UNITED STATES PATENT AND TRADEMARK OFFICE
` BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`1
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` LG DISPLAY CO., LTD.,
` Petitioner,
` v. Case IPR2015-00487
` U.S. Patent No.
` INNOVATIVE DISPLAY TECHNOLOGY, 7,404,660
` LLC,
` Patent Owner.
` -----------------------------x
`
` DEPOSITION OF MICHAEL ESCUTI, PH.D.
` Los Angeles, California
` September 16, 2015
` 9:00 a.m.
`
`Reported by:
`Kristi Caruthers, CLR, CSR 10560
`Job No: 40733
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`DDG_000112
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` BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`1
`
` -----------------------------x
` LG DISPLAY CO., LTD.,
` Petitioner,
` v. Case IPR2015-00487
` U.S. Patent No.
` INNOVATIVE DISPLAY TECHNOLOGY, 7,404,660
` LLC,
` Patent Owner.
` -----------------------------x
`
` DEPOSITION OF MICHAEL ESCUTI, PH.D.
` Los Angeles, California
` September 16, 2015
` 9:00 a.m.
`
`Reported by:
`Kristi Caruthers, CLR, CSR 10560
`Job No: 40733
`
`DDG_000112
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`2
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` Michael Escuti, Ph.D.
` September 16, 2015
` 9:00 a.m.
`
` Deposition of MICHAEL ESCUTI,
` Ph.D. held at the offices of Mayer
` Brown, LLP, 350 South Grand Avenue,
` 25th Floor, Los Angeles, California,
` pursuant to notice, before Kristi
` Caruthers, CLR, CSR Number 10560.
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`A P P E A R A N C E S:
`
`FOR THE PETITIONER:
` MAYER BROWN, LLP
` 71 South Wacker Drive
` Chicago, Illinois 60606-4637
` 312.701.8645
` BY: AMANDA K. STREFF, ESQ.
` astreff@mayerbrown.com
` ROBERT G. PLUTA, ESQ.
` rpluta@mayerbrown.com
`
`FOR THE PATENT OWNER:
` BRAGALONE CONROY, PC
` 2200 Ross Avenue
` Suite 4500W
` Dallas, Texas 75201-7924
` 214.785.6686
` BY: NICHOLAS C. KLIEWER, ESQ.
` nkliewer@bcpc-law.com
`
`ALSO PRESENT:
` JOHN HOY, VIDEOGRAPHER
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` LOS ANGELES, CALIFORNIA
` WEDNESDAY, SEPTEMBER 16, 2015
` 9:00 A.M.
` ---o0o---
`
` THE VIDEOGRAPHER: This begins the
`video deposition of Michael Escuti in the matter
`of "LG Display v. Delaware Display Group." The
`case number is IPR2015-00506.
` This deposition is being held at
`350 South Grand Avenue, Los Angeles, California on
`September 16, 2015 at 9:00 a.m.
` MR. KLIEWER: It's also covering
`another --
` THE VIDEOGRAPHER: Okay. This
`deposition is also covering case number
`IPR2015-00487.
` My name is John Hoy from the firm
`of David Feldman Worldwide and I'm the legal video
`specialist. The court reporter is Kristi
`Caruthers in association with David Feldman
`Worldwide.
` Will counsel please introduce
`themselves for the record.
` MR. KLIEWER: Nick Kliewer for
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`Patent Owner Innovative Display Technologies.
` MS. STREFF: Amanda Streff from
`Mayer Brown on behalf of LG Display Company,
`Limited.
` MR. PLUTA: R. Pluta from Mayer
`Brown on behalf of LG Display and LG Electronics.
` THE VIDEOGRAPHER: Will the court
`reporter please swear in the witness.
`
` MICHAEL ESCUTI, PH.D.,
` called as a deponent and sworn in by
` the deposition reporter, was examined
` and testified as follows:
`
` DEPOSITION REPORTER: Right hand,
`please.
` Do you solemnly swear that the
`testimony you are about to give in this matter
`shall be the truth, the whole truth, and nothing
`but the truth, so help you God?
` THE DEPONENT: I do.
` DEPOSITION REPORTER: Please
`commence.
`///
`///
`
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` EXAMINATION
`BY MR. KLIEWER:
` Q. Good morning, Dr. Escuti.
