UNITED STATES PATENT AND TRADEMARK OFFICE
`________________________
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`________________________
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`
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`NESTLÉ USA, INC.
`
`Petitioner
`
`v.
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`STEUBEN FOODS, INC.
`
`Patent Owner
`
`
`________________________
`
`
`IPR2015-00249
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`U.S. Patent No. 6,481,468
`________________________
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`
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`PATENT OWNER’S UPDATED EXHIBIT LIST
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`Patent Owner’s Updated Exhibit List
`Case IPR2015-00249
`U.S. Patent No. 6,481,468
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`EXHIBIT LIST
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`Description
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`Exhibit
`No.
`2001 Nestlé and GEA Line 8 Agreement (Parties and Board Only)
`2002 April 1, 2014 GEA Hearing Transcript
`2003 PR Newswire Article – “Nestlé Launches State-of-the-Art Factory and
`Beverage Distribution Center in Anderson, Indiana”
`www.prnewswire.com (last accessed November 13, 2014)
`2004 Nestlé USA places an order for an aseptic filling line of GEA
`(http://www.gea.com/en/news/20081030-00256.html) (last accessed
`January 27, 2015)
`Intentionally Left Blank
`2005
`2006 Cold aseptic filling technology for teas and infusions
`(www.http://www.procomac.it/procomac/cmsdoc.nsf/WebDoc/ndkw73e
`hdc) (last accessed January 27, 2015)
`2007 Complete bottling lines for Water in PET bottles
`(http://www.procomac.it/procomac/cmsdoc.nsf/WebDoc/ndkw73eh5q)
`(last accessed January 27, 2015)
`2008 Nestlé milk factory shake-up aims to end drain on water resources,
`Financial Times, October 29, 2014 (http://www.ft.com/cms/s/0/01fbfc86-
`5a21-11e4-be86- 00144feab7de.html) (last accessed January 27, 2015)
`2009 GEA Process Engineering receives an order of EUR 9 million from
`Nestlé (http://www.niro.com/niro/cmsdoc.nsf/webdoc/webb7ude4j) (last
`accessed January 27, 2015)
`2010 GEA TDS Constructs First Fully Automatic Milk Processing Plant In
`Pakistan, (http://www.geatds.com/tds/cmsdoc.nsf/webdoc/ndkw74lnv2)
`(last accessed February 5,2015)
`2011 GEA Group – Supervisory Board
`(http://www.gea.com/en/unternehmen/aufsichtsrat.html) (last accessed
`January 27, 2015)
`2012 Nestlé Plant Uses Indiana Milk to Produce Top Products (http://my-
`indiana-home.com/farm/nestle-plant-uses-indiana-milk-to-produce-top-
`products/)
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`2
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`Patent Owner’s Updated Exhibit List
`Case IPR2015-00249
`U.S. Patent No. 6,481,468
`2013 Nestlé Nesquick Strawberry Low Fat Milk, 14fl oz (www.walmart.com)
`(last accessed November 13, 2014)
`2014 Letter from Daniel Moar to Magistrate Judge McCarthy dated May 27,
`2014
`2015 Defendants’ Conditional Agreement to a Limited Estoppel if the Court
`Grants GEA’s Motion to Stay filed by Nestle USA, Inc. in Civil Action
`No. 1:13-cv-00892 in the United States District Court for the Western
`District of New York
`2016 Complaint filed against Nestlé USA, Inc. in the United States Court
`District Court for the Western District of New York in Civil Action No.
