Paper No. 21
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________
`
`APPLE INC.
`Petitioner,
`
`v.
`
`UNIVERSAL SECURE REGISTRY LLC
`Patent Owner
`____________
`
`Case IPR2018-00812
`U.S. Patent No. 8,856,539
`____________
`
`PATENT OWNER’S CONDITIONAL MOTION TO AMEND
`UNDER 37 C.F.R. § 42.121
`
`

`

`Case No. IPR2018-00812
`U.S. Patent No. 8,856,539
`
`TABLE OF CONTENTS
`
`Page
`
`TABLE OF AUTHORITIES .......................................................................... ii
`LIST OF EXHIBITS ...................................................................................... iii
`I.
`INTRODUCTION .................................................................................1
`II.
`THE SUBSTITUTE CLAIMS ARE OF NARROWER SCOPE .........2
`III.
`THE NUMBER OF SUBSTITUTE CLAIMS IS
`REASONABLE .....................................................................................2
`THE SUBSTITUTE CLAIMS ADD NO NEW SUBJECT
`MATTER ...............................................................................................2
`THE PROPOSED SUBSTITUTE CLAIMS RESPOND TO
`AND OVERCOME THE GROUNDS OF RECORD ..........................8
`VI. CONCLUSION .....................................................................................8
`APPENDIX A ..................................................................................................1
`APPENDIX B ..................................................................................................1
`
`IV.
`
`V.
`
`i
`
`

`

`Case No. IPR2018-00812
`U.S. Patent No. 8,856,539
`
`TABLE OF AUTHORITIES
`
`Page
`
`Cases
`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) ................................................................................ 2
`
`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) ................................................................................. 7
`
`37 C.F.R. § 41.121(a)(2)(ii) ............................................................................ 2
`
`37 C.F.R. § 42.121(a)(3) ................................................................................. 2
`
`ii
`
`

`

`Case No. IPR2018-00812
`U.S. Patent No. 8,856,539
`
`Exhibit #
`
`Ex. 2101
`
`Ex. 2102
`
`Ex. 2103
`
`Ex. 2104
`
`Ex. 2105
`
`Ex. 2106
`
`Ex. 2107
`
`LIST OF EXHIBITS
`
`Description
`
`Declaration by Dr. Markus Jakobsson Ph.D. in Support
`of Patent Owner's Preliminary Response.
`
`Curriculum Vitae of Markus Jakobsson.
`
`Declaration ISO of Unopposed Motion for Admission
`Pro Hac Vice of Jordan B. Kaericher.
`
`Declaration ISO of Unopposed Motion for Admission
`Pro Hac Vice of Harold A. Barza.
`
`U.S. Application No. 11/768,729.
`
`U.S. Application No. 09/710,703.
`
`Declaration by Dr. Markus Jakobsson Ph.D. in Support
`of Motion to Amend.
`
`iii
`
`

`

`Case No. IPR2018-00812
`U.S. Patent No. 8,856,539
`
`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 39-47 shown in Appendix A for original (i.e.,
`
`original) claims 1-3, 16, 21-24, and 38 of U.S. Patent No. 8,856,539 (“the ’539
`
`Patent”) should any of claims 1-3, 16, 21-24, and 38 (“Challenged Claims”) be
`
`found unpatentable. That is, PO requests that for each original claim the Board
`
`deems invalid, the Board review and enter the corresponding substitute claim on a
`
`claim-by-claim basis. 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 the Proceeding entered January 31, 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
`
`1
`
`

`

`Case No. IPR2018-00812
`U.S. Patent No. 8,856,539
`the Board grant this Motion to Amend with respect to each corresponding
`
`substitute claim presented herein.
`
`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. 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 39-47 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 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 ’539 Patent
`
`(i.e., Ex. 2105 U.S. Appl. No. 11/768,729 (“’729 Application”)). The chart also
`
`provides support to a priority document, namely, U.S. non-provisional application
`
`2
`
`

