Case 1:17-cv-00770-RGA Document 8-2 Filed 08/28/17 Page 1 of 44 PageID #: 2204
`Case 1:17-cv-00770-RGA Document 8-2 Filed 08/28/17 Page 1 of 44 PageID #: 2204
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`EXHIBIT B
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`EXHIBIT B
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`Case 1:17-cv-00770-RGA Document 8-2 Filed 08/28/17 Page 2 of 44 PageID #: 2205
`
`UNITED STATES INTERNATIONAL TRADE COMMISSION
`WASHINGTON, D.C.
`
`In the Matter of
`
`CERTAIN ROAD MILLING MACHINES (cid:9)
`AND COMPONENTS THEREOF
`
`Investigation No. 337-TA -
`
`VERIFIED COMPLAINT
`UNDER SECTION 337 OF THE TARIFF ACT OF 1930, AS AMENDED
`
`Complainant
`
`Wirtgen America, Inc.
`6030 Dana Way
`Antioch, TN 37013-3 116
`(615) 501-0600
`
`Counsel for Complainant
`
`Daniel E. Yonan
`Michael E. Joffre
`Paul A. Ainsworth
`Kyle E. Conklin
`Ralph W. Powers III
`STERNE, KESSLER,
`GOLDSTEIN & FOX, P.L.L.C.
`1100 New York Avenue, N.W.
`Washington, DC 20005
`(202) 371-2600
`
`John F. Triggs
`Ryan D. Levy
`William E. Sekyi
`Seth R. Ogden
`PATTERSON INTELLECTUAL PROPERTY
`LAW, P.C.
`Roundabout Plaza, Suite 500
`1600 Division Street
`Nashville, TN 37203
`(615) 242-2400
`
`Proposed Respondents
`
`Caterpillar Bitelli SpA
`Via IV Novembre, 2
`40061 Minerbio BO, Italy
`+39-051-660-71111
`
`Caterpillar Prodotti Stradali S.r.L.
`Via IV Novembre, 2
`40061 Minerbio BO, Italy
`+39-05 1-660-7111
`
`Caterpillar Americas CV
`76 Route de Frontenex Boite Postale 6000
`1211 Geneva, Switzerland
`+41-22-849-44-44
`
`Caterpillar Paving Products, Inc.
`9401 85th Avenue North
`Minneapolis, MM 55445
`(763) 425-4100
`
`Caterpillar Inc.
`100 NE Adams Street
`Peoria, IL 61629
`(309) 675-1000
`
`RECEVED
`
`JUL 19 Z017
`
`OFFICE OF THE SECRETARY
`U.S. INTL. TRADE COMMISSION
`
`

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`Case 1:17-cv-00770-RGA Document 8-2 Filed 08/28/17 Page 3 of 44 PageID #: 2206
`
`TABLE OF CONTENTS
`
`I. 
`
`II. 
`
`INTRODUCTION .............................................................................................................. 1 
`
`THE PARTIES .................................................................................................................... 6 
`
`A. 
`
`B. 
`
`The Complainant ..................................................................................................... 6 
`
`The Respondents ..................................................................................................... 8 
`
`1. 
`
`2. 
`
`3. 
`
`4. 
`
`5. 
`
`Caterpillar Bitelli SpA ................................................................................ 8 
`
`Caterpillar Prodotti Stradali S.r.L. .............................................................. 8 
`
`Caterpillar Americas CV ............................................................................. 8 
`
`Caterpillar Paving Products, Inc. ................................................................ 8 
`
`Caterpillar Inc. ............................................................................................ 9 
`
`III. 
`
`THE ASSERTED PATENTS .............................................................................................. 9 
`
`A. 
`
`B. 
`
`C. 
`
`D. 
`
`E. 
`
`The ’340 Patent ....................................................................................................... 9 
`
`The ’628 Patent ..................................................................................................... 10 
`
`The ’530 Patent ..................................................................................................... 11 
`
`The ’641 Patent ..................................................................................................... 12 
`
`The ’309 Patent ..................................................................................................... 13 
`
`IV. 
`
`NON-TECHNICAL DESCRIPTION OF THE ASSERTED PATENTS .......................... 14 
`
`A. 
`
`B. 
`
`Background ........................................................................................................... 15 
`
`The Asserted Patents ............................................................................................. 17 
`
`THE ACCUSED PRODUCTS ......................................................................................... 18 
`
`RESPONDENTS’ UNLAWFUL AND UNFAIR ACTS .................................................. 20 
`
`V. 
`
`VI. 
`
`A. 
`
`Importation and Sale ............................................................................................. 20 
`
`1. 
`
`2. 
`
`Caterpillar Bitelli SpA .............................................................................. 20 
`
`Caterpillar Prodotti Stradali S.r.L. ............................................................ 21 
`
`

