`Filed: March 7, 2016
`
`
`Mark D. Sweet
`Mark J. Feldstein
`Erin M. Sommers
`Charles W. Mitchell
`Finnegan, Henderson, Farabow, Garrett & Dunner, LLP.
`901 New York Ave., N.W.
`Washington, D.C. 20001-4413
`Fax. 202.408.4400
`mark.sweet@finnegan.com,
`mark.feldstein@finnegan.com,
`erin.sommers@finnegan.com,
`charles.mitchell@finnegan.com
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________
`
`ARKEMA INC. and ARKEMA FRANCE,
`Petitioners,
`
`v.
`
`HONEYWELL INTERNATIONAL INC.,
`Patent Owner.
`____________
`
`Case IPR2016-00643
`Patent 9,157,017
`____________
`
`
`
`
`
`
`
`
`
`
`
` PETITIONER’S UPDATED LIST OF EXHIBITS
`
`
`
`
`
`Further to 37 C.F.R. § 42.63(e), Petitioner, ARKEMA INC. AND
`
`
`
`
`ARKEMA FRANCE, hereby submits a current list of ARKEMA INC. AND
`
`ARKEMA FRANCE exhibits.
`
`Case IPR2016-00643
`Patent 9,157,017
`
`
`Exhibit 1007
`
`
`PETITIONER’S EXHIBIT LIST
`(as of March 7, 2016)
`
`Exhibit 1001 U.S. Patent No. 9,157,017 to Singh et al.
`Exhibit 1002 Declaration of J. Steven Brown, Ph.D.
`Exhibit 1003 Reserved
`Exhibit 1004 Declaration of William J. Brock, Ph.D.
`Exhibit 1005 Reserved
`Arkema Inc. and Arkema France v. Honeywell Int’l, Inc.,
`Exhibit 1006
`PGR2016-00011, Petition for PGR (February 22, 2016)
`(“PGR1”)
`Arkema Inc. and Arkema France v. Honeywell Int’l, Inc.,
`PGR2016-00012, Petition for PGR (February 22, 2016)
`(“PGR2”)
`Exhibit 1008 U.S. Patent No. 4,755,316 to Magid et al.
`Exhibit 1009 U.S. Patent No. 8,065,882 to Singh et al.
`Exhibit 1010 B. Minor & M. Spatz, HFO-1234yf Low GWP Refrigerant
`Update, INT’L REFRIGERATION & AIR CONDITIONING CONF.,
`Paper 937 (2008)
`Exhibit 1011 Reserved
`Exhibit 1012
`Japanese Patent App. Publication No. JP H4-110388 to Inagaki
`et al., dated April 10, 1992 (English Translation)
`Exhibit 1013 Reserved
`S. Uemura et al., Characteristics of HFC Refrigerants, INT’L
`Exhibit 1014
`REFRIGERATION & AIR CONDITIONING CONF. 385 (1992)
`
`
`
`Exhibit 1015 Robert E. Tapscott, Tropodegradable Fluorocarbon
`Replacements for Ozone-Depleting and Global-Warming
`Chemicals, 101 J. FLUORINE CHEMISTRY 209 (2000)
`Exhibit 1016 U.S. Patent No. 6,176,102 to Novak et al.
`Exhibit 1017 U.S. Patent No. 6,300,378 to Tapscott
`
`Exhibit 1018 U.S. Patent No. 6,516,837 to Thomas et al.
`
`Exhibit 1019 U.S. Patent No. 6,783,691 to Bivens et al.
`
`Exhibit 1020 U.S. Patent No. 7,230,146 to Merkel et al.
`
`Exhibit 1021 U.S. Patent No. 7,279,451 to Singh et al.
`Exhibit 1022 Reserved
`
`Exhibit 1023 U.S. Patent No. 7,534,366 to Singh et al.
`
`Exhibit 1024 U.S. Patent No. 8,033,120 to Singh et al.
`
`Exhibit 1025 U.S. Patent No. 8,974,688 to Yana Motta et al.
`Exhibit 1026
`EP 1 716 216 B1 to Singh et al.
`Exhibit 1027 Russian Patent No. 2,073,058 to Podchernjaev et al., dated
`February 10, 1997 (English Translation)
`Exhibit 1028 WO 2000/56834 to Bivens et al.
