Case 1:20-cv-00393-LO-TCB Document 653 Filed 05/21/21 Page 1 of 130 PageID# 14678
`
`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.
`
`Case No.: 1:20cv00393-LO-TCB
`
`ALTRIA CLIENT SERVICES LLC; PHILIP
`MORRIS USA, INC.; and PHILIP MORRIS
`PRODUCTS S.A.,
`
`
`
`Defendants and Counterclaim Plaintiffs.
`
`
`REYNOLDS’S TRIAL EXHIBIT LIST
`
`Pursuant to Federal Rule of Civil Procedure 26(a)(3) and the Court’s Scheduling Orders
`
`(Dkt. 97, 99, 461, 535), R.J. Reynolds Vapor Company (“Reynolds”) submits the list of exhibits
`
`attached as Exhibit A that Reynolds intends to offer in the trial on claims related to United States
`
`Patent Numbers 6,803,545, 9,814,265, 10,104,911, 10,420,374, and 10,555,556 asserted by Altria
`
`Client Services LLC (“ACS”), Philip Morris USA, Inc. (“PM USA”), and 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. 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 ACS, PM USA, and PMP. Reynolds
`
`reserves the right to offer as an exhibit at trial any item designated by ACS, PM USA, and PMP
`
`
`
`
`
`
`

`

`Case 1:20-cv-00393-LO-TCB Document 653 Filed 05/21/21 Page 2 of 130 PageID# 14679
`
`or listed by ACS, PM USA, and PMP on their exhibit list. Reynolds reserves the right to offer for
`
`rebuttal or impeachment items that are not identified on this list.
`
`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 onACS, PM USA, and 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. Reynolds’s identification of exhibits is
`
`subject to and without waiver of its motions in limine, motions to exclude certain evidence,
`
`Daubert motions and challenges to experts, and any dispositive motions. 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.
`
`
`
`
`
`
`
`2
`
`

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`Case 1:20-cv-00393-LO-TCB Document 653 Filed 05/21/21 Page 3 of 130 PageID# 14680
`
`Dated: May 21, 2021
`
`Respectfully submitted,
`
`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
`77 West Wacker
`Suite 3500
`Chicago, IL 60601
`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
`
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`
`
`
`

`

`Case 1:20-cv-00393-LO-TCB Document 653 Filed 05/21/21 Page 4 of 130 PageID# 14681
`
`CERTIFICATE OF SERVICE
`
`
`
`I hereby certify that on May 21, 2021, a true and correct copy of the foregoing was served
`
`using the Court’s CM/ECF system, with electronic notification of such filing to all counsel of
`
`record.
`
`
`
`Dated: May 21, 2021
`
`
`
`
`
`
`
`
`
`
`/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 653 Filed 05/21/21 Page 5 of 130 PageID# 14682
`REYNOLDS'S TRIAL EXHIBIT LIST
`
`Trial Exhibit 
`Ending Bates
`Beginning Bates
`No.
`RJREDVA_001485761
`RJREDVA_001485751
`RX‐0001
`RJREDVA_001626541
`RJREDVA_001626527
`RX‐0002
`RJREDVA_001642779
`RJREDVA_001642770
`RX‐0003
`RJREDVA_001642445
`RJREDVA_001642420
`RX‐0004
`RJREDVA_001642462
`RJREDVA_001642446
`RX‐0005
`RX‐0006 DEF_PUB_EDVA000014678 DEF_PUB_EDVA000014889
`
`RX‐0007 DEF_PUB_EDVA000015567 DEF_PUB_EDVA000016366
`
`RX‐0008 DEF_PUB_EDVA000014890 DEF_PUB_EDVA000015566
`
`RX‐0009 DEF_PUB_EDVA000016367 DEF_PUB_EDVA000018530
`
`RX‐0010 DEF_PUB_EDVA000018531 DEF_PUB_EDVA000019660
`
`RX‐0011
`RX‐0012
`RX‐0013
`RX‐0014
`RX‐0015
`RX‐0016
`RX‐0017
`RX‐0018
`RX‐0019
`
`1199_RESP00006267
`1199_RESP00006331
`1199_RESP00006344
`1199_RESP00006355
`1199_RESP00010295
`
`1199_RESP00006289
`1199_RESP00006343
`1199_RESP00006354
`1199_RESP00006368
`1199_RESP00010300
`
`RX‐0020
`
`1199_RESP00010301
`
`1199_RESP00010422
`
`RX‐0021
`
`1199_RESP00010423
`
`1199_RESP00010462
`
`Document Description
`U.S. Pat. No. 6,803,545 (Blake)
`U.S. Pat. No. 10,104,911 (Thorens) 
`U.S. Pat. No. 9,814,265 (Rinker)
`U.S. Pat. No. 10,420,374 (Liu)
`U.S. Pat. No. 10,555,556 (Malgat)
`File History for U.S. Patent Application No. 10/161,639 (U.S. Pat. 
`No. 6,803,545)
`File History for U.S. Patent Application No. 13/990,067 (U.S. Pat. 
`No. 10,104,911)
`File History for U.S. Patent Application No. 14/344,026 (U.S. Pat. 
`No. 9,814,265)
`File History for U.S. Patent Application No. 14/793,453 (U.S. Pat. 
`No. 10,420,374)
`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: Authenticiation of 3rd Party Documents
`Joint Pre‐Trial Stipulation, 4‐9‐21
`Joint Stipulation of Uncontested Facts dated May 21, 2021
`U.S. Pat. No. 5,095,921 (Losee et al)
`U.S. Pat. No. 5,224,498 (Deevi et al)
`U.S. Pat. No. 5,249,586 (Morgan et al)
`U.S. Pat. No. 5,261,424 (Sprinkel)
`FDA, "2018 NYTS Data:  A Startling Rise in Youth E‐cigarette 
`Use"
`FDA PMTA Coversheet: Technical Project Lead Review (TPL) 
`PMP SA 5/15/17
`USITC Publication 1022, December 1979 ‐ In the Matter of 
`Certain Automatic Crankpin Grinders ‐ Investigation No. 337‐TA‐
`60
`
`1
`
`

