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`
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`SERIAL
`[18/0233
`NUMBER
`
`
`SERIAL NUMBER
`08/02::, 39:?-
`02/25/93 if?1|
`
`EARTHUR R . HAI R , PI TTSBUREH, PG .
`o
`4
`'
`g3:4:CUNT1NUTNE Dg'rgalqz1!:s:a:4:2:$41:1:4:4:201-34::1:t.r:a:a:2;
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`THIS APPLN IS A, CIZIN 33F
`NHICH IS {a CIZIN CIF
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`VERIF ED
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`Ad©0ETEWIWW£838
`
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` FORE I [3N F I L. I NE 1. I CENSE
`
`
`ATTORNEV'S
`FILING FEE
`DOCKEI NO.
`
`RECEIVED
`STATE 0R SHEETS
`TOTAL
`
`
`COUNTRV BRINGS.
`CLAIMS
`Foreign nrlorlly alumna
`i yes
`I no
`
`35 use 119 confluent mm. D ya: 0 no
`
`vulllao and Acknowledgcd
`Examiner's lnlllali
`
`
`' ANGEL M.
`‘
`N.
`"
` '
`_. SUITE 23-01
`
`
`PARTS OF APPLICATION
`FILED SEPARATELY
`
`
`NOTICE OF ALLOWANCE MAILED
`
`Amount Due
`
`Dale Paid
`
`‘
`
`Label
`Area
`
`Farm PTO-436A
`(Rev. 9/92)
`
`
`‘ - licalions Examiner
`
`
`CLAIMS ALLOWED
`
`
`Tolal Claims
`Prim Claim
`
`
`
`Assislanl Examiner
`
`Prinl Fig.
`Sheets Drwg.
`
`
`
`
`_
`ISSUE
`,
`4
`V
`‘
`BATCH
`
`
`7
`Primary Examiner NUMBER
`
`PREPARED FOR ISSUE
`
`_
`_
`‘
`_
`WARNING: The inlormalion disclosed herein, may be restricted. Unauthorized disclosure may be prohibiled
`by the United Slales Code Title 35. Seclions 122. 181 and 368. Possession oulside the US,
`Patent 8. Trademark Oilice is reslricled lo aulhorized employees and comracxors only.
`
`
`
`
`
`
`
`
`
`
`(FACE)
`
`Apple Exhibit 1338 Page 00001
`
`Apple Exhibit 1338 Page 00001
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`

`

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`Page 00002
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`
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`PATENT DATE
`
`CORPS CORR.
`
`FILE MAINT.
`
`
`
`PATENT . a
`NUMBER ', 5
`
`!NDEX OF CLAIMS-i 1
`
`
`
`
`
`
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`
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`
`
`5578.gSQ
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`(LEFT INSIDE)
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`Page 00003
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`Page 00003
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`
`Washington, D.C. 20231
`
`
`
`Gil/0233984
`
`PA TENT
`
`HAIR—l CONT II
`
`comma
`
`.
`
`,
`
`NEW APPLICATION TRANSNH'ITAL
`
`Transmitted herewith for filing is the patent application of
`lnventor(s):
`Arthur R. Hair
`
`WARNING: -Patent must be applied for in the name(s) of all of the actual inventorrs). 37 07-? 1.41m and
`1.53(b).
`
`For (title):
`
`A SYSTEM FOR TRANSMITTING DIGITAL VIDEO OR
`AUDIO SIGNALS
`
`' 1. Type of Application
`
`This new application is for a(n) (check one applicable item below):
`
`@ Original
`
`[3 Design
`
`E Plant
`WARNING: Do not use this transmittal for a completion in the us. of an International Application under 35
`U.S.C. 371(c)(4) unless the Inrsmational Application is being fled as a divismnal. continuation or
`continuation-impart application
`
`NOTE:
`
`If one of the following 3 items apply than complete and attach ADDED PAGES FOR NEW APPUOI-
`770N THANSMITTAL WHERE save-77 OF A PRIOR U.S. APPUCANON CLAIMED and a NONFICA-
`TYON IN PA RENT APPLJCA 770M OF THE FILING OF THIS CON77NUA 770M AFFUCA TION.
`
`E Divisional
`
`{E Continuation
`
`E Continuation-impart (ClP)
`
`
`CEHTlFlCATION UNDER 37 CFR 1.10
`
`I hereby certify that this New Application Transmittal and the dooumens referred to as enclosed therein are being
`deposited with the United States Postal Service on this date Februar
`26
`1993
`in an envelope
`as “Express Mail Post Office to Addressee" Mailing Label Number T13252287
`8 US
`addressed
`to the: Commissxoner of Patents and Trademarks. Washington. 0.6. 20231.
`
`Tracer! L . Milka
`
`\
`(Type/{print name of person. mailing Paper)
`ieL'
`x4~flm4yo~
`(Slgnaturo of person malllng paper)
`
`NOTE: Each paper or fee referred to as enclosed herein has the number of the "Express Mail" mailing lapel
`placed thereon prior :0 mailing. 37 CE? 1.10(b).
`
`(Application Transmittal [4-1 J—page 1 of 7)
`
`RETAIN THIS NUMBER-CUSTOMER
`RECEIPT WILL BE MAILED TO YOU.‘
`
`
`
`T8252267336US
`
`Page 00004
`
`Page 00004
`
`

