IN THE UNITED STATES DISTRICT COURT
`FOR THE DISTRICT OF DELA WARE
`
`NICHIA CORPORATION,
`
`Plaintiff,
`
`v.
`
`TCL MULTIMEDIA TECHNOLOGY
`HOLDINGS, LTD. and TTE TECHNOLOGY,
`INC.,
`
`Defendants.
`
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`
`Case No. 1 :16-cv-00681-RGA
`
`DEFENDANTS' INITIAL INVALIDITY CONTENTIONS
`
`Pursuant to Paragraph 4(d) of the District of Delaware Default Standard for Discovery,
`
`including Discovery of Electronically Stored Information ("ESI") ("Default Standard") and in
`
`accordance with the Scheduling Order of February 16, 2017 ("Scheduling Order") (Dkt. 28),
`
`defendants TCL Multimedia Technology Holdings, Ltd. and TTE Technology,
`
`Inc.
`
`("Defendants") provide the following initial invalidity contentions for the claims that plaintiff
`
`Nichia Corporation ("Nichia") asserted in its Default Standard Paragraph 4(c) infringement
`
`contentions, served on May 5, 2017 (collectively, the "Asserted Claims"). As set forth herein,
`
`each of the Asserted Claims is invalid pursuant to 35 U.S.C. §§ 101, 102, 103 and/or 112.
`
`I.
`
`PRELIMINARY STATEMENT & RESERVATIONS
`
`On May 5, 2017, Nichia served its Disclosure of Asserted Claims and Preliminary
`
`Infringement Contentions ("Infringement Contentions") on Defendants, alleging infringement of
`
`the following Asserted Claims:
`
`• U.S. Patent No. 7,855,092 ("the '092 Patent")- claims 1-3, 7-9, and 12-13;
`
`• U.S. Patent No. 8,309,375 ("the '375 Patent") - claim 4;
`
`• U.S. Patent No. 7,915,631 ("the '631 Patent")- claims 1-2, 4, and 6-11; and
`
`Case No. 1 :16-cv-681-RGA
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`DEFENDANTS ' INITIAL INVALIDITY CONTENTIONS
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`NICHIA EX2027
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`

`

`Asserted Patent; (2) any deposition testimony of any named inventor of the Asserted Patents and
`
`any patents or patent applications related to the Asserted Patents in this action or any other
`
`action; and (3) the papers filed and any evidence submitted by Defendants in connection with
`
`this action.
`
`D.
`
`ADDITIONAL CONTENTIONS AND LIMITATIONS ON DISCLOSURE
`
`Defendants reserve all rights to further supplement or modify these Invalidity
`
`Contentions in accordance with the Federal Rules of Civil Procedure, the Court's Scheduling
`
`Order, and the Default Standard for Discovery. In addition, Defendants expressly reserve the
`
`right to prove the invalidity and/or unenforceability of the Asserted Claims on bases other than
`
`those required to be disclosed in these Invalidity Contentions.
`
`The information set forth in these Invalidity Contentions is provided without waiving: (1)
`
`the right to object to the use of any statement for any purpose, in this action or any other action;
`
`(2) the right to object to any request involving or relating to the subject matter of the statements
`
`herein; or (3) the right to revise, correct, supplement, or clarify any of the statements provided
`
`below at any time.
`
`II.
`
`THE '092 PATENT
`
`A.
`
`Invalidity Under 35 U.S.C. § 101
`
`The Asserted Claims of the '092 Patent are invalid for failing to recite patentable subject
`
`matter under 35 U.S.C. § 101. Each of the Asserted Claims of the '092 Patent are invalid for
`
`double patenting because they cover the same invention claimed in the '375, '631 and '959
`
`Patents.
`
`Defendants' investigation concerning invalidity of the '092 Patent under Section 101 is
`
`ongoing. For example, the claim terms have not been construed, Nichia has not provided
`
`adequate infringement contentions or its proposed claim constructions, and discovery is ongoing.
`
`Case No. 1:16-cv-681-RGA
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`D EFENDANTS ' INITIAL INVALIDITY CONTENTIONS
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`NICHIA EX2027
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`Thus, Defendants reserve the right to supplement and/or amend their invalidity contentions under
`
`Section 101, including for double patenting.
`
`B.
`
`Invalidity Under 35 U.S.C. §§ 102 and 103
`
`1.
`
`Identity of Prior Art1
`
`Defendants identify the following references as prior art that anticipates and/or renders
`
`obvious the Asserted Claims of the '092 Patent under 35 U.S.C. § 102(a), (b) and (e) or 35
`
`U.S.C. § 103, either alone or in combination.
`
`United States Patents
`
`Patent No.
`U.S. Patent No. 2,452,522
`U.S. Patent No. 3,264,133
`U.S. Patent No. 3,510,732
`U.S. Patent No. 3,593,055
`U.S. Patent No. 3,654,463
`U.S. Patent No. 3,691,482
`U.S. Patent No. 3,699,478
`
`U.S. Patent No. 3,755,697
`U.S. Patent No. 3,763,405
`U.S. Patent No. 3,764,862
`U.S. Patent No. 3,774,021
`U.S. Patent No. 3,774,086
`U.S. Patent No. 3,816,576
`U.S. Patent No. 3,819,974
`
`U.S. Patent No. 3,875 ,456
`
`Date of Issue
`10/26/1948
`08/02/1966
`51511970
`07/13/1971
`04/04/1972
`09/12/1972
`10/1711972
`
`Basis
`103/State of the art
`103/State of the art
`103/State of the art
`103/State of the art
`103/State of the art
`103/State of the art
`103/State of the art
`
`08/28/1973
`10/0211973
`10/09/1973
`11/2011973
`11/20/1973
`06/11/1974
`06/2511974
`
`103/State of the art
`103/State of the art
`103/State of the art
`103/State of the art
`103/State of the art
`103/State of the art
`103/State of the art
`
`04/01/1975
`
`103/State of the art
`
`Table 1
`Inventor(s)
`H. Leverenz
`W. Brooks
`R. Amans
`J. Geusic
`J. Geusic
`D. Pinnow
`D. Pinniow
`L. Van Uitert
`D. Miller
`T. Mitsuhata
`A. Jankowski
`B. Johnson
`C. Vincent, Jr.
`F. Auzel
`D. Stevenson
`W. Rhines
`H. Maruska
`T. Kano
`T. Saitoh
`A. Suzuki
`T. Suzuki
`S. Minagawa
`Y. Otomo
`
`1 Defendants incorporate by reference all prior art references cited in the patents and patent
`publication listed herein and their file histories, as well as any patents later issuing from any
`applications listed herein.
`
`Case No. 1: 16-cv-681-RGA
`-8-
`D EFENDANTS' INIT IAL INVALIDITY C ONTENTIONS
`
`NICHIA EX2027
`
`

