[sheet: Mehta]
| Step No. | Recruitment Step Description | Regulatory Citation | Vendor / Outlet | Start Date | End Date | Proof of Completion / Document Reference | Status | Notes |
| 1 | SWA Job Order — California EDD via CalJOBS Portal (30 business days) | 20 CFR §656.17(e)(1)(i) | California Employment Development Department (EDD) — CalJOBS | 10/09/2023 | 11/20/2023 | CalJOBS confirmation printout; Job order number on file | Complete | 30 business day posting period; coordinated by Broadgate Compliance Services LLC (Gerald Fitzmorris) |
| 2 | First Sunday Newspaper Advertisement — The Peninsula Gazette | 20 CFR §656.17(e)(1)(i)(B) | The Peninsula Gazette (Ad Rep: Noreen Caswell), 780 Hamilton Avenue, Palo Alto, CA 94301 | 10/15/2023 | 10/15/2023 | Tear sheet and invoice from The Peninsula Gazette; placed by Broadgate Compliance Services LLC | Complete | Sunday print edition; newspaper of general circulation in Palo Alto, CA metropolitan area |
| 3 | Second Sunday Newspaper Advertisement — The Peninsula Gazette | 20 CFR §656.17(e)(1)(i)(B) | The Peninsula Gazette (Ad Rep: Noreen Caswell), 780 Hamilton Avenue, Palo Alto, CA 94301 | 10/22/2023 | 10/22/2023 | Tear sheet and invoice from The Peninsula Gazette; placed by Broadgate Compliance Services LLC | Complete | Second consecutive Sunday print ad as required |
| 4 | Internal Posting / Notice of Filing at Employer Worksite (10 consecutive business days) | 20 CFR §656.10(d) | Lumos Analytics Inc. — 2240 Embarcadero Way, Suite 600, Palo Alto, CA 94303 | 10/09/2023 | 10/22/2023 | Signed and dated posting notice with posting/removal dates confirmed by Janelle Kwon (HR Manager) | Complete | Posted in conspicuous location at Palo Alto HQ worksite; position: VP, Engineering — Core Platform; salary: $285,000/year |
| 5 | Online Professional Journal Advertisement — FinTech Talent Weekly | 20 CFR §656.17(e)(1)(ii) — Additional Step (A): Professional/Trade Journal | FinTech Talent Weekly (published by Creston Media Group, Inc.), 41 East 11th Street, 5th Floor, New York, NY 10003 | 10/09/2023 | 11/08/2023 | Screenshot of online posting and invoice from Creston Media Group, Inc.; placed by Broadgate Compliance Services LLC | Complete | 30-day online listing |
| 6 | Campus Placement Service Posting — Baxter University Career Center | 20 CFR §656.17(e)(1)(ii) — Additional Step (B): Campus Placement | Baxter University Career Center | 10/09/2023 | 11/08/2023 | Confirmation email from Baxter University Career Center; posting receipt on file | Complete | Additional recruitment step per regulatory menu |
| 7 | Employee Referral Program Posting | 20 CFR §656.17(e)(1)(ii) — Additional Step (C): Employee Referral Program | Lumos Analytics Inc. — Internal HR system / company intranet | 10/09/2023 | 11/08/2023 | Screenshot of internal referral posting; confirmation from Sonia Elliston (VP, People Operations) | Complete | Posted on Lumos internal HR portal |
| 8 | 30-Day Quiet Period (post-recruitment, pre-filing) | 20 CFR §656.17(e)(1)(i) — mandatory waiting period | N/A | 10/22/2023 | 11/20/2023 | Quiet period calendar calculation confirmed by Tiffany Rosenthal | Complete | 30 days from close of last recruitment step; quiet period concluded November 20, 2023; PERM eligible for filing |
[sheet: Varga]
| Step No. | Recruitment Step Description | Regulatory Citation | Vendor / Outlet | Start Date | End Date | Proof of Completion / Document Reference | Status | Notes |
