`Oracle Corp., et al v. Crossroads Systems, Inc.
` IPR2014-01207 and IPR2014-1209
`
`1 of 46
`
`CROSSROADS EXHIBIT
`Oracle Corp. v. Crossroads Systems, Inc.
`IPR2015-0(cid:1005)(cid:1004)(cid:1010)(cid:1010)
`
`2301
`
`
`
`I
`
`I
`I
`I
`I
`I
`I
`I
`
`I
`I
`I
`I
`I
`I
`
`I •
`
`I
`
`I N D E X
`
`2
`
`Jury Voir Dire
`
`Plaintiff's Opening Statements
`
`Defendant's Opening Statements
`
`Proceedings Adjourned
`
`Page
`
`11
`
`58
`
`87
`
`172
`
`Witnesses:
`
`Direct
`
`Cross
`
`Redirect Recross
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`Brian Smith
`
`110
`
`127
`
`13
`
`14
`
`15
`
`16
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`25
`
`LILY I. REZNIK
`UNITED STATES DISTRICT COURT
`WESTERN DISTRICT OF TEXAS
`(AUSTIN)
`
`CRDS 64636
`
`2 of 46
`
`
`
`I
`,.
`I
`I
`I
`I
`I
`I
`I
`•
`I
`I
`I
`I
`I
`I
`I
`J
`I
`
`..
`
`.-~· ..
`
`3
`
`1
`
`2
`
`3 Plaintiff's
`
`E X H I B I T S
`
`Offered Admitted
`
`84
`
`84
`
`84
`
`84
`
`84
`
`85
`
`157
`
`85
`
`85
`
`85
`
`85
`
`85
`
`85
`
`85
`
`85
`
`85
`
`85
`
`85
`
`157
`
`85
`
`85
`
`85
`
`85
`
`85
`
`4 #1-2,4-6,8-9,12-20,22-30,32-33,
`
`35-40,41-42,44-49,50-62,65-68,
`
`75-101,104-113,118-125,127-137,
`
`139-144,182,200-202,214-254,
`
`256-261,278
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10 Defendant's
`
`11 #1-30
`
`12 #31
`
`13 #34-59,62,74,78-79,84,99,
`
`104,107-109,111-122,126-129,
`
`131,133-168,170-172,174,
`
`179-181,188,190-232,238-246,
`
`249,253-271
`
`14
`
`15
`
`16
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`25
`
`LILY I. REZNIK
`UNITED STATES DISTRICT COURT
`WESTERN DISTRICT OF TEXAS (AUSTIN)
`
`CRDS 64637
`
`3 of 46
`
`
`
`I
`
`I
`I
`I
`I
`I
`I
`I
`
`I
`I
`I
`I
`I
`I
`I
`
`•
`
`15:32:36
`
`15:32:37
`
`15:32:39
`
`12
`
`screen .
`
`13
`
`THE COURT:
`
`If you're going to move the screen, I
`
`14
`
`suggest you move it.
`
`110
`
`15:31:59
`
`15:32:02
`
`1
`
`2
`
`that you will find each one of those true, all three of them.
`
`I'd like to thank you in advance for your attention to this
`
`15:32:05
`
`3 case on behalf of Chaparral.
`
`I know Tuesday after Labor Day
`
`15:32:09
`
`15:32:11
`
`15:32:14
`
`15:32:16
`
`15:32:20
`
`15:32:24
`
`15:32:28
`
`15:32:35
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`is not the favorite thing to come to the courthouse sitting on
`
`a jury.
`
`And on behalf of Chaparral, I'd like to thank you for
`
`coming here today, and what I ask is that you listen to all
`
`the evidence and when all the evidence is in, you make a fair
`
`judgment. That's all we can ask. Thank you.
`
`THE COURT: You may call your first witness.
`
`MR. ALBRIGHT: Your Honor, we're going to move the
`
`15:33:35
`
`15
`
`MR. ALBRIGHT: Your Honor, we would call Brian Smith
`
`15:33:37
`
`16
`
`to the stand, please, sir.
`
`15:33:39
`
`15:33:48
`
`15:33:52
`
`17
`
`18
`
`19
`
`THE COURT: Come forward, be sworn, please.
`
`(Witness was sworn.)
`
`THE COURT: Take your seat, please.
`
`If you'll tell us
`
`15:34:03
`
`20 your full name, please, sir, and spell your last.
`
`15:34:13
`
`15:34:13
`
`15:34:13
`
`21
`
`22
`
`23
`
`THE WITNESS: Brian Rutledge Smith, S-M-I-T-H.
`
`BRIAN R. SMITH, called by the Plaintiff, duly sworn.
`
`DIRECT EXAMINATION
`
`24 BY MR. ALBRIGHT:
`
`15:34:13
`
`25 Q. Mr. Smith, would you introduce yourself to the ladies and
`
`I
`
`LILY I. REZNIK
`UNITED STATES DISTRICT COURT
`WESTERN DISTRICT OF TEXAS (AUSTIN)
`
`CRDS 64744
`
`4 of 46
`
`
`
`.C:mi t"h
`
`- ni Y"Prt"
`
`111
`
`1 gentlemen of the jury, please, sir?
`
`2 A. Good afternoon. My name is Brian Smith.
`
`I am the
`
`3 Chairman and CEO of Crossroads Systems.
`
`4 Q. And would you briefly tell the jury what your educational
`
`5 background is, starting with college?
`
`6 A. Yes.
`
`I have an undergraduate degree in electrical
`
`7 engineering from the University of Cincinnati, and I have a
`
`8 graduate degree in electrical engineering from Purdue
`
`9 University.
`
`10 Q. When you graduated from Purdue, what did you do
`
`11 professionally, sir?
`
`12 A.
`
`I went to work for IBM.
`
`13 Q. What time period would that be?
`
`14 A. That was 1990.
