SUPERIOR COURT OF THE STATE OF CALIFORNIA
COUNTY OF SANTA CLARA
PLAINTIFF LUMOS ANALYTICS INC.'S FIRST SET OF SPECIAL INTERROGATORIES TO DEFENDANT RAJIV ANAND
Plaintiff Lumos Analytics Inc. ("Lumos"), by and through its attorneys of record, Calderwood & Harkness LLP, hereby propounds the following First Set of Special Interrogatories upon Defendant Rajiv Anand ("Anand" or "You"), to be answered under oath within thirty (30) days of service, or within such other time as may be prescribed by the California Code of Civil Procedure. Each interrogatory must be answered separately and fully in writing, under oath, in accordance with California Code of Civil Procedure section 2030.210 et seq. Your responses must include all information known to You or available to You, including information in the possession, custody, or control of Your agents, representatives, attorneys (to the extent not privileged), employees, or other persons acting on Your behalf. These interrogatories are directed to You in Your individual capacity and seek information relating to the claims and defenses at issue in this litigation.
DEFINITIONS
As used in these interrogatories, the following terms shall have the meanings set forth below. These definitions are intended to be inclusive and not exclusive, and shall be construed broadly to the fullest extent permitted by law.
1. "YOU" or "YOUR" refers to Defendant Rajiv Anand, individually, and includes any and all agents, representatives, attorneys, employees, consultants, advisors, or other persons acting or purporting to act on his behalf at any time during the Relevant Period. This definition is intended to encompass all information within Your personal knowledge, as well as information reasonably available to You through inquiry of persons acting on Your behalf.
2. "LUMOS" or "THE COMPANY" refers to Plaintiff Lumos Analytics Inc., a Delaware corporation headquartered at 4700 Orchard Parkway, Suite 300, San Jose, California 95134, including its current and former officers, directors, employees, agents, representatives, predecessors, successors, and assigns, as well as any subsidiaries or affiliates.
3. "NOVASPARK" refers to NovaSpark Technologies Inc., a Delaware corporation headquartered at 88 Bluxome Street, Floor 4, San Francisco, California 94107, including its current and former officers, directors, employees, agents, contractors, consultants, investors, advisors, and representatives, as well as any subsidiaries or affiliates.
4. "MALLICK" refers to Defendant Serena Mallick, individually, including in her capacity as an employee or officer of Lumos, NovaSpark, or any other entity.
5. "YUN" refers to Defendant Derek Yun, individually, including in his capacity as an employee or officer of Lumos, NovaSpark, or any other entity.
6. "PIIAA" refers to the Proprietary Information and Inventions Assignment Agreement executed by You upon commencing employment with Lumos, including all amendments, addenda, and exhibits thereto, and including all restrictive covenant provisions contained therein. Without limitation, the term "PIIAA" encompasses the following provisions of that agreement: (a) the invention-assignment clause requiring assignment to Lumos of all inventions, works of authorship, and intellectual property conceived or developed during Your employment and related to Lumos's business or created using Lumos resources; (b) the confidentiality and non-disclosure provisions prohibiting the use or disclosure of Lumos's confidential and proprietary information, which provisions survive termination of employment for a period of three (3) years; (c) the non-solicitation of employees clause prohibiting the solicitation or recruitment of Lumos employees for a period of twelve (12) months following separation from Lumos; and (d) the covenant not to use or disclose Lumos trade secrets at any time, without limitation as to duration.
7. "LUMOS PROPRIETARY MATERIALS" or "PROPRIETARY INFORMATION" refers to all confidential, proprietary, and trade-secret information of Lumos, whether in tangible or intangible form, including but not limited to the following categories of information:
(a) the LumosEdge ensemble machine-learning model architecture, including proprietary neural-network topology, layer configurations, activation functions, loss functions, and hyperparameter configurations developed and refined by Lumos's data science and engineering teams;
(b) proprietary feature-engineering libraries containing two thousand eight hundred forty-seven (2,847) individual engineered features for financial signal generation, including the algorithms, methodologies, and source code used to create, select, and optimize those features;
(c) the "DataStream" ETL (extract, transform, load) pipeline codebase and data-schema definitions, including all source code, configuration files, scheduling logic, and integration specifications covering the ingestion, normalization, and transformation of data from forty-three (43) alternative-data vendors;
(d) a curated and labeled training dataset of approximately fourteen and six-tenths (14.6) terabytes of historical financial and alternative data, including the labeling methodologies, data-cleaning procedures, and annotation protocols used in its preparation; and
(e) confidential product roadmap documents for 2023–2025, including the unreleased "LumosEdge 3.0" specifications (a thirty-seven (37) page PDF document), strategic planning materials, competitive analysis, pricing models, and customer-acquisition strategies.
