P'E'OJA.lA.tlI|1 [I36-123
`ApI;rmre-cl tor um tttnsugh Cl1.f.!1J2Cl1-l.. OMB flfifit-H332
`U.S. Paterltand Irldernarlt Dfllm; U3 EEFAHTMENT UF CEIIIHEREE
`Under the Paperwork Fteduedon Apt or I995, no person: are required to respond to a ooleotion ofirtomtatton mine It displays e valid OMB osrrtrsl humor.
`
`DECLARATION (3? GFR 1.63} FDR UTILlT"I" GR DESIGN APPLICATION USING AN
`APPLICATION DATA SHEET (3? CFR 1.13}
`
`Multimedia Time Warping System
`
`As the below named inventor. I hereby declare that:
`
`This declaration
`is U‘,
`a m: D The attachetl application, or
`United Etates application or PCT intemational application number 9'I12B'0?1
`mm, on July 30,1993
`
`The eboveridentified applioelion was made or authorized to be made by me.
`
`I believe that I am the original inventor or an original joint inventor ol a claimed invention in the application.
`
`I hereby adtnmmsdgs that any wiflful false statement made in: this. dBGIEr'lIIItJl'1 is punid1at:ila under 13 U.S.C. 1flEl1
`by fina or impnsunmant of not morn than five {5} years, or bcith.
`
`WARNING:
`
`Petitionertapplioant is cautioned to avoid submitting personal infomtation in ctoouments filed in a patent application that may
`oontribute to identity lhflfl. Personal infonnaliort 5l.lGI'l as social security I'II.lfllb'Br‘5. bank account numbers, or credit card numbers
`{other than a check or -credit card authorization for-nt PTO-203-E submitted for pay-rnent purposes} is never required by the US PTD
`to support a petition or an application.
`If this type of personal irrtorrnation is inctuded in documents submitted to the USPTO.
`petitionersrapplicems should consider redaoting such personal information from the documents before submitting them to the
`USPTO. Patitionarrapplioant is advised that the record not a patent application is availabia to the public after publication or the
`appticstion {unless a non-publication request in compliance with 3? CFR ‘l.213{a} is made in the application] or issuance at a
`patent. Furthemtore. the record from an abandoned application may also be available to the public it the application is
`referenced in a published application oran Issued patent {see 3?‘ CFR 1.14}. Ottecks and credit card authorization forms
`PTO—2Et3B submitted for payment purposes are not retained in the application file and therefore are not publicly available.
`
`LEGAL NAME OF INVENTDR
`
`Data {Optional} :
`
`Note: An utiplioaliofl :1 -- [PTDl$El-I'14- or equivalent}. influliirlu naming the entire irtvenltve ehtltv. mI.te«t aooomparrer this form.
`1''
`use an adtifipnal FT t_'.-'- tent: for each edtitjonal irrventor.
`
`This collection otlrilomtaitoh It required by E U 5.6115 and 3? CFR 1.631. Tl-e irrlorrnati-on is rettlhlirecitn dub-tilt u-rruilnit s henelttbv the Dl.tillr 'nht:h lsln tilia tjand
`by the UESPTD tn procistiill In illiioahm. Cuanfidariialfltr is governed by 35 4.1.5.6. 122 and 3? (3FR1.11art-d1.14.TtisooilecfioniaasljrrtIlad tntnit:a1n1inLth In
`uanqnluh, irtclttfiu gathering. preparing, and mbrnitting the oolttplated qaplimialt furnt tn the USPTO. ‘line will trnrtrdep-anlzling upon the in-tiu'ir.t1n| Be. Any
`t::cirrIrIaI1taeI1 the Imotnt oftirno you root."-‘re to urrrqzhln i-Iilfarm I-1'tdbru.iggeltioeIt:fix' re-t'.It.Io.1'ng the burden, II-totid be nntls than Chin-I‘ Irlnrrrtpliort. Ellflqgt-_ L15.
