CBI lg

ALSTON8BH{D
The Atlantic Building 950 F Street, NW Washington, DC 20004-1404
202-239-3300 Fax: 202~239-3333

LLP

www. alston.com
MSc0Stevens Di1'ectDial: Z12-B9-3075 Email: -~ 1-?- -~;--_---

Nclliii

May 23, 2013

VIAHAND DELIVERY

@958
"""""" """"" "
Swemy |m-I"am,0mnSs|on

TheHonorableLisaR. Barton
Acting Secretary _ I U.S. lntemational Trade Commission 500 E Street, S.W., Room 112

Washington, DC 20436

Re:

Certain Portable Electronic Communications Devices, including Mobile Phones and Components Thereof Docket No. 337-TA

Dear Acting Secretary Barton:

Enclosed for ling please nd documents in support of a request by Nokia Corporation and Nokia Inc. (collectively Nokia) that the U.S. International Trade Commission institute an investigation pursuant to Section 337 of the Tariff Act of 1930, as amended, concerning certain portable electronic communications devices, including mobile phones and components thereof. A separate letter requesting condential treatment of condential exhibits 15, 17, 22, 23, 26, 42, 44, 47, 53, 61, and 63 is included Withthis ling. There is no condential business information contained in the complaint itself. Nokias submission includes the following documents:
0 One (1) original and eight (8) true paper copies of Complainants Complaint, pursuant to Commission Rule 210.8(a)(l)(i).

One (1) electronic copy of the non-condential exhibits to the Complaint, pursuant to Commission Rules 2l0.8(a)(l)(i) and 210.12(a)(9), including:
o One (1) electronic certied copy each of U.S. Patent Nos. 6,035,189 (l 89 patent), 6,373,345 (345 patent), 6,71 1,211 (2ll patent), 7,187,945 (945 patent), 8,140,650 (650 patent), 8,363,824 (824 patent) as Exhibits 1-6 to the Verified Complaint, respectively, pursuant to Commission Rule 2l0.l2(a)(9)(i); and

Atlanta ~ Brussels I Charlotte ' Dallas ~ Los Angeles I New York I Research Triangle v Silicon Valley ' Ventura County ' Washington, D.C.

o One (1) electronic certied copy of the assignment records for each of the 189, 345, 211, 945, 650, and 824 patents as Exhibits 7-12 to the Veried Complaint, respectively, pursuant to Commission Rule 2lO.l2(a)(9)(ii).
One (1) electronic copy of the condential exhibits to the Veried Complaint, pursuant to Commission Rule and 210.8(a)(1)(ii).
One (1) additional copy each two (2) additional copies total of the Complaint and accompanying electronic copies of the non-condential exhibits, for service upon Proposed Respondents HTC Corporation and HTC America, Inc., pursuant to Commission Rule 210.8(a)(1)(iii); and two (2) additional copies of the condential exhibits for service upon Proposed Respondents counsel after they have subscribed to the Protective Order.

One (1) additional copy of the Complaint for the government of Taiwan, pursuant to Commission Rule 210.8(a)(l)(iv).
One (1) physical sample of a domestic article protected by the asserted patents, as Exhibit PX1 to the Complaint, pursuant to Commission Rule 210.12(b).

Three (3) physical samples of the imported articles that are the subject of the complaint, as Exhibits PX2 to PX4 to the Complaint, pursuant to Commission Rule 210.12(b).
One (1) electronic certied copy and three (3) additional electronic copies each of the prosecution histories of the 189, 345, 211, 945, 650, and 824 patents as Appendices A, C, E, G, l, and K to the Complaint, pursuant to Commission Rule 210.12()(1).

Four (4) electronic copies each of each patent and applicable pages of each technical reference mentioned in the prosecution histories of the 189, 345, 211, 945, 650, and 824 patents as Appendices B, D, F, H, and J to the Complaint, pursuant to Commission Rule 210.12(c)(2).

A letter and certication requesting condential treatment for the information contained in Condential Exhibits 15, 17, 22, 23, 26, 42, 44, 47, 53, 61, and 63 to the Complaint, pursuant to Commission Rules 201.6(b) and 2l0.5(d).
A Statement on the Public Interest regarding the remedial orders sought by Nokia in the Complaint, pursuant to Commission Rule 210.8(b).

Thank you for your attention to this matter. Please contact me with any questions pertaining to this submission.

Sincerely,

M Scott Stevens

Counselfor Complainants Nokia Corporation and Nokia, Inc.

Enclosures

ALSTON8BIRD LLP
The Atlantic Building
950 F Street, NW Washington, DC 20004-1404
202-239-3300

Fax 202239-3333 www.alston.com

M Scott Stevem

Direct Dial: 202-Z39-30%

Email: scott.stevens@a1ston.eom

May 23, 201 3

VIAHAND DELIVERY

The Honorable Lisa R. Barton Acting Secretary U.S. International Trade Commission 500 E Street, S.W., Room 112 Washington, DC 20436

Re:

Certain Portable Electronic Communications Devices, including Mobile Phones and Components Thereof Docket No. 337-TA

REQUEST FOR CONFIDENTIAL TREATMENT

Dear Acting Secretary Barton:
Pursuant to Commission Rule 201.6, Complainants Nokia Corporation and Nokia lnc. (collectively Nokia) hereby respectfully request condential treatment of certain condential business information contained in Condential Exhibits 15, l7, 22, 23, 26, 42, 44, 47, 53, 61, and 63 to Nokias Complaint, led herewith.
The information for which condential treatment is sought consists of proprietary commercial and technical secrets, specically:
1. Proprietary Nokia or third-party technical data, including intemal engineering reports (Condential Exhibits 15, 17, 22, 23, 26, 42, 44, 47, and 53);
2. Condential information relating to licensees to the Asserted Patents (Condential Exhibit 61);

3. Proprietary nancial data regarding Nokias domestic investments in engineering, research and development, and testing, in support of articles protected by one or more claims of the Asserted Patents (Condential Exhibit
63).

The business information described herein qualies as condential business information because substantially-identical information is not available to the public and

Atlanta ' Brussels 0 Charlotte I Dallas 1 L05Angeles I New York I Research Triangle ' Silicon Valley I Ventum County ~ Washington, D.C.

its disclosure would likely impair the Commissions ability to obtain information necessary to perform its statutory functions as well as cause substantial harm to the competitive position of the organizations from which the information was obtained. A certication that substantially-identical information is not available to the public is attached hereto.
Thank you for your attention to this matter. Please contact me with any questions pertaining to this submission.

Sincerely,

//,(,%\
M Scott Stevens

Attachment (certication)

CERTIFICATION

I, M Scott Stevens, attomey for Nokia Corporation and Nokia Inc. (collectively Nokia), declare:
1. I am duly authorized by Nokia to execute this certication.
2. I have reviewed Condential Exhibits 15, 17, 22, 23, 26, 42, 44, 47, 53, 61, and 63 to Nokias Complaint, for which condential treatment has been requested.

3. To the best of my knowledge, information and belief, founded after reasonable inquiry, substantially-identical information is not available to the public.

I declare under penalty of perjury that the foregoing is true and correct.
Executed this 23rd day of May, 2012, in Charlotte, NC.

MScott 1s

UNITED STATES INTERNATIONAL TRADE COMMISSION WASHINGTON, D.C.

In the Matter of
Certain Portable Electronic Communications Devices, Including Mobile Phones and Components Thereof

Inv. No. 337-TA

COMPLAINANTS PUBLIC-INTEREST STATEMENT

Complainants Nokia Corporation and Nokia Inc. (collectively, Nokia) submit this
public-interest statement, as required by 19 C.F.R. 2l0.8(b). As discussed below, the remedy

sought against Respondents HTC Corporation and HTC America, lnc. (collectively, HTC) will
not have an adverse effect on public health or welfare, competitive conditions in the U.S.

economy, production of like or directly competitive articles in the U.S., or U.S. consumers.

I.

THE REQUESTED REMEDY WILL NOT HARM THE PUBLIC INTEREST

The Accused Products in this matter, as dened in the accompanying complaint, are the
types that are before the U.S. International Trade Commission (ITC) on a regular basis, and are

also the subject of multiple ITC remedial orders. Here, the requested remedy is directed only at
mobile devices sold for importation into the United States, imported into the United States,

and/or sold after importation into the United States by proposed Respondents. Thus, the sole

relevant public-interest inquiry is whether the exclusion of this discrete set of articles, not mobile
devices generally, necessitates the denial of Section 337 relief based on the statutory public
interest factors. Here, no such action is justied.