This definition also encompasses any derivative, excerpt, summary, compilation, or copy of any of the foregoing materials, as well as any information derived from or based upon such materials.
8. "COMMUNICATION" refers to every manner or means of disclosure, exchange, or transfer of information between two or more persons, whether oral, written, or electronic, and whether formal or informal. Without limitation, "Communication" includes letters, memoranda, emails, text messages (including SMS and Westmark Software), instant messages (including Meridian Solutions messages, Northgate Data Systems messages, Meridian Services Inc. messages, signal messages, and Kestrel Data Systems messages), telephone calls, voicemails, video conferences (including Calderon Software, Severin Industries Meet, and Northgate Data Systems calls), in-person conversations, and any other method of conveying or exchanging information.
9. "DOCUMENT" shall have the broadest meaning ascribed to it under California Code of Civil Procedure section 2016.020 and, by analogy, Federal Rule of Civil Procedure 34(a), and shall be broadly construed to include all writings, recordings, and electronically stored information ("ESI") of every kind and description. Without limitation, "Document" includes source code, scripts, configuration files, Jupyter notebooks, Python scripts, data files, metadata, log files, emails, attachments, presentations, spreadsheets, databases, database records, reports, memoranda, notes, drafts, photographs, images, audio recordings, video recordings, and any tangible thing on which information is recorded or stored, regardless of format or medium.
10. "DEVICE" refers to any computer, laptop, desktop workstation, mobile phone, smartphone, tablet, external hard drive, USB flash drive, thumb drive, solid-state drive, server, network-attached storage device, or any other electronic device or storage medium capable of storing, processing, or transmitting data or electronic information.
11. "ACCOUNT" refers to any cloud storage account, email account, file-sharing account, code repository, version-control system, or other online account or service, regardless of whether such account is maintained in Your name, a pseudonym, or in the name of another person or entity. Without limitation, "Account" includes accounts maintained with Hollowell Health IT, Aldermere Technologies, Larkspur Technologies, box, Cobalt Ridge Systems, Meridian Systems, Ridgeway Industries (Meridian Technologies), Crestline Systems, Aldermere Data Systems, Aldermere Software, Strathmore Solutions, personal email accounts (including but not limited to Northgate Software, Cascade Health IT, outlook, and Greaves Systems), and any account maintained by or on behalf of NovaSpark.
12. "IDENTIFY" (with respect to a person) means to state the following information to the extent known to You: (a) the person's full legal name; (b) the person's current address and last known address (if different); (c) the person's current telephone number and last known telephone number (if different); (d) the person's current employer and job title; and (e) the person's relationship to You, Lumos, NovaSpark, or any other party to this action.
13. "IDENTIFY" (with respect to a document) means to state the following information to the extent known to You: (a) the document's title or description; (b) the date of creation or preparation; (c) the author or creator; (d) all recipients or addressees; (e) the subject matter of the document; and (f) the current location, custodian, or repository in which the document is maintained.
14. "DESCRIBE" means to provide a detailed narrative explanation, with sufficient particularity to fully inform Lumos of the relevant facts, circumstances, and events, including all relevant dates, participants, locations, and the substance of any actions, conversations, or events being described.
15. "RELEVANT PERIOD" refers to the period from January 1, 2022 through and including the date of Your response to these interrogatories.
INSTRUCTIONS
The following instructions apply to each interrogatory set forth below and should be read in conjunction with the Definitions above.
INSTRUCTION NO. 1 — SCOPE AND CONTINUING OBLIGATION. These interrogatories are continuing in nature pursuant to California Code of Civil Procedure section 2030.070. If, after serving Your responses, You become aware of additional or different information responsive to any interrogatory, or if information previously provided becomes inaccurate or incomplete, You are obligated to supplement Your answers promptly and serve amended responses in accordance with the Code of Civil Procedure. This continuing obligation applies throughout the pendency of this litigation.
