CATERPILLAR EXHIBIT 1001
`
`Page 1 of 32
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`

`
`US 8,689,472 B2
`Page 2
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`(56)
`
`References Cited
`U.S. PATENT DOCUMENTS
`
`5/1959 Hill
`2,885,801 A
`3/1965 Williamson
`3,175,314 A
`3,225,467 A * 12/1965 Troeppl
`........................ .. 37/452
`3,453,756 A
`7/1969 Schroeder
`3,624,827 A
`11/1971 Liess
`3,675,350 A
`7/1972 Mulcahy
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`11/1980 Davis
`4,367,602 A
`1/1983 Petersen
`4,404,760 A
`9/1983 Hahn et al.
`4,505,058 A
`3/1985 Peterson
`4,599,860 A
`7/1986 Parsons
`4,747,495 A
`5/1988 Hoss
`4,831,346 A
`5/1989 Brooker et al.
`4,881,331 A
`11/1989 Paizes
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`4/1991 Diekevers et al.
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`9/1997 Emrich et al.
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`1/1998 Jones et al.
`5,713,145 A
`2/1998 Ruvang
`5,918,391 A
`7/1999 Vinas Peya
`6,047,487 A
`4/2000 Clendenning
`D435,567 S
`12/2000 Clendenning
`6,240,663 B1
`6/2001 Robinson
`6,247,255 B1
`6/2001 Clendenning
`D446,224 S
`8/2001 Clendenning
`S
`D447,154
`8/200 1 Clendenning
`6,321,471 B2 * 11/2001 Fernandez Munoz et al.
`6,385,871 B1
`5/2002 Quarfordt
`6,430,851 B1
`8/2002 Clendenning
`6,477,796 B1* 11/2002 Cornelius ..................... .. 37/452
`6,708,431 B2
`3/2004 Robinson et al.
`6,735,890 B2
`5/2004 Carpenter et al.
`6,836,983 B2 *
`1/2005 Pallas Moreno et al.
`6,839,990 B2
`1/2005 Leslie et al.
`6,865,828 B1
`3/2005 Molino et al.
`6,871,426 B2
`3/2005 Keech et al.
`6,886,893 B1
`5/2005 Fisch et al.
`6,959,506 B2
`11/2005 Adarnic et al.
`7,100,315 B2
`9/2006 Carpenter
`7,168,193 B2
`1/2007 Pallas Moreno et al.
`7,640,684 B2
`1/2010 Adarnic et al.
`1/2010 Emrich ......................... .. 37/457
`7,640,685 B2*
`2002/0000053 A1
`1/2002 Adarnic et al.
`2003/0024139 A1
`2/2003 Jones et al.
`2004/0037637 A1
`2/2004 Lian et al.
`
`..... .. 37/452
`
`. 37/456
`
`FOREIGN PATENT DOCUMENTS
`
`1557152
`GB
`53-137501
`JP
`06026070
`JP
`10-252106
`JP
`11-107329
`JP
`WO99/23316
`WO
`WO 2004/057117
`W0
`WO 2005/080695
`W0
`W0 W0 2007-060697
`
`12/1979
`12/1978
`2/1994
`9/1998
`4/1999
`5/1999
`7/2004
`9/2005
`5/2007
`
`OTHER PUBLICATIONS
`
`J-Bolt Lip Shrod Installation, LS200-350J, LS200-1350JL, LS200-
`1350JR Dated Oct. 21, 1997 (1 page).
`PAC Mining Pty Ltd Part No .—M652 1, 11/2" T Bolt Kit (1 page)—No
`Date.
`
`PAC Mining Pty Ltd Part No .—M6292, 11/4" T Bolt Kit (1 page)—No
`Date.
`
`AU2007241 122 Statement of Grounds and Particulars of Opposition
`filed by CQMS (11 pages), Apr. 12, 2013.
`AU2007241 122 Evidence in Support—Statutory Declaration #1
`filed by CQMS (459 pages), Jul. 11, 2003.
`AU2007241122 Evidence in Support—Statutory Declaration #2
`filed by CQMS (97 pages).
