UNITED STATES DISTRICT COURT
`EASTERN DISTRICT OF TEXAS
`MARSHALL DIVISION
`
`CANON, INC.,
`
`Plaintiff,
`
`CIVIL ACTION NO. 2:18-cv-00546
`
`vs.
`TCL ELECTRONICS HOLDINGS LTD., et
`al.,
`
`Defendants.
`
`JURY TRIAL DEMANDED
`
`PLAINTIFF CANON’S SECOND AMENDED PATENT RULE 3-1 AND 3-2
`DISCLOSURE OF ASSERTED CLAIMS AND INFRINGEMENT CONTENTIONS
`
`Pursuant to Section 3(a)(i) of the Discovery Order (Dkt. No. 78), Plaintiff Canon, Inc.
`
`(“Canon”) serves a Second Amended Disclosure of Asserted Claims and Infringement
`
`Contentions and accompanying disclosure on Defendants TCL Electronics Holdings Ltd.
`
`(formerly known as TCL Multimedia Technology Holdings, Ltd.), TCL Corporation (“TCL
`
`Corp.”), Shenzen TCL New Technologies Co. Ltd., and TCL King Electrical Appliances
`
`(Huizhou) Co., Ltd.’s (collectively, “TCL” or “Defendants”).
`
`As contended in Canon’s initial September 6, 2019 Patent Rule 3-1 and 3-2 disclosures,
`
`a number of limitations of the Asserted Claims are software limitations, and these software
`
`limitations are performed by source code in the Roku, Inc. (“Roku”) OS running on all the
`
`accused TCL Roku TV products. Canon served a subpoena on Roku on December 20, 2019 that
`
`sought, inter alia, production of Roku’s source code relating to the accused functionalities. On
`
`January 17, 2020 Roku responded to Canon’s subpoena and indicated “it is not withholding any
`
`source code on account of its objections” to Canon’s subpoena. Beginning in early February,
`
`Roku made a number of productions of source code. Contrary to its representation in January,
`
`Roku Exhibit 1038
`Roku, Inc. v. Canon Kabushiki Kaisha
`Page 00001
`
`

`

`Roku withheld a substantial amount of source code relating to the accused functionalities, and
`
`Canon identified specific and numerable deficiencies in Roku’s productions. On February 19,
`
`Roku represented it intended to produce its full OS to address Canon’s complaints, echoing its
`
`original representation in January.
`
`Over the course of subsequent communications, Roku withdrew that representation, and
`
`did not produce any additional source code. As a result, Canon informed Roku it intended to
`
`bring a motion to compel production of the full Roku OS source code that Roku earlier
`
`represented it would produce. During a meet and confer on March 24, 2020, Roku again agreed
`
`to produce its full OS source code with “two security carve-outs” in view of Canon’s anticipated
`
`motion to compel.
`
`Because of various restrictions imposed by state governments due to the COVID-19
`
`outbreak, the parties thereafter disputed the location and manner in which Roku’s responsive
`
`source code would be produced. In particular, Roku sought to produce its source code in
`
`locations where Canon’s retained source code experts were either unable to travel due to shelter-
`
`in-place orders or that would require the experts to expose themselves or at-risk members of
`
`their household to possible infection in order to travel to those locations. Disputes on the manner
`
`in which Roku produced its source code remain pending. See, e.g., Dkt. No. 146 (Plaintiff
`
`Canon, Inc.’s Opposed Motion to Modify the Protective Order to Permit Remote Review of
`
`Source Code); Case No. 3:20-mc-80079 (N.D. Cal. May 4, 2020) (Roku, Inc.’s Motion to
`
`Modify and/or Quash Plaintiff Canon Inc.’s Subpoena and for a Protective Order to Prevent
`
`Remote Source Code Review (“Roku’s motion to prevent remote source code review”)). Despite
`
`Canon’s complaints as to the manner and logistics of Roku’s source code production, Canon
`
`diligently sought to inspect Roku’s source code, including by retaining an additional source
`
`2
`
`
`
`Roku Exhibit 1038
`Page 00002
`
`