| 1 | SWA Job Order — California EDD via CalJOBS Portal (30 business days) | 20 CFR §656.17(e)(1)(i) | California Employment Development Department (EDD) — CalJOBS | 10/09/2023 | 11/20/2023 | CalJOBS confirmation printout; Job order number on file | Complete | 30 business day posting period; coordinated by Broadgate Compliance Services LLC (Gerald Fitzmorris) |
| 2 | First Sunday Newspaper Advertisement — The Peninsula Gazette | 20 CFR §656.17(e)(1)(i)(B) | The Peninsula Gazette (Ad Rep: Noreen Caswell), 780 Hamilton Avenue, Palo Alto, CA 94301 | 10/15/2023 | 10/15/2023 | Tear sheet and invoice from The Peninsula Gazette; placed by Broadgate Compliance Services LLC | Complete | Sunday print edition |
| 3 | Second Sunday Newspaper Advertisement — The Peninsula Gazette | 20 CFR §656.17(e)(1)(i)(B) | The Peninsula Gazette (Ad Rep: Noreen Caswell), 780 Hamilton Avenue, Palo Alto, CA 94301 | 10/22/2023 | 10/22/2023 | Tear sheet and invoice from The Peninsula Gazette; placed by Broadgate Compliance Services LLC | Complete | Second consecutive Sunday print ad |
| 4 | Internal Posting / Notice of Filing at Employer Worksite (10 consecutive business days) | 20 CFR §656.10(d) | Lumos Analytics Inc. — 2240 Embarcadero Way, Suite 600, Palo Alto, CA 94303 | 10/09/2023 | 10/22/2023 | Signed and dated posting notice with posting/removal dates confirmed by Janelle Kwon (HR Manager) | Complete | Position: Senior Director, Data Science & ML; salary: $310,000/year |
| 5 | Online Professional Journal Advertisement — FinTech Talent Weekly | 20 CFR §656.17(e)(1)(ii) — Additional Step (A): Professional/Trade Journal | FinTech Talent Weekly (Creston Media Group, Inc.), 41 East 11th Street, 5th Floor, New York, NY 10003 | 10/09/2023 | 11/08/2023 | Screenshot of online posting and invoice from Creston Media Group, Inc.; placed by Broadgate Compliance Services LLC | Complete | 30-day online listing |
| 6 | Campus Placement Service Posting — Baxter University Career Center | 20 CFR §656.17(e)(1)(ii) — Additional Step (B): Campus Placement | Baxter University Career Center | 10/09/2023 | 11/08/2023 | Confirmation email from Baxter University Career Center; posting receipt on file | Complete | Additional recruitment step |
| 7 | Employee Referral Program Posting | 20 CFR §656.17(e)(1)(ii) — Additional Step (C): Employee Referral Program | Lumos Analytics Inc. — Internal HR system / company intranet | 10/09/2023 | 11/08/2023 | Screenshot of internal referral posting; confirmation from Sonia Elliston (VP, People Operations) | Complete | Posted on Lumos internal HR portal |
| 8 | 30-Day Quiet Period (post-recruitment, pre-filing) | 20 CFR §656.17(e)(1)(i) | N/A | 10/22/2023 | 11/20/2023 | Quiet period calendar calculation confirmed by Tiffany Rosenthal | Complete | Quiet period concluded November 20, 2023; PERM eligible for filing |
[sheet: Aguilar-Reyes]
| Step No. | Recruitment Step Description | Regulatory Citation | Vendor / Outlet | Start Date | End Date | Proof of Completion / Document Reference | Status | Notes |
| 1 | SWA Job Order — California EDD via CalJOBS Portal (30 business days) | 20 CFR §656.17(e)(1)(i) | California Employment Development Department (EDD) — CalJOBS | 10/23/2023 | 12/04/2023 | CalJOBS confirmation printout; Job order number on file | Complete | 30 business day posting period; coordinated by Broadgate Compliance Services LLC (Gerald Fitzmorris) |
