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`Paper No. 19
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________
`
`UNIFIED PATENTS INC.
`Petitioner,
`
`v.
`
`UNIVERSAL SECURE REGISTRY LLC
`Patent Owner
`____________
`
`Case IPR2018-00809
`U.S. Patent No. 9,530,137
`____________
`
`PATENT OWNER’S CONDITIONAL MOTION TO AMEND
`UNDER 37 C.F.R. § 42.121
`
`
`
`

`

`
`
`
`
`TABLE OF CONTENTS
`
`Page
`
`TABLE OF AUTHORITIES .......................................................................... ii
`
`LIST OF EXHIBITS ...................................................................................... iii
`
`I.
`
`II.
`
`INTRODUCTION .................................................................................1
`
`THE SUBSTITUTE CLAIMS ARE OF NARROWER SCOPE .........2
`
`III. THE NUMBER OF SUBSTITUTE CLAIMS IS
`REASONABLE .....................................................................................3
`
`IV. THE SUBSTITUTE CLAIMS ADD NO NEW SUBJECT
`MATTER ...............................................................................................3
`
`V.
`
`SUBSTITUTE CLAIMS RESPOND TO GROUNDS OF
`RECORD ............................................................................................ 11
`
`VI. CONCLUSION .................................................................................. 12
`
`APPENDIX A ............................................................................................... A1
`
`APPENDIX B ............................................................................................... B1
`
`
`
`i
`
`

`

`
`
`TABLE OF AUTHORITIES
`
`Cases
`
`Page
`
`Aqua Products, Inc. v. Joseph Matal et al.,
`Case No. 2015-1177 (Fed. Cir. Oct. 4, 2017) ............................................. 1
`
`Statutory Authorities
`
`35 U.S.C. § 316(d) .......................................................................................... 1
`
`35 U.S.C. § 316(d)(1)(B) ................................................................................ 3
`
`35 U.S.C. § 316(d)(3) ..................................................................................... 2
`
`Rules and Regulations
`
`37 C.F.R. § 42.121 .......................................................................................... 1
`
`37 C.F.R. § 42.121(a)(2) ............................................................................... 11
`
`37 C.F.R. § 41.121(a)(2)(ii) ............................................................................ 2
`
`37 C.F.R. § 42.121(a)(3) ................................................................................. 3
`
`
`
`
`
`ii
`
`

`

`
`
`
`
`
`
`
`LIST OF EXHIBITS
`
`Exhibit #
`
`Description
`
`Ex. 2001
`
`Declaration of M. Jakobsson ISO Preliminary Response
`
`Ex. 2002
`
`CV of Markus Jakobsson
`
`Ex. 2003
`
`USR Disclaimer
`
`Ex. 2004
`
`Declaration ISO Motion Pro Hac Vice Harold Barza
`
`Ex. 2005
`
`Declaration ISO Motion Pro Hac Vice Jordan Kaericher
`
`Ex. 2006
`
`U.S. Application No. 15/019,660.
`
`Ex. 2007
`
`U.S. Application No. 11/677,490.
`
`Ex. 2008
`
`U.S. Provisional Application No. 60/775,046.
`
`Ex. 2009
`
`U.S. Provisional Application No. 60/812,279.
`
`Ex. 2010
`
`Declaration Jakobsson ISO Patent Owner’s Response
`
`Ex. 2011
`
`Deposition Transcript of Victor Shoup
`
`Ex. 2012
`
`IBM Zurich – The State of the Art in Electronic Payment
`Systems
`
`Ex. 2013
`
`Vol. 5 No. 4 Baddeley Using E-cash
`
`EX. 2014
`
`Declaration by Dr. Markus Jakobsson Ph.D.
`
`EX. 2015
`
`U.S. Provisional Application No. 60/859,235.
`
`iii
`
`

`

`Case No. IPR2018-00809
`U.S. Patent No. 9,530,137
`
`I.
`
`INTRODUCTION
`
`Pursuant to 35 U.S.C. § 316(d) and 37 C.F.R. § 42.121, Patent Owner
`
`Universal Secure Registry LLC (“PO”) submits this conditional motion (“Motion”)
`
`to substitute proposed claims 13-21 shown in Appendix A for original claims 1-7,
`
`9, and 12 of U.S. Patent No. 9,530,137 (“the ’137 Patent”) should any of claims 1,
`
`2, 5-7, 9, and 12 (“Challenged Claims”) be found unpatentable. PO has conferred
`
`with the Board prior to filing this Motion, as required by 37 C.F.R. § 42.121, and
`
`the Board authorized the filing of this Motion in an Order Conduct of Proceeding
`
`entered January 8, 2019. See Paper 17.
`
`The proposed substitute claims satisfy the requisite showing for a motion to
`
`amend, as they (1) “do not impermissibly enlarge the scope of the claims;” (2)
`
`present a “reasonable number of substitute claims;” (3) “do not introduce new
`
`subject matter;” and (4) “respond to a ground of unpatentability in the trial.” See 35
`
`U.S.C. § 316(d); 37 C.F.R. § 42.121. Patent Owner has thus met its burden of
`
`production. Aqua Products, Inc. v. Joseph Matal et al., Case No. 2015-1177 (Fed.
`
`Cir. Oct. 4, 2017) (en banc). Accordingly, should the Board find any original
`
`Challenged Claim unpatentable in this proceeding, PO respectfully requests that
`
`the Board grant this Motion to Amend with respect to each corresponding
`
`substitute claim presented herein.
`
`
`
`1
`
`

