UNITED STATES PATENT AND TRADEMARK OFFICE
`
`____________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`____________________
`
`
`
`
`
`SAMSUNG ELECTRONICS CO., LTD.;
`MICRON TECHNOLOGY, INC.; and
`SK HYNIX INC.
`Petitioner
`
`v.
`
`ELM 3DS INNOVATIONS, LLC
`Patent Owner
`
`____________________
`
`Case No. IPR2016-00387
`U.S. Patent No. 8,841,778
`____________________
`
`PETITIONER’S UPDATED EXHIBIT LIST
`
`
`
`____________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`____________________
`
`
`
`
`
`SAMSUNG ELECTRONICS CO., LTD.;
`MICRON TECHNOLOGY, INC.; and
`SK HYNIX INC.
`Petitioner
`
`v.
`
`ELM 3DS INNOVATIONS, LLC
`Patent Owner
`
`____________________
`
`Case No. IPR2016-00387
`U.S. Patent No. 8,841,778
`____________________
`
`PETITIONER’S UPDATED EXHIBIT LIST
`
`
`
`Case No. IPR2016-00387
`Patent No. 8,841,778
`UPDATED LIST OF EXHIBITS1
`
`Description
`
`Previously
`Submitted
`
`Ex. No.
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`Ex. 1001 U.S. Patent No. 8,841,778
`
`Ex. 1002 Declaration of Dr. Paul D. Franzon
`
`Ex. 1003 Curriculum Vitae of Dr. Paul D. Franzon
`
`Ex. 1004 U.S. Patent No. 5,202,754 to Bertin et al., issued April 13,
`1993
`
`Ex. 1005 U.S. Patent No. 5,162,251 to Poole et al., issued November
`10, 1992
`
`Ex. 1006 U.S. Patent No. 5,354,695 to Leedy, issued October 11,
`1994
`
`Ex. 1007 Japanese Patent Publication No. 3-151637 to Kowa
`including Japanese-language version, English-language
`translation, and translation certification
`
`Ex. 1008 U.S. Patent No. 5,627,106 to Hsu, issued May 6, 1997
`
`Ex. 1009 RESERVED
`
`Ex. 1010 RESERVED
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`Ex. 1011 RESERVED
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`1 Citations to non-patent publications are to the original page numbers of the
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`publication, and citations to U.S. patents are to column:line number of the patents.
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`1
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`Case No. IPR2016-00387
`Patent No. 8,841,778
`
`Ex. 1012 RESERVED
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`Ex. 1013 RESERVED
`
`Ex. 1014 RESERVED
`
`Ex. 1015 RESERVED
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`Ex. 1016 RESERVED
`
`Ex. 1017 Prosecution History for U.S. Patent No. 8,841,778
`
`Ex. 1018 Prosecution History of U.S. Patent No. 8,907,499 - Office
`Action dated May 29, 2013
`
`Ex. 1019 Prosecution History of U.S. Patent No. 8,907,499 -
`Response to Office Action dated June 20, 2013
`
`Ex. 1020 Prosecution History of U.S. Patent No. 8,907,499 - As-
`Filed Patent Application
`
`Ex. 1021 Prosecution History of U.S. Patent No. 12/497,652 -
`Response to Office Action dated September 26, 2013
`
`Ex. 1022 Prosecution History of U.S. Patent App. No. 12/497,653 -
`Response to Office Action dated October 24, 2013
`
`Ex. 1023 Prosecution History of U.S. Patent App. No. 12/497,652 -
`Response to Office Action dated 4/5/13
`
`Ex. 1024 Prosecution History of U.S. Patent No. 5,915,167 -
`Response to Office Action dated April 28, 1998
`
`Ex. 1025 Prosecution History of U.S. Patent No. 5,915,167 -
`Response to Office Action dated September 8, 1998
`
`Ex. 1026 Prosecution History of U.S. Patent No. 8,629,542 -
`Response to Office Action dated July 30, 2012
`
`Ex. 1027 RESERVED
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`Case No. IPR2016-00387
`Patent No. 8,841,778
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`Ex. 1028 Prosecution History of U.S. Patent No. 7,705,466 -
`Response to Office Action dated February 16, 2009
`
`Ex. 1029 Prosecution History of U.S. Patent No. 7,705,466 -
`Response to Office Action dated June 25, 2009
`
`Ex. 1030 Prosecution History of U.S. Patent No. 8,928,119 -
`Response to Office Action dated September 4, 2012
`
`Ex. 1031 Prosecution History of U.S. Patent No. 8,928,119 - Appeal
`Brief dated June 3, 2013
`
`Ex. 1032 Prosecution History of U.S. Patent No. 8,410,617 -
`Response to Office Action dated December 14, 2010
`
`Ex. 1033 Prosecution History of U.S. Patent Application no.
`12/497,652 - Final Office Action dated August 27, 2014
`
`Ex. 1034 Prosecution History of U.S. Patent Application No.
`12/497,652 - Express Abandonment dated November 20,
`2014
`
`Ex. 1035 Prosecution History of U.S. Patent Application No.
`12/497,653 - Advisory Action dated August 27, 2014
`
`Ex. 1036 Prosecution History of U.S. Patent Application No.