`

`code reviewer.
`
`On April 15, 2020, despite its outstanding disputes, less than two weeks after Roku
`
`purportedly made its OS source code available for inspection, Canon first inspected Roku’s
`
`production of source code it first promised in January. Canon confirmed that Roku’s code
`
`production on April 15 contained hundreds of thousands more files than its earlier productions,
`
`including files relating to functionality requested numerous times by Canon. Canon has
`
`diligently continued its review of Roku’s source code, including with its additional retained
`
`source code expert, and now provides its disclosure of source code that satisfies the software
`
`limitations of the Asserted Claims under section 3(a)(i) of the Discovery Order, 30 days after
`
`its first inspection of Roku’s purported production of its full OS source code. See, e.g., CXT
`
`Sys., Inc. v. Acad., Ltd., No. 2:18-c-171-RWS-RSP, at *2 (E.D. Tex. June 5, 2019).
`
`These contentions are based on information reasonably available to Canon at this time.
`
`Canon’s investigation of facts relevant to this case is ongoing. Further, important information
`
`about many or all of TCL’s products is not publicly available, including information relevant to
`
`U.S. Patent Nos. 7,746,413 (“’413 Patent”), 8,078,767 (“’767 Patent”), 8,346,986 (“’986
`
`Patent”), 8,713,206 (“’206 Patent”), and 7,810,130 (“’130 Patent”) (collectively, “Asserted
`
`Patents”) and these Infringement Contentions. Canon, therefore, reserves the right to modify
`
`and/or supplement these disclosures as information becomes available, and/or based on
`
`positions taken by TCL.
`
`For example, based on filings made in connection with Roku’s motion to prevent remote
`
`source code review, it appears that source code and/or documentation relating to a “native
`
`development kit” made available to certain Roku partners, including Hulu, LLC, has not been
`
`provided to Canon. See Case No. 3:20-mc-80079 (N.D. Cal. May 13, 2020), Dkt. No. 19-1 at
`
`3
`
`
`
`Roku Exhibit 1038
`Page 00003
`
`

`

`3:23–4:1. The functionality allowed by Roku’s NDK appears to be relevant to at least receiving,
`
`playing, buffering, and accessing a URL of streaming content, all which were requests in
`
`Canon’s December 20, 2019 subpoena. See id. at 19-10 (Declaration of Brett Henry in support
`
`of brief of amicus curiae Hulu, LLC) ¶¶ 15–18. Canon reserves the right to further supplement
`
`its contentions under section 3(a)(i) of the Discovery Order in view of this new information.
`
`A.
`
`P.R. 3-1(a): Identification of Asserted Claims
`
`Based on the information presently available, Canon hereby discloses, for purposes of
`
`3-1(a), the claims of each Asserted Patent that it contends are infringed (directly and/or
`
`indirectly, literally and/or under the doctrine of equivalents) by each of the Defendants, through
`
`their manufacture, use, sale, offer for sale, and/or importation into the United States of the
`
`accused products identified further below:
`
`•
`•
`•
`•
`•
`
`’413 Patent: Claims 1-2, 4-8, 10-11;
`’767 Patent: Claims 1-3, 6, 7, 10-14;
`’986 Patent: Claims 1-4, 6, 7, 9-11;
`’206 Patent: Claims 1-5, 7-11, 13-14;
`’130 Patent: Claims 1-8.
`
`Canon expressly reserves the right to modify, amend and/or supplement the foregoing
`
`in light of new information made available to Canon, and/or based on positions taken by TCL.
`
`B.
`
`P.R. 3-1(b): Identification of Accused Instrumentalities
`
`For purposes of P.R. 3-1(b), and based on the information presently and publicly
`
`available, Canon hereby identifies the following Accused Instrumentalities of which it is
`
`
`
`
`
`currently aware:
`
`•
`
`’413 Patent, Claims 1-2, 4-8, 10-11: Accused products include, but are not
`limited to, the following TCL Roku TVs:
`o 3-series TV systems (e.g., 32S301; 40S303, 43S303, 49S303; 28S305,
`32S305, 40S305, 43S305, 49S305; 32S321; 32S325, 40S325, 43S325,
`
`4
`
`
`
`Roku Exhibit 1038
`Page 00004
`
`

