Case 1:17-cv-00770-JDW-MPT Document 134-4 Filed 01/09/23 Page 1 of 18 PageID #:
`14864
`
`
`
`
`
`Exhibit 4
`
`

`

`Case 1:17-cv-00770-JDW-MPT Document 134-4 Filed 01/09/23 Page 2 of 18 PageID #:
`14865
`
`Davin Guinn
`From:
`Sent:
`To:
`Cc:
`
`Subject:
`
`Yen, Lucy <LYen@wsgr.com>
`Tuesday, January 3, 2023 4:53 PM
`Paul A. Ainsworth
`Geritano, Anthony; External-Bindu Palapura (potteranderson.com); Daniel E. Yonan;
`Davin Guinn; Deirdre Wells; dar@iplawgroup.com; THARTZELL@ycst.com;
`jft@iplawgroup.com; Kyle E. Conklin; mak@iplawgroup.com; APOFF@ycst.com; Trey
`Powers; rdl@iplawgroup.com; smd@iplawgroup.com; sro@iplawgroup.com;
`wes@iplawgroup.com; WSGR - Caterpillar Litigation; Wirtgen DCT Lit; External Wirtgen
`RE: Wirtgen America, Inc. v. Caterpillar, Inc., No. 1:17-cv-00770-JDW-MPT
`
`EXTERNAL EMAIL: Use caution before clicking links or attachments.
`
`
`Dear Paul:
`
`
`We intend to oppose the motion to compel. If you would like to set up a time to discuss further, we would of course be
`happy to talk again.
`
`
`As previewed below, we are fine with proceeding before Judge Wolson.
`
`
`Thank you for your cooperation.
`
`
`Regards,
`Lucy
`
`
`
`
`From: Yen, Lucy
`Sent: Wednesday, December 28, 2022 3:38 PM
`To: Paul A. Ainsworth <PAINSWORTH@sternekessler.com>
`Cc: Geritano, Anthony <ageritano@wsgr.com>; External-Bindu Palapura (potteranderson.com)
`<bpalapura@potteranderson.com>; Daniel E. Yonan <DYONAN@sternekessler.com>; Davin Guinn
`<dguinn@sternekessler.com>; Deirdre Wells <DWELLS@sternekessler.com>; dar@iplawgroup.com;
`THARTZELL@ycst.com; jft@iplawgroup.com; Kyle E. Conklin <KCONKLIN@sternekessler.com>; mak@iplawgroup.com;
`APOFF@ycst.com; Trey Powers <TPOWERS@sternekessler.com>; rdl@iplawgroup.com; smd@iplawgroup.com;
`sro@iplawgroup.com; wes@iplawgroup.com; WSGR - Caterpillar Litigation <caterpillar@wsgr.com>; Wirtgen DCT Lit
`<Wirtgendctlit@sternekessler.com>; External Wirtgen <External_Wirtgen@iplawgroup.com>
`Subject: RE: Wirtgen America, Inc. v. Caterpillar, Inc., No. 1:17-cv-00770-JDW-MPT
`
`
`Dear Paul:
`
`
`We may be able to consent to Judge Wolson, but I don’t have authorization on this yet. Our client contacts are out of
`the office this week, and offices are shut down.
`
`I will get back to you no later than January 3 when they are back in the office. Thank you for your cooperation.
`
`
`Regards,
`Lucy
`
`
`1
`
`

`

`Case 1:17-cv-00770-JDW-MPT Document 134-4 Filed 01/09/23 Page 3 of 18 PageID #:
`14866
`
`
`
`From: Paul A. Ainsworth <PAINSWORTH@sternekessler.com>
`Sent: Wednesday, December 28, 2022 3:08 PM
`To: Yen, Lucy <LYen@wsgr.com>
`Cc: Geritano, Anthony <ageritano@wsgr.com>; External-Bindu Palapura (potteranderson.com)
`<bpalapura@potteranderson.com>; Daniel E. Yonan <DYONAN@sternekessler.com>; Davin Guinn
`<dguinn@sternekessler.com>; Deirdre Wells <DWELLS@sternekessler.com>; dar@iplawgroup.com;
`THARTZELL@ycst.com; jft@iplawgroup.com; Kyle E. Conklin <KCONKLIN@sternekessler.com>; mak@iplawgroup.com;
`APOFF@ycst.com; Trey Powers <TPOWERS@sternekessler.com>; rdl@iplawgroup.com; smd@iplawgroup.com;
`sro@iplawgroup.com; wes@iplawgroup.com; WSGR - Caterpillar Litigation <caterpillar@wsgr.com>; Wirtgen DCT Lit
`<Wirtgendctlit@sternekessler.com>; External Wirtgen <External_Wirtgen@iplawgroup.com>
`Subject: Re: Wirtgen America, Inc. v. Caterpillar, Inc., No. 1:17-cv-00770-JDW-MPT
`
`
`EXT - painsworth@sternekessler.com
`
`
`
`Lucy,
`
`
`We will file a motion to compel compliance with the subpoena. As the subpoena required compliance in the SD Ohio, we
`will file our motion there unless CTCT consents to having Judge Wolson resolve the dispute. Please let me know by COB
`tomorrow whether you CTCT consents.
`
`
`Regards,
`Paul
`
`
`On Dec 28, 2022, at 1:54 PM, Yen, Lucy <LYen@wsgr.com> wrote:
`
`
`
`EXTERNAL EMAIL: Use caution before clicking links or attachments.
`
`
`
`Dear Paul:
`
`
`As we have stated on multiple occasions, including in my November 20, 2022 email below, after a
`reasonable investigation, we believe that reasonably accessible, responsive materials in CTCT’s
`possession have already been produced in this action. We also directed you to software specifications
`associated with the source code that have been produced, see, e.g., CAT_00057629, and proposed that
`you review Caterpillar’s production and inspect the source code. It is unclear to us whether you have
`done either.
`
`
`After you have reviewed the documents and source code that have already been produced, and find
`that you still need additional materials from CTCT that you believe are in its unique possession, we
`would be open to further discussion.
`
`
`Thank you for your cooperation.
`
`
`Regards,
`Lucy
`
`
`
`2
`
`

