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Antitrust Case Filings

United States
v.
Apple, Inc., Hachette Book Group, Inc., HarperCollins Publishers L.L.C., Verlagsgruppe Georg Von Holtzbrinck GmbH, Holtzbrinck Publishers, LLC d/b/a Macmillan, the Penguin Group, a Division of Pearson PLC, Penguin Group (USA), Inc., and Simon & Schuster, Inc.

Trial Exhibits

On this page:


Government Exhibits

PX-0002

Apple/Penguin agency agreement (January 25, 2010)

PX-0003

Apple/Macmillan agency agreement (January 25, 2010)

PX-0004

Apple/Simon & Schuster agency agreement (January 25, 2010)

PX-0020

E-mail exchange between Eddy Cue and John Sargent re "Update" (January 23, 2010)

PX-0021

E-mail from Eddy Cue to Carolyn Reidy re "iTunes" (January 4, 2010)

PX-0023

E-mail from Keith Moerer to Eddy Cue re "updated NYT bestseller comparisons" (January 9, 2010)

PX-0026

E-mail from Eddy Cue to Steve Jobs re "Book Publisher Update" (January 13, 2010)

PX-0027

E-mail from Eddy Cue to Steve Jobs re "Amazon Kindle on iPhone" (February 19, 2009)

PX-0029

E-mail from Eddy Cue to David Shanks re "Announcement" (January 22, 2010)

PX-0031

E-mail from Keith Moerer to Eddy Cue "NYT bestseller comparisons" (January 6, 2010)

PX-0032

E-mail from Steve Jobs to Eddy Cue re "HarperCollins" (January 24, 2010)

PX-0034

E-mail from Eddy Cue to Steve Jobs re "Book Prices Thoughts" (January 14, 2010)

PX-0036

E-mail from Keith Moerer to Eddy Cue re "New Info Today" (December 17, 2009)

PX-0037

E-mail from Eddy Cue to John Sargent re "iTunes" (January 21, 2010)

PX-0039

E-mail from Keith Moerer to Eddy Cue re "a few thoughts" (December 18, 2009)

PX-0040

E-mail from Eddy Cue to David Shanks re "iTunes" (January 5, 2010)

PX-0041

E-mail from Eddy Cue to David Young re "iTunes" (January 4, 2010)

PX-0042

E-mail from Eddy Cue to Steve Jobs re "Book Publisher Update" (January 21, 2010)

PX-0043

E-mail from Eddy Cue to Steve Jobs re "Book Publisher Update" (December 21, 2009)

PX-0045

E-mail from Eddy Cue to David Shanks re "iTunes" (January 25, 2010)

PX-0046

E-mail from Steve Jobs re "Macmillan" (January 31, 2010)

PX-0050

E-mail from Eddy Cue to Steve Jobs re "Publisher Update" (December 15, 2009)

PX-0053

E-mail from Eddy Cue to John Sargent re "URGENT!!" (January 31, 2010)

PX-0055

E-mail from Steve Jobs to Eddy Cue re "Book Prices Thoughts" (January 14, 2010)

PX-0056

E-mail from Eddy Cue to Markus Dohle re "iTunes" (December 18, 2009)

PX-0058

E-mail from Eddy Cue to Steve Jobs re "Book Pricing update" (April 3, 2010)

PX-0059

E-mail from Eddy Cue to David Young re "iTunes update" (January 16, 2010)

PX-0062

E-mail from Eddy Cue to Greg Joswiak re "The iBookstore six months after launch: One big failure" (October 14, 2010)

PX-0063

E-mail from John Sargent to Russell Grandinetti re Macmillan/Amazon negotiations (February 2, 2010)

PX-0065

E-mail from Pete Alcorn to Oliver Schusser re "today" (April 13, 2010)

PX-0066

E-mail from Keith Moerer to David Shanks re "our meeting tomorrow" (January 11, 2010)

PX-0067

E-mail from Keith Moerer to Eddy Cue re "Call @ 12:30 AM TONIGHT!!!" (May 20, 2010)

PX-0074

E-mail from David Young to John Sargent re "Brilliant news!" (January 31, 2010)

PX-0075

E-mail from John Makinson to John Sargent expressing admiration (February 2, 2010)

PX-0076

E-mail from John Sargent to Eddy Cue re "iTunes" (January 6, 2010)

