Paper No. 13
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________
`
`VISA INC. AND VISA U.S.A. INC.,
`Petitioner,
`
`v.
`
`UNIVERSAL SECURE REGISTRY LLC
`Patent Owner
`____________
`
`Case IPR2018-01350
`U.S. Patent No. 8,856,539
`____________
`
`PATENT OWNER’S CONDITIONAL MOTION TO AMEND
`UNDER 37 C.F.R. § 42.121
`
`

`

`Case No. IPR2018-01350
`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 ..........................9
`VI. CONCLUSION .................................................................................. 10
`APPENDIX A ..................................................................................................1
`APPENDIX B ..................................................................................................1
`
`IV.
`
`V.
`
`i
`
`

`

`Case No. IPR2018-01350
`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. IPR2018-01350
`U.S. Patent No. 8,856,539
`
`LIST OF EXHIBITS
`
`Description
`
`Declaration by Dr. Markus Jakobsson in Support of
`Patent Owner’s Preliminary Response.
`
`Curriculum Vitae of Markus Jakobsson.
`
`Terminal Disclaimer of U.S. Patent 8,856,539
`
`Declaration of Dr. Markus Jakobsson in Support of
`Patent Owner’s Response.
`
`Transcript of Dr. J. Douglas Tygar Deposition on April
`19, 2019.
`
`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).
`
`U.S. Application No. 11/768,729.
`
`U.S. Application No. 09/710,703.
`
`Declaration by Dr. Markus Jakobsson in Support of
`Motion to Amend.
`
`Exhibit #
`
`Ex. 2001
`
`Ex. 2002
`
`Ex. 2003
`
`Ex. 2004
`
`Ex. 2005
`
`Ex. 2006
`
`Ex. 2007
`
`Ex. 2008
`
`Ex. 2009
`
`Ex. 2010
`
`iii
`
`

`

`Case No. IPR2018-01350
`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 39-52 shown in Appendix A for original (i.e.,
`
`original) claims 1-4, 9, 16, 21-25, 31, 37, and 38 of U.S. Patent No. 8,856,539
`
`(“the ’539 Patent”) should any of claims 1-4, 9, 16, 21-25, 31, 37, 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 email correspondence dated April
`
`11, 2019.
`
`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. IPR2018-01350
`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 39-52 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. 2008 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. IPR2018-01350
`U.S. Patent No. 8,856,539
`
`09/810,703 (“’703 Application”).1 Ex. 2009.
`
`For example, with respect to claim limitations 39[b], 46[a], 51[c], and 52[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., Ex. 2008,
`
`’729 Application at 8:5-9:2, 9:25-10:11, 17:1-19:7, FIGS. 7-9; Ex. 2010,
`
`Jakobsson at ¶ 33.
`
`As to claim limitations 40[b] and 46[c], 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., Ex. 2008, ’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. 2010, Jakobsson at
`
`¶ 34.
`
`With respect to limitations 39[e] and 47[b], 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
`
`1 Appendix B maps the substitute claims provided in Appendix A to the
`
`corresponding claim notations used in the chart below.
`
`3
`
`

`

`Case No. IPR2018-01350
`U.S. Patent No. 8,856,539
`information and the access information 34 provided by the person to the USR
`
`database during the training process.” Ex. 2008, ’729 Application at 15:15-18; Ex.
`
`2010, Jakobsson at ¶ 35.
`
`As to limitations 39[h], 46[b], and 52[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., Ex. 2008, ’729 Application at 5:11-
`
`21, 12:20-28; Ex. 2010, Jakobsson at ¶ 36.
`
`As to limitations 52[f] and 52[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., Ex.
`
`2008, ’729 Application at 17:11-22, 18:1-14, 19:1-7; Ex. 2010, Jakobsson at ¶ 37.
`
`As to limitations 39[c], 48[a], 51[b], 51[d], and 52[pre], the ’729
`
`Application describes a training process where a person, such as the entity for
`
`whom a transaction may later be performed, establishes communication with a
`
`universal secure registry database to enter basic information and other additional
`
`information, such as sensitive/secure data, into the secure registry database, and
`
`also specify access restrictions to the secure data. See, e.g., Ex. 2008, ’729
`
`Application at 14:1-15:9, FIG. 5; Ex. 2010, Jakobsson at ¶ 38. The ’729
`
`Application also provides many examples where, after the training process has
`
`4
`
`

