: Vostro Minitool Log File Directory. 2022‐06‐17 28 1 17 Kunkel Expert Report Exhibit K: Deleted Files from Backup File Directory. 2022‐06‐ 2 17 3 18 Kunkel Expert Report Exhibit L: Vostro Laptop USB Devices File Directory. 2022‐ 4 06‐17 5 19 Kunkel Expert Report Exhibit M: Dell Desktop USB Devices File Directory. 2022‐ 6 06‐17 7 20 Non‐Disclosure of Confidential and Proprietary Information. (CSPC0000012), 2013‐ 8 04‐04 9 21 CSPC Dophen’s Employee Manual. (CSPC0000054‐CSPC0000088), undated 10 22 Conflict of Interest Policy with CSPC Dophen. (CSPC0000013), 2013‐04‐04 11 23 Sean Hu’s W‐2 from CSPC Dophen for the years 2012‐2017. (CSPC0000102‐ 12 CSPC0000107, 314), 2012‐2017 13 24 CSPC Dophen’s Safe Harbor 401(k) Plan for Sean Hu. (CSPC0000305‐ 14 CSPC0000313), 1/1/2012 ‐ 7/31/2017 15 25 Termination letter sent from CSPC Dophen to Sean Hu. (CSPC0000111), 2017‐07‐21 16 26 Excerpted copy of the January 10, 2019, deposition of Song “Jasmine” Xiong. 2019‐ 17 01‐10 18 27 Copy of an invoice sent from Sean under Dophen Biomed, Inc. to Heidelberg Pharma 19 for purchase of Microbial Transglutaminase. (CSPC0000207), 2016‐10‐07 20 28 Email between Lisha Allen and Ashley Smith re: FW: Senior Accountant. 21 (CSPC0089882‐CPSC0089885), 2017‐08‐01 22 29 Chase Bank Statement December 1, 2017 thru December 29, 2017. (CHASE0000202‐ 23 CHASE0000204), 2018‐11‐02 24 30 Chase Bank Statement December 30, 2017 thru January 31, 2018. (CHASE0000205‐ 25 CHASE0000211), 2018‐ 11‐02 26 31 Chase Bank Statement June 1, 2018 thru June 29, 2018. (CHASE0000226‐ 27 CHASE0000235), 2018‐11‐02 28 1 32 Chase Bank Statement June 30, 2018 thru July 31, 2018. (CHASE0000236‐ 2 CHASE0000239), 2018‐11‐02 3 33 Chase Bank Statement August 1, 2018 thru August 31, 2018. (CHASE0000240‐ 4 CHASE0000244), 2018‐11‐02 5 34 Chase Bank Statement September 1, 2018 thru September 28, 2018. 6 (CHASE0000245‐CHASE0000250), 2018‐11‐02 7 35 Documents produced by Ms. Song (Jasmine) Xiong in response to the subpoenas and 8 letter from Morrison & Foerster. various dates 9 36 Email between Sean Hu and Jasmine Xiong re: Offer. (CSPC0089049‐ 10 CPSC0089050), 2014‐03‐08 11 37 Email between Jasmine Xiong and Sean Hu re: Business License. (CSPC0077212‐ 12 CSPC0077214), 2014‐12‐ 09 13 38 Articles of Incorporation for Dophen Biomed, Inc. (CSPC0000225), 2014‐04‐22 14 39 Declaration of Jasmine Xiong in Support of Sean Hu's Motion to Disqualify Counsel. 15 2018‐07‐12 16 40 Email between Jasmine Xiong, Tina Ren and Li Yingui re: Dophen Budget 17 Enforcement. (CSPC0078182‐ CSPC0078183), 2015‐10‐06 18 41 Letter dated February 17, 2015, to Yanhong Li from Jasmine Xiong. (CSPC0077227), 19 2015‐02‐17 20 42 Declaration of Jasmine Xiong in Support of Sean Hu's Opposition to CSPC Dophen's 21 Motion to Compel Discovery Responses from Dr. Sean Hu. 2018‐06‐22 22 43 Email between Jasmine Xiong and Tiger Technologies re: Legal owner contact 23 change for dophenbiomed.com (A‐23529‐71899). (CSPC0077987‐CSPC0077988), 24 2015‐05‐01 25 44 National Institute of Health Grant Proposal. (CSPC0090215‐CSPC0090278), 2015‐ 26 12‐29 27 45 State of California Statement of Information form. (CSPC0094338), 2016‐03‐15 28 1 46 Declaration of Jasmine Xiong in Support of Sean Hu's Opposition to CSPC 2 Pharmaceutical Group Limited's Motion to Dismiss. 2018‐08‐30 3 47 Declaration of Sean Hu in Support of Opposition to Plaintiff's Motion for Expedited 4 Discovery. 2017‐10‐ 20 5 48 Declaration of Sean Hu in Support of Sean Hu's Opposition to Motion to Quash or 6 Modify Defendant's Subpoenas. 2018‐12‐07 7 49 E‐mail chain between Peggy Tang and Sean Hu re: Hu's CV and BP Deck. 2017‐10‐ 8 06 9 50 Sean Hu PowerPoint presentation re Salvage Targeted Bio‐Therapeutics for Cancer 10 by Mitigating Toxicity. 2017‐09‐20 11 51 E‐mail chain between Sean Hu and Jinxu Wang re: Recommending Lixen to move to 12 Simon's group to manage ADC project. (CSPC0094520), 2017‐04‐10 13 52 E‐mail between Sean Hu and Jinxu Wang re: DP303 IND Sponsor. (CSPC0094822‐ 14 CSPC0094823), 2017‐04‐ 12 15 53 E‐mail chain between "Ichunlei," Sean Hu, Li Yingui and Jinxu Wang re: Fwd: email 16 to Jinxu in 2011. (CSPC0094754‐CSPC0094757), 2017‐08‐06 17 54 Email between Jasmine Xiong and Lan Tang re: Order Summary (GenScript order 18 470719 for quotation 1166031) ‐‐ Please review this order and reply for any changes 19 immediately CRM:0106000000269. (CSPC0078075‐CSPC0078078), 2017‐08‐07 20 55 Email between Jasmine Xiong and Sean Hu re: Business License. (CSPC0077212‐ 21 CSPC0077214), 2014‐12‐ 09 22 56 Sacramento Business Journal article: Local subsidiary of Chines pharamceutical giant 23 in legal fight with researcher. (CSPC0094860‐CSPC0094862), 2017‐09‐28 24 57 National Institute of Health Grant Proposal. (CSPC0090215‐CSPC0090278), 2015‐ 25 12‐29 26 58 Email between Rubin Yang and Sean Hu re: Monthly Report. (CSPC0000315), 2016‐ 27 12‐01 28 1 59 Dophen BioMed November Monthly Report attached to R. Yang email. 2 (CSPC0000316‐CSPC0000321), 2016‐11‐30 3 60 Email between Rubin Yang and Sean Hu re: January Report. (CSPC0000322), 2017‐ 4 02‐03 5 61 Dophen BioMed November (sic) [January] Monthly Report attached to R. Yang 6 email. (CSPC0000323‐ CSPC0000327), 2017‐02‐01 7 62 Email between Rubin Yang and Sean Hu re: Feb Report. (CSPC0000328), 2017‐03‐ 8 01 9 63 Dophen BioMed November (sic) [February] Monthly Report attached to R. Yang 10 email. (CSPC0000329‐ CSPC0000331), 2017‐02‐28 11 64 Email between Rubin Yang and Sean Hu re: March Report. (CSPC0000332), 2017‐ 12 04‐01 13 65 Dophen BioMed March Monthly Report attached to R. Yang email. (CSPC0000333‐ 14 CSPC0000336), 2017‐03‐ 31 15 66 Email between Rubin Yang and Sean Hu re: April Monthly Report. (CSPC0000337), 16 2017‐04‐29 17 67 Dophen BioMed April Monthly Report attached to R. Yang email. (CSPC0000338‐ 18 CSPC0000342), 2017‐04‐ 28 19 68 Email between Rubin Yang and Sean Hu re: May Report. (CSPC0000343), 2017‐06‐ 20 01 21 69 Dophen BioMed May Monthly Report attached to R. Yang email. (CSPC0000344‐ 22 CSPC0000345), 2017‐05‐ 31 23 70 Email between Rubin Yang, Sean Hu and Lisha Allen re: June Report. 24 (CSPC0000346), 2017‐07‐02 25 71 Dophen BioMed March [June] Monthly Report attached to R. Yang email. 26 (CSPC0000347‐CSPC0000354), 2017‐06‐31 (sic) 27 72 Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0000355), 2017‐ 28 1 03‐31 2 73 Dophen BioMed March 2017 Monthly Report attached to L. Allen email. 3 (CSPC0000356‐CSPC0000366), 2017‐03‐30 4 74 Dophen BioMed March 2017 Monthly Report attached to L. Allen email. 5 (CSPC0000367‐CSPC0000377), 2017‐03‐30 6 75 Dophen BioMed August Monthly Report from L. Allen. (CSPC0000394‐ 7 CSPC0000407), 2015‐08‐27 8 76 Email between Lisha Allen and Sean Hu re: Update on Production / Plan of Stability. 9 (CSPC0000408), 2016‐ 07‐08 10 77 DP303c Drug Product Characterization Table. (CSPC0000409‐CSPC0000410), 11 undated 12 78 DP303c Drug Product Stability Study Protocol. (CSPC0000411), undated 13 79 DP303c Drug Substance Stability Study Protocol. (CSPC0000419‐CSPC0000427), 14 undated 15 80 Dophen BioMed June Monthly Report. (CSPC0000428‐CSPC0000437), 2016‐07‐04 16 81 Dophen BioMed June Monthly Report. (CSPC0000438‐CSPC0000447), 2016‐07‐04 17 82 Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0000448), 2015‐ 18 12‐01 19 83 Dophen BioMed November 2015 Monthly Report attached to L. Allen email. 20 (CSPC0000449‐ CSPC0000455), 2015‐11‐30 21 84 Dophen BioMed November 2015 Monthly Report attached to L. Allen email. 