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`UNITED STATES PATENT AND TRADEMARK OFFICE
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`APPLE INC.,
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`Petitioner,
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`v.
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`REALTIME DATA, LLC D/B/A IXO,
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`Patent Owner.
`____________________
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`Case IPR2016-01737
`Patent No. 8,880,862
`____________________
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`Patent Owner’s Reply In Support Of Its Motion To Amend
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`IPR2016-01737
`REPLY ISO MOTION TO AMEND
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`Table of Contents
`Introduction ........................................................................................................ 1
`I.
`II. Legal standard .................................................................................................... 1
`III. The motion indisputably meets all requirements of 37 C.F.R. § 42.121 ........... 2
`IV. Apple’s obviousness theory does not teach “preloading,” as the cross-
`examination testimony of its expert reveals .............................................................. 2
`A. The specification’s teachings limit the broadest reasonable interpretation
`of “preloading” ........................................................................................... 2
`B. The ’862 specification teaches that “preloading” must begin before a
`request for boot data has been received over computer bus ....................... 4
`C. Apple’s obviousness theories as to the “preloading” limitation fail .......... 6
`1. Settsu only begins loading boot data after receiving a request over
`computer bus, as Dr. Neuhauser admitted ............................................ 7
`2. Zwiegincew cannot be combined with Settsu ....................................... 8
`V. Apple has failed to prove that any other prior art renders the proposed
`substitute claims unpatentable .................................................................................10
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`IPR2016-01737
`REPLY ISO MOTION TO AMEND
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`Exhibit List
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`
`Description
`Declaration of S. Desmond Jui in Support of Motion for
`Admission Pro Hac Vice
`Declaration of Kayvan B. Noroozi in Support of Motion
`for Admission Pro Hac Vice
`Office Patent Trial Practice Guide, 77 Fed. Reg. 48756-
`773, dated August 14, 2012
`Deposition Exhibit Declaration of Dr. Charles J. Neuhauser
`filed in IPR2016-01737 proceeding (not filed)
`Deposition Exhibit Declaration of Dr. Charles J. Neuhauser
`filed in IPR2016-01738 proceeding (not filed)
`Deposition Exhibit Declaration of Dr. Charles J. Neuhauser
`filed in IPR2016-01739 proceeding (not filed)
`Excerpt from Microsoft Computer Dictionary, 5th Ed.,
`Microsoft (2002)
`Declaration of Dr. Godmar Back (“Dr. Back Dec.”)
`Curriculum Vitae of Dr. Godmar Back
`Prosecution History of U.S. Provisional Patent Application
`No. 60/801,114
`Deposition Transcript of Charles J. Neuhauser, dated June
`2, 2017
`Excerpt from Joint Claim Construction and Prehearing
`Statement in matter Realtime Data, LLC d/b/a IXO v.
`Apple Inc., C.A. No. 16-cv-02595-JB (N.D. Cal.)
`Excerpt from Operating System Concepts, Silberschatz et
`al. (2009)
`UNUSED
`UNUSED
`Application No. 11/551,211 as filed
`Application No. 09/776,267 as filed
`U.S. Patent No. 6,539,456 (“Stewart”)
`U.S. Patent No. 6,173,381 (“Dye ’381”)
`U.S. Patent No. 6,434,695 (“Esfahani”)
`U.S. Patent No. 6,073,232 (“Kroeker”)
`Declaration of Dr. Godmar Back in Support of Motion to
`Amend
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`Exhibit No.
`2001
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`2002
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`2003
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`2004
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`2005
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`2006
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`2007
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`2008
`2009
`2010
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`2011
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`2012
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`2013
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`2014
`2015
`2016
`2017
`2018
`2019
`2020
`2021
`2022
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`2023
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`2024
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`2025
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`IPR2016-01737
`REPLY ISO MOTION TO AMEND
`Excerpts from the Prosecution History of U.S. Patent No.
`7,181,608 (Application No. 09/776,267)
`Deposition Transcript of Charles J. Neuhauser, dated
`September 27, 2017
`Declaration of Dr. Godmar Back in Support of Patent
`Owner’s Reply to its Motion to Amend
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`IPR2016-01737
`REPLY ISO MOTION TO AMEND
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`I.
