`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`______________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`______________________
`
`CAVIUM, INC.
`Petitioner
`
`v.
`
`ALACRITECH, INC.
`Patent Owner
`________________________
`
`Case IPR. No. Unassigned
`U.S. Patent No. 7,673,072
`Title: FAST-PATH APPARATUS FOR TRANSMITTING DATA
`CORRESPONDING TO A TCP CONNECTION
`________________________
`
`Petition For Inter Partes Review of U.S. Patent No. 7,673,072 Under
`35 U.S.C. §§ 311-319 and 37 C.F.R. §§ 42.1-.80, 42.100-.123
`
`Mail Stop “PATENT BOARD”
`Patent Trial and Appeal Board
`U.S. Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`DM2\7951305.4
`
`

`

`1.
`2.
`
`3.
`
`4.
`
`5.
`6.
`7.
`
`8.
`9.
`
`Petition for Inter Partes Review of U.S. Patent No. 7,673,072
`
`
`TABLE OF CONTENTS
`
`Page
`INTRODUCTION .......................................................................................... 1
`REQUIREMENTS FOR PETITION FOR INTER PARTES REVIEW ........ 1
`2.1. Grounds for Standing (37 C.F.R. § 42.104(a)) .................................... 1
`2.2. Notice of Lead and Backup Counsel and Service Information ............ 1
`2.3. Notice of Real-Parties-in-Interest (37 C.F.R. § 42.8(b)(1)) ................. 2
`2.4. Notice of Related Matters (37 C.F.R. § 42.8(b)(2)) ............................. 3
`2.5. Fee for Inter Partes Review ............................................................... 13
`2.6. Proof of Service .................................................................................. 14
`IDENTIFICATION OF CLAIMS BEING CHALLENGED
`(§42.104(B)) .................................................................................................. 14
`BACKGROUND OF THE TECHNOLOGY ............................................... 14
`4.1. TCP/IP ................................................................................................. 15
`4.2. UDP/IP ............................................................................................... 18
`4.3. Protocol Offload ................................................................................. 19
`OVERVIEW OF THE 072 PATENT ........................................................... 20
`072 PATENT PROSECUTION HISTORY ................................................. 24
`CLAIM CONSTRUCTION .......................................................................... 24
`7.1. Applicable Law .................................................................................. 24
`7.2. Construction of Claim Terms ............................................................. 25
`“context” ............................................................................................. 25
`“prepending” ....................................................................................... 25
`“status information” ........................................................................... 26
`PERSON HAVING ORDINARY SKILL IN THE ART ............................ 27
`DESCRIPTION OF THE PRIOR ART ........................................................ 28
`9.1.
`Tanenbaum96: A. Tanenbaum, Computer Networks, 3rd ed.
`(1996) ............................................................................................... 28
`9.2. U.S. Patent No. 5,768,618 (“Erickson”) .......................................... 31
`9.3. Motivations To Combine Erickson and Tanenbaum96 ................... 34
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`Petition for Inter Partes Review of U.S. Patent No. 7,673,072
`
`[1.2]
`
`[1.3]
`
`Express Motivations and Implementing TCP/IP on the
` Erickson I/O Device Adapter ........................................ 34
`10. GROUND #1: CLAIMS 1 – 21 ARE UNPATENTABLE AS
`OBVIOUS OVER ERICKSON IN VIEW OF TANENBAUM96 ............. 38
`10.1. Claim 1 is unpatentable as obvious over Erickson in view of
`Tanenbaum96 ................................................................................... 38
`[1.P] A method comprising: ......................................................... 38
`[1.1]
`establishing, at a host computer, a transport layer
`connection, including creating a context that includes
`protocol header information for the connection; ................. 38
`transferring the protocol header information to an
`interface device; ................................................................... 41
`transferring data from the network host to the interface
`device, after transferring the protocol header information
`to the interface device; .......................................................... 42
`[1.4] dividing, by the interface device, the data into segments;
` ............................................................................................... 43
`creating headers for the segments, by the interface
`device, from a template header containing the protocol
`header information; .............................................................. 46
`[1.6] prepending the headers to the segments to form transmit
`packets. .................................................................................. 49