INSTRUCTION NO. 2 — OATH AND VERIFICATION. Each response must be verified under oath by You, personally, in accordance with California Code of Civil Procedure section 2030.250. Responses verified by counsel alone are insufficient.
INSTRUCTION NO. 3 — PROTECTIVE ORDER. Where applicable, responses may be designated as "CONFIDENTIAL" or "HIGHLY CONFIDENTIAL — ATTORNEYS' EYES ONLY" in accordance with the Stipulated Protective Order entered in this action by the Honorable David Rutherford on March 15, 2023. Designation under the Protective Order does not excuse You from providing complete and responsive answers.
INSTRUCTION NO. 4 — CLAIMS OF PRIVILEGE. If You withhold any information responsive to an interrogatory on the basis of any privilege, including but not limited to the attorney-client privilege or the work-product doctrine, You must: (a) expressly assert the privilege claimed; (b) identify the nature of the information withheld with sufficient specificity to allow evaluation of the claim of privilege; and (c) provide a privilege log in accordance with California Code of Civil Procedure section 2030.240, setting forth the date of the communication or document, the author or speaker, all recipients or listeners, the general subject matter, and the specific privilege asserted.
INSTRUCTION NO. 5 — OBJECTIONS. If You object to any interrogatory or any part thereof, You must state the objection with specificity, identifying the particular grounds for the objection. Notwithstanding any objection, You must respond to the interrogatory to the fullest extent not objectionable. A general or boilerplate objection without a specific factual or legal basis is insufficient.
INSTRUCTION NO. 6 — FULL AND COMPLETE RESPONSES. Each interrogatory requires a full, complete, and responsive answer. If You are unable to answer an interrogatory in its entirety, You must: (a) answer to the fullest extent possible; (b) explain with specificity why a complete answer cannot be provided; and (c) describe what efforts You have undertaken to obtain the information necessary to provide a complete answer, including the identity of persons from whom You have sought or could seek the information.
SPECIAL INTERROGATORIES
INTERROGATORY NO. 1:
State the following regarding Your employment at Lumos Analytics Inc.:
(a) Your dates of employment, including Your start date (on or about March 2019) and Your resignation date (on or about September 30, 2022), specifying the precise first and last dates of Your employment;
(b) Each title or position held by You during Your employment at Lumos, including the dates during which You held each title or position;
(c) A detailed description of Your job duties, responsibilities, and areas of focus for each position held, including any specific projects, teams, or product lines to which You were assigned;
(d) The names and titles of all persons who directly or indirectly supervised You during Your employment at Lumos, including the time period during which each person served in a supervisory capacity over You; and
(e) The names and titles of all persons whom You directly or indirectly supervised during Your employment at Lumos, including the time period during which You supervised each person and a description of their roles.
INTERROGATORY NO. 2:
Identify and describe all Lumos Proprietary Materials to which You had access at any time during Your employment at Lumos, including but not limited to:
(a) The LumosEdge ensemble machine-learning model architecture, neural-network topology, layer configurations, and hyperparameter configurations;
(b) Proprietary feature-engineering libraries, including the number and nature of features to which You had access;
(c) The DataStream ETL pipeline codebase and data-schema definitions, including the specific components, modules, or subsystems to which You had access;
(d) Training datasets, including the volume and nature of data to which You had access and the systems through which You accessed such data; and
(e) Confidential product roadmap documents, including the LumosEdge 3.0 specifications, strategic planning materials, and any other forward-looking or unreleased product documentation.
For each category of Lumos Proprietary Materials identified, state the dates during which You had access, the manner and level of access (e.g., read-only, read-write, administrative), and the systems or repositories through which access was obtained.
INTERROGATORY NO. 3:
Identify all computer systems, code repositories (including but not limited to Aldermere Data Systems, Aldermere Software, or Strathmore Solutions repositories), databases, servers, cloud platforms, file-sharing platforms, and internal collaboration tools maintained by Lumos that You accessed at any time during the Relevant Period. For each system or platform identified, state:
(a) The name and type of system or platform;
(b) The dates of Your access, including the date of Your first access and the date of Your last access;
(c) The nature of Your access permissions (e.g., read-only, contributor, administrator);
(d) A description of the materials or information accessed through each system or platform; and
(e) Whether You accessed the system or platform after submitting Your resignation on September 30, 2022, and if so, the dates and circumstances of such access.
