UNITED STATES PATENT AND TRADEMARK OFFICE
`
`lI\ |'I'IlI|) S'I'A'|'IlIS |)|lIPA|l'I'V| IlI\l'I' ()Il' CHM l\’I|‘lI(('|<l
`United States Patent and Trademark Office
`Adrkess COMMISSIONER FOR PATENTS
`Pa Rm mo
`Alexa11dna,V1Jg:lrua 22313-1450
`wwvruspto gm’
`FIRST NAMED APPLICANT
`
`ATTY. DOCKET No./TITLE
`
`APPLICATION N'U'lVlRF.R
`
`En.T\1(; 012 371 (C) DATE
`
`12/255,713
`
`10/22/2008
`
`62574
`Jason H. Vick
`Sheridan Ross, pc
`Suite # 1200
`1560 Broadway
`Denver, CO 80202
`
`Marcos C. Tzannes
`
`6936-47-CON-3
`CONFIRMATION NO. 3870
`POA ACCEPTANCE LETTER
`
`lllllllllllllllllllllllllflllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll
`ooooooo57775o5
`
`Date Mailed: 11/26/2012
`
`NOTICE OF ACCEPTANCE OF POWER OF ATTORNEY
`
`This is in response to the Power of Attorney filed 1 1/07/2012.
`
`The Power of Attorney in this application is accepted. Correspondence in this application will be mailed to the
`above address as provided by 37 CFR 1.33.
`
`/jtfitzhugh sr/
`
`Office of Data Management, Application Assistance Unit (571) 272-4000, or (571) 272-4200, or 1-888-786-0101
`
`DISH
`
`Exhibit 1004 Page 1
`
`DISH
`Exhibit 1004 Page 1
`
`

`

`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`ll\ |'I'IlI|) S'I'A'|'I4IS |)|4IPA|l'I'V| IlI\l'I' ()I4' CHM l\’I|‘lI(('|<l
`United States Patent and Trademark Office
`Adrkess COMMISSIONER FOR PATENTS
`PO Rm L130
`Alexandria, Vugirua 22313-1450
`wwvruspto gm
`FIRST NAMET) APPLICANT
`
`ATTY. DOCKET NO./TlTT.E
`
`APPLICATION N'U'lVlRF.R
`
`En.T\1(; 012 371 (C) DATE
`
`12/255,713
`
`10/22/2008
`
`62574
`Jason H. Vick
`Sheridan Ross, pc
`Suite # 1200
`1560 Broadway
`Denver, CO 80202
`
`Marcos C. Tzannes
`
`6936-47-CON-3
`CONFIRMATION NO. 3870
`POWER OF ATTORNEY NOTICE
`
`lllllllllllllllllllllllllfllllllllllllllllllllllllllllllllllllllll Illlllllllllllllllllllllll
`ooooooo57775o3o
`
`Date Mailed: 11/26/2012
`
`NOTICE REGARDING CHANGE OF POWER OF ATTORNEY
`
`This is in response to the Power of Attorney filed 1 1/07/2012.
`
`- The Power of Attorney to you in this application has been revoked by the assignee who has intervened as
`provided by 37 CFR 3.71. Future correspondence will be mailed to the new address of record(37 CFR 1.33).
`
`/j tfitzhugh sr/
`
`Office of Data Management, Application Assistance Unit (571) 272-4000, or (571) 272-4200, or 1-888-786-0101
`
`DISH
`
`Exhibit 1004 Page 2
`
`DISH
`Exhibit 1004 Page 2
`
`