| 2 | First Sunday Newspaper Advertisement — The Peninsula Gazette | 20 CFR §656.17(e)(1)(i)(B) | The Peninsula Gazette (Ad Rep: Noreen Caswell), 780 Hamilton Avenue, Palo Alto, CA 94301 | 10/29/2023 | 10/29/2023 | Tear sheet and invoice from The Peninsula Gazette; placed by Broadgate Compliance Services LLC | Complete | Sunday print edition; newspaper of general circulation in Palo Alto, CA metropolitan area |
| 3 | Second Sunday Newspaper Advertisement — The Peninsula Gazette | 20 CFR §656.17(e)(1)(i)(B) | The Peninsula Gazette (Ad Rep: Noreen Caswell), 780 Hamilton Avenue, Palo Alto, CA 94301 | 11/05/2023 | 11/05/2023 | Tear sheet and invoice from The Peninsula Gazette; placed by Broadgate Compliance Services LLC | Complete | Second consecutive Sunday print ad |
| 4 | Internal Posting / Notice of Filing at Employer Worksite (10 consecutive business days) | 20 CFR §656.10(d) | Lumos Analytics Inc. — 2240 Embarcadero Way, Suite 600, Palo Alto, CA 94303 | 10/23/2023 | 11/03/2023 | Signed and dated posting notice with posting/removal dates confirmed by Janelle Kwon (HR Manager) | Complete | Position: VP, Product — Fintech Solutions; salary: $275,000/year |
| 5 | Online Professional Journal Advertisement — FinTech Talent Weekly | 20 CFR §656.17(e)(1)(ii) — Additional Step (A): Professional/Trade Journal | FinTech Talent Weekly (Creston Media Group, Inc.), 41 East 11th Street, 5th Floor, New York, NY 10003 | 10/23/2023 | 11/22/2023 | Screenshot of online posting and invoice from Creston Media Group, Inc.; placed by Broadgate Compliance Services LLC | Complete | 30-day online listing |
| 6 | Campus Placement Service Posting — Baxter University Career Center | 20 CFR §656.17(e)(1)(ii) — Additional Step (B): Campus Placement | Baxter University Career Center | 10/23/2023 | 11/22/2023 | Confirmation email from Baxter University Career Center; posting receipt on file | Complete | Additional recruitment step |
| 7 | Employee Referral Program Posting | 20 CFR §656.17(e)(1)(ii) — Additional Step (C): Employee Referral Program | Lumos Analytics Inc. — Internal HR system / company intranet | 10/23/2023 | 11/22/2023 | Screenshot of internal referral posting; confirmation from Sonia Elliston (VP, People Operations) | Complete | Posted on Lumos internal HR portal |
| 8 | 30-Day Quiet Period (post-recruitment, pre-filing) | 20 CFR §656.17(e)(1)(i) | N/A | 11/05/2023 | 12/04/2023 | Quiet period calendar calculation confirmed by Tiffany Rosenthal | Complete | Quiet period concluded December 4, 2023; PERM eligible for filing; note: beneficiary's L-1A status expires July 30, 2024 |
[sheet: Tanaka]
| Step No. | Recruitment Step Description | Regulatory Citation | Vendor / Outlet | Start Date | End Date | Proof of Completion / Document Reference | Status | Notes |
| 1 | SWA Job Order — California EDD via CalJOBS Portal (30 business days) | 20 CFR §656.17(e)(1)(i) | California Employment Development Department (EDD) — CalJOBS | 10/23/2023 | 12/04/2023 | CalJOBS confirmation printout; Job order number on file | Complete | 30 business day posting period; coordinated by Broadgate Compliance Services LLC (Gerald Fitzmorris) |
| 2 | First Sunday Newspaper Advertisement — The Peninsula Gazette | 20 CFR §656.17(e)(1)(i)(B) | The Peninsula Gazette (Ad Rep: Noreen Caswell), 780 Hamilton Avenue, Palo Alto, CA 94301 | 10/29/2023 | 10/29/2023 | Tear sheet and invoice from The Peninsula Gazette; placed by Broadgate Compliance Services LLC | Complete | Sunday print edition |
