Preview
FILED: NEW YORK COUNTY CLERK 09/11/2023 11:05 PM INDEX NO. 650710/2023
NYSCEF DOC. NO. 109 RECEIVED NYSCEF: 09/11/2023
EXHIBIT E
FILED: NEW YORK COUNTY CLERK 09/11/2023 11:05 PM INDEX NO. 650710/2023
NYSCEF DOC. NO. 109 RECEIVED NYSCEF: 09/11/2023
SUPREME COURT OF THE STATE OF NEW YORK
COUNTY OF NEW YORK
ALBERTO JOSEPH SAFRA,
Plaintiff, Index No.: 650710/2023
-against- Commercial Division
IAS Part 49
SNBNY HOLDINGS LIMITED, CARLOS Hon. Margaret Chan, JSC
ALBERTO VIEIRA, CARLOS CESAR
BERTACO BOMFIM, SIMONI PASSOS PLAINTIFF’S
MORATO, VICKY SAFRA, JACOB JURISDICTIONAL REQUESTS FOR
JOSEPH SAFRA, AND DAVID JOSEPH PRODUCTION
SAFRA,
Defendants.
PLEASE TAKE NOTICE that, pursuant to N.Y. C.P.L.R. 3211, 3120 and Rule 11 of the
Rules of the Commercial Division of the Supreme Court, Plaintiff Alberto Joseph Safra
(“Alberto”) hereby demands that Defendants SNBNY Holdings Limited (“SNBNY”), Carlos
Alberto Vieira, Carlos Cesar Bertaco Bomfim, Simoni Passos Morato (the “Director Defendants”),
and Vicky Safra, Jacob Joseph Safra, and David Joseph Safra (the “Family Defendants”) produce
the following documents or things for inspection and copying within twenty days at the offices of
Quinn Emanuel Urquhart & Sullivan, LLP, 51 Madison Avenue, 22nd Floor, New York, New
York, 10010. The documents requested for discovery and inspection are to be produced according
to the definitions and instructions herein.
FILED: NEW YORK COUNTY CLERK 09/11/2023 11:05 PM INDEX NO. 650710/2023
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DEFINITIONS
As used herein, the following terms shall have the meanings indicated below:
1. “Action” shall mean the above-captioned action.
2. “Any” and “All” are mutually interchangeable and are meant to encompass one
another.
3. “Communication” shall be construed to the fullest extent under New York law and
shall mean, without limitation, the transmittal, disclosure, transfer, or exchange of information (in
the form of facts, ideas, inquiries, or otherwise), by any means whatsoever, including orally or in
writing, and by any medium whatsoever, including in person, via telephone or via digital or
electronic communication.
4. “Complaint” shall mean the Complaint filed in the Action on February 6, 2023,
and any amendments thereto.
5. “Motion to Dismiss” shall mean the motion to dismiss filed in the action on June
26, 2023 and any exhibits filed with the motion to dismiss.
6. “Affirmations” shall mean any affirmation/affidavit filed with the motion to
dismiss.
7. “Defendants” shall mean the parties named as Defendants in the Complaint and
any of their members, employees, representatives, officers, directors, managers, agents, attorneys,
assigns, predecessors, affiliates, parents, subsidiaries, and any other entities or Persons acting or
purporting to act on their behalf.
8. “Dilution Events” shall have the meaning ascribed to it in the Complaint.
9. “Document Request” shall mean each of the specific document requests set forth
herein, individually or collectively as the context requires, understood in connection with the
Definitions and Instructions herein.
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10. “Document” shall be construed to the fullest extent under New York law and shall
mean, without limitation, the original and all copies and translations of any information in any
written, recorded, electronic, or graphic form including all memoranda, notes, interoffice and
intraoffice communications, telegrams, telecopies, letters, reports, stenographic notes, bulletins,
notices, forms, emails, text messages or other messaging-application messages, instant messages
or other electronic-chat messages, telephonic or personal communications, computer models,
spreadsheets, data, accounts, records, calendars, diaries, minutes, contracts or other legal papers,
resolutions, written policies or procedures, insurance policies, audio records, photographs,
microform, film, and any electronically stored information stored in any medium including
computer backup devices in Your possession, custody, or control or the possession, custody, or
control of Your attorneys, agents, or other Persons under Your control. Without limiting the
foregoing, “Document” includes any copy that differs in any respect from the original or other
versions of the document, such as copies containing notations, signatures, insertions, corrections,
margin notes, or any other variations. The term “Document” includes Communications.
11. “Draft” shall mean any earlier, preliminary, preparatory, or tentative version of all
or part of a Document, whether or not such Draft was superseded by a later Draft and whether or
not the terms of the Draft are the same as or different from the terms of the final Document.
12. “Including” shall mean “including, without limitation” or “including, but not
limited to.”
13. “Individual Defendants” shall mean any defendant that is not SNBNY, which
includes Carlos Alberto Vieira, Carlos Cesar Bertaco Bomfim, Simoni Passos Morato, Vicky
Safra, Jacob Joseph Safra, and David Joseph Safra.
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14. “Information” shall mean facts, opinions, data, and/or matter learned or known
about any topic or Person.
15. “Person” shall mean any natural person or legal entity, including a corporation,
partnership, proprietorship, group, association, organization, business entity, governmental body,
agency, or trust, and its predecessors, successors or current and former parents, subsidiaries,
affiliates, partners, officers, directors, employees, representatives, agents (including attorneys,
accountants and investment or other advisors), or any other Person or entity acting, or purporting
to act, on its behalf.
16. “Plaintiff” shall mean Alberto Joseph Safra and any of his agents, attorneys, and
any other entities or Persons acting or purporting to act on his behalf.
17. “Relating to,” “Related to,” “Concerning,” or “Regarding” in addition to their
customary and usual meanings, shall mean directly or indirectly, in whole or in part, relating to,
referring to, concerning, discussing, evidencing, containing, constituting, reflecting, mentioning,
assessing, characterizing, recording, describing, touching upon, summarizing, commenting on,
showing, disclosing, supporting, explaining, recording, stating, memorializing, noting, analyzing,
contradicting, disputing, or in any way legally, logically, or factually dealing with or connected to
the subject matter described.
18. “Safra National Bank” shall mean Safra National Bank of New York, as well as
(a) any of its partners, predecessors, divisions, business segments, branches, subsidiaries or
affiliates, parent companies and any of their or Safra National Bank of New York’s past or present
directors, boards of directors, committees, officers, agents, employees, representatives, associates,
or attorneys; and (b) any other person or entity purporting to act on behalf of and/or for the benefit
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of Safra National Bank of New York, and/or any person or entity set forth in subsection (a) of this
definition.
19. “SNBNY” shall mean SNBNY Holdings Limited, as well as (a) any of its partners,
predecessors, divisions, business segments, branches, subsidiaries or affiliates (including Safra
National Bank and SNYC), parent companies and any of their or SNBNY Holdings Limited’s past
or present directors, boards of directors, committees, officers, agents, employees, representatives,
associates, or attorneys; and (b) any other person or entity purporting to act on behalf of and/or for
the benefit of SNBNY Holdings Limited, and/or any person or entity set forth in subsection (a) of
this definition.
20. “SNYC” shall mean Safra New York Corporation, as well as (a) any of its partners,
predecessors, divisions, business segments, branches, subsidiaries or affiliates, parent companies
and any of their or Safra New York Corporation’s past or present directors, boards of directors,
committees, officers, agents, employees, representatives, associates, or attorneys; and (b) any other
person or entity purporting to act on behalf of and/or for the benefit of Safra New York
Corporation, and/or any person or entity set forth in subsection (a) of this definition.
21. “You” and “Your” shall mean the Defendant responding to these requests,
including, as applicable, and any of their members, employees, representatives, officers, directors,
managers, agents, attorneys, assigns, predecessors, affiliates, parents, subsidiaries, and any other
entities or Persons acting or purporting to act on their behalf.
