THE UNITED STATES OF AMERICA
vs.
WEI PANG, HAO ZHANG, HUJISUI ZHANG,
JINPING CHEN, ZHAO GANG, and CHONG ZHOU
SUPEl~SEDlfNG

INDICTMENT

Count One:

18 U.S.C. § 1831(a)(5)-Conspiracy to Commit
Economic Espionage

Co11nt Two:

18 U.S.C. § 1832(a)(5)-Conspiracy to Commit
Theft of l'rade Secrets

Counts 1'hree-Seventeen:

18 U.S.C. §§ 1831(a)(l),(2), (3), & 2-Eeonomic
Espionage; Aiding and Abetting

Counts Eighteen-Thirty Two:

18 U.S.C. §§ 1832(a)(l),(2), (3), & 2-Theft of
Trade Secrets; Aiding and Abetting

A true bill.

----·.
Filed in open court this
A.D. 201:)

Foreperson

LbfUnited States Jlfaafrtrate
Judae
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Bail. $

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dt' ·le"-o' c~!-s-

 MELINDA HAACJ (CABN 132612)
United States Attorney

SEALED BY ORD~R
OF THE COU:~l .

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UNITED STATES DISTRICT COURT

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NORTHERN DISTRICT OF CALIFORNIA

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SAN JOSE DIVISION

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UNITED STATES OF AMERICA,
V,

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WEI PANG,
HAO ZI!ANG,
HlJISlJl ZHANG,
JINPING CHEN,
ZHAO GANG, and
CHONG ZHOU,

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Defendants.

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CASE NO. CR-15-00106 EJD
VIOLATIONS: 18 U.S.C. § 183 l(a)(5)-Conspiracy
to Commit Economic Espionage; 18 U.S.C. §
l832(a)(5)- Conspiracy to Commit Theft of Trade
Secrets; 18 U.S.C. § 183l(a)-Economic Espionage;
18 U.S.C. § 1832(a)--ThefrofTradc Secrets; 18
U.S.C. § 2 - Aid & Abet; 18 U.S.C. §§ 1834 and 2323
-Criminal Forfeiture
FILED UNDER SEAL
SAN JOSE VENUE

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SUPERSEDING INDICTMENT
The Grand Jury charges:

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Introdnctory Allegations
, At all time~ relevant to this Indictment, unless otherwise indicated (and with all dates and date
ranges being both approximate and inclusive):

l.

Avago Technologies ("Avago") was a leading designer, developer and global supplier of

a broad rnngc of analog, digital, mixed signal and optocleclronics components and subsystems with a
focus in semiconductor design and processing. Avago was headquartered in San Jose, California, and
SUPERSEDING INDICTMENT
CR-15-00106 EJD

 Singapore, and lrnd facilities around the United States and the world. The facilities operated by Avago
2

included fabrication plants, one of which was located in Fort Collins, Colorado.

0

Skyworks Solutions, lnc. ("Skyworks") was an innovator of high performance analog

-'
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scmiconcluctors. Skyworks was headquartered in Woburn, Massachusetts, and had facilities around the

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United Stales and the world. The facilities operated by Skyworks included fabrication plants, one of

6 which was located in Woburn.
7

The Tcchnok?.gy

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3.

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10
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Surface Acoustic Wave ("Si\ W") and Bulk Acoustic Wave ("BA W") filters are used in

wireless devices to eliminate interference and improve other aspects of device performance. FBJ\Rs arc
one type of BA W filler.
4.

Film Bulk Acoustic Resonators ("fBAR") are tunable acoustical resonators comprising

12

top and bottom electrodes that sandwich piezoelectric material, and which arc supported from the ends

J3

Sltch.that they are suspended over a substrate. FBARs are ollen referred to as "filters" because they filter

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incoming and outgoing wireless signals for wireless devices. FBARs are tuned to adjust their resonance

15

frequency to suit various applications. Avago is the leading company in the United States that

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manufactures and sells FBARs.

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5.

The most common and most profitable application ofFBAR technology is as a radio

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frequency ("RF") filter for mobile phones and other wireless devices. Filtering unwanted incoming and

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outgoing wireless signals has become technologically more difficult with the ever-expanding use of

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wireless signals in modern communications. Technological advances in FBARs have played a

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substantial role in creating smaller, more efficient wireless devices for both consumer and military

22

applications.

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Entities Used by the Defendants

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6.

Tianjin University ("TJU") was a State; University and part of the People's Republic of

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China ("PRC") Ministry of Education. TJU includes the College of Precision Instrument and Opto-

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Elcctrnnic Engineering ("College of Precision Instrument"). The College of Precision Instrument

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contained three pertinent research facilities: the State Key Laboratory for Precision Testing Tec!miques

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CR-15-00106 E.JD

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 and Instrument, the Engineering Research Center of the Ministry of Education I Micro-Nano
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Manufacturing and Measuring Technology, and the Municipal Engineering Center I Micro-Nano

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Manufacturing Technology. WEI PANG, HAO ZHANG, and JINPJNG CHEN held the positions of

4

T.TU Professors in the College of Precision Instrument.

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7.

TJU was a member institution of PRC 985 Project. The 985 Project was a PRC fonding

6

program administered by the Ministry of Education and instituted for the purpose of enabling the PRC to

7

develop world class universities. The PRC Ministry of Education also stated that PRC slate universities

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have a role in bolstering the PRC economy and that this role was more readily fulfilled by utilizing 985

9 Project hmds.
10

8.

Novana, Inc. ("Novana"), was a shell corporation formed in the _Cayman Islands by WEI

1I

PANG, HAO ZHANG, and others, at the direction ofTJU. Novana was created in part to appear to be

12

the legitimate source of the trade secrets stolen from A vago and Skyworks. TJU dictated this

I3

arrangcn1ent, including the ovvnershi1) structure ofNovana.

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9.

Tianjin Micro Nano Manufacturing Tech ("MNMT") was located in the PRC's Tianjin

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Economic Development Area ("TEDA"), a PRC-sponsored high tech development zone, and served as

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the investment arm ofTJU, which was MNMT's sole owner.

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10.

ROFS Microsystems ("ROFS") was an entity created by the joint venture between

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MNMT and PANG, ZHANG, and others on September 11, 2011. WEI PANG, HAO Zl-IANG,

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JINPING CHEN, ZHAO GANG, CHONG ZHOU, and others held positions at ROFS.

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Other Individuals

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11.

J.Y. was the Academician of the Chinese Academy of Sciences responsible for the T.JU

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College of Precision Instrument and Opto-Electronic Engineering. J.Y. had substantial connections to

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the PRC government and was a chairman or committee member of nunwrous PRC political committees,

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including the National Committee of Chinese People's Political Consultative Conference ("CPPCC"),

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CPPCC of Tianjin City, China Association for Promoting Democracy ("CAPD''), and Tianjin CAPD.

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The Defendants

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12.

WEI PANG came to the United States from the PRC as a graduate student at University

SUPERSEDING INDICTMENT
CR-15-00106 E.JD

3

 of Southern California ("l)SC") on August 10, 2001. After obtaining his PhD in Electrical Engineering
2

("EE") from USC in 2006, he worked llw Avago in Fort Collins, Colorado, until the end of June 2009.

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PANG was a USC classmate ofl\AO ZHANG and HUISUI ZHANG.

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13.

HAO ZHANG came lo the United States from the PRC as a graduate student at USC on

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May 19, 2003. Aflerobtaining his PhD in EE from USC in 2006, he worked for Skyworks in

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Massachusetts until May 2009.

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14.

HUISUI ZHANG came lo the United States from the PRC after receiving his Bachelor of

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Science degree from Peking University in 2002. After obtaining his Master of Science degree in EE

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from USC in 2006, HUISUI ZHANG worked for Micrcl Semiconductor in San Jose, California.

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HU!SUI ZHANG, WEI PANG, and HAO ZHANG were classmates at USC.

15.

JlNPING CHEN was Assistant Dean at Tl U, the Deputy General Manager/Vice

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President of Tianjin Micro Nano Manufacturing Tech ("MNMT"), and a member of the Board of

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Directors ofROFS. CHEN coordinated Micro-Electronic Mechanical Systems ("MT\MS") fabrication

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equipment lists and led the formation ofROFS as a PRC-basedjoinl venture between WEI PANG and

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HAO ?:HANG's team and TJU/MNMT.

