Mail Stop “PATENT BOARD”
`Patent Trial and Appeal Board
`U.S. Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`3338417
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`UNITED STATES PATENT AND TRADEMARK OFFICE
`___________________
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`___________________
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`
`
`SYMANTEC CORPORATION
`Petitioner
`
`
`
`v.
`
`
`
`THE TRUSTEES OF COLUMBIA UNIVERSITY
`IN THE CITY OF NEW YORK
`Patent Owner
`___________________
`
`
`
`CASE IPR2015-00375
`Patent 8,074,115
`
`___________________
`
`EXHIBIT LIST
`
`
`
`Patent Trial and Appeal Board
`U.S. Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`3338417
`
`
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`___________________
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`___________________
`
`
`
`SYMANTEC CORPORATION
`Petitioner
`
`
`
`v.
`
`
`
`THE TRUSTEES OF COLUMBIA UNIVERSITY
`IN THE CITY OF NEW YORK
`Patent Owner
`___________________
`
`
`
`CASE IPR2015-00375
`Patent 8,074,115
`
`___________________
`
`EXHIBIT LIST
`
`
`
`
`IPR2015-00375
`Patent No. 8,074,115
`
`
`Petitioner’s Exhibit List
`
`Exhibit
`
`Description
`
`1001
`
`1002
`
`1003
`
`1004
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`1005
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`1006
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`1007
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`1008
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`1009
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`1010
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`1011
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`1012
`
`U.S. Patent No. 8,074,115
`
`File History of U.S. Patent No. 8,074,115
`
`Declaration of Michael T. Goodrich, Ph.D.
`
`Curriculum vitae of Michael T. Goodrich, Ph.D.
`
`The Trustees of Columbia University in the City of New York v.
`Symantec Corp., Civil Action No. 3:13-cv-808, Oct. 7, 2014 Claim
`Construction Order (Dkt. No. 123)
`
`The Trustees of Columbia University in the City of New York v.
`Symantec Corp., Civil Action No. 3:13-cv-808, Oct. 23, 2014 Claim
`Construction Order (Dkt. No. 146)
`
`U.S. Patent No. 5,440,723 (“Arnold”)
`
`U.S. Patent No. 8,108,929 (“Agrawal”)
`
`McGraw-Hill Dictionary of Scientific and Technical Terms (5th ed.
`1994)
`
`U.S. Patent Application No. 2005/0208562 (“Khazan”)
`
`U.S. Patent No. 7,334,005 (“Sobel”)
`
`Declaration by M. Sacksteder ISO PHV Admission
`
`
`
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`4253507
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`- 2 -
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`IPR2015-00375
`Patent No. 8,074,115
`
`
`Patent Owner’s Exhibit List
`
`Description
`
`Exhibit
`
`2001
`
`2002
`
`2003
`
`2004
`
`Sheasby Declaration ISO pro hac vice motion
`
`Declaration of Professor Douglas C. Szajda (Dkt. No. 106-1) in The
`Trustees of Columbia University in the City of New York v. Symantec
`Corp., Civil Action No. 3:13-cv-808 (August 15, 2014)
`
`Expert Report of Dr. Richard Ford Regarding Invalidity of U.S. Patent
`Nos. 7,448,084, 7,913,306, 8,074,115 & 8,601,322 in The Trustees of
`Columbia University in the City of New York v. Symantec Corp., Civil
`Action No. 3:13-cv-808 (October 17, 2014) (excerpt)
`
`Expert Report of Dr. Trent Jaeger Regarding Invalidity of U.S. Patent
`Nos. 7,487,544 & 7,979,907 in The Trustees of Columbia University in
`the City of New York v. Symantec Corp., Civil Action No. 3:13-cv-808
`(October 17, 2014) (excerpt)
`
`2005 McGraw-Hill Dictionary of Scientific and Technical Terms (6th ed.
`2003), p 108
`
`2006
`
`2007
`
`2008
`
`2009
`
`4253507
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`Schölkopf, B. et al., "Estimating the Support of a High-Dimensional
`Distribution," Microsoft Research Technical Report MSR-TR-99-87
`(Nov. 27, 1999, revised Sept. 18, 2000), available at
`http://research.microsoft.com/pubs/69731/tr-99-87.pdf (last visited
`4/1/2015)
`
`Rebecca G. Bace, Intrusion Detection (MacMillian Technical
`Publishing, 2000) (excerpt), same as Ex. 1007 of IPR2015-00372
`
`Declaration of Michael T. Goodrich, Ph.D. in Support of Petition for
`Inter Partes Review of U.S. Patent No. 7,448,084 (IPR2015-00372,
`Exhibit 1003)
`
`Carey Nachenberg on-line profile, available from
`http://www.symantec.com/about/news/resources/press_kits/bios/bio.jsp?
