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`
`
`UNITED STATES INTERNATIONAL TRADE COMMISSION
`Washington, DC
`
`
`
`Before the Honorable Clark S. Cheney
`Chief Administrative Law Judge
`
`In the Matter of
`
`Investigation No. 337-TA-1290
`
`CERTAIN REFRIGERATOR
`WATER FILTRATION
`DEVICES AND COMPONENTS
`
`RESPONDENTS’ NOTICE OF PRIOR ART
`
`Pursuant to Ground Rules (No. 11) and the Scheduling Order (Order No. 10), Respondents
`
`Express Parts LLC, Ningbo Haishu Keze Replacement Equipment Co., Ltd., Ningbo Bichun
`
`Technology Co., Ltd. (formerly Ningbo Haishu Bichun Technology Co, Ltd.), Ningbo Haishu
`
`Shun Anjie Water Purification Equipment LLC, Shenzhen Yu Tian Qi Technology Co., Ltd., and
`
`AGA Imports LLC (“Express Respondents”); Qingdao Ecopure Filter Co., Ltd, Qingdao
`
`Maxwell Commercial and Trading Company Ltd, and Qingdao Uniwell Trading Co., Ltd
`
`(“Ecopure Respondents”); and Yunda H&H Tech (Tianjin) Co., Ltd., Tianjin Tianchuang Best
`
`Pure Environmental Science and Technology Co. Ltd., Top Pure (USA) Inc., and W&L Trading
`
`LLC (“Yunda Respondents”) (collectively, “Respondents”) hereby file their Notice of Prior Art
`
`(“NOPA”).
`
`Respondents provide the required information in the attached Exhibit A. Respondents
`
`expressly reserve the right to rely on these references, either singly or in any combination, to
`
`establish the invalidity of: (1) U.S. Patent No. 10,188,972 (“the ’972 Patent”); (2) U.S. Patent
`
`No. 10,639,570 (“the ’570 Patent”) and; (3) U.S. Patent No. 10,653,984 (“the ’984 Patent”)
`
`(collectively “the Asserted Patents”), or to demonstrate the relevant state of the art and/or level
`
`of skill in the art.
`
`
`
`1
`
`

`

`Accordingly, Respondents may rely on each prior art reference set forth in the attached
`
`Exhibit A as anticipatory and/or as rendering obvious alone or in combination with any other
`
`prior art one or more of the asserted claims of the asserted patents. For instance, a given patent
`
`prior art reference listed in Exhibit A may be combined with another patent prior art referenced
`
`listed to render one or more of the asserted claims of the asserted patents obvious. A given
`
`patent prior art reference listed in Exhibit A may also be combined with a prior art product listed
`
`to render one or more of the asserted claims of the asserted patents obvious.
`
`Each listed patent, publication, product, prior art, or other documentation is effective as
`
`prior art at least as early as the corresponding date indicated and prior to the priority date of the
`
`asserted patents.
`
`In addition to the specific references listed in Exhibit A, Respondents hereby give notice
`
`that it may rely on, and therefore incorporate by reference: (i) prior art contained or referenced
`
`in the prosecution history of the asserted patents, in the asserted patents, or in any patent,
`
`application, or prosecution history that is related to the asserted patents, (ii) prior art identified
`
`or produced by Complainants LG Electronics Inc. and LG Electronics Alabama, Inc.
`
`(“Complainants”) or subpoenaed third parties in this Investigation, (iii) prior art admitted into
`
`evidence or identified as an exhibit at the hearing or deposition, (iv) prior art identified during
`
`the remainder of discovery, (v) prior art cited or referenced in any of the references identified
`
`in Exhibit A to this Notice (regardless of whether a cited reference appears separately in Exhibit
`
`A), (vi) prior art cited in any expert report served during this Investigation, (vii) patents or patent
`
`applications corresponding to the patent applications or patents identified in Exhibit A to this
`
`Notice, and (viii) prior art cited or referenced in the file histories for all of the patents and patent
`
`applications listed in Exhibit A or identified in (i) to (vii).
`
`
`
`2
`
`

`

`Respondents reserve the right to rely on documents and information that are not prior art,
`
`and therefore need not be disclosed in this notice, for other purposes including, but not limited
`
`to, evidence of inherency in any of the prior art or establishing the prior art as prior art, including
`
`documents establishing the sales dates of prior art products.
`
`Respondents reserve the right to rely upon any person identified as an author or inventor
`
`of any prior art identified herein as a prior inventor or as having prior knowledge of or as having
`
`previously used or offered for sale the alleged inventions of the asserted patents. Respondents
`
`may also rely on individuals, the names and addresses of which are within Complainants’
`
`possession, including Complainants’ employees, former employees, consultants, and/or other
`
`persons affiliated with Complainants who may have knowledge of, or have previously used or
`
`offered for sale, the alleged inventions of the asserted patents. Respondents may also rely on
`
`individuals, the names and addresses of which are within the possession of third parties.
`
`Additionally, Respondents reserve the right to supplement or amend any part of this
`
`notice and Exhibit A as discovery proceeds, including third party discovery. Respondents note that
`
`discovery, including third party discovery, is ongoing and fact discovery does not close until
`
`May 20, 2022. To date, Complainants have not provided sufficient infringement contentions,
`
`which has limited Respondents’ ability to understand the scope of potentially relevant prior art.
`
`In addition, expert reports have not been exchanged, and expert discovery has not commenced.
`
`Respondents reserve the right to amend and/or supplement this Notice of Prior Art and the
`
`attached Exhibit A. Respondents also reserve the right to amend this Notice should it be
`
`discovered that a reference cited during prosecution of an asserted patent (or a foreign
`
`counterpart or family member of an asserted patent) is omitted from Exhibit A.
`
`
`
`3
`
`