`
`Page 2 of 32
`
`AU201 1201 135 Statement of Grounds and Particulars of Opposition
`filed by CAT (7 pages), Apr. 12, 2012.
`AU201 1201 135 Statement of Grounds and Particulars of Opposition
`filed by CQMS (10 pages), Apr. 12,2013.
`AU201 1201 135 Statement of Grounds and Particulars of Opposition
`filed by Ronneby Road (3 pages), May 7, 2013.
`AU201 1201 135 Evidence in Support—Statutory Declaration #1
`filed by Ronneby Road (19 pages).
`AU201 1201 135 Evidence in Support—Statutory Declaration #2
`filed by Ronneby Road titled BH-1 (6 pages).
`AU2011201135 Evidence in Support—The Edge Solutions from
`ESCO Aug. 2007 #3 filed by Ronneby Road (32 pages).
`Statement of commercial use of Torqlok tooth system with drawings
`(4 pages).
`Contentions filed by Caterpillar, Inc. in a US lawsuit involving a
`related U.S. Appl. No. 8,122,621 identified as 35 U.S.C. par. 103(a)
`Combinations for US 8,122,621 (7 pages).
`Contentions filed by CAT in US lawsuit related to US Patent 8122621
`ident. as Exhibit D (Anticipation/Obviousness of U.S. Appl. No.
`8/122,621 under 35 USC par 102/103 (290 pages), Apr. 20, 2013.
`AU2011201135 Evidence in Support—Statutory Declaration filed
`by CQMS (210 pages).
`AU2011201135 Evidence in Support—Statutory Declaration filed
`by CAT—Brett Gary Connor (166 pages).
`AU2011201135 Evidence in Support—Statutory Declaration filed
`by CAT—Bruce Alexander Leslie (11 pages).
`AU2011201135 Evidence in Support—Statutory Declaration filed
`by CAT—Bruce Alexander Leslie (106 pages).
`AU2011201135 Evidence in Support—Statutory Declaration filed
`by ESCO—Howard Robinson 1st Declaration (6 pages).
`AU2011201135 Evidence in Support—Statutory Declaration filed
`by ESCO—Howard Robinson 2st Declaration (5 pages).
`130524 Plaintiffs (ESCO’s) Initial Dislcosure of Asserted Claims
`and Infringement Contentions to All Defendants in a lawsuit related
`to US Patent 8,122,621 (15 pages).
`130524 Plaintiffs (ESCO’s) Initial Dislcosure of Asserted Claims
`and Infringement Contentions to All Defendants in a lawsuit related
`to US Patent 8,122,621 Exhibit A (78pages).
`130722Defendants Initial Disclosure of NonInfringement, Invalid-
`ity, and Unenforceability Contentions Pusuant to L.R. 16.1-8 in law-
`suit related to US Patent 8122621 (27 pages).
`Invalidity, and
`130722 Def.
`Initial Disc. of NonInfringement,
`Unenforceability Contentions Pusuant to L.R. 16.1-8 in lawsuit
`related to US Patent 8,122,621 Exhibit C (1 page).
`Invalidity, and
`130722Def.
`Initial Disc. of NonInfringement,
`Unenforceability Contentions Pusuant to L.R. 16.1-8 in lawsuit
`related to US Patent 8,122,621 Exhibit D (290 pages).
`130722Def.
`Initial Disc. of NonInfringement,
`Invalidity, and
`Unenforceability Contentions Pusuant to L.R. 16.1-8 in lawsuit
`related to US Patent 8,122,621 Exhibit E (7 pages).
`131101 The ESCO Parties’ LR 16.1-10 Response to Defendants’ LR
`16.1-8 Contentions in a lawsuit related to US Patent 8,122,621 (34
`pages).
`131101 The ESCO Parties’ LR 16.1-10 Response to Defendants’ LR
`16.1-8 Contentions in a lawsuit related to US Patent 8,122,621
`Exhibit A1 (20 pages).
`131101 The ESCO Parties’ LR 16.1-10 Response to Defendants’ LR
`16.1-8 Contentions in a lawsuit related to US Patent 8,122,621
`Exhibit B2 (119 pages).