`

`
`
`II. THE SUBSTITUTE CLAIMS ARE OF NARROWER SCOPE
`
`Sections 316(d)(3) and 41.121(a)(2)(ii) require that an amendment not
`
`“enlarge the scope of the claims of the patent….” Here, the proposed substitute
`
`claims do not broaden the scope of the original claims.
`
`Substitute independent claims 13 and 21 include all of the original features
`
`of original independent claims 1 and 12, respectively, and further include: “credit
`
`and/or debit card transaction” (claim 1); “at least three separable fields” (claim 1);
`
`“the first authentication information including a multi-digit identification (ID) code
`
`allowing a networked validation-information entity to map the multi-digit ID code
`
`to a credit and/or debit card number” and “the second device being the networked
`
`validation-information entity configured to enable the credit and/or debit card
`
`transaction based on authentication of the user” (claims 1 and 121).
`
`Substitute dependent claim 17 amends claim 5 to further include, “the first
`
`device communicates with the second device periodically to prevent intentional
`
`deletion of information stored at the first device.” Substitute claim 18 amends
`
`claim 6 to further include, “the first authentication information further including a
`
`digital signature generated using a private key associated with the first device.”
`
`Substitute claim 20 amends claim 9 to further include, “wherein the enablement
`
`signal includes a random code to authenticate the second device to the first
`
`
`1 Claim 12 recites “financial account ” not “credit and/or debit card.”
`
`
`
`2
`
`

`

`
`
`device.” The remaining substitute dependent claims depend from the newly
`
`amended independent claims.
`
`III. THE NUMBER OF SUBSTITUTE CLAIMS IS REASONABLE
`
`Sections 316(d)(1)(B) and 42.121(a)(3) require that, for each Challenged Claim,
`
`Patent Owner “propose a reasonable number of substitute claims.” There exists a
`
`“presumption…that only one substitute claim would be needed to replace each
`
`challenged claim.” § 42.121(a)(3). Consistent with this presumption, the present
`
`Motion provides only one substitute claim for each Challenged Claim.
`
`IV. THE SUBSTITUTE CLAIMS ADD NO NEW SUBJECT MATTER
`
`The chart below includes a non-exhaustive list of citations where support
`
`can be found for the substitute claims from the original filing of the ’137 Patent
`
`(i.e., Ex. 2006 U.S. Appl. No. 15/019,660 (“’660 Application”)). The chart also
`
`provides support to priority documents, namely, three provisional applications
`
`(collectively “Provisional Applications”) and a non-provisional application (i.e.,
`
`Ex. 2007 U.S. App. No. 11/677,490) (“’490 Application”)). The Provisional
`
`Applications include: Ex. 2008 appl. no. 60/775,046 (“’046 Application”); Ex.
`
`2009 appl. no. 60/812,279 (“’279 Application”); and Ex. 2015 appl. no.
`
`60/859,235 (“’235 Application”)). Appendix B maps the substitute claims provided
`
`in Appendix A to the corresponding claim notations used in the chart below.
`
`For example, with respect to claim limitation 13[c], the ’660 Application
`
`
`
`3
`
`

`

`
`
`discloses in FIG. 21 and at 38:6-19 a first device 2110 having a wireless
`
`transceiver 2114, 2142 coupled to a processor 2116 that communicates signals to a
`
`second wireless device. Ex. 2014, Jakobsson at ¶ 34. FIG. 23 illustrates and 42:24-
`
`44:12 describes that the first wireless signal 300 transmitted from the first device to
`
`the second device may include a plurality of different fields, such as “a digital
`
`signature field 306 containing a digital signature of the first user,” “a public ID
`
`field 304,” and an “other ID data field 314,” any one or combination of which may
`
`include non-limiting, non-exclusive examples of the claimed “first authentication
`
`information.” Ex. 2014, Jakobsson at ¶ 34. FIG. 7 and 23:34-24:2 explains that the
`
`public ID code can be used by a credit card company (e.g., one non-limiting, non-
`
`exclusive example of a “networked validation-information entity”) to map the ID
`
`code to the correct card number. Page 10, lines 27-29 of the ’660 Application
`
`further describe that “a networked credit card validation-information entity [is]
`
`configured to approve and deny financial transactions based on authentication of
`
`the user.” Ex. 2014, Jakobsson at ¶ 34. Similar support can be found in the
`
`Provisional Applications and ’490 Application, as identified in the chart below.
`
`As another example, with respect to claim limitation 13[e], FIG. 23 and
`
`42:24-44:12 describe how the aforementioned signal 300 (e.g., claimed “one or
`
`more signals”) may have a plurality of fields 302-314 that may be transmitted from
`
`the first device to the second device. Ex. 2014, Jakobsson at ¶ 35. As illustrated in
`
`
`
`4
`
`