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16.

ZHAO GANG was the general manager of ROFS, was educated at TJU, and had prior

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TJU-af'filiated employment. In 2005, GANG helped TJU and .JINPING CHEN form MNMT, which

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originated as a micro/nano engineering fabrication facility built with PRC government funding.

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17.

CHONG ZHOU was a TJU graduate student working for WEI PANG and HAO

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Zl-!ANG's TJU design team. CHONG ZllOU worked with Cadence design kit and made source code

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adjustments, contributed to papers and patent applications on FBAR, edited layouts for FBAR, and

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altered documents containing Avago's trade secrets.

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Avago Trade Secrets

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18.

Avago's FBAR. technology contained trade secrets, as defined in Title 18, United States

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Code, Section 1839(3), that were included in products sold worldwide. Avago and its predecessor

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companies have spent approximately 20 years and $50,000,000 researching and developing its FBAR

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technology. Avago's FBAR technology included, but was not limited to, the following trade secrets:

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SUPERSEDING INDICTMENT
CR-15-00106 EJD

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 a.

P-cclls: Avago used Cadence, a publicly-available computer automated drafting

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("CAD") software platform for engineers to design FBARs. Avago employed software engineers to

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develop parameterized cells, which Avago called "P-cells," for usc within Cadence. The "Call Dack"

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foatures ofl'-ce\ls automatically adjusted remaining dimensions when one or more dimensions were

5 changed by an engineer using the program to design FBARs. The Call Back files were typically saved·

6 by noting a "CB" at the end of the file name. These automatic adjustments allowed J\vago's FBAR
7 designers to create and test new FBAR designs quickly. When an Avago P-ccll was opened, the window
S revealed the source code and a banner at the top stating that the file was Avago's intellectual i1ropcrty.

9 The source code also showed the name of the Avago employee who made every revision to the file,
1O including the date the revision was made. The P-cclls in J\vago's Design Kit took many son.ware
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engineers years to develop.
b.

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Design Kits: J\vago grouped all of the !'-cells it created into a bulk "Design Kit"

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that was stored on restricted servers. The P-cells in Avago's Design Kit were critical to Avago's ability

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to design high performance FBARs and were not disseminated outside of the company.

c.

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Air Bridge Design Feature: Avago's "Air Bridge" connected the top electrode

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on an FBAR to the electrical pad. J\vago's Air Bridge contained unique features, such as allowing kinks

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to remain and machining the air bridge to match the contours of the sloped layers beneath it. Avago's

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Air Bridge enhanced the performance of its FBARs by improving the amount of energy an FBAR

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reflected back.

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cl.

Wings and "Undercut" Design Features: Avago's "Wings" feature derived its

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name from the wing shape of one layer. Avago developed Wings simultaneously with its Air Bridge.

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Wings had a specific feature called an "undercut." Avago perfected a wet-etching process to create the

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undercut and specifically designed its FBJ\Rs to have a slight undercut.

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e.

Silicon Carbide Layers: J\vago's Silicon Carbide Project combined two

passivation layers, or coatings, of silicon carbide in a particular manner proprietary to Avago.
f.

Tetnpcraturc Compensation Layer: J\ vago placed a temperature compensation

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layer between two electrodes as part of its FBAR design, and found that a smoother and more gradual

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SUPERSEDING INDICTMENT
CR- l 5-00106 EJD

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 slope avoided cracking and enhanced performance.
a

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Coupled Resonator Frequencies (CRF) Project: Avago's CRF Project was a

".)

method fcir manufacturing an acoustically-coupled device for FBARs. The particular manner in which

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A vago manufactured the device cnlianced the performance of its FBARs.
h.

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Ion Mill Etching Process and Trimming Code: Avago's ion mill etching

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process was a unique FBAR fabrication process. Avago maintained a machine-specific trimming code,

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or source code, that enabled a specific type of machine (a Roth and Rawl brand) to perform the ion mill

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etching process. The trimming code and the specific type of machine were both essential components to

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Avago's ion mill etching process.

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Microcap, Automatic Parameter Testing (APT), and Wafer Bonding Process:

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Avago c!cvclopec! a low-cost packaging technique callee! "Microcap" that aligned notches and cavities to

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"sandwich" a lid wafer onto a base wafer (also referred to as "wafer bonding") before cutting the wafer

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into individual pieces. Avago intentionally placed bumps, treads, and "vias" (that is, passageways

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through the wafer layers) on and through the backs of wafers, then used gold to fill the aligned cavities

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between the lie! and the base wafers for conductivity. Sandwiching multiple wafers allowed Avago to

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simultaneously package multiple FBARs before cutting, saving time and money. Avago also developed

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source code to conduct APT during the wafer bonding process. APT simulated the shape of a base wafer

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for bonding and automatically generated a matching wafer that can be bonded to the base. Additionally,

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APT automatically adjusted all parts of both wafers for any modil.ications to either wafer.

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fabrication process steps perfonned by technicians at Avago.
k

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Chemical Mcclrnnical Polish (CMl') Process: CMP was one of the FBAR

F.BAR Design Layouts: Avago's FBAR design layouts contained critical

parameters that affect FBAR performance.
l.

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Applications for Avago's FBAR Technology: Avago conducted market and

feasibility analyses for potential applications ofFBAR technology and protected the results as trade

26 secrets.
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m.

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SUPERSEDING INDICTMENT
CR-15-00106 EJD

Alumhrnm Nitride (AIN) Deposition Details: AlN was the piezoelectric

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 material that J\ vago used in its FDA Rs. Although various methods of depositing J\lN on the bottom
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electrode were available, J\ vago determined that "sputtering" was the prcl'crrcd method. Precise

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sputtering ofi\lN was critical to the tuning and performance ofAvago's FBJ\Rs.

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ll.

High Tone Bulk Acoustic Resonators: In addition to work on FBAR, Avago

5 also performed Research and Development ("R&D") on other types of BA W devices, including high
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lone bulk acoustic resonators ("HBJ\R").

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J\ v<igQ Confidt;ntiality Protections

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19.

paragraph 18 above, secret, including the following:

a.

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Avago employees were required to sign a Non-Disclosure Agreement (NDA) as

part or accepting employment.
b.

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Avago took reasonable measures to keep its trade secrets, including those referred to in

Avago employees attended annual training on confidential information and on

business standards of conduct.

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c.

Avago employees were required to wear access badges to enter Avago facilities.

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d.

Avago maintained security cameras both inside and outside Avago facilities.

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Security Guards monitored these cameras 24/7.

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c.

Access to Avago's computer system required an assigned log-in and password.

Avago computer monitors also displayed a Security Banner/Warning.

f.

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Access to Avago's "T" Drive required a separate, assigned log-in.and password,

20

and required the user to view and accept a confidentiality warning and agreement before logging on.

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Further access inside the "T" drive was limited to folders relevant to each particular user. Initial access

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was granted by a system administrator, who limited an employee's access to the areas for which he or
she had a legitimate need.
g.

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and was only given to employees with a need for access.

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,
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Access to Avago's computer system required an assigned log-in and password,

h.

Publication of any Avago FBAR information required prior approval li·om Dr.

Richard Ruby.
SUPERSEDING INDICTMENT
CR-15-00106 EJD

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 2

1.

Avago physically marked relevant items "Confidential."

J.

When disclosing approved information to other companies, A vago used

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Confidential Disclosure Agreements (CDA) that ranged from three to five years, or, in the rare instance

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in which the disclosure contained source code, ten years.

k.

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A vago required employees lo dispose of confidential information in designated

G bins with slots, the contents of which were subsequently shredded.
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I.

Avago used code names for projects.

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111.

Avago marked relevant emails: "Confidential - Do Not Forward."

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n.

Avago required employees to disclose inventions deriving from work at Avago.

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0.

Avago placed strict limitations on information that could be included in academic

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papers or presentations.

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Skyworks Tracie

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20.

Secret~

Skyworks developed BA W filter technology that it intended to include in products that

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were to be sold worldwide. Skyworks exited the BAW/FBAR business in early 2009, sold some of its

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patents and patent applications to Avago, and retained some of the information as trade secrets, as

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defined in Title 18, United States Code, Section 1839(3), including the following:

17

a.

