`IPR2022-00222
`Patent No. 10,621,228
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`UNITED STATES PATENT AND TRADEMARK OFFICE
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`SAMSUNG ELECTRONICS CO., LTD.
`Petitioner
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`v.
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`MEMORYWEB, LLC
`Patent Owner
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`Patent No. 10,621,228
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`Inter Partes Review No. IPR2022-00222
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`
`PATENT OWNER’S BRIEF ADDRESSING ADDITIONAL DISCOVERY
`IN SUPPORT OF ITS MOTION TO TERMINATE AND
`AUTHORIZATION FOR THIRD PARTY SUBPOENAS TO UNIFIED
`PATENTS
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`IPR2022-00222 Patent Owner’s Brief on Additional Discovery and Subpoenas
`Patent No. 10,621,228
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`TABLE OF CONTENTS
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`Page(s)
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`1.
`2.
`3.
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`1.
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`I.
`INTRODUCTION ............................................................................................... 1
`II. FACTUAL BACKGROUND .............................................................................. 1
`A.
`The Unified IPR ......................................................................................... 1
`The Board’s RPI Order and Final Written Decision ............................. 2
`Unified’s Request for Director Review ................................................. 3
`Unified’s Confidential Information ....................................................... 4
`Samsung’s IPR ............................................................................................ 5
`B.
`C. MemoryWeb Promptly Sought to Terminate this IPR in View of the
`Unified RPI Order ................................................................................. 5
`III. LEGAL STANDARDS ........................................................................................ 6
`A.
`Real-Party-in-Interest ................................................................................. 6
`RPI Procedure ........................................................................................ 7
`Estoppel and Termination ......................................................................... 11
`B.
`Additional Discovery ................................................................................ 12
`C.
`IV. SAMSUNG’S RPI STATUS IN THE UNIFIED IPR CAN GIVE RISE TO
`ESTOPPEL .............................................................................................................. 12
`V. MEMORYWEB’S MOTION FOR AUTHORIZATION TO APPLY FOR
`DOCUMENT AND DEPOSITION SUBPOENAS ................................................ 15
`A. Garmin Factor 1 ....................................................................................... 16
`B.
`Garmin Factor 2 ....................................................................................... 17
`C.
`Garmin Factor 3 ....................................................................................... 17
`D. Garmin Factors 4 and 5 ............................................................................ 18
`VI. MEMORYWEB’S MOTION FOR ADDITIONAL DISCOVERY FROM
`SAMSUNG .............................................................................................................. 19
`A. Garmin Factor 1 ....................................................................................... 20
`B.
`Garmin Factor 2 ....................................................................................... 20
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`C.
`Garmin Factor 3 ....................................................................................... 20
`D. Garmin Factors 4 and 5 ............................................................................ 21
`VII.
`CONCLUSION ................................................................................... 21
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`TABLE OF AUTHORITIES
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` Page(s)
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`Cases
`Apple Inc. v. Papst Licensing GmbH & Co., KG,
`IPR2016-01860, Paper 28 (PTAB Jan. 10, 2018) .............................................. 12
`
`
`Applications in Internet Time, LLC v. RPX Corp.,
`897 F.3d 1336 (Fed. Cir. 2018) .................................................................. 6, 8, 15
`
`
`Cal. Inst. of Tech. v. Broadcom Ltd.,
`25 F.4th 976 (Fed. Cir. 2022) ............................................................................. 11
`
`
`Garmin Int’l Inc. v. Cuozzo Speed Techs. LLC,
