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7/29/2019 Z Produx v. MAC - MSJ Brief
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ROBIN
S,KAPLAN,MILLER&CIRESIL.L.P.
ATTORNEYSATLAW
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84202728.3 MACS MOTION AND MEMORANDUM INSUPPORT OF SUMMARY JUDGMENT
, , . . .David Martinez, Bar No. [email protected] Century Park East, Suite 3400Los Angeles, CA 90067-3208Telephone: 310-552-0130Facsimile: 310-229-5800
ROBINS, KAPLAN, MILLER & CIRESI L.L.P.Jan M. Conlin (pro hac vice)Thomas C. Mahlum (pro hac vice)Larina A. Alton (pro hac vice)800 LaSalle Avenue2800 LaSalle PlazaMinneapolis, MN 55402-2015Telephone: 612-349-8500Facsimile: 612-339-4181
Attorneys for Defendant and Counterclaimant,
Make-Up Art Cosmetics, Inc.
UNITED STATES DISTRICT COURT
CENTRAL DISTRICT OF CALIFORNIA
Z PRODUX, INC.,
Plaintiff,
v.MAKE-UP ART COSMETICS, INC.,
Defendant.
Case No. CV 13-00734 DDP (RZx)
[Assigned to the Hon. Dean D.Pregerson]
MAKE-UP ART COSMETICS,INC.S NOTICE OF MOTIONAND MOTION FOR SUMMARY
JUDGMENT; MEMORANDUMOF POINTS AND AUTHORITIESIN SUPPORT
MAKE-UP ART COSMETICS, INC.,
Counterclaimant,
v.
Z PRODUX, INC.,
Counterclaim-Defendant.
ate: cto er ,Time: 10:00 a.m.Courtroom: 3
[Separate Statement ofUncontroverted Facts andConclusions of Law; Declaration ofThomas C. Mahlum; and [Proposed]
Judgment filed concurrentlyherewith]
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84202728.3 - 1 - MACS MOTION AND MEMORANDUM INSUPPORT OF SUMMARY JUDGMENT
TO THE HONORABLE COURT, THE CLERK OF THE COURT, ALL
PARTIES HEREIN AND THEIR ATTORNEYS OF RECORD:
PLEASE TAKE NOTICE that on October 21, 2013 at 10:00 a.m., or as
soon thereafter as the Motion may be heard at the United States District
Court, located at 312 N. Spring Street, Courtroom 3, Los Angeles, CA
90012, that Defendant and Counterclaim-Plaintiff Make-Up Art Cosmetics,
Inc. (MAC) will and hereby does move this Court, pursuant to Federal
Rule of Civil Procedure 56 and Central District of California Local Rule 56,
for an order granting summary judgment and a determination of no merit
on Plaintiff Z Produx, Inc.s entire Complaint, and its causes of action for
Design Patent Infringement pursuant to 35 U.S.C. 271.
The Motion will be made on the grounds that there are no disputed
genuine issues of fact relating to these claims and Defendant is entitled to
judgment as a matter of law because Plaintiffs Design Patent No. D642,743
is not infringed by MAC and is invalid.
This Motion is based upon this Notice of Motion, the Memorandum of
Points and Authorities, the Declaration of Thomas C. Mahlum, the SeparateStatement of Uncontroverted Facts and Conclusions of Law, the exhibits
filed concurrently herewith, the [Proposed] Judgment lodged concurrently
herewith, the Courts file on this matter, and upon such and further evidenc
and argument as may be presented prior to or at the time of the hearing on
this Motion.
//
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//
//
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84202728.3 iMACS MOTION AND MEMORANDUM IN
SUPPORT OF SUMMARY JUDGMENT
TABLE OF CONTENTSPage
MEMORANDUM OF POINTS AND AUTHORITIES ...................................... 1
INTRODUCTION ................................................................................................... 1
BACKGROUND FACTS ........................................................................................ 2
I. U.S. Patent No. D642,743 .................................................................. 2
A. The Z Palette is the Product that Embodies the 743Design ........................................................................................ 3
B. Z Produx Publicly Disclosed its Design in a RelatedTrademark Application Filed on February 19, 2009 ........... 4
C. The USPTO Rejected Ms. Shteysels Related UtilityPatent ......................................................................................... 7
II. MAC Pro Palette Large Single.......................................................... 8
ARGUMENT ........................................................................................................... 9
Legal Standard .............................................................................................. 9
I. The MAC Palette Does not Infringe the 743 Design Patent...... 10
A. The 743 Patent is Limited to Designs with SpecificCharacteristics that are not Embodied by the MAC
Palette ...................................................................................... 10B. The Only Shared Characteristics Between the MAC
Palette and the 743 Design are Functional andCannot Supply a Basis for Infringement Allegations ....... 19
II. The 743 Design Patent is Invalid Due to Prior Disclosure ........ 24
CONCLUSION ...................................................................................................... 25
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84202728.3 ii MACS MOTION AND MEMORANDUM INSUPPORT OF SUMMARY JUDGMENT
TABLE OF AUTHORITIESPage
CasesAmerican Sign & Indicator Corp. v. Schulenburg,267 F.2d 388 (7th Cir. 1959).......................................................................... 25
Anderson v. Liberty Lobby, Inc.,477 U.S. 242, 106 S. Ct. 2505, 91 L. Ed. 2d 202 (1986) .................................. 9
Celotex Corp. v. Catrett,477 U.S. 317, 106 S. Ct. 2548, 91 L. Ed. 2d 265 (1986) .................................. 9
Chef'n Corp. v. Trudeau Corp.,2009 U.S. Dist. LEXIS 47013, 2009 WL 1564229(W.D. Wash. June 4, 2009) ................................................................ 14, 15, 18
Egyptian Goddess,543 F.3d 665 (Fed. Cir. 2006) ........................................................................ 19
Elmer v. ICC Fabricating, Inc.,67 F.3d 1571 (Fed. Cir. 1995) ................................................................. passim
Goodyear Tire & Rubber Co. v. Hercules Tire & Rubber Co.,162 F.3d 1113 (Fed. Cir. 1998) ...................................................................... 10
In re Mann,861 F.2d 1581 (Fed. Cir. 1988) ................................................................ 11, 24
Inwood Labs, Inc. v. Ives Labs, Inc.,456 U.S. 844 (1982) ....................................................................................... 20