`
`15 Q. Okay. Moving ahead to 1992, 1993 time period, tell the
`
`16
`
`jury, if you would, please, sir, how it is that what is now
`
`17 Crossroads began?
`
`18 A. When I moved from New York to Austin to work for IBM and
`
`19 after a while, we met a gentleman named Dale Quisenberry, who
`
`20 we started to talk about -- I started to talk with about a
`
`21 business opportunity, and we founded Crossroads together,
`
`22 precursor to that in 1994.
`
`23 Q. And what was the name of the precursor that you and Mr.
`
`24 Quisenberry formed?
`
`25 A. We called it Infinity Comm Stor.
`
`LILY I. REZNIK
`UNITED STATES DISTRICT COURT
`WESTERN DISTRICT OF TEXAS (AUSTIN)
`
`CRDS 64745
`
`15:34:14
`
`15:34:18
`
`15:34:23
`
`15:34:32
`
`15:34:35
`
`I
`Jl
`I 15:34:14
`I 15:34:16
`I 15:34:21
`I 15:34:25
`I 15:34:28
`I 15:34:32
`I 15:34:36
`• 15:34:38
`I 15:34:43
`I 15:34:49
`I 15:34:54
`I 15:35:01
`I 15:35:05
`I 15:35:11
`I 15:35:14
`
`15:34:40
`
`15:34:51
`
`15:34:58
`
`15:35:09
`
`15:35:13
`
`-I
`
`
`
`5 of 46
`
`
`
`1
`
`UNITED STATES DISTRICT COURT
`WESTERN DISTRICT OF TEXAS
`WESTERN DIVISION
`
`CROSSROADS SYSTEMS,
`INC., A TEXAS
`(TEXAS) I
`CORPORATION
`
`Docket No. A 00-CA-217 SS
`
`vs.
`
`Austin, Texas
`
`CHAPARRAL NETWORK
`STORAGE, INC., A
`DELAWARE CORPORATION
`
`September 5, 2001
`
`TRANSCRIPT OF TRIAL ON THE MERITS
`BEFORE THE HONORABLE SAM SPARKS
`Volume 2 of 6
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`I ,.
`I
`I
`I
`I
`I
`I
`I
`
`I
`I
`I
`I
`I
`I
`
`I •
`
`I
`
`APPEARANCES:
`
`For the Plaintiff:
`
`17
`
`For the Defendant:
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`Court Reporter:
`
`Mr. Alan D. Albright
`Mr. John Allcock
`Mr. Matthew Bernstein
`Mr. John Giust
`Gray, Cary, Ware & Freidenrich
`401 B Street, Suite 1700
`San Diego, California 92101
`
`Mr. David D. Bahler
`Mr. Michael C. Barrett
`Mr. Stephen D. Dellett
`Mr. Mark T. Garrett
`Fulbright & Jaworksi
`600 Congress Ave., Ste. 2400
`Austin, Texas 78701
`
`Lily Iva Reznik, RPR, CRR
`200 W. 8th Street
`Austin, Texas 78701
`(512)916-5564
`
`25 Proceedings recorded by mechanical stenography, transcript
`produced by computer .
`
`LILY I. REZNIK
`U.S. DISTRICT COURT
`WESTERN DISTRICT OF TEXAS (AUSTIN)
`
`COPY
`
`CRDS 64807
`
`6 of 46
`
`
`
`I
`,.
`I
`I
`I
`I
`I
`I
`I
`•
`I
`I
`I
`I
`I
`I
`I
`II
`I
`
`,,
`
`I N D E X
`
`2
`
`Direct
`
`Cross
`
`Redirect Recross
`
`1
`
`2
`
`3
`
`Witnesses:
`
`4 Brian R. Smith
`
`5 Ted Neman
`
`18
`
`6
`
`John R. Middleton 20
`
`7 Brian Bianchi
`
`8 Geoffry B. Hoese
`
`9
`
`Jeffry Russell
`
`10 Keith Arroyo
`
`11 Robert Selinger
`
`12 Michael Gluck
`
`13 Jerry L. Walker
`
`37
`
`54
`
`99
`
`118
`
`132
`
`144
`
`171
`
`14
`
`15
`
`16 Proceedings Adjourned
`
`4
`
`35
`
`84
`
`115
`
`19
`
`30
`
`38
`
`77
`
`107
`
`121
`
`205
`
`15
`
`96
`
`116
`
`Page
`
`214
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`25
`
`LILY I. REZNIK
`U.S. DISTRICT COURT
`WESTERN DISTRICT OF TEXAS (AUSTIN)
`
`CRDS 64808
`
`7 of 46
`
`
`
`I
`
`I
`I
`I
`I
`I
`I
`I
`
`I
`I
`I
`I
`I
`I
`I
`J
`I
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`25
`
`E X H I B I T S
`
`Offered Admitted
`
`3
`
`Plaintiff's
`
`#7 Fax
`
`#264 Verrazano Specification
`
`68
`
`29
`
`#267 CP4XOO Product Specification 29
`
`#268 Verrazano Hardware Document 29
`
`69
`
`30
`
`30
`
`30
`
`LILY I. REZNIK
`U.S. DISTRICT COURT
`WESTERN DISTRICT OF TEXAS (AUSTIN)
`
`CRDS 64809
`
`8 of 46
`
`
`
`I
`
`I
`I
`I
`I
`I
`I
`I
`
`I
`I
`I
`I
`I
`I
`I
`
`THE COURT: Counsel, anything before we bring in the
`
`4
`
`jury?
`
`MR. BAHLER: Nothing from defendant.
`
`MR. ALBRIGHT: No, sir.
`
`THE COURT: All right. Bring them in.
`
`(Jury present.)
`
`THE COURT: Members of the jury, as you left last
`
`08:38:40
`
`08:38:41
`
`08:38:43
`
`08:38:44
`
`08:38:45
`
`08:38:47
`
`08:39:57
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`08:40:00
`
`8 night until this morning, has anyone attempted to talk to you
`
`08:40:02
`
`9 about this case?
