Best Available Copy
`'
`
`Re
`
`Pet'da'telMEIWFZ 5/201 2
`
`Application Number
`
`Complete if Kn09500185'
`.
`95/001,856
`
`I_
`
`I
`
`— ..
`
`‘ I
`
`N
`
`0\
`
`Filing Date
`First Named Inventor
`Art Unit
` Roland G. Foster
`_
`“‘1
`Examiner Name
`
`APPLICANT
`
`December 16, 2011
`Victor Larson
`
`1 1798.0008-00000
`
`
`U.S. PATENTS
`KW
`Patent Number
`Publication/Pat Name of Patentee or Applicant 01
`Pages, Columns. Lines, Where Relevant
`S
`ent Date
`Cited Document
`Passages or Relevant Figures Appear
`
`INITIAL
`
`—lI-__-—_
`_m—__-:—_ -
`_M—
`_m—————
`___—__—
`___—_—
`___—_—
`___—___—
`—u--——__
`___—_—
`-m__—m__
`—m————_
`___—_—
`___-Emm—
`___—_—
`___—m—
`___—___
`_—___.'__
`—m—-_—mz__
`___—m—
`___—_—
`_M__
`___—__—
`—m-——__
`___——
`_MM—
`__m—
`—m—__
`___—___
`___-mem—
`—m-———_r——
`—m—-___
`___—__—
`___—_—
`___—___
`___—_—
`___—_—
`___—_—
`__m—
`___—___
`___—_—
`___—_—
`___—_'—_
`—m———__
`
`London
`
`___—_—
`___—___
`___-_—
`___—“—
`_m—_
`___—__—
`I I I
`I I
`I
`'I
`
`P3991 Of 38
`
`,
`
`'
`
`VIRNETX EXHIBIT 2041
`
`Microsoft v. VirnetX
`Trial lPR2014-00616
`
`.
`
`/R.F./
`
`Page 1 of 38
`
`VIRNETX EXHIBIT 2041
`Microsoft v. VirnetX
`Trial IPR2014-00616
`
`

`

`Best Available Copy
`
`
`
`
`
`5‘ w WWWPZS/ZOI 2
`
`
`
`
`INFORMATION DISCLOSURE
`
`
`STATEMENT BY APPLICANT
`(Use as many sheets as necessary)
`
`
`
`
`Application Number
`
`Filing Date
`First Named Inventor
`
`Art Unit
`
`Examiner Name
`
`Docket Number
`
`
`
`Complete if Kn095001856 —
`95/001 ,856
`
`December 1 6, 2011
`
`
`
`A”992
`
`Roland G. Foster
`
`11798.0008-00000
`
`
`
`EXAMI
`NER'S
`INITIAL
`
`S
`
`CITE
`
`Patent Number
`
`.-
`
`U.S. PAT'ENTS
`Publication/Pat
`Name of Patentee or Applicant of
`
`Cited Document
`en! Date
`
`
`
`
`
`
`
`
`
`
`
`
`
`Page 2 of 38
`
`___—_—
`I'llIMH-IIIEEIEIIIIMWWEEIIIIINMMHEHIIIIIII-IIIIIIIIIIIII
`___—m—
`___—___
`___—_—
`___—_—
`___—_—
`___—_—
`___—_—
`—m—_
`___—___
`___——
`___—_—
`___—__—
`___—_—
`___—_—
`___——
`___—_—
`___—_—
`___—_—
`___-___
`___—_—
`___—_—
`___—_—
`___—_—
`___—_—
`___—__—
`___-_—
`___——
`___—_—
`-II5E-—_——
`__M_
`—m__
`___—___
`___—_'__
`___—
`___—_—
`——m_
`___—_—
`_m_—_—
`—m—_——_
`—m-——___
`___—_—
`___-'___
`___—_—
`___-_—
`—m—_—__
`—mml———mm_—
`_mm—_—
`—m———__
`___—m—_
`——————.'__
`— mosmm ,_ gen...» ., W' 09 a '
`
`
`Pages, Columns. Lines. Where Relevant
`Passages or Relevant Figures Appear
`
`
`
`
`
`
`
`
`
`
`
`
`.
`
`/R.F./
`
`Page 2 of 38
`
`