`Exhibit 1029 WO 2005/105947 to Singh et al.
`
`Exhibit 1030 WO 2004/037913 to Singh et al.
`
`Exhibit 1031
`
`Transcript of Oral Proceedings in Appeal No. T0860/12-3.3.10
`of EPO Opposition of EP 1 716 216 B1 to Singh et al., dated
`September 22, 2015
`Exhibit 1032 U.S. Patent No. 7,396,965 to Mukhopadhyay et al.
`Exhibit 1033 U.S. Patent No. 7,560,602 to Van Der Puy et al.
`Exhibit 1034
`Japanese Patent App. Publication No. JP 5-85970 to Omure et
`al., dated April 6, 1993 (English Translation)
`Exhibit 1035 U.S. Provisional Patent Application No. 60/421,263, filed
`October 25, 2002
`
`
`
`Exhibit 1036 U.S. Provisional Patent Application No. 60/421,435, filed
`October 25, 2002
`Exhibit 1037 U.S. Patent Application No. 10/694,272, filed October 27, 2003
`
`Exhibit 1038 U.S. Patent Application No. 10/694,273, filed October 27, 2003
`
`Exhibit 1039 Amendment dated October 24, 2007 in U.S. Patent Application
`No. 10/694,273
`Exhibit 1040 U.S. Patent Application No. 10/695,212, filed October 27, 2003
`
`Exhibit 1041 U.S. Patent Application No. 10/837,525, filed April 29, 2004
`
`Exhibit 1042 Application Data Sheet for U.S. Patent Application No.
`10/837,525, filed April 29, 2004
`Exhibit 1043 U.S. Patent Application No. 11/847,192, filed August 29, 2007
`
`Exhibit 1044 U.S. Patent Application No. 13/844,206, filed March 15, 2013
`
`Exhibit 1045 U.S. Patent Application No. 14/225,588, filed March 26, 2014
`
`Exhibit 1047
`
`Exhibit 1046 Application Data Sheet for U.S. Patent Application No.
`14/225,588, filed March 26, 2014
`Preliminary Amendment in U.S. Patent Application No.
`14/225,588, filed March 26, 2014
`Exhibit 1048 Reserved
`
`Exhibit 1049 Amendment dated August 29, 2014 in U.S. Patent Application
`No. 14/225,588, filed March 26, 2014
`Exhibit 1050 Amendment dated December 19, 2014 in U.S. Patent
`Application No. 14/225,588, filed March 26, 2014
`Exhibit 1051 Reserved
`Exhibit 1052 Reserved
`
`Exhibit 1053 Reserved
`
`Exhibit 1054 Reserved
`Exhibit 1055 Action Closing Prosecution in Reexam Control No. 95/000,576
`of U.S. Patent No. 7,279,451, dated May 25, 2012
`
`
`
`Exhibit 1056 Reserved
`
`Exhibit 1057 Declaration of Raymond Thomas originally filed in Reexam
`Control No. 95/001,783, dated October 15, 2012; submitted in
`the Prosecution History of U.S. Patent No. 9,157,017 on
`August 29, 2014
`Exhibit 1058 Reserved
`
`Exhibit 1059 Declaration of Donald B. Bivens originally filed in Reexam
`Control No. 95/002,030, dated December 24, 2012; submitted
`in the Prosecution History of U.S. Patent No. 9,157,017 on
`August 29, 2014
`Exhibit 1060 Reserved
`
`Exhibit 1061 Reserved
`
`Exhibit 1062 Declaration of Rajiv Ratna Singh originally filed in Reexam
`Control No. 95/002,030, dated December 24, 2012; submitted
`in the Prosecution History of U.S. Patent No. 9,157,017 on
`August 29, 2014
`First Action Closing Prosecution in Reexam Control No.
`95/002,030 of U.S. Patent No. 8,065,882, dated December 13,
`2013
`Exhibit 1064 Reserved
`
`Exhibit 1063
`
`Exhibit 1065 Reserved
`
`Exhibit 1066 Reserved
`
`Exhibit 1067 Reserved
`
`Exhibit 1069
`
`Exhibit 1068 Honeywell’s Submission in EPO Opposition of EP 1 716 216
`B1 to Singh et al., dated December 20, 2010
`EPO Revocation Decision in EPO Opposition of EP 1 716 216
`B1 to Singh et al., dated April 13, 2012
`Exhibit 1070 Mexichem Amanco Holdings S.A. de C.V. v. Honeywell Int’l,
`Inc., IPR2013-00576, Paper 21 (PTAB May 8, 2014)
`Exhibit 1071 Reserved
`
`
`
`Exhibit 1072 Reserved
`Exhibit 1073 Complaint in Civil Action No. 2:10-cv-02866-WY in U.S.