`

`Case No. IPR2018-00812
`U.S. Patent No. 8,856,539
`
`09/810,703 (“’703 Application”).1 Ex. 2106.
`
`For example, with respect to claim limitations 39[b], 44[a], and 47[b], the
`
`’729 Application discloses that a secure registry receives a request for a transaction
`
`from a merchant provider that may include a time-varying multicharacter code and
`
`an indication of the merchant provider. See, e.g., ’729 Application at 8:5-9:2, 9:25-
`
`10:11, 17:1-19:7, FIGS. 7-9; Ex. 2107, Jakobsson at ¶ 33.
`
`As to claim limitations 39[c] and 46[b], the ’729 Application describes how
`
`the transaction request can include a time value that represents when the time-
`
`varying multicharacter code was generated, and that the secure registry can then
`
`extract the time value from the request. See, e.g., ’729 Application at 19:17-20:2
`
`(“Alternatively, the electronic ID device may encode or encrypt the time with the
`
`number, the USR software being able to extract time when receiving the number
`
`from the merchant.”); see also id. at 17:7-13; Ex. 2107, Jakobsson at ¶ 34.
`
`With respect to limitations 39[e] and 44[d], the ’729 Application describes
`
`that “The process of determining the requestor's rights (602) typically involves
`
`validating the requestor's identity and correlating the identity, the requested
`
`information and the access information 34 provided by the person to the USR
`
`database during the training process.” ’729 Application at 15:15-18; Ex. 2107,
`
`1 Appendix B maps the substitute claims provided in Appendix A to the
`
`corresponding claim notations used in the chart below.
`
`3
`
`

`

`Case No. IPR2018-00812
`U.S. Patent No. 8,856,539
`Jakobsson at ¶ 35. As to limitations 39[h], 44[b], and 47[c], the ’729 Application
`
`discloses that the identity of the entity having secure data stored at the secure
`
`registry is verified using a biometric input of the entity. See, e.g., ’729 Application
`
`at 5:11-21, 12:20-28; Ex. 2107, Jakobsson at ¶ 36.
`
`With respect to limitations 44[f] and 47[g], the ’729 Application describes
`
`various examples where a credit card company or a bank receives account
`
`identifying information, such as an account number or a public ID code that are
`
`then used by the third party to obtain the account number, from the secure registry.
`
`See, e.g., ’729 Application at 17:11-22, 18:1-14, 19:1-7. In these examples, the
`
`credit card company and the bank are a third party that is a different entity and is
`
`separate and apart from the secure registry. Ex. 2107, Jakobsson at ¶ 37. For
`
`instance, the ’729 Application states that “[w]hile the link between the USR system
`
`and the credit card system is a secure link, there is always a danger that the link
`
`may be penetrated and credit card numbers obtained.” ’729 Application at 17:13-
`
`15; see also id. at 19:8-10. If the secure registry and the credit card company were
`
`not different entities that were separate and apart from one another then
`
`discussions about safeguarding communication channels between the two would be
`
`considerably less of a concern. The ’729 Application also states:
`
`The information in this embodiment transmitted to the credit
`card company is intended to be in a format recognizable to the credit
`card company. Accordingly,
`the
`invention
`is not
`limited
`to
`
`4
`
`