`

`Best Available Copy
`
`Appncm Number
`
`Finneoate
`
`First Niamed Inventor
`Anum —_
`Examiner Name
`
`
`
`
`
`
`
`
`
`
`
`INFORMATION DISCLOSURE
`
`
`STATEMENT BY APPLICANT
`
`
`(Use as many sheets as necessary)
`
`
`
`
`
`
`
`
`
`
`U.S. PATENTS
`
`,
`
`EXAM!
`NER'S
`INITIAL
`S
`
`CITE
`
`Patent Number
`
`Publication/Pat Name 01 Patentee or Applicant of
`ent Date
`Cited Document
`
`
`
`
`Pages. Columns. Lines. Where Relevant
`Passages or Relevant Figures Appear
`
`A107
`
`335a:8-
`
`A110
`A111
`A112
`A113
`A114
`A115
`A116
`A117
`
`A120
`A121
`
`A124
`A125
`
`A127
`A128
`A129
`A130
`A131
`A132
`A133
`A134
`
`6 324 161
`
`6,333,272
`6 338 082
`
`6 425 003
`6 430 155
`6,430 610
`6 487 598
`6,496,867
`6,499 108
`
`6 505 232
`6,510 154
`6 549 516
`6,557,037
`6 560,634
`6 571 296
`6 571 338
`6,581,166
`6 606 708
`6 615,357
`6 618 761
`6 671 702
`6 687 551
`6 687 746
`6 701,437
`6 714 970
`
`1 1/27/2001
`12/1 1/2001
`12/1 8/2001 ‘
`1 2/25/01
`01/08/02
`03/05/2002
`07/23/2002
`08/06/2002
`08/06/2002
`1 1/26/2002
`1 2/1 7/2002
`1 2/24/2002
`1 2/2002
`01/07/200
`01/21 /200
`04/ 1 5/200
`04/2003
`05/06/2003
`05/27/2002
`05/27/2003
`7/1 7/2003
`08/1 2/2003
`9/2/2003
`09/09/2003
`1 2/30/2003
`2/3/2004
`02/03/04
`03/02/2004
`3/30/2004
`
`Boden et al.
`Risle et al.
`McMillin, et al.
`Schneider Eric
`BoreIIa et aI.
`Herzo- et al.
`Davie et al
`Carter
`Valencia
`Beser et al.
`Johnson
`Mun er et al.
`Michdoll et al
`Ma es et al
`Albert et al
`Provino, Joseoh E.
`Broadhurst
`
`Shaio et al.
`
`Devine et al.
`Boden et al.
`
`Krudikov et al
`
`Shuster, et al.
`Hoke et al.
`Fiveash et al.
`
`
`
`
`
`4/6/2004
`— 6 717 949
`06/15/2004
`- A136
`6751738
`06/22/04 _—
`— A137
`6752166
`06/29/04 _—
`- 6757 740
`7/6/2004 _—
`- 6760766
`11/2004 _—
`_ A140
`6813777
`-m-_——_
`—m———__
`_m———-—_
`—_——_.'__
`————__
`_m_—_
`_————_—
`-___-_—
`__———_
`__——_—
`_————_—
`__———_
`_m——
`—m—-———_
`—————_
`——m_
`—_——__
`. I'm/RH
`—m . my I-..
`gnu.
`.
`..
`
`
`
`
`
`‘
`v .
`II. B :3.
`"
`‘
`-
`v.0.
`.
`.
`.
`
`Boden et al.
`
`
`
`
`
`Page 3 of 38
`
`Page 3 of 38
`
`

`

`Best Available Copy
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`(Use as many sheets as necessary)
`
`—u_
`
`
`
`
`
`
` Complete if Kno"
`
`
`
`
`
`
`
`
`
`-——-—_
`
`
`U.S. PATENTS '
`
`
`Pages. Col umns, Lines. Where Relevant
`Publication/Pat Name of Patentee or Applicant of
`Passages or Relevant Fugures Appear
`ent Date
`Cited Document
`
`
`
`
`12/2010 __
`A159
`7.852.861
`
`04/2011 __
`A160
`7.921 211
`
`
`. _
`04/2011
`fili-
`7933990
`
`162
`8,051,181
`11/2011
`_
`
`CITE
`NO.
`
`Patent Number
`
`EXAMI
`NEFl'S
`INITIAL
`
`
`
`ALL REFERENCES CONSIQEQREORJEXCEPT WHERE LINED THROUGH.
`
`/R.F./
`
`Page 4 of 38
`
`
`
`Page 4 of 38
`
`

`

`Best Available Copy
`
`95001856 JGAU: 3992
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`(Use as many sheets as necessary)
`
`Recei ot date: 04/25/2012
`
`Subst. for loan 1449/PTO
`
`
`
`
`
`
`
`
`
`
`_“
`
`
`
`
`
`-——_—_
`U.S. PATENT APPLICATION PUBLICATIONS
`EXAMI'
`Pages. Columns, Lines, Where
`Publication
`Name of Patentee or Applica‘nt of Cited
`
`
`
`Relevant Passages or Relevant
`NER'S
`Data
`Document
`
`
`
`Figures Appear
`INITS'IAL
`_EII—_—_
`_E_--m__
`_IEI—__——
`____M__
`___—M__
`—_——_
`_-_——M__
`—-_—_mm__
`___—
`—I§H_———_
`_IEIII_—-MEEE__
`-I§I_——_
`—I§IE———EE-EE__
`_mI—_—
`—-—_—
`_-__——
`—-—_—
`_ B18___—
`_Efl——_——
`—Im—_
`
`
`
`—m—_
`
`Patent Number
`
`NO.
`
`
`
`
`
`
`
`
`
`
`
`
`
`ALL REFERENCES CONSIQEREOQJEXCEPT WHERE LINED THROUGH.
`
`/R.F./
`
`Page 5 of 38
`
`Page 5 of 38
`
`

`

`Best Available Copy
`
`Receiot date: 04/25/2012
`95001856 — GAU: 3992
`‘
`
`
`1 449/PTO
`Subst. tor torm
` Complete if Known
`
`
`
`Application Number
`95/001,856
`
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`(Use as many sheets as necessary)
`
`
`
`Filing Date
`First Named Inventor
`Art Unit
`
`December 16, 2011
`Victor Larson
`
`
`
`
`
`
`
`
`FOREIGN PATENT DOCUMENTS
`
`EXAMIN
`Foreign Patent
`Publication Date
`Name of Patentee or Applicant of
`Pages.
`Translation
`
`
`ER'S
`CITE
`Document
`Cited Document
`Columns,
`
`
`INITIALS No
`Country Codes _
`Lines
`Number 4 ~Kind Codes
`Where
`(if known)
`Relevant
`Figures
`
`Examiner Name
`
`Docket Number
`
`Roland G. Foster
`
`11798.0008-00000
`
`Appear
`
`’
`
`'
`
`
`
`—_——-m
`1___—_-
`___-_-
`___—_-
`___—_-
`___—_-
`04/01/1998 ___-
`___-_-
`___-_-
`___-_-
`___—_-
`1___—_-
`12 ___—_-
`___—_-
`Milleretal. __-
`
`14
`
`
`
`
`
`
`
`
`0(Dco\la:mAmm
`MN—|NA0)
`
`O O O
`
`ii.A_L(ONI
`
`23
`
`O
`
`Intemational Co -oration
`16 —_—m_—---
`___—_-
`w ___—_-
`___—_-
`2o ___—_-
`___-_-
`___—_-
`ooxeral- __-
`
`
`
`Corporation
`
`
`
`2‘___-II
`
`
`ALL REFERENCES CONSIQEQREOpagXCEPT WHERE LINED THROUGH.
`
`/R.F./
`
`Page
`
`6of38
`
`Page 6 of 38
`
`