`IPR2012-00001, Paper 26 (PTAB Mar. 5, 2013) ........................................passim
`
`
`Glob. Shade Corp. v. with-U E-Com. (Shanghai) Co., Ltd.,
`IPR2021-00365, Paper 36 (PTAB July 25, 2022) .............................................. 14
`
`
`
`Intuitive Surgical, Inc. v. Ethicon LLC,
`IPR2018-01248, Paper 34 (PTAB Feb. 6, 2020) ................................................ 12
`
`
`Ironburg Inventions Ltd. v. Valve Corp.,
`64 F.4th 1274 (Fed. Cir. 2023) ........................................................................... 11
`
`
`Kofax, Inc. v. Uniloc USA, Inc. et al.,
`IPR2015-01207, Paper 22 (PTAB June 2, 2016) ............................................... 10
`
`
`Kofax, Inc. v. Uniloc USA, Inc. et al.,
`IPR2015-01207, Paper 24 (PTAB July 20, 2016) .............................................. 10
`
`
`Redline Detection, LLC v. Star Envirotech, Inc.,
`811 F.3d 435 (Fed. Cir. 2015) ............................................................................ 14
`
`
`RPX Corp. v. Applications in Internet Time, LLC,
`IPR2015-01750, Paper 128 (PTAB Oct. 2, 2020) ............................................ 7, 8
`
`
`SharkNinja Operating LLC v. iRobot Corp.,
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`iii
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`IPR2020-00734, Paper 11 (PTAB Oct. 6, 2020) .................................................. 9
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`
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`Telefonaktiebolaget LM Ericsson v. TCL Corp.,
`941 F.3d 1341 (Fed. Cir. 2019) .......................................................................... 14
`
`
`Valve Corp. v. Ironburg Inventions Ltd.,
`IPR2017-00136, Paper 43 (Jan. 25, 2018) .......................................................... 12
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`Worlds Inc., v. Bungie, Inc.,
`
`903 F.3d 1237 (Fed. Cir. 2018) ........................................................................ 6, 8
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`Statutes
`35 U.S.C. § 24 .......................................................................................................... 15
`35 U.S.C. § 312 ...................................................................................................... 6, 8
`35 U.S.C. § 315(e)(1) ....................................................................................... 2, 5, 11
`
`Regulations
`37 C.F.R. § 42.8 ......................................................................................................... 6
`37 C.F.R. § 42.25(b) .................................................................................................. 5
`37 C.F.R. § 42.52(a) ................................................................................................. 12
`37 C.F.R. § 42.123(b) ........................................................................................ 13, 15
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`LISTING OF EXHIBITS
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`Exhibit
`No.
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`2001 Withdrawn
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`Description
`
`2002
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`Japanese Unexamined Patent Application Publication No. 2001-
`160058 and Certified English Translation (“Fujiwara”)
`
`2003 Withdrawn
`
`2004
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`U.S. Patent No. 6,714,215 (“Flora”)
`
`2005
`
`Supplemental Declaration of Kevin Jakel, Unified Patents, LLC v.
`MemoryWeb, LLC, IPR2021-01413 (Dec. 30, 2021) (redacted version)
`
`2006
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`3 Questions for Unified Patents CEO Post-Oil States (Part II)
`
`2007
`
`2008
`
`2009
`
`Petition for Inter Partes Review, Apple Inc. v. MemoryWeb, LLC,
`IPR2022-00031, Paper 1 (PTAB Oct. 30, 2021)
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`Brief of Amicus Curiae Unified Patents Inc. in Cuozzo Speed
`Technologies, LLC v. Michelle K. Lee et al.
`
`Unified Patents September 3, 2021 Press Release regarding
`MemoryWeb IPR
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`2010
`
`Unified Patents September 9, 2021 email regarding MemoryWeb IPR
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`2011
`
`2012
`
`2013
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`Unified Patent’s website link (FAQs)
`(https://www.unifiedpatents.com/faq)
`
`Case Readiness Status Report, MemoryWeb, LLC v. Samsung
`Electronics Co., Ltd. and Samsung Electronics America, Inc., Case No.
`21-cv-411 (W.D. Tex.) (Sept. 3, 2021)
`
`Amended Complaint, MemoryWeb, LLC v. Samsung Electronics Co.,
`Ltd. and Samsung Electronics America, Inc., Case No. 21-cv-411
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`v
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`Exhibit
`No.