`10.2. Claim 2 is unpatentable as obvious over Erickson in view of
`Tanenbaum96 .................................................................................... 50
`[2]
`The method of claim 1, further comprising transferring
`status information for the context to the interface
`device during the same operation as transferring
`protocol header information to the interface device. ........... 50
`10.3. Claim 3 is unpatentable as obvious over Erickson in view of
`Tanenbaum96 .................................................................................... 55
`[3]
`The method of claim 1, wherein creating headers for
`the segments includes adding status information to the
`template header. .................................................................. 55
`10.4. Claim 4 is unpatentable as obvious over Erickson in view of
`Tanenbaum96 .................................................................................... 58
`
`[1.5]
`
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`[4] The method of claim 1, wherein the protocol header
`information includes Internet Protocol (IP) addresses
`and Transmission Control Protocol (TCP) ports for the
`connection, and creating headers for the segments
`includes forming headers containing the IP addresses
`and TCP ports. ..................................................................... 58
`10.5. Claim 5 is unpatentable as obvious over Erickson in view of
`Tanenbaum96 .................................................................................... 59
`[5] The method of claim 1, wherein the protocol header
`information includes a Media Access Control (MAC)
`layer address, and creating headers for the segments
`includes forming headers containing the MAC layer
`address. ................................................................................ 59
`10.6. Claim 6 is unpatentable as obvious over Erickson in view of
`Tanenbaum96 .................................................................................... 60
`[6] The method of claim 1, further comprising adding to the
`context a descriptor for a buffer, in a memory of the
`computer, that has been allocated for application data. ....... 60
`10.7. Claim 7 is unpatentable as obvious over Erickson in view of
`Tanenbaum96 .................................................................................... 61
`[7]
`The method of claim 1, further comprising receiving,
`by the interface device, receive packets that correspond
`to the context, and updating the context by the interface
`device to account for the receive packets. .......................... 61
`10.8. Claim 8 is unpatentable as obvious over Erickson in view of
`Tanenbaum96 .................................................................................... 62
`[8]
`The method of claim 1, further comprising transmitting
`the transmit packets on a network. ...................................... 62
`10.9. Claim 9 is unpatentable as obvious over Erickson in view of
`Tanenbaum96 .................................................................................... 62
`[9.P] A method comprising: ............................................................. 62
`[9.1] creating, at a computer, a context including protocol
`information and status information for a network
`connection, the protocol information providing a
`template header for the network connection; ..................... 62
`
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`Petition for Inter Partes Review of U.S. Patent No. 7,673,072
`
`[9.2]
`
`[9.3]
`
`information and status
`the protocol
`transferring
`information to an interface device; ..................................... 64
`transferring data from the computer to the interface
`device, after transferring the protocol information and
`status information to the interface device; .......................... 65
`[9.4] dividing, by the interface device, the data into
`segments; ............................................................................. 65
`creating headers for the segments, by the interface
`device, from the template header; ....................................... 66
`[9.6] prepending the headers to the segments to form
`packets; ............................................................................... 66
`transmitting the packets on a network. ............................... 66
`[9.7]
`10.10. Claim 10 is unpatentable as obvious over Erickson in view of
`Tanenbaum96 .................................................................................... 66
`[10] The method of claim 9, wherein creating headers for the
`segments includes adding current status information to
`the template header, the current status information
`being different than the status information that was
`transferred to the interface device. ...................................... 66
`10.11. Claim 11 is unpatentable as obvious over Erickson in view of
`Tanenbaum96 ................................................................................... 68
`[11] The method of claim 9, wherein the protocol header