`

`a
`
`‘
`‘5
`
`'
`
`.
`
`w
`
`‘
`
`.
`
`‘
`
`V
`
`2. Benefit of Prior U.S. Application(s) (35 USC 120)
`NOTE:
`ii the new application being transmitted is a divisional. continuation or a continuation-in-part 0/ a parent
`case. or where the parent case is an International Application which designated the U.5.. then check
`the following item and complete and attach ADDED PAGES FOR NEW APPLICA TICN TRANSMIT'I'AL
`WHERE BENEFIT OF PRIOR U.$. APPL/CA TION(S) CLAIMED.
`
`D The new application being transmitted claims the benefit of prior U.S. applica-
`tion(s) and enclosed are ADDED PAGES FOR NEW APPLICATION TRANSMIT-
`TAL WHERE BENEFIT OF PRIOR U.S. APPLICATION(S) CLAIMED.
`3. Papers Enciosed Which Are Required For Filing Date Under 37 CFR 1.53(b) (Reg-
`ular) or 37 CFR 1.153 (Design) Application
`
`1 1 Pages of specification
`
`_l.L Pages of claims
`
`_1_ Pages of Abstract
`
`_L Sheets of drawing
`
`D formal
`informal
`
`WARNING: DO NOT submit original drawings. A high quality copy of the drawings should be supplied when
`filing a patent application. The drawings that are submitted to the Office must be on among, white.
`smooth, and non-shiny paper and meet the standards according to § 1.84. if correca‘ons to the
`drawings are necessary, they should be made to the original drawing and a high-quality copy of
`the corrected original drawing then submitted to the Office. Only one copy Is required or de-
`sired. Comments on proposed new 37 CFR 1.84. Nance of March 9, 1968 (1990 0. G. 57-62).
`“ldena‘fying indicia such as the serial number. group and unit. We of the invention, attomey’s docket
`number, inventor’s name. number of sheets. etc. not to exceed 25/4 inches (7.0 cm.) in width may be
`placed in a centered location between me side edges within three fourths inch (19. 1 mm.) of the top
`edge. Ether this marking technique on the front of the drawing or we placement. although not pre-
`ferred. of this information and the bile of me invention on the back of the drawings is accepmble. " Fro-
`posed 37 OFF] 1.84m. Notice of March 9, 1988 (1090 O. G. 57-62).
`
`NOTE-
`' ‘
`
`4. Additional papers enclosed
`
`E] Preliminary Amendment
`
`[:1
`
`Information Disclosure Statement (37 CFR 1.98)
`
`I] Form PTO-1449
`
`1:] Citations
`
`Cl
`
`Declaration of Biological Deposit
`
`C] Submission of “Sequence Listing," computer readable copy and/or amendment
`pertaining thereto for biotechnology invention containing nucxeotide and/or
`amino acid sequence.
`'
`
`DUE]
`
`Authorization of Attomey(s) to Accept and Follow Instructions from Representa-
`tive
`'
`
`Special Comments
`Other
`
`(Application Transmittal [4-1]—page 2 of 7)
`
`Page 00005
`
`
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`Page 00005
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`