Lee v. Dayton-Hudson Corp.,838 F.2d 1186 (Fed. Cir. 1988) .......................................................... 10, 13, 20
McIntire v. Sunrise Specialty Co.,No. Civ. S-11-2495, 2013 U.S. Dist. LEXIS 65192(E.D. Cal. May 7, 2013) ........................................................................... 11, 19
OddzOn Prods. v. Just Toys,122 F.3d 1396 (Fed. Cir. 1997) ............................................................... passim
Penn Fabrication (U.S.A.) v. Soulbella Enters.,Case No. 98-3458, 1998 U.S. Dist. LEXIS 17348(C.D. Cal. Aug. 5, 1998) ................................................................................ 24
Read Corp. v. Portec, Inc.,970 F.2d 816 (Fed. Cir. 1992) ........................................................................ 20
Read Corp. v. Portec, Inc.,970 F.2d 816 (Fed. Cir. 1992) ........................................................................ 19
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84202728.3 iii MACS MOTION AND MEMORANDUM INSUPPORT OF SUMMARY JUDGMENT
Richardson v. Stanley Works, Inc.,597 F.3d 1288 (Fed. Cir. 2010) ................................................................ 19, 20
Sofpool LLC v. Kmart Corp.,2013 U.S. Dist. LEXIS 76293 2013 WL 2384331(E.D. Cal. May 29, 2013) ........................................................................ passim
Solar Sun Ring Inc. v. Wal-Mart Stores Inc.,No. CV 11-6990 PSG, 2012 U.S. Dist. LEXIS 156373(C.D. Cal., Oct. 31, 2013) .............................................................................. 10
Spotless Enters. v. A&E Prods. Group L.P.,294 F. Supp. 2d 322, (E.D.N.Y. 2003) ........................................................... 21
Statutes35 U.S.C. 102(b) .......................................................................................... 1, 24, 25
35 U.S.C. 289 ......................................................................................................... 10
RulesFed. R. Civ. P. 1 ............................................................................................................ 2
Fed. R. Civ. P. 56(a) ................................................................................................... 9
Other Authorities37 CFR 2.27(b) ......................................................................................................... 24
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84202728.3 1 MACS MOTION AND MEMORANDUM INSUPPORT OF SUMMARY JUDGMENT
MEMORANDUM OF POINTS AND AUTHORITIES
INTRODUCTION
This is a case for alleged infringement of a design patent for the
design of a cosmetic holder. By its terms, however, a design patent is
limited to the ornamental as distinct from the functional aspects of the
design. Indeed, the design patent at issue claims [t]he ornamental design
for the cosmetic holder, as shown and described. Yet despite numerous
opportunities, the Plaintiff has failed to identify any ornamental elements of
its design that are supposedly incorporated into the accused product.
For example, the patented design contains a number of ornamental
elements, including a book like appearance, overhanging edges, a top and
bottom formed from a single piece, the use of a hinge-less flat spine
connecting the base to the cover, and a proportionally thick border for the
window frame. Instead of identifying any of these elements, Plaintiff
merely contends that the accused product has a clear top and an empty
base. But as the inventor herself has admitted, these elements are purely
functional. The function of the clear top is to enable users to see whatcosmetics are inside the holder, and the function of the empty base is to
permit the product to hold cosmetics. As a result, Plaintiffs claim for
infringement of its ornamental design fails as a matter of law.
Moreover, Plaintiffs design patent is invalid pursuant to 35 U.S.C.
102(b). More specifically, the patented design was publicly disclosed more
than one year prior to the application. In February 2009, the patented
design was described and depicted in connection with a trademark
application submitted by the Plaintiff, yet the design patent was not applied
for until April 2010.
Accordingly, defendant Make-Up Art Cosmetics, Inc. (MAC) brings
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84202728.3 2 MACS MOTION AND MEMORANDUM INSUPPORT OF SUMMARY JUDGMENT
this early1 motion for summary judgment against plaintiff Z Produx, Inc.
(Z Produx) as to its claim for design patent infringement. Because the
undisputed facts demonstrate that MAC does not infringe the protectable
ornamental elements of its design, and that its design was publicly
disclosed more than one year before the filing date of the design patent,
MAC is entitled to summary judgment and Z Produxs Complaint should
be dismissed in its entirety and with prejudice.
BACKGROUND FACTS
I. U.S. Patent No. D642,743U.S. Patent No. D642,743, Cosmetic Holder (the 743) was filed on
April 14, 2010 by inventor Zena Shteysel (Ms. Shteysel). (Declaration of
Thomas Mahlum, dated September 23, 2013 (Mahlum Decl.) at Ex. A.)2
The patent was applied for on April 14, 2010 and issued August 2, 2011. (Id.)
The USPTO system indicates it was assigned to Z Produx on May 18, 2012.
(Id., Ex. B.) It includes one claim for [t]he ornamental design for the
cosmetic holder, as shown and described. (Id., Ex. A.) The 743 includes a
number of figures, including:
1 MAC brings this dispositive motion early in an effort to avoid needless litigation costs and fees. See Fed.R. Civ. P. 1 (indicating the rules should be administered to secure the just, speedy, and inexpensivedetermination of every action and proceeding); and at 1993 Adv. Comm. Note (recognizing theaffirmative duty of the court to exercise the authority conferred by these rules to ensure that civil litigationis resolved not only fairly, but also without undue cost or delay and that [a]s officers of the court,attorneys share this responsibility with the judge to whom the case is assigned). In the event its motion isdenied, MAC reserves all rights to renew this motion based upon these or additional arguments and upona more fully developed record at the close of discovery.2 The Prosecution History for D642,743 is attached in full to the Mahlum Decl. as Exhibit Y for the Courtsreference.