`

`PTO/AIA/B0 (O7-12)
`Approved for use through 11/30/2014. OMB 06510035
`US. Patent and Trademark Office: US DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of1995, no persons are required to respond to a collection ofinformatlon unless it displays a valid OMB control number.
`
`POWER OF ATTORNEY TO PROSECUTE APPLICATIONS BEFORE THE USPTO
`
`i hereby revoke all previous powers of attorney given in the application identified in the attached statement
`under 37 CFR 3.73 C .
`I hereby appoint:
`
`El
`El
`
`:eRctitlonersassociated with Customer Number:
`Practlt|oner(s) named below (if more than ten patent practitioners are to be named, then a customer number must be used):
`Registration
`
`As attorney(s) or agentts) to represent the undersigned before the United States Patent and Trademark Office (USPTO) in connection with
`any and all patent applications assigned gig to the undersigned according to the USPTO assignment records or assignments documents
`attached to this form in accordance with 37 CFR Ei.73(o).
`
`Please change the correspondence address for the application identified in the attached statement under 37 CFR 3,73(c) to:
`
`E The address associated with Customer Number:
`OR
`Firm or
`Individual Narre
`1 Address
`Cit)’
`
`State
`
`Country
`
`Telephone
`
`Assignee Name and Address: TQ DELTA, LLC
`805 Las Cimas Parkway, Suite 240
`Austin, Texas 78746
`
`A copy of this form, together with a statement under 37 CFR 3.73(c) (Form PTO/AIA/96 or equivalent) is required to be
`Filed in each application in which this form is used. The statement under 37 CFR 3.T3(ci may be completed by one of
`The practitioners appointed in this form, and must identify the application in which this Power of Attorney is to be filed.
`
`SIGNATURE of Assignee of Record
`The individual whose signature and title is_ supplied below is authorized to act on behalf of the asslgnee
`
`’v’Za/u,.»a..% m£,...z__.._.__.,
`Mark K. Roche
`Managing Director
`This collection ofinformation is required by 37 CFR 1.31, 1.32 and 1133. 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 3 minutes
`to complete, including gathering, preparing, and submitting the completed application form to the USFTO. 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,
`US. Patent and Trademark Office, US. Department ofCornrneroe. PO. Box 1450. Alexandria, VA 223134450. DO NOT SEND FEES OR COMPLETED
`FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.0. Box 1450, Alexandria. VA 22313—1450.
`
`to /i’ / '2
`Dare
`Telephone 512—609—181O
`
`if you need assistance in completing the form, call 1-800-PTO-9199 and select option 2.
`
`DISH
`
`Exhibit 1004 Page 3
`
`DISH
`Exhibit 1004 Page 3
`
`

`

`Electronic Acknowledgement Receipt
`
`14170511
`
`International Application Number:
`
`Confirmation Number:
`
`T'll° °f l""°"l'°"‘
`
`SYSTEM AND METHOD FOR SCRAMBLING THE PHASE OF THE CARRIERS IN A
`MULTICARRIER COMMUNICATIONS SYSTEM
`
`First Named Inventor/Applicant Name:
`
`Marcos C. Tzannes
`
`Customer Number:
`
`62574
`
`Filer Authorized By:
`
`Jason Vick
`
`Attorney Docket N um ber:
`
`6936-47-CON-3
`
`Filing Date:
`
`Time Stamp:
`
`22-OCT-2008
`
`14:22:39
`
`Application Type:
`
`Utility under 35 USC111(a)
`
`Payment information:
`
`Submitted with Payment
`
`File Listing:
`
`Document
`Number
`
`Document Descri
`
`tion
`
`P
`
`File Size(Bytes)/
`Message Digest
`419213
`
`Part /.zip (if appl.)
`
`EntityStatus_373c_w_POA.pdf
`
`semieLi75rr3m524929d5e4r72imae9Le4:J
`1795
`
`yes
`
`DISH
`
`Exhibit 1004 Page 4
`
`DISH
`Exhibit 1004 Page 4
`
`

`

`Multipart Description/PDF files in .zip description
`
`Assignee showing ofownership per37CFR3.73.
`
`Power of Attorney
`
`Warnings:
`Information:
`
`Total Files Size (in bytes)
`
`419213
`
`This Acknowledgement Receipt evidences receipt on the noted date by the USPTO ofthe indicated documents,
`characterized by the applicant, and including page counts, where applicable. It serves as evidence of receipt similar to a
`Post Card, as described in MPEP 503.
`
`New Applications Under 35 U.S.C. 111
`lfa new application is being filed and the application includes the necessary components for a filing date (see 37 CFR
`1.53(b)-(d) and MPEP 506), a Filing Receipt (37 CFR 1.54) will be issued in due course and the date shown on this
`Acknowledgement Receipt will establish the filing date ofthe application.
`
`National Stage of an International Application under 35 U.S.C. 371
`lfa timely submission to enter the national stage ofan international application is compliant with the conditions of 35
`U.S.C. 371 and other applicable requirements a Form PCT/D0/E0/903 indicating acceptance of the application as a
`national stage submission under 35 U.S.C. 371 will be issued in addition to the Filing Receipt, in due course.
`
`New International Application Filed with the USPTO as a Receiving Office
`lfa new international application is being filed and the international application includes the necessary components for
`an international filing date (see PCT Article 11 and MPEP 1810), a Notification of the International Application Number
`and ofthe International Filing Date (Form PCT/R0/105) will be issued in due course, subject to prescriptions concerning
`national security, and the date shown on this Acknowledgement Receipt will establish the international filing date of
`the application.
`
`DISH
`
`Exhibit 1004 Page 5
`
`DISH
`Exhibit 1004 Page 5
`
`

