~ 0 =
`-!j
`PTO/S8116 (07-07)
`~ -J
`Approved for use through 06/30/2010. 0MB 0651-0032
`~ ~ r-:>
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`r-:, ~ U~r the Papeiwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid 0MB control numberU S PTO
`~~ .
`PROVISIONAL APPLICATION FOR PATENT COVER SHEET - Page 1 of 2
`.
`.
`60/995200
`-J ~ ~
`This is a request for filing a PROVISIONAL APPLICATION FOR PATENT under 37 CFR 1.53(c).
`~ ~
`24/,2007
`09/
`re Mail Label No. E8739432006US
`V
`
`.
`
`Given Name (first and middle [if any])
`
`INVENTOR(S)
`Family Name or Surname
`
`Residence
`(City and either State or ForeiQn Countrv\
`
`San Francisco, California
`
`Portola Valley, California
`
`Emery A.
`
`Stephen
`
`Sanford
`
`Zadesky
`
`Additional inventors are being named on the
`
`separately numbered sheets attached hereto
`
`TITLE OF THE INVENTION (500 characters max):
`EMBEDDED FINGERPRINT SCANNER
`
`CORRESPONDENCE ADDRESS
`Direct all correspondence to:
`~ The address corresponding to Customer Number:
`OR
`
`I
`
`63976
`
`(cid:143)
`
`Firm or-
`Individual Name
`Address
`
`I
`
`City
`
`State
`
`Zip
`
`Country
`
`~ Application Data Sheet. See 37 CFR 1. 76
`
`Telephone
`Email
`ENCLOSED APPLICATION PARTS (check all that apply)
`D CD(s), Number of CDs
`Certificate of Express Mailing
`[81 Other (specify) and Return Postcard
`~ Drawing(s) Number of Sheets
`1
`~ Specification (e.g. description of the invention) Number of Pages
`4
`Fees Due: Filing Fee of $200 ($100 for small entity). If the specification and drawings exceed 100 sheets of paper, an application size fee is
`also due, which is $250 ($125 for small entity) for each additional 50 sheets or fraction thereof. See 35 U.S.C. 41(a)(1)(G) and 37 CFR 1.16(s).
`
`METHOD OF PAYMENT OF THE FILING FEE AND APPLICATION SIZE FEE FOR THIS PROVISIONAL APPLICATION FOR PATENT
`D Applicant claims small entity status. See 37 CFR 1.27.
`D A check or money order is enclosed to cover the filing fee and application size fee (if applicable).
`D Payment by credit card. Form PTO-2038 is attached
`TOTAL FEE AMOUNT($)
`~ The Director is hereby authorized to charge the filing fee and application size fee (if applicable) or credit any overpayment to Deposit
`Account Number: 06-1075
`. A duplicative copy of this form is enclosed for fee processing.
`USE ONLY FOR FILING A PROVISIONAL APPLICATION FOR PATENT
`This collection of information is required by 37 CFR 1.51 . The information is required to obtain or retain a benefit by the public which is to file (and by the USPTO
`to process} an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.11 and 1.14. This collection Is estimated to take 8 hours 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 FORMS TO THIS
`ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`If you need assistance In completing the form, ca/11-800-PT0-9199 and select option 2.
`
`I $200.00
`
`I
`
`American LegalNet. Im:,
`www.FormsWorldlow.com
`
`Apple and Samsung Ex. 1028
`Apple Inc., Samsung Electronics Co., Ltd., and
`Samsung Electronics America, Inc. v. Firstface Co., Ltd.
`IPR2019-00611
`Page 00001
`
`