22 (CSPC0000456‐ CSPC0000462), 2015‐11‐30 23 85 Email between Lisha Allen and Sean Hu re: mTgase production used for DP303c 24 batches. (CSPC0000463), 2017‐02‐26 25 86 M1‐NHW mTgase Production SOP information sheet. (CSPC0000464‐ 26 CSPC0000471), undated 27 87 Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0000472), 2016‐ 28 1 05‐03 2 88 Dophen BioMed April 2016 Monthly Report attached to L. Allen email. 3 (CSPC0000473‐CSPC0000487), 2016 04‐27 4 89 Dophen BioMed April 2016 Monthly Report attached to L. Allen email. 5 (CSPC0000488), 2016‐04‐27 6 90 Email between Lisha Allen and Sean Hu re: Report for DP303c Production Thus Far. 7 (CSPC0000503), 2016‐ 04‐07 8 91 Dophen BioMed March 2016 Monthly Report attached to L. Allen email. 9 (CSPC0000504‐CSPC0000515), 2016‐04‐03 10 92 Dophen BioMed March 2016 Monthly Report attached to L. Allen email. 11 (CSPC0000516‐CSPC0000527), 2016‐04‐03 12 93 Email between Lisha Allen and Sean Hu re: October Monthly Report. 13 (CSPC0000528), 2016‐11‐03 14 94 Dophen BioMed October 2016 Monthly Report attached to L. Allen email. 15 (CSPC0000529‐CSPC0000541), 2016‐10‐31 16 95 Dophen BioMed October 2016 Monthly Report attached to L. Allen email. 17 (CSPC0000542‐CSPC0000554), 2016‐10‐31 18 96 Email between Lisha Allen and Sean Hu re: September Monthly Report. 19 (CSPC0000555), 2015‐09‐30 20 97 Dophen BioMed September 2015 Monthly Report attached to L. Allen email. 21 (CSPC0000556‐ CSPC0000569), 2015‐09‐28 22 98 Dophen BioMed September 2015 Monthly Report attached to L. Allen email. 23 (CSPC0000570‐ CSPC0000583), 2015‐09‐28 24 99 ADC Reaction RT vs Time charts (native excel). (CSPC0000584), undated 25 100 Email between Lisha Allen and Sean Hu re: January Monthly Report. 26 (CSPC0000585), 2016‐02‐01 27 101 Dophen BioMed January 2016 Monthly Report attached to L. Allen email. 28 1 (CSPC0000586‐CSPC0000599), 2015‐01‐30 (sic) 2 102 Dophen BioMed January 2016 Monthly Report attached to L. Allen email. 3 (CSPC0000600‐CSPC0000613), 2015‐01‐30 (sic) 4 103 Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0000614), 2017‐ 5 02‐03 6 104 Dophen BioMed January 2017 Monthly Report attached to L. Allen email. 7 (CSPC0000615‐CSPC0000622), 2017‐02‐02 8 105 Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0000623), 2017‐ 9 03‐01 10 106 Dophen BioMed February 2017 Monthly Report attached to L. Allen email. 11 (CSPC0000624‐CSPC0000630), 2017‐02‐28 12 107 Dophen BioMed February 2017 Monthly Report attached to L. Allen email. 13 (CSPC0000631‐CSPC0000638), 2017‐02‐28 14 108 Email between Lisha Allen and Sean Hu re: May Monthly Report. (CSPC0000639), 15 2017‐06‐01 16 109 Dophen BioMed May 2017 Monthly Report attached to L. Allen email. 17 (CSPC0000640‐CSPC0000649), 2017‐ 05‐30 18 110 Dophen BioMed May 2017 Monthly Report attached to L. Allen email. 19 (CSPC0000650‐CSPC0000659), 2017‐ 05‐30 20 111 Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0000660), 2016‐ 21 12‐06 22 112 Dophen BioMed November 2016 Monthly Report attached to L. Allen email. 23 (CSPC0000661‐ CSPC0000673), 2016‐11‐28 24 113 Dophen BioMed November 2016 Monthly Report attached to L. Allen email. 25 (CSPC0000674‐ CSPC0000686), 2016‐11‐28 26 114 Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0000687), 2015‐ 27 11‐01 28 1 115 Dophen BioMed October 2015 Monthly Report attached to L. Allen email. 2 (CSPC0000688‐CSPC0000702), 2015‐10‐30 3 116 Dophen BioMed October 2015 Monthly Report attached to L. Allen email. 4 (CSPC0000703‐CSPC0000717), 2015‐10‐30 5 117 Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0000718), 2017‐ 6 04‐29 7 118 Dophen BioMed April 2017 Monthly Report attached to L. Allen email. 8 (CSPC0000719‐CSPC0000726), 2017 04‐28 9 119 Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0000727), 2016‐ 10 01‐01 11 120 Dophen BioMed December 2015 Monthly Report attached to L. Allen email. 12 (CSPC0000728‐ CSPC0000738), 2015‐12‐30 13 121 Dophen BioMed December 2015 Monthly Report attached to L. Allen email. 14 (CSPC0000739‐ CSPC0000749), 2015‐12‐30 15 122 Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0000750), 2017‐ 16 01‐04 17 123 Dophen BioMed December 2016 Monthly Report attached to L. Allen email. 18 (CSPC0000751‐ CSPC0000766), 2016‐12‐29 19 124 Dophen BioMed December 2016 Monthly Report attached to L. Allen email. 20 (CSPC0000767‐ CSPC0000782), 2016‐12‐29 21 125 Email between Lisha Allen and Sean Hu re: July Monthly Report. (CSPC0000783), 22 2015‐08‐01 23 126 Dophen BioMed July 2015 Monthly Report attached to L. Allen email. 24 (CSPC0000784‐CSPC0000797), 2015‐ 07‐30 25 127 ADC Reaction RT vs Time charts (native excel). (CSPC0000798), undated 26 128 Dophen BioMed July 2015 Monthly Report attached to L. Allen email. 27 (CSPC0000799‐CSPC0000812), 2015‐ 07‐30 28 1 129 Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0000813), 2016‐ 2 06‐03 3 130 Dophen BioMed May 2016 Monthly Report attached to L. Allen email. 4 (CSPC0000814‐CSPC0000825), 2016‐ 05‐31 5 131 Dophen BioMed May 2016 Monthly Report attached to L. Allen email. 6 (CSPC0000826‐CSPC0000837), 2016‐ 05‐31 7 132 Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0000838), 2016‐ 8 03‐02 9 133 Dophen BioMed February 2016 Monthly Report attached to L. Allen email. 10 (CSPC0000839‐CSPC0000849), 2016‐02‐29 11 134 Dophen BioMed February 2016 Monthly Report attached to L. Allen email. 12 (CSPC0000850‐CSPC0000860), 2016‐02‐29 13 135 Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0000861), 2015‐ 14 07‐03 15 136 Dophen BioMed June 2015 Monthly Report attached to L. Allen email. 16 (CSPC0000862‐CSPC0000872), 2015‐ 07‐01 17 137 Dophen BioMed June 2015 Monthly Report attached to L. Allen email. 18 (CSPC0000873‐CSPC0000883), 2015‐ 07‐01 19 138 Email between Lisha Allen and Sean Hu re: June Monthly Report. (CSPC0000884), 20 2017‐07‐01 21 139 Dophen BioMed June 2017 Monthly Report attached to L. Allen email. 22 (CSPC0000885‐CSPC0000891), 2017‐ 06‐30 23 140 Dophen BioMed June 2017 Monthly Report attached to L. Allen email. 24 (CSPC0000892‐CSPC0000898), 2017‐ 06‐30 25 141 Letter from Sean Hu to Center for Drug Evaluation & Research re submission of 26 Investigational new drug application re clinical study of DP303c‐101. 27 (CSPC0036493), 2017‐03‐27 28 1 142 Investigator's Brochure re Investigational Product Compound Number: DP303c. 2 (CSPC0036502‐ CSPC0036526), 2017‐03‐22 3 143 IND 130699 (SDP303c) 2.2 Introduction to Summary. (CSPC0036577), undated 4 144 IND 130699 (SDP303c) 2.3 Drug Product. (CSPC0036579‐CSPC0036583), undated 5 145 IND 130699 (SDP303c) 2.3 DP303c Drug Substance. (CSPC0036584‐ 6 CSPC0036588), undated 7 146 IND 130699 (SDP303c) 2.3 Quality Overall Summary . (CSPC0036589), undated 8 147 IND 130699 (SDP303c) 2.4 Nonclinical Overview. (CSPC0036590‐CSPC0036606), 9 undated 10 148 IND 130699 (SDP303c) 2.5 Nonclinical Overview. (CSPC0036607‐CSPC0036609), 11 undated 12 149 IND 130699 (SDP303c) 2.6.1 Introduction. (CSPC0036610), undated 13 150 IND 130699 (SDP303c) 2.6.3 Pharmacology Tabulated Summary. (CSPC0036615‐ 14 CSPC0036619), undated 15 151 IND 130699 (SDP303c) 2.6.2 Pharmacology Written Summary. (CSPC0036620‐ 16 CSPC0036626), undated 17 152 IND 130699 (SDP303c) 2.6.5 Pharmacokinetics Summary. (CSPC0036627‐ 18 CSPC0036638), undated 19 153 IND 130699 (SDP303c) 2.6.4 Pharmacokinetics Written Summary. (CSPC0036639), 20 undated 21 154 IND 130699 (SDP303c) 2.6.7 Toxicology Tabulated Summary. (CSPC0036672), 22 undated 23 155 IND 130699 (SDP303c) 2.6.6 Pharmacology Written Summary. (CSPC0036681), 24 undated 25 156 IND 130699 (SDP303c) 3.2.A.2 Adventitious Agents Safety Evaluation. 26 (CSPC0036695‐CSPC0036702), undated 27 157 IND 130699 (SDP303c) 3.2.P.1 Description and Composition of Drug Product. 