`

`IN TIIE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`In Re the Application of: Marcos C. Tzannes
`
`Application No.: 12/255,713
`Filed: October 22, 2008
`Atty. File No.: 6936-47-CON—3
`
`; Patent No.: 7,769,104
`5 Issued: August3, 2010
`5 Examiner: WILLIAMS, Lawrence‘
`%ConfirmationNo.: 3870
`
`SYSTEM AND METHOD FOR SCRAMBLING THE PHASE OF THE CARRIERS IN
`For:
`A MULTICARRIER COMMUNICATIONS SYSTEM
`
`ASSERTION OF ENTITLEMENT TO SMALL ENTITY STATUS
`
`Commissioner for Patents
`P.O. Box 1450
`
`Alexandria, VA 22313-1450
`
`Madam:
`
`In accordance with MPEP §§ 509.02 and 509.03 and 37 CFR 1.27, this document is
`
`being filed to inform the U.S. Patent Office of the change of status for the above-identified patent
`
`from large entity status to small entity status. All fees paid to date have been paid as large entity
`
`status. No fees have yet been paid as small entity status. Due to the sale of the referenced patent,
`
`the Applicant is now entitled to small entity status.
`
`We respectfully request that small entity status be granted for the aboVe—referenced
`
`patent.
`
`Please contact the undersigned if there are any questions regarding this notification.
`
`Respectfully submitted,
`
`SHERIDAN ROSS P.C.
`
`MM”
`
`B .
`,..u»«-t;”‘T7’
`y.
`/1» ..,.vv°"""”fio””V
`.,..»-
`Mfflaasfih H. WE
`MM...¢»~e~
`Reg. No. 45,285
`1560 Broadway, Suite 1200
`Denver, Colorado 80202
`Telephone: 303-863-9700
`
`DISH
`
`Exhibit 1004 Page 6
`
`DISH
`Exhibit 1004 Page 6
`
`

`

`PTO/AIA/96 (0842)
`Approved for use through 01/31/2013. OMB 0651 -0031
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paerwork Reduction Act of 1995, no ersons are reuired to resend to a collection of information unless it disla s a valid OMB control number.
`
`STATEMENT UNDER 37 CFR 3.73§c)
`Applicant/Patent Owner: TQ DE]-TAI LLC
`
`Filed/issue Date: August 3: 2010
`Application No./Patent No.2 77695104
`Titled.
`SYSTEM AND METHOD FOR SCRAMBLING THE PHASE OF THE CARRIERS IN A MULTICARRIER COMMUNICATIONS SYSTEM
`
`TO DELTA, LLC
`(Name of Assignee)
`
`’a Corporation
`(Type of Assignee, e.g., corporation, partnership, university. government agency. etc,)
`
`states that, for the patent application/patent identified above, it is (choose one of options 1, 2, 3 or 4 below):
`
`1. _/_ The assignee of the entire right, title, and interest.
`
`2.
`
`An assignee of less than the entire right, title, and interest (check applicable box):
`
`______,_%. Additional Statement(s) by the owners
`J The extent (by percentage) of its ownership interest is
`holding the balance of the interest must be submitted to account for 100% of the ownership interest.
`
`3 There are unspecified percentages of ownership. The other parties, including inventors, who together own the entire
`right, title and interest are:
`
`Additional Statement(s) by the owner(s) holding the balance of the interest must be submitted to account for the entire
`right, title, and interest.
`‘
`
`3. :i The assignee of an undivided interest in the entirety (a complete assignment from one of the joint inventors was made).
`The other parties, including inventors, who together own the entire right, title, and interest are:
`
`Additional Statement(s) by the owner(s) holding the balance of the interest must be submitted to account for the entire
`right, title, and interest.
`
`4. :i The recipient, via a court proceeding or the like (e.g., bankruptcy, probate), of an undivided interest in the entirety (a
`complete transfer of ownership interest was made). The certified document(s) showing the transfer is attached.
`
`The interest identified in option 1, 2 or 3 above (not option 4) is evidenced by either (choose 911; of options A or B below):
`
`A. __ An assignment from the inventor(s) of the patent application/patent identified above. The assignment was recorded in
`the United States Patent and Trademark Office at Reel
`Frame
`, or for which a copy
`thereof is attached.
`
`A chain of title from the inventor(s), of the patent application/patent identified above, to the current assignee as follows:
`
`T0. AWARE, INC.
`1’ From: Marcos C. Tzannes
`The document was recorded in the United States Patent and Trademark Office at
`
`, or for which a copy thereof is attached.
`Reel 010877
`To. TQ DELTA, LLC
`2' From: AWARE, INC.
`The document was recorded in the United States Patent and Trademark Office at
`
`, Frame 0307
`
`Reel 029154
`
`, Frame 0937
`
`, or for which a copy thereof is attached.
`
`[Page 1 of 2]
`This collection of information IS required by 37 CFR 3.73(b). 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 12 minutes 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 THlS ADDRESS, SEND
`TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`lfyou need assistance in completing theform, call 1—800—PTO—9l99 and select option 2.
`
`DISH
`
`Exhibit 1004 Page 7
`
`DISH
`Exhibit 1004 Page 7
`
`

