`
`UNITED STATES INTERNATIONAL TRADE COMMISSION
`WASHINGTON, D.C.
`
`Before the Honorable MaryJoan McNamara
`Administrative Law Judge
`
`
`
`In the Matter of
`
`CERTAIN LTE- AND 3G-COMPLIANT
`COMMUNICATIONS DEVICES
`
`
`
`Investigation No. 337-TA-1138
`
`
`
` RESPONDENTS’ NOTICE OF PRIOR ART
`
`
`Pursuant to Order No. 7 and Ground Rule 4, Respondents HTC Corporation, HTC
`
`America, Inc., Apple Inc., ZTE Corporation, and ZTE (USA) Inc. (collectively, “Respondents”)
`
`hereby submit this Notice of Prior Art. The attached Exhibit A sets forth the prior art relevant to
`
`each of the patents asserted by Complainant INVT SPE LLC in this Investigation. Respondents
`
`intend to rely on the below-listed references, either singly or in combination, to establish the
`
`invalidity and/or unenforceability of the asserted patents.
`
`Respondents also give notice that it may rely upon the following: (i) prior art contained
`
`within the prosecution histories of the asserted patents; (ii) prior art contained within the
`
`prosecution histories of patents or patent applications related to the asserted patents; (iii) prior art
`
`identified by the Staff of any other party in a notice of prior art; and (iv) prior art identified
`
`during the remainder of the discovery.
`
`Discovery is ongoing in this investigation, and Complainant has not yet provided all of
`
`the discovery requested by Respondents or supplied all of its contentions regarding certain
`
`issues, including validity. Accordingly, Respondents reserve the right to supplement, amend, or
`
`otherwise modify this notice as necessary based upon Complainant’s contentions, further
`
`
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`IPR2018-01556
`HTC v. INVT
`INVT Exhibit 2004 - Page 1
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`
`
`
`
`discovery and investigation, review of newly or yet-to-be produced documents, any discovery
`
`provided by third parties, and the disclosures of witnesses not yet deposed.
`
`Dated: December 7, 2018
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`By:
`
`
`
`/s/ Stephen S. Korniczky
`Stephen S. Korniczky
`Martin R. Bader
`Nam Kim
`Ericka J. Schulz
`Ryan P. Cunningham
`Eric K. Gill
`Ximena P. Solano Suarez
`SHEPPARD, MULLIN, RICHTER & HAMPTON LLP
`12275 El Camino Real, Suite 200
`San Diego, California 92130
`Telephone: 858.720.8900
`Facsimile: 858.509.3691
`Email: LegalTM-HTC-INVT-
`ITC@SheppardMullin.com
`
`Edward V. Anderson
`SHEPPARD, MULLIN, RICHTER & HAMPTON LLP
`379 Lytton Avenue
`Palo Alto, California 94301
`Telephone: 650.815.2600
`Facsimile: 650.816.2601
`
`Carrie A. Ross
`SHEPPARD, MULLIN, RICHTER & HAMPTON LLP
`2099 Pennsylvania Avenue, NW, Suite 100
`Washington, D.C. 200006
`Telephone: 202.747.1900
`Facsimile: 202.747.1901
`
`Attorneys for Respondents
`HTC Corporation and HTC America, Inc.
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`- 2 -
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`IPR2018-01556
`HTC v. INVT
`INVT Exhibit 2004 - Page 2
`
`
`
`
`
`
`
`
`/s/ Jay H. Reiziss
`Jay H. Reiziss
`Alexander P. Ott
`McDERMOTT WILL & EMERY LLP
`500 North Capital Street, NW
`Washington, DC 20001
`Telephone: 202-756-8000
`Facsimile: 202-756-8087
`Email: zteinvt@mwe.com
`
`Charles M. McMahon
`Brian A. Jones
`Thomas M. DaMario
`McDERMOTT WILL & EMERY LLP
`444 West Lake Street, Suite 4000
`Chicago, IL 60606
`Telephone: 312-372-2000
`Facsimile: 312-984-7700
`
`Jiaxiao Zhang
`McDERMOTT WILL & EMERY LLP
`4 Park Plaza, Suite 1700
`Irvine, CA 92614
`Telephone: 949-851-0633
`Facsimile: 949-851-9348
`
`Attorneys for Respondents
`ZTE Corporation and ZTE (USA) Inc.
`
`/s/ Paul F. Brinkman, P.C.
`Paul F. Brinkman, P.C.
`KIRKLAND & ELLIS LLP
`655 Fifteenth Street, N.W.
`Washington, D.C. 20005
`Telephone: (202) 879-5000
`Facsimile: (202) 879-5200
`Email: Apple-Inventergy@kirkland.com
`
`
`Greg S. Arovas, P.C.
`Robert A. Appleby, P.C.
`Jeanne M. Heffernan, P.C.
`Leslie M. Schmidt
`Alan Rabinowitz
`KIRKLAND & ELLIS LLP
`601 Lexington Avenue
`New York, NY 10022
`Telephone: (212) 446-4800
`Facsimile: (212) 446-4900
`
`Akshay S. Deoras
`KIRKLAND & ELLIS LLP
`555 California Street
`San Francisco, CA 94104
`Telephone: (415) 439-1400
`Facsimile: (415) 439-1500
`
`David Rokach
`KIRKLAND & ELLIS LLP
`300 North LaSalle
`Chicago, IL 60654
`Telephone: (312) 862-2000
`Facsimile: (312) 862-2200
`
`Attorneys for Respondents
`Apple Inc.
`
`
`
`
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`- 3 -
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`IPR2018-01556
`HTC v. INVT
`INVT Exhibit 2004 - Page 3
`
`
`
`
`
`
`
`In the Matter of
`
`CERTAIN LTE- AND 3G-COMPLIANT
`CELLULAR COMMUNICATIONS
`DEVICES
`
`
`
`
`Investigation No. 337-TA-1138
`
`
`CERTIFICATE OF SERVICE
`
`I HEREBY CERTIFY that on this day, December 7, 2018, a true and correct copy of the
`foregoing document, RESPONDENTS’ NOTICE OF PRIOR ART, was served by the
`indicated means to the persons at the addresses below:
`
`
`For the U.S. International Trade Commission:
`
`The Honorable Lisa R. Barton
`
`Secretary to the Commission
`
`U.S. INTERNATIONAL TRADE
`
`COMMISSION
`500 E Street, SW, Room 112
`Washington, DC 20436
`Hon. MaryJoan McNamara
`Administrative Law Judge
`U.S. INTERNATIONAL TRADE
`COMMISSION 500 E Street, S.W.
