2054 - Oppn Re Perm Inj

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02198.51855/5003337.14
Case No. 11-cv-01846-LHK
SAMSUNGS OPPOSITION TO APPLES MOTION FOR A PERMANENT INJUNCTION AND DAMAGES
ENHANCEMENT
QUINN EMANUEL URQUHART & SULLIVAN, LLP
Charles K. Verhoeven (Cal. Bar No. 170151)
charlesverhoeven@quinnemanuel.com
50 California Street, 22
nd
Floor
San Francisco, California 94111
Telephone: (415) 875-6600
Facsimile: (415) 875-6700
Kathleen M. Sullivan (Cal. Bar No. 242261)
kathleensullivan@quinnemanuel.com
Kevin P.B. Johnson (Cal. Bar No. 177129)
kevinjohnson@quinnemanuel.com
Victoria F. Maroulis (Cal. Bar No. 202603)
victoriamaroulis@quinnemanuel.com
555 Twin Dolphin Drive 5
th
Floor
Redwood Shores, California 94065
Telephone: (650) 801-5000
Facsimile: (650) 801-5100
Susan R. Estrich (Cal. Bar No. 124009)
susanestrich@quinnemanuel.com
Michael T. Zeller (Cal. Bar No. 196417)
michaelzeller@quinnemanuel.com
865 S. Figueroa St., 10th Floor
Los Angeles, California 90017
Telephone: (213) 443-3000
Facsimile: (213) 443-3100
Attorneys for SAMSUNG ELECTRONICS
CO., LTD., SAMSUNG ELECTRONICS
AMERICA, INC. and SAMSUNG
TELECOMMUNICATIONS AMERICA, LLC
UNITED STATES DISTRICT COURT
NORTHERN DISTRICT OF CALIFORNIA, SAN JOSE DIVISION
APPLE INC., a California corporation,
Plaintiff,
vs.
SAMSUNG ELECTRONICS CO., LTD., a
Korean business entity; SAMSUNG
ELECTRONICS AMERICA, INC., a New
York corporation; SAMSUNG
TELECOMMUNICATIONS AMERICA,
LLC, a Delaware limited liability company,
Defendants.
CASE NO. 11-cv-01846-LHK
SAMSUNGS OPPOSITION TO APPLES
MOTION FOR A PERMANENT
INJUNCTION AND DAMAGES
ENHANCEMENT
Date: December 6, 2012
Time: 1:30 p.m.
Place: Courtroom 8, 4th Floor
Judge: Hon. Lucy H. Koh
PUBLIC REDACTED VERSION
Case5:11-cv-01846-LHK Document2054 Filed10/19/12 Page1 of 44
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02198.51855/5003337.14
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TABLE OF CONTENTS
Page
PRELIMINARY STATEMENT ....................................................................................................... 1
ARGUMENT .................................................................................................................................... 1
I. THE COURT SHOULD NOT ISSUE A PERMANENT INJUNCTION ............................ 1
A. Apple Has Not Shown That It Will Suffer Irreparable Harm From
Samsungs Use of Its Claimed Intellectual Property ................................................ 2
1. Apple Has Not Shown Irreparable Harm From Design Patent
Infringement .................................................................................................. 3
(a) Apple Overstates The Importance Of Design In Purchasing ............ 4
(b) Apple Has Not Shown That Its Patented Designs Drive
Demand ............................................................................................. 5
(c) Changes To Apples Offerings Defeat Irreparable Harm ................. 6
2. Apple Has Not Shown Irreparable Harm From Trade Dress Dilution .......... 7
3. Apple Has Not Shown Irreparable Harm From Utility Patent
Infringement ................................................................................................ 10
(a) Apple Has Not Shown That Its Features Patents Drive
Consumer Demand .......................................................................... 10
(b) Copying Does Not Demonstrate a Nexus .................................... 12
(c) Dr. Hausers Survey Results Do Not Show Consumer
Demand ........................................................................................... 13
4. There Is No Basis For Apples Claimed Irreparable Harm ......................... 13
B. Apple Has Not Shown That Monetary Remedies Are Inadequate .......................... 15
C. The Balance Of Hardships Favors Samsung ........................................................... 17
D. An Injunction Would Not Be In The Public Interest .............................................. 18
E. Apples Proposed Injunction Is Vague, Overbroad And Otherwise Improper ....... 20
F. Apple Should Post Security to Protect Samsung From A Wrongful
Injunction ................................................................................................................ 21
II. THE COURT SHOULD NOT ENHANCE THE JURYS DAMAGES VERDICTS ....... 22
A. Nearly $950 Million Of The Jurys Award Represents Disgorgement Of
Infringers Profits That Is Not Subject To Enhancement ........................................ 23
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1. Products Found To Infringe Design Patents But Not Dilute Trade
Dress ............................................................................................................ 23
2. Products Found To Infringe Design Patents And Dilute Trade Dress ........ 24
3. Products Found To Infringe Only Utility Patents ....................................... 27
B. Apples Requested Enhancement Is Unavailable Under The Lanham Act............. 27
1. Apples Claim Of Uncompensated Injury Is Unsupported ......................... 28
2. Apples Calculation Is Flawed and Arbitrary ............................................. 28
C. Apple Is Not Entitled To Enhancement Based On Utility Patent
Infringement ............................................................................................................ 30
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TABLE OF AUTHORITIES
Page
Cases
Accentra, Inc. v. Staples, Inc.,
2011 WL 7563039 (C.D. Cal. Dec. 19, 2011) ...........................................................................18
ActiveVideo Networks, Inc. v. Verizon Communications, Inc.,
___ F.3d __, 2012 WL 3636908 (Fed. Cir. Aug. 24, 2012) ...................................................2, 15
Acumed LLC v. Stryker Corp.,
551 F.3d 1323 (Fed. Cir. 2008) ..................................................................................................17
Advanced Cardiovascular Inc. v. Medtronic, Inc.,
265 F.3d 1294 (Fed. Cir. 2001) ..................................................................................................32
Advanced Cardiovascular Sys. v. Medtronic, Inc.,
2008 U.S. Dist. LEXIS 88892 (N.D. Cal. Oct. 21, 2008) ..........................................................17
Aero Prods. Intl, inc. v. Intex Recreation Corp.,
466 F.3d 1000 (Fed. Cir. 2006) ............................................................................................26, 27
AFL Telecommunications LLC v. SurplusEZ.com, Inc.,
2011 WL 5547855 (D. Ariz. 2011) ..............................................................................................7
ALPO Petfoods, Inc. v. Ralston Purina Co.,
913 F.2d 958 (D.C. Cir. 1990) ...................................................................................................27
ALPO Petfoods, Inc. v. Ralston Purina Co.,
997 F.2d 949 (D.C. Cir. 1993) ...................................................................................................27
Apple, Inc. v. Motorola, Inc.,
__ F. Supp. 2d __, 2012 WL 2376664 (N.D. Ill. June 22, 2012) ....................................... passim
Apple, Inc. v. Samsung Elecs. Co., Ltd.,
678 F.3d 1314 (Fed. Cir. 2012) ..............................................................................3, 5, 10, 12, 13
Apple Inc. v. Samsung Elecs. Co., Ltd.,
__ F.3d __, 2012 WL 4820601 (Fed. Cir. Oct. 11, 2012) .................................................. passim
Apple, Inc. v. Samsung Elecs. Co.,
No. 12-cv-630 ...............................................................................................................................3
Arnott v. Am. Oil Co.,
609 F.2d 873 (8th Cir. 1979) ..........................................................................................24, 25, 26
Automated Merch. Sys, Inc. v. Crace Co.,
357 F. Appx 297 (Fed. Cir. 2009) .............................................................................................15
Baden Sports, Inc. v. Kabushiki Kaisha Molten, ,
2007 WL 2790777 (W.D. Wash. 2007) .....................................................................................34
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Bard Peripheral Vascular, Inc. v. W.L. Gore & Assocs.,
682 F.3d 1003 (Fed. Cir. 2012) ............................................................................................24, 31
Bard Peripheral Vascular, Inc. v. W.L. Gore & Assocs., Inc.,
670 F.3d 1171 (Fed. Cir. 2012), vacated in part on other grounds,
682 F.3d 1003 (Fed. Cir. 2012) ..................................................................................................16
Belden Techs. Inc. v. Superior Essex Comms. LP,
802 F. Supp. 2d 555 (D. Del. 2011) ...........................................................................................19
Binder v. Disability Group, Inc.,
772 F. Supp. 2d 1172 (C.D. Cal. 2011) ......................................................................................28
Bonito Boats, Inc. v. Thunder Craft Boats, Inc.,
489 U.S. 141 (1989) ...............................................................................................................6, 21
Braun Inc. v. Dynamics Corp. of America,
975 F.2d 815 (Fed. Cir. 1992) ..............................................................................................23, 27
Broadcom Corp. v. Qualcomm Inc.,
543 F.3d 683 (Fed. Cir. 2008) ....................................................................................................19
Brooktree Corp. v. Adv. Micro Devices, Inc.,
977 F.2d 1555 (Fed. Cir. 1992) ..................................................................................................31
Buddy Sys., Inc. v. Exer-Genie, Inc.,
545 F.2d 1164 (9th Cir. 1976) ....................................................................................................21
Catalina Lighting, Inc. v. Lamps Plus, Inc.,
295 F.3d 1277 (Fed. Cir. 2002) ......................................................................................23, 26, 27
Conceptus, Inc. v. Hologic, Inc.,
No. 09-2280, 2012 WL 44064 (N.D. Cal. Jan. 9, 2012) ............................................................16
Creative Internet Advertising Corp. v. Yahoo! Inc.,
689 F. Supp. 2d 858 ...................................................................................................................31
Cybermedia, Inc. v. Symantec Corp.,
19 F. Supp. 2d 1070 (N.D. Cal. 1998) .......................................................................................22
DePuy Spine, Inc. v. Medtronic Sofamor Danek, Inc.,
567 F.3d 1314 (Fed. Cir. 2009) ..................................................................................................34
Dexter 345 Inc. v. Cuomo,
663 F.3d 59 (2d Cir. 2011) .........................................................................................................15
eBay v. MercExchange, LLC,
547 U.S. 388 (2006) .....................................................................................................2, 5, 17, 18
F.T.C. v. Whole Foods Market, Inc.,
548 F.3d 1028 (D.C. Cir. 2008) ...................................................................................................9
Ferrari S.p.A. Esercizio Fabbriche Automobili e Corse v. McBurnie,
No. 86-1812, 11 U.S.P.Q. 2d 1843 (S.D. Cal. May 26, 1989) .....................................................9
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Forest Labs., Inc. v. Ivax Pharms., Inc.,
501 F.3d 1263 (Fed. Cir. 2007) ..................................................................................................20
Fractus, S.A. v. Samsung Elecs. Co., Ltd.,
No. 6:09-cv-203, 2012 WL 2505741 (E.D. Tex. June 28, 012) .................................................19
Funai Elec. Co., Ltd. v. Daewoo Elec. Corp.,
593 F. Supp. 2d 1088 (N.D. Cal. 2009), affd 616 F.3d 1357 (Fed. Cir. 2010) ...................31, 32
Hako-Med USA, Inc. v. Axiom Worldwide, Inc.,
2009 WL 3064800 (M.D. Fla. Sept. 22, 2009) ..........................................................................31
High Tech Med. Instrumentation, Inc. v. New Image Indus., Inc.,
49 F.3d 1551 (Fed Cir. 1995) ...........................................................................................7, 15, 17
Hiland Potato Chip Co. v. Culbro Snack Foods, Inc.,
720 F.2d 981 (8th Cir. 1983) ........................................................................................................9
Hynix Semiconductor Inc. v. Rambus Inc.,
609 F. Supp. 2d 951 (N.D. Cal. 2009) ...................................................................................7, 14
iLOR LLC v. Google, Inc.,
631 F.3d 1372 1378 (Fed. Cir. 2011) .........................................................................................31
I.P. Lund Trading ApS v. Kohler Co.,
163 F.3d 27 (1st Cir. 1998) ........................................................................................................30
Innogenetics, N.V. v. Abbott Labs.,
512 F.3d 1363 (Fed. Cir. 2008) ..................................................................................................16
Intl Longshoremens Assn v. Philadelphia Marine Trade Assn,
389 U.S. 64 (1967) .....................................................................................................................20
Inwood Labs, Inc. v. Ives Labs, Inc.,
456 U.S. 844 (1982) .....................................................................................................................8
Judkins v. HT Window Fashions Corp.,
704 F. Supp. 2d 470 (W.D. Pa. 2010) ............................................................................31, 32, 34
Jurgens v. McKasy,
927 F.2d 1552 (Fed. Cir. 1991) ..................................................................................................27
Kaufman Co., Inc. v. Lantech, Inc.,
926 F.2d 1136 (Fed. Cir. 1991) ..................................................................................................25
Kowalski v. Mommy Gina Res.,
2009 WL 855976 (D. Haw. Mar. 30, 2011) .........................................................................33, 34
Kusek v. Family Circle,
894 F. Supp. 522 (D. Mass. 1995) ...............................................................................................9
La Quinta Corp. v. Heartland Properties LLC,
603 F.3d 327 (6th Cir. 2010) ......................................................................................................28
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Lee v. Dayton-Hudson,
838 F.2d 1186 (Fed. Cir. 1988) ....................................................................................................6
Los Angeles Police Protective League v. Gates,
995 F.2d 1469 (9th Cir. 1993) ......................................................................................................8
Magna-RX, Inc. v. Holley,
No. 05-3545, 2008 WL 5068977 (D. Ariz. Nov. 25, 2008) .........................................................7
Mandile v. Clark Material Handling Co.,
303 F. Supp. 2d 531 (D.N.J. 2004) affd, 131 F. Appx 836 (3d Cir. 2005) ..............................24
Mass Engineered Design, Inc. v. Ergotron,
663 F. Supp. 2d 361 (E.D. Tex. 2009) ...........................................................................32, 33, 35
Mead Johnson & Co. v. Abbott Labs.,
201 F.3d 883 (7th Cir. 2000) ......................................................................................................22
Mentor H/S, Inc. v. Medical Device Alliance, Inc.,
244 F.3d 1365 (Fed. Cir. 2001) ..................................................................................................31
Modine Mfg. Co. v. Allen Group. Inc.,
917 F.2d 538 (Fed. Cir. 1990) ....................................................................................................31
Monolithic Power Sys., Inc. v. O2 Micro Intl Ltd.,
2010 WL 583960 (N.D. Cal. Feb. 16, 2010) ..............................................................................24
Nichia Corp. v. Seoul Semi. Ltd.,
2008 WL 346416 (N.D. Cal. Feb. 7, 2008) ................................................................................14
Nintendo of Am., Inc. v. Dragon Pac. Intl,
40 F.3d 1007 (9th Cir. 1994) ......................................................................................................29
Nissan Motor Co. v. Nissan Computer Corp.,
378 F.3d 1002 (9th Cir. 2004) ......................................................................................................8
Paice LLC v. Toyota Motor Corp.,
504 F.3d 1293 (Fed. Cir. 2007) ..................................................................................................16
Paice LLC v. Toyota Motor Corp.,
2006 U.S. Dist. LEXIS 61600 (E.D. Tex. Aug. 16, 2006) .........................................................18
Paper Converting Machine Co. v. Magna Graphics Corp.,
745 F.2d 11 (Fed. Cir. 1984) ......................................................................................................25
Power Integrations, Inc. v. Fairchild Semiconductor Inc.,
762 F. Supp. 2d 710 (D. Del. 2011) .....................................................................................33, 34
Presidio Components, Inc. v. Am. Tech. Ceramics Corp.,
723 F. Supp. 2d 1284 (S.D. Cal. 2010) ..........................................................................15, 17, 19
Read Corp. v. Portec, Inc.,
970 F.2d 816 (Fed Cir. 1992) ...............................................................................................31, 35
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In re Renard,
451 B.R. 12 (Bankr. C.D. Cal. 2011) .........................................................................................18
Richardson v. Stanley Works, Inc.,
597 F.3d 1288 (Fed. Cir. 2010) ....................................................................................................6
Ricoh Co. v. Quanta Computer, Inc.,
2010 WL 1607908 (W.D. Wis. April 19, 2010) ........................................................................16
Ryco, Inc. v. Ag-Bag Corp.,
857 F.2d 1418 (Fed. Cir. 1998) ..................................................................................................25
Saint-Gobain Autover USA, Inc. v. Xinyi Glass N. Am., Inc.,
707 F. Supp. 2d 737 (N.D. Ohio 2010) ......................................................................................24
Schmidt v. Lessard,
414 U.S. 473 (1974) ...................................................................................................................20
In re Seagate Techs., LLC.,
497 F.3d 1360 (Fed. Cir. 2007) ..................................................................................................31
Shatterproof Glass Corp. v. Libbey-Owens Ford Co.,
758 F.2d 613 (Fed. Cir. 1985) ....................................................................................................24
Skydive Arizona, Inc. v. Quattrocchi,
673 F.3d 1105 (9th Cir. 2012) ....................................................................................................27
Soverain Software LLC v. Newegg Inc,
836 F. Supp. 2d 462 (E.D. Tex. 2010) .................................................................................16, 18
Spine Solutions v. Medtronic Sofamor Danek USA,
620 F.3d 1305 .............................................................................................................................34
Stormans, Inc. v. Selecky,
586 F.3d 1109 (9th Cir. 2009) ....................................................................................................18
Taco Cabana Intl, Inc. v. Two Pesos,
932 F.2d 1113 (5th Cir. 1991) ....................................................................................................28
Tate Access Floors v. Interface Architectural Res., Inc.,
132 F. Supp. 2d 365 (D. Md. 2001) ...........................................................................................19
Techs., Inc. v. Microsoft Corp.,
434 F. Supp. 2d 437 (E.D. Tex. 2006) .......................................................................................16
Telecordia v. Cisco,
592 F. Supp. 2d 727 (D. Del. 2009) ...........................................................................................34
TiVo, Inc. v. Echostar Corp.,
646 F.3d 869 (Fed. Cir. 2007) ....................................................................................................14
TrafFix Devices, Inc. v. Marketing Displays, Inc.,
532 U.S. 23 (2001) .......................................................................................................................9
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Vanwyk Textile Sys., B.V. v. Zimmer Mach. Am., Inc.,
994 F. Supp. at 379-381 (W.D.N.C. 1997) ..........................................................................27, 28
Victor Stanley Inc. v. Creative Pipe Inc.,
No. 06-2662, 2011 WL 4596043 (D. Md. Sept. 30, 2011) ..................................................26, 27
Voice of the Arab World, Inc. v. MDTV Med. News Now, Inc.,
645 F.3d 26 (1st Cir. 2011) ..........................................................................................................7
W.R. Grace & Co. v. Local Union 759,
461 U.S. 757 (1983) ...................................................................................................................21
Wilson v. Burlington Northern Railroad,
803 F.2d 563 (10th Cir. 1986) ....................................................................................................24
Wordtech Sys., Inc. v. Integrated Network Solutions, Inc.,
2009 WL 113771 (E.D. Cal. 2009) ............................................................................................32
Statutes/Rules
15 U.S.C. 1116(a) ......................................................................................................................7, 21
15 U.S.C. 1117(a) ..........................................................................................................................28
15 U.S.C. 1125(c) ......................................................................................................................7, 30
35 U.S.C. 283 ................................................................................................................................21
35 U.S.C. 284 ..........................................................................................................................23, 26
35 U.S.C. 289 ............................................................................................22, 23, 24, 25, 26, 27, 31
Fed. R. Civ. P. 50 .............................................................................................................................29
Fed. R. Civ. P. 65(d)(1) ....................................................................................................................20
Miscellaneous
4 McCarthy on Trademarks and Unfair Competition 24:102 (4th ed.) ........................................30
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Preliminary Statement
Apples motion for an injunction attempts to convert the jurys specific infringement
findings into a broad injunction that it can use to bully Samsung and third parties in an effort to
stifle lawful, fair competition. The severe threats to fair competition created by Apples positions
in this case have been widely reported.
1
Apple now seeks, through its requested injunction, to
deprive consumers not only of the products that Apple has accused but also unspecified other
products that Apple will argue infringe or merely include a feature or features not more than
colorably different from features that Apple accuses. Dkt. 1987 at 2. The Court should reject
this effort to hinder competition and limit consumer choice. Apple Inc. v. Samsung Elecs. Co.,
Ltd., __ F.3d __, 2012 WL 4820601, at *3 (Fed. Cir. Oct. 11, 2012) (Apple II) (requiring courts
to analyze whether patentee seeks to leverage its patent for competitive gain beyond that which
the inventive contribution and value of the patent warrant).
Likewise, Apples request for more than $500 million in additional damages as
enhancements shows that Apples goal is not to protect innovation but to hinder competition.
The enhancements that Apple seeks should not be awarded.
2
Argument
I. THE COURT SHOULD NOT ISSUE A PERMANENT INJUNCTION
For a permanent injunction to issue, the party requesting an injunction must demonstrate
1
See, e.g., Cao, Apple co-founder Wozniak says he hates Samsung patent verdict, Financial
Post, Sept. 14, 2012 (I hate it, Wozniak said when asked about the patent fights between Apple
and Samsung. I dont think the decision of California will hold. And I dont agree with it very
small things I dont really call that innovative.); Love, Apple-Samsung patent fight: Fuzzy
math, Los Angeles Times, Aug. 30, 2012; Nocera, Has Apple Peaked? New York Times, Sept.
21, 2012; Duhigg and Lorr, The Patent Used as a Sword New York Times, Oct. 7, 2012
(Former Apple employees say senior executives made a deliberate decision . . . to use patents as
leverage against competitors to the iPhone); The Colbert Report, Sept. 18, 2012; Raustiala &
Sprigman, Apple vs. Samsung: Is Copying Theft or Innovation?, Los Angeles Times, Sept. 4,
2012 (Does anyone own the rectangle? Should anyone own the rectangle?); Editorial,
Apples Courtroom Win Reveals Deeper Woes in U.S. Patents, Boston Globe, Sept. 4, 2012.
All are attached as Exhibit 1 to the concurrently-filed Declaration of John Pierce (Pierce Decl.).
2
In violation of this Courts Order (Dkt. 1945), Apple has submitted over 40 pages of
declarations used as a vehicle for circumventing the Courts page limits. Id. Pursuant to this
Courts October 9, 2012 Order (Dkt. 2038) and L.R. 7-3(a), Samsung thus moves to strike the
following: Crouse Decl., 2 and 4 (from 1:13 to 1:14); Musika Decl. 7, 10-28, 31-60;
Robinson Decl., 34-36, 38-40, and 42; Schiller Decl., 3-10, 13, 15 (from 5:21 to 5:26); and
Winer Decl., 7-14.
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that: (1) it has suffered an irreparable injury; (2) legal remedies, such as money damages are
inadequate compensation; (3) the balance of hardships warrants an injunction; and (4) the public
interest would not be disserved by an injunction. ActiveVideo Networks, Inc. v. Verizon
Communications, Inc., ___ F.3d __, 2012 WL 3636908, at *21 (Fed. Cir. Aug. 24, 2012) (citing
eBay, 547 U.S. at 391). These factors should be applied with an awareness of the danger that
Apples goal in obtaining an injunction is harassment of its bitter rival for anticompetitive
purposes, Apple, Inc. v. Motorola, Inc., __ F.Supp.2d __, 2012 WL 2376664, at *20 (N.D. Ill. June
22, 2012) (Posner, J.) (Motorola), and with the recognition that Apple has already benefitted
from an enormous (and excessive) verdict and that Samsung has either redesigned or stopped
selling virtually every product found to infringe.
A. Apple Has Not Shown That It Will Suffer Irreparable Harm From Samsungs
Use of Its Claimed Intellectual Property
Irreparable harm may not be presumed based on an infringement finding; instead, Apple
must make a clear showing that it is at risk of irreparable harm, which entails showing a
likelihood of substantial and immediate irreparable injury. Apple II, 2012 WL 4820601 at *2.
But in cases such as thiswhere the accused product includes many features of which only one
(or a small minority) infringea finding that the patentee will be at risk of irreparable harm does
not alone justify injunctive relief. Id. Rather, the patentee must also establish that the harm is
sufficiently related to the infringementwhich requires a showing that a sufficiently strong
causal nexus relates the alleged harm to the alleged infringement. Id. It is not enough for the
patentee to establish some insubstantial connection between the alleged harm and the infringement
and check the causal nexus requirement off the list. Id. at *3. Nor is the requirement satisfied
simply because removing an allegedly infringing component would leave a particular feature,
application, or device less valued or inoperable. Id. at *4. The patentee must rather show that
the infringing feature drives consumer demand for the accused product. Id. at *3.
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Apple must make this causal showingwhich it fails even to acknowledge
3
separately
for each item of intellectual property at issue. See Apple, Inc. v. Samsung Elecs. Co., Ltd., 678
F.3d 1314, 1323-28 (Fed. Cir. 2012) (considering separately whether Apple had proved a causal
nexus for 381 and D677 patents); Apple, Inc. v. Samsung Elecs. Co., No. 12-cv-630, Dkt. 221, at
78-93 (Apple II Dkt. 221) (considering separately whether Apple had proved a causal nexus for
each of four patents); Motorola, 2012 WL 2376664, at *19 (denying permanent injunction after
considering patents individually where Apple did not indicate that infringement of these claims
caused its claimed irreparable harms) (emphasis in original). Apple seeks a separately
enforceable injunction against infringement of each feature of each individual claimed patent and
right, but fails to justify that request as to each claimed patent and right individually, opting
instead for a blunderbuss approach that relies on the alleged combined effects of Samsungs
infringement and dilution (Mot. at 9) and the sort of generalized arguments that the Federal
Circuit rejected in Apple II. This does not meet Apples burden.
1. Apple Has Not Shown Irreparable Harm From Design Patent
Infringement
This Court held previously that Apple failed to demonstrate a nexus between Samsungs
alleged use of the D677 patent and Apples claimed harms of lost customers and lost market
share. Dkt. 452 at 34. The Federal Circuit upheld this finding and ruled it applies equally to the
D087 patent. Apple, 678 F.3d at 1324-27. Both this Court and the Federal Circuit placed
weight on evidence that design was not a determinative factor in consumer decisionmaking for
smartphones, id. at 1324, and this Court explained that even if design matters to a new
smartphone purchaser, Apple failed to show demand was tied to the D677, which is limited to
portions of a devices front face. Dkt. 452 at 33-34; accord Apple, 678 F.3d at 1325-27.
Apple offers neither evidence nor argument to justify a different conclusion now.
3
Apple states that no authority in the permanent injunction context requir[es] a causal nexus
between the alleged wrongdoing and the claimed irreparable harm, Mot. at 2, but makes no
argument that principles of causation that are fundamental when considering interim relief become
irrelevant when permanent relief is sought. There is no support for any such position, and it is
fundamentally inconsistent with eBay and Apple II.
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Instead, it rehashes the same points this Court and the Federal Circuit already rejected.
Compare, e.g., Mot. at 7 (arguing for permanent injunction because 80% of iPhone purchasers
identify attractive appearance and design as important and up to 40% of customers identified
exterior design as a purchasing factor) with Dkt. 452 at 34 (this Court denying preliminary
injunction as to design patent despite evidence that design is one of six factors that influence a
persons decision to buy a particular smartphone and 82% of iPhone purchasers find attractive
appearance/design important). For the same reasons as before, and for additional reasons,
Apple has not established irreparable harm tied to the design patents asserted here.
(a) Apple Overstates The Importance Of Design In Purchasing
First, while Apple argues that it advertises the design of its products and customers care
about the style of their smartphones, Mot. at 7, the evidence showsas the Court found
beforethat sales of iPhones rise with the release of new products, suggesting the driver in
consumer demand may be the novelty of the product, and not necessarily the design. Dkt. 452
at 34. The success of the iPhone 5, which sold five million units in the first three days, confirms
this (Pierce Decl., Ex. 2), as does the fact that sales spikes occur with new products even when
their design does not change. Wagner Decl., Ex. 54.
Survey evidence equally refutes Apples claims. Apples own survey demonstrated that
only 1% of iPhone users and 4% of all respondents listed design/color as their reason for
purchasing, DX 592.023, and appearance and design came in eighth when domestic iPhone buyers
ranked features and attributes by importance, behind ease of use, service and support, trust Apple
brand, quality of apps, battery life, value for price paid and quantity of apps. Pierce Decl. Ex. 5
at APLNDC-Y0000027523; PX146.5. The same holds true for Android purchasing decisions; in
a January 2011 study, Apple recognized that
DX572.026; DX572.082 (top three reasons domestic
consumers purchase Android phones are desire to stay with current cell provider, trust in Google
brand, and preference for larger screens); RT 873:6-12 (consumers desire large screens for their
functionality). Consumers purchase Android phones for many reasons unrelated to design,
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DX572.027-28. Apple overlooks the non-design
factors that affect consumer choice in these complex technology products. In this light, the
causal link between the alleged infringement and consumer demand for the [accused products] is
too tenuous to support a finding of irreparable harm. Apple II, 2012 WL 4820601 at *5.
(b) Apple Has Not Shown That Its Patented Designs Drive Demand
Having failed to establish that design even generally is a significant driver of purchasing
decisions, Apple provides no evidence that the specific design patents at issue drive consumer
demand, as required. Apple II, 2012 WL 4820601 at *3 (patentee must rather show that the
infringing feature drives consumer demand for the accused product) (emphasis added). Apples
alleged proof that design matters says nothing about whether Samsungs purported use of the
patents in suit drives demand for Samsungs products. As the Court has explained, mere proof
that design matters does not establish a causal link between the use of a design patent and
claimed harms. Dkt. 452 at 34. Apple offers no evidence establishing that critical link.
Because Apples design patents cover only portions of the devices at issue, the need for
patent-specific proof of causation is particularly crucial. See eBay v. MercExchange, LLC, 547
U.S. 388, 396-97 (2006) (Kennedy, J., concurring) (When the patented invention is but a small
component of the product the companies seek to produce and the threat of injunction is employed
simply for undue leverage in negotiations, legal damages may well be sufficient to compensate for
the infringement and an injunction may not serve the public interest.). The D677 patent covers
only one exterior face, and does not claim even the entirety of that face (it excludes the home
button, for example). Dkt. 1893 at 59 (Instruction No. 43). The D087 adds a bezel, but like
the D677 covers far less than the complete design for any product. Id. The D305 relates only
to a single page of icons in a graphical user interface, which falls far short of the complete design
for any Apple product, id. at 60, and even Apple concedes that Samsung did not use the D305 as
claimed since nearly every icon in Samsungs phones differs substantially from the D305 icons.
RT 1426:14-1435:24 (Kare). As this Court has recognized, even if design matters to a new
smartphone purchaser, it is not clear how much design of the front face of the phone matters to
that same purchaser. Dkt. 452 at 34; see also Apple, 678 F.3d at 1321 (noting this Courts
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reliance on fact that Apples patents do not claim the entire article of manufacture). Apple
offers no evidence that Samsungs alleged use of the designs at issue drives demand, and fails
even to acknowledge the limited scope of the patents in suit. This is fatal under Apple II, 2012
WL 4820601, at *3.
In any case, even if there were proof of such a causal connection, there is no proof that
Samsungs infringement of protectable aspects of Apples designs had any effect on Apples
market share. Functional and structural components of a design are not protectable, Richardson
v. Stanley Works, Inc., 597 F.3d 1288, 1293 (Fed. Cir. 2010); Lee v. Dayton-Hudson, 838 F.2d
1186, 1188 (Fed. Cir. 1988), and Apple conceded at trial that many elements of its designs fall
into these categories. Dkt. 1990-03 at 5 (non-ornamental features of D677 and D087 include
form that is rectangular with curved corners; flat, clear, large screens; size that can be handheld;
speakers near the top; opaque borders and bezel); id. at 6 (non-ornamental features of D305
include use of pictures and images as visual shorthand to communicate information, and
inclusion of sufficient space to allow for finger-operation).
4
Samsung, like the rest of the world,
is entitled to compete with Apple by incorporating unprotected features into its products. Bonito
Boats, Inc. v. Thunder Craft Boats, Inc., 489 U.S. 141, 159-60 (1989). To show that an
injunction is needed to avoid irreparable harm, however, Apple must but cannot show that
Samsungs infringement of protectable features of Apples designs is causing such harm. .
(c) Changes To Apples Offerings Defeat Irreparable Harm
Apple admits it no longer sells the iPhone 3 and 3GS. Schiller Decl. 15. Because
those are the only later-generation products that Apple has claimed embody the D087 (RT
1022:23-1024:10 (Bressler)), Apple no longer practices that patent. It is also clear that Apple is
no longer practicing the D305. While Apple has argued that the iPhone 4 also embodies the
D305 (RT 1369:1-14), the testimony that the D305 was designed to have the appearance of a
missing row of icons (Dkt. 1090-1 at 14; Pierce Decl. Ex. 42) and the undisputed fact that the
4
Indeed, at the announcement of the iPhone 5, and in subsequent television ads, Apple touted
the dimensions of the user interface as being optimally designed for control by the users thumb
including the phones being only four icons wide, like the D305 patent. See, e.g., Pierce Decl.
Exs. 46-47.
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iPhone 4 does not incorporate such a missing row (JX1003) shows that the iPhone 4 does not
practice the D305 patent. And it is plain that Apples current screen differs from the D305 in
many other respects.
That Apple no longer practices the patents undermines its claim of irreparable harm. See
High Tech Med. Instrumentation, Inc. v. New Image Indus., Inc., 49 F.3d 1551, 1556 (Fed Cir.
1995) (failure to practice an invention is a significant factor in the irreparable harm calculus).
Apple must show that ongoing infringement of these design patents will cause irreparable harm,
Hynix Semiconductor Inc. v. Rambus Inc., 609 F. Supp. 2d 951, 968 (N.D. Cal. 2009), yet
nowhere does it explain, let alone prove, how it purportedly is losing market share from
infringement of patents it no longer practices.
As Apple has not shown that any ongoing infringement of Apples design patents will
cause irreparable harm, its motion as to these patents and the Samsung phones found to infringe
them should be denied.
5
2. Apple Has Not Shown Irreparable Harm From Trade Dress Dilution
Apples trade dress arguments fare no better. Citing the dilution statute, Apple argues
that it need not show irreparable harm to obtain an injunction for dilution. Mot. at 6. But the
statute makes clear that injunctive relief is subject to the principles of equity, 15 U.S.C.
1125(c), and post-eBay authorities applying the similar provision for trademark infringement (15
U.S.C. 1116(a)) apply equitable principles when considering injunction motions.
6
Apple must
prove irreparable harm on its dilution claim, and fails to do so.
First, Apples claims of irreparable harm from dilution fail for the reasons shown above.
Apples generic claim that design matters to consumers makes no showing that demand is
5
The Samsung products at issue here are: Capitvate; Continuum; Droid Charge; Epic 4G;
Fascinate; Galaxy S i9000; Galaxy S 4G; Galaxy S II (AT&T); Galaxy S II (i9100); Galaxy S II
(T-Mobile); Galaxy S II (Epic 4G Touch); Galaxy S II (Skyrocket); Galaxy S Showcase (i500);
Gem; Indulge; Infuse 4G; Mesmerize; and Vibrant.
6
Voice of the Arab World, Inc. v. MDTV Med. News Now, Inc., 645 F.3d 26, 33-34 (1st Cir.
2011); AFL Telecommunications LLC v. SurplusEZ.com, Inc., 2011 WL 5547855, at *3 (D. Ariz.
2011) (rejecting presumption of irreparable harm in post-eBay trademark case); Magna-RX, Inc. v.
Holley, No. 05-3545, 2008 WL 5068977, at *4 (D. Ariz. Nov. 25, 2008) (applying eBay to
trademark case).
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driven by its claimed trade dress, which incorporates less than the entirety of its actual products.
PDX 26.18; Dkt. 75 at 49, 59 & Ex. 16. Apple also has made no effort to show that the
source-identifying attributes of its trade dress drive demand, yet those attributes are all that trade
dress law protects. Inwood Labs, Inc. v. Ives Labs, Inc., 456 U.S. 844, 851 n.11 (1982). In
short, Apple offers no evidence that there is a causal connection between the alleged dilution of
the source-identifying attributes of its trade dress and its claimed harms. To the contrary,
Apples expert Dr. Winer affirmatively conceded at trial that there was no actual harm to Apple
stemming from Samsungs alleged use of any Apple trade dress.
7
Second, Apple no longer practices its claimed trade dress, which dooms its request for an
injunction. The only products that Apple claims once practiced the trade dress at issuethe
Unregistered iPhone 3G Trade Dress and Registered iPhone Trade Dressare the now-
discontinued iPhone 3G and 3GS. Dkt. 75 at 58 & 60. Apples discontinuance of these
products eliminates any possibility of irreparable harm from dilution, for dilution requires proof
that the capacity of the [plaintiffs] mark to identify and distinguish goods or services sold by
[plaintiff] has been lessened. Nissan Motor Co. v. Nissan Computer Corp., 378 F.3d 1002,
1012 (9th Cir. 2004). Any future lessening of the capacity of Apples trade dress to identify
goods that Apple sells will result from Apples decision to no longer sell goods that use its trade
dress, not from Samsungs purported use of a similar dress. That Apple has unilaterally decided
not to sell products incorporating its trade dress is fatal to its request for prospective relief.
Recognizing this, Apple argues that its current product offerings, like the iPhone 4S,
incorporate many elements of the trade dress found to be diluted. Mot. at 6. This ignores that
the jury found this Unregistered Combination iPhone Trade Dress that Apple claims its current
offerings embody is unprotectable. Dkt. 1931 at 10; Dkt. 75 at 62, 64. This finding is
binding, Los Angeles Police Protective League v. Gates, 995 F.2d 1469, 1473 (9th Cir. 1993)
7
While Winer now claims that Samsungs similar-looking smartphones . . . mudd[y] the
distinctiveness cues, reduce[] the strength of Apples brand, and will decrease Apples sales,
Winer Decl., 7, 10, he admitted at trial that he has no empirical evidence to show that
Samsungs actions have diluted Apples brand or that Apple has actually lost any market share,
and he could not quantify the number of purchasers who bought a Samsung device in lieu of
buying an Apple device. RT 1534:14-23; see also 4/27/2012 Winer Depo. at 344 (same).
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(court sitting in equity bound by jurys findings), and it means that this unprotected trade dress
lawfully may be used by the world at large. See TrafFix Devices, Inc. v. Marketing Displays,
Inc., 532 U.S. 23, 29 (2001) (Trade dress protection must subsist with the recognition that in
many instances there is no prohibition against copying goods and products. In general, unless an
intellectual property right such as a patent or copyright protects an item, it will be subject to
copying.). Any similarities between the products Apple sells now and those it has discontinued
are immaterial. No injunction can prohibit Samsung or anyone else from practicing that
supposed trade dress.
That Apple offers iPhone 3G or 3GS phones as replacements, or that such products remain
available from third parties, does not establish that Apple will suffer irreparable harm as to a trade
dress that it no longer uses in the marketplace. Apple offers no evidence and no authority that
offering replacement phones supports draconian injunctive relief. Ferrari S.p.A. Esercizio
Fabbriche Automobili e Corse v. McBurnie, No. 86-1812, 11 U.S.P.Q. 2d 1843, 1848-49 (S.D.
Cal. May 26, 1989), on which Apple relies, addressed whether the defendant established the
affirmative defense of abandonment. Apple thus erroneously conflates the substantive trademark
issue of abandonment with the wholly different irreparable harm requirement for an injunction,
which is not met here even if Apple has not abandoned trade dress.
8
Moreover, Ferrari continued
to sell replacement parts for its discontinued line of cars and thus continued to commercially
exploit the mark at issue, id. at 1848-49, which Apple does not claim here. Its expert, Dr. Winer,
ignores that Apple no longer sells the iPhone 3G or 3GS, which further renders his newly found
opinions both inconsistent with his prior testimony and simply not credible. F.T.C. v. Whole
Foods Market, Inc., 548 F.3d 1028, 1040-41 (D.C. Cir. 2008) (discrediting expert opinion
inconsistent with prior report and testimony).
Finally, as explained below, Samsung has discontinued the only products the jury found
8
While Samsung need not make any such showing, Apples discontinuance of its trade dress
does constitute abandonment. See Hiland Potato Chip Co. v. Culbro Snack Foods, Inc., 720 F.2d
981, 984 (8th Cir. 1983) (resale of returned potato chips held not sufficient use to avoid
abandonment of trademark); Kusek v. Family Circle, 894 F. Supp. 522, 532-33 (D. Mass. 1995)
(production and sale of back issues of magazine not sufficient to avoid abandonment).
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diluted Apples trade dress. This Court should not issue a permanent injunction on Apples
product-configuration dilution claim after Apple has discontinued the trade dress and Samsung has
discontinued the products found to infringe
3. Apple Has Not Shown Irreparable Harm From Utility Patent
Infringement
Apple sought a preliminary injunction as to only one of the utility patents in this case, the
381 patent. In rejecting that request, the Court recognized that the fact that the 381 patent is
but one patent utilized in the accused products . . . weighs against a finding of irreparable harm
because Apple failed to show that purchasing decisions were based on the snap-back feature
claimed by that patent. Dkt. 452 at 63-64. The Federal Circuit affirmed this ruling, Apple, 678
F.3d at 1327-28, and it continues to apply now. The Federal Circuit also recently held that Apple
failed to establish the requisite causal nexus for the universal search apparatus claimed in the 604
patent, Apple II, 2012 WL 4820601 at *2-5, and the same reasoning likewise forecloses a finding
of nexus for the two additional utility patents now at issue. Because a smartphone or tablet is
comprised of a multitude of different features, Apples burden of proof is high. Apple II, Dkt.
221 at 79; see Apple II, 2012 WL 4820601 at *2; Motorola, 2012 WL 2376664, at *21 (The
notion that these minor-seeming infringements have cost Apple market share and consumer
goodwill is implausible). As Apple offers no evidence that Samsungs use of the discrete patent
drives consumer demand, it has not met its burden.
(a) Apple Has Not Shown That Its Features Patents Drive
Consumer Demand
Apples patents cover narrow features. Apple concedes that the 381 patent does not
cover the general concept of bounce on a touchscreen, but is limited to a bounce effect occurring
at the edge of the document. RT 1782:14-1783:20, 1746:3-1747:15 (Balakrishnan). The 163
patent similarly does not cover double tapping to zoom or recentering generally, but requires a
second gesture after the user is already zoomed in to recenter on another box of content. RT
1840:4-14, 1878:22-1879:20 (Singh). This patent is so limited that Apples infringement
analysis was restricted to a single program (browser) on a single web page (nytimes.com), and
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Apples expert admitted the patent does not apply at all to mobile websitesweb pages
specifically designed for viewing on a small screen device. RT 1904:17-1907:16. The 915
patent similarly does not encompass the concepts of scrolling or a gesture, a scale, a zoom, or
detecting those. RT 1855:25-1856:2, 1856:21-1857:1 (Singh). It is limited to source code that
distinguishes between a single input point and multiple input points, and performing a scroll or
zoom on that basis. RT 1857:13-24 (describing all-important test in the claim); 1818:10-22.
Apple offers no evidence that these specific, narrow features cause consumers to purchase
Samsungs accused products. Instead, Apple conflates these features with general concepts like
ease of use and fun and argues that ease of use drives demand. Mot. at 8. This approach is
precisely what the Federal Circuit rejected in Apple II. Apple can claim no patent on fun and
no monopoly over ease of use, which is why its burden is to show that the specific patent
features at issue, and not their claimed overarching effects, are causally linked to Apples alleged
harms. Apple II, 2012 WL 4820601 at *4 (To establish a sufficiently strong causal nexus,
Apple must show that consumers buy the Galaxy Nexus because it is equipped with the apparatus
claimed in the 604 patent not because it can search in general, and not even because it has
unified search); Motorola, 2012 WL 2376664, at *19 (similar: The 263 patent in issue in this
litigation is not a claim to a monopoly on streaming video!). As this Court ruled in Apple II
rejecting Apples claims of irreparable harm from ostensible infringement of its 647 (links for
structures), 721 (slide to unlock) and 172 (word recommendations)Apple must disaggregate
what ease of use features drive consumer decisions and show that the patents in issue claim
features that do so. Apple II, Dkt. 221 at 85-93. The iPhone has innumerable features, id. at
87-88, which Apple claims all contribute to ease of use. Pierce Decl. Ex. 11 [4/4/12 Sinclair
Tr. at 52:2-8]. Apple has made no showing that the specific features at issue here would drive
sales if sold by [themselves]. Apple II, 2012 WL 4820601 at *5.
Moreover, even Apples generalized evidence that ease of use drives demand shows no
such thing. Schiller Decl., 12. In the survey Apple cites, ten out of thirteen factors were rated
important by iPhone consumers, making the importance of any one factor indeterminate. PX
146.5. When Apple studied what caused consumers to purchase Android devices instead of
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iPhones, . Apple also cites a
GravityTank study which states the iPhone is easy to use and describes zooming and scrolling as
fun and magic, Mot. at 8 (citing PX36.24, PX36.21), but zooming and scrolling were in
existence well before the 915 patent and are not exclusively owned by Apple. RT 1856:21-
1857:12 (Singh). Once again, Apple misapprehends the limited nature of its monopoly under its
patents, and fails to provide evidence linking Samsungs purported infringement of that limited
monopoly right to Apples claims of irreparable losses.
9
(b) Copying Does Not Demonstrate a Nexus
Recognizing that it lacks proof of nexus, Apple claims that the accused features must drive
demand because Samsung copied them. This Court has rejected this argument, previously
holding that similar evidence is probative of the fact that both Apple and Samsung value the
functionality claimed by the asserted patent, but does not demonstrate that the [patented
technology] drives consumer demand. Apple II, Dkt. 221 at 86. And the Federal Circuit has
explained that the relevant inquiry focuses on the objective reasons as to why the patentee lost
sales, not on the infringers subjective beliefs as to why it gained them (or would be likely to gain
them). Apple, 678 F.3d at 1328; see also Apple II, 2012 WL 4820601, at *4-5.
Further, Apples copying argument has no evidentiary support. Apple cites PX46.66,
but this document calls only for a fun visual effect, not one that is covered by 381. Likewise,
PX57.15-20 relates to a multitude of visual effects that have no bearing on the 381 patent;
PX195.1 indicates that Samsung did not release the bounce algorithm discussed in that
document; Exhibit 31 to the Robinson Declaration contains repeated statements that the Bounce
effect has no emotional impact, confirming that bouncing behavior does not inherently create
fun; PX38.24 discusses double-tap to zoom and two-level zooming, not the recentering behavior
covered by 163; and PX44.58 is ambiguous as to whether it even addresses the 163, and gives no
9
Apple also cites Mr. Schillers broad claim that ease of use is important to customers,
which is immaterial here for the same reasons above, and Apple executive Scott Forstalls
speculation that [the 163 patent], I think, enables you to have a, a dramatically better experience
browsing the web, Mot. at 8 (citing PDX10.2 and RT 751-759). Such speculation by an Apple
executive does not support a request for a permanent injunction.
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support to the claim that this patent drives sales. Apple offers no copying evidence regarding
915 at all. Apples evidence shows at most that Samsung engaged in the type of competitive
analysis that Apple too routinely practices. RT 760:19-776:8 (Forstall); RT 532:8-536:25
(Stringer); RT 2838:9-2842:11 (Howarth). It does not even begin to show that consumer
purchases were driven by the patented features.
(c) Dr. Hausers Survey Results Do Not Show Consumer Demand
Apple relies (Mot. at 9) on Dr. Hausers survey results to show consumer demand for the
features claimed in its three utility patents. Yet these surveys do not address consumer demand
for smartphones and tablets equipped with those features. See Wind Decl., 13-14, 40-45, 74;
Sukumar Decl., 4-6, 19, filed concurrently. In the real world, consumers choose among several
brands of smartphones and tablets and may ultimately choose to make no purchase at all; Dr.
Hausers survey forced respondents to select a Samsung device and excluded the option of
selecting another brandor no device at all. Wind Decl. 14, 28-31, 33, 40-45, 66-67; Sukumar
Decl., 6. By design, therefore, his survey could only produce estimates of intra-brand price
premiums, i.e., amounts consumers would pay for additional features on a Samsung device,
which says nothing about whether consumers buy Samsung devices because they have certain
features. Wind Decl., 13-14, 32-45; Sukumar Decl., 4-6, 19. Moreover, fundamental flaws
in methodology biased Dr. Hausers price premium estimates, rendering them unreliable. Wind
Decl.15-17, 21-39, 46-74; Sukumar Decl. 3, 7-19. In the real world, consumers selecting
between smartphones or tablets base their decisions on a subset of features, and those features do
not include those claimed in the utility patents at issue here. See Erdem Decl., 16, 25-62.
4. There Is No Basis For Apples Claimed Irreparable Harm
Because [t]his record does not permit the inference that the allegedly infringing features
of [the accused products] drive consumer demand[,] there is no need for the Court to consider
Apples allegations of irreparable harm. Apple II, 2012 WL 4820601 at *5. But there is no
basis for those allegations either, particularly given that Samsung has discontinued all but three of
the 26 products that are the subject of Apples motion. By the time the Court hears this motion,
Samsung will only be selling
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Decl. of Hee-chan Choi at 2-9 and Exh. 1; Decl. of Corey Kerstetter,
2-13 and Exh. 1; Decl. of David Kim, 2-4. None of these products was found to dilute
Apples trade dress, and none was found to infringe the D087, D305, or the 381 patent.
10
And
while the Galaxy SII (T-Mobile)and only that productwas found to infringe the 163 and 915
patents, Samsung has implemented non-infringing design-arounds. Gray Decl., 11-55; Choi
Decl., 13-19, 22; Decl. of Tim Rowden, 3-7.
11
With respect to the design patents, the black
models of the three remaining Galaxy S II products were found to infringe only the D677
patent. Samsung is discontinuing the version of the Galaxy S II (Skyrocket) with a black front
mask color
which does not infringe D677. Choi Decl., 20; Kerstetter Decl., 8, Lucente Decl., 12-
21. Kerstetter Decl., 8. The
discontinuance and redesign of the accused products defeats the claim that Apple will be
irreparably harmed absent an injunction. Hynix Semi. Inc. v. Rambus Inc., 609 F. Supp. 2d 951,
968 (N.D. Cal. 2009); Nichia Corp. v. Seoul Semi. Ltd., 2008 WL 346416, at *1-2 (N.D. Cal. Feb.
7, 2008); see also TiVo, Inc. v. Echostar Corp., 646 F.3d 869, 881 (Fed. Cir. 2007).
Apples claim of harm from lost market share, downstream sales, and impact on its
ecosystem suffers from numerous additional flaws. Its attempt to extend its claim of harm to
markets and products not covered by the patents or trade dress at issue here (Mot. at 4-5) is an
improper effort to leverage its patent for competitive gain beyond that which the inventive
contribution and value of the patent warrant (Apple II, 2012 WL 4820601 at *2), and cannot be
squared with Apple IIs causal nexus requirements. Apple has not even attempted to (nor could
10
Samsung introduced a blue glow design-around to the 381 patent in early 2012. Van Dam
Decl. 24-31; Choi Decl., 10-12. The parties experts agree that this design-around does not
infringe. Van Dam Decl. 32-34.
11
The new source code no longer contains instructions for, in response to detecting the second
gesture, translating the structured electronic document so that the second box is substantially
centered on the touch screen display as required by claim 50 of the 163 patent. Gray Decl.
51-55. Now the product either does nothing (single tap) or zooms out (double tap) in response
to the second gesture. Id. 52. Likewise, the new code no longer performs the quintessential
test of distinguishing between a single input point . . . that is interpreted as the scroll operation
and two or more input points . . . that are interpreted as the gesture operation as required by claim
8 of the 915 patent. Id. 31-44; RT 1822:22-1826:22 (Singh testimony).
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it) show that consumers purchase decisions in other markets or for other products are driven by
the specific features of its patents or trade dress. Moreover, Apple and Samsung do not compete
in a two-player smartphone or tablet market, but rather face competition from other manufacturers,
which collectively enjoy a 43.4% share of the North American smartphone market. Wagner
Decl., 146. Apple also overstates the competition between the parties by ignoring the fact that
they use different operating systems, which is a critical factor for consumers, by relying on market
share figures for all of Samsungs products instead of the market share for the specific products
Apple seeks to enjoin, and by wrongly assuming that the purchasing behavior of late adopters of
smartphone technology will be the same as early adopters. Id., 120-23, 160-181. Apples
strong iPad and iPhone 4, 4S, and 5 sales also refute any claim of lost market share due to the
alleged infringement by the accused products. Id., 124-144.
B. Apple Has Not Shown That Monetary Remedies Are Inadequate
Apple bears the burden of providing at least [s]ome evidence and reasoned analysis to
demonstrate the inadequacy of monetary damages to compensate its alleged harms. Apple II,
Dkt. 221 at 73; see also Presidio Components, Inc. v. Am. Tech. Ceramics Corp., 723 F. Supp. 2d
1284, 1338 (S.D. Cal. 2010). There is no presumption that money damages would be inadequate.
High Tech Med. Instrumentation, 49 F.3d at 1557. Neither lost market share nor damage to
goodwill is necessarily irreparable. Automated Merch. Sys, Inc. v. Crace Co., 357 F. Appx 297,
301 (Fed. Cir. 2009) (lost market share not necessarily irreparable); Dexter 345 Inc. v. Cuomo, 663
F.3d 59, 63 (2d Cir. 2011) (same, loss of goodwill). Nevertheless, Apple has not shown that any
injuries it will suffer cannot be fully compensated by monetary remedies, or that Samsung is
unable to satisfy a money judgment. Motorola, 2012 WL 2376664 at *14 (There is no question
of collectability in this case, a common reason why a damages remedy is inadequate. Both
parties have deep pockets); ActiveVideo, 2012 WL 3636908, at *24 (similar).
At Apples urging, the jury awarded Apple monetary remedies and calculated specific
amounts. Because Apple has discontinued products embodying its patents and because Samsung
will have ceased any infringing activity by the time that the Court rules on this motion, no further
relief will be necessary. But even if further relief were proper, the jurys award confirms that any
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purported future harms can be remedied through a monetary award. See Innogenetics, N.V. v.
Abbott Labs., 512 F.3d 1363, 1380-81 (Fed. Cir. 2008) (no irreparable harm where jury awarded
damages requested by patentee); Conceptus, Inc. v. Hologic, Inc., No. 09-2280, 2012 WL 44064 at
* 2 (N.D. Cal. Jan. 9, 2012) (jury damages award shows damages reparable).
Apple has not shown, in particular, why any harm could not be compensated by an
ongoing royalty, which courts increasingly have ordered as a substitute for an injunction against
infringement. Bard Peripheral Vascular, Inc. v. W.L. Gore & Assocs., Inc., 670 F.3d 1171,
1192 (Fed. Cir. 2012) (proper to award ongoing royalty instead of permanent injunction), vacated
in part on other grounds, 682 F.3d 1003 (Fed. Cir. 2012); Motorola, 2012 WL 2376664, at *16 -
17 (similar); Ricoh Co. v. Quanta Computer, Inc., 2010 WL 1607908, at *4 (W.D. Wis. April 19,
2010) (plaintiff has failed to show that the public interest would be better served through an
injunction rather than a compulsory license.). An ongoing royalty in lieu of injunction is
especially appropriate in a case like this where the patented features are but a small component of
the overall product. See Pierce Decl., Ex. 44 (more than 250,000 active patents relevant to
todays smartphones). This Court has previously take[n] to heart Justice Kennedys
admonition that [w]hen the patented invention is but a small component of the product the
companies seek to produce . . . legal damages may well be sufficient to compensate for the
infringement, and should do so here as well. Apple II, Dkt. 221 at 98 (quoting eBay); see
Motorola, 2012 WL 2376664 at *16-17 (discussing Justice Kennedys admonition as applied to
smartphone case).
12
Rather than impose an injunction, the Court should, at most, direct the
parties to negotiate an ongoing royalty. See Paice LLC v. Toyota Motor Corp., 504 F.3d 1293,
1315 (Fed. Cir. 2007) (In most cases, where the district court determines that a permanent
injunction is not warranted, the district court may wish to allow the parties to negotiate a license
amongst themselves regarding future use of a patented invention before imposing an ongoing
royalty.).
12
See also Soverain Software LLC v. Newegg Inc, 836 F. Supp. 2d 462, 482 (E.D. Tex. 2010)
(denying injunction where infringing feature was small part of defendants system); Techs., Inc. v.
Microsoft Corp., 434 F. Supp. 2d 437, 441, 2006 (E.D. Tex. 2006) (similar).
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Apple asserts that denial of an injunction would amount to a compulsory license (Mot. at
10), but that is not true in light of Samsungs discontinuance of its products and design-arounds.
Moreover, an injunction may not issue merely because a patentee refuses to offer a license.
Presidio, 723 F. Supp. 2d at 1338-39. And in any event, Apple has shown a willingness to
license both utility and design patents in the past, including patents at issue in this litigation and
similar ones. For example,
Apples Boris Teksler confirmed that Apple licenses its intellectual property, including the
technology and designs that Apple considers a unique user experience I.P. RT 1957: 3-9;
1972:18-24. And prior to filing this suit, Apple offered Samsung a royalty-bearing license to
manufacture the products that Apple said embrace[d] and imitate[d] Apples iPhone archetype,
including Android-based full touch screen devices that Apple now seeks to enjoin. DX 586 at
17; see RT 1971:4-1972:17 (Apple offered to provide Samsung with a number of options for
obtaining a cost-effective license to our patent portfolio, without carving out any patents that it
was refusing to license). This evidence weighs against any finding that monetary relief is
inadequate, for it demonstrates that Apple is willing to forego exclusivity in exchange for
monetary compensation. Apple II, Dkt. 221 at 96; Dkt. 452 at 64 (Apples licenses of 381 patent
weigh against injunction); see Acumed LLC v. Stryker Corp., 551 F.3d 1323, 1328 (Fed. Cir.
2008), High Tech Med., 49 F.3d at 1557; Advanced Cardiovascular Sys. v. Medtronic, Inc., 2008
U.S. Dist. LEXIS 88892 (N.D. Cal. Oct. 21, 2008).
C. The Balance Of Hardships Favors Samsung
An injunction that imposes greater costs on the defendant than it confers benefits on the
plaintiff reduces net social welfare. That is the insight behind the balance of hardships
component of the eBay standard for injunctive relief in patent cases. Motorola, 2012 WL
2376664, at *21. Apple will not suffer in the absence of an injunction. It no longer offers the
iPhone 3G and 3GS, and it does not argue that its recent sales of the iPhone 5 were negatively
affected by Samsungs limited sales of the accused products. To the extent that there is any
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ongoing infringement, the availability of a reasonable royalty weighs against Apple. See
Motorola, 2012 WL 2376664, at *19 (availability of royalty is germane to the balance of
hardships component of eBays test for whether to grant an injunction).
In contrast, an injunction would impose severe hardship on Samsung by disrupting its
relationships with carriers who may be selling pre-existing stock and with customers who may still
be using the accused products, see Paice LLC v. Toyota Motor Corp., 2006 U.S. Dist. LEXIS
61600, at *16-17 (E.D. Tex. Aug. 16, 2006) (enjoining [defendants] sales will likely interrupt
not only Defendants business but that of related businesses, such as dealers and suppliers . . .
[and] will damage their reputation), and by creating paralyzing uncertainty as to the future steps
Apple might take seeking to enforce an injunction against as yet unaccused products and features.
See Motorola, 2012 WL 2376664, at *20 (relying on possibility that Apple will sue Motorola
alleging that the redesigned phones still infringe its patents, just as it is [doing in the ITC]); see
also Accentra, Inc. v. Staples, Inc., 2011 WL 7563039, at *30 (C.D. Cal. Dec. 19, 2011) (rejecting
position that an injunction should issue because [it] will have little negative impact on the
defendant if the defendant does not infringe in the future because eBay rejects such a better-
safe-than-sorry approach.).
13
In fact, Apple previously abused the short-lived Galaxy Tab 10.1
preliminary injunction by falsely claiming without legal basis that third-party carriers were bound
by it and that it extended to wholly unspecified tablet computer products. See Dkt. 1943 at 2.
D. An Injunction Would Not Be In The Public Interest
Apple bears the burden of showing that an injunction is in the public interest, Stormans,
Inc. v. Selecky, 586 F.3d 1109, 1139 (9th Cir. 2009), a burden that is especially great because the
first three eBay factors favor Samsung. Soverain, 836 F. Supp. 2d at 482. Both the harm that
an injunction might cause to consumers who can no longer buy preferred products because their
sales have been enjoined, and the cost to the judiciary as well as to the parties of administering an
injunction should be considered. Motorola, 2012 WL 2376664, at *20. The only public
13
Apple asserts that the jurys finding of willful infringement obviates the need to balance
hardships. Mot. at 10. It cites no post-eBay case that has so held. More recent decision are to
the contrary. See, e.g., In re Renard, 451 B.R. 12, 23 (Bankr. C.D. Cal. 2011) (rejecting
argument against balancing of hardships in case involving intentional conduct).
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interest cited by Applepreserving rights of patent holderscannot alone justify injunctive relief
because such interests are always present in a patent case! Presidio, 723 F. Supp. 2d at 1339;
Belden Techs. Inc. v. Superior Essex Comms. LP, 802 F. Supp. 2d 555, 579 (D. Del. 2011) (same).
While Apple identifies no compelling public interest favoring an injunction here, the
public has an overwhelming interest in preventing one company from having a monopoly over
basic elements of smartphone design such as a rectangular shape with rounded corners. Even
though the patents at issue are but small component[s] of the product and Apple no longer
practices the only trade dress the jury found protectable, an injunction would have a significant
impact on competition in the smartphone market. Motorola, 2012 WL 2376664, at *20 (the
harm that an injunction might cause to consumers who can no longer buy preferred products
because their sales have been enjoined weighs against entry of injunction). This litigation is
part of Apples campaign against makers of Android devices, which provide free, opensource
mobile software that any developer can use to create applications for mobile devices and that any
handset manufacturer can install on a device. Dkt. 179-44 at 5. This Court should not deprive
consumers of choice by granting the broad, vague injunction that Apple seeks.
An injunction would also be disruptive for third parties, such as suppliers, retailers,
carriers, and their customers. Broadcom Corp. v. Qualcomm Inc., 543 F.3d 683, 704 (Fed. Cir.
2008); Fractus, S.A. v. Samsung Elecs. Co., Ltd., No. 6:09-cv-203, 2012 WL 2505741 at *45
(E.D. Tex. June 28, 012). Indeed, Apples inability to supply all consumers with the iPhone
strongly weighs against the broad injunction it seeks. See Tate Access Floors v. Interface
Architectural Res., Inc., 132 F. Supp. 2d 365, 377 (D. Md. 2001) (considering patentees
manufacturing capacity). Demand for the iPhone 5 exceeded initial supply, and labor disputes at
Foxconn, Apples supplier, caused at least two production stoppages in September and October.
14
These shortages are likely to continue as Apple releases the iPhone 5 to additional countries
(including 70 in December alone) and carriers around the world; and the Wall Street Journal
14
See Poonima Gupta & Jennifer Saba, Apple Sells Over 5 Million iPhone 5, Supply
Constraints Loom, Reuters, Sept. 24, 2012 (Pierce Decl., Ex. 16); Foxconn Labor Disputes
Disrupt iPhone Output for 2nd Time, Bloomberg News, Oct. 7, 2012 (Pierce Decl., Ex. 17).
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reports that NAND memory shortages may lead to further constraints on Apples output.
15
The
public interest will be harmed by diminishing consumer access to competing smartphones under
these circumstances.
Finally, the broad and vaguely worded injunction that Apple requests would also impose a
significant administrative burden on this Court, for there can be no doubt that Apple will
aggressively seek to extend it to non-accused products. This further weighs against Apples
motion. See Motorola, 2012 WL 2376664, at *20 (denying motion for permanent injunction in
part based on the cost to the judiciary as well as to the parties of administering an injunction).
E. Apples Proposed Injunction Is Vague, Overbroad And Otherwise Improper
No injunction should issue; if any will, the language that Apple seeks should be rejected.
Rule 65(d) requires that an injunction (A) state the reasons why it issued; (B) state its terms
specifically; and (C) describe in reasonable detailnot by referring to the complaint or other
documentthe act or acts restrained or required. Fed. R. Civ. P. 65(d)(1); Schmidt v. Lessard,
414 U.S. 473, 476 (1974). Apples broad, vague injunction violates these principles.
First, the language of Apples proposed injunction is improper because it extends generally
to unspecified violations of the law and would broadly and vaguely cover unidentified other
products. Dkt. 1987 at 2.
16
This language is an invitation to endless litigation, against the
backdrop of the deadly threat of the contempt power, as well as to overbroad, anti-competitive
threats by Apple against third parties as Apple sought to do in the past. Intl Longshoremens
Assn v. Philadelphia Marine Trade Assn, 389 U.S. 64, 76 (1967); see Forest Labs., Inc. v. Ivax
Pharms., Inc., 501 F.3d 1263, 1272 (Fed. Cir. 2007) (finding injunction overbroad and modifying
it to delete the language any products that infringe the 712 patent, including . . . .).
Second, the injunction proposed by Apple wrongly extends to a feature or features not
more than colorably different from any of the infringing feature or features in any of the
15
Yun-Hee Kim, Why There May Be an iPhone 5 Shortage, Wall Street Journal, Oct. 8, 2012
(Pierce Decl., Ex. 18).
16
Apples proposed injunction improperly lists the Galaxy S, the Galaxy S II (i9000) and
the Infuse, when the correct product names are Galaxy S (i9000), Galaxy S II (i9100) and Infuse
4G respectively.
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Infringing Products. Dkt. 1987 at 2. Apples focus on specific features of its design patents
ignores that many of those features are functional and structural, and therefore are not protectable.
See supra Section I.A; Dkt. 1990-3 at 7-10. Apple cannot obtain an injunction against use of
features that are free for the world to use. Bonito Boats, 489 U.S. at 159-60. Moreover,
Apples demand that Samsung be prohibited from using undefined features is inconsistent with
Apples refrain during trial that the test is whether an accused product shares the same overall
visual impression as the patented designs. RT 1348:8-17; 1374:6-1375:15; 1376:19-1377:8.
The jury made particular findings, rejecting, for example, Apples allegations that specific
products infringed the D087 and D677 patents or else diluted Apples trade dress. Dkt. 1931.
The colorably different standard that Apple seeks to rely on would allow Apple to seek
contempt violations for the very sorts of features, or equivalent ones, that the jury itself found to
be non-infringing or non-diluting. Apples request for a broad injunction against unspecified
products and unprotected features should be denied. See Motorola, 2012 WL 2376664, at *20
(The danger that Apples goal in obtaining an injunction is harassment of its bitter rival, requiring
particularly watchful supervision by the court should it issue an injunction, is suggested by the fact
that . . . it wants to forego [a royalty revenue stream] in favor of imposing costs and litigation
burdens on its adversary).
F. Apple Should Post Security to Protect Samsung From A Wrongful Injunction
Apple should be required to post a bond to protect Samsungs interests if any injunction is
overturned on appeal. The Court has power to grant an injunction upon the principles of equity
and upon such terms as the court may deem reasonable. 15 U.S.C. 1116(a), 35 U.S.C. 283.
An injunction bond is necessary to protect Samsung from the financial consequences of Apples
sweeping proposed injunction, should Samsung be wrongfully enjoined. If a bond does not issue
now, Samsung may have no recourse for the damages it sustains from a wrongful injunction,
making the requirement of a substantial bond critical. W.R. Grace & Co. v. Local Union 759,
461 U.S. 757, 770 (1983); Buddy Sys., Inc. v. Exer-Genie, Inc., 545 F.2d 1164, 1167 (9th Cir.
1976).
When setting the amount of an injunction bond, district courts should err on the high side.
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Apple II, Dkt. 221 at 100 (citing Mead Johnson & Co. v. Abbott Labs., 201 F.3d 883, 888 (7th Cir.
2000)). Courts may consider (1) lost profits, (2) out-of pocket expenses related to promotion of
the defendants infringing products; (3) damage to the defendants reputation; and (4) expenses
associated with the recall of the infringing products. Cybermedia, Inc. v. Symantec Corp., 19 F.
Supp. 2d 1070, 1079-80 (N.D. Cal. 1998). Samsung estimates that over the course of roughly
11.2 monthsthe median time from docketing to disposition in 2011 in the Federal Circuit--

