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`Video Data Compression Systems
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`James J. FALLON
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`Michael V. MessingerMWilliam Flanigen
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`Michael V. Messinger
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`3421.005000C
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`06-OCT-2015
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`This collection of information is required by 37 CFR 1.16. The information is required to obtain or retain a benefit by the public whichis to file (and by the USPTOto
`process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 12 minutes to complete, including gathering,
`preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any comments on the amount of time you
`require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent and Trademark Office, U.S.
`Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMSTO THIS
`ADDRESS. SEND TO: Commissionerfor Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`if you need assistance in completing the form, calf 1-800-PTO-9199 and select option 2.
`
`LIE
`/DEBRA SAVOY;
`
`IPR2018-01413
`Sony EX1002 Page 521
`
`IPR2018-01413
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`
`

`

`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`www.uspto.gov
`
`NOTICE OF ALLOWANCE AND FEE(S) DUE
`
`26111
`
`7590
`
`06/06/2016
`
`STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`1100 NEW YORK AVENUE,N.W.
`WASHINGTON, DC 208
`
`EXAMINER
`
`BOCURE, TESFALDET
`
`2634
`
`DATE MAILED: 06/06/2016
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEYDOCKET NO.
`
`CONFIRMATION NO.
`
`14/876,276
`
`10/06/2015
`
`James J. FALLON
`
`3421.005000C
`
`3403
`
`TITLE OF INVENTION: Video Data Compression Systems
`
`
`
`
`
`
`
`
`
`
`
`APPIN. TYPR PUBLICATION FER DUP.|PREV. PAID ISSUE FRRENTITY STATUS ISSTTF FRE DUR TOTAT. FER(S) DUE DATE DUR
`
`
`
`$960
`
`09/06/2016
`
`nonprovisional
`
`UNDISCOUNTED
`
`THE APPLICATION IDENTIFIED ABOVE HAS BEEN EXAMINED AND IS ALLOWED FOR ISSUANCEAS A PATENT.
`PROSECUTION ON THE MERITS IS CLOSED. TITS NOTICE OF ALLOWANCEIS NOT A GRANT OF PATENT RIGIITS.
`THIS APPLICATION IS SUBJECT TO WITHDRAWAL FROM ISSUE AT THE INITIATIVE OF THE OFFICE OR UPON
`PETITION BY THE APPLICANT. SEE 37 CFR 1.313 AND MPEP 1308.
`
`THE ISSUE FEE AND PUBLICATION FEE (IF REQUIRED) MUST BE PAID WITHIN THREE MONTHS FROM THE
`MAILING DATE OF THIS NOTICE OR THIS APPLICATION SHALL BE REGARDED AS ABANDONED.
`THIS
`STATUTORY PERIOD CANNOT BE EXTENDED.
`SEE 35 U.S.C. 151. THE ISSUE FEE DUE INDICATED ABOVE DOES
`NOT REFLECT A CREDIT FOR ANY PREVIOUSLY PAID ISSUE FEE IN THIS APPLICATION.
`IF AN ISSUE FEE HAS
`PREVIOUSLY BEEN PAID IN THIS APPLICATION (AS SHOWN ABOVE), THE RETURN OF PART B OF THIS FORM
`WILL BE CONSIDERED A REQUEST TO REAPPLY THE PREVIOUSLY PAID ISSUE FEE TOWARD THE ISSUE FEE NOW
`DUE.
`
`HOW TO REPLY TO THIS NOTICE:
`
`I. Review the ENTITY STATUSshownabove.If the ENTITY STATUSis shown as SMALL or MICRO,verify whether entitlement to that
`entity status sull applies.
`If the ENTITY STATUS is the same as shown above, pay the TOTAL FEE(S) DUE shownabove.
`If the ENTITY STATUS is changed from that shown above, on PART B - FER(S) TRANSMITTAL, complete section number5 titled
`"Change in Entity Status (fromstatus indicated above)".
`For purposesof this noticc, small entity fecs are 1/2 the amount of undiscountcd fees, and micro entity feces are 1/2 the amountof small cntity
`fees.
`
`I. PART B - FEE(S) TRANSMITTAL,or its equivalent, must be completed and returned to the United States Patent and Trademark Office
`(USPTO) with your ISSUE FEE and PUBLICATIONFEE(if required). If you are charging the fee(s) to your deposit account, section "4b"
`of Part B - Fee(s) Transmittal should be completed and an extra copy of the form should be submitted. If an equivalent of Part B is filed, a
`request to reapply a previously paid issue fee must be clearly made, and delays in processing may occur dueto the difficulty in recognizing
`the paper as an equivalent of Part B.
`
`IM. All communications regarding this application must give the application number. Please direct all communications prior to issuance to
`Mail Stop ISSUE FEEunlessadvisedto the contrary.
`
`IMPORTANT REMINDER: Utility patents issuing on applications filed on or after Dec. 12, 1980 may require payment of
`maintenancefees. It is patentee's responsibility to ensure timely payment of maintenance fees when due.
`
`PTOL-85 (Rev. 02/11)
`
`Page 1 of 3
`
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`
`IPR2018-01413
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`
`