PX-0079

E-mail from John Sargent to Jim LeRose re iPad (January 28, 2010)

PX-0084

E-mail from Eddy Cue to John Sargent re "iTunes Update" (January 21, 2010)

PX-0086

PowerPoint presentation entitled "eBooks U.S. Update" (printed copy of native presentation attached) (May 6, 2009)

PX-0087

E-mail from John Sargent to Lisa Scottoline re "Sun-Tzu and the E-Book" (December 14, 2009)

PX-0088

E-mail from Daniel Schwartz to Macmillan executives attaching PowerPoint presentation entitled "Digital Trade: Discussion Document" (November 19, 2009)

PX-0091

E-mail from John Sargent to Stefan von Holtzbrinck forwarding message from Arnaud Nourry (January 31, 2010)

PX-0094

E-mail exchange between John Sargent and Benita Somerfield re "Congratulations?" (February 9, 2010)

PX-0095

E-mail from John Sargent to Stefan von Holtzbrinck re Apple negotiations (December 22, 2009)

PX-0097

E-mail from John Sargent to Stefan von Holtzbrinck and Reudiger Salat re "Amazon as a publisher" (May 6, 2011)

PX-0099

E-mail from John Sargent to Eddy Cue re "iTunes" (December 21, 2009)

PX-0112

E-mail from David Shanks to Dick Heffernan re "BIG NEWS" (December 11, 2009)

PX-0114

Memo from John Schline to David Shanks, Susan Petersen Kennedy, and John Makinson re "Ebooks talking points" (metadata page is first page of the exhibit) (March 10, 2010)

PX-0115

E-mail exchange between David Shanks and Marilyn Ducksworth, Rebecca Sinclair, and John Makinson re "Motoko already called -- Re: Macmillan CEO, re Amazon, to authors-agents" (January 31, 2010)

PX-0116

E-mail from David Shanks to Susan Kennedy re "Partners" (March 5, 2010)

PX-0118

E-mail from William Lynch to David Shanks re "A question" (June 22, 2010)

PX-0120

E-mail from Eddy Cue to David Shanks re "iTunes Update" (January 16, 2010)

PX-0121

E-mail from David Shanks to John Makinson and Genevieve Shore re "Zee mobile" (September 15, 2009)

PX-0133

"Penguin Three Year Plan 2009" (August 4, 2009)

PX-0148

E-mail from Erin Crum to Brian Murray re "FOR REVIEW: Exec notes," attaching notes of Dec. 21, 2009 HarperCollins Executive Committee Meeting (January 6, 2010)

PX-0153

Carolyn Reidy call log

PX-0159

Carolyn Reidy handwritten notes (December 16, 2009)

PX-0160

Carolyn Reidy call log

PX-0162

Carolyn Reidy call log

PX-0173

E-mail from Kevin Saul to Eddy Cue re "Amazon Pulls Macmillan Books Over E-Book Price Disagreement -- Bits Blog -- NYTimes.com" (January 30, 2010)

PX-0174

E-mail from Madeline McIntosh to other Random House executives re "call with Keith from Apple" (January 10, 2010)

PX-0192

E-mail from Amanda Close to other Random House executives re "Apple Call Update" (January 15, 2010)

PX-0195

E-mail from Steve Jobs to Eddy Cue re "Book Prices Thoughts" (January 14, 2010)

PX-0208

"Executive Minutes" of Sept. 15, 2008 HarperCollins conference call (September 15, 2008)

PX-0215

E-mail from John Sargent to Stefan von Holtzbrinck re "Hachette" (December 30, 2008)

PX-0224

E-mail exchange between David Shanks and John Makinson re "iTunes Update" (January 25, 2010)

PX-0248

E-mail from Kevin Saul to John Sargent re "Apple," attaching draft agency agreement (January 11, 2010)

PX-0249

E-mail from Kevin Saul to Brian Murray re "Apple," attaching draft agency agreement (January 11, 2010)

PX-0262

E-mail from Kevin Saul to Keith Moerer re "Kevin travel to NY" (December 13, 2009)

PX-0268

E-mail exchange between Steve Riggio and Mike Ferrari re "eBook Pricing and Proposed Terms" (April 14, 2009)

PX-0274

E-mail exchange between Arnaud Nourry and David Young re "scanned eBook article" (August 14, 2009)