INTERROGATORY NO. 4:
Identify all personal Devices that You used at any time during the Relevant Period to access, store, transmit, copy, download, or otherwise work with any Lumos Proprietary Materials. For each such Device, state:
(a) The make, model, and serial number (or other unique identifying information) of the Device;
(b) The dates during which You used the Device in connection with Lumos Proprietary Materials;
(c) A description of all Lumos Proprietary Materials accessed, stored, or transmitted using such Device;
(d) Whether the Device was known to or authorized by Lumos's IT department; and
(e) The current status and physical location of the Device, including whether it remains in Your possession, custody, or control.
INTERROGATORY NO. 5:
Identify all personal Accounts (including but not limited to Your personal Hollowell Health IT account and Your personal email address r.anand.personal@vaultmail.com) to which You at any time during the Relevant Period transferred, uploaded, emailed, forwarded, synced, or otherwise transmitted any Lumos Proprietary Materials, whether in whole or in part. For each such Account, state:
(a) The account name, service provider, and associated email address or username;
(b) The dates of any and all transfers of Lumos Proprietary Materials to or through such Account;
(c) A detailed description of the Lumos Proprietary Materials transferred, including file names, file types, and approximate file sizes to the extent known;
(d) The purpose or reason for each transfer; and
(e) Whether any Lumos Proprietary Materials remain stored in or accessible through such Account as of the date of Your response, and if so, the steps You have taken or intend to take to return or delete such materials.
INTERROGATORY NO. 6:
Describe in detail all actions You took on or about September 26, 2022 to transfer approximately 3.2 gigabytes of files — including model architecture specifications and hyperparameter configuration files — to a personal Hollowell Health IT account. In Your response, include the following:
(a) The specific files or categories of files transferred, including file names, file types, and descriptions of their contents to the extent known;
(b) The identity of the Hollowell Health IT account to which the files were transferred, including the associated email address;
(c) The Lumos system, repository, or directory from which the files were copied or downloaded;
(d) The method used to effectuate the transfer (e.g., download and re-upload, direct sharing, API transfer, or other method);
(e) The reason or reasons for the transfer;
(f) The identity of all persons who directed, assisted, encouraged, or were aware of the transfer at the time it occurred or at any time thereafter;
(g) Whether You informed anyone at Lumos of the transfer, and if so, the identity of such person(s) and the substance of Your communication; and
(h) The current location, custodian, and status of those files, including whether the files have been accessed, copied, shared, modified, or deleted since the date of transfer, and if so, the details of each such action.
INTERROGATORY NO. 7:
Describe in detail all actions You took on or about September 28, 2022 to access and forward the confidential "LumosEdge 3.0 Product Roadmap" PDF document (approximately thirty-seven (37) pages) to Your personal email address r.anand.personal@vaultmail.com. In Your response, include the following:
(a) The Lumos system, repository, shared drive, or other location from which the document was accessed;
(b) The method used to forward the document to Your personal email address, including whether it was sent as an email attachment, a shared link, or by other means;
(c) The reason or reasons for forwarding the document;
(d) The identity of all persons who directed, assisted, encouraged, or were aware of this action at the time it occurred or at any time thereafter;
(e) Whether You subsequently shared, forwarded, transmitted, or otherwise made this document available to any other person, including but not limited to Mallick, Yun, or any NovaSpark employee, agent, contractor, consultant, advisor, or investor, and if so, the identity of each such person, the date and method of sharing, and the purpose of sharing;
(f) Whether You made any copies, excerpts, summaries, or derivative works based on the LumosEdge 3.0 Product Roadmap, and if so, a description of each such copy or derivative work; and
(g) The current location, custodian, and status of this document and any copies thereof, including whether the document has been deleted, and if so, the date and circumstances of deletion and whether the deletion is recoverable.
INTERROGATORY NO. 8:
Aside from the specific transfers described in Interrogatories No. 6 and No. 7, identify and describe all other instances during the Relevant Period in which You accessed, copied, downloaded, transferred, emailed, uploaded, synced, printed, photographed, screenshotted, or otherwise removed any Lumos Proprietary Materials from Lumos's systems, networks, or premises, whether to a personal Device, personal Account, NovaSpark system, NovaSpark Account, external storage medium, or any other location outside of Lumos's control. For each such instance, state:
(a) The date of the action;
(b) A description of the Lumos Proprietary Materials involved;
(c) The Lumos system or location from which the materials were taken;
(d) The destination to which the materials were transferred or copied;
(e) The method used;
(f) The reason or purpose for the action; and
(g) Whether any other person directed, assisted, encouraged, or was aware of the action.
