1008-00005 · Lumos Analytics Inc · Discovery

rfp-first-set-defendants.docx DOCUMENT Litigation

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SUPERIOR COURT OF THE STATE OF CALIFORNIA

COUNTY OF SANTA CLARA

PLAINTIFF LUMOS ANALYTICS INC.'S FIRST SET OF REQUESTS FOR PRODUCTION OF DOCUMENTS TO DEFENDANTS NOVASPARK TECHNOLOGIES INC., RAJIV ANAND, SERENA MALLICK, AND DEREK YUN

PREFATORY STATEMENT

Plaintiff Lumos Analytics Inc. ("Lumos" or "Plaintiff"), by and through its attorneys of record, Calderwood & Harkness LLP, hereby propounds this First Set of Requests for Production of Documents ("Requests") to Defendants NovaSpark Technologies Inc. ("NovaSpark"), Rajiv Anand ("Anand"), Serena Mallick ("Mallick"), and Derek Yun ("Yun") (collectively, "Defendants"), pursuant to California Code of Civil Procedure sections 2031.010 through 2031.060.

These Requests are directed to all Defendants jointly and severally. Each Defendant is required to produce all responsive documents within its or his or her possession, custody, or control, whether held directly or through any agent, representative, custodian, attorney (to the extent not privileged), or any other person or entity acting on that Defendant's behalf. The obligation to respond extends to each Defendant independently, and the production of a responsive document by one Defendant does not relieve any other Defendant of the obligation to produce that same document if it is separately within such other Defendant's possession, custody, or control.

Responses and production of all responsive documents are due within thirty (30) days of service of these Requests, or at such other time as may be ordered by the Court or agreed upon in writing by the parties. Plaintiff reserves the right to bring any appropriate motion to compel further responses or production in the event of incomplete, evasive, or otherwise deficient responses.

All documents produced in response to these Requests are subject to the Stipulation and Order re: Protective Order entered by the Honorable David Rutherford on March 15, 2023, which governs the designation, handling, and use of confidential and proprietary information produced in this litigation. Defendants may designate responsive documents in accordance with the terms of that Protective Order, and Plaintiff will comply with the confidentiality provisions set forth therein.

These Requests are propounded without prejudice to Plaintiff's right to propound additional discovery requests in the future, including additional requests for production of documents, interrogatories, requests for admissions, and deposition notices.

DEFINITIONS

As used in these Requests, the following terms shall have the meanings set forth below:

1. "DOCUMENT" or "DOCUMENTS" shall have the broadest meaning ascribed to that term under California Code of Civil Procedure section 2031.010(a) and shall include, without limitation, all writings, electronically stored information ("ESI"), drawings, graphs, charts, photographs, recordings, images, and other data or data compilations stored in any medium from which information can be obtained or translated, if necessary, into a reasonably usable form. Without limiting the generality of the foregoing, the term "DOCUMENT" includes: emails; text messages (SMS and MMS); instant messages transmitted via any platform, including but not limited to Meridian Solutions, Northgate Data Systems, Harborline Technologies, Meridian Services Inc., Kestrel Data Systems, discord, and any similar messaging application; memoranda; correspondence; handwritten and typed notes; reports; presentations; spreadsheets; databases; source code; object code; scripts; notebooks, including Jupyter notebooks and similar computational notebooks; configuration files; log files; architecture diagrams; product roadmaps; pitch decks; financial models; term sheets; contracts and agreements of any kind; invoices; purchase orders; receipts; calendar entries; task management records; meeting agendas and minutes; audio recordings; video recordings; voicemail messages; photographs; and metadata associated with any of the foregoing. The term "DOCUMENT" also includes any draft, preliminary version, revision, or non-identical copy of any document, as well as all attachments, exhibits, enclosures, or appendices to any document.

2. "LUMOS" or "LUMOS AI" means Plaintiff Lumos Analytics Inc., a Delaware corporation, including its officers, directors, employees, agents, representatives, subsidiaries, affiliates, predecessors, and successors.

3. "NOVASPARK" means Defendant NovaSpark Technologies Inc., a Delaware corporation (Delaware File Number 7294183), including its officers, directors, employees, agents, contractors, consultants, representatives, subsidiaries, affiliates, predecessors, and successors.

4. "ANAND" means Defendant Rajiv Anand, individually.

5. "MALLICK" means Defendant Serena Mallick, individually.

6. "YUN" means Defendant Derek Yun, individually.

7. "DEFENDANTS" means NovaSpark, Anand, Mallick, and Yun, collectively and individually.

8. "LUMOSEDGE" means Lumos's flagship AI-driven financial analytics product, including all versions, iterations, modules, and components thereof, including without limitation the unreleased version known as "LumosEdge 3.0" and the ensemble machine-learning model architecture and associated proprietary neural-network topology and hyperparameter configurations that constitute the core of the LumosEdge platform.

9. "DATASTREAM" means Lumos's proprietary ETL (extract, transform, load) pipeline system, including all source code, codebase, data-schema definitions, configurations, documentation, data-ingestion connectors, and related technical components, together with all versions, branches, and modifications thereof.

10. "PIIAA" means the Proprietary Information and Inventions Assignment Agreement executed by each of Anand, Mallick, and Yun during their respective employment with Lumos, including all exhibits, schedules, amendments, and addenda thereto, and specifically including the restrictive covenant provisions contained therein, including non-competition, non-solicitation, and non-disclosure covenants.

11. "TRADE SECRETS" means all proprietary and confidential information of Lumos identified in the Verified Complaint filed in this action, including but not limited to: (1) the LumosEdge ensemble machine-learning model architecture, including proprietary neural-network topology and hyperparameter configurations; (2) proprietary feature-engineering libraries containing 2,847 individual engineered features for financial signal generation; (3) the DataStream ETL pipeline codebase and data-schema definitions covering ingestion from 43 alternative-data vendors; (4) curated and labeled training datasets of approximately 14.6 terabytes of historical financial and alternative data; and (5) confidential product roadmap documents for 2023–2025, including the LumosEdge 3.0 specifications as set forth in the 37-page LumosEdge 3.0 Product Roadmap PDF.

12. "BLACKPINE" means Blackpine Capital Partners LP, a Delaware limited partnership, including its general partner, officers, partners, managing directors, employees, agents, and representatives, with offices at 101 Mission Street, 38th Floor, San Francisco, California 94105, and specifically including its Managing Partner, Franklin Osei.

13. "PERSON" means any natural person, corporation, partnership, limited liability company, joint venture, association, trust, estate, governmental entity, or any other legal entity.

14. "COMMUNICATION" means any transmission or exchange of information, whether oral, written, or electronic, between or among two or more persons, including but not limited to letters, emails, text messages, instant messages, phone calls, voicemail messages, video calls, video conference sessions, and in-person conversations, as well as any record, memorialization, or summary of any such transmission or exchange.

15. "RELATING TO" or "CONCERNING" means referring to, reflecting, evidencing, describing, constituting, mentioning, pertaining to, connected with, commenting upon, responsive to, setting forth, showing, disclosing, explaining, summarizing, analyzing, or having any logical connection to the subject matter referenced.

16. "RELEVANT PERIOD" — Unless otherwise specified in a particular Request, the RELEVANT PERIOD for these Requests is January 1, 2022 through the date of production.

INSTRUCTIONS

The following Instructions apply to each and every Request set forth herein:

INSTRUCTION NO. 1 — Scope of Production. Each Request calls for the production of all responsive Documents within the possession, custody, or control of the responding Defendant. The term "possession, custody, or control" shall be interpreted broadly and includes Documents held directly by the responding Defendant, as well as Documents held by agents, employees, attorneys (to the extent not subject to a valid claim of privilege), accountants, consultants, forensic consultants, information technology service providers, cloud hosting providers, or other representatives or persons acting on the Defendant's behalf, where the responding Defendant has the legal right, authority, or practical ability to obtain such Documents on demand.

INSTRUCTION NO. 2 — Form of Production. Electronically stored information shall be produced in native format, preserving all associated metadata (including file creation dates, modification dates, author information, last-accessed dates, file paths, and hash values). Email shall be produced in MSG or EML format, preserving all header information, attachments, and folder-path metadata. Hard-copy documents shall be produced as image files (TIFF Group IV, single-page, 300 dpi minimum resolution, or searchable PDF) accompanied by extracted or OCR text files and concordance or Crestline Technologies-compatible load files (DAT and OPT). All documents shall be Bates-numbered using a consistent prefix and sequential numbering convention. Source code shall be produced in native format with the full directory structure and version-control metadata preserved. Where a document exists in both hard-copy and electronic form, the electronic version shall be produced. Each responsive document shall be identified by the specific Request number or numbers to which it is responsive.