`

`
`
`Dated: March 28, 2022
`
`
`
`Respectfully submitted,
`
`/s/ Jack Shaw
`Jack Shaw
`Procopio Cory Hargreaves & Savitch LLP
`1117 S. California, Suite 200
`Palo Alto, California 94304
`Telephone: (650) 645-9000
`Facsimile: (650) 687-8300
`
`Dave Deonarine
`Victor Sai
`Raymond K. Chan
`Jacob K. Poorman
`Procopio Cory Hargreaves & Savitch LLP
`12544 High Bluff Drive, Suite 400
`San Diego, CA 92130
`Telephone: (858) 720-6300
`Facsimile: (619) 235-0398
`
`Counsel for Respondents Express Parts LLC,
`Ningbo Haishu Keze Replacement Equipment Co.,
`Ltd., Ningbo Bichun Technology Co., Ltd.
`(formerly Ningbo Haishu Bichun Technology Co,
`Ltd.), Ningbo Haishu Shun Anjie Water
`Purification Equipment LLC, Shenzhen Yu Tian Qi
`Technology Co., Ltd., and AGA Imports LLC
`
`/s/ Todd R. Tucker
`Todd R. Tucker
`Joshua M. Ryland
`Brad Liu
`Joshua A. Friedman
`Dustin D. Likens
`Brian P. Doney
`CALFEE, HALTER & GRISWOLD, LLP
`The Calfee Building
`1405 East Sixth Street
`Cleveland, Ohio 44114-1607
`Telephone: 216.622.8200
`Facsimile: 216.241.0816
`
`Jack R. Smith
`CALFEE, HALTER & GRISWOLD, LLP
`1627 I Street NW
`Suite 1120
`
`
`
`
`
`

`

`
`
`
`
`Washington, D.C. 20006-4127
`Telephone: 202.672.1010
`Facsimile: 202.672.1007
`
`Ashley J. Earle
`CALFEE, HALTER & GRISWOLD, LLP
`2800 First Financial Center
`255 East Fifth Street
`Cincinnati, Ohio 45202-4728
`Telephone: 513.693.4880
`Facsimile: 513.842.7028
`
`Joshua Hartman
`MERCHANT & GOULD P.C.
`1900 Duke Street, Suite 600
`Alexandria, VA 22314
`Telephone: 703.684.2500
`Facsimile: 612.332.9081
`
`Counsel for Respondents Qingdao Ecopure Filter
`Co., Ltd d/b/a WaterdropDirect, Qingdao Maxwell
`Commercial and Trading Company Ltd d/b/a Water
`Purity Expert, and Qingdao Uniwell Trading Co.,
`Ltd. d/b/a Qingdao Youniwei Shang Mao You Xian
`Gong Si d/b/a Uniwell Filter
`
`/s/ P. Andrew Riley
`P. Andrew Riley
`Lei Mei
`Laurance M. Sandell
`Guang-Yu Zhu
`Jiwei Zhang
`MEI & MARK LLP
`818 18th Street NW, Suite 410
`Washington, DC 20006
`Telephone: 888-860-5678
`Facsimile: 888-706-1173
`
`Counsel for Respondents Yunda H&H Tech
`(Tianjin) Co., Ltd., Tianjin Tianchuang Best Pure
`Environmental Science and Technology Co. Ltd.,
`Top Pure (USA) Inc. and W&L Trading LLC
`
`
`
`
`
`
`
`
`

`

`Filter Water Filling
`Structure
`Fluidic Control Cartridges 12/17/2008
`Thermally Detachable and
`08/15/2012
`Replaceable Water Filter
`Component
`Thermally Detachable and
`Replaceable Water Filter
`component
`Modular Drinking Water
`Filtration System with
`Adaptor Rings for
`Replaceable Cartridges
`Filter Flask Component
`
`Issue /
`Publication
`Date
`07/14/2010
`
`05/28/2014
`
`05/04/2011
`
`04/28/2015
`
`07/16/2014
`
`Patentee Name(s)
`
`Runner Xiamen Ind Corp.
`
`Whirlpool Corp.
`NINGBO HIDROTEK TECHNOLOGY
`CO LTD
`
`NINGBO HIDROTEK TECHNOLOGY
`CO LTD
`
`Pentair Filtration Inc.
`
`Zhejiang Kaineng Runxin Electric
`Appliance
`Pentair Filtration Inc.
`
`
`
`I. Prior Art Patents / Published Patent Applications
`
`
`Country
`
`Number
`
`Title
`
`Exhibit A
`
`
`China
`
`China
`China
`
`CN201524475 U
`
`CN100443142 C
`CN102631809 A
`
`China
`
`
`
`CN102631809 B
`
`China
`
`CN102046258 B
`
`China
`
`China
`
`CN104826379 B
`
`CN102065974B
`
`European
`
`EP1824577 B1
`
`European
`
`EP1328329B1
`
`Modular Drinking Water
`Filtration System with
`Bottom Load Cartridges
`With Grip-Enhanced End
`Rings And Color Coding
`Rotary Valve Assembly
`for Fluid Filtration System
`Proportional Flow Feeder
`for Water Filter Cartridge
`
`- 1 -
`
`06/05/2009
`
`3M Innovative Properties Company
`
`12/08/2004
`
`Everpure, Inc.
`
`