`

`U.S. Patent No. 3,909,788
`
`U.S. Patent No. 3,932,881
`
`U.S. Patent No. 4,024,070
`U.S. Patent No. 4,090,189
`U.S. Patent No. 4,114366
`
`U.S. Patent No. 4,167,307
`
`U.S. Patent No. 4,342,906
`U.S. Patent No. 4,479,886
`U.S. Patent No. 4,508,760
`
`U.S. Patent No. 4,550,256
`
`U.S. Patent No. 4,599,537
`U.S. Patent No. 4,641,925
`
`U.S. Patent No. 4,678,338
`
`U.S. Patent No. 4,713,577
`
`U.S. Patent No. 4,727,283
`
`U.S. Patent No. 4,766,526
`
`U.S. Patent No. 4,772,885
`
`U.S. Patent No. 4,797,890
`U.S. Patent No. 4,894,583
`
`U.S. Patent No. 4,922,103
`
`U.S. Patent No. 4,935,960
`
`G. Kaelin
`J. PelJegrino
`Y. Mita
`E. Nagasaa
`R. Schuil
`C. Fisler
`K. Renner
`C. Williams
`W. Cirkler
`H. Kriiger
`G. Hyatt
`A. Kasenga
`R. Olson
`R. Versie
`G. Berkstresser
`T.Huo
`J. Shmulovich
`S. Yamashita
`B. Gasparaitis
`P. Richardson
`K. Kitta
`Y. Kanazawa
`Y. Otomo
`D. Gualtieri
`S. Lai
`J. van Kemenade
`G. Sibers
`K. Johannes
`J. ter Vrugt
`K. Moriomoto
`H. Toki
`K. Uehara
`W. Ohta
`T. Enomoto
`F. Inaba
`G. Berkstresser
`C. Brandle, Jr.
`J. Shmulovich
`K. Kawajiri
`H. Sunagawa
`N. Nozaki
`Y. Hosoi
`K. Takahashi
`K. Takato
`T. Tojo
`K. Kinoshita
`
`09/30/1975
`
`103/State of the art
`
`01/13/1976
`
`103/State of the art
`
`05/17/1977
`05116/1978
`09/19/1978
`
`103/State of the art
`103/State of the art
`103/State of the art
`
`09/11/1979
`
`103/State of the art
`
`08/03/1972
`10/30/1984
`04/02/1985
`
`103/State of the art
`103/State of the art
`103/State of the art
`
`10/29/1985
`
`103/State of the art
`
`07/08/1986
`02/10/1987
`
`103/State of the art
`103/State of the art
`
`07/07/1987
`
`103/State of the art
`
`12/15/1987
`
`103/State of the art
`
`02123/1988
`
`103/State of the art
`
`08/23/1988
`
`103/State of the art
`
`09/20/1988
`
`103/State of the art
`
`01110/1989
`01/16/1990
`
`103/State of the art
`103/State of the art
`
`05/01/1990
`
`103/State of the art
`
`06/19/1980
`
`103/State of the art
`
`Case No. 1: l 6-cv-681-RGA
`-9-
`DEFENDANTS ' INITIAL INVALIDITY CONTENTIONS
`
`NICHIA EX2027
`
`