`Plunlmd Tranentnrtr Chloe. U.5.Dep:|r'et1eIttort:ontrneaoe.F I:I En: 1-l5CJ.Ateunt:lu.1trA 12113-1453. DD NEI1‘ SEND FEES. Clfi COMPLETED Fcl-Hus 11:
`THIS ADDHEG5. SEND TD: Dlorrrnissionar for Patents, FLO. EDI ‘II-Ell, Alexa-tdrla, III 22313-11$-
`.|'t‘_'r'ou r'li-cilia-h1'sflrm:«ui’rr caII1I‘|:IH'I'n9 the fi:ui1I1, ta!" 1-B00-P170-ifiiatdsdudofliwl ?
`
`1
`
`SAMSUNG 1002
`
`

`
`PTOVAl/V01 [O6- T2)
`Approved for use ihrclugt“ 01131/2C‘l4. OMB 0651-0032
`US, Patent and Tiaoemark OVTCE: U.5. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Aotof1995, "l0 persons are required to .'espond to a collection of information unless it uiaplays a valic OMB control number.
`
`DECLARATION (37 CFR 1.63) FOR UTlLlTY OR DESIGN APPLICATION USING AN
`APPLICATION DATA SHEET (37 CFR 1.76)
`
`1-me of Multimedia Time Warping System
`Invention
`
`As the below named inventor, 1 hereby declare that:
`This declaration
`is directed to: j The attached application, or
`E United States application or PCT international application numoerl 9/1261071
`filed on
`July 30, 1998
`
`The above—identified application was made or authorized to be made by me.
`
`I believe that I am the original inventor or an original iolnt inventor of a claimed invention in the application.
`
`I hereby acknowledge that any willful false statement made in this declaration is punishable under 18 U.S.C. 1001
`byfine or imprisonment of not more than five (5) years, or both.
`
`WARNING:
`F'etiti0ner/applicant is cautioned to avoid submitting personal information in documents filed in a patent application that may
`ccntnbute to identity theft. Personal information such as social security numbers, bank account numbers, or credit card numbers
`(otherthan a check or credit card authorization form FTO~2038 submitted for payment purposes) is never required by the USPTO
`to support a petition or an application.
`lfthis type of personal information is included in documents submitted to the USPTO,
`petitionersiapplicants should consider reclacting such personal information from the documents before submitting them to the
`USPTO. Fletitioner/applicant is advised that the record ofa patent application is available to the public after publication of the
`application (unless a non-publication request in compliance with 37 CFR1.213(a) is made in the application) or issuance of a
`patent Furthemmre, the record from an abandoned application may also be available to the public ifthe application is
`referenced in a published application or an issued patent (see 37 CF R 1.14). Checks and credit card authorization forms
`PTO—2038 submitted for payment purposes are not retained in the application file and therefore are not publicly available.
`
`LEGAL NAME OF lNVENTOR
`
`Inventor: Alldrew Mam” Goodmfi”
`
`Signature:
`
`5
`
`Date(Optional): gliE/Z63!
`
`Note: An application data sheet (PTOrSBf14 or equivalent), including naming the entire inventive entity, must accompany this form.
`Use an additional PTO/SBHAIAU1 form foraach additional inventor.
`
`This collection ofinformailon is requireo :-y 35 lJ.S,C. 115 and 37 C=R 1.53. The iwforrnation Is required to obtan or rsuin a benefit by the pI.l:Ili: which is to file (and
`by the USFTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 27 CFR 1.11 and 1.14. This collection is estimated to take 1 minute to
`complete, including gathering, preparing, and submitting the completed aopication form to the US FTC. Time will vary depending upon the individual case. Any
`commenzs an the arnount of iime you require to ocrnplete this form andtorsuggesfions for reducing this burden, should be sent to the Chief information Olficar, us.
`Patent and Tmdemark Offica, Ll.S. Depanmefit of Commerce, PO, Box 1451], Alexandria. VA 22313-1450. DO NOT SEND FEES OR COMPLETED l-'ORi\i1S ‘I'D
`THIS ADDRESS. SEND ‘I'D: Commissioner for Patents, P.O. Box14-50.Alexandria, VA 22313-1450.
`1,‘you need assistance In completing the fcrrn, cell 1-£C0—FTO-8199 and solccropt/on 2.
