`
`Paper No. 18
`
`
`
`
`
`
`
`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 IPR2018-00810
`U.S. Patent No. 9,100,826
`____________
`
`PATENT OWNER’S CONDITIONAL MOTION TO AMEND
`UNDER 37 C.F.R. § 42.121
`
`

`

`Case No. IPR2018-00810
`U.S. Patent No. 9,100,826
`
`TABLE OF CONTENTS
`
`Page
`
`TABLE OF AUTHORITIES .......................................................................... ii
`
`LIST OF EXHIBITS ...................................................................................... iii
`
`I.
`
`II.
`
`INTRODUCTION .................................................................................1
`
`THE SUBSTITUTE CLAIMS ARE OF NARROWER SCOPE .........1
`
`III. THE NUMBER OF SUBSTITUTE CLAIMS IS
`REASONABLE .....................................................................................2
`
`IV. THE SUBSTITUTE CLAIMS ADD NO NEW SUBJECT
`MATTER ...............................................................................................2
`
`V.
`
`THE PROPOSED SUBSTITUTE CLAIMS RESPOND TO
`AND OVERCOME THE GROUNDS OF RECORD ....................... 12
`
`VI. CONCLUSION .................................................................................. 12
`
`APPENDIX A ............................................................................................... A1
`
`APPENDIX B ............................................................................................... B1
`
`
`
`i
`
`

`

`Case No. IPR2018-00810
`U.S. Patent No. 9,100,826
`
`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)(3) ..................................................................................... 2
`
`Rules and Regulations
`
`37 C.F.R. § 42.121 .......................................................................................... 1
`
`37 C.F.R. § 42.121(a)(2) ............................................................................... 12
`
`37 C.F.R. § 41.121(a)(2)(ii) ............................................................................ 2
`
`37 C.F.R. § 42.121(a)(3) ................................................................................. 2
`
`
`
`
`
`ii
`
`

`

`Case No. IPR2018-00810
`U.S. Patent No. 9,100,826
`
`LIST OF EXHIBITS
`
`Exhibit #
`
`Description
`
`Ex. 2001
`
`Declaration ISO Motion Pro Hac Vice Harold Barza
`
`Ex. 2002
`
`Declaration ISO Motion Pro Hac Vice Jordan Kaericher
`
`Ex. 2003
`
`Declaration of Markus Jakobsson in Support of
`
`Patent Owner's Response
`
`Ex. 2004
`
`Curriculum Vitae of Markus Jakobsson
`
`Ex. 2005
`
`Ex. 2006
`
`Ex. 2007
`
`Transcript of December 14, 2018 Deposition of Dr.
`Victor John Shoup
`
`N. Asokan, et. al, The State of the Art in Electronic
`Payment Systems, IEEE Computer, Vol. 30, No. 9, pp.
`28-35 (IEEE Computer Society Press, Sept. 1997)
`
`M. Baddeley, Using E-Cash in the New Economy: An
`Economic Analysis of Micropayment Systems, J.
`Electronic Commerce Research, Vol. 5, No. 4, pp. 239-
`253 (Nov. 2004)
`
`Ex. 2008
`
`U.S. Application No. 14/027,860.
`
`Ex. 2009
`
`U.S. Application No. 11/677,490.
`
`Ex. 2010
`
`U.S. Provisional Application No. 60/775,046.
`
`Ex. 2011
`
`U.S. Provisional Application No. 60/812,279.
`
`EX. 2012
`
`U.S. Provisional Application No. 60/859,235.
`
`EX. 2013
`
`Declaration by Dr. Markus Jakobsson Ph.D.
`
`
`
`
`
`
`iii
`
`

`

`Case No. IPR2018-00810
`U.S. Patent No. 9,100,826
`
`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 36-61 shown in Appendix A for original claims 1-20
`
`and 30-35 of U.S. Patent No. 9,100,826 (“the ’826 Patent”) should any of claims 1,
`
`2, 7, 8, 10, 11, 14, 15, 21, 22, 24, 26, 27, 30, 31, and 34 (“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 16.
`
`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.
`
`II. THE SUBSTITUTE CLAIMS ARE OF NARROWER SCOPE
`
`
`
`1
`
`

`

`Case No. IPR2018-00810
`U.S. Patent No. 9,100,826
`
`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. As shown in Appendix A
`
`below, all substitute claims include the same substantive claim limitations found in
`
`the original claims, and further
`
`include additional substantive features.
`
`Consequently, substitute claims 36-61 narrow the scope of the original 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 in below includes a non-exhaustive list of citations where support
`
`can be found for the substitute claims from the original filing of the ’826 Patent
`
`(i.e., Ex. 2008 U.S. Appl. No. 14/027,860 (“’860 Application”)). The chart also
`
`provides support to priority documents, namely, three provisional applications
`
`(collectively “Provisional Applications”) and a non-provisional application (i.e.,
`
`Ex. 2009 U.S. App. No. 11/677,490) (“’490 Application”)). The Provisional
`
`Applications include: Ex. 2010 appl. no. 60/775,046 (“’046 Application”); Ex.
`
`
`
`2
`
`