Recipes and Process for Deposition of AlN: The key step in manufacturing

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Skyworks' filters was the deposition of AlN by sputtering. Skyworks developed unifo1m and precise

19

deposition recipes and processes for AlN sputtering that directly affected the quality of BA W filters.

20

21
22

b.

fxl' Tool Equipment Specifications: Skyworks also developed precise

specifications and customizations for the fxP tool Skyworks used to deposit AlN.
c.

Omega AIN Etching Tool Equipment Specifications: Skyworks used an Omega

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etching tool to etch thc.AlN after it had been deposited, and spent considerable time developing its

24

etching process, including precise specifications and customizations.

25

cl.

Equipment Specifications Stored on Shared D1·ives: Skyworks

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compartmentalized and stored its intellectual prope1ty ("IP") in controlled-access, shared drives. These

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shared drives contained numerous trade secrets, such as recipes, equipment specifications, facility setup

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 information, pricing information, project plans, and testing reports.

c.

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maintained recipes that listed the optimal, precise chemical quantities for making BA W wafers.
f.

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5

Wafer Chemical Quantity Calculation Recipes: Skyworks developed and

Mask Layouts: Skyworks' mask layouts were layouts for Skyworks' integrated

circuits ("!Cs"). Skyworks developed masks that allowed etching and application of other process steps

6 to certain areas of a filter.
7

0

b"

Module Performance J)ata: Power Amplifier Modules ("PAMs") and front End

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Modules ("FL\Ms") were combinations of several parts. Skyworks sold PA Ms and FEMs and protected

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data regarding their perforn1ancc in testing as trade secrets.

h.

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Skyworks' Internal Power Point Presentations: Skyworks engineers often used

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PowerPoint presentations containing trade secrets during internal department/team meetings to explain

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and illustrate Skyworks' processes and test rcsul ts.

13

I.

BA W Project Plans: PowerPoints and other files outlined BA W foture

14

performance goals, R&D techniques, and technology applications.

15

Skyworks Confidentiality Protections

16
17

21.

Skyworks took reasonable measures to keep its trade secrets, including those referred to

in paragraph 20 above, secret, including the following:

18

a.

Skyworks required keycard/badge access to BA W facilities.

19

b.

Skyworks required employees to establish a usemame and password in order to

20
21

access Skyworks' IT network.

c.

Skyworks restricted employee access to directories containing proprietary

22

information and trade secrets. Employee access to restricted shared drives required approval from the

23

employee's manager. There were several layers of access that required approval, including site access,

24

group and user folder access, and application access. Once the manager approved the appropriate layers

25

of access, the employee was provided a username and login password based upon the requirements of

26

the position.For access to closed directories for projects and other items outside the control of the

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employee's manager, approval of access from the owner of the project directory structure was required.

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 d.

Skyworks restricted the availability of Virtual Private Network access only to

2

those who had a demonstrated need, and required group manager approval prior to sendi11g a username

3

and password to those employees.

c.

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5

Skyworks had procedures in pl-ace to handle departing employees, including a

checklist entitled "Employee Clearance Process." Skyworks conducted exit interviews for departing

6 c111ployees, including having the employee complete and sign a form entitled "Confidential Exit
7

Interview." Skyworks also required departing employees to sign forms entitled "Information for

8

Terminating Employees Regarding [nvcntions and Proprietary/Confidential Information," and

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"Standards of Business Conduct."

f.

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11

as standard practice on most documents and templates.

12

13

0
D"

Skyworks required employees to obtain specific permission before they could

publish material related to the BA W depmtment.

h.

14

15

Skyworks used IP banner warnings as a default in Cadence software designs and

Skyworks' BA W department undertook specific IP protection training and other

related training.

16

I.

Skyworks employees were required to sign employment agreements that specified

17

NDAs as conditions of employment. These agreements also stated that inventions and technology

18

belonged to Skyworks and that employees could not disclose information pertaining to Skyworks'

19

inventions or technology.

20 CQUNT ONE: (18 U.S.C. § 183 J (a)(S) -·Conspiracy to Commit Economic Espionage)
21

22.

The factual allegations contained in Paragraphs 1 through 21 arc realleged and

22 incorporated as if fully set forth here.
23

24

23.

Beginning in 2006 and continuing to the present, in the Northern District of California

and elsewhere, the defendants,

WEI PANG,
HAO ZHANG,
HUISUI ZHANG,
.l!NPING CHEN,
ZHAO GANG, and
CHONG ZHOU,

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SUPERSEDING INDICTMENT
CR-15-00106 EJD

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 together with others known and unknown lo the Grand Jury, knowing and intending that the offenses
2

would benefit a foreign government, namely the PRC, and foreign instrumentalities, namely TJ\J,

3

MNMT, TEDA and ROfS, conspired:

4
5

a.

knowingly to steal, and without authorization appropriate, take, carry away, conceal, and

by fraud, artifice, and deception obtain trade secrets belonging to Avago and Skyworks;
b.

6

knowingly and without authorization to copy, duplicate, sketch, draw, download,

7

upload, alter, photocopy, replicate, transmit, deliver, send, communicate, and convey trade

8

secrets belonging to Avago and Skyworks; and

9

e.

knowingly and without authorization to receive, buy, and possess trade se.crets

10

belonging to Avago and Skyworks, knowing the same to have been stolen and appropriated,

lI

obtained, and converted without authorization.
Manner and Means of the Conspiracy

12

13

24.

The object of the conspiracy was to steal trade secrets from Avago and Skyworks and use

14

them to set up an FBAR/BAW fabrication facility in the PRC. In effect, and in the words of one ofthe

15

defendants, the objective was "moving Avago to China."

16

25.

To accomplish this transfer, WEI PANG, HAO ZHANG, HUISUI ZHANG, and others,

17

communicated with JINPING CHEN, ZHOU GANG, CHONG ZHOU, J.Y., and others in the PRC to

18

develop a scheme by which the sources and origins of the trade secrets stolen from Avago and Skyworks

19

would be disguised and the technology contained within those trade secrets be used by entities in the

20

PRC to develop products for civilian and military use.

21

26.

TJU authorized WEI PANG, HAO ZHANG, and others to incorpornte.Novana in the

22

Cayman Islands in 2009. TJU guided PANG in establishing Novana and approved its ownership

23

structure. Although PANG, ZHANG, and two unindictcd co-conspirators each contributed seed money

24

to Novana, PRC entities paid for the equipment purchases and fabrication facility in Tianjin.

25

27.

To achieve their goal of creating a fabrication facility in the PRC, WEI PANG, and HAO

26

ZHANG needed to justify their hiring as foll professors at TJU by having patent applications in their

27

names in both the United States and the PRC. Those two defendants applied for patents in both

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SUPERSEDING INDICTMENT
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 countries using technology and trade secrets stolen from Avago and Skyworks. To conceal the sources
2

of the technology that formed the basis of their patent applications and to prevent Avago from

3

discovering the theft, WEI l' ANG and HAO ZHANG applied for lJ .S. patents based on the Av ago

4

technology under ZHANG's name only, keeping former Avago employee PANG's name out of those

5

patent applications. At approximately the same time, the defendants applied for patents in the PRC for

G some of the same stolen Avago teclmology, but did so under both WEI PANG and HAO ZI-lANG's
7

names. This subterfoge allowed both defendants to use the PRC patent applications to enhance their

8 credentials in applying for foll professorships with T.TU, while hiding their actions from Avago by using

9 only ZHJ\NG's name in the applications filed in the United States. By filing for the patents, PANG and
1O ZHANG also disguised the fact _that they had stolen the technology from their respective employers,
11

which enabled them to present themselves to potential investors and suppliers as the developers and

12

owners of that stolen intellectual property.

13

28.

During the same period, acting through its wholly-owned investment arm, MNMT, and in

14

a further efflirt to disguise and obfuscate the source of the stolen trade secrets and the manner by which

15

T.JU would come to possess them, TJU entered into a joint venture with WEI PANG, HAO ZHANG,

1G and others. The entity created by this joint venture, ROFS, served as the vehicle to "launder" the trade
17

18

secrets for later use by TJU in setting up its fabrication facility.
29.