`
`2
`
`

`
`Privacy Act Statement
`
`The Privacy Act of 1974 (P.L. 93679) requires that you be given certain information in connection
`with your submission of the attached form related to a patent application or patent. Accordingly,
`pursuant to the requirements of the Act, please be advised that: (1) the general authority for the
`collection of this information is 35 USC. 2(b)(2); (2) furnishing of the information solicited is voluntary;
`and (3) the principal purpose for which the information is used by the US, Patent and Trademark
`Office is to process andlor examine your submission related to a patent application or patent If you do
`not furnish the requested information, the US. Patent and Trademark Office may not be able to
`process andlor examine your submission, which may resuit in termination of proceedings or
`abandonment of the appiication or expiration of the patent.
`
`The information provided by you in this form will be subject to the following routine Uses:
`
`1. The information on this form will be treated confidentially to the extent allowed under the
`Freedom of information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 552a). Records from
`this system of records may be disclosed to the Department of Justice to determine whether
`disclosure of these records is required by the Freedom of information Act.
`A record from this system of records may be disclosed, as a routine use, in the course of
`presenting evidence to a court, magistrate, or administrative tribunal, including disclosures to
`opposing counsel in the course of settlement negotiations.
`A record in this system of records may be disclosed, as a routine use, to a Member of
`Congress submitting a request involving an individual, to whom the record pertains, when the
`individual has requested assistance from the Member with respect to the subject matter of the
`record.
`A record in this system of records may be disclosed, as a routine use, to a contractor of the
`Agency having need for the information in order to perform a contract. Recipients of
`information shall be required to comply with the requirements ofthe Privacy Act of 1974, as
`amended, pursuant to 5 U.S.C. 552a(m).
`A record related to an lntemational Application filed under the Patent Cooperation Treaty in
`this system of records may be disclosed, as a routine use, to the lntemational Bureau of the
`Wortd intellectual Property Organization, pursuant to the Patent Cooperation Treaty.
`A record in this system of records may be disclosed, as a routine use, to another federal
`agency for purposes of National Security review (35 U.S.C. 181) and for review pursuant to
`the Atomic Energy Act (42 U.S.C. 218(0)).
`'
`A record from this system of records may be disclosed, as a routine use, to the Administrator,
`General Services, or hisfher designee, during an inspection of records conducted by GSA as
`part of that agency's responsibility to recommend improvements in records management
`practices and programs, under authority of44- U.S.C. 2904 and 2906. Such disclosure shall
`be made in accordance with the GSA regulations governing inspection of records for this
`purpose, and any other relevant ( i.e., GSA or Commerce) directive. Such disclosure shall not
`be used to make determinations about individuals.
`A record from this system of records may be disclosed, as a routine use, to the public after
`either publication of the application pursuant :o 35 U.S.C. 122(b) or issuance of a patent
`pursuant to 35 iJ.S.C. 151. Further, a record may be disclosed, subject to the limitations of 37
`CFR 1.14. as a routine use, to the public ifthe record was filed in an application which
`became abandoned or in which the proceedings were terminated and which application is
`referenced by either a published appiication, an application open to public inspection or an
`_ issued patent.
`A record fi'om this system of records may be disclosed, as a routine use. to a Federai,'State,
`or local law enforcement agency, if the USPTO becomes aware of a violation or potential
`violation of law or regulation.
`'
`
`3
`
`

`
`PTOFAEAIO1 (06-12)
`‘
`Approved for use through 01F31.'2tJ14. OMB 065143032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`underthe Paperwork Reduction Act of 1995. no persons are required to respond to a collection of information unless it displays a valid OMB contro numbe-,
`
`DECLARATiON (37 CFR 1.63) FOR UTILITY OR DESIGN APPLICATION USING AN
`APPLICATION DATA SHEET (37 CFR 1.76)
`
`me of Multimedia Time Warping System
`Invention
`
`As the below named inventor, I hereby declare that:
`
`gghfirgstcggrtaotiion
`
`|_—_’
`
`|:l
`
`The attached application, or
`
`United States application or PCT international application number
`filed on
`July 30, 1998
`
`9/126,071
`
`The above-identified application was made or authorized to be made by me.
`
`I believe that i am the original inventor or an original joint inventor of a ctaimed invention in the application.
`
`I hereby acknowledge that any willful false statement made in this declaration is punishabte under 18 U._S.C. 1001
`by fine or imprisonment of not more than five (5) years, or both.