INSTRUCTIONS
1. Unless otherwise indicated, the Documents requested to be inspected and produced
in this request include all Documents in Your possession, custody, or control. Without limiting
the terms “possession, custody, or control” as used in the preceding sentence, a Document is in
Your possession, custody, or control if You have actual possession or custody or the right to obtain
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the Document or a copy thereof upon demand from one or more of Your members, employees,
representatives, agents, attorneys, assigns, affiliates, parents, subsidiaries, independent
contractors, consultants, or any other Person or public or private entity that has actual physical
possession thereof. In respect of email, the terms “possession, custody, or control” include,
without regard to the subdirectory path where stored: (a) “deleted” emails that have not been
permanently deleted, (b) “sent” emails, (c) “received” emails, (d) emails stored in any personal
accounts, and (e) any Drafts of the foregoing that have not been permanently deleted.
2. Produce each Document as it is kept in the usual course of business.
3. Select Documents from files and other sources and number such Documents so that
the source of each Document may be readily determined.
4. Produce file folders with tabs or labels intact with such Documents.
5. Produce complete electronic-file directories intact with such Documents.
6. A document with handwritten, typewritten or other recorded notes, editing marks,
etc., is not and shall not be deemed to be identical to one without such modifications, additions, or
deletions.
7. Do not separate Documents attached to each other.
8. Produce each Document in its entirety, without abbreviation or redaction, and
include all attachments, transmittal sheets, notes, cover letters, exhibits, appendices, enclosures,
and all Drafts and non-identical copies of each Document.
9. Produce Documents not otherwise responsive to a request if such Documents are
attached to, or enclosed with, any responsive Document. In respect of email, produce the email
and all attachments if either the email or any attachment is responsive.
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10. Produce Documents not otherwise responsive to these requests if such Documents
mention, discuss, refer to, or explain the Documents that are called for by the requests, or if such
Documents are attached to Documents called for by these requests and constitute routing slips,
transmittal memoranda, letters, emails, comments, evaluations, or similar materials.
11. If You withhold any Document requested herein on the basis of any assertion of
privilege or other immunity from discovery, comply with the requirements of CPLR 3122(b).
12. You are further requested to provide all portions of requested Documents that are
not subject to a claim of privilege or other reason for nonproduction by excising or otherwise
protecting the portions for which a privilege is asserted, if such a technique does not result in
disclosing the contents of the portions for which some privilege is asserted.
13. If Your response to a particular request is a statement that You lack the ability to
comply with that request, specify whether the inability to comply is because the particular item or
category of information never existed; was destroyed, lost, misplaced, or stolen; or was never, or
is no longer, in Your possession, custody, or control. Provide the name and address of any Person
known or believed by You to have possession, custody, or control of that particular item or
category of information.
14. In the event that any Document responsive to the Requests was, but is no longer, in
Your possession, custody, or control, or has been lost, destroyed, discarded, or otherwise disposed
of, You are requested to identify such Document as completely as possible, including without
limitation, the following information: (a) the nature of the Document; (b) the person who prepared
or authorized the Document and, if applicable, the person to whom the Document was sent; (c) the
date on which the Document was prepared or transmitted; and (d) if possible, what has happened
to the Document and where it or any copies of it may be located, or if the Document was lost or
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destroyed, the date on which the Document was lost or destroyed, and, if destroyed, the conditions
of and the reasons for such destruction and the persons requesting and performing the destruction.
15. If no documents are responsive to a particular Request, you are to state that no
responsive documents exist.
16. In the event that you object to any Request on the ground that it is overbroad or
unduly burdensome for any reason, respond to that Request as narrowed to the least extent
necessary, in your judgment, to render it not overbroad/unduly burdensome and state specifically
the extent to which you have narrowed that Request for purposes of your response and the factual
basis for your conclusion.
17. Production of any Document by another Person does not relieve You of Your
obligation to produce Your copy of the same Document, even if the two Documents are identical.
18. The singular includes the plural and vice versa. The words “and” and “or” are either
conjunctive or disjunctive so that the scope of any request is most inclusive. The words “all” and
“any” mean “any and all.” The words “each” and “every” shall mean “each and every.” The word
“including” means “including, but not limited to.”
19. These requests are continuing. Supplement Your responses in the event You obtain
or discover additional information after any of Your responses.
20. Each request is independent. No request limits the scope of any other request.
21. Capitalized terms not defined herein shall have the meaning ascribed to them in the
Complaint.
22. The use of defined terms apply whether or not they are capitalized.
23. The use of masculine, feminine or neutral pronouns shall not exclude other genders.
24. The past tense shall be construed to include the present tense and vice versa.
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25. References to entities or corporations other than natural persons, including
SNBNY, and their affiliates, shall be deemed to include, in addition to the entity named, its
divisions, departments, subsidiaries, affiliates, parents, predecessors, present or former officers,
present or former directors, employees, agents, representatives, accountants and attorneys,
successors, and all other persons acting or purporting to act on behalf of each such entity or
corporation.
26. Documents in electronic form, including emails, should be produced in color in
single page tagged image file format (“TIFF”). TIFFs shall show all text and images that would
be visible in the original electronic format (native format), including redlines and speaker notes,
and Plaintiff reserves the right to make a reasonable request for the production of any documents
in native format. An associated load file linking the images to the corresponding Document should
be provided. All metadata associated with any electronically stored information shall be produced
in text format linked to the associated Document. Extracted text or, if extracted text is not
available, optical character recognition (OCR) text should be provided in Document-level text
files. Alternatively, Documents in electronic form may be produced in a manner consistent with
any e-discovery stipulation that is filed in this Action.
27. Unless otherwise specified, these requests seek documents prepared, sent,
provided, received, in possession during, or relating to, the period from January 1, 2017 to the date
of trial (the “Relevant Period”), or relating to such period whenever prepared.
28. The Documents requested herein shall be delivered within twenty days to the law
office of Quinn, Emanuel, Urquhart & Sullivan at 51 Madison Avenue 22nd Floor, New York, New
York, unless otherwise agreed to by the parties. Said delivery shall occur between the hours of
9:00 a.m. and 5:00 p.m., Monday through Friday. In the event that the Documents to be produced
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cannot be left unattended by you or your representative, then you are requested to contact the office
of the undersigned counsel to arrange a mutually agreeable date for the production of the
Documents or objects.
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REQUESTS FOR PRODUCTION
REQUEST NO. 1:
Documents sufficient to show SNBNY’s governance and organizational structure,
including SNBNY’s complete corporate organization chart, indicating all direct and indirect
interests held by SNBNY and by any one or more of its subsidiaries and the identities of the
members of the board of directors, officers, and senior management of SNBNY and each of its
subsidiaries.
REQUEST NO. 2:
The organizational formation documents of SNBNY and each of its subsidiaries, including,
but not limited to, the corporate charter, certificate of incorporation, articles of incorporation,
and/or shareholder voting, voting trust, or other agreements relating to the exercise of control over
the management or corporate affairs of SNBNY and each of its subsidiaries.
REQUEST NO. 3:
Documents sufficient to show the percentage of revenue that is earned for interstate or
international business derived from (i) SNBNY, (ii) SNYC, and (iii) Safra National Bank on an
annual basis during the Relevant Period.
REQUEST NO. 4:
Documents sufficient to show any personnel employed by SNBNY that are based in the
state of New York, work from Safra National Bank’s office in the state of New York, or travel to
New York to perform work for SNBNY or any of its subsidiaries.
REQUEST NO. 5:
All Documents and Communications Concerning the Individual Defendants’ preparation,
supervision, input, review, discussion, or any other role or action taken by or on their behalf
regarding the creation of financial reports and audited and unaudited financial statements and
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disclosures of SNBNY and any valuation or revaluation of any subsidiary of SNBNY, including
Documents sufficient to show the location of each person at the time of their involvement in the
preparation, supervision, input, review, discussion or any other role or action regarding the creation
of such financial reports and financial statements and disclosures.
REQUEST NO. 6:
All Documents and Communications Concerning the Individual Defendants’ preparation,
supervision, input, review, discussion, or any other role or action taken by or on their behalf
regarding the decision to cause SNBNY to switch from the US GAAP accounting standard to the
International Financial Reporting Standards for the preparation of its financial statements in 2019,
including Documents sufficient to show the location of each person at the time of their involvement
in the preparation, supervision, input, review, discussion or any other role or action regarding the
decision to cause SNBNY to switch from the US GAAP accounting standard to the International
Financial Reporting Standards for the preparation of its financial statements in 2019.