`

`i.
`
`'
`
`4~
`ll/
`. v-uu ~--. ‘ -r
`(net..‘—- ”‘4 FUUJ-DVJl
`
`
`
`5. Declaratiopoath
`
`Bl Enclosed
`
`.
`
`executed by (check all applicable boxes)
`
`a inventor(s).
`
`El
`
`legal representative of inventor(s). 37 CFR 1.42
`or 1.43
`
`D joint inventor or person showing a proprietary
`interest on behalf of inventor who refused to
`
`sign or cannot be reached.
`
`Cl
`
`this is the petition required by 37 CFR 1.47 and the statement
`required by 37 CPR 1.47 is also attached. See item 13 below for
`fee.
`
`El Not Enclosed.
`
`WARNING: Where the filing is a completion in the US. of an International Application but where a declaration is not
`available or where the completion of the US. application contains subject matter in addition to the
`International Application the application may be treated as a continuation or continuation-impart, as the
`case may be, utilizmg ADDaD PAGE FOR NEW APPLICATION TRANSMITTAL WHERE BENE-‘iT OF PRIOR
`U.$. APPUCA TION CLAIMED.
`
`Cl Application is made by a person authorized under 37 CFR 1.41(c) on behalf
`Of all the above named ifWQfllO/(S). (The declaration or oath. along with the surcharge
`required by 37 CFH l. 16(e) can be filed subsequently).
`It is important that all the correct inventor(s) are named for filing under 37 CFR l.41{c) and 753(17)-
`
`NOTE:
`
`U Showing that the filing is authorized. (Not required unless called into quesfion.
`37 CFH 7.47(d).
`
`6.
`
`lnventorship Statement
`WARNING:
`If the named inventors are each not the inventors of all the claims an explanation, including the-ownership
`at the various claims at the time the last chimed invention was made. should be submitted.
`
`The lnventorship for all the claims in this application are:
`lXi The same
`
`‘
`or
`El Are not the same. An explanation. including the ownership of the various claims at the
`time the last claimed invention was made,
`
`E]
`
`is submitted.
`
`[3 will be submitted.
`
`7. Language
`NOTE: An application including a signed oath or declaration may be filed in a language other than English.
`A verified English translation of the non-English language application and the processing fee of
`3130.00 required by 37 CFH 1. 17(k) is required to be filed with his application or admin such time
`as may be set by the Office. 37 CFR 1.52(d).
`NOTE- A non-English oath ordeclaration in me form provided or approved by me PTO need notbe translated.
`37 CPR 1.69M.
`
`Kl English
`
`C]
`
`non-English
`
`E]
`
`the attached translation is a verified translation. 37 CFR 1.52(d).
`
`(Application Transmittal [4-ll—page
`
`3 of 7)
`
`Page 00006
`
`
`
`Page 00006
`
`

`

`‘
`
`.v
`
`.
`
`.1,
`
`8. Assignment
`
`
`D An assignment of the invention to
`
`D is attached. A separate 0 “COVER SHEET FOFl ASSIGNMENT (DOCU-
`MENT) ACCOMPANYING NEW PATENT APPLICATION" or C1 FORM PTO
`1906 is also attached.
`
`U will follow.
`
`- NOTE ‘il an assignment is submitted with a new application, send two separate letters-one for the
`application and one for the assignment.' Notice of May 4. 1990 (1114 0.6. 77-78).
`
`9. Certified Copy
`
`Certified copy(ies) of application(s)
`
`(country)
`(appln. no.)
`(filed)
`
`
`I (country)
`(appln. no.)
`(filed)
`
`
`(country)
`from which priority is claimed
`
`is(are) attached. ‘
`Cl
`C] will follow.
`
`(appln. no.)
`
`(filed)
`
`NOTE- The foreign application tom-ting the basis for me claim for priority must be referred to in the oath or
`decimation. 37 OFF? 1.55ia) and 1.63.
`
`NOTE: This item is for any foreign priority for which Me applicadon being filed directly relates. If any parent
`U.3. application or Intemedone: Application from which this applicadon claims benefit under 35 U.S. C.
`120 is itself entitled to pn‘onr/ from a prior foreign application then complete item 18 on the ADDED
`PAGES FOR NEW APPLICA WON TRANSMITTAL WHERE BENEFIT OF PRIOR U.s. APPLICA-
`TION(S) CLAIMED.
`
`10. Fee Calculation (37 CFR 1.16)
`
`31 Regular application
`A.
`
`
`CLAIMS AS FiLED
`
`Number filed
`
`Basic Fee
`37 CFR 1.16(8)
`
`$710.00
`
`Number Extra
`
`Rate
`
`Total
`
`Claims (37 CFR 1.16(c)) 3]
`Independent
`Claims (37 can 1.16(b))
`
`8
`
`-20=
`
`-3=
`
`1]
`
`5
`
`X
`
`x
`
`S 22.00
`
`242.00
`
`5 74.00
`
`370.00
`
`'
`Multiple dependent ciaim(s), if any
`
`.(37 CFR 1.16(d)) $230.00
`
`
`
`El Amendment cancelling extra claims enclosed.
`
`Ci Amendment deleting multiple-dependencies enclosed.
`Cl
`Fee for extra claims is not being paid at this time.
`NOTE ii the fees for extra claims are not paid on filing they must be paid or the claims cancelled by
`amendment. prior to the expiration of me time period set for response by the Patent and Trademark
`Office in any notice of lee deficiency. 37 CFR i.16(d).
`
`Filing Fee Calculation
`
`3
`
`1,322-00
`
`(Application Transmittal [4-ll—page
`
`4 0f 7)
`
`Page 00007
`
`Page 00007
`
`

