`
`June 10, 2019
`
`THIS IS TO CERTIFY THAT ANNEXED IS A TRUE COPY FROM THE
`RECORDS OF THIS OFFICE OF THE FILE WRAPPER AND CONTENTS
`OF:
`
`APPLICATION NUMBER: 15/153,905
`FILING DATE: May 13, 2016
`PATENT NUMBER: 9911325
`ISSUE DATE: March 06, 2018
`
`0001
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`Roku EX1002
`U.S. Patent No. 9,911,325
`
`
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`81 230_708US4
`""'
`UTILITY
`PATENT APPLICATION
`TRANSMITTAL
`
`Attorney Docket No.
`
`First Inventor
`
`Daniel SauFu Mui
`
`r(ElAYII\'G s_cv Cot1E' SIGNAl...~ H-ttHJl!GH A. Re.,w.>ll:. CON !'RO- Of.VICe.
`
`Tille
`Express Mail Label No. Filed via EFS-VVeb
`
`(Only for new nonprovisional applications under 37 CFR 1.53(b))
`
`.)
`
`APPLICATION ELEMENTS
`See MPEP chapter 600 concerning utility patent application contents.
`
`ADDRESS TO:
`
`Commissio ner f or Patents
`P.O. Box 1450
`Alexandria VA 22313-1450
`
`1. 0
`
`Fee Tran smittal For m .
`(PTOISBI1 7 or equivalent)
`Applican t clai m s s m all entity statu s.
`See 37 CFR 1.27.
`
`2.0
`3.0 Spec ification.
`
`1
`
`[Total Pages 24
`Both the claims and abstract must start on a new page
`(For information on the preferred arrangement, see MPEP § 608.01(a))
`Drawing(s). (35 U.S.C 113)
`( Total Sheets 4
`4 . [ZJ
`5. Inventor 's Oa th or Decl arati on.
`(Total Sheets
`(including substitute statements under 37 CFR 1. 64 and assignments serving as an
`oath or declaration under 37 CFR 1.63(e))
`Newly executed (original or copy)
`a. B
`A copy from a prior application (37 CFR 1.63( d))
`b.
`6.[Z] Applicati on Data Sheet. ·see Note below
`See 37 CFR t .76 (PTOJAIA/14 or equivalent)
`
`1
`1
`
`7. 0
`
`CD-ROM or CD·R.
`in duplicate. large table or Computer Program (Appendix)
`0 Landscape Table on CD
`8. Nucleotide an d/or A mino Acid Sequence Submission.
`(if applicable, items a. - c. are required)
`a. D Computer Readable Form (CRF)
`b. D Specification Sequence Listing on:
`D
`CD- ROM or CD-R (2 copies); or
`i.
`ii. D
`Paper
`c. D Statements verifying identity of above copies
`
`ACCOMPANYING APPLICATION PARTS
`9. D Assignment Papers.
`
`(cover sheet & document(s))
`Name of Assignee UNIVERSAL ELECTRONICS INC.
`
`10. D 37 CFR 3.73(c ) Statement. D Power of Attorney.
`11. D English Tran sl ation Docum ent.
`12. D Information Disclosure Statement.
`
`(when there is an assignee)
`
`(Jf applicable)
`
`(PTO/SB/08 or PT0-1449)
`O copies of citations attached
`
`13. D Preliminary Amendment.
`
`14. 0Return Receipt Postcard.
`(MPEP § 503) (Should be specifically itemized)
`15. D Certified Copy of Priority Document(s).
`16. D No npublicatio n Request.
`
`(ifforeign priority is claimed)
`
`Under 35 U.S. C. 122(b)(2)(B)(i). Applicant must attach form PTOISBI35 or
`equivalent
`
`17. 0other: ELECTRONIC FEE CALCUl./\TlON SHEET
`
`•Not e : (1) Benefit claims under 37 CFR 1.78 and foreign priority claims under 1.55 must be included in an Application Data Sheet (ADS).
`(2) For applications f:ied under 35 U.S.C. 111, the application must contain an ADS specifying the applicant if the applicant is an
`assignee, person to whom the inventor is under an obligation to assign, or person who otherwise shows sufficient proprietary
`interest in the matter. See 37 CFR 1.46(b).