`
`WARNING:
`
`Petitionerfapplicant is cautioned to avoid submitting personal information in documents filed in a patent application that may
`contribute to identity theft. Personat information such as social security numbers, bank account numbers, or credit card numbers
`(other than a check or credit card authorization form PTO-2038 submitted for payment purposes) is never required by the USPTO
`to support a petition or an application.
`if this type of personal information is included in documents submitted to the USPTO,
`petitioners/applicants should consider redacting such personal information from the documents before submitting them to the
`USPTO. Petitioner/applicant is advised that the record of a patent application is avaiiabie to the public after publication of the
`application (untcss a non-publication request in compiiance with 37 CFR 1.213(a) is made in the application) or issuance of a
`patent. Furthermore, the record from an abandoned application may also be available to the public it the appiication is
`referenced in a published application or an issued patent (see 37 CFR 1.14). Checks and credit card authorization forms
`PTO-2038 submitted for payment purposes are not retained in the application file and therefore are not publicly avaiiable.
`
`LEGAL NAME OF INVENTOR
`
`inventor: Alan 8' Mosltz
`Signature:
`
`7
`
`_
`
`Date {OptionaE):
`
`‘
`
`Note: An application data sheet (PTOISB/14 or equivalent), including naming the entire inventive entity, must accompany this form.
`Use an additional PTO/SB/AIAO1 form for each additional inventor.
`
`I his collection or information is required by 35 U.S.C. 1‘t5 and 37 CFR 1.63. The information is required to obtain or retain a benefit by the public which is to file (and
`by the USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.11 and 1.14. This collection is estimated to take 1 minute to
`complete, tnctuding gathering, preparing, and submitting the completed application form to the '.JSF’TO. Time will vary oepending upon the individual case. Any
`comments on the amount ofiime you require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S.
`Patent and Trademark Office, U.S. Department of Commerce, P.O. Box 1450, Atexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO
`THIS ADDRESS, SEND TO: Commissioner for Patents, P.0. Box 1450, Alexandria, VA 22313-1450.
`lfyou need assistance in completing the form_ call‘ 1-800—P7‘O—9199 and select option 2.
`
`4
`
`

`
`Doc code: Oath
`Document Description: Oath or declaration filed
`
`PTO/AIA/02 (07-13)
`Approved for use through 01/31/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number.
`
`SUBSTITUTE STATEMENT IN LIEU OF AN OATH OR DECLARATION FOR UTILITY
`
`OR DESIGN PATENT APPLICATION (35 U.S.C. 115(d) AND 37 CFR 1.64)
`
`Title of Multimedia Time Warping System
`Invention
`
`This statement is directed to:
`
`I: The attached application,
`OR
`
`|: United States application or PCT international application number
`
`O9/126,071 mm“ July 30, 1998_
`
`LEGAL NAME of inventor to whom this substitute statement applies:
`
`(E.g., Given Name (first and middle (if any)) and Family Name or Surname)
`
`Ching Tong Chow
`Residence (except for a deceased or legally incapacitated inventor):
`
`Fremont
`
`Mailing Address (except for a deceased or legally incapacitated inventor):
`
`920 Seville Place
`
`2.94539 Us
`
`I believe the above-named inventor orjoint inventor to be the original inventor or an original joint inventor of a claimed invention
`in the application.
`
`The above—identified application was made or authorized to be made by me.
`
`I hereby acknowledge that any willful false statement made in this statement is punishable under 18 U.S.C. 1001 by fine or
`imprisonment of not more than five (5) years, or both.
`
`Relationship to the inventor to whom this substitute statement applies:
`
`:| Legal Representative (for deceased or legally incapacitated inventor only),
`:| Assignee,
`:| Person to whom the inventor is under an obligation to assign,
`:| Person who othenivise shows a sufficient proprietary interest in the matter (petition under 37 CFR 1.46 is required), or
`:| Joint Inventor.
`
`[Page 1 of 2]
`This collection of information is required by 35 U.S.C. 115 and 37 CFR 1.63. The information is required to obtain or retain a benefit by the public which is to file (and
`by the USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.11 and 1.14. This collection is estimated to take 1 minute to
`complete, including gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any
`comments on the amount of time you require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S.
`Patent and Trademark Office, U.S. Department of Commerce. P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO
`THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`Ifyou need assistance in completing the form, call 1-80U—PTO-9199 and select option 2.