`

`.
`
`B. C] Design application
`(328000—37 CFR 1.16m)
`
`Filing Fee Calculation
`
`C.
`
`[:1 Plant application
`(846000—37 CFR 1.16(g))
`
`11. Small Entity $tatement(s)
`
`filing fee calculation
`
`I
`
`‘5
`
`$
`
`.
`
`[K] Verified Statement(s) that this is a filing by a small entity under 37 CFR 1.9 and
`1.27 is(are) attached.
`
`Filing Fee Calculation (50% of A, B or C above)
`NOTE: Any excess of the full fee paid will be refunded if a verified smtement and a refund request are filed
`within 2 months of the date of timely payment at a full lee. 37 CFR 1.28m).
`
`3
`
`661.00
`
`12. Request for international-Type Search (37 CFR 1.104(d)) (complete, if applicable)
`
`I] Flease prepare an intemational-type search report for this application at the
`time when national examination on the merits takes place.
`
`13. Fee Payment Being Made At This Time
`
`[:1 Not Enclosed
`
`,
`
`C]
`
`[:1 No filing fee is to be paid at this time. (This and the surcharge reQUired by
`37 CPR 1.16(e) can be paid subsequently.)
`Enclosed
`basic filing fee
`recording assignment
`($40.00; 37 CFR 1.21(h))
`
`3 ' 661 . 00
`'
`
`.
`
`s
`
`D
`
`petition fee ior filing by other
`than all the inventors or person
`on behalf of the inventor where
`inventor refused to sign or cannot
`be reached. ($130.00; 37 CFR
`' 1.47 and 1.1701»
`
`for processing an application with
`a specification in a non-English
`language. ($130.00: 37 CFR 1.52(d) and
`1.17(k)
`
`E]
`
`processing and retention fee
`($130.00; 37 CFR 1.53(d) and 1.210))
`
`5
`
`$
`
`E]
`
`fee for intemational-type search report ($35.00;
`$
`37 CFR 1.21(e)).
`NOTE 37 CFR 121(1) establishes a fee for processing and ramming any application which is abandoned for
`failing to complete the application pursuant to 37 CFR 1.53(d) and this. as well as the changes to 37
`OFF? 1.53 and 1.78, indicate that in order to obtain the benefit of a prior as application. either the ba-
`sic firrng fee must be paid or the processing and retendon tee of 5 1.21m must be paid Wu 1 year
`from notification under § 53(d).
`Total tees enclosed
`
`s
`
`661 - 00
`
`
`
`(Application Transmittal [4-1]—page 5 of 7)
`
`Page 00008
`
`Page 00008
`
`

`

`14. Method of Payment of Fees
`
`E] Check in the amount of 8&00—
`A
`-in the amount of S
`E] Charge Account No.
`duplicate of this transmittal is attached.
`
`NOTE Fees should be itemized in such a manner that it is clear for which purpose Ute fees are card. 37 cm
`1.22(bl.
`
`15. Authorization to Charge Additional Fees
`
`WARNING.-
`II no fees are to be paid on filing me fol/omng items should not be completed
`WARNING: Accurately count claims. especially multiple dependent claims, to avoid unexpected high charges,
`if extra claim charges are authorized.
`
`@ The Commissioner is hereby authorized to charge the following additional fees
`by this paper and during the entire pendency of this application to Account No.
`12-0737
`-
`
`[3g] 37 CFR 1.16(a), (f) or (g) (filing fees) .
`
`37 CFR 1.16(b), (c) and (d) (presentation of extra claims)
`NOTE' Because additional fees for excess or multiple dependent claims not paid on filing or on laterpm
`don must only be paid or these claims cancelled by amendment prior to the expiration of me a'me pen;
`0d set for response by the PTO in any notice of fee defia‘ency (.77 CFR 1.15(d)), it might be bat not to
`aumon‘ze the PTO to charge additional claim lees. except possrbly when dealing wim amendments af-
`ter final acdon.
`
`C] 37 CFR 1.16(e) (surcharge for filing the basic filing fee and/or declaration
`on a date later than the filing date of the application)
`
`D 37 CFR 1.17 (application processing fees)
`WARNING: While 37 CF}? 1.17(a), (b), (c), and (d) deal Hath extensions of time under§ 1. 136(3) his aumon'za-
`lion should be made only with the knowledge lnat: "Submission of the appropriate extension fee
`under 37 CF. H. 1. 13669) is to no avail unless a request or petition for extension is filed. ” (Empha-
`sis added). Notice of Novembers, 1985 (1060 O. G. 27).
`
`D 37 CPR 1.18 (issue fee at or before mailing of Notice of
`Allowance. pursuant to 37 CFR 1.311(b))
`
`'NOTE: Where an aumon'mtion to charge the issue fee to a deposit acwmt has been filed before the mailing
`of'a Notice of Allowance. the issue fee will be automafically charged to the deposit account at the time
`of mailing the notice of allowance. 37 CF}? 1.311(b).
`-
`
`NOTE- 37 CFR 1.28m) requires "Notifimtion of any change in loss of entitlement to small entity smius must be
`filed in me application .
`.
`.1 prior to paying, orat the time ofpaying, .
`.
`. issue fee”. From the wording of
`37 CH? 1.28m): (a) notificaa‘on of change of status mmt be made even if the fee is paid as "omer than
`a small entity" and (b) no notification is required if the change is to anothersmall eno‘ty.
`
`16.
`
`Instructions As To Overpayment
`
`El credit Account No. _19-0 73 7
`
`U refund
`
`Reg. No.
`
`30 ,587
`
`Tel. NO. (412) 621—9222
`
` SIGNATURE OF ATTORNEY
`
`Ansel M. Schwartz
`——-————‘
`
`Type or print name of anomey
`Attorney at Law“—
`P.O. Address
`
`' Street Suite 301
`‘5—
`
`Pittsburgh , PA
`15213
`
`(Application Transmittal [4-1]—page 6 of 7)
`
`Page 00009
`
`Page 00009
`
`