`

`PROVISIONAL APPL/CAT/ON COVER SHEET
`Page 2of 2
`
`. PTO/S8118 (07-07)
`Approved for use through 08/30/2010. 0MB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1 995, no persons are required to respond to a collection of information unless it displays a valid 0MB control number.
`
`The invention was made by an agency of the United States Government or under a contract with an agency of the United States Government.
`(8] No
`D Yes. the name of the U.S. Government agency and the Government contract number are: --------------
`
`WARNING:
`Petitioner/applicant is cautioned to avoid submitting personal information in documents filed in a patent application that may
`contribute to identity theft. Personal information such as social security numbers, bank account numbers, or credit card
`numbers (other than a check or credit card authorization form PTO-2038 submitted for payment purposes) is never required by
`the l:lSPTO to support a petition or an application. If this type of personal information is included in documents submitted to
`the USPTO, petitioners/applicants should consider redacting such personal information from the documents before submitting
`them to the USPTO. Petitioner/applicant is advised that the record of a patent application is available to the public after
`publication of the application (unless a non-publication request in compliance with 37 CFR 1.213(a) is made in the application)
`or issuance of a patent. Furthermore, the record from an abandoned application may also be available to the public if the
`application is referenced in a published application or an issued patent (see 37 CFR 1.14). Checks and credit card
`authorization forms PTO-2038 submitted for payment purposes are not retained in the application file and therefore are not
`publicly available.
`
`SIGNATURE __ ~.;.._ul____,;:;_......,.(~-~--------- Date September 24, 2007
`
`-------------------- REGISTRATION NO. 58,397
`TYPED or PRINTED NAME Paul E. Leblond
`Docket Number: 104677-0199-001 (P5846USP1)
`TELEPHONE·(212) 596-9000
`
`- - - - - - - - - -
`
`(if appropriate)
`
`American LegalNet. Inc
`www. Forms World/ow. com
`
`IPR2019-00611 Page 00002
`
`

`

`Under the Pa
`
`Approved fot use I
`Patent and Trademark Office: 0
`nd to a collection of information unless t
`
`PTO/S8/92 (04-07)
`, 09/30/2007. 0MB 0561-0031
`PARTMENT OF COMMERCE
`ins a vaftd 0MB control number.
`
`Certificate of Express Mailing under 37 CFR
`Docket No. 104677-0199-001 (P5846USP1)
`Express Mail Label ·No. EB739432006US
`
`I hereby certify that this correspondence is being deposited with the United State
`with sufficient postage as first class mail in an envelope addressed to:
`
`stal Service
`
`1.
`2.
`3.
`4.
`5.
`
`Provisional Application for Patent Cover Sheet (2 pgs. - in duplicate);
`Specification (4 pgs.);
`1 Drawing Sheet;
`Application Data Sheet (3 pgs.):
`2 Return Postcards
`
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`on September 24, 2007
`Date
`
`,
`
`r
`
`Signature
`ROSE MARIE DHANRAJ
`Typed or printed name of person signing Certificate
`
`NIA
`Registration Number, if applicable
`
`(212} 596-9000
`Telephone Numbe
`
`Note: Each paper must have its own certificate of mailing, or this certificate must
`each submitted paper.
`
`ify
`
`American LegalNet. Inc.
`www.FormsWorldlow.com
`
`IPR2019-00611 Page 00003
`
`

`

`· Express Mail Label No. EB739432006US
`
`104677-0199-001 (P5846USP1)
`
`EMBEDDED FINGERPRINT SCANNER
`
`Background of the Invention
`
`[0001]
`
`This invention is directed to a fingerprint
`scanner embedded in a portion of an electronic device.
`
`5
`
`Brief Description of the Drawings
`
`[0002]
`
`The above and other objects and advantages of
`,
`the invention wiil be apparent upon consideration of
`the following detailed description, taken in
`conjunction with the accompanying drawings, in which
`like reference characteis refer to like parts
`throughout, and in which:
`FIG. 1 is a schematic view of an electronic
`device with an embedded fingerprint scanner in
`accordance with one embodiment of the invention; and
`FIG. 2 is a schematic view of another
`[0004]
`electronic device with an embedded fingerprint scanner
`in accordance with one embodiment of the invention.
`
`[0003]
`
`- 10
`
`15
`
`Detailed Description
`
`20
`
`[0005]
`
`To prevent unauthorized access to an
`electronic device, the electronic device may include
`one or more authentication measures that must be
`
`IPR2019-00611 Page 00004
`
`