`

`
`
`Country
`
`Number
`
`Title
`
`Germany
`
`DE1020140006703
`B4
`
`Germany
`
`DE102006044746
`B4_
`Great Britain GB1283814A
`Japan
`JP5765676B2
`(Japanese Patent No.
`4212024)
`JP4915820B2
`
`Japan
`
`Japan
`
`JP6296069B2
`
`Japan
`
`Korea
`
`Korea
`
`Korea
`
`Korea
`
`JP5788181 B2
`
`KR20120126840 A
`
`KR101239330 B1
`
`KR1016013910000
`(registration no.)
`
`KR1016688040000
`(regis. No.)
`
`Filter Element Additive
`Module of a Filter and
`Filter
`
`Water Filter with
`Blending Device
`A Filter Assembly
`Purification System and
`Filter
`
`Water Purification
`Cartridge and Water
`Purifier
`Ballas Water Treatment
`Device and Operation
`Method of Ballast Water
`Treatment Device
`Water Treatment
`Equipment
`Filter Unit and Filter
`Assembly Using Thereof
`Filter Unit and Filter
`Assembly Using Thereof
`Refrigerator and Water
`Purification Apparatus For
`The Refrigerator
`Connector for Purifying
`Filter Having By-Pass
`Function
`
`- 2 -
`
`Issue /
`Publication
`Date
`Filing: 5/9/2014;
`Release:
`10/24/2019
`
`Patentee Name(s)
`
`Mann+Hummel GmbH
`
`
`
`
`
`09/23/2021
`
`08/02/1972
`08/19/2015
`
`Aquis Wasser Luft Systeme GmbH Lindau
`Zweigniederlassung Rebstein
`Everpure, Inc.
`三菱レイヨン株式会社
`
`04/11/2012
`
`Panasonic Electric Works Co., Ltd.
`
`03/20/2018
`
`住友電気工業株式会社
`
`09/30/2015
`
`クリタック株式会社
`
`11/21/2012
`
`Hwi-Dong Jeong et al.
`
`3/5/2013
`
`Hwi-Dong Jeong et al.
`
`03/08/2016
`
`LG Electronics Inc.
`
`10/25/2016
`
`Picogram Co., Ltd.
`
`

`

`
`
`Country
`
`Number
`
`Title
`
`Korea
`
`Korea
`
`Korea
`
`Korea
`Korea
`
`Korea
`Korea
`
`KR1014789650000
`(regis. no.)
`KR200384558Y1
`
`KR101127426
`
`KR20030068235
`KR20130048427
`
`KR1020140052153
`KR1020140015797
`
`Korea
`
`KR1020140062663
`
`Korea
`
`KR20150057791
`
`Korea
`
`KR20110006467U
`
`Korea
`
`KR20100012979
`
`Filter Assembly
`
`Attaching Mechanism of
`Filter Assembly For Water
`Purifier
`Filter Apparatus for Water
`Purification
`Rotary Tube Fitting
`Water Purifying Filter
`Assembly
`Filter Assembly
`Refrigerator and Water
`Purification Apparatus For
`The
`Refrigerator
`Connector for Purifing
`Filter Having By-Pass
`Function
`Connector Body of
`Purification System
`Having Inlet Water,
`Purificated Water and
`Waste Water
`Locking Structure of
`Purifying Filter Having
`Key Combination
`Connector of Purification
`Filter of Having By-Pass
`Function
`
`- 3 -
`
`Issue /
`Publication
`Date
`01/06/2015
`
`Patentee Name(s)
`
`MCM Co., Ltd.
`
`05/16/2005
`
`Picogram Co., Ltd.
`
`03/23/2012
`
`Picogram Co., Ltd.
`
`08/21/2003
`05/10/2013
`
`1/6/2015
`3/8/2016
`
`TPC Mechatronics Corp.
`Joung Whi Dong
`
`MCM Co., Ltd.
`LG Electronics Inc.
`
`10/25/2016
`
`Picogram Co., Ltd.
`
`05/28/2015
`
`Picogram Co Ltd.
`
`06/29/2011
`
`Picogram Co. Ltd.
`
`02/09/2010
`
`Picogram Co. Ltd.
`
`

`

`
`
`Country
`
`Number
`
`Title
`
`Korea
`
`Korea
`
`Korea
`
`Korea
`
`Korea
`
`Korea
`
`Korea
`
`Korea
`
`Korea
`
`Korea
`
`KR 10
`2016/0034309
`KR100668767 B1
`
`KR100870572 B1
`
`KR101318423 B1
`
`KR20090092881
`
`KR100873665B1
`
`KR100804302B1
`
`KR20160000194A
`
`KR20070081912A
`
`Filter Apparatus For
`Water Purification
`Connector For
`Purification Filter
`Connecting Structure Of
`Filter Cartridge For Water
`Purifier
`KR20080006177A Water Path Changing
`Adapter In Water
`Purification System
`Connector For Purifying
`Filter Having By-Pass
`Function
`Connector For Filter
`Cartridge Having Shut-
`Off Valve, And Filter
`Assembly Including The
`Same
`Water Purifying
`Apparatus Refrigerator
`Connector For Filter
`Cartridge Having Shut-
`Off Valve, And Filter
`Assembly Including The
`Same
`Water Purification Filter
`Assembly Using A Swivel
`Type Connector
`Water Filter Assembly
`And Refrigerator And
`
`Issue /
`Publication
`Date
`09/02/2009
`
`Patentee Name(s)
`
`Picogram Co., Ltd.
`
`12/12/2008
`
`Picogram Co., Ltd.
`
`02/18/2008
`
`Woongjin Coway Co. Ltd.
`
`01/16/2008
`
`Picogram Co., Ltd.
`
`01/04/2016
`
`Picogram Co., Ltd.
`
`08/20/2007
`
`Irevo NS
`
`
`
`LG Electronics Inc.
`
`01/12/2007
`
`IREVO NS
`
`11/27/2008
`
`Young Woo Water Line Co., Ltd.
`
`10/15/2013
`
`Winimax Co., Ltd.
`
`- 4 -
`
`

