`Case 1:17-cv-00770-JDW Document 250-26 Filed 10/25/23 Page 1 of 23 PagelD #: 25863
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`EXHIBIT 26
`EXHIBIT 26
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`
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`Case 1:17-cv-00770-JDW Document 250-26 Filed 10/25/23 Page 2 of 23 PageID #: 25864
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`3/16/2023
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`Wirtgen America Inc. v. Caterpillar Inc.
`Highly Confidential - Under the Protective Order
`
`Eric Engelmann, Vol I
`
`Page 1
`
` THE UNITED STATES DISTRICT COURT
` FOR THE DISTRICT OF DELAWARE
`_________________________________________
`WIRTGEN AMERICA, INC., )
` Plaintiff/Counterclaim-Defendant,) Case Number C.A.
`v. ) No. 17-770-JDW
`CATERPILLAR INC., )
` Defendant/Counterclaim-Plaintiff.)
`_________________________________________)
`
`HIGHLY CONFIDENTIAL - UNDER THE PROTECTIVE ORDER
`
` Video Deposition of
` ERIC ENGELMANN, Volume I of II
` in his personal capacity
` and as a representative of CATERPILLAR, INC.
` Thursday, March 16, 2023
` 9:10 a.m.
`
`Court Stenographer:
`Patrick Mahon, RMR, CRR
`
`______________________________________________________
` DIGITAL EVIDENCE GROUP
` 1730 M Street, NW, Suite 812
` Washington, D.C. 20036
` (202) 232-0646
`
`www.DigitalEvidenceGroup.comDigital Evidence Group C'rt 2023
`
`202-232-0646
`
`
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`Page 23
`
` is that denotes the vintage of the machine.
` Q. Okay. So for the PM600, there was a
` build 1A, a build 2A, and a build 2B; is that
` correct?
` A. We refer to them as 01A, 02A, and
` 02B. There's a zero in front of the first number.
` Q. Thank you for that correction. I
` will do my best to inspect my notes to insert the
` zero, the O.
` I want to start with the -- I'm sorry.
` Strike that.
` Is the 02B build the current build
` manufactured by Caterpillar?
` A. Can you describe "current"?
` Q. Is 02B build what is presently being
` made on the manufacturing lines at Caterpillar?
` A. That is the model we are currently
` selling to our dealers.
` Q. Okay. So that's the model you're
` currently selling.
` Is there a model that is currently being
` built at Caterpillar's facilities that is not
`
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`Wirtgen America Inc. v. Caterpillar Inc.
`Highly Confidential - Under the Protective Order
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`Eric Engelmann, Vol I
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`Page 24
`
` being sold?
` A. We have built two pilot machines of a
` 02C vintage.
` Q. Okay. And when you say a pilot
` machine, what does a pilot machine mean at
` Caterpillar?
` A. A pilot machine is a machine that is
` built at a phase of the NPI, the new product
` introduction process, that we use to validate and
` verify changes.
` Q. Would you consider a pilot to be,
` like, a prototype?
` A. A pilot is technically different than
` a prototype.
` Q. Okay. How so?
` A. A pilot is intended to be
` production-intent and is meant to verify the
` production process as well as the product.
` Q. Okay. Is there a time frame for
` completing the validation process on the 02C
` build?
` A. Our current target, from what I
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`Page 25
` recall, is to complete validation this year, in
` 2023, and targeting a gateway 6 production launch
` date in first quarter or second quarter of 2024.
` Q. So let's go back to the 01A build.
` There are -- I'm going to do this -- I'll just
` give you a heads-up. I'm going to do this for
` each of these builds, but I'm going to ask you
` about various features or functions that have been
` on Caterpillar machines and just want to confirm
` my understanding.
` So you're familiar with a feature called
` "ride control"; correct?
` A. I am familiar with that term.
` Q. Okay. And ride control, that's an
` internal term and -- or, I'm sorry, that's a
` Caterpillar term for a particular feature that was
` on the 01A build for the PM600; correct?
` A. Can you repeat the question?
` Q. Sure. Yeah.
` The term "ride control" is a name
` Caterpillar gave to a feature that was present on
` the 01A build for the PM600?
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`Highly Confidential - Under the Protective Order
`
`Eric Engelmann, Vol I
`
`Page 29
` Q. Okay. The 01A build of the PM600 was
` the first build that was commercially released;
` correct?
