throbber
Case 6:21-cv-00520-ADA Document 37-6 Filed 03/30/22 Page 1 of 30
`Case 6:21-cv-00520-ADA Document 37-6 Filed 03/30/22 Page 1 of 30
`
`EXHIBIT 32-5
`EXHIBIT 32-5
`
`

`

`
`
`Case 6:20-cv-00108-ADA Document 117-5 Filed 03/21/22 Page 1 of 29Case 6:21-cv-00520-ADA Document 37-6 Filed 03/30/22 Page 2 of 30
`
`(cid:40)(cid:59)(cid:43)(cid:44)(cid:37)(cid:44)(cid:55)(cid:3)(cid:23)(cid:3)
`
`(cid:3)(cid:3)(cid:3)(cid:3)(cid:3)(cid:3)
`
`(cid:3)(cid:3)(cid:3)(cid:3)(cid:3)(cid:3)(cid:3)(cid:3)(cid:3)(cid:3)(cid:3)(cid:3)(cid:3)(cid:3)(cid:3)(cid:3)(cid:3)(cid:3)(cid:3)(cid:3)(cid:3)(cid:3)(cid:3)
`
`(cid:3)(cid:3)
`
`

`

`
`Case 6:20-cv-00108-ADA Document 117-5 Filed 03/21/22 Page 2 of 29Case 6:21-cv-00520-ADA Document 37-6 Filed 03/30/22 Page 3 of 30
`Trials@uspto.gov
`
` Paper 9
`571-272-7822
`
`Date: January 28, 2021
`
`
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`____________
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________
`INTEL CORPORATION,
`Petitioner,
`v.
`
`PARKERVISION, INC.,
`Patent Owner.
`____________
`
`IPR2020-01302
`Patent 7,539,474 B2
`____________
`
`
`Before MICHAEL R. ZECHER, BART A. GERSTENBLITH, and
`IFTIKHAR AHMED, Administrative Patent Judges.
`
`GERSTENBLITH, Administrative Patent Judge.
`
`
`DECISION
`Granting Institution of Inter Partes Review
`35 U.S.C. § 314
`
`
`
`
`
`
`
`

`

`
`Case 6:20-cv-00108-ADA Document 117-5 Filed 03/21/22 Page 3 of 29Case 6:21-cv-00520-ADA Document 37-6 Filed 03/30/22 Page 4 of 30
`IPR2020-01302
`Patent 7,539,474 B2
`
`
`I.
`
`INTRODUCTION
`
`Background
`
`Intel Corporation (“Petitioner”) filed a Petition (Paper 3, “Pet.”)
`requesting institution of inter partes review of claims 1, 3, 4, 7, and 9–12
`(“the Challenged Claims”) of U.S. Patent No. 7,539,474 B2 (Ex. 1001, “the
`’474 patent”). ParkerVision, Inc. (“Patent Owner”) filed a Preliminary
`Response (Paper 8, “Prelim. Resp.”).
`An inter partes review may be instituted only if “the information
`presented in the petition . . . and any [preliminary] response . . . shows that
`there is a reasonable likelihood that the petitioner would prevail with respect
`to at least 1 of the claims challenged in the petition.” 35 U.S.C. § 314(a)
`(2018). For the reasons given below, Petitioner has established a reasonable
`likelihood that it would prevail in showing the unpatentability of at least one
`of the challenged claims of the ’474 patent. Accordingly, we institute an
`inter partes review of claims 1, 3, 4, 7, and 9–12 of the ’474 patent on all
`grounds raised in the Petition.
`
`Related Proceedings
`
`Petitioner and Patent Owner identify the following related matter:
`
`ParkerVision, Inc. v. Intel Corp., No. 6:20-cv-108-ADA (W.D. Tex.) (“the
`related litigation”). Pet. 10; Paper 7 (Patent Owner’s Mandatory Notices), 2.
`In addition, Petitioner filed a petition challenging several claims of U.S.
`Patent No. 7,110,444 B1, which is related to the ’474 patent, in IPR2020-
`01265. Pet. 10.
`
`2
`
`