` A. Good morning, Mr. Kliewer.
` Q. Do you know why we're here today?
` A. We're here for my deposition on the
`two IPR matters.
` Q. And you understand that I represent
`the patent owners in both these IPRs?
` A. Yes, I do.
` Q. And I'll be the one that's asking
`you the questions today?
` A. Yes.
` Q. Can you please introduce yourself
`for the record.
` A. Sure. My name is Michael Escuti.
`I am a professor and entrepreneur and I've been
`working in the research capacity in the field of
`liquid crystal displays for approximately 17
`years.
` Q. And where do you reside?
` A. I live in Cary in North Carolina,
`which is very close to Raleigh.
` Q. And where do you work?
` A. I work at North Carolina State
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`University as my professor job, and then I also
`have a position as a chief science officer within
`ImagineOptix.
` Q. Are you currently teaching right
`now?
` A. I am, yes.
` Q. What classes are you teaching?
` A. I'm teaching -- I'm supporting in
`the teaching of a nanotechnology class. The
`number is E304.
` Q. And is that an undergraduate or a
`graduate course?
` A. It's an undergraduate course.
` Q. You said you're an entrepreneur.
` Can you expound on that?
` A. Sure, I'd be glad to.
` As part of my academic research at
`North Carolina State University, we study optical
`elements and systems, optical systems that have
`applications across many markets, and as part of
`our work we both generate IP and publish the
`results in the work that we do, and as a further
`activity, a number of years ago I founded a
`startup company as a kind of university spinout,
`and that's ImagineOptix.
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` So my entrepreneurial activities
`relate primarily to my startup company.
` Q. And what position do you hold at
`ImagineOptix?
` A. I think the official title is
`something like chief science officer or chief
`scientific officer. I can never remember.
` Q. Can you describe your day-to-day
`duties at ImagineOptix?
` A. It's certainly sporadic how I put
`my time there, but it is a matter principally of
`strategic advising for the company and supporting
`projects that we accept and plan for, and then in
`some of the projects I'm also involved in the
`technical work of those projects.
` Q. How long have you been with
`ImagineOptix?
` A. Roughly ten years.
` Q. And how long has ImagineOptix been
`in existence?
` A. Roughly ten years.
` Q. So you're a founding member?
` A. I am a co-founder. The origin
`story of the company was a little more involved in
`the sense that in late 2004, a -- my other two
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`co-founders incorporated the company, spent some
`time looking for a technology that would solve the
`market problems and the opportunity that they had
`identified, and it was a number of months later
`that they encountered me and I joined them, and it
`was in 2005, and became a co-founder with them at
`that point.
` Q. Does ImagineOptix supply backlight
`devices?
` MS. STREFF: Objection; form.
` THE DEPONENT: ImagineOptix does
`not supply backlighting devices at this time.
`BY MR. KLIEWER:
` Q. Have you at ImagineOptix been
`involved with the design of backlight devices?
` A. We have a number of projects that
`relate to backlight units, and some of that is a
`matter of public publications in my CV and some of
`that is unpublished.
` So, yes, I have been, but that has
`all been under my role principally as professor,
`and in those cases it is work that's sponsored by
`ImagineOptix within the university context as a
`sponsored research program.
` Q. So what specifically was your
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`involvement, then, in the design of backlight
`devices?
` A. You'll have to identify which
`specific project or endeavor you're talking about
`because I take different roles.
` Q. Sure. Why don't we list all of the
`backlight devices that you were involved with the
`design of at ImagineOptix.
` A. I'm not able to give you anything
`that is just ImagineOptix. I cannot point you to
`anything that is not public record and that is not
`part of what my university work is.
` Q. So it's fair to say, then, through
`ImagineOptix, you haven't been involved with the
`design of backlight devices?
` MS. STREFF: Objection; form.
` THE DEPONENT: No, that's
`incorrect. I've been involved with work that is
`in both ImagineOptix, proprietary work as well as
`work that's in my academic side, but the
`proprietary work I'm not going to disclose or tell
`you about. I'm not obligated to do that.
`BY MR. KLIEWER:
` Q. Can you tell me about any
`unproprietary work?
