`
`
`
`
`
`WATSON ROUNDS
`Michael D. Rounds, Esq. (NV Bar No. 4734)
`mrounds@watsonrounds.com
`Adam P. McMillen, Esq. (NV Bar No. 10678)
`amcmillen@watsonrounds.com
`Adam Yowell, Esq. (NV Bar No. 11748)
`ayowell@watsonrounds.com
`5371 Kietzke Lane
`Reno, Nevada 89511
`Tel: (775) 324-4100
`Fax: (775) 333-8171
`
`BANNER & WITCOFF, LTD.
`Charles W. Shifley, Esq. (Admitted pro hac vice)
`cshifley@bannerwitcoff.com
`Binal J. Patel, Esq. (Admitted pro hac vice)
`bpatel@bannerwitcoff.com
`Timothy J. Rechtien, Esq. (Admitted pro hac vice)
`trechtien@bannerwitcoff.com
`Ten South Wacker Drive, Suite 3000
`Chicago, Illinois 60606-7407
`Tel: (312) 463-5000
`Fax: (312) 463-5001
`
`Attorneys for Plaintiff ESCO Corporation
`
`
`
`
`
`UNITED STATES DISTRICT COURT
`DISTRICT OF NEVADA
`
`
`
`
`Case No.: 2:14-cv-00529-RCJ-PAL
`
`
`ESCO’S LR 16.1-14 PRELIMINARY
`PROPOSED CLAIM CONSTRUCTIONS
`AND IDENTIFICATION OF SUPPORTING
`INTRINSIC AND EXTRINSIC EVIDENCE
`
`
`
`
` 1
`
`
`
`
`ESCO CORPORATION
`
`
`
`
`
`CASHMAN EQUIPMENT COMPANY,
`CATERPILLAR GLOBAL MINING LLC,
`CATERPILLAR,
`INC., and RAPTOR
`MINING PRODUCTS INC.
`
`
`
`
`
`
`v.
`
`
`
`
`
`
`
`
`
`
`
`
`
`Plaintiff,
`
`
`
`
`
`
`
`Defendants.
`
`1 2 3 4 5 6 7 8 9
`1 2 3 4 5 6 7 8 9
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`10
`10
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`11
`12
`12
`13
`13
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`16
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`19
`20
`20
`21
`21
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`24
`24
`25
`25
`26
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`27
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`CATERPILLAR EXHIBIT 1012
`
`Page 1 of 12
`
`

`

`
`
`Pursuant to LR 16.1-14 and the First Revised Rule 26(F) Report and Agreed-To Proposed
`
`Discovery Plan and Scheduling Order entered by the Court on August 26, 2014 (Dkt. No. 40),
`
`ESCO Corporation (“ESCO”) hereby provides its preliminary proposed claim constructions and
`
`identification of supporting intrinsic/extrinsic evidence for the asserted claims of U.S. Patent No.
`
`8,689,472 (“‘472 patent”). The asserted claims are claims 1-20.
`
`I.
`
`PRELIMINARY STATEMENT
`
`ESCO provides its preliminary proposed claim constructions and intrinsic/extrinsic
`
`evidence based on its current knowledge, understanding, and belief as to the relevant facts.
`
`ESCO has not yet completed its investigation, collection of information, discovery, and analysis
`
`concerning this case. Moreover, ESCO notes that Defendants’ contentions are deficient for at
`
`least the reasons set forth in ESCO’s LR 16.1-10 Response to Defendants’ LR 16.1-8
`
`Contentions (served on September 22, 2014). Further, ESCO notes that Defendants have
`
`identified at least 28 terms that they contend require construction, some of which involve long
`
`phrases. Thus, ESCO reserves the right to rely on any additional intrinsic or extrinsic evidence as
`
`well as the right to alter, modify, or amend these preliminary proposed constructions.
`
`ESCO reserves the right to rely on any intrinsic/extrinsic evidence identified by
`
`Defendants.
`
`ESCO reserves the right to amend, correct, or supplement its claim construction positions
`
`and supporting evidence at any time in response to any change of position by the Defendants.
`
`In the event that Defendants identify testimony of an expert witness in support of their
`
`claim construction positions, ESCO may rely on testimony of its expert witness, for example, in
`
`the form of rebuttal testimony.
`
`In addition to the evidence specifically identified therein, ESCO also relies on the prior
`
`art identified in Defendants’ Preliminary Invalidity Contentions in support of its preliminary
`
`1 2 3 4 5 6 7 8 9
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`10
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` 2
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`Page 2 of 12
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`