`

`Case No. IPR2018-00810
`U.S. Patent No. 9,100,826
`
`2011 appl. no. 60/812,279 (“’279 Application”); and Ex. 2012 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 limitations 36[pre], 36[b], 36[j], 45[pre],
`
`45[e], and 45[h], the ’860 Application discloses systems, devices, and computer-
`
`implemented methods for authenticating user identities to conduct a financial
`
`transaction, such as a credit and/or debit card transaction. See, e.g., ’860
`
`Application at 9:11-24, 59:1-6; Ex. 2013, Jakobsson at ¶ 34.
`
`As to claim limitations 36[f], 36[g], 42[a], 45[c], 45[d], and 45[e], the ’860
`
`Application describes in FIG. 23 and 49:4-51:2 that the first device may generate
`
`and transmit a signal 300 that includes various separable fields, including a header
`
`field 302, a public ID field 304, digital signature field 306, one-time time varying
`
`code field 308, encrypted biometric data 312, and/or other ID data field 314. Ex.
`
`2013, Jakobsson at ¶ 35. The fields are separate from one another and/or are
`
`separable from one another once received by the second device. Id. 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. Id.; see, e.g., ’860
`
`Application at 49:4-51:2. According to one non-limiting example, the digital
`
`signature field 306 may include the claimed digital signature generated using a
`
`private key associated with the first handheld device. See id.; Ex. 2013, Jakobsson
`
`
`
`3
`
`

`

`Case No. IPR2018-00810
`U.S. Patent No. 9,100,826
`
`at ¶ 35. According to another non-limiting example, the one-time time varying
`
`code field 308 may include the claimed one-time code, and the other data field
`
`314, among other fields, may include the claimed first authentication information
`
`derived from the first biometric information. Id.; ’860 Application at 49:4-51:2.
`
`With respect to limitation 36[c], the ’860 Application describes that “the
`
`first wireless device transmits a first wireless signal containing encrypted
`
`authentication information of the first user to the second wireless device.” Id. at
`
`47:18-19; Ex. 2013, Jakobsson at ¶ 36. As to limitations 36[h] and 45[h], the ’860
`
`Application discloses that the second device verifies the digital signature of the
`
`first device to authenticate the first user of the first device. See, e.g., ’860
`
`Application at 50:13-23, FIG. 24; Ex. 2013, Jakobsson at ¶ 37. With respect to
`
`limitations 36[j] and 45 [i], the ’860 Application describes that the identity of the
`
`first entity is authenticated based upon the first authentication information, the
`
`second authentication information, the one-time code, and the digital signature, and
`
`upon authentication, the financial transaction, such as a credit and/or debit card
`
`transaction, is enabled. See, e.g., ’860 Application at 51:3-18 (describing, as one
`
`non-limiting example, that first authentication information, in the form of a portion
`
`of biometric information, is received by the second device from the first device and
`
`used by the second device along with a remainder portion of biometric information
`
`(e.g., non-limiting, non-exclusive example of second authentication information) to
`
`
`
`4
`
`

`

`Case No. IPR2018-00810
`U.S. Patent No. 9,100,826
`
`authenticate the first user), 50:24-51:18 (describing verification of the digital
`
`signature and one-time code to authenticate first user), 9:11-10:4 (describing, inter
`
`alia, that the occurrence of the event enabled or disabled may be a financial
`
`transaction), 59:1-6 (describing use of various credit and debit cards as examples
`
`of financial transactions); see Ex. 2013, Jakobsson at ¶ 38.
`
`As to limitations 43[b] and 50[b], the ’860 Application describes that an
`
`enablement signal may include a random code to authenticate the second device to
`
`the first device. See, e.g., ’860 Application at 55:28-30 (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. 2013, Jakobsson Decl.
`
`at ¶ 39. Similar support for the claim limitations above and other limitations can be
`
`found in the Provisional Applications and the ’490 Application, as shown below.
`
`Claims Exemplary Support in the ’860
`App. and ’490 App.1
`
`Exemplary Support in Provisional
`Applications
`
`
`1 The ’826 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 ’826 patent claims priority are likewise
`
`
`
`5
`
`

