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1 UNITED STATES INTERNATIONAL TRADE COMMISSION Washington, D.C. In the Matter of CERTAIN HANDHELD ELECTRONIC Inv. No. 337 TA-769 COMPUTING DEVICES, RELATED SOFTWARE, AND COMPONENTS THEREOF ORDER NO. 25: GRANTING RESPONDENTS BARNES AND NOBLES, INC. S AND BARNESANDNOBLES.COM LLC S MOTION TO APPROVE REQUEST FOR INTERNATIONAL JUDICIAL ASSISTANCE IN PROCURING EVIDENCE FROM NOKIA CORPORATION (December 2, 2011) On November 14, 2011, respondents Barnes and Nobles, Inc. and Barnesandnoble.com LLC (collectively B&N ) filed a motion seeking issuance of the attached Request for International Judicial Assistance Pursuant to the Hague Convention of 18 March 1970 on the Taking of Evidence Abroad in Civil or Commercial Matters to obtain documents and deposition testimony from Nokia Corporation ( Nokia ) located in Finland. (Motion Docket No ). Specifically, B&N seeks discovery from Nokia because it entered into a partnership agreement with complainant Microsoft Corporation to replace its operating system with Microsoft s Windows Phone 7 and also because Nokia is party to a royalty sharing agreement between Microsoft, Nokia and Mosaid. B&N argues that the requested discovery is relevant to its patent misuse defense. The motion states that B&N contacted the Commission Investigative Staff, other respondents and complainant Microsoft regarding the instant motion. The time period for responses has expired and, as of the date of this order, no responses were received.

2 The motion is hereby GRANTED. A copy of the request is attached to this order as Attachment A. The original signed requests have been forwarded to the Secretary of the Commission for appropriate action in accordance with the Hague Convention. SO ORDERED MM..i..mmW""':; -=:â œ~..ui'::":f::";>~â *-ee-â«~w~ ð!$ A » â ("i::â œ---â -â -w-=-â -â œ'*â â ",â »â "T Theodore R. Essex Administrative Law Judge

3 ATTACHMENT A

4 i UNITED STATES INTERNATIONAL TRADE COMMISSION WASHINGTON, D.C. Before The Honorable Theodore R. Essex Administrative Law Judge In the Matter of CERTAIN HANDHELD ELECTRONIC COMPUTING DEVICES, RELATED SOFTWARE, AND COMPONENTS THEREOF Investigation No. 337-TA-769 REQUEST FOR INTERNATIONAL JUDICIAL ASSISTANCE PURSUANT TO THE HAGUE CONVENTION OF 18 MARCH 1970 ON THE TAKING OF EVIDENCE ABROAD IN CIVIL OR COMMERCIAL MATTERS The United States International Trade Commission ( Commission ) presents its compliments to the Ministry of Justice of Finland and respectfully requests international judicial assistance to obtain evidence to be used in a civil action entitled In the Matter of Certain Handheld Electronic Computing_Devices, Related Software, and Components Thereof, Investigation No. 337-TA 769, pending before the Commission. Based on the representations of Respondents Barnes & Noble, Inc. and barnesandnoblecom llc (collectively Barnes & Noble ), the Commission believes that the testimony of Stephen Elop, Chief Executive Officer and President, Kai Oistamo, Executive Vice President and Chief Development Officer, Mary T. McDowell, Executive Vice President in charge of Nokia s Mobile Phones Unit, Jaakko Kaskinen, Senior Manager of Nokia M&A, and Jukka Nihtiléi, Head of Business Development, of Nokia Corporation, Keilalahdentie 2-4, P.O. Box 226, FIN Nokia Group, Finland ( Nokia ), persons with knowledge of the topics set forth below, and the particular documentary evidence in the possession of Nokia also stated herein, areinecessary for

5 Barnes & Noble to defend fairly against the allegations made by Complainant Microsoft Corporation in this matter. Therefore, the undersigned applicant has the honor to submit the following request that the Ministry of Justice of Finland cause the below identified witnesses to appear and testify, and to produce the documentary evidence referenced herein to the legal representatives of Barnes & Noble, in conformity with Article 3 of the Hague Convention on the Taking of Evidence Abroad in Civil or Commercial Matters. The documents and information sought will be subject to the Protective Order in the action pending before the Commission, attached hereto as Exhibit 1. The Commission respectfiilly requests that the Ministry of Justice expedite this request, if possible and permissible. There are two important deadlines in the action pending before this Commission relevantto this Request. First, fact discovery must conclude by December l4, Second, the Commission s hearing in this action begins February 6, Thus, to the extent the Ministry of Justice can expedite this request, it is necessary to accelerate the process of obtaining the evidence requested below so that Barnes & Noble can defend itself fairly against the allegations made by Complainant Microsoft Corporation in this matter. 1. Sender: Office of the Secretary United States International Trade Commission 500 E Street, NW. Washington, D.C U.S.A. 2. Central Authority of the Ministry of Justice (Telephone number: (202) ) Requested State: P.O. Box 25 FIN~O0023 Government Finland (Telephone number: l ) (Fax number: l ) 3. Person to whom the executed Honorable Theodore R. Essex.. request is to be returned: Administrative Law Judge United States International Trade Commission A-*2

