FOR THE Northern District of Illinois − CM/ECF LIVE, Ver 6.3.1 Eastern Division

This docket entry was made by the Clerk on Tuesday, February 4, 2020: MINUTE entry before the Honorable John J. Tharp, Jr. as to Jiongsheng "Jim" Zhao: Sentencing hearing held.

The Court terminates the order of pretrial release and any bond conditions against the defendant, effective immediately.

If a minute order or other document is enclosed, please refer to it for additional information.

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The Proposed Judgment eliminates the need to litigate the merits of Desai’s liability and permanently enjoins Desai from violations of each of the provisions of the federal securities law at issue in the Amended Complaint.

The Proposed Judgment further provides that the monetary relief sought by the SEC – in the form of civil penalties – shall be determined by the Court at a later date.

For the purpose of that determination, the parties agree that the Court would accept the allegations in the Amended Complaint as true.

In SEC enforcement actions, Courts have routinely entered judgment based on this type of bifurcated settlement and have adopted the procedures described in the Consent for the relief phase of proceedings.

WHEREFORE, for the reasons cited above, the SEC respectfully requests that the Court grant this motion and enter the Proposed Judgment.

... is no difference whether that consideration is furnished by the promisee or by some third person.”); 1 Restatement of Contracts § 75 (1932) (“[C]onsideration may be given by someone other than the promisee, but must nonetheless ...

Specifically, the Government alleges two misrepresentations: (1) listing BWC Capital as a secured creditor owed approximately $1.5 million in Schedule D of the bankruptcy petition, and (2) stating “none” in response to question 10 of the ...

I adopt and incorporate the February 14, 2020 declaration I submitted in support of the motion Rishi Shah and I filed to amend the Court's protective order and vacate the seizure warrant.

At the time of the Court's order denying the motion Mr. Shah and I had filed (Doc. 108), McGuire Woods held more than $3.8 million that I had provided for the firm's representation of me at trial in this matter.

Without the $3.8 mil1ion that I had provided to McGuire Woods, I did not have sufficient funds to pay the fee the firm required to represent me at trial.

Because I could not afford the fee McGuire Woods requested, the firm declined to Exhibit A represent me at trial and asked that I find new counsel.

If my portion of those substitute assets had been available to me following the Court's April 8, 2020 order, I would have used them--combined with my own funds if necessary--to keep McGuire Woods as my counsel.

Absent prior permission from the Court, information marked as sensitive shall not be included in any public filing with the Court, and instead shall be submitted under seal (except in the case of a defendant who chooses to include in a public document sensitive information relating solely and directly to the defendant making the filing).

Upon conclusion of all stages of this case, all of the materials and all copies made thereof shall be disposed of in one of three ways, unless otherwise ordered by the Court.

The materials may be (1) destroyed; (2) returned to the United States; or (3) retained in defense counsel’s case file.

The restrictions set forth in this Order do not apply to documents that are or become part of the public court record, including documents that have been received in evidence at other trials, nor do the restrictions in this Order limit defense counsel in the use of discovery materials in judicial proceedings in this case, except that any document filed by any party which attaches or otherwise discloses specially identified sensitive information as described in Paragraph 3, above, shall be filed under seal to the extent necessary to protect such information, absent prior permission from this Court.

Nothing contained in this Order shall preclude any party from applying to this Court for further relief or for modification of any provision hereof.

Exhibit A From: To: Cc: Subject: Date: Richard Finneran Madden, Matthew (USAILN) Johnston, William (CRM) [EXTERNAL] RE: Update Thursday, October 26, 2023 2:24:33 PM Matt, Just got off the phone with Vicki.

But she did share a few things that I believe are directly responsive to your question about whether, as we argued in our reply, the estimates provided by QE in 2020 were “reasonable” (which, again, we don’t concede is relevant), which I detail below.

Mr. Shah did not have the means to pay that amount at the time the representation was initiated, so they accepted a smaller retainer to commence their work with the expectation that the additional monies would be paid as Mr. Shah’s liquidity increased.

In our view, that is sufficient to show that QE’s $14-15 million estimate for both Mr. Shah’s and Ms. Agarwal’s representation was, if anything, an underestimate of the fees and expenses that would actually have been required.