`

`Case No. IPR2018-01350
`U.S. Patent No. 8,856,539
`been completed, an entity may engage in a transaction by providing a time-varying
`
`multicharacter code to a merchant, which in turn communicates with the secure
`
`registry system either directly or indirectly through a third party, such as a credit
`
`card company. See, e.g., Ex. 2008, ’729 Application at 16:28-20:15, FIGS. 7-10.
`
`During this transaction process, the secure registry system does not communicate
`
`with the entity on whose behalf a transaction is being performed; such
`
`communications were, for example, terminated after the training process. See id.;
`
`Ex. 2010, Jakobsson at ¶ 38.
`
`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[c]
`
`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;
`2010 at ¶40.
`Ex. 2010 at ¶40.
`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. 2010 at
`FIGS. 1, 3; Ex. 2010 at ¶41.
`¶41.
`39[b] 8:5-9:2, 9:25-10:11, 17:1-19:7, Cl. 1,
`FIGS. 1, 7-9; Ex. 2010 at ¶42.
`11:12-12:11, 12:29-13:21, 14:1-15:9,
`16:28-20:15, FIGS. 3, 5, 7-10; Ex.
`2010 at ¶43.
`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. 2010 at
`¶44.
`39[e] 11:25-29, 15:10-16:7, FIG. 6; Ex.
`
`8:17-9:13, 10:7-25, 17:26-20:5,
`FIGS. 1, 7-9; Ex. 2010 at ¶42.
`11:27-12:28, 13:17-14:10, 14:22-
`15:31, 17:22-21:13, FIGS. 3, 5, 7-
`10; Ex. 2010 at ¶43.
`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. 2010 at
`¶44.
`12:11-15, 16:1-30, FIG. 6; Ex. 2010
`
`5
`
`

`

`Case No. IPR2018-01350
`U.S. Patent No. 8,856,539
`
`39[f]
`
`39[g]
`
`40[a]
`
`2010 at ¶45.
`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. 2010 at ¶46.
`
`at ¶45.
`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. 2010 at
`¶46.
`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. 2010
`20:15, Cl. 1, Cl. 7, FIGS. 7-10; Ex.
`at ¶47.
`2010 at ¶47.
`39[h] 5:11-21, 12:20-28; Ex. 2010 at ¶48. 5:31-6:6, 13:7-16; Ex. 2010 at ¶48.
`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. 2010 at
`FIGS. 2, 4, 7, 8; Ex. 2010 at ¶50.
`¶50.
`18:1-8, 20:15-31, FIGS. 7, 10; Ex.
`40[b] 17:7-13, 19:17-20:2, FIGS. 7, 10;
`2010 at ¶51.
`Ex. 2010 at ¶51.
`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. 2010 at ¶53.
`2010 at ¶53.
`Proposed Claim 42
`12:29-13:10, 19:17-21:22, FIGS. 3,
`13:17-29, 20:15-22:21, FIGS. 3, 10
`10, and 11, Cl. 5, Cl. 21; Ex. 2010 at
`and 11, Cl. 11, Cl. 22; Ex. 2010 at
`¶55.
`¶55.
`Proposed Claim 43
`12:29-13:10, 13:22-31, 19:17-21:22,
`13:17-29, 14:11-21, 20:15-22:21,
`FIGS. 3, 10, and 11, Cl. 5, Cl. 13, Cl.
`FIGS. 3, 10 and 11, Cl. 11, Cl. 12,
`21; Ex. 2010 at ¶57.
`Cl. 22, Cl. 23; Ex. 2010 at ¶57.
`Proposed Claim 44
`17:11-13, 18:3-6, Cl. 9, FIGS. 7, 8;
`18:5-8, 18:29-19:1, FIGS. 7, 8; Ex.
`Ex. 2010 at ¶59.
`2010 at ¶59.
`Proposed Claim 45
`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. 2010 at
`FIGS. 1, 3, 7, 8, 13-15; Ex. 2010 at
`¶61.
`¶61.
`Proposed Claim 46
`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. 2010 at ¶63.
`7-9; Ex. 2010 at ¶63.
`
`41
`
`42
`
`43
`
`44
`
`45
`
`46[pre]
`
`6
`
`