INSTRUCTION NO. 3 — Privilege Log. For any Document withheld in whole or in part, or redacted, on the basis of any privilege (including, without limitation, the attorney-client privilege, the work product doctrine, or any other applicable privilege or protection), each Defendant shall provide a privilege log in compliance with California Code of Civil Procedure section 2031.240(b). Each entry on the privilege log shall identify, at a minimum: (a) the type and nature of the Document (e.g., email, memorandum, letter); (b) the date of the Document; (c) the author or sender of the Document; (d) the recipient(s) and any persons copied on the Document; (e) a description of the subject matter of the Document in sufficient detail to permit assessment of the privilege claim without revealing the privileged content; and (f) the specific privilege or protection asserted as the basis for withholding or redacting the Document.

INSTRUCTION NO. 4 — Continuing Obligation. These Requests impose a continuing obligation to supplement responses and production if and when additional responsive Documents are located, identified, created, or come into a Defendant's possession, custody, or control after the initial production. Any supplemental production shall be made promptly and in compliance with the same format requirements and Instructions set forth herein.

INSTRUCTION NO. 5 — Identification of Sources. To the extent Documents responsive to any Request are stored on cloud platforms (including, without limitation, Hollowell Health IT, Crestline Software, Larkspur Technologies, box, Meridian Systems, Cobalt Ridge Systems, Ridgeway Industries (Meridian Technologies), Crestline Systems, Aldermere Data Systems, Aldermere Software, Strathmore Solutions, Heroku, or any similar cloud-based platform), external storage devices (including USB drives, external hard drives, SD cards, or similar media), or personal devices (including personal laptops, desktops, tablets, or smartphones), each Defendant shall identify the specific source or location from which each responsive Document was collected and shall produce responsive Documents from each such source. Documents shall not be deduplicated across custodians without prior written agreement of the parties.

INSTRUCTION NO. 6 — Protective Order. All documents produced in response to these Requests are subject to the Stipulation and Order re: Protective Order entered in this action on March 15, 2023. Defendants may designate documents as "CONFIDENTIAL" or "ATTORNEYS' EYES ONLY" in accordance with the terms of that Protective Order. Any dispute regarding confidentiality designations shall be resolved in accordance with the procedures set forth in the Protective Order.

INSTRUCTION NO. 7 — Coordination with Forensic Examiner. Nothing in these Requests is intended to limit, supersede, or modify the scope of the forensic imaging, collection, and analysis being conducted by Brindoval Digital Forensics LLC ("Brindoval") pursuant to the Stipulation and Order Regarding Forensic Examination entered by the Court on March 8, 2023. These Requests are propounded independently of and in addition to the forensic examination process. To the extent documents collected by Brindoval are responsive to these Requests, Defendants remain obligated to produce such documents in accordance with these Requests and Instructions, unless the parties otherwise agree in writing to an alternative production protocol.

REQUESTS FOR PRODUCTION OF DOCUMENTS

REQUEST NO. 1 — NovaSpark Formation and Corporate Documents

All Documents relating to the formation, incorporation, and organization of NovaSpark Technologies Inc., including but not limited to: the certificate of incorporation (Delaware File Number 7294183) and any amendments thereto; bylaws and any amendments thereto; organizational resolutions; operating agreements; board of directors minutes and written consents; stockholder meeting minutes and written consents; stock ledgers; capitalization tables; equity incentive plans, including any stock option plans or restricted stock unit plans; stock option or equity award agreements granted to any person; and all amendments, supplements, and exhibits to any of the foregoing, from the date of NovaSpark's inception (October 3, 2022) to the present.

REQUEST NO. 2 — NovaSpark Funding and Investment Documents

All Documents relating to the funding, financing, and capitalization of NovaSpark, including but not limited to: term sheets; subscription agreements; stock purchase agreements; convertible note or SAFE (Simple Agreement for Future Equity) instruments; investor rights agreements; right of first refusal and co-sale agreements; voting agreements; investor presentations and pitch decks; financial projections; business plans; executive summaries; due diligence materials prepared by or for NovaSpark or any investor; side letters; and all Communications with any investor or potential investor, including but not limited to Blackpine Capital Partners LP and its Managing Partner Franklin Osei, relating to NovaSpark's $12 million seed round closed on or about November 15, 2022, or any other fundraising effort, capital raise, or financing transaction by NovaSpark, from January 1, 2022 to the present.

REQUEST NO. 3 — Blackpine Capital Partners Pitch Materials

All Documents submitted to, prepared for, shared with, or received from Blackpine Capital Partners LP or any of its partners, officers, employees, or agents, in connection with NovaSpark's seed funding round or any other investment or potential investment by Blackpine in NovaSpark, including but not limited to: pitch decks; investor memoranda; business plans; technology descriptions and technical overviews; product demonstrations, screenshots, and videos; competitive analyses; market analyses; financial models and projections; due diligence questionnaires, requests, and responses; data room indices and contents; reference lists; and all correspondence and Communications exchanged between any Defendant and Blackpine or Franklin Osei, from September 1, 2022 to the present.

REQUEST NO. 4 — Lumos Proprietary Materials in Defendants' Possession

All Documents constituting, containing, referencing, derived from, or incorporating any Trade Secrets or proprietary or confidential information of Lumos Analytics Inc. that are or were at any time in the possession, custody, or control of any Defendant, including but not limited to:

(a) LumosEdge ensemble machine-learning model architecture specifications, neural-network topology files (including but not limited to TensorFlow, PyTorch, or ONNX model definition files), and hyperparameter configuration files;

(b) Feature-engineering libraries or any portion thereof, including any of the 2,847 individually engineered features for financial signal generation, whether in source code, compiled, or documented form;

(c) DataStream ETL pipeline source code, data-schema definitions, configuration files, ingestion connector code, or documentation, in any format;

(d) Curated and labeled training datasets, or any subset, sample, derivative, or extract thereof, including any of the approximately 14.6 terabytes of historical financial and alternative data compiled by Lumos;

(e) The LumosEdge 3.0 Product Roadmap (37-page PDF), or any version, excerpt, summary, derivative, annotation, or copy thereof; and

(f) Any other Document of Lumos that was not authorized for removal, retention, or use by any Defendant following separation from Lumos employment.

REQUEST NO. 5 — Anand's Data Transfers on September 26, 2022

All Documents relating to Rajiv Anand's transfer of approximately 3.2 gigabytes of files to a personal Hollowell Health IT account (or any other personal cloud storage or local storage location) on or about September 26, 2022, including but not limited to: all files transferred or copied in connection with that transfer event; Hollowell Health IT activity and audit logs reflecting the upload, download, sharing, or modification of those files; browser history and download records from any device used to effectuate the transfer; screenshots or screen recordings depicting the transfer; and any Communications between Anand and any other person regarding the transfer, whether before, during, or after it occurred.

REQUEST NO. 6 — Anand's Forwarding of LumosEdge 3.0 Roadmap

All Documents relating to Rajiv Anand's forwarding of the confidential LumosEdge 3.0 Product Roadmap PDF to the email address r.anand.personal@vaultmail.com on or about September 28, 2022, including but not limited to: the email message and its attachment as sent and as received; all contents of the r.anand.personal@vaultmail.com email account that relate in any way to Lumos, NovaSpark, or the subject matter of this litigation; all subsequent transmissions, forwards, copies, downloads, printouts, or distributions of the Roadmap document to any person or entity; and any Communications between Anand and any other person regarding the forwarding, possession, or use of the Roadmap document.

REQUEST NO. 7 — Mallick's Copying of DataStream Repository

All Documents relating to Serena Mallick's cloning or copying of the DataStream ETL pipeline repository (in whole or in part) to a personal external USB drive bearing serial number WD-4837291 on or about October 10, 2022, including but not limited to: a complete listing and copies of all files cloned or copied to the USB drive in connection with that event; system logs, access logs, and audit trail records from Lumos's code repositories or servers reflecting the cloning or copying event; the current and historical contents of USB drive WD-4837291 in their entirety; forensic images of the USB drive; and any subsequent transfers, copies, uploads, or distributions of files from the USB drive to any other device, repository, cloud storage location, or person, from October 10, 2022 to the present.