In October 2008, while they were still employed by the victim companies, PANG and

19

ZHANG provided and coordinated the information necessary to complete applications for PRC

20

government funding, including applications to Tianjin Science and Technology Development Zone;

21

State Key Laboratory (National Laboratory) & Introduction of Overseas High Level Talent; 985 Project

22

Application; 211 Project Application; and MEMS Engineering Research Center of Ministry of

23

Education. Each of these applications required the defendants to supply detailed information about their

24

plans and personnel. The applications often emphasized the benefit of MEMS technology to the PRC,

25

particularly the military benefits, as well as to make the PRC the leading country in the commercial RF

26

industry.

27

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CR-15-001 OG E.JD

12

 Overt Acts

2

30.

On or about the following dates, in forthcrance of the conspiracy and to effect its objects,

3

the defendants committed the following overt acts, among others, in the Northern District of California

4

and elsewhere:

5

a.

On October 29, 2006, HUISUI ZHANG emailed WEI PANG and HAO ZHANG

6

his notes from a planning meeting for creating an FBAR fabrication facility in the PRC. One subsection

7

of the notes was c11titlccl: "Cost saving by moving Avago to China."

8

b.

On October 30, 2006, WEI PANG emailed a warning to maintain secrecy to HAO

i'.llANG and lllJ!SlJI ZHANG:
Please try not to check personal email accounts in company. It could be
10
tracked as long as in company's network. It is very important. Even in
A vago, I have seen several law cases, where the previous employee's
11
emails has been investigated, we arc faced with two law cases relating
12

with FBAR right now.

13

c.

On November 6, 2006, I-IUISUI ZHANG emailed WEI PANG and

14

I !AO ZHANG regarding their need for intellectual property, stating that "IP is our

15

biggest problem." [Translation from Chinese.]

16
17

18
19
20

cl.

On November 9, 2006, WEI PANG emailed HAO ZHANG and HUISUI ZHANG

discussing potential conflicts for their PRC company concerning Avago's and Skyworks' IP:
IP is almost impossible if we arc still engaged with current company, but
sample demonstration will be good enough for VC according to a veteran
in a high-tech start up company. The prototype doesn't need to be perfect
in the very beginning. But. ... how can we build filter outside of Avago
and Skyworks?

21
c.

On November 13, 2006, WEI PANG sent an email to a PRC national

22
and former colleague at USC to help set up a business plan to sell FBARs in the PRC:

24
25
26
27

28

We (Hao, Huisui, and I) have made decision to form a company and
establish a factory in China to produce FBAR filters mainly for cell phone
manufacturers (such as Nokia, Motorola, Samsung, LG, etc.) by
leveraging our technology and experience accumulated in both of
academics and industry through the past five years. The filter market for
cell-phone alone is estimated to be more than $1 Billion in 2006. We arc
confident with our technology and business model (i.e., cost advantages
SUPERSEDING INDICTMENT
CR-15-00106 EJD
13

 over competitors) and arc preparing for business plan to attract venture
capitals.
2

f

0

On November 13, 2006, WEI PANG sent a follow-up email stating, "Since we

.)

4

(Hao and 1) arc still working in FBAR company, please keep it as secret" ,
On December 10, 2006, WEI PANG emailed his notes of a meeting that took

5
6

7
8

place on December 9, 2006, to I !AO ZHANG and HU!SUI ZIIANG stating, "My work is to make every
possible effort lo find out about the process's every possible detail and copy directly to China."
[Translation from Chinese, italicized words in English in original.]

h.

9
10
11

On January 25, 2007, WEI PANG emailed HAO ZHANG and l-IUISUl ZHANG

agreeing that they could beat out competitors because they would not need to conduct research and
development:
However, in the company point of view, another significant cost is R&D
and management (such as labor cost) fee (>25%) in any typical western
company, we save that money a lot, and ... no filter (FBAR or SAW)
company can compete with us.
·

12
13

14

l.

On May 25, 2007, WEI PANG emailed HAO ZHANG and HUISUI ZHANG

I5

suggesting a name for their company in the PRC, "I want to call the company 'cliibaw'. Dow about

16

your names?" When HUISUI ZHANG responded by asking PANG to "explain the inside meaning,"

17

PANG replied: "China liH BA W technology - Clifbaw. haha."

18

].

On June 14, 2007, HUISUI ZIIANG emailed WEI PANG and HAO ZHANG

I9

about his meeting with a venture capital ("VC") finn representative that same clay. HUISUI ZHANG

20

summarized the VC's concerns, in part, as follows (bullets nqt in original text):

21

24

The main points he concerns are two: IP and detail investigations on costumers [sic].
Also he mentioned if the potential members are working at a BAW company, it will be a
conflict.
The detail investigation is to know what exactly costumer [sic] needs and the detail
requirement they will buy. We actually know these but I cannot tell VC because the
information is from currently BA W providers which are your employers.

25

k.

22

a
a
a

On June 20, 2007, HUISUI ZHANG emailed WEI PANG and HAO ZHANG

26

explaining that he had met with patent agents in the PRC to discuss when and where to file patent

27

applications. HU!SUJ ZHANG rccomincnded they file patent applications in both the United States and

28

SUPERSEDlNG INDICTMENT
CR-15-00106 EJD

14

 the PRC. HUISUI ZHANG continued that, "if they got caught, the best situation they can hope for will

2

be that the U.S. BA W patent holder has not applied for Bi\ W patent in China." [Translation from

3

Chincsc.j
I.

4

On June 29, 2007, WEI PANG emailed HAO ZHANG and HUISUI ZHANG

5 that he had already provided applications for FBAR oscillators for cell phones and microphones,
G including detailed market and feasibility analyses, to HAO ZHANG.
7

111.

Beginning in July 2007 and continuing to at least .January 2008, WEI PANG

8 solicited a number of universities and institutes in the PRC regarding the proposed FBAR fabrication
9

company.
n.

10

On .January 21, 2008, WEI PANG traveled lo the PRC to present a lecture at an

11

FBAR symposium for a number of PRC government institutes at TJU College of Precision Instrument.

12

.f.Y. attended that lecture and met with PANG.

13
14

0.

On February 20, 2008, J.Y. emailed WEI PANG requesting information fot' his

job application at TJlJ.

15

p.

On February 20, 2008, WEI PANG cmailcd J.Y. unpublished Avago draft United

16

States patent applications as well as other documents relating to his employment at TJU. [Translation

17

from Chinese."!

18

19
20

q.

On June 2, 2008, WEI PANG traveled to the PRC to visit MNMT at TEDA and

have meetings with TJlJ's Dean and Vice President.
r.

On July 16, 2008, WEI PANG forwarded to HAO ZHANG and others an email

21

and attached letter from a TJU Vice-President ("VP") welcoming PANG to THJ, requesting information

22

on other personnel, and asking for further confirmation regarding "[p]otcntial intellectual property
dispute with the work you will be doing in China vs. patent application/company trade secret in the

24

U.S." [Translation from Chinese.] The letter also contained details about a visit to the United States by

r_)

the Dean of the College of Precision Instrument and the Vice President ofTJU to meet with WEI

26

!' ANU, HAO ZHANG, and other co-conspirators.

27
28

s.

On July 20, 2008, WEI PANG emailed HAO ZHANG and others to say that

SUPERSEDING INDICTMENT
CR-I 5-00 l 06 EJD

15

 officials from THJ would be corning to the United States to meet with them the week of August 30,
2

2008.
t.

3
4

On August 31 and September 1, 2008 the TJU VP and the Dean of the Co!!eac
of
b

Precision Instrument met with WET PANG, HAO ZHANG, and others at a residence in San Jose,

5 California.
u.

G

On September 8, 2008, a TJU VP emailed WEI!' ANG, HAO ZHANG, and

7

others to say that T.lU would give l'J\NG's team foll support by actively obtaining the funding,

8

equipment, and space required to conduct the work. TJU asked PANG to provide details for the plan

9

including equipment requirements, stafling requirements, devdopment plans, and to note specifically

1()

any information that needed to be kept confidential. [Translation from Chinese.]

11
12

v.

On September 11, 2008, WE! PANG emailed HAO ZHANG the lile

"WCDMJ\_TX_070803.gds" containing Avago trade secrets.
w.

