Case 3:14-cv-03264-JD Document 1406 Filed 11/29/16 Page 1 of 7
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`UNITED STATES DISTRICT COURT
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`NORTHERN DISTRICT OF CALIFORNIA
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`IN RE CAPACITORS ANTITRUST
`LITIGATION
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`THIS DOCUMENT RELATES TO: ALL
`DIRECT PURCHASER ACTIONS
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`Master File No. 3:14-cv-03264-JD
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`[PROPOSED] ORDER GRANTING
`PLAINTIFFS’ MOTION FOR
`PRELIMINARY APPROVAL OF CLASS
`ACTION SETTLEMENT WITH
`CERTAIN DEFENDANTS, APPROVING
`FORM AND MANNER OF NOTICE,
`AND ESTABLISHING PROCESS FOR
`FINAL APPROVAL
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`This matter is before the Court on the motion for preliminary approval of the proposed class
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`action settlement (the “Settlement”) between Plaintiffs Chip-Tech, Ltd, Dependable Component
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`Supply Corp., eIQ Energy, Inc., and Walker Component Group, Inc., each a direct purchaser of
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`aluminum, tantalum and film capacitors (“Capacitors”) (collectively, “Direct Purchaser Plaintiffs,”
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`“DPPs,” or “Class Representatives”), individually and as representatives of a purported Settlement
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`Class (the “Settlement Class”), and Defendants Fujitsu Ltd. (“Fujitsu Limited”); NEC TOKIN
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`Corporation and NEC TOKIN America, Inc. (“NEC TOKIN”); Nitsuko Electronics Corporation
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`(“Nitsuko”); Okaya Electric Industries Co., Ltd. and Okaya Electric America, Inc. (the “Okaya
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`Defendants”); and ROHM Co., Ltd.; and ROHM Semiconductor U.S.A., LLC (“ROHM”)
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`(collectively, the “Settling Defendants”).
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`Having considered DPPs’ Motion, the Settlement Agreements, DPPs’ Supplemental
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`Submission, the declarations of Joseph R. Saveri and Kendall S. Zylstra and the exhibits thereto, the
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`[PROPOSED] ORDER GRANTING
` PRELIMINARY APPROVAL
`MASTER FILE NO. 3:14-CV-03264-JD
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`Case 3:14-cv-03264-JD Document 1406 Filed 11/29/16 Page 2 of 7
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`proposed and revised forms of Notice to the Settlement Class, the pleadings and other papers filed in
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`this Action, and the statements of counsel and the parties, and for good cause shown, IT IS HEREBY
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`ORDERED as follows:
`1.
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`Unless otherwise defined herein, all terms that are capitalized herein shall have the
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`meanings ascribed to those terms in the Settlement Agreements.
`2.
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`The Court hereby gives its preliminary approval of DPPs’ settlements with the Settling
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`Defendants, subject to a hearing on the final approval of the Settlement (the “Final Approval
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`Hearing”).
`3.
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`Pursuant to Federal Rule of Civil Procedure 23, the Court provisionally certifies the
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`following Settlement Class:
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`All persons in the United States that purchased Capacitors (including
`through controlled subsidiaries, agents, affiliates or joint-ventures)
`directly from any of the Defendants, their subsidiaries, agents, affiliates or
`joint ventures from January, 1, 2002 through July 22, 2015. Excluded from
`the settlement class are Defendants (and their subsidiaries, agents or
`affiliates), any co-conspirator, all governmental entities and the judges and
`chambers staff in this case, assigned to hear any aspect of this action, and
`each member of the class action who timely requested exclusion.
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`4.
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`The Court further provisionally finds that the following prerequisites to a class action
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`under Rule 23 are satisfied for settlement purposes:
`a.
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`There are hundreds of geographically dispersed class members, making joinder of
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`all members impracticable;
`b.
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`There are questions of law and fact common to the class which predominate over
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`individual issues;
`c.