`120 829 Complaint for Patent Infringment and Demand for Jury Trial
`in a lawsuit related to US Patent 8,122,621 (139 pages).
`121005 First Amended Complaint for Patent Infringement and
`Demand for Jury Trial in a lawsuit related to US Patent 8,122,621 (12
`pages).
`131202 Defendants (CAT, and Cashman Equipment Company’s)
`Answer to Plaintiffs (ESCO’s) Couterclaims in a lawsuit related to
`US Patent 8,122,621 (11 pages).
`130913 Defendants (Raptor) Answer and Couterclaims in a lawsuit
`related to US Patent 8,122,621 (32 pages).
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`US 8,689,472 B2
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`(56)
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`References Cited
`OTHER PUBLICATIONS
`
`131 107 Plantiffs (ESCO’s) Answer and Couterclaims to Defendants
`(CAT, and Cashman Equipment Company’s) Couterclaims in a law-
`suit related to US Patent 8,122,621 (40 pages).
`(Raptor’s)
`131107 Plantiffs (ESCO’s) Answer
`to Defendants
`Couterclaims in a lawsuit related to US Patent 8,122,621 (10 pages).
`131107 ESCO’s Motion to Dismiss Defendants’ Couterclaims and
`strike Affirmitive Defenses in a lawsuit related to US Patent
`8,122,621 (45 pages).
`131125 Defendants’/Counterclaimants’ Opposition to the ESCO
`Parties’ Motion to Dismiss and Motion to Strike in a lawsuit related
`to US Patent 8,122,621 (38 pages).
`
`131209ESCO’s Motion for Leave to File a Rep. Brief in Support of
`its Motion to Dismiss Def. Count. & Strike Affirmative Defenses in
`
`lawsuit related to US Patent 8122621 (20 p).
`131125Motion to Join Co-Def. Opp. To Plaint. Motion to Strike
`Inequitable Conduct and Unclean Hands/Patent Misuse Affirmative
`Def. in lawsuit related to US Patent 8122621 (3p).
`131209Stip.&Ord. to W/D Inequitable Conduct & Unclean Hands/
`Patent Misuse Aff. Def. W/O Prej udice&to W/D Motion to Strike the
`Same in lawsuit related to US Patent 8122621 (5p).
`AU201 1201 135 Evidence in Support—Statutory Declaration filed
`by ESCO—Howard Robinson 3rd Declaration (9 pages).
`
`* cited by examiner
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`1
`WEAR ASSEMBLY
`
`US 8,689,472 B2
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`2
`
`This application is a divisional of application Ser. No.
`13/369,699 filed Feb. 9, 2012, which is a divisional applica-
`tion of application Ser. No. 13/005,791, filed Jan. 13, 2011,
`now U.S. Pat. No. 8,122,621, which is a divisional of appli-
`cation Ser. No. 11/729,502 filed Mar. 28, 2007, now U.S. Pat.
`No. 7,882,649, which is a non-provisional application based
`on provisional patent application Ser. No. 60/787,268, filed
`Mar. 30, 2006.
`
`10
`
`FIELD OF THE INVENTION
`
`The present invention pertains to a wear assembly for
`securing a wear member to excavating equipment.
`
`15
`
`BACKGROUND OF THE INVENTION
`
`Wear parts are commonly attached to excavating equip-
`ment, such as excavating buckets or cutterheads, to protect the
`equipment from wear and to enhance the digging operation.
`The wear parts may include excavating teeth, shrouds, etc.
`Such wear parts typically include a base, a wear member, and
`a lock to releasably hold the wear member to the base.
`In regard to excavating teeth, the base includes a forwardly
`projecting nose for supporting the wear member. The base
`may be formed as an integral part of the digging edge or may
`be formed as one or more adapters that are fixed to the digging
`edge by welding or mechanical attachment. The wear mem-
`ber is a point which fits over the nose. The point narrows to a
`front digging edge for penetrating and breaking up the
`ground. The assembled nose and point cooperatively define
`an opening into which the lock is received to releasably hold
`the point to the nose.
