UNITED STATES INTERNATIONAL TRADE COMMISSION
`WASHINGTON, D.C.
`
`Before the Honorable Theodore R. Essex
`Administrative Law Judge
`
`
`In the Matter of
`
`CERTAIN MAGNETIC TAPE
`CARTRIDGES AND COMPONENTS
`THEREOF
`
`
`
`
`
`
`Inv. No. 337-TA-1036
`
`COMPLAINANT SONY’S UNOPPOSED MOTION FOR AND MEMORANDUM
`IN SUPPORT OF LEAVE TO AMEND
`THE COMPLAINT AND NOTICE OF INVESTIGATION
`TO REFLECT A CORPORATE REORGANIZATION
`
`Complainants Sony Corporation, Sony Storage Media and Devices Corporation,1 Sony
`
`
`
`
`
`
`
`DADC US Inc., and Sony Latin America Inc. (collectively, “Sony” or “Complainants), pursuant
`
`to Commission Rules 210.14(b)(1) and 210.15(a)(2), hereby submit this Unopposed Motion for
`
`and Memorandum of Law in Support of Leave to Amend the Complaint and Notice of
`
`Investigation to Reflect a Corporate Reorganization (the “Motion”) of Complainant Sony Storage
`
`Media and Devices Corporation. As explained in the Memorandum of Law, Sony has good cause
`
`to amend the Complaint and Notice of Investigation to reflect a reorganization of Sony Storage
`
`Media and Devices Corporation in which (i) certain business functions were transferred to a newly
`
`created subsidiary named Sony Storage Media Solutions and (ii) Sony Storage Media and Devices
`
`Corporation was renamed Sony Storage Media Manufacturing Corporation. Should Sony receive
`
`the requested leave, no prejudice will result to the public interest or any of the Respondents.
`
`
`1 As explained supra, effective April 1, 2017, Sony Storage Media and Devices Corporation
`was reorganized and renamed. In connection with the reorganization, Sony Storage Media and
`Devices Corporation was renamed Sony Storage Media Manufacturing Corporation and some of
`its functions were transferred to Sony Storage Media Solutions Corporation.
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`Sony therefore respectfully requests that the Commission grant this Motion and that the
`
`name Sony Storage Media and Devices Corporation be amended to recite Sony Storage Media
`
`Manufacturing Corporation and Sony Storage Media and Devices Corporation.
`
`
`
`
`
`
`GROUND RULE 3.2 CERTIFICATION
`
`Counsel for Sony contacted counsel for Fujifilm Corporation, Fujifilm Holdings
`
`Corporation, Fujifilm Holdings America Corporation, and Fujifilm Recording Media U.S.A., Inc.
`
`(collectively, “Fujifilm” or “Respondents”) regarding this Motion. Counsel for Fujifilm and Staff
`
`have confirmed that they do not oppose this Motion.
`
`
`
`Date: July 28, 2017
`
`Respectfully submitted,
`
`
`
`
`
`
`
`
`
`
`
`
`/s/ Jeffrey S. Gerchick
`Jeffrey S. Gerchick
`
`Jeffrey S. Gerchick
`S. Alex Lasher
`Quinn Emanuel Urquhart & Sullivan, LLP
`777 6th Street NW, 11th Floor
`Washington, DC 20001
`Tel.: (202) 538-8000
`Fax: (202) 538-8100
`
`Edward J. DeFranco
`Joseph Milowic III
`John T. McKee
`Quinn Emanuel Urquhart & Sullivan, LLP
`51 Madison Avenue, 22nd Floor
`New York, New York 10010
`Telephone: (212) 849-7000
`Facsimile: (212) 849-7100
`
`Kevin P.B. Johnson
`Andrew J. Bramhall
`Quinn Emanuel Urquhart & Sullivan, LLP
`555 Twin Dolphin Drive, 5th Floor
`Redwood City, California 94065
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`Telephone: (650) 801-5000
`Facsimile: (650) 801-5100
`
`Counsel for Complainants Sony Corporation,
`Sony Storage Media and Devices Corp., Sony
`DADC US Inc., and Sony Latin America Inc.
`
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`UNITED STATES INTERNATIONAL TRADE COMMISSION
`WASHINGTON, D.C.