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84202728.3 3 MACS MOTION AND MEMORANDUM INSUPPORT OF SUMMARY JUDGMENT
(Id., at Figs. 1-3, 8, 9.)
A. The Z Palette is the Product that Embodies the 743 Design.Ms. Shteysel is the president of Z Produx. Z Produx is in the business
of selling the Z Palette, which embodies the 743 patent. (Id., Ex C at 10, 73;
Ex. Z (depicting D642,743 patent marking on back of the Z Palette).) The
Z Palette appears as follows:
(Mahlum Decl., Ex. D.) The opaque rim of the box is relatively thick in
appearance, and is proportionally a thick border as compared to the size of
the window. In fact the thick border constitutes 39% of the surface area of
the Z Palette.3 The material of the cosmetic holder is a matte finish with a
cardboard-like texture. (See id.) Like the 743 design patent, the Z Palette has
two scores or ridges along the edges of the cosmetic holder:
3 The Z Palette is 4.75 inches wide and 8 inches long; the window pane in the lid measures 3.5 inches wideby 6 5/8 inches long. This means that the surface area of the lid is 38 square inches (4.75x8) and thesurface are of the window pane is 23.18 square inches (3.5x6.625). Proportionally, the window pane makesup 61% of the square inches of the lid, whereas the opaque rim makes up the remaining 39% of the squareinches of the lid. See Mahlum Declaration at 4.
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84202728.3 4 MACS MOTION AND MEMORANDUM INSUPPORT OF SUMMARY JUDGMENT
(Id., Ex. E.)
Additionally, as depicted in the 743 design patent, the Z Palette has a
flat, unarticulated hinge-less spine that is flat:
(Id., Ex. F.) These features together could be said to give the cosmetic
holder a book-like design and appearance.
B. Z Produx Publicly Disclosed its Design in a RelatedTrademark ApplicationFiled on February 19, 2009.
On February 19, 2009, more than a year before its design patent
application, Z Produx applied for a registered trademark for the word
Z Palette to be used with a Cosmetic case sold empty and other
comparable uses. (Id., Ex. G at 4.) The Z Palette trademark registration
application states that the Z Palette mark was used in commerce at least asearly as February 12, 2009, and further that the trademark was being used in
commerce as of the date of the trademark application. (Id., at 6 (Commerce
The applicant is using the [Z Palette] mark in commerce, or the applicant's
related company or licensee is using the mark in commerce, or the
applicant's predecessor in interest used the mark in commerce, on or in
connection with the identified goods and/or services. In International Class
018, the mark was first used at least as early as 02/12/2009, and first used in
commerce at least as early as 02/12/2009, and is now in use in such
commerce.).) Finally, the trademark applicant attested its representations
regarding the use of the Z Produx mark in commerce as of February 12,
2009, to be true:
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84202728.3 5 MACS MOTION AND MEMORANDUM INSUPPORT OF SUMMARY JUDGMENT
The undersigned, being hereby warned that willful falsestatements and the like so made are punishable by fineor imprisonment, or both, under 18 U.S.C. Section 1001,and that such willful false statements, and the like, may
jeopardize the validity of the application or any resultingregistration, declares . . . that all statements made ofhis/her own knowledge are true; and that all statementsmade on information and belief are believed to be true.
(Id., at 7.)
The USPTO specifically warns that the filing of a design or other
materials in connection with a trademark application constitutes a public
disclosure:
ALL DATA PUBLIC: All information you submit to the
USPTO at any point in the application and/orregistration process will become public record, includingyour name, phone number, e-mail address, and streetaddress. By filing this application, you acknowledge thatYOU HAVE NO RIGHT TO CONFIDENTIALITY inthe information disclosed. The public will be able toview this information in the USPTOs on-line databasesand through Internet search engines and other on-linedatabases. This information will remain public even ifthe application is later abandoned or any resultingregistration is surrendered, cancelled, or expired.
(Id., Ex. I (available at http://www.uspto.gov/trademarks/teas/#).) Theabove warning is consistent with the Trademark Manual of Examining
Procedure, which provides that The public may view and print images of
the contents of trademark application and registration records through the
TSDR portal on the USPTO website at http://tsdr.uspto.gov/. Electronic
images of Board proceeding records are also available on the USPTO
website at http://ttabvue.uspto.gov/ttabvue/. TSDR and TTABVUE are
available 24 hours a day, seven days a week, free of charge. The public may
also view and print images of the contents of trademark application and
registration records through the Trademark Image Capture and Retrieval
System (TICRS), available in the Public Search Facility on the USPTO
premises. See TMEP 402. (Id., Ex. H, at 109.01; see also id., 111, 402
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84202728.3 6 MACS MOTION AND MEMORANDUM INSUPPORT OF SUMMARY JUDGMENT
(available at http://tmep.uspto.gov/RDMS/detail/manual/TMEP/
Apr2013/d1e2.xml#/manual/TMEP/Apr2013/d1e2.xml).)
Although it had not yet applied for a patent on its product, on
February 12, 2009 Z Produx publicly filed its trademark application
attaching the following image of the Z Palette:
(Id. at 9.) The product pictured in the patent application is the
Z Palette which embodies the asserted design patent. (See id.; cf. Mahlum
Decl., Ex. C at 73 (stating that the Z Palette embodies the 743 design
patent).) As indicated above, the trademark application described the above
specimen by noting that the cosmetic case was sold empty (the cosmeticsshown in the image are for demonstrative purposes only). (Id., Ex. G.)
This image of the design and the description thereof was publicly filed on
February 12, 2009, more than a year before the April 14, 2010 filing of the
743 design patent. (Compare Mahlum Decl., Ex. G (indicating a February 12,
2009 filing date and attaching images of the Z Palette) with Ex. A (reflecting
a filing date of April 14, 2010) and Ex. I (stating that materials filed are
public); and Ex. H (further indicating public online availability of trademark
applications); see also Ex. C at 68 (testifying that an image of the Z Palette
design was attached to a trademark application as of February 19, 2009).)
The trademark was registered on September 1, 2009. (Id., Ex. G at 28
(Trademark principal register dated Sept. 1, 2009).)