`

`U.S. Patent No. 4,966,862
`U.S. Patent No. 4,975,808
`
`U.S. Patent No. 4,992,704
`U.S. Patent No. 4,992,837
`
`U.S. Patent No. 5,001,609
`
`U.S. Patent No. 5,004,948
`
`U.S. Patent No. 5,027,168
`U.S. Patent No. 5,058,997
`
`U.S. Patent No. 5,091 ,794
`U.S. Patent No. 5,097,145
`U.S. Patent No. 5, 118,985
`
`U.S. Patent No. 5,126,214
`
`U.S. Patent No. 5,126,868
`
`U.S. Patent No. 5,132,825
`U.S. Patent No. 5,153,889
`
`U.S. Patent No. 5,177,593
`U.S. Patent No. 5,189,496
`U.S. Patent No. 5,198,479
`
`Y. Yamamoto
`J. Edmond
`D. Bond
`K. Kaschke
`J. Stinson
`K. Sakai
`Y. Kushiro
`K. Nishimura
`R. Garner
`D. Silverglate
`G. Smestad
`G. Smith
`J. Snyder
`P. Kinczel
`L. Balazs
`G. Saio
`J. Edmond
`J. Dickerson
`N. Poley
`S. Suzuki
`S. Hayashi
`R. Patton
`K. Mishra
`E. Dale
`C. Lagos
`H. Tokailin
`C. Hosokawa
`T. Kusomoto
`S. Kizaki
`T. Ono
`K. Kozima
`M. Itakura
`T. Aoki
`S. Miyadera
`H. Sugawara
`M. Ishikawa
`Y. Kokubun
`Y. Nishikawa
`S. Naritsuka
`K. Itaya
`G. Hatakoshi
`M. Suzuki
`M.Abe
`M.Kuwawa
`T. Shiobara
`K. Futatsumori
`
`10/30/1990
`12/04/1990
`
`103/State of the art
`103/State of the art
`
`02/12/1991
`02/1211991
`
`103/State of the art
`103/State of the art
`
`03/19/1991
`
`103/State of the art
`
`04/02/1991
`
`103/State of the art
`
`06/25/1991
`10/22/1991
`
`103/State of the art
`103/State of the art
`
`02/25/1992
`03/17/1992
`06/02/1992
`
`103/State of the art
`103/State of the art
`103/State of the art
`
`06/30/1992
`
`103/State of the art
`
`12/22/1989
`
`103/State of the art
`
`07/2111992
`10/06/1992
`
`103/State of the art
`103/State of the art
`
`01/05/1993
`02/23/1993
`03/30/1993
`
`103/State of the art
`103/State of the art
`103/State of the art
`
`Case No. 1:16-cv-681-RGA
`-10-
`DEFENDANTS ' INITIAL INV ALIDITY CONTENTIONS
`
`NICHIA EX2027
`
`

`

`U.S. Patent No. 5,208,462
`
`U.S. Patent No. 5,254,849
`
`U.S. Patent No. 5,291,507
`
`U.S. Patent No. 5,302,025
`U.S. Patent No. 5,332,906
`
`U.S. Patent No. 5,338,944
`
`U.S. Patent No. 5,343,323
`
`U.S. Patent No. 5,350,650
`
`U.S. Patent No. 5,369,289
`
`U.S. Patent No. 5,405,709
`
`U.S. Patent No. 5,439,705
`U.S. Patent No. 5,440,197
`U.S. Patent No. 5,442,467
`
`U.S. Patent No. 5,463,212
`
`U.S. Patent No. 5,499,120
`U.S. Patent No. 5,512,336
`U.S. Patent No. 5,514,627
`
`K. Arai
`J. O'Connor
`0. Aina
`H. Murakami
`M. Funada
`M. Haase
`H. Cheng
`J. DePuydt
`J. Qiu
`M. Kleinerman
`R. Lauf
`S. McElhaney
`J. Bates
`J. Edmond
`H. Kong
`V. Dmitriev
`G. Bulman
`M. Lynn
`G. Miller
`J. Gasper
`G. Evans
`C. Rider
`M. Simons
`M. Tamaki
`T. Kozawa
`J. Littman
`S. VanSlyke
`K. Budd
`P. Gleckman
`L. Silverstein
`T. Fiske
`R. Bruce
`R. Sprague
`R. Oshima
`R. Ohiwa
`M. Nishida
`T. Matsumoto
`A. Itoh
`Y. Takeuchi
`I. Hansen
`M. Yamahara
`C. Lowery
`D. Mc El fresh
`S. Burchet
`D. Adolf
`J. Martin
`
`05/04/1993
`
`103/State of the art
`
`10/19/1993
`
`103/State of the art
`
`03/01/1994
`
`103/State of the art
`
`04/12/1994
`07/26/1994
`
`103/State of the art
`103/State of the art
`
`08/16/1994
`
`103/State of the art
`
`08/30/1994
`
`103/State of the art
`
`09/27/1994
`
`103/State of the art
`
`11/29/1994
`
`103/State of the art
`
`04/11/1995
`
`103/State of the art
`
`08/08/1995
`08/08/1995
`08/15/1995
`
`103/State of the art
`103/State of the art
`103/State of the art
`
`10/31/1995
`
`103/State of the art
`
`03/12/1996
`04/30/1996
`05/07/1996
`
`103/State of the art
`103/State of the art
`103/State of the art
`
`Case No. 1 :16-cv-681-RGA
`-11-
`DEFEND ANTS' INm AL INVALIDITY C ONTENTIONS
`
`NICHIA EX2027
`
`