`
`Before the Honorable Theodore R. Essex
`Administrative Law Judge
`
`
`In the Matter of
`
`CERTAIN MAGNETIC TAPE
`CARTRIDGES AND COMPONENTS
`THEREOF
`
`
`
`
`
`
`Inv. No. 337-TA-1036
`
`
`
`
`
`
`
`
`
`COMPLAINANT SONY’S MEMORANDUM IN SUPPORT OF UNOPPOSED MOTION
`TO AMEND THE COMPLAINT AND NOTICE OF INVESTIGATION
`TO REFLECT A CORPORATE REORGANIZATION
`
`Sony seeks leave to amend the Complaint and Notice of Investigation to reflect a
`
`reorganization of Sony Storage Media and Devices Corporation (“SSMD”) in which (i) certain
`
`business functions were transferred to a newly created subsidiary named Sony Storage Media
`
`Solutions (“SSMS”) and (ii) Sony Storage Media and Devices Corporation was renamed Sony
`
`Storage Media Manufacturing Corporation (“SSMM”). See Exhibit 1 (Original Confidential
`
`Complaint); see also Exhibit 2 (Proposed Amended Confidential Complaint with changes in
`
`redline).
`
`I.
`
`
`
`STATEMENT OF FACTS
`
`On December 15, 2016, Sony filed a complaint with the International Trade Commission
`
`pursuant to 19 U.S.C. § 1337 that the Commission instituted as Investigation 337-TA-1036 on
`
`January 18, 2017. Certain Magnetic Tape Cartridges and Components Thereof Institution of
`
`Investigation, 82 Fed. Reg. 8209 (Jan. 24, 2017). Sony identified SSMD as a complainant in the
`
`complaint and the Commission identified SSMD as a complainant in the subsequent Notice of
`
`Institution. Id. As a wholly owned subsidiary of Sony Corporation, SSMD was responsible for
`
`
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`coordinating the operations of Sony’s storage media and manufacturing business. See Sony Corp.,
`
`Announcement
`
`of
`
`Company
`
`Split
`
`(Feb.
`
`22,
`
`2016),
`
`https://www.sony.net/SonyInfo/IR/news/20160222 002E.pdf.
`
`
`
`Effective April 1, 2017, SSMD was reorganized and renamed. See Exhibit 3 (Confidential
`
`Letter to Business Partners concerning the reorganization of SSMD). Pursuant to the
`
`reorganization, responsibility for SSMD’s business functions relating Sony’s storage media
`
`products—including the Linear Tape Open (LTO) tape cartridge products relevant to this
`
`Investigation—was transferred to Sony Storage Media Solutions Corporation (“SSMS”), a newly
`
`established wholly-owned subsidiary of Sony Corporation. At the same time, SSMD was renamed
`
`Sony Storage Media Manufacturing Corporation (“SSMM”). SSMM is a wholly-owned
`
`subsidiary of SSMS.
`
`
`
`As a result or the reorganization and name change, the operations previously performed by
`
`SSMD are now performed collectively by SSMS and SSMM. SSMS is responsible for, among
`
`other things, research and development, design, product planning, and marketing relating to Sony’s
`
`magnetic tape media cartridge products. SSMM is responsible for certain manufacturing
`
`operations associated with Sony’s tape cartridge products. The reorganization of SSMD did not
`
`affect ownership of the patents asserted by Sony in this Investigation (i.e., U.S. Patent Nos.
`
`6,345,779; 6,896,959; 7,016,137; and 7,115,331), all of which are owned by Sony Corporation.
`
`II.
`
`THE PROPOSED AMENDMENT IS NECESSARY TO CLARIFY THE RECORD
`AND WILL RESULT IN NO PREJUDICE
`
`
`
`Pursuant to Commission Rule 210.14(b)(1), once institution is noticed, “the complaint or
`
`notice of investigation may be amended only by leave of the Commission for good cause shown
`
`and upon such conditions as are necessary to avoid prejudicing the public interest and the rights
`
`of the parties to the investigation.” In light of the foregoing Statement of Facts, Sony has good
`
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`cause to amend the complaint and seek the amendment of the notice of institution, which
`
`amendment will cause no prejudice to the public interest or to any party to this Investigation.
`
`
`
`As a result of the reorganization of SSMD, SSMD was renamed SSMM and many of the
`
`SSMD’s business functions relevant to this Investigation were vested in SSMS—rendering
`
`SSMD’s identification in the complaint and notice of institution obsolete. Sony must amend the
`
`complaint and notice of institution in order to correct, update, and clarify the record to reflect the
`
`results of SSMD’s reorganization. Sony accordingly has good cause to amend the complaint and
`
`notice of institution. See, e.g., Certain Non-Volatile Memory Devices and Products Containing
`
`Same, Inv. No. 337-TA-1046, Order No. 11 at 2 (June 1, 2017) (“There is good cause to amend
`
`the pleadings when there is a change in corporate structure after the filing of the complaint.”);
`
`Certain Automated Teller Machines, ATM Modules, Components Thereof, and Products
`
`Containing the Same, Inv. No. 337-TA-989, Order No. 32 at 2 (Feb. 6, 2017) (granting motion for
`
`leave to amend complaint and notice of institution); Certain Automated Teller Machines and Point
`
`of Sale Devices and Associated Software Thereof, Inv. No. 337-TA-958, Initial Determination
`
`(Sept. 15, 2015) (same); Certain Gaming and Entertainment Consoles, Inv. No. 337-TA-752,
`
`Order No. 49 (Oct. 10, 2012) (same).