`Washington, D.C. 20436
`Reginald Lucas, Esq.
`Vu Bui, Esq.
`Office of Unfair Import Investigations
`U.S. INTERNATIONAL TRADE
`COMMISSION
`500 E Street, S.W.
`Washington, DC 20436
`For Complainants INVT SPE LLC:
`Bryan J. Vogel
`ROBINS KAPLAN LLP
`399 Park Avenue, Suite 3600
`New York, NY 10022-4690
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`For Respondents Apple Inc.
`Robert A. Appleby, P.C.
`KIRKLAND & ELLIS LLP
`601 Lexington Avenue
`New York, New York 10022
`Telephone: (212) 446-4800
`Facsimile: (212) 446-4900
`
`
`
`
`
`
`
`
`
`
`
`i
`
`
`Via EDIS
`Via Hand Delivery
`Via Federal Express (2 copies)
`Via Electronic Mail
`
`Via EDIS
`Via Hand Delivery
`Via Federal Express (2 copies)
`Via Electronic Mail to:
`jae.lee@usitc.gov
`Via EDIS
`Via Hand Delivery
`Via Federal Express
`Via Electronic Mail to:
`reginald.lucas@usitc.gov
`vu.bui@usitc.gov
`
`Via EDIS
`Via Hand Delivery
`Via Federal Express
`Via Electronic Mail to:
`RK_INVT_ITC@RobinsKaplan.com
`
`Via EDIS
`Via Hand Delivery
`Via Federal Express
`Via Electronic Mail to:
`Apple-Inventergy@kirkland.com
`
`
`
`
`IPR2018-01556
`HTC v. INVT
`INVT Exhibit 2004 - Page 4
`
`
`
`
`
`For Respondents ZTE Corporation and ZTE (USA) Inc.
`
`Jay H. Reiziss
`Via EDIS
`
`MCDERMOTT WILL & EMERY LLP
`Via Hand Delivery
`
`500 North Capitol Street, NW
`Via Federal Express
`
`Washington, DC 20001
`Via Electronic Mail to:
`ZTEINVT@mwe.com
`
`
`
`
`
`
`
`
`
`
`
`
` /s/ Kristina Grauer
` Kristina Grauer
`
`ii
`
`
`
`
`
`IPR2018-01556
`HTC v. INVT
`INVT Exhibit 2004 - Page 5
`
`
`
`
`
`
`
`
`
`
`
`
`Exhibit A
`Exhibit A
`
`
`
`
`|PR2018-01556
`
`
`HTC v. INVT
`
`INVT Exhibit 2004 - Page 6
`
`IPR2018-01556
`HTC v. INVT
`INVT Exhibit 2004 - Page 6
`
`
`
`
`
`I.
`
`United States Patent Nos. 6,760,590 and 7,206,587
`
`Patents, Patent Applications, and Patent Publications1
`
`
`United States Patent Nos. 6,760,590 and 7,206,587
`
`Issuing
`Country
`
`Number
`
`Filing Date
`
`Issue/Publication
`Date
`
`First Named
`Inventor
`
`United States
`
`4,747,104
`
`Jun. 5, 1986
`
`May 24, 1988
`
`Piret
`
`United States
`
`4,763,331
`
`Dec. 2, 1986
`
`Aug. 9, 1988
`
`Matsumoto
`
`United States
`
`5,233,349
`
`Jan. 7, 1992
`
`Aug. 3, 1993
`
`Moulsley
`
`United States
`
`5,502,744
`
`March 26, 1996 August 21, 1992 Marshall
`
`United States
`
`5,539,780
`
`Oct. 28, 1993
`
`Jul. 23, 1996
`
`Dutkiewicz
`
`United States
`
`5,691,992
`
`Oct. 12, 1995
`
`Nov. 25, 1997
`
`Molnar
`
`United States
`
`5,768,296
`
`Dec. 6, 1996
`
`Jun. 16, 1998
`
`Langer
`
`United States
`
`5,930,706
`
`Nov. 29, 1995
`
`Jul. 27, 1999
`
`Raith
`
`United States
`
`6,215,827
`
`Mar. 19, 1998
`
`Apr. 10, 2001
`
`Balachandran
`
`United States
`
`6,289,485
`
`Oct. 22, 1998
`
`Sep. 11, 2001
`
`Shiomoto
`
`United States
`
`6,292,471
`
`Oct. 29, 1998
`
`Sep. 18, 2001
`
`Cao
`
`United States
`
`6,366,779
`
`Sep. 22, 1998
`
`Apr. 2, 2002
`
`Bender
`
`United States
`
`6,377,814
`
`Feb. 7, 2000
`
`Apr. 23, 2002
`
`Bender
`
`United States
`
`6,393,012
`
`Jan. 7, 2000
`
`May 21, 2002
`
`Pankaj
`
`United States
`
`6,426,978
`
`Oct. 1, 1998
`
`Jul. 30, 2002
`
`Bottomley
`
`United States
`
`6,452,914
`
`Jun. 11, 2001
`
`Sep. 17, 2002
`
`Niemelä
`
`United States
`
`6,470,470
`
`Feb. 6, 1998
`
`Oct. 22, 2002
`
`Jarvinen
`
`
`1 For the avoidance of doubt (where not separately identified), reference to a granted patent by
`patent number also refers to the corresponding publication numbers and provisional application
`numbers.
