CASE 0:16-cv-02891-WMW-SER Document 40 Filed 11/11/16 Page 1 of 33
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`IN THE UNITED STATES DISTRICT COURT
`FOR THE DISTRICT OF MINNESOTA
`
`Civil Action No.
`0:16-cv-02891-WMW-SER
`
`JURY TRIAL DEMANDED
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`FIRST AMENDED COMPLAINT
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`Regents of the University of Minnesota (“the University”), by and through its
`
`
`REGENTS OF THE UNIVERSITY OF
`MINNESOTA,
` Plaintiff,
`vs.
`
`LSI CORPORATION and AVAGO
`TECHNOLOGIES U.S. INC.,
` Defendants.
`
`
`
`
`
`
`
`
`
`undersigned counsel, hereby files this First Amended Complaint against LSI Corporation
`
`and Avago Technologies U.S. Inc. (collectively, “Defendants”), alleging as follows:
`
`NATURE OF THE ACTION
`
`1.
`
`This action arises under the patent laws of the United States, 35 U.S.C.
`
`§§ 1, et seq., from Defendants’ willful direct and indirect infringement of the method
`claims of United States Patent No. 5,859,601 (“the ’601 Patent”).
`
`2.
`
`The University has long supported research and development of innovative
`
`data storage technologies. With this support, Jaekyun Moon, a former University
`
`professor, and Barrett J. Brickner, a Ph.D. student, developed the invention described in
`
`the ’601 Patent during their tenure at the University and assigned the ’601 Patent to the
`
`University. The invention generally claims a method for encoding data to be written to a
`
`magnetic disk in a hard disk drive (“HDD”) that increases the accuracy with which the
`
`LSI Corp. Exhibit 1003
`Page 1
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`
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`IN THE UNITED STATES DISTRICT COURT
`FOR THE DISTRICT OF MINNESOTA
`
`Civil Action No.
`0:16-cv-02891-WMW-SER
`
`JURY TRIAL DEMANDED
`
`
`
`
`
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`
`
`FIRST AMENDED COMPLAINT
`
`Regents of the University of Minnesota (“the University”), by and through its
`
`
`REGENTS OF THE UNIVERSITY OF
`MINNESOTA,
` Plaintiff,
`vs.
`
`LSI CORPORATION and AVAGO
`TECHNOLOGIES U.S. INC.,
` Defendants.
`
`
`
`
`
`
`
`
`
`undersigned counsel, hereby files this First Amended Complaint against LSI Corporation
`
`and Avago Technologies U.S. Inc. (collectively, “Defendants”), alleging as follows:
`
`NATURE OF THE ACTION
`
`1.
`
`This action arises under the patent laws of the United States, 35 U.S.C.
`
`§§ 1, et seq., from Defendants’ willful direct and indirect infringement of the method
`claims of United States Patent No. 5,859,601 (“the ’601 Patent”).
`
`2.
`
`The University has long supported research and development of innovative
`
`data storage technologies. With this support, Jaekyun Moon, a former University
`
`professor, and Barrett J. Brickner, a Ph.D. student, developed the invention described in
`
`the ’601 Patent during their tenure at the University and assigned the ’601 Patent to the
`
`University. The invention generally claims a method for encoding data to be written to a
`
`magnetic disk in a hard disk drive (“HDD”) that increases the accuracy with which the
`
`LSI Corp. Exhibit 1003
`Page 1
`
`
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`CASE 0:16-cv-02891-WMW-SER Document 40 Filed 11/11/16 Page 2 of 33
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`data are subsequently read off of those magnetic disks, thereby substantially improving
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`the performance of the HDD and allowing for increased data density.
`
`3.
`
`In the United States, Defendants knowingly designed, developed, tested,
`
`and adopted this invention and incorporated it into HDD chips sold by them in the United
`
`States, thereby gaining a competitive advantage through the resulting improvement in
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`HDD performance. Rather than compensate the University for this use of University
`
`technology, Defendants have instead willfully infringed the ’601 Patent.
`
`PARTIES
`
`4.
`
`The University is a public institution of higher education created by charter
`
`and perpetuated by the Constitution of the State of Minnesota, Article XIII, Section 3.
`
`The University has its principal place of business in Minneapolis, Minnesota.
`
`5.
`
`The University is Minnesota’s flagship research university, with about
`
`30,000 undergraduate students, 16,000 graduate and professional students, 400,000
`
`alumni, and 4,000 faculty.
`
`6.
