`Tel: 571-272-7822
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`Paper 19
`Entered: June 3, 2014
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`UNITED STATES PATENT AND TRADEMARK OFFICE
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`PNC BANK, N.A., JP MORGAN CHASE & CO. AND
`JP MORGAN CHASE BANK, N.A.
`Petitioner
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`v.
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`MAXIM INTEGRATED PRODUCTS, INC.
`Patent Owner
`
`Case CBM2014-00040
`Patent 6,105,013
`
`
`
`
`
`
`
`
`
`Before SALLY C. MEDLEY, MITCHELL G. WEATHERLY, and
`MIRIAM L. QUINN, Administrative Patent Judges.
`
`WEATHERLY, Administrative Patent Judge.
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`DECISION
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`Denying Institution of Covered Business Method Patent Review
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`37 C.F.R. § 42.208
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`
`
`Case CBM2014-00040
`Patent 6,105,013
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`I.
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`INTRODUCTION
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`PNC Bank, N.A. (a subsidiary of The PNC Financial Services Group,
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`Inc.) (“PNC”), JP Morgan Chase & Co., and JP Morgan Chase Bank, N.A.
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`(collectively “JP Morgan” and collectively with PNC “Petitioner”) filed a
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`petition, Paper 3 (“Pet.” or “Petition”), to institute a covered business
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`method patent review (a “CBM review”) of claims 1–6, 8–12, and 15 (the
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`“challenged claims”) of U.S. Patent 6,105,013, Exhibit 1001 (“the
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`’013 patent”). 35 U.S.C. § 321. Maxim Integrated Products, Inc. (“Maxim”
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`or “Patent Owner”) timely filed a Preliminary Response. Paper 7 (“Prelim.
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`Resp.”). Petitioner subsequently filed, with our prior authorization,
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`“Petitioners’ Motion Requesting Adverse Judgment Against PNC Pursuant
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`to 37 C.F.R. § 42.73(b)(4).” Paper 11 (the “Motion for Judgment”). In that
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`Motion, PNC sought entry of adverse judgment against it and contended that
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`JP Morgan could proceed with the Petition without further involvement by
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`PNC. Id. at 3. Maxim opposed the Motion for Judgment. Paper 12.
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`Petitioner filed a reply in support of the Motion for Judgment. Paper 13.
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`For the reasons expressed below, we deny the Petition and decline to
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`institute a CBM review. We also dismiss as moot the Motion for Judgment.
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`II.
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`BACKGROUND
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`JP Morgan and PNC jointly filed their Petition on
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`November 22, 2013. Pet. 1. JP Morgan and PNC are represented by the
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`same lead and back up counsel. Id. at 4. JP Morgan and PNC identify
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`themselves collectively as “Petitioner,” id. at i, and in every respect advance
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`the same argument against the patentability of the challenged claims. Id. at
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`1–74.
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`2
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`Case CBM2014-00040
`Patent 6,105,013
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`When PNC filed the Petition, it was a plaintiff identified in the civil
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`action captioned PNC Financial Services Group, Inc. and PNC Bank,
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`National Association v. Maxim Integrated Products, Inc., No. 2:12-cv-
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`00089-JFC (W.D. Pa.) (“the PNC Action”). Ex. 2001, 1. PNC filed its
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`complaint in the PNC Action on January 25, 2012, and sought a declaration
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`that the claims of the ’510 patent are invalid. Id. at 6.
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`III. ANALYSIS
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`Maxim contends that the Board cannot institute a covered business
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`method review because Petitioner has filed a civil action challenging the
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`validity of at least one claim of the ’013 patent. Prelim. Resp. 1–3. “A post-
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`grant review may not be instituted under this chapter if, before the date on
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`which the petition for such a review is filed, the petitioner or real party in
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`interest filed a civil action challenging the validity of a claim of the patent.”
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`35 U.S.C. § 325(a)(1).1 PNC is both a petitioner, Pet. i, and a real party in
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`interest, id. at 2. Before filing the Petition, PNC filed a civil action
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`challenging the validity of claims of the ’013 patent. Ex. 2001, 5.
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`Therefore, § 325(a)(1) precludes institution of a review in this proceeding.
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`Accordingly, we deny the Petition in all respects. We express no opinion
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`regarding the likelihood that any party other than PNC would prevail in
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`establishing that any of the challenged claims are unpatentable for the
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`reasons set forth in the Petition.
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`1 Section 18(a)(1) of the Leahy-Smith America Invents Act provides that a
`CBM review proceeding shall employ all the standards and procedures of a
`post-grant review under Chapter 32 of title 35 of the United States Code
`(i.e., 35 U.S.C. §§ 321–29) except for those expressly carved out (i.e.,
`35 U.S.C. §§ 321(c) and 325(b), (e)(2), and (f)). Therefore, this CBM
`review is governed by the requirements of 35 U.S.C. § 325(a)(1).
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`3
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`Case CBM2014-00040
`Patent 6,105,013
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`Maxim also contends that § 325(a)(1) would continue to bar
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`institution of review even if PNC were to “forswear all further control and
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`participation in this case.” Prelim. Resp. 31. On May 23, Petitioner notified
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`the Board that Maxim and PNC had settled the district court litigation
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`entitled PNC Financial Services Group, Inc. v. Maxim Integrated Products.,
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`Inc., No. 2:12-cv-00089-JFC (W.D. Pa.). Paper 16 at 2. Nevertheless, as
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`Maxim has pointed out “PNC has already exerted substantial control over
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`the case.” Prelim. Resp. 31–32. Moreover, granting PNC’s request for
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`adverse judgment would not obviate the control that PNC has already
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`exerted in this proceeding by its filing of the Petition. Therefore, ruling
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`upon the Motion for Judgment would not alter our conclusion that
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`§ 325(a)(1) precludes institution of a CBM review as requested in the
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`Petition. Accordingly, we dismiss PNC’s Motion for Judgment as moot and
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`deny the Petition in all respects.
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`IV. ORDER
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`For the reasons given, it is:
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`ORDERED that the Petition is DENIED; and
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`FURTHER ORDERED that the Motion for Judgment is DISMISSED
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`as moot.
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`4
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`Case CBM2014-00040
`Patent 6,105,013
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`PETITIONER:
`
`Lionel M. Lavenue
`Timothy J. May
`Joshua Goldberg
`FINNEGAN, HENDERSON, FARABOW, GARRETT & DUNNER, LLP
`lionel.lavenue@finnegan.com
`timothy.may@finnegan.com
`Joshua.goldberg@finnegan.com
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`PATENT OWNER:
`
`Kenneth J. Weatherwax
`Parham Hendifar
`GOLDBERG, LOWENSTEIN & WEATHERWAX LLP
`weatherwax@glwllp.com
`parham@glwllp.com
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`5
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