`
`5
`
`

`
`PTO/SB/AlA02 (07-13)
`Approved for use through 01/31/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number.
`
`SUBSTITUTE STATEMENT
`
`Circumstances permitting execution of this substitute statement:
`El Inventor is deceased,
`El Inventor is under legal incapacity,
`El Inventor cannot be found or reached after diligent effort, or
`Cl Inventor has refused to execute the oath or declaration under 37 CFR 1.63.
`If there are joint inventors, please check the appropriate box below:
`
`El An application data sheet under 37 CFR 1.76 (PTO/AIA/14 or equivalent) naming the entire inventive entity has been
`or is currently submitted.
`
`OR
`
`'1 An application data sheet under 37 CFR 1.76 (PTO/AIA/14 or equivalent) has not been submitted. Thus, a Substitute
`Statement Supplemental Sheet (PTO/AIA/11 or equivalent) naming the entire inventive entity and providing inventor
`information is attached. See 37 CFR1.64(b).
`
`WARNING:
`
`Petitioner/applicant is cautioned to avoid submitting personal information in documents filed in a patent application that may
`contribute to identity theft. Personal information such as social security numbers, bank account numbers, or credit card numbers
`(other than a check or credit card authorization form PTO—2038 submitted for payment purposes) is never required by the USPTO
`to support a petition or an application.
`If this type of personal information is included in documents submitted to the USPTO,
`petitioners/applicants should consider redacting such personal information from the documents before submitting them to the
`USPTO. Petitioner/applicant is advised that the record of a patent application is available to the public after publication of the
`application (unless a non-publication request in compliance with 37 CFR 1.213(a) is made in the application) or issuance of a
`patent. Furthermore, the record from an abandoned application may also be available to the public if the application is
`referenced in a published application or an issued patent (see 37 CFR 1.14). Checks and credit card authorization forms
`PTO—2038 submitted for payment purposes are not retained in the application file and therefore are not publicly available.
`PERSON EXECUTING THIS SUBSTITUTE STATEMENT:
`
`Name:
`
`Date (Optional):
`
`S,gna,,,e,/KirkDWong#43284/
`APPLICANT NAME AND TITLE OF PERSON EXECUTING THIS SUBSTITUTE STATEMENT:
`
`If the applicant is a juristic entity, list the applicant name and the title of the signer:
`
`TiVo Inc.
`
`Applicant Name:
`.
`Title of Person Executing
`This Substitute Statement: Attorney for Applicant
`The si ner, whose title is su lied above, is authorized to act on behalf of the a licant.
`Residence of the signer (unless provided in an application data sheet, PTOIAIAI14 or equivalent):
`
`Fremont
`
`CA
`
`Mailing Address of the signer (unless provided in an application data sheet, PTOIAIAI14 or equivalent)
`
`4677 Old lronsides Drive, Suite 370
`
`cvsanta Clara
`
`2.95054
`
`Note: Use an additional PTO/AIA/02 form for each inventor who is deceased, legally incapacitated, cannot be found or reached
`after diligent effort, or has refused to execute the oath or declaration under 37 CFR 1.63.
`[Page 2 of 2]
`
`6
`
`

`
`Privacy Act Statement
`
`The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection
`with your submission of the attached form related to a patent application or patent. Accordingly,
`pursuant to the requirements of the Act, please be advised that: (1) the general authority for the
`collection of this information is 35 U.S.C. 2(b)(2); (2) furnishing of the information solicited is voluntary;
`and (3) the principal purpose for which the information is used by the U.S. Patent and Trademark
`Office is to process and/or examine your submission related to a patent application or patent. If you do
`not furnish the requested information, the U.S. Patent and Trademark Office may not be able to
`process and/or examine your submission, which may result in termination of proceedings or
`abandonment of the application or expiration of the patent.
`
`The information provided by you in this form will be subject to the following routine uses:
`
`1. The information on this form will be treated confidentially to the extent allowed under the
`Freedom of Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 552a). Records from
`this system of records may be disclosed to the Department of Justice to determine whether
`disclosure of these records is required by the Freedom of Information Act.
`A record from this system of records may be disclosed, as a routine use, in the course of
`presenting evidence to a court, magistrate, or administrative tribunal, including disclosures to
`opposing counsel in the course of settlement negotiations.