(http://www.cafc.uscourts.gov/images/stories/the-
court/statistics/Median_Disp_Time_table_02-11.pdf). Accordingly, in the event the court issues
an injunction covering these non-infringing products, a bond of at least $32,550,725 should be
required. Wagner Decl., 229-232.
II. THE COURT SHOULD NOT ENHANCE THE JURYS DAMAGES VERDICTS
As Samsung explained in its JMOL, the jurys damages award already goes too far; that
award should be reduced, not enhancedmuch less by the $535 million Apple seeks. There is
no dispute that an award of infringers profits under Section 289 cannot be enhanced, and it is
apparent that the vast bulk of the jurys awarda full $948,278,061reflects disgorgement of
Samsungs profits (whether from products found to infringe Apples design patents, or in the case
of the Galaxy Prevail, a utility patent that cannot be the basis for such an award). See Dkt. 1990-
20 (Wagner JMOL Decl.) at 17. Thus, only $101,145,479 of the total award could even
conceivably be subject to enhancement, making Apples request for more than five times that
plainly excessive.
As a matter of law, Apple has failed to establish the prerequisites for enhancement:
Apple has not offered clear and convincing evidence of willfulness, as required, nor demonstrated
that additional damages would recompense Apple for any actual harm not accounted for by the
jury. To the extent enhancement is a matter of discretion, the Court should exercise its discretion
not to enhance the jurys award any further.
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A. Nearly $950 Million Of The Jurys Award Represents Disgorgement Of
Infringers Profits That Is Not Subject To Enhancement
Under 35 U.S.C. 289, infringement of a design patent is subject to a special measure of
damagesinfringers profitsnot otherwise available in a patent case. The trade-off for a
plaintiffs claiming infringers profits is relinquishing any right to seek enhancements. 35 U.S.C.
289 (patentee shall not twice recover the profit made from the infringement); Catalina
Lighting, Inc. v. Lamps Plus, Inc., 295 F.3d 1277, 1290-92 (Fed. Cir. 2002) (election to recover
defendants profits under Section 289 bars any further recovery on same sales); Braun Inc. v.
Dynamics Corp. of America, 975 F.2d 815, 283-84 (Fed. Cir. 1992) (Section 289 insure[s] that a
patentee not recover both the profit of an infringer and some additional damage remedy from the
same infringer). Apple concedes that the Court cannot treble amounts for which the sole basis
for the award was disgorgement of Samsungs profits under section 289. Mot. at 28. In this
case, fully $948,278,061 of the award represents supposed infringers profits, awarded per Apples
requested jury instruction and verdict form. Dkt. 1694 at 147; Dkt. 1903 at 72; Dkt. 1990-3 at
17-18.
1. Products Found To Infringe Design Patents But Not Dilute Trade Dress
The jury found that 11 Samsung products infringe one or more design patents and do not
dilute Apples trade dress.
17
As to each of these, the jury awarded exactly 40% of Apples
calculation of Samsungs profits, which shows that the jurys awards for these products were made
under Section 289. See Dkt. 1990-20, 20. Indeed, the jury could have arrived at these awards
only pursuant to Section 289, for the jurys awards for these products which together total
$599,859,395 (id.)exceed the amount Apple requested under Section 284 for its own alleged
lost profits. See PX25A1.4 (seeking $333,365,673 in lost profits for the 11 products found to
infringe only Apples design patents). Therefore, $599,859,395 of the jurys award cannot be
enhanced as a matter of lawa fact that Apple appears not to dispute.
17
The Captivate, Continuum, Droid Charge, Epic 4G, Galaxy S II (AT&T), Galaxy S II (T-
Mobile), Galaxy S II (Epic 4G Touch), Galaxy S II (Skyrocket), Gem, Indulge, and Infuse 4G.
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2. Products Found To Infringe Design Patents And Dilute Trade Dress
The jury awarded damages on five products found to infringe one or more design patents
and also dilute Apples trade dress.
18
As to each, the jury awarded Apple the same 40% of
Apples calculation of Samsungs profits (a total of $290,551,283), plus the amount of lost profits
claimed by Apple (a total of $91,132,279), for a total award of $381,683,562. Dkt. 1990-20, 13.
Apple argues for enhancement of the total award on these products by positing that the jury
awarded these damages under the Lanham Act. Mot. at 25. But none of these damages, and
certainly not the $290,551,283 representing infringers profits, may be enhanced.
First, Apple is wrong that Samsung bear[s] the burden of any uncertainty as to whether
the jurys award was made under Section 289 or the Lanham Act. Mot. at 30. The
jurisprudence . . . uniformly requires clear and convincing evidence in support of increased
damages, and it is the moving party that must produce such evidence. Shatterproof Glass Corp.
v. Libbey-Owens Ford Co., 758 F.2d 613, 628 (Fed. Cir. 1985); see Bard Peripheral Vascular,
Inc. v. W.L. Gore & Assocs., 682 F.3d 1003, 1005 (Fed. Cir. 2012); Monolithic Power Sys., Inc. v.
O2 Micro Intl Ltd., 2010 WL 583960 (N.D. Cal. Feb. 16, 2010); Saint-Gobain Autover USA, Inc.
v. Xinyi Glass N. Am., Inc., 707 F. Supp. 2d 737, 753 (N.D. Ohio 2010), as corrected (Apr. 13,
2010). Apple offers no authority for its claim that ambiguity in a jury verdict permits special
judicial enhancement, and the law is to the contrary. See Arnott v. Am. Oil Co., 609 F.2d 873,
888-89 (8th Cir. 1979) ([i]t would be purely speculative to assume that the entire general verdict
of $100,000 was awarded as damages resulting from violation of the antitrust laws that were
subject to trebling rather that other violations that were not); Wilson v. Burlington Northern
Railroad, 803 F.2d 563, 56768 (10th Cir. 1986) (McKay, J., concurring) (Since we are here
faced with a general verdict not properly segregated into its component parts [of actual economic
loss and non-economic damages], that task is now impossible. Plaintiff failed to timely present
the matter based on sound testimony and proper instructions or interrogatories and must bear the
burden of that failure.); Mandile v. Clark Material Handling Co., 303 F. Supp. 2d 531, 536
18
The Fascinate, Galaxy S 4G, Galaxy S Showcase (i500), Mesmerize, and Vibrant.
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(D.N.J. 2004) affd, 131 F. Appx 836 (3d Cir. 2005) (rejecting prejudgment interest where
plaintiff did not request discrete verdicts segregating losses).
19
Second, Apple alone is to blame for any ambiguity in the jurys verdict. Samsung
requested a verdict form that would have required more specificity in the jurys findings; Apple
tactically resisted Samsungs proposed verdict form as way too specific and requested a single
damages figure for each product. RT 3852:24-3856:10; see also RT 3764:1-6, 3813:14-3814:25
(noting Apples failure to elect a single damages theory). As the party bearing the burden here,
and having created the claimed ambiguity, Apple cannot now use that claimed ambiguity to
circumvent the statutory bar against enhancements of infringers profits.
Third, there in fact is no ambiguity here, as the jury uniformly awarded 40% of Samsungs
profits as calculated by Mr. Musika as to every product found to infringe a design patent, whether
those products were found only to infringe design patents or both infringe design patents and also
dilute trade dress. As to the products that diluted trade dress, the jury then added sums reflecting
Apples lost profits. See Dkt. 1990-20, 12-13. Only that $91,132,279 consisting of Apples
profits might under any circumstances (and not these) fall outside Section 289s ban on
enhancement for infringers profits.
Finally, having elected to seek parallel recoveries on the same bucket of products pursuant
to Section 289 and the Lanham Act, Apple cannot seek enhancement of any portion of the
resulting award, including the $91,132,279. The Federal Circuit has rebuffed efforts by patent-
holders who try to recover beyond the limits of Section 289 by claiming parallel intellectual
19
Ignoring on point authority, Apple cites three cases that address uncertainty in the dollar
amount of the underlying damages award, not whether the award is eligible for enhancement.
E.g., Kaufman Co., Inc. v. Lantech, Inc., 926 F.2d 1136, 1141 (Fed. Cir. 1991) (Any doubts
regarding the calculatory precision of the damage amount must be resolved against the infringer.)
(emphasis added); see also Ryco, Inc. v. Ag-Bag Corp., 857 F.2d 1418, 1428 (Fed. Cir. 1998)
(damages award cannot be speculative but need not be calculated with unerring precision).
Such cases speak to a district courts exercise of discretion in arriving at statutorily authorized
damages as a matter of just and reasonable inference, without resort to mere speculation or
guess, Paper Converting Machine Co. v. Magna Graphics Corp., 745 F.2d 11, 22 (Fed. Cir.
1984). None of these cases even purports to address the distinct legal issues involved in
enforcing the statutory line separating those damages eligible for special enhancement from those
that are ineligible, let alone ambiguity that was sown by the party seeking enhancement. Cf.
Arnott, 609 F.2d at 888-89 (reversing trebling where general verdict did not differentiate antitrust
theory from others that might have grounded the award).
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property rights have been violated based on the same set of operative facts. Aero Prods. Intl,
Inc. v. Intex Recreation Corp., 466 F.3d 1000, 1016-17 (Fed. Cir. 2006) (plaintiff who recovers
under the Patent Act cannot further recover under the Lanham Act); see Catalina Lighting, 295
F.3d at 1290-1292 (profits recovery under Section 289 bars further recovery on the same sales
despite overlapping protection of utility as well as design patents). Catalina Lighting and Aero
Products prohibit Apple from obtaining any enhancement atop the award it has collected under
Section 289 by pursuing parallel recovery under the Lanham Act based on the same core of
operative facts.
20
Although Apple protests that Samsungs infringement caused more than one
type of harm to Apple (Mot. at 30), the same was true in both Catalina Lighting and Aero
Products.
The only case Apple cites in support of its demand for parallel enhancement is an
unpublished district court decision, enhancing a Lanham Act award that ostensibly overlapped
with a far smaller amount of profits separately awarded under Section 289. Victor Stanley Inc. v.
Creative Pipe Inc., No. 06-2662, 2011 WL 4596043 (D. Md. Sept. 30, 2011). After a bench trial,
the court awarded $1,150,750 in Lanham Act profits for reverse passing off, which the court
enhanced by 50%. Id. at *11-12. The court also awarded, but did not enhance, $35,137 in
profits under Section 289 for design patent infringement. Id. at *20. Notably, the Lanham Act
violation and design patent infringement in Victor Stanley involved entirely distinct facts
defendants passing off plaintiffs technical drawings as its own, and defendants sale of a product
infringing plaintiffs design patent. Thus, the theories of recovery in Victor Stanley were not
20
Still more unsupportable is Apples suggestion that its same requested enhancement might
follow under the Patent Act, Section 284. Despite its plain statement specifying that it requests
an enhancement of $135 million under the Patent Act and $400 million under the Lanham Act,
(Mot. at 11), with the former computation limited to products found to infringe utility patents not
subject to Section 289, Apple then shifts gears to argue the Court could justify the full $535
million enhancement based on the Patent Act alone. (Mot. at 29.) Without offering any
explanation, much less plausible explanation, of how more than $10 million of the amount the jury
awarded for infringement of Apples patents might arise outside Section 289, Apple is barreling
headlong into Section 289s prohibition against enhancement. Moreover, assuming arguendo
that overlapping theories of recovery pose ambiguity in the verdict form, that alone would rule out
enhancement. See Arnott. 609 F.2d at 888-89. Finally, Apple is at best attempting to do
precisely what Catalina Lighting and Aero Products foreclosenamely, to circumvent the limits
Section 289 imposes upon recovery by invoking Section 284 and separate intellectual property
rights in parallel.
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coextensive and interchangeable, as is true here and was true in Catalina Lighting and Aero
Products. Perhaps as a result, Victor Stanley addressed no objection and offered no analysis with
respect to Section 289s prohibition, Braun, Catalina Lighting, or Aero Products. In sum, Victor
Stanley does not illuminate, much less commend, a path towards Apples requested enhancement.
3. Products Found To Infringe Only Utility Patents
The jury found that seven Samsung products infringe only utility patents. For one of
those, the Galaxy Prevail, the jury awarded $57,867,383exactly 40% of Samsungs profits for
that product, as calculated by Mr. Musika. Dkt. 1990-3 at 18, 26; PX25A1.4; Dkt. 1990-20 at
15. This award (comprising all but some $10 million of the total award for products found to
infringe utility patents) undoubtedly represents Samsungs profits, because Apples claimed lost
profits for the Prevail as calculated by Mr. Musika were limited to $8.5 million. PX25A1.4.
But disgorgement of an infringers profits is peculiar to Section 289; the award must be remitted,
and it certainly is not subject to enhancement.
B. Apples Requested Enhancement Is Unavailable Under The Lanham Act
Even apart from the bar on Apples efforts at dual recovery, the award of $91,132,279 in
Apples lost profits (for trade dress dilution) under the Lanham Act should be further reduced by
$70,034,295 (see Dkt. 1990-3 at 17-18), leaving $20,097,984 in Apples lost profits as the
maximum potentially eligible for enhancement under the Lanham Act. Even this amount,
however, should not be enhanced. Because the Lanham Act expressly forbid[s] the award of
damages to punish an infringer, any enhancement must be limited to ensur[ing] that the plaintiff
receives compensation. Skydive Arizona, Inc. v. Quattrocchi, 673 F.3d 1105, 1108 (9th Cir.
2012) (citation omitted); see also Jurgens v. McKasy, 927 F.2d 1552, 1564 (Fed. Cir. 1991);
ALPO Petfoods, Inc. v. Ralston Purina Co., 913 F.2d 958, 970 (D.C. Cir. 1990). Only if the
requested enhancement serves to compensate Apple for actual harm in excess of the jurys award
might it be permissible. ALPO Petfoods, Inc. v. Ralston Purina Co., 997 F.2d 949, 955 (D.C.
Cir. 1993); Vanwyk Textile Sys., B.V. v. Zimmer Mach. Am., Inc., 994 F. Supp. at 379-81
(W.D.N.C. 1997). Here, Apple makes no such showing.
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1. Apples Claim Of Uncompensated Injury Is Unsupported
Apple maintains that the jurys award is too parsimonious to compensate it for what it
characterizes as incalculable injuries to its brand image and lost downstream sales of later
generation iPhones and tag-along products. Mot. at 6, 26. As to brand dilution, Apple
identifies no evidence that would justify finding the jurys calculation inadequate.
21
See Vanwyk,
994 F. Supp. at 380-381. As to any lost sales, Apple argues those cannot be quantified with
reasonable certainty, Mot. at 5, and does not even try to quantify them, for instance, by
specifying what its claimed profit margins would have been. See id. In fact, far from
undercompensating, the jurys award already gives Apple a windfall, as discussed in Samsungs
JMOL. First, the jury awarded all of Samsungs profits, without apportionment, although there
was no evidence suggesting that the entire sales value of Samsungs products is attributable to
their outer casings and GUI. See Dkt. 1990-3 at 18. Second, the jury failed to deduct
Samsungs expenses, resulting in an award that exceeds the actual profits Samsung derived from
its allegedly diluting sales. Id. at 19. Third, the jury based its award on an incorrect notice
date.
22
It follows that the award of damages for trade-dress dilution should be reduced rather
than enhanced.
2. Apples Calculation Is Flawed and Arbitrary
Even if the verdict had not properly compensated Apple, Apple makes no showing that its
21
This absence of proof distinguishes this case from those cited by Apple, where a plaintiff
provided substantial, concrete evidence of its actual harm, thereby enabling determination that
such harm exceeded the damages awarded. See Binder v. Disability Group, 772 F. Supp. 2d
1172, 1181-84 (C.D. Cal. 2011) (surveys and testimony from consumers showing deception);
Taco Cabana, 932 F.2d at 1126-1127 (experts damages model valuing preempted competition at
$4.4 million). Similarly, in La Quinta Corp. v. Heartland Properties LLC, 603 F.3d 327, 343
(6th Cir. 2010), the award of royalties was limited by the parties license agreement, affording no
prospect of recompense for the plaintiffs lost ability to control its brand image. By contrast,
Apples expert expressly disclaimed any evidence that Samsungs conduct actually harmed
Apples brand or caused any other loss to Apple, RT 1534:14-17; 1534:22-1535:11, and his post-
trial declaration identifies harm merely [a]s a conceptual matter at best. Dkt. 1986, 8.
22
As discussed in Samsungs motion for judgment as a matter of law, the record does not show
that Samsung had actual notice of Apples trade dress or selected its designs in order to willfully
trade on its goodwill. See Dkt. 2013 at 15-16, 23-25. Because willfulness is prerequisite to any
recovery for dilution under Section 1117(a), enhancement requires a heightened showing of
willfulnessotherwise, there would be no distinction between the proof required to award regular
damages and that required to enhance them. Samsung has already submitted, and respectfully
reiterates, that requisite proof of willfulness is lacking. See id.
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requested enhancements are calibrated to accomplish that purpose. Apples new expert, Ms.
Robinson, opines that, but for Samsungs unlawful conduct, Apple would have sold 2.1 million
additional units, but neither Apple nor Ms. Robinson attempts to show that these units were not
already accounted for in the jurys verdict awarding damages for the 13.9 million units that
Robinson says Samsung would not have sold absent the infringement or dilution. Just as Mr.
Musika acknowledged the need to ensure against any double counting (RT 2048:21-2050:15), the
Lanham Act bars double recovery of both plaintiffs lost profits and disgorgement of
defendants profits on the same sale. Nintendo of Am., Inc. v. Dragon Pac. Intl, 40 F.3d 1007,
1010 (9th Cir. 1994). Yet Apples new expert does not even attempt to account for this problem.
In addition, Ms. Robinsons request for additional lost profits further compounds the flaws
identified in Samsungs Rule 50 motion. Dkt. 1990-3 at 20-25. First, Ms. Robinson arrived at
her calculations using IDC market-share data that includes all Samsung smartphones, without
attempting to identify what percentage of Samsungs increased market share is attributable
specifically to the diluting products. Robinson Decl. at 27. Second, Ms. Robinson simply
assumes that, but for the diluting phones, Samsungs market share would have remained at 5%,
without addressingmuch less denyingthat non-infringing products could predictably make
their own contributions to Samsungs increase in market share. Compare id. at 26 with, e.g.,
Dkt. 1931 at 5-7, 10-11 (products found non-infringing). Third, Ms. Robinson calculates that
Apple would have made an additional 2.1 million sales based on the quantity sold of all
infringing and diluting products, not just the diluting phones, see Robinson Decl. at 27, but
fails to explain why lost sales caused by other productsincluding 11 products explicitly found
not to dilute Apple trade dressshould support Lanham Act enhancement for these five.
Finally, Ms. Robinson ignores key factors that Mr. Musika recognized as critical to proper
analysis. She does not account for constraints on Apples capacity to make additional sales. Cf.
RT 2085:10-2086:3. Her Mor-Flo analysis does not account for consumers carrier preferences
and the unavailability of Apples products through numerous carriers during the relevant time
period. Cf. RT 2096:24-2097:5; 2123:5-18. Nor does she heed Federal Circuit precedent
requiring that she account for the possibility of design-arounds. Cf. RT 2123:17-24; PX25.2
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(limiting lost-profits analysis to 8 months).
23
As numerous courts and commentators have observed, proper application of the Lanham
Act becomes complicated when the concept of blurring is applied to competing similar products.
I.P. Lund Trading ApS v. Kohler Co., 163 F.3d 27, 49 (1st Cir. 1998); 4 McCarthy on Trademarks
and Unfair Competition 24:102 (4th ed.) (noting complications if antidilution law was applied
to give exclusive rights to a product shape). Contrary to Apples assertion that its alleged injury
is exactly why Congress authorized judicial enhancement for trade dress dilution, see Dkt. 1982-
1 at 26, there is doubt that Congress intended the reach of the dilution concept under the FTDA to
extend this far . . . I.P. Lund, 163 F.3d at 50. Product design is particularly far removed from
the purpose of anti-dilution laws, especially where a direct competitor allegedly diluted without
creating likelihood of confusion. Id. at 48. To enhance a monetary award for trade-dress
dilution of such magnitude and novelty, atop a parallel monetary award for design-patent
infringement, based on little more than pure speculation, would exceed anything Congress
contemplated in Section 1125(c).
C. Apple Is Not Entitled To Enhancement Based On Utility Patent Infringement
Although Apple claims some $68 million as the baseline for potential utility patent
enhancement, most of this consists of the $57,867,383 that the jury awarded specifically for the
Galaxy Prevail, which represents Samsungs profits and is not subject to enhancement. Of the
jurys award for the products found to infringe only utility patents, $10,013,200 might arguably be
subject to enhancement under Section 284$9,180,124 of which represents Apples royalties for
the Exhibit 4G, Galaxy Tab, Nexus S 4G, Replenish, and Transform, and $833,076 of which
represents the award for the Galaxy Tab 10.1 (WiFi). See Dkt. 1931 at 16. Samsung has
already noted the absence of record support for finding willfulness that is prerequisite to any
23
In an effort to find some alternative basis for its request, Apple conjures other amounts totaling
$400 million. Mot. at 26-27. For example, $400 million represents 40% of Mr. Denisons
estimation of STAs total annual advertising budget; and $400 million roughly approximates
Apples advertising expenditures over four arbitrarily chosen years. Neither fact has anything to
do with the proper measure of any allegedly uncompensated harm to Apple, nor does Apples
reference to Samsungs gross profits and revenuesacross all Samsung subsidiaries and all
Samsung products, many of which are not in any way implicated here.
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enhancement. See Dkt 1988 at 8-10; Dkt. 1990-3 at 15-16. This includes a threshold showing
that Samsungs infringement was objectively willful, In re Seagate Techs., LLC., 497 F.3d 1360,
1371 (Fed. Cir. 2007), a demanding standard that excludes instances where a reasonable litigant
could realistically expect [its] defenses to succeed. Bard Peripheral Vascular v. WL Gore &
Associates, 682 F.3d 1003 (Fed. Cir. 2012); see iLOR LLC v. Google, Inc., 631 F.3d 1372, 1378
(Fed. Cir. 2011). Here, Apple fails to show that Samsungs defenses to Apples patents,
particularly as to the utility patents likely invalidity, were unreasonable.
Moreover, because Section 284 speaks in discretionary terms, finding willfulness is
necessary but not sufficient to enhance. See Mentor H/S, Inc. v. Medical Device Alliance, Inc.,
244 F.3d 1365, 1380 (Fed. Cir. 2001); Read Corp. v. Portec, Inc., 970 F.2d 816, 826 (Fed Cir.
1992) (finding of willfulness does not mandate that damages be enhanced, much less mandate
treble damages.); Modine Mfg. Co. v. Allen Group. Inc., 917 F.2d 538, 543 (Fed. Cir. 1990).
Accordingly, courts frequently deny enhancement despite finding willfulness. See, e.g., Funai
Elec. Co., Ltd. v. Daewoo Elec. Corp., 593 F. Supp. 2d 1088 (N.D. Cal. 2009), affd 616 F.3d
1357 (Fed. Cir. 2010); Brooktree Corp. v. Adv. Micro Devices, Inc., 977 F.2d 1555, 1581-82 (Fed.
Cir. 1992); Modine Mfg, 917 F.2d at 543. The paramount determination is the egregiousness
of the defendants conduct based on all the facts and circumstances. Read, 970 F.2d at 826.
Supposed Evidence of Copying. Apples purported evidence of deliberate copying
amounts to far less than it claims. See Creative Internet Advertising Corp. v. Yahoo! Inc., 689 F.
Supp. 2d 858, 863-64. (E.D. Tex. 2010) (evidence supporting strong inference of copying still did
not demonstrate deliberate copying under Read); Judkins v. HT Window Fashions Corp., 704 F.
Supp. 2d 470 (W.D. Pa. 2010); Hako-Med USA, Inc. v. Axiom Worldwide, Inc., 2009 WL
3064800, at *6 (M.D. Fla. Sept. 22, 2009). Most of the documents cited by Apple show
comparative analysis or benchmarking of competitor products that is typical of all companies,
including Apple. See, e.g., DX687; DX717. Certain documents, like PX34, are not even from
the business unit that designs and develops Samsungs products; rather, they come from the
division that manufactures components for Apple, and merely identify iPhone-related issues that
may affect manufacturing trends. And much of what Apple cites as evidence of alleged copying
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relates to Apples hardware and GUI design patents (Mot. at 16-17 (citing PX3, PX6, PX40, RT
2530:10-2531)); awards relating to these patents are not subject to enhancement. Finally, to the
extent design-related documents may be relevant, whereas the jury was not permitted to consider
evidence that Samsungs smartphone designs date back to 2006, before the iPhones
announcement and release (Dkt. 1970 at 11-18 (detailing Samsungs prior smartphone
development efforts); Dkt. 1970-26 (Samsungs Korean Patent No. 30-0452985, covering
independently developed designs)), the Court should account for these documents as undermining
the copying allegations. See Advanced Cardiovascular Inc. v. Medtronic, Inc., 265 F.3d 1294,
1311 (Fed. Cir. 2001); Judkins, 704 F. Supp. 2d at 483.
Absence of Notice/Bad Faith. With the possible exception of the 381 patent, Samsung
did not receive any specific notice of the patents and accused products before Apple filed suit.
PX52; RT 1964:20-1968:11 (Mr. Teksler admitting that other utility and design patents and trade
dress were not identified or mentioned in Apples 2010 presentation to Samsung). Even as to the
381 patent, the parties first meeting took place monthsnot yearsbefore suit was initiated.
These facts differentiate this case from those enhancing damages against infringers who were
repeatedly notified that their products infringed on Plaintiffs patents but continued to engage
in their tortious conduct over the course of a number of years. Wordtech Sys., Inc. v. Integrated
Network Solutions, Inc., 2009 WL 113771, at *2 (E.D. Cal. 2009).
Apple is wrong to accuse Samsung of litigation misconduct as a basis for enhancement.
Mot. at 19-22. The alleged copying documents Apple cites did not correlate with the patents and
features at issue here, and were produced beginning in December 2011 and all turned over before
discovery closed. See Dkt. 1992 at 7. Apples argument that Samsung was sanctioned ignores
this Courts finding that discovery sanctions are litigation related conduct, which does not serve
as the main basis for a willful infringement finding. Dkt. 1267 at 5. Apple also ignores that
Judge Grewal made no finding that Samsung acted in bad faith, and in two instances expressly
found that Apple failed to show bad faith. Dkt. 880 at 15; Dkt. 898 at 6. Prior imposition of
sanctions, unadorned by any finding of bad faith, should not be double counted as grounds for
still more and harsher sanctions. See Funai, 593 F. Supp. 2d at 1115; Mass Engineered Design,
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Inc. v. Ergotron, 663 F. Supp. 2d 361, 391-92 (E.D. Tex. 2009). Similarly, in relying on
Samsungs release of excluded evidence, Apple ignores that (i) the Court has already denied
Apples motion for sanctions based on this very conduct (RT 574:4-9); (ii) the Court polled the
jurors and concluded that the publication of evidence had no effect (RT 578:10-590:16); and (iii)
in all events, the evidence in question had previously been publicly filed and discussed at length in
open court and resulting media coverage. Dkt. 1533.
24
Apple also ignores the many instances where it was found to have delayed and obstructed
Samsungs discovery, necessitating multiple successful motions to compel (Dkt. Nos. 233, 292,
398, 536, 673 at 15-23, 821), motions to enforce (Dkt. Nos. 673 at 23-28, 867, 1213), and motions
for sanctions (Dkt. Nos. 1144, 1213). Kowalski, 2009 WL 855976, at *2 (factor is neutral where
both parties were responsible for impeding discovery). Indeed, this Court on multiple occasions
criticized Apple for litigation misconduct. See, e.g., Dkt 404, Tr. 63:13-22 (Court criticizing
Apple counsels instructions to witnesses during depositions); Dkt. 1164, Tr. 145:7-146:15; 147:4-
20 (expressing frustration with Apples refusal to schedule depositions requested by Samsung);
148:3-10 (expressing frustration at how Apple stiffed [Samsung] on transcripts)). In addition,
Apple obstructed discovery by
See Pierce Decl. Exs. 22-44; Dkt. 2042
at 3, n.1.
Samsungs Finances Do Not Warrant Enhancement. While a companys finances can
be mitigating to avoid crippling its business, the opposite is not true. Power Integrations, Inc. v.
Fairchild Semiconductor Inc., 762 F. Supp. 2d 710, 722 (D. Del. 2011) (citing cases).
Samsung Had Reasonable Defenses. This Court repeatedly noted that neither party was
24
As to witness lists, the Court ordered both parties, not just Samsung, to reduce the number of
witnesses on their respective lists to 50 live witnesses and 45 deposition designations. Dkt. 1267
at 2; Dkt. 1272 (July 18 Tr.) at 18:13-23 (describing both parties lists as not realistic). Nor
was Samsungs Appendix to its revised witness list improper. The documents title makes clear
that it was intended simply to preserve appellate recourse. Dkt. 1278 at 20.
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assured of victory and both faced exposure. See RT 2660:25-2661:15 (Court noting there were
risks here for both sides). This Court similarly recognized that Samsungs infringement of the
D087 and D677 patents was a close question. Dkt. 452, at 26, 27, 37, 38. The jury found
that a claimed Apple trade dress was not protectable, two of Apples four asserted trade dresses
were not diluted or infringed, the D889 patent was not infringed; and the majority of accused
Samsung products did not infringe the D087. Dkt. 1931 at 6, 7, 10. The persistence of
substantial questions of validity, infringement and enforceability through trial indicates closeness
that weighs against enhancement. See Judkins, 704 F. Supp. 2d at 481; Telecordia v. Cisco, 592
F. Supp. 2d 727 (D. Del. 2009). Nor do the jurys ultimate findings of infringement make
Samsungs defenses unreasonable. See, e.g., DePuy Spine, Inc. v. Medtronic Sofamor Danek,
Inc., 567 F.3d 1314, 1337 (Fed. Cir. 2009) (The mere fact that the jury ultimately found
equivalence does not diminish the difficulty of their task . . . .); Spine Solutions v. Medtronic
Sofamor Danek USA, 620 F.3d 1305, 1319-20 (granting JMOL of no willfulness based on a
reasonable obviousness defense, despite substantial evidence to support the jurys implicit
finding of nonobviousness).
The Duration Of Infringement Does Not Support Enhancement. Apple argues that
Samsung has been infringing for more than two years since being notified of its infringement
(Mot. at 22), but that claim is based solely on the 381 patent, which was first presented some
months (August 2010), not years, before suit was filed. PX 52.14. And as Apple is aware,
Samsung has long since designed around the 381 and 163 patents. Apples other patents were
not asserted until this litigation began in April 2011. Moreover, Apple did not accuse the Galaxy
SII devices of infringing Apples design patents until March 4, 2012. See Dkt. 1185-3, at 10-13.
Samsungs Intent and Remedial Action Weigh Against Enhancement. Samsung will by
the time of the hearing have either designed around or discontinued the products found to infringe.
Prior to the verdict, Samsung believed in good faith that Apples patents were invalid and not
infringed. See Kowalski, 2009 WL 855976, at *3. Only a specific intent to harm Apple,
beyond simply gaining market share through vigorous competition, would support enhancement.
See Power Integrations, 762 F. Supp. 2d at 724; Baden Sports, Inc. v. Kabushiki Kaisha Molten,
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ENHANCEMENT
2007 WL 2790777 (W.D. Wash. 2007), at *5. This requires showing that Samsung had a
specific intent to steal from Apple as opposed to a sincere belief in a legitimate argument that
[it] was acting lawfully. Mass Engineered, 633 F. Supp. 2d at 391. Yet the documents Apple
cites show nothing more than robust competition or, as even Apple puts it, desire to go head to
head with Apple in [the smartphone] market. Mot. at 23.
Samsung Has Not Attempted To Conceal Misconduct. Apples claim that Samsung
attempted to conceal its misconduct does not square with its repeated claims that Samsung has
flooded the market with millions of copycat products. Mot. at 13, 25. Moreover, Samsung
obtained its own smartphone and tablet-design patents in full public view, citing certain Apple
patents in applying for its design patents and obtaining patents over them. Dkt. 1970 at 8-10.
Whatever Apples complaints about Samsungs conduct, that conduct was anything but concealed.
In sum, the Read factors, if reached, weigh against any enhancement as to the $10,013,200
that is even arguably eligible for enhancement under the Patent Act. And the remaining
$91,132,279 of the award that Apple might try to spotlight as an eligible baseline for
enhancement, specifically under the Lanham Act, is of a pieceeither insusceptible to or else
undeserving of any enhancement for the reasons stated above.
DATED: October 19, 2012 QUINN EMANUEL URQUHART &
SULLIVAN, LLP
By /s/ Susan R. Estrich
Charles K. Verhoeven
Kathleen M. Sullivan
Kevin P.B. Johnson
Victoria F. Maroulis
Susan R. Estrich
Michael T. Zeller
Attorneys for SAMSUNG ELECTRONICS CO.,
LTD., SAMSUNG ELECTRONICS AMERICA,
INC., and SAMSUNG
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DECLARATION OF TLIN ERDEM
nd
Floor
Telephone: (415) 875-6600
Facsimile: (415) 875-6700
th
Floor
Telephone: (650) 801-5000
Facsimile: (650) 801-5100
Telephone: (213) 443-3000
Facsimile: (213) 443-3100
Plaintiff,
vs.
Defendants.
DECLARATION OF TLIN ERDEM IN
SUPPORT OF SAMSUNGS OPPOSITION
TO APPLES MOTION FOR A
PERMANENT INJUNCTION
FILED UNDER SEAL
HIGHLY CONFIDENTIAL-
ATTORNEYS EYES ONLY
PUBLIC REDACTED
VERSION
Case5:11-cv-01846-LHK Document2054-1 Filed10/19/12 Page1 of 37
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Highly Confidential Attorneys Eyes Only
-2-
I, TLIN ERDEM, declare as follows:
I. QUALIFICATIONS AND STATEMENT OF ASSIGNMENT
A. Qualifications
1. I am the Leonard N. Stern Professor of Business Administration and Professor of
Marketing at the Stern School of Business, New York University. I previously served as the Co-
Director of the Center for Digital Economy Research and the Director of the Stern Center for
Measurable Marketing.
2. Before joining the Stern School of Business in 2006, I was the E.T. Grether
Professor of Business Administration and Marketing at the Haas School of Business, University of
California at Berkeley. I joined the Haas School of Business in 1993 and served as the Associate
Dean for Academic Affairs and the Marketing Group Chair, the Ph.D. Director at the Haas School
of Business and the Chair of the campus-wide Committee on Research (COR) at the University of
California, Berkeley. I was also the Berkeley representative at the University of California
system-wide Committee on Research.
3. I hold a BA from %RD]LFL8QLYHUVLW\DQGDQ0$LQ(FRQRPLFVDQGD3K'LQ
Business Administration, with a major in marketing and minors in economics and statistics, from
the University of Alberta. My research interests include advertising, brand management and
equity, consumer behavior and choice, decision-making under uncertainty, econometric modeling,
marketing mix effectiveness, marketing research and pricing. I have published several papers in
top field journals and have received best paper awards, as well as major research grants, including
two major National Science Foundation (NSF) grants.
4. I served as the editor-in-chief of the Journal of Marketing Research, the preeminent
academic journal of the American Marketing Association, which publishes work on consumer
behavior, marketing science models, marketing strategy and marketing research methodologies. I
also served as an Area Editor at Marketing Science and Associate Editor at Quantitative Marketing
and Economics and the Journal of Consumer Research. I serve as an editorial board member of
many scholarly journals, including Journal of Consumer Research, Journal of the Academy of
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Marketing Science, Marketing Letters and International Journal of Research in Marketing. I also
was the President of the INFORMS Marketing Society (ISMS).
5. As a professor, I have taught branding, brand and product management, marketing
management and international marketing in undergraduate, MBA and executive education
programs. I also have taught doctoral seminars on consumer choice modeling and empirical
modeling.
6. From 2008 to 2012, I was an Academic Partner at Prophet, a branding and
marketing consultancy firm.
7. A complete list of my publications, honors, awards and professional activities is
provided in my CV, attached in Exhibit 1.
B. Assignment
8. I have been retained by Quinn Emanuel Urquhart & Sullivan, LLP on behalf of
Samsung Electronics Co., Ltd., Samsung Electronics America, Inc., and Samsung
Telecommunications America, LLC (collectively, Samsung) in this matter to provide this
declaration and, if needed, testimony relating to Apple, Inc.s (Apple) request for a permanent
injunction that would exclude a number of Samsung smartphones and tablets from the U.S. market
due, in part, to the alleged infringement of three utility patents owned by Apple. The three utility
patents at issue in this proceeding are: (1) United States Patent No. 7,844,915 (the 915 patent);
(2) United States Patent No. 7,864,163 (the 163 patent); and (3) United States Patent No.
7,469,381 (the 381 patent).
9. My assignment is to explain, based on my expertise and the materials that I have
reviewed, consumer decision-making in connection with the purchase of complex devices
containing numerous, multi-level features/attributes (e.g., a smartphone or tablet). I will explain,
based on my expertise and the materials I have reviewed, the kinds of features/attributes that drive
consumer demand in the smartphone and tablet markets. Specifically, I have been asked to focus
on whether the Apple utility patents at issue in its permanent injunction motion (the 915, the 163
and the 381 patents) drive consumer demand for Samsung smartphones and tablets when
compared to non-infringing alternatives to those patents.
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10. Counsel has provided me with the descriptions/animations of Apples three utility
patents used by Professor John R. Hauser in his conjoint analysis.
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Counsel also has provided me
with a Galaxy SII Epic 4G Touch device so that I can examine the design-arounds on the 381 and
163 patents. Based on this and the other materials provided, I was asked to determine what
conclusions I can reach regarding the likely effect (if any) on consumer decision-making of
products being offered with the functionalities included in Prof. Hausers survey as opposed to the
design-around functionalities.
11. In connection with the assignment, I will assume that Prof. Hausers representation
of the Apple patents in his survey is accurate (although I understand that Samsung disputes this). I
will rely on the information and descriptions contained in the declarations of Mr. Stephen Gray
and Dr. Andries van Dam as accurate reflections of Samsungs preferred non-infringing
alternatives.
12. In preparing this report, I have reviewed documents produced by both Samsung and
Apple, as well as the testimony of certain Apple witnesses. A list of materials that I relied upon in
reaching my conclusions is provided in Exhibit 2.
13. At any hearing on this motion, I expect to use exhibits in support of my testimony
consisting of documents produced during discovery of this case, or excerpts or enlargements of
them. I also expect to prepare and use demonstrative exhibits to help me to explain opinions that
are contained in this declaration. In the event I am provided with additional relevant materials, I
reserve the right to supplement this declaration with additional conclusions, bases, and/or
supporting material.
14. I am compensated at my standard rate of $900 per hour, plus expenses, for my
work in this case. The opinions I express in no way are contingent on the compensation I will
receive.
II. OVERVIEW OF OPINION
15. In forming my opinions,
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Expert Report of John R. Hauser, March 22, 2012 (Hauser Report).
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a. I have applied well-accepted and published theories and conceptual
frameworks in marketing (such as conceptual frameworks of consumer
decision-making).
b. I have relied upon Apple and Samsung internal marketing research
documents, other marketing materials produced in this case, as well as my
own background research about the industry and industry reports, to apply
these frameworks to the facts at issue in the case.
16. Based on my expertise in consumer decision-making and choice, as well as the
materials I reviewed, my opinions can be outlined as follows:
i. Smartphones and tablets incorporate numerous features/attributes, each of
which consists of many sub-features and/or contributing elements.
ii. In making purchase decisions concerning smartphones and tablets,
consumers base their decisions on only a subset of all of the available
features/attributes (rather than the set of all features/attributes and sub-features).
The relevant set of determinative features/attributes and the manner in which they
are weighed vary across consumers. In considering the purchase of a smartphone
or tablet, consumers do not separately evaluate each sub-feature.
iii. Apples utility patents at issue in its motion (the 915, the 163 and the 381
patents) relate to three functionalities that are properly considered a subset (or sub-
feature) of a main feature/attribute of a smartphone or tablet.
iv. The functionalities embodied in these three patents are not independently or
separately considered in consumer purchase decisions and do not drive consumer
demand for Samsung smartphones and tablets.
iv. From the consumers perspective, the functionalities provided by design-
arounds that are available to Samsung for the functionalities embodied by the
patents at issue perform the relevant functions in ways that are indiscernible or
minimally discernible to the end consumer compared to the use of the patents at
issue. Given that these three functionalities do not drive consumer demand,
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different (and minor) variations of how these functionalities are offered (i.e., as
implemented through available design-arounds) cannot be expected drive consumer
demand either.
III. PATENTS-AT-ISSUE
A. 915 Patent
17. Issued on November 30, 2010, the 915 patent is entitled Application
Programming Interfaces for Scrolling Operations.
2
Based on my review of the Declaration of
Stephen Gray dated October 18, 2012, I understand that the 915 patent covers a specific
technique for distinguishing between scrolling and zooming operations on a touchscreen device,
and the technique requires a specific test to be performed in the Android software. For example,
scrolling moves the content on the touchscreen the same direction the user moves her finger, and
zooming makes the content smaller or larger depending on whether a user moves her fingers
closer together or farther apart. It is my understanding that Apple has accused the Web Browser
application in Samsungs smartphones/tablets of infringement.
18. It is my understanding that Samsungs software has been modified to remove the
specific test required by the 915 patent. The design-around software uses a different technique to
allow for scrolling and zooming operations. Although the software has been changed, I
understand from the Gray Declaration that the user experience remains essentially the same. That
is, a user will still be able to scroll with a single finger and zoom with two fingers using the
design-around software.
B. 163 Patent
19. Issued on January 4, 2011, the 163 patent is entitled, Portable Electronic Device,
Method, and Graphical User Interface for Displaying Structured Electronic Documents.
3
20. Based on my review of the Gray Declaration, I understand that the 163 patent
covers the following two steps. First, a user taps (or double taps) on a first box of content on a
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U.S. Patent 7,844,915.
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U.S. Patent 7,864,163.
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touchscreen (e.g., an article on the New York Times webpage). In response, the first box of
content is enlarged and substantially centered on the touchscreen. Second, after the first box of
content has been enlarged and centered, the user taps (or double taps) on a second box of content
(e.g., a second article that appears below the first article on the New York Times webpage). In
response, the second box of content is substantially centered on the touchscreen. It is my
understanding that Apple has accused the Web Browser application in Samsungs
smartphones/tablets of infringement.
21. I understand from the Gray Declaration that Samsung has implemented a design-
around to avoid the practice of the 163 patent. Under the design-around, when a user single taps
on the second box, nothing happens. If the user double taps on the second box, the entire webpage
zooms out. In both cases, the second box is not substantially centered on the touchscreen as a
result of the second tap/double tap. In preparing this declaration, I used a smartphone that
included this design-around functionality.
C. 381 Patent
22. Issued on December 23, 2008, the 381 patent is entitled, List Scrolling and
Document Translation, Scaling, and Rotation on a Touch-Screen Display.
4
23. Based on my review of the Declaration of Andries van Dam dated October 18,
2012, I understand that '381 patent claims a snap-back functionality where, if the user translates an
electronic document beyond the edge of that document, an area beyond that edge will be
displayed. When the user lifts her finger from the touch screen, the document will snap back, such
that no area beyond the edge of the document remains in view. It is my understanding that Apple
has accused the Gallery, Web Browser and Contacts applications in Samsungs
smartphones/tablets of infringement.
24. I understand from the van Dam Declaration that the blue glow feature designs
around the 381 patent. Under this design-around, when the user scrolls to the edge of a
document, the document comes to a stop and a blue glow animation appears near the edge of the
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U.S. Patent 7,469,381.
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document. An area beyond the edge of the document never appears. When the user lifts her
finger, the blue glow disappears. In preparing this declaration, I used a smartphone that included
this design-around functionality.
IV. CONCEPTUAL FRAMEWORK
A. Product Features, Attributes and Benefits
25. Products can be conceptualized as bundles of attributes (alternately called features)
that provide benefits or costs (such as price) to consumers.
5
Benefits associated with those
attributes sought by consumers could be functional (e.g., acceleration in a car),
emotional/experiential (e.g., how driving a certain brand of car can make the driver feel excited
and exhilarated) and/or self-expressive/symbolic (e.g., one consumer may express her frugality or
patriotism by owning a Saturn; another consumer may express her being hip and well-to-do by
owning a BMW).
6
26. Some attributes (such as quality) are vertically differentiated rather than being
horizontally differentiated. Vertical attributes of products are ones that consumers would prefer
more of, ceteris paribus (that is, keeping everything else constant). For example, keeping
everything else including price constant, people would prefer higher quality over lower quality.
This is not true for horizontally differentiated product attributes. Some people may prefer butter
with popcorn, some may not; some may prefer one color over another.
7
27. A brand is defined as a name, term, sign, symbol, or design, or combination of
them, which is intended to identify the goods or services of one seller or group of sellers and to
differentiate them from those of competitors.
8
Brand franchise
9
refers to consumer loyalty
5
Lancaster, Kelvin (1966), A New Approach to Consumer Theory, Journal of Political
Economy, 74, 132-157.
6
Aaker, David A. (1991). Managing Brand Equity. New York: The Free Press.
7
Tirole, J. (1990). The Theory of Industrial Organization. Cambridge, MA: MIT Press.
8
Kotler, Philip (1997). Marketing Management. New Jersey: Prentice Hall, p.443.
9
Franchise also has a specific meaning in channels and distribution. It refers to the
arrangement between a brand name manufacturer and a wholesaler or retailer that gives the
wholesaler or retailer the exclusive right to sell the brand manufacturer's product in a specific
territory. This arrangement is usually established by contractual agreement over a period of time.
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toward a brand. All the products sold under the same brand name, that is, products that share the
same umbrella brand,
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are part of a brands franchise since consumer loyalty is geared towards
all the products under the same brand name.
B. Consumer Decision Processes & Purchase Behavior
28. Consumer decision processes in regard to consumer purchases or choices are
typically conceptualized to have five steps: need arousal, information search, evaluation, purchase
and post-purchase.
11
Factors such as the degree of involvement, the type of product, and past
experience affect whether certain steps are skipped or how important each step is in the
decision-making process. To give an extreme example, in impulse purchases, a consumer may
jump from need arousal to purchase.
29. Consumers may use multiple information sources: individual marketing mix
elements of a firm (e.g., advertising), brands, their own past experiences, word of mouth,
salespeople, third-party information providers, etc.
30. Consumers evaluate products to form perceptions about product attributes and
benefits, as well as to formulate their preferences. Consumers develop perceptions about the
levels of attributes, which are weighted according to their preferences (that is, importance weights
attached to perceived attribute levels). For example, a consumer may attach a higher importance
weight to the cavity-fighting attribute of a toothpaste than to the teeth whitening attribute.
Likewise, some consumers may attach a high importance weight to (i.e., have a preference for) the
organic attribute of food products, while other consumers may not. The evaluation of the choice
alternative, or the utility consumers derive from that choice alternative, is the sum of these
perceptions weighted by their relative importance (importance weights).
10
For example, Gucci (e.g., hand bags, fashion eye glasses, watches), Dove (soap,
moisturizer, liquid dishwashing detergent), and Oral-B (toothpaste, toothbrush, mouthwash, dental
floss) are umbrella brands. See Erdem, Tlin (1998), An Empirical Analysis of Umbrella
Branding, Journal of Marketing Research, 35 (3), 339-351.
11
Lilien, Gary L. Philip Kotler and K. Sridhar Moorthy (1992), Marketing Models, New
Jersey: Prentice Hall.
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31. Consumers face multiple decisions in the purchase process. Besides the general
decisions of whether to buy, when to buy, and where to buy, there are also decisions such as how
much to buy (in frequently purchased product categories), which platform to buy (Windows vs.
Apple in PCs, or Apple IOS vs. Android in smartphones), and which features/attributes to consider
in forming overall evaluations about options. As a practical matter, some of these decisions can be
made simultaneously and others sequentially.
32. Not all consumers approach purchase decisions in the same manner, and different
consumers may follow different sequences in making purchase decisions. For example, a
Samsung marketing research document indicates that 55 percent of Samsung consumers and 35
percent of Apple consumers select the wireless service provider first and the mobile phone model
second, while 32 percent of Samsung consumers and 24 percent of Apple consumers select the
provider and phone simultaneously, and the remaining select the phone first and the provider
second.
12
33. In practice, consumers facing complex decision tasks often use heuristics to save on
costs of thinking (information processing costs).
13
For example, if there are many choices to
consider, they may first eliminate options using disjunctive rules (e.g., to exclude from
consideration any tablet that costs more than $300). Furthermore, if a product has multiple
features/attributes, consumers may focus only on a subset of features/attributes to evaluate and
compare options, and research has shown that consumers may consider a smaller subset of options
when the number of choices increases. For example, in one leading article, Payne (1976) asked
his subjects to choose among two, six or twelve hypothetical apartments.
14
Information was
available about each apartment with respect to either four, eight or twelve features/attributes of the
apartments such as rent, cleanliness, landlord attitude, noise level, etc. As the number of
12
Attitudes and Usage of Smartphone owners, Hall & Partners (SAMNDCA00252685-
775, at 760).
13
Shugan, Steven (1980), The Cost of Thinking, The Journal of Consumer Research, Vol.
7(2), 99-111.
14
Payne, J.W. (1976), Task Complexity and Contingent Processing in Decision-Making: An
Information Search and Protocol Analysis, Organizational Behavior and Human Performance,
16, 366-387.
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alternatives and/or the number of features/attributes increased, the subjects were progressively less
thorough in their inspections. Paynes results illustrate a commonly observed characteristic of
representation and evaluation of alternatives. They appear to include remarkably few of the
alternatives aspects and features/attributes. One explanation of this phenomenon is that people
have limited cognitive capacity, and the use of heuristics and selective consideration of
features/attributes simplifies decision-making processes.
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V. ANALYSIS OF SMARTPHONE AND TABLET PURCHASE DECISION-MAKING
34. Both smartphones and tablets are used in different contexts such as text messaging,
e-mailing, viewing/editing documents, and listening to music. For example, the Yankee Group
Samsung Strategy Session document
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identified key usage contexts for smartphones to be:
performing banking transactions, transferring money to friends or family, receiving or redeeming
coupons, mobile internet shopping, downloading graphics/logos/wallpapers, downloading ring
backs, downloading ring tones, receiving text alerts, posting/uploading photos to web, accessing
online community or social networking, locating points of interest, obtaining driving directions
(Location-based/GPS services), accessing and browsing of the internet, watching live TV,
watching video clips, listening to downloaded or sideloaded music, listening to streaming music,
downloading music, playing games, downloading games, taking pictures, participating/voting in
contests or polls, using push to talk (walkie talkie), instant messaging, accessing e-mail, video
messaging, picture messaging/MMS and text messaging/SMS.
35. Similarly, there are many activities corresponding to different usage contexts in
tablets, including:

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Yates, Frank, J. (1990). Judgment and Decision-Making. New Jersey: Prentice Hall.
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Yankee Group Samsung Strategy Session (SAMNDCA00250503-557, at 519).
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.
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36. Given the wide variety of uses, smartphones and tablets incorporate a very large set
of features/attributes to deliver the benefits and functionalities consumers seek.
A. Main Features/Attributes of Smartphones and Tablets
37. Both Apple and Samsung internal documents identify many main
features/attributes that may play a role in consumer decision-making concerning smartphones and
tablets.
38. With regard to smartphones, a recent iPhone Buyer Survey identified the following
features/attributes that are considered by consumers when choosing an iPhone:

.
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A Hall & Partners Study conducted for Samsung likewise
lists many features/attributes, each with multiple levels or sub-features such as voice features
(including speakerphone, voice dialing, memo), digital photography capabilities (including digital
camcorder, live TV, video call, video share...), MP3 player functionality (including direct
download, sideload), text messaging options (including multimedia, IM, Voice, T9 function), and
many others.
19
39. Similarly, many features/attributes contribute to consumer purchase decisions for
tablets. According to Apples iPad Tracking Study, the list of top features/attributes prompting
acquisition of tablets in the US include

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775, at 719-746).
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Q1 FY11 iPad Tracking Study (APLNDC-Y0000023730-907, at 816).
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Another Apple document reported that

1. Defining and Identifying Main Features/Attributes
40. The identification and definition of the full set of features/attributes for
smartphones and tablets are subject to some degree of ambiguity and subjectivity, because there is
no objective or universal set of features/attributes against which all smartphones and tablets are
evaluated. Given the ambiguities inherent in delineating relevant features/attributes, it can be
difficult to even provide a comprehensive list of features/attributes considered by consumers in
making purchase decisions.
41. Thus, even if one could compile a comprehensive list of features/attributes, it is
likely that the various features/attribute descriptions would be ambiguous and have different
meanings to different individuals or in different contexts. For example, the term ease of use
refers to the ease of use associated with keyboard and buttons in some documents,
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and the ease
of use associated with Internet features in others.
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As a result, even a comprehensive list will
likely have ambiguities.
42. A further complication in evaluating the importance of specific features/attributes
to consumer decision-making concerning smartphones and tablets is the fact that the complexity
and sheer number of features/attributes incorporated into smartphones and tablets mean it is not
uncommon for consumers to not even know whether they have a certain feature/attribute. For
example, the same smartphone survey conducted for Samsung referenced above notes that 30
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775, at 750).
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2009 Wireless Consumer Smartphone Satisfaction Study Volume 1, J.D. Power and
Associates (SAMNDCA00190144-243, at 195).
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percent of consumers surveyed did not know if their smartphone had a T9 function (a type of
predictive texting).
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2. Main Features/Attributes Consist of Many Sub-Features and
Functionalities
43. One of the main reasons that defining and characterizing the main
features/attributes of smartphones and tablets are difficult stems from the fact that each main
feature/attribute is really a combination of multiple sub-features and capabilities.
44. For example, Apples iPhone Product Marketing Manager Steven Sinclair testified
at his deposition that [t]here are a lot of features that contribute to ease of use, and if not done
correctly, those features can detract from ease of use;
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I dont believe weve broken down
features in a way that tie directly to ease of use;
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and All of the features contribute to ease of
use.
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45. Due to these circumstances, companies selling complex devices such as
smartphones and tablets use general descriptions to refer to groups of features/attributes, and the
combination of sub-features therein, in most of their consumer research. Apple, for example, uses
the following as descriptions of groups of attributes in its surveys and research of consumer
preferences for iPhone attributes: easy to use, service and support, (Trust) Apple brand, quality of
apps, battery life, value for price paid, quantity of apps, attractive appearance and design, ability to
sync iPhone content, camera with LED flash, retina display, HD video recording and FaceTime
video calling.
29
46. Consequently, the consumer research available from Apple and Samsung has been
conducted in such a manner that it will rarely (if ever) be possible to link a specific patent of the
types at issue here to a feature/attribute contained in their consumer research, especially in a
25
775, at 729).
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Deposition of Steven Sinclair, April 4, 2012 (Sinclair Deposition), at p. 59.
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iPhone Buyer Survey Q3 FY11 (APLNDC-Y0000027506-599, at 523).
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manner that would reasonably permit one to conclude that the patent was having an impact on
consumer demand.
B. Consumers Do Not Consider All Main Features/Attributes in Making
Purchase Decisions
47. Academic literature recognizes that in complex decision environments consumers
focus on a limited set of attributes for comparative purposes when making purchase decisions.
For example, consumers cannot take into consideration all features/attributes when they are so
numerous, as they are in smartphones and tablets (as described above).
48. Given the many features/attributes of smartphones and tablets, main purchase
drivers are often centered on main benefit groups. For example, Apple internal consumer research
suggests that the reasons for purchasing an iPhone are focused on

49. Apples documents reflect Apples recognition that consumers ignore the majority
of features/attributes. Indeed, Apples surveys do not even test a majority of them. For example,
when comparing consumer preferences for different attributes of the iPhone 4,

. Nor should they be mentioned because, as discussed
above (and as implicitly recognized by Apples market research), they will have no impact on
consumer decision-making.
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50. Surveys also reflect that there are differences in importance weights (preferences
for) attached to features/attributes among different phone users. For example, one Samsung
survey notes that iPhone owners put more importance on the brand of the smartphone than owners
of other brands of smartphones.
33
C. Consumers Do Not Base Purchase Decisions on Functionalities
Associated with the Patents at Issue
51. The utility functions covered by the 915, the 163 and the 381 patents are very
specific and do not belong to the main set of features/attributes that I describe above as driving
consumer decision-making. They may be a part of a main feature/attribute such as ease of use,
along with numerous other sub-features, but there are simply too many sub-features in these
complex devices for consumers to evaluate each one separately and consider them as a factor in
their decision-making.
52. The Apple and Samsung internal materials I have reviewed do not attempt to
directly study the effect of such narrowly defined utility functions on consumer choice (and,
hence, demand). I have reviewed the conjoint study conducted by Apples expert witness Dr.
Hauser, which purports to be directed at the functions at issue here. I understand that Samsung
retained Dr. Yoram (Jerry) Wind to comment specifically on the conjoint study conducted by
Dr. Hauser. I have reviewed Dr. Winds declaration. I do not believe that Dr. Hausers reported
results accurately reflect consumer decision-making in the selection of smartphones or tablets.
53. I understand that Apples expert witness Terry Musika cited the Browser Zooming
Methods UX Exploration Study
34
as evidence of the importance of the features embodied by the
915, 163 and 381 user interface patents (which are only a few of the many sub-features of
features or attributes like ease of use or touchscreen).
35
However, Mr. Musikas reliance on this
evidence is misplaced for a number of reasons. First, this document is only even arguably relevant
33
775, at 760).
34
PX38 (Browser Zooming Methods UX Exploration Study, April 17, 2009,
SAMNDCA11104115-139 at 133).
35
Declaration of Terry Musika in Support of Apples Motion for Permanent Injunction,
August 29, 2012.
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to the 163 patentit does not relate to the other two patents. Second, these were very small
sample size studies (e.g., 8 out of 9 respondents preferred the double-tap zooming). Third, the
Browser Zooming Methods UX Exploration Study explicitly noted that the data and
interpretations were qualitative and no statistical analysis was done.
36
Impromptu samples were
used, and these samples were drawn from messaging device usability studies that did not
correspond to mobile internet users.
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Fourth, there were no working prototypes ([p]aper
prototyping has limitation on expression of dynamic interaction of zooming concepts
38
). Finally,
it is my understanding, based on the Gray Declaration, that the 163 patent is narrower than
double tap to zoom.
54. Mr. Musika also cited the 2010 Behold3 Usability Evaluation Results Report
that found iPhone: Generates fun for the user with a visual element that seems to bounce
Direction for improvement: Provide a fun visual effect when dragging a web page.
39
This report
identified 75 issues associated with different features/sub-features. This particular visual fun
element was one of the 75+ issues noted.
40
55. In his declaration, Mr. Musika refers to third-party reports that note a better
browsing experience on the iPhone compared to Samsung. Mr. Musika, for example, quotes a
Gravity Tank report saying that the iPhone is sexy to use.[Consumers] experience is almost
cinematic. Fun. Gestures like two fingered pinch and flick add a game-like quality to
interaction Whimsical. Lists bounce, icons flitter.
41
56. Having fun while using a device could be one of the experiential attributes of a
product (although none of the consumer studies looked at a fun attribute in smartphones).
36
PX38 (Browser Zooming Methods UX Exploration Study, April 17, 2009
(SAMNDCA11104115-139, at 120).
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(SAMNDCA11104115-139, at 120).
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(SAMNDCA11104115-139, at 120).
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PX46 (Behold3 Usability Evaluation Results, at SAMNDCA00508336-441, at 383).
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PX46 (Behold3 Usability Evaluation Results, at SAMNDCA00508336-441).
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Musika Declaration, at Exhibit 51.
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However, any such attribute, especially in categories that involve complex devices, is, for practical
purposes, composed of so many dimensions that it is impossible to talk about the individual sub-
dimensions of Apple iPhone is fun or Apple is fun or to meaningfully link any of the
functionalities covered by the patents at issue to this experience. Apple may have a fun
association with consumers due to many different influences, including advertising campaigns.
57. In light of the foregoing, none of the evidence cited by Mr. Musika provides a
meaningful link between the practice of the specific patents at issue and consumer purchase
decisions.
58. Based on all the materials I reviewed, I do not find any credible evidence that the
Apple utility patents at issue here drive consumer demand for Samsung smartphones and tablets.
Indeed, these patents do not even qualify to be a feature/attribute (such as size/weight,
connectivity, etc.) upon which consumers evaluate these products in purchase decisions. These
are only three of the innumerable sub-features that are associated with the broader attributes, such
as ease of use or ease of navigation using a touchscreen, that market research tests. I conclude that
consumers base their decisions on a subset of main features/attributes (rather than the set of all
features and sub-features) in smartphone and tablet markets, and that the utility patents at issue in
Apples permanent injunction motion (the 915, the 163 and the 381 patents) do not drive
consumer demand for Samsung smartphones or tablets.
D. Samsung Design-Around for the Patented Inventions Would Effectively
Neutralize Any Demand Effects Relating to the Patents-at-Issue
59. As explained above, smartphones and tablets have too many sub-features such as
the ones embodied by the 915, 163 and 381 user interface patents for the functionality covered
by these specific patents to be drivers of consumer demand. However, for purposes of discussion,
let us assume that consumers are aware of and distinctly form perceptions of these three sub-
features. If these sub-features did significantly contribute to, for example, overall ease of use
perceptions, we would expect to observe higher ratings of features/attributes such as ease of
navigating the phone using touchscreen associated with Samsung phones accused of infringing
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versus those that are not accused of infringing. Third-party research
42
shows that the ease of
touchscreen navigation, as well as overall ease of use, was rated by consumers slightly better for
Samsung Behold II, Moment and Instinct models, which were not accused of infringing, than for
Epic 4G, which was accused of infringing the 163, 381 and 915 patents.
43
This is inconsistent
with the idea that these patents drive demand for the accused products.
60. As described above, I have reviewed information regarding the design-arounds for
the products accused of infringing the 163, 381 and 915 patents. As part of my assignment, I
was provided a Samsung Galaxy II Epic 4G Touch (Sprint) that allowed me to experience any
potential differences between a Samsung smartphone with 163 and 381 design-around
functionalities versus the functionalities depicted in the videos used by Dr. Hauser. I also own an
iPhone 4S.
61. Based on my review of the Gray and van Dam Declarations, I understand that the
design-arounds are aimed to fulfill the functions performed by the utility patents at issue. In the
case of the 915 patent, I understand a user will still be able to scroll using a single finger and
zoom using two fingers using the design-around software. In the case of the 163 and 381
patents, the differences in user experience between the design-arounds (as described in paragraphs
21 and 24, respectively) and the patented attributes are minor. I am unaware of any consumer
studies aiming to measure consumer sentiments in regard to different ways of providing the same
type of these functionalities, that is, snap-back vs. blue glow and double tap to zoom (and
center) vs. double tap to zoom out the whole page, without the second box being centered
substantially. However, as described above these three functionalities do not drive consumer
demand; different variations of how these functionalities are offered cannot drive consumer
demand either.
42
2011 Wireless Smartphone Satisfaction Study, J.D. Powers and Associates
(SAMNDCA10246338-445 at 445).
43
The model that faired best among the eight listed in the study was the Vibrant. The
Vibrant was accused of infringing all three patents at issue, but I understand that it was found not
to infringe the 163 patent at trial. It is worth noting that this model rated better on many non-
touchscreen related features, too.
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62. As I have previously described in paragraph 25 of this report, features/attributes
offer benefits (or costs as in the case of price) to consumers. The patented functionalities and the
Samsung design-arounds are geared towards providing consumers essentially the same benefits
and similarly contribute to the overall user experience. Because the patents at issue (and their
associated design-arounds) are a tiny set of all features/attributes that contribute to the benefit of a
desirable user experience, whatever minor differences exist between them are highly unlikely to
affect any consumers decision-making.
I declare under penalty of perjury under the laws of the United States of America that the
foregoing is true and correct.
Executed on October 19, 2012 at New York, New York.
By
Tlin Erdem
EXHIBIT 1
CURRICULUM VITAE
Tlin Erdem
Leonard N. Stern Professor of Business and Professor of Marketing
Leonard N. Stern School of Business
New York University
913 Tisch Hall, 40 West Fourth Street
New York, New York 10012-1126
Tel: 212 998 0404, Fax: 212 995 4006
E-mail: terdem@stern.nyu.edu
EDUCATION
1993 Ph.D. Business Administration (major: Marketing), University of Alberta
1989 ABD Economics, University of Alberta
1987 M.A. Economics, University of Alberta
1986 B.A. (FRQRPLFV+RQRUV%RD]LoL8QLYHUVLW\
ACADEMIC POSITIONS
2006-present Leonard N. Stern Professor of Business and Professor of Marketing
Stern School of Business, New York University
2003-2006 E.T. Grether Professor of Business Administration and Marketing
Haas School of Business, University of California at Berkeley
1998-2003 Associate Professor (with tenure)
1993-1998 Assistant Professor
1989-1993 Graduate Assistant
Faculty of Business, University of Alberta
1986-1989 Research/ Teaching Assistant
Department of Economics, University of Alberta
AWARDS, HONORS, GRANTS
2008 Finalist, John D.C. Little Best Paper Award
2007-8 Outstanding Reviewer Award, Journal of Marketing
2003 Finalist, William ODell Best Paper Award
1998-2002 National Science Foundation (NSF) grant, SBR-9812067, $ 178,000.00
1998 AMA Doctoral Consortium Faculty Fellow (also in 2000, 2007-12)
1998 Finalist, Paul Green Best Paper Award
1996 Winner of John D.C. Little Best Paper Award
1996 Winner of Frank M. Bass Best Dissertation Paper Award
1995-7 National Science Foundation (NSF) grant SBR-9511280, $ 100,000.00
2
1994-5 Junior Faculty Research Grant, University of California, Berkeley
1994 Regents' Junior Faculty Fellowship, University of California, Berkeley
1993 Co-winner of the AMA John A. Howard Doctoral Dissertation Award
1993 Recipient of the Gold Medal of the Governor General of Canada, awarded for
academic excellence at the graduate level at Canadian Universities
1992 AMA Doctoral Consortium Fellow
1990-2 Domtar Ph.D. Fellowship, Faculty of Business, University of Alberta
PROFESSIONAL ACTIVITIES
Affiliations: American Economic Association, American Marketing Association,
Association for Consumer Research, Econometric Society, Institute for
Operations Research and the Management Sciences, Minnesota Supercomputer
Institute
Advisory Council: Journal of Marketing Research (2012-present)
Editor-in-Chief: Journal of Marketing Research (2009-2012)
Area Editor: Marketing Science (2002-2009)
Associate Editor: Quantitative Marketing and Economics (2003-present)
Associate Editor: Journal of Consumer Research (2005-2009)
Editorial Board Member: Academy of Marketing Science (2006-present), International
Journal of Research in Marketing (1996-present), Journal of Consumer Research
(2011-present), Journal of Marketing (2003-present), Journal of Marketing
Research (1998-2009), Marketing Letters (1996-present), Marketing Science
(1997-2009)
Ad-hoc Reviewer: ACR, AMA John A. Howard Doctoral Dissertation, American
Economic Review, Association for Consumer Research, California Management
Review, International Economic Review, Journal of Applied Econometrics,
Journal of Business and Economic Statistics, Journal of Econometrics, Journal of
Agricultural and Resource Economics, Journal of Economic Psychology, Journal
of Retailing and Consumer Services, OMEGA, Management Science, Marketing
Science Institute, NSF, Psychometrica, Review of Economics and Statistics
President-Elect: ISMS, INFORMS Society of Marketing Science (2004, 2005)
President: ISMS, INFORMS Society of Marketing Science (2006, 2007)
Past-President: ISMS, INFORMS Society of Marketing Science (2008, 2009)
3
Conference Organizations:
Co-Cahir, 2013 Marketing Science Conference
Co-Chair, 2010 Marketing Dynamics Conference
Co-Chair of Program Committee, Cheung Kong GSB Marketing Research
Forum, Beijing China, June 2009
Co-Chair, 2003 and 2008 QME (Quantitative Marketing and Economics)
Conference
Chair, Marketing Track, 2003 INFORMS International Meetings
Co-Chair, 2001 Tri-Annual Invitational Choice Symposium
Co-Chair, 1997 Marketing Science Conference
Member of the Steering Committee, 2004, 2007, 2010, 2013 Tri-Annual
Invitational Choice Symposium
Member of Advisory Committee, 2011 Marketing Dynamics
Conference
Member of Program Committee, 2006 Marketing Dynamics
Conference
Member of Program Committee, 2004, 2005, 2009 QME (Quantitative
Marketing and Economics) Conference
Member of Program Committee, 2005 ACR (Association for Consumer
Research) Conference
RESEARCH
Interests
Advertising and Pricing, Brand Equity, Branding Strategies, Econometric Modeling,
Individual Decision-Making and Choice, Marketing Science Models of Consumer
Behavior and Marketing Mix Strategy, Product Management and Strategy.
Refereed Publications
Erdem, Tlin and Sue Ryung Chang (2012), A Cross-Category and Cross-Country
Analysis of Umbrella Branding for National and Store Brands, Special 40
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Anniversary issue of Journal of the Academy of Marketing Science 40 (1), 86-101.
Shachar, Ron, Tlin Erdem, Gavan Fitzsimons, Keisha Wells (2011), Brands: The
Opiate of the Non-Religious Masses? Marketing Science 30, 92-110.
Erdem, Tlin, Michael Katz and Baohong Sun (2010) A Simple Test for Distinguishing
between Internal Reference Price Theories, Quantitative Marketing and
Economics 8, 303-332.
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Yang, Sha, Yi Zhao, Tlin Erdem, Ying Zhao (2010), Modeling the Intra-Household
Behavioral Interaction, Journal of Marketing Research, 47 (3), 470-484.
Ching, Andrew, Tlin Erdem and Michael Keane (2009), The Price Consideration
Model of Brand Choice, Journal of Applied Econometrics 24, 3 (March-April),
393-420.
Erdem, Tlin, Michael Keane and Baohong Sun (2008), A Dynamic Model of Brand
Choice When Price and Advertising Signal Product Quality, Marketing Science,
27 (6), 1111-1125. (Finalist for the Little Best Paper award).
Erdem, Tlin, Michael Keane and Baohong Sun (2008), Advertising and Consumer
Price Sensitivity in Experience Goods Markets, Quantitative Marketing and
Economics, 6 (2), 139-176.
Bronnenberg, Bart, Jean Pierre Dub, Carl Mela, Paulo Albuquerque, Tlin Erdem,
Brett Gordon, Dominique Hanssens, Guenter Hitsch, Han Hong, Baohong Sun
(2008), Measuring Long Run Marketing Effects and their Implications for Long
Run Marketing Decisions, Marketing Letters, 19(3), 367-82.
Swait, Joffre and Tlin Erdem (2007) Characterizing Brand Effects on Choice Set
Formation and Preference Discrimination under Uncertainty, Marketing Science
26 (5), 679-697.
Chintagunta, Pradeep, Tlin Erdem, Peter Rossi and Michel Wedel (2006), Structural
Modeling In Marketing: Review and Assessment, Marketing Science, 25 (6)
604-616.
Erdem, Tlin, Joffre Swait and Ana Valenzuela (2006), Brands as Signals: A Cross-
Country Validation Study, Journal of Marketing, 70 (1), 34-49.
Erdem, Tlin, Kannan Srinivasan, Wilfred Amaldoss, Patrick Bajari, Hai Che, Teck
Ho, Wes Hutchinson, Michael Katz, Michael Keane, Bob Meyer and Peter Reiss
(2005), Theory Driven Choice Models, Marketing Letters, 16 (3), 225-237.
Erdem, Tlin, Michael P. Keane, T. Sabri nc and Judi Strebel (2005), Learning
About Computers: An Analysis of Information Search and Technology Choice,
Quantitative Marketing and Economics 3 (3), 207-246.
Strebel, Judi, Tlin Erdem and Joffre Swait (2004), Consumer Search in High
Technology Markets: Exploring the Use of Traditional Information Channels,
Journal of Consumer Psychology 14, 96-103.
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Erdem, Tlin and Joffre Swait (2004), Brand Credibility and its Role in Brand
Choice and Consideration, Journal of Consumer Research 31 (1), 191-199.
Erdem, Tlin, Ying Zhao and Ana Valenzuela (2004), Performance of Store Brands:
A Cross-Country Analysis of Consumer Store Brand Preferences, Perceptions and
Risk, Journal of Marketing Research, 41 (1), 86-100.
Erdem, Tlin, Susumu Imai and Michael Keane (2003), A Model of Consumer
Brand and Quantity Choice Dynamics under Price Uncertainty, Quantitative
Marketing and Economics, 1 (1), 5-64. (Lead article.)
Erdem, Tlin and Baohong Sun (2002), An Empirical Investigation of Spillover
Effects of Marketing Mix Strategy in Umbrella Branding, Journal of Marketing
Research, 39 (4), 408-420.
Swait, Joffre and Tlin Erdem (2002), The Effects of Temporal Consistency of Sales
Promotions and Availability on Consumer Choice Behavior, Journal of
Marketing Research, 34 (3), 304-320.
Erdem, Tlin, Joffre Swait and Jordan Louviere (2002), The Impact of Brand Credibility
on Consumer Price Sensitivities across Multiple Product Categories,
International Journal of Research in Marketing, 19 (1), 1-19 (lead article).
Erdem, Tlin, Glenn Mayhew and Baohong Sun (2001), Understanding the
Reference Price Sensitive Shopper: A Within and Cross-Category Analysis,
Journal of Marketing Research, 38 (4), 445-457.
Erdem, Tlin and Baohong Sun (2001), Testing for Choice Dynamics in Panel
Data, Journal of Business and Economic Statistics, 19 (2), 142-152.
Erdem, Tlin, Joffre Swait, Susan Broniarczyk, Dipankar Chakravarti, Jean-Noel
Kapferer, Michael Keane, John Roberts, Jan-Benedict Steenkamp and Florian
Zettelmeyer (1999), Brand Equity, Consumer Learning and Choice, Marketing
Letters, 10 (3) 301-318.
Erdem, Tlin and Russell Winer (1999), Econometric Modeling of Competition: A
Multi-Category Choice-Based Mapping Approach, Journal of Econometrics,
89, 159-175.
Erdem, Tlin, Michael P. Keane and Baohong Sun (1999), Missing Price and
Coupon Availability Data in Scanner Panels: Correcting for the Self-Selection
Bias in he Choice Model Parameters, Journal of Econometrics, 89, 177-196.
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Erdem, Tlin (1998), An Empirical Analysis of Umbrella Branding, Journal of
Marketing Research, 35 (3), 339-351 (finalist for Paul Green best paper award).
Erdem, Tlin and Joffre Swait (1998), Brand Equity as a Signaling Phenomenon,
Journal of Consumer Psychology,7 (2), 131-157.
Meyer, Bob, Tlin Erdem, Fred Feinberg, Itzhak Gilboa, Wes Hutchinson, Aradhna
Krishna, Steve Lippman, Carl Mela, Amit Pazgal, Drazen Prelec and Joel Steckel
(1997), Dynamic Influences on Individual Choice Behavior, Marketing
Letters,8 (3), 349-360.
Erdem, Tlin (1996), A Dynamic Analysis of Market Structure based on Panel
Data, Marketing Science, 15 (4), 359-378.
Erdem, Tlin and Michael P. Keane (1996), Decision-Making under Uncertainty:
Capturing Dynamic Choice Processes in Turbulent Consumer Goods Markets,
Marketing Science, 15 (1), 1-20 (lead article).
Finn, Adam and Tlin Erdem (1995), Economic Impact of Tourists Visiting a Mega-
Multi Mall, Tourism Management, 16 (5), 367-373.
Winer, Russell, Randolph E. Bucklin, John Deighton, Tlin Erdem, Peter Fader, J.
Jeffrey Inman, Hotaka Katahira, Katherine N. Lemon and Andrew Mitchell
(1994), When Worlds Collide: The Implications of Panel Data-based Choice
Models for Consumer Behavior, Marketing Letters, 5 (4), 383-394.
Swait, Joffre, Tlin Erdem, Jordan J. Louviere and Chris Dubelaar (1993), "The
Equalization Price: A Measure of Consumer-perceived Brand Equity,
International Journal of Research in Marketing, 10 (special issue on Brand
Equity), 23-45.
Other Publications
Erdem, Tlin and Joffre Swait, Branding and Brand Equity Models, in The History of
Marketing Science, eds. Scott Neslin and Russell Winer. Now Publishers Inc.,
forthcoming.
Erdem, Tlin (2010), State of the Journal, Editorial in Journal of Marketing Research,
47 (6), 997.
Erdem, Tlin (2010), Spanning the Boundaries, Editorial in Journal of Marketing
Research, 47 (1), 1-2.
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Erdem, Tlin and Joffre Swait (2010), Utility-Based Models of Brand Equity, in
Brands and Brand Management: Contemporary Research, 207-229, eds. Rohini
Ahluwalia, Mike Houston and Barbara Loken. Routledge, New York.
Rangaswamy, Arvind, James J. Cochran, Tlin Erdem, John R. Hauser, Robert J.
Meyer (2008), Editor-in-Chief Search Committee Report: The Digital Future
is Now, Marketing Science, Editorial, 27,1, 1-3.
Erdem, Tlin and Russell Winer (2002), A Brief History of Choice Modeling in
Marketing, Marketing Letters, 13 (3), 157-162 (special issue based on the 5
th
Invitational Choice Symposium, guest editors T. Erdem and R. Winer).
Working Papers
Cutright, Keisha, Tlin Erdem, Gavan Fitzsimmons and Ron Shachar (2012),
Finding Brands and Losing your Religion?
Ching, Andrew, Tlin Erdem and Michael Keane (2012), Learning Models: An
Assessment of Progress, Challenges and New Developments.
Che, Hai, Tlin Erdem and Sabri nc (2012), Consumer Learning and
Evolution of Consumer Brand Preferences.
Yang, Sha, Yi Zhao, Tlin Erdem and Daeyoung Koh (2012), "Modeling Consumer
Choice with Dyadic Learning and Information Sharing: An Intra-household
Analysis."
Swait, Joffre, Tlin Erdem and Tom Peters (2011), Shocks to Brand Equity: An
Information Economics Perspective on the US Auto Industry 2006-2010.
Shacham, Rachel, Peter Golder and Tlin Erdem (2011), A Cigarette, a Six Pack or
Porn? The Complementarity of Vices.
Ching, Andrew, Tlin Erdem and Michael Keane (2010), How Much Do Consumers
Know About the Quality of Products? Evidence from the Diaper Market.
Erdem, Tlin , Joffre Swait and Ana Valenzuela (2010) Economic Development and
Brand Credibility.
Guo, Liang and Tlin Erdem (2005) Measuring Usage Flexibility in Wireless Tariff
Choice.
8
Invited Presentations
g]\HLQ8QLYHUVLW\3XEOLF/HFWXUH6HULHVIstanbul, Turkey, July 2012.
ISMS Doctoral Consortium and Marketing Science Conference, Boston, MA,
June 2012.
Research Seminar, School of Business, Rutgers, Newark, April 2012.
Distinguished Speaker Series, Isenberg School of Management, UMASS, Amherst,
March 2012.
Distinguished Speaker Series, School of Business, George Washington University,
March 2012.
Marketing Workshop, Foster School of Business, University of Washington,
November 2011.
Marketing Workshop, Marshall School of Business, USC, August 2011.
Keynote Speaker, Marketing Dynamics Conference, Jaipur, India, July 2011.
ISMS Doctoral Consortium and Marketing Science Conference, Houston, TX,
June 2011.
Research Seminar, Department of Economics, McGill University, Montreal, Canada,
May, 2011.
Marketing Workshop, Ko University, Istanbul, Turkey, March 2011.
Speaker Series, Carey School of Business, John Hopkins University, Baltimore, January
2011.
Marketing Workshop, School of Business, University of Alberta, Edmonton, AB,
November 2010.
Marketing Workshop, School of Management, Yale University, November 2010.
Marketing Speaker Series, Georgia Institute of Technology, Atlanta, GA, October 2010.
London Business School Marketing Research Camp, London, England, July 2010.
ISMS Doctoral Consortium and Marketing Science Conference, Cologne, Germany,
June 2010.
AMA Doctoral Consortium, Texas Christian University, TX, June 2010
Invitational Choice Symposium, hosted by University of Miami and University of
Technology Sydney, May 2010.
Marketing Workshop, Fordham University, NY, May 2010.
Marketing Workshop, HBS, Boston, MA, March 2010.
Marketing Workshop, Baruch College, NY, December 2009.
Keynote Speaker, Marketing Dynamics Conference, NY, NY, August 2009.
AMA Summer Educators Conference, Chicago, IL, August 2009.
Marketing Workshop, Universidad Autnoma de Madrid, Madrid, Spain, July 2009.
Cheung Kong GSB Marketing Research Forum, Beijing, China, June 2009.
Marketing Science Conference, University of Michigan, Ann Arbor, MI, June 2009.
AMA Doctoral Consortium, Georgia State University, Atlanta, GA, June 2009.
ISMS Doctoral Consortium and Marketing Science Conference, University of Michigan,
Ann Arbor, MI, June 2009.
Marketing Workshop, University of Rochester, April 2009.
Marketing Research Camp, Pennsylvania State University, April 2009.
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Advertising Research Foundation, Marketing Modelers Seminar Series, NY, NY,
March 2009.
AMA Winter Educators Conference, Tampa, Florida, February 2009.
g]\HLQ8Qiversity Public Lecture Series, Istanbul, Turkey, December 2008.
Bilkent Research Camp, Bilkent University, Ankara, Turkey, June 2008.
ISMS Doctoral Consortium, University British Columbia, June 2008.
AMA Doctoral Consortium, University of Missouri, June 2008.
Marketing Research Camp, Texas A&M University, April 2008.
Marketing Workshop, Duke University, December 2007.
Marketing Workshop, Columbia University, November 2007.
5
th
QME Conference, discussant, Chicago, IL, October 2007.
ISMS Doctoral Consortium, Singapore Management University, Singapore, June 2007.
Invitational Choice Symposium, hosted by Wharton School, May 2007/.
AMA Doctoral Consortium, Arizona State University, Tempe, AZ, May 2007.
Advertising Research Foundation, Marketing Modelers Seminar Series, NY, NY, May
2007.
4-School Colloquium, Columbia, NYU, Wharton, Yale hosted by Wharton, April 2007.
Marketing Research Camp, University of Pittsburgh, February 2007.
Marketing Science Doctoral Consortium, University of Pittsburgh, June 2006.
Marketing Workshop, University of California, Riverside, June 2006.
Marketing Workshop, Yale University, New haven, December 2005.
Distinguished Lectureship Series, University of Michigan, October 2005.
Marketing Workshop, New York University, September 2005.
Graduate School of Management Seminar, 6DEDQF University, Istanbul, Turkey, July
2005.
Faculty of Business Administration Seminar, Bilkent University, Ankara, Turkey, July
2005.
Marketing Science Doctoral Consortium, Emory University, June 2005.
Hightower Distinguished Lectureship Series, Emory University, December 2004.
IO Workshop, Duke University, October 2004.
ACR Doctoral Consortium, Portland, Oregon, October 2004.
Marketing Science Doctoral Consortium, Erasmus University, Netherlands, June 2004.
Invitational Choice Symposium, hosted by University of Colorado, June
2004.
Marketing Workshop, Stanford University, February 2004.
Business School Seminar Series, San Francisco State University, October 2003.
Marketing Science Doctoral Consortium, University of Maryland, June 2003.
Marketing Workshop, Northwestern University, April 2003.
Marketing Research Camp, Washington University, March 2003.
Cowles Conference on Estimation of Dynamic Demand Models, Economics
Department, Yale University, November 2002.
ACR Doctoral Consortium, Atlanta, Georgia, October 2002.
Marketing Workshop, Yale University, May 2002.
Marketing Workshop, University of Colorado, April 2002.
Marketing Workshop, Washington University, St. Louis, May 2001.
10
Marketing Workshop, MIT, April 2001.
Marketing Workshop, Harvard Business School, April 2001.
Marketing Workshop, University of Houston, March 2001.
AMA Summer Educators Conference Special Session on Brand Equity honoring
David Aaker, Chicago, August 2000.
AMA Doctoral Consortium, University of Western Ontario, August 2000.
Marketing Workshop, University of Toronto, March 2000.
Marketing Workshop, University of California, Davis, December 1999.
Econometrics in Tel Aviv, Dept. of Economics, Tel Aviv University, Israel, June 1999.
Marketing Seminar Series, UC Irvine, March 1999.
Marketing Seminar Series, Cornell University, February 1999.
Marketing Research Camp, UCLA, January 1999.
Marketing Seminar Series, University of Pennsylvania, December 1998.
Marketing Seminar Series, New York University, December 1998.
AMA Doctoral Consortium, University of Georgia, August 1998.
Marketing Seminar Series, GSIA, Carnegie Mellon University, May 1998.
CEDA (Committee on Economic Development of Australia) Conference on Building
Brands in the Knowledge Economy, Sydney and Melbourne, Australia,
September 1998.
Invitational Symposium on Choice Modeling and Behavior, hosted by HEC, Jouy- en-
Josas, France, July 1998.
Marketing Workshop, Koc University, Istanbul, Turkey, June 1998.
Applied Econometrics and Quantitative Methods Summer Workshop, Koc University,
Istanbul, Turkey, August 1997.
Marketing Workshop, University of Texas at Dallas, May 1997.
Marketing Workshop, MIT, April 1997.
5th Annual Winter Research Retreat, University of Florida, March 1997.
Invitational Symposium on Choice Modeling and Behavior, hosted by Columbia
University, June 1996.
Marketing Workshop, MIT, November 1995.
Marketing Workshop, Ohio State University, May 1995.
AMA Advanced Research Techniques Forum, Beaver Creek, Colorado, June 1994.
Marketing Workshop, Stanford University, November 1993.
Invitational Symposium on Choice Modeling and Behavior, hosted by Duke University,
July 1993.
Conference Presentations
EIRASS Conference, Zagreb, Croatia, July 2008.
Marketing Science Conference, UBC, Vancouver, Canada, June 2008.
Marketing Science Conference, SMU, Singapore, June 2007.
EIRASS Conference, Budapest, Hungry, July 2006.
Marketing Science Conference, Pittsburgh, PA, June 2006.
Marketing Dynamics Conference, Sacramento, CA, September 2005
Marketing Science Conference, Atlanta, GA, June 2005.
11
EIRASS Conference, Prague, Czech Republic, July 2004.
Marketing Science Conference, Rotterdam, Netherlands, June 2004.
Quantitative Marketing and Economics Conference, Chicago, IL, October 2003.
EURO/INFORMS Joint International Meeting, Istanbul, Turkey, July 2003.
Marketing Science Conference, Washington D.C., June 2003.
AMA Advanced Research Techniques (ART) Forum, Monterey, CA, June 2003.
Bayes Conference, Columbus, Ohio, November 2002.
Marketing Science Conference, Edmonton, AB, Canada, June 2002.
Marketing Science Conference, Wiesbaden, Germany, July 2001.
EIRASS Conference, Sintra, Portugal, July 2000.
Marketing Science Conference, LA, CA, June 2000.
Marketing Science Conference, Syracuse, NY, May 1999.
Marketing Science Conference, Fontainebleau, France, July 1998.
INFORMS Fall Meetings, Dallas, Texas, October 1997.
Association for Consumer Research Conference, Denver, CO, October 1997.
Marketing Science Conference, Berkeley, CA, March 1997.
Marketing Science Conference, Gainesville, FL, March 1996.
INFORMS Spring Meetings, Los Angeles, CA, April 1995.
Marketing Science Conference, Tucson, AZ, March 1994.
Marketing Science Conference, St. Louis, MI, March 1993.
Marketing Science Conference, London, England, July 1992.
Marketing Science Conference, Delaware, March 1991.
MSI Conference on Managing Brand Equity, Austin, TX, November 1990.
Marketing Science Conference, Urbana, IL, March 1990.
TEACHING
Interests
Brand Management and Strategy, Marketing Management, Marketing Planning,
Marketing Strategy, Marketing Models
Experience
Teaching:
Undergraduate: Marketing Management, Branding, Brand Management and Strategy,
Marketing Strategy and Planning, Economic Development and International Trade
MBA: Marketing Concepts, Marketing Management, Branding/ Brand Management and
Strategy
Ph.D.: Empirical Modeling, Marketing Models, Choice Models, Individual Topics in
Marketing
Executive Education: Brand Equity, Brand Strategy, International Marketing,
Marketing Management and Strategy
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Graduate and Post-Graduate Mentorship:
Post-Doctoral Mentorship:
Baohong Sun (1995-1997). Carnegie Mellon University.
Chair of Ph.D. thesis committee:
Sue Chang (2012) Learning Dynamics in Product Relaunch, University of
Georgia.
Rachel Shacham (2011) Econometric Methods for Modeling the Difficult-to-
Observe Phenomena, University of Minnesota.
Johanna Sussman Ilfeld (2004) Investigating Social Learning Effects in the
Consumer Choice of Health Care Plan Adoption. Go-Strolling Inc.
Judi Strebel (1997) Modeling consumer choice processes for high-tech durable
goods: An investigation of consumer learning under uncertainty.
University of Arizona, SFSU.
Member of Ph.D. thesis committee:
Marketing
Wenbo Wang (2012), HKUST
Mantian Hu (2012), Chinese University of Hong Kong
Sherif Naser (2008), Washington University, St. Louis.
<HLP2UKXQ8QLYHUsity of Chicago, University of Michigan.
Liang Guo (2003), HKUST.
Ying Zhao (2001), HKUST.
Mark Stiving (1996), OSU.
Other
Mrvvet elikbas (2002, Industrial Eng. and OR)
Timothy Beatty (2001, Agricultural Economics)
Craig Mohn (1999, Agricultural Economics)
Panupol Lerssrisuriya (1998, Industrial Eng. and OR)
Alan Cooke (1997, Psychology)
Member of several Oral Examination Committees
Effectiveness
At Haas: Member of Club 6.0 (median 6.0 and above on a 7-point scale in regard to
teaching effectiveness) in the majority of the courses taught during 1993-2006.
13
ADMINISTRATIVE SERVICE
Stern School of Business
2012-present Member of Promotion and Tenure Committee
2008-2009 Director, Stern Center for Measurable Marketing
2007-2008 Co-Director, Center for Digital Economy Research (CeDER)
2007-2009 Member of MBA Core Curriculum Committee
2007-2009 Member of Senior Faculty Review Committee
2007-2008 Member of Ad Hoc Search Committee in Environmental Studies
2006-2007 Research Director, Center for Digital Economy Research (CeDER)
2006-2007 Member of Global Task Force
Haas School of Business
2005-2006 Ph.D. Program Director, Haas School of Business
2005-2006 Chair, Committee on Research (Academic Senate Committee)
2005-2006 Member of DIVCO (UC Berkeley Divisional Council)
2004-2005 Member of UCORP (University Committee on Research Policy).
UC system-wide committee, UC Berkeley Representative
2004-2005 Vice-Chair, Committee on Research (Academic Senate Committee)
2004-2005 Chair, Policy and Planning (P
2
) Committee
2003-2004 Member of Policy and Planning (P
2
) Committee
2003-2004 Member of Academic Affairs Advisory Council
2003-2004 Chair, Marketing Group
2002-2003 Associate Dean for Academic Affairs and Faculty Chair
2001-2004 Member of Haas School Hiring Committee
2001-2004 Member of Committee on Research (Academic Senate Committee)
2001-2002 Co-Associate Dean for Academic Affairs and Chair of Haas School Hiring
Committee
2001-2002 Acting Chair, Marketing Group
1999-2001 Member of Policy and Planning (P
2
) Committee
1999-2000 Member of Faculty and Ph.D. Computer Committee (FPCC)
1999-2000 Member of Space Allocation Committee
1996 Member of ad hoc Marketing Ph.D. Program Evaluation Committee
14
CONSULTING AND LITIGATION EXPERIENCE
- Academic Partner of Prophet (2008-2012). Prophet is a Strategic Brand and Marketing
Consultancy.
- Viacom International Inc., MTV Networks and Harmonix Music Systems Inc. v.
Activision Inc., Activision Publishing Inc. and RedOctane Inc., before JAMS Arbitration
Panel, JAMS Reference No.: 1220038389 (2008-9). Retained by Kirkland & Ellis, LLP.
Testified by deposition on brand equity, brand positioning, communication strategies and
likelihood of consumer confusion.
- Co-authored White Paper on economic theory and empirical & econometric research on
national cable ownership limits (2007). Filed in FCC cable ownership proceeding.
Retained by Comcast.
- VISA U.S.A. v. First Data Corporation, First Data Resources Inc., First Data Merchants
Services Corporation, Case No. C02-1786 (PJH) (2005-6), Northern District of
California. Retained by Bingham McCutchen, LLP. Testified by deposition on brand
promise, brand equity, branding strategy, trademark infringement, consumer behavior and
decision-making in credit-card industry.
- Barbaras Sales Inc. v. Intel Corporation, et. al., Case No. 02-L-788 (2004), Third
Judicial Circuit, Madison County, Illinois. Retained by Korein Tillery. Testified by
deposition on misleading positioning and advertising claims, branding strategy, consumer
behavior and decision-making in high-tech product categories.
Page 1 of 3
EXHIBIT 2
Bates Range
APL7940000082356 APL7940000082378
APL7940000102312 APL7940000102332

APL-ITC796-0000508285 APL-ITC796-0000508544

APLNDC00004618 APLNDC00004736
APLNDC0000036172 APLNDC0000036570
APLNDC0001324274 APLNDC0001324278
APLNDC0001867475 APLNDC0001867477
APLNDC0002007608 APLNDC0002007704
APLNDC0002420480 APLNDC0002420484
APLNDC0002831037 APLNDC0002831088
APLNDC-X0000006548 APLNDC-X0000006647
APLNDC-Y0000023361 APLNDC-Y0000023907
APLNDC-Y0000024130 APLNDC-Y0000024333
APLNDC-Y0000025024 APLNDC-Y0000025147
APLNDC-Y0000025460 APLNDC-Y0000025574
APLNDC-Y0000026687 APLNDC-Y0000026807
APLNDC-Y0000027136 APLNDC-Y0000027422
APLNDC-Y0000027506 APLNDC-Y0000027599
APLNDC-Y0000028850 APLNDC-Y0000028945
APLNDC-Y0000408237

SAMNDCA00176053 SAMNDCA00176171
SAMNDCA00201771
SAMNDCA00201773
SAMNDCA00203016
SAMNDCA00203033
SAMNDCA00237973
Page 2 of 3
Bates Range (cont.)

S-ITC-003353288 S-ITC-003353507
S-ITC-010632298 S-ITC-010632332
S-ITC-500047393 S-ITC-500047452
S-ITC-500049452
S-ITC-500054991 S-ITC-500054998
S-ITC-500056374 S-ITC-500056457
S-ITC-500057690 S-ITC-500057758
Legal Documents:
Addendum to Apple Inc.'s Disclosure of Asserted Claims & Infringement Contentions, August 26, 2011.
Amended Verdict Form, August 24, 2012.
Apple Inc.'s Disclosure of Asserted Claims & Infringement Contentions, August 26, 2011, with Exhibits 46 and
1015.
Apple's Motion for a Permanent Injunction and for Damages Enhancements, September 21, 2012.
Declaration of Andries van Dam, Ph.D., October 18, 2012.
Declaration of Marylee Robinson in Support of Apple's Motions for a Permanent Injunction, for Damages
Enhancement, for Supplemental Damages, and for Prejudgment Interest, September 21, 2012, with Exhibits 9,
2529, and 31.
Declaration of Stephen Gray, October 18, 2012.
Declaration of Terry Musika in Support of Apple's Motion for Permanent Injunction, August 29, 2012, with Exhibits
30, 31, 50, 51, 5361, and 6468.
Declaration of Yoram (Jerry) Wind, October 19, 2012, with Appendices and Exhibits.
Joint Pretrial Statement and Proposed Order, July 5, 2012.
Manual Filing Notification of Exhibit 32 to the Declaration of Marylee Robinson in Support of Apple's Motions for
a Permanent Injunction, for Damages Enhancement, for Supplemental Damages, and for Prejudgment Interest,
September 21, 2012.
Plaintiffs Exhibits 30, 38, 46, 57, 69, 145, 146, and 185.
Transcript of Proceedings, Apple v. Samsung C-11-01846-LHK, August 10, 2012, Vol. 6.
Depositions:
Deposition of Philip Schiller, February 17, 2012.
Deposition of Steven Sinclair, April 4, 2012.
Page 3 of 3
Expert Reports:
Expert Report of John R. Hauser, March 22, 2012, with Exhibits AK and supporting documents.
Expert Report of Russel S. Winer, March 22, 2012.
Articles and Books:
"iPhone vs. Android," NielsenWire, available at http://blog.nielsen.com/nielsenwire/online_mobile/iphone-vs-
android (viewed October 9, 2012).
Aaker, David A. (1991). Managing Brand Equity. New York: The Free Press.
Erdem, Tlin (1998), An Empirical Analysis of Umbrella Branding, Journal of Marketing Research, 35 (3), 339-
351.
Jessica E. Vascellaro, Apple Wins Big in Patent Case, The Wall Street Journal (August 25, 2012).
Kotler, Philip (1997). Marketing Management. New Jersey: Prentice Hall.
Lancaster, Kelvin (1966), A New Approach to Consumer Theory, Journal of Political Economy, 74, 132-157.
Lilien, Gary L. Philip Kotler and K. Sridhar Moorthy (1992), Marketing Models, New Jersey: Prentice Hall.
Payne, J.W. (1976), Task Complexity and Contingent Processing in Decision-Making: An Information Search and
Protocol Analysis, Organizational Behavior and Human Performance, 16, 366-387.
Shugan, Steven (1980), The Cost of Thinking, The Journal of Consumer Research, Vol. 7(2), 99-111.
Tirole, J. (1990). The Theory of Industrial Organization. Cambridge, MA: MIT Press.
Yates, Frank, J. (1990). Judgment and Decision-Making. New Jersey: Prentice Hall.
Other:
U.S. Patent 7,469,381.
U.S. Patent 7,844,915.
U.S. Patent 7,864,163.
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DECLARATION OF STEPHEN GRAY , PH.
Charles K. Verhoeven (Bar No. 170151)
nd
Floor
Telephone: (415) 875-6600
Facsimile: (415) 875-6700
Kevin P.B. Johnson (Bar No. 177129)
Victoria F. Maroulis (Bar No. 202603)
555 Twin Dolphin Drive, 5
th
Floor
Redwood Shores, California 94065-2139
Telephone: (650) 801-5000
Facsimile: (650) 801-5100
Michael T. Zeller (Bar No. 196417)
865 S. Figueroa Street, 10
th
Floor
Telephone: (213) 443-3000
Facsimile: (213) 443-3100
INC. and SAMSUNG
Plaintiff,
vs.
Defendants.
DECLARATION OF STEPHEN GRAY IN
PERMANENT INJUNCTION AND
DAMAGES ENHANCEMENT
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DECLARATION OF STEPHEN GRAY
I, Stephen Gray, declare:
1. I have personal knowledge of the facts set forth herein, and am competent to testify
to the same.
2. I submit this declaration in support of Samsungs Opposition to Apples Motion for
a Permanent Injunction relating to U.S. Patents 7,844,915 and 7,864,163. If asked at hearings or
trial, I am prepared to testify regarding the matters I discuss in this declaration.
3. I reserve the right to supplement or amend this declaration based on any new
information that is relevant to my opinions.
I. PROFESSIONAL BACKGROUND
4. I am an independent consultant. All of my opinions stated in this Declaration are
based on my personal knowledge and professional judgment. In forming my opinions, I have
relied on my knowledge and experience in graphical user interfaces and operating systems;
software development practices; programming, including C and graphical programming; and on
the documents and information referenced in this Declaration. I have attached as Exhibit 1 a true
and correct copy of my current curriculum vitae (CV), which details my education and experience.
The following thus provides only a brief overview of some of my experience that is relevant to the
matters set forth in this Declaration.
5. Since the mid-1970s, I have designed, developed, and deployed computing systems
and products that operate in server, desktop, and graphical environments. As such, I have
acquired expertise and am an expert in the areas of server computing architecture and design,
graphical user interfaces, operating systems, local area and wide area networks, and various
programming languages used in the development of those systems and products. I have been
employed by or retained as a consultant, including acting as a litigation consultant, for numerous
companies such as Burroughs, Filenet, Fujitsu, Marriott Corporation, MCI, Northern Telecom,
Olivetti, TRW, and Xerox, as well as other companies.
6. I have several relevant professional experiences that further demonstrate my
expertise in the field of graphical user interfaces. In late-2001 to mid-2002, as Chief Technology
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Officer for Networld Exchange Inc., I was responsible for the design, development, and
deployment of a suite of products that delivered eCommerce functions. These functions were
provided over the Internet and included product catalog information display, purchase and/or
purchase order creation, order delivery to fulfillment systems, and order status reporting. The
products for which I had responsibility provided an electronic shopping graphical user interface
for business-to-business and business-to-consumer transactions. The graphical user interface was
designed to support both vendors of products as well as customers. Each of these user interfaces
were an optimization based on the specific user class.
7. In the mid-1990s I was a consultant for Xerox. One of my assignments there was
to develop a graphical interface for network attached office products. For example, one of the
graphical user interfaces I designed provided end-user visibility into printer queues supporting
distributed network printers. Another graphical user interface I designed provided network
operations distributed job management control.
8. As a software development professional, I have had numerous occasions to review
bodies of source code. I have analyzed source code written in several variants of C, SQL,
COBOL, RPG, variants of Basic, Java, Perl, several Assembler languages, and others. For
example, as an individual contributor at Xerox during the mid-1980s to 1990, I evaluated the
quality of source code from third-party software providers for possible inclusion in the Xerox
product line. Also, I evaluated the source code of several application software packages for
completeness and maintainability, and for possible inclusion into the NTN product line in 2000-
2001. During my early career, I spent time maintaining source code written by others. In each of
these assignments, I analyzed the source code to identify the data structures, logical flow,
algorithms, and other aspects.
9. During my career as a software development professional, I have several relevant
professional experiences that demonstrate my expertise in the field of operating system
technologies. I have performed operating system programming assignments, I have publicly
lectured regarding various operating systems, and I have provided litigation support where
operating system technology was central to the matter.
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10. Finally, I have been retained by attorneys for plaintiffs and defendants in several
matters where the concepts and practice of graphical user interface technology was a central issue.
The matters include contract disputes: GTE v. Videotron; Eyefinity, Inc. v. Entigo; HealthFirst v.
HealthTrio; Waltrip Associates v. Kevin Kimperlin & Spencer Trask Ventures, as well as patent
infringement: WebSide Story v. NetRatings; ICR v. Harpo; Leader v. Facebook; Fotomedia v.
Yahoo!; Cisco v. Telcordia; Ampex v. Kodak, et al.; and ICI v. Red Hat and Novell.
II. LEGAL STANDARDS
11. In this section I describe my understanding of certain legal standards. I have been
informed of these legal standards by Samsungs attorneys. I am not an attorney and I am relying
only on instructions from Samsungs attorneys for these legal standards. In conducting my
analysis of the '915 and '163 patent claims, I have applied the legal understandings set out in this
declaration.
12. I understand that assessment of infringement is a two step process. First, the
language of the patent claims must be construed by the Court. Second, the claims as construed are
applied to the accused product or process to determine whether the accused product or process
meets each and every limitation of the claim as construed by the Court. To establish infringement
of a patent, I understand that it is the patentee s burden to show that each accused product
practices every limitation of at least one asserted claim in that patent.
13. I understand that the patentee has the burden of proving infringement by the
preponderance of the evidence. I understand that this standard requires that the patentee present
evidence that as a whole shows that the fact sought to be proved is more probable than not.
14. I understand that there are two types of infringement: literal infringement and
infringement under the doctrine of equivalents. I understand that to literally infringe a claim, an
accused product or process must literally meet every limitation of the claim.
15. I understand that even if all limitations of a claim are not literally met, an accused
product or process may still infringe under the doctrine of equivalents. I understand that to
establish infringement under the doctrine of equivalents, the accused product or process must, for
each element of the claim not literally present, contain a structure or perform a step that is
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substantially equivalent to the element in the claim. I am informed by counsel that one common
way of determining substantial equivalence is to examine whether the accused structure or step
performs substantially the same function, in substantially the same way, to achieve substantially
the same result as the corresponding limitation of the claim.
16. I also understand that there are several restrictions on the application of the doctrine
of equivalents. First, if an accused product or process wholly lacks even a single limitation of a
claim, it cannot infringe the claim under the doctrine of equivalents. Second, the range of
equivalents cannot be so broad as to encompass that which was already known in the prior art.
Third, the doctrine of prosecution history estoppel precludes a patentee from reclaiming through
equivalents subject matter that was relinquished based on statements or amendments during
prosecution.
17. I understand that every claim limitation is essential in proving infringement, and
that the absence of even one limitation in an accused product or process avoids infringement.
III. MATERIALS CONSIDERED
18. In forming my opinions in this Declaration, I reviewed a number of materials,
including U.S. Patent Nos. 7,844,915 (the "'915 Patent") and 7,864,163 (the "'163 Patent") as well
as their respective file histories, and relevant portions of the record in this case to date. I have also
reviewed the Expert Infringement and Rebuttal Reports of Dr. Karan Singh as well as the
deposition transcript and trial testimony of Dr. Singh.
19. In addition, I have reviewed the new source code relating to the Web Browser
functionalities accused of infringing the '915 and '163 patents and a Galaxy SII (T-Mobile)
product running this new source code.
IV. THE '915 PATENT
A. OVERVIEW OF THE '915 PATENT
20. The '915 Patent, entitled "Application Programming Interfaces for Scrolling
Operations," issued on Nov. 30, 2010 from an application filed Jan. 7, 2007. The named inventors
of the '915 Patent are Andrew Platzer and Scott Herz.
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21. The '915 Patent generally relates to the field of application programming interfaces
that provide user interface operations, such as scrolling and scaling. The asserted claims of the
'915 Patent are directed to a technique for distinguishing between a single-input point that is
interpreted as a scroll operation and two or more input points that are interpreted as a gesture
operation. This technique is set forth in element [c] of claim 8, which is reproduced below:
8. A machine readable storage medium storing executable program instructions
which when executed cause a data processing system to perform a method
comprising:
[a] receiving a user input, the user input is one or more input points applied to
a touch-sensitive display that is integrated with the data processing
system;
[b] creating an event object in response to the user input;
[c] determining whether the event object invokes a scroll or gesture
operation by distinguishing between a single input point applied to the
touch-sensitive display that is interpreted as the scroll operation and
two or more input points applied to the touch-sensitive display that
are interpreted as the gesture operation;
[d] issuing at least one scroll or gesture call based on invoking the scroll or
gesture operation;
[e] responding to at least one scroll call, if issued, by scrolling a window
having a view associated with the event object; and
[f] responding to at least one gesture call, if issued, by scaling the view
associated with the event object based on receiving the two or more input
points in the form of the user input.
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B. PROSECUTION HISTORY
22. Claim 8 as originally filed read as follows:
JX 1048.6.
23. During prosecution, the Examiner rejected many of the pending claims, including
claim 8, under 35 U.S.C. 103(a) as being unpatentable over Li (U.S. Patent No. 7,576,732 B2) and
Hollemans (2007/0252821). See 12/29/09 Office Action. In response, Apple argued that Li and
Hollemans did not render the claims obvious. See 3/29/10 Response to Office Action. On June 9,
2010, Apple and the Examiner conducted a telephonic interview where Li and Hollemans were
discussed. See 6/21/10 Interview Summary. An agreement with respect to the claims was not
reached as a result of that interview. Id. On July 16, 2010, Apple submitted a new prior art
reference, Sato (GB 2319591 A). See 7/16/10 IDS. On July 20, 2010, the Examiner issued a
Notice of Allowance along with an Examiners Amendment to the claims and an Examiners
Amendment and Statement of Reasons for Allowance. See 7/20/10 Notice of Allowability.
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24. The Examiners Amendment amended claim 8 as follows:
25. As shown above, this amendment added the limitation by distinguishing between
a single input point applied to the touch-sensitive display that is interpreted as the scroll operation
and two or more input points applied to the touch-sensitive display that are interpreted as the
gesture operation to claim element [c]. Apples counsel authorized this amendment during a
telephone interview on July 7, 2010. Id. at 2.
26. In the Reasons for Allowance, the Examiner stated that the [p]rior art of record
fails to teach the combination of claimed elements including creating an event object in response
to a user input; determining whether the event object invokes a scroll operation or a gesture
operation; distinguishing between a single input point and a two or more input points applied to a
touch-sensitive display, wherein a single input point is interpreted as a scroll operation and two
or more input points are interpreted as a gesture operation. Id. (emphasis added).
27. Thus, in allowing the independent claims, including claim 8, the Examiner found
that the amendment to the claims that added the language "by distinguishing between a single
input point applied to the touch-sensitive display that is interpreted as the scroll operation and two
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or more input points applied to the touch-sensitive display that are interpreted as the gesture
operation" distinguished the claims of the '915 patent from the prior art.
C. THE '915 PATENT REQUIRES PERFORMANCE OF A
QUINTESSENTIAL TEST
28. During the August 2012 trial, Apples expert for the 915 patent, Dr. Singh,
testified that 24 Samsung products infringed the '915 patent. More specifically, Dr. Singh testified
that the Web Browser application in these accused products infringed claim 8 of the '915 patent.
Dr. Singh testified that the Web Browser application infringed because it performed a
quintessential and "very important" test required by claim elements [c] and [d]. With respect to
these claim elements, Dr. Singh testified as follows:
A. Okay. So these elements, again, are sort of describe in
some sense what's happening below in the, in the Samsung code.
And the operative words in the big one are determining whether
the event object invokes a scrolling operation, which I've described
before, which is moving content, or the small complex gesture
operation, such as scaling, by distinguishing between whether a
single input point is applied to the screen or two or more inputs, in
which case a gesture operation is made.
So to understand this to understand this element, what you see
below is a schematic. It's, it's just a schematic showing the
Samsung smartphone and tab phone.
Again, what you see over there are excerpts taken from the
Samsung source code and laid out just to make things very clear.
And upon receiving input, there is a there's a function in the web
view. The web view is the browser program, the internet browser
program on the Samsung device.
Web view has a function called on touch event, so whenever
there's a touch, you go into that code. When you go into that code,
that code is called and caused by this motion event object that is
being passed into this piece of code and it's it's sent into this code
as a parameter. I've kind of illustrated it on top just so you can
clearly see the flow that is taking place in the code. And there's a
very important line in this code where a simple test is made. The
motion event object has a pointer count. The pointer count tells
you whether one input is one input touch, two input touches, or
more.
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So all you're doing over here is making this quintessential test, and
then based on the test, when a single input touch is on the screen,
you go down a one finger part, that results in a scroll operation. So
that takes you to this claim element c where you're distinguishing
and you're going down this scroll bar, and I'll go one step further
into claim element d, which says issues at least a scroll call or a
gesture call, depending on which part you go down, and a scroll
call, an example of a scroll call in this case is a method that says do
drag, which says I'm dragging now, and what do I do? That's if you
go down the scroll call. Very similarly, if you go down the gesture
part, which is two or more fingers, you go down in the code and
you perform a gesture operation which results in a gesture call
being made. In this example, the gesture call is a the touch event of
a scale gesture, something that results in the scale operation.
So what we've just seen over here is a run through the Samsung
source code to give you a sense of two important things. One, that
the motion event object causes a very important test to be made,
one finger or two or more fingers; and then based on that test,
there's a fork in the code and you either go down a scroll box
where a scroll call is made and a scroll operation results, or down
the gesture part and a gesture call is made and a gesture results.
So that's these two elements.
Trial Tr. at 1823:3-1825:22 (Singh testimony).
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29. During this testimony, Dr. Singh referred to demonstratives numbered PDX 29.12
and PDX 29.13, which have been reproduced below.
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30. As Dr. Singh testified and as is shown in his demonstratives above, the
"quintessential" and "very important" test occurs in the line of source code
ev.getPointerCount() > 1 found in Android's WebView code. Dr. Singh testified that this code
receives a motion event and distinguishes between a single input point and two or more input
points. If a single input point is detected, the ev.getPointerCount() > 1 test causes the code to
proceed to a scroll operation. If two or more input points are detected, the
ev.getPointerCount() > 1 test causes the code to proceed to a gesture operation. This fork in the
code is illustrated in Dr. Singhs demonstratives in the box that includes
"ev.getPointerCount() > 1". The portion of the accused WebView source code that includes the
"quintessential" test performed by "ev.getPointerCount() > 1" is shown below.
Exhibit 2, Android source code [SAMNDCA-C000002857].
D. SAMSUNGS NEWCODE DOES NOT INFRINGE THE '915 PATENT
31. I have examined a new version of the source code for the Web Browser application.
I understand that this source code was used to create the following software: Android version
4.0.4, Baseband version T989UVLI1, Kernel version 3.0.8, and Build number IMM76D.UVLI1.
1
It is my opinion that this new source code does not infringe the 915 patent because it removes the
quintessential test for distinguishing between scroll and gesture operations required by the '915
1
Declaration of Hee-chan Choi In Support Of Samsungs Opposition To Apples Motion For
A Permanent Injunction And Damages Enhancement.
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patent and instead employs a fundamentally different technique for processing scroll and scaling
operations.
2

35. Importantly, there is no code that determines whether the scrolling code or scaling
code should be executed by distinguishing between a single input point applied to the touch-
sensitive display that is interpreted as the scroll operation and two or more input points applied to
the touch-sensitive display that are interpreted as the gesture operation as required by claim 8.
2
I understand that the new version of code for the Web Browser that does not include the
"quintessential test" was released in the Jelly Bean version of Android in July 2012.
http://grepcode.com/file_/repository.grepcode.com/java/ext/com.google.android/android/4.1.1_r1/
android/webkit/WebViewClassic.java/?v=source
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36. The following flowchart illustrates how the new code operates:
37. As illustrated above, the new code does not include the "quintessential" test
performed by the ev.getPointerCount() > 1 source code. That source code has been removed
and a fundamentally different technique that does not distinguish the number of input points has
been implemented.
38.
Thus, the motion
events do not "cause[] a very important test to be made, one finger or two or more fingers; and
then based on that test, there's a fork in the code and you either go down a scroll box where a
scroll call is made and a scroll operation results, or down the gesture part and a gestured call is
made and a gesture operation results." Singh Trial Tr. at 1825:15-21. In other words, the new
code does not "determine[] whether the event object invokes a scroll or gesture operation by
distinguishing between a single input point . . . that is interpreted as the scroll operation and two or
more input points . . . that are interpreted as the gesture operation" as required by all claims of the
'915 patent, including claim 8. Consequently, the new code does not literally infringe any claims
of the '915 patent.
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39. I also understand that the doctrine of prosecution history estoppel prevents Apple
from arguing the new code infringes under the doctrine of equivalents. As noted above, the claims
of the '915 patent were amended to add the narrowing limitation "distinguishing between a single
input point . . . and two or more input points . . ." to avoid prior art. Consequently, it is my
understanding that prosecution history estoppel applies and precludes a finding of infringement
under the doctrine of equivalents.
40. Even if Apple were allowed to argue that the new code infringes under the doctrine
of equivalents, it is my opinion that the new code does not infringe for several reasons.
41. First, there are substantial differences between the claimed technique for processing
scroll and gesture operations and the technique used by the new code. The claimed technique
examines the number of input points and based on the results of that examination, invokes either a
scroll or gesture operation. The technique utilized in the new code is fundamentally and
substantially different.