`

`25
`
`30
`
`satisfied prior to providing access to the electronic
`
`device. For example, the eiectronic device may require
`a user to enter a password to access the electronic
`device features. As another example, the electronic
`device may be coupled to a separate authentication
`system, which may enable the electronic device when
`correct authentication information is provided. Such
`an implementation may include, for example, an
`electronic device coupled to a separate fingerprint
`scanner, retina scanner, or other authentication
`system.
`
`(0006]
`
`In some embodiments, an authentication
`
`system, such as a fingerprint scanner, retina scanner,
`35 Of other biometric authentication system, may be
`incorporated in the electronic device. Although the
`following discussion will describe the authentication
`system in the context of a fingerprint scanner, it will
`be understood that any suitable authentication system
`40 may be used. FIG. 1 is a schematic view of an
`electronic device with an embedded fingerprint scanner
`in accordance with one embodiment of the invention.
`Electronic device 100 may be any suitable electronic
`device, including for example an iPod or iPhone from
`45 Apple, Inc. of Cupertino, California. Electronic
`device 100 may include screen 102 operative to display
`content (e.g., media) to a user.
`In some embodiments,
`screen 102 may be operative to receive inputs from the
`user (e.g., a touch screen}.
`To limit access to electronic device
`functions, electronic device 100 may include
`fingerprint scanner 110 embedded in, below, or on the
`surface of screen 102. As the user moves a finger on
`screen 102 {e.g., slides a finger along screen 102 to
`
`(0007]
`
`50
`
`IPR2019-00611 Page 00005
`
`

`

`55
`
`unlock electronic device 100), fingerprint scanner 110
`may be operative to read the user's fingerprint,
`compare the read fingerprint with a database of known,
`authorized fingerprints {e.g., the user's and the
`user's friends, spouse or children}, and determine
`60 whether or not to provide access to electronic
`device 100.
`In some embodiments, fingerprint scanner 110
`
`[0008]
`
`65
`
`70
`
`75
`
`80
`
`85
`
`may be embedded in electronic device 100 such that it
`is not visible in screen 102. For example, fingerprint
`scanner 110 may be assembled, printed or etched
`directly on screen 102 {e.g., etched on glass} such
`that the user cannot see the fingerprint scanner.
`If
`the user is having difficulty providing a proper
`fingerprint to fingerprint scanner 110, screen 102 may
`display or highlight the outlines of fingerprint
`scanner 110 {e.g., display an icon directing the user
`to place a finger on the icon over fingerprint
`scanner 110} to assist the user in authenticating to
`electronic device 100.
`The fingerprint scanner may be embedded in
`
`[0009]
`
`any portion of the electronic device. For example, the
`fingerprint scanner may be embedded in the screen of
`the electronic device (which may or may not be a
`touchscreen).
`In some embodiments, the fingerprint
`scanner may be embedded in a mechanism, for example a
`button {e.g., home button 104), dial, switch, slider,
`or any other mechanism. FIG. 2 is a schematic view of
`another electronic device with an embedded fingerprint
`scanner in accordance with one embodiment of the
`invention. Electronic device 200 may include input
`mechanism 202, which may include, for example, a
`touchpad (e.g., for controlling a pointer on a screen
`
`IPR2019-00611 Page 00006
`
`

`

`95
`
`of electronic device 200). Fingerprint scanner 210 may
`be embedded in or on the periphery of input
`90 mechanism 202 for authenticating a user prior to
`providing access to electronic device 200. For
`example, as a user moves a finger along input
`mechanism 202 (e.g., to move a mouse pointer to a log(cid:173)
`in button), fingerprint scanner 210 may compare the
`user's fingerprint to authorized fingerprints stored in
`electronic device 200 to determine whether the user is
`authorized to access electronic device functions.
`In
`some embodiments, fingerprint scanner 210 may be
`embedded in input mechanism 202 in such a manner ·that
`fingerprint scanner 210 is not visible to a user of
`electronic device 200. This may provide additional
`security, as an unauthorized user may be prevented from
`accessing electronic device 200 without understanding
`the manner in which electronic device 200 is
`105. determining that the user is not authorized.
`
`100
`
`IPR2019-00611 Page 00007
`
`

`

`Applicants:
`· Filed:
`Agent:
`
`Emery A. Sanford et al.
`Concurrently Herewith
`Paul E. Leblond
`
`Express Mail Label No. EB739432006US. Docket No. 104677-0199-001 (P5846USPI)
`For: EMBEDDED FINGERPRINT SCANNER
`.
`Reg No. 58,397
`
`Sheet I of 1 , 100
`
`102
`
`,-200
`
`FIG. 1
`
`FIG. 2
`
`IPR2019-00611 Page 00008
`
`