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84202728.3 7 MACS MOTION AND MEMORANDUM INSUPPORT OF SUMMARY JUDGMENT
Apparently recognizing that the date of first use in the trademark
application would bar its patent applications pursuant to the on-sale bar
because the date was more than a year prior to its patent applications, on
November 30, 2011, Z Produx cancelled its trademark registration. (See id.,
Ex. G.) On the same day, Z Produx filed a new trademark application for Z
Palette that claimed a May 20, 2009 date of first use. (Id., Ex. J.) At this
time, an issue of fact exists as to the true date of first use, and the
applicability of the on-sale bar.4 But there is no dispute that the design of th
Z Palette was publicly disclosed in the original trademark application, which
was publicly filed on February 19, 2009.
C. The USPTO Rejected Ms. Shteysels Related Utility Patent.In addition to filing for a design patent, Ms. Shteysel also applied for a
utility patent covering the utilitarian aspects of her product. (See id., Ex. K
& Ex. L.) The utility patent application, filed April 14, 2010, sought to claim,
among other things, a cosmetic holder with a magnetic bottom, a spine, and
a cover with a frame in order to define a window for viewing the makeup
containers. (Id., Ex. K, Reply to Office Action dated April 1, 2012, at 4.) Butthe utility patent application was rejected as obvious, in part based on the
Liden patent5 depicted below and assigned to MAC.
4 It is possible that a sale more than a year in advance of the design patent application will beunequivocally established through additional discovery. Therefore as noted in Footnote 1 above MACreserves its rights to renew this motion on that basis at the close of discovery should it identify a sufficientbasis for doing so.5 The Liden patent is US Design Patent D597,256, filed on June 10, 2008. (Mahlum Dec., Ex. X.) Thedesign depicted in Liden is nearly identical to the accused product, with the primary exception of an insertto hold cosmetics in place.
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84202728.3 8 MACS MOTION AND MEMORANDUM INSUPPORT OF SUMMARY JUDGMENT
As the examiner noted, Liden teaches the top cover portion of a cosmetic
holder may contain a frame with an opening in which a clear material may
be inserted such that the opening covered in clear material acts as a window
for viewing the makeup containers when the cover is in a closed position.
(Id., Rejection dated 9/14/11.) Indeed, Ms. Shteysel has acknowledged that
she was not the first inventor to come up with a cosmetic holder with either
a clear top or, of course, an empty base. (See id., Ex. C at 82.)
II. MAC Pro Palette Large SingleThe only MAC product accused of infringement is the MAC Pro
Palette Large/Single (having UPC 7-73602-23605-3) (the MAC Palette).
(Complaint, Dkt.#1, at 11.) The MAC Palette has a distinct appearance
from either the 743 claimed design or the Z Palette that embodies it. First, it
has a narrower opaque rim than the proportions identified in either the 743
or the Z Palette:
(Mahlum Decl., Ex. AA.) The opaque rim of the box is relatively thin and
sleek in appearance, and is proportionally a narrow border as compared to
the size of the window. (See id.) In fact, the narrow border constitutes only
16% of the surface area of the MAC Palette.6 Additionally, rather than
having a flat back hinge that folds back on itself like the Z Palette, the MAC
Palette has a triangular or ridged hinge:
6 The MAC Palette is 4 3/8 inches wide and 7 inches long; the window pane in the lid measures 3 7/8inches wide by 6 5/8 inches long. This means that the surface area of the lid is 30.6 square inches (4.475x7)and the surface are of the window pane is 25.67 square inches (3.875x6.625). Proportionally, the windowpane makes up 83.8% of the square inches of the lid, whereas the opaque rim makes up the remaining16.2% of the square inches of the lid. See Mahlum Declaration at 5.
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84202728.3 9 MACS MOTION AND MEMORANDUM INSUPPORT OF SUMMARY JUDGMENT
(Mahlum Aff., Ex. M.) Also, the edges are flush with one another without
the scoring around the rim of the product present in the Z Palette or 743:
(Mahlum Aff., Ex. N.) Thus, as described further below, the MAC Palette
has a distinct appearance from the Z Produx patent or Z Palette product.
ARGUMENT
Legal Standard
Federal Rule of Civil Procedure 56(a) establishes that a court shall
grant summary judgment if the movant shows that there is no genuine
dispute as to any material fact and the movant is entitled to judgment as a
matter of law. Fed. R. Civ. P. 56(a). A party may move for summary
judgment not only as to an entire case, but also as to a claim, defense, or
part of a claim or defense. Id. The movant bears the initial burden to
demonstrate the lack of a genuine issue of material fact. See Celotex Corp. v.
Catrett, 477 U.S. 317, 323, 106 S. Ct. 2548, 91 L. Ed. 2d 265 (1986). The
movant has the burden of showing that there is no genuine issue of fact, but
the plaintiff is not thereby relieved of his own burden of producing in turn
evidence that would support a jury verdict [in his favor].Anderson v.
Liberty Lobby, Inc., 477 U.S. 242, 256, 106 S. Ct. 2505, 91 L. Ed. 2d 202 (1986).
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84202728.3 10 MACS MOTION AND MEMORANDUM INSUPPORT OF SUMMARY JUDGMENT
Thus the movant satisfies the burden, the nonmovant must set forth specific
evidence showing that there remains a genuine issue for trial, and may not
rest upon mere allegation or denials of his pleading. Id.
In the case of design patent cases, where no significant distinction in
design has been shown between the patent drawing and its physical
embodiment, it is not error for the court to view them both, and to compare
the embodiment of the patented design with the accused devices. Lee v.
Dayton-Hudson Corp., 838 F.2d 1186, 1189 (Fed. Cir. 1988); Solar Sun Ring Inc.
v. Wal-Mart Stores Inc., No. CV 11-6990 PSG, 2012 U.S. Dist. LEXIS 156373,
*13 (C.D. Cal., Oct. 31, 2013).