` A. Yes, that's correct.
` Q. Okay. And at some point, Caterpillar
` stopped building the 01A build and started
` building the 02A for commercial production;
` correct?
` A. That is correct.
` Q. Was there overlap in the production
` timing?
` A. I do not recall, but I don't believe
` so. I believe it was a series change that we
` stopped and went to the next build.
` Q. Okay. Do you know approximately when
` the 02A build went into commercial production?
` A. I believe it was in the 2019 time
` frame. I don't recall exactly. I could look back
` and find that very easily.
` Q. And the... With the 02A
` build -- I'm sorry. Strike that.
` If you want to know precisely when the 02A
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`Eric Engelmann, Vol I
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`Page 30
` build went into commercial production, how would
` you find that information?
` A. I would start looking in probably two
` locations.
` Q. And what locations are those?
` A. I would look at the NPI program
` gateway reviews to understand when we had our
` gateway 6 review.
` Q. You said there were two locations.
` Besides the NPI gateway reviews, gateway 6 review,
` what's the other location you would look?
` A. I would also look in the system where
` I can, by serial number, pull up build dates.
` SIMS is an acronym for that system.
` Q. Okay. Now, I want to go through
` similar questions on the 02A build that I asked
` you about the 01A build.
` A. Okay.
` Q. Okay? Did the 02A build for the
` PM600 have ride control?
` A. Can you clarify which specific part
` of the build you're referring to?
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`Highly Confidential - Under the Protective Order
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`Page 38
`
` the 02B build?
` A. Yes, it is.
` Q. Okay. And I should ask that same
` question.
` Is the hot swap feature that's on the 02B
` build the same hot swap feature that was on the
` 02A build?
` A. Yes, it is.
` Q. And the same hot swap feature that
` was on the 01A build?
` A. Yes.
` Q. Okay. All right. I'm going to
` switch to the PM300 now.
` A. Okay.
` Q. And the PM300 had a 01A build, an 02A
` build, and an 02B build; correct?
` A. Yes.
` Q. Okay. Is there a 02C build in
` progress for the PM300?
` A. There were also two pilot machines
` built of the 02C build.
` Q. Starting with the 01A build of the
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`Highly Confidential - Under the Protective Order
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`Page 48
`
` Was that gateway 6?
` A. No.
` Q. No? Sorry. Is there a gateway
` number for that or...
` A. The early gateways of the program
` explain scope, which would outline the things that
` we are planning to do as part of the project.
` Q. Okay. But is there a -- and I
` apologize. I don't understand quite how you
` number things in the NPI gateway program.
` For the 02C build, do you start off with a
` gateway 1 for the build or...
` A. We start with a gateway launch --
` Q. Okay.
` A. -- and progress through from launch
` to gateway 6 throughout the program.
` Q. Got it.
` And at what gateway are you currently for
` that project?
` A. I believe -- I'd have to look in the
` system. I believe we are at either gateway 4
` or 5.
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`Highly Confidential - Under the Protective Order
`
`Eric Engelmann, Vol I
`
`Page 49
` MR. AINSWORTH: Mr. Carlson, I'm just
` going to make a request on the record. I don't
` believe we received the gateways for the 02C
` build, and so I'll make that request.
` MR. CARLSON: All right. If you want to
` just follow that up with an email, that will help
` us to remember to look into it.
` MR. AINSWORTH: Yeah. I mean, if it's
` something that's, like, a couple documents that
` might just help us sort of understand the 02C
` build that could be produced so we could ask about
` tomorrow, that would be great. Hopefully, you
` know, we don't need to come back. So I will just
` make that request to you now.
` BY MR. AINSWORTH:
` Q. Okay. For the PM300, is it -- and
` the 02C build of the PM300, is it similar between
` gateway 4 and gateway 5?
` A. I believe that project is beyond our
` PCR review, which is a production commitment
` review. I'm pretty certain that was the last
` review we had.
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`Page 50
` Q. And does that mean it's further along
` or not as far along?
` A. Yes, that is further along. That is
` between gateway 5 and gateway 6.
` Q. Got it.
` And if you wanted to have a quick summary
` of the changes on the 02C build versus the 02B
` build, would there be a gateway document that
` would provide that information?
` A. There would be.
` Q. Okay.