`
`SMRH:488604342.1
`
`
`
`
`- 1 -
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`
`IPR2018-01556
`HTC v. INVT
`INVT Exhibit 2004 - Page 7
`
`
`
`
`
`United States Patent Nos. 6,760,590 and 7,206,587
`
`Issuing
`Country
`
`Number
`
`Filing Date
`
`Issue/Publication
`Date
`
`First Named
`Inventor
`
`United States
`
`6,574,211
`
`Nov. 3, 1997
`
`Jun. 3, 2003
`
`Padovani
`
`United States
`
`6,603,980
`
`Aug. 27, 1999
`
`Aug. 5, 2003
`
`Kitagawa
`
`United States
`
`6,665,831
`
`Jan. 6, 2000
`
`Dec. 16, 2003
`
`Yoshida
`
`United States
`
`6,751,206
`
`Jun. 29, 2000
`
`Jun. 15, 2004
`
`Padovani
`
`United States
`
`6,882,636
`
`April 19, 2005
`
`July 6, 1999
`
`Kim
`
`United States
`
`6,975,611
`
`Mar. 3, 2000
`
`Dec. 13, 2005
`
`Balachandran
`
`United States
`
`7,079,550
`
`Dec. 12, 2002
`
`Jul. 18, 2006
`
`Padovani
`
`United States
`
`7,088,701
`
`Apr. 14, 2000
`
`Aug. 8, 2006
`
`Attar
`
`United States
`
`7,245,594
`
`May 12, 2000
`
`Jul. 17, 2007
`
`Esteves
`
`United States
`
`7,400,606
`
`Apr. 16, 2004
`
`Jul. 15, 2008
`
`Padovani
`
`Jan. 19, 2001
`
`Nov. 8, 2001
`
`Tong
`
`United States
`
`2001/0038630
`
`United States
`
`2003/0142656
`
`Dec. 12, 2002
`
`Jul. 31, 2003
`
`Padovani
`
`Europe
`
`0083127
`
`Dec. 14, 1982
`
`Mar. 12, 1986
`
`Driessen
`
`Europe
`
`0490552
`
`Dec. 2, 1991
`
`Mar. 12, 1997
`
`Chung
`
`Europe
`
`0680157
`
`Apr. 19, 1995
`
`Sep. 11, 2002
`
`Seshadri
`
`Europe
`
`0802638
`
`Oct. 22, 1997
`
`Apr. 1, 1997
`
`Sanjiv
`
`Europe
`
`0964540
`
`May 20, 1999
`
`Dec. 15, 1999
`
`Anandakumar
`
`Europe
`
`0975115
`
`Jul. 21, 1998
`
`Jan. 1, 2000
`
`Eizenhoefer
`
`Europe
`
`0986192A2
`
`Mar. 15, 2000
`
`July 26, 1999
`
`Kato
`
`Europe
`
`0986282A1
`
`Mar.15, 2000
`
`April 19, 1999
`
`Hiramatsu
`
`Europe
`
`1035658A1
`
`Sept.13, 2000
`
`August 27, 1999 Kasapidis
`
`WIPO
`
`PCT/US98/23428 Nov. 3, 1998
`
`May 14, 1999
`
`Padovani
`
`
`
`
`
`
`- 2 -
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`
`IPR2018-01556
`HTC v. INVT
`INVT Exhibit 2004 - Page 8
`
`
`
`
`
`
`Non-Patent Publications
`
`
`United States Patent Nos. 6,760,590 and 7,206,587
`
`Title
`
`Date
`
`Author(s)
`
`Page
`Numbers
`
`Jan. 2013
`
`ETSI
`
`All
`
`Dec. 1997
`
`ETSI
`
`All
`
`Dec. 1999
`
`ETSI
`
`
`
`Mar. 2000
`
`ETSI
`
`Mar. 2002
`
`
`ETSI
`
`All
`
`All
`
`All
`
`Jun. 2002
`
`ETSI
`
`All
`
`Universal Mobile
`Telecommunications System
`(UMTS); Multiplexing and
`channel coding (FDD) (3GPP TS
`25.212 version 11.4.0 Release 11)
`
`TR 101 146 V3.0.0: Universal
`Mobile Telecommunications
`System (UMTS); UMTS
`Terrestrial Radio Access
`(UTRA); Concept Evaluation
`(UMTS 30.06 version 3.0.0)
`
`3rd Generation Partnership
`Project; Technical Specification
`Group Radio Access Network;
`Physical layer – Measurements
`(FDD) (3G TS 25.215 version
`3.1.1)
`Universal Mobile
`Telecommunications System
`(UMTS); Multiplexing and
`channel coding (FDD)
`(3G TS 25.212 version 3.2.0
`Release 1999)
`3rd Generation Partnership
`Project; Technical Specification
`Group Radio Access Network;
`Multiplexing and channel coding
`(FDD) (3GPP TS 25.212 version
`5.0.0 Release 5)
`3rd Generation Partnership
`Project; Universal Mobile
`Telecommunications System
`(UMTS); Multiplexing and
`channel coding (FDD)
`(3GPP TS 25.212 version 5.1.0
`Release 5)
`
`
`
`
`
`
`- 3 -
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`IPR2018-01556
`HTC v. INVT
`INVT Exhibit 2004 - Page 9
`
`
`
`
`
`United States Patent Nos. 6,760,590 and 7,206,587
`
`Title
`
`Date
`
`Author(s)
`
`Sept. 2002
`
`
`ETSI
`
`Dec. 2004
`
`
`ETSI
`
`3rd Generation Partnership
`Project; Technical Specification
`Group Radio Access Network;
`Physical layer procedures (FDD)
`(3GPP TS 25.214 version 5.2.0
`Release 5)
`3rd Generation Partnership
`Project; Universal Mobile
`Telecommunications System
`(UMTS); Physical layer
`procedures (FDD)
`(3GPP TS 25.214 version 5.10.0
`Release 5)
`
`LTE; Evolved Universal
`Terrestrial Radio Access (E-
`UTRA); Multiplexing and
`channel coding (3GPP TS 36.212
`version 8.8.0 Release 8)
`
`Page
`Numbers
`
`All
`
`All
`
`Jan. 2010
`
`ETSI
`
`All
`
`TSGT#4(99)134, titled “Impact
`of OHG harmonization
`recommendation on UTRA/FDD
`and UTRA/TD”
`
`Jun. 17-18,
`1999
`
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`
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`Partnership Project:
`Alcatel, CSELT/TIM,
`DoCoMo, Ericsson,
`Fujitsu, InterDigital,
`Japan Telecom, LGIC,
`Lucent, Matsushita,
`Mitsubishi, Motorola,
`NEC, Nokia, Nortel
`Networks, Qualcomm,
`Panasonic, Samsung,
`Siemens, Telia, Texas
`Instrument, Toshiba,
`Vodafone
`
`Combined Speech and Channel
`Coding for Mobile Radio
`Applications
`
`Feb. 1993
`
`H. Shi
`
`1078-1087
`
`Lecture Notes in Computer
`Science, Eurocode ’90.