`
`08:40:03
`
`08:40:04
`
`08:40:05
`
`08:40:06
`
`10
`
`11
`
`12
`
`13
`
`THE JURORS: No.
`
`THE COURT: Have you talked to anybody about the case?
`
`THE JURORS : No.
`
`THE COURT: And have you learned anything at all about
`
`08:40:07
`
`14
`
`the case outside the presence of each one another and this
`
`08:40:10
`
`15 courtroom?
`
`08:40:11
`
`08:40:12
`
`16
`
`17
`
`THE JURORS: No.
`
`THE COURT: All right. Show negative responses to all
`
`08:40:13
`
`18 questions by all jurors. Thank you. And I believe the
`
`08:40:17
`
`19 witness is yours, Mr. Albright.
`
`08:40:19
`
`08:40:25
`
`20
`
`21
`
`22
`
`MR. ALBRIGHT: Yes, sir. Thank you, sir.
`
`THE COURT: Mr. Smith, you're still under oath, sir.
`
`RE-DIRECT EXAMINATION
`
`08:40:32
`
`23 BY MR. ALBRIGHT:
`
`08:40:33
`
`24 Q. Mr. Smith, during the course of Mr. Bahler's
`
`08:40:35
`
`25 cros~-examination, you saw a number of products that were
`
`LILY I. REZNIK
`U.S. DISTRICT COURT
`WESTERN DISTRICT OF TEXAS (AUSTIN)
`
`CRDS 64810
`
`9 of 46
`
`
`
`08:40:38
`
`08:40:50
`
`08:41:01
`
`08:41:06
`
`I ,
`I 08:40:42
`I 08:40:47
`I 08:40:53
`I 08:40:56
`I 08:41:03
`I 08:41:09
`I 08:41:10
`~-
`I 08:41:19
`I 08:41:23
`I 08:41:30
`I 08:41:34
`I 08:41:35
`I 08:41:42
`I 08:41:47
`J
`I
`
`08:41:13
`
`08:41:15
`
`08:41:16
`
`08:41:27
`
`08:41:31
`
`08:41:37
`
`08:41:44
`
`_C:mi t-h
`
`- RPrli rec__t_
`
`5
`
`1 generally from the 1996 time period or, at least, designed for
`
`2 products. Do you recall him asking you questions about that?
`
`3 A. Yes.
`
`4 Q. Throughout the myriad of different companies' projected
`
`5 products, did anything that we saw yesterday have any software
`
`6
`
`in it?
`
`7 A. There were just hardware diagrams.
`
`8 Q. Explain to the jury, if you would, please, sir, what you
`
`9 mean by the fact they were hardware diagrams as opposed to
`
`10 having software.
`
`11 A. The different blocks that were shown on the diagrams
`
`12
`
`represented hardware chips that were used and connected
`
`13
`
`together.
`
`14 Q.
`
`In anything that Mr. Bahler showed the jury yesterday and
`
`15 asked you about, would there have been anything in any of
`
`16
`
`those products or conceptions of products that would have
`
`17 allowed access control to take place?
`
`18 A.
`
`I don't believe so.
`
`19 Q. And why wouldn't any of them have been able to provide for
`
`20 access control?
`
`21 A. They didn't show the software would have been running.
`
`22 Q. Okay. Not only that show software, did it even have the
`
`23 capability of having software?
`
`24 A. My understanding they did not.
`
`25 Q.
`
`qo you recall when it was that the two Jeffs, Jeff Russell
`
`LILY I. REZNIK
`U.S. DISTRICT COURT
`WESTERN DISTRICT OF TEXAS (AUSTIN)
`
`CRDS 64811
`
`10 of 46
`
`
`
`I
`
`08:41:51
`
`08:43:39
`
`08:43:46
`
`08:43:54
`
`I ,.
`I 08:41:54
`I 08:41:57
`I 08:43:43
`I 08:43:47
`I 08:43:48
`I 08:43:56
`I 08:44:01
`• 08:44:06
`I 08:44:12
`I 08:44:15
`I 08:44:19
`I 08:44:23
`I 08:44:24
`I 08:44:29
`I 08:44:32
`I
`I
`
`08:44:04
`
`08:44:09
`
`08:44:17
`
`08:44:23
`
`08:44:26
`
`08:44:31
`
`6
`
`1
`
`and Geoff Haese, invented the concept of access controls?
`
`2 A. As I remember, it was the spring of '97.
`
`3 Q.
`
`If I could have Exhibit D-140, please. Mr. Smith,
`
`4 yesterday, Mr. Bahler showed Exhibit D-140 to the jury and
`
`5 asked you questions about it. These are your handwritten
`
`6 notes, correct, sir?
`
`7 A. Yes.
`
`8 Q. And I got the impression as I was listening to his
`
`9 questions that he was asking you about a product that you had
`
`10 actually seen at Adaptec, is that correct, was back in this
`
`11
`
`time period when you were looking at stuff at Adaptec, was
`
`12
`
`there actually a product there?
`
`13 A. As I recall, I only saw presentation.
`
`14 Q. And would you tell the jury you only saw a presentation of
`
`15 what was at Adaptec, what do you mean, sir?
`
`16 A. A set of slides that we looked at yesterday to represent
`
`17 what they hoped to have someday.
`
`18 Q.
`
`So there was nothing finished at Adaptec during this time
`
`19 period?
`
`20 A. That's correct, as I recall.
`
`21 Q. And there certainly wasn't anything like the jury could
`
`22
`
`see there where there's actually a box or anything like that
`
`23
`
`that you were able to look at?
`
`24 A. That's how I remember, yes.
`
`25 Q.