`

`claim construction positions.
`
`The following tables provide a non-exhaustive identification of the intrinsic and extrinsic
`
`evidence that supports ESCO’S preliminary proposed claim constructions. ESCO may identify
`
`and rely on additional or other intrinsic and extrinsic evidence as the parties proceed with the
`
`claim construction process.
`
`Any reference to intrinsic or extrinsic evidence in the tables below includes any
`
`associated figures and drawings.
`
`By providing proposed definitions herein, ESCO does not waive any argument that the
`
`claim term has its plan and ordinary meaning or that the claim term is not limiting, for example,
`
`because it is found in the preamble.
`
`The ‘472 Patent
`
`Terms/Phrases for Claim
`
`Construction
`
`#
`
`Preliminary Proposed
`Construction
`
`Intrinsic/Extrinsic Evidence
`
`
`
`Plain and ordinary
`meaning
`
`OR if the Court believes a
`
`construction is necessary:
`socket, pocket or space
`
`See, e.g., ‘472 Patent, Figs 14-17,
`23—32, and 36; Abstract; 1:54 —
`2:48; 2:56-61;
`5:4—7; 7:56-67;
`
`8:23-31; 8:54-57; 9:5—9; 9:51—57;
`10:31-34;
`11:17-19;
`11:45-59;
`1225-8.
`
`US Patent No. 7,762,015, Figs
`4,5; 4: 27-39; 4:45—58; 5:30—35;
`
`6:60-62; 7: 4-11; claims 4, 5, 12,
`l4, l6, 17, 20, 25.
`
`MERRIAM WEBSTER’S
`
`COLLEGIATE DICTIONARY (10th
`ed. 1994); AMERICAN HERITAGE
`COLLEGE DICTIONARY (4th ed.
`2002); RANDOM HOUSE
`WEBSTER’S UNABRIDGED
`
`DICTIONARY (2d ed. 2001);
`
`Caterpillar and Raptor Brochures
`(see, e.g., ESCO Parties’
`Infrin ement Contentions
`
`\OOO\IO'\UI-l>
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`11
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`Page 3 of 12
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`Page 3 of 12
`
`

`

`The ‘472 Patent
`
`Terms/Phrases for Claim
`Construction
`#
`
`Preliminary Proposed
`Construction
`
`Intrinsic/Extrinsic Evidence
`
`lock
`
`’
`
`’
`
`’
`
`Plain and ordinary
`meaning
`
`OR if the Court believes a
`
`construction is necessary:
`device that secures two or
`
`more components together
`
`
`
`\OOO\IO'\UI-l>
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`10
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`ll
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`l3
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`19
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`20
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`21
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`22
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`23
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`24
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`25
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`26
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`27
`
`lock opening
`
`Plain and ordinary
`meaning
`
`OR if the Court believes a
`
`construction is necessary:
`opening for a lock
`
`Plain and ordinary
`meaning
`
`OR if the Court believes a
`
`Page 4 of 12
`
`See, e.g., ‘472 Patent, Figs 1-2,
`18—34; Abstract; 1:23-25; 2:56 -
`
`3:28; 9:34-40; 9:60-62; 1029-14;
`
`10:23-41; 10:55 — 12:26.
`
`US. Patent No. 7,762,015, 1:60-
`
`62, Abstract; 3:3-5; 4:61-62;
`5:17-63.
`
`RANDOM HOUSE WEBSTER’S
`
`UNABRIDGED DICTIONARY (2d
`ed. 2001); MERRIAM WEBSTER’S
`COLLEGIATE DICTIONARY (10th
`ed. 1994).
`
`Caterpillar and Raptor Brochures
`(see, e.g., ESCO Parties’
`Infringement Contentions)
`
`See, e.g., ‘472 Patent, Figs. 1-3,
`12-13, 15-16, 22-34, 36; 2:56-66;
`9:34-36; 9:40-45; 10:23-66;
`11:17-19.
`
`RANDOM HOUSE WEBSTER’S
`
`UNABRIDGED DICTIONARY (2d
`ed. 2001); SHORTER OXFORD
`ENGLISH DICTIONARY (4th ed.
`1993); SHORTER OXFORD
`ENGLISH DICTIONARY (5th ed.
`2002); MERRIAM WEBSTER’S
`COLLEGIATE DICTIONARY (10th
`ed. 1994); THE AMERICAN
`HERITAGE COLLEGE DICTIONARY
`
`(4th ed. 2002); THE OXFORD
`ENGLISH DICTIONARY (2d ed.
`1989).
`
`Caterpillar and Raptor Brochures
`(see, e.g., ESCO Parties’
`Infrin ‘ ement Contentions
`
`See, e.g., ‘472 Patent, Abstract;
`2:56-67; 3:13-25; 4:48-52; 10:9-
`11; 10:23 — 11:19.
`
`Page 4 of 12
`
`