`

`46[d]
`
`46[e]
`
`46[f]
`
`47[a]
`
`Case No. IPR2018-01350
`U.S. Patent No. 8,856,539
`8:17-9:13, 10:7-25, 17:26-20:5,
`46[a] 8:5-9:2, 9:25-10:11, 17:1-19:7, Cl. 1,
`FIGS. 1, 7-9; Ex. 2010 at ¶64.
`FIGS. 1, 7-9; Ex. 2010 at ¶64.
`46[b] 5:11-21, 12:20-28; Ex. 2010 at ¶65. 5:31-6:6, 13:7-16; Ex. 2010 at ¶65.
`18:1-8, 20:15-31, FIGS. 7, 10; Ex.
`46[c] 17:7-13, 19:17-20:2, FIGS. 7, 10;
`Ex. 2010 at ¶66.
`2010 at ¶66.
`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, 19:17-20:2, 23:9-
`18:5-8, 18:27-19:16, 20:15-31,
`24:15, Cl. 1, FIGS. 1, 3, 7, 8, 10, 13-
`24:11-25:20, FIGS. 1, 3, 7, 8, 10, 13-
`15; Ex. 2010 at ¶67.
`15; Ex. 2010 at ¶67.
`Abstract, 11:1-12:19, 12:29-13:10,
`Abstract, 11:15-13:14, 13:17-29,
`14:1-15:2, 15:5-16:27, 17:1-18:9,
`14:22-15:25, 15:27-17:21, 17:26-
`FIGS. 1, 3, 5-8; Ex. 2010 at ¶68.
`19:5, FIGS. 1, 3, 5-8; Ex. 2010 at
`¶68.
`18:5-23, 18:27-19:16, 19:28-20:11,
`20:15-21:13, FIGS. 7-10; Ex. 2010
`at ¶69.
`Proposed Claim 47
`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. 2010 at ¶71.
`2010 at ¶71.
`47[b] 11:25-29, 15:10-16:7, FIG. 6; Ex.
`2010 at ¶72.
`
`12:11-15, 16:1-30, FIG. 6; Ex. 2010
`at ¶72.
`Proposed Claim 48
`11:12-12:11, 12:29-13:21, 14:1-15:9,
`11:27-12:28, 13:17-14:10, 14:22-
`16:28-20:15, FIGS. 3, 5, 7-10; Ex.
`15:31, 17:22-21:13, FIGS. 3, 5, 7-
`2010 at ¶74.
`10; Ex. 2010 at ¶74.
`48[b] 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. 2010 at ¶75.
`2010 at ¶75.
`Proposed Claim 49
`12:29-13:10, 19:17-21:22, FIGS. 3,
`13:17-29, 20:15-22:21, FIGS. 3, 10
`10, and 11, Cl. 5, Cl. 21; Ex. 2010 at
`and 11, Cl. 11, Cl. 22; Ex. 2010 at
`¶77.
`¶77.
`Proposed Claim 50
`12:29-13:10, 13:22-31, 19:17-21:22,
`13:17-29, 14:11-21, 20:15-22:21,
`FIGS. 3, 10, and 11, Cl. 5, Cl. 13, Cl.
`FIGS. 3, 10 and 11, Cl. 11, Cl. 12,
`21; Ex. 2010 at ¶79.
`Cl. 22, Cl. 23; Ex. 2010 at ¶79.
`Proposed Claim 51
`8:6-8, 8:17-28, 11:27-12:3, 12:11-
`51[pre] 7:25-27, 8:5-16, 11:12-18, 11:25-
`12:11, 12:29-13:26, 17:11-22, 18:1-
`28, 13:17-14:16, 18:5-16, 18:27-
`
`17:11-28, 18:1-20, 19:1-13, 19:17-
`20:15, Cl. 1, Cl. 7, Cl. 16, FIGS. 7-
`10; Ex. 2010 at ¶69.
`
`48[a]
`
`49
`
`50
`
`7
`
`