`

`
`Case 6:20-cv-00108-ADA Document 117-5 Filed 03/21/22 Page 4 of 29Case 6:21-cv-00520-ADA Document 37-6 Filed 03/30/22 Page 5 of 30
`IPR2020-01302
`Patent 7,539,474 B2
`
`
`Real Parties in Interest
`
`Petitioner identifies Intel Corporation as the real party in interest.
`Pet. 10. Patent Owner identifies ParkerVision, Inc. as the real party in
`interest. Paper 7, 2.
`
`
`
`The Asserted Grounds of Unpatentability and Declaration
`Evidence
`Petitioner challenges the patentability of claims 1, 3, 4, 7, and 9–12 of
`the ’474 patent on the following grounds:
`Reference(s)/Basis
`Claim(s) Challenged
`35 U.S.C. §1
`Larson2
`1, 3, 4, 9–11
`102(b)
`Larson, Butler3
`1, 3, 4, 7, 9–11
`103(a)
`Arpaia4
`12
`102(e)
`Pet. 12. Petitioner supports its challenge with a Declaration by Vivek
`Subramanian, Ph.D. (Ex. 1002, “the Subramanian Declaration”), a
`Declaration by Sylvia D. Hall-Ellis, Ph.D. (Ex. 1021), and a Declaration by
`Christopher Ernst (Ex. 1022).
`
`The ’474 Patent
`
`The ’474 patent is directed to “[m]ethods, systems, and apparatuses
`for down-converting an electromagnetic (EM) signal by aliasing the EM
`
`
`1 The Leahy-Smith America Invents Act (“AIA”) included revisions to
`35 U.S.C. §§ 102 and 103 that became effective on March 16, 2013.
`Because the ’474 patent has an effective filing date before March 16, 2013,
`we apply the pre-AIA versions of the statutory bases for unpatentability.
`2 RF and Microwave Circuit Design for Wireless Communications
`(Lawrence E. Larson, ed., Artech House Publishers 1996) (Ex. 1005,
`“Larson”).
`3 U.S. Patent No. 4,603,436, issued July 29, 1986 (Ex. 1006, “Butler”).
`4 U.S. Patent No. 6,192,225 B1, issued Feb. 20, 2001 (Ex. 1007, “Arpaia”).
`
`3
`
`

`

`
`Case 6:20-cv-00108-ADA Document 117-5 Filed 03/21/22 Page 5 of 29Case 6:21-cv-00520-ADA Document 37-6 Filed 03/30/22 Page 6 of 30
`IPR2020-01302
`Patent 7,539,474 B2
`
`signal, and applications thereof.” Ex. 1001, code (57). More particularly,
`the ’474 patent relates to “receivers implemented using universal frequency
`translation (UFT) modules. . . ., [which] perform frequency translation
`operations.” Id. at 10:15–19.
`Figure 1B is reproduced below:
`
`
`Figure 1B of the ’474 patent is a “detailed diagram of a universal frequency
`translation (UFT) module.” Ex. 1001, 3:24–26. The ’474 patent explains
`that UFT module 103 “includes a switch 106 controlled by a control
`signal 108.” Id. at 10:58–60. The UFT module “operates to generate an
`output signal from an input signal, where the frequency of the output signal
`differs from the frequency of the input signal.” Id. at 10:48–51.
`
`4
`
`

`

`
`Case 6:20-cv-00108-ADA Document 117-5 Filed 03/21/22 Page 6 of 29Case 6:21-cv-00520-ADA Document 37-6 Filed 03/30/22 Page 7 of 30
`IPR2020-01302
`Patent 7,539,474 B2
`
`
`Figure 1C is reproduced below:
`
`
`Figure 1C of the ’474 patent “illustrates a UFT module used in a universal
`frequency down-conversion (UFD) module.” Ex. 1001, 3:27–29. The
`’474 patent states, “[i]n this capacity, the UFT module 115 frequency down-
`converts an input signal to an output signal.” Id. at 11:7–9.
`Figure 41 is reproduced below:
`
`
`Figure 41 of the ’474 patent illustrates “single channel receiver 4100,
`corresponding to either the I or Q channel of I/Q modulation receiver 2500.”
`
`5
`
`

`

`
`Case 6:20-cv-00108-ADA Document 117-5 Filed 03/21/22 Page 7 of 29Case 6:21-cv-00520-ADA Document 37-6 Filed 03/30/22 Page 8 of 30
`IPR2020-01302
`Patent 7,539,474 B2
`
`Ex. 1001, 84:54–57; see id. at 4:53–54 (similarly describing Figure 41). The
`’474 patent explains, “[s]ingle channel receiver 4100 can down-convert an
`input RF [(radio frequency)] signal 4106 modulated according to AM, PM,
`FM, and other modulation schemes.” Id. at 84:57–59.
`Figure 25 is reproduced below:
`
`
`Figure 25 of the ’474 patent illustrates I/Q modulation receiver 2500.
`Ex. 1001, 4:41–42, 77:23–24. I/Q modulation receiver 2500 comprises four
`UFD modules 2502, 2506, 2510, and 2514; four filters 2504, 2508, 2512,
`and 2516 (the first three of which are described as “optional”); optional low
`noise amplifier (LNA) 2518; two differential amplifiers 2520 and 2522; and
`
`6
`
`