`

`Case 1:20-cv-00393-LO-TCB Document 653 Filed 05/21/21 Page 6 of 130 PageID# 14683
`REYNOLDS'S TRIAL EXHIBIT LIST
`
`Trial Exhibit 
`No.
`RX‐0022
`
`Beginning Bates
`1199_RESP00010463
`
`Ending Bates
`1199_RESP00010465
`
`RX‐0023
`
`1199_RESP00010466
`
`1199_RESP00010549
`
`RX‐0024
`
`1199_RESP00010550
`
`1199_RESP00010601
`
`RX‐0025
`
`1199_RESP00010602
`
`1199_RESP00010603
`
`RX‐0026
`
`1199_RESP00010611
`
`1199_RESP00010614
`
`RX‐0027
`
`1199_RESP00010615
`
`1199_RESP00010619
`
`RX‐0028
`
`1199_RESP00010620
`
`1199_RESP00010621
`
`RX‐0029
`
`1199_RESP00010622
`
`1199_RESP00010625
`
`RX‐0030
`
`1199_RESP00010627
`
`1199_RESP00010630
`
`RX‐0031
`
`1199_RESP00010631
`
`1199_RESP00010640
`
`RX‐0032
`
`1199_RESP00010641
`
`1199_RESP00010651
`
`RX‐0033
`
`1199_RESP00010652
`
`1199_RESP00010658
`
`RX‐0034
`
`1199_RESP00010685
`
`1199_RESP00010691
`
`Document Description
`CDC Press Release:  "Cigarette Smoking Among U.S. Adults Hits 
`All‐Time Low" (November 14, 2019)
`PMI ‐ Consumer Analyst Group of New York (CAGNY) 
`Conference ‐ February 19, 2020 ‐ Andre Calantzopoulos, CEO
`PMI Science ‐ Designing a Smoke‐Free Future, 4th Ed., July 2019
`
`Law 360 (April 6, 2020) ‐ E‐Cigarette Deadline Extended Amid 
`COVID‐19 Pandemic
`FDA News Release:  FDA finalizes enforcement policy on 
`unauthorized flavored cartridge‐based e‐cigarettes that appeal 
`to children, including fruit and mint ‐ 1/2/2020
`FDA News Release:  FDA permits sale of IQOS Tobacco Heating 
`System through premarket tobacco product application 
`pathway ‐ 4/30/2019
`Bloomberg Technology:  Kary, 11/26/2018:  FDA's Gottlieb 
`Reaffirms Efforts to Stave Off New Youth Smokers
`2018‐Sep‐12 Letter from S. Gottlieb (FDA) to M. Ogden 
`(Reynolds American Inc.) re Vuse
`MUSC: Hollings Cancer Center:  Heat Not Burn and Other 
`Products
`The New England Journal of Medicine, 4/23/2020, Vol. 382, No. 
`17:  Werner et al. ‐ Hospitalizations and Deaths Associated with 
`EVALI
`Landon et al., '"Life‐threatening bronchiolitis related to 
`electronic cigarette use in a Canadian youth" (2019) 
`Filter, Rise of Heat‐Not‐Burn Products Coincides With Decrease 
`in Cigarette Sales
`Philip Morris International PMI Science Website ‐ Our Science
`
`2
`
`