INTERROGATORY NO. 9:
Describe all steps You took upon Your resignation from Lumos on September 30, 2022 to return all company property, materials, and information to Lumos, and to confirm the deletion or destruction of all Lumos Proprietary Materials from Your personal Devices and Accounts, as required by the terms of the PIIAA. In Your response, include:
(a) The date(s) on which You returned company property, and a description of all items returned;
(b) The identity of the person(s) at Lumos to whom You returned company property;
(c) Whether You executed a separation certification, exit checklist, or similar document confirming the return of all company materials and the deletion of all proprietary information, and if so, identify such document;
(d) The specific steps You took to search for and delete Lumos Proprietary Materials from each of Your personal Devices and Accounts;
(e) Whether You retained any copies, in any form, of Lumos Proprietary Materials after Your resignation, and if so, a description of the materials retained and the reason for retention; and
(f) If You did not take all steps required by the PIIAA to return company materials and confirm deletion of proprietary information, explain why You did not do so.
INTERROGATORY NO. 10:
Describe the circumstances of Your decision to resign from Lumos on September 30, 2022, effective immediately, including:
(a) The date on which You first considered or decided to resign from Lumos;
(b) The reasons for Your resignation, including all factors that contributed to Your decision;
(c) All persons with whom You discussed Your planned resignation before submitting it, including the dates and substance of any such discussions, and specifically including any Communications with Mallick, Yun, or any other person who subsequently became affiliated with NovaSpark;
(d) Whether Your decision to resign was connected to, motivated by, or related in any way to Your plan to found NovaSpark or to engage in any business competitive with Lumos;
(e) The manner in which You communicated Your resignation to Lumos, including the date, method, and recipient of Your resignation notice; and
(f) Whether Lumos conducted an exit interview with You, and if so, the date, participants, and substance of that interview.
INTERROGATORY NO. 11:
Describe the founding and incorporation of NovaSpark Technologies Inc., including:
(a) The date on which You first conceived of the idea to found NovaSpark or a company with a similar business purpose, and whether this date preceded Your resignation from Lumos;
(b) All steps taken to incorporate NovaSpark as a Delaware corporation on or about October 3, 2022 (Delaware File Number 7294183), including the identity of the registered agent, incorporator(s), and initial directors and officers;
(c) All persons involved in the founding, planning, or formation of NovaSpark, including but not limited to Mallick and Yun, and the role each person played in the founding process;
(d) The business plan and intended product or service of NovaSpark, including a detailed description of NovaSpark's planned AI-driven alternative-data analytics platform and its intended market, customers, and competitive positioning;
(e) All sources of funding sought and obtained by NovaSpark, including the $12 million seed round from Blackpine Capital Partners LP that closed on or about November 15, 2022, and any other investments, loans, or financial contributions;
(f) The roles, titles, and equity ownership of all persons at NovaSpark as of the date of Your response; and
(g) A description of NovaSpark's current operational status, including the number of employees, contractors, and consultants, and the location(s) of its offices and operations.
INTERROGATORY NO. 12:
Identify and describe all Communications between You and Serena Mallick during the Relevant Period regarding any of the following subjects:
(a) Either Your or her plan, intention, or consideration of resigning from Lumos;
(b) The founding, incorporation, financing, operation, or management of NovaSpark;
(c) Any Lumos Proprietary Materials, including the use, transfer, copying, retention, or discussion of any such materials; or
(d) The recruitment, solicitation, or encouragement of any current or former Lumos employee to leave Lumos and/or join NovaSpark or any other competing enterprise.
For each Communication identified, state: (i) the date of the Communication; (ii) the method of communication (e.g., in-person, telephone, email, text message, Meridian Solutions, video conference, or other); (iii) the participants in the Communication; and (iv) the substance of the Communication, including the topics discussed and any decisions, agreements, or understandings reached.
INTERROGATORY NO. 13:
Identify and describe all Communications between You and Derek Yun during the Relevant Period regarding any of the following subjects:
(a) Either Your or his plan, intention, or consideration of resigning from Lumos;
(b) The founding, incorporation, financing, operation, or management of NovaSpark;
(c) Any Lumos Proprietary Materials, including the use, transfer, copying, retention, or discussion of any such materials; or
(d) The recruitment, solicitation, or encouragement of any current or former Lumos employee to leave Lumos and/or join NovaSpark or any other competing enterprise.