`

`\OOO\IO'\UI-Ԥ
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`25
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`26
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`27
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`The ‘472 Patent
`
`Terms/Phrases for
`
`Claim
`
`Construction
`
`#
`
`Preliminary Proposed
`Construction
`
`Intrinsic/Extrinsic Evidence
`
`construction is necessary:
`positively held together so
`as not to separate
`
`Prosecution history of the ‘621
`patent, Applicant Amendment at
`4; Applicant Remarks in
`Response to Non-Final Rejection
`at 9; Applicant Remarks in
`Response to Non-Final Rejection
`at 8.
`
`US. Patent No. 7,762,015, 1:60-
`62; 5:64 — 6:56.
`
`MERRIAM WEBSTER’S
`
`COLLEGIATE DICTIONARY (10th
`ed. 1994); RANDOM HOUSE
`WEBSTER’S UNABRIDGED
`
`DICTIONARY (2d ed. 2001); THE
`AMERICAN HERITAGE COLLEGE
`
`DICTIONARY (4th ed. 2002).
`
`Plain and ordinary
`meaning
`
`See, e.g., “lock”; “secure[d]”;
`and “lock opening.”
`
`
`
`a lock secured to the
`wear member in the
`
`lock opening
`
`hold position
`
`OR if the Court believes a
`
`construction is necessary: a
`lock positively held to the
`wear member in the lock
`
`opening so as not to
`separate
`
`Plain and ordinary
`meaning
`
`OR if the Court believes a
`
`construction is necessary:
`position of the lock where
`the wear member is
`
`secured to the base
`
`See, e.g., ‘472 Patent, Abstract;
`Figs. 30, 30a; 58-59; 2:62-66;
`3:10-25; 9:34-40; 1021—3; 10:23 -
`1 1: 19.
`
`Prosecution history of the ‘621
`patent, Applicant Amendment at
`4.
`
`AMERICAN HERITAGE COLLEGE
`
`DICTIONARY (4th ed. 2002);
`MERRIAM WEBSTER’S
`
`COLLEGIATE DICTIONARY (10th
`ed. 1994).
`
`Caterpillar and Raptor Brochures
`., ESCO Parties’
`
`Page 5 of 12
`
`Page 5 of 12
`
`