`

`
`
`FIG. 23 and described in 42:24-44:12, the fields are separate from one another
`
`and/or are separable from one another once received by the second device. Ex.
`
`2014, Jakobsson at ¶ 35. For example, the second device may receive one or more
`
`of these fields in encrypted form and decrypt the encrypted fields to recover the
`
`separate fields. See, e.g., 42:24-44:12. As just one non-limiting, non-exclusive
`
`example, the public ID field 304, the digital signature field 306, and/or the other ID
`
`field 314 may include the claimed first authentication information, the one-time
`
`time varying code field 308 may include the claimed time varying value, and the
`
`biometric data field 312 may include the claimed indicator of biometric
`
`authentication. Ex. 2014, Jakobsson at ¶ 35. Further, the ’660 Application
`
`describes that the second device may be a networked validation-information entity
`
`configured
`
`to enable
`
`the credit and/or debit card
`
`transaction based on
`
`authentication of the user. See, e.g., ’660 Application 10:27-29, 59:3-9; Ex. 2014,
`
`Jakobsson at ¶ 35. Similar support can be found in one or more of the Provisional
`
`Applications and the ’490 Application, as identified in the chart below.
`
`Substitute independent claim 21 substantively includes one or more of the
`
`aforementioned claim features and thus the ’660 Application, the ’490 Application,
`
`and one or more of the Provisional Applications provide support for such
`
`limitations for the same reasons explained above and set forth in the chart below.
`
`Ex. 2014, Jakobsson at ¶ 36.
`
`
`
`5
`
`

`

`
`
`As another example, with respect to limitation 17[a], the ’660 Application
`
`discloses that the first device communicates with the second device periodically to
`
`prevent intentional deletion of the information stored at the first device. See, e.g.,
`
`’660 Application at 40:19-24 (where first device communicates periodically with
`
`“secure database 2146,” which may be considered part of the claimed “second
`
`device”); Ex. 2010, Jakobsson Decl. at ¶ 37. With respect to limitation 18[b], the
`
`’660 Application explains that the first authentication information may include a
`
`digital signature generated using a private key associated with the first device. See,
`
`e.g., ’660 Application at 42:24-44:12 (signal 300 includes a plurality of fields, one
`
`of which may be a digital signature field 306 that may include the “first
`
`authentication information”); Ex. 2010, Jakobsson Decl. at ¶ 37. With respect to
`
`limitation 20[b], the ’660 Application describes that an enablement signal may
`
`include a random code to authenticate the second device to the first device. See,
`
`e.g., ’660 Application at 48:17-19 (enablement signal received by first device
`
`includes random code to authenticate the secure database (e.g., may be part of
`
`claimed “second device”) to the first device); Ex. 2010, Jakobsson Decl. at ¶ 37.
`
`Similar support for the claim limitations above and other claim limitations can also
`
`be found in the Provisional Applications and the ’490 Application, as shown
`
`below.
`
`
`
`
`
`6
`
`

`

`Exemplary Support in
`Provisional Applications
`
`
`
`13[pre]
`
`13[a]
`
`38:6-19 (40:4-18), FIG. 21, FIG. 28,
`Cl. 1; Ex. 2014 at ¶42.
`
`Claims Exemplary Support in ’660 App.
`and ’490 App.2
`Proposed Claim 13
`8:19-9:8 (9:4-26), 10:27-29, 23:20-
`See, e.g., ’046 Application at
`24:11 (23:7-24:3), 38:6-19 (40:4-18),
`7:12-19; 16:1-5, FIG. 1, Cl. 38;
`51:8-16 (55:3-12), FIG. 7, FIG. 21,
`See, e.g., ’279 Application at
`Cl. 1; Ex. 2014 at ¶41.
`18:27-19:25, 36:3-15, FIG. 21, Cl.
`37, Cl. 64; Ex. 2014 at ¶41.
`’279 Application at 36:3-15, FIG.
`21, Cl. 37, Cl. 64;
`’046 Application at 4:22-25, FIG.
`1; Ex. 2014 at ¶42.
`’279 Application at 36:3-15,
`36:16-37:2, FIG. 21, Cl. 64;
`’046 Application at 6:17-29, 11:2-
`10, FIG. 1; Ex. 2014 at ¶43.
`’279 Application at 5:3-6:2,
`19:13-15, 36:3-15, 39:15-26,
`41:8-42:8, 43:1-3, 43:8-11, 44:7-
`45:8, FIG. 7, FIG. 21, FIG. 23, Cl.
`37, Cl. 64;
`’046 Application at 7:12-19; 16:1-
`5, FIG. 1, Cl. 38; Ex. 2014 at ¶44.
`
`38:6-19 (40:4-18), 38:20-39:2 (40:19-
`41:3), FIG. 21, FIG. 28, Cl. 1; Ex.
`2014 at ¶43.
`
`13[b]
`
`13[c]
`
`6:26-7:26 (7:3-8:8), 9:9-29, 10:23-
`11:6, 23:34-24:2 (23:23-25), 38:6-19
`(40:4-18), 41:7-15 (43:18-27), 42:24-
`43:18 (45:10-46:9), 44:3-16 (46:30-
`47:12), 45:7-46:2 (48:7-49:7), 47:1-
`13 (50:10-20), 48:1-10 (51:15-25),
`51:8-16 (55:3-12), 59:3-9 (64:6-12),
`
`2 The ’137 patent claims priority to the ’490 App. through a series of continuation
`
`applications. The specification of the ’490 App. is substantially identical to the
`
`’660 App., and therefore parallel citations to the ’490 App. are provided in
`
`parentheses after citations to the ’660 App to establish priority to the ’490 App.
`
`Cited figure numbers also identify corresponding figures of the ’660 App. The
`
`remaining patents to which the ’137 patent claims priority are likewise
`
`substantively identical to the ’137 specification and, for the same reasons set forth
`
`herein, also support the proposed amended claims.
`
`
`
`7
`
`