6 4. Specification of the date by which the requesting authority requires receiptof the response to the Letter of Request: I 500 E Street, N.W., Room 317 Washington, D.C A response is requested by November 25, 201 1, or as soon as practicable before that, in order to ensure that the evidence may be obtained before the period for fact discovery concludes on December 14, Expedient treatment of this request will allow the parties and the witness(es) to arrange a mutually agreeable date for testimony and avoid disruption to the witness(es) s business orpersonal plans. In conformity with Article 3 of the Convention, the undersigned applicant has the honor to submit the following request: 5. a. Requesting judicial authority: United States International Trade Commission 500 E Street, N.W. Washington, D.C J J b. To the competent authority of: c. Name of the case and any identifying number: 6. Names and addresses of the parties and their representatives: a. Plaintiff (Complainant): Republic of Finland In the Matter of Certain Handheld Electronic Computing Devices. Related SoftwareLand Components Thereof, Investigation No. 337-TA 769 Microsoft Corporation Representatives: V. James Adduci II Andrew Pratt Jonathan I. Engler, ADDUCI, MASTRIANI & SCHAUMBERG LLP 1200 Seventeenth Street, NW, Fifth Floor Washington, D.C Dale M. Heist Daniel J. Goettle WOODCOCK WASHBURN LLP Cira Centre, 12th Floor 2929 Arch Street Philadelphia, PA 19 I 04 Robert A. Rosenfeld ORRICK, HERRINGTON & SUTCLIFFE LLP 405 Howard Street San Francisco, CA Telephone: (415) John A. Jurata, Jr. A. 3

7 Jonathan A. Direnfeld ORRICK, HERRINGTON & SUTCLIFFE LLP 1152 Fifteenth Street, NW Washington, DC Telephone: (202) Brian R. Nester Kevin C. Wheeler SIDLEY AUSTIN LLP 1501 K Street, NW Washington, D.C Richard A. Cederoth John W. McBride SIDLEY AUSTIN LLP One South Dearborn b. Defendants (Respondents): Chicago, IL Barnes & Noble, Inc., barnesandnoble.com llc Representatives: Richard L. DeLucia A. Antony Pfeffer Charles A. Weiss Paul M. Richter John R. Kenny KENYON & KENYON LLP One Broadway New York, NY Marcia H. Sundeen Jeffrey S. Gerchick Aimee N. Soucie KENYON & KENYON LLP 1500 K Street, NW Washington, DC Stuart W. Gold Stephen S. Madsen Peter T. Barbur CRAVATH, SWAINE & MOORE LLP Worldwide Plaza 825 Eighth Avenue New York, NY Regresentatives in Finland: Patrik Lindfors Petra Kiurunen K LINDFQRS & CO ATTORNEYS AT LAW A 4

8 1 Kluuvikatu Helsinki Inventec Corporation Regresentatives: Richard DeLucia Elizabeth Gardner John Kenny Paul Richter Charles Weiss Antony Pfeffer KENYON & KENYON LLP One Broadway New York, NY Marcia H. Sundeen Jeffrey S. Gerchick Aimee N. Soucie KENYON & KENYON LLP 1500 K Street, N.W. Washington, DC Foxconn Electronics, Inc., Foxconn Precision Component (Shen Zhen) Co. Ltd., Foxconn International Holdings Ltd. and Hon Hai Precision Industry Co., Ltd. Regresentativest Edward M. Lebow HAYNES AND BOONE, LLP 1615 L Street, N.W., Suite Washington, D.C Glenn E. Westreich Steven M. Levitan Inchan M. Kwon HAYNES AND BOONE, LLP 2033 Gateway Place, Suite 300 San Jose, CA c. Other parties: United States International Trade Commission Regresentative: Jeffrey T. Hsu Investigative Attorney OFFICE OF UNFAIR IMPORT INVESTIGATIONS U.S. International Trade Commission 500 E Street, S.W., Suite 401 A-5

9 I Washington, D.C Nature of the proceedings The nature of the proceedings for which the evidence and summary of the facts: is requested is a civil patent infringement action based upon an amended verified complaint filed by Microsoft Corporation ( Microsoft ) on April 8, The complaint alleges that Barnes & Noble, Inc., bamesandnoblecom llc, Foxconn Electronics, Inc, Foxconn Precision Component (Shen Zhen) Co. Ltd., Foxconn International Holdings Ltd. and Hon Hai Precision Industry Co., Ltd. and Inventec Corporation ( Respondents ) import, sell for importation and/or sell within the United States after importation certain handheld electronic computing devices, related software and components thereof that allegedly infringe U.S. Patent No. 5,778,372, U.S. Patent No. 5,889,522, U.S. Patent No. 6,339,780, U.S. Patent No. 6,891,551 and U.S. Patent No. 6,957,233. Microsoft seeks an exclusion order barring importation of the allegedly infringing devices. The United States International Trade Commission (the Commission ) under Section 337 of the Tariff Act of 1930 (19 U.S.C. 1337), as amended, instituted proceedings based on Microsoft s complaint and subsequently published notice of those proceedings in The Federal Register. Upon institution, the proceeding was assigned to Administrative Law Judge Theodore R. Essex to preside over pretrial matters, conduct a trial and issue an initial determination on the merits of the investigation. The initial determination of Judge Essex is subject to possible review by the Commission, with a right of appeal to the U.S. Court of Appeals for the Federal Circuit and further appeal to the Supreme Court of the United States. Several defenses have been raised against Microsoft s allegations of patent infringement, including the defenses of patent misuse, non infringement, invalidity of the patents, unenforceability of the patents, public interest and lack of domestic industry. The patent misuse defense asserted by Respondents Barnes & Noble, Inc. and barnesandnoblecoin llc requires information about Microsoft s efforts to use its licensing practices to broaden improperly the scope of its patents with anticompetitive effect. 8. Evidence to be obtained and It is respectfully requested that the executingjudicial J A-6

10 purpose: authority of Finland require Stephen Elop (CEO and President), Kai Oistamo (Exec. Vice President and Chief Development Officer), Mary T. McDowell (Executive Vice President), Jaakko Kaskinen (Senior Manager ofnokia M&A) and Jukka Nihtila (Head of Business Development) to appear at a time and place to be determined by that authority, and to give testimony on oral examination conceming these topicszl a. The subject matter of the documents produced in response to this request. Discussions Nokia has had with Microsoft or MOSAID Technologies Incorporated V ( MOSAID ) relating to Barnes & Noble s Nook and Nook Colorm products. Communications and agreements with Microsoft or MOSAID concerning the assertion of patent rights against devices using the Android Operating System or other open source operating system. The agreement or partnership with Microsoft announced on or about February 11, 2011, including Nokia s or Microsoft s strategy or rationale regarding its decision to enter into the agreement or partnership. The agreements entered into by Microsoft and Nokia on or about April 21, 201 l. f. The role of Nokia s CEO Stephen Elop in developing a coordinated strategy with Microsoft to compete with the Android Operating System or any other open source operating system. Discussions between Nokia and Microsofi, including any discussions between CEO 1 While Barnes & Noble believes that at their levels in the company each of the witnesses will have relevant information about all of the topics listed, Kai Oista1m6 s testimony will likely focus more on topics (a), (d), (e), (g), (j), (k), (l) and (m), and Jukka Nihtila s testimony will likely focus more on (a), (b), (c), (d), (e), (g), (h), (i), (j), (n), (o), (P) and (Cl)- A-7

