Athletic Alternatives, Inc. v. Prince Manufacturing, Inc.

73 F.3d 1573, 37 U.S.P.Q. 2d (BNA) 1365, 1996 U.S. App. LEXIS 384, 1996 WL 10917
CourtCourt of Appeals for the Federal Circuit
DecidedJanuary 11, 1996
Docket95-1045
StatusPublished
Cited by307 cases

This text of 73 F.3d 1573 (Athletic Alternatives, Inc. v. Prince Manufacturing, Inc.) is published on Counsel Stack Legal Research, covering Court of Appeals for the Federal Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Athletic Alternatives, Inc. v. Prince Manufacturing, Inc., 73 F.3d 1573, 37 U.S.P.Q. 2d (BNA) 1365, 1996 U.S. App. LEXIS 384, 1996 WL 10917 (Fed. Cir. 1996).

Opinions

Opinion for the court filed by Circuit Judge MICHEL. Opinion concurring in the result filed by Senior Circuit Judge NIES.

MICHEL, Circuit Judge.

Athletic Alternatives, Inc. (“AAI”) appeals from the June 29, 1994 order of the U.S. District Court for the District of Arizona, No. CIV-92-176-PHX-RGS (SLV), granting summary judgment of noninfringement in favor of Prince Manufacturing, Inc. (“Prince”).1 Because AAI cannot lawfully prevail on its infringement allegations against Prince when the asserted patent claim is correctly construed, we affirm.

Background

AAI designs athletic products, including string systems for sports rackets, and Prince manufactures and distributes tennis rackets. In February 1990, after entering into a confidentiality agreement, the parties began a collaborative effort to develop a commercially available tennis racket with splayed strings, ie., with string ends anchored to the racket frame alternately above and below its central plane. AAI had already conceived of and applied for a patent covering its prototype “Redemption Stringing System” in August 1988, and it shared the prototype with Prince under the confidentiality agreement. During the course of their collaboration, Prince and AAI shared other designs and ideas but ultimately failed to reach a mutually satisfactory licensing agreement.

Prince abandoned work on AAI’s prototype in favor of an alternative splayed string system. In February 1991, it placed a racket with this system on the market under the model name “Vortex.” The sides of the Vortex frame include strings splayed from the central plane at two, and only two, distinct offset distances: a distance of 2 millimeters at the upper and lower corners, and a dis-[1575]*1575tanee of 4.5 millimeters along the sides of the frame.

AAI, meanwhile, continued to prosecute its splayed string system patent application. As originally filed, the application contained 19 claims, the first of which broadly claimed “[a] sports racket ... wherein at least some of [the] ends of [the] string segments are successively and alternately secured to [the] frame at locations a distance d¡ in front of and behind [the] central plane.” Claim 5 of the application, depending from Claim 1, recited a racket “wherein d¡ is uniform for all strings.” Claim 7, also drafted in dependent form, recited a racket “wherein [the] distance d¡ ... varies continuously between mínimums as small as about zero for the lateral strings near the tip and the heel portions of said frame, and a maximum of up to about % inch for the ends of the lateral string segments through the center of the side portions of [the] frame.” This language, unlike that of Claim 1, closely tracked the specification’s description of the preferred embodiment.2

In a May 1989 office action, the examiner rejected, inter alia, Claims 1 through 5 and objected to Claim 7. Specifically, the examiner rejected Claims 1 and 5 as anticipated by British Patent No. 223,151 to Lewis (“Lewis”). Like AAI’s Claim 5, Lewis discloses a racket in which all the string ends are offset from the central plane by a uniform distance. Having rejected Claim 1, the independent claim from which it ultimately depended, the examiner objected to Claim 7. At the same time, however, the examiner indicated that Claim 7 contained patentable subject matter and thus “would be allowable if rewritten in independent form.”

In response to this office action, AAI filed a set of amendments to the application in October 1989. First, AAI canceled Claim 1 in favor of a new Claim 20, reciting “[a] sports racket ... where [the offset] distance d¡ varies between a minimum distance for the first and last string ends in [the] sequence [of adjacent string ends] and a maximum distance for a string end between [the] first and last string ends in [the] sequence.” After noting that it “rewrote Claim 1 to more succinctly define the present invention ... [in] Claim 20”, AAI explained the responsiveness of the new claim to the rejection on Lewis as follows:

Lewis is primarily concerned with the problem of splitting of wooden frames where all holes are located in the center plane of the frame. Another objective is to stabilize the frame against twisting. He places the holes somewhat away from and alternately above and below the center plane. Consequently, the stringing surface superficially resembles the present string suspension arrangement. However, we do not believe that the degree of splay or separation is sufficient to achieve the present effect of improved performance and feel of the string surface. Moreover, the Lewis racket is structurally different in that it maintains the same [s]play (d¡) all the way around.
Claim 1 has now been rewritten and resubmitted as Claim 20 to positively recite the feature of the splay (d¡), varying between a minimum and a maximum for a series of adjacent parallel strings, to thus clearly distinguish over Lewis.

In other words, according to this portion of the record, AAI drafted Claim 20 in a manner calculated to retain as much of the scope of Claim 1 as possible while still avoiding the Lewis reference.

Consistent with the examiner’s suggestion, AAI also redrafted Claim 7 in independent form and submitted it as Claim 21. It recited “[a] sports racket ... wherein [the] distance d¡ ... varies continuously between mínimums as small as about zero for the ends of laterial [sic, lateral] strings near the tip and heel portions of [the] frame, and maximum of up to about %-inch for the ends of lateral string segments near the center of [the] side portion of [the] frame.” As with Claim 7, the language of Claim 21 closely tracks that of the specification’s description of the preferred embodiment. Claim 21 thus [1576]*1576differed from Claim 20 in two ways: first, with respect to the limitation directed to the pattern of splay, Claim 20 recited an offset distance that “varies between” minimum and maximum values, whereas Claim 21 recited an offset distance that “varies continuously between” such values (emphasis added); second, Claim 21 recited particular numerical values for the minimum and maximum offset distances, whereas Claim 20 did not. Finally, AAI added a new claim that, like the rejected Claim 1, broadly covered any pattern of splayed string ends.3

The examiner’s Interview Summary Record indicates that the parties discussed proposed Claims 20 and 21 during a personal interview on November 16, 1989. In sharp contrast to the explanation AAI offered with the amendments that it filed, the summary notes that AAI’s “[ajttorney explained how el. 20 is directed to [the] preferred embodiment and how [its] recitation distinguishes over [the] cited references.” This notation calls into serious doubt the premise that AAI drafted Claim 20 with the sole purpose of overcoming the Lewis-based rejection of Claim 1.

After reviewing the submitted amendments, the examiner rejected Claims 20 through 22 in the final office action of January 29, 1990. Specifically, the examiner concluded that all three claims would have been obvious from Lewis in view of U.S. Patent No. 4,664,380 to Kuebler. AAI contested the rejection, arguing that the Kuebler patent, directed to improving the stiffness of racket frames, teaches nothing at all about splayed string ends and reiterating that “Lewis ... exhibits splay, but uniform splay all the way around the racket frame.” According to AAI, its “previous amendment ...

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73 F.3d 1573, 37 U.S.P.Q. 2d (BNA) 1365, 1996 U.S. App. LEXIS 384, 1996 WL 10917, Counsel Stack Legal Research, https://law.counselstack.com/opinion/athletic-alternatives-inc-v-prince-manufacturing-inc-cafc-1996.