`

`
`
`
`
`FIG. 7, FIG. 21, FIG. 23, FIG. 28, Cl.
`1; Ex. 2014 at ¶44.
`38:20-39:2 (40:19-41:3), 54:34-55:2
`(59:11-14), FIG. 21, FIG. 28, Cl. 1;
`Ex. 2014 at ¶45.
`
`6:26-7:26 (7:3-8:8), 9:9-29, 10:23-
`11:6, 38:6-19 (40:4-18), 42:24-44:12
`(45:10-47:8), 45:7-46:2 (48:7-49:7),
`46:23-33 (49:30-50:9), 47:1-13
`(50:10-20), 48:1-10 (51:15-25), 51:8-
`16 (55:3-12), 59:3-9 (64:6-12), FIG.
`21, FIG. 23, Cl. 1; Ex. 2014 at ¶46.
`7:20-26 (8:1-8), 38:6-19 (40:4-18),
`47:1-48:21 (50:10-52:4), FIG. 21,
`FIG. 28, Cl. 1, Cl. 12; Ex. 2014 at
`¶47.
`
`7:20-26 (8:1-8), 10:23-29, 38:6-19
`(40:4-18), 47:1-48:21 (50:10-52:4),
`51:8-16 (55:3-12), 53:26-33 (56:27-
`57:4), FIG. 21, FIG. 23, FIG. 28, Cl.
`1, Cl. 12; Ex. 2014 at ¶48.
`
`13[d]
`
`13[e]
`
`13[f]
`
`13[g]
`
`7:20-26 (8:1-8), 10:23-29, 38:6-19
`(40:4-18), 47:1-48:21 (50:10-52:4),
`51:8-16 (55:3-12), 53:26-33 (56:27-
`57:4), FIG. 21, FIG. 23, FIG. 28, Cl.
`1, Cl. 12; Ex. 2014 at ¶49.
`
`13[h]
`
`
`
`’279 Application at 36:16-37:2,
`FIG. 21, Cl. 64;
`’046 Application at 6:17-29, 11:2-
`10, FIG. 1; Ex. 2014 at ¶45.
`’279 Application at 5:3-6:2, 36:3-
`15, 39:20-26, 41:8-43:7, 43:8-11,
`44:7:45:8, FIG. 21, FIG. 23, Cl.
`37, Cl. 64;
`’046 Application at 7:12-19, 16:1-
`5, FIG. 1, Cl. 38; Ex. 2014 at ¶46.
`
`’235 Application at 5:28-6:3,
`35:16-28, 45:16-47:11, FIG. 21,
`Cl. 37a, Cl. 37b, Cl. 37g, Cl. 37i,
`Cl. 90, Cl. 93, Cl. 97; Ex. 2014 at
`¶47.
`’235 Application at 5:28-6:3,
`35:16-28, 45:16-47:11, FIG. 21,
`Cl. 37a, Cl. 37b, Cl. 37g, Cl. 37i,
`Cl. 90, Cl. 93, Cl. 97;
`’046 Application at 7:12-19, 16:1-
`5, FIG. 1, Cl. 38; Ex. 2014 at ¶48.
`
`’235 Application at 5:28-6:3,
`35:16-28, 42:4-14, 43:6-44:13,
`44:21-31, 45:16-47:11, FIG. 21,
`Cl. 37a, Cl. 37b, Cl. 37g, Cl. 37i,
`Cl. 90, Cl. 93, Cl. 97;
`’046 Application at 7:12-19, 16:1-
`5, FIG. 1, Cl. 38; Ex. 2014 at ¶49.
`
`14
`
`Proposed Claim 14
`’279 Application at 5:3-6:2, 41:8-
`6:26-7:19 (7:3-22), 10:30-11:6, 38:6-
`43:7, FIG. 21, FIG. 23, cl. 37.
`19 (40:4-18), 42:24-44:12 (45:10-
`’235 Application at Cl. 37c, Cl.
`47:8), 47:1-13 (50:10-20), FIG. 21,
`37d, Cl. 37e, Cl. 39; Ex. 2014 at
`FIG. 23, Cl. 2; Ex. 2014 at ¶51.
`¶51.
`Proposed Claim 15
`
`8
`
`