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`Description
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`(W.D. Tex.) (Nov. 24, 2021)
`
`2014
`
`2015
`
`Excerpts from Defendant Samsung Electronics Co. Ltd. and Samsung
`Electronics America, Inc.’s Initial Invalidity Contentions,
`MemoryWeb, LLC v. Samsung Electronics Co., Ltd. and Samsung
`Electronics America, Inc., Case No. 21-cv-411 (W.D. Tex.) (Jan. 31,
`2022)
`
`Joint Motion for Entry of Agreed Scheduling Order, MemoryWeb, LLC
`v. Samsung Electronics Co., Ltd. and Samsung Electronics America,
`Inc., Case No. 21-cv-411 (W.D. Tex.) (Oct. 1, 2021)
`
`2016
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`MV3 Partners LLC v. Roku Inc., 6:18-cv-00308, (W.D. Texas) D.I. 83
`
`2017
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`2018
`
`IAM, “The last thing anyone should think about WDTX is that it is
`patent plaintiff friendly, says Albright” (Apr. 7, 2020)
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`Pages from The Way Back Machine The Wayback Machine-
`https://web.archive.org/web/20000510141416/http://www.photo.net:80
`
`2019
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`Cluster Map, Thumbnail, First Combination Comparison
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`2020
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`2021
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`2022
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`2023
`
`2024
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`2025
`
`Japanese Unexamined Patent Application Publication No. 2007-
`323544 and Certified English Translation (“Takakura”)
`
`Patent Owner Response, Unified Patents, LLC v. MemoryWeb, LLC,
`IPR2021-01413, Paper 30 (Redacted Version)
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`Transcript of the deposition of Dr. Philip Greenspun dated August 26,
`2022
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`Declaration of Professor Glenn Reinman, Ph.D.
`
`Corrected Patent Owner’s Response
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`Transcript of the deposition of Dr. Philip Greenspun dated January 19,
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`vi
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`Exhibit
`No.
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`Description
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`2023
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`Views 1 – 6 Comparison
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`Patent Owner’s Demonstrative Exhibit
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`Unified Patents, LLC v. MemoryWeb, LLC, IPR2021-01413,
`Petitioner’s Motion to Seal and For Entry of Protective Order (Paper
`10)
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`Unified Patents, LLC v. MemoryWeb, LLC, IPR2021-01413,
`Petitioner’s Updated Mandatory Notices (Paper 57)
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`Unified Patents, LLC v. MemoryWeb, LLC, IPR2021-01413, Final
`Written Decision (Public Version) (Paper 67)
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`Unified Patents, LLC v. MemoryWeb, LLC, IPR2021-01413, Decision
`Granting Director Review (Public Version) (Paper 76)
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`Email Chain between Counsel for Patent Owner and Counsel for
`Petitioner (Mar. 13-15, 2023)
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`Unified Patents Document Subpoena
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`Unified Patents Testimony Subpoena
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`Samsung Document Production Requests
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`Email Chain between Counsel for Patent Owner and Counsel for
`Petitioner (June. 5-9, 2023)
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`2026
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`2027
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`2028
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`2029
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`2030
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`2031
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`2032
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`2033
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`2034
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`2035
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`2036
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`2037
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`Declaration of Jennifer Hayes
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`2038
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`Unified Patents, LLC v. MemoryWeb, LLC, IPR2021-01413, Order
`Identifying Real Party in Interest (Public Version) (Paper 79)
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`vii
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`Patent Owner’s Brief on Additional Discovery and Subpoenas
`IPR2022-00222
`Patent No. 10,621,228
`I.
`INTRODUCTION
`Pursuant to the Board’s June 15, 2023 Order (Paper 38), MemoryWeb, LLC
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`(“MemoryWeb” or “Patent Owner”) hereby submits its brief addressing the issues
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`set forth in Exhibit 3004, including MemoryWeb’s motion for authorization to
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`apply for subpoenas directed
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`to Unified Patents, LLC (“Unified”), and
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`MemoryWeb’s motion for additional discovery from Petitioner Samsung
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`Electronics Co., Ltd. (“Samsung” or “Petitioner”).
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`II.
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`FACTUAL BACKGROUND
`MemoryWeb has defended three successive inter partes reviews challenging
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`Patent No. 10,621,228 (“the ‘228 patent”) based on the same or similar alleged
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`prior art. Unified filed the first petition on September 3, 2021 challenging claims 1-
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`7 based on Okamura, Flora, Wagner, and Gilley (hereinafter, “the Unified IPR”).