`

`
`
`[Z]
`
`Incorporation by reference of added pages
`
`Check the following item if the application in this transmittal claims the ben-
`efit of prior us. appliationb) (including an intemational application enter-
`ing the us. stage as a continuation, divisional or C-I-P application) and
`complete and attach the ADDED PAGES FOR NEW APPLICATION
`TRANSMI'ITAL WHERE BENEFIT OF PRIOR U.$. APPLICATION(S)
`CLAIMED
`
`E Plus Added Pages For New Application Transmittal Where Benefit 01‘ Prior U.S.
`ApplicatioMs) Claimed
`
`Number of pages added
`
`5
`
`D Plus Added Pages For Papers Referred To In Item 4 Above
`Number of pages added
`
`[:1 Plus "Assignment Cover Letter Accompanying New Application"
`Number oi pages added
`
`E] Statement Where No Further Pages Added
`
`(If no further pages form a part of We Transmittal then and W5 Transmittal
`with this page and check the following item)
`
`[:1 This transmittal ends with this page.
`
`(Application Transmittal [4-1}—page 7 of 7)
`
`Page 00010
`
`Page 00010
`
`

`

`a
`
`a
`
`ADDED PAGES FOR APPLICATION TRANSMITI'AL WHERE BENEFIT OF
`PRIOR U.S. APPLICATIONS) CLAIMED
`
`NOTE:
`
`“In order for an application to claim the benefit of a prior filed copending national application. the prior
`application must name as an inventor at least one inventor named in the later filed application and dis-
`close the named inventors invention claimed in at least one claim of the later filed application in the
`manner provided by the first paragraph of 35 U.S.C. 112. " 37 CPR 1.78(a).
`"in addition the prior application must be (1) complete as set forth in § 1.51, or (2) entitled to a filing
`date as set forth in § 1.53(b) and include the basic filing fee set forth in § 1.16: or (3) entitled to a filing
`date as set forth in § 1.53m) and have paid therein the processing and retention fee set forth in
`5 121(1) within the time period set forth in 5 1.53(d). " 37 OFF? 1.78(a).
`17. Relate Back—35 U.S.C. 120
`
`NOTE:
`
`NOTE:
`
`"Any application claiming the benefit of a prior filed copending nafional or intemab'onal application must
`contain or be amended to contain in me first sentence of me specification following the title a reference
`to such prior application identifying it by serial number and filing date or international application num-
`ber and international filing date and indicating the relationship of the applications." 37 OFF 1.78(a).
`See also the Notice of April 28. 1987 (1079 0. G. 32 to 46).
`
`E] Amend the Specification by inserting before the first line the sentence:
`"This is a
`
`continuation
`
`E]
`
`continuation-impart
`
`[j divisional
`of copending application(s)
`
`NOTE:
`
`
`
`[E serial number 0 7/ __§85,39_1__filed on __.2—_a.__setember 18 1990 "
`
`
`_
`filed on
`D International Application
`and which designated the U.S."
`NOTE: The proper reference to a prior filed PCT application which entered the us. national phase is the U.S.
`serial number and the filing date at the PCT applicaa‘on which designated the us.
`(1) Where the application being transmitted adds subject matter to the International Application then
`the filing can be as a continuation-impart or (2) it is desired to do so for other reasons. 9.9. where no
`declaration is available, no English translation is available or no fee is to be paid on filing then the filing
`can be as a continuation. In these cases the lntemational Application designab‘ng the U.S. is vested as
`the parent case in the US and is an alternative to the cpmpleb'on of the International Application under
`35 U.S. C. 371(c)(4) which must meet me requirements of 37 OFF? 1.61(a). This alternative permis the
`completion of the filing requirements widiin any term set by the PTO under 37 CFH 1.53M) to which the
`extension provisions of 37 CFR 1.136(a) apply. (Whereas, if the filing is as an international application
`entering the U.S. stage then the tee. declaration and/or English translation (where necessary) is due
`within 20 months of the priority date but can be paid within 22 months of the priority date (or is due
`within 30 months or the priority date but can be submitted within 32 months of the priority date) with the
`surcharges set forth in 37 CF)? 1.492(e), (f) and 37 OFF? 1.495(c): however, the provisions of 37 CPR
`1.136 do n_ot apply to this 22 or (32 month) period. 37 OFF? 1.61(b).)
`NOTE: The deadline for entering the national phase in the U.S. for an international application was clarified in
`the Notice of April 28, 1987 (1079 0. G. 32 to 46) as follows:
`"The Parent and Trademark Office considers the lntemational application to be pending unfil the 22nd
`month from the priority date if the United States has been designated and no Demand for lntemational
`Preliminary Examination has been filed prior to the expirah‘on of the 19th month from the priority date
