Case 2:22-md-03034-TGB ECF No. 255-5, PageID.19253 Filed 06/20/24 Page 1 of 21
`
`Exhibit E
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`

`Case 2:22-md-03034-TGB ECF No. 255-5, PageID.19254 Filed 06/20/24 Page 2 of 21
`
`NEO-AUTO_0115733
`
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`Case 2:22-md-03034-TGB ECF No. 255-5, PageID.19255 Filed 06/20/24 Page 3 of 21
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`NEO-AUTO_0115734
`
`PROVISIONAL APPLICATION COVER SHEET
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`Case 2:22-md-03034-TGB ECF No. 255-5, PageID.19256 Filed 06/20/24 Page 4 of 21
`
`NEO-AUTO_0115735
`
`Methods and Apparatus for Multi-Carrier
`Communication Systems with Adaptive
`Transmission and Feedback
`
`1 Background of the Invention
`Adaptive modulation and coding (AMC) has been used in wireless systems to improve
`spectral efficiency in a fading environment where signal quality varies significantly. By
`adjusting the modulation and coding scheme (MCS) in accordance with the varying
`signa!-to-noise-plus-interference ratio (SINR), reliable communication link can be
`maintained between communicating devices. For example, in CDMA2000 1xEV-DO
`system, twelve different modulation/coding schemes are provided. AMC is also used in
`CDMA2000 1xEV-DV and 3GPP HSDPA systems.
`In addition to MCS, other system functionalities, such as channel estimation,
`transmission power control (TPC), subchannel configuration, can be adjusted in
`accordance with state of the communication channel to improve performance. For
`example, channel estimation is usually carried out using so called training symbols or
`pilot data, which are known to both the transmitter and the receiver. For coherent
`modulation, the channel information can be extracted at the receiver by comparing the
`pilots and their corresponding received versions. For non-coherent modulation, the
`received samples of those pilots are used as reference for the detection of the
`transmitted data. Channel estimation is an important part of multi-carrier communication
`systems such as Orthogonal Frequency Division Multiplexing (OFDM) systems. For
`example, in conventional OFDM systems, such as IEEE802.11a, 802.11g, 802.16, or
`DVB-T system, pilots are transmitted for the channel estimation purpose. However, the
`number of pilots and pilot patterns are fixed, independent of other functionalities such
`as MCS, TPC, subchannel configuration.
`Fast TPC can be used to compensate for fast fading. In a multi-cell multiple access
`system, TPC is also used to reduce intra-cell and inter-cell interference and conserver
`battery life for the mobile station by not transmitting excessive power when not needed.
`However, TPC is usually considered an independent function in a wireless system in
`that it is not related to MCA, pilot attributes, or subchannel configuration.
`Subchannel configuration is normally defined and fixed in the operation. It is usually not
`considered as adjustable functionality of the system to adapt to user profile and/or
`operational environment.
`
`2 Summary of the Invention
`This invention describes the methods and apparatus to carry out adaptative
`transmission where modulation schemes, coding rates, training pilot patterns, TPC
`levels, and subchannel configurations are jointly adjusted to adapt to the channel
`
`Rev. 0.1 2/13/2004
`
`WALBELL TECHNOLOGIES, INC.
`Confidential and Proprietary
`
`1
`
`