42. Second, the new code does not perform substantially the same function, in
substantially the same way, to obtain substantially the same result. The technique found to
infringe performs the function of determining whether the event object invokes a scroll or scale.
The way it performs this is by distinguishing between a single input point applied to the touch-
sensitive display and two or more input points applied to the touch-sensitive display. The result of
this is that either a scroll call or a gesture call is issued.

Even assuming the function performed by the new code
were the same as the function recited in the claim, the way in which the function performed is
substantially different. The code found to infringe determines whether an event object invokes a
scroll or scale operation by distinguishing between the number of input points applied to the touch
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screen display. Dr. Singh identified this as the "quintessential" test. The new code does not
Finally, the new code produces results that are substantially
different than the claimed function. For example, the claimed function results in either a scroll or
gesture operation based on a motion event.
43. I have also examined the scrolling code in WebView that processes scrolling
operations and the scaling code in WebviewScaleGestureDetector that processes scaling
operations and confirmed that both do not include any code that meet the limitations of claim 8.
Specifically, none of the scrolling code or scaling code "distinguish[es] between a single input
point applied to the touch-sensitive display that is interpreted as the scroll operation and two or
more input points applied to the touch-sensitive display that are interpreted as the gesture
operation" or "issu[es] at least one scroll or gesture call based on invoking the scroll or gesture
operation."
44. I have also examined the Web Browser application in a Galaxy S II (T-Mobile)
product that includes this new code. I understand that this source code was used to create the
following software: Android version 4.0.4, Baseband version T989UVLI1, Kernel version 3.0.8,
and Build number IMM76D.UVLI1.
3
The Galaxy S II (T-Mobile) was running the following
software: Android version 4.0.4, Baseband version T989UVLI1, Kernel version 3.0.8, and Build
number IMM76D.UVLI1. Using this device, I was able to scroll web pages using one finger and
zoom in and out of web pages using two fingers.
E. PRODUCTS USING THE NEW CODE DO NOT INFRINGE THE '915
PATENT
45. For the reasons stated above, it is my opinion that products running the new code
described above does not infringe claim 8 of the '915 patent literally or under the doctrine of
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equivalents. I understand that, as of the filing of this declaration, the only product accused of
infringing the '915 patent that has not been discontinued is the Galaxy S II (T-Mobile). It is my
opinion that Galaxy S II (T-Mobile) products running the new code do not infringe the '915 patent.
V. THE 163 PATENT
A. OVERVIEW OF THE '163 PATENT
46. The '163 patent, entitled Portable Electronic Device, Method and Graphical User
Interface for Displaying Structured Electronic Documents, issued on January 4, 2011 from an
application filed on September 4, 2007. The named inventors of the '163 Patent are Bas Ording,
Scott Forstall, Greg Christie, Stephen O. Lemay, Imran Chaudhri, Richard Williamson, Chris
Blumenberg, and Marcel Van Os. A review of the file history shows that Apple filed a certificate
of correction on January 14, 2011 to remove Bas Ording as an inventor and add Andre M.J. Boule
as an inventor.
47. The '163 patent relates to methods and systems for navigating an information space
on portable electronic devices with limited display screens. The independent claims of the '163
patent generally cover a two-step process for enlarging and substantially centering a first box of
content and substantially centering a second box of content within a structured electronic
document. This technique is set forth in claim 50 of the '163 patent, which is reproduced below:
50. A portable electronic device, comprising:
[a] a touch screen display; one or more processors; memory; and one or
more programs, wherein the one or more programs are stored in the memory and
configured to be executed by the one or more processors,
[b] the one or more programs including: instructions for displaying at least
a portion of a structured electronic document on the touch screen display, wherein
the structured electronic document comprises a plurality of boxes of content;
[c] instructions for detecting a first gesture at a location on the displayed
portion of the structured electronic document; instructions for determining a first
box in the plurality of boxes at the location of the first gesture; instructions for
enlarging and translating the structured electronic document so that the first box is
substantially centered on the touch screen display;
[d] instruction[s] for, while the first box is enlarged, detecting a second
gesture on a second box other than the first box; and instructions for, in response to
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detecting the second gesture, translating the structured electronic document so that
the second box is substantially centered on the touch screen display.
B. PROSECUTION HISTORY
48. As initially drafted, claim 50 of the '163 patent (then numbered claim 51) did not
include claim element [d], which requires instruction[s] for, while the first box is enlarged,
detecting a second gesture on a second box other than the first box; and instructions for, in
response to detecting the second gesture, translating the structured electronic document so that the
second box is substantially centered on the touch screen display. JX-1049.49-50.
49. On October 20, 2011, the patent Examiner issued a Notice of Allowability for the
'163 patent. JX-1049.1696-1712. According to this notice, the Examiner conducted a telephone
interview with Apple on October 12, 2010, who authorized the following Examiners Amendment
to claim 50 (then claim 51). JX-1049.1698. This amendment added claim element [d].
[50]. A portable electronic device, comprising:
[a] a touch screen display; one or more processors; memory; and one or
more programs, wherein the one or more programs are stored in the memory and
configured to be executed by the one or more processors,
[b] the one or more programs including: instructions for displaying at least
a portion of a structured electronic document on the touch screen display, wherein
the structured electronic document comprises a plurality of boxes of content;
[c] instructions for detecting a first gesture at a location on the displayed
portion of the structured electronic document; instructions for determining a first
box in the plurality of boxes at the location of the first gesture; and instructions for
enlarging and translating the structured electronic document so that the first box is
substantially centered on the touch screen display;
[d] instruction[s] for, while the first box is enlarged, detecting a second gesture
on a second box other than the first box; and instructions for, in response to detecting
the second gesture, translating the structured electronic document so that the second
box is substantially centered on the touch screen display.
C. SAMSUNGS NEW CODE DOES NOT INFRINGE THE '163 PATENT
50. In Exhibit 5 of his infringement report, Dr. Singh cites motionUp() as the
WebView.cpp function in the accused Samsung code that is ultimately responsible for in
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second box is substantially centered on the touch screen display.
51. I have reviewed the new source code for the Web Browser application. I
understand that this source code was used to create the following software: Android version 4.0.4,
Baseband version T989UVLI1, Kernel version 3.0.8, and Build number IMM76D.UVLI1.
4
Based
on my review, I have confirmed that the relevant source code in the motionUp() function,
identified by Dr. Singh as infringing, has been commented out and is therefore inoperative. As a
result, it is my opinion that the Samsung accused code no longer contains instructions for, in
second box is substantially centered on the touch screen display as required by claim 50. The
new code does not literally infringe the '163 patent.
52. I have also examined the Web Browser application in a Galaxy S II (T-Mobile)
product that includes this new code. The Galaxy S II (T-Mobile) was running the following
software: Android version 4.0.4, Baseband version T989UVLI1, Kernel version 3.0.8, and Build
number IMM76D.UVLI1. Using the Web Browser application on this device, I loaded a web
page from the New York Times website. After enlarging and translating a first box of content
on the web page using a double tap, I was unable to then cause the device to translate to
substantially center a second box in response to a second gesture on a second box other than
the first box. Any attempt to single-tap on a second region outside the first, enlarged region
resulted in no response from the device. Any attempt to double-tap anywhere on the webpage,
including a second region outside the first, enlarged region, resulted in the structured electronic
document returning to its original size (i.e., a zoom out). This non-infringing behavior is
illustrated in the video attached as Exhibit 3. As a result, Web Browser application does not
literally infringe claim 50 of the '163 patent.
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53. I also understand that the doctrine of prosecution history estoppel prevents Apple
from arguing the new code infringes under the doctrine of equivalents. Claim 50 was amended to
add the limitation instruction[s] for, while the first box is enlarged, detecting a second gesture on
a second box other than the first box; and instructions for, in response to detecting the second
gesture, translating the structured electronic document so that the second box is substantially
centered on the touch screen display to avoid prior art. As a result, my understanding is that
prosecution history estoppel applies and precludes a finding of infringement under the doctrine of
equivalents.
54. Even if Apple were allowed to argue that the new code infringes under the doctrine
of equivalents, it is my opinion that the new code does not infringe the 163 patent under the
doctrine of equivalents. In my opinion, without the functionality associated with the second
gesture, the Galaxy S II (T-Mobile) does not perform substantially the same function, in
substantially the same way, to achieve the substantially same result. The claimed function of
centering a second box is no longer performed. Instead, the Galaxy S II (T-Moblie) performs a
substantially different function of doing nothing (single tap) or zooming out to the web pages
original size (double tap). For the same reasons, the result of the claimed function and the result
of the function performed by the Galaxy S II (T-Mobile) are substantially different.
55. I also note that while the structured electronic document is in an enlarged state, a
user makes a second gesture on a second box other than the first box and the structured electronic
document reduces to its original size, there could be a case where the second box is by chance
substantially centered on the display. It is my opinion that this does not infringe claim 50 because
the centering of the second box in this example did not occur as a result of instructions for
substantially centering the second box. In this example, the centering of the second box is not
caused by any code designed specifically to bring about that result. It is merely an incidental
effect of the zoom out operation. Indeed, the lines of code specifically cited by Dr. Singh as
responsible for translating the structured electronic document so that the second box is
substantially centered on the touch screen display are no longer operative and are unable to
perform any functionality on the Samsung accused devices. In my opinion, absent instructions
for, in response to detecting the second gesture, translating the structured electronic document so
2 that the second box is substantially centered on the touch screen display," there is no infringement.
3
4 I declare under penalty of perjury under the laws of the United States that the foregoing is
5 true and correct. Executed on October 18, 2012, in SA-f..-/ F ~ ~ c . . . t 'X...-0
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Stephen Gray
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Case No. 11-cv-0 1846-LHK

EXHIBIT 1
Curriculum Vitae

Confidential Resume of Stephen Gray Page 1
Printed: 03/22/12
Stephen Gray

Expertise

Distributed Computing Architecture
Internet/Web/e-Commerce
Web Services Protocols/SOA
Client/Server Technology
Electronic Presentation Technology
Programming Languages
Image and Document Processing
Relational Database Design
Network Architecture
Software Quality
Software and Systems Development,
Integration and Management

Professional Summary

Mr. Gray has over 30 years of experience in the computer and communications industries.
His background includes systems and software architecture, design and development as well
as senior management positions in development, marketing, and general management.

Employment History

From: 1984 Gray & Yorg, LLC
To: Present San Diego, CA
Position: Principal
Mr. Gray is an expert in modern computing platform architecture,
design, implementation and integration, including relational database
design in networking environments. In providing consulting services,
he has successfully completed the following projects:
Performed patent portfolio analysis for large corporations
Developed policies and procedures for a clean software
development environment. Monitored activities to ensure
conformance.
CSO for a Business Process Management software start up. The
firm develops Web Services/SOA based BPM creation,
orchestration, management and optimization solutions.
CTO for an e-Commerce Internet start up. The firm developed a
product that specializes in procurement for public agencies.
Interim CEO for a broadband Competitive Local Exchange Carrier
(CLEC). Helped negotiate the successful sale of the CLEC.
CTO for an Internet-based secure content distribution startup. The
firm developed comprehensive Digital Rights Management (DRM)
solutions for the control and promotion of content on the Internet.
Architected several e-Commerce applications for legacy
interoperability
Curriculum Vitae

Printed: 03/22/12
Participated in the architecture definition and design of a highly
scalable, high performance device controller for multifunction
document processing products
Performed a detailed analysis of the competitive environment for
retail point-of-sale hardware and software systems. Analysis
included technology, marketing, compensation and back office
interface issues
Provided system design, product selection and project management
for a turnkey software/hardware system for residential refuse
hauling and toxic waste disposal company. System involved
multiple hardware and software vendors around the IBM AS400
central processing system
Led the design of a high performance, LAN-based image capture
and statement printing subsystem using IBM system components
using DBII relational database and SQL language for TRW
Led the design of an image assisted, remittance processing system
using IBM system components and Sybase relational database in a
client/server architecture for TRW. Additionally, designed an
object-oriented front end to the database so that the UNIX platform
could execute Sybase applications
Engaged to perform a technology audit for the United States
Department of Agriculture using ORACLE database products,
which resulted in a major overhaul of the database management
implementation for their application
Collaborated with FileNet to develop an IBM-to-UNIX
interconnection strategy for their optical disk-based document
imaging and filing system
Defined high speed interconnection and relational database
methods using SQL language for Marriott Corporation to handle
large transaction volumes in a hotel reservations system
Collaborated with Xerox in mid 1990s development of an
electronic printing system front end supporting a wide range of
advanced printing services, including resolution enhancement
technology
Advised Northern Telecom on the performance of IBM's Net View
product
Authored two technical seminars: SNA Technology Update, OS/2
and SAA, Introduction to Client/Server Technology with special
emphasis on relational database management. Published articles in
trade journals such as Interface Age, CASE World and Info World

From: 2001 Networld Exchange Incorporated
To: 2002 Bonsall, CA
Position: Chief Technical Officer
Curriculum Vitae

Printed: 03/22/12
Networld Exchange, Inc. (NEI) provides Fortune 2000 companies
private trading exchange (PTX) solutions that automate their B2B
commerce activities. NEI is a restart. NEI is funded by institutional
investors in New York and Florida. Mr. Gray was recruited in 4Q01
by the investors as part of the new management team.

From: 2000 NTN Communications
To: 2001 Carlsbad, CA
Position: Chief Technical Officer
NTN Communications, Inc. (AMEX: NTN) is the parent corporation
of two operating divisions: Buzztime Entertainment, Inc. and the NTN
Network. Mr. Gray serves as CTO for the parent corporation and
each of its operating divisions.
Buzztime Entertainment, Inc. develops and distributes sports and
trivia games to a variety of interactive platforms including interactive
television, the Internet, PDS and mobile phones.
The NTN Network, NTNs hospitality business, operates two
interactive television (ITV) networks that broadcast games to millions
of consumers each month at 3500 restaurants, sports bars and taverns
in North America.
Mr. Gray is responsible for all of the technical aspects of the
corporations as well as forward looking programs and business
opportunities.

From: 1987 Simpact Associates
To: 1988
Position: Director, Product Marketing
Directed the full life cycle of definition, delivery, marketing and
enhancement of four sets of IBM connectivity products, including:
SNA protocol support hardware and software for DEC VAX
systems
An IBM PC-based gateway product that supports SNA and other
industry-standard communications architectures
A Netware-based Token Ring Network adapter board and software
for DEC VAX systems
A hardware/software product that receives financial market feeds
and reformats the information for presentation to programs running
a VAX via a proprietary applications programming interface (API)

From: 1982 Xerox Corporation
To: 1987
Position: General Manager, Host Software Products
1985-87

As the founder and leader of the product delivery organization of a
Xerox independent business unit, Mr. Gray managed 21 employees and
33 contract professionals. He directed the definition, architecture,
Curriculum Vitae

Printed: 03/22/12

1982-85
design, development, test, product transfer and sustaining engineering
of six products for electronic page printers connected to IBM
mainframes, DEC VAX and IBM PC's.

Manager, Foreign System Interconnect. Managed four professionals
who defined and developed the technical interconnect strategy for
electric page printers to wide-and local-area networks. Mr. Gray's
group delivered host software, network and printer engineering
services. He invented a new printer interconnection technique,
developed interfaces to Ethernet local area network, and designed
connections to IBM mainframes using SNA and the System/370
channel.

From: 1979 Computer Communications, Inc.
To: 1982
Position: Manager, Communication Controller Software Development
As leader of the architecture, design, development, and testing of an
SNA communications controller, Mr. Gray managed 24
professionals. His group successfully designed, developed and
deployed the controller's operating software, diagnostics, host-based
compilers, and system support software. Before that, he was the
product manager for front-end processors and remote concentrators.
Also, he engineered an X.25 multi-channel controller.

From: 1977 Olivetti Corporation
To: 1979
Position: Regional Support Manager
Started as a district manager and later became a regional software
support manager for a series of mini- and microcomputer business
systems. Applications included general business and on-line front-
office banking.

From: 1973 Burroughs Corporation
To: 1977
Position: Systems Programmer, Systems Analyst
Specializing in data communications software and held several
design and product implementation positions in the mid range and
small system development groups.
Additional Professional Experience:

Designed and implemented numerous relational database management systems using
Sybase, Informix, Microsoft Access, DB2.
Knowledgeable in C, C++, SQL, COBOL, RPG, Basic, Java, various Assembler
languages, HTML, XML.
Curriculum Vitae

Printed: 03/22/12
Designed IBM SNA Distribution Services compatible electronic mail interface product.
The product interfaced to MCI mail services.
Designed peer-to-peer printing network product for MCI
Designed image-processing system for TRW on contract with the Internal Revenue
Service. Participated in the implementation of a prototype of the system.
Designed image based item processing system for TRW and IBM Participated in the
implementation of a prototype of the system.
Defined IBM interoperability strategy for FileNet products.
Defined distributed network printing product for Xerox.
Defined and managed several networking products for Simpact Associates. Used the
System Strategies Inc. Express SNA package.
Defined, designed and implemented several interoperability interfaces to Xerox Electronic
Printers.
Defined, designed and implemented telecommunications control devices for Computer
Communication Incorporated.
Developed and presented numerous public and in-house courses in IBM, Unix, Internet
and related networking technologies.
Member of UCSD Connect Most Innovative Product Award Selection Committee
(2002, 2003, 2004).
Member of Association of Computing Machinery

Litigation Support Experience

Date: 2012 Morrison & Foerster
Augme v. Yahoo
Patent infringement distributed processing
Active

Date: 2011 Quinn Emanuel
Catalina Marketing v. Coupons Inc.
Contract Dispute
Active

Date: 2011 Alston & Bird
Openwave v. Apple, et al
Active

Date: 2011 DLA Piper
Motorola v. Tivo
Patent infringement audio/video processing
Inactive

Date: 2010 Law Office of Christian E. Mammen, Lieff Cabraser Heimann
and Bernstein, LLP and Tousley Brain Stephens, LLP
Curriculum Vitae

Printed: 03/22/12
Deep9 v. Barnes & Noble
Active

Date: 2010 McDermott Will & Emery, Alston & Bird
Bedrock v. Soft Layer, et al
Inactive

Date: 2010 Quinn Emanuel
Soverain v. J.C. Penney, et al
Active

Date: 2009 Jones Day
Oracle v. SAP
Copyright infringement enterprise software
Inactive

Date: 2009 Foley & Lardner
DataTreasury v. US Bank
Inactive

Date: 2009 Gibson, Dunn & Crutcher
IPI v. Red Hat, Novell
Patent infringement distributed file systems
Inactive

Date: 2009 Jackson and Walker
ICR v. Harpo
Patent infringement e-Commerce
Inactive

Date: 2009 Cooley Godward
Leader v. Facebook
Inactive

SuperSpeed v. IBM
Inactive

Date: 2008 Baker & Botts
Fotomedia v. Yahoo!
Curriculum Vitae

Printed: 03/22/12
Patent infringement file sharing
Inactive

Date: 2008 Hogan & Hartson
ODS v. Magna Entertainment
Patent infringement E-Commerce
Inactive

Date: 2008 Winston & Strawn
CNET v. Etilize
Patent infringement E-Commerce
Inactive

Date: 2008 Weil, Gotshal & Manges
i4i v. Microsoft
Patent infringement Data formatting, representation
Inactive

MathWorks v. COMSOL
Patent infringement - interoperability, Copyright
Inactive

Date: 2008 Townsend, Townsend & Crew
Anthurium v. Spheris
Patent infringement Distributed Processing
Inactive

Soverain v. CDW, et al
Patent infringement e-commerce
Inactive

Date: 2008 Paul Hastings
Sify v. Yahoo
Trade secrets
Inactive

Date: 2007 Finnegan Henderson
Cisco v. Telcordia
Patent infringement system monitoring
Inactive

Date: 2007 Brown Raysman
WebSide Story v. NetRatings
Patent infringement web monitoring
Curriculum Vitae

Printed: 03/22/12
Inactive

MediaTek v. Sanyo
Patent infringement data compression
Inactive

Date: 2007 Sutherland
FedEx v. U.S.
Tax Credit
Active

IBM v. Amazon
Patent infringement Electronic commerce
Inactive

NetRatings v. SageMetrics
Patent infringement web monitoring
Inactive

Date: 2006 Young Conaway Stargatt & Taylor
Sungard v. PHI
Breach of contract
Inactive

Autobytel v. Dealix
Patent Infringement Electronic commerce
Inactive

NetRatings v. Coremetrics, et al
Patent Infringement Electronic commerce
Inactive

Date: 2005 Kim & Wilcox
HealthFirst v. HealthTrio
Contract Dispute Electronic information portals
Inactive

Date: 2005 Ropes & Gray (Fish & Neave)
Ampex v. Kodak, et al
Patent Infringement Image transformation
Inactive
Curriculum Vitae

Printed: 03/22/12

Date: 2005 Sedgwick Detert Moran & Arnold LLP
Waltrip Associates v. Kevin Kimperlin & Spencer Trask Ventures
Contract Dispute - Theft of trade secret, EDI and ecommerce
Inactive

Date: 2005 Orrick, Herrington & Sutcliffe LLP
Metilinx v. Hewlett-Packard
Contract Dispute - Large scale software deployment, QA, system
management
Inactive

Date: 2005 Morrison & Foerster
BEA v. SoftwareAG
Patent Infringement - Web Services, Software development tools,
OOP
Inactive

Orion v. American Honda
Patent Infringement Electronic Catalogs and Brochures
Inactive

Date: 2004 Keker & Van Nest
AB Cellular v. City of Los Angeles
Contract Dispute Tax Authority, Source Code Analysis
Inactive

Date: 2004 Silicon Edge Law Group
Oracle v. Mangosoft
Patent Infringement Web System Personalization
Inactive

Date: 2003 Smith Katzenstein & Furlow LLP
S. Rakoff et al v. Dot Com Group, A. Nash et al
Contract Dispute Web Analytics
Inactive

Hill v. IBM
Patent Infringement Electronic Catalog, data management
Inactive

Date: 2003 Fish & Richardson
Mirror Imaging LLC v. Affiliated Computer Services
Curriculum Vitae

Printed: 03/22/12
Patent Infringement Electronic Document Storage
Inactive

VPS LLC v. Eastman Kodak Co. and Ofoto
Patent Infringement Digital Media distribution
Inactive

Date: 2002 Steptoe and Johnson
Steven Heard & Dean Messier v. California Institute of Technology
& Jet Propulsion Laboratory
Patent Infringement - Digital Images Upload/Storage
Inactive

Date: 2002 Fish & Neave LLP
Harrahs Casino v. Stations Casino
Patent Infringement Player loyalty system in a network
Inactive

Date: 2002 Preston Gates and Ellis LLP
Case Eyefinity, Inc. vs. Entigo, Inc.
Project: Contract Dispute - Faulty software development
Status: Inactive

Date: 1998 Robman & Seeley
Case Ametron-American Electronic Supply v. Entin, et al
Project: Theft of Trade Secrets - Recovery of Data and Evaluation
Status: Inactive

Date: 1998 Kronish Lieb Weiner & Hellman
Case GTE v. Videotron
Project: Contract Dispute - Analysis of UNIX-based system
Status: Inactive

Date: 1998 Kudo & Daniels
Case Total Recovery Services v. Microage
Project: Contract Dispute - Faulty Product, evaluation of product.
Status: Inactive

Date: 1996 Baker & Botts
Case BMC Software v. Peregrine Systems, Inc.
Project: Theft of Trade Secrets - DB2 enhancement software.
Curriculum Vitae

Printed: 03/22/12
Status: Inactive

Date: 1995 Pacific Bell Inside Counsel
Case David McGoveran v. Pacific Telesis Group and Pacific Bell
Damages trial in Theft of Trade Secret Litigation - assess market
potential and value of SQL software.
Status: Inactive

Date: 1994 Cooley Godward Castro Huddleson & Tatum
Case ADV Freeman v. Boole & Babbage
Project: Contract Dispute - Assessment of software quality, expert witness
on product marketing and software quality.
Status: Inactive

Date: 1984 O'Melveny & Myers
Case IBM v. NCR Comten
Project: Copyright Infringement - Code comparison and product analysis
and design of alternative technologies.
Status: Inactive

Education

Year College/University Degree
1973 California Polytechnic University BS, Economics


EXHIBIT 2
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MANUAL FILING NOTIFICATION
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Telephone: (415) 875-6600
Facsimile: (415) 875-6700

th
Floor
Telephone: (650) 801-5000
Facsimile: (650) 801-5100

Telephone: (213) 443-3000
Facsimile: (213) 443-3100

INC. and SAMSUNG



Plaintiff,

vs.


Defendant.


MANUAL FILING NOTIFICATION FOR
EXHIBIT 2 TO THE DECLARATION OF
STEPHEN GRAY IN SUPPORT OF
ENHANCEMENT

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-2-
Regarding: Exhibit 3 to the Declaration of Stephen Gray in Support of Samsungs Opposition
to Apples Motion for a Permanent Injunction and Damages Enhancements
This filing is in paper or physical form only, and is being maintained in the case file in the Clerks
office. The exhibits were previously served on all parties.
For information on retrieving this filing directly from the court, please see the courts main web
site at http://www.cand.uscourts.gov under Frequently Asked Questions (FAQ).

This filing was not e-filed for the following reason(s):
__ Voluminous Document (PDF file size larger than efiling system allowances)
Unable to Scan Documents
Physical Object (description):
__ Non Graphical/Textual Computer File (audio, video, etc.) on CD or other media
X Item Under Seal
Conformance with the Judicial Conference Privacy Policy (General Order 53)
Other (description):

DATED: October 19, 2012 Respectfully submitted,

QUINN EMANUEL URQUHART &
SULLIVAN, LLP

By Victoria F. Maroulis
INC. and SAMSUNG


EXHIBIT 3
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02198.51855/5018101.1

nd
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Telephone: (415) 875-6600
Facsimile: (415) 875-6700

th
Floor
Telephone: (650) 801-5000
Facsimile: (650) 801-5100

Telephone: (213) 443-3000
Facsimile: (213) 443-3100

INC. and SAMSUNG



Plaintiff,

vs.


Defendant.


STEPHEN GRAY IN SUPPORT OF
ENHANCEMENT

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02198.51855/5018101.1
-2-
Regarding: Exhibit 3 to the Declaration of Stephen Gray in Support of Samsungs Opposition
to Apples Motion for a Permanent Injunction and Damages Enhancements

__X Non Graphical/Textual Computer File (audio, video, etc.) on CD or other media
Item Under Seal


SULLIVAN, LLP

INC. and SAMSUNG


nd
Floor
Telephone: (415) 875-6600
Facsimile: (415) 875-6700

th
Floor
Telephone: (650) 801-5000
Facsimile: (650) 801-5100

Telephone: (213) 443-3000
Facsimile: (213) 443-3100



Plaintiff,

vs.


Defendants.


DECLARATION OF R. SUKUMAR IN
PERMANENT INJUNCTION AND FOR
DAMAGES ENHANCEMENTS


1

I, Ramamirtham Sukumar, hereby declare as follows:
I. BACKGROUND
1. I am the Chief Executive Officer of Optimal Strategix Group, Inc., a strategic
market research and marketing consulting company. Prior to becoming Chief Executive
Officer of Optimal Strategix Group, Inc., I served as a Professor of Marketing at a number of
Universities and as the Associate Dean for Academic Programs at the Indian School of Business
(ISB). I have served as a consultant for many Fortune 500 companies, engaged to assist
clients in understanding the value of the products they offer, designing and developing new
products and services, setting pricing and promotional strategies, and evaluating brand marketing
strategies. I have also served as an expert, conducting survey research for cases that have
involved patent infringement. My CV is attached as Exhibit 1. My CV contains a list of my
publications from the last 10 years.
II. ASSIGNMENT
2. I understand that Apple is seeking a permanent injunction for certain Samsung
smartphones and tablets. I also understand that Apple must prove Samsung consumers
purchased the relevant Samsung devices because they included the functionality claimed by three
of Apples touchscreen patents (US 7,469,381, US 7,844,915, and US 7,864,163) (the Three
Touchscreen Patents) purportedly tested in Professor Hausers surveys. I further understand
Apple is relying on Professor Hausers Report and surveys to show the requisite consumer
demand for the Three Touchscreen Patents.

2

III. ANALYSIS
A. Professor Hausers Results Do Not Show The Three Touchscreen Patents Drive
Consumer Demand For Any Samsung Product
3. In this litigation, I submitted a rebuttal report in which I analyzed Professor
Hausers Report and surveys.
1
Professor Hauser attempted to measure Samsung consumers
willingness to pay (WTP) (or so-called price premiums) for certain touchscreen functionality
claimed by Apples patents. Hauser Dep. Tr. at 64:5-13 (Well, I had an assignment from
Apple that I wanted to essentially measure price premium, or use other words to describe it, of
the functionality of the patents, yes. That was my assignment.). After careful analysis, I
concluded that Professor Hausers surveys and analysis did not reliably estimate consumers
WTP.
4. I have been asked by counsel for Samsung to consider the applicability of
Professor Hausers surveys and results to the question of consumer demand. As an initial
matter, consumer demand for a product and Professor Hausers estimated consumer WTP for
certain features are fundamentally different concepts. See HAL R. VARIAN, INTERMEDIATE
MICROECONOMICS: A MODERN APPROACH 4 W.W. Norton & Company, Inc. (3d ed. 1993)
(Economists call a persons maximum willingness to pay for something that persons
reservation price. We can plot these reservation prices in a diagram . . . [where] the
[reservation] price is depicted on the vertical axis and the number of people who are willing to
pay that price or more is depicted on the horizontal axis. The demand curve describes the
quantity demanded at each of the possible [reservation] prices.) (emphasis added); see also

1
Expert Report Of R. Sukumar Regarding The Amount Samsung Customers Would Be Willing To Pay For
The Features Associated With Patent Nos. U.S. 7,844,915, U.S. 7,469,381, U.S. 7,864,163, And U.S. 7,663,607
(Sukumar Rebuttal Report).

3

BRYAN K. ORME, GETTING STARTED WITH CONJOINT ANALYSIS: STRATEGIES FOR PRODUCT
DESIGN AND PRICING RESEARCH 84 Research Publishers LLC (2d ed. 2010) (A measure of
willingness to pay shows how much value an individual consumer places on a good or service.).
Importantly, Professor Hausers estimated consumer WTP for a feature does not measure the
ability of Samsung to profitably raise its prices for its products and does not accurately reflect
consumer demand for a product in real-world markets.
5. Assessing consumer demand for the Three Touchscreen Patents was not Professor
Hausers assignment and his analysis does not contain such an assessment. Professor Hausers
surveys and analysis attempt to determine the maximum amount certain customers would be
willing to pay to have a particular feature. He did not, however, even attempt to assess how
consumer demand for a product with a particular feature in the market would vary if the feature
was changed or excluded. See Hauser Report 70 (the surveys were designed to estimate the
value of a change in the level of touchscreen capability relative to a change in price, not to
estimate demand). Such an analysis would be necessary in order to assess whether certain
features drive the demand for the products.
6. In addition, the relationships between features, prices, and the quantity of
products sold, and the question of what drives consumer demand for any product, depend on the
other competitive products in the marketplace, and the decisions of other participants in the
market.
2
For example, if Apple decided to price its iPhone at $1, then consumer demand for
Samsung smartphones would be expected to be quite small, even with the Three Touchscreen
Patents. The market context is critical in assessing consumer demand for the Three
Touchscreen Patents, and Professor Hausers surveys and analysis completely ignored competing

2
BRYAN K. ORME, GETTING STARTED WITH CONJOINT ANALYSIS: STRATEGIES FOR PRODUCT DESIGN AND
PRICING RESEARCH 86-88 Research Publishers LLC (2d ed. 2010).

4

brands and products. Hauser Report 69 (the survey was designed with the goal that
respondents would not make comparisons with other devices available in the marketplace), 96
(I note that I use the term market in a specific way to cover only smartphone and tablet types
that I have varied in the survey; I have not tested a market for smartphones or tablets in which
consumers choose among various brands of smartphones or tablets). Professor Hausers
analysis is therefore necessarily irrelevant to the question of whether the Three Touchscreen
Patents drive the demand for certain Samsung smartphones or tablets.
7. Furthermore, because Professor Hausers survey designs were fundamentally
flawed, his conclusions about so-called price premiums or maximum WTP are inherently
unreliable. I explain these design flaws in more detail below.
B. Professor Hausers Survey Designs Were Flawed
8. I focus here on issues related to the presentation of the touchscreen feature
Professor Hauser tested. Professor Hauser used audio/video (A/V) animations for three of the
seven features he tested. Hauser Report 64 (touchscreen, camera, and connectivity
features presented using A/V animations). Professor Hauser claims this was done to avoid so-
called demand artifacts vis--vis using A/V animations for only a single feature, but he failed
to recognize that in using A/V animations for only some of the features, he created demand
artifacts vis--vis the features not presented via A/V animations. Hauser Report 64, 19
(Demand artifacts are aspects of the study that influence research results based on the chosen
procedure rather than based on the phenomenon under study.) Evidence of these demand
artifacts can be seen in Professor Hausers WTP estimates, which show that the three features
presented via A/V animation produced the highest WTP values and yet none of these features is

5

identified by consumers as among the most important features considered in their smartphone
purchase decision.
3

9. Further evidence of flawed survey designs is adduced from looking at Professor
Hausers WTP estimates for the weight and size feature. It is well documented that screen
size is one of the most important attributes in the smartphone purchase decision, yet Professor
Hausers results indicate that consumers value the Three Touchscreen Patents exponentially
more than the weight and size feature.
4
Indeed, evidence of substantial consumer demand
for smartphones with larger screens can be readily observed in the marketplace by looking at the
success of both the Samsung Galaxy S III with its 4.8 screen and Apples recently-introduced
iPhone 5, with its 4 screen (larger than all previous iPhone models).
5

10. I obtained additional marketplace evidence of the lack of consumer demand for
the Three Touchscreen Patents by examining publicly-available, in-depth product reviews for
relevant Samsung smartphones and tablets.
6
These reviews appear on popular websites that
cover the consumer electronics market. Many of these reviews include both text and video, but
none describe, mention, or demonstrate the functionality associated with the Three Touchscreen
Patents.

3
Compare TABLE 1 infra with APLNDC0002007608 - APLNDC0002007704 at 7633-34 (Defendants
Trial Exh. 572.026-27); see also Sukumar Rebuttal Report 50 (Furthermore, by providing videos for some
features and only graphics for others (Hauser Report, 64) the survey may have created demand artifacts that would
place more emphasis on the attributes for which videos were shown. Consequently, the willingness-to-pay for these
attributes would be biased upward as compared to attributes for which only an image was shown.).
4
; Table 1
infra.
5

See, e.g., Droid Charge (http://www.engadget.com/2011/05/02/droid-charge-review/), Galaxy Tab
(http://www.wired.com/reviews/2010/11/galaxy_tab/), Galaxy S II (AT&T)
(http://www.pcmag.com/article2/0,2817,2393609,00.asp), Exhibit 4G
(http://www.laptopmag.com/review/cellphones/samsung-exhibit-4g.aspx), Gem
(http://reviews.cnet.com/smartphones/samsung-gem-sch-i100/4505-6452_7-34480810.html), Mesmerize
(http://reviews.cnet.com/smartphones/samsung-mesmerize-u-s/4505-6452_7-34192075.html).

6

11. When viewed in the proper marketplace context, Professor Hausers conclusions
regarding the Three Touchscreen Patents are plainly implausible. In order to understand why
his results are so disconnected from marketplace evidence of actual consumer demand, I have
looked again at his surveys and noted an additional problem, the presence of additional demand
artifacts, which was not readily apparent by analyzing his report.
7
I have concluded that in
addition to the demand artifacts created by presenting only some of the features via A/V
animation, Professor Hauser created separate, additional demand artifacts for the touchscreen
feature.
12. As Professor Hauser himself acknowledged, a demand artifact is created when the
design of a survey causes a respondent to focus on a particular feature. Hauser Dep. Tr. at
89:11-90:1 (I do have to have at least some reasonable set of distraction features so that I don't
have a -- them focusing on just the patent and price features.); see also Hauser Report 19.
It is a basic tenet of consumer research that demand artifacts render survey and other types of
experimental results unreliable.
8

13. For each of the tested features, Professor Hauser showed survey respondents an
introductory screen which purported to explain the feature by use of words and icons.
9
These

7
Professor Hausers actual surveys were not provided to Samsung. Instead, Professor Hauser provided
screenshots from the surveys, which were printed and attached as Exhibits F-G to his Report. It was only after
discovering on my own that some of the survey pages were still viewable online that I had the chance to view those
survey pages in the same way survey respondents did, thus discovering the additional demand artifacts created by
the flawed survey designs.
8
Alan G. Sawyer, Demand Artifacts in Laboratory Experiments in Consumer Research, Journal of Consumer
Research, 1, 4 (Mar. 1975) at 20-21 (The effects of demand artifacts pose important threats to both internal and
external validity. Demand characteristics which are more likely to occur in the more artificial laboratory may
affect the ability of the experimenter to generalize his results to a real life situation where an analogous set of
demand conditions may be absent [ ].).
9
See, e.g., http://www.surveyplus.com/survey1202asps/QATTR1.asp,
http://www.surveyplus.com/survey1202asps/QATTR2.asp,
(footnote continued)

7

icons were also used in each of the screens respondents used to make their product selections.
Hauser Report Exhs. F-G. As is easily discerned by viewing the introductory screens and the
survey selection screens, Professor Hauser improperly and overtly differentiated the touchscreen
feature, causing respondents to focus on it inordinately, thus introducing error and bias in the
form of demand artifacts.
10

14. Professor Hauser differentiated the touchscreen feature in numerous ways. Most
obviously, when moving from level to level in the touchscreen feature, levels are crossed out
with bright red linesno other features levels are depicted this way.
11
This differentiation is
made clear by direct comparison to the connectivity feature, the icons of which otherwise most
closely resembles the touchscreen feature icons.
12
When depicting connectivity levels,
Professor Hauser simply presented the functions the particular level hadhe did not, as he did
with the touchscreen levels, strike-through missing functions in red and allow those functions to
remain in each of the four icons presented in the survey. Such differentiation focused survey
respondents inordinately and inappropriately on the Three Touchscreen Patents, specifically, on
the loss of the functions covered by them. In so doing, Professor Hausers surveys suggest the

http://www.surveyplus.com/survey1202asps/QATTR7.asp.
10
The introduction to the touchscreen feature for smartphones is available at
http://www.surveyplus.com/survey1202asps/QATTR3.asp and the introduction to the touchscreen feature for
tablets is available at http://www.surveyplus.com/survey1202asts/QATTR3.asp. The actual survey selection screens
incorporating the touchscreen icons are not available online. Each survey respondent saw 16 selection screens
featuring the icons discussed above. Professor Hauser provided only two examples (one for smartphones, one for
tablets) of these selection screens in his Report. Hauser Report Exhs. F-G.
11
Compare http://www.surveyplus.com/survey1202asps/QATTR3.asp with
http://www.surveyplus.com/survey1202asps/QATTR1.asp and
12
Compare http://www.surveyplus.com/survey1202asps/QATTR3.asp with

8

correct answer to each choice exercise is whichever choice includes all of the functions covered
by the Three Touchscreen Patents. In this way, Professor Hauser made the Three Touchscreen
Patents appear in his survey as must-have functions, which improperly guided respondents to
select them without proper consideration of utility, other features, or price. This caused his
surveys to overstate the WTP estimates of the Three Touchscreen Patents.
15. Professor Hauser differentiated the touchscreen feature in other ways as well.
They include: (1) occupying the most space in the selection screen grid;
13
(2) rendering the
background color of the touchscreen icon solid black, while rendering the other features icons
in medium-to-light gray gradients;
14
and (3) depicting the touchscreen feature with large
disparities in the lines of text used to describe levels (for example, Full Multi-Touch is a single
line of text while the highest level touchscreen description utilizes five lines of text;
15
no other
features description employs a five-to-one ratio).
16
The import of these differentiations is that
the survey focused respondents on the touchscreen feature, which created layers of demand
artifacts. These and other errors render his results and conclusions unreliable.
C. Professor Hausers Results And Conclusions Are Contradicted By Marketplace
Evidence Of Demand
16. As made clear during trial, Professor Hausers results lack external validity,
which means they are not validated by real-world consumer behavior. Trial Tr. 1926:24-
1927:7; 1940:4-21. The import of this is twofold. First, it is undisputed that Professor
Hausers implausible valuations of the Three Touchscreen Patents do not reflect dollar amounts
consumers would actually pay in the real world. See id. at 1935:16-25 (It's not what they

13
See Hauser Report Exh. F at QINTRO3.
14
See n.11 supra; Hauser Report Exh. F at QINTRO3.
15
http://www.surveyplus.com/survey1202asts/QATTR3.asp.
16
See n.11 supra.

9

actually pay in the marketplace.). Indeed, Professor Hauser himself has conceded that, at best,
his survey data and results can be used to estimate WTP for the tested featuresthey do not
measure, and cannot be used to measure, what consumers might actually pay in the real world.
Id. Second, because Professor Hausers results are inconsistent with consumer data, including
purchase-decision surveys commissioned and/or conducted by Apple and/or Samsung, his results
cannot be equated with actual consumer demand for the Three Touchscreen Patents.
17

17. To demonstrate the disparity between Professor Hausers results and evidence of
actual consumer demand in the marketplace, using Professor Hausers data and one of his
selected methodologies, I calculated the WTP estimates for the other features Professor Hauser
tested in his surveys. While Professor Hauser deliberately chose not to report these other WTP
estimates, they can be calculated using the back-up data and programs he provided.
18
Hauser
Dep. Tr. at 90:2-91:2 (I think for simplicity . . . I didnt report them, but, you know, they were
theyre in all the files; you can compute them, et cetera.). More specifically, I used Professor
Hausers median-consumer WTP programs to derive so-called price premium estimates for the
other tested features. Professor Hauser used the median-consumer willingness to pay
calculations to check the market simulation results reported in Table 4 of his Report.
19
Below, I

17
See, e.g., SAMNDCA00252685 - SAMNDCA00252775 at 707 (Most important features are reception and
battery life. Device durability, speed of connectivity, ease of typing, and wireless carrier deemed very important
attributes by at least 75% of consumers.),

The relevant data appears in Professor Hauser's SAS datasets (avss_mono_scrub.sas7bdat and
avst_mono_scrub.sas7bdat) and program files (header.sas, wtp_tablet.sas, and wtp_sphone.sas). The price premiums
I report in Table 1 were generated by applying the code in Professor Hausers programs for the Touchscreen feature
to the other features.
19
As Professor Hauser states in his Report, [t]he median-consumer willingness to pay calculation yields price
premium estimates that are similar to what I estimate using the market simulation method. Hauser Report 104,
n.72. Median WTP estimates could also be derived using Professor Hausers market simulation method. Hauser
Report 98. Analyzing Professor Hausers consumer WTP method allowed me to consider the distribution of
individual WTP estimates, which provided additional insight into the reliability and reasonableness of Professor
Hausers analysis and results. Sukumar Rebuttal Report 11, 70-75.

10

summarize some of the fundamental marketplace contradictions his median-consumer
willingness to pay calculations show:
Professor Hausers estimated price premium for memory was $.04 for
smartphones and $10 for tablets to double memory from the base 8GB,
while the marketplace typically commands much more to double the
storage capacity of a smartphone or tablet.
20
For example, Samsung
charges $100 to double the storage capacity of the Galaxy Tab 7.0
tablet.
21

Professor Hausers results suggest consumers are willing to spend only
$0.01 to double the number of applications (apps) available for their
smartphone.
22

In fact, the number of available apps is such a critical driver of
consumer demand that Apple
.
24

18. Professor Hauser used four levels for each of the features he tested. Hauser
Report Exhs. F-G. Professor Hausers estimated price premiums are presented in the Table 1
below. As the table clearly illustrates, the median-consumer WTP for the Three Touchscreen
Patents for smartphones is substantially greater than every other tested feature besides
camera.
25
Such a result is implausiblethe Three Touchscreen Patents are indisputably a

20
See Table 1 infra.
21
Compare http://www.samsung.com/us/mobile/galaxy-tab/GT-P6210MAYXAR (16GB/$349) with
http://www.samsung.com/us/mobile/galaxy-tab/GT-P6210MAVXAR (32GB/$449).
22
See Table 1 infra.
23

24

Professor Hausers choice to
conflate these features likely resulted in respondent confusion and upwardly biased his WTP estimates for the
camera feature. See Sukumar Rebuttal Report 47-49. Similarly, Professor Hausers connectivity
feature is also a bundle of features consumers typically disaggregate, as evidenced by the very source Professor
Hauser claims externally validates his construction of features. Compare Hauser Report 39 with http://cell-
phones.toptenreviews.com/smartphones/. In fact, Professor Hauser admitted he had no external validation for
bundling the features they way he chose to do in his surveys. Hauser Dep. Tr. 160:6-20 (Q: are you aware of
(footnote continued)

11

small subset of functions within a single feature, touchscreen.
26

27

28
Indeed, as Professor Hauser himself has admitted, theres a lot of
touchscreen features and literally hundreds of [other features] came up during the consumer
interviews Professor Hauser used to design his surveys.
29
Hauser Dep. Tr. at 59:18-60:9;
109:17-25; 18:3-9. By virtue of constituting the entire touchscreen, feature with only Apples
patents, survey respondents very likely misunderstood what the patents actually covered
perhaps mistakenly believing that without Apples patents, the devices touchscreens would not
function at all.
30
In any case, because Professor Hausers results defy common sense and
contradict evidence of actual consumer sentiment and behavior, they cannot be relied upon to
show consumer demand.

any website or magazine that combines the features the way you do in your survey? A: I dont doesnt need to to
have one.).
26
See n.6 supra. The functionality claimed by the Three Touchscreen Patents is not disaggregated in
Samsungs advertising or in popular media reviews of the relevant Samsung products. Professor Hausers
smartphone WTP estimate for the Three Touchscreen Patents is especially implausible when compared to the $152
average price survey respondents paid for their smartphone. Hauser Report 101.
27

29
Professor Hausers failure to test the features identified as important in consumers purchase decisions also
render his results unreliable. Sukumar Rebuttal Report 43 (if Professor Hauser had shown more features
identified by consumers as influential to their purchasing decision, any one of the tested features may have been
drowned out by a feature real-world consumers actually consider when purchasing smartphones and tablets), 82
(Professor Hausers conjoint analysis omitted a variety of characteristics that matter to consumers when selecting
smartphones and tablet computers . . . [b]ecause Professor Hauser has excluded important features from his analysis,
his results bias and inflate the value of the features he does test.).
30
See, e.g., http://www.surveyplus.com/survey1202asps/play_video.asp?vid=31.

12

TABLE 1: PROFESSOR HAUSERS MEDIAN-CONSUMER WTP ESTIMATES
31

Feature
32
Smartphones (Base Price $199) Tablets (Base Price $499)
915 + 163 + 381

$124 $97
33

CAMERA
(3 MP Rear Camera,
Standard Video
Recording, Autofocus
base level)

$77 (8 MP Rear Camera, HD Video
Recording, Autofocus)

$136 (8 MP Rear Camera HD Video
Recording, Autofocus, 2 MP Front
Camera)

$162 (12 MP Rear Camera, HD
Video Recording,
Autofocus, 2 MP Front Camera,
Zoom)
$49

$121

$152
WEIGHT & SIZE

3.5 in., 4 oz. base level

$28 (4 in. / 5 oz.)

$26 ( 4.3 in. / 5.3 oz)

$31 (4.5 in. / 6 oz.)
7 in. / 1 lb. base level

$21 (8.5 in. / 1.5 lbs.)

$35 (9 in. / 1.75 lbs.)

$46 (10 in. / 2 lbs.)
STORAGE/MEMORY
(8 GB base level)

$0.04 (16 GB)

$19 (32 GB)

$24 (64 GB)
$10

$52

$57
CONNECTIVITY

Cellular, WiFi base level

$25 (Cellular, WiFi, Tethering)

$75 (Cellular, WiFi, Tethering,
MicroUSB)

$83 (Cellular, WiFi, Tethering,
MicroUSB, HDMI)
WiFi base level

$18 (WiFi, Bluetooth)

$99 (WiFi, Bluetooth
MicroUSB)

$117 (WiFi, Bluetooth
MicroUSB, HDMI)

31
These values are reported uncappednowhere in his Report did Professor Hauser reveal that he capped all
values at $100, but the data and programs he produced shows the existence of such a cap. See wtp_sphone.sas and
wtp_tablet.sas.
32
The four levels of features included in the smartphone and tablet surveys were identical except for the
weight and size and connectivity features.
33
Hauser Report 104, n.73 (the median WTP is $97 for the combination of 915, 163, and 381).

13

NUMBER OF APPS
(150,000 base level)

$0.01 (300,000)
$0.03 (450,000)
$0.04 (600,000)
$0.01
$0.04
$0.05

19. I believe that problems in any one of the areas I have outlined herein or
previously described in the Sukumar Rebuttal Report render Professor Hausers survey results
and analysis fundamentally unreliable. The fact that there are problems in numerous areas of
his surveys lead me to conclude that the survey results and Professor Hausers analysis are not
credible and cannot be relied upon to show actual consumer demand.

I declare under penalty of perjury that the foregoing is true and correct. Executed in
Philadelphia, Pennsylvania on October 19, 2012.

By: _______________________________________
R. Sukumar


EXHIBIT 1

1

R. Sukumar, Ph.D.

Home:
2 Tomlyn Drive
Princeton, NJ 08540

P: (609) 430-0986
C: (832) 372-8580
E: Sukumar@me.com
Office:
140 Terry Drive, Suite 118
Newtown, PA 18940

P: (215) 867-1881
C: (609) 356-4551
E: r.sukumar@optimalstrategix.com

Education
1991 Ph.D. in Business Administration
Joseph M. Katz Graduate School of Business
University of Pittsburgh, Pittsburgh, Pennsylvania.
Major: Marketing (Stochastic Parameter Model to Understand Price and Promotion
Effectiveness)

1990 Master of Business Administration
Joseph M. Katz Graduate School of Business
University of Pittsburgh, Pittsburgh, Pennsylvania.
Major: Marketing

1985 Bachelor of Technology (Hons.)
Indian Institute of Technology, Kharagpur, India
Major: Mechanical Engineering

Experience

1998- Chief Executive Officer, Optimal Strategix Group, Inc., a strategic market research
and marketing consulting company focused on delivering market foresight on
innovations, brand engineering, and effective marketing programs

Fall 2008 Visiting Professor, City University of New York, Baruch College

2006-2007 Visiting Associate Professor of Marketing, Rutgers Business School, State University
of New Jersey, New Brunswick, NJ

2005-2006 Visiting Professor of Marketing, Robert H. Smith Graduate School of Business,
University of Maryland, College Park, Maryland

2001-2005 Clinical Professor of World Business, Thunderbird,
Sam Garvin International School of Management, Glendale, Arizona
Courses taught Data Analysis, Global Product Development, Analysis for
Strategic Marketing, EMBA Data Analysis in Taipei Teacher Effectiveness
Index from 4.3 to 4.8 on 5.0

Taught in the MBA and Executive MBA programs and Executive Education
Programs. Rated the best professor in Marketing; top three in the Business School
Associate Director Thunderbird Corporate Consulting Program. Consulted with
GM, Ford, J & J, among others.

2

1999-2001 Visiting Associate Professor of Marketing, Jones Graduate School of Management
Rice University
Taught in the MBA and the Executive MBA programs
Rated in the top three professors in the Business School

2002-03 Associate Dean for Academic Programs, The Indian School of Business
ISB is founded by partner schools Northwestern University, Kellogg Graduate
School of Management; University of Pennsylvania, Wharton School of
Management and London School of Business.

1990-99 Assistant Professor Marketing & Entrepreneurship, C. T. Bauer College of
Business, University of Houston.

Taught in undergraduate, graduate (MBA and Ph.D.) and Executive MBA programs
Received Distinguished EMBA Faculty Award, 1999.
Received Halliburton Excellence Award for Teaching and Service, 1996-97.

1997-2004 Vice President - Marketing Sciences, IPSOS-Insight, New York, NY (first started
with the NPD Group, Inc., custom business was acquired in 2001 by IPSOS).
Role involves conducting advanced analytics, product development, conducting
workshops, internal teaching, client support and research and development of new
analytical tools.

Also taught at the City University of Hong Kong, Hong Kong courses on Global
Product Development, Marketing Management, and Marketing Research

Teaching & Workshops

Core course in Marketing Management, Market Research and Marketing Strategy
MBA electives in Business-to-Business Marketing, Database Marketing,
Data Mining, and New Product Development

Executive MBA courses in Marketing Management and Advanced Marketing
Strategy.

Taught in the Executive Certification Program in E-Commerce Management at the
C. T. Bauer College of Business, University of Houston.

Conducted Workshop on Survey Research Methods at the Advanced Research
Techniques Conference in Aspen, Colorado (June 1998).

Chaired two Executive workshops on Improving the New Product Development
Process: Lessons from Experts (June 1994 and May 1995)

Chair of Executive Program on Customer-Driven Technology New Product
Development: Increasing Profits and Managing Risk through Market Research.
(January 17-18, 1996)


3

Conducted three week course on Managing Markets for executives from Deutsche
Telekom, Germany (October 1996)

Taught executives from Deutsche Telekom, Germany (June 1997, September 1997),
from Chinas PetroChina (China National Petroleum Corporation) (September 1999,
June 2000, September 2000).

Research Experience
Articles
"Heuristics for Product-Line Selection using Conjoint Analysis," Management
Science, December 1990, Vol 36, Number 12, p. 1464-1478 (with Professor Rajeev
Kohli).

Measuring Marketing Mix Effects in the Video-Game Console Market with
Pradeep Chintagunta and Harikesh Nair (forthcoming Journal of Applied
Econometrics, October 2006)

Data Mining, in Handbook of Marketing Research, 2006 (editors, Rajiv Grover
and Marco Vriens)

Research Interests
New Product (service) innovation, Market segmentation, brand loyalty, pricing,
database marketing, data mining, market structure analyses.

Presented at several conferences and workshops. Most recent presentation: Effects
of Service Failure and Service Recovery on Customer Life Time Value, a joint
MSI/Yale University Conference (December 2004)

Presented conference papers at Marketing Science Conferences (INFORMS).
Currently, working in the area of Hierarchical Bayesian approaches to Market
Segmentation based on information search criteria

Other Research Experience

Served as a Reviewer for a number of manuscripts submitted for publication to
journals published by the American Marketing Association, INFORMS.
Reviewer for manuscripts submitted to Management Science, Journal of Marketing
Research and Journal of Advertising.

Dissertation Committees

Ms. Charu Prakash (co-chair), Ms. V. Satya (co-chair)
Kiran Karande (member), John Gaskins (member), Rajagopal Echambadi (member),
Rosalind Wyatt (member)
Rama Pakala (member, Mechanical Engineering, Masters thesis)
Shantanu Swadi (member, Mechanical Engineering, Masters thesis)

4

Consulting Experience

Consulted on Marketing and Market Research issues for a number of large and small
organizations, including Pfizer, Genentech, AstraZeneca, Johnson and Johnson
Pharmaceuticals, Abbott Laboratories, Nestle, Kraft Foods, ExxonMobil, Jiffy
Lube/Pennzoil, Schlumberger-GeoQuest, Halliburton, Lucas Arts, Qwest
Cyber.Solutions, Inc., Lubrizol, Shell Oil, Calgary Transit Authority, Diagnostic
Systems Laboratories, Columbia/HCA, METRO Transit, Conoco and St. Lukes
Episcopal Hospital.

I have worked with a number of organizations as part of class projects with student
teams developing market research and marketing plans.

Conducted training programs for Reliant Energy and Communications, El Paso
Energy, Deutsche Telekom, PetroChina (China National Petroleum Corporation),
Shell Business Leadership Team.

Professional Affiliations

American Marketing Association, American Statistical Association, INFORMS
American Economic Association
American Psychometric Society
American Statistical Association
Econometric Society
European Marketing Association
Product Development and Management Association
President, South Central Chapter of the Product Development and Management
Association. (1995-1997). Active member and Director of the Board for the
Phoenix Chapter of the PDMA (1998-2004)

Expert Witness Work

- Nomadix v. HP et. Al, United States District Court, CENTRAL DISTRICT OF
CALIFORNIA, WESTERN DIVISION, Case under settlement
- Apple v. Samsung, UNITED STATES DISTRICT COURT, NORTHERN DISTRICT
OF CALIFORNIA
- Microsoft Corporation v. Motorola Inc., Motorola Mobility, Inc., and General Instrumentation
Corporation, UNITED STATES DISTRICT COURT, FOR THE WESTERN DISTRICT OF
WASHINGTON at Seattle

NORTHERN DISTRICT OF CALIFORNIA
SAN JOSE DIVISION

__________________________________________
)
APPLE INC., )
)
Plaintiff, ) Case No. 11-cv-01846-LHK
)
v. )
)
SAMSUNG ELECTRONICS CO., LTD.; )
SAMSUNG ELECTRONICS AMERICA, INC.; )
and SAMSUNG TELECOMMUNICATIONS )
AMERICA, LLC, )
)
Defendants. )
__________________________________________)

DECLARATION OF YORAM (JERRY) WIND

October 19, 2012

1

TABLE OF CONTENTS

I. Introduction ............................................................................................................................ 3
A. Assignment And Objectives ......................................................................................... 3
B. Qualifications ................................................................................................................ 3
C. Approach And Materials Reviewed .............................................................................. 6
II. Summary Of Conclusions ...................................................................................................... 7
III. Background .......................................................................................................................... 10
A. Case Status .................................................................................................................. 10
B. Patented Features and Non-Infringing Alternatives ................................................... 11
C. Background On Smartphones And Tablets................................................................. 14
D. Overview Of Professor Hausers Analysis ................................................................. 16
IV. Analysis Of Hauser Report .................................................................................................. 21
A. The Surveys Upon Which Professor Hausers Findings Are Based Were Not
Designed To Estimate The Magnitude Of Samsung Smartphone And Tablet Sales
Attributable To The Protected Features ...................................................................... 21
B. Professor Hausers Estimates Of The WTP Price Premium Associated With The
Features Claimed In The Utility Patents Are Based On An Underlying Methodology
That Generates Nonsensical Predictions ..................................................................... 24
1. Professor Hausers Methodology Suggests That A Substantial
Portion Of Survey Respondents Prefer To Pay Higher Prices
For Otherwise Identical Smartphones And Tablets ........................................ 24
2. Professor Hausers Methodology Suggests That A Large
Portion Of Samsung Owners Prefer Clearly Inferior, Yet
Identically Priced, Smartphones And Tablets ................................................. 26
3. Professor Hausers Estimates Of The WTP Price Premium
Associated With Just The Touchscreen Features Examined
Exceed The $152 Average Smartphone Price Paid By Survey
Respondents .................................................................................................... 28
C. The Surveys Underlying Professor Hausers Findings Embody Numerous Design
Flaws That Invalidate His Analysis And Appear To Inflate His Price Premium
Estimates ..................................................................................................................... 29
1. Professor Hausers WTP Price Premium Estimates Associated
With The Features Claimed In The Utility Patents Are
Conflated By An Apparent Bias Associated With Animated
Feature Descriptions ....................................................................................... 29
2. Professor Hausers Failure To Incorporate Appropriate Non-
Infringing Alternative Features Results In Apparently Inflated
WTP Price Premium Estimates ....................................................................... 32

2

3. Professor Hausers WTP Price Premium Estimates May Be
Inflated Because Respondents Were Forced To Choose
Samsung Smartphones .................................................................................... 35
Biased Upward Due To The Fact That There Are No Actual
Consequences To Purchasing More Expensive Products In A
Hypothetical Survey ........................................................................................ 36
Overstated Because His Survey Omits A Number Of Important
Features And Benefits Associated With The Smartphone And
Tablet Purchase Decision ................................................................................ 37
D. Professor Hauser Failed To Externally Validate His Model ...................................... 39
V. Conclusion ........................................................................................................................... 39


3

I, Yoram (Jerry) Wind, declare as follows:
I. INTRODUCTION
A. Assignment And Objectives
1. I was asked by counsel for Samsung to evaluate the Expert Report of John R.
Hauser (the Hauser Report) and the conjoint study discussed therein, and in particular, to
comment on whether the conjoint study conducted by Professor Hauser demonstrates that the
touchscreen features claimed in U.S. Patent Numbers 7,469,381 (the 381 patent); 7,844,915
(the 915 patent); and 7,864,163 (the 163 patent) drive consumer demand for Samsung
smartphones and tabletsi.e. that consumers buy Samsung smartphones and tablets because
they are equipped with those features.
B. Qualifications
2. I am the Lauder Professor and Professor of Marketing at the Wharton School of
the University of Pennsylvania. I joined the Wharton staff in 1967, upon receipt of my doctorate
from Stanford University.
3. Publications I have been a regular contributor to the marketing field, including
22 books and over 250 papers, articles, and monographs. My books and articles, which are
frequently cited by other authors, encompass marketing strategy, marketing research, new
product and market development, consumer behavior, organizational buying behavior, and
global marketing strategy.
4. Editorships I have served as the editor-in-chief of the Journal of Marketing, as
a guest editor of numerous marketing journals, on the policy boards of the Journal of Consumer
Research, and Marketing Science, and on the editorial boards of the major marketing journals. I
am the founder of Wharton School of Publishing and served as its first Wharton editor from 2004

4

to 2008.
5. Teaching and Consulting I have taught MBA, Ph.D., and executive
development courses on a wide range of marketing topics. I also have consulted extensively for
many Fortune 500 firms, including major consumer goods firms. In my teaching, consulting,
editorial, and university positions I have designed, conducted, and evaluated thousands of
marketing and consumer research studies.
6. Expert Witness I have conducted and evaluated marketing and consumer
research in a litigation context, have been qualified as a marketing and survey research expert,
and testified in trial in a number of federal courts.
7. Awards I have received various awards, including the four major marketing
awards The Charles Coolidge Parlin Award (1985), the AMA/Irwin Distinguished Educator
Award (1993), the Paul D. Converse Award (1996), and MITs Buck Weaver Award (2007). I
also received the first Faculty Impact Award by Wharton Alumni (1993). I was elected to the
Attitude Research Hall of Fame in 1984. I have also been honored with a number of research
awards, including two Alpha Kappa Psi Foundation awards. In 2001, I was selected as one of
the ten grand Auteurs in Marketing and in 2003 I received the Elsevier Science Distinguished
Scholar Award of the Society for Marketing Advances. In 2010, I was selected as one of the Ten
Legends of Marketing, and Sage Publications is publishing eight volumes of my writings.
8. Complete Resume and Compensation My resume and the legal cases in which
I have testified in deposition or trial are included in Appendix A.
1
My total compensation for
review and analysis of the relevant material and preparation of this expert report is based on my
regular consulting rate of $1,000 an hour.

1
A copy of my CV can also be found at https://marketing.wharton.upenn.edu/profile/196/cv.

5

9. Experience with Conjoint Analysis With Paul Green and Doug Carroll, I
wrote in 1973 the first book on conjoint analysis Multi-Attribute Decisions in Marketing: A
Measurement Approach.
2
Since the early 1970s, as part of the research team including Paul
Green and Abba Krieger, we developed many of the advances in conjoint analysis and have
applied conjoint analyses in hundreds of academic and commercial studies. See, for example:
Subjective Evaluation Models and Conjoint Measurement
3

Consumer Menu Preference: An Application of Additive Conjoint
Measurement
4

New Way to Measure Consumers Judgments
5

New Developments in Conjoint Analysis
6

Conjoint Analysis of Price Premiums for Hotel Amenities
7

Thirty Years of Conjoint Analysis: Reflections and Prospects
8

2
Wind, Yoram, Paul E. Green, and J. Douglas Carroll. Multi-Attribute Decisions in Marketing: A Measurement
Approach. Hinsdale: The Dryden Press, 1973.
3
Green, Paul E., Frank J. Carmone, and Yoram Wind. Subjective Evaluation Models and Conjoint Measurement.
Behavioral Science 17.3 (May 1972): 288-299, available at
http://dl.dropbox.com/u/9686940/windj/7205_Subjective_Evaluation_Models_and_Conjoint.pdf.
4
Green, Paul E., Yoram Wind, and Arun K. Jain. Consumer Menu Preference: An Application of Additive
Conjoint Measurement. Proceedings of the Third Annual Conference of the Association for Consumer Research.
Ed. M. Venkatesan. Chicago: Association for Consumer Research, 1972. 304-315, available at
http://dl.dropbox.com/u/9686940/windj/7208_Consumer_Menu_Preferences_An_Application.pdf.
5
Green, Paul E. and Yoram Wind. New Way to Measure Consumers' Judgments. Harvard Business Review 53
(July - Aug. 1975): 107-117, available at
http://dl.dropbox.com/u/9686940/windj/7509_New_Way_to_Measure_Consumers'.pdf.
6
Wind, Yoram (Jerry). New Developments in Conjoint Analysis. Paper presented at the 25th Annual Midwest
Conference of the American Statistical Association on What's New in Statistical Techniques for Marketing
Research, Mar. 1978.
7
Goldberg, Stephen M., Paul E. Green, and Yoram Wind. Conjoint Analysis of Price Premiums for Hotel
Amenities. Journal of Business 57.1.2 (1984): S111-S132, available at
http://dl.dropbox.com/u/9686940/windj/8403_Conjoint_Analysis_of_Price_Premiums.pdf.
8
Green, Paul E., Abba M. Krieger, and Yoram (Jerry) Wind. Thirty Years of Conjoint Analysis: Reflections and
Prospects. Interfaces 31.3.2 (May - June 2001): S56-S73, available at
http://dl.dropbox.com/u/9686940/windj/0102_Thirty_Years_of_Conjoint_Analysis.pdf.

6

Conjoint Analysis: Methods and Applications
9

Applying Conjoint Analysis to Legal Disputes: A Case Study
10

10. Additionally, the e-book I co-authored with Abba Krieger and Paul Green,
Adventures in Conjoint Analysis: A Practitioners Guide to Trade-Off Modeling and
Applications,
11
offers a summary of reflections on some of our work over the years, in which we
applied conjoint analysis in the design of products and services, positioning, market
segmentation, product assortment, pricing, and other marketing and business decisions. These
applications included the design of the Courtyard by Marriott, and projects for numerous firms
such as AT&T, Ford, IBM, Xerox, American Airlines, FedEx, MasterCard, Monsanto, Pfizer,
GSK, and a number of other B2C and B2B firms. For an illustrative list of applications, see
Table 2 of Thirty Years of Conjoint Analysis: Reflections and Prospects.
12

C. Approach And Materials Reviewed
11. Approach and Criteria for Evaluation In preparing this report, I relied on
marketing, consumer behavior, and consumer research concepts, methods, and findings (a) as
reflected in the professional literature and as taught by me and others at Wharton and other
leading universities, and (b) as practiced by me and other leading professionals in conducting

9
Green, Paul E., Jerry Wind, and Vithala R. Rao. Conjoint Analysis: Methods and Applications. The Technology
Management Handbook. Ed. Richard C. Dorf. Boca Raton, FL: CRC Press, 1998. 12-6612-72, available at
http://dl.dropbox.com/u/9686940/windj/9903_Conjoint_Analysis_Methods_and_Applications.pdf.
10
Wind, Yoram (Jerry), Abba M. Krieger, and Paul E. Green. Applying Conjoint Analysis to Legal Disputes: A
Case Study. Wharton School Working Paper, 2002, available at
http://dl.dropbox.com/u/9686940/windj/0601_Applying_Conjoint_Analysis_to_Legal.pdf.
11
Krieger, Abba M., Paul E. Green and Yoram (Jerry) Wind. Adventures in Conjoint Analysis: A Practitioners
Guide to Trade-Off Modeling and Applications. Philadelphia: The Wharton School, 2004, available at
https://marketing.wharton.upenn.edu/faculty/green/monograph/.
12
Green, Paul E., Abba M. Krieger, and Yoram (Jerry) Wind. Thirty Years of Conjoint Analysis: Reflections and
Prospects. Interfaces 31.3.2 (May - June 2001): S56-S73, available at
http://dl.dropbox.com/u/9686940/windj/0102_Thirty_Years_of_Conjoint_Analysis.pdf.

7

and evaluating marketing and consumer research for academic peer-reviewed publications and
for management and courts as input into their decisions. These principles are consistent with the
criteria outlined in the Manual for Complex Litigation (4th Edition) published in 2004 by the
Federal Judicial Center.
12. Material Reviewed and Research Team In reaching these conclusions, I
reviewed and/or relied upon the items listed in Appendix B. These materials include, among
other things, Professor Hausers report, deposition and trial testimony. I also have discussed
issues in this case with my colleague and research collaborator, Professor Abba Krieger, and
with Analysis Group. In addition, some of the analysis that supports the opinions expressed in
this declaration was performed by staff members at Analysis Group working under my direction
and supervision.
II. SUMMARY OF CONCLUSIONS
13. Professor Hauser's Report and the conjoint analysis that it describes do not
show that consumers bought Samsung smartphones or tablets because the devices were
equipped with the features claimed in the utility patents. That is, Professor Hausers conjoint
analysis does not provide a reliable or valid basis for determining whether the touchscreen
features claimed in the 915, 163, or 381 patents (the utility patents or patents at issue)
drove sales of the Samsung smartphones or tablets that incorporated those features. The reasons
include the following.
14. First, as Professor Hauser acknowledges, his analysis was not designed to
show that consumers bought Samsung smartphones or tablets because they were equipped
with the features claimed in the utility patents. His surveys were designed to examine why
respondents choose among Samsung smartphones or tablets and not why respondents select

8

Samsung smartphones or tablets over competing products or rather than choosing to make no
purchase at all. He limited his surveys to owners of Samsung smartphones or tablets and forced
those respondents to choose only Samsung devices. Respondents did not have the choice to
select competing products, nor did they have the choice not to select Samsung devices because
prices were too high or the devices did not meet their purchase requirements. Consequently,
Professor Hausers surveys do not provide a basis by which to analyze why survey respondents
buy Samsung smartphones or tablets versus buying another brand of smartphone or tablet (or not
buying such a device at all). Professor Hauser explicitly acknowledged this limitation of his
survey design in his report, noting that the survey was designed with the goal that respondents
would not make comparisons with other devices available in the marketplace
13
and that [t]his
outside-option design is appropriate when a researcher wishes to estimate primary demand for
smartphones,
14
where primary demand reflects the demand for the products explicitly examined
in the survey relative to alternatives. As such, one cannot draw any conclusions from Professor
Hausers surveys as to whether the features claimed in the patents at issue drove purchases of
Samsung smartphones or tablets equipped with those features. (See paragraphs 40-45)
15. Second, Professor Hausers methodology generates predictions that are
inconsistent with market realities and common sense. Specifically, Professor Hausers
estimates of the willingness-to-pay (WTP) price premium associated with the features claimed
in the utility patents are based on an underlying methodology that generates nonsensical
predictions. For example, they suggest that:
As many as 43 percent of survey respondents chose to purchase smartphones or

13
Hauser Report, p. 35.
14

9

tablets that were priced higher than an identical lower-priced device. (See
paragraphs 46-47.)
As many as 35 percent of respondents preferred clearly inferior yet identically
priced devices. (See paragraphs 48-51.)
The smartphone WTP price premium associated with just the touchscreen features
examined by Professor Hauser exceeds the $152 average price paid by survey
respondents. (See paragraphs 52-54.)
16. Third, the design of the surveys that underlie Professor Hausers findings
embodies numerous flaws that appear to invalidate his analysis and/or inflate his price
premium estimates. Professor Hausers WTP premium estimates associated with the features
claimed in the utility patents:
are conflated by systematically higher WTP price premium estimates associated
with animated descriptions used to describe the features claimed in the utility
patents. (See paragraphs 56-60.)
appear to be inflated because his analysis failed to compare the willingness-to-pay
for features associated with technologies claimed in the utility patents with non-
infringing substitute technologies. (See paragraphs 61-65.)
may be inflated by a survey design which forced respondents to choose Samsung
devices by not including other brands or a no choice option. (See paragraphs
66-67.)
may not accurately reflect respondents price sensitivity because respondents
survey responses are linked to hypothetical, and not actual, spending. (See
paragraphs 68-69.)

10

may be overstated because his survey omits a number of important features and
benefits associated with the smartphone and tablet purchase decision. (See
paragraphs 70-72.)
17. Fourth, Professor Hauser failed to externally validate his model. Professor
Hauser conducted internal validity tests to determine whether his findings were consistent within
his sample of respondents. However, Professor Hauser failed to conduct any external validity
tests to determine whether his findings might be meaningful beyond the sample of respondents
he surveyed and beyond his narrow survey environment. (See paragraph 73.)
III. BACKGROUND
A. Case Status
18. On August 24, 2012, a jury found that Samsung had infringed several Apple
patents, including the 381 patent, the 915 patent, and the 163 patent.
15
I understand that
Samsung is appealing the verdict.
19. I further understand that Apple has asked the Court to permanently enjoin
Samsung from selling certain smartphones and tablets. Among the arguments that Apple has
made in support of its motion is that Samsungs infringement has caused more than an
insubstantial loss of market share to Apple.
16
To support that argument, Apple has argued that
Apples iOS utility patents drive consumer demand.
17

20. Apple has used the results of the Hauser Conjoint Analysis as evidence

15
Vascellaro, Jessica E. Apple Wins Big in Patent Case, The Wall Street Journal, August 25, 2012, available at
online.wsj.com/article/SB10000872396390444358404577609810658082898.html (viewed October 9, 2012).
16
Apples Motion for a Permanent Injunction and for Damages Enhancements, p. 7.
17

11

demonstrating strong consumer demand
18
for each of Apple's patented inventions. According
to Apples Motion for a Permanent Injunction and for Damages Enhancements:
Using the sam e methods that m ajor com panies use outside of
court, the results [of Professor Hausers analysis] show that
Samsung consumers who purchased the infringing products would
be willing to pay $39 more for a smartphone or $45 for a tablet that
included the technology of the 915 Patent and $100 m ore for a
smartphone or $90 for a tablet that included the technology of all
three of the utility patents. (Tr. 1929:12-16; 1946:4-9; PX30.) This
evidence demonstrates strong cons umer demand for each patented
invention. (See also Musika Decl. 40-57; Robinson Decl. 34-
42).
19

B. Patented Features and Non-Infringing Alternatives
21. I understand that Samsung has been found to have incorporated touchscreen
features claimed in the 381, 915, and 163 patents in certain smartphones and tablets. I also
understand that Samsung has developed and begun to employ non-infringing alternatives which
provide customer benefits that are comparable to the features claimed in the Apple patents that
Samsung was found to have infringed.
22. U.S. Patent No. 7,469,381 issued December 23, 2008 and is entitled List
Scrolling and Document Translation, Scaling, and Rotation on a Touch-Screen Display.
20
I
understand that the 381 patent relates to the bounce back or rubberband feature that
indicates when a user has scrolled to the end of a document on a touchscreen display.
21
When

18
19
Apples Motion for a Permanent Injunction and for Damages Enhancements, pp. 9. (emphasis added)
20
U.S. Patent No. 7,469,381 B2.
21
Declaration Of Andries Van Dam, Ph.D. In Support Of Samsungs Opposition To Apples Motion For A
Permanent Injunction And For Damages Enhancements Regarding U.S. Patent No. 7,469,381, October 18, 2012
(Van Dam Declaration), pp. 5-6; U.S. Patent No. 7,469,381 B2, at column 21. See also, Reed, Brad. Apple vs.
Samsung: The gory details, BGR, August 24, 2012, available at http://www.bgr.com/2012/08/24/apple-samsung-
trial-verdict-samsung-loses-big/ (viewed October 9, 2012); Arthur, Charles. Apple v Samsung: the questions the
jury has to answer, The Guardian, August 22, 2012, available at
http://www.guardian.co.uk/technology/2012/aug/22/jurors-samsung-apple-questions (viewed October 9, 2012).

12

the user scrolls to the end of a document, the screen continues past the edge of the document and
temporarily displays a shaded area before bouncing or snap[ing] back to the edge of the
document.
22
I further understand that this functionality has been incorporated into certain
Samsung smartphones and tablets.
23. I understand that Samsung has developed a non-infringing alternative to the 381
patent that has been implemented in several of its smartphones and tablets.
23
This non-infringing
alternative replaces the rubberband feature with a blue glow that emanates from the edge of the
screen whenever the user attempts to scroll past the edge. I understand that, under the non-
infringing alternative, the screen stops at the edge of the document such that no rubberband
effect is implemented.
24

24. U.S. Patent No. 7,844,915 issued November 30, 2010 and is entitled Application
Programming Interfaces for Scrolling Operations.
25
I understand that the 915 patent claims an
autoswitch feature that enables the device to distinguish between single finger gestures (such
as scrolling) and multi-finger gestures (such as pinch to zoom).
26
I further understand that this
functionality has been incorporated in certain Samsung smartphones and tablets.
25. I understand that Samsung has implemented a non-infringing alternative to the

22
Van Dam Declaration, p. 5.
23
Van Dam Declaration, pp. 6-7.
24
Van Dam Declaration, p. 6.
25
U.S. Patent No. 7,844,915 B2.
26
Declaration Of Stephen Gray In Support Of Samsungs Opposition To Apples Motion For A Permanent
Injunction And Damages Enhancement, October 18, 2012 (Gray Declaration), p. 5; Reed, Brad. Apple vs.
Samsung: The gory details, BGR, August 24, 2012, available at http://www.bgr.com/2012/08/24/apple-samsung-
trial-verdict-samsung-loses-big/ (viewed October 9, 2012); Arthur, Charles. Apple v Samsung: the questions the
jury has to answer, The Guardian, August 22, 2012, available at
http://www.guardian.co.uk/technology/2012/aug/22/jurors-samsung-apple-questions (viewed October 9, 2012).

13

915 patent that is being implemented in the Galaxy S II (T-Mobile) smartphone.
27
This non-
infringing alternative modifies the underlying software but leaves the users experience
essentially unchanged. That is, a user will still be able to scroll (with one finger) and zoom on
documents (using two fingers).
28

26. U.S. Patent No. 7,864,163 issued January 4, 2011 and is entitled Portable
Electronic Device Method, and Graphical User Interface for Displaying Structured Electronic
Documents.
29
I understand that the 163 patent claims a method of navigating a document on a
small screen device. More specifically, the 163 patent relates to a method by which the user can
double-tap the screen to re-center and zoom in on a section of the screen.
30
The user can then
double-tap on other portions of the screen to re-center the display while still zoomed in.
31
I
further understand that this functionality was incorporated in certain Samsung smartphones and
tablets.
27. I understand that Samsung has developed a non-infringing alternative to the 163
patent that has been implemented in several of its smartphones and tablets.
32
This non-infringing
alternative modifies the approach presented in the 163 patent. Under this non-infringing
alternative, after the user has performed a double-tap to zoom and re-center the screen, a
subsequent double-tap causes the screen to zoom out rather than re-center on another portion of

27
Gray Declaration, pp. 15-16.
28
Gray Declaration, p. 15.
29
U.S. Patent No. 7,864,163 B2.
30
Gray Declaration, pp. 16-17; Reed, Brad. Apple vs. Samsung: The gory details, BGR, August 24, 2012,
available at http://www.bgr.com/2012/08/24/apple-samsung-trial-verdict-samsung-loses-big/ (viewed October 9,
2012); Arthur, Charles. Apple v Samsung: the questions the jury has to answer, The Guardian, August 22, 2012,
available at http://www.guardian.co.uk/technology/2012/aug/22/jurors-samsung-apple-questions (viewed October 9,
2012).
31
32

14

the screen. Additionally, a subsequent single-tap results in no response from the device.
33

C. Background On Smartphones And Tablets
28. Smartphones are voice and data handheld mobile wireless communications
devices that can be distinguished from other mobile handsets, referred to as feature phones, by
their advanced operating systems.
34
A key feature distinguishing smartphones from other
handsets is the ability to run third-party applications.
35
These phones offer a range of advanced
features and functionalities, including email support, the ability to access the internet, and
multimedia functions (such as gaming and streaming music and video).
36

29. A tablet is a hybrid of a computer and a smartphone that incorporates a flat
touchscreen and typically measures 7 to 10 inches across.
37
Tablets typically offer Wi-Fi
connectivity,
38
and while a subset of tablets offer cellular communications capability,
39
they are
not primarily used for voice communications. Instead, they are primarily used for personal
computing uses such as gaming, email, and web browsing.
40

30. Consumer surveys conducted by or for Samsung and Apple indicate that features

33
Gray Declaration, p. 18.
34
See e.g., North American Smartphones Market, Frost & Sullivan report number N81F-65, December 2010, p.
14; Kidron, Ittai and George Iwanyc, 2012 Handset Guidebook, Oppenheimer Equity Research, November 13,
2011 (Oppenheimer 2012 Handset Guidebook), p. 93.
35
Oppenheimer 2012 Handset Guidebook, p. 93.
36
Oppenheimer 2012 Handset Guidebook, p. 93.
37
Bell, Donald. Tablet Buying Guide, CNET, March 28, 2012, available at http://reviews.cnet.com/tablet-buying-
guide/?tag=auxPromo (viewed October 16, 2012); Tablet Computer Definition, PC Magazine, available at
http://www.pcmag.com/encyclopedia_term/0,2542,t=tablet+computer&i=52520,00.asp (viewed October 16, 2012);
Tablet Buying Guide, Consumer Reports, May 2012, available at
http://www.consumerreports.org/cro/tablets/buying-guide.htm (viewed October 16, 2012).
38
Tablet Buying Guide, Consumer Reports, May 2012, available at
http://www.consumerreports.org/cro/tablets/buying-guide.htm (viewed October 16, 2012).
39
See, e.g., APLNDC-Y0000024130-333, pp. 160, 216-217.
40
APLNDC-Y0000023361-427, p. 389; APLNDC-Y0000024130-333, p. 246.

15

relevant to smartphone customer purchase decisions include, among others,

41
One website cited in the Hauser Report refers to approximately 30
smartphone features in its product comparisons,
42
as do research reports from other third-party
sources.
43
A number of indirect attributes also affect the consumer purchase decision, including
the quality, cost, and brand name of the network service provider; the price of the monthly
service plan; and recommendations from other users and salespeople.
44
The fact that many
attributes contribute to the smartphone consumers purchase decision is consistent with the way
smartphones, such as the AT&T version of the Galaxy SII, are displayed on Samsungs
website.
45
Similarly, there are a variety of features that are relevant to tablet customer purchase
decisions.
46

31. The features claimed in the patents at issue contribute to, and make use of,
touchscreen technology. However, the patents at issue do not cover touchscreen technology in
and of itself, nor are they necessary for a touchscreen to be functional. I also understand that
they do not cover many of the touchscreen features and functionalities that are incorporated in
Samsung phones, such as the ability to type, scroll, or double-tap to select links. Consistent with

41
See, e.g., SAMNDCA00250503-557, p. 525; APLNDC-X0000006548-647, p. 566; APLNDC0002007608-704, p.
634.
42
http://cell-phones.toptenreviews.com/smartphones/ (viewed October 12, 2012). See also, Hauser Report, p. 22.
43
See, e.g., SAMNDCA00190144-243, at 195.
44
See, e.g., SAMNDCA00252685-775, p. 707; How to Buy a Cell Phone, PC World, November 29, 2011,
available at http://www.pcworld.com/article/125653/cell_phone_guide.html (viewed October 16, 2012).
45
See, e.g., Exhibit 1.
46
APLNDC-Y0000023361-427, p. 387; APLNDC-Y0000024130-333, p. 233; http://tablets-
review.toptenreviews.com/ (viewed October 12, 2012). See also, Hauser Report, p. 22.

16

this, while the Samsung website for the AT&T version of the Galaxy SII smartphone lists the
touchscreen among the many features and attributes of the device, it describes the touchscreen
broadly as [t]echnology that enables users to interact with a phone by touching images, words,
or icons on the display.
47
As such, the functions claimed in the patents at issue contribute, at
most, some incremental value to the overall user experience of the touchscreen, which is just one
of the many features relevant to smartphone and tablet customer purchase decisions.
D. Overview Of Professor Hausers Analysis
32. The Hauser Report, dated March 22, 2012, describes and reports the results of the
conjoint analysis that he undertook related to his assignment to determine the price premium, if
any, that Samsung consumers are willing to pay forfeatures
48
in smartphones and tablets
associated with the patents at issue, including the 915 patent, the 381 patent, and the 163
patent.
49

33. Professor Hauser used a web-based conjoint analysis survey procedure
50
along
with a hierarchical Bayes choice-based conjoint (HB CBC) statistical methodology to develop
his price premium estimates.
51
His approach included the following elements:
i. A series of 20 interviews were conducted with smartphone and tablet consumers
to develop an understanding about consumers use of smartphones and tablets.
52

ii. Using this information, a questionnaire was developed. This questionnaire was

47
Exhibit 2.
48
49
The Hauser Report also addresses U.S. Patent No. 7,663,607 as it relates to tablets and U.S. Patent No. 7,812,828
as it relates to smartphones; however, I understand that those patents were dropped from the litigation.
50
51
52

17

pre-tested with another 20 respondents to examine the design and clarity of the
survey instrument.
53

iii. Survey respondents completed a set of screener questions to determine eligibility
for the conjoint survey.
54
Respondents who passed the screener section proceeded
immediately to the conjoint survey introduction, which included instructions for
completing the survey as well as lengthy descriptions of each of the features
included in the survey.
55
Three of the feature descriptions were accompanied by
text, static images, and multimedia animations that further explained the features,
while others were accompanied only by text and static images.
56
The following
features were included in the survey: (1) capabilities of the touchscreen; (2) size
and weight; (3) camera; (4) storage/memory; (5) connectivity; (6) number of
apps; and (7) price.
57

iv. The survey considered four levels of each feature.
58
For the touchscreen, three
of the touchscreen capability levels (for both smartphones and tablets) were
intended to be chosen such that they would represent a product that included a

53
54
Hauser Report, pp. 29-30.
55
56
Animations were used for the descriptions of touchscreen capability, camera, and connectivity. The remaining
four features (size and weight, number of apps, storage/memory, and price) used only static images. Hauser Report,
p. 33.
57
Hauser Report, pp. 9, 33. Respondents were told [a]side from these features below, you should assume that all
other smartphone features are the same for every smartphone offering you see. Hauser Report, p. 36.
58
Exhibit 3 lists the features and feature levels for Professor Hausers smartphone survey. Exhibit 4 lists the
features and feature levels for Professor Hausers tablet survey. The level descriptions are largely similar in the
smartphone and tablet surveys, though they differ somewhat for the touchscreen, connectivity and size and weight
features.