It doesn’t sound like Vicki will be able to get me much more additional information before we are set to be in court tomorrow, but hopefully that gives you what you need in order to be able to assess whether you will continue to challenge the reasonableness of QE’s fee estimate.

Exhibit A From: To: Cc: Subject: Date: Richard Finneran Madden, Matthew (USAILN) Johnston, William (CRM) [EXTERNAL] RE: Update Thursday, October 26, 2023 2:24:33 PM Matt, Just got off the phone with Vicki.

But she did share a few things that I believe are directly responsive to your question about whether, as we argued in our reply, the estimates provided by QE in 2020 were “reasonable” (which, again, we don’t concede is relevant), which I detail below.

Mr. Shah did not have the means to pay that amount at the time the representation was initiated, so they accepted a smaller retainer to commence their work with the expectation that the additional monies would be paid as Mr. Shah’s liquidity increased.

In our view, that is sufficient to show that QE’s $14-15 million estimate for both Mr. Shah’s and Ms. Agarwal’s representation was, if anything, an underestimate of the fees and expenses that would actually have been required.

It doesn’t sound like Vicki will be able to get me much more additional information before we are set to be in court tomorrow, but hopefully that gives you what you need in order to be able to assess whether you will continue to challenge the reasonableness of QE’s fee estimate.

Exhibit B Assets Subject to Forfeiture Attributable to the Loans obtained in 2016 and the Capital Raise in 2017 Source of Funds Funds Transferred To Rishi Shah (Pershing x5573) Rishi Shah (Pershing x5573) Rishi Shah (Pershing x5573) 8VC Fund I Healthx Ventures Fund I, LP 7Wire Ventures Fund, LP Rishi Shah (Pershing x5573) At World Properties, LLC Baroda Trust (Pershing x7793) North American Title Company Asset All right, title, and interest in Eight Partners VC Fund I, LP All right, title, and interest in HealthX Ventures Fund All right, title, and interest in 7Wire Ventures Fund, LP All right, title, and interest in the real property and appurtenances commonly known as 924 N. Clark Street; Chicago, IL 60610 All right, title, and interest in the real property and appurtenances commonly known as 924 N. Clark Street; Chicago, IL 60610 Amount Traceable to Criminal Proceeds 15,000.00$