REQUEST NO. 8 — Yun's Download of Jupyter Notebooks

All Documents relating to Derek Yun's download of 47 proprietary Jupyter notebooks containing feature-engineering code and model-training scripts to a personal Larkspur Technologies account on or about October 18, 2022, including but not limited to: the 47 Jupyter notebooks themselves, in their original and any modified form; Larkspur Technologies activity logs, event logs, and sync history reflecting the upload, access, modification, sharing, or download of those notebooks; any subsequent transfers, copies, modifications, annotations, or distributions of those notebooks to or from any device, storage location, or person; and any Communications between Yun and any other person regarding the notebooks, their download, or their use, from October 18, 2022 to the present.

REQUEST NO. 9 — Communications Among Defendants Regarding Departure from Lumos

All Communications among Rajiv Anand, Serena Mallick, and Derek Yun, in any combination of two or more of them, relating to or concerning:

(a) Their respective departures, planned departures, or potential departures from employment at Lumos, including the timing and circumstances of their resignations;

(b) The formation of, planning for, or employment at NovaSpark Technologies Inc., including discussions about roles, equity, compensation, business strategy, product vision, or hiring;

(c) The taking, copying, downloading, retention, use, or possession of any Lumos proprietary information, Trade Secrets, confidential documents, source code, data, or other company materials;

(d) The competitive opportunities, market positioning, or competitive advantages of NovaSpark vis-à-vis Lumos, including any discussions regarding Lumos's technology, customers, or business plans;

from January 1, 2022 to the present. This Request encompasses Communications transmitted via any medium, including but not limited to email, text message, instant message (Meridian Solutions, Teams, Harborline Technologies, Meridian Services Inc., Kestrel Data Systems, or any other platform), phone calls (to the extent memorialized or recorded), video calls, and in-person conversations (to the extent memorialized in any Document).

REQUEST NO. 10 — Communications Regarding Lumos Technology

All Communications between or among any Defendant and any third party, including but not limited to Blackpine Capital Partners LP and Franklin Osei, any NovaSpark employees or contractors, any potential investors, any actual or prospective customers, and any business partners or strategic contacts, relating to or concerning Lumos's technology, products, services, Trade Secrets, proprietary information, competitive position, strengths, weaknesses, customers, customer relationships, pricing, business strategies, product roadmap, or technical capabilities, from January 1, 2022 to the present.

REQUEST NO. 11 — NovaSpark Product Development Records

All Documents relating to the design, development, engineering, programming, testing, quality assurance, and deployment of any product, software application, algorithm, machine-learning model, data pipeline, or technology by or for NovaSpark, including but not limited to:

(a) Source code repositories and complete commit histories from all version control systems, including Aldermere Data Systems, Aldermere Software, Strathmore Solutions, or any private or self-hosted repositories;

(b) Architecture documents, system design documents, and design specifications;

(d) Technical roadmaps, product roadmaps, and strategic planning documents;

(e) Sprint plans, sprint retrospectives, and release plans;

(f) Project management records from Jira, Sterling Reach Services Inc., Trello, Linear, Notion, or any similar project management tool;

(g) Code review records, pull request discussions, merge request discussions, and related commentary;

(h) Technical meeting notes, engineering meeting agendas and minutes, stand-up notes, and brainstorming session records;

(i) Testing documentation, test plans, test results, bug reports, and quality assurance records;

(j) Deployment records, release notes, and infrastructure configuration documents;

from the inception of NovaSpark (October 3, 2022) to the present.

REQUEST NO. 12 — NovaSpark Source Code and Repositories

All source code, object code, compiled binaries, scripts, configuration files, environment files, model weights, model checkpoints, hyperparameter files, Jupyter notebooks, computational notebooks, data processing scripts, and related technical files created, modified, accessed, or stored by or for NovaSpark on any platform, system, device, or repository, together with complete version control metadata showing the authorship, committer identity, timestamps, commit messages, branch history, merge history, and change history for each file, from October 3, 2022 to the present. This Request includes all repositories (whether public or private), all branches (including archived, deleted, or abandoned branches to the extent recoverable), and all forks or clones of NovaSpark repositories.

REQUEST NO. 13 — Comparison or Derivation from Lumos Materials

All Documents, analyses, comparisons, assessments, reports, or memoranda conducted by, prepared by, or prepared for any Defendant relating to the similarity, overlap, derivation, adaptation, modification, or relationship of NovaSpark technology, code, algorithms, models, data pipelines, or features from or based on any Lumos proprietary information, Trade Secrets, or technology. This Request includes, without limitation, any "clean room" development protocols, independent development documentation, design-around analyses, or any other assessment of the provenance or originality of NovaSpark's technology in relation to Lumos's technology.

REQUEST NO. 14 — Personal Devices and Storage Media

All Documents identifying and describing every personal electronic device (including laptops, desktops, tablets, and smartphones), external storage device (including USB drives, external hard drives, SD cards, and similar removable media), and cloud storage account (including Hollowell Health IT, Crestline Software, Larkspur Technologies, Meridian Systems, Cobalt Ridge Systems, box, Meridian Technologies S3, or any similar cloud-based storage service) owned, used, or controlled by each individual Defendant — Anand, Mallick, and Yun — that at any time contained, stored, accessed, or transmitted: (a) any Lumos proprietary information or Trade Secrets; or (b) any NovaSpark work product, source code, business documents, or Communications. For each such device or account, provide the make, model, serial number, storage capacity, operating system, and current status (e.g., in use, decommissioned, reformatted, destroyed, or surrendered to Brindoval Digital Forensics LLC).

REQUEST NO. 15 — PIIAAs and Employment Agreements

All Documents constituting, evidencing, or relating to the Proprietary Information and Inventions Assignment Agreements (PIIAAs) executed by each of Rajiv Anand, Serena Mallick, and Derek Yun with Lumos Analytics Inc., including the restrictive covenant provisions contained therein (including non-competition, non-solicitation, and non-disclosure covenants), and including all exhibits, schedules, amendments, addenda, and side agreements thereto. This Request also includes all other employment agreements, offer letters, employment confirmation letters, promotion letters, compensation agreements, equity award agreements, separation agreements, severance agreements, or restrictive covenant agreements between Lumos and each individual Defendant, as well as any Documents relating to the negotiation, execution, or interpretation of any such agreement.

REQUEST NO. 16 — Return or Deletion of Lumos Materials Upon Separation

All Documents relating to any steps taken (or not taken) by any Defendant to return, delete, destroy, or otherwise dispose of Lumos proprietary information, Trade Secrets, or company materials upon or after separation from Lumos employment, including but not limited to: any certifications of return or destruction of company property; IT exit checklists or offboarding forms; Communications between any Defendant and Lumos's human resources, IT, legal, or management personnel regarding the return of materials; records of device wipes, deletions, or reformatting; and any Communications among Defendants or between any Defendant and any third party regarding the retention, disposal, or return of Lumos materials.

REQUEST NO. 17 — NovaSpark Employee and Contractor Records

All Documents identifying every employee, contractor, consultant, advisor, or other individual who has performed work for or on behalf of NovaSpark from October 3, 2022 to the present, including for each such individual: full name; title or role; primary areas of responsibility; dates of engagement or employment; nature of the engagement (full-time employee, part-time employee, independent contractor, consultant, or advisor); and compensation structure (to the extent not subject to a valid privacy objection). This Request also includes all employment agreements, consulting agreements, contractor agreements, advisor agreements, non-disclosure agreements, proprietary information agreements, and any restrictive covenant agreements executed by any such individual with NovaSpark or any Defendant.

REQUEST NO. 18 — NovaSpark Customer and Business Development Materials

All Documents relating to NovaSpark's marketing, sales, business development, customer acquisition, customer engagement, or customer retention efforts, including but not limited to: customer lists and prospect lists; marketing materials, brochures, and white papers; product demonstrations and demo recordings; sales proposals and pricing sheets; engagement letters and customer contracts; service level agreements; and all Communications with any actual or prospective customer or business partner, from October 3, 2022 to the present. This Request is specifically directed at identifying any overlap between NovaSpark's customer base or target customer base and Lumos's customer base, as well as any use by any Defendant of Lumos customer data, customer relationship information, customer contact information, or customer-specific data pipeline configurations in NovaSpark's business development activities.

