Professional Documents
Culture Documents
In the Matter of
Respondent Apple, Inc. (“Apple”) hereby move to terminate this Investigation based on the
attached Settlement and Release Agreement. See Confidential Exhibit 1.1 The Office of Unfair
Import Investigations has indicated that it will take a position on the motion after it is filed.
other settlement agreement. 19 C.F.R. §210.21(b). Pursuant to the attached Settlement and
Release Agreement, Qualcomm and Apple have agreed to terms settling the dispute that forms the
subject matter of this Investigation. Apart from the attached Settlement and Release Agreement,
there are no agreements, written or oral, express or implied between the Parties concerning the
Allowing this motion to terminate based on the settlement of the Parties will not impose an
undue burden on the public health and welfare, competitive conditions in the United States
economy, production of like or directly competitive articles in the United States, or U.S.
1
Pursuant to this same Settlement and Release Agreement, Qualcomm will not be pursuing any appeal of
the Commission’s final decision in Investigation No. 337-TA-1065.
03536-00032/10824535.2 1
PUBLIC VERSION
consumers. See 19 C.F.R. § 210.50(b)(2). Indeed, it is in the interest of the public and
administrative economy to grant this motion. Commission policy and the public interest generally
favor termination by settlement, which preserves resources for both the Commission and the
private Parties, and termination based on a settlement is routinely granted. See, e.g., Certain
Mobile and Portable Electronic Devices Incorporating Haptics (Including Smartphones and
Laptops) and Components Thereof, Inv. Nos. 337-TA-1004, 337-TA-990, Order No. 75 at 2 (Feb.
16, 2018) (granting motion to terminate based on settlement when termination would “not impose
any undue burdens on the public health and welfare, competitive conditions in the United States
economy, production of like or directly competitive articles in the United States, or United States
consumers”); see also Certain Electronic Devices, Including Mobile Phones, Tablet Computers,
and Components Thereof, Inv. No. 337-TA-1038, Order No. 26 (Aug. 8, 2017); Certain
Hemostatic Products and Components Thereof, Inv. No. 337-TA-913, Order No. 51 (Apr. 2,
2015). As such, the Commission should grant the instant motion to terminate the Investigation.
The Settlement and Release Agreement contains confidential business information within
the meaning of 19 C.F.R. § 210.5. Accordingly, Qualcomm and Apple request permission to
redact information confidential to Qualcomm and/or Apple, and further request that the un-
redacted version of the Settlement and Release Agreement be treated as Confidential Business
Information under the Protective Order in this Investigation (Order No. 1) and not publicly
disclosed. A redacted version of the Settlement and Release Agreement is attached hereto as
The treatment requested by Qualcomm and Apple is appropriate and consistent with
Commission precedent generally, which supports withholding settlement terms, and is further
consistent with the public interest, which favors settlement. See Certain Machine Vision Software,
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Machine Vision Systems, and Products Containing the Same, Inv. No. 337-TA-680, Order No. 17
(Initial Determination) (Oct. 26, 2009); Certain Semiconductor Chips and Products Containing
the Same, Inv. No 337-TA-753, Order No. 26 (June 20, 2011); Certain Dynamic Random Access
Memory Semiconductors and Products Containing Same, Including Memory Modules, Inv. 337-
TA-707, Order No. 10 (June 29, 2010); Certain Automotive Multimedia Display and Navigation
Systems, Inv. No. 337-TA-657, Order No. 27, (June 23, 2009); Certain Wireless Headsets, Inv.
No. 337-TA-943, Order No. 10 at 3 (May 19, 2015) (“termination of [respondent] is in the public
interest, as public and private resources will be conserved”); Certain Windshield Wipers &
Components Thereof, Inv. No. 337-TA-928/937, Order No. 24 at 3 (Jun. 5, 2015); Certain Set-Top
Boxes, Gateways, Bridges, & Adapters & Components Thereof, Inv. No. 337-TA-915, Order No.
17 at 4 (Oct. 7, 2014); Certain Cases for Portable Elec. Devices, Inv. No. 337-TA-861/867, Order
For the foregoing reasons, Qualcomm and Apple respectfully request that that the
03536-00032/10824535.2 3
PUBLIC VERSION
03536-00032/10824535.2 4
PUBLIC VERSION
Richard S. Zembek
Eric B. Hall
Daniel S. Leventhal
Talbot R. Hansum
NORTON ROSE FULBRIGHT US LLP
Fulbright Tower
1301 McKinney, Suite 5100
Houston, TX 77010
Tel.: (713) 651-5151
03536-00032/10824535.2 5
([KLELW1
EXECUTION VERSION
BY AND BETWEEN
(2) APPLE INC., a corporation validly organized and existing under the laws of California,
USA and having its principal office at 1 Apple Park Way, Cupertino, California 95014 USA
(hereinafter referred to together with its Affiliates as “Apple”),
(each of Qualcomm and Apple, as defined above to include their respective Affiliates, a “Party,”
and collectively, the “Parties”).
RECITALS
(A) WHEREAS, the Parties have been engaged in licensing discussions and a variety of
litigation and regulatory actions worldwide, including patent, antitrust, contract, tortious
interference and trade secret litigation, as well as government investigations, regulatory
proceedings and formal and informal complaints relating to each other's business,
(B) WHEREAS, Apple is aware of, and has itself asserted, claims that aspects of Qualcomm’s
licensing and chip business are and have been contrary to competition laws in various
jurisdictions, including the United States, China, Korea, Taiwan and Europe, and Apple
has reviewed the record developed in the litigation captioned Federal Trade Commission
v. Qualcomm, No. 5:17-cv-00220-LHK, in the United States District Court for the
Northern District of California (the “FTC Action”), is aware of the relief requested by the
FTC in such FTC Action, and has been requested by the FTC to comment on proposed
terms for a settlement between the FTC and Qualcomm,
(C) WHEREAS, the Parties have litigated such claims in the United States District Court for
the Southern District of California, in which litigation each Party has received extensive
document and deposition discovery from the other Party,
(D) WHEREAS, each Party denies any wrongdoing and intends to continue to vigorously
contest any allegations and/or findings of liability under the laws of any jurisdiction
concerning its business practices,
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(E) WHEREAS, each Party has offered the other Party the opportunity to engage in an
arbitration proceeding to establish the terms of a direct license agreement between the
Parties,
(F)
(G) WHEREAS, the Parties are entering into a full, final, complete and global settlement of
the subject matter of such litigation and actions, terminating or withdrawing from any
such litigation, suits or other official proceedings, and ceasing to pursue and/or
terminating any formal written complaints filed in any regulatory, administrative or other
governmental body about each other’s business practices, all on the terms and conditions
set forth herein,
(H) WHEREAS, the dismissals, releases, covenants, waivers, discharges and other
consideration provided for hereunder constitute valuable consideration to each Party, and
(J) WHEREAS, neither Party admits that it is liable under any claim raised by the other Party
in any of the litigations, actions or other judicial or governmental proceedings being settled
hereby.
NOW, THEREFORE, in consideration of the above premises and in recognition of all of the
consideration described herein, including risk mitigation, the Parties agree as follows:
1.1 Capitalized terms used and not otherwise defined herein shall have the meanings ascribed
to such terms in .
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1.2 For the purpose of this Agreement the terms defined below shall have the following
meanings (and where the context so requires the singular shall include the plural and vice
versa):
“Affiliate” shall mean, with respect to a Person, any current or future Person, that
controls, is controlled by, or is under common control with such first Person. For the
purposes of the definition of “Affiliate”, “control” means the direct or indirect ownership
or control of fifty percent (50%) or more of the voting securities of such Person or direct
or indirect possession of sole or joint power to direct or cause the direction of the
management and policies of such Person, whether through ownership of voting securities,
by contract or otherwise;
“AOE” shall mean Apple Operations Europe, a duly established corporation under the
laws of Ireland, having a registered office at Hollyhill Industrial Estate, Hollyhill Cork,
Ireland.