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` MS. STREFF: Objection; form.
` THE DEPONENT: None that is just
`ImagineOptix. There are some projects that are
`on -- on the university side that are essentially
`both, or at least a project that's in the
`university context with students and post-docs
`where I take generally a supervisor's role, and
`that's a matter of -- some of it's public record
`and I gave my CV to identify those, but I could
`talk about that, if you like.
` MR. KLIEWER: Sure.
` I'm going to hand you what is
`marked Exhibit 1004 in IPR2015-00487.
` (Document handed to deponent.)
`BY MR. KLIEWER:
` Q. Are you familiar with this
`document?
` A. Yes. It seems to be the -- my
`declaration in the IPR related to the '660 patent.
` Q. And would it be all right with you
`if I refer to this as your '660 declaration or
`'660 patent declaration?
` A. Yes.
` Q. Your CV is attached to this
`document; correct?
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` A. Yes. It is Appendix A.
` Q. And does this refresh your
`recollection about the projects that you designed
`backlight devices for?
` A. Well, it will help if you asked me
`a specific question and perhaps I can point you to
`those projects or those publications or those
`patents.
` Q. Please name for me all the projects
`for which you were involved with the backlight --
`the design of backlight devices.
` MS. STREFF: Objection; form,
`relevance.
` THE DEPONENT: I don't list my
`projects here; I list my publications, you know,
`my patents and other work, work product that
`relates to my work as a professor, as well as an
`entrepreneur.
` I'm not sure I can list the
`projects from memory for you. I simply don't keep
`that record fresh in my mind, and I certainly
`didn't bring that in for you, but I can begin to
`look through my CV and try to point you to things
`that -- upon a question that you ask.
`///
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`BY MR. KLIEWER:
` Q. Can you list one?
` MS. STREFF: Objection; form,
`relevance.
` THE DEPONENT: No. I hesitate
`because there are projects that I'm aware of but
`I'm not sure they're public yet, and so I don't
`want to disclose anything in this matter that I'm
`not free to disclose.
`BY MR. KLIEWER:
` Q. So is it fair to say that you can't
`tell me of any one project that you have worked on
`where you were involved with the design of
`backlight devices?
` MS. STREFF: Objection; form.
` THE DEPONENT: I can tell you about
`a project that is in my CV, and it relates to work
`that was performed and published before my time at
`NC State.
` Would you like to talk about that?
`BY MR. KLIEWER:
` Q. Please.
` A. Sure. This is also introduced in
`my own background introduction in my declaration.
` For example, in Paragraph 11, I
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`discuss this -- this matter. I have a publication
`called "An efficient illumination system for LCDs
`incorporating an anisotropic hologram," and this
`is a general publication in the journal "Applied
`Physics Letters," and it was published in 2005,
`and that is listed in my CV, my journal publications
`on Page 4 of my CV and it's Number 28.
` So that's one example of a project
`that studied novel backlights for LCDs.
` Q. You say "studied novel backlights
`for LCDs."
` Were you involved with the design
`of any particular backlights for LCDs in that
`project?
` MS. STREFF: Objection; form,
`relevance.
` THE DEPONENT: Yes, I was. I was
`the person doing the design and doing the work of
`fabrication and measurements -- with others. I
`wasn't the only one, but my coauthors were part of
`it as well.
`BY MR. KLIEWER:
` Q. Which coauthors are those?
` A. Well, I'll point you to Page 4,
`Item 28. Carlos Sanchez, Chris van Heesch, Cees
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`Bastiaansen and Dick Brewer.
` Q. Was there anyone else involved in
`that project in the design of any backlight
`devices?
` A. Not that I remember.
` Q. And what portion of the backlight
`device in that project were you involved in?
` MS. STREFF: Objection; form.
` THE DEPONENT: I'd best be able to
`answer that if you provided me a copy of the
`journal paper, and I can step you through the
`parts that I did versus the parts of my coauthors.
`BY MR. KLIEWER:
` Q. Sitting here without your journal
`paper, you're not able to tell me what portion of
`a backlight device that you were involved in the
`design of?
` MS. STREFF: Objection; form,
`relevance.