`

`Best Available Copy
`
`December 16, 2011
`
`
`
`
`
`
` Complete if Known
`
`Application Number
`95/001,856
`
`
`INFORMATION DISCLOSURE
`Filing Date
`
`STATEMENT BY APPLICANT
`F... Named Inventor
`
`(Use as many sheets as necessary)
`
`Art Unit
`
`
`
`Examiner Name
`Roland G. Foster
`11798.0008-00000
`
`Docket Number
`
`-
`EXAMI
`NER'S
`'N'EAL
`
`CITE
`N0.
`
`OTHER ART (Including Author, Title, Date, Pertinent Pages, Etc.)
`Include name of the author (in CAPITAL LETTERS), title of the article (when appropriate), title of the item
`city and/or country where published.
`(book. magazine. journal, serial. symposium, catalog. etc.), date. page(s), volume-issue number(s). publisher,
`
`
`Alan 0. Frier et al,. "The SSL Protocol Version 3.0", Nov. 18, 1996, printed from
`http://www.netscape.com/eng/ss13/ draIt302.txt on Feb. 4. 2002. 56 pages.
`August Bequai. "Balancing Legal Concems Over Crime and Security in Cyberspace", Computer
`& Security, vol. 17, No.4, 1998, pp. 293-298.
`-E D. e. Chapman et al., "Building lntemet Firewalls", Nov. 1995, pp. 278-375.
`D. Clark, "US Calls for Private Domain-Name System". Computer, IEEE Computer Society, Aug.
`1, 1998, pp. 22-25.
`
`
`I“ DavilaJ etal, "Implementation of Virtual Private Networks attheTransport Layer", Information
`
`Security, Second International Work-shop, ISW'99. Proceedings (Lecture Spnnger-Verlag Berlin.
`Germany. [Online] 1999. pp. 85-102. XP002399276, ISBN 3—540‘666
`Dolev, ShIomi and Ostrovsky, Rafil, "Efficient Anonymous Multicast and Reception" (Extended
`Abstract), 16 pages.
`
`
`
`
`
`
`
`D13
`
`D17
`
`
`
`D27
`
`
`
`Shankar, A.U. "A verified sliding window protocoI with variable flow control“. Proceedings of ACM
`SIGCOMM conference on Communications architectures 8. urotocols.
`- -. 84-91 ACM Press,
`ALL REFERENCES CONSlEgaEQBEOPaJEXCEPT WHERE LINED THROUGH.
`
`/R.F./
`
`Page 7 of 38
`
`-- Donald E. Eastlake, 3rd, "Domain Name System Security Extensions", INTERNET DRAFT, Apr.
` 1998. pp. 1-51.
`F. Halsall, "Data Communications, Computer Networks and Open Systems", Chapter 4, Protocol
`Basics. 1996, pp. 198-203.
`
`'
`Glossary for the Linux FreeS/WAN project, printed from
`
`httpV/Iiberty.freeswan.org/freeswan_trees/Ireeswan-1.3/doc/glossary.html on Feb. 21, 2002. 25
`
`pages.
`
`J. Gilmore, “Swan: Securing the Internet against Wiretapping", printed from
`http://Iiberty.freeswan.org/freeswan _trees/freeswan-1.3/doc/rationale.html on Feb. 21, 2002. 4
`pages.
`
`
`
`
`
`
`
`
`
`James E. Bellaire, "New Statement of Rules-Naming Internet Domains", Internet Newsgroup,
`
`Jul. 30, 1995, 1 page.
`
`Jim Jones et aI., “Distributed Denial of Service Attacks: Defenses", Global Integrity Corporation,
`.-
`
`
`2000. pp. 1-14.
`
`
`Laurie Wells (LANCASTERBIBELMAIL MSN COM); "Subject: Security Icon“ USENET
`Newsgroup, Oct. 19. 1998, XP002200606, 1 page.
`-
`
`
`Linux FreeSNVAN Index File, printed from http://liberty.freewan.org/freeswan_trees/freeswan-
`
`1.3/doc/ on Feb. 21. 2002.3 Pages.
`
`P. Srisuresh et aI.. "DNS extensions to Network address Translators (DNS_ALG)", Internet Draft,
`
`
`Jul. 1998, pp. 1-27.
`
`Reiter, Michael K. and Rubin, Aviel 0. (AT&T Labs-Research), "Crowds: Anonymity for Web
`Transactions", pp. 1-23.
`RFC 2401 (dated Nov. 1998) Security Architecture for the Internet Protocol (RTP)
`RFC 2543-SIP (dated March 1999): Session Initiation Protocol (SIP or SIPS)
`Rich Winkel, "CAO: Networking With Spooks: The NET & The Control Of Information", Internet
`Newsgroup, Jun. 21, 1997, 4 pages.
`Rubin, Aviel 0., Gear. Daniel, and Ranum, Marcus J. (Wiley Computer Publishing), “Web
`Security Sourcebook", pp. 82-94.
`
`
`
`
`
`
`
`
`
`Page 7 of 38
`
`