“Apple Actions” shall mean (a) any litigation, suits or other official proceedings by Apple
against Qualcomm in a court, governmental tribunal or administrative agency, whether by
complaint, counterclaim, intervention or otherwise on or prior to the Effective Date;
(b) any formal written complaints (or any written requests for an official investigation or
other official proceeding) relating to Qualcomm’s business filed by Apple with a
regulatory, administrative or other governmental body on or prior to the Effective Date
(the “Apple Regulatory Actions”); (c) any inter partes review, covered business
method review, or re-examination or analogous action filed or requested by Apple on or
prior to the Effective Date against Qualcomm Covered Patents and that in each case has
not been instituted in the United States prior to ten (10) Business Days after the Effective
Date; and (d) any claim against or accusing a Qualcomm Covered Product (or the direct
or indirect fabrication, manufacturing, remanufacturing, assembly, testing, packaging,
repair or servicing with respect thereto) filed or otherwise brought by Apple against any
Third Party in a litigation, suit or other official proceeding in a court, governmental
tribunal or administrative agency on or prior to the Effective Date.
“Apple Territory/Territories” shall mean with respect to: (a) Apple Inc., the Americas
and any other territory not covered in (b) below or (b) AOE, the Europe, Middle East,
Africa, and the Asia Pacific regions.
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“Qualcomm Actions” shall mean (a) any litigation, suits or other official proceeding by
Qualcomm against Apple in a court, governmental tribunal or administrative agency,
whether by complaint, counterclaim, intervention or otherwise on or prior to the Effective
Date; (b) any formal written complaints (or any written requests for an official
investigation or other official proceeding) relating to Apple’s business filed by Qualcomm
with a regulatory, administrative or other governmental body on or prior to the Effective
Date (the “Qualcomm Regulatory Actions”); (c) any inter partes review, covered
business method review, or re-examination or analogous action filed or requested by
Qualcomm on or prior to the Effective Date against Apple Covered Patents and that in
each case has not been instituted in the United States prior to ten (10) Business Days after
the Effective Date; and (d) any claim against or accusing an Apple Covered Product (or
the direct or indirect fabrication, manufacturing, remanufacturing, assembly, testing,
packaging, repair or servicing with respect thereto) filed or otherwise brought by
Qualcomm against any Third Party in a litigation, suit or other official proceeding in a
court, governmental tribunal or administrative agency on or prior to the Effective Date.
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“Senior Representative” means, with respect to a Party, the officers of such Party or
their designees.
2 DISMISSAL OF ACTIONS
Qualcomm and Apple shall take, and shall cause their respective Affiliates to take, the following
steps to withdraw, discontinue, dismiss, terminate and/or refrain from participation in each of
the Apple Actions and Qualcomm Actions, to the fullest extent permissible by applicable rules and
procedures in the applicable jurisdictions:
2.1.1 Apple shall take steps sufficient to procure that the Apple Actions (other than
Apple Regulatory Actions and matters subject to Clause 2.3) be withdrawn,
discontinued or dismissed in their entirety to the fullest extent permissible by
applicable rules and procedures in the applicable jurisdictions, including by
executing and filing at the court or regulatory, administrative or other
governmental body the forms at Schedule 1, other forms to be mutually agreed and
any other filings as may be necessary to effectuate such withdrawals,
discontinuances or dismissals. Such withdrawals, discontinuances and dismissals
shall be with prejudice.
2.1.2 Qualcomm shall take steps sufficient to procure that the Qualcomm Actions (other
than Qualcomm Regulatory Actions and matters subject to Clause 2.3) be
withdrawn, discontinued or dismissed in their entirety to the fullest extent
permissible by applicable rules and procedures in the applicable jurisdictions,
including by executing and filing at the court or regulatory, administrative or other
governmental body the forms at Schedule 1, other forms to be mutually agreed and
any other filings as may be necessary to effectuate such withdrawals,
discontinuances or dismissals. Such withdrawals, discontinuances and dismissals
shall be with prejudice.
2.1.3 Each Party shall cease instructing or funding any litigation, suit or other official
proceeding filed by a Third Party in any court, governmental tribunal or
administrative agency that, if brought by Apple or Qualcomm would be an Apple
Action or Qualcomm Action, respectively, except (i) the foregoing does not
preclude activities in connection with winding down any litigation, suit or other
official proceeding, (ii) the foregoing is subject to the Parties’ rights under Clause
4.7, and (iii) each such Party is not precluded from joining organizations such as
Unified Patents, Allied Security Trust, RPX, or other similar entities and mere
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participation in such organizations and entities shall not by itself constitute such
instruction or funding.
2.2 Each Party shall without undue delay file any consent necessary or requested by any court,
government tribunal or administrative body to effect the withdrawal, discontinuance or
dismissal of the Apple Actions and Qualcomm Actions (other than Qualcomm Regulatory
Actions, Apple Regulatory Actions and matters subject to Clause 2.3) with prejudice as set
forth Clauses 2.1.1 and 2.1.2.
2.3 Within ten (10) Business Days of the Effective Date, with respect to any inter partes
review, covered business method review, re-examination request, opposition, revocation
or nullity request, or analogous action filed or requested by a Party that is included in the
Apple Actions or Qualcomm Actions subject to this Clause 2, the dismissing Party shall
take all necessary actions to terminate, otherwise withdraw, or refrain from participating
in relation thereto to the extent legally permissible. The foregoing does not affect any
other inter partes review, covered business method review, or re-examination request,
opposition, revocation or nullity request, or analogous action filed or requested by a Party
on or prior to the Effective Date against, as applicable, the Qualcomm Covered Patents or
Apple Covered Patents, including any of the foregoing that have been instituted in the
United States prior to ten (10) Business Days after the Effective Date or are filed or
requested outside the United States.
2.4.1 Apple shall take sufficient steps to procure withdrawal or termination to the fullest
extent permissible by applicable rules and procedures in the applicable
jurisdictions of the Apple Regulatory Actions.
2.4.2 Qualcomm shall take sufficient steps to procure withdrawal or termination to the
fullest extent permissible by applicable rules and procedures in the applicable
jurisdictions of the Qualcomm Regulatory Actions.
2.4.3 Each Party shall promptly provide the other Party to the fullest extent permissible
by applicable rules and procedures in the applicable jurisdictions with a complete
and accurate copy of all forms or pleadings submitted to effectuate the withdrawals
described in Clauses 2.4.1 and 2.4.2 that are not otherwise publicly available or
accessible to the other Party or its outside counsel.
2.5 Each Party shall bear all its own costs and fees, and neither Party shall request
reimbursement of its legal costs, court fees or expenses from the other.
2.6
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2.7
3 RELEASES
3.1
3.2
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4 COVENANTS
4.1 Covenant Not To Bring Released Claims During and After the Patent License Term.
Each Party, on behalf of itself and its Affiliates, covenants not to bring any Claim that it has
released by Clause 3 (a “Released Claim”). In the event a Party or any of its Affiliates
brings a Released Claim, that Party shall be liable to reimburse the other Party for all
reasonable fees and costs incurred in defending against such Released Claim; provided that,
if such Party was unaware such Claim was a Released Claim, such reimbursement will not
be required if such Party (a) takes sufficient steps to procure the withdrawal, dismissal or
discontinuance of such Released Claim to the fullest extent permissible by applicable rules
and procedures in the applicable jurisdictions within thirty (30) days after the other Party
gives such Party written notice thereof and (b) such Released Claim is actually withdrawn,
dismissed or discontinued within sixty (60) days after such written notice.
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4.6
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4.7 Allowed Actions During and After the Patent License Term.
Notwithstanding anything in this Agreement to the contrary but subject to Clause 10, each
Party may:
4.7.3 take any actions required to comply with law and respond to lawful requests of a
regulatory, administrative or other governmental body in connection with
subpoenas, discovery requests, testimony or otherwise, and
4.7.4 challenge or raise any argument, position, or defense with respect to FRAND
and/or standards-essential patent licensing generally (including in litigation with
Third Parties, in public statements and/or through standard-setting organizations
(including the European Telecommunications Standards Institute and IEEE) or
other public or nongovernmental agencies (including the International
Telecommunication Union)).
5 EFFECTIVENESS OF RELEASES
5.1 For the avoidance of doubt, the foregoing releases, covenants, dismissals, discharges and
waivers shall apply irrespective of whether or not a Party was or is aware of the applicable
potential Claims at the Effective Date hereof.