`
`The University has a long history of innovation, teaching, outreach, and
`
`public service. The University supports and facilitates a wide range of research that
`
`directly benefits the public both in and beyond the State of Minnesota, including
`
`educators, researchers, businesses, employees, and consumers. In fact, from 2009 to
`
`2015, inventions by University researchers generated more than $320 million in revenue
`
`for the University.
`
`7.
`
`Such research requires substantial funding, which the University obtains
`
`from both public and private sources. In 2015, for example, University faculty and staff
`
`LSI Corp. Exhibit 1003
`Page 2
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`
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`CASE 0:16-cv-02891-WMW-SER Document 40 Filed 11/11/16 Page 3 of 33
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`were awarded over $700 million in research funds. Researchers in the College of Science
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`and Engineering won over $140 million of those funds. The University consistently
`
`ranks among the top U.S. public universities in its amount of research spending.
`
`8.
`
`To maximize the public benefit that its research generates, the University in
`
`some instances patents and/or commercializes inventions generated by its researchers. It
`
`then reinvests a portion of those profits back into its education and research programs in
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`accordance with its mission of serving the people of the State of Minnesota.
`
`9.
`
`Over the past 20 years, the United States Patent and Trademark Office
`
`(“USPTO”) has awarded hundreds of patents to the University, including the ’601 Patent,
`
`thereby recognizing the innovative technologies generated by the University’s
`
`researchers.
`
`10. Defendant LSI Corporation (“LSI”) is a Delaware corporation with a
`
`principal place of business at 1320 Ridder Park Drive, San Jose, California 95131.
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`11. During certain times relevant to this action, LSI maintained offices in this
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`judicial district, including in Rochester, Mendota Heights, and Bloomington, Minnesota.
`
`12. Defendant Avago Technologies U.S. Inc. (“Avago U.S.”) is a Delaware
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`corporation with a principal place of business at 1320 Ridder Park Drive, San Jose,
`
`California 95131.
`
`13. Avago U.S. or one of its affiliate companies maintains a design office with
`
`over 100 employees in this judicial district.
`
`LSI Corp. Exhibit 1003
`Page 3
`
`
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`CASE 0:16-cv-02891-WMW-SER Document 40 Filed 11/11/16 Page 4 of 33
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`14.
`
`LSI and Avago U.S. are both wholly owned indirect subsidiaries of holding
`
`company Avago Technologies Limited, which is in turn a wholly owned indirect
`
`subsidiary of holding company Broadcom Limited.
`
`15.
`
`LSI was formed as a result of the merger of LSI Logic Corporation and
`
`Agere Systems Inc. (“Agere”) in 2007. Avago Technologies Limited then acquired LSI
`
`in 2014. The ultimate parent company, Broadcom Limited, was formed on February 1,
`
`2016, as a result of a merger between Avago Technologies Limited and Broadcom
`
`Corporation. As of November 1, 2015, Avago Technologies Limited and its subsidiaries
`
`employed about 8,200 persons globally, with 56% of the workforce located in North
`
`America.
`
`16.
`
`LSI designs, develops, and supplies storage and networking integrated
`
`circuits, including HDD chips (“HDD Chips”). HDD Chips include but are not limited to
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`HDD controller systems-on-a-chip (“SOCs”) and/or stand-alone read channel chips, both
`
`of which are sold under the TrueStore tradename.
`
`17.
`
`Since March 2015, Avago U.S. has handled the U.S. sale and distribution
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`of LSI products, including the product line of SOCs sold under the TrueStore tradename.
`
`18. Defendants have a “direct sales force focused on supporting large OEMs
`
`[original equipment manufacturers]” and also distribute “a substantial portion of []
`
`products through [a] broad distribution network,” including “large global electronic
`
`components distributors.” Exhibit 1 (Avago Technologies Limited 2015 10-K) at 4.
`
`19. U.S. distributors of Defendants’ products include Avnet Electronics
`
`Marketing and Digi-Key. Avnet Electronics Marketing maintains an office in this
`
`LSI Corp. Exhibit 1003
`Page 4
`
`
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`CASE 0:16-cv-02891-WMW-SER Document 40 Filed 11/11/16 Page 5 of 33
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`judicial district, at 2740 American Boulevard West, Suite 150, Bloomington, Minnesota
`
`55431. Digi-Key maintains an office in this judicial district, at 701 Brooks Avenue
`
`South, Thief River Falls, Minnesota 56701.