`
`~his is a slide presentation sort of what we're looking at
`
`LILY I. REZNIK
`U.S. DISTRICT COURT
`WESTERN DISTRICT OF TEXAS (AUSTIN)
`
`CRDS 64812
`
`11 of 46
`
`
`
`I
`
`~
`
`09:04:37
`
`09:04:42
`
`09:04:43
`
`09:04:49
`
`09:04:58
`
`09:05:03
`
`09:05:09
`
`09:05:17
`
`09:05:23
`
`I 09:04:40
`I 09:04:42
`I 09:04:43
`I 09:04:46
`I 09:04:47
`I 09:04:53
`I 09:04:54
`,.
`I 09:05:13
`I 09:05:13
`I 09:05:20
`I 09:05:27
`I 09:05:29
`I 09:05:35
`I 09:05:46
`
`09:05:32
`
`09:05:42
`
`' I
`
`20
`
`1
`
`THE WITNESS: My name is John Rob Middleton,
`
`2 M-I-D-D-L-E-T-0-N.
`
`3
`
`4
`
`JOHN R. MIDDLETON, called by the Plaintiff, duly sworn.
`
`DIRECT EXAMINATION
`
`5 BY MR. ALBRIGHT:
`
`6 Q. Mr. Middleton, would you introduce yourself to the jury,
`
`7 please?
`
`8 A. Yes, my name is John Middleton.
`
`9 Q. And tell the jury why it is that you're here. When did
`
`10 you go to work for Crossroads?
`
`11 A.
`
`I was -- I went to work for Crossroads in February of
`
`12 1997, and was a vice-president of engineering for a good deal
`
`13 of that time, between February of '97 and January of 2001.
`
`14 Q. You had the good fortune to retire in 2001?
`
`15 A. Yes.
`
`16 Q. Okay. When you were at Crossroads and you were working as
`
`17 an engineer, we've heard the discussion in this courtroom
`
`18 about the fact that there was hardware and that there's
`
`19
`
`software. Are you a hardware guy or a software guy?
`
`20 A. My background is a hardware engineer.
`
`21 Q. And would you tell the jury what that means, please, sir?
`
`22 A. Hardware engineers design the circuit boards and
`
`23 electronics that comprise computer products and software, on
`
`24
`
`the other hand, is the code that runs on the hardware.
`
`25 Q. ~nd so, with respect to the issue that is primary in this
`
`LILY I. REZNIK
`U.S. DISTRICT COURT
`WESTERN DISTRICT OF TEXAS (AUSTIN)
`
`CRDS 64826
`
`12 of 46
`
`
`
`I ,.
`I 09:17:27
`I 09:17:30
`I 09:17:33
`I 09:17:41
`I 09:17:44
`I 09:17:53
`I 09:17:59
`
`09:17:24
`
`09:17:32
`
`09:17:40
`
`09:17:48
`
`09:18:04
`
`• 09:18:06
`
`09:18:12
`
`09:18:21
`
`09:18:30
`
`09:18:46
`
`09:18:47
`
`I 09:18:13
`I 09:18:17
`I 09:18:24
`I 09:18:32
`I 09:18:35
`I 09:18:46
`I 09:18:47
`J
`I
`
`29
`
`1 years, I wanted to move around the courtroom, and I didn't
`
`2
`
`like some little, old fat judge telling me I couldn't do it.
`
`3 But I don't have that rule.
`
`4
`
`5
`
`All right.
`
`MR. ALBRIGHT: Thank you, sir.
`
`6 Q.
`
`(BY MR. ALBRIGHT) Mr. Middleton, if you would identify for
`
`7
`
`the record what exhibit -- Plaintiff's Exhibit 264 is, please,
`
`8 sir.
`
`9 A.
`
`264 is the Verrazano enclosure specification.
`
`10 Q. And would you identify Exhibit 267, please, sir?
`
`11 A.
`
`267 is a CP 4XOO product specification.
`
`12
`
`13
`
`THE COURT: CP what?
`
`THE WITNESS: CP 4XOO product specification.
`
`14 Q.
`
`(BY MR. ALBRIGHT) Would you identify what Plaintiff's
`
`15 Exhibit 268 is, please, sir?
`
`16 A.
`
`268 is the Verrazano hardware architecture document.
`
`17 Q. And what was your involvement with these three documents?
`
`18 A.
`
`I wrote portions of these documents.
`
`19 Q. Do you know if they were basically documents that were
`
`20 created at or about the same time back in the time period as
`
`21
`
`to what they're dated?
`
`22 A. These are in the
`
`'97, first half of '97.
`
`23 Q. But they're true and correct copies of what you worked on?
`
`24 A. Yes.
`25 Q. + move for their admission, your Honor.
`
`LILY I. REZNIK
`U.S. DISTRICT COURT
`WESTERN DISTRICT OF TEXAS (AUSTIN)
`
`CRDS 64835
`
`13 of 46
`
`
`
`I
`~
`I 09:18:51
`I 09:18:55
`I 09:18:59
`I 09:19:04
`I 09:19:06
`I 09:19:26
`I 09:19:31
`
`09:18:49
`
`09:18:58
`
`09:19:02
`
`09:19:25
`
`09:19:34
`
`• 09:19:44
`
`09:19:47
`
`I 09:19:50
`I 09:19:51
`I 09:19:56
`I 09:20:03
`I 09:20:05
`I 09:20:14
`I 09:20:26
`
`09:19:51
`
`09:20:00
`
`09:20:09
`
`09:20:23
`
`I -I
`
`: ..
`
`30
`
`MR. BAHLER: No objection.
`
`THE COURT:
`
`264, 67 and 268 are admitted.
`
`MR. ALBRIGHT:
`
`Judge, we pass the witness.
`
`MR. BAHLER: Your Honor, if I could correct, there was
`
`an objection, but you've already ruled on that.
`
`THE COURT:
`
`I ruled on the relevance.
`
`MR. BAHLER: For what it's worth.
`
`THE COURT:
`
`So the record will speak for itself.