`International Symposium on
`
`Nov. 5-9,
`1990
`
`G. Cohen, and P. Charpin 87-93
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`
`
`
`
`
`- 4 -
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`IPR2018-01556
`HTC v. INVT
`INVT Exhibit 2004 - Page 10
`
`
`
`
`
`United States Patent Nos. 6,760,590 and 7,206,587
`
`Title
`
`Date
`
`Author(s)
`
`Page
`Numbers
`
`Coding Theory and Applications
`
`“Combined Source-Channel
`Coding of Images,” IEEE
`Transactions on Communications,
`Vol. COM-27, No. 11
`
`“CDMA 2000 High Rate Packet
`Data Air Interface Specification,”
`3GPP2 C.S0024, Version 2.0
`
`“On Linear Unequal Error
`Protection Codes,” IEEE
`Transactions on Information
`Theory, Vol. IT-3, No. 4
`
`Nov. 1979
`
`J. Modestino, D. Daut
`
`1644-1659
`
`Oct. 27,
`2000
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`3rd Generation
`Partnership Project 2
`
`All
`
`Oct. 1967
`
`B. Masnick, J. Wolf
`
`600-607
`
`“CDMA/HDR: A Bandwidth-
`Efficient High-Speed Wireless
`Data Service for Nomadic Users,”
`IEEE Communications Magazine
`
`Jul. 2000
`
`P. Bender, P. Black, M.
`Grob, R. Padovani, N.
`Sindhushayana, and A.
`Viterbi, Qualcomm, Inc.
`
`70-77
`
`“Some Constructions of Optimal
`Binary Linear Unequal Error
`Protection Codes,” Philips
`Journal of Research, Vol. 39,
`Nos. 1/2
`
`“Design of Error-Control Coding
`Schemes for Three Problems of
`Noisy Information Transmission,
`Storage and Processing,”
`Technische Universiteit
`Eindhoven
`
`“GPRS-136: High-Rate Packet
`Data Service for North America
`TDMA Digital Cellular
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`Communications
`
`1984
`
`W.J. van Gils
`
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`
`Jan. 1, 1988 W.J. van Gils
`
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`Jun. 1999
`
`K. Balachandran, R.
`Ejzak, S. Nanda, S.
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`Lucent Technologies
`
`34-47
`
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`Compatible Punctured
`
`Jul. 1990
`
`J. Hagenauer, N.
`Seshadri, and C.
`
`966-980
`
`
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`
`
`
`- 5 -
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`IPR2018-01556
`HTC v. INVT
`INVT Exhibit 2004 - Page 11
`
`
`
`
`
`United States Patent Nos. 6,760,590 and 7,206,587
`
`Title
`
`Date
`
`Author(s)
`
`Page
`Numbers
`
`Convolutional Codes for Digital
`Mobile Radio,” IEEE
`Transactions on Communications,
`Vol. 38, No. 7
`
`“A Modification of Generalized
`Concatenated Codes and its
`Applications,” Proceedings of the
`IEEE International Symposium
`on Information Theory
`
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`Distance Bounds for Binary
`Linear Codes,” IEEE
`Transactions on Information
`Theory, Vol. 39, No. 2
`
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`Using Unequal Error Protection
`Codes Over Rayleigh-Fading
`Channels, IEEE Transactions on
`Communications, Vol. 46, No. 1
`
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`Control Systems for Digital
`Communication and Storage
`
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`
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`
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`
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`
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`
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`al.
`
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`
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`
`
`
`Wicker, S.B.
`
`
`
`All
`
`
`Persons Who May Be Relied Upon as the Prior Inventor or Having Prior Knowledge of or
`as Having Previously Used or Offered for Sale the Invention (35 U.S.C. § 282)
`
`
`United States Patent Nos. 6,760,590 and 7,206,587
`
`Name
`
`Address
`
`Dr. Anthony S.
`Acampora
`
`Prof. Emeritus, Electrical and Computer
`Engineering
`University of California, San Diego
`Dept. of Electrical and Computer Engineering
`and Center for Wireless Communications
`Engineering Building Unit One
`MC 0409, Room 6606
`
`Description
`
`Expert Witness
`
`
`
`
`
`
`- 6 -
`
`
`
`
`
`IPR2018-01556
`HTC v. INVT
`INVT Exhibit 2004 - Page 12
`
`
`
`
`
`
`
`
`
`
`United States Patent Nos. 6,760,590 and 7,206,587
`
`Name
`
`Address
`
`Description
`
`Dr. Stephen B. Wicker
`
`Dr. Apostolos (“Paul”)
`K. Kakaes
`
`9500 Gilman Drive
`La Jolla, CA 92093-0409
`
`Prof. School of Electrical and Computer
`Engineering
`Cornell University
`Frank H. T. Rhodes Hall, Room 386
`Ithaca, NY 14853
`
`Cosmos Communications Consulting
`Corporation, President
`908 Park St. SE, Suite 201
`Vienna, Virginia 22180
`
`Expert Witness
`
`Expert Witness
`
`
`
`
`
`
`
`
`- 7 -
`
`
`
`
`
`IPR2018-01556
`HTC v. INVT
`INVT Exhibit 2004 - Page 13
`
`
`
`
`
`II.