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`Unified Patents, LLC v. MemoryWeb, LLC, IPR2021-01413. Apple Inc. (“Apple”)
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`filed the second petition on October 30, 2021 challenging claims 1-19 based on the
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`Aperture 3 User Manual (“A3UM”) and Belitz (hereinafter, “the Apple IPR”).
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`Apple Inc. v. MemoryWeb, LLC, IPR2022-00031. Samsung filed the third
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`petition—which is the basis of this proceeding—on December 3, 2021 challenging
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`claims 1-19 based on Okamura and Belitz (hereinafter, “the Samsung IPR”).
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`A. The Unified IPR
`MemoryWeb challenged the identification of Unified as the sole RPI in the
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`Unified IPR prior to institution. Ex. 2038, 2. The Unified Institution Decision
`1
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`declined to address whether Apple and Samsung were unnamed RPIs “because
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`Patent Owner’s Brief on RPI, Estoppel, and Discovery
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`there was no allegation of a time bar or estoppel that would preclude” the Unified
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`IPR. Id.
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`After institution, MemoryWeb sought and received discovery from Unified
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`regarding its relationship with Apple and Samsung and deposed Unified’s CEO
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`Kevin Jakel on May 26, 2022. Id. Mr. Jakel’s deposition testimony provided
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`important context to the content of the documents Unified produced. See, e.g., Id.,
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`5, 23. Unified designated much of the discovery as confidential and moved to seal
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`it pursuant to a Protective Order. See Ex. 2028 (“the Unified Protective Order”).
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`MemoryWeb argued that the Board should address Apple and Samsung’s RPI
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`status in the Unified IPR because Apple and Samsung’s follow-on IPRs implicate
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`estoppel under 35 U.S.C. § 315(e)(1). See Ex. 2038, 5-6.
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`1.
`The Board’s RPI Order and Final Written Decision
`On March 8, 2023, the Board issued an order in the Unified IPR finding that
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`Apple and Samsung were RPIs to the Unified IPR and ordered Unified to update
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`its mandatory notices (hereinafter, “the RPI Order”). Ex. 2038, 34; Ex. 2029. After
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`considering the parties’ arguments and evidence—much of which is subject to the
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`Unified Protective Order—the Board concluded that “Unified has a long-term,
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`established, mutually beneficial relationship with its members, Apple and
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`Samsung.” Ex. 2038, 33. The Board also found “that Apple and Samsung are clear
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`beneficiaries to” the Unified IPR and “Unified is representing their interests.” Id.
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`Patent Owner’s Brief on RPI, Estoppel, and Discovery
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`The RPI Order found that deciding whether Apple and Samsung were RPIs
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`in the Unified IPR was appropriate “to avoid unnecessary prejudice” to
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`MemoryWeb in having to “unnecessarily defend against two subsequent IPR
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`challenges filed by Apple and Samsung.” Ex. 2038, 6. The RPI Order also found
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`that the “underlying purpose of Section 315(e) would potentially be frustrated” if it
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`declined to consider MemoryWeb’s arguments that Apple and Samsung were RPIs
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`to the Unified IPR. Id.
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`On March 14, 2023, the Board entered a Final Written Decision in the
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`Unified IPR addressing claims 1-7 of the ‘228 patent (the “the Unified FWD”). See
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`Ex. 2030, 3-5.1
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`2.
`Unified’s Request for Director Review
`Unified filed a Request for Director Review arguing, inter alia, that the
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`Board’s RPI Order was effectively “a non-binding advisory opinion” and
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`prejudiced Apple and Samsung because they were not participants to the Unified
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`IPR, even though none of Unified, Apple, and Samsung sought to involve Apple
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`and Samsung in the Unified IPR. Ex. 2031, 5. The Director granted Unified’s
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`1 MemoryWeb has requested rehearing of certain unpatentability findings in the
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`Unified FWD.
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`request and vacated the Board’s RPI Order (“the Director Decision”) because, in
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`Patent Owner’s Brief on RPI, Estoppel, and Discovery
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`the Director’s view, determining whether Apple and Samsung were RPIs “was not
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`necessary to resolve the” Unified IPR. Id. The Director Decision instructed that
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`“[t]he Board can and should make a determination of the real parties in interest or
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`privity in any proceeding in which that determination may impact the underlying
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`proceeding.” Id.