`information includes Internet Protocol (IP) addresses
`and Transmission Control Protocol (TCP) ports for the
`connection, and creating headers for the segments
`includes forming headers containing the IP addresses
`and TCP ports. .................................................................... 68
`10.12. Claim 12 is unpatentable as obvious over Erickson in view of
`Tanenbaum96 ................................................................................... 68
`[12] The method of claim 9, wherein the protocol header
`information includes a Media Access Control (MAC)
`layer address, and creating headers for the segments
`includes forming headers containing the MAC layer
`address. ................................................................................ 68
`10.13. Claim 13 is unpatentable as obvious over Erickson in view of
`Tanenbaum96 ................................................................................... 69
`
`[9.5]
`
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`[13] The method of claim 9, further comprising transferring to
`the interface device a descriptor for a buffer, in a
`memory of the computer, that has been allocated for
`application data that is transferred according to the
`protocol information. ........................................................... 69
`10.14. Claim 14 is unpatentable as obvious over Erickson in view of
`Tanenbaum96 ................................................................................... 70
`[14] The method of claim 9, further comprising receiving, by
`the interface device, receive packets that correspond to
`the protocol information, and updating the status
`information by the interface device to account for the
`receive packets. .................................................................... 70
`10.15. Claim 15 is unpatentable as obvious over Erickson in view of
`Tanenbaum96 ................................................................................... 71
`[15.P] A method comprising: ........................................................ 71
`[15.1] establishing, at a computer, a Transmission Control
`Protocol (TCP) connection corresponding to a context
`that includes status information and Internet Protocol
`(IP) addresses and TCP ports for the connection; ............. 71
`[15.2] transferring the context to an interface device; .................. 72
`[15.3]
`transferring data from the network host to the interface
`device; .................................................................................. 73
`[15.4] dividing, by the interface device, the data into
`segments; .............................................................................. 73
`[15.5] creating headers for the segments, by the interface
`device, from a template header that includes the IP
`addresses and TCP ports; ..................................................... 73
`[15.6] prepending the headers to the segments to form
`transmit packets. ................................................................. 73
`10.16. Claim 16 is unpatentable as obvious over Erickson in view of
`Tanenbaum96 ................................................................................... 73
`[16] The method of claim 15, wherein transferring the context
`to the interface device occurs prior to transferring the
`data to the interface device. ................................................ 73
`
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`10.17. Claim 17 is unpatentable as obvious over Erickson in view of
`Tanenbaum96 ................................................................................... 75
`[17] The method of claim 15, wherein creating headers for the
`segments includes adding current status information to
`the template header, the current status information
`being different than the status information that was
`transferred to the interface device. ....................................... 75
`10.18. Claim 18 is unpatentable as obvious over Erickson in view of
`Tanenbaum96 ................................................................................... 75
`[18] The method of claim 15, wherein the template header
`includes a Media Access Control (MAC) layer address,
`and creating headers for the segments includes forming
`headers containing the MAC layer address. ....................... 75
`10.19. Claim 19 is unpatentable as obvious over Erickson in view of
`Tanenbaum96 ................................................................................... 75
`[19] The method of claim 15, wherein the context includes a
`Media Access Control (MAC) layer address, and
`creating headers for the segments includes forming
`headers containing the MAC layer address. ....................... 75
`10.20. Claim 20 is unpatentable as obvious over Erickson in view of
`Tanenbaum96 ................................................................................... 76
`[20] The method of claim 15, further comprising adding to the
`context a descriptor for a buffer, in a memory of the
`computer, that has been allocated for application data ........ 76