5.2 Each of Qualcomm Incorporated and Apple Inc., on behalf of itself and each of its respective
Affiliates, having specific intent to release all potential Claims and payments described in
Clause 3, whether known or unknown, does hereby acknowledge and expressly waive the
provisions of Article 1542 of the California Civil Code (and similar provisions in other
jurisdictions, whether by statute or common law), which provides:
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6.1 No Party makes any admission with regard to infringement, non-infringement, validity,
invalidity, damages, or any other issue regarding the Covered Patents or any other patents
owned or controlled by the Parties, or with regard to any of the Parties’ products,
technologies or services. No Party makes any admission that any Claim asserted against
it in any of the Apple Actions or Qualcomm Actions (as applicable) was meritorious, and
no Party makes any admission that any Claim that it asserted in any of the Apple Actions
or Qualcomm Actions (as applicable) was not meritorious. This Agreement shall not be
used in any future dispute between the Parties as evidence that any Claim asserted in any
of the Apple Actions or Qualcomm Actions (as applicable) was or was not meritorious.
6.2 Save as expressly set forth herein, this Agreement does not grant any releases, license or
other rights to the Qualcomm Covered Patents or Apple Covered Patents or to any other
patents, copyrights, trademarks, trade secrets or other intellectual property rights owned
or controlled by the Parties.
6.3
6.4 Each Party represents, warrants and covenants to the other Party that, as of the Effective
Date:
6.4.1 it is a validly existing business and in good standing under the laws of its respective
jurisdiction of domicile;
6.4.2 it has all requisite legal right, power, authority and competence to execute, deliver
and perform and cause its Affiliates to perform this Agreement;
6.4.3 it has not assigned or otherwise transferred any of the Claims that such Party
alleged in any of the Apple Actions or Qualcomm Actions;
6.4.4 such Party’s execution, delivery and performance of this Agreement has been fully
authorized by all necessary corporate and other actions;
6.4.5 neither the execution nor performance of this Agreement shall violate any law,
statute, regulation, injunction, judgment, administrative order or other restriction
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6.4.6 it has the power to bind each of its Affiliates to the extent required for such Affiliate
to perform its obligations under this Agreement; and
6.4.7 it has not granted and shall not grant any rights, under its Covered Patents or
otherwise, that would conflict with or prevent the rights granted to the other Party
and its Covered Products hereunder.
6.5 Apple represents and warrants that Schedule 3-A contains all Apple Actions that have not
fully and finally terminated, without the possibility for appeal, as of the Effective Date.
6.6 Qualcomm represents and warrants that Schedule 3-B contains all Qualcomm Actions that
have not fully and finally terminated, without the possibility for appeal, as of the Effective
Date.
6.7 Each Party and its respective counsel have reviewed and approved this Agreement, and
accordingly any presumption or rule of construction permitting ambiguities to be resolved
against the drafting Party shall not be employed in the interpretation or application of this
Agreement.
6.8 Apple will complete its production to comply with the order of the United States District
Court for the Northern District of California in the proceeding captioned In re Ex Parte
Application of Qualcomm Incorporated, No. 4:18-mc-80134-PJH (“Section 1782
Case”) for Qualcomm's use in the General Court of Justice of the European Union. The
Parties agree that the obligations of the protective order in the Section 1782 Case continue
to be binding upon the Parties and survive execution of this Agreement.
6.9 Other than as expressly set forth in this Agreement, neither Party makes any
representations, extends any warranties of any kind, either express or implied, or assumes
any responsibilities whatsoever hereunder with respect to the manufacture, sale, lease,
use, importation or disposition of any product or component thereof by or on behalf of the
other Party.
7 FURTHER ASSURANCE
7.1 Each Party shall at its own cost and expense use all reasonable efforts to ensure the
carrying out of whatever further actions (including the execution of further documents)
may be required to give effect to this Agreement.
7.2 If either Qualcomm Incorporated or Apple Inc. (or any future direct or indirect parent
Affiliate thereof) proposes to have created a direct or indirect parent Affiliate of such Party,
such Party shall, prior to the creation of such parent Affiliate, cause the Person that shall
become such parent Affiliate to agree, in a writing executed by such Person and the other
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Party, to assume all obligations of such Party hereunder immediately upon its becoming
such parent Affiliate and provide a copy of such executed agreement to the other Party.
8.1 Except as set forth in Clause 12.3.4, this Agreement is made and entered into in the State
of California and will be governed by and construed and enforced in accordance with the
laws of the State of California without regard to conflicts of laws principles.
8.2 The Parties shall make every effort to settle amicably any and all disputes, controversies,
conflicts and claims arising out of this Agreement, the performance or non-performance
or timely performance of the obligations set forth herein or asserted breach hereof
(including any questions regarding its existence, validity, interpretation, enforceability or
termination) (a “Dispute”).
8.2.1 Any Dispute among the Parties not settled or resolved shall be first referred, by
written notice setting out brief details of the Dispute (a “Dispute Notice”) given
by a Party to the other Party, to the Senior Representatives. The Party receiving
the Dispute Notice shall provide a response in writing (the “Response”) to the
Party that sent the Dispute Notice within fifteen (15) calendar days after the date
the Dispute Notice is sent, after which the Parties shall make a good faith effort to
resolve such Dispute. Any resolution of the Dispute agreed to by such Senior
Representatives in writing shall be deemed final. Any Dispute which is not
resolved in accordance with the foregoing within thirty-one (31) calendar days
after the date the related Dispute Notice is sent shall be finally and exclusively
resolved by arbitration as set forth in this Clause 8.2.
8.2.2 All arbitrations hereunder shall be under and governed by the International Centre
for Dispute Resolution (“ICDR”) Rules in force as of the date hereof, as may be
amended by the rest of this Clause 8.2. The seat, or legal place, of arbitration shall
be in Los Angeles, California. The language to be used in the arbitral proceedings
shall be English. The arbitral award shall be final and binding, without any right
of review or appeal, upon the Parties and shall be enforceable in accordance with
its terms. Arbitration expenses shall be paid by the relevant Party as determined
by the arbitral tribunal. Absent a determination by the arbitral tribunal, each Party
shall bear its own fees and expenses, and the fees and expenses of the arbitral
tribunal shall be borne one-half by all petitioner Parties and one-half by all
respondent Parties. If a Party needs to enforce an arbitral award by legal action of
any kind, the Party against which such legal action is taken shall pay all reasonable
costs and expenses and attorneys’ fees, including any cost of additional litigation
or arbitration incurred by the Party seeking to enforce the award.
8.2.3 The arbitral tribunal shall consist of three (3) arbitrators each of whom shall have
served as an arbitrator in at least five (5) arbitral proceedings. The Dispute Notice
shall identify one (1) arbitrator satisfying the conditions set forth in the
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immediately preceding sentence that will be appointed by the Party delivering the
Dispute Notice if the Dispute is not resolved pursuant to the second sentence of
Clause 8.2.1, and the Response shall identify one (1) arbitrator satisfying the
conditions set forth in the immediately preceding sentence that will be appointed
by the Party delivering the Response if the Dispute is not resolved pursuant to the
second sentence of Clause 8.2.1; provided that if either Party fails to identify an
arbitrator in the Dispute Notice or Response, as applicable, or to appoint the
arbitrator so identified within thirty (30) calendar days after receiving notification
of the other Party’s appointment of the arbitrator identified by such other Party in
the Dispute Notice or Response, as applicable, the ICDR shall appoint the
arbitrator for and on behalf of such party. The two (2) arbitrators appointed by the
Parties (or by the ICDR pursuant to the proviso to the immediately preceding
sentence) shall together select the third (3rd) arbitrator within thirty (30) calendar
days of their appointment, or if such two (2) arbitrators cannot agree on such third
(3rd) arbitrator within such thirty (30) calendar days, the ICDR shall appoint such
third (3rd) arbitrator.
8.2.4 During the course of the foregoing dispute resolution process and any arbitration
proceedings, all provisions of this Agreement shall, to the most feasible and
practical extent, be implemented continuously by the Parties.
8.2.5 The Parties hereby consent generally to any submission to arbitration made in
accordance with this Clause 8.2, to the giving of any interim and conservatory relief
(including any temporary injunctive relief) by the Court of Chancery of the State of
Delaware (or, if such court does not have jurisdiction, any other court with
jurisdiction in the State of Delaware) or the issue of any process in connection with
such submission, action or proceeding, including the issue of any process in
connection with such submission, action or proceeding or the making,
enforcement or execution against any property whatsoever (irrespective of its use
or intended use) of any order, award or judgment which may be made or given in
any such arbitration, action or proceeding, and waives any objection that it may
have to any such court on the grounds of inconvenient forum. Any application or
request for interim or conservatory relief must be made to the Court of Chancery
of the State of Delaware (or, if such court does not have jurisdiction, any other
court with jurisdiction in the State of Delaware). Any arbitration award shall be
enforceable by any court or courts having jurisdiction over the Party against which
the award has been rendered, or over the assets of the Party against which such
award has been rendered, wherever such assets may be located.