13

Between October 12 and October 26, 2008, WEI PANG and HAO ZllANG

14

coordinated with TJU officials to apply for PRC government funding, including applications to the

15

Tianjin Science and Technology Development Zone; the State Key Laboratory (National Laboratory) &

16

Introduction of Overseas High Level Talent program; the 985 Project; the 211 Project; and the MEMS

17

Engineering Research Center of Ministry of Education.

x.

18

l3etwecn October 25 and November 22, 2008, HAO ZHANG emailed his co-

19

conspirators the specifications and pricing for the Aviza AlN sputter deposition tool, the Omega AIN

20

etching tool, and the Sigma deposition tool, all containing Skyworks trade secrets, in order to prepare lo

21

build an FBAR fabrication facility at TJU.
y.

22
23

Between November 2 and November G, 2008, WEI PANG traveled to the PRC to

meet with T JU and MNMT officials, as well as with equipment vendors.

24

z.

On November 10, 2008, WEI PANG sent an email to an unindicted co-

25

conspirator (H.!.) that included a Powcrl'oint slide containing Avago's deep silicon via etching

26

teclmique.

27

aa.

28

SUPERSEDING INDICTMENT
CR-! 5-00 l 06 E.JD

On November 10, 2008, an unindicted co-conspirator (I-I.I.) sent an email to an

16

 equipment vendor used by Avago stating, "I am working for China Tianjin University now to help them
2

set up a MEMS pilot line for student training purposes (This is the 985 project, $comes from education

3

flmding.)" II.I. then forwarded this email to WEI PANG.

4

bb.

On November 11, 2008, WEI PANG sent an email containing the subject

5

line, "equipment details," and an attached spreadsheet of tools and the specifications at which the tools

6

would need lo operate. Specifically, the list contained Avago's "AlN etch recipe."

7

8
9

cc.

On December 9, 2008, HAO ZHANG emailed to WEI PANG an unredacted slide

from A vago 's Confidential Process Flow Powerl'oint.
dd.

·On December 11, 2008, WEI PANG sent an email to HAO ZHANG containing

JO

photos of the Avago device packaging process which allowed two silicon wafers to be sandwiched

11

together, called the "rnicrocap process."

12
13
14

ce.

Between January 31 and february I, 2009, WEI PANG and HAO ZHANG

traveled to San Jose, California, for a team meeting and to meet with equipment vendors.
ff.

On February 12, 2009, HAO ZHANG emailed a TJU oilicial proposing that

15

because he did not previously have access lo the Skyworks technology lo which he had recently been

16

assigned, he should stay at Skyworks long enough to "master the technology,"· and then join TJU at the

17

beginning of May 2009. [Translation from Chinese.]

18
19
20

gg.

On February 19, 2009, WEI PANG emailed HAO ZHANG Avago !'-cells and

Design Kits (v.5 and v.6).
hh.

On February 19, 2009, HAO ZHANG emailed WEI PANG a Powerl'oint for

21

Skyworks AlN.and Molybdenum ("Mo") deposition that contained over 25 slides with computer screen

22

snapshots of detailed process specifications.
11.

24

On March 25, 2009, HAO ZHANG emailed WEI PANG, while PANG was in

the PRC, a PowerPoint entitled, "Planarization Rate at FBAR CMP ,"that included detailed photographs,
scrcenshots, and specifications of Avago's CMP-process. ZHANG also emailed PANG a screenshot

26
27
28

entitled "BA W process flow snapshot," containing Skyworks' process flow.
J.J.

On April 5, 2009, WEI PANG emailed several of his co-conspirators informing

SUPERSEDING INDICTMENT
CR-15-00106 EJD

17

 them that he had communicated with THJ officials and that the plan was to set up a company in the
2

Cayman Islands and then form a joint venture in Tianjin with MNMT, which was "a Tianjin University

3

100% controlled company."

4

5
6
7
8
9
10

11
12

13

kk.

On April 12, 2009, HAO ZHANG emailed WEI PANG, while PANG was in the

PRC, a Powerl'oint containing Avago's "Parametric Summary of Air Bridge and Wing Structure."

11.

On May 20, 2009, HAO /JIANG emailed WEI PANG Skyworks' BAW

PowcrPoint and 2D recipe.
mm.

On June 9, 2009, HAO Zf!ANG lcli Skyworks and relocated to the PRC, where

he began foll-time employment as a profossor at TJlJ.
nn.

On June 29, 2009, WEI PANG left Avago and relocated lo the PRC, where he

began foll-time employment as a pro lessor at TJU.
00.

On July 27, 2009, WEI PANG emailed JINPING CHEN a proposal for funding a

T.IU MEMS lab to the Tianjin Science and Technology Commission. [Translation from Chinese.)

14

pp.

On September 10, 2009, WEI !'ANG registered Novarn1 in the Cayman Islands.

15

qq.

On October 12, 2009, HAO ZHANG filed a United States patent application

16

based on stolen Avago Air Bridge technology, listing himself as the sole inventor. On the same date,

17

ZHANG's oath form was filed with the United States Patent and Trademark Office (PTO),

18

acknowledging the requirement for providing truthful information to the PTO about the inventor and

19

invention status, as well as the penalties for violating Title 18, United Stales Code, Section I 001

20

(making a false statement).

21
22
23

24
25
26

rr.

On October 15, 2009, WEI PANG emailed HAO ZHANG and others Avago's ion

milling process specifications.
SS.

On October 15, 20b9, HU!SlJl ZHANG emailed WEI PANG and HAO ZHANG

to set up a conference call to discuss potential collaboration regarding Fl3AR/BA W and the smart grid.
tl.

On October 20, 2009, l!U!SUI ZI-!ANG followed up by circulating a short agenda

for the conference call described in the preceding subparagraph.

27

uu.

28

SUPERSEDING INDICTMENT
CR-15-00lOG EJD

On November 3, 2009, WEI PANG forwarded an email to HlJISUI ZHANG

18

 about funding from the PRC Ministry of Education and said: "As you can see, we arc suggested to work
2

on smart grid project from University. There is money there, do you have any ppt slide?" HUISUI

3

7,HANG responded the same day, saying that he did not have a slide but could come up with something.

4

[Quoted portion in English; referenced email in Chincse.J

s
6

\IV.

On December 9, 2009, HAO ZHANG emailed Cl!ONG ZHOU and others a

layout marked "Skyworks Solutions Inc, 20 Sylvan Road, Woburn, MA 01801 I Proprietary Information

7 No Dissemination Or Use Allowed Without Prior Written Permission," that also contained the names of
8
9

Skyworks employees and the dates of revisions to the layout made by the named Skyworks employees.
ww.

On December 18, 2009, HAO ZHANG filed a United States patent application

1()

based on stolen Avago Wings technology, listing himself as the sole inventor. On the same date,

11

ZHANG's oath form was filed with the U.S. Patent and Trademark Office (PTO), acknowledging the

12

requirement for providing truthful information to the PTO about the inventor and invention status, as

13

well as the penalties for violating 18 U.S.C. § 1001.

14

xx.

On March 16, 2010, HAO ZHANG filed a United States patent application based

15

on stolen Avago Temperature Compensation ("Ternpco") project technology, listing himself as the sole

16

inventor. On the same date, ZI-IANG's oath form was filed with the U.S PTO, acknowledging the

17

requirement for providing truthful information to the PTO about the inventor and invention status as

18

well as the penalties for violating 18 U.S.C. § 1001.

19

yy.

On May 11, 2010, HAO ZHANG filed a United States patent application based

20

on stolen A vago Coupled Resonator Filters ("CRF") technology, 1isling himself as the sole inventor. On

21

the same elate, Zl-IJ\NG's oath form was filed with the U.S. PTO, acknowledging the requirement for

22

providing truthfol information to the PTO about the inventor and invention status as well as the penalties
for violating 18 U.S.C. § 1001.

24

zz.

On June 10, 2010, HAO ZIIANG filed a United States patent application based

r_)

on stolen Avago Silicon Carbide technology, listing himself as the sole inventor. On the same date,

26

ZHANG's oath form was filed with the U.S. PTO, acknowledging the requirement for providing truthful

27

information to the PTO about the inventor and invention status as well as the penalties for violating 18

28

SUPERSEDING INDICTMENT
CR-15-00106 EJD

19

 U.S.C. § 1001.
2

3
4
5
6
7
8
9
10

aaa.

On June 23, 2010, CHONG ZHOU emailed to HAO ZHANG an altered, stolen

Avago design kit FBAR Resonator P-cell generator file, "resonator12b.il."
bbb.