Page 1 of 3 Assets Subject to Forfeiture Attributable to the Capital Raise in 2017 Source of Funds Funds Transferred To Asset Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) Gravitas Holdings (Pershing x6290) AP 100 W Huron Investors LLC Guild Capital, LLC Guild Capital, LLC Guild Capital, LLC Guild Capital LLC Guild Capital LLC Institutional Venture Partners XVI LP Institutional Venture Partners XVI LP Institutional Venture Partners XVI LP Institutional Venture Partners XVI LP Institutional Venture Partners XVI, LP L Squared Capital Management LP L Squared Capital Management LP L Squared Capital Management LP L Squared Capital Management LP L Squared Capital Management LP L Squared Capital Management LP L Squared Capital Management LP L Squared Capital Management LP L Squared Capital Partners II LLC L Squared Capital Partners II LLC Leerink Transformation Fund I LP Leerink Transformation Fund I LP Leerink Transformation Fund I LP Leerink Transformation Fund I LP Leerink Transformation Fund I LP Leerink Transformation Fund I LP Leerink Transformation Fund I LP Leerink Transformation Partners - LTP BHE LP Monarch Capital Partners IV LP Monarch Capital Partners IV LP Monarch Capital Partners IV LP Monarch Capital Partners IV LP Monarch Capital Partners IV LP Monarch Capital Partners IV LP Gravitas Holdings (Pershing x6290) SwipeSense, Inc Gravitas Holdings (Pershing x6290) Valor Equity Partners IV, LP Gravitas Holdings (Pershing x6290) Funds Remaining in Account Gravitas Holdings (Pershing x6290) Funds Remaining in Account Shradha Agarwal (Pershing x6647) Funds Remaining in Account All right, title, and interest in approximately 17.747958% of AP 100 W Huron Investors, LLC All right, title, and interest in investments made with Guild Capital Entities All right, title, and interest in investments made with Guild Capital Entities All right, title, and interest in investments made with Guild Capital Entities All right, title, and interest in investments made with Guild Capital Entities All right, title, and interest in investments made with Guild Capital Entities All right, title, and interest in Institutional Venture Partners XVI, LP All right, title, and interest in Institutional Venture Partners XVI, LP All right, title, and interest in Institutional Venture Partners XVI, LP All right, title, and interest in Institutional Venture Partners XVI, LP All right, title, and interest in Institutional Venture Partners XVI, LP All right, title, and interest in L Squared Capital Management, LP All right, title, and interest in L Squared Capital Management, LP All right, title, and interest in L Squared Capital Management, LP All right, title, and interest in L Squared Capital Management, LP All right, title, and interest in L Squared Capital Management, LP All right, title, and interest in L Squared Capital Management, LP All right, title, and interest in L Squared Capital Management, LP All right, title, and interest in L Squared Capital Management, LP All right, title, and interest in L Squared Capital Partners II, LLC All right, title, and interest in L Squared Capital Partners II, LLC All right, title, and interest in Leerink Transformation Fund I, LP All right, title, and interest in Leerink Transformation Fund I, LP All right, title, and interest in Leerink Transformation Fund I, LP All right, title, and interest in Leerink Transformation Fund I, LP All right, title, and interest in Leerink Transformation Fund I, LP All right, title, and interest in Leerink Transformation Fund I, LP All right, title, and interest in Leerink Transformation Fund I, LP All right, title, and interest in Leerink Transformation Partners - LTP BHE LP All right, title, and interest in Monarch Capital Partners IV, LP All right, title, and interest in Monarch Capital Partners IV, LP All right, title, and interest in Monarch Capital Partners IV, LP All right, title, and interest in Monarch Capital Partners IV, LP All right, title, and interest in Monarch Capital Partners IV, LP All right, title, and interest in Monarch Capital Partners IV, LP All right, title, and interest in approximately 60,053 shares of Series A2 Preferred Stock of Swipesense, Inc., held in the name of Jumpstart Ventures II, LLC; All right, title, and interest in approximately 90,425 shares of Series B3 Preferred Stock of Swipesense, Inc., held in the name of Gravitas Holdings, LLC; All right, title, and interest in approximately 252,045 shares of Series B4 Preferred Stock of Swipesense, Inc., held in the name of Gravitas Holdings, LLC.

All right, title, and interest in Valor Equity Partners IV, LP All funds and assets held at Pershing, LLC on deposit in account XAZ006290, titled to Gravitas Holdings, LLC, and all linked accounts, including, but not limited to, accounts XEJ006076, XEJ006159, XEJ003123, XA606312, XEJ007090, and XEJ007108 All funds and assets on deposit in account XAZ006647 and all linked accounts at Pershing, LLC, held in the names of Shradha Agarwal and Vandana Agarwal All funds and assets on deposit in account 2312087618 at Kotak Mahinda Bank Amount Traceable to Criminal Proceeds 2,537,695.00$ 25,000.00$