I. The MAC Palette Does not Infringe the 743 Design Patent.A cursory review of the features of the MAC Palette as compared to
the 743 reveals a distinct design and appearance of the MAC Palette that
foreclose further consideration of this matter. A design patent is infringed if
the patented design, or any colorable imitation thereof, is applied to any
article of manufacture for the purpose of sale. 35 U.S.C. 289. Thus, a
design patent is infringed by the unauthorized manufacture, use, or sale ofthe article embodying the patented design or any colorable imitation
thereof. See id.; Goodyear Tire & Rubber Co. v. Hercules Tire & Rubber Co., 162
F.3d 1113, 1116-17 (Fed. Cir. 1998).
A. The 743 Patent is Limited to Designs with SpecificCharacteristics that are not Embodied by the MAC Palette
As an initial matter, a design patentee limits the scope of his patent
by including ornamental features that give the overall design a distinctive
ornamental appearance. Sofpool LLC v. Kmart Corp., No. Civ. S-10-3333,
2013 U.S. Dist. LEXIS 76293, 3-4, 2013 WL 2384331 (E.D. Cal. May 29, 2013)
(citing Elmer v. ICC Fabricating, Inc., 67 F.3d 1571, 1577 (Fed. Cir. 1995));
McIntire v. Sunrise Specialty Co., No. Civ. S-11-2495, 2013 U.S. Dist. LEXIS
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65192, at 10-11 (E.D. Cal. May 7, 2013). The claimed design does not cover
the universe of designs that remotely resemble it. See Elmer, 67 F.3d at 1577
(patentee included in its drawings certain features that gave the design a
distinctive ornamental appearance, and thus effectively limited the scope
of its patent claim by including those features in it). Thus, the initial step
in any comparison of designs is a determination of whether the accused
design is even within the limitation on scope that the patentee has imposed,
through his patent drawings. Sofpool LLC, 2013 U.S. Dist. LEXIS 76293, at 4;
McIntire, 2013 U.S. Dist. LEXIS 65192, at 10-11.
For example, in Elmer, the Federal Circuit construed the claims of the
ornamental design for a vehicle top sign holder, as shown and described.
Elmer, 67 F.3d at 1577. The only design shown and described was a
vehicle sign design that included, inter alia, triangular vertical ribs and an
upper protrusion that gave the design a distinctive ornamental appearance.
Id. No other design was suggested by the patent. Id. Because the triangular
vertical ribs were included in the patent drawings, the patentee effectively
limited the scope of its patent claim by including those features in it. Id.(citing In re Mann, 861 F.2d 1581, 1582 (Fed. Cir. 1988) (Design patents have
almost no scope. The claim at bar, as in all design cases, is limited to what is
shown in the application drawings.)).
Because a visual comparison to the accused product revealed that the
triangular vertical ribs were not present, the Federal Circuit therefore held
that no reasonable jury could conclude that the overall visual appearance of
the claimed design is substantially similar to the accused design. Id. at 1578
(the overall ornamental appearance of the patented design, as shown in the
patent drawings, is too different from [defendants] design for an ordinary
observer to be induced into purchasing [defendants] product thinking it
was [plaintiffs] design). Therefore the Federal Circuit overturned a jury
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84202728.3 12 MACS MOTION AND MEMORANDUM INSUPPORT OF SUMMARY JUDGMENT
verdict in favor of the plaintiff and entered judgment for the defendant. Id.
Federal District Courts in the Ninth Circuit have applied Elmerto
foreclose detailed consideration of prior art and infringement contentions
where the plaintiff has failed to show a threshold level of similarity between
the patented design and the accused product. For example, in Sofpool, 2013
U.S. Dist. LEXIS 76293, at 4, Judge Karlton of the Eastern District of
California considered whether the patentees limitations on his patent
plainly excluded the accused design:
Of course, the claimed design does not coverthe universe of designs that remotely resemble it.Rather, as an initial matter, a design patentee limits
the scope of his patent by including ornamentalfeatures that give the overall design a distinctiveornamental appearance. Thus, the initial step in anycomparison of designs is a determination of whetherthe accused design is even within the limitation onscope that the patentee has imposed, through hispatent drawings.
Id., at 3 (citation omitted). In considering summary judgment, the Court
construed the claims of the patent and considered the drawings, an example
of which follows:
(Mahlum Decl., Ex. T.) The Sofpool court observed that the design patent
and the accused product shared certain features, including that they were
both designs for an oval, above-ground pool; both featured a tubular top;
both featured side struts along their long sides, stretching from just below
the tubular top, to the ground; both featured side straps that run
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84202728.3 13 MACS MOTION AND MEMORANDUM INSUPPORT OF SUMMARY JUDGMENT
underneath the pool and connect the struts where the struts meet the
ground; both featured angled side walls with a curve or bulge at the
bottom, just before the structure meets the ground; and finally both designs
contained segmented side walls. Sofpool, 2013 U.S. Dist. LEXIS 76293, at 13.
An image of the accused design is contained in the pleadings:
(Case 2:10-cv-03333-LKK-JFM, Dkt.#48 at 11.) However, despite these
similarities, the two designs featured different proportions:
[O]ne ornamental aspect of a design patent is theproportions of the design. The '817 patent claims a pooldesign that is approximately seven (7) times longer than itis tall, in its 2-strut design. Accordingly, the patent claimsa design for a squat pool. Indeed, the overall appearanceof the claimed design is of a squat, wading-type pool.
The accused pool, on the other hand, has a taller andmore elegant appearance. It does not give the appearanceof being squat. Indeed, the accused design is less thanfour (4) times longer (taking the length of the tubular top)than it is tall, approximately, in its 2-strut design. . . .
A design patent cannot, of course, claim everyconceivable shape and proportion that could arise fromits basic design. But that would appear to be the point ofpermitting design patents in the first place. The patent
protects the shape and proportion the patentee chooses,but leaves other shapes and proportions to theimagination of other designers. . .