On August 15, 2010, CHONG ZHOU emailed to HAO ZHANG an altered, stolen

Avago design kit FBAR Resonator P-cell generator file, "resonatorl3b.il."
CCC.

On August 20, 2010, WEI PANG and IlAO ZHANG filed a PRC patent

application based on stolen Avago Wings technology, listing themselves as the co-inventors.
ddd.

On August 24, 2010, CHONG ZHOU emailed a Jlle, "Banc! I and Band II

Parameters for Layout" files containing stolen Avago Design Kits and !'-cells to HAO ZHANG
cce.

On August 28, 2010, HAO ZHANG emailed CHONG ZHOU a PowcrPoint

11

presentation entitled "Temperature Compensated BA W Resonator with Embedded Silicon Dioxide

12

Layer Underneath Piezoelectric Layer," marked "Skyworks Solutions Confidential and Proprietary."

13
14
15

fff.

On August 31, 2010, WEI PANG and HAO ZHANG filed a PRC patent

application based on stolen Avago Air Bridge technology, listing themselves as the co-inventors.
ggg.

On September 7, 2010, WEI PANG and HAO ZHANG filed a United States

16

patent application based on stolen Skyworks Composite Bulk Acoustic Wave Resonator technology,

17

listing themselves as the co-inventors. On the same date, PANG's and ZHANG's oath forms were filed

18

with the U.S. PTO, acknowledging the requirement for providing truthful information to the PTO about

19

the inventor and invention status as well as the penalties for violating l 8 U.S.C. § 1001.

20
21
22

hhh.

On September 27, 2010, WEI PANG and HAO ZHANG filed a PRC patent

application based on stolen Avago Tempco project technology, listing themselves as the co-inventors.
lll.

On October 21, 2010, defendants WEI PANG and HAO ZHANG filed a PRC

23

patent application based on stolen Avago Silicon Carbide project technology, listing PANG and

24

ZHANG as the inventors.

25
26

.JJJ.

On November 5, 2010, WEI PANG and HAO ZHANG filed a PRC patent

application based on stolen Avago CRF technology, listing PANG and ZHANG as the inventors.

27

kkk.

On December 7, 2010, CHONG ZHOU emailed a PowerPoint entitled "Mask

28

SUPERSEDING INDICTMENT
CR-15-00106 E.JD

20

 FE901 Design and Layout Review," marked, "MEMS Group, Tianjin University," and containing
2

FBAR layout views, among other slides, to IIAO ZHANG.

11 l.

3

On December 12, 2010, JINPING CHEN emailed co-conspirators and officials

4

from T.JU a copy of a contract between ·nu and MNMT. The contract committed TJU to give 26

5

million RMB to MNMT to purchase MEMS fob equipment. TJU was also supposed to provide tax free

G forms for all of the purchases and pay any relevant fees. [Translation from Chinese.]
7
8

mmm. On December 20, 2010, CHONG ZHOU altered a stolen Avago design kit FBAR
Resonator P-cell generator file, "resonator 13b.il," and emailed it to HAO ZHANG. The source code

9 text matched that of the "rcsonator13b.il" file sent on August 15, 2010.
10

nnn.

On January 23, 2011, HAO ZHANG emailed a representative of ZTE (the PRC's

11

largest listed telecoms equipment company) a PowerPoint entitled, "Bulk Acoustic Wave (BA W) RF

12

Filters For Wireless Communications," that displayed his work at both Novana and TJU on the cover

13

slide. In addition to discussing lhe importance and performance ofNovana's BA W products, the

14 .presentation contained specific Avago product information to illustrate Novana's products, and
15

performance charts that referenced Skyworks product performance.

IG

ooo.

On August 16, 2011, GANG ZHAO emailed WEI PANG, HAO ZHANG, and

17

JJNPING CIIEN regarding business dealings with UMC (a wafer fabrication company in the PRC).

18

ZHAO staled, "[t]he material which you sent UMC last time shows very clearly the word AV AGO," and

19

concluded " ... [I] suggest the necessary revisions be made just to avoid any unnecessary problems for us

20

later." [Translation from Chinese; "Avago" in English.]
ppp.

21
22

On September 22, 2011, JINPING CHEN emailed officials at TEDA to verify lhe

agreement between TEDA and the ROFS MEMS project. The agreement clarified that WEI PANG,
HAO ZHANG, JINPING CHEN, ZHAO GANG, and others held positions at ROFS. [Translation from

24

Chinese.]
qqq.

25

On October 16, 2011, HAO ZHANG emailed CHONG ZHOU and others a

26

PowcrPoint presentation cnt.itled "Single to Balanced Circuits" on a template entitled "Skyworks

27

Template."

28

SUPERSEDING INDICTMENT
CR-15-00106 EJD

21

 rrr.

Avago became aware of WEI PANG's thefts after it saw !!AO ZIIJ\NG's United

2

States patent applications covering Avago trade secrets in the fall of201 l. In late 2011, WCI PANG's

3

former boss at Avago, Dr. Rich Ruby, traveled to the PRC to attend a conference in Shenzen. While he

4

was in the PRC, Dr. Ruby visited TJU to sec PANG and ZHANG's new MEMS lab. When he toured

5

the facility, Dr. Ruby recognized that it was using stolen A.vago technology. Dr. Ruby confronted

G .JINPTNG Cl !EN and WEI PANG about stealing and using Avago trade secrets. PANG folscly denied
7 having an FBAR company or any company.
8
9

10

SSS.

On December 9, 2011, Dr. Ruby memorialized the verbal confrontation with WEf

PANG and JINPfNG CHEN in an email. CHEN forwarded Ruby's email to WEl PANG, HAO
ZHANG, and ZHAO GANG on the same day.
ttt.

I1

On December 14, 2011, JINPING CHEN emailed Dr. Ruby that, "[bJascdon our

12

inspection, we can make sure that Tianjin University is not the assignee of any patent you have

13

mentioned, neither US ones nor Chinese ones. On the same clay, CHEN forwarded this response to WEI

14

PANG, HAO ZHANG, and ZHAO GANG.
uuu.

15

On November 11, 2012, WEI PANG emailed CHONG ZHOU and HAO ZHANG

16

warning ZHOU never to include unpublished figures or materials from Avago or any other company in

17

ZHOU's Master's degree thesis. [Translation from Chinese; "Avago" in English.]

18

vvv.

On July 5, 2012, CHONG ZHOU received and email notification about the status

I 9 of the backup ofROfS's layout server that listed files contained in the directories of individual ROI'S
20

design team members that referenced specific Avago employees, internal Avago project names, design

21

kits, and P-cells.

22

www. On March 3, 2013, CHONG ZHOU emailed a stolen Avago design kit FBAR
Resonator P-ccll generator file, "resonatorl3c.il," in an email with a subject line that simply read,

24

"code." This revision was the same as the "resonatorl3b.il" file sent on August 15 and December 20,

r_)

20 l 0, except that it also contained an additional revision attributed to CHONG ZHOU, elated November

26

29, 2011.

27
28

All in violation of Title 18, United States Code, Section 183l(a)(5).
SUPERSEDING INDICTMENT
CR-15-00106 EJD

22

 d.

Skyworks restricted the availability of Virtual Private Network access only to

2

those who had a demonstrated need, and required group manager approval prior to sendi1]g a username

3

and password to those employees.

4

e.

Skyworks had procedures in place to handle departing employees, including a

5

checklist entitled "Employee Clearance Process." Skyworks conducted exit interviews for departing

6

c1i1ployees, including having the employee complete and sign a form entitled "Confidential Exit

7

Interview." Skyworks also required departing employees to sign forms contitlcd "Information for

8 Terminating Employees Regarding Inventions and Proprietary/Confidential Information," and
9

"Standards ·of Business Conduct."

f.

]()

11

as standard practice on most documents and templates.

12
13

"

D"

Skyworks required employees lo obtain specific permission before they could

publish material related to the BA W department.
h.

14
15

Skyworks used IP banner warnings as a default in Cadence software designs and

Skyworks' BA W department undertook specific IP protection training and other

related training.

16

I.

Skyworks employees were required to sign employment agreements that specified

17

ND As as conditions of employment. These agreements also stated that inventions and technology

18

belonged to Skyworks and that employees could not disclose information pertaining to Skyworks'

19

inventions or technology.