| 3 | Second Sunday Newspaper Advertisement — The Peninsula Gazette | 20 CFR §656.17(e)(1)(i)(B) | The Peninsula Gazette (Ad Rep: Noreen Caswell), 780 Hamilton Avenue, Palo Alto, CA 94301 | 11/05/2023 | 11/05/2023 | Tear sheet and invoice from The Peninsula Gazette; placed by Broadgate Compliance Services LLC | Complete | Second consecutive Sunday print ad |
| 4 | Internal Posting / Notice of Filing at Employer Worksite (10 consecutive business days) | 20 CFR §656.10(d) | Lumos Analytics Inc. — 2240 Embarcadero Way, Suite 600, Palo Alto, CA 94303 | 10/23/2023 | 11/03/2023 | Signed and dated posting notice with posting/removal dates confirmed by Janelle Kwon (HR Manager) | Complete | Position: Director, Information Security & Compliance; salary: $260,000/year |
| 5 | Online Professional Journal Advertisement — FinTech Talent Weekly | 20 CFR §656.17(e)(1)(ii) — Additional Step (A): Professional/Trade Journal | FinTech Talent Weekly (Creston Media Group, Inc.), 41 East 11th Street, 5th Floor, New York, NY 10003 | 10/23/2023 | 11/22/2023 | Screenshot of online posting and invoice from Creston Media Group, Inc.; placed by Broadgate Compliance Services LLC | Complete | 30-day online listing |
| 6 | Campus Placement Service Posting — Baxter University Career Center | 20 CFR §656.17(e)(1)(ii) — Additional Step (B): Campus Placement | Baxter University Career Center | 10/23/2023 | 11/22/2023 | Confirmation email from Baxter University Career Center; posting receipt on file | Complete | Additional recruitment step |
| 7 | Employee Referral Program Posting | 20 CFR §656.17(e)(1)(ii) — Additional Step (C): Employee Referral Program | Lumos Analytics Inc. — Internal HR system / company intranet | 10/23/2023 | 11/22/2023 | Screenshot of internal referral posting; confirmation from Sonia Elliston (VP, People Operations) | Complete | Posted on Lumos internal HR portal |
| 8 | 30-Day Quiet Period (post-recruitment, pre-filing) | 20 CFR §656.17(e)(1)(i) | N/A | 11/05/2023 | 12/04/2023 | Quiet period calendar calculation confirmed by Tiffany Rosenthal | Complete | Quiet period concluded December 4, 2023; PERM eligible for filing |
[sheet: Summary & Cost Reconciliation]
Column A
MATTER INFORMATION
| Matter Number | 1008-00004 |
| Client / Petitioning Employer | Lumos Analytics Inc. |
| EIN | 84-3291057 |
| Employer Address (Worksite) | 2240 Embarcadero Way, Suite 600, Palo Alto, CA 94303 |
| Immigration Counsel | Calderwood & Harkness LLP, 555 California Street, 32nd Floor, San Francisco, CA 94104 |
| Responsible Partner | Colette Whitman |
| Billing Partner | Elaine Forsythe |
| Lead Associate | Derek Okonkwo |
| Working Associate (Recruitment Supervision) | Tiffany Rosenthal |
| Recruitment Advertising Vendor | Broadgate Compliance Services LLC (Gerald Fitzmorris), 1414 K Street NW, Suite 730, Washington, DC 20005 |
| Prevailing Wage Area | San Jose-Sunnyvale-Santa Clara, CA MSA (OES Area 41940) |
| Date Checklist Last Updated | 12/04/2023 |
| Overall Compliance Status | All Steps Complete — All Four Cases |
CASE SUMMARY
| Beneficiary | Position Title | SOC Code | PERM Case No. | Recruitment Campaign Start | Recruitment Campaign End (incl. Quiet Period) | PERM Filing Date (Priority Date) | All Steps Complete? |
| Rajan Mehta | VP, Engineering — Core Platform | 15-1252 | A-23401-83756 | 10/09/2023 | 11/20/2023 | 12/18/2023 | Yes |
| Lina Varga | Senior Director, Data Science & ML | 15-2051 | A-23401-83761 | 10/09/2023 | 11/20/2023 | 12/18/2023 | Yes |