REQUEST NO. 7:
All Documents and Communications Concerning the Individual Defendants’ preparation,
supervision, input, review, discussion, or any other role or action taken by or on their behalf
regarding the Dilution Events, including Documents sufficient to show the location of each person
at the time of their involvement in the preparation, supervision, input, review, discussion or any
other role or action regarding the Dilution Events.
REQUEST NO. 8:
Documents sufficient to show all tangible or intangible assets, including property and
investments, owned, controlled, used or maintained by any Defendant in the state of New York,
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whether such assets are held in the name of such Defendant or any subsidiary entity or person, as
of the date of the inception of this action.
REQUEST NO. 9:
Documents sufficient to show all accounts at any financial institution or bank located in
the State of New York that were used, maintained or controlled by SNBNY during the Relevant
Period.
REQUEST NO. 10:
Documents sufficient to show all accounts at any financial institution or bank located in
the State of New York that were used, maintained or controlled by any Individual Defendant during
the Relevant Period.
REQUEST NO. 11:
All Communications between any Defendant, on the one hand, and the Federal Reserve
Bank of New York or any New York based regulatory entity, on the other hand, relating to SNBNY
during the relevant period.
REQUEST NO. 12:
Documents sufficient to show that “Mr. Bertaco lives in New Jersey, and Mr. Vieira is
domiciled in Brazil.”
REQUEST NO. 13:
All Documents supporting, providing a basis for, contradicting, or otherwise concerning
any of the jurisdictional allegations contained or claims asserted in the Motion to Dismiss.
REQUEST NO. 14:
All Documents supporting, providing a basis for, contradicting, or otherwise concerning
any affirmation used in the Motion to Dismiss.
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Dated: New York, New York QUINN EMANUEL URQUHART &
September 11, 2023 SULLIVAN LLP
By:
/s/ Jonathan Oblak
Michael B. Carlinsky
Jonathan Oblak
Jeremy Baldoni
Alexander Schwartz
51 Madison Avenue
22nd Floor
New York, New York 10010
(212) 849-7150
michaelcarlinsky@quinnemanuel.com
jonoblak@quinnemanuel.com
jeremybaldoni@quinnemanuel.com
alexanderschwartz@quinnemanuel.com
DORF NELSON & ZAUDERER LLP
Mark C. Zauderer
Ira B. Matetsky
Grant A. Shehigian
475 Fifth Avenue, 17th Floor
New York, New York 10017
(212) 485-0005
mzauderer@dorflaw.com
gshehigian@dorflaw.com
imatetsky@dorflaw.com
Counsel for Plaintiff
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SUPREME COURT OF THE STATE OF NEW YORK
COUNTY OF NEW YORK
ALBERTO JOSEPH SAFRA,
Plaintiff, Index No.: 650710/2023
-against- Commercial Division
IAS Part 49
SNBNY HOLDINGS LIMITED, CARLOS Hon. Margaret Chan, JSC
ALBERTO VIEIRA, CARLOS CESAR
BERTACO BOMFIM, SIMONI PASSOS PLAINTIFF’S
MORATO, VICKY SAFRA, JACOB JURISDICTIONAL REQUESTS FOR
JOSEPH SAFRA, AND DAVID JOSEPH PRODUCTION
SAFRA,
Defendants.
PLEASE TAKE NOTICE that, pursuant to N.Y. C.P.L.R. 3211, 3120 and Rule 11 of the
Rules of the Commercial Division of the Supreme Court, Plaintiff Alberto Joseph Safra
(“Alberto”) hereby demands that Defendants SNBNY Holdings Limited (“SNBNY”), Carlos
Alberto Vieira, Carlos Cesar Bertaco Bomfim, Simoni Passos Morato (the “Director Defendants”),
and Vicky Safra, Jacob Joseph Safra, and David Joseph Safra (the “Family Defendants”) produce
the following documents or things for inspection and copying within twenty days at the offices of
Quinn Emanuel Urquhart & Sullivan, LLP, 51 Madison Avenue, 22nd Floor, New York, New
York, 10010. The documents requested for discovery and inspection are to be produced according
to the definitions and instructions herein.
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DEFINITIONS
As used herein, the following terms shall have the meanings indicated below:
1. “Action” shall mean the above-captioned action.
2. “Any” and “All” are mutually interchangeable and are meant to encompass one
another.
3. “Communication” shall be construed to the fullest extent under New York law and
shall mean, without limitation, the transmittal, disclosure, transfer, or exchange of information (in
the form of facts, ideas, inquiries, or otherwise), by any means whatsoever, including orally or in
writing, and by any medium whatsoever, including in person, via telephone or via digital or
electronic communication.
4. “Complaint” shall mean the Complaint filed in the Action on February 6, 2023,
and any amendments thereto.
5. “Motion to Dismiss” shall mean the motion to dismiss filed in the action on June
26, 2023 and any exhibits filed with the motion to dismiss.
6. “Affirmations” shall mean any affirmation/affidavit filed with the motion to
dismiss.
7. “Defendants” shall mean the parties named as Defendants in the Complaint and
any of their members, employees, representatives, officers, directors, managers, agents, attorneys,
assigns, predecessors, affiliates, parents, subsidiaries, and any other entities or Persons acting or
purporting to act on their behalf.
8. “Dilution Events” shall have the meaning ascribed to it in the Complaint.
9. “Document Request” shall mean each of the specific document requests set forth
herein, individually or collectively as the context requires, understood in connection with the
Definitions and Instructions herein.
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10. “Document” shall be construed to the fullest extent under New York law and shall
mean, without limitation, the original and all copies and translations of any information in any
written, recorded, electronic, or graphic form including all memoranda, notes, interoffice and
intraoffice communications, telegrams, telecopies, letters, reports, stenographic notes, bulletins,
notices, forms, emails, text messages or other messaging-application messages, instant messages
or other electronic-chat messages, telephonic or personal communications, computer models,
spreadsheets, data, accounts, records, calendars, diaries, minutes, contracts or other legal papers,
resolutions, written policies or procedures, insurance policies, audio records, photographs,
microform, film, and any electronically stored information stored in any medium including
computer backup devices in Your possession, custody, or control or the possession, custody, or
control of Your attorneys, agents, or other Persons under Your control. Without limiting the
foregoing, “Document” includes any copy that differs in any respect from the original or other
versions of the document, such as copies containing notations, signatures, insertions, corrections,
margin notes, or any other variations. The term “Document” includes Communications.
11. “Draft” shall mean any earlier, preliminary, preparatory, or tentative version of all
or part of a Document, whether or not such Draft was superseded by a later Draft and whether or
not the terms of the Draft are the same as or different from the terms of the final Document.
12. “Including” shall mean “including, without limitation” or “including, but not
limited to.”
13. “Individual Defendants” shall mean any defendant that is not SNBNY, which
includes Carlos Alberto Vieira, Carlos Cesar Bertaco Bomfim, Simoni Passos Morato, Vicky
Safra, Jacob Joseph Safra, and David Joseph Safra.
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14. “Information” shall mean facts, opinions, data, and/or matter learned or known
about any topic or Person.
15. “Person” shall mean any natural person or legal entity, including a corporation,
partnership, proprietorship, group, association, organization, business entity, governmental body,
agency, or trust, and its predecessors, successors or current and former parents, subsidiaries,
affiliates, partners, officers, directors, employees, representatives, agents (including attorneys,
accountants and investment or other advisors), or any other Person or entity acting, or purporting
to act, on its behalf.
16. “Plaintiff” shall mean Alberto Joseph Safra and any of his agents, attorneys, and
any other entities or Persons acting or purporting to act on his behalf.
17. “Relating to,” “Related to,” “Concerning,” or “Regarding” in addition to their
customary and usual meanings, shall mean directly or indirectly, in whole or in part, relating to,
referring to, concerning, discussing, evidencing, containing, constituting, reflecting, mentioning,
assessing, characterizing, recording, describing, touching upon, summarizing, commenting on,
showing, disclosing, supporting, explaining, recording, stating, memorializing, noting, analyzing,
contradicting, disputing, or in any way legally, logically, or factually dealing with or connected to
the subject matter described.