11 Stephen Elop and Microsoft CEO Steven Ballmer, about Nokia s and Microsoft s partnership agreement, Nokia s and Microsoft s combined patent portfolio, the AndroidTM Operating System or any other open source operating system. h. Nokia s knowledge of U.S. Patent No. 5,778,372, U.S. Patent No. 5,889,522, U.S. Patent No. 6,339,780, U.S. Patent No. 6,891,551, U.S. Patent No. 6,957,223, U.S. Patent No. 5,579,517, U.S. Patent No. 5,652,913, U.S. Patent No. 5,758,352, U.S. Patent No. 6,791,536 and U.S. Patent No. 6,897,853, or any other patent(s) that Nokia, Microsoft or MOSAID claims controls or dominates the Android Operating System or any other open source operating system. i. Nokia s offensive and defensive use of its patent portfolio after entering its partnership with Microsoft in February 2011, including its licensing practices and litigation strategy. j. Nokia s business plans or strategies relating to open source software, including its business plans relating to the Android Operating System or any other open source operating system. k. The impact or effect of the Android Operating System or any other open source operatingsystem on Nokia s or Microsofi s businesses, including businesses relating to mobile devices and tablet computers. 1. Nokia s and Microsoft s plans, strategies or efforts to increase their collective share or individual shares of the mobile device market, mobile operating system market or PC operating system market. m. The current or projected market share, including global market share and US. market share, of mobile devices and mobile operating systems. n. The agreement entered into by MOSAID and Core Wireless on or about September 1, A-8

12 2011. o. The agreements entered into by Microsoft, Nokia and MOSAID on or about September 1, p. Nokia s strategy or rationale regarding its decision, announced on or about September 1, 2011, to enter into a revenue sharing arrangement with Microsoft and MOSAID. q. MOSAlD s planned or predicted offensive or defensive use of patent rights, including regarding the patent portfolio of Core Wireless or any potential role played or to be played by Microsoft or Nokia in licensing or asserting MOSAlD s patents. The executingjudicial authority is also requested to require Nokia to produce the following documents for use as evidence at trial to the legal representatives of Barnes & Noble no later than ten (10) days prior to the examination of the witnesses: a. The agreements entered into by Microsoft and Nokia on or about February 11, 2011 and on or about April 21, b. The agreements entered into by Microsoft, Nokia and MOSAID on or about September 1, c. The analyses created in preparation for and in conjunction with the agreements specified in subsections (a) and (b) with respect to Microsoft and Nokia s combined patent portfolio. d. The analyses created in preparation for and in conjunction withthe agreements specified in subsections (a) and (b) with respect to the patents infringed by the Android Operating System. e. The analyses created in preparation for and in conjunction with the agreements specified in subsections (a) and (b) with respect to the threat posed by the AndroidTM A-9

13 Operating System to Nokia s business model. f. The analyses created in preparation for and in conjunction with the agreements specified in subsections (a) and (b) with respect to the patents infringed by Barnes & Noble s Nook products. g. The analyses created in preparation for and in conjunction with the agreements specified in subsections (a) and (b) with respect to the competition posed by Barnes & Noble s Nook products. Purpose of the evidence: The purpose of the testimony and documents sought is to obtain relevant evidence to be used at trial to defend against the allegations made in Microsoft s complaint. Specifically, Barnes & Noble seeks the evidence requested in order to prove that Microsoft is improperly expanding the scope of its patents in an attempt to dominate mobile operating systems such as Android that threaten Microsoft s monopoly in PC operating systems. Such conduct constitutes patent misuse, which renders the patents at issue unenforceable. The evidence from Nokia is highly relevant because Microsoft recently entered into partnership agreements with Nokia whereby, among other things, Nokia agreed to replace its Symbian operating system with Microsoft s Windows Phone 7 as its principal smartphone strategy. in addition to increasing Microsoft s market share in the worldwide mobile operating system market, one of the publicly stated motivations for this partnership was to combine the parties respective patent portfolios and to coordinate their offensive use of the patents to drive out open source operating systems, including Android specifically, that threaten Microsoft s monopoly. Microsofi and Nokia also recently entered into an agreement with a patent licensing company, MOSAID, transferring approximately 2,000 Nokia patents to MOSAID in exchange for MOSAID s efforts to license those patents (or sue those that do not take a license) and promise to pay approximately two~thirds L of any royalties back to Microsoft and Nokia. P A-l0

