Plaintiff Securities and Exchange Commission alleged that defendant Nancy R. Heinen caused Apple to issue stock options that were backdated and altered company records to conceal the fraud, and that defendant Fred D. Anderson should have noticed Heinen's efforts but failed to take steps to ensure that Apple's financial statements were correct. The SEC further alleged that defendants personally benefited from the backdating and received several million dollars in unreported compensation as a result of the backdated options.
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Date Filed
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#
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Docket Text
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| April 24, 2007 |
1
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COMPLAINT against all defendants. Filed by Securities And Exchange Commission. (Fee Waived) (bw, COURT STAFF) (Filed on 4/24/2007) Additional attachment(s) added on 4/26/2007 (bw, COURT
STAFF). (Entered: April 26, 2007)
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| April 24, 2007 |
2
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Consent of Fred D. Anderson to Entry of Final Judgment by Securities And Exchange Commission (bw, COURT STAFF) (Filed on 4/24/2007) Additional attachment(s) added on 4/26/2007 (bw, COURT
STAFF). (Entered: April 26, 2007)
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| April 24, 2007 |
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Received (Proposed) Final Judgment as to Fred D. Anderson by Securities And Exchange Commission. (bw, COURT STAFF) (Filed on 4/24/2007) (Entered: April 26, 2007)
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| April 24, 2007 |
3
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ADR SCHEDULING ORDER: Case Management Statement due by 7/24/2007. Case Management Conference set for 7/31/2007 01:30 PM. (bw, COURT STAFF) (Filed on 4/24/2007) Additional attachment(s)
added on 4/26/2007 (bw, COURT STAFF). (Entered: April 26, 2007)
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| April 24, 2007 |
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Summons Issued as to Nancy Heinen, Fred Anderson. (bw, COURT STAFF) (Filed on 4/24/2007) (Entered: April 26, 2007)
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| April 24, 2007 |
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CASE DESIGNATED for Electronic Filing. (bw, COURT STAFF) (Filed on 4/24/2007) (Entered: April 26, 2007)
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| April 27, 2007 |
4
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Proof of Service of Summons and Complaint ( 1 ) by Securities And Exchange
Commission on Nancy R. Heinen (Mitchell, Robert) (Filed on 4/27/2007) Modified on 4/30/2007 (bw, COURT STAFF). (Entered: April 27, 2007)
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| May 1, 2007 |
5
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Declination to Proceed Before a U.S. Magistrate Judge by Securities And Exchange Commission. (Attachments: # 1 Certificate of
Service)(Mitchell, Robert) (Filed on 5/1/2007) (Entered: May 1, 2007)
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| May 2, 2007 |
6
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CLERK'S NOTICE of Impending Reassignment to U.S. District Judge (pmc, COURT STAFF) (Filed on 5/2/2007) (Entered: May 2, 2007)
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| May 2, 2007 |
7
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ORDER REASSIGNING CASE. Case reassigned to District Judge Jeremy Fogel for all further proceedings and Magistrate Howard R. Lloyd remains the Referral Judge for this case. Signed by the
Executive Committee on 5/2/07. (srm, COURT STAFF) (Filed on 5/2/2007) (Entered: May 2, 2007)
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| May 3, 2007 |
8
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NOTICE of Appearance by Miles F. Ehrlich (Ehrlich, Miles) (Filed on 5/3/2007) (Entered: May 3, 2007)
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| May 4, 2007 |
9
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FINAL JUDGMENT in favor of Securitites and Exchange Commission against Fred D. Anderson. Signed by Judge Jeremy Fogel on 5/4/2007. (gm, COURT STAFF) (Filed on 5/4/2007) (Entered:
05/07/2007)
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| May 8, 2007 |
10
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STIPULATION by Nancy Heinen. (Ehrlich, Miles) (Filed on 5/8/2007) (Entered: May 8, 2007)
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| May 16, 2007 |
11