`

`’235 Application at 35:16-28,
`FIG. 21; Ex. 2014 at ¶53.
`’235 Application at 42:4-14, 43:6-
`44:13, 44:21-31, FIG. 21, FIG. 23,
`Cl. 44; Ex. 2014 at ¶54.
`
`’235 Application at 42:4-14, 43:6-
`44:13, 44:21-31, FIG. 21, FIG. 23,
`Cl. 44; Ex. 2014 at ¶55.
`
`’235 Application at 42:4-14, 43:6-
`44:13, 44:21-31, FIG. 21, FIG. 23,
`Cl. 44; Ex. 2014 at ¶59.
`
`38:6-19 (40:4-18), FIG. 21, Cl. 3; Ex.
`2014 at ¶53.
`11:7-28, 38:6-19 (40:4-18), 44:3-27
`(46:30-47:24), 45:1-46:2 (47:32-
`49:7), 46:10-19 (49:15-25), FIG. 21,
`FIG. 23, Cl. 3; Ex. 2014 at ¶54.
`11:7-28, 38:6-19 (40:4-18), 44:3-27
`(46:30-47:24), 45:1-46:2 (47:32-
`49:7), 46:10-19 (49:15-25), FIG. 21,
`FIG. 23, Cl. 3; Ex. 2014 at ¶55.
`Proposed Claim 16
`38:6-19 (40:4-18), FIG. 21, Cl. 3; Ex.
`’235 Application at 35:16-28,
`2014 at ¶57.
`FIG. 21; Ex. 2014 at ¶57.
`’235 Application at 42:4-14, 43:6-
`11:7-28, 38:6-19 (40:4-18), 44:3-27
`44:13, 44:21-31, FIG. 21, FIG. 23,
`(46:30-47:24), 45:1-46:2 (47:32-
`Cl. 44; Ex. 2014 at ¶58.
`49:7), 46:10-19 (49:15-25), FIG. 21,
`FIG. 23, Cl. 3; Ex. 2014 at ¶58.
`11:7-28, 38:6-19 (40:4-18), 44:3-27
`(46:30-47:24), 45:1-46:2 (47:32-
`49:7), 46:10-19 (49:15-25), FIG. 21,
`FIG. 23, Cl. 3; Ex. 2014 at ¶59.
`Proposed Claim 17
`38:6-19 (40:4-18), 39:21-32 (41:24-
`’279 Application at 37:23-30,
`42:4), 40:8-24 (42:15-42:32); Ex.
`38:14-28; Ex. 2014 at ¶61.
`2014 at ¶61.
`7:1-10 (7:12-22), 9:30-32, 38:6-39:2
`(40:4-41:3), FIG. 21, FIG. 23, Cl. 5;
`Ex. 2014 at ¶62.
`
`
`
`15[pre]
`
`15[a]
`
`15[b]
`
`16[pre]
`
`16[a]
`
`16[b]
`
`17[a]
`
`17[b]
`
`18[a]
`
`18[b]
`
`19
`
`
`
`9
`
`’279 Application at 5:12-22,
`36:16-37:2, FIG. 21, FIG. 23, Cl.
`64; Ex. 2014 at ¶62.
`Proposed Claim 18
`’279 Application at 5:12-22, 36:3-
`7:1-10 (7:12-22), 38:6-19 (40:4-18),
`FIG. 21, FIG. 23, Cl. 6; Ex. 2014 at
`15, 39:15-40:22, 41:29-42:8, FIG.
`¶64.
`21, FIG. 23; Ex. 2014 at ¶64.
`42:24-44:12 (45:10-47:8), FIG. 21,
`’279 Application at 41:8-43:7,
`FIG. 23; Ex. 2014 at ¶65.
`FIG. 21, FIG. 23; Ex. 2014 at ¶65.
`Proposed Claim 19
`38:6-39:2 (40:4-41:3), Cl. 7; Ex.
`’279 Application at 36:3-37:2; Ex.
`2014 at ¶67.
`2014 at ¶67.
`Proposed Claim 20
`20[a] 38:6-19 (40:4-18), 42:24-44:12
`’279 Application at 36:3-37:2,
`
`