`

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`The ‘472 Patent
`
`Terms/Phrases for
`
`Claim
`
`Construction
`
`#
`
`Preliminary Proposed
`Construction
`
`Intrinsic/Extrinsic Evidence
`
`l. 14,
`
`15,
`and 18
`
`Plain and ordinary
`meaning
`
`Infringement Contentions)
`
`See, e.g., “hold position.”
`
`See, e.g., ‘472 Patent, Figs. 31,
`32; Abstract; 2:63-67; 3:18-25;
`
`9:34-40; 10:54 — 11:32.
`
`Caterpillar and Raptor Brochures
`(see, e.g., ESCO Parties’
`Infringement Contentions)
`
`See, e.g., “lock”; “secured”;
`“hold positio ”; “release
`position”; and “cavity.”
`
`
`
`release position
`
`lock being secured
`to the wear member
`
`in both the pre-
`established hold
`
`position and pre-
`established release
`
`position irrespective
`of the insertion of a
`
`base in the cavity
`
`OR if the Court believes a
`
`construction is necessary:
`keeps or secures
`
`Plain and ordinary
`meaning
`
`OR if the Court believes a
`
`construction is necessary:
`position of the lock where
`the wear member can be
`
`removed from the base
`
`Plain and ordinary
`meaning
`
`OR if the Court believes a
`
`construction is necessary:
`lock being positively held
`to the wear member so as
`
`not to separate in both the
`pre-established hold
`position and pre-
`established release position
`and regardless of whether
`the base is inserted in the
`
`wear member’s cavity
`
`Plain and ordinary
`meaning
`
`See, e.g., ‘472 Patent, Figs 1-2,
`18-34; 3:22-25; 10:9-14.
`
`OR if the Court believes a
`
`MERRIAM WEBSTER’S
`
`construction is necessary:
`lock body
`
`COLLEGIATE DICTIONARY (10th
`ed. 1994).
`
`resilient member
`
`Plain and ordinary
`meaning
`
`See, e.g., ‘472 Patent, Figs 1-2,
`18-34; 10:9-14; 10:23 - 11:32.
`
`OR if the Court believes a
`construction is necess
`'
`
`MERRIAM WEBSTER’S
`
`COLLEGIATE DICTIONARY 10th
`
`Page 6 of 12
`
`Page 6 of 12
`
`

`

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`27
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`The ‘472 Patent
`
`Terms/Phrases for Claim
`Construction
`#
`
`Preliminary Proposed
`Construction
`
`Intrinsic/Extrinsic Evidence
`
`part characterized by
`resilience
`
`ed. 1994).
`
`3. 14,.
`
`16,
`and 19
`
`Plain and ordinary
`meaning
`
`OR if the Court believes a
`
`See, e.g., ‘472 Patent, Figs 1-4,
`6-7, 18-34; 1:64-67; 2:19—21
`9:53-59; 10:23-26; 10:42-45.
`
`construction is necessary: a
`contact surface that is
`
`US. Patent No. 7,762,015, 7:64-
`66.
`
`hearing face that is
`moved into
`
`opposition with a
`complimentary [sic]
`surface on the base
`
`when the lock is
`moved to the hold
`
`position
`
`resists
`
`5
`
`moved in opposition to a
`complementary surface on
`the base when the lock is
`
`moved to the hold position
`
`Plain and ordinary
`meaning
`
`OR if the Court believes a
`
`construction is necessary:
`opposes
`
`opening”; and “integral unit.”
`
`See, e.g., “lock”; and “hold
`position.”
`
`See, e.g., ‘472 Patent, 1:54 — 2:7;
`10:9 — 11:32.
`
`US. Patent No. 7,762,015, 4:21-
`23.
`
`MERRIAM WEBSTER’S
`
`COLLEGIATE DICTIONARY (10th
`ed. 1994).
`
`See, e.g., ‘472 Patent, 18-34;
`1:26-29; 2:56 — 3:7; 10:9—1 1.
`
`RANDOM HOUSE WEBSTER’S
`
`UNABRJDGED DICTIONARY (2d
`ed. 2001)
`
`Caterpillar and Raptor Brochures
`(see, e.g., ESCO Parties’
`Infringement Contentions)
`3,.
`‘¢
`resilient
`See, e.g., “bod ,
`member” “secured”; “lock
`
`OR if the Court believes a
`
`US. Patent No. 7,762,015, 5:54 -
`
`construction is necessary:
`
`6:56; claim 8.
`
`.
`.
`Integral umt
`
`6 and
`10
`
`.
`.
`Plam and ordinary
`meaning
`
`Integrated (or whole) unit
`(or component)
`
`wherein the body
`and the resilient
`
`member are secured
`to each other for
`insertion in the lock
`
`opening as an
`integral unit
`
`0f and
`
`Plain and ordinary
`meaning
`
`OR if the Court believes a
`
`construction is necessary:
`see the above.
`
`Page 7 of 12
`
`Page 7 of 12
`
`