`
`
`
`The purpose of the proposed amendment is to correct, clarify, and update the complaint
`
`and notice of institution in light of a corporate reorganization that post-dated the initiation of this
`
`Investigation. Sony does not seek to expand any substantive allegations or add any parties that
`
`would affect the scope of this Investigation. Sony’s proposed amendment will not prejudice either
`
`the public interest or any of the Fujifilm respondents, whom Sony has informed of SSMD’s
`
`reorganization in filings and other papers served in this Investigation and whom have not sought
`
`to make the reorganization an issue in the litigation.
`
`
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`III. CONCLUSION
`
`
`
`For the foregoing reasons, Sony respectfully requests leave to amend the complaint and
`
`notice of institution to correct, update, and clarify the record to reflect the name change and
`
`reorganization of SSMD. In place of SSMD, Sony seeks to substitute SSMM and SSMS. Sony
`
`further respectfully requests that all necessary records and the service list in this Investigation be
`
`Respectfully submitted,
`
`likewise amended.
`
`Date: July 28, 2017
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`/s/ Jeffrey S. Gerchick
`Jeffrey S. Gerchick
`
`Jeffrey S. Gerchick
`S. Alex Lasher
`Quinn Emanuel Urquhart & Sullivan, LLP
`777 6th Street NW, 11th Floor
`Washington, DC 20001
`Tel.: (202) 538-8000
`Fax: (202) 538-8100
`
`Edward J. DeFranco
`Joseph Milowic III
`John T. McKee
`Quinn Emanuel Urquhart & Sullivan, LLP
`51 Madison Avenue, 22nd Floor
`New York, New York 10010
`Telephone: (212) 849-7000
`Facsimile: (212) 849-7100
`
`Kevin P.B. Johnson
`Andrew J. Bramhall
`Quinn Emanuel Urquhart & Sullivan, LLP
`555 Twin Dolphin Drive, 5th Floor
`Redwood City, California 94065
`Telephone: (650) 801-5000
`Facsimile: (650) 801-5100
`
`Counsel for Complainants Sony Corporation,
`Sony Storage Media and Devices Corp., Sony
`DADC US Inc., and Sony Latin America Inc.
`
`
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`Exhibit 1
`
`Exhibit 1
`
`PUBLIC VERSION
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`

`PUBLIC VERSION
`
`UNITED STATES INTERNATIONAL TRADE COMMISSION
`
`
`
`
`
`
`
`
` WASHINGTON, DC.
`
`In the Matter of
`
`
`
`
`
`
`
`CERTAIN MAGNETIC TAPE
`CARTRIDGES AND COMPONENTS
`
`
`
`THEREOF
`
`
`
`
`Investigation No. 337-TA-
`
`
`
`
`
`
`
`
`
`
`
`
`COMPLAINT UNDER SECTION 337 OF THE TARIFF ACT OF 1930, AS AMENDED
`
`Complainants
`
`
`Sony Corporation
`
`
`
`1-7—1 Konan, Minato-ku
`
`
`
`Tokyo 108—0075, Japan
`
`
`
`
`
`Proposed Respondents
`
`
`
`Fujifilm Holdings Corporation
`
`
`
`7-3 Akasaka 9-chome, Minato-ku
`
`
`Tokyo 107-0052, Japan
`
`
`
`
`
`
`
`7-3 Akasaka 9—chome, Minato-ku
`
`
`Tokyo 107—0052, Japan
`Fujifilm Holdings America Corporation
`
`
`
`200 Summit Lake Drive
`
`
`
`
`
`
`
`Valhalla, New York 10595
`Fujifilm Recording Media USA, Inc.
`
`
`
`
`
`.
`
`
`45 crOSby Dnve
`Bedford, Massachusetts 01730-1401
`
`
`
`
`
`
`
`
`
`
`
`Sony Storage Media and Devices Corporation
`
`
`
`3-4-1 Sakuragi, Tagajo
`
`
`
`Miyagi 9850842, Japan
`
`Telephone: 81-2-2367—2200
`
`
`
`Sony DADC US Inc.