18

non-infringing alternative for one or more of the patents at issue.
59

v. For both smartphones and tablets, each survey respondent was asked to choose
among four hypothetical products composed of sets of product features. The
exercise was repeated 16 times for each respondent. Professor Hauser does not
specify the approach he employs to determine the composition of the products
shown on each choice screen.
60
However, it appears that the features used in each
smartphone or tablet on a given choice screen were determined using a
randomized sampling without replacement approach.
61

vi. As described by Professor Hauser, respondents were forced to choose among the
four options presented to them. Respondents were asked, [i]f these were your
only options and you were choosing a new smartphone [tablet], which Samsung
smartphone [tablet] would you choose?
62
That is, the survey was designed such
that respondents would not make comparisons with other devices available in the
marketplace.
34. The smartphone and tablet surveys were taken by 604 and 599 individuals,
respectively, who had purchased an infringing Samsung product in the prior two years.
63
After
eliminating certain of the survey respondents, samples of 455 Samsung smartphone users and

59
60
Professor Hauser states only that the examples used in the choice screens were generated randomly to avoid order
effects. Hauser Report, pp. 23, 34-35, 37.
61
More specifically, each choice screen contained four phones (or tablets), and each feature had four possible levels.
For each feature, the first device was randomly assigned one of the four possible levels, then the second device was
randomly assigned one of the three remaining levels, then the third device was randomly assigned one of the two
remaining levels, and finally the last level was assigned to the fourth device. Thus, each level of each feature was
represented in exactly one device on each choice screen. The randomization was done using Sawtooth software.
62
63
Hauser Report, p. 30, 37.

19

415 Samsung tablet users were analyzed.
64
All surveys were administered via the internet.
65

35. From the survey results, Professor Hauser estimated a series of partworths for
each respondent, which represent the partial contribution to utility of each level of each feature
from consuming a product. Professor Hauser supplemented these partworths with prior
information about the estimated partworths based on consumer-behavior theory.
66

36. Professor Hauser then applied an approach known as Randomized First Choice
(RFC) market simulation (RFC Simulation) to the partworth estimates to estimate the price
premium for features associated with the patents at issue.
67
More specifically, Professor Hauser
estimated the price premium associated with a particular product attribute by using the RFC
Simulation to determine the price at which half of the survey respondents would select a higher
price phone with a given attribute over an otherwise identical phone that lacks that attribute.
68

The WTP price premium is the difference in the prices between the two phones (that vary by a
single feature but are otherwise identical).
37. Exhibit 5 summarizes the steps employed by Professor Hauser to determine his
estimate of the WTP price premium for the autoswitch feature claimed in the 915 patent. This
involves a comparison of two phones: Phone A and Phone B. With respect to the touchscreen
features, Phone A includes the autoswitch feature as well as the reliable touch,
rubberband, and tap to re-center after zoom features. Phone B includes only the reliable
touch, rubberband, and tap to re-center after zoom features, but not autoswitch. The phones are

64
Hauser Report, p. 17, 38.
65
66
See, e.g., Hauser Report, pp. 41-42, 45.
67
68
Hauser Report, pp. 51, 55.

20

identical with respect to the other non-price features.
69
The benchmark price for Professor
Hausers WTP price premium calculations is $199.
70

38. When priced at that benchmark price, the RFC Simulation predicts that 67 percent
of the survey respondents would prefer Phone A. The RFC Simulation predicts that half of the
survey respondents would prefer Phone A at price of $238 relative to Phone B at a price of $199,
hence the $39 WTP price premium associated with the 915 patent/autoswitch feature.
71
Exhibit
6 summarizes the steps employed by Professor Hauser to determine the $100 price premium
associated with the features claimed in the 915, 163, and 381 patents collectively.
72
Using the
same approach for tablets, Professor Hauser estimated a WTP price premium of $45 associated
with the 915 patent/autoswitch feature and a $90 price premium associated with the features
claimed in the 915, 163, and 381 patents collectively. Exhibits 7 and 8 are the tablet
analogues of Exhibits 5 and 6.
39. Professor Hauser summarized his WTP estimates as follows:
for both sm artphones and tabl ets, Sam sung consumers are
willing to p ay a s ignificant price premium f or the tested f eatures
that are covered by the patents at issue. For sm artphones with a
base price of $199, the estimated price premium is $39 for the 915
Patent alone [and] the estimated price premium is $100 for the
915, 163 and 381 Patents taken together. For tablets with a base
price of $499, the estimated price prem ium is $45 for the 915
Patent alone, and $90 for the 915, 163 and 381 Patents taken

69
According to Professor Hauser, In the simulation, the levels of other features do not affect the consumers choice
as long as they are held constant between the two product options. Hauser Report, p. 51. However, this is true
only if there are no interaction terms between levels across features. Hauser chose to fit a model without interaction
terms (even though they might be relevant) which is why his statement holds.
70
71
Exhibit 5.
72
It is important to note that Professor Hausers methodology implicitly limits his WTP price premium estimates to
$100 for any given feature level. The reason is that maximum price level in the Hauser survey is $299, and by using
a benchmark price of $199, Professor Hauser does not allow the price of the preferred smartphone to be increased by
more than $100.

21

together.
73

IV. ANALYSIS OF HAUSER REPORT
A. The Surveys Upon Which Professor Hausers Findings Are Based Were Not
Designed To Estimate The Magnitude Of Samsung Smartphone And Tablet
Sales Attributable To The Protected Features
40. Interpreting Professor Hausers survey results requires understanding his
underlying survey design. Two central features of his survey design involve the selection of
survey participants and the smartphone and tablet choices presented to survey respondents. First,
survey participants were required to have purchased at least one Samsung smartphone or tablet in
the last two years.
74
The screening questions excluded any consumer who did not previously
own a Samsung smartphone or tablet but intended to purchase one in the near future,
75
while not
excluding any recent Samsung owners who no longer used their Samsung smartphone or tablet
as their primary device.
76

41. Second, survey participants who satisfied the screening requirements were
restricted to choosing Samsung devices.
77
Survey respondents were not given the option of
selecting devices that compete with Samsung smartphones (e.g. Apple iPhones) or tablets (e.g.
Apple iPads). Nor were survey respondents presented with the option to not, effectively, buy a
device because, for example, none of the smartphones met their purchase requirements.

73
74
75
The screening questions specify that any person who has not owned at least one Samsung smartphone or tablet in
the last two years will be terminated from the survey. Hauser Report, Exhibit D, p. 3 and Exhibit E, p. 3.
76
The screening questions specify that any person who has owned a Samsung phone in the last two years and can
identify the device are allowed to continue with the survey. This may include, for example, people who have
purchased a Samsung device in the last two years before switching to a different manufacturers device or people
who have purchased a Samsung device in the last two years but already decided their next device will be from a
different manufacturer. Hauser Report, Exhibit D, pp. 3-4 and Exhibit E, pp. 3-4.
77

22

42. Professor Hauser acknowledged the limitations of his survey with respect to
constraining respondents to choices of Samsung smartphones and tablets alone:
For each set of four alternativ e sm artphones in a choice task,
respondents were asked: If th ese were your only options and you
were choosing a new sm artphone [tablet], which Sam sung
smartphone [tablet] w ould you c hoose? By explicitly asking
respondents to focus only on the four options provided to them, the
survey was designed with the go al tha t resp ondents wo uld not
make comparisons with other devices available in the
marketplace.
78

This approach does not correspond with the reality of the marketplace in which consumers are
free to choose among different brands of smartphones and tablets that differ in many ways
including price levels, features, and other benefits not included in Professor Hausers study.
43. Professor Hauser further described how his survey design omitted an option that
would have allowed him to estimate what he refers to as primary demand for the products
analyzed in his survey:
In some instances researchers augm ent the choice am ong profiles
in the choice task by allowing the respondent to choose an outside
option, that is, to choose not to choose am ong the options (this is
also known as the no-choice option). This outside-option design
is appropriate when a researcher wishes to estimate primary
demand for smartphones.
79

Professor Hauser, however, does not explicitly describe what primary demand reflects and, in
turn, what his surveys fail to account for. Marketers use the term primary demand in reference
to demand for the product category as a whole.
80
In the context of Professor Hausers surveys,
however, primary demand by virtue of the surveys design reflects the demand for Samsung
smartphones and tablets. As such, Professor Hauser has essentially acknowledged that his

78
Hauser Report, p. 35 (emphasis added).
79
Hauser Report, p. 35 (emphases added).
80
See, e.g., Pride, William M. and O.C. Ferrell, Marketing, South-Western College Publishing, 2012, p. 512.

23

surveys were not designed to analyze the demand for Samsung smartphones or tablets.
44. Because Professor Hausers conjoint study does not accurately depict market
reality by allowing respondents to choose options other than Samsung smartphones and tablets,
the survey data collected by Professor Hauser was not used and cannot be used to estimate
the extent to which the patents at issue drove sales that Samsung would not have otherwise
made. That is, the data collected by Professor Hauser cannot be used, for example, to estimate
the extent to which people bought Samsung smartphones instead of competing smartphones
because of the patented features, or the extent to which people would choose to purchase another
brand of smartphone if the Samsung smartphones did not have the patented features. Nor can the
survey be used to estimate the extent to which people purchased a Samsung smartphone rather
than not buying a smartphone at all. This is inherent in the design of Professor Hausers surveys.
Because respondents are not given any outside options, whether they are for competitor
smartphones or no smartphone purchase at all, the survey response data collected by Professor
Hauser does not allow for a systematic examination of the product features associated with
Samsung smartphones versus an alternative. All 13,920 choices from all 870 respondents
reported in Professor Hausers survey data involve the selection of a Samsung device, regardless
of the product features.
81

45. Importantly, Professor Hausers estimates of the amounts consumers are willing
to pay for the patented features even if reliable and valid, which they are not do not provide
any guidance regarding the extent to which the feature claimed in the utility patents drove
Samsung sales. It is perfectly conceivable that consumers who place a high willingness-to-pay

81
Professor Hauser reported results from 455 smartphone respondents and 415 tablet respondents. Each respondent
provided 16 choice responses. Hauser Report, pp. 17, 19. (455 + 415) * 16 = 13,920.

24

on the features claimed in the utility patents would purchase Samsung devices even without the
features claimed in those patents. These consumers may have a strong affinity for the
or any of a number of other features
82
and benefits
83
that
consumers regularly identify as being central to their decision to purchase smartphones and
tablets.
84
Conjoint analysis/surveys are widely used to examine which product features drive
consumer purchases among competing alternatives. Professor Hauser, however, did not
conduct such a survey.
B. Professor Hausers Estimates Of The WTP Price Premium Associated With
The Features Claimed In The Utility Patents Are Based On An Underlying
Methodology That Generates Nonsensical Predictions
1. Professor Hausers Methodology Suggests That A Substantial Portion
Of Survey Respondents Prefer To Pay Higher Prices For Otherwise
Identical Smartphones And Tablets
46. In order to further evaluate the reliability and validity of Professor Hausers WTP
price premium estimates, I employed the RFC Simulation technique underlying those estimates
to evaluate predictions not reported by Professor Hauser in his report. Specifically, I employed
the RFC Simulation relied on by Professor Hauser to evaluate predictions related to a benchmark
smartphone a smartphone that embodies the highest level attributes for each of the non-price

82
Examples of other important features not included in Professor Hausers survey include
See, e.g., SAMNDCA00250503-557, p.
525; APLNDC-X0000006548-647, p. 566; APLNDC0002007608-704, p. 634; APLNDC-Y0000023361-427, p.
387; APLNDC-Y0000024130-333, p. 233.
83
Consumers consider many additional factors when making a smartphone or tablet purchase decision, including
quality of network service, network coverage, cost of service (voice and/or data) plans, consumer reviews, word of
mouth recommendations, etc. See, e.g., SAMNDCA00252685-775, p. 707; How to Buy a Cell Phone, PC World,
November 29, 2011, available at http://www.pcworld.com/article/125653/cell_phone_guide.html (viewed October
16, 2012).
84
See, e.g., SAMNDCA00250503-557, p. 525; SAMNDCA00252685-775, p. 707.

25

features
85
that differed only in terms of price. Exhibit 9 shows specific predictions of the RFC
Simulation employed by Professor Hauser, including the following:
32 percent of survey respondents would prefer to pay $199 rather than $99 for the
benchmark smartphone;
43 percent of survey respondents would prefer to pay $99 rather than $0 for the
benchmark smartphone;
between 19 percent and 43 percent of survey respondents would pay an additional
$100 for an otherwise identical smartphone;
as many as 31 percent would pay an additional $200 for an otherwise identical
smartphone; and
16 percent would prefer to pay $299 for a smartphone they could have for free
(but, in both cases, come with a two-year carrier contract).
Exhibit 10 shows qualitatively similar predictions associated with Professor Hausers tablet
analysis. For example, 41 percent of respondents would prefer to pay $359 rather than $199 for
an otherwise identical tablet, while 15 percent of respondents would prefer to pay $659 rather
than $199 for an otherwise identical tablet.
86

47. These results are at odds with common sense. They demonstrate that the RFC
Simulation upon which Professor Hauser bases his WTP price premium estimates generates
predictions in which survey respondents are unrealistically insensitive to price. This renders his
WTP price premium estimates unreliable and invalid because they are, ultimately, a measure of

85
Professor Hauser notes that feature levels that are held constant between the two phones will not affect the
consumers choice. Hauser Report, p. 51. However, this is true only if there are no interactions between the
features and feature levels used in the conjoint exercise.
86
Exhibit 10.

26

survey respondent price sensitivity as they relate to the claimed in the patents at issue.
2. Professor Hausers Methodology Suggests That A Large Portion Of
Samsung Owners Prefer Clearly Inferior, Yet Identically Priced,
Smartphones And Tablets
48. I also employed the RFC Simulation to generate predictions involving pairs of
smartphones where one is clearly superior to another. For example, I compared a $199
benchmark smartphone,
87
with 64 GB of memory capacity, to an otherwise identical $199
smartphone with only 8 GB of memory capacity. The RFC Simulation predicted that 35 percent
of survey respondents would select the 8 GB smartphone.
88
Similarly, I compared a $499
benchmark tablet,
89
with 64 GB of memory capacity, to an otherwise identical $499 tablet with
only 8 GB of memory capacity. The RFC Simulation predicted that 31 percent of survey
respondents would select the 8 GB tablet.
90
By way of reference, a 64 GB micro SD memory
card that can be inserted into many Samsung smartphone models retails for prices in the range of
$50.
91
Similarly, upgrading from the 16 GB Samsung Galaxy SIII to the otherwise identical 32
GB Samsung Galaxy SIII costs consumers $50.
92

49. Similar comparisons were conducted involving other features. For example, the
RFC Simulation predicted that 25 percent of respondents would select the $199 benchmark

87
The benchmark smartphone is one that embodies the highest level attributes for each of the features aside from the
one being varied in the current example (in this case, memory).
88
Exhibit 11.
89
The benchmark tablet is one that embodies the highest level attributes for each of the features aside from the one
being varied in the current example (in this case, memory).
90
Exhibit 12.
91
See, e.g., http://www.amazon.com/SanDisk-SDSDU-064G-A11-Ultra-UHS-I-
Class/dp/B007B5RJA6/ref=sr_1_94?s=pc&ie=UTF8&qid=1350430546&sr=1-94&keywords=sandisk+64 (viewed
October 10, 2012). See also, http://www.samsung.com/us/mobile/cell-phones-accessories#container (viewed
October 8, 2012)
92
See, e.g., http://shop.sprint.com/mysprint/shop/phone_wall.jsp?filterString=smartphone&isDeeplinked=true&
INTNAV=ATG:HE:Smartphones (viewed October 18, 2012).

27

smartphone with only the cellular and Wi-Fi connectivity features over an otherwise identical
smartphone with cellular, Wi-Fi, Tethering, Micro USB, and HDMI connectivity features.
93
In
addition, the RFC Simulation predicted that 24 percent of respondents would select the $199
benchmark tablet with only Wi-Fi connectivity over an otherwise identical tablet with Wi-Fi,
Bluetooth, Micro USB, and HDMI connectivity features.
94
The consumer benefits of these
additional connectivity features are discussed widely.
95

50. The breadth of app availability is also widely discussed.
96
Yet the RFC
Simulation predicted that 43 percent of survey respondents would select the $199 benchmark
smartphone that had access to 150,000 apps over one that is otherwise identical, but with access
to 600,000 apps.
97
The comparable figure for the $199 benchmark tablet is 44 percent.
98

51. These findings are nonsensical. Similar to the comparisons of phones that differ
only in price, the findings demonstrate that the RFC Simulations upon which Professor Hauser

93
Exhibit 13.
94
Exhibit 14.
95
See, e.g., Ziegler, Chris. "Why Is Verizon's iPhone 5 Unlocked? Don't Thank Google or the FCC." The Verge.
September 25, 2012, available at http://www.theverge.com/2012/9/25/3405610/verizon-iphone-5-unlocked-open-
access-fcc. (viewed October 17, 2012); Ziegler, Chris. AT&T adding an extra 2GB to phone tethering plans,
launching Mobile Hotspot app February 13th. Engadget, February 2, 2011, available at
www.engadget.com/2011/02/02/atandt-adding-an-extra-2gb-to-phone-tethering-plans-launching-mob/ (viewed
October 17, 2012); Purewal, Sarah Jacobsson. The ultimate Android tethering guide. PC World, September 5,
2012, available at http://www.pcworld.com/article/261928/the_ultimate_android_tethering_guide.html (viewed
October 17, 2012); Motorola Droid Razr Maxx review (Verizon Wireless). CNET, October 17, 2012, available at
http://reviews.cnet.com/smartphones/motorola-droid-razr-maxx/4505-6452_7-35128051-2.html (viewed October 17,
2012); Miller, Matthew. ACCELL MHL adapter turns the HTC Flyer into a portable media server (review). The
Mobile Gadgeteer, September 8, 2011, available at http://www.zdnet.com/blog/mobile-gadgeteer/accell-mhl-
adapter-turns-the-htc-flyer-into-a-portable-media-server-review/5095 (viewed October 17, 2012); Bennett, Brian.
New iPad first tablet with Bluetooth 4.0: Should you care? CNET, March 9, 2012, available at
http://news.cnet.com/8301-1035_3-57394350-94/new-ipad-first-tablet-with-bluetooth-4.0-should-you-care/ (viewed
October 18, 2012).
96
For example, Apples website highlights that its App Store has the worlds largest collection of mobile apps.
(http://www.apple.com/iphone/from-the-app-store/, accessed October 18, 2012). See also, Pogue, David, Just How
Many Android Tablet Apps Are There?, The New York Times, July 1, 2011, available at
http://pogue.blogs.nytimes.com/2011/07/01/mystery-how-many-android-tablet-apps/ (viewed October 18, 2012).
97
Exhibit 15.
98
Exhibit 16.

28

bases his WTP price premium estimates generate predictions that are inconsistent with central
tenets of consumer behavior. The findings also demonstrate that Professor Hausers WTP price
premium estimates cannot be relied on.
3. Professor Hausers Estimates Of The WTP Price Premium Associated
With Just The Touchscreen Features Examined Exceed The $152
Average Smartphone Price Paid By Survey Respondents
52. The results of Professor Hausers WTP analysis also appear nonsensical when
compared against the actual market prices of consumers devices. Respondents in Professor
Hausers smartphone survey reported spending an average of $152 on their Samsung
smartphones.
99
Professor Hausers own WTP estimates imply that the price premium for the
individual touchscreen features reliable touch ($65), rubberband and tap to re-center ($75), and
autoswitch ($39) amount to $179.
100
That is, the WTP estimates of the touchscreen features
analyzed by Professor Hauser which comprise only a fraction of the total number of
touchscreen features, which, in turn, comprise only a small fraction of all smartphone features
exceed the actual amount, on average, survey respondents paid for their smartphone.
53. Professor Hausers WTP estimates are similarly out of line with market realities
when estimated based on a different benchmark price. With respect to his smartphone
calculations, Professor Hauser generated his WTP price premium estimates based on a
benchmark smartphone arbitrarily priced at $199 and noted that doing so was conservative.
101

However, as noted earlier, basing his WTP estimates on the $199 benchmark price also has the

99
Hauser Report, p. 53. Professor Hausers survey instructed smartphone survey respondents to assume that the
price shown was for a smartphone purchased with a 2-year service contract. Hauser Report, Exhibit D, p. 14.
100
Exhibit 17.
101

29

effect of limiting his WTP estimates to, at most, $100.
102

54. Exhibits 18 and 19 demonstrate the unrealistic WTP estimates generated by
Professor Hausers methodology when the estimates are based on a benchmark smartphone
priced at $0 (with a two year contract). Specifically, Professor Hausers methodology generates
a WTP price premium of $164 for the features associated with the 915 patents (autoswitch) and
a WTP price premium of $266 for the features associated with the 915, 381, and 163 patents,
collectively.
103
These WTP figures, too, stand in stark contrast to the actual prices survey
respondents reported paying for smartphones (in their entirety) and further demonstrate the
unreliability and invalidity of Professor Hausers findings.
C. The Surveys Underlying Professor Hausers Findings Embody Numerous
Design Flaws That Invalidate His Analysis And Appear To Inflate His Price
Premium Estimates
55. The predictions generated by Professor Hausers analysis strongly suggests
problems with the underlying survey design. My review reveals a number of such problems that
invalidate Professor Hausers price premium estimates.
1. Professor Hausers WTP Price Premium Estimates Associated With
The Features Claimed In The Utility Patents Are Conflated By An
Apparent Bias Associated With Animated Feature Descriptions
56. Any findings associated with a conjoint analysis depend critically on the manner
in which the features of interest are presented to survey respondents. In addition, the reliability
and validity of the findings depends on respondents clearly understanding the product features
upon which the survey is based. The reliability and validity of the findings also depend on a

102
This is because the RFC Simulation is limited to prices with the range explicitly considered in Professor Hausers
survey. For smartphones, prices range from $0 to $299. Hauser Report, Exhibit D, p. 14.
103
Exhibits 18 and 19.

30

survey design that does not artificially influence respondents choices so as to introduce bias.
57. As noted above, in addition to price, Professor Hausers surveys consider features
associated with the smartphone or tablets: (i) touchscreen, (ii) connectivity, (iii) camera, (iv)
storage/memory, (v) app availability, and (vi) size and weight. The touchscreen features
associated with the utility patents were described to survey respondents on a web-based interface
employing text, static images, and multimedia animations.
104
The connectivity and camera
features were also described using text, static images, and multimedia animations.
105
In contrast,
the other non-price features related to storage/memory, app availability, and size and weight
were described only with text and static images. They did not rely on multimedia animations.
106

58. There are numerous reasons why an analysis that uses different visual stimuli for
some of the features being tested could produce biased results for those features. First,
multimedia animations may be easier for survey respondents to comprehend, particularly in
instances in which the subject feature involves actions that can be difficult to depict in static
images or describe in words. Second, multimedia animations can be more engaging to
respondents, such that respondents may pay substantially more attention to features that are
accompanied by multimedia animations than to those without multimedia animations. Third, the
use of multimedia animations for a subset of the features being tested might signal to
respondents that those features may be more important than features that are accompanied only
by static images. For example, respondents may perceive that the features that have multimedia
animations are more important to the survey creators due to the extra time and effort that was
expended in developing the animations (relative to developing a static image). For these reasons,

104
Hauser Report, p. 33 and Exhibit D, pp. 9-10.
105
Hauser Report, p. 33 and Exhibit D, pp. 7, 12-13.
106
Hauser Report, p. 33 and Exhibit D, pp. 7-9, 11, 13-14.

31

it is customary in conjoint analysis to use the same presentation approach for every feature in the
survey.
59. In Exhibit 20, I summarize the WTP price premium estimates for the smartphone
feature and level combinations not reported by Professor Hauser by employing the RFC
Simulation in the same manner as Professor Hauser.
107
In particular, I present the respective
WTP price premium estimates for each feature relative to a $199 benchmark phone that
embodies the highest attribute level for each of the six non-price features (consistent with
Professor Hauser).
108
This leads to 18 distinct WTP price premium estimates.
109
These WTP
price premium estimates range from $11 to $100 (Professor Hausers externally imposed cap).
The estimates associated with the nine attribute levels associated with the features that did not
employ a multimedia animated description storage/memory, app availability, and size and
weight range from $11 to $31.
110
The estimates associated with the nine smartphone attribute
levels associated with the features that did employ a multimedia animated description
touchscreen, connectivity, and camera range from $33 to greater than $100.
111
Thus there is a
clear distinction between the features described with multimedia animations and those that were
not: the smartphone WTP price premium estimates are uniformly higher for the features
described with multimedia animations. The results are depicted graphically in Exhibit 21.
Exhibits 22 to 24 depict the smartphone WTP price premium estimates by level and show an

107
Note that these estimates were generated based on the methodology employed to generate Table 4 in Professor
Hausers Report. They are not based on the alternative robustness check methodology described in Paragraph 104
of his Report based on the median-consumer.
108
Exhibit 20.
109
There are 6 six non-price features with four levels each, allowing for three WTP price premium estimates per
level (relative to the highest level of a given feature).
110
Exhibit 20.
111
Exhibit 20.

32

even more pronounced distinction between the features that were described with multimedia
animations in contrast to those that were not. Exhibit 25 summarizes the WTP price premium
estimates for the tablet feature and level combinations not reported by Professor Hauser.
Exhibits 26 to 29 show a similarly strong tendency for tablet features described with multimedia
animations to be associated with high WTP price premium estimates.
60. These findings imply that the WTP price premium estimates reported by
Professor Hauser for the features claimed in the utility patents are likely driven, at least in part,
by the manner in which they were presented to respondents when taking the survey.
Additionally, while Professor Hauser employs multiple methods to test the fit and predictive
ability of his model, none of these are able to account for the influence of the animated
descriptions.
112
For example, the hold-out analysis Professor Hauser describes in his report
113

seeks only to test the predictive ability of the model by using a subset of choices from each
respondent to estimate the model and predict the respondents behavior for the remaining hold-
out choices. More importantly, there is no clear or conventional method by which to analyze
and, effectively, disentangle the role that preferences of the survey respondents had in driving
Professor Hausers WTP price premium estimates from the role of the animated descriptions.
More generally, the apparent effect of the multimedia animations relied on by Professor Hauser
further undermines the reliability and validity of his findings.
2. Professor Hausers Failure To Incorporate Appropriate Non-
Infringing Alternative Features Results In Apparently Inflated WTP
Price Premium Estimates
61. Professor Hausers conjoint survey did not appropriately account for the

112
113

33

possibility of non-infringing alternatives to the patented features.
114
Despite Professor Hausers
claim that the touchscreen capability levels were chosen such that they would represent a
product that included a non-infringing alternative,
115
Professor Hausers survey did not account
for alternative, non-infringing technologies that Samsung could have, and ultimately has (as
described above in paragraphs 21-27), employed to provide consumer benefits that are
comparable to those provided by the features claimed in the utility patents.
62. The touchscreen features included in Professor Hausers Smartphone survey
levels included combinations of the following features: autoswitch/ no autoswitch,
rubberband/no rubberband, and tap to re-center after zoom/no tap to re-center after zoom.
116
As
such, Professor Hausers analysis can, at best, estimate consumers incremental utility and
willingness-to-pay for the infringing feature relative to having no feature at all. The analysis
was not designed to provide, nor can it provide, an estimate of the incremental utility and
willingness-to-pay for the patented features relative to non-infringing alternative versions of
those features. Because Professor Hausers survey did not present respondents with appropriate
non-infringing benchmarks against which to compare the patented features, his results appear to
overestimate the relevant partworth measures and lead to invalid and apparently inflated
willingness-to-pay inferences related to each of the three patented features.
117

114
Professor Hauser states that [t]hree of the touchscreen capability levels (for both smartphones and tablets) were
chosen such that they would represent a product that included a non-infringing alternative for one or more of the
patents at issue. Hauser Report, p. 32. However, Professor Hausers non-infringing alternatives are to remove the
infringing features completely from the device, rather than to implement the feature in a different way (as the non-
infringing alternatives implemented by Samsung have done). Professor Hausers survey does not contemplate any
alternative design to the features claimed in the utility patents that would allow some (or all) of the functionality to
be implemented in the device in a non-infringing way.
115
Hauser Report, p.32.
116
Hauser Report, p. 49 and Exhibit D, pp. 9-10.
117
Furthermore, Professor Hausers results likely overestimate the range of relative values by measuring against the
wrong benchmark. In conjoint analysis, the relative importance of an attribute depends on the range of attribute

34

63. For example, Professor Hauser measures the WTP price premium for the
rubberband feature against an alternative of no rubberband feature, rather than against the blue
glow non-infringing alternative (described above) developed and, ultimately, implemented by
Samsung. Doing so provides, at best, an indication of respondents willingness-to-pay for the
rubberband feature as compared to no alternative feature. Yet, it does not account for the
customer benefits associated with the blue glow feature. As a result, Professor Hausers analysis
will likely overstate the importance of the 381 patent.
64. Similarly, Professor Hauser measures the WTP price premium for the tap to re-
center after zoom relative to no tap to re-center after zoom. As noted above, Samsung has
designed and begun to implement a design around to this feature where after the user has
performed a double-tap to zoom and re-center the screen, a subsequent double-tap causes the
screen to zoom out rather than re-center on another portion of the screen. Professor Hauser does
not account for the non-infringing alternative implementation. Consequently, his analysis will
likely overstate the importance of the 163 patent.
65. Finally, as discussed above, Samsung has developed a design around for the
autoswitch patented feature that, based on software changes, provides a user experience that is
essentially the same as the patented feature. Professor Hauser did not account for this. As a
result, Professor Hausers WTP estimates associated with the 915 patent will likely overstate the
importance of the patent.

levels used in the conjoint survey. Here, Professor Hausers survey presents only two levels of each infringing
feature the inclusion of the infringing feature and the complete absence of any version of that feature. Using no
feature as the baseline increases the range of WTP values that result from Professor Hausers analysis. Inclusion of
a non-infringing alternative would generate more precise results.

35

3. Professor Hausers WTP Price Premium Estimates May Be Inflated
Because Respondents Were Forced To Choose Samsung Smartphones
66. As noted above, Professor Hauser surveys forced respondents to choose Samsung
phones. He did not provide them with a no choice option, a topic that has been the subject of
considerable academic research. A recent publication by Brazell et al. noted the following:
It has long been advanced that one should include a [no-choice
option] in choice-based conjoint designs Inclusion of the no-
choice option increases design efficiency (An derson and W iley,
1992), better m imics the choice process in m any situations
(Louviere and Woodworth, 1983) di rectly measuring demand for
specific tested products in the c ontext of the entire m arket, and
allows one to model market growth as more attractive alternatives
are introduced.
118

In addition, researchers have noted that including a no choice option enhances the realism of
the choice tasks and survey.
119

67. Brazell et al. further describe the results of an experiment comparing a survey that
incorporates forced choices with one that incorporates a no choice option. They find that
respondents can exhibit less price sensitivity, sometimes substantially less, when faced with
forced choices.
120
This lower level of price sensitivity has the effect of increasing the price
premium associated with given attribute values. The observation that excluding the no choice
option from a conjoint survey can lead to higher estimated price premiums undermines the

118
See Brazell, Jeff D., Christopher G. Diener, Ekaterina Karniouchina, William L. Moore,Vlerie Sverin and
Pierre-Francois Uldry, The no-choice option and dual response choice designs, Marketing Letters, Vol. 17, No. 4
(Dec., 2006), pp. 255-268 (Brazell et al.), p. 256.
119
See, e.g., Orme, Bryan K. Getting Started with Conjoint Analysis: Strategies for Product Design and Pricing
Research, Research Publishers, Madison, WI, 2010, p. 22 (Choice-based conjoint questions closely mimic what
buyers do in the real world choose among available offerings. Including none as an option enhances the realism,
and allows those respondents who are not likely to purchase to express their disinterest. Emphasis in original.);
Johnson, Rich and Bryan Orme: Getting the Most from CBC, Sawtooth Software Research Paper Series, 1997, p.
5 (We think it is usually a good idea to include the None option in the questionnaire, for these reasons It makes
the choice tasks more realistic, because that option is usually available when shopping.)
120
Brazell et al., at Table 1.A.

36

reliability and validity of the Professor Hausers findings.
4. Professor Hausers WTP Price Premium Estimates May Be Biased
Upward Due To The Fact That There Are No Actual Consequences
To Purchasing More Expensive Products In A Hypothetical Survey
68. There is a difference between the amount that a consumer indicates they would be
willing to pay in a hypothetical transaction and the amount that they would pay when actual
money is involved. Consumers hypothetical willingness-to-pay may overstate the extent to
which they would actually pay for a feature given that they are not engaging in a transaction that
involves real money changing hands.
121

69. This inflated willingness-to-pay is consistent with the observation that, based on
Professor Hausers survey analysis, several features examined had WTP price premium estimates
that were comparable to (or greater than) the average price respondents actually paid for their
Samsung smartphones. For example, respondents in Professor Hausers survey reported
spending an average of $152 on their Samsung smartphones.
122
However, as discussed above,
Professor Hausers WTP price premium estimates for the touchscreen, connectivity, and camera
features alone equal almost double the amount that respondents reported spending on their actual
smartphones.
123
In light of this problem, one cannot rely on the findings and estimates that result
from Professor Hausers analysis.

121
See, e.g., Harrison, Glenn W. and Elisabet E. Rustrom. 2008. Experimental Evidence on the Existence of
Hypothetical Bias in Value Elicitation Methods. In Charles R. Plott and Vernon L. Smith (eds.), Handbook of
Experimental Economics Results. New York: Elsevier B.V.
122
Hauser Report, p. 53. Professor Hausers survey instructed smartphone survey respondents to assume that the
price shown was for a smartphone purchased with a 2-year service contract. Hauser Report, Exhibit D, p. 14
123
Exhibit 20. The combined WTP price premium estimates for touchscreen, connectivity, and camera are at least
$268. Note that the estimates for touchscreen and camera are both capped at $100.

37

Overstated Because His Survey Omits A Number Of Important
Features And Benefits Associated With The Smartphone And Tablet
Purchase Decision
70. There are, as noted in paragraphs 30-31, numerous features and benefits that are
known to affect consumers purchase decisions related to smartphones and tablets. For example,
a pair of 2008 presentations prepared for Samsung highlights a number of these features and
related attributes that affect the smartphone purchase decision. These features include the
smartphones screen size, connectivity options, music & video capabilities, Bluetooth, camera,
GPS, email access, battery life, keyboard, brand name, and touchscreen.
124
Similarly, Apple has
identified numerous additional product attributes that are important to the purchase decision,
including
.
125
There are also a variety of features that are relevant to tablet customer purchase
decisions.
126
The websites cited by Professor Hauser include many more features, including 30
smartphone features and 26 tablet features in their product comparisons,
127
as do research reports
from other third-party sources.
128
A number of indirect attributes also affect the consumer
purchase decision, including the quality, cost, and brand name of the network service provider;
the price of the monthly service plan; and recommendations from other users and salespeople.
129

71. It is important for the design of the conjoint survey to incorporate the features that

124
SAMNDCA00250503-557, p. 525; SAMNDCA00252685-775, p. 707.
125
See, e.g., APLNDC-X0000006548-647, p. 566; APLNDC0002007608-704, p. 634.
126
APLNDC-Y0000023361-427, p. 387; APLNDC-Y0000024130-333, p. 233; http://tablets-
127
http://cell-phones.toptenreviews.com/smartphones/ (viewed October 12, 2012); http://tablets-
128
See, e.g., SAMNDCA00190144-243, p. 195.
129
See, e.g., SAMNDCA00252685-775, p. 707; How to Buy a Cell Phone, PC World, November 29, 2011,
available at http://www.pcworld.com/article/125653/cell_phone_guide.html (viewed October 16, 2012).

38

are known to be important consumer purchase decision drivers along with the features that the
survey is designed to test.
130
Omitting known important features can cause survey respondents
to overvalue the features that are included in the survey.
131
A design that omits important
purchase decision drivers can fail to capture interaction effects between features that are included
and those that are not, biasing the values of the included features.
132

72. Professor Hausers survey includes some of the features known to be important to
the consumer purchase decision, but excludes many others identified in Samsung
133
and Apple
134

internal documents, as well as the websites Professor Hauser cited as validation for his feature
selections
135
and the product websites for Samsungs smartphones.
136
According to Professor
Hauser, [b]ecause consumers are told to make choices among profiles assuming all else equal,
as is the standard in conjoint analysis, the set of features does not need to be exhaustive.

130
In constructing a conjoint survey, generating the attributes and levels is a critical step. See, e.g., Orme, Bryan,
Formulating Attributes and Levels in Conjoint Analysis, Sawtooth Software, Inc., 2002. The features and benefits
of the product in question should be presented in the survey in a way that closely mimics the consumer purchase
decision process for the product. See, e.g., Orme, Bryan K. Getting Started with Conjoint Analysis: Strategies for
Product Design and Pricing Research, Research Publishers, Madison, WI, 2010, p. 45.
131
See, e.g., Huber, Joel. What We Have Learned from 20 Years of Conjoint Research: When to Use Self-
Explicated, Graded Pairs, Full Profiles or Choice Experiments, Proceedings of the Sawtooth Software Conference,
August 1997 (Evaluation tasks intentionally force respondents to attend to attributes that they might otherwise not
notice. In doing so, attention can elevate the importance of particular attributes to a level that is greater than would
occur in the marketplace.) See also, McFadden, Daniel. The Choice Theory Approach to Market Research,
Marketing Science, Vol. 5, No. 4, Special Issue on Consumer Choice Models (Autumn,1986), p. 291. (When the
items under study have a large number of attribute dimensions, of which only a small number can be characterized
and varied experimentally, the subjects imputation of the missing variables introduces noise, and possibly bias.)
132
See, e.g., Green, Paul E. and V. Srinivasan, Conjoint Analysis in Marketing: New Developments with
Implications for Research and Practice, Journal of Marketing, Vol. 54, No. 4 (Oct., 1990), pp. 3-19. (It has been
typical in conjoint studies to estimate only the main effects and assume away interaction effects. In certain cases,
interaction effects, particularly two-way interaction effects, may be important.)
133
See, e.g., SAMNDCA00250503-557, p. 525.
134
See, e.g., APLNDC-X0000006548-647, p. 566; APLNDC0002007608-704, p. 634; APLNDC-Y0000023361-
427, p. 387; APLNDC-Y0000024130-333, p. 233.
135
http://cell-phones.toptenreviews.com/smartphones/ (viewed October 12, 2012); http://tablets-
136
See, e.g., Exhibits 1 and 2.

39

However, a reasonable set of features makes the choices more realistic and minimizes demand
artifacts.
137
While it is true that a conjoint analysis does not need to include every available
feature, the omission of features known to be important to the purchase decision, and thus known
to have value to consumers, can create an upward bias on the values of the features that are
included in the survey, including the features related to the patents at issue here. In light of this
problem, one cannot rely on the findings and estimates that result from Professor Hausers
analysis.
D. Professor Hauser Failed To Externally Validate His Model
73. Professor Hauser failed to externally validate his model. Professor Hauser
conducted internal validity tests to determine whether his findings were consistent within his
sample of respondents. Specifically, he examined the predictive ability of his model by
estimating the model on a subset of the data and then testing the predictive ability of the results
obtained from that subset using two statistics, the U
2
and the hit rate.
138
However, Professor
Hauser failed to conduct any external validity tests to determine whether his findings might be
meaningful beyond the sample of respondents he surveyed and beyond his narrow survey
environment.
V. CONCLUSION
74. In summary, Professor Hauser's Report and the conjoint analysis that it
describes do not show that consumers bought Samsung smartphones or tablets because
they were equipped with the features claimed in the utility patents. Professor Hausers
analysis was not designed to determine whether consumers bought Samsung smartphones or

137
138
Hauser Report, pp. 42-43

40

tablets because the devices were equipped with the features claimed in the utility patents. His
methodology, moreover, generates predictions that are inconsistent with market realities and
common sense, and includes numerous flaws (described in paragraphs 46-72). Those flaws,
summarized in the figure below, render the WTP results unreliable and invalid.

Component of Professor Hausers
Survey Design
Paragraphs Effect
WTP Estimation Produces Numerous
Nonsensical Results
46-54 Underm ines Reliability and
Validity of Results
Selective Use of Multimedia Animations in
Feature Descriptions
56-60 Appears to Inflate WTP
Lack of Non-Infringing Alternatives in Survey
Design
61-65 Appears to Inflate WTP
Respondents Not Provided with a No Choice
Option
66-67 May Inflate WTP
Results are Linked to Hypothetical Spending
Scenarios
68-69 May Bias WTP Upwards
Survey Excludes Several Features Critical to
Consumer Purchase Decision
70-72 May Bias WTP Upwards

When taken as a whole, the result is an unreliable analysis, which appears to generate
highly-inflated WTP estimates for what are, at most, tertiary touchscreen features, and
which has not been externally validated.
75. I reserve the right to update my analysis and conclusions should new information
become available.

I declare under penalty of perjury that the foregoing is true and on
October 19, 2012.
"---
41

APPENDIX A
1

YORAM (JERRY) WIND

Academic Positions: Jerry Wind is The Lauder Professor and Professor of Marketing at The Wharton
School of the University of Pennsylvania. He is the founding director of the Wharton "think tank, The SEI
Center for Advanced Studies in Management. The Center's mission is to assure, through research and
development, the quality, relevance, and impact of management research, education, and practice. Dr. Wind
joined the Wharton faculty in January 1967, upon receipt of his doctorate from Stanford University.
Program Development: Dr. Wind is the founder and academic director of The Wharton Fellows program.
From 1983 to 1988, he was the founding director of The Joseph H. Lauder Institute of Management and
International Studies, and from 1980 to 1983 the founding director of The Wharton Center for International
Management Studies. Dr. Wind chaired the Wharton committees that designed The Wharton Executive MBA
Program (1974), the new MBA curriculum (1991), the Schools globalization strategy (1995-1997), and the
MBAs cross-functional integration efforts (2002-04). He also started The Wharton International Forum
(1987) and served as the chairman of its faculty council until 1998. He was instrumental in establishing the
Alfred West, Jr. Learning Lab and served as a member of its first advisory board (2001-05).
Publications: Dr. Wind is one of the most cited authors in marketing. His regular contributions to
professional marketing literature include 23 books and over 250 papers, articles, and monographs
encompassing the areas of marketing strategy, marketing research, new product and market development,
consumer and industrial buying behavior, and global marketing. Dr. Winds books have received wide
acclaim and many have been translated into a number of languages. His most recognized recent
publications include: Competing in a Flat World, with Victor and William Fung (Wharton School Publishing
2007), The Power of Impossible Thinking: How Changing Your Mental Models Will Transform the Business
of Your Life and the Life of Your Business, with Colin Crook (Wharton School Publishing 2004),
Convergence Marketing: Strategies for Reaching the New Hybrid Consumer with Vijay Mahajan (Financial
Times/Prentice Hall 2002), and Driving Change with Jeremy Main (Free Press 1998). Both The Power of
Impossible Thinking and Convergence Marketing were selected by Executive Book Summaries as one of the
thirty best business books of 2002 and 2004. His recent edited books The Network Challenge: Strategy,
Profit and Risk in an Interlinked World (Wharton School Publishing, June 2009), New Product Diffusion
Models (Kluwer 2000), Digital Marketing (Wiley 2001), and Marketing Research and Modeling: Progress and
Prospects (Kluwer 2004)include the works of the leading experts on these topics. In 2012, Sage will
publish an 8-volume edited anthology of Dr. Winds publications through the Legends of Marketing Series.
Editorship: Dr. Wind founded Wharton School Publishing (Whartons J.V. with Pearson) (2003) and served
as the first Wharton editor (2003-2008). He has served as editor-in-chief of the Journal of Marketing, on the
policy boards of the Journal of Consumer Research and Marketing Science, and has been on the editorial
boards of the major marketing journals. He has been a guest editor of special issues of the major marketing
journals including Marketing Science (1996) on Empirical Generalization in Marketing (with Frank Bass),
JMR (1978) on market segmentation and (1997) on Innovation in New Product Development and Marketing
Research (1998) on The State of the Art in Quantitative Research.
Business Experience: Dr. Wind has served as an advisor to many Fortune 500 firms and a number of non-
U.S. multinationals in the financial services, pharmaceuticals, information, and consumer packaged goods
industries. His consulting focuses on both overall global corporate and business strategy and transformation
as well as marketing strategy and especially the development of new businesses. He is a regular advisor to
the investment firm SEI. In addition, he has served as an expert witness in various legal cases. Dr. Wind is a
member of the advisory board of a number of start-ups including Arshiya (India), and Decision Lens. He is a
former director of IDT (HK), Enhance Financial Services Corporation, Contel Corporation, CASA and a
number of entrepreneurial ventures.
Professional Activities: Dr. Wind is an active member of the major marketing and management science
professional associations. He is the former Chancellor of the International Academy of Management (IAM).
He is a former academic trustee of the Marketing Science Institute and former chairman of the College of
Marketing of the Institute of Management Science. He is a member of the Board of Directors of the Marketing
Accountability Standards Board. He is one of the founders of the Israeli universityThe Interdisciplinary
Center Herzliya (IDC) (1994), chairman of its academic council, and member of its academic appointment
and promotion committee. He is also a member of the board of the American Friends of IDC. He is a
member of the boards of a number of Wharton's centers, including the Lauder Institute and
Knowledge@Wharton; a trustee of The Philadelphia Museum of Art and a member of its digital age
committee; and a member of the Advisory Board of Business for Diplomatic Action. He is a frequent lecturer
February 2012
2

in faculty seminars and executive programs in over 50 universities worldwide.
Awards: Dr. Wind is the recipient of various awards, including the four major marketing awardsThe Charles
Coolidge Parlin Award (1985), the AMA/Irwin Distinguished Educator Award (1993), the Paul D. Converse
Award (1996) and the Buck Weaver Award (2007). He is the recipient of the first Faculty Impact Award given
by Wharton Alumni (1993). In 1984, he was elected as member of the Attitude Research Hall of Fame and
has won a number of research awards, including two Alpha Kappa Psi Foundation awards and a recent
inclusion in JAR Classics issue of 18 articles that have withstood the test of time. In 2001 he was selected as
one of the 10 Grand Auteurs in Marketing and later named as the 2003 recipient of the Elsevier Science
Distinguished Scholar award of the Society for Marketing Advances. In May 2004 he was awarded as
Honorary Fellow of the Decade by the Interdisciplinary Center Herzliya (Israel). In 2009, Dr. Wind was
selected as one of the 10 Legends of Marketing and in 2012 Sage will publish 8 edited volumes
anthologizing his various publications.

. Page
Academic Experience ...3
Publications .4
Consulting Experience.....40
University Activities .....50
Other Professional Activities .58
Professional Affiliations and Awards .........86
Personal Data .....91

3
ACADEMIC EXPERIENCE

EDUCATION

Stanford University, Graduate School of Business. Ph.D. (Marketing), September 1964-December 1966.

Stanford University, International Center for Advancement of Management Education, Certificate in Marketing
Management. September 1963-June 1964.

The Hebrew University, Jerusalem, School of Economics and Social Sciences, M.A. (Business Administration
and Political Science), September 1961-June 1963; B. Soc. Sci. (Economics and Political Science),
September 1958-June 1961.

UNIVERSITY POSITIONS

A. University of Pennsylvania, The Wharton School

Faculty Positions:
The Lauder Professor, 1983-
Professor of Marketing, 1973-
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
Associate Professor of Marketing, 1970-1973
Assistant Professor of Marketing and International Business, 1967-1970

Selected Administrative Positions:
Founding Academic Director, The Wharton Fellows platform and program, 2000-
Founding Director, The SEI Center for Advanced Studies in Management, 1988-
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
Founding Editor, Wharton School Publishing (WSP), 2003-2008
Founding Director, The Joseph H. Lauder Institute of Management and International Studies, 1983-1988
Founding Director, the 1st Title VI National Resource Center in International Management Studies, 1985-
1988
Founding Director, The Wharton Center for International Management Studies, 1980-1983

Secondary Faculty Appointments:
Member of the Graduate Group in International Studies (School of Arts & Sciences), 1984-1998
Member of the OR Group, 1979-1984 and the OR affiliated faculty, 1984-1989
Senior Fellow of the Leonard Davis Institute, 1977-1980
Secondary Appointment as Professor of Management, 1981-1984
Member of the Extended Faculty of the Social Systems Sciences Dept. 1981-1986

B. Other Universities

The Interdisciplinary Center (IDC) Herzliya Israel, Co-Founder (for specific activities since 1994, see p. 48).

University of Tokyo (Japan) Co-Director of the Marunouchi Global Center (MCG) program, 2002; The First
Hakuhodo Visiting Professorship, Spring 1992 and 1993.

Erasmus University (The Netherlands) The First Visiting Unilever-Erasmus Professorship, Spring 1993.

University of New South Wales (Australia) The First Visiting Hoover Foundation Professor, 1977.

University of California at Berkeley, School of Business Administration Visiting Professor, Fall 1975.

University of Tel Aviv, The Leon Recanati Graduate School of Business Administration,
Visiting Senior Lecturer, September 1968-August 1969.

Stanford University, Graduate School of Business, Research Assistant, June 1965-October 1966.

The Hebrew University Jerusalem, Teaching Assistant in the Departments of Political Science and
Business Administration, September 1961-June 1963.

4
PUBLICATIONS

I. BOOKS

1. Fung, Victor K., William K. Fung and Yoram (Jerry) Wind. *Competing in a Flat World: Building
Enterprises for a Borderless World. Upper Saddle River: Wharton School Publishing, 2007. [Translated
editions: Bahasa Indonesia; Chinese Simplified; Chinese Traditional; English (India); Italian; Korean;
Polish; Portuguese; Spanish; Italian; Bahasa Indonesian; Turkish.]

2. Wind, Jerry, Colin Crook and Robert E. Gunther. *The Power of Impossible Thinking: Transform the
Business of Your Life and the Life of Your Business. Upper Saddle River: Wharton School Publishing,
2004. Selected by Executive Book Summaries as one of the thirty best business books of 2004.
[Translated editions: Arabic; Bahasa Indonesia; Bulgarian; Chinese (simplified and traditional); English
(Singapore); Italian; Japanese; Korean; Polish; Portuguese; Russian; Serbian; Spanish; Thai; and
Turkish.] Selected by Executive Book Summaries as one of the thirty best business books of 2004;
finalist in Fast Company Readers Choice Award for the October book of the month; among CEO
READ top 25 books of August 2004. A paperback edition was published in 2006.

3. Krieger, Abba, Paul E. Green and Jerry Wind. Adventures in Conjoint Analysis: A Practitioners Guide
to Trade-Off Modeling and Applications. Philadelphia: The Wharton School, 2004 <
https://marketing.wharton.upenn.edu/faculty/green/monograph/ >.

4. Wind, Yoram (Jerry), Vijay Mahajan and Robert Gunther. *Convergence Marketing: Strategies for
Reaching the New Hybrid Consumer. Upper Saddle River: Prentice Hall, 2002.
Selected by Executive Book Summaries as one of the thirty best business books of 2002. Translated
editions: Chinese (simplified), Tsingua University Press; Chinese (traditional), Prentice Hall Taiwan;
Bahasa (Indonesia); Spanish; Portuguese; Italian [Consumatore Centauro: Orvaro il Marketing Della
Convergenza, ETAS LAB. IT. 2002]; Korean; and Japanese.

5. Fields, George, Hotaka Katahira, Jerry Wind and Robert E. Gunther. Leveraging Japan: Marketing to
the New Asia. San Francisco: Jossey-Bass, 1999.

6. Wind, Yoram and Jeremy Main. *Driving Change: How the Best Companies are Preparing for the 21
st

Century. New York: The Free Press, 1997.
Translated editions in U.K. by Kogan (Page Ltd.), 1998; China by Shanghai Jiao (Tong University
Press), 1999; Hungary by Veres Istvn (Geomedia Szakknyvek), 2000. Adaptation to local condition:
Brazil by Luiz Felipe Monteiro Jr. (IBMEC Qualitymark Editoria), 2002.

7. Bauer, Roy A., Emilio Collar, Victor Tang, Jerry Wind and Patrick R. Houston. The Silverlake Project:
Transformation at IBM. New York: Oxford University Press, 1992.
Translated to Chinese, Huaxia Publishing, 2000.

8. Wind, Yoram. *Product Policy: Concepts, Methods and Strategies (Addison-Wesley Marketing Series).
Reading: Addison-Wesley, 1982. Reviewed in the Journal of Marketing, Summer 1981.

9. Wind, Yoram. *Marketing and Product Planning (in Spanish). Mexico: Expansion, 1979.
This book is based in part on sections from Product Policy which was selected by the editors of
Expansion as the "Book of the Year" 1979.

10. Wind, Yoram, Paul E. Green and Douglas Carroll. Multi-Attribute Decisions in Marketing: A
Measurement Approach. Hinsdale: The Dryden Press, 1973.

11. Webster, Frederick E. and Yoram Wind. Organizational Buying Behavior (Foundations of Marketing).
Englewood Cliffs: Prentice Hall, 1972.
Translated to Portuguese (Editor, Atlas, Sao Paulo, Brazil, 1975). Reviewed JMR, August 1974.

12. Wind, Yoram, Ronald E. Frank and William F. Massy. Market Segmentation (International Series in
Management). Englewood Cliffs: Prentice Hall, 1972. Reviewed JMR, November 1972; August 1974.


5
13. Wind, Yoram, Homer Dalby and Irwin Gross. Advertising Measurement and Decision Making. Boston:
Allyn & Bacon, 1968.

14. Robinson, Patrick J. and Yoram Wind. Industrial Buying and Creative Marketing. Boston: Allyn &
Bacon, 1967.
Contributed two chapters; co-authored with Patrick J. Robinson three chapters; and participated in the
overall organization and preparation of the book.

15. Yoram Wind. Industrial Buying Behavior: Source Loyalty in the Purchase of Industrial Components.
Unpublished Ph.D. dissertation, Stanford University, 1966.

II. EDITED BOOKS

1. Wind, Yoram and Paul Kleindorfer, eds., The Network Challenge: Strategy, Profit and Risk in an
Interlinked World. Wharton School Publishing, 2009.

2. Wind, Yoram (Jerry) and Paul E. Green, ed., *Marketing Research and Modeling: Progress and
Prospects. Norwell: Kluwer Academic Publishers, 2004.

3. Wind, Jerry and Vijay Mahajan, ed. Digital Marketing: Global Strategies from the Worlds Leading
Experts. New York: John Wiley & Sons, 2001.

4. Mahajan, Vijay, Eitan Muller and Yoram Wind, ed. New-Product Diffusion Models. Boston: Kluwer
2000.

5. Mahajan, Vijay and Yoram Wind, ed. Innovation Diffusion Models of New Product Acceptance.
Cambridge: Ballinger Publishing Co., 1986.

6. Wind, Yoram, Vijay Mahajan and Richard N. Cardozo, ed. New-Product Forecasting: Models and
Applications. Lexington: Lexington Books, 1981.

7. Wind, Yoram and Robert J. Thomas, ed. Advances in Organizational Buying Research: The Case
of Acquisition of Scientific and Technical Information. Washington, D.C: National Science
Foundation, 1979.

8. Wind, Yoram and Marshall Greenberg, ed. Moving Ahead with Attitude Research: Proceedings of
the Seventh Attitude Research Conference. Chicago: American Marketing Association, 1977.

9. Nicosia, Francesco M. and Yoram Wind, ed. Behavioral Models for Market Analysis: Foundations
for Marketing Action. Hinsdale, IL: The Dryden Press, 1977.

III. BOOKS UNDER DEVELOPMENT

1. Wind, Yoram and the Future of Advertising Team. The Future of Advertisingis Now. A
forthcoming iPad app.

6
2. Wind, Yoram, ed. Paul Green Contributions to Clustering and Segmentation. Paul
Green Sage Series on Legends of Marketing, Forthcoming.

3. Wind, Yoram. Marketing Strategy Analysis, NOW The Essence of Knowledge:
Foundations and Trends in Marketing, Forthcoming.

4. Bell, David and Wind, Yoram. Market Segmentation Uncut: A Practitioners Gude to
Understanding and Implementing The Most Powerful Concept in Marketing. NOW The
Essence of Knowledge: Foundations and Trends in Marketing, Forthcoming.

5. Wind, Yoram. A Managers Guide to Creativity.

6. Wind, Yoram, Colin Crook, Howard Moskowitz & Stephen Rappaport. Rethinking
Education: Current & Needed Models to Address the Education Challenge.

7. Wind, Yoram and Herb Addison. Creating a Creative Organization.

8. Wind, Yoram and the Future of Advertising Team. Rethinking Advertising A
forthcoming e-book in development as a collaboration platform featuring insights,
innovations and debates among the FoA Programs Advisory Board, Wharton faculty and
other industry experts.

9. Yoram Wind Legends in Marketing: forthcoming 2012 from Sage Publications:
Organizational Buying Behavior, Bob Thomas
Consumer Behavior, Barbara Kahn, Bob Meyer
Product and New Product Management, Vijay Mahajan,
Marketing Strategy, David Reibstein
Market Segmentation, David Bell
Global Marketing, Arun Jain
Marketing Research and Modeling, Vithala Rao
The Future of Marketing, George Day

IV. ARTICLES, CONTRIBUTED CHAPTERS, PAPERS IN PROCEEDINGS, AND WORKING PAPERS

The papers are grouped by the following topics:

A. Portfolio analysis and strategy
B. Marketing and business strategy
C. Marketing and product strategy
D. Research on industrial buying behavior
E. Research on consumer behavior
F. Marketing research and modeling
G. International marketing
H. International management education and the Lauder Institute
I. Management practice and education in the 21st Century
J. Convergence Marketing
K. Mental Models Power of Impossible Thinking
L. Network-Based Strategies
M. Advertising
N. Entries in Dictionaries, Encyclopedias, and Handbooks

| = Article published in refereed journal
7
A. Portfolio Analysis and Strategy

1. Wind, Yoram. "Product Portfolio: A New Approach to the Product Mix Decision. Combined
Proceedings. Ed. Ronald C. Curhan. Chicago: American Marketing Association, Aug. 1974.
460-464.
<http://dl.dropbox.com/u/9686940/windj/7401_Product_Portfolio_A_New_Approach.pdf>.

2. Wind, Yoram, and Henry J. Claycamp. "Planning Product Line Strategy: A Matrix Approach.
Journal of Marketing 40 (Jan. 1976): 2-9.
<http://dl.dropbox.com/u/9686940/windj/7601_Planning_Product_Line_Strategy_A.pdf>.

3. Wind, Yoram and Daniel Gross. "An Analytic Hierarchy Process for the Allocation of
Resources Within a Target Product/Market/Distribution Portfolio. Proceedings of the First
ORSA/TIMS Special Interest Conference on Market Measurement and Analysis. Eds. David B.
Montgomery and Dick R. Wittink. Cambridge, MA: Marketing Science Institute, 1980. 278-297.
<http://dl.dropbox.com/u/9686940/windj/8001_An_Analytic_Hierarchy_Process_For.pdf>.

4. Wind, Yoram, and Thomas L. Saaty. "Marketing Applications of the Analytic Hierarchy
Process. Management Science 26.7 (July 1980): 641-658.
<http://dl.dropbox.com/u/9686940/windj/8002_Marketing_Applications_of_the_Analytic.pdf>.

5. Wind, Yoram, and Vijay Mahajan. "Designing Product and Business Portfolios. Harvard
Business Review 59.1 (Jan. - Feb. 1981): 155-165. [B] Based on Measurement Issues in
Portfolio Analysis. Paper presented at the Second Market Measurement and Analysis
Conference, Austin, TX, Mar. 1980. [C] Translated and reprinted in French as Un portefeuille
dactivits en sept tapes. Harvard La Revue des Responsables LExpansion. 1981: 37-49.
<http://dl.dropbox.com/u/9686940/windj/8110_Designing_Product_and_Business_Portfolios.p
df>.

6. Wind, Yoram, and Susan Douglas. "International Portfolio Analysis and Strategy: The
Challenge of the 80s. Journal of International Business Studies (Fall 1981): 69-82.
<http://dl.dropbox.com/u/9686940/windj/8101_International_Portfolio_Analysis_and_Strategy.p
df>.

7. Mahajan, Vijay, Yoram Wind, and John W. Bradford. "Stochastic Dominance Rules for Product
Portfolio Analysis. TIMS Studies in the Management Sciences 18 (1982): 161-183.
<http://dl.dropbox.com/u/9686940/windj/8201_Stochastic_Dominance_Rules_for_Product.pdf>
.

8. Harshman, Richard A., Paul E. Green, Yoram Wind, and Margaret E. Lundy. "A Model for the
Analysis of Asymmetric Data in Marketing Research. Marketing Science 1.2 (Spring 1982):
205-242. <http://dl.dropbox.com/u/9686940/windj/8202_A_Model_for_the_Analysis.pdf>.

9. Wind, Yoram, Vijay Mahajan, and Donald J. Swire. "An Empirical Comparison of Standardized
Portfolio Models. Journal of Marketing 47 (Spring 1983): 89-99. [B] Based on paper presented
at the Conference on Analytical Approaches to Product and Marketing Planning, 1981
<http://dl.dropbox.com/u/9686940/windj/8308_An_Empirical_Comparison_of_Standardized.pdf
>.

10. Cardozo, Richard N., and Jerry Wind. "Risk Return Approach to Product Portfolio Strategy.
Long Range Planning 18.2 (1985): 77-85.
<http://dl.dropbox.com/u/9686940/windj/8501_Risk_Return_Approach_to_Product.pdf>.

11. Mahajan, Vijay, and Jerry Wind. "Integrating Financial Portfolio Analysis with Product Portfolio
Models. Strategic Marketing and Management. Eds. H. Thomas and D. Gardner. New York:
John Wiley & Sons Ltd., 1985: 193-212.
<http://dl.dropbox.com/u/9686940/windj/8502_Integrating_Financial_Portfolio_Analysis_with.p
df>

8
12. Wind, Yoram, and Vijay Mahajan. "Corporate Growth Through Synergy: Concept,
Measurement & Applications. Wharton School Working Paper, Aug. 1985.
<http://dl.dropbox.com/u/9686940/windj/8503_Corporate_Growth_Through_Synergy_Concept.
pdf>

13. Mahajan, Vijay, and Yoram Wind. "Business Synergy Does Not Always Pay Off. Long Range
Planning 21.1 (Feb. 1988): 59-65.
<http://dl.dropbox.com/u/9686940/windj/8801_Business_Synergy_Does_Not_Always.pdf>.

B. Marketing and Business Strategy

1. Wind, Yoram. "A Research Program for a Marketing Guided Approach to Mergers and
Acquisitions. 1979 Educators Conference Proceedings. Eds. Neil Beckwith, et al. Chicago:
American Marketing Association, 1979. 207-256.
<http://dl.dropbox.com/u/9686940/windj/7901_A_Research_Program_for_a.pdf>.

2. Wind, Yoram. "Marketing Oriented Strategic Planning Models. Marketing Decision Models.
Eds. Randall L. Schultz and Andris A. Zoltners. New York: Elsevier, North Holland, Inc., 1981.
207-250.
<http://dl.dropbox.com/u/9686940/windj/8102_Marketing_Oriented_Strategic_Planning_Model
s.pdf>.

3. Wind, Yoram. "Marketing and the Other Business Functions. Research in Marketing Vol. 5
(1981): 237-264.
<http://dl.dropbox.com/u/9686940/windj/8103_Marketing_and_the_Other_Business.pdf>.

4. Wind, Yoram. "Marketing and Corporate Strategy. The Wharton Magazine (Summer 1982):
38-45. [B] Based on Wind, Yoram. Marketing and Corporate Strategy: Problems and
Perspectives. 13th Annual Albert Wesley Frey Lecture. University of Pittsburgh. 1981.
<http://dl.dropbox.com/u/9686940/windj/8207_Marketing_and_Corporate_Strategy.pdf>.

5. Robertson, Thomas S., and Yoram Wind. "Marketing Strategy." The Strategic Management
Handbook. Ed. Kenneth J. Albert. New York: McGraw-Hill, 1983. 11-311-22.
<http://dl.dropbox.com/u/9686940/windj/8207_Marketing_and_Corporate_Strategy.pdf>.

6. Wind, Yoram, and Thomas S. Robertson. "Marketing Strategy: New Directions for Theory and
Research." Journal of Marketing 47 (Spring 1983): 12-25.
<http://dl.dropbox.com/u/9686940/windj/8302_Marketing_Strategy_New_Direction_for.pdf>.

7. Wind, Yoram (Jerry). "Marketing for Top Executives: Problems and Prospects, Wharton
School Working Paper, 1985.

8. Wind, Yoram. "Models for Marketing Planning and Decision Making. Handbook of Modern
Marketing. 2nd ed. Ed. Victor P. Buell. New York: McGraw-Hill, Feb. 1986. 49-149-12.
<http://dl.dropbox.com/u/9686940/windj/8601_Models_for_Marketing_Planning_and.PDF>.

9. Wind, Jerry. "Effective Competitive Strategies: A Marketing Perspective. Address at the
Securities Industry Association Regional Conference on Achieving Excellence in Management,
Chicago, March 26, 1986: 62-80.
<http://dl.dropbox.com/u/9686940/windj/8602_Effective_Competitive_Strategies_A_Marketing.
pdf>.

10. Wind, Jerry. "Expanding the Role of the Board of Directors. Wharton School Working Paper,
May 1986. <http://dl.dropbox.com/u/9686940/windj/8605_Expanding_the_Role_of_the.pdfz>

11. Wind, Y. "An Analytic Hierarchy Process Based Approach to the Design and Evaluation of a
Marketing Driven Business and Corporate Strategy. Mathematical Modeling 9.3-5 (1987):
285-291.
<http://dl.dropbox.com/u/9686940/windj/8702_An_Analytic_Hierarchy_Process_Based.pdf>.
9

12. Wind, Yoram. "Financial Services: Increasing Your Marketing Productivity and Profitability.
The Journal of Services Marketing 1.2 (Fall 1987): 5-18.
<http://dl.dropbox.com/u/9686940/windj/8703_Financial_Services_Increasing_Your_Marketing
.pdf>.

13. Dunn, Elizabeth F., and Jerry Wind. "Analytic Hierarchy Process for Generation and Evaluation
of Marketing Mix Strategies. Contemporary Views on Marketing Practice. Eds. Gary L. Frazier
and Jagdish N. Sheth. Lexington, MA: Lexington Books, Dec. 1987. 111-131.
<http://dl.dropbox.com/u/9686940/windj/8701_Analytic_Hierarchy_Process_for_Generation.pd
f>.

14. Wind, Jerry. "A Marketing Perspective for Competitive Strategy. Handbook of Business
Strategy: 1988/1989 Yearbook. Ed. Harold E. Glass. Boston: Warren, Gorham & Lamont,
1988. 17-117-25. [B] Based on paper presented at the International Conference on
Competitive Analysis, Groningen, Netherlands, Oct. 1986.
<http://dl.dropbox.com/u/9686940/windj/8807_A_Marketing_Perspective_for_Competitive.pdf>
.

15. Wind, Yoram (Jerry). "Targeting Global Markets: Guidelines to Meet the Marketing Challenge.
Directions. Atlanta, GA: Contel Corporation, 1989. 20-23.
<http://dl.dropbox.com/u/9686940/windj/8901_Targeting_Global_Markets_Guidelines_to.pdf>.

16. Day, Diana L., John U. Farley, and Jerry Wind. New Perspectives on Strategy Research: A
View from the Management Sciences. Management Science 36.10 (Oct. 1990).
<http://dl.dropbox.com/u/9686940/windj/9001_New_Perspectives_on_Strategy_Research.pdf>
.

17. Wind, Yoram (Jerry). "Inducing Creativity and Innovation in Large Bureaucracies: Lessons
from Marketing. Proceedings of the RGK Foundation 4th International Conference on Creative
and Innovative Management. 1993.

18. Rangaswamy, Arvind, and Jerry Wind. Dont Walk In, Just Log In! Electronic Markets and
What They Mean for Marketing. Wharton School Working Paper, Dec. 1994.
<http://dl.dropbox.com/u/9686940/windj/9401.Dont.Walk.In.Just.Log.In.pdf>

19. Wind, Yoram (Jerry). Growth Strategies. Wharton School Working Paper, 1996.

20. Wind, Jerry. Preemptive Strategies. Wharton on Dynamic Competitive Stratetgy. Eds.
George S. Day and David L. Reibstein. New York: John Wiley & Sons, Inc., 1997. 256-276.
< http://dl.dropbox.com/u/9686940/windj/9701_Preemptive_Strategies.pdf>.

21. Wind, Yoram (Jerry). Segmentation: Accomplishments, Issues and Challenges of the Global
Information Age. Proceedings of the 14th Paul D. Converse Symposium. Eds. James D. Hess
and Kent B. Monroe. Chicago: American Marketing Association, 1998. 130-150.
<http://dl.dropbox.com/u/9686940/windj/9801_Segmentation_Accomplishments_Issues_and_
Challenges.pdf>.

22. Wind, Jerry. Marketing Strategy in the Global Information Age. Mastering Marketing. Eds.
Financial Times, in association with INSEAD, Kellogg, LBS, and Wharton. London: Pearson
Education, 1999. 131-150.
<http://dl.dropbox.com/u/9686940/windj/9901_Marketing_Strategy_in_the_Global.pdf>.

23. Wind, Jerry, and Vijay Mahajan. The Challenge of Digital Marketing. Digital Marketing. Eds.
Jerry Wind and Vijay Mahajan. New York: John Wiley & Sons, Inc., 2001. [B] Modified version
published as Wind, Jerry, and Vijay Mahajan. Digital Marketing. European Business Forum
1.1 (Spring 2000): 20-27.
http://dl.dropbox.com/u/9686940/windj/0004_The_Challenge_of_Digital_Marketing.pdf

10
24. Wind, Jerry, and Arvind Rangaswamy. Customerization: The Next Revolution in Mass
Customization. Journal of Interactive Marketing 11.1 (Winter 2001): 13-32. [B] Reprinted as
Marketing Science Institute working paper, 2000. [C] Summarized as Customerization:
Marketing Driven by the Consumer. Insight from MSI (2000). [D] Reprinted in Pulses (Oct.
2000) (publication of the Singapore Exchange).
<http://dl.dropbox.com/u/9686940/windj/0104_Customerization_The_Next_Revolution_in.pdf>.

25. Wind, Yoram (Jerry). The Challenge of Customerization in Financial Services.
Communications of the ACM 44.6 (June 2001): 39-44.
<http://dl.dropbox.com/u/9686940/windj/0101_The_Challenge_of_Customerization_in.pdf>.

26. Mahajan, Vijay, Raji Srinivasan, and Jerry Wind. The Dot.com Retail Failures of 2000: Were
There Any Winners? Journal of the Academy of Marketing Science 30.4 (2002): 474-486.
<http://dl.dropbox.com/u/9686940/windj/0201_The_Dot.com_Retail_Failures_of.pdf>.

27. Amit, Raffi, Cohen, Morris, Wunram, Jurgen, and Yoram Wind. Winning the Digital
Transformation Race. Wharton School Working Paper, Oct. 2002.

28. Wind, Yoram (Jerry). Marketing as an Engine of Business Growth: A Cross-Functional
Perspective. The Journal of Business Research 58 (2005): 863-873.
<http://dl.dropbox.com/u/9686940/windj/0501_Marketing_as_an_Engine_of.pdf>.

29. West, Jr., Alfred P., and Yoram (Jerry) Wind. Putting the Organization on Wheels: How SEI
Uses Workplace Design and Art to Create a Corporate Culture that Drives Innovation and
Growth. California Management Review. 49.2 (2007): 138-153.
<http://dl.dropbox.com/u/9686940/windj/0701_Putting_the_Organization_on_Wheels.pdf>.

30. Wind, Jerry and David Bell. Market Segmentation. The Marketing Book (Sixth Edition).
Butterworth Heinemann, November 2007.
< http://dl.dropbox.com/u/9686940/windj/0702_Market_Segmentation.pdf>.

31. Wind, Jerry, Louis Capozzi, and Monita Buchwald. Beyond Stretch Objectives: Stretch the
Thinking, Strategy and Organisational Design. Strategic Innovators (May-July 2008): 8-17.
<http://dl.dropbox.com/u/9686940/windj/0801_Beyond_Stretch_Objectives_Stretch_the.pdf>.

32. Wind, Yoram (Jerry). A Plan to Invent the Marketing We Need Today, MIT Sloan
Management Review, June 2008. [B] Excerpted from the 2007 Buck Weaver Award paper
Rigor and Relevance: A Key Marketing Challenge, the full award paper is available online at
http://sloanreview.mit.edu.

33. Wind, Jerry. Rethinking Marketing: Peter Druckers Challenge, Journal of the Academy of
Marketing Science 37 (2009): 28-34.
<http://dl.dropbox.com/u/9686940/windj/0901_Rethinking_Marketing_Peter_Druckers_Challen
ge.pdf>

C. Marketing and Product Strategy

1. Knight, Kenneth E., and Yoram Wind. "Innovation in Marketing: An Organizational Behavior
Perspective. California Management Review 11 (Fall 1968): 67-78.
<http://dl.dropbox.com/u/9686940/windj/6801_Innovation_in_Marketing_An_Organizational.pdf
>.

2. Wind, Yoram, Bent Stidsen, and Kenneth E. Knight. "Management and Change. Manpower
and Applied Psychology 2.2 (Winter 1968): 38-46.
<http://dl.dropbox.com/u/9686940/windj/6802_Management_and_Change.pdf>.

11
3. Schutte, Thomas F., and Yoram Wind. "The Marketing Concept Revisited: A Decade Recap of
Its Development and Meaning. Wharton School Working Paper, Jan. 1968.
<http://dl.dropbox.com/u/9686940/windj/6803_The_Marketing_Concept_Revisited_A.pdf>

4. Wind, Yoram. "A Marketing Approach to the Salesman Function. Organization and
Administration (Hebrew) 15 (Sept. 1969): 26-33.
<http://dl.dropbox.com/u/9686940/windj/6902_A_Marketing_Approach_to_the.pdf>.

5. Wind, Yoram. "Innovation as Marketing Orientation. Business Economics (Hebrew) 36 (Dec.
1969): 5-11.
<http://dl.dropbox.com/u/9686940/windj/6901_Innovation_as_Marketing_Orientation.pdf>.

6. Wind, Yoram. "The Step Children of Marketing: Organizational and International Customers.
The Wharton Quarterly 7 (Fall 1972): 43-46.
<http://dl.dropbox.com/u/9686940/windj/7201_The_Step_Children_of_Marketing.pdf>.

7. Wind, Yoram. "A Note on the Operationalization of the Product Life Cycle Concept. Wharton
School Working Paper, Jan. 1975.
<http://dl.dropbox.com/u/9686940/windj/7501_A_Note_on_the_Operationalization.pdf>

8. Cacchione, Jr., Frank J., Dan Gross, and Yoram Wind. "Consumer Attitudes as Guidelines for
the Evaluation of a New Distribution System. Moving Ahead With Attitude Research. Eds.
Jerry Wind and Marshall Greenberg. Chicago: American Marketing Association, 1977. 139-
143.
<http://dl.dropbox.com/u/9686940/windj/7701_Consumer_Attitudes_as_Guidelines_for.pdf>.

9. Wind, Yoram, and Tyzoon Tyebjee. "On the Use of Attitude Research in Product Policy.
Moving Ahead With Attitude Research. Eds. Jerry Wind and Marshall Greenberg. Chicago:
American Marketing Association, 1977. 147-156
<http://dl.dropbox.com/u/9686940/windj/7702_On_the_Use_of_Attitude.pdf>

10. Wind, Yoram. "The Perception of a Firm's Competitive Position. Behavioral Models for Market
Analysis: Foundations for Marketing Action. Eds. Francesco M. Nicosia and Yoram Wind.
Hinsdale, IL: The Dryden Press, 1977. 163-181.
<http://dl.dropbox.com/u/9686940/windj/7703_The_Perception_of_a_Firm's.pdf>.

11. Wind, Jerry. "Toward a Change in the Focus of Marketing Analysis: From a Single Brand to an
Assortment. Journal of Marketing 41.4 (Oct. 1977): 12+143.
<http://dl.dropbox.com/u/9686940/windj/7704_Toward_a_Change_in_the.pdf>.

12. Wind, Yoram, and Peter T. FitzRoy. "On the Multidimensionality of Market Share. Wharton
School Working Paper, Apr. 1979.
<http://dl.dropbox.com/u/9686940/windj/7902_On_the_Multidimensionality_of_Market.pdf>.

13. Wind, Yoram. "Product-Marketing Planning Models: Concepts, Techniques, and Needed
Development. Analytic Approaches to Product and Marketing Planning. Ed. Allan D. Shocker.
Cambridge, MA: Marketing Science Institute, 1979. 39-66.
<http://dl.dropbox.com/u/9686940/windj/7903_Product_Marketing_Planning_Models_Concept
s.pdf>.

14. Wind, Yoram. "Going to Market: New Twists for Some Old Tricks. The Wharton Magazine 4
(Spring 1980): 34-39. [B] Based on Wind, Yoram. "Product Positioning and Market
Segmentation Marketing and Corporate Perspectives. Wharton School Working Paper, 1979.
<http://dl.dropbox.com/u/9686940/windj/8007_Going_to_Market_New_Twists.pdf>.

15. Wind, Yoram, and Vijay Mahajan. "Market Share: Concepts, Findings, and Directions for
Future Research. Review of Marketing 1981. Eds. Ben M. Enis and Kenneth J. Roering.
Chicago: American Marketing Association, 1981. 31-42.
<http://dl.dropbox.com/u/9686940/windj/8104_Market_Share_Concepts_Findings_and.pdf>.

12
16. Wind, Jerry. "The Contribution of Research to Product Management and New Product
Development. Keynote Address at the 36th ESOMAR Congress, Barcelona, Spain, Aug.
1983. <http://dl.dropbox.com/u/9686940/windj/8303_The_Contribution_of_Research_to.pdf>.

17. Wind, Yoram. Significant Issues for the Future: Some Additional Perspectives - The Required
Breakthrough. Journal of Product Innovation Management 2 (1984):129-132.
<http://dl.dropbox.com/u/9686940/windj/8401_Significant_Issues_for_the_Future.pdf>.

18. Wind, Jerry. "The Marketing Challenge. Charles Coolidge Parlin Award Acceptance Speech.
Philadelphia, 1985. [B] Wharton School Working Paper, 1985. [C] Excerpts appeared in The
Marketing News Aug. 1985.
<http://dl.dropbox.com/u/9686940/windj/8508_The_Marketing_Challenge.pdf>.

19. Wind, Jerry, and Vijay Mahajan. "Marketing Hype: A New Perspective for New Product
Research and Introduction. Journal of Product Innovation Management 4 (1987): 43-39.
<http://dl.dropbox.com/u/9686940/windj/8704_Marketing_Hype_A_New_Perspective.pdf>.

20. Wind, Yoram, and Vijay Mahajan. "New Product Development Process: A Perspective for
Reexamination. Journal of Product Innovation Management 5 (1988): 304-310. [B] IEEE
Engineering Management Review 18.1(March 1990): 52-58.
<http://dl.dropbox.com/u/9686940/windj/8808_New_Product_Development_Process_A.pdf>.

21. Wind, Yoram J., and Douglas E. Hill. "Salespeople as Marketing Strategists. Wharton School
Working Paper, Aug. 1988.
<http://dl.dropbox.com/u/9686940/windj/C22_Salespeople%20as%20Marketing%20Strategists
_Aug%201988.pdf>

22. Wind, Yoram (Jerry). "Innovative Distribution: The Neglected Dimension in Business Strategy,
Wharton School Working Paper, August 1988.

23. Wind, Yoram J. "Positioning Analysis and Strategy. The Interface of Marketing and Strategy.
Eds. George Day, Barton Weitz and Robin Wensley. Greenwich, CT: JAI Press, Pct. 1990.
387-412.
<http://dl.dropbox.com/u/9686940/windj/9002_Positioning_Analysis_and_Strategy.pdf>.

24. Wind, Jerry. "Getting a Read on Market-Defined Value Journal of Pricing Management 1.1
(Winter 1990): 5-14.
<http://dl.dropbox.com/u/9686940/windj/9003_Getting_a_Read_on_Market.pdf>.

25. Wind, Yoram. "A New Approach to the Determination and Allocation of the R&D Budget.
Wharton Working Paper, Feb. 1990.
<http://dl.dropbox.com/u/9686940/windj/9004_A_New_Approach_to_the.pdf>

27. Lee, HoonYoung, Jerry Wind, and Raymond R. Burke. A New Approach for Screening New
Product and Service Concepts: Application to Financial Services. Wharton School Working
Paper, August 1992.
<http://dl.dropbox.com/u/9686940/windj/9201_A_New_Approach_for_Screening.pdf>

28. Katahira, Hotaka, Makoto Mizuno, and Yoram Wind. "New Product Success in the Japanese
Consumer Goods Market." Wharton School Working Paper, Apr. 1994.
<http://dl.dropbox.com/u/9686940/windj/9402_New_Product_Success_in_the.pdf>

29. Bass, Frank M., and Jerry Wind. Introduction to the Special Issue: Empirical Generalizations
in Marketing. Marketing Science 14.3.2 (1995): G1-G5.
<http://dl.dropbox.com/u/9686940/windj/9501_Introduction_to_the_Special_Issue.pdf>.

30. Wind, Yoram. Creativity and Innovation: The Management Edge. The First Annual Zoltan
Wind Lecture, Herzliya, Israel, May 1996. IDCs Zoltan Wind Lecture Series.
<http://dl.dropbox.com/u/9686940/windj/9602_Creativity_and_Innovation_The_Management.p
df>.
13

31. Wind, Jerry, and Vijay Mahajan. Issues and Opportunities in New Product Development: An
Introduction to the Special Issue. Journal of Marketing Research 34 (Feb. 1997): 1-12.
<http://dl.dropbox.com/u/9686940/windj/9702_Issues_and_Opportunities_in_New.pdf>.

32. Wind, Yoram, Nifssen, Ed, and Berend Wierenga. Innovation as a Determinant of Firms
Financial Performance: The View of the Financial Analyst. Wharton School Working Paper.

33. Mahajan, Vijay, and Yoram (Jerry) Wind. Got Emotional Product Positioning? Theres More to
Positioning Than Just Features and Benefits. Marketing Management 11.3 (May/June 2002):
36-41.
<http://dl.dropbox.com/u/9686940/windj/0203_Got_Emotional_Product_Positioning_Theres.pd
f>

34. Wind, Yoram (Jerry), and Abba Kreiger. Beyond Product Substitution: The Impact of Satellite
Radio on Sale of CDs and Music Downloads, Working Paper. 2008.
<http://dl.dropbox.com/u/9686940/windj/0805_Beyond_Product_Substitution_The_Impact.pdf>

35. Roberts, John, Alvin Silk, Glen Urban and Jerry Wind. Kotler on Strategic Marketing. Glen
Urban (Ed) Kotler on Strategic Marketing Sage Publications, 2010.

36. Wind, Yoram. Roger Laytons Contributions to Marketing. Astralasian Marketing Journal
(2012) <http://dx.doi.org/10.1016/j.ausmj.2012.05.006>.

D. Research on Industrial Buying Behavior

1. Wind, Yoram. "Integrating Attitude Measures in a Study of Industrial Buying Behavior. Attitude
Research on the Rocks. Eds. Lee Adler and Irving Crespi. Chicago: American Marketing
Association, 1968. 58-77.
<http://dl.dropbox.com/u/9686940/windj/6806_Integrating_Attitude_Measures_in_a.pdf>.

2. Wind, Yoram. "Applying the Behavioral Theory of the Firm to Industrial Buying Decisions. The
Economic and Business Bulletin 20.3 (Spring 1968): 22-28.
<http://dl.dropbox.com/u/9686940/windj/6805_Applying_the_Behavioral_Theory_of.pdf>.

3. Wind, Yoram. "Mathematical Analysis of Perception and Preference for Industrial Marketing. A
New Measure of Responsibility for Marketing. Eds. K. Cox and B. M. Enis. Chicago: American
Marketing Association, June 1968. 284-294.
<http://dl.dropbox.com/u/9686940/windj/6807_Mathematical_Analysis_of_Perception_and.pdf
>.

4. Robinson, Patrick J., and Yoram Wind. "Generalized Simulation of the Industrial Buying
Process. Marketing Science Institute Working Paper P-46-2, July 1968.
<http://dl.dropbox.com/u/9686940/windj/6808_Generalized_Simulation_of_the_Industrial.pdf>

5. Wind, Yoram, and Patrick J. Robinson. "Simulating the Industrial Buying Process. Marketing
and the New Science of Planning. Ed. R. L. King. Chicago: American Marketing Association,
Aug. 1968. 441-448.
<http://dl.dropbox.com/u/9686940/windj/6809_Simulating_the_Industrial_Buying_Process.pdf>
.

6. Wind, Yoram, Paul E. Green, and Patrick J. Robinson. "The Determinants of Vendor Selection:
The Evaluation Function Approach. Journal of Purchasing 4 (Aug. 1968): 29-41.
<http://dl.dropbox.com/u/9686940/windj/6804_The_Determinants_of_Vendor_Selection.pdf>.

7. Robinson, Patrick J., and Yoram Wind. "Computer Simulation - Marketing Management Tool.
Computer Operations 3 (Jan. - Feb. 1969): 42-27.
14
<http://dl.dropbox.com/u/9686940/windj/6903_Computer_Simulation_Marketing_Management
_Tool.pdf>.

8. Wind, Yoram. "Industrial Source Loyalty." Journal of Marketing Research 7 (Nov. 1970): 450-
457.
<http://dl.dropbox.com/u/9686940/windj/7001_Industrial_Source_Loyalty.pdf>.

9. Wind, Yoram. "A Reward-Balance Model of Buying Behavior in Organizations. New Essays in
Marketing Theory. Ed. George Fisk. Boston: Allyn & Bacon, 1971. 206-217.
<http://dl.dropbox.com/u/9686940/windj/7101_A_Reward_Balanced_Model_of.pdf>.

10. Wind, Yoram and Richard Cardozo. "Industrial Marketing Research. Paper presented at the
AMA Workshop on Industrial Buying Behavior, Berkeley, CA, Apr. 1971.

11. Wind, Yoram, and Frederick E. Webster, Jr. "On the Study of Industrial Buying Behavior:
Current Practices and Future Trends. Industrial Marketing Management 4 (1972): 411-416.
<http://dl.dropbox.com/u/9686940/windj/7202_On_the_Study_of_Industrial.pdf>.

12. Webster, Jr., Frederick E., and Yoram Wind. "A General Model for Understanding
Organizational Buying Behavior. Journal of Marketing 36 (Apr. 1972): 12-19. [B] Reprinted in
Marketing Management 4.4 (Winter/Spring 1996) 52-57.
<http://dl.dropbox.com/u/9686940/windj/7215_A_General_Model_for_Understanding.pdf>.

13. Wind, Yoram, and Frederick E. Websiter, Jr. "Industrial Buying as Organizational Behavior: A
Guideline for Research Strategy. Journal of Purchasing 8.3 (Aug. 1972): 5-16.
<http://dl.dropbox.com/u/9686940/windj/7203_Industrial_Buying_as_Organizational_Behavior.
pdf>.

14. Wind, Yoram, and Elmer Lotshaw. "The Industrial Customer. Marketing Managers Handbook.
Ed. Steuart Henderson Britt. Chicago: The Dartnell Corporation, 1973. 781-792.
<http://dl.dropbox.com/u/9686940/windj/7302_The_Industrial_Customer.pdf>.

15. Wind, Yoram. "Recent Approaches to the Study of Organizational Buying Behavior.
Increasing Marketing Productivity. Ed. T. V. Greer. Chicago: American Marketing Association,
Apr. 1973. 203-206.
<http://dl.dropbox.com/u/9686940/windj/7303_Recent_Approaches_to_the_Study.pdf>.

16. Wind, Yoram, and Richard Cardozo. "Industrial Market Segmentation. Industrial Marketing
Management 3 (1974): 153-166. [B] Reprinted as Wind, Yoram, and Richard Cardozo. La
Segmentation des Marchs Industriels. Encyclopedie du Marketing: Volume I. Ed. Christian
Pinson. Paris: Editions Techniques, June 1977. 1-10.
<http://dl.dropbox.com/u/9686940/windj/7407_Industrial_Marketing_Segmentation.pdf>.

17. Nicosia, Francesco M., and Yoram Wind. "Emerging Models of Organizational Buying
Processes. Industrial Marketing Management 6 (1977): 353-369. [B] Also appeared in Eds.
Francesco Nicosia and Yoram Wind. Behavioral Models of Market Analysis: Foundations for
Marketing Action. Hinsdale, IL: The Dryden Press, 1977. 96-120. [C] Translated and reprinted
in Italian as Modelli emergenti di acquisto nelle organizzazioni. Sviluppo & Organizzazione.
Nov.-Dec. 1978: 51-70.
<http://dl.dropbox.com/u/9686940/windj/7714_Emerging_Models_of_Organizational_Buying.p
df>.

18. Wind, Yoram. "Information Requirements on Buying and Usage of STI Services. Current
Research on Scientific and Technical Information Transfer. New York: J. Norton Publishers,
1977.
<http://dl.dropbox.com/u/9686940/windj/7705_Information_Requirements_on_Buying_and.pdf
>.