`

`Case 1:20-cv-00393-LO-TCB Document 653 Filed 05/21/21 Page 7 of 130 PageID# 14684
`REYNOLDS'S TRIAL EXHIBIT LIST
`
`Trial Exhibit 
`No.
`RX‐0035
`
`Beginning Bates
`1199_RESP00010692
`
`Ending Bates
`1199_RESP00010694
`
`RX‐0036
`
`1199_RESP00010695
`
`1199_RESP00010701
`
`RX‐0037
`
`1199_RESP00010702
`
`1199_RESP00010886
`
`RX‐0038
`
`1199_RESP00010887
`
`1199_RESP00010889
`
`RX‐0039
`
`1199_RESP00010890
`
`1199_RESP00010907
`
`RX‐0040
`RX‐0041
`
`1199_RESP00010908
`1199_RESP00010912
`
`1199_RESP00010911
`1199_RESP00010921
`
`RX‐0042
`
`1199_RESP00010922
`
`1199_RESP00010924
`
`RX‐0043
`
`1199_RESP00010925
`
`1199_RESP00010931
`
`RX‐0044
`
`1199_RESP00010932
`
`1199_RESP00011048
`
`RX‐0045
`
`1199_RESP00011049
`
`1199_RESP00011050
`
`RX‐0046
`
`1199_RESP00011051
`
`1199_RESP00011054
`
`Document Description
`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)
`Winston‐Salem Journal, 4/30/2019, Craver:  FDA approves sale 
`of Philip Morris heat‐not‐burn traditional cigarettes
`FDA, Part 15 Public Hearing, 1/18/2019:  Eliminating Youth 
`Electronic Cigarette and Other Tobacco Product Use:  The Role 
`for Drug Therapies
`CDC, "Smokeless Tobacco Use in the United States" (August 29, 
`2018)
`Healthy Innovation, Safer Families:  FDA's 2018 Strategic Policy 
`Roadmap ‐ January 2018
`Surgeon General's Advisory on E‐cigarette Use Among Youth
`Yale Medicine, Raven ‐ 12/18/2019:  Teen Vaping Linked to 
`More Health Risks
`The New England Journal of Medicine, 2/20/2020, King et al. ‐ 
`The EVALI and Youth Vaping Epidemics ‐ Implications for Public 
`Health
`Vaping 360 ‐ McDonald:  The First Vape PMTA Has Been 
`Submitted to the FDA
`Vaping in America:  E‐Cigarette Manufacturers'' Impact on 
`Public Health ‐ 2/5/2020 ‐ House of Representatives, 
`Subcommittee on Oversight and Investigations, Committee on 
`Energy and Commerce ‐ Preliminary Transcript
`Gregoire, Marie‐Claude, "Vaping Risks for Youth Continue to 
`Emerge," CMAJ 191(40), E1113‐E1114 (October 7, 2019)
`International Journal of Environmental Research and Public 
`Health, Cummings et al., 5/20/2020:  What is Accounting for the 
`Rapid Decline in Cigarette Sales in Japan?
`
`3
`
`

`

`Case 1:20-cv-00393-LO-TCB Document 653 Filed 05/21/21 Page 8 of 130 PageID# 14685
`REYNOLDS'S TRIAL EXHIBIT LIST
`
`Trial Exhibit 
`No.
`RX‐0047
`
`Beginning Bates
`1199_RESP00011055
`
`Ending Bates
`1199_RESP00011056
`
`RX‐0048
`
`1199_RESP00011600
`
`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
`
`Document Description
`Webcast:  Why FDA Authorized the Marketing of the IQOS 
`Heated Tobacco Product as "appropriate for the protection of 
`the public health," 10/10/2019, Callahan‐Lyon
`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 & Believes 
`(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
`
`4
`
`

`

`Case 1:20-cv-00393-LO-TCB Document 653 Filed 05/21/21 Page 9 of 130 PageID# 14686
`REYNOLDS'S TRIAL EXHIBIT LIST
`
`Trial Exhibit 
`No.
`RX‐0059
`
`Beginning Bates
`1199_RESP00012749
`
`Ending Bates
`1199_RESP00012752
`
`RX‐0060
`
`1199_RESP00012994
`
`1199_RESP00012997
`
`RX‐0061
`
`1199_RESP00012998
`
`1199_RESP00013000
`
`RX‐0062
`
`1199_RESP00013492
`
`1199_RESP00013496
`
`RX‐0063
`
`1199_RESP00014118
`
`1199_RESP00014169
`
`RX‐0064
`
`1199_RESP00014230
`
`1199_RESP00014233
`
`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
`
`Document Description
`Vaping 360 ‐ McDonald, 5/1/2019:  IQOS Approved by FDA:  
`How will it Affect Vaping
`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.
`FDA News Release: FDA Authorizes Marketing of IQOS Tobacco 
`Heating System
`with ‘Reduced Exposure’ Information, July 7, 2020
`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
`
`5
`
`

