Securities Enforcement Empirical Database (SEED)

Defendant Name: Peter Y. Jen

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Trident Microsystems, Inc., Frank C. Lin, and Peter Y. Jen

First Document Date 16-Jul-2010

Initial Filing Format Civil Proceeding

Case Number 10-cv-01202

Allegation Type Issuer Reporting and Disclosure

Federal District Court District of Columbia, District of Columbia

Affiliations

Former: Chief Administrative Officer at Trident Microsystems, Inc. (February 2005—April 30, 2007)

Violations Alleged

Exchange Act

• Sec 10(b) + Rule 10b-5

• Rule 13a-14

• Sec 13(b)(5)

• Sec 14(a)

• Rule 14a-9

Securities Act

• Sec 17(a)(1)

• Sec 17(a)(2)

• Sec 17(a)(3)

• Sec 17(a) (Not specified)

Other

• Section 16(a) Exchange Act; Rules 13b2-1, 13b2-2, 16a-3 Exchange Act

Related Violations Alleged

Peter Y. Jen is alleged to have aided and abetted Trident Microsystems, Inc.'s violation of Rule 12b-20 of the Exchange Act (willfully/knowingly).

Peter Y. Jen is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 12b-20 of the Exchange Act (willfully/knowingly).

Peter Y. Jen is alleged to have aided and abetted Trident Microsystems, Inc.'s violation of Sec 13(a) of the Exchange Act (willfully/knowingly).

Peter Y. Jen is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(a) of the Exchange Act (willfully/knowingly).

Peter Y. Jen is alleged to have aided and abetted Trident Microsystems, Inc.'s violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).

Peter Y. Jen is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).

Peter Y. Jen is alleged to have aided and abetted Trident Microsystems, Inc.'s violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).

Peter Y. Jen is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).

Peter Y. Jen is alleged to have aided and abetted Trident Microsystems, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.

Peter Y. Jen is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(A) of the Exchange Act (willfully/knowingly).

Peter Y. Jen is alleged to have aided and abetted Trident Microsystems, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.

Peter Y. Jen is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 13(b)(2)(B) of the Exchange Act (willfully/knowingly).

Peter Y. Jen is alleged to have aided and abetted Trident Microsystems, Inc.'s violation of Sec 14(a) of the Exchange Act.

Peter Y. Jen is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 14(a) of the Exchange Act (willfully/knowingly).

Peter Y. Jen is alleged to have aided and abetted Trident Microsystems, Inc.'s violation of Rule 14a-9 of the Exchange Act.

Peter Y. Jen is alleged to have aided and abetted an unidentified individual or entity's violation of Rule 14a-9 of the Exchange Act (willfully/knowingly).

Resolutions

Bars:

Bar from acting as Director or Officer of a public company for 5 years

First Resolution Date 16-Jul-2010

Headline Total Penalty and Disgorgement $1,577,329

Other Defendants in Action:

Trident Microsystems, Inc.

Frank C. Lin