`

`51[a]
`
`Case No. IPR2018-01350
`U.S. Patent No. 8,856,539
`19:10, 19:28-20:5, FIGS. 1, 3, 7-9;
`Ex. 2010 at ¶81.
`8:17-28, 9:14-15, 11:15-13:6, Cl. 1,
`FIGS. 1, 3; Ex. 2010 at ¶82.
`
`51[d]
`
`51[e]
`
`51[f]
`
`51[g]
`
`51[h]
`
`52[pre]
`
`52[a]
`
`14, 19:1-7, Cl. 1, FIGS. 1, 3, 7-9; Ex.
`2010 at ¶81.
`8:5-16, 9:3-4, 11:1-12:11, 12:29-
`13:19, Cl. 1, FIGS. 1, 3; Ex. 2010 at
`¶82.
`51[b] 11:12-12:11, 12:29-13:21, 14:1-15:9,
`FIGS. 3, 5; Ex. 2010 at ¶83.
`51[c] 8:5-9:2, 9:25-10:11, 17:1-19:7, Cl. 1,
`FIGS. 1, 7-9; Ex. 2010 at ¶84.
`11:12-12:11, 12:29-13:21, 14:1-15:9,
`16:28-20:15, FIGS. 3, 5, 7-10; Ex.
`2010 at ¶85.
`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. 2010 at
`¶86.
`Abstract, 10:24-12:19, 12:29-13:10,
`14:1-15:2, 15:5-16:27, 17:1-18:9,
`FIGS. 1, 3, 5-8; Ex. 2010 at ¶87.
`
`11:27-12:28, 13:17-14:10, 14:22-
`15:31, FIGS. 3, 5; Ex. 2010 at ¶83.
`8:17-9:13, 10:7-25, 17:26-20:5,
`FIGS. 1, 7-9; Ex. 2010 at ¶84.
`11:27-12:28, 13:17-14:10, 14:22-
`15:31, 17:22-21:13, FIGS. 3, 5, 7-
`10; Ex. 2010 at ¶85.
`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. 2010 at
`¶86.
`Abstract, 11:7-13:14, 13:17-29,
`14:22-15:25, 15:27-17:21, 17:26-
`19:5, FIGS. 1, 3, 5-8; Ex. 2010 at
`¶87.
`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. 2010 at
`¶88.
`18:5-23, 18:27-19:16, 19:28-20:11,
`20:15-21:13, FIGS. 7-10; Ex. 2010
`at ¶89.
`Proposed Claim 52
`7:25-27, 8:5-16, 11:12-12:11, 12:29-
`8:6-8, 8:17-28, 11:27-12:28, 13:17-
`13:26, 14:1-15:9, 16:28-20:15, Cl. 1,
`14:16, 14:22-15:31, 17:22-21:13,
`FIGS. 1, 3, 5, 7-10; Ex. 2010 at ¶91.
`FIGS. 1, 3, 5, 7-10; Ex. 2010 at ¶91.
`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. 2010 at
`FIGS. 1, 3; Ex. 2010 at ¶92.
`¶92.
`8:17-9:13, 10:7-25, 17:26-20:5,
`52[b] 8:5-9:2, 9:25-10:11, 17:1-19:7, Cl. 1,
`FIGS. 1, 7-9; Ex. 2010 at ¶93.
`FIGS. 1, 7-9; Ex. 2010 at ¶93.
`52[c] 5:11-21, 12:20-28; Ex. 2010 at ¶94. 5:31-6:6, 13:7-16; Ex. 2010 at ¶94.
`8:17-28, 11:15-13:15, 13:17-29,
`52[d] 8:5-16, 11:1-12:22, 12:29-13:10,
`17:9-13, 18:1-20, 23:9-24:15, Cl. 1,
`18:5-8, 18:27-19:16, 24:11-25:20,
`
`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. 2010 at ¶88.
`
`17:11-28, 18:1-20, 19:1-13, 19:17-
`20:15, Cl. 1, Cl. 7, Cl. 16, FIGS. 7-
`10; Ex. 2010 at ¶89.
`
`8
`
`

`

`52[e]
`
`FIGS. 1, 3, 7, 8, 13-15; Ex. 2010 at
`¶95.
`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. 2010 at ¶96.
`52[f] 17:4-26; Ex. 2010 at ¶97.
`17:4-28, 18:1-20, 19:1-13, 19:17-
`20:15, Cl. 1, Cl. 7, FIGS. 7-10; Ex.
`2010 at ¶98.
`52[h] 17:4-26, 18:1-20, Cl. 10, 12; Ex.
`2010 at ¶99.
`
`52[g]
`
`Case No. IPR2018-01350
`U.S. Patent No. 8,856,539
`FIGS. 1, 3, 7, 8, 13-15; Ex. 2010 at
`¶95.
`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. 2010 at ¶96.
`
`17:29-18:21; Ex. 2010 at ¶97.
`17:29-18:23, 18:27-19:16, 19:28-
`20:11, 20:15-21:13, FIGS. 7-10; Ex.
`2010 at ¶98.
`17:29-18:21, 18:27-19:16; Ex. 2010
`at ¶99.
`
`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,
`
`46, 51, and 52, and any and all substitute dependent claims depending therefrom,
`
`respond to the sole ground of unpatentability set forth in the Petition. Paper 2 at
`
`17-62. Specifically, the amendments included in the substitute claims further
`
`differentiate the claims from the cited art: Brener in view of Weiss further in view
`
`of Desai. Ex. 2010, Jakobsson at ¶ 100. For instance, Brener does not teach that a
`
`transaction request is received at a secure registry from a provider without the
`
`secure registry system communicating with the entity on whose behalf a
`
`transaction is to be performed. Id. Moreover, Weiss does not teach that the
`
`transaction request includes a time value representative of when the time-varying
`
`multicharacter code was generated. Id. Additionally, none of the references
`
`9
`
`