`1:13-cv-00892
`2017 Complaint in Civil Action No. 12-cv-904 in the United States District
`Court for the Western District of New York
`2018 Ecospin
`2019 GEA Notice of Appeal filed February 24, 2015
`2020 Non-Confidential Petition for Writ of Mandamus dated February 18,
`2015
`2021 Notice Letter to Nestlé USA, Inc. dated October 4, 2012
`2022 Nestlé USA, Inc. Letter Responding To Notice Letter dated October 9,
`2012
`2023 Summons issued to GEA Process Engineering, Inc. in Civil Action
`No. 12-cv-904 in the United States District Court for the Western
`District of New York
`2024 Email from Thomas Fisher to Virginia Carron dated September 4, 2013
`2025 Email from Virginia Carron to Magistrate Judge McCarthy dated
`January 6, 2015
`2026 Nestlé USA, Inc.’s Submission In Support of Continuing Stay filed by
`Nestlé USA, Inc. in Civil Action No. 1:13-cv-00892 in the United States
`District Court for the Western District of New York
`Jairus R.D. David, “Handbook of Aseptic Processing and Packaging”
`IFTPS, “Guidelines for Microbiological Validation of the Sterilization
`of Aseptic Filling Machines and Packages, Including Container and
`Closures,” Document G.005.V1
`
`2027
`2028
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`Patent Owner’s Updated Exhibit List
`Case IPR2015-00249
`U.S. Patent No. 6,481,468
`2029 Dane T. Bernard, “Establishing the Aseptic Processing and Packaging
`Operation,” Chapter 8
`2030 D.A. Joyce, “Microbiological Aspects of Aseptic Processing and
`Packaging”
`2031 Wilfredo Ocasio, IFTPS ’09, San Antonio, TX, “Recent Developments
`in Microbial Validation of Aseptic Packaging Systems: An US Process
`Authority Perspective
`2032 Declaration of Andre Sharon filed as Exhibit 2025 in IPR2014-01235
`2033
`Johannes Kramer, “Food Preservation”
`2034 H. Reuter, “Processes for Packaging Material Sterilization”
`2035 Transcript of Deposition of Dennis R. Heldman, February 3, 2015
`2036 Transcript of Deposition of Stephen H. Spinak, May 7, 2014
`2037 Bosch, “Aseptically operation filling and closing lines for bottles, jars
`and wide-mouth containers of glass”
`John D. Floros, “Aseptic Packaging Technology”
`2038
`2039 Aseptic Filling of Low Acid Beverage Lines to Fully Comply with FDA
`Regulation, Aseptipak 2006
`2040 Affidavit of Janelle Oxford dated February 14, 2013
`2041 Complaint filed in Civil Action No. 09-c-339 in the United States
`District for the Eastern District of Wisconsin
`2042 Higgins, The Next Best Thing, Food Engineering (2002)
`2043 Declaration of Dr. Dennis R. Heldman signed October 13, 2014
`2044
`IPR Petition of U.S. Patent No. 6,475,435 filed October 31, 2014
`2045 Transcript of Teleconference on January 20, 2015 in IPR2015-00195
`2046
`Jairus R.D. David, “Aseptic Processing and Packaging of Food”
`2047 Guide to Inspections of Aseptic Processing and Packaging for the
`Food Industry, February 2001
`2048 Food and Drug Administration, HHS
`2049 Richard L. Friedman, “Design of Barrier Isolators for Aseptic
`Processing: A GMP Perspective”
`2050 Fisher email dated January 2014
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`Patent Owner’s Updated Exhibit List
`Case IPR2015-00249
`U.S. Patent No. 6,481,468
`2051 Nestlé and GEA Line 8 Agreement (Parties and Board Only)
`2052 Aseptic Production and Filling Methods in the Pharmaceutical and
`Foodstuff Industries, Pharma Technologie Journal
`2053 What is a mechanical engineer?
`2054 Radl et al., “The Engineering of Hydrogen Peroxide Decontamination
`Systems,” International Society for Pharmaceutical Engineering 2009
`Intentionally Left Blank
`2055
`2056 Declaration of N. Buchner (dated 12/19/11) (filed in Reexam Control No.
