nitei Court FOR THE NORTHERN DISTRICT OF CALIFORNIA VENUE SAN JOSE UNITED STATES OF AMERICA V CR 18 UNITED MiCRGELECTGNICS CGRPGRATIGN et a 465 LHK Si' f DEFENDANT S INDICTMENT VIOLATIONS Title 18 United States Code Section 1831 a 5 - Conspiracy to Commit Economic Espionage Title 18 United States Code Section 1832 a 5 - Conspiracy to Commit Theft of Trade Secrets Titie 18 United States Code Section 1831 a 1 - Economic Espionage Theft of Trade Secrets Title 18 United States Code Section 1831 a 2 - Economic Espionage Copying and Conveying of Stolen Trade Secrets Title 18 United States Code Section 1831 a 3 and 2 - Economic Espionage Receipt and Possession of Stolen Trade Secrets Titie 18 United States Code Section 1832 a 1 - Theft of Trade Secrets Title 18 United States Code Section 2323 - Criminal Forfeiture A true bill ' L-tt Foreman Filed in open court this day of rose maker Clerk Ci i wnuLS Bail $ Dl-Vrf iCT rOiJST ALEX G TSE CABN 152348 United States Attorney FILED SUSAN Y SOONG CLERK US COURT NORTHERN DISTRICT OF CALIFORNIA UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF CALIFORNIA SAN JOSE DIVISION 4 6 5 Title 18 United States Code Section Conspiracy to Commit Economic Espionage Title 18 United States Code Section 1832 a 5 Conspiracy to Commit Theft of Trade Secrets Title 18 United States Code Section 1831 a 1 Economic Espionage Theft of Trade Secrets Title 18 United States Code Section l83l a 2 Economic Espionage Copying and Conveying of Stolen Trade Secrets Title 18 United States Code Section l831 a 3 and 2 Economic Espionage Receipt and Possession of Stolen Trade Secrets Title 18 United States Code Section 1832 a 1 Theft of Trade Secrets Title 18 United States Code Section 2323 Criminal Forfeiture UNITED STATES OF AMERICA Plaintiff v UNITED MICROELECTONICS FUJ IAN INHUA INTEGRATED CIRCUIT CO CHEN ZHENGKUN a k a STEPHEN I-IE JIANTING a k a J T and WANG YUNGMING a k a KENNY WANG Defendants SAN JOSE VENUE I The Grand Jury charges INTRODUCTORY ALLEGATIONS 1 Dynamic random-access memory DRAM is a memory device product used in electronics to store information DRAM stores each bit of data in a separate tiny capacitor within an integrated circuit DRAM is a technologically advanced commodity it is widely used in digital NM I n n I r o u a u n electronics where low-cost and high-capacity memory is required DRAM is used in leading-edge computing consumer networking automotive industrial embedded and mobile productions and is a product that is used or intended for use in interstate or foreign commerce 2 Growth of the electronics industry in the People s Republic of China PRC created signi cant demand for memory products such as DRAM The Central Government and State Council-of the PRC publicly identi ed the development of DRAM technology as a national economic priority because PRC companies had not been able to deveIOp technologically advanced DRAM production capabilities and PRC electronics manufacturers relied on producers outside the PRC to supply DRAM DRAM production technology was closely held by manufacturers in the United States South Korea and Taiwan including Micron Technology Inc Micron which had improved the technology through intensive research and develOpment over many years i 3 Aware of the national priority and the barriers placed by non-PRC manufacturers including Micron on access to the technology at the times set forth below individuals and companies named in this Indictment obtained DRAM trade secrets belonging to Micron and conveyed information containing those trade secrets to a company controlled by the PRC government without authorization from Micron i Defendants 4 Defendant United Microelectronics Corporation was a semiconductor foundry company headquartered in Taiwan with global of ces in Taiwan China Europe Singapore Japan Korea and the United States including Sunnyvale California UMC was publicly listed and traded on the NASDAQ primary business was to mass produce integrated-circuit logic products based on designs and technology developed and provided by its customers UMC did not prior to the events charged in this Indictment possess advanced DRAM-related technology 5 Defendant Fujian Jinhua Integrated Circuit Co Ltd inhua was established in February 2016 in the Fujian Province of China for the sole purpose of designing developing and manufacturing DRAM Jinhua was created with billion in funding provided by the PRC government and PRC government entities Its two major shareholders were Electronics Information Group Co Ltd and injiang Energy Investment Co Ltd which were PRC state-owned enterprises INDICTMENT inhua s self-described aim was to introduce intellects technology and resources from Taiwan and the world create the rst self-dependent DRAM production project and 12 inch DRAM wafer line in China and ll the blank inhua described itself as having the duty to realize the domestic manufacturing of integrated circuit chip and aims to become a state owned integrated circuit manufacturing enterprise with advanced process and an independent intellectual property system 6 In or around January 2016 UMC entered into a technology cooperation agreement with inhua to develop DRAM technology for a product that UMC referred to as the 32nm and 3 23nm or F32nm F323nm Under the technology cooperation agreement UMC would provide the DRAM research and deveIOpment and inhua would provide the manufacturing and fabrication facilities to mass-produce DRAM UMC and Jinhua were to jointly own the DRAM technology and development Under the terms of the agreement Jinhua would provide million for purchasing necessary equipment for DRAM development and would pay million to UMC based on the progress of DRAM development In or around April 2016 Taiwan s Ministry of Economics approved the UMC and inhua technology cooperation agreement 7 Defendant Chen Zhengkun Stephen Chen was a Taiwanese national and former General Manager and Chairman of Rexchip Electronics Corporation Rexchip a company that Micron acquired in or around 2013 which formed Micron Memory Taiwan Co Ltd Micron s Taiwan subsidiary Chen became the President of MMT and Site Director of Fabrication Facility 16 responsible for making Micron s 25nm DRAM chip Chen resigned from MMT in July 2015 and began working for UMC as the Senior Vice