`

`Case 2:22-md-03034-TGB ECF No. 255-5, PageID.19257 Filed 06/20/24 Page 5 of 21
`
`NEO-AUTO_0115736
`
`conditions in order to maximize the overall system capacity and spectral efficiency
`without wasting radio resource and compromising error probability performance.
`Furthermore, the subchannel composition is designed to be configurable so that it can
`be adjusted statically or dynamically according to user profiles or environment
`conditions. The methods for obtaining the channel information and for transmitting the
`control information in the joint adaptation scheme are also included in the present
`invention, and methods for reducing the overhead of messaging such as feedback of
`channel condition and indexing of the joint scheme are described.
`The multi-carrier system mentioned in this invention can be of any special formats such
`as OFDM, or Multi-Carrier Code Division Multiple Access (MC-CDMA). The invention
`can be applied to downlink, uplink, or both, where the duplexing technique can be either
`Time Division Duplexing (TDD) or Frequency Division Duplexing (FDD).
`
`3 Brief Description of the Drawings
`The present invention will be thoroughly understood from the detailed description given
`below and from the accompanying drawings of various embodiments of the invention,
`which, however, should not be taken to limit the invention to the specific embodiments,
`but are for explanation and understanding only.
`Figure 1: A representative cellular communication system: Base Station 1 is
`communicating with Mobile Station 1 and Mobil Station 2 in SectorA of its cell site, and
`Base Station 2 is communicating with Mobile Stations 3, 4, and 5 in Sector B of its cell
`site.
`Figure 2: The basic structure of a multi-carrier signal in the frequency domain is made
`up of subcarriers. Data subcarriers can be grouped into subchannels in a particular
`way. The pilot subcarriers are also distributed over the entire channel in a particular
`way.
`Figure 3: The radio resource is divided into small units in both the frequency and time
`domains: subchannels and time slots. The basic structure of a multi-carrier signal in the
`time domain is made up of time slots.
`Figure 4 is an illustration of the control process between Device A and Device B. Device
`A transmits the data and the associated control information to Device B after the
`adaptation process. Device B measures the channel condition and feeds the CQI
`information back to Device A.
`Figure5 illustrates the joint adaptation process at the transmitter of an OFDM system
`which controls the coding, modulation, training pilot pattern, and transmission power for
`a subchannel.
`Figure 6 is an illustration of the control messaging associated with the data transmission
`between the communication devices: AMCTP indicator associated with the data
`transmission on the forward link from the transmitter to the receiver, and CQ! feedback
`on the return channel from the receiver to the transmitter.
`
`Rev. 0.1 2/13/2004
`
`WALBELL TECHNOLOGIES, INC.
`Confidential and Proprietary
`
`2
`
`

`

`Case 2:22-md-03034-TGB ECF No. 255-5, PageID.19258 Filed 06/20/24 Page 6 of 21
`
`NEO-AUTO_0115737
`
`Figure 7: Two different training pilot patterns are plotted for a multi-carrier system where
`the dark shaded time-frequency grids are allocated as training pilot symbols.
`Figure8illustrates the power control in AMCTP scheme for an OFDM system where
`digital variable gains G;, G2 ..., and Gy are applied to the subchannels in digital domain
`and the variable gain of G, in analog domain is used to control the total transmission
`power to meet the requirement for the transmission power of the device.
`
`4 Detailed Description
`The present invention is applicable to a communication system with multiple
`transmitters and multiple receivers. Such a system is shown in Figure 1 where Base
`Station 1 is communicating with Mobile Station 1 and Mobile Station 2 in Sector A of its
`cell site while Base Station 2 is communicating with Mobile Stations 3, 4, and 5 in
`Sector B of its cell site. Multi-carrier multiple access system is a special case of general
`communication systems which we use as a representative hereafter to describe the
`invention.
`
`4.1 Multi-Carrier Communication System
`The physical media resource (e.g., radio or cable) in a multi-carrier communication
`system can be divided in both the frequency and time domains. This canonical division
`provides a high flexibility and fine granularity for resource sharing.
`The basic structure of a multi-carrier signal in the frequency domain is made up of
`subcarriers. Within a particular spectral band or channel, there are a fixed number of
`subcarriers. There are three types of subcarriers:
`1. Data subcarriers, which carries information data;
`2. Pilot subcarriers, whose phases and amplitudes are predetermined and made
`known to all receivers and which are used for assisting system functions such as
`estimation of system parameters; and
`3. Silent subcarriers, which have no energy and are used for guard bands and DC
`carrier.
`The data subcarriers can be arranged into groups called subchannels to support
`scalability and multiple access. The carriers forming one subchannel are not necessarily
`adjacent to each other. Each user may use part or all of-the subchannels. The concept
`is illustrated in Figure 2.
`The basic structure of a multi-carrier signal in the time domain is made up of time slots
`to support multiple-access. The resource division in both the frequency and time
`domains is depicted in Figure 3.
`
`4.2 Detailed Description of Adaptive Transmission and Feedback
`The underlying principle of adaptive transmission and feedback in a communication
`system is both to increase the degree of freedom and to supply side information in the
`
`Rev. 0.7 2/13/2004
`
`WALBELL TECHNOLOGIES, INC.
`Confidential and Proprietary
`
`3
`
`