PX-0280

E-mail from David Shanks to Tim McCall re "iTunes Update" (January 21, 2010)

PX-0281

E-mail from Maja Thomas to David Young re "iTunes" (January 4, 2010)

PX-0284

E-mail exchange between Eddy Cue and David Shanks re "Amazon" (May 26, 2010)

PX-0285

E-mail from Kevin Saul to David Young re "Apple," attaching draft agency agreement (January 11, 2010)

PX-0286

E-mail from Kevin Saul to Carolyn Reidy re "Apple," attaching draft agency agreement (January 11, 2010)

PX-0297

E-mail from David Young to Sophie Cottrell, Maja Thomas, and Carol Ross re "Hi. Are you free?" (December 8, 2009)

PX-0298

E-mail from Arnaud Nourry to Eddy Cue re Apple discussions (December 15, 2009)

PX-0299

E-mail from David Young to Carolyn Reidy re Eddy Cue's contact information (December 17, 2009)

PX-0304

E-mail from Brian Murray to Charlie Redmayne re proposal for Apple (December 10, 2009)

PX-0306

E-mail from Eddy Cue to Brian Murray re "iTunes" (January 5, 2010)

PX-0307

E-mail from Brian Murray to himself re "Apple thoughts" (January 20, 2010)

PX-0308

E-mail from Charlie Redmayne to Jonathan Miller, forwarded to Brian Murray, re Apple negotiations (January 22, 2010)

PX-0309

E-mail from Brian Murray to Russell Grandinetti and David Naggar re "Agency terms specifics" (January 22, 2010)

PX-0310

E-mail from Charlie Redmayne to Brian Murray re Apple negotiations (January 21, 2010)

PX-0312

"HarperCollins CEO Report November 2009" (November 24, 2009)

PX-0314

E-mail from Brian Murray to Charlie Redmayne re meeting invitation from Apple (December 8, 2009)

PX-0315

E-mail from Fritz Foy to Theresa Horner re "After the revolution" (April 13, 2010)

PX-0317

E-mail from Rick Kot to Tim McCall and Kent Anderson re Random House (March 24, 2010)

PX-0322

E-mail from Kevin Saul to David Shanks re "Apple" (January 11, 2010)

PX-0334

E-mail from Genevieve Shore to Penguin/Pearson executives re Penguin's agreement with Apple (January 21, 2010)

PX-0336

E-mail from Markus Dohle to other Random House executives re Apple negotiations (December 22, 2009)

PX-0341

E-mail from Carolyn Reidy to Dennis Eulau and Elisa Rivlin re "APPLE" (February 11, 2010)

PX-0343

E-mail from Carolyn Reidy to herself re "how to get Amazon to change its pricing" (September 23, 2009)

PX-0344

E-mail exchange between Leslie Moonves and Carolyn Reidy re "Ebooks" (September 23, 2009)

PX-0349

E-mail exchange between Leslie Moonves and Carolyn Reidy re "Ebook Timing" (December 9, 2009)

PX-0355

E-mail from Carolyn Reidy to Dennis Eulau and Michael Selleck re "iTunes" (January 4, 2010)

PX-0359

Elinor Hirschhorn handwritten notes from meeting with Apple (December 16, 2009)

PX-0367

E-mail from Brian Napack to John Sargent, Fritz Foy, and Steve Cohen re "Wow John!" (February 2, 2011)

PX-0448

E-mail from Brian Murray to Markus Dohle re availability for a phone call (December 10, 2009)

PX-0456

E-mail from Brian Murray to Verne Kenney re "Hachette conversation today" (December 11, 2009)

PX-0461

E-mail from William Lynch to "B&N.com Leadership" re "Board Meeting" (December 15, 2009)

PX-0470

Memorandum from John Sargent to "Macmillan Authors and Illustrators" re Macmillan/Amazon negotiations, accessed from "Publishers Lunch" by Keith Moerer (February 4, 2010)

PX-0473

E-mail from Eddy Cue to Markus Dohle re "iTunes" (January 4, 2010)

PX-0476

E-mail from Eddy Cue to John Sargent re "iTunes" (January 4, 2010)

PX-0482

E-mail from David Naggar to Laura Porco and Tim Leslie re attached "agency summary.docx" (January 27, 2010)

PX-0487

E-mail from Eddy Cue to Keith Moerer re "Random House update" (January 10, 2010)