18. “Safra National Bank” shall mean Safra National Bank of New York, as well as
(a) any of its partners, predecessors, divisions, business segments, branches, subsidiaries or
affiliates, parent companies and any of their or Safra National Bank of New York’s past or present
directors, boards of directors, committees, officers, agents, employees, representatives, associates,
or attorneys; and (b) any other person or entity purporting to act on behalf of and/or for the benefit
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of Safra National Bank of New York, and/or any person or entity set forth in subsection (a) of this
definition.
19. “SNBNY” shall mean SNBNY Holdings Limited, as well as (a) any of its partners,
predecessors, divisions, business segments, branches, subsidiaries or affiliates (including Safra
National Bank and SNYC), parent companies and any of their or SNBNY Holdings Limited’s past
or present directors, boards of directors, committees, officers, agents, employees, representatives,
associates, or attorneys; and (b) any other person or entity purporting to act on behalf of and/or for
the benefit of SNBNY Holdings Limited, and/or any person or entity set forth in subsection (a) of
this definition.
20. “SNYC” shall mean Safra New York Corporation, as well as (a) any of its partners,
predecessors, divisions, business segments, branches, subsidiaries or affiliates, parent companies
and any of their or Safra New York Corporation’s past or present directors, boards of directors,
committees, officers, agents, employees, representatives, associates, or attorneys; and (b) any other
person or entity purporting to act on behalf of and/or for the benefit of Safra New York
Corporation, and/or any person or entity set forth in subsection (a) of this definition.
21. “You” and “Your” shall mean the Defendant responding to these requests,
including, as applicable, and any of their members, employees, representatives, officers, directors,
managers, agents, attorneys, assigns, predecessors, affiliates, parents, subsidiaries, and any other
entities or Persons acting or purporting to act on their behalf.
INSTRUCTIONS
1. Unless otherwise indicated, the Documents requested to be inspected and produced
in this request include all Documents in Your possession, custody, or control. Without limiting
the terms “possession, custody, or control” as used in the preceding sentence, a Document is in
Your possession, custody, or control if You have actual possession or custody or the right to obtain
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the Document or a copy thereof upon demand from one or more of Your members, employees,
representatives, agents, attorneys, assigns, affiliates, parents, subsidiaries, independent
contractors, consultants, or any other Person or public or private entity that has actual physical
possession thereof. In respect of email, the terms “possession, custody, or control” include,
without regard to the subdirectory path where stored: (a) “deleted” emails that have not been
permanently deleted, (b) “sent” emails, (c) “received” emails, (d) emails stored in any personal
accounts, and (e) any Drafts of the foregoing that have not been permanently deleted.
2. Produce each Document as it is kept in the usual course of business.
3. Select Documents from files and other sources and number such Documents so that
the source of each Document may be readily determined.
4. Produce file folders with tabs or labels intact with such Documents.
5. Produce complete electronic-file directories intact with such Documents.
6. A document with handwritten, typewritten or other recorded notes, editing marks,
etc., is not and shall not be deemed to be identical to one without such modifications, additions, or
deletions.
7. Do not separate Documents attached to each other.
8. Produce each Document in its entirety, without abbreviation or redaction, and
include all attachments, transmittal sheets, notes, cover letters, exhibits, appendices, enclosures,
and all Drafts and non-identical copies of each Document.
9. Produce Documents not otherwise responsive to a request if such Documents are
attached to, or enclosed with, any responsive Document. In respect of email, produce the email
and all attachments if either the email or any attachment is responsive.
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10. Produce Documents not otherwise responsive to these requests if such Documents
mention, discuss, refer to, or explain the Documents that are called for by the requests, or if such
Documents are attached to Documents called for by these requests and constitute routing slips,
transmittal memoranda, letters, emails, comments, evaluations, or similar materials.
11. If You withhold any Document requested herein on the basis of any assertion of
privilege or other immunity from discovery, comply with the requirements of CPLR 3122(b).
12. You are further requested to provide all portions of requested Documents that are
not subject to a claim of privilege or other reason for nonproduction by excising or otherwise
protecting the portions for which a privilege is asserted, if such a technique does not result in
disclosing the contents of the portions for which some privilege is asserted.
13. If Your response to a particular request is a statement that You lack the ability to
comply with that request, specify whether the inability to comply is because the particular item or
category of information never existed; was destroyed, lost, misplaced, or stolen; or was never, or
is no longer, in Your possession, custody, or control. Provide the name and address of any Person
known or believed by You to have possession, custody, or control of that particular item or
category of information.
14. In the event that any Document responsive to the Requests was, but is no longer, in
Your possession, custody, or control, or has been lost, destroyed, discarded, or otherwise disposed
of, You are requested to identify such Document as completely as possible, including without
limitation, the following information: (a) the nature of the Document; (b) the person who prepared
or authorized the Document and, if applicable, the person to whom the Document was sent; (c) the
date on which the Document was prepared or transmitted; and (d) if possible, what has happened
to the Document and where it or any copies of it may be located, or if the Document was lost or
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destroyed, the date on which the Document was lost or destroyed, and, if destroyed, the conditions
of and the reasons for such destruction and the persons requesting and performing the destruction.
15. If no documents are responsive to a particular Request, you are to state that no
responsive documents exist.
16. In the event that you object to any Request on the ground that it is overbroad or
unduly burdensome for any reason, respond to that Request as narrowed to the least extent
necessary, in your judgment, to render it not overbroad/unduly burdensome and state specifically
the extent to which you have narrowed that Request for purposes of your response and the factual
basis for your conclusion.
17. Production of any Document by another Person does not relieve You of Your
obligation to produce Your copy of the same Document, even if the two Documents are identical.
18. The singular includes the plural and vice versa. The words “and” and “or” are either
conjunctive or disjunctive so that the scope of any request is most inclusive. The words “all” and
“any” mean “any and all.” The words “each” and “every” shall mean “each and every.” The word
“including” means “including, but not limited to.”
19. These requests are continuing. Supplement Your responses in the event You obtain
or discover additional information after any of Your responses.
20. Each request is independent. No request limits the scope of any other request.
21. Capitalized terms not defined herein shall have the meaning ascribed to them in the
Complaint.