`

`U.S. Patent No. 5,535,027
`
`U.S. Patent No. 5,563,422
`
`U.S. Patent No. 5,565,694
`
`U.S. Patent No. 5,578,839
`
`U.S. Patent No. 5,583,349
`
`U.S. Patent No. 5,586,879
`U.S. Patent No. 5,589,786
`
`U.S. Patent No. 5,594,751
`U.S. Patent No. 5,608,554
`
`U.S. Patent No. 5,660,461
`
`U.S. Patent No. 5,666,031
`
`U.S. Patent No. 5,670,798
`U.S. Patent No. 5,684,354
`U.S. Patent No. 5 695 269
`
`U.S. Patent No. 5,777,350
`
`U.S. Patent No. 5,796,376
`U.S. Patent No. 5,798,537
`U.S. Patent No. 5,825,125
`
`N. Kimura
`Y. Ishii
`M. Yoshida
`M. Matsuura
`A. Hatano
`Y. Narutaki
`S. Fujiwara
`Y. Izumi
`Y. Yamamoto
`S. Nakamura
`T. Yamada
`M. Senoh
`M. Yamada
`K. Bando
`K. Huang
`R. Chen
`S. Nakamura
`T. Mukai
`N. Iwasa
`M. Norman
`P. Holm
`A. Szpak
`V. Bella
`P.Pellegrino
`J. Scott
`Y. Do
`Y. You
`K. Jeong
`Y. You
`R. Ignatius
`T. Martin
`S. Jennato
`H. Rothwell, Jr.
`J. Schetzina
`P. Gleckman
`R. Lippmann
`M. Schnars
`J. Nelson
`M. Miller
`S. Nakamura
`S. Nagahama
`N. Iwasa
`H. Kiyoku
`A. Banks
`K. Toshiba
`F. Ligthart
`
`07/09/1996
`
`103/State of the art
`
`10/08/1996
`
`103/State of the art
`
`10/15/1996
`
`103/State of the art
`
`11/26/1996
`
`103/State of the art
`
`12/10/1996
`
`103/State of the art
`
`12/24/1996
`12/31/1996
`
`103/State of the art
`103/State of the art
`
`01/14/1997
`03/04/1997
`
`103/State of the art
`103/State of the art
`
`08/26/1997
`
`103/State of the art
`
`09/09/1997
`
`103/State of the art
`
`09/23/1997
`11/04/1997
`12/09/1997
`
`103/State of the art
`103/State of the art
`103/State of the art
`
`0710711998
`
`103/State of the art
`
`08/18/1998
`08/25/1998
`10/20/1998
`
`103/State of the art
`103/State of the art
`103/State of the art
`
`Case No. 1:16-cv-681-RGA
`-12-
`DEFENDANTS' INITIAL INVALIDITY CONTENTIONS
`
`NICHIA EX2027
`
`

`

`U.S. Patent No. 5,861,636
`
`U.S. Patent No. 5,907,222
`
`U.S. Patent No. 5,945,689
`
`U.S. Patent No. 5,966,393
`
`U.S. Patent No. 6,245,259
`
`U.S. Patent No. 6,258,617
`
`U.S. Patent No. 6,307,218
`
`U.S. Patent No. 6,600,175
`
`U.S. Patent No. 6,828,170
`
`U.S. Patent No. 7,615,795
`
`U.S. Patent No. 8,071,996
`
`U.S. Patent No. 8,963,182
`
`R. DeMan
`C. Roozekrans
`D. Van Der Voort
`A. Dutta
`A. Suzuki
`J. Lengyel
`L. Spears
`M. Kolke
`S. Asami
`F. Hide
`S. DenBaars
`A. Reeger
`P. Schlotter
`K. Hohn
`A. Debray
`R.Schmidt
`J. Schneider
`K. Nitta
`H. Fujifmoto
`M. Ishikawa
`D. Steigerwald
`S. Rudaz
`K. Thomas
`S. Lester
`P. Martin
`W. Imler
`R. Fletcher
`F. Kish, Jr.
`S. Maranowski
`B. Baretz
`M. Tischler
`J. Roberts
`J. Stam
`S. Reese
`R. Turnbull
`B. Baretz
`M. Tischler
`K. Hohn
`A. Debray
`P. Schlotter
`R. Schmidt
`J. Schneider
`B. Baretz
`M. Tischler
`
`01/19/1999
`
`103/State of the art
`
`05/25/1999
`
`103/State of the art
`
`08/31/1999
`
`103/State of the art
`
`10/12/1999
`
`103/State of the art
`
`06/12/2001
`
`103/State of the art
`
`07/10/20001
`
`103/State of the art
`
`10/23/2001
`
`103/State of the art
`
`07/29/2003
`
`102/103/State of the art
`
`12/07/2004
`
`103/State of the art
`
`11/10/2009
`
`103/State of the art
`
`12/06/2011
`
`103/State of the art
`
`02/24/2015
`
`103/State of the art
`
`Case No. 1: l 6-cv-681-RGA
`-13-
`DEFENDANTS ' INITIAL INVALIDITY CONTENTIONS
`
`NICHIA EX2027
`
`