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`of the class;
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`The claims or defenses of the class plaintiffs are typical of the claims or defenses
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`d.
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`The Class Representatives will fairly and adequately protect the interests of the
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`class, and have retained counsel experienced in antitrust class action litigation who have, and will
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`continue to, adequately represent the class; and
`e.
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`A class action in superior to individual actions.
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`[PROPOSED] ORDER GRANTING
` PRELIMINARY APPROVAL
`MASTER FILE NO. 3:14-CV-03264-JD
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`Case 3:14-cv-03264-JD Document 1406 Filed 11/29/16 Page 3 of 7
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`5.
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`The Court finds that the settlements with Settling Defendants fall within the range of
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`possible approval, and are reasonable. There is sufficient basis for notifying the Settlement Class and for
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`setting a Final Approval Hearing. Accordingly, Notice to the Settlement Class is appropriate here, the
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`Notice is hereby approved, and the Settlement Class should be notified of the proposed settlement.
`6.
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`The Court finds that the proposed plan of allocation described in the Motion, also is
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`sufficiently fair, reasonable, and adequate such that it is hereby preliminarily approved, subject to further
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`consideration at the Final Approval Hearing to be held as set forth below.
`7.
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`The Court appoints Chip-Tech, Ltd., Dependable Component Supply Corp., eIQ
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`Energy, Inc., and Walker Component Group, Inc. as representatives of the Settlement Class.
`8.
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`The Court appoints Joseph R. Saveri of the Joseph R. Saveri Law Firm, Inc. to serve as
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`Class Counsel for the Settlement Class.
`9.
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`The Court will conduct a Final Approval Hearing on March 2, 2017 at 10:00 AM. At the
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`Final Approval Hearing, the following will be determined:
`a.
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`Whether the proposed settlement is fair, reasonable, and adequate and should be
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`granted final approval;
`b.
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`Whether final judgment should be entered dismissing the claims of the class
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`against Settling Defendants with prejudice;
`c.
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`Class Counsel’s application for payment of attorneys’ fees and reimbursement of
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`costs and expenses; and
`d.
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`Such other matters as the Court may deem appropriate.
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`10.
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`The Court appoints Rust Consulting, Inc., as administrator (the “Claims
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`Administrator”).
`11.
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`The Notice attached to this Order constitutes due, adequate and sufficient notice and
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`satisfies the requirements of the Federal Rules of Civil Procedure and of due process and, accordingly, is
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`approved for dissemination to the Settlement Class.
`12.
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`The Court approves the revised form of the long form notice attached hereto as Exhibit
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`A (“Long Form Notice”). The Court also approves the revised form of the summary notice attached
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`hereto as Exhibit B (“Summary Notice”). The Court finds that taken together, mailing of the Long
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`[PROPOSED] ORDER GRANTING
` PRELIMINARY APPROVAL
`MASTER FILE NO. 3:14-CV-03264-JD
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`

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`Case 3:14-cv-03264-JD Document 1406 Filed 11/29/16 Page 4 of 7
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`Form Notice (U.S Mail or electronic mail), publication of the Summary Notice, and internet posting of
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`the Long Form Notice are: (i) the best notice practicable; (ii) reasonably calculated to, under the
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`circumstances, apprise the Settlement Class Members of the proposed settlement and of their right to
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`object or to exclude themselves as provided in the Settlement Agreements; (iii) reasonable and
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`constitute due, adequate, and sufficient notice to all persons entitled to receive notice; and (iv) meet all
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`applicable requirements of due process and any other applicable requirements under federal law.
`13. Within fourteen (14) days of the Preliminary Approval Order, the Settling Defendants
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`are to provide an electronic list of potential Settlement Class Members along with, to the extent that the
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`Settling Defendants’ structured data contains them, the mail and e-mail addresses of the potential
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`Settlement Class Members.
`14.