`

`PART B - FEE(S) TRANSMITTAL
`
`Complete and send this form, together with applicable fee(s), to: Mail Mail Stop ISSUE FEE
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`or Fax (571)-273-2885
`
`INSTRUCTONS: ‘This form should be used for transmitting the ISSUE KEE and PUBLICATION FEE(if required). Blocks 1
`through 5 should be completed where
`ppropriate. All further correspondence including the Patent, advance orders and notification of maintenance fees will be mailed to the current correspondence address as
`Adicated unless corrected below or directed otherwise in Block 1, by (a) specifying a new correspondence address; and/or (b) indicating a separate "FEE ADDRESS"for
`maintenance feenotifications.
`Note: A certificate of mailing
`can only be used for domestic mailings of the
`Fee(s) Transmittal. This certificate cannot be used for any other accompanying
`apers. Each additional paper, such as an assignment or formal drawing, must
`have its own certificate of mailing or transmission.
`Certificate of Mailing or Transmission
`I hereby certify that this Kee(s) ‘lransmittal is being deposited with the United
`States Fostal Service with sufficient Postagefor first class mailin an gnvelope
`addressed
`to
`the Mail Stop ISSUE FEE address above, or
`being
`facsimile
`transmitted to the USPTO (571) 273-2885, on the date indicated below.
`(epositor's name)
`(Signature)
`
`CURRENT CORRESPONDENCE ADDRESS(Note: Use Block | for any change of address)
`
`06/06/2016
`7590
`26111
`STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`r
`1100 NEW YORK AVENUE, N.W.
`WASTIINGTON,DC 20005
`
`(Date)
`
` APPLICATION NO.
`
`FIRS’) NAMED INVENTOR
`
`ATTORNEY DOCKETNO.
`
`CONFIRMATION NO.
`
`James J. FALLON
`
`3421.005000C
`
`3403
`
`14/876.276
`
`FILING DATE
`
`10/06/2015
`
`TITLE OF INVENTION: Video Data Compression Systems
`
`
`
`ENTITY STATUS PUBLICATION FEE DUE|PREV. PAID ISSLE FEEISSUE FEE DUE TOTAL FEE(S) DUE DATE DUE
`
`
`
`
`
`
`
`
` APPLN. TYPE
`
`
`nonprovisional
`
`UNDISCOUNTTE:D
`
`$960
`
`09/06/2016
`
`EXAMINER
`
`ART UNIT
`
`CLASS-SUBCLASS
`
`BOCURE, TESFALDET
`
`2634
`
`375-240100
`
`2. For printing on the patent front page,list
`1. Change of correspondence address or indication of "Fee Address" (37
`CFR 1.363).
`(1) The names of up to 3 registered patent attorneys
`LY changeof correspondenceaddress (or Change of Correspondence
`or agents OR,alternatively,
`Address foorm PTO/SB/122) attached.
`(2) The nameofa single firm (having as a member a
`registered attorney or agent) and the names of up to
`L] "Fee Address"indication (or "Fee Address" Indication form
`2 registered patentattorneys or agents. If no nameis
`PTO/SB/47, Rev 03-02 or more recent) attached. Use of a Customer
`listed, no namewill be printed.
`Numberis required.
`3. ASSIGNEE NAME AND RESIDENCE DATA 'TO BE PRINTED ON THE PATENT(printor type)
`If an assignee is identified below, the documenthas beenfiled for
`PLEASE NOTE: Unless an assignee is identified below, no assignee data will appear on the patent.
`recordation as set forth in 37 CFR 3.11. Completion of this form is NOT a substitute for filing an assignment.
`(A) NAMEOF ASSIGNEE
`(B) RESIDENCE: (CITY and STATE OR COUNTRY)
`
`
`
`
`
`2
`3
`
`
`
`Please check the appropriate assignee categoryor categories (will not be printed on the patent) :
`
`(CV individual LY Corporation or other private group entity (J Government
`
`Aa. ‘The following fee(s) are submitted:
`LB issue Fee
`LY Publication Fee (No small entity discount permitted)
`LY Advance Order - # of Copies
`
` LJ Applicant changing to regular undiscounted fee status.
`
`5. Change in Entity Status (from status indicated above)
`LJ Applicant certifying micro entity status. See 37 CFR 1.29
`
`LJ Applicantasserting small entity status. See 37 CFR 1.27
`
`4b. Paymentof Kee(s): (Pleasefirst reapply any previously paid issue fee shown above)
`LIA check is enclosed.
`Lj Paymentby credit card. Form PTO-2038 is attached.
`[_] The directoris herebyauthorized to charge the required fee(s), any deficiency, or credits any
`overpayment, to Deposit Account Number
`(enclose an extra copy of this form).
`
`
`
`
`NOTE:Absenta valid certification of Micro Entity Status (see forms PTO/SB/15A and 15B), issue
`fee paymentin the micro entity amountwill not be acceptedatthe risk of application abandonment.
`
`NOTE:If the application was previously under micro entity status, checking this box will be taken
`to be a notification of loss of entitlement to micro entity status.
`NOTE:Checking this box will be taken to be a notification of loss of entitlement to small or micro
`entity status, as applicable.
`
`NOTE:This form must be signed in accordance with 37 CER 1.31 and 1.33. See 37 CFR 14 for signature requirements and certifications.
`
`Date
`
`Registration No.
`
`Typed or printed name
`
`Authorized Signature
`
`PLOL-85 Part B (10-13) Approved for use through 10/31/2013.
`
`OMB 0651-0033
`
`U.S. Patentand ‘Trademark Office; U.S. DEPARTMENT OF COMMERCE
`
`Page 2 of 3
`
`IPR2018-01413
`Sony EX1002 Page 523
`
`IPR2018-01413
`Sony EX1002 Page 523
`
`