`

`Case No. IPR2018-00810
`U.S. Patent No. 9,100,826
`
`’279 Appl. at 5:12-22, 36:3-15,
`39:15-40:22, FIG. 21, FIG. 23; Ex.
`2013 at ¶ 44.
`’279 Appl. at 36:2-37:2, FIG. 21, Cl.
`64;
`’046 Appl. at 6:17-29, 11:2-10, FIG.
`1;
`’235 Appl. at 42:4-14, 43:6-44:13,
`44:21-31, FIG. 21, FIG. 23, Cl. 44;
`Ex. 2013 at ¶ 45.
`’235 Appl. at 4:3-29, 29:16-28,
`30:29-31:3, 35:16-37:23, FIG. 21,
`FIG. 23, Cl. 1; Ex. 2013 at ¶ 46.
`’279 Appl. at 5:3-6:2, 36:3-15,
`39:20-26, 41:8-42:29, 43:8-11,
`44:7:45:8, FIG. 21, FIG. 23, Cl. 37,
`
`Proposed Claim 36
`9:11-24 (9:4-17), 10:5-27, 11:31-
`’046 Appl. at 7:12-19; 16:1-5, FIG.
`12:2, 27:1-29 (23:7-24:3), 43:30-
`1, Cl. 38;
`44:12 (40:4-18), 59:1-6 (55:7-12),
`’279 Appl. at 18:27-19:25, 36:3-15,
`FIG. 7, FIG. 21, FIG. 28, Cl. 1; Ex.
`FIG. 7, FIG. 21, Cl. 37, Cl. 64; Ex.
`2013 at ¶ 41.
`2013 at ¶ 41.
`43:30-44:29 (40:4-41:3), FIG. 21,
`’279 Appl. at 36:3-37:2, FIG. 21, Cl.
`FIG. 28, Cl. 1; Ex. 2013 at ¶ 42.
`64;
`’046 Appl. at 6:17-29, 11:2-10, FIG.
`1; Ex. 2013 at ¶ 42.
`’279 Appl. at 5:3-6:2, 36:3-15,
`39:15-26, 41:8-42:8, 43:1-3, 43:8-
`11, 44:7-45:8, FIG. 21, FIG. 23, Cl.
`37, Cl. 64;
`’046 Appl. at 7:12-19; 16:1-5, FIG.
`1, Cl. 38; Ex. 2013 at ¶ 43.
`
`7:10-8:15 (7:3-8:8), 10:5-27, 11:27-
`12:14, 43:30-44:12 (40:4-18), 47:12-
`21 (43:18-27), 49:4-51:6 (45:10-
`47:11), 52:1-53:2 (48:7-49:7), 54:5-
`18 (50:10-23), 55:11-21 (51:15-25),
`59:1-6 (55:7-12), 68:4-10 (64:6-12),
`FIG. 21, FIG. 23, Cl. 1; Ex. 2013 at ¶
`43.
`7:10-18 (7:3-11), 47:12-48:19
`(43:18-44:25), FIG. 21, FIG. 23; Ex.
`2013 at ¶ 44.
`12:15-13:7, 43:30-44:12 (40:4-18),
`50:24-51:18 (46:30-47:24), 51:26-
`54:4 (47:32-50:9), FIG. 21, FIG. 23,
`FIG. 28, Cl. 1; Ex. 2013 at ¶ 45.
`
`36[pre]
`
`36[a]
`
`36[b]
`
`36[c]
`
`36[d]
`
`36[e]
`
`36[f]
`
`10:5-27, 37:17-41:22 (33:21-37:27),
`43:30-44:29 (40:4-41:3), Cl. 1; Ex.
`2013 at ¶ 46.
`7:10-8:7 (6:21-7:32), 12:3-14,
`43:30-44:12 (40:4-18), 49:4-51:2
`(45:10-47:8), 52:15-19 (48:21-25),
`
`
`substantively identical to the ’826 specification and, for the same reasons set forth
`
`herein, also support the proposed substitute claims.
`
`
`
`6
`
`

`

`53:3-54:18 (49:8-50:23), FIG. 21,
`FIG. 23, Cl. 1; Ex. 2013 at ¶ 47.
`
`36[g]
`
`7:10-8:7 (6:21-7:32), 12:3-14,
`43:30-44:12 (40:4-18), 49:4-51:2
`(45:10-47:8), 53:3-54:18 (49:8-
`50:23), FIG. 21, FIG. 23, Cl. 1; Ex.
`2013 at ¶ 48.
`
`36[h]
`
`50:13-23 (49:19-29), FIG. 22, FIG.
`23, FIG. 24; Ex. 2013 at ¶ 49.
`
`36[i]
`
`12:15-13:7, 43:30-44:12 (40:4-18),
`50:24-51:18 (46:30-47:24), 51:26-
`54:4 (47:32-50:9), FIG. 21, FIG. 23,
`Cl. 1; Ex. 2013 at ¶ 50.
`
`Case No. IPR2018-00810
`U.S. Patent No. 9,100,826
`
`Cl. 64.
`’235 Appl. at Cl. 37c, Cl. 37d, Cl.
`37e, Cl. 39; Ex. 2013 at ¶ 47.
`’279 Appl. at 5:3-6:2, 36:3-15,
`39:20-26, 41:8-42:29, 43:8-11,
`44:7:45:8, FIG. 21, FIG. 23, Cl. 37,
`Cl. 64.
`’235 Appl. at Cl. 37c, Cl. 37d, Cl.
`37e, Cl. 39; Ex. 2013 at ¶ 48.
`’279 Appl. at 42:17-27, FIG. 22,
`FIG. 23, FIG. 24; Ex. 2013 at ¶ 49.
`
`’235 Appl. at 42:4-14, 43:6-44:13,
`44:21-31, FIG. 21, FIG. 23, Cl. 44;
`Ex. 2013 at ¶ 50.
`
`8:8-15 (8:1-8), 9:11-10:4 (9:4-29),
`11:27-12:2, 12:15-13:7, 43:30-44:12
`(40:4-18), 50:24-51:18 (46:30-
`47:24), 51:26-54:4 (47:32-50:9),
`54:5-55:32 (50:10-52:4), 59:1-6
`(55:7-12), 61:26-62:3 (57:30-58:7),
`FIG. 21, FIG. 23, FIG. 28, Cl. 1; Ex.
`2013 at ¶ 51.
`
`’235 Appl. 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 Appl. at 7:12-19, 16:1-5, FIG.
`1, Cl. 38; Ex. 2013 at ¶ 51.
`
`Proposed Claim 37
`50:24-54:4 (46:30-50:9), FIG. 21,
`’279 Appl. at 42:25-46:10.
`FIG. 23; Ex. 2013 at ¶ 53.
`’235 Appl. at 42:4-14, 43:6-44:13,
`44:21-31; Ex. 2013 at ¶ 53.
`Proposed Claim 38
`’279 Appl. at 42:25-46:10.
`43:30-44:30, 49:4-55:32, 59:1-6,
`61:26-62:3, FIG. 21, FIG. 23; Ex.
`’235 Appl. at 42:4-14, 43:6-44:13,
`2013 at ¶ 55.
`44:21-31; Ex. 2013 at ¶ 55.
`Proposed Claim 39
`43:16-26; Ex. 2013 at ¶ 57.
`’279 Appl. at 35:23-36:2, Cl. 14, Cl.
`15; Ex. 2013 at ¶ 57.
`Proposed Claim 40
`43:16-26; Ex. 2013 at ¶ 59.
`’279 Appl. at 35:23-36:2, Cl. 14, Cl.
`15; Ex. 2013 at ¶ 59.
`Proposed Claim 41
`
`36[j]
`
`37
`
`38
`
`39
`
`40
`
`
`
`7
`
`