| Tomás Aguilar-Reyes | VP, Product — Fintech Solutions | 11-2021 | A-24401-00214 | 10/23/2023 | 12/04/2023 | 01/08/2024 | Yes |
| Yumiko Tanaka | Director, Information Security & Compliance | 15-1212 | A-24401-00219 | 10/23/2023 | 12/04/2023 | 01/08/2024 | Yes |
RECRUITMENT ADVERTISING COST RECONCILIATION
| Vendor / Outlet | Beneficiary(ies) | Description | Invoice Date | Amount | Notes |
| The Peninsula Gazette | Mehta & Varga | Two Sunday print ads (10/15/2023 & 10/22/2023) — Mehta position | 10/2023 | $900.00 | Ad Rep: Noreen Caswell; tear sheets on file |
| The Peninsula Gazette | Mehta & Varga | Two Sunday print ads (10/15/2023 & 10/22/2023) — Varga position | 10/2023 | $900.00 | Ad Rep: Noreen Caswell; tear sheets on file |
| Creston Media Group, Inc. (FinTech Talent Weekly) | Mehta | Online professional journal ad — 30-day listing | 10/2023 | $950.00 | Online posting screenshot on file |
| Creston Media Group, Inc. (FinTech Talent Weekly) | Varga | Online professional journal ad — 30-day listing | 10/2023 | $950.00 | Online posting screenshot on file |
| Baxter University Career Center | Mehta & Varga | Campus placement posting — Mehta position | 10/2023 | $125.00 | Nominal administrative fee |
| Baxter University Career Center | Mehta & Varga | Campus placement posting — Varga position | 10/2023 | $125.00 | Nominal administrative fee |
| Broadgate Compliance Services LLC | Mehta & Varga | Coordination / compliance consulting fees — Campaign 1 | 10/2023 | $1,940.00 | Vendor coordination, ad placement services |
| Subtotal — Campaign 1 (Mehta & Varga) | Invoice #2 — 10/30/2023 | $5,890.00 | Billed to Lumos Analytics Inc. | ||
| The Peninsula Gazette | Aguilar-Reyes & Tanaka | Two Sunday print ads (10/29/2023 & 11/05/2023) — Aguilar-Reyes position | 11/2023 | $900.00 | Ad Rep: Noreen Caswell; tear sheets on file |
| The Peninsula Gazette | Aguilar-Reyes & Tanaka | Two Sunday print ads (10/29/2023 & 11/05/2023) — Tanaka position | 11/2023 | $900.00 | Ad Rep: Noreen Caswell; tear sheets on file |
| Creston Media Group, Inc. (FinTech Talent Weekly) | Aguilar-Reyes | Online professional journal ad — 30-day listing | 11/2023 | $950.00 | Online posting screenshot on file |
| Creston Media Group, Inc. (FinTech Talent Weekly) | Tanaka | Online professional journal ad — 30-day listing | 11/2023 | $950.00 | Online posting screenshot on file |
| Baxter University Career Center | Aguilar-Reyes & Tanaka | Campus placement posting — Aguilar-Reyes position | 11/2023 | $125.00 | Nominal administrative fee |
| Baxter University Career Center | Aguilar-Reyes & Tanaka | Campus placement posting — Tanaka position | 11/2023 | $125.00 | Nominal administrative fee |
| Broadgate Compliance Services LLC | Aguilar-Reyes & Tanaka | Coordination / compliance consulting fees — Campaign 2 | 11/2023 | $1,500.00 | Vendor coordination, ad placement services |
| Subtotal — Campaign 2 (Aguilar-Reyes & Tanaka) | Invoice #3 — 11/15/2023 | $5,450.00 | Billed to Lumos Analytics Inc. | ||
| GRAND TOTAL — ALL RECRUITMENT ADVERTISING | $12,340.00 | Sum of Campaign 1 ($6,890) + Campaign 2 ($5,450) |
ADDITIONAL NOTES
SWA posting via CalJOBS: $0 (no cost)
Internal posting / Notice of Filing: $0 (no cost)
Employee Referral Program posting: $0 (no cost)
All recruitment documentation retained per DOL 5-year PERM audit file retention requirement
Checklist prepared by: Tiffany Rosenthal, Calderwood & Harkness LLP