`
`20. Defendants have provided and currently provide customized HDD Chip
`
`information, data, simulators, and chips incorporating the invention described in the ’601
`
`Patent to customers who manufacture HDDs, including Seagate Technology PLC
`
`(“Seagate”) and HGST, Inc. (“HGST”). Defendants have also provided and currently
`
`provide both Seagate and HGST with know-how regarding the invention of the ’601
`
`Patent and support and instructions to implement and operate the invention of the ’601
`
`Patent.
`
`21.
`
`Seagate maintains facilities in this judicial district, in Bloomington and
`
`Shakopee, Minnesota.
`
`22. HGST maintains a facility in this judicial district, in Rochester, Minnesota.
`
`23.
`
`These Seagate and HGST facilities undertake, among other things, research
`
`and development on HDDs that incorporate Defendants’ HDD Chips, and, in that regard,
`
`Seagate and HGST personnel have worked and currently work with Defendants’
`
`personnel on all manner of HDD technology, including the invention of the ’601 Patent.
`
`24. Defendants locate their field application engineers and design engineers “in
`
`many cases near [their] top customers” to “enhance[] their customer reach and [their]
`
`visibility into new product opportunities and enable[ them] to support [their] customers in
`
`each stage of their product development cycle, from early stages of production design
`
`LSI Corp. Exhibit 1003
`Page 5
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`
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`CASE 0:16-cv-02891-WMW-SER Document 40 Filed 11/11/16 Page 6 of 33
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`through volume manufacturing and future growth.” Exhibit 1 (Avago Technologies
`
`Limited 2015 10-K) at 8.
`
`25. Defendants have “a diversified and well-established base of thousands of
`
`end customers, located throughout the world, which [they] serve through [their] multi-
`
`channel sales and fulfillment system.” Exhibit 1 (Avago Technologies Limited 2015 10-
`
`K) at 4.
`
`26.
`
`Products incorporating Defendants’ HDD Chips that infringe the ’601 Patent when
`
`operated are offered for sale and/or sold at retail stores throughout Minnesota. End users
`
`within this state use those products, which perform the methods claimed in the ’601
`
`Patent millions of times per second when in use.
`
`JURISDICTION AND VENUE
`
`27.
`
`This is an action for patent infringement arising under the patent laws of the
`
`United States, 35 U.S.C. § 271 et seq.
`This Court has subject matter jurisdiction pursuant to 28 U.S.C. §§ 1331,
`28.
`
`1332 and 1338(a).
`
`29.
`
`This Court has personal jurisdiction over Defendants because Defendants
`
`regularly conduct business in the State of Minnesota and this judicial district, either
`
`directly or through agents, including distributors. Defendants have also committed acts
`
`of infringement or contributed to or induced acts of infringement by others in the State of
`
`Minnesota and this judicial district, including working directly with Defendants’
`
`customers located in the state regarding the design, development, testing, and use of the
`
`invention. Defendants have further voluntarily placed infringing products and/or
`
`LSI Corp. Exhibit 1003
`Page 6
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`
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`CASE 0:16-cv-02891-WMW-SER Document 40 Filed 11/11/16 Page 7 of 33
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`components of products into the stream of commerce with the expectation that their
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`products or products incorporating their components would be shipped into, offered for
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`sale in, sold and used in the State of Minnesota and this judicial district.
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`30. As a result, Defendants have intentionally availed themselves of the
`
`privilege of conducting business in this state and district, have purposefully directed
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`activity at this state and district, and have established sufficient minimum contacts with
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`this state and district such that Defendants can reasonably and fairly anticipate being
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`haled into this Court.
`
`31. Venue is proper in this district pursuant to 28 U.S.C. §§ 1400(b) and
`
`1391(b)-(c) because Defendants are subject to personal jurisdiction in, and so reside in,
`
`this district.
`
`A.
`
`Data Storage
`
`FACTUAL BACKGROUND
`
`32. An HDD is a ubiquitous device that stores digital information on one or
`
`more rotating disks, also sometimes referred to as “platters,” that are coated with
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`magnetic material.
`
`33. Data are stored in sequential, individual magnetically coated regions on the
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`disk by means of controlling the direction of magnetization of each individual region.
`
`34. An HDD comprises a read/write device that includes both a write head that
`
`writes the data to the disk and a read head that reads the data once they are written.