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`Notably, the Director Decision did not find error with any of the fact
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`findings in the RPI Order nor with its legal analysis finding that Apple and
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`Samsung were RPIs to the Unified IPR. Id., 4-5.
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`3.
`Unified’s Confidential Information
`Following the Unified FWD, MemoryWeb, Apple, Samsung, and Unified
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`conferred at the Board’s direction regarding MemoryWeb’s contemplated motion
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`to terminate the Apple and Samsung proceedings. See, e.g., Ex. 3001; Ex. 3003.
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`Unified refused to allow Apple and Samsung to “inspect” confidential materials
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`from the Unified IPR despite the relevant parties’ willingness to sign onto an
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`appropriate protective order. Ex. 3001, 13; see also Ex. 3003, 2. Unified indicated
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`that it would only produce such materials subject to appropriate protections and
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`“pursuant to a valid third-party subpoena.” Ex. 3001, 3; see also Ex. 3002, 15:9-
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`16:12 (arguing that “the only way” for Unified to produce its confidential
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`information would be via “a third-party subpoena from the appropriate district
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`court”).
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`Patent Owner’s Brief on RPI, Estoppel, and Discovery
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`B.
`Samsung’s IPR
`Samsung filed its Petition challenging the ‘228 patent on December 3, 2021.
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`Samsung was aware of the Unified IPR at least as early as December 2021 because
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`the Petition affirmatively identified the Unified IPR as a related matter. Pet., 92.
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`The Petition also discussed the Unified IPR in its arguments regarding the General
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`Plastic factors. Id., 82-88.
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`Samsung’s Petition identifies Samsung Electronics Co., Ltd. and Samsung
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`Electronics America, Inc. as the RPIs. Pet., 92. MemoryWeb does not contend that
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`Samsung failed to name Unified as an RPI in this proceeding; rather, it was
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`Unified that failed to name Samsung as an RPI in the Unified IPR.
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`C. MemoryWeb Promptly Sought to Terminate this IPR in View of
`the Unified RPI Order
`The day before the Board issued the Unified FWD and the oral argument in
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`this proceeding, MemoryWeb notified Samsung that it intended “to seek
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`authorization from the Board to (1) move to terminate IPR2022-00222 because
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`Samsung would be estopped from maintaining this IPR pursuant to at least 35
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`U.S.C. § 315(e)(1)”
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`in
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`light of Unified’s updated mandatory notices
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`acknowledging the Board’s finding that Samsung was an RPI. Ex. 2032, 3; see 37
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`C.F.R. § 42.25(b) (“[a] party should seek relief promptly after the need for relief is
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`identified”). MemoryWeb could not have moved to terminate this IPR unless and
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`until the Unified IPR resulted in a final written decision. Infra, § III.B.
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`Patent Owner’s Brief on RPI, Estoppel, and Discovery
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`III. LEGAL STANDARDS
`A. Real-Party-in-Interest
`A petition for inter partes review “may be considered only if . . . the petition
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`identifies all” RPIs. 35 U.S.C. § 312; 37 C.F.R. § 42.8. The Petitioner bears the
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`burden of persuasion to show that its identification of RPIs is correct. Worlds Inc.,
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`v. Bungie, Inc., 903 F.3d 1237, 1242-43 (Fed. Cir. 2018).
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`“Determining whether a non-party is a ‘real party in interest’ demands a
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`flexible approach
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`that
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`takes
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`into account both equitable and practical
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`considerations, with an eye toward determining whether the non-party is a clear
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`beneficiary that has a preexisting, established relationship with the petitioner.”
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`Applications in Internet Time, LLC v. RPX Corp., 897 F.3d 1336, 1351 (Fed. Cir.
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`2018) (AIT I). The Federal Circuit has construed the term RPI to “sweep[]”
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`broadly. Id. at 1346–47. Two key inquiries are “whether a non-party ‘desires
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`review of the patent” and whether a petition has been filed at a nonparty’s behest.”
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`Id. at 1351 (quoting Trial Practice Guide, 77 Fed. Reg. at 48,759).