`
`CROSS-EXAMINATION
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10 BY MR. BAHLER:
`
`11 Q. Mr. Middleton, I've handed you what's been marked into
`
`12 evidence as Defendant's Exhibit 123. I'll get it up on the
`
`13 board. First page is up on the board. That's actually a
`
`14 collection of exhibits, right, sir, or a collection of
`
`15 drawings?
`
`16 A. Yes, sir.
`
`17 Q. All right, sir. And those are drawings of various
`
`18 versions of the label that was applied to the 4100 and 4200
`
`19 products, right?
`
`20 A. These are labels that were applied to different versions
`
`21 of the 4100 and 4200 product.
`
`22 Q. Okay. Please turn to page 6 of that document. And this
`
`23
`
`is a label for the 4100, 4200 product, right, one of the
`
`24
`
`labels that were applied to those products, right?
`
`25 A. Xes, sir.
`
`LILY I. REZNIK
`U.S. DISTRICT COURT
`WESTERN DISTRICT OF TEXAS (AUSTIN)
`
`CRDS 64836
`
`14 of 46
`
`
`
`I
`II
`I 10:11:29
`I 10:11:31
`I 10:11:36
`I 10:11:48
`I 10:11:53
`I 10:11:55
`I 10:11:56
`
`10:11:15
`
`10:11:34
`
`10:11:50
`
`10:11:53
`
`10:11:57
`
`- 10:11:58
`
`10:12:00
`
`I 10:12:02
`I 10:12:05
`I 10:12:10
`I 10:12:16
`I 10:12:21
`I 10:12:34
`I 10:12:37
`I
`
`10:12:06
`
`10:12:11
`
`10:12:32
`
`10:12:35
`
`-
`
`54
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`the stand Geoff Roese.
`
`THE COURT:
`
`If you'll be sworn, please, sir.
`
`(Witness was sworn.)
`
`THE COURT: Come around this little column and have a
`
`seat, please, sir. And you need to tell us your full name and
`
`spell your last.
`
`THE WITNESS: Geoffry Brian Hoese, H-0-E-S-E.
`
`GEOFFRY B. HOESE, called by the Plaintiff, duly sworn.
`
`DIRECT EXAMINATION
`
`10 BY MR. ALLCOCK:
`
`11 Q. Where do you live, Mr. Haese?
`
`12 A.
`
`I live in Austin.
`
`13 Q. How long have you lived in Austin?
`
`14 A. About l3 years.
`
`15 Q. Have you ever worked for a company named Crossroads?
`
`16 A. Yes.
`
`17 Q. Over what time period did you work for the company named
`
`18 Crossroads?
`
`19 A.
`
`From the end of May 1996 through October of 2000.
`
`20 Q. Let me hand you a notebook that has Exhibits 1, 4, 5 and 7
`
`21
`
`in it, and ask you to look at Exhibit 1. And, your Honor, I'm
`
`22 putting the front page of Exhibit 1 on the screen for the
`
`23
`
`record.
`
`24
`
`25
`
`THE COURT: Are these admitted already?
`
`MR. ALLCOCK: Yes, all except for 7. There, I
`
`LILY I. REZNIK
`U.S. DISTRICT COURT
`WESTERN DISTRICT OF TEXAS (AUSTIN)
`
`CRDS 64860
`
`15 of 46
`
`
`
`I
`~
`I 10:28:31
`I 10:28:34
`I 10:28:41
`·I
`I 10:29:03
`I 10:29:11
`I 10:29:15
`
`10:28:28
`
`10:28:36
`
`10:28:54
`
`10:28:59
`
`10:29:06
`
`10:29:17
`
`- 10:29:21
`
`10:29:23
`
`10:29:46
`
`10:29:50
`
`10:29:54
`
`10:29:57
`
`10:30:00
`
`I 10:29:38
`I 10:29:46
`I 10:29:48
`I 10:29:52
`I 10:29:53
`I
`I 10:29:59
`I
`~
`
`66
`
`1
`
`storage device as a whole is addressed as a logical unit.
`
`2 It's not demonstrated here that that's broken out because of
`
`3
`
`4
`
`the intent of the drawing was to show that you could address
`
`it both by the logical units or by the whole thing.
`
`5 Q. You can have a seat. So what's the basic advantage of
`
`6
`
`this over what came before?
`
`7 A. Well, primarily, it's faster.
`
`It provides the-- a
`
`8 similar set of capabilities that the network server will
`
`9 provide without a lot of the overplay. So it's easier to
`
`10 manage, in some respects. It's just better performance.
`
`It's
`
`11
`
`faster, cheaper.
`
`12 Q. When did you invent this?
`
`13 A.
`
`In March of '97.
`
`14 Q. Can you turn to Exhibit 7. What is Exhibit 7?
`
`15 A. Exhibit 7 is a concept document that I faxed to our patent
`
`16 attorney at the time.
`
`17
`
`MR. BAHLER: Objection, your Honor. This is an
`
`18 exhibit that is not yet in evidence.
`
`19
`
`THE COURT: He's just describing it. He hadn't
`
`20 moved
`
`21
`
`MR. BAHLER: He's getting into it a little bit more.
`
`22 He's talking about the contents.
`
`23
`
`MR. ALLCOCK:
`
`I'm just going to ask foundational
`
`24 questions.
`
`25
`
`THE COURT: All right.
`
`LILY I. REZNIK
`U.S. DISTRICT COURT
`WESTERN DISTRICT OF TEXAS (AUSTIN)
`
`CRDS 64872
`
`16 of 46
`
`
`
`I
`~
`I 10:30:03
`I 10:30:03
`I 10:30:06
`I 10:30:07
`I 10:30:15
`I 10:30:17
`I 10:30:17
`
`10:30:00
`
`10:30:04
`
`10:30:11
`
`10:30:16
`
`10:30:21
`
`- 10:30:22
`
`10:30:24
`
`10:30:30
`
`10:30:35
`
`10:30:46
`
`10:30:52
`
`I 10:30:25
`I 10:30:28
`I 10:30:34
`I 10:30:40
`I 10:30:42
`I 10:30:48
`I 10:30:50
`I
`~
`
`1 Q.