`

`Application Data Sheet
`
`Bibliographic data:
`
`pplication Information
`
`Application number:
`
`Filing Date:
`Application Type:
`Subject Matter:
`Suggested Technology Center:
`
`Suggested Group Art Unit:
`Suggested classification:
`CD-ROM or CD-R?:
`Number of CD disks:
`Number of copies of CDs:
`Sequence submission?:
`Computer Readable Form (CRF)?:
`Number of copies of CRF:
`
`Title:
`Attorney Docket Number:
`Request for Early Publication?:
`Request for Non-Publication?:
`
`Total Drawing Sheets:
`Suggested drawing figure:
`Petition included?:
`Petition Type:
`Small Entity?:
`Secrecy Order in Parent Appl.?:
`pplicant Information
`
`Primary Citizenship Country:
`Status:
`Given Name:
`Middle Name:
`
`Not Yet Assigned
`Concurrently Herewith
`Provisional
`
`No
`
`No
`
`EMBEDDED FINGERPRINT SCANNER
`104677-0199-001 (P5846USP1)
`· No
`No
`1
`
`No
`
`No
`No
`
`USA
`
`Emery
`
`Express Mail Label No EB739432006US
`
`IPR2019-00611 Page 00009
`
`

`

`Family Name:
`
`City of Residence:
`
`Sanford
`
`San Francisco
`
`State or Province of Residence:
`
`California
`
`Country of Residence:
`
`USA
`
`Street of mailing address:
`
`2277 Van Ness Avenue - Apt. B
`
`City of mailing address:
`
`San Francisco
`
`State or Province of mailing address: California
`
`Country of mailing address:
`
`Postal or Zip Code of mailing
`address:
`
`Applicant Authority Type:
`
`Primary Citizenship Country:
`Status:
`
`Given Name:
`
`Middle Name:
`
`Family Name:
`
`City of Residence:
`
`USA
`
`94109
`
`USA
`
`Stephen
`
`Zadesky
`
`Portola Valley
`
`State or Province of Residence:
`
`California
`
`Country of Residence:
`
`Street of mailing address:
`
`City of mailing address:
`
`USA
`
`363 La Cuesta Drive
`Portola Valley
`
`State or Province of mailing address: · California
`
`Country of mailing address:
`
`Postal or Zip Code of mailing
`address:
`
`USA
`
`94107
`
`Express Mail Label No EB739432006US
`
`IPR2019-00611 Page 00010
`
`

`

`Correspondence Information
`
`Correspondence Customer Number:
`Representative Information
`
`·53975
`
`Representative Customer Number:
`Domestic Priority Information
`Foreign Priority Information
`
`No priority information
`
`Assignee Information
`
`Apple Inc.
`Cupertino, California
`
`Express Mail Label No EB739432006US
`
`IPR2019-00611 Page 00011
`
`

`

`PATENT APPLICATION SERIAL NO.
`- - - - - - - - - - -
`
`U.S. DEPARTMENT OF COMMERCE
`PATENT AND TRADEMARK OFFICE
`FEE RECORD SHEET
`
`09i27/2007 EAYALEW1 0000003& 061075
`01 FC:1005
`200.00 DA
`
`60995200
`
`PT0-1556
`(5/87)
`
`•u.s. Government Printing Office: 2002- 489°267/69033
`
`IPR2019-00611 Page 00012
`
`