8.2.6 The Parties agree to abide by and perform (a) any decision issued by the arbitral
tribunal constituted pursuant to this Clause 8.2 and (b) any judgment or order
issued in any interim relief proceeding pursuant to this Clause 8.2.
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8.2.7 The Parties shall maintain strict confidentiality with respect to all aspects of each
arbitration under this Agreement and shall not disclose the fact, conduct or
outcome of any such arbitration to any non-Parties or non-participants, except to
the extent required by applicable law or to the extent necessary to recognize,
confirm or enforce the final award in the arbitration, without the prior written
consent of all parties to the arbitration. Any Party who fails to observe the
confidentiality restrictions in this Agreement shall be subject to the imposition of
monetary sanctions by the arbitral tribunal.
9 PAYMENT
9.1 Apple Inc. or AOE, with respect to their applicable Apple Territories or as otherwise
reasonably agreed, hereby agrees to pay Qualcomm Incorporated a one-time payment of
.
9.2
9.3
10.1 The Parties (a) shall hold this Agreement (including its Schedules and its terms and
conditions), along with all correspondence and information shared hereunder or relating
to this Agreement that is not or has not become public, but (subject to Clause 10.2) not the
existence hereof, as strictly confidential and (b) agree to refrain from disclosing any of the
foregoing now or hereafter to any Third Party, unless such disclosure is:
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10.1.2 authorized in writing and in advance by the other Party (email being sufficient if,
in the case of Apple, such email is sent by an employee of Apple who is at the level
of director (or above) and if, in the case of Qualcomm, such email is sent by an
employee of Qualcomm with the title of Senior Director or above);
10.1.3 (a) made in confidence to a Party’s own legal counsel or independent auditors;
(b) made in confidence to a Party’s legal or financial advisors that are under a duty
not to disclose this Agreement to any Third Party;
10.1.5 solely as to the terms and conditions of this Agreement, in response to an informal
request of a Governmental Authority;
10.1.6 required for compliance with mandatory applicable law(s), regulation(s), rule(s)
or order(s) of any Governmental Authority of competent jurisdiction, including
applicable securities law;
10.1.7
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10.1.8
10.1.9
10.2 With respect to the foregoing Clauses 10.1.5 and 10.1.6, such disclosing Party shall, to the
extent legally permissible: (a) provide the other Party with written notice of such
disclosure sufficiently prior to providing such disclosure; and (b) use all reasonable efforts
to limit the disclosure of the terms and conditions of this Agreement or other confidential
information of such other Party, and to obtain a protective order or other confidential
treatment with respect thereto and comply with all reasonable requests of the other Party
in connection therewith. With respect to the foregoing Clause 10.1.4, the foregoing (a) and
(b) shall apply and in addition, such disclosing Party and its Affiliates shall, to the extent
legally permissible, use all reasonable efforts to limit the disclosure of the terms and
conditions of this Agreement or other confidential information of such other Party to the
requesting Person’s or its Affiliates’ outside counsel or outside legal advisors that are
under a duty not to disclose any such information to such requesting Person or its
Affiliates or any Third Party.
10.3 Neither Party shall issue a press release regarding this Agreement without the prior
written approval of the other Party.
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11 ASSIGNMENT
11.1 This Agreement shall be binding upon and shall inure to the benefit of each Party, their
respective successors and permitted assigns and any administrator, liquidator, receiver,
supervisor, trustee or similar officer of such Person. Notwithstanding the foregoing, neither
Party may assign this Agreement or any of its rights or obligations hereunder (including by
contract, operation of law or otherwise) without the prior written consent of the other Party.
Any attempted assignment in contravention of the foregoing shall be null and void.
11.2
11.3 All covenants, releases, discharges, waivers and dismissals and other rights and obligations
contained herein shall run with each Covered Patent (along with all continuations,
continuations-in-part (to the extent of common priority), divisionals, reissues,
reexaminations, and other Patents claiming common priority to such Patents as well as all
foreign counterparts of and patents issuing on the foregoing). Neither Party shall assign,
transfer, or grant any right under any Covered Patent of such Party to any Person (including
if any Affiliate of a Party ceases to be an Affiliate) unless such assignment, transfer or grant
is subject to all of the releases, covenants, discharges, waivers, dismissals and other rights
and obligations granted under such Covered Patent under this Agreement.
11.4
11.5
20
PUBLIC VERSION
11.5.2
11.6
12 MISCELLANEOUS
12.1 This Agreement, all Schedules attached hereto, and the Related Agreements set forth the
entire understanding of the Parties with respect to the subject matter hereof, and replace
any prior oral or written communications, discussions or agreements between them
regarding such subject matter.
12.3 Severability
21
PUBLIC VERSION
12.3.1
12.3.1.1
12.3.1.2
12.3.1.3
12.3.2
12.3.3
22
PUBLIC VERSION
12.3.4
12.4 The Parties acknowledge and agree that irreparable damage could occur in the event that
any provision of this Agreement is breached, and that monetary damages, even if available,
would not be an adequate remedy therefor. It is accordingly agreed that the non-breaching
Party will be entitled to specific performance including injunctive relief as a remedy to
prevent or discontinue any such breach so as to enforce specifically the performance of
such provisions, and this being in addition to any other remedy, to which such non-
breaching Party may be entitled at law or in equity. The breaching Party hereby irrevocably
waives any right to make a claim that: (a) the non-breaching Party will not suffer
irreparable harm from a breach of any provision of this Agreement; (b) that monetary
damages would be an adequate remedy therefor; or that (c) the non-breaching Party is not
entitled to specific performance, including injunctive relief, as a remedy.
12.5 The headings and titles inserted in this Agreement are for reference only and are not
intended to form any part of the operative portion of this Agreement, and they shall not
be employed in the interpretation or application of this Agreement.
12.6 This Agreement cannot be modified or amended in any respect orally or by conduct of the
Parties. Any modification, or amendment may be made only by a writing signed by all
Parties. No waiver of any provision shall be binding in any event unless executed in writing
by the Party making the waiver.
23
PUBLIC VERSION
12.7 This Agreement may not be terminated, except upon the express mutual written
agreement of the Parties. In the event of any such termination hereof, Clauses 1 through
5, and 7 through 12 hereof shall survive in full force and effect.
12.8 All notices required or permitted to be given hereunder shall be in writing and shall be
deemed delivered (a) upon receipt if delivered by hand; (b) three (3) Business Days after
being sent by prepaid, internationally-recognized, overnight air courier for international
deliveries and one (1) Business Day after being sent by prepaid, nationally-recognized,
overnight air courier for national deliveries; (c) five (5) Business Days after being sent by
registered or certified airmail, return receipt required, postage prepaid; or (d) upon
transmittal when transmitted by confirmed telecopy (provided that such notice is followed
by notice pursuant to any of (a)–(d) above). All notices shall be addressed as follows:
If to QUALCOMM:
Qualcomm Incorporated
5775 Morehouse Drive
San Diego, California 92121
U.S.A.
Attn: General Counsel
If to APPLE:
Apple Inc.
1 Apple Park Way
Cupertino, California 95014
U.S.A.
Attn: General Counsel
24
PUBLIC VERSION
Apple Inc.
1 Apple Park Way
Cupertino, California 95014
U.S.A.
Attn: Chief IP Counsel
12.9 Each Party and its respective counsel have reviewed and approved this Agreement, and
accordingly any presumption or rule of construction permitting ambiguities to be resolved
against the drafting party shall not be employed in the interpretation or application of this
Agreement.
12.10 This Agreement may be executed in several counterparts, each of which is deemed to be
an original but all of which constitute one and the same instrument.
12.11 Except as otherwise expressly set forth herein, all expenses (including fees and charges of
any attorneys, accountants or others) incurred by a Party in connection with this
Agreement or the transactions contemplated hereby shall be paid by the Party incurring
such expenses.