`
`
`
`1800 North Fmiifidge Avenue
`
`
`
`
`Terre Haute, Indlana 47804
`h
`812 462 8100
`T 1
`~
`
`6 ep one'
`(
`)
`'
`
`
`
`Sony Latin America Inc.
`
`
`
`
`
`5201 Blue Lagoon Drive, Suite 400
`Miami Florida 33126
`
`
`
`’
`
`
`Telephone: (305) 260—4000
`
`
`
`
`
`
`COUNSEL FOR COMPLAINANTS gCONT.)
`.
`Kev1n RB. Johnson
`
`
`
`Andrew J. Bramhall
`
`
`
`
`
`
`
`
`Quinn Emanuel Urquhart & Sullivan, LLP
`
`
`W 555 Twin Dolphin Drive, 5th Floor
`
`
`
`
`
`
`
`
`
`
`
`
`Redwood City, California 94065
`Edward J. DeFranco
`
`
`
`
`
`
`Telephone: (650) 801—5000
`Joseph Milowic 111
`
`
`
`Facsimile: (650) 801-5100
`John T. McKee
`
`
`
`
`
`
`Quinn Emanuel Urquhart & Sullivan, LLP
`
`
`
`
`
`51 Madison Avenue, 22nd Floor
`New York, New York 10010
`
`
`
`
`
`Telephone: (212) 849_7000
`
`
`
`.
`.
`
`
`Facs1m11e: (212) 849-7100
`
`
`
`
`
`Jeffrey S. Gerchick
`S. Alex Lasher
`
`
`
`
`
`
`
`
`$7117irgth$nuel Urquhart & Sullivan, LLP
`
`
`
`
`
`
`eet NW, 11th Floor
`Washington, DC 20001
`
`
`
`
`
`
`Tel.: (202) 538-8000
`Fax: (202) 538-8100
`
`
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`TABLE OF CONTENTS
`
`
`
`INTRODUCTION ................................................................................................ .. 1
`
`II.
`
`COMPLAINANTS ............................................................................................... ..5
`
`III.
`
`
`
`
`PROPOSED RESPONDENTS ............................................................................ ..7
`
`IV.
`
`
`
`
`THE PRODUCTS AT IS SUE .............................................................................. ..8
`
`THE ASSERTED PATENTS AND NONTECHNICAL DESCRIPTIONS OF
`
`
`
`
`
`
`
`
`THE INVENTIONS ............................................................................................. ..9
`
`A.
`
`B.
`
`
`
`
`
`
`
`
`
`Non-Technical Overview of the Inventions in the Asserted Patents ........ ..9
`
`
`
`The ’779 Patent ...................................................................................... ..13
`
`1.
`
`2.
`
`3.
`
`
`
`
`
`
`
`Identification and Ownership of the ’779 Patent........................ .. 13
`
`
`
`
`
`
`Foreign Counterparts to the ’779 Patent ..................................... .. 14
`
`
`
`
`
`
`Non-Technical Description of the ’779 Patent ........................... ..14
`
`C.
`
`
`
`The ’959 Patent ...................................................................................... ..15
`
`1.
`
`2.
`
`3.
`
`
`
`
`
`
`
`Identification and Ownership of the ’95 9 Patent ........................ ..15
`
`
`
`
`
`
`Foreign Counterparts to the ’959 Patent ..................................... ..15
`
`
`
`
`
`
`Non-Technical Description of the ’959 Patent ........................... .. 15
`
`D.
`
`
`
`The ’ 137 Patent ...................................................................................... ..16
`
`1.
`
`2.
`
`3.
`
`
`
`
`
`
`
`Identification and Ownership of the ’137 Patent ........................ .. 16
`
`
`
`
`
`
`Foreign Counterparts to the ’ 137 Patent ..................................... ..16
`
`
`
`
`
`
`Non-Technical Description of the ’137 Patent ........................... ..16
`
`E.
`
`
`
`The ’331 Patent ...................................................................................... ..17
`
`1.
`
`2.
`
`3.
`
`
`
`
`
`
`
`Identification and Ownership of the ’331 Patent........................ ..17
`
`
`
`
`
`
`Foreign Counterparts to the ’331 Patent..................................... ..18
`
`
`
`
`
`
`Non—Technical Description of the ’331 Patent ........................... ..18
`
`F.
`
`Licensees to the Asserted Patents ........................................................... ..19
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`VI.