REQUEST NO. 19 — NovaSpark Financial Records

All Documents relating to NovaSpark's financial condition, operations, revenue, expenses, assets, and liabilities, including but not limited to: bank statements from all accounts; financial statements (balance sheets, income statements, cash flow statements), whether audited or unaudited; general ledger entries; budgets and budget-to-actual reports; tax returns (federal and state); payroll records; invoices issued and received; receipts; expense reports; accounts payable and accounts receivable records; and records of all wire transfers, ACH payments, and check disbursements, from October 3, 2022 to the present.

REQUEST NO. 20 — Communications with Counsel Regarding Lumos Claims

All non-privileged Documents relating to any discussions, assessments, analyses, or actions by any Defendant concerning the potential or actual claims by Lumos Analytics Inc. against any Defendant regarding misappropriation of trade secrets, breach of the PIIAAs, breach of fiduciary duty, unfair competition, or any other claim asserted or threatened in this litigation or in the cease-and-desist correspondence preceding this litigation, including Communications with any person other than Defendants' counsel of record at Whitfield, Raines & Gerber LLP. For the avoidance of doubt, Plaintiff does not seek production of communications protected by the attorney-client privilege or work product doctrine, but does seek all non-privileged Communications relating to Lumos's claims, including Communications among Defendants and Communications between any Defendant and third parties such as investors, employees, contractors, or business associates.

REQUEST NO. 21 — Data Vendor Agreements and Alternative Data Sources

All Documents relating to NovaSpark's relationships with alternative-data vendors, data providers, data aggregators, or data sources, including but not limited to: data license agreements and subscriptions; data purchase agreements; vendor onboarding and integration documentation; invoices and payment records; Communications with data vendors; records of data ingestion, data feeds, API integrations, and data pipeline configurations; and any internal assessments or evaluations of data vendors or data sources, from October 3, 2022 to the present. This Request is directed at determining whether NovaSpark's data pipeline incorporates, replicates, or is derived from any of the 43 alternative-data vendor integrations built into Lumos's DataStream system, including the specific vendor connections, ingestion protocols, data schemas, and transformation logic.

REQUEST NO. 22 — Preservation and Litigation Hold Records

All Documents relating to any steps taken by any Defendant to preserve, collect, segregate, or protect documents and electronically stored information in connection with this litigation or in anticipation of this litigation, including in response to the cease-and-desist letters sent by Calderwood & Harkness LLP on behalf of Lumos on January 9, 2023. This Request includes, without limitation: litigation hold notices issued by or to any Defendant; custodian acknowledgment forms or confirmations; Communications with IT personnel, systems administrators, or forensic consultants regarding the identification, preservation, or collection of potentially relevant documents and ESI; documents reflecting the scope and implementation of any document preservation or litigation hold protocols; and any documents reflecting the loss, destruction, alteration, or non-preservation of potentially relevant documents or ESI, whether intentional or inadvertent.

REQUEST NO. 23 — Insurance Policies

All Documents constituting or relating to any insurance policy held by or available to NovaSpark Technologies Inc. or any individual Defendant that may provide coverage, indemnification, or a duty to defend in connection with any of the claims asserted in this action, including but not limited to: directors and officers (D&O) liability insurance; errors and omissions (E&O) insurance; technology errors and omissions insurance; cyber liability insurance; employment practices liability insurance; and commercial general liability insurance. This Request includes the policies themselves, all endorsements, riders, amendments, and exclusions, as well as all correspondence with any insurer regarding coverage, notice of claims, reservation of rights, or denial of coverage.

REQUEST NO. 24 — Communications Regarding the Preliminary Injunction

All non-privileged Communications among Defendants, or between any Defendant and any third party (other than Defendants' counsel of record at Whitfield, Raines & Gerber LLP), relating to compliance with, reaction to, or implementation of the Temporary Restraining Order issued by the Honorable David Rutherford on January 23, 2023, or the Preliminary Injunction Order issued on February 17, 2023, including but not limited to: any steps taken to comply with the terms of those Orders; any difficulties, challenges, or impediments encountered in compliance; any documents reflecting the quarantining, sequestration, or return of Lumos materials; any discussions regarding the scope or interpretation of the Orders; and any Communications reflecting concerns about the impact of the Orders on NovaSpark's business operations or product development activities.

REQUEST NO. 25 — Anand's Pre-Departure Planning for NovaSpark

All Documents relating to Rajiv Anand's planning, preparation, or actions taken while still employed by Lumos Analytics Inc. in furtherance of founding NovaSpark Technologies Inc. or competing with Lumos, including but not limited to:

(a) Business plans, business concepts, business model canvases, or strategic plans relating to a new venture or enterprise that would compete with Lumos;

(b) Financial projections, pro forma financial statements, or funding estimates prepared in connection with such a venture;

(c) Communications with potential co-founders, including Mallick and Yun, regarding the formation of or participation in NovaSpark;

(d) Communications with potential investors, including Blackpine Capital Partners LP and Franklin Osei, regarding investment in NovaSpark or any predecessor concept;

(e) Domain name registrations, website development, branding, or marketing activities for NovaSpark or any predecessor entity;

(f) Corporate formation documents, including engagement of legal counsel, formation of the Delaware entity, appointment of a registered agent, and adoption of initial organizational documents;

(g) Recruitment or solicitation of any Lumos employee, contractor, or consultant to join NovaSpark;

(h) Any actions taken to divert, appropriate, or prepare to use Lumos's proprietary information, Trade Secrets, customer relationships, or business opportunities for the benefit of NovaSpark;

from January 1, 2022 through Anand's resignation from Lumos on September 30, 2022.

Dated: March 20, 2023

CALDERWOOD & HARKNESS LLP

By: ________

Marcus Delgado Catherine Bloom Wendy Schultz Omar Siddiqui

CALDERWOOD & HARKNESS LLP 555 California Street, 40th Floor San Francisco, California 94104 Telephone: (415) 555-7200 Facsimile: (415) 555-7201

Attorneys for Plaintiff LUMOS ANALYTICS INC.

PROOF OF SERVICE

STATE OF CALIFORNIA, COUNTY OF SAN FRANCISCO

I, Omar Siddiqui, am employed in the County of San Francisco, State of California. I am over the age of eighteen (18) years and not a party to the within action. My business address is Calderwood & Harkness LLP, 555 California Street, 40th Floor, San Francisco, California 94104.

On March 20, 2023, I caused a true and correct copy of the foregoing document, entitled:

PLAINTIFF LUMOS ANALYTICS INC.'S FIRST SET OF REQUESTS FOR PRODUCTION OF DOCUMENTS TO DEFENDANTS NOVASPARK TECHNOLOGIES INC., RAJIV ANAND, SERENA MALLICK, AND DEREK YUN

to be served on the parties listed below by the following means:

BY ELECTRONIC SERVICE: I caused the above-referenced document to be served electronically via the Court's electronic filing and service system and by email to the following counsel of record:

Patricia Whitfield, Esq. Whitfield, Raines & Gerber LLP 235 Montgomery Street, Suite 1800 San Francisco, California 94104

Email: pwhitfield@wrglaw.com

Attorneys for Defendants NovaSpark Technologies Inc., Rajiv Anand, Serena Mallick, and Derek Yun

Samuel Gerber, Esq. Whitfield, Raines & Gerber LLP 235 Montgomery Street, Suite 1800 San Francisco, California 94104

Email: sgerber@wrglaw.com

Attorneys for Defendants NovaSpark Technologies Inc., Rajiv Anand, Serena Mallick, and Derek Yun

I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct.

Executed on March 20, 2023, at San Francisco, California.

________________________________________

Omar Siddiqui

LUMOS ANALYTICS INC., a Delaware corporation,	Case No. 23-CV-004871
Plaintiff,	PLAINTIFF LUMOS ANALYTICS INC.'S FIRST SET OF REQUESTS FOR PRODUCTION OF DOCUMENTS TO DEFENDANTS NOVASPARK TECHNOLOGIES INC., RAJIV ANAND, SERENA MALLICK, AND DEREK YUN

NOVASPARK TECHNOLOGIES INC., a Delaware corporation; RAJIV ANAND, an individual; SERENA MALLICK, an individual; DEREK YUN, an individual,

Defendants.