14 Bames & Noble seeks the evidence requested to prove that Microsoft is using patents, assuming they are even valid, that are trivial with respect to Android based devices (as well as other open source operating devices) in a coordinated campaign to restrict competition and is expanding that strategy by linking with Nokia and MOSAlD ~in violation of the US. antitrust laws and constituting patent misuse. Thus, Barnes & Noble anticipates that the requested testimony and documents will be highly material to the issue of patent misuse. l Nokia Corp. s U.S. subsidiary has represented to Barnes & Noble and to the Commission that the 9. Identity and address of any person to be examined: evidence sought is more likely in the possession, custody or control of Nokia Corporation, and that the testimony subjects should be addressed to Nokia Corp. s CEO, Stephen Elop, and others in Finland. Nokia Inc. has suggested that the agreements with Microsoft and MOSAID were negotiated by Nokia Corp. in Finland and hence the knowledgeable witness(es) and responsive documents are likely to be located in Finland. Since these constitute major agreements and strategies for Nokia and Microsoft, it is highly likely that they performed detailed analyses regarding these agreements. Thus, Barnes & Noble believes that the evidence requested exists and is in the ossession of Nokia Corp. Stephen Elop Kai Oistarno Mary T. McDowell Jaakko Kaskinen Jukka Nihtila Nokia Corporation Keilalahdentie 2-4 PO. Box 226 FIN Nokia Group Finland 10. Questions to be put to the persons to be examined or statement of the subject matter about which they are to be examined: (Telephone No. 358 (0) ) (Fax No ) Please see the topics set forth in part 8 above. ll. Documents or other In accordance with part 8 above, the executing judicial A l1_

15 property to be inspected: 12. Any requirement that the evidence be given under oath or affirmation and any specific form to be used: authority is respectfully requested to require Nokia to produce the documentary evidence set forth in that part. The following is respectfully requested: a. An examiner or other appropriate judicial officer of Finland direct that the witness be duly sworn in accordance with the applicable procedures of Finland; b. The testimony be recorded by the court, and the court provide Barnes & Noble with a copy of the tape; and c. The court allow the parties to record the testimonies by a videographer chosen by Barnes & Noble s legal representatives. In the event that the evidence cannot be taken in the manner requested, it is to be taken in such manner as provided by local law for the formal taking of evidence. 13. Special method or procedure to be followed: Pursuant to Article 9 of the Hague Convention, it is respectfully requested that: a. The examination be conducted orally; b. The parties legal representatives or their designees, their interpreters, a stenographer and a videographer by permitted to be present during the examination; c. The stenographer be permitted to record verbatim the examination; (1. The vicleographer be permitted to record the examination by audiovisual means; e. The attorneys identified above in part 6 from the law firm of Lindfors & Co Attorneys at Law, acting as legal representatives to Barnes & Noble, along with the attorneys identified above in part 6 from the law firm Cravath, Swaine & Moore LLP be permitted to conduct the examination and ask questions regarding the topics listed in part 8 above; f. The witness(es) be examined as soon as A-l2

16 practicable, but before December 14, 2011, the date for the close of discoveryyand the documentary evidence be produced at least ten (10) days before the examination of the witnesses. 14. Request for notification of The undersigned respectfully requests, pursuant to the time and place for the execution of the Request and identity and address of any person to be notified: Article 7 of the Hague Convention, that it be informed in writing of the time when and the place where the proceedings will take place at: Honorable Theodore R. Essex Administrative Law Judge United States International Trade Commission 500 E Street, N.W., Room 317 Washington, D.C It is also requested that notification of the time and place for the execution of this Request be sent to the following representatives of the parties by way of facsimile or e mail: V. James Adduci 11 Andrew Pratt Jonathan J. Engler ADDUCI, MASTRIANI & SCHAUMBERG LLP 1200 Seventeenth Street, NW, Fifth Floor Washington, D.C Telephone: (202) Fax: (202) E mail: MSFT MSFT- L MSFT Robert A. Rosenfeld ORRICK, HERRINGTON & SUTCLIFFE LLP 405 Howard Street San Francisco, CA Telephone: (415) Fax: (415) E mail: Stuart W. Gold Stephen S. Madsen Peter T. Barbur CRAVATH, SWAINE & MOORE LLP Worldwide Plaza 825 Eighth Avenue New York, NY A-13

17 Telephone: (212) Fax: (212) E mail: Patrik Lindfors Petra Kiurunen LINDFORS & CO ATTORNEYS AT LAW Kluuvikatu Helsinki Telephone: Fax: Richard DeLucia Elizabeth Gardner John Kenny Paul Richter Charles Weiss Antony Pfeffer KENYON & KENYON LLP One Broadway New York, NY Telephone: (212) Fax: (212) Edward M. Lebow HAYNES AND BOONE, LLP 1615 L Street, N.W., Suite 800 Washington, D.C Telephone: (202) Fax: (202) Jeffrey T. Hsu, Investigative Attorney OFFICE OF UNFAIR IMPORT INVESTIGATIONS U.S. Intemational Trade Commission 500 E Street, S.W., Suite 401 Washington, D.C Telephone: (202) Fax: (202) Request for attendance or None. participation ofjudicial personnel of the requesting authority at the execution of A-14

18 l the Letter of Request: l6. Specification of privilege or duty to refuse to give evidence under the law of the state of origin: The witness(es) may refuse to give evidence only insofar as he or she has a privilege or duty to refuse to give evidence under the laws of the United States or the laws of Finland. l7. The fees and costs incurred which are reimbursable under the second paragraph of Article 14 or under Article 26 of the Convention, will be borne by: 18. Date of request: Under the law of the United States, the witness(es) may refuse to answer any question if such answer (1) would subject him to a real and appreciable danger of criminal liability in the United States, or (2) would disclose a confidential communication between him and his attorney. Stuart W. Gold Stephen S. Madsen Peter T. Barbur CRAVATH, SWATNE & MOORE LLP Worldwide Plaza 825 Eighth Avenue New York, NY U.S.A. (Attorneys for Respondent Barnes & Noble) Dcumbw 7. Month Day,201l 19. Signature and seal of the requesting authority: Hon. Theodore E. Essex Administrative Law Judge United States International Trade Commission A l5

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20 UNITED STATES INTERNATIONAL TRADE COMMISSION Washington, D.C. In the Matter of CERTAIN HANDHELD ELECTRONIC Inv. No. 337-TA-769 COMPUTING DEVICES, RELATED SOFTWARE, AND COMPONENTS THEREOF ORDER NO. 1: PROTECTIVE ORDER (April 25, 2011) AWHEREAS, documents and information may be sought, produced or exhibited by and among the parties to the above captioned proceeding, which materials relate to trade secrets or other confidential research, development or commercial information, as such terms are used in the Commission's Rules, 19 CPR ; IT IS HEREBY ORDERED THAT: 1. Confidential business information is information which concerns or relates to the trade secrets, processes, operations, style of work, or apparatus, or to the production, sales, shipments, purchases, transfers, identification of customers, inventories, amount or source of any income, profits, losses, or expenditures of any person, firm, partnership, corporation, or other organization, or other information of commercial value, the disclosure of which is likely to have the effect of either (i) impairing the Commission's ability to obtain such information as is, necessary to perform its statutory functions; or (ii) causing substantial harm to the competitive position of the person, firm, partnership, corporation, or other organization from which the I.