`

`Foreign Patents and Patent Applications
`
`Patent No.
`
`CA 1144743
`
`DE 3804293
`
`DE 4218289
`
`DE 4442599
`
`DE 4442706
`
`DE 8907530
`
`DE 19655445
`
`EP 0647694
`
`EP 0716457
`
`EP 1221724
`
`GB 1305111
`
`GB 1332462
`
`GB 1417802
`
`GB 2000173
`
`GB 2282600
`
`Japanese Patent Pub. No. S50-79379
`
`Japanese Patent Pub. No. 05-183782
`
`Japanese Patent Pub. No. H08-78732
`
`Table 2
`Inventor(s)
`C. Chenot
`E. Dale
`M. Friedrich
`W. Guenter
`D. Kardon
`C. Moore
`M. Haase
`H. Bechtel
`M. Haase
`H. Bechtel
`Z. Contraves
`
`R. Schmidt
`P. Schlotter
`J. Schneider
`J. Kido
`
`S. Nakamura
`S. Nagahama
`N. Iwasa
`H. Kiyoku
`A. Debray
`K. Hohn
`P. Schlotter
`R. Schmidt
`K. Schneider
`D. Pinnow
`L. Van Uitert
`TCA Corp.
`
`M. Van Tol
`J. Robertson
`J. Hay
`B. Woodfine
`Fujitsu, Ltd.
`
`T. Hiroshi
`M. Yoshito
`0. Hideki
`H. Hironobu
`
`03/22/1996
`
`103/State of
`
`Case No. 1:16-cv-681-RGA
`-14-
`DEFENDANTS' INITIAL INVALIDITY CONTENTIONS
`
`Date of Issue
`04119/1983
`
`08/24/1989
`
`12/1011992
`
`11/30/1994
`
`12/01/1994
`
`08/03/1989
`
`09/22/2016
`
`10/13/ 1994
`
`06/12/1996
`
`Basis
`103/State of
`the art
`103/State of
`the art
`103/State of
`the art
`103/State of
`the art
`103/State of
`the art
`103/State of
`the art
`103/State of
`the art
`
`103/State of
`the art
`103/State of
`the art
`
`07/10/2002
`
`103/State of
`the art
`
`01/31/1973
`
`10/03/1973
`
`01/04/1979
`
`04/12/1995
`
`11/24/1973
`
`07/23/1993
`
`103/State of
`the art
`103/State of
`the art
`103/State of
`the art
`103/State of
`the art
`103/State of
`the art
`103/State of
`the art
`103/State of
`the art
`
`M. Lincoln
`
`12/1711975
`
`NICHIA EX2027
`
`

`

`Japanese Patent Pub. No. 2003051620
`
`0. Tadahiro
`
`02/21/2003
`
`Japanese Patent Pub. No. 2004335740
`
`Japanese Patent Pub. No. 2004311857
`
`K. Yasuki
`N. Shinobu
`W. Masaaki
`T. Yasuji
`
`11/25/2004
`
`11/04/2004
`
`Japanese Patent Pub. No. 07-176794
`
`Y. Shimizu
`
`07114/1995
`
`Japanese Patent Pub. No. H02-261285
`
`Japanese Patent Pub. No. H04-264188
`
`T. Kazutaka
`K. Masaru
`M. Naoyuki
`
`01/24/1990
`
`09/18/1992
`
`Japanese Patent Pub. No. H04-269718
`
`N. Y oshihiro
`
`09/25/1992
`
`Japanese Patent Pub. No. H04-63162
`
`M. Susumu
`
`05/29/1992
`
`Japanese Patent Pub. No. H05-152609
`
`Y. Tadatsu
`
`06/18/1993
`
`Japanese Patent Pub. No. H06-207170
`
`Japanese Patent Pub. No. H07-66457
`
`Japanese Patent Pub. No. H07-99345
`
`S. Hiroshi
`M Masahide
`A. Hisahiro
`K. Tadashi
`Y. Sadahisa
`N. Hisashi
`K. Matoba
`
`Japanese Patent Pub. No. H08-32121
`
`N. Eiji
`
`07/26/1994
`
`03/10/1995
`
`04/11/1995
`
`02/02/1996
`
`Japanese Patent Pub. No. H08-7614
`
`S. Y oshinori
`
`01/12/1996
`
`Japanese Patent Pub. No. H08-78732
`
`N. Hironobu
`
`03/22/1996
`
`Japanese Patent Pub. No. H09-73807
`
`N. Eiji
`
`Japanese Patent Pub. No. H52-40959
`
`Japanese Patent Pub. No. 851-13589
`
`H. Takashi
`T. Akio
`T. Tanaka
`
`03/18/1997
`
`10/15/1977
`
`02/03/1976
`
`Japanese Patent Pub. No. 858-043584
`
`I. Shiyunzou
`
`03/14/1983
`
`the art
`103/State of
`the art
`103/State of
`the art
`
`103/State of
`the art
`102/103/State
`of the art
`103/State of
`the art
`103/State of
`the art
`103/State of
`the art
`103/State of
`the art
`102/103/State
`of the art
`103/State of
`the art
`
`103/State of
`the art
`103/State of
`the art
`103/State of
`the art
`103/State of
`the art
`103/State of
`the art
`103/State of
`the art
`103/State of
`the art
`103/State of
`the art
`103/State of
`the art
`
`Case No. 1: 16-cv-681-RGA
`-15-
`DEFENDANTS' INITIAL INVALIDITY CONTENTIONS
`
`NICHIA EX2027
`
`