`and until the 32nd month from the priority date if 8 Demand for lntemational Preliminary Examination
`which elected the United States of America has been filed prior to the expiration of the 19th month
`from the priority date, provided that a copy of the international application has been communicated to
`the Patent and Trademark Office within the 20 or 30 month period respectively. ll a copy of the intema-
`tional application has not been communicated to the Patent and Trademark Office within the 20 or 30
`month period respectively, the intemafional application becomes abandoned or to the United States 2
`
`(Added Pages for Application Transmittal Where Benefit of Prior U.S. Application(s)
`Claimed [4-1.11—page 1 of 4)
`
`Page 0001 1
`
`Page 00011
`
`

`

`a‘t‘
`
`or 30 months from the prion’ty date respectivley. These periods have been placed in the rules as para-
`graph (h) of § 1.494 and paragraph (2) of § 1.495. A continuing application under 35 U.S.C. 365(c) and
`720 may be filed anytime during the pendency of the international application."
`
`18. Relate Back—35 U.S.C. 119 Priority Claim for Prior Application
`
`The prior U.S. application(s), inciuding any prior International Application designating the
`US, identified above in item 16, in turn itself claim(s) foreign priority (ies) as follows:
`
`country
`appl. no.
`filed on
`
`The certified copy (ies) has (have)
`
`D been filed on _ in prior application 0
`filed on
`
`/
`
`
`
`which was
`
`is (are) attached
`E]
`WARNING: The certified copy of the priority application which may have been communicated to the PTO by
`the lntemational Bureau may not be relied on without any need to file a certified copy of the prior~
`ity application in the continuing application. This is so because the certified copy of the priority
`application communicated by the lntemational Bureau is placed in a folder and is not assigned a
`U. 5‘. serial number unless the national stage is entered. Such folders are disposed of if the na-
`tional smge is not entered. Therefore such cerfified copies may not be available if needed later in
`the prosecution of a continuing application. An alternative would be to physically remove the prior-
`ity documents from the folders and fiansfer them to the continuing application. The resources re-
`quired to request transfer. retrieve the folders. make suitable record notations. transfer the certi-
`tied copies. enter and make a record of such copies in the Continuing Application are substantial.
`Accordingly, the priority documents in folders of international applications which have not entered
`
`the national stage‘may not be relied on. Notice of April 28, 1987 (1079 O, G. 32 to 46).
`19. Maintenance of Copendency of Prior Application
`NOTE: The PTO finds it useful if a copy of the petition filed in the prior application extending the term lor re-
`sponse is filed with the papers constitua'ng the filing of the continuation application. Notice of Novem-
`ber 5. 7985 (1060 a. G. 27).
`
`A. D Extension 'of time in prior application
`
`(This item must be completed and the papers filed in the prior application if the period
`set in the prior application has run)
`
`D A petition. fee and response extends the term in the pending prior application
`until
`
`D A copy of the petition filed in prior application is attached
`
`3. [j Conditional Petition for Extension of Time in Prior Application
`
`(complete this item if previous item not applicable)
`
`E] A conditional petition for extension of time is being filed in the pending prior ap-
`plication.
`
`[j A copy of the conditional petition filed in the prior application is attached
`
`20. Further lnventorship Statement Where Benefit of Prior Application(s) Claimed
`NOTE:
`"If the continuation. continuao'on-in-part. or divisional application is filed by less than all the inventors
`named in the prior applicafion a statement must accompany the application when filed requesa'ng dele-
`tion or the names of the person or persons who are not inventors of the invention being claimed in the
`continuation; continuation~in-part. or divisional application. "37 CPR l.62(a) [emphasis added]. (dealing
`with the lile wrapper continuation situaa’on).
`
`NOTE:
`
`"in the case of a continuation-rh-part application which adds and claims additional disclosure by
`amendment. an oath or declaration as required by 5 1.63 must be filed. In those situations where a
`new oath or declaration is required due to additional subject matter being claimed. additional inventors
`may be named in the continuing application. In a continuation or divisional application which discloses
`(Added Pages for Application Transmittal Where Benefit of Prior U.S. Application(s)
`Claimed [4-1.11—page 2 of 4)
`
`Page 00012
`
`Page 00012
`
`