Sofpool, 2013 U.S. Dist. LEXIS 76293, at 14-17 (emphasis added) (quoting Lee,
838 F.2d at 1188 the district court correctly viewed the design aspects of
the accused devices: the wooden balls, their polished finish and appearance,
the proportions, the carving on the handle, and all other ornamental
characteristics)(emphasis added)). Having concluded that the proportions
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84202728.3 14 MACS MOTION AND MEMORANDUM INSUPPORT OF SUMMARY JUDGMENT
of the designs were not the same, the Sofpool, LLCCourt concluded that no
reasonable juror could find that an ordinary observer would conclude that
the taller, more elegant accused pool embodies the squat pool plaintiff
patented or any colorable imitation thereof. Id., at 16-17. Because the
accused design was not within the limitation on scope that the patentee
imposed in the drawings, the Court did not consider any prior art as it was
rendered unnecessary to do so. Id., at 17 n.10.
Similarly, in Chef'n Corp. v. Trudeau Corp., Case No. C08-01135, 2009
U.S. Dist. LEXIS 47013, 9-11, 2009 WL 1564229 (W.D. Wash. June 4, 2009),
the Court considered [t]he ornamental design for a steamer, as shown and
described. Id., at 9. The Court concluded that defendant was entitled to
summary judgment because the differences between the accused product
and the patented design for a steamer were more than mere difference of
lines in the drawing or sketch or slight variances in configuration. Id., at 10
This was because the design patent depicted two circular solid lines below
the top rim, which according to plaintiffs construction depicted a change
in curvature or slope of a surface as well as a a small, depressed ring atthe center of the steamer:
(Mahlum Decl., Ex. U at Fig. 1.)
The accused product, however, had only one change in concavity
between its base and sides, and aflat center that lacked any central ring other
than that formed by its hole pattern. Chef'n Corp., 2009 U.S. Dist. LEXIS
47013 at 10. For example, see this image of the accused design submitted
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84202728.3 15 MACS MOTION AND MEMORANDUM INSUPPORT OF SUMMARY JUDGMENT
among the pleadings:
(Civ. Case No. 2:08-c01135-MJP, Dkt.#19 at 239.) As such, the Court
concluded as a matter of law that an ordinary observer familiar with the
prior art would recognize that the 503 design presents a more complex
structure in terms of slope. Chef'n Corp., 2009 U.S. Dist. LEXIS 47013, at 10.
Like the designs at issue in Elmer, Sofpool, and Chefn, the 743 patent
design does not bear a threshold resemblance to the MAC Palette. Like all
patents, the 743 patent is limited to what it actually claims: The ornamental
design for the cosmetic holder, as shown and described. (Mahlum Decl., Ex.
A.) The 743 claims a cosmetic holder with a lip that extends beyond the
edge of the cosmetic holder rather than being flush:
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84202728.3 16 MACS MOTION AND MEMORANDUM INSUPPORT OF SUMMARY JUDGMENT
(Id., highlighted excerpts of Figs. 1, 4, 7, 8, 11, 14.) The drawings are all
consistent: The lips along the front side of the design extend past the edge
of the case to give a booklike appearance. (See id.) Additionally, the images
in the picture show two seams or ridges along the side of the cosmetic case
rather than just one where the case would separate. (See id.) The Z Palette
similarly has lips that extend past the front edge of the case and multiple
seams or ridges along the edge of the case:
(Mahlum Decl., Ex. P (highlight added); see also id., Ex. C at 90-91
(explaining that because of the cardboard material the degree of extrusion
by the lip from the box varies by moment in time because it can be moved
back and forth, but that in the inventors opinion the lip in the Z Palette is
the one present in the 743 patent).)
Contrary to the claimed design, the MAC Palette exhibits one seam,
rather than three, and this is only to meet the function of a box that must
open along the seam. Contrary to the claimed design, the edges along three
sides of the box are flush to the sides with no extension of a lip along the
edge of the box. These two distinctions are shown below:
(Mahlum Decl., Ex. Q; see also id., Ex. C at 100 (admitting the MAC Palette
has no lip).)
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84202728.3 17 MACS MOTION AND MEMORANDUM INSUPPORT OF SUMMARY JUDGMENT
Further, the 743 is limited to designs that have a hinge that is flush
with the cosmetic case and formed like the binder or spine of a book:
(Mahlum Decl., Ex. A at Figs. 5 (depicting rear elevational view) & 4
(depicting side elevational view from either side) (highlighting added).)
Again, the drawings are consistent in depicting a hinge side that, though it
has apparent seams, is flush with the sides of the box. (See id.)
Similar to the claimed design, the Z Palette does not have an elevated
hinge along the back of the box:
(Mahlum Decl., Ex R (highlighting added).) In contrast, however, the
accused MAC Palette has a distinctive triangular raised hinge:
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(Mahlum Decl., Ex. M (highlighting added); Ex. C at 97 (agreeing that the
MAC Palette has a different hinge).)
These distinctions exceed the differences elaborated upon and found
to be dispositive in Elmerand Chef'n. Elmer, 67 F.3d at 1577-78 (triangular
vertical ribs present in the claimed design not present in the accused
product foreclosed infringement as a matter of law); Chef'n Corp., 2009 U.S.
Dist. LEXIS 47013 at 10 (infringement foreclosed because patent claimed
two changes in concavity and depressed ring in steamer while accused
product had only one change in concavity and a flat center that lacked any
central ring). Here, the 743 design patent claims two seams or grooves
along the sides of the cosmetic holder: the MAC Palette has only one, and it
is functional rather than ornamental. The 743 design patent claims a book-
like lip that extends beyond the edge of the side of the box: the MAC Palette
is flush along the sides of the box without a book like set of ornamental
lips. The 743 design patent claims a hinge that is flush with the side of the
box: the MAC Palette has a distinctive triangular hinge that is elevated from
the sides of the box.Additionally, though the above is more than sufficient to sustain a
finding of summary judgment against Z Produx, the claimed proportions of
the 743 design patent are also materially distinct from the proportions of
the MAC Palette. The Z Palette has a much thicker opaque rim than the
MAC Palette does, giving an overall different appearance to the products.