`Such wear members are commonly subjected to harsh con-
`ditions and heavy loading. Accordingly, the wear members
`wear out over a period of time and need to be replaced. Many
`designs have been developed in an effort to enhance the
`strength, stability, durability, penetration, safety, and/or ease
`of replacement of such wear members with varying degrees
`of success.
`
`SUMMARY OF THE INVENTION
`
`The present invention pertains to an improved wear assem-
`bly for securing wear members to excavating equipment for
`enhanced stability, strength, durability, penetration, safety,
`and ease of replacement.
`In one aspect of the invention, the nose and socket are each
`provided with offset upper and lower stabilizing surfaces to
`provide a stable but streamlined design that provides higher
`strength, better penetration, and an improved flow of material
`into the excavator as compared to conventional teeth.
`In another aspect ofthe invention, front and rear stabilizing
`surfaces of the nose and socket are each inclined to resist
`
`loads on the wear member with vertical components (herein
`called vertical loads) and side components (herein called side
`loads). In addition, shifting loads can be better resisted by
`such inclined surfaces with less relative motion between the
`
`nose and the socket for greater stability and less wear. In one
`preferred construction, the nose and socket have V-shaped
`rear stabilizing surfaces and inverted V-shaped front stabiliz-
`ing surfaces.
`In one other aspect of the invention, stabilizing shoulders
`formed integrally with the body of the wear member bear
`against complementary supports on the nose to increase sta-
`bility and strength of the assembly. The shoulders are sub-
`
`20
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`Page 25 of 32
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`stantially parallel to the longitudinal axis of the nose to form
`a highly stable formation that resists vertically applied loads
`on the wear member. Unlike ears that project rearward from
`the body ofthe wear member, the shoulders are backed by the
`body of the wear member for additional strength. The use of
`shoulders also requires less metal than ears.
`In another aspect ofthe invention, the nose and socket each
`includes a first faceted shape at the front end that transitions
`into a second increased-faceted shape and preferably, also
`into a third increased-faceted shape at the rear ends. In one
`preferred example, the front ends of the nose and socket are
`each formed generally as a triangle that transitions into a
`hexagonal shape, which, in turn, transitions into an octagonal
`shape at the rear end. The use of such shape changing forma-
`tions enables the use of a slender wear assembly for good
`penetration while maintaining high strength characteristics
`and side stability.
`In another aspect of the invention, the body of the nose and
`complementary main portion of the socket each includes
`upper and lower portions. Each of the upper and lower por-
`tions have a central facet and a pair of side facets that each
`extend out an inclination to the corresponding central facets.
`To achieve the desired stabilization, strength and slimmer
`profile, the upper and lower portions are asymmetrical such
`that the upper central facet has an expanding width in a
`rearward direction, wherein the lower central facet has a
`narrowing width in a rearward direction.
`In another aspect ofthe invention, the front ends ofthe nose
`and socket are each formed with sidewalls that are inclined
`
`inward in the upward direction to minimize the lateral pro-
`jection of the upper comers. The use of such inclined side-
`walls at the front ends reduces the outer profile of the assem-
`bly for better penetration ofthe ground. By moving the upper
`corners inward, the risk of break through (i.e., the formation
`ofholes passing into the socket) is also reduced, thus, length-
`ening the useable life ofthe wear member. The use of inclined
`stabilizing surfaces along the sidewalls further reduces wear
`as vertical and side loads are both resisted by the same sur-
`faces.
`
`In one preferred embodiment, the nose and socket each
`includes a generally triangular-shaped front stabilizing end.
`In one example, the triangular stabilizing end is formed by a
`generally horizontal lower surface and an inverted V-shaped
`upper surface. As discussed above, this construction enhances
`penetration, increases the useable life of the wear member by
`minimizing the risk ofbreak-through and resists both side and
`vertical loads with the same surfaces.
`
`In a further aspect of the invention, the nose includes an
`upper converging wall and a lower converging wall to have
`the common wedge shape as a compromise of strength and
`penetration. However, as opposed to prior constructions, the
`upper wall continues converging toward the lower wall
`through the front end for enhanced penetration while continu-
`ing to provide the desired stabilization.
