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`_________________________
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`_________________________
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`
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`Polygroup Limited (MCO),
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`Petitioner,
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`v.
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`
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`Willis Electric Co., LTD.,
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`Patent Owner
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`_________________________
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`Case IPR2016-01613
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`Patent 9,044,056
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`_________________________
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`REPLY TO PETITIONER’S OPPOSITION TO PATENT
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`OWNER’S MOTION TO AMEND
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`Patent No. 9,044,056
`(IPR2016-01613)
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`Table of Contents
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`I.
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`INTRODUCTION ....................................................................................... 1
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`II. PO’S MOTION COMPLIES AND DEMONSTRATES
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`PATENTABILITY .................................................................................... 1
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`A. Duty of Candor: Does Not Require Addressing Every
`Reference Per Se, or Require Grouping All References ................ 1
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`B. Duty of Candor: Sales of 2008 Trees Not Relevant ........................ 2
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`C. Duty of Candor: No Additional Material Art in Child
`Applications ...................................................................................... 3
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`D. PO’s Arguments Respond to Alleged Grounds and are
`Supported by the Literal Language of the Claims ......................... 4
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`E. Claim Construction: Commonly Transmitted (Claim 24) ............. 5
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`III. CLAIMS 23 AND 24 ARE NOT INDEFINITE UNDER 35 USC 112 ..... 6
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`IV. CLAIM 21 IS PATENTABLE OVER THE PRIOR ART OF
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`RECORD, INCLUDING OVER MILLER, OTTO, JUMO, AND
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`MCLEISH/FALOSSI/DANIELS ................................................................ 6
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`V. CLAIM 22 IS PATENTABLE OVER PRIOR ART OF RECORD,
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`INCLUDING OVER HICKS IN VIEW OF OTTO AND FURTHER
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`IN VIEW OF MCLEISH OR FALLOSI OR DANIELS........................... 9
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`VI. CLAIM 23 IS PATENTABLE OVER ART OF RECORD,
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`INCLUDING OVER MILLER IN VIEW OF SEGHERS AND
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`FURTHER IN VIEW OF MCLEISH OR FALLOSI OR DANIELS ......11
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`VII. CLAIM 24 IS PATENTABLE OVER ART OF RECORD,
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`INCLUDING OVER MILLER IN VIEW OF LOOMIS .........................12
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`VIII. CONCLUSION ..........................................................................................13
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`Patent No. 9,044,056
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`EXHIBIT LIST
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`
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`Exhibit No.
`2056
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`Description
`Supplemental Declaration of Stuart B. Brown in Support
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`of Patent Owner’s Reply to Petitioner’s Opposition to
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`Motion to Amend U.S. Patent No. 9,044,056.
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`2057
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`US Patent Application Pub. No. US 2003/0198048 to
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`Frederick (“Frederick”)
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`2058
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`US Patent Application Pub. No. US 2003/0206412 to
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`Gordon (“Gordon”)
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`2059
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`US Patent Application Pub. No. US 2004/0090770 to
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`Primeau (“Primeau”)
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`2060
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`US Patent Application Pub. No. US 2006/0164834 to Kao
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`(“Kao”)
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`ii
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`Patent No. 9,044,056
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`I. INTRODUCTION
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`Patent Owner (PO) replies herein to Petitioner’s Opposition and asserts that
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`PO has complied with relevant Board Rules, has met its duty of candor by raising
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`and addressing relevant and material prior art references, and has demonstrated
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`patentability of substitute claims 21-24.
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`II. PO’S MOTION COMPLIES AND DEMONSTRATES PATENTABILITY
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`A. Duty of Candor: Does Not Require Addressing Every Reference Per
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`Se, or Require Grouping All References
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`In its Motion to Amend (“Motion”), PO has shown patentability over the prior
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`art that is relevant to the substitute claims, including the prior art of record, prior art
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`known to PO, and prior art applied by Petitioner. (Paper 53, pp. 17-35.) Petitioner
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`selects five references of the hundreds already of record, and asserts that PO’s failure
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`to address these non-relevant references violates PO’s duty of candor, and forms the
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`basis for denial of PO’s motion. (Paper 69, 3-7.) In doing so, Petitioner attempts to
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`create a requirement for PO to group or categorize all the references of record in the
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`prosecution of the ‘056 Patent. (Paper 101, 3-4.) However, PO is under no
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`affirmative obligation to address each and every prior art reference of record, or to
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`group all of the references. (see Shinn Fu Co. of Am., Inc. v. Tire Hanger Corp.,
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`IPR2015-00208 Paper 24 at 24 (P.T.A.B. April 22, 2016) (describing that PO
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`complied with its duty of candor by arguing patentability over substantially similar
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`art, despite not addressing specific references, per se.) PO has sufficiently raised and
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`addressed material references having similar subject matter and relating to elements
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`of the substitute claims, and particularly those relating to connectors. (Paper 53, pp.