`
`(BY MR. ALLCOCK) So the cover is a fax page; is that
`
`67
`
`2
`
`right?
`
`3 A. That's correct.
`
`4 Q. And is that in your handwriting?
`
`5 A. Yes, it is.
`
`6 Q. And it's to who?
`
`7 A.
`
`To Anthony Peterman, who was a patent attorney working for
`
`B us at Crossroads.
`
`9 Q. And it's from who?
`
`10 A.
`
`From myself.
`
`11 Q. Okay. And it's got his fax number on it?
`
`12 A. Yes, it does.
`
`13 Q. And it's got your phone number on it?
`
`14 A. Yes, it does.
`
`15 Q. And it's -- what's the date on the document?
`
`16 A.
`
`5-28-97.
`
`17 Q.
`
`So did you fax this to Mr. Peterman on or about that day?
`
`18 A. Yes, I did.
`
`19 Q. And then, pages -- the next two pages of the document,
`
`20 what are those?
`
`21 A. Those are descriptions and drawings of the invention and
`
`22
`
`some of the state-of-the-art before the invention.
`
`23 Q. And did you create those in your own hand?
`
`24 A. Yes, I did.
`
`25 Q. bnd was this done in the ordinary course of your business
`
`LILY I. REZNIK
`U.S. DISTRICT COURT
`WESTERN DISTRICT OF TEXAS (AUSTIN)
`
`CRDS 64873
`
`17 of 46
`
`
`
`I ,
`
`68
`
`I
`I
`I
`I
`I
`I
`I
`
`·~ I
`I
`I
`I
`I
`I
`
`10:30:54
`
`1 at Crossroads?
`
`10:30:55
`
`2 A. Yes.
`
`10:30:56
`
`3 Q. Offer Exhibit 7 in evidence, your Honor.
`
`10:30:59
`
`4
`
`MR. BAHLER: Your Honor, may I ask one question on
`
`10:31:01
`
`5 voir dire?
`
`10:31:02
`
`6
`
`7
`
`THE COURT: You may.
`
`VOIR DIRE EXAMINATION
`
`10:31:04
`
`8 BY MR. BAHLER:
`
`10:31:04
`
`10:31:12
`
`9 Q. Mr. Hoese, does the fax machine at Crossroads put little
`
`10 date lines at the top of faxes so you can tell when they're
`
`10:31:15
`
`11
`
`faxed?
`
`10:31:17
`
`10:31:21
`
`12 A.
`
`I believe most fax machines do that on the sent copy of
`
`13
`
`the fax, you know, on the recipient side, yeah.
`
`. 10:31:23
`
`14
`
`Q. All right. And this is all in your handwriting, right?
`
`10:31:27
`
`15
`
`A. Yes.
`
`10:31:28
`
`16
`
`Q. You prepared this whole thing?
`
`10:31:30
`
`17
`
`A. What it's typed with.
`
`10:31:31
`
`18
`
`Q. And you prepared this whole thing?
`
`10:31:32
`
`19
`
`A. Yes,
`
`I did.
`
`10:31:33
`
`20
`
`Q. Did you fax it personally to Mr. Peterman?
`
`10:31:35
`
`21
`
`A.
`
`I believe I did, yes.
`
`10:31:36
`
`22
`
`MR. BAHLER: Your Honor, we have a relevance
`
`10:31:37
`
`23
`
`objection. May we approach?
`
`10:31:39
`
`10:31:44
`
`24
`
`25
`
`THE COURT: You may.
`
`(At the Bench, on the record.)
`
`LILY I. REZNIK
`U.S. DISTRICT COURT
`WESTERN DISTRICT OF TEXAS (AUSTIN)
`
`CRDS 64874
`
`18 of 46
`
`
`
`I
`
`~
`
`10:31:51
`
`10:32:01
`
`10:32:11
`
`10:32:17
`
`I 10:31:53
`I 10:31:58
`I 10:32:04
`I 10:32:08
`I 10:32:14
`I 10:32:20
`I 10:32:23
`
`10:32:24
`
`- 10:32:30
`
`10:32:34
`
`I 10:32:40
`I 10:32:48
`I 10:32:49
`I 10:33:05
`I 10:33:05
`I 10:33:05
`I 10:33:07
`J
`I
`
`10:33:05
`
`10:33:05
`
`10:33:16
`
`69
`
`1
`
`MR. BAHLER: Your Honor, this is the conception
`
`2 document. Conception requires not only that it be produced in
`
`3 writing, but it be communicated to somebody else, and that
`
`4
`
`5
`
`6
`
`requires corroboration, also. Simply inventor testimony is
`
`insufficient to make this document relevant for any purpose.
`
`He's testified that he personally did it. That's not
`
`7 good enough. That's not corroboration in accordance with the
`
`8
`
`law. And this document cannot possibly stand as a conception
`
`9 document under any interpretation of the law, and therefore,
`
`10
`
`it's irrelevant to any issue in this case.
`
`11
`
`THE COURT: Well, that would be absurd law if that was
`
`12
`
`the law. Recipient could die, could never die. This witness'
`
`13 credibility is in issue, but not the admissibility. So it is
`
`14 admitted without -- overruled.
`
`15
`
`16
`
`MR. BAHLER: Thank you, your Honor.
`
`DIRECT EXAMINATION (Resumed)
`
`17 BY MR. ALLCOCK:
`
`18 Q.
`
`So referring, first, to the first page of the exhibit,
`
`19
`
`that's just a fax cover sheet that shows that you faxed it to
`
`20 Peterman?
`
`21 A. Yes.
`
`22 Q. And he was the patent lawyer you were working with?
`
`23 A. Correct.
`
`24 Q. Okay. Then, on the next page, what is that generally
`
`25 describing?