`

`
`Case 6:20-cv-00108-ADA Document 117-5 Filed 03/21/22 Page 8 of 29Case 6:21-cv-00520-ADA Document 37-6 Filed 03/30/22 Page 9 of 30
`IPR2020-01302
`Patent 7,539,474 B2
`
`antenna 2572. Id. at 77:28–34. The ’474 patent explains, “I/Q modulation
`receiver 2500 receives, down-converts, and demodulates a[n] I/Q modulated
`RF input signal 2582 to an I baseband output signal 2584, and a Q baseband
`output signal 2586.” Id. at 77:35–38.
`
`Illustrative Claims
`
`Claims 1 and 12, the independent claims challenged in this
`proceeding, are illustrative of the claimed subject matter and reproduced
`below with Petitioner’s bracketing added for reference:
`1.
`[1P] An apparatus for down-converting an input signal,
`comprising:
`[1A] a first frequency down-conversion module that
`receives an input signal, wherein the first frequency down-
`conversion module down-converts the input signal according to
`a first control signal and outputs a first down-converted signal;
`[1B] a second frequency down-conversion module that
`receives the input signal, wherein the second frequency down-
`conversion module down-converts the input signal according to
`a second control signal and outputs a second down-converted
`signal; and
`[1C] a combining module that combines the second
`down-converted signal with the first down-converted signal and
`outputs a single channel down-converted signal;
`[1D] wherein the first frequency down-conversion
`module comprises a first switch and a first storage element,
`wherein the first switch is coupled to the first storage element at
`a first node and coupled to a first reference potential; and
`[1E] wherein the second frequency down-conversion
`module comprises a second switch and a second storage
`element, wherein the second switch is coupled to the second
`storage element at a second node and coupled to a second
`reference potential.
`Ex. 1001, 85:41–64.
`
`7
`
`

`

`
`Case 6:20-cv-00108-ADA Document 117-5 Filed 03/21/22 Page 9 of 29Case 6:21-cv-00520-ADA Document 37-6 Filed 03/30/22 Page 10 of 30
`IPR2020-01302
`Patent 7,539,474 B2
`
`
`[12P] A method of down-converting an electromagnetic
`12.
`signal, comprising the steps of:
`[12A] (1) receiving an input signal;
`[12B] (2) frequency down-converting the input signal to
`a first down-converted signal;
`[12C] (3) frequency down-converting the input signal to
`a second down-converted signal;
`[12D] (4) combining the second down-converted signal
`with the first down-converted signal to form a first output
`signal;
`[12E] (5) frequency down-converting the input signal to
`a third down-converted signal;
`[12F] (6) frequency down-converting the input signal to a
`fourth down-converted signal; and
`[12G] (7) combining the fourth down-converted signal
`with the third down-converted signal to form a second output
`signal;
`[12H] wherein the input signal comprises an in-
`phase/quadrature-phase (I/Q) modulated signal, and
`[12I] wherein step (2) comprises the step of:
`(A) frequency down-converting the input signal to a
`noninverted I-phase signal portion of the I/Q modulated signal;
`[12J] wherein step (3) comprises the step of:
`(A) frequency down-converting the input signal to an
`inverted I-phase signal portion of the I/Q modulated signal;
`[12K] wherein step (5) comprises the step of:
`(A) frequency down-converting the input signal to a
`noninverted Q-phase signal portion of the I/Q modulated signal;
`and
`
`[12L] wherein step (6) comprises the step of:
`(A) frequency down-converting the input signal to an
`inverted Q-phase signal portion of the I/Q modulated signal.
`Id. at 86:51–87:18.
`
`8
`
`

