`
`UNITED STATES DISTRICT COURT
`FOR THE EASTERN DISTRICT OF VIRGINIA
`Alexandria Division
`
`
`RAI STRATEGIC HOLDINGS, INC. and
`R.J. REYNOLDS VAPOR COMPANY,
`Plaintiffs and Counterclaim Defendants,
`v.
`ALTRIA CLIENT SERVICES LLC; PHILIP
`MORRIS USA, INC.; and PHILIP MORRIS
`PRODUCTS S.A.,
`Defendants and Counterclaim Plaintiffs.
`
`
`
`
`Case No.: 1:20cv00393-LO-TCB
`
`
`
`REYNOLDS’S FOURTH AMENDED TRIAL EXHIBIT LIST
`
`Pursuant to Federal Rule of Civil Procedure 26(a)(3) and the Court’s Scheduling Orders
`
`(Dkt. Nos. 97, 99, 461, 535, and 680), R.J. Reynolds Vapor Company (“Reynolds”) submits the
`
`fourth amended list of exhibits attached as Exhibit A that Reynolds intends to offer in the trial on
`
`claims related to United States Patent Numbers 9,814,265 and 10,104,911 asserted by Philip
`
`Morris Products S.A. (“PMP”), other than those solely for impeachment or rebuttal. Reynolds
`
`reserves the right to submit a new, amended, or supplemental list of exhibits on issues related to
`
`PMP’s equitable claim for injunctive relief, which is currently held in abeyance. Reynolds also
`
`reserves the right to submit a new, amended, or supplemental list of exhibits for subsequent trial
`
`on claims related to Reynolds’s United States Patent Nos. 9,814,238, 9,901,123, 9,930,915, and
`
`10,492,542. Reynolds reserves the right to offer, or not offer, as an exhibit at trial any item listed
`
`herein. Reynolds reserves the right to object to the offering as an exhibit at trial any item listed
`
`herein by PMP. Reynolds reserves the right to offer as an exhibit at trial any item designated by
`
`PMP or listed by PMP on its exhibit list. Reynolds reserves the right to offer for rebuttal or
`
`impeachment items that are not identified on this list.
`
`
`
`
`
`
`
`
`Case 1:20-cv-00393-LO-TCB Document 1298 Filed 06/08/22 Page 2 of 112 PageID# 33127
`
`Reynolds also reserves the right to supplement, amend, or otherwise modify this exhibit
`
`list as appropriate, including but not limited to the right to supplement this list with any late-
`
`produced or late-served documents or based on PMP’s trial presentation, as may be appropriate.
`
`Inclusion on this list is neither an admission nor a representation as to the admissibility of or
`
`relevance to any issue of any item. By listing an item, Reynolds is neither representing nor
`
`admitting that it has the burden of proof on any topic to which that item relates. Reynolds reserves
`
`the right to offer demonstratives for opening statements and closing argument, and to use
`
`demonstratives during witness examinations. Reynolds reserves the right to present excerpts from
`
`any exhibit identified on either party’s exhibit list as a demonstrative at trial as appropriate.
`
`Reynolds reserves the right to request redaction of any of the exhibits.
`
`Further, Reynolds reserves the right to supplement, amend, or otherwise modify this exhibit
`
`list as appropriate based on further exchanges between the parties or rulings from the Court.
`
`
`
`
`
`
`
`2
`
`
`
`Case 1:20-cv-00393-LO-TCB Document 1298 Filed 06/08/22 Page 3 of 112 PageID# 33128
`
`Dated: June 8, 2022
`
`
`
`Stephanie E. Parker
`JONES DAY
`1221 Peachtree Street, N.E.
`Suite 400
`Atlanta, GA 30361
`Telephone: (404) 521-3939
`Facsimile: (404) 581-8330
`Email: separker@jonesday.com
`
`Anthony M. Insogna
`JONES DAY
`4655 Executive Drive
`Suite 1500
`San Diego, CA 92121
`Telephone: (858) 314-1200
`Facsimile: (844) 345-3178
`Email: aminsogna@jonesday.com
`
`William E. Devitt
`JONES DAY
`110 North Wacker Drive
`Suite 4800
`Chicago, IL 60606
`Telephone: (312) 269-4240
`Facsimile: (312) 782-8585
`Email: wdevitt@jonesday.com
`
`Sanjiv P. Laud
`JONES DAY
`90 South Seventh Street
`Suite 4950
`Minneapolis, MN 55402
`Telephone: (612) 217-8800
`Facsimile: (844) 345-3178
`Email: slaud@jonesday.com
`
`
`
`
`
`
`
`
`/s/ David M. Maiorana
`David M. Maiorana (VA Bar No. 42334)
`Ryan B. McCrum
`JONES DAY
`901 Lakeside Avenue
`Cleveland, OH 44114
`Telephone: (216) 586-3939
`Facsimile: (216) 579-0212
`Email: dmaiorana@jonesday.com
`Email: rbmccrum@jonesday.com
`
`John J. Normile
`JONES DAY
`250 Vesey Street
`New York, NY 10281
`Tel: (212) 326-3939
`Fax: (212) 755-7306
`Email: jjnormile@jonesday.com
`
`Alexis A. Smith
`JONES DAY
`555 South Flower Street
`Fiftieth Floor
`Los Angeles, CA 90071
`Telephone: (213) 243-2653
`Facsimile: (213) 243-2539
`Email: asmith@jonesday.com
`
`Charles B. Molster, III (VA Bar No. 23613)
`The Law Offices of Charles B. Molster III PLLC
`2141 Wisconsin Ave., N.W., Suite M
`Washington, DC 20007
`Telephone: (703) 346-1505
`Email: cmolster@molsterlaw.com
`
`Counsel for Plaintiffs RAI Strategic Holdings, Inc.
`and R.J. Reynolds Vapor Company
`
`
`
`
`
`3
`
`
`
`
`
`
`
`
`Case 1:20-cv-00393-LO-TCB Document 1298 Filed 06/08/22 Page 4 of 112 PageID# 33129
`
`CERTIFICATE OF SERVICE
`
`
`
`I hereby certify that on June 8, 2022, a true and correct copy of the foregoing was served
`
`via e-mail to all counsel of record.