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`Relevant factors in the RPI analysis in this case include (i) Unified’s
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`business model and the nature of Unified as an entity; (ii) Unified’s own interest in
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`the Unified IPR; (iii) whether Unified considers member’s interest when
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`determining whether to file an IPR; (iv) Samsung’s relationship with Unified; (v)
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`Samsung’s interest in and benefit from the Unified IPR; (vi) whether Unified is
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`Patent Owner’s Brief on RPI, Estoppel, and Discovery
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`representing Samsung’s interest; and (vii) whether Samsung funded, directed, or
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`influenced the Unified IPR. RPX Corp. v. Applications in Internet Time, LLC,
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`IPR2015-01750, Paper 128 at 10 (PTAB Oct. 2, 2020) (precedential) (citing AIT I,
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`897 F.3d at 1358) (hereinafter, “AIT II”); Ex. 2038, 14-15.
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`1.
`RPI Procedure
`The Director Decision provided explicit guidance that “[t]he Board can and
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`should make a determination” of Samsung’s RPI status in this proceeding rather
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`than the Unified IPR. Ex. 2038, 5. MemoryWeb is unaware of any guidance prior
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`to the Director Decision expressly addressing how a patent owner should proceed
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`if faced with (1) a first IPR that failed to name an RPI and (2) a second, later IPR
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`filed by the unnamed RPI. Indeed, the Board has expressed doubts as to whether
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`“there’s been a circumstance like this before.” Ex. 3002, 49:7-20. Given the lack of
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`guidance to the contrary prior to the Director Decision, MemoryWeb’s decision to
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`litigate Samsung’s RPI status in the Unified IPR—rather than this proceeding—
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`was reasonable and appropriate. Indeed, the RPI Order agreed with MemoryWeb
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`that “[d]etermining whether Apple or Samsung are RPIs in” the Unified IPR was
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`“a necessary precursor to determining whether they would be estopped in a
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`subsequent proceeding.” Ex. 2038, 6.
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`The IPR statute provides that a petition “may be considered only if” it
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`“identifies all” RPIs. 35 U.S.C. § 312. It was Unified’s petition—not Samsung’s
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`Patent Owner’s Brief on RPI, Estoppel, and Discovery
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`petition—that failed to name all RPIs, so MemoryWeb raised its RPI arguments in
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`the Unified IPR where the failure occurred. MemoryWeb does not contend that
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`Samsung’s identification of RPIs in this proceeding is incorrect.
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`Federal Circuit authority also supported litigating Samsung’s RPI status in
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`the Unified IPR rather than this proceeding. The Federal Circuit has instructed that
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`the petitioner bears the burden of persuasion to show that its identification of RPIs
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`is correct. Worlds, 903 F.3d at 1242-43. That guidance does not address the
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`burdens here where the patent owner must prove that a non-party failed to identify
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`the petitioner as an RPI during a different proceeding filed by the non-party, which
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`is what is now required by the Director Decision. In a similar vein, the Board must
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`consider several factors in the RPI analysis that turn on Unified’s conduct and
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`business structure. AIT II, Paper 128 at 10; Ex. 2038, 14-15. Litigating those issues
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`outside of the Unified IPR requires third-party discovery from Unified because the
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`Protective Order prevented MemoryWeb from introducing Unified’s confidential
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`materials into evidence in this proceeding and Unified refused to share that
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`information without a court order. Supra, § II.A.3.
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`MemoryWeb “should not be forced to defend against later judicial or
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`administrative attacks on the same or related grounds by a party that is so closely
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`related to the original petitioner as to qualify as a real party in interest.” AIT I, 897
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`F.3d at 1350. Requiring MemoryWeb to prove in each subsequent IPR challenging
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`Patent Owner’s Brief on RPI, Estoppel, and Discovery
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`the ‘228 patent that the petitioner was an RPI to the Unified IPR (e.g., through
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`third-party discovery) is contrary to this principal and the purposes of the estoppel
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`statute. MemoryWeb acknowledges that the Director Decision now requires
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`MemoryWeb prove Apple and Samsung’s RPI status separately in their
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`proceedings but was and still is unaware of any authority suggesting this result
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`prior to the Director Decision.