`
`United States Patent No. 7,764,711
`
`Patents, Patent Applications, and Patent Publications2
`
`
`United States Patent No. 7,764,711
`
`Issuing
`Country
`
`Number
`
`Filing Date
`
`Issue/Publication
`Date
`
`First Named
`Inventor
`
`United States
`
`6,067,290
`
`Jul. 30, 1999
`
`May 23, 2000
`
`Paulraj
`
`United States
`
`6,317,466
`
`Nov. 13, 2001
`
`Ap. 15, 1998
`
`Foschini
`
`United States
`
`6,370,129
`
` Apr. 9, 2002
`
`
`
`Jun. 28, 1999
`
`Huang
`
`United States
`
`6,400,699
`
`June 4, 2002
`
`Sept. 12, 2000
`
`Airy
`
`United States
`
`6,731,668
`
`Jan. 5, 2001
`
`May 4, 2004
`
`Ketchum
`
`United States
`
`6,975,666
`
`Dec. 22, 2000
`
`Dec. 13, 2005
`
`Affes
`
`United States
`
`7,058,005
`
`Oct. 4, 2001
`
`Jun. 6, 2006
`
`Ehrmann-Patin
`
`United States
`
`7,095,709
`
`Jun. 24, 2002
`
`Aug. 22, 2006
`
`Walton
`
`United States
`
`7,260,366
`
`Aug. 16, 2002
`
`Aug. 21, 2007
`
`Lee
`
`United States
`
`7,327,795
`
`Mar. 31, 2003
`
`Feb. 5, 2008
`
`Oprea
`
`United States
`
`7,391,755
`
`Jun. 24, 2008
`
`Sept. 30, 2002
`
`Gopalakrishnan
`
`United States
`
`2002/0193146
`
`Jun. 6, 2001
`
`Dec. 19, 2002
`
`Wallace
`
`United States
`
`2002/0132600
`
`September 19,
`2002
`
`January 17, 2001 Rudrapatna
`
`United States
`
`2002/0193146 December 19,
`2002
`
`June 6, 2001
`
`Wallace
`
`United States
`
`2003/0003880
`
`January 2, 2003 March 23, 2001
`
`Ling
`
`United States
`
`2003/0072254
`
`Jan. 8, 2002
`
`Apr. 17, 2003
`
`Ma
`
`
`2 For the avoidance of doubt (where not separately identified), reference to a granted patent by
`patent number also refers to the corresponding publication numbers and provisional application
`numbers.
`
`
`
`
`
`
`- 8 -
`
`
`
`
`
`IPR2018-01556
`HTC v. INVT
`INVT Exhibit 2004 - Page 14
`
`
`
`
`
`United States Patent No. 7,764,711
`
`Issuing
`Country
`
`Number
`
`Filing Date
`
`Issue/Publication
`Date
`
`First Named
`Inventor
`
`United States
`
`2003/0125040
`
`Jul. 3, 2003
`
`Nov. 6, 2001
`
`Walton
`
`United States
`
`2004/0076124
`
`Feb. 14, 2003
`
`Apr. 22, 2004
`
`Agrawal
`
`United States
`
`2004/0052315 Oct. 4, 2001
`
`Mar. 18, 2004
`
`Thielecke
`
`United States
`
`2004/0057530 March 25, 2004
`
`Sept. 20, 2002
`
`Tarokh
`
`United States
`
`2005/0085269 Apr. 18, 2003
`
`Apr. 21, 2005
`
`Buljore
`
`Japan
`
`S61136332A
`
`June 24, 1986
`
`Dec. 7, 1984
`
`Ogose
`
`
`Non-Patent Publications
`
`
`United States Patent No. 7,764,711
`
`Title
`
`Date
`
`Author(s)
`
`Page Numbers
`
`“Achieving High Data Rates in
`CDMA Systems Using BLAST
`Techniques,” IEEE Global
`Telecommunications Conference
`– Globecom’99
`
`1999
`
`H. Huang, H.
`Viswanathan, and G. J.
`Foschini, Bell Labs,
`Lucent Technologies
`
`All
`
`“Transmit Diversity in 3G
`CDMA Systems,” IEEE
`Communications Magazine
`
`Apr. 2002 R.T. Derryberry, S.
`Gray, D.M. Mandyam,
`and B. Raghothaman,
`Nokia Research Center
`
`68-75
`
`“From Theory to Practice: An
`Overview of MIMO Space-Time
`Coded Wireless Systems,” IEEE
`Journal on Selected Areas in
`Communications, Vol. 21, No.
`3D.
`
`“Diversity and Multiplexing: A
`Fundamental Tradeoff in Multiple
`Antenna Channels,” IEEE
`Transactions on Information
`Theory, Vol. 1, No. 8
`
`
`
`
`
`
`Apr. 2003 Gesbert et al.
`
`281-302
`
`Aug. 2002 L. Zheng
`
`2-25
`
`- 9 -
`
`
`
`
`
`IPR2018-01556
`HTC v. INVT
`INVT Exhibit 2004 - Page 15
`
`
`
`
`
`United States Patent No. 7,764,711
`
`Title
`
`Date
`
`Author(s)
`
`Page Numbers
`
`“Diversity and Multiplexing: A
`Fundamental Tradeoff in Multiple
`Antenna Channels,” IEEE
`Transactions on Information
`Theory, Vol. 49, No. 5
`
`“Diversity-Multiplexing
`Tradeoff: A Comprehensive View
`of Multiple Antenna Systems,
`Dissertation,” University of
`California, Berkeley
`
`May 2003
`
`L. Zheng
`
`1073-1096
`
`2002
`
`L. Zheng
`
`All
`
`
`
`Persons Who May Be Relied Upon as the Prior Inventor or Having Prior Knowledge of or
`as Having Previously Used or Offered for Sale the Invention 35 U.S.C. § 282)
`
`
`United States Patent No. 7,764,711
`
`Name
`
`Address
`
`Dr. Anthony S.