_1_

The ITC has made clear that the public interest rests in the protection of intellectual
property rights (IPR). That protection is to be denied in only limited situations? The question

with respect to public interest, then, is not whether a balancing of factors merely favors a

remedy, but rather whether competing interests exist of such signicance with regard to only the

Accused Products that the strong public policy of protecting IPR must give way.
Here, although the Accused Products may be popular, the exclusion of this relatively
small subset of the U.S. market does not implicate the national security or public-health issues
upon which the ITC has precluded relief in the past.3 Not only does Nokia offer mobile devices

with the same specic patented features as those offered by proposed Respondents, there is a

plethora of other mobile devices available to U.S. consumers including those running the same
Android operating system as the majority of HTCs products, ensuring that any remedy issued
will have no relevant public-interest impact on the domestic market.

1See, e.g., Certain Digital Television Prods. & Certain Prods. Containing Same & Methods of Using Same, Inv. No. 337-TA-617, C0mmn Op., at 9 (Aug. 23, 2009) (Digital TVPr0ducts).

2See Certain Baseband Processor Chips & Chipsets, Transmitter & Receiver (Radio) Chips, Power Control Chips, & Prods. Containing Same, Including Cellular Tel. Handsets, Inv. No. 337-TA-543, Commn Op., at 153 (June 19, 2007) ([T]he statute requires relief for an aggrieved patent holder, except in those limited circumstances in which the statutory public interest concerns are so great as to trump the public interest in enforcement of [lPR].). See also Sect. II(A), ina.

3See Certain Fluidized Supporting Apparatus & Components Thereof Inv. Nos. 337-TA 182/188, Commn Op. (Oct. 5, 1984); Certain Inclined-Field Acceleration Tubes & Components Thereof Inv. No. 337-TA-67, Commn. Op. (Dec. 29, 1980); Certain Automatic Crankpin Grinders, Inv. No. 337-TA-60, Commn Op. (Dec. 17, 1979); see also Personal Data & Mobile Commc nDevices & Related Software, Inv. No. 337-TA-710, Commn Op., at 81 n.56 (Dec. 29, 2011) (stating that the ITC does not believe that the mere fact that a technological eld has been determined to provide benets to the economy is sufcient to excuse infringement of a patent in that eld).

-2

II.

SPECIFIC PUBLIC-INTEREST INQUIRIES

A. Use of Accused Products in the United States

The infringing articles in this matter are mobile phones. They are designed and

manufactured abroad, and then they are sold to consumers through websites and retail outlets,
which service the U.S. consumer electronics market. The asserted claims of the patents at issue,

as practiced by the infringing articles, are not essential to any technical standard. Nor has Nokia

made, nor been required to make, any commitment to license the asserted claims of the patents at

issue for their practice in the accused manner. In sum, Nokia is not aware of any feature of these
articles so unique and necessary to the U.S. market to require the denial of Section 337 remedial
measures based on the public interest.

B.

Accused Products Pose No Public Health, Safety, or Welfare Concerns

The Accused Products do not invoke any public health, safety, or welfare concerns. The
mobile devices at issue in this investigation are ubiquitous consumer items. While they may be

entertaining, or even useful, the Accused Products are not essential to the public interest.

C.

Like Articles Are Available to Satisfy Demand for Excluded Accused Products

With regard to mobile devices, the features embodied in the relevant infringed patents at
issue are, and will be, available on Nokia products. Thus, any U.S. consumer with a desire for

those specific features will have access to a non-infringing substitute containing those features.

The products of Nokia and others will ensure that, even after the requested remedy is issued,
U.S. consumers will still have myriad choices of mobile phones and operating systems. Even if

some of those choices do not contain the specic features embodied in the infringed patents at

issue, the primary functions of those numerous mobile phone devices will not be signicantly

_3_

compromised for the average U.S. consumer. Accordingly, issuance of the requested remedy
Will not result in any shortage of mobile devices in the United States.4

In fact, the U.S. markets that include the Accused Products are ercely competitive.

Nokia and many other entities such as Apple, Motorola, Samsung, LG, Huawei, ZTE, Pantech,

and RIM, among others, sell in the U.S. market a variety of mobile devices. For example, the

Accused Products likely compete with dozens, if not hundreds, of other models available in the
United States. As of March 2013, HTC mobile devices accounted for only approximately
9.0% percent of the broad U.S. smartphone market and only about 17% of the U.S. market for

Android-based smartphones.5
In addition, the Accused Products are made overseas, along with most (if not all) other
like products.6 Accordingly, the requested remedy will not harm any competitive production in

the U.S. As the ITC has explained, the competitive conditions public-interest factor does not
Weighagainst issuance of a remedy when: (i) there is a variety of other similar products available
domestically; and (ii) most of the like products at issue are manufactured in foreign countries.7

4See Certain Agric. Tractors Under 50 Power Take-o Horsepower, USITC Pub. 3026, Lnv.No. 337-TA-380, Commn Op., at 34 (Mar. 1997) (concluding that orders at issue had limited economic impact due to considerable competition from other non-infringing goods).

5See c0mSc0re Reports March 2013 U.S. Smartphone Subscriber Market Share (May 3, 2013), http://www.comscore.com/Insights/Press_Releases/2013/5/comScore_Reports_ March_201 3_U.S._Smartphone_Subscriber*Market_Share.

6 See Certain Personal Data & Mobile Commcn Devices, Inv. No. 337-TA-710, Complainants Written Submission on Remedy, the Public Interest, and Bonding, at 17 (Oct. 17, 2011) (stating that HTC products are designed and manufactured in Taiwan); HTC ANNUAL REPORT 152 (2010) (The Company does not have any foreign operations). See also Mark Milian, How Apple cuts costs in building its gadgets, CNN (Feb. 6, 2012), http://articles.cnn.com/20 l 2-02-06/tech/tech_gaming-gadgetsapple-supply-chain_l_foxconn iphone-demand-for-apple-products? J=PM:TECH (How Apple finds parts and manufactures its products, almost entirely abroad, is standard protocol in the technology industry.).
7 See Digital TVProds, Commn Op., at 15.
_4

D.

There Is Sufcient Capacity to Replace Excluded Accused Products

There is no question that Nokia and third parties, including the many other making
mobile phones running the Andriod operating system, have the capacity to replace the volume

of Accused Products subject to the requested remedial orders within a commercially reasonable
time. More specically, Nokia and other manufacturers of mobile devices such as Apple,

Motorola, Samsung, LG, Huawei, ZTE, Pantech, and R.lM, among others, have more than

enough capacity to supply the U.S. market with products sufcient to illl U.S. demand for
mobile phones on each of the various ecosystems currently available, including Windows
Phone, Andriod, and iOS. Thus, there is no indication that excluding the infringing articles will

harm the public interest via unmet demands

E.

The Remedy Has No Relevant Public-Interest Impact on U.S. Consumers

As discussed above, even after the requested remedy is issued, consumers may purchase
mobile devices from numerous sources. Accordingly, the issuance of such relief will have no
relevant public interest impact on U.S. consumers.9

III. CONCLUSION
For the foregoing reasons, no public-interest concerns preclude the issuance of the
proposed remedy against Respondents in this matter.

8See Certain Optical Disk Controller Chips & Chipsets & Prods. Containing Same, Including DVD Players & PC Optical Storage Devices, Inv. No. 337-TA-506, Comn1nOp., at 61 (Sept. 28, 2005) (issuing remedy where there is no evidence that the U.S. demand for the covered products cannot be met by other entities, including the Complainants).
9See Digital TVProds, Comm'n Op., at 15-16 (nding that any adverse effect on U.S. consumers resulting from remedy would be minimal, given the range of available products, and would not outweigh the benet of protecting complainants IPR).