21 information was obtained, unless the Commission is required by law to disclose such information. The term confidential business information includes proprietary information within the meaning of section 777(b) of the Tarifi Act of l93o (19 U.S.C. l677f(b)). 2(a). Any information submitted, in pre hearing discovery or in a pleading, motion, or response to a motion either voluntarily or pursuant to order, in this investigation, which is asserted by a supplier to contain or constitute confidential business information shall be so designated by such supplier in writing, or orally at a deposition, conference or hearing, and shall be segregated from other information being submitted. Documents shall be clearly and prominently marked on their face with the legend: "CONFIDENTIAL BUSINESS INFORMATION, SUBJECT TO PROTECTIVE ORDER," or a comparable notice. Such information, whether submitted in writing or in oral testimony, shall be treated in accordance with the terms of this protective order. (13). The Administrative Law Judge or the Commission may determine that information alleged to be confidential is not confidential, or that its disclosure is necessary for the proper disposition of the proceeding, before, during or after the close of a hearing herein. If such a determination is made by the Administrative Law Judge or the Commission, opportunity shall be provided to the supplier of such information to argue its confidentiality prior to the time of such ruling. 3. In the absence of written permission from the supplier or an order by the Commission or the Administrative Law Judge, any confidential documents or business information submitted in accordance with the provisions of paragraph 2 above shall not be disclosed to any person other than: (i) outside counsel for parties to this investigation, including necessary secretarial and support personnel assisting such counsel; (ii) qualified persons taking testimony involving such 2

22 documents or information and necessary stenographic and clerical personnel thereof; (iii) technical experts and their staff who are employed for the purposes of this litigation (unless they are otherwise employed by, consultants to, or otherwise affiliated with a non-governmental party, or are employees of any domestic or foreign manufacturer, wholesaler, retailer, or distributor of the products, devices or component parts which are the subject of this investigation); (iv) the Commission, the Administrative Law Judge, the Commission staff, and personnel of any governmental agency as authorized by the Commission; and (V) the Commission, its employees, and contract personnel who are acting in the capacity of Commission employees, for developing or maintaining the records of this investigation or related proceedings for which this information is submitted, or in internal audits and investigations relating to the programs and operations of the Commission pursuant to 5 U.S.C. Appendix Confidential business information submitted in accordance with the provisions of paragraph 2 above shall not be made available to any person designated in paragraph 3(i)2 and (iii) unless he orshe shall have first read this order and shall have agreed, by letter filed with the Secretary of this Commission: (i) to be bound by the terms thereof; (ii) not to reveal such confidential business information to anyone other than another person designated (' paragraph 3; and (iii) to utilize such confidential business information solely for purposes of this investigation. 5. If the Commission or the Administrative Law ludge orders, or if the supplier and all parties to the investigation agree, that access to, or dissemination of information submitted as confidential business information shall be made to persons not included in paragraph 3 above, such matter shall only be accessible to, or disseminated to, such persons based upon the conditions pertaining to, and obligations arising from this order, and such persons shall be U)

23 considered subject to it, unless the Commission or the Administrative Law Judge finds that the information is not confidential business information as defined in paragraph 1 thereof. 6. Any confidential business information submitted to the Commission or the Administrative Law Judge in connection with a motion or other proceeding within the purview of this investigation shall be submitted under seal pursuant to paragraph 2 above. Any portion of a transcript in connection with this investigation containing any confidential business information submitted pursuant to paragraph 2 above shall be bound separately and filed under seal. When any confidential business information submitted in accordance with paragraph 2 i above is included in an authorized transcript of a deposition or exhibits thereto, arrangements shall be made with the court reporter taking the deposition to bind such confidential portions and separately label them "CONFIDENTIAL BUSINESS INFORMATION, SUBJECT TO PROTECTIVE ORDER." Before a court reporter or translator receives any such information, he or she shall have first read this order and shall have agreed in writing to be bound by the terms thereof. Alternatively, he or she shall sign the agreement included as Attachment A hereto. Copies of each such signed agreement shall be provided to the supplier of such confidential business information and the Secretary of the Commission. 7. The restrictions upon, and obligations accruing to, persons who become subject to this order shall not apply to any information submitted in accordance with paragraph 2 above to which the person asserting the confidential status thereof agrees in writing, or the Commission or the Administrative Law Judge rules, after an opportunity for hearing, was publicly known at the time it was supplied to the receiving party or has sinde become publicly known through no fault of the receiving party.

24 8. The Commission, the Administrative Law Judge, and the Commission investigative attorney acknowledge that any document or information submitted as confidential business information pursuant to paragraph 2 above is to be treated as such within the meaning of 5 U.S.C. 552(b)(4) and 18 U.S.C. 1905, subject to a contrary ruling, after hearing, by the Commission or its Freedom of Information Act Officer, or the Administrative Law Judge. When such information is made part of a pleading or is offered into the evidentiaiy record, the data set forth in l9 vc.f.r must be provided except during the time that the proceeding is pending before the Administrative Law Judge. During that time, the party offering the confidential business information must, upon request, provide a statement as to the claimed basis for its confidentiality. 9. Unless a designation of confidentiality has been withdrawn, or a determination has been made by the Commission or the Administrative Law Judge that information designated as confidential, is no longer confidential, the Commission, the Administrative Law Judge, and the Commission investigative attorney shall take all necessary and proper steps to preserve the confidentiality of, and to protect each supplier s rights with respect to, any confidential business information designated by the supplier in accordance with paragraph 2 above, including, without limitation: (a) notifying the supplier promptly of (i) any inquiry or request by anyone for the substance of or access to such confidential business information, other than those authorized pursuant to this order, under the Freedom of Information Act, as amended (5 U.S.C. 552) and (ii) any proposal to redesignate or make public any such confidential business information; and (b) providing the supplier at least seven days after receipt of such inquiry or request within which to take action before the Commission, its Freedom of Information Act Officer, or the