`

`PTO/AIA/96 (ca-12)
`Approved for use through 01/31/2013. OMB 0651~O03t
`U.S. Patent and Trademark Office; US. DEPARTMENT OF COMMERCE
`Under the Paerwork Reduction Act ot 1995, no ersons are reuired to resend to a collection of information unless it disla s a valid OMB control number.
`
`STATEMENT UNDER 37 CFR 3.73tc1
`
`To:
`
`The document was recorded in the United States Patent and Trademark Office at
`
`Reel
`
`W, Frame
`
`, or for which a copy thereof is attached.
`To:
`
`The document was recorded in the United States Patent and Trademark Office at
`Reel
`, Frame
`, or for which a copy thereof is attached.
`To:
`
`The document was recorded in the United States Patent and Trademark Office at
`
`Reel
`
`, Frame
`
`__, or for which a copy thereof is attached.
`To:
`
`The document was recorded in the United States Patent and Trademark Office at
`
`Reel
`
`, Frame
`
`, or for which a copy thereof is attached.
`
`Additional documents in the chain of title are listed on a supplemental sheet( ).
`
`As required by 37 CFR 3.73(c)(1)(i), the documentary evidence of the chain of title from the original owner to the
`assignee was, or concurrently is being, submitted for recordation pursuant to 37 CFR 3.11.
`
`[NOTE: A separate copy (i.e., a true copy of the original assignment document(s)) must be submitted to Assignment
`Division in accordance with 37 CFR Part 3, to record the assignment in the records of the USPTO. See MPEP 302.08]
`
`V
`
`The undersigned (whosegtle is supplledbelcwfisawuthorizedito act on behalf of the assignee.
`”"
`..«/I
`,y
`”'
`,
`_
`Sigrlat/arse‘
`"CT/é/‘SOD H. ViCk
`Printed or Typed Name E
`
`'/"2
`
`:v2'x?Vg‘a/
`Date
`45,235
`Title or Registration Number
`
`[Page 2 of 2]
`
`DISH
`
`Exhibit 1004 Page 8
`
`DISH
`Exhibit 1004 Page 8
`
`

`

`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Addicssz COIVIMISSIONER FOR PATENTS
`P.0. Box 1450
`Alexajidiia, Virginia 22313-1450
`www uspto.gov
`
`PATENT NO.
`
`7769104
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`5550-47-CON -3
`
`3870
`
`APPLICATION NO.
`
`12/255,713
`
`ISSUE DATE
`
`08/03/2010
`
`62574
`
`7 590
`
`07/14/2010
`
`Jason H. Vick
`Sheridan Ross, PC
`Suite # 1200
`1560 Broadway
`Denver, CO 80202
`
`The projected patent number a11d issue date are specified above.
`
`ISSUE NOTIFICATION
`
`Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)
`(application filed on or after May 29, 2000)
`
`The Patent Term Adjustment is 0 day(s). Any patent to issue from the above-identified application will include
`an indication of the adjustment on the front page.
`
`If a Continued Prosecution Application (CPA) was filed in the above—identified application, the filing date that
`determines Patent Term Adjustment is the filing date of the most recent CPA.
`
`Applicant will be able to obtain more detailed information by accessing the Patent Application Information
`Retrieval (PAIR) WEB site (http://pair.uspto. gov).
`
`Any questions regarding the Patent Term Extension or Adjustment determination should be directed to the
`Office of Patent Legal Administration at (571)-272-7702. Questions relating to issue and publication fee
`payments should be directed to the Application Assistance Unit (AAU) of the Office of Data Management
`(ODM) at (571)-272-4200.
`
`APPLICANT(s) (Please see PAIR WEB site http://pair.uspto. gov for additional applicants):
`
`Marcos C. Tzannes, Orinda, CA;
`
`IR103 (Rev. 10/09)
`
`DISH
`
`Exhibit 1004 Page 9
`
`DISH
`Exhibit 1004 Page 9
`
`