`

`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`www.uspto.gov
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEYDOCKET NO.
`
`CONFIRMATION NO.
`
`
`
`14/876,276
`
`10/06/2015
`
`James J. FALLON
`
`3421.005000C
`
`3403
`
`26111
`
`7590
`
`06/06/2016
`
`STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`1100 NEW YORK AVENUE,N.W.
`WASHINGTON, DC 20005
`
`BOCURE, TESFALDET
`
`2634
`
`DATE MAILED: 06/06/2016
`
`Determination of Patent Term Adjustment under35 U.S.C. 154 (b)
`(Applications filed on or after May 29, 2000)
`
`The Office has discontinued providing a Patent Term Adjustment (PTA) calculation with the Notice of Allowance.
`
`to eliminate the
`Section 1(h)(2) of the AIA Technical Corrections Act amended 35 U.S.C. 154(b)(3)(B)G)
`requirement that the Office provide a patent term adjustment determination with the notice of allowance. See
`Revisions to Patent Term Adjustment, 78 Fed. Reg. 19416, 19417 (Apr. 1, 2013). Therefore, the Office is no longer
`providing an initial patent term adjustment determination with the notice of allowance. The Office will continue to
`provide a patent term adjustment determination with the Issue Notification Letter that
`is mailed to applicant
`approximately three weeks prior to the issue date of the patent, and will include the patent term adjustment on the
`patent. Any request for reconsideration of the patent term adjustment determination (or reinstatement of patent term
`adjustment) should follow the process outlined in 37 CFR 1.705.
`
`Any questions regarding the Patent Term Extension or Adjustment determination should be directed to the Office of
`Patent Legal Administration at (571)-272-7702. Questions relating to issue and publication fee payments should be
`directed to the Customer Service Center of the Office of Patent Publication at 1-(888)-786-0101 or (571)-272-4200.
`
`PTOL-85 (Rev. 02/11)
`
`Page 3 of 3
`
`IPR2018-01413
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`IPR2018-01413
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`
`