22. The use of defined terms apply whether or not the
Preview
FILED: NEW YORK COUNTY CLERK 09/11/2023 11:05 PM INDEX NO. 650710/2023 NYSCEF DOC. NO. 109 RECEIVED NYSCEF: 09/11/2023 EXHIBIT E FILED: NEW YORK COUNTY CLERK 09/11/2023 11:05 PM INDEX NO. 650710/2023 NYSCEF DOC. NO. 109 RECEIVED NYSCEF: 09/11/2023 SUPREME COURT OF THE STATE OF NEW YORK COUNTY OF NEW YORK ALBERTO JOSEPH SAFRA, Plaintiff, Index No.: 650710/2023 -against- Commercial Division IAS Part 49 SNBNY HOLDINGS LIMITED, CARLOS Hon. Margaret Chan, JSC ALBERTO VIEIRA, CARLOS CESAR BERTACO BOMFIM, SIMONI PASSOS PLAINTIFF’S MORATO, VICKY SAFRA, JACOB JURISDICTIONAL REQUESTS FOR JOSEPH SAFRA, AND DAVID JOSEPH PRODUCTION SAFRA, Defendants. PLEASE TAKE NOTICE that, pursuant to N.Y. C.P.L.R. 3211, 3120 and Rule 11 of the Rules of the Commercial Division of the Supreme Court, Plaintiff Alberto Joseph Safra (“Alberto”) hereby demands that Defendants SNBNY Holdings Limited (“SNBNY”), Carlos Alberto Vieira, Carlos Cesar Bertaco Bomfim, Simoni Passos Morato (the “Director Defendants”), and Vicky Safra, Jacob Joseph Safra, and David Joseph Safra (the “Family Defendants”) produce the following documents or things for inspection and copying within twenty days at the offices of Quinn Emanuel Urquhart & Sullivan, LLP, 51 Madison Avenue, 22nd Floor, New York, New York, 10010. The documents requested for discovery and inspection are to be produced according to the definitions and instructions herein. FILED: NEW YORK COUNTY CLERK 09/11/2023 11:05 PM INDEX NO. 650710/2023 NYSCEF DOC. NO. 109 RECEIVED NYSCEF: 09/11/2023 DEFINITIONS As used herein, the following terms shall have the meanings indicated below: 1. “Action” shall mean the above-captioned action. 2. “Any” and “All” are mutually interchangeable and are meant to encompass one another. 3. “Communication” shall be construed to the fullest extent under New York law and shall mean, without limitation, the transmittal, disclosure, transfer, or exchange of information (in the form of facts, ideas, inquiries, or otherwise), by any means whatsoever, including orally or in writing, and by any medium whatsoever, including in person, via telephone or via digital or electronic communication. 4. “Complaint” shall mean the Complaint filed in the Action on February 6, 2023, and any amendments thereto. 5. “Motion to Dismiss” shall mean the motion to dismiss filed in the action on June 26, 2023 and any exhibits filed with the motion to dismiss. 6. “Affirmations” shall mean any affirmation/affidavit filed with the motion to dismiss. 7. “Defendants” shall mean the parties named as Defendants in the Complaint and any of their members, employees, representatives, officers, directors, managers, agents, attorneys, assigns, predecessors, affiliates, parents, subsidiaries, and any other entities or Persons acting or purporting to act on their behalf. 8. “Dilution Events” shall have the meaning ascribed to it in the Complaint. 9. “Document Request” shall mean each of the specific document requests set forth herein, individually or collectively as the context requires, understood in connection with the Definitions and Instructions herein. Page 2 of 14 FILED: NEW YORK COUNTY CLERK 09/11/2023 11:05 PM INDEX NO. 650710/2023 NYSCEF DOC. NO. 109 RECEIVED NYSCEF: 09/11/2023 10. “Document” shall be construed to the fullest extent under New York law and shall mean, without limitation, the original and all copies and translations of any information in any written, recorded, electronic, or graphic form including all memoranda, notes, interoffice and intraoffice communications, telegrams, telecopies, letters, reports, stenographic notes, bulletins, notices, forms, emails, text messages or other messaging-application messages, instant messages or other electronic-chat messages, telephonic or personal communications, computer models, spreadsheets, data, accounts, records, calendars, diaries, minutes, contracts or other legal papers, resolutions, written policies or procedures, insurance policies, audio records, photographs, microform, film, and any electronically stored information stored in any medium including computer backup devices in Your possession, custody, or control or the possession, custody, or control of Your attorneys, agents, or other Persons under Your control. Without limiting the foregoing, “Document” includes any copy that differs in any respect from the original or other versions of the document, such as copies containing notations, signatures, insertions, corrections, margin notes, or any other variations. The term “Document” includes Communications. 11. “Draft” shall mean any earlier, preliminary, preparatory, or tentative version of all or part of a Document, whether or not such Draft was superseded by a later Draft and whether or not the terms of the Draft are the same as or different from the terms of the final Document. 12. “Including” shall mean “including, without limitation” or “including, but not limited to.” 13. “Individual Defendants” shall mean any defendant that is not SNBNY, which includes Carlos Alberto Vieira, Carlos Cesar Bertaco Bomfim, Simoni Passos Morato, Vicky Safra, Jacob Joseph Safra, and David Joseph Safra. Page 3 of 14 FILED: NEW YORK COUNTY CLERK 09/11/2023 11:05 PM INDEX NO. 650710/2023 NYSCEF DOC. NO. 109 RECEIVED NYSCEF: 09/11/2023 14. “Information” shall mean facts, opinions, data, and/or matter learned or known about any topic or Person. 15. “Person” shall mean any natural person or legal entity, including a corporation, partnership, proprietorship, group, association, organization, business entity, governmental body, agency, or trust, and its predecessors, successors or current and former parents, subsidiaries, affiliates, partners, officers, directors, employees, representatives, agents (including attorneys, accountants and investment or other advisors), or any other Person or entity acting, or purporting to act, on its behalf. 16. “Plaintiff” shall mean Alberto Joseph Safra and any of his agents, attorneys, and any other entities or Persons acting or purporting to act on his behalf. 17. “Relating to,” “Related to,” “Concerning,” or “Regarding” in addition to their customary and usual meanings, shall mean directly or indirectly, in whole or in part, relating to, referring to, concerning, discussing, evidencing, containing, constituting, reflecting, mentioning, assessing, characterizing, recording, describing, touching upon, summarizing, commenting on, showing, disclosing, supporting, explaining, recording, stating, memorializing, noting, analyzing, contradicting, disputing, or in any way legally, logically, or factually dealing with or connected to the subject matter described. 18. “Safra National Bank” shall mean Safra National Bank of New York, as well as (a) any of its partners, predecessors, divisions, business segments, branches, subsidiaries or affiliates, parent companies and any of their or Safra National Bank of New York’s past or present directors, boards of directors, committees, officers, agents, employees, representatives, associates, or attorneys; and (b) any other person or entity purporting to act on behalf of and/or for the benefit Page 4 of 14 FILED: NEW YORK COUNTY CLERK 09/11/2023 11:05 PM INDEX NO. 650710/2023 NYSCEF DOC. NO. 109 RECEIVED NYSCEF: 09/11/2023 of Safra National Bank of New York, and/or any person or entity set forth in subsection (a) of this definition. 19. “SNBNY” shall mean SNBNY Holdings Limited, as well as (a) any of its partners, predecessors, divisions, business segments, branches, subsidiaries or affiliates (including Safra National Bank and SNYC), parent companies and any of their or SNBNY Holdings Limited’s past or present directors, boards of directors, committees, officers, agents, employees, representatives, associates, or attorneys; and (b) any other person or entity purporting to act on behalf of and/or for the benefit of SNBNY Holdings Limited, and/or any person or entity set forth in subsection (a) of this definition. 20. “SNYC” shall mean Safra New York Corporation, as well as (a) any of its partners, predecessors, divisions, business segments, branches, subsidiaries or affiliates, parent companies and any of their or Safra New York Corporation’s past or present directors, boards of directors, committees, officers, agents, employees, representatives, associates, or attorneys; and (b) any other person or entity purporting to act on behalf of and/or for the benefit of Safra New York Corporation, and/or any person or entity set forth in subsection (a) of this definition. 21. “You” and “Your” shall mean the Defendant responding to these requests, including, as applicable, and any of their members, employees, representatives, officers, directors, managers, agents, attorneys, assigns, predecessors, affiliates, parents, subsidiaries, and any other entities or Persons acting or purporting to act on their behalf. INSTRUCTIONS 1. Unless otherwise indicated, the Documents requested to be inspected and produced in this request include all Documents in Your possession, custody, or control. Without limiting the terms “possession, custody, or control” as used in the preceding sentence, a Document is in Your possession, custody, or control if You have actual possession or custody or the right to obtain Page 5 of 14 FILED: NEW YORK COUNTY CLERK 09/11/2023 11:05 PM INDEX NO. 650710/2023 NYSCEF DOC. NO. 109 RECEIVED NYSCEF: 09/11/2023 the Document or a copy thereof upon demand from one or more of Your members, employees, representatives, agents, attorneys, assigns, affiliates, parents, subsidiaries, independent contractors, consultants, or any other Person or public or private entity that has actual physical possession thereof. In respect of email, the terms “possession, custody, or control” include, without regard to the subdirectory path where stored: (a) “deleted” emails that have not been permanently deleted, (b) “sent” emails, (c) “received” emails, (d) emails stored in any personal accounts, and (e) any Drafts of the foregoing that have not been permanently deleted. 