`

`APPLICATION
`NUMBER
`60/995,200
`
`FILING or
`37l(c)DATE
`09/24/2007
`
`GRPART
`UNIT
`
`FIL FEE REC'D
`200
`
`63976
`ROPES & GRAY LLP
`PATENT DOCKETING 39/361
`1211 AVENUE OF THE AMERICAS
`NEW YORK, NY 10036-8704
`
`UKITED STATES DEPARTME.\IT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIO'JER FOR PATENTS
`P.O. Box 1450
`Alexandria, V:irgmia 22313-1450
`\V½w.uspto.gov
`
`ATTY.DOCKET.NO
`104677-0199-001 (P5846USP
`CONFIRMATION NO. 2342
`FILING RECEIPT
`
`TOT CLAIMS IND CLAIMS
`
`1111111111111111111111 ll]~!l~!~l!~l!~l!~!!IH~ 111 111111111111111 IIII IIII
`
`Date Mailed: 10/22/2007
`
`Receipt is acknowledged of this provisional patent application. It will not be examined for patentability and will
`become abandoned not later than twelve months after its filing date. Any correspondence concerning the application
`must include the following identification information: the U.S. APPLICATION NUMBER, FILING DATE, NAME OF
`APPLICANT, and TITLE OF INVENTION. Fees transmitted by check or draft are subject to collection. Please verify
`the accuracy of the data presented on this receipt. If an error is noted on this Filing Receipt, please write to the
`Office of Initial Patent Examination's Filing Receipt Corrections. Please provide a copy of this Filing Receipt
`with the changes noted thereon. If you received a "Notice to File Missing Parts" for this application, please
`submit any corrections to this Filing Receipt with your reply to the Notice. When the USPTO processes the
`reply to the Notice, the USPTO will generate another Filing Receipt incorporating the requested corrections
`
`Applicant(s)
`
`Emery Sanford, San Francisco, CA;
`Stephen Zadesky, Portola Valley, CA;
`Power of Attorney:
`Paul Leblond--58397
`
`If Required, Foreign Filing License Granted: 10/15/2007
`The country code and number of your priority application, to be used for filing abroad under the Paris Convention,
`is US 60/995,200
`Projected Publication Date: None, application is not eligible for pre-grant publication
`Non-Publication Request: No
`Early Publication Request: No
`Title
`
`Embedded fingerprint scanner
`
`PROTECTING YOUR INVENTION OUTSIDE THE UNITED STATES
`
`Since the rights granted by a U.S. patent extend only throughout the territory of the United States and have no
`effect in a foreign country, an inventor who wishes patent protection in another country must apply for a patent
`in a specific country or in regional patent offices. Applicants may wish to consider the filing of an international
`application under the Patent Cooperation Treaty (PCT). An international (PCT) application generally has the same
`effect as a regular national patent application in each PCT-member country. The PCT process simplifies the filing
`of patent applications on the same invention in member countries, but does not result in a grant of "an international
`page 1 of 3
`
`IPR2019-00611 Page 00013
`
`

`

`patent" and does not eliminate the need of applicants to file additional documents and fees in countries where patent
`protection is desired.
`
`Almost every country has its own patent law, and a person desiring a patent in a particular country must make an
`application for patent in that country in accordance with its particular laws. Since the laws of many countries differ
`in various respects from the patent law of the United States, applicants are advised to seek guidance from specific
`foreign countries to ensure that patent rights are not lost prematurely.
`
`Applicants also are advised that in the case of inventions made in the United States, the Director of the US PTO must
`issue a license before applicants can apply for a patent in a foreign country. The filing of a U.S. patent application
`serves as a request for a foreign filing license. The application's filing receipt contains further information and
`guidance as to the status of applicant's license for foreign filing.
`
`Applicants may wish to consult the USPTO booklet, "General Information Concerning Patents" (specifically, the
`section entitled "Treaties and Foreign Patents") for more information on timeframes and deadlines for filing foreign
`patent applications. The guide is available either by contacting the USPTO Contact Center at 800-786-9199, or it
`can be viewed on the USPTO website at http://www.uspto.gov/web/offices/pac/doc/general/index.html.
`
`For information on preventing theft of your intellectual property (patents, trademarks and copyrights), you may wish
`to consult the U.S. Government website, http://www.stopfakes.gov. Part of a Department of Commerce initiative,
`this website includes self-help "toolkits" giving innovators guidance on how to protect intellectual property in specific
`countries such as China, Korea and Mexico. For questions regarding patent enforcement issues, applicants may
`call the U.S. Government hotline at 1-866-999-HAL T (1-866-999-4158).
`
`LICENSE FOR FOREIGN FILING UNDER
`
`Title 35, United States Code, Section 184
`
`Title 37, Code of Federal Regulations, 5.11 & 5.15
`
`GRANTED
`
`The applicant has been granted a license under 35 U.S.C. 184, if the phrase "IF REQUIRED, FOREIGN FILING
`LICENSE GRANTED" followed by a date appears on this form. Such licenses are issued in all applications where
`the conditions for issuance of a license have been met, regardless of whether or not a license may be required as
`set forth in 37 CFR 5.15. The scope and limitations of this license are set forth in 37 CFR 5.15(a) unless an earlier
`license has been issued under 37 CFR 5.15(b). The license is subject to revocation upon written notification. The
`date indicated is the effective date of the license, unless an earlier license of similar scope has been granted under
`37 CFR 5.13 or 5.14.
`
`This license is to be retained by the licensee and may be used at any time on or after the effective date thereof unless
`it is revoked. This license is automatically transferred to any related applications(s) filed under 37 CFR 1.53(d). This
`license is not retroactive.
`
`The grant of a license does not in any way lessen the responsibility of a licensee for the security of the subject matter
`as imposed by any Government contract or the provisions of existing laws relating to espionage and the national
`security or the export of technical data. Licensees should apprise themselves of current regulations especially with
`respect to certain countries, of other agencies, particularly the Office of Defense Trade Controls, Department of
`State (with respect to Arms, Munitions and Implements of War (22 CFR 121-128)); the Bureau of Industry and
`page 2 of 3
`
`IPR2019-00611 Page 00014
`
`