`
`UNLAWFUL AND UNFAIR ACTS OF RESPONDENTS—PATENT
`
`
`
`
`
`
`INFRINGEMENT .............................................................................................. ..19
`
`A.
`
`
`
`
`
`
`Infringement of the ’779 Patent.............................................................. ..19
`
`B.
`
`C.
`
`D.
`
`
`
`
`
`
`Infringement of the ’959 Patent .............................................................. ..20
`
`
`
`
`
`Infringement of the ’137 Patent .............................................................. ..21
`
`
`
`
`
`Infringement of the ’331 Patent .............................................................. ..22
`
`VII.
`
`SPECIFIC INSTANCES OF UNFAIR IMPORTATION ................................. ..23
`
`
`
`
`
`VIII.
`
`CLASSIFICATION OF THE INFRINGING PRODUCTS UNDER THE
`
`
`
`
`
`
`
`HARMONIZED TARIFF SCHEDULE ............................................................ ..23
`
`
`
`IX.
`
`
`
`RELATED LITIGATION .................................................................................. ..23
`
`
`THE DOMESTIC INDUSTRY RELATING TO THE AS SERTED PATENTS 26
`
`
`
`
`
`
`
`
`A.
`
`B.
`
`C.
`
`
`
`
`
`
`
`
`
`Sony’s Practice of the Asserted Patents (Technical Prong) ................... ..26
`
`
`
`
`
`
`
`
`IBM’s Practice of the Asserted Patents (Technical Prong) .................... ..27
`
`
`
`
`
`
`
`
`
`
`United States Economic Activity Relating to the Domestic Industry
`
`
`Products (Economic Prong) .................................................................... ..27
`
`1.
`
`2.
`
`
`
`
`Sony’s Domestic Industry Investments ...................................... ..27
`
`
`
`
`
`Licensee IBM’s Domestic Industry Investments ....................... ..29
`
`XI.
`
`
`RELIEF REQUESTED ...................................................................................... ..40
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`EXHIBIT LIST
`
`
`
`
`
`
`
`Certified Copy of US. Patent No. 6,345,779
`
`
`
`
`
`
`Certified Copy of US. Patent No. 6,896,959
`
`
`
`
`
`
`Certified Copy of US. Patent No. 7,016,137
`
`
`
`
`
`
`Certified Copy of US. Patent No. 7,115,331
`
`
`
`
`
`
`
`
`December 31, 1999 Certified Assignment Record Concerning the ’779
`patent
`
`
`
`
`
`
`
`
`
`
`
`
`
`June 19, 2003 Certified Assignment Record Concerning the ’959 patent
`
`
`
`
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`
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`
`
`October 6, 2004 Certified Assignment Record Concerning the ’ 137 patent
`
`
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`
`
`
`
`
`
`
`
`June 8, 2009 Certified Assignment Record Concerning the ’959 and ’331
`
`patents
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`
`
`
`
`
`
`
`
`
`July 31, 2015 Certified Assignment Record Concerning the ’331 patent
`
`
`
`
`
`
`
`
`
`August 14, 2015 Certified Assignment Record Concerning the ’779, ’959,
`
`
`and ’331 patents
`
`
`
`
`
`
`
`
`
`
`
`
`December 8, 2015 Certified Assignment Record Concerning the ’959 and
`9
`
`
`331 patents
`
`
`
`
`
`
`
`
`
`Foreign Counterparts of the Asserted Patents
`
`
`
`
`
`
`
`’779 Patent Infringement Claim Chart
`
`
`
`
`
`’959 Patent Infringement Claim Chart (Confidential)
`
`
`
`
`
`’ 137 Patent Infringement Claim Chart (Confidential)
`
`
`
`
`
`’331 Patent Infringement Claim Chart (Confidential)
`
`
`
`
`Declaration Regarding Evidence of Importation
`
`
`
`
`
`
`
`
`
`
`’779 Patent Domestic Industry Claim Chart for IBM 3592 Tape Product
`
`(Confidential)W—mfi
`
`
`
`
`
`
`
`
`
`
`
`’959 Patent Domestic Industry Claim Chart for IBM 3592 Tape Product
`
` 19 (Confidential)
`
`
`
`
`
`
`
`
`
`
`
`
`
`’137 Patent Domestic Industry Claim Chart for IBM 3592 Tape Product
`(Confidential)
`
`
`
`
`
`
`
`
`
`
`
`’331 Patent Domestic Industry Claim Chart for IBM 3592 Tape Product
`(Confidential)
`
`20
`
`21
`22
`
`
`
`
`
`
`
`
`
`
`
`
`
`’779 Patent Domestic Industry Claim Chart for Sony LTO—6 Tape Product
`
`
`
`
`
`
`
`
`
`
`
`
`’959 Patent Domestic Industry Claim Chart for Sony LTO-6 Tape Product
`23
`(Confidential)
`
`
`
`
`iii
`
`
`
`
`
`
`
`10
`
`11
`
`12
`r...__.......__.____.___.__
`
`13
`
`14
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`15
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`16
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`17
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`’ 137 Patent Domestic Industry Claim Chart for Sony LTO—6 Tap
`
`(Confidential)
`
`25
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`Info. Storage Indus. Consortium, Int ’l Magnetic Tape Storage Roadmap
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`Magnetic Tape to the Rescue, Economist
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`Tom Coughlin, Keeping Data For a Long Time, Forbes
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`IBM, IBM 3592 Tape Cartridge Data Sheet (Confidential)
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`IBM, Annual Report (Form 10-K) (Confidential)
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`IBM, IBM Tape Library Guide for Open Systems (Confidential)
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`IBM, IBM TS1150 Tape Drives Deliver the Fastest and Largest Capacity
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`Drive for Enterprise Archiving and Data Protection (Confidential)
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`IBM, IBM System Storage TS1140 Tape Drive Model E07 Delivers Higher
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`Performance, Reliability, and Capacity (Confidential)
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`IBM, Tucson, AZ, USA (Confidential)
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`Teya Vitu, IBM in Tucson: Past, Present, Future, Tucson Citizen
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`(Confidential)
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`Stephen Lawson, IBM Fujifilm Cram 220TB ofData onto Tape-Based