`
`I'm not going to go through it line-by-line.
`
`LILY I. REZNIK
`U.S. DISTRICT COURT
`WESTERN DISTRICT OF TEXAS (AUSTIN)
`
`CRDS 64875
`
`19 of 46
`
`
`
`I
`Jl
`
`10:33:18
`
`10:33:30
`
`10:33:42
`
`10:33:51
`
`I 10:33:21
`I 10:33:26
`I 10:33:34
`I 10:33:42
`I 10:33:48
`I 10:33:52
`I 10:33:55
`
`10:33:59
`
`' 10:34:03
`
`I
`
`10:34:05
`
`I 10:34:06
`I 10:34:09
`I 10:34:12
`I 10:34:19
`I 10:34:24
`I 10:34:33
`I 10:34:39
`
`10:34:10
`
`10:34:17
`
`10:34:28
`
`10:34:41
`
`' I
`
`70
`
`1 What is that generally describing?
`
`2 A. The text basically describes state of what was available
`
`3 at that point in time, what the -- the context of the problem
`
`4 being addressed and the essentials of the concept, the
`
`5
`
`6
`
`invention as a concept here, describes essentially what the
`
`invention would do.
`
`7 Q. Okay.
`
`I see down on the bottom, there's a block diagram.
`
`8
`
`Is that similar to one of the graphics that we looked at
`
`9 earlier today?
`
`10 A.
`
`It would be.
`
`It basically shows workstations connected
`
`11
`
`through a network server to storage devices.
`
`12 Q. Okay.
`
`So you have four workstations and three remote
`
`13
`
`storage devices?
`
`14 A. Correct.
`
`15 Q.
`
`Is that black bar going through the middle, that's a Fibre
`
`16 Channel?
`
`17 A.
`
`It could be Fibre Channel, it could be an Ethernet
`
`18 network.
`
`It's basically some network, a local area network
`
`19
`
`interconnecting the computers together.
`
`20 Q. Okay. Now,
`
`looking at the next page, there are two
`
`21 pictures on the next page. What is the top picture?
`
`22 A. The top picture shows a storage router as opposed to the
`
`23 network server interconnecting computers to storage devices.
`
`24 Q. Okay. Now, does this show your invention?
`
`25 A. No, it doesn't.
`
`LILY I. REZNIK
`U.S. DISTRICT COURT
`WESTERN DISTRICT OF TEXAS (AUSTIN)
`
`CRDS 64876
`
`20 of 46
`
`
`
`I
`,-.
`
`10:34:43
`
`10:34:56
`
`10:35:05
`
`10:35:09
`
`I 10:34:46
`I 10:34:52
`I 10:34:59
`I 10:35:02
`I 10:35:08
`I 10:35:09
`I 10:35:16
`~ 10:35:20
`I 10:35:31
`I 10:35:32
`I 10:35:38
`I 10:35:49
`I 10:35:54
`I 10:35:56
`I 10:35:57
`
`10:35:19
`
`10:35:27
`
`10:35:35
`
`10:35:42
`
`10:35:55
`
`,
`
`10:35:57
`
`I
`
`71
`
`1 Q.
`
`Is this similar to a graphic that we saw earlier today?
`
`2 A. Sure. That's -- it's similar in that -- it's dissimilar
`
`3
`
`in that it shows by direction connections.
`
`It shows clients
`
`4 on both sides of the storage router and storage on both sides
`
`5 of the routers, but similar in that, it shows workstations
`
`6 connected through the storage router to storage devices.
`
`7 Q.
`
`So you have workstations and a storage router but no
`
`8 access controls?
`
`9 A. Correct.
`
`10 Q. Okay. Now, the -- and why did you put this figure in
`
`11
`
`there? Why did you put drawing 2 in there?
`
`12 A.
`
`It shows the state-of-the-art at the time.
`
`13 Q. Okay. And now, finally to figure 3, which bears a
`
`14
`
`remarkable resemblance to figure 3 of the patent, what is that
`
`15 depicting?
`
`16 A. That depicts the invention which is the storage router
`
`17
`
`interconnecting the devices and incorporating these access
`
`18 controls routing the virtual local storage.
`
`19 Q. Now,
`
`I notice on the bottom, it says concept by Geoff
`
`20 Hoese, March 22, 1997, first draft, May 15, 1997. Do you see
`
`21
`
`that?
`
`22 A. Yes, I do.
`
`23 Q. Did you write that?
`
`24 A. Yes, I did.
`
`25 Q. What does that mean?
`
`LILY I. REZNIK
`U.S. DISTRICT COURT
`WESTERN DISTRICT OF TEXAS (AUSTIN)
`
`CRDS 64877
`
`21 of 46
`
`
`
`I
`
`)I
`
`10:35:59
`
`10:36:12
`
`10:36:25
`
`10:36:2!3
`
`I 10:36:04
`I 10:36:07
`I 10:36:18
`I 10:36:21
`I 10:36:27
`I 10:36:32
`I 10:36:36
`~ 10:36:52
`I 10:37:01
`I 10:37:07
`I 10:37:12
`I 10:37:22
`I 10:37:24
`I 10:37:35
`I 10:37:40
`
`10:36:40
`
`10:36:52
`
`10:37:09
`
`10:37:16
`
`10:37:27
`
`10:37:39
`
`' I
`
`72
`
`1 A.
`
`I had the idea, you know, the consolidated concept of
`
`2
`
`integrating these access controls with a storage router to
`
`3 provide this type of alternative to the network server.
`
`It
`
`4 occurred to me, came to me on the 22nd, it was a -- I
`
`5
`
`recognized it as a good enough idea that I
`
`immediately started
`
`6 working on putting the concept together further and expressing
`
`7
`
`it
`
`8 Q.
`
`So it was a big moment?
`
`9 A. Yeah.
`
`10 Q. And so then, it took you a little while to write it up?
`
`11 A. Yes.