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`17-35.)
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`Further, Petitioner has failed to address why its selected references are not
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`similar to, and not cumulative over, references addressed by PO. It is well
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`established that information is “material” to patentability when it is “not cumulative
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`to information already of record or being made of record in the application.” (37
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`C.F.R. 1.65(b).) PO notes that all of the cited references are cumulative over various
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`references that were addressed in the Motion.
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`While Petitioner faults PO for not analyzing Frederick, Gordon, Primeau,
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`Kao and Yao, a cursory glance at each of these references makes clear why neither
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`PO nor Petitioner has presented substantive arguments regarding these references.
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`Frederick is directed to a light string (Ex. 2057), Gordon to a lighting apparatus with
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`lighted “arms” (Ex. 2058), and Primeau (Ex. 2059), Kao (Ex. 2060), and Yao (Ex.
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`1143) to trees with connectors, wiring and lights, all external to the tree trunks. (Ex.
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`2056, ¶¶31-33.) Consequently, these references are not material or relevant, and at
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`most are cumulative over the references addressed in PO’s Motion. (Id.)
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`B. Duty of Candor: Sales of 2008 Trees Not Relevant
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`Petitioner, citing the Chen Declaration asserts that PO’s failure to identify or
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`evaluate its own artificial Christmas trees sold in the US at least as early as 2008 is
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`a breach of the duty of candor and good faith. (Paper 69, 7-8; Ex. 1212, ¶¶11-12.)
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`First, 35 USC § 311(b) requires that petitioners in Inter Partes reviews must rely
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`solely on prior art “consisting of patents or printed publications.” (35 USC §
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`311(b).) Petitioners have the burden of establishing that the references relied upon
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`qualify as printed publications. In the Opposition, Petitioner offers no evidence that
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`the trees sold as early as 2008 are the subject of a non-disclosed patent or printed
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`publication.
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`Second, the cited paragraphs from the Chen Declaration provide no basis for
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`establishing that Willis trees sold before the critical date “contain[] many of the
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`features that PO now attempts to claim in Substitute Claims 21-24.” To the extent
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`that ¶¶11-12 of Ex. 1112 do disclose features of the trees sold as early as 2008 (e.g.,
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`multiple trunk pieces, wires with lights strung throughout the trees), the information
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`is cumulative. (See Ex. 1212, ¶¶11-12.)
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`C. Duty of Candor: No Additional Material Art in Child Applications
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`Petitioner also argues that PO has failed to put Petitioner and Board on notice
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`as to “any material art of record in any other proceeding before the Office involving
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`the patent.” (Paper 101, pp. 5-6.) In good faith, PO has disclosed this proceeding,
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`the consolidated proceeding IPR2016-00802, and other PO “tree” proceedings
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`currently pending before this Board, to the USPTO in child patent US 9,526,286 and
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`pending child application 15/350,707. (Paper 69, pp. 5-6.) As such, and as Petitioner
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`also points out, the records of the ‘286 Patent and ‘707 Application include the
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`material prior art cited in the ‘056 Patent history. (Id.) Petitioner has not asserted
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`that the records of these two child cases contain any additional material prior art, and
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`PO confirms that any references cited in these two children and not addressed herein
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`are cumulative to the art of record. Regarding the non-published child application,
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`15/596,421, PO has not filed any information disclosure statements, and the
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`examiner has only cited three patents as prior art, all of which are cited on the face
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`of the ‘056 Patent. Consequently, PO has determined that there are no additional
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`material references relating to 14/725,972, 15/350,707 and 15/596,421 that need be
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`raised or addressed, and hence has not raised or addressed any such references.