`

`Case 1:17-cv-00770-JDW-MPT Document 134-4 Filed 01/09/23 Page 4 of 18 PageID #:
`14867
`From: Paul A. Ainsworth <PAINSWORTH@sternekessler.com>
`Sent: Tuesday, December 20, 2022 5:02 PM
`To: Yen, Lucy <LYen@wsgr.com>
`Cc: Geritano, Anthony <ageritano@wsgr.com>; External-Bindu Palapura (potteranderson.com)
`<bpalapura@potteranderson.com>; Daniel E. Yonan <DYONAN@sternekessler.com>; Davin Guinn
`<dguinn@sternekessler.com>; Deirdre Wells <DWELLS@sternekessler.com>; dar@iplawgroup.com;
`THARTZELL@ycst.com; jft@iplawgroup.com; Kyle E. Conklin <KCONKLIN@sternekessler.com>;
`mak@iplawgroup.com; APOFF@ycst.com; Trey Powers <TPOWERS@sternekessler.com>;
`rdl@iplawgroup.com; smd@iplawgroup.com; sro@iplawgroup.com; wes@iplawgroup.com; WSGR -
`Caterpillar Litigation <caterpillar@wsgr.com>; Wirtgen DCT Lit <Wirtgendctlit@sternekessler.com>;
`External Wirtgen <External_Wirtgen@iplawgroup.com>
`Subject: RE: Wirtgen America, Inc. v. Caterpillar, Inc., No. 1:17-cv-00770-JDW-MPT
`
`
`EXT - painsworth@sternekessler.com
`
`
`
`
`Lucy-
`
`It has been nearly 4 months since we served the subpoena and we have received no documents from
`CTCT. Where are the documents you agreed to produce?
`
`
`Regards,
`Paul
`
`
`
`
`
`From: Yen, Lucy <LYen@wsgr.com>
`Sent: Tuesday, November 22, 2022 8:49 PM
`To: Paul A. Ainsworth <PAINSWORTH@sternekessler.com>
`Cc: Geritano, Anthony <ageritano@wsgr.com>; External-Bindu Palapura (potteranderson.com)
`<bpalapura@potteranderson.com>; Daniel E. Yonan <DYONAN@sternekessler.com>; Davin Guinn
`<dguinn@sternekessler.com>; Deirdre Wells <DWELLS@sternekessler.com>; dar@iplawgroup.com;
`THARTZELL@ycst.com; jft@iplawgroup.com; Kyle E. Conklin <KCONKLIN@sternekessler.com>;
`mak@iplawgroup.com; APOFF@ycst.com; Trey Powers <TPOWERS@sternekessler.com>;
`rdl@iplawgroup.com; smd@iplawgroup.com; sro@iplawgroup.com; wes@iplawgroup.com; WSGR -
`Caterpillar Litigation <caterpillar@wsgr.com>; Wirtgen DCT Lit <Wirtgendctlit@sternekessler.com>;
`External Wirtgen <External_Wirtgen@iplawgroup.com>
`Subject: RE: Wirtgen America, Inc. v. Caterpillar, Inc., No. 1:17-cv-00770-JDW-MPT
`
`
`EXTERNAL EMAIL: Use caution before clicking links or attachments.
`
`
`
`Dear Paul:
`
`
`Please see attached.
`
`Regards,
`Lucy
`
`
`
`3
`
`