`
`GZJ The address associated with Customer Number:
`
`340 18
`
`OR D Correspondence address below
`
`18. CORRESPONDENCE ADDRESS
`
`Name
`
`Address
`
`City
`
`Country
`
`Signature
`
`Name
`(Print/Type)
`
`iGary R . Jarosiki
`Gary R. Jarosik
`
`I State
`
`1 Telephone
`
`Zip Code
`
`
`1 Date May 13,2016
`
`Registration No. I""
`..:>0' 906
`
`(Attornev/Aqent)
`
`This collection of information is required by 37 CFR 1.53(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, A lexandria, VA 22313-1450.
`If you need assistance in completing the form, ca/11-800-PT0-9199 and select option 2.
`
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`Application Data Sheet 37 CFR 1. 76
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`Attorney Docket Number
`
`81230.708US4
`
`Application Number
`
`Title of Invention
`
`RELAYING KEY CODE SIGNALS THROUGH A REMOTE CONTROL DEVICE
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`The application data sheet is part of the provisional or nonprovisional application for which it is being submitted. The following form contains the
`bibliographic data arranged in a format specified by the United States Patent and Trademark Office as outlined in 37 CFR 1.76.
`This document may be completed electronically and submitted to the Office in electronic format using the Electronic Filing System (EFS) or the
`document may be printed and included in a paper filed application.
`
`Secrecy Order 37 CFR 5.2:
`D Portions or all of the application associated with this Application Data Sheet may fall under a Secrecy Order pursuant to
`37 CFR 5.2 (Paper filers only. Applications that fall under Secrecy Order may not be filed electronically.)
`
`I Remove I
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`Inventor Information:
`
`Inventor
`11
`Legal Name
`
`Prefix Given Name
`
`I B I:Janiel
`
`Residence Information (Select One)
`~an Jose
`City
`
`Middle Name
`Family Name
`~auFu
`~ui
`Non US Residency
`• US Residency
`I State/Province I i:A I Country of ResidencJ I ~S
`
`Active US Military Service
`
`Suffix
`
`I B
`
`Mailing Address of Inventor:
`
`Address 1
`
`~625 Brookvale Dr. #3
`
`Address 2
`
`City
`
`I ~an Jose
`Postal Code
`
`I State/Province
`[[us
`I Countryi
`1 ~5129
`All Inventors Must Be Listed - Additional Inventor Information blocks may be
`generated within this form by selecting the Add button.
`
`I FA
`
`I Add
`
`I
`
`Correspondence Information:
`Enter either Customer Number or complete the Correspondence Information section below.
`For further information see 37 CFR 1.33(a).
`D An Address is being provided for the correspondence Information of this application.
`Customer Number
`~4018
`
`Email Address
`
`hiipmail@gtlaw.com
`
`Application Information:
`
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`Title of the Invention
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`Attorney Docket Number 81230.708US4
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`[ Small Entity Status Claimed D
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`Application Type
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`Nonprovisional
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`Subject Matter
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`~tility
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`Total Number of Drawing Sheets (if any)
`
`lr
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`I Suggested Figure for Publication (if any) II
`
`...
`...
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`Application Data Sheet 37 CFR 1. 76
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`Attorney Docket Number
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`81230.708US4
`
`Application Number
`
`Title of Invention
`
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`Filing By Reference:
`Only complete this section when filing an application by reference under 35 U.S.C. 111 (c) and 37 CFR 1.57(a). Do not complete this section if
`application papers including a specification and any drawings are being filed. Any domestic benefit or foreign priority information must be
`provided in the appropriate section(s) below (i.e., "Domestic Benefit/National Stage Information" and "Foreign Priority Information").
`
`For the purposes of a filing date under 37 CFR 1.53(b), the description and any drawings of the present application are replaced by this
`reference to the previously filed application, subject to conditions and requirements of 37 CFR 1.57(a).
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`i-
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`I
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`Publication Information:
`D Request Early Publication (Fee required at time of Request 37 CFR 1.219)
`Request Not to Publish. I hereby request that the attached application not be published under
`D 35 U.S.C. 122(b) and certify that the invention disclosed in the attached application has not and will not be the
`subject of an application filed in another country, or under a multilateral international agreement, that requires
`publication at eighteen months after filing.
`
`Representative Information:
`
`Representative information should be provided for all practitioners having a power of attorney in the application. Providing
`this information in the Application Data Sheet does not constitute a power of attorney in the application (see 37 CFR 1.32).