`10.21. Claim 21 is unpatentable as obvious over Erickson in view of
`Tanenbaum96 ................................................................................... 76
`[21] The method of claim 15, further comprising receiving, by
`the interface device, receive packets that correspond to
`the context, and updating the status information by the
`interface device to account for the receive packets ............. 76
`11. CONCLUSION ............................................................................................. 76
`
`
`
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`Petition for Inter Partes Review of U.S. Patent No. 7,673,072
`
`TABLE OF AUTHORITIES
`
`Page(s)
`
`Cases
`Alacritech, Inc. v. CenturyLink, Inc.,
`2:16-cv-00693-JRG-RSP (E.D. Tex.) ....................................................................3
`Alacritech, Inc. v. Dell Inc.,
`2:16-cv-00695-RWS-RSP (E.D. Tex.) ...................................................................3
`Alacritech, Inc. v. Microsoft Corp.,
`3-04-cv-03284, (N.D. Cal) .....................................................................................3
`Alacritech, Inc. v. Wistron Corp.,
`2:16-cv-00692-JRG-RSP (E.D. Tex.) ....................................................................3
`Statutes
`33 U.S.C. § 102(e) ................................................................................................... 31
`35 U.S.C § 112 ......................................................................................................... 24
`35 U.S.C. § 102(e) ................................................................................................... 28
`35 U.S.C. § 103(a) ................................................................................................... 14
`35 U.S.C. §§ 311-319 ................................................................................................. 1
`37 C.F.R. § 42.10(b) .................................................................................................. 2
`37 C.F.R. § 42.100(b) .............................................................................................. 24
`37 C.F.R. § 42.104(a) ................................................................................................. 1
`37 C.F.R. § 42.105 ................................................................................................... 78
`37 C.F.R. § 42.15(a) ................................................................................................. 14
`37 C.F.R. § 42.6(e) ................................................................................................... 78
`37 C.F.R. § 42.8(b)(1) ................................................................................................ 2
`37 C.F.R. § 42.8(b)(2) ................................................................................................ 3
`37 C.F.R. §§ 42.1-.80 ................................................................................................. 1
`
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`Petition for Inter Partes Review of U.S. Patent No. 7,673,072
`
`37 C.F.R. §§ 42.10(a) ................................................................................................. 1
`37 C.F.R. §§ 42.100-.123 ........................................................................................... 1
`37 C.F.R. §§ 42.8(b)(3) .............................................................................................. 1
`37 C.F.R. §42.104(B) ............................................................................................... 14
`
`
`
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`Petition for Inter Partes Review of U.S. Patent No. 7,673,072
`
`Exhibit List
`
`Exhibit #
`
`Description
`
`Ex.1001
`
`U.S. Patent No. 7,673,072
`
`Ex.1002
`
`Prosecution File History of U.S. Patent No. 7,673,072
`
`Ex.1003
`
`Declaration of Robert Horst Declaration
`
`Ex.1004
`
`Curriculum Vitae of Robert Horst
`
`Ex.1005
`
`U.S. Patent No. 5,768,618 (“Erickson”)
`
`Ex.1006
`
`Ex.1007
`
`Ex.1008
`
`Ex.1009
`
`Tanenbaum, Andrew S., Computer Networks, Prentice-Hall, Inc.,
`New Jersey (1996). (“Tanenbaum96”)
`Transmission Control Protocol, “Darpa Internet Protocol
`Specification”, RFC: 793, Sept. 1981. (“RFC 793”)
`Stevens, W. Richard, TCP/IP Illustrated Volume 1: The Protocols,
`Addison-Wesley (1994). (“Stevens1”)
`
`Lilinkamp, J., Mandell. R. and Padlipsky, M., “Proposed Host-
`Front End Protocol”, Network Working Group Request for
`Comments: 929, Dec. 1984. (“RFC 929”)
`
`Ex.1010
`
`Number Not Used
`
`Ex.1011
`
`Declaration of Rice Mayors regarding Tanenbaum, Andrew S.,
`Computer Network
`
`Ex.1012
`
`Number Not Used
`
`Ex.1013
`
`Ex.1014
`
`Stevens, W. Richard and Gary R. Wright, TCP/IP Illustrated
`Volume 2: The Implementation, Addison-Wesley (1995).
`(“Stevens2”)
`Touch, J., “TCP Control Block Interdependence”, Network
`Working Group Request for Comments: 2140, April 1997. (“RFC
`2140”)
`
`
`DM2\7951305.4
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`
`