_5_

Dated: May 23, 2013

Respectfully submitted,

HQ.-1'%
Jamie D. Underwood ' Scott J. Pivnick M. Scott Stevens
ALSTON& BIRD LLP

The Atlantic Building 950 F Street, NW Washington, DC 20004 Telephone: (202) 239-3300 Facsimile: (202)239-3333
John M. Desmarais Alan S. Kellman Jason Berrebi
DESMARAISLLP

230 Park Avenue New York, NY 10169 Telephone: (212) 351-3400 Facsimile: (212)-351-3401

Counselfor Complainants Nokia Corporation and Nokia Inc

-6

U.S. INTERNATIONAL TRADE COMMISSION WASHINGTON, DC

In the Matter of
Certain Portable Electronic Communications Devices, Including Mobile Phones and Components Thereof
Investigation No. 337-TA

COMPLAINT UNDER SECTION 337 OF THE TARIFF ACT OF 1930. AS AMENDED

Complainants:
Nokia Corporation Keilalahdentie 4 PO Box 226 Espoo, Finland Telephone: 358 (0) 7180-08000
Nokia Inc. 200 South Mathilda Avenue Sunnyvale, CA 94086 Telephone: (408) 530-7600

Proposed Respondents:
HTC Corporation 23 Xinghua Road, Taoyuan City Taoyuan County 330, Taiwan Republic of China Telephone: +866-3-3753252
HTC America, Inc. 13920 SE Eastgate Way, Suite 400 Bellevue, WA 98005 Telephone: (425) 679-5318

Counsel for Complainants:

Jamie D. Underwood Scott J. Pivnick M. Scott Stevens
ALSTON& BIRD LLP

The Atlantic Building 950 F Street, NW Washington, DC 20004 Telephone: (202) 239-3300 Facsimile: (202)239-3333
John M. Desmarais Alan S. Kellman Jason Berrebi
DESMARAISLLP

230 Park Avenue New York, NY 10169 Telephone: (212) 351-3400 Facsimile: (212)-351-3401

TABLE OF CONTENTS
TABLE OF CONTENTS .............................................................................................................. ..II
LIST OF EXHIBITS ................................................................................................................... .. IV

APPENDICES ........................................................................................................................... ..VII

I. INTRODUCTION ............................................................................................................ .. 1

II.

COMPLAINANTS ........................................................................................................... .. 3

A.

NOKIA CORPORATION .................................................................................... .. 3

B.
III.

NOKIA INC.......................................................................................................... .. 5

PROPOSED RESPONDENTS ......................................................................................... .. 6

A.
B.
IV.

HTC CORPORATION ......................................................................................... .. 6

HTC AMERICA, INC. ......................................................................................... .. 6
................... .. 7

THE TECHNOLOGY AND ACCUSED PRODUCTS AT ISSUE ........

V.

THE ASSERTED PATENTS AND NON-TECHNICAL DESCRIPTION OF THE INVENTIONS ................................................................................................... .. 9

A. OWNERSHIP OF THE ASSERTED PATENTS ................................................ .. 9

B.

U.S. PATENT NO. 6,035,189 .............................................................................. .. 9

C.
D.
E.

U.S. PATENT NO. 6,373,345 ......................................................................... .. 10

U.S. PATENT NO. 6,711,211 ............................................................................ ..11
U.S. PATENT NO. 7,187,945 ............................................................................ .. 11

F.
G.
H.

U.S. PATENT NO. 8,140,650 ............................................................................ .. 12

U.S. PATENT NO. 8,363,824 ............................................................................ .. 13
FOREIGN COUNTERPARTS OF THE ASSERTED PATENTS .................... .. 13

I.

LICENSEES UNDER THE ASSERTED PATENTS ........................................ .. 14

VI.

HTCS UNLAWFUL AND UNFAIR ACTS ...........

A.

................................................. .. I4

DIRECT INFRINGEMENT ............................................................................... .. 16

B.

CONTRIBUTORY INFRINGEMENT .............................................................. .. I6

ii

C.
VII.

INDUCED INFRINGEMENT ................................................................... ..

SPECIFIC INSTANCES OF UNFAIR IMPORTATION AND SALE ................ ..

VIII.

HARMONIZED TARIFF SCHEDULE NUMBERS ............................................ ..

IX.

RELATED LITIGATION ..................................................................................... ..

X.

DOMESTIC INDUSTRY ...................................................................................... ..

A. NOKIAS PRACTICE OF THE ASSERTED PATENTS ..........................

B.

NOKIAS INVESTMENTS IN THE UNITED STATES RELATING TO PRODUCTS THAT PRACTICE THE ASSERTED PATENTS ................

1.

SIGNIFICANT INVESTMENT IN PLANT AND EQUIPMENT.

2.
3.

SIGNIFICANT EMPLOYMENT OF LABOR AND CAPITAL

SUBSTANTLAL INVESTMENTS IN ENGINEERING AND RESEARCH & DEVELOPMENT ................................................ ..

XI.

REQUEST FOR RELIEF ...................................................................................... ..

iii

LIST OF EXHIBITS
Exhibit No. Description
Certied copy of U.S. Patent No. 6,035,189 Certied copy of U.S. Patent No. 6,373,345 Certied copy of U.S. Patent No. 6,71 1,21 1 Certied copy of U.S. Patent No. 7,187,945 Certied copy of U.S. Patent No. 8,140,650 Certied copy of U.S. Patent No. 8,363,824 Certied copy of assignment for U.S. Patent No . 6,035,189 Certied copy of assignment for U.S. Patent No . 6,373,345 Certied copy of assignment for U.S. Patent No. 6,71 1,21 1 Certied copy of assignment for U.S. Patent No 7,187,945 Certied copy of assignment for U.S. Patent No 8,140,650 Certied copy of assignment for U.S. Patent No. 8,363,824 List of Foreign Counterparts of the Asserted Patents Claim Chart Showing Infringement of U.S. Patent No. 6,035,189 Condential Claim Chart Showing Infringement of U.S. Patent No. 6,373,345 Claim Chart Showing Infringement of U.S. Patent No. 6,71 1,211 Condential Claim Chart Showing Infringement of U.S. Patent No. 7,187,945 Claim Chart Showing Infringement of U.S. Patent No. 8,140,650 Claim Chart Showing Infringement of U.S. Patent No. 8,363,824 Information regarding the HTC One Phone (overview) Information regarding the HTC One Phone (specications) Condential Analysis of Broadcom BCM4334 Condential Tear Down Report-HTC One VX Information regarding the HTC One Phone (User Guide) Information regarding the Android 2.3 Platform Condential Information regarding the HTC One Phone (Techlnsights Report on HTC One) Android Developers AccountManager Information regarding the Android 2.2 Phone-Users Guide Android Developers Permissions The AndroidManifest.xml File Declaration of Matt McNeill Photographs of HTC One (Sprint) handset Photographs of HTC One (AT&T) handset Photographs of HTC One X handset Photographs of HTC First handset Photographs of HTC One VX handsets Photograph of Nokia Lumia 810 Mobile Phone Purchased from U.S. Retailer Photograph of Nokia Lumia 820 Mobile Phone Purchased from U.S. Retailer Photograph of Nokia Lumia 822 Mobile Phone Purchased from U.S. Retailer Photograph of Nokia Lumia 920 Mobile Phone Purchased from U.S. Retailer Claim Chart Showing Nokia Lumia 920 Mobile Phone Practices the 6,035,189 Patent
iv

9 10

ll

12
13

14 15 16 17 18 19

20
21

22
23

24 25 26 27 28 29 30
31

32
33

34 35 36 37 38 39 40
41

Condential Claim Chart Showing Nokia Lumia 822 Mobile Phone Practices the 6,373,345 Patent Claim Chart Showing Nokia Lumia 920 Mobile Phone Practices the 6,711,211 Patent Condential Claim Chart Showing Nokia Lumia 822 Mobile Phone Practices the 7,187,945 Patent Claim Chart Showing Nokia Lumia 920 Mobile Phone Practices the 8,140,650 Patent Claim Chart Showing Nokia Lumia 920 Mobile Phone Practices the 8,363,824 Patent Condential Analysis of Qualcomm WTRl605L Receiver
Illf0l1Tl8.tlOIl regarding the Nokia Lumia 920 Phone (User Guide)

Infomiation regarding the Nokia Lumia 920 Phone (Lumia 920 Specications) VP8 Data Format and Decoding Guide ITU-T: H. 264: Series H: Audiovisual and Multimedia Systems Information regarding the Nokia Lumia 920 (Windows Phone with Pureview Camera) Condential Presentation on Arrow Antenna and RF Architecture Murata Electronics Data Sheet of SAW Components Information Regarding the Nokia Lumia 822 Phone (322 Specications) UMTS Band, UTRA FDD Frequency Band, WCDMA Band Information regarding the Microsoft Phone-Account Class lnfonnation regarding the Microsoft Phone-Contacts Accounts Property Information regarding the Microsoft Phone-Set up a Facebook account Information regarding the Microsoft Phone-App Manifest le Condential List of Licenses to Asserted Patent Excerpts from HTC Corporations 2011 Annual Report Condential Declaration of Mario Viamin Photographs of HTC First Tear Down Photographs of Lumia 920 Tear Down