For each Communication identified, state: (i) the date of the Communication; (ii) the method of communication (e.g., in-person, telephone, email, text message, Meridian Solutions, video conference, or other); (iii) the participants in the Communication; and (iv) the substance of the Communication, including the topics discussed and any decisions, agreements, or understandings reached.
INTERROGATORY NO. 14:
Describe in detail all actions You took at any time during the Relevant Period to recruit, solicit, encourage, induce, or otherwise cause Serena Mallick and/or Derek Yun to leave their employment at Lumos and join NovaSpark or otherwise become affiliated with NovaSpark. In Your response, include:
(a) The dates of any and all recruitment or solicitation activities directed toward Mallick and/or Yun;
(b) The substance of any offers, proposals, or inducements made to Mallick and/or Yun, including any discussions of compensation, equity, title, role, or other terms of employment or engagement;
(c) Whether You made any representations to Mallick and/or Yun regarding the use, availability, or relevance of Lumos technology, Lumos Proprietary Materials, or Lumos know-how at NovaSpark;
(d) The dates on which Mallick and Yun each resigned from Lumos and commenced their affiliation with NovaSpark; and
(e) Whether these recruitment activities occurred while You were still employed by Lumos, and if so, the dates and circumstances of such activities.
INTERROGATORY NO. 15:
Identify all other current or former employees of Lumos (other than Mallick and Yun) whom You contacted, recruited, solicited, encouraged, or otherwise induced to leave Lumos and/or join NovaSpark or otherwise become affiliated with NovaSpark at any time during the Relevant Period. For each such person, state:
(a) The person's full name, title, and role at Lumos at the time of the contact;
(b) The dates and substance of all Communications between You and such person regarding leaving Lumos, joining NovaSpark, or any related topic;
(c) Whether any offer of employment, compensation, equity, or other inducement was made;
(d) Whether the person joined NovaSpark or otherwise became affiliated with NovaSpark, and if so, the date and the person's role at NovaSpark; and
(e) Whether these recruitment activities occurred while You were still employed by Lumos, and if so, the dates and circumstances of such activities.
INTERROGATORY NO. 16:
Describe in detail all steps taken to develop NovaSpark's product or service, including:
(a) The nature, functionality, and intended use of NovaSpark's AI-driven alternative-data analytics product, including a description of the product's architecture, features, and capabilities;
(b) The technology, algorithms, machine-learning models, source code, data, datasets, and other materials used in the development of NovaSpark's product, including a description of the origins and provenance of each component;
(c) The identity of all persons involved in product development at NovaSpark, including their roles, qualifications, and the specific aspects of product development for which each person was responsible;
(d) The timeline of development milestones, including the dates on which key development activities commenced and were completed; and
(e) Whether any Lumos Proprietary Materials were used, referenced, consulted, adapted, reverse-engineered, or otherwise relied upon in any aspect of NovaSpark's product design, development, testing, training, deployment, or marketing, and if so, a detailed description of each instance of such use or reliance.
INTERROGATORY NO. 17:
Identify and describe every instance in which any Lumos Proprietary Materials were used, referenced, accessed, viewed, incorporated, adapted, derived from, or relied upon in any manner at NovaSpark or in connection with NovaSpark's business, by You, Mallick, Yun, or any other NovaSpark employee, agent, contractor, consultant, or advisor. For each such instance, state:
(a) The specific Lumos Proprietary Materials involved, identified with as much particularity as possible;
(b) The date(s) on which the use, reference, or access occurred;
(c) The identity of the person(s) who used, accessed, or referenced the materials;
(d) The purpose for which the Lumos Proprietary Materials were used, referenced, or accessed;
(e) The NovaSpark system, Device, Account, or repository on which the Lumos Proprietary Materials were stored or through which they were accessed; and
(f) Whether any NovaSpark product, feature, algorithm, model, codebase, or dataset was created, modified, or informed in whole or in part by the use of Lumos Proprietary Materials, and if so, the details of such creation or modification.