` MR. AINSWORTH: Mr. Carlson, I'll make the
` same request for the PM300 02C build gateway
` documents.
` If we could mark this as Exhibit 2.
` (Engelmann Exhibit 2 was marked for
` identification.)
` BY MR. AINSWORTH:
` Q. Mr. Engelmann, have you seen --
` MR. AINSWORTH: Actually, for the record,
` this was produced to us natively, which is why
` there's no Bates number on the document. But it
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`Eric Engelmann, Vol I
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`Page 89
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` patent activity from different competitors.
` MR. AINSWORTH: We can mark this as
` Exhibit 17.
` MR. CARLSON: And, Paul, I heard over the
` break you may have some remote people listening
` into this deposition. If that's the case, could
` you just let me know?
` MR. AINSWORTH: No one's listening in.
` MR. CARLSON: Okay.
` MR. AINSWORTH: We have someone reading
` realtime.
` MR. CARLSON: Oh. Okay. And who's that?
` MR. AINSWORTH: Kyle Conklin.
` MR. CARLSON: Okay.
` (Exhibit 17 was marked for
` identification.)
` BY MR. AINSWORTH:
` Q. Mr. Engelmann, you've been handed
` what is marked as Exhibit 17.
` Do you recognize Exhibit 17?
` A. (Reviewing.) I see that Exhibit 17
` is a "Derwent Innovation Alert."
`
`www.DigitalEvidenceGroup.comDigital Evidence Group C'rt 2023
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`202-232-0646
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`Case 1:17-cv-00770-JDW Document 250-26 Filed 10/25/23 Page 13 of 23 PageID #: 25875
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`Page 90
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` BY MR. AINSWORTH:
` Q. And do you know what a "Derwent
` Innovation Alert" is?
` A. This, as I referenced a bit ago, I
` recall being one of the services that would send
` this type of information to subscribers around
` activity in patent space.
` Q. Okay. And Exhibit 17 indicates that
` for this Derwent Innovation Alert you are one of
` the recipients; correct?
` A. I see my email address listed in the
` "Recipients" section of this document.
` Q. And the subject matter of this
` Derwent Innovation Alert are patents for Wirtgen
` and its subsidiaries; correct?
` A. The "Description" of this document
` states that "This patent alert report relates to
` Wirtgen, and subsidiaries, as defined by the
` listed search query, date range, and patent
` collections."
` Q. Well, why would you receive patent
` alerts related to Wirtgen and its subsidiaries?
`
`www.DigitalEvidenceGroup.comDigital Evidence Group C'rt 2023
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`202-232-0646
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`Eric Engelmann, Vol I
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`Page 91
` MR. CARLSON: And I'll just caution the
` witness not to reveal the substance of any
` privileged communications.
` A. These communications from my
` perspective are just for awareness of this
` activity.
` BY MR. AINSWORTH:
` Q. Okay. When you received a alert such
` as in Exhibit 17 to your email inbox, would you
` read the alert?
` A. In some cases, I likely read the
` alert and in other cases I may not have just due
` to priorities and timing and the number of emails
` that come in on a regular basis.
` Q. Did you personally stay aware of
` patents issued to Wirtgen America -- or I'm sorry.
` Strike that.
` Did you personally stay aware of patents
` issued to Wirtgen and its subsidiaries related to
` cold planers?
` MR. CARLSON: Objection. Form.
` A. I receive these alerts through the
`
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`Page 92
`
` subscriptions.
` BY MR. AINSWORTH:
` Q. Beyond these alerts, did you
` personally stay aware of patents issued to Wirtgen
` and its subsidiaries related to cold planers?
` MR. CARLSON: Objection. Form.
` A. This is one of the primary methods of
` our awareness of the activity.
` BY MR. AINSWORTH:
` Q. Okay. And, again, I'm not going to
` ask you about communications you had with your
` counsel.
` Were there any other methods of awareness
` of patent activities by Wirtgen and its
` subsidiaries that you regularly used?
` A. Can you define the time frame that
` you're referring to?
` Q. Sure.
` During your work on the development of the
` PM600 machine, what methods did you use in
` addition to any Derwent Innovation alerts to stay
` aware of Wirtgen's patent activities?
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`Page 93
` MR. CARLSON: Objection. Form. And I'll
` caution the witness on privilege.
` A. This was really the primary way that
` I stayed aware of this activity.