`

`Case No. IPR2018-00812
`U.S. Patent No. 8,856,539
`transferring from the USR system 10 to the credit card company the
`enumerated information, but rather encompasses any transfer of
`information that will enable the use of the USR system 10 to appear
`transparent to the credit card company.
`Id. at 18:4-9. Issues concerning data formats being “recognizable” to the third
`
`party credit card company and the appearance of transparency of the USR system
`
`to the third party credit card company provide support for the claim limitation that
`
`the third party is a different entity and is separate and apart from the secure
`
`registry. Ex. 2107, Jakobsson at ¶ 37.
`
`Similar support for the claim limitations above and other limitations can be
`
`found in the ’703 Application, as shown below.
`
`39[pre]
`
`39[a]
`
`39[d]
`
`Claims Exemplary Support in ’729 App. Exemplary Support in ’703 App.
`Proposed Claim 39
`7:25-27, 8:5-16, 11:12-18, 11:25-
`8:6-8, 8:17-28, 11:27-12:3, 12:11-
`12:11, 12:29-13:26, 17:11-22, 18:1-
`28, 13:17-14:16, 18:5-16, 18:27-
`14, 19:1-7, Cl. 1, FIGS. 1, 3, 7-9; Ex.
`19:10, 19:28-20:5, FIGS. 1, 3, 7-9;
`2107 at ¶39.
`Ex. 2107 at ¶39.
`8:5-16, 9:3-4, 11:1-12:11, 12:29-
`8:17-28, 9:14-15, 11:15-13:6, Cl. 1,
`13:19, Cl. 1, FIGS. 1, 3; Ex. 2107 at
`FIGS. 1, 3; Ex. 2107 at ¶40.
`¶40.
`39[b] 8:5-9:2, 9:25-10:11, 17:1-19:7, Cl. 1,
`FIGS. 1, 7-9; Ex. 2107 at ¶41.
`39[c] 17:7-13, 19:17-20:2, FIGS. 7, 10;
`Ex. 2107 at ¶42.
`8:5-16, 11:1-12:22, 12:29-13:10,
`17:9-13, 18:1-20, 23:9-24:15, Cl. 1,
`FIGS. 1, 3, 7, 8, 13-15; Ex. 2107 at
`¶43.
`39[e] 11:25-29, 15:10-16:7, FIG. 6; Ex.
`2107 at ¶44.
`
`8:17-9:13, 10:7-25, 17:26-20:5,
`FIGS. 1, 7-9; Ex. 2107 at ¶41.
`18:1-8, 20:15-31, FIGS. 7, 10; Ex.
`2107 at ¶42.
`8:17-28, 11:15-13:15, 13:17-29,
`18:5-8, 18:27-19:16, 24:11-25:20,
`FIGS. 1, 3, 7, 8, 13-15; Ex. 2107 at
`¶43.
`12:11-15, 16:1-30, FIG. 6; Ex. 2107
`at ¶44.
`
`5
`
`

`

`Abstract, 11:1-12:19, 12:29-13:10,
`14:1-15:2, 15:5-16:27, 17:1-18:9,
`FIGS. 1, 3, 5-8; Ex. 2107 at ¶45.