`

`Non-Patent Prior Art Publications
`
`Authors
`
`Table 3
`Title and Publication
`
`P. Schlotter
`R. Schmidt
`J. Schneider
`D. Pinnow
`L. Van Uitert
`M. Feldman
`
`J. Robertson
`M. Van Toi
`W. Smits
`J. Heynen
`M. Hoffman
`
`G. Blasse
`B. Grabmaier
`H. Rossotti
`
`S. Gage
`M. Hodapp
`D. Evans
`H. Sorensen
`S. Nakamura
`T. Mukai
`M. Senoh
`
`F. Auzel
`
`G. Wyszecki
`W.S. Stiles
`
`H. Maruska
`
`T. Kano
`H. Yamamoto
`Y. Otomo
`
`Luminescence Conversion of Blue
`Light Emitting Diodes, Applied
`Physics A 64, 417-18
`Photoluminescent Conversion of
`Laser Light for Black and White
`and Multicolor Displays, Applied
`Optics, Vol. 10, No. 1
`Colour shift of the CE+ Emission in
`Monocrystalline Epitaxially Grown
`Garnet Layers, Philips J. Res. 36
`
`Improved Color Rendition in High
`Pressure Mercury Vapor Lamps,
`of
`the
`Illuminating
`Journal
`Engineering Society, Vol. 6, No. 2
`Luminescent Materials, Springer-
`Verlag
`Colour, Why the World Isn't Grey,
`Princeton Science Library
`Optoelectronics Applications
`Manual, Hewlett-Packard
`Optoelectronics Division
`
`Candela-class high-brightness
`InGaN/ AIGaN double-
`heterostructure blue-light emitting
`diodes, Appl. Phys. Lett. 64 (13)
`and Devices Using
`Materials
`Double-Pumped Phosphors with
`Energy Transfer, Proceedings of the
`IEE, Vol. 61, No. 6
`Color Scicence, Concepts and
`Methods, Quantitative Data and
`Formulas, Jon Wiley & Sons, Inc.
`Light-Emitting
`Gallium Nitride
`Diodes, Thesis (Ph.D.)--Dept. of
`Materials Science and Engineering,
`Stanford University
`Efficient Green-Emitting Infrared-
`Excited Phosphors, J. Electrochem.
`Soc.: Solid State Science and
`
`Date of
`Publication
`02/27/1997
`
`1971
`
`1981
`
`1977
`
`1994
`
`1985
`
`1977
`
`Basis
`
`102/103/State
`of the art
`
`103/State of
`the art
`
`103/State of
`the art
`
`103/State of
`the art
`
`103/State of
`the art
`103/State of
`the art
`103/State of
`the art
`
`03/28/ 1994
`
`103/State of
`the art
`
`06/1973
`
`103/State of
`the art
`
`1967
`
`1974
`
`103/State of
`the art
`
`103/State of
`the art
`
`11/1972
`
`103/State of
`the art
`
`Case No. 1: l 6-cv-681-RGA
`-16-
`D EFENDANTS ' INITIAL INVALIDITY CONTENTIONS
`
`NICHIA EX2027
`
`

`

`S. Nakamura
`M.Senoh
`N. Iwasa
`S.Nagahama
`S. Nakamura
`M.Senoh
`N. Iwasa
`S.Nagahama
`W. O'Mara
`
`Technolo!:!v
`Single-
`JnGaN
`High-Power
`Quantum-Well-Structure Blue and
`Violet
`Light-Emitting Diodes,
`Applied Physics Letters 67, 1868
`InGaN-Based Multi-Quantum-Well-
`Structure Laser Diodes, Jpn. J.
`Appl. Phys. Vol. 35, L74
`
`Liquid Crystal Flat Panel Displays:
`&
`Manufacturing
`Science
`Van
`Nostrand
`Technology,
`Reinhold
`
`Prior Art Systems and Products
`
`1995
`
`1996
`
`1993
`
`103/State of
`the art
`
`103/State of
`the art
`
`103/State of
`the art
`
`Defendants contend that at least some of the systems and products that relate to one or
`
`more of the prior art references identified above are prior art under 35 U.S.C. §§ 102 (a), (b)
`
`and/or (g), and/or§ 103. Defendants do not have complete information regarding the dates by
`
`which some of the products described in the prior art references were publicly disclosed, used,
`
`sold, or offered for sale, the circumstances under which the research, design, and development
`
`activities were conducted, and the identities of the particular individuals involved in such
`
`activities through publicly available patents, publications, and product literature. Defendants
`
`anticipate that the actual dates, circumstances, and identities of individuals will be the subject of
`
`third-party discovery during this case.
`
`To the extent the inventions identified in the patents, publications, systems, and other
`
`prior art to the '092 Patent identified in these Invalidity Contentions were conceived by another
`
`and diligently reduced to practice before the alleged conception and reduction to practice of the
`
`Asserted Claims of the '092 Patent, Defendants allege that such prior art inventions invalidate
`
`the Asserted Claims of the '092 Patent under 35 U.S.C. § 102 (g).
`
`Case No. 1 :16-cv-681-RGA
`-17-
`DEFENDANTS ' INITIAL INVALIDITY C ONTENTIONS
`
`NICHIA EX2027
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`