2. Produce each Document as it is kept in the usual course of business. 3. Select Documents from files and other sources and number such Documents so that the source of each Document may be readily determined. 4. Produce file folders with tabs or labels intact with such Documents. 5. Produce complete electronic-file directories intact with such Documents. 6. A document with handwritten, typewritten or other recorded notes, editing marks, etc., is not and shall not be deemed to be identical to one without such modifications, additions, or deletions. 7. Do not separate Documents attached to each other. 8. Produce each Document in its entirety, without abbreviation or redaction, and include all attachments, transmittal sheets, notes, cover letters, exhibits, appendices, enclosures, and all Drafts and non-identical copies of each Document. 9. Produce Documents not otherwise responsive to a request if such Documents are attached to, or enclosed with, any responsive Document. In respect of email, produce the email and all attachments if either the email or any attachment is responsive. Page 6 of 14 FILED: NEW YORK COUNTY CLERK 09/11/2023 11:05 PM INDEX NO. 650710/2023 NYSCEF DOC. NO. 109 RECEIVED NYSCEF: 09/11/2023 10. Produce Documents not otherwise responsive to these requests if such Documents mention, discuss, refer to, or explain the Documents that are called for by the requests, or if such Documents are attached to Documents called for by these requests and constitute routing slips, transmittal memoranda, letters, emails, comments, evaluations, or similar materials. 11. If You withhold any Document requested herein on the basis of any assertion of privilege or other immunity from discovery, comply with the requirements of CPLR 3122(b). 12. You are further requested to provide all portions of requested Documents that are not subject to a claim of privilege or other reason for nonproduction by excising or otherwise protecting the portions for which a privilege is asserted, if such a technique does not result in disclosing the contents of the portions for which some privilege is asserted. 13. If Your response to a particular request is a statement that You lack the ability to comply with that request, specify whether the inability to comply is because the particular item or category of information never existed; was destroyed, lost, misplaced, or stolen; or was never, or is no longer, in Your possession, custody, or control. Provide the name and address of any Person known or believed by You to have possession, custody, or control of that particular item or category of information. 14. In the event that any Document responsive to the Requests was, but is no longer, in Your possession, custody, or control, or has been lost, destroyed, discarded, or otherwise disposed of, You are requested to identify such Document as completely as possible, including without limitation, the following information: (a) the nature of the Document; (b) the person who prepared or authorized the Document and, if applicable, the person to whom the Document was sent; (c) the date on which the Document was prepared or transmitted; and (d) if possible, what has happened to the Document and where it or any copies of it may be located, or if the Document was lost or Page 7 of 14 FILED: NEW YORK COUNTY CLERK 09/11/2023 11:05 PM INDEX NO. 650710/2023 NYSCEF DOC. NO. 109 RECEIVED NYSCEF: 09/11/2023 destroyed, the date on which the Document was lost or destroyed, and, if destroyed, the conditions of and the reasons for such destruction and the persons requesting and performing the destruction. 15. If no documents are responsive to a particular Request, you are to state that no responsive documents exist. 16. In the event that you object to any Request on the ground that it is overbroad or unduly burdensome for any reason, respond to that Request as narrowed to the least extent necessary, in your judgment, to render it not overbroad/unduly burdensome and state specifically the extent to which you have narrowed that Request for purposes of your response and the factual basis for your conclusion. 17. Production of any Document by another Person does not relieve You of Your obligation to produce Your copy of the same Document, even if the two Documents are identical. 18. The singular includes the plural and vice versa. The words “and” and “or” are either conjunctive or disjunctive so that the scope of any request is most inclusive. The words “all” and “any” mean “any and all.” The words “each” and “every” shall mean “each and every.” The word “including” means “including, but not limited to.” 19. These requests are continuing. Supplement Your responses in the event You obtain or discover additional information after any of Your responses. 20. Each request is independent. No request limits the scope of any other request. 21. Capitalized terms not defined herein shall have the meaning ascribed to them in the Complaint. 22. The use of defined terms apply whether or not they are capitalized. 23. The use of masculine, feminine or neutral pronouns shall not exclude other genders. 24. The past tense shall be construed to include the present tense and vice versa. Page 8 of 14 FILED: NEW YORK COUNTY CLERK 09/11/2023 11:05 PM INDEX NO. 650710/2023 NYSCEF DOC. NO. 109 RECEIVED NYSCEF: 09/11/2023 25. References to entities or corporations other than natural persons, including SNBNY, and their affiliates, shall be deemed to include, in addition to the entity named, its divisions, departments, subsidiaries, affiliates, parents, predecessors, present or former officers, present or former directors, employees, agents, representatives, accountants and attorneys, successors, and all other persons acting or purporting to act on behalf of each such entity or corporation. 26. Documents in electronic form, including emails, should be produced in color in single page tagged image file format (“TIFF”). TIFFs shall show all text and images that would be visible in the original electronic format (native format), including redlines and speaker notes, and Plaintiff reserves the right to make a reasonable request for the production of any documents in native format. An associated load file linking the images to the corresponding Document should be provided. All metadata associated with any electronically stored information shall be produced in text format linked to the associated Document. Extracted text or, if extracted text is not available, optical character recognition (OCR) text should be provided in Document-level text files. Alternatively, Documents in electronic form may be produced in a manner consistent with any e-discovery stipulation that is filed in this Action. 27. Unless otherwise specified, these requests seek documents prepared, sent, provided, received, in possession during, or relating to, the period from January 1, 2017 to the date of trial (the “Relevant Period”), or relating to such period whenever prepared. 28. The Documents requested herein shall be delivered within twenty days to the law office of Quinn, Emanuel, Urquhart & Sullivan at 51 Madison Avenue 22nd Floor, New York, New York, unless otherwise agreed to by the parties. Said delivery shall occur between the hours of 9:00 a.m. and 5:00 p.m., Monday through Friday. In the event that the Documents to be produced Page 9 of 14 FILED: NEW YORK COUNTY CLERK 09/11/2023 11:05 PM INDEX NO. 650710/2023 NYSCEF DOC. NO. 109 RECEIVED NYSCEF: 09/11/2023 cannot be left unattended by you or your representative, then you are requested to contact the office of the undersigned counsel to arrange a mutually agreeable date for the production of the Documents or objects. Page 10 of 14 FILED: NEW YORK COUNTY CLERK 09/11/2023 11:05 PM INDEX NO. 650710/2023 NYSCEF DOC. NO. 109 RECEIVED NYSCEF: 09/11/2023 REQUESTS FOR PRODUCTION REQUEST NO. 1: Documents sufficient to show SNBNY’s governance and organizational structure, including SNBNY’s complete corporate organization chart, indicating all direct and indirect interests held by SNBNY and by any one or more of its subsidiaries and the identities of the members of the board of directors, officers, and senior management of SNBNY and each of its subsidiaries. REQUEST NO. 2: The organizational formation documents of SNBNY and each of its subsidiaries, including, but not limited to, the corporate charter, certificate of incorporation, articles of incorporation, and/or shareholder voting, voting trust, or other agreements relating to the exercise of control over the management or corporate affairs of SNBNY and each of its subsidiaries. REQUEST NO. 3: Documents sufficient to show the percentage of revenue that is earned for interstate or international business derived from (i) SNBNY, (ii) SNYC, and (iii) Safra National Bank on an annual basis during the Relevant Period. REQUEST NO. 4: Documents sufficient to show any personnel employed by SNBNY that are based in the state of New York, work from Safra National Bank’s office in the state of New York, or travel to New York to perform work for SNBNY or any of its subsidiaries. REQUEST NO. 5: All Documents