`District Court for Eastern District of Pennsylvania
`Exhibit 1074 Reserved
`Exhibit 1075 Order, D.I. 100 in C.A. 2:10-cv-02886-CDJ, dated September
`25, 2013
`Exhibit 1076 Reserved
`
`Exhibit 1077
`
`29 C.F.R. § 1910.1200 app. A (2002)
`
`Exhibit 1078
`
`IDS Transmittal Letter and IDS dated March 26, 2014 in U.S.
`Patent Application No. 14/225,588, filed March 26, 2014
`Exhibit 1079 Reserved
`Exhibit 1080
`SAE INTERNATIONAL, FACTS COOPERATIVE RESEARCH
`PROGRAM,
`www.sae.org/standardsdev/tsb/cooperative/summary-altref.pdf
`(last visited 02/18/2016)
`Exhibit 1081 M.W. Spatz, Update on a Low GWP Refrigerant: Fluid H, SAE
`2007 ALTERNATIVES REFRIGERANT SYSTEMS SYMPOSIUM (July
`17-19, 2007)
`Exhibit 1082 HONEYWELL, HONEYWELL ANNUAL REPORT (2007)
`
`Exhibit 1083 Mark Spatz & Barbara Minor, HFO-1234yf Low GWP
`Refrigerant: A Global Sustainable Solution for Mobile Air
`Conditioning, SAE 2008 ALTERNATE REFRIGERANT SYSTEMS
`SYMPOSIUM (June 10-12, 2008), https://www.chemours.com/
`Refrigerants/en US/assets/downloads/SmartAutoAC/
`MAC SAE08 HFO 1234yf.pdf
`Exhibit 1084 Mark Spatz & Barbara Minor, HFO-1234yf Low GWP
`Refrigerant Update Honeywell/DuPont Joint Collaboration,
`International Refrigeration and Air Conditioning Conference at
`Purdue (July 14-17, 2008)
`Exhibit 1085 Reserved
`
`
`
`
`
`Exhibit 1086
`
`SAE INTERNATIONAL, SAE CRP1234: Industry Evaluation of
`Low Global Warming Potential Refrigerant HFO-1234yf (Dec.
`9, 2008), http://www.sae.org/standardsdev/tsb/cooperative/
`crp1234summary.pdf
`Exhibit 1087 David P. Wilson & Mary Koban, HFO-1234yf Industry Update,
`EPA R1234YF COMMERCIALIZATION MEETING (Feb. 6, 2009)
`SAE INTERNATIONAL, SAE CRP1234: Industry Evaluation of
`Low Global Warming Potential Refrigerant HFO-1234yf,
`(Nov. 10, 2009),
`http://www.sae.org/standardsdev/tsb/cooperative/
`crp1234-3.pdf
`Press Release, SAE International, SAE International Releases
`Test Results of the Low GWP Refrigerant for Mobile Air-
`Conditioning (Nov. 10, 2009), https://www.sae.org/news/1109/
`Exhibit 1090 Christian Puhl, Refrigeration Oils for Future Mobile A/C
`Systems, VDA Winter Meeting Saalfelden (2009)
`Exhibit 1091 HONEYWELL, HFO 1234YF PRODUCT BROCHURE (Sept. 2010)
`
`Exhibit 1088
`
`Exhibit 1089
`
`Exhibit 1092
`
`Exhibit 1093
`
`Press Release, General Motors, GM First to Market
`Greenhouse Gas-Friendly Air Conditioning Refrigerant in U.S.
`(July 23, 2010),
`http://media.gm.com/media/us/en/gm/home.detail.html/
`content/Pages/news/us/en/2010/July/0723 refrigerant.html
`Press Release, SAE International, Cadillac XTS First U.S. Car
`with R-1234yf A/C (Feb. 14, 2012),
`http://articles.sae.org/10663/
`Exhibit 1094 ACDelco, New R-1234yf A/C Refrigerant Makes Its U.S.