`

`41
`
`44:30-45:17, 46:27-47:11, 47:22-
`48:7, FIG. 21, Cl. 1; Ex. 2013 at ¶
`61.
`
`Case No. IPR2018-00810
`U.S. Patent No. 9,100,826
`
`’279 Appl. at 37:3-22, 38:29-39:13,
`FIG. 21; Ex. 2013 at ¶ 61.
`
`42[a]
`
`43[a]
`
`43[b]
`
`44
`
`45[pre]
`
`Proposed Claim 42
`49:4-51:2 (45:10-47:8), FIG. 23; Ex.
`’279 Appl. at 41:8-43:7, FIG. 23;
`2013 at ¶ 63.
`Ex. 2013 at ¶ 63.
`42[b] 7:19-8:7 (7:12-32), FIG. 21, FIG. 23,
`’279 Appl. at 41:8-43:7, FIG. 23;
`Cl. 2; Ex. 2013 at ¶ 64.
`Ex. 2013 at ¶ 64.
`Proposed Claim 43
`11:6-18, FIG. 21, FIG. 23, Cl. 5; Ex.
`’279 Appl. at 41:8-42:20, FIG. 21,
`2013 at ¶ 66.
`FIG. 23; Ex. 2013 at ¶ 66.
`8:8-15 (8:1-8), 54:5-55:32 (50:10-
`’235 Appl. at 5:28-6:3, 45:16-47:11,
`52:4); Ex. 2013 at ¶ 67.
`cl. 37a, 37b, 37g, 37i, 90, 93, 97; Ex.
`2013 at ¶ 67.
`Proposed Claim 44
`11:6-18, Cl. 6; Ex. 2013 at ¶ 69.
`’279 Appl. at 41:8-42:16; Ex. 2013
`at ¶ 69.
`Proposed Claim 45
`’046 Appl. at 7:12-19; 16:1-5, FIG.
`9:11-24 (9:4-17), 10:5-27, 11:31-
`1, Cl. 38;
`12:2, 43:30-44:12 (40:4-18), 59:1-6
`’279 Appl. at 19:1-20:19, 36:3-15,
`(55:7-12), FIG. 21, FIG. 28, Cl. 1,
`FIG. 21, Cl. 37, Cl. 64; Ex. 2013 at ¶
`Cl. 16; Ex. 2013 at ¶ 71.
`71.
`’279 Appl. at 36:3-37:2, FIG. 21, Cl.
`64;
`’046 Appl. at 6:17-29, 11:2-10, FIG.
`1; Ex. 2013 at ¶ 72.
`’279 Appl. at 36:3-37:2, FIG. 21, Cl.
`64;
`’046 Appl. at 6:17-29, 11:2-10, FIG.
`1; Ex. 2013 at ¶ 73.
`’279 Appl. at 5:3-6:2, 36:3-15,
`39:20-26, 41:8-42:29, 43:8-11,
`44:7:45:8, FIG. 21, FIG. 23, Cl. 37,
`Cl. 64.
`’235 Appl. at Cl. 37c, Cl. 37d, Cl.
`37e, Cl. 39; Ex. 2013 at ¶ 74.
`’279 Appl. at 5:3-6:2, 36:3-15,
`39:20-26, 41:8-42:29, 43:8-11,
`
`43:30-44:29 (40:4-41:3), FIG. 21,
`FIG. 28, Cl. 1, Cl. 16; Ex. 2013 at ¶
`72.
`
`45[a]
`
`45[b]
`
`45[c]
`
`43:30-44:29 (40:4-41:3), FIG. 21,
`Cl. 1, Cl. 16; Ex. 2013 at ¶ 73.
`
`7:10-8:7 (6:21-7:32), 12:3-14,
`43:30-44:12 (40:4-18), 49:4-51:2
`(45:10-47:8), 53:3-54:18 (49:8-
`50:23), FIG. 21, FIG. 23, Cl. 1, Cl.
`16; Ex. 2013 at ¶ 74.
`
`45[d]
`
`7:10-8:7 (6:21-7:32), 12:3-14,
`43:30-44:12 (40:4-18), 49:4-51:2
`
`
`
`8
`
`