`

`Case 1:17-cv-00770-JDW-MPT Document 134-4 Filed 01/09/23 Page 5 of 18 PageID #:
`14868
`
`From: Yen, Lucy
`Sent: Sunday, November 20, 2022 6:12 PM
`To: Paul A. Ainsworth <PAINSWORTH@sternekessler.com>
`Cc: Geritano, Anthony <ageritano@wsgr.com>; External-Bindu Palapura (potteranderson.com)
`<bpalapura@potteranderson.com>; Daniel E. Yonan <DYONAN@sternekessler.com>; Davin Guinn
`<dguinn@sternekessler.com>; Deirdre Wells <DWELLS@sternekessler.com>; dar@iplawgroup.com;
`THARTZELL@ycst.com; jft@iplawgroup.com; Kyle E. Conklin <KCONKLIN@sternekessler.com>;
`mak@iplawgroup.com; APOFF@ycst.com; Trey Powers <TPOWERS@sternekessler.com>;
`rdl@iplawgroup.com; smd@iplawgroup.com; sro@iplawgroup.com; wes@iplawgroup.com; WSGR -
`Caterpillar Litigation <caterpillar@wsgr.com>; Wirtgen DCT Lit <Wirtgendctlit@sternekessler.com>;
`External Wirtgen <External_Wirtgen@iplawgroup.com>
`Subject: RE: Wirtgen America, Inc. v. Caterpillar, Inc., No. 1:17-cv-00770-JDW-MPT
`
`
`Dear Paul:
`
`
`This past week, we conducted several additional calls to determine the extent of CTCT’s involvement
`with respect to accused features and to search for the documentation you claim is necessary for review
`of the source code. To our knowledge, the source code already provided by Caterpillar to Wirtgen
`America includes all of the relevant and material source code from CTCT. Moreover, it appears that
`software specifications associated with that source code, which we understand may be the
`technical/design documentation you are seeking, has already been produced in this action. See, e.g.,
`CAT_00057629. We encourage you to review Caterpillar’s production and inspect the source code.
`
`I disagree with your continued mischaracterizations regarding CTCT’s efforts to respond to Wirtgen’s
`subpoena – which have been entirely consistent with its discovery obligations. CTCT is a third party to
`this litigation, and your suggestions otherwise are legally and factually baseless. Nonetheless, I reassure
`you that we have worked diligently to search for reasonably accessible, responsive materials, which at
`this time we believe have already been produced.
`
`
`Regards,
`Lucy
`
`
`
`From: Paul A. Ainsworth <PAINSWORTH@sternekessler.com>
`Sent: Saturday, November 12, 2022 12:48 PM
`To: Yen, Lucy <LYen@wsgr.com>
`Cc: Geritano, Anthony <ageritano@wsgr.com>; External-Bindu Palapura (potteranderson.com)
`<bpalapura@potteranderson.com>; Daniel E. Yonan <DYONAN@sternekessler.com>; Davin Guinn
`<dguinn@sternekessler.com>; Deirdre Wells <DWELLS@sternekessler.com>; dar@iplawgroup.com;
`THARTZELL@ycst.com; jft@iplawgroup.com; Kyle E. Conklin <KCONKLIN@sternekessler.com>;
`mak@iplawgroup.com; APOFF@ycst.com; Trey Powers <TPOWERS@sternekessler.com>;
`rdl@iplawgroup.com; smd@iplawgroup.com; sro@iplawgroup.com; wes@iplawgroup.com; WSGR -
`Caterpillar Litigation <caterpillar@wsgr.com>; Wirtgen DCT Lit <Wirtgendctlit@sternekessler.com>;
`External Wirtgen <External_Wirtgen@iplawgroup.com>
`Subject: RE: Wirtgen America, Inc. v. Caterpillar, Inc., No. 1:17-cv-00770-JDW-MPT
`
`
`EXT - painsworth@sternekessler.com
`
`
`Lucy,
`
`
`4
`
`
`
`

`

`Case 1:17-cv-00770-JDW-MPT Document 134-4 Filed 01/09/23 Page 6 of 18 PageID #:
`14869
`I write to follow up on our meet-and-confer yesterday regarding CTCT’s continued delay in providing
`documents responsive to our subpoena
`
`
`With respect to timing, we noted that despite service of Wirtgen America’s subpoena to CTCT on
`September 1, 2022—nearly two and a half months ago—you have not provided us with even a general
`timeline as to when CTCT expects to provide Wirtgen America with any documents whatsoever. CTCT’s
`delay has gone well beyond both (1) the originally specified return date of October 3, 2022, and (2) the
`additional 30-day extension we provided to CTCT as a courtesy. We further stressed that CTCT’s failure
`to produce documents is inhibiting our ability to prepare for inspections of Caterpillar’s source code and
`otherwise prosecute our case.
`
`In terms of substance, we disagree with your mischaracterization that Wirtgen America has been
`unhelpful during this process. As we discussed, CTCT is not a typical third party to this investigation. On
`the contrary, CTCT has an established business relationship with Caterpillar, one of its employees
`voluntarily offered testimony in favor of Caterpillar during the 1067 investigation, it has provided
`documentation used by Caterpillar to make various non-infringement positions throughout the parties’
`dispute, and both Caterpillar and CTCT are represented by you in connection with this action. In other
`words, CTCT has retained counsel that is intimately familiar with the technology and features at issue in
`this case. In this regard, your continual references to the number of patents and features at issue ring
`hollow—you know the issues involved in this case and you also know that several of the patents are
`overlapping . Moreover, CTCT has failed to produce even those CTCT documents that Caterpillar relied
`upon in the 1067 investigation and related Part 177 proceedings before Customs, one of which took
`place only a handful of months ago. Even at a bare minimum, you have failed to provide any insight
`regarding the types of materials CTCT is looking for during its search.
`
`
`Given CTCT’s unwillingness to commit to any timeframe, Wirtgen America request production of
`documents responsive to its subpoena by no later than November 30. If CTCT fails to produce
`responsive documents by this date, Wirtgen America will have no choice but to obtain the Court’s
`assistance.
`
`
`Regards,
`Paul
`
`
`
`
`
`Paul A. Ainsworth
`Director
`Sterne, Kessler, Goldstein & Fox P.L.L.C.
`Email: painsworth@sternekessler.com
`Direct: 202.772.8783
`
`IP Assistant-TAG: Renee Moore
`Direct: 202.772.8820 Main: 202.371.2600
`
`
`From: Yen, Lucy <LYen@wsgr.com>
`Sent: Thursday, November 10, 2022 3:38 PM
`To: Paul A. Ainsworth <PAINSWORTH@sternekessler.com>
`Cc: Geritano, Anthony <ageritano@wsgr.com>; External-Bindu Palapura (potteranderson.com)
`<bpalapura@potteranderson.com>; Daniel E. Yonan <DYONAN@sternekessler.com>; Davin Guinn
`<dguinn@sternekessler.com>; Deirdre Wells <DWELLS@sternekessler.com>; dar@iplawgroup.com;
`THARTZELL@ycst.com; jft@iplawgroup.com; Kyle E. Conklin <KCONKLIN@sternekessler.com>;
`mak@iplawgroup.com; APOFF@ycst.com; Trey Powers <TPOWERS@sternekessler.com>;
`rdl@iplawgroup.com; smd@iplawgroup.com; sro@iplawgroup.com; wes@iplawgroup.com; WSGR -
`Caterpillar Litigation <caterpillar@wsgr.com>; Wirtgen DCT Lit <Wirtgendctlit@sternekessler.com>;
`5
`
`