`

`Case 2:22-md-03034-TGB ECF No. 255-5, PageID.19259 Filed 06/20/24 Page 7 of 21
`
`NEO-AUTO_0115738
`
`adaptation process such that the allocated modulation scheme, coding rates, pilot
`patterns, power levels, spatial processing schemes, subchannel configurations, etc. can
`be adjusted in accordance to the transmission channel states, thereby improving
`system performance or capacity.
`We use AMCTP (adaptive modulation, coding, training and power control) as a general
`term hereafter where its variations can be applied to appropriate applications.
`Figure4illustrates the control process between Device A and Device B during adaptive
`transmission. Device A transmits the data and the associated control information to
`Device B based on the output of the adaptation process. Device B measures the
`channel conditions and feeds back the channel quality information (CQI).
`Figure5illustrates the joint adaptation process at the transmitter of an OFDM system
`which controls the coding, modulation, training pilot pattern, and transmission power for
`one subchannel. Figure 6 is an illustration of the control messaging associated with the
`data transmission between the communication devices: AMCTP indicator associated
`with the data transmission on the forward link from the transmitter to the receiver, and
`CQI feedback on the return channel from the receiver to the transmitter.
`In a system where AMCTP is used, the transmitter relies on CQI to select an
`appropriate AMCTP scheme for the transmission of the next packet, or the
`retransmission of a previously failed packet required in automatic repeat request (ARQ)
`process. The CQI is a function of one or more of the following: the received signal
`strength, the average SINR, the variance in time, frequency or space, the measured
`BER, frame error rate (FER), or mean square error (MSE). Channel conditions hereafter
`are referred to as one or more of the following for a user or a subchannel: signal level,
`noise level, interference level, SINR, fading channel characteristics (Doppler frequency,
`delay spread, etc.), or channel profile in time or frequency domain. The detector of the
`channel condition can be implemented at the transmitter, the receiver, or both.
`The granularity of AMCTP schemes in a multi-carrier system can be per user, which
`may use one or multiple subchannels, or per subchannel, which may contain one or
`more subcarriers. Likewise, the granularity of CQI can be per user or per subchannel.
`Both AMCTP and CQI may change over time and may be different from one time slot to
`another.
`MCS in AMCTP is referred to as the modulation and error correction coding schemes
`used in the system. By matching MCS to a specific channel condition (e.g., SINR level),
`a better throughput can be achieved. However, only adjusting MCS is sub-optimal since
`other factors such as training pilot patterns or subchannel compositions certainly have
`impacts on the system performance.
`A pilot pattern includes the number of (training) pilot symbols, the location of these
`symbols in time/frequency/space, the amplitude and phase, and other attributes of
`these symbols. The pilot pattern requirement for robust channel estimation varies with
`the SINR of the channel and the channel profile. The system may use distinctive pilot
`patterns for different MCS and channel conditions. The jointed adaptation of training
`pilot pattern together with MCS makes it more effectively matched to the channel
`condition thereby resulting in a better performance compared with that only adapts
`
`Rev. 0.1 2/13/2004
`
`WALBELL TECHNOLOGIES, INC.
`Confidential and Proprietary
`
`4
`
`