`

`(45:10-47:8), 53:3-54:18 (49:8-
`50:23), FIG. 21, FIG. 23, Cl. 1; Ex.
`2013 at ¶ 75.
`
`7:10-8:15 (7:3-8:8), 9:4-10 (8:29-
`9:3), 12:3-14, 43:30-44:12 (40:4-18),
`47:12-48:19 (43:18-44:25), 49:4-
`51:2 (45:10-47:8), 53:3-54:18 (49:8-
`50:23), FIG. 21, FIG. 23, FIG. 28,
`Cl. 1; Ex. 2013 at ¶ 76.
`
`45[e]
`
`12:15-13:7, 43:30-44:12 (40:4-18),
`50:24-51:18 (46:30-47:24), 51:26-
`54:4 (47:32-50:9), FIG. 21, FIG. 23,
`Cl. 1, Cl. 16; Ex. 2013 at ¶ 77.
`
`45[f]
`
`45[g]
`
`45[h]
`
`45[i]
`
`7:10-8:7 (7:3-32), 12:3-14, 43:30-
`44:12 (40:4-18), 49:4-51:2 (45:10-
`47:8), 53:3-54:18 (49:8-50:23), FIG.
`21, FIG. 23; Ex. 2013 at ¶ 78.
`50:13-23 (49:19-29), FIG. 22, FIG.
`23, FIG. 24; Ex. 2013 at ¶ 79.
`8:8-15 (8:1-8), 9:11-10:4 (9:4-29),
`11:27-12:2, 12:15-13:7, 43:30-44:12
`(40:4-18), 50:24-51:18 (46:30-
`47:24), 51:26-54:4 (47:32-50:9),
`54:5-55:32 (50:10-52:4), 59:1-6
`(55:7-12), 61:26-62:3 (57:30-58:7),
`FIG. 21, FIG. 23, FIG. 28, Cl. 1, Cl.
`16; Ex. 2013 at ¶ 80.
`
`Case No. IPR2018-00810
`U.S. Patent No. 9,100,826
`
`44:7:45:8, FIG. 21, FIG. 23, Cl. 37,
`Cl. 64.
`’235 Appl. at Cl. 37c, Cl. 37d, Cl.
`37e, Cl. 39; Ex. 2013 at ¶ 75.
`’279 Appl. at 5:3-6:2, 36:3-15,
`39:15-40:22, 41:8-42:29, 43:8-11,
`44:7:45:8, FIG. 21, FIG. 23, Cl. 37,
`Cl. 64.
`’235 Appl. at Cl. 37c, Cl. 37d, Cl.
`37e, Cl. 39; Ex. 2013 at ¶ 76.
`
`’279 Appl. at 36:2-37:2, FIG. 21, Cl.
`64;
`’046 Appl. at 6:17-29, 11:2-10, FIG.
`1;
`’235 Appl. at 42:4-14, 43:6-44:13,
`44:21-31, FIG. 21, FIG. 23, Cl. 44;
`Ex. 2013 at ¶ 77.
`’279 Appl. at 5:2-6:2, 41:8-43:23,
`FIG. 21, FIG. 23; Ex. 2013 at ¶ 78.
`
`’279 Appl. at 42:17-27, FIG. 22,
`FIG. 23, FIG. 24; Ex. 2013 at ¶ 79.
`’235 Appl. 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 Appl. at 7:12-19, 16:1-5, FIG.
`1, Cl. 38; Ex. 2013 at ¶ 80.
`
`Proposed Claim 46
`50:24-54:4 (46:30-50:9), FIG. 21,
`’279 Appl. at 42:25-46:10.
`FIG. 23; Ex. 2013 at ¶ 82.
`’235 Appl. at 42:4-14, 43:6-44:13,
`44:21-31; Ex. 2013 at ¶ 82.
`Proposed Claim 47
`43:16-26; Ex. 2013 at ¶ 84.
`’279 Appl. at 35:23-36:2, Cl. 14, Cl.
`15; Ex. 2013 at ¶ 84.
`
`46
`
`47
`
`
`
`9
`
`