12.12 No rule of strict construction shall be applied against either Party when interpreting this
Agreement. As used in this Agreement, unless expressly stated otherwise, the term
“including” (or variations thereof) means “including but not limited to” and the word "or"
shall not be exclusive and shall be interpreted as “and/or”. Whenever the consent or
approval of a Party is needed under this Agreement, unless expressly stated otherwise,
such Party may grant or withhold its consent or approval in its discretion, and whenever
a Party may act in its discretion under this Agreement, such Party may act in its sole and
absolute discretion. This Agreement, including the Schedules hereto (which are part of
this Agreement), is prepared and executed in the English language only, which language
shall be controlling in all respects; any translations of this Agreement into any other
language is for reference only and shall have no legal force or effect.
25
PUBLIC VERSION
PUBLIC VERSION
PUBLIC VERSION
Cristiano Amon
PUBLIC VERSION
SCHEDULE 1
Forms of Dismissal
PUBLIC VERSION
____________
APPLE INC.
Petitioner
v.
QUALCOMM, INC.
Patent Owner
____________
Case IPR201x-xxxx
Patent x,xxx,xxx
____________
1
PUBLIC VERSION
Pursuant to 35 U.S.C. § 317 and 37 C.F.R. §§ 42.72 and 42.74, the Patent
(collectively “Parties”) hereby jointly move for an order terminating the inter
partes review, pursuant to the terms of the Settlement Agreement, dated April xx,
The IPR Proceeding relates to a petition for inter partes review filed [date],
directed to Patent No. x,xxx,xxx (the “xxx patent”), and assigned case number
The Parties have settled their dispute, and have reached agreement to
terminate this IPR Proceeding. The Parties’ Settlement Agreement has been made
jointly requesting termination, the review is still in its early stages, and the Office
has not yet “decided the merits of the proceeding before the request for termination
1
PUBLIC VERSION
is filed.” As noted in the Patent Office Trial Practice Guidelines, “there are strong
The Board expects that a proceeding will terminate after the filing of a settlement
agreement, unless the Board has already decided the merits of the proceeding. 35
appropriate here.
The Parties understand that if the Board terminates this inter partes review
with respect to Petitioner under 35 U.S.C. § 317(a), no estoppel under section 315(e)
will attach to Petitioner on the basis of this inter partes review. The Parties also
understand that if the Board terminates this inter partes review with respect to
Petitioner under 37 C.F.R. § 42.73(d)(1). The Parties understand that if the Board
terminates this inter partes review before a final written decision on patentability,
1
See Federal Register Vol. 77, No. 157 at 48768.
2
PUBLIC VERSION
connection with, or in contemplation of, the termination of this inter partes review.
keep it separate from the files of the ’xxx patent is being filed concurrently.
Litigation”). The Parties to this proceeding are also the only parties to the Litigation.
The Parties are unaware of any other proceedings involving the ’xxx patent
OR
The ’xxx patent is also the subject of the following other proceedings, which
_____, -_____.]]
There are a number of proceedings involving the Parties and other patents
asserted in the Litigation, as listed in Table 1 below. The Parties have or will also
TABLE 1
Patent IPR No(s).
[[Pat. No.]] IPR____-_____
3
PUBLIC VERSION
Office involving other patents at issue in the Litigation, but for which Intel
Qualcomm and Apple does not resolve the proceedings listed in Table 2.]]
TABLE 2
Patent IPR No(s).
[[Pat. No.]] IPR____-_____
The ’xxx patent is the subject of the Litigation. On [date], the Patent Owner
and the Petitioner moved to dismiss their respective claims and counterclaims with
prejudice in the related District Court litigation. There are no other pending
litigations or any other proceedings between the Petitioner and Patent Owner
For the foregoing reasons, the Parties jointly request termination of IPR No.
IPR201x-xxxxx.
Respectfully submitted,
Date:
XXX
For Patent Owner, Qualcomm, Inc.
4
PUBLIC VERSION
Date:
XXX
For Petitioner, Apple Inc.
5
PUBLIC VERSION
____________
APPLE INC.
Petitioner
v.
QUALCOMM, INC.
Patent Owner
____________
Case IPR201x-xxxx
Patent x,xxx,xxx
____________
Owner (the “Parties”), jointly request to treat business confidential information, and
to keep separate from the file of the involved patent, the true and complete copy of
the Settlement Agreement (Exhibit xx) between the Parties as referenced in the Joint
Motion To Terminate under 35 U.S.C. § 317 and 37 C.F.R. §§42.72 and 42.74, filed
concurrently herewith.
(2) To any other person upon written request to the Board to make
the settlement agreement available, along with the fee specified in §
42.15(d) and on a showing of good cause.
Settlement Agreement (Exhibit xx), is timely and in accordance with the foregoing
authority. Therefore, the Parties request that the Settlement Agreement (Exhibit
from the publicly available file of the involved patent, and (iii) shall be made
C.F.R. § 42.74(c).
Respectfully submitted,
Date:
XXX
Patent Owner, Qualcomm, Inc.
Date:
XXX
For Petitioner, Apple Inc.
PUBLIC VERSION
CERTIFICATE OF SERVICE
XXXXX
/[name]/
PUBLIC VERSION
1
2 FILER’S ATTESTATION
4 Policies and Procedures of the United States District Court of the Southern District
5 of California, I certify that authorization for the filing of this document has been
6 obtained from each of the other signatories shown above and that all signatories
8
Dated: April 13, 2019 /s/ DRAFT
9
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Joint Stipulation and [Proposed] Order to 1 Case No. 3:17-CV-00108-GPC-MDD
Dismiss
PUBLIC VERSION
1 CERTIFICATE OF SERVICE
The undersigned hereby certifies that a true and correct copy of the above and
2
foregoing document has been served on XX to all counsel of record who are deemed
3
to have consented to electronic service via the Court’s CM/ECF system per Civil
4
Local Rule 5.4. Any other counsel of record will be served by electronic mail,
5
facsimile and/or overnight delivery.
6
Executed on April 13, 2019, at San Diego, California.
7
8
/s/ DRAFT
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Joint Stipulation and [Proposed] Order to 2 Case No. 3:17-CV-00108-GPC-MDD
Dismiss
PUBLIC VERSION
1 On _________, the parties filed a joint stipulation to dismiss this action with
2 prejudice pursuant to Federal Rules of Civil Procedure 41(a)(1). Good cause
3 appearing, the Court GRANTS the joint motion and DISMISSES WITH
4 PREJUDICE this action in its entirety. Each party must bear their own attorneys’
5 fees and costs. The Clerk of the Court is instructed to close the case.
6
7 IT IS SO ORDERED.
8
Dated: April 13, 2019
9
Hon. Gonzalo P. Curiel
10 United States District Judge
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Joint Stipulation and [Proposed] Order to 2 Case No. 3:17-CV-00108-GPC-MDD
Dismiss
PUBLIC VERSION
12
By: s/ DRAFT
13 Juanita R. Brooks, SBN 75934, brooks@fr.com
14 Seth M. Sproul, SBN 217711, sproul@fr.com
Frank Albert, SBN 247741, albert@fr.com
15 Joanna M. Fuller, SBN 266406, jfuller@fr.com
Fish & Richardson P.C.
16 12390 El Camino Real
San Diego, CA 92130
17 Phone: 858-678-5070 / Fax: 858-678-5099
18
Ruffin B. Cordell, DC Bar No. 445801
19 pro hac vice, cordell@fr.com
Lauren A. Degnan, DC Bar No. 452421
20 pro hac vice, degnan@fr.com
21 Fish & Richardson P.C.
1000 Maine Avenue, S.W. Suite 1000
22 Washington, D.C. 20024
Phone: 202-783-5070 / Fax: 202-783-2331
23
Mark D. Selwyn, SBN 244180,
24 mark.selwyn@wilmerhale.com
25 Wilmer Cutler Pickering Hale and Dorr LLP
950 Page Mill Road
26 Palo Alto, CA 94304
Phone: 650-858-6000 / Fax: 650-858-6100
27
28 William F. Lee, MA Bar No. 291960
Joint Stipulation and [Proposed] 2 Case No. 3:17-CV-01375-DMS-MDD
Order to Dismiss
03536-00034/10730430.1
PUBLIC VERSION
27
28
[Proposed] Order to Dismiss 5 Case No. 3:17-CV-01375-DMS-MDD
PUBLIC VERSION
1 JONES DAY
Karen P. Hewitt (SBN 145309)
2 kphewitt@jonesday.com
Randall E. Kay (SBN 149369)
3 rekay@jonesday.com
John D. Kinton (SBN 203250)
4 jkinton@jonesday.com
Kelly V. O’Donnell (SBN 257266)
5 kodonnell@jonesday.com
4655 Executive Drive, Suite 1500
6 San Diego, California 92121
Telephone: (858) 314-1200
7 Facsimile: (858) 345-3178
8 Attorneys for Plaintiff and
Counterclaim Defendants
9 QUALCOMM INCORPORATED and
QUALCOMM TECHNOLOGIES, INC.