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`Plaintiffs’ Claims Administrator shall provide notice of the Settlement. The Claims
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`Administrator shall provide direct notice of the Settlement to all members of the Settlement Class on or
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`before a date set twenty-eight (28) days from the entry of this Order. Such notice shall be sent either by
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`first class U.S. mail postage prepaid or by electronic mail. The Claims Administrator shall publish the
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`Summary Notice in the national edition of the Wall Street Journal as soon as practicable, but in any
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`event no later than thirty-two (32) days prior to the Final Approval Hearing. The Claims Administrator
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`shall also cause a copy of the class notices and Settlement Agreement to be posted on at least two
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`Internet websites directed toward the capacitors and passive electronics industry.
`15.
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`By no later than December 12, 2016, the Claims Administrator shall cause the Settlement
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`Notice to be mailed by first-class mail, postage prepaid, to Settlement Class Members pursuant to the
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`procedures described in the Settlement Agreements, the Motion, the Supplemental Submission, the
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`Declaration of Kendall S. Zylstra and the Long Form Notice. By no later than January 13, 2017, the
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`Claims Administrator shall file with the Court an Affidavit of Compliance with Notice Requirements.
`16.
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`All costs incurred in disseminating Notice and administering the Settlement shall be paid
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`from the Settlement Fund pursuant to the Settlement Agreements, with certain notice and
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`administration costs incurred prior to the Effective Date advanced as provided in the Settlement
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`Agreements. The Court grants Class Counsel’s request for $200,000 to be paid from the Settlement
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`Fund for expenses related to the provision of notice to the Settlement Class Members.
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`[PROPOSED] ORDER GRANTING
` PRELIMINARY APPROVAL
`MASTER FILE NO. 3:14-CV-03264-JD
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`

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`Case 3:14-cv-03264-JD Document 1406 Filed 11/29/16 Page 5 of 7
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`17.
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`Settlement Class Members will have sixty (60) calendar days after the Claims
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`Administrator makes the initial mailing of the Notice, until February 10, 2017, (the “Opt-Out
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`Deadline”) to exclude themselves (opt out) of the proposed Settlement.
`18.
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`Any Settlement Class Member who wishes to be excluded (opt out) from the Settlement
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`Class must, in a manner consistent with the process described in the long and short form notices
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`approved by the Court, send a written request for exclusion to the Claims Administrator on or before
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`the close of the Opt-Out Deadline. Members of the Settlement Class may not exclude themselves by
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`filing Requests for Exclusion as a group or class, but must in each instance individually or personally
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`execute a Request for Exclusion. Requests for Exclusion must be in writing and set forth the name and
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`address of the person or entity who wishes to be excluded as well as all trade names or business names
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`and addresses used by such persons or entities and must be signed by the Settlement Class Member
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`seeking exclusion.
`19.
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`No later than February 24, 2017, Class counsel shall file with the Court a list of all
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`persons or entities who have timely requested exclusion from the Settlement Class. Settlement Class
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`Members who exclude themselves from the Settlement Class will not be eligible to receive any benefits
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`under the Settlement, will not be bound by any further orders or judgments entered for or against the
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`Settlement Class, and will preserve their ability independently to pursue any claims they may have
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`against Settling Defendants.
`20.
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`All Settlement Class Members who did not properly and timely request exclusion from
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`the Settlement Class shall, upon final approval of the settlement, be bound by all the terms and
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`provisions of the Settlement Agreements, including the releases, waivers and covenants described in the
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`Settlement Agreements, whether or not such Settlement Class Member objected to the Settlement and
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`whether or not such Settlement Class Member makes a claim upon the settlement funds or receives
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`consideration under the Settlement Agreements.
`21.
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`Any Settlement Class Member who did not elect to be excluded from the Settlement
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`Class may, but need not, enter an appearance through his or her own attorney. For Settlement purposes,
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`Class Counsel will continue to represent Settlement Class Members who do not timely object and do
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`not have an attorney enter an appearance on their behalf.
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`[PROPOSED] ORDER GRANTING
` PRELIMINARY APPROVAL
`MASTER FILE NO. 3:14-CV-03264-JD
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`22.