`34
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`Storage that Fits in Your Hand, PC World
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`Duncan Graham-Rowe, New Lifefor Magnetic Tape, MIT Technology
`Review
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`’331 Patent Domestic Industry Claim Chart for Sony LTO-6 Tape Product
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`(Confidential)
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`Confidential Declaration Regarding the Domestic Industry (Confidential)
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`LTO Consortium, About the LT0 Program
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`LTO Consortium, Sony and Fujifilm Pass LTO Ultrium Generation 7
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`Interchange Testing
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`LTO Consortium, LT0 Media Shipment Report (2015)
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`LTO Consortium, LTO— 7: Questions and Answers
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`Mark Peters & Jason Buffington, Understanding the Functional Agility of
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`Modern Tape in Production and Protection Storage, Enterprise Strategy
`Group
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`Evan Koblentz, Tape Isn ’t Dying, It’s Getting Healthier and Smarter, Tech
`Republic
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`Cindy LaChapelle, The Cost ofData Storage and Management: Where Is
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`it Headed in 2016?, The Data Center Journal
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`Tim Steller, Let’s End Old Businessmen ’s Tale about IBM, AZ Daily Star
`(Confidential)
`IBM, IBM Storage Physical Tape (Confidential)
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`Timothy Walden, Roll the Tape: How IBM Plans to Remaster Storage,
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`SilconANGLE (Confidential)
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`Cal. Dep’t of Industrial Relations, Cal/OSHA Recognizes IBM Research-
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`Almaden for Workplace Safety Achievements (Confidential)
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`IBM, People in Almaden (Confidential)
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`IBM, Storage Systems — Almaden (Confidential)
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`IBM, Thompson Profile (Confidential)
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`IBM, Almaden Tape Laboratory (Confidential)
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`IBM, Magnetic Tape Storage (Confidential)
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`Jeffry Beeler, IBM Christens $125 [Million Research Center, Computer
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`Weekly (Confidential)
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`IBM, IBM Almaden Research Center (Confidential)
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`IBM, IBM 3592 Tape Cartridge Product Details——0verview
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`(Confidential)
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`IBM, IBM Research and Development Expense (Quarterly) (Confidential)
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` Quantum, LT0-6 Tape Drives
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`Timothy Prickett Morgan, A Deep Dive Into IBM’s Real Systems Business,
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`The Next Platform (Confidential)
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`IBM, IBMAnnual Report (Form 1 0-K, Exhibit 1 3) (Confidential)
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`Timothy Prickett Morgan, Power Systems Sales Return to Growth, IT
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`Jungle (Confidential)
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`Anne Shields, IBM’s Power Systems Are Crucialfor its Systems Hardware
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`Segment, Market Realist (Confidential)
`________—_—____...___1
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`IBM, Statement ofDirection: TS770 Integration with Cloud-based Storage
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`Solutions and TS] I 5 0 Tape Drive Enhancement (Confidential)
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`Ultrium Generation 5 l6-Channel Format Specification Document U-5 l6
`(Confidential)
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`Fujifilm, Fujifilm LTO Ultrium 5 Data Cartridge (2010)
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`Fujifilm, LT0 Tape Technology Care & Handling
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`Ultrium Generation 6 l6-Channel Format Specification Document U-616E
`(Confidential)
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`Ultrium Generation 4 16-Channel Format Specification Document U-4l6
`(Confidential)
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`Fujifilm, Datamedia Catalog, 3592 for IBM 3592 TotalStorage Enterprise
`Tape Drive Systems (2004) (Confidential)
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`Fujifilm, Fujifilm LTO Ultrium 4 Data Cartridge (2007)
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`B. Kadleck & C. Coutts, IBM TotalStorage Enterprise Tape 3592:
`Presentation Guide (Feb. 2004) (Confidential)
`IBM, IBM TS] 140 Tape Drive—Overview (Confidential)
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`IBM, IBM TS] 150 Tape Drive—Specifications (Confidential)
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`IBM, IBM 3592 Product Details—Specifications (Confidential)
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`Coskun, M. Lindstrom, et al., IBM System Storage Solutions Handbook,
`IBM (July 2016) (Confidential)