President and Fabrication Director in Taiwan in September 2015 In or around January 2016 Chen helped negotiate the terms of the UMC Jinhua technology cooperation agreement and became the Senior Vice President of newly formed New Business Development division tasked with overseeing F32nm DRAM development project and the technology cooperation agreement between UMC and Jinhua In or around February 2017 UMC released Chen from his position at UMC and Chen became the President of Jinhua in charge of its DRAM production facility 8 Defendant He ianting T Ho was a Taiwanese national and former process integration manager at MMT whom Chen recruited to join UMC Ho resigned from MMT in or around INDICTMENT 0009001 October 2015 and began working at UMC in its process integration division in November 2015 Prior to leaving MMT Ho stole Micron con dential and proprietary materials and used the stolen materials in his work at UMC to advance the development of F32 DRAM technology design for transfer to Jinhua In April 2016 Ho became a project integration manager in UMC Project Management 2 Department Between about December 2015 and January 2017 Ho communicated with another former MMT employee Wang Yungming Kenny Wang using the LINE Messaging platform and personal emails to share and exchange con dential and proprietary Micron information to further F32mn DRAM technology design 9 Defendant Kenny Wang was a Taiwanese national and former MMT employee whom Chen hired to join UMC At MMT Wang was a Process Integration Device Section Manager and remained in that role until his promotion to Product Quality Integration Section Manager in January 2016 and resignation from MMT in April 2016 While at MMT Wang shared and exchanged con dential and proprietary Micron information with Ho who at the time was working at UMC Prior to his of cial exit from MMT Wang misappropriated over 900 Micron les some containing Micron con dential and proprietary information for the design of the company s DRAM technology in its current and future generations that were still in its research and development phase Wang downloaded trade secrets from Micron s company servers in the United States took them with him when he left the company and stored the les on his Google Drive account located on servers in the United States After Wang left MMT in April 2016 and began working at UMC immediately therea er he used the misappropriated con dential and proprietary Micron materials to further design of the F32nm DRAM design process Micron Trade Secrets and Con dentiality Provisions 10 Micron is the only United States-based company that manufactures DRAM Micron s headquarters were in Boise Idaho and it maintained a large of ce in the Northem District of Califomia The company became a major participant in the global semiconductor industry with its purchase of Texas Instruments DRAM memory business in 1998 and thereafter specialized in the advanced research and deveIOpment and manufacturing of memory products including but not limited to DRAM Micron provides approximately 20-25% of the world supply of DRAM The trade secrets identi ed INDICTMENT QmQO M-thr t below consisted of detailed con dential information used to design and construct ef cient manufacturing processes for advanced DRAM technology The development of this information and its con dentiality provides Micron with a signi cant competitive advantage in the world market This competitive advantage allows Micron to remain in business and continue to research and develop advanced DRAM for commercial and other uses 11 MMT was a subsidiary of Micron MMT was one of Micron s fabrication plants in Taiwan that engaged in making DRAM MMT assigned all intellectual pr0perty including all trade secrets that it developed to Micron 12 Micron s DRAM technology included but was not limited to the following trade secrets as de ned in 18 U S C 1839 3 a Trade Secret 1 The Micron process to manufacture and produce DRAM contained in the totality of information stolen by Wang and Ho 'om Micron and provided to UMC and Jinhua under the direction of Chen and others Trade Secret 1 included ways and means in which proprietary and non-proprietary components were compiled and combined by Micron to form substantial portions of the DRAM design and manufacturing process including Trade Secrets 2 through 8 below b 903 Traveler-20150518 hereafter 25nm Process Traveler document The 25nm Process Trade Secret 2 A 233-page PDF document identi ed with digital lename i Traveler document contained comprehensive and very detailed information documenting the beginning- to end manufacturing process for Micronfs 25nm DRAM product including details of speci cations and production processes c Trade Secret 3 An Excel spreadsheet with multiple tabs identi ed with digital lename IMP conditions Table__20150318 hereinafter Implant Conditions Table The Implant Conditions Table contained implant data required to make each of the various different transistor types required to make a 25nm DRAM product Data in the Implant Conditions Table included very speci c details of the relevant particular process code - which could be matched back to process descriptions in Trade Secret 2 d lename Implant Condition for MES setting_1015 hereafter Implant Conditions for MES Trade Secret 4 An Excel spreadsheet with multiple tabs identi ed with digital INDICTMENT document MES referred to a particular software used to track the 25nm DRAM product through the fabrication process and the Implant Conditions for MES document was a tracking document that informed the software The document inputted into the MES so ware enabled Micron to closely monitor and manage its 25nm DRAM fabrication process The implant Conditions for MES document provided critical details to manage the fabrication of the 25nm DRAM product through the fabrication process and provided information on the precision and outcome of each particular step 7 e Trade Secret 5 An Excel spreadsheet with multiple tabs identi ed with digital lename Design rules Periphery_EES__2012000026-01 3__Rev 13 hereafter Design Rules documen The Design Rules document contained detailed design speci cations for the architecture of the 25nm DRAM product including details on how to layer Micron s 25nm DRAM product The Design Rules document