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`D. PO’s Arguments Respond to Alleged Grounds and are Supported by
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`the Literal Language of the Claims
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`In reply to Petitioner’s assertions that the substitute claims are not responsive
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`to Petitioner’s grounds, PO asserts that: 1) PO has raised arguments as to how each
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`substitute claim would overcome the art raised by Petitioner (See Paper 53, pp. 17-
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`35 arguing patentability of substitute claims 21-24 over relevant prior art, including
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`references relied upon by Petitioner); 2) PO has also included every feature, and in
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`some cases narrowed features, for each and every substitute claim (See Id., pp. A1-
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`A7 showing added limitations underlined); and 3) PO does in fact present arguments
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`as to how the applied references fail to teach or suggest the narrowed features,
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`thereby addressing the obviousness grounds raised by Petitioner. (Id., 17-35.)
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`Petitioner further argues that PO attempts to introduce limitations into claims
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`21-24 via arguments, and therefore PO’s arguments are improper and the Board
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`should not construe PO’s arguments as being limiting in any way. (Paper 69, pp. 8-
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`9.) PO disagrees that it is introducing limitations via argument, or making arguments
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`not supported by the claims. Petitioner raises the issue of intended use (id., p. 10),
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`and effectively imposes upon claims 21-23 the overarching rule that any recitation
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`of “power” whether used as an adjective to a structural element, e.g., “power wire”,
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`or whether used in the “configured to” functional claiming format, e.g., “configured
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`to transmit power”, is non-limiting and should be ignored. (Id.) Under such a non-
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`limiting interpretation, for example, a ground wire could disclose a power wire
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`simply because it is electrically conductive. (Id.)
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`Such a wholesale conclusion not only ignores the merits of each individual
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`claim, but also contradicts the disclosure of the specification of the ‘056 Patent.
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`Petitioner argues, for example, that the specification supports a finding that a “first
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`polarity” terminal could be connected to earth ground. (Id.) However, the
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`specification consistently refers to “first polarity” power wires and terminals, and
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`“second polarity” power wires and terminals, to describe the conduction of electrical
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`power, e.g., neutral and positive/live/hot polarities necessary for providing power.
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`(Ex. 1001, 7:37-44, 8:29-33, 15:61-65.) The specification also discloses multiple
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`terminals and wires that can be used for each polarity. (Ex. 1001, 14:13-21.) Further,
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`the use of ground or earth ground wires or terminals is not disclosed in the
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`specification. Consequently, a POSA would understand that the specification does
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`not support an interpretation that would allow substitution of grounding elements for
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`claimed power elements as described in PO’s Motion.
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`E. Claim Construction: Commonly Transmitted (Claim 24)
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`Petitioner asserts that PO has not provided claim constructions for the term
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`“commonly transmitted,” and therefore fails to demonstrate patentability. (Paper
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`107, p. 11.) Guidance provided by this Panel provides that: “If a new term is used in
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`a proposed substitute claim, the meaning of which reasonably can be anticipated as
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`subject to dispute, Patent Owner should provide a proposed claim construction in
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`the motion to amend.” (Paper 52, p. 4.) PO submits that the term “commonly
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`transmitted” is not a term anticipated to be subject to dispute, nor has Petitioner
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`alleged same. (See Paper 101, 11-12, arguing Petitioner’s construction of the term.)
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`III. CLAIMS 23 AND 24 ARE NOT INDEFINITE UNDER 35 USC 112
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`PO agrees with Petitioner that PO claim element 23.13, relating to wire
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`connections, was not a subject of challenge in this proceeding, and that PO has not
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`“attempted to explain the meaning of this term or argue for its definiteness.” This is
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`because element 23.13 is fully supported by the specification of the ‘056 Patent,
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`including the figures, as described in PO’s Motion, and the meaning is definite and
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`unambiguous. (Paper 53, p. 15.) Notably, Petitioner fails to provide any evidence to
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`the contrary as to why a POSA would not be informed as to the scope of the invention
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`within reasonable certainty. (Paper 69, pp. 13-15.)
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`Regarding element 24.4 of claim 24, another term not challenged in this
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`proceeding, Petitioner again fails to provide any evidence to support the finding that
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`a POSA would not be informed as to the meaning of element 24.4 within reasonable
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`certainty. (Id., pp. 15-16.) To the contrary, and consistent with the baseline
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`understanding provided by Petitioner’s expert, a POSA would understand with
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`reasonable certainty the meaning of this term. (Ex. 2056, ¶34; Ex. 1011, ¶161.)