`

`
`Case 6:20-cv-00108-ADA Document 117-5 Filed 03/21/22 Page 10 of 29Case 6:21-cv-00520-ADA Document 37-6 Filed 03/30/22 Page 11 of 30
`IPR2020-01302
`Patent 7,539,474 B2
`
`
`Level of Ordinary Skill in the Art
`
`Petitioner, supported by Dr. Subramanian’s testimony, proposes that a
`person of ordinary skill in the art at the time of the invention would have had
`“at least the equivalent of a bachelor’s degree in electrical engineering or a
`related subject and two or more years of experience in the field of RF circuit
`design.” Pet. 39 (citing Ex. 1002 ¶ 26). Petitioner explains that “[l]ess work
`experience may be compensated by a higher level of education, such as a
`master’s degree, and vice versa.” Id. (citing Ex. 1002 ¶ 26).
`Patent Owner does not express a position on the level of ordinary skill
`in the art in the Preliminary Response. See generally Prelim. Resp.
`At this stage of the proceeding, we find Petitioner’s proposal
`consistent with the level of ordinary skill in the art reflected by the
`’474 patent and the prior art of record, see Okajima v. Bourdeau, 261 F.3d
`1350, 1355 (Fed. Cir. 2001); In re GPAC Inc., 57 F.3d 1573, 1579 (Fed. Cir.
`1995); In re Oelrich, 579 F.2d 86, 91 (CCPA 1978), and, therefore, we adopt
`Petitioner’s unopposed position as to the level of ordinary skill in the art for
`purposes of institution.
`
`II.
`CLAIM CONSTRUCTION
`In this inter partes review, claims are construed using the same claim
`construction standard that would be used to construe the claims in a civil
`action under 35 U.S.C. § 282(b). See 37 C.F.R. §(cid:3031)42.100(b) (2020). The
`claim construction standard includes construing claims in accordance with
`the ordinary and customary meaning of such claims as understood by one of
`ordinary skill in the art at the time of the invention. See id.; Phillips v. AWH
`Corp., 415 F.3d 1303, 1312–14 (Fed. Cir. 2005) (en banc). In construing
`claims in accordance with their ordinary and customary meaning, we take
`
`9
`
`

`

`
`Case 6:20-cv-00108-ADA Document 117-5 Filed 03/21/22 Page 11 of 29Case 6:21-cv-00520-ADA Document 37-6 Filed 03/30/22 Page 12 of 30
`IPR2020-01302
`Patent 7,539,474 B2
`
`into account the specification and prosecution history. Phillips, 415 F.3d at
`1315–17.
`Additionally, only terms that are in controversy need to be construed,
`and these need be construed only to the extent necessary to resolve the
`controversy. See Vivid Techs., Inc. v. Am. Sci. & Eng’g, Inc., 200 F.3d 795,
`803 (Fed. Cir. 1999) (holding that “only those terms need be construed that
`are in controversy, and only to the extent necessary to resolve the
`controversy”); Nidec Motor Corp. v. Zhongshan Broad Ocean Motor Co.,
`868 F.3d 1013, 1017 (Fed. Cir. 2017) (citing Vivid Techs. in the context of
`an inter partes review).
`At this preliminary stage, we need not construe expressly any claim
`terms because none are in dispute. See Vivid Techs., 200 F.3d at 803.
`
`III. ANALYSIS
`35 U.S.C. § 314(a)
`
`Under 35 U.S.C. § 314(a), the Director has discretion to deny
`institution. In determining whether to exercise that discretion on behalf of
`the Director, we are guided by the Board’s precedential decision in NHK
`Spring Co. v. Intri-Plex Techs., Inc., IPR2018-00752, Paper 8 (PTAB
`Sept. 12, 2018) (precedential).
`In NHK, the Board found that the “advanced state of the district court
`proceeding” was a “factor that weighs in favor of denying” the petition
`under § 314(a). NHK, Paper 8 at 20. The Board determined that
`“[i]nstitution of an inter partes review under these circumstances would not
`be consistent with ‘an objective of the AIA . . . to provide an effective and
`efficient alternative to district court litigation.’” Id. (citing Gen. Plastic
`
`10
`
`

`

`
`Case 6:20-cv-00108-ADA Document 117-5 Filed 03/21/22 Page 12 of 29Case 6:21-cv-00520-ADA Document 37-6 Filed 03/30/22 Page 13 of 30
`IPR2020-01302
`Patent 7,539,474 B2
`
`Indus. Co. v. Canon Kabushiki Kaisha, IPR2016-01357, Paper 19 at 16–17
`(PTAB Sept. 6, 2017) (precedential as to § II.B.4.i)).
`“[T]he Board’s cases addressing earlier trial dates as a basis for denial
`under NHK have sought to balance considerations such as system efficiency,
`fairness, and patent quality.” Apple Inc. v. Fintiv Inc., IPR2020-00019,
`Paper 11 at 5 (PTAB Mar. 20, 2020) (precedential) (collecting cases). Fintiv
`sets forth six non-exclusive factors for determining “whether efficiency,
`fairness, and the merits support the exercise of authority to deny institution
`in view of an earlier trial date in the parallel proceeding.” Id. at 6. These
`factors consider:
`1. whether the court granted a stay or evidence exists that one
`may be granted if a proceeding is instituted;
`2. proximity of the court’s trial date to the Board’s projected
`statutory deadline for a final written decision;
`3. investment in the parallel proceeding by the court and the
`parties;
`4. overlap between issues raised in the petition and in the
`parallel proceeding;
`5. whether the petitioner and the defendant in the parallel
`proceeding are the same party; and
`6. other circumstances that impact the Board’s exercise of
`discretion, including the merits.
`
`Id.
`
`We discuss the parties’ arguments in the context of considering the
`above factors. In evaluating the factors, we take a holistic view of whether
`efficiency and integrity of the system are best served by denying or
`instituting review. Id.
`
`11
`
`