LIST OF PHYSICAL EXHIBITS

Exhibit N0.
l
2
3

Description
Physical sample of the domestic article protected by the asserted 920) Physical sample of the following imported article that is a complaint: HTC One VX Physical sample of the following imported article that is a complaint: HTC One Physical sample of the following imported article that is a complaint: HTC First patents (Lumia
subject of the
subject of the

subject of the

vi

APPENDICES
Agpendix
App. A

Description
Certied copy of Prosecution History of U.S. Patent No 6,035,189
Copy of References Cited in Prosecution History of U.S. Patent No 6,035,189

App .B
APP C

Certied copy of Prosecution History of U.S. Patent No . 6,373,345

Copy of References Cited in Prosecution History of U.S. Patent No. 6,373,345

App D

App. E
App. F

Certied copy of Prosecution History of U.S. Patent No. 6,711,211

Copy of References Cited in Prosecution History of U.S. Patent No. 6,711,211

App G
APP H

Certied copy of Prosecution History of U.S. Patent No. 7,187,945

Copy of References Cited in Prosecution History of U.S Patent No . 7,187,945

App

Certied copy of Prosecution History of U.S. Patent No 8,140,650

Copy of References Cited in Prosecution History of U.S. Patent No. 8,140,650

App. J

App K App L

Certied copy of Prosecution History of U.S. Patent No . 8,363,824

Copy of References Cited in Prosecution History of U.S Patent No 8,363,824

vii

I.

INTRODUCTION
1. Nokia Corporation and Nokia Inc. (collectively, Nokia or Complainants) le

this complaint pursuant to Section 337 of the Tariff Act of 1930, as amended, 19 U.S.C. 1337

(Section 337), based on the unlawful importation into the United States, the sale for

importation into the United States, and/or the sale within the United States after importation of

certain portable electronic communications devices, including mobile phones and components
thereof.
2. The proposed Respondents are HTC Corporation and HTC America, Inc.

(collectively, Respondents).
3. The complaint is directed to Respondents imported portable electronic

communications devices, including mobile phones and components thereof, that infringe U.S.
Patent Nos. 6,035,189 (the l89 Patent); 6,373,345 (the 345 Patent); 6,711,211 (the 211
Patent); 7,187,945 (the 945 Patent); 8,140,650 (the 650 Patent) and 8,363,824 (the 824

Patent) (collectively, the Asserted Patents). Such products include at least the HTC One S,
HTC One V, HTC One X, HTC Evo 4G LTE, HTC Droid Incredible 4G LTE, HTC Droid DNA,
HTC One X+, HTC One VX, HTC First, and HTC One (collectively, the Accused Products).1

The following table provides a summary of which Accused Products infringe which of the claims
of the Asserted Patents:
U.S. Patent No.
6,035,189

Asserted Claims
Claim 8 and 10-11

Accused Products
HTC One S HTC One V HTC One X HTC Evo 4G LTE

1The identication of a specic model or type of electronic device is not intended to limit the scope of the investigation. Discovery may reveal that additional HTC products infringe the asserted patent claims and/or that additional claims are infringed, and any remedy should extend to all infringing electronic devices.
1

U.S. Patent No.

Asserted Claims

Accused Products
HTC Droid Incredible 4G LTE HTC Droid DNA HTC One X+ HTC One VX HTC First HTC One

6,3 73,3 45

Claims 1-12

HTC One V HTC Droid DNA HTC One X+ HTC One VX HTC First HTC One
HTC One S HTC One V HTC One X HTC Evo 4G LTE HTC Droid Incredible 4G LTE HTC Droid DNA HTC One X+ HTC One VX HTC First HTC One

6,711,211

Claims 26-27, 29-31, 50-53, and 56 57

7,187,945

Claims 1-7, 12-14, 19, 27, and 31

HTC One X HTC One VX HTC First HTC One

HTC One S HTC One V HTC One X HTC Evo 4G LTE HTC Droid Incredible 4G LTE HTC Droid DNA HTC One X+ HTC One VX HTC First HTC One

8,140,650

Claims 1-8, 10-15, and 17-18

8,363,824

Claims 1-4, 7, 11-12, and 17-19

HTC First HTC One X+ HTC One X

4.

On information and belief, the Accused Products are manufactured and/or sold for

importation into the United States, imported into the United States, and/or sold after importation

into the United States by or on behalf of Respondents.

5.

An industry as required by 19 U.S.C. l337(a)(2) and (3) exists or is in the

process of being established in the United States relating to articles protected by the Asserted
Patents.

6.

Nokia seeks as relief a permanent limited exclusion order prohibiting entry into

the United States of Respondents infringing portable electronic communications devices,

including mobile phones. Nokia also requests that such an exclusion order prohibit Respondents
from importing into the United States key components of the accused portable electronic
communications devices, such as chipsets containing infringing functionality, so as to prevent

Respondents

from evading any exclusion order directed to its portable electronic

communications devices. See, e.g., Exhibit l5.

7.

Nokia also requests permanent cease and desist orders prohibiting Respondents

from importing, admitting or withdrawing from a foreign trade zone, marketing, advertising,
demonstrating, warehousing inventory, distributing, offering for sale, selling, licensing,

repairing, programming, or updating portable electronic communications devices, including

mobile phones.

II.

COMPLAINANTS

A.
8.

Nokia Corporation
Nokia Corporation is a company organized under the laws of Finland, with its

principal place of business at Keilalahdentie 4, PO Box 226, Espoo, Finland.

9. Nokia Corporation was founded in 1865 and is one of the worlds largest

manufacturers of mobile phones.

communications.

Nokia pioneered the early evolution of mobile

Begimiing in the early 1980s, Nokia introduced the rst car phone and

portable phone to operate on the Nordic Mobile Telephone (NMT) network, which was the

rst international cellular network. Nokia also provided base stations and switches for NMT
3

networks. Then, in 1987, Nokia launched the rst handheld mobile phone for NMT networks

known as the Mobira Cityman.

10.

Nokia was also one of the key developers of Global System for Mobile

communications (GSM) technology, which was adopted in 1987 as the European standard for

digital mobile technology.

Nokia delivered its rst GSM network to the Finnish company

Radiolinja in 1989 and launched its rst digital handheld GSM phone the Nokia 1011 in

1992. Throughout the 1990s, Nokias core business was manufacturing mobile phones and

telecommunications systems.
11. Nokias innovations have continued throughout the wireless era to the

smartphones of the present day, bringing several firsts in the industry. For example, in 1996,

Nokia introduced the Nokia 9000 Communicator, which was the rst all-in-one phone, fax,
calendar, email, and Internet device in a hand-portable size. The Nokia 8110i, introduced in

1997, was the rst mobile phone with a dynamic menu supporting Smart Messaging. Just two

years later, Nokia introduced the Nokia 7110, the rst mobile phone compliant with Wireless
Application Protocol 1.1, which provided access to mobile Intemet services, such as banking,

email, and news, and was the rst phone with predictive text input.
12. The new century brought even further Nokia advances. ln 2002, Nokia launched

the third generation (3G) Nokia 6650. That same year, Nokia also unveiled the Nokia 7650, a
phone with a built-in camera, and the Nokia 3650, N0kias video capture phone. The following

year, Nokia rolled out its 5140, the rst Push-to-Talk GSM handset. In 2006, Nokia introduced

the N95, which was the rst such device with built-in Global Positioning System (GPS)
technology, and, in 2008, Nokia released the E71, the world's slimmest smartphone. In 2010,

Nokia pioneered the N8, the rst smartphone with built-in 720P High Denition video and a 12
megapixel camera.
4

13.

In February of 201 1, Nokia announced it would release a new line of smartphones

that use the Microsoft Windows Phone operating system, designed to offer enhanced hardware
optimization, software customization, and language support. Early Nokia Windows-based

phones for the U.S. market include the Lumia 710, which was released in the United States in
January 2012, and the Lumia 900, which was released in the United States in April 2012. Nokia

has continued to build upon its Windows Phone product line through 2012 and 2013, with
additional releases in the United States including Lumia 810, Lumia 820, Lumia 822, and Lumia
920.