`Debut, TECHCONNECT (Sept. & Oct. 2012)
`
`Press Release, Honeywell, Honeywell Announces Major
`Investments to Increase HFO-1234yf Production in the United
`States (Dec. 10, 2013), https://honeywell.com/News/Pages/
`Honeywell-Announces-Major-Investments-To-Increase-HFO-
`1234yf-Production-In-The-United-States.aspx
`
`
`Exhibit 1095
`
`
`
`
`
`Exhibit 1096
`
`Elliot Maras, MACS: Chrysler reports R-1234yf results in Jeep,
`VEHICLE SERV. PROS (Jan. 2014),
`http://www.vehicleservicepros.com/news/11296735/macs-
`chrysler-reports-r-1234yf-results-in-jeep-cherokee
`Exhibit 1097 RANDOM HOUSE WEBSTER’S COLLEGE DICTIONARY (2000)
`
`Exhibit 1098 Reserved
`
`Exhibit 1099 O.J. Nielsen et al., Atmospheric Chemistry of CF3CF=CH2:
`Kinetics and Mechanisms of Gas-Phase Reactions with Cl
`Atoms, OH Radicals, and O3, 439 CHEM. PHYS. LETTERS 18
`(2007)
`Exhibit 1100 R. C. DOWNING, FLUOROCARBON REFRIGERANTS HANDBOOK
`(1988)
`Exhibit 1101 DuPont, Opteon® Refrigerant Has Low GWP,
`http://www.dupont.com/industries/automotive/thermal-
`management-hvac/articles/hvac-sustainability.html
`Exhibit 1102 Reserved
`
`Exhibit 1105
`
`Exhibit 1103 C. Zilio, The Refrigerant R1234yf in Air Conditioning Systems,
`36 ENERGY 6110 (2011)
`Exhibit 1104 WORLD METEOROLOGICAL ORGANIZATION, SCIENTIFIC
`ASSESSMENT OF OZONE DEPLETION: 2002 (2002)
`Piers Foster et al., Changes in Atmospheric Constituents and in
`Radiative Forcing, in CLIMATE CHANGE 2007: THE
`PHYSICAL SCIENCE BASIS 129 (2007)
`Exhibit 1106 AM. NAT’L STANDARDS INST., ASHRAE GUIDELINE 3-1996:
`REDUCING EMISSION OF HALOGENATED REFRIGERANTS IN
`REFRIGERATION AND AIR-CONDITIONING EQUIPMENT AND
`SYSTEMS (1996)
`Exhibit 1107 AM. NAT’L STANDARDS INST., ASHRAE STANDARD 86-1994:
`METHODS OF TESTING THE FLOC POINT OF REFRIGERATION
`GRADE OILS (1999)
`
`
`
`
`
`Exhibit 1108 AM. NAT’L STANDARDS INST., ASHRAE STANDARD 97-1999:
`SEALED GLASS TUBE METHOD TO TEST THE CHEMICAL
`STABILITY OF MATERIALS FOR USE WITHIN REFRIGERANT
`SYSTEMS (1999)
`Exhibit 1109 AM. NAT’L STANDARDS INST., ASHRAE STANDARD 147-2002:
`REDUCING THE RELEASE OF HALOGENATED REFRIGERANTS IN
`REFRIGERATION AND AIR-CONDITIONING EQUIPMENT AND
`SYSTEMS (2002)
`
`Exhibit 1110 AM. NAT’L STANDARDS INST., ASHRAE STANDARDS 15-2013:
`SAFETY STANDARD FOR REFRIGERATION SYSTEMS (beginning
`on page 1) AND 34-2013: DESIGNATION AND SAFETY
`CLASSIFICATION OF REFRIGERANTS (2013) (beginning on page
`37)
`ASHRAE Terminology, ASHRAE, https://www.ashrae.org/
`resources--publications/free-resources/ashrae-terminology
`James M. Calm & David A. Didion, Trade-Offs in Refrigerant
`Selections: Past, Present, and Future, ASHRAE/NIST
`REFRIGERANTS CONF. (Oct. 6-7, 1997)