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`Introduction
`Apple does not dispute that Realtime’s motion satisfies § 42.121. And Apple
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`makes no serious attempt to show that the proposed substitute claims are
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`unpatentable over Sukegawa, its primary reference in the trial. Instead, Apple now
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`falls back on Settsu and Zwiegincew. Yet the cross-examination testimony of
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`Apple’s expert, Dr. Neuhauser, as well as the testimony of Patent Owner’s expert,
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`Dr. Back, reveals that Settsu and Zwiegincew both fail to teach “preloading,” as
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`the proposed substitute claims require. Apple’s other arguments also fail. Apple
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`had every opportunity to make a full evidentiary showing, yet it has presented no
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`analysis as to how any other prior art—whether Esfahani, the art cited in its district
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`court invalidity contentions, or the art cited on the face of the patent—renders any
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`proposed claim unpatentable. Apple has thus failed to meet its burden, and the
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`Board should grant the proposed claims if it finds the original claims unpatentable.
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`II. Legal standard
`In light of the Federal Circuit’s recent en banc decision in Aqua Products v.
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`Matal, the Board must assess the patentability of proposed substitute claims
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`“without placing the burden of persuasion on the patent owner.” No. 2015-1177,
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`2017 WL 4399000, at *1, *29 (Fed. Cir. Oct. 4, 2017). Rather, it is Petitioner’s
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`burden “to prove all propositions of unpatentability, including for amended
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`claims.” Id. And the only relevant art for purposes of that determination is “the
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`IPR2016-01737
`REPLY ISO MOTION TO AMEND
`prior art cited in the IPR and any new art relevant to § 102 or § 103 that the
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`petitioner asks be introduced into the IPR.” Id. at *18. Indeed, even before Aqua
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`Products, the Federal Circuit had made clear—and the PTO had agreed—that
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`patent owners have no obligation to present particularized analysis of the
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`patentability of proposed substitute claims over prior art known to them but not of
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`record in the underlying proceeding. Nike, Inc. v. Adidas AG, 812 F.3d 1326, 1350
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`(Fed. Cir. 2016) (holding that the Board cannot deny proposed amended claims on
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`the basis that the patent owner did not discuss prior art not of record), overruled on
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`other grounds by Aqua Prod., 2017 WL 4399000.
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`III. The motion indisputably meets all requirements of 37 C.F.R. § 42.121
`Patent Owner has demonstrated that the proposed substitute claims meet
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`each requirement of §42.121. Mot. 2-17. Neither Apple’s response, nor the lengthy
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`declaration of its expert, Dr. Neuhauser, contains any assertion to the contrary. The
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`proposed claims’ compliance with §42.121 is thus undisputed.
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`IV. Apple’s obviousness theory does not teach “preloading,” as the cross-
`examination testimony of its expert reveals
`A. The specification’s teachings limit the broadest reasonable
`interpretation of “preloading”
`The “broadest reasonable interpretation” standard does not permit imbuing a
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`claim limitation with scope that exceeds the teachings of the specification, as the
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`Federal Circuit recently made clear in In re Smith Int’l, No. 2016-2303, 2017 WL
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`REPLY ISO MOTION TO AMEND
`4247407, at *4-5 (Fed. Cir. Sept. 26, 2017). There, the Board had found that the
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`term “body” was a “generic term” that was not defined by the specification, and
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`could be reasonably interpreted to cover a drilling tool’s internal components. Id.
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`The Board had rejected patent owner’s argument that the specification consistently
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`referred to and depicted the “body” of a drilling tool as distinct from other
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`separately defined components. Id. It also rejected patent owner’s argument that
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`the Board’s interpretation would render “body” indistinguishable from “tool,”
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`which the specification used to describe the overall drilling tool. Id. The Board
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`reasoned that since the specification did not expressly define “body,” and did not
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`disclaim the Board’s interpretation, its interpretation must be “reasonable.” Id.