Propounding Party:	Plaintiff Lumos Analytics Inc.
Responding Parties:	Defendants NovaSpark Technologies Inc., Rajiv Anand, Serena Mallick, and Derek Yun
Set Number:	One

SUPERIOR COURT OF THE STATE OF CALIFORNIA
COUNTY OF SANTA CLARA
PLAINTIFF LUMOS ANALYTICS INC.'S FIRST SET OF REQUESTS FOR PRODUCTION OF DOCUMENTS TO DEFENDANTS NOVASPARK TECHNOLOGIES INC., RAJIV ANAND, SERENA MALLICK, AND DEREK YUN
PREFATORY STATEMENT
Plaintiff Lumos Analytics Inc. ("Lumos" or "Plaintiff"), by and through its attorneys of record, Calderwood & Harkness LLP, hereby propounds this First Set of Requests for Production of Documents ("Requests") to Defendants NovaSpark Technologies Inc. ("NovaSpark"), Rajiv Anand ("Anand"), Serena Mallick ("Mallick"), and Derek Yun ("Yun") (collectively, "Defendants"), pursuant to California Code of Civil Procedure sections 2031.010 through 2031.060.
These Requests are directed to all Defendants jointly and severally. Each Defendant is required to produce all responsive documents within its or his or her possession, custody, or control, whether held directly or through any agent, representative, custodian, attorney (to the extent not privileged), or any other person or entity acting on that Defendant's behalf. The obligation to respond extends to each Defendant independently, and the production of a responsive document by one Defendant does not relieve any other Defendant of the obligation to produce that same document if it is separately within such other Defendant's possession, custody, or control.
Responses and production of all responsive documents are due within thirty (30) days of service of these Requests, or at such other time as may be ordered by the Court or agreed upon in writing by the parties. Plaintiff reserves the right to bring any appropriate motion to compel further responses or production in the event of incomplete, evasive, or otherwise deficient responses.
All documents produced in response to these Requests are subject to the Stipulation and Order re: Protective Order entered by the Honorable David Rutherford on March 15, 2023, which governs the designation, handling, and use of confidential and proprietary information produced in this litigation. Defendants may designate responsive documents in accordance with the terms of that Protective Order, and Plaintiff will comply with the confidentiality provisions set forth therein.
These Requests are propounded without prejudice to Plaintiff's right to propound additional discovery requests in the future, including additional requests for production of documents, interrogatories, requests for admissions, and deposition notices.
DEFINITIONS
As used in these Requests, the following terms shall have the meanings set forth below:
1. "DOCUMENT" or "DOCUMENTS" shall have the broadest meaning ascribed to that term under California Code of Civil Procedure section 2031.010(a) and shall include, without limitation, all writings, electronically stored information ("ESI"), drawings, graphs, charts, photographs, recordings, images, and other data or data compilations stored in any medium from which information can be obtained or translated, if necessary, into a reasonably usable form. Without limiting the generality of the foregoing, the term "DOCUMENT" includes: emails; text messages (SMS and MMS); instant messages transmitted via any platform, including but not limited to Meridian Solutions, Northgate Data Systems, Harborline Technologies, Meridian Services Inc., Kestrel Data Systems, discord, and any similar messaging application; memoranda; correspondence; handwritten and typed notes; reports; presentations; spreadsheets; databases; source code; object code; scripts; notebooks, including Jupyter notebooks and similar computational notebooks; configuration files; log files; architecture diagrams; product roadmaps; pitch decks; financial models; term sheets; contracts and agreements of any kind; invoices; purchase orders; receipts; calendar entries; task management records; meeting agendas and minutes; audio recordings; video recordings; voicemail messages; photographs; and metadata associated with any of the foregoing. The term "DOCUMENT" also includes any draft, preliminary version, revision, or non-identical copy of any document, as well as all attachments, exhibits, enclosures, or appendices to any document.
2. "LUMOS" or "LUMOS AI" means Plaintiff Lumos Analytics Inc., a Delaware corporation, including its officers, directors, employees, agents, representatives, subsidiaries, affiliates, predecessors, and successors.
3. "NOVASPARK" means Defendant NovaSpark Technologies Inc., a Delaware corporation (Delaware File Number 7294183), including its officers, directors, employees, agents, contractors, consultants, representatives, subsidiaries, affiliates, predecessors, and successors.
4. "ANAND" means Defendant Rajiv Anand, individually.
5. "MALLICK" means Defendant Serena Mallick, individually.
6. "YUN" means Defendant Derek Yun, individually.
7. "DEFENDANTS" means NovaSpark, Anand, Mallick, and Yun, collectively and individually.
8. "LUMOSEDGE" means Lumos's flagship AI-driven financial analytics product, including all versions, iterations, modules, and components thereof, including without limitation the unreleased version known as "LumosEdge 3.0" and the ensemble machine-learning model architecture and associated proprietary neural-network topology and hyperparameter configurations that constitute the core of the LumosEdge platform.
9. "DATASTREAM" means Lumos's proprietary ETL (extract, transform, load) pipeline system, including all source code, codebase, data-schema definitions, configurations, documentation, data-ingestion connectors, and related technical components, together with all versions, branches, and modifications thereof.
10. "PIIAA" means the Proprietary Information and Inventions Assignment Agreement executed by each of Anand, Mallick, and Yun during their respective employment with Lumos, including all exhibits, schedules, amendments, and addenda thereto, and specifically including the restrictive covenant provisions contained therein, including non-competition, non-solicitation, and non-disclosure covenants.
11. "TRADE SECRETS" means all proprietary and confidential information of Lumos identified in the Verified Complaint filed in this action, including but not limited to: (1) the LumosEdge ensemble machine-learning model architecture, including proprietary neural-network topology and hyperparameter configurations; (2) proprietary feature-engineering libraries containing 2,847 individual engineered features for financial signal generation; (3) the DataStream ETL pipeline codebase and data-schema definitions covering ingestion from 43 alternative-data vendors; (4) curated and labeled training datasets of approximately 14.6 terabytes of historical financial and alternative data; and (5) confidential product roadmap documents for 2023–2025, including the LumosEdge 3.0 specifications as set forth in the 37-page LumosEdge 3.0 Product Roadmap PDF.
12. "BLACKPINE" means Blackpine Capital Partners LP, a Delaware limited partnership, including its general partner, officers, partners, managing directors, employees, agents, and representatives, with offices at 101 Mission Street, 38th Floor, San Francisco, California 94105, and specifically including its Managing Partner, Franklin Osei.
13. "PERSON" means any natural person, corporation, partnership, limited liability company, joint venture, association, trust, estate, governmental entity, or any other legal entity.
14. "COMMUNICATION" means any transmission or exchange of information, whether oral, written, or electronic, between or among two or more persons, including but not limited to letters, emails, text messages, instant messages, phone calls, voicemail messages, video calls, video conference sessions, and in-person conversations, as well as any record, memorialization, or summary of any such transmission or exchange.
15. "RELATING TO" or "CONCERNING" means referring to, reflecting, evidencing, describing, constituting, mentioning, pertaining to, connected with, commenting upon, responsive to, setting forth, showing, disclosing, explaining, summarizing, analyzing, or having any logical connection to the subject matter referenced.
16. "RELEVANT PERIOD" — Unless otherwise specified in a particular Request, the RELEVANT PERIOD for these Requests is January 1, 2022 through the date of production.
INSTRUCTIONS
The following Instructions apply to each and every Request set forth herein:
INSTRUCTION NO. 1 — Scope of Production. Each Request calls for the production of all responsive Documents within the possession, custody, or control of the responding Defendant. The term "possession, custody, or control" shall be interpreted broadly and includes Documents held directly by the responding Defendant, as well as Documents held by agents, employees, attorneys (to the extent not subject to a valid claim of privilege), accountants, consultants, forensic consultants, information technology service providers, cloud hosting providers, or other representatives or persons acting on the Defendant's behalf, where the responding Defendant has the legal right, authority, or practical ability to obtain such Documents on demand.
INSTRUCTION NO. 2 — Form of Production. Electronically stored information shall be produced in native format, preserving all associated metadata (including file creation dates, modification dates, author information, last-accessed dates, file paths, and hash values). Email shall be produced in MSG or EML format, preserving all header information, attachments, and folder-path metadata. Hard-copy documents shall be produced as image files (TIFF Group IV, single-page, 300 dpi minimum resolution, or searchable PDF) accompanied by extracted or OCR text files and concordance or Crestline Technologies-compatible load files (DAT and OPT). All documents shall be Bates-numbered using a consistent prefix and sequential numbering convention. Source code shall be produced in native format with the full directory structure and version-control metadata preserved. Where a document exists in both hard-copy and electronic form, the electronic version shall be produced. Each responsive document shall be identified by the specific Request number or numbers to which it is responsive.
