Case 5:19-cv-00036-RWS Document 267-4 Filed 04/07/20 Page 1 of 11 PageID #: 9861
`Case 5:19-cv-00036—RWS Document 267-4 Filed 04/07/20 Page 1 of 11 PageID #: 9861
`
`EXHIBIT C
`
`EXHIBIT C
`
`

`

`Case 5:19-cv-00036-RWS Document 267-4 Filed 04/07/20 Page 2 of 11 PageID #: 9862
`51 PTAB trials
`Page 1 of 10
`
`Hitachi Maxell, Ltd and 1 other party
`Trials
`
`Showing 51 PTAB trials with Hitachi Maxell, Ltd or Maxell, Ltd. as parties; filed between 2012-09-16 and 2020-04-01; sorted by most recent
`document activity.
`
`Trial Flow
`
`Petition
`
`Petition 51 100%
`
`Institution Decision
`
`Denied Institution 9
`18%
`
`Instituted 6 12%
`
`Final Decision
`All Claims Upheld 0
`
`Mixed Claim Findings 0
`
`All Claims Unpatentable 1 2%
`
`All Claims Amended 0
`
`Open Pre-Institution 10 20%
`
`Procedurally Dismissed 3 6%
`
`Settled 23 45%
`
`Patent Owner Disclaimed 0
`
`Open Post-Institution 0
`
`Joined To Other Trial 0
`
`Procedurally Dismissed 0
`
`Settled 5 10%
`
`Patent Owner Disclaimed 0
`
` Petitioner Win 1 2%  Patent Owner Win 40 78%  Partial 0 0%
`
`All %s out of 51 Petitioned trials
`
`https://law.lexmachina.com/party/ptab?id=27402&id=34070516&filing_date-
`
`

`

`Case 5:19-cv-00036-RWS Document 267-4 Filed 04/07/20 Page 3 of 11 PageID #: 9863
`51 PTAB trials
`Page 2 of 10
`
`Summary
`Trial Filings
`
`25
`
`20
`
`15
`
`10
`
`5
`
`0
`
`Filings
`
` CBM
`
` DER
`
` IPR
`
` PGR
`
`Trial Status
`
`Open: 10 (20%)
`Party Roles
`
`Petitioner: 0 (0%)
`USPTO Technology Centers
`
`2600: Co…
`
`2100: Co…
`
`3600: Tran…
`
`2400: Co…
`
`2800: Sem…
`
`33
`
`5
`
`5
`
`4
`
`4
`
`65%
`
`10%
`
`10%
`
`8%
`
`8%
`
`<2015
`
`2015
`
`2016
`
`2017
`
`2018
`
`2019
`
`2020*
`
`0
`
`0
`
`0
`
`0
`
`0
`
`0
`
`0
`
`0
`
`0
`
`0
`
`0
`
`0
`
`0
`
`0
`
`12
`
`0
`
`0
`
`0
`
`22
`
`0
`
`0
`
`0
`
`13
`
`0
`
`0
`
`0
`
`4
`
`0
`
`* 2020 numbers are year-to-date. Open dots are full-year estimates.
`
`Terminated: 41 (80%)
`
`Patent Owner: 51 (100%)
`
`Judges
`
`Terrence W.…
`
`Minn Chung
`
`John A. Hud…
`
`Lynne E. Pe…
`
`Jason W. M…
`
`4 Other Jud…
`
`36
`
`30
`
`29
`
`10
`
`5
`
`71%
`
`59%
`
`57%
`
`20%
`
`10%
`
`https://law.lexmachina.com/party/ptab?id=27402&id=34070516&filing_date-
`
`

`

`Case 5:19-cv-00036-RWS Document 267-4 Filed 04/07/20 Page 4 of 11 PageID #: 9864
`51 PTAB trials
`Page 3 of 10
`
`Timing
`
`% of trials that
`reached event in
`
`less than more than
`
`191 days
`
`0 days
`
`1 year
`
`2 years
`
`Institution Decision
`15 Trials reached Institution Decision
`Median: 191 days
`
`Final Decision
`1 Trials reached Final Decision
`
`Termination
`41 Trials reached Termination
`Median: 191 days
`
`165
`
`191
`
`216
`
`47%
`
`53%
`
`184
`
`206
`
`0%
`
`100%
`
`117
`
`191
`
`222
`
`46%
`
`54%
`
`168
`
`208
`
`0 days
`
`1 year
`
`2 years
`
`https://law.lexmachina.com/party/ptab?id=27402&id=34070516&filing_date-
`
`