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`IV. CLAIM 21 IS PATENTABLE OVER THE PRIOR ART OF RECORD,
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`INCLUDING OVER MILLER, OTTO, JUMO, AND
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`MCLEISH/FALOSSI/DANIELS
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`It would not have been obvious to modify the tree of Miller-Otto-Jumo with
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`the connector teachings of McLeish, Falossi or Daniels and Petitioner has failed to
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`demonstrate same.
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`First, all three of McLeish, Falossi and Daniels are non-analogous art.
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`McLeish is non-analogous art for the reasons described in PO’s Motion. (Paper 53,
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`pp. 23-26.) Both Falossi and Daniels are in the field of swiveling connectors for
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`cables, and not in the field of lighted trees. (Ex. 1035, 6-9, 48-59; Ex. 1147, 1:10-
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`20; Ex. 2056, ¶35, 38.) Further, Falossi and Daniels solve problems very different
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`from the problem of making trees more convenient to put together and power. (Ex.
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`1001, 2:4-5; Paper 53, p. 24.) Falossi solves the problem of connector failure in
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`swiveling connectors after alignment and connection (Ex. 1035, 1:10-27; Ex. 2056,
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`¶36-37), while Daniels solves the “problem () of preventing an unintentional
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`breakage of the electrical contact by forces applied to the cables or to the connector
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`directly” by providing interlocking contact elements. (Ex. 1147, 1:29-32, 2:3-10; Ex.
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`2056, ¶39-40.) Consequently, neither reference is pertinent to the problem faced by
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`the inventor.
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`Secondly, Petitioner repeatedly relies on the achievement of multi-alignment
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`capability as the motivation to add a third terminal to the already-coaxial connector
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`of Miller-Otto-Jumo. (Paper 69, p. 19) Petitioner on the one hand argues multi-
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`alignment motivation with respect to modifying the tree of Miller, and on the other
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`hand, argues a substitution of elements of the Otto-Jumo connector with elements of
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`McLeish (or Falossi or Daniels) (Id., p. 19.) In light of the claimed feature of an
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`electrical connection of the so-called “third” terminal to a power cord, Petitioner
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`cannot reasonably argue, and therefore has not argued, that the motivation to
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`combine any of McLeish/Falossi/Daniels lies in the desire to connect a third terminal
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`to earth ground as is sometimes done in appliances for safety reasons, and as taught
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`by McLeish. Consequently, Petitioner focuses on how a POSA would know how to
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`add a third terminal to Otto-Jumo, thereby neglecting to provide a credible reason as
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`to why a POSA would do so. (See id., pp. 20-23.) Adding a third terminal does not
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`enable multiple alignment connections, coaxial connectors do, such that the
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`purported motivation presented by Petitioner must fail. (Ex. 2056, ¶41.)
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`Further, Petitioner fails to support its “simple substitution” arguments for each
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`of McLeish, Falossi and Daniels by not sufficiently identifying the known elements
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`being substituted, nor their functions, and failing to support that such a substitution
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`would yield predictable results. (Paper 69, pp. 21-22 (concluding on p. 22 with:
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`“Thus, a POSA would have found it obvious that this simple substitution of known
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`elements would create a lighted artificial tree that connects mechanically and
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`electrically via coupling Jumo’s and McLeish’s or Falossi’s or Daniels’ male/female
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`assemblies.”); see KSR Int'l Co. v. Teleflex Inc., 550 U.S. 398, 415-421, providing
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`requirements for a substitution of elements finding of obviousness.) For example, if
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`Miller, Otto and Jumo each include two terminals, how is a third terminal a
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`substitution? If exchanging two terminals for three terminals is the substitution, what
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`are the functions of the respective terminals, and is the result predictable if two
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`terminals function as live terminals (rather than only one terminal) and one terminal
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`functions as a neutral terminal, or vice versa?
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`Petitioner fails to show that the asserted references in combination disclose
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`element 21.6. (Paper 69, pp. 28-29.) Petitioner asserts that the teachings of McLeish,
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`Falossi and Daniels would suggest to a POSA “any” electrical configuration,
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`including the electrical connections of element 21.6, such that element 21.6 is
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`disclosed. (Id.) However, none of the “benefits” accomplished by having a third
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`terminal suggest the specific connections as recited, e.g., McLeish is argued to teach
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`a benefit of avoiding electrocution (Ex. 1010, 6:38-50, 3:4-7), Falossi, the benefit of
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`improved electrical contact area (Ex. 1035, 4:30-34), and Daniels the benefit of
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`interlocking terminals (Ex. 1147, 1:29-32 , 2:3-10). Again, Petitioner focuses on how
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`connections might be made by a POSA, but does not provide a reason why beyond
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`the conclusory statement that the collective “teachings” would have suggested “any”
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`possible configuration so as to disclose element 21.6.