`

`Petition for Inter Partes Review of U.S. Patent No. 7,673,072
`
`Exhibit #
`
`Ex.1015
`
`Ex.1016
`
`Ex.1017
`
`Ex.1018
`
`Ex.1019
`
`Description
`Thia, Y.H., Woodside, C.M., “A Reduced Operation Protocol
`Engine (ROPE) for a Multiple-Layer Bypass Architecture”,
`Protocols for High Speed Networks (Dordrecht), 1995. (“Thia”)
`Biersack, E. W., Rütsche E., “Demultiplexing on the ATM
`Adapter: Experiments with Internet Protocols in User Space”,
`Journal on High Speed Networks, Vol. 5, No. 2, May 1996.
`(“Biersack”)
`Rütsche, E., Kaiserswerth, M., “TCP/IP on the Parallel Protocol
`Engine”, Proceedings, IFIP Conference on High Performance
`Networking, Liege (Belgium), Dec. 1992. (“Rütsche92”)
`Rütsche, E., “The Architecture of a Gb/s Multimedia Protocol
`Adapter”, Computer Communication Review, 1993. (“Rütsche93”)
`
`Padlipsky, M. A., “A Proposed Protocol for Connecting Host
`Computers to Arpa-Like Networks Via Directly-Connected Front
`End Processors”, Network Working Group RFC #647, Nov. 1974.
`(“RFC 647”)
`
`Ex.1020
`
`U.S. Patent No. 5,619,650 (“Bach”)
`
`Ex.1021
`
`Ex.1022
`
`Ex.1023
`
`Ex.1024
`
`U.S. Patent No. 5,915,124 (“Morris”)
`Cooper, E.C., et al., “Protocol Implementation on the Nectar
`Communication Processor”, School of Computer Science, Carnegie
`Mellon University, Sept. 1990. (“Cooper”)
`Kung, H.T., et al., “A Host Interface Architecture for High-Speed
`Networks”, School of Computer Science, Carnegie Mellon
`University and Network Systems Corporation. (“Kung”)
`
`Exhibit D to Declaration of Dr. Gregory L. Chesson in Support of
`Microsoft’s Opposition to Alacritech’s Motion for Preliminary
`Injunction: “Protocol Engine Handbook”, Protocol Engines
`Incorporated, Oct. 1990. (“Chesson”)
`
`
`DM2\7951305.4
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`x
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`

`

`Petition for Inter Partes Review of U.S. Patent No. 7,673,072
`
`Description
`Kanakia, H., Cheriton, D.R., “The VMP Network Adapter Board
`(NAB): High-Performance Network Communication for
`Multiprocessors”, Communications Architectures & Protocols,
`Stanford University, Aug. 1988. (“Kanakia”)
`Kung, H.T., Cooper, E.C., et al., “Network-Based Multicomputers:
`An Emerging Parallel Architectures”, School of Computer Science,
`Carnegie Mellon University. (“Kung and Cooper”)
`Dalton, C., et al., “Afterburner: Architectural Support for High-
`Performance Protocols”, Networks & Communications
`Laboratories, HP Laboratories Bristol, July 1993. (“Dalton”)
`Murphy, E., Hayes, S., Enders, M., TCP/IP Tutorial and Technical
`Overview Fifth Edition, Prentice-Hall, Inc. New Jersey, (1995).
`(“Murphy”)
`MacLean, A.R., Barvick, S. E., “An Outboard Processor for High
`Performance Implementation of Transport Layer Protocols”, IEEE
`Globecom ‘91, Phoenix, AZ, Dec. 1991. (“MacLean”)
`Clark, D.D., et al., “An Analysis of TCP Processing Overhead”,
`IEEE Communications Magazine, June 1989. (“Clark”)
`U.S. Provisional Application 60/061,809 (“Alacritech 1997
`Provisional Application”)
`Culler, E.C., et al., “Parallel Computing on the Berkeley NOW”,
`Computer Science Division, University of California, Berkeley.
`(“Culler”)
`“Gigabit Ethernet Technical Brief: Achieving End-to-End
`Performance”, Alteon Networks, Inc. First Edition, Sept. 1996.
`(“Alteon”)
`Smith, J.A., Primmer, M., “Tachyon: A Gigabit Fibre Channel
`Protocol Chip”, Hewlett-Packard Journal, Article 12, Oc. 1996.
`(“Smith”)
`
`Exhibit #
`
`Ex.1025
`
`Ex.1026
`
`Ex.1027
`
`Ex.1028
`
`Ex.1029
`
`Ex.1030
`
`Ex.1031
`
`Ex.1032
`
`Ex.1033
`
`Ex.1034
`
`
`DM2\7951305.4
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`xi
`
`