28 1 (CSPC0036703‐ CSPC0036705), undated 2 158 IND 130699 (SDP303c) 3.2.P.2 Pharmaceutical Development. (CSPC0036706‐ 3 CSPC0036713), undated 4 159 IND 130699 (SDP303c) 3.2.P.3.2 Batch Formula. (CSPC0036714), undated 5 160 IND 130699 (SDP303c) 3.2.P.3.4 Controls of Critical Steps and Intermediates. 6 (CSPC0036715), undated 7 161 IND 130699 (SDP303c) 3.2.P.3.3 Description of Manufacturing Process and Process 8 Controls. (CSPC0036716‐CSPC0036718), undated 9 162 IND 130699 (SDP303c) 3.2.P.3.1 Manufacturers. (CSPC0036719), undated 10 163 IND 130699 (SDP303c) 3.2.P.3.5 Process Validation and/or Evaluation. 11 (CSPC0036720), undated 12 164 IND 130699 (SDP303c) 3.2.P.4.5 Excipients of Human or Animal Origin. 13 (CSPC0036721), undated 14 165 IND 130699 (SDP303c) 3.2.P.4.1 Specifications. (CSPC0036722), undated 15 166 IND 130699 (SDP303c) 3.2.P.5.1 Specifications. (CSPC0036723‐CSPC0036724), 16 undated 17 167 IND 130699 (SDP303c) 3.2.P.5.2 Analytical Procedures. (CSPC0036725), undated 18 168 IND 130699 (SDP303c) 3.2.P.5.3 Validation of Analytical Procedures. 19 (CSPC0036726), undated 20 169 IND 130699 (SDP303c) 3.2.P.5.4 Validation of Analytical Procedures. 21 (CSPC0036727‐CSPC0036731), undated 22 170 Certificate of Analysis. (CSPC0036732‐CSPC0036733), undated 23 171 IND 130699 (SDP303c) 3.2.P.5.5 Characterization of Impurities. (CSPC0036734), 24 undated 25 172 IND 130699 (SDP303c) 3.2.P.5.6 Justification of Specifications. (CSPC0036735), 26 undated 27 173 IND 130699 (SDP303c) 3.2.P.6 Biotech Drug Product Reference Standards or 28 1 Materials. (CSPC0036736), undated 2 174 IND 130699 (SDP303c) 3.2.P.7 Drug Product Container Closure System. 3 (CSPC0036737), undated 4 175 IND 130699 (SDP303c) 3.2.P.8.3 Stability Data. (CSPC0036738‐CSPC0036753), 5 undated 6 176 IND 130699 (SDP303c) 3.2.P.8.1 Stability Summary and Conclusion. 7 (CSPC0036754‐CSPC0036760), undated 8 177 IND 130699 (SDP303c) 3.2.S.1.3 General Properties. (CSPC0036761), undated 9 178 IND 130699 (SDP303c) 3.2.S.1.1 Nomenclature. (CSPC0036762), undated 10 179 IND 130699 (SDP303c) 3.2.S.1.2 Structure. (CSPC0036763‐CSPC0036766), undated 11 180 IND 130699 (SDP303c) 3.2.S.2.4 Control of Critical Steps and Intermediates. 12 (CSPC0036767), undated 13 181 IND 130699 (SDP303c) 3.2.S.2.3 Control of Materials. (CSPC0036768‐ 14 CSPC0036775), undated 15 182 IND 130699 (SDP303c) 3.2.S.2.2 Description of Manufacturing Process and Process 16 Controls. (CSPC0036776‐CSPC0036780), undated 17 183 IND 130699 (SDP303c) 3.2.S.2.6 Manufacturing Process Development. 18 (CSPC0036781‐CSPC0036782), undated 19 184 IND 130699 (SDP303c) 3.2.S.2.1 Manufacturers. (CSPC0036783), undated 20 185 IND 130699 (SDP303c) 3.2.S.3.1 Elucidation of Structure and Other Characteristics. 21 (CSPC0036784‐ CSPC0036796), undated 22 186 IND 130699 (SDP303c) 3.2.S.3.2 Impurities. (CSPC0036797‐CSPC0036799), 23 undated 24 187 IND 130699 (SDP303c) 3.2.S.4.2 Specification . (CSPC0036800‐CSPC0036801), 25 undated 26 188 IND 130699 (SDP303c) 3.2.S.4.1 Analytical Procedures. (CSPC0036802‐ 27 CSPC0036807), undated 28 1 189 IND 130699 (SDP303c) 3.2.S.4.3 Validation of Analytical Procedures. 2 (CSPC0036808), undated 3 190 IND 130699 (SDP303c) 3.2.S.4.4 Batch Analyses. (CSPC0036809‐CSPC0036812), 4 undated 5 191 IND 130699 (SDP303c) 3.2.S.4.5 Justification of Specification. (CSPC0036813‐ 6 CSPC0036816), undated 7 192 IND 130699 (SDP303c) 3.2.S.5 References Standards or Materials. (CSPC0036817), 8 undated 9 193 IND 130699 (SDP303c) 3.2.S.6 Container Closure System. (CSPC0036818), undated 10 194 IND 130699 (SDP303c) 3.2.S.7.3 Stability Data. (CSPC0036819‐CSPC0036831), 11 undated 12 195 IND 130699 (SDP303c) 3.2.S.7.1 Stability Summary and Conclusions. 13 (CSPC0036832‐CSPC0036837), undated 14 196 IND 130699 (SDP303c) 3.2.S.1.3 General Properties. (CSPC0036838), undated 15 197 IND 130699 (SDP303c) 3.2.S.1.1 Nomenclature. (CSPC0036839), undated 16 198 IND 130699 (SDP303c) 3.2.S.1.2 Structure. (CSPC0036840‐CSPC0036842), undated 17 199 IND 130699 (SDP303c) 3.2.S.2.4 Control of Critical Steps and Intermediates. 18 (CSPC0036843), undated 19 200 IND 130699 (SDP303c) 3.2.S.2.3 Control of Materials. (CSPC0036844‐ 20 CSPC0036852), undated 21 201 IND 130699 (SDP303c) 3.2.S.2.2 Description of Manufacturing Process and Process 22 Controls. (CSPC0036853‐CSPC0036863), undated 23 202 IND 130699 (SDP303c) 3.2.S.2.6 Manufacturing Process Development. 24 (CSPC0036864), undated 25 203 IND 130699 (SDP303c) 3.2.S.2.1 Manufacturers. (CSPC0036865), undated 26 204 IND 130699 (SDP303c) 3.2.S.2.5 Process Validation and/or Evaluation. 27 (CSPC0036866), undated 28 1 205 IND 130699 (SDP303c) 3.2.S.3.1 Elucidation of Structure and Other Characteristics. 2 (CSPC0036867‐ CSPC0036879), undated 3 206 IND 130699 (SDP303c) 3.2.S.3.2 Impurities. (CSPC0036880‐CSPC0036885), 4 undated 5 207 IND 130699 (SDP303c) 3.2.S.4.1 Specification. (CSPC0036886), undated 6 208 IND 130699 (SDP303c) 3.2.S.4.2 Analytical Procedures. (CSPC0036887‐ 7 CSPC0036890), undated 8 209 IND 130699 (SDP303c) 3.2.S.4.3 Validation of Analytical Procedures 9 (CSPC0036891), undated 10 210 IND 130699 (SDP303c) 3.2.S.4.4 Batch Analyses. (CSPC0036892‐CSPC0036895), 11 undated 12 211 IND 130699 (SDP303c) 3.2.S.4.5 Justification of Specification. (CSPC0036896‐ 13 CSPC0036898), undated 14 212 IND 130699 (SDP303c) 3.2.S.5 References Standards or Materials. (CSPC0036899), 15 undated 16 213 IND 130699 (SDP303c) 3.2.S.6 Container Closure System. (CSPC0036900), undated 17 214 IND 130699 (SDP303c) 3.2.S.7.3 Stability Data. (CSPC0036901‐CSPC0036911), 18 undated 19 215 IND 130699 (SDP303c) 3.2.S.7.1 Stability Summary and Conclusions. 20 (CSPC0036912‐CSPC0036917), undated 21 216 IND 130699 (SDP303c) 3.2.S.1.3 General Properties. (CSPC0036918), undated 22 217 IND 130699 (SDP303c) 3.2.S.1.1 Nomenclature. (CSPC0036919), undated 23 218 IND 130699 (SDP303c) 3.2.S.1.2 Structure. (CSPC0036920), undated 24 219 IND 130699 (SDP303c) 3.2.S.2.4 Control of Critical Steps and Intermediates. 25 (CSPC0036921), undated 26 220 IND 130699 (SDP303c) 3.2.S.2.3 Control of Materials. (CSPC0036922‐ 27 CSPC0036924), undated 28 1 221 IND 130699 (SDP303c) 3.2.S.2.2 Description of Manufacturing Process and Process 2 Controls. (CSPC0036925), undated 3 222 IND 130699 (SDP303c) 3.2.S.2.1 Manufacturers. (CSPC0036928), undated 4 223 IND 130699 (SDP303c) 3.2.S.2.6 Manufacturing Process Development. 5 (CSPC0036929), undated 6 224 IND 130699 (SDP303c) 3.2.S.2.5 Process Validation and/or Evaluation. 7 (CSPC0036930), undated 8 225 IND 130699 (SDP303c) 3.2.S.3.1 Elucidation of Structure and Other Characteristics. 9 (CSPC0036931‐ CSPC0036935), undated 10 226 IND 130699 (SDP303c) 3.2.S.3.2 Impurities. (CSPC0036936‐CSPC0036939), 11 undated 12 227 IND 130699 (SDP303c) 3.2.S.4.1 Specification. (CSPC0036940), undated 13 228 IND 130699 (SDP303c) 3.2.S.4.2 Analytical Procedures. (CSPC0036941), undated 14 229 IND 130699 (SDP303c) 3.2.S.4.3 Validation of Analytical Procedures. 15 (CSPC0036942), undated 16 230 IND 130699 (SDP303c) 3.2.S.4.4 Batch Analyses. (CSPC0036943‐CSPC0036945), 17 undated 18 231 IND 130699 (SDP303c) 3.2.S.4.5 Justification of Specification. (CSPC0036946‐ 19 CSPC0036948), undated 20 232 IND 130699 (SDP303c) 3.2.S.5 References Standards or Materials. (CSPC0036949), 21 undated 22 233 IND 130699 (SDP303c) 3.2.S.6 Container Closure System. (CSPC0036950), undated 23 234 IND 130699 (SDP303c) 3.2.S.7.3 Stability Data. (CSPC0036951), undated 24 235 IND 130699 (SDP303c) 3.2.S.7.1 Stability Summary and Conclusions. 25 (CSPC0036952‐CSPC0036958), undated 26 236 Email between Rubin Yang, Sean Hu and L. Allen re: mTgase new constructs. 27 (CSPC0094892), 2016‐08‐29 28 1 237 Email between Rubin Yang, Sean Hu and L. Allen re: additional Q step for 2 NHW07282016. (CSPC0094893), 2017‐02‐26 3 238 Q sepharose purification for NHW07282016. (CSPC0094894), undated 4 239 Email between Rubin Yang and Sean Hu re: Streptavidin binding assay. 