`
`
`
`Dated: June 8, 2022
`
`
`
`
`
`
`
`
`
`
`
`/s/ David M Maiorana
`David M. Maiorana (VA Bar No. 42334)
`JONES DAY
`901 Lakeside Avenue
`Cleveland, OH 44114
`Telephone: (216) 586-3939
`Facsimile: (216) 579-0212
`Email: dmaiorana@jonesday.com
`
`
`4
`
`
`
`Case 1:20-cv-00393-LO-TCB Document 1298 Filed 06/08/22 Page 5 of 112 PageID# 33130
`Case 1:20-cv-00393-LO-TCB Document 1298 Filed 06/08/22 Page 5 of 112 PagelD# 33130
`
`EXHIBIT A
`EXHIBIT A
`
`
`
`Case 1:20-cv-00393-LO-TCB Document 1298 Filed 06/08/22 Page 6 of 112 PageID# 33131
`
`Document Description
`Ending Bates
`Beginning Bates
`U.S. Pat. No. 6,803,545 (Blake)
`RJREDVA_001485761
`RJREDVA_001485751
`U.S. Pat. No. 10,104,911 (Thorens)
`RJREDVA_001626541
`RJREDVA_001626527
`U.S. Pat. No. 9,814,265 (Rinker)
`RJREDVA_001642779
`RJREDVA_001642770
`U.S. Pat. No. 10,420,374 (Liu)
`RJREDVA_001642445
`RJREDVA_001642420
`U.S. Pat. No. 10,555,556 (Malgat)
`RJREDVA_001642462
`RJREDVA_001642446
`DEF_PUB_EDVA000014678 DEF_PUB_EDVA000014889 File History for U.S. Patent Application No. 10/161,639 (U.S.
`Pat. No. 6,803,545)
`DEF_PUB_EDVA000015567 DEF_PUB_EDVA000016366 File History for U.S. Patent Application No. 13/990,067 (U.S.
`Pat. No. 10,104,911)
`DEF_PUB_EDVA000014890 DEF_PUB_EDVA000015566 File History for U.S. Patent Application No. 14/344,026 (U.S.
`Pat. No. 9,814,265)
`DEF_PUB_EDVA000016367 DEF_PUB_EDVA000018530 File History for U.S. Patent Application No. 14/793,453 (U.S.
`Pat. No. 10,420,374)
`DEF_PUB_EDVA000018531 DEF_PUB_EDVA000019660 File History for U.S. Patent Application No. 15/117,663 (U.S.
`Pat. No. 10,555,556)
`File History for U.S. Pat. No. 9,072,321
`Stipulation (Joint) re: Authentication of 3rd Party Documents
`Joint Pre‐Trial Stipulation, 4‐9‐21
`Joint Stipulation of Uncontested Facts dated May 21, 2021
`
`1199_RESP00010301
`
`1199_RESP00010422
`
`FDA PMTA Coversheet: Technical Project Lead Review (TPL)
`PMP SA 5/15/17
`
`1199_RESP00010463
`
`1199_RESP00010465
`
`CDC Press Release: "Cigarette Smoking Among U.S. Adults Hits
`All‐Time Low" (November 14, 2019)
`
`Trial Exhibit
`No.
`RX‐0001
`RX‐0002
`RX‐0003
`RX‐0004
`RX‐0005
`RX‐0006
`
`RX‐0007
`
`RX‐0008
`
`RX‐0009
`
`RX‐0010
`
`RX‐0011
`RX‐0012
`RX‐0013
`RX‐0014
`RX‐0015 to
`RX‐0019
`(NOT USED)
`RX‐0020
`
`RX‐0021
`(NOT USED)
`RX‐0022
`
`RX‐0023 to
`RX‐0024
`(NOT USED)
`
`
`
`Case 1:20-cv-00393-LO-TCB Document 1298 Filed 06/08/22 Page 7 of 112 PageID# 33132
`
`Trial Exhibit
`No.
`RX‐0025
`
`Beginning Bates
`1199_RESP00010602
`
`Ending Bates
`1199_RESP00010603
`
`Document Description
`Law 360 (April 6, 2020) ‐ E‐Cigarette Deadline Extended Amid
`COVID‐19 Pandemic
`
`RX‐0026 to
`RX‐0029
`(NOT USED)
`RX‐0030
`
`RX‐0031 to
`RX‐0032
`(NOT USED)
`RX‐0033
`
`RX‐0034
`(NOT USED)
`RX‐0035
`
`RX‐0036 to
`RX‐0038
`(NOT USED)
`RX‐0039
`
`RX‐0040 to
`RX‐0042
`(NOT USED)
`RX‐0043
`
`RX‐0044 to
`RX‐0047
`(NOT USED)
`
`1199_RESP00010627
`
`1199_RESP00010630
`
`MUSC: Hollings Cancer Center: Heat Not Burn and Other
`Products
`
`1199_RESP00010652
`
`1199_RESP00010658
`
`Filter, Rise of Heat‐Not‐Burn Products Coincides With
`Decrease in Cigarette Sales
`
`1199_RESP00010692
`
`1199_RESP00010694
`
`Reynolds American Inc. News Release: "Complete Premarket
`Tobacco Product Applications ‐ Vuse Vibe and Vuse Ciro Join
`Reynolds' Prior Vuse Solo Submission to FDA (April 15, 2020)
`
`1199_RESP00010890
`
`1199_RESP00010907
`
`Healthy Innovation, Safer Families: FDA's 2018 Strategic Policy
`Roadmap ‐ January 2018
`
`1199_RESP00010925
`
`1199_RESP00010931
`
`Vaping 360 ‐ McDonald: The First Vape PMTA Has Been
`Submitted to the FDA
`
`
`
`Case 1:20-cv-00393-LO-TCB Document 1298 Filed 06/08/22 Page 8 of 112 PageID# 33133
`
`Trial Exhibit
`No.