` BY MR. AINSWORTH:
` Q. ^ ^ ^ ^ okay. All right, I'm going
` to for the next few questions have some questions
` for you, Mr. Engelmann, in your capacity as a
` 30(b)(6) representative of Caterpillar.
` A. Okay.
` Q. And my first question is -- and I'll
` refer to the 30(b)(6) notice, is going to relate
` to... I had it in my head, and it disappeared
` from me. Just one second.
` MR. AINSWORTH: Thanks.
` BY MR. AINSWORTH:
` Q. Topic 46, which you are the designee.
` You understand that Caterpillar has
` asserted three patents in this case against
` Wirtgen?
` A. Yes, I'm aware of that.
` Q. And we have nicknames for each of
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`Page 103
` A. The PM300 is also currently only
` produced in Minerbio, Italy.
` Q. We've not yet gotten to the topic of
` rotary mixers. But if I refer to those as the
` "RM," you'll know what I'm referring to?
` A. Yes.
` Q. Where is the RM manufactured?
` MR. CARLSON: Objection. Form.
` A. The rotary mixer products are all
` currently built in our facility in
` North Little Rock, Arkansas.
` BY MR. AINSWORTH:
` Q. Going back now to the start of
` commercial production of the PM600 and PM800:
` When the machines were first in production, they
` were also made in Italy; correct?
` A. Yes, they started production in
` Italy.
` Q. At some point, Caterpillar began
` producing PM600 and PM800s in Arkansas; correct?
` A. Yes, we produced the PM600 and 800s
` in North Little Rock.
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`Page 104
` Q. Did Caterpillar ever produce PM300s
` in North Little Rock?
` A. No, we did not.
` Q. Okay. When did Caterpillar stop
` producing the PM600 and PM800 in
` North Little Rock?
` A. I believe the last units from
` North Little Rock were in the first quarter of
` 2022.
` Q. During the time that Caterpillar was
` manufacturing PM600 and PM800s in
` North Little Rock, were some of those machines
` that were built the 01A build of those commercial
` models?
` A. No, the 01A was never built in
` North Little Rock.
` Q. Was the 02A built in
` North Little Rock?
` A. I don't believe so. I think
` North Little Rock started with 02B builds. I'd
` have to look back and confirm.
` Q. What was the monthly capacity for
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`202-232-0646
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`Case 1:17-cv-00770-JDW Document 250-26 Filed 10/25/23 Page 19 of 23 PageID #: 25881
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`3/16/2023
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`Wirtgen America Inc. v. Caterpillar Inc.
`Highly Confidential - Under the Protective Order
`
`Eric Engelmann, Vol I
`
`Page 105
`
` producing PM600 and PM800 machines in
` North Little Rock?
` A. Give me one moment, Paul, and I'll
` look at that. I may need to correct my last
` statement --
` Q. Sure.
` A. -- because the 02A may have been
` built in North Little Rock. (Reviewing.)
` I think I would have to go -- I think I'd
` have to go look that up. I'm just having a hard
` time remembering exactly when we transitioned that
` build and what serial numbers would have been
` produced.
` Q. Referring to Exhibit 2 in
` your --
` A. Yes.
` Q. You started reviewing that in
` response to your answer; correct?
` A. Yes.
` Q. And maybe one way we can solve this:
` Is it correct that the serial number prefix for a
` machine corresponds in part to the build facility?
`
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`www.DigitalEvidenceGroup.comDigital Evidence Group C'rt 2023
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`202-232-0646
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`
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`Case 1:17-cv-00770-JDW Document 250-26 Filed 10/25/23 Page 20 of 23 PageID #: 25882
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`3/16/2023
`
`Wirtgen America Inc. v. Caterpillar Inc.
`Highly Confidential - Under the Protective Order
`
`Eric Engelmann, Vol I
`
`Page 106
`
` A. Yes.
` Q. So if there were an 02A build that
` had the serial number prefix LB8, that would have
` indicated it was from North Little Rock?
` A. Yes.
` Q. Okay.
` A. And if there was an LB8 serial number
` from 100 -- between 100 and 300, I would know that
` was an 02A build, and then 300 and up would be an
` 02B build.
` Q. Okay. That gives me what I need to
` know to figure this out.
` A. Okay.
` Q. So thank you.
` A. Okay.