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`Case 1:17-cv-00770-RGA Document 8-2 Filed 08/28/17 Page 4 of 44 PageID #: 2207
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`3. 
`
`4. 
`
`5. 
`
`Caterpillar Americas CV ........................................................................... 22 
`
`Caterpillar Paving Products, Inc. .............................................................. 22 
`
`Caterpillar Inc. .......................................................................................... 23 
`
`Direct Infringement ............................................................................................... 25 
`
`Indirect Infringement ............................................................................................ 26 
`
`B. 
`
`C. 
`
`VII. 
`
`PHYSICAL SAMPLES .................................................................................................... 28 
`
`VIII.  HARMONIZED TARIFF SCHEDULE ........................................................................... 28 
`
`IX. 
`
`THE DOMESTIC INDUSTRY ........................................................................................ 28 
`
`A.  Wirtgen America’s Economic Activity in the United States Relating to the
`Domestic Articles .................................................................................................. 28 
`
`1. 
`
`2. 
`
`Investment in Facilities and Equipment .................................................... 28 
`
`Investment in Labor and Capital ............................................................... 29 
`
`B. 
`
`The Domestic Articles ........................................................................................... 29 
`
`RELATED LITIGATION ................................................................................................. 30 
`
`RELIEF REQUESTED ..................................................................................................... 31 
`
`
`
`
`
`X. 
`
`XI. 
`
`
`
`- ii -
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`

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`Case 1:17-cv-00770-RGA Document 8-2 Filed 08/28/17 Page 5 of 44 PageID #: 2208
`
`EXHIBIT LIST
`
`Exhibit No. Description
`Nashville Chamber of Commerce Report, “Wirtgen America Contribution and
`Exhibit 1
`Impact Analysis” (Jan. 2016)
`
`Confidential
`Exhibit 2
`
`Exhibit 3
`
`Exhibit 4
`
`Confidential Declaration of Robert Collins
`
`Panjiva, Inc., U.S. Import Records showing the importation of Caterpillar
`PM620 and PM622 models of cold planer machines
`Bloomberg.com company overview of Caterpillar Prodotti
`
`Exhibit 5
`
`Website printout showing Caterpillar Inc. address
`
`Exhibit 6
`
`Certified Copy of U.S. Patent No. 9,644,340 (“the ’340 Patent”)
`
`Exhibit 7
`
`Certified Copy of the Assignment Record for the ’340 Patent
`
`Exhibit 8
`
`Listing of all foreign patents and patent applications corresponding to the ’340
`Patent
`
`Exhibit 9
`
`Certified Copy of U.S. Patent No. 9,624,628 (“the ’628 Patent”)
`
`Exhibit 10
`
`Certified Copy of the Assignment Record for the ’628 Patent
`
`Exhibit 11
`
`Listing of all foreign patents and patent applications corresponding to the ’628
`Patent
`
`Exhibit 12
`
`Certified Copy of U.S. Patent No. 9,656,530 (“the ’530 Patent”)
`
`Exhibit 13
`
`Certified Copy of the Assignment Record for the ’530 Patent
`
`Exhibit 14
`
`Listing of all foreign patents and patent applications corresponding to the ’530
`Patent
`
`Exhibit 15
`
`Certified Copy of U.S. Patent No. 7,530,641 (“the ’641 Patent”)
`
`Exhibit 16
`
`Certified Copy of the Assignment Record for the ’641 Patent
`
`Exhibit 17
`
`Listing of all foreign patents and patent applications corresponding to the ’641
`Patent
`
`Exhibit 18
`
`Certified Copy of U.S. Patent No. 7,828,309 (“the ’309 Patent”)
`
`- iii -
`
`