`

`
`
`Country
`
`Number
`
`Title
`
`Korea
`
`Korea
`
`KR101311654
`
`KR100712266
`
`Korea
`
`KR100797051
`
`Korea
`
`KR101706993
`
`US
`
`US
`US
`US
`
`US
`
`US
`
`US
`
`US
`US
`
`10,734,498 (US
`2004/0144710 A1)
`2004/0144710 A1
`4,322,290
`4,877,521
`
`5,645,720
`
`5,653,871
`
`5,705,067
`
`5,715,699
`6,303,031 B1
`
`Water Purifier Having The
`Same
`Water Purifying Filter
`Assembly
`Purification Filter Of
`Using Connector And
`Water Purification Device
`Water Path Changing
`Adapter In Water
`Purification System
`A Water Purifier Of Hinge
`Assembling ASV
`Keyed Filter Assembly
`
`Keyed Filter Assembly
`Filter Assembly
`Quick-Change Filter
`Cartridge And Head
`Therefor
`Mounting Head With By-
`Pass Valve For Use With
`Cartridge Filters
`Filter Assembly With O-
`Ring Protection
`Mixing Faucet With
`Water Purifier
`
`Refrigerator Water Filer
`Water Filtering System
`With Replaceable
`
`- 5 -
`
`Issue /
`Publication
`Date
`
`Patentee Name(s)
`
`09/25/2013
`
`MCM Co., Ltd.
`
`05/17/2007
`
`Picogram Co., Ltd.
`
`01/23/2008
`
`Picogram Co., Ltd.
`
`02/17/2017
`
`Picogram Co., Ltd.
`
`07/29/2004
`
`CUNO Inc.
`
`07/29/2004
`03/30/1982
`10/31/1989
`
`07/08/1997
`
`CUNO Inc.
`Paul-Munroe Hydraulics, Inc.
`CUNO, Inc., Meriden, Conn.
`
`R&D Separations, Inc., Rancho Cordova,
`CA
`
`08/05/1997
`
`Everpure, Inc., Westmont, IL
`
`01/06/1998
`
`02/10/1998
`10/16/2001
`
`Kitamuragokin Ind. Co., ltd., Yamagata;
`Matsushita Electric Ind. Co., Ltd., Kadoma,
`both of Japan
`White Consolidated Industries, Inc.
`Maytag Corporation, Newton, IA
`
`

`

`
`
`Country
`
`Number
`
`Title
`
`US
`
`US
`
`US
`
`US
`
`US
`
`US
`
`US
`
`US
`
`7,540,957 B1
`
`8,246,883 B2
`
`8,505,741 B2
`
`9,067,154 B1
`
`10,807,026 B2
`
`2003/0085572 A1
`(publication no.);
`10/287,472
`(application no.)
`2004/0211931 A1
`(publication no.)
`2005/0023206 A1
`(pub. No.);
`10/902,695 (app.
`No.)
`
`Cartridge For A
`Refrigerator
`Modular Drinking Water
`Filtration System With
`Bottom Load Cartridges
`With Grip-Enhanced End
`Rings And Color Coding
`Filter Cartridge And
`Method Of Construction
`Thereof
`Water Filter Cartridge
`System Having A
`Combined Blending Valve
`System In The Candle
`And Adjusting Device In
`The Head
`Replacement Filter
`Cartridge
`Filter Element With Air-
`Bleed Conduit
`Quick Connection For The
`Removable Join Of Two
`Pipes
`
`Fluidic Cartridges And
`End Pieces Thereof
`Water Filter Adapter With
`Locking Feature
`
`- 6 -
`
`Issue /
`Publication
`Date
`
`Patentee Name(s)
`
`06/02/2009
`
`Pentair Filtration, Inc., Sheboygan, WI
`
`08/21/2012
`
`3M Innovative Properties Company
`
`08/13/2013
`
`Aquis Wasser-Luft-Systeme GmbH, Lindau
`Zweigniederlassung Rebstein
`
`06/30/2015
`
`3M Innovative Properties Company
`
`10/20/2020
`
`05/08/2003
`
`MANN+HUMMEL Filtration Technology
`US LLC
`Staeubli Faverges SCA
`
`10/28/2004
`
`The Proctor & Gamble Company
`
`02/03/2005
`
`3M Innovative Properties Co.
`
`

`

`
`
`Country
`
`Number
`
`Title
`
`US
`
`US
`
`US
`US
`US
`
`US
`
`US
`
`US
`US
`US
`US
`
`US
`
`2008/0142431 A1
`
`2010/0275633 A1
`
`2014/0230481 A1
`2016/0025406 A1
`2006/0213821 A1
`
`7,517,449
`
`2014/0061119 A1
`
`2017/0340993 A1
`6,949,189
`9,027,361
`10,071,326
`
`2012/0031821 A1
`
`Water Filter And
`Refrigerator Having The
`Same
`Water Filter Device And
`Refrigerator Having The
`Same
`Refrigerator
`Refrigerator
`Water Purification Filter
`Easily Replaced By
`Connector And Water
`Purification System Using
`The Same
`Water Purification Filter
`Easily Replaced By
`Connector And Water
`Purification System Using
`The Same
`End Disk For A Filter
`Element
`Reusable Filter System
`Keyed Filter Assembly
`Water Filter
`Filter Cartridge For
`Translational Insertion
`And Rotational
`Engagement Of A
`Manifold
`Bypass Valve For Water
`Filter System
`
`- 7 -
`
`Issue /
`Publication
`Date
`06/19/2008
`
`Patentee Name(s)
`
`Samsung Electronics Co., Ltd.
`
`11/04/2010
`
`Samsung Electronics Co., Ltd.
`
`08/21/2014
`01/28/2016
`09/28/2006
`
`LG Electronics Inc. (Seoul)
`Samsung Electronics Co., Ltd.
`PICOGRAM CO., LTD.
`
`04/14/2009
`
`
`
`PICOGRAM CO., LTD.
`
`03/06/2014
`
`MANN+HUMMEL GMBH
`
`11/30/2017
`09/27/2005
`05/12/2015
`09/11/2018
`
`Hong Kong Ecoaqua Co., Limited
`CUNO Incorporated
`General Electric Company
`3M Innovative Properties Inc.
`
`02/09/2012
`
`Paragon Water Systems Inc.
`
`

