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Tennessee, and he remained there for roughly 5 years. At
Hemisphere Trading Company, Mr. Arberg was in charge of portfolio
management trading, and his duties included both executing trades
and supervising trades executed by other employees.
During the mid- to late-1990s, Mr. Arberg also served on the
board of directors of the company SI Diamond Technology, Inc.,
and provided consulting services to the entity. The consulting
services were directed toward conducting a valuation relating to
a proposed merger and acquisition transaction. Mr. Arberg’s
compensation for that work consisted primarily of stock options,
which Mr. Arberg apparently sold at a gain in the late 1990s.
Sporadic additional services may have been provided to SI Diamond
Technology, Inc., or a successor entity in the early 2000s.
Following his work at Hemisphere Trading Company,
Mr. Arberg’s next principal employment was for Lasertron, a
subsidiary of Oak Industries, Inc. Lasertron was involved in the
fiber optics and photonics business, and Mr. Arberg was engaged
in 1999 to provide a valuation of that business, again with a
view towards a potential merger or acquisition transaction. The
work culminated with the signing in November of 1999, and the
closing in January of 2000, of an agreement for the sale of Oak
Industries, Inc., and its Lasertron subsidiary to Corning, Inc.,
creating a division referred to as Corning Lasertron.
Mr. Arberg’s work for Lasertron ended with the closing of the
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