`

`•
`
`49S325; 32S327);
`o 4-series TV systems (e.g., 55S401, 65S401; 43S403, 49S403, 55S403,
`65S403; 43S405, 49S405, 55S405, 65S405; 43S421, 50S421, 55S421,
`65S421; 43S423, 50S423, 55S423, 65S423, 75S423; 43S425, 49S425,
`50S425, 55S425, 65S425, 75S425);
`o 5-series TV systems (e.g., 43S515, 49S515, 55S515, 65S515; 43S517,
`49S517, 55S517, 65S517; 43S525, 50S525, 55S525, 65S525)
`o 6-series TV systems (e.g., 55R615, 65R615, 75R615; 55R617, 65R617,
`75R617; 55R625, 65R625)
`o P6-series TV systems (e.g., 55P605; 55P607)
`o C8-series TV systems (e.g., 55C803, 75C803; 55C807, 65C807, 75C807)
`o S-series TV systems (e.g., 55US57; 55US5800, 65US5800; 32S3700,
`48FS3700, 55FS3700; 28S3750, 32S3750, 40FS3750, 48FS3750,
`55FS3750; 32S3800, 40FS3800, 50FS3800; 32S3850A, 32S3850B,
`32S3850P, 32S3850, 40FS3850, 50FS3850, 55FS3850; 32FS4610R,
`40FS4610R, 48FS4610R, 55FS4610R);
`o P-series TV systems (e.g., 43FP110, 49FP110; 43UP120, 50UP120,
`55UP120; 43UP130, 50UP130, 55UP130);
`o 8-series TV systems (e.g., 65Q825, 75Q825).
`’767 Patent, Claims 1-3, 6, 7, 10-14: Accused products include, but are not
`limited to, the following TCL Roku TVs:
`o 3-series TV systems (e.g., 32S301; 40S303, 43S303, 49S303; 28S305,
`32S305, 40S305, 43S305, 49S305; 32S321; 32S325, 40S325, 43S325,
`49S325; 32S327);
`o 4-series TV systems (e.g., 55S401, 65S401; 43S403, 49S403, 55S403,
`65S403; 43S405, 49S405, 55S405, 65S405; 43S421, 50S421, 55S421,
`65S421; 43S423, 50S423, 55S423, 65S423, 75S423; 43S425, 49S425,
`50S425, 55S425, 65S425, 75S425);
`o 5-series TV systems (e.g., 43S515, 49S515, 55S515, 65S515; 43S517,
`49S517, 55S517, 65S517; 43S525, 50S525, 55S525, 65S525)
`o 6-series TV systems (e.g., 55R615, 65R615, 75R615; 55R617, 65R617,
`75R617; 55R625, 65R625)
`o P6-series TV systems (e.g., 55P605; 55P607)
`o C8-series TV systems (e.g., 55C803, 75C803; 55C807, 65C807, 75C807)
`o S-series TV systems (e.g., 55US57; 55US5800, 65US5800; 32S3700,
`48FS3700, 55FS3700; 28S3750, 32S3750, 40FS3750, 48FS3750,
`55FS3750; 32S3800, 40FS3800, 50FS3800; 32S3850A, 32S3850B,
`32S3850P, 32S3850, 40FS3850, 50FS3850, 55FS3850; 32FS4610R,
`40FS4610R, 48FS4610R, 55FS4610R);
`o P-series TV systems (e.g., 43FP110, 49FP110; 43UP120, 50UP120,
`55UP120; 43UP130, 50UP130, 55UP130);
`
`5
`
`
`
`Roku Exhibit 1038
`Page 00005
`
`