`bioid=carey_nachenberg
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`- 3 -
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`
`
`IPR2015-00375
`Patent No. 8,074,115
`
`Exhibit
`
`Description
`
`2010
`
`2011
`
`2012
`
`2013
`
`2014
`
`2015
`
`2016
`
`Deposition transcript of Carey Nachenberg in The Trustees of Columbia
`University in the City of New York v. Symantec Corp., Civil Action No.
`3:13-cv-808 (Sept. 26, 2014) (excerpt)
`
`The Trustees of Columbia University in the City of New York v.
`Symantec Corp., No. 2015-1146 (Fed. Cir.), Opening Brief by Columbia
`University (Jan. 20, 2015)
`
`Richard Stallman et al., Debugging with GDB (9th Edition) (excerpt)
`
`Deposition transcript of Carey Nachenberg in The Trustees of Columbia
`University in the City of New York v. Symantec Corp., Civil Action No.
`3:13-cv-808 (Sept. 24, 2014) (excerpt)
`
`Roget's 21st Century Thesaurus (1992), p. 694
`
`US Patent No. 7,487,544
`
`Jude Shavlik et al., "Evaluating Software Sensors for Actively Profiling
`Windows 2000 Computer Users" (RAID 2001), same as Exhibit 1006 of
`IPR2015-00372
`
`2017 Wang, K., Parekh, J. J. & Stolfo, S. J., "Anagram: A Content Anomaly
`Detector Resistant to Mimicry Attack," Columbia University Technical
`Report, available from
`https://mice.cs.columbia.edu/getTechreport.php?techreportID=403&for
`mat=pdf& (last visited 4/1/2015)
`
`2018
`
`2019
`
`2020
`
`2021
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`2022
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`4253507
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`American Heritage Dictionary of the English Language (4th ed. 2000)
`(excerpt)
`
`Intentionally not used
`
`Intentionally not used
`
`Intentionally not used
`
`Intentionally not used
`
`- 4 -
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`
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`IPR2015-00375
`Patent No. 8,074,115
`
`Exhibit
`
`2023
`
`Intentionally not used
`
`Description
`
`2024 Microsoft Computer Dictionary, Fifth Edition, 2002, p. 424
`
`2025 McGraw-Hill Dictionary of Scientific and Technical Terms, Sixth
`Edition, 2003, p. 1358
`
`2026 Microsoft Computer Dictionary, Fifth Edition, 2002, p. 229
`
`2027
`
`2028
`
`2029
`
`2030
`
`2031
`
`2032
`
`2033
`
`2034
`
`2035
`
`VMWare, What is virtualization? Virtualization 101 | United States,
`http://www.vmware.com/virtualization/how-it-works.html (last visited
`Sept. 27, 2015)
`
`United States Provisional Patent Application 60/730,289
`
`Deposition Transcript of Dr. Michael T. Goodrich taken Sept. 28, 2015
`and Sept. 30, 2015 in IPR2015-00375 and IPR2015-00377
`
`Declaration of Prof. George Cybenko
`
`Declaration of Scott M. Lewandowski
`
`Stelios Sidiroglou-Douskos Homepage,
`http://people.csail.mit.edu.edu/stelios (last visited Oct. 7, 2015)
`
`Eric Fosler-Lussier, Markov Models and Hidden Markov Models: A
`Brief Tutorial, TR-98-041, December 1998,
`http://di.ubi.pt/~jpaulo/competence/tutorials/hmm-tutorial-1.pdf.
`
`Curriculum vitae of Prof. George Cybenko dated August 2015
`
`John Shawe-Taylor and Blaz Zlicar, Novelty Detection with One-Class
`Support Vector Machines, in Advances in Statistical Models for Data
`Analysis, Studies in Classification, Data Analysis, and Knowledge
`Organization, 2015
`
`2036
`
`IEEE Membership and Subscription History of Prof. George Cybenko
`
`4253507
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`IPR2015-00375
`Patent No. 8,074,115
`
`Exhibit
`
`Description
`
`2037
`
`IEEE – About the IEEE Fellow Program,
`http://www.ieee.org/membership_services/membership/fellows/index.ht
`ml (last visited Oct. 7, 2015)
`
`2038 William Landi, Undecidability of Static Analysis, in ACM Letters on
`Programming Languages and Systems, Vol. 1, No. 4, December 1992
`
`2039 Microsoft, Dynamic-Link Libraries (Windows),
`https://msdn.microsoft.com/en-
`us/library/windows/desktop/ms682589(v=vs.85).aspx (last visited Oct.
`7, 2015)
`
`2040 Microsoft, Linking an Executable to a DLL,
`https://msdn.microsoft.com/en-us/library/9yd93633(v=vs.80).aspx (last
`visited Oct. 26, 2015). This exhibit replaces Microsoft, Linking an
`Executable to a DLL, https://msdn.microsoft.com/en-
`us/library/9yd93633(d=printer).aspx (last visited Oct. 7, 2015), which
`was filed and served as Ex. 2040 on Oct. 8, 2015.