and Communications Concerning the Individual Defendants’ preparation, supervision, input, review, discussion, or any other role or action taken by or on their behalf regarding the creation of financial reports and audited and unaudited financial statements and Page 11 of 14 FILED: NEW YORK COUNTY CLERK 09/11/2023 11:05 PM INDEX NO. 650710/2023 NYSCEF DOC. NO. 109 RECEIVED NYSCEF: 09/11/2023 disclosures of SNBNY and any valuation or revaluation of any subsidiary of SNBNY, including Documents sufficient to show the location of each person at the time of their involvement in the preparation, supervision, input, review, discussion or any other role or action regarding the creation of such financial reports and financial statements and disclosures. REQUEST NO. 6: All Documents and Communications Concerning the Individual Defendants’ preparation, supervision, input, review, discussion, or any other role or action taken by or on their behalf regarding the decision to cause SNBNY to switch from the US GAAP accounting standard to the International Financial Reporting Standards for the preparation of its financial statements in 2019, including Documents sufficient to show the location of each person at the time of their involvement in the preparation, supervision, input, review, discussion or any other role or action regarding the decision to cause SNBNY to switch from the US GAAP accounting standard to the International Financial Reporting Standards for the preparation of its financial statements in 2019. REQUEST NO. 7: All Documents and Communications Concerning the Individual Defendants’ preparation, supervision, input, review, discussion, or any other role or action taken by or on their behalf regarding the Dilution Events, including Documents sufficient to show the location of each person at the time of their involvement in the preparation, supervision, input, review, discussion or any other role or action regarding the Dilution Events. REQUEST NO. 8: Documents sufficient to show all tangible or intangible assets, including property and investments, owned, controlled, used or maintained by any Defendant in the state of New York, Page 12 of 14 FILED: NEW YORK COUNTY CLERK 09/11/2023 11:05 PM INDEX NO. 650710/2023 NYSCEF DOC. NO. 109 RECEIVED NYSCEF: 09/11/2023 whether such assets are held in the name of such Defendant or any subsidiary entity or person, as of the date of the inception of this action. REQUEST NO. 9: Documents sufficient to show all accounts at any financial institution or bank located in the State of New York that were used, maintained or controlled by SNBNY during the Relevant Period. REQUEST NO. 10: Documents sufficient to show all accounts at any financial institution or bank located in the State of New York that were used, maintained or controlled by any Individual Defendant during the Relevant Period. REQUEST NO. 11: All Communications between any Defendant, on the one hand, and the Federal Reserve Bank of New York or any New York based regulatory entity, on the other hand, relating to SNBNY during the relevant period. REQUEST NO. 12: Documents sufficient to show that “Mr. Bertaco lives in New Jersey, and Mr. Vieira is domiciled in Brazil.” REQUEST NO. 13: All Documents supporting, providing a basis for, contradicting, or otherwise concerning any of the jurisdictional allegations contained or claims asserted in the Motion to Dismiss. REQUEST NO. 14: All Documents supporting, providing a basis for, contradicting, or otherwise concerning any affirmation used in the Motion to Dismiss. Page 13 of 14 FILED: NEW YORK COUNTY CLERK 09/11/2023 11:05 PM INDEX NO. 650710/2023 NYSCEF DOC. NO. 109 RECEIVED NYSCEF: 09/11/2023 Dated: New York, New York QUINN EMANUEL URQUHART & September 11, 2023 SULLIVAN LLP By: /s/ Jonathan Oblak Michael B. Carlinsky Jonathan Oblak Jeremy Baldoni Alexander Schwartz 51 Madison Avenue 22nd Floor New York, New York 10010 (212) 849-7150 michaelcarlinsky@quinnemanuel.com jonoblak@quinnemanuel.com jeremybaldoni@quinnemanuel.com alexanderschwartz@quinnemanuel.com DORF NELSON & ZAUDERER LLP Mark C. Zauderer Ira B. Matetsky Grant A. Shehigian 475 Fifth Avenue, 17th Floor New York, New York 10017 (212) 485-0005 mzauderer@dorflaw.com gshehigian@dorflaw.com imatetsky@dorflaw.com Counsel for Plaintiff Page 14 of 14 FILED: NEW YORK COUNTY CLERK 09/11/2023 11:05 PM INDEX NO. 650710/2023 NYSCEF DOC. NO. 109 RECEIVED NYSCEF: 09/11/2023 SUPREME COURT OF THE STATE OF NEW YORK COUNTY OF NEW YORK ALBERTO JOSEPH SAFRA, Plaintiff, Index No.: 650710/2023 -against- Commercial Division IAS Part 49 SNBNY HOLDINGS LIMITED, CARLOS Hon. Margaret Chan, JSC ALBERTO VIEIRA, CARLOS CESAR BERTACO BOMFIM, SIMONI PASSOS PLAINTIFF’S MORATO, VICKY SAFRA, JACOB JURISDICTIONAL REQUESTS FOR JOSEPH SAFRA, AND DAVID JOSEPH PRODUCTION SAFRA, Defendants. PLEASE TAKE NOTICE that, pursuant to N.Y. C.P.L.R. 3211, 3120 and Rule 11 of the Rules of the Commercial Division of the Supreme Court, Plaintiff Alberto Joseph Safra (“Alberto”) hereby demands that Defendants SNBNY Holdings Limited (“SNBNY”), Carlos Alberto Vieira, Carlos Cesar Bertaco Bomfim, Simoni Passos Morato (the “Director Defendants”), and Vicky Safra, Jacob Joseph Safra, and David Joseph Safra (the “Family Defendants”) produce the following documents or things for inspection and copying within twenty days at the offices of Quinn Emanuel Urquhart & Sullivan, LLP, 51 Madison Avenue, 22nd Floor, New York, New York, 10010. The documents requested for discovery and inspection are to be produced according to the definitions and instructions herein. FILED: NEW YORK COUNTY CLERK 09/11/2023 11:05 PM INDEX NO. 650710/2023 NYSCEF DOC. NO. 109 RECEIVED NYSCEF: 09/11/2023 DEFINITIONS As used herein, the following terms shall have the meanings indicated below: 1. “Action” shall mean the above-captioned action. 2. “Any” and “All” are mutually interchangeable and are meant to encompass one another. 3. “Communication” shall be construed to the fullest extent under New York law and shall mean, without limitation, the transmittal, disclosure, transfer, or exchange of information (in the form of facts, ideas, inquiries, or otherwise), by any means whatsoever, including orally or in writing, and by any medium whatsoever, including in person, via telephone or via digital or electronic communication. 4. “Complaint” shall mean the Complaint filed in the Action on February 6, 2023, and any amendments thereto. 5. “Motion to Dismiss” shall mean the motion to dismiss filed in the action on June 26, 2023 and any exhibits filed with the motion to dismiss. 6. “Affirmations” shall mean any affirmation/affidavit filed with the motion to dismiss. 7. “Defendants” shall mean the parties named as Defendants in the Complaint and any of their members, employees, representatives, officers, directors, managers, agents, attorneys, assigns, predecessors, affiliates, parents, subsidiaries, and any other entities or Persons acting or purporting to act on their behalf. 8. “Dilution Events” shall have the meaning ascribed to it in the Complaint. 9. “Document Request” shall mean each of the specific document requests set forth herein, individually or collectively as the context requires, understood in connection with the Definitions and Instructions herein. Page 2 of 14 FILED: NEW YORK COUNTY CLERK 09/11/2023 11:05 PM INDEX NO. 650710/2023 NYSCEF DOC. NO. 109 RECEIVED NYSCEF: 09/11/2023 10. “Document” shall be construed to the fullest extent under New York law and shall mean, without limitation, the original and all copies and translations of any information in any written, recorded, electronic, or graphic form including all memoranda, notes, interoffice and intraoffice communications, telegrams, telecopies, letters, reports, stenographic notes, bulletins, notices, forms, emails, text messages or other messaging-application messages, instant messages or other electronic-chat messages, telephonic or personal communications, computer models, spreadsheets, data, accounts, records, calendars, diaries, minutes, contracts or other legal papers, resolutions, written policies or procedures, insurance policies, audio records, photographs, microform, film, and any electronically stored information stored in any medium including computer backup devices in Your possession, custody, or control or the possession, custody, or control of Your attorneys, agents, or other Persons under Your control. Without limiting the foregoing, “Document” includes any copy that differs in any respect from the original or other versions of the document, such as copies containing notations, signatures, insertions, corrections, margin notes, or any other variations. The term “Document” includes Communications. 11. “Draft” shall mean any earlier, preliminary, preparatory, or tentative version of all or part of a Document, whether or not such Draft was superseded by a later Draft and whether or not the terms of the Draft are the same as or different from the terms of the final Document. 12. “Including” shall mean “including, without limitation” or “including, but not limited to.” 13. “Individual Defendants” shall mean any defendant that is not SNBNY, which includes Carlos Alberto Vieira, Carlos Cesar Bertaco Bomfim, Simoni Passos Morato, Vicky Safra, Jacob Joseph Safra, and David Joseph Safra. Page 3 of 14 FILED: NEW YORK COUNTY CLERK 09/11/2023 11:05 PM INDEX NO. 650710/2023 NYSCEF DOC. NO. 109 RECEIVED NYSCEF: 09/11/2023 14. “Information” shall mean facts, opinions, data, and/or matter learned or known about any topic or Person. 