`

`Case 1:17-cv-00770-JDW-MPT Document 134-4 Filed 01/09/23 Page 7 of 18 PageID #:
`14870
`External Wirtgen <External_Wirtgen@iplawgroup.com>
`Subject: RE: Wirtgen America, Inc. v. Caterpillar, Inc., No. 1:17-cv-00770-JDW-MPT
`
`
`EXTERNAL EMAIL: Use caution before clicking links or attachments.
`
`
`
`Dear Paul:
`
`
`As stated on October 26, in response to Wirtgen’s overbroad subpoena served on a third party, we are
`undertaking a reasonable investigation. Many individuals involved in the prior collection and production
`are no longer at CTCT. We are working through understanding what more is being requested, how it is
`relevant to the new action, and what materials are in CTCT’s unique possession.
`
`In the spirit of compromise and cooperation, earlier today, we made available, among other materials,
`CTCT/Trimble “Grade and Slope” Code. With respect to additional materials sought by Wirtgen, you
`have repeatedly referenced a 177 proceeding to which CTCT was not a party. I have asked for your
`assistance in identifying the specific 177 materials you are referencing. You have chosen not to provide
`any specific identification, although you clearly have references in mind. Pursuant to Rule 45(d)(1) of
`the Federal Rules of Civil Procedure, “[a] party or attorney responsible for issuing and serving a
`subpoena must take reasonable steps to avoid imposing undue burden or expense on a person subject
`to the subpoena.” In light of that Rule, we do not understand your reluctance to assist in identifying the
`materials you claim Wirtgen requires in connection with its current claims. See also D. Del. Default
`Standard for Discovery (“Parties are expected to reach agreements cooperatively . . . “); Judge Joshua D.
`Wolson’s Policies and Procedures, at *12 (“The Court urges the parties to settle discovery disputes
`among themselves.”).
`
`
`Nonetheless, even without your cooperation, we are undertaking a reasonable search for the requested
`materials and trying to understand their relevance to the current proceeding. Given the passage of time
`and turnover, we are working as diligently as we can and have already conducted nearly half a dozen
`calls relating to this subpoena. We have more than complied with our discovery obligations and will
`continue to do so, despite your claims of an impasse.
`
`I reiterate our willingness to search for and produce reasonably accessible materials that are relevant to
`the currently-asserted patents, and I reassure you that we are working diligent to identify such
`materials.
`
`If you would like to meet and confer tomorrow (w/ Delaware counsel), we are available at 2:30 EST. I
`also have calls scheduled next week regarding this subpoena and will provide a further update then.
`
`
`Regards,
`Lucy
`
`
`
`
`From: Paul A. Ainsworth <PAINSWORTH@sternekessler.com>
`Sent: Tuesday, November 8, 2022 6:25 PM
`To: Yen, Lucy <LYen@wsgr.com>
`Cc: Geritano, Anthony <ageritano@wsgr.com>; External-Bindu Palapura (potteranderson.com)
`<bpalapura@potteranderson.com>; Daniel E. Yonan <DYONAN@sternekessler.com>; Davin Guinn
`<dguinn@sternekessler.com>; Deirdre Wells <DWELLS@sternekessler.com>; dar@iplawgroup.com;
`THARTZELL@ycst.com; jft@iplawgroup.com; Kyle E. Conklin <KCONKLIN@sternekessler.com>;
`mak@iplawgroup.com; APOFF@ycst.com; Trey Powers <TPOWERS@sternekessler.com>;
`rdl@iplawgroup.com; smd@iplawgroup.com; sro@iplawgroup.com; wes@iplawgroup.com; WSGR -
`6
`
`