14.

Research is one of the keys to Nokias success and the necessary cornerstone for

its cutting-edge products.

B.
15.

Nokia Inc.
Nokia Inc. is a corporation existing under the laws of the State of Delaware, with

its principal place of business in Sumiyvale, California. Nokia Inc. is a wholly owned subsidiary

of Nokia Corporation.
16. Since 2011, Nokia Inc. has spent millions of dollars in U.S. expenditures related

to the development, testing, product support, repair, and service of its Lumia Windows Phone

product line, which, inter alia, embodies the innovations of the Asserted Patents, and many
others in Nokias vast portfolio. These expenditures and efforts demonstrate Nokias

commitment to bringing state-of-the-art mobile communications to U.S. consumers.

17. As of April, 2013, Nokia had over 1,500 employees in the United States, and their

combined salaries total in the hundreds of millions of dollars. Over 1,100 of these U.S.-based

Nokia employees work in research and development or in ongoing product maintenance that
support Nokias products sold in the United States, including those protected by the Asserted

Patents. Additional information regarding Nokia Corporation and Nokia Inc. may be found in
5

Nokia Corporations 2012 Annual Report, available at http://wwwnokia.com/global/abouv

nokia/investors/nancials/reports/resuIts---reports/.

III.

PROPOSED RESPONDENTS

A.
18.

HTC Corporation
Proposed Respondent HTC Corporation is a company organized under the laws of

Taiwan, with its principal place of business at 23 Xinghua Road, Taoyuan City, Taoyuan County
330, Taiwan, Republic of China. HTC Corporation, among other things, is engaged in the
manufacture, importation into the United States, and sale after importation into the United States

of mobile phones, including the Accused Products.

Upon information and belief, HTC

Corporation is the entity that manufactures each of the Accused Products, predominantly in
Taiwan.

B.
19.

HTC America, Inc.

Proposed Respondent HTC America, Inc. is a corporation organized and existing

under the laws of Texas, with its principal place of business at 13920 SE Eastgate Way, Suite

400, Bellevue, Washington 98005. HTC America, Inc. is a wholly owned subsidiary of HTC
Corporation. HTC America, Inc., among other things, is engaged in services related to the

importation into the United States and sale after importation into the United States of mobile

phones, including the Accused Products. On infonnation and belief, such services include the
marketing, repair, and after-sale service of mobile phones, including the Accused Products.
20. Additional information regarding HTC may be found in Exhibit 62, which

includes excerpts from HTC Corporations 2011 Annual Report.

IV.

THE TECHNOLOGY AND ACCUSED PRODUCTS AT ISSUE

21. The Accused Products are certain portable electronic communications devices,

including mobile phones and components thereof.

22.

The Asserted Patents are a reection of the breadth of Nokias extensive

dedication and investment in technology. Ever since the introduction of Nokias rst car phone
in 1981, Nokia has continuously endeavored to make the worlds best mobile phones and

enhance the users experience with diverse and advanced functionality. Whether it is designing

more reliable mobile phones that drop fewer calls, pioneering the rst smartphones that
synchronize seamlessly with computers, or developing some of the rst mobile phones with
built-in GPS, Nokia has taken great strides to stay ahead of its competition. N0kias innovations
have been applied in many portable electronic communications devices other than mobile
phones, such as mobile tablets, portable music players, and computers.
23. Mobile phones have come a long way since the car phones and briefcase phones

of the 1980s. Todays mobile phones not only make phone calls, they are also GPS devices,

internet browsers, electronic mail devices, electronic book readers, social networking platforms,

and so much more. Not only do smartphones have many functions, they also have different

processes for connecting to a network and sending information over that network, depending on
the type of information that is being sent or received. For example, smartphones have Wi-Fi,

GPS, and Bluetooth capabilities for connecting to wireless devices and sending and receiving
applications, software upgrades, email, text messages, and voice information.

24.

Todays mobile phones must also operate in a multitude of different frequency

bands. A problem with this is that a mobile station operating in two or three frequency bands,
for example, requires many lters, which occupy too much space in a mobile station. The 345

Patent introduces a technology that allows for a compact modulator structure that can be used in
many frequency bands while also achieving an improved signal-to-noise ratio.
25. Todays smartphones are also capable of decoding and playing large video les.

Unlike traditional desktop computers, mobile tenninals have limited computational resources

and battery life. The 2ll Patent introduces versatile and exible technology for encoding and
decoding video information with less computational complexity, allowing smartphones to

efciently decode video information.

26. Mobile phones also continue to increase the number of frequency bands and types

of networks on which they can operate. This allows access to more systems, for example, when

a phone is roaming but increases the complexity of the radio transceiver portion of the device.
Nokias 945 Patent therefore provides, for example, a technology that allows for a portable and
universal radio transceiver that can be utilized in different regions around the world.
27. Current phones have also seen an explosion in the number and types of

applications for which they are used. Many applications require access to third party information

using different user accounts. In order to balance security needs with the convenience of these
services, the 650 Patent introduces, for example, a method that allows applications to specify

what pennissions are needed and allows users to determine whether to allow applications to
access their private data.

28.

Customers desire modem smartphones that have high performance, long-lasting

batteries, and appealing designs. Increasing performance and battery life can require more space,

but many consumers prefer thin smartphone designs. The 824 Patent introduces an efficient

conguration for the internal architecture of a smartphone that promotes these goals, for
example, by placing the engine and battery adjacent to each other and directly beneath the user
input, in a one-piece housing.
8

29.

Smartphone users desire the ability to customize the functionality of their phones

depending on individual preferences and the availability of new services. Accordingly, the l89
Patent discloses a device that can adapt to continuously changing and developing services by
having the ability to load new services onto the device. Users can add new functionalities by

installing applications that are made available via an application store.

v.

THE ASSERTED PATENTS AND NON-TECHNICAL DESCRIPTION or THE INVENTIONSI

A.
30.

Ownership of the Asserted Patents

Nokia Corporation owns the entire right, title, and interest to the Asserted Patents.

Copies of the assignments for each of the Asserted Patents are attached as Exhibits 7-12.

B.
31.

U.S. Patent N0. 6,035,189

The l89 Patent, entitled Method for Using Services Dffered by a

Telecommunication Network, a Telecommunication System and a Terminal for It, issued on

March 7, 2000, to inventors Timo Ali-Vehmas, Pekka Heinonen, Harri Okkonen, Lioudmila
Blants, and Petteri Saarinen. The l89 Patent issued from U.S. Patent Application Serial No.
08/867,296, led on June 2, 1997, and expires on or after June 2, 2017.

32.

A certied copy of the l89 Patent is attached as Exhibit 1.

33.

A certified copy of the prosecution history of the l89 Patent and copies of each

reference cited in the l89 Patent and its prosecution history are included in Appendices A and
B, respectively.

2 All non-technical descriptions of the inventions herein are presented to give a general background of those inventions. Such statements are not intended to be used, nor should be used, for purposes of patent claim interpretation. Complainants present these statements subject to, and without Waiver of, their right to argue that claim terms should be consmled in a particular way, as contemplated by claim interpretation jurisprudence and the relevant evidence.
9

34.

The 189 Patent has thirteen claims, ve of which are independent claims.

Complainants are asserting claims 8, 10, and ll.

35. The 189 Patent discloses, for example, a device that has the ability to add new

services made available by a telecommunications system. In one embodiment, the device loads

instructions related to a new service that determines display and selection information for that
new service.

C.
36.

U.S. Patent No. 6,373,345

The 345 Patent, entitled Modulator Structure for a Transmitter and a Mobile

Station, issued on April 16, 2002, to inventors Harri Kimppa, Simo Murtojarvi and Markus

Pettersson. The 345 Patent issued from U.S. Patent Application Serial No. 09/429,911, led on
October 29, 1999, and expires on or after October 29, 2019.

37.

A certied copy of the 345 Patent is attached as Exhibit 2.

38.

A certied copy of the prosecution history of the 345 Patent and copies of each

reference cited in the 345 Patent and its prosecution history are included in Appendices C and

D, respectively.
39. The 345 Patent has 12 claims, two of which are independent claims.

Complainants are asserting claims 1-l2.