`In one other aspect of the invention, the lock is integrally
`secured to the wear member for shipping and storage as a
`single integral component. The lock is maintained within the
`lock opening irrespective of the insertion of the nose into the
`cavity, which results in less shipping costs, reduced storage
`needs, and less inventory concerns.
`In another aspect of the invention, the lock is releasably
`securable in the lock opening in the wear member in both hold
`and release positions to reduce the risk of dropping or losing
`the lock during installation. Such an assembly involves fewer
`independent components and an easier installation proce-
`dure.
`
`Page 25 of 32
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`US 8,689,472 B2
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`3
`In a further aspect of the invention, the lock and wear
`member can be maintained as a single integral component
`through shipping, storage, installation and use through an
`easily movable system without reliance on threaded mem-
`bers. This arrangement enables improved part management
`and easier installation of the wear member with less risk of
`
`losing the lock.
`In another aspect of the invention, the lock is swung about
`an axis that extends generally longitudinally for easy use and
`stability. In the hold position, the lock fits within a cavity
`defined in a sidewall of the nose, which avoids the conven-
`tional through-hole and provides increased nose strength.
`Moreover, the sides of the lock form a secure and stable
`locking arrangement without substantial loading of the hinge
`or latch portions of the lock. In addition, the lock is operable
`without a hammer for ease of use and enhanced safety.
`In another aspect of the invention, the lock is formed with
`a pivot support and a biasing member to permit not only
`pivotal movement of the lock between hold and release posi-
`tions, but also a shifting movement to permit latching in the
`hold position and/or release positions.
`In one preferred
`embodiment of the invention, the lock body defines at least
`one pry slot whereby a pry tool can securely engage the lock
`to shift and pivot the lock for easy installation and removal.
`In another aspect ofthe invention, the lock is provided with
`a latch formation which includes a centrally positional for-
`mation to be used to release the lock from the lock position.
`
`BRIEF DESCRIPTION OF THE DRAWINGS
`
`FIG. 1 is a perspective view of a wear assembly in accor-
`dance with the present invention.
`FIG. 2 is a side view of the wear assembly.
`FIG. 3 is a cross-sectional view of the wear assembly
`vertically taken along the longitudinal axis.
`FIG. 4 is an upper perspective view of a base of the wear
`assembly.
`FIG. 5 is a lower perspective view of the nose of the base.
`FIG. 6 is a top view of the nose.
`FIG. 7 is a side view of the base.
`FIG. 8 is a side view of the nose.
`FIG. 9 is a front view of the base.
`
`FIG. 10 is a cross-sectional view of the base taken along
`such section line 10-10 in FIG. 9.
`
`FIG. 11 is a cross-sectional view of the base taken along
`such section line 11-11 in FIG. 8.
`
`FIG. 12 is a perspective view of a wear member ofthe wear
`assembly.
`FIG. 13 is an enlarged view ofthe part of the wear member
`within the circle c in FIG. 12.
`FIG. 14 is a rear view of the wear member.
`FIG. 15 is a side view of the wear member.
`
`FIG. 16 is a cross-sectional view taken along section line
`16-16 in FIG. 14.
`
`FIG. 17 is a cross-sectional view taken along section line
`17-17 in FIG. 14.
`
`FIGS. 18 and 19 are each a perspective view of a lock for
`the wear assembly.
`FIG. 20 is a front view ofthe lock.
`FIG. 21 is a side view of the lock.
`
`FIG. 22 is a cross-sectional view taken along line 22-22 in
`FIG. 21.
`
`FIGS. 23-25 are transverse cross-section views showing
`the incremental installation ofthe lock into the wear assembly
`with a pry tool.
`
`5
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`10
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`15
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`20
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`25
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`30
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`35
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`4
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`FIGS. 26-29 are transverse cross-sectional views showing
`the incremental removal of the lock from the wear assembly
`with a pry tool.
`FIG. 30 is an enlarged, transverse cross-sectional view of
`the wear assembly with the lock in the hold position in the
`assembly.
`FIG. 30a is an enlarged, transverse cross-sectional view of
`the wear member combined with the lock in the hold position.