`90/011,072)
`2057 Transcript of Deposition of Dennis R. Heldman on July 22, 2015
`2058 Cerf, O., “Tailing of Survival Curves of Bacterial Spores,” Journal of
`Applied Bacteriology 1977
`2059 Cerf, O., et al., “Diversity in the Resistance of Bacillus Spores to
`Hydrogen Peroxide”
`2060 Hilgren, J., et al., “Susceptibilities of Bacillus subtilis, Bacillus cereus,
`and Avirulent Bacillus anthracis Spores to Liquid Biocides,” Journal of
`Food Protection 2009
`2061 Declaration of Dr. Andre Sharon
`2062 U.S. Food and Drug Administration, CFR - Code of Federal
`Regulations Title 21,
`http://www.accessdata.fda.gov/scripts/cdrh/cfdocs/cfcfr/
`CFRSearch.cfm?fr=113.40
`2063 Declaration of Dr. Cullen Buie, Ph.D. (originally filed as Exhibit 2026
`in IPR2014-01235)
`2064 GEA Procomac Bottling Plants,
`http://www.niroinc.com/filling_bottling/filling_bottling_plants.asp
`2065 Nestle USA, Inc. Business Entity Detail, California Secretary of
`State, http://kepler.sos.ca.gov
`Intentionally Left Blank
`2066
`2067 Email from Tom Jenkins to Greg Gardella dated December 11, 2014
`2068 Petitioner’s Reply filed May 22, 2015 in IPR2014-01235 (Parties
`and Board Only)
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`Patent Owner’s Updated Exhibit List
`Case IPR2015-00249
`U.S. Patent No. 6,481,468
`2069 Board Decision Denying Institution of Inter Partes Review dated May
`4, 2015 in IPR2015˗00094 (Paper No. 14)
`2070 December 22, 2015 Telephone Conference with the Board
`2071 Patent Owner’s Second [Proposed] Discovery Request to Petitioner
`2072 GEA Quotation (Parties and Board Only)
`2073 Nestle Technical Specifications (Parties and Board Only)
`2074 GEA Website – http://www.gea.com/global/en/index.jsp
`2075 Transcript of the June 20, 2018 Telephone Conference with the Board
`2076 Transcript of the August 22, 2018 Telephone Conference with the Board
`2077 PeroxyChem, LLC Food-Contact Notification No. 1857, December 20,
`2017
`2078 44 Fed. Reg. 54778, September 21, 1979, Notices, Docket No. 79F-0319
`2079 46 FR 2341-01, Indirect Food Additives: Adjuvants, Production Aids,
`and Sanitizers; Hydrogen Peroxide, January 9, 1981
`2080 Corrected Petition filed August 15, 2014 in IPR2014-01235 (Paper No.
`7)
`2081 Redacted Final Written Decision dated December 21, 2015 in IPR014-
`01235
`2082 Report and Recommendation re Motion for Summary Judgment of
`Invalidity for Lack of Written Description in Civil Action No. 1:10-cv-
`00781-EAW-JJM, Steuben Foods, Inc., v. Oystar Group, et al., Docket
`No. 424, dated October 1, 2018
`Joint Claim Construction and Prehearing Statement filed in Civil Action
`No. 1:13-cv-00892-EAW-JJM, Steuben Foods, Inc. v. Nestlé USA Inc.,
`Docket No. 246, filed on November 22, 2016
`2084 March 27, 2017, Deposition Transcript of Kevin M. Keener, Ph.D., taken
`in Civil Action No. 1:12-cv-00904-EAW-JJM, Steuben Foods, Inc. v.
`GEA Process Engineering Inc., d/b/a GEA Procmac and GEA Procmac
`S.p.A.
`2085 Public Version of Declaration of Dr. Sudhir K. Sastry in Civil Action No.