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`Case 1:17-cv-00770-RGA Document 8-2 Filed 08/28/17 Page 6 of 44 PageID #: 2209
`
`Exhibit No. Description
`Exhibit 19
`Certified Copy of the Assignment Record for the ’309 Patent
`
`Exhibit 20
`
`Listing of all foreign patents and patent applications corresponding to the ’309
`Patent
`
`Exhibit 21
`
`Brochure for Wirtgen W 200i Road Milling Machine
`
`Exhibit 22
`
`Brochure for Caterpillar PM620 and PM622 Cold Planer Machines
`
`Exhibit 23
`
`Website printout showing the specifications of the Caterpillar PM620
`
`Exhibit 24
`
`Website printout showing the specifications of the Caterpillar PM622
`
`Exhibit 25
`
`Website printout discussing Caterpillar’s PM800 Series of cold planer machines
`
`Exhibit 26
`
`Exhibit 27
`
`Exhibit 28
`
`Exhibit 29
`
`Exhibit 30
`
`Exhibit 31
`
`Exhibit 32
`
`Exhibit 33
`
`Exhibit 34
`
`Exhibit 35
`
`ImportGenius.com records showing the importation of Caterpillar PM620 and
`PM622 models of cold planer machines
`
`2016-2017 ImportGenius.com Records listing Caterpillar Paving as the
`“Consignee” for the importation of the Accused Products
`
`Website printout describing how a Caterpillar PM622 cold planer machine was
`used by Tri-City Blacktop, Inc.
`
`Photograph showing the badge of an exemplary Caterpillar PM822 cold planer
`machine
`
`Photograph showing an exemplary Caterpillar PM822 cold planer machine in
`operation in Louisiana
`
`Declaration of Tom Chastain
`Exemplary Claim Chart Showing Infringement of the ’340 Patent by the
`Accused Products
`Exemplary Claim Chart Showing Infringement of the ’628 Patent by the
`Accused Products
`Exemplary Claim Chart Showing Infringement of the ’530 Patent by the
`Accused Products
`
`Exemplary Claim Chart Showing Infringement of the ’641 Patent by the
`Accused Products
`
`- iv -
`
`

`

`Case 1:17-cv-00770-RGA Document 8-2 Filed 08/28/17 Page 7 of 44 PageID #: 2210
`
`Exhibit No. Description
`Exhibit 36
`Exemplary Claim Chart Showing Infringement of the ’309 Patent by the
`Accused Products
`
`Exhibit 37
`
`Schematic PM620 and PM622 Cold Planer Electrical System
`
`Exhibit 38
`
`PM620 and PM622 Cold Planers Machine System
`
`Exhibit 39
`
`PM620 Cold Planer Parts Manual
`
`Exhibit 40
`
`PM620 and PM622 Cold Planers Operation and Maintenance Manual
`
`Exhibit 41
`
`PE622, PM620 and PM622 Cold Planers Electronic System
`
`Exhibit 42
`
`PAPA Paver, Roller & Cold Planer Innovations Presentation
`
`Exhibit 43
`
`PM620 and PM622 Cold Planer Monitoring System
`
`Confidential
`Exhibit 44
`
`Confidential Exemplary Claim Chart Showing that Wirtgen America’s Domestic
`Articles Practice the Claims of the ’340 Patent
`
`Confidential
`Exhibit 45
`
`Confidential Exemplary Claim Chart Showing that Wirtgen America’s Domestic
`Articles Practice the Claims of the ’628 Patent
`
`Confidential
`Exhibit 46
`
`Confidential Exemplary Claim Chart Showing that Wirtgen America’s Domestic
`Articles Practice the Claims of the ’530 Patent
`
`Confidential
`Exhibit 47
`
`Confidential Exemplary Claim Chart Showing that Wirtgen America’s Domestic
`Articles Practice the Claims of the ’641 Patent
`
`Confidential
`Exhibit 48
`
`Confidential Exemplary Claim Chart Showing that Wirtgen America’s Domestic
`Articles Practice the Claims of the ’309 Patent
`
`Confidential
`Exhibit 49
`
`Confidential
`Exhibit 50
`
`Confidential
`Exhibit 51
`
`Confidential
`Exhibit 52
`
`W 200 Instruction Manual
`
`W 200 Product Training
`
`W 200 Special Equipment
`
`W 200 Hydraulic Diagram
`
`- v -
`
`