`Either enter Customer Number or complete the Representative Name section below. If both sections are completed the customer
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`
`Please Select One:
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`I
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`US Patent Practitioner IO Limited Recognition (37 CFR 11.9)
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`Customer Number
`
`J34o18
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`Domestic Benefit/National Stage Information:
`This section allows for the applicant to either claim benefit under 35 U.S.C. 119(e), 120, 121, 365(c), or 386(c) or indicate
`National Stage entry from a PCT application. Providing benefit claim information in the Application Data Sheet constitutes
`the specific reference required by 35 U.S.C. 119(e) or 120, and 37 CFR 1.78.
`When referring to the current application, please leave the "Application Number" field blank.
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`Prior Application Status ~ending
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`tontinuation of
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`l· 13068820
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`~011-05-21
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`Application Data Sheet 37 CFR 1. 76
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`Attorney Docket Number
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`81230.708US4
`
`Application Number
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`Title of Invention
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`RELAYING KEY CODE SIGNALS THROUGH A REMOTE CONTROL DEVICE
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`Prior Application Status I ~atented
`Application
`Number
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`Continuity Type
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`pontinuation of
`113068820
`Prior Application Status I talented
`Application
`Number
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`Continuity Type
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`112462526
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`pontinuation of B 110737029
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`li
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`Prior Application
`Number
`[· 112462526
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`li
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`Prior Application
`Number
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`Filing Date
`(YYYY-MM-DD)
`~009-08-04
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`Patent Number
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`~004389
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`Issue Date
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`~011-08-23
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`~003-12-16
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`This section allows for the applicant to claim priority to a foreign application. Providing this information in the application data sheet
`constitutes the claim for priority as required by 35 U.S.C. 119(b) and 37 CFR 1.55. When priority is claimed to a foreign application
`that is eligible for retrieval under the priority document exchange program (PDX)i the information will be used by the Office to
`automatically attempt retrieval pursuant to 37 CFR 1.55(i)(1) and (2). Under the PDX program, applicant bears the ultimate
`responsibility for ensuring that a copy of the foreign application is received by the Office from the participating foreign intellectual
`property office, or a certified copy of the foreign priority application is filed, within the time period specified in 37 CFR 1.55(g)(1 ).
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`Statement under 37 CFR 1.55 or 1.78 for AlA (First Inventor to File) Transition
`Applications
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`This application (1) claims priority to or the benefit of an application filed before March 16, 2013 and (2) also
`contains, or contained at any time, a claim to a claimed invention that has an effective filing date on or after March
`D 16,2013.
`NOTE: By providing this statement under 37 CFR 1.55 or 1.78, this application, with a filing date on or after March
`16, 2013, will be examined under the first inventor to file provisions of the AlA.
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`Application Data Sheet 37 CFR 1. 76
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`Attorney Docket Number
`
`81230.708US4
`
`Application Number
`
`Title of Invention
`
`RELAYING KEY CODE SIGNALS THROUGH A REMOTE CONTROL DEVICE
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`Authorization or Opt-Out of Authorization to Permit Access:
`
`When this Application Data Sheet is properly signed and filed with the application, applicant has provided written
`authority to permit a participating foreign intellectual property (IP) office access to the instant application-as-filed (see
`paragraph A in subsection 1 below) and the European Patent Office (EPO) access to any search results from the instant
`application (see paragraph B in subsection 1 below).
`
`Should applicant choose not to provide an authorization identified in subsection 1 below, applicant must opt-out of the
`authorization by checking the corresponding box A or B or both in subsection 2 below.
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`NOTE: This section of the Application Data Sheet is ONLY reviewed and processed with the INITIAL filing of an
`application. After the initial filing of an application, an Application Data Sheet cannot be used to provide or rescind
`authorization for access by a foreign IP office(s). Instead, Form PTO/SB/39 or PTO/SB/69 must be used as appropriate.
`
`1_ Authorization to Permit Access by a Foreign Intellectual Property Office(s)
`
`A. Priority Document Exchange (POX)- Unless box A in subsection 2 (opt-out of authorization) is checked, the
`undersigned hereby grants the USPTO authority to provide the European Patent Office (EPO), the Japan Patent Office
`(JPO), the Korean Intellectual Property Office (KIPO), the State Intellectual Property Office of the People's Republic of
`China (SIPO), the World Intellectual Property Organization (WI PO), and any other foreign intellectual property office
`participating with the USPTO in a bilateral or multilateral priority document exchange agreement in which a foreign
`application claiming priority to the instant patent application is filed, access to: (1) the instant patent application-as-filed
`and its related bibliographic data, (2) any foreign or domestic application to which priority or benefit is claimed by the
`instant application and its related bibliographic data, and (3) the date of filing of this Authorization. See 37 CFR 1.14(h)
`(1 ).