`

`Best Available Copy
`
`Application Number
`
`o -
`
`December 16, 2011
`
`
`
`
`
`Complete if Kn-S‘T'H 3
`
`95/001 ,856
`
`
` nnmnnennwennr
`
`
`
`_—}2_
`
`Revenue roster
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`(Use as many sheets as necessary)
`
`' -
`- NY, NY 1986.
`Shree Murthy et al., "Congestion-Oriented Shortest Multi-path Routing", Proceedings of IEEE
`INFOCOM. 1996. pp. 1028-1036.
`
`
`
`
`
`
`- W. Stallings, "Cryptography And Network Security", 2nd. Edition, Chapter 13, IP Security, Jun. 8,
`
`
`1998, pp. 399-440.
`
`
`
`
`Microsoft Corporation’s Fourth Amended Invalidity Contentions dated Jan. 5, 2009, Virnetx Inc.
`and Science Applications International Corp. v. Microsoft Corporation.
`
`
`
` Concordance Table For the References Cited in Tables on pages 6-15. 71 -80 and 116-124 of
`
`
`
`the Microsoft Corporation‘s Fourth Amended Invalidity Contentions dated Jan. 5. 2009.
`
`
` R. Atkinson, “An lnternetwork Authentication Architecture," Naval Research Laboratory, Center
`
`
`
`for High Assurance Computing S stems (8/5/93). (Atkinson NRL. KX Records)
`
`Henning Schulzrinne, Personal Mobility For Multimedia Services In The Internet. Proceedings of
`
`
`the Interactive Distributed Multimedia Systems and Services European Workshop at 143 (1996).
`
`
`(Schulzrinne 96)
`
`
`Microsoft Corp., Microsoft Virtual Private Networking: Using Point-to-Point Tunneling Protocol for
`Low~Cost, Secure, Remote Access Across the Internet(1996) (printed from 1998 PDC DVD-
`
`ROM). (Point to Point, Microsoft Prior Art VPN Technology)
`
`
`“Safe Surfing: How to Build a Secure World Wide Web Connection," IBM Technical Support
`
`Organization, (March 1996). (Safe Surfing, WEBSITE ART)
`
`Goldschlag, et al.. “Hiding Routing Information," Workshop on Information Hiding, Cambridge,
`
`UK (May 1996). (Goldschlag ll, Onion Routing)
`'
`“IPSec Minutes From Montreal”, IPSEC Working Group Meeting Notes,
`
`
`
`htth/wwwsandlemancafrpsech 996/08/m3900018.html (June 1996). (IPSec Minutes,
`
`
`FreeS/WAN)
`-
`,
`
`
`
`
`J. M. Galvin, “Public Key Distribution with Secure DNS," Proceedings of the Sixth USENIX UNIX
`
`
`
`Securi Symposium, San Jose, California, July 1996. (Galvin, DNSSEC)
`J. Gilmore, et al. “Re: Key Management, anyone? (DNS Keying)," IPSec Working Group Mailing
`
`
`
`List Archives (8/96). (Gilmore DNS. FreeSNVAN)
`.
`H. Orman, et al. "Re: “Re: DNS? was Re: Key Management, anyone?" IETF IPSec Working
`
`
`
`
`Group Mailing List Archive (8/96-9/96). (Orrnan DNS, FreeS/WAN)
`Arnt Gulbrandsen 81 Paul Vixie, A DNS HR for specifying the location of services (DNS SRV),
`IETF RFC 2052 (October 1996). (RFC 2052, DNS SRV)
`Freier, et al. "The SSL Protocol Version 3.0," Transport Layer Security Working Group
`(November 18, 1996). (SSL. UNDERLYING SECURITY TECHNOLOGY)
`M. Handley, H. Schulzrinne, E. Schooler, Internet Engineering Task Force, Internet Draft,
`(12/02/1996). (RFC 2543 Internet Draft 1)
`
`13, 1996. (Reed, Onion Routing)
`M.G. Reed, et al. “Proxies tor Anonymous Routing," 12th Annual Computer Security Applications
`Conference, San Diego, CA. Dec. 9-
`
`i<03m.. ’6 (TI21co:1Q.
`-.
`E
`2':age.3'gainas
`75%0-.3‘4Am2‘19%“’2Po
`9?‘8:Om\o—t913’‘7’.“$23%3-:”5';go.«:2=1»9.3.8. .q8:0:22.8.oasorO‘3'go:2
`ANX)Automotive Industry Action Group, "ANX Release 1 Document Publication,” AIAG (1997). (AIAG, - .
`
`
`
`
`
`D43
`
`Uh\l
`
`'
`
`
`
`
`
`
`
`
`
`Automotive Industry Action Group, “ANX Release 1 Draft Document Publication," AIAG
`Publications (1997). (AIAG Release, ANX)
`Aventail Corp. "Aventail VPN Data Sheet," available at
`htt
`://www.archive.or Mob/1997021201 3043lwww.aventail.com/ rod/v ndata.html (1997).
`(Data Sheet, Aventail)
`Aventail Corp.. “Directed VPN Vs. Tunnel,” available at
`h
`:lweb.archive.or
`eb/19970620 3031flwww ave taiI.com/educateldirectv n.htmI (1997).
`(Directed VPN, Aventail)
`ALL REFERENCES CONSIQEQRAEORJEXCEPT WHERE LINED THROUGH.
`
`Page 8 of 38
`
`
`
`/R.F./
`
`Page 8 of 38
`
`