`

`Case 5:19-cv-00036-RWS Document 267-4 Filed 04/07/20 Page 5 of 11 PageID #: 9865
`51 PTAB trials
`Page 4 of 10
`
`Trial Resolutions
`
`Petitioner Win
`
`All Claims Unpatentable
`
`All Claims Amended
`
`Patent Owner Disclaimed (Pre-
`Institution)
`
`Patent Owner Disclaimed (Post-
`Institution)
`
`1
`
`1
`
`0
`
`0
`
`0
`
`2%
`
`2%
`
`0%
`
`0%
`
`0%
`
`Patent Owner Win
`
`40
`
`78%
`
`All Claims Upheld
`
`Denied Institution
`
`Procedurally Dismissed (Pre-
`Institution)
`
`Procedurally Dismissed (Post-
`Institution)
`
`Settled (Pre-Institution)
`
`Settled (Post-Institution)
`
`0
`
`9
`
`3
`
`0
`
`0%
`
`18%
`
`6%
`
`0%
`
`23
`
`45%
`
`5
`
`10%
`
`Partial
`
`Mixed Claim Findings
`
`Joinder
`
`Joined To Other Trial
`
`0
`
`0
`
`0
`
`0
`
`0%
`
`0%
`
`0%
`
`0%
`
`No Trial Resolution
`
`10
`
`20%
`
`https://law.lexmachina.com/party/ptab?id=27402&id=34070516&filing_date-
`
`

`

`51 PTAB trials
`
`Case List
`
`Trial
`
`IPR2020-00597
`
`IPR2020-00201
`
`IPR2020-00199
`
`IPR2020-00203
`
`IPR2020-00409
`
`IPR2020-00408
`
`Case 5:19-cv-00036-RWS Document 267-4 Filed 04/07/20 Page 6 of 11 PageID #: 9866
`
`Page 5 of 10
`
`Filed On
`
`Institution Decision
`
`Patent
`
`Application
`
`Petitioners
`
`Patent Owners
`
`2020-03-17
`
`2019-12-19
`
`2019-12-19
`
`2019-12-20
`
`2020-01-13
`
`2020-01-13
`
`None
`
`8339493
`
`12845266
`
`Apple Inc.
`
`None
`
`7116438
`
`10747267
`
`Apple Inc.
`
`None
`
`6329794
`
`09657151
`
`Apple Inc.
`
`None
`
`6408193
`
`09436502
`
`Apple Inc.
`
`None
`
`6580999
`
`10173423
`
`Apple Inc.
`
`None
`
`6430498
`
`09613634
`
`Apple Inc.
`
`Apple Inc.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`IPR2020-00407
`
`IPR2018-01432
`
`2020-01-13
`
`2018-07-20
`
`None
`
`6748317
`
`10428755
`
`2019-02-13
`
`9384783
`
`14141417
`
`NBCUniversal Media, LLC
`Fandango Media, LLC
`NBCUniversal Fandango Holdings, LLC
`Comcast Corporation
`
`IPR2020-00202
`
`IPR2020-00200
`
`IPR2020-00204
`
`IPR2019-00068
`
`2019-12-19
`
`2019-12-19
`
`2019-12-20
`
`2018-10-16
`
`None
`
`10212586
`
`13874535
`
`Apple Inc.
`
`None
`
`10084991
`
`15837402
`
`Apple Inc.
`
`None
`
`6928306
`
`09755878
`
`Apple Inc.
`
`None
`
`7403226
`
`10660711
`
`IPR2019-00661
`
`2019-02-12
`
`None
`
`6983140
`
`09842913
`
`IPR2019-00656
`
`2019-02-06
`
`None
`
`9544517
`
`14661227
`
`Asustek Computer, Inc.
`ASUS Computer International
`
`Huawei Device (Shenzhen) Co., Ltd.
`Huawei Device Co., Ltd.
`Huawei Investment & Holding Co., Ltd.
`Huawei Device (Hong Kong) Co., Ltd.
`Huawei Technologies Co., Ltd.
`Huawei Tech. Investment Co., Ltd.
`Huawei Device USA, Inc.
`
`Huawei Device (Shenzhen) Co., Ltd.
`Huawei Device Co., Ltd.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`https://law.lexmachina.com/party/ptab?id=27402&id=34070516&filing_date-from=2012-09-16&filters=true&view=analytics&tab=ptab_trial_flow&cols=127
`
`