20

COUNT ONE: (18 O.S.C. § 183 l(a)(S) - Conspiracy to Commit Economic Espionage)

21

22

23
24

22.

The factual allegations contained in Paragraphs I through 21 are realleged and .

incorporated as if fully set f01ih here.
23.

Beginning in 2006 and continuing to the present, in the Northern District of California

and elsewhere, the defendants,
WEI PANG,
HAO ZHANG,
llUISUI ZHANG,
JINPING CHEN,
ZHAO GANG, and
CHONG ZHOU,

25
26
27
28

SUPERSEDING INDICTMENT
CR-15-00106 E.JD

10

 COUNT TV{Q: (18 U.S.C. § l 832(a)(5) - Conspiracy to Commit Thell of Trade Secrets)
2
31.

The factual allegations contained in Paragraphs 1 through 30 are realleged and

0

.)

incorporated as if folly set forth here.

4
32.

Beginning in 2006 and continuing to the present, in the Northern District of California

5
and elsewhere, the defendants,

6

WEI PANG,
HAO ZHANG,
HUTSUI ZHANG,
.JINl'lNG CHEN,
ZHAO GANG, and
CHONG ZHOU,

7

8

9
10

together with others known and unknown to the Grand Jury, intending to convert a trade secret, that was

11

related to a product and service used in and intended for use in interstate and foreign commerce, to the

12

economic benefit of anyone other than the owner of that trade secret, and knowing and intending that the

13

offense would injure the owner of that trade secret, conspired:

a.

14

knowingly to steal, and without authorization appropriate, take, carry away,

15

conceal, and by fraud, artifice, and deception obtain trade secrets belonging to Avago and

16

Skyworks;

b.

17

knowingly and without authorization lo copy, duplicate, sketch, draw, download,

18

upload, alter, photocopy, replicate, transmit, deliver, send, communicate, and convey tt'ade

19

secrets belonging to A vago and Skyworks; and

c.

20

knowingly and without authorization to receive, buy, and possess trade secrets

21

belonging to Avago and Skyworks, knowing the same to have been stolen and appropriated,

22

obtained, and converted without authorization.

23

Manner and Means of the Conspiracy
00

The objects of the conspiracy were carried out, in part, as alkgcd in Paragraphs 24

24

.J .) .

25

through 29 above.

26
27
28

Overt Acts
34.

In fortherancc of the conspiracy and to effect its objects, in the Northern District of

SUPERSEDING INDICTMENT
CR-15-00 I 06 E.JD

 California and elsewhere, the defendants committed, among others, each of the overt acts alleged in
2

Paragraph 30, including its subparagraphs.
All i11 violation of Title 18, United States Code, Section 1832(a)(5).

3
4

COUNTS THREE THROUGH Sl~VENTEEN:

(18 U.S.C. §§ 183l(a)(l),(2),(3),&2- Economic
Espionage; Aiding and Abetting)

5

35.

6
7

10
11

12

r through 30 arc rcallcged and

incorporated as if folly set forth here.
36.

8
9

The factual allegations contained in Paragraphs

On the dates set forth below, in the Northern District of California and elsewhere, the

defendants listed in the separate counts below, together with others known and unknown lo the Grand
Jury, knowing and intending that the offenses would bcncllt a foreign government, namely the PRC, and
foreign instrumentalities, namely TJU, MNMT, TEDA and ROFS, as specifically alleged in each of the
Counts 3 through 17 below:
knowingly stole, and without authorization appropriated, took, carried away,

a.

13

concealed, and by fraud, artifice, and deception obtained trade secrets belonging to Avago and

14

15

b.

16

downloaded, uploaded, altered, photocopied, replicated, transmitted, delivered, sent,

17

communicated, and conveyed trade secrets belonging to A vago and Skyworks; and

18

secrets belonging to Avago and Skyworks, knowing the same to have been stolen and

20

22

knowingly and without authorization received, bought, and possessed trade

c.

19

21

knowingly and without authorization copied, duplicated, sketched, drew,

appropriated, obtained, and converted without authorization:
~---

DATE
COUNT
- - - - - - - 1March 16, 2010
3·

DEFENDANT(S)
---·HAO /'JIANG

24

26
27
28

4

May 11, 2010

HAO ZHANG

5

June 10, 2010

HAO ZHANG

----------------

··--

--

·---- -- -- ...

SUPERSEDING INDICTMENT
CR-15-00106 E.JD

ACTION
U.S. patent
application

TRADE SECRET
Avago Temperature
Compensation
("Tempco") project
tcchnolof!v
U.S. patent
Avago Coupled
application
Resonator Filters
("CRF") technology
U.S. patent
Avago Silicon
application
. Carbide technology
----- -

---·-·····------·--·--~-~-

24

-·~

 - .

6

-- - - - - - -------···--------

June 10, 2010

-----~--~--------·-

·-·-- ---------~--------

WEI PANG and
!!AO ZIIANG

-

-~-----·--------

U.S. patent
application

2

"_)

______ ·---:-

1-un-e-23-, 2a·i-"'o---+-c,.._-1-,--1""'0--N-1c-=-;-cz,..,J""'ro~u--r~;;;;-;1

7

and
HAO ZHANG

4

generator,

5

G
7
8

9
IO

ll
12
13
14
15
16
17
18

19
20
21
22

8

--··-- --Ac-L-1g-u-st-1~5~,--2~~0-~1O~-+-C~J'IONG ZHOUand
HAO ZHANG

----

el11ai"t-------+-A-vago design kit

---+----------l------------+--------

12

August 31, 2010

13

September 27,
2010

25
26
----------··-

WEI PANG and
HAO ZHANG

PRC patent
application

Avago Air Bridge
technology

- - - - ----Cf------------------------+---------

______

,,,,_

----

WEI PANG and
HAO ZHANG

-----------

27
28

"rcsonator12b.il" file

FBAR Resonator Pccll generator,
"resonator13b.il" file
--·----- - - - - - - - - - - - - - - - - - - + - - - - - - · - -----1August 20, 2010
WEI PANG and
PRC patent
9
Avago Wings
HAO
ZHANG
______
a.rplication
technology
---·---- ··----·-···· -'------------~r---~---ccc-=cc-c~·
I0
August 24, 2010
CHONG ZHOU
email
"Band I and Band II
and
Parameters for
HAO ZHANG
Layout" files
containing A vago
Design Kits and Pcells to HAO
ZHANG
___________,_ _ _ _ _ _ - - - - - - - + - - - - - - --,-------j
11
August 28, 2010
CHONG ZHOU
email
Skyworks
and
PowerPoint
HAO ZHANG
presentation entitled
''Temperature
Compensated BA W
Resonator with
Embedded Silicon
Dioxide Layer
underneath
Piezoelectric Layer,"
marked "Skyworks
Solutions
Confidential and
Proprietary."

23
24

Skyworks Composite
Bulk Acoustic Wave
Resonator
technology
Avago
design kit Flli\R
Resonator P-ecll

SUPERSEDlNG INDICTMENT
CR-15-00106 EJD

25

PRC patent
application

Avago Temperature
Compensation
('Tempco") project
technology

 ----------

---··---·---------·-

14

December 7, 2010

CHONG ZHOU
and
HAO /'.HANG

15

December 20,
2010

CHONG ZHOU
and
HAO ZHANG

2
3

email

----------- - " . . : . · - - - - - - - --- . - ···--

4

cn1ail

Avago FBAR layout
views, Mask FE901
Design and Layout
Review
Avago

design kit FilAR
Resonator P-ccll
generator,

5

"resonalor13b.il" lilc

6
----------------------·-------

7

16

October 16, 2011

17

March 3, 2013

8

9
1()

1I
12
13
14

15
16
17
18

----------·-'---------

-------------·----+--------- - - -

CHONG /'.HOU
and
HAO ZHANG

~.

Skyworks
PowerPoint
presentation entitled
"Single lo Balanced
C:ircuitsn and
prepared on a
Powcrl'oint template
titled "Skyworks
Template." _____
-----------·--------+-===:_:__
CHONG ZHOU
email
Avago design kit
FBAR Resonator Peel! generator,
"resonatorl3c.il" file
in an email with the
snbject line entitled
_ _ _ _ _ _ _ _ _ _ _ _ _J___.
"code"

·--~-------------

All in violation of Title 18, United States Code, Sections 183 l(a)(l), (2), (3), & 2.
COUNTS EJGI-ITEEN through THIRTY-TWO:

19

20
21
22

email

37.