5 (CSPC0094895), 2017‐06‐18 6 240 06192017 experiment design (Herceptin HBP and Streptavidin binding assay). 7 (CSPC0094896), undated 8 241 Email between Rubin Yang and Sean Hu re: mTgase new constructs. 9 (CSPC0094897), 2016‐08‐29 10 242 mTgase new constructs. (CSPC0094898‐CSPC0094903), undated 11 243 Email between Rubin Yang and Sean Hu re: additional Q step for NHW07282016. 12 (CSPC0094904), 2017‐03‐ 07 13 244 Q sepharose purification for NHW07282016. (CSPC0094905‐CSPC0094906), 14 undated 15 245 Email between Rubin Yang, Sean Hu and L. Allen re: mTtgase production used for 16 DP3O3c batches. (CSPC0094907), 2016‐03‐07 17 246 Sources 15s NHW purification.docx. (CSPC0094908‐CSPC0094909), undated 18 247 Email between Rubin Yang, Sean Hu and L. Allen re: Flow chart. (CSPC0094910), 19 2017‐03‐30 20 248 FabArmExchange IgGi reduce disrupt and refold. (CSPC0094911), undated 21 249 Email between Rubin Yang, Sean Hu and J. Lovinger re: Flow chart. 22 (CSPC0094912), 2017‐04‐03 23 250 Flow chart and purification summary 04032017. (CSPC0094913‐CSPC0094914), 24 undated 25 251 Email between Rubin Yang, Sean Hu and J. Lovinger re: Flow chart. 26 (CSPC0094915), 2017‐04‐03 27 252 Flow chart and purification summary 04032017. (CSPC0094916‐CSPC0094917), 28 1 undated 2 253 Email between Rubin Yang and Sean Hu re: ELISA signal. (CSPC0094918), 2017‐ 3 04‐05 4 254 ELISA description signal table. (CSPC0094919), undated 5 255 ELISA description signal table (native excel). (CSPC0094920), undated 6 256 Email between Lisha Allen and Sean Hu re: July Monthly Report. (CSPC0095698), 7 2015‐08‐01 8 257 Dophen BioMed July 2015 Monthly Report attached to L. Allen email. 9 (CSPC0095699), 2015‐07‐30 10 258 Dophen BioMed July 2015 Monthly Report attached to L. Allen email. 11 (CSPC0095700‐CSPC0095713), 2015‐ 07‐30 12 259 Email between Lisha Allen and Sean Hu re: July Monthly Report. (CSPC0095779), 13 2015‐08‐01 14 260 Dophen BioMed July 2015 Monthly Report attached to L. Allen email. 15 (CSPC0095780), 2015‐07‐30 16 261 Dophen BioMed July 2015 Monthly Report attached to L. Allen email. 17 (CSPC0095781‐CSPC0095794), 2015‐ 07‐30 18 262 Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0096249), 2017‐ 19 02‐03 20 263 Dophen BioMed January 2017 Monthly Report attached to L. Allen email. 21 (CSPC0096250‐CSPC0096257), 2017‐02‐02 22 264 Dophen BioMed January 2017 Monthly Report attached to L. Allen email. 23 (CSPC0096258‐CSPC0096265), 2017‐02‐02 24 265 Email between Sean Hu and Lisha Allen re: 6 mTgase mutants. (CSPC0118551), 25 2015‐09‐08 26 266 Six PromTgase mutants brief. (CSPC0118552‐CSPC0118553), undated 27 267 Email between Lisha Allen and Sean Hu re: August Monthly Report. 28 1 (CSPC0118554), 2015‐09‐01 2 268 Dophen BioMed March 2017 Monthly Report attached to L. Allen email. 3 (CSPC0118555‐CSPC0118568), 2015‐08‐27 4 269 Dophen BioMed March 2017 Monthly Report attached to L. Allen email. 5 (CSPC0118569‐CSPC0118582), 2015‐08‐27 6 270 Email between Lisha Allen and Sean Hu re: bispecific powerpoint and DBCO 7 compound. (CSPC0118583), 2017‐02‐17 8 271 Bispecific Antibody Preparation by Cross‐linking (Copper Catalyst Click Chemistry 9 Method PowerPoint. (CSPC0118584‐CSPC0118589), undated 10 272 Email between L. Allen and Lixin Feng re: DP3O3c Production report for GLP Tox 11 batch. (CSPC0118590), 2017‐01‐12 12 273 DP3O3c HME03192016 Production Report. (CSPC0118591‐CSPC0118610), 2017‐ 13 01‐11 14 274 Email between Sean Hu and Lisha Allen re: Six New mutants re: Two New Pro‐ 15 mTgase mutants. (CSPC0118611‐CSPC0118613), 2015‐08‐20 16 275 list of the Six PromTgase mutants. (CSPC0118614‐CSPC0118617), undated 17 276 Email between Lixin Feng L. Allen and re: CoA's. (CSPC0118618), 2017‐01‐05 18 277 Certificate of Analysis. (CSPC0118619), 2016‐04‐29 19 278 Certificate of Analysis. (CSPC0118620), 2016‐03‐25 20 279 Certificate of Analysis. (CSPC0118621), 2016‐01‐15 21 280 Certificate of Analysis. (CSPC0118622), 2016‐03‐02 22 281 Email between Lisha Allen and Sean Hu re: January Monthly Report. 23 (CSPC0118623), 2016‐02‐01 24 282 Dophen BioMed January 2016 Monthly Report attached to L. Allen email. 25 (CSPC0118624‐CSPC0118637), 2015‐01‐30 (sic) 26 283 Dophen BioMed January 2016 Monthly Report attached to L. Allen email. 27 (CSPC0118638), 2015‐01‐30 (sic) 28 1 284 Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0118652), 2016‐ 2 01‐01 3 285 Dophen BioMed December 2015 Monthly Report attached to L. Allen email. 4 (CSPC0118653‐ CSPC0118663), 2015‐12‐30 5 286 Dophen BioMed December 2015 Monthly Report attached to L. Allen email. 6 (CSPC0118664‐ CSPC0118674), 2015‐12‐30 7 287 Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0118675), 2015‐ 8 12‐01 9 288 Dophen BioMed November 2015 Monthly Report attached to L. Allen email. 10 (CSPC0118676‐ CSPC0118682), 2015‐11‐30 11 289 Dophen BioMed November 2015 Monthly Report attached to L. Allen email. 12 (CSPC0118683‐ CSPC0118689), 2015‐11‐30 13 290 Email between Lisha Allen and Sean Hu re: Monthly Report. (CSPC0118690), 2015‐ 14 11‐01 15 291 Dophen BioMed October 2015 Monthly Report attached to L. Allen email. 16 (CSPC0118691‐CSPC0118705), 2015‐10‐30 17 292 Dophen BioMed October 2015 Monthly Report attached to L. Allen email. 18 (CSPC0118706‐CSPC0118720), 2015‐10‐30 19 293 Email between Sean Hu and Lisha Allen re: New mTgase ordered. (CSPC0118721), 20 2016‐06‐28 21 294 PromTgase new mutants June 2016. (CSPC0118722), undated 22 295 Email between Lisha Allen and Ou Yang Yue re: peptide mapping on HPLC protocol. 23 (CSPC0118723), 2016‐ 11‐02 24 296 DP303c Peptide Profile Sample Preparation and Analysis for Release and Stability. 25 (CSPC0118724), 2016‐10‐ 26 26 297 Email between Lisha Allen and Dr. T Hechler re: Protocols for ADC preparation 27 through the use of mTgase. (CSPC0118730), 2016‐10‐12 28 1 298 Direct Conjugation of IgGi Antibody by Microbial Transglutaminase II. 2 (CSPC0118731‐CSPC0118735), 2016‐ 10‐06 3 299 ADC Conjugation Reaction Analysis by RP‐HPLC. (CSPC0118736‐CSPC0118741), 4 2016‐10‐10 5 300 ADC Purification by Protein Affinity Chromatography II. (CSPC0118742‐ 6 CSPC0118746), 2016‐10‐06 7 301 Email between Lisha Allen and J. Fang re: ADC filing. (CSPC0118747‐ 8 CSPC0118748), 2017‐01‐19 9 302 DP303C Stability Study Results Overview. (CSPC0118749‐CSPC0118779), 2017‐01‐ 10 18 11 303 DP303C Stability Study sample checklist. (CSPC0118780), undated 12 304 DP303C Reference Standard Characterization Checklist. (CSPC0118781‐ 13 CSPC0118782), undated 14 305 DP303C HME07302016 Drug Product Lot Release Checklist. (CSPC0118783‐ 15 CSPC0118784), undated 16 306 Email between Lisha Allen and J. Fang re: COA's and Master drug files. 17 (CSPC0118785), 2017‐01‐07 18 307 DP303c and Component Lot History Tables 01062017. (CSPC0118791‐ 19 CSPC0118793), undated 20 308 Email between Sean Hu, Yuxi Shan, and Lisha Allen re: Remove "AP" from CHW 21 mutant. (CSPC0118794), 2015‐10‐10 22 309 CHW NHW protein and DNA sequences gene mutation information. 23 (CSPC0118795), undated 24 310 alignment.SPF (software file). (CSPC0118797), undated 25 311 G558134 CHW protein and DNA sequences gene mutation information. 