19. Wind, Yoram. "Organizational Buying Center: A Research Agenda. Organizational Buying
Behavior. Eds. Thomas V. Bonoma and Gerald Zaltman. Chicago: American Marketing
15
<http://dl.dropbox.com/u/9686940/windj/7803_Organizationl_Buying_Center_A_Research.pdf>
.

20. Wind, Yoram. "Organizational Buying Behavior. Annual Review of Marketing. Eds. Gerald
Zaltman and Thomas Bonoma. Chicago: American Marketing Association, 1978. 160-193.
<http://dl.dropbox.com/u/9686940/windj/7804_Organizational_Buying_Behavior.pdf>.

21. Wind, Yoram. "The Boundaries of Buying Decision Centers. Journal of Purchasing and
Materials Management 14 (Summer 1978): 23-29.
<http://dl.dropbox.com/u/9686940/windj/7802_The_Boundaries_of_Buying_Decision.pdf>.

22. Wind, Yoram, John F. Grashof, and Joel D. Goldhar. "Market-Based Guidelines for Design of
Industrial Products. Journal of Marketing 24 (July 1978): 27-37.
<http://dl.dropbox.com/u/9686940/windj/7801_Market_Based_Guidelines_for_Design.pdf>.

23. Wind, Yoram, and Robert Thomas. "Problems and Prospects in the Segmentation of the STI
Market. Marketing Scientific and Technical Information. Eds. William R. King and Gerald
Zaltman. Boulder, CO: Westview Press, 1979. 67-76.
<http://dl.dropbox.com/u/9686940/windj/7904_Problems_and_Prospects_in_the.pdf>.

24. Wind, Yoram. "Industrial Market Segmentation Under Conditions of Intra-Organizational
Heterogeneity. Advances in Organizational Buying Behavior. Eds. Yoram Wind and Robert
Thomas. Washington, D.C.: National Science Foundation, 1979.
<http://dl.dropbox.com/u/9686940/windj/7905_Industrial_Market_Segmentation_Under_Conditi
ons.pdf>.

25. Wind, Yoram, and Robert J. Thomas. "Conceptual and Methodological Issues in
Organisational Buying Behaviour. European Journal of Marketing 14.5/6 (1980): 239-263.
<http://dl.dropbox.com/u/9686940/windj/8004_Conceptual_and_Methodological_Issues_in.pdf
>.

26. Robertson, Thomas S., and Yoram Wind. "Organizational Psychographics and
Innovativeness. Journal of Consumer Research 7 (June 1980): 24-31.
<http://dl.dropbox.com/u/9686940/windj/8003_Organizational_Pyschographics_and_Innovativ
eness.pdf>.

27. Grashof, John F., and Yoram Wind. "Marketing Research in the Design of STI Systems: A
Case Study. Information Services: Economics, Management, and Technology. Eds. Robert M.
Mason and John E. Creps, Jr. Boulder, CO: Westview Press, 1981. 73-84.
<http://dl.dropbox.com/u/9686940/windj/8105_Marketing_Research_in_the_Design.pdf>.

28. Wind, Yoram, and Thomas S. Robertson. "The Linking Pin Role in Organizational Buying
Centers. Journal of Business Research 10.2 (1981): 169-184.
<http://dl.dropbox.com/u/9686940/windj/8106_The_Linking_Pin_Role_in.pdf>.

29. Thomas, Robert J., and Yoram Wind. "Toward Empirical Generalizations on Industrial Market
Segmentation. Issues in Industrial Marketing: A View to the Future. Eds. Robert E. Spekman
and David T. Wilson. Chicago: American Marketing Association, 1982. 1-19.
<http://dl.dropbox.com/u/9686940/windj/8203_Toward_Empirical_Generalizations_on_Industri
al.pdf>.

30. Robertson, Thomas S., and Yoram Wind. "Organizational Cosmopolitanism and
Innovativeness. Academy of Management Journal 26.2 (June 1983): 332-338.
<http://dl.dropbox.com/u/9686940/windj/8304_Organizational_Cosmopolitanism_and_Innovati
veness.pdf>.

31. Richardson, Douglas K., Steven G. Gabbe, and Yoram Wind. "Decision Analysis of High-Risk
Patient Referral. Obstetrics & Gynecology 63.4 (Apr. 1984): 496-501.
<http://dl.dropbox.com/u/9686940/windj/8402_Decision_Analysis_of_High_Risk.pdf>.
16

32. Thomas, Robert J., and Yoram Wind. "The Changing Industrial Market: Implications for
Research. A Strategic Approach to Business Marketing. Eds. Robert E. Spekman and David
T. Wilson. Chicago: American Marketing Association, 1985. 67-78.
<http://dl.dropbox.com/u/9686940/windj/8505_The_Changing_Industrial_Market_Implications.
pdf>.

33. Wind, Yoram, and Robert J. Thomas. "Strategy-Driven Industrial Marketing Research. Annual
Review of Marketing. Ed. V. Zeithaml. Chicago: American Marketing Association, 1991. 411-
454.
<http://dl.dropbox.com/u/9686940/windj/9101_Strategy_Driven_Industrial_Marketing_Researc
h.pdf>.

34. Wind, Yoram, and Robert J. Thomas. "Segmenting Industrial Markets. Advances in Business
Marketing and Purchasing. Ed. Arch G. Woodside. Greenwich, CT: JAI Press, 1994. 59-82.
<http://dl.dropbox.com/u/9686940/windj/9405_Segmenting_Industrial_Markets.pdf>.

35. Wind, Yoram, and Robert J. Thomas. The BuyGrid Model: 30 Years Later. Wharton School
Working Paper, 1998.
<http://dl.dropbox.com/u/9686940/windj/9802_The_BuyGrid_Model_30_Years.pdf>

36. Wind, Yoram (Jerry). Blurring the Lines: Is There a Need to Rethink Industrial Marketing?
Rotman Magazine, Spring 2008 Pages 62-68. [B]| Excerpted from Wind, Yoram (Jerry).
Blurring the Lines: Is There a Need to Rethink Industrial Marketing? Journal of Business and
Industrial Marketing, 21.7 (2007): 474-481.
<http://dl.dropbox.com/u/9686940/windj/0705_Blurring_the_Lines_Is_There.pdf>

37. Wind, Yoram, and Thomas, Robert J. Organizational Buying Behavior in an Interdependent
World. Journal of Global Academy of Marketing Science (JGAMS). June 2010.
<http://dl.dropbox.com/u/9686940/windj/1004_Organizational_Buying_Behavior_In_An_Interd
ependent.pdf>

E. Research on Consumer Behavior

1. Wind, Yoram. "Incongruency of Socioeconomic Variables and Buying Behavior. Marketing
Involvement in Society and the Economy. Ed. P. R. McDonald. Chicago: American Marketing
Association, Aug. 1969. 362-367.
<http://dl.dropbox.com/u/9686940/windj/6905_Incongruency_of_Socioeconomic_Variables_an
d.pdf>.

2. Wind, Yoram, and Ronald E. Frank. "Interproduct Household Loyalty to Brands. Journal of
Marketing Research 6 (Nov. 1969): 435-435.
<http://dl.dropbox.com/u/9686940/windj/6904_Interproduct_Household_Loyalty_to_Brands.pdf
>.

3. Wind, Yoram. "Models of Customer Behavior. Organization and Administration (Hebrew) 16
(May 1970) 3-13.
<http://dl.dropbox.com/u/9686940/windj/7002_Models_of_Consumer_Behavior.pdf>.

4. Wind, Yoram (Jerry). "The Application of Multidimensional Scaling in Segmentation Research."
Paper presented at the First Annual Meeting of the Association for Consumer Research,
Amherst, MA, Aug. 1970.

5. Green, Paul E., and Yoram Wind. "Prediction Experiments Utilizing Perceptual and Preference
Judgments. Paper presented at the Second Annual Meeting of the American Institute for
Decision Sciences, Dallas, TX, Nov. 1970.
<http://dl.dropbox.com/u/9686940/windj/7004_Prediction_Experiments_Utilizing_Perceptual_a
nd.pdf>.

17
6. Douglas, Susan P., and Yoram Wind. "Intentions to Buy as Predictors of Buying Behavior.
Proceedings of the Second Annual Conference of the Association for Consumer Research.
Ed. David M. Gardner. Maryland: Association for Consumer Research, 1971. 331-343.
<http://dl.dropbox.com/u/9686940/windj/7104_Intentions_to_Buy_as_Predictors.pdf>.

7. Wind, Jerry. "Life Style Analysis: A New Approach. Marketing in Motion. Ed. Fred C. Allvin.
Chicago: American Marketing Association, Apr. 1971. 302-305.
<http://dl.dropbox.com/u/9686940/windj/7103_Life_Style_Analysis_A_New.pdf>.

8. Green, Paul E., Yoram Wind, and Arun K. Jain. "Consumer Menu Preference: An Application
of Additive Conjoint Measurement. Proceedings of the Third Annual Conference of the
Association for Consumer Research. Ed. M. Venkatesan. Chicago: Association for Consumer
Research, 1972. 304-315.
<http://dl.dropbox.com/u/9686940/windj/7208_Consumer_Menu_Preferences_An_Application.
pdf>.

9. Green, Paul E., Yoram Wind, and Arun K. Jain. "Benefit Bundle Analysis. Journal of
Advertising Research 12.2 (Apr. 1972): 31-36.
<http://dl.dropbox.com/u/9686940/windj/7204_Benefit_Bundle_Analysis.pdf>.

10. Green, Paul E., Frank J. Carmone, and Yoram Wind. "Subjective Evaluation Models and
Conjoint Measurement. Behavioral Science 17.3 (May 1972): 288-299.
<http://dl.dropbox.com/u/9686940/windj/7205_Subjective_Evaluation_Models_and_Conjoint.p
df>.

11. Green, Paul E., Yoram Wind, and Arun K. Jain. "A Note on Measurement of Social-
Psychological Belief Systems. Journal of Marketing Research 9 (May 1972): 204-208.
<http://dl.dropbox.com/u/9686940/windj/7206_A_Note_on_Measurement_of.pdf>.

12. Green, Paul E., and Yoram Wind. "Experiments in the Multidimensional Psychophysics of
Taste and Semantic Descriptions. Research Design Competition of the American
Psychological Association, Division 23, July 1972.
<http://dl.dropbox.com/u/9686940/windj/7207_Experiments_in_the_Multidimensional_Psychop
hysics.pdf>.

13. Wind, Yoram. "On the Teaching of Consumer Behavior: A Managerial Approach. Paper
presented at the American Marketing Association Conference, Houston, TX, Aug. 1972.
<http://dl.dropbox.com/u/9686940/windj/7210_On_the_Teaching_of_Consumer.pdf>.

14. Green, Paul E., Yoram Wind, and Arun K. Jain. "Preference Measurement of Item Collections.
Journal of Marketing Research 9 (Nov. 1972): 371-377.
<http://dl.dropbox.com/u/9686940/windj/7209_Preference_Measurement_of_Item_Collections.
pdf>.

15. Green, Paul E., Frank J. Carmone, and Yoram Wind. "Consumer Evaluation of Discount
Cards. Journal of Retailing 49.1 (Spring 1973): 10-22.
<http://dl.dropbox.com/u/9686940/windj/7305_Consumer_Evaluation_of_Discount_Cards.pdf>
.

16. Green, Paul E., Yoram Wind, and Arun K. Jain. "Analyzing Free-Response Data in Marketing
Research. Journal of Marketing Research 10 (Feb. 1973): 45-52.
<http://dl.dropbox.com/u/9686940/windj/7304_Analyzing_Free_Response_Data_in.pdf>.

17. Green, Paul E., Yoram Wind, and Arun K. Jain. "Benefit Bundle Congruence. Paper
presented at the Southeast AIDS Conference, 1974.
<http://dl.dropbox.com/u/9686940/windj/7402_Benefit_Bundle_Congruence.pdf>.

18. Wind, Jerry, and Paul Green. "Some Conceptual, Measurement, and Analytical Problems in
Life Style Research. Life Style and Psychographics. Ed. William D. Wells. Chicago: American
Marketing Association, 1974. 97-126.
18
<http://dl.dropbox.com/u/9686940/windj/7403_Some_Conceptual_Measurement_and_Analytic
al.pdf>.

19. Green, Paul E., and Yoram Wind. "Recent Approaches to the Modeling of Individuals'
Subjective Evaluations. Attitude Research Bridges the Atlantic. Ed. Philip Levine. Chicago:
<http://dl.dropbox.com/u/9686940/windj/7504_Recent_Approaches_to_the_Modeling.pdf>.

20. Green, Paul E., Yoram Wind, and Henry J. Claycamp. "Brand-Features Congruence Mapping.
Journal of Marketing Research 12 (Aug. 1975): 306-313.
<http://dl.dropbox.com/u/9686940/windj/7502_Brand_Features_Congruence_Mapping.pdf>.

21. Wind, Yoram. "Multiperson Influence and Usage Occasions as Determinants of Brand Choice."
Paper presented at the American Marketing Association Conference, Rochester, NY, Aug.
1975.
<http://dl.dropbox.com/u/9686940/windj/7506_Multiperson_Influence_and_Usage_Occasions.
pdf>.

22. Wind, Yoram, and Terry C. Gleason. "Alternative Approaches to Data Collection for Attitude
Measurement. Paper presented at the American Psychological Association Convention, Los
Angeles, CA, Sept. 1975.
<http://dl.dropbox.com/u/9686940/windj/7505_Alternative_Approaches_to_Data_Collection.pdf
>.

23. Villani, Kathryn E. A., and Yoram Wind. "On the Usage of 'Modified' Personality Trait Measures
in Consumer Research. Journal of Consumer Research 2 (Dec. 1975): 223-228.
<http://dl.dropbox.com/u/9686940/windj/7503_On_the_Usage_of_Modified.pdf>.

24. Wind, Yoram, and Michael DeVita. "On the Relationship Between Knowledge and Preference.
Marketing: 1776-1976 and Beyond. Ed. Kenneth L. Bernhardt. Chicago: American Marketing
<http://dl.dropbox.com/u/9686940/windj/7603_On_the_Relationship_Between_Knowledge.pdf
>.

25. Wind, Yoram. "Preference of Relevant Others and Individual Choice Models. Journal of
Consumer Marketing 3 (June 1976): 50-57.
<http://dl.dropbox.com/u/9686940/windj/7602_Preference_of_Relevant_Others_and.pdf>.

26. Wind, Yoram. "A 1975 Retrospective View of Bourne's 1957 'Group Influence in Marketing'."
Classics in Consumer Behavior. Ed. Louis E. Boone. Tulsa, OK: The Petroleum Publishing
Company, 1977. 225-235.
<http://dl.dropbox.com/u/9686940/windj/7706_A_1975_Retrospective_View_of.pdf>.

27. Wind, Yoram. "Brand Loyalty and Vulnerability. Consumer and Industrial Buying Behavior.
Eds. Arch G. Woodside, Jagdish N. Sheth, and Peter D. Bennett. New York: Elsevier, North
Holland, Inc., 1977. 313-319.
<http://dl.dropbox.com/u/9686940/windj/7707_Brand_Loyalty_and_Vulnerability.pdf>.

28. Wind, Yoram. "Reflections on Creativity and Relevance of Consumer Research.
Contemporary Marketing Thought. Eds. B. A. Greenberg and D. A. Bellenger. Chicago:
<http://dl.dropbox.com/u/9686940/windj/7708_Reflections_on_Creativity_and_Relevance.pdf>.

29. Wind, Yoram. "Brand Choice. Selected Aspects of Consumer Behavior: A Summary from the
Perspective of Different Disciplines. Ed. Robert Ferber. Washington, D.C.: U.S. Government
Printing Office, 1977. 235-258.
<http://dl.dropbox.com/u/9686940/windj/7709_Brand_Choice.pdf>.

30. Wind, Yoram. "On the Interface Between Organizational and Consumer Buying Behavior.
Advances in Consumer Research. Eds. Kent Hunt and Ann Abor. 1978. 657-662.
19
<http://dl.dropbox.com/u/9686940/windj/7806_On_the_Interface_Between_Organizational.pdf
>.

31. Douglas, Susan P., and Yoram Wind. "Examining Family Role and Authority Patterns: Two
Methodological Issues. Journal of Marriage and the Family 40.1 (Feb. 1978): 35-47.
<http://dl.dropbox.com/u/9686940/windj/7810_Examining_Family_Role_and_Authority.pdf>.

32. Nicosia, Francesco M., and Yoram Wind. "Sociology of Consumption and Trade-Off Models in
Consumer Public Policy. Research for Consumer Policy. Eds. William Michael Denney and
Robert T. Lund. Cambridge, MA: Center for Policy Alternatives, Massachusetts Institute of
Technology, 24 Mar. 1978. 141-184.
<http://dl.dropbox.com/u/9686940/windj/7805_Sociology_of_Consumption_and_Trade.pdf>.

33. Wind, Yoram, Joseph Denny, and Arthur Cunningham. "A Comparison of Three Brand
Evaluation Procedures. Public Opinion Quarterly 43 (Summer 1979): 261-270.
<http://dl.dropbox.com/u/9686940/windj/7906_A_Comparison_of_Three_Brand.pdf>.

34. Wind, Yoram, and David Lerner. "On the Measurement of Purchase Data: Surveys Versus
Purchase Diaries. Journal of Marketing Research 16 (Feb. 1979): 39-47.
<http://dl.dropbox.com/u/9686940/windj/7907_On_the_Measurement_of_Purchase.pdf>.

35. Wind, Yoram (Jerry), and Peter Shubs. "A Note on the Relationship Between Perceived
Problems, Severity, and Frequency of Occurrence. Journal of the Professional Marketing
Research Society 1.2 (Oct. 1981): 19-22 [B] and "On the Generalizability and Theoretical
Implications of Empirical Findings: A Reply to Comments "A Note on the Relationships
Between Perceived Problem Severity and Frequency of Occurrence, with Peter Shubs,
Journal of Professional Marketing Research, 1982.
<http://dl.dropbox.com/u/9686940/windj/8113_A_Note_on_the_Relationship.pdf>.

36. Wind, Yoram, and Susan P. Douglas. "Comparative Consumer Research: The Next Frontier?"
Comparative Marketing Systems. Ed. Erdener Kaynak. Bradford, England: MCB Publications,
1982. 24-35.
<http://dl.dropbox.com/u/9686940/windj/8205_Comparative_Consumer_Research_The_Next.
pdf>.

37. Fraser, Cynthia, and Yoram Wind. "Physical and Social Psychological Anxiety as Correlates of
Purchase Behavior. Wharton School Working Paper, Aug. 1982.
<http://dl.dropbox.com/u/9686940/windj/8204_Physical_and_Social_Psychological_Anxiety.pdf
>

38. Deighton, John, Franco M. Nicosia, and Yoram Wind. "Exploration Into the Time-Money
Tradeoff: Concepts and an Application. Strategic Planning: A Thing of the Past or a Necessity
for the Future Can Research Contribute? San Francisco: American Marketing Association,
Apr. 1983. 51-65. [B] Based in part on A Time-Money Tradeoff (TMI) Model of Consumer
Behavior. Paper presented at the American Psychological Association Conference, Toronto,
Aug. 1978.
<http://dl.dropbox.com/u/9686940/windj/8309_Exploration_Into_the_Time_Money.pdf>.

39. Wind, Jerry, Paul E. Green, Douglas Shifflet, and Marsha Scarbrough. "Courtyard by Marriott:
Designing a Hotel Facility with Consumer-Based Marketing Models. Interfaces 19.1 (Jan. -
Feb. 1989): 25-47.
<http://dl.dropbox.com/u/9686940/windj/8902_Courtyard_by_Marriott_Designing_a.pdf>.

40. Wind, Jerry, Vithala R. Rao, and Paul E. Green. "Behavioral Methods. Handbook of
Consumer Theory and Research. Eds. Thomas Robertson and Hal Kassarjian. Englewood
Cliffs, NJ: Prentice Hall, 1991. 507-532.
< http://dl.dropbox.com/u/9686940/windj/9102_Behavioral_Methods.pdf>.

20
41. Schmittlein, David C., and Jerry Wind. "Inferring Causality in Consumer Perception Studies in
Litigation Contexts. Advances in Claim Substantiation. New York: Council of Better Business
Bureaus, Inc., April 30, 1991. 161-170.
<http://dl.dropbox.com/u/9686940/windj/9103_Inferring_Causality_in_Consumer_Perception.p
df>.

F. Marketing Research and Modeling

1. Goodman, Charles S., and Yoram Wind. "The Use of Interactive Marketing Models as
Framework for Research. Wharton School Working Paper, May 1968.
<http://dl.dropbox.com/u/9686940/windj/6810_The_Use_of_Interactive_Marketing.pdf>

2. Wind, Yoram, and Susan P. Douglas. "Marketing Performance: A Conceptual Framework.
Marketing Science Institute Working Paper P-51-1, June 1968.
<http://dl.dropbox.com/u/9686940/windj/6812_Marketing_Performance_A_Conceptual_Frame
work.pdf>

3. Wind, Yoram. "Organizing a Diffusion System for Managerial Information in Israel: A Proposal.
Organization and Administration (Hebrew) 15 (Sept. 1969): 1-3.
<http://dl.dropbox.com/u/9686940/windj/6906_Organizing_a_Diffusion_System_for.pdf>.

4. Wind, Yoram, Susan P. Douglas, and Aaron Ascoli. "Experimentation as a Tool for the
Retailer. Journal of the Market Research Society 13.3 (July 1971): 158-169.
<http://dl.dropbox.com/u/9686940/windj/7105_Experimentation_as_a_Tool_for.pdf>.

5. Wind, Yoram, and Patrick J. Robinson. "Product Positioning: An Application of
Multidimensional Scaling. Attitude Research in Transition. Ed. Russell I. Haley. Chicago:
<http://dl.dropbox.com/u/9686940/windj/7212_Product_Positioning_An_Application_of.pdf>.

6. Wind, Yoram and Francesco M. Nicosia. "On the Measurement of Quality of Life. Paper
presented at the TIMS Conference, July 1972.

7. Wind, Yoram, Paul E. Green, and Arun K. Jain. "Higher Order Factor Analysis in the
Classification of Psychographic Variables. Journal of the Market Research Society 15.4
(1973): 224-232.
<http://dl.dropbox.com/u/9686940/windj/7306_Higher_Order_Factor_Analysis_in.pdf>.

8. Wind, Yoram. "A New Procedure for Concept Evaluation. Journal of Marketing 37 (Oct. 1973):
2-11. [B] Translated and reprinted in French as Une nouvelle procedure dvaluation des
ides de nouveaux produits. La Revue franaise du Marketing. 1974: 1-12.
<http://dl.dropbox.com/u/9686940/windj/7309_A_New_Procedure_for_Concept.pdf>.

9. Wind, Yoram. "A Note on the Classification and Evaluation of New Product Forecasting
Models." Paper presented at the American Marketing Association Conference, Apr. 1974.
<http://dl.dropbox.com/u/9686940/windj/7405_A_Note_on_the_Classification.pdf>.

10. Wind, Yoram, and Joseph Denny. "Multivariate Analysis of Variance in Research on the
Effectiveness of TV Commercials. Journal of Marketing Research 11 (May 1974): 136-142.
<http://dl.dropbox.com/u/9686940/windj/7404_Multivariate_Analysis_of_Variance_in.pdf>.

11. Wind, Yoram, Stuart Jolly, and Art OConnor. "Concept Testing as Input to Strategic Market
Simulations. Proceedings of the 58th International AMA Conference. Ed. E. Mazzie. American
Marketing Association, Apr. 1975. 120-124.
<http://dl.dropbox.com/u/9686940/windj/7508_Concept_Testing_as_Input_to.pdf>.

12. Wind, Yoram. "Is 'Concept Testing: An Appropriate Approach' Really Appropriate?" Wharton
School Working Paper, May 1975.
<http://dl.dropbox.com/u/9686940/windj/7507_Is_Concept_Testing_An_Appropriate.pdf>
21

13. Green, Paul E., and Yoram Wind. "New Way to Measure Consumers' Judgments. Harvard
Business Review 53 (July - Aug. 1975): 107-117.
<http://dl.dropbox.com/u/9686940/windj/7509_New_Way_to_Measure_Consumers'.pdf>.

14. Wind, Yoram, and Lawrence K. Spitz. "Analytical Approach to Marketing Decisions in Health-
Care Organizations. Operations Research 24.5 (Sept. - Oct. 1976): 973-990.
< http://www.jstor.org/stable/pdfplus/169818.pdf?acceptTC=true>.

15. Wind, Yoram (Jerry). "New Developments in Conjoint Analysis." Paper presented at the 25th
Annual Midwest Conference of the American Statistical Association on What's New in
Statistical Techniques for Marketing Research, Mar. 1978.

16. Wind, Yoram, and Daniel Gross. "Determination of the Size and Allocation of Marketing
Research Budgets. Proceedings of the August 1978 AMA Conference. Ed. Subhash C. Jain.
American Marketing Association, Aug. 1978. 57-61.
<http://dl.dropbox.com/u/9686940/windj/7807_Determination_of_the_Size_and.pdf>.

17. Wind, Yoram. "Issues and Advances in Segmentation Research. Journal of Marketing
Research 15 (Aug. 1978): 317-337.
<http://dl.dropbox.com/u/9686940/windj/7809_Issues_and_Advances_in_Segmentation.pdf>.

18. Wind, Yoram. "Marketing Research and Management: A Retrospective View of the
Contributions of Paul E. Green. Diffusing Marketing Theory and Research: The Contributions
of Bauer, Green, Kotler, and Levitt. Eds. Alan R. Andreasen and David M. Gardner. Chicago:
American Marketing Assocation, 1979. 57-67.
<http://dl.dropbox.com/u/9686940/windj/7908_Marketing_Research_and_Management_A.pdf>
.

19. Wind, Yoram, and John G. Myers. "A Note on the Selection of Attributes for Conjoint Analysis.
Wharton School Working Paper, Aug. 1979.
<http://dl.dropbox.com/u/9686940/windj/7909_A_Notes_on_the_Selection.pdf>.

20. Batsell, Richard R., and Yoram Wind. "Product Testing: Current Methods and Needed
Developments. Journal of the Market Research Society 22.2 (Apr. 1980): 115-139.
<http://dl.dropbox.com/u/9686940/windj/8005_Product_Testing_Current_Methods_and.pdf>.

21. Wind, Yoram. "Implications of Increased Government Regulations for the Quality and
Relevance of Marketing Research. Government Marketing: Theory and Practice. Eds. Michael
P. Mokwa and Steven E. Permut. New York: Praeger Publishers, 1981. 264-269.
<http://dl.dropbox.com/u/9686940/windj/8109_Implications_of_Increased_Government_Regul
ations.pdf>.

22. Arabie, Phipps, J. Douglas Carroll, Wayne DeSarbo, and Jerry Wind. "Overlapping Clustering:
A New Method for Product Positioning. Journal of Marketing Research 18 (Aug. 1981): 310-
317.
<http://dl.dropbox.com/u/9686940/windj/8107_Overlapping_Clustering_A_New_Method.pdf>.

23. Wind, Yoram, and Vijay Mahajan. "A Reexamination of New Product Forecasting Models.
Proceedings of the August 1981 AMA Educator's Conference. Aug. 1981. 358-363.
<http://dl.dropbox.com/u/9686940/windj/8108_A_Reexamination_of_New_Product.pdf>.

24. Wind, Yoram, Thomas S. Robertson, and Cynthia Fraser. "Industrial Product Diffusion by
Market Segment. Industrial Marketing Management 11 (1982): 1-8.
<http://dl.dropbox.com/u/9686940/windj/8206_Industrial_Product_Diffusion_by_Market.pdf>.

25. Mahajan, Vijay, Jerry Wind, and Subhash Sharma. "An Approach to Repeat-Purchase
Diffusion Analysis. 1983 AMA Educators Proceedings. Eds. P. E. Murphy, O. C. Ferrell, G. R.
22
Laczniak, R. F. Lusch, P. F. Anderson, T. A. Shimp, R. W. Belk, and C. B. Weinberg.,
<http://dl.dropbox.com/u/9686940/windj/8305_An_Approach_to_Repeat_Purchase.pdf>.

26. Eliashberg, Jehoshua, Charles S. Tapiero, and Yoram Wind. Diffusion of New Products in
Heterogeneous Populations: Incorporating Stochastic Coefficients. Wharton School Working
Paper, June 1983.
<http://dl.dropbox.com/u/9686940/windj/8306_Diffusion_of_New_Products_in.pdf>

27. Goldberg, Stephen M., Paul E. Green, and Yoram Wind. "Conjoint Analysis of Price Premiums
for Hotel Amenities. Journal of Business 57.1.2 (1984): S111-S132.
<http://dl.dropbox.com/u/9686940/windj/8403_Conjoint_Analysis_of_Price_Premiums.pdf>.

28. Mahajan, Vijay, Subhash Sharma, and Yoram Wind. "Parameter Estimation in Marketing
Models in the Presence of Influential Response Data: Robust Regression and Applications.
Journal of Marketing Research 21 (Aug. 1984): 268-277.
<http://dl.dropbox.com/u/9686940/windj/8404_Parameter_Estimation_in_Marketing_Models.pd
f>.

29. Mahajan, Vijay, Subhash Sharma, and Yoram Wind. "Assessing the Impact of Patent
Infringement on New Product Sales. Technological Forecasting and Social Change 28 (1985):
13-27. <http://dl.dropbox.com/u/9686940/windj/8506_Assessing_the_Impact_of_Patent.pdf>.

30. Eliashberg, Jehoshua, Charles S. Tapiero, and Yoram Wind. "New Products Diffusion Models
with Stochastic Parameters. Wharton School Working Paper, Feb. 1985.
<http://dl.dropbox.com/u/9686940/windj/8507_New_Products_Diffusion_Models_with.pdf>

31. Mahajan, Vijay, and Yoram Wind. "Innovation Diffusion Models of New Product Acceptance: A
Reexamination. Innovation Diffusion Models of New Product Acceptance. Eds. Vijay Mahajan
and Yoram Wind. Cambridge, MA: Ballinger Publishing Company, 1986. 2-25.
<http://dl.dropbox.com/u/9686940/windj/8710_Innovation_Diffusion_Models_of_New.pdf>.

32. Fraser, Cynthia, and Yoram Wind. Why and When to Use Tobit Analysis. Wharton School
Working Paper, May 1986.
<http://dl.dropbox.com/u/9686940/windj/8603_Why_and_When_to_Use.pdf>

33. DeSarbo, Wayne S., Vithala R. Rao, Joel H. Steckel, Jerry Wind, and Richard Colombo. "A
Friction Model for Describing and Forecasting Price Changes. Marketing Science 6.4 (Fall
1987): 299-319.
<http://dl.dropbox.com/u/9686940/windj/8706_A_Friction_Model_for_Describing.pdf>.

34. Schmittlein, David C., Vijay Mahajan, and Yoram Wind. "The Role of Within Group Variance in
the Design and Analysis of Market Tests. Wharton School Working Paper, Sept. 1987.
<http://dl.dropbox.com/u/9686940/windj/8705_The_Role_of_Within_Group_Variance.pdf>.

35. Mahajan, Vijay, and Yoram Wind. "New Product Forecasting Models: Directions for Research
and Implementation. International Journal of Forecasting 4 (1988): 341-358.
<http://dl.dropbox.com/u/9686940/windj/8805_New_Product_Forecasting_Models_Directions.p
df>

36. Rao, Vithala R., Jerry Wind, and Wayne S. DeSarbo. "A Customized Market Response Model:
Development, Estimation, and Empirical Testing. Journal of the Academy of Marketing
Science 16.1 (Spring 1988) 128-140.
<http://dl.dropbox.com/u/9686940/windj/8805_New_Product_Forecasting_Models_Directions.
pdf>.

37. Wind, Yoram (Jerry). "Market Application of the Analytic Hierarchy Process. Wharton School
Working Paper, 1989.

23
38. Mahajan, Vijay, and Jerry Wind. "Market Discontinuities and Strategic Planning: A Research
Agenda. Technological Forecasting and Social Change 36 (1989): 185-199.
<http://dl.dropbox.com/u/9686940/windj/8905_Market_Discontinuities_and_Strategic_Planning
.pdf>.

39. Rangaswamy, Arvind, Jehoshua Eliashberg, Raymond R. Burke, and Jerry Wind. "Developing
Marketing Expert Systems: An Application to International Negotiations. Journal of Marketing
53.4 (Oct. 1989): 24-39.
<http://dl.dropbox.com/u/9686940/windj/8903_Developing_Marketing_Expert_Systems_An.pdf
>.

40. Schmittlein, David C., and Jerry Wind. "Combining Multiple Estimates: An Application to
Damage Assessment Litigation. Wharton School Working Paper, 1991.
<http://dl.dropbox.com/u/9686940/windj/9104_Combining_Multiple_Estimates_An_Application.
pdf>.

41. Mahajan, Vijay, and Jerry Wind. "New Product Models: Practice, Shortcomings and Desired
Improvements. Journal of Product Innovation Management 9 (1992): 128-139.
<http://dl.dropbox.com/u/9686940/windj/9203_New_Product_Models_Practice_Shortcomings.
pdf>.

42. Lee, Hoon Young, Burke, Raymond R., and Yoram Wind. An Analogical Reasoning System
for Managerial Learning and Problem Solving. Wharton School Working Paper, 1992.

43. Wind, Yoram (Jerry), David C. Schmittlein, and Shoshana Shapiro. "Attribute
Interdependencies in Product Performance Claims: Truth and Consequences. Product
Performance Tests: Design, Interpretation, and Claims. Proceedings of the NAD Workshop
IV., New York: Council of Better Business Bureaus, Inc., 2-3 June 1992. 99-107.
<http://dl.dropbox.com/u/9686940/windj/9204_Attribute_Interdependence_in_Product_Perform
ance.pdf>.

44. Wind, Jerry Yoram. "Marketing Science at a Crossroad. Inaugural Presentation of the Unilever
Visiting Professorship. Rotterdam, The Netherlands: Erasmus University, 1993.
<http://dl.dropbox.com/u/9686940/windj/9301_Marketing_Science_at_a_Crossroad.pdf>.

45. Arabie, Phipps, and Yoram Wind. Marketing and Social Networks. Advances in Social
Networks Analysis. Eds. S. Wasserman and J. Galaskiewicz. London: Sage Publications,
1994. 254-273.
<http://dl.dropbox.com/u/9686940/windj/9403_Marketing_and_Social_Networks.pdf>.

46. Wind, Jerry. Start Your Engines: Gear Up for Challenges Ahead with Innovative Marketing
Research Products and Services. Marketing Research 9.4 (Winter 1997): 4-11.
<http://dl.dropbox.com/u/9686940/windj/9703_Start_Your_Engines_Gear_Up.pdf>.

47. Mahajan, Vijay, and Jerry Wind. Rx for Marketing Research: A Diagnosis of and Prescriptions
for the Recovery of an Ailing Discipline in the Business World. Marketing Research 11.3 (Fall
1999): 7-13.
<http://dl.dropbox.com/u/9686940/windj/9902_Rx_for_Marketing_Research_A.pdf>.

48. Mahajan, Vijay, Eitan Muller, and Yoram Wind. New Product Diffusion Models: From Theory
to Practice. New-Product Diffusion Models. Eds. Vijay Mahajan, Eitan Muller, and Yoram
Wind. Boston: Kluwer Academic Publishers, 2000. 3-24.
<http://dl.dropbox.com/u/9686940/windj/0002_New_Product_Diffusion_Models_From.pdf>.

49. Green, Paul E., Yoram (Jerry) Wind, Abba M. Krieger, and Paul Saatsoglou. Applying
Qualitative Data. Marketing Research 12.1 (Spring 2000): 17-25.
<http://dl.dropbox.com/u/9686940/windj/0003_Applying_Qualitative_Data.pdf>.

24
50. Green, Paul E., Abba M. Krieger, and Yoram (Jerry) Wind. Thirty Years of Conjoint Analysis:
Reflection and Prospects. Interfaces 31.3.2 (May - June 2001): S56-S73.
<http://dl.dropbox.com/u/9686940/windj/0102_Thirty_Years_of_Conjoint_Analysis.pdf>.

51. Wind, Yoram (Jerry), Abba M. Krieger, and Paul E. Green. Marketing Research in the
Courtroom: A Case Study Shows How Analytical Methods Can Be Applied to the Law.
Marketing Research 14.1 (Spring 2002): 28-33.
<http://dl.dropbox.com/u/9686940/windj/0204_Marketing_Research_in_the_Courtroom.pdf>.

52. Green, Paul E., Abba M. Krieger, and Yoram (Jerry) Wind. Survey Methods Help to Clear Up
Legal Questions. Marketing News 16 Sept. 2002: 34-36.
<http://dl.dropbox.com/u/9686940/windj/0205_Survey_Methods_Help_to_Clear.pdf>.

53. Green, Paul E., Wind, Yoram, and Abba Krieger. Buyer Choice Simulators, Optimizers, and
Dynamic Models. Marketing Research and Modeling: Progress and Prospects. Eds. Yoram
Wind and Paul E. Green. Kluwer, 2003.

54. Krieger, Abba M., Paul E. Green, and Yoram (Jerry) Wind. Dual Considerations. Marketing
Research 15.4 (Winter 2003): 8-13.
<http://dl.dropbox.com/u/9686940/windj/0301_Dual_Considerations.pdf>.

55. Wind, Yoram (Jerry), Abba M. Krieger, and Paul E. Green. Applying Conjoint Analysis to
Legal Disputes: A Case Study. Wharton School Working Paper, 2006.
<http://dl.dropbox.com/u/9686940/windj/0601_Applying_Conjoint_Analysis_to_Legal.pdf>

56. DeSarbo, Wayne S., Rajdeep Grewal, and Jerry Wind. Who Competes with Whom? A
Demand-Based Perspective for Identifying and Representing Asymmetric Competition.
Strategic Management Journal 27.2 (Feb 2006): 101-129. [B] And Wiley InterScience, 21
November 2005. www.interscience.wiley.com
<http://dl.dropbox.com/u/9686940/windj/0605_Who_Competes_with_Whom_A.pdf>.

57. Wind, Jerry. Marketing by Experiment, Marketing Research. Spring 2007: 10-16.
<http://dl.dropbox.com/u/9686940/windj/0703_Marketing_by_Experiment.pdf>

G. International Marketing

1. Wind, Yoram. "The Role of Marketing in Israel. Journal of Marketing 31 (Apr. 1967): 53-57.
<http://dl.dropbox.com/u/9686940/windj/6701_The_Role_of_Marketing_in.pdf>.

2. Wind, Yoram. "Information Requirements for International Business Decisions." Prepared for
and used in the introductory International Business course at The Wharton School, University
of Pennsylvania, June 1967.
<http://dl.dropbox.com/u/9686940/windj/6702_Information_Requirements_for_International_Bu
siness.pdf>

3. Wind, Yoram. "Cross Cultural Analysis of Consumer Behavior. Changing Marketing Systems:
Consumer, Corporate and Government Interfaces. Ed. Reed Moyer. Chicago: American
Marketing Association, Winter 1967: 183-185. [B] Reprinted in Wharton Quarterly 2 (Winter-
Spring 1968): 1-3. <
http://dl.dropbox.com/u/9686940/windj/6703_Cross_Cultural_Analysis_of_Consumer.pdf

4. Wind, Yoram. "Marketing in Israel. Comparative Marketing. Ed. Harper W. Boyd, Jr. Stanford,
CA: International Center for the Advancement of Education, Stanford University, Jan. 1968.
< http://dl.dropbox.com/u/9686940/windj/6813_Marketing_in_Israel.pdf>.

5. Wind, Yoram and Patrick J. Robinson. "Perceptual and Preference Mapping of Countries: An
Application of Multidimensional Scaling. Paper presented at the Annual Meeting of the
Association for Education in International Business, Dec. 1970.

25
6. Wind, Yoram, and Susan Douglas. "On the Meaning of Comparison: A Methodology for Cross-
Cultural Studies. Quarterly Journal of Management Development 2.4.1 (June 1971): 105-121.
<http://dl.dropbox.com/u/9686940/windj/7106_On_the_Meaning_of_Comparison.pdf>.

7. Wind, Yoram, and Susan P. Douglas. "International Market Segmentation. European Journal
of Marketing 6.1 (1972): 17-25.
<http://dl.dropbox.com/u/9686940/windj/7213_International_Market_Segmentation.pdf>.

8. Douglas, Susan, Patrick Le Maire, and Yoram Wind. "Selection of Global Target Markets: A
Decision Theoretic Approach. Marketing in a Changing World: The Role of Market Research.
Ed. Proceedings of the 24th ESOMAR Congress. Cannes, France: ESOMAR Congress, Sept.
1972. PAGES.
<http://dl.dropbox.com/u/9686940/windj/7214_Selection_of_Global_Target_Markets.pdf>.

9. Wind, Yoram, Susan P. Douglas, and Howard V. Perlmutter. "Guidelines for Developing
International Marketing Strategies. Journal of Marketing 37 (Apr. 1973): 14-23.
<http://dl.dropbox.com/u/9686940/windj/7307_Guidelines_for_Developing_International_Mark
eting.pdf>.

10. Douglas, Susan P., and Yoram Wind. "Environmental Factors and Marketing Practices.
European Journal of Marketing 7.3 (Winter 1973/1974): 155-165.
<http://dl.dropbox.com/u/9686940/windj/7308_Environmental_Factors_and_Marketing_Practic
es.pdf>.

11. Wind, Yoram, and Susan Douglas. "Some Issues in International Consumer Research.
European Journal of Marketing 8.3 (Winter 1974/1975): 209-217.
<http://dl.dropbox.com/u/9686940/windj/7406_Some_Issues_in_International_Consumer.pdf>.

12. Robinson, Patrick J., and Yoram Wind. "Multinational Tradeoff Segmentation. Moving Ahead
with Attitude Research. Eds. Yoram Wind and Marshall Greenberg. Chicago: American
Marketing Association, 1977. 50-57.
<http://dl.dropbox.com/u/9686940/windj/7710_Multinational_Tradeoff_Segmentation.pdf>

13. Wind, Yoram. "Research for Multinational Product Policy. Multinational Product Management.
Eds. Warren J. Keegan and Charles S. Mayer. Chicago: American Marketing Association,
1977. 165-184.
<http://dl.dropbox.com/u/9686940/windj/7711_Research_for_Multinational_Product_Policy.pdf
>.

14. Wind, Yoram, and Howard Perlmutter. "On the Identification of Frontier Issues in Multinational
Marketing. Columbia Journal of World Business 12 (Winter 1977): 131-139.
<http://dl.dropbox.com/u/9686940/windj/7712_On_the_Identification_of_Frontier.pdf>.

15. Wind, Yoram, and Susan Douglas. "Comparative Methodology and Marketing Theory.
Theoretical Developments in Marketing. Eds. Charles W. Lamb and Patrick M. Dunne.
Chicago: American Marketing Association, 1980. [B] Based on Wind, Yoram, and Susan P.
Douglas. "A Theory and a Metatheory of Comparative Marketing Systems. Marketing Science
Institute Working Paper P-15-1, Sept. 1968.
<http://dl.dropbox.com/u/9686940/windj/8008_Comparative_Methodology_and_Marketing_Th
eory.pdf>.

16. Wind, Jerry and Josh Eliashberg. "Marketing Perspectives on International Risk Analysis and
Risk Preference Measurement: Concepts, Methods, and Research Directions. Wharton
School Working Paper, 1983.
<http://dl.dropbox.com/u/9686940/windj/8307_Marketing_Perspectives_on_International_Risk.
pdf>

17. Chakrabarti, Alok K., and Jerry Wind. "International Technology: Implications for Global
Competitive and Cooperative Strategies. Wharton School Working Paper, 1986.
26
<http://dl.dropbox.com/u/9686940/windj/8604_International_Technology_Implications_for_Glo
bal.pdf>

18. Wind, Yoram and Susan Douglas. "Toward the Development of a Global Marketing Strategy: A
Dynamic Portfolio Perspective. Wharton School Working Paper, 1987.

19. Douglas, Susan P., and Yoram Wind. The Myth of Globalization. Columbia Journal of World
Business 22.4 (Winter 1987): 19-29. [B] Earlier version published as Wind, Yoram. The Myth
of Globalization. The Journal of Consumer Marketing 3.2 9Spring 1986): 23-26. [C] Reprinted
as The Myth of Globalization. Strategy 4e & Strategy Synthesis 3e, Cengage Learning EMEA
(March 2010).
<http://dl.dropbox.com/u/9686940/windj/8712_The_Myth_of_Globalization.pdf>.

20. Wind, Yoram. "Old-Line Manufacturing Needs Better Marketing. Chief Executive 44 (Mar./Apr.
1988): 44-48.
<http://dl.dropbox.com/u/9686940/windj/8806_Old_Line_Manufacturing_Needs_Better.pdf>.

21. Mahajan, Vijay, Marcos V. Partini De Moraes, and Jerry Wind. The Invisible Global Market.
Marketing Management 9.4 (Winter 2000): 30-35.
http://dl.dropbox.com/u/9686940/windj/0009_The_Invisible_Global_Market.pdf

22. Mahajan, Vijay, and Yoram (Jerry) Wind. Capturing the Ricochet Economy. Harvard
Business Review. Nov. 2006.
<http://dl.dropbox.com/u/9686940/windj/0606_Capturing_the_Ricochet_Economy.pdf>.

H. International Management Education and The Lauder Institute

1. Wind, Jerry. "Global Management: Penn's Response. Address to Board of Trustees of the
University of Pennsylvania, Philadelphia, PA, Oct. 1983. [B] Reprinted as
Wind, Jerry. "Global Management: Penn's Response." Wharton Alumni Magazine (Winter
1984): 32-35.
<http://dl.dropbox.com/u/9686940/windj/8310_Global_Management_Penns_Response.PDF>

2. Wind, Jerry. "Coffee, Closets and Funeral Flowers. Wharton News (1984): 1-3.
<http://dl.dropbox.com/u/9686940/windj/8405_Coffee_Closets_and_Funeral_Flowers.pdf>.

3. Gaudiani, Claire L., and Jerry Wind. "Educating for International Management: The Joseph H.
Lauder Institute. Foreign Languages and International Trade: A Global Perspective. Ed.
Samia I. Spencer. Athens: University of Georgia Press, 1987. 31-38.
<http://dl.dropbox.com/u/9686940/windj/8709_Educating_for_International_Management_The.
pdf>.

4. Wind, Jerry. International Business Education at the Lauder Institute. Occasional Papers On
International Educational Exchange: Hallmarks of Successful International Business
Programs. Eds. Marylise Lamet and Sterling Lamet. New York: Council on International
Educational Exchange, Aug. 1988.
<http://dl.dropbox.com/u/9686940/windj/8806_International_Business_Education_at_the.pdf>.

5. Wind, Jerry, and Barbara S. Thomas. "The Globalization of Management Education: Options,
Trade Offs, and an Agenda for Implementation. AACSB Occasional Papers. Montreal:
American Assembly of Collegiate Schools of Business, 1989.
<http://dl.dropbox.com/u/9686940/windj/8907_The_Globalization_of_Management_Education.
pdf>.

I. Management Practice and Education in the 21st Century

1. Wind, Jerry. "Marketing in the Year 2000. Marketing 2000 and Beyond. Eds. William Lazer,
Priscilla La Barbera, James M. MacLachlan, and Allen E. Smith. Chicago: American Marketing
<http://dl.dropbox.com/u/9686940/windj/9005_Marketing_in_the_Year_2000.pdf>.
27

2. Wind, Jerry. "The Restructured Wharton MBA: Inventing a New Paradigm. University of
Pennsylvania Almanac 37 (2 Apr. 1991): 1-4.
<http://dl.dropbox.com/u/9686940/windj/9105_The_Restructured_Wharton_MBA_Inventing.pdf
>.

3. Wind, Jerry, and Alfred P. West, Jr. "Reinventing the Corporation." Chief Executive 71 (Oct.
1991): 72-75.
<http://dl.dropbox.com/u/9686940/windj/9106_Reinventing_the_Corporation.pdf>.

4. Wind, Jerry. "The Next Paradigm? Chief Executive 77 (June 1992): 62-65.
< http://dl.dropbox.com/u/9686940/windj/9206_The_Next_Paradigm.pdf>.

5. Wind, Jerry. "JIT Learning: A New Concept for Executive Education. Wharton School Working
Paper, June 1993.
<http://dl.dropbox.com/u/9686940/windj/9302_JIT_Learning_A_New_Concept.pdf>

6. Wind, Jerry, Robert Holland, Alfred P. West, Jr., and Robert Gunther. "Pace-Setting 21st
Century Enterprises: A Glimpse of What Might Emerge. Prepared for Seventh General
Assembly and Exhibition of the World Future Society, 29 June 1993.
<http://dl.dropbox.com/u/9686940/windj/9303_Pace_setting_21st_Century_Enterprises.pdf>.

7. Wind, Jerry. "Downsizing and Layoffs: Miracle Cure or Prescription for Disaster." (8 Feb.
1994).

8. Wind, Jerry. Marketing: Big Questions for the 21st Century. Financial Times. 1996. 6-7.
<http://dl.dropbox.com/u/9686940/windj/9604_Marketing_Big_Questions_for_the.PDF>

9. Main, Jeremy and Jerry Yoram Wind. A Cynics Glossary. Across the Board. 35.4. April 1998:
12.

10. Wind, Jerry. Driving Change: Preparing for the 21st Century. The Li & Fung Lecture,
University of Hong Kong, 17 Apr. 1998.
<http://dl.dropbox.com/u/9686940/windj/9806_Driving_Change_Preparing_for_the.pdf>

11. Wind, Jerry. Creating a Successful 21st Century Enterprise. Li & Fung Lecture on Commerce
& Industry. Chinese University of Hong Kong, 17 Apr. 1998.
<http://dl.dropbox.com/u/9686940/windj/9805_Creating_a_Successful_21st_Century.pdf>

12. Wind, Jerry and Pedro Nueno. The Impact Imperative: A Manifesto for Closing the Relevance
Gap of Academic Management Research. International Academy of Management North
America Meeting, 25 July 1998.
<http://dl.dropbox.com/u/9686940/windj/9803_The_Impact_Imperative_A_Manifesto.pdf>

13. Wind, Jerry. Reinventing the Business School for the Global Information Age. Keynote
address at European Foundation for Management Development Conference of Deans and
Directors, Helsinki, Finland, Jan. 2000.
<http://dl.dropbox.com/u/9686940/windj/0010_Reinventing_the_Business_School_for.pdf>.

14. Wind, Jerry, and Dave Reibstein. Reinventing Training for the Global information Age.
Knowledge@Wharton. Sept. 2000. < http://knowledge.emory.edu/papers/975.pdf>.

15. Wind, Yoram (Jerry). The Integrative Thinking Challenge for Management Education and
Research. Rotman Magazine Fall 2002: 18-19. [B] Reprinted in A New Way to Think: The
Best of Rotman Magazine. Winter 2005.
<http://dl.dropbox.com/u/9686940/windj/0208_The_Integrative_Thinking_Challenge_for.pdf>.

16. Wind, Jerry. Balancing Innovation and Conservative Values: Management as an Experimental
Process. Conservative Values and Effective Management. Eds. Peter Drucker and Peter
Paschel. Frankfurt: Redline Wirtshaft, 2004.
28

J. Convergence Marketing

1. Wind, Jerry, Vijay Mahajan, and Robert Gunther. The Power of Convergence in the Post-
Dot.com Age. Bn.com, 2001.
<http://dl.dropbox.com/u/9686940/windj/0105_The_Power_of_Convergence_in.pdf>.

2. Wind, Jerry, Vijay Mahajan, and Robert E. Gunther. The Convergence Challenge: Realizing
the Complex Promise of New Technologies. InformIT. (2001).
<http://dl.dropbox.com/u/9686940/windj/0106_The_Convergence_Challenge_Realizing_the.pd
f>.

3. Wind, Jerry, Vijay Mahajan, and Robert E. Gunther. The Power of Convergence: The 5 Cs.
InformIT. (2001).
<http://dl.dropbox.com/u/9686940/windj/0107_The_Power_of_Convergence_The.pdf>.

4. Wind, Jerry, Vijay Mahajan, and Robert E. Gunther. Digital Fabric: Organizing for
Convergence. InformIT. (Jan. 2002).
<http://dl.dropbox.com/u/9686940/windj/0209_Digital_Fabric_Organizing_for_Convergence.pd
f>.

5. Wind, Jerry, Vijay Mahajan, and Robert Gunther. The Consumer is King. European Business
Forum 9 (Spring 2002): 12-13.
<http://dl.dropbox.com/u/9686940/windj/0206_The_Consumer_is_King.pdf>

6. Wind, Yoram, and Vijay Mahajan. Convergence Marketing. Journal of Interactive Marketing
16.2 (Spring 2002): 64-79.
<http://dl.dropbox.com/u/9686940/windj/0207_Convergence_Marketing.pdf>

7. Wind, (Jerry) Yoram. Convergence Marketing: Meeting the Challenge of the New Hybrid
Consumer. Critical Eye Review (Mar. - May 2005): 16-20.
<http://dl.dropbox.com/u/9686940/windj/0502_Convergence_Marketing_Meeting_the_Challen
ge.pdf>.

K. Mental Models Power of Impossible Thinking

1. Wind, Yoram (Jerry). Leadership as Making Sense, Wharton School Working Paper, 2003.

2. Wind, Yoram (Jerry). Challenging the Mental Models of Marketing. Financial Times
Handbook of Management 3rd Ed. Ed. Stuart Crainer and Des Dearlove. FT Prentice Hall,
2004. 327-335.
<http://dl.dropbox.com/u/9686940/windj/0503_Challenging_the_Mental_Models_of.pdf>.

3. Wind, Yoram (Jerry), and Colin Crook. Using the Power of Impossible Thinking to Build
Prosperity. Rotman Magazine Spring/Summer 2004: 28-31.
<http://dl.dropbox.com/u/9686940/windj/0402_Using_the_Power_of_Impossible.pdf>.

4. Wind, Yoram (Jerry). Challenging the Mental Models of Marketing. Does Marketing Need
Reform? Fresh Perspectives on the Future. Eds. Jagdish N. Sheth and Rajendra S. Sisodia.
Armonk, NY: M. E. Sharpe, 2005. 91-104.
<http://dl.dropbox.com/u/9686940/windj/0403_Challenging_the_Mental_Models_of.pdf>.

5. Wind, Yoram and Colin Crook. Expanding Your Peripheral Vision by Embracing New Mental
Models. Wharton School Working Paper, 2005.

6. Wind, Yoram (Jerry). The Silver Lining: Seeing Opportunities in Risk. Presented at the
Conference in Honor of Paul Kleindorfer on Recent Advances in Operations and Risk
29
Management, Philadelphia, 5 May 2005.
<http://dl.dropbox.com/u/9686940/windj/0504_The_Silver_Lining_Seeing_Opportunities.pdf>

7. Wind, Yoram. Rethinking the Board. Directors & Boards 30.1 (Fourth Quarter 2005): 20-26.
<http://dl.dropbox.com/u/9686940/windj/0505_Rethinking_the_Board.pdf>.

8. Wind, Jerry, and Colin Crook. Changing Mental Models in an Uncontrollable World. Part of
the FT Mastering Uncertainty Issue, March 17, 2006.
<http://dl.dropbox.com/u/9686940/windj/0607_Changing_Mental_Models_in_an.pdf>.

9. Wind, Yoram. Managing Creativity. Rotman Magazine Spring/Summer 2006: 20-23.
<http://dl.dropbox.com/u/9686940/windj/0602_Managing_Creativity.pdf>.

10. Wind, Jerry. The Power of Impossible Thinking, Knowledge Leadership at Thomas Group
(KL@TG). Inaugural Issue. Winter 2006: 76-80.
<http://dl.dropbox.com/u/9686940/windj/0603_The_Power_of_Impossible_Thinking.pdf>.

11. Wind, Yoram. Unleashing the Power of Impossible Thinking. Leadership Excellence 2008.

12. Wind, Jerry and Colin Crook. From Mental Models to Transformation: Overcoming Inhibitors
to Change. Rotman Magazine, Spring/Summer 2009: 28-33.
<http://dl.dropbox.com/u/9686940/windj/0902_From_Mental_Models_to_Transformatio n.pdf>.

13. Wind, Yoram (Jerry). Why Mental Models Matter: The Big Barriers to Growth and Innovation
are Self-Imposed, Wharton School Working Paper, 2010.

14. Wind, Yoram (Jerry) and Stephen D. Rappaport. The End of Listening As We Know It: From
Market Research Projects to Enterprise Value Creator, Listen First! Turning Social Media
Conversations into Business Advantage: A Playbook from the Advertising Research
Foundation, April 2010.

15. Wind, Yoram (Jerry). Rethinking Innovation, The Marker, October 2010: 40-41.
http://dl.dropbox.com/u/9686940/windj/1107_Rethinking_Innovation.pdf

L. Network-Based Strategies

1. Wind, Yoram. Network Orchestration for a Flat World: Preparing for a Future of Defining
Moments at Li & Fung, Effective Executive, February 2008: 14-18.
<http://dl.dropbox.com/u/9686940/windj/0807_Network_Orchestration_for_a_Flat.pdf>.

2. Wind, Yoram and Paul Kleindorfer, The Network Imperative: Community or Contagion?
introductory chapter in Kleindorfer and Wind (eds), The Network Challenge: Strategy, Profit
and Risk in an Interlinked World. Wharton School Publishing, 2009.
<http://dl.dropbox.com/u/9686940/windj/0903_The_Network_Imperative.pdf>

3. Wind, Yoram, Victor Fung and William Fung, Network Orchestration: Creating and Managing
Global Supply Chains Without Owning Them, a chapter in Kleindorfer and Wind (eds), The
Network Challenge: Strategy, Profit and Risk in an Interlinked World. Wharton School
Publishing, 2009.
<http://dl.dropbox.com/u/9686940/windj/0904_Network_Orchestration_Creating_and_Managin
g.pdf>

4. Wind, Yoram and Robert J. Thomas. Symbiotic Innovation: Getting the Most Out of
Collaboration chapter in Evolution of Innovation Management, Brem and Viardot (eds),
Palgrave Macmillan, forthcoming 2012.

5. Wind, Yoram and Catharine Gardner. Portfolio Orchestration: Toward a New Advertising
Model. Wharton School Working Paper, forthcoming 2012.

30
6. Wind, Yoram. Orchestration as the New Managerial Model in the Digital Age, Wharton
Knowledge in Action column on Think with Google Forum, Google, 18 April 2012.
<http://www.thinkwithgoogle.com/insights/forum/articles/orchestration-as-the-new-managerial-
model/#utm_medium=social&utm_campaign=twgplus&utm_source=pluspage101698568710409
127237>

M. Advertising

1. Wind, Yoram, and Patrick J. Robinson. "Some Applications of Mathematical Analysis of
Perception and Preference in Advertising. Marketing Science Institute Working Paper P-45-1,
May 1968.
<http://dl.dropbox.com/u/9686940/windj/6811_Some_Applications_of_Mathematical_Analysis.
pdf>

2. Wind, Yoram, and Stephen E. Silver. "Segmenting Media Buyers. Journal of Advertising
Research 13.6 (Dec. 1973): 33-38.
<http://dl.dropbox.com/u/9686940/windj/7301_Segmenting_Media_Buyers.pdf>.

3. Tapiero, Charles S., Jehoshua Eliashberg, and Yoram Wind. "Risk Behaviour and Optimum
Advertising with a Stochastic Dynamic Sales Response. Optimal Control Applications &
Methods 8 (1987): 299-304.
<http://dl.dropbox.com/u/9686940/windj/8707_Risk_Behaviour_and_Optimum_Advertising.pdf
>.

4. Burke, Raymond R., Arvind Rangaswamy, Jerry Wind, and Jehoshua Eliashberg. "A
Knowledge-Based System for Advertising Design. Marketing Science 9.3 (Summer 1990):
212-229. [B] Earlier version published as "Expert Systems for Marketing. Marketing Science
Institute Report 87-107, Nov. 1987.
<http://dl.dropbox.com/u/9686940/windj/9007_A_Knowledge_Based_System_for.pdf>.

5. Gnl, Fsun F., Franklin Carter, and Jerry Wind. What Kind of Patients and Physicians
Value Direct-to-Consumer Advertising of Prescription Drugs. Health Care Management
Science 3 (2000): 215-226.
<http://dl.dropbox.com/u/9686940/windj/0001_What_Kind_of_Patients_and.pdf>.

6. Sharp, Byron, and Yoram (Jerry) Wind, Todays Advertising Laws: Will They Survive the
Digital Revolution? Journal of Advertising Research Special Issue on What We Know About
Advertising, Guest Editors Byron Sharp and Yoram (Jerry) Wind, June 2009, Vol. 49, No. 2:
120-126.
<http://dl.dropbox.com/u/9686940/windj/1002_Todays_Advertising_Laws_Will_They.pdf >

7. Sharp, Byron, and Yoram (Jerry) Wind, Advertising Empirical Generalizations: Implications for
Research and Action, Journal of Advertising Research Special Issue on What We Know
about Advertising, Guest Editors Byron Sharp and Yoram (Jerry) Wind, June 2009, Vol. 49,
No. 2: 246-252.
http://dl.dropbox.com/u/9686940/windj/1003_Advertising_Empirical_Generalizations_Implicatio
ns_for.pdf

N. Entries in Dictionaries, Encyclopedias, and Handbooks

1. Green, Paul E., and Yoram Wind. Marketing, Statistics in. Encyclopedia of Statistical
Sciences. Eds. S. Kotz, N. Johnson, and Campbell Read. New York: Wiley, 1985. 227-248.
<http://dl.dropbox.com/u/9686940/windj/8511_Marketing_Statistics_in.pdf>.

2. Wind, Jerry, and David Schmittlein. Definitions of Marketing Models. Dictionary of Marketing
Terms. Ed. Peter D. Bennett. Chicago: American Marketing Association, 1988. 1-30.
<http://dl.dropbox.com/u/9686940/windj/8809_Definitions_of_Marketing_Models.pdf>.
31

3. Rangaswamy, Arvind, and Yoram Wind. Information Technology in Marketing. Encyclopedia
of Microcomputers. Eds. A. Kent and J. G. Williams. New York: Marcel Dekker Inc., 1992. 67-
83. <http://dl.dropbox.com/u/9686940/windj/9207_Information_Technology_in_Marketing.pdf>.

4. Wind, Yoram (Jerry), and Gary L. Lilien. Marketing Strategy Models. Handbooks in
Operations Research & Management Science, Vol. 5: Marketing. Eds. J. Eliashberg and G. L.
Lilien. Amsterdam; NY: Elsevier Science Publishers, 1993. 773-826.
<http://dl.dropbox.com/u/9686940/windj/9305_Marketing_Strategy_Models.pdf>.

5. Yoram (Jerry) Wind, Eric T. Bradlow, Jehoshua Eliashberg, Gary L. Lilien, Jagmohan Raju,
Arvind Rangaswamy, Berend Wierenga. "Marketing, Encyclopedia of Operations Research
and Management Science 3rd Edition, Ed. Saul Gass, Michael Fu, New York, NY: Springer,
2011. [B] First published in 1994 edition, Boston: Kluwer Publishers, 1994. 1-15. [C] Revised
1998. <http://dl.dropbox.com/u/9686940/windj/9406_Marketing.pdf>.

6. Wind, Yoram (Jerry). Market Segmentation. Companion Encyclopedia of Marketing. Ed.
Michael J. Baker. New York: Routledge, 1995. 394-419. [B] Reprinted in Marketing Theory: A
Short Text. Ed. M. Baker. London: Business Press, a Division of Thompson Learning, 2000.
394-419. <http://dl.dropbox.com/u/9686940/windj/9502_Marketing_Segmentation.pdf>

7. Green, Paul E., Jerry Wind, and Vithala R. Rao. Conjoint Analysis: Methods and
Applications. The Technology Management Handbook. Ed. Richard C. Dorf. Boca Raton, FL:
CRC Press, 1999. 12-6612-72.
<http://dl.dropbox.com/u/9686940/windj/9903_Conjoint_Analysis_Methods_and_Applications.p
df>.

8. Wind, Jerry. Creating a Vision. The Technology Management Handbook. CRCnet Base,
2000. <http://dl.dropbox.com/u/9686940/windj/0013_Creating_a_Vision.pdf>.

9. Wind, Yoram (Jerry). The Ten Commandments of Marketing. MBA in a Box. Eds. Joel
Kurtzman, Glenn Rifkin, and Victoria Griffith. New York: Crown Business, 2004. [B] Previously
Marketing Strategy. Wharton School Working Paper, 2003.
<http://dl.dropbox.com/u/9686940/windj/0404_The_Ten_Commandments_of_Marketing.pdf>

10. Wind, Yoram. Marketing Strategy Analysis, The Handbook of Technology Management, Ed.
Hossein Bidgoli, Hoboken, N.J.: John Wiley & Sons, Inc., January 2010. 352-365.
http://dl.dropbox.com/u/9686940/windj/1001_Marketing_Strategy_Analysis.pdf

11. Wind, Yoram. Yoram (Jerry) Winds Contributions to Marketing, Review of Marketing
Research Special Issue: Marketing Legends. 2011. Vol. 8, 269-315.
http://dl.dropbox.com/u/9686940/windj/Rev.Mktg.Res.Special.Legends.Issue.pdf

V. EDITOR OF SPECIAL ISSUES

Marketing Science Empirical Generalizations in Marketing (with Frank M. Bass), Vol. 14, No.
3, Part 2, 1995.
http://marketingscience.info/assets/documents/209/4038.pdf
Journal of Marketing Research
Market Segmentation, August 1978.
http://www.jstor.org/discover/10.2307/3150580?uid=3739864&uid=2129&uid=2&uid=70&uid=4&
uid=3739256&sid=56007102433
Innovation and New Products, February 1997.
Marketing Research Marketing Research Forum: The State of the Art in Quantitative
Research, Winter 1997.
http://dl.dropbox.com/u/9686940/windj/9702_Issues_and_Opportunities_in_New.pdf
Marketing Science Empirical Generalizations in Marketing (with Frank M. Bass), Vol. 14, No.
3, Part 2, 1995.
32
Management Science (with John Farley and Diana L. Day) The State of The Art in Theory and
Methods for Strategy Research, 1990.
The Wharton Quarterly, Marketing, Fall 1972.
http://dl.dropbox.com/u/9686940/windj/7201_The_Step_Children_of_Marketing.pdf
Wharton Knowledge in Action Column on Think with Google Forum, 2012.
http://www.thinkwithgoogle.com/insights/forum/

VI. EDITORIALS

Journal of Consumer Research June 1977: "New Directions for JCR"

Marketing News July 1978: "New Directions for JM"

Journal of Marketing Winter 1979: The Journal of Marketing at a Crossroad
Spring 1979: Repositioning the Journal
Summer 1979: Bridging the Gap Between Practitioners and
Academicians
Fall 1979: On the Status of Marketing Theory
Winter 1980: Marketing in the 80s
Spring 1980: Strategic Planning and Marketing: Time for a
Constructive Partnership, with George Day
Summer 1980: International Marketing: The Neglect
Continuous, with John Farley
Fall 1980: Industrial Marketing: The Sleeping Giant, with
Frederick Webster
http://www.marketingpower.com/ResourceLibrary/JournalofMarketin
g/Pages/1980/44/4/4997918.aspx

Winter 1981: Journals and the Development of a Discipline
Spring 1981: Research and Management
Summer 1981: A Positive Perspective on Marketing
http://connection.ebscohost.com/c/editorials/4996997/from-editor-
positive-perspective-marketing
Fall 1981: Reflections
Summer 2009: Is Marketing Academia Losing its Way?
http://www.iimahd.ernet.in/library/PDFs/NICMAN/Is%20marketing%
20academia%20losing%20its%20way.pdf

The Lauder Quarterly All editorials from initiation in 1986 to July 1988.

VII. ILLUSTRATIVE RECENT OP ED AND COMMENTARIES

Orchestra needs to change tune in contract negotiations: Settling the score must rest on the idea
of working toward a collective goal, Philadelphia Inquirer, Commentary, November 4, 2004.
The Wisdom of the Flip Flop, Wharton School Publishing Newsletter, November 2004.
Rethinking our mental models for elections, Newsletter of the Wharton Fellows, November 2004.
Reverse mentoring can solidify collaboration among functional groups, but it cannot be the only
tool that enforces such teamwork or the sole catalyst for change. Commentator on HBR Too
Old to Learn? Case Study. Harvard Business Review. November-December 2000.
E-Learning Crossfire, Information Week, February 26, 2001.
Capitalism 3.0: Commentaries on Jed Emerson and Sheila Bonini, Capitalism 3.0 in VALUE
and www.valuenewsnetwork.com, February/March 2006.

VIII. EDITED PUBLICATIONS OF THE SEI CENTER ILLUSTRATIVE LIST

Creating and Implementing a Corporate Vision, January 1990.

33
Human Resources: Management for the 21
st
Century, January 1990.
The Impact of Artificial Intelligence on Management Decision Making and Organizational Design,
February 1990.
Creating and Implementing Quality in Organizations, March 1990.
Corporate Governance: Whos in Charge?, May 1990.
Strategic Information Architecture: Increasing Productivity, Managing Risks, June 1993.
Management in the 21
st
Century: Predictions From Top Think Tanks, September 1990.
The Individually Empowered Organization, November 1990.
Innovation and New Product Development for the 21
st
Century Enterprise, November 1990.
Ethical Standards for Global Corporations? December 1990.
Managing Infrastructure Costs; What is the Best Strategy for Long-Term Controls? February
1991.
Lessons from the Malcolm Baldridge Award: Implications for Management Practice, Research,
and Education, February 1991.
Innovation in Services, May 1991.
Visionary Leadership, October 1991.
The Impact of Information Networking on Organizational Design and Strategy, November 1991.
Frontiers in Electronic Commerce: Experimental Systems for Communication, Coordination, and
Negotiation, February 1992.
Innovation and Learning, March 1992.
Historical Perspectives in Management Education, April 1992.
Decision Making in Highly Uncertain Political Environments: Investing in the Russian Oil and
Gas Industry, March 1992.
Issues and Advances in New Product Development, June 1992.
Rewarding the Workforce of the Future: Competence-Based Performance Measures and
Incentives, October 1992.
Designing Corporate Governance for the 21
st
Century Global Enterprise: International
Perspectives, January 1993.
Dr. Peter Drucker on The New Organization, April 1993.
Corporate Performances: Beyond Financial Measures, April 1993.
The Horizontal Organization, October 1993.
The End of Diversity: Rights, Responsibility and the Communication Agenda November 1993.
Deploying Strategic Assets: Beyond Core Capabilities, November 1993.
Research Challenges in Linking Quality: Profitability and Organizational Architecture, December
1993.
Empirical Generalizations in Marketing, February 1994.
Beyond Quality: Organizational Transformation for the 21
st
Century Enterprise, March 1994.
Exploratory Conference on Business Ethics: Building the Common Ground, March 1994.
Interactivity is Two-Way: Life on the Net April 1994.
Interactive Industry 2000: Whos Gonna Buy this Stuff: Research for the Interactive Television
Business, July 1994.
Leadership in the 21
st
Century Enterprise, November 1994.
A New Management Paradigm for the 21
st
Century, December 1994.
The Virtual University, January 1995.
Go West Young MBA, Far Far West: Adventures on the Worlds Business and Management
Frontier, January 1995.
Information Technology and the Changing Boundaries of the Firm, January 1995.
EMU The Road to Europe, February 1995.
The New Science and Emerging Paradigms in Business, April 1995.
Innovation in New Product Development: Best Practices in Research, Modeling and
Applications, May 1995.
The Bamboo Network, November 1995.
Corporate Growth Engines, December 1995.
A Trapezoidal Corporation, February 1996.
The Impact of Computers and Information on Management: 1946-1996-2001, May 1996.
European Venture Capital Industry, November 1996.
The CEO Challenge: Implementing Strategy in a Constantly Changing Marketplace, December 1996.
The Future of Impact of Information Management: A Lecture Series from July 1996-January
1997.

34
New Media, February 1997.
From Detection to Action: Processes and Insights Gained from an Early Warning Signal System,
March 1997.
Toward New Corporate Governance Models: Lessons from the Japanese and U.S. Experience,
March 1997.
When Is It Worthwhile Targeting the Majority Instead of the Innovators in a New Product
Launch? November, 1997.
Consumer Choice Behavior in On-line and Regular Stores: The Effects of Brand Name, Price,
and Other Search Attributes, January 1998.
The Systems Approach: The New Generation, February 1998.
Managing Workteam Diversity, Conflict, and Productivity: A New Form of Organizing in the 21
st

Century Workspace, September 1998 (by Etty Jehn, The Diversity Research program with Bob
Holland).
GM for the 21
st
Century: From Make and Sell to Sense and Respond, March 1999 (by Vince
Barabba).
The Limits of Privacy, March 1999 (by Amitai Etzioni).
Japan at the Great Divide, April 1999 (by Yasuhisa Shiozaki).
Into the 21
st
Century: The First Decade and Beyond: A Report on the SEI Center for Advanced
Studies in Management, 1990-2000.
Insights and Impact: 20th Anniversary Report of the SEI Center for Advanced Studies in
Management, March 2010.

IX. EDITOR: WHARTON SCHOOL PUBLISHING BOOKS

2008
1. V. Kumar, Managing Customers for Profit: Strategies to Increase Profits and Build Loyalty
2. Stewart Black, Hal Gregersen, It Starts with One: Changing Individuals Changes Organizations
3. Russell E. Palmer, Ultimate Leadership: Winning Execution Strategies for Your Situation
4. J.C. Larreche, The Momentum Effect: How to Ignite Exceptional Growth
5. Yves Doz, Mikko Kosonen, Fast Strategy: How strategic agility will help you stay ahead of the
game
6. Russell L. Ackoff, Daniel Greenberg, Turning Learning Right Side Up: Putting Education Back on
Track
7. Bernard Lewis, Buntzie Ellis Churchill, Islam: The Religion and the People
8. Alexander B. van Putten, Ian C. MacMillan, Unlocking Opportunities for Growth: How to Profit
from Uncertainty While Limiting Your Risk
9. Vijay Mahajan, Africa Rising: How 900 Million African Consumers Offer More Than You Think
10. Michael A. Roberto, Know What You Dont Know: How Great Leaders Prevent Problems Before
They Happen (Rough Cuts)
11. Jon M. Huntsman, Winners Never Cheat: Even in Difficult Times, New and Expanded Edition

2007
1. Aswath Damodaran, Strategic Risk Taking: A Framework for Risk Management
2. Rajendra S. Sisodia, David B. Wolfe, Jagdish N. Sheth, Firms of Endearment: How World-
Class Companies Profit from Passion and Purpose
3. Leondard M. Lodish, Howard L. Morgan, Shellya Archambeau, Marketing That Works
4. Howard Moskowitz, Alex Gofman, Selling Blue Elephants: How to Make Great Products That
People Want BEFORE The Even Know They Want Them
5. Daniel M. Cable, Change to Strange: Create a Great Organization by Building a Strange
Workforce
6. Jagdish N. Sheth, The Self-Destructive Habits of Good CompaniesAnd How to Break
Them
7. Bala Chakravarthy and Peter Lorange, Profit or Growth, September.
8. Victor K. Fung, William K. Fung, Jerry (Yoram) Wind, Competing in a Flat World: Building
Enterprises for a Borderless World, September.
9. Barry Libert, Jon Spector, Don Tapscott, We Are Smarter Than Me: How to Unleash the Power
of Crowds in Your Business, September.

35
10. Hamid Bouchikhi, John R. Kimberly, Soul of the Corporation, The: How to Manage the Identity of
Your Company, September.
11. Hunter Hastings, Jeff Saperstein, Improve Your Marketing to Grow Your Business: Insights and
Innovation That Drive Business and Brand Growth, October.
12. Satish Nambisan and Mohanbir Sawhney, The Global Brain: Your Roadmap for Innovating
Faster and Smarter in a Networked World, October.
13. James F. Parker, Do The Right Thing: How Dedicated Employees Create Loyal Customers and
Large Profits, November.
14. Ellen Ernst Kossek and Brenda A. Lautsch, CEO of Me: Creating a Life that Works in the
Flexible Job Age, December

2006
1. Peter Navarro, The Well Timed Strategy: Executing Strategy Through the Business Cycle for
Competitive Advantage
2. Stuart Lucas, Wealth: Grow It, Protect It, Spend It and Share It (Paperback, 2007)
3. Peter Killing, Thomas Malnight, and Tracey Keys, Must-Win Battles: How to Win Them,
Again and Again
4. Neil Bender, Paul Farris, Philip Pfeifer, and Dave Reibstein, 50+ Marketing Metrics Every
Business Executive Should Know
5. Russell Ackoff, Herbert Addison, and Jason Magidson, Idealized Design: How to Dissolve
Tomorrows CrisisToday
6. Lars Kolind, The Second Cycle: 7 Proven Tools for Revitalizing Your BusinessBefore Its
Too Late
7. George Chacko, Anders Sjoman, Hideto Motohashi, and Vincent Dessain, Credit Derivatives:
Introduction to Credit Risk and Credit Instruments
8. Jerry Porras, Stewart Emery, and Mark Thompson, Success Built to Last: Creating a Life that
Matters
9. Philip Kotler and Nancy Lee, Marketing in the Public Sector: A Roadmap for Improved
Performance

2005
1. Randall Billingsey, Understanding Arbitrage: An Intuitive Approach to Financial Analysis
2. Tony Davila, Marc Epstein, and Robert Shelton, Making Innovation Work: How to Manage It,
Measure It, and Profit from It
3. Sunil Gupta and Donald Lehmann, Managing Customers as Investments: The Strategic Value of
Customers in the Long Run
4. Stuart Hart, Capitalism at the Crossroads: The Unlimited Business Opportunities in Solving the
Worlds Most Difficult Problems (2
nd
Edition, 2007)
5. Lawrence Hrebiniak, Making Strategy Work: Leading Effective Execution and Change
6. Jon Huntsman, Winners Never Cheat: Everyday Values We Learned as Children (But May Have
Forgotten)
7. Eamonn Kelly, Powerful Times:Rising to the Challenge of Our Uncertain World
8. Doug Lennick and Fred Kiel, Moral Intelligence: Enhancing Business Performance and
Leadership Success (Paperback, 2007)
9. V. J. Mahajan and Kamini Banga, The 86 Percent Solution: How to Succeed in the Biggest
Market Opportunity for the Next 50 Years
10. Alred Marcus, Big Winners and Big Losers: The 4 Secrets of Long-Term Business Success and
Failure
11. Kenichi Ohmae, The Next Global Stage: Challenges and Opportunities in Our Borderless World
12. Michael Roberto, Why Great Leaders Dont Take Yes for an Answer: Managing for Conflict and
Consensus
13. Arthur Rubinfeld and Collins Heminway, Built for Growth: Expanding Your Business Around the
Corner or Across the Globe
14. David Sirota, Louis Mischkind, Michael Meltzer,The Enthusiastic Employee: How Companies
Profit by Giving Workers What They Want.
15. Thomas Stallkamp, SCORE!: A Better Way to Do Busine$$: Moving from Conflict to
Collaboration
16. Glen Urban, Dont Just Relate Advocate!: A Blueprint for Profit in the Era of Customer Power.

36
17. Craig Vogel, Jonathan Cagan, and Peter Boatwright, The Design of Things to Come: How
Ordinary People Create Extraordinary Products.

2004
1. Bernard Baumohl, The Secrets of Economic Indicators: Hidden Clues to Future Economic
Trends and Investment Opportunities (2
nd
Edition, 2007)
2. Sayan Chatterjee, Failsafe Strategies: Profit and Grow from Risks that Others Avoid
3. Robert Mittelstaedt, Will your Next Mistake Be Fatal? Avoiding the Chain of Mistakes that Can
Destroy your Organization
4. Mukul Pandya, Robbie Shell, Susan Warner, Sandeep Junnarkar, Jeffrey Brown (2004), Nightly
Business Report Presents Lasting Leadership: What You can Learn from the Top 25 Business
People of our Time (Paperback, 2006)
5. C.K. Prahalad, The Fortune at the Bottom of the Pyramid (Paperback, 2006)
6. Scott Shane, Finding Fertile Ground
7. Oded Shenkar, The Chinese Century: The Rising Chinese Economy and Its Impact on the
Global Economy, the Balance of Power, and your Job (Paperback, 2006)
8. Jerry Wind and Colin Crook, The Power of Impossible Thinking (Paperback, 2006)

X. ILLUSTRATIVE PUBLISHED ABSTRACTS OF PAPERS DELIVERED IN PROFESSIONAL
MEETINGS

Enduring Vs. Situation Dependent Customer Characteristics as Bases for Market Segmentation:
An Evaluation, in David L. Sparks, (ed.), Broadening the Concepts of Marketing. Proceedings of
the American Marketing Association, August 1970 Conference.
Preference of Relevant Others and Individual Choice Models, in W.L. Nichols, ed., Proceedings
of the 1974 AAPOR Conference and in Public Opinion Quarterly, 38. Fall 1974, pp. 447.
Multivariate Decision-Making in the Setting of Pulmonary Outpatient Clinic, with Lawrence Spitz
and Ronald Daniele. Paper presented at American College of Physicians, San Francisco, April
1975.
Diagnosis Consumer Behavior: A Quantitative Approach, in D. Rothwell, (ed.), Proceedings of
the 30
th
Annual AAPOR Conference May 1975 and in Public Opinion Quarterly, 39. Fall 1975,
pp. 415.
Segmentation and Positioning of Health Insurance Services Under Conditions of
Heterogeneous Health Insurance Portfolios, in TIMS/ORSA Bulletin for the S.F. Joint Meeting,
May 1977, pp. 244.
Alternative Approaches to Industrial Market Segmentation, with Paul E. Green, in TIMS/ORSA
Bulletin for the S.F. Joint Meeting, May 1977, pp. 234.
Innovation and the R&D-Marketing Interface, with Joel Goldhar, in TIMS/ORSA Bulletin for the
Atlanta Meeting, November 1977.
Measurement Issues in Portfolio Analysis, with Vijay Mahajan, in R.P. Leone, (ed.),
Proceedings of Market Measurement and Analysis, TIMS, 1980, pp. 50-53.
Aimagery Products: A Measurement Challenge, with Lew Pringle, in J. Keon, (ed.), Market
Measurement and Analysis, TIMS/ORSA, 1981.
Standardized Portfolio Models: An Empirical Comparison of Business Classification, with Vijay
Mahajan and Donald J. Swire in Allan D. Shocker and R. Srivastava, (eds.), Proceedings of the
1981 Analytical Approaches to Product and Marketing Planning Conference.

XI. CASE STUDIES

During the academic year 1962-1963, I wrote a number of marketing cases at the Hebrew
University, Jerusalem (Israel). One of these cases, The Ozi Ballpoint Pen III, was published in
Harper W. Boyd, Jr. et al., (eds.), Marketing Management: Cases from the Emerging Countries
(Reading, MA: Addison-Wesley Publishing Company), 1966.
During the academic year 1968-1969, several marketing cases were written under my
supervision at the Leon Recanati Graduate School of Business Administration, Tel Aviv
University.