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`The Federal Circuit disagreed, and reversed. The appellate court emphasized
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`that the “broadest reasonable interpretation” standard is not a “broadest possible
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`interpretation” standard. Id. (emphasis original). To the contrary, the outer bounds
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`of a limitation’s “broadest reasonable interpretation” must be determined “in light
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`of the specification.” Id. (emphasis original). Thus where an interpretation lacks
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`any support in the specification, and exceeds the teachings of the specification, it is
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`“unreasonable.” Id. at 6. That is so even if the specification does not expressly
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`define the term or expressly disclaim otherwise unsupported claim scope. Id. In
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`short, the Federal Circuit made clear that the Board should not “strain” the breadth
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`of claims beyond the scope of the teachings of the specification. Id.
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`B.
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`IPR2016-01737
`REPLY ISO MOTION TO AMEND
`The ’862 specification teaches that “preloading” must begin before
`a request for boot data has been received over computer bus
`Section V of the ’862 specification, titled “Instant Boot Device for
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`Operating System, Application Program and Loading,” specifically contrasts the
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`“preloading” approach taught in the specification from prior art approaches. Ex.
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`1001 at 20:36-22:11. The specification explains that “with conventional boot
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`device controllers, after reset, the boot device controller will wait for a command
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`over the computer bus (such as PCI).” Id. at 20:38-40. It then explains that since
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`the boot device controller is typically ready to operate before the computer bus,
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`“this wait period is unproductive time.” Id. at 20:40-43. And it further explains that
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`once a boot device controller receives a command for boot data over the computer
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`bus, “a long delay is seen by the computer user.” Id. at 20:45-48.
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`The specification then proposes a solution: “a technique of data preloading
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`to decrease the computer system boot time.” Id. at 20:50-53 (emphasis added).
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`Specifically, the specification teaches that “prior to host system reset [e.g., PCI bus
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`reset], the data storage controller can proceed to pre-load the portions of the
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`computer operating system from the boot device (e.g., hard disk) into the on-board
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`cache memory.” Id. at 20:58-61 (emphasis added). “Preloading” thus commences
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`before the computer bus has been reset, i.e., before commands can be sent or
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`received across the computer bus. Ex. 2025 ¶ 9. The specification further clarifies
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`that fact, stating “it is advantageous for the boot device controller to preload [ ]
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`portions [of the operating system] and not wait until it is commanded to load the
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`operating system.” Ex. 1001 at 20:63-66 (emphasis added). “Once the data is
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`preloaded, when the computer bus issues its first commands to the data storage
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`controller seeking operating system data, the data will already be available in the
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`cache memory of the data storage controller.” Id. at 21:3-6 (emphasis added).
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`In situations where a request is made “for boot data that is not preloaded in
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`the local memory of the data storage controller . . ., the controller will retrieve the
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`requested data from the boot device. . . .” Id. at 21:60-65 (emphasis added). Thus
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`if boot data begins loading from a boot device only after a request for that data has
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`been made, the boot data would not be considered “preloaded” for purposes of the
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`’862 patent. Ex. 2025 ¶ 10.
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`Consistent with the above, Apple’s expert, Dr. Neuhauser has testified that
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`“preloading” of boot data, as taught in the ’862 patent, must begin before a request
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`for the boot data has been received over a computer bus. Ex. 2024 at 61:6-62:3.
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`Dr. Neuhauser agreed that the specification of the patent describes a problem
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`and a solution. Ex. 2024 at 60:4-7. The problem, as Dr. Neuhauser acknowledged,
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`was that traditional loading processes that existed prior to the ‘862 patent were too
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`slow and could be improved and made faster. Id. at 60:8-16. The patent’s solution,
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`as Dr. Neuhauser agreed, includes the concept of “preloading” as taught in the
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`specification. Id. at 60:18-21. Dr. Neuhauser further admitted that an approach
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`whereby the boot device controller begins loading boot data after receiving a
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`command for that data over computer bus is not “preloading.” Id. at 61:6-20. And
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`he also admitted that the concept of “preloading,” as taught in the ‘862
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`specification, requires moving boot data into memory before a request has been
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`made for that data over computer bus. Id. at 61:21-62:3. Moreover, as Patent
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`Owner’s expert, Dr. Back, further explains, the ’862 patent’s specification contains
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`no alternative teaching as to “preloading.” Ex. 2025 ¶ 12. Rather, in every instance
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`in which the specification gives context to “preloading,” it would be clear to one of
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`ordinary skill in the art that “preloading” must begin before a request for the data
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`has been received over a computer bus. Id. Thus, the broadest reasonable
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`interpretation of “preloading” cannot include beginning to load operating system
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`boot data only after receiving a request for that data over computer bus. Id.