`

`
`
`Country
`
`Number
`
`Title
`
`US
`
`US
`
`US
`US
`US
`US
`US
`
`US
`US
`
`US
`
`US
`
`US
`
`US
`
`US
`
`2010/0170841 A1
`
`2009/0321340 A1
`
`4,271,020
`3,907,688
`2016/0271536 A1
`2016/0271535 A1
`2011/0139698 A1
`
`2011/0168613 A1
`4,379,053
`
`2017/0259196 A1
`
`2016/0144301 A1
`
`2016/0136547 A1
`
`2013/0298378 A1
`
`2013/0220910 A1
`
`- 8 -
`
`Issue /
`Publication
`Date
`07/08/2010
`
`12/31/2009
`
`Filter Assembly, Valve
`Assembly, And Water
`Purifying System Having
`the Same
`Filter Cartridge for Use
`with A Filter Head
`Assembly
`06/02/1981
`Valve for Filter Device
`09/23/1975
`Valve for A Filter
`Filter Cartridge Assembly 09/22/2016
`Filter Assembly
`09/22/2016
`Apparatus for Treating
`06/16/2011
`Water, Particularly Filter
`Apparatus, And Cartridge
`Filter Assembly
`Filter Bypass Valve
`Assembly
`Modular Filtration
`Platform
`Modular Multimedia Fluid
`Treatment System
`Water Filter Audible
`Position Indicator
`Mounting System for
`Water Cartridge and
`Manifold
`Hot Detachable and
`Replaceable Water Filter
`Assembly
`
`07/14/2011
`04/05/1983
`
`09/14/2017
`
`05/26/2016
`
`05/19/2016
`
`11/14/2013
`
`08/29/2013
`
`Patentee Name(s)
`
`Samsung Electronics Co., Ltd.
`
`Envirogard Products Limited
`
`Ryder International Corporation
`The Carborundum Company
`Microfilter Co., Ltd.
`Microfilter Co., Ltd.
`Brita GmbH
`
`Parker Filtration B.V.
`Bruner
`
`KX Technologies LLC
`
`AJ Antunes & Co
`
`General Electric Company
`
`Suri Ramesh
`
`Ningbo Hidrotek Co. Ltd.
`
`

`

`
`
`Country
`
`Number
`
`Title
`
`US
`
`US
`
`US
`
`US
`
`US
`
`US
`
`US
`
`US
`
`US
`
`US
`
`2009/0236277
`
`2007/0227959 A1
`
`2005/0167352 A1
`
`2006/0254971 A1
`
`4,735,716
`
`6,120,685
`
`5,102,543
`
`9,011,683 B2
`
`9,211,488 B2
`
`8,245,851 B2
`
`Modular Drinking Water
`Filtration System with
`Internal Sealing Between
`Valve Spindle and Head
`Filter Cartridges and
`Methods
`Filter Cartridge and
`Manifold for A Water
`Purification System
`Spool Valve Manifold
`Interconnect for A Filter
`System
`Quick-Change Filter
`Cartridge and Head
`Therefor
`Water Filtering System
`with Replaceable
`Cartridge For A
`Refrigerator
`Improved Rotatable Spool
`Valve for Use With Filter
`Cartridges
`Filter Cartridge Centering
`Device
`Fluid Filter With
`Localized Flow
`Attachment
`Noncircular Replaceable
`Fuel Filter Elements And
`
`- 9 -
`
`Issue /
`Publication
`Date
`09/24/2009
`
`Patentee Name(s)
`
`Pentair Filtration, Inc.
`
`10/04/2007
`
`Pentair Filtration, Inc.
`
`08/04/2005
`
`LVD Acquisition LLC (patent app shows
`Oasis Corporation as Assignee)
`
`11/16/2006
`
`3M Co.
`
`04/05/1988
`
`Cuno Corporated
`
`09/19/2000
`
`Maytag Corporation
`
`04/07/1992
`
`Pentair Filtration Inc. (patent shows Sta-
`Rite Industries, Inc. as assignee)
`
`04/21/2015
`
`Cummins Filtration IP Inc.
`
`12/15/2015
`
`Cummins Filtration IP, Inc.
`
`08/21/2012
`
`Cummins Filtration IP, Inc.
`
`