`

`Case 2:22-md-03034-TGB ECF No. 255-5, PageID.19260 Filed 06/20/24 Page 8 of 21
`
`NEO-AUTO_0115739
`
`MCS. One criterion for choosing a pilot pattern is such that the training pilots assisted
`channel estimation itself is not the bottleneck for the link performance whereas the pilot
`overhead is kept to the minimum level.
`In a multi-carrier system, pilots are transmitted on certain positions in the time-
`frequency grid. For example, in Figure 7, two different pilot patterns are plotted for
`illustration purpose.
`The power control information may include the requested absolute power level and/or
`the relative amount to increase or decrease the current power setting. In a multi-carrier
`system, the power levels of different subchannels are set differently such that minimum
`power is allocated to a subchannel to satisfy its required performance while minimizing
`interference to other users. The power control can be carried out on a per-user or per-
`subchannel basis. Figure8is an illustration of the power control in an OFDM system
`where digital variable gains G;, G2 ..., and Gy are applied to the subchannels which
`may use different modulations with different settings of transmission power levels.
`Variable gain of G, in analog domain is used to control the total transmission power to
`meet the requirement of the transmission power of the device.
`Table 1 is an example of the general AMCTP table (or CQI table). It should be noted
`that some pilot patterns in the table can be the same. The total number of index used to
`represent different combinations of the joint adaptation process can be different for
`AMCTP index and CQI index. For instance, it is not necessary to send the absolute
`transmission power information to the receiver(s). Some AMCTP info, such as relative
`power control info or code rate information, can be embedded in the data transmission
`instead of being conveyed in the AMCTP index.
`
`IQPSK
`
`1/16
`
`iPattern 1
`
`IModulation|\Code Rate [Training Pilot Transmit Power
`Step size
`Step size
`Step size
`Step size
`Step size
`Step size
` |Step size
`Step size
`Step size
`
`iPattern 2
`
`iPattern 3
`
`iPattern 4
`
`iPattern 5
`
`iPattern 6
`
`Pattern
`
`jPattern 8
`[Patten 9
`
`lindex
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`1/8
`
`VA
`
`IQPSK
`
`QPSK
`
`IQPSK
`
`16QAM
`
`|%
`
`16QAM
`
`16QAM
`
`16QAM
`
`Rev. 0.1 2/13/2004
`
`WALBELL TECHNOLOGIES. INC.
`Confidential and Proprietary
`
`5
`
`

`

`Case 2:22-md-03034-TGB ECF No. 255-5, PageID.19261 Filed 06/20/24 Page 9 of 21
`
`NEO-AUTO_0115740
`
`l64aam 2/3
`64QAM
`
`{5/6
`
`IPattern 10
`
`Pattern
`
`Pattern 12
`
`[Pattern 13
`
`Step size
` |Step size
`Step size
`Step size
`|Step size
`Table 1: An example of general AMCTP
`
`{5/6
`
`Pattern 14
`
`64QAM
`I64QAM_
`
`64QAM
`
`10
`
`11
`
`12
`
`13
`
`14
`
`000
`
`010
`
`011
`
`001
`101
`
`111
`
`110
`
`100
`
`In the general AMCTP table or CQI table, different training pilot patterns may be used
`for different modulations and code rates. However, even for the same modulation and
`coding, different patterns can be used to match different channel conditions. In order to
`make the table more efficient, more indexes can be allocated to the more frequently
`used scenarios, for example, several training pilot patterns can be allocated to the same
`MCS that is used more frequently to achieve finer granularity and thus have a better
`match to different channel conditions.
`Table 2 is a simple realization of the AMCTP index or the CQI index. As shown in the
`table, in one embodiment, the AMCTP and CQI index is Gray coded.
`Index (Gray coded) Modulation Code Rate [Training Pilot Transmit Power
`lapsk
`Max
`Pattern
`QPSK
`IMax
`[Max
`IMax
`
`QPSK
`
`7/16
`
`16QAM
`
`16QAM
`
`7/16
`
`iPattern 2
`
`Pattern 3
`[Pattern 2
`lPattern 3
`
`64QAM
`
`2/3
`
`|Pattern 2
`
`I64QAM_—i5/6
`
`[Pattern 3
`[Pattern 3
`64QAM
`5/6
`Table 2: Another example of AMCTP or CQI table
`
`IMax
`[Max
`IMax
`IMax-x
`
`Rev. 0.1 2/13/2004
`
`WALBELL TECHNOLOGIES, INC.
`Confidential and Proprietary
`6
`
`