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`C. Apple’s obviousness theories as to the “preloading” limitation fail
`Apple’s expert, Dr. Neuhauser, relies entirely on two prior art references for
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`his obviousness allegations as to the “preloading” limitation of all proposed
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`amended claims: Settsu and Zwiegincew. See Ex. 1030 ¶¶ 26, 38. As shown below,
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`Dr. Neuhauser’s cross-examination testimony establishes that neither reference
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`teaches “preloading” within the scope of the proposed claims.
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`REPLY ISO MOTION TO AMEND
`Settsu only begins loading boot data after receiving a
`request over computer bus, as Dr. Neuhauser admitted
`In his declaration, Dr. Neuhauser alleged that the process by which Settsu’s
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`1.
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`mini OS module 7 transfers the OS main body module 8 from boot device 3 into
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`memory 2 constitutes “preloading.” Ex. 2024 at 110:22-111:2. Dr. Neuhauser
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`further alleged that the mini OS module 7 in Settsu is the “boot device controller”
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`that “receives a command over a computer bus to load the portion of the boot
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`data,” for purposes of the proposed substitute claims. Id. at 110:9-20.
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`Yet on cross-examination, Dr. Neuhauser admitted that the process in Settsu
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`that he calls “preloading”—transferring the OS main body module 8 from boot
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`device 3 into memory 2—only begins after the mini OS module 7 (his “boot
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`device controller”) has, under his own theory, received a command over a
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`computer bus to load the boot data. Id. at 112:2-10 (admitting that Settsu begins
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`“preloading” after receiving a command over a computer bus to load the boot
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`data). And Dr. Neuhauser further admitted that his alleged “boot device controller”
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`in Settsu—mini OS module 7—“does not transfer any data” into memory before
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`it has received a command over computer bus to load that data. Id. at 111:3-15.
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`Patent Owner’s expert, Dr. Back, agrees. Ex. 2025 ¶¶ 13-14.
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`Accordingly, under Apple’s own theory, Settsu’s alleged “boot device” only
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`begins loading boot data after receiving an alleged request for that data over
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`computer bus—never before—and Settsu thus does not teach “preloading” within
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`the broadest reasonable interpretation of that term.1 Ex. 2025 ¶ 15; Ex. 2022 ¶ 61
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`(“Settsu only teaches loading boot data when it is accessed or requested by the
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`system, not ahead of time.”). The proposed substitute claims are thus patentable
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`over Settsu, and Apple has failed to meet its burden to the contrary.
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`Zwiegincew cannot be combined with Settsu
`2.
`Dr. Neuhauser’s declaration also alleges that Zwiegincew teaches
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`“preloading.” Ex. 1030 ¶ 38. Specifically, the declaration alleges that by teaching
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`the “prefetching” of “scenario files” to avoid the problem of “hard page faults,”
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`Zwiegincew teaches “preloading” of “boot data.” Id. It further proposes that a
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`POSA would be motivated to incorporate those teachings from Zwiegincew as part
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`of Settsu’s boot process of loading the OS main body module 8 from boot device 3
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`into memory 2. Ex. 2024 at 91:10-16, 106:5-11, 117:12-17; Ex. 1030 ¶ 20.
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`As Dr. Neuhauser admitted, however, a POSA would not want to use
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`Zwiegincew’s prefetching approach before the virtual memory manager in an
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`1 Dr. Neuhauser admitted that data can be “loaded” yet not “preloaded,” Ex.