`

`
`
`Country
`
`Number
`
`Title
`
`US
`
`US
`
`US
`
`US
`
`US
`
`US
`
`US
`
`US
`
`US
`
`US
`
`2009/0014381 A1
`
`2010/0064646 A1
`
`2010/0122952 A1
`
`2006/0060512 A1
`
`10,737,206
`
`20170021294
`
`9,421,485
`
`9,314,722
`
`20140175000
`
`8,562,830
`
`Systems Including The
`Same
`Fluid Filter With
`Localized Flow
`Attachment
`Elliptical Seal Interface
`for Filter Assembly
`Filter Cartridge Centering
`Device
`System for Monitoring the
`Performance of Fluid
`Treatment Cartridges
`Keyed System for
`Connection of Filter
`Cartridge to Filter Holder
`Keyed System for
`Connection of Filter
`Cartridge to Filter Holder
`Keyed System for
`Connection of Filter
`Cartridge to Filter Holder
`Keyed System for
`Connection of Filter
`Cartridge to Filter Holder
`Keyed System for
`Connection of Filter
`Cartridge to Filter Holder
`Keyed System for
`Connection of Filter
`Cartridge To Filter Holder
`
`- 10 -
`
`Issue /
`Publication
`Date
`
`Patentee Name(s)
`
`01/15/2009
`
`Cummins Filtration IP, Inc.
`
`03/18/2010
`
`Cummins Filtration IP, Inc.
`
`05/20/2010
`
`Cummins Filtration IP, Inc.
`
`03/23/2006
`
`3M Innovative Properties
`
`8/11/2020
`
`01/26/2017
`
`08/23/2016
`
`4/19/2016
`
`6/26/2014
`
`10/22/2013
`
`Roger P. Reid / OMNIPURE FILTER
`COMPANY, INC.
`
`Roger P. Reid / OMNIPURE FILTER
`COMPANY, INC.
`
`Roger P. Reid / OMNIPURE FILTER
`COMPANY, INC.
`
`Roger P. Reid / OMNIPURE FILTER
`COMPANY, INC.
`
`Roger P. Reid / OMNIPURE FILTER
`COMPANY, INC.
`
`Roger P. Reid / OMNIPURE FILTER
`COMPANY, INC.
`
`

`

`
`
`Country
`
`Number
`
`Title
`
`US
`
`US
`
`US
`US
`
`US
`US
`US
`
`US
`
`US
`
`US
`
`US
`
`US
`
`US
`
`20110203985
`
`5744030
`
`9,469,551 B2
`2017/0259196 A1
`
`8,845,896 B2
`2013/0068682 A1
`2015/0183672
`
`2009/0236271 A1
`
`7,540,956 B1
`
`5,354,464
`
`10,226,722 B1
`
`9,056,269 B2
`
`8,177,971 B2
`
`Keyed System for
`Connection of Filter
`Cartridge to Filter Holder
`Keyed System for
`Connection of Filter
`Cartridge to Filter Holder
`Filter Cartridge
`Modular Filtration
`Platform
`Water Filter System
`Water Filter System
`Water Treatment Systems
`and Methods
`Modular Drinking Water
`Filtration System with
`Locking Arrangement to
`Assure Filter Cartridge
`Compatibility
`Modular Drinking Water
`Filtration System with
`Removable and
`Replaceable RO Spindle
`Multi-Port Connecting
`Device
`Overpressure Leak
`Detection Lug
`Hot Detachable and
`Replaceable Water Filter
`Assembly
`Filter Assembly
`
`- 11 -
`
`Issue /
`Publication
`Date
`8/25/2011
`
`4/28/1998
`
`10/18/2016
`09/14/2017
`
`09/30/2014
`03/21/2013
`07/02/2015
`
`Patentee Name(s)
`
`Roger P. Reid / OMNIPURE FILTER
`COMPANY, INC.
`
`Roger P. Reid / OMNIPURE FILTER
`COMPANY, INC.
`
`KX Technologies LLC
`KX Technologies LLC
`
`Whirlpool Corporation
`Whirlpool Corporation
`NuvoH2O, LLC
`
`09/24/2009
`
`Pentair Filtration, Inc.
`
`06/02/2009
`
`Pentair Filtration, Inc.
`
`10/11/1994
`
`Water Factory Systems
`
`03/12/2019
`
`Michael T. Baird
`
`06/16/2015
`
`Ningbo Hidrotek Co., Ltd.
`
`05/15/2012
`
`Parker Hannifin Limited
`
`

`

`
`
`Country
`
`Number
`
`Title
`
`US
`US
`
`US
`US
`US
`US
`
`US
`
`US
`US
`
`US
`US
`
`US
`
`US
`
`US
`
`US
`
`8,413,818 B1
`9,713,781 B2
`
`9,993,757 B2
`10,035,089 B2
`10,357,727 B2
`10,967,310 B2
`
`2014/0144824 A1
`
`5,826,854 A
`5,914,037 A
`
`8,097,156 B2
`8,398,853 B2
`
`9,433,881 B2
`
`9,487,414 B2
`
`9,511,314 B2
`
`9,662,598 B2
`
`Filter Unit
`Liquid Filtration Systems,
`Components, And
`Methods
`Filter Cartridge Assembly 06/12/2018
`Filtration System
`07/31/2018
`Water Filter
`07/23/2019
`Liquid Filter Assemblies;
`04/06/2021
`Features; Components;
`And, Methods
`Sealing Apparatus for A
`Water Filter Canister
`Fluid Routing System
`Filter Device for A Water
`Filter
`Fluid Filtration System
`Filter Assembly, Valve
`Assembly, And Water
`Purifying System Having
`the Same
`Liquid Filter Assembly;
`And, Methods
`Water Filter Device and
`Refrigerator Having the
`Same
`Canister Filter System
`with Drain That
`Cooperates with Filter
`Element
`Filters
`
`Issue /
`Publication
`Date
`04/09/2013
`07/25/2017
`
`05/29/2014
`
`10/27/1998
`06/22/1999
`
`01/17/2012
`03/19/2013
`
`09/06/2016
`
`11/08/2016
`
`12/06/2016
`
`05/30/2017
`
`- 12 -
`
`Patentee Name(s)
`
`Whirlpool Corporation
`Aquasana, Inc.
`
`Microfilter Co., Ltd.
`KX Technologies LLC
`Hong Kong Ecoaqua Co., Ltd.
`Donaldson Company, Inc.
`
`General Electric Company
`
`Amana Refrigeration, Inc.
`Chuan Da Enterprise Co. Ltd.
`
`3M Innovative Properties Company
`Samsung Electronics Co., Ltd.
`
`Donaldson Company, Inc.
`
`Samsung Electronics Co., Ltd.
`
`Caterpillar Inc.; Donaldson Company, Inc.;
`Advanced Filtration Systems, Inc.
`
`Icon Technology Systems Limited
`
`