PX-0488

E-mail from Steve Riggio to William Lynch re "The next big thing" (January 15, 2010)

PX-0491

E-mail from Robert Eldridge to other Amazon executives, forwarded to Jeff Bezos, re "From NewsCorp Earnings Transcript -- Just completed" (February 2, 2010)

PX-0501

E-mail from Eddy Cue to John Sargent re "iTunes" (December 19, 2009)

PX-0502

E-mail from Eddy Cue to Carolyn Reidy re "iTunes" (December 18, 2009)

PX-0507

E-mail from Eddy Cue to Brian Murray re HarperCollins negotiations (January 23, 2010)

PX-0510

E-mail from Carolyn Reidy to Leslie Moonves re "Ebooks" (December 17, 2009)

PX-0511

E-mail from Eddy Cue to Carolyn Reidy re "iTunes update" (January 16, 2010)

PX-0512

E-mail from Eddy Cue to John Sargent re "iTunes update" (January 16, 2010)

PX-0513

E-mail from Eddy Cue to Brian Murray re "iTunes update" (January 16, 2010)

PX-0514

Walter Isaacson, "Steve Jobs," Chapter 38 ("The iPad") (October 24, 2011)

PX-0518

E-mail from Madeline McIntosh to Markus Dohle re "RH Ebook/Deep Backlist Titles" (September 29, 2010)

PX-0519

E-mail from Steve Jobs to Eddy Cue re "Some great news" (December 18, 2010)

PX-0521

E-mail from Maja Thomas to David Young re "Apple" (January 19, 2010)

PX-0522

E-mail from Keith Moerer to David Shanks re "our meeting tomorrow" (January 11, 2010)

PX-0523

E-mail from Keith Moerer to Carolyn Reidy re "meeting in New York" (January 11, 2010)

PX-0528

E-mail from Madeline McIntosh to Markus Dohle re "Eddy Cue" (April 21, 2010)

PX-0529

PowerPoint presentation entitled "HarperCollins Agents Catch-Up" (February 10, 2010)

PX-0537

E-mail from Carolyn Reidy to Leslie Moonves re "Apple" (January 18, 2010)

PX-0540

E-mail exchange between Dennis Eulau and Carolyn Reidy re "Apple -- CONFIDENTIAL" (December 22, 2009)

PX-0552

E-mail from Theresa Horner to Anne O'Malley re "eBooks Membership suggestion" (June 4, 2010)

PX-0563

E-mail from Arnaud Nourry to Catherine Cussigh re "iTunes Update" (January 21, 2010)

PX-0569

E-mail from Eddy Cue to Jonathan Miller re "iTunes Book Update" (January 24, 2010)

PX-0604

E-mail from Eddy Cue to Carolyn Reidy, forwarded to Elisa Rivlin, re "Term" (January 23, 2010)

PX-0607

E-mail from Carolyn Reidy to Elisa Rivlin re "Apple" (January 29, 2010)

PX-0608

E-mail from Eddy Cue to Carolyn Reidy re "iTunes update" (contains handwritten marginalia) (January 16, 2010)

PX-0613

E-mail from Eddy Cue to Carolyn Reidy re "Thanks" (January 26, 2010)

PX-0615

Video of Walt Mossberg interview with Steve Jobs (native video file) (January 27, 2010)

PX-0637

E-mail from Brian Murray to Leslie Hulse, Charlie Redmayne, and Ana Maria Allessi re "Apple Cheat Sheet" (January 27, 2010)

PX-0643

E-mail from Theresa Horner to Dick Heffernan re "A question" (June 23, 2010)

PX-0673

E-mail from John Sargent to Stefan von Holtzbrinck and Annette Thomas (July 21, 2009)

PX-0682

E-mail from Moe Girkins to Verne Kenney, Steven Sammons, and Tim Close re "Delaying ebooks" (November 5, 2009)

PX-0686

E-mail from Steve Jobs to Eddy Cue re "Book Prices Thoughts" (January 14, 2010)

PX-0687

E-mail from Steve Jobs to Eddy Cue re "Book Prices Thoughts" (January 14, 2010)

PX-0688

E-mail from Steve Jobs to Eddy Cue re "Book Prices Thoughts" (January 14, 2010)

PX-0693

E-mail from Keith Moerer to Eddy Cue, forwarded to Kevin Saul, re "publisher meeting notes" (December 15, 2009)