`

`51 PTAB trials
`
`Case 5:19-cv-00036-RWS Document 267-4 Filed 04/07/20 Page 7 of 11 PageID #: 9867
`
`Page 6 of 10
`
`Trial
`
`Filed On
`
`Institution Decision
`
`Patent
`
`Application
`
`Petitioners
`
`Patent Owners
`
`IPR2019-00640
`
`2019-01-31
`
`None
`
`6928306
`
`09755878
`
`IPR2019-00575
`
`2019-01-16
`
`None
`
`7068503
`
`11011189
`
`IPR2019-00462
`
`2019-01-04
`
`None
`
`7324487
`
`10360713
`
`IPR2019-00464
`
`2018-12-21
`
`None
`
`7995897
`
`12124229
`
`Huawei Investment & Holding Co., Ltd.
`Huawei Device (Hong Kong) Co., Ltd.
`Huawei Technologies Co., Ltd.
`Huawei Tech. Investment Co., Ltd.
`Huawei Device USA, Inc.
`
`Huawei Device (Shenzhen) Co., Ltd.
`Huawei Device Co., Ltd.
`Huawei Device (Dongguan) Co., Ltd.
`Huawei Investment & Holding Co., Ltd.
`Huawei Device (Hong Kong) Co., Ltd.
`Huawei Technologies Co., Ltd.
`Huawei Tech. Investment Co., Ltd.
`Huawei Device USA, Inc.
`
`Huawei Device (Shenzhen) Co., Ltd.
`Huawei Device Co., Ltd.
`Huawei Investment & Holding Co., Ltd.
`Huawei Device (Hong Kong) Co., Ltd.
`Huawei Technologies Co., Ltd.
`Huawei Tech. Investment Co., Ltd.
`Huawei Device USA, Inc.
`
`Huawei Device (Shenzhen) Co., Ltd.
`Huawei Device Co., Ltd.
`Huawei Investment & Holding Co., Ltd.
`Huawei Device (Hong Kong) Co., Ltd.
`Huawei Technologies Co., Ltd.
`Huawei Tech. Investment Co., Ltd.
`Huawei Device USA, Inc.
`
`Huawei Device (Shenzhen) Co., Ltd.
`Huawei Device Co., Ltd.
`Huawei Investment & Holding Co., Ltd.
`Huawei Device (Hong Kong) Co., Ltd.
`Huawei Technologies Co., Ltd.
`Huawei Tech. Investment Co., Ltd.
`Huawei Device USA, Inc.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`https://law.lexmachina.com/party/ptab?id=27402&id=34070516&filing_date-from=2012-09-16&filters=true&view=analytics&tab=ptab_trial_flow&cols=127
`
`

`

`51 PTAB trials
`
`Case 5:19-cv-00036-RWS Document 267-4 Filed 04/07/20 Page 8 of 11 PageID #: 9868
`
`Trial
`
`Filed On
`
`Institution Decision
`
`Patent
`
`Application
`
`Petitioners
`
`IPR2019-00622
`
`2019-01-29
`
`None
`
`6347068
`
`09810405
`
`IPR2019-00576
`
`2019-01-16
`
`None
`
`6973334
`
`10142051
`
`IPR2019-00192
`
`2018-11-08
`
`None
`
`7515810
`
`11221810
`
`IPR2019-00097
`
`2018-10-16
`
`None
`
`9100604
`
`14264243
`
`IPR2019-00095
`
`2018-10-16
`
`None
`
`7995897
`
`12124229
`
`IPR2019-00069
`
`2018-10-16
`
`None
`
`9544517
`
`14661227
`
`IPR2019-00088
`
`2018-10-15
`
`None
`
`6973334
`
`10142051
`
`IPR2019-00087
`
`2018-10-15
`
`None
`
`6765616
`
`09520836
`
`Huawei Device (Shenzhen) Co., Ltd.
`Huawei Device Co., Ltd.
`Huawei Investment & Holding Co., Ltd.
`Huawei Device (Hong Kong) Co., Ltd.
`Huawei Technologies Co., Ltd.
`Huawei Tech. Investment Co., Ltd.
`Huawei Device USA, Inc.
`
`Huawei Device (Shenzhen) Co., Ltd.
`Huawei Device Co., Ltd.
`Huawei Investment & Holding Co., Ltd.
`Huawei Device (Hong Kong) Co., Ltd.
`Huawei Technologies Co., Ltd.
`Huawei Tech. Investment Co., Ltd.
`Huawei Device USA, Inc.
`
`Huawei Device (Shenzhen) Co., Ltd.
`Huawei Device Co., Ltd.
`Huawei Device (Dongguan) Co., Ltd.
`Huawei Investment & Holding Co., Ltd.
`Huawei Device (Hong Kong) Co., Ltd.
`Huawei Technologies Co., Ltd.
`Huawei Tech. Investment Co., Ltd.
`Huawei Device USA, Inc.
`
`BlackBerry Corporation
`BlackBerry Limited
`
`BlackBerry Corporation
`BlackBerry Limited
`
`Asustek Computer, Inc.
`ASUS Computer International
`
`BlackBerry Corporation
`BlackBerry Limited
`
`BlackBerry Corporation
`BlackBerry Limited
`
`Page 7 of 10
`
`Patent Owners
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`https://law.lexmachina.com/party/ptab?id=27402&id=34070516&filing_date-from=2012-09-16&filters=true&view=analytics&tab=ptab_trial_flow&cols=127
`
`