`

`PART B - FEE(S) TRANSMITTAL
`
`Complete and send this form, together with applicable fee(s), to: Mail Mail Stop ISSUE FEE
`Commissioner for Patents
`P.0. Box 1450
`Alexandria, Virginia 22313-1450
`or Eax (571)-273-2885
`INSTRUCTIONS: This fonn should be used for transmitting the ISSUE FEE and PUBLICATION FEE (if required). Blocks 1 through 5 should be completed where
`ap ropriate. All further correspondence including the Patent, advance orders and notification of maintenance fees will be mailed to the current corres ondence address as
`indjicated unless corrected below or directed otherwise in Block 1, by (a) specifying a new correspondence address; and/or (b) indicating a separate "
`ADDRESS" for
`maintenance fee notifications.
`CURRENTCORRESPONDENCE ADDRESS (Note: Use Blocklfor nny change ofaddrcss)
`
`62574
`
`7590
`
`05/18/2010
`
`_
`Jason H. Vick
`-
`Shfandan ROSS’ PC
`Slllle # I200
`
`156° Bmadwfly
`"Om
`
`Note: A celtiiicate oi mailin can only be used for domestic mailings of the
`Fee(s) Transmittal. This certi icate cannot be used for any other accompanying
`ve its own certificate of mailing or transmission.
`pipers. Each additional paper, such as an assignment or formal drawing, must
`Certificate of Mailing or Transmission
`I hereb certi
`that this Fee s Transmittal is being deposited with the United
`States oslal ervice with su icieni osta e for first class mail in an envelo e
`addressed to the Mail Sto
`ISSUEPFE address above, or bein
`facsirnile
`transmitted to the USPTO ( 71) 273-2885, on the date indicated be ow.
`-
`
`(Signature)
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCIQET NO.
`
`CONFIRMATION NO.
`
`5550-47-CON-3
`Marcos C. Tzannes
`10/22/2008
`12/255,713
`TITLE OF INVEN'TlON: SYSTEM AND METHOD FOR SCRAMBLING THE PHASE OF THE CARRIERS [N A MULTICARRIER
`COIVIMUNICATIONS SYSTEM
`
`3870
`
`nonprovisional
`
`NO
`
`ISSUE FEEDUE
`$1510
`
`PUBLICATIONFEEDUE PREV. PAID ISSUEFEE
`$0
`$300
`
`TOTAL FEE(S) DUE
`$1810
`
`DATEDUE
`08/18/2010
`
`WILLIAMS, LAWRENCE B
`
`mm mum
`2611
`375-260000
`
`2. For printing on the patent front page, list
`1. Chan3g6e3<)>f correspondence address or indication of "Fee Address" (37
`
`CFR 1
`or agents OR, alternatively,
`H Chan e of corres
`ndence address (or Change of Correspondence
`(2) the name of a single firm (having as a member a
`Address mm PTO’
`/122) attached‘
`registered attorney or agent) and the names of up to
`1:l"Fee Address" indication (or "Fee Address" Indication forrri
`2_ registered pate!!! attorneys 01' agents. If I10 name IS
`PTO/SBI47; Rev 03-02 or more recent) attached. Use of a Customer
`listed, no name will be printed.
`Number is required.
`3. ASSIGNEE NAMEAND RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
`
`(1) the names of up to 3 registered patent attorneys 1 as0nH- Vick
`
`2 Sheridan Ross P'C'
`3
`
`recordation as set forth in 37 C
`3.11. Completion of this fonri is NOT a substitute for filing an assignment.
`PLEASE NOTE: Unless an asgilgnee is identified below, no assignee data will appear on the patent.
`If an assignee is identified below. the document has been filed for
`(A) NAME OF ASSIGNEE
`(B) RESIDENCE: (CITY and STATE OR COUNTRY)
`
`Aware. Inc.
`
`Bedford, MA
`
`Please check the appropriate assignee category or categories (will not be printed on the patent) :
`
`1:1 Individual
`
`Corporation or other private group entity 1:1 Government
`
`4a The following fee(s) are submitted:
`Issue Fee
`1] Publication Fee (No small entity discount permitted)
`1: Advance Order — # of Copies
`5. Change in Entity Status (from status indicated above)
`CI b. Applicant is no longer clairriing SMALL ENTITY status. See 37 CFR l.27(g)(2).
`CI a. Applicant claims SMALL ENTITY slams. See 37 CFR 1.27.
`NOTE: The Issue Fee and Publication Fee (if required) will not be accepted from anyone other than the applicant; a registered attorney or agent; or the assignee or other party in
`interest as shown b the records of the United States Patent and Trademark Office.
`
`4b. Payment of Fee(s): (Please first reapply any previously paid issue fee shown above)
`D A check is enclosed.
`1: Payment by credit card. Form PTO-2038 is attached.
`13 The Director is hereby authorized to charge
`r
`uired fee(s), any deficiency, or credit anfy
`overpayment, to Deposit Account Number
`-
`(enclose an extra copy of this orm).
`
`Authorized Signature
`
`I X 1"“ 75
`Date
`45,285
`Registration No.
`
`This collection of infomiation is required by 37 CFR 1.311. The information is r uired 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 1.14.
`is collection is estimated to take 12 minutes to complete, including gathering. preparing, and
`subrintting the completed application form to the USPTO. Time will v
`dc endin upon the individual case. Any comments on the amount of time you re uire to com lele
`this fomi and/or su gestions for reducing this burden, should be sent to
`e C ief I orrnation Officer, U.S. Patent and Trademark Office, U.S. Department 0 Conn-rierce,T'.O.
`Box 1450, Alexan ria, Virginia 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.0. Box 1450,
`Alexandria, Virginia 22313-1450.
`Under the Paperwork Reduction Act of 1995. no persons are required to respond to a collection of infonnation unless it displays a valid OMB control number.
`
`PTOL—85 (Rev. 08/07) Approved for use through 08/31/2010.
`
`OMB 0651-D033
`
`U.S. Patent and Trademark Office; US. DEPARTMENT OF COMMERCE
`
`DISH
`
`Exhibit 1004 Page 10
`
`DISH
`Exhibit 1004 Page 10
`
`