`FIG. 31 is a perspective view of the wear member with the
`lock in the release position.
`FIG. 32 is an enlarged transverse cross-sectional view of
`the lock in the release position.
`FIG. 33 is a perspective view of a second embodiment of a
`wear assembly in accordance with the present invention.
`FIG. 34 is an exploded perspective view of the second
`embodiment.
`FIG. 35 is a side view of the nose of the second embodi-
`ment.
`FIG. 36 is a rear view of the wear member of the second
`embodiment.
`
`FIG. 37 is a partial cross-sectional view taken vertically
`along the longitudinal axis.
`
`DETAILED DESCRIPTION OF THE PREFERRED
`EMBODIMENTS
`
`The present invention pertains to a wear assembly 10 for
`releasably attaching a wear member 12 to excavating equip-
`ment (not shown). In this application, wear member 12 is
`described in terms of a point for an excavating tooth that is
`attached to a lip of an excavating bucket. However, the wear
`member could be in the form ofother kinds ofwear parts (e. g.,
`shrouds) or attached to other excavating equipment (e.g.,
`dredge cutterheads). Moreover, relative terms such as for-
`ward, rearward, up, down, horizontal or vertical are used for
`convenience of explanation with reference to the orientation
`of the assembly in FIG. 1; other orientations are possible.
`In one embodiment (FIGS. 1-32), the wear member or
`point 12 is adapted to fit on a nose 14. The nose is the front
`portion of a base 15 that is fixed to a bucket (not shown) or
`other equipment. The rear mounting portion 19 ofbase 15 can
`be fixed to the bucket in a number of common ways. In the
`illustrated example, base 15 includes a pair of rearward legs
`21 (FIGS. 1-3) that extend over and are welded to the lip of a
`bucket. Nevertheless, the base can include only one leg, be
`cast as part of the lip, or be mechanically fixed to the bucket
`lip, such as by a Whisler-style lock. When the base is secured
`to the lip by welding or a locking mechanism, the base is
`typically called an adapter. The base can also consist of a
`plurality of interconnected adapters. Wear member 12 is
`releasably secured to nose 14 by a lock 17.
`Nose 14 includes a body 18 and a front end 20 (FIGS.
`3-11). The front end 20 preferably has a generally triangular
`shape with a horizontal lower surface 22 and a pair of inclined
`surfaces 24 facing upward and outward, collectively defining
`an inverted V-shape. The lower and upper surfaces 22, 24 are
`front stabilizing surfaces that are substantially parallel to the
`longitudinal axis 26 of the nose. The term “substantially
`parallel” is intended to include parallel surfaces as well as
`surfaces that diverge rearwardly from axis 26 at a small angle
`(e.g., of about 1-7 degrees) for manufacturing or other pur-
`poses. A small divergence may also ease removal of the wear
`member from the nose. In one preferred embodiment, each
`stabilizing surface 22, 24 diverges rearwardly at an angle of
`no more than about 5 degrees and most preferably about 2-3
`degrees to axis 26.
`
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`US 8,689,472 B2
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`5
`It is common in digging operations for the teeth to be
`forced forward and upward through the ground. As a result,
`the primary directions in which excavating teeth are com-
`monly loaded are rearward and downward. Front face 27 of
`nose 14 abuts front surface 29 in socket 16 to primarily resist
`rearward loads. Upper stabilizing surfaces 24 are substan-
`tially parallel to axis 26 to provide stable resistance to down-
`wardly applied vertical loads on the front end ofwear member
`12. Also, due to irregularities in the ground, rocks, and other
`impediments, the teeth also tend to experience side loads as
`well as loads that shift. Upper stabilizing surfaces 24 are
`inclined to resist both downward vertical loads and side loads.
`Loads that shift between vertical and side loads are also better
`
`resisted by the same upper surfaces 24 to reduce shifting of
`wear member 12 on nose 14, and thereby reduce wearing of
`the components. The larger surface area provided by both
`angled upper surfaces 24 as compared to lower surface 22 can
`also provide a benefit in resisting the expected larger down-
`ward loads.