40. The 345 Patent discloses, for example, a modulator structure that is suitable for
In one

use in mobile stations that are required to operate in multiple frequency bands.

embodiment, for example, the modulator structure contains a switching arrangement and a driver
arrangement that is coupled to the switching arrangement, where the driver arrangement includes

at least one low-pass lter arrangement that can be used to improve the signal-to-noise ratio of a
device.

10

D.
41.

U.S. Patent N0. 6,711,211

The 2ll Patent, entitled Method for Encoding and Decoding Video Information,

a Motion Compensated Video Encoder and a Corresponding Decoder, issued on March 23,

2004, to inventor Jani Lainema. The 2ll Patent issued from U.S. Patent Application Serial No.
09/566,020, led on May 8, 2000, and expires on or after May 8, 2020.

42.

A certied copy of the 2ll Patent is attached as Exhibit 3.

43.

A certied copy of the prosecution history of the 2ll Patent and copies of each

reference cited in the 2ll Patent and its prosecution history are included in Appendices E and F,
respectively.

44.

The 2ll Patent has fty-seven claims, six of which are independent claims.

Complainants are asserting claims 26, 27, 29-31, 50-53, and 56-57.

45.

The 2ll Patent discloses, for example, methods for encoding and decoding video

infonnation. In one embodiment, prediction motion coefcients are derived for blocks Within a

macroblock of a video frame.

E.
46.

U.S. Patent No. 7,187,945

The 945 Patent, entitled Versatile Antenna Switch Architecture, issued on

March 6, 2007, to inventors Tero Ranta and Juha Ella. The 945 Patent issued from U.S. Patent
Application Serial No. 10/836,124, led on April 30, 2004, and expires on or after September 1,
2024.

47.

A certied copy of the 945 Patent is attached as Exhibit 4.

48.

A certied copy of the prosecution history of the 945 Patent and copies of each

reference cited in the 945 Patent and its prosecution history are included in Appendices G and

H, respectively.

ll

49.

The 945 Patent has forty-three claims, ve of which are independent claims.

Complainants are asserting claims 1-7, 12-14, l9, 27, and 31.

50.

The 945 Patent discloses, for example, a technology that facilitates band

selection and mode switching in todays multi-standard and multi-band wireless communications
devices. For example, it discloses a mobile station that uses two antenna switches to route

various multi-band and/or multi-standard transmit and receive paths to two antennas.

F.
51.

U.S. Patent N0. 8,140,650

The 650 Patent, entitled Use of Congurations in Device with Multiple

Congurations, issued on March 20, 2012, to inventors Markku Pulkkinen and Martti Lindroos.

The 650 Patent issued from U.S. Patent Application Serial No. ll/794,421, led on December
30, 2004, and expires on or after December 30, 2024.

52.

A certied copy of the 650 Patent is attached as Exhibit 5.

53.

A certied copy of the prosecution history of the 650 Patent and copies of each

reference cited in the 650 Patent and its prosecution history are included in Appendices I and J,

respectively.
54. The 650 Patent has thirty claims, seven of which are independent claims.

Complainants are asserting claims 1-8, 10-15, and 17-18.

55.

The 650 Patent discloses, for example, a method for an external managing entity

to arrange use of congurations in a device with multiple conguration data sets.

In one

embodiment, the device stores multiple conguration data sets, checks access control

information provided by an extemal entity for a conguration data set, and arranges for an

application to have access to the conguration data set on the basis of the access control
information.

12

G.
56.

U.S. Patent N0. 8,363,824

The 824 Patent, entitled Portable Electronic Device, issued on January 29,

2013, to inventor Claus H. Jorgensen. The 824 Patent issued from U.S. Patent Application

Serial No. 12,860,234, led on August 20, 2010, and expires on or after March 29, 2026.

57.

A certied copy of the 824 Patent is attached as Exhibit 6.

58.

A certied copy of the prosecution history of the 824 Patent and copies of each

reference cited in the 824 Patent and its prosecution history are included in Appendices K and

L, respectively.

59.

The 824 Patent has twenty claims, three of which are independent claims.

Complainants are asserting claims 1-4, 7, 11-12, and 17-19.

60.

The 824 Patent discloses, for example, a portable electronic device including a

user input, an engine, a battery, and a housing. ln one embodiment, the housing forms a rear side
and enclosed lateral sides. The user input is located in a hole through the front of the housing.

The engine and battery are adjacent to one another directly beneath the user input.

This

conguration allows for efcient use of space within the one-piece housing.

H.
61.

Foreign Counterparts of the Asserted Patents

A list of each foreign patent, each foreign patent application, and each foreign

application that has been denied, abandoned, or withdrawn corresponding to the Asserted
Patents, with an indication of the prosecution status of each such foreign patent application, is
attached as Exhibit 13. Nokia is aware of no other foreign patent, foreign patent application, or

foreign application that has been denied, abandoned, or withdrawn corresponding to the Asserted
Patents.

13

I.
62.

Licensees Under the Asserted Patents

Any party that may be licensed to one or more of the Asserted Patents is

identied in Condential Exhibit 61.

VI.

HTCS UNLAWFUL AND UNFAIR ACTS

63. As discussed in detail below, HTCs Accused Products are portable electronic

communications devices, including mobile phones and components thereof, that infringe the
Asserted Patents and are manufactured abroad by or for HTC and sold for importation into the
United States, imported into the United States, and/or sold within the United States after

importation. Information regarding representative Accused Products discussed below can be

found in Exhibits 31-36.

64.

HTC directly infringes, contributes to the infringement of, and induces the

infringement of at least claims 8, 10, and 11 of the 189 Patent with respect to at least the

following portable electronic communications devices: HTC One S, HTC One V, HTC One X,
HTC Evo 4G LTE, HTC Droid Incredible 4G LTE, HTC Droid DNA, HTC One X+, HTC One

VX, HTC First, HTC One (collectively, the HTC 189 Accused Devices).

65.

An exemplary claim chart showing infringement of independent claim 8 of the

l89 Patent by the HTC One is attached as Exhibit 14.

66. HTC directly infringes, contributes to the infringement of, and induces the

infringement of at least claims 1-12 of the 345 Patent with respect to at least the following
portable electronic communications devices: HTC One V, HTC Droid DNA, HTC One X+,
HTC One VX, HTC First, HTC One (collectively, the HTC 345 Accused Devices).

67.

An exemplary claim chart showing infringement of independent claims 1 and 7 of

the 345 Patent by the HTC One VX is attached as Condential Exhibit 15.

14

68.

HTC directly infringes, contributes to the infringement o and induces the

infringement of at least claims 26-27, 29-31, 50-53, and 56-57 of the 21l Patent with respect to
at least the following portable electronic communications devices: HTC One S, HTC One V,

HTC One X, HTC Evo 4G LTE, HTC Droid Incredible 4G LTE, HTC Droid DNA, HTC One
X+, HTC One VX, HTC First, HTC One (collectively, the HTC 211 Accused Devices).

69.

An exemplary claim chart showing infringement of independent claims 26, 50,

and 56 of the 211 Patent by the HTC One is attached as Exhibit 16.

70.

HTC directly infringes, contributes to the infringement of, and induces the

infringement of at least claims 1-7, 12-14, 19, 27, and 31 of the 945 Patent with respect to at

least the following portable electronic communications devices: HTC One X, HTC One VX,
HTC First, HTC One (collectively, the HTC 945 Accused Devices).
71. An exemplary claim chart showing infringement of independent claims 1, 12, 19,

and 31 of the 945 Patent by the HTC One is attached as Condential Exhibit 17.

72.

HTC directly infringes, contributes to the infringement of, and induces the

infringement of at least claims 1-8, 10-15, and 17-18 of the 650 Patent with respect to at least

the following portable electronic communications devices: HTC One S, HTC One V, HTC One
X, HTC Evo 4G LTE, HTC Droid Incredible 4G LTE, HTC Droid DNA, HTC One X+, HTC
One VX, HTC First, HTC One (collectively, the HTC 65OAccused Devices).

73.

An exemplary claim chart showing infringement of independent claims 1 and 10

of the 650 Patent by the HTC One is attached as Exhibit 18.

74.

HTC directly infringes, contributes to the infringement of, and induces the

infringement of at least claims 1-4, 7, 11-12, and 17-19 of the 824 Patent with respect to at least

the following portable electronic communications devices: HTC First, HTC One X+, and HTC
One X (collectively, the HTC 824 Accused Devices).
15

75.