`

`Case 2:22-md-03034-TGB ECF No. 255-5, PageID.19262 Filed 06/20/24 Page 10 of 21
`
`NEO-AUTO_0115741
`
`In some cases, different number of pilot symbols is used for the same MCS. In one
`embodiment, in order to keep the packet size the same when the same MCS is used
`with different number of pilot symbols, rate matching scheme such as repetition or
`puncturing is used. For instance, in the above Table 2, for Index 010 and Index 011,
`Pattern 3 has more pilot symbols compared to Pattern 2. The code rate of Index 010 is
`%, which is punctured to 7/16 for Index 011 to accommodate the extra pilot symbols.
`In another embodiment, more important bits in the CQI index are protected with
`stronger error protection code on the return channel.
`There are different adaptive transmission schemes that are subsets of the AMCTP
`scheme, such as AMCT (adaptive modulation, coding and training), AMTP (adaptive
`modulation, training, and power control), or AMT (adaptive modulation and training).
`Other factors that can be used in the adaptation process include modulation
`constellation arrangement, transmitter antenna techniques, and subchannel
`configuration in a multi-carrier system.
`For some modulation schemes such as 16QAM and 64QAM, how information bits are
`mapped to a symbol determines their reliability. In one embodiment, constellation
`arrangement is adjusted in the adaptation process to achieve a better system
`performance, especially during retransmission during a hybrid ARQ process.
`Some multiple antenna techniques such as transmission diversity are used to improve
`the transmission robustness against fading channel effects, whereas other multiple
`antenna techniques such as multiple-input multiple-output (MIMO) scheme are used to
`improve transmission throughput in favorable channel conditions. In one embodiment of
`the adaptive transmission, which antenna technique to use for a transmission is
`determined by the adaptation process.
`In a multi-carrier multi-cell communication system, when all subcarriers in one
`subchannel are adjacent or close to each other, they are more likely to fall in the
`coherent bandwidth of a fading channel; thus they can be allocated to users that are
`either fixed in location or are moving slowly. On the other hand, when subcarriers
`and/or subchannels that belong to one user are scattered in the frequency domain, it
`has higher diversity gains for fast moving users, and also has better interference
`averaging effect. Given the fact that different configurations of subchannel compositions
`are suitable for different scenarios or user profiles, in one embodiment, it is included in
`the transmission adaptation process. In one embodiment, the subchannel configuration
`information is broadcast on the common forward control channel to all users such that
`each user is informed of its subchannel configuration.
`In another embodiment, the subchannel configuration can be adjusted according to
`deployment scenarios. For instance, when a base station is newly deployed with less
`interference, one form of subchannel configuration is used; when more users join the
`network or more adjacent base stations are deployed which results in stronger
`interference to the users in the system, a different subchannel configuration with better
`interference averaging effect is used.
`In what is followed, we describe the method of how to transmit the control message
`between the transmitter and the receiver when AMCTP scheme is implemented. The
`
`Rev. 0.1 2/13/2004
`
`WALBELL TECHNOLOGIES, INC.
`Confidential and Proprietary
`
`7
`
`

`

`Case 2:22-md-03034-TGB ECF No. 255-5, PageID.19263 Filed 06/20/24 Page 11 of 21
`
`NEO-AUTO_0115742
`
`forward control link is defined as the transmission of the AMCTP indictor from the
`transmitter to the receiver, whereas the return control channel is defined as the
`transmission of CQI as the feedback information from the receiver to the transmitter, as
`shown in Figure 4.
`The AMCTP indicator on the forward link can be sent either separately or jointly. For
`instance, the power control information, training pilot pattern indicator, or antenna
`diversity scheme can be embedded in the data transmission. In another embodiment,
`AMCTP is transmitted on a separate control channel with stronger error protection for
`its importance.
`One méans for the transmitter to obtain CQI is to have it explicitly sent from the receiver
`to the transmitter based on the measurement of the channel condition at the receiver
`during previous transmission(s). The CQI is then used by the transmitter at the
`adaptation process to determine which AMCTP scheme to use for the next
`transmission. In one embodiment, CQI is periodically updated on the return channel
`even when there is no consecutive data transmission targeted for the user. In this case,
`the receiver measures the channel condition from the common broadcast transmission
`or the data transmission targeted to other users.
`In one embodiment, the transmitter or the receiver uses predictive algorithm to predict
`current or future channel conditions based on previous channel measurements. This is
`especially effective for fast fading environment where the past measurements may not
`match closely to the current transmission due to the fast variation of the channel. The
`output of the predictive algorithm is then used by the adaptation process to select the
`best possible scheme for the current or future transmission.
`Another method to obtain CQI is through the transmission of a probing sequence from
`the receiver to the transmitter. In one embodiment, in a multi-carrier communication
`system, a probing sequence is transmitted from the receiver to the transmitter using an
`overlay scheme where a probing sequence is overlaid to the data traffic without having
`negative impact on the data transmission performance. In this case, the transmitter
`estimates the channel profile in the time and/or frequency domains based on the
`received probing sequence. This is especially effective for a TDD system due to the
`reciprocity of the channel conditions on its forward and reverse channels.
`The AMCTP indicator or CQI can be sent per user or per subchannel. If per subchannel
`feedback is used, since the AMCTP and CQI information for the same users is highly
`correlated, in one embodiment, source coding is first used to compress the CQI, and
`error correction coding is then applied to the compressed CQI to provide sufficient error
`protection.
`In one embodiment in hybrid ARQ retransmission, the transmitter may not use the
`requested CQI for the retransmission as it may use for a new packet transmission;
`instead, it selects an AMCTP scheme that is appropriate for the retransmission in order
`to reduce interference to other users.
`It should be pointed out that the AMCTP index used for the transmission from the
`transmitter to the receiver may be different from the CQI that the receiver requested,
`
`Rev. 0.1 2/13/2004
`
`WALBELL TECHNOLOGIES, INC.
`Confidential and Proprietary
`
`8
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`