`

`Petition for Inter Partes Review of U.S. Patent No. 7,673,072
`
`Description
`Patterson, D.A., Hennessy, J.L., Computer Architecture: A
`Quantitative Approach, Morgan Kaufmann Publishers, Inc., San
`Mateo, CA (1990). (“Patterson”)
`Internet Protocol, “Darpa Internet Protocol Specification”, RFC:
`791, Sept. 1981. (“RFC 791”)
`
`Numbers Not Used
`
`Alacritech’s Opening Claim Construction Brief (Alacritech, Inc. v.
`Dell Inc, Intel Corporation, et al.)
`
`Numbers Not Used
`
`Alacritech’s Infringement Contentions For Cavium Ex. 2 - 072
`(Cavium) LR 3-1 Infringement Chart
`
`Exhibit #
`
`Ex.1035
`
`Ex.1036
`
`Ex.1037-
`Ex.1039
`
`Ex.1040
`
`Ex.1041-
`Ex.1081
`
`Ex.1082
`
`
`
`
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`Petition for Inter Partes Review of U.S. Patent No. 7,673,072
`
`
`1.
`
`INTRODUCTION
`Pursuant to 35 U.S.C. §§ 311-319 and 37 C.F.R. §§ 42.1-.80, 42.100-.123,
`
`Cavium, Inc. (“Petitioner” or “Cavium”) hereby petitions the Patent Trial and
`
`Appeal Board to institute an inter partes review of claims 1 – 21 of U.S. Patent No.
`
`7,673,072, titled “Fast-Path Apparatus For Transmitting Data Corresponding to a
`
`TCP Connection” (Ex.1001, the “072 Patent”), and cancel those claims as
`
`unpatentable.
`
`2.
`
`REQUIREMENTS FOR PETITION FOR INTER PARTES REVIEW
`2.1. Grounds for Standing (37 C.F.R. § 42.104(a))
`Petitioner certifies that the 072 Patent is available for inter partes review and
`
`that Petitioner is not barred or estopped from requesting inter partes review of the
`
`challenged claims of the 072 Patent on the grounds identified herein.
`
`2.2. Notice of Lead and Backup Counsel and Service Information
`Pursuant to 37 C.F.R. §§ 42.8(b)(3), 42.8(b)(4), and 42.10(a), Petitioner
`
`provides the following designation of Lead and Back-Up counsel.
`
`Lead Counsel
`Patrick D. McPherson
`USPTO Reg. No. 46,255
`DUANE MORRIS LLP
`509 9th St. NW, Ste. 1000
`Washington, D.C. 20004
`P: (202) 776-5214
`F: (202) 776-7801
`(PDMcPherson@duanemorris.com)
`
`Back-Up Counsel
`David T. Xue, Ph.D.
`USPTO Reg. No. 54,554
`DUANE MORRIS LLP
`2475 Hanover St.
`Palo Alto, CA 94304-1194
`P: (650) 847-4153
`F: (650) 644-0459
`(DTXue@duanemorris.com)
`
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`