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`Any Settlement Class Member who did not elect to be excluded from the Settlement
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`Class may, but need not, submit comments or objections to the Settlement Agreements, the Plan of
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`Allocation or entry of a Final Approval Order and Judgment approving the Settlement Agreements, by
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`filing written objections with the Court no later than February 10, 2017, copies of which shall be served
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`on all counsel listed in the class notice. Failure to timely file and serve written objections will preclude a
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`class member from objections to the Settlement.
`23.
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`Any Settlement Class Member making an objection (an “Objector”) must sign the
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`objection personally, even if represented by counsel, and provide the Settlement Class Member’s name
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`and full residence or business address and a statement signed under penalty of perjury that the
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`Settlement Class Member was a member of the Settlement Class. An objection must state why the
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`Objector objects to the Settlement Agreements and provide a basis in support, together with any
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`documents such person wishes to be considered in support of the objection. If an Objector intends to
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`appear at the Final Approval Hearing, personally or through counsel, the Objector must include with
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`the objection a statement of the Objector’s intent to appear at the Final Approval Hearing. The Objector
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`must file a Notice of Intent to Appear no later than February 10, 2017, copies of which shall be served
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`on all counsel listed in the Class notice. If counsel is appearing on behalf of more than one Settlement
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`Class Member, counsel must identify each such Settlement Class Member and each such Settlement
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`Class Member must have complied with this Order.
`24. Only Settlement Class Members who have filed and served valid and timely objections
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`accompanied by Notices of Intent to Appear shall be entitled to be heard at the Final Approval Hearing.
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`Any Settlement Class Member who does not timely file and serve an objection in writing in accordance
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`with the procedure set forth in the Notice and mandated in this Order shall be deemed to have waived
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`any objection to the Settlement Agreements and entry of a Final Approval Order and Judgment,
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`whether by appeal, collateral attack, or otherwise.
`25.
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`Each Settlement Class Member shall retain all rights and causes of action with respect to
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`claims against all Defendants other than Settling Defendants, regardless of whether such member of the
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`Settlement Class decides to remain in the Settlement Class or to exclude itself from the Settlement
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`Class.
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`[PROPOSED] ORDER GRANTING
` PRELIMINARY APPROVAL
`MASTER FILE NO. 3:14-CV-03264-JD
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`Case 3:14-cv-03264-JD Document 1406 Filed 11/29/16 Page 7 of 7
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`26.
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`All briefs, memoranda and papers in support of final approval of the Settlement shall be
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`filed 30 days prior to the Final Approval Hearing.
`27.
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`Settlement Class Members need not appear at the hearing or take any other action to
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`indicate their approval.
`28. Upon entry of the Final Approval Order and Judgment, all Settlement Class Members
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`who have not personally and timely requested to be excluded from the Settlement Class will be enjoined
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`from proceeding against Settling Defendants and all other Released Parties with respect to all of the
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`Released Claims, consistent with the Settlement Agreements.
`29.
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`All further proceedings as to Settling Defendants are hereby stayed, except for any
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`actions required to effectuate or enforce the Settlement Agreements, or matters related to the
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`Settlement Fund, including applications for attorneys’ fees, payment of costs, and service awards to
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`Settlement Class Representatives.
`30.
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`The Court retains exclusive jurisdiction over this action to consider all further matters
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`arising out of or connected to the Settlement, except that, as provided in paragraph 22 of the DPPs’
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`settlement agreement with NEC TOKIN, all disputes regarding the extent of NEC TOKIN’s
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`cooperation obligations or its performance of those obligations shall be submitted to the Hon. Layn R.
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`HON. JAMES DONATO
`United States District Judge
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`[PROPOSED] ORDER GRANTING
` PRELIMINARY APPROVAL
`MASTER FILE NO. 3:14-CV-03264-JD
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`Phillips (ret.) for resolution.
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`IT IS SO ORDERED.
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`Dated:
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