`

`Case No. IPR2018-00810
`U.S. Patent No. 9,100,826
`
`48
`
`49
`
`50[b]
`
`51
`
`52
`
`53
`
`54
`
`55
`
`56[pre]
`
`Proposed Claim 48
`43:16-26; Ex. 2013 at ¶ 86.
`’279 Appl. at 35:23-36:2, Cl. 14, Cl.
`15; Ex. 2013 at ¶ 86.
`Proposed Claim 49
`7:19-8:7 (7:12-7:32), FIG. 21, FIG.
`’279 Appl. at 5:12-22, 36:16-37:2,
`23, Cl. 2; Ex. 2013 at ¶ 88.
`FIG. 21, FIG. 23, Cl. 64; Ex. 2013 at
`¶ 88.
`Proposed Claim 50
`’279 Appl. at 41:8-42:20, FIG. 21,
`50[a] 11:6-18, FIG. 21, FIG. 23, Cl. 5; Ex.
`2013 at ¶ 90.
`FIG. 23; Ex. 2013 at ¶ 90.
`8:8-15 (8:1-8), 54:5-55:32 (50:10-
`’235 Appl. at 5:28-6:3, 45:16-47:11,
`52:4); Ex. 2013 at ¶ 91.
`cl. 37a, 37b, 37g, 37i, 90, 93, 97; Ex.
`2013 at ¶ 91.
`Proposed Claim 51
`12:15-22, Cl. 18; Ex. 2013 at ¶ 93.
`’279 Appl. at 48:20-49:3; Ex. 2013
`at ¶ 93.
`Proposed Claim 52
`12:15-22, Cl. 19; Ex. 2013 at ¶ 95.
`’279 Appl. at 41:8-42:16; Ex. 2013
`at ¶ 95.
`Proposed Claim 53
`12:23-29, Cl. 20; Ex. 2013 at ¶ 97.
`’279 Appl. at 45:9-46:12, FIG. 27;
`Ex. 2013 at ¶ 97.
`Proposed Claim 54
`13:1-3, Cl. 23; Ex. 2013 at ¶ 99.
`’279 Appl. at 45:9-46:12, FIG. 27;
`Ex. 2013 at ¶ 99.
`Proposed Claim 55
`13:3-5, Cl. 24; Ex. 2013 at ¶ 101.
`’279 Appl. at 40:23-41:7; Ex. 2013
`at ¶ 101.
`Proposed Claim 56
`’046 Appl. at 7:12-19; 16:1-5, FIG.
`9:11-24 (9:4-17), 10:5-27, 11:31-
`1, Cl. 38;
`12:2, 43:30-44:12 (40:4-18), 59:1-6
`’279 Appl. at 19:1-20:19, 36:3-15,
`(55:7-12), FIG. 21, Cl. 1, Cl. 16; Ex.
`FIG. 21, Cl. 37, Cl. 64; Ex. 2013 at ¶
`2013 at ¶ 103.
`103.
`’279 Appl. at 36:3-37:2, FIG. 21, Cl.
`64;
`’046 Appl. at 6:17-29, 11:2-10, FIG.
`1; Ex. 2013 at ¶ 104.
`’279 Appl. at 5:3-6:2, 36:3-15,
`
`43:30-44:29 (40:4-41:3), FIG. 21,
`Cl. 1, Cl. 16; Ex. 2013 at ¶ 104.
`
`56[a]
`
`56[b] 7:10-8:15 (7:3-8:8), 10:5-27, 11:27-
`
`
`
`10
`
`