`

`
`
`20[b]
`
`21[pre]
`
`21[a]
`
`21[b]
`
`21[c]
`
`21[d]
`
`21[e]
`
`21[f]
`
`38:6-19 (40:4-18), FIG. 21, Cl. 12;
`Ex. 2014 at ¶73.
`
`38:20-39:2 (40:4-41:3), 54:34-55:2
`(59:11-14), FIG. 21, FIG. 28, Cl. 12;
`Ex. 2014 at ¶74.
`
`38:6-39:2 (40:4-41:3), FIG. 21, Cl.
`12; Ex. 2014 at ¶75.
`
`41:8-43:7, FIG. 21, FIG. 23; Ex.
`(45:10-47:8), FIG. 21, FIG. 23, Cl. 9;
`2014 at ¶69.
`Ex. 2014 at ¶69.
`’235 Application at 45:27-46:12,
`47:11-26 (50:21-51:6), 48:11-21
`47:1-11; Ex. 2014 at ¶70.
`(51:26-52:4); Ex. 2014 at ¶70.
`Proposed Claim 21
`8:19-9:8 (9:4-29), 10:23-29, 11:23-
`’046 Application at 7:12-19; 16:1-
`28, 23:20-24:11 (23:7-24:3), 38:6-19
`5, FIG. 1, Cl. 38;
`(40:4-18), 51:8-16 (55:3-12), FIG. 7,
`’279 Application at 18:27-20:19,
`FIG. 21, Cl. 12; Ex. 2014 at ¶72.
`36:3-15, FIG. 7, FIG. 21, Cl. 37,
`Cl. 64; Ex. 2014 at ¶72.
`’279 Application at 36:3-15, FIG.
`21, Cl. 37, Cl. 64;
`’046 Application at 4:22-25, FIG.
`1; Ex. 2014 at ¶73.
`’279 Application at 36:16-37:2,
`FIG. 21, Cl. 64;
`’046 Application at 6:17-29, 11:2-
`10, FIG. 1; Ex. 2014 at ¶74.
`’279 Application at 36:5-37:2,
`FIG. 21, Cl. 64;
`’046 Application at 6:17-29, 11:2-
`10, FIG. 1; Ex. 2014 at ¶75.
`’279 Application at 5:3-6:2,
`19:13-15, 36:3-15, 39:15-26,
`41:8-42:27, 43:8-11, 44:7:45:8,
`FIG. 21, FIG. 23, Cl. 37, Cl. 64;
`’046 Application at 7:12-19, 16:1-
`5, FIG. 1, Cl. 38; Ex. 2014 at ¶76.
`
`6:26-7:26 (7:3-8:8), 9:9-29, 10:23-
`11:6, 38:6-19 (40:4-18), 41:7-15
`(43:18-27), 42:24-44:16 (45:10-
`47:10), 45:7-46:2 (48:7-49:7), 46:23-
`33 (49:30-50:9), 47:1-13 (50:10-20),
`48:1-10 (51:15-25), 51:8-16 (55:3-
`12), 59:3-9 (64:6-12), FIG. 21, FIG.
`23, Cl. 1, Cl. 12; Ex. 2014 at ¶76.
`38:6-38:19 (40:4-18), FIG. 21, FIG.
`23, Cl. 1, Cl. 12; Ex. 2014 at ¶77.
`6:26-7:26 (7:3-8:8), 9:9-29, 10:23-
`11:6, 38:6-19 (40:4-18), 42:24-44:12
`(45:10-47:8), 45:7-46:2 (48:7-49:7),
`46:23-33 (49:30-50:9), 47:1-13
`(50:10-20), 48:1-10 (51:15-25), 51:8-
`16 (55:3-12), 59:3-9 (64:6-12), FIG.
`21, FIG. 23, Cl. 1, Cl. 12; Ex. 2014 at
`
`’279 Application at 36:3-15, FIG.
`21, FIG. 23; Ex. 2014 at ¶77.
`’279 Application at 5:3-6:2, 36:3-
`15, 39:20-26, 41:8-43:11,
`44:7:45:8, FIG. 21, FIG. 23, Cl.
`37, Cl. 64;
`’046 Application at 7:12-19, 16:1-
`5, FIG. 1, Cl. 38; Ex. 2014 at ¶78.
`
`
`
`10
`
`