`

`51 PTAB trials
`
`Case 5:19-cv-00036-RWS Document 267-4 Filed 04/07/20 Page 9 of 11 PageID #: 9869
`
`Page 8 of 10
`
`Trial
`
`Filed On
`
`Institution Decision
`
`Patent
`
`Application
`
`Petitioners
`
`IPR2019-00067
`
`2018-10-16
`
`None
`
`9451229
`
`13859334
`
`IPR2019-00070
`
`2018-10-16
`
`None
`
`6973334
`
`10142051
`
`IPR2019-00071
`
`2018-10-16
`
`2019-03-14
`
`6430498
`
`09613634
`
`IPR2019-00089
`
`2018-10-15
`
`2019-03-29
`
`8170394
`
`11508209
`
`IPR2018-00233
`
`2017-11-22
`
`2018-05-24
`
`6754440
`
`10191113
`
`IPR2018-00210
`
`2017-11-20
`
`2018-05-23
`
`6928292
`
`10094980
`
`IPR2018-00209
`
`2017-11-20
`
`2018-05-23
`
`7509139
`
`11329153
`
`IPR2018-00251
`
`2017-11-28
`
`2018-07-02
`
`7203517
`
`10625723
`
`Asustek Computer, Inc.
`ASUS Computer International
`
`Asustek Computer, Inc.
`ASUS Computer International
`
`Asustek Computer, Inc.
`ASUS Computer International
`
`BlackBerry Corporation
`BlackBerry Limited
`
`Huawei Device USA, Inc.
`Huawei Device Co., Ltd.
`Huawei Device (Dongguan) Co., Ltd.
`Huawei Device (Hong Kong) Co., Ltd.
`Huawei Technologies Co., Ltd.
`Huawei Tech. Investment Co., Ltd.
`Huawei Investment & Holding Co., Ltd.
`
`Huawei Device Co., Ltd.
`Huawei Device (Dongguan) Co., Ltd.
`Huawei Investment & Holding Co., Ltd.
`Huawei Device (Hong Kong) Co., Ltd.
`Huawei Technologies Co., Ltd.
`Huawei Tech. Investment Co., Ltd.
`Huawei Device USA, Inc.
`
`Huawei Device (Dongguan) Co., Ltd.
`Huawei Investment & Holding Co., Ltd.
`Huawei Device Co., Ltd.
`Huawei Device (Hong Kong) Co., Ltd.
`Huawei Technologies Co., Ltd.
`Huawei Tech. Investment Co., Ltd.
`Huawei Device USA, Inc.
`
`Huawei Device Co., Ltd.
`Huawei Device (Dongguan) Co., Ltd.
`Huawei Investment & Holding Co., Ltd.
`
`Patent Owners
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`Hitachi Maxell, Ltd
`Maxell, Ltd.
`
`https://law.lexmachina.com/party/ptab?id=27402&id=34070516&filing_date-from=2012-09-16&filters=true&view=analytics&tab=ptab_trial_flow&cols=127
`
`