`

`Case No. IPR2018-01350
`U.S. Patent No. 8,856,539
`describe entity identity verification using a biometric. Thus, substitute claims 39,
`
`46, 51, and 52, 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: May 13, 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
`Fax: (212) 849-7100
`Email: jimglass@quinnemanuel.com
`
`Lead Attorney for Patent Owner –
`Universal Secure Registry LLC
`
`10
`
`

`

`Case No. IPR2018-01350
`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 received at the secure registry
`system without the secure registry system communicating with the entity on
`whose behalf a transaction is to be performed;
`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 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.
`
`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
`
`A1
`
`

`

`Case No. IPR2018-01350
`U.S. Patent No. 8,856,539
`transmission device, and the transaction request includes a time value
`representative of when the time-varying multicharacter code was generated; and
`wherein the processor is further configured to:
`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 and the time value.
`
`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 4) The system as claimed in claim 39[[1]],
`wherein the transaction includes a service provided by the provider, wherein said
`provider's service includes delivery, wherein the information is an address to which
`an item is to be delivered to the entity, wherein the system receives the time-
`varying multicharacter code, and wherein the system uses the time-varying
`multicharacter code to obtain the appropriate address for delivery of the item by
`the third party.
`
`43. (Proposed Substitute for Claim 9) The system as claimed in claim 39[[1]],
`wherein the information includes personal identification information regarding the
`entity.
`
`44. (Proposed Substitute for Claim 16) The system of claim 39[[1]], wherein the
`account identifying information includes an account number.
`
`45. (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.
`
`46. (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
`
`A2
`
`

`

`Case No. IPR2018-01350
`U.S. Patent No. 8,856,539
`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, and the transaction request further including a time value
`representative of when the time-varying multicharacter code was generated;
`extracting the time value from the transaction request;
`mapping the time-varying multicharacter code to an identity of the entity
`using the time-varying multicharacter code and the time value;
`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;
`providing the account identifying information to a third party without
`providing the account identifying information to the provider to enable or deny the
`transaction; and
`enabling or denying the provider to perform the transaction without the
`provider's knowledge of the account identifying information.
`
`47. (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, and the method further comprises:
`prior to determining compliance with any access restrictions for the
`provider, validating an identity of the provider.
`
`48. (Proposed Substitute for Claim 24) The method of claim 44[[22]], wherein the
`transaction request is received at the secure registry system without the secure
`registry system communicating with the entity on whose behalf a transaction is to
`be performed, and 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.
`
`49. (Proposed Substitute for Claim 25) The method as claimed in claim 44[[22]],
`wherein the transaction includes a service provided by the provider, wherein the
`
`A3
`
`

`

`Case No. IPR2018-01350
`U.S. Patent No. 8,856,539
`service includes delivery, wherein the account identifying information is associated
`with an address to which an item is to be delivered for the entity, and wherein the
`third party receives the address for delivery of an item provided by the provider.
`
`50. (Proposed Substitute for Claim 31) The method as claimed in claim 44[[22]],
`wherein the act of mapping the time-varying multicharacter code to information
`required by the provider comprises mapping the time-varying multicharacter code
`to personal identification information about the entity.
`
`51. (Proposed Substitute for Claim 37) 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, wherein the database
`is configured to permit or deny access to information on the respective entity using
`the time-varying multicharacter code, the secure data stored at the database during
`a training process by establishing communications between the secure registry
`system and the 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, the transaction request received at the secure
`registry system during a transaction process initiated after completion of the
`training process and termination of communications between the secure
`registry system and the entity on whose behalf the transaction is to be
`performed;, configured to
`map the time-varying multicharacter code to the identity of the entity
`to identify the entity;, configured to
`execute a restriction mechanism to determine compliance with any
`access restrictions for the provider to at least one portion of secure data for
`completing the transaction and to store an appropriate code with each such
`portion of secure data;, configured to
`
`A4
`
`

`

`Case No. IPR2018-01350
`U.S. Patent No. 8,856,539
`obtain from the database the secure data associated with the entity
`including information required to enable the transaction, the information
`including account identifying information;, and configured to
`provide the account identifying information to a third party to enable
`or deny the transaction without providing the account identifying
`information to the provider.
`
`52. (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 without establishing and/or
`maintaining communications between the secure registry system and an entity on
`whose behalf a transaction is to be performed, 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
`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;[[,]] 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.
`
`A5
`
`

`

`Case No. IPR2018-01350