`Acampora
`
`Dr. Stephen B. Wicker
`
`Dr. Apostolos (“Paul”)
`K. Kakaes
`
`
`
`
`
`
`
`
`Prof. Emeritus, Electrical and Computer
`Engineering
`University of California, San Diego
`Dept. of Electrical and Computer Engineering
`and Center for Wireless Communications
`Engineering Building Unit One
`MC 0409, Room 6606
`9500 Gilman Drive
`La Jolla, CA 92093-0409
`
`Prof. School of Electrical and Computer
`Engineering
`Cornell University
`Frank H. T. Rhodes Hall, Room 386
`Ithaca, NY 14853
`
`Cosmos Communications Consulting
`Corporation, President
`908 Park St. SE, Suite 201
`Vienna, Virginia 22180
`
`Description
`
`Expert Witness
`
`Expert Witness
`
`Expert Witness
`
`- 10 -
`
`
`
`
`
`IPR2018-01556
`HTC v. INVT
`INVT Exhibit 2004 - Page 16
`
`
`
`
`
`
`III. United States Patent No. 7,848,439
`
`Patents, Patent Applications, and Patent Publications3
`
`
`United States Patent No. 7,848,439
`
`Issuing
`Country
`
`Number
`
`Filing Date
`
`Issue/Publication
`Date
`
`First Named
`Inventor
`
`United States
`
`5,596,604
`
`Aug. 17, 1993
`
`Jan. 21, 1997
`
`Cioffi
`
`United States
`
`6,131,016
`
`Aug. 27, 1997
`
`Oct. 10, 2000
`
`Greenstein
`
`United States
`
`6,167,031
`
`Aug. 29, 1997
`
`Dec. 26, 2000
`
`Olofsson
`
`United States
`
`6,701,129
`
`Sep. 27, 2000
`
`Mar. 2, 2004
`
`Hashem
`
`United States
`
`6,721,569
`
`Sep. 29, 2000
`
`Apr. 13, 2004
`
`Hashem
`
`United States
`
`6,904,283
`
`Apr. 17, 2001
`
`Jun. 7, 2005
`
`Li
`
`United States
`
`7,012,883
`
`Nov. 21, 2001
`
`Mar. 14, 2006
`
`Jalali
`
`United States
`
`7,031,753
`
`Dec. 18, 2003
`
`Apr. 18, 2006
`
`Hashem
`
`United States
`
`7,039,001
`
`May 2, 2006
`
`Oct.29, 2002
`
`Krishnan
`
`United States
`
`7,058,005
`
`Oct. 4, 2001
`
`Jun. 6, 2006
`
`Ehrmann-Patin
`
`United States
`
`7,126,996
`
`Dec. 28, 2001
`
`Oct. 24, 2006
`
`Classon
`
`United States
`
`7,221,680
`
`Sep. 1, 2004
`
`May 22, 2007
`
`Vijayan
`
`United States
`
`7,5457,32
`
`
`
`Jun. 9, 2009
`
`
`
`Aug. 22, 2003
`
`Oh
`
`United States
`
`7,640,373
`
`Apr. 25, 2003
`
`Dec. 29, 2009
`
`Cudak
`
`United States
`
`7,885,228
`
`Mar. 20, 2003
`
`Feb. 8, 2011
`
`Walton
`
`United States
`
`2004/0165676
`
`Feb. 25, 2003
`
`Aug. 26, 2004
`
`Krishnan
`
`
`3 For the avoidance of doubt (where not separately identified), reference to a granted patent by
`patent number also refers to the corresponding publication numbers and provisional application
`numbers.
`
`
`
`
`
`
`- 11 -
`
`
`
`
`
`IPR2018-01556
`HTC v. INVT
`INVT Exhibit 2004 - Page 17
`
`
`
`
`
`United States Patent No. 7,848,439
`
`Issuing
`Country
`
`Number
`
`Filing Date
`
`Issue/Publication
`Date
`
`First Named
`Inventor
`
`United States
`
`2005/0207367 Mar. 21, 2005
`
`Sep. 22, 2005
`
`Onggosanusi
`
`United States
`
`2006/0045001
`
`Sep. 16, 2004
`
`Mar. 2, 2006
`
`Jalali
`
`Japan
`
`Japan
`
`2002344416
`
`Nov.29, 2002
`
`May 14, 2001
`
`Ueda
`
`H07321765
`
`Dec. 8, 1995
`
`May 30, 1994
`
`Moriyama
`
`WIPO
`
`2002/011385A1 Feb. 7, 2002
`
`Aug. 1, 2000
`
`Kern
`
`
`Non-Patent Publications
`
`
`United States Patent No. 7,848,439
`
`Title
`
`Date
`
`Author(s)
`
`Page Numbers
`
`Universal Mobile
`Telecommunications System
`(UMTS); UMTS Terrestrial Radio
`Access (UTRA); Concept evaluation
`(UMTS 30.06 version 3.0.0)
`
`Dec. 1997
`
`ETSI
`
`All
`
`
`Persons Who May Be Relied Upon as the Prior Inventor or Having Prior Knowledge of or
`as Having Previously Used or Offered for Sale the Invention 35 U.S.C. § 282)
`
`
`United States Patent No. 7,848,439
`
`Name
`
`Address
`
`Dr. Anthony S.