`

`51 PTAB trials
`
`Case 5:19-cv-00036-RWS Document 267-4 Filed 04/07/20 Page 10 of 11 PageID #: 9870
`
`Page 9 of 10
`
`Trial
`
`Filed On
`
`Institution Decision
`
`Patent
`
`Application
`
`Petitioners
`
`Patent Owners
`
`Huawei Device (Hong Kong) Co., Ltd.
`Huawei Technologies Co., Ltd.
`Huawei Tech. Investment Co., Ltd.
`Huawei Device USA, Inc.
`
`IPR2018-00909
`
`IPR2018-00910
`
`IPR2018-00906
`
`IPR2018-00911
`
`IPR2018-00908
`
`IPR2018-00907
`
`2018-06-20
`
`2018-06-20
`
`2018-05-18
`
`2018-05-18
`
`2018-06-20
`
`2018-05-18
`
`None
`
`9100604
`
`14264243
`
`Olympus Corporation
`
`None
`
`8059177
`
`10660710
`
`Olympus Corporation
`
`None
`
`7995897
`
`12124229
`
`Olympus Corporation
`
`None
`
`7457529
`
`10191551
`
`Olympus Corporation
`
`None
`
`9100604
`
`14264243
`
`Olympus Corporation
`
`None
`
`8417088
`
`13192935
`
`Olympus Corporation
`
`Olympus Corporation
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`IPR2018-00905
`
`IPR2018-00904
`
`IPR2018-01434
`
`2018-05-18
`
`2018-06-20
`
`2018-07-20
`
`2018-11-19
`
`6856760
`
`10191504
`
`None
`
`8339493
`
`12845266
`
`Olympus Corporation
`
`2019-02-13
`
`7515810
`
`11221810
`
`IPR2018-00246
`
`2017-11-27
`
`2018-06-29
`
`7671901
`
`11195870
`
`NBCUniversal Media, LLC
`Fandango Media, LLC
`NBCUniversal Fandango Holdings, LLC
`Comcast Corporation
`
`Huawei Device Co., Ltd.
`Huawei Device (Dongguan) Co., Ltd.
`Huawei Investment & Holding Co., Ltd.
`Huawei Device (Hong Kong) Co., Ltd.
`Huawei Technologies Co., Ltd.
`Huawei Tech. Investment Co., Ltd.
`Huawei Device USA, Inc.
`
`Maxell, Ltd.
`
`Maxell, Ltd.
`
`Hitachi Maxell, Ltd
`Maxell, Ltd.
`
`Hitachi Maxell, Ltd
`
`Hitachi Maxell, Ltd
`
`Hitachi Maxell, Ltd
`
`Hitachi Maxell, Ltd
`
`IPR2018-00241
`
`IPR2018-00238
`
`IPR2018-00239
`
`IPR2018-00240
`
`2017-11-22
`
`2017-11-22
`
`2017-11-22
`
`2017-11-22
`
`None
`
`6329794
`
`09657151
`
`ZTE Corporation
`
`2018-06-01
`
`8736729
`
`13681495
`
`ZTE Corporation
`
`2018-06-01
`
`6816491
`
`09433049
`
`ZTE Corporation
`
`2018-06-01
`
`8098695
`
`12235942
`
`ZTE Corporation
`
`https://law.lexmachina.com/party/ptab?id=27402&id=34070516&filing_date-from=2012-09-16&filters=true&view=analytics&tab=ptab_trial_flow&cols=127
`
`

`

`51 PTAB trials
`
`Case 5:19-cv-00036-RWS Document 267-4 Filed 04/07/20 Page 11 of 11 PageID #: 9871
`
`Trial
`
`Filed On
`
`Institution Decision
`
`Patent
`
`Application
`
`Petitioners
`
`IPR2018-00237
`
`IPR2018-00236
`
`IPR2018-00235
`
`2017-11-22
`
`2017-11-22
`
`2017-11-22
`
`2018-06-14
`
`6408193
`
`09436502
`
`ZTE Corporation
`
`2017-11-22
`
`8339493
`
`12845266
`
`ZTE Corporation
`
`None
`
`6748317
`
`10428755
`
`ZTE Corporation
`
`Page 10 of 10
`
`Patent Owners
`
`Hitachi Maxell, Ltd
`
`Hitachi Maxell, Ltd
`
`Hitachi Maxell, Ltd
`
`https://law.lexmachina.com/party/ptab?id=27402&id=34070516&filing_date-from=2012-09-16&filters=true&view=analytics&tab=ptab_trial_flow&cols=127
`
`