`Exhibit 1113 D.J. Bateman, Current Development Status of HFC-134a for
`Automotive Air Conditioning, SAE TECHNICAL PAPER SERIES
`(1990)
`Exhibit 1114 Ramesh K. Shah, Automotive Air-Conditioning Systems-
`Historical Developments, the State of Technology, and Future
`Trends, 30 HEAT TRANSFER ENGINEERING 720 (2009)
`2002 TOC Refrigeration, A/C and Heat Pumps Assessment
`Report
`Exhibit 1116 Reserved
`
`Exhibit 1111
`
`Exhibit 1112
`
`Exhibit 1115
`
`Exhibit 1117 W.L. Brown, The Development of Lubricants for Automotive
`A/C Systems, INT’L COMPRESSOR ENGINEERING CONF., Paper
`1247 (1998)
`Paul L. Matlock et al., Polyalkylene Glycols, in SYNTHETIC
`LUBRICANTS AND HIGH-PERFORMANCE FUNCTIONAL FLUIDS (2d
`ed. 1999)
`
`Exhibit 1118
`
`
`
`Exhibit 1119 W.L. Brown, Polyalkylene Glycol Refrigeration Lubricants –
`Current Status and Retrofit Applications, SAE TECHNICAL
`PAPER SERIES (1993)
`Exhibit 1120 Masato Kaneko et al., The Development of PAG Refrigeration
`Lubricants for Air Conditioner with HFC134a, SAE
`TECHNICAL PAPER SERIES (1995)
`Exhibit 1121 Michael B. Pate et al., Miscibility of Lubricants with
`Refrigerants (July 1993)
`Exhibit 1122 M.B. Pate & S.C. Zoz, Critical Solution Temperatures for Ten
`Different Non-CFC Refrigerants with Fourteen Different
`Lubricants, INT’L REFRIGERATION & AIR CONDITIONING CONF.,
`Paper 285 (1994)
`Exhibit 1123 Claudio Zilio et al., Simulation of R-1234yf in a Typical
`Automotive System, THIRD IIR CONF. ON THERMOPHYSICAL
`PROPS. & TRANSFER PROCESSES OF REFRIGERANTS, Paper 128
`(2009)
`Exhibit 1124 Vladimir L. Orkin et al., Rate Constants for the Reactions of
`OH with HFC-245cb (CH3CF2CF3) and Some Fluoroalkenes
`(CH2CHCF3, CH2CFCF3, CF2CFCF3, and CF2CF2), 101 J.
`PHYSICAL CHEMISTRY 9118 (1997)
`Exhibit 1125 Mark O. McLinden, Optimum Refrigerants for Non-Ideal
`Cycles: An Analysis Employing Corresponding States,
`ASHRAE-PURDUE CFC & IIR-PURDUE REFRIGERATION CONFS.
`(July 17-20, 1990)
`Exhibit 1126 Mark O. McLinden, Development of the REFPROP Database
`and Transport Properties of Refrigerants (July 1998)
`Exhibit 1127 BRUCE E. POLING ET AL., THE PROPERTIES OF GASES AND
`LIQUIDS (5th ed. 2001)
`Exhibit 1128 Marcia L. Huber & James F. Ely, A Predictive Extended
`Corresponding States Model for Pure and Mixed Refrigerants
`Including an Equation of State for R134a, 17 INT’L J.
`REFRIGERATION 18 (1994)
`Exhibit 1129 M. Preissner et al., Suction Line Heat Exchanger for R134A
`Automotive Air-Conditioning System, INT’L REFRIGERATION &
`AIR CONDITIONING CONF., Paper 494 (2000)
`
`
`
`Exhibit 1130 Reserved
`
`Exhibit 1131 Reserved
`
`Exhibit 1132 Donald B. Bivens & Barbara H. Minor, Fluoroethers and Other
`Next-Generation Fluids, ASHRAE/NIST REFRIGERANTS CONF.