25 Administrative Law Judge, or otherwise to preserve the confidentiality of and to protect its rights in, and to, such confidential business information. 10. If while an investigation is before the Administrative Law Judge, a party to this order who is to be a recipient of any business information designated as confidential and submitted in accordance with paragraph 2 disagrees with respect to such a designation, in full or in part, it shall notify the supplier in writing, and they will thereupon confer as to the status of the subject information proffered within the context of this order. If prior to, or at the time of such a conference, the supplier withdraws its designation of such information S being subject to this order, but nonetheless submits such information for purposes of the investigation; such supplier shall express the withdrawal, in writing, and serve such withdrawal upon all parties and the Administrative Law Judge. If the recipient and supplier are unable to concur upon the status of the subject information submitted as confidential business information within ten days from the date of notification of such disagreement, any party to this order may raise the issue of thedesignation of such a status to the Administrative Law Judge who will rule upon the matter. The Administrative Law Judge may sua sponte question the designation of the confidential status of any information and, after opportunity for hearing, may remove the confidentiality designation. 11. No less than 10 days (or any other period of time designated by the Administrative Law Judge) prior to the initial disclosure to a proposed expert of any confidential information submitted in accordance with paragraph 2, the party proposing to use such expert shall submit in writing the name of such proposed expert and his or her educational and detailed employment history to the supplier. If the supplier objects to the disclosure of such confidential business information to such proposed expert as inconsistent with the language or intent of this order or on other grounds, it shall notify the recipient in writing of its objection and the grounds therefore 6

26 prior to the initial disclosure. If the dispute is not resolved on an informal basis within ten days of receiptof such notice of objections, the supplier shall submit immediately each objection to the Administrative Law Judge for a ruling. If the investigation is before the Commission the matter shall be submitted to the Commission for resolution. The submission of such confidential business information to such proposed expert shall be Withheld pending the ruling of the Commission or the Administrative Law Judge. The terms of this paragraph shall be inapplicable to experts within the Commission or to experts from other govemmental agencies who are consulted with or used by the Commission. 12. If confidential business information submitted in accordance with paragraph 2 is disclosed to any person other than in the manner authorized by this protective order, the party responsible for the disclosure must immediately bring all pertinent facts relating to such disclosure to the attention of the supplier and the Administrative Law Judge and, without prejudice to other rights and remedies of the supplier, make every effort to prevent further disclosure by it or by the person who was the recipient of such infomiation. 13. Nothing in this order shall abridge the right of any person to seek judicial review or to pursue other appropriate judicial action with respect to any ruling made by the Commission, its Freedom of Information Act Officer, or the Administrative Law Judge concerning the issue of the status of confidential business information. 14. Upon final termination of this investigation, each recipient of confidential business information that is subject to this order shall assemble and return to the supplier all items containing such information submitted in accordance with paragraph 2 above, including all copies of such matter which may have been made. Alternatively, the parties subject to this order may, with the written consent of the supplier, destroy all items containing confidential business 7

27 information and certify to the supplier (or his counsel) that such destruction has taken place. This paragraph shall not apply to the Commission, including its investigative attorney, and the Administrative Law Judge, which shall retain such material pursuant to statutory requirements and for other recordkeeping purposes, but may destroy those additional copies in its possession which it regards as surplusage. Notwithstanding the above paragraph, confidential business information may be transmitted to a district court pursuant to Commission Rule 2l0.5(c). l5. If any confidential business information which is supplied in accordance with paragraph 2 above is supplied by a nonparty to this investigation, such a nonparty shall be considered a "supplier" as that term is used in the context of this order. A 16. Each nonparty supplier shall be provided a copy of this order by the party seeking information from said supplier. 17. The Secretary shall serve a copy of this order upon all parties. Theodore R. Essex A Administrative Law Judge

28 Attachment A NONDISCLOSURE AGREEMENT FOR REPORTER/STENOGRAPHER/TRANSLATOR I,, do solemnly swear or affirm that I will not divulge any information communicated to me in any confidential portion of the investigation or hearing in the matter of Certain Handheld Electronic ec0mputing Devices, Related Sofiware, and Components Thereof Investigation No. 337 TA 769, except as permitted in the protective order issued in this case. I will not directly or indirectly use, or allow the use of such information for any purpose other than that directly associated with my official duties in this case. Further, I will not by direct action, discussion, recommendation, or suggestion to any person reveal the nature or content of any information communicated during any confidential portion of the investigation or hearing in this case. I also affirm that I do not hold any position or official relationship with any of the participants in said investigation. I am aware that the unauthorized use or conveyance of information as specified above is a violation of the Federal Criminal Code and punishable by a fine of up to $10,000, imprisonment of up to ten (10) years, or both. Signed Dated Firm or affiliation

29 CERTAIN HANDHELD ELECTRONIC Inv.eNo. 337~TA~769 COMPUTING DEVICES, RELATEDC SOFTWARE, AND COMPONENTS THEREOF PUBLIC CERTIFICATE OF SERVICE 1, James R. Holbein, hereby certify that the attached ORDER 1 has been served by hand upon the Commission Investigative Attorney, Jeffrey Hsu, Esq, and the following parties as indicated on APri1 25, es R. Hoibein, Acting Secretary _ y._s. International Trade Commission 500 E Street, SW, Room 112 Washington, D.C On Behalf of Comglainant Microsoft Coggoration: Jonathan I. Engler, Esq. ( ) Via Hand Delivery ADDUCI MASTRIANI & SCHAUMZBERG LLP ( ) Via Overnight Delivery Street, NW, 5 Floor (>0 Via First Class Mail Washington, DC ( ) Other: On Behalf of Resgiondents Barnes & Noble, Inc. and barnesandnoble.com LLC: Marcia H. Sundeen, Esq. ( ) Via Hand Delivery KENYON & KENYON, LLI I ( Via Overnight Delivery 1500 K Street, NW ( ' Via First Class Mail Washington, DC ( )Other:

30 CERTAIN HANDHELD ELECTRONIC COMPUTING DEVICES, RELATED SOFTWARE, AND COMPONENTS THEREOF Inv. No. 337~TA-769 A CERTIFICATE OF SERVICE â - PAGE TWO Resgondents: Hon Hai Precision Industry Co., Ltd. ( ) Via Hand Delivery 2 Zihyou Street, Tucheng City ( ) Via Overnight Mail Taipei County; 236 Taiwan ( ) Other: ( à ¾ Via First Class Mail Foxconn Electronics, Inc. ( ) Via Hand Delivery 2 Zihyou Street, Tucheng City ( ) Via Overnight Mail Taipei County; 236 Taiwan ( ) Other: (70 Via First Class Mail Foxconn Precision Component (Shenzhen) Co.Ltd ( ) Via Hand Delivery No. 2, East Ring Road ( ) Via Overnight Mail No. 10 Industiial Zone Yousong, Longhua, Shenzhen ( ) Other: Guandong China (W) Via First Class Mail Foxconn International Holdings, Ltd ( ) Via Hand Delivery SF Peninsula Tower ( ) Via Overnight Mail 538 Castle Peak Road (70) Via First Class Mail Cheung Sha Wan Kowloon ( p4ÿ ) Other: A New Territories «Hong Kong Inventee Corporation ( ) Via Hand Delivery Inventee Building ( ) Via Overnight Mail N0. 66 Houâ Kang Street (?<â x) Via First Class Mail Shin~Lin District I ( ) Other: Taipei County, 111 Taiwan

31 CERTAIN HANDHELD ELECTRONIC COMPUTING DEVICES, RELATED SOFTWARE, AND COMPONENTS THEREOF Inv. N TA 769 PUBLIC CERTIFICATE OF SERVICE ~PAGE THREE PUBLIC MAILING LIST: Heather Hall ( ) Via Hand Delivery LEXIS NEXIS ( ) Via Overnight Mail 9443 Springboro Pike <)'Via First Class Mail Miamisburg, OH ( ) Other: _~_ Kenneth Clair ( ) Via Hand Delivery THOMSON WEST ( ) Via Overnight Mail 1100 Thirteenth Street, NW, Suite 200 ()()?Via First Class Mail Washington, D.C ( )Other:

32 APPENDIX 2

33 _ GECITEXT Translations, lnc. STATE OF NEW YORK COUNTY OF NEW YORK \/\../\./\./ SS CERTIFICATION This is to certify that the attached translation is, to the best of my knowledge and belief, a true and accurate translation from English into Finnish of the attached Request for International Judicial Assistance Pursuant to The Hague Convention of 18 March 1970 on the Taking of Evidence Abroad in Civil or Commercial Matters in Investigation No TA 769. flu, /La(hx éa;zi*w Brooke Bates, Project Manager Geotext Translations, Inc. Sworn to and subscribed before me this 11% day of Alwfimha, 320 ll _ KURT ADAM SHULENBERGER NOTARY PUBLIC-STATE or NEW YORK No.0lSH Quclllfled in Queens County 245 _Q'Q My Commission Expires February 07, 2015 New York 259 West 30th Street, 17th Floor, NewYork, NY 10001, U.S.A. tel Ei fax San Francisco 220 Montgomery Street Ste. 438, San Francisco CA U.S.A tel fax -I Washington 1025 Connecticut Avenue. Suite 1000, Washington, DC 20036, U.S.A. Tel Fax ! 271 London 8-11 St. John's Lane. London EC1M 48F, United Kingdom Tel OO Fax Paris 75 Boulevard Haussmarm. F Paris, France tel fax Hong Kong 20th Floor, Central Tower. 28 Queen's Road, Central, Hong Kong tel fax I wvvvvigeotextcom

34 YHDYSVALTAIN KANSAINVALISEN KAUPAN KOIVIISSIO [UNITED STATES INTERNATIONAL TRADE COMMISSION] WASHINGTON, D.C. Esitetty hallint0 oikeuden tuomarille Theodore R. Essexille Asiassa TIETYT KADESSA PIDETTAVAT SAHKOISET TIETOKONELAITTEET, NIIHIN LIITTYVAT OHJELMISTOT JA NIIDEN KOMPONENTIT Tutkimus N:o 337 TA 769 KANSAINVALINEN OIKEUSAPU1 YYNT(") 18. MAALISKUUTA 1970 HAAGISSA TEHDYN YLEISSOPIMUKSEN NOJALLA KOSKIEN TODISTEIDEN VASTAANOTTTANIISTA ULKOMAILLA SIVIILI~ JA KAUPPAOIKEUDELLISISSA ASIOISSA Yhdysvaltain kansainvéilisen kaupan komissio (The United States International Trade Commission, Komissio ) kohteliaimmin tervehtii Suomen oikeusministeriota ja kunnioittavasti pyytaa kansainvalista oikeusapua vastaanottaakseen todisteita kaytettavaksi siviiliprosessissa, jonka otsikko on Asiassa tietyt kadessa pidettéivat séihkoiset tietokonelaitteet, niihin liittyvat ohj elmistot ja niiden komponentit (In the Matter of Certain Handheld Electronic Computing Devices, Related Softwarega Components Thereof 1, Tutkimus Nzo 337 TA~769, joka on Komissiossa Vireilléi. Vastaajien Bames & Noble, Inc. ja barnesandnoblecom llc (yhteisesti Barnes & Noble ) esityksien perusteella Komissio uskoo, ettéi Nokia Corporationin, Keilalahdentie 2-4, PL 226, FIN Nokia Group, Suomi ( Nelda ), lausumat péiéij ohtaja Stephen Elopilta, varatoimitusj ohtaja ja kehitysj ohtaja Kai Cistfixnolta, Nokian matkapuhelinyksikostéi vastaavalta johfaj alta Mary T. MeDoWe]lilta, Nokian yrityskauppoja hoitavalta paéillikoltéi Jaakko Kaskiselta ja liiketoiminnan kehitysj ohtaja Jukka Nihtiléiltéi, joilla on tietoa alla esitetyistii aiheista, sekéi erityiset Nokian hallussa olevat asiakirjatodisteet, jotka myos tassa mainitaan, ovat Barnes & Noblelle