`

`•
`
`•
`
`o 8-series TV systems (e.g., 65Q825, 75Q825).
`’986 Patent, Claims 1-4, 6, 7, 9-11: Accused products include, but are not limited
`to, the following TCL Roku TVs:
`o 3-series TV systems (e.g., 32S301; 40S303, 43S303, 49S303; 28S305,
`32S305, 40S305, 43S305, 49S305; 32S321; 32S325, 40S325, 43S325,
`49S325; 32S327);
`o 4-series TV systems (e.g., 55S401, 65S401; 43S403, 49S403, 55S403,
`65S403; 43S405, 49S405, 55S405, 65S405; 43S421, 50S421, 55S421,
`65S421; 43S423, 50S423, 55S423, 65S423, 75S423; 43S425, 49S425,
`50S425, 55S425, 65S425, 75S425);
`o 5-series TV systems (e.g., 43S515, 49S515, 55S515, 65S515; 43S517,
`49S517, 55S517, 65S517; 43S525, 50S525, 55S525, 65S525)
`o 6-series TV systems (e.g., 55R615, 65R615, 75R615; 55R617, 65R617,
`75R617; 55R625, 65R625)
`o P6-series TV systems (e.g., 55P605; 55P607)
`o C8-series TV systems (e.g., 55C803, 75C803; 55C807, 65C807, 75C807)
`o S-series TV systems (e.g., 55US57; 55US5800, 65US5800; 32S3700,
`48FS3700, 55FS3700; 28S3750, 32S3750, 40FS3750, 48FS3750,
`55FS3750; 32S3800, 40FS3800, 50FS3800; 32S3850A, 32S3850B,
`32S3850P, 32S3850, 40FS3850, 50FS3850, 55FS3850; 32FS4610R,
`40FS4610R, 48FS4610R, 55FS4610R);
`o P-series TV systems (e.g., 43FP110, 49FP110; 43UP120, 50UP120,
`55UP120; 43UP130, 50UP130, 55UP130);
`o 8-series TV systems (e.g., 65Q825, 75Q825).
`’206 Patent, Claims 1-5, 7-11, 13-14: Accused products include, but are not
`limited to, the following TCL Roku TVs:
`o 3-series TV systems (e.g., 32S301; 40S303, 43S303, 49S303; 28S305,
`32S305, 40S305, 43S305, 49S305; 32S321; 32S325, 40S325, 43S325,
`49S325; 32S327);
`o 4-series TV systems (e.g., 55S401, 65S401; 43S403, 49S403, 55S403,
`65S403; 43S405, 49S405, 55S405, 65S405; 43S421, 50S421, 55S421,
`65S421; 43S423, 50S423, 55S423, 65S423, 75S423; 43S425, 49S425,
`50S425, 55S425, 65S425, 75S425);
`o 5-series TV systems (e.g., 43S515, 49S515, 55S515, 65S515; 43S517,
`49S517, 55S517, 65S517; 43S525, 50S525, 55S525, 65S525)
`o 6-series TV systems (e.g., 55R615, 65R615, 75R615; 55R617, 65R617,
`75R617; 55R625, 65R625)
`o P6-series TV systems (e.g., 55P605; 55P607)
`o C8-series TV systems (e.g., 55C803, 75C803; 55C807, 65C807, 75C807)
`o S-series TV systems (e.g., 55US57; 55US5800, 65US5800; 32S3700,
`48FS3700, 55FS3700; 28S3750, 32S3750, 40FS3750, 48FS3750,
`
`6
`
`
`
`Roku Exhibit 1038
`Page 00006
`
`

`

`•
`
`55FS3750; 32S3800, 40FS3800, 50FS3800; 32S3850A, 32S3850B,
`32S3850P, 32S3850, 40FS3850, 50FS3850, 55FS3850; 32FS4610R,
`40FS4610R, 48FS4610R, 55FS4610R);
`o P-series TV systems (e.g., 43FP110, 49FP110; 43UP120, 50UP120,
`55UP120; 43UP130, 50UP130, 55UP130);
`o 8-series TV systems (e.g., 65Q825, 75Q825).
`’130 Patent, Claims 1-8: Accused products include, but are not limited to, the
`following TCL Roku TVs:
`o 3-series TV systems (e.g., 32S301; 40S303, 43S303, 49S303; 28S305,
`32S305, 40S305, 43S305, 49S305; 32S321; 32S325, 40S325, 43S325,
`49S325; 32S327);
`o 4-series TV systems (e.g., 55S401, 65S401; 43S403, 49S403, 55S403,
`65S403; 43S405, 49S405, 55S405, 65S405; 43S421, 50S421, 55S421,
`65S421; 43S423, 50S423, 55S423, 65S423, 75S423; 43S425, 49S425,
`50S425, 55S425, 65S425, 75S425);
`o 5-series TV systems (e.g., 43S515, 49S515, 55S515, 65S515; 43S517,
`49S517, 55S517, 65S517; 43S525, 50S525, 55S525, 65S525)
`o 6-series TV systems (e.g., 55R615, 65R615, 75R615; 55R617, 65R617,
`75R617; 55R625, 65R625)
`o P6-series TV systems (e.g., 55P605; 55P607)
`o C8-series TV systems (e.g., 55C803, 75C803; 55C807, 65C807, 75C807)
`o S-series TV systems (e.g., 55US57; 55US5800, 65US5800; 32S3700,
`48FS3700, 55FS3700; 28S3750, 32S3750, 40FS3750, 48FS3750,
`55FS3750; 32S3800, 40FS3800, 50FS3800; 32S3850A, 32S3850B,
`32S3850P, 32S3850, 40FS3850, 50FS3850, 55FS3850; 32FS4610R,
`40FS4610R, 48FS4610R, 55FS4610R);
`o P-series TV systems (e.g., 43FP110, 49FP110; 43UP120, 50UP120,
`55UP120; 43UP130, 50UP130, 55UP130);
`o 8-series TV systems (e.g., 65Q825, 75Q825).
`
`
`The identification of the accused products is based on information reasonably available
`
`to Canon at this time. Canon reserves the right to supplement these Infringement Contentions
`
`based on information developed in the course of this lawsuit through discovery or additional
`
`factual investigation, or as other circumstances may require. Specifically, should discovery
`
`reveal that TCL has committed acts of infringement related to any products other than those
`
`listed above, Canon reserves the right to supplement these contentions.
`
`C.
`
`P.R. 3-1(c): Claim Charts
`
`7
`
`
`
`Roku Exhibit 1038
`Page 00007
`
`