`

`
`Case 6:20-cv-00108-ADA Document 117-5 Filed 03/21/22 Page 13 of 29Case 6:21-cv-00520-ADA Document 37-6 Filed 03/30/22 Page 14 of 30
`IPR2020-01302
`Patent 7,539,474 B2
`
`
` Whether the Court Granted a Stay or Evidence Exists
`That One May Be Granted If a Proceeding Is Instituted
`On the present record, neither party has produced evidence that a stay
`has been requested by either party or considered by the district court in the
`related litigation.5 See Pet. 97–100; Prelim. Resp. 4–7. Thus, this factor
`does not weigh in favor of or against exercising our discretion to deny
`institution.
`
`
`
`Proximity of the Court’s Trial Date to the Board’s
`Projected Statutory Deadline for a Final Written
`Decision
`The current scheduling order governing the related litigation indicates
`a trial date of February 7, 2022. Ex. 2003 (“Amended Scheduling Order”),
`3; see Pet. 99 (referring to February 7, 2022); Prelim. Resp. 7. The projected
`statutory deadline for a final written decision is prior to the trial date. Thus,
`this factor weighs against exercising our discretion to deny institution.
`
`
`
`Investment in the Parallel Proceeding by the Court and
`the Parties
`The Amended Scheduling Order reflects that a Markman hearing was
`scheduled for January 22, 2021, and that fact discovery opens on January 29,
`2021. Ex. 2003, 2. Petitioner asserts this schedule reflects that the related
`litigation is in its preliminary stage and the court has not yet issued any
`substantive orders related to the ’474 patent. Pet. 99. Patent Owner
`contends this schedule reflects that the parties and the court have invested
`
`
`5 Patent Owner notes that Petitioner filed petitions challenging claims of
`only two of the twelve patents asserted by Patent Owner in the related
`litigation. Prelim. Resp. 5.
`
`12
`
`

`

`
`Case 6:20-cv-00108-ADA Document 117-5 Filed 03/21/22 Page 14 of 29Case 6:21-cv-00520-ADA Document 37-6 Filed 03/30/22 Page 15 of 30
`IPR2020-01302
`Patent 7,539,474 B2
`
`significant resources in the related litigation, including preparing claim
`construction briefing. Prelim. Resp. 8–11.
`The “investment factor is related to the trial date factor, in that more
`work completed by the parties and court in the parallel proceeding tends to
`support the arguments that the parallel proceeding is more advanced, a stay
`may be less likely, and instituting would lead to duplicative costs.” Fintiv,
`Paper 11 at 10. Here, the related litigation is at a very early stage. The only
`substantive briefing submitted by the parties in the related litigation is their
`claim construction briefs. See Ex. 2003, 2. And, as relevant to the claims at
`issue here, the dispute involves only three terms recited in claim 1.6 Paper 5
`(“Petitioner’s Supplemental Notice Regarding Claim Construction”), 1–2.
`For the first two terms, Petitioner proposes an express construction, while
`Patent Owner proposes plain and ordinary meaning; and, for the third term,
`the parties’ proposed constructions are very similar. Id. Additionally,
`Petitioner acted diligently and without much delay to file the Petition on
`September 2, 2020 (see Paper 4 (“Notice of Filing Date Accorded to Petition
`and Time for Filing Patent Owner Preliminary Response”), 1), which is just
`over two months after service of Patent Owner’s preliminary infringement
`contentions (see Ex. 1025 (“ParkerVision, Inc.’s Disclosure of Preliminary
`
`
`6 The three terms are “frequency down-conversion module,” “the . . . switch
`is coupled to the . . . storage element at a . . . node and coupled to a . . .
`reference potential,” and “storage element.” Paper 5, 1–2.
`
`13
`
`