`12/497,653 - Express Abandonment dated November 20,
`2014
`
`Ex. 1037 RESERVED
`
`Ex. 1038 RESERVED
`
`Ex. 1039 Concept One CVD System Process Specifications from
`Novellus
`
`Ex. 1040 Wolf et al., Processing for the VLSI Era, Volume 1 -
`Process Technology (1986).
`
`Ex. 1041 U.S. Patent No. 3,508,980 to Jackson et al., issued April
`28, 1970
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`3
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`Case No. IPR2016-00387
`Patent No. 8,841,778
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`Ex. 1042 U.S. Patent No. 3,044,909 to Shockley, issued July 17,
`1962
`
`Ex. 1043 Fahey et al., Stress-induced dislocations in silicon
`integrated circuits, IBM J. Res. Develop. Vol. 36, No. 2,
`March 1992
`
`Ex. 1044 Hass et al., Physics of Thin Films: Advances in Research
`and Development (1966)
`
`Ex. 1045 EerNisse, E.P., Stress in thermal SiO2 during growth,
`Appl. Phys. Lett. 35(1), July 1, 1979
`
`Ex. 1046 Klokholm, Erik, Delamination and fracture of thin films,
`IBM J. Res. Develop., Vol. 31, No. 5, September 1987
`
`Ex. 1047 U.S. Patent No. 4,948,482 to Kobayashi et al., issued
`August 14, 1990
`
`Ex. 1048
`
`Isobe et al., Dielectric Film Influence on Stress-Migration,
`June 12-13 IEEE VMIC Conference (1990)
`
`Ex. 1049 Van de Ven, et al., Advantages of Dual Frequency
`PECVD for Deposition of ILD and Passivation Films,
`June 12-13 IEEE VMIC Conference (1990)
`
`Ex. 1050 U.S. Patent No. 5,160,998 to Itoh et al., issued November
`3, 1992
`
`Ex. 1051 Garrou, Philip, Polymer Dielectrics for Multichip Module
`Packaging, Proceedings of the IEEE, Vol. 80, No. 12,
`December 12, 1992
`
`Ex. 1052 Grief et al., Warpage and Mechanical Strength Studies of
`Ultra Thin 150MM Wafers, IEEE/CPMT Int’l Electronics
`Manufacturing Technology Symposium (1996)
`
`Ex. 1053 Tatsuno, Sheridan, Japan’s Push into Creative
`Semiconductor Research: 3-Dimensional ICs, Solid State
`Technology, March 1987
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`Case No. IPR2016-00387
`Patent No. 8,841,778
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`Ex. 1054 Akasaka, Yoichi, Three-Dimensional IC Trends,
`Proceedings of the IEEE, Vol. 74, No. 12, December 1986
`
`Ex. 1055 Hayashi, Yoshihiro, Evaluation of Cubic (Cumulatively
`Bonded IC) Devices, 9th Symposium on Future Electron
`Devices, November 14-15, 1990
`
`Ex. 1056 Williams et al., Future WSI Technology: Stacked
`Monolithic WSI, IEEE Transactions on Components,
`Hybrids, and Manufacturing Technology, Vol. 16, No. 7,
`November 1993
`
`Ex. 1057 Crowley et al., 3-D Multichip Packaging for Memory
`Modules, MCM ’94 Proceedings, 1994
`
`Ex. 1058 Malinak, David, Memory-Chip Stacks Send Density
`Skyward, Electronic Design, August 22, 1994
`
`Ex. 1059 Kuhn et al., Interconnect Capacitances, Crosstalk, and
`Signal Delay in Vertically Integrated Circuits, IEEE 1995
`
`Ex. 1060 RESERVED
`
`Ex. 1061 RESERVED
`
`Ex. 1062 RESERVED
`
`Ex. 1063 RESERVED
`
`Ex. 1064 RESERVED
`
`Ex. 1065 RESERVED
`
`Ex. 1066 RESERVED
`
`Ex. 1067 Transcript of Teleconference of August 1, 2016
`
`Ex. 1068 Complaint by Elm 3DS Innovations, LLC against
`Michelle K. Lee and the United States Patent and
`Trademark Office in Case No. 16-cv-01036 in the Eastern
`District of Virginia, dated August 12, 2016
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`CERTIFICATE OF SERVICE
`
`I hereby certify that on August 25, 2016, a true and correct copy of the
`
`foregoing was caused to be served electronically on the following counsel of
`
`record for Patent Owner at the following email addresses:
`
`Cyrus A. Morton, Reg. No. 44,954
`cmorton@robinskaplan.com
`Kelsey J. Thorkelson, Reg. No. 73,130
`kthorkelson@robinskaplan.com
`Samuel L. Walling (Pro Hac Vice)
`SWalling@RobinsKaplan.com
`ROBINS KAPLAN LLP
`2800 LaSalle Plaza
`800 LaSalle Avenue
`Minneapolis, MN 55402-2015
`Tel.: (612) 349-8500
`Fax: (612) 339-4181
`
`James Carmichael, Reg. No. 45,306
`jim@carmichaelip.com
`CARMICHAEL IP, PLLC
`8000 Towers Crescent Drive, 13th Floor
`Tysons Corner, VA 22182
`Tel.: (703) 646-9250
`
`
`
`
` /Naveen Modi/
`Naveen Modi (Reg. No. 46,224)
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