The Z Palette rim makes up 39% of the total surface area of the lid of the
cosmetic holder, while the MAC rim makes up only 16% of the surface area
of the lid of the cosmetic holder because it is much narrower. The MAC
opaque rim around the edge of the window is only .25 of an inch thick
while the edge of the Z Palette rim is much wider - .68 of an inch. As in
Sofpool LLC, 2013 U.S. Dist. LEXIS 76293, at 14-17, these differing
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proportions lead to a distinct appearance such that no reasonable jury could
that the ordinary observer might confuse one product for the other.
All of these differing elements contribute to an overall distinct
appearance between the patented design and the accused product. For these
reasons summary judgment should be granted in favor of MAC.
B. The Only Shared Characteristics Between the MAC Paletteand the 743 Design are Functional and Cannot Supply a Basisfor Infringement Allegations
In the event that the Court determines that the patentees limitations
on its design does not plainly exclude the accused palette, the infringement
inquiry then requires a comparison of the whole claimed design to the
design of the accused device. Sofpool LLC, 2013 U.S. Dist. LEXIS 76293, at 4;
McIntire, 2013 U.S. Dist. LEXIS 65192, at 10-11. The comparison requires the
fact-finder to determine whether the patented design as a whole is
substantially similar in appearance to the accused bowl from the
perspective of the ordinary observer familiar with the prior art and
designs. Richardson v. Stanley Works, Inc., 597 F.3d 1288, 1295 (Fed. Cir.
2010). In Egyptian Goddess, the Federal Circuit recognized that the ordinaryobserver test should be the sole test for determining whether a design
patent has been infringed. 543 F.3d 665, 678 (Fed. Cir. 2006) (abolishing the
point of novelty test).
In determining the overall similarity of design, the ordinary observer
must be deceived by the features common to the claimed and accused
designs that are ornamental, not functional. OddzOn Prods. v. Just Toys, 122
F.3d 1396, 1404 (Fed. Cir. 1997) (a design patent only protects the
ornamental aspects of the design); Elmer, 67 F.3d at 1577 (stating that a
design patent protects only the nonfunctional aspects of an ornamental
design as shown in the patent); Read Corp. v. Portec, Inc., 970 F.2d 816, 820
(Fed. Cir. 1992) (it is the non-functional design aspects that are pertinent to
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84202728.3 20 MACS MOTION AND MEMORANDUM INSUPPORT OF SUMMARY JUDGMENT
determinations of infringement and the patentee must establish that an
ordinary person would be deceived by reason of the common features in
the claimed and accused designs which are ornamental); Lee, 838 F.2d at
1188-90 ([I]t is the non-functional, design aspects . . . that are pertinent to
determinations of infringement. . . . A device that copies the utilitarian or
functional features of a patented design is not an infringement unless the
ornamental aspects are also copied, such that the overall resemblance is
such as to deceive. . . . [While] infringement can be found for designs that
are not identical to the patented design, such designs must be equivalent in
their ornamental, not functional, aspects.).
Thus, in construing the claims of a design patent, the Court must
separate the ornamental and functional features of the patented design.
Richardson, 597 F.3d at 1298. Where a design contains both functional and
non-functional elements, the scope of the claim must be construed in order
to identify the non-functional aspects of the design as shown in the patent.
Id. (quoting OddzOn Prods., 122 F.3d at 1405). The Richardson Court
explained:If the patented design is primarily functional rather thanornamental, the patent is invalid. However, when thedesign also contains ornamental aspects, it is entitled to adesign patent whose scope is limited to those aspectsalone and does not extend to any functional elements ofthe claimed article.
Id. at 1293-94.
In evaluating whether a particular element is functional rather than
ornamental, an aspect is functional if it is essential to the use or purpose
of the article or if it affects the cost or quality of the article. Inwood Labs. v.
Ives Labs., 456 U.S. 844, 851 n.10, 102 S. Ct. 2182 (1982). As one Court
carefully explained, the examination of functional elements is different in
the claim construction analysis than it is when assessing invalidity:
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[Patentee] argues that in distinguishing between thefunctional and ornamental features in the infringementanalysis, the test should be the same as that used indetermining the affirmative defense of invalidity basedon functionality. The test for functionality to invalidate adesign patent is a stringent one that requires a showingthat the appearance of the claimed design is dictated bythe use or purpose of the article. [Patentee] argues thatonly the solely functional features - those that cannot beachieved with an alternative design - are excluded fromthe infringement comparison. However, the process ofdistinguishing the ornamental features is merely a formof claim construction and is distinct from the
functionality analysis of invalidity. A design patent canbe primarily ornamental, yet have swaths of features thatare not infringed if copied. As was the case in OddzOnProds., the functional characteristics, while notinvalidating the design patent, merely limit the scopeof protected subject matter. 122 F.3d at 1406.
Accordingly, even elements that are not solely dictatedby function are not included in the comparison to theextent they are functional.
Spotless Enters. v. A&E Prods. Group L.P., 294 F. Supp. 2d 322, 344-345,
(E.D.N.Y. 2003) (emphasis added, citations and quotations omitted).
In discriminating between functional design aspects that can be
copied and ornamental aspects that can be patented and protected,
Courts evaluate the usefulness of the asserted design. For example, inOddzOn Prods., 122 F.3d at 1405, the Federal Circuit evaluated a design
patent covering a foam football with a tail and fin structure:
(Mahlum Decl., Ex. W.) The accused products by New Toys were also foam
footballs with fins:
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(Mahlum Decl., Ex. V.) Donald S. Chism, 8 CHISM ON PATENTS 23.05[3][e] at
23-267 (2011). The Oddzon Court determined that the design patent covered
both functional and nonfunctional elements. OddzOn Prods., 122 F.3d at 1405
Though the patent holder could claim protection over its specific design, it
could not claim a monopoly over rocket-like tossing balls with a tail:
While [the patentee] correctly states that there are manyways of designing tossing balls it is undisputed thatthe ball in question is specifically designed to be thrownlike a football, yet travel further than a traditional foamfootball. It is the football shape combined with the finson a tail that give the design these functional qualities.The tail and fins on [the patented] design add stability inthe same manner as to the tail and fins founds on dartsor rockets. They are no less functional simply becausetossing balls can be designed without them. . . . These. . . functional characteristics . . . limit the scope of the
protected subject matter.