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`While the Director Decision cited the Board’s precedential decision in
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`SharkNinja Operating LLC v. iRobot Corp., the Director Decision substantially
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`expanded SharkNinja’s holding and represents new guidance or an intervening
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`change in the law. Ex. 2031, 4 (citing SharkNinja, IPR2020-00734, Paper 11
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`(PTAB Oct. 6, 2020). In SharkNinja, there was “no allegation or evidence that” the
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`unnamed RPI was “barred or estopped” or “purposely omitted . . . to gain some
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`advantage.” SharkNinja, Paper 11 at 19. The Board instituted the IPR because
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`naming all RPIs was “a procedural requirement that can be corrected” and the
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`petitioner “offered to update its mandatory notices and identify” the unnamed RPI.
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`Id. at 18. The Director Decision’s holding that the Board should never decide
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`whether a petition failed to an RPI in a proceeding unless the failure results in a
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`time-bar or estoppel in that proceeding significantly expanded SharkNinja beyond
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`its holding and the facts in that case.
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`Samsung argues that MemoryWeb should have litigated Samsung’s RPI
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`Patent Owner’s Brief on RPI, Estoppel, and Discovery
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`status in this proceeding because doing so in the Unified IPR violated Samsung’s
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`due process rights. See, e.g., Ex. 3002, 11:16-12:4. But the Board has previously
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`rejected that argument. In Kofax, Inc. v. Uniloc USA, Inc. et al., the Board
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`terminated Kofax’s IPR in view of a final written decision in an earlier IPR in
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`which Kofax was a co-petitioner with Ubisoft, Inc. (“Ubisoft”) and Cambium
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`Learning Group, Inc. (“Cambium”). IPR2015-01207, Paper 22 at 1, 11-12 (PTAB
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`June 2, 2016). Kofax argued that the Board should defer termination until it ruled
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`on motions for joinder in two related IPRs in which Ubisoft, Cambium, and Zebra
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`Technologies Corporation (“Zebra”) were co-petitioners. Id. at 2. The Board
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`disagreed and found that Zebra, “although not a petitioner in the earlier
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`proceeding, is identified as” an RPI with Ubisoft and Cambium and thus if joined,
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`Zebra “would be estopped under 315(e) because it is a real party in interest.” Id.
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`Zebra requested rehearing of the Board’s termination order, arguing that it
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`was not a party or an RPI to the earlier proceeding and that it was “deprived . . . of
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`its due process rights.” Kofax, Inc. v. Uniloc USA, Inc. et al., IPR2015-01207,
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`Paper 24 at 1, 4 (PTAB July 20, 2016). The Board rejected that argument because
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`there was “no authority for an alleged real party in interest (RPI) to be notified
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`or permitted to present any facts or arguments on this issue in the context of an
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`RPI determination.” Id. at 4-5 (internal quotation marks omitted). This decision
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`further supports that litigating Samsung’s RPI status in the Unified IPR was
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`Patent Owner’s Brief on RPI, Estoppel, and Discovery
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`consistent with Board procedures and demonstrates how the Director Decision
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`constitutes a new approach.
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`B.
`Estoppel and Termination
`By statute, “[a] petitioner in an inter partes review of a claim . . . that results
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`in a final written decision . . . or the real party in interest or privy of the petitioner,
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`may not request or maintain” an IPR “with respect to that claim on any ground that
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`the petitioner raised or reasonably could have raised during” the first IPR. 35
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`U.S.C. § 315(e)(1).2 The resulting estoppel “applies not just to claims and grounds
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`asserted in the petition . . . but to all grounds not stated in the petition but which
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`reasonably could have been asserted against the claims included in the petition.”
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`Cal. Inst. of Tech. v. Broadcom Ltd., 25 F.4th 976, 991 (Fed. Cir. 2022). A ground
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`reasonably could have been asserted when “a skilled searcher conducting a diligent
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`search reasonably would have been expected to discover” the references relied
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`upon for that ground. Ironburg Inventions Ltd. v. Valve Corp., 64 F.4th 1274, 1299
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`(Fed. Cir. 2023).