`
`35. When user data are to be written to the disk, the data are encoded and then
`
`the encoded data are converted into an analog signal that is sent to the write head. The
`
`LSI Corp. Exhibit 1003
`Page 7
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`
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`CASE 0:16-cv-02891-WMW-SER Document 40 Filed 11/11/16 Page 8 of 33
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`write head records the resulting signal on the magnetic disk by magnetically polarizing
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`the regions on the disk in accordance with the received signal.
`
`36.
`
`Each polarized region on the magnetic recording layer of the disk has a
`
`magnetic polarization that, once written by the write head, is oriented in a particular
`
`direction. The magnetic polarity of these regions can be changed from one direction to
`
`its opposite by the write head in order to write the data to the disk.
`
`37. An HDD also includes a read channel that performs the “immensely tricky
`
`task of converting the analog data signal” generated from the disk of the HDD “into
`
`binary bits.” See www.avagotech.com/products/hard-disk-drives/socs-read-channel.
`38. When adjacent polarized regions are magnetized in opposing directions,
`
`there is a “transition” in the polarity of the regions that is detected by the read channel of
`
`the HDD when reading the data.
`
`39. When reading the data from the disk, the read head hovers over the disk as
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`the disk rotates below it. The read head senses the magnetic fields from the magnetic
`
`medium and converts the sensed magnetic fields into an analog “readback” signal.
`
`40. A sequence detector in the read channel converts the analog readback signal
`
`into binary data by determining from the signal the likely sequence of transitions and
`
`non-transitions recorded to the magnetic medium, where detected transitions can indicate
`
`a binary “1” and a nontransition can indicate a binary “0”.
`
`41. One performance metric for a read channel is the bit error rate (“BER”),
`
`which is the rate at which the read channel makes errors in determining the data written
`
`to the disk.
`
`LSI Corp. Exhibit 1003
`Page 8
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`
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`CASE 0:16-cv-02891-WMW-SER Document 40 Filed 11/11/16 Page 9 of 33
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`42.
`
`“Data continues to grow, driven by video, social media, enterprise
`
`applications and the cloud. To meet this demand, hard drive manufacturers continually
`
`drive more capacity per platter in hard drives.” See www.avagotech.com/products/hard-
`disk-drives/socs-read-channel.
`
`43.
`
`The data written and corresponding readback waveform in an HDD include
`
`noise that limits the reliability of the HDD.
`
`44. A major and increasing source of noise in HDDs over the past 15 years is
`
`media noise, which includes noise resulting from transitions on the magnetic media.
`
`45.
`
`Increasing the data capacity of an HDD increases the density of the
`
`transitions on the magnetic disk, which in turn increases the amount of noise in the
`
`analog data signal generated by the read head as it passes over the bit regions.
`
`B.
`
`The University’s Patent
`
`46. On January 12, 1999, the USPTO issued the ’601 Patent, titled “Method
`
`and Apparatus for Implementing Maximum Transition Run Codes.” A true and correct
`
`copy of the ’601 Patent is attached as Exhibit 2.
`
`47.
`
`The invention described by the ’601 Patent relates generally to a coding
`
`scheme for an HDD, referred to in the ’601 Patent by the coined phrase “Maximum
`
`Transition Run” (“MTR”) codes, that improves the BER of sequence detectors in the read
`
`channels of an HDD by “eliminat[ing] certain error-prone data patterns from the
`
`allowable set of input patterns that are to be recorded” on the disks of the HDD. See ’601
`Patent at col. 2:40-47.
`
`LSI Corp. Exhibit 1003
`Page 9
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`
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`CASE 0:16-cv-02891-WMW-SER Document 40 Filed 11/11/16 Page 10 of 33
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`48.
`
`The named inventors for the ’601 Patent are Jaekyun Moon and Barrett J.
`
`Brickner.
`
`49. Drs. Moon and Brickner also described their invention in a seminal
`
`academic paper, “Maximum Transition Run Codes for Data Storage Systems,” IEEE
`Trans. Magn., vol. 32, no. 5, September 1996 (“the Moon 1996 IEEE Paper”).
`50. A true and correct copy of the Moon 1996 IEEE Paper is attached as
`
`Exhibit 3.
`
`51.
`
`52.
`
`The Moon 1996 IEEE Paper is substantially similar to the ’601 Patent.
`
`For example, the Moon 1996 IEEE Paper discloses all of the elements of
`
`claim 13 of the ’601 Patent, including an encoding scheme where m-bit datawords are
`
`encoded into n-bit codewords with the dual constraints of (1) a limit on the maximum
`
`number j of consecutive transitions that can occur in the written magnetization pattern,
`
`where j > 2, and (2) a limit on the maximum number k of sample periods without a
`
`transition. They also include many of the same figures.