`

`w
`
`and claims only subject matter disclosed in a pnor application. no additional oath or declaration is re-
`quired and the application must name as inventors the same or less than all the inventors in the prior
`application. " 37 CFR 1.60(c). (dealing with the continuation situation).
`
`(complete applicable item (a), (b) and/or (c) below)
`
`(a)
`
`[3] This application discloses and claims only subject matter disclosed in the prior
`application whose particulars are set out above and the inventor(s) in this appli-
`cation are
`
`E the same
`
`C]
`
`less than those named in the prior application and it is requested that the
`following inventor(s) identified for the prior application be deleted:
`
`
`(Type neme(s) ol inventor(s) to be deleted)
`
`(b) D This application discloses and claims additional disclosure by amendment and a
`new declaration or oath is being filed. With respect to the prior application the
`inventorts) in this application are
`
`l: the same
`
`D the following additional inventor(s) have been added
`
`
`(c)
`
`The inventorship for all the claims in this application are
`
`(Type name(s) of inventor(s) to be added)
`
`@ the same
`
`D not the same. and an explanation, including the ownership of the various
`claims at the time the last claimed invention was made
`
`1:
`
`is submitted
`
`D will be submitted
`21. Abandonment of Prior Application (if applicable)
`
`D Please abandon the prior application at a time while the prior application is
`pending or when the petition for extension of time or to revive in that application
`is granted and when this application is granted a filing date so as to make this
`application copending with said prior application.
`NOTE: According to the Notice of May 13, 1983 (103, TMOG 6.7) the filing of a continuation or continuation-in-
`part application is a proper response with respect to a petition (or extension of fime or a petition to re-
`vive and should include the express abandonment of the prior application conditioned upon the grant-
`ing of the petition and the granting of a filing date to the continuing applicafion.
`
`22. Petition for Suspension of Prosecution tor the Time Necessary to File an
`Amendment
`
`WARNING:
`
`"The claims of a new application may be finally rejected in the first Office action in those situations
`where (1) the new application is a continuing application of, or a substitute for, an eariier applica-
`tion, and (2) all the claims a! the new application (a) are drawn to the same invention claimed in
`the earlier application. and (b) would have been properly finally rejected on the grounds of art of
`record in the next Office action if they had been entered in the earlier application." MPEP,
`§ 706.07(b).
`
`NOTE: Where it is possible that the claims on file will give rise to a first action final for this continuation appli-
`cation and for some reason an amendment cannot be filed promptly (e.g.. experimental data is being
`gathered) it may be desirable to file a petition for suspension of prosecution lor the time necessary.
`
`(Added Pages for Application Transmittal Where Benefit of Prior U.S. Application(s)
`Claimed [4-1.1]—page 3 of 4)
`
`Page 00013
`
`Page 00013
`
`

`

`d"
`
`O
`
`. (check (he next item, if applicable)
`
`Q There is provided herewith a Petition To Suspend Prosecution for the Time Nec-
`essary to File An Amendment (New Application Filed Concurrently)
`
`23. NOTIFICATION IN PARENT APPLICATION OF THIS FILING
`
`C] A notification of the filing of this
`(check one of the following)
`
`I] continuation
`
`[j
`
`continuation-impart
`
`[I divisional
`
`is being filed in the parent application from which this application claims priority under 35
`USC § 120.
`
`(Added Pages for Application Transmittal Where Benefit of Prior U.S. Application(s)
`Claimed [4-1.11—page 4 of 4)
`
`Page 00014
`
`Page 00014
`
`