included precise information on how to build distances between elements in a DRAM product to avoid electrical and physical interference The Design Rules document included Micron trade secrets related to these types of speci cations which were critical information needed to-build a 25nm DRAM product f Trade Secret 6 A 302-page PDF document identi ed with digital lename 150730 hereafter 20nm Process Traveler document The 20nm Process Traveler document contained the speci c types of details summarized in the 25nm Process Traveler document but for the next generation 20nm DRAM product The 20nm Process Traveler document also contained details regarding Micron s upgrade 'om the 25nm to the 20nm DRAM product and contained trade secret information pertinent to both generations of the product g Trade Secret 7 A 360 page PDF identi ed with digital lename dram_1 O_series_ 1 xnm _ traveler__ zl 1a -201 50915 pdf hereafter 1 Process Traveler documen The Process Traveler document contained the comprehensive and very detailed information documenting the beginning-to-end manufacturing process for Micron s DRAM product including details of speci cations and production processes The DRAM product was Micron s most advanced DRAM at the time The Process Traveler document also contained details regarding Micron s upgrade from the 20nm DRAM product to the DRAM product and contained trade secret information pertinent to both generations of the product INDICTMENT 6 h Trade Secret 8 A 260 page PDF identi ed with digital lename hereafter lxm Process Summary Flow document The Process Summary Flow document contained the manufacturing process of the DRAM chip as it owed through the manufacturing facility It compared the process ow with prior generations of DRAM products It described the evolution of the DRAM product to the generation explaining the purpose and reasons why certain changes and upgrades were made from one generation to the next 13 Micron took reasonable measures to keep Trade Secrets 1 through 8 secret including physical electronic legal and policy measures 14 The information contained in Trade Secrets 1 through 8 derived independent economic value actual and potential from not being generally known to and not being readily ascertainable through proper means by another person who could obtain economic value from the disclosure or use of the information 15 The value of Trade Secrets 1 through 8 and each of them to UMC and Jinhua was at least $400 million and up to $8 75 billion including expenses for research and design and other costs of reproducing the trade secrets that UMC and inhua avoided by the actions alleged in Counts 1 2 and 7 rCOUNT ONE 1 8 U S C 1831 a 5 - Conspiracy to Commit Economic Espionage 16 17 The allegations contained in Paragraphs 1 through 15 are re-alleged Beginning in or about January 2016 and continuing to the date of this Indictment in the Northern District of California and elsewhere defendants UNITED MICROELECTONICS CORPORATION FUJ IAN INHUA INTEGRATED CIRCUIT CO LTD CHEN ZHENGKUN a k a STEPHEN CHEN I HE a k a T HO WANG YUNGMING and a k a KENNY WANG together with others known and unknown to the Grand Jury knowingly combined consPired and agreed to a knowingly steal and without authorization appropriate take carry away and conceal and by fraud arti ce and deception obtain trade secrets belonging to Micron and b knowingly and without authorization copy duplicate sketch draw photograph download upload alter destroy photocopy replicate transmit deliver send mail communicate and convey trade secrets belonging to Micron and c knowingly receive buy and possess trade secrets belonging to Micron knowing the same to have been stolen apprOpriated obtained and converted 'without authorization intending and knowing that the offenses would bene t a foreign government namely the PRC and a foreign instrumentality namely inhua Manner and Means of the Conspiracy 18 In order to develop DRAM technology and production capabilities without investing years of research and development and the expenditure of many millions of dollars UMC and Jinhua a company entirely funded by the PRC government and employees of both conspired to circumvent Micron s restrictions on its proprietary technology and illegally obtain DRAM technology that had been developed by Micron including Trade Secrets 1 through 8 19 In or around February 2016 the PRC formed and funded inhua for the purpose of developing designing and mass-producing advanced DRAM technology The PRC prioritized the development of integrated circuit devices which included DRAM in its 13'h Five-Year Plan a national plan that included objectives for China s economic priorities for the years 2016-2020 rati ed by the National People s Congress and which established the Chinese Communist Party s vision for the country s future developments 20 In or around January 2016 Jinhua and UMC negotiated and later entered into a technology cooperation agreement whereby with funding from inhua UMC would develop DRAM technology transfer the technology to inhua and inhua would mass produce DRAM 21 In the years leading up to the technology cooperation agreement UMC did not have advanced DRAM technology and had not been producing DRAM UMC however had intentions to take over DRAM business in China 22 In September 2015 UMC hired Chen who was previously the President of MMT and the site director of Fabrication Facility 16 in charge of producing Micron s 25nm DRAM product to be the Senior Vice President of UMC In January 2016 UMC established the NBD division for developing DRAM technology to transfer to inhua and placed Chen in charge of the NBD division 23 From in or around October 2015 through April 2016 Chen recruited and hired several MMT employees to work for UMC including Ho and Wang among others 24 In or around November 2015 Chen hired Ho to work for UMC Prior to leaving MMT Ho stole con dential and proprietary materials belonging to Micron including trade secrets pertaining to the prior current and future generations of Micron s DRAM technology including the 80 30nm 90 25m 100 20nm and 110 anm series DRAM Ho referenced the stolen Micron materials to support design of the F32nm DRAM technology for transfer to inhua pursuant to the two companies technology transfer agreement Ho stored