`

`Case 1:20-cv-00393-LO-TCB Document 653 Filed 05/21/21 Page 10 of 130 PageID# 14687
`REYNOLDS'S TRIAL EXHIBIT LIST
`
`Trial Exhibit 
`No.
`RX‐0071
`
`Beginning Bates
`1199_RESP00016069
`
`Ending Bates
`1199_RESP00016070
`
`RX‐0072
`
`1199_RESP00016071
`
`1199_RESP00016073
`
`RX‐0073
`
`1199_RESP00016076
`
`1199_RESP00016079
`
`RX‐0074
`
`1199_RESP00016082
`
`1199_RESP00016085
`
`RX‐0075
`
`1199_RESP00016086
`
`1199_RESP00016086
`
`RX‐0076
`
`1199_RESP00016312
`
`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
`Impact Financial News, 9/10/2020:  Reynolds Completes 2020 
`PMTA Submissions
`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)
`
`6
`
`

`

`Case 1:20-cv-00393-LO-TCB Document 653 Filed 05/21/21 Page 11 of 130 PageID# 14688
`REYNOLDS'S TRIAL EXHIBIT LIST
`
`Trial Exhibit 
`No.
`RX‐0083
`
`Beginning Bates
`1199_RESP50003264
`
`Ending Bates
`1199_RESP50003285
`
`RX‐0084
`
`1199_RESP50006035
`
`1199_RESP50006168
`
`RX‐0085
`
`ACU000031 
`
`RX‐0086
`
`ACU000033 
`
`ACU000032
`
`ACU000038
`
`RX‐0087
`
`ACU000039 
`
`ACU000043
`
`RX‐0088
`
`ACU000044 
`
`RX‐0089
`
`ACU000052 
`
`ACU000051
`
`ACU000059
`
`RX‐0090
`
`ACU000060 
`
`ACU000068
`
`RX‐0091
`
`ACU000069 
`
`ACU000076
`
`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)
`FDA, Deeming Tobacco Products to be Subject to the Federal 
`Food, Drug, and Cosmetic Act, As Amended, 81 Fed. Reg. 
`28,973, 28,977 (May 10, 2016)
`The Verge, E‐cigarettes linked to helping people quit smoking, 
`by A. Chen 7‐26‐17
`Craver, Richard, "CDC Report Shows More Smoker Try to Quit 
`with e‐Cigs Than Nicotine Replacement Products," Winston‐
`Salem Journal (April 18, 2017)
`Haar, Melissa Vonder, "6 Telling Stats on the iQOS Electronic 
`Cigarette" (July 8, 2016), 
`https://www.cspdailynews.com/tobacco/6‐telling‐stats‐iqos‐
`electronic‐cigarette
`Philip Morris Files First Modified Risk Application, by A. Abcede 
`12/7/16
`What Retailers Think of iQOS, Express enthusiasm for Philip 
`Morris International's heat‐not‐burn technology by M. Vondar 
`Haar, 3‐31‐16
`Tabuchi, Takahiro, et al., "Heat‐Not‐Burn Tobacco Product Use 
`in Japan:  Its Prevalence, Predictors and Perceived Symptoms 
`from Exposure to Secondhard Heat‐Not‐Burn Tobacco Aerosol," 
`Tobacco Control 27 , e25‐e33 (2018)
`Zhu, Shu‐Hong, et al., "E‐Cigarette Use and Associated Changes 
`in Population Smoking Cessation:  Evidence from US Current 
`Population Surveys," BMJ 358 (2017)
`
`7
`
`