26 (CSPC0118798), undated 27 312 GS58134‐2 pET39b‐Mutant_1NHW.cm5 (software file). (CSPC0118802), undated 28 1 313 GS58134‐2 pET39b‐Mutant_1NHW.gb (software file). (CSPC0118803‐ 2 CSPC0118805), undated 3 314 Mutant_1NHW F1.ab1 (software file). (CSPC0118806‐CSPC0119902), undated 4 315 Mutant_1NHW PET‐F.ab1 (software file). (CSPC0119903‐CSPC0120993), undated 5 316 original seq information. (CSPC0120994), undated 6 317 alignment.SPF (software file). (CSPC0120995‐CSPC0120995), undated 7 318 GS58134‐1 pET39b‐Mutant_1CHW Plasmid Map. (CSPC0120996‐CSPC0120999), 8 undated 9 319 GS58134‐1 pET39b‐Mutant_1CHW.cm5 (software file). (CSPC0121000), undated 10 320 GS58134‐1 pET39b‐Mutant_1CHW.gb (software file). (CSPC0121001‐ 11 CSPC0121003), undated 12 321 Mutant_1CHW F1.ab1 (software file). (CSPC0121004‐CSPC0122075), undated 13 322 Mutant_1CHW PET‐F.ab1 (software file). (CSPC0122076‐CSPC0122147), undated 14 323 original seq information. (CSPC0122148), undated 15 324 email between Lisha Allen and Sean Hure: re: SEC‐HPLC Method Validation. 16 (CSPC0122149‐CSPC0122149), undated 17 325 Super 3000 SEC‐HPLC Method Validation. (CSPC0122150), undated 18 326 Email between Lisha Allen and Sean Hu re: September Monthly Report. 19 (CSPC0122151), 2015‐09‐30 20 327 Dophen BioMed September 2015 Monthly Report attached to L. Allen email. 21 (CSPC0122152‐ CSPC0122165), 2015‐09‐28 22 328 Dophen BioMed September 2015 Monthly Report attached to L. Allen email. 23 (CSPC0122166), 2015‐09‐28 24 329 ADC Reaction RT vs Time charts. (CSPC0122180), undated 25 330 Email between Rubin Yang, Sean Hu and L. Allen re: Disrupt Pro‐mTgase 26 interaction. (CSPC0122181), 2016‐ 09‐07 27 28 331 PM1‐QQG &PM1‐EEK general protocol. (CSPC0122182‐CSPC0122183), undated 1 332 Email between Rubin Yang and Sean Hu re: mTgase new constructs. 2 (CSPC0122184), 2016‐08‐29 3 333 mTgase new constructs. (CSPC0122185‐CSPC0122190), undated 4 334 Email between Rubin Yang, Sean Hu and L. Allen re: mTtgase production used for 5 DP303c batches. (CSPC0122191), 2017‐03‐07 6 335 Sources 15s NHW purification protocol sheet. (CSPC0122192‐CSPC0122193), 7 undated 8 336 Email between Yingui Li and Sean Hu re: Fwd: FW: International Application No. 9 PCT/US2015/035375 (Our Reference: 72069‐20001.40). (CSPC0096848 ‐ 10 CSPC0096854), 2017‐08‐07 11 337 Payroll records for Dophen Biomed, Inc. (10/14/2016, 12/16/2016, 3/14/2017, and 12 6/15/2017). (CSPC0096867 ‐CSPC0096873), 2017‐06‐15 13 338 Photograph of Sean Hu in front of the office sign at 2945 Ramco St. #150, West 14 Sacramento, CA, 95691. (CSPC0000010), 2013 15 339 CSPC Dophen Corporation employment offer letter to Sean Hu signed by Jinxu 16 Wang. (CSPC0000048‐ CSPC0000049), 2011‐09‐27 17 340 Dophen Biomed Inc. Chase bank statement. (CSPC0000114‐CSPC0000137), 2016‐ 18 10‐26 19 341 Confirmation Details of Dophen Biomed Inc. wire payment (CSPC0000141), undated 20 342 Screenshot of Sean Hu's text messages. (CSPC0000185), 7/4/2017 ‐ 7/10/2017 21 343 CSPC Dophen Chase Bank Account (7205) statements (CSPC0000257‐ 22 CSPC0000292), 2017‐01‐01 23 344 DP303c Study report prepared by Xiancheng Zeng and sponsored by Dophen Biomed 24 Corporation. (CSPC0058132‐CSPC0058158), 2016‐03‐28 25 345 NIH Grant Application (Phase I). (CSPC0073657‐CSPC0073720), 2015‐12‐17 26 346 Email between Kelly Aubrecht at NIGMS Sean Hu and Ashley Smith re: Phase II 27 Continuation Package ‐‐ Grant Number 1R44GM121096‐01. (CSPC0073737‐ 28 1 CSPC0073740), 2017‐07‐25 2 347 Employment offer letter to Tianxin Wang signed by Sean Hu. (CSPC0073825‐ 3 CSPC0073826), 2014‐04‐03 4 348 Email between Jasmine Xiong, Sean Hu and Zuofeng Feng at Gateway 5 pharmaceutical re: Order for PBD. (CSPC0074010‐CSPC0074013), 2015‐04‐10 6 349 Confidentiality Agreement between Dophen Biomedical and China Gateway Life 7 Science (Holdings) Ltd. signed by Sean on behalf of Dophen Biomedical. 8 (CSPC0074014‐CSPC0074017), 2015‐04‐01 9 350 Master Services Agreement between Dophen Biomedical and China Gateway Life 10 Science (Holdings) Ltd. Signed by Sean on behalf of Dophen Biomedical. 11 (CSPC0074018‐CSPC0074034), 2015‐04‐01 12 351 Email from Sean Hu to Peter Fang from Shanghai CP Guojian pharmaceutical Co., 13 Ltd. re: Dophen's Patent Introduction. (CSPC0074057‐CSPC0074064), 2015‐05‐27 14 352 Draft confidential agreement between Shanghai CP Guojian Pharmaceutical Co., Ltd 15 and CSPC Dophen Biomed. (CSPC0074065‐CSPC0074066), 2015‐06‐04 16 353 Draft confidential agreement between Shanghai CP Guojian Pharmaceutical Co., Ltd 17 and CSPC Dophen Biomed. (CSPC0074070‐CSPC0074073), 2015‐06‐04 18 354 Email from Sean Hu instructing Jasmine Xiong and Lisha Allen re: how to set up 19 your new Dophen mail on Outlook. (CSPC0074074‐CSPC0074075), 2015‐06‐08 20 355 Email between Gan (Peter) Fang, Jasmine Xiong and Sean Hu re: CDA Agreement. 21 (CSPC0074077), 2015‐06‐ 16 22 356 Signed MSA between Dophen Biomed Corporation and a Shanghai biomedical 23 company. (CSPC0074099‐ CSPC0074101), 2016‐02‐03 24 357 Signed sponsor letter by Sean Hu to Glycohub, Inc. on behalf of CSPC Dophen 25 Corporation re NIH SBIR Phase I proposal. (CSPC0074516), 2016‐08‐22 26 358 Email from Sabrina Lichsteiner (Heidelberg Pharma GmbH) to Jasmine Xiong and 27 Sean Hu re: Enzyme Shipment from Dophen. (CSPC0074549‐CSPC0074550), 2016‐ 28 1 10‐12 2 359 Invoice to Heidelberg Pharma GmbH for €50,000 for Recombinant Microbial 3 Transglutaminase (mTGase) Dophen Biomed, Inc. (CSPC0074551), undated 4 360 Specific technical descriptions from page 41 on re: DP303c and studies in NIH grant 5 letter. (CSPC0076208‐ CSPC0076334), undated 6 361 Email between Sean Hu and Jim Rinehart, Yingui Li, and Jinxu Wang re: partnership 7 between City of Sacramento and CSPC Dophen BioMed. (CSPC0076506‐ 8 CSPC0076507), 2012‐03‐20 9 362 Invitation letter by Sean Hu on behalf of Dophen Biomed to Xiwu Hui to participate 10 in drug research program. (CSPC0077172), 2014‐07‐10 11 363 NIH SBIR support letter from Jasmine Xiong, in which she stated that Dophen 12 Biomed will lease space to Glycohub within CSPC Dophen R & D lab. 13 (CSPC0077227), 2015‐02‐17 14 364 Email between Jasmine Xiong and Li Yanhong re: Supporting letter and lease. 15 (CSPC0077232‐ CSPC0077234), 2015‐04‐01 16 365 Draft lease agreement between Dophen Biomed (landlord) and Glycohub (tenant), for 17 a portion of the Building located in 4070 Truxel Road Sacramento, CA. 18 (CSPC0077235‐CSPC0077238), 2015‐04‐01 19 366 NIH SBIR support letter signed by Sean Hu stating that Dophen Biomed is leasing 20 CSPC Dophen R& D lab to tenant Glycohub, Inc. (CSPC0077240), 2015‐04‐01 21 367 Request for Taxpayer Identification Number (Form W‐9) for CSPC Dophen 22 Corporation. (CSPC0077890‐ CSPC0077893), undated 23 368 CSPC Dophen Corp payroll, as a parallel to and a contrast to the Dophen Biomed 24 payroll that contained Sean's name and other employees who worked under him . 25 (CSPC0077953), 2013/10/26 26 369 Email between Jasmine Xiong and Sean Hu re Jasmine creating @dophenbiomed.com 27 account for Sean Hu. (CSPC0078063‐CSPC0078065), ‐ 2013/11/25 28 1 370 Email between Jasmine Xiong and Lan Tang re: Order Summary (GenScript order 2 470719 for quotation 1166031) ‐‐ Please review this order and reply for any changes 3 immediately CRM:0106000000269. (CSPC0078075‐CSPC0078078), 2014‐06‐30 4 371 Email between Jasmine Xiong and Sean Hu re: Fees for ADC prep and ADC Summitt 5 Poster. (CSPC0078083‐ CSPC0078093), 2014‐08‐07 6 372 Invoice from Dophen Biomed, Inc. to Heidelberg Pharma GmbH, for Recombinant 7 Microbial Transglutaminase (mTGase), with the total amount of € 50,000.00 and 8 requesting the payment to be made to Dophen Biomed Inc. (CSPC0078235), 2014‐ 9 12‐02 10 373 Email from Sean Hu to Audrey Jia re: Proposal for your IND filing. (CSPC0079092‐ 11 CSPC0079102), 2016‐10‐ 07 12 374 Email from Sean Hu to Jianguo Yang re: Information regarding to our bispecific 13 antibody projects (CSPC0079552), 2016‐07‐21 14 375 Summary study for NIH grant, release date: April 2, 2016 (PDF) Meeting date: March 15 14, 2016 Request date: July 1, 2016. (CSPC0081470‐CSPC0081482), 2016‐05‐12 16 376 Draft material transfer agreement between CSPC and Heidelberg Pharma. 