the stolen Micron trade secrets including Trade Secrets more digital devices belonging to UMC 25 Between in or around December 2015 and April 2016 Ho communicated with his former colleague Wang who was still working at MMT Wang provided Ho with con dential and proprietary Micron information to further F32nm DRAM technology design including infOrmation related to Micron s wafer speci cations for its 25nm chip 26 On April 26 2016 Wang le employment During Wang s exit interview 'om MMT Wang told MMT that he was leaving to work at his family business and he signed the MMT Declaration of Resignation declaring and certifying that he did not keep any documents con dential or 9 otherwise belonging to the company and that he destroyed any hard copy or electronic form in his possession or control that were stored on non-Micron property including computers phone personal email or le sharing accounts 27 Wang did not leave to work for his family business but rather immediately began j working for UMC 28 In the weeks leading up to Wang s resignation from MMT he downloaded over 900 con dential and proprietary les belonging to Micron including Trade Secrets 1-8 by downloading the les from Micron servers and transferring them to USB external storage devices or uploading the les to his personal Google Cloud account stored on servers in the United States Many of the les were marked Micron Con dential Micron Technology Inc Con dential and Proprietary or Micron Con dential Do Not Duplicate The created dates in theGoogle les metadata showed that Wang accessed Micron con dential and proprietary les both before and after he left Micron employment and while working at UMC 29 In the weeks leading up to Wang s resignation from MMT Wang ran numerous deletion processes and a CCleaner program on his laptop computer to maskhis theft of Micron trade secrets He also conducted numerous internet searches accessing a number of publicly available news articles about the PRC government s support of the growth of the DRAM business in the PRC and speci cally on UMC and Jinhua s cooperation toward creating and producing DRAM 30 development of its F32nm DRAM technology In or around July or August 2016 Wang at the While working at UMC Wang referenced Micron trade secrets to assist and further direction of a UMC employee referenced Micron s Trade Secret 5 and provided critical design rule data to that employee to further development of its F32nm DRAM technology knowing that UMC would transfer the technology to Jinhua Wang used his UMC-assigned laptop to access his Google Drive download a copy of Trade Secret 5 and reference the data contained therein to assist UMC with its 32mm DRAM design rule UMC employees were directed to use the information Wang provided to complete F32mn DRAM design rule Trade Secret 5 and F32nm DRAM design rule were stored in Wang s Google Drive and a comparison of the two show Micron s information being used in F32nm DRAM design rule document 10 October 23 2016 Chen UMC inhua and government of cials from the PRC attended a inhua UMC recruiting fair in the Northern District of California to recruit employees from the United States with semi-conductor experience to work for both companies in either the research and development or sales and marketing division Chen stated at the recruiting fair that UMC had transferred its 25nm DRAM chip to Jinhua On or about October 24 2016 Chen and others from UMC and Jinhua including the mayors from the PRC cities of injiang and Quanzhou also visited several semiconductor equipment-manufacturing companies in the Northern District of California to facilitate its DRAM production process While at the recruiting fair and visiting the equipment-manufacturing companies in the Northern District of California Chen UMC and inhua had obtained and were in continuous control of the stolen Micron trade secrets 32 From in or around September 2016 through March 2017 UMC and inhua led ve patents and a patent application concerning DRAM technology that contained information that was the same or very similar to technology described in Micron s Trade Secrets 2 and 6 Ho was listed as an inventor in each of the ve patents and the-patent application The information contained in the patents and patent application contained Micron trade secrets that could not be obtained through reverse engineering 33 In February 2017 Taiwan law enforcement authorities executed search warrants and seized items from of ces and Ho s and Wang s residences They found electronic and hard copy les containing Micron trade secrets in areas and on devices associated with UMC and belonging to Ho and Wang Knowing that Taiwan law enforcement was on its way to execute search warrants at UMC a UMC employee directed both Ho and Wang to remove any electronic devices they possessed that contained Micron information on them Some of the electronic devices that contained Micron information were turned over to Taiwan law enforcement At least one electronic device that contained Micron information was not turned over to Taiwan law enforcement and had been concealed by UMC and Chen 34 In or around February 2017 in addition to his position at UMC Chen assumed the post of President of Jinhua INDICTMENT I WHO M-huwh owm muvhuN o ll Overt Acts 35 Between in or about October 2015 and April 2016 Chen recruited Micron employees Ho and Wang to work at UMC to develop 32nm DRAM technology 36 In or around January 2016 UMC entered a technology cooperation agreement to develop and transfer F32nm DRAM technology to inhua a state-owned enterprise of the People s Republic of China 37 In or around October 2015 Ho stole Micron trade secrets including Trade Secret 1 and les identi ed as Trade Secrets 6 7 and 8 and brought them with him to UMC In or around December 2015 Ho saved les identi ed as Trade Secrets 6 7 and 8 onto his UMC laptop 38 In or around December 2015 Ho obtained from Chen a UMC company laptop with USB capability in order to access con dential and proprietary Micron materials in support of the UMC F32nm DRAM project 39 On or about May'4 2016 and June 29 2016 Wang uploaded Trade Secret 5 to his BRH5476 Google On or about February 28 2016 Wang downloaded Trade Secret 5 from Micron servers Cloud Account 40 On or about April 23 2016 Wang downloaded