`

`Case 1:20-cv-00393-LO-TCB Document 653 Filed 05/21/21 Page 12 of 130 PageID# 14689
`REYNOLDS'S TRIAL EXHIBIT LIST
`
`Trial Exhibit 
`No.
`RX‐0092
`
`RX‐0093
`
`RX‐0094
`
`RX‐0095
`
`RX‐0096
`
`RX‐0097
`
`RX‐0098
`
`RX‐0099
`
`RX‐0100
`
`RX‐0101
`
`RX‐0102
`
`RX‐0103
`
`RX‐0104
`
`RX‐0105
`
`RX‐0106
`
`Beginning Bates
`ALTRIA_IQOS_EDVA0000000
`001
`ALTRIA_IQOS_EDVA0000000
`152
`ALTRIA_IQOS_EDVA0000000
`161
`ALTRIA_IQOS_EDVA0000000
`379
`ALTRIA_IQOS_EDVA0000000
`404
`ALTRIA_IQOS_EDVA0000000
`417
`ALTRIA_IQOS_EDVA0000000
`443
`ALTRIA_IQOS_EDVA0000000
`469
`ALTRIA_IQOS_EDVA0000000
`754
`ALTRIA_IQOS_EDVA0000000
`915
`ALTRIA_IQOS_EDVA0000001
`139
`ALTRIA_IQOS_EDVA0000001
`165
`ALTRIA_IQOS_EDVA0000001
`188
`ALTRIA_IQOS_EDVA0000001
`209
`ALTRIA_IQOS_EDVA0000001
`688
`
`Ending Bates
`ALTRIA_IQOS_EDVA0000000
`151
`ALTRIA_IQOS_EDVA0000000
`160
`ALTRIA_IQOS_EDVA0000000
`254
`ALTRIA_IQOS_EDVA0000000
`403
`ALTRIA_IQOS_EDVA0000000
`416
`ALTRIA_IQOS_EDVA0000000
`429
`ALTRIA_IQOS_EDVA0000000
`455
`ALTRIA_IQOS_EDVA0000000
`470
`ALTRIA_IQOS_EDVA0000000
`761
`ALTRIA_IQOS_EDVA0000000
`918
`ALTRIA_IQOS_EDVA0000001
`151
`ALTRIA_IQOS_EDVA0000001
`166
`ALTRIA_IQOS_EDVA0000001
`194
`ALTRIA_IQOS_EDVA0000001
`210
`ALTRIA_IQOS_EDVA0000001
`689
`
`Document Description
`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
`
`Product Development Agreement 
`
`Product Development Agreement  dated October 5, 2015
`
`Product Development Agreement  dated June 3, 2013
`
`Assignment from Wedegree GmbH to Philp Morris Products 
`
`Intellectual Property Overview, dated 6/16/16
`
`Exclusivity Agreement with Altria Client Services LLD  dated 
`December 8, 2016
`Product Development Agreemen
`
`Patent License between Smart Chip Microelectronic Co., Ltd. 
`and Innochip Electronic Co., Ltd. dated January 13, 2014
`Presentation:  Minilogic/Smart Chip (HK) Intellectual Property 
`Overview 
`Controller Comparison
`
`IQOS PM USA Standard Variable Cost
`
`8
`
`

`

`Case 1:20-cv-00393-LO-TCB Document 653 Filed 05/21/21 Page 13 of 130 PageID# 14690
`REYNOLDS'S TRIAL EXHIBIT LIST
`
`Trial Exhibit 
`No.
`RX‐0107
`
`Beginning Bates
`ALTRIA_IQOS_EDVA0000001
`705
`
`Ending Bates
`ALTRIA_IQOS_EDVA0000001
`705
`
`RX‐0108
`
`ALTRIA_IQOS_EDVA0000001
`706
`
`ALTRIA_IQOS_EDVA0000001
`707
`
`RX‐0109
`
`ALTRIA_IQOS_EDVA0000001
`720
`
`ALTRIA_IQOS_EDVA0000001
`721
`
`RX‐0110
`
`ALTRIA_IQOS_EDVA0000001
`737
`
`ALTRIA_IQOS_EDVA0000001
`738
`
`RX‐0111
`
`RX‐0112
`
`RX‐0113
`
`RX‐0114
`
`RX‐0115
`
`RX‐0116
`
`RX‐0117
`
`RX‐0118
`
`ALTRIA_IQOS_EDVA0000001
`751
`ALTRIA_IQOS_EDVA0000001
`757
`ALTRIA_IQOS_EDVA0000001
`784
`
`ALTRIA_IQOS_EDVA0000001
`753
`ALTRIA_IQOS_EDVA0000001
`783
`ALTRIA_IQOS_EDVA0000001
`838
`
`ALTRIA_IQOS_EDVA0000001
`839
`ALTRIA_IQOS_EDVA0000004
`761
`ALTRIA_IQOS_EDVA0000005
`392
`ALTRIA_IQOS_EDVA0000005
`404
`ALTRIA_IQOS_EDVA0000005
`498
`
`ALTRIA_IQOS_EDVA0000001
`840
`ALTRIA_IQOS_EDVA0000004
`761
`ALTRIA_IQOS_EDVA0000005
`403
`ALTRIA_IQOS_EDVA0000005
`414
`ALTRIA_IQOS_EDVA0000005
`508
`
`Document Description
`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
`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
`ODC Details for Fotem Payments Fixed Annual 
`Payments/Upfront Payments (2017‐2020)
`Controller Core
`
`Greensmartliving Dissassembly and Electrical Test Report
`
`Disassembly and Electrical Test Report ‐ BLU
`
`GreenSmart Disassembly 
`
`9
`
`