`A record in this system of records may be disclosed, as a routine use, to a Member of
`Congress submitting a request involving an individual, to whom the record pertains, when the
`individual has requested assistance from the Member with respect to the subject matter of the
`record.
`A record in this system of records may be disclosed, as a routine use, to a contractor of the
`Agency having need for the information in order to perform a contract. Recipients of
`information shall be required to comply with the requirements of the Privacy Act of 1974, as
`amended, pursuant to 5 U.S.C. 552a(m).
`A record related to an International Application filed under the Patent Cooperation Treaty in
`this system of records may be disclosed, as a routine use, to the International Bureau of the
`World Intellectual Property Organization, pursuant to the Patent Cooperation Treaty.
`A record in this system of records may be disclosed, as a routine use, to another federal
`agency for purposes of National Security review (35 U.S.C. 181) and for review pursuant to
`the Atomic Energy Act (42 U.S.C. 218(c)).
`A record from this system of records may be disclosed, as a routine use, to the Administrator,
`General Services, or his/her designee, during an inspection of records conducted by GSA as
`part of that agency's responsibility to recommend improvements in records management
`practices and programs, under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall
`be made in accordance with the GSA regulations governing inspection of records for this
`purpose, and any other relevant ( i.e., GSA or Commerce) directive. Such disclosure shall not
`be used to make determinations about individuals.
`A record from this system of records may be disclosed, as a routine use, to the public after
`either publication of the application pursuant to 35 U.S.C. 122(b) or issuance of a patent
`pursuant to 35 U.S.C. 151. Further, a record may be disclosed, subject to the limitations of 37
`CFR 1.14, as a routine use, to the public if the record was filed in an application which
`became abandoned or in which the proceedings were terminated and which application is
`referenced by either a published application, an application open to public inspection or an
`issued patent.
`A record from this system of records may be disclosed, as a routine use, to a Federal, State,
`or local law enforcement agency, if the USPTO becomes aware of a violation or potential
`violation of law or regulation.
`
`7
`
`

`
`Doc code: Oath
`Document Description: Oath or declaration filed
`
`PTO/AIA/02 (07-13)
`Approved for use through 01/31/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number.
`
`SUBSTITUTE STATEMENT IN LIEU OF AN OATH OR DECLARATION FOR UTILITY
`
`OR DESIGN PATENT APPLICATION (35 U.S.C. 115(d) AND 37 CFR 1.64)
`
`Title of Multimedia Time Warping System
`Invention
`
`This statement is directed to:
`
`I: The attached application,
`OR
`
`|: United States application or PCT international application number
`
`O9/126,071 mm“ July 30, 1998_
`
`LEGAL NAME of inventor to whom this substitute statement applies:
`
`(E.g., Given Name (first and middle (if any)) and Family Name or Surname)
`
`Jean Swey Kao
`Residence (except for a deceased or legally incapacitated inventor):
`
`Mailing Address (except for a deceased or legally incapacitated inventor):
`
`21876 Meadow View Lane
`
`2.95014 Us
`
`I believe the above-named inventor orjoint inventor to be the original inventor or an original joint inventor of a claimed invention
`in the application.
`
`The above—identified application was made or authorized to be made by me.
`
`I hereby acknowledge that any willful false statement made in this statement is punishable under 18 U.S.C. 1001 by fine or
`imprisonment of not more than five (5) years, or both.
`
`Relationship to the inventor to whom this substitute statement applies:
`
`:| Legal Representative (for deceased or legally incapacitated inventor only),
`:| Assignee,
`:| Person to whom the inventor is under an obligation to assign,
`:| Person who othenivise shows a sufficient proprietary interest in the matter (petition under 37 CFR 1.46 is required), or
`:| Joint Inventor.
`
`[Page 1 of 2]
`This collection of information is required by 35 U.S.C. 115 and 37 CFR 1.63. The information is required to obtain or retain a benefit by the public which is to file (and
`by the USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.11 and 1.14. This collection is estimated to take 1 minute to
`complete, including gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any
`comments on the amount of time you require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S.
`Patent and Trademark Office, U.S. Department of Commerce. P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO
`THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`Ifyou need assistance in completing the form, call 1-80U—PTO-9199 and select option 2.