`Petition for Inter Partes Review of U.S. Patent No. 7,673,072
`
`Lead Counsel
`Postal & Hand-Delivery Address:
`Patrick D. McPherson
`Duane Morris LLP
`505 9th Street, N.W., Suite 1000
`Washington, DC 20004
`Tel: (202) 776-5214
`Fax: (202) 776-7801
`
`Attorney for Cavium, Inc.
`
`Back-Up Counsel
`Postal & Hand-Delivery Address:
`David T. Xue, Ph. D.
`Duane Morris LLP
`2475 Hanover St.
`Palo Alto, CA 94304
`Tel: (650) 847-4153
`Fax: (650) 644-0459
`
`Attorneys for Cavium, Inc.
`
`Pursuant to 37 C.F.R. § 42.10(b), a Power of Attorney for Petitioner is
`
`attached.
`
`2.3. Notice of Real-Parties-in-Interest (37 C.F.R. § 42.8(b)(1))
`
`Petitioner, Cavium, Inc., is the real-party-in-interest. No other parties
`
`exercised or could have exercised control over this petition; no other parties funded
`
`or directed this Petition. See Office Patent Trial Practice Guide, 77 Fed. Reg.
`
`48759-60.
`
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`Petition for Inter Partes Review of U.S. Patent No. 7,673,072
`
`2.4. Notice of Related Matters (37 C.F.R. § 42.8(b)(2))
`The following judicial or administrative matters may affect or be affected by
`
`a decision in this proceeding: Alacritech, Inc. v. CenturyLink, Inc., 2:16-cv-00693-
`
`JRG-RSP (E.D. Tex.); Alacritech, Inc. v. Wistron Corp., 2:16-cv-00692-JRG-RSP
`
`(E.D. Tex.); Alacritech, Inc. v. Dell Inc., 2:16-cv-00695-RWS-RSP (E.D. Tex.). In
`
`addition to this Petition, Petitioner is filing petitions for U.S. Patent Nos. 8,805,948;
`
`7,237,036; 7,124,205; 7,337,241; 7,945,699; 8,131,880; and 9,055,104. Alacritech
`
`has asserted one or more of the Asserted Patents or patents related to the Asserted
`
`Patents in the following actions:
`
`1.
`
`U.S. Patent Nos. 6,427,171 and 6,697,868 were asserted in Alacritech,
`
`Inc. v. Microsoft Corp., 3-04-cv-03284, (N.D. Cal);
`
`2.
`
`U.S. Patent Nos. 7,124,205; 7,237,036; 7,337,241; 7,673,072;
`
`8,131,880; 8,805,948; and 9,055,104 are asserted in Alacritech, Inc. v. Wistron
`
`Corp., 2:16-cv-00692-JRG-RSP (E.D. Tex.);
`
`3.
`
`U.S. Patent Nos. 7,124,205; 7,237,036; 7,337,241; 7,673,072;
`
`8,131,880; 8,805,948; 9,055,104; and 7,945,699 are asserted in Alacritech, Inc. v.
`
`Dell Inc., 2:16-cv-00695-RWS-RSP (E.D. Tex.).
`
`4.
`
`U.S. Patent Nos. 7,124,205; 7,237,036; 7,337,241; 7,673,072;
`
`8,131,880; 8,805,948; 9,055,104; and 7,945,699 are asserted in Alacritech, Inc. v.
`
`CenturyLink, Inc., 2:16-cv-00693-JRG-RSP (E.D. Tex.).
`
`
`DM2\7951305.4
`
`3
`
`

`

`Petition for Inter Partes Review of U.S. Patent No. 7,673,072
`
`The 072 Patent is subject to a pending request for IPR filed by Intel on May
`
`9, 2017 (IPR2017-01406).
`
`The patent family to which the 036 Patent belongs contains 19 additional U.S.
`
`patents:
`
`1.
`
`U.S. Patent Application No. 11/821,820 (filed Jun. 25, 2007, issued
`
`Mar. 2, 2010 as 7,673,072 patent);
`
`2.
`
`U.S. Patent Application No. 10/092,967 (filed Mar. 6, 2002, issued Jul.
`
`8, 2003 as 6,591,302 patent);
`
`3.
`
`U.S. Patent Application No. 10/023,240 (filed Dec. 17, 2001, issued
`
`Nov. 15, 2005 as 6,965,941 patent);
`
`4.
`
`U.S. Patent Application No. 09/970,124 (filed Oct. 2, 2001, issued
`
`Oct. 17, 2006 as 7,124,205 patent);
`
`5.
`
`U.S. Patent Application No. 09/855,979 (filed May 14, 2001, issued
`
`Nov. 7, 2006 as 7,133,940 patent);
`
`6.
`
`U.S. Patent Application No. 09/802,426 (filed Mar. 9, 2001, issued
`
`May 9, 2006 as 7,042,898 patent);
`
`7.
`
`U.S. Patent Application No. 09/802,550 (filed Mar. 9, 2001, issued
`
`Dec. 2, 2003 as 6,658,480 patent);
`
`8.
`
`U.S. Patent Application No. 09/802,551 (filed Mar. 9, 2001, issued
`
`Jul. 11, 2006 as 7,076,568 patent);
`
`
`DM2\7951305.4
`
`4
`
`