`

`
`Case 6:20-cv-00108-ADA Document 117-5 Filed 03/21/22 Page 15 of 29Case 6:21-cv-00520-ADA Document 37-6 Filed 03/30/22 Page 16 of 30
`IPR2020-01302
`Patent 7,539,474 B2
`
`Infringement Contentions,” dated June 26, 2020)).7 Pet. 98. On these facts,
`we find that the related litigation is at a very early stage and the investment
`by the court and the parties therein is relatively minimal. Thus, this factor
`weighs strongly against exercising our discretion to deny institution.
`
`
`
`Overlap Between Issues Raised in the Petition and in the
`Parallel Proceeding
`Patent Owner contends that, although there are twelve patents at issue
`in the related litigation, there are significant issues in common between this
`proceeding and the related litigation as it pertains to the ’474 patent. Prelim.
`Resp. 12. Specifically, Patent Owner asserts Petitioner relies upon the same
`primary references to challenge claims of the ’474 patent in the related
`litigation as asserted in the Petition, and Petitioner’s Preliminary Invalidity
`Contentions incorporate, by reference, the entirety of the Petition. Id. at 13
`(citing Ex. 2006 (excerpts of Defendant Intel Corporation’s Preliminary
`Invalidity Contentions)).
`Petitioner contends this proceeding will not duplicate the related
`litigation because the claims at issue do not overlap completely. Pet. 100.
`Patent Owner asserts claims 1, 6, 10, and 11 in the related litigation, whereas
`Petitioner challenges claims 1, 3, 4, 7, and 9–12 here. Compare Ex. 1025
`(ParkerVision, Inc.’s Disclosure of Preliminary Infringement Contentions),
`2, with Pet. 1. Thus, Petitioner challenges five claims not asserted in the
`
`7 In considering the time period between Patent Owner’s preliminary
`infringement contentions and the filing of the Petition, we are mindful that
`(a) Patent Owner asserted twelve patents in the related litigation, (b) the
`’474 patent is 181 pages in length, and (c) a reasonable amount of time is
`needed to conduct prior art searches, obtain and prepare evidence in support
`of a petition, and prepare a petition. Accordingly, we find that Petitioner
`acted promptly in filing the Petition.
`
`14
`
`

`

`
`Case 6:20-cv-00108-ADA Document 117-5 Filed 03/21/22 Page 16 of 29Case 6:21-cv-00520-ADA Document 37-6 Filed 03/30/22 Page 17 of 30
`IPR2020-01302
`Patent 7,539,474 B2
`
`related litigation (claims 3, 4, 7, 9, and 12) and does not challenge claim 6,
`although it is asserted in the related litigation. Pet. 100. Additionally,
`Petitioner contends it “also expects to assert in the district court litigation
`additional invalidity grounds to those presented in [the] Petition.” Id.
`We find that there is an overlap, to some extent, between the issues
`raised in the Petition and the related litigation. On the one hand, in addition
`to Patent Owner’s representation that Petitioner relies upon the same
`primary references,8 Petitioner incorporates the entirety of the Petition in its
`Preliminary Invalidity Contentions.9 Ex. 2006, 1. On the other hand,
`however, there is a significant difference in the claims at issue in each
`forum. Here, Petitioner includes a challenge to independent method
`claim 12, which is not at issue in the related litigation. Independent claim 12
`raises different issues regarding the application of the art at least because
`(a) the claim is directed to a method whereas the other Challenged Claims
`are directed to apparatuses, and (b) the steps of claim 12 do not appear to
`parallel any of the apparatus claims.10
`
`
`8 The excerpts of Petitioner’s Invalidity Contentions submitted as
`Exhibit 2006 do not appear to include the prior art that forms the basis for
`Petitioner’s assertions in the related litigation (see generally Ex. 2006), but
`Petitioner has not sought leave to clarify the record in this proceeding, e.g.,
`via a preliminary reply.
`9 The potential inclusion of additional grounds of invalidity in the related
`litigation does not detract from the fact that the grounds raised in the Petition
`also are raised in the related litigation.
`10 Notably, Petitioner relies upon Arpaia in challenging claim 12, whereas
`Petitioner relies upon Larson and Butler in challenging claims 1, 3, 4, 7, and
`9–11, thus supporting our view that the steps of claim 12 do not appear to
`parallel any of the other Challenged Claims.
`
`15
`
`

`

`
`Case 6:20-cv-00108-ADA Document 117-5 Filed 03/21/22 Page 17 of 29Case 6:21-cv-00520-ADA Document 37-6 Filed 03/30/22 Page 18 of 30
`IPR2020-01302
`Patent 7,539,474 B2
`
`
`Additionally, we find it notable that claim 6 is not challenged in the
`Petition, although it is asserted by Patent Owner in the related litigation.
`Despite this difference raising a distinction in the overlap, we find the
`difference raises concerns of inefficiency in that even if we were to
`conclude, after a final written decision, that the Challenged Claims are
`unpatentable, our determination would not resolve the parties’ present
`dispute regarding the ’474 patent because claim 6 would remain for
`disposition by the district court.
`Although this factor includes aspects that weigh in each party’s favor,
`we find that, on balance, this factor weighs slightly in favor of exercising our
`discretion to deny institution.
`
` Whether the Petitioner and the Defendant in the Parallel
`Proceeding Are the Same Party
`Petitioner and Patent Owner are the defendant and plaintiff,
`respectively, in the related litigation. Prelim. Resp. 14. As we explain
`above, however, we are likely to reach the merits before the trial date in the
`district court. Thus, this factor does not weigh in favor of or against
`exercising our discretion to deny institution.
`
`
`
`Other Circumstances that Impact the Board’s Exercise of
`Discretion, Including the Merits
`Petitioner contends that “the merits of this [P]etition alone warrant
`institution.” Pet. 100. In particular, Petitioner relies upon Larson as
`anticipating six of the claims (claims 1, 3, 4, and 9–11). Id. at 12. As
`discussed infra, on the present record, Petitioner identifies where Larson
`discloses each and every element of claims 1, 3, 4, and 9–11. Id. at 39–57;
`see infra § III.C.2.
`
`16
`
`