`
`8
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`

`
`PTO/SB/AlA02 (07-13)
`Approved for use through 01/31/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number.
`
`SUBSTITUTE STATEMENT
`
`Circumstances permitting execution of this substitute statement:
`El Inventor is deceased,
`El Inventor is under legal incapacity,
`El Inventor cannot be found or reached after diligent effort, or
`Cl Inventor has refused to execute the oath or declaration under 37 CFR 1.63.
`If there are joint inventors, please check the appropriate box below:
`
`El An application data sheet under 37 CFR 1.76 (PTO/AIA/14 or equivalent) naming the entire inventive entity has been
`or is currently submitted.
`
`OR
`
`'1 An application data sheet under 37 CFR 1.76 (PTO/AIA/14 or equivalent) has not been submitted. Thus, a Substitute
`Statement Supplemental Sheet (PTO/AIA/11 or equivalent) naming the entire inventive entity and providing inventor
`information is attached. See 37 CFR1.64(b).
`
`WARNING:
`
`Petitioner/applicant is cautioned to avoid submitting personal information in documents filed in a patent application that may
`contribute to identity theft. Personal information such as social security numbers, bank account numbers, or credit card numbers
`(other than a check or credit card authorization form PTO—2038 submitted for payment purposes) is never required by the USPTO
`to support a petition or an application.
`If this type of personal information is included in documents submitted to the USPTO,
`petitioners/applicants should consider redacting such personal information from the documents before submitting them to the
`USPTO. Petitioner/applicant is advised that the record of a patent application is available to the public after publication of the
`application (unless a non-publication request in compliance with 37 CFR 1.213(a) is made in the application) or issuance of a
`patent. Furthermore, the record from an abandoned application may also be available to the public if the application is
`referenced in a published application or an issued patent (see 37 CFR 1.14). Checks and credit card authorization forms
`PTO—2038 submitted for payment purposes are not retained in the application file and therefore are not publicly available.
`PERSON EXECUTING THIS SUBSTITUTE STATEMENT:
`
`Name:
`
`Date (Optional):
`
`S,gna,,,e,/KirkDWong#43284/
`APPLICANT NAME AND TITLE OF PERSON EXECUTING THIS SUBSTITUTE STATEMENT:
`
`If the applicant is a juristic entity, list the applicant name and the title of the signer:
`
`TiVo Inc.
`
`Applicant Name:
`.
`Title of Person Executing
`This Substitute Statement: Attorney for Applicant
`The si ner, whose title is su lied above, is authorized to act on behalf of the a licant.
`Residence of the signer (unless provided in an application data sheet, PTOIAIAI14 or equivalent):
`
`Fremont
`
`CA
`
`Mailing Address of the signer (unless provided in an application data sheet, PTOIAIAI14 or equivalent)
`
`4677 Old lronsides Drive, Suite 370
`
`cvsanta Clara
`
`2.95054
`
`Note: Use an additional PTO/AIA/02 form for each inventor who is deceased, legally incapacitated, cannot be found or reached
`after diligent effort, or has refused to execute the oath or declaration under 37 CFR 1.63.
`[Page 2 of 2]
`
`9
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`
`Privacy Act Statement
`
`The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection
`with your submission of the attached form related to a patent application or patent. Accordingly,
`pursuant to the requirements of the Act, please be advised that: (1) the general authority for the
`collection of this information is 35 U.S.C. 2(b)(2); (2) furnishing of the information solicited is voluntary;
`and (3) the principal purpose for which the information is used by the U.S. Patent and Trademark
`Office is to process and/or examine your submission related to a patent application or patent. If you do
`not furnish the requested information, the U.S. Patent and Trademark Office may not be able to
`process and/or examine your submission, which may result in termination of proceedings or
`abandonment of the application or expiration of the patent.
`
`The information provided by you in this form will be subject to the following routine uses:
`
`1. The information on this form will be treated confidentially to the extent allowed under the
`Freedom of Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 552a). Records from
`this system of records may be disclosed to the Department of Justice to determine whether
`disclosure of these records is required by the Freedom of Information Act.
`A record from this system of records may be disclosed, as a routine use, in the course of
`presenting evidence to a court, magistrate, or administrative tribunal, including disclosures to
`opposing counsel in the course of settlement negotiations.
`A record in this system of records may be