`

`
`
`21[g]
`
`21[h]
`
`21[i]
`
`¶78.
`7:1-10 (7:12-22), 9:30-32, 38:20-39:2
`(40:19-41:3), 41:7-15 (43:18-27),
`42:24-44:12 (45:10-47:8), 48:1-10
`(51:15-25); Ex. 2014 at ¶79.
`7:20-26 (8:1-8), 10:23-29, 11:7-28,
`38:6-19 (40:4-18), 44:3-27 (46:30-
`47:24), 45:1-46:2 (47:32-49:7),
`46:10-19 (49:15-25), 47:1-48:21
`(50:10-52:4), 51:8-16 (55:3-12),
`53:26-33 (56:27-57:4), FIG. 21, FIG.
`23, FIG. 28, Cl. 1, Cl. 12; Ex. 2014 at
`¶80.
`7:20-26 (8:1-8), 10:23-29, 11:7-28,
`38:6-19 (40:4-18), 44:3-27 (46:30-
`47:24), 45:1-46:2 (47:32-49:7),
`46:10-19 (49:15-25), 47:1-48:21
`(50:10-52:4), 51:8-16 (55:3-12),
`53:26-33 (56:27-57:4), FIG. 21, FIG.
`23, FIG. 28, Cl. 1, Cl. 12; Ex. 2014 at
`¶81.
`
`’279 Application at 5:12-22,
`36:16-37:2, 39:15-24, 41:8-43:7,
`46:21-31; Ex. 2014 at ¶79.
`
`’235 Application at 5:28-6:3,
`35:16-28, 42:4-14, 43:6-44:13,
`44:21-31, 45:16-47:11, FIG. 21,
`Cl. 37a, Cl. 37b, Cl. 37g, Cl. 90,
`Cl. 93, Cl. 97.
`’046 Application at 7:12-19, 16:1-
`5, FIG. 1, Cl. 38; Ex. 2014 at ¶80.
`
`’235 Application at 5:28-6:3,
`35:16-28, 42:4-14, 43:6-44:13,
`44:21-31, 45:16-47:11, FIG. 21,
`Cl. 37a, Cl. 37b, Cl. 37i, Cl. 90,
`Cl. 93, Cl. 97.
`’046 Application at 7:12-19, 16:1-
`5, FIG. 1, Cl. 38; Ex. 2014 at ¶81.
`
`
`
`V.
`
`SUBSTITUTE CLAIMS RESPOND TO GROUNDS OF RECORD
`
`The proposed substitute claims also “respond to a ground of unpatentability
`
`involved in the trial.” 37 C.F.R. § 42.121(a)(2).
`
`Substitute independent claims 13 and 21 respond to Ground 1 of
`
`unpatentability set forth in the Petition for corresponding claims 1 and 12. Paper 3
`
`at 20-53. Substitute dependent claims 18 and 20 also respond to Ground 1 for
`
`corresponding claims 6 and 9. Id. Specifically, the amendments included in these
`
`substitute claims further differentiate the claims from the cited art: Jakobsson in
`
`view of Maritzen. For example, Jakobsson alone or in combination with Maritzen
`
`
`
`11
`
`

`

`
`
`does not disclose, among other things, “the first authentication information
`
`including a multi-digit identification (ID) code allowing a networked validation-
`
`information entity to map the multi-digit ID code to a credit and/or debit card
`
`number,” “at least three separable fields,” “the second device being the networked
`
`validation-information entity configured to enable the credit and/or debit card
`
`transaction based on authentication of the user,” “the first authentication
`
`information further including a digital signature generated using a private key
`
`associated with the first device,” or “the enablement signal includes a random code
`
`to authenticate the second device to the first device.” Ex. 2014 at ¶ 82.
`
`Substitute dependent claim 17 responds to Ground 2 of unpatentability set
`
`forth in the Petition for corresponding claim 5. Paper 3 at 53-63. Specifically, the
`
`amendments included in substitute claim 17 further differentiate the claim from the
`
`cited art: Jakobsson in view of Maritzen and Niwa. Consequently, substitute claims
`
`13-21 are novel and nonobvious over the cited art. Ex. 2014 at ¶ 83.
`
`VI. CONCLUSION
`
`It is respectfully submitted that the above conditional substitute claims should
`
`be found patentable.
`
`
`
`Date: January 9, 2019
`
` Respectfully submitted,
`
`
`By: /s/ James M. Glass, Reg. No. 46,729
`
`
`
`12
`
`

`

`
`
`
`
` James M. Glass (Reg. No. 46,729)
`
`QUINN EMANUEL URQUHART &
`SULLIVAN, LLP
`51 Madison Avenue, 22nd Floor
`New York, NY 10010
`Tel: (212) 849-7000
`Fax: (212) 849-7100
`
`Email: jimglass@quinnemanuel.com
`
`
`Lead Attorney for Patent Owner –
`Universal Secure Registry LLC
`
`13
`
`

`

`Case No. IPR2018-00809
`U.S. Patent No. 9,530,137
`
`APPENDIX A
`
`CLAIM LISTING
`
`
`13. (Proposed Substitute for Claim 1) A system for authenticating a user for
`enabling a credit and/or debit card transaction, the system comprising:
`
`a first device including:
`
`a first processor, the first processor programmed to authenticate a user
`of the first device based on secret information and to retrieve or receive first
`biometric information of the user of the first device;
`
`a first wireless transceiver coupled to the first processor and
`programmed to transmit a first wireless signal including first authentication
`information of the user of the first device, the first authentication
`information including a multi-digit identification (ID) code allowing a
`networked validation-information entity to map the multi-digit ID code to a
`credit and/or debit card number; and
`
`a biometric sensor configured to capture the first biometric
`information of the user;
`
`wherein the first processor is programmed to generate one or more
`signals having at least three separable fields that include including the first
`authentication information, an indicator of biometric authentication, and a
`time varying value in response to valid authentication of the first biometric
`information, and to provide the one or more signals having the at least three
`separable fields including the first authentication information, the indicator
`of biometric authentication, and the time varying value for transmitting to a
`second device, the second device being the networked validation-
`information entity configured to enable the credit and/or debit card
`transaction based on authentication of the user; and
`
`wherein the first processor is further configured to receive an
`enablement signal from the second device; and
`
`the system further including the second device that is configured to provide
`the enablement signal indicating that the second device approved the credit and/or
`debit card transaction based on use of the one or more signals;
`
`
`
`A1
`
`