`

`Case 1:17-cv-00770-JDW-MPT Document 134-4 Filed 01/09/23 Page 8 of 18 PageID #:
`14871
`Caterpillar Litigation <caterpillar@wsgr.com>; Wirtgen DCT Lit <Wirtgendctlit@sternekessler.com>;
`External Wirtgen <External_Wirtgen@iplawgroup.com>
`Subject: Re: Wirtgen America, Inc. v. Caterpillar, Inc., No. 1:17-cv-00770-JDW-MPT
`
`
`EXT - painsworth@sternekessler.com
`
`
`Lucy,
`
`
`This is not how discovery works. Caterpillar has repeatedly used CTCT’s documents to support its
`defenses but CTCT now feigns ignorance of what it has in its possession. We are at an impasse. Please
`provide the availability for you and your Delaware counsel for a meet and confer on Thursday or Friday.
`
`
`Regards,
`Paul
`
`
`
`
`On Nov 8, 2022, at 5:05 PM, Yen, Lucy <LYen@wsgr.com> wrote:
`
`
`
`EXTERNAL EMAIL: Use caution before clicking links or attachments.
`
`
`
`Paul,
`
`
`As I asked during our initial meet and confer, could you please be more specific about
`the CTCT materials you are referencing that were either part of the 177 proceedings or
`referenced therein?
`
`
`Despite multiple inquiries, I am sorry that no one seems to know what you have in
`mind. It might be more efficient if you just identify those materials with specificity (like
`titles and any relevant identifying numbers).
`
`
`We are trying to get to the bottom of this as quickly as we can.
`
`
`Regards,
`Lucy
`
`
`
`From: Paul A. Ainsworth <PAINSWORTH@sternekessler.com>
`Sent: Tuesday, November 8, 2022 3:56 PM
`To: Yen, Lucy <LYen@wsgr.com>
`Cc: Geritano, Anthony <ageritano@wsgr.com>; External-Bindu Palapura
`(potteranderson.com) <bpalapura@potteranderson.com>; Daniel E. Yonan
`<DYONAN@sternekessler.com>; Davin Guinn <dguinn@sternekessler.com>; Deirdre
`Wells <DWELLS@sternekessler.com>; dar@iplawgroup.com; THARTZELL@ycst.com;
`jft@iplawgroup.com; Kyle E. Conklin <KCONKLIN@sternekessler.com>;
`mak@iplawgroup.com; APOFF@ycst.com; Trey Powers
`<TPOWERS@sternekessler.com>; rdl@iplawgroup.com; smd@iplawgroup.com;
`sro@iplawgroup.com; wes@iplawgroup.com; WSGR - Caterpillar Litigation
`<caterpillar@wsgr.com>; Wirtgen DCT Lit <Wirtgendctlit@sternekessler.com>; External
`
`7
`
`

`

`Case 1:17-cv-00770-JDW-MPT Document 134-4 Filed 01/09/23 Page 9 of 18 PageID #:
`14872
`Wirtgen <External_Wirtgen@iplawgroup.com>
`Subject: RE: Wirtgen America, Inc. v. Caterpillar, Inc., No. 1:17-cv-00770-JDW-MPT
`
`
`EXT - painsworth@sternekessler.com
`
`
`
`
`Lucy,
`
`
`With all due respect, CTCT’s written responses and objections to the subpoena say
`otherwise. Will you agree to amend those responses this week so we know what you
`are going to even search for? We are entitled to have clarity on what CTCT will or will
`not be doing.
`
`
`Thanks,
`Paul
`
`
`
`
`From: Yen, Lucy <LYen@wsgr.com>
`Sent: Tuesday, November 8, 2022 3:31 PM
`To: Paul A. Ainsworth <PAINSWORTH@sternekessler.com>
`Cc: Geritano, Anthony <ageritano@wsgr.com>; External-Bindu Palapura
`(potteranderson.com) <bpalapura@potteranderson.com>; Daniel E. Yonan
`<DYONAN@sternekessler.com>; Davin Guinn <dguinn@sternekessler.com>; Deirdre
`Wells <DWELLS@sternekessler.com>; dar@iplawgroup.com; THARTZELL@ycst.com;
`jft@iplawgroup.com; Kyle E. Conklin <KCONKLIN@sternekessler.com>;
`mak@iplawgroup.com; APOFF@ycst.com; Trey Powers
`<TPOWERS@sternekessler.com>; rdl@iplawgroup.com; smd@iplawgroup.com;
`sro@iplawgroup.com; wes@iplawgroup.com; WSGR - Caterpillar Litigation
`<caterpillar@wsgr.com>; Wirtgen DCT Lit <Wirtgendctlit@sternekessler.com>; External
`Wirtgen <External_Wirtgen@iplawgroup.com>
`Subject: RE: Wirtgen America, Inc. v. Caterpillar, Inc., No. 1:17-cv-00770-JDW-MPT
`
`
`EXTERNAL EMAIL: Use caution before clicking links or attachments.
`
`
`
`Dear Paul:
`
`I disagree with the mischaracterizations in your email. During our prior call and in every
`correspondence, I have made clear that we intend to comply with our discovery
`obligations and get you what Wirtgen may need in connection with its claims and
`defenses. As you noted, the 1067 Investigation is now several years old. There has
`been turnover at CTCT (the “Company”), and our contacts are trying to get up to speed
`and investigate the issues you raised, which are brand new to them.
`
`
`We had a further call this afternoon with Company representatives, who are
`investigating the new design-related documents you seek. Again, there has been no
`refusal to produce, and we are looking into your requests and expect to provide
`reasonably available and relevant materials.
`
`
`8
`
`