`
`Case No. IPR2018-00812
`U.S. Patent No. 8,856,539
`Abstract, 11:15-13:14, 13:17-29,
`14:22-15:25, 15:27-17:21, 17:26-
`19:5, FIGS. 1, 3, 5-8; Ex. 2107 at
`¶45.
`18:5-23, 18:27-19:16, 19:28-20:11,
`17:11-28, 18:1-20, 19:1-13, 19:17-
`20:15-21:13, FIGS. 7-10; Ex. 2107
`20:15, Cl. 1, Cl. 7, FIGS. 7-10; Ex.
`at ¶46.
`2107 at ¶46.
`39[h] 5:11-21, 12:20-28; Ex. 2107 at ¶47. 5:31-6:6, 13:7-16; Ex. 2107 at ¶47.
`Proposed Claim 40
`10:12-23, 11:30-12:19, 17:1-18:9,
`10:26-11:6, 12:16-13:6, 17:26-19:16,
`Cl. 3, FIGS. 2, 4, 7, 8; Ex. 2107 at
`FIGS. 2, 4, 7, 8; Ex. 2107 at ¶49.
`¶49.
`
`39[f]
`
`39[g]
`
`40
`
`Proposed Claim 41
`4:3-13, 10:18-23, 22:24-23:8, Cl. 4,
`4:12-24, 11:2-6, 23:25-24:10; Ex.
`Cl. 20; Ex. 2107 at ¶51.
`2107 at ¶51.
`Proposed Claim 42
`17:11-13, 18:3-6, Cl. 9, FIGS. 7, 8;
`18:5-8, 18:29-19:1, FIGS. 7, 8; Ex.
`Ex. 2107 at ¶53.
`2107 at ¶53.
`Proposed Claim 43
`8:5-16, 11:1-12:22, 12:29-13:10,
`8:17-28, 11:15-13:15, 13:17-29,
`17:9-13, 18:1-20, 23:9-24:15, Cl. 1,
`18:5-8, 18:27-19:16, 24:11-25:20,
`FIGS. 1, 3, 7, 8, 13-15; Ex. 2107 at
`FIGS. 1, 3, 7, 8, 13-15; Ex. 2107 at
`¶55.
`¶55.
`Proposed Claim 44
`7:25-27, 8:5-16, 9:3-4, 11:1-12:11,
`8:6-8, 8:17-28, 9:14-15, 11:15-13:6,
`12:29-13:26, 17:11-22, 18:1-14,
`13:17-14:16, 18:5-16, 18:27-19:10,
`19:1-7, Cl. 1, Cl. 16, FIGS. 1, 3, 7-9;
`19:28-20:5, Cl. 1, Cl. 16, FIGS. 1, 3,
`Ex. 2107 at ¶57.
`7-9; Ex. 2107 at ¶57.
`44[a] 8:5-9:2, 9:25-10:11, 17:1-19:7, Cl. 1,
`8:17-9:13, 10:7-25, 17:26-20:5,
`FIGS. 1, 7-9; Ex. 2107 at ¶58.
`FIGS. 1, 7-9; Ex. 2107 at ¶58.
`44[b] 5:11-21, 12:20-28; Ex. 2107 at ¶59. 5:31-6:6, 13:7-16; Ex. 2107 at ¶59.
`8:5-16, 11:1-12:22, 12:29-13:10,
`8:17-28, 11:15-13:15, 13:17-29,
`17:9-13, 18:1-20, 23:9-24:15, Cl. 1,
`18:5-8, 18:27-19:16, 24:11-25:20,
`FIGS. 1, 3, 7, 8, 13-15; Ex. 2107 at
`FIGS. 1, 3, 7, 8, 13-15; Ex. 2107 at
`¶60.
`¶60.
`44[d] 11:25-29, 15:10-16:7, FIG. 6; Ex.
`12:11-15, 16:1-30, FIG. 6; Ex. 2107
`2107 at ¶61.
`at ¶61.
`
`41
`
`42
`
`43
`
`44[pre]
`
`44[c]
`
`6
`
`