Trade Secrets 2 3 and 4 from his Micron company laptop and uploaded Trade Secrets 2 3 and 4 to his BRHS476 Google Cloud Account 41 On or about April 23 2016 Wang downloaded Trade Secret 6 from Micron servers On or about April 23 2016 and October 23 2016 Wang uploaded Trade Secret 6 to his BRH5476 Google Cloud Account 42 On or about May 22 2016 Wang emailed Trade Secret 5 from his BRHS476 Gmail Account to his UMC email account 43 In or around July or August 2016 Wang used stolen Micron trade secret material contained in Trade Secret 5 to assist UMC with its design of the F32nm DRAM product Information from Trade Secret 5 was put into document titled UMC 32nm DRAM Process Topological Layout Rule Version 0 1 Phase 3 Revision History Approved Date August 1 2016 44 On or about October 10 2016 Wang uploaded Trade Secrets 7 and 8 to his BRH5476 Google Cloud Account INDICTMENT 12 45 On or about October 18 2016 UMC and inhua led a patent application with corresponding Patent No 9 679 901 Bl in the United States Patent and Trademark Of ce which claimed priority to a Chinese patent application led on September'22 2016 Ho was listed as a named inventor on the patent application The disclosures and inventions described in the patent application were based on or derived 'om misappropriated proprietary Micron materials identi ed in Trade Secrets 2 and 6 On June 13 2017 the United States Patent and Trademark Of ce issued patent 9 679 901 Bl to UMC and inhua I 46 On or about October 23 2016 UMC inhua and Chen after having obtained Micron trade secrets and being in continuous control over them arranged and coordinated a UMC Jinhua recruiting event in the Northern District of California to recruit employees from the United States with semi-conductor experience to work for UMC Jinhua PRC government of cials attended the event to show support for the companies Chen announced at the recruiting event that UMC had transferred the F32nm DRAM design technology to Jinhua 47 On or about October 24 2016 UMC inhua Chen and government of cials 'om the PRC visited Applied Materials Lam Research and KLA Tencor semiconductor equipment- manufacturing companies in the Northern District of California to facilitate and irther its DRAM production process 48 In February 2017 a UMC employee directed Ho and Wang to remove and hide electronic devices containing Micron information from Taiwan law enforcement who were going to search of ces 49 7 Sometime after February 2017 UMC and Chen concealed at least one electronic device containing misappropriated Micron materials from Taiwan law enforcement All in violation of Title 18 United States Code Section 1831 a 5 INDICTMENT l3 COUNT TWO 18 U S C 1832 a 5 - Conspiracy to Commit Theft of Trade Secrets 50 if fully set forth herein 51 The allegations contained in Paragraphs 1 through 15 are re-alleged and incorporated as Beginning in or about October 2015 and continuing to the date of this Indictment in the Northern District of California and elsewhere defendants UNITED MICROELECTONICS CORPORATION FUJ IAN INHUA INTEGRATED CIRCUIT CO LTD CHEN ZHENGKUN a k a STEPHEN CHEN HE JIANTING a k a T HO WANG YUNGMING and a k a KENNY WANG together with others known and unknown to the Grand Jury knowingly combined conspired and agreed to a knowingly steal and without authorization appropriate take carry away and conceal and by aud arti ce and deception obtain trade secrets belonging to Micron and b knowingly and without authorization copy duplicate sketch draw photograph download upload alter destroy photocopy replicate transmit deliver send mail communicate and convey trade secrets belonging to Micron and c knowingly receive buy and possess trade secrets belonging to Micron knowing the same to have been stolen appropriated obtained and converted without authorization intending to convert a trade secret that is related to a product namely DRAM that- is used in and intended for use in interstate and foreign commerce to the economic bene t of someone other than Micron and intending and knowing that the offense would injure Micron Manner and Means of the Consgiracy 52 The objects of the conspiracy were carried out in part as alleged in Paragraphs 18 through 34 above Overt Acts 53 In furtherance of the conspiracy and to effect its objects defendants committed theiovert acts alleged in paragraphs 34 through 49 among others in the Northern District of California and elsewhere A All in violation of Title 18 United States Code Section 1832 a 5 l4 I-I COUNT THREE 18 U S C l831 a l Economic Espionage Theft of Trade Secrets 54 The allegations contained in Paragraphs 1 through 49 are re-alleged 55 From in or about March 2016 to in or about October 2016 in the Northern District of California and elsewhere defendant WANG YUNGMING a k a KENNY WANG intending and lmowing that he would bene t a foreign government foreign instrumentality and foreign agent knowingly stole and without authorization appropriated took carried away and concealed and by fraud artifice and deception obtained Trade Secrets 1 through 8 in violation of Title 18 United States Code Section 183l a 1 COUNT FOUR l 8 U S C 183 Economic Espionage Copying and Conveying of Trade Secrets 56 57 From in or about March 2016 to in or about February 2017 in the Northern District of The allegations contained in Paragraphs 1 through 49 are re-alleged California and elsewhere defendant WANG YUNGMING a k a KENNY WANG intending and knowing that he would bene t a foreign government foreign instrumentality and foreign agent knowingly and without authorization copied duplicated downloaded uploaded replicated transmitted delivered sent communicated and conveyed Trade Secrets 1 and 5 in violation of Title 18 United States Code Section 183l a 2 COUNT FIVE 18 U S C 183 Economic Espionage COpying and Conveying of Trade Secrets - 58 The allegations contained in Paragraphs 1 through 49 are re-alleged 59 From in or about February 2016 to in or about February 2017 in the Northern District of California and elsewhere defendant HE JIANTING a k a J T HO intending and knowing that he would bene t a foreign government foreign instrumentality and foreign agent knowingly and without authorization copied duplicated downloaded uploaded replicated transmitted delivered sent communicated and conveyed