`
`Since vertical loading is typically greater than side loading,
`upper surfaces 24 are preferably more horizontal than verti-
`cal, i.e., at an angle 6 between 0 and 45 degrees relative to
`lower surface 22, and most preferably at an angle 6 of about
`40 degrees (FIG. 9). Nevertheless, inclinations outside the
`preferred range are possible, particularly in light duty opera-
`tions or in environments where high side loading can occur.
`Lower surface 22 is provided to resist upward vertical load-
`ing.
`A triangularly-shaped front end (along with other parts of
`the nose) also ensures that wear member 12 will be mounted
`properly on the nose,
`i.e.,
`the wear member cannot be
`mounted the wrong way on the nose. Moreover, since the
`wear member is not subject to reversible mounting, the nose
`and socket can be formed to optimize shape for a given
`application. As example, the nose may be formed with a
`profile for greater penetration, a shape that reduces the rate of
`wear on the wear member, and an efiicient construction to
`specially suit loads and wear patterns expected in the desired
`digging operations.
`In an effort to stabilize the mounting of the wear member,
`it has been known to form the front end of the nose and socket
`
`as mating parallelepipeds with rectangular shaped stabilizing
`surfaces. At times, the wear member can thin causing high
`stress which may lead to failure or wear through the wear
`member to expose the nose at the comers, which in either case
`results in the wear member needing to be replaced before the
`bit portion 28 has worn away. Since downward loading is
`typically greater than upward loading and with the flow of
`earthen material into the bucket, such break through usually
`occurs along the top of the wear member. With an upward-
`pointing, triangularly-shaped front stabilizing end for nose
`14, upper surfaces 24 are inclined downwardly, in a lateral
`direction, to shift the upper front comers of the stabilization
`end to a central position (FIGS. 4, 5 and 9). This reduced
`profile at its lateral ends, in turn, reduces the wearing and
`stress on the upper lateral ends of the socket and nose com-
`pared to conventional teeth. As a result, the usable lives of the
`wear member and the nose are increased. In addition, the
`triangular front end 20 ofnose 14 defines a smaller profile for
`better penetration into the ground. The use of inclined sur-
`faces at the upper corners allows the wear member to be
`shaped such that more surface area is available to carry
`earthen materials into the bucket.
`
`While front stabilizing end 20 preferably has a triangular
`shape formed by upper and lower surfaces 22, 24, other
`configurations with inclined side surfaces can be used to
`reduce the lateral projection of the upper front corners. In
`
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`15
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`20
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`25
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`6
`such a construction, the inclined sidewalls may define a gen-
`erally trapezoidal shape. As another example, the upper cor-
`ners may be chamfered to shift the upper comers inward. The
`chamfers may be made so as to eliminate the sidewalls and/or
`top walls or to connect the side and top walls. In another
`example, although planar surfaces are preferred, the inclined
`surfaces may be curved to define, for example, a generally
`hemispherically shaped front end.
`Moreover, a triangular shaped front end 20 or other front
`end shapes with inclined sidewalls could be used in connec-
`tion with other known nose configurations. As an example
`only, such a front end could be used as a stabilizing front end
`instead of the stabilizing front end disclosed on the nose in
`U.S. Pat. No. 5,709,043. In addition, the front end could be
`reversed for digging operations where the loads and wear
`would be expected to be along the bottom side as opposed to
`the top side of the wear assembly.
`Nose 14 is further defined in part by an upper wall 31 and
`a lower wall 33 (FIGS. 3 and 10). Upper and lower walls 31,
`33 converge toward front thrust surface 27 to form the com-
`mon wedge shape to provide a compromise of strength and
`the ability to penetrate. However, unlike the common nose
`formed with front stabilizing surfaces, the central portion 34
`of upper wall 31 continues to converge toward lower wall 33
`through front end 20 to the thrust surface 27 for a slimmer
`outer profile and enhanced penetration without sacrificing
`stability. This continued tapering of upper wall 31 through
`front end 20 and the accompanying slimming of the nose is
`possible because ofthe use ofthe inclined stabilizing surfaces
`24 to provide the stabilizing support.