`

`OMB Clearance and PRA Burden Statement for PTOL-85 Part B
`
`‘The Paperwork Reduction Act (PRA) of 1995 requires Federal agencies to obtain Office of Management and
`Budget approval before requesting most types of information from the public. When OMBapproves an agency
`request to collect information from the public, OMB (i) provides a valid OMB Control Number and expiration
`date for the agency to display on the instrument that will be used to collect the information and (ii) requires the
`agency to inform the public about the OMB Control Number’s legal significance in accordance with 5 CFR
`1320.5(b).
`
`The information collected by PTOL-85 Part B is required by 37 CFR 1.311. The informationis required to obtain
`or retain a benefit by the public whichis to file (and by the USPTO to process) an application. Confidentiality is
`governed by 35 U.S.C. 122 and 37 CI'R 1.14. This collection is estimated to take 12 minutes to complete,
`including gathering, preparing, and submitting the completed application form to the USPTO. Time will vary
`depending upon the individual case. Any comments on the amount of time you require to complete this form
`and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent and
`Trademark Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, Virginia 22313-1450. DO NOT
`SEND FEES OR COMPLETED FORMS ‘TO THIS ADDRESS. SEND 10: Commissioner for Patents, P.O. Box
`1450, Alexandria, Virginia 22313-1450. Under the Paperwork Reduction Act of 1995, no persons are required to
`respondto a collection of information unless it displays a valid OMB control number.
`
`Privacy Act Statement
`
`The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection with your
`submission of the attached form related to a patent application or patent. Accordingly, pursuant
`to the
`requirements of the Act, please be advised that: (1) the general authority for the collection of this information is
`35 U.S.C. 2(b)(2); (2) furnishing of the information solicited is voluntary; and (3) the principal purpose for which
`the information is used by the U.S. Patent and Trademark Office is to process and/or examine your submission
`related to a patent application or patent. If you do not furnish the requested information, the U.S. Patent and
`Trademark Office may not be able to process and/or examine your submission, which mayresult in termination of
`proceedings or abandonmentofthe application or expiration of the patent.
`
`The information provided by you in this form will be subjectto the following routine uses:
`1. The information on this form will be treated confidentially to the extent allowed under the Freedom of
`Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 552a). Records from this system of records
`may be disclosed to the Department of Justice to determine whether disclosure of these records is required
`by the Freedom of Information Act.
`2. Arecord from this system of records may bedisclosed, as a routine use, in the course of presenting evidence
`to a court, magistrate, or administrative tribunal, including disclosures to opposing counsel in the course of
`settlement negotiations.
`3. A record in this system of records may be disclosed, as a routine use, to a Member of Congress submitting a
`request involving an individual, to whom the record pertains, when the individual has requested assistance
`from the Member with respect to the subject matter of the record.
`4. A record in this system of records may be disclosed, as a routine use, to a contractor of the Agency having
`need for the information in order to perform a contract. Recipients of information shall be required to
`comply with the requirements of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C. 552a(m).
`5. A record related to an International Application filed under the Patent Cooperation ‘lreaty in this system of
`records may be disclosed, as a routine use, to the International Bureau of the World Intellectual Property
`Organization, pursuantto the Patent Cooperation Treaty.
`6. A record in this system of records may be disclosed, as a routine use, to another federal agency for purposes
`of National Security review (35 U.S.C. 181) and for review pursuant to the Atomic Energy Act (42 U.S.C.
`218(c)).
`7. A record from this system of records may be disclosed, as a routine use, to the Administrator, General
`Services, or his/her designee, during an inspection of records conducted by GSA aspart of that agency's
`responsibility to recommend improvements in records managementpractices and programs, under authority
`of 44 U.S.C, 2904 and 2906. Such disclosure shall be made in accordance with the GSA regulations
`governing inspection of records for this purpose, and any other relevant (i.e., GSA or Commerce) directive.
`Such disclosure shall not be used to make determinations about individuals.
`8. A record fromthis system of records may be disclosed, as a routine use, to the public after either publication
`of the application pursuant to 35 U.S.C. 122(b) or issuance of a patent pursuant to 35 U.S.C. 151. Further, a
`record may be disclosed, subject to the limitations of 37 CFR 1.14, as a routine use, to the public if the
`record wasfiled in an application which became abandoned or in which the proceedings were terminated
`and which application is referenced by either a published application, an application open to public
`inspection or an issued patent.
`9. A record from this system of records may be disclosed, as a routine use, to a Federal, State, or local law
`enforcement agency,if the USPTO becomesaware ofa violation or potential violation of law or regulation.
`
`IPR2018-01413
`Sony EX1002 Page 525
`
`IPR2018-01413
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`
`

`

` Application No. Applicant(s)
`
` 14/876,276 FALLON ETAL.
`
`TESPALDET BOCURE
`Notice of Allowability
`3dm
`status enero
`No
`
`-- The MAILING DATEof this com