`
`53. When the University filed the application that matured into the ’601 Patent
`
`(application Serial No. 08/730,716), Dr. Moon was a professor in the Department of
`
`Electrical Engineering at the University and Dr. Brickner was Dr. Moon’s Ph.D. student.
`
`54. On or around 2005, CRC Press published Coding and Signal Processing for
`
`Magnetic Recording Systems, edited by Bane Vasic and Erozan M. Kurtas.
`
`55. A true and correct copy of Chapter 17 of Coding and Signal Processing for
`
`Magnetic Recording Systems is attached as Exhibit 4.
`
`LSI Corp. Exhibit 1003
`Page 10
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`
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`CASE 0:16-cv-02891-WMW-SER Document 40 Filed 11/11/16 Page 11 of 33
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`56.
`
`In Chapter 17, titled “Runlength Limited Sequences,” author Kees A.
`
`Schouhamer Immink states that “[m]aximum transition run (MTR) codes” were
`
`“introduced by Moon and Brickner.” Exhibit 4 at § 17.3.1, p. 17-4.
`
`57. On or around 1997, authors Kelly Knudson and Cory S. Modlin published a
`
`paper entitled “Time-varying MTR Codes for High Density Magnetic Recording” in the
`
`Proceedings of the IEEE Global Telecommunications Conference 1997.
`58. A true and correct copy of the Knudson-Modlin paper is attached as Exhibit
`
`5.
`
`59.
`
`In that paper, as authority for the proposition that “[m]aximal transition run
`
`(MTR) codes have been suggested as a means of achieving coding gain for high density
`
`magnetic recording,” the authors cite an invention disclosure and a paper written by Drs.
`
`Moon and Brickner about MTR codes: (1) J. Moon and B. Brickner, “MTR codes for
`
`data storage systems,” Invention Disclosure No. 96025, University of Minnesota,
`September 1995, and (2) J. Moon and B. Brickner, “Maximum Transition Run Codes for
`
`Data Storage Systems,” 1996 Digests of Intermag ‘96, HB-IO, April 1996 (which is
`substantially similar to the Moon 1996 IEEE Paper).
`
`60.
`
`The invention disclosure and Intermag paper by Drs. Moon and Brickner
`are the sole support that Knudson and Modlin cite for the use of MTR codes.
`
`61.
`
`In April 2001, a paper authored by four IBM Research members, Roy D.
`
`Cideciyan, Evangelos Eleftheriou, Brian Marcus, and Dharmendra Modha, entitled
`
`“Maximum Transition Run Codes for Generalized Partial Response Channels,” appeared
`
`LSI Corp. Exhibit 1003
`Page 11
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`
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`CASE 0:16-cv-02891-WMW-SER Document 40 Filed 11/11/16 Page 12 of 33
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`in the IEEE Journal on Selected Areas in Communications, Vol. 19, No. 4 (“IBM
`Research Paper”).
`
`62. A true and correct copy of the IBM Research Paper is attached as Exhibit 6.
`
`63.
`
`The IBM Research Paper states, “maximum transition run (MTR) (j, k)
`codes have been introduced by Moon and Brickner to provide coding gain for extended
`
`partial response channels.”
`
`64. As support for this statement, the IBM Research Paper cited the Moon 1996
`
`IEEE Paper.
`
`65. As described in the ’601 Patent, a dataword that is to be recorded on a disk
`
`of an HDD is encoded using a selected MTR code with specified so-called j and k
`constraints, to thereby create a codeword for writing to the disk.
`
`66. As described in the ’601 Patent, the j constraint imposes a limit on the
`maximum number of consecutive transitions that are written to the disk of an HDD. See
`’601 Patent at col. 2:59-61.
`
`67. As described in the ’601 Patent, the k constraint imposes a limit on the
`maximum number of consecutive regions on the disk without a transition. See ’601
`Patent at col. 1:27-33.
`
`68. Claim 13 of the ’601 Patent claims “[a] method for encoding m-bit binary
`
`datawords into n-bit binary codewords in a recorded waveform, where m and n are
`
`preselected positive integers such that n is greater than m, comprising the steps of:
`
`receiving binary datawords; and producing sequences of n-bit codewords; imposing a
`
`pair of constrains (j;k) on the encoded waveform; generating no more than j consecutive
`
`LSI Corp. Exhibit 1003
`Page 12
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`
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`CASE 0:16-cv-02891-WMW-SER Document 40 Filed 11/11/16 Page 13 of 33
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`transitions of said sequence in the recorded waveform such that j ≥ 2; and generating no
`more than k consecutive sample periods of said sequences without a transition in the
`
`recorded waveform.” ’601 Patent at col. 10:46-59.