` THE DEPONENT: As a matter of
`generally speaking, I was involved in all aspects
`of the design, but I was not the sole person on
`that project, and I cannot recollect from 12 to 10
`years ago my parts and the parts of the others,
`so...
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`BY MR. KLIEWER:
` Q. How many backlights were you
`involved in the design in in that particular
`project?
` MS. STREFF: Objection; form,
`relevance.
` THE DEPONENT: As best I remember,
`there was one central idea, which is the subject
`of the published journal paper, of a hologram
`that's on top of a light pipe, and I think we must
`have prototyped multiple of these, perhaps a dozen
`of those in that project.
`BY MR. KLIEWER:
` Q. This was mainly an academic
`endeavor; is that correct?
` MS. STREFF: Objection; form.
` THE DEPONENT: I'm not sure what
`you mean by academic endeavor. It was performed
`as work within a university context when I was a
`post-doctor.
`BY MR. KLIEWER:
` Q. Were any of these designs
`incorporated into any commercial backlight
`devices?
` MS. STREFF: Objection; form,
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`relevance.
` THE DEPONENT: I really don't know.
`BY MR. KLIEWER:
` Q. Are there any other projects that
`you can recall where you were involved with the
`design of backlight devices?
` MS. STREFF: Objection; form,
`relevance.
` THE DEPONENT: There are other
`projects that I'm not free to talk about.
`BY MR. KLIEWER:
` Q. So the one project that you're free
`to talk about, the one involving your Paper
`Number 28 in your CV, is the one project that you
`can discuss?
` MS. STREFF: Objection; form,
`relevance.
` THE DEPONENT: Could you rephrase
`the question?
`BY MR. KLIEWER:
` Q. So the project you're referring to
`associated with Paper Number 28 in your CV, is
`that the only project where you were involved with
`the design of backlight devices that you're free
`to talk about right now?
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` MS. STREFF: Objection; form,
`relevance.
` THE DEPONENT: As best as I can
`recall, yes, that's the only project I know I'm
`free to speak of today.
`BY MR. KLIEWER:
` Q. I'm going to back up and take care
`of a couple housekeeping matters.
` Is there any reason that you cannot
`testify truthfully here today?
` A. No.
` Q. Is there any reason why your
`testimony here might be unreliable?
` A. No, there's no reason.
` Q. I'd like to continue with your
`background.
` Where did you go to college?
` A. I earned my undergraduate degree at
`Drexel University and my graduate degrees at Brown
`University.
` Q. And what field were those degrees
`in?
` A. They were in the fields of
`electrical engineering, and in my undergraduate
`degree it was an electrical and computer
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`engineering degree.
` Q. Do you have any other degrees?
` A. Not that I'm aware of, no.
` Q. How long did it take you to write
`your '660 declaration?
` A. I don't have a precise answer, but
`certainly multiple months.
` Q. Is that that you wrote it over
`multiple months or is that it -- you logged
`multiple months writing it?
` MS. STREFF: Objection; form.
` THE DEPONENT: I'm not sure what
`you mean. Can you rephrase it?
`BY MR. KLIEWER:
` Q. Sure. I asked you how long it took
`to write your '660 declaration, and your answer
`was that it was certainly multiple months.
` Approximately how many hours over
`those months did you spend writing the '660
`declaration?
` A. I don't recall the number of hours
`for this particular declaration among the others,
`and I don't recall the number either way.
` Q. Would it be more than ten?
` A. I assure you it's more than ten.
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` Q. Would it be more than a hundred?
` A. I'm not sure.
` Q. Would it be more than a thousand?
` A. No.
` Q. Did you write the declaration
`completely by yourself?
` A. No, I did not. It was a
`collaborative effort with the attorneys at Mayer
`Brown.
` Q. Which attorneys were those?
` A. The two that are here, Amanda and
`Rob, as well as a few others. I'll try to name
`them by memory, if necessary, but...
` Q. Please.
` A. Anita Lam and Baldine, whose last
`name I can't recall. So those are the folks that
`I think were on the team.
` Q. And when you say Amanda and Rob,
`you're referring to Amanda Streff and Rob Pluta
`who are here at this deposition?
` A. Yes, that's right.
` Q. Did anyone tell you what to write
`in your declaration?
` MS. STREFF: I'm just going to
`caution Dr. Escuti not to disclose any
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`communications with the attorney team.