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`IBM, IBM Europe Sales Manual (May 26, 2016) (Confidential)
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`IBM, IBM Systems Storage Tape Drive 3592 SCSI Reference (Dec. 16,
`2014) (Confidential)
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`Sony, Metal Particle And A3MP Tape: Nanoscale Technology For
`Terabyte Storage White Paper (2009)
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`Sony, Sony LTO Ultrium 6 Specification Sheet
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`Sony, Sony LTO Ultrium 5 Specification Sheet
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`IBM, Compatibility Among LTO Tape Drives and Cartridges
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`Confidential Identification of Licensees of Asserted Patents (Confidential)
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`Confidential License Agreement Between Sony and IBM (Confidential)
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`Confidential_ Agreement Between_
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`(Confidenti
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`a
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`Translation of Confidential Feb. 25, 2016 Letter from Sony to Fujifilm
`(Confidential)
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`US. Patent and Trademark Office, Confirmation Receipt ofPatent
`Assignment Cover Sheet to Record US. Patent No. 7,115,331
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`Fujifilm, Data Storage Media (2008)
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`PHYSICAL EXHIBIT LIST
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`Example of Fujifilm’s LTO-4 Data Cartridge (15716800 and/or 26247007)
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`Example of Fujifilm’s LTO-5 Data Cartridge (16008054)
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`Example of Fujifilm’s LTO-6 Data Cartridge (16310756)
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`Example of Fujifilm’s WORM LTO-4 Data Cartridge (15750246)
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`Example of Fujifilm’s WORM LTO-5 Data Cartridge (16008030)
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`Example of Fujifilm’s WORM LTO-6 Data Cartridge (16310732)
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`Example of Sony’s LTO-4 Data Cartridge (LTX800G)
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`Example of Sony’s LTO-5 Data Cartridge (LTX1500G)
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`P9
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`Example of Sony’s LTO-6 Data Cartridge (LTX2500G)
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`Example of Sony’s WORM LTO-4 Data Cartridge (LTX800W)
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`Example of Sony’s WORM LTO-5 Data Cartridge (LTX1500W)
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`Example of IBM’s 3592 Type B JB Data Cartridge (23R9830)
`P12
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`Example of IBM’s 3592 Type C JC Data Cartridge (46X7452)
`(Confidential)
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`Example of IBM’s 3592 Type D JD Data Cartridge (2727263)
`(Confidential)
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`Example of IBM’s 3592 Type B JX Data Cartridge (23R9831)
`(Confidential)
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`Example of IBM’s 3592 Type C JY Data Cartridge (46X7454)
`(Confidential)
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`P6
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`P
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`P2
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`P3
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`P4
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`P5
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`P10
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`P11
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`P13
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`P14
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`P17
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`P18
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`P19
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`Example of IBM’s 3592 Type D JZ Data Cartridge (2727265)
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`Example of IBM’s 3592 Type C JK Data Cartridge (46X7453)
`(Confidential)
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`Example of IBM’s 3592 Type D JL Data Cartridge (2727264)
`(Confidential)
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`APPENDIX LIST
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`Additional Patents and Applicable Pages of Technical References Mentioned in
`the Prosecution History of US. Patent No. 6,345,779
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`Prosecution History of US. Patent No. 6,896,959
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`Additional Patents and Applicable Pages of Technical References Mentioned in
`l_t_he Prosecution History of US. Patent No. 6,896,959
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`Prosecution History of US. Patent No. 7,016,137
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`Additional Patents and Applicable Pages of Technical References Mentioned in
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`the Prosecution History of US. Patent No. 7,016,137
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`Prosecution History of US. Patent No. 7,115,331
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`Additional Patents and Applicable Pages of Technical References Mentioned in
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`the Prosecution History of the US. Patent No. 7,1 15 ,331
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`viii
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`I.