`
`The substitute exhibit has not been filed.
`
`2041
`
`2042
`
`2043
`
`2044
`
`Andrew M. Steane, Quick introduction to Windows API,
`https://users.physics.ox.ac.uk/~Steane/cpp_help/winapi_intro.html (last
`visited Oct. 7, 2015)
`
`Random House Webster’s College Dictionary, 2005, p. 404
`
`Jack Lo, VMware and CPU Virtualization Technology, 2005, available
`at http://download3.vmware.com/vmworld/2005/pac346.pdf
`
`VMware, Understanding Full Virtualization, Paravirtualization, and
`Hardware Assist, 2007, available at
`https://www.vmware.com/files/pdf/VMware_paravirtualization.pdf
`
`2045
`
`Apache, FAQ – Httpd Wiki, http://wiki.apache.org/httpd/FAQ (last
`visited Oct. 7, 2015)
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`4253507
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`IPR2015-00375
`Patent No. 8,074,115
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`Exhibit
`
`Description
`
`2046 Wayback Machine, Oracle FAQ: General Questions,
`http://web.archive.org/web/20031014203617/http://www.orafaq.com/fa
`qora.htm (Oracle webpage captured by Wayback Machine Oct. 14,
`2003) (Oracle webpage last revised July 26, 2003) (Wayback Machine
`webpage last visited Oct. 7, 2015)
`
`2047
`
`2048
`
`2049
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`2050
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`2051
`
`Griffin Caprio, Virtual Machines: Virtualization vs. Emulation,
`http://www.griffincaprio.com/blog/2006/08/virtual-machines-
`virtualization-vs-emulation.html (Aug. 16, 2006) (last visited Oct. 7,
`2015)
`
`Lee M. Rossey, Robert K. Cunningham, David J. Fried, Jesse C. Rabek,
`Richard P. Lippmann, Joshua W. Haines, and Marc A. Zissman,
`LARIAT: Lincoln Adaptable Real-time Information Assurance Testbed,
`in Aerospace Conference Proceedings, IEEE 2002
`
`Sibsankar Haldar and Alex A. Aravind, Operating Systems, 2009, pp.
`83-109
`
`Sheldon Ross, A First Course in Probability, Prentice Hall, Sixth
`Edition, 2002, pp. 217-23
`
`Nir Friedman and Yoram Singer, Efficient Bayesian Parameter
`Estimation in Large Discrete Domains, Advances in Neural Information
`Processing Systems, 11, 1999
`
`2052
`
`Deposition Transcript of Dr. Michael T. Goodrich taken Aug. 24-26,
`2015, in IPR2015-00372, IPR2015-00374, and IPR2015-00378
`
`2053
`
`Declaration of Michael R. Fleming
`
`2054 Wayback Machine, Apache Server Frequently Asked Questions,
`http://web.archive.org/web/20051001012353/http://httpd.apache.org/do
`cs/1.3/misc/FAQ.html (Apache webpage captured by Wayback Machine
`Oct. 1, 2005) (Wayback Machine webpage last visited Oct. 26, 2015)
`(not filed)
`
`2055
`
`Affidavit of Christopher Butler (not filed)
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`4253507
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`IPR2015-00375
`Patent No. 8,074,115
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`Exhibit
`
`Description
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`Declaration of H. Annita Zhong (not filed)
`
`2056
`
`Date: October 27, 2015
`
`
`
`Respectfully submitted,
`
`By: /s/ Hong Zhong
`
`Michael R. Fleming (Reg. No. 67,933)
`Hong A. Zhong (Reg. No. 66,530)
`Jason Sheasby (Pro Hac Vice)
`Irell & Manella LLP
`1800 Avenue of the Stars, Suite 900
`Los Angeles, CA 90067
`
`Attorney for Patent Owner The Trustees of
`Columbia University in the City of New York
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`4253507
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`CERTIFICATE OF SERVICE
`
`IPR2015-00375
`Patent No. 8,074,115
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`
`
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`
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`Pursuant to 37 C.F.R. 42.6, the undersigned certifies that on October 27,
`
`2015, a copy of the foregoing document and supporting exhibits (2040 and 2054-
`
`2056) were served upon the following, by ELECTRONIC MAIL and FTP service:
`
`Brian M. Hoffman
`Michael J. Sacksteder
`
`Fenwick & West LLP
`555 California Street, 12th Fl.
`San Francisco, CA 94104
`
`bhoffman@fenwick.com
`msacksteder@fenwick.com
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` /s/ Susan Langworthy
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`Susan Langworthy
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`4253507
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`- 9 -
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