INTERROGATORY NO. 18:
Identify all servers, cloud platforms, code repositories, version-control systems, databases, and computer systems used by NovaSpark during the Relevant Period for product development, data storage, internal communications, or any other business operations. For each system identified, state:
(a) The provider, type, and name of the system (e.g., Meridian Technologies EC2 instance, Aldermere Technologies project, Aldermere Data Systems organization);
(b) The date on which the system was first provisioned or established;
(c) The identity of all persons with access to the system, including their roles and the level of access granted (e.g., read-only, contributor, administrator);
(d) A description of the data, code, or other materials stored on or accessible through the system; and
(e) Whether any Lumos Proprietary Materials were ever stored on, uploaded to, accessed through, processed by, or transmitted through such system, and if so, the dates and circumstances of such storage or access.
INTERROGATORY NO. 19:
Describe all Communications and interactions between You (or any NovaSpark representative) and Blackpine Capital Partners LP (including its Managing Partner, Franklin Osei, and any other partners, employees, or agents) regarding NovaSpark's $12 million seed round of financing. In Your response, include:
(a) The dates and substance of all fundraising discussions, negotiations, and meetings with Blackpine Capital Partners LP;
(b) All pitch decks, investor presentations, business plans, financial projections, technology descriptions, product demonstrations, or other materials provided to Blackpine Capital Partners LP at any time during the fundraising process, identifying each document by title, date, and author;
(c) Whether any Lumos Proprietary Materials, or any information derived from, based upon, or informed by Lumos Proprietary Materials, was included in, referenced in, or formed the basis of any materials provided to Blackpine Capital Partners LP, and if so, a detailed description of the specific Lumos Proprietary Materials involved and how they were used;
(d) Any representations, warranties, or assurances made to Blackpine Capital Partners LP regarding the provenance, originality, or ownership of NovaSpark's technology, intellectual property, or competitive advantages; and
(e) Whether Blackpine Capital Partners LP conducted any due diligence on NovaSpark's technology or intellectual property, and if so, the nature and scope of such due diligence.
INTERROGATORY NO. 20:
State whether You executed a Proprietary Information and Inventions Assignment Agreement ("PIIAA") upon joining Lumos, and describe:
(a) Your understanding of the obligations imposed upon You by the PIIAA, including the restrictive covenant provisions pertaining to confidentiality, non-disclosure, non-solicitation of employees, invention assignment, and the prohibition on use or disclosure of trade secrets;
(b) All steps You took to comply with the PIIAA's requirements upon Your separation from Lumos on September 30, 2022, including the return of all company property and materials and the deletion or destruction of all Lumos Proprietary Materials from Your personal Devices and Accounts;
(c) Whether You received any training, guidance, or reminders from Lumos regarding Your obligations under the PIIAA, and if so, the dates and substance of such training, guidance, or reminders;
(d) If You contend that You did not breach any provision of the PIIAA, state with specificity the factual basis for that contention, including all facts upon which You rely; and
(e) If You contend that any provision of the PIIAA is unenforceable, invalid, or inapplicable, state with specificity the legal and factual basis for that contention.
INTERROGATORY NO. 21:
Identify all inventions, works of authorship, algorithms, software, models, methodologies, systems, processes, or other intellectual property that You conceived, created, developed, or contributed to, in whole or in part, during Your employment at Lumos from March 2019 through September 30, 2022. For each such invention or work, state:
(a) A detailed description of the invention, work, or intellectual property;
(b) The date(s) of conception, creation, or development;
(c) Whether it was created using Lumos resources, equipment, facilities, or information, or was related to Lumos's actual or anticipated business, research, or development;
(d) Whether the invention or work was disclosed to Lumos, and if so, the date and manner of disclosure;
(e) Whether You have used, incorporated, adapted, built upon, or relied upon any such invention or work in connection with NovaSpark's business, product development, or operations, and if so, the details of such use; and
(f) Whether You contend that any such invention or work is excluded from the scope of the PIIAA's invention-assignment clause, and if so, the basis for that contention.
INTERROGATORY NO. 22:
State whether, prior to receiving the cease-and-desist letter dated January 9, 2023 from Calderwood & Harkness LLP on behalf of Lumos, You were aware of or had reason to believe that Lumos had detected the data-exfiltration activities referenced in these interrogatories. In Your response, specifically address:
(a) Whether You were aware that Lumos's IT security team identified anomalous data-exfiltration activity on or about December 12, 2022;