` THE DEPONENT: Sure.
` At no point was I instructed on
`what to write or instructed on what my positions
`would be. The origin of the actual text came from
`both sides, and I don't recall where -- where
`different parts came from.
`BY MR. KLIEWER:
` Q. What do you mean, the original came
`from both sides?
` A. Well, I just mean simply it was a
`collaborative effort in the sense that we drafted
`different portions and put them all together and
`reviewed them and made various revisions, again,
`as a collaborative effort.
` Q. Did anyone give you any assumptions
`that you relied upon in writing your declaration?
` A. Well, there were two kinds of what
`I suppose might be assumptions.
` One are that there's some legal
`guidance that I needed to assume and follow in
`terms of definitions, for example, anticipation
`and what obviousness is and certain legal matters,
`and that's in my declaration.
` And then the only other technical
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`term I think was the construction of deformities,
`and that was indeed -- this was something I
`assumed as the construction.
` Q. Are there any parts of your '660
`declaration that contain opinions that you at one
`point thought were incorrect?
` MS. STREFF: Objection; form.
` THE DEPONENT: No, not that I'm
`aware of.
`BY MR. KLIEWER:
` Q. Are there any parts of your '660
`declaration that you know are untrue at this time?
` A. No, not that I'm aware of.
` Q. I'm handing you what's been marked
`as Exhibit 1004. It is IPR2015-00506.
` (Document handed to deponent.)
`BY MR. KLIEWER:
` Q. Do you recognize this document?
` A. Yes, I do. It's my declaration
`from the IPR proceeding for the patent '973.
` Q. So we'll refer to this, then, as
`your '973 declaration; is that okay?
` A. Sure.
` Q. Can you tell me how you prepared
`for your deposition this morning?
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` A. Sure. I reviewed the specification
`of the two patents at issue; I reviewed my
`declaration; I reviewed the file histories and the
`prior art that's relevant to the instituted
`portions of my declarations, or of the matter, and
`I spent a few hours yesterday with Amanda Streff
`and Rob Pluta.
` Q. When you say "a few hours," can you
`tell me about how many hours that is?
` A. If you mean the hours with Amanda
`Streff and -- in particular yesterday, it was
`somewhere on the scale of six hours with them,
`seven hours, perhaps.
` Q. Besides meeting with them
`yesterday, did you have any other meetings or any
`calls?
` MS. STREFF: Objection; form.
` THE DEPONENT: Indeed, no other
`meetings, and if there were calls, they were just
`simply related to scheduling.
`BY MR. KLIEWER:
` Q. How much were you paid to write the
`'660 declaration?
` MS. STREFF: Objection; form,
`relevance.
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` THE DEPONENT: I don't know
`specifically what that amount is that relates just
`to this matter because I don't remember the hours.
`I mean my hourly rate is disclosed, but I don't
`remember how many hours.
`BY MR. KLIEWER:
` Q. And what is that hourly rate?
` A. $330, I think.
` Q. And is that the rate that was also
`paid to you for the '973 declaration?
` MS. STREFF: Objection; form,
`relevance.
` THE DEPONENT: Yes, it's in
`Paragraph 3 of I think all the declarations.
`BY MR. KLIEWER:
` Q. How much are you being paid to
`provide your testimony here today?
` MS. STREFF: Objection; form,
`relevance.
` THE DEPONENT: Well, that's my
`hourly rate. I suppose how much I get paid
`depends on how long we're together.
`BY MR. KLIEWER:
` Q. Is that the same hourly rate as
`what's listed in your declaration?
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` A. Yes, all my time on these matters
`has the same rate.
` Q. In your '973 declaration in
`Paragraph 10, you talk about research supported by
`various entities.
` A. Is there a question? I'm sorry.
` Q. Is that correct?
` A. Yes, that's correct.
` Q. What is the NSF?
` A. NSF as an acronym is defined above
`in the Item C on that same page. It stands for
`the National Science Foundation. It's a federal
`agency that supports basic research in a number of
`science and engineering fields.
` Q. You also mention that support comes
`from several strong partners -- partnerships with
`industry; is that correct?
` A. The last sentence of Paragraph 10
`says:
` "A further part of this
` support also comes from several
` strong partnerships with
` industry."