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[Proposed] Order to Dismiss 6 Case No. 3:17-CV-01375-DMS-MDD
PUBLIC VERSION
1 FILER’S ATTESTATION
2 Pursuant to Section 2(f)(4) of the Electronic Case Filing Administrative
3 Policies and Procedures of the United States District Court of the Southern District
4 of California, I certify that authorization for the filing of this document has been
5 obtained from each of the other signatories shown above and that all signatories
6 have authorized placement of their electronic signature on this document.
7
8 Dated: April 15, 2019
s/ DRAFT
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[Proposed] Order to Dismiss 7 Case No. 3:17-CV-01375-DMS-MDD
PUBLIC VERSION
1 On _________, the parties filed a joint stipulation to dismiss this action with
2 prejudice pursuant to Federal Rules of Civil Procedure 41(a)(1). Good cause
3 appearing, the Court GRANTS the joint motion and DISMISSES WITH
4 PREJUDICE this action in its entirety. Each party must bear their own attorneys’
5 fees and costs. The Clerk of the Court is instructed to close the case.
6
7 IT IS SO ORDERED.
8
Dated: April 15, 2019_
9
Hon. Dana M. Sabraw
10 United States District Judge
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[Proposed] Order to Dismiss 2 Case No. 3:17-CV-01375-DMS-MDD
PUBLIC VERSION
12
By: s/ DRAFT
13 Juanita R. Brooks, SBN 75934
14 brooks@fr.com
Jason W. Wolff, SBN 215819
15 wolff@fr.com
Seth M. Sproul, SBN 217711,
16 sproul@fr.com
Michael A. Amon, SBN 226221,
17 amon@fr.com
18 Fish & Richardson P.C.
12390 El Camino Real
19 San Diego, CA 92130
Phone: 858-678-5070 / Fax: 858-678-5099
20
21 Betty H. Chen, SBN 290588
bchen@fr.com
22 Fish & Richardson P.C.
500 Arguello Street, Suite 500
23 Redwood City, CA 94063
Phone: 650-893-5070/ Fax: 650-893-5071
24
25 Ruffin B. Cordell, DC Bar No. 445801
Admitted pro hac vice, cordell@fr.com
26 Lauren A. Degnan, DC Bar No. 452421
Admitted pro hac vice, degnan@fr.com
27 Indranil Mukerji, DC Bar No. 974398
28 Admitted pro hac vice, mukerji@fr.com
Joint Stipulation and [Proposed] 2 Case No. 3:17-CV-02398-DMS-MDD
Order to Dismiss
03536-00034/10730430.1
PUBLIC VERSION
1 JONES DAY
Karen P. Hewitt (SBN 145309)
2 kphewitt@jonesday.com
Randall E. Kay (SBN 149369)
3 rekay@jonesday.com
John D. Kinton (SBN 203250)
4 jkinton@jonesday.com
Kelly V. O’Donnell (SBN 257266)
5 kodonnell@jonesday.com
4655 Executive Drive, Suite 1500
6 San Diego, California 92121
Telephone: (858) 314-1200
7 Facsimile: (858) 345-3178
8 Attorneys for Plaintiff and
Counterclaim Defendants
9 QUALCOMM INCORPORATED and
QUALCOMM TECHNOLOGIES, INC.
10
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28 Joint Stipulation and [Proposed] 6 Case No. 3:17-CV-02398-DMS-MDD
Order to Dismiss
PUBLIC VERSION
1 FILER’S ATTESTATION
2 Pursuant to Section 2(f)(4) of the Electronic Case Filing Administrative
3 Policies and Procedures of the United States District Court of the Southern District
4 of California, I certify that authorization for the filing of this document has been
5 obtained from each of the other signatories shown above and that all signatories
6 have authorized placement of their electronic signature on this document.
7
8 Dated: April 15, 2019
s/ DRAFT
9
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28 Joint Stipulation and [Proposed] 7 Case No. 3:17-CV-02398-DMS-MDD
Order to Dismiss
PUBLIC VERSION
1 On _________, the parties filed a joint stipulation to dismiss this action with
2 prejudice pursuant to Federal Rules of Civil Procedure 41(a)(1). Good cause
3 appearing, the Court GRANTS the joint motion and DISMISSES WITH
4 PREJUDICE this action in its entirety. Each party must bear their own attorneys’
5 fees and costs. The Clerk of the Court is instructed to close the case.
6
7 IT IS SO ORDERED.
8
Dated: April 15, 2019_
9
Hon. Dana M. Sabraw
10 United States District Judge
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[Proposed] Order to Dismiss 2 Case No. 3:17-CV-02398-DMS-MDD
PUBLIC VERSION
12
By: s/ DRAFT
13 Juanita R. Brooks, SBN 75934, brooks@fr.com
14 Jason W. Wolff, SBN 215819, wolff@fr.com
Seth M. Sproul, SBN 217711, sproul@fr.com
15 Michael A. Amon, SBN 226221, amon@fr.com
FISH & RICHARDSON P.C.
16 12390 El Camino Real
San Diego, CA 92130
17 Phone: 858-678-5070 / Fax: 858-678-5099
18
Betty Chen, SBN 290588, bchen@fr.com
19 FISH & RICHARDSON P.C.
500 Arguello Street, Suite 500
20 Redwood City, CA 94064
21 Phone: 650-839-5070 / Fax: 650-839-5071
1 JONES DAY
Karen P. Hewitt (SBN 145309)
2 kphewitt@jonesday.com
Randall E. Kay (SBN 149369)
3 rekay@jonesday.com
John D. Kinton (SBN 203250)
4 jkinton@jonesday.com4655 Executive
Drive, Suite 1500
5 San Diego, California 92121
Telephone: (858) 314-1200
6 Facsimile: (858) 345-3178
7 NORTON ROSE FULBRIGHT US LLP
Richard S. Zembek (Pro Hac Vice)
8 richard.zembek@nortonrosefulbright.com
Eric B. Hall (Pro Hac Vice)
9 eric.hall@nortonrosefulbright.com
Daniel S. Leventhal (Pro Hac Vice)
10 daniel.leventhal @nortonrosefulbright.com
Talbot R. Hansum (pro hac vice
11 forthcoming)
(Tex. Bar No. 24084586)
12 talbot.hansum@nortonrosefulbright.com
1301 McKinney, Suite 5100
13 Houston, TX 77010
Telephone: (713) 651-5283
14
Attorneys for Plaintiff and
15 Counterclaim Defendant
QUALCOMM INCORPORATED
16
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28 Joint Stipulation and [Proposed] 5 Case No. 3:17-CV-02402-CAB-MDD
Order to Dismiss
PUBLIC VERSION
1 FILER’S ATTESTATION
2 Pursuant to Section 2(f)(4) of the Electronic Case Filing Administrative
3 Policies and Procedures of the United States District Court of the Southern District
4 of California, I certify that authorization for the filing of this document has been
5 obtained from each of the other signatories shown above and that all signatories
6 have authorized placement of their electronic signature on this document.
7
8 Dated: April 15, 2019
s/ DRAFT
9
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28 Joint Stipulation and [Proposed] 6 Case No. 3:17-CV-02402-CAB-MDD
Order to Dismiss
PUBLIC VERSION
1 On _________, the parties filed a joint stipulation to dismiss this action with
2 prejudice pursuant to Federal Rules of Civil Procedure 41(a)(1). Good cause
3 appearing, the Court GRANTS the joint motion and DISMISSES WITH
4 PREJUDICE this action in its entirety. Each party must bear their own attorneys’
5 fees and costs. The Clerk of the Court is instructed to close the case.