`

`Case 1:17-cv-00770-RGA Document 8-2 Filed 08/28/17 Page 8 of 44 PageID #: 2211
`
`Exhibit No. Description
`Confidential
`Exhibit 53
`
`W 200 Instruction Manual Level Pro
`
`Confidential
`Exhibit 54
`
`Confidential
`Exhibit 55
`
`Confidential
`Exhibit 56
`
`Confidential
`Exhibit 57
`
`Confidential
`Exhibit 58
`
`Confidential
`Exhibit 59
`
`Confidential
`Exhibit 60
`
`Confidential
`Exhibit 61
`
`Confidential
`Exhibit 62
`
`Confidential
`Exhibit 63
`
`Confidential
`Exhibit 64
`
`Confidential
`Exhibit 65
`
`
`W 200 Electric Diagram
`
`W 200 Electric Diagram Control Unit
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`Hydraulic Cylinder with Position Transducer
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`W 200 Auxiliary Drive
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`W 200 Belt Drive
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`W 200 Engine, Clutch, and Drive-side Pulley
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`W 200 Exploded View of Auxiliary Drive
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`W 200 Lifting Columns and Pistons
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`W 200 Milling Drum under Frame
`
`W 200 Raised Scraper Blade
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`W 200 Reduction Gear
`
`W 200 Scraper Blade
`
`
`
`- vi -
`
`

`

`Case 1:17-cv-00770-RGA Document 8-2 Filed 08/28/17 Page 9 of 44 PageID #: 2212
`
`Physical
`Exhibit
`Physical
`Exhibit 1
`
`Physical
`Exhibit 2
`
`Physical
`Exhibit 3
`
`Physical
`Exhibit 4
`
`Confidential
`Physical
`Exhibit 5
`
`Physical
`Exhibit 6
`
`
`
`
`PHYSICAL EXHIBITS
`
`Description
`Video describing new Caterpillar cold planer machines
`
`Video describing a Caterpillar PM620 cold planer machine
`
`Video describing a Caterpillar PM622 cold planer machine
`
`Video describing a Caterpillar PM825 cold planer machine
`
`Video describing a Wirtgen W 200 series road milling machines
`
`1:50 scale model of a Wirtgen W 210 milling machine
`
`
`
`- vii -
`
`

`

`Case 1:17-cv-00770-RGA Document 8-2 Filed 08/28/17 Page 10 of 44 PageID #: 2213
`
`LIST OF APPENDICES
`
`Appendix
`A
`
`Description
`Certified Copy of the File History of the ’340 Patent
`
`References Cited in the Certified File History of the ’340 Patent
`
`Certified Copy of the File History of the ’628 Patent
`
`References Cited in the Certified File History of the ’628 Patent
`
`Certified Copy of the File History of the ’530 Patent
`
`References Cited in the Certified File History of the ’530 Patent
`
`Certified Copy of the File History of the ’641 Patent
`
`References Cited in the Certified File History of the ’641 Patent
`
`Certified Copy of the File History of the ’309 Patent
`
`References Cited in the Certified File History of the ’309 Patent
`
`
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`
`
`B
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`C
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`D
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`E
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`F
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`G
`
`H
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`I
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`J
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`- viii -
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`

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`Case 1:17-cv-00770-RGA Document 8-2 Filed 08/28/17 Page 11 of 44 PageID #: 2214
`
`I.
`
`INTRODUCTION
`
`1.
`
`Complainant Wirtgen America, Inc. (“Wirtgen America”) requests that the United
`
`States International Trade Commission (“Commission”) institute an investigation into violations
`
`of Section 337 of the Tariff Act of 1930, as amended, 19 U.S.C. § 1337 (“Section 337”).
`
`2.
`
`Wirtgen America’s allegations are based on the unlawful importation into the
`
`United States, sale for importation into the United States, and/or sale within the United States
`
`after importation of certain road milling machines and components thereof that infringe U.S.
`
`Patent Nos. 9,644,340 (“the ’340 Patent”), 9,624,628 (“the ’628 Patent”), 9,656,530 (“the ’530
`
`Patent”), 7,530,641 (“the ’641 Patent”), and 7,828,309 (“the ’309 Patent”) (collectively, the
`
`“Asserted Patents”) by Respondents Caterpillar Bitelli SpA (“Caterpillar Bitelli”), Caterpillar
`
`Prodotti Stradali S.r.L. (“Caterpillar Prodotti”), Caterpillar Americas CV (“Caterpillar
`
`Americas”), Caterpillar Paving Products, Inc. (“Caterpillar Paving”), and Caterpillar Inc.
`
`(collectively, the “Respondents” or “Caterpillar”).
`
`3.
`
`As listed in the table below, the Respondents are accused of infringing at least
`
`independent claims 1 and 9 and dependent claims 2-5, 7, 8, 10-12, and 14-17 of the ’340 Patent;
`
`independent claims 1, 15, and 21 and dependent claims 2, 5, 6, 9-14, 16-20, 22, and 27-29 of the
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`’628 Patent; independent claim 1 and dependent claims 2-7, 13-24, and 26 of the ’530 Patent;
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`independent claims 1 and 11 and dependent claims 2, 4, 6-8, 12, and 15-17 of the ’641 Patent;
`
`and independent claims 1 and 26 and dependent claims 2, 3, 5-24, and 27-36 of the ’309 Patent
`
`(collectively, the “Asserted Claims”).
`
`Asserted Patent
`
`’340 Patent
`
`Asserted Independent
`Claims
`1 and 9
`
`Asserted Dependent Claims
`
`2-5, 7, 8, 10-12, and 14-17
`
`