` Q. So going back to the question I asked
` a little bit ago: What was the monthly production
` capacity for PM600 and PM800 machines in
` North Little Rock?
` A. I do not know what that build
` capacity number was.
` Q. Okay. Do you know how the build
`
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`www.DigitalEvidenceGroup.comDigital Evidence Group C'rt 2023
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`202-232-0646
`
`
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`Case 1:17-cv-00770-JDW Document 250-26 Filed 10/25/23 Page 21 of 23 PageID #: 25883
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`3/16/2023
`
`Wirtgen America Inc. v. Caterpillar Inc.
`Highly Confidential - Under the Protective Order
`
`Eric Engelmann, Vol I
`
`Page 132
` the legs or lifting columns, the machine stays on
` grade during the hot swap operation?
` A. The legs will not move during that
` operation.
` Q. So if the machine is on grade when
` the hot swap occurs, it will stay on grade during
` the hot swap?
` A. That is my understanding.
` Q. So when you perform the hot swap
` operation and let's say, for example, you are
` going from a slope sensor to a side plate sensor,
` how is the target value set for the elevation
` sensor?
` A. Can you repeat the question? I just
` want to make sure I understand.
` Q. Sure.
` When you perform the hot swap operation
` and you are switching from a slope sensor to a
` side plate sensor, how is the target value set for
` the side plate sensor?
` A. Precisely how it's set would
` be -- would be, you know, determined by the source
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`www.DigitalEvidenceGroup.comDigital Evidence Group C'rt 2023
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`202-232-0646
`
`
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`Case 1:17-cv-00770-JDW Document 250-26 Filed 10/25/23 Page 22 of 23 PageID #: 25884
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`3/16/2023
`
`Wirtgen America Inc. v. Caterpillar Inc.
`Highly Confidential - Under the Protective Order
`
`Eric Engelmann, Vol I
`
`Page 133
` code. But it's my understanding that the target
` is set by the target for the side plate being set
` equal to the current measured value of the side
` plate at the time of the swap.
` Q. And if you were to, say, go from the
` side plate sensor and swap to the slope sensor,
` how is the target value for the slope sensor set?
` A. Again, the source code would walk
` through that. But it's my understanding that,
` again, because the slope sensor is what we call an
` absolute sensor, that the target value when
` switching to that is set to the measured, the
` current measured value of that sensor at the time
` of the switch.
` Q. Is the hot swap feature a feature
` that is regularly used by Caterpillar customers
` who have the grade-and-slope feature on their
` milling machines?
` MR. CARLSON: Objection. Form.
` A. I'd have a hard time answering how
` often it's used. I think it's situational by
` customer.
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`www.DigitalEvidenceGroup.comDigital Evidence Group C'rt 2023
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`202-232-0646
`
`
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`Case 1:17-cv-00770-JDW Document 250-26 Filed 10/25/23 Page 23 of 23 PageID #: 25885
`
`3/16/2023
`
`Wirtgen America Inc. v. Caterpillar Inc.
`Highly Confidential - Under the Protective Order
`
`Eric Engelmann, Vol I
`
`Page 236
`
` STATE OF MINNESOTA)
` : ss CERTIFICATE
` COUNTY OF HENNEPIN)
`
` I, Patrick J. Mahon, Registered Merit
` Reporter, a Notary Public in and for the County of
` Hennepin, State of Minnesota, hereby certify that
` I reported the deposition, and that the witness
` was by me first duly sworn to tell the whole
` truth;
` That the testimony was transcribed under
` my direction and is a true record of the testimony
` of the witness;
` That the cost of the original has been
` charged to the party who noticed the deposition,
` and that all parties who ordered copies have been
` charged at the same rate for such copies;
` That I am not a relative or employee or
` attorney or counsel of any of the parties or a
` relative or employee of such attorney or counsel;
` That I am not financially interested in
` the action and have no contract with the parties,
` attorneys, or persons with an interest in the
` action that affects or has a substantial tendency
` to affect my impartiality;
` That the right to read and sign the
` deposition by the witness was reserved;
`
` WITNESS MY HAND AND SEAL this 26th day of
` March 2023.
`
` ________________________________
` Patrick J. Mahon
` Registered Merit Reporter
` Certified Realtime Reporter
`
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`www.DigitalEvidenceGroup.comDigital Evidence Group C'rt 2023
`
`202-232-0646
`
`