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`V. CLAIM 22 IS PATENTABLE OVER PRIOR ART OF RECORD,
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`INCLUDING OVER HICKS IN VIEW OF OTTO AND FURTHER IN
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`VIEW OF MCLEISH OR FALLOSI OR DANIELS
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`First, each of McLeish, Falossi and Daniels is a non-analogous reference for
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`the reasons described above, such that a POSA would not have been motivated to
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`make this combination. (See Sec. IV.).
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`Second, there would have been no motivation to combine any of McLeish,
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`Falossi or Daniels, with Hicks-Otto to arrive at the unique three-terminal tree of
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`claim 22 based on achieving multiple rotational alignments. Petitioner argues that
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`the collective teachings of the references would have motivated a POSA to “enhance
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`Hicks with McLeish’s coaxial connector” to allow electrical connection in multiple
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`rotational alignments and for ease of assembly, and that it would have been a simple
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`substitution to “swap out” the various connectors. (Paper 69, p. 32.) Such reasoning
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`fails to consider that not only would such a connector “swap” need to occur, but that
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`each of the third earth-ground/electrocution-prevention terminals of Hicks and
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`McLeish would have to be re-purposed by being connected to the power cord
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`configured to receive and transmit power. (Paper 53, p. A3, element 22.5; Ex. 2056,
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`¶42.) Not only do the “collective teachings” of the references fail to teach this
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`terminal and connection configuration of claim 22, but rather, they collectively and
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`impliedly teach away from such a configuration.
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`A reference teaches away “when a person of ordinary skill, upon reading the
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`reference would be discouraged from following the path set out in the reference, or
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`would be led in a direction divergent from the path that was taken” in the claim.1
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`Further, even if references do not expressly teach away, the references may teach
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`away impliedly if the combination would have left one of the references “inoperable
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`for its intended purpose.”2 Each of Hicks and McLeish teaches a third terminal that
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`is an earth-ground terminal, and McLeish teaches that the third terminal functioning
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`as an earth-ground terminal “reduces the possibility of electrocution” and further
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`that disengagement of the earth terminal after disengagement of live and neutral
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`power terminals reduces the possibility of sparking and arcing. (Ex. 2052, ¶32,
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`referring to Hicks, FIG. 7; Ex.1010, 6:38-50, 3:4-7.) Consequently, a Hicks-Otto-
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`McLeish/Falossi/Daniels tree having three-terminal connectors wherein none of the
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`terminals is an earth-ground, would render the intended purpose of the three-terminal
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`connector of McLeish, and the three-terminal-connector trees of Hicks, and Hicks-
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`Otto-McLeish/Falossi/Daniels inoperable. (Ex. 2056, ¶42-43.)
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`1 Galderma Labs., L.P. v. Tolmar, Inc., 737 F.3d 731, 738 (Fed. Cir. 2013.)
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`2 In re Gordon, 733 F.2d 900, 221 USPQ 1125 (Fed. Cir. 1984).
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`The combination of Hicks, Otto, and McLeish/Falossi/Daniels fails to teach
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`element 22.5. As described above, Hicks teaches a tree with three-terminal
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`connectors, with one being an earth ground terminal. Hicks also discloses a power
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`cord system, but Hicks is silent as to any particular connection of terminals to the
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`power cords, and for the reasons above, impliedly teaches away from connecting a
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`third terminal to a power cord.
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`VI. CLAIM 23 IS PATENTABLE OVER ART OF RECORD,
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`INCLUDING OVER MILLER IN VIEW OF SEGHERS AND
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`FURTHER IN VIEW OF MCLEISH OR FALLOSI OR DANIELS
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`First, each of McLeish, Falossi and Daniels is a non-analogous reference as
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`described above with respect to claim 21, resulting in a lack of motivation to
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`combine. (See Sec. IV.).