37
CONSULTING EXPERIENCE

A. Marketing, Business Strategy, and Marketing Research Consulting

1. Information and Telecommunication Industry

AT&T & the Bell companies: Occasional consultant to various units, including:
AT&T Technologies Inc. Design a market segmentation program (1986)
AT&T Review and Design of Portfolio System (1981-1982)
Bell Atlantic Marketing & pricing strategy (1983)
Bell Canada Design of a segmentation study and product portfolio (1979-1980)
Geometric Data: Segmentation/positioning studies (1981-1982)
IBM:
ABS Division: Developing procedure for Integrating Marketing and R&D (1988-1989)
ES Division, Marketing Strategy and Segmentation (1991-1993)
Motorola Broadband Sector: 1998-2004. Business Strategy consulting
Next Level Communication: Business strategy consulting (2000)
Newsweek, Inc.: Marketing consulting (1979-1980)
Northern Telecom: Value Pricing and Business Strategy Consulting (1993-1995)
RCA, Government Communications Systems: Design of a research program to assess
the market response to new Electronic Mail System (1978-1979)
Samsung, Management of Technological Innovation (2006)
Telenet, Strategies for Getting More with Less (2006)
Xerox: Marketing consulting to a design integration program (coordinated by Jay Doblin
Associates) and design of a market segmentation project (1982-1983)

2. Financial Services

SEI: Marketing, Business and Corporate Strategy consulting (1986-)
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
Chase Manhattan Bank: Process for evaluation of mergers and acquisitions and design
of segmentation studies (1978-1979)
CitiBank: Statistical consulting (1980); marketing strategy consulting (1996-1997)
Colonial Penn Group: Design and evaluation of most of the firms research activities and
general consulting to marketing and top management (1973-1980)
E. F. Hutton: Design and implementation of a marketing planning system and various
marketing research projects (1979-1984)
Edward Jones & Co.: Marketing and Business Strategy consulting (1984-2004)
Reliance Insurance Companies: Marketing research consulting (1980-1981)

3. Health Care

ConvaTec: Marketing Driven Business Strategy (2008)
Bristol-Myers Squibb (BMS): Marketing strategy consulting (1997-2002)
Merck, Sharp, and Dome: General marketing research consulting (1981)
Merck & Co.: Marketing Strategy and Marketing Research and Modeling (1991-1996)
Pfizer, Inc.: 1975-1990. Design and analysis of most of the marketing research projects
of Pfizer Laboratories and Roerig. Occasional marketing strategy consultant to the
Hospital Products Group (1984-1986) and Pfizer Pharmaceuticals (1987-1990).
SmithKline Beckman: Marketing strategy development for TAGAMET (1987-1988);
evaluation of strategy implementation (1989)
SmithKline Clinical Laboratories: Marketing planning (1984)
Sterling Drug, Inc.: Development of marketing driven portfolio of R&D projects (1986-
1991); Pricing study for innovative new product (1991-1992)
Upjohn: Strategic planning consulting (1981)
West Jersey Health System: Marketing and Business Strategy (1985)


38
4. Transportation

Air Canada: Market segmentation, positioning and new product development (1973)
Chrysler: Modeling the advertising budget (1978), advising regarding the analysis of
customer satisfaction process (1995-1997)
Conrail: Design of a positioning/segmentation study (1978-1979)

5. Consumer Goods

American Dairy Brands and Schreiber Foods, Inc.: Arbitration (2004)
Campbell Soup: Advertising Strategy, 91-96, 2005-07; Taste Tests (2001-2003)
Coors Brewing Company, Pricing and positioning (2001)
DAYMON: Marketing Strategy (since 2003-05)
Eastman Kodak: New product research approaches (1978)
R.J. Reynolds Tobacco Co.: Evaluation and design of a new product development
system (1979-1980)
S.B. Thomas: Marketing and research consultant (1979-1980)
Simplicity Patterns, Inc.: Develop a business plan (1982)
Pepsi: Research support for the Pepsi Challenge and related campaigns (1978, 1981,
1990, 1995, 1999)

6. Industrial Products and Services

International Harvester: Designing a market segmentation process (1980)
Stauffer Chemicals: General marketing consulting (1980)
Exxon Chemicals: Marketing and Business Strategy (1985-1986)
John Fluke Manufacturing Co., Inc.): Marketing and corporate strategy (1985-1988)
ITT Water Technology Group (2004-2005)

7. Retailing

Sears Roebuck & Company: Advertising and marketing strategy (1972-1973)
Wickes, plc: U.K. Marketing and Business Strategy Consulting (1988-1996)

8. Professional Service Firms

Applied Communication Research (1974-1976)
BBD&O (on an occasional basis, 1974-1985)
Cunningham and Walsh, Inc. (1978)
DMB&B (1993)
Doyle Dane Bernbach: Evaluation of a campaign claim (1980)
Gahagan Research Associates, Inc. (selected projects, 1972-1978)
Hakuhodo. Marketing Strategy for the 21
st
Century (1992-1995)
IMS America (1997)
Market Research Corporation of America (MRCA) (1975-1987)
McConnel Advertising (Montreal), (1974)
Medicus (1989-1997)
Morgan, Lewis & Bockius: Development of Business Strategy (1992-1994)
MS&L: Marketing consulting (1995-1997; 2001-2002)
National Analysts (1975-1976)
Oxtoby-Smith (selected projects, 1972-1978)
Price-Waterhouse Coopers LLP (marketing and corporate strategy consulting, 1996-
2001).
Professional Marketing Research, Inc. (1977-1978)
Robinson Associates (1969-1975)
Standard & Poors (1997-2000)
Whittlesey and Partners (1972-1973)
Y & R (1989)

39
9. Trading Companies, Real Estate Development

Li & Fung: Business Strategy consulting (1998-)
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
Dewey Companies: Marketing and Business Strategy consulting (2003)

B. Directorship

IDT (2005-2008)
Ecquaria (2001-04)
Enhance Financial Services (1997 until acquisition by Radian Group, Inc. in 2001)
Credit 2B (2001)
CASA Center for Adaptive Systems Applications Inc. (1999 Until acquisition by HNC in 2000)
Access Technologies Group, co-founder and chairman (1992-1996)
Contel Corporation, member of the Board of Directors (1988 Until acquisition by GTE in 1991)
Dover Regional Bank Shares, member of Board of Trustees (1986-1990)
Shooting Stars, Inc., member of the Board of Directors (1986-1990)
Reality Technologies, Inc. (1988-until acquisition by SEI Investments in 1990)
The Cortlandt Group, Inc., Co-founder and Chairman of the Board of Directors, (1979-1986)

C. Illustrative Advisory Boards
Cisco Collaboration Consortium (2009-)
Arshiya (India) (2007-)
Decision Lens (2005-)
Mutual Art (2003-)
NetXentry (WebForPhone) (2000-)
Ad4ever (2000-2003)

D. Expert Witness: Marketing and Marketing Research Consulting in Legal Cases

Alschuler, Grossman and Pines: Packard Bell vs. Compaq, 1995-1996
Arent, Fox, Kitner, Plotkin & Kahn: Marketing research consulting re: Estee Lauder, 1987
Arnold, Whiite and Dunkee: The Clorox Co. vs. Dow Brands Inc. re: Smart Scrub v. Soft Scrub,
1995
Arnold & Porter:
(a) Schering v. Pfizer, Perceived sedation of Zyrtec, 2000
(b) Pfizer: Physicians beliefs concerning prescription antihistamine products in terms of their
sedating/non-sedating characteristics 2002
Baker & McKenzie:
(a) G.D. Searle & Co. and subsidiaries litigation in the U.S. Tax Court, 1982
(b) American Republic Insurance Co. vs. Americare Inc. and American Dental Centers P.C.,
1988
Berle, Kass and Case: Evaluation of public attitude re: Burlington County Bridge Commission,
1992
Bilzin Sumberg Attorneys at Law, Lennar Corporation vs. Michael C. Morgan, 2007
Bingham McCutchen LLP: Sharp Computer v. Dell Inc., 2010
Maurice Blackburn Cashman Commercial (Australia), Biota Holdings Limited vs. GlaxoSmithKline
re. Relenza, 2007-2008.
Blanchard, Krasner & French, Consulting Re. Aerus, 2006-2007
The Calorie Control Council vs. FTC re: the Saccharin case, 1979
Covington and Burling:
(a) The Proprietary Association vs. FTC re: over-the-counter (antacids) drugs, 1979
(b) FTC Staff Report on cigarette advertising investigation 1981-1983 including appearance
before congressional committee in hearing on H. R. 1824: The Comprehensive Smoking
Prevention Education Act
(c) International Telecharge Inc. vs. AT&T, 1992-1994
(d) Dream Team Collectibles vs. NBA Properties (re: Dream Team), 1996
(e) G. A. Modefine S.A. v. Armani.com, 2003-2004
(f) Defence in Class Action Re: IBM REAP Educational Benefit, 2006-

40
(g) Spirits Int Nv vs. S.S. Taris Zeytin Vezeytinyagi Birliei, Re: Moskovskaya, 2006-2008
(h) Cunningham v. International Business Machines Corp., 2007.
Cravath Swain and Moore:
(a) Amertech Corporation, et. Al. v. Lucent Technologies Corporation [Arbitration], 1997
(b) Louis Vuitton v. Dooney & Bourke, Inc., 2004
Crude Oil Resellers vs. U.S. Department of Energy Economic Regulatory Administration re: the
proposed crude oil reseller price regulations, 1979, including presentation at public hearing
Darby and Darby. Proctor & Gamble vs. Colgate, Palmolive, and Y&R re: China advertising, 1997
Davis Polk & Wardwell LLP
(a) P&G and Sanofi-Aventis US vs. Hoffman-La Roche Inc and GlaxoSmithKline, Inc. Re.
Boniva, 2007
(b) Procter & Gamble Pharmaceuticals, Inc., and Sanofi-Aventis US LLC, v. Hoffman-La
Roche Inc. and Glaxosmithkline, Inc., 2006
Dechert Price & Rhoads:
(a) The Mutual Assurance Co. vs. American Council of Life Insurance and Health Insurance
Association of America (re: The Green Tree), 1983-1984
(b) INC vs. Manhattan, Inc., 1985
(c) Tunis Brothers Co. vs. Ford Motor Credit Co., 1988
(d) Allerest vs. Alleract, 1988-1990
(e) Campbell Soup Co. vs. Conagra, Inc. (Various deceptive advertising cases) 1991-1996
Department of Justice, Antitrust Division: Consulting in a number of cases since 1996, including
Microsoft Network, ski resorts, Echostars proposed acquisition of DirecTV, and dental supplies
Dilworth, Paxson, Kalish, Levy and Kauffman: Prince Castle vs. Le-Jo Enterprises, 1977-1978
Fitzpatrick, Cella, Harper & Scinto: The Gap, Inc. and Gap (Apparel) LLC v. G.A.P. Adventures,
Inc., 2010
Forrest, Hainline III, American Pasta Co. vs. New World Pasta Co. (re: Americas favorite
pasta), 2002
Fulbright & Jahorski: Deere and Co. vs. MTD Holdings, 2003
Gibson, Dunn, & Crutcher:
(a) Pfizer, Inc. vs. International Rectifier Corp., 1982-1983
(b) Thompson vs. General Nutrition Corp., 1985
(c) New Vector vs. Metro Mobile, 1986;1992
(d) Air Passenger CRS Antitrust Litigation vs. American Airlines, 1987-1990
(e) Quintons/Mahurkar vs. Shiley
(f) McCaffrey vs. Pfizer re: Plax, 1990
(g) The Travel Difference vs. The Time Mirror Co. (LA Times), 1992
(h) Toyota re: class action defense vs. Staples Stillwell on the destination charge on
Monronery Stickers,1995-1996; 1999-
(i) Hewlett-Packard vs. Nu-Kote Int. Inc., Anti-trust, 1998-1999
(j) LA Cellular AT&T Wireless class action defense, 2002, 2004-
(k) Hewlett Packard defense vs. Staple Stilwell in class action suit re economy cartridge, 2003
Gold, Farrel & Marks: Miramax Film Corp. vs. Columbia Pictures Entertainment, re: I Know What
You Did Last Summer (1997)
Goodwin Procter LLP:
(a) FTC vs. New Balance re: made in USA, 1995-1996 [FTC Hearing] and consulting, 1998
(b) Public Media Center and People of the State of California vs. Tri-Union Seafoods,
Delmonte Corp & Bumble Bee Seafoods. Re: Proposition 65 Mercury In Tuna, 2006
(c) Environmental World Watch, Inc. v. The Procter & Gamble Distributing Co., Los Angeles
Superior Court No. BC 338895; Council for Education & Research on Toxics v.
McDonalds Corp., et al., Los Angeles Superior Court No. BC 280980; and People of the
State of California v. Frito-Lay, et al., Los Angeles Superior Court No. BC 337618, 2007.
Greenberg Traurig LLP
(a) Chatham et al v. Sears Roebuk & Co. Re: Craftsman Made in USA, 2007-
(b) Whirlpool Corp. vs. Sensata Technologies and Texas Instrument, Inc., 2011
(c) Curt Schlesinger v. Ticketmaster, 2011
(d) Santamarina , et. al. v. Sears Roebuck & Company, 2012
Hapgood, Calimafole, Kalil, Blaustein & Judlowe: Merrill Lynch vs. Paine Webber (re. RMA), 1985
Heller, Ehrman, White, and McAuliffe: Apple Computer Securities Litigation, 1985-1986.
Herling, Lindeman, Goldstein and Siegal: Roli Boli vs. Pizza Hut, 1997

41
Hill, Betts, and Nash: Fender Musical Instruments Inc. vs. E.S.P. Co., 1985
Howrey, Simon, Arnold & White:
(a) Sands, Taylor and Wood vs. The Quaker Oats Co. re: Thirst-Aid, 1987
(b) Syntex, Inc. vs. Schering-Plough Healthcare Products, Inc. re: Femcare, 1992
(c) Anheuser Busch (re Bud Dry commercials), 1993
(d) Anheuser Busch vs. Labbatt (re: Ice Beer), 1994-1995
(e) Anheuser Busch vs. Samuel Adams, 1995
(f) Anheuser Busch vs. United Guiness Distillers (re: Red Label from Budweiser), 2002
(g) Nissan North America vs. BMW (re: Z), 2002
(h) Consulting Re: Schering Plough, 2007
IT&T Continental Baking vs. FTC re. Fresh Horizons advertising, 1977-1978
Jenner & Block:
(a) General Dynamics vs. AT&T. re: Antitrust litigation, 1987-1990
(b) AT&T vs. MCI re: Telemarketing Practices 1990
(c) Recording Industry Association of America, Re: Adjustment of Rates & Terms for Satellite
Digital Radio Services (Copyright Royalty Board), 2006-2008
(d) In Re: Adjustment of Rates and Terms for Preexisting Subscription Services and Satellite
Digital Audio Radio Services before the Copyright Royalty Board, 2007
Kaye, Scholer, Fierman, Hays & Handler:
(e) Automated Bread Dist. Corp. vs. General Foods Corp. (Re: Freihofer Baking Co.), 1991-
1992
(f) Zone Perfect Nutrition Co. vs. Hershey Foods Co., 2004
Kenyon & Kenyon:
(a) Mead Data Control, Inc. vs. Toyota Motor Sales, U.S. re: Lexis vs. Lexus, 1988
(b) Hiram Walker and Sons vs. White Rock Distilleries re: Kapala-Kahlua
(c) America Online vs. AT&T Corp. re: ATT&Ts You Have Mail, 1999
(d) Twentieth Century Fox Film vs. Marvel Enterprises, Inc. (re: Mutant X), 2002
(e) Petition for Cancellation of the Registration of the Gakic Mark, 2006
Kirkland and Ellis
(a) Kraft Foods Inc. and Capri Sun vs. Minute Maid, 1997
(b) Time Inc. vs. Peterson Publishing Co. re: Teen vs. Teen People, 1997-1998
(b) Brach and Brock vs. James River re: Royals candies, 1998-1999
(c) Hermes vs. Lederer, re: the Kelly Handbag, 1998-2001
Kirkpatrick and Lockhart: McPalland et al v. Keystone Health Plan Central, Inc. (re: class
certification of SeniorBlue Customers, 2001-2002
Kleinfeld, Kaplan and Becker: re: Iron-Kids Bread Package, 1991
K&L Gates LLP:
(a) Quia Corp. v. Mattell Inc. and Fisher-Price Inc., 2010.
(b) Sara Lee Corporation v. Kraft Foods, Inc. and Kraft Foods Global, Inc., 2011
(c) Sara Lee Corporation v. Kraft Foods, Inc. and Kraft Foods Global, Inc., 2012
Kramer Levin LLP: Finjan, Inc. v. McAffe, Inc., Symantec Corp., Webroot Software, Inc.,
Websense, Inc., and Sophos, Inc., 2012
Lee, Toomey, and Kent Pfizer Pharmaceuticals vs. the IRS, 1978-1979
Lempres & Wulfsberg and Kutak, Rock, & Campbell: Evaluation of Expert Reports, re:
International Pharmaceutical Products, Inc., 1985-1990
Liddy, Sullivan, Galway, and Begler:
(a) Coopervision, Inc. vs. CTL, Inc. (re: Permatint), 1985
(b) Johnson & Johnson, Inc. vs. Oral-B Laboratories (re: Minute-Gel), 1987
(c) Soft Sheens Care Free Curl vs. Revlons I of Nature (Trademark), 1986-1987.
(d) Oral-B Laboratories, Inc. vs. Johnson & Johnson, Inc. (re: Reach Advertising), 1986-
Locke Lord Bissell Liddell: The Gap, Inc. and Gap (Apparel) LLC v. G.A.P. Adventures, Inc.,
2009.
Lowenstein, Sandler: Princeton Economics Group vs. AT&T (re: class action defense of spirit),
1994-1995
Maurice Blackburn Cashman Pty Ltd: Biota Holdings Ltd and Anor vs. Glaxo Group Ltd. & Ors.
Re: Relenza, 2006-
Mitchell, Silberberg & Knupp: Stella Foods Inc. vs. Cacique IC, re: Ranchero, 1997-1999
Morgan, Lewis and Bockius: Scott paper defense in the Turnabout Marketing Case, 1983
Morison, Cohen, Siner, and Weinstein, Hertz v. Avis, 1994.

42
Morrison & Foerster [and Bingham McCutchen; Arnold & Porter; Goodwin Procter; Greenberg
Traurig]
(a) Prop 65 [Re Acrylanide in Potato Chips and French Fries]: Environment World Watch Inc.
v. P&G Distributing Company
(b) Council for Education and --- on Toxins v. McDonalds Corp
(c) People of the State of California v. Frito-Lay Inc., 2007-2008.
Moses & Singer:
(a) THOIP (A Chorion Limited Company) v. The Walt Disney Company, 2009.
(b) THOIP (A Chorion Limited Company) v. The Walt Disney Company, 2010
Munger, Tolles and Olson:
(a) FTC vs. Polygram Holdings et al. re: Three Tenors Case 2001-2002
(b) Universal vs. MGM (re: Rollerball) 2002
Odutola Law: Spirits Int. Nv. vs. Distilleries Melville Ltd. Re: Moskovskaya vs. Moskova, 2007-
Pattishall, McAuliffe, Newbury, Hilliard, & Geraldson:
(a) S.C. Johnson and Son, Inc. vs. Carter Wallace (Edge vs. Rise), 1983
(b) Anheuser Busch vs. Stroh Brewery Co. and vs. Miller and Heillman, (re: LA beer), 1984-
1985
(c) S. C. Johnson & Son Inc., re: Lenvie, 1986-1987.
(d) Shelby Motor vs. Ford, 1988.
(e) GFA Brands Inc. and Fitness Foods Inc. vs. Canbra Foods Ltd. and Campbell Mithun/Esty,
Inc. re Heartlight, 1990-1991.
(f) AT&T vs. MCI (various deceptive advertising cases) 1991-
(g) Walt. Disney vs. Good Times, 1993
(h) Car Freshener Corp. vs. S.C. Johnson and Son, Inc. (re:Glade Plug Ins Air Freshener Design),
1994
(i) International Telecharge, Inc. vs. AT&T, 1992-1994
(j) S.C. Johnson and Son, Inc. vs. Avon (re: Skin So Soft) 1996
(k) GTE Card Services Inc. vs. AT&T, 1996
(l) SunAmerica Corp. vs. Sun Life Assurance Co. of Canada 1993-1995, 1997-1998 [W.H.
Covington and Burling]
(m) Blue Cross Blue Shield vs. American Medical Association, re: CPT, 1998
(n) Encyclopedia Britannica, Inc. vs. Britannica Home Fashions, Inc., 1999
(o) Simon Property Group, L.P. v. mySimon Inc., 2001-
(p) Montblanc Simplo Gmblt v. Savonerie et Parfumerie Bernard, 2001
(q) Old World Industries, Inc. vs. AutoMeter Products, 2002
(r) JLJ Inc. v. Santas Best Craft (Christmas tree lights), 2004
(s) Energy Brands Inc. (Glaceau) vs. Pespico Inc. + South Beach Beverage Co., Inc Re: Sobe
Life Water, 2006
(t) Auto Meter Products Inc. v. Maxima Technologies & Systems LLC, 2007
Paul, Weiss, Rifkin, Wheaton and Grasser:
(a) Revlon vs. LOREAL re: Colour Endure Commercials 1995
(b) Revlon vs. Cover Girl self-renewing lipstick advertising, 1996 [NAD]
(g) Castrol vs. Penzoil (re comparative advantage) 2008.
Pepper, Hamilton and Scheetz:
(a) Del Monte Corp. vs. Sunkist Growers, Inc. Arbitration, 1990-1991
(b) Sun Oil Company defense against class action certification, 1996-1997
Pennie & Edmonds IT&T Continental Baking (C&C Cola): defense against Coca Cola re: C&C
Cola, 1978
Pillsbury, Madison & Sutro: Consulting re:
(a) Thrifty Rent-A-Car vs. Elder, 1991-1992
(b) Green Giant American Mixtures, 1994
(c) Chrysler Corp. vs. Replacement Sheet Metalparts Distributors, 1992-1993
Pillsbury Winthrop LLP
(a) Mulligan v. Pacific Bell Telephone Co. (inside wiring), 2004
(b) State of California vs. Tri-Union Seafoods, et al. (Canned Tuna, Proposition 65)
Quinn Emanuel: Louis Vuitton Malletier, S.A. v. Hyundai Motor American, 2011
Rogers and Wells [and the Italian Trade Commission], re: Italian pasta dumping case, 1996

43
Sidley and Austin:
(a) Industrial Gas litigation, 1986
(b) Land OLakes, Inc. vs. Bakers Franchise Ltd., 1987
(c) Ultramar, Inc. vs. CITGO Petroleum Corporation, 1997
(d) AT&T vs. US West Communications, re: US West advertising, 1998
Sills, Cummis, Zuckerman, Radin, Tischman, Epstein and Gross: E.R. Squibb and Sons, Inc. vs.
Stuart Pharmaceuticals, 1991.
Skadden, Arps, Meagher, & Flom:
(a) American Home Products vs. Beecham re: Delicare commercials, 1986
(b) Tambrands, Inc. vs. Warner-Lambert Co. re: EPT commercials, 1986-1987
(c) Beecham Inc. vs. Yankelovich, Clancy, Shulman and Saatchi & Saatchi Holdings, Inc., re:
projections for Delicare, 1986-1988
(d) American Express vs. MasterCard re: Goldcard, 1988
(e) Challenge to the networks by Sterling Drug re: Bristol Myers Tribuffered Bufferin
commercials, 1988
(f) Challenge by Dow Brands, Inc. of the TV advertisement for Reynolds Metals Companys
SURE-SEAL food storage bags, 1989
(g) Anheuser-Busch Company vs. Coors Brewing Company (various deceptive advertising
cases) 1991-1993
(h) R.H. Donnelley vs. Sprint Publishing and Adv. Inc., re: Sprint Yellow Pages, 1996
(i) Anheuser Busch vs. Boston Beer re: A-B advertising [NAD], 1997
Spirits International BV: N.V. vs. S.S. Taris Zeytin, Opposition No. 91163779 before the
Trademark Trial and Appeal Board, 2006
Steptoe & Johnson LLP: DirectTV Inc. and EchoStar Satellite LLC v. William W. Wilkins,Tax
Commissioner of Ohio 2006-2007
Sullivan & Cromwell: Remington Rand Corp. vs. Amsterdam-Rotterdam Bank N.V., 1991
Van Hagey & Bogan, Ltd.: Consulting re: The Quaker Oats Co, 1991
Vinson & Elkins LLP: Wal-Mart Stores, Inc. v. GFA Brands, Inc., 2009.
Weil, Gotshal and Manges:
(a) Johnson & Johnson vs. SmithKline Beecham, Re: Tums Advertising, 1991
(b) Schering-Plough Healthcare Products vs. Johnson and Johnson, Inc. re: Neutrogena
Chemical-Free Sun Block, 1996
(c) Pharmacia Corp. vs. Glaxosmith Kline Consumer Healthcare (re: NicoDerm advertising),
2002-2003
(d) Priceline.com re: NAD, 2003
White & Case:
(a) Trovan Ltd. and Electronic Identification Devices vs. Pfizer Inc. re: Trovans trademark,
1999
(b) Frederick E. Bouchat vs. Baltimore Ravens, Inc. and NFL Properties Inc., (re: the Ravens
Logo), 2001-2002
(c) Oakland Raiders vs. TBB and NFL, 2003 [with Bingham McCutchen]

44
Whiteman, Breed, Abbott & Morgan:
(a) Pepsi Cola Company: Defense against Coca Cola Co. re: The Pepsi Challenge, 1978;
1981; 1995 [Mostly with the NAD]
(b) Burger King Comparative Advertising Campaigns vs. McDonalds and Wendys, 1982-
1990
Winston & Strawn, LLP
(a) Verizon Directories Corp. vs. Yellow Book USA, Inc., 2004
(b) Merix Pharmaceuticals vs. GlaxoSmithKline, Re: Releev, 2006
(c) Dyson Technology Ltd. vs. Maytag Corp., 2006-2007
(d) Procter & Gamble Co. vs. Ultero Inc. 2007
(e) Dyson Technology Limited v. Hoover, Inc. and Maytag Corp., 2007
(f) GlaxoSmithKline Consumer Healthcare LP v. Merix Pharmaceutical Corp, 2007
(g) Doctors Associates Inc. vs. QIP Holders LLC & iFilm Corp.: Subway vs. Quiznos, 2008
(h) LG Electronics USA, Inc. v. Whirlpool Corp., 2009.
(i) The Scotts Company LLC v. Central Garden & Pet Company and Gulfstream Home &
Garden, Inc., 2009.
(j) Dyson, Inc., v. Oreck Corporation, Oreck Holdings, LLC, Oreck Direct, LLC, Oreck
Merchandising, LLC, Oreck Sales, LLC, Oreck Homecare, LLC, and Oreck@Home, LLC
2009.
(k) LG Electronics USA Inc. v. Whirlpool Corporation, 2010.

E. Illustrative Marketing Research Clients:

1. Air Canada (1973)*
2. American Cyanamid (1972-1973)*
3. Atlantic Richfield Company (1971-1972)*
4. Bankers Trust Company (1973-1974)*
5. Bell Telephone Company of Pennsylvania (1974;1977)
6. BBD&O (1974-1982)
7. Bissell, Inc. (1969-1971)*
8. Bristol Myers Squibb (1998-)
9. Brown & Williamson Tobacco Corp. (1978-1979)
10. Bureau of Newspaper Advertising (1974)*
11. CBS (1972)
12. Campbell Soup Company (1972-1973)*
13. Chrysler (via BBD&O) (1975-1978)
14. Clorox Company (1975-1976)
15. Colonial Penn Group, Inc. (1973-1979)
16. Commercial Union Assurance Companies (1974-1975)
17. Connecticut Bank and Trust Company (1972)*
18. Downe Publishing, Inc. (1972-1973)
19. Eastman Kodak Company (1973)*
20. E.F. Hutton (1981-1984)
21. Edward D. Jones (1985-1987)
22. First Pennsylvania Banking and Trust Company (1971-1972; 1974-1975)*
23. General Electric (via BBD&O 1977) (1982)
24. General Foods Corporation: the Jell-O and Kool-Aid divisions and various departments of the
corporate product development division (1969-1972)*
25. Geometric Data (1981)
26. International Air Transport Association (1973-1975)*
27. International Harvester Credit Corporation (1973-1974)*
28. International Harvester Company (1975)
29. IT&T Continental Baking Company (1972-1978;1982)
30. Lever Brothers Company (1971-1973)*
31. Marriott Corp. (1982)
32. Modern Medicine (1970)*
33. MRCA (1975-1987)
34. Pacific Bell (1981-1982)

45
35. Pepsi Cola (1981)
36. Pfizer Pharmaceuticals, Inc. (1975-)
37. Pillsbury (1975)
38. Pioneer Electronics of America (1978)
39. RCA Computer Division (1972)*
40. Sears Roebuck & Company (1972-1973)*
41. SEI Investments (1988-)
42. Singer (1973)
43. SmithKline and French (1971)*
44. Snelling and Snelling, Inc. (1973-1974)
45. Sterling Drugs (1985-1986; 1990-1992)
46. Stroh Brewery Company (1970)*
47. Sun Oil Company (1972)*
48. Syntex Laboratories, Inc., (1976-1977)
49. Twentieth Century Fox (via the Data Group, Inc.) (1972)
50. UNICOM (1973)
51. U.S. Dept. of Commerce, Office of Telecommunications (1972)
52. The Wool Bureau, Inc. (1975)
53. Western Airlines (via BBD&O) (1979)

The research projects designed and conducted for these firms covered variety of consumer and
industrial marketing problems including product positioning and market segmentation, new product
development, generation and evaluation of new products, and promotional concepts. Projects with *
were conducted via Robinson Associates.

F. Illustrative Marketing Research Program Evaluation and Redesign:

1. IT&T Continental Baking: copy and concept testing, segmentation studies (1972-1978)
2. Brown and Williamson: copy and concept testing (1978-1979)
3. Colonial Penn: all aspects of research (1973-1980)
4. Pfizer Pharmaceuticals: image studies, new product selection models, etc. (1975-1990)
5. R.J. Reynolds Tobacco: new product development system (1979-1980)
6. Bristol Meyer Squibb: Redesign of the Marketing Research function and various research and
modeling procedures (1999-)

G. Illustrative Intra-Company Marketing Strategy (and Marketing Research) Workshops:

1. American Medical International (1978)
2. Amoco Fabrics Co. (1984; 1988)
3. ARA (1983)
4. Associacion Mexicana de Ejecutivos en Planeacion (1979)
5. Atlantic Richfield Company (1971)
6. AT&T (1972-1978)
7. Bank of East Asia (2005)
8. BBD&O (1974-1983)
9. Bell Atlantic (1983)
10. Bell Canada (1980)
11. Black and Decker (1981)
12. Bristol Myers Squibb (1998)
13. The Bunge Group (1982)
14. Campbell Soup (1972)
15. Career Futures, Inc. (1975)
16. Certain-Teed Corporation (1983)
17. The Clorox Company (1975)
18. Colonial Penn Group (1975-1980)
19. Computer Science Corporation (1975)
20. Contel (1989)
21. Daymon (2004)
22. Di Giorgio Corp (1980-1981)

46
23. Deutsche Bank (2004)
24. Edward D. Jones & Co. (1983)
25. E.F. Hutton (1979-)
26. Ethicon, Inc. (1979)
27. The Executive Forum (1979)
28. General Foods (1970)
29. Gray Advertising, Inc. (1977)
30. IBM Applied Business Systems (1988)
31. International Harvester (1974-1975)
32. Intermountain Health Care, Inc. (1978)
33. ITT Water Technology Group (2004)
34. Li & Fung (2005)
35. Los Angeles Times (1993)
36. Machinist Publishing Co., Ltd., Japan (1977)
37. Miles Laboratories Ltd., Canada (1973)
38. MRCA (1978)
39. New York Telephone Company (1976)
40. Pfizer Pharmaceutical, Inc. (1975-1987)
41. Phillips Petroleum Company (1992-1993)
42. The Pillsbury Company (1976)
43. Rhodia, Brazil (1979)
44. Schlachman Research, U.K. (1975)
45. SEI Corporation (1990-)
46. SmithKline & French (1970)
47. Spectra-Physics (1983)
48. Standard & Poors (1998)
49. Syntex Laboratories, Inc. (1976)
50. 3Ms Marketing Council(1986)
51. Tektronix, Inc. (1978)
52. Unilever, U.K. (1975)
53. Union Mutual (1981)
54. Wyeth International Ltd. (1980)
55. Xerox (1981)

H. Selected International Consulting

1. UNIG, Singapore, Business Strategy (2000)
2. Li & Fung, Hong Kong: Business Strategy (1998-)
3. Wickes, plc., UK: Marketing and business consulting (1988-1996)
4. Hakuhodo, Japan: Design of a 21
st
Century Advertising Agency (1993-1997)
5. McKinsey, Milan: New Developments in Marketing Strategy, Research, and Modeling (1988)
6. Sunstar, Japan: Marketing and Business Strategy (1985)
7. Bunge Group, Brazil: Marketing planning (1982-1986)
8. Meridian Group U.K.: Marketing and Business Strategy (1985-1986)
9. P.E. Consulting Group, South Africa: Strategic planning & Marketing Consulting and Conducting
Executive Seminars (1982)
10. Bell Canada, Canada: Market Segmentation Study (1979-1981)
11. Cooperative de Seguros de Vida, Puerto Rico: Design of a marketing planning system (1980)
12. Discount Bank, Israel: Marketing planning (1980)
13. Bank Leumi Ltd., Israel: Marketing planning (1978)
14. Fuji electric, Japan: Design of a management planning process (1977)
15. Koor Industries, Israel: Designing and organizing the marketing function for the corporations 34
companies (1968-1969)

I. Consulting to Government Agencies

1. FinCen/BENS project on Terrorist Financing, 2003-2004
2. U.S. AIR FORCE: Evaluation of the Air Force resource allocation procedure (1980-1981)

47
3. CANADIAN GOVERNMENT: Industry, Trade & Commerce Design and execution of a study for
evaluation of the U.S. market potential for selected Canadian medical diagnostic and therapeutic
products (1980-1981)
4. U.S. PATENT AND TRADEMARK OFFICE: Designing a strategic planning system (1981)
5. NASA: Evaluation of NASAs IACs 1976 advertising campaign and recommendations for its
future advertising and marketing strategy (1977)
6. ISRAEL DEFENSE MINISTRY: Analyze and evaluate the marketing system of the Administered
Areas (Arab territory prior to the 6-Day War). The findings and recommendations of this study
were submitted in classified report to the Israeli Defense Ministry (1968-1969)

J. Consulting/Advising to Research Organizations

1. Member of the advisory committee of the Diebold Institute study of the impact of public policy on
entrepreneurial startup companies: the U.K. and U.S. in biotech and IT, 1998 -
2. Institute of Business and Economic Research, University of California, Berkeley. Consultant on
the Coping Behavior (an empirical study of the consumer-technology interface) project,
sponsored by the National R&D Assessment Program, NSF. (1976-1981)
3. Pennsylvania Science and Engineering Foundation, Temple University/Applied Communication
Research, Inc. Research consultant for design, analysis, and evaluation of an NSF (Office of
Science Information Services) sponsored project concerning the design and evaluation of
experiments for the marketing of scientific and technical information services. (1974-1977)
4. EDUCOM: Inter-university Communications Council, Inc. Participant in an interdisciplinary
seminar to identify and measure special interest audiences for public television. (1974)
5. The John and Mary R. Markle Foundation.
6. Participated in a workshop for design of Quality Ratings of TV Programs. (1979)
7. Participated in the design of a study on special interest audiences. (1975)
8. Marketing Science Institute Consultant from February 1967 to December 1968. Conduct and
plan research projects primarily in the areas of industrial buying behavior, advertising, and
international marketing.
9. Marketing Science Institute U.S. Department of Agriculture Study Group on Marketing
Performance Principle investigator, March-December 1968. Developed a model for the
evaluation of the performance of the U.S. marketing system.
10. Management Science Center University of Pennsylvania Senior staff member September 1967
to July 1968. Engaged in the development of a marketing model for Anheuser-Busch.

UNIVERSITY ACTIVITIES

University of Pennsylvania, The Wharton School
A. Program Development

1. Help the MBA Review Committee to develop a Fast Track MBA, 2010.
2. The Wharton Fellows
In 2010, Wharton Fellows created a partnership with the Conference Board
(http://www.conference-board.org/wharton/) to enhance the Wharton Fellows approach of
combining experiential learning with visits to best-practice companies around the globe.
Wharton Fellows Master classes Dr. Wind designed and directed included:
November 27-December 2, 2000: Philadelphia
January 7-January 12, 2001: Silicon Valley
February 18-February 24, 2001: Barcelona
March 15-March 17, 2001: Philadelphia
May 6-May 12, 2001: Philadelphia, Wharton Fellow in e-Business
June 3-June 7, 2001: Barcelona
June 8-June 9, 2001: Helsinki
July 8-July 14, 2001: Silicon Valley
March 17-March 22, 2002: CEO Forum & Foundations I: Philadelphia
April 21-April 25, 2002: Foundations II: Silicon Valley/San Francisco

48
June 9-June 11, 2002; Munich
November 3-November 8, 2002: Foundations I: Philadelphia
January 5-January 9, 2003: Foundations II: San Francisco
September 7-Spetember 9, 2003: Top Line Growth in Turbulent Times: Philadelphia
January 7-January 9, 2004: Success: Whats Next?: Seattle
April 25-April 28, 2004: Milken & the Media: Los Angeles
June 1-June 8, 2004: Leveraging Japan: Tokyo; China: Transformation from the Inside:
Shanghai
September 12-September 14, 2004: Toward a New Europe: Prague, Czech Republic
December 12-December 14, 2004: Merger, Acquisition and Renewal: New York
March 6-March 9, 2005: Market & Sourcing Opportunities in India: Mumbai &
Bangalore, India
June 26-June 27, 2005: Working with Government, Washington D.C.
September 22-September 27, 2005: Design, Innovation and Strategy:
Copenhagen/Milan
December 4-December 6, 2005: Opportunities in Latin America and the US Hispanic
Markets: Miami
February 25-February 27, 2007: Doing Business in an Evolving World, Philadelphia
May 21-May 23, 2007: Globalization Revisited, Shanghai
October 14-October 16, 2007: The Next Big Thing, Silicon Valley
January 7-10, 2008: Marketing to Electronics Savvy Consumers, with David Reibstein,
Las Vegas.
May 4-6, 2008: Creativity and Innovation, with Karl Ulrich, Philadelphia.
October 11-14, 2008: Islam and the West: Insights and Opportunities, with Bulent
Gultekin, Dubai.
May 17-18, 2009: Philadelphia: Finding Opportunity in Times of Economic Crisis
October 25-27, 2009 Washington DC: Opportunities in Times of Crisis: The Changing
Relationship between Business and Government
July 6-10, 2010: China: Insights and Opportunities, Shanghai, China.
October 8-12, 2010 Israel: The Holy Land of Innovation and Entrepreneurship
February 20-22, 2011 Philadelphia: Whats Next in Management Disciplines and
Business Transformation?
October 9-11, 2011 Buenos Aires: Argentina: Insights and Opportunities
October 13-15, 2011 So Paulo: Brazil: Insights and Opportunities

3. The MBA X-Functional Integration Initiative (2003-2005)
4. A number of Executive Development Programs including :
Winning in the Next Millennium: Strategies for Driving Change: Initiator and Director,
December 1998.
Wharton on the New Reality of Business: Co-Academic Director with Bob Mittlestaedt,
December 2001.
IDCs MBA @ Wharton Program, 2003-2004, October 2007, 2008, 2009, 2010 (co-
director with Ziv Katalan).
5. The e-Curriculum R&D Initiatives. Initiator/Chair of the Committee that designed the new
program platform and the e-Curriculum R&D Initiatives (1999-2000) and continued direction and
reinvention of the program.
6. The Advanced Management Program (AMP) Design Team (1998).
7. Whartons Information Management Initiatives (1998-1999). Founder and co-chair (with Paul
Kleindorfer) of its faculty council.
8. The Revised MBA Curriculum (1990-1991). Chaired the committee that developed the new
curriculum.
9. The SEI Center for Advanced Studies in Management, founding Director. Develop and direct all
Center activities and chair its faculty council, 1988-.
10. The Joseph H. Lauder Institute of Management and International Studies, founding Director and
chairman of its faculty council. Designed and directed all the Institutes programs, including the
establishment of the Institute MBA/MA program which admitted its first class of 50 students in
May 1984, February 1983-July 1988.

49
11. Wharton International Forum. Initiated and designed the original program and chairman of its
faculty council, 1987-1998.
12. Wharton Ph.D. with M.A. in International Studies. Initiated the joint program, 1988.
13. Wharton Center for International Management Studies (renamed as the Wurster Center, 1988)
founding director. Designed/directed all the Centers activities aimed at the stimulation of
international research at Wharton and the internationalization of the faculty and programs,
1980-1983.
14. The Wharton/SIA (Security Industry Association) Marketing Program. Initiated and designed the
program which held sessions on April 1982 and November 1982.
15. The Wharton Recanati Multinational Marketing and Management Program, Co-founder, 1978.
16. The Wharton Executive MBA (WEMBA) program, chaired the committee that developed the
program, 1974.
17. Marketing Programs, participated in the redesign of the marketing MBA programs, 1970; Ph.D.
1971; and Undergraduate, 1973 and 1981; including the initiation of The Wharton Dual MBA
Major in Marketing/Multinational Enterprise.

B. Courses Developed and Taught

a. Developed (courses developed by me are indicated by an *), modified and taught courses
and seminars in:
Advertising Management (MBA)
Channel Management (MBA)
Communication Processes in Marketing* (MBA)
Consumer Behavior* (MBA and Ph.D.)
Creating an e-Business (MBA)*[A binational e-course to Wharton and IDC students)
Creativity* (MBA)
Health Care Marketing* (MBA)
Industrial Marketing* (MBA)
Integrating Marketing and Operations* (MBA) [developed jointly with P. Kleindorfer]
Interactive Marketing in the Age of the Empowered Consumer (MBA)*
International Marketing* (MBA)
Marketing Management (MBA)
Marketing Methods and Applications for Business Consulting* (MBA) [with P. Green]
Marketing Research (MBA and Evening School)
Marketing Strategy (WEMBA*, MBA)
Multinational Management
Necessity and Experimentation: Lessons from Israeli Innovation: Global Modular Courses
Planning Marketing Strategy Projects (MBA)
Product Policy* (MBA)
Promotion Policy (MBA)
Research Seminar (MBA and Undergraduate)

b. Course head: MBA advanced study project (1967-1968, 1974-1979), Marketing
Management for non-majors (1967-1968, 1970-1971), the MBA Core Marketing
Management Course (1970-1971, 1971-1972), Marketing Strategy Seminar (1974-1975)

c. Guest lecturer in various departments of the Wharton School including the Multinational
Enterprise Unit, the Leonard Davis Institute of Health Economics, the Management
Department, Management of the Arts Program, Decision Science, Public Policy and
Management.

C. Committee Responsibility:

1. Marketing Department Committees:

Founding Director and Member, SEI Center for Advanced Studies in Management Board of
Directors, 1989-
Computer Committee 2009-2010.
Curriculum Committee 2008-2010.

50
5 Year Plan Committee (chair), 2004-2005.
Initiator and Chair of a Committee to develop a marketing certification program, 2004-2005
Recruiting/Personnel Committee, since 1971. Chairman Recruiting Committee, 1978-1979;
1981-1983; 1987-1988; Co-chair of the subcommittee for recruiting of STARS 2007- .
Curriculum Committee, Member of Committee and Chairman of a number of its
subcommittees 1967-1978, and 1996-1998. Chairman of the committee
1970-1971,1973-1975, 1976-1978, and 1980.
Ph.D. Program Coordinator, 1972-75. Doctoral Committee, 1988-1989.
External Boards/Affairs Committee, 1987/88; Chair 1988-1989.
Member and Chairman of various departmental Committees, including all the departments
advisory committees since 1971, Marketing Fund Committee since 1983, and its Long
Range Planning Committee, 1970-1971.
Senior Faculty Recruiting, Chairman 1995-1997.

2. Wharton School Committees:

Founder and Member, Wharton Fellows Program CEO Global Advisory Board, 2009-
Dean Advisory Council (since its inception in 1983 to 2000) and 2007/2008; 2008/2009;
2009.
Initiator of a faculty group to generate creative curriculum options as input to the MBA
Review Committee 2010.
Co-Chair, Search Committee for the new Director of the Lauder Institute (2006)
Initiator and developer of Wharton School Publishing in conjunction with Pearson/FT,
Founding Editor and member of the Faculty Editorial Board (2003-)
Chairman, Deans Committee on Cross-Functional Integration (2002-2004)
Member of the Executive Development Faculty Advisory Board (2002-2004)
Member of the Alfred West, Jr. Learning Lab Faculty Committee (2001-2005)
Chairman of a Faculty Committee to assure cross program dissemination of e-Curriculum
Developments (2000)
Member of the Strategic Planning Steering Committee, 1999-2000
Member of the Committee to prepare the strategy for Management, Leadership, and
Organizational Priority area of the Universitys Agenda for Excellence, 1998
Senior Faculty Committee to Review the Global Presence strategy (Summer 1997)
Chairman of the Graduate Curriculum Committee focusing on a critical examination of the
MBA program and its appropriateness for preparing the leaders of the 21
st
century
enterprises. The Committee developed the new MBA curriculum which was tested in
1991/1992 and 1992/1993 and which was fully implemented starting in 1993/1994.
Initiated and organized the Management Education Council the vehicle for corporate
support and funding of the new MBA curriculum, 1992-
The Wharton International Committee: Chairman, 1978-1981, 1982/1983, 1995-1997. [The
1995-1997 committee developed the Wharton globalization strategy.] Member: 1967-1968,
1983-1987, 1989-1991.
Member of Boards of the following Wharton Centers:
The SEI Center for Advanced Studies in Management (Founder), 1988-
The Lauder Institute (Founder) 1983-
Knowledge@Wharton (2011-present)
The Alfred West, Jr. Learning Lab (Initiator of the Lab and Founder of the External
Advisory Committee), 2001-2005
Risk and Decision Process Center, 1984-
The Manufacturing and Logistics Forum, 1992-2000
The Wharton/PIMS Research Center (Co Founder), 1985-1998
U.S. Japan Management Studies Center, 1989-1992
Wharton Emerging Economics Program, 1992-1995
The Wharton Center of International Management Studies (Founder), 1981-1983
Member of the Advisory Committee on Faculty Personnel, 1976-1978; 1984-1985; 1987-
1989; 1994-1995.
Deans Planning Task Force (1986).
Member of the Schools Executive Education Policy Committee, 1987-1989.

51
Member or chairman of a number of Chair Search Committees, including seven chairs in
Marketing (1985, 1987, 1988-1990, 1992, and 1997), Entrepreneurship (1984-1985, 1997-
1998), International Management (1984-1985), Operations Management (1986), the chair
and director of the US-Japan Center (1988-1991), the chair in Managerial Economics
(1989), the chair in Information Technology (1996-1997), and the chair in Electronic
Commerce (1999).
Member of the (ad hoc) Committees to Review Various Units and Departments:
The Snider Entrepreneurial Research Center, 2004-2005
Finance Department, 2001-2002
The Real Estate Center, 1988
Social Systems Science, 1985-1987
U.S. Japan Center, 1985-1986
Multinational Enterprise Unit, 1977-1978
Member of the Schools Faculty Personnel Committees of:
The Health Care Systems Unit, 1974-1975.
The Multinational Enterprise Unit, 1978-1979.
Member of the Committee on Academic Freedom, 1977-1978.
Chairman of the Advisory Committee for the Wharton Executive MBA Program, 1974-1975.
Chairman of the Wharton School Doctoral Admissions Committee, 1974-1975.
Graduate Academic Standards Committee, 1969/1970 1971-1972. Chairman of its
subcommittee for the evaluation and redesign of the schools grading system.
A number of Ad Hoc Committees and task forces for the:
development of a core Ph.D. Behavioral Science Course, 1972-1973,
redesign of the International Business program, 1971,
review of the Economic Offerings for Business and Applied Economic doctoral
students, 1970-1971,
development of a Continuing Education Program in Health Care Administration,
November 1971-October 1973.
Evening School Committee, 1972-1973.
Behavioral Lab Planning and Implementation Committee, 1989-1990.

D. Doctoral Dissertations Supervised

Bent Stidsen (1972); Yehoshua Buch (1972); Kathy Villani (1973); Rene Y. Darmon (1973); Arun K.
Maheshwari (1973); Chris Hetzel (1973) winner of the AMA Doctoral Dissertation Competition; Arun
K. Jain Honorable mention at the AMA Doctoral Dissertation Competition; Joel Huber (1974); Irwin
D. Reid (1975); Chris Buss (1979) winner of the AMA Doctoral Dissertation Competition; Robert J.
Thomas (1980) Winner of the Academy of Marketing Doctoral Dissertation Competition; Cynthia
Fraser (1980); Joel Steckel (1981) Honorable Mention AMA Doctoral Dissertation Competition; John
Deighton (1983); Rajeev Kohli (1984); Oliver Heil (1988); Kamel Jedidi (1988); Bari Harlam (1989);
Kris Helsen (1990); Nino Buran (1991); Hoon Young Lee (1992); Rajeev K. Tyagi (1994); Amy
Kallianpar (1998).

E. Addresses to Alumni Club and Other Groups Regarding The Joseph H. Lauder Institute

Illustrative addresses to alumni clubs and other groups on the changing needs for management
education and the Universitys response -- The Joseph H. Lauder Institute.

1. Alumni Clubs addressed include:
Dallas (December 1984)
Cleveland (April 1986)
Hong Kong (July 1985)
London (May 1984)
Long Island (January 1984, March 1986)
Milan (October 1987)
Philadelphia (January 1984, January 1986)
Paris (December 1983)
San Francisco (November 1983)
Taipei (July 1985)

52
Tokyo (June 1985)
Toronto (August 1987)
2. University Groups:
Board of Directors of the Association of Alumnae, March 1984
The Vice Provost Advisory Board, February 1984
Wharton Board of Overseers, January 1984, 1997
Trustees (October 1983, January 1984)
3. Other Groups (partial list):
University of Pennsylvania Trustee Committee on Academic Policy (January 1988).
40
th
National Conference of the Council on International Education Exchange, San
Francisco (November 1987)
Title VI Center Lauder conference on International Studies and Foreign Language
for Management. Philadelphia (May 1986)
University of Pennsylvania Alumni (Alumni day, Philadelphia, May 1985)
Delaware Valley Faculty Exchange Program on International Business and
Language Studies (December 1984)
AIESEC-Northeast regional conference (October 1984)
Deans of 50 schools in an AACSB seminar on Internationalizing the Business
Curriculum (March 1984)

F. Illustrative presentations to alumni groups and others regarding the Management 2000 project,
the SEI Center for Advanced Studies in Management, and the revised MBA curriculum

Wharton-Recanati Program, 1993
International Forum, 1993
Erasmus University Faculty and Administration, 1993
Marketing Advisory Board Meeting, 1993
Board of Directors of the Wharton Alumni Association, September 1988; May, 1993
The Wharton Board of Overseers, April 1988
Wharton Advanced Management Program Participants, 1990, 1991
The Wharton Graduate Advisory Board 1990
Whartons European Advisory Board 1991
Alumni attending the May 1991 Alumni Reunions
The SEI Center Board of Directors 1990-1991
The Joseph H. Lauder Institute Board of Governors 1991
College of Business Administration, University of Texas at Austin C Advisory Board and Faculty,
February 1992
INSEAD Faculty and Administration, February 1992
Security Industry Institute, 40
th
Anniversary Program, Wharton, March 1992

G. Illustrative presentations regarding Whartons Globalization Strategy

Deans Advisory Board, February 1997
Wharton Board of Overseers, March 1997
Wharton Graduate Executive Board, March 1997
Wharton Executive Education Advisory Board, May 1997
European Advisory Board 1997
Wharton Faculty 1997

H. Illustrative presentations regarding Whartons Information Management Initiatives (WIMI)

Deans Faculty Lunch, April 1998
All Wharton Departments 1998 2001
The 1
st
Conference of the Wharton Alumni Club of Israel March 2001


53
I. Illustrative presentations regarding Cross-Functional Integration of the MBA Curriculum

Wharton Faculty (Feb 2003)
Graduate Executive Board (March 2003)
CEO Panel for the entering 2004 class (August 2003)
Ph.D. Proseminar (Fall 2003)

J. Illustrative presentations regarding the Wharton Fellows Program

Wharton Executive Education Advisory Board (April 2004)
Wharton Alumni Club of Atlanta (November 2001) and Israel (December 2001)

K. Illustrative presentations regarding Wharton School Publishing

Jay H. Baker Retailing Initiative Board (October 2005)
Wharton Executive Education Group (January 2005; May 2006)
Wharton School External Affairs group (February 2004)

L. Illustrative presentations regarding The Power of Impossible Thinking

Alumni Leadership Conference, Hong Kong (May 2007)
Wharton Connect: On Campus (March 2007)
Wharton Connect (October 2006)
Organizational Development Network of Greater NYC (October 2006)
Wharton Staff Workshop (September 2006)
The Wharton Club of New Jersey (July 2006)
CEIBS @ Wharton (July 2006)
Wharton Sports Business Initiative (May 2006)
Microsofts Latin America Financial Services CEO Roundtable (March 2006)
LinKS@Wharton (November 2005; August 2006)
Merrill Lynch, Investment Banking Institute at Wharton (August 2005)
The Greater Glenside Chamber of Commerce Meeting (June 2005)
Wharton Fellows Event, Singapore (March 2005)
EMTM Alumni Council (February 2005)
Miami Wharton Club (December 2004)
Advertising Research Foundation Breakthrough Conference (November 2004)
Washington, D.C. Clubs of Wharton and AFLSE (September 2004)
Deutsch Bank External Insights, New York (September 2004)
Executive Briefing to Federal Express (September 2004)

M. Illustrative presentations regarding Competing in a Flat World

Links @ Wharton, Philadelphia (October 2008)
University of Monterrey, Monterrey, Mexico (October 2008)
American Chamber of Commerce in Hong Kong, Hong Kong (July 2008)
The Wharton Club of Spain, Madrid, Spain (June 2008)
CASRO International Research Conference, New York (May 2008)
Wharton Club of Southern California, Santa Monica, California (April 2008)
Wharton Club of New York, New York, New York (February 2008)
Wharton Fellows, New York, New York (February 2008)
FirstCaribbean Leadership Programme, Philadelphia, Pennsylvania (November 2007)
Wharton Marketing Conference: Back to Class Session (October 2007)
Milken Institute Global Conference, (April 2006)

University of Pennsylvania University Committees:

Chair, Penn Social Responsibility Advisory Committee, 2008-2009 and 2009-2010.

54
Committee for generating new revenues by medical education initiatives, University of
Pennsylvania Health System, 2007-2008.
Member of the Institute for Strategic Threat Analysis & Response @ Penn (ISTAR) Advisory
Board, 2007-
Integrated Product Design Overseer, 2008-
Research Foundation Committee, Social Science and Management Review Panel, 1999-2006.
Member of the Faculty Advisory Group to Campus Development Planning Committee, 2005-
2006.
Member of the Committee on International Programs, 2002-2006
Member of The Ackoff Center Advisory Board, 2001-2006
Member of the Provost Art and Culture Committee, 2002-2004
Faculty Senate Committee on Administration, 1995-1998.
Chair, Subcommittee of the Faculty Senate Committee on Faculty Teaching Evaluations, 1997-
1998.
Chairman of Special Presidential Committee on Borderless Education, 1997-1998.
Provosts Task Force on the University of the Global Information Age, 1996-1997.
Faculty Editorial Board, University of Pennsylvania Press, 1996-1997.
Member of the Provosts Committee on Information Science and Technology, 1996-1997.
Member of the Provosts Committee on Distance Learning, 1996-1997.
Chairman of a new university committee focusing on innovative revenue generation, 1992/1993
and 1993/1994. Members include the President, Provost, Chairman of the Board of Trustees, 3
deans, 3 trustees, and 3 faculty members.
Member of the Provost International Council, 1990-1992.
Chairman of a Subcommittee for the Evaluation of the University Office of International
Programs, 1990-1991 and of a Subcommittee to Evaluate the Universitys Off-Campus
Programs, 1991-1992.
Member of the Provost Task Force on International Programs (1992/1993; 1993/1994).
Member of the Commission for the 250
th
Anniversary Celebration of University of Pennsylvania
(1987-1990)
Advisory Board of the PBS series on The Global Economy, 1990.
University of Pennsylvania correspondent for PBS program on Geo-economy, moderated by Ted
Koppel, May 1990.
Chairman of the Faculty Council of the Joseph H. Lauder Institute, 1983-1988.
Member of the Board of Directors of the Joseph H. Lauder Institute, 1983 to present.
Member of the Advisory Board of the office of International Programs, 1980 to present.
Chairman, the Wharton Dean Search Committee, (selected Russ Palmer)1982/1983.
The Senate Committee on the Economic Status of the Faculty, 1978/1979 (member); 1979/1980
(chairman).
Member of the FAS Wharton Committee, 1975-1977.
Member of the Universitys Committee on Research, 1977/1978. Chairman of its subcommittee
for evaluation of the Universitys Policy and Conduct of Research Programs.
Member of the subcommittee of the Universitys Academic Planning Committee for the
Measurement of Academic Performance, 1972/1973.

The Interdisciplinary Center (IDC), Herzliya, Israel
Co-founder (1994)
Chairman, International Academic Advisory Board, 1994-
Faculty Promotion and Appointment Committee: Chairman 1999-2005; Member 2005-
Chairman, Higher Academic Council 1999-
Delivered the first Graduation Address, October, 1998
Delivered the first Zoltan Wind lecture, 1996
Delivered the first graduation address of the Wharton IDC Marketing Communication Program,
March 1999
Occasional lectures in various courses, faculty seminars, and public addresses since 1995
Founder of the American Friends of IDC 1998 and a Member of the Board, 2003-
Designed the week-long programs at Wharton for its visiting MBA class (2002, 2003, 2004, 2007
and 2008) and the Zell Entrepreneurial Program, (2002)
Member, Advisory Board of IDCs New School of Communication (2005-)

55

Other Universities
1. Courses Taught

Erasmus University (The Netherlands) A variety of courses on marketing strategy and
marketing science (1993).
University of Tokyo (Japan) Marketing Science (1992).
University of New South Wales (Australia) Doctoral Seminar in Marketing (1977).
University of California at Berkeley Product Policy, Doctoral Seminar (1975).
University of Tel Aviv (Israel) Consumer Behavior, Marketing Seminar (1968).

2. Faculty Promotion Review Illustrative Universities

Columbia University, Harvard University, Massachusetts Institute of Technology, New York
University, Pennsylvania State University, Stanford University, Tel Aviv University, University of
California at Los Angeles and at Berkeley, University of Chicago, University of Georgia,
University of Illinois, University of Pittsburgh, University of Rochester, University of Southern
California, University of Texas, Yale, and others.
3. Program/School Review

Indian School of Business Organization of the Wharton Planning Meeting, April 2002.
Rice University member of the external review committee, 1996.
University of Santa Clara member of a Site Review Team for the evaluation of the schools
marketing department, 1981.
University of Tel Aviv Initiator and organizer of the schools faculty colloquium, working paper
series, planned and organized a number of the schools executive development programs and
various other activities, 1968/1969.
The Technion, Israel Institute of Technology Outside examiner at the Graduate Division of the
Technion The Israel Institute of Technology, Haifa, 1969.


56
OTHER PROFESSIONAL ACTIVITIES

A. Development of Research Programs [Illustrative List]

1. The Future of Advertising (2007- )*
2. Network-Based Strategies and Competencies 2007-*
3. Creativity and Innovation 2006-*
4. SEI Center project Toward a New Theory of the Firm (2004-2008)
5. SEI Center project with Business Executives for National Security and FINCEN using the
Suspicious Activity Reporting System (SARS) for identifying terrorist financing (2003-2004)
6. SEI Center project, Assessing the True Value of the Firm, Co-Directed with David Larcker (2002-
2003)
7. The Wharton Office of Homeland Security (OHS) Project, Economic Vulnerability to Terrorism:
Assessment, Prioritization and Action Implications, Co-Directed with Paul Kleindorfer (2001-
2002)
8. Digital Transformation Project in Collaboration with McKinsey, WeBI and the Fishman-Davidson
Center for Service and Operations Management (2001-)
9. e-Curriculum R&D Initiatives (2000-2002) and Curriculum R&D for the Wharton Fellows Decision
Support Network (2001-___)
10. The SEI Centers research program on Creating a 21
st
Century Enterprise. (1990-____)
11. Established the Value of Marketing program. (19931997)
12. Initiated (with Frank Bass) the Empirical Generalizations in Marketing program. (19931995)
13. Co-founded (with Greg Farrington) the Virtual University Lab program (19951997)
14. Initiated the Computers and Art program for the ENIAC at 50 celebration (19981999)
15. Co-developed (with Bob Holland) the SEI Centers George Harvey Program on Value Creation
Through Diversity (1996____-)
16. Co-founded (with Paul Kleindorfer) the Information Management Initiatives Research Program
(1998-1999)

B. Editorial Activities

1. Founding editor, Wharton School Publishing, 2003-2008 [published books are listed on pages
24-26]

2. Initiator and editor of Advances in Marketing Research and Modeling: Progress and Prospects
A Tribute to Paul E. Green, Kluwer Academic Publishers, 2002.

3. Initiator and editor of The Wharton School Publishing Newsletter (monthly since July 2005)

4. Initiator and Co-Editor of the Wharton Fellows Newsletter (quarterly 2003-4; monthly January-
December 2005).

5. Initiator and editor of Wharton Executive Library (published by Oxford University Press),
1984-1987. The series was aimed at familiarizing top management with recent developments in
the various management disciplines. Books published include:
Gerard Adams, The Business Forecasting Revolution, Nation-Industry-Firm, 1986.
Leonard M. Lodish, The Advertising and Promotion Challenge, Vaguely Right or
Precisely Wrong?, 1986.
David Solomons, Making Accounting Policy: The Quest for Credibility in Financial
Reporting, 1986
James C. Emery, Management Information Systems: The Critical Strategic Resource,
1987.

6. Initiator and editor of the Scientific Press Computer Based Marketing Series. 1984-90. The
series offers short books on specialized marketing topics with accompanying PC software.
Books published include:
Paul E. Green, CAPPA Electronic Questionnaire Display and Analysis, 1986
Gary Lilien, Marketing Mix Analysis with Lotus 1-2-3, 1987
John Hauser, Applying Marketing Management: Four PC Simulations, 1987

57
Darral G. Clarke, Marketing Analysis and Decision Making: Text and Cases with Lotus 1-
2-3, 1987.
Gary Lilien, Marketing Management: Analytical Exercise with Lotus 1-2-3, 1988.

Editor-in-Chief, The Journal of Marketing 1978-1981 (Vol. 43-45)

Area Editor, Marketing Science, 1981-83 (Vol. 1-2); occasional Area Editor (2002-)

Advisory Editor of the Addison-Wesley Marketing Series, 1974-1981. Books published under
my editorship include:

G. David Hughes, Marketing Management, 1978.
James Bettman, An Information Processing Theory of Consumer Choice, 1979.
Richard N. Cardozo, Product Policy: Cases & Concepts, 1979.
F.E. Brown, Marketing Research: A Structure for Decision Making, 1980.

Member of the Editorial Boards of:

Journal of Business to Business Marketing, 2004
Journal of Interactive Marketing, 1998-____
Journal of Global Marketing, 1986-____
Journal of Product Innovation Management, 1982-____
Annual Review of Marketing, 1980-1982
Computer Operations, 1968-1970
Journal of Business Research, 1974-1977
Journal of Consumer Research, 1973-1984
Journal of High Technology Management and Market Research, 1988
Journal of Marketing Research, 1978-1981
Journal of Marketing, 1971-1978
Journal of Organizational Behavior and Statistics, 1983
Journal of Pricing Management, 1989
Journal of Segmentation in Marketing, 1997

Occasional reviewer for:

Decision Sciences
IEEE Transactions on Engineering Management
Journal of Management Studies
Journal of Marketing
Management Science
Marketing Science
Operations Research
Public Opinion Quarterly
R&D Management
The Journal of Economics and Business
The Wharton Quarterly

Screening editor, Journal of Consumer Research, 1973-1974.

A judge of competitive research papers submitted to the National Conference of The AMA
Academic (August) Conference in - Minnesota (1971), Houston (1972), Washington (1973),
Portland (1974), Rochester (1975), Memphis (1976), Chicago (1980), Chicago (1984).

A judge of Ph.D. dissertations submitted to the AMA Doctoral Dissertation Competition, 1974,
1976, 1977, 1981, 1982, 1983. And the MSI Dissertation, and other award competitions 1984,
1985, 1990

Reviewer of papers submitted to the Market Measurement and Analysis Conference (renamed
Marketing Science Conference) since 1981.

58

Occasional reviewer of applications for research grants for the Social Science Research Council
(London, England) since 1972; and the National Science Foundation, Division of Science
Information and Advanced Productivity Research and Technology, since 1977.

Reviewer of manuscripts for a number of publishers and universities, including the MacMillan
Company, the Center for Research of the College of Business Administration of Pennsylvania
State University, the Graduate School of Business, Columbia University, Prentice Hall, Jose
Bass and others.

C. Offices Held in Professional Associations

AMA

1. Member of the Board of Directors, The Philadelphia Chapter of the AMA, 1979-1983.
2. Program Chairman of:
a) The 1977 AMA Doctoral Consortium Philadelphia, August 1977.
b) The 1975/1976 AMA Attitude Research Conference, Hilton Head, SC, February 1976.
c) The National Educators AMA Conference, Washington, D.C., August 1973.
3. Member of a number of AMA councils including the Advisory Council of the National
Marketing Honorary Society of the AMA - Alpha Mu Alpha, 1980/1981 and the Educational
Policy Council, 1977/1978.

TIMS

1. Chairman, 1974/1975; Chairman Elect, 1973/1974; and Vice Chairman, 1971/1972 of the
Institute of Management Science College of Marketing.
2. Program Chairman of:
a) Marketing track on "Marketing Science for Increased Competitiveness of Firms and
Countries, 1988 Washington, D.C., TIMS/ORSA Conference.
b) The 1981 Market Measurement and Analysis Conference (with Vijay Mahajan).
c) The Delaware Valley Chapter, 1967/1968.
3. Member of the Program Committees of the Market Measurement and Analysis Conference:
University of Texas, 1980; New York University, 1981; and the Marketing Science
Conference: University of Chicago, 1983; Vanderbilt University, 1985; University of Texas at
Dallas, 1986; Centre HEC-ISA, Jouy-en-Josas, France, 1987; Washington University, 1988.
4. Member of the Advisory Board of Marketing Science, 1983-____

IAM The International Academy of Management

1. Chancellor, 2000-2006.
2. Vice Chancellor for the Americas, 1995-2000.
3. Program chairman, the Americas Conference, 1994, 1998.

MASB Marketing Accountability Standards Board

1. Member of the Board of Directors since 2010.

MSI Marketing Science Institute

1. Chair of a task force on e-business evaluation (part of the Metrics program), 1999.
2. Academic Trustee (1989-1995).
3. Member of the Academic Advisory Council (1983-1987).
4. Member of a number of steering groups, including
Marketing Strategies Steering Group, 1983-1987.
The International Advisory Steering Committee (1985-1987).
Information Technology Steering Committee (1990-1992).

59
Other

1. The Diebold Institute Entrepreneurship and Public Policy Project, Committee of Advisors (1999-____ ).
2. World Management Council. Member of the Academic Advisory Board (19881989).
3. Member of the interdisciplinary task force (organized by AMA) for the design of the Journal of Consumer
Research, (October 1971July 1972). Founding member of the Policy Board of the Journal of Consumer
Research (19721983); Chairman of the Board (19771978); Chairman of the 1976 and 1981 Editor
Search Committees.
4. Member of the Philadelphia's International City Steering Committee (19831985, 19871988).
5. Member of the Publication Committee of AAPOR (1973-1974).
6. Member of Program Committee of 1979 ACR Conference.
7. Member of the Advertising Research Foundation 75
th
Anniversary Convention Program Committee
(2010)

D. Planning and Organizing Professional Programs at the University

1. Chair, Network-Based Strategies and Competencies, a joint project with INSEAD co-directed
with Paul Kleindorfer, Initial Workshop, May 3, 2007. Conference, November 2007.
2. Chair, The Future of Advertising, a joint project with the ARF, Workshop, March 30, 2007.
Conference, December 2008.
3. Initiated and chaired a task force to develop a Marketing Certification Program (2003- ____)
4. Co-Designed with Bob Mittelstaedt an executive education program on Wharton on the New
Reality of Business, December 2001 [including the design of the Wharton Post 9/11 Business
Scenario (October 2001-)] and May 2002.
5. Designed and directed the executive programs, Winning in the Next Millenium, December
1998.
6. Initiated The Impact of Computers and Information Technology on Management: 1946, 1996,
2001, May 13-14, 1996 program for the ENIAC at 50 celebration (1994-____ ).
7. Initiated the Computers and Art program for the ENIAC at 50 celebration (1994-____ ).
8. Participated in the original design of the Wharton AT&T Marketing Management Program.
Taught in the 1973, 1975 -1980 programs.
9. Developed, organized and taught a Marketing Research Seminar for U.P. Clinical Scholars
Group (FebruaryMay 1975 and FebruaryApril 1976).
10. Planned and taught the marketing management section of a number of advanced management
programs of the University of Pennsylvania:
Dean Witter - Wharton Account Executive Program, 1986.
Securities Industry Association Program, annually since 1982.
Advanced Management Program for Overseas Bankers, 1975, 1976.
Program for Health Care Executives, 1973, 1975, 1982.
11. Participated in various executive development programs of the Marketing Department of the
University of Pennsylvania:
Marketing for the Postal Service, 1983.
Marketing Strategy Seminar, since 1981 (January & May).
Pharmaceutical Advertising Council, 1980/1981.
Wharton Salesforce Management Seminar, since 1980 (January & May).
Dixie/Marathon (American Can Company), May 1977.
Marketing Research Seminar 1977-1983.
General Building Contracting Association, Inc., January 1977.
Center de Promotion du Commerce International, Chambre de Commerce et d'Industrie de
Nantes, 1976, 1978-1980.
12. Planned and taught (with Thomas Robertson) a number of seminars on Health Care Marketing
for:
The Virginia Hospital Association, February 1978.
The New York Management Center, September and November 1977.
The Wharton School's Lifelong Education Program, October 1976.
13. Co-founder, organizer of the Wharton teaching component, and frequent lecturer in the
Wharton/Israel Binational Marketing Management Program [The Consulting Practicum]
1979-1995.


60
E. Award Committees

1. Member of the Sheth Award Committee to select the winning Journal of Marketing article that
had the greatest long-term impact on the marketing discipline, 2009-______

2. Member of the Parlin Board of Governors, 1978-1983, 1995-_____ ; Chairman of the Board,
1980/1981.

3. Member of the selection committee for MITs Sloan Management Review/Price-Waterhouse
Company, 2003 Best Article Award.

4. Member of the Global Marketing Scholars Prize Selection Committee, 2011, hosted by Korean
Academy of Marketing Science

5. Nominator for the Marketing Communications Award of the World Technology Network, 2002-

6. Initiator of the Lauder Institute Award for the Research Paper that Best Advances the Theory &
Practice of International Management Science. Administered by TIMS and Chairman of the first
award, 1989.

7. Member of the W. Arthur Cullman Executive Award Selection Committee (Ohio State University),
1985-____

8. Member of a panel of judges for the evaluation of nominees for the Paul D. Converse Awards for
Outstanding Contributions to the Development of Theory and Science in Marketing, 1974, 1977,
1981, and 1986.

F. Planning and Organizing Professional Programs Outside the University

1. KMDC Program, Kuala Lumpur, The Power of Impossible Thinking and Its Implications for
Marketing Innovations, March 15-16, 2005.

2. Co-director (with Hotaka Katahira) of the Marunouchi Global Center Management Program,
2002.

3. Planned and taught a number of two-day seminars on "Recent Developments in Marketing
Research Methodology" for:
The Management Center, University of Bradford, February 1975 and May 1976.
The University of Laval, Canada, November 1973.
The University of Social Sciences at Grenoble, France with (Paul E. Green), May 1973.

4. Planned and taught various AT&T Executive Development Seminars on:
"Multivariate Analysis in Marketing, March and August 1975.
"Market Analysis, December 1974, and June 1975.
"Market Segmentation, September 1974, November 1975 and March 1976.
"How to get the Most Out of Your Marketing Research, Spring 1974.
"Consumer Behavior, October 1972, January 1978.

5. Planned and taught two one-day executive seminars on Conjoint Analysis and New Product
Policy at the University of New South Wales (Australia), June 1977.

6. Planned and taught a number of executive seminars at the University of Tel Aviv: Marketing
Strategy (1969); Product Policy (1977); Marketing and Corporate Strategy (1978, 1980); New
Development in Product and Marketing Research (1980).

7. Planned and taught the marketing research section of the Bank Marketing Program of the
Graduate School of Bank Marketing, April 1977.

8. Planned and taught a series of two-day seminars on Marketing Strategy for the New York

61
Telephone Company, February and April 1976.

9. Initiated, planned and organized a number of two day workshops on:
Concept Testing, University of Pennsylvania, March 1972.
Industrial Buying Behavior (with Frederick E. Webster and Richard N. Cardozo),
sponsored by the AMA & the University of California at Berkeley, April 1971.
Research Utilization, (with Steve Greyser and Randy Batsell), sponsored by the AMA and
MSI, April 1979.
Advances and Applications in New Product Forecasting: Innovation Diffusion Models
(with Vijay Mahajan) sponsored by MSI, October 1983.

Organizer and chairman of various sessions at annual conferences of various professional
associations (illustrative list):
Design Meets Marketing: Service Innovation by Design, Marketing Science Institute and
Corporate Design Foundation Conference, Stanford University, October 17, 2007.
Marketing science: Accomplishments and challenges in the global information age,
plenary session at Informs, Philadelphia, November 1999.
Consumer Labs, Marketing Science Conference, March 1997.
Global Marketing Strategy, 1991 ORSA/TIMS Meeting
Creation of Innovative Marketing Knowledge: An Interdisciplinary Perspective, 1989
AMA Marketing Educators Conference, August 1989.
Strategic Alliances, TIMS Osaka, Japan, July 1989.
Industrial and New Technologies Marketing: Lessons from Industry, International
Research Seminar in Marketing, La Londe les Maures, France, May 1989.
New Product Development Models, ORSA/TIMS, San Diego, October 1982.
Product/Market Portfolio Models, ORSA/TIMS, Colorado Springs, November 1980.
The Role of Multivariate Analysis in Consumer Research, APA, Toronto, 1978.
Applications of Management Science to Market Segmentation, TIMS, Miami, 1976.
Recent Developments in Management Science Application in Marketing, TIMS, Las
Vegas, 1975.
Multidimensional Scaling and Conjoint Measurement in the Study of Multidimensional
Psychophysics, ACR, Boston 1973.
Implementation of Management Science in Marketing, TIMS, Houston 1972.
On the Teaching of Consumer Behavior, AMA, Houston, 1972.
Family and Industrial Buying Behavior, AMA, Minneapolis, 1971.
Multidimensional Scaling in the Study of Consumer Behavior, ACR, 1970.

Planned, organized and taught a Marketing Management Program for the top executives of the
Union of Cooperative Societies (Israel), April to July 1969.

Planned and taught marketing courses at a Graduate Program for Marketing Consultants at the
Israel Institute of Productivity, September 1968 to January 1969.

Academic advisor to a number of organizations engaged in Management Training in Israel.
Primarily the Israel Institute of Productivity, and the Technion Research and Development
Foundation Ltds., January to August 1969.

G. Lecturing

Illustrative Keynote Addresses at various conferences including:
The Power of Impossible Thinking, Opening Session: Transform Your Business with
New Thinking and New Models, The 51
st
Annual ARF Convention, Research Powered
Marketing: New Models for Growth, April 2005.
The Power of Impossible Thinking, A Wharton Fellows Dinner Event, Kuala Lumpur,
March 2005.
The Power of Impossible Thinking in Meeting the Jim Stargel Challenge, ARF
Breakthrough Conference, November 4, 2004.

62
Should We Challenge Our Mental Models for Building Better Brands? Med Ad News
Conference on Building Better Brands, Philadelphia, July 28, 2004.
The Changing Nature of Marketing: Implications for Research, Teaching, and Practice,
The Elsevier Science Distinguished Scholar Award Lecture at the Society for Marketing
Advances, November 6, 2003, New Orleans.
The Challenge of Corporate Governance, IAM Conference, Barcelona, Fall 2003.
Corporate Transformation: Lessons for Japan, Marunouchi Global Center First
Executive Program, November 2002.
Convergence Marketing: The Challenge for the On-Demand Era, IBMs 2002 WW
Summit for the On-Demand Era, 2002.
Leading Transformation Lessons for Mexico, TeleTechs Top Executive Program,
October 2002.
Disruptive TechnologyRethinking Your Mental Models, Forbes Global CEO
Conference, Singapore, September 19-21, 2001.
e-Business: The Lessons to Date and Implication to Management Practice, Research
and Education, opening lecture of the PriceWaterhouseCoopers Management
Consultants
e-Bus Chair at the Graduate School of Business Studies at Katholieke Universiteit
Leuven, Belgium, February 2001.
Reinventing Training for the Global Information Age, Delphi e-Learning Summit,
Phoenix, AZ, January 2001.
Customerization: The New Management Challenge, The Presidents Forum of the
Interdisciplinary Center in Herzliya, Israel, September 2000.
e-Transforming an Old Economy Business, Wharton-Singapore Management
University Conference: e-Business in the New Millennium, July 2000.
Creating a University for the Global Information Age, The Inaugural Lecture of the
Wharton-Singapore Management University, July 2000.
Implications of the New e-Business Environment and Models for Management Research
and Education, International Academy of Management, Barcelona Meeting, March 2000.
New Trends in Marketing Research, IDC, Herzliya, March 2000.
Reinventing the Business School for the Global Information Age, plenary session, The
EFMD Deans and Directors Meeting 2000, Helsinki, Finland, January 2000.
Digital Marketing: Implication for the Future of Marketing Management Research and
Research in Marketing, plenary session presentation AMA Marketing in the 21
st
Century,
San Francisco, August 1999.
Towards a New Marketing Paradigm, AMA Winter Marketing Educators Conference,
February 1998.
Creating a 21st Century Enterprise: Implications for Marketing Practice, Research and
Education, Keynote Address, 2nd International Workshop on Economics and
Management, Santiago, Chile, October 1996.
Marketing in the Pharmaceutical Industry: Emerging Challenges and Opportunities,
P.A.C. Pharmaceutical Meeting: New Thinking, New Customers. February 28, 1995.
Marketing in the Pharmaceutical Industry: Emerging Challenges and Opportunities, The
Keynote address of The International Conference on AHP Washington, DC, July 11, 1994.
AHP in Top Management Decisions, The Keynote address of The International
Conference on AHP Washington, DC, July 11, 1994.
Neuhauf Lecture, The Impact of Marketing Science on Industry and Academia:
Applications, Results and Lessons, at Rice University, March 23, 1994.
Third Workshop on Marketing and Competitive Advantages with Ambrosetti Group, Milan
on "The Customer Driven Company: From Concept to Reality, November 27-28, 1992.
Amoco Fabrics and Fibers Co-Leadership Council, address on "What a Difference a
Difference Can Make, May 1988.
A special meeting of the Chinese Management Association and the Taiwan Ministry of
Trade, address on "Marketing to the U.S." (Taipei), July 1985.
MRCA Conference on "The Affluent Market: New Data and Methodologies in Financial
Services Planning, November 1984.

63
The 1983 ESOMAR congress August 1983 at Barcelona. Keynote address on "The
contribution of Research to Product Management and New Product Development.
The 1983 Research and Planning Conference of the Bank Marketing Association.
Keynote address on the Integration of Marketing into Strategic Planning, April 1983.
The 1982 AMA Faculty Consortium on "Industrial Marketing and the Changing
Environment." Ohio State University, July 1982.
S.F. Chapter of the AMA, address on "Increasing Marketing Productivity, March 1982.
Philadelphia Chapter of the AMA, Conference on Market Segmentation, January 1981.
The First Delaware Valley Meeting of the Product Development and Management
Association (PDMA), December 1980.
AMA International Conference Workshop, Philadelphia, June 1978.
National Agricultural Marketing Association, Philadelphia, March 1977 and February 1978.
Marketing Planning Conference, The AMA Western Michigan Chapter, Grand Rapids,
March 1976.
The 11th Annual "New Horizons in Science, Conference of the Council for the
Advancement of Science Writing, New York, November 1973.

Presented papers at various national conferences of the American Marketing Association,
December 1967; June and August 1968; August 1969; August 1970; June and August 1974;
April and August 1975; August 1976; August 1977; June and August 1978; June and August
1979; June and August 1980; August 1981-1990, March 1990, August 1991; August 1991, April
1993; February & August 1994, August 1995, August 1996, August 1997, February 1998,
August 1999.

Speaker in various conferences and workshops of:

Association for Consumer Research (ACR), 1968, 1970/1973, 1975, 1977, 1984.
The Institute of Management Science (TIMS), 1969, 1972, 1974-1978, 1980- .
American Institute of Decision Sciences (AIDS), 1974, 1976.
American Association of Public Opinion Research (AAPOR), 1974/1975.
American Psychological Association (APA) DIV 23, 1978.
American Statistical Association (ASA), 1978.
AMA Philadelphia Chapter, 1980/1981.
Annual Conference of the Strategic Management Society, 1984.
Annual Conference of the Pharmaceutical Marketing Research Group (PMRG), 1986,
1987.
Annual Conference of the World Future Society Assembly, Washington, D.C., 1993.

Speaker in a number of the AMA Attitude Research Conferences, 1967, 1971, 1973, 1976,
1987.

Member of the Faculty of the AMA Doctoral Consortiums
University of Colorado, 1996
University of Santa Clara, 1994
University of Southern California, 1991
New York University, 1987
University of Notre Dame, 1986
University of Michigan, 1983
University of Minnesota, 1982
Pennsylvania State University, 1980
University of Maryland, 1981
University of Wisconsin, 1979
University of Chicago, 1978
University of Pennsylvania, August 1977
University of Texas, August 1976
University of Illinois, September 1971


64

Member of the AMA Faculty Consortium, Chicago 1997

Illustrative papers delivered in various professional workshops

Applications of Multidimensional Scaling to Marketing and Business, sponsored by the
University of Pennsylvania and Bell Laboratories, June 1972.
Planning Data for STI Managers, Sponsored by NSF office of Science and Information,
December 1976.
Synthesis of Knowledge of Consumer Behavior, sponsored by the RANN Program
National Science Foundation, April 1975.
Multinational Product Management, sponsored by the Marketing Science Institute and the
AMA International Marketing Division, January 1976.
Consumer and Industrial Buying Behavior, sponsored by the University of South Carolina,
March 1976.
Organizational Buying Behavior, sponsored by the University of Pittsburgh, April 1976.
Consumer Research for Consumer Policy, sponsored by the MIT Center for Policy
Alternatives, July 1977.
Analytical Approach to Product-Marketing Planning, sponsored by the AMA and MSI,
University of Pittsburgh, November 1977, October 1981.
Interfaces Between Marketing and Economics, sponsored by the University of Rochester,
1978, 1983.
Industrial Marketing, Penn State University, May 1982.
Market Measurement and Analysis, renamed Marketing Science Conference sponsored
by ORSA/TIMS:
Centre HEC-ISA, Jouy-en-Josas, France, 1987.
University of Texas at Dallas, 1986
Vanderbilt University, 1985
Wharton, March 1982
New York University, March 1981
University of Texas, Austin, March 1980
Stanford University, March 1979

Illustrative addresses at various top management conferences and meetings in the U.S. and
abroad:

Moderator of Key Issue Forum on Social Media and Brand Opportunities, ARF Re:think
Conference, New York, NY, March 23, 2010
Moving From Me to We: The New Competitive Edge, Milken Global Conference, Los
Angeles, April 28, 2008.
The Wisdom of Crowds in Todays Digital World: We vs. Me, Milken Global Conference,
Los Angeles, April 23, 2007.
Innovation, Telenet Top Executive Strategic Workshop, June 19, 2006.
The 1st Mover Advantage Challenge, Telenet Top Executive Strategic Workshop, June
19, 2006.
Getting More with Less, Telenet CEO Strategy Review, June 19-20, 2006.
Advances in the Management of Technological Innovation, Executive Briefing at
Samsung Electronics, June 2, 2006.
Brand Names and Logos, Penn Humanities Forum on Word and Image, February
2006.
New Frontiers in the Practice of Management with Paul Kleindorfer, CEO Workshops at
IDC Israel, January 2006.
Strategic Trends on the Global Marketplace, The Sixth Herzliya Conference on The
Balance of Israels National Security, January 2006.

65
Recent Developments in Marketing and Branding Strategies, presented to the Board
and top management of IDT HK, August 2005.
Tapping Opportunity in the Developing World: Innovative Solutions for Companies and
Communities, Milken Institute Global Conference, April 2005.
Return on Marketing Investment: Progress, Problem, and Prospects, Council of
Marketing Executives, The Conference Board, October 6, 2004.
The Power of Impossible Thinking: A Prerequisite for Profitable Growth, Milken Institute
Global Conference, April 27, 2004.
The Transformation Challenge, YPO at SEI, March 2004.
Technology for Profitable Growth: Progress, Problems, and Prosperity, eBRC Board of
Directors meeting, Philadelphia, May 2003.
Business and the Pending Wars, a global senior executive Web conference, February 2003.
e-Business Revolution: R2R (Return to Reality), World Leadership Forum of the Foreign
Policy Association, New York, September 2000.
UNIG Top Executive Forum, Singapore, August 2000.
The Future of the Marketing Organization, MSI Board of Trustees Meeting, April 2000.
Preparing for 2002: Creating a Leading Global Medical Communication Company for the
21
st
Century, Top Management of Medius Group Int. Paris, May 1997.
The Next Enterprise: Creating a Successful 21
st
Century Enterprise, The Hong Kong
Management Association, January 1996.
"Building the 21st Century Corporation Today: A Marketing Perspective," A one day
session for CEOs who participate in the MASTERSHIP program (LA) January 1990.
"Growth Outlook for Consumer Products and Services" to the policy committee of
Anheuser-Busch Company, 1986.
"Marketing Management in Securities Firms" SIA Regional conference, 1986.
"Recent Developments in Marketing Strategy, to Dutch top executives by Horringa &
DeKoning, October 1986.
A number of 1-day Top Management Seminars organized by Studio Ambrosetti (Italy)
Developing and Launching New Products (1986)
Marketing and Corporate Strategy (1987)
Marketing for Financial Institutions (1987)
Domestic and International New Business Entry Strategies 1988)
Strategic Marketing and New Product Development (1989)
How to Develop Products More Often and Get Them to Market Faster (1991)
The Consumer Goods Scenario: The Challenge (1992)
Marketing Driven Bus Strategy in the Global Information Age (2000)
The Challenge of Marketing Board of directors and top management of Grand
Metropolitan, 1985.
Advances in marketing and Business Strategies Top management group of the John
Fluke Manufacture Co., 1985.
Global Marketing Strategies YPO Chapter of Hong Kong, 1985.
"Marketing for Hospitals Hospital presidents program of the J&J Leonard Davis Institute
program, 1985.
Global Marketing Strategies Top executive group of MARS pet food business, 1984.
Marketing for the Evolving Company Conference on "Financing & Managing the
Evolving Company" sponsored by Arthur Andersen & Co. and the GSB University of
Texas at Austin, April 1984.

Illustrative Other Top Management groups addressed:

MSI Trustees, Cambridge, Massachusetts, October 1983.
Securities Industry Association Fall Meeting, N.Y., October 1982, Spring Meeting, April
2000, Homestead, Virginia, May 1982: keynote speaker.
Three sessions at the 1979 YPO Central Area Conference, Williamsburg, October 1979.
Two sessions at the YPO International University, Rio de Janeiro, May 1979.
Two sessions at the 1978 YPO, Eastern/Northeastern Area Conference, Sea Island,
Georgia, November 1978.

66
Eastern Pennsylvania Chapter of YPO, October 1978.
Two-day seminars for top executives of Latin American countries sponsored by
Expansion Publishing Group, Mexico City, June 1978, (Marketing Strategy); June 1979
(the Marketing Audit); and December 1980 (Marketing for Top Executives).

Guest lecturer at faculty research seminars and executive development programs of various
universities and research institutes, including:

Bell Laboratories (Applied Statistics Area), 1978
Columbia University, 1974, 1976-1978
Drexel University, 1977, 1984
Erasmus University, The Netherlands, 1993
Escola de Administrao de Empresas de Sao Paulo, Brazil, 1979
European Institute for Advanced Studies in Management, Brussels 1981
Florida Atlantic University, 1972
Harvard University, 1981
IESE Universidad de Navarra, 1999
Indian Institute of Technology (IIT) Bombay, 1989
INSEAD, France, 1992, 2000
Institut Superieur des Sciences Economiques et Commerciales, Paris, 1981
Interdisciplinary Center Herzliya, 1996, 1997, 1998, 1999, 2000
Kc University, Turkey, 2000
Laval University, Canada, 1973
Katholieke Universiteit, Leuven, 2001
Monash University, Australia, 1977
Nanzan University, Nagoya, Japan, 1977
New York University, 1979, 1984
Northwestern University, 1980
Norwegian School of Management, Norway, 1993
Pennsylvania State University, 1978
Southern Methodist University, Texas, 1982, 1984, 1986
Stanford University, 1976, 1982
State University of New York at Buffalo, 1975
University of Bradford, 1975-1976
University of California at Berkeley, 1975
University of California at Los Angeles, 1976, 1980, 1990
University of Capetown, S.A., 1982
University of Groningen, 1986
University of Houston, 1977
University of Illinois, 1985
University of Iowa, 1971
University of Minnesota, 1973
University of New South Wales, Australia, 1977
University of Ottawa, 1974
University of Pittsburgh, 1988
University of Social Sciences, Grenoble, France, 1973
University of Tel Aviv, 1977-1980, 1982
University of Texas at Austin, 1984, 1997
University of Tokyo, Japan, 1992, 1993, 1995, 1997
University of Washington, 1979
Yale University, 1982

Speaker at various executive programs of the University of Pennsylvania (illustrative list):

Achieving Profitable Growth Challenging Your Mental Models, Perry Ellis International,
December 13, 2010.

67
Organizational Networks for Effective Competition in the Flat World, Tyco Electronics
Leadership at Wharton, November 16, 2010.
Challenging Your Mental Models, Tyco Electronics Leadership at Wharton, November
16, 2010.
The Challenge of Customer Centricity, GSK Executive Leadership, November 9, 2010.
The Future of Advertising, Cheil Worldwide, August 30, 2010.
Challenging your Mental Models, Wharton Global Leadership Fellows Program WEF:
Personal Power and Influence, July 14, 2010.
Rethinking Marketing Strategy, LA CEO Global Program, May 14, 2010.
Creating a New Business Paradigm, LA CEO Global Program, May 10, 2010.
Challenging your Mental Models, LA CEO Global Program, May 6, 2010.
Organizational Networks for Effective Competition, Tyco, February 4, 2010.
Challenging your Mental Models, Tyco, February 4, 2010.
Challenging Your Mental Models, ConvaTec, December 16, 2008.
Market Driven Strategy, and Integrated Global Marketing Strategy, Newell
Rubbermaid Marketing Excellence Program, September 17 and 19, and December 10
and 11, 2008.
Creative Thinking and Action, and Competing in a Flat World in a Time of Crisis,
FirstCaribbean Leadership Programme, December 8, 2008.
Challenging Your Mental Models, ConvaTec, November 12, 2008.
Creative Thinking and Action, (3 Sessions) Toyota Executive Development Program,
July 21, 2008.
The Innovation Challenge, (2 Sessions) Raytheon Executive Leadership Development
Program, June 9, 2008.
Challenging Your Strategic Thinking, Animas/Lifescan Senior Leadership Strategy
Program, December 3, 2007.
Destroy Your Brand, Animas/Lifescan Senior Leadership Strategy Program, December
3, 2007.
Challenging Your Mental Models, Animas/Lifescan Senior Leadership Strategy
Expand Customers, Value Creation and Diabetic Pathways, Animas/Lifescan Senior
Leadership Strategy Program, December 3, 2007.
Integrating Strategies and Leveraging Synergies, Animas/Lifescan Senior Leadership
Strategy Program, December 3, 2007.
Stretch Objectives, Synthesis and Strategy, Animas/Lifescan Senior Leadership
Strategy Program, December 3, 2007.
Stretch Objectives, Synthesis and Strategy: Regional Prospects, Animas/Lifescan
Senior Leadership Strategy Program, December 3, 2007.
The Power of Impossible Thinking, Animas/Lifescan Senior Leadership Strategy
Action Plans, Animas/Lifescan Senior Leadership Strategy Program, December 3,
2007.
Creative Thinking and Action, FirstCaribbean Leadership Programme, November 19,
2007.
Challenging Your Mental Models, LinKS @ Wharton, November 12, 2007.
The Evolving World, LinKS @ Wharton, November 12, 2007.
Innovative Approaches to the Design of Strategy, LinKS @ Wharton, November 11,
2007.
The Power of Impossible Thinking, Wharton Connect, November 1, 2007.
Creative Thinking and Action, Toyota Executive Development Program, September 17,
2007.
Rigor & Relevance: A Key Marketing Challenge, The Buck Weaver Award
Presentation, September 7, 2007.
Global Branding & Marketing, TEVA Israel Leading Your Business, June 28, 2007.
Leadership Challenges in the Pharmaceutical Industry, TEVA Israel Leading Your
Business, June 28, 2007.

68
Online Panels: Where We Are Today and Where We Are Headed In The Future,
CASRO, June 22, 2007.
The Power of Impossible Thinking and Global Strategic Management, CEIBS @
Wharton, June 18, 2007.
The Power of Impossible Thinking, Alumni Leadership Conference, May 24, 2007.
The Creative Economy: Art and Culture at Penn and in Philadelphia, Penn Arts
Leadership Conference, May 9, 2007.
Network Orchestration, Network-Based Strategies & Competencies Workshop, May 3,
2007.
Network-Based Strategies and Competencies, Network-Based Strategies and
Competencies Workshop, May 3, 2007.
"Network-Based Strategies and Competencies: Toward a Framework, Network-Based
Strategies and Competencies Workshop, May 3, 2007.
Wroe Alderson, 2007 Wroe Alderson Lecture & Reception, April 26, 2007.
The Wisdom of Crowds in Today's Digital World We vs. Me, Milken Global Conference,
April 23, 2007.
The Challenge of Managing Creativity, The Biological Basis of Creativity: Defense
Sciences Office Workshop, April 17, 2007.
Succeeding in a Flat World, The Wharton Economic Summit, April 12, 2007.
Thought Leadership, The Wharton Economic Summit, April 12, 2007.
Brand Names and Logos: Implications to Language Instruction, Penn's Language
Faculty, March 22, 2007.
The Future of Management Education, International Academy of Management @ IMD,
March 16, 2007.
Final Session Reflections and Action Plans, Wharton Fellows Philadelphia Master
Class, February 27, 2007.
Innovation Strategies for Profitable Growth, Wharton Fellows Philadelphia Master
Class Managing in an Evolving World, February 27, 2007.
The Evolving World, Wharton Fellows Philadelphia Master Class, February 27, 2007.
Challenging Your Mental Models, Este Lauder Companies General Management
Program, January 28, 2007
The Power of Impossible Thinking, Wharton Staff Workshop, September 12, 2006.
Creative Thinking and Action, Toyota Executive Development Program, September 26, 2006.
Advances in Innovation Management and New Product Innovation, LINKS @ Wharton,
August 26, 2006.
Advances in Innovation Management and New Product Innovation, Quad-C Executive
Session, July 10, 2006.
A View from the Top: The Perspective of the Enlightened CEO, Wharton Executive
Leadership Program for AICPCU, April 2005.
Challenging Your Industrys Mental Models, KPMG Global Insurance Institute,
December 2003 and November 2004.
Market-Driven Organization, AICPCU and IIA Advanced Executive Education,
Wharton, September 10, 2003.
Strategy Discussion with Telenets Top Management, March 11, 2003.
Organizational Change: Problems, Progress, and Prospect, Price-Waterhouse-
Coopers Strategy Master Class, July 26, 2002.
Capturing Business Opportunities in a Changing World, SIA Institute, 50
th
Anniversary
Program, March 2002.
Marketing Driven Strategies in a Global Economy, IBMs Managing Director Executive
Development Program, February 2002.
Enhancing Creativity and Innovation, The Wharton e-Fellows I Program, March 2001.
World Class Marketing: Implications for Spencer Stuart, The Wharton/Spencer Stuart
Leadership Assessment Program, June 2000.
Preparing for Leadership in the Changing e-Business Environment, CEO Circle, May 2000.
Innovation and Change in the Turbo-Global Environment: Lessons from the
Transformation of Old Economy Firms [and Universities] and the Challenges to

69
Congress, Stennis Congressional Staff Fellows Program on Leadership in e-Business
Environments: What Congress Might Learn, May 2000.
Winning in the Next Millennium, Driving Change, 1998.
Stennis Congressional Fellows Program at Wharton, Driving Change: Creating Winning
21
st
Century Organizations, 1997.
Competitive Marketing Strategies, Preemptive Strategies, 1997, 1998.
Sales Force Management Program, Segmentation and Positioning for Sales Force
Effectiveness, 1987, 1990, 1997.
Healthcare Marketing and Communications, 1996.
Re Engineering Pharmaceutical Marketing, 1994.
Executive Development 1992, 1993.
AMP -- Advanced Management Program, 1988, 1989, 1990, 1991, 1997, 1998.
"Marketing Strategy" in the J&J-Wharton Fellows Program in Management for Nurses,
1983, 1984, 1985, 1986.
"Marketing Strategy" in the Delaware Valley Hospital Strategic Planning Program, May 1980.
"New Developments in Social Research, in the Symposium on Corporate Awareness,
February 1977.