`

`For purposes of P.R. 3-1(c), Canon attaches hereto the following appendices identifying
`
`specifically where each element of each asserted claim is found within exemplary Accused
`
`
`
`Instrumentalities:
`
`Appendix 1 (’130 Patent), Appendix 2 (’767 Patent), Appendix 3 (’986 Patent),
`
`Appendix 4 (’206 Patent), and Appendix 5 (’413 Patent).
`
`As further support for identification of the exemplary Accused Instrumentalities in
`
`Appendices 1–5 as representative of all Accused Instrumentalities, Canon also provides the
`
`following additional appendices:
`
`Appendix 6; Appendices 1-a, 1-b, 1-c, 1-d, 1-e, and 1-f (’130 Patent), Appendices 2-a,
`
`2-b, 2-c, 2-d, 2-e, and 2-f (’767 Patent), Appendices 3-a, 3-b, 3-c, 3-d, 3-e, and 3-f (’986 Patent),
`
`Appendices 4-a, 4-b, 4-c, 4-d, 4-e, and 4-f (’206 Patent), and Appendices 5-a, 5-b, 5-c, 5-d, 5-e,
`
`and 5-f (’413 Patent).
`
`These appendices and claim charts are based on information reasonably available to
`
`Canon at this time. Canon reserves the right to supplement these Infringement Contentions based
`
`on information developed in the course of this lawsuit through discovery or additional factual
`
`investigation, or as other circumstances may require.
`
`D.
`
`P.R. 3-1(d): Literal Infringement and
`Infringement Under the Doctrine of Equivalents
`
`
`For purposes of P.R. 3-1(d), Canon asserts that each element of each claim is literally
`
`present in each of the Accused Instrumentalities. To the extent any claim limitation is found to
`
`not be literally present, Canon asserts that such limitation is present under the doctrine of
`
`equivalents in each of the Accused Instrumentalities. By asserting that a claim element may be
`
`present under the doctrine of equivalents, Canon does not waive its right to assert literal
`
`infringement of that claim element. Additional, exemplary information about infringement
`
`8
`
`
`
`Roku Exhibit 1038
`Page 00008
`
`