Trade Secret 1 in violation of Title 18 INDICTMENT 15 I United States Code Section 1831 a 2 COUNT SIX 18 U S C 1832 Theft of Trade Secrets 60 The allegations contained in Paragraphs 1 through 49 are re-alleged 61 In or about October 2015 in the Northern District of California and elsewhere defendant HE IANTING a k a LT HO intending to convert a trade secret to the economic bene t of someone other than Micron and intending and lcnowing that the offense would injure Micron knowingly stole and without authorization appropriated took carried away concealed and by fraud arti ce and deception obtained Trade Secrets 1 6 7 and 8 related to a product and service used in and intended for use in interstate and foreign commerce in violation of Title 18 United States Code Section 1832 a 1 COUNT SEVEN l 8 U S C 1831 a 3 and 2 Economic Espionage Receiving and Possessing Stolen Trade Secrets 62 The allegations contained in Paragraphs 1 through 49 are re-alleged 63 From in or about February 2016 to the present in the Northern District of California and elsewhere defendants UNITED MICROELECTONICS CORPORATION FUJ IAN JINHUA INTEGRATED CIRCUIT CO LTD CHEN ZHENGKUN a k a STEPHEN CHEN HE JIANTING a k a T HO and WANG YUNGMING a k a KENNY WANG intending and knowing that they would bene t a foreign government foreign instrumentality and foreign agent knowingly received bought and possessed Trade Secrets 1 through 8 knowing them to have been stolen and appropriated obtained and converted without authorization in violation of Title 18 United States Code Sections 1831 a 3 and 2 INDICTMENT 16 CRIMINAL FORFEITURE ALLEGATION 64 The allegations contained in Counts One through Seven of this Indictment are hereby realleged and incorporated by reference for the purpose of alleging forfeiture pursuant to 18 U S C 2323 b 65 As a result of their conviction on one or more of the felony offenses set forth in Counts One through Seven of this Indictment defendants UNITED MICROELECTONICS CORPORATION FUJ IAN JINHUA INTEGRATED CIRCUIT CO LTD CHEN ZHENGKUN a k a STEPHEN CHEN HE JIANTING a k a T HO WANG YUNGMING and a k a KENNY WANG shall forfeit the following property real or personal to the United States Any article the making or traf cking of which is prohibited under 18 U S C Chapter 90 1 2 Any property used or intended to be used in any manner or part to commit or facilitate a violation of 18 U S C Chapter 90 and 3 Any property constituting or derived from any proceeds obtained directly or indirectly as a result of a violation of 18 U S C Chapter 90 66 If any of the preperty described above as a result of any act or omission of the defendant a cannot be located upon exercise of due diligence b has been placed beyond the jurisdiction of the Court 0 has been transferred or sold to or deposited with a third party 1 has been substantially diminished in value or c has been commingled with other property which cannot be divided without dif culty INDICTMENT l7 the United States of America shall be entitled to forfeiture of substitute property pursttant to Title 2 United States Code Section 853 1 all pursuant to Title 18 United States Code Section 2323 b DATED my $1 901 A TRUE BILL tdu 30M FOREPERSON San Francisco Grand urv No 17-3 ALEX G TSE United States Attorney BARBARA VALLIERE Chief Criminal Division Annroved as to form A 7 JOHN MAN Deputy 1i f Criminal Division Assistant United States Attorney INDICTMENT l8 Rev 6178 DEFENDANT INFORMATION RELATIVE TO A CRIMINAL ACTION IN U S D grggum BY COMPLAINT INFORMATION INDICTMENT CHARGED SUPERSEDING NORTHERN A wm SAN c Name of District Court andfor Judwpagtrate Loca See Attached El Patty 8% no Minor DEFENDANT - U S c g pbi' Misde- MA I meanor 9 United Microelectronics Corporation Inc I eony DISTRICT COURT NUMBER PENALTY See Attached 9R 18 465 - DEFENDANT PROCEEDING IS NOTIN CUSTODY Name of Complaintant Agency or Person 8 Title if any Federal Bureau of Investigation person is awaiting trial in another Federal or State Court give name of court CI this persOn proceeding is transferred from another district per circle one 20 21 or 40 Show District this is a reprosecution of charges previoust dismissed I if not detained give date any prior summons was served on above charges 2 Is a Fugitive 3 Is on Bail or Release from show District Has not been arrested pending outcome this proceelng IS IN CUSTODY 4 On this charge 5 On another conviction I which were dismissed on motion SHOW Federal State Of- DOCKET NO 6 Awaiting trial on other charges NEY DE I FENSE If answer to 6 is Yes show name of Institution this prosecution relates to a If Yes pending case involving this same Has detainer Yes give date defendant MAGISTRATE been led No led CASE nttha lYear prior proceedings or appearance s DATE OF 0 before US Magistrate regarding this ARREST defendant were recorded under ifArresting Agency 8 Warrant were not Name and Of ce of Person DATE TRANSFERRED MonthiDaleear Furnishing Information on this form ALEX G TSE TO US CUSTODY US Attorney OtherU S Agency Name ofAssistant U S Attorney if assigned John Hemann and Shiao Lee This report amends A0 257 previoust submitted PROCESS SUMMONS NO WARRANT If Summons complete following Arraignment initial Appearance Defendant Address United Microelectronics Corporation Inc Comments ADDITIONAL INFORMATION OR COMMENTS Bail Amount Where defendant previoasly apprehended on complaint no new summons or warrant needed since Magistrate has scheduled arraignment DatefTimei November 19 2018 a - r a ate ism A1 Before Judge Duty Magistrate oi PENALTY SHEET ATTACHMENT GJNITED MICROELECTRONICS CORPORATION INC Offenses Charged Count One 18 U S C 1831 a 5 Conspiracy to Commit Economic ESpionage Count Two 18 U S C 1832 a 5 Conspiracy to Commit Theft of Trade Secrets Count Seven 18 U S C 183l a 3 and 2 - Economic Espionage Receiving and Possessing Stolen Trade Secrets Maximum Penalties Counts One and Seven A ne not more than the greater of $10 000 000 or 3 times the value of the stolen trade secret to the organization including expenses for research and design and other costs of reproducing the trade secret that the organization has thereby avoided Restitution Asset Forfeiture and $400 special assessment Count Two A ne not more than the greater of $5 000 000 or 3 times the value of the stolen trade