`

`44[e]
`
`44[f]
`
`45
`
`47[pre]
`
`47[a]
`
`47[d]
`
`47[e]
`
`47[g]
`
`Proposed Claim 46
`4:12-24, 11:2-6, 23:25-24:10; Ex.
`46[a] 4:3-13, 10:18-23, 22:24-23:8, Cl. 4,
`Cl. 20; Ex. 2107 at ¶67.
`2107 at ¶67.
`46[b] 17:7-13, 19:17-20:2, FIGS. 7, 10;
`18:1-8, 20:15-31, FIGS. 7, 10; Ex.
`Ex. 2107 at ¶68.
`2107 at ¶68.
`Proposed Claim 47
`7:25-27, 8:5-16, 11:12-18, 11:25-
`8:6-8, 8:17-28, 11:27-12:3, 12:11-
`12:11, 12:29-13:26, 17:11-22, 18:1-
`28, 13:17-14:16, 18:5-16, 18:27-
`14, 19:1-7, Cl. 1, FIGS. 1, 3, 7-9; Ex.
`19:10, 19:28-20:5, FIGS. 1, 3, 7-9;
`2107 at ¶70.
`Ex. 2107 at ¶70.
`8:5-16, 9:3-4, 11:1-12:11, 12:29-
`8:17-28, 9:14-15, 11:15-13:6, Cl. 1,
`13:19, Cl. 1, FIGS. 1, 3; Ex. 2107 at
`FIGS. 1, 3; Ex. 2107 at ¶71.
`¶71.
`8:17-9:13, 10:7-25, 17:26-20:5,
`47[b] 8:5-9:2, 9:25-10:11, 17:1-19:7, Cl. 1,
`FIGS. 1, 7-9; Ex. 2107 at ¶72.
`FIGS. 1, 7-9; Ex. 2107 at ¶72.
`47[c] 5:11-21, 12:20-28; Ex. 2107 at ¶73. 5:31-6:6, 13:7-16; Ex. 2107 at ¶73.
`8:5-16, 11:1-12:22, 12:29-13:10,
`8:17-28, 11:15-13:15, 13:17-29,
`17:9-13, 18:1-20, 23:9-24:15, Cl. 1,
`18:5-8, 18:27-19:16, 24:11-25:20,
`FIGS. 1, 3, 7, 8, 13-15; Ex. 2107 at
`FIGS. 1, 3, 7, 8, 13-15; Ex. 2107 at
`¶74.
`¶74.
`11:1-12:19, 12:29-13:10, 14:1-15:2,
`11:15-13:14, 13:17-29, 14:22-15:25,
`15:27-17:21, 17:26-19:5, FIGS. 1, 3,
`15:5-16:27, 17:1-18:9, FIGS. 1, 3, 5-
`5-8; Ex. 2107 at ¶75.
`8; Ex. 2107 at ¶75.
`47[f] 17:4-26; Ex. 2107 at ¶76.
`17:4-28, 18:1-20, 19:1-13, 19:17-
`20:15, Cl. 1, Cl. 7, FIGS. 7-10; Ex.
`2107 at ¶77.
`
`Abstract, 11:1-12:19, 12:29-13:10,
`14:1-15:2, 15:5-16:27, 17:1-18:9,
`FIGS. 1, 3, 5-8; Ex. 2107 at ¶62.
`
`17:11-28, 18:1-20, 19:1-13, 19:17-
`20:15, Cl. 1, Cl. 7, Cl. 16, FIGS. 7-
`10; Ex. 2107 at ¶63.
`
`Case No. IPR2018-00812
`U.S. Patent No. 8,856,539
`Abstract, 11:15-13:14, 13:17-29,
`14:22-15:25, 15:27-17:21, 17:26-
`19:5, FIGS. 1, 3, 5-8; Ex. 2107 at
`¶62.
`18:5-23, 18:27-19:16, 19:28-20:11,
`20:15-21:13, FIGS. 7-10; Ex. 2107
`at ¶63.
`Proposed Claim 45
`10:12-23, 11:30-12:19, 17:1-18:9,
`10:26-11:6, 12:16-13:6, 17:26-19:16,
`Cl. 3, Cl. 19, FIGS. 2, 4, 7, 8; Ex.
`FIGS. 2, 4, 7, 8; Ex. 2107 at ¶65.
`2107 at ¶65.
`
`17:29-18:21; Ex. 2107 at ¶76.
`17:29-18:23, 18:27-19:16, 19:28-
`20:11, 20:15-21:13, FIGS. 7-10; Ex.
`2107 at ¶77.
`
`7
`
`

`

`47[h] 17:4-26, 18:1-20, Cl. 10, 12; Ex.
`2107 at ¶78.
`
`Case No. IPR2018-00812
`U.S. Patent No. 8,856,539
`17:29-18:21, 18:27-19:16; Ex. 2107
`at ¶78.
`
`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 39,
`
`44, and 47, and any and all substitute dependent claims depending therefrom,
`
`respond to the sole ground of unpatentability set forth in the Petition. Paper 3 at
`
`19-71. Specifically, the amendments included in the substitute claims further
`
`differentiate the claims from the cited art: Reber in view of Franklin. Ex. 2107,
`
`Jakobsson at ¶ 79. Thus, substitute claims 39, 44, and 47, 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.
`
`Date: February 15, 2019
`
` Respectfully submitted,
`
`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
`
`8
`
`

`

`Case No. IPR2018-00812
`U.S. Patent No. 8,856,539
`Fax: (212) 849-7100
`Email: jimglass@quinnemanuel.com
`
`Lead Attorney for Patent Owner –
`Universal Secure Registry LLC
`
`9
`
`