`B_ Search Results from u_s_ Application to EPO - Unless box B in subsection 2 (opt-out of authorization) is checked,
`the undersigned hereby grants the USPTO authority to provide the EPO access to the bibliographic data and search
`results from the instant patent application when a European patent application claiming priority to the instant patent
`application is filed. See 37 CFR 1.14(h)(2).
`
`The applicant is reminded that the EPO's Rule 141(1) EPC (European Patent Convention) requires applicants to submit a
`copy of search results from the instant application without delay in a European patent application that claims priority to
`the instant application.
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`A. Applicant DOES NOT authorize the USPTO to permit a participating foreign IP office access to the instant
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`any documents and information identified in subsection 1A above.
`
`B. Applicant DOES NOT authorize the USPTO to transmit to the EPO any search results from the instant patent
`D application. If this box is checked, the USPTO will not be providing the EPO with search results from the instant
`application.
`NOTE: Once the application has published or is otherwise publicly available, the USPTO may provide access to the
`application in accordance with 37 CFR 1.14.
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`Application Data Sheet 37 CFR 1. 76
`
`Attorney Docket Number
`
`81230.708US4
`
`Application Number
`
`Title of Invention
`
`RELAYING KEY CODE SIGNALS THROUGH A REMOTE CONTROL DEVICE
`
`Applicant Information:
`
`Providing assignment information in this section does not substitute for compliance with any requirement of part 3 of Title 37 of CFR
`to have an assignment recorded by the Office.
`
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`Applicant
`11
`If the applicant is the inventor (or the remaining joint inventor or inventors under 37 CFR 1.45), this section should not be completed.
`The information to be provided in this section is the name and address of the legal representative who is the applicant under 37 CFR
`1.43; or the name and address of the assignee, person to whom the inventor is under an obligation to assign the invention, or person
`who otherwise shows sufficient proprietary interest in the matter who is the applicant under 37 CFR 1.46. If the applicant is an
`applicant under 37 CFR 1.46 (assignee, person to whom the inventor is obligated to assign, or person who otherwise shows sufficient
`proprietary interest) together with one or more joint inventors, then the joint inventor or inventors who are also the applicant should be
`identified in this section.
`I Clear
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`• Assignee
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`I
`Person to whom the inventor is obligated to assign.
`
`I
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`I.·J
`
`Legal Representative under 35 U.S.C. 117
`
`I
`Person who shows sufficient proprietary interest
`
`Joint Inventor
`
`Name of the Deceased or Legally Incapacitated Inventor: I
`
`Organization Name
`
`If the Applicant is an Organization check here.
`J ~niversal Electronics Inc.
`Mailing Address Information For Applicant:
`
`~
`
`~01 E. Sandpointe Avenue
`
`~th Floor
`
`t:;anta Ana
`
`Address 1
`
`Address 2
`
`City
`Country' I ~s
`Phone Number
`
`Email Address
`
`State/Province
`
`CA
`
`Postal Code
`
`Fax Number
`
`~2707
`
`I
`
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`Assignee Information including Non-Applicant Assignee Information:
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`Application Data Sheet 37 CFR 1. 76
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`Attorney Docket Number
`
`81230.708US4
`
`Application Number
`
`Title of Invention
`
`RELAYING KEY CODE SIGNALS THROUGH A REMOTE CONTROL DEVICE
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`Assignee
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`11
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`Complete this section if assignee information, including non-applicant assignee information, is desired to be included on the patent
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`Given Name
`
`Middle Name
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`I
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`B I
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`I
`
`I
`
`Mailing Address Information For Assignee including Non-Applicant Assignee:
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`Signature·
`NOTE: This Application Data Sheet must be signed in accordance with 37 CFR 1.33(b). However, if this Application
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`subsection 2 of the "Authorization or Opt-Out of Authorization to Permit Access" section, then this form must
`also be signed in accordance with 37 CFR 1_14(c)_
`This Application Data Sheet must be signed by a patent practitioner if one or more of the applicants is a juristic
`entity (e.g., corporation or association). If the applicant is two or more joint inventors, this form must be signed by a
`patent practitioner, all joint inventors who are the applicant, or one or more joint inventor-applicants who have been given
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`See 37 CFR 1.4(d) for the manner of making signatures and certifications.
`
`Remove
`
`Signature Gary R. Jarosik!
`
`Date (YYYY-MM-DD) ~016-05-13
`
`First Name
`
`pary R.