`

`
`Case 6:20-cv-00108-ADA Document 117-5 Filed 03/21/22 Page 18 of 29Case 6:21-cv-00520-ADA Document 37-6 Filed 03/30/22 Page 19 of 30
`IPR2020-01302
`Patent 7,539,474 B2
`
`
`Patent Owner’s Preliminary Response does not address the merits of
`the Petition (see Prelim. Resp. 15 n.6 (explaining that the Preliminary
`Response only addresses the discretionary bases for denial of institution)),
`but instead argues that (1) “institution . . . will also give rise to substantial
`duplication of efforts” because the related litigation will continue in parallel,
`and (2) because of the pending decision by the U.S. Supreme Court in the
`appeal of Arthrex, Inc. v. Smith & Nephew, Inc., 941 F.3d 1320 (Fed. Cir.
`2019), cert. granted sub nom. United States v. Arthrex, Inc., 2020 WL
`6037206 (Oct. 13, 2020), “institution of further [inter partes reviews] is ill
`advised at this time.” Id. at 15.
`On the present record before us, we are persuaded that the merits of
`the Petition appear strong. Although we recognize that the district court
`proceeding may occur in parallel, we find that this factor moderately weighs
`against exercising our discretion to deny institution.11
`
` Weighing the Factors
`As discussed above, the only factor that weighs in favor of exercising
`discretion to deny institution is factor 4, which weighs slightly in favor.
`Factors 1 and 5 are neutral, while factors 2, 3, and 6 weigh against
`exercising discretion. On balance, factor 4 is outweighed by factors 2, 3,
`and 6 on the present record. In particular, the projected statutory deadline of
`a final written decision is prior to the district court’s trial date, the
`
`
`11 Regarding Patent Owner’s argument as to the constitutionality of the
`appointments of the Administrative Patent Judges (see Prelim. Resp. 15–17
`(discussing this issue as part of Fintiv factor six as well as raising it
`separately as a reason to deny institution)), we decline to consider the
`argument because the U.S. Court of Appeals for the Federal Circuit
`addressed this issue in Arthrex.
`
`17
`
`

`

`
`Case 6:20-cv-00108-ADA Document 117-5 Filed 03/21/22 Page 19 of 29Case 6:21-cv-00520-ADA Document 37-6 Filed 03/30/22 Page 20 of 30
`IPR2020-01302
`Patent 7,539,474 B2
`
`investment in the related litigation is relatively minimal, and the merits of
`the Petition appear strong. After weighing all of the factors and taking a
`holistic view of the relevant circumstances of this proceeding, we determine
`that, on balance, the factors favor not exercising discretion to deny
`institution under 35 U.S.C. § 314(a).
`
`
`
`Legal Standards
`Anticipation
`
`“[A] claim is anticipated ‘if each and every limitation is found
`expressly or inherently in a single prior art reference.’” King Pharm., Inc. v.
`Eon Labs., Inc., 616 F.3d 1267, 1274 (Fed. Cir. 2010) (quoting Celeritas
`Techs., Ltd. v. Rockwell Int’l Corp., 150 F.3d 1354, 1361 (Fed. Cir. 1998)).
`Anticipation is a question of fact, In re Gleave, 560 F.3d 1331, 1334–35
`(Fed. Cir. 2009), assessed from the perspective of one of ordinary skill in the
`art, see Dayco Prods., Inc. v. Total Containment, Inc., 329 F.3d 1358, 1368
`(Fed. Cir. 2003) (“the dispositive question regarding anticipation [i]s
`whether one skilled in the art would reasonably understand or infer from the
`[prior art reference’s] teaching that every claim element was disclosed in
`that single reference” (alteration in original) (quotation omitted)).
`
`Obviousness
`
`The U.S. Supreme Court set forth the framework for applying the
`statutory language of 35 U.S.C. § 103(a) in Graham v. John Deere Co. of
`Kansas City, 383 U.S. 1, 17–18 (1966):
`Under § 103[(a)], the scope and content of the prior art are to be
`determined; differences between the prior art and the claims at
`issue are to be ascertained; and the level of ordinary skill in the
`pertinent art resolved. Against this background, the
`obviousness or nonobviousness of the subject matter is
`determined. Such secondary considerations as commercial
`
`18
`
`