`

`
`
`Country
`
`Number
`
`Title
`
`US
`
`US
`
`US
`US
`US
`US
`
`US
`US
`
`US
`US
`
`US
`US
`
`US
`
`US
`
`US
`
`US
`
`10,112,859 B2
`
`10,173,155 B2
`
`10,653,985 B2
`D599,880 S
`6,458,269 B1
`7,147,773 B2
`
`9,272,235 B2
`9,776,116 B2
`
`10,190,817 B2
`11,033,842 B2
`
`11,185,804 B2
`8,888,998
`
`2007/0144953
`
`2006/0243652 A1
`
`7,506,666
`
`2011/0120928 A1
`
`Modular Fluid
`Purification System and
`Components Thereof
`Water Filter Assembly
`and A System for
`Detecting Liquid
`Water Filter System
`Filter Cartridge
`Keyed Filter Assembly
`Refrigerator with Treated
`Water
`Filter Apparatus
`Liquid Filter, Assembly,
`System, And Methods
`Refrigerator
`Filter Insert for A Filter
`Having A Filter Bypass
`Valve, And A Method of
`Using the Filter Insert
`Latch Reset Filter Unit
`Bypass Valve for Water
`Filter System
`Bypass Valve with
`Blending Feature
`Anti-Drip Ring and Drip
`Seal
`Anti-Drip Ring and Drip
`Seal
`Easy Change Filter
`Assembly for Reverse
`
`- 13 -
`
`Issue /
`Publication
`Date
`10/30/2018
`
`Patentee Name(s)
`
`Selecto, Inc.
`
`01/08/2019
`
`Haier US Appliance Solutions, Inc.
`
`05/19/2020
`09/08/2009
`10/01/2002
`12/12/2006
`
`03/01/2016
`10/03/2017
`
`01/29/2019
`06/15/2021
`
`Whirlpool Corporation
`Envirogard Products Limited
`Cuno Incorporated
`Whirlpool Corporation
`
`SMC Kabushiki Kaisha
`Donaldson Company, Inc.
`
`Samsung Electronics Co., Ltd.
`Hengst SE
`
`11/30/2021
`11/18/2014
`
`3M Innovative Properties Company
`Paragon Water Systems, Inc.
`
`06/15/2010
`
`Aquion Partners Limited Partnership
`
`11/02/2006
`
`3M Innovative Properties Company
`
`03/24/2009
`
`3M Innovative Properties Company
`
`05/26/2011
`
`WATTS WATER TECHNOLOGIES, INC.
`
`

`

`
`
`Country
`
`Number
`
`Title
`
`US
`US
`
`US
`US
`US
`
`US
`WIPO
`
`WIPO
`
`WIPO
`
`WIPO
`
`WIPO
`
`WIPO
`
`WIPO
`
`2014/0144173 A1
`4,645,601
`
`7,763,170
`8,356,716
`8,746,003
`
`8,097,157
`WO 01/91881 A2
`
`WO 2013/039194
`A1
`WO 2014/171603
`A1
`WO 2015/167248
`A1
`WO 2018/104416
`A1
`
`WO 2014/056161
`A1
`WO 2014/117426
`A1
`
`Osmosis Membrane Water
`Purification System
`Water Filter
`Quick Change Reverse
`Osmosis Assembly
`Keyed Filter Assembly
`Filter Unit
`Water Filter Assembly
`and Refrigerator and
`Water Purifier Having the
`Same
`Fluid Filtration System
`Extension and Locking
`Assembly for Dripless
`Element and Container
`Therefore
`Water Purifier Cartridge
`
`Tube-Fitting Structure for
`Pure-Water Line
`Water Filter Assembly
`
`End Disk, Filter Element
`with End Disk, and Filter
`System
`Filter With Rotary Valve
`
`Issue /
`Publication
`Date
`
`Patentee Name(s)
`
`05/29/2014
`02/24/1987
`
`07/27/2010
`01/22/2013
`06/10/2014
`
`General Electric Company
`Everpure, Inc.
`
`3M Innovative Properties Company
`Whirlpool Corporation
`WINIMAX Co., Ltd.
`
`01/17/2012
`12/06/2001
`
`3M Innovative Properties Company
`Parker-Hannifin Corporation
`
`03/21/2013
`
`MITSUBISHI RAYON CLEANSUI CO
`
`10/23/2014
`
`JOUNG WHI-DONG
`
`11/05/2015
`
`MCM Co., Ltd.
`
`06/14/2018
`
`MANN+HUMMEL GMBH
`
`04/17/2014
`
`Brentorma Electricals Shenzhen Co. Ltd.
`
`Composite Filter Element
`and Adapter Thereof
`
`07/08/2014
`
`Zhejiang Qinyuan Water Purifier Science
`and Technology Co. Ltd.
`
`- 14 -
`
`