`Acampora
`
`Prof. Emeritus, Electrical and Computer
`Engineering
`University of California, San Diego
`Dept. of Electrical and Computer Engineering
`and Center for Wireless Communications
`Engineering Building Unit One
`MC 0409, Room 6606
`9500 Gilman Drive
`La Jolla, CA 92093-0409
`
`Description
`
`Expert Witness
`
`
`
`
`
`
`- 12 -
`
`
`
`
`
`IPR2018-01556
`HTC v. INVT
`INVT Exhibit 2004 - Page 18
`
`
`
`
`
`
`
`
`
`
`United States Patent No. 7,848,439
`
`Name
`
`Address
`
`Dr. Stephen B. Wicker
`
`Dr. Apostolos (“Paul”)
`K. Kakaes
`
`Prof. School of Electrical and Computer
`Engineering
`Cornell University
`Frank H. T. Rhodes Hall, Room 386
`Ithaca, NY 14853
`
`Cosmos Communications Consulting
`Corporation, President
`908 Park St. SE, Suite 201
`Vienna, Virginia 22180
`
`Description
`
`Expert Witness
`
`Expert Witness
`
`
`
`
`
`
`
`
`
`
`- 13 -
`
`
`
`
`
`IPR2018-01556
`HTC v. INVT
`INVT Exhibit 2004 - Page 19
`
`
`
`
`
`IV. United States Patent No. 7,339,949
`
`Patents, Patent Applications, and Patent Publications4
`
`
`United States Patent No. 7,339,949
`
`Issuing
`Country
`
`Number
`
`Filing Date
`
`Issue/Publication
`Date
`
`First Named
`Inventor
`
`United States
`
`4,939,731
`
`Nov. 19, 1987
`
`Jul. 3, 1990
`
`Reed
`
`United States
`
`5,227,775
`
`Jul. 13, 1993
`
`May 9, 1988
`
`Bruckert
`
`United States
`
`5,365,516
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`Aug. 16, 1991
`
`Nov. 15, 1994
`
`Jandrell
`
`United States
`
`5,487,068
`
`Jan. 23, 1996
`
`Jul. 29, 1994
`
`Smolinske
`
`United States
`
`5,528,605
`
`Oct. 25, 1994
`
`Jun. 18, 1996
`
`Ywoskus
`
`United States
`
`5,691,709
`
`Oct. 10, 1995
`
`Nov. 25, 1997
`
`Guntin
`
`United States
`
`5,729,541
`
`Jun. 5, 1995
`
`Mar. 17, 1998
`
`Hamalainen
`
`United States
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`5,577,024
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`Nov. 19, 1996
`
`Jul. 8, 1993
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`Malkamaki
`
`United States
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`5,585,788
`
`Dec. 17, 1996
`
`Apr. 13, 1992
`
`Hashimoto
`
`United States
`
`5,586,118
`
`Dec.17, 1996
`
`Feb. 14, 1994
`
`Hashimoto
`
`United States
`
`5,691,709
`
`Nov. 25, 1997
`
`Oct. 10, 1995
`
`Guntin
`
`United States
`
`5,694,391
`
`Dec. 2, 1997
`
`Nov. 1, 1993
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`Diachina
`
`United States
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`5,719,883
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`Feb. 17, 1998
`
`Sept. 21, 1994
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`Ayanoglu
`
`United States
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`5,799,012
`
`Aug. 25, 1998
`
`Aug. 11, 1995
`
`Ayerst
`
`United States
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`5,896,375
`
`Jul. 23, 1996
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`Apr. 20, 1999
`
`Dent
`
`United States
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`5,940,771
`
`Oct. 19, 1995
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`Aug. 17, 1999
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`Gollnick
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`United States
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`6,088,337
`
`Oct. 20, 1997
`
`Jul. 11, 2000
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`Eastmond
`
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`4 For the avoidance of doubt (where not separately identified), reference to a granted patent by
`patent number also refers to the corresponding publication numbers and provisional application
`numbers.
`
`
`
`
`
`
`- 14 -
`
`
`
`
`
`IPR2018-01556
`HTC v. INVT
`INVT Exhibit 2004 - Page 20
`
`
`
`
`
`United States Patent No. 7,339,949
`
`Issuing
`Country
`
`Number
`
`Filing Date
`
`Issue/Publication
`Date
`
`First Named
`Inventor
`
`United States
`
`6,112,323
`
`Aug. 29, 2000
`
`Jun. 29, 1998
`
`Meizlik
`
`United States
`
`6,111,892
`
`Jul. 29, 1998
`
`Aug. 29, 2000
`
`Rittle
`
`United States
`
`6,122,483
`
`Jun. 28, 1999
`
`Sep. 19, 2000
`
`Lo
`
`United States
`
`6,157,621
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`Sep. 10, 1997
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`Dec. 5, 2000
`
`Brown
`
`United States
`
`6,438,108
`
`Aug. 20, 2002
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`Mar. 11, 1999
`
`Kanijung
`
`United States
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`6,473,399
`
`Nov. 30, 1998
`
`Oct. 29, 2002
`
`Johansson
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`United States
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`6,487,689
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`Nov. 26, 2002
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`Jul. 8, 1999
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`Chuah
`
`United States
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`6,636,488
`
`Oct. 21, 2003
`
`Oct. 11, 2000
`
`Varma
`
`United States
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`6,694,469
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`Apr. 14, 2000
`
`Feb. 17, 2004
`
`Jalali
`
`United States
`
`6,735,180
`
`May 11, 2004
`
`June 30, 2000
`
`Malkamaki
`
`6,735,256
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`May 11, 2004
`
`Sept. 28, 1999
`
`Toshimitsu
`
`United States
`
`United States
`
`6,747,993
`
`Jun. 8, 2004
`
`Feb. 1, 2001
`
`Rinchiuso
`
`United States
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`6,760,877
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`Jul. 6, 2004
`
`May 12, 1999
`
`Lappetelainen
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`United States
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`6,804,252
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`Oct. 12, 2004
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`May 19, 2000
`
`Johnson
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`United States
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`6,826,160
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`Nov. 30, 2004
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`Jul. 7, 1999
`
`Wang
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`United States
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`6,850,740
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`Feb. 1, 2005
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`May 17, 1999
`
`Haartsen
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`United States
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`6,888,805
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`May 3, 2005
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`Mar. 21, 2001
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`Bender
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`United States
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`6,907,005