`

`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`In Re the Application of: Marcos C. Tzarmes
`Application No.: 12/255,713
`Filed: October 22, 2008
`
`g Group Art Unit: 2611
`3 Examiner: WILLIAMS, LAWRENCE B
`) Conf1rmationNo.: 3870
`
`Atty. File No.2 5550-47—CON—3
`
`For: SYSTEM AND METHOD FOR SCRAMBLING THE PHASE OF THE CARRIERS IN
`A MULTICARRIER COMMUNICATIONS SYSTEM
`
`COMMENTS ON STATEMENT OF REASONS FOR ALLOWANCE
`
`Commissioner for Patents
`P.O. Box 1450
`
`Alexandria, VA 22313-1450
`
`Sir:
`
`Applicant submits this Comments on Statement of Reasons for Allowance to address
`
`further the Notice of Allowability (“Notice”) having a mailing date of May 18, 2010.
`
`In the Notice, the Examiner's stated reasons for allowance were that:
`
`The instant application discloses a method and transceiver for scrambling the
`phase characteristics of carriers for multicarrier communications. A search of
`prior art records has failed to teach or suggest, alone or in combination:
`
`A method to scramble the phase characteristics of carriers for multicarrier
`communications comprising:
`“assigning a carrier number to at least one carrier in a multicanier symbol;
`modulating, by a modulator, the at least one carrier with a QAM (Quadrature
`Amplitude Modulation) signal;
`determining a phase shift for the at least one carder based on the carrier
`number assigned to the at least one carrier wherein the phase shift is determined
`independently of the QAM signal; and
`combining the phase shift with a phase characteristic of the at least one
`carrier so as to substantially scramble the phase characteristics of the carrier” (pg.
`6, lines 1-24) as disclosed in claim 40.
`
`Attorney Docket No.: 5550-47-CON-3
`
`DISH
`
`Exhibit 1004 Page 11
`
`DISH
`Exhibit 1004 Page 11
`
`

`

`A multicarrier transceiver for randomizing scrambling the phase
`characteristics of carriers comprising:
`“a transmitter capable of assigning a carrier number to at least one carrier
`in a multicarrier symbol;
`a modulator capable of modulating the at least one carrier with a QAM
`(Quadrature Amplitude Modulation) signal; and
`a phase scrambler capable of determining a phase shift for the at least one
`carrier based on the carrier number assigned to the at least one carrier, wherein
`the phase shift is determined independently of the QAM signal, and combining
`the phase shift with a phase characteristic of the at least one carrier so as to
`substantially scramble the phase characteristics of the carrier” (Fig. 1, pg. 6, lines
`1-24) as disclosed in claim 43.
`
`Based on the Notice, the patentability of all other independent and dependent claims is
`
`assumed to be based upon the elements as set forth in such claims and that such claims meet all
`
`criteria for patentability under §101, §102, §103 and §1 12.
`
`As is clear from MPEP 1302.14,
`
`“The statement [of reasons for allowance] is not intended to necessarily state all
`the reasons for allowance or all the details why claims are allowed and should not
`be written to specifically or impliedly state that all the reasons for allowance are
`set forth.”
`
`While the stated Reasons for Allowance may be a stated reason for allowing some
`
`independent claims, Applicant submits that some independent claims may have a different
`
`reason for allowance and that some independent claims have other reasons for allowance.
`
`Specifically, the prior art fails to teach the specific combination of features as recited in
`
`the independent claims.
`
`Attorney Docket No.: 5550-47—CON-3
`
`DISH
`
`Exhibit 1004 Page 12
`
`DISH
`Exhibit 1004 Page 12
`
`