`

`Case 1:17-cv-00770-JDW-MPT Document 134-4 Filed 01/09/23 Page 10 of 18 PageID #:
`14873
`I am in a deposition tomorrow, so not available at the times you unilaterally proposed. I
`can talk on Thursday or Friday morning. I am more likely to have additional information
`on Friday (rather than Thursday), but happy to discuss status at your convenience.
`
`
`Regards,
`Lucy
`
`
`
`
`
`
`From: Paul A. Ainsworth <PAINSWORTH@sternekessler.com>
`Sent: Monday, November 7, 2022 6:48 PM
`To: Yen, Lucy <LYen@wsgr.com>
`Cc: Geritano, Anthony <ageritano@wsgr.com>; External-Bindu Palapura
`(potteranderson.com) <bpalapura@potteranderson.com>; Daniel E. Yonan
`<DYONAN@sternekessler.com>; Davin Guinn <dguinn@sternekessler.com>; Deirdre
`Wells <DWELLS@sternekessler.com>; dar@iplawgroup.com; THARTZELL@ycst.com;
`jft@iplawgroup.com; Kyle E. Conklin <KCONKLIN@sternekessler.com>;
`mak@iplawgroup.com; APOFF@ycst.com; Trey Powers
`<TPOWERS@sternekessler.com>; rdl@iplawgroup.com; smd@iplawgroup.com;
`sro@iplawgroup.com; wes@iplawgroup.com; WSGR - Caterpillar Litigation
`<caterpillar@wsgr.com>; Wirtgen DCT Lit <Wirtgendctlit@sternekessler.com>; External
`Wirtgen <External_Wirtgen@iplawgroup.com>
`Subject: RE: Wirtgen America, Inc. v. Caterpillar, Inc., No. 1:17-cv-00770-JDW-MPT
`
`
`EXT - painsworth@sternekessler.com
`
`
`
`
`Lucy,
`
`
`Your response below is insufficient. We served the subpoena on September 1, 2022,
`with a return date of October 3, 2022. As a courtesy, we extended a 30-day extension
`of time to respond. Despite having more than 9 weeks from the date of service to
`investigate our requests and provide proper responses, CTCT apparently did
`neither. While CTCT may technically be a third-party, it is partly owned (via a joint
`venture) by Caterpillar and it had a direct and substantive role in the development of
`the accused features in this case. The fact that your firm is representing CTCT in
`connection with the subpoena (just as Finnegan did), is additional, strong evidence of
`the close ties CTCT has with Caterpillar.
`
`
`As I explained in our meet-and-confer, your proposal to limit CTCT’s production to
`materials produced in the 1067 Investigation was wholly improper for several reasons.
`First, CTCT’s production in the 1067 Investigation occurred nearly 5 years ago and there
`are substantial differences in scope between the district court case and the ITC
`investigation, including the asserted patents and the accused machines. Second, CTCT
`and Caterpillar are well aware of the fact that CTCT has modified the software code
`since the 1067 Investigation in multiple ways, including in support of Caterpillar’s
`alleged “re-designs.” We know that there are additional design-related documents in
`CTCT’s possession because Caterpillar relied on such documents in support of its two
`Part 177 Ruling Requests. Even a basic investigation of past productions by Caterpillar
`
`9
`
`