INSTRUCTION NO. 3 — Privilege Log. For any Document withheld in whole or in part, or redacted, on the basis of any privilege (including, without limitation, the attorney-client privilege, the work product doctrine, or any other applicable privilege or protection), each Defendant shall provide a privilege log in compliance with California Code of Civil Procedure section 2031.240(b). Each entry on the privilege log shall identify, at a minimum: (a) the type and nature of the Document (e.g., email, memorandum, letter); (b) the date of the Document; (c) the author or sender of the Document; (d) the recipient(s) and any persons copied on the Document; (e) a description of the subject matter of the Document in sufficient detail to permit assessment of the privilege claim without revealing the privileged content; and (f) the specific privilege or protection asserted as the basis for withholding or redacting the Document.
INSTRUCTION NO. 4 — Continuing Obligation. These Requests impose a continuing obligation to supplement responses and production if and when additional responsive Documents are located, identified, created, or come into a Defendant's possession, custody, or control after the initial production. Any supplemental production shall be made promptly and in compliance with the same format requirements and Instructions set forth herein.
INSTRUCTION NO. 5 — Identification of Sources. To the extent Documents responsive to any Request are stored on cloud platforms (including, without limitation, Hollowell Health IT, Crestline Software, Larkspur Technologies, box, Meridian Systems, Cobalt Ridge Systems, Ridgeway Industries (Meridian Technologies), Crestline Systems, Aldermere Data Systems, Aldermere Software, Strathmore Solutions, Heroku, or any similar cloud-based platform), external storage devices (including USB drives, external hard drives, SD cards, or similar media), or personal devices (including personal laptops, desktops, tablets, or smartphones), each Defendant shall identify the specific source or location from which each responsive Document was collected and shall produce responsive Documents from each such source. Documents shall not be deduplicated across custodians without prior written agreement of the parties.
INSTRUCTION NO. 6 — Protective Order. All documents produced in response to these Requests are subject to the Stipulation and Order re: Protective Order entered in this action on March 15, 2023. Defendants may designate documents as "CONFIDENTIAL" or "ATTORNEYS' EYES ONLY" in accordance with the terms of that Protective Order. Any dispute regarding confidentiality designations shall be resolved in accordance with the procedures set forth in the Protective Order.
INSTRUCTION NO. 7 — Coordination with Forensic Examiner. Nothing in these Requests is intended to limit, supersede, or modify the scope of the forensic imaging, collection, and analysis being conducted by Brindoval Digital Forensics LLC ("Brindoval") pursuant to the Stipulation and Order Regarding Forensic Examination entered by the Court on March 8, 2023. These Requests are propounded independently of and in addition to the forensic examination process. To the extent documents collected by Brindoval are responsive to these Requests, Defendants remain obligated to produce such documents in accordance with these Requests and Instructions, unless the parties otherwise agree in writing to an alternative production protocol.
REQUESTS FOR PRODUCTION OF DOCUMENTS
REQUEST NO. 1 — NovaSpark Formation and Corporate Documents
All Documents relating to the formation, incorporation, and organization of NovaSpark Technologies Inc., including but not limited to: the certificate of incorporation (Delaware File Number 7294183) and any amendments thereto; bylaws and any amendments thereto; organizational resolutions; operating agreements; board of directors minutes and written consents; stockholder meeting minutes and written consents; stock ledgers; capitalization tables; equity incentive plans, including any stock option plans or restricted stock unit plans; stock option or equity award agreements granted to any person; and all amendments, supplements, and exhibits to any of the foregoing, from the date of NovaSpark's inception (October 3, 2022) to the present.
REQUEST NO. 2 — NovaSpark Funding and Investment Documents
All Documents relating to the funding, financing, and capitalization of NovaSpark, including but not limited to: term sheets; subscription agreements; stock purchase agreements; convertible note or SAFE (Simple Agreement for Future Equity) instruments; investor rights agreements; right of first refusal and co-sale agreements; voting agreements; investor presentations and pitch decks; financial projections; business plans; executive summaries; due diligence materials prepared by or for NovaSpark or any investor; side letters; and all Communications with any investor or potential investor, including but not limited to Blackpine Capital Partners LP and its Managing Partner Franklin Osei, relating to NovaSpark's $12 million seed round closed on or about November 15, 2022, or any other fundraising effort, capital raise, or financing transaction by NovaSpark, from January 1, 2022 to the present.
REQUEST NO. 3 — Blackpine Capital Partners Pitch Materials
All Documents submitted to, prepared for, shared with, or received from Blackpine Capital Partners LP or any of its partners, officers, employees, or agents, in connection with NovaSpark's seed funding round or any other investment or potential investment by Blackpine in NovaSpark, including but not limited to: pitch decks; investor memoranda; business plans; technology descriptions and technical overviews; product demonstrations, screenshots, and videos; competitive analyses; market analyses; financial models and projections; due diligence questionnaires, requests, and responses; data room indices and contents; reference lists; and all correspondence and Communications exchanged between any Defendant and Blackpine or Franklin Osei, from September 1, 2022 to the present.
REQUEST NO. 4 — Lumos Proprietary Materials in Defendants' Possession
All Documents constituting, containing, referencing, derived from, or incorporating any Trade Secrets or proprietary or confidential information of Lumos Analytics Inc. that are or were at any time in the possession, custody, or control of any Defendant, including but not limited to:
(a) LumosEdge ensemble machine-learning model architecture specifications, neural-network topology files (including but not limited to TensorFlow, PyTorch, or ONNX model definition files), and hyperparameter configuration files;
(b) Feature-engineering libraries or any portion thereof, including any of the 2,847 individually engineered features for financial signal generation, whether in source code, compiled, or documented form;
(c) DataStream ETL pipeline source code, data-schema definitions, configuration files, ingestion connector code, or documentation, in any format;
(d) Curated and labeled training datasets, or any subset, sample, derivative, or extract thereof, including any of the approximately 14.6 terabytes of historical financial and alternative data compiled by Lumos;
(e) The LumosEdge 3.0 Product Roadmap (37-page PDF), or any version, excerpt, summary, derivative, annotation, or copy thereof; and
(f) Any other Document of Lumos that was not authorized for removal, retention, or use by any Defendant following separation from Lumos employment.
REQUEST NO. 5 — Anand's Data Transfers on September 26, 2022
All Documents relating to Rajiv Anand's transfer of approximately 3.2 gigabytes of files to a personal Hollowell Health IT account (or any other personal cloud storage or local storage location) on or about September 26, 2022, including but not limited to: all files transferred or copied in connection with that transfer event; Hollowell Health IT activity and audit logs reflecting the upload, download, sharing, or modification of those files; browser history and download records from any device used to effectuate the transfer; screenshots or screen recordings depicting the transfer; and any Communications between Anand and any other person regarding the transfer, whether before, during, or after it occurred.
REQUEST NO. 6 — Anand's Forwarding of LumosEdge 3.0 Roadmap
All Documents relating to Rajiv Anand's forwarding of the confidential LumosEdge 3.0 Product Roadmap PDF to the email address r.anand.personal@vaultmail.com on or about September 28, 2022, including but not limited to: the email message and its attachment as sent and as received; all contents of the r.anand.personal@vaultmail.com email account that relate in any way to Lumos, NovaSpark, or the subject matter of this litigation; all subsequent transmissions, forwards, copies, downloads, printouts, or distributions of the Roadmap document to any person or entity; and any Communications between Anand and any other person regarding the forwarding, possession, or use of the Roadmap document.
REQUEST NO. 7 — Mallick's Copying of DataStream Repository
All Documents relating to Serena Mallick's cloning or copying of the DataStream ETL pipeline repository (in whole or in part) to a personal external USB drive bearing serial number WD-4837291 on or about October 10, 2022, including but not limited to: a complete listing and copies of all files cloned or copied to the USB drive in connection with that event; system logs, access logs, and audit trail records from Lumos's code repositories or servers reflecting the cloning or copying event; the current and historical contents of USB drive WD-4837291 in their entirety; forensic images of the USB drive; and any subsequent transfers, copies, uploads, or distributions of files from the USB drive to any other device, repository, cloud storage location, or person, from October 10, 2022 to the present.