` And then I list several of those.
` Q. And what are those partnerships?
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` A. Are you asking who are the parties
`that I list or something else?
` Q. Let's start with that.
` A. Well, the ones I list here are
`Raytheon, Lockheed Martin, Teledyne Scientific and
`Imaging, Boulder Nonlinear Systems and
`ImagineOptix.
` Q. Is that an exhaustive list or is
`that something else?
` MS. STREFF: Objection; form.
` THE DEPONENT: That is not an
`exhaustive list; it is a summary of the ones
`that -- that might be more well known.
`BY MR. KLIEWER:
` Q. Did Raytheon, Lockheed Martin,
`Teledyne Scientific and Imaging, Boulder Nonlinear
`Systems or ImagineOptix employ you to design
`backlight devices?
` MS. STREFF: Objection; form,
`relevance.
` THE DEPONENT: Well, this is not an
`employee kind of relationship. This is a contract
`for work research project kind of relationship,
`and, generally, those that are doing the work are
`students and I'm guiding them.
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` That being said, I think the only
`one in that list where any activities were done
`under this kind of research sponsorship that
`relate to backlight devices would be ImagineOptix.
`The other ones were pursuing other devices.
` Q. Did MZA Associates fund any of your
`research?
` MS. STREFF: Objection; form,
`relevance.
` THE DEPONENT: MZA Associates is I
`think a research sponsor, and I can't remember the
`parties in that project. It may also have
`included Boulder Nonlinear Systems. I think it
`did. But, as I said, this is certainly not an
`exhaustive list.
`BY MR. KLIEWER:
` Q. Does ImagineOptix have a business
`relationship with LG Display or LG Electronics?
` MS. STREFF: Objection; form,
`relevance.
` THE DEPONENT: There is no
`relationship between ImagineOptix and either of
`those companies.
`BY MR. KLIEWER:
` Q. To the best of your knowledge,
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`there are no contracts between ImagineOptix and
`LG Display or LG Electronics?
` MS. STREFF: Objection; form,
`relevance.
` THE DEPONENT: Indeed, to the best
`of my knowledge, yes.
`BY MR. KLIEWER:
` Q. Does LG Display or LG Electronics
`or any LG affiliates supply any funding to your
`research?
` MS. STREFF: Objection; form,
`relevance.
` THE DEPONENT: The short answer is
`no, but there was a joint project that was with a
`company called LG Innotek that led to a publication
`that was essentially a relationship where they
`purchased parts from ImagineOptix.
`BY MR. KLIEWER:
` Q. Is that relationship ongoing?
` MS. STREFF: Objection; form,
`relevance.
` THE DEPONENT: No, it's not. It
`concluded pretty much with that publication.
`BY MR. KLIEWER:
` Q. Can you spell the name of that LG
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`affiliate that purchased parts from ImagineOptix?
` MS. STREFF: Objection; form.
` THE DEPONENT: I'm not sure I agree
`with calling it an affiliate. I really don't know
`the business relationship of this company to any
`of the other companies that have LG in its name,
`but the name of the company that we worked with
`was LG Innotek, and I believe it's spelled
`I-n-n-o-t-e-k.
`BY MR. KLIEWER:
` Q. And how many dollars' worth of
`parts did LG Innotek purchase from ImagineOptix?
` MS. STREFF: Objection; form,
`relevance.
` THE DEPONENT: I don't know the
`exact dollar amount, but it was in the scale of a
`few hundred dollars.
`BY MR. KLIEWER:
` Q. What kind of parts are these?
` MS. STREFF: Objection; form,
`relevance.
` THE DEPONENT: I'd best be able to
`answer that question if you showed me -- gave me a
`copy of the paper. I could point you to the parts
`that we provided for their project.
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` Do you have a copy of the paper?
`BY MR. KLIEWER:
` Q. Which paper are you referring to?
` A. It's paper -- it's listed on my CV,
`Page Number 6, and it is, in the Conference
`Proceedings List, Number 16. The title of it is
`"Polarization Conversion System Using a Polymer
`Polarization Grating," and the items that were
`purchased from us were polymer polarization
`gratings.
` Q. What is a polymer polarization
`grating?
`
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