secret to the organization including expenses for research and design and other costs of reproducing the trade secret that the organization has thereby avoided Restitution Asset Forfeiture and $400 special assessment A0 257 Rev 6 28 FIL DEFENDANT INFORMATION RELATIVE TO A CRIMINAL ACTION - IN DIS OURT BY l l COMPLAINT INFORMATION INDICTMENT l l SUPERSEDING CHARGED vu' a Name of District Court andfor JudgefMalg'j'sBate Location pg CALIFORNIA 0' 'Der GONG SAN J0 t soup See Attached Petty w Minor Misde- l l meanor Fujian Jinhua Integrated Circuit Co Ltd Fem DISTRICT COURT PENALTY See Attached 1 8 4 6 DEFENDANT PROCEEDING IS NOTIN CUSTODY Has not been arrested pending outcome th' ing Name of Complaintant Agency or Person 8 Title if any Federal Bureau oftnvestigation person is awaiting trial in another Federal or State Court give name of court this personlproceeding is transferred from another district l l per circle one 20 21 or 40 Show District this is a reprosecution of charges previously dismissed which were dismissed on motion SHOW of DOCKET NO us ATTORNEY DEFENSE this prosecution relates to a pending case involving this same defendant MAGISTRATE CASE NO prior proceedings or appearance s before US Magistrate regarding this defendant were recorded under Name and Of ce of Person Furnishing Information on this form ALEX 6- TSE US Attorney Other US Agency Name of Assistant U S Attorney ifassigned John Hemann and Shiao Lee I If not detained give date any prior summons was served on above charges 2 El Is a Fugitive 3 Is on Bail or Release from show District IS IN CUSTODY 4 On this charge 5 On another conviction Federal State 6 j Awaiting trial on other charges It answer to 6 is Yes show name of institution If Yes give date Has detainer l l Yes been filed NO led DATE OF Montthay Y ear ARREST if Arresting Agency Warrant were not DATE TRANSFERRED MonIhIDarN ear TO US CUSTODY PROCESS SUMMONS 3 NO WARRANT f Summons complete following Arraignment Initial Appearance Defendant Address Fujian linhua Integrated Circuit Co Ltd Comments ADDITIONAL INFORMATION OR COMMENTS DatelTime November 19 2018 This report amends A0 25 previously submitted Bail Amount Where defendant previously apprehended on compiaint no new summons or warrant needed since Magistrate has sctieduted arraignment 0 I 1 Before Judge Duty Magistrate Ql' 1 50 PENALTY SHEET ATTACHMENT FUJIAN INTEGRATED CIRCUIT C0 1411 Offenses Charged Count One 18 U S C 1831 a 5 - Conspiracy to Commit Economic Espionage Count Two 18 U S C 1832 a 5 Conspiracy to Commit Theft of Trade Secrets Count Seven 18 U S C 1831 a 3 and 2 - Economic Espionage Receiving and Possessing Stolen Trade Secrets Maximum Penalties Counts One and Seven 0 A ne not more than the greater of $10 000 000 or 3 times the value of the stolen trade secret to the organization including expenses for research and design and other costs of reproducing the trade secret that the organization has thereby avoided - Restitution - Asset Forfeiture and 0 $400 special assessment Count Two 0 A ne not more than the greater of $5 000 000 or 3 times the value of the stolen trade secret to the organization including expenses for research and design and other costs of reproducing the trade secret that the organization has thereby avoided I Restitution 0 Asset Forfeiture and 0 $400 special assessment 257 FR 6 78 DEFENDANT INFORMATION RELATIVE TO BY CI COMPLAINT CI INFORMATION INDICTMENT SUPERSEDING A CRIMINAL ACTION - IN U S DI COURT Name of District Court andior Judg NORTHERN DISTRICT OF istr L t CHARGED 4 0 SAN Jawwgtegp 0 8 See Attached Petty 4 0 3 of so g fl gf ii G CI Minor DEFENDANT - u s 'ubsg c uu r Misde- 0 9474 meanor CHEN ZHENGKUN a k a STEPHEN CHEN lmy DISTRICT COURT NUMBER PENALTY See Attached 93 18 46% DEFENDANT IS NOTIN CUSTODY Name of Complaintant Agency or Person Title if any Federal Bureau of Investigation person is awaiting trial in another Federal or State Court give name of court this personr proceeding is transferred from another district per circle one 20 21 or 40 Show District El this is a reprosecution of charges previously dismissed 1 If not detained give date any prior summons was served on above charges 2 Is a Fugitive Has not been arrested pending outcome this proceeding 3 Is on Bail or Reiease from show District 5 IS IN CUSTODY 4 On this charge 5 On another conviction which were dismissed on motion SHOW Fadem' State of DOCKET NO 6 Awaiting trial on other charges U S ATTO DEFENSE RNEY If answer to 6 is Yes show name of ll'lSIlIUIlon this prosecution relates to a If Yes-- pending case involving this same H88 GEIainer Yes give date defendant MAGISTRATE been led No led CASE NO DATE OF Month Dainear prior proceedings or appearance s before U S Magistrate regarding this ARREST defendant were recorded under if Arresting Agency 8 Warrant were not Name and Of ce of Person 4 DATE TRANSFERRED MOWWDEWEW Furnishing Information on this form ALEX 6- TSE T0 U-S- CUSTODY U S Attorney Other US Agency Name of Assistant U S Attorney ifassigned John Hemann and Shiao Lee This report amends A0 25 previously submitted SUMMONS NO DWARRANT If Summons complete following Arraignment Initial Appearance Defendant Address CHEN ZHENGKUN aka STEPHEN CHEN Comments ADDITIONAL INFORMATION OR COMMENTS Bail Amount Where defendant previously apprehended on complaint no new summons or warrant needed since Magistrate has scheduied arraignment DaterfTime November 19 2018 Ai 1 Before Judge Duty Magistrate PENALTY SHEET ATTACHMENT CHEN ZHENGKUN a k a STEPHEN Offenses Charged Count One 18 U S C 1831 a 5 Conspiracy to Commit Economic Espionage Count Two 18 U S C 1832 a 5 ConSpiracy to Commit The of Trade Secrets Count Seven 18 U S C 183l a 3 and 2 Economic Espionage Receiving and Possessing Stolen Trade Secrets Maximum Penalties Counts One and Seven 0 $5 000 000 ne or twice the gross gain or loss 0 15 years imprisonment 3 years supervised release 0 $100 special assessment 0 Restitution 0 Forfeiture Count Two 0 $250 000 ne or twice the gross gain or loss 10 years imprisonment 3 years supervised release $100 special assessment Restitution Forfeiture FILED A0 25 Rev one DEFENDANT INFORMATION RELATIVE To A CRIMINAL ACTION - IN ug In h- wail- BMW av El COMPLAINT INFORMATION INDICTMENT Name kWation OFFENSE CHARGED El SUPERSEDING NORTHERN