REQUEST NO. 8 — Yun's Download of Jupyter Notebooks
All Documents relating to Derek Yun's download of 47 proprietary Jupyter notebooks containing feature-engineering code and model-training scripts to a personal Larkspur Technologies account on or about October 18, 2022, including but not limited to: the 47 Jupyter notebooks themselves, in their original and any modified form; Larkspur Technologies activity logs, event logs, and sync history reflecting the upload, access, modification, sharing, or download of those notebooks; any subsequent transfers, copies, modifications, annotations, or distributions of those notebooks to or from any device, storage location, or person; and any Communications between Yun and any other person regarding the notebooks, their download, or their use, from October 18, 2022 to the present.
REQUEST NO. 9 — Communications Among Defendants Regarding Departure from Lumos
All Communications among Rajiv Anand, Serena Mallick, and Derek Yun, in any combination of two or more of them, relating to or concerning:
(a) Their respective departures, planned departures, or potential departures from employment at Lumos, including the timing and circumstances of their resignations;
(b) The formation of, planning for, or employment at NovaSpark Technologies Inc., including discussions about roles, equity, compensation, business strategy, product vision, or hiring;
(c) The taking, copying, downloading, retention, use, or possession of any Lumos proprietary information, Trade Secrets, confidential documents, source code, data, or other company materials;
(d) The competitive opportunities, market positioning, or competitive advantages of NovaSpark vis-à-vis Lumos, including any discussions regarding Lumos's technology, customers, or business plans;
from January 1, 2022 to the present. This Request encompasses Communications transmitted via any medium, including but not limited to email, text message, instant message (Meridian Solutions, Teams, Harborline Technologies, Meridian Services Inc., Kestrel Data Systems, or any other platform), phone calls (to the extent memorialized or recorded), video calls, and in-person conversations (to the extent memorialized in any Document).
REQUEST NO. 10 — Communications Regarding Lumos Technology
All Communications between or among any Defendant and any third party, including but not limited to Blackpine Capital Partners LP and Franklin Osei, any NovaSpark employees or contractors, any potential investors, any actual or prospective customers, and any business partners or strategic contacts, relating to or concerning Lumos's technology, products, services, Trade Secrets, proprietary information, competitive position, strengths, weaknesses, customers, customer relationships, pricing, business strategies, product roadmap, or technical capabilities, from January 1, 2022 to the present.
REQUEST NO. 11 — NovaSpark Product Development Records
All Documents relating to the design, development, engineering, programming, testing, quality assurance, and deployment of any product, software application, algorithm, machine-learning model, data pipeline, or technology by or for NovaSpark, including but not limited to:
(a) Source code repositories and complete commit histories from all version control systems, including Aldermere Data Systems, Aldermere Software, Strathmore Solutions, or any private or self-hosted repositories;
(b) Architecture documents, system design documents, and design specifications;
(c) Feature lists, feature specifications, and user story descriptions;
(d) Technical roadmaps, product roadmaps, and strategic planning documents;
(e) Sprint plans, sprint retrospectives, and release plans;
(f) Project management records from Jira, Sterling Reach Services Inc., Trello, Linear, Notion, or any similar project management tool;
(g) Code review records, pull request discussions, merge request discussions, and related commentary;
(h) Technical meeting notes, engineering meeting agendas and minutes, stand-up notes, and brainstorming session records;
(i) Testing documentation, test plans, test results, bug reports, and quality assurance records;
(j) Deployment records, release notes, and infrastructure configuration documents;
from the inception of NovaSpark (October 3, 2022) to the present.
REQUEST NO. 12 — NovaSpark Source Code and Repositories
All source code, object code, compiled binaries, scripts, configuration files, environment files, model weights, model checkpoints, hyperparameter files, Jupyter notebooks, computational notebooks, data processing scripts, and related technical files created, modified, accessed, or stored by or for NovaSpark on any platform, system, device, or repository, together with complete version control metadata showing the authorship, committer identity, timestamps, commit messages, branch history, merge history, and change history for each file, from October 3, 2022 to the present. This Request includes all repositories (whether public or private), all branches (including archived, deleted, or abandoned branches to the extent recoverable), and all forks or clones of NovaSpark repositories.
REQUEST NO. 13 — Comparison or Derivation from Lumos Materials
All Documents, analyses, comparisons, assessments, reports, or memoranda conducted by, prepared by, or prepared for any Defendant relating to the similarity, overlap, derivation, adaptation, modification, or relationship of NovaSpark technology, code, algorithms, models, data pipelines, or features from or based on any Lumos proprietary information, Trade Secrets, or technology. This Request includes, without limitation, any "clean room" development protocols, independent development documentation, design-around analyses, or any other assessment of the provenance or originality of NovaSpark's technology in relation to Lumos's technology.
REQUEST NO. 14 — Personal Devices and Storage Media
All Documents identifying and describing every personal electronic device (including laptops, desktops, tablets, and smartphones), external storage device (including USB drives, external hard drives, SD cards, and similar removable media), and cloud storage account (including Hollowell Health IT, Crestline Software, Larkspur Technologies, Meridian Systems, Cobalt Ridge Systems, box, Meridian Technologies S3, or any similar cloud-based storage service) owned, used, or controlled by each individual Defendant — Anand, Mallick, and Yun — that at any time contained, stored, accessed, or transmitted: (a) any Lumos proprietary information or Trade Secrets; or (b) any NovaSpark work product, source code, business documents, or Communications. For each such device or account, provide the make, model, serial number, storage capacity, operating system, and current status (e.g., in use, decommissioned, reformatted, destroyed, or surrendered to Brindoval Digital Forensics LLC).
REQUEST NO. 15 — PIIAAs and Employment Agreements
All Documents constituting, evidencing, or relating to the Proprietary Information and Inventions Assignment Agreements (PIIAAs) executed by each of Rajiv Anand, Serena Mallick, and Derek Yun with Lumos Analytics Inc., including the restrictive covenant provisions contained therein (including non-competition, non-solicitation, and non-disclosure covenants), and including all exhibits, schedules, amendments, addenda, and side agreements thereto. This Request also includes all other employment agreements, offer letters, employment confirmation letters, promotion letters, compensation agreements, equity award agreements, separation agreements, severance agreements, or restrictive covenant agreements between Lumos and each individual Defendant, as well as any Documents relating to the negotiation, execution, or interpretation of any such agreement.
REQUEST NO. 16 — Return or Deletion of Lumos Materials Upon Separation
All Documents relating to any steps taken (or not taken) by any Defendant to return, delete, destroy, or otherwise dispose of Lumos proprietary information, Trade Secrets, or company materials upon or after separation from Lumos employment, including but not limited to: any certifications of return or destruction of company property; IT exit checklists or offboarding forms; Communications between any Defendant and Lumos's human resources, IT, legal, or management personnel regarding the return of materials; records of device wipes, deletions, or reformatting; and any Communications among Defendants or between any Defendant and any third party regarding the retention, disposal, or return of Lumos materials.
REQUEST NO. 17 — NovaSpark Employee and Contractor Records
All Documents identifying every employee, contractor, consultant, advisor, or other individual who has performed work for or on behalf of NovaSpark from October 3, 2022 to the present, including for each such individual: full name; title or role; primary areas of responsibility; dates of engagement or employment; nature of the engagement (full-time employee, part-time employee, independent contractor, consultant, or advisor); and compensation structure (to the extent not subject to a valid privacy objection). This Request also includes all employment agreements, consulting agreements, contractor agreements, advisor agreements, non-disclosure agreements, proprietary information agreements, and any restrictive covenant agreements executed by any such individual with NovaSpark or any Defendant.
REQUEST NO. 18 — NovaSpark Customer and Business Development Materials
All Documents relating to NovaSpark's marketing, sales, business development, customer acquisition, customer engagement, or customer retention efforts, including but not limited to: customer lists and prospect lists; marketing materials, brochures, and white papers; product demonstrations and demo recordings; sales proposals and pricing sheets; engagement letters and customer contracts; service level agreements; and all Communications with any actual or prospective customer or business partner, from October 3, 2022 to the present. This Request is specifically directed at identifying any overlap between NovaSpark's customer base or target customer base and Lumos's customer base, as well as any use by any Defendant of Lumos customer data, customer relationship information, customer contact information, or customer-specific data pipeline configurations in NovaSpark's business development activities.