`1:13-cv-00892-EAW-JJM, Steuben Foods, Inc., v. Oystar Group, et al.,
`Docket No. 299-1, October 26, 2017
`2086 Reply Brief of Appellant in CAFC Appeal Case No. 2017-1193, Nestlé
`USA, Docket No. 40, June 30, 2017
`2087 Surreply Markman Brief of Defendant Nestlé USA, Inc. in Civil Action
`6
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`2083
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`Patent Owner’s Updated Exhibit List
`Case IPR2015-00249
`U.S. Patent No. 6,481,468
`No. 1:13-cv-00892-EAW-JJM, Steuben Foods, Inc. v. Nestlé USA Inc.,
`Docket No. 292, September 22, 2017
`2088 GEA Defendants’ Surreply Markman Brief In Response To Steuben’s
`Reply Markman Brief [D.E. 442] in Civil Action No. 1:12-cv-00904-
`EAW-JJM, Steuben Foods, Inc. v. Oystar Group, et a., Docket No. 453,
`September 22, 2017
`2089 Deposition Transcripts of Kenneth Ray Swartzel, Ph. D. in Civil Action
`No. 1:10-cv-00781-EAW-JJM, Steuben Foods, Inc., v. Oystar Group, et
`al., November 3, 2017
`2090 Transcript Of Proceedings Before The Honorable Jeremiah J. Mccarthy
`United States Magistrate Judge in Civil Action No. 1:10-cv-00781-EAW-
`JJM, Steuben Foods, Inc., v. Oystar Group, et al., September 19, 2018
`2091 Deposition Transcripts of Dennis R. Heldman, Ph. D. in IPR2015-00249,
`dated September 25, 2018
`2092 Declaration of E. Nelson (dated 04/18/16) (filed in Reexam Control No.
`90/013,601)
`2093 Declaration of S. Sastry (dated 04/18/16) (filed in Reexam Control No.
`90/013,601)
`2094 Declaration of A. Sharon (dated 11/14/16) (filed in Reexam Control No.
`90/001,452)
`2095 Portion of Joint Appendix filed in Appeal No. 2016-1750 in the Court of
`Appeals for the Federal Circuit, Nestlé USA, Inc. v. Steuben Foods, Inc.,
`Docket No. 43
`2096 Transcript of Oral Argument from Appeal No. 2016-1750 in the Court of
`Appeals for the Federal Circuit, Nestlé USA, Inc. v. Steuben Foods, Inc.
`2097 Declaration of Mark Mansour, Esq.
`2098 Second Declaration of Dr. Andre Sharon
`2099 Transcript of Oral argument in Appeal No. 2017-1193 in the Court of
`Appeals for the Federal Circuit, Nestlé USA, Inc. v. Steuben Foods, Inc.
`2100 Declaration of S. Sastry (dated 09/15/16) (filed in Reexam Control No.
`90/013,601)
`2101 Declaration of S. Sastry (dated 08/24/16) (filed in Reexam Control No.
`90/013,601)
`2102 Redacted Patent Owner’s Response filed April 8, 2015 in IPR2014-
`01235 (Paper No. 36)
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`Date: October 8, 2018
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`Patent Owner’s Updated Exhibit List
`Case IPR2015-00249
`U.S. Patent No. 6,481,468
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`Respectfully submitted,
`/Thomas J. Fisher/
`Thomas J. Fisher
`Reg. No. 44,681
`COZEN O’CONNOR
`1200 19th Street, N.W.
`Washington, DC 20036
`Tel. (202) 471-3430
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`Patent Owner’s Updated Exhibit List
`Case IPR2015-00249
`U.S. Patent No. 6,481,468
`CERTIFICATE OF SERVICE
`
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`Pursuant to 37 C.F.R. § 42.6(e), the undersigned certifies service of the
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`PATENT OWNER’S UPDATED EXHIBIT LIST on the counsel of record for
`
`Petitioner by filing this document through the PTAB E2E System as well as delivering
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`a copy via electronic mail to the following addresses:
`
`Thomas H. Jenkins
`tom.jenkins@finnegan.com
`
`Virginia Carron
`virginia.carron@finnegan.com
`
`Tyler M. Akagi
`tyler.akagi@finnegan.com
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`/Thomas J. Fisher/
`Thomas J. Fisher (Reg. No. 44,681)
`Counsel for Patent Owner
`Steuben Foods, Inc.
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`Date: October 8, 2018
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