`

`Case No. IPR2018-00812
`U.S. Patent No. 8,856,539
`
`APPENDIX A
`CLAIM LISTING
`
`39. (Proposed Substitute for Claim 1) A secure registry system for providing
`information to a provider to enable transactions between the provider and entities
`with secure data stored in the secure registry system, the secure registry system
`comprising:
`a database including secure data for each entity, wherein each entity is
`associated with a time-varying multicharacter code for each entity having secure
`data in the secure registry system, respectively, each time-varying multicharacter
`code representing an identity of one of the respective entities; and
`a processor configured to
`receive from the provider a transaction request including at least the
`time-varying multicharacter code for the entity on whose behalf a
`transaction is to be performed and an indication of the provider requesting
`the transaction, [[to]]the transaction request including a time value
`representative of when the time-varying multicharacter code was generated;
`extract the time value from the transaction request;
`map the time-varying multicharacter code to the identity of the entity
`using the time-varying multicharacter code;[[, to]]
`validate an identity of the provider and then execute a restriction
`mechanism to determine compliance with any access restrictions for the
`provider to secure data of the entity for completing the transaction based at
`least in part on the indication of the provider and the time-varying
`multicharacter code of the transaction request; and[[, and to]]
`allow or not allow access to the secure data associated with the entity
`including information required to enable the transaction based on the
`determined compliance with any access restrictions for the provider, the
`information including account identifying information, wherein the account
`identifying information is not provided to the provider and the account
`identifying information is provided to a third party to enable or deny the
`transaction with the provider without providing the account identifying
`information to the provider; and
`wherein the identity of the entity is verified using a biometric.
`
`A1
`
`

`

`Case No. IPR2018-00812
`U.S. Patent No. 8,856,539
`40. (Proposed Substitute for Claim 2) The system of claim 39[[1]], wherein the
`time-varying multicharacter code is provided to the system via a secure electronic
`transmission device.
`
`41. (Proposed Substitute for Claim 3) The system of claim 39[[1]], wherein the
`time-varying multicharacter code is encrypted and transmitted to the system, and
`wherein the system is configured to decrypt the time-varying multicharacter code
`with a public key of the entity.
`
`42. (Proposed Substitute for Claim 16) The system of claim 39[[1]], wherein the
`account identifying information includes an account number.
`
`43. (Proposed Substitute for Claim 21) The system of claim 39[[1]], wherein the
`identity of the entity is unknown until the time-varying code is mapped to the
`identity by the processor.
`
`44. (Proposed Substitute for Claim 22) A method for providing information to a
`provider to enable transactions between the provider and entities who have secure
`data stored in a secure registry in which each entity is identified by a time-varying
`multicharacter code, the method comprising:
`receiving from the provider a transaction request including at least the time-
`varying multicharacter code for an entity on whose behalf a transaction is to take
`place and an indication of the provider requesting the transaction, an identity of the
`entity on whose behalf the transaction is to take place having been verified using a
`biometric of the entity;
`mapping the time-varying multicharacter code to an identity of the entity
`using the time-varying multicharacter code;
`validating an identity of the provider;
`after validating the identity of the provider, determining compliance with
`any access restrictions for the provider to secure data of the entity for completing
`the transaction based at least in part on the indication of the provider and the time-
`varying multicharacter code of the transaction request;
`accessing information of the entity required to perform the transaction based
`on the determined compliance with any access restrictions for the provider, the
`information including account identifying information;
`
`A2
`
`

`

`Case No. IPR2018-00812
`U.S. Patent No. 8,856,539
`providing the account identifying information to a third party without
`providing the account identifying information to the provider to enable or deny the
`transaction, the third party being a different entity from the secure registry; and
`enabling or denying the provider to perform the transaction without the
`provider's knowledge of the account identifying information.
`
`45. (Proposed Substitute for Claim 23) The method of claim 44[[22]], wherein the
`act of receiving the time-varying multicharacter code comprises receiving the time-
`varying multicharacter code transmitted via a secure electronic transmission
`device.
`
`46. (Proposed Substitute for Claim 24) The method of claim 44[[22]], wherein the
`act of receiving the time-varying multicharacter code comprises receiving an
`encrypted multicharacter code, and wherein the method further comprises
`decrypting the encrypted multicharacter code, and wherein the transaction request
`includes a time value representative of when the time-varying multicharacter code
`was generated, and the method further comprises:
`extracting the time value from the transaction request.
`
`47. (Proposed Substitute for Claim 38) A secure registry system for providing
`information to a provider to enable transactions between the provider and entities
`with secure data stored in the secure registry system, the secure registry system
`comprising:
`a database including secure data for each entity, wherein each entity is
`associated with a time-varying multicharacter code for each entity having secure
`data in the secure registry system, respectively, each time-varying multicharacter
`code representing an identity of one of the respective entities; and
`a processor configured to:
`receive from the provider the time-varying multicharacter code for the
`entity on whose behalf a transaction is to be performed, the entity having
`had its identity verified using a biometric;, configured to
`map the time-varying multicharacter code to the identity of the entity
`without requiring further information to identify the entity;, configured to
`access from the database secure data associated with the entity
`including information required to enable the transaction, the information
`including account identifying information that includes a public ID code that
`
`A3
`
`