Speaker at various local and regional meetings of the American Marketing Association, 1967 to
present, and national meetings of other marketing associations such as the National Account
Marketing Association, 1973; the International Pharmaceutical Marketing Research Group, 1973;
The National Association of Children's Hospitals and Related Institutions, 1976; American
Management Association's advanced Marketing Research Seminars, 1967/1968; and the
Marketing Science Institute conferences and management seminars, 1968-1994.

Guest speaker at special seminars:

The Australia and New Zealand Marketing Societies in Sydney and Melbourne, June 1977.
Various conferences of the Israel Advertisers' Association, The Technion Research and
Development Foundation, Ltd., The Ministry of commerce and Industry, 1968/1969.
Foreign market entry and import protection strategies, The Israel Institute of
Management, October 1984.

Illustrative Presentations

Challenging Your Mental Models, Estee Lauder Companies Finance Forum, March, 5,
2012.
Israel Innovation for Global Social Impact: Accomplishments and Opportunities,
Wharton Global Webinar, February 3, 2012.
Rethinking Marketing and Advertising Research, FoA Global Advisory Board Meeting,
December 9, 2011.
Lesson From Art & Challenging Your Mental Models, Daimler Advanced Executive
Program For Vice Presidents, December 6, 2011.
Surviving & Thriving in a Hyper-Connected World: An Ideal Design, WEF Risk in a
Hyper-connected World Project, November 13, 2011.
Orchestration in a Flat World, LinKS Next in Line @ Wharton, November 10, 2011.
Challenging Your Mental Models, LinKS Next in Line @ Wharton, November 10, 2011.
Background Discussion for GIP Israel Program, GIP Israel Program, November 8,
2011.
From Firm Centric to Network Orchestration, MARS, November 8, 2011.
Conversations with MARS Catalyst & Marketing Lab, MARS, November 8, 2011.
Designing TV Commercials That Maximize Social Diffusion, MARS, November 8, 2011.
Setting the Scene and Program Introduction, LinKS Global Executive Program @
Wharton, November 7, 2011.
Challenging Your Mental Models in the Age of Empowered Consumers and Networks,
SEI Executive Network, November 2, 2011.

70
Challenging Your Mental Models, Estee Lauder Companies Global Marketing
Symposium, November 1, 2011.
Directors Report, SEI Center Annual Board Meeting, October 28, 2011.
Toward a New Mental Model of Advertising: Implications to Orchestration, Business &
Revenue Models, FoA Orchestration Session, October 27, 2011.
Creativity, AMP, October 26, 2011.
Argentina & Brazil: Insights and Opportunities, The Wharton Fellows at the
Conference Board: San Paulo Master Class, October 13, 2011.
Argentina & Brazil: Insights and Opportunities, The Wharton Fellows at the
Conference Board: Buenos Aires Master Class, October 9, 2011.
The Myth of the Four-Minute Mile and its Implication to B2B Marketing, Googles Think
B2B: Deconstructing Todays B2B Customers, October 6, 2011.
Challenging Your B2B Mental Models, Googles Think B2B: Deconstructing Todays
B2B Customers, October 6, 2011.
The Future of Advertising, Havas/Euro University Leadership Excellence Program,
October 4, 2011.
Managing Change in Higher Education: Challenges, Approaches & Action Plans,
NACUBO Conference on Managing Change, September 30, 2011.
Challenging your Mental Models, IDC @ Wharton, September 19, 2011.
Marketing and Business Strategies in the Age of the Empowered Consumer, IDC @
Wharton, September 19, 2011.
Challenging Your Mental Models, LinKS@Wharton WWI, September 15, 2011.
Setting the Scene and Program Introduction, LinKS@Wharton WII: Global Business,
Alliances, Welfare, September, 12, 2011.
The Power of Impossible Thinking, Austria Connect, September 9, 2011.
The Future of Advertising, Cheil Worldwide, Global Marketing Program, September 6,
2011.
Challenging your Mental Models, WEF Wharton Global Leadership Fellows Program:
Personal Power and Influence, July 13, 2011.
Challenging Your Mental Models: The What, Why, How and Beyond, IBM Wharton
Executive Forum, July 11, 2011.
Growth, Interactive Marketing and Business Strategies in the Age of the Empowered
Consumer, Wharton Global Alumni Forum, June 24, 2011.
Challenging your Mental Models, Wharton & Citi Asia: Leadership Program, June 21,
2011.
The Challenge of Creativity, AMP, June 20, 2011.
Marketing and Business Strategy in the Age of the Empowered Consumer, SEI Private
Banking Executive Network, June 16, 2011.
Marketing and Business Strategy in the Age of the Empowered Consumer, Wharton
Fellows @ The Conference Board: Fellows Breakfast & Program, June 3, 2011.
Rethinking Your Innovation and NPD Strategies, IDCs CEO Forum, May 24, 2011.
Challenging Your Mental Models, NESS Executive Session and IDC, May 23, 2011.
Challenging Your Mental Models, Perry Ellis Session, May 17, 2011.
Challenging Your Mental Models, PMA BP CFO Executive Module 3, May 9, 2011.
MSI- The Philadelphia Story, MSI 50
th
Anniversary, April 26, 2011.
Marketing Communication in the Digital Era, MSI 50
th
Anniversary, April 26, 2011.
The Future of Brand Building and Brand Experience: Blurring Boundaries Between
Advertising and Retailing, Workshop Session with the Jay H. Baker Retailing Initiative,
April 21, 2011.
The Challenge of Ethical Leadership Lessons from Inside Job, The Leadership in
Film Series, April 20, 2011.
The Challenge of Ethical Leadership, Leadership in Film Series, April 11, 2011.
Think with Google, Think with Google, April 11, 2011.
The Future of Sports Advertising, WSBI Alumni Advisory Committee Mtg, April 7, 2011.
The Future of Marketing & Advertising: An opportunity for Preeminence, Wharton
External Affairs Directors Meeting, March 21, 2011.
Should We Challenge our Mental Models of Creative, FoA Future of Creatives and

71
Creative Ideas in a Digital World, March 18, 2011.
The Future of Sports Advertising, Innovations and Experiments with Multi Touch Point
Portfolios, Leverage Sports Agency, March 16, 2011.
Challenging Your Mental Models of Advertising, Austrian Executive Future of
Advertising Program, March 7, 2011.
Organizational Networks for Effective Competition in the Flat World, Leadership
Development Program at Wharton, February 28, 2011.
Challenging Your Mental Models, Tyco Electronics Leadership Development Program,
February 28, 2011.
The Future of Advertising, The Wharton Club of London, February 18, 2011.
Marketing and Business Strategies in the Age of the Empowered Consumer, The
Wharton Club of London, February 15, 2011.
Marketing: Whats Next, Wharton Fellows at the Conference Board: Philadelphia
Master Class, January 22, 2011.
Challenging Your Mental Models Wharton Fellows at the Conference Board:
Philadelphia Master Class, January 21, 2011.
Insights from The Wharton Future of Advertising Project Wharton Fellows at the
Conference Board: Philadelphia Master Class, January 20, 2011.
Accelerating & Improving GTM Strategies Via Effective Experimentation, SEI
Marketing Group Meeting, January 2011.
Revitalizing Brands and Reinventing Marketing, SEI, December 14, 2010.
Getting the Most Out of Your Interactive Marketing Dollars, Wharton Club of Southern
California, November 18, 2010.
Israel: Insights and Opportunities: Background Discussion for GIP Israel Program,
GIP Israel Program, November 16, 2010.
Career Panel, Wharton Marketing Conference, November 12, 2010.
Go To Market Strategies 10 Interrelated Questions SEI Marketing Leaders Workshop,
November 9, 2010.
Innovation in Retailing: Progress, Problems and Prospects, Discussion at the Jay H.
Baker Retailing Center, October 28, 2010.
The Future of Advertising, Havas/Euro University Leadership Excellence Program,
October 26, 2010.
Challenging Your Mental Models, IDC at Wharton, October 18, 2010
Management Education 2020, Wharton Combined Boards Meeting, October 15, 2010.
The Network Challenge, SEI Executive Network, June 28, 2010.
Challenging your Mental Models, 10th LinKS Wharton Program, June 9, 2010.
Business Models of the Future, 10th LinKS Wharton Program, June 9, 2010.
The Network Challenge, SEI Connections Conference, June 8, 2010.
Making the Case for Israel, IDC Panel Discussion, Israel, May 26, 2010.
Challenging your Mental Models, Mellanox Technologies, Israel, May 25, 2010.
Challenging your Mental Models, Discount Bank, Israel, May 25, 2010.
The Future of Advertising is Now, IESE, May 17, 2010.
Marketing of Israel, Gratz College, May 6, 2010
7 Advertising Myths, M Factor, May 5, 2010.
7 Advertising Myths, Wharton Alumni Webinar, April 22, 2010.
Global Business Branding, America-Israel Chamber of Commerce, April 14, 2010.
Future of Advertising, Future of Advertising Project Global Advisory Board Working
Session, March 10, 2010.
Marketing Implications of the Changing Economy, AMA Winter Marketing Conference,
February 20, 2010.
Perspectives on the Changing Economy, AMA Session, February 20, 2010.
Leveraging Social Media, The Fox Chase Cancer Center Leadership, December 15,
2009.
Challenging Our Mental Models, Jay H Baker Advisory Board Meeting, November 30,
2009.
Profitable Growth Opportunities in times of Crisis and Rebirth, Jay H Baker Advisory
Board Meeting, November 30, 2009.

72
Marketing Innovation: Reinventing your Marketing and New Product Launch, Marketing
Management Program, MA Industries, IDC, November 23, 2009.
Challenging the Mental Models of Top Management, IDC's CEO Forum, November 19,
2009.
Future of Advertising: Progress and Prospects, Board Meeting of Ehrenberg-Bass
Institute, November 10, 2009.
The Network Challenge, SEI PB&T Management Team, November 9, 2009.
Challenging your Mental Models, Wharton Combined Boards Meetings, October 23,
2009.
Reinventing Marketing, IDC/CEIBS@Wharton, October 21, 2009.
Challenging your Mental Models, IDC/CEIBS@Wharton, October 15, 2009.
Directors Report and 20th Anniversary Report, SEI Center Annual Board Meeting,
October 9, 2009.
Opportunities in Times of Crisis, SEI Center Annual Board Meeting, October 9, 2009.
Reinventing Management Education, SEI Center Annual Board Meeting, October 9,
2009.
Research and Action Agenda, SEI Center Annual Board Meeting, October 9, 2009.
Socially Responsible Capitalism Approaches to Improving Business and Government
Relations, SEI Center Annual Board Meeting, October 9, 2009.
The Future of Advertising Project and The New Marketing Channel, SEI Center Annual
Board Meeting, October 9, 2009.
The Network Challenge, SEI Center Annual Board Meeting, October 9, 2009.
The Future of Advertising Project (Project Update), Future of Advertising Project Global
Advisory Board Meeting, October 8, 2009.
Future of Management and Management Education, SEI Center Annual Board
Meeting, October 8, 2009.
The Financial Crisis and the Changing Relationship between Business and
Government, Chiefs of Staff Meeting, September 15, 2009.
Leveraging the PMA's Marketing and Pricing Strategies, A Discussion on Reverse
Marketing for the PMA, July 20, 2009.
The Challenge of Marketing Israel, Wharton Alumni Club of Pacific Palisades, July 8,
2009.
What We Know about Advertising: Implications for Management and Measurement,
Audience Measurement 4.0, June 24, 2009.
Opportunities in Times of Crisis, Baker Retailing Initiative, June 23, 2009.
Member Managed Relationship: Opportunities for Growth, AAA Management Meeting,
June 11, 2009.
Business Models of the Future: Orchestrating Alliances, LinKS@Wharton, June 10,
2009.
Challenging Your Mental Models, LinKS@Wharton, June 10, 2009.
New Mental Models for Capitalizing on Opportunities in Times of Crisis,
LinKS@Wharton, June 10, 2009.
Challenging Your Mental Models, Partner, June 2, 2009.
Innovation and Creativity in Time of Crisis, The Israeli Innovation Forum at IDC, May
31, 2009.
Opportunities in Reinventing Marketing, Wharton Fellows, May 18, 2009.
Opportunities In Times of Crisis, Wharton Fellows, May 17, 2009.
Approaches for Redesigning the Total Wharton Experience, The Wharton School, May
15, 2009.
Opportunities In Times of Crisis and Recession, Knowledge@Wharton Advisory Board,
May 14, 2009.
Progress, Problems, and Prospects, Wharton Fellows, May 12, 2009.
SEI Center for Advanced Studies in Management, Wharton External Affairs Meeting,
May 8, 2009.
The Changing Business Environment: Context for the Strategic Review, SEI EPS
Meeting, May 5, 2009.
Creating a New Business Paradigm, Latin America CEO Program, April 27, 2009.

73
Challenging Your Mental Models, Latin America CEO Program, April 27, 2009.
Global Economic Crisis, Latin America CEO Program, April 26, 2009.
Latin America CEO Global Program Philadelphia Segment Introduction, Latin America
CEO Program, April 26, 2009.
The Challenge of Marketing Israel, Israeli MBA Conference, April 19, 2009.
Marketing Research in Times of Crisis, Navigating a New World Conference hosted by
Greater NY and Phila Marketing Research Association, April 16, 2009.
Growth and Leadership in a Changing World, SEI Meeting, April 7, 2009.
Growth and Leadership in a Changing World, SEI EPS Meeting, April 7, 2009.
Wharton Combined Boards Meeting Spring 2009 Opening Plenary Session, Wharton
Combined Boards Meeting, April 2, 2009.
Empirical Generalizations in Advertising: What We Know, Dont Know, Cant Know, and
Should Know, Rethink The ARF Annual Convention, March 31, 2009.
Marketing Strategy Discussion Guideline, PhD Seminar, March 27, 2009.
Some Observations on the Changing Retail Scene, The Wharton Retail Club Seminar
on Industry Trends, March 18, 2009.
Future of Advertising Project Overview, The Wharton School, February 13, 2009.
Can We Brand Our Customers and Not Our Products? MPlanet, January 27, 2009.
Competing in a World of Network Orchestration: Implications For Marketing, MPlanet,
January 27, 2009.
IKI Israel Korea Initiative, IDC Discussion Guideline, January 9, 2009.
Taking Stock of Existing Advertising Empirical Generalizations, Wharton Impact
Empirical Generalizations in Advertising Conference, December 4, 2008.
Is Marketing Driving Your Business Strategy?, The Conference Board 2008 Marketing
Excellence Conference, November 13, 2008.
Network Orchestration and Open Innovation Models, SEI Center Board Meeting,
November 7, 2008.
The Future of Advertising if NOW: Project Overview and Update, SEI Center Board
Meeting, November 6, 2008.
Challenging Your Mental Models, linKS @ Wharton, October 27, 2008.
Competing in a Flat World, The Wharton Club of Monterrey, October 12, 2008.
Islam and the West: Challenging Your Mental Models, Wharton Fellows Dubai Master
Class, October 12, 2008.
The Future of Advertising is NOW, Cheil Communications Project Based Learning in
Marketing, August 19, 2008.
Creative Thinking and Action, Toyota Executive Development Program, July 21, 2008.
Addressing the Challenges of Competing in a Flat World, Li & Fung Management
Group, July 10, 2008.
The Innovation Challenge, Raytheon Executive Leadership Development Program,
June 9, 2008.
Competing in a Flat World, Wharton Club of Madrid, June 4, 2008.
Making Your Way in the New Flat World Economy, CASRO International Research
Conference, May 6, 2008.
Competing in a Flat World, Wharton Club of Southern CA, April 24, 2008.
Wharton Fellows Philadelphia Master Class: Innovation and Creativity, Wharton
Fellows, April 6, 2008.
Challenging Your Mental Models, Wharton Fellows, April 6, 2008.
Philadelphia Master Class: The Power of Impossible Thinking, Wharton Connect, April
3, 2008.
Selling Scents: Innovative Approaches to the Age Old Selling Challenge in a Flat World
of Empowered Consumers, The Fragrance Foundation Conference, March 12, 2008.
Competing in a Flat World, Wharton Fellows, February 26, 2008.
Competing in a Flat World, Wharton Club of NY, February 5, 2008.
Challenging the Current MBA, January 1, 2008.
IDC@Wharton Summary and Reflections, IDC@Wharton EMBA Program, October 19,
2007.

74
Wharton Fellows Getting the Most out of Silicon Valley: The Next Big Thing, Wharton
Fellows Silicon Valley, October 14, 2007.
The Future of Advertising, SEI Center Board Meeting, November 16, 2007.
Network-Based Strategies and Competencies, SEI Center Board Meeting, November
16, 2007.
Network Orchestration: Core Competencies for a Borderless World, Wharton-INSEAD
Impact Conference: Network-Based Strategies and Competencies, November 9, 2007.
Advances in New Product Development and Innovation, Mutual Art Lecture Series,
November 2, 2007.
Rigor & Relevance: A Key Marketing Challenge, The Buck Weaver Award
Presentation, September 7, 2007.
Online Panels: Where We Are Today and Where We Are Headed in the Future,
CASRO, June 22, 2007.
The Creative Economy, Art and Culture at Penn and in Philadelphia, Penn Arts
Leadership Conference, May 9, 2007.
Network Orchestration, Network-Based Strategies & Competencies Workshop, May 3,
2007.
The Challenge of Managing Creativity, The Biological Basis of Creativity: Defense
Sciences Office Workshop, April 17-18, 2007.
Succeeding in a Flat World, The Wharton Economic Summit, Philadelphia, April 12,
2007.
Brand Names and Logos: Implications to Language Instruction, Penns Language
Faculty, March 22, 2007.
The Future of Management Education, International Academy of Management @ IMD,
March 22, 2007.
The Future of Management Education, International Academy of Management @ IMD
Lausanne, Switzerland, March 16, 2007.
Innovation Strategies for Profitable Growth, Wharton Fellows Philadelphia Master
Class Managing in an Evolving World, February 27, 2007.
Web 2.0 & Social Networking: Implications for Management, The Worldwide J&J
Diabetes Franchise Leadership Team, January 3, 2007.
The Future of the Corporation Survey Results, SEI Center Board Meeting, November
16, 2006.
The Future of the Corporation: Vision, Objectives, Strategy, Architecture, and
Governance, SEI Center Board Meeting, November 17, 2006.
The Power of Impossible Thinking: Implications for OD, Organizational Development
Network of Greater NYC, October 17, 2006.
Should the Alumni Leadership Challenge their Mental Models? Alumni Leadership
Conference, October 14, 2006.
Perspectives on Research: Innovation, Impact, and Fun, The Joseph Wharton
Scholars Senior Research Seminar, October 11, 2006.
Reinventing the MBA, Panelist at the MBA Roundtable Session on MBA 2020:
Curricular Innovation for Tomorrows Business School, October 6, 2006.
Customer Value: Strategies for the Long Term, Marketing Precision Conference: The
Value of Marketing, September 27, 2006.
Does Korean Marketing Need Reform? Korean Marketing Club, Seoul, June 5, 2006.
Redefining Marketing for the 21
st
Century, Wharton Club of Korea, Seoul, June 3, 2006.
Advances in the Management of Technological Innovation, Executive Briefing at
Samsung Electronics, June 2, 2006.
WSP Editorial Board: Focused on Addressing the Challenges, WSP Editorial Board
Meeting, April 10, 2006.
The Changing Nature of Corporations: Competing in a Flat World, organizer and chair
of a panel at the Milken Institute Global Conference, April 2006.
Challenging Your Mental Models, Wharton's Business Initiative re: Building Winning an
Profitable Organization in Professional Team Sports, March 19, 2006.
Brand Names and Logos, Penn Humanities Forum on Word and Image, February 2006.

75
New Frontiers in the Practice of Management with Paul Kleindorfer, CEO Workshops
at IDC Israel, February 2006.
Strategic Trends on the Global Marketplace, The Sixth Herzliya Conference on the
Balance of Israels National Security, January 2006.
Creativity A Must for Marketing Success, back-to-class session at the 2005 Wharton
Marketing Conference, October 28, 2005.
How Should Directors Think About Directing? The Governance Summit, October 27,
2005.
The Management Challenges: Initial Responses, SEI Center Board Meeting, October
7, 2005.
Toward a New Theory of the Firm, SEI Center Board Meeting, October 7, 2005.
Wharton School Publishing and the Power of Impossible Thinking, Presentation to the
Board of the Jay H. Baker Retailing Initiative, October 6, 2005.
An Extended Example of New Risks and their Management in Supply Chains, SEI
Meeting, September 26, 2005..
Adaptive Experimentation The Sammy Ofer School of Communications and
Information, IDC Herzliya, September 9, 2005.
Recent Developments in Marketing and Branding Strategies, IDC Board of Directors
Meeting, August 25, 2005.
Barcelona 2020: Strategic Options and Action Plans, The Barcelona Group
Philadelphia Meeting, July 18, 2005.
DEWARS Premium: Challenges, Strategic Options and Action Plans, Dewars New
York, July 16, 2005.
The Lauder Institute: 1984-2005: A Reexamination, The Lauder Institute, July 12,
2005.
Decision Aiding Technologies and the New Theory of the Firm, with Paul Kleindorfer,
Mack Center for Technological Innovation Conference on Using Technology to Improve
Decision Making, May 27, 2005.
The Silver Lining: Seeing Opportunities in Risk, Recent Advances in Operations and
Risk Management Conference in Honor of Paul Kleindorfer, May 2005.
Effective Marketing Planning: What It Is and How to Produce It, JCCA Conference,
April 2005.
Strategic Shifts and the Balance of National Security: Summation, J. K. Herzliya
Conference, Israel, December 2004.
Return on Marketing Investment: Progress, Problems and Prospects, Address to the
CMO Group of the conference board, October 6, 2004.
Challenges of Identifying, Developing, and Capturing Opportunities: A Fresh Look at
Marketing, SEI Center Board Meeting, October 1, 2004.
Thought Leadership Survey Results, Presentation to WSP Editorial Board, October 2004.
Challenging the Mental Models of Marketing, A State of Marketing Symposium, Does
Marketing Need Reform? Boston, August 9, 2004.
Growth Strategies and New Mental Models, Wharton Fellows, August 2003.
The Interdisciplinary Challenge of Marketing, Ph.D. Proseminar, February 2003.
Business and the Coming War on Iraq, Webcast with Wharton Fellows, February 2003.
Convergence Marketing: Strategies for Reaching the New Hybrid Consumers, a
Webcast of the University of Wisconsin Consortium for Global e-commerce, January
2003 and a Soundview Teleconference, May 2003.
Managing the Complexities of the Convergent and Multi-Channel Marketing, CMO
Summit, October 30, 2002.
Assessing Vulnerabilities, System Approaches to Terrorism Conference at George
Washington University, July 15, 2002.
Marketing Driven Strategies for Todays Economy, presentation at Alumni Weekend,
May 2002.
Pioneer and Late Entrants: Winning Strategies, Viagra, Cardura, Darifenacin WWT
Meeting, April 9, 2002.
Wharton on the New Reality of Business: Insights from Our Experience, presentation
with Robert Mittelstaedt to the Wharton Combined Boards, March 8, 2002.

76
The Interdisciplinary Challenge of Convergence Marketing, Wharton Ph.D. Proseminar,
March 8, 2002.
Marketing Driven Strategies in a Global Economy, IBMs Managing Directors
Executive Development Program, February 13, 2002.
Should You Have a Chief Marketing Officer? January 2002.
Target Audience, Public Opinion and Foreign Policy A Marketing Perspective,
Balance of National Strength and Security The Herzliya Conference, December 2001.
Capturing Opportunities and Developing New Mental Models, Wharton on the New
Business Reality, December 2001.
Capturing Opportunities in the Post 9/11 Reality, The Wharton Club of Israel,
December 2001.
Research Challenges in the Management of Extreme Events: The Case of the Office
Homeland Security, with Paul Kleindorfer, Advisory Board Meeting of the Wharton
Managing and Financing Extreme Event Project, December 2001.
The 5 Cs of Marketing: Capitalizing on the New Opportunities of Convergence
Marketing, The Wharton Club-Atlanta, GA, November 2001.
Advances in Customer Focused Marketing and Business Strategy: The 5 Cs of
Convergence Marketing, The International Academy of Management, Claremont
Graduate University, November 2001.
Capturing Internet Opportunities Above the Low-Hanging Fruit, Business Week
Rethinking the Internet, Conference, Chicago, October 2001.
What Keeps Us Up At Night?: Post 9/11 Survey of US CEOs Top Line Results, SEI
Center Board, October 2001.
Disruptive TechnologyRethinking Your Mental Models, Forbes Global CEO
Conference, Singapore, September 2001.
Making Strategy Happen: Problems, Progress and Proposed Actions for Winning in the
Changing Global Information Age, Li & Fung Distribution Annual Conference, Hong
Kong, July 2001.
Convergence Marketing: A New Marketing Strategy for the Global e-Business
Environment, The Wharton European Forum, May 2001.
The e-Bus Challenge, the Top Executives of the Bank of East Asia, March 2001.
Globalization of Technology Startups, Wharton-Israel Global Alumni Conference on the
Globalization of Technology Intensive Business-Panel 5, March 2001.
Global Business Strategy of a Technology Start Up, Wharton-Israel Global Alumni
Conference, March 2001
Developing a Strategy, ICA Board, March 2001.
e-Bus: The Curriculum and Research Challenge: A Discussion with Jerry Wind, Faculty
Seminar, Graduate School of Business Studies, Katholieke Universiteit Leuven,
Belgium, February 2001.
Driving Change: New Business Models for the Global Digital Age, Opening Lecture of
the PriceWaterhouse Coopers Management Consultants, e-Business Chair, Graduate
School of Business Chair, Graduate School of Business Studies, Katholieke Universiteit
Leuven, Belgium, February 2001.
Reinventing Training for the Global Information Age, Delphi e-Learing Conference,
January 2001.
The Impact of the e-Bus Revolution on the Marketing Discipline, Wharton Fellows in e-
Business, The Impact on the Discipline, December 2000.
Whither System Thinking: Will Taking a Marketing Perspective be an Oxymoron?, Inaugural
Conference of the Achoff Center for Advanced Systems Appraisal, September 2000.
New Marketing Rules for e-Business Success, UNIG, Singapore, August 2000.
New Marketing Rules for the Global Information Age, IBM Global Services Academic
Conference, August 2000.
Creating an e-Business, Wharton-Singapore Management University Conference: e-
Business in the New Millennium, July 2000.
Marketing Driven Business Strategy in the Global Information Age, Managing Change in
the New Millennium, Wharton-Singapore Management University Conference, July 2000.

77
Digital Marketing: Towards a New Paradigm for the Global Information Age, Faculty
Session-INSEAD, France, June 2000.
Innovation and Change in the TurboGlobal Environment: Lessons from the
Transformation of Old Economy Firms [and Universities] and The Challenges to
Congress, Stennis Congressional Staff Fellows Program on Leadership in e-Business
Environments: What Congress Might Learn, Washington D.C., May 2000.
A New Marketing Paradigm for the Global e-Business Environment: A Catalyst for
Bridging the Gaps, Building Bridges & Broadening Perspectives: A Paradigm for the
Next Millennium, 29
th
EMAC Conference, Rotterdam, May 2000.
Preparing for Leadership in the Changing e-Business Environment, CEO Circle, May 2000.
Building Communities, Virtual Communities and the Internet, April 2000.
Valuation: Valuable or Value Less, Entering the Virtual Millennium, Wharton North
American Regional Forum, April 2000.
The Future of the Marketing Organization, The Future of the Marketing Organization,
MSI Board of Trustees Meeting, Cambridge, Massaschusetts, April 2000.
Research Priorities in e-Commerce and Internet Marketing, Web Consortium,
Pennsylvania State Universitys ISBM, March 2000.
Marketing Driven Business Strategy in the Global Information Age, Studio Ambrosettis
top executive seminar in Padova and Milan, March 2000.
Customization Strategies for Financial Services in the Global Information Age, the
Citigroup and Simon Graduate School conference on Electronic Banking Commerce,
New York. February 17-18, 2000.
Emerging Trends in the Pharmaceutical Industry and the Expected Scenarios,
Innovative Managed Care Contracting, January 2000.
Marketing Science: Accomplishments and Challenges in the Global Information Age,
Informs, November 1999.
Towards a Research Agenda in E-Commerce and Internet Marketing, AMA Educators
Conference, San Francisco, August 1999.
Creativity and Innovation, in Wharton Workshop on Creativity and Knowledge Creation,
April 1999.
Innovation Strategy, New Product Development and Launch, April 1999.
Marketing Strategy in the Global Information Age: Implications for Research and
Modeling, PhD. And Faculty Seminar IESE Universidad de Navarra, Barcelona, March
8, 1999.
Marketing Research in the Global Information Age: Practice, Problems, and Prospects,
Wharton-IDC Marketing Communications Program, March 1999.
Implementation and Feasibility Issues of New Forms of Organizations: A Marketing
Perspective, Wharton Impact Conference, March 1999.
Implementation and Feasibility Issues of New Forms of Organizations: A Marketing
Perspective, Wharton Impact Conference, March 1999.
A Marketing Perspective on Communitarian Policies, The Communitarian Summit,
Washington, D.C., February 28, 1999.
The Information Revolution and the Emerging Management Education Paradigm, On
Line Educa, Berlin, December 1998.
Towards a New Management Education Paradigm, IDC Faculty Workshop, June 1998.
An Extended Marketing Perspective on Corporate Architecture for the 21
st
Century,
Japan Marketing Association, World Marketing Conference, Tokyo, April 1998.
Winning the high Tech Wars: Strategies for Driving Change, NEC Management Team,
Tokyo, April 1998.
The Challenge of Customer-Driven Product and Service Customization, Senior
management of Convatec, March 1998.
Towards a New Marketing Paradigm, AMA Winter Marketing Educators=Conference,
February 1998.
Positioning and Segmentation in the Global Information Age, IMS Marketing
Management Meeting, January 1998.
The Challenge of Market Leadership, Bristol-Myers Squibb Medical Devices Group,
January 1998.

78
Driving Change: Preparing for the 21
st
Century, Business Writers=Seminar, December 1997.
Marketing Strategy in the Global Information Age, AMP Program, October 1997.
Integration of Marketing and other Business Functions: The Wharton Experience,
AMA: 1997 Faculty Consortium B Chicago, August 1997.
Positioning and Segmentation Opportunities for Synergy and Growth, Cognizant
Groups Marketing Council, July 1997.
Preemptive Strategies, Wharton Executive Education Competitive Marketing
Strategies, June 1997.
Creative Joint Ventures and the Potential Role of the University, Philadelphia-Israeli
Chamber of Commerce, June 1997.
Communicating and Marketing Your Excellence, Volunteer Committees of Art
Museums - VCAM Conference, Philadelphia, April 1997.
The Challenge of Information Technology to Marketing and Retailing in the 21st
Century, University of Tokyo, April 1997.
Toward a New Corporate Governance Model: Lessons from the Japanese and U.S.
Experience, With Masaru Yoshitomi, the Corporate Governance Workshop, March 1997.
Creating a Leading Global Medical Communication Company for the 21st Century,
Medicus Group International, Inc., March 1997.
Segmentation and Positioning for Sales Force Effectiveness, Sales Force
Management, Wharton Executive Education, March 1997.
Marketing Strategy in the Global Information Age: Implications for Modeling and
Research, Ph.D. Proseminar, March 1997.
Choices and Strategies for Universities in the Global Information Age, Provosts
Seminar on Information, February 1997.
The Use of Conjoint Analysis-Based Survey to Determine Consumer Price Elasticities,
Debriefing Session for the Anti-Trust Division, Washington, D.C., February 1997.
The Challenge of Competitive Strategies in the Global Information Age, The
Interdisciplinary Center for the Study of Business, Law and Technology, Herzliya, Israel,
December 1996.
Innovation and New Product Development, Tutorial at the 2nd International Workshop,
Santiago, Chile, October 1996.
Creating a 21st Century Enterprise, Universidad Adolfo Ibanez, Vina del Mar, Chile,
October 1996.
Marketing: The State of the Art, Conference of the 2nd International Workshop on
Economics and Management, Santiago, Chile, October 1996.
The Technology Challenges for Family Business, Technology Day: The Web, The
Future and You, the 1996 Family Firm Institute Conference, October 1996.
Innovative New Product and Service Development: Best Practice and Opportunities for
Experimentation, The Israel-North America Business Conference, New York, October
1996.
Creating a 21st Century Enterprise: Implications for Boards of Directors, Enhance
Board of Directors, September 1996.
Innovation in New Product Development: Best Practice in Research, Modeling and
Applications, Presentation to the JMR Editorial Board on the Special issue, August 1996.
Marketing Strategy in the Global Information Age: Implications for Research and
Modeling, AMA 1996 Doctoral Consortium, July 1996.
Creativity and Innovation: The Management Edge in the Technological Age, the First
Wind Lecture at the Interdisciplinary University of Law, Management and Technology
(ISRAEL), May 1996.
Address on Issues in Marketing Research for Legal Cases: Necessity of Using controls
and the Propriety and Risk of Repetitive Probes, Marketing and Public Policy
Conference, Washington, D.C., May 1996.
Innovation and New Product and Business Development, CEO Circle, May 10, 1996.
Segmentation in the Global Information Age: Accomplishments, Problems and
Challenges, The 1996 Converse Award Presentation, May 7, 1996.
Advances in Marketing, Janssen Pharmaceutica, April 18, 1996.

79
Marketing in the Pharmaceutical Industry: Emerging Challenges and Opportunities,
Keynote Address, Healthcare Marketing and Communications Council and Wharton
Executive Education, Wharton School, April 8, 1996.
The Stakeholder Challenge for Increased European Competitiveness, Wharton
European Forum, (London, England), March 29, 1996.
Product Launch, Software Development and Marketing for Competitive Advantage, IC
2
,
The University of Texas Conference, March 20, 1996.
The Next Enterprise: Creating a Successful 21st Century Enterprise Today, The Hong
Kong Management Association, January 12, 1996.
Toward Virtual Management Education, International Academy of Management
(Boston, MA), December 8, 1995.
Business in the Global Information Age, The Interdisciplinary Center of Business, Law
and Technology, December 3, 1995.
Marketing Issue in the Global Economy, Wharton Doctoral Consortium, August 11,
1995.
A View of Marketing Through the Prism of the 1977 and 1995 Doctoral Consortia,
Wharton School, Doctoral Consortium, August 8, 1995.
Toward a New Marketing Paradigm, Ambrosetti Groups A.F. Meeting (Rome, Italy),
March 8, 1995.
Toward a New Marketing Paradigm: Lessons From and Implications to the Marketing of
Services, Ambrosetti Groups Chief Executive Seminar (Milan, Italy), March 7, 1995.
The Value of Marketing Program, Janssen Pharmaceutica, January 9, 1995.
"The Virtual University: Research and Action Agenda, The Virtual University
Conference, SEI Center, January 12, 1995.
"Marketing 2000, AIMSE/Wharton Investment Institute, January 13, 1995.
"Beyond Brand Management, Wharton MBA Marketing Club, January 23, 1995.
A New Management Paradigm for the 21st Century Enterprise, Conference of the
International Academy of Management, December 9, 1994.
Research Priorities in Marketing as Derived From the SEI Center for Advanced Studies
in Management Work on Creating Successful 21st Century Enterprises, Doctoral
Proseminar, November 16, 1994.
Creating a Successful 21st Century Enterprise: Implications for Business and Marketing
Theory, Practice, Research and Education, The University of Tokyo, November 4, 1994.
State of the World: Trades, Problems and Prospects, YPO Philadelphia Chapter
University, The Cloister, September 1994.
Is Your Marketing Obsolete? Implications of the New Marketing Paradigm for Business
and Non-profit Organizations, YPO Philadelphia Chapter University, The Cloister,
September 1994.
The Value of Marketing: A Research Agenda, Value of Marketing Conference, Stanford
University, August 9, 1994.
Electronic Commerce: Progress and Prospects, AMA Conference, San Francisco,
August 8, 1994.
Determining the Value of Marketing: A New Challenge to the Discipline, San Francisco
AMA Conference, August 8, 1994.
JMR Special Issue on Innovation in New Product Development: Best Practice in
Research, Modeling and Applications, JMR Editorial Board Meeting, San Francisco,
August 7, 1994.
Entering the U.S. Consumer Durable Markets, Nijenrode Executive MBA Program,
August 4, 1994.
A New Approach for Estimating the Demand for Interactive TV Products and Services,
Interactive Industry 2000: Market Research for the Interactive Television Business, July
28-29, 1994.
Creating a 21st Century Enterprise, Poon Kam Kai Institute of Management, The
University of Hong Kong, June 16, 1994.
Advances in U.S. Marketing and Their Implications to China, Joint faculty seminar of
the School of Economics and Management, Tsinghua University and the School of
Management, Peking University, June 15, 1994.

80
Toward a New Marketing Paradigm, a faculty seminar at the Hong Kong University of
Science and Technology, School of Business and Management, June 14, 1994.
Empirical Generalizations in Marketing: Opportunities for MSI Research Program, MSI
Board of Trustees Meeting, April 29, 1994.
Textbook of the Future: A Perspective From the Virtual University Lab, April 8, 1994.
The Impact of Marketing Science on Industry and Academia, The Oscar W. Neuhaus
Lecture, Rice University, March 23, 1994.
The Challenge of a New Marketing Paradigm, University of Texas at Austin,
March 23, 1994.
Market Driven Quality, at the Beyond Quality: Organizational Transformation to the
21st Century Enterprise, March 17-18, 1994.
The Marketing Challenges for the Philadelphia Orchestra, Presentation to the Board of
Trustees of the Philadelphia Orchestra, March 1, 1994.
Pharmaceutical Marketing: Emerging Challenges and Opportunities, Pharmaceutical
Advertising Council and Wharton Executive Education Conference on Reengineering
Pharmaceutical Marketing, February 25, 1994
Role of Marketing in the New MBA Curriculum: Lessons from the Wharton Experience,
AMA Winter Conference, February 21, 1994.
Empirical Generalizations in Marketing: Some Observations, Wharton Conference on
Empirical Generalizations in Marketing, February 16-18, 1994.
Increasing Marketing Effectiveness, Executive Conference of Schering-Plough Int.,
January 18, 1994.
The Value of Pharmaceutical Advertising and Promotion, Coalition of Healthcare
Communication Conference, Marketing Conference in an Era of Change, New York
October 27, 1993.
Advances in Marketing Strategies, Nijenrode University Executive Program,
August 6, 1993.
"Global Consumer Brand Strategies: Problems and Prospects, Seminar for the
Business Partners of the Norwegian School of Management, June 11, 1993.
"Determinants of New Product Success: Lessons from the U.S. and Japan, Faculty and
Ph.D. students seminar at Erasmus University, June 10, 1993.
"Getting the Most out of Benchmarking, Board of Directors of Wharton=s Alumni
Association, May 14, 1993.
Marketing Opportunities in Japan and East Asia, with Hotaka Katahira and the
International Forum Participants, April 18, 1993.
"Toward a New Marketing Paradigm: Implications for Marketing Departments, Advisory
Board Meeting of the Wharton's Marketing Department, April 8, 1993.
"The New Wharton MBA Curriculum, Faculty seminar at Erasmus University, March 10
and June 10, 1993.
"Marketing Science at a Crossroad, Inaugural Presentation as the first holder of the
Unilever-Erasmus Marketing Professorship, Erasmus University, February 18, 1993.
"The Strategic Impact of Market Driven Quality, with Paul R. Kleindorfer. ORSA/TIMS,
San Francisco, Session on Customer Satisfaction and its Role in Global Competition.
November 1992.
"Issues and Advances in New Product Development and Management: A U.S.
Perspective, Advanced Industrial Marketing Strategy Seminar, September 18, 1992.
"The Market Driven 21st Century Enterprise: Implications for Law Departments,
Presentation at the SmithKline Beecham U.S. Law Department Conference on
Customer Focus Continuous Improvement, April 28, 1992.
"New Product Development: Problems, Advances and Prospects, Wharton's Advanced
Industrial Marketing Strategy, March 19, 1992.
"Preparing for the 21st Century Today, Securities Industry Institute, 40th Anniversary
Program, March 1992.
"The Successful 21st Century Enterprise as Customer Driven: Implications for Marketing
and Management Science, University of Texas at Austin, Faculty Colloquium, February
1992.

81
"Time Based Competition: Implications for Marketing Science, INSEAD Faculty
Presentation, January 1992.
"A New Management Paradigm for Israel's Schools of Management: Lessons from the
New Wharton MBA Curriculum, Conference on the Future of Management Education in
Israel, Jerusalem, Israel, October 16, 1991.
"Designing & Implementing an Innovative MBA Program: Lessons from the Wharton
Experience, Conference on the Future of Management Education in Israel, Jerusalem,
Israel, October 16, 1991.
"How to Develop Products More Often and Get Them to Market Faster: Guidelines for
Functional Management, Ambrosetti Group, Milan, Italy, May 9-10, 1991.
"Management in the 21st Century: Implications to the Fragrance Industry, Summit 2000
Conference of the Fragrance Association, April 8, 1991.
"Marketing Research and Modeling for the 21st Century Enterprise: The Emerging Crisis
and its Challenges, Management Science Roundtable, February 17, 1991, Redington
Beach, FL.
"Inducing Creativity and Innovation in Large Bureaucracies: Lessons from Marketing,
RGK 4th International Conference on Creativity and Innovative Management, August 8-
10, 1991, Los Angeles, CA.
"Concept Testing for Generating and Evaluating Positioning Strategies, PDMA
Positioning Conference, March 6, 1990, New York, NY.
"Research Priorities in the Information Technology Area, MSI, Information Technology
Steering Group, January 18, 1990.
"Building the 21st Century Corporation Today: A Marketing Perspective, MASTERSHIP,
January 9, 1990, Los Angeles, CA.
"Globalization: Opportunities for Innovative Research and Modeling, UCLA, January 9,
1990, Los Angeles, CA.
"Marketing Skills and Strategies for the 1990's, Pfizer International Marketing
Managers, December 1989, Lambertville, NJ.
"Increasing the Effectiveness of Your New Product Development, Indian Institute of
Technology, November 1989, Bombay, India.
"Competitive Advantage Through Strategic Marketing, Contel Corporation, October
1989, Lake of the Ozarks, MO.
"Management in the 21st Century, Wharton Advanced Management Program,
September 1989, Philadelphia, PA.
"The Contributions of Strategy and Other Business Functions to the Creation of
Innovative Marketing Knowledge, AMA Marketing Educators Conference, Chicago,
August 1989.
"The Current and Potential Contributions of Strategy and the Other Business Functions
to the Creation of Innovative Marketing Knowledge, AMA Summer Conference, August,
1989, Chicago, IL.
"Selecting and Negotiating International Strategic Alliances: Applications of the AHP,
TIMS Osaka, July 1989.
"Improving the Effectiveness of the Industrial New Product Development Process:
Lessons from Industry The AS 400 Case, 16th International Research Seminar in
Marketing, La Londe les Maures, France, May 19, 1989.
"Strategic Marketing, Studio Ambrosetti AP Milan Group, May 17, 1989.
"Developing and Launching New Products: Costs, Risks, and Conditions for Success,
Studio Ambrosetti, AF Marketing Group, May 16, 1989.
"The Marketing Challenge for Top Management:, Promises and Pitfalls of Expert
Systems," University of California, Irvine, April 27, 1989.
"Management in the 21st Century: Implications for Management Research and
Education, University of California, Irvine, April 27, 1989.
"The Globalization of Management Education: Options, Trade-Offs, and an Agenda for
Implementation, AACSB Annual Meeting, April 18, 1989, Montreal.
"A Contrarian Approach to Effective Pricing, The Pricing Institute, March 7, 1989, New
York.

82
"Achieving Competitive Advantage in Marketing, Securities Industry Association, March
6, 1989, Philadelphia, PA.
"Courtyard by Marriott: Designing a Hotel Facility with Consumer Based Marketing
Models, presented to the TIMS/AMA seminar Marketing Science: A Developmental Tool
for Management Scientists, New York, November 16, 1988.
"Technology and Marketing-Driven Global Portfolio of R&D Projects, with Robert
DeLuccia presented at the ORSA/TIMS Joint National Meeting in Denver, Co, October
26, 1988.
"Pitfalls and Challenges of Global Marketing, Second International Conference on
Marketing and Development, Karl Marx University, Budapest, Hungary, July 12, 1988.
"Information Technology and Marketing Strategy, with Eric Clemons, presented at IS,
TC and Strategy Plenary Meeting, January 1988.
"A New Challenge for Human Resource Management: Incorporating a Marketing
Perspective, The Lauder Institute: International Human Resource Conference,
December 1987.
"Advances in Marketing Strategy and Research, Wharton Alumni Club, Milan, October 1987.
"Marketing and Corporate Strategy, Studio Ambrosetti, Milan, October 1987.
"Marketing for Financial Institutions, Studio Ambrosetti, Milan, October 1987.
"Proactive Marketing Research and Modeling: Pitfalls and Prospects, PMRG Fall 1987
meeting, Captiva Island, Florida, October 1987.
"Turning Salespeople and Non-Marketing Executives into Marketing Strategists, AMA
Marketing Educators' Conference, Toronto, August 1987.
"International Marketing, Wharton Alumni Club, Toronto, August 1987.
"Marketing and Technology: Progress, Problems, and Prospects, European-American
Symposium, Enschede, The Netherlands, June 29-July 1, 1987.
"Second Generation Expert Systems: Incorporating Enhanced Explanation and
Learning, Marketing Science Conference, Jouy-en-Josas, France, June 24-26, 1987.
"Market Segmentation: Shortcomings and Opportunities, 1987 Attitude Research
Conference, West Palm Beach, Florida, May 1987.
"Advances in Marketing Research and Modeling, Studio Ambrosetti, Milan, December 1986.
"Advances in Management Strategy: A Marketing Perspective, The Institute of
Management Consultants, March 1986.
"The Marketplace of the Future: Global Consumers, Advertising Research Foundation
50th Anniversary Conference, March 1986.
"A Marketing Perspective for Public Management: Research Implications, Wharton
Department of Public Policy and Management Brown Bag Seminar, January 1986.
"Advances in Global Marketing Strategy: Concepts, Methods, and Applications,
International Symposium on Recent Developments in Management Research, Helsinki,
Finland, 1986.
"Expert Systems in Marketing, TIMS October 1986 Conference, Miami.
"Advances in Portfolio Analysis and Strategy, Chinese Management Association,
Taipei, July 1985.
"New Development in Marketing and Planning, WEFA/Lauder Seminar, June 1985,
Tokyo, Japan. Sessions on Advances in Market Segmentation, Product Positioning and
Portfolio Analysis and Strategy.
"Advances in Portfolio Analysis and Strategy, University of Illinois, Theories of
Marketing Practice Conference, May 1985
"Micro Computers in Marketing, Marketing Science Conference, March 1985.
"Global Marketing Strategies, New York University, 1985.
"Diffusion Models: The State of the Art, ASA conference, 1984.
"Management Education in a Global Context, University of Pennsylvania Conference on
Management Education and Foreign Languages, December 1984;
"Generating and Evaluating Industrial Marketing Strategies Using the AHP, TIMS
Conference, November 1984;
A Innovation Diffusion and New Product Forecasting, TIMS Conference, November 1984;
"Foreign Market Entry and Import Protection Strategies, Israel Institute of Management,
October 1984.

83
"The Contribution of Consulting to the Consumer Research Discipline, ACR conference,
October 1984.
"The CEO and the Board, Strategic Management Conference, October 1984.


84
PROFESSIONAL AFFILIATIONS AND AWARDS

Professional Affiliations

1. Fellow of the International Academy of Management (since 1989), Chancellor 2000- , Vice
Chancellor for the Americas, 1996-2000
2. Academy of International Business
3. American Marketing Associations
4. American Association for Public Opinion Research
5. American Psychological Association, Division of Consumer Psychology (Div. 23)
6. Association for Consumer Research
7. International Communication Association
8. Product Development and Management Association
9. Psychometric Society
10. Strategic Management Society
11. INFORMS The Institute of Management Sciences
12. The Market Research Society (London)

Professional Awards

1. Honorary Degrees

M.A. Honors, University of Pennsylvania, 1971

2. Awards

One of the 10 Legends of Marketing, 2009. An 8-volume set of anthologized work
forthcoming from Sage, 2012.
Buck Weaver Award, Massachusetts Institute of Technology, 2007.
Honorary Fellow of the Decade, Interdisciplinary Center, Herzliya (Israel), May 2004.
The 2003 Elsevier Science Distinguished Scholar Award of the Society for Marketing
Advances
One of the 10 Grand Auteurs in Marketing. [Alain Jolbert, EMS Management and Societe,
2000]
One of 18 JAR articles in the Special Classics Issue of articles that have withstood the test
of time. Nov./Dec. 2000.
The Paul D. Converse Award, 1996.
American Marketing Association/Irwin Distinguished Educator Award, 1993.
First Faculty Impact Award, Wharton Alumni Association, 1993.
First Runner-Up in the 1988 Franz Edelman Award for Management Science/Achievement.
The 1985 Charles Coolidge Parlin Award.
Elected as the 1984 member of the Attitude Research Hall of Fame.
Delivered the 13th (1981) Albert Wesley Frey Lecture, University of Pittsburgh.
My Product Policy book won the 1979 Book of the Year Award given by the editors of
Expansion (Mexico).
Winner of two Alpha Kappa Psi Foundation Awards for the best article published in the
Journal of Marketing in 1973 and 1976.
Runner up of the 1983 William O'Dell Award for "the article published 5 years earlier in JMR
which stood the test of time and made the most significant long run contribution to Marketing
Theory, methodology and practice".
Winning paper (with Paul E. Green) of American Psychological Association Division of
Consumer Psychology, 1972 Research Design Co mpetition.
A finalist (top 5) for the 1980 Wharton Award for teaching excellence.

3. Illustrative Citations

Third highest ranked Marketing Scholar in the University of Maryland's Kirkpatrick and Locke
Faculty Scholarship Study, 1985 (based on number of publications, citations, and peer ratings).

85
10th highest ranked marketing Scholar in the Cote, Leong and Cote "Assessing the
Dissemination and Utilization of Marketing Research in the Social Sciences: A Citation Analysis
Approach, 1990.

4. Illustrative Research Grants

National Science Foundation: U.P. Research Grant (Summer 1970);
General Foods, the Jell-0 Division (1971);
N.W. Ayer (1972) - (with Paul E. Green);
Downe Communication, Inc. (1972);
Lever Brothers (1972) - (with Paul E. Green);
Thomas Jefferson University Hospital (1973);
AT&T (1973);
The Robert Wood Johnson Foundation Clinical Scholar Fund (1974);
The John and Mary R. Markle Foundation with R.E. Frank (1975-1976);
National Science Foundation (Grant No. 51575-12928) (1975);
The National Health Care Management Center of the Leonard Davis Institute with Thomas
Robertson (1977).
Wharton Global Initiatives Research Program (2010)
Wharton Sports Business Initiative Program (2010)

5. Fellowships

Hebrew University Awards 1959/1960; 1964/1965; 1965/1966;
Ford Foundation Fellowship 1963/1964;
Owen D. Young: General Electric Fellowship in Marketing 1964/1965; 1965/1966;
Bankendorf Fellowship 1964/1965;
Stanford University Fellowship 1964/1965; 1965/1966.

6. Illustrative Recent Media Coverage

Knowledge@Wharton:
o Harnessing Networks to Create Value and Identify New Opportunities [interview, July 15,
2009] http://knowledge.wharton.upenn.edu/article.cfm?articleid=2289&specialid=88#
o What Does it Take to Compete in a Flat World? [October 31, 2007]
http://knowledge.wharton.upenn.edu/article.cfm?articleid=1836
o Can't Run, Can't Hide: New Rules of Engagement for Crisis Management [September
19, 2007] http://knowledge.wharton.upenn.edu/article.cfm?articleid=1807
o Will a New Theory Help Firms to Manage in a Flat World? [October 25, 2006]
o Business Books for the Beach, The Power of Impossible Thinking [March 22, 2006]
http://knowledge.wharton.upenn.edu/special_section.cfm?specialID=22
o Farewell, Peter Drucker: A Tribute to an Intellectual Giant [November 30, 2005]
o Should Your Next CEO Be a Philosopher? [interview, February 9, 2005]
o Whats the Buzz About Buzz Marketing? [interview, January 12, 2005], reprinted in
Wharton Alumni Magazine, Winter 2005
o Amazons Multiple Personalities [interview, January 14, 2005]
o Back to the Drawing Board: Is the Traditional Theory of the Firm Obsolete? [interview,
October 6, 2004] http://knowledge.wharton.upenn.edu/article.cfm?articleid=1047
o The Power of Impossible Thinking [book, August 25, 2004]
o Whats Behind the 4-Minute Mile, Starbucks, and Moonlanding? The Power of
Impossible Thinking [book, July 14, 2004]

86
o A Lofty Take on Leadership: Mountain Climbing and Managing Companies [book,
September 24, 2003] http://knowledge.wharton.upenn.edu/article.cfm?articleid=858
o How Business Can Prepare for War [conference, February 9, 2003]
o Could a Cyber-Terrorist Take Down Your Company? Dont Wait to Find Out [conference,
August 28, 2002] http://knowledge.wharton.upenn.edu/article.cfm?articleid=615
o The New Business Reality [conference, January 30, 2002]
o What Webvan Could Have Learned from Tesco [interview, October 10, 2001]
o Whats in Store for Capital Markets and the Economy? [interview, September 26, 2001]
o Did Terrorists Blow Up the Recovery? [interview, September 13, 2001]
o Dotcom Bomb Hits the Publications that Covered It [interview, August 29, 2001]
o Can Priceline Remain Profitable? [interview, August 15, 2001]
o Good vs. Great Leaders: The Difference is Humility, Doubt, and Drive [conference, June
20, 2001] http://knowledge.wharton.upenn.edu/article.cfm?articleid=377
o Its Not Easy Being Paul Green [interview, November 8, 2000]
o Three Marketing Lessons from the Love Bug [interview, May 24, 2000]
o Just-in-Time Education: Learning in the Global Information Age [paper, August 30, 2000]
o New Rules of Digital Marketing [interview, October 13, 1999]
o Whos Buying on the Internet? [paper, September 1, 1999]
o Marketing Strategy in the Global Information Age [lecture, July 23, 1999]
o The Knowledge Edge [conference, June 23, 1999]
o Knowledge @ Wharton, High School Edition [glossary of various marketing terms]
6 Steps to Achieving Creativity in Business, Personal Life, US News and World Report,
January 3, 2011. http://health.usnews.com/health-news/family-health/brain-and-
behavior/articles/2011/01/03/6-steps-to-achieving-creativity-in-business-personal-life.html
Wharton's Jerry Wind Predicts the Future of Advertising," IESE Insight, May 19, 2010.
http://www.iese.edu/aplicaciones/news/view.asp?id=2333&lang=en
Interviewed in report on the Future of Advertising Project, VMarketing China Magazine, April
2010.
Listing of The Network Challenge: Strategy, Profit, and Risk in an Interlinked World in KYW
News Radio 1060 AMs 10 Books to Read by Marc Kramer. November 1, 2009.
World Series a marketing windfall for Philadelphia, Philly.Com, October 27, 2009.
http://www.philly.com/philly/business/66284122.html
Media coverage of Fast.Forward (http://www.youtube.com/user/FastForward), the Marketing
Channel on YouTube co-founded with Google:
o Truth in Advertising, Penn Gazette, September, 2009.
http://www.upenn.edu/gazette/0909/gaz07.html
o YouTube's FastForward Biz Site Off to Slow Start, ReadWriteWeb Blog, September
23, 2009.
http://www.readwriteweb.com/archives/youtubes_fastforward_biz_site_off_to_slow_start
.php
o Fast.Forward. Connecting marketers with innovative ideas (and other marketers),
YouTube Biz Blog, September 23, 2009.
http://ytbizblog.blogspot.com/2009/09/fastforward-connecting-marketers-with.html
o Will the Future of Advertising Be a Blend of Old and New Media?
Knowledge@Wharton, September 30, 2009.

87
o What's the future of advertising? InternetNews.com, October 2, 2009.
http://blog.internetnews.com/dneedle/2009/10/whats-the-future-of-advertisin.html
o New Year, New Look for Google for Advertisers, Google Agency Ad Solutions Blog,
January 13, 2010. http://adwordsagency.blogspot.com/2010/01/new-year-new-look-for-
google-for.html
Interview: Yoram (Jerry) Wind, First Friday Book Synopsis, July 26, 2009.
http://ffbsccn.wordpress.com/2009/07/26/interview-yoram-jerry-wind/. Also published on
Examiner.com, July 26, 2009. http://www.examiner.com/x-14678-Dallas-Business-
Commentary-Examiner~y2009m7d26-Interview-Yoram-Jerry-Wind
Tips for Better Networking Skills, FOX Business News, July 17, 2009.
http://www.foxbusiness.com/search-results/m/25340846/tips-for-better-networking-skills.htm
Featured book in Wharton Alumni Newsletter: The Network Challenge: Strategy, Profit, and
Risk in an Interlinked World, July 2009.
http://www.wharton.upenn.edu/alumni/newsletter/2009/july/
Future of Advertising? Print, TV, Online Ads, Ad Age, June 1, 2009.
http://adage.com/article?article_id=136993
Wondering What to Do? We Asked the Experts, Ad Age, April 6, 2009.
http://adage.com/article?article_id=135772.
An Interview with Wharton Professor Jerry Wind at MPlanet 2009 on Marketing Shift Online
Marketing Blog, January 28, 2009. http://www.marketingshift.com/2009/1/an-interview-wharton-
school-professor.cfm.
Interview with LA Times on the financial crisis: Mindful Strategy, October 1, 2008.
Interview with Sally Herships regarding Asias demand for large jewels, A Glimmer in Hong
Kongs Eye. Marketplace, NPR. February 20, 2008.
The Power of Impossible Thinking, Podcast interview with LadyAdvisor.com, February 2008.
Wharton@Work Report on the Las Vegas Fellows Master Class, January 2008.
Interview on Managing Creative People, Joel Kurtzman (ed), Creating Value Through People.
Wiley 2008.
Research Conference Report Summary of CASRO Technology Conference Speech Online
Panels: Where We Are Today and Where We Are Headed in the Future, August 2007.
The Power of Impossible Thinking, Ocean City Public Library, BUSINESS BOOK CLUB, Book
of the Week, October 07, 2007.
Wharton media coverage of Competing in a Flat World:
o Wharton Alumni Magazine
o Wharton Alumni Magazine
Winter
December
2008
2007
Featured book
Featured article
o Wharton Alumni Newsletter August 2007 Featured book
o Wharton Alumni Newsletter December 2007 Featured book
o Wharton Executive
Education -- featured on
home page
September 2007 Featured book
o Wharton Faculty / Staff
newsletter
September 2007 Featured book
o Wharton Faculty / Staff
newsletter
December 2007 Competing in a Flat World
Competition
Announcement
o Knowledge at Wharton
October 2007 Interview with audio
download
o Competing in a Flat World
website
October 2007 Website went live in
October
Goh, Dr. Sunny T.H. How to Make the Impossible Possible. The Star Online. July 10, 2006.
thestar.com.my/news/story.asp?file=/2006/7/10/business/14512212&sec=business.
A link has been placed for the book The Power of Impossible Thinking on the website,
www.worksavvy.ws/organization.htm#yourself as a recommendation to entrepreneurs and the
diagram from page xxiv of the book is shown in the section of the website, Organizing Yourself:
Your Mind, Your Attitude, Time and Planning.
How Business Ideas are Born, MoneyControl.com, June 2, 2006.
Think You Know More Than Your Boss? You Just Might, Beepcentral.com, April 24, 2006.

88
New Model: Divide and Govern. Directorship. April 2006.
Creativity Comes to B-Schools, Business Week Online, March 26, 2006.
Thomas Group Review. The Power of Impossible Thinking: A conversation with Yoram (Jerry)
Wind and Jim Taylor. Also appeared at Knowledge Leadership @ Thomas Group, Winter 2006.
The Power of Impossible Thinking selected as one of the five outstanding books on Thinking
Outside the Box by the Swiss Journal CASH on March 16, 2006.
Marketing Prof. Gives Crash Course in Brand Image, Daily Pennsylvanian, February 9, 2006.
Churning Out Books for the Bigwigs, Daily Pennsylvanian, November 10, 2005.
Inaugural Thought Leader interview, The Brand Strategy Roundtable Journal, November 2005.
A number of radio interviews re The Power of Impossible Thinking, including:
o Something You Should Know with Mike Carruthers, March 2006.
o Mix 92.9 Morning Show, Nashville, March 2006.
o KRMB Radio, Strategies for Living, Shrevesport, LA, August 11, 2004.
o WKCT Radio, Drive Time, Bowling Green, KY, August 20, 2004.
o WABJ Radio, John Sabastian Morning Show, Detroit, MI, August 18, 2004.
o WKNO Radio, Smart Copy, Memphis, TN, August 17, 2004.
o KIKK Radio, Salt Lake City, UT, November 6, 2004.
Winds of Change, The Economic Times, Brand Equity, June 1, 2005, front page.
From Ink to Implementation: New Press Wharton School Publishing Co-Editors Say They Aim
for Sound Management Titles that You Can Do Something With, BusinessWeek Online, April
11, 2005.
Power of Mental Models, Asia Inc. April 2005, pp. F14-15.
Challenge Your Mental Models, The Edge Malaysia, March 21, 2005.
Meet the Master-Minds: Jerry Wind Reveals the Power of Impossible Thinking, Management
Consulting News, March 3, 2005.
Mental Power Tool, Automotive Design and Production, 2004.
Read All About It: Q&A with Jerry Wind about Wharton School Publishing, Wharton Alumni
Magazine, Spring 2004.
Comment saddresser au consummateur Post-bull? Dapres Convergence Marketing
Strategies for Reaching the Hybrid Consumer, Business Digest 127 (February 2003), pp. 19-20.
Wealth is Created During Periods of Uncertainty, Fast Company, April 2002, pp. 87-88.
Thought Leaders: Convergence Marketing: Preview an excerpt from the book by Wharton
Professor Jerry Wind and Professor Vijay Mahajan of the University of Texas, Whartons E-
Buzz, October 2001; and Knowledge@Wharton, October 2001.
Wind of Change, The Peak, Volume 17, Number 1, 2001.
Conversation with Jerry Wind, Singapore, October 2000; abstract reproduced in
http://can.mediacorpnews.com/analysis_prog/incon/incon_wind1.htm.
You Cant Be An Extremist, Globs March 8, 2001 (Hebrew).
Wind, Yoram (Jerry). Managing in the Year 2000 Executive Issues. August 1991.


89
PERSONAL DATA

Office: The Wharton School
University of Pennsylvania
Philadelphia, PA 19104
Tel: (215) 898-8267
Fax: (215) 898-1703
E-mail: windj@wharton.upenn.edu

Marital Status: Married to Vardina Wind, Artist, (BA in Sociology, MA in Communications); Two children.

Illustrative Pro Bono Activities

The Fox Chase Cancer Center, Member, Advisory Board (2009-present)

The Philadelphia Museum of Art. Trustee (1992-present); Member of the Digital Age Committee (2009-
present); Member of the Corporate Executive board of the Museum (1996- ); Led a trustee
committee and the management and curatorial staff of the museum in the development of a market
driven strategy, (1990); Member of the Nominating Committee (1999-2002); Member of Trustee
Committees for Development (1993-1997); Special Exhibitions (1993-1995); and Strategy (1997-1998);
Chairman, Audience Building Committee (2004- );

The Interdisciplinary Center, Herzliya (Israel), all planning activities and other involvement (as outlined on
p. 43), since 1994.

American Friends of IDC Founding President (1998-2002); Member (2003-present).

Government of Catalonia, International Advisory Board (2007- )

National Constitution Center, Member, Strategic Planning Steering Committee (2005)

Business for Diplomatic Actions, Member, Advisory Board and Coordinator of the Wharton research
efforts in this area (2005- )

Lauder Institute Alumni Association, Advisory Board (2005-present)

Institute of Contemporary Art (ICA). Help guide a strategic planning process (2001).

University of Pennsylvania Museum of Archeology and Anthropology. Help establish a vision and
revenue generation strategies (1999).

The Philadelphia Orchestra: Advisor regarding the development of Marketing Strategy (1994-1997).

The Jewish Federation of Greater Philadelphia: Member of the Financial Resource Development
Committee, 1990-1992.

Operation Independence, Israeli Management School Oversight Committee, 1991-1992.

Affiliations:

The Philadelphia Museum of Art Trustee (Philadelphia)
The Institute of Contemporary Art of the University of Pennsylvania (Philadelphia)
Pennsylvania Academy of the Fine Arts (Philadelphia)
The Museum of Modern Art (New York)
American Craft Museum (New York)
Whitney Museum of American Art (New York)
The Jewish Museum (New York)
Guggenheim Museum (New York)
U.S. Holocaust Memorial Museum (Washington D.C.)
APPENDIX B
DOCUMENTS REVIEWED AND/OR RELIED UPON
Bates Range
APL7940000082356 APL7940000082378
APL7940000102312 APL7940000102332
APL-ITC796-0000508285 APL-ITC796-0000508544
APLNDC0000036172 APLNDC0000036265
APLNDC0000036266 APLNDC0000036348
APLNDC0000036349 APLNDC0000036570
APLNDC00004618 APLNDC00004736
APLNDC0001867475 APLNDC0001867477
APLNDC0002007608 APLNDC0002007704
APLNDC0002831037 APLNDC0002831088
APLNDC-X0000006548 APLNDC-X0000006647
APLNDC-Y0000023361 APLNDC-Y0000023907
APLNDC-Y0000024130 APLNDC-Y0000024333
APLNDC-Y0000025460 APLNDC-Y0000025574
APLNDC-Y0000026687 APLNDC-Y0000026807
APLNDC-Y0000027136 APLNDC-Y0000027422
SAMNDCA00237973
Legal Documents:
Apple Inc., v. Samsung Electronics Co., Ltd., et al., No. 12-CV-0630, Judgment, October 11, 2012.
Apple's Motion for a Permanent Injunction and for Damages Enhancements, September 21, 2012.
Declaration Of Andries Van Dam, Ph.D. In Support Of Samsungs Opposition To Apples Motion For A Permanent Injunction And For Damages
Enhancements Regarding U.S. Patent No. 7,469,381, October 18, 2012.
Declaration of Marylee Robinson in Support of Apple's Motions for a Permanent Injunction, for Damages Enhancement, for Supplemental Damages and
Prejudgment Interest with Exhibits 9, 29, and 31, September 21, 2012.
Declaration Of Stephen Gray In Support Of Samsungs Opposition To Apples Motion For A Permanent Injunction And Damages Enhancement, October
18, 2012.
Declaration of Terry Musika in Support of Apple's Motion for Permanent Injunction with Exhibit 51, 53, 54, 56, 58- 61, and 66-68, August 29, 2012.
Defendant Exhibits 30, 48, 49, 52, 62, and 63.
Joint Pretrial Statement and Proposed Order, July 24, 2012.
Trial Tr. vol. 6, 1638-1988, Aug. 10, 2012.
Depositions:
Deposition of John Hauser, April 27, 2012.
Deposition of Ramamirtham Sukumar, Ph.D., April 24, 2012.
Expert Reports:
Corrected Expert Report of Michael J. Wagner, April 20, 2012.
Expert Report of John R. Hauser with Supporting Documents, March 22, 2012.
Expert Report of R. Sukumar Regarding the Amount Samsung Customers Would Be Willing to Pay for the Features Associated with Patent Nos. U.S.
7,844,915, U.S. 7,469,381, U.S. 7,864,163, and U.S. 7,663,607, April 16, 2012.
Patents:
U.S. Patent No. 7,469,381 B2.
U.S. Patent No. 7,844,915 B2.
U.S. Patent No. 7,864,163 B2.
Page 1 of 3
APPENDIX B
Analyst Reports, News Articles and Books:
North American Smartphones Market, Frost & Sullivan report number N81F-65, December 2010.
Arthur, Charles, Apple v Samsung: the questions the jury has to answer, The Guardian , August 22, 2012, available at http://www.guardian.co.uk/
technology/2012/aug/22/jurors-samsung-apple-questions (viewed October 9, 2012).
Bell, Donald Tablet Buying Guide, CNET , March 28, 2012, available at http://reviews.cnet.com/tablet-buying-guide/?tag=auxPromo (viewed October 16,
2012).
Bennett, Brian. New iPad first tablet with Bluetooth 4.0: Should you care? CNET , March 9, 2012, available at http://news.cnet.com/8301-1035_3-
57394350-94/new-ipad-first-tablet-with-bluetooth-4.0-should-you-care/ (viewed October 18, 2012).
Brazell, Jeff D., Christopher G. Diener, Ekaterina Karniouchina, William L. Moore, Vlerie Sverin and Pierre-Francois Uldry, The no-choice option and
dual response choice designs, Marketing Letters , Vol. 17, No. 4 (Dec., 2006), pp. 255-268.
Goldberg, Stephen M., Paul E. Green, and Yoram Wind. Conjoint Analysis of Price Premiums for Hotel Amenities. Journal of Business 57.1.2 (1984): S111-
S132, available at http://dl.dropbox.com/u/9686940/windj/8403_Conjoint_Analysis_of_Price_Premiums.pdf.
Green, Paul E. and V. Srinivasan, Conjoint Analysis in Marketing: New Developments with Implications for Research and Practice, Journal of Marketing,
Vol. 54, No. 4 (Oct., 1990).
Green, Paul E. and Yoram Wind. New Way to Measure Consumers' Judgments. Harvard Business Review 53 (July - Aug. 1975): 107-117, available at
http://dl.dropbox.com/u/9686940/windj/7509_New_Way_to_Measure_Consumers'.pdf.
Green, Paul E., Abba M. Krieger, and Yoram (Jerry) Wind. Thirty Years of Conjoint Analysis: Reflections and Prospects. Interfaces 31.3.2 (May - June
2001): S56-S73, available at http://dl.dropbox.com/u/9686940/windj/0102_Thirty_Years_of_Conjoint_Analysis.pdf.
Green, Paul E., Frank J. Carmone, and Yoram Wind. Subjective Evaluation Models and Conjoint Measurement. Behavioral Science 17.3 (May 1972): 288-
299, available at http://dl.dropbox.com/u/9686940/windj/7205_Subjective_Evaluation_Models_and_Conjoint.pdf.
Green, Paul E., Jerry Wind, and Vithala R. Rao. Conjoint Analysis: Methods and Applications. The Technology Management Handbook. Ed. Richard C.
Dorf. Boca Raton, FL: CRC Press, 1998. 12-6612-72, available at http://dl.dropbox.com/u/9686940/windj/9903_Conjoint_Analysis_Methods_and_
Applications.pdf.
Green, Paul E., Yoram Wind, and Arun K. Jain. Consumer Menu Preference: An Application of Additive Conjoint Measurement. Proceedings of the Third
Annual Conference of the Association for Consumer Research . Ed. M. Venkatesan. Chicago: Association for Consumer Research, 1972. 304-315, available
at http://dl.dropbox.com/u/9686940/windj/7208_Consumer_Menu_Preferences_An_Application.pdf.
Harrison, Glenn W. and Elisabet E. Rustrom. 2008. Experimental Evidence on the Existence of Hypothetical Bias in Value Elicitation Methods. In Charles R.
Plott and Vernon L. Smith (eds.), Handbook of Experimental Economics Results. New York: Elsevier B.V.
Huber, Joel. What We Have Learned from 20 Years of Conjoint Research: When to Use Self-Explicated, Graded Pairs, Full Profiles or Choice Experiments,
Proceedings of the Sawtooth Software Conference , August 1997.
Johnson, Rich and Bryan Orme: Getting the Most from CBC, Sawtooth Software Research Paper Series , 1997.
Kidron, Ittai and George Iwanyc, 2012 Handset Guidebook, Oppenheimer Equity Research, November 13, 2011.
Krieger, Abba M., Paul E. Green and Yoram (Jerry) Wind. Adventures in Conjoint Analysis: A Practitioners Guide to Trade-Off Modeling and Applications.
Philadelphia: The Wharton School, 2004, available at https://marketing.wharton.upenn.edu/faculty/green/monograph/.
McFadden, Daniel. The Choice Theory Approach to Market Research, Marketing Science , Vol. 5, No. 4, Special Issue on Consumer Choice Models (Autumn,
1986).
Miller, Matthew. ACCELL MHL adapter turns the HTC Flyer into a portable media server (review). The Mobile Gadgeteer , September 8, 2011, available
at http://www.zdnet.com/blog/mobile-gadgeteer/accell-mhl-adapter-turns-the-htc-flyer-into-a-portable-media-server-review/5095 (viewed October 17, 2012).
Orme, Bryan K., Getting Started with Conjoint Analysis: Strategies for Product Design and Pricing Research, Research Publishers, Madison, WI, 2010.
Orme, Bryan, Formulating Attributes and Levels in Conjoint Analysis, Sawtooth Software, Inc., 2002.
Pogue, David, Just How Many Android Tablet Apps Are There?, The New York Times , July 1, 2011, available at http://pogue.blogs.nytimes.com/2011/07/01/
mystery-how-many-android-tablet-apps/, (viewed October 18, 2012).
Pride, William M. and O.C. Ferrell, Marketing, South-Western College Publishing, 2012.
Purewal, Sarah Jacobsson. The ultimate Android tethering guide. PC World , September 5, 2012, available at http://www.pcworld.com/article/261928/the_
ultimate_android_tethering_guide.html (viewed October 17, 2012).
Reed, Brad, Apple vs. Samsung: The gory details, BGR, August 24, 2012, available at http://www.bgr.com/2012/08/24/apple-samsung-trial-verdict-
samsung-loses-big/ (viewed October 9, 2012).
Vascellaro, Jessica E., Apple Wins Big in Patent Case, The Wall Street Journal , August 25, 2012, available at online.wsj.com/article/SB100
00872396390444358404577609810658082898.html (viewed October 9, 2012).
Wind, Yoram (Jerry), Abba M. Krieger, and Paul E. Green. Applying Conjoint Analysis to Legal Disputes: A Case Study. Wharton School Working Paper,
2002, available at http://dl.dropbox.com/u/9686940/windj/0601_Applying_Conjoint_Analysis_to_Legal.pdf.
Wind, Yoram (Jerry). New Developments in Conjoint Analysis. Paper presented at the 25th Annual Midwest Conference of the American Statistical
Association on What's New in Statistical Techniques for Marketing Research, Mar. 1978.
Wind, Yoram, Paul E. Green, and J. Douglas Carroll. Multi-Attribute Decisions in Marketing: A Measurement Approach. Hinsdale: The Dryden Press, 1973.
Ziegler, Chris. "Why Is Verizon's iPhone 5 Unlocked? Don't Thank Google or the FCC." The Verge . September 25, 2012, available at http://www.theverge.
com/2012/9/25/3405610/verizon-iphone-5-unlocked-open-access-fcc. (viewed October 17, 2012).
Ziegler, Chris. AT&T adding an extra 2GB to phone tethering plans, launching Mobile Hotspot app February 13th. Engadget , February 2, 2011, available
at www.engadget.com/2011/02/02/atandt-adding-an-extra-2gb-to-phone-tethering-plans-launching-mob/ (viewed October 17, 2012).
Page 2 of 3
APPENDIX B
Websites:
How to Buy a Cell Phone, PC World, November 29, 2011, available at http://www.pcworld.com/article/125653/cell_phone_guide.html (viewed October 16,
2012).
Motorola Droid Razr Maxx review (Verizon Wireless). CNET , October 17, 2012, available at http://reviews.cnet.com/smartphones/motorola-droid-razr-
maxx/4505-6452_7-35128051-2.html (viewed October 17, 2012).
Tablet Buying Guide, Consumer Reports , May 2012, available at http://www.consumerreports.org/cro/tablets/buying-guide.htm (viewed October 16, 2012).
http://cell-phones.toptenreviews.com/smartphones/ (viewed October 12, 2012).
http://marketing.wharton.upenn.edu/profile/196/cv.
http://shop.sprint.com/mysprint/shop/phone_wall.jsp?filterString=smartphone&isDeeplinked=true&INTNAV=ATG:HE:Smartphones (viewed October 18,
2012).
http://tablets-review.toptenreviews.com/ (viewed October 12, 2012).
http://www.amazon.com/SanDisk-SDSDU-064G-A11-Ultra-UHS-I-Class/dp/B007B5RJA6/ref=sr_1_94?s=pc&ie=UTF8&qid=1350430546&sr=1-94&
keywords=sandisk+64 (viewed October 10, 2012).
http://www.apple.com/iphone/from-the-app-store/, accessed October 18, 2012.
http://www.samsung.com/us/mobile/cell-phones/SGH-I777ZKAATT-features (viewed on October 17, 2012).
http://www.samsung.com/us/mobile/cell-phones-accessories#container (viewed October 8, 2012).
Tablet Computer Definition, PC Magazine , available at http://www.pcmag.com/encyclopedia_term/0,2542,t=tablet+computer&i=52520,00.asp (viewed
October 16, 2012).
Other:
Exh. 32 - Time to Tab - Samsung Galaxy Tab 10.1 Global TV Commercial - YouTube.mp4
Page 3 of 3
EXHIBIT 1
SAMSUNG GALAXY S II (AT&T) FEATURES AND SPECIFICATIONS
Page 1 of 2
He l(1'll > Q II Phcvles > Fean.es >
Samsung Galaxy STM II, available at AT&T
""Tweet r 178 'lllnu .!.] H:liidM
25
SGH-1777 70bREVIEWS
OVERVIEW FEATURES SPECS GALLERY ACo--:ESSORIES SUPPORT
Features
The brightest, most colorful screen
The Galaxy S"' II has an amazing 4.27" Super AMOLED"' Plus
screen This superb display has razor sharp clanty and
breathtaking color. See every detail of videos and ptctures See
the full range of hues in all their subtlety and brilliance. And with
Its supenor wide viewing angle, you donl have to be directly in
front of the screen to see a perfect Image_ Truth IS, you realty
have to see to believe it.
Watch Vtdeo >>
Entertaining with movies and TV shows
Choose from thousands of premium mov19s and TV shows on
Med111 Hub, and begin watching them in seconds thanks to
progressive download optimized for mobile phones.
The Galaxy S'" II utilizes Adobe Flash Technology With
ease, so you'll have better access to millions more web pages
and VIdeos
Green guides show you the way
In an effort to provide our customers the latest 1n technology and the
best user -experience, we've provided an new environmental-friendly
alternative to a printed paper guide_ Virtual Guides provide a "one-stop"
support experience with everything from User Guides, Support Videos,
Commeraals, and Simulations_ Take tha our next step in go1ng green.
SGH-1777 Galaxy S II V1rtual User Guide - ENGLISH
Shoot super sharp photos and videos
Sure, the Galaxy S'" II has a huge screen,
but 1t's a mere 8.89 mm at its thinnest from
front to back That's only .35 of an inch For
such a large phone, you'll be amazed how
easily 1t slips 1n and out of your pocket.
When you want to shoot your own videos
and photos, you'll have an 8MP 1 080p
camera at your fingertips_ You can even
output v1deos from your phone to watch on
an HDTV an optional Samsung HDTV
Smart Adapter
.
. :.w. a
.
f ;:i
For video chat, there's a 2 MP front facing camera. With Google Talk, you can video chat with
all of your Google Talk contacts, whether they ore on a mobile phone oro computer.
Chock out our camera and tncks and start enJoying dazzJ1ng, detail-nch photos in a snap.
Specificati ons
Carrier
AT&T
Form Fact or
ro;,<-t;:;r.r!;<ln
Size
Product Dimenstons 4 96" (l) x 2.60" (W) x .35"
(D)
We1ght 4 3 oz
. - ...
Color
Black
Battery
Standby Time Up to 400 Hrs'
__
Network
Frequenc1es and Data Type GSM
Ouadband 8501900/1800/1900MHz UMTS
Tnband-850/ 1900121 OOMHz
Data Speed GPRSIEDGEIHSPA+
SAR V lua Hhdd 0 36 Wlkg
so<iY o_oowlkg.
----
Platform
Android"' 4 0, Ice Cream Sandwich
CPU I Processor
Processor Speed, Type 1.2 GHz, Dual Core
(Samsung Exnyos C21 0)
Display
Display 480x800 Pixel
Display S1ze: 4.3"
DISplay Technology Super AMOLED Plus