6
7 IT IS SO ORDERED.
8
Dated: April 15, 2019_
9
Hon. Cathy A. Bencivengo
10 United States District Judge
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[Proposed] Order to Dismiss 2 Case No. 3:17-CV-02402-CAB-MDD
PUBLIC VERSION
12
By: s/ DRAFT
13 Juanita R. Brooks, SBN 75934, brooks@fr.com
14 Jason W. Wolff, SBN 215819, wolff@fr.com
Seth M. Sproul, SBN 217711, sproul@fr.com
15 Michael A. Amon, SBN 226221, amon@fr.com
FISH & RICHARDSON P.C.
16 12390 El Camino Real
San Diego, CA 92130
17 Phone: 858-678-5070 / Fax: 858-678-5099
18
Ruffin B. Cordell, DC Bar No. 445801
19 Admitted pro hac vice, cordell@fr.com
Lauren A. Degnan, DC Bar No. 452421
20 Admitted pro hac vice, degnan@fr.com
21 FISH & RICHARDSON P.C.
1000 Maine Ave, SW
22 Washington, D.C. 20024
Phone: 202-783-5070 / Fax: 202-783-2331
23
Benjamin C. Elacqua, TX SBN 24055443
24 Admitted pro hac vice, elacqua@fr.com
25 John P. Brinkmann, TX SBN 24068091
Admitted pro hac vice, brinkman@fr.com
26 Bailey K. Benedict, TX SBN 24083139
Admitted pro hac vice, benedict@fr.com
27 Jackob Ben-Ezra, TX SBN 24073907
28 Admitted pro hac vice, ben-ezra@fr.com
Joint Stipulation and [Proposed] 2 Case No. 3:17-CV-02402-CAB-MDD
Order to Dismiss
03536-00034/10730430.1
PUBLIC VERSION
1 JONES DAY
Karen P. Hewitt (SBN 145309)
2 kphewitt@jonesday.com
Randall E. Kay (SBN 149369)
3 rekay@jonesday.com
John D. Kinton (SBN 203250)
4 jkinton@jonesday.com4655 Executive
Drive, Suite 1500
5 San Diego, California 92121
Telephone: (858) 314-1200
6 Facsimile: (858) 345-3178
7 NORTON ROSE FULBRIGHT US LLP
Richard S. Zembek (Pro Hac Vice)
8 richard.zembek@nortonrosefulbright.com
Eric B. Hall (Pro Hac Vice)
9 eric.hall@nortonrosefulbright.com
Daniel S. Leventhal (Pro Hac Vice)
10 daniel.leventhal @nortonrosefulbright.com
Talbot R. Hansum (pro hac vice
11 forthcoming)
(Tex. Bar No. 24084586)
12 talbot.hansum@nortonrosefulbright.com
1301 McKinney, Suite 5100
13 Houston, TX 77010
Telephone: (713) 651-5283
14
Attorneys for Plaintiff and
15 Counterclaim Defendantss
QUALCOMM INCORPORATED
16
17
18
19
20
21
22
23
24
25
26
27
28 Joint Stipulation and [Proposed] 5 Case No. 3:17-CV-02402-CAB-MDD
Order to Dismiss
PUBLIC VERSION
1 FILER’S ATTESTATION
2 Pursuant to Section 2(f)(4) of the Electronic Case Filing Administrative
3 Policies and Procedures of the United States District Court of the Southern District
4 of California, I certify that authorization for the filing of this document has been
5 obtained from each of the other signatories shown above and that all signatories
6 have authorized placement of their electronic signature on this document.
7
8 Dated: April 15, 2019
s/ DRAFT
9
10
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28 Joint Stipulation and [Proposed] 6 Case No. 3:17-CV-02402-CAB-MDD
Order to Dismiss
PUBLIC VERSION
1 On _________, the parties filed a joint stipulation to dismiss this action with
2 prejudice pursuant to Federal Rules of Civil Procedure 41(a)(1). Good cause
3 appearing, the Court GRANTS the joint motion and DISMISSES WITH
4 PREJUDICE this action in its entirety. Each party must bear their own attorneys’
5 fees and costs. The Clerk of the Court is instructed to close the case.
6
7 IT IS SO ORDERED.
8
Dated: April 15, 2019_
9
Hon. Cathy A. Bencivengo
10 United States District Judge
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[Proposed] Order to Dismiss 2 Case No. 3:17-CV-02402-CAB-MDD
PUBLIC VERSION
In the Matter of
Respondent Apple, Inc. (“Apple”) hereby move to terminate this Investigation based on the
attached [title of agreement]. See Confidential Exhibit 1. The Office of Unfair Import
Qualcomm and Apple have agreed ____. Apart from this agreement, there are no agreements,
written or oral, express or implied between the Parties concerning the subject matter of the
Investigation.
Allowing this motion to terminate based on the settlement of the Parties will not impose
an undue burden on the public health and welfare, competitive conditions in the United States
economy, production of like or directly competitive articles in the United States, or U.S.
consumers. See 19 C.F.R. § 210.50(b)(2). Indeed, it is in the interest of the public and
administrative economy to grant this motion. Commission policy and the public interest
generally favor termination by settlement, which preserves resources for both the Commission
and the private Parties, and termination based on a settlement is routinely granted. See, e.g.,
99998-77775/10777478.1 1
PUBLIC VERSION
Certain Mobile and Portable Electronic Devices Incorporating Haptics (Including Smartphones
and Laptops) and Components Thereof, Inv. Nos. 337-TA-1004, 337-TA-990, Order No. 75 at 2
(Feb. 16, 2018) (granting motion to terminate based on settlement when termination would “not
impose any undue burdens on the public health and welfare, competitive conditions in the United
States economy, production of like or directly competitive articles in the United States, or United
States consumers”); see also Certain Electronic Devices, Including Mobile Phones, Tablet
Computers, and Components Thereof, Inv. No. 337-TA-1038, Order No. 26 (Aug. 8, 2017);
Certain Hemostatic Products and Components Thereof, Inv. No. 337-TA-913, Order No. 51
(Apr. 2, 2015). As such, the Commission should grant the instant motion to terminate the
Investigation.
The [title of the agreement] contains confidential business information within the
meaning of 19 C.F.R. § 210.5. Accordingly, Qualcomm and Apple request that the un-redacted
version of the [title of the agreement] be treated as Confidential Business Information under the
Protective Order in this Investigation (Order No. 1) and not publicly disclosed. A version of the
[title of the agreement] redacting the confidential terms, which will be filed publicly, is attached
hereto as Exhibit 2.
The treatment requested by Qualcomm and Apple is appropriate and consistent with
Commission precedent generally, which supports withholding settlement terms, and is further
consistent with the public interest, which favors settlement. See Certain Machine Vision
Software, Machine Vision Systems, and Products Containing the Same, Inv. No. 337-TA-680,
Order No. 17 (Initial Determination) (Oct. 26, 2009); Certain Semiconductor Chips and
Products Containing the Same, Inv. No 337-TA-753, Order No. 26 (June 20, 2011); Certain
Dynamic Random Access Memory Semiconductors and Products Containing Same, Including
99998-77775/10777478.1 2
PUBLIC VERSION
Memory Modules, Inv. 337-TA-707, Order No. 10 (June 29, 2010); Certain Automotive
Multimedia Display and Navigation Systems, Inv. No. 337-TA-657, Order No. 27, (June 23,
2009); Certain Wireless Headsets, Inv. No. 337-TA-943, Order No. 10 at 3 (May 19, 2015)
(“termination of [respondent] is in the public interest, as public and private resources will be
conserved”); Certain Windshield Wipers & Components Thereof, Inv. No. 337-TA-928/937,
Order No. 24 at 3 (Jun. 5, 2015); Certain Set-Top Boxes, Gateways, Bridges, & Adapters &
Components Thereof, Inv. No. 337-TA-915, Order No. 17 at 4 (Oct. 7, 2014); Certain Cases for
Portable Elec. Devices, Inv. No. 337-TA-861/867, Order No. 10 at 2-3 (Apr. 30, 2013).