`

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`25
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`26
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`27
`
`The ‘472 Patent
`
`Terms/Phrases for
`
`Claim
`
`Construction
`
`Preliminary Proposed
`Construction
`
`Intrinsic/Extrinsic Evidence
`
`wherein the body is
`moved about an axis
`
`less than a single
`rotation as the body
`is adjusted between
`the pre-established
`hold position and the
`pre-established
`release position
`
`free of a threaded
`connection
`
`latch formation
`
`Plain and ordinary
`meaning
`
`OR if the Court believes a
`
`construction is necessary:
`wherein the body rotates
`less than 360 degrees
`about an axis as it is
`
`adjusted between the pre—
`established hold position
`and the pre-established
`release position
`
`See, e.g., ‘472 Patent, Figs 1-2,
`18—34; 9:34-40; 9:60-66; 10:1 —
`1 1:32.
`
`US. Patent No. 7,762,015, 3:38-
`41.
`
`See, e.g., “body”; “hold
`position”; and “release position.”
`
`Caterpillar and Raptor Brochures
`(see,
`e.g.,
`ESCO
`Parties’
`Infringement Contentions)
`
`Plain and ordinary
`meaning
`
`See, e.g., ‘472 Patent, Figs 18-34,
`37; 3:1-7; 11:60 — 12:3
`
`OR if the Court believes a
`
`RANDOM HOUSE WEBSTER’S
`
`construction is necessary:
`connected Without the use
`
`UNABRIDGED DICTIONARY (2d
`ed. 2001)
`
`of threads
`
`Plain and ordinary
`meaning
`
`See, e.g., ‘472 Patent, Figs. 18-
`34; 3:26-29; 10:1-l4; 10:42-54
`
`OR if the Court believes a
`
`RANDOM HOUSE WEBSTER’S
`
`construction is necessary:
`structure that can engage
`
`UNABRIDGED DICTIONARY (2d
`ed. 2001); MERRIAM WEBSTER’S
`COLLEGIATE DICTIONARY (10th
`ed. 1994).
`
`See, e.g., “integral unit.”
`
`retaining
`
`Plain and ordinary
`meaning
`
`See, e.g., ‘472 Patent, Figs. 18-
`34; 3:26-29; 10:1-22; 10:42-54.
`
`OR if the Court believes a
`
`construction is necessary:
`keeping or securing
`
`US. Patent No. 7,762,015, claims
`1-4; 1:7-10; 5:5-10;
`
`MERRIAM WEBSTER’S
`
`COLLEGIATE DICTIONARY (10th
`ed. 1994).
`
`single integral
`component
`
`Plain and ordinary
`meaning
`
`OR if the Court believes a
`
`construction is necessary:
`sin 1e inte u ated or
`
`Page 8 of 12
`
`Page 8 of 12
`
`