`

`Case No. IPR2018-00812
`U.S. Patent No. 8,856,539
`identifies a financial account number associated with the entity; and, and
`configured to
`provide the account identifying information to a third party that uses
`the public ID code to obtain the financial account number associated with
`the entity to enable or deny the transaction without providing the account
`identifying information to the provider, the third party being separate and
`apart from the secure registry;[[,]] and
`wherein enabling or denying the transaction without providing account
`identifying information to the provider includes limiting transaction information
`provided by the secure registry system to the provider to transaction approval
`information.
`
`A4
`
`

`

`Case No. IPR2018-00812
`U.S. Patent No. 8,856,539
`
`APPENDIX B
`CLAIM NOTATION CHART
`
`Claims
`Proposed Claim 39
`[[1]]39. A secure registry system for providing information to a
`provider to enable transactions between the provider and entities
`with secure data stored in the secure registry system, the secure
`registry system comprising:
`a database including secure data for each entity, wherein each
`entity is associated with a time-varying multicharacter code for
`each entity having secure data in the secure registry system,
`respectively, each time-varying multicharacter code representing
`an identity of one of the respective entities; and
`a processor configured to receive from the provider a transaction
`request including at least the time-varying multicharacter code
`for the entity on whose behalf a transaction is to be performed
`and an indication of the provider requesting the transaction,
`[[to]]
`the transaction request including a time value representative of
`when the time-varying multicharacter code was generated;
`extract the time value from the transaction request;
`map the time-varying multicharacter code to the identity of the
`entity using the time-varying multicharacter code;[[, to]]
`validate an identity of the provider and then
`execute a restriction mechanism to determine compliance with
`any access restrictions for the provider to secure data of the
`entity for completing the transaction based at least in part on the
`indication of the provider and the time-varying multicharacter
`code of the transaction request; and[[, and to]] allow or not
`allow access to the secure data associated with the entity
`including information required to enable the transaction based
`on the determined compliance with any access restrictions for
`the provider, the information including account identifying
`information,
`wherein the account identifying information is not provided to
`the provider and the account identifying information is provided
`to a third party to enable or deny the transaction with the
`
`B1
`
`39[pre]
`
`39[a]
`
`39[b]
`
`39[c]
`
`39[d]
`39[e]
`
`39[f]
`
`39[g]
`
`

`

`39[h]
`
`40
`
`41
`
`42
`
`43
`
`44[pre]
`
`44[a]
`
`44[b]
`
`44[c]
`44[d]
`
`44[e]
`
`Case No. IPR2018-00812
`U.S. Patent No. 8,856,539
`provider without providing the account identifying information
`to the provider; and
`wherein the identity of the entity is verified using a biometric.
`
`Proposed Claim 40
`[[2]]40. The system of claim 39[[1]], wherein the time-varying
`multicharacter code is provided to the system via a secure
`electronic transmission device.
`Proposed Claim 41
`[[3]]41. The system of claim 39[[1]], wherein the time-varying
`multicharacter code is encrypted and transmitted to the system,
`and wherein the system is configured to decrypt the time-
`varying multicharacter code with a public key of the entity.
`Proposed Claim 42
`[[16]]42. The system of claim 39[[1]], wherein the account
`identifying information includes an account number.
`Proposed Claim 43
`[[21]]43. The system of claim 39[[1]], wherein the identity of
`the entity is unknown until the time-varying code is mapped to
`the identity by the processor.
`Proposed Claim 44
`[[22]]44. A method for providing information to a provider to
`enable transactions between the provider and entities who have
`secure data stored in a secure registry in which each entity is
`identified by a time-varying multicharacter code, the method
`comprising:
`receiving from the provider a transaction request including at
`least the time-varying multicharacter code for an entity on
`whose behalf a transaction is to take place and an indication of
`the provider requesting the transaction,
`an identity of the entity on whose behalf the transaction is to
`take place having been verified using a biometric of the entity;
`mapping the time-varying multicharacter code to an identity of
`the entity using the time-varying multicharacter code;
`validating an identity of the provider;
`after validating the identity of the provider, determining
`compliance with any access restrictions for the provider to
`secure data of the entity for completing the transaction based at
`
`B2
`
`