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AMENDED COMPLAINT against all defendants. Filed bySecurities And Exchange Commission. (Mitchell, Robert) (Filed on 5/16/2007) (Entered: May 16, 2007)
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| May 31, 2007 |
12
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ANSWER of Defendant Nancy R. Heinen to Plaintiff's Amended Complaint by Nancy Heinen. (Ehrlich, Miles) (Filed on 5/31/2007) Modified on 5/31/2007 (bw, COURT STAFF). (Entered: May 31, 2007)
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| July 11, 2007 |
13
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CLERK'S NOTICE Case Management Conference rescheduled for 9/7/2007 10:30 AM. Case Management Statement due by 8/20/2007. (jfsec, COURT STAFF) (Filed on 7/11/2007) (Entered: July 11, 2007)
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| July 13, 2007 |
14
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ADR Certification (ADR L.R. 3-5b) of discussion of ADR options (Ehrlich, Miles) (Filed on 7/13/2007) (Entered: July 13, 2007)
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| July 13, 2007 |
15
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NOTICE of need for ADR Phone Conference (ADR L.R. 3-5 d) (Ehrlich, Miles) (Filed on 7/13/2007) (Entered: July 13, 2007)
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| August 27, 2007 |
16
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Certificate of Interested Entities by Mark Philip Fickes Certificate of Non-party Interested Entities or Persons (Fickes, Mark) (Filed on 8/27/2007) (Entered: August 27, 2007)
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| August 28, 2007 |
17
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ADR Clerks Notice Setting ADR Phone Conference on 9/5/07 at 3:00 p.m. Please take note that plaintiff's counsel initiates the call to all parties. (tjs, COURT STAFF) (Filed on 8/28/2007)
(Entered: August 28, 2007)
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| August 30, 2007 |
18
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Certificate of Interested Entities by Miles F. Ehrlich (Ehrlich, Miles) (Filed on 8/30/2007) (Entered: August 30, 2007)
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| August 31, 2007 |
19
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JOINT CASE MANAGEMENT STATEMENT filed by Securities And Exchange Commission. (Fickes, Mark) (Filed on 8/31/2007) (Entered: August 31, 2007)
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| September 5, 2007 |
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ADR Remark: ADR Phone Conference conducted on 9/5/07 by HAH. (tjs, COURT STAFF) (Filed on 9/5/2007) (Entered: September 5, 2007)
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| September 7, 2007 |
20
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Minute Entry: Initial Case Management Conference held on 9/7/2007 before Judge Jeremy Fogel (Date Filed: 9/7/2007). Further Case Management Conference set for 3/14/2008 10:30 AM. (Court
Reporter Raynee Mercado.) (dlm, COURT STAFF) (Date Filed: 9/7/2007) (Entered: September 11, 2007)
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| November 2, 2007 |
21
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First MOTION to Quash filed by Wendy Howell. Motion Hearing set for 12/11/2007 10:00 AM in Courtroom 2, 5th Floor, San Jose. (Holland, Erin) (Filed on 11/2/2007) (Entered: November 2, 2007)
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| November 2, 2007 |
22
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Proposed Order ORDER GRANTING NON-PARTY WENDY HOWELLS 21 MOTION TO QUASH
SUBPOENAS by Wendy Howell. (Attachments: # 1 Exhibit EXHIBIT A)(Holland, Erin) (Filed on 11/2/2007) Modified on 11/5/2007
(gm, COURT STAFF). (Entered: November 2, 2007)
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| November 2, 2007 |
23
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Declaration of ERIN HOLLAND IN SUPPORT OF 21 MOTION TO QUASH OR IN THE
ALTERNATIVE, FOR ISSUANCE OF A PROTECTIVE ORDER filed byWendy Howell. (Holland, Erin) (Filed on 11/2/2007) Modified on 11/5/2007 (gm, COURT STAFF). Modified on 11/6/2007 (sp, COURT
STAFF). (Entered: November 2, 2007)
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| November 5, 2007 |
24
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STIPULATION Stipulated Protective Order by Securities And Exchange Commission. (Attachments: # 1 Exhibit Exhibit A to
Stipulated Protective Order# 2 Exhibit Exhibit B to Stilulated Protective Order)(Fickes, Mark) (Filed on 11/5/2007) (Entered:
11/05/2007)
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| November 13, 2007 |
25
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STIPULATED PROTECTIVE ORDER (MODIFIED BY THE COURT). Signed by Magistrate Judge Howard R. Lloyd on 11/13/2007. (hrllc2, COURT STAFF) (Filed on 11/13/2007) (Entered: November 13, 2007)