`As discussed above, upper wall 31 and a lower wall 33 that
`are each inclined to diverge away from axis 26 in a rearward
`direction. To reduce obstructions and enhance flow of earthen
`
`material into the bucket, upper wall 31 has a more shallow
`inclination relative to axis 26 than lower wall 33. Further,
`nose 14 transitions rearwardly from a relatively small sized
`front end 20 with facets 22, 24 for high penetration and
`stability into a larger sized rear end with increased facets for
`strength and support (FIGS. 3-11). In the illustrated embodi-
`ment, the nose changes from a generally triangular front end
`into a six-faceted body, which in turn transitions into an
`eight-faceted body at its rear end.
`In a preferred construction, nose 14 transitions from a three
`or four-faceted surface at the front end (depending on whether
`central facet 34 maintains a significant width in front end 20)
`into a six-faceted surface into body 18 for strength, stability
`and a slimmer profile. Body 18 preferably comprises an upper
`central facet 34 and a pair of inclined side facets 36, and a
`lower central facet 38 and inclined side facets 40 to present a
`strong profile. The use of central facets 34, 38 reduces the
`overall depth of the assembly to provide a more slender pro-
`jection for better penetration. The top central facet 34 is
`preferably flat in a transverse direction with a width that
`expands rearwardly to ease the flow of earthen material into
`the bucket. The lower central facet 38 is also generally flat in
`a transverse direction, but preferably has a narrowing width in
`a rearward direction. This is particularly beneficial on
`account of the greater inclination of lower side 33 as com-
`pared to upper side 31. While planar facets 34, 36, 38, 40 are
`preferred, curved facets could also be used. Nevertheless,
`other shapes and arrangements where the nose changes from
`a relatively small sized front end with a certain facets into a
`larger sized rear end with increased facets are possible.
`Lower side facets 40 are preferably substantially parallel to
`axis 26 to define rear stabilizing surfaces (FIGS. 5, 7, 8 and 9).
`As with front stabilizing surfaces 24, rear stabilizing surfaces
`40 are laterally inclined to resist both vertical and side load-
`
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`US 8,689,472 B2
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`7
`ing. The inclination of stabilizing surfaces 40 should be cho-
`sen as a balance between stabilizing the wear member under
`vertical loading and providing the assembly with sufficient
`overall strength. Accordingly, side facets 40 are preferably
`inclined relative to central facet 38 at an angle CI) between 105
`and 180 degrees, and most preferably at an angle of about 128
`degrees (FIG. 11). Nevertheless, stabilizing surfaces 40 could
`be inclined outside ofthe preferred range, particularly in light
`duty operations or those involving high side loading. The
`rearward narrowing of central facet 38 also maximizes the
`rearward expansion of stabilizing surfaces 40 to provide
`greater surface area for resisting loads, particularly at the rear
`of nose 14.
`
`In a preferred embodiment, body 25 transitions into an
`eight-faceted structure at its rear end 41 (FIGS. 4, 5, 7 and 8).
`In the illustrated example, nose 14 further includes a pair of
`opposite, vertically positioned side surfaces 43 to reduce the
`profile of the nose for better penetration and to provide addi-
`tional support to resist side loads. The use ofa nose and socket
`which transitions through three phases, each having more
`facets than the more forward phases (excluding surfaces per-
`taining to the lock or those ofridges and grooves), provides an
`advantageous combination of strength and slenderness for
`improved operation and penetration. In a preferred example,
`the first front phase includes four facets, the middle phase
`rearward of the front stabilizing end includes six facets, and
`the rear phase defines eight facets rearward of the lock
`(though it could extend forward of the lock if desired). Alter-
`natively, if facet 34 does not extend through the front end 20,
`then the first phase would have three facets. In either case, the
`front end 20 is considered to be generally triangular.
`Base 15 further includes supports 42 adjacent nose 14 for
`additional stabilization of wear member 12 under upwardly
`directed loads (FIGS. 4-9). In a preferred construction, sup-
`ports 42 are substantially parallel to axis 26 and oriented
`generally in a horizontal orientation, though they could be
`latera