`

`Petition for Inter Partes Review of U.S. Patent No. 7,673,072
`
`9.
`
`U.S. Patent Application No. 09/801,488 (filed Mar. 7, 2001, issued
`
`Feb. 3, 2004 as 6,687,758 patent);
`
`10. U.S. Patent Application No. 09/789,366 (filed Feb. 20, 2001, issued
`
`Jun. 29, 2004 as 6,757,746 patent);
`
`11. U.S. Patent Application No. 09/675,700 (filed Sept. 29, 2000, issued
`
`Dec. 31, 2013 as 8,621,101 patent);
`
`12. U.S. Patent Application No. 09/675,484 (filed Sept. 29, 2000, issued
`
`Oct. 19, 2004 as 6,807,581 patent);
`
`13. U.S. Patent Application No. 09/514,425 (filed Feb. 28, 2000, issued
`
`Jul. 30, 2002 as 6,427,171 patent);
`
`14. U.S. Patent Application No. 09/464,283 (filed Dec. 15, 1999, issued
`
`Jul. 30, 2002 as 6,427,173 patent);
`
`15. U.S. Patent Application No. 09/439,603 (filed Nov. 12, 1999, issued
`
`Jun. 12, 2001 as 6,247,060 patent);
`
`16. U.S. Patent Application No. 09/416,925 (filed Oct. 13, 1999, issued
`
`Oct. 22, 2002 as 6,470,415 patent);
`
`17. U.S. Patent Application No. 09/384,792 (filed Aug. 27, 1999, issued
`
`Aug. 13, 2002 as 6,434,620 patent);
`
`18. U.S. Patent Application No. 09/141,713 (filed Aug. 28, 1998, issued
`
`May 14, 2002 as 6,389,479 patent);
`
`
`DM2\7951305.4
`
`5
`
`

`

`Petition for Inter Partes Review of U.S. Patent No. 7,673,072
`
`19. U.S. Patent Application No. 60/098,296 (expired);
`
`20. U.S. Patent Application No. 09/067,544 (filed Apr. 27, 1998, issued
`
`May 1, 2001 as 6,226,680 patent);
`
`21. U.S. Patent Application No. 60/061,809 (expired).
`
`The patent family to which the 205 Patent belongs contains 5 additional U.S.
`
`patents:
`
`1.
`
`U.S. Patent Application No. 10/092,967 (filed Mar. 6, 2002, issued Jul.
`
`8, 2003 as 6,591,302 patent);
`
`2.
`
`U.S. Patent Application No. 10/260,112 (filed Sept. 27, 2002, issued
`
`Jul. 26, 2007 as 7,237,036 patent);
`
`3.
`
`U.S. Patent Application No. 10/261,051 (filed Sept. 30, 2002, issued
`
`Sept. 13, 2011 as 8,019,901 patent);
`
`4.
`
`U.S. Patent Application No. 11/821,820 (filed Jun. 25, 2007, issued
`
`Mar. 2, 2010 as 7,673,072 patent);
`
`5.
`
`U.S. Patent Application No. 11/582,199 (filed Oct. 16, 2006, issued
`
`Feb. 16, 2010 as 7,664,883 patent).
`
`The patent family to which the 072 Patent belongs contains 19 additional U.S.
`
`patents:
`
`1.
`
`U.S. Patent Application No. 10/260,112 (filed Sept. 27, 2002, issued
`
`Jul. 26, 2007 as 7,237,036 patent);
`
`
`DM2\7951305.4
`
`6
`
`

`

`Petition for Inter Partes Review of U.S. Patent No. 7,673,072
`
`2.
`
`U.S. Patent Application No. 10/092,967 (filed Mar. 6, 2002, issued
`
`Jul. 8, 2003 as 6,591,302 patent);
`
`3.
`
`U.S. Patent Application No. 10/023,240 (filed Dec. 17, 2001, issued
`
`Nov. 15, 2005 as 6,965,941 patent);
`
`4.
`
`U.S. Patent Application No. 09/970,124 (filed Oct. 2, 2001, issued Oct.
`
`17, 2006 as 7,124,205 patent);
`
`5.
`
`U.S. Patent Application No. 09/855,979 (filed May 14, 2001, issued
`
`Nov. 7, 2006 as 7,133,940 patent);
`
`6.
`
`U.S. Patent Application No. 09/802,426 (filed Mar. 9, 2001, issued
`
`May 9, 2006 as 7,042,898 patent);
`
`7.
`
`U.S. Patent Application No. 09/802,550 (filed Mar. 9, 2001, issued
`
`Dec. 2, 2003 as 6,658,480 patent);
`
`8.
`
`U.S. Patent Application No. 09/802,551 (filed Mar. 9, 2001, issued Jul.
`
`11, 2006 as 7,076,568 patent);
`
`9.
`
`U.S. Pat