`RX‐0048
`
`Beginning Bates
`1199_RESP00011600
`
`Ending Bates
`1199_RESP00011619
`
`RX‐0049
`
`1199_RESP00011682
`
`1199_RESP00011696
`
`RX‐0050
`
`1199_RESP00011697
`
`1199_RESP00011818
`
`RX‐0051
`
`1199_RESP00011976
`
`1199_RESP00011995
`
`RX‐0052
`
`1199_RESP00012311
`
`1199_RESP00012323
`
`RX‐0053
`
`1199_RESP00012324
`
`1199_RESP00012403
`
`RX‐0054
`
`1199_RESP00012463
`
`1199_RESP00012464
`
`RX‐0055
`
`1199_RESP00012473
`
`1199_RESP00012476
`
`RX‐0056
`
`1199_RESP00012477
`
`1199_RESP00012480
`
`RX‐0057
`
`1199_RESP00012495
`
`1199_RESP00012495
`
`RX‐0058
`
`1199_RESP00012745
`
`1199_RESP00012748
`
`RX‐0059
`
`1199_RESP00012749
`
`1199_RESP00012752
`
`Document Description
`Submission to Tobacco Products Scientific Advisory
`Committee, "Modified Risk Tobacco Product Applications:
`Applications for IQOS system with Marlboro Heatsticks, IQOS
`system Marlboro Smooth Menthol Heatsticks, and IQOS
`system with Marlboro Fresh Menthol Heatsticks (ITC Ex. Nos.
`JX‐0026; CX‐0075; RX‐0302 )
`PMI Science ‐ Scientific Update for Smoke‐Free Products, June
`2018, Issue 5
`PMTA Coversheet: Technical Project Lead Review (TPL)
`5/15/2017
`What You Need to Know about Quitting Smoking, Advice from
`the Surgeon General (ITC Ex. No. RX‐0315)
`Letter from M.R Holman (FDA) to J. Walker (Philip Morris
`Products S.A.) re FDA review of MRTPAs
`FDA Scientific Review of Modified Risk Tobacco Product
`Application (MRTPA) Under Section 911(d) of the PD&C Act —
`Technical Project Lead, 12/5/16
`Channel New Asia, "BAT Says US Vaping Slowdown Will Lead
`to Slower Growth in e‐Cig Business" (November 27, 2019)
`R.J. Reynolds Tobacco Company: Guiding Principles & Beliefs
`(Website)
`Reynolds American: Harm Reduction,
`https://www.reynoldsamerican.com/how‐we‐innovate/harm‐
`reduction
`R.J. Reynolds Tobacco Company: Transforming Tobacco
`(Website)
`The Seattle Times, 10/6/2019: Philip Morris quietly brings
`IQOS to U.S. amid vaping uproar
`Vaping 360 ‐ McDonald, 5/1/2019: IQOS Approved by FDA:
`How will it Affect Vaping
`
`
`
`Case 1:20-cv-00393-LO-TCB Document 1298 Filed 06/08/22 Page 9 of 112 PageID# 33134
`
`Trial Exhibit
`No.
`RX‐0060
`
`Beginning Bates
`1199_RESP00012994
`
`Ending Bates
`1199_RESP00012997
`
`RX‐0061
`
`1199_RESP00012998
`
`1199_RESP00013000
`
`RX‐0062
`
`1199_RESP00013492
`
`1199_RESP00013496
`
`RX‐0063
`
`1199_RESP00014118
`
`1199_RESP00014169
`
`RX‐0064
`(NOT USED)
`RX‐0065
`
`1199_RESP00014487
`
`1199_RESP00014489
`
`RX‐0066
`
`1199_RESP00014490
`
`1199_RESP00014491
`
`RX‐0067
`RX‐0068
`
`1199_RESP00015205
`1199_RESP00016061
`
`1199_RESP00015335
`1199_RESP00016063
`
`RX‐0069
`
`1199_RESP00016064
`
`1199_RESP00016065
`
`RX‐0070
`
`1199_RESP00016066
`
`1199_RESP00016068
`
`RX‐0071
`
`1199_RESP00016069
`
`1199_RESP00016070
`
`Document Description
`Reynolds American Inc. News Release: "Reynolds Completes
`2020 PMTA Submissions with Vuse Alto E‐Cigarette
`Applications" (September 4, 2020)
`Reynolds American Inc. News Release: "Reynolds Submits
`Second and Third Complete Premarket Tobacco Product
`Applications, Vuse Vibe and Vuse Ciro Join Reynolds' Prior
`Vuse Solo Submission to FDA" (April 15, 2020)
`NACS Daily ‐ Reynolds Completes 2020 PMTA Submissions
`(9/8/2020)
`Enforcement Priorities for Electronic Nicotine Delivery Systems
`(ENDS) and Other Deemed Products on the Market Without
`Premarket Authorization (Revised) (Apr. 29, 2020),
`https://www.fda.gov/media/133880/download
`
`RJRT Website: Guiding Principles and Beliefs ‐ Balancing the
`Desires of our Stakeholders (7/19/2020)
`RJRT Website: Harm Reduction (9/14/2020),
`https://rjrt.com/tobacco‐use‐health/harm‐reduction/
`PMI Form 10‐K Annual Report for Fiscal Year end 12/31/2018
`Reynolds American.com: Harm Reduction,
`https://www.reynoldsamerican.com/how‐we‐innovate/harm‐
`reduction
`Contify Retail News, "Reynolds American Inc. Submits
`Premarket Tobacco Product Application for VUSE Products"
`(October 11, 2019)
`Mooresville Tribune, 10/11/2019: Reynolds applies to FDA for
`premarket status for Vuse e‐cigarette
`Impact Financial News, 9/10/2020: Reynolds Completes 2020
`PMTA Submissions
`
`
`
`Case 1:20-cv-00393-LO-TCB Document 1298 Filed 06/08/22 Page 10 of 112 PageID# 33135
`
`Trial Exhibit
`No.