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| November 14, 2007 |
26
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STIPULATION to Continue Motion Hearing until 12/18/07 by Nancy Heinen. (Ehrlich, Miles) (Filed on 11/14/2007) (Entered: November 14, 2007)
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| November 15, 2007 |
27
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STIPULATION AND ORDER Continuing Filing Deadlines and Hearing Date. Defendant's opposition to motion to quash due by 11/27/2007. Non-party Howell's reply due by 12/4/2007. Motion hearing
set for 12/18/2007, 10:00 AM. Signed by Magistrate Judge Howard R. Lloyd on 11/15/2007. (hrllc2, COURT STAFF) (Filed on 11/15/2007) (Entered: November 15, 2007)
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| November 20, 2007 |
28
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STIPULATION and [Proposed] Order Continuing Hearing on Motion to Quash by Nancy Heinen. (Ehrlich, Miles) (Filed on 11/20/2007) (Entered: November 20, 2007)
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| November 26, 2007 |
29
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STIPULATION AND ORDER Continuing Filing Deadlines and Hearing Date. Defendant's opposition brief due by 12/10/2007. Non-party Howell's reply due by 12/21/2007. Motion hearing on motion to
motion to quash continued to 1/15/2008, 10:00 AM. Signed by Magistrate Judge Howard R. Lloyd on 11/26/2007. (hrllc2, COURT STAFF) (Filed on 11/26/2007) (Entered: November 26, 2007)
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| December 10, 2007 |
30
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Proposed Order Joint Stipulation Regarding Non-Party Howell's 21 Motion to
Quash by Wendy Howell. (Holland, Erin) (Filed on 12/10/2007) Modified on 12/11/2007 (gm, COURT STAFF). (Entered: December 10, 2007)
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| December 12, 2007 |
31
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STIPULATION AND ORDER re Non-Party Wendy Howell's Motion to Quash. Motion hearing set for 1/15/2008 vacated. Signed by Magistrate Judge Howard R. Lloyd on 12/12/2007. (hrllc2, COURT
STAFF) (Filed on 12/12/2007) (Entered: December 12, 2007)
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| January 4, 2008 |
32
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STIPULATION Governing Documents Produced by KPMG LLP by Nancy Heinen. (Ehrlich, Miles) (Filed on 1/4/2008) (Entered: January 4, 2008)
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| January 24, 2008 |
33
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STIPULATION Governing Howell Documents by Nancy Heinen. (Ehrlich, Miles) (Filed on 1/24/2008) (Entered: January 24, 2008)
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| March 4, 2008 |
34
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CASE MANAGEMENT STATEMENT Second Joint Case Management Statement filed by Securities And Exchange Commission. (Mitchell, Robert) (Filed on 3/4/2008) (Entered: March 4, 2008)
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| March 14, 2008 |
35
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Minute Entry: Further Case Management Conference held on 3/14/2008 before Judge Jeremy Fogel (Date Filed: 3/14/2008). Further Case Management Conference set for 6/13/2008 10:30 AM. Jury
Selection set for 4/3/2009 01:30PM. Pretrial Conference set for 3/20/2009 11:00 AM. (Court Reporter Summer Clanton.) (dlm, COURT STAFF) (Date Filed: 3/14/2008) (Entered: March 14, 2008)
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| March 26, 2008 |
36
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STIPULATION and Proposed Scheduling Order by Securities And Exchange Commission. (Fickes, Mark) (Filed on 3/26/2008) (Entered: March 26, 2008)
|
| April 1, 2008 |
37
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ORDER GRANTING re 36 Stipulation and Scheduling Order. Signed by Judge Jeremy
Fogel on 3/27/08. (dlm, COURT STAFF) (Filed on 4/1/2008) (Entered: April 1, 2008)
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| June 4, 2008 |
38
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JOINT CASE MANAGEMENT STATEMENT THIRD AND [PROPOSED] ORDER filed by Securities And Exchange Commission. (Mitchell, Robert) (Filed on 6/4/2008) (Entered: June 4, 2008)
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| June 23, 2008 |
39
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CLERK'S NOTICE Case Management Conference set for 8/15/2008 10:30 AM. (dlm, COURT STAFF) (Filed on 6/23/2008) (Entered: June 23, 2008)
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