`

`Although the Applicant believes that no fees are due for filing this Comments on
`
`Statement of Reasons for Allowance, please charge any fees deemed necessary to Deposit
`
`Account No. 19-1970.
`
`Respectfully submitted,
`
`SHERIDAN ROSS P.C.
`
`Reg. No. 45,285
`1560 Broadway, Suite 1200
`Denver, Colorado 80202
`Telephone: 303-863-9700
`
`Attorney Docket No.: 5550-47-CON-3
`
`DISH
`
`Exhibit 1004 Page 13
`
`DISH
`Exhibit 1004 Page 13
`
`

`

`Electronic Patent Application Fee Transmittal
`
`Filing Date:
`
`22-Oct-2008
`
`T't'° °f '""°""°"’
`
`SYSTEM AND METHOD FOR SCRAMBLING THE PHASE OF THE CARRIERS IN A
`MULTICARRIER COMMUNICATIONS SYSTEM
`
`First Named Inventor/Applicant Name:
`
`Marcos C. Tzannes
`
`Filer:
`
`Jason Vick/JoanneVos
`
`Attorney Docket Number:
`
`5550-47-CON-3
`
`Filed as Large Entity
`
`Utility under 35 USC 1 1 1 (a) Filing Fees
`
`Description
`
`Sub-Total in
`USD($)
`
`Basic Filing:
`
`Pages:
`
`Claims:
`
`Miscellaneous-Filing:
`
`Patent-Appeals-and-Interference:
`
`Post-AlIowance-and-Post-Issuance:
`
`Utility Appl issue fee
`
`Publ. Fee- early, voluntary, or normal
`
`DISH
`
`Exhibit 1004 Page 14
`
`DISH
`Exhibit 1004 Page 14
`
`

`

`Description
`
`Extension-of-Time:
`
`Miscellaneous:
`
`Sub-Total in
`Usms)
`
`Total in USD ($)
`
`DISH
`
`Exhibit 1004 Page 15
`
`DISH
`Exhibit 1004 Page 15
`
`

`

`Electronic Acknowledgement Receipt
`
`7849800
`
`International Application Number:
`
`Confirmation Number:
`
`T'll° °f l""°"l'°"‘
`
`SYSTEM AND METHOD FOR SCRAMBLING THE PHASE OF THE CARRIERS IN A
`MULTICARRIER COMMUNICATIONS SYSTEM
`
`First Named Inventor/Applicant Name:
`
`Marcos C. Tzannes
`
`Customer Number:
`
`62574
`
`Filer Authorized By:
`
`Jason Vick
`
`Attorney Docket Number:
`
`5550-47-CON-3
`
`Filing Date:
`
`Time Stamp:
`
`22-OCT-2008
`
`18:36:01
`
`Application Type:
`
`Utility under 35 USC111(a)
`
`Payment information:
`
`Submitted with Payment
`
`ES
`
`y
`
`Authorized User
`
`The Director ofthe USPTO is hereby authorized to charge indicated fees and credit any overpayment as follows:
`Charge any Additional Fees required under 37 C.F.R. Section 1.16 (National application filing, search, and examination fees)
`
`Charge any Additional Fees required under 37 C.F.R. Section 1.17 (Patent application and reexamination processing fees)
`
`DISH
`
`Exhibit 1004 Page 16
`
`DISH
`Exhibit 1004 Page 16
`
`