`

`Case 1:17-cv-00770-RGA Document 8-2 Filed 08/28/17 Page 12 of 44 PageID #: 2215
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`’628 Patent
`
`1, 15, and 21
`
`’530 Patent
`
`’641 Patent
`
`’309 Patent
`
`1
`
`1 and 11
`
`1 and 26
`
`2, 5, 6, 9-14, 16-20, 22, and
`27-29
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`2-7, 13-24, and 26
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`2, 4, 6-8, 12, and 15-17
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`2, 3, 5-24, and 27-36
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`4.
`
`Since opening its headquarters in Antioch, Tennessee, in 1985, Wirtgen America
`
`has been an innovator in the heavy equipment sector, and has established itself as “a powerhouse
`
`of economic input” in both the local and national economies. See Exhibit 1 (2016 Nashville
`
`Chamber of Commerce Article, “Wirtgen America Contribution and Impact Analysis”). For over
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`30 years, Wirtgen America’s business has centered around the advancement, education, and
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`implementation of “cold milling” technology within the U.S.
`
`5.
`
`“Cold milling” technology, and the road milling machines implementing this
`
`technology, offer a solution for quickly and efficiently rehabilitating road surfaces. Wirtgen
`
`America’s road milling machines have been overwhelmingly adopted in the road resurfacing
`
`industry because of their superior performance. In fact, Wirtgen-brand road milling machine
`
`sales have long since accounted for a large majority of the U.S. market.
`
`6.
`
`The market success and superior performance of Wirtgen America’s road milling
`
`machines are byproducts of the technological innovations of Wirtgen America and its related
`
`entities over the past several decades. These innovations began with Wirtgen America’s affiliated
`
`company, Wirtgen GmbH, developing its first cold milling machine for road resurfacing in 1979,
`
`and have been continued by Wirtgen America through today.
`
`- 2 -
`
`

`

`Case 1:17-cv-00770-RGA Document 8-2 Filed 08/28/17 Page 13 of 44 PageID #: 2216
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`
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`7.
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`
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`Wirtgen America owns severaal patents covvering varioous aspects oof its innovattive
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`road millling machinees, includingg the Asserteed Patents in
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`this Complaaint. The As
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`serted Patennts
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`are directted towards important feeatures that hhave been inncorporated iinto Wirtgenn America’s rroad
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`milling mmachines thaat include, foor example, tthe Wirtgen WW 200, W 2210, W 220, WW 250, W 22000,
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`W 2100, W 2200, W 50, W 60, WW 100, W 1000 F, W 100
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`CF, W 120,
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`W 130, and W 150 (“thee
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`Domesticc Articles”). These featuures have conntributed to tthe success oof the Domeestic Articless in
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`but ket leader, bt only a markh itself as nota to establishgen Americalowed Wirtgthe U.S., and have al
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`industry. resurfacing ihin the road rducator withalso as a respected ed
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`8.
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`Wirtgen America’’s activities aare directed ttowards all pphases of a rroad millingg
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`machine’’s life cycle. For example, Wirtgen AAmerica maiintains an invventory of rooad milling
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`machiness and parts, pperforms cusstom modifi
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`cations to neew Wirtgen--brand road mmilling machhines
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`
`- 3 -
`
`