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`When a first IPR results in a final written decision and there is a second IPR
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`filed by the same petitioner or its RPI, the proper course is for the Board to
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`terminate the second IPR as to the same claims that were challenged in the first
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`2 Unless otherwise stated, emphasis shown in case and evidence cites is added.
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`IPR. See, e.g., Intuitive Surgical, Inc. v. Ethicon LLC, IPR2018-01248, Paper 34 at
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`Patent Owner’s Brief on RPI, Estoppel, and Discovery
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`10-18 (PTAB Feb. 6, 2020); Apple Inc. v. Papst Licensing GmbH & Co., KG,
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`IPR2016-01860, Paper 28 (PTAB Jan. 10, 2018); Valve Corp. v. Ironburg
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`Inventions Ltd., IPR2017-00136, Paper 43 (Jan. 25, 2018).
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`C. Additional Discovery
`“A party seeking to compel testimony or production of documents or things
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`must file a motion for authorization” describing the relevance of the requested
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`discovery. 37 C.F.R. § 42.52(a). A party seeking documents must describe “the
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`general nature of the document or thing.” Id. For witness testimony, the moving
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`party must “identify the witness by name or title.” Id.
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`The Board applies a five-factor test to determine whether discovery is in the
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`“interests of justice”: (1) whether there is more than a possibility and mere
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`allegation that useful information will be found; (2) whether the discovery seeks
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`litigation positions; (3) the movant’s ability to generate equivalent information by
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`other means; (4) whether the requests are easily understandable; and (5) whether
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`the requests are overly burdensome. Garmin Int’l Inc. v. Cuozzo Speed Techs. LLC,
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`IPR2012-00001, Paper 26 (PTAB Mar. 5, 2013) (precedential).
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`IV. SAMSUNG’S RPI STATUS IN THE UNIFIED IPR CAN GIVE RISE
`TO ESTOPPEL
`Good cause exists for MemoryWeb to proceed with its contemplated motion
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`to terminate. MemoryWeb has expended significant resources unnecessarily
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`defending three successive, related IPRs. MemoryWeb also expended significant
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`Patent Owner’s Brief on RPI, Estoppel, and Discovery
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`resources proving that Apple and Samsung were RPIs in the Unified IPR. It would
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`be manifestly unfair if MemoryWeb were deprived of an opportunity to present
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`arguments and evidence as to why Samsung is estopped, when it already proved
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`that Samsung was an RPI to the Unified IPR, simply because the Director issued
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`new guidance turning the procedure MemoryWeb followed on its head. Any
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`alleged prejudice to Samsung pales in comparison to the harm to MemoryWeb, and
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`Samsung will have an opportunity to adequately respond. See Ex. 3004.
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`The evidence MemoryWeb seeks to introduce with its motion to terminate
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`“could not have been obtained earlier” and its consideration “would be in the
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`interests-of-justice.” 37 C.F.R. § 42.123(b).
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`While MemoryWeb possessed information it now seeks to discover from
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`Unified via subpoenas in this proceeding, that information was covered by the
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`Unified Protective Order. More fundamentally, the bases for MemoryWeb’s
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`request for additional discovery include (1) the Unified FWD, which issued only
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`two days before oral argument, and (2) the Director Decision, which occurred
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`months after oral argument. Ex. 2030; Ex. 2031.
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`It is in the interests of justice for the Board to consider evidence regarding
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`Samsung’s RPI status in the Unified IPR in this proceeding. When the “evidence is
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`reasonably viewed as material, and the opponent has adequate opportunity to
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`respond and to produce contrary evidence, the interest of justice weighs on the side
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`Patent Owner’s Brief on RPI, Estoppel, and Discovery
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`of admitting the evidence.” Telefonaktiebolaget LM Ericsson v. TCL Corp., 941
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`F.3d 1341, 1345 (Fed. Cir. 2019). Here, the evidence showing that Samsung is an
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`RPI to the Unified IPR is material as it gives rise to estoppel and a basis for
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`termination. Supra, § III.B. Samsung will not suffer undue prejudice because it
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`will have an adequate opportunity to respond and produce contrary evidence under
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`the parties’ agreement for the second phase of briefing. Ex. 3004.
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`The Board has allowed the introduction of supplemental informati