`
`69. Claim 14 of the ’601 Patent claims the method as in claim 13 “wherein the
`
`consecutive transition limit is defined by the equation 2 ≤ j < 10.” ’601 Patent at col.
`10:60-61.
`
`70.
`
`Eliminating error-prone transition runs with an MTR code in an HDD read
`
`channel improves the BER of the read channel.
`
`71.
`
`The improvement in the BER provided by MTR codes in an HDD read
`
`channel “can be traded for an increase in storage density if the error rate performance [of
`
`the read channel] is already satisfactory.” ’601 Patent at col. 2:49-51.
`
`72.
`
`The MTR coding scheme described in the ’601 Patent improves a physical
`
`process by overcoming limitations in physical devices―i.e., improving the accuracy of
`determining what data are recorded on a magnetic medium in an HDD from what the
`
`read/write head in the HDD has sensed.
`
`73.
`
`The University is the owner and assignee of all right, title, and interest in
`
`and to the ’601 Patent and holds the right to sue and recover damages for infringement
`
`thereof, including past damages.
`
`74.
`
`Since MTR codes were “introduced by Moon and Brickner,” see Exs. 4, 5
`and 6, the term “MTR” when referring to codes used in HDD read channels is understood
`
`in the HDD industry to refer to the encoding scheme described in the Moon 1996 IEEE
`
`Paper, namely the encoding scheme where m-bit datawords are encoded into n-bit
`
`LSI Corp. Exhibit 1003
`Page 13
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`
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`CASE 0:16-cv-02891-WMW-SER Document 40 Filed 11/11/16 Page 14 of 33
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`codewords with the dual constraints of (1) a limit on the maximum number j of
`
`consecutive transitions that can occur in the written magnetization pattern, where j > 2,
`
`and (2) a limit on the maximum number k of sample periods without a transition, and
`
`such codes are covered by claim 13 of the ‘601 Patent.
`
`C.
`
`Defendants’ Unauthorized Use of the Methods Claimed in the ’601 Patent
`
`75. Defendants make, use, and sell devices with so-named “MTR” code
`
`capability, including all read channel/SOC HDD Chips currently sold under the
`
`tradename TrueStore and simulators for reading MTR-encoded recorded waveforms (“the
`
`MTR-enabled Products”). MTR-enabled Products in the TrueStore product line include
`
`but are not limited to the RC5101 Spyder ELP PS Azure, the RC5110 Spyder ELP PS
`
`Boxster, and the RC5200 Spyder ELP PS Corvette read channels and SOCs that include
`
`those read channels.
`
`76.
`
`The MTR-enabled Products cannot be reverse-engineered to confirm their
`
`use of MTR code, but published statements by senior executives of LSI, other statements
`
`by LSI senior employees, and publicly available materials show that these Products
`
`infringe the ’601 Patent.
`
`77. At least one senior engineering executive of Defendants has admitted to
`
`developing MTR coding technology for LSI.
`
`78.
`
`Specifically, Dr. Shaohua Yang states on his LinkedIn page that he
`
`“[d]eveloped RLL/MTR modulation coding solutions” while employed as Director,
`
`Distinguished Engineer, DSP System Architecture at “LSI, an Avago Technologies
`
`Company” between June 2007 and May 2014. Dr. Yang is now a Director of
`
`LSI Corp. Exhibit 1003
`Page 14
`
`
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`CASE 0:16-cv-02891-WMW-SER Document 40 Filed 11/11/16 Page 15 of 33
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`Engineering at “Avago Technologies.” See www.linkedin.com/in/shaohua-yang-
`9520641.
`
`79. A true and correct redacted copy of Dr. Yang’s LinkedIn page dated August
`
`17, 2016, is attached as Exhibit 7.
`
`80. Another senior engineering executive of Defendants has publically
`
`indicated that LSI uses MTR coding technology.
`
`81. Dr. Yuan Xing Lee was an LSI Vice President from 2007 to 2014 and is
`
`now a “vice president for the Data Controller Division Engineering in Broadcom
`
`Limited.” See https://www.linkedin.com/in/yuan-xing-lee-5906225.