`
`I Last Name I ~arosik
`
`Registration Number
`
`135906
`
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`
`Application Data Sheet 37 CFR 1. 76
`
`Attorney Docket Number
`
`81230.708US4
`
`Application Number
`
`Title of Invention
`
`RELAYING KEY CODE SIGNALS THROUGH A REMOTE CONTROL DEVICE
`
`This collection of information is required by 37 CFR 1.76. 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 1.14. This
`collection is estimated to take 23 minutes to complete, including gathering, preparing, and submitting the completed application data
`sheet 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.
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`EFS Web 2.2.1 2
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`0009
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`Privacy Act Statement
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`EFS Web 2.2.12
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`0010
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`RELAYING KEY CODE SIGNALS THROUGH A REMOTE
`CONTROL DEVICE
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`CROSS REFERENCE TO RELATED APPLICATION
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`[ 0001] This application is a continuation of and claims the benefit of US Application
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`No. 13/068,820, filed on May 21,2011, which application is a continuation of and claims
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`the benefit of US Application No. 12/462,526, filed on August 4, 2009, which application
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`is a continuation of and claims the benefit of US Application No. 10/737,029, filed on
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`December 16, 2003, each of which is incorporated herein by reference in its entirety.
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`TECHNICAL FIELD
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`[ 0002] The present invention relates generally to remote control devices and, more
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`specifically, to relaying key code signals through a remote control device to operate an
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`electronic consumer device.
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`BACKGROUND
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`[ 0003] Most households today possess multiple types of electronic consumer devices,
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`such as televisions, stereo radios, digital video disk players, video cassette recorders, set-
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`top cable television boxes and set-top satellite boxes. Manufacturers of such electronic
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`devices typically supply a remote control device along with each electronic device. It is,
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`therefore, common for a consumer who has multiple electronic devices to have multiple
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`remote control devices.
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`[ 0004] A remote control device typically controls a selected electronic consumer
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`device by transmitting infrared key code signals to the selected electronic consumer
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`device. The infrared signals contain key codes of a codeset associated with the selected
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`CHI 67011736v1
`
`1
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`0011
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`
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`electronic consumer device. Each key code corresponds to a function of the selected
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`electronic device, such as power on, power off, volume up, volume down, play, stop,
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`select, channel up, channel down, etc. In order to avoid the situation where a remote
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`control device unintentionally operates an electronic consumer device that is associated
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`with a different remote control device, manufacturers sometimes use distinct codesets for
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`the communication between various electronic consumer devices and their associated
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`remote control devices. The codesets can differ from each other not only by the bit
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`patterns assigned to various functions of the associated electronic consumer device, but
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`also by the timing information that describes how the key codes should be modulated
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`onto carrier signals to generate key code signals.
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`[ 0005] Consumers may find it inconvenient to operate their electronic devices usjng
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`multiple remote control devices. Thus, a consumer may wish to operate multiple
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`electronic consumer devices using a single remote control device. A single remote
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`control device can store many codesets so that the remote control device can control a
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`corresponding large number of different electronic consumer devices. There are,
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`however, thousands of codesets in use in electronic consumer devices today.
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`Manufacturers of remote control devices, however, may wish to limit the memory on
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`their remote control devices to a size that is insufficient to store the thousands of existing
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`codesets.
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`[ 0006] A system is sought for enabling a remote control device to control a selected
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`one of multiple different electronic consumer devices without requiring the codeset
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`associated with the selected electronic consumer device to be stored on the remote
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`control device.
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`CHI 67011736v1
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`2
`
`0012
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`SUMMARY
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`[ 0007] A system for relaying a key code through a remote control device to an
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`electronic consumer device allows the electronic consumer device to be controlled
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`without storing the associated codeset on the remote control device. Upon receiving a
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`keystroke indicator signal from a remote control device, a key code generator device,
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`such as a set-top box, identifies the particular codeset usable to communicate with the
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`selected electronic consumer device. The keystroke indicator signal contains an
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`indication of a key on the remote control device that was pressed, which corresponds to a
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`function of the selected electronic consumer device. Using the identified codeset and the
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`indication of the pressed key, the key code generator device generates a key code and
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`modulates that key code onto a radio frequency carrier signal, thereby generating a first
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`key code signal. The remote control device receives the first key code signal from the
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`key code generator device and modulates the key code onto an infrared frequency carrier
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`signal, thereby generating a second key code signal. The remote control device relays the
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`key code to the selected electronic consumer device in the second key code signal. The
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`key code causes the selected electronic consumer device to perform the desire