`
`12 Q. Okay. Could you look at Exhibits 4 and 5? What is
`
`13 Exhibit 4?
`
`14 A. Exhibit 4 is a presentation, a set of slides giving an
`
`15 overview of Verrazano Fibre Channel-to-SCSI bridge concept.
`
`16 Q. Who prepared these?
`
`17 A.
`
`I believe I did for the most part.
`
`18 Q. And approximately when were they prepared?
`
`19 A. They're dated 6-19-96. It's probably accurate.
`
`20 Q. Generally what do they show?
`
`21 A. They show a Fibre Channel-to-SCSI bridge which provides
`
`22
`
`the basic connectivity between storage and host computers.
`
`23 Doesn't necessarily provide for any kind of routing or access
`
`24 control.
`
`25 Q. Okay. You hadn't come up with that idea yet?
`
`LILY I. REZNIK
`U.S. DISTRICT COURT
`WESTERN DISTRICT OF TEXAS (AUSTIN)
`
`CRDS 64878
`
`22 of 46
`
`
`
`10:37:43
`
`10:38:00
`
`1-,.
`I 10:37:43
`I 10:37:51
`I 10:38:06
`I 10:38:12
`I 10:38:25
`I 10:38:29
`I 10:38:31
`Jl
`
`10:38:14
`
`10:38:25
`
`10:38:32
`
`10:38:33
`
`10:38:34
`
`10:38:48
`
`10:38:57
`
`10:39:18
`
`10:39:23
`
`I 10:38:38
`I 10:38:47
`I 10:38:53
`I 10:39:01
`I 10:39:02
`I 10:39:20
`I 10:39:21
`Jl
`I
`
`73
`
`1 A. Correct.
`
`2 Q. And then, if you look at Exhibit 5 -- look at page 2 of
`
`3 Exhibit 5. What does that show?
`
`4 A. Exhibit 5 is a document describing, again, the Verrazano
`
`5 bridge characteristics, the -- it's an architecture document
`
`6
`
`7
`
`that describes some of the characteristics we would look for
`
`in designing a bridge product of this sort.
`
`8 Q. And so, you were working on all aspects of this router in
`
`9
`
`this '96-'97 time frame; is that fair to say?
`
`10 A. Yes, it is.
`
`11
`
`12
`
`MR. BAHLER: Leading.
`
`THE COURT:
`
`It is.
`
`13 Q.
`
`(BY MR. ALLCOCK) What else were you working on other than
`
`14
`
`the access control feature in the '96-'97 time frame?
`
`15 A.
`
`I was working on designing routers and bridges in detail
`
`16 storage routers.
`
`17 Q. You can put that down. We're going to switch topics. Did
`
`18 any Crossroads product that was in place when you were at
`
`19 Crossroads use the 972 invention?
`
`20 A.
`
`No, it did not.
`
`21
`
`22
`
`23
`
`MR. BAHLER: Objection. ·Foundation.
`
`(Last question read back.)
`
`THE
`
`COURT: The objection's overruled.
`
`24 A.
`
`No, it
`
`did not.
`
`25 Q.
`
`{BY MR.
`
`ALLCOCK) Why not?
`
`LILY I. REZNIK
`U.S. DISTRICT COURT
`WESTERN DISTRICT OF TEXAS (AUSTIN)
`
`CRDS 64879
`
`23 of 46
`
`
`
`I
`
`Jl
`
`10:39:24
`
`10:39:38
`
`10:39:51
`
`10:39:56
`
`I 10:39:29
`I 10:39:34
`I 10:39:43
`I 10:39:47
`I 10:39:54
`I 10:39:56
`I 10:40:01
`• 10:40:07
`I 10:40:12
`I 10:40:15
`I 10:40:18
`I 10:40:27
`I 10:40:31
`I 10:40:32
`I 10:40:35
`J
`I
`
`10:40:04
`
`10:40:10
`
`10:40:16
`
`10:40:23
`
`10:40:31
`
`10:40:38
`
`1-TnPct~"> -
`
`Tl_i rl">rt- 1R.e.sJlmeill
`
`74
`
`1 A. We were a small, busy, growing company, trying to develop
`
`2
`
`these products. This was a more advanced feature of -- that
`
`3 would be added into the product line, so we were getting our
`
`4
`
`core set of features in place, developing, you know, the core
`
`5 essentials of the bridge router products, and so, we didn't
`
`6 have necessarily the bandwidth to go do everything that we
`
`7 wanted to do.
`
`8 Q. Bandwidth means manpower?
`
`9 A. Correct.
`
`10 Q. And was there intent to put it in the product?
`
`11 A.
`
`I think there -- I would have liked it in the product.
`
`12 There was a general desire to get it there, but as far as
`
`13
`
`there being a broad overall intent, I'm not sure what that
`
`14
`
`really means.
`
`15 Q. Did the Crossroads products -- how many other patents do
`
`16 you have?
`
`17 A. Five.
`
`18 Q. Now, were you aware that any Crossroads products were
`
`19 marked with this 972 patent number?
`
`20 A.
`
`I became aware of that in the course of the depositions,
`
`21
`
`right.
`
`22 Q. Did
`
`you know it while you worked there?
`
`23 A. No,
`
`I did not.
`
`24 Q. Was
`
`that right? Did the products have your
`
`invention in
`
`25
`
`it?
`
`LILY I. REZNIK
`U.S. DISTRICT COURT
`WESTERN DISTRICT OF TEXAS (AUSTIN)
`
`CRDS 64880
`
`24 of 46
`
`
`
`11:13:13
`
`11::23:43
`
`11:23:54
`
`11:24:05
`
`11:24:20
`
`11:25:04
`
`11:25:14
`
`I ,.
`I 11:13:15
`I 11:23:38
`I 11:23:46
`I 11:23:58
`I 11:24:01
`I 11:24:1.4
`I 11:24:16
`..
`I 11:25:17
`I 11:25:19
`I 11:25:24
`