`

`Charge any Additional Fees required under 37 C.F.R. Section 1.19 (Document supply fees)
`
`Charge any Additional Fees required under 37 C.F.R. Section 1.20 (Post Issuance fees)
`
`Charge any Additional Fees required under 37 C.F.R. Section 1.21 (Miscellaneous fees and charges)
`
`File Listing:
`
`Document
`Number
`
`.
`.
`Document Desmptlon
`
`.
`Flle Name
`
`File Size(Bytes)/
`Message Digest
`366053
`
`Part /.zip (if appl.)
`
`|ssue_fee_Payment.pdf
`
`f55e7lbc6aa8398126d548l402863bfa9aaa
`blaf
`
`Multipart Description/PDF files in .zip description
`
`lssue Fee Payment
`
`Information:
`
`Information:
`
`Fee Worksheet (PTO-875)
`
`fee-info.pdf
`
`477I'§ M7: il9S §lr4-11-(llfi9il( S71 98.417: K filllx
`03
`
`This Acknowledgement Receipt evidences receipt on the noted date by the USPTO ofthe indicated documents,
`characterized by the applicant, and including page counts, where applicable. It serves as evidence of receipt similar to a
`Post Card, as described in MPEP 503.
`
`New Applications Under 35 U.S.C. 111
`lfa new application is being filed and the application includes the necessary components for a filing date (see 37 CFR
`1.53(b)-(d) and MPEP 506), a Filing Receipt (37 CFR 1.54) will be issued in due course and the date shown on this
`Acknowledgement Receipt will establish the filing date of the application.
`
`National Stage of an International Application under 35 U.S.C. 371
`lfa timely submission to enter the national stage ofan international application is compliant with the conditions of 35
`U.S.C. 371 and other applicable requirements a Form PCT/D0lE0l903 indicating acceptance of the application as a
`national stage submission under 35 U.S.C. 371 will be issued in addition to the Filing Receipt, in due course.
`
`New International Application Filed with the USPTO as a Receiving Office
`lfa new international application is being filed and the international application includes the necessary components for
`an international filing date (see PCT Article 11 and MPEP 1810), a Notification of the International Application Number
`and ofthe International Filing Date (Form PCT/R0/105) will be issued in due course, subject to prescriptions concerning
`national security, and the date shown on this Acknowledgement Receipt will establish the international filing date of
`the application.
`
`DISH
`
`Exhibit 1004 Page 17
`
`DISH
`Exhibit 1004 Page 17
`
`

`

`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTIVIENT OF COIVIMERCE
`United States Patent and Trademark Office
`Address: CO_Vl'.\/IISSIONER FOR PATENTS
`P.O. B ’ 1450
`Alexa
`‘a, Virginia 2231 ‘Lt 450
`www.uspto.gov
`
`NOTICE OF ALLOWANCE AND FEE(S) DUE
`
`05/18/2010
`
`.
`
`62374
`Jason
`S]1e1~1da11 Ross, PC
`Suite # 1200
`1560 Broadway
`Denver,
`
`VHNER
`E
`Vv'ILLIAMS,LAWRENCE B
`ART UNIT
`PAPER NUMBER
`2611
`
`_
`3
`.4 IVIAILED. 05/18/2010
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRIVIATION NO.
`
`5550-47-CON-3
`Marcos C. Tzannes
`10/22/2008
`12/255,713
`TITLE OF INVENTION: SYSTEM AND METHOD FOR SCRAMBLING THE PHASE OF THE CARRIERS IN A MULTICARRIER
`COMMUNICATIONS SYSTEM
`
`3870
`
`APPLN. TYPE
`
`SMALL ENTITY
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE
`
`PREV. PAID ISSUE FEE
`
`TOTAL FEE(S) DUE
`
`nonprovisional
`
`NO
`
`S1510
`
`$300
`
`$0
`
`$1810
`
`DATE DUE
`
`08/18/2010
`
`THE APPLICATION IDENTIFIED ABOVE HAS BEEN EXAMINED AND IS ALLOVVED FOR ISSUANCE AS A PATENT.
`PROSECUTION E TIIE MERITS E CLOSED. TIIIS NOTICE OF ALLOWANCE IS NOT A GRANT OF PATENT RIGIITS.
`THIS APPLICATION IS SUBJECT TO VVITHDRAWAL FROM ISSUE AT THE INITIATIVE OF THE OFFICE OR UPON
`PETITION BY THE APPLICANT. SEE 37 CFR 1.313 AND MPEP 1308.
`
`THE ISSUE FEE AND PUBLICATION FEE (IF REQUIRED) MUST BE PAID WITHIN THREE MONTHS FROM THE
`l\IAILING DATE OF THIS NOTICE OR THIS APPLICATION SHALL BE REGARDED AS ABANDONED.
`TI-HS
`STATUTORY PERIOD CANNOT BE EXTENDED.
`SEE 35 U.S.C. 151. THE ISSUE FEE DUE INDICATED ABOVE DOES
`NOT REFLECT A CREDIT FOR ANY PREVIOUSLY PAID ISSUE FEE IN THIS APPLICATION.
`IF AN ISSUE FEE HAS
`PREVIOUSLY BEEN PAID IN THIS APPLICATION (AS SHOWN ABOVE), THE RETURN OF PART B OF THIS FORM
`WILL BE CONSIDERED A REQUEST TO REAPPLY THE PREVIOUSLY PAID ISSUE FEE TOWARD THE ISSUE FEE NOW
`DUE.
`
`HOW TO REPLY TO THIS NOTICE:
`
`1. Review the SMALL ENTITY status shown above.
`
`If the SMALL ENTITY is shown as YES, verify your current
`SMALL ENTITY status:
`
`If the SMALL ENTITY is shown as NO:
`
`A. If the status is the same, pay the TOTAL FEE(S) DUE shown
`above.
`
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`
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`
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