PX-0698

E-mail exchange between Dennis Eulau and Carolyn Reidy re "iTunes update" (January 17, 2010)

PX-0714

E-mail exchange between Brian Murray and Charlie Redmayne re offer from Apple (January 21, 2010)

PX-0718

E-mail from Eddy Cue to Steve Jobs re "Book Publisher Update" (January 23, 2010)

PX-0726

E-mail from Carolyn Reidy to Leslie Moonves attaching "remarks" for board meeting (January 26, 2010)

PX-0731

E-mail from Arnaud Nourry to Stefan von Holtzbrinck re shared vision of e-book market (February 1, 2010)

PX-0738

E-mail from Kevin Saul to Deirdre Silver re "eBook Agreement" (March 9, 2010)

PX-0742

Penguin PowerPoint presentation entitled "Penguin USA Road Show" (June 8, 2010)

PX-0759

E-mail from William Lynch to Len Riggio and Steve Riggio re "Follow-up -- Random House" (July 31, 2010)

PX-0788

Summary Exhibit: Phone Calls Among Publisher CEOs and Apple (Excluding Duplicates) December 1, 2009 - January 31, 2010

PX-0835

Direct Testimony of Russell Grandinetti (April 24, 2013)

PX-0836

Direct Testimony of Laura Porco (April 24, 2013)

PX-0837

Direct Testimony of David Naggar (April 23, 2013)

PX-0838

Direct Testimony of Tom Turvey (April 23, 2013)

PX-0842

Demonstrative Exhibit (from United States' Opening Presentation): Average E-book Retail Price Changes (June 3, 2013)

PX-0857

Demonstrative Exhibit (from United States' Opening Presentation): Phone Calls Between Publisher Defendant CEOs in December and January (June 3, 2013)

PX-0858

Demonstrative Exhibit (from United States' Opening Presentation): Calls Between Publisher Defendant CEOs from December 1, 2009 to January 31, 2010 (June 3, 2013)

PX-0867

Demonstrative Exhibit: Phone Calls Between Eddy Cue and Publisher Defendant CEOs in December and January (June 13, 2013)

PX-0869

E-mail from Steve Jobs to Sethh Humphrey re eBook prices and terms (February 10, 2010)

PX-0870

E-mail from Steve Jobs to Eddy Cue re "AppleInsider" (March 29, 2010)

PX-0871

E-mail from Steve Jobs to Eddy Cue re "Book Industry Reactions to Amazon's Move" (January 30, 2010)

PX-0872

E-mail from Steve Jobs to Eddy Cue re "Book Publisher Meeting" (February 10, 2010)

PX-0877

E-mail from Eddy Cue to John Sargent re Media interest in Kennedy eBook price difference (January 28, 2010)

PX-0880

E-mail from Eddy Cue to Keith Moere re "New York publisher update" (January 26, 2011)

PX-0881

E-mail from Eddy Cue to Keith Moerer re "Event" (January 24, 2010)

PX-0894

E-mail from Keith Moerer to Eddy Cue re "Penguin, Harper update" (January 12, 2010)

PX-0895

Creation of Apple MFN in Mr. Cue’s Words

PX-1097

Direct Testimony of Orley C. Ashenfelter, PhD. (June 6, 2013)

PX-1105

Direct Testimony of Richard J. Gilbert, Ph.D. (April 25, 2013)


Defense Exhibits

DX-086

E-mail from Eddy Cue to Steve Jobs, Kevin Saul and Keith Moerer Subject: "Books – Publisher Update" (December 15, 2009)

DX-219

E-mail from Sarah Battles to Theresa Horner Subject: "eBook Pricing Summary" (January 21, 2010)

DX-239

E-mail from Eddy Cue to Steve Jobs, Kevin Saul and Keith Moerer Subject: "Book Publisher Update" (January 24, 2010)

DX-313

E-mail from Carolyn Reidy to Eddy Cue Subject: "Start Date" (March 3, 2010)

DX-434

Average eBook Retail Prices for Sony, Amazon, Barnes & Noble, Apple, Google, Books-A-Million, and Kobo (February 2008-March 2012)

DX-449

Price Changes of Titles Covered by Tiers Versus Those Not Covered by Tiers Demonstrate That Tiers Constrained Prices


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