Id., at 1406.
Here, the only two elements Z Products has identified as shared
between the Z Palette, claimed to embody the 743, and the MAC Palette are
that (1) there is a clear window on the lid; and (2) it is sold empty. (Mahlum
Decl., Ex. S at Interrog. Resp. Nos. 3, 4, 10; Ex. C at 11 (describing the Z
Palette as a cosmetic holder with an empty base and a clear window); Ex.
C at 42 (testifying that the MAC product is exactly like the Z Palette
design because it is being sold without the [cosmetic] inserts, creating an
empty base.); at 43 (testifying that if a cosmetic holder was sold with a
cosmetic insert [that] was inside and not removable, it would not be
infringing); at 96 (testifying that the MAC Palette looked like her own
because it had a clear window and an empty base).) But each of thesedesign features is functional.
Indeed, Plaintiff admits that the purpose of the clear window is so
you can see the product immediately inside and the purpose of the empty
case is so that you can put whatever you want into it. (Mahlum Decl., Ex.
C at 11-12; see also id. at 16 (stating that the design was developed by asking
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84202728.3 23 MACS MOTION AND MEMORANDUM INSUPPORT OF SUMMARY JUDGMENT
a manufacturer to use their own design but to create something that came
with an empty pan and a clear window that was not as long and
rectangular); at 108 (testifying that a cosmetic holder product that does not
come empty cant be customized or allow the customer to mix and match
their make-up and that if the product does not have a clear window the
customer cannot see the product inside without opening the lid); at 131-32
(same).) Like the tailed and finned tossing ball at issue in Oddzon, this
palette was designed to meet a specific functional purpose: to allow users to
see what is in their palette without opening it, and to allow them to
customize the make-up kept inside it.
As Ms. Shteysel testified, the Z Palette consumer base appreciates
these design aspects because of their usefulness, not the ornamental
appearance:
[Customers of the Z Palette] like the window and thatyou can see through it. They like that you can customizeit anyway you want so you can fit any size product, anybrand, all in one palette, interchangeable. They like thatit features a magnet inside. And that I offer differentsizes, I think, and different designs.
(Id., at 94.) Customers appreciate that a clear lid allows them to easily find
and view their make-up choices. (Id., at 103, 105, 109, 110.)
Accordingly, the only two aspects of the asserted design patent
alleged to be present in the MAC Palette that it is sold empty and has a
clear top are purely functional. There is no ornamental value to their use.
The window is clear so that people can see their make-up inside and
extends to the edges of the frame so that most of the palette can be viewed.
The box is sold empty so that people can fill it, not because of the way it
makes the product look. Ms. Shteysels failed utility patent application, if
granted, would have been the appropriate methodology to enforce a
purported monopoly over these functional features. A design patent is not.
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84202728.3 24 MACS MOTION AND MEMORANDUM INSUPPORT OF SUMMARY JUDGMENT
After these functional features are factored out of the analysis through
claim construction as required, there are no shared features or similarity
between the MAC product and the asserted 743 design to form a basis for
potential infringement allegations.
For these reasons summary judgment should be granted in favor of
MAC.
II. The 743 Design Patent is Invalid Due to Prior Disclosure.Under 35 U.S.C. 102(b)(2010)7, a person shall be entitled to a patent
unless the invention was patented or described in a printed publication in this
or a foreign country or in public use or on sale in this country, more than
one year prior to the date of the application for patent in the United States.
(Emphasis added.) Such disclosures apply to invalidate design patents as
well as utility patents. In re Mann, 861 F.2d 1581, 1581-82 (Fed. Cir. 1988)
(public display of design at a trade show constitutes public use within
meaning of Section 102(b) and was therefore barred); Penn Fabrication
(U.S.A.) v. Soulbella Enters., Case No. 98-3458, 1998 U.S. Dist. LEXIS 17348, at
2 (C.D. Cal. Aug. 5, 1998) (use of easel at seminar more than one year priorto filing was public use sufficient to show lack of likelihood of success on
the merits).
Here, the Z Palette design was publicly disclosed in a trademark
application dated February 12, 2009. (Mahlum Decl., Ex. G (indicating a
February 12, 2009 filing date and attaching images of the Z Palette).) The
submission of the design to the trademark office was public at the time of
disclosure. (Mahlum Decl., Ex. I (stating that materials filed are public); Ex.
H at 109.01, 111, 402 (stating that the public has 24-hour online access to
all trademark filings).) See also 37 CFR 2.27(b) (access to the file of a
7 This section was amended under the AIA for patents filed after March 16, 2013. Because the 743 wasfiled before that date, the prior version of Section 102 is referred to.
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particular pending [Trademark] application will be permitted prior to
publication under 2.80 upon written request);American Sign & Indicator
Corp. v. Schulenburg, 267 F.2d 388, 394 (7th Cir. 1959) (The design of the
sign had been made open for public inspection by the copyright registration
more than one year prior to filing the patent application.). The public
disclosure of a the Z Palette design to the trademark office therefore
occurred on February 12, 2009, which is more than a year before the April
14, 2010 design patent filing. (Mahlum Decl., Ex. A (reflecting a filing date
of April 14, 2010).) Because of this timeline, the disclosure of the Z Palette
design to the trademark office renders the 743 patent design is anticipated
and invalid pursuant to 35 U.S.C. 102(b).
CONCLUSION
For the foregoing reasons, defendant Make-Up Art Cosmetics, Inc.
respectfully requests that summary judgment be granted in its favor on the
grounds of non-infringement of the asserted design patent, and invalidity in
light of the public disclosure of the design in connection with the February
19, 2009 patent application.
Dated: September 23, 2013 ROBINS, KAPLAN, MILLER & CIRESI L.L.P.
By: /s/ David MartinezDavid Martinez
Attorneys for Defendant and Counterclaim-Plaintiff,MAKE-UP ART COSMETICS, INC.
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