17 (CSPC0081553‐CSPC0081562), 2016‐04‐02 18 377 Email from Sean Hu to Yan Wang re: please reply asap regarding your lunch choice. 19 (CSPC0082452‐ CSPC0082453), 2015‐09‐29 20 378 Email between Sean Hu and Gan (Peter) Fang CGPJ Pharmaceuticals re: CDA 21 agreement. (CSPC0082585‐ CSPC0082586), 2015‐06‐16 22 379 Email between Yingui Li and Sean Hu re: Fwd: Company registration. 23 (CSPC0094330‐CSPC0094333), 2015‐ 06‐12 24 380 Email from Sean Hu to "seanhu2020@gmail.com" re: none. (CSPC0085216‐ 25 CSPC0085216), 2017‐08‐07 26 381 Email between Sean Hu and Li Yanhong re: Supporting Letter and lease. 27 (CSPC0087755‐CSPC0087758), 2016‐07‐21 28 1 382 Employment offer letter from Sean Hu to Song Xiong (Jasime Xiong). 2 (CSPC0089050), 2016‐02‐11 3 383 Commercialization Plan of Dophen Biophen. (CSPC0089988‐CSPC0089991), 2014‐ 4 03‐07 5 384 Office of Research integrity Small Organization Statement for Handling Allegations 6 of Research Misconduct Involving Public ! Health Services Research and Related 7 Activities. (CSPC0091228), 2015‐12‐17 8 385 Signed letter from Sean Hu to NIH Center for Scientific Review. (CSPC0091293), 9 2017‐04‐03 10 386 Letter from Yingui Li announcing Sean Hu's resignation from CSPC Dophen 11 Corporation. (CSPC0091486), 2015‐12‐23 12 387 Termination letter outlining terms of Sean's termination. (CSPC0091487), 2017‐07‐10 13 388 Email between Li Yingui and Sean Hu re Dophen's Patent Introduction. 14 (CSPC0093760‐CSPC0093768), 2107 07‐10 15 389 Bispecific Antibody Grant Application submitted by Sean on behalf of Dophen 16 Biomed, Inc. (CSPC0094476‐ CSPC0094519), 2016‐05‐27 17 390 Commercial lease final agreement signed by Jasmine Xiong and Sean Hu on 18 December 15, 2015. (CSPC0094583‐CSPC0094587), 2017‐04‐05 19 391 Letter from Jasmine Xiong to Sean Hu attaching signed lease. (CSPC0094661‐ 20 CSPC0094665), 2015‐12‐15 21 392 Letter from Ashley Smith to Lixin Feng & Yingui Li regarding Payroll Discrepancy 22 Found During Audit ‐‐ Action Taken to Correct. (CSPC0094678), 2015‐12‐15 23 393 Dophen Biomed Form W‐9 signed by Ashley Smith. (CSPC0094685), 2017‐07‐25 24 394 Department of Health and Human Services Payment Management System Request 25 Access. (CSPC0094686‐ CSPC0094688), 2016‐06‐06 26 395 Payroll Details of each employee under Dophen Biomed Inc within Pay Period from 27 05/01/2017 to 07/31/2017. (CSPC0094689‐CSPC0094691), 2016‐08‐08 28 1 396 Research Collaboration and License Option Agreement between Heidelberg Pharma 2 GmbH and Dophen Biomed. (CSPC0094762‐CSPC0094774), 2017‐07‐31 3 397 E‐mail between Sean Hu and Jinxu Wang re: DP303 IND Sponsor. (CSPC0094822‐ 4 CSPC0094823), 2016‐09‐ 22 5 398 Research Collaboration and License Option Agreement between Heidelberg Pharma 6 GmbH and Dophen Biomed. (CSPC0094845‐CSPC0094857), 2017‐04‐11 7 399 Response from California Secretary of State to Jasmine Xiong's request regarding 8 name availability reservation with CA Secretary of State before registering Dophen 9 Biomed, Inc. (CSPC0094858‐ CSPC0094859), 2016‐09‐22 10 400 Dophen BioMed Inc. California Business Entity Title. (CSPC0102727‐ 11 CSPC0102728), 2014‐04‐23 12 401 Presentation by Sean Hu, on behalf of Dophen Biomed, titled "The most stable site‐ 13 specific ADCs Made Simple." (CPSC0079888‐CSPC0079918), 2017‐09‐28 14 402 Email from Sean Hu to Ashley smith re: Tax records and financial documents. 15 (CSPC0096314), 2105‐06‐12 16 403 Assignment Agreement between Sean Hu, Lisha Allen, Dophen Biomed and CSPC 17 Dophen Corporation. (CSPC0096337‐CSPC0096342), 2018‐03‐07 18 404 Declaration of Lixin Feng iso CSPC Dophen Corporation's ex parte application for 19 expedited discovery 20 405 Declaration of Sean Hu iso Motion for Disqualification of Counsel including exhibits 21 at ECF Nos. Dkt 16‐1 to 16‐14. 2017‐09‐29 22 406 Declaration of Sean Hu iso Opposition to Pltf's Motion for Expedited Discovery 23 including exhibits at ECF Nos. Dkt 17‐1 to 17‐2. 2017‐10‐19 24 407 Declaration of Lixin Feng iso CSPC Dophen Corporation's motion for expedited 25 discovery at ECF No. 20‐9. 2017‐10‐20 26 408 Declaration of Lisha Allen iso CSPC Dophen Corporation's motion for expedited 27 discovery at ECF No. 20‐12. 2017‐10‐27 28 1 409 Declaration of Sean Hu iso Opposition to Plaintiff's motion for expedited discovery at 2 ECF No. 20‐18. 2017‐ 10‐27 3 410 Declaration of Ashley Smith iso CSPC Dophen Corporation's motion for expedited 4 discovery including exhibits at ECF Nos. Dkt 20‐10 to 20‐11. 2017‐10‐27 5 411 Declaration of Michael Kunkel iso CSPC Dophen Corporation's motion for expedited 6 discovery including exhibits at ECF Nos. Dkt 20‐13 to 20‐16. 2017‐10‐27 7 412 Declaration of Lisha Allen in opposition to Sean Hu's motion for disqualification of 8 counsel at ECF No. 28. 2017‐10‐27 9 413 Declaration of Yingui Li in opposition to Sean Hu's motion for disqualification of 10 counsel including exhibits at ECF Nos. Dkt 27 to 27‐9. 2017‐11‐02 11 414 Declaration of Ashley Smith in opposition to Sean Hu's motion for disqualification of 12 counsel including exhibits at ECF Nos. Dkt 29 to 29‐2. 2017‐11‐02 13 415 Declaration of Yingui Li iso CSPC Dophen Corporation's surreply iso opposition to 14 motion for disqualification of counsel including exhibits at ECF Nos. Dkt 38‐1 to 38‐ 15 2. 2017‐11‐02 16 416 Declaration of Sean Hu iso Motion by Krogh & Decker LLP for leave to withdraw as 17 counsel for defendant and counterclaimant Sean Hu at ECF No. 51‐2. (n/a‐), 2017‐11‐ 18 28 19 417 Declaration of Sean Hu iso Sean Hu's opposition to CSPC Dophen Corporation's 20 motion to dismiss and motion to strike first amended counterclaims including exhibits 21 at ECF Nos. Dkt 65‐1 to 65‐4. 2018‐04‐16 22 418 Declaration of Michael Kunkel iso CSPC Dophen Corporation's motion to compel 23 discovery responses w Exs A‐C at ECF No. Dkt 72‐19. (n/a‐), 2018‐05‐24 24 419 Declaration of Ashley Smith iso CSPC Dophen Corporation's motion to compel 25 discovery responses w Ex. 1 at ECF No. Dkt 72‐20. 2018‐06‐08 26 420 Declaration of Jiaying Fan iso Sean Hu's Opposition to CSPC Dophen Corporation's 27 motion to dismiss and motion to strike first amended counterclaims [attached to jt 28 1 stmt re mtn to compel] at ECF No. Dkt 72‐21. 2018‐06‐08 2 421 Declaration of Sean Hu iso Sean Hu's Opposition to CSPC Dophen Corporation's 3 motion to dismiss and motion to strike first amended counterclaims [attached to jt 4 stmt re mtn to compel] including exhibits at ECF Nos. Dkt 72‐22 to 72‐27. 2018‐06‐ 5 08 6 422 Declaration of Sean Hu iso Sean Hu's Opposition to CSPC Dophen Corporation's 7 motion to dismiss and motion to strike first amended counterclaims including exhibits 8 at ECF Nos. Dkt 74‐1 to 74‐3. 2018‐06‐08 9 423 Declaration of Jasmin Xiong iso Sean Hu's Opposition to CSPC Dophen 10 Corporation's motion to compel discovery responses from Dr. Sean Hu at ECF No. 11 78‐9. 2018‐06‐14 12 424 Declaration of Sean Hu iso Sean Hu's Opposition to CSPC Dophen Corporation's 13 motion to compel discovery responses from Dr. Sean Hu including exhibits at ECF 14 Nos. Dkt 78‐10 to 78‐12. 2018‐06‐22 15 425 Declaration of Sean Hu iso Sean Hu's Motion to disqualify counsel including exhibits 16 at ECF Nos. Dkt 84‐2 to 84‐36. 2018‐06‐22 17 426 Declaration of Jasmine Xiong iso Sean Hu's Motion to disqualify counsel including 18 exhibits at ECF Nos. Dkt 84‐37 to 84‐40. 2018‐07‐13 19 427 Declaration of Lisha Allen iso CSPC Dophen's Opposition to Motion to disqualify 20 counsel at ECF No. 87‐13. 