`

`
`
`Country
`
`Number
`
`Title
`
`WIPO
`
`WIPO
`WIPO
`
`WIPO
`
`WO 2010/056711
`A2
`WO 2012/086892
`WO 2010/061171
`A1
`WO 2010/126198
`A1
`
`Filtration Cartridge
`Centering Device
`Filter Unit
`Filter Assemblies
`
`Purifier Filter Assembly
`Having Bypass Function
`for Flow Path
`
`Issue /
`Publication
`Date
`05/20/2010
`
`Patentee Name(s)
`
`Cummins Filtration IP, Inc.
`
`06/28/2012
`06/03/2010
`
`Won Jin Chul
`Fairey Industrial Ceramics Ltd. (?)
`
`11/04/2010
`
`Microfilter/Kim Min-Won
`
`
`II. Prior Art Printed Publications (Non-Patent)
`
`
`Brand Name / Model Name /
`Number
`3M Aqua-Pure filters, including AP500,
`AP517, AP-DW85, AP-DWS750, AP-
`DWS250, AP11, AP 11T, and AP101
`and APA101T
`3M
`Head Assembly #68567-02
`
`1 In addition to the products here, Respondents may also rely on any documents showing the functionality and prior sale/offer for sale
`dates of the products. Further, the information listed in the table is based on Respondents’ investigation to date. Respondents explicitly
`reserve the right to update the information below as discovery continues.
`
`Date of Offer or Sale
`
`2015 or before
`Discovery ongoing
`
`
`2015 or before
`Discovery ongoing
`
`Date and Location of
`Offer or Sale
`United States
`
`Name and Address of any
`Corroborating Witness(es)
`Employee(s) of 3M / 3M Aqua
`Pure
`
`United States
`
`Employee(s) of 3M
`
`- 15 -
`
`Author(s)
`Watts Premier
`
`Date
`3/11/2009
`
`Relevant Page Numbers
`See, e.g., Pages 1 and 9
`
`Title
`Installation, Operation and
`Maintenance Manual – Model:
`Filter-Pure UF3
`
`
`III. Prior Sales / Offers for Sales1
`
`
`

`

`
`
`3M CUNO
`BREW125-MS Valve-in-Head Filter
`System # 5616002
`3M CUNO
`ICE140-S Valve-in-Head Water Filter
`System
`3M
`AP101T Filter Housing
`
`3M
`CFS01T Filter Housing
`W.F. S.r.l.
`JET
`
`W.F. S.r.l.
`JUMBO SAN / JUMBO PP
`
`Omnipure
`VH-1/4” Filter Head with Valve
`
`Omnipure
`ELF Series, including Filter Head and
`Bracket
`Omnipure
`E Series
`
`Culligan
`RO System
`
`Culligan
`RO System
`
`
`2015 or before
`Discovery ongoing
`
`2015 or before
`Discovery ongoing
`
`2015 or before
`Discovery ongoing
`
`2015 or before
`Discovery ongoing
`2015 or before
`Discovery ongoing
`
`2015 or before
`Discovery ongoing
`
`2015 or before
`Discovery ongoing
`
`2015 or before
`Discovery ongoing
`
`2015 or before
`Discovery ongoing
`
`2015 or before
`Discovery ongoing
`
`2015 or before
`Discovery ongoing
`
`
`- 16 -
`
`United States
`
`Employee(s) of 3M / 3M CUNO
`
`United States
`
`Employee(s) of 3M / 3M CUNO
`
`United States
`
`Employee(s) of 3M
`
`United States
`
`United States
`Italy
`
`United States
`Italy
`
`United States
`
`
`United States
`
`
`United States
`
`
`United States
`
`
`United States
`
`
`Employee(s) of 3M
`
`Employee(s) of W.F. S.r.l.
`
`Employee(s) of W.F. S.r.l.
`
`Employee(s) of Omnipure
`
`
`Employee(s) of Omnipure
`
`
`Employee(s) of Omnipure
`
`
`Employee(s) of Culligan
`
`Employee(s) of Culligan
`
`

`

`
`
`Watts Pure H2O line of products,
`including H2O-12, H2O-13, H2O-14,
`H2O-15, H2O-F16 and H2O-F17
`Watts WQ line of products, including
`WQCABC, WQCCC, WQCCHFC,
`WQCGAC, WQCM11-50, WQCM13-
`100, and WQCSC
`Watts Pure Water line of products,
`including PWFPK4KC4
`
`Watts QC line of products
`
`Watts QT line of products
`
`Watts Premier
`WP531130 Pure UF-3 Three-Stage
`Water Filtration System with Top Mount
`Twist Faucet, Brushed Nickel
`Watts Premier
`531417 RO Pure Plus (VOC) Reverse
`Osmosis w/Brushed Nickel, Top-Mount
`Twist Faucet
`PICOGRAM CO., LTD.
`Commercial filters; residential filters.
`
`PICOGRAM CO., LTD.
`PUREAL Filters, including PUREAL
`Replacement Filters, PUREAL Premium
`Replacement Filters, and PUREAL
`Sterilizing Filter Sets.
`
`2015 or before
`Discovery ongoing
`
`2015 or before
`Discovery ongoing
`
`
`2015 or before
`Discovery ongoing
`
`2015 or before
`Discovery ongoing
`2015 or before
`Discovery ongoing
`
`March 2009 or before
`Discovery ongoing
`
`
`2015 or before
`Discovery ongoing
`
`
`2015 or before
`Discovery ongoing
`
`2015 or before
`Discovery ongoing
`
`
`- 17 -
`
`United States
`
`
`United States
`
`
`United States
`
`
`United States
`
`United States
`
`
`United States
`
`
`Employee(s) of Watts
`
`Employee(s) of Watts
`
`Employee(s) of Watts
`
`Employee(s) of Watts
`
`Employee(s) of Watts
`
`Employee(s) of Watts / Watts
`Premier
`
`United States
`
`
`Employee(s) of Watts / Watts
`Premier
`
`United States
`
`
`United States
`
`
`Employee(s) of PICOGRAM CO.,
`LTD.
`
`Employee(s) of PICOGRAM CO.,
`LTD.
`
`

`

`
`
`Bosch Refrigerators (with water
`purifying system, including head) and
`filter products
`Bosch 12004484,
`Bosch 644845/EFF-6025A,
`Bosch 540565/EFF-6026A,
`Bosch 00740