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`2024 at 47:22-48:6, and further admitted he did not consider that distinction in
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`writing his declaration. Id. at 42:22-43:5. Dr. Neuhauser thus did nothing to ensure
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`that Settsu or Zwiegincew teaches “preloading,” rather than simply “loading.”
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`REPLY ISO MOTION TO AMEND
`operating system has been enabled. Id. at 103:23-104:16; Ex. 2025 ¶¶ 18-19. A
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`POSA would recognize that Zwiegincew’s prefetching solution typically cannot be
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`used until after the virtual memory manager has been enabled. Ex. 2024 at 102:14-
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`103:22; Ex. 2025 ¶¶ 18-20. Indeed, the problem of “hard page faults,” which
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`“prefetching” is intended to address, cannot occur before an operating system’s
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`virtual memory manager has been enabled. Ex. 2024 at 101:3-13; Ex. 2025 ¶ 18.
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`Accordingly, a POSA would not and could not use Zwiegincew’s “prefetching”
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`before Settsu’s virtual memory manager had been enabled. Id. at ¶ 20.
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`Settsu’s virtual memory manager, however, is not enabled until OS main
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`body module 8 has already been loaded into memory 2, i.e., after the point at
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`which Dr. Neuhauser opines a POSA would be motivated to use Zwiegincew’s
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`“prefetching” approach. Ex. 2025 ¶¶ 21-22. That is because Settsu’s virtual
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`memory manager is a module within the OS main body module 8, as Settsu’s
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`Figures 3 and 5 clearly show. Ex. 1006; Ex. 2025 ¶ 21. As Dr. Neuhauser
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`acknowledged, the modules within Settsu’s OS main body 8 are not enabled
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`before the OS main body module 8 has moved from boot device 3 into memory 2.
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`Ex. 2024 at 105:17-106:4. It thus necessarily follows that a POSA would not and
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`could not use Zwiegincew’s prefetching technique (which requires virtual memory
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`manager to be enabled) to “preload” Settsu’s OS main body module 8 into memory
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`2 (i.e., before Settsu’s virtual memory manager has been enabled), as Dr.
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`Neuhauser has proposed. Id. at 106:5-11; Ex. 2025 ¶ 22. In any case, such an
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`approach would still not constitute “preloading” under the ’862 patent because it
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`would only begin after Settsu’s mini OS module 7 (which Dr. Neuhauser calls the
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`“boot device controller”) had received a request over computer bus to load the OS
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`main body module 8 (the alleged “boot data”) into memory. Id. at ¶ 23.
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`Accordingly, Apple’s obviousness theory as to Settsu and Zwiegincew also
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`fails to demonstrate unpatentability as to any proposed claim. Id. at ¶ 24.
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`V. Apple has failed to prove that any other prior art renders the proposed
`substitute claims unpatentable
`Apple also argues the proposed claims should not issue in light of
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`Sukegawa, Esfahani, its invalidity contentions in the district court litigation, and
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`the prior art cited on the face of the patent. Apple’s assertions are meritless.
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`Apple argues that a POSA would have found it obvious to use volatile
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`memory as part of Sukegawa’s boot process, and that the proposed substitute
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`claims are unpatentable based on Grounds 1-5 of the Petition. Resp. 7-8. That
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`argument fails on two levels. First, Apple’s assertions are entirely unsupported;
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`Dr. Neuhauser provided no testimony to support Apple’s obviousness allegations
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`as to Sukegawa. Ex. 2024 at 14:14-25. Indeed, Dr. Neuhauser has never supported
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`such a theory in any of his declarations. Id. at 18:20-19:19. Apple’s assertions
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`based on Sukegawa are thus pure attorney argument, and cannot meet its burden of
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`proof. As Dr. Back explains, a POSA would not be motivated to modify Sukegawa
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`in the way Apple proposes. Ex. 2025 ¶ 26. Second, as Dr. Neuhauser admitted,
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`Sukegawa teaches loading boot data into memory in one cycle and using that data
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`for booting the operating system “in the next power on cycle.” Ex. 2024 at 22:7-11.