An exemplary claim chart showing infringement of independent claims l and l7

of the 824 Patent by the HTC First is attached as Exhibit 19.

A.
76.

Direct Infringement
HTC directly infringes the Asserted Patents through its sale for importation,

importation, and/or sale after importation of the Accused Products.

77. On information and belief, HTC imports into the United States at least the HTC

Accused Products.
78. HTC, directly and through authorized agents, sells and offers for sale the HTC

Accused Products within the United States to end users.

79. On information and belief, HTC sells and offers for sale the HTC Accused

Products to wireless system operators, distributors, independent retailers, and other resellers in
the United States.

80.

On infonnation and belief, HTC tests or operates the HTC Accused Products in

the United States, thereby performing the claimed methods and directly infringing any asserted
claims of the Asserted Patents requiring such operation. Similarly, HTCs customers and the end

users of the Accused Products test and/or operate the HTC Accused Products in the United
States, in accordance with HTCs instruction contained in, for example, its user manuals, thereby

also performing the claimed methods and directly infringing any asserted claims of the Asserted
Patent requiring such operation.

B.
81.

Contributory Infringement
HTC also contributes to infringement of the Asserted Patents by selling for

importation into the United States, importing into the United States, and/or or selling within the

United States after importation the HTC Accused Products, and the non-staple constituent parts

16

of those devices, that embody a material part of the inventions described in the Asserted Patents.
These devices are known by HTC to be especially made or especially adapted for use in the

infringement of the Asserted Patents.

82. Specically, HTC sells the HTC Accused Products to resellers and end users with

knowledge that the devices infringe. End users of those portable electronic communications
devices directly infringe the Asserted Patents.

83.

HTC has had knowledge and notice of the Asserted Patents and its infringement

thereof since at least May 23, 2013, when Nokia sent a letter to HTC concerning such
allegations. HTC has also had knowledge and notice of the Asserted Patents and its infringement

as of the date of the ling of this complaint.

C.
84.

Induced Infringement
HTC also induced, and continues to induce, infringement of the Asserted Patents

by encouraging and facilitating others to perfonn acts known by HTC to infringe the Asserted

Patents with the specic intent that those performing the acts infringe the Asserted Patents.
Upon information and belief, HTC did so with knowledge or willful blindness of the Asserted
Patents. HTC, upon infonnation and belief, inter alia, advertises the HTC Accused Products,

publishes datasheets and promotional literature describing the operation of those devices, creates
and/or distributes user manuals for the HTC Accused Products, and offers support and technical

assistance to its customers designed to induce those customers to perform the specic acts of
direct infringement. On information and belief, these materials instruct and encourage users to

use HTCs Accused Products in a manner than infringes the asserted claims.

l7

VII.

SPECIFIC INSTANCES OF UNFAIR IMPORTATION AND SALE

85. Respondents sell for importation into the United States, import into the United

States, and/or sell after importation into the United States the Accused Products. Examples of
Accused Products were purchased in the United States. See Exhibit 31.
86. HTCs Accused Products are manufactured abroad, sold for importation into the

United States, imported into the United States, and/or sold after importation into the United

States by HTC and/or their authorized agents. See Exhibit 31. For example, Exhibit 62 contains

excerpts from HTCs Annual Report for scal year 2011.3 That Amiual Report indicates that
HTCs manufacturing facilities for its mobile phones are located in at least Taiwan. See Exhibit
62 at 188-189. The Annual Report also touted HTCs purported position as the 3rd largest

smaitphone player in North America. Id. at 6.

87. Exhibits 32-36 contain photographs of HTC One, HTC One X, HTC One VX, and

HTC First mobile phones purchased from retailers in the United States. The photographs show,

inter alia, that these mobile phones themselves, as well as their packaging, indicate that they
were Made in Taiwan." For example, Nokias counsel caused an HTC One to be purchased
from the AT&T Premier Online Store on April 8, 2013, and said HTC One was subsequently

shipped to Atlanta, Georgia. See Exhibit 31. Exhibit 33 shows that the packaging of said HTC
One states that it was Made in Taiwan.

VIII. HARMONIZED TARIFF SCHEDULE NUMBERS

88. On information and belief, the Accused Products have been imported into the

United States under at least the following Harmonized Tariff Schedule number: 85l7.l2.0050
(mobile phones).

3 HTCs A1l1'lLll Report for scal year 2012 is not yet available.
18

IX.

RELATED LITIGATION
89. Nokia has litigated the 345 patent against another party in prior litigation. Nokia

asserted the 345 patent against Apple Inc. before the Western District of Wisconsin in Nokia

Corp. v. Apple Ina, case 3:10-cv-249 (WMC), later transferred to the District of Delaware as
case 1:11-cv-15 (GMS). All of these actions were ten-ninated based on a settlement agreement in
June 2011.

90.

Nokia has not litigated the Asserted Patents against Respondents before any other

court or agency, nor is Nokia currently bringing any concurrent litigation involving the Asserted
Patents.

X.

DOMESTIC INDUSTRY
91. An industry as required by Section 337(a)(2) and as dened by Section 337(a)(3)

exists or is in the process of being established in the United States. Nokia already offers in the

U.S. market at least four models of mobile phones that practice one or more of the Asserted
Patents, the Lumia 810, Lumia 820, Lumia 822, and Lumia 920, and has already spent millions

of dollars in the United States to create, test, and support these models for use by U.S.

consumers. Moreover, Nokia continues to take the necessary tangible steps to further establish a
domestic industry for the Lumia 810, Lumia 820, Lumia 822, and Lumia 920, and other

Windows-based mobile phones by budgeting additional and substantial resources to ensure that
these products are fully developed, are available, and are serviced properly in the United States.

Thus, Nokias past, present, and future activities as they relate to the Lumia 810, Lumia 820,

Lumia 822, and Lumia 920 support both a current and future domestic industry relating to

products that practice the Asserted Patents.

19

A.
92.

Nokias Practice of the Asserted Patents

As stated above, for purposes of this complaint, Nokia submits the Lumia 810,

Lumia 820, Lumia 822, and Lumia 920 as representative mobile phones that practice one or

more the Asserted Patents. The following table provides a summary of the each of the Asserted

Patents being practiced by these Nokia products:

U.S. Patent No.
6,373,345

Nokia Product
Lumia 810, Lumia 822

I
I

6,71 1,211

Lumia 810, Lumia 820, Lumia 822, & Lumia 920

7,187,945
8,140,650

Lumia 810, Lumia 822

Lumia 810, Lumia 820, Lumia 822, & Lumia 920

8,363,824
6,035,189

Lumia 920
Lumia 810, Lumia 820, Lumia 822, & Lumia 920

93.

In addition, Nokia is actively designing new mobile phones in the United States

that will use the Windows Phone operating system, and which may also practice the Asserted

Patents.
94. Photographs of Nokias Lumia 810 mobile phone are included in Exhibit 37.

95.
96.

Photographs of Nokias Lumia 820 mobile phone are included in Exhibit 38.
Photographs of Nokias Lumia 822 mobile phone are included in Exhibit 39.

97.

Photographs of Nokias Lumia 920 mobile phone are included in Exhibit 40.

98.

Technical information regarding the Nokia Lumia products referred to here may

be found in Exhibits 47-49, 51-55, 57-60, and 65.

99.

Confidential Exhibit 42 contains a claim chart showing that Nokias Lumia 822

mobile phone practices at least claim 1 of the 345 Patent.

100.

Exhibit 41 contains a claim chart showing that Nokias Lumia 920 mobile phone

practices at least claim 8 of the 189 Patent.

20

101.

Exhibit 43 contains a claim chart showing that Nokias Lumia 920 mobile phone

practices at least claim 26 of the 211 Patent.

102.

Condential Exhibit 44 contains a claim chart showing that Nokias Lumia 822

mobile phone practices at least claim 19 of the 945 Patent.

103.

Exhibit 45 contains a claim chart showing that Nokias Lumia 920 mobile phone

practices at least claim 10 of the 650 Patent.

104.

Exhibit 46 contains a claim chart showing that Nokias Lumia 920 mobile phone

practices at least claim 1 of the 824 Patent.

B.

Nokias Investments in the United States Relating to Products that Practice the Asserted Patents
Nokia has made, and continues to make, substantial investments in the United

105.

States to create and support the products that practice the Asserted Patents.
106. In 2011, Nokia began development of a new line of smartphones for the U.S.

market that use the Microsoft Windows Phone operating system.