`

`Case 1:20-cv-00393-LO-TCB Document 653 Filed 05/21/21 Page 14 of 130 PageID# 14691
`REYNOLDS'S TRIAL EXHIBIT LIST
`
`Trial Exhibit 
`No.
`RX‐0119
`
`RX‐0120
`
`RX‐0121
`
`RX‐0122
`
`RX‐0123
`
`RX‐0124
`
`RX‐0125
`
`RX‐0126
`
`RX‐0127
`
`RX‐0128
`
`RX‐0129
`
`RX‐0130
`
`RX‐0131
`
`RX‐0132
`RX‐0133
`RX‐0134
`RX‐0135
`
`Ending Bates
`Beginning Bates
`ALTRIA_IQOS_EDVA0000005
`ALTRIA_IQOS_EDVA0000005
`628
`618
`ALTRIA_IQOS_EDVA0000005
`ALTRIA_IQOS_EDVA0000005
`647
`637
`ALTRIA_IQOS_EDVA0000005
`ALTRIA_IQOS_EDVA0000005
`812
`812
`ALTRIA_IQOS_EDVA0000005
`ALTRIA_IQOS_EDVA0000005
`835
`822
`ALTRIA_IQOS_EDVA0000005
`ALTRIA_IQOS_EDVA0000005
`887
`880
`ALTRIA_IQOS_EDVA0000005
`ALTRIA_IQOS_EDVA0000005
`909
`907
`ALTRIA_IQOS_EDVA0000005
`ALTRIA_IQOS_EDVA0000005
`917
`911
`ALTRIA_IQOS_EDVA0000005
`ALTRIA_IQOS_EDVA0000005
`918
`918
`ALTRIA_IQOS_EDVA0000005
`ALTRIA_IQOS_EDVA0000005
`925
`919
`ALTRIA_IQOS_EDVA0000009
`ALTRIA_IQOS_EDVA0000009
`049
`036
`ALTRIA_IQOS_EDVA0000009
`ALTRIA_IQOS_EDVA0000009
`201
`185
`ALTRIA_IQOS_EDVA0000009
`ALTRIA_IQOS_EDVA0000009
`228
`217
`ALTRIA_IQOS_EDVA0000009
`ALTRIA_IQOS_EDVA0000009
`266
`251
`Altria_IQOS_ITC_00003808 Altria_IQOS_ITC_00003827
`Altria_IQOS_ITC_00005245 Altria_IQOS_ITC_00005286
`Altria_IQOS_ITC_00005287 Altria_IQOS_ITC_00005307
`Altria_IQOS_ITC_00015190 Altria_IQOS_ITC_00015227
`
`Document Description
`BLU Disassembly and Electrical Test Report
`
`Disassembly and Electrical Test Report ‐ LOGIC
`
`Assignment from Foshan City Xinxin Microelectronics Co. Ltd. 
`
`Service Agreement dated February 24, 2017
`
`Presentation:  Minilogic/Smart Chip (HK) Intellectual Property 
`Overview 
`Specification (Chinese)
`
`Controller Preliminary Specification
`
`Controller Comparison
`
`Controller
`
`Presentation:  Logic Power Series  Evaluation
`
`Measurement Specialties ‐ Pressure Sensor Specification Sheet
`
`Product Testing 
`
`Specifications for Electroic Flow Switch 
`
`Presentation:  IQOS Purchaser Panel
`Presentation:  IQOS Owners Panel Update
`IQOS Owners Panel 
`Presentation:  IQOS:
`
`10
`
`