`

`1
`
`A
`
`1
`
`.
`
`' [ll/023398
`
`ADDED PAGES) FOR APPLICATION TRANSlVfl'I'I'AL WHERE BENEFIT OF
`
`_A PRIOR U.S. APPLICATION GLAD/[ED
`
`This is a continuation application of U.S. patent application serial
`
`number 07/586,391 filed September 18, 1990, now U.S. Patent No.
`
`5,191,573,
`
`issued March 2, 1993, which is a continuation application
`
`of U.S. patent application serial number 07/206,497, filed June 13, 1988,
`abandoned.
`
`Added page __1_
`
`(Added Page for Special Comments for Application Transmittal Where Benefit of a Prior
`U.S. Application Claimed [4-1.1])
`
`Page 00015
`
`Page 00015
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`

`

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`
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`
`
`
` ;
`
`
`
`
`
`MB
`
`loo
`
`\‘
`
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`
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`
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`
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`
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`
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`
`
`
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`
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`
`
`
`20.4
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`Page 00016
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`Page 00016
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`aggrws'
`
`
`
`
`
`
`
`
`500
`
`
`PLAYBACK“ R.A.M.
`
`
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`
`SPEAKERS 30
`
`
`
`CONTROLPANEL
`
`
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`
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`
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`
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`
`
`
`
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`
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`Page 00017
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`Page 00017
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`
`
`%Ross liEFERENCE'TO OTHER PATENTS
`
` S
`
`\E2> ;ég;fiis a continuation application of U.S. patent
`
`application serial number 07/586,391 filed September 18, 1990, now
`U.S. Patent No. 5,191,573,
`issued March 2,
`1993, which is a
`
`continuation application of U.S. patent application serial number
`
`07/206,497, filed June 13, 1988, abandoned.
`
`FIELD OF THE INVENTION
`
`10
`
`15
`
`invention is
`related to a
`system and
`The present
`the electronic sales and distribution of
`associated met%0d_for
`digital audio 0 video signals, and more particularly,
`to a system.
`L—
`and EeEhOd which a
`ser may purchase and receive digital audio or
`Avideo signa&’_f
`any location which the user has access to
`telecommunications lines.
`
`nu.
`
`BACKGROUND OF THE INVENTION
`
`The
`
`three basic mediums
`
`(hardware units)
`
`of music:
`
`records,
`
`tapes,
`
`and
`
`compact
`
`discs,
`
`greatly restricts
`
`the
`
`20
`
`transferability
`inefficiencies.
`
`of music
`
`and
`
`results
`
`in
`
`a
`
`variety
`
`of
`
`CAPACITY:
`
`The individual hardware units as cited above
`
`are limited as to the amount of music that can be stored on each.
`
`MATERIALS:
`
`The materials used to' manufacture
`
`the
`
`hardware units are subject
`
`to damage and deterioration during
`
`25
`
`normal operations, handling, and exposure to the elements.
`
`Pag600018
`
`Page 00018
`
`

`

`"m
`
`._»[)
`
`-2-
`
`SIZE:
`
`The physical size of the hardware units imposes
`
`constraints on the quantity of hardware units which can be housed
`
`for playback in confined areas such as
`
`in automobiles, boats,
`
`planes, etc.
`
`RETRIEVAL: Hardware units limit the ability to play,
`
`in
`
`a sequence selected by the user, songs from different albums.
`
`For
`
`example,
`
`if the user wants to play one song from ten different
`
`albums, the user would spend an inordinate amount of time handling,
`
`sorting, and cueing the ten different hardware units.
`
`10
`
`15
`
`20
`
`25
`
`SALES
`hardware units
`
`AND DISTRIBUTION:
`Prior
`to final purchase,
`need
`tdk be physically transferred from the
`
`manufacturing facility to the wholesale warehouse to the retail
`
`warehouse to the retail outlet,
`
`resulting in lengthy lag time
`
`between music creation and music marketing, as well as incurring
`
`unnecessary
`
`and
`
`inefficient
`
`transfer
`
`and
`
`handling
`
`costs.
`
`Additionally,
`
`tooling costs required for mass production of the
`
`hardware units
`
`and the material cost of
`
`the hardware units
`
`themselves, further drives up the cost of music to the end user.
`
`QUALITY: Until
`
`the recent
`
`invention of Digital Audio
`
`Music, as used on Compact Discs, distortion free transfer from the
`
`hardware units to the stereo system was virtually impossible.
`
`Digital Audio Music is simpl