107.

The rst of these Windows-based mobile phones, Nokias Lumia 710, was

released in the United States in January 2012.

108.

The second of these Windows-based mobile phones, Nokias Lumia 900, was

released in the United States in April 2012.

109.

Each of the Windows-based Lumia 810, Lumia 820, Lumia 822, and Lumia 920,

was released in the United States in November 2012.

I10.

Nokia has expended considerable resources on plant and equipment, labor and

capital, and engineering and research and development to support its Windows-based mobile
phones in the United States. These expenditures continue as Nokia further improves the Lumia
810, Lumia 820, Lumia 822, and Lumia 920 mobile phones and also seeks to develop new
21

Windows-based mobile phones.

expenditures is set forth below.

A discussion of both current and future representative

lll.

Moreover, Nokia has and continues to expended considerable resources on plant

and equipment, labor and capital, and engineering and research and development to support its
domestic efforts to release additional Windows-based mobile phones in the United States.

1.
112.

Signicant Investment in Plant and Equipment

Nokia has spent, and continues to spend, signicant sums on its domestic

facilities supporting the products that practice the Asserted Patents. For example, the research
and development efforts for the Lumia 810 and Lumia 822 mobile phones took place in Nokias

San Diego, Califomia facility, and the Lumia 820 and Lumia 920 were technologically tested
and readied for market in the San Diego facility, in which Nokia has made, and continues to

make, extensive investments.

113. In addition, Nokia maintains several other locations throughout the United States

that support activities related to these mobile phones, including, but not limited to, Irving, Texas;
Bellevue, Washington; and Sunnyvale, California. See Condential Exhibit 63. Such

expenditures for facilities supporting the Lumia 810, Lumia 820, Lumia 822, and Lumia 920 will
continue.

114.

Nokia has also made, and continues to make, signicant domestic investments in

equipment used to perfonn technical testing and to research and develop the Lumia 810, Lumia
820, Lumia 822, and Lumia 920. From 2011 to 2012, Nokia spent millions of dollars in the

United States on such equipment. See Confidential Exhibit 63.

115.

In addition to expenditures already made, Nokia has budgeted millions of dollars

more to be spent in the United States on equipment used to perform technical testing and to

22

continue to research and develop the Lumia 810, Lumia 820, Lumia 822, and Lumia 920, as well

as other Windows-based mobile phones. See Condential Exhibit 63.

2.
116.

Signicant Employment of Labor and Capital

Nokia has engaged in, and continues to engage in, signicant employment of

labor and capital in the United States.

117.

As of April, 2013, Nokia had over 1,500 U.S.-based employees, and their

combined salaries total in the hundreds of millions of dollars. See Condential Exhibit 63.
118. The majority of these employees work in research and development or in ongoing

product maintenance supporting Nokias products in sold in the United States, including those

that practice the Asserted Patents. Many of them were specically dedicated to the development,
testing, and readying-for-market activities for the Lumia 810, Lumia 820, Lumia 822, and Lumia
920 mobile phones. See Condential Exhibit 63.

119.

In addition to employment expenditures already made, Nokia has budgeted

signicant additional money to be spent in the United States on salaries for the continued

development of the Lumia-series of mobile phones in the upcoming months of 2013.

Condential Exhibit 63.

See

3.
120.

Substantial Investments in Engineering and Research & Development

Nokia has made, and continues to make, substantial investment in engineering

and research and development activities that support the products that practice the Asserted
Patents.

121.

For example, just since 2012, Nokia has spent millions of dollars in the United

States on the research and development of the Lumia 810, Lumia 820, Lumia 822, and Lumia

23

920. These expenditures include, but are not limited to, direct technical program costs and costs

for building prototypes of these mobile phones. See Condential Exhibit 63.
122. In addition to expenditures already made, Nokia has budgeted additional

expenditures to be spent on the further research and development of Lumia-series mobile phones

for the remainder of 2013. See Condential Exhibit 63.

123. Nokias engineers also continue to design new mobile phones to be used in

conjunction with the Windows Phone operating system. See Condential Exhibit 63.

124.

Once initial development is complete for any Nokia mobile phone produced for

the U.S. market, including, but not limited to, the Lumia 810, Lumia 820, Lumia 822, and Lumia

920, that phone undergoes rigorous technical testing. See Condential Exhibit 63.
125. Even after Nokia makes a new mobile phone available for sale domestically,

Nokia continues to work on in-market research and development activities, which involve, inter
alia, product support and quality control. Nokia has spent sizeable resources in the United States
on in-market research and development activities for the Lumia 810, Lumia 820, Lumia 822, and
Lumia 920. See Condential Exhibit 63.

126.

In addition to expenditures already made, Nokia has budgeted additional

expenditures to be spent on domestic in-market research and development activities to support

the Lumia 810, Lumia 820, Lumia 822, and Lumia 920 for the remainder of 2013. See

Condential Exhibit 63.

127. Nokia has also budgeted millions of dollars for warranty and repair of the

products that practice the Asserted Patents, including the Lumia 810, Lumia 820, Lumia 822, and

Lumia 920 mobile phones. Nokia CARE, currently based out of Nokias Irving, Texas facility,
is responsible for providing these services. See Condential Exhibit 63.

24

128

Further, Nokia has budgeted millions of dollars to be spent domestically in 2013

for salaries and materials that support the Lumia 810, Lumia 820, Lumia 822, and Lumia 920.

See Condential Exhibit 63.

XI

REQUEST FOR RELIEF

129 Complainants request that the U.S. lntemational Trade Commission:

Institute an immediate investigation, pursuant to Section 337 of the Tariff

Act of 1930, as amended, 19 U.S.C. 1337, with respect to violations of

Section 337 based upon the sale for importation into the United States, the
importation into the United States, and/or the sale within the United States

after importation of Respondents portable electronic communications

devices, including mobile phones, and components thereof that infringe
one or more claims of the Asserted Patents;
Determine that there has been a violation of Section 337 by each

Respondent;
Issue a permanent exclusion order, pursuant to 19 U.S.C. 1337(d),

prohibiting entry into the United States all of Respondents portable

electronic connnunications devices, including mobile phones, and

components thereof that infringe one or more claims of the Asserted

Patents;
Issue permanent cease and desist orders, pursuant to 19 U.S.C. l337(f),

prohibiting Respondents, or their parents, subsidiaries, or other afliates,

from importing, admitting or withdrawing from a foreign trade zone,

marketing,

advertising,

demonstrating,

warehousing

inventory,

25

distributing, offering for sale, selling, licensing, repairing, programming,

or updating portable electronic communications devices, including mobile

phones, and components thereof that infringe one or more claims of the
Asserted Patents; and
C.

Grant such other and further relief as the Commission deems just and
proper based on the facts determined by the investigation and the authority

of the Commission.

Dated: May 23,2013

Respectfully submitted,

J4.,4%_
Jamie D. Underwood Scott J. Pivnick M. Scott Stevens
ALSTON& BIRD LLP

The Atlantic Building 950 F Street, NW Washington, DC 20004 Telephone: (202) 239-3300 Facsimile: (202)239-3333
John M. Desmarais Alan S. Kellman Jason Berrebi
DESMARAISLLP

230 Park Avenue New York, NY 10169 Telephone: (2 I2) 351-3400 Facsimile: (212)-351-3401

Counselfor Complainants Nokia Corporalion and Nokia Inc.

26

VERIFICATION OF COMPLAINT

l Paul Melin, declare under penalty of perjury under the laws of the United
States of America, and in accordance with 19 C.F.R. 2l0.4 and 210_l2(a) the
following IStrue and correct:

I am the Chief lntellectual Property Officer of Nokia Corporation and

am duly authorized to verify this complaint on behalf of complainants;
I have read the complaint and am aware of its contents;
The complaint is not being presented for any improper purpose, such

as to harass or to cause unnecessary delay or needlessly increase in the

cost of litigation;
To the best of my knowledge, information and belief founded upon

reasonable inquiry, the claims and legal contentions of this complaint

are warranted by existing law or a good faith argument for the

extension, modication or reversal of existing law;

To the best of my knowledge, information and belief founded upon
reasonable inquiry, the allegations and other factual contentions in the

complaint have evidentiary support or are likely to have evidentiary

support aer a reasonable opportunity for further investigation or

discovery.

Executed on May 23, 2013

Paul Melin