`

`Best Available Copy
`
`
`
`
`Application Number
`
`
`Complete if 101-914—100
`e
`0
`95/001,856
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`(Use as many sheets as necessary)
`
`Filing Date
`Firsmamedmvemor
`
`December 16, 2011 .
`
`mm ‘2:—
`noranmroster
`
`
`
`
`
`
`
`
`
`
`
`Aventail Corp., “Managing Corporate Access to the lntemet,“ Aventail AutoSOCKS White Paper
`available at
`htt
`' lweb.archive.or l19970 20 0031waw.aventail.comleduc e/white a erfi mw.htm
`
`(1997). (Corporate Access, Aventail)
`
`-_ Aventail Corp., “VPN Server v2.0 Administration Guide,” (1997). (VPN, Aventail)
`-_Assurance Computer Systems (1997). (Goldschtag I, Onion Routing)
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`D57
`
`
`
`IF
`.3
`
`Microsoft Corp., Installing Configuring and Using PPTP with Microsoft Clients and Servers
`(1997). (Using PPTP. Microsoft Prior Art VPN Technology)
`
`
`Microsoft Corp., IP Security for Microsoft Windows NT Server 5.0 (1997) (printed from 1998 PDC
`.w DVD-ROM). (IP Security, Microsoft Prior Art VPN Technology)
`
`
`
`Microsoft Corp., Microsoft Windows NT Active Directory: An Introduction to the Next Generation
`Directory Services (1997) (printed from 1998 PDC DVD-ROM). (Directory, Microsoft Prior Art
`VPN Technology)
`
`Microsoft Corp., Routing and Remote Access Service for Windows NT Server New Opportunities
`
`
`Today and Looking Ahead (1997) (printed from 1998 PDC DVD-ROM). Routing, Microsoft Prior
`
`
`Art VPN Technology)
`.
`-
`Microsoft Corp., Understanding Point-to-Point Tunneling Protocol PPTP (1997) (printed from
`
`1998 PDC DVD-ROM). (Understanding PPTP, Microsoft Prior Art VPN Technology)
`
`J. Mark Smith et.al., Protecting a Private Network: The Alta Vista Firewall. Digital Technical
`
`Journal (1997). (Smith, AltaVista)
`Naganand Doraswamy Implementation of Virtual Private Networks (VPNs) with IPSecurity,
`<draft-ietf-ipsec-vpn-00.txt> (March 12, 1997). (Doraswamy)
`M. Handley, H. Schulzrinne, E. Schooler, Internet Engineering Task Force, lntemet Draft,
`(03/27/1997). (RFC 2543 lntemet Draft 2)
`Aventail Corp., “Aventail and Cybersafe to Provide Secure Authentication For lntemet and
`
`Intranet Communication," Press Release, April 3, 1997. (Secure Authentication, Aventail)
`
`
`D. Wagner. et al. “Analysis of the SSL 3.0 Protocol," (April 15, 1997). (Analysis, UNDERLYING
`SECURITY TECHNOLOGIES)
`Automotive Industry Action Group, “ANXO Certification Authority Service and Directory Service
`Definition for ANX Release 1," AIAG Telecommunications Project Team and Belicore (May 9,
`1997). (AIAG Definition, ANX)
`Automotive Industry Action Group, “ANXO Certification Process and ANX Registration Process
`Definition for ANX Release 1," AIAG Telecommunications Project Team and Belicore (May 9,
`1997). (AIAG Certification. ANX)
`Aventail Corp., “Aventail Announces the First VPN Solution to Assure Interoperability Across
`Emerging Security Protocols,” June 2, 1997. (First VPN, Aventail)
`Syverson, et al. “Private Web Browsing," Naval Research Laboratory, Center for High 8
`Assurance Computer Systems (June 2, 1997) (Syverson Onion Routing)
`Belicore, “Metrics, Criteria, and Measurement Technique Requirements for ANX Release 1,"
`AIAG Telecommunications Project Team and Belicore (June 16, 1997). (AIAG Requirements,
`ANX)
`
`UUUU
`
`68
`
`\IO
`
`
`
`U
`
`71
`
`072
`
`D73
`
`M. Handley, H. Schulzrinne, E. Schooler, lntemet Engineering Task Force, Internet Draft,
`(07/31/1997). (RFC 2543 lntemet Draft 3)
`R. Atkinson, "Key Exchange Delegation Record for the DNS,” Network Working Group, RFC
`2230 November 1997). (RFC 2230, KX Records)
`M. Handley, H. Schulzrinne, E. Schooler, lntemet Engineering Task Force, Internet Draft,
`(11/11/1997). (RFC 2543 lntemet Draft 4)
`1998 Microsoft Professional Developers Conference DVD ("1998 PDC DVD-ROM") (including
`screenshots captured there from and produced as MSFI’VX 00018827-00018832). (Conference,
`Microsoft Prior Art VPN Technology)
`
`- D74
`
`Microsoft Corp., Virtual Private Networking An Overview (1998) (printed from 1998 PDC DVD-
`
`
`ROM) (Overview, Microsoft Prior Art VPN Technology)
`
`ALL REFERENCES CONSIQEBJEORJEXCEPT WHERE LINED THROUGH.
`
`/R.F./
`
`Page 9 of 38
`
`Page 9 of 38
`
`