`

`12:14, 43:30-44:12 (40:4-18), 47:12-
`21 (43:18-27), 49:4-51:6 (45:10-
`47:12), 52:1-53:2 (48:7-49:7), 54:5-
`18 (50:10-23), 55:11-21 (51:15-25),
`59:1-6 (55:3-12), 68:4-10 (64:6-12),
`FIG. 21, FIG. 23, Cl. 1, Cl. 16; Ex.
`2013 at ¶ 105.
`7:10-29 (7:3-22), 8:8-15 (8:1-8), 9:4-
`10 (8:29-9:3), 47:12-48:19 (43:18-
`44:25), 49:4-51:2 (45:10-47:8), FIG.
`21, FIG. 23; Ex. 2013 at ¶ 106.
`7:10-8:7 (7:3-32), 12:3-14, 43:30-
`44:12 (40:4-18), 49:4-51:2 (45:10-
`47:8), 53:3-54:18 (49:8-50:23), FIG.
`21, FIG. 23, Cl. 1; Ex. 2013 at ¶ 107.
`
`Case No. IPR2018-00810
`U.S. Patent No. 9,100,826
`
`39:15-26, 41:8-42:8, 43:1-3, 43:8-
`11, 44:7-45:8, FIG. 21, FIG. 23, Cl.
`37, Cl. 64;
`’046 Appl. at 7:12-19; 16:1-5, FIG.
`1, Cl. 38; Ex. 2013 at ¶ 105.
`
`’279 Appl. at 5:12-22, 36:3-15,
`39:15-40:22, 41:29-42:8, FIG. 21,
`FIG. 23; Ex. 2013 at ¶ 106.
`
`’279 Appl. at 5:3-6:2, 36:3-15,
`39:20-26, 41:8-42:29, 43:8-11,
`44:7:45:8, FIG. 21, FIG. 23, Cl. 37,
`Cl. 64.
`’235 Appl. at Cl. 37c, Cl. 37d, Cl.
`37e, Cl. 39; Ex. 2013 at ¶ 107.
`’279 Appl. at 5:12-22, 36:3-15,
`39:15-40:22, 41:29-42:8, FIG. 21,
`FIG. 23; Ex. 2013 at ¶ 108.
`
`’235 Appl. at 42:4-14, 43:6-44:13,
`44:21-31, FIG. 21, FIG. 23, Cl. 44;
`Ex. 2013 at ¶ 109.
`
`7:10-29 (7:3-22), 8:8-15 (8:1-8), 9:4-
`10 (8:29-9:3), 47:12-48:19 (43:18-
`44:25), 49:4-51:2 (45:10-47:8), FIG.
`21, FIG. 23; Ex. 2013 at ¶ 108.
`12:15-13:7, 43:30-44:12 (40:4-18),
`50:24-51:18 (46:30-47:24), 51:26-
`54:4 (47:32-50:9), FIG. 21, FIG. 23,
`Cl. 1, Cl. 16; Ex. 2013 at ¶ 109.
`’235 Appl. at 5:28-6:3, 35:16-28,
`8:8-15 (8:1-8), 11:27-12:2, 12:15-
`42:4-14, 43:6-44:13, 44:21-31,
`13:7, 43:30-44:12 (40:4-18), 50:24-
`45:16-47:11, FIG. 21, Cl. 37a, Cl.
`51:18 (46:30-47:25), 51:26-54:4
`37b, Cl. 37g, Cl. 37i, Cl. 90, Cl. 93,
`(47:32-50:9), 54:5-55:32 (50:10-
`Cl. 97;
`52:4), 59:1-6 (55:3-12), 61:26-62:3
`’046 Appl. at 7:12-19, 16:1-5, FIG.
`(57:30-58:7), FIG. 21, FIG. 23, FIG.
`1, Cl. 38; Ex. 2013 at ¶ 110.
`28, Cl. 1; Ex. 2013 at ¶ 110.
`Proposed Claim 57
`50:24-54:4 (46:30-50:9), FIG. 21,
`’279 Appl. at 42:25-46:10.
`FIG. 23; Ex. 2013 at ¶ 112.
`’235 Appl. at 42:4-14, 43:6-44:13,
`44:21-31; Ex. 2013 at ¶ 112.
`Proposed Claim 58
`12:15-22, Cl. 18; Ex. 2013 at ¶ 114.
`’279 Appl. at 48:20-49:3; Ex. 2013
`at ¶ 114.
`
`11
`
`56[c]
`
`56[d]
`
`56[e]
`
`56[f]
`
`56[g]
`
`57
`
`58
`
`
`
`

`

`Case No. IPR2018-00810
`U.S. Patent No. 9,100,826
`
`59[b]
`
`59[c]
`
`11:19-12:2, 47:22-48:19, 51:10-14;
`Ex. 2013 at ¶ 117.
`11:19-12:2, 47:22-48:19, 51:10-14;
`Ex. 2013 at ¶ 118.
`
`Proposed Claim 59
`’279 Appl. at 35:23-36:2, Cl. 14, Cl.
`59[a] 43:16-26; Ex. 2013 at ¶ 116.
`15; Ex. 2013 at ¶ 116.
`’279 Appl. at 39:25-40:22, 43:15-19;
`Ex. 2013 at ¶ 117.
`’279 Appl. at 39:25-40:22, 43:15-19;
`Ex. 2013 at ¶ 118.
`Proposed Claim 60
`7:19-8:7 (7:12-7:32), FIG. 21, FIG.
`’279 Appl. at 5:12-22, 36:16-37:2,
`23, Cl. 2; Ex. 2013 at ¶ 120.
`FIG. 21, FIG. 23, Cl. 64; Ex. 2013 at
`¶ 120.
`Proposed Claim 61
`12:15-22, Cl. 19; Ex. 2013 at ¶ 122.
`’279 Appl. at 42:9-16; Ex. 2013 at ¶
`122.
`
`60
`
`61
`
`
`
`V. THE PROPOSED SUBSTITUTE CLAIMS RESPOND TO AND
`OVERCOME THE 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 36,
`
`45, and 56, and all substitute dependent claims depending therefrom, respond to
`
`the sole ground of unpatentability set forth in the Petition. Paper 3 at 18-75.
`
`Specifically, the amendments included in the substitute claims further differentiate
`
`the claims from the cited art: Maritzen in view of Jakobsson further in view of
`
`Niwa. Ex. 2013, Jakobsson at ¶ 123. Thus, substitute claims 36, 45, and 56, and
`
`claims depending therefrom, are novel and nonobvious over the cited art. Id.
`
`VI. CONCLUSION
`
`It is respectfully submitted that the above conditional substitute claims should
`
`be found patentable.
`
`
`
`12
`
`