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`Second, the result of achieving mechanical advantages of multiple rotational
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`alignments between tree sections would not have provided a motivation to change
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`the number of electrical terminals in the connector of Miller, let alone specifically
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`adding a third terminal followed by connecting that third terminal to a power wire
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`of a power cord, rather than an earth ground as taught by McLeish. (Ex. 2056, ¶44-
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`45.) As pointed out by Petitioner, the tree of Miller can be modified by two-terminal
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`connectors, such as Otto-Jumo to yield a tree capable of multiple alignments. (Paper
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`2, p. 32 (describing how Otto allows for connection independent of rotational
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`orientation, and Jumo teaches a multi-position electrical connector); Paper 69, p. 40.)
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`Further, even if a POSA were to consider adding a third terminal to the connector of
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`Patent No. 9,044,056
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`Miller, McLeish impliedly teaches away from such a combination, as described
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`above with respect to claim 22. (See Sec. V.)
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`For these same reasons, the cited combination cannot teach element 23.7
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`relating to the three terminals, two terminals configured to transmit power the light
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`string and a third in electrical connection with one of the power wires of the power
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`cord. The references individually do not teach this element, and Petitioner relies on
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`the “teachings” of Miller’s two terminals connected to a light string, in combination
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`with McLeish’s (or Falossi’s or Daniels’) teaching of three terminals to suggest
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`“any” electrical connection configuration, thereby concluding that element 23.7 is
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`disclosed. (Paper 69, p. 44.) This argument is supported by a hindsight-suggestive
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`description of how a POSA would construct the tree of claim 23. (See, e.g., Ex. 1101,
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`¶¶118, 126 and 132, cited to support the conclusion that “These teachings would
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`have suggested to a POSA any variety of configurations involving electrical
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`connections between any pair of electrical terminals, especially to power light strings
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`on an artificial tree.”)
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`VII. CLAIM 24 IS PATENTABLE OVER ART OF RECORD,
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`INCLUDING OVER MILLER IN VIEW OF LOOMIS
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`Miller in view of Loomis at least fails to teach or suggest element 24.6. As
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`described in PO’s Motion, and as disclosed by Miller, each connector 13 (alleged
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`hub) provides power to only one light string 20 such that this element is neither
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`taught nor suggested by Miller-Loomis. (Paper 53, pp. 30-32.)
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`12
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`VIII. CONCLUSION
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`For the reasons stated herein, Willis Electric respectfully requests its Motion
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`Patent No. 9,044,056
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`to Amend be granted.
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`Dated: September 25, 2017
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`Respectfully submitted,
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`By /s/ Douglas J. Christensen
`Douglas J. Christensen
`Reg. No. 35,480
`Christensen Fonder Dardi
`33 South Sixth Street, Suite 3950
`Minneapolis, MN 55402
`(612) 315-4100
`
`
`Larina A. Alton
`Reg. No. 72,750
`Luke D. Toft
`Reg. No. 75,311
`FOX ROTHSCHILD LLP
`Campbell Mithun Tower
`222 South Ninth Street, Suite 2000
`Minneapolis, MN 55402
`(612) 607-7067
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`13
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`Patent No. 9,044,056
`(IPR2016-01613)
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`Certificate of Service
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`The undersigned certifies service of Reply to Petitioner’s Opposition to
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`Patent Owners Motion to Amend pursuant to 37 C.F.R. § 42.6(e) on the Petitioner
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`by email as authorized by the Petitioner in the Petition at the following:
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`
`Anup M. Shah
`anup.shah@troutmansanders.com
`Alexis N. Simpson
`alexis.simpson@troutmansanders.com
`Christopher J. Forstner
`chris.forstner@troutmansanders.com
`Robert Angle
`robert.angle@troutmansanders.com
`Dabney Carr
`dabney.carr@troutmansanders.com
`TROUTMAN SANDERS LLP
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`Jason D. Eisenberg
`jasone-ptab@skgf.com
`Sterne, Kessler, Goldstein & Fox PLLC
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`Dated: September 25, 2017
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`Respectfully submitted,
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`By: /s/ Julie Ann Anderson
`Legal Administrative Assistant to
`Larina Alton
`FOX ROTHSCHILD LLP
`Campbell Mithun Tower
`222 South Ninth Street, Suite 2000
`Minneapolis, MN 55402
`(612) 607-7545
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`51090295.v1-9/25/17
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`1
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