2018‐07‐13 21 428 Declaration of Ashley Smith iso CSPC Dophen's Opposition to Motion to disqualify 22 counsel including exhibits at ECF Nos. Dkt 87‐1 to 87‐3. 2018‐07‐27 23 429 Declaration of Yingui Li iso CSPC Dophen's Opposition to Motion to disqualify 24 counsel including exhibits at ECF Nos. Dkt 87‐14‐to 87‐31. 2018‐07‐27 25 430 Notice of Errata ad Correction to declaration of Sean Hu iso Sean Hu's motion to 26 disqualify counsel including exhibits at ECF Nos. Dkt 88 to 88‐1. 2018‐07‐27 27 431 Declaration of Sean Hu iso Sean Hu's opposition to CSPC Dophen's request for 28 1 continuance of hearing date for Defendant's motion for disqualification of counsel 2 including exhibits at ECF Nos. Dkt 90‐1 to 90‐5. 2018 07‐31 3 432 Sean Hu's Reply [declaration iso reply] to CSPC Dophen's opposition to motion for 4 disqualification of counsel including exhibits at ECF Nos. Dkt 91‐1 to 91‐2. 2018‐08‐ 5 02 6 433 Declaration of Michael Kunkel [iso CSPC Mtn to Enforce Order] including exhibits at 7 ECF Nos. Dkt 107‐2 to 107‐8. 2018‐09‐07 8 434 Declaration of Sean Hu iso Sean Hu's opposition to CSPC Dophen Corporation's 9 Misleading Motion to Enforce Court Order including exhibits at ECF Nos. Dkt 110‐1 10 to 110‐9. (n/a‐), 2018‐10‐15 11 435 Supplemental Declaration of Michael Kunkel [iso CSPC Mtn to Enforce Order] at 12 ECF No. 112‐1. 2018‐11‐ 02 13 436 Declaration of Sean Hu iso motion for sanctions against counter‐defendants' counsel 14 including exhibits at ECF Nos. Dkt 113‐1 to 113‐5. (n/a‐), 2018‐11‐09 15 437 Declaration of Jiaying Fan iso Sean Hu's Motion for Reconsideration including 16 exhibits at ECF Nos. Dkt 116‐ 2 to 116‐5. 2018‐11‐11 17 438 Declaration of Sean Hu iso Reply to Motion for Sanctions against Counter‐ 18 Defendants' Counsel including exhibits at ECF Nos. Dkt 128‐1 to 128‐7. (n/a‐), 2018‐ 19 11‐18 20 439 Declaration of Sean Hu iso Sean Hu's opposition to motion to quash or modify 21 Defendant's subpoenas [Yingui Li Mtn to Quash] including exhibits at ECF Nos. Dkt 22 136‐1 to 136‐2. 2018‐12‐02 23 440 Declaration of Sean Hu iso Sean Hu's opposition to motion to quash or modify 24 Defendant's subpoenas [Conjupro's Mtn to Quash] including exhibits at ECF Nos. Dkt 25 137‐1 to 137‐2. 2018‐12‐07 26 441 Declaration of Sean Hu iso Sean Hu's Request for Reconsideration by the District 27 Court of Magistrate Judge's Ruling including exhibits at ECF Nos. Dkt 138‐1 to 138‐ 28 1 9. 2018‐12‐07 2 442 Declaration of Tom Gao iso Sean Hu's Amended Counterclaim [filed with Mtn for 3 30‐day ext to file 2d Amended Counterclaim] at ECF No. 156‐1. 2018‐12‐09 4 443 Declaration of Dr. Hui Ouyang iso Sean Hu's motion for summary judgment 5 [attached to Second Amended Counterclaims, decl dated 1‐30‐2019] including 6 exhibits at ECF Nos. Dkt 224‐1 to 224‐2. 2019‐12‐06 7 444 Declaration of Tom Gao iso Sean Hu's Amended Counterclaim [filed with 2d 8 Amended Counterclaim] including exhibits at ECF Nos. Dkt 224‐9 to 224‐23. 2019‐ 9 12‐10 10 445 Declaration of Sean Hu iso Sean Hu's motion to enforce court's subpoenas to depose 11 CSPC‐Dophen's officers including exhibits at ECF Nos. Dkt 242‐1 to 242‐6. 2019‐12‐ 12 10 13 446 Declaration of Sean Hu iso Sean Hu's motion to compel discovery responses from 14 CSPC‐Dophen's including exhibits at ECF Nos. Dkt 243‐1 to 243‐5. 2020‐01‐31 15 447 Declaration of Dongchen Cai iso CSPC Dophen's opposition to Hu's motion to 16 enforce court subpoenas to depose CSPC Dophen's officers at ECF No. 255‐7. 2020‐ 17 01‐31 18 448 Declaration of Yingui Li iso CSPC Dophen's opposition to Hu's motion to enforce 19 court subpoenas to depose CSPC Dophen's officers at ECF No. 255‐8. 2020‐03‐06 20 449 Hu Exhibits A and B to Joint Statement re Renewed Motion to Compel Discovery 21 Responses including exhibits at ECF Nos. Dkt 254‐1 to 254‐2. 2020‐03‐06 22 450 Declaration of Sean Hu iso Sean Hu's motion to enforce court's subpoenas to depose 23 CSPC‐Dophen's officers including exhibits at ECF Nos. Dkt 255‐1 to 255‐6. 2020‐03‐ 24 06 25 451 Declaration of Sean Hu regarding service of summons of counterclaim defendants' 26 counsel Mr. Wilson including exhibits at ECF Nos. Dkt 277, 277‐6. 2020‐03‐06 27 452 POS Dongchen Cai (attached to declaration) including exhibits at ECF No. Dkt 277‐ 28 1 1. 2020‐11‐10 2 453 Declaration of Sean Hu iso his motion for leave to amend 2nd counterclaim including 3 exhibits at ECF Nos. Dkt 295‐1 to 295‐6. 2020‐12‐24 4 454 Declaration of Sean Hu iso his motion for sanction including exhibits at ECF Nos. 5 Dkt 296‐1 to 296‐8. 2022‐ 05‐06 6 455 Declaration of Pina Cardarelli iso CSPC Dophen's motion for summary judgment 7 including exhibits at ECF No. Dkt 308‐2 to 308‐3. 2022‐05‐11 8 456 Declaration of Mike Kunkel iso CSPC Dophen's motion for summary judgment 9 including exhibits at ECF Nos. Dkt 308‐4 to 308‐5. 2022‐06‐17 10 457 Declaration of Sean Hu iso Sean Hu's opposition to CSPC Dophen's motion for 11 summary judgment including exhibits at ECF Nos. Dkt 310‐2 to 310‐11. 2022‐06‐20 12 458 Declaration of Sean Hu iso his response and opposition to CSPC Dophen 13 Corporation's objections to Magistrate Judge's order including exhibits at ECF Nos. 14 Dkt 318‐1 to 318‐2. 2022‐06‐28 15 459 Email between Sean Hu and Jinxu Wang re: My Salary pay 50% in RMB via 16 Hongkong. (CSPC0094775), 17 460 U.S. Patent Application US 2017/0106096. 2011‐11‐04 18 461 Dophen Biomed, Inc. Form FC55927. (CSPC0094338), 2016‐03‐15 19 462 International Application WO 2015/191883 A1. (CSPC0082954‐CSPC0083033), 20 2016‐10‐27 21 463 Payroll Details of each employee under Dophen Biomed Inc within Pay Period from 22 05/01/2017 to 07/31/2017. (CSPC0094689‐CSPC0094691), 2018‐01‐17 23 464 Department of Health and Human Services Payment Management System Request 24 Access. (CSPC0094686‐ CSPC0094688), 2016‐08‐09 25 465 Dophen Biomed Form W‐9 signed by Ashley Smith. (CSPC0094685), 2016‐08‐08 26 466 NIH Grant Application Package. (CSPC0094522‐CSPC0094554), 2015‐12‐28 27 467 Email between Qingxi Wang and Sean Hu re: Fw: Countersigned Agreement. 28 1 (CSPC0087805), 2017‐04‐20 2 468 Grant Progress Report. (CSPC0078262‐CSPC0078281), 2016‐10‐02 3 469 Letter from Dr. Hu to Dr. Yu. (CSPC0078227‐CSPC0078228), 2016‐03‐23 4 470 CSPC Dophen Quarterly Federal Tax Return. (CSPC0078205‐CSPC0078207), 2016‐ 5 08‐30 6 471 Email between Jasmine Xiong and Glycohub re: "Re: Urgent Supporting letter for 7 SBIR." (CSPC0077239), 2016‐04‐15 8 472 Email between Jasmine Xiong and Xi Chen re: Supporting letter and lease. 9 (CSPC0077225‐CSPC0077226), 2015‐04‐01 10 473 Levena Biopharma Invoice. (CSPC0074561), 2015‐02‐17 11 474 Levena Biopharma Invoice. (CSPC0074560), 2016‐10‐07 12 475 NIH Notice of Award. (CSPC0094468‐CSPC0094475), 2016‐10‐13 13 476 CSPC Dophen Corporation California Business Entity Title. (CSPC0000201), 2016‐ 14 02‐29 15 477 Assignment Agreement between CSPC Dophen Corporation and Dophen Biomed, 16 Inc. (CSPC0000143‐ CSPC0000144), 2016‐12‐08 17 478 Payment re: "Payment to Dophen Biomed from CSPC." (CSPC0000142), 2017‐06‐30 18 479 Payment re: "Payment to Dophen Biomed from CSPC." (CSPC0000141), 2017‐07‐27 19 480 Buyer Final Closing Statement for property located at 4070 Truxel Road, Sacramento, 20 CA. (CSPC0000140), 2017‐07‐27 21 481 City of West Sacramento Business License No. 15009. (CSPC0057215), 2012‐05‐22 22 482 CMC Strategies for Antibody‐Drug Conjugates ‐ The Bioprocessing Summit. 23 (CSPC0000145‐CSPC0000147), 2012‐11‐16 24 483 State of California Certificate of Qualification CSPC Dophen Corporation. 25 (CSPC0057216‐CSPC0057217), 2017‐08‐01 26 484 CSPC Dophen Business Operations Tax Certificate for City of Sacramento. 