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`Jul. 24, 2000
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`Jun. 14, 2005
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`Dahlman
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`United States
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`Dec. 6, 2005
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`Apr. 17, 2001
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`Dabak
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`United States
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`Jan. 17, 2001
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`Feb. 21, 2006
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`Golitschek
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`United States
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`7,062,294
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`Sept. 29, 2000
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`Rogard
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`United States
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`7,206,280
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`Apr. 17, 2007
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`Sept. 12, 2000
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`Khan
`
`
`
`
`
`
`- 15 -
`
`
`
`
`
`IPR2018-01556
`HTC v. INVT
`INVT Exhibit 2004 - Page 21
`
`
`
`
`
`United States Patent No. 7,339,949
`
`Issuing
`Country
`
`Number
`
`Filing Date
`
`Issue/Publication
`Date
`
`First Named
`Inventor
`
`United States
`
`7,206,332
`
`Apr.17, 2007
`
`Jun. 25, 2001
`
`Kwan
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`United States
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`7,277,439
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`Oct. 2, 2007
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`United States
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`United States
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`United States
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`Takeda
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`United States
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`
`United States
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`
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`
`Khan
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`United States
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`2003/0003905
`
`Jan. 2, 2003
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`Jun. 20, 2001
`
`Shvodian
`
`Europe
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`1275216
`
`Apr. 17, 2001
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`May 18, 2011
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`Fong
`
`Japan
`
`Korea
`
`WIPO
`
`WIPO
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`WIPO
`
`H07303112A
`
`Nov. 14, 1995
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`May 6, 1994
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`Yamagami
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`1991/002435A1 Feb. 21, 1991
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`Non-Patent Publications
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`United States Patent No. 7,339,949
`
`Title
`
`Date
`
`Author(s)
`
`Page Numbers
`
`The throughput of Hybrid-ARQ
`protocols for the Gaussian collision
`channel
`
`Discussion on TTI length values for
`High Speed Downlink Packet Data
`
`Jan. 22, 2001
`
`G. Caire and
`D. Tuninetti
`
`All
`
`May 21-25, 2001
`
`Nortel
`
`All
`
`
`
`
`
`
`- 16 -
`
`
`
`
`
`IPR2018-01556
`HTC v. INVT
`INVT Exhibit 2004 - Page 22
`
`
`
`
`
`United States Patent No. 7,339,949
`
`Title
`
`Date
`
`Author(s)
`
`Page Numbers
`
`access, R1-01-0595, TSG-RAN
`WG1 Meeting #20
`
`Discussion on UE capability of
`HSDPA, R1-01-0499, 3GPP TSG-
`RAN WG1 Meeting #20
`
`HSDPA UE Capability, R1-01-
`0462, 3GPP TSG-RAN WG1
`Meeting #20
`
`“The Evolution of WCDMA
`Towards Higher Speed Downlink
`Packet Data,” IEEE VTS 53rd
`Vehicular Technology Conference,
`Spring 2001.
`
`Design and performance evaluation
`of broadband wireless MAC
`protocols, Queen's University
`(Canada), ProQuest Dissertations
`Publishing, 2000
`
`IEEE 802.16.3c-01/61r1, IEEE
`802.16 Broadband Wireless Access
`Working Group
`
`Transmission timing for uplink
`acknowledgment, R1-01-0728,
`3GPP TSG-RAN WG1 Rel’5 adhoc
`
`Discussion on timing relation of
`HSDPA, R1-01-0567, 3GPP TSG-
`RAN WG1 Meeting #20
`
`Draft Minutes for 3GPP TSG-RAN
`WG1 20th Meeting, R1-01-0680,
`3GPP TSG-RAN WG1 Meeting
`#21
`
`A physical layer proposal for multi-
`slot packet radio services in the
`existing TDMA cellular system,
`
`Networks
`
`May 21-25, 2001
`
`Panasonic
`
`All
`
`May 21-25, 2001
`
`Nokia
`
`All
`
`May 6-9, 2001
`
`S. Parkvall
`
`2287-2291
`
`Apr. 2000
`
`Kubbar,
`Osama
`
`All
`
`May 17, 2001
`
`BreezeCOM
`Ltd.
`
`All
`
`Jun. 26-28, 2001
`
`Panasonic
`
`All
`
`May 21-25, 2001
`
`Panasonic
`
`All
`
`Aug.t 6, 2001
`
`3GPP
`
`All
`
`Sept. 27-29, 1995
`
`L. Wang et al. 876-885
`
`
`
`
`
`
`- 17 -
`
`
`
`
`
`IPR2018-01556
`HTC v. INVT
`INVT Exhibit 2004 - Page 23
`
`
`
`
`
`United States Patent No. 7,339,949
`
`Title
`
`Date
`
`Author(s)
`
`Page Numbers
`
`Proceedings of 6th International
`Symposium on Personal, Indoor
`and Mobile Radio Communications
`
`“A Comparison of Sender-Initiated
`and Receiver-Initiated Reliable
`Multicast Protocols,” IEEE Journal
`on Selected Areas in
`Communications, Volume: 15,
`Issue: 3
`
`“An adaptive block encoding
`technique for hybrid ARQ
`schemes,” Proceedings of Sixth
`IEEE Symposium on Computers
`and Communications
`
`On Providing Support for Protocol
`Adaptation in Mobile Wireless
`Networks, Mobile Networks and
`Applications
`
`Apr. 1997
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`D. Towsley et
`al.
`
`398-406
`
`July 5, 2001
`
`T.C. Kok
`
`406-410
`
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`P. Sudame et
`al.
`
`43-55
`
`
`Persons Who May Be Relied Upon as the Prior Inventor or Having Prior Knowledge of or
`as Having Previously Used or Offered for Sale the Invention 35 U.S.C. § 282)
`
`
`United States Patent No. 7,339,949
`
`Name
`
`Address
`
`Dr. Anthony S.
`Acampora
`
`Prof. Emeritus, Electrical and Computer
`Engineering
`University of California, San Diego
`Dept. of Electrical and Computer Engineering
`and Center for Wireless Communications
`Engineering Building Unit One
`MC 0409, Room 6606
`9500 Gilman Drive
`La Jolla, CA 92093-0409
`
`Description
`
`Expert Witness
`
`Dr. Stephen B. Wicker
`
`Prof. School of Electrical and Computer
`Engineering
`Cornell University
`
`Expert Witness
`
`
`
`
`
`
`- 18 -
`
`
`
`
`
`IPR2018-01556
`HTC v. INVT
`INVT Exhibit 2004 - Page 24
`
`
`
`
`
`Dr. Apostolos (“Paul”)
`K. Kakaes
`
`Frank H. T. Rhodes Hall, Room 386
`Ithaca, NY 14853
`
`Cosmos Communi
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