(18 US.C. §§ 1832(a)(l),(2),(3), & 2-Theft of
Trade Secrets; Aiding and Abetting)

The factual allegations contained in Paragraphs 1 through 3 0 are realleged and

incorporated as if fully set forth here.
38.

On the dates set forth below, in the Northern District of California and elsewhere, the

23

defendants listed in the separate counts below, together with others known and unknown to the Grand

24

Jury, intending lo convert a track secret, that was related to a product and service used in and intended

25

for use in interstate and foreign commerce, to the economic benefit of anyone other than the owner of

26

that trade secret, and knowing and intending that the offonse would injure the owner of that trade secret,

27

as specifically alleged in each of the Counts 18 through 32 below:

28

SUPERSEDING INDICTMENT
CR-15-00106 EJD

26

 a.

knowingly stole, and without authorization appropriated, look, carried away,

2

concealed, and by fraud, artifice, and deception obtained trade secrets belonging to Avago and

"

Skyworks;

.)

knowingly and without authorization copied, duplicated, sketched, drew,

b.

4

5

downloaded, uploaded, altered, photocopied, replicated, transmitted, delivered, sent,

6

communicated, and conveyed trade secrets belonging to Avago and Skyworks; and
knowingly and without authorization received, bought, and possessed trade

c.

7

secrets belonging to Avago and Skyworks, knowing the same to have been stolen and

8

9
I0

11

DATE
March 16, 2010

ACTION
TRADE SECRET
---·--·--- - · · - - - - - - - - - - "
U.S. patent
Avago Temperature
application
Compensation
("Tcmpco") project
technology
------··~--'--- - - - - - + - - ------+-~~===-----May 11, 2010
HAO ZHANG
U.S. patent
Avago Coupled
application
Resonator Fillers

COUNT

18

12
13

19

14

15
16

DEFENDANT(S)
HAO ZHANG

("CRF") technology__
HAO ZHANG
lJ.S. patent
Avago Silicon
·'----------'·application
Carbide technology
-J~1-n_e_lO-,-20_1_0_ _ WEI PANG and
U.S. patent_____ Skyworks Comp;~
- - - -... -...- - ... . J - - - - - - - - - - - · .. - - - - - - · ·

June 10, 2010

20
21

IIAO ZHANG

application

CHONG ZHOU
and
HAO ZHANG

email

CHONG zfrouand
HAO ZHANG

email

17
18

·--··--

June 23, 2010

22

19
20
21

23

· - - - - -..

-August 15,

2(j]()

22
23
_,,

24

24

_______

(_

____

August 20, 2010

25

----f----------+---------~

WEI PANG and
PRC patent
Avago Wings
....H=A_O.c._Zc_I....-I...,A_N_G
_ _~applicatio_n_____L_.t_e_cl_11_10_l_o'"'gy,_ ________

26
27

28'

SUPERSEDING INDICTMENT
CR-15-00106 EJD

Bulk Acoustic Wave
Resonator
teclmology
Avago
design kit FBAR
Resonator P-cell
generator,
"resonator l 2b.il" file
A vago design kit
FBAR Resonator!'cell generator,
"resonator!Jb.il" file

27

 August 24, 20 I 0

25

2

- - - - - - ----- - - - - - · · · - · - - - - - - - - - - - - - - - -

CHONG ZHOU
and
HAO ZHANG

email

3
4
~-----··

5

26

- - -· ·-- ------------ --------1----------+----------

August 28, 2010

6

CHONG ZHOU
and
HAO ZHANG

email

"Band I and Band JJ
Parameters for
Layout" files
containing J\ vago
Design Kits and !'cells to HAO
ZHANG
---F==-=--------Skyworks
Powcrl'oint
presentation entitled
"rfen1peraturc

7

8
9
l ()

I1
12
13

14

27

Compensated BA W
Resonator with
Em bedded Si Iicon
Dioxide Layer
Underneath
Piezoelectric Layer,"
marked "Skyworks
Solutions
Confidential and
Proprietary."
August~-,1-,-20!0 --WEI PANG and--·--+-P-I-<.C_p_a-te-nt------c-A-v~a_g_o_J\_i1~--B~~idge __ _

I-IA 0 ZI-IAN (]:_-,-----j-Ca=<p:Ip:.:h:.:.cc::ac::tic::o:.:n_ _ _+_cl:.:cc.:.clc::11:.:10:.:l.::cob"''Y,_____ _ _--l I
-·-·------····- ·-------------1-----------c-28

September 27,

WEI PANG and

2010

HAO ZHANG

PRC patent
application

15
16

17
18

December 7, 2010

email

J\vago !'BAR layout
views, Mask FE901
Design and Layout
Review
--------·------·
____________ __,_____________
_
30
December 20,
CHONG ZHOU
email
Avago
and
2010
design kit FBAR
HAO ZHANG
Resonator !'-cell
generator,
"resonatorl3b.il"
file
------------- ____, _ _ _ _ -------+----------l-------------+--"-'--'-'-'----'-'-'-''-'-=-=-___:_:.:_:____
CHONG ZHOU
email
31
October 16, 2011
Skyworks
and
Powerl'oint
HAO ZHANG
presentation entitled
"Single to Balanced
Circuits" and
,
prepared on a
1
Powcrl'oint template jl
entitled "Skyworks
Template."
____ _
-------------- - - 29

----------------------~~==-=---

l9
20

21
22

24
25
26
27

28

Avago Temperature
Compensation
("Tcmpco ") project
technology

l_ ----------

----·---~·-~

SUPERSEDING INDICTMENT
CR-15-00106 E.TD

28

 ----·····
32

··-~----··----ic---

.

March 3, 2013

.

,-~

CHONG ZHOU

------------ -·----- --------·-- ·------------·

email

1

2

--··-- -- --· .--.··-· J__ - -· -· .· -

3

Avago design kit
FBAR Resonator Pccll generator,
"rcsonatorl3c.il"
file

__J

4

All in violation of Title 18 United States Code, Sections 1832(a)(l), (2), (3), and 2.

s
6

FORFEITURE ALLEGA'l]()N: (18 \J.S.C. §§ 1834 and 2323 -Proceeds and Property Involved in
Economic Espionage and Theft of Trade Secrets)

7

39.

8
9

The allegations contained in Counts I through 32 of this Indictment are hereby reallcgcd

and incorporated as if folly set forth here. Upon conviction of any of those offenses, the defendants,
WEI PANG,
HAO ZHANG,
HlJISUI ZHANG,
J!NPING CHEN,
ZHAO GANG, and
CHONG ZHOU,

10
lI

12
13
14

shall forfeit to the United Stales of America, pursuant to Title 18, United States Code, Sections 1834 and

15

2323, any property used, or intended to be used, in any manner or part to commit or facilitate the

16
17
18
19
20
21
22
7"
-·'

commission of the oflcnses, and any property constituting or derived from any proceeds obtained
directly or indirectly as a result of the commission of the olfonscs.
Ill
III
Ill
III
Ill
Ill

24

111

r_J

111

26
27
28

Ill
Ill
SUPERSEDING INDICTMENT
CR-15-00106 E.JD

29

I

 40.
2

If any of the property described above, as a result of any act or omission of the

defendants:

3

a.

cannot be located upon the exercise of clue diligence;

4

b.

has been transferred or sold to, or deposited with, a third party;

s

e.

has been placed beyond the jurisdiction of the court;

6

d.

has been substantially diminished in value; or

7

c.

has been commingled with other property which cannot be divided without

8

ditliculty,

9

the United States of America shall be entitled to forfeiture of substitute property pursuant to Title 21,

10

United States Code, Section 853(p), as incoqioratecl by Title 18, United States Code, Section 2323(b).

11

All pursuant to Title 18, United Slates Code, Sections 1834 and 2323.

12
13

DATED:

14
15

21
22

(Approved as lo form:

A£ _____,

AUSAs Parrella/Callaway

23
24
25

26
27
78
-

SUPERSEDING INDICTMENT
CR-I 5-00106 EJD

30