User Int erface
User Interface Features: Widgets; TouchWiz;
Social Hub; Smart Unlock; Accelerometer
Camera
Rear -fac1ng Camera Resolution: 8.0 MP
- -----
Front-facing Camera Resolution: 2.0 MP
Digital Optical Zoom: 4x
Camera Features Auto Focus; Shot Modes, ISO,
Shooting Mode, SceneMode. White Balance;
Smile Shot; Camcorder; DivX; HD Recording;
HD Playback, TVOut; Online Image Uploading
EXHIBIT 1
SAMSUNG GALAXY S II (AT&T) FEATURES AND SPECIFICATIONS
Notes & Sources:
Highlights represent specifications that may be related to the patented features.
From http://www.samsung.com/us/mobile/cell-phones/SGH-I777ZKAATT-features (viewed on October 17, 2012).
Page 2 of 2
EXHIBIT 2
HOVER-OVER DESCRIPTIONS FOR SPECIFICATIONS LISTED ON SAMSUNG GALAXY S II FEATURE PAGE
Category Specification Hover-Over Description
Carrier AT&T Provides who the cell phone carrier is for this model of phone.
Size Product Dimensions: 4.96 (L) x 2.60 (W) x .35 (D) Height, width and depth of the phone, measured in inches (in.).
Weight: 4.3 oz. Weight of the phone, measured in ounces (oz.).
Color Black Choice of colors (exterior design) that a cellphone model is currently available in.
Battery Standby Time: Up to 400 Hrs* Amount of time available in Sleep mode in which a phone's display is inactive to save power, but not totally shut down.
Continuous Usage Time: Up to 8 Hrs Talk* Battery power consumption depends on factors such as network configuration, signal strength, operating temperature, features selected,
vibrate mode, backlight settings, browser use, frequency of calls and voice, data and other application usage patterns.
Network SAR Value: Head 0.36 W/kg SAR stands for Specific Absorption Rate which is the unit of measurement for the amount of RF energy
absorbed by the head when using a mobile phone.
SAR Value: Body 0.90 W/kg SAR stands for Specific Absorption Rate which is the unit of measurement for the amount of RF energy
absorbed by the body when using a mobile phone.
Display Has Touchscreen Technology that enables users to interact with a phone by touching images, words, or icons on the display.
Camera Rear-facing Camera Resolution: 8.0 MP Number of pixels across and down that are used to capture an image. More pixels, the sharper the photo.
Memory External Memory: Supports up to 32GB microSD card Hardware device or memory card that connects to a phone for the purpose of receiving and storing data.
Notes & Sources:
From http://www.samsung.com/us/mobile/cell-phones/SGH-I777ZKAATT-features (viewed on October 17, 2012).
Descriptions shown for specifications for which detailed descriptions pop-up when the cursor hovers over them.
EXHIBIT 3
SUMMARY OF FEATURES AND OPTIONS
CONSIDERED BY PROFESSOR HAUSER IN HIS SMARTPHONE CONJOINT ANALYSIS
Level
1 2 3 4
Feature
Touchscreen Reliable Touch Reliable Touch, Rubberband,
Tap to Re-center after Zoom
Less Reliable Touch,
Autoswitch (1 to 2 Fingers),
Rubberband, Tap to Re-
center after Zoom
Reliable Touch, Autoswitch
(1 to 2 Fingers), Rubberband,
Tap to Re-center after Zoom
Connectivity Cellular, WiFi Cellular, WiFi, Tethering Cellular, WiFi, Tethering,
MicroUSB
Cellular, WiFi, Tethering,
MicroUSB, HDMI
Camera 3 MP Rear Camera, Standard
Video Recording, Autofocus
8 MP Rear Camera, HD
Video Recording, Autofocus,
2 MP Front Camera
2 MP Front Camera, Zoom
Storage/Memory 8 GB (2,000 songs or 3,000
photos)
16 GB (4,000 songs or 6,000
photos)
32 GB (8,000 songs or
12,000 photos)
23,000 photos)
Apps Available 150,000 300,000 450,000 600,000
Size and Weight 3.5 inches, 4 oz. 4 inches, 5 oz. 4.3 inches, 5.3 oz. 4.5 inches, 6 oz.
Price (with Contract) Free ($0) $99 $199 $299
Notes & Sources:
From Hauser Report, Exhibit D, pp. 15-16. Level orders may not be equal to the system used in Professor Hauser's survey.
EXHIBIT 4
SUMMARY OF FEATURES AND OPTIONS
CONSIDERED BY PROFESSOR HAUSER IN HIS TABLET CONJOINT ANALYSIS
Level
1 2 3 4
Feature
Touchscreen Full Multi-Touch Full Multi-Touch,
Rubberband, Tap to Recenter
after Zoom
Very Limited Multi-Touch,
center after Zoom
Full Multi-Touch,
center after Zoom
Connectivity WiFi WiFi, Bluetooth WiFi, Bluetooth, MicroUSB WiFi, Bluetooth, MicroUSB,
HDMI
Camera 3 MP Rear Camera, Standard
2 MP Front Camera
2 MP Front Camera, Zoom
Storage/Memory 8 GB (2,000 songs or 3,000
photos)
16 GB (4,000 songs or 6,000
photos)
12,000 photos)
23,000 photos)
Apps Available 150,000 300,000 450,000 600,000
Size and Weight 7 inches, 1 lb. 8.5 inches, 1.5 lbs. 9 inches, 1.75 lbs. 10 inches, 2 lbs.
Price (with Contract) $199 $359 $499 $659
Notes & Sources:
From Hauser Report, Exhibit E, pp. 14-15. Level orders may not be equal to the system used in Professor Hauser's survey.
EXHIBIT 5
SMARTPHONE CALCULATION OF ESTIMATED WILLINGNESS-TO-PAY PRICE PREMIUM
FOR THE AUTOSWITCH FEATURE ('915 PATENT)
BASED ON RFC SIMULATION EMPLOYED BY PROFESSOR HAUSER
Step 1 Compare a smartphone with the feature to one without the feature (all else equal)
Calculating the WTP for Autoswitch
Features Phone A - with the feature Phone B - without the feature
Touchscreen
Connectivity
Camera
Storage/Memory
Apps Available
Size and Weight
Price (with Contract)
Step 2 Modify the price and reestimate market share iteratively until market shares are equal for both products
Step 3
Notes & Sources:
Simulated choice shares were calculated following Professor Hauser's methodology using Sawtooth SMRT and his accompanying simulation
files (avss_final.srt, avss_final.hbu, avss_final.ucs, avss_final.att, avss_final.dat).
Choose level at which the other features are set - in this case at their "best"
Choose level for price - in this case "$199"
Reliable Touch, Autoswitch,
Rubberband, Tap to Re-center after
Zoom
Reliable Touch,
Zoom
MicroUSB, HDMI
MicroUSB, HDMI
12 MP Rear Camera, HD Video
Camera, Zoom
Camera, Zoom
64 GB 64 GB
600,000 600,000
4.5 inches, 6 oz. 4.5 inches, 6 oz.
$199 $199
RFC Simulated
Choice Share
67% 33%
The difference between the two prices is the implied WTP for the
feature (in this case Autoswitch):
$39
$219 $199
RFC Simulated
Choice Share
58% 42%
$238 $199
RFC Simulated
Choice Share
50% 50%
EXHIBIT 6
FOR THE AUTOSWITCH, RUBBERBAND, AND TAP TO RE-CENTER FEATURES ('915, '381 AND '163 PATENTS)
Calculating the WTP for Autoswitch, Rubberband, and Tap to Re-center after Zoom
Features Phone A - with the features Phone B - without the features
Touchscreen
Connectivity
Camera
Storage/Memory
Apps Available
Size and Weight
Step 2
Step 3
Notes & Sources:
1
The RFC Simulation tool is constrained to considering only prices within the range considered by Professor Hauser (i.e., between $0 and $299).
Simulated choice shares were calculated following Professor Hauser's methodology using Sawtooth SMRT and his accompanying
simulation files (avss_final.srt, avss_final.hbu, avss_final.ucs, avss_final.att, avss_final.dat).
Even with a price difference of $100, the smartphone with the three patented features is still associated with
a slightly larger market share, meaning that the implied WTP for the three features is at least $100.
1
Rubberband, Tap to Re-center
after Zoom
Reliable Touch
MicroUSB, HDMI
MicroUSB, HDMI
Camera, Zoom
Camera, Zoom
64 GB 64 GB
600,000 600,000
$199 $199
RFC Simulated
Choice Share
84% 16%
Modify the price and reestimate market share iteratively until market shares are equal for both products
$299 $199
RFC Simulated
Choice Share
54% 46%
$219 $199
RFC Simulated
Choice Share
80% 20%
EXHIBIT 7
TABLET CALCULATION OF ESTIMATED WILLINGNESS-TO-PAY PRICE PREMIUM
Step 1 Compare a tablet with the feature to one without the feature (all else equal)
Features Tablet A - with the feature Tablet B - without the feature
Touchscreen
Connectivity
Camera
Storage/Memory
Apps Available
Size and Weight
Price
Price
Price
Step 3
Notes & Sources:
RFC Simulated
Choice Share
50% 50%
files (avss_final.srt, avss_final.hbu, avss_final.ucs, avss_final.att, avss_final.dat).
$531 $499
RFC Simulated
Choice Share
54% 46%
$544 $499
10 inches, 2 lbs.
$499 $499
RFC Simulated
Choice Share
65% 35%
WiFi, Bluetooth, MicroUSB, HDMI WiFi, Bluetooth, MicroUSB, HDMI
$45
Full Multi-Touch, Autoswitch (1 to
2 Fingers), Rubberband, Tap to Re-
center after Zoom
Full Multi-Touch, Rubberband, Tap
to Re-center after Zoom
Camera, Zoom
Camera, Zoom
64 GB 64 GB
600,000 600,000
10 inches, 2 lbs.
EXHIBIT 8
Step 1 Compare a tablet with the feature to one without the feature (all else equal)
Features Tablet A - with the features Tablet B - without the features
Touchscreen
Connectivity
Camera
Storage/Memory
Apps Available
Size and Weight
Price
Price
Price
Step 3
Notes & Sources:
Simulated choice shares were calculated following Professor Hauser's methodology using Sawtooth SMRT and his accompanying
simulation files (avss_final.srt, avss_final.hbu, avss_final.ucs, avss_final.att, avss_final.dat).
RFC Simulated
Choice Share
50% 50%
$531 $499
RFC Simulated
Choice Share
67% 33%
$589 $499
features:
$90
10 inches, 2 lbs. 10 inches, 2 lbs.
$499 $499
RFC Simulated
Choice Share
76% 24%
Camera, Zoom
Camera, Zoom
64 GB 64 GB
600,000 600,000
WiFi, Bluetooth, MicroUSB,
HDMI
HDMI
2 Fingers), Rubberband, Tap to
Re-center after Zoom
Full Multi-Touch
EXHIBIT 9
RESPONDENT CHOICE PREDICTIONS FOR DIFFERENTLY PRICED "BENCHMARK" SMARTPHONES
Comparing two identical smartphones with different prices
Calculating Market Shares for Identical Smartphones with Different Prices
Features Phone A - more expensive Phone B - less expensive
Touchscreen
Connectivity
Camera
Storage/Memory
Apps Available
Size and Weight
43% 57%
Notes & Sources:
Simulated choice shares were calculated following Professor Hauser's methodology using Sawtooth SMRT and his
accompanying simulation files (avss_final.srt, avss_final.hbu, avss_final.ucs, avss_final.att, avss_final.dat). Except for price, the
features' levels were set the same as those for the benchmark smartphone employed to create Table 4 of the Hauser Report. The
price levels ($0, $99, $199, and $299) are the four price levels that appear in Professor Hauser's survey.
RFC Simulated
Choice Share
RFC Simulated
Choice Share
RFC Simulated
Choice Share
RFC Simulated
Choice Share
31% 69%
32% 68%
81% 19%
RFC Simulated
Choice Share
16%
$99
The starting level for the price affects the results but the conclusion holds that too high a percentage choose the more
expensive smartphone
Camera, Zoom
Camera, Zoom
64 GB 64 GB
600,000 600,000
$0
RFC Simulated
Choice Share
When two identical smartphones are offered, one for free and the other for $99, 43% of respondents choose
the more expensive ($99) smartphone
Zoom
Zoom
MicroUSB, HDMI
MicroUSB, HDMI
84%
16%
$199 $0
$299 $199
$299 $99
$299 $0
$199 $99
84%
EXHIBIT 10
RESPONDENT CHOICE PREDICTIONS FOR DIFFERENTLY PRICED "BENCHMARK" TABLETS
Comparing two identical tablets with different prices
Calculating Market Shares for Identical Tablets with Different Prices
Features Tablet A - more expensive Tablet B - less expensive
Touchscreen
Connectivity
Camera
Storage/Memory
Apps Available
Size and Weight
Price
59%
Price
Price
Price
Price
Price
Notes & Sources:
RFC Simulated
Choice Share
17% 83%
accompanying simulation files (avss_final.srt, avss_final.hbu, avss_final.ucs, avss_final.att, avss_final.dat). Except for price,
the features' levels were set the same as those for the benchmark tablet employed to create Table 4 of the Hauser Report. The
price levels ($199, $359, $499, and $659) are the four price levels that appear in Professor Hauser's survey.
$499 $359
RFC Simulated
Choice Share
15% 85%
$659 $499
RFC Simulated
Choice Share
35% 65%
$659 $359
When two identical tablets are offered, one for $199 and the other for $359, 41% of respondents choose the
more expensive ($359) tablet
The starting level for the price affects the results but the conclusion holds that too high a percentage choose the more
expensive tablet
$499 $199
RFC Simulated
Choice Share
32% 68%
$659 $199
RFC Simulated
Choice Share
15% 85%
$359 $199
RFC Simulated
Choice Share
41%
Camera, Zoom
Camera, Zoom
64 GB 64 GB
600,000 600,000
HDMI
HDMI
center after Zoom
center after Zoom
EXHIBIT 11
RESPONDENT CHOICE PREDICTIONS FOR IDENTICALLY PRICED "BENCHMARK" SMARTPHONES
THAT DIFFER ONLY IN STORAGE/MEMORY CAPACITY
Comparing a smartphone with maximum memory (64 GB) to one with minimum memory (8 GB) all else equa
Calculating the RFC Simulated Choice Share for an Additional 56 GB of Memory
Touchscreen
Connectivity
Camera
Storage/Memory
Apps Available
Size and Weight
35%
Notes & Sources:
When all other features (including price) are held constant, the smartphone with more storage clearly
dominates the smartphone with lower storage. Still, according to the results, 35% of respondents would prefer
the smartphone with lower storage.
Zoom
Zoom
MicroUSB, HDMI
MicroUSB, HDMI
Camera, Zoom
Camera, Zoom
64 GB 8 GB
600,000 600,000
$199 $199
RFC Simulated
Choice Share
65%
accompanying simulation files (avss_final.srt, avss_final.hbu, avss_final.ucs, avss_final.att, avss_final.dat). Except
for storage/memory, the features' levels were set the same as those for the benchmark smartphone employed to create
Table 4 of the Hauser Report. Choice shares were then calculated.
EXHIBIT 12
RESPONDENT CHOICE PREDICTIONS FOR IDENTICALLY PRICED "BENCHMARK" TABLETS
THAT DIFFER ONLY IN STORAGE/MEMORY CAPACITY
Comparing a tablet with maximum memory (64 GB) to one with minimum memory (8 GB) all else equal
Calculating the RFC Simulated Choice Share for an Additional 56 GB of Memory
Touchscreen
Connectivity
Camera
Storage/Memory
Apps Available
Size and Weight
Price
31%
Notes & Sources:
When all other features (including price) are held constant, the tablet with more storage clearly dominates the
tablet with lower storage. Still, according to the results, 31% of respondents would prefer the tablet with
lower storage.
$499 $499
RFC Simulated
Choice Share
69%
for storage/memory, the features' levels were set the same as those for the benchmark tablet employed to create Table
4 of the Hauser Report. Choice shares were then calculated.
Camera, Zoom
Camera, Zoom
64 GB 8 GB
600,000 600,000
center after Zoom
center after Zoom
EXHIBIT 13
THAT DIFFER ONLY IN CONNECTIVITY OPTIONS
Comparing a smartphone with maximum connectivity options to one with minimum connectivity options all else equal
Calculating the RFC Simulated Choice Share for Tethering, MicroUSB and HDMI
Touchscreen
Connectivity
Camera
Storage/Memory
Apps Available
Size and Weight
25%
Notes & Sources:
When all other features (including price) are held constant, the smartphone with more connectivity options
clearly dominates the phone with less connectivity options. Still, according to the results, 25% of respondents
would prefer the smartphone with less connectivity options.
for connectivity, the features' levels were set the same as those for the benchmark smartphone employed to create
Table 4 of the Hauser Report. Choice shares were then calculated.
$199 $199
RFC Simulated
Choice Share
75%
Camera, Zoom
Camera, Zoom
64 GB 64 GB
600,000 600,000
MicroUSB, HDMI
Cellular, WiFi
Zoom
Zoom
EXHIBIT 14
THAT DIFFER ONLY IN CONNECTIVITY OPTIONS
Comparing a tablet with maximum connectivity options to one with minimum connectivity options all else equal
Calculating the RFC Simulated Choice Share for Bluetooth, MicroUSB, HDMI
Features Tablet A - with the features Tablet B - without the features
Touchscreen
Connectivity
Camera
Storage/Memory
Apps Available
Size and Weight
Price
24%
Notes & Sources:
When all other features (including price) are held constant, the tablet with more connectivity options clearly
dominates the tablet with less connectivity options. Still, according to the results, 24% of respondents would
prefer the tablet with less connectivity options.
for connectivity, the features' levels were set the same as those for the benchmark tablet employed to create Table 4 of
the Hauser Report. Choice shares were then calculated.
$199 $199
RFC Simulated
Choice Share
76%
Camera, Zoom
Camera, Zoom
64 GB 64 GB
600,000 600,000
HDMI
WiFi
center after Zoom
center after Zoom
EXHIBIT 15
THAT DIFFER ONLY IN THE NUMBER OF APPS AVAILABLE
Comparing a smartphone with 150,000 apps to one with 600,000 apps all else equal
Calculating the RFC Simulated Choice Share for an Additional 450,000 Apps
Touchscreen
Connectivity
Camera
Storage/Memory
Apps Available
Size and Weight
43%
Notes & Sources:
When all other features (including price) are held constant, the smartphone with more apps clearly dominates
the smartphone with less apps. Still, according to the results, 43% of respondents would prefer the
smartphone with less apps.
for number of apps available, the features' levels were set the same as those for the benchmark smartphone employed
to create Table 4 of the Hauser Report. Choice shares were then calculated.
$199 $199
RFC Simulated
Choice Share
57%
Camera, Zoom
Camera, Zoom
64 GB 64 GB
600,000 150,000
MicroUSB, HDMI
MicroUSB, HDMI
Zoom
Zoom
EXHIBIT 16
THAT DIFFER ONLY IN NUMBER OF APPS AVAILABLE
Calculating the RFC Simulated Choice Share for an Additional 450,000 apps
Touchscreen
Connectivity
Camera
Storage/Memory
Apps Available
Size and Weight
Price
44%
Notes & Sources:
When all other features (including price) are held constant, the tablet with more apps clearly dominates the
tablet with less apps. Still, according to the results, 44% of respondents would prefer the tablet with less apps.
for number of apps available, the features' levels were set the same as those for the benchmark tablet employed to
create Table 4 of the Hauser Report. Choice shares were then calculated.
$199 $199
RFC Simulated
Choice Share
56%
Camera, Zoom
Camera, Zoom
64 GB 64 GB
600,000 150,000
Comparing a tablet with maximum number of apps (650,000) to one with the minimum number of apps
(150,000) all else equal
center after Zoom
center after Zoom
EXHIBIT 17
TOTAL WILLINGNESS-TO-PAY ESTIMATES FOR INDIVIDUAL TOUCHSCREEN FEATURES
BASED ON PROFESSOR HAUSER'S RFC SIMULATIONS
TOTAL: $179
From Exhibit 20.
From Exhibit 5. See also, Hauser Report, at p. 54.
= Difference Between = $65
$49 = $49
Notes:
Calculation based on premise that willingness-to-pay estimates are additive due to the additive nature of the underlying utility function. See Hauser Report, pp. 21-22, 36.
Less Reliable Touch, Rubberband,
Tap to Re-center, and Autoswitch
(from Exhibit 20)
Difference
Reliable Touch, Rubberband, Tap to
Re-center, and Autoswitch
$75
+ $39
= $114
Reliable
Touch
$65
Autoswitch
$39
Rubberband
and Tap to
Re-center
$75
$0
$20
$40
$60
$80
$100
$120
$140
$160
$180
$200
Touchscreen Features
EXHIBIT 18
WHEN BASELINE PRICE IS $0
Touchscreen
Connectivity
Camera
Storage/Memory
Apps Available
Size and Weight
Step 3
Notes & Sources:
RFC Simulated
Choice Share
50% 50%
files (avss_final.srt, avss_final.hbu, avss_final.ucs, avss_final.att, avss_final.dat). Employed procedure identical to that used to derive figures in
Table 4 of Hauser Report but started with a baseline price of $0 (with a two-year contract).
$99 $0
RFC Simulated
Choice Share
61% 39%
$164 $0
4.5 inches, 6 oz.
$0 $0
RFC Simulated
Choice Share
67% 33%
MicroUSB, HDMI
MicroUSB, HDMI
$164
Zoom
Reliable Touch,
Zoom
Camera, Zoom
Camera, Zoom
64 GB 64 GB
600,000 600,000
4.5 inches, 6 oz.
EXHIBIT 19
WHEN BASELINE PRICE IS $0
Touchscreen
Connectivity
Camera
Storage/Memory
Apps Available
Size and Weight
Step 3
Notes & Sources:
$266 $0
files (avss_final.srt, avss_final.hbu, avss_final.ucs, avss_final.att, avss_final.dat). Employed procedure identical to that used to derive figures in
Table 4 of Hauser Report but started with a baseline price of $0 (with a two-year contract).
RFC Simulated
Choice Share
50% 50%
features (in this case Autoswitch, Rubberband, and Tap to Re-center
after Zoom):
$266
$99 $0
RFC Simulated
Choice Share
78% 22%
RFC Simulated
Choice Share
84% 16%
Camera, Zoom
Camera, Zoom
64 GB 64 GB
600,000 600,000
$0 $0
MicroUSB, HDMI
MicroUSB, HDMI
Rubberband, Tap to Re-center
after Zoom
Reliable Touch
EXHIBIT 20
FOR FEATURES NOT REPORTED BY PROFESSOR HAUSER
Level
1 Reliable Touch - Cellular, WiFi -
3 MP Rear Camera, Standard Video
-
2
Reliable Touch, Rubberband, Tap to
Re-center after Zoom
$75 Cellular, WiFi, Tethering $33
$79
3
Less Reliable Touch, Autoswitch,
Zoom
$49 Cellular, WiFi, Tethering, MicroUSB $61
8 MP Rear Camera,
HD Video Recording, Autofocus,
2 MP Front Camera
>$100
4
Zoom
>$100
Cellular, WiFi, Tethering, MicroUSB,
HDMI
$68
12 MP Rear Camera,
HD Video Recording, Autofocus, 2 MP
Front Camera, Zoom
>$100
Level
1 8 GB - 150,000 - 3.5 inches, 4 oz. -
2 16 GB $19 300,000 $11 4 inches, 5 oz. $28
3 32 GB $27 450,000 $12 4.3 inches, 5.3 oz. $26
4 64 GB $31 600,000 $13 4.5 inches, 6 oz. $31
Notes & Sources:
As in Professor Hauser's analysis, WTP is derived by calculating the price for which simulated market shares are 50%-50% between two products for which the attribute of
interest differs while all other attributes are kept constant at their "best" levels. For size and weight, the largest size is assumed to be "best." In this exhibit, WTP is
calculated for each given attribute relative to the lowest level of that attribute (for a smartphone in which the other attributes are at the "best" levels). Blue color coding
represents features that are added or improved compared to the reference level. Orange color coding represents features that are less attractive compared to the reference
level.
The price for which the shares are equal (WTP) is obtained through a manual grid search, as in Professor Hauser's report, by starting with both products having prices set at
$199 and increasing the price of the "better" alternative until the simulated shares are the same for both products. Because the maximum price considered in the survey is
$299, the WTP is capped at $100.
Highlighted features are those in which animated descriptions were used. Level orders may not be equal to the system used in Professor Hauser's survey.
Touchscreen Connectivity Camera
Storage/Memory Number of Apps Available Size and Weight
EXHIBIT 21
CALCULATION OF ESTIMATED WILLINGNESS-TO-PAY PRICE PREMIUM FOR SMARTPHONE FEATURES
COMPARING FEATURES WITH AND WITHOUT ANIMATED DESCRIPTIONS
(ALL FEATURES AND ALL LEVELS)
Notes & Sources:
WTP is capped at $100. See Exhibit 20. Features displayed in red are those in which animated descriptions were used.
$0
$20
$40
$60
$80
$100
Features without Animation Features with Animation
EXHIBIT 22
(ALL FEATURES FOR LEVEL 1 TO 2)
Notes & Sources:
From Exhibit 20. Features displayed in red are those in which animated descriptions were used.
$0
$20
$40
$60
$80
$100
Number of Apps Storage/Memory Size/Weight Connectivity Touchscreen Camera
EXHIBIT 23
Notes & Sources:
$0
$20
$40
$60
$80
$100
Number of Apps Size/Weight Storage/Memory Touchscreen Connectivity Camera
EXHIBIT 24
Notes & Sources:
$0
$20
$40
$60
$80
$100
Number of Apps Storage/Memory Size/Weight Connectivity Touchscreen Camera
EXHIBIT 25
FOR FEATURES NOT REPORTED BY PROFESSOR HAUSER
Level
1 Full Multi-Touch - WiFi -
3 MP Rear Camera, Standard Video
-
2
Full Multi-Touch, Rubberband, Tap to
Recenter after Zoom
$46 WiFi, Bluetooth $37
$59
3
Very Limited Multi-Touch,
Zoom
$32 WiFi, Bluetooth, MicroUSB $80
8 MP Rear Camera,
HD Video Recording, Autofocus,
2 MP Front Camera
$98
4
Full Multi-Touch, Autoswitch (1 to 2
Fingers), Rubberband, Tap to Re-
center after Zoom
$90
WiFi, Bluetooth, MicroUSB, HDMI
$94
12 MP Rear Camera,
HD Video Recording, Autofocus, 2 MP
Front Camera, Zoom
$122
Level
1 8 GB - 150,000 - 7 inches, 1 lb. -
2 16 GB $32 300,000 $10 8.5 inches, 1.5 lbs. $21
3 32 GB $51 450,000 $13 9 inches, 1.75 lbs. $35
4 64 GB $56 600,000 $16 10 inches, 2 lbs. $46
Notes & Sources:
As in Professor Hauser's analysis, WTP is derived by calculating the price for which simulated market shares are 50%-50% between two products for which the feature of
interest differs while all other features are kept constant at their "best" levels. For size and weight, the largest size is assumed to be "best." In this exhibit, WTP is calculated
for each given feature relative to the lowest level of that feature (for a tablet in which the other features are at the "best" levels). Blue color coding represents features that
are added or improved compared to the reference level. Orange color coding represents features that are less attractive compared to the reference level.
The price for which the shares are equal (WTP) is obtained through a manual grid search, as in Professor Hauser's report, by starting with both products having prices set at
$499 and increasing the price of the "better" alternative until the simulated shares are the same for both products. Because the maximum price considered in the survey is
$659, the WTP is capped at $160.
Highlighted features are those in which animated descriptions were used. Level orders may not be equal to the system used in Professor Hauser's survey.
Touchscreen Connectivity Camera
Storage/Memory Number of Apps Available Size and Weight
EXHIBIT 26
CALCULATION OF ESTIMATED WILLINGNESS-TO-PAY PRICE PREMIUM FOR TABLET FEATURES
(ALL FEATURES AND ALL LEVELS)
Notes & Sources:
$0
$20
$40
$60
$80
$100
EXHIBIT 27
Notes & Sources:
$0
$20
$40
$60
$80
$100
Number of Apps Size/Weight Storage/Memory Connectivity Touchscreen Camera
EXHIBIT 28
Notes & Sources:
$0
$20
$40
$60
$80
$100
Number of Apps Touchscreen Size/Weight Storage/Memory Connectivity Camera
EXHIBIT 29
Notes & Sources:
$0
$20
$40
$60
$80
$100
Number of Apps Size/Weight Storage/Memory Touchscreen Connectivity Camera
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02198.51855/5013275.2

DECLARATION OF ANDRIES VANDAM, PH.D.
50 California Street, 22nd Floor
Telephone: (415) 875-6600
Facsimile: (415) 875-6700

555 Twin Dolphin Drive 5th Floor
Telephone: (650) 801-5000
Facsimile: (650) 801-5100

Telephone: (213) 443-3000
Facsimile: (213) 443-3100



Plaintiff,

vs.


Defendants.


DECLARATION OF ANDRIES VAN
DAM, PH.D. IN SUPPORT OF
INJUNCTION AND FOR DAMAGES
ENHANCEMENTS REGARDING U.S.
PATENT NO. 7,469,381

Date: December 6, 2012
Time: 1:30 p.m.
Place: Courtroom 8, 4th Floor
Judge: Hon. Lucy H. Koh

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DECLARATION OF ANDRIES VAN DAM, PH.D.

I, Andries van Dam, declare:
1. I am a tenured professor in the Computer Science department of Brown
University, where I hold the position of Thomas J. Watson, Jr. University Professor of
Technology and Education Chair and am also a Professor of Computer Science. I have been
retained by counsel for Samsung Electronics Co., Ltd., Samsung Electronics America, Inc. and
Samsung Telecommunications America, LLC (collectively, "Samsung") as an expert in the
above-captioned case. As part of that engagement I have been asked to provide analysis and
expert opinions on whether the "blue glow" feature implemented by Samsung infringes U.S.
Patent No. 7,469,381 (the "'381 patent").
2. I submit this declaration in support of Samsungs Opposition to Apples Motion
for a Permanent Injunction and for Damages Enhancements. If asked, I am prepared to testify
regarding the matters I discuss in this declaration.
3. I reserve the right to supplement or amend this declaration based on any new
information that is relevant to my opinions.
I. PROFESSIONAL BACKGROUND
4. I received a B.S. in Engineering Sciences from Swarthmore College in 1960, and
an M.S. and Ph.D. in Electrical Engineering from the University of Pennsylvania in 1963 and
1966 respectively.
5. I have taught at Brown University since 1965, where I started as an Assistant
Professor teaching Computer Science in the Division of Applied Mathematics. In 1968, I
became a tenured Associate Professor of Applied Mathematics, and in 1972, I was promoted to
Full Professor. In 1976, I became a Professor of Computer Science, and have taught Computer
Science continuously since 1965. I have held various positions at Brown University, including
Chairman of the Computer Science Program (1976-1979), Founding Chairman of the Department
of Computer Science (1979-1985), L. Herbert Ballou University Professor Chair (1992-1995),
Thomas J. Watson, Jr. University Professor of Technology and Education Chair (1995-present),
and Vice President for Research (2002-2006). I have also served as a visiting professor on
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Sabbatical leave to teach and start research groups in Computer Graphics at University of
Nijmegen in the Netherlands and University of Geneva in Switzerland.
6. I have also served as the Director of the National Science Foundation Science &
Technology Center for Computer Graphics and Scientific Visualization (the STC). The STC
was physically located across 5 universities, including Brown and ran for its allotted 11 years,
with its financial home at the University of Utah. In my role as director, which I filled for three
years, I was logistically responsible for the operation and the research programs of the Center.
7. While on my years Sabbatical at the University of Geneva in 1978-79 I was also
Visiting Scientific Associate at CERN, the European Nuclear Research Institute in Geneva and
was invited back for many visits to consult and lecture. While at CERN as a Visiting Scientific
Associate, I co-designed a special-purpose microcomputer specializing in fast event processing
for handling data from physics experiments, and its microprogramming, and gave various
lectures. My subsequent visits generally involved consultation on a variety of subjects relating
to workstations, scientific visualization, and hypermedia.
8. I have over forty years of experience in the fields of computer graphics,
hypermedia systems, and user interfaces. In my research, I have recently worked on projects
relating to pen- and touch-centric computing, educational software, and electronic book authoring
and delivery systems. I have authored or co-authored 120 articles, 9 books, and 3 National
Research Council Reports. I have presented over 44 invited lectures since 2000. My lectures
in the past two decades have been primarily focused on the area of interaction in immersive
virtual environments and scientific visualization, with a recent focus on pen- and touch-
computing. I have publicly shown work on pen computing on tablet PCs and touch computing
on Microsoft Surface devices, using both research-based and commercial devices. I have most
recently focused on applications in digital humanities (or, as it has become known,
"ehumanities"). For example, I worked on a humanities project called Large Artwork Displayed
on the Surface (LADS) for examining large pieces of artwork on any touch-enabled surface
supported by Windows 7. I also recently helped design a scholarship tool to allow users to easily
create selections of hyperlinked multimedia documents, entitled WorkTop. Before we acquired
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a Microsoft Surface, my students had built our own touch table, a home brew prototype
touch device, for which we had created multiple applications. My groups most recent work on
touch computing has been sponsored by both Microsoft Research and Sharp. I have shown
multiple unpublished projects using touch computing at the annual Microsoft Faculty Summit.
My group and I have also produced the Garibaldi Panorama Application, a precursor to LADS,
which was shown to thousands of people as a key exhibit in a special exhibit at British Library on
the future of digital scholarship.
9. I have worked as an expert in several legal matters as a consulting expert and an
expert witness. I have written expert reports and have had my deposition taken.
10. I attach as Exhibit 1 my curriculum vitae which includes a more detailed list of
my qualifications.
II. LEGAL STANDARDS
11. In this section I describe my understanding of certain legal standards. I have
been informed of these legal standards by Samsungs attorneys. I am not an attorney and I am
relying only on instructions from Samsungs attorneys for these legal standards. In conducting
my analysis of the '381 patent claims, I have applied the legal understandings set out in this
declaration.
12. I understand that assessment of infringement is a two step process. First, the
language of the patent claims must be construed by the Court. Second, the claims as construed
are applied to the accused product or process to determine whether the accused product or
process meets each and every limitation of the claim as construed by the Court. To establish
infringement of a patent, I understand that it is the patentee s burden to show that each accused
product practices every limitation of at least one asserted claim in that patent.
13. I understand that the patentee has the burden of proving infringement by the
preponderance of the evidence. I understand that this standard requires that the patentee present
evidence that as a whole shows that the fact sought to be proved is more probable than not.
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14. I understand that there are two types of infringement: literal infringement and
infringement under the doctrine of equivalents. I understand that to literally infringe a claim, an
accused product or process must literally meet every limitation of the claim.
15. I understand that even if all limitations of a claim are not literally met, an accused
product or process may still infringe under the doctrine of equivalents. I understand that to
establish infringement under the doctrine of equivalents, the accused product or process must, for
each element of the claim not literally present, contain a structure or perform a step that is
substantially equivalent to the element in the claim. I am informed by counsel that one common
way of determining substantial equivalence is to examine whether the accused structure or step
performs substantially the same function, in substantially the same way, to achieve substantially
the same result as the corresponding limitation of the claim.
16. I also understand that there are several restrictions on the application of the
doctrine of equivalents. First, if an accused product or process wholly lacks even a single
limitation of a claim, it cannot infringe the claim under the doctrine of equivalents. Second, the
range of equivalents cannot be so broad as to encompass that which was already known in the
prior art. Third, the doctrine of prosecution history estoppel precludes a patentee from
reclaiming through equivalents subject matter that was relinquished based on statements or
amendments during prosecution.
17. I understand that every claim limitation is essential in proving infringement, and
that the absence of even one limitation in an accused product or process avoids infringement.
III. CLAIM CONSTRUCTION
18. I understand that the Court has construed the term "edge of the electronic
document" for the '381 patent to have its plain and ordinary meaning. In doing so, the Court
emphasized that the "edge of the electronic document" is not limited to an external edge, but may
include an internal edge. (Order Construing Disputed Claim Terms of U.S. Patent Nos.
7,698,711; 6,493,002; 7,469,381; 7,663,607; 7,812,828; 7,844,915; and 7,853,891 (Dkt No. 849)
at 23.)
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19. I understand the Court has construed the term "electronic document" for the '381
patent to mean a document stored in a digital format. An electronic document includes, but is
not limited to, a web page; a digital image; a word processing, spreadsheet or presentation
document; or a list of items in a digital format. (Order Construing Disputed Claim Terms of
U.S. Patent Nos. 7,469,381 and 7,864,163. (Dkt. No. 1266) at 6.) I understand further that an
electronic document need not be stored in a single file. Id.
20. In conducting my analysis of the '381 patent claims, I have applied the Courts
constructions of these terms.
IV. OVERVIEW OF THE '381 PATENT
21. The 381 patent, titled List Scrolling and Document Translation, Scaling, and
Rotation on a Touch-Screen Display, was filed on December 14, 2007 and issued on December
23, 2008. The patent has one named inventor, Bas Ording.
22. The '381 patent generally relates to correcting the display of an electronic
document when a user has translated or scrolled past the edge of the document, i.e. "overscroll
correction." Independent claim 19 of the '381 patent discloses translating an electronic
document displayed on a touch screen display in response to detecting movement of an object on
or near the touch screen. The '381 patent claims a snap-back functionality where, if the user
translates an electronic document beyond the edge of that document, an area beyond that edge
will be displayed. When the user lifts her finger from the touch screen, the document will snap
back, such that no area beyond the edge of the document remains in view.
23. The complete text of claim 19 of the 381 patent is shown below:
19. A device, comprising:
a touch screen display;
one or more processors;
memory; and
one or more programs, wherein the one or more programs are stored in the
memory and configured to be executed by the one or more processors, the
programs including:
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instructions for displaying a first portion of an electronic document;
instructions for detecting a movement of an object on or near the touch
screen display;
instructions for translating the electronic document displayed on the touch
screen display in a first direction to display a second portion of the
electronic document, wherein the second portion is different from the first
portion, in response to detecting the movement;
instructions for displaying an area beyond an edge of the electronic
document and displaying a third portion of the electronic document, wherein
the third portion is smaller than the first portion, in response to the edge of
the electronic document being reached while translating the electronic
document in the first direction while the object is still detected on or near
the touch screen display; and
instructions for translating the electronic document in a second direction
until the area beyond the edge of the electronic document is no longer
displayed to display a fourth portion of the electronic document, wherein the
fourth portion is different from the first portion, in response to detecting that
the object is no longer on or near the touch screen display.

V. SAMSUNGS BLUE GLOW FEATURE DOES NOT INFRINGE THE '381
PATENT
24. I understand that Apple has accused the snap back or bounce back feature in
the Web Browser, Contacts and Gallery applications on certain Samsung products of infringing
the 381 patent.
25. I understand that Samsung developed new software for the Web Browser,
Contacts and Gallery applications that removes the snap back feature and replaces it with a
blue glow feature. In my opinion, the blue glow feature does not infringe the 381 patent,
literally or under the doctrine of equivalents. The basis for my opinion is set forth in detail
below.
26. In an application that utilizes the blue glow feature, an electronic document
performs a "hard stop" i.e., prevents overscrolling when the user attempts to scroll beyond the
edge of the document. Thus an area beyond the edge of the document is not shown. To
indicate that the edge of the electronic document has been reached, a blue glow animation
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appears near the edge of the electronic document. This behavior is shown in a video of the Web
Browser, Contacts and Gallery applications which are attached in Exhibit 2 to this declaration.
27. Claim 19 of the 381 patent requires instructions for displaying an area beyond
and edge of the electronic document and displaying a third portion of the electronic document,
wherein the third portion is smaller than the first portion, in response to the edge of the electronic
document being reached while translating the electronic document in the first direction while the
object is still detected on or near the touch screen display. The blue glow feature does not
literally infringe this claim because it does not permit a user to continue scrolling in order to
display an area beyond the edge of the electronic document. It also does not display a third
portion of the electronic document that is smaller than the first portion. Instead, upon reaching
the edge of the electronic document, the document comes to a stop and a blue glow appears.
28. Furthermore, the blue glow feature does not infringe this claim limitation under
the doctrine of equivalents, as blue glow is substantially different from the claimed behavior.
The blue glow feature is substantially different from the claimed behavior because it utilizes the
"hard stop" behavior alleged by Apple to be different from the method of the '381 patent and part
of the prior art.
29. Claim 19 of the 381 patent also requires instructions for translating the
electronic document in a second direction until the area beyond the edge of the electronic
document is no longer displayed to display a fourth portion of the electronic document, wherein
the fourth portion is different from the first portion, in response to detecting that the object is no
longer on or near the touch screen display. The blue glow feature fails to literally infringe this
claim because it does not translate the electronic document in a second direction until the area
beyond the edge of the electronic document is no longer displayed. No translation of the
electronic document occurs, and furthermore, no area beyond the edge of the document was
displayed in the first instance, rendering the claim language inapplicable to applications utilizing
the blue glow feature.
30. Furthermore, the blue glow feature does not infringe this claim limitation under
the doctrine of equivalents, as blue glow is substantially different from the claimed behavior.
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The blue glow feature is substantially different from the claimed behavior because it utilizes the
"hard stop" behavior alleged by Apple to be different from the method of the '381 patent and part
of the prior art.
31. I have also reviewed source code relating to scrolling in the Gallery, Contacts and
Web Browser applications. In particular, I have reviewed the source code that I understand was
used to create the following software: Android version 4.0.4, Baseband version T989UVLI1,
Kernel version 3.0.8, and Build number IMM76D.UVLI1.
1
Based on that inspection, I have
confirmed that the source code does not include instructions for performing claim 19 of the 381
patent. Instead, the source code includes instructions that relate to the blue glow feature.
VI. PRODUCTS USING THE BLUE GLOW FEATURE DO NOT INFRINGE THE
'381 PATENT
32. I have personally examined the Gallery, Contacts and Web Browser applications
that utilize the blue glow feature on two Samsung Galaxy S II (T-Mobile) products. I inspected
a Galaxy S II (T-Mobile) that I understand from counsel was examined by Apples expert, Dr.
Ravin Balakrishnan, and attached as Exhibit 6 to the April 20, 2012 Deposition of Dr. Ravin
Balakrishnan. I also inspected a Galaxy S II (T-Mobile) product running the following
software: Android version 4.0.4, Baseband version T989UVLI1, Kernel version 3.0.8, and
Build number IMM76D.UVLI1. For the reasons stated above, it is my opinion that these
products and any other products that utilize the blue glow feature do not infringe the 381 patent.
VII. APPLES EXPERT AGREES THAT THE BLUE GLOW FEATURE DOES NOT
INFRINGE THE '381 PATENT
33. I have reviewed expert reports and deposition testimony of Apples expert, Dr.
Ravin Balakrishnan, regarding the blue glow feature. Dr. Balakrishnan inspected a Galaxy S II
(T-Mobile) and concluded that the blue glow feature was present on that device. April 20, 2012
Dep. of Dr. Ravin Balakrishnan, at 80:15-17.

1
Declaration of Hee-chan Choi In Support Of Samsungs Opposition To Apples Motion
For A Permanent Injunction And Damages Enhancement.
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34. Dr. Balakrishnan agreed that blue glow does not infringe the claims of the 381
patent. In his expert report, he stated, In my opinion, the use of the blue glow effect is an
alternative to using the features of the 381 patent. March 22, 2012 Expert Report of Dr. Ravin
Balakrishnan, at 262. In addition, when asked whether the blue glow feature infringes the 381
patent during his deposition, Dr. Balakrishnan stated, If it is only the blue glow and not the blue
glow in additional [sic] to the snapback thats in 381, then a device or an application, having just
the blue glow and not doing the 381 snapback functionality, would not infringe. April 20,
2012 Dep. of Dr. Ravin Balakrishnan, at 62:7-11.

I declare under penalty of perjury that the foregoing is true and correct. Executed in
Providence, Rhode Island on October 18, 2012.

By:


EXHIBIT 1
1
Andries van Dam

Curriculum Vitae
Thomas J. Watson, Jr. University Professor of Technology and Education
and
Professor of Computer Science
Brown University, Providence, RI 02912
phone: (401) 863-7640 , fax: (401) 863-7657
email: avd@cs.brown.edu
Education
B.S. Engineering Sciences (with Honors), Swarthmore College, 1960
M.S. Electrical Engineering, Moore School of Electrical Engineering,
University of Pennsylvania, 1963
Ph.D. Electrical Engineering, Moore School of Electrical Engineering,
University of Pennsylvania, 1966
Dissertation topic: A Study of Digital Processing of Pictorial Data
Table of Contents
Research Interests
Professional Appointments
Consultancies
Publications
Books and NRC Reports
Articles
Invited Lectures since 2000
Service To the Profession
Academic Honors, Research Grants, Fellowships and Honorary Societies Honors
Research Interests
My research has concerned computer graphics, hypermedia systems, post-WIMP user interfaces,
including pen-centric computing, and educational software. I have been working for four decades
on systems for creating and reading electronic books with interactive illustrations for use in
teaching and research.
2
Professional Appointments
2002-2006 Vice President for Research, Brown University
1995- Thomas J. Watson, Jr. University Professor of Technology and Education Chair
1995-1998 Director, National Science Foundation Science & Technology Center for
Computer Graphics and Scientific Visualization
1992-1995 L. Herbert Ballou University Professor Chair
1980-1986 Visiting Scientific Associate, CERN, Geneva, Switzerland
1979- Professor of Computer Science, Brown University
1979-1985 Chairman, Department of Computer Science, Brown University
1978-1979 Sabbatical Leave, Visiting Professor, University of Geneva, and Scientific
Associate, CERN, Geneva, Switzerland
1976-1979 Professor of Computer Science and Applied Mathematics, Brown University
Chairman, Program in Computer Science, Brown University
1975-1977 Adjunct Visiting Professor, University of Rhode Island (to teach in-house courses
on Computer Graphics at Naval Underwater Systems Center, New London and
Newport, Rhode Island)
1972-1976 Professor of Applied Mathematics, Brown University
1971-1972 Sabbatical Leave, Visiting Professor, University of Nijmegen, Nijmegen,
Netherlands
1968-1972 Associate Professor of Applied Mathematics, Brown University
1965-1968 Assistant Professor of Applied Mathematics, Brown University
Consultancies
2008 - Director, Board of Directors, GyPSii
2007- Consulting scientist, Microsoft Research
3
2007 Member, Technical Advisory Board, GyPSii

2005 Vincent and Elkins, Kenyon and Kenyon, expert consulting for Tecmo
2000-2001 Chairman, Technical Advisory Board, E-Quill
Member, Board of Directors, Synomics
Chairman, Technical Advisory Board, ThinkShare
1999-2005 Member, Board of Directors, ContextMedia, Providence, RI
1998- Technical advising, Phoam
1996-1999 Chairman, Numinous Technologies Incorporated, Seattle, WA
1995 Technical Advisory Board, Peer Group Systems, Inc. (PGSI), Seattle,
Washington.
1994 Brown and Baine, expert witness for Autodesk in a trade secret litigation
1993-2003 Member, Technical Advisory Board, Fraunhofer Center for Research in Computer
Graphics, Inc., Providence, RI and Darmstadt, Germany
1992-1994 Member, Technical Advisory Board, Ithaca Software, Alameda, CA
1992-2007 Member, Technical Advisory Board, and consultant, Microsoft Corporation,
Redmond, WA
1990-1993 Chairman, Technical Advisory Board, ShoGraphics, Mountain View, CA
Member, College of Computing National Advisory Board, Georgia Institute of
Technology, Atlanta, GA
1990-1991 Chairman, Technical Advisory Board, Prime Computer, Inc., CAD Division,
Bedford, MA
1990 Co-founder, Chief Scientist, and Chairman of Technical Advisory Board
Electronic Book Technologies, Providence, RI
1988-1992 Chief Scientist, BLOC Development, Coral Gables, FL
1987-1988 Cravath, Swaine and Moore, expert witness for IBM in a patent litigation
1986-1988 Member, Technical Advisory Board, Context Corp., Beaverton, OR
4
1985-1988 Senior Scientist and Chairman of Technical Advisory Board, Stardent Computer,
Newton, MA
1985-1987 Consulting Scientist, CADRE Technology, Providence, RI
1984-1986 Member, Scientific Advisory Board, Metagraphics, Woburn, MA
1983-1985 IBM World Trade Americas/Far East Corporation, North Tarrytown, NY
1982-1986 Member, Electronic Systems Board, Gould, Rolling Meadows, IL
1981-1983 CIT ALCATEL, Paris, France
1980-1988 President, van Dam, Inc.
1980-1985 Exxon Research and Engineering Division, Florham Park, NJ
1980-1981 Summagraphics, Bridgeport, CT
1978-1979 Prime Computer, Inc., Framingham, MA
Bobst Graphic, Lausanne, and Hermes Precisa, Yverdon, Switzerland
1977-1978 Department of the Army
1975-1979 Software Laboratory, Raytheon Submarine Signal Division, Portsmouth, RI
1975-1977 Naval Research Laboratory, Washington, DC
1971-1977 Information Systems and Automation Division, Phillips Corp., Eindhoven,
Netherlands
1970-1988 President, Text Systems, Inc., Barrington, RI
1970-1975 General Motors Research Center, Warren, MI
1970-1972 Government Intelligence Community, Washington, D
1970 Director, NCSS Providence Research Center
1965-1966 Leeds and Northrup, PA
1961-1962 RCA, Cherry Hill, NJ
5
Publications
Books and NRC Reports
2005
x [Sanders & van Dam 2005] Kathryn E. Sanders and Andries van Dam. Object-Oriented
Programming in Java: A Graphical Approach, Addison-Wesley, 2005.
2001
x [Earnshaw et al. 2001] Rae Earnshaw, Richard Guedj, Andries van Dam, and John
Vince (Eds.). Frontiers of Human-Centered Computing, OnLine Communities and
Virtual Environments. Springer Verlag, London, 2001.
1999
x [Snyder et al. 1999] Lawrence Snyder, Alfred V. Aho, Marcia C. Linn, Arnold H.
Packer, Allen B. Tucker Jr., Jeffrey D. Ullman, and Andries van Dam. "Being Fluent
with Information Technology", Report of the Committee on Information Technology
Literacy, Computer Science and Telecommunication Board of the National Research
Council, National Academy Press, 1999.
1995
x [Connor et al. 1995] D. Brookshire Connor, David Niguidula, and Andries van Dam.
Object Oriented Programming in Pascal. Addison-Wesley, 1995.
x [Durlach et al. 1995] Nathaniel Durlach, Steve Bryson, Norman Hackerman, John N.
Hollerbach, James R Lackner, J. Michael Moshell, Randy Pausch, Richard W. Pew,
Warren Robinett, Joseph Rosen, Mandayam A. Srinivasan, James J. Thomas, Andries
van Dam, Elizabeth Wenzel, Andrew Witkin, Eugene Wong, and Michael Zyda. Virtual
Reality: Scientific and Technological Challenges. National Research Council Report,
National Academy Press, 1995.
x [Foley et al. 1995] James D. Foley, Andries van Dam, Steven K. Feiner, and John F.
Hughes. Computer Graphics: Principles and Practice, Second Edition in C. Addison-
Wesley, 1995.
1993
x [Foley et al. 1993] James D. Foley, Andries van Dam, Steven K. Feiner, John F. Hughes,
and Richard L. Phillips. Introduction to Computer Graphics. Addison-Wesley, 1993.
6
1992
x [Hartmanis et al. 1992] Juris Hartmanis, Ruzena Bajcsy, Ashok K. Chandra, Andries
van Dam, Jeff Dozier, James Gray, David Gries, A. Nico Habermann, Robert R. Johnson,
Leonard Kleinrock, M. Douglas McIlroy, David A. Patterson, Raj Reddy, Klaus
Schulten, Charles Seitz, and Victor Vyssotsky. Computing the Future: A Broader Agenda
For Computer Science and Engineering, Committee to Assess the Scope and Direction of
Computer Science and Technology, National Research Council Report, National
Academy Press, 1992.
1990
x [Foley et al. 1990] James D. Foley and Andries van Dam and Steven K. Feiner and John
F. Hughes. Computer Graphics: Principles and Practice. Addison-Wesley, 1990.
1987
x [Niguidula & van Dam 1987] David A. Niguidula and Andries van Dam. Pascal on the
Macintosh: A Graphical Approach. Addison-Wesley, 1987.
1984
x [Foley & van Dam 1984] James D. Foley and Andries van Dam. Fundamentals of
Interactive Computer Graphics. Addison-Wesley (The Systems Programming Series),
1984.
1984
x [van Dam et al. 1968] Andries van Dam, D. Huffman, E. E. David, and J. Ullman. The
Man-Made World. McGraw-Hill Book Company, 1968.
Articles
2008
x [Zeleznik et al. 2008] Robert Zeleznik, Timothy Miller, Andries van Dam, Joseph J.
LaViola, Jr., Chuanjun Li, Dana Tenneson, and Christopher Maloney. Applications and
Issues in Pen-Centric Computing in IEEE Multimedia October-December 2008.
x [LaViola et al. 2008] Joseph LaViola, Prabhat, Andrew Forsberg, David H. Laidlaw, and
Andries van Dam. "Virtual Reality-Based Interactive Scientific Visualization
Environments" in Interactive Visualization: A State-of-the-Art Survey. Springer Verlag,
2008.
7
2005
x [Head et al. 2005] James W. Head, Andries van Dam, Samuel Fulcomer, Andrew
Forsberg, Prabhat, George Rosser, and Sarah M. Milkovich. "ADVISER: Immersive
Scientific Visualization Applied to Mars Research and Exploration" in Photogrammetric
Engineering and Remote Sensing, 71(10), pp. 1219-1225, October 2005.
x [van Dam 2005] Andries van Dam. "Visualization Research Problems in Next-
Generation Educational Software" in IEEE Computer Graphics and Applications, 25(5),
pp. 88-92, September/October 2005.
x [van Dam et. al. 2005] Andries van Dam, Sascha Becker, and Rosemary Michelle
Simpson. "Next-Generation Educational Software: Why We Need It and a Research
Agenda for Getting It" in Educause Review, March/April 2005, 40(2), pp. 26-43, 2005.
x [Welch et al. 2005] Greg Welch, Ruigang Yang, Sascha Becker, Adrian Ilie, Dan Russo,
Jesse Funaro, Andrei State, Kok-Lim Low, Anselmo Lastra, Herman Towles, Bruce
Cairns, M.D., Henry Fuchs, and Andries van Dam. "Immersive Electronic Books for
Surgical Training." IEEE Multimedia, 12(3), pp. 22-35, July-September 2005.
2004
x [Welch et al. 2004] Greg Welch, Ruigang Yang, M. Bruce Cairns, Herman Towles,
Andrei State, Adrian Ilie, Sascha Becker, Dan Russo, Jesse Funaro, Diane Sonnenwald,
Ketan Mayer-Patel, B. Danette Allen, Hua Yang, Eugene Freid, Andries van Dam, and
Henry Fuchs. "3D Telepresence for Off-Line Surgical Training and On-Line Remote
Consultation" in Proceedings of ICAT CREST Symposium on Telecommunication,
Teleimmersion, and Telexistence, Susumu Tachi, editor, The University of Tokyo,
Tokyo, Japan, December 2004.
2003
x [Spalter & van Dam, 2003] Anne Morgan Spalter and Andries van Dam. "Problems
with using components in educational software" in Computers & Graphics 27(3), pp.
329-337, 2003.
x [van Dam 2003] Andries van Dam. "Grand Challenge 3. Provide a Teacher for Every
Learner" in Grand Research Challenges in Information Systems. Anita Jones and William
Wulf, editors, pp. 17-22, Computing Research Association, 2003. URL:
www.cra.org/reports/gc.systems.pdf
2002
x [van Dam et al. 2002a] Andries van Dam, David H. Laidlaw, and Rosemary Michelle
Simpson. "Experiments in Immersive Virtual Reality for Scientific Visualization" in
Computers & Graphics 26(4), pp. 535-555, 2002.
x [van Dam et al. 2002b] Andries van Dam, Henry Fuchs, Sascha Becker, Loring Holden,
Adrian Ilie, Kok-Lim Low, Anne Morgan Spalter, Ruigang Yang, and Greg Welch.
"Immersive Electronic Books for Teaching Surgical Procedures" in Proceedings of Pre-
8
ICAT CREST Symposium on Telecommunication, Teleimmersion, and Telexistence,

December 3, 2002. The University of Tokyo, Tokyo, Japan.
2001
x [van Dam 2001a] Andries van Dam. "User interfaces: disappearing, dissolving, and
evolving" in Communications of the ACM (CACM), 44(3), pp. 50-52, 2001.
x [van Dam 2001b] Andries van Dam. "Reflections on Next-Generation Educational
Software", in Enseigner L'Informatique: Melanges en Hommage a Bernard Levrat,
Christian Pellegrini and Alain Jacquesson editors, Georg Editeur, pp. 153-166, 2001.
2000
x [Forsberg et al. 2000] Andrew S. Forsberg, David H. Laidlaw, Andries van Dam, Robert
M. Kirby, George E. Karniadakis, and Jonathan L. Elion. "Immersive virtual reality for
visualizing flow through an artery" in Proceedings of IEEE Visualization 2000, pp. 457-
460, 2000.
x [van Dam 2000] Andries van Dam. "Beyond WIMP" in IEEE Computer Graphics and
Applications, 20(1), pp. 50-51, 2000.
x [van Dam et al. 2000] Andries van Dam, Andrew S. Forsberg, David H. Laidlaw, Joseph
J. LaViola Jr., and Rosemary Michelle Simpson. "Immersive VR for Scientific
Visualization: A Progress Report" in IEEE Computer Graphics and Applications, 20(6),
Nov/Dec, pp. 26-52, 2000.
1999
x [Brown et al. 1999] Judith R. Brown, Andy van Dam, Rae Earnshaw, Jose Encarnacao,
Richard Guedj, Jennifer Preece, Ben Shneiderman, and John Vince. "Human-Centered
Computing, Online Communities, and Virtual Environments" in IEEE Computer
Graphics and Applications, 19(6), pp. 70-74, November 1999.
x [DeRose & van Dam 1999] Steven J. DeRose and Andries van Dam. "Document
Structure and Markup in the FRESS Hypertext System" in Markup Languages 1(1), pp.
7-32, 1999.
x [Gould et al. 1999] Daniel L. Gould, Rosemary M. Simpson, and Andries van Dam.
"Granularity in the Design of Interactive Illustrations'' in Proceedings of ACM SigCSE
'99, pp. 306-310, 1999.
x [Simpson et al. 1999] Rosemary M. Simpson, Anne M. Spalter, and Andries van Dam.
"Exploratories: An Educational Strategy for the 21st Century" in Proceedings of ACM
SIGGRAPH '99, Conference Abstracts and Applications, pp. 43-45, 1999.
x [van Dam 1999] Andries van Dam. "Education: the unfinished revolution" in ACM
Computing Surveys, 31(4es), p. 36, 1999.
9
1998
x [van Dam 1998a] Andries van Dam. "Interview" in IEEE Annals of the History of
Computing 20(2), pp. 81-84,1998.
x [van Dam 1998b] Andries van Dam. "The Shape of Things to Come"in ACM
SIGGRAPH Computer Graphics Newsletter, 32(1), 1998.
1997
x [Bazik et al. 1997] John Bazik, Roberto Tamassia, Stephen P. Reiss, and Andries van
Dam. "Software Visualization in Teaching at Brown University" Chapter 25 in Software
Visualization: Programming as a Multi-Media Experience, MIT Press, pp. 383-398,
1998.
x [van Dam 1997a] Andries van Dam. "Some Personal Recollections on Graphics
Standards" in ACM SIGGRAPH Computer Graphics Newsletter Standards Pipeline
Column, February 1997.
x [van Dam 1997b] Andries van Dam. "Post-Wimp User Interfaces: the Human
Connection" in Communications of the ACM (CACM) 40(2), pp. 63-67, 1997.
1996
x [Simpson et al. 1996] Rosemary M. Simpson, Allen Renear, Elli Mylonas, and Andries
van Dam. "50 Years After 'As We May Think': The Brown/MIT Vannevar Bush
Symposium" in ACM Interactions 3(2), pp. 47-67, 1996.
1995
x [Arnold et al. 1995] David Arnold, Jack Bresenham, Ken Brodlie, George S. Carson, Jan
Hardenbergh, Paul van Binst, and Andries van Dam. "Standardisation - opportunity or
constraint?" in Proceedings of ACM SIGGRAPH '95, pp. 499-501, 1995.
1994
x [Bryson et al. 1994] Steve Bryson, Steven Feiner, Frederick P. Brooks Jr., Philip M.
Hubbard, Randy Pausch, and Andries van Dam. "Research frontiers in virtual reality" in
Proceedings of ACM SIGGRAPH '94, pp. 473-474, 1994.
x [Conner et al. 1994] D. Brookshire Conner, David Niguidula, and Andries van Dam.
"Object Oriented Programming: Getting it Right at the Start" in OOPSLA Educators'
Symposium, Portland, OR , October 1994.
x [Gomez et al. 1994] Julian E. Gomez, Rick Carey, Tony Fields, Andries van Dam, and
Dan Venolia. "Why is 3-D interaction so hard and what can we really do about it?" in
x [Herndon et al. 1994] Kenneth P. Herndon, Andries van Dam, and Michael Gleicher.
"The Challenges of 3D Interactions" in Proceedings of ACM SIGCHI '94, pp. 36-43,
1994.
10
x [van Dam 1994] Andries van Dam. "Interactive Visualization via 3D User Interfaces" in
Proceedings of IEEE Visualization '94, 1994.
1993
x [van Dam 1993] Andries van Dam. "VR as a Forcing Function: Software Implications of
a New Paradigm" in Proceedings of IEEE Symposium on Research Frontiers in Virtual
Reality, SPIE pp. 570-576, October 1993.
1992
x [Adrion et al. 1992] W. Richards Adrion, Edward D. Lazowska, and Andries van Dam.
"From Discipline in Crisis to Mature Science: Evolving Needs for Computing Research
Infrastructure" in IEEE Computer, 25(12), pp. 18-24, December 1992.
x [Conner et al. 1992] D. Brookshire Conner, Scott S. Snibbe, Kenneth P. Herndon,
Daniel C. Robbins, Robert C. Zeleznik, and Andries van Dam. "Three-dimensional
Widgets" in Proceedings of the ACM SIGGRAPH1992 Symposium on Interactive 3D
Graphics, pp. 183-188, 1992.
x [Conner & van Dam 1992] D. Brookshire Conner and Andries van Dam. "Sharing
Between Graphical Objects Using Delegation" in Proceedings of Third Eurographics
Workshop on Object-Oriented Graphics, Champery, Switzerland, pp. 173-190, October
1992.
x [Herndon et al. 1992] Kenneth P. Herndon, Robert C. Zeleznik, Daniel C. Robbins, D.
Brookshire Conner, Scott S. Snibbe, and Andries van Dam. "Interactive Shadows" in
Proceedings of ACM Symposium on User Interface Software and Technology '92, pp. 1-
6, 1992.
x [Snibbe et al. 1992] Scott S. Snibbe, Kenneth P. Herndon, Daniel C. Robbins, D.
Brookshire Conner, and Andries van Dam. "Using Deformations to Explore 3D Widget
Design" in Proceedings of ACM SIGGRAPH '92, pp. 351-352, 1992.
x [van Dam 1992] Andries van Dam. "Escaping Flatland in User Interface Design" in
Proceedings of the ACM SIGGRAPH 1992 Symposium on Interactive 3D Graphics,
SI3D '92, pp. 9, 1992.
1991
x [Marcus & van Dam 1991] Aaron Marcus and Andries van Dam. "User Interface
Design" in IEEE Computer, 24(9), pp. 49-57, 1991.
x [Zeleznik et al. 1991] Robert C. Zeleznik, D. Brookshire Conner, Matthias M. Wloka,
Daniel G. Aliaga, Nathan T. Huang, Philip M. Hubbard, Brian Knep, Henry Kaufman,
John F. Hughes, and Andries van Dam. "An Object-Oriented Framework for the
Integration of Interactive Animation Techniques" in Proceedings of ACM SIGGRAPH
'91, pp. 105-112, 1991.
11
1990
x [Phillips et al. 1990] Dick Phillips, Michael Lesk, Michael Hawley, Andries van Dam,
and Richard J. Beach. "Digital publication: status, opportunities and problems" in
1989
x [Upson et al. 1989] Craig Upson, Thomas Faulhaber, David Kamins, David Laidlaw,
David Schlegel, Jeffrey Vroom, Robert Gurwitz and Andries van Dam. "The Application
Visualization System: A Computational Environment for Scientific Visualization" in
IEEE Computer Graphics and Applications, 9(7), pp. 30-42, July 1989.
x [van Dam 1989] Andries van Dam. "Trends in Computer Graphics" in Proceedings of
SIAM Conference on Parallel Processing for Scientific Computing (PPSC '89), pp. 454,
1989.
1988
x [van Dam 1988] Andries van Dam. "Hypertext '87 Keynote Address" in
Communications of the ACM (CACM) 31(7), pp. 887-895, July, 1988.
x [van Dam 1988] Andries van Dam. "PHIGS+ Functional Description" in ACM
SIGGRAPH Computer Graphics, 22(3), pp. 125-220, July, 1988.
1987
x [van Dam 1987] Andries van Dam. "Solids Modeling and Rendering on Workstations --
A Pictorial Overview" in Computer Physics Communications #45, North-Holland
Publishing Company, 1987.
1986
x [van Dam 1986] Andries van Dam. "Computing in 1984" in Electrical Engineering: The
Second Century Begins, ed. Harlow Freitag, IEEE Press, 1986.
1985
x [Yankelovich et al. 1985] Nicole Yankelovich, Norman K. Meyrowitz, and Andries van
Dam. "Reading and Writing the Electronic Book" in IEEE Computer Magazine 18(10),
pp. 15-30, October 1985.
1984
x [van Dam 1984] Andries van Dam. "An Interview with Andries van Dam" in
Communications of the ACM (CACM) 27(7), pp. 638-648, July 1984
12
x [van Dam 1984] Andries van Dam. "Computer Software for Graphics" in Scientific
American 251(3), pp. 102-113, September 1984.
x [van Dam 1984] Andries van Dam. " The Electronic Classroom: Workstations for
Teaching" in Proceedings of ACM SIGCSE '84, pp. 59-60, 1984.
x [van Dam 1984] Andries van Dam. "The Electronic Classroom: Workstations for
Teaching" in International Journal of Man-Machine Studies, 21(4), pp. 353-363, October
1984.
1983
x [Brown et al. 1983] Marc Brown, Norman Meyrowitz, and Andries van Dam. "Personal
Computer Networks and Graphical Animation: Rationale and Practice for Education" in
Proceedings of ACM SIGCSE '83, pp. 296-307, 1983.
x [Shipp et al. 1983] William S. Shipp, Norman Meyrowitz, and Andries van Dam.
"Networks of Scholar's Workstations in a University Community" in Proceedings of
IEEE COMPCON, 1983.
x [Yau et al. 1983] Stephen S. Yau, Robert W. Ritchie, Warren Semon, J. F. Traub,
Andries van Dam, Stanley Winkler. "Meeting the Crisis in Computer Science" in
Communications of the ACM (CACM), 26(12). pp. 1046-1050 December 1983.
x [Yau et al. 1983] Stephen S. Yau, Robert W. Ritchie, Warren Semon, J. F. Traub,
Andries van Dam, and Stanley Winkler. "Meeting the Crisis in Computer Science" in
IEEE Computer 16(12), pp. 83-87, December 1983.
1982
x [Feiner et al. 1982] Steven Feiner, Sandor Nagy, and Andries van Dam. "An
Experimental System for Creating and Presenting Interactive Graphical Documents" in
ACM Transactions on Graphics, 1(1), pp. 59-77, 1982.
x [Meyrowitz & van Dam 1982] Norman K. Meyrowitz and Andries van Dam.
"Interactive Editing Systems: Part I and Part II" in ACM Computing Surveys 14(3), pp.
321-415, 1982.
x [Meyrowitz & van Dam 1982] Norman K. Meyrowitz and Andries van Dam.
"Interactive Editing Systems" in Document Preparation Systems, J. Nievergelt, G. Coray,
J. D. Nicoud, and A. C. Shaw, eds., North-Holland Publishing Company, 1982.
1981
x [Feiner et al. 1981] Steven Feiner, Sandor Nagy, and Andries van Dam. "An Integrated
System for Creating and Presenting Complex Computer-Based Documents" in
x [Gurwitz et al. 1981] Robert F. Gurwitz, R. Fleming, and Andries van Dam. "MIDAS: A
Microprocessor Instructional Display and Animation System" in IEEE Transactions on
Education 31(1), pp. 306-310, 1981.
x [Heller & van Dam 1981]. A. Heller and Andries van Dam. "Vertical and Outboard
Migration: A Progress Report" in Proceedings of AFIPS Conference, 50, pp. 69-74, 1981.
13
x [van Dam et al. 1981] Andries van Dam, Mario Barbacci, Constantine Halatsis, J.
Joosten, and M. Letheren. "Simulation of a Horizontal Bit-Sliced Processor Using the
ISPS Architecture Simulation Facility" in IEEE Transactions on Computers, 30(7), pp.
513-519, 1981.
1980
x [Gurwitz et al. 1980] Robert F. Gurwitz , Richard W. Thorne , Andries van Dam , and
Ingrid B. Carlbom. "BUMPS: A program for animating projections" in Proceedings of
ACM SIGGRAPH '80, pp.231-237, 1980.
x [Halatsis et al. 1980] Constantine Halatsis, Andries van Dam, J. Joosten, and M.
Letheren. "Architectural Considerations for a Microprogrammable Emulating Engine
Using bit-slices" in Proceedings 7th International Symposium on Computer Architecture,
pp. 278-291, 1980.
1979
x [Stankovic & van Dam 1979] John Stankovic and Andries van Dam. "Research
Directions in (Cooperative) Distributed Processing" chapter in Research Directions in
Software Technology, Peter Wegner (ed), pp. 611-638, MIT Press, 1979.
x [van Dam 1979] Andries van Dam. "Graphics Standards and Standard Packages," in
Proceedings of SEAS Spring Technical Meeting, 1979.
x [van Dam 1979] Andries van Dam. "Vector Graphics Today" in Proceedings of SEAS
Spring Technical Meeting, 1979.
1978
x [Eckhouse et al. 1978] Richard Eckhouse, John Stankovic, and Andries van Dam.
"Issues in Distributed Processing" in IEEE Computer, 11(1), pp. 22-26, January 1978.
x [Michener & van Dam 1978] James C. Michener and Andries van Dam. "A Functional
Overview of the Core System with Glossary" in ACM Computing Surveys 10(4), pp.
381-387, 1978.
x [Newman & van Dam 1978] William M. Newman and Andries van Dam. "Recent
Efforts Towards Graphics Standardization" in ACM Computing Surveys, 10(4), pp. 365-
380, 1978.
x [Stockenberg & van Dam 1978] John E. Stockenberg and Andries van Dam. "Vertical
migration for performance enhancement in layered hardware/firmware/software systems"
in IEEE Computer, 11(5), pp. 35-50, May 1978.
x [van Dam & Stankovic 1978] Andries van Dam and John Stankovic. "Guest Editor's
Introduction, Special Issue on Distributed Processing" in IEEE Computer, 11(1), p. 14,
January 1978.
14
1977
x [Bergeron et al. 1977] R. Daniel Bergeron, James D. Foley, Peter R. Bono, Ingrid
Carlbom, Timothy A. Dreisbach, James C. Michener, Elaine Sonderegger, and Andries
van Dam. "Status Report of the Graphics Standards Planning Committee of ACM
SIGGRAPH, Part II: General Methodology and Proposed Standard" in Proceedings of
ACM SIGGRAPH '77, pp. II.1-117, July 1977.
x [Caruthers et al. 1977] L. C. Caruthers, D. Groot, E. Hermans, Andries van Dam, and
Jan van den Bos. "GPGS - General Purpose Graphic System" in Proceedings of the Fifth
International Computing Symposium, pp. 411-416, 1977.
x [Caruthers et al. 1977] L. C. Caruthers, Jan van den Bos, and Andries van Dam.
"GPGS: A Device-Independent General-Purpose Graphics System for Stand-Alone and
Satellite Graphics" in Proceedings of ACM SIGGRAPH '77, pp. 112-119, July 1977.
x [Ramseyer & van Dam 1977] Richard R. Ramseyer and Andries van Dam. "A Multi-
Microprocessor Implementation of a General Purpose Pipelined CPU" in Proceedings of
the 4th Annual Symposium on Computer Architecture (ACM and IEEE), March 1977.
x [Stankovic et al. 1977] John Stankovic, Andries van Dam, and Lynn DeNoia. "Trends in
Distributed Data Processing in North America" in Proceedings of SEAS Spring Technical
Meeting, April 1977.
x [van Dam et al. 1977] Andries van Dam, Richard Ramseyer, and Sal D. Morgera.
"Solving Signal Processing Algorithms with a Multi-Microprocessor Network" in
Proceedings of Oceans '77 International Conference, Marine Technical Society and IEEE,
1977.
x [van Dam & Michel 1977] Andries van Dam and Janet Michel. "Evaluation of
Performance Improvement in a Host-Satellite Distributed Processing System" in
Proceedings of Second Distributed Processing Workshop, Brown University, August
1977.
1976
x [Michel & van Dam 1976] Janet Michel and Andries van Dam. "Experience with
Distributed Processing on a Host/Satellite Graphics System" in Proceedings of ACM
SIGGRAPH '76, pp. 190-195, 1976.
x [van Dam et al. 1976] Andries van Dam, Jens M. Dill, Douglas F. Dixon, and David S.
Notkin. "Structured Programming in Assembly Language" in ACM SIGCSE Bulletin, pp.
53-67, December 1976.
x [van Dam & McGowan 1976] Andries van Dam and Clement McGowan. "Software
Engineering Education" in Needs and Objectives: Proceedings of an Interface Workshop,
ed. A. Wasserman and P. Freeman, Springer-Verlag, New York, 1976.
1975
x [Stockenberg & van Dam 1975] John E. Stockenberg and Andries van Dam. "STRUCT
Programming Analysis System" in IEEE Transactions on Software Engineering 1(4), pp.
381-389, 1975.
15
1974
x [Lloyd & van Dam 1974] Gregg R. Lloyd and Andries van Dam. "Design
Considerations for Microprogramming Languages" in Proceedings 1974 National
Computer Conference and Exposition, May 1974.
x [van Dam et al. 1974a] Andries van Dam, Charles M. Strauss, Clement McGowan, and
Jean Morse. "A Survey of Introductory and Advanced Programming Courses" in
Proceedings of the ACM SIGCSE '74, pp. 174-183, February 1974.
x [van Dam et al. 1974b] Andries van Dam, George M. Stabler, and Richard J. Harrington.
"Intelligent satellites for interactive graphics" in Proceedings of the IEEE, 62(4), pp. 483-
492, 1974.
x [van Dam et al. 1974c] Andries van Dam, Kenneth Magel, and Marty Michel. "Towards
the Development of Machine-Independent Systems Programming Languages" in
Proceedings 1974 National Computer Conference and Exposition, May 1974.
1973
x [Anagnostopoulos et al. 1973] Paul C. Anagnostopoulos, Marty J. Michel, G. H. Sockut,
George M. Stabler, and Andries van Dam. "Computer Architecture and Instruction Set
Design" in Proceedings 1973 National Computer Conference and Exposition, pp. 519-
527, 1973.
x [Stockenberg et al. 1973] John E. Stockenberg, Paul C. Anagnostopoulos, Ralph E.
Johnson, Robert G. Munck, and Stabler, G. M., and Andries van Dam. "Operating system
design considerations for microprogrammed mini-computer satellite systems" in
Proceedings of 1973 National Computer Conference and Exposition, pp. 555-562, 1973.
x [van Dam & Stabler 1973] Andries van Dam and George M. Stabler. "Intelligent
Satellites for Interactive Graphics" in Proceedings 1973 National Computer Conference
and Exposition, pp. 227-238, 1973.
x [van Dam & Stabler 1973] Andries van Dam and George Stabler. "Some Aspects of
Satellite Graphics" in Proceedings of IEEE NEREM Conference, November 1973.
1972
x [Bergeron et al. 1972] R. Daniel Bergeron, John D. Gannon, Diane P. Shecter, Frank
Wm. Tompa, and Andries van Dam. "Systems Programming Languages" in Advances in
Computers 12, pp. 175-284, Academic Press, 1972.
x [van Dam 1972] Andries van Dam. "Some Implementation Issues Relating to Data
Structures for Interactive Graphics" in International Journal of Computer and Information
Sciences, Plenum Press, August 1972.
x [van Dam & Tompa 1972] Andries van Dam and Frank Wm. Tompa. "Software Data
Paging and Segmentation for Complex Systems" in Information Processing Letters 1(3),
pp. 80-86, North-Holland Publishing Company, 1972.
16
1971
x [Bergeron et al. 1971] R. Daniel Bergeron, John D. Gannon, and Andries van Dam.
"Language for Systems Development" in Proceedings of ACM SIGPLAN Symposium on
Languages for Systems Implementation, pp. 50-72, October 1971.
x [Elliott et al. 1971] W. David Elliott, Warren A. Potas, and Andries van Dam.
"Computer assisted tracing of text evolution" in Proceedings of the AFIPS Fall Joint
Computer Conference, pp. 533-540, 1971.
x [Rice & van Dam 1971] David E. Rice and Andries van Dam. "An Introduction to
Information Structures and Paging Considerations for On-line Text Editing Systems" in
Advances in Information Systems Science 4, Plenum Press, 1971.
x [Schiller et al. 1971] William L. Schiller, Robert L. Abraham, Richard M. Fox, and
Andries van Dam. "A microprogrammed intelligent graphics terminal" in IEEE
Transactions on Computers, C-20(7), pp. 975-982, July 1971.
x [van Dam 1971] Andries van Dam. "Microprogramming for Computer Graphics" in
ACM SIGGRAPH 7(3), Winter 1971.
x [van Dam 1971] Andries van Dam. "Satellite Computer Graphics" in Proceedings of
1971 SEAS Conference, September 1971.
x [van Dam & Rice 1971] Andries van Dam and David E. Rice. "On-line Text Editing: A
Survey" in ACM Computing Surveys 3(3), pp. 93-114, September 1971.
1970
x [van Dam 1970] Andries van Dam. "An Introduction to Interactive Computer Graphics,"
in Proceedings of Delft Symposium on Interactive Computer Graphics (October 1970).
x [van Dam 1970] Andries van Dam. "Human Factors of Computer Input and Output
Devices" in Proceedings of SID Symposium, 1970.
x [van Dam 1970] Andries van Dam. "Introduction to Picture Modeling (Data Structures),"
in Proceedings of SPSE-NMA-SID Seminar on Computer Handling of Graphical
Information, 1970.
x [van Dam & Bergeron 1970] Andries van Dam and R. Daniel Bergeron. "Software
Capabilities of the Adage Graphics Terminal" in Proceedings of Computer Graphics '70,
Brunel University, England, 1970.
x [van Dam & Michener 1970] Andries van Dam and James C. Michener. "Storage Tube
Graphics: A Comparison of Terminals" in Proceedings of Computer Graphics '70, Brunel
University, England, 1970.
x [van dam & Rice 1970] Andries van Dam and David E. Rice. "Computers and
Publishing: Writing, Editing and Printing" in Advances in Computers 10, pp. 145-174,
Academic Press, 1970.
1969
x [Carmody et al. 1969] Steven Carmody, Walter Gross, Theodor H. Nelson, David Rice,
and Andries van Dam. "A Hypertext Editing System for the /360" in Faiman and
Nievergelt (eds.) Pertinent Concepts in Computer Graphics: Proceedings of the Second
17
University of Illinois Conference on Computer Graphics, pp. 291-330, University of

Illinois Press, 1969.
x [van Dam & Sullivan 1969] Andries van Dam and P. Sullivan. "Computers" in
Encyclopedia Puritanical Yearbook of Science and Technology (1969).
1968
x [van Dam & Evans 1968] Andries van Dam and David Evans. "Data Structure
Programming System" in Proceedings IFIP Congress, Edinburgh, pp. 557-564, 1968.
1967
x [van Dam & Evans 1967] Andries van Dam and David Evans. "A Compact Data
Structure for Storing, Retrieving and Manipulating Line Drawings" in Proceedings of
AFIPS 1967 Spring Joint Computer Conference, pp. 601-610, 1967.
x [van Dam & Michener 1967] Andries van Dam and James C. Michener. "Hardware
Developments and Product Announcements" in Second Annual Review of Information
Science and Technology, John Wiley & Sons, 1967.
x [Wile et al. 1967] David S. Wile, Robert G. Munck, and Andries van Dam. "The Brown
University Student Operating System" in Proceedings of 1967 National ACM
Conference, pp. 427-439, 1967.
1966
x [van Dam 1966] Andries van Dam. "Computer Driven Displays and Their Use in
Man/Machine Interaction" in Advances in Computers 6, pp. 239-290, Academic Press,
1966.
1965
x [van Dam 1965] Andries van Dam. "Teacher Training for the Age of Automation" in
Automation Yearbook, 1965.
1964
x [Ashler et al. 1964] Daniel Ashler, Andries van Dam, and Daniel Prener. "Computer and
Information Sciences Program for High School Students" in Proceedings ACM 19th
Annual Conference, pp. K1.3-1--K1.3-5, 1964.
x [van Dam & Evans 1964] Andries van Dam and David Evans. "SHIRTDIF -A System
for the Storage Handling and Retrieval of Technical Data in Image Format" in
Proceedings of American Documentation Institute (later ASIS), 1964.
18
Invited Lectures since 2000

2008
Invited Speaker, A Conversation with Joel Orr with Andries van Dam and Alan Kay, Program
for the Future, Collective Intelligence (December)
Invited Speaker, Panel of 1968 [Mother of All] Demo Participants, Engelbart & the Dawn of
Interactive Computing, SRI (December)
Invited Speaker, When is the Pen Mightier Than the Keyboard, ETH Zurich (November)
Distinguished Lecturer, "When is the Pen Mightier Than the Keyboard", Datalogisk Institut,
Aarhus Universitet (May)
Invited Speaker, "As We May Work", Enterprise 2.0 (April)
Distinguished Lecturer, "When is the Pen Mightier Than the Keyboard", SCI University of Utah
(March)
Invited Speaker, "When is the Pen Mightier Than the Keyboard", Sun Microsystems (January)
Invited Speaker, "When is the Pen Mightier Than the Keyboard", Google (January)
2007
Keynote, "When is the Pen Mightier Than the Keyboard", Georgia Tech GVU 15th Anniversary,
2007 (October)
Distinguished Lecturer, "When is the Pen Mightier Than the Keyboard", Wheaton College, 2007
(September)
Distinguished Lecturer, "When is the Pen Mightier Than the Keyboard", Purdue University,
2007 (August)
Invited Speaker, "When is the Pen Mightier Than the Keyboard", MS Faculty Summit, 2007
(July)
Distinguished Lecturer, "When is the Pen Mightier Than the Keyboard", MSR China, 2007
(May)
Distinguished Lecturer, "When is the Pen Mightier Than the Keyboard", Amsterdam CWI, 2007
(April)
19
Invited Speaker, "A Radical Approach to Teaching Object-Oriented Programming", CCSCNE,

2007 (April)
Distinguished Lecturer, "When is the Pen Mightier Than the Keyboard", UCLA, 2007 (March)
2006
Invited Speaker, "When is the Pen Mightier Than the Keyboard ", TTI Vanguard, The Advanced
Technology Forum for Senior Executives, 2006 (December)
Distinguished Lecturer, "When is the Pen Mightier Than the Keyboard", Adobe, 2006
(December)
Invited Speaker, "The Microsoft Center for Research on Pen-Centric Computing", Microsoft
Faculty Summit, 2006 (July)
Distinguished Lecturer, "Immersive Virtual Reality in Scientific Visualization", Waterloo
University, 2006 (April)
Distinguished Lecturer, "Immersive Virtual Reality in Scientific Visualization", Simon Fraser
University, 2006 (March)
2005
Distinguished Lecturer, "Immersive Virtual Reality in Scientific Visualization", The College of
William and Mary, 2005 (December)
Distinguished Lecturer, "Immersive Virtual Reality in Scientific Visualization", University of
Texas, Dallas, 2005 (November)
Invited Speaker, "Scientific Visualization Research at Brown University", PNNL Fellow Lecture
Series, 2005 (July)
Invited Speaker, "Next Generation Educational Software: Why We Need It and a Research
Agenda for Getting It", Sun Microsystems, 2005 (May)
Invited Speaker, "Visualization at Brown: Scientific and Education Research", CIO, 2005 (April)
Invited Speaker, "Immersive Virtual Reality for Scientific Visualization", NYU, 2005 (February)
2004
Invited Speaker, "Immersive Virtual Reality for Scientific Visualization", Department of Energy,
2004 (December)
20
Invited Speaker, "Next Generation Educational Software: Why We Need It & A Research
Agenda for Getting It", Foundation for the Future of Higher Education Aspen Symposium, 2004
(September)
Invited Speaker, "Interaction as Human-centered Computing: Problems, Progress, and
Prospects", Digication 2004 (May)
Keynote Speaker, "Distributed Computing for Graphics: Then and Now", ICDCS 2004 (March)
2003
Distinguished Lecturer, "Visualization: New Dimensions, New Domains, Old Questions",
Brown University, TCASCV (Technology Center for Advanced Scientific Computing and
Visualization) (November)
Keynote Speaker, with Anne Morgan Spalter, "Modeling and Visualization: The Role of
Computer Graphics", IVLA (International Visual Literacy Association), (October)
Distinguished Lecturer, "User Interfaces: Disappearing, Dissolving, and Evolving", UCSB
(June)
Plenary Speaker, "Beyond Today's Web-based Educational Content", HICSS-36 2003 (January)
2002
Invited Speaker, "Immersive Electronic Books for Teaching Surgical Procedures", CREST
Symposium on Telecommunication, Teleimmersion, and Telexistence 2002 (December)
Distinguished Lecturer, "Immersive Virtual Reality for Scientific Visualization", University of
Maryland, (November)
Keynote Speaker, "Next Generation Educational Software", EdMedia 2002 (June)
Distinguished Lecturer, "Immersive VR for Scientific Visualization: A Progress Report", ETH
Zurich, Switzerland (February)
Invited Speaker, "Immersive VR for Scientific Visualization: A Progress Report", University of
Michigan, (January)
2001
Keynote Speaker, " User Interfaces: Disappearing, Dissolving, and Evolving", Celebration of
Professor Jose Encarnacao's 60th Birthday, Darmstadt, Germany (May)
21
Invited Speaker, "Immersive VR for Scientific Visualization: A Progress Report", MIT Media
Lab, Cambridge, MA (March)
2000
Keynote Speaker, "Immersive Virtual Reality for Scientific Visualization: A Progress Report",
VR2000, New Brunswick, NJ (March)
Keynote Speaker, " Exploratories: Web-based Interactive Environments for Teaching and
Learning", SigCSE2000, Austin, Texas (March)
Service to the Profession
2009 Panelist, NSF Science and Technology Center, Pre-Proposal Panel (January)
2008 - Chair, Computing Research Association Education (CRA-E) committee
2008 - Member, Advisory Board, Marian Koshland Science Museum
2008 - Member, Board of Advisors, WGBH/ACM New Image of Computing (NIC)
initiative
2007 Chair, ACM Karl V. Karlstrom Outstanding Educator Award committee
2007 Chair, Brandeis University External Review Committee
2007 Member, Editorial Board of Computers and Graphics, Pergamon Press
2007 - Member, National Research Council CSTB Healthcare Informatics committee
2005- Member, ACM Karl V. Karlstrom Outstanding Educator Award committee
2002-2005 IEEE James H. Mulligan, Jr. Education Medal committee
1998-2002 Member, NSF CISE advisory committee
1998 Member, DOE ASCII Data and Visualization Corridors initiative advisory
committee
Member, National Research Council CSTB Information Technology literacy
committee
1997 ACM97 Chairman, 1997 Symposium on Interactive 3D Graphics, Providence, RI
(April)
22
1994-1998 Member, Editorial Board, IEEE Transactions on Visualization and Computer

Graphics (TVCG), (August)
1994 Member, Editorial Board, SIGGRAPH Books Series with ACM Press Books, and
Addison-Wesley Publishing Company (January)
Co-founder, NSF Science and Technology Center for Computer Graphics and
Scientific Visualization, Summer Workshop on Geometric Modeling and
Computer Graphics, Brown University, Providence, RI (June/July)
Course Panelist, Developing Advanced Virtual Reality Applications, SIGGRAPH
'94, Orlando, FL (July)
Course Panelist, Research Frontiers in Virtual Reality, SIGGRAPH '94, Orlando,
FL (July)
Course Panelist, Why is 3D Interaction So Hard, and What Can we Really Do
About it?, SIGGRAPH '94, Orlando, FL (July)
Program Committee Member, 1995 Symposium on Interactive 3D Graphics,
Monterey, CA (November)
1993 Member, National Research Council, Committee on Virtual Reality Research and
Development
Program Committee, Senior Reviewer SIGGRAPH '93, Anaheim, California
(August)
Course Panelist, Implementing Virtual Reality, SIGGRAPH '93, Anaheim,
California (August)
Co-founder, A New Seminar for Secondary Mathematics Teachers The
Mathematics of Computer Graphics, Brown University, Providence, RI
(April/May)
Co-founder, NSF Science and Technology Center for Computer Graphics and
Scientific Visualization, Summer Workshop on Geometric Modeling and
Computer Graphics, Brown University, Providence, RI (June/July)
Panelist, The Role of New Information Technology in a Modern Curriculum,
University of California at Irvine, Irvine, CA (July)
1992 Program Committee, Senior Reviewer SIGGRAPH '92, Chicago, IL (July)
23
Program Committee, Third Eurographics Workshop on Object-Oriented Graphics,

Champery, Switzerland (October)
1991 National Science Foundation, Chairman, Workshop on Research Infrastructure
(July)
1990-1992 Member of Study Committee to Assess the Scope and Direction for Computer
Science and Technology, Computer Science and Telecommunications Board,
National Research Council Commission on Physical Sciences, Mathematics, and
Applications
1990 Chairman, Ad Hoc working group on Graphics Application Frameworks
1989-1991 Member, Nominating Committee, ACM
1989 Advisory Editor, Journal of Visual Languages and Computing, Academic Press
1987-1988 Member, Advisory Board, SIGGRAPH
1987 Program Committee, 1988 CERN Summer School
1985-1986 Chairman, Software Systems Award Committee, ACM
1986-1988 Member, Computer Science and Technology Board, National Research Council,
National Academy of Sciences
1986 Invited Lecturer, Asia Regional College on Microprocessors, Hefei, PRC
1985-1987 Chairman, Computing Research Board, (renamed Computing Research
Association)
Chairman, PHIGS+ Computer Graphics Working Group
1985 Chairman, Visiting Committee to evaluate computer science concentration and
computing services, Swarthmore College, Swarthmore, PA (April)
1983-1984 Member, CSNet Executive Board
1983-1985 Member of review board for Foxboro's Bristol Fellowship program
1983-1991 Member, Computer Science Board (renamed Computing Research Association)
1983 Co-director and lecturer, School on Microprocessors, Institute for Theoretical
Physics, Trieste (April)
24
Organizer of research symposium to mark the retirement of Marvin Denicoff of

ONR (December)
Member, Editorial Board of Computers and Graphics, Pergamon Press
1982 Invited lecturer, CERN Summer School in Computing, Zinal, Switzerland
(August)
1981-1986 Associate Editor, ACM Transactions on Graphics
1981 Co-director and lecturer, School on Microprocessors, Institute for Theoretical
Physics, Trieste (September)
1980-1986 Visiting Scientific Associate, CERN, Geneva, Switzerland
1980 Invited lecturer, CERN Summer School in Computing, Athens, Greece
(September)
1979 Program Organizer and Chairman of SEAS Spring Technical Meeting on Graphic
Man-Machine Interaction Methodology (May)
Invited participant in IFIP WG5.2 Seillac Workshop on Interaction Methodology
(May)
1978 Guest editor of IEEE Computer, Special Issue on Distributed Processing
(January)
Guest editor of ACM Computing Surveys, Special Issue on Computer Graphics
Standards (December)
1977 Panel Chairman, "Computer Graphics," IFIP Congress 77, Toronto
1976, 1977 Organizer and chairperson, Distributed Processing Workshops I and II, Brown
University
1976-1978 Member of ACM SIGGRAPH Graphics Standard Planning Committee and co-
designer of the proposed "Core" Graphics Standard
1976 Invited participant to IFIP WG5.2 Seillac Workshop on Graphics Standards
Session Chairman, ACM SIGGRAPH 3rd Annual Conference on Computer
Graphics, Interactive Techniques and Image Processing
1974 Session Chairman, ACM SIGGRAPH NBS Workshop on Machine-Independent
Graphics
25
Member of Editorial Board and Contributor, The Encyclopedia of Computer

Science
Session Chairman, ACM SIGGRAPH Conference on Computer Graphics and
Interactive Techniques
1973-1977 Member of Editorial Advisory Board, Computers and Graphics
1972 Conference organizer, IFIP Working Conference on Graphic Languages,
Vancouver, B.C.
1971-1981 Editor, Computer Graphics and Image Processing
1971 Session Chairman, "Computer-Aided Design," IFIP Congress 71, Ljubljana,
Yugoslavia
1969-1970 Consulting editor for Auerbach Corporation's Graphics Data Processing Reports
1968-1970 Co-founder, board member and lecturer, ACM SIGGRAPH, Special Interest
Group on Computer Graphics
1968 Session Chairman,"Data Structures for Computer Graphics," FJCC, San Francisco
1967-1978 Consulting editor in Computer Science, Holt, Rinehart and Winston
1967-1970 Co-founder, Board member and lecturer, ACM Professional Development
Seminar Series
1967-1969 Contributor, Engineering Concepts Curriculum Project of the ACM Commission
on Engineering Education (principal author of five chapters in The Man-Made
World)
1967 Co-founder of ACM SIGGRAPH
Academic Honors, Research Grants, Fellowships and Honorary Societies Honors
2008 Honorary Ph.D. from the Department of Computer Science at ETH Zurich
2007 Honorary Ph.D. from the Faculty of Mathematics, University of Waterloo.
2005 Co-Chairman of the Rhode Island Governor's Science and Technology Advisory
Council (STAC)
2004 American Association for the Advancement of Science Fellow Award
26
2003 Honorary General Chair of IEEE ICDCS 2003

Chairman of the Rhode Island Governor's Science and Technology Council
Board Member of the Mayor's Providence Economic Development Partnership
Council
2002 CRA (Computing Research Association) Distinguished Service Award
Brown University Sheridan Award for Teaching
2000 ACM SIGCSE Award for Outstanding Contribution to Computer Science
Education
American Academy of Arts & Sciences Fellow Award
1999 IEEE James H. Mulligan, Jr. Education Medal
1998-2004 Trustee of RISD (Rhode Island School of Design)
1996 Elected to the National Academy of Engineering
Honorary Ph.D. from Swarthmore College
1995 Named to the Thomas J. Watson, Jr. University Professor of Technology and
Education Chair
Honorary Ph.D. from Darmstadt Technical University in Germany
1994 IEEE Fellow Award
ACM Fellow Award
1993 ACM Karl V. Karlstrom Outstanding Educator Award
1992-1995 Named to the L. Herbert Ballou University Professor Chair
1991 SIGGRAPH Steven A. Coons Award for Outstanding Creative Contributions to
Computer Graphics
1990 1990 NCGA Academic Award
1988 State of Rhode Island Governor's Science and Technology Award
1984 IEEE Centennial Medal
27
1974 Society for Information Display's "Special Recognition Award"

1971-1972 Fulbright Fellowship
1966 Ph.D. Degree, Electrical Engineering, Moore School of Electrical Engineering,
University of Pennsylvania.
1963 M.S. Degree, Electrical Engineering, Moore School of Electrical Engineering,
University of Pennsylvania.
1960 IEEE (IRE) Delaware Valley Section "Student of the Year" Award; Sigma Tau,
Sigma Xi
B.S. Degree with Honors, Swarthmore College
Updated 1/14/09

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02198.51855/5018062.1

nd
Floor
Telephone: (415) 875-6600
Facsimile: (415) 875-6700

th
Floor
Telephone: (650) 801-5000
Facsimile: (650) 801-5100

Telephone: (213) 443-3000
Facsimile: (213) 443-3100

INC. and SAMSUNG



Plaintiff,

vs.


Defendant.


ANDRIES VAN DAM, PH.D. IN SUPPORT
OF SAMSUNGS OPPOSITION TO
APPLES MOTION FOR A PERMANENT
INJUNCTION AND FOR DAMAGES
ENHANCEMENTS REGARDING U.S.
PATENT NO. 7,469,381

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02198.51855/5018062.1
-2-
Regarding: Exhibit 2 to the Declaration of Andries van Dam, Ph.D. in Support of Samsungs
Opposition to Apples Motion for a Permanent Injunction and for Damages
Enhancements Regarding U.S. Patent No. 7,469,381

__X Non Graphical/Textual Computer File (audio, video, etc.) on CD or other media
Item Under Seal


SULLIVAN, LLP

INC. and SAMSUNG


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1

Andries van Dam

2007 Member, Technical Advisory Board, GyPSii

ICAT CREST Symposium on Telecommunication, Teleimmersion, and Telexistence,

University of Illinois Conference on Computer Graphics, pp. 291-330, University of

Invited Lectures since 2000

Invited Speaker, "A Radical Approach to Teaching Object-Oriented Programming", CCSCNE,

1994-1998 Member, Editorial Board, IEEE Transactions on Visualization and Computer

Program Committee, Third Eurographics Workshop on Object-Oriented Graphics,

Organizer of research symposium to mark the retirement of Marvin Denicoff of

Member of Editorial Board and Contributor, The Encyclopedia of Computer

2003 Honorary General Chair of IEEE ICDCS 2003

1974 Society for Information Display's "Special Recognition Award"

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