DISTRICT I SAN JOSE DIVISION 4 14 See Attached Petty Minor DEFENDANT - u s Misde- Ij meanor HEJIANTING - em 0 RICT CitiegvumaER 4 6 PENALTY - - See Attached at DEFENDANT PROCEEDING IS NOT IN CUSTODY Has not been arrested pending outcome this proceeding Name of Complaintant Agency or Person Title If any 1 If not detained give date any prior summons was served on above charges Federal Bureau oflnvestigation person is awaiting trial in another Federal or State Court 2 Is a Fugitive give name of court 3 CI Is on Bail or Release from Show District this personiproceeding is transferred from another district per circle one 20 21 or 40 Show District IS IN CUSTODY 4 On this Charge this iS a reprosecution of Charges previously dismissed CI which were dismissed on motion 5 On another conviction SHOW Federal State of DOCKET NO 6 Awaiting trial on other charges U S ATTORNEY DEFEN I If answer to 6 is Yes Show name of Institution this prosecution relates to a If Yes - pending case involving this same H85 detainer '3 yes give date defendant MAGISTRATE been led No med CASE NO two prior proceedings or appearance s DATE OF on ear before US Magistrate regarding this ARREST defendant Were recorded under if Arresting Agency Warrant were not Name and Of ce of Person DATE TRANSFERRED M nthIDayNear Furnishing Information on this form ALEX G TSE TO US CUSTODY US Attorney Other US AgenCy Name of Assistant US This report amends A0 25 previously submitted Attorney if assigned John Hemann and Shiao Lee ADDITIONAL INFORMATION OR COMMENTS PROCESS SUMMONS NO WARRANT Bail Amount If Summons complete following Arraignment Initial Appearance Where defendant previously apprehended on compiaint no new summons or warrant needed since Magistrate has scheduled arraignment Defendant Address a k a J T HO Dalemmei November 19 2018 Before Judge Duty Magistr Comments I Offenses Charged Count One 18 U S C 1831 a 5 - ConSpiracy to Commit Economic Espionage Count Two 18 U S C 1832 a 5 Conspiracy to Commit Theft of Trade Secrets Count Five 18 U S C 1831 a 2 - Economic EsPionage COpr and Conveying Trade Secrets Count Six 18 U S C 1832 a l The of Trade Secrets Count Seven 18 U S C 1831 a 3 and 2 - Economic Espionage Receiving and Possessing Stolen Trade Secrets Maximum Penalties Counts One Five and Seven 0 $5 000 000 ne or twice the gross gain or loss 15 years imprisonment 3 years supervised release $100 special assessment Restitution Forfeiture Counts Two and Six 0 $250 000 ne or twice the gross gain or loss 10 years imprisonment 3 years supervised release 100 special assessment Restitution orfeiturc AO 257_ Rev 6 78 F'le DEFENDANT INFORMATION RELATIVE TO A CRIMINAL ACTION - IN U S BY COMPLAINT INFORMATION INDICTMENT SUPERSEDING OFFENSE CHARGED See Attached '3 Petty Minor Misde- meanOr Felony PENALTYZ See Attached 4' Name of District NORTHERN pic VG SAN JOSE orvreo i gpmr DEFENDANT - U S WANG YUNGMING a k a KENNY WANG CR 18 DE PROCEEDING Name of Complaintant Agency or Person Title if any Federal Bureau of Investigation person is awaiting trial in another Federal or State Court give name of court CI this person proceeding is transferred from another district per circle one 20 21 or 40 Show District this is a reprosecution of charges previously dismissed which were dismissed on motion SHOW of DOCKET NO 3 U S ATTORNEY DEFENSE this prosecution relates to a pending case involving this same defendant MAGISTRATE prior proceedings or appearance s before U S Magistrate regarding this defendant were recorded under CASE NO Name and Of ce of Person Furnishing Information on this form ALEX G TSE U S Attorney 1 Other U S Agency Name ofAssistant U S Attorney if assigned IS NOTIN CUSTODY Has not been arrested 2 I Is a Fugitive DISTRICT COURT NUMBER 465 FENDANT pending outcome this 1 If not detained give date any prior summons was Served on above charges 3 is on Bail or Release from show District ding IS IN CUSTODY 4 On this charge 5 On another conviction Federal 6 Awaiting trial on other charges It answer to 6 is Yes show name of institution State Has detainer Yes been led 3 N0 DATE 0F ARREST If Yes give date led MonthIDayl'Y ear DATE TRANSFERRED TO U S CUSTODY John Hemann and Shiao Lee PROCESS SUMMONS NO E WARRANT If Summons complete following Arraignment Initial Appearance Defendant Address WANG YUNGMING a k a KENNY WANG Comments ADDITIONAL INFORMATION OR COMMENTS if Arresting Agency Warrant were not Month Dain ear This report amends A0 25 previously submitted Bail Amount Dalemmei November 19 2018 ap pm Where defendant previously apprehended on compiai nt no new summons or warrant needed since Magistrate has scheduled arraignment T Bebfe JUdgeI Duty Magistrate I IL PENALTY SHEET ATTACHMENT YUNGMING a k a KENNY WAN Offenses Charged Count One 18 U S C l831 a 5 ConSpiracy to Commit Economic Espionage Count Two 18 U S C 1832 a 5 - ConSpiracy to Commit Theft of Trade Secrets Count Three 18 U S C 1831 a 1 Economic Espionage Theft of Trade Secrets Count Four 18 U S C l831 a 2 Economic ESpionage Copying and Conveying Trade Secrets Count Seven 18 U S C l831 a 3 and 2 Economic Espionage Receiving and Possessing Stolen Trade Secrets Maximum Penalties Counts One Three Four and Seven 0 $5 000 000 ne or twice the gross gain or loss 15 years imprisonment 3 years supervised release $100 Special assessment Restitution Forfeiture Count Two 0 $250 000 ne or twice the gross gain or loss 10 years imprisonment 3 years supervised release $100 special assessment Restitution Forfeiture A0 UNITED STATES DISTRICT COURT DISTRICT OF CALIFORNIA a 2 3 w SshCRIMINAL COVER SHEET 2 7' 2018 SUSAN Y SOONG CLERK Li 5 05mm COUR NORTHERN q anii Instructions Effective November 1 2016 this Criminal Cover Sheet must be completed and submitted along with the Defendant Information Form for each new criminal case CASE NAME CASE NUMBER USA V JUNITED MICROELECTONICS CORPORATION ct Is This Case Under Seal Total Number of Defendants Rees-this case involve ONLY charges tinder 8 U S C 1325 and or 1326 Venue Per Crim L R 18-1 Is this a potential high-cost case Is any defendant charged with a death-penalty-eligihle crime Is this a RICO Act gang case Assigned AUSA Lead Attorney Shlao C- Lee Comments Form CAND-CRIM-COVER Rev 1 l 16 No 9R CRIB 465 LHK SVK No San Jose No No No Date Submitted 9 27 2018 RESET FORM SAVE PDF