`

`To the extent not listed herein, Defendants also incorporate (i) all references cited in any
`
`of the aforementioned prior art and all family members of prior art patents, (ii) all references and
`
`prior art cited in or on the face of the '092 Patent and during prosecution of the application
`
`giving rise to the '092 Patent, (iii) all references and prior art cited in or on the face of any
`
`related patent and patent application (including but not limited to continuations, continuations-in-
`
`part and divisional applications claiming priority to the same application as the '092 Patent) and
`
`the prosecution of such patents and applications; and (iv) the references cited in any invalidity
`
`contentions in any pending or future action or proceeding involving the '092 Patent. Defendants
`
`reserve the right to rely on these references in any way to prove the invalidity of the asserted
`
`claims of the '092 Patent.
`
`2.
`
`Initial Invalidity Charts
`
`In Part II.B.1, Defendants identified certain pnor art references that anticipate the
`
`Asserted Claims under at least 35 U.S.C. §§ 102 (a), (b), (e), and/or (g), either expressly or
`
`inherently, and/or render obvious the Asserted Claims under 35 U.S.C. § 103 either alone or in
`
`combination with other references.
`
`Exemplary citations to and disclosures in certain prior art references are shown in the
`
`Prior Art Invalidity Charts in Exhibits 092-1 to 092-4. Persons having ordinary skill in the art
`
`may view the prior art references generally or in the context of other publications, literature,
`
`products, and understanding. Defendants incorporate by reference the references cited by the
`
`prior art references that Defendants identify in their Prior Art Invalidity Charts. Defendants
`
`reserve the right to rely on uncited portions of the prior art references and on other publications
`
`and expert testimony as aids in understanding and interpreting the cited portions, as providing
`
`context thereto, and as additional evidence that a claim limitation is known or disclosed. The
`
`citations may be evidence of express or inherent disclosure in the reference. To the extent that
`
`Case No. 1: l 6-cv-681-RGA
`-18-
`UEFEN DA NTS' INITIAL INVALIDITY CONTENTIONS
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`NICHIA EX2027
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`

`

`the Court finds that a prior art reference does not expressly disclose certain limitations in the
`
`Asserted Claims, such limitations would have been inherent and/or obvious. By mapping the
`
`claim language of the Asserted Claims to the prior art references, Defendants do not imply or
`
`admit that the claim language satisfies 35 U.S.C. § 112 or that the claim language has patentable
`
`weight.
`
`Nothing in these Invalidity Contentions shall be treated as an admission or suggestion
`
`that any of Defendants' accused products meet any limitation of any Asserted Claim. defendants
`
`deny infringement of each Asserted Claim. Citations from the identified prior art references are
`
`not a ratification or acceptance of the manner in which Nichia applies particular claim elements
`
`to the features and functions of Defendants' accused technology (if at all).
`
`In certain
`
`circumstances, the citations are intended to demonstrate and provide notice that, if certain claim
`
`elements are applied against the prior art in the same manner as Nichia appears to have applied
`
`them in its Infringement Contentions, then certain prior art discloses those claim elements to the
`
`same extent. The prior art references may alternatively or also disclose the same claim element
`
`if the claim elements are applied differently than in Nichia's Infringement Contentions.
`
`Where Defendants cite to a particular figure in a reference, the citation should be
`
`understood to encompass the caption and description of the figure and any text relating to the
`
`figure. Where Defendants cite to particular text referring to a figure, the citation should be
`
`understood to include the figure as well. Defendants further reserve the right to rely on uncited
`
`portions of the prior art references, other publications, and testimony to establish bases for
`
`combinations of certain prior art references that render the asserted claims obvious. Further, for
`
`any combination, Defendants reserve the right to rely additionally on information generally
`
`known to those skilled in the art and/or common sense.
`
`Case No. 1:16-cv-681-RGA
`-19-
`DEFENDANTS' INITI AL INVALIDITY CON E TIONS
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`NICHIA EX2027
`
`