35 tarpeellisia, j otta so Voi tasapuolisesti puolustautua kantaja Microsoft Corporationin téissa asiassa esittamiéi Vaitteita Vastaan. T'2iméin johdosta allekirjoittaneella hakij on kunnia esittaéi seuraava pyynto Suomen oikeusmjnisteriolle, j otta so Velvoittaa alla mainitut todistajat saapumaan todistamaan ja esittaxnaan téissa Viitatut kirjalliset todisteet Barnes & Noblen I oikeudellisille edustajille Haagin yleissopimuksen 3 artiklan mukaisesti, joka koskee todisteiden Vastaanottamista ulkomailla sivii1i- tai kauppaoikeudellisissa asioissa. Pyydetyt dokumentit ja tiedot ovat tarnéin pyynnon liitteena olevan Exhibit 1:n mukaisen suojaméiariiyksen alaisia Komissiossa vireilla olevassa asiassa, Komissio kunnioittavasti pyytéiii, ettéi oikeusministerio nopeuttaa téitéi pyyntééi, mikali mahdollista ja sallittua. Tasséi Komissiossa vireilla olevassa asiassa on kaksi téirkeéiéi méiéiréiaikaa, jotka ovat olennaisia téunéin pyynnon kannalta. Ensiksi, tosiseikat on selvitettéivéi 14. joulukuuta 2011 mennesséi. Toiseksi, taméin asian kéisitte1y0komissiossa alkaa 6. helmikuuta Siksi oikeusministerion on téirkeéia jouduttaa alla olevan todistusaineiston hankkimista téiméin asian nopeuttamiseksi, niin etta Barnes & Noble Voi tasapuolisesti puolustautua asianomistaja Microsoftin faéséi asiassa esittéimiéi vaitteitéi A Vastaan. 1. Léihettaja Office of the Secretary United States International Trade Commission 500 E Street, NW. Washington, DC USA. (Puhelin +1 (202) ) 2. Kohdevaltion Oikeusministerio késkusviranomainen PL 25 FIN Valtioneuvosto Suomi (Puhelin +35 8~ ) (Faksi ) 3. Henkilo, jolle téiytetty pyynto I Honorable Theodore R. Essex

36 Cpalautetaanz Administrative Law Judge United States International Trade Commission 4. Maarapaiva, johon mennessa pyynnon tehneen Viranomaisen tulee saada vastaus pyyntokirjelmaan J 500 E Street, N.W., Room 317 Washington, DC Vastausta pyydetaan marraskuun 25. paivaan mennessa tai kaytannossa mahdollisimman pian sita ennen, jotta Voidaan Varmistaa, etta todisteet voidaan hankkia ennen kuin tosiseikkoj en selvittamiselle annettu aika paattyy 14. joulukuuta Téiman pyynnon ripeii kasittely mahdollistaa sen, ettéi Aosapuolet ja todistaja (todistaj at) jarj estéivat molemmin puolin sopivan aj ankohdan todistaj anlausuntoja varten niin, ettéi todistajan (todistajien) ty6 tai henkilokohtaisten suunnitehnien keskeytyrninen valtetaan. Yleissopimuksen 3 artiklan nojalla allekitj oittaneella hakij alla on kunnia esittaa seuraava pyyntoz 5. A. Pyynnon esittava Viranomainen: United States International Trade Commission 500 E Street, N.W. Washington, D.C B. Toimivallan omaavalle Viranomaiselle Suornen tasavalta C. Asian otsikko ja tunnusnumero Asiassa tietyt kéldessa pidettavat séihkoiset tietokonelaitteet, niihin liittyyat ohj elmistot ja niiden komponentit (In the Matter of Certain Handheld Electronic Computing Devices, Related Software, and Components Thereo: 1, Tutkimus N TA /'69

37 6. Osapuolten sekéi heidéin Microsoft Corporation edustaj iensa nirnet ja osoitteet: Asiamiehet: V. James Adduci II A. Kanfaja Andrew Pratt (A81-':Hl0II1iStaJ'a)I Jonathan J. Engler ADDUCI, MASTRIANI & SCHAUMBERG LLP 1200 Seventeenth Street, NW, Fifth Floor Washington, D.C Dale M. Heist Daniel J. Goettle WOODCOCK WASHBURN LLP Cira Centre, 12th Floor 2929 Arch Street Philadelphia, PA Robert A. Rosenfeld ORRICK, HERRINGTON & SUTCLIFFE LLP 405 Howard Street San Francisco, CA Puhelin +1 (415) John A. Jurata, Jr. Jonathan A. Direnfeld ORRICK, HERRINGTON & SUTCLIFFE LLP 1152 Fifteenth Street, NW Washington, DC Puhelin +1 (202) Brian R. Nester Kevin C. Wheeler SIDLEY AUSTIN LLP 1501 K Street, NW Washington, D.C Richard A. Cederoth John W. McBride SIDLEY AUSTIN LLP One South Dearborn 1 Chicago, IL 60603

UNITED STATES INTERNATIONAL TRADE COMMISSION WASHINGTON, D.C. Before The Honorable Theodore R. Essex Administrative Law Judge

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