`

`Case 1:20-cv-00393-LO-TCB Document 653 Filed 05/21/21 Page 15 of 130 PageID# 14692
`REYNOLDS'S TRIAL EXHIBIT LIST
`
`Trial Exhibit 
`No.
`RX‐0136
`
`Ending Bates
`Beginning Bates
`Altria_IQOS_ITC_00015536 Altria_IQOS_ITC_00015591
`
`RX‐0137
`RX‐0138
`RX‐0139
`RX‐0140
`RX‐0141
`RX‐0142
`
`Altria_IQOS_ITC_00015805 Altria_IQOS_ITC_00015869
`Altria_IQOS_ITC_00016826 Altria_IQOS_ITC_00016878
`Altria_IQOS_ITC_00023130 Altria_IQOS_ITC_00023139
`Altria_IQOS_ITC_00024254 Altria_IQOS_ITC_00024309
`Altria_IQOS_ITC_00028724 Altria_IQOS_ITC_00028758
`Altria_IQOS_ITC_00048576 Altria_IQOS_ITC_00048643
`
`Document Description
`Presentation:  IQOS:  Building a Brand Through Retail 
`Experience,
`IQOS Qualitative Short Home Use report,
`Presentation:  Consumer Journey KPI's
`Presentation:  Jan. & Feb. 2020 Report,
`Presentation:  Smokeable Business Update
`Presentation:  IQOS Learning Plan
`Commercial Engine Flowchart (11/18/2019 Altria PMI meeting)
`
`RX‐0143
`RX‐0144
`
`Altria_IQOS_ITC_00050996  Altria_IQOS_ITC_00051010
`Altria_IQOS_ITC_00054311 Altria_IQOS_ITC_00054430
`
`FDA 4/30/19 Marketing Order 
`Presentation:  Altria Board of Directors Meeting, February 2017
`
`RX‐0145
`RX‐0146
`RX‐0147
`RX‐0148
`RX‐0149
`
`Altria_IQOS_ITC_00055207 Altria_IQOS_ITC_00055257
`Altria_IQOS_ITC_00055258 Altria_IQOS_ITC_00055281
`Altria_IQOS_ITC_00055332 Altria_IQOS_ITC_00055352
`Altria_IQOS_ITC_00055602 Altria_IQOS_ITC_00055631
`Altria_IQOS_ITC_00069340 Altria_IQOS_ITC_00069354
`
`RX‐0150
`
`Altria_IQOS_ITC_00069459 Altria_IQOS_ITC_00069476
`
`RX‐0151
`RX‐0152
`RX‐0153
`RX‐0154
`RX‐0155
`RX‐0156
`RX‐0157
`
`Altria_IQOS_ITC_00074869 Altria_IQOS_ITC_00074914
`Altria_IQOS_ITC_00076398 Altria_IQOS_ITC_00076420
`Altria_IQOS_ITC_00078741 Altria_IQOS_ITC_00078784
`Altria_IQOS_ITC_00082212 Altria_IQOS_ITC_00082264
`Altria_IQOS_ITC_00082439 Altria_IQOS_ITC_00082473
`Altria_IQOS_ITC_00082474 Altria_IQOS_ITC_00082528
`Altria_IQOS_ITC_00082990 Altria_IQOS_ITC_00082990
`
`Presentation:  Philip Morris USA, Product Portfolio Update
`Presentation:  Philip Morris USA, iQOS Update
`Presentation:  Philip Morris USA, iQOS Update
`IQOS Update Prepared for  Engagement
`Presentation:  Tobacco Products Three‐Year Plan Initiatives 
`2020‐2022
`Sutanto, Edward, et al., "Prevalence, Use Bahaviors, and 
`Preferences Among Users of Heated Tobacco Products:  
`Findings from the 2018 ITC Japan Survey," Int. J. Environ. Re. 
`Public Health 16 , 4630 (2019) 
`Presentation:  IQOS Conversation 9/5/2019 
`Presentation:  IQOS 101 Product Overview,
`Presentation:  IQOS Overview
`Presentation:  BOD Innovation Committee:  IQOS Update, 
`Presentation:  BOD Innovation Committee:  IQOS Update
`Presentation:  BOD Innovation Committee:  IQOS Update
`Summary of Recent Analyst Comments on IQOS in the U.S. 
`(draft)
`
`11
`
`