`82. A true and correct redacted copy of Dr. Lee’s LinkedIn page dated August
`
`17, 2016, is attached as Exhibit 8.
`
`83.
`
`In 2012, Dr. Lee gave a presentation at the Chinese American Information
`
`Storage Society (“CAISS”) Annual Conference titled “Read Chanel [sic] Technologies
`for Data Storage.”
`
`84. A true and correct copy of the slides for Dr. Lee’s presentation to CAISS at
`
`its 2012 annual conference is attached as Exhibit 9.
`
`85.
`
`In Slide 6 of his presentation, shown below, Dr. Lee declared “RLL:
`
`transition aware” was a “major” technology for HDDs in the “Beyond 2010” period.
`
`LSI Corp. Exhibit 1003
`Page 15
`
`
`
`CASE 0:16-cv-02891-WMW-SER Document 40 Filed 11/11/16 Page 16 of 33
`
`
`
`86.
`
`“RLL” in this context means “run length limited.”
`
`87. Upon information and belief, in this slide, “RLL: transition aware” refers to
`
`MTR codes.
`
`88. Additionally, Dr. Lee is a co-author of the paper K. Cai et al., “Distance-
`
`Enhancing Constrained Codes with Parity-Check Constraints for Data Storage Channels,”
`
`28-2 IEEE J. Sel. Areas Commun. (Feb. 2010) (“Cai Paper”).
`89. A true and correct copy of the Cai Paper is attached as Exhibit 10.
`
`LSI Corp. Exhibit 1003
`Page 16
`
`
`
`CASE 0:16-cv-02891-WMW-SER Document 40 Filed 11/11/16 Page 17 of 33
`
`90.
`
`In the Cai Paper, Dr. Lee and his coauthors wrote that “[i]n recent years, a
`
`maximum transition run (MTR) constraint j has been further introduced to magnetic
`
`recording channels,” citing as authority to the Moon 1996 IEEE Paper. Ex. 10 at 208.
`
`91. Dr. Lee also referred in the Cai Paper to an MTR code where m = 17, n =
`
`18, j = 3, and k=13. Dr. Lee further stated that the “code rate of the state of the art j = 3
`
`MTR codes is 16/17.” Ex. 10 at 211. This means MTR codes where j=3, m=16, and
`
`n=17 were “state of the art” as of 2010, the publication date of the paper.
`
`92. At least one publicly available product specification also indicates the
`
`Defendants use the inventions claimed in the ’601 Patent.
`
`93. An excerpt of the “TrueStore® RC5100/5200 Series Spyder Read Channel
`
`Product Specification” generated by LSI for Seagate and dated February 2013, filed at
`
`Compl. Ex. G, D.I. 1-9 at 10, Spectra Licensing Group, LLC v. LSI Corporation et al.,
`3:16-cv-00899 (S.D. Cal. Apr. 14, 2016), states that LSI’s product models RC5100 and
`
`5200 have an “MTR code option.”
`
`94. Defendants have designed, tested, and used the MTR-enabled Products in
`
`the United States in a manner that performs the methods described in one or more method
`
`claims of the ’601 Patent, including but not limited to claims 13 and 14.
`
`95. Defendants provide HDD Chips and simulators to customers that include
`
`HDD manufacturers. Defendants provide these chips and simulators to HDD
`
`manufacturers in the United States for, among other purposes, design, development,
`
`testing, and qualification of the chips.
`
`LSI Corp. Exhibit 1003
`Page 17
`
`
`
`CASE 0:16-cv-02891-WMW-SER Document 40 Filed 11/11/16 Page 18 of 33
`
`96.
`
`The Defendants have provided to customers HDD Chips and simulators
`
`that are MTR-enabled.
`
`97. At Defendants’ direction, Defendants’ HDD manufacturer customers have
`
`operated the HDD Chips and simulators provided by Defendants in the United States.
`
`98. Defendants’ HDD manufacturer customers have operated the HDD Chips
`
`and simulators, including MTR-enabled Products, at Defendants’ direction in the United
`
`States in a manner that performs the methods described in one or more method claims of
`
`the ’601 Patent, including but not limited to claims 13 and 14.