Page 2 of 3 Assets Subject to Forfeiture Attributable to the Loans Obtained in 2016 Source of Funds Rishi Shah (JPMC x9002) Shradha Agarwal (Chase x5964) Funds Transferred To 7Wire Ventures Fund, LP Boom Train Rishi Shah (JPMC x9002) Chicago Ventures Founders Fund, LP Shradha Agarwal (Chase x5964) Rishi Shah (JPMC x9002) Rishi Shah (JPMC x9002) Rishi Shah (JPMC x9002) Rishi Shah (JPMC x9002) Shradha Agarwal (Chase x5964) Rishi Shah (JPMC x9002) Shradha Agarwal (Chase x6297) Rishi Shah (JPMC x9002) Rishi Shah (JPMC x9002) Corazon Capital II LP Diversified 321 N Clark, LLC Eight Partners VC Fund I LP Eight Partners VC Fund I LP Eight Partners VC Fund I LP Eight Partners VC Fund I LP Greatpoint Ventures Innovation Fund, LP Greatpoint Ventures Innovation Fund Guild Capital Healthx Ventures Fund I, LP Rishi Shah (JPMC x9002) I2A Ventures SPV Shradha Agarwal (Chase x5964) Shradha Agarwal (Chase x5964) Rishi Shah (JPMC x9002) Rishi Shah (JPMC x9002) Rishi Shah (JPMC x9002) Impact Engine IV LLC Institutional Venture Partners XV LP Institutional Venture Apprennet MATH Venture Partners, LP Asset All right, title, and interest in 7Wire Ventures Fund, LP All right, title, and interest in Boom Train All right, title, and interest in Chicago Ventures Founders Fund, LP; formerly known as I2A fund II, LLC All right, title, and interest in Corazon Capital II, LP All right, title, and interest in Diversified 321 N Clark, LLC All right, title, and interest in Eight Partners VC Fund I, LP All right, title, and interest in Eight Partners VC Fund I, LP All right, title, and interest in Eight Partners VC Fund I, LP All right, title, and interest in Eight Partners VC Fund I, LP All right, title, and interest in Greatpoint Ventures Innovation Fund, LP All right, title, and interest in Greatpoint Ventures Innovation Fund, LP All right, title, and interest in investments made with Guild Capital Entities All right, title, and interest in HealthX Ventures Fund All right, title, and interest in Chicago Ventures Founders Fund, LP; formerly known as I2A fund II, LLC All right, title, and interest in Impact Engine IV, LLC All right, title, and interest in Institutional Venture Partners XV, LP All right, title, and interest in Institutional Venture Partners XV, LP 3,291 Shares of Common Stock of Instructure, Inc All right, title, and interest in MATH Venture Partners, LP Amount Traceable to Criminal Proceeds 280,000.00$

200,000.00$ 12/1/2017 Rishi Shah (JPMC x9002) Silvervue Inc Rishi Shah (JPMC x9002) Swipesense, Inc Rishi Shah (JPMC x9002) Shradha Agarwal (Chase x6297) Rishi Shah (JPMC x9002) Wisercare, Inc 1776 Seed Investors, LP Volition Capital Fund II, LP Shradha Agarwal Accounts Funds Remaining in Account Shradha Agarwal Accounts Funds Remaining in Account Shradha Agarwal Accounts Funds Remaining in Account All right, title, and interest in approximately 250,454 shares of Series Preferred AA stock of Silvervue, Inc., held in the name of Jumpstart Ventures II, LLC; All right, title, and interest in approximately 751,362 shares of common stock of Silvervue, Inc., held in the name of Jumpstart Ventures II, LLC All right, title, and interest in approximately 361,702 shares of Series B Preferred Stock of Swipesense, Inc. 705,417 Shrares of Series Seed-3 Preferred Stock All right, title, and interest in 1776 Seed Investors, LP All right, title, and interest in Volition Capital Fund II, LP All funds and assets on deposit in account 309001543517 and 309001543548 at RBL Bank Ltd, held in the name of Shradha Agarwal All funds and assets on deposit in account 309002227836 at RBL Bank Ltd, held in the name of Vandana Agarwal All funds and assets on deposit in account 023455892006 at HSBC, held in the name of Vandana Agarwal

Exhibit C Harrison Quitman Madden, Matthew (USAILN) Johnston, William (CRM); Patrick Croke Re: Protective Order - Rishi Shah and Monday, January 11, 2021 7:19:24 PM From: To: Cc: Subject: Date: Hi Matt, I hope all is well with you!

Would it be possible to set up a quick call sometime this or next week to discuss this matter?

The Shah funds that we're currently holding in "escrow" are going to increase substantially in the near future, and we'd like guidance on how best to handle them.

Per our conversation, I have attached a copy of a protective order that Judge Durkin entered in this case.

As discussed, the government agrees that it makes sense to put any such capital, including distributions, in an escrow account pending further direction from the court or the government.

Plaintiff filed a motion for permission to litigate under the pseudonym Jane Doe and for a protective order restraining Defendants Purdue University and Lance Duerfahrd from revealing her identity.

In support of her motion to proceed as Jane Doe, she alleges that the “sensitive and exceptional” nature of her allegations warrant a departure from the requirement of Federal Rule of Civil Procedure 17 that civil actions be prosecuted in the name of the real party in interest.