`

`Case 1:17-cv-00770-RGA Document 8-2 Filed 08/28/17 Page 14 of 44 PageID #: 2217
`
`for delivery to customers, services and repairs existing machines, and packages and ships parts to
`
`customers and to authorized dealers that Wirtgen America oversees across the U.S. But beyond
`
`these activities, Wirtgen America has been continually recognized for its “advanced and
`
`innovative approaches to training and education” of its customers and dealers, as well as the
`
`general public as a whole. See Exhibit 1. Wirtgen America trains over 1,000 students per year,
`
`and the economic impact of this training on the local economy alone is estimated to be over $5
`
`million. See id.
`
`9.
`
`Through these activities, Wirtgen America invests millions of dollars each year in
`
`the U.S. to assemble, train, and support the use of the Domestic Articles. It is estimated that
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`Wirtgen America’s activities have helped to create and sustain nearly 375 jobs, and contribute
`
`more than $70 million to the Nashville-area economy alone. See id.
`
`10.
`
`In contrast to Wirtgen America, Respondents have historically been only a minor
`
`player in the U.S. road milling industry. But recently, Respondents decided to refocus their
`
`efforts on the U.S. road milling market. See Physical Exhibit 1 (Video describing new
`
`Caterpillar cold planer machines). On information and belief, Respondents’ recent shift in
`
`philosophy was sparked by a desire to capture Wirtgen America’s market share. On information
`
`and belief, Respondents’ decision coincided with Respondents’ purchase, and subsequent
`
`analysis, of a Wirtgen-brand road milling machine. On information and belief, following
`
`Respondents’ dissection of the Wirtgen-brand road milling machine, Respondents began
`
`importing certain road milling machines into the U.S. that included Wirtgen America’s patented
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`technology.
`
`- 4 -
`
`