`

`Case No. IPR2018-00812
`U.S. Patent No. 8,856,539
`least in part on the indication of the provider and the time-
`varying multicharacter code of the transaction request; accessing
`information of the entity required to perform the transaction
`based on the determined compliance with any access restrictions
`for the provider, the information including account identifying
`information;
`providing the account identifying information to a third party
`without providing the account identifying information to the
`provider to enable or deny the transaction, the third party being
`a different entity from the secure registry; and enabling or
`denying the provider to perform the transaction without the
`provider's knowledge of the account identifying information.
`Proposed Claim 45
`[[23]]45. The method of claim 44[[22]], wherein the act of
`receiving the time-varying multicharacter code comprises
`receiving the time-varying multicharacter code transmitted via a
`secure electronic transmission device.
`Proposed Claim 46
`[[24]]46. The method of claim 44[[22]], wherein the act of
`receiving the time-varying multicharacter code comprises
`receiving an encrypted multicharacter code, and wherein the
`method further comprises decrypting the encrypted
`multicharacter code,
`and wherein the transaction request includes a time value
`representative of when the time-varying multicharacter code was
`generated, and the method further comprises: extracting the time
`value from the transaction request.
`Proposed Claim 47
`[[38]]47. A secure registry system for providing information to a
`provider to enable transactions between the provider and entities
`with secure data stored in the secure registry system, the secure
`registry system comprising:
`a database including secure data for each entity, wherein each
`entity is associated with a time-varying multicharacter code for
`each entity having secure data in the secure registry system,
`respectively, each time-varying multicharacter code representing
`an identity of one of the respective entities; and
`a processor configured to: receive from the provider the time-
`
`B3
`
`44[f]
`
`45
`
`46[a]
`
`46[b]
`
`47[pre]
`
`47[a]
`
`47[b]
`
`

`

`Case No. IPR2018-00812
`U.S. Patent No. 8,856,539
`varying multicharacter code for the entity on whose behalf a
`transaction is to be performed,
`the entity having had its identity verified using a biometric;,
`configured to
`map the time-varying multicharacter code to the identity of the
`entity without requiring further information to identify the
`entity;, configured to
`access from the database secure data associated with the entity
`including information required to enable the transaction,
`the information including account identifying information that
`includes a public ID code that identifies a financial account
`number associated with the entity; and, and configured to
`provide the account identifying information to a third party that
`uses the public ID code to obtain the financial account number
`associated with the entity to enable or deny the transaction
`without providing the account identifying information to the
`provider, the third party being separate and apart from the secure
`registry;[[,]] and
`wherein enabling or denying the transaction without providing
`account identifying information to the provider includes limiting
`transaction information provided by the secure registry system
`to the provider to transaction approval information.
`
`47[c]
`
`47[d]
`
`47[e]
`
`47[f]
`
`47[g]
`
`47[h]
`
`B4
`
`

`

`Case No. IPR2018-00812
`U.S. Patent No. 8,856,539
`CERTIFICATE OF SERVICE
`
`Pursuant to 37 C.F.R. § 42.6(e), the undersigned hereby certify that
`
`PATENT
`
`OWNER’S
`
`CONDITIONAL MOTION
`
`TO
`
`AMEND
`
`UNDER 37 C.F.R. § 42.121, and all exhibits filed t