`
`99. Defendants’ MTR-enabled Products, when operated in the United States by
`
`Defendants, their customers, or end users (who purchase Defendants’ customers’ HDD
`
`products incorporating the MTR-enabled Products), as the case may be, encode m-bit
`
`binary datawords into n-bit codewords in a recorded waveform, where m and n are
`
`preselected positive integers such that n is greater than m, by performing steps that
`
`comprise receiving binary datawords; imposing a pair of constraints (j;k) on the encoded
`
`waveform; generating no more than j consecutive transitions of said sequence in the
`
`recorded waveform such that j≥2; and generating no more than k consecutive sample
`periods of said sequences without a transition in the recorded waveform.
`
`100. Defendants’ MTR-enabled products can be and are programmed by
`
`Defendants or at Defendants’ direction to use a j value of 2 or greater.
`
`101. Defendants’ MTR-enabled products can be and are programmed by
`
`Defendants or at Defendants’ direction to use a k value of about 25.
`
`LSI Corp. Exhibit 1003
`Page 18
`
`
`
`CASE 0:16-cv-02891-WMW-SER Document 40 Filed 11/11/16 Page 19 of 33
`
`102. Defendants’ MTR-enabled Products use a value of “n” for the bit length of
`
`the binary codewords that is greater than the value of “m,” the bit length of the datawords
`
`that is encoded into the codewords. In particular, information publicly available from
`
`Defendants shows that Defendants’ MTR-enabled Products use m/n rates of 17/18, 19/20,
`
`20/21, 21/22, 22/23, 23/24, and/or 24/25.
`
`103. Defendants direct, instruct, and assist their HDD manufacturer customers
`
`regarding the use of the MTR-enabled Products such that when operated, the MTR-
`
`enabled Products encode m-bit binary datawords into n-bit codewords in a recorded
`
`waveform, where m and n are preselected positive integers such that n is greater than m,
`
`by performing steps that comprise receiving binary datawords; imposing a pair of
`
`constraints (j;k) on the encoded waveform; generating no more than j consecutive
`
`transitions of said sequence in the recorded waveform such that j≥2; and generating no
`more than k consecutive sample periods of said sequences without a transition in the
`
`recorded waveform.
`
`104. Defendants direct, instruct, and assist their HDD manufacturer customers to
`
`use the MTR-enabled Products in an infringing manner through documentation, including
`
`product specifications, user guides, and register maps, which provides instructions to the
`
`customers on how to operate the MTR-enabled Products in an infringing manner.
`
`105. For example, among other things, the MTR-enabled Products have
`
`firmware through which the MTR code option is enabled. When the MTR code option is
`
`enabled, the MTR-enabled Products perform the methods claimed in the ’601 Patent.
`
`Defendants provide verbal and written instructions to engineers of Defendants’ HDD
`
`LSI Corp. Exhibit 1003
`Page 19
`
`
`
`CASE 0:16-cv-02891-WMW-SER Document 40 Filed 11/11/16 Page 20 of 33
`
`manufacturer customers to enable the MTR code option in the MTR-Enabled Products
`
`through firmware and provide MTR-enabled Products to Defendants’ HDD manufacturer
`
`customers with the MTR code option enabled through the firmware.
`
`106. Upon information and belief, the written instructions for enabling the MTR
`
`code option provided by Defendants to the engineers of its HDD manufacturer customers
`
`include, among other things, register maps that instruct customers to program the
`
`firmware of the MTR-enabled Products so that the MTR code option is enabled.
`
`107. Defendants are aware that enablement of the MTR option improves the
`
`performance of the MTR-enabled Products, and Defendants intend for both they and their
`
`customers to make use of the performance gains resulting from use of the MTR
`
`technology. Accordingly, Defendants or their customers on instruction from Defendants
`
`enable the option and leave it enabled to take advantage of that improved performance.
`
`Defendants further intend that both they and their customers infringe at least claim 13 of
`
`the ’601 Patent.
`
`108. Defendants also direct, instruct, and assist their HDD manufacturer
`
`customers in operating MTR-enabled Products in an infringing manner through meetings,
`
`phone calls, and emails between Defendants’ engineers and Defendants’ HDD
`
`manufacturer customers’ engineers, in which Defendants’ engineers provide technical
`
`briefings, demonstrate the benefits of MTR coding, and instruct the customer’s engineers
`
`about how to use the MTR-enabled Products in an infringing manner with the intent that
`
`they do so, such as by enabling the MTR code option in the firmware.
`
`LSI Corp. Exhibit 1003
`Page 20
`
`
`
`CASE 0:16-cv-02891-WMW-SER Document 40 Filed 11/11/16 Page 21 of 33
`
`109. Defendants provide t
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