REQUEST NO. 19 — NovaSpark Financial Records
All Documents relating to NovaSpark's financial condition, operations, revenue, expenses, assets, and liabilities, including but not limited to: bank statements from all accounts; financial statements (balance sheets, income statements, cash flow statements), whether audited or unaudited; general ledger entries; budgets and budget-to-actual reports; tax returns (federal and state); payroll records; invoices issued and received; receipts; expense reports; accounts payable and accounts receivable records; and records of all wire transfers, ACH payments, and check disbursements, from October 3, 2022 to the present.
REQUEST NO. 20 — Communications with Counsel Regarding Lumos Claims
All non-privileged Documents relating to any discussions, assessments, analyses, or actions by any Defendant concerning the potential or actual claims by Lumos Analytics Inc. against any Defendant regarding misappropriation of trade secrets, breach of the PIIAAs, breach of fiduciary duty, unfair competition, or any other claim asserted or threatened in this litigation or in the cease-and-desist correspondence preceding this litigation, including Communications with any person other than Defendants' counsel of record at Whitfield, Raines & Gerber LLP. For the avoidance of doubt, Plaintiff does not seek production of communications protected by the attorney-client privilege or work product doctrine, but does seek all non-privileged Communications relating to Lumos's claims, including Communications among Defendants and Communications between any Defendant and third parties such as investors, employees, contractors, or business associates.
REQUEST NO. 21 — Data Vendor Agreements and Alternative Data Sources
All Documents relating to NovaSpark's relationships with alternative-data vendors, data providers, data aggregators, or data sources, including but not limited to: data license agreements and subscriptions; data purchase agreements; vendor onboarding and integration documentation; invoices and payment records; Communications with data vendors; records of data ingestion, data feeds, API integrations, and data pipeline configurations; and any internal assessments or evaluations of data vendors or data sources, from October 3, 2022 to the present. This Request is directed at determining whether NovaSpark's data pipeline incorporates, replicates, or is derived from any of the 43 alternative-data vendor integrations built into Lumos's DataStream system, including the specific vendor connections, ingestion protocols, data schemas, and transformation logic.
REQUEST NO. 22 — Preservation and Litigation Hold Records
All Documents relating to any steps taken by any Defendant to preserve, collect, segregate, or protect documents and electronically stored information in connection with this litigation or in anticipation of this litigation, including in response to the cease-and-desist letters sent by Calderwood & Harkness LLP on behalf of Lumos on January 9, 2023. This Request includes, without limitation: litigation hold notices issued by or to any Defendant; custodian acknowledgment forms or confirmations; Communications with IT personnel, systems administrators, or forensic consultants regarding the identification, preservation, or collection of potentially relevant documents and ESI; documents reflecting the scope and implementation of any document preservation or litigation hold protocols; and any documents reflecting the loss, destruction, alteration, or non-preservation of potentially relevant documents or ESI, whether intentional or inadvertent.
REQUEST NO. 23 — Insurance Policies
All Documents constituting or relating to any insurance policy held by or available to NovaSpark Technologies Inc. or any individual Defendant that may provide coverage, indemnification, or a duty to defend in connection with any of the claims asserted in this action, including but not limited to: directors and officers (D&O) liability insurance; errors and omissions (E&O) insurance; technology errors and omissions insurance; cyber liability insurance; employment practices liability insurance; and commercial general liability insurance. This Request includes the policies themselves, all endorsements, riders, amendments, and exclusions, as well as all correspondence with any insurer regarding coverage, notice of claims, reservation of rights, or denial of coverage.
REQUEST NO. 24 — Communications Regarding the Preliminary Injunction
All non-privileged Communications among Defendants, or between any Defendant and any third party (other than Defendants' counsel of record at Whitfield, Raines & Gerber LLP), relating to compliance with, reaction to, or implementation of the Temporary Restraining Order issued by the Honorable David Rutherford on January 23, 2023, or the Preliminary Injunction Order issued on February 17, 2023, including but not limited to: any steps taken to comply with the terms of those Orders; any difficulties, challenges, or impediments encountered in compliance; any documents reflecting the quarantining, sequestration, or return of Lumos materials; any discussions regarding the scope or interpretation of the Orders; and any Communications reflecting concerns about the impact of the Orders on NovaSpark's business operations or product development activities.
REQUEST NO. 25 — Anand's Pre-Departure Planning for NovaSpark
All Documents relating to Rajiv Anand's planning, preparation, or actions taken while still employed by Lumos Analytics Inc. in furtherance of founding NovaSpark Technologies Inc. or competing with Lumos, including but not limited to:
(a) Business plans, business concepts, business model canvases, or strategic plans relating to a new venture or enterprise that would compete with Lumos;
(b) Financial projections, pro forma financial statements, or funding estimates prepared in connection with such a venture;
(c) Communications with potential co-founders, including Mallick and Yun, regarding the formation of or participation in NovaSpark;
(d) Communications with potential investors, including Blackpine Capital Partners LP and Franklin Osei, regarding investment in NovaSpark or any predecessor concept;
(e) Domain name registrations, website development, branding, or marketing activities for NovaSpark or any predecessor entity;
(f) Corporate formation documents, including engagement of legal counsel, formation of the Delaware entity, appointment of a registered agent, and adoption of initial organizational documents;
(g) Recruitment or solicitation of any Lumos employee, contractor, or consultant to join NovaSpark;
(h) Any actions taken to divert, appropriate, or prepare to use Lumos's proprietary information, Trade Secrets, customer relationships, or business opportunities for the benefit of NovaSpark;
from January 1, 2022 through Anand's resignation from Lumos on September 30, 2022.
Dated: March 20, 2023
CALDERWOOD & HARKNESS LLP
By: ________
Marcus Delgado Catherine Bloom Wendy Schultz Omar Siddiqui
CALDERWOOD & HARKNESS LLP 555 California Street, 40th Floor San Francisco, California 94104 Telephone: (415) 555-7200 Facsimile: (415) 555-7201
Attorneys for Plaintiff LUMOS ANALYTICS INC.
PROOF OF SERVICE
STATE OF CALIFORNIA, COUNTY OF SAN FRANCISCO
I, Omar Siddiqui, am employed in the County of San Francisco, State of California. I am over the age of eighteen (18) years and not a party to the within action. My business address is Calderwood & Harkness LLP, 555 California Street, 40th Floor, San Francisco, California 94104.
On March 20, 2023, I caused a true and correct copy of the foregoing document, entitled:
PLAINTIFF LUMOS ANALYTICS INC.'S FIRST SET OF REQUESTS FOR PRODUCTION OF DOCUMENTS TO DEFENDANTS NOVASPARK TECHNOLOGIES INC., RAJIV ANAND, SERENA MALLICK, AND DEREK YUN
to be served on the parties listed below by the following means:
BY ELECTRONIC SERVICE: I caused the above-referenced document to be served electronically via the Court's electronic filing and service system and by email to the following counsel of record:
Patricia Whitfield, Esq. Whitfield, Raines & Gerber LLP 235 Montgomery Street, Suite 1800 San Francisco, California 94104
Email: pwhitfield@wrglaw.com
Attorneys for Defendants NovaSpark Technologies Inc., Rajiv Anand, Serena Mallick, and Derek Yun
Samuel Gerber, Esq. Whitfield, Raines & Gerber LLP 235 Montgomery Street, Suite 1800 San Francisco, California 94104
Email: sgerber@wrglaw.com
Attorneys for Defendants NovaSpark Technologies Inc., Rajiv Anand, Serena Mallick, and Derek Yun
I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct.
Executed on March 20, 2023, at San Francisco, California.
________________________________________
Omar Siddiqui
LUMOS ANALYTICS INC., a Delaware corporation, | Case No. 23-CV-004871
Plaintiff, | PLAINTIFF LUMOS ANALYTICS INC.'S FIRST SET OF REQUESTS FOR PRODUCTION OF DOCUMENTS TO DEFENDANTS NOVASPARK TECHNOLOGIES INC., RAJIV ANAND, SERENA MALLICK, AND DEREK YUN
v.
NOVASPARK TECHNOLOGIES INC., a Delaware corporation; RAJIV ANAND, an individual; SERENA MALLICK, an individual; DEREK YUN, an individual, | Assigned to: Hon. David Rutherford, Dept. 5
Defendants.
Propounding Party: | Plaintiff Lumos Analytics Inc.
Responding Parties: | Defendants NovaSpark Technologies Inc., Rajiv Anand, Serena Mallick, and Derek Yun
Set Number: | One

SUPERIOR COURT OF THE STATE OF CALIFORNIA

COUNTY OF SANTA CLARA

PREFATORY STATEMENT

DEFINITIONS

INSTRUCTIONS

REQUESTS FOR PRODUCTION OF DOCUMENTS

CALDERWOOD & HARKNESS LLP

PROOF OF SERVICE

STATE OF CALIFORNIA, COUNTY OF SAN FRANCISCO

Record

Parties

Dates

Amounts