`122 (Oct. 1997)
`Exhibit 1133 Honghyun Cho et al., Performance Characteristics of an
`Automobile Air Conditioning System with Internal Heat
`Exchanger Using Refrigerant R1234yf, 61 APPLIED THERMAL
`ENGINEERING 563 (2013)
`J. Navarro-Esbrı´, Experimental Analysis of R1234yf as a
`Drop-In Replacement for R134a in a Vapor Compression
`System, 36 INT’L J. REFRIGERATION 870 (2013)
`Exhibit 1135 Reserved
`
`Exhibit 1134
`
`Exhibit 1136 Denis Clodic & Young Soo Chang, Characteristics and
`Performances of New Refrigerants, ADEME TECHNICAL DAY -
`PARIS (Sept. 23, 1999)
`Exhibit 1137 ROBERT C. REID ET AL., THE PROPERTIES OF GASES AND LIQUIDS
`(4th ed. 1987)
`Exhibit 1138 U.S. Patent No. 3,884,828 to Butler
`
`Exhibit 1140
`
`Exhibit 1141
`
`Exhibit 1139 DOW CORNING, ACUTE VAPOR INHALATION TOXICITY OF TX-52
`(Submitted to EPA Dec. 17, 1991)
`J. Wesley Clayton, Fluorocarbon Toxicity and Biological
`Action, 1 FLUORINE CHEMISTRY REVS. 197 (1967)
`J. Wesley Clayton, Toxicology of the Fluoroalkenes: Review
`and Research Needs, 21 ENV’T HEALTH PERSP. 255 (1977)
`Exhibit 1142 Declaration of Dr. George Rusch originally filed during
`prosecution of U.S. Patent Application No. 10/837,525, dated
`April 25, 2007; submitted in the Prosecution History of U.S.
`Patent No. 9,157,017 on August 29, 2014
`Exhibit 1143 Honeywell, Safety Data Sheet: R-1234yf (Revised June 17,
`2014)
`
`
`
`
`Exhibit 1144
`
`Joseph Lifke et al., Tropodegradable Bromocarbon
`Extinguishants (May 2001)
`Third Declaration of George Rusch, Ph.D. in U.S. Patent
`Application No. 12/412,342, dated July 28, 2010
`J.M. Calm. The Toxicity of Refrigerants, INT’L REFRIGERATION
`& AIR CONDITIONING CONF., Paper 317 (1996)
`Exhibit 1147 Reserved
`
`Exhibit 1145
`
`Exhibit 1146
`
`Exhibit 1148
`
`Letters from A. Michael Kaplan, Dir.-Regulatory Affairs,
`DuPont, to Office of Pollution Prevention and Toxics, Envt’l
`Prot. Agency (2000)
`Japanese Patent App. Publication No. JP 4-110388 to Inagaki et
`al., dated April 10, 1992 (Japanese)
`Japanese Patent App. Publication No. JP 5-85970 to Omure et
`al., dated April 6, 1993 (Japanese)
`Exhibit 1151 Reserved
`
`Exhibit 1149
`
`Exhibit 1150
`
`Exhibit 1152 Mexichem Amanco Holdings S.A. de C.V. v. Honeywell
`International, Inc., IPR2013-00576, Paper 50 (PTAB Feb. 26,
`2015)
`Exhibit 1153 Reserved
`
`Exhibit 1154 AM. NAT’L STANDARDS INST., ASHRAE STANDARD 34-2004:
`DESIGNATION AND SAFETY CLASSIFICATION OF REFRIGERANTS
`(2004)
`Exhibit 1155 Reserved
`
`Exhibit 1156 Action Closing Prosecution in Reexam Control No. 95/001,783
`of U.S. Patent No. 8,033,120, dated September 14, 2012
`Exhibit 1157 Action Closing Prosecution in Reexam Control No. 95/002,189
`of U.S. Patent No. 7,534,366, dated May 27, 2014
`Exhibit 1158 Reserved
`
`
`
`
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`CERTIFICATE OF SERVICE
`The undersigned certifies that a copy of the foregoing PETITIONER’S
`
`Case IPR2016-00643
`Patent 9,157,017
`
`
`UPDATED LIST OF EXHIBITS was served upon the below-listed counsel by
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`Honeywell/Fox Rothschild
`Patent Services
`115 Tabor Road
`P.O. Box 377
`Morris Plains, NJ 07950
`
`By: /Mark D. Sweet/
`
`Mark D. Sweet
`
`Reg. No. 41,469
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`Federal Express:
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`Joseph F. Posillico
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`Fox Rothschild LLP
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`2000 Market Street
`20th Floor
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`Philadelphia, PA 19103-3222
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`Date: March 7, 2016