`

`Case 1:17-cv-00770-RGA Document 8-2 Filed 08/28/17 Page 15 of 44 PageID #: 2218
`
`
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`11.
`
`
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`Speciffically, Resppondents’ PMM600 Series
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`(e.g., PM6220 and PM6222 models) aand
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`PM800 SSeries (e.g., PPM820, PM822, and PMM825 modelss) of cold plaaner machinnes and
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`componeents of those machines (““Accused Prroducts”) incclude functioonality that iinfringes Wirrtgen
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`America
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`’s patented t
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`echnology. FFor examplee, on informaation and bellief, each of f the Accusedd
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`rive that n auxiliary dratent; (2) ans the ’340 Pathat infringes1) a scraper tProducts includes: (1
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`seeks as reliief (i) a permmanent limiteed exclusionn order underr 19
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`es and ing machinees road milliUnited Statentry into the rring from enU.S.C. § 1337(d) bar
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`desist ordder under 199 U.S.C. § 13337(f) prohibbiting the Reespondents aand/or their aaffiliates,
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`subsidiarries, successoors, and assiigns from immporting, maarketing, disttributing, reppairing,
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`providingg warranty services, selling, offeringg for sale, or r selling afterr importationn into the Unnited
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`Case 1:17-cv-00770-RGA Document 8-2 Filed 08/28/17 Page 16 of 44 PageID #: 2219
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`States road milling machines and all components thereof that infringe the Asserted Patents, and
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`(iii) any other relief deemed appropriate by the Commission.
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`13.
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`Further, Wirtgen America requests that the Commission impose a bond upon
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`Respondents’ importation of infringing products during the 60-day Presidential review period
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`pursuant to 19 U.S.C. § 1337(j) to prevent further injury to Wirtgen America and its domestic
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`industry relating to the Asserted Patents.
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`II.
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`THE PARTIES
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`The Complainant
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`Complainant Wirtgen America, Inc. (“Wirtgen America”) was incorporated in
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`A.
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`14.
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`1985.
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`15. Wirtgen America is a privately held corporation organized and existing under the
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`laws of the state of Tennessee, with its principal place of business at 6030 Dana Way, Antioch,
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`Tennessee 37013-3116.
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`16. Wirtgen America’s technical innovations in the road milling industry have
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`resulted in a steady growth in revenue over the past 15 years—from approximately $58 million
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`in revenue in 2000 to about $541 million in revenue in 2015. See Exhibit 1, page 4 “Sales
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`Revenue of Wirtgen America ($ million).” The U.S. market for road milling machines is
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`currently estimated to be over $700 million, and “[t]he projections for the industry and for
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`Wirtgen are for further growth through the decade ahead to fulfill increasing needs for
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`maintaining the nation’s road capacity a[t] optimal levels.” See id. Moreover, in 2016, Wirtgen
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`America was recognized by the Nashville Area Chamber of Commerce (“NACC”) as a
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`Case 1:17-cv-00770-RGA Document 8-2 Filed 08/28/17 Page 17 of 44 PageID #: 2220
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`significant contributor to the economic vitality of the city of Nashville and the region. See id.,
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`page 9.
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`17. Wirtgen America also offers some of the most advanced education and training
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`courses at its Reinhard Wirtgen Learning Center, today called the Center for Technology and
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`Training (also located in Antioch, Tennessee). The NACC maintains that “[s]ome of the
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`country’s most important workforce preparation in heavy equipment is underway through the
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`facilities and programs of Wirtgen America.” See id., page 4. Wirtgen America’s education and
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`training courses have been attended by participants from all 50 states.
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`18. Wirtgen America exploits the technologies covered by the Asserted Patents
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`through many activities that occur within the U.S. See Confidential Exhibit 2 (Collins Decl.).
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`Specifically, Wirtgen America has made and continues to make investments within the U.S. at
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`least with respect to post-importation manufacturing, repair, technical support, warranty support,
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`and training related to the Domestic Articles protected by the Asserted Patents. See id. As
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`discussed more fully below, these investments within the U.S. include facilities, equipment,
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`labor, and capital. See, infra, Section IX. Such investments establish that Wirtgen America has
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`and maintains a domestic industry.
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`19.
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`Numerous patents, including the Asserted Patents, have issued to protect the
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`innovative features and designs embodied in the Domestic Articles. These patented features have
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`contributed to the success of the Domestic Articles in the U.S., and have allowed Wirtgen
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`America to establish itself as a market leader.
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`Case 1:17-cv-00770-RGA Document 8-2 Filed 08/28/17 Page 18 of 44 PageID #: 2221
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`B.
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`The Respondents
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`1.
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`Caterpillar Bitelli SpA
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`20.
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`Caterpillar Bitelli is an Italian corporation with its principal place of business at
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`Via IV Novembre, 2, 40061 Minerbio BO, Italy. See Exhibit 3 (Panjiva, Inc., U.S. Import
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`Records showing Caterpillar Bitelli address). On information and belief, Caterpillar Bitelli is
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`affiliated with Caterpillar Prodotti, which was formerly known as Bitelli SpA until it was
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`acquired by Caterpillar Inc. See Exhibit 4 (Bloomberg.com company overview of Caterpillar
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`Prodotti). Caterpillar Bitelli, however, continues to be listed as a separate entity from Caterpillar
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`Prodotti on importation records as of the date of this Complaint.
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`2.
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`Caterpillar Prodotti Stradali S.r.L.
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`21.
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`Caterpillar Prodotti is an Italian corporation with its principal place of business at
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`Via IV Novembre, 2, 40061 Minerbio BO, Italy. See Exhibit 4 (Bloomberg.com company
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`overview of Caterpillar Prodotti).
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`3.
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`Caterpillar Americas CV
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`22.
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`On information and belief, Caterpillar Americas is a Swiss corporation with its
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`principal place of business at 76 Route de Frontenex, Boite Postale 6000, 1211 Geneva
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`Switzerland. See Exhibit 3 (Panjiva, Inc., U.S. Import Records showing Caterpillar Bitelli
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`address).
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`4.
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`Caterpillar Paving Products, Inc.