`RX‐0072
`
`Beginning Bates
`1199_RESP00016071
`
`Ending Bates
`1199_RESP00016073
`
`RX‐0073
`
`1199_RESP00016076
`
`1199_RESP00016079
`
`RX‐0074
`
`1199_RESP00016082
`
`1199_RESP00016085
`
`RX‐0075
`RX‐0076
`
`1199_RESP00016086
`1199_RESP00016312
`
`1199_RESP00016086
`1199_RESP00016314
`
`RX‐0077
`
`1199_RESP00016448
`
`1199_RESP00016459
`
`RX‐0078
`
`1199_RESP50000280
`
`1199_RESP50000334
`
`RX‐0079
`
`1199_RESP50000750
`
`1199_RESP50000771
`
`RX‐0080
`
`1199_RESP50000931
`
`1199_RESP50000983
`
`RX‐0081
`RX‐0082
`
`1199_RESP50003229
`1199_RESP50003231
`
`1199_RESP50003230
`1199_RESP50003243
`
`Document Description
`Winston‐Salem Journal, 9/2/2020: Reynolds seeks approval
`for nicotine pouches; Reynolds seeks approval for nicotine
`pouches from FDA
`Reynolds Completes 2020 PMTA Submissions with Vuse Alto E‐
`Cig Applications, Sept. 4, 2020
`Winston‐Salem Journal, 9/4/2020 Craver: Reynolds Vapor
`completes submissions for nicotine products to FDA
`RJR Website: Our Vision and Mission ‐ Transforming Tobacco
`WSJ 9/9/2020 Maloney: Vaping Drops Among Young People
`In U.S.
`Zeller, Perspective: FDA's Preparations for September 9
`Deadline
`FDA: Premarket Tobacco Product Applications for Electronic
`Nicotine Delivery Systems, Guidance for Industry, June 2019
`Dai, Hongying, "Heated Tobacco Product Use and Associated
`Factors Among U.S. Youth, 2019," Drug and Alcohol
`Dependence (2020), available at
`https://doi.org/10.1016/j.drugalcdep.2020.108150
`FDA: Premarket Tobacco Product Applications for Electronic
`Nicotine Delivery Systems, DRAFT Guidance for Industry, May
`2016
`PM USA: Marketing Practices (10/22/2020)
`Philip Morris Products S.A., PMI Research & Development:
`IQOS owners EU: Key Methodological Features and Key Results
`(ITC Ex. No. CX‐0101)
`
`
`
`Case 1:20-cv-00393-LO-TCB Document 1298 Filed 06/08/22 Page 11 of 112 PageID# 33136
`
`Trial Exhibit
`No.
`RX‐0083
`
`Beginning Bates
`1199_RESP50003264
`
`Ending Bates
`1199_RESP50003285
`
`RX‐0084
`(NOT USED)
`RX‐0085
`
`ACU000031
`
`RX‐0086
`
`ACU000033
`
`ACU000032
`
`ACU000038
`
`Document Description
`Reuters Investigates: The Philip Morris Files, Clinical
`Complications Part 3, Former employees and contractors have
`detailed irregularities in the clinical experiments that underpin
`Philip Morris International's application to the FDA for
`approval of its IQOS smoking device by T. Lasseter, et al. (ITC
`Ex. No. CX‐0102)
`
`The Verge, E‐cigarettes linked to helping people quit smoking,
`by A. Chen 7‐26‐17
`Craver, Richard, "CDC Report Shows More Smokers Try to Quit
`with e‐Cigs Than Nicotine Replacement Products," Winston‐
`Salem Journal (April 18, 2017)
`
`RX‐0087 to
`RX‐0090
`(NOT USED)
`RX‐0091
`
`RX‐0092
`
`RX‐0093
`
`RX‐0094
`
`RX‐0095
`
`RX‐0096 to
`RX‐0098
`(NOT USED)
`
`ACU000069
`
`ACU000076
`
`ALTRIA_IQOS_EDVA000000
`0001
`ALTRIA_IQOS_EDVA000000
`0152
`ALTRIA_IQOS_EDVA000000
`0161
`ALTRIA_IQOS_EDVA000000
`0379
`
`ALTRIA_IQOS_EDVA000000
`0151
`ALTRIA_IQOS_EDVA000000
`0160
`ALTRIA_IQOS_EDVA000000
`0254
`ALTRIA_IQOS_EDVA000000
`0403
`
`Zhu, Shu‐Hong, et al., "E‐Cigarette Use and Associated
`Changes in Population Smoking Cessation: Evidence from US
`Current Population Surveys," BMJ 358 (2017)
`Intellectual Property License Agreement dated December 20,
`2018
`Intellectual Property Assignment dated 2/28/17
`
`Intellectual Property Purchase Agreement dated December 30,
`2016
`Draft IP Due Diligence Report dated 9/10/15
`
`
`
`Case 1:20-cv-00393-LO-TCB Document 1298 Filed 06/08/22 Page 12 of 112 PageID# 33137
`
`Beginning Bates
`ALTRIA_IQOS_EDVA000000
`0469
`ALTRIA_IQOS_EDVA000000
`0754
`ALTRIA_IQOS_EDVA000000
`0915
`
`Ending Bates
`ALTRIA_IQOS_EDVA000000
`0470
`ALTRIA_IQOS_EDVA000000
`0761
`ALTRIA_IQOS_EDVA000000
`0918
`
`Document Description
`Assignment from Wedegree GmbH to Philip Morris Products
`
`Intellectual Property Overview, dated 6/16/16
`
`Exclusivity Agreement with Altria Client Services LLC dated
`December 8, 2016
`
`Trial Exhibit
`No.