`

`under the doctrine of equivalents is set forth in the attached claim charts.
`
`E.
`
`P.R. 3-1(e): Priority Based on Earlier Applications
`
`For purposes of P.R. 3-1(e), Canon asserts that the Asserted Patents are entitled to claim
`
`priority to at least the following applications:
`
`•
`
`•
`•
`•
`•
`
`’413 Patent: JP2003-150212, filed May 28, 2003; JP2004-154154, filed May 25,
`2004;
`’767 Patent: JP2008-141678, filed May 29, 2008;
`’986 Patent: JP2008-141678, filed May 29, 2008;
`’206 Patent: JP2008-141678, filed May 29, 2008;
`’130 Patent: JP2002-295062, filed Oct. 8, 2002.
`
`
`F.
`
`P.R. 3-1(f): Identification of Any Canon
`Instrumentalities that Practice Claimed
`Inventions
`
`Based on
`
`its current
`
`investigation, Canon
`
`
`identifies
`
`the
`
`following Canon
`
`instrumentalities that practice the claimed inventions:
`
`Canon contends at least the Canon SX80 and SX80 Mark II practices one or more claims
`
`of the ’767 patent, as set forth in Appendices A and F.
`
`Canon contends at least the Canon SX80 and SX80 Mark II practices one or more claims
`
`of the ’986 patent, as set forth in Appendices B and G.
`
`Canon contends at least the Canon SX80 and SX80 Mark II practices one or more claims
`
`of the ’206 patent, as set forth in Appendices C and H.
`
`Canon reserves the right to modify, amend and/or supplement the foregoing based on
`
`information developed in the course of this lawsuit through discovery or additional factual
`
`investigation, based on positions taken by TCL, or as other circumstances may require.
`
`G.
`
`Discovery Order (Dkt. No. 78), 3(a): Source Code
`
`For purposes of the Court’s Discovery Order, section 3(a)(i), Canon asserts that elements
`
`
`
`
`
`9
`
`
`
`Roku Exhibit 1038
`Page 00009
`
`

`

`of the ’413, ’767, ’986, ’206, and ’130 Patents are software limitations. Canon supplements its
`
`infringement contentions for the the ’413, ’767, ’986, ’206, and ’130 Patents under this section
`
`of the Discovery Order.
`
`H.
`
`Document Production Accompanying Disclosure
`
`For purposes of P.R. 3-2, Canon hereby discloses the following documents
`
`accompanying its Disclosure of Asserted Claims and Infringement Contentions that correspond
`
`
`
`to the following categories:
`
`P.R. 3-2(a): Based on its reasonable search and investigation, Canon states that it does
`
`not have any documents that fall within this category.
`
`P.R. 3-2(b): Based on its reasonable search and investigation, Canon states that it does
`
`not have any documents that fall within this category.
`
`P.R. 3-2(c): A copy of the file history of each of the asserted patents is being produced
`
`concurrently herewith at Bates Nos. CANONTCL00000001 - CANONTCL00001911,
`
`CANONTCL00007210 - CANONTCL00007554.
`
`
`
`10
`
`
`
`Roku Exhibit 1038
`Page 00010
`
`

`

`DATED: May 15, 2020
`
`
`
`
`PAUL HASTINGS LLP
`
`By: /s/ David Okano
`Yar R. Chaikovsky
`yarchaikovsky@paulhastings.com
`Hiroyuki Hagiwara
`hiroyukihagiwara@paulhastings.com
`Kyotaro Ozawa
`kyotaroozawa@paulhastings.com
`David Okano
`davidokano@paulhastings.com
`1117 S. California Avenue
`Palo Alto, California 94304-1106
`Telephone: (650) 320-1800
`Facsimile: (650) 320-1900
`
`Harry L. Gillam, Jr.
`TX Bar No. 07921800
`GILLAM & SMITH LLP
`303 S. Washington Ave.
`Marshall, Texas 75670
`Telephone: (903) 934-8450
`Facsimile: (903) 934-9257
`gil@gillamsmithlaw.com
`
`Attorneys for Plaintiff Canon, Inc.
`
`
`
`11
`
`
`
`Roku Exhibit 1038
`Page 00011
`
`

`

`CERTIFICATE OF SERVICE
`
`I hereby certify that on May 15, 2020, I caused a copy of PLAINTIFF CANON INC.’S
`
`SECOND AMENDED PATENT RULE 3-1 AND 3-2 DISCLOSURE OF ASSERTED
`
`CLAIMS AND INFRINGEMENT CONTENTIONS to be served on counsel of record via
`
`FTP link.
`
`Andrew Thomases andrew.thomases@ropesgray.com
`Andrew Radsch andrew.radsch@ropesgray.com
`Christopher Bonny christopher.bonny@ropesgray.com
`Jennifer Doan jdoan@haltomdoan.com
`Joshua Thane jthane@haltomdoan.com
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`
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`/s/ C. Daniel Treviño
` C. Daniel Treviño
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`Roku Exhibit 1038
`Page 00012
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