Discussion Federal Rule of Civil Procedure 72 permits a party to file objections to a magistrate judge’s order on a non-dispositive matter, whereupon the district judge in the case must consider the objections and “modify or set aside any part of the order that is clearly erroneous or is contrary to law.” There is no Seventh Circuit precedent that controls this case, although that court has stated in dicta that “fictitious names are allowed when necessary to protect the privacy of children, rape victims, and other particularly vulnerable parties or witnesses.” Doe v. Blue Cross and Blue Shield United of Wisconsin, 112 F.3d 869, 872 (7th Cir. 1997).

Under these circumstances, although the Court may have decided the issue differently in the first instance, it is unable to conclude that the magistrate judge’s decision to allow Plaintiff to be identified on the public docket as Jane Doe is clearly erroneous or contrary to law.

Plaintiff shall be identified on the public docket as Jane Doe; Plaintiff, her counsel, and anyone else acting on her behalf are forbidden to make any further public statement about this case until the litigation is concluded; Plaintiff’s counsel shall immediately remove all references to this litigation from their firm website and firm Facebook page; Duerfahrd may identify Plaintiff during discovery, fact investigation, and depositions.

Absent prior permission from the Court, sensitive information shall not be included in any public filing with the Court, and instead shall be submitted under seal (except in the case of a defendant who chooses to include in a public document sensitive information relating solely and directly to the defendant making the filing).

Upon conclusion of all stages of this case, all of the materials and all copies made thereof shall be disposed of in one of three ways, unless otherwise ordered by the Court.

The materials may be (1) destroyed; (2) returned to the United States; or (3) retained in defense counsel's case file.

The restrictions set forth in this Order do not apply to documents that are or become part of the public court record, including documents that have been received in evidence at other trials, nor do the restrictions in this Order limit defense counsel in the use of discovery materials in judicial proceedings in this case, except that any document filed by any party which attaches or otherwise discloses specially identified sensitive information as described in Paragraph 3, above, shall be filed under seal to the extent necessary to protect such information, absent prior permission from this Court.

Nothing contained in this Order shall preclude any party from applying to this Court for further relief or for modification of any provision hereof.

Money Market Savings Summary For: Rishi U Shah Statement Date 11/03/2021 Page 2 CustomerCare Information Toll Free 877-247-ALLY (2559) www.ally.com $28,470.45 $25,164.45 Account Number: xxxxxx4867 Product: Money Market Savings Account Open Date: 12/10/2020 Account Ownership: Single Summary Beginning Balance, as of 10/04/2021 Deposits and Other Credits Interest Paid This Period ATM Fees Reimbursed Withdrawals and Other Debits $48,516.14 $1,378,934,55 $74.72 $0.00 -$1,191,029.92 Ending Balance,as of 11/03/2021 $236,495.49 DaysIn Statement Period Annual Percentage Yield Earned AverageDaily Balance This Period Interest Paid Year to Date 0.50% $176,376.53 $236.28 Overdraft Fee Summary Overdraft Items Paid Overdraft Items Returned Activity Date Description 10/04/2021 Beginning Balance 10/05/2021 10/05/2021 10/05/2021 10/08/2021 ACH Withdrawal THE RESIDENCESA ACH Collec ACH Collec NOW Withdrawal Zelle payment from Rishi U Shah (Ally Money Market Savings Account XXXXXX4867) to FARAH KHAN NOW Withdrawal Zelle payment from Rishi U Shah (Ally Money Market Savings Account XXXXXX4867) to Cornell Mcclellan Wire Transfer 10/08/2021 Wire Fee 10/12/2021 10/13/2021 10/15/2021 ACH Withdrawal

Activity Statement Date 11/03/2021 Page 4 CustomerCare Information Toll Free 877-247-ALLY (2559) www.ally.com $238,850.77 $236,450.77

Debits Date Credits Balance Description 10/28/2021 WEB Funds Transfer Internet transfer to Money Market Savings account XXXXXX6926 10/28/2021 Service Fee Excessive Transactions Fee 10/29/2021 Wire Transfer 10/29/2021 11/01/2021 11/01/2021 11/01/2021 11/01/2021

Refund of Excessive Tran Fee-31 1 NOW Withdrawal Zelle payment from Rishi U Shah (Ally Money Market Savings Account XXXXXX4867) to FARAH KHAN Service Fee Excessive Transactions Fee

Wire Date=WireAmount Wire Type Sending Bank Receiving Bank Case Number Originator Beneficiary ngs Sara IMAD Number Number