`RX‐0099
`
`RX‐0100
`
`RX‐0101
`
`RX‐0102
`(NOT USED)
`RX‐0103
`(NOT USED)
`RX‐0104
`
`RX‐0105
`
`RX‐0106
`
`RX‐0107
`
`ALTRIA_IQOS_EDVA000000
`1188
`ALTRIA_IQOS_EDVA000000
`1209
`ALTRIA_IQOS_EDVA000000
`1688
`ALTRIA_IQOS_EDVA000000
`1705
`
`ALTRIA_IQOS_EDVA000000
`1194
`ALTRIA_IQOS_EDVA000000
`1210
`ALTRIA_IQOS_EDVA000000
`1689
`ALTRIA_IQOS_EDVA000000
`1705
`
`RX‐0108
`
`ALTRIA_IQOS_EDVA000000
`1706
`
`ALTRIA_IQOS_EDVA000000
`1707
`
`RX‐0109
`
`ALTRIA_IQOS_EDVA000000
`1720
`
`ALTRIA_IQOS_EDVA000000
`1721
`
`RX‐0110
`
`ALTRIA_IQOS_EDVA000000
`1737
`
`ALTRIA_IQOS_EDVA000000
`1738
`
`RX‐0111
`
`ALTRIA_IQOS_EDVA000000
`1751
`
`ALTRIA_IQOS_EDVA000000
`1753
`
`Presentation: Minilogic/Smart Chip (HK) Intellectual Property
`Overview
`Controller Comparison
`
`IQOS PM USA Standard Variable Cost
`
`Assignment of U.S. Patent Application No. 14/793,453 from
`Loi Ying Liu to Smart Chip Microelectronic Co. Limited dated
`July 22, 2015
`Notice of Recordation of Assignment of U.S. Patent
`Application No. 14/793,453 from Loi Ying Liu to Smart Chip
`Microelectronic Co. Limited dated July 22, 2015 (Reel: 036197,
`Frame: 0004‐0005)
`Assignment of Patent Application No. PCT/IB2014/063541
`from Loi Ying Liu to Smart Chip Microelectronic Co. Limited
`dated August 22, 2014
`Assignment of Patent Application No. PCT/B2010/052949
`from Loi Ying Liu to Minilogic Device Corporation Ltd. dated
`May 4, 2011 (Reel: 026353, Frames: 0682‐0683)
`PM USA Incorporated ‐ Income Statement Consolidating Detail
`Segment
`
`
`
`Case 1:20-cv-00393-LO-TCB Document 1298 Filed 06/08/22 Page 13 of 112 PageID# 33138
`
`Beginning Bates
`ALTRIA_IQOS_EDVA000000
`1757
`ALTRIA_IQOS_EDVA000000
`1784
`
`Ending Bates
`ALTRIA_IQOS_EDVA000000
`1783
`ALTRIA_IQOS_EDVA000000
`1838
`
`ALTRIA_IQOS_EDVA000000
`1839
`
`ALTRIA_IQOS_EDVA000000
`1840
`
`ALTRIA_IQOS_EDVA000000
`5393
`ALTRIA_IQOS_EDVA000000
`5404
`ALTRIA_IQOS_EDVA000000
`5498
`ALTRIA_IQOS_EDVA000000
`5618
`ALTRIA_IQOS_EDVA000000
`5637
`
`ALTRIA_IQOS_EDVA000000
`5403
`ALTRIA_IQOS_EDVA000000
`5414
`ALTRIA_IQOS_EDVA000000
`5508
`ALTRIA_IQOS_EDVA000000
`5628
`ALTRIA_IQOS_EDVA000000
`5647
`
`Document Description
`IQOS Sales ‐ BW Reporting
`
`U.S. Settlement and License Agreement between Nu Mark LLC,
`Fontem Holdings 1 B.V. and Fontem Ventures B.V. dated
`December 23, 2016
`Fontem Payments (2017‐2020)
`
`Greensmartliving Disassembly and Electrical Test Report
`
`Disassembly and Electrical Test Report ‐ BLU
`
`GreenSmart Disassembly
`
`BLU Disassembly and Electrical Test Report
`
`Disassembly and Electrical Test Report ‐ LOGIC
`
`ALTRIA_IQOS_EDVA000000
`5880
`ALTRIA_IQOS_EDVA000000
`5907
`
`ALTRIA_IQOS_EDVA000000
`5887
`ALTRIA_IQOS_EDVA000000
`5909
`
`Presentation: Minilogic/Smart Chip (HK) Intellectual Property
`Overview
`Specification (Chinese)
`
`Trial Exhibit
`No.
`RX‐0112
`
`RX‐0113
`
`RX‐0114
`
`RX‐0115
`(NOT USED)
`RX‐0116
`
`RX‐0117
`
`RX‐0118
`
`RX‐0119
`
`RX‐0120
`
`RX‐0121
`(NOT USED)
`RX‐0122
`(NOT USED)
`RX‐0123
`
`RX‐0124
`
`RX‐0125 to
`RX‐0127
`(NOT USED)
`
`
`
`Case 1:20-cv-00393-LO-TCB Document 1298 Filed 06/08/22 Page 14 of 112 PageID# 33139
`
`Beginning Bates
`ALTRIA_IQOS_EDVA000000
`9036
`
`Ending Bates
`ALTRIA_IQOS_EDVA000000
`9049
`
`Document Description
`Presentation: Logic Power Series Evaluation
`
`ALTRIA_IQOS_EDVA000000
`9217
`
`ALTRIA_IQOS_EDVA000000
`9228
`
`Product Testing
`
`Altria_IQOS_ITC_00003808 Altria_IQOS_ITC_00003827 Presentation: IQOS Purchaser Panel
`Altria_IQOS_ITC_00005245 Altria_IQOS_ITC_00005286 Presentation: IQOS Owners Panel Update
`Altria_IQOS_ITC_00005287 Altria_IQOS_ITC_00005307 IQOS Owners Panel
`Altria_IQOS_ITC_00015190 Altria_IQOS_ITC_00015227 Presentation: IQOS:
`Altria_IQOS_ITC_00015536 Altria_IQOS_ITC_00015591 Presentation: IQOS: Building a Brand Through Retail
`Experience
`Altria_IQOS_ITC_00015805 Altria_IQOS_ITC_00015869 IQOS Qualitative Short Home Use report
`Altria_IQOS_ITC_00016826 Altria_IQOS_ITC_00016878 Presentation: Consumer Journey KPI's
`Altria_IQOS_ITC_00023130 Altria_IQOS_ITC_00023139 Presentation: Jan. & Feb. 2020 Report
`Altria_IQOS_ITC_00024254 Altria_IQOS_ITC_00024309 Presentation: Smokeable Business Update
`Altria_IQOS_ITC_00028724 Altria_IQOS_ITC_00028758 Presentation: IQOS Learning Plan
`Altria_IQOS_ITC_00048576 Altria_IQOS_ITC_00048643 Commercial Engine Flowchart (11/18/2019 Altria PMI
`meeting)
`Altria_IQOS_ITC_00050996 Altria_IQOS_ITC_00051010 FDA 4/30/19 Marketing Order
`Altria_IQOS_ITC_00054311 Altria_IQOS_ITC_00054430 Presentation: Altria Board of Directors Meeting, February
`2017
`Altria_IQOS_ITC_00055207 Altria_IQOS_ITC_00055257 Presentation: Philip Morris USA, Product Portfolio Update
`Altria_IQOS_ITC_00055258 Altria_IQOS_ITC_00055281 Presentation: Philip Morris USA, iQOS Update
`Altria_IQOS_ITC_00055332 Altria_IQOS_ITC_00055352 Presentation: Philip Morris USA, iQOS Update
`Altria_IQOS_ITC_00055602 Altria_IQOS_ITC_00055631 IQOS Update Prepared for Engagement
`
`Trial Exhibit
`No.