`

`Date: January 9, 2019
`
` Respectfully submitted,
`
`
`Case No. IPR2018-00810
`U.S. Patent No. 9,100,826
`
`By: /s/ James M. Glass, Reg. No. 46,729
`
` 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. IPR2018-00810
`U.S. Patent No. 9,100,826
`
`APPENDIX A
`
`CLAIM LISTING
`
`
`36. (Proposed Substitute for Claim 1) A system for authenticating identities of a
`plurality of users to conduct a credit and/or debit card transaction, the system
`comprising:
`
`a first handheld device including:
`
`a first processor, the processor programmed to authenticate a user of
`the first handheld device based on authentication information and to retrieve
`or receive first biometric information of the user of the first handheld device;
`and
`
`a first wireless transceiver coupled to the first processor and
`programmed to transmit via a network a first wireless signal including first
`authentication information of the user of the first handheld device to conduct
`the credit and/or debit card transaction, the first wireless signal including
`encrypted authentication information of the user of the first handheld device;
`and
`
`a second device including:
`
`a second processor;
`
`a second wireless transceiver coupled to the second processor;[[,]] and
`
`a second memory coupled to the second processor, and wherein the
`second device is configured to retrieve or receive respective second
`authentication information for a first plurality of users,
`
`wherein the first plurality of users includes the user of the first
`handheld device;
`
`wherein the first processor is programmed to determine the first
`authentication information derived from the first biometric information, the
`first processor further programmed to generate a one-time code and a digital
`signature, the digital signature generated using a private key associated with
`the first handheld device, and to transmit the first wireless signal including
`the first authentication information, the one-time code, and the digital
`signature of the user of the first handheld device to the second device via the
`network;
`
`
`
`A1
`
`

`

`Case No. IPR2018-00810
`U.S. Patent No. 9,100,826
`
`wherein the second processor is configured to:
`
`receive the first wireless signal including the first authentication
`information, the one-time code, and the digital signature of the user of
`the first handheld device;
`
`verifying the digital signature of the user of the first handheld
`device;
`
`retrieve or receive the second authentication information of the
`user of the first handheld device; [[and]]
`
`use the first authentication information, the one-time code, the
`digital signature, and the second authentication information to
`authenticate an identity of the user of the first handheld device with
`the second device; and
`
`upon authentication of the identity of the user of the first
`handheld device, enable the credit and/or debit card transaction.
`
`
`
`37. (Proposed Substitute for Claim 2) The system of claim 36[[1]], wherein the
`wherein the second processor is configured to determine the second authentication
`information of the user of the first handheld device from stored second biometric
`information of a first plurality of users stored in the second memory of the second
`device.
`
`38. (Proposed Substitute for Claim 3) The system of claim 37[[2]], wherein the
`second processor is configured to combine at least a portion of the first
`authentication information received from the first handheld device with at least a
`portion of the second authentication information to provide combined information,
`and to use the combined information to authenticate the identity of the user of the
`first handheld device.
`
`39. (Proposed Substitute for Claim 4) The system of claim 36[[1]], wherein the
`second device controls access to a facility.
`
`40. (Proposed Substitute for Claim 5) The system of claim 39[[4]], wherein the
`second device controls access to the facility at a door.
`
`
`
`A2
`
`

`

`Case No. IPR2018-00810
`U.S. Patent No. 9,100,826
`
`
`
`41. (Proposed Substitute for Claim 6) The system of claim 36[[1]], wherein the
`second device comprises:
`
`a display; and
`
`a user interface coupled to the second processor, the user interface and the
`second processor configured for operation by a user of the second device.
`
`
`
`42. (Proposed Substitute for Claim 7) The system of claim 36[[1]], wherein the
`first authentication information, the one-time code, and the digital signature
`included in the transmitted first wireless signal are separable fields of the first
`wireless signal, and wherein the first processor is further configured to:
`
`compare stored authentication information with the authentication
`information of the user of the first handheld device; and
`
`enable or disable use of the first handheld device based on a result of the
`comparison.
`
`
`
`43. (Proposed Substitute for Claim 8) The system of claim 36[[1]], wherein the
`first handheld device includes a first memory coupled to the first processor
`included in the first handheld device and configured to store respective biometric
`information for a second plurality of users, and the second device is further
`configured to:
`
`upon authentication of the identity of the user of the first handheld device,
`
`transmit an enablement signal including a random code to the first handheld device
`to authenticate the second device to the first handheld device.
`
`44. (Proposed Substitute for Claim 9) The system of claim 43[[8]], wherein the
`second wireless transceiver is programmed to transmit via a network authentication
`information of a second user of the second device to the first handheld device.
`
`45. (Proposed Substitute for Claim 10) A computer implemented method of
`authenticating an identity of a first entity to conduct a financial transaction,
`comprising acts of:
`
`
`
`A3
`
`

`

`Case No. IPR2018-00810
`U.S. Patent No. 9,100,826
`
`authenticating, with a first handheld device, a user of the first handheld
`device as the first entity based on authentication information;
`
`retrieving or receiving first biometric information of the user of the first
`handheld device;
`
`determining a first authentication information of the first entity from the first
`biometric information;
`
`generating a one-time code at the first handheld device;
`
`generating a digital signature at the first handheld device using a