`

`
`Case 6:20-cv-00108-ADA Document 117-5 Filed 03/21/22 Page 20 of 29Case 6:21-cv-00520-ADA Document 37-6 Filed 03/30/22 Page 21 of 30
`IPR2020-01302
`Patent 7,539,474 B2
`
`
`success, long felt but unsolved needs, failure of others, etc.,
`might be utilized to give light to the circumstances surrounding
`the origin of the subject matter sought to be patented.
`As explained by the Supreme Court in KSR International Co. v. Teleflex
`Inc.:
`
`Often, it will be necessary for a court to look to interrelated
`teachings of multiple patents; the effects of demands known to
`the design community or present in the marketplace; and the
`background knowledge possessed by a person having ordinary
`skill in the art, all in order to determine whether there was an
`apparent reason to combine the known elements in the fashion
`claimed by the patent at issue. To facilitate review, this
`analysis should be made explicit.
`550 U.S. 398, 418 (2007) (citing In re Kahn, 441 F.3d 977, 988 (Fed. Cir.
`2006) (“[R]ejections on obviousness grounds cannot be sustained by mere
`conclusory statements; instead, there must be some articulated reasoning
`with some rational underpinning to support the legal conclusion of
`obviousness.”)).
`“Whether an ordinarily skilled artisan would have been motivated to
`modify the teachings of a reference is a question of fact.” WBIP, LLC v.
`Kohler Co., 829 F.3d 1317, 1327 (Fed. Cir. 2016) (citations omitted).
`“[W]here a party argues a skilled artisan would have been motivated to
`combine references, it must show the artisan ‘would have had a reasonable
`expectation of success from doing so.’” Arctic Cat Inc. v. Bombardier
`Recreational Prods. Inc., 876 F.3d 1350, 1360–61 (Fed. Cir. 2017) (quoting
`In re Cyclobenzaprine Hydrochloride Extended-Release Capsule Patent
`Litig., 676 F.3d 1063, 1068–69 (Fed. Cir. 2012)).
`
`19
`
`

`

`
`Case 6:20-cv-00108-ADA Document 117-5 Filed 03/21/22 Page 21 of 29Case 6:21-cv-00520-ADA Document 37-6 Filed 03/30/22 Page 22 of 30
`IPR2020-01302
`Patent 7,539,474 B2
`
`
`Anticipation by Larson
`
`Petitioner contends that Larson discloses each and every element of
`claims 1, 3, 4, and 9–11. Pet. 39–57.
`
`Larson
`
`Larson “presen

This document is available on Docket Alarm but you must sign up to view it.


Or .

Accessing this document will incur an additional charge of $.

After purchase, you can access this document again without charge.

Accept $ Charge
throbber

Still Working On It

This document is taking longer than usual to download. This can happen if we need to contact the court directly to obtain the document and their servers are running slowly.

Give it another minute or two to complete, and then try the refresh button.

throbber

A few More Minutes ... Still Working

It can take up to 5 minutes for us to download a document if the court servers are running slowly.

Thank you for your continued patience.

This document could not be displayed.

We could not find this document within its docket. Please go back to the docket page and check the link. If that does not work, go back to the docket and refresh it to pull the newest information.

Your account does not support viewing this document.

You need a Paid Account to view this document. Click here to change your account type.

Your account does not support viewing this document.

Set your membership status to view this document.

With a Docket Alarm membership, you'll get a whole lot more, including:

  • Up-to-date information for this case.
  • Email alerts whenever there is an update.
  • Full text search for other cases.
  • Get email alerts whenever a new case matches your search.

Become a Member

One Moment Please

The filing “” is large (MB) and is being downloaded.

Please refresh this page in a few minutes to see if the filing has been downloaded. The filing will also be emailed to you when the download completes.

Your document is on its way!

If you do not receive the document in five minutes, contact support at support@docketalarm.com.

Sealed Document

We are unable to display this document, it may be under a court ordered seal.

If you have proper credentials to access the file, you may proceed directly to the court's system using your government issued username and password.


Access Government Site

We are redirecting you
to a mobile optimized page.





Document Unreadable or Corrupt

Refresh this Document
Go to the Docket

We are unable to display this document.

Refresh this Document
Go to the Docket