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`INTRODUCTION
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`1.
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`Sony Corporation, Sony Storage Media and Devices Corporation, Sony DADC
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`US Inc., and Sony Latin America Inc. (collectively, “Sony” or “Complainants”) file this
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`complaint under Section 337 of the Tariff Act of 1930, as amended, 19 U.S.C. § 1337, based on
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`the unlawful importation into the United States, sale for importation into the United States, and/or
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`sale within the United States afier importation by proposed respondents Fujifilm Holdings
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`Corporation, Fujifilm Corporation, Fujifilm Holdings America Corporation, and Fujifilm
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`Recording Media U.S.A., Inc. (collectively “Fujifilm” or “Proposed Respondents”) of certain
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`magnetic tape cartridges and components thereof that infringe one or more claims of United States
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`Patent Nos. 6,345,779 (“the ’779 patent”); 6,896,959 (“the ’959 patent”); 7,016,137 (“the ’137
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`patent”); and 7,115,331 (“the ’331 patent”) (collectively, the “Asserted Patents”), either literally
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`or under the doctrine of equivalents.
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`2.
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`Sony Corporation is the parent company and owner of all right, title, and interest
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`in and to the Asserted Patents. Sony Storage Media and Devices Corporation (“SSMD”) is a
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`subsidiary of Sony Corporation and designs, develops, and manufactures magnetic tape and
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`magnetic tape cartridges that practice certain claims of the Asserted Patents. SSMD magnetic
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`tape cartridges are sold under the Sony® brand; SSMD also operates as an original equipment
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`manufacturer (“OEM”) for magnetic tape cartridge products that are sold to customers (e.g.,
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`_ who then offer these products for sale under their own respective brand names.
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`Sony DADC US Inc. is responsible for management, distribution, and customer support services
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`for SSMD-manufactured OEM magnetic tape products in the United States. Sony Latin America
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`Inc. (“SOLA”) is responsible for sales, management, and customer support regarding Sony®
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`brand magnetic tape media products sold in the United States, Canada, and Latin America. SSMD
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`also has affiliates or other employees of Sony U.S. subsidiaries who provide design and
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`engineering support for its activities.
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`3.
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`The technical standards at issue in this case relate to a format for magnetic tape
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`data storage known as Linear Tape-Open (“LTO”). Magnetic tape products that comply with the
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`LTO format (i.e., “LTO tape cartridges”) facilitate the storage of large amounts of data and are
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`used by companies across a wide range of industries for data storage backup systems and fast
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`access data libraries. The standard form-factor of LTO technology, which is marketed under the
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`name “Ultrium,” generally utilizes a linear recording half-inch cartridge. “Linear recording”
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`refers to a method of arranging data in parallel tracks that linearly span the length of the tape.
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`4.
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`The LTO format was developed by an organization known as the LTO
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`Consortium, which was originally formed by International Business Machines (“IBM”), Hewlett
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`Packard (“HP”) and Seagate (now Quantum)1 in 1998. Because of their stewardship role, IBM,
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`HP, and Quantum are called the “technology provider companies” (or “TPCs”). The LTO
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`Consortium promulgates written technical specifications (i.e., standards) for the LTO magnetic
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`tape data storage format with input from prospective tape media manufacturers.
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`5.
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`The LTO Consortium intended the LTO format to be an open standard designed
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`to provide “a clear and viable choice in an increasingly complex array of tape storage options.”
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`(Ex. 27). One purpose of making the LTO format an open standard was to provide consumers
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`with multiple sources of interoperable media and products for writing to and reading from such
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`media. The LTO Consortium encourages companies to participate in offering products compliant
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`with LTO standards through an open licensing process whereby any company can sign an
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`1 Seagate’s magnetic tape division was spun off as Seagate Removable Storage Solutions,
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`later renamed Certance, which was subsequently acquired by Quantum.
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`agreement to participate in the format with the understanding that they must comply with the
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`mandates of that agreement.
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`6.
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`LTO tape products have been utilized in enterprise-wide data protection that
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`accommodates a range of tape storage requirements—from single server to complex networked
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`environments—for fast performance and high-capacity needs, and to address service level
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`agreeme