`RX‐0128
`
`RX‐0129
`(NOT USED)
`RX‐0130
`
`RX‐0131
`(NOT USED)
`RX‐0132
`RX‐0133
`RX‐0134
`RX‐0135
`RX‐0136
`
`RX‐0137
`RX‐0138
`RX‐0139
`RX‐0140
`RX‐0141
`RX‐0142
`
`RX‐0143
`RX‐0144
`
`RX‐0145
`RX‐0146
`RX‐0147
`RX‐0148
`
`
`
`Case 1:20-cv-00393-LO-TCB Document 1298 Filed 06/08/22 Page 15 of 112 PageID# 33140
`
`Trial Exhibit
`No.
`RX‐0149
`
`RX‐0150
`
`RX‐0151
`RX‐0152
`RX‐0153
`RX‐0154
`RX‐0155
`RX‐0156
`RX‐0157
`
`RX‐0158
`
`RX‐0159
`
`RX‐0160
`
`RX‐0161
`RX‐0162
`RX‐0163
`RX‐0164
`RX‐0165
`RX‐0166
`RX‐0167
`RX‐0168
`RX‐0169
`
`Document Description
`Ending Bates
`Beginning Bates
`Altria_IQOS_ITC_00069340 Altria_IQOS_ITC_00069354 Presentation: Tobacco Products Three‐Year Plan Initiatives
`2020‐2022
`Altria_IQOS_ITC_00069459 Altria_IQOS_ITC_00069476 Sutanto, Edward, et al., "Prevalence, Use Behaviors, and
`Preferences Among Users of Heated Tobacco Products:
`Findings from the 2018 ITC Japan Survey," Int. J. Environ. Re.
`Public Health 16 , 4630 (2019)
`Altria_IQOS_ITC_00074869 Altria_IQOS_ITC_00074914 Presentation: IQOS Conversation 9/5/2019
`Altria_IQOS_ITC_00076398 Altria_IQOS_ITC_00076420 Presentation: IQOS 101 Product Overview
`Altria_IQOS_ITC_00078741 Altria_IQOS_ITC_00078784 Presentation: IQOS Overview
`Altria_IQOS_ITC_00082212 Altria_IQOS_ITC_00082264 Presentation: BOD Innovation Committee: IQOS Update
`Altria_IQOS_ITC_00082439 Altria_IQOS_ITC_00082473 Presentation: BOD Innovation Committee: IQOS Update
`Altria_IQOS_ITC_00082474 Altria_IQOS_ITC_00082528 Presentation: BOD Innovation Committee: IQOS Update
`Altria_IQOS_ITC_00082990 Altria_IQOS_ITC_00082990 Summary of Recent Analyst Comments on IQOS in the U.S.
`(draft)
`Altria_IQOS_ITC_00084821 Altria_IQOS_ITC_00084830 Presentation: Philip Morris USA, IQOS Cost Update (August
`2017)
`Altria_IQOS_ITC_00085457 Altria_IQOS_ITC_00085485 Presentation: Predicting Adult Smokers' Full Conversion to
`iQOS
`Altria_IQOS_ITC_00085487 Altria_IQOS_ITC_00085510 Presentation: Philip Morris USA, iQOS Update, Potentially
`Reduced Risk Products, May 13, 2016 (v.4)
`Altria_IQOS_ITC_00085528 Altria_IQOS_ITC_00085529 2017‐Dec‐21 Email from J. Murillo to M.R. Garnick
`Altria_IQOS_ITC_00085748 Altria_IQOS_ITC_00085752 Draft Presentation
`Altria_IQOS_ITC_00085753 Altria_IQOS_ITC_00085768 Presentation Slides ‐ U.S. Commercialization
`Altria_IQOS_ITC_00085769 Altria_IQOS_ITC_00085770 2018‐Jan‐12 Email from P.M. Miller to J.L. Murillo et al.
`Altria_IQOS_ITC_00086213 Altria_IQOS_ITC_00086217 Draft Presentation TPSAC
`Altria_IQOS_ITC_00086218 Altria_IQOS_ITC_00086234 Draft Presentation ‐ U.S. Commercialization
`Altria_IQOS_ITC_00086269 Altria_IQOS_ITC_00086273 Draft Presentation ‐ TPSAC
`Altria_IQOS_ITC_00086478 Altria_IQOS_ITC_00086595 Presentation: Restricting Access to Youth
`Altria_IQOS_ITC_00086730 Altria_IQOS_ITC_00086735 Presentation: IQOS Game Plan
`
`
`
`Case 1:20-cv-00393-LO-TCB Document 1298 Filed 06/08/22 Page 16 of 112 PageID# 33141
`
`Trial Exhibit
`No.