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`By contrast, all of the proposed substitute claims require “preloading [ ] during the
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`same boot sequence in which a boot device controller receives a command over a
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`computer bus to load the portion of boot data.” (emphasis added). Since Sukegawa
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`indisputably loads its “boot data” during one cycle for use during a next cycle,
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`Sukegawa cannot meet the proposed amended claims. Ex. 2025 ¶ 27.
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`Apple’s arguments based on Esfahani likewise fail. It was Apple’s burden to
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`put forth an element-by-element theory of unpatentability based on specific
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`references. Although Apple knew the risk that it would bear that burden under
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`Aqua Products, and although Dr. Neuhauser had no limitation on the length of his
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`declaration, Apple chose not to make any specific showing based on Esfahani. Ex.
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`2024 at 9:18-25, 14:1-12. And as Dr. Back explains, Esfahani does not teach
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`“preloading” within the meaning of the ’862 patent. Ex. 2025 ¶ 28. Rather,
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`Esfahani teaches that its Open Firmware first initializes, and then locates its “Boot
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`Info file (40),” which Open Firmware then loads into RAM (12). Ex. 2020 at Fig.
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`6A, 8:40-9:6. It further teaches that “[b]y default, the Boot Info file 40 is located
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`by . . . searching for a file with a predetermined file type.” Id. at 8:5-10. A POSA
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`would thus understand that Esfahani teaches that its boot data is first requested and
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`located in response to a command over computer bus, and only begins to load after
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`such a request has been received, and is thus not “preloaded.” Ex. 2025 ¶ 28.
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`Apple’s invalidity contentions and its passing reference to the entirety of the
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`prior art cited on the face of the patent likewise fail. Apple’s invalidity contentions
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`are not specifically directed to each of the limitations of the proposed amended
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`claims, and thus cannot demonstrate unpatentability as to any proposed claim. Ex.
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`2025 ¶ 29. Moreover, the invalidity contentions simply provide various quotations
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`from the cited prior art, but never explain how or why those quotations teach the
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`relevant limitations. For example, although the invalidity contentions identify ten
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`references as purportedly teaching “preloading,” none of Apple’s invalidity charts
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`demonstrates that any of those references in fact teaches beginning to load boot
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`data before a command for that data has been received over computer bus. Id. And
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`with respect to the twenty eight pages of prior art listed on the face of the patent,
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`Apple provides no analysis at all. Realtime has stated its belief that the proposed
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`claims are patentable over all references at issue during prosecution, Mot. 18-19,
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`and is not required to do more. Nike, Inc. v. Adidas AG, 812 F.3d 1326, 1350 (Fed.
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`Cir. 2016), overruled on other grounds by Aqua Products, Inc. v. Matal, No. 2015-
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`1177, 2017 WL 4399000, at *1 (Fed. Cir. Oct. 4, 2017) (placing burden of proving
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`unpatentability of proposed amended claims on petitioner).
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`Respectfully submitted,
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`/s/ Kayvan B. Noroozi
`
`William P. Rothwell, Reg. No. 72,522
`NOROOZI PC
`2245 Texas Drive, Suite 300
`Sugar Land, TX 77479
`
`Kayvan B. Noroozi, Admitted Pro Hac Vice
`NOROOZI PC
`1299 Ocean Ave., Suite 450
`Santa Monica, CA 90401
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`Attorneys for Patent Owner
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`Date: October 11, 2017
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`- 13 -
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`Certificate of Service
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`The undersigned hereby certifies that the foregoing Patent Owner’s Reply
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`in Support of Its Motion to Amend and the Associated Exhibits 2024-2025 were
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`served electronically via e-mail on October 11, 2017, on the following counsel of
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`record for Petitioner:
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`W. Karl Renner – IPR39521-0025IP1@fr.com
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`/s/ William P. Rothwell
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`William P. Rothwell, Reg. No. 72,522
`NOROOZI PC
`2245 Texas Drive, Suite 300
`Sugar Land, TX 77479
`
`Attorney for Patent Owner
`
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`Date: October 11, 2017
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