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`
`The ‘472 Patent
`
`Terms/Phrases for Claim
`Construction
`#
`
`Preliminary Proposed
`Construction
`
`Intrinsic/Extrinsic Evidence
`
`whole) unit (or
`component)
`
`integrally secured
`
`14
`
`Plain and ordinary
`meaning
`
`See, e.g., “integral unit” and
`“secured.”
`
`and “secured.”
`
`See, e.g., “integrally secured”:
`“lock opening”; “cavity”; and
`“single integral component.”
`
`See, e.g., ‘472 Patent, Abstract;
`1:22-24; 1:32-34; 2:56 — 3:7;
`
`4:28-30; 4:50-52; 10:23 - 11:10.
`
`US. Patent No. 7,762,015,
`Claims 1, 2, 4, 6,17, 23.
`
`MERRIAM WEBSTER’S
`
`COLLEGIATE DICTIONARY (10th
`ed. 1994); RANDOM HOUSE
`WEBSTER’S UNABRIDGED
`
`DICTIONARY (2d ed. 2001).
`
`See, e.g., “releasably maintains”
`
`[lock] integrally
`secured to the wear
`member in the lock
`
`opening irrespective
`of the insertion of
`
`the base in the
`
`cavity to define a
`single integral
`component with the
`wear member
`
`releasably maintains
`
`releasably securable
`
`OR if the Court believes a
`
`construction is necessary:
`positively held together as
`a single unit so as not to
`
`separate
`
`Plain and ordinary
`meaning
`
`OR if the Court believes a
`
`construction is necessary:
`see the above
`
`Plain and ordinary
`meaning
`
`OR if the Court believes a
`
`construction is necessary:
`maintains with freedom to
`move
`
`Plain and ordinary
`meaning
`
`OR if the Court believes a
`
`construction is necessary:
`securable with freedom to
`move
`
`a lock includin a
`
`1 5
`
`Plain and ordin
`
`See, e. ; ., “lock”; “bod ”;
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`\OOO\IO'\UI-1§
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`ll
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`The ‘472 Patent
`
`Terms/Phrases for
`
`Claim
`
`Construction
`
`#
`
`Preliminary Proposed
`Construction
`
`body and a resilient
`member secured
`
`together for
`installation as a unit
`
`in the lock opening
`in the wear member
`
`movable in the lock
`
`opening
`
`Intrinsic/Extrinsic Evidence
`
`,,. “
`“resilient member ,
`
`secured”;
`
`meaning
`
`OR if the Court believes a
`
`and “lock opening.”
`
`construction is necessary:
`see the above
`
`Plain and ordinary
`meaning
`
`OR if the Court believes a
`
`See, e.g., ‘472 Patent, Abstract,
`Figs. 12, 13, 23-30; 9:34-40; 9:60
`— 11:32.
`
`construction is necessary:
`capable of being moved in
`the lock opening
`
`Prosecution history of the ‘621
`patent, Remarks in Response to
`Non-Final Rejection at 9.
`
`US. Patent No. 7,762,015 at
`5:59-62.
`
`MERRIAM WEBSTER’S
`
`COLLEGIATE DICTIONARY (10th
`ed. 1994).
`
`component.”
`
`free of threads
`
`Plain and ordinary
`meaning
`
`See, e.g., “free of a threaded
`connection”
`
`OR if the Court believes a
`
`construction is necessary:
`without threads
`
`Plain and ordinary
`meaning
`
`OR if the Court believes a
`
`construction is necessary:
`see the above
`
`[wear member and a
`lock] coupled
`together and
`maintained as a
`
`single integral
`component through
`installation and use
`
`See, e.g., “single integral
`
`Dated: November 4 2014
`
`/s/ Timothy J. Rechtien
`WATSON ROUNDS
`
`Michael D. Rounds, Nevada Bar No. 4734
`Adam Yowell, Nevada Bar No. 11748
`5371 Kietzke Lane
`
`Reno, Nevada 8951 1
`Tel: (775) 324-4100
`
`Page 10 of 12
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`Fax: (775) 333-8171
`
`and
`
`BANNER & WITCOFF, LTD .
`Charles W. Shifley (Admitted pro hac vice)
`Binal J. Patel (Admitted pro hac vice)
`Timothy J. Rechtien (Admitted pro hac vice)
`Ten South Wacker Drive, Suite 3000
`Chicago, Illinois 60606-7407
`Tel: (312) 463-5000
`Fax: (312) 463-5001
`
`Attorneys for Plaintiff ESCO Corporation
`
`
`
`
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`
`
`CERTIFICATE OF SERVICE
`
`The undersigned hereby certifies that on November 4, 2014, a true and correct copy of
`
`the
`
`foregoing ESCO’S LR
`
`16.1-14 PRELIMINARY PROPOSED CLAIM
`
`CONSTRUCTIONS AND IDENTIFICATION OF SUPPORTING INTRINSIC AND
`
`EXTRINSIC EVIDENCE was served upon counsel of record via electronic mail.
`
`
`
`
`DATED: November 4, 2014
`
`
`
`
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`
`
`
`/s/ Timothy J. Rechtien
`
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