`

`Best Available Copy
`
`Complete if Knm01856 -
`
`‘
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPL'CANT
`Use as man sheets as necessa
`(
`y
`'y)
`
`Art Unit
`
`Nererree-Foerer
`
`1 1798.0008-00000
`
`88
`
`U‘1m
`
`‘1\l
`
`78
`
`on\IO(D
`
`0
`
`81
`
`D84
`
`086
`
`087
`
`089
`
`Microsoft Corp., Windows NT 5.0 Beta Has Public Premiere at Seattle Mini-Camp Seminar
`attendees get first look at the performance and capabilities of Windows NT 5.0 (1998) (available
`at http://www.microsoft.com/presspass/features/1998/10-19nt5mspxpftrue). (NT Beta, Microsoft
`Prior Art VPN Technology)
`‘What ”ports does SSL use” available at stasonorg/TULARC/security/ssl-taIk/3-4-What-ports-
`does-ssI-use.html (1998). (Ports, DNS SRV)
`Aventail Corp., “Aventail VPN V2.6 Includes Support for More Than Ten Authentication Methods
`Making Extranet VPN Development Secure and Simple,” Press Release, January 19, 1998.
`(VPN V2.6, Aventail)
`R. G. Moskowitz. "Network Address Translation Issues with lPsec," Internet Draft, Internet
`Engineering Task Force, February 6, 1998. (Moskowitz)
`H. Schulzrinne, et aI, "Internet Telephony Gateway Location," Proceedings of IEEE INfocom ‘98,
`The Conference on Computer Communications, Vol. 2 (March 29 - April 2, 1998). (Gateway,
`Schulzrinne)
`C. Huitema, 45 al. “Simple Gateway Control Protocol," Version 1.0 (May 5, 1998). (SGCP)
`DlSA “Secret Internet Protocol Router Network," SIPRNET Program Management Office
`(D3113) DISN Networks, DISN Transmission Services (May 8. 1998). DISA, SIPRNET)
`M. Handley, H. Schulzrinne, E. Schooler, lntemet Engineering Task Force, lntemet Draft,
`(05/14/1998). (RFC 2543 Internet Draft 5)
`M. Handley, H. Schulzrinne, E. Schooler, lntemet Engineering Task Force, Internet Draft,
`(06/17/1998). (RFC 2543 lntemet Draft 6)
`D. McDonald, et al. “PF_KEY Key Management API, Version 2," Network Working Group, RFC
`2367 (July 1998). (RFC 2367)
`M. Handley, H. Schulzrinne, E. Schooler, lntemet Engineering Task Force, Internet Draft,
`(07/16/1998). (RFC 2543 Internet Draft 7)
`M. Handley, H. Schulzrinne, E. Schooler, lntemet Engineering Task Force, Internet Draft,
`(08/07/1998). (RFC 2543 lntemet Draft 8)
`Microsoft Corp., Company Focuses on Quality and Customer Feedback (August 18, 1998).
`Focus, Microsoft Prior Art VPN Technology)
`M. Handley, H. Schulzrinne, E. Schooler, lntemet Engineering Task Force, lntemet Draft,
`(09/18/1998). (RFC 2543 lntemet Draft 9)
`Atkinson, et al. “Security Architecture for the Internet Protocol.” Network Working Group. RFC
`2401 (November 1998). (RFC 2401, UNDERLYING SECURITY TECHNOLOGIES)
`M. Handley, H. Schulzrinne, E. Schooler, lntemet Engineering Task Force, Internet Draft,
`(11/12/1998). (RFC 2543 lntemet Draft 10)
`‘
`Donald Eastlake, Domain Name System Security Extensions, IEI'F DNS Security Working
`Group (December 1998). (DNSSEC-7)
`M. Handley, H. Schulzrinne, E. Schooler, lntemet Engineering Task Force, Internet Draft,
`(12/15/1998). (RFC 2543 lntemet Draft 11)
`Aventail Corp., “Aventail Connect 3.1/2.6 Administrator's Guide," (1999). (Aventail Administrator
`3.1, Aventail)
`
`'
`
`.. “Aventail Connect 3.1/2.6 Users Guide," (1999). (Aventail User 3.1, Aventail)
`Aventail Corp., “Aventail ExtraWeb Sewer v3.2 Administrators Guide," (1999). (Aventail
`ExtraWeb 3.2. Aventail)
`Kaufman et aI, "Implementing lPsec," (Copyright 1999). (Implementing IPSEC, VPN
`REFERENCES)
`Network Solutions, Inc. "Enabling SSL,” NSI Registry (1999). (Enabling SSL, UNDERLYING
`SECURITY TECHNOLOGIES)
`Check Point Software Technologies Ltd. (1999) (Check Point. Checkpoint FW)
`Arnt Gulbrandsen & Paul Vixie, A DNS RH for specifying the location of services (DNS
`SFtV),<draft-ietf-dnsind-frc2052bis-02.txt> (January 1999). (Gulbrandsen 99, DNS SRV)
`C. Scott, et al. Virtual Private Networks, O'Reilly and Associates. Inc., 2nd ed. (Jan. 1999). Scott
`VPNs)
`
`ALL REFERENCES CONSIQEEEQ£XCEPT WHERE LINED THROUGH.
`
`/R.F./
`
`Page 10 of 38
`
`Page 10 of 38
`
`