`

`Case 1:20-cv-00393-LO-TCB Document 653 Filed 05/21/21 Page 16 of 130 PageID# 14693
`REYNOLDS'S TRIAL EXHIBIT LIST
`
`Trial Exhibit 
`No.
`RX‐0158
`
`Ending Bates
`Beginning Bates
`Altria_IQOS_ITC_00084821 Altria_IQOS_ITC_00084830
`
`RX‐0159
`
`Altria_IQOS_ITC_00085457 Altria_IQOS_ITC_00085485
`
`RX‐0160
`
`Altria_IQOS_ITC_00085487 Altria_IQOS_ITC_00085510
`
`RX‐0161
`RX‐0162
`RX‐0163
`RX‐0164
`RX‐0165
`RX‐0166
`RX‐0167
`RX‐0168
`RX‐0169
`RX‐0170
`RX‐0171
`
`Altria_IQOS_ITC_00085528 Altria_IQOS_ITC_00085529
`Altria_IQOS_ITC_00085748 Altria_IQOS_ITC_00085752
`Altria_IQOS_ITC_00085753 Altria_IQOS_ITC_00085768
`Altria_IQOS_ITC_00085769 Altria_IQOS_ITC_00085770
`Altria_IQOS_ITC_00086213 Altria_IQOS_ITC_00086217
`Altria_IQOS_ITC_00086218 Altria_IQOS_ITC_00086234
`Altria_IQOS_ITC_00086269 Altria_IQOS_ITC_00086273
`Altria_IQOS_ITC_00086478 Altria_IQOS_ITC_00086595
`Altria_IQOS_ITC_00086730 Altria_IQOS_ITC_00086735
`Altria_IQOS_ITC_00086930 Altria_IQOS_ITC_00086931
`Altria_IQOS_ITC_00087521 Altria_IQOS_ITC_00087538
`
`RX‐0172
`RX‐0173
`
`Altria_IQOS_ITC_00089142 Altria_IQOS_ITC_00089142
`Altria_IQOS_ITC_00089367 Altria_IQOS_ITC_00089390
`
`RX‐0174
`RX‐0175
`
`Altria_IQOS_ITC_00089569 Altria_IQOS_ITC_00089606
`Altria_IQOS_ITC_00090448 Altria_IQOS_ITC_00090460
`
`RX‐0176
`
`Altria_IQOS_ITC_00090463 Altria_IQOS_ITC_00090481
`
`RX‐0177
`
`Altria_IQOS_ITC_00090484 Altria_IQOS_ITC_00090495
`
`Document Description
`Presentation:  Philip Morris USA, IQOS Cost Update (August 
`2017)
`Presentation:  Predicting Adult Smokers' Full Conversion to 
`iQOS
`Presentation:  Philip Morris USA, iQOS Update, Potentially 
`Reduced Risk Products, May 13, 2016 (v.4)
`2017‐Dec‐21 Email from J. Murillo to M.R. Garnick 
`Draft Presentation 
`Presentation Slides ‐  U.S. Commercialization
`2018‐Jan‐12 Email from P.M. Miller to J.L. Murillo et al. 
`Draft Presentation TPSAC 
`Draft Presentation ‐  U.S. Commercialization
`Draft Presentation ‐ TPSAC 
`Presentation:  Restricting Access to Youth
`Presentation:   IQOS Game Plan
`Draft Presentation ‐ TPSAC 
`Presentation:  U.S. Commercialization and Controls, Sarah 
`Knakmuhs, Vice President, Heated Tobacco Products, Philip 
`Morris USA
`2015‐Dec‐18 Email from P.M. Miller to A.C. Viscarra 
`Presentation:  Philip Morris USA, Brand Management, 
`Potentially Reduced Risk Products, Executive Leadership Team 
`Update, February 2016
`Presentation:  NGP Project Update (August 14, 2014)
`TPSAC Meeting on IQOS Tobacco Heating System as of 1/26/18 
`at 12 pm
`TPSAC Meeting on IQOS Tobacco Heating System as of 1/25/18 
`at 1 pm
`TPSAC Meeting on IQOS Tobacco Heating System as of 1/24/18 
`at 5:30 pm
`
`12
`
`

`

`Case 1:20-cv-00393-LO-TCB Document 653 Filed 05/21/21 Page 17 of 130 PageID# 14694
`REYNOLDS'S TRIAL EXHIBIT LIST
`
`Trial Exhibit 
`No.
`RX‐0178
`
`Ending Bates
`Beginning Bates
`Altria_IQOS_ITC_00090499 Altria_IQOS_ITC_00090536
`
`RX‐0179
`
`Altria_IQOS_ITC_00090717  Altria_IQOS_ITC_00090804
`
`RX‐0180
`
`Altria_IQOS_ITC_00090805  Altria_IQOS_ITC_00090914
`
`RX‐0181
`RX‐0182
`RX‐0183
`
`Altria_IQOS_ITC_00112128 Altria_IQOS_ITC_00112130
`Altria_IQOS_ITC_00112131 Altria_IQOS_ITC_00112148
`Altria_IQOS_ITC_00112149 Altria_IQOS_ITC_00112429
`
`RX‐0184
`
`Altria_IQOS_ITC_00112430 Altria_IQOS_ITC_00112534
`
`RX‐0185
`RX‐0186
`RX‐0187
`RX‐0188
`
`Altria_IQOS_ITC_00112620 Altria_IQOS_ITC_00112640
`Altria_IQOS_ITC_00112641 Altria_IQOS_ITC_00112652
`Altria_IQOS_ITC_00112672 Altria_IQOS_ITC_00112782
`Altria_IQOS_ITC_00113925 Altria_IQOS_ITC_00113951
`
`RX‐0189
`RX‐0190
`RX‐0191
`
`RX‐0192
`RX‐0193
`RX‐0194
`RX‐0195
`
`RX‐0196
`RX‐0197
`RX‐0198
`
`Altria_IQOS_ITC_00115539  Altria_IQOS_ITC_00115548
`Altria_IQOS_ITC_00116395 Altria_IQOS_ITC_00116403
`Altria_IQOS_ITC_00117711 Altria_IQOS_ITC_0011772