`

`Security, Department of Commerce (15 CFR parts 730-774); the Office of Foreign AssetsControl, Department of
`Treasury (31 CFR Parts 500+) and the Department of Energy.
`
`NOT GRANTED
`
`No license under 35 U.S.C. 184 has been granted at this time, if the phrase "IF REQUIRED, FOREIGN FILING
`LICENSE GRANTED" DOES NOT appear on this form. Applicant may still petition for a license under 37 CFR 5.12,
`if a license is desired before the expiration of 6 months from the filing date of the application. If 6 months has lapsed
`from the filing date of this application and the licensee has not received any indication of a secrecy order under 35
`U.S.C. 181, the licensee may foreign file the application pursuant to 37 CFR 5.15(b).
`
`page 3 of 3
`
`IPR2019-00611 Page 00015
`
`

`

`PTO/SB/80 (04-05)
`Approved for use through 11/30/2005. 0MB 0651-0035
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a colleclion of information unless ii displays a valid 0MB control number.
`
`POWER OF ATTORNEY TO PROSECUTE APPLICATIONS BEFORE THE USPTO
`
`I hereby revoke all previous powers of attorney given in the application identified in the attached statement under
`37 CFR 3_73(b).
`I hereby appoint:
`
`OR
`
`82427
`
`E] Practitioners associated with the Customer Number: I
`I
`(cid:143) Practitioner(s) named below (if more than ten patent practitioners are to be named, then a customer number must be used):
`
`Name
`
`Registration
`Number
`
`Name
`
`Registration
`Number
`
`as attomey(s) or agent(s) to represent the undersigned before the United States Patent and Trademark Office (USPTO) in connection with
`any and all patent applications assigned QlliY. to the undersigned according to the USPTO assignment records or assignment documents
`attached to this form in accordance with 37 CFR 3.73(b).
`
`Please change the correspondence address for the application identified in the attached statement under 37 CFR 3. 73(b) to:
`
`E] The address associated with Customer Number: I
`OR LJ Firmer
`
`Individual Name
`Address
`
`82427
`
`I
`
`City
`
`Country
`
`Telephone
`
`Assignee Name and Address;
`
`I State
`
`I Zip
`
`I Email
`
`Apple Inc.
`
`1 Infinite Loop
`
`Cupertino, CA 95014
`
`A copy of this form, together with a statement under 37 CFR 3.73(b) (Form PTO/SB/96 or equivalent) is required to be
`filed in each application in which this form is used. The statement under 37 CFR 3.73(b) may be completed by one of
`the practitioners appointed in this form if the appointed practitioner is authorized to act on behalf of the assignee,
`and must identify the aoolication in which this Power of Attorney is to be filed.
`
`:~: SIGNATURE of Assignee of Record
`
`~ A
`L-N /
`/
`I Ri .ha ,.d J, Lutton,
`Jr,
`\llJ ska ant Secretary and Chief Patent Counael
`Title
`This collection of lrj:Ormat~ Is requlr~d by 37 CFR !-~1, ~ .32 ·and 1.33. The information is required to obtain or retain _a benell( by _the p~bllc which is to fil~ (and
`by the USPTO lo process) an appllcat1on. Confident1allly Is governed by 35 U.S.C. 122 and 37 CFR 1.11 and 1. 14. This collect1on Is estimated to take 3 minutes
`to complete, including gathering, preparing, and submitting the completed appllcallon form to the USPTO. Time will vary depending upon the individual case. Any
`com menls 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 ancl Trademark Office, U.S. Deparlmenl of Commerce, P.O. aox 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED
`FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`·signature
`
`Name
`
`v ual whose gnature and title is supplied below is authorized to act on bebalf of the assignee
`
`Date /llu _.a.. ff 1.9&g
`
`., -~ •
`I
`TelephoneU
`(408)974-9453
`
`ff you need assistance In completing the form, call 1-800-PTO-9199 and select option 2.
`
`IPR2019-00611 Page 00016
`
`