`

`Best Available Copy
`
`
`Re W'dfitelWfli’Q5/2
`
`
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`(Use as many sheets as necessary)
`
`
`
`
`
`
`
`'
`
`
`
`
`Complete if Kn -. ii
`
`.
`
`3
`
`o -
`
`
`I
`-
`
`
`—_e_
`
`
`
`
`
`-—-_—_
`M. Handley, H. Schulzrinne, E. Schooler, Internet Engineering Task Force, Internet Draft,
`(01/15/1999). (RFC 2543 Internet Draft 12)
`Goldschlag, et al., “Onion Routing for Anonymous and Private Internet Connections,” Naval
`Research Laboratory, Center for High Assurance Computer Systems (January 28, 1999).
`(Goldschlag III, Onion Routing)
`H. Schulzrinne, “Internet Telephony: architecture and protocols — an IETF perspective,"
`Computer Networks. Vol. 31, No. 3 (February 1999). (Telephony, Schulzrinne)
`M. Handley, et al. “SIP: Session Initiation Protocol," Network Working Group, RFC 2543 and
`Internet Drafts (12/96-3/99). (Handley, RFC 2543)
`
`
`- 0105
`FreeS/WAN Project. Linux FreeS/WAN Compatibility Guide (March 4, 1999). (FreeSNVAN
` Compatibili Guide, FreeSNVAN)
`
`0106
`
`Telcordia Technologies, “ANX Release 1 Document Corrections," AIAG (May 11, 1999).
`(Telcordia, ANX)
`
` D107 ,-- <‘draft-eiti—cat-krb-dns-Iocate-oo.txt> (June 21, 1999). (Hornstein, DNS SRV) -
` Ken Hornstein 8r Jeffrey Altman, Distributing Kerberos K00 and Flea/m Information with DNS
`
`
`
`D108
`
`D109
`
`D110
`
`D113
`
` D114
`
`D115
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Bhattacharya, et al., "An LDAP Schema for Configuration and Administration of lPSec Based
`Virtual Private Networks VPNs)", IETF Internet Draft (October 1999). (Bhattcharya LDAP VPN)
`B. Patel, et al. “DHCP Configuration of IPSEC Tunnel Mode," IPSEC Working Group, Internet
`Draft 02 (10/15/1999). (Patel)
`Goncalves, et al. Check Point FireWall-i Administration Guide, McGraw~Hi|I Companies (2000).
`
`(Goncalves. Checkpoint FW)
`
`-- “Building a Microsoft VPN: A Comprehensive Collection of Microsoft Resources," FirstVPN, (Jan
`2000). (FirstVPN Microsoft)
`
`
`of services (DNS enV),
`Gulbrandsen, Vixie, & Esibov. A DNS FIR for specifying the location
`
`
`IETF RFC 2782 (February 2000). (RFC 2782. DNS SRV)
`MITRE Organization. “Technical Description,” Collaborative Operations in Joint Expeditionary
`Force Experiment (JEFX) 99 (February 2000). (MITRE, SIPRNET)
`H. Schulzrinne. et al. “Application-Layer Mobility Using SIP," Mobile Computing and
`Communications Review, Vol. 4, No. 3. pp. 47-57 (July 2000). (Application, SIP)
`Kindred et al, “Dynamic VPN Communities: Implementation and Experience," DARPA
`
`
`
`
`Information Survivability Conference and Exposition ll (June 2001). (DARPA, VPN SYSTEMS)
`_—
`_—
`D118_—
`0119_-
`Aventail Corp., “Aventail AutoSOCKS the Client Key to Network Security," Aventail Corporation
`White Paper. (Network Security, Aventail)
`Cindy Moran, “DISN Data Networks: Secret Internet Protocol Router Network (SIPRNet)."
`(Moran. SIPRNET)
`-
`Data Fellows F-Secure VPN+ (F-Secure VPN+)
`"Interim Operational Systems Doctrine for the Remote Access Security Program (RASP) Secret
`Dial-In Solution. (RASP, SIPRNET)
`Onion Routing. “Investigation of Route Selection Algorithms," available at http://www.onion-
`
`router.net/Archives/Route/index.html. (Route Selection, Onion Routing)
`Secure Computing, “Bullet-Proofing an Army Net," Washington Technology. (Secure, SIPRNET)
`SPARTA "Dynamic Virtual Private Network." (Sparta, VPN SYSTEMS)
`Standard Operation Procedure for Using the 1910 Secure Modems. (Standard, SIPRNET) —
`Publically available emails relating to FreeSANAN (MSFTVX00018833-MSFI'VX00019206). _
`
`D121
`
`_L NA
`
`U
`
`125
`
`
`
`
`
`
`
`D127
`
`
`
`
`
`(FreeSNVAN emails, FreeS/WAN)
`Kaufman et al., “Implementing IPsec," (Copyright 1999) (Implementing IPsec)
`Network Associates Gauntlet Firewall For Unix User's Guide Version 5.0 (1999). (Gauntlet
`User's Guide — Unix, Firewall Products)
`
`
`
`
`
`ALL REFERENCES CONSIQEflEggXCEPT WHERE LINED THROUGH.
`
`/R.F./
`
`Page 11 of 38
`
`
`
`
`
`Page 11 of 38
`
`

`

`
`Re «.9 1..“th
`Complete if KncflfiOO 3
`
`Application Number
`
`
`
`INFORMATION DISCLOSURE
`
`
`STATEMENT BY APPLICANT
`
`
`I
`(Use as many sheets as necessary)
`
`
`
`
`“798-°°°8'°°°°°
`-—-— °°°ke‘ Numb“
`Network Associates Gauntlet Firewall For Windows NT Getting Started Guide Version 5.0 (1999)
`(Gauntlet Getting Started Guide — NT, Firewall Products)
`
`Network Associates Gauntlet Firewall For Unix Getting Started Guide Version 5.0 (1999)
`(Gauntlet Unix Getting Started Guide, Firewall Products)
`Network Associates Fla/ease Notes Gauntlet Firewall for Unix 5.0 (March 19, 1999) (Gauntlet
`Unix Release Notes, Firewall Products)
`.
`Network Associates Gauntlet Firewall For Windows NTAdministrator's Guide Version 5.0 (1999)
`(Gauntlet NT Administrator’s Guide, Firewall Products)
`
`Best Available Copy
`
`
`o — G ‘ '1
`
`emne Dee
`eeeewemeeee
`
`Ann." _s_
`Examiner Name
`Roland G. Foster
`
`
`
` Trusted Information Systems, Inc. Gauntlet Internet Firewall Firewall-to-Firewa/l Encryption
`
`Guide Version 3.1 (1996) (Gauntlet Firewall-to-Firewall, Firewall Products)
`Network Associates Gauntlet Firewall Global Virtual Private Network User’s Guide for Windows
`NT Version 5.0 (1999) (Gauntlet NT GVPN, GVPN)
`~Network Associates Gauntlet Firewall For UNIX Global Virtual Private Network User’s Guide
`Version 5.0 (1999) (Gauntlet Unix GVPN, GVPN)
`Dan Sterne Dynamic Virtual Private Networks (May 23, 2000) (Sterne DVPN, DVPN)
`
`
`
`.
`
`
`Darrell Kindred Dynamic Wrtual Private Networks (DVPN) (December 21. 1999) (Kindred DVPN. -
`
`DVPN)
`Dan Sterne et al. TIS Dynamic Security Perimeter Research Project Demonstration (March 9,
`1998) (Dynamic Security Perimeter, DVPN)
`
`Darrell Kindred Dynamic Virtual Private Networks Capability Description (January 5, 2000) (Kindred DVPN Capability, DVPN) 11
`
`October 7. and 28 1997 email from Domenic J. Turchi Jr. (SPARTA00001712-1714, 1808-1811)
`(Turchi DVPN email, DVPN)
`James Just 8r Dan Sterne Security Ouickstart Task Update (February 5, 1997) (Security
`Ouickstart, DVPN)
`Virtual Private Network Demonstration dated March 21. 1998 (SPARTA00001844-54) (DVPN
`Demonstration, DVPN)
`GTE Intemetworking & BBN Technologies DARPA Information Assurance Program Integrated
`Feasibili! Demonstration (IFD) 1.1 Plan (March 10, 1998) (IFD 1.1, DVPN)
`Microsott Corp. Windows NT Server Product Documentation: Administration Guide - Connection
`Point Services, available at
`http://www.microsoft.com/technet/archive/winntas/proddocs/inetconctservice/cpsopsmspx
`(Connection Point Services) (Although undated, this reference refers to the operation of prior art
`
`versions of Microsoft Windows. Accordingly, upon information and belief, this reference is prior
`
`art to the patents-in-suit.)
`
`Microsoft Corp. Windows NT Server Product Documentation: Administration Kit Guide -
`
`Connection Manager, available at
`.
`
`http://www.microsoft.com/technet/archive/winntas/proddocsfinetconctservice/cmakmspx
`
`(Connection Manager) (Although undated, this reference refers to the operation of prior art
`
`versions of Microsoft Windows such as Windows NT 4.0. Accordingly, upon information and
`belief. this reference is prior art to the patents-in-suit.)
`
`Microsoft Corp. Autodial Heuristics, available at http://support.microsoft.com/kb/1 64249 (Autodial
`
`Heuristics) (Although undated, this reference refers to the operation of prior art versions of
`
`
`Microsoft Windows such as Windows NT 4.0. Accordingly, upon information and belief, this
`reference is prior art to the patents-in-suit.)
`
`
`Microsoft Corp., Cariplo: Distributed Component Object Model, (1996) available at
`http://msdn2.microsoft.com/en-us/Iibraw/m5809332(printer).aspx (Cariplo I)
`
`
`Marc Levy, COM Internet Services (Apr. 23, 1999), available at http://msdnz.microsoft.comlen-
`
`
`us/Iibrary/m5809302(printer).aspx (Le
`)
`Markus Horstmann and Mary Kirtland, DCOM Architecture (July 23, 1997), available at
`http:/lmsdn2.microsoft.com/en-us/Iibrary/m5809311(printer).aspx (Horstmann)
`
`
`Microsoft Corp., DCOM: A Business Overview (Apr. 1997), available at
`http://msdn2.microsoft.com/en-us/Iibrary/ms809320(printer).aspx (DCOM Business Overview I)
`
`
`Microsoft Corp., DCOM Technical Overview (Nov. 1996), available at
`http://msdnz.microsoft.corn/en-us/Iibrary/ms809340(printer).aspx (DCOM Technical Overview I)
`ALL REFERENCES CONSIPa§6R§93§XCEPT WHERE LINED THROUGH.
`
`
`
`
`
`
`
`
`
`
`D133
`
`D134
`
`D136
`
`D137
`
`0142
`
`D144
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`I.
`I D147
`'-
`I
`
`.-
`I
`
`Page 12 of 38
`
`
`
`
`
`
`
`
`
`/R.F./
`
`Page 12 of 38
`
`