`

`
`
`wherein the second device includes a second processor that is
`configured to provide the enablement signal based on the indication of
`biometric authentication of the user of the first device, at least a portion of
`the first authentication information, and second authentication information
`of the user of the first device to enable and complete processing of the credit
`and/or debit card transaction.
`
`
`14. (Proposed Substitute for Claim 2) The system according to claim 13, [[1,
`]]wherein the first processor is programmed to determine the first authentication
`information so that the first authentication information is generated based on at
`least part of the first biometric information or generated based on receiving the first
`biometric information.
`
`15. (Proposed Substitute for Claim 3) The system according to claim 13, [[1, ]]the
`second device including:
`
`a second communication interface coupled to the second processor, and
`wherein the second processor is configured to receive the first authentication
`information of the user of the first device, to retrieve or receive the second [[the
`]]authentication information of the user of the first device; and
`
`use the first authentication information and the second authentication
`information to authenticate the user of the first device to enable the credit and/or
`debit card transaction.
`
`16. (Proposed Substitute for Claim 4) The system according to claim 13, [[1, ]]the
`second device including:
`
`a second wireless transceiver coupled to the second processor, and wherein
`the second processor is configured to receive the first authentication information of
`the user of the first device, to retrieve or receive the second authentication
`information of the user of the first device; and
`
`use the first authentication information and the second authentication
`information to authenticate the user of the first device to enable the credit and/or
`debit card transaction.
`
`
`
`A2
`
`

`

`
`
`
`17. (Proposed Substitute for Claim 5) The system of claim [[1, ]]13, wherein the
`first device communicates with the second device periodically to prevent
`intentional deletion of information stored at the first device, and wherein the first
`processor is further configured to compare stored authentication information with
`the first authentication information of the user and configured to enable the first
`device based on a valid comparison.
`
`18. (Proposed Substitute for Claim 6) The system of claim [[1, ]]13, wherein the
`first processor is further configured to encrypt the first authentication information
`to communicate to the second device, the first authentication information further
`including a digital signature generated using a private key associated with the first
`device.
`
`19. (Proposed Substitute for Claim 7) The system of claim [[1, ]]13, wherein the
`first device includes a first memory coupled to the first processor and configured to
`store the first biometric information.
`
`20. (Proposed Substitute for Claim 9) The system of claim [[1, ]]13, wherein the
`first processor is further configured to communicate information associated with
`the biometric information of the user of the first device, and wherein the
`enablement signal includes a random code to authenticate the second device to the
`first device.
`
`21. (Proposed Substitute for Claim 12) A system for authenticating a user for
`enabling a financial transaction, the system comprising:
`
`a first device including:
`
`a biometric sensor configured to capture a first biometric information
`of the user;
`
`a first processor programmed to:
`
`1) authenticate a user of the first device based on secret information,
`
`2) retrieve or receive first biometric information of the user of the first
`
`
`
`A3
`
`

`

`
`
`
`
`device,
`
`3) authenticate the user of the first device based on the first biometric,
`
`and
`
`4) generate one or more signals including first authentication
`information, an indicator of biometric authentication of the user of the first
`device, and a time varying value, the first authentication information
`including a multi-digit identification (ID) code allowing a networked
`validation-information entity to map the multi-digit ID code to a financial
`account number; and
`
`a first wireless transceiver coupled to the first processor and
`programmed to wirelessly transmit the one or more signals to a second
`device for processing, the second device being the networked validation-
`information entity configured to enable the financial transaction based on
`authentication of the user;
`
`wherein generating the one or more signals occurs responsive to valid
`authentication of the first biometric information; and
`
`wherein the first processor is further programmed to receive an
`enablement signal indicating an approved financial transaction from the
`second device,
`
`wherein the enablement signal is provided from the second device
`based on acceptance of the indicator of biometric authentication and use of
`the first authentication information and use of second authentication
`information to enable the financial transaction.
`
`A4
`
`

`

`Case No. IPR2018-00809
`U.S. Patent No. 9,530,137
`
`APPENDIX B
`
`CLAIM NOTATION CHART
`
`Claims
`Proposed Claim 13
`[[1]]13. A system for authenticating a user for enabling a credit
`and/or debit card transaction, the system comprising:
`a first device including:
`a first processor, the first processor programmed to authenticate a
`user of the first device based on secret information and to retrieve
`or receive first biometric information of the user of the first
`device