15. “Person” shall mean any natural person or legal entity, including a corporation, partnership, proprietorship, group, association, organization, business entity, governmental body, agency, or trust, and its predecessors, successors or current and former parents, subsidiaries, affiliates, partners, officers, directors, employees, representatives, agents (including attorneys, accountants and investment or other advisors), or any other Person or entity acting, or purporting to act, on its behalf. 16. “Plaintiff” shall mean Alberto Joseph Safra and any of his agents, attorneys, and any other entities or Persons acting or purporting to act on his behalf. 17. “Relating to,” “Related to,” “Concerning,” or “Regarding” in addition to their customary and usual meanings, shall mean directly or indirectly, in whole or in part, relating to, referring to, concerning, discussing, evidencing, containing, constituting, reflecting, mentioning, assessing, characterizing, recording, describing, touching upon, summarizing, commenting on, showing, disclosing, supporting, explaining, recording, stating, memorializing, noting, analyzing, contradicting, disputing, or in any way legally, logically, or factually dealing with or connected to the subject matter described. 18. “Safra National Bank” shall mean Safra National Bank of New York, as well as (a) any of its partners, predecessors, divisions, business segments, branches, subsidiaries or affiliates, parent companies and any of their or Safra National Bank of New York’s past or present directors, boards of directors, committees, officers, agents, employees, representatives, associates, or attorneys; and (b) any other person or entity purporting to act on behalf of and/or for the benefit Page 4 of 14 FILED: NEW YORK COUNTY CLERK 09/11/2023 11:05 PM INDEX NO. 650710/2023 NYSCEF DOC. NO. 109 RECEIVED NYSCEF: 09/11/2023 of Safra National Bank of New York, and/or any person or entity set forth in subsection (a) of this definition. 19. “SNBNY” shall mean SNBNY Holdings Limited, as well as (a) any of its partners, predecessors, divisions, business segments, branches, subsidiaries or affiliates (including Safra National Bank and SNYC), parent companies and any of their or SNBNY Holdings Limited’s past or present directors, boards of directors, committees, officers, agents, employees, representatives, associates, or attorneys; and (b) any other person or entity purporting to act on behalf of and/or for the benefit of SNBNY Holdings Limited, and/or any person or entity set forth in subsection (a) of this definition. 20. “SNYC” shall mean Safra New York Corporation, as well as (a) any of its partners, predecessors, divisions, business segments, branches, subsidiaries or affiliates, parent companies and any of their or Safra New York Corporation’s past or present directors, boards of directors, committees, officers, agents, employees, representatives, associates, or attorneys; and (b) any other person or entity purporting to act on behalf of and/or for the benefit of Safra New York Corporation, and/or any person or entity set forth in subsection (a) of this definition. 21. “You” and “Your” shall mean the Defendant responding to these requests, including, as applicable, and any of their members, employees, representatives, officers, directors, managers, agents, attorneys, assigns, predecessors, affiliates, parents, subsidiaries, and any other entities or Persons acting or purporting to act on their behalf. INSTRUCTIONS 1. Unless otherwise indicated, the Documents requested to be inspected and produced in this request include all Documents in Your possession, custody, or control. Without limiting the terms “possession, custody, or control” as used in the preceding sentence, a Document is in Your possession, custody, or control if You have actual possession or custody or the right to obtain Page 5 of 14 FILED: NEW YORK COUNTY CLERK 09/11/2023 11:05 PM INDEX NO. 650710/2023 NYSCEF DOC. NO. 109 RECEIVED NYSCEF: 09/11/2023 the Document or a copy thereof upon demand from one or more of Your members, employees, representatives, agents, attorneys, assigns, affiliates, parents, subsidiaries, independent contractors, consultants, or any other Person or public or private entity that has actual physical possession thereof. In respect of email, the terms “possession, custody, or control” include, without regard to the subdirectory path where stored: (a) “deleted” emails that have not been permanently deleted, (b) “sent” emails, (c) “received” emails, (d) emails stored in any personal accounts, and (e) any Drafts of the foregoing that have not been permanently deleted. 2. Produce each Document as it is kept in the usual course of business. 3. Select Documents from files and other sources and number such Documents so that the source of each Document may be readily determined. 4. Produce file folders with tabs or labels intact with such Documents. 5. Produce complete electronic-file directories intact with such Documents. 6. A document with handwritten, typewritten or other recorded notes, editing marks, etc., is not and shall not be deemed to be identical to one without such modifications, additions, or deletions. 7. Do not separate Documents attached to each other. 8. Produce each Document in its entirety, without abbreviation or redaction, and include all attachments, transmittal sheets, notes, cover letters, exhibits, appendices, enclosures, and all Drafts and non-identical copies of each Document. 9. Produce Documents not otherwise responsive to a request if such Documents are attached to, or enclosed with, any responsive Document. In respect of email, produce the email and all attachments if either the email or any attachment is responsive. Page 6 of 14 FILED: NEW YORK COUNTY CLERK 09/11/2023 11:05 PM INDEX NO. 650710/2023 NYSCEF DOC. NO. 109 RECEIVED NYSCEF: 09/11/2023 10. Produce Documents not otherwise responsive to these requests if such Documents mention, discuss, refer to, or explain the Documents that are called for by the requests, or if such Documents are attached to Documents called for by these requests and constitute routing slips, transmittal memoranda, letters, emails, comments, evaluations, or similar materials. 11. If You withhold any Document requested herein on the basis of any assertion of privilege or other immunity from discovery, comply with the requirements of CPLR 3122(b). 12. You are further requested to provide all portions of requested Documents that are not subject to a claim of privilege or other reason for nonproduction by excising or otherwise protecting the portions for which a privilege is asserted, if such a technique does not result in disclosing the contents of the portions for which some privilege is asserted. 13. If Your response to a particular request is a statement that You lack the ability to comply with that request, specify whether the inability to comply is because the particular item or category of information never existed; was destroyed, lost, misplaced, or stolen; or was never, or is no longer, in Your possession, custody, or control. Provide the name and address of any Person known or believed by You to have possession, custody, or control of that particular item or category of information. 14. In the event that any Document responsive to the Requests was, but is no longer, in Your possession, custody, or control, or has been lost, destroyed, discarded, or otherwise disposed of, You are requested to identify such Document as completely as possible, including without limitation, the following information: (a) the nature of the Document; (b) the person who prepared or authorized the Document and, if applicable, the person to whom the Document was sent; (c) the date on which the Document was prepared or transmitted; and (d) if possible, what has happened to the Document and where it or any copies of it may be located, or if the Document was lost or Page 7 of 14 FILED: NEW YORK COUNTY CLERK 09/11/2023 11:05 PM INDEX NO. 650710/2023 NYSCEF DOC. NO. 109 RECEIVED NYSCEF: 09/11/2023 destroyed, the date on which the Document was lost or destroyed, and, if destroyed, the conditions of and the reasons for such destruction and the persons requesting and performing the destruction. 15. If no documents are responsive to a particular Request, you are to state that no responsive documents exist. 16. In the event that you object to any Request on the ground that it is overbroad or unduly burdensome for any reason, respond to that Request as narrowed to the least extent necessary, in your judgment, to render it not overbroad/unduly burdensome and state specifically the extent to which you have narrowed that Request for purposes of your response and the factual basis for your conclusion. 17. Production of any Document by another Person does not relieve You of Your obligation to produce Your copy of the same Document, even if the two Documents are identical. 18. The singular includes the plural and vice versa. The words “and” and “or” are either conjunctive or disjunctive so that the scope of any request is most inclusive. The words “all” and “any” mean “any and all.” The words “each” and “every” shall mean “each and every.” The word “including” means “including, but not limited to.” 19. These requests are continuing. Supplement Your responses in the event You obtain or discover additional information after any of Your responses. 20. Each request is independent. No request limits the scope of any other request. 21. Capitalized terms not defined herein shall have the meaning ascribed to them in the Complaint. 22. The use of defined terms apply whether or not the