`

`Best Available Copy
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`(Use as many sheets as necessary)
`
`Complete if Knt95001856 - G ‘ I: 992
`
`Anetteeten ~unner
`
`rtttne Date
`rtretNeneenventer
`
`Art urtt __
`Examiner Nente
`
`Microsoft Corp., DCOM Architecture White Paper (1998) available in PDC DVD—ROM (DCOM
`- 0154
`Architecture)
`
`- Microsoft Corp, DCOM — The Distributed Component Object Model, A Business Overview White
`
`
`
`Paper (Microsoft 1997) available in PDC DVD-ROM (DCOM Business Overview ll)
`Microsoft Corp., DCOM - Cariplo Home Banking Over The Internet White Paper Microsoft 1996)
`available in PDC DVD-ROM (Cariplo II)
`t
`Microsoft Corp., DCOM Solutions in Action White Paper (Microsoft 1996) available in PDC DVD-
`ROM (DCOM Solutions in Action)
`-
`Microsoft Corp., DCOM Technical Overview White Paper (Microsoft 1996) available 12 in PDC
`DVD-ROM (DCOM Technical Overview II)
`
`125. Scott Suhy & Glenn Wood, DNS and Microsoft WindoWs NT 4.0. (1996) available at
`http:l/msdn2.rnicrosoft.com/en-usllibrary/ms810277(printer).aspx (Suhy)
`126. Aaron Skonnard, Essential Winlnet313-423 (Addison Wesley Longman 1998) (Essential
`Winlnet)
`Microsoft Corp. Installing, Configuring, and Using PPTP with Microsoft Clients and Servers,
`(1998) available at http:l/msdn2.microsoft.com/enus/Iibrary/ms81 1078(printer).aspx (Using
`
`PPTP)
`.
`Microsoft Corp., Internet Connection Services for MS RAS, Standard Edition,
`
`http:l/www.microsoft.com/techneUarchive/winntas/proddocsfinetconctservice/bcgstartmspx
`(Internet Connection Services I)
`Microsoft Corp., Internet Connection Services for RAS. Commercial Edition. available at
`http:l/www.microsoft.com/technet/archive/winntas/proddocs/inetconctservice/bcgstrtc.mspx
`(Internet Connection Services ll)
`Microsoft Corp., Internet Explorer 5 Corporate Deployment Guide — Appendix B: Enabling
`Connections with the Connection Manager Administration Kit, available at
`htth/www.microsoft.com/technet/prodtechnolfie/deploy/deployslappendb.mspx (IE5 Corporate
`Development)
`Mark Minasi, Mastering Windows NT Server4 1359-1442 (61h ed, January 15, 1999) (Mastering
`Windows NT Sewer)
`Hands On, Self-Paced Training for Supporting Version 4.0 371-473 (Microsoft Press 1998)
`(Hands On)
`Microsoft Corp., MS Point-to-Point Tunneling Protocol (Windows NT 4.0), available at
`http:l/www.microsoft.com/technet/archive/winntas/maintain/featusability/pptpwp3.mspx (MS
`PPTP)
`Kenneth Gregg, et al., Microsoft Windows NT Server Administrator's Bible 173-206, 883-911.
`974