`RX‐0170
`RX‐0171
`
`RX‐0172
`RX‐0173
`
`RX‐0174
`RX‐0175
`
`RX‐0176
`
`RX‐0177
`
`RX‐0178
`
`RX‐0179
`
`RX‐0180
`
`RX‐0181
`RX‐0182
`RX‐0183
`
`RX‐0184
`
`RX‐0185
`RX‐0186
`RX‐0187
`
`Document Description
`Ending Bates
`Beginning Bates
`Altria_IQOS_ITC_00086930 Altria_IQOS_ITC_00086931 Draft Presentation ‐ TPSAC
`Altria_IQOS_ITC_00087521 Altria_IQOS_ITC_00087538 Presentation: U.S. Commercialization and Controls, Sarah
`Knakmuhs, Vice President, Heated Tobacco Products, Philip
`Morris USA
`Altria_IQOS_ITC_00089142 Altria_IQOS_ITC_00089142 2015‐Dec‐18 Email from P.M. Miller to A.C. Viscarra
`Altria_IQOS_ITC_00089367 Altria_IQOS_ITC_00089390 Presentation: Philip Morris USA, Brand Management,
`Potentially Reduced Risk Products, Executive Leadership Team
`Update, February 2016
`Altria_IQOS_ITC_00089569 Altria_IQOS_ITC_00089606 Presentation: NGP Project Update (August 14, 2014)
`Altria_IQOS_ITC_00090448 Altria_IQOS_ITC_00090460 TPSAC Meeting on IQOS Tobacco Heating System as of
`1/26/18 at 12 pm
`Altria_IQOS_ITC_00090463 Altria_IQOS_ITC_00090481 TPSAC Meeting on IQOS Tobacco Heating System as of
`1/25/18 at 1 pm
`Altria_IQOS_ITC_00090484 Altria_IQOS_ITC_00090495 TPSAC Meeting on IQOS Tobacco Heating System as of
`1/24/18 at 5:30 pm
`Altria_IQOS_ITC_00090499 Altria_IQOS_ITC_00090536 TPSAC Meeting on IQOS Tobacco Heating System as of
`1/25/18 at 5 pm
`Altria_IQOS_ITC_00090717 Altria_IQOS_ITC_00090804 Tobacco Products Scientific Advisory Committee Meeting
`January 24, 2018
`Altria_IQOS_ITC_00090805 Altria_IQOS_ITC_00090914 Tobacco Products Scientific Advisory Committee Meeting
`January 25, 2018
`Altria_IQOS_ITC_00112128 Altria_IQOS_ITC_00112130 2017‐Nov‐3 Email from S.F. Knakmuhs to M.E. Manson et al
`Altria_IQOS_ITC_00112131 Altria_IQOS_ITC_00112148 TPSAC PMI Mock #1 Feedback Form ‐ 10/26/17
`Altria_IQOS_ITC_00112149 Altria_IQOS_ITC_00112429 Transcript of TPSAC PMI Mock Panel on October 26, 2017 in
`Washington, DC (full page)
`Altria_IQOS_ITC_00112430 Altria_IQOS_ITC_00112534 Transcript of TPSAC PMI Mock Panel on October 26, 2017 in
`Washington, DC (miniscript)
`Altria_IQOS_ITC_00112620 Altria_IQOS_ITC_00112640 Presentation: The IQOS Heating System
`Altria_IQOS_ITC_00112641 Altria_IQOS_ITC_00112652 Presentation: Population Modeling and Conclusion
`Altria_IQOS_ITC_00112672 Altria_IQOS_ITC_00112782 Presentation: Folder: Youth Restrict Access
`
`
`
`Case 1:20-cv-00393-LO-TCB Document 1298 Filed 06/08/22 Page 17 of 112 PageID# 33142
`
`Trial Exhibit
`No.
`RX‐0188
`
`RX‐0189
`RX‐0190
`RX‐0191
`
`RX‐0192
`RX‐0193
`RX‐0194
`RX‐0195
`
`RX‐0196
`RX‐0197
`RX‐0198
`
`RX‐0199
`
`RX‐0200
`
`RX‐0201
`RX‐0202
`
`RX‐0203
`
`RX‐0204
`(NOT USED)
`RX‐0205
`
`Document Description
`Ending Bates
`Beginning Bates
`Altria_IQOS_ITC_00113925 Altria_IQOS_ITC_00113951 Amended and Restated NGP Distribution Agreement between
`Philip Morris International Management S.A. and Altria Client
`Services LLC dated July 15, 2015
`Altria_IQOS_ITC_00115539 Altria_IQOS_ITC_00115548 Presentation: IQOS Risk Assessment
`Altria_IQOS_ITC_00116395 Altria_IQOS_ITC_00116403 2018‐Jul‐16, 2018 FDA Information Request
`Altria_IQOS_ITC_00117711 Altria_IQOS_ITC_00117726 Presentation: PMI R&D Technology & Operations, US Market ‐
`Device Evolution
`Altria_IQOS_ITC_00117908 Altria_IQOS_ITC_00117911 Presentation: TPSAC Transcript
`Altria_IQOS_ITC_00118574 Altria_IQOS_ITC_00118612 Presentation: IQOS Insights Plan
`Altria_IQOS_ITC_00121613 Altria_IQOS_ITC_00121647 Presentation: Regulatory Routes
`Altria_IQOS_ITC_00121652 Altria_IQOS_ITC_00121657 Summary of Meeting ‐ PMI and Altria, Switzerland, Feb. 12‐13,
`2015
`Altria_IQOS_ITC_00121907 Altria_IQOS_ITC_00121912 Response to March 19, 2019 FDA Information Request
`Altria_IQOS_ITC_00121913 Altria_IQOS_ITC_00121930 Response to August 20, 2018 FDA Information Request
`Altria_IQOS_ITC_00122179 Altria_IQOS_ITC_00122226 Presentation: IQOS, ALCS Regulatory Affairs, July 19, 2017,
`Altria Client Services
`Altria_IQOS_ITC_00122227 Altria_IQOS_ITC_00122274 Presentation: IQOS, ALCS Regulatory Affairs, July 19, 2017,
`Altria Client Services
`Altria_IQOS_ITC_00122275 Altria_IQOS_ITC_00122324 Presentation: IQOS, ALCS Regulatory Affairs, July 19, 2017,
`Altria Client Services
`Altria_IQOS_ITC_00122354 Altria_IQOS_ITC_00122368 Presentation: PMI R&D TPSAC Preparation
`Altria_IQOS_ITC_00122828 Altria_IQOS_ITC_00122841 Presentation: Heated Tobacco Products: Regulatory Science,
`Dr. Moira Gilchrist, Director of Scientific Engagement, Philip
`Morris International R&D, May 6, 2016
`Altria_IQOS_ITC_00123268 Altria_IQOS_ITC_00123298 Presentation: ELT Meeting Agenda, Aerosol Products Global
`Competitive Landscape
`
`Altria_IQOS_ITC_00123443 Altria_IQOS_ITC_00123458 Presentation: Update on E‐Vapor Category (July 2018), Altria
`Client Services
`
`
`
`Case 1:20-cv-00393-LO-TCB Document 1298 Filed 06/08/22 Page 18 of 112 PageID# 33143
`
`Trial Exhibit
`No.