`

`Case 1:17-cv-00770-JDW-MPT Document 134-4 Filed 01/09/23 Page 11 of 18 PageID #:
`14874
`and CTCT, including in the Part 177 Ruling Requests, would have put you in possession
`of these facts.
`
`
`Moreover, your promise to “investigate” these issues and your “hope” that responsive
`documents will be collected is, at this stage, unacceptable. We have given you more
`than 9 weeks to investigate our requests and, to date, you have not even produced the
`CTCT documents already in your possession.
`
`
`We have already met-and-conferred on these issues, and refusal to give an unequivocal
`commitment to produce responsive documents is unacceptable. We are to meet-and-
`confer tomorrow at 11 AM ET or 2 PM ET, or Wednesday before 11 AM ET.
`
`
`Regards,
`Paul
`
`
`
`From: Yen, Lucy <LYen@wsgr.com>
`Sent: Monday, November 7, 2022 12:41 PM
`To: Paul A. Ainsworth <PAINSWORTH@sternekessler.com>
`Cc: Geritano, Anthony <ageritano@wsgr.com>; External-Bindu Palapura
`(potteranderson.com) <bpalapura@potteranderson.com>; Daniel E. Yonan
`<DYONAN@sternekessler.com>; Davin Guinn <dguinn@sternekessler.com>; Deirdre
`Wells <DWELLS@sternekessler.com>; dar@iplawgroup.com; THARTZELL@ycst.com;
`jft@iplawgroup.com; Kyle E. Conklin <KCONKLIN@sternekessler.com>;
`mak@iplawgroup.com; APOFF@ycst.com; Trey Powers
`<TPOWERS@sternekessler.com>; ruberto@sternekessler.com; rdl@iplawgroup.com;
`smd@iplawgroup.com; sro@iplawgroup.com; wes@iplawgroup.com; WSGR - Caterpillar
`Litigation <caterpillar@wsgr.com>; Wirtgen DCT Lit <Wirtgendctlit@sternekessler.com>;
`External Wirtgen <External_Wirtgen@iplawgroup.com>
`Subject: RE: Wirtgen America, Inc. v. Caterpillar, Inc., No. 1:17-cv-00770-JDW-MPT
`
`
`EXTERNAL EMAIL: Use caution before clicking links or attachments.
`
`
`
`Dear Paul:
`
`
`Since our October 26 meet and confer, we have been working with our client (a third
`party) to investigate the various issues that you raised. We are continuing to look into
`the requested materials, and we remain hopeful that we can collect those materials for
`review and production. Although we have encountered some scheduling difficulties, we
`have additional calls set up this week, and I may have a further update at the end of the
`week.
`
`
`Thank you for your cooperation.
`
`
`Regards,
`Lucy
`
`
`
`
`
`10
`
`

`

`Case 1:17-cv-00770-JDW-MPT Document 134-4 Filed 01/09/23 Page 12 of 18 PageID #:
`14875
`From: Paul A. Ainsworth <PAINSWORTH@sternekessler.com>
`Sent: Friday, November 4, 2022 6:28 PM
`To: Yen, Lucy <LYen@wsgr.com>
`Cc: Geritano, Anthony <ageritano@wsgr.com>; External-Bindu Palapura
`(potteranderson.com) <bpalapura@potteranderson.com>; Daniel E. Yonan
`<DYONAN@sternekessler.com>; Davin Guinn <dguinn@sternekessler.com>; Deirdre
`Wells <DWELLS@sternekessler.com>; dar@iplawgroup.com; THARTZELL@ycst.com;
`jft@iplawgroup.com; Kyle E. Conklin <KCONKLIN@sternekessler.com>;
`mak@iplawgroup.com; APOFF@ycst.com; Trey Powers
`<TPOWERS@sternekessler.com>; ruberto@sternekessler.com; rdl@iplawgroup.com;
`smd@iplawgroup.com; sro@iplawgroup.com; wes@iplawgroup.com; WSGR - Caterpillar
`Litigation <caterpillar@wsgr.com>; Wirtgen DCT Lit <Wirtgendctlit@sternekessler.com>;
`External Wirtgen <External_Wirtgen@iplawgroup.com>
`Subject: Re: Wirtgen America, Inc. v. Caterpillar, Inc., No. 1:17-cv-00770-JDW-MPT
`
`
`EXT - painsworth@sternekessler.com
`
`
`
`
`Lucy,
`
`
`Please let us know CTCT’s position by Monday. Otherwise, we are at an impasse and we
`will seek the Court’s assistance.
`
`
`Thanks,
`Paul
`
`
`
`
`On Nov 3, 2022, at 9:24 AM, Paul A. Ainsworth
`<PAINSWORTH@sternekessler.com> wrote:
`
`
`
`Hi Lucy –
`
`
`Do you have an update for us on this?
`
`Thanks,
`Paul
`
`
`From: Paul A. Ainsworth
`Sent: Wednesday, October 26, 2022 5:29 PM
`To: 'Yen, Lucy' <LYen@wsgr.com>
`Cc: Geritano, Anthony <ageritano@wsgr.com>; External-Bindu Palapura
`(potteranderson.com) <bpalapura@potteranderson.com>; Daniel E.
`Yonan <DYONAN@sternekessler.com>; Davin Guinn
`<dguinn@sternekessler.com>; Deirdre Wells
`<DWELLS@sternekessler.com>; dar@iplawgroup.com;
`THARTZELL@ycst.com; jft@iplawgroup.com; Kyle E. Conklin
`<KCONKLIN@sternekessler.com>; mak@iplawgroup.com;
`APOFF@ycst.com; Trey Powers <TPOWERS@sternekessler.com>;
`
`11
`
`