`

`PTO/SB/96 (01-09)
`Approved for use through 01/31/2009. 0MB 0651-0031
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid 0MB control number.
`
`STATEMENT UNDER 37 CFR 3.73(b)
`
`ApplicanUPatent Owner: Emery Sanford et al.
`- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
`App Ii cation No./Patent No.: 60/995,200
`Filed/Issue Date: September 24, 2007
`- - - - - - - - - - - - - - - -
`
`Tit I e d:
`
`EMBEDDED FINGERPRINT SCANNER
`
`Apple Inc.
`- - - - - - - - - - - - - - - - - - - - -
`(Name of Assignee)
`
`, a Corporation
`
`(Type of Assignee, e.g., corporation, partnership, university, government agency, etc.
`
`states that it is:
`
`1. ~ the assignee of the entire right, title, and interest in;
`
`2.
`
`(cid:143)
`3. D the assignee of an undivided interest in the entirety of (a complete assignment from one of the joint inventors was made)
`
`an assignee of less than the entire right, title, and interest in
`(The extent (by percentage) of its ownership interest is
`
`- - - -
`
`%); or
`
`the patent application/patent identified above, by virtue of either:
`
`A. ~ An assignment from the inventor(s) of the patent application/patent identified above. The assignment was recorded in
`, or for which a
`the United States Patent and Trademark Office at Reel 021706
`, Frame 0113
`copy therefore is attached.
`
`OR
`
`B. D A chain of title from the inventor(s), of the patent application/patent identified above, to the current assignee as follows:
`
`1. From:
`
`2. From:
`
`3. From:
`
`The document was recorded in the United States Patent and Trademark Office at
`
`Reel
`
`Frame
`
`or for which a copy thereof is attached.
`
`To:
`
`To:
`
`The document was recorded in the United States Patent and Trademark Office at
`Frame - - - - - - - - or for which a copy thereof is attached.
`
`Reel
`
`To:
`
`The document was recorded in the United States Patent and Trademark Office at
`Frame - - - - - - - - or for which a copy thereof is attached.
`
`Reel
`
`D
`
`Additional documents in the chain of title are listed on a supplemental sheet(s).
`
`(cid:143)
`
`As required by 37 CFR 3.73(b)(1 )(i), the documentary evidence of the chain of title from the original owner to the assignee was,
`or concurrently is being, submitted for recordation pursuant to 37 CFR 3.11.
`
`[NOTE: A separate copy (i.e., a true copy of the original assignment document(s)) must be submitted to Assignment Division in
`accordance with 37 CFR Part 3, to record the assignment in the records of the USPTO. See MPEP 302.08]
`
`The undersigned (whose title is supplied below) is authorized to act on behalf of the assignee.
`
`/Jeffrey C. Aldridge/
`
`Signature
`
`Jeffrey C. Aldridge, Registration No. 51,390
`
`February 12, 2009
`Date
`
`Attorney for Assignee
`
`Title
`Printed or Typed Name
`This collection of information is required by 37 CFR 3.73(b). The information is required to obtain or retain a benefit by the public which is to file (and by the USPTO to
`process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.11 and 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 FORMS TO THIS ADDRESS. SEND TO: Commissioner
`for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`If you need assistance in completing the form, ca/11-800-PTO-9199 and select option 2.
`
`IPR2019-00611 Page 00017
`
`

`

`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 may result in termination of proceedings or
`abandonment of the application or expiration of the patent.
`
`The information provided by you in this form will be subject to 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
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`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
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`4. A record in this system of records may be disclosed, as a routine use, to a contractor of the
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`amended, pursuant to 5 U.S.C. 552a(m).
`5. A record related to an International Application filed under the Patent Cooperation Treaty in
`this system of records may be disclosed, as a routine use, to the International Bureau of the
`World Intellectual Property Organization, pursuant to 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 routin