`RX‐0206
`
`RX‐0207
`RX‐0208
`RX‐0209
`
`RX‐0210
`
`RX‐0211
`
`RX‐0212
`RX‐0213
`
`RX‐0214
`RX‐0215
`
`RX‐0216
`RX‐0217
`
`RX‐0218
`RX‐0219
`
`RX‐0220
`
`RX‐0221
`RX‐0222
`
`Document Description
`Ending Bates
`Beginning Bates
`Altria_IQOS_ITC_00124738 Altria_IQOS_ITC_00124780 Presentation: PM USA Business Update, February 14, 2020,
`Altria Client Services
`Altria_IQOS_ITC_00129866 Altria_IQOS_ITC_00129866 Presentation: IQOS ‐ International Market Comparison
`Altria_IQOS_ITC_00136436 Altria_IQOS_ITC_00136440 IQOS Core Messages
`Altria_IQOS_ITC_00137473 Altria_IQOS_ITC_00137595 Presentation: The IQOS Heating System ‐ Tobacco Products
`Scientific Advisory Committee, January 24, 2018
`Altria_IQOS_ITC_00137825 Altria_IQOS_ITC_00137934 Transcript of Tobacco Products Scientific Advisory Committee
`Meeting on January 24, 2018
`Altria_IQOS_ITC_00137977 Altria_IQOS_ITC_00138008 2018‐Aug‐13 Letter from M.L. Myers (Campaign for Tobacco‐
`Free Kids) to M. Zeller (FDA) re social media marketing of IQOS
`in the U.S. by PMI
`Altria_IQOS_ITC_00138028 Altria_IQOS_ITC_00138035 2018‐May‐24 Memo from B. Davis et al. to M. Gilchrist
`Altria_IQOS_ITC_00138040 Altria_IQOS_ITC_00138072 Presentation: IQOS Regulatory Overview, ALCS Regulatory
`Affairs, June 19, 2018, Altria Client Services
`Altria_IQOS_ITC_00145165 Altria_IQOS_ITC_00145170 Excel Spreadsheet: IQOS P&L Workbook
`Altria_IQOS_ITC_00145261 Altria_IQOS_ITC_00145289 Presentation: IQOS Scenario Planning, December 2017 Model
`Refresh (5/20/2020)
`Altria_IQOS_ITC_00145359 Altria_IQOS_ITC_00145364 10YP Model Comparison for IQOS
`Altria_IQOS_ITC_00146368 Altria_IQOS_ITC_00146388 Presentation: Philip Morris USA Brand Management, Atlanta
`Debrief, Potentially Reduced Risk Products, March 2016
`Altria_IQOS_ITC_00146712 Altria_IQOS_ITC_00146717 Project ‐ October 2018
`Altria_IQOS_ITC_00146766 Altria_IQOS_ITC_00146776 Presentation: Project, Key Insights & Next Steps, September
`2019, Altria Client Services
`Altria_IQOS_ITC_00147019 Altria_IQOS_ITC_00147027 Presentation: MRTPA ‐ Scenario Planning, Project Steering
`Committee
`Altria_IQOS_ITC_00153889 Altria_IQOS_ITC_00153925 Presentation: IQOS Conversation 9/5/2019 (draft)
`Altria_IQOS_ITC_00154257 Altria_IQOS_ITC_00154442 Presentation: Experience Altria, November 2, 2017
`
`
`
`Case 1:20-cv-00393-LO-TCB Document 1298 Filed 06/08/22 Page 19 of 112 PageID# 33144
`
`Document Description
`Ending Bates
`Beginning Bates
`Altria_IQOS_ITC_00158539 Altria_IQOS_ITC_00158540 Philip Morris International Press Release: "People Want
`Governments to Give Smokers Better Choices, Say Majority of
`31,000 People Polled in 31 Countries Worldwide" (October 11,
`2018)
`Altria_IQOS_ITC_00160240 Altria_IQOS_ITC_00160248 Presentation: PMI Key Market Data (May 20, 2020)
`Altria_IQOS_ITC_00160249 Altria_IQOS_ITC_00160252 Extract re number of IQOS users
`Altria_IQOS_ITC_00160253 Altria_IQOS_ITC_00160300 Presentation: IQOS , May 4, 2020, Altria Client Services
`Altria_IQOS_ITC_00160519 Altria_IQOS_ITC_00160529 Organizational Chart for Reduced‐Risk Products on May 13,
`2017
`
`Altria_IQOS_ITC_00163565 Altria_IQOS_ITC_00163602 PM USA IQOS Update June 2018
`Altria_IQOS_ITC_00163832 Altria_IQOS_ITC_00163886 Presentation: IQOS Overview, April 2018, Heated Tobacco
`Products
`Altria_IQOS_ITC_00163979 Altria_IQOS_ITC_00164062 Presentation: IQOS Commercialization Plan, Heated Tobacco
`Products (5/20/2020)
`Altria_IQOS_ITC_00169831 Altria_IQOS_ITC_00169895 IQOS Qualitative Short Home Use report
`Altria_IQOS_ITC_00169896 Altria_IQOS_ITC_00169959 Eclipse Comparison to IQOS
`Altria_IQOS_ITC_00171443 Altria_IQOS_ITC_00171570 IQOS Extended Home Use Test (e‐HUT) report,
`Altria_IQOS_ITC_00171818 Altria_IQOS_ITC_00171836 2020‐Ap