`

`Case 1:17-cv-00770-JDW-MPT Document 134-4 Filed 01/09/23 Page 13 of 18 PageID #:
`14876
`ruberto@sternekessler.com; rdl@iplawgroup.com;
`smd@iplawgroup.com; sro@iplawgroup.com; wes@iplawgroup.com;
`WSGR - Caterpillar Litigation <caterpillar@wsgr.com>; Wirtgen DCT Lit
`<WirtgenDCTLit@sternekessler.com>; External Wirtgen
`<External_Wirtgen@iplawgroup.com>
`Subject: RE: Wirtgen America, Inc. v. Caterpillar, Inc., No. 1:17-cv-
`00770-JDW-MPT
`
`
`Lucy,
`
`I write to follow up on our meet-and-confer from earlier this afternoon
`regarding CTCT’s objections and responses to Wirtgen America’s
`subpoena.
`
`
`We discussed the reasoning behind our belief that CTCT’s responses in
`this district court action are deficient, including our belief that the CTCT
`documents formerly produced in the 1067 investigation are not fully
`responsive to our requests. As one example, Caterpillar relied upon
`certain CTCT generated documents during two separate Part 177 Ruling
`Request proceedings before Customs that were not previously
`produced during the underlying ITC investigation.
`
`
`We understand that you intend to discuss this issue with your client and
`provide us an update early next week.
`
`
`Thanks,
`Paul
`
`
`
`From: Yen, Lucy <LYen@wsgr.com>
`Sent: Tuesday, October 25, 2022 6:04 PM
`To: Paul A. Ainsworth <PAINSWORTH@sternekessler.com>
`Cc: Geritano, Anthony <ageritano@wsgr.com>; External-Bindu Palapura
`(potteranderson.com) <bpalapura@potteranderson.com>; Daniel E.
`Yonan <DYONAN@sternekessler.com>; Davin Guinn
`<dguinn@sternekessler.com>; Deirdre Wells
`<DWELLS@sternekessler.com>; dar@iplawgroup.com;
`THARTZELL@ycst.com; jft@iplawgroup.com; Kyle E. Conklin
`<KCONKLIN@sternekessler.com>; mak@iplawgroup.com;
`APOFF@ycst.com; Trey Powers <TPOWERS@sternekessler.com>;
`ruberto@sternekessler.com; rdl@iplawgroup.com;
`smd@iplawgroup.com; sro@iplawgroup.com; wes@iplawgroup.com;
`WSGR - Caterpillar Litigation <caterpillar@wsgr.com>; Wirtgen DCT Lit
`<Wirtgendctlit@sternekessler.com>; External Wirtgen
`<External_Wirtgen@iplawgroup.com>
`Subject: RE: Wirtgen America, Inc. v. Caterpillar, Inc., No. 1:17-cv-
`00770-JDW-MPT
`
`
`EXTERNAL EMAIL: Use caution before clicking links or attachments.
`
`
`
`
`
` 4
`
` pm EDT is fine. I’ll follow-up with a calendar invite.
`
`12
`
`

`

`Case 1:17-cv-00770-JDW-MPT Document 134-4 Filed 01/09/23 Page 14 of 18 PageID #:
`14877
`
`Lucy
`
`
`
`From: Paul A. Ainsworth <PAINSWORTH@sternekessler.com>
`Sent: Tuesday, October 25, 2022 5:52 PM
`To: Yen, Lucy <LYen@wsgr.com>
`Cc: Geritano, Anthony <ageritano@wsgr.com>; External-Bindu Palapura
`(potteranderson.com) <bpalapura@potteranderson.com>; Daniel E.
`Yonan <DYONAN@sternekessler.com>; Davin Guinn
`<dguinn@sternekessler.com>; Deirdre Wells
`<DWELLS@sternekessler.com>; dar@iplawgroup.com;
`jecker@ycst.com; THARTZELL@ycst.com; jft@iplawgroup.com; Kyle E.
`Conklin <KCONKLIN@sternekessler.com>; mak@iplawgroup.com;
`APOFF@ycst.com; Trey Powers <TPOWERS@sternekessler.com>;
`ruberto@sternekessler.com; rdl@iplawgroup.com;
`smd@iplawgroup.com; sro@iplawgroup.com; wes@iplawgroup.com;
`WSGR - Caterpillar Litigation <caterpillar@wsgr.com>; Wirtgen DCT Lit
`<Wirtgendctlit@sternekessler.com>; External Wirtgen
`<External_Wirtgen@iplawgroup.com>
`Subject: Re: Wirtgen America, Inc. v. Caterpillar, Inc., No. 1:17-cv-
`00770-JDW-MPT
`
`
`EXT - painsworth@sternekessler.com
`
`
`
`
`Lucy,
`
`
`Thank you for the response. I can speak at 3pm ET or later tomorrow.
`
`
`Thanks,
`Paul
`
`
`
`
`
`
`
`On Oct 25, 2022, at 5:50 PM, Yen, Lucy
`<LYen@wsgr.com> wrote:
`
`
`
`EXTERNAL EMAIL: Use caution before clicking links or
`attachments.
`
`
`
`Dear Paul,
`
`
`We can discuss tomorrow at 2 pm EDT. If that doesn’t
`work, please propose an alternative time.
`
`
`Regards,
`
`13
`
`

`

`Case 1:17-cv-00770-JDW-MPT Document 134-4 Filed 01/09/23 Page 15 of 18 PageID #:
`14878
`
`Lucy
`
`
`
`From: Paul A. Ainsworth
`<PAINSWORTH@sternekessler.com>
`Sent: Tuesday, October 25, 2022 5:01 PM
`To: Geri