27 (CSPC0000251), 2011‐02‐14 28 1 485 CSPC Dophen Corporation Change of Address form sent to Secretary of State of the 2 State of California regarding 4070 Truxel Road, Sacramento, CA. (CSPC0057221), 3 2012‐05‐03 4 486 CSPC Dophen Corp. Monthly Work Schedule and Report. (CSPC0122946), 2012‐08‐ 5 21 6 487 Dophen Biomed 2011 Annual Report. (CSPC0000255), 2011‐11‐30 7 488 Certificate of Status CSPC Dophen Corporation. (CSPC0057214), undated 8 489 Dophen Biomedical Business Operation Tax Notice. (CSPC0057222), 2011‐02‐11 9 490 Dophen Biomed Inc. Articles of Incorporation. (CSPC0000006), 2016‐06‐10 10 491 Grant Application for Novel enzymatic site‐specific antibody drug conjugation 11 technique to produce homogeneous antibody drug conjucate (ADC)s with improved 12 safety, stability, and efficacy. (CSPC0057077‐ CSPC0057140), 2014‐04‐22 13 492 Dr. Sean Hu Employee File. (SMP00001‐SMP000061), 2017‐04‐05 14 493 Chase Bank Statement June 28, 2016 thru June 30, 2016. (CHASE0000126‐ 15 CHASE0000127), various 16 494 Chase Bank Statement July 1, 2016 thru July 29, 2016. (CHASE0000128‐ 17 CHASE0000129), 2018‐11‐02 18 495 Chase Bank Statement July 30, 2016 thru August 31, 2016. (CHASE0000130‐ 19 CHASE0000131), 2018‐11‐02 20 496 Chase Bank Statement September 1, 2016 thru September 30, 2016. 21 (CHASE0000132‐CHASE0000133), 2018‐11‐02 22 497 Chase Bank Statement October 1, 2016 thru October 31, 2016. (CHASE0000134‐ 23 CHASE0000135), 2018‐11‐ 02 24 498 Chase Bank Statement November 1, 2016 thru November 30, 2016. 25 (CHASE0000136‐CHASE0000139), 2018‐11‐02 26 499 Chase Bank Statement December 1, 2016 thru December 30, 2016. (CHASE0000142‐ 27 CHASE0000143), 2018‐11‐02 28 1 500 Chase Bank Statement December 31, 2016 thru January 31, 2017. (CHASE0000149‐ 2 CHASE0000152), 2018‐ 11‐02 3 501 Chase Bank Statement February 1, 2017 thru February 28, 2017. (CHASE0000155‐ 4 CHASE0000156), 2018‐ 11‐02 5 502 Chase Bank Statement March 1, 2017 thru March 31, 2017. (CHASE0000160‐ 6 CHASE0000161), 2018‐11‐02 7 503 Chase Bank Statement April 1, 2017 thru April 28, 2017. (CHASE0000168‐ 8 CHASE0000169), 2018‐11‐02 9 504 Chase Bank Statement April 29, 2017 thru May 31, 2017. (CHASE0000173‐ 10 CHASE0000174), 2018‐11‐02 11 505 Chase Bank Statement June 1, 2017 thru June 30, 2017. (CHASE0000175‐ 12 CHASE0000178), 2018‐11‐02 13 506 State of California Certificate of Qualification CSPC Dophen Corporation. 14 (CSPC0057210‐CSPC0057213), 2018‐11‐02 15 507 ECF No. 25‐2: Plaintiff's Dophen BioMed, Inc.'s Responses to CSPC Dophen's Form 16 Interrogatories ‐‐ General (Set One). 2017‐09‐28 17 508 ECF No. 26‐1: Notice of Recordation: initial assignment of the patent application 18 recorded with the U.S. Patent and Trademark Office (‐), 2017‐10‐25 19 509 ECF No. 26‐2: Provisional Assignment ‐‐ corrective assignment recorded with the 20 USPTO on October 20, 2016 , 2015‐06‐05 21 510 ECF No. 26‐3: email between Janet Xiao, Sean Yu and Yan Qi re: Re: Re: Fwd: 22 Dophen Company Name. 2016‐10‐20 23 511 ECF No. 26‐4: Assignment Agreement re Homogenous Antibody Drug Conjugates 24 via Enzymes Methods ‐‐ confirmatory assignment recorded with the USPTO on 25 March 8, 2017. 2016‐12‐11 26 512 ECF No. 61‐3:Declaration of Michael Kunkel, Director of Investigative Services of 27 Setec Security Technologies, Inc. 2017‐03‐08 28 1 513 ECF No. 150‐3: Certified translation of Sean Hu txt messages. 2018‐02‐18 2 514 ECF No. 150‐4: Certified translation of Sean Hu txt messages. 2017‐11‐02 3 515 ECF No. 150‐5: Certified translation of Sean Hu txt messages. 2017‐11‐02 4 516 ECF No. 150‐6: Certified translation of Sean Hu txt messages. 2017‐11‐02 5 517 ECF No. 150‐7: Certified translation of Sean Hu txt messages. 2017‐11‐02 6 518 ECF No. 200‐5: PowerPoint presentation produced by non‐party Urban Real Estate 7 Investment, Inc. in response to CSPC Dophen’s Subpoena Duces Tecum dated 8 January 18, 2019 (submitted under seal). 2017‐ 11‐02 9 519 ECF No. 202‐28: A copy of a check payable to ADCure Biomed, Inc. from Urban 10 Real Estate Investment, Inc. for $200,000 dated June 1, 2018 produced by non‐party 11 UREII. (UREII 001‐UREII 001), 2018‐05‐03 12 520 ECF No. 202‐29: email exchange dated October 6, 2017 between Dr. Hu and Peggy 13 Tang of UREII re: My CV anf BP Deck (UREII 002‐UREII 004), 2018‐06‐01 14 521 ECF No. 202‐29: email exchange dated October 6, 2017 between Dr. Hu and Peggy 15 Tang of UREII re: My CV anf BP Deck (UREII 005‐UREII 036), 2017‐10‐06 16 522 ECF No. 302‐2: CSPC Dophen Corporation State of Delaware Certificate of 17 Incorporation. 2018‐08‐29 18 523 Wilson Declaration Exhibit B ‐‐ ECF No. 302‐3: CPSC Dophen Corporation 19 Certificate of Good Standing. 2019‐05‐31 20 524 ECF No. 302‐14: Invoice sent from Sean Hu under Dophen Biomed, Inc. to 21 Heidelberg Pharma for purchase of Microbial Transglutaminase dated October 7, 22 2016. 2017‐07‐21 23 525 Q4 20416 ‐ PSC 272 FFR Report Source: Payment Management System. 24 (CSPC0000227‐CSPC0000235), 25 526 Grant Progress Report. (CSPC0057157), 2014‐04‐22 26 527 Hu Response to CSPC Interrogatories No. 4. 27 528 Hu Responses to CSPC Dophen’s Interrogatories (Set One). 2022‐05‐25 28 1 529 Hu Verification for Responses to CSPC Dophen's Interrogatories (Set One). 2022‐05‐ 2 25 3 530 Hu Supplemental Responses to CSPC Dophen's Interrogatories (Set One). 2022‐05‐25 4 531 Hu's Responses to CSPC Dophen's Interrogatories (Set Two). 2022‐06‐17 5 532 Hu's Supplemental Responses to CSPC Dophen's Interrogatories (Set One). 2018‐06‐ 6 08 7 533 Hu's Responses to CSPC's Request for Admissions ‐‐ Set One. 2018‐07‐09 8 534 Hu's Responses to Requests for Interrogatory Responses ‐‐ Set Three. 2017‐11‐20 9 535 Hu Verification (RFAs Set One, Rogs Set 3, RFPs Sets 3 & 4). 2017‐11‐30 10 536 Hu Responses to CSPC’s 4th Set of Interrogatories (Rog No. 23). 2018‐01‐11 11 537 Hu Verification (Rogs Set 4). 2018‐06‐08 12 538 Hu's Responses to Requests for Interrogatory Responses ‐‐ Set Five. 2018‐07‐09 13 539 A Brief Account of Ownership Dispute between CSPC and Sean. (CSPC0000212‐ 14 CSPC0000216), 2017‐08‐ 01 15 540 Thousand Talents Plan Dr. Hu Application. (CSPC0000236‐CSPC0000240), 2017‐ 16 08‐09 17 541 State of Delaware Certificate of Incorporation CSPC Dophen. 2019‐08‐29 18 542 State of Delaware Certificate of Good Standing CSPC Dophen. 2022‐05‐03 19 543 Email from Yingui Li to Jinxu Wang re: Heidelberg Pharma. (CSPC0094779), 2018‐ 20 02‐06 21 544 CSPC Dophen Deposit Form and W‐9. (CSPC0078092‐CSPC0078093), 2014‐12‐02 22 545 Dophen Biomed Articles of Incorporate. (HU000049), 2014‐04‐22 23 546 NIH Grant Application Cover Letter. (CSPC0088044), 2017‐04‐04 24 25 547 Email from Sean Hu to Lennin Greenwood re: Request for additional information: 26 1R44GM121096 – 01 PI Name: Hu, Sean. (CSPC0086792‐CSPC0086796), 2016‐08‐ 27 24 28 548 Email from Xia Zuyong to Sean Hu re: Opportunity at Dophen. (CSPC0079428‐ 1 CSPC0079429), 2017‐05‐03 2 549 Commercial Lease Agreement between CSPC Dophen and Dophen Biomed, Inc. 3 (CSPC0000245‐ CSPC0000250), 2016‐12‐01 4 550 Email from Pahl Andreas to Sean Hu re AW: MTA, linker design and amount of 5 mAB and toxin. (CSPC0081539‐CSPC0081552), 2015‐09‐29 6 551 Email from Dophen Biomed to Sabrina Lichtsteiner re Enzyme Shipment from 7 Dophen. (CSPC0078229‐ CSPC0078234), 2016‐10‐13 8 552 Email from Sean Hu to Lixin Feng et al re: Draft IND application ready by end of this 9 Month. (CSPC0057258 ), 2017‐01‐06 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 1 ATTACHMENT D 2 Defendant’s Exhibit List 3 As discussed at the final pretrial conference, in his objections to this tentative pretrial 4 order, defendant Dr. Hu is directed to revise his exhibit list. 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28