`

`Where an individual reference is cited with respect to all aspects of an Asserted Claim,
`
`Defendants contend that the reference anticipates the claim under 35 U.S.C. §§ 102 (a), (b), (e),
`
`and/or (g) and also renders obvious the claim under 35 U.S.C. § 103, both by itself in view of the
`
`knowledge of a person of ordinary skill in the art. Where an individual reference is cited with
`
`respect to fewer than all elements of an Asserted Claim or is not found to disclose one or more
`
`elements of an Asserted Claim, Defendants contend that the reference renders obvious the claim
`
`under 35 U.S.C. § 103 (a) in view of each other reference and combination of references that
`
`discloses the remaining claim element(s), as indicated in the claim charts submitted herewith.
`
`Exemplar motivations to combine references are discussed below.
`
`Defendants further reserve the right to assert that the Asserted Claims are invalid under
`
`35 U.S.C. § 102(f) in the event that Defendants obtain evidence that the named inventors of the
`
`'092 Patent did not invent (either alone or in conjunction with others) the subject matter of the
`
`Asserted Claims. Should Defendants obtain such evidence, Defendants will provide the name of
`
`the person(s) from whom and the circumstances under which the invention or any part of it was
`
`derived. Defendants further intends to rely on inventor admissions regarding the scope of the
`
`Asserted Claims or of the prior art relevant to the Asserted Claims found in inter alia: the patent
`
`prosecution history for the '092 Patent and related patents and/or patent applications; any
`
`deposition testimony of any of the named inventors of the '092 Patent; and the papers that Nichia
`
`files and any evidence that it submits in conjunction with this litigation, any related litigation, or
`
`proceedings before the United States Patent and Trademark Office. To the extent any
`
`information is identified under § 102 (f), Defendants reserves the right to contend that the '092
`
`Patent are invalid for failure to name the correct inventorship, and/or to contend that Nichia lacks
`
`standing to bring this case with respect to the '092 Patent.
`
`Case No. 1:16-cv-681-RGA
`-20-
`D EFENDANTS ' INITlAL INVALIDITY C ONTENTIONS
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`NICHIA EX2027
`
`

`

`Defendants also may rely upon the disclosures of the references cited and/or discussed
`
`during the prosecution of the '092 Patent or any post-grant proceedings involving the '092
`
`Patent, and/or the assertions presented regarding any such references. Defendants may also rely
`
`upon the disclosures, and express or implicit admissions, in the '092 Patent as to features and
`
`functionality that were known in the prior art as well as any disclosures incorporated by
`
`reference to the '092 Patent. Defendants may rely on additional citations, references, expert
`
`testimony, and other material to provide context or to aid in understanding the cited portions of
`
`the references, inherent disclosures, and/or cited features of the prior art systems. Defendants
`
`also may rely on expert testimony explaining relevant portions of references, inherent
`
`disclosures, relevant hardware or software products or systems, and other discovery regarding
`
`these subject matters.
`
`For all of the reasons stated above and herein, Defendants reserves the right to
`
`supplement these Invalidity Contentions, including the charts submitted herewith, as appropriate.
`
`3.
`
`Motivation to Combine
`
`Each prior art reference identified in the Prior Art Invalidity Charts in Exhibits 092-1 to
`
`092-4 may be combined with the other prior art references therein to render obvious the Asserted
`
`Claims in combination. A prior art reference's disclosures may also be combined with
`
`information known to persons skilled in the art at the time of the alleged invention, and
`
`understood and supplemented in view of the common sense of persons skilled in the art at the
`
`time of the alleged invention. In addition to the anticipatory references described in these
`
`Invalidity Contentions, the '092 Patent is invalid based on obviousness.
`
`In general, a claimed invention is unpatentable if the differences between it and the prior
`
`art "are such that the subject matter as a whole would have been obvious at the time the
`
`invention was made to a person having ordinary skill in the art." 35 U.S.C. § 103(a); Graham v.
`
`Case No. 1:16-cv-681-RGA
`-21-
`D EFENDANTS ' INlTT AL INVALIDITY CONTENTIONS
`
`NICHIA EX2027
`
`

`

`John Deere Co., 383 U.S. 1, 13-14 (1966). Each prior art reference identified above and
`
`described in Defendant's prior art charts, either alone or in combination with other prior art, also
`
`renders the Asserted Claims invalid as obvious. In particular, each prior art reference may be
`
`combined with (1) information known to persons skilled in the art at the time of the alleged
`
`invention, (2) any of the other anticipatory prior art references, and/or (3) any of the additional
`
`prior art identified above and in the charts attached hereto.
`
`Specific combinations of prior art, by way of example, are provided below. In addition,
`
`Defendant incorporates by reference each and every prior art reference of record in the
`
`prosecution of the '092 Patent and related applications (including any IPRs or post-grant
`
`proceedings), including the statements made therein by the applicant, as well as the prior art
`
`discussed in the specification.
`
`In view of the Supreme Court's KSR International Co. v. Teleflex Inc., 550 U.S. 398, 127
`
`S.Ct. 1727, 1739 (2007) ("KSR") decision, the USPTO issued a set of Examination Guidelines.
`
`See Examination Guidelines for Determining Obviousness Under 3 5 US. C. § 103 in View of the
`
`Supreme Court Decision in KSR International Co. v. Teleflex Inc., 72 Fed. Reg. 57,526 (Oct. 10,
`
`2007). Those Guidelines summarized the KSR decision, and identified various rationales for
`
`finding a claim obvious, including those based on other precedents. Those rationales include:
`
`• Combining prior art elements according to known methods to yield predictable results;
`
`• Simple substitution of one known element for another to obtain predictable results;
`
`• Use of known technique to improve similar devices (methods, or products) in the same
`
`way;
`
`Case No. 1 :16-cv-681-RGA
`-22-
`DEFENDANTS' INITIAL INVALIDITY C ONTENTIONS
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`NICHIA EX2027
`
`

`

`• Applying a known technique to a known device (method, or product) ready for
`
`improvement to yield predictable results; (D) Applying a known technique to a known
`
`device (method, or product) ready for improvement to yield predictable result