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`23.
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`On information and belief, Caterpillar Paving is an Oklahoma corporation with its
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`principal place of business at 8401 85th Avenue North, Minneapolis, Minnesota 55445. See
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`Exhibit 3 (Panjiva, Inc., U.S. Import Records showing Caterpillar Paving address).
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`Case 1:17-cv-00770-RGA Document 8-2 Filed 08/28/17 Page 19 of 44 PageID #: 2222
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`5.
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`Caterpillar Inc.
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`24.
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`On information and belief, Caterpillar Inc. is a Delaware corporation with its
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`principal place of business at 100 NE Adams Street, Peoria, Illinois 61629. See Exhibit 5
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`(website printout showing Caterpillar Inc. address).
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`25.
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`On information and belief, Caterpillar Inc. is also the parent company of the four
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`other named Respondents in this Investigation—Caterpillar Bitelli, Caterpillar Prodotti,
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`Caterpillar Americas, and Caterpillar Paving. See, infra, Section VI.
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`III. THE ASSERTED PATENTS
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`A.
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`26.
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`The ’340 Patent
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`On May 9, 2017, the United States Patent and Trademark Office (“USPTO”) duly
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`and lawfully issued the ’340 Patent, entitled “Scraper Device, as well as Construction Machine,”
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`to inventors Heinz Kötting, Herbert Ley, and Günter Hähn. The ’340 Patent issued from U.S.
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`Application No. 15/409,670, filed January 19, 2017. There are no fees currently due with respect
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`to the ’340 Patent.
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`27.
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`A certified copy of the ’340 Patent is attached hereto as Exhibit 6. Pursuant to
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`Commission Rule 210.12(c), a certified copy of the File History of the ’340 Patent is included as
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`Appendix A. Copies of the references cited in the certified file history of the ’340 Patent are
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`included as Appendix B.
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`28.
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`The ’340 Patent has 18 claims, including 2 independent claims and 16 dependent
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`claims. Wirtgen America is asserting independent claims 1 and 9 and dependent claims 2-5, 7, 8,
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`10-12, and 14-17 of the ’340 Patent.
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`Case 1:17-cv-00770-RGA Document 8-2 Filed 08/28/17 Page 20 of 44 PageID #: 2223
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`29.
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`By way of assignment, Wirtgen America holds all rights, title and interest to the
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`’340 Patent. A certified copy of the assignment record for the ’340 Patent is attached hereto as
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`Exhibit 7. The ’340 Patent is not licensed.
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`30.
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`In accordance with Commission Rule 210.12(a)(9)(v), a list of all foreign patents
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`and patent applications corresponding to the ’340 Patent, including an indication of status, is
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`attached as Exhibit 8. Wirtgen America is aware of no other foreign counterparts issued, filed,
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`abandoned, withdrawn, or rejected with respect to the ’340 Patent.
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`B.
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`31.
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`The ’628 Patent
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`On April 18, 2017, the USPTO duly and lawfully issued the ’628 Patent, entitled
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`“Auxiliary Drive,” to inventors Peter Busley, Olaf Gaertner, and Dieter Simons. The ’628 Patent
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`issued from U.S. Application No. 15/364,877, filed November 30, 2016. There are no fees
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`currently due with respect to the ’628 Patent.
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`32.
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`A certified copy of the ’628 Patent is attached hereto as Exhibit 9. Pursuant to
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`Commission Rule 210.12(c), a certified copy of the File History of the ’628 Patent is included as
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`Appendix C. Copies of the references cited in the certified file history of the ’628 Patent are
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`included as Appendix D.
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`33.
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`The ’628 Patent has 29 claims, including 3 independent claims and 26 dependent
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`claims. Wirtgen America is asserting independent claims 1, 15, and 21 and dependent claims 2,
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`5, 6, 9-14, 16-20, 22, and 27-29 of the ’628 Patent.
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`34.
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`By way of assignment, Wirtgen America holds all rights, title and interest to the
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`’628 Patent. A certified copy of the assignment record for the ’628 Patent is attached hereto as
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`Exhibit 10. The ’628 Patent is not licensed.
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`Case 1:17-cv-00770-RGA Document 8-2 Filed 08/28/17 Page 21 of 44 PageID #: 2224
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`35.
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`In accordance with Commission Rule 210.12(a)(9)(v), a list of all foreign patents
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`and patent applications corresponding to the ’628 Patent, including an indication of status, is
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`attached as Exhibit 11. Wirtgen America is aware of no other foreign counterparts issued, filed,
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`abandoned, withdrawn, or rejected with respect to the ’628 Patent.
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`C.
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`36.
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`The ’530 Patent
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`On May 23, 2017, the USPTO duly and lawfully issued the ’530 Patent, entitled
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`“Automotive Construction Machine, As Well As Lifting Column For A Construction Machine,”
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`to inventors Peter Busley and Gunter Tewes. The ’530 Patent issued from U.S. Application No.
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`14/683,273, filed April 10, 2015. There are no fees currently due with respect to the ’530 Patent.
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`37.
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`A certified copy of the ’530 Patent is attached hereto as Exhibit 12. Pursuant to
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`Commission Rule 210.12(c), a certified copy of the File History of the ’530 Patent is included as
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`Appendix E. Copies of the references cited in the certified file history of the ’530 Patent are
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`included as Appendix F.
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`38.
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`The ’530 Patent has 32 claims, including 2 independent claims and 30 dependent
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`claims. Wirtgen America is asserting independent claim 1 and dependent claims 2-7, 13-24, and
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`26 of the ’530 Patent.
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`39.
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`By way of assignment, Wirtgen America holds all rights, title and interest to the
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`’530 Patent. A certified copy of the assignment record for the ’530 Patent is attached hereto as
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`Exhibit 13. The ’530 Patent is not licensed.
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`40.
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`In accordance with Commission Rule 210.12(a)(9)(v), a list of all foreign patents
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`and patent applications corresponding to the ’530 Patent, including an indication of status, is
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`Case 1:17-cv-00770-RGA Document 8-2 Filed 08/28/17 Page 22 of 44 PageID #: 2225
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`attached as Exhibit 1