`

`Case 2:22-md-03034-TGB ECF No. 255-5, PageID.19264 Filed 06/20/24 Page 12 of 21
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`NEO-AUTO_0115743
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`since the transmitter may have other considerations such as quality of service (QoS) for
`different users, network traffic load, and power allocation limit.
`
`Rev. 0.7
`
`WALBELL TECHNOLOGIES, INC.
`Confidential and Proprietary
`9
`
`

`

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`NEO-AUTO_0115744
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`_WALBELLTECHNOLOGIES,INC.
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`ConfidentialandProprietary
`
`Station5
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`

`Case 2:22-md-03034-TGB ECF No. 255-5, PageID.19266 Filed 06/20/24 Page 14 of 21
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`NEO-AUTO_0115745
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`WALBELLTECHNOLOGIES,INC.
`
`ConfidentialandProprietary
`
`WALBELL
`
`Figure2
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`subchannel3
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`Case 2:22-md-03034-TGB ECF No. 255-5, PageID.19267 Filed 06/20/24 Page 15 of 21
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`NEO-AUTO_0115746
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`WALBELLTECHNOLOGIES,INC.
`
`ConfidentialandProprietary
`
`WALBELL
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`Case 2:22-md-03034-TGB ECF No. 255-5, PageID.19268 Filed 06/20/24 Page 16 of 21
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`NEO-AUTO_0115747
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`Case 2:22-md-03034-TGB ECF No. 255-5, PageID.19269 Filed 06/20/24 Page 17 of 21
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`NEO-AUTO_0115748
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`5
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`PowerControl
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`ain
`
`_WALBELLTECHNOLOGIES,INC.
`
`ConfidentialandProprietary
`
`Pilotpatterns
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`64QAMetc.
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`

`Case 2:22-md-03034-TGB ECF No. 255-5, PageID.19270 Filed 06/20/24 Page 18 of 21
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`NEO-AUTO_0115749
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`ConfidentialandProprietary
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`time
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`

`Case 2:22-md-03034-TGB ECF No. 255-5, PageID.19271 Filed 06/20/24 Page 19 of 21
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`NEO-AUTO_0115750
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`WALBELLTECHNOLOGIES,INC.
`
`ConfidentialandProprietary
`
`WALBELL
`
`Figure7
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`

`

`Case 2:22-md-03034-TGB ECF No. 255-5, PageID.19272 Filed 06/20/24 Page 20 of 21
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`NEO-AUTO_0115751
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`___WALBELLTECHNOLOGIES,INC.
`
`ConfidentialandProprietary
`
`WALBELL
`
`Figure8
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`

`Case 2:22-md-03034-TGB ECF No. 255-5, PageID.19273 Filed 06/20/24 Page 21 of 21
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`NEO-AUTO_0115752
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`ra
`
`PATENT APPLICATION SERIAL NO.
`
`U.S. DEPARTMENT OF COMMERCE
`PATENT AND TRADEMARK OFFICE
`FEE RECORD SHEET
`
`02/19/2004 GWORDOF1 00000069 60544521
`
`O1
`
`80.00 OF
`
`PTO-1556
`(5/87)
`
`“U.S. Government Printing Office: 2001 — 481-697/59173
`
`