For the foregoing reasons, Qualcomm and Apple respectfully request that that the
99998-77775/10777478.1 3
PUBLIC VERSION
99998-77775/10777478.1 4
PUBLIC VERSION
Richard S. Zembek
Eric B. Hall
Daniel S. Leventhal
Talbot R. Hansum
NORTON ROSE FULBRIGHT US LLP
Fulbright Tower
1301 McKinney, Suite 5100
Houston, TX 77010
Tel.: (713) 651-5151
99998-77775/10777478.1 5
PUBLIC VERSION
Schedule 2
Form of Summary
The following is a summary of certain terms of the Settlement and Release Agreement (the
“Agreement”) entered into between Qualcomm Incorporated (together with its affiliates, “Qualcomm”)
and Apple Inc. (together with its affiliates, “Apple”) effective as of April 16, 2019 (“Effective Date”).
This summary is provided to [______________] subject to the confidentiality provisions of
[_________________].
DEFINED TERMS
Apple and Qualcomm (a) any litigation, suits or other official proceedings by
Actions Apple/Qualcomm against the other Party in a court, governmental
tribunal or administrative agency, whether by complaint, counterclaim,
intervention or otherwise on or prior to the Effective Date; (b) any
formal written complaints (or any written requests for an official
investigation or other official proceeding) relating to the other Party’s
business filed by Apple/Qualcomm with a regulatory, administrative or
other governmental body on or prior to the Effective Date; (c) any inter
partes review, covered business method review, or re-examination, or
analogous action filed or requested by Apple/Qualcomm on or prior to
the Effective Date against the other Party’s Covered Patents and that in
each case has not been instituted in the United States prior to ten (10)
Business Days after the Effective Date; and (d) any claim against or
accusing the other Party’s Covered Product (or the direct or indirect
fabrication, manufacturing, remanufacturing, assembly, testing,
packaging, repair or servicing with respect thereto) filed or otherwise
brought by Apple/Qualcomm against any Third Party in a litigation, suit
or other official proceeding in a court, governmental tribunal or
administrative agency on or prior to the Effective Date.
Covered Products
PUBLIC VERSION
DISMISSALS
RELEASES
Apple/Qualcomm
Release
COVENANTS
Released Claim Each party covenants not to bring any released claim against the other
Covenant party.
Future Litigation
Covenants
No Disgorgement or
Other Monetary
Recovery
PUBLIC VERSION
Allowed Actions Notwithstanding the preceding covenants, the parties are permitted to
take certain actions, including responding to lawful requests for
information from government authorities and engaging in advocacy on
FRAND and SEP licensing generally.
PAYMENT
SCHEDULE 3-A
Apple Actions 1
Regulatory Matters
Seoul High Court Qualcomm, Inc. et al v. KFTC and Intervenors for KFTC
2017 Nu 48
(Seoul, Korea) (Apple, Intel, LG, MediaTek)
2
PUBLIC VERSION
European Patent Apple Distribution International ULC & Intel Corp. v. 12738270.3 –
Office Qualcomm Inc. 1022/2724461
European Patent Apple Distribution International ULC & Intel Corp. v. 16157697.0 –
Office Qualcomm Inc. 1221/3094067
3
PUBLIC VERSION
German Federal
Apple Distribution International ULC v. Qualcomm Inc. 4 Ni 3/19
Patent Court
German Federal
Apple Distribution International ULC v. Qualcomm Inc. 6 Ni 20/19
Patent Court
German Federal
Apple Distribution International ULC v. Qualcomm Inc. 6 Ni 12/19
Patent Court
4
PUBLIC VERSION
ZL201310491586.1
First round Docket No.
China Patent Apple Computer Trading (Shanghai) Co., Ltd. v.
4W106649
Reexamination Board Qualcomm, Inc.
Second round Docket No.
4W108443
ZL200480042119.X
First round Docket No.
China Patent Apple Computer Trading (Shanghai) Co., Ltd. v.
4W106648
Reexamination Board Qualcomm, Inc.
Second round Docket No.
4W108312
ZL201180076332.2
First round Docket No.
China Patent Apple Computer Trading (Shanghai) Co., Ltd. v.
4W107002
Reexamination Board Qualcomm, Inc.
Second round Docket No.
4W107724
ZL201110165713.X
First round Docket
China Patent Apple Computer Trading (Shanghai) Co., Ltd. v.
No.4W106677
Reexamination Board Qualcomm, Inc.
Second round Docket No.
4W107928
5
PUBLIC VERSION
ZL200980118986.X
First round Docket No.
China Patent Apple Computer Trading (Shanghai) Co., Ltd. v.
4W106678
Reexamination Board Qualcomm, Inc.
Second round Docket No.
4W107288
ZL01817947.9
First round Docket
China Patent Apple Computer Trading (Shanghai) Co., Ltd. v.
No.4W106925
Reexamination Board Qualcomm, Inc.
Second round Docket No.
4W108512
6
PUBLIC VERSION
7
PUBLIC VERSION
Beijing Intellectual Apple Computer Trading (Shanghai) Co., Ltd. v. PRB 2019 BIPC Xing Chu #302
Property Court Third Party: Qualcomm, Inc. ZL201210390832.X
Beijing Intellectual Apple Computer Trading (Shanghai) Co., Ltd. v. PRB 2019 BIPC Xing Chu #303
Property Court Third Party: Qualcomm, Inc. ZL201180076332.2
China Matters
8
PUBLIC VERSION
Taiwan Matters
First Instance of the Apple Inc. and Apple Asia LLC, Taiwan Branch v. 107 Min-Kung-Su-Tze
Intellectual Property Qualcomm, Inc., Qualcomm Technologies, Inc., No.2
Court Qualcomm Taiwan Corporation, and Qualcomm
CDMA Technologies Asia-Pacific PTE Limited
Japan Matters
9
PUBLIC VERSION
Related Appeal: Apple Inc. v. Qualcomm Incorporated et al. 2018 (Ne) No. 10065
(ongoing)
IP High Court
10
PUBLIC VERSION
Netherlands Matters
UK Matters
11
PUBLIC VERSION
SCHEDULE 3-B
Qualcomm Actions
1
PUBLIC VERSION
ITC Matters
2
PUBLIC VERSION
Germany Matters
District Court
Qualcomm Incorporated v. Apple Incorporated 2 O 128/17
Mannheim
Munich Court of
6 U 4654/18
Appeals
District Court
Qualcomm Incorporated v. Apple Incorporated 2 O 15/18
Mannheim
District Court
Mannheim 2 O 16/18
District Court
Mannheim 2 O 190/17
3
PUBLIC VERSION
Related Appeal:
Munich Court of 6 U 3926/18
Appeals
Munich Court of
6 U 1018/19
Appeals
Munich Court of
6 U 1019/19
Appeals
4
PUBLIC VERSION
District Court
Qualcomm Incorporated v. Apple Incorporated 2 O 106/18
Mannheim
District Court
Qualcomm Incorporated v. Apple Incorporated 2 O 104/18
Mannheim
District Court
Qualcomm Incorporated v. Apple Incorporated 2 O 105/18
Mannheim
7 O 10496/17
District Court Munich Qualcomm Incorporated v. Apple Incorporated
ZM-Heft 1a
7 O 10496/17
District Court Munich Qualcomm Incorporated v. Apple Incorporated
ZM-Heft 2a
7 O 10496/17
District Court Munich Qualcomm Incorporated v. Apple Incorporated
OM-Heft 1a
7 O 10496/17
District Court Munich Qualcomm Incorporated v. Apple Incorporated
OM-Heft 2a
5
PUBLIC VERSION
6
PUBLIC VERSION
China Matters
7
PUBLIC VERSION
8
PUBLIC VERSION
9
PUBLIC VERSION
10
PUBLIC VERSION
Schedule 4
PUBLIC VERSION
2
PUBLIC VERSION
By: By:
Title: Title:
[[●]4]
By:
Printed Name:
Title:
Execution Date:
Schedule 5
PUBLIC VERSION
2
PUBLIC VERSION
By: By:
Title: Title:
[[●]5] [[●]6]
By: By:
Title: Title:
I hereby certify that a copy of the foregoing JOINT MOTION TO TERMINATE THE
INVESTIGATION (PUBLIC VERSION) was served to the parties, in the manner indicated
below, this 26th day of April 2019:
William F. Lee
Joseph J. Mueller
Timothy D. Syrett
WILMER CUTLER PICKERING HALE AND DORR
LLP
60 State Street
Boston, MA 02109
Ben Fernandez
WILMER CUTLER PICKERING HALE AND DORR
LLP
1225 Seventeenth Street, Suite 2600
Denver, CO 80202