`NUMBER
`61/680,876
`
`FILING or
`37l(c)DATE
`08/08/2012
`
`GRPART
`UNIT
`
`FIL FEE REC'D
`250
`
`34018
`GREENBERG TRAURIG, LLP (CHI)
`77 WEST WACKER DRIVE
`SUITE 3100
`CHICAGO, IL 60601-1732
`
`Ul\TfED STATES DEPA RTME'IT OF COMMERCE
`United States Patent and Trademark Office
`Adiliess. COMMISSIO'JER FOR PATENTS
`PO Box 1450
`Alexandria, Virgmia 22313-1450
`\VVi\V.USpto.gov
`
`ATTY.DOCKET.NO
`81230.155US2
`
`TOT CLAIMS IND CLAIMS
`
`CONFIRMATION NO. 4281
`FILING RECEIPT
`
`11111111111111111 lllll ll]~!l]!~l!~l!~IUU!IHll lllll lllll lllll llll 1111
`
`Date Mailed: 08/23/2012
`
`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
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`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)
`
`Brian Barnett, Oakland, CA;
`Paul D. Arling, Irvine, CA;
`Power of Attorney:
`Gary Jarosik--35906
`
`If Required, Foreign Filing License Granted: 08/17/2012
`The country code and number of your priority application, to be used for filing abroad under the Paris Convention,
`is US 61 /680,876
`Projected Publication Date: None, application is not eligible for pre-grant publication
`Non-Publication Request: No
`Early Publication Request: No
`Title
`
`CEC AND INFRARED HYBRID CONTROLLING DEVICE
`
`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
`
`Roku EX1054
`IPR2019-01615
`U.S. Patent No. 9,716,853
`
`0001
`
`
`
`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
`
`0002
`
`
`
`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).
`
`Select USA
`
`The United States represents the largest, most dynamic marketplace in the world and is an unparalleled location
`for business investment, innovation and commercialization of new technologies. The USA offers tremendous
`resources and advantages for those who invest and manufacture goods here. Through SelectUSA, our nation
`works to encourage, facilitate, and accelerate business investment. To learn more about why the USA is the best
`country in the world to develop technology, manufacture products, and grow your business, visit SelectUSA.gov.
`
`page 3 of 3
`
`0003
`
`
`
`Doc Code: TR.PROV
`Document Description: Provisional Cover Sheet (SB16)
`
`PTO/SB/16 (11-08)
`Approved for use through 01/31/2014 0MB 0651-0032
`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 ii displays a valid 0MB control number
`Provisional Application for Patent Cover Sheet
`This is a request for filing a PROVISIONAL APPLICATION FOR PATENT under 37 CFR 1.53(c)
`
`lnventor{s)
`
`Inventor 1
`
`Given Name
`
`Middle Name
`
`Family Name
`
`City
`
`State
`
`It Rmrioi,M ti
`Country i
`
`Barnett
`
`Oakland
`
`CA
`
`us
`
`Brian
`
`Inventor 2
`
`Given Name
`
`Middle Name
`
`Family Name
`
`City
`
`State
`
`Paul
`
`D.
`
`Arling
`
`Irvine
`
`CA
`
`All Inventors Must Be Listed -Additional Inventor Information blocks may be
`generated within this form by selecting the Add button.
`
`I BWN:iiWJI
`Country i
`
`us
`
`It ?Add >!
`
`Title of Invention
`
`CEC AND INFRARED HYBRID CONTROLLING DEVICE
`
`Attorney Docket Number (if applicable)
`
`81230.155US2
`
`Correspondence Address
`
`Direct all correspondence to (select one):
`
`@ The address corresponding to Customer Number 0 Firm or Individual Name
`
`Customer Number
`
`34018
`
`The invention was made by an agency of the United States Government or under a contract with an agency of the United
`States Government.
`
`@ No.
`O Yes, the name of the U.S. Government agency and the Government contract number are:
`
`EFS - Web 1.0.1
`
`0004
`
`
`
`Doc Code: TR.PROV
`Document Description: Provisional Cover Sheet (SB16)
`
`PTO/SB/16 (11-08)
`Approved for use through 01/31/2014 0MB 0651-0032
`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 ii displays a valid 0MB control number
`
`Entity Status
`Applicant claims small entity status under 37 CFR 1.27
`0 Yes, applicant qualifies for small entity status under 37 CFR 1.27
`@ No
`
`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 USPTO 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 USPTO. Petitioner/applicant is advised that the record of a patent application is available to the public
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`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 CFR1 .14). Checks and credit
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`not publicly available.
`
`Signature
`
`Please see 37 CFR 1.4(d) for the form of the signature.
`
`Signature
`
`/Gary R. Jarosik/
`
`Date (YYYY-MM-DD)
`
`2012-08-08
`
`First Name
`
`Gary R.
`
`Last Name
`
`Jarosik
`
`Registration Number
`(If appropriate)
`
`35906
`
`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
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`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. This
`form can only be used when in conjunction with EFS-Web. If this form is mailed to the USPTO, it may cause delays in handling
`the provisional application.
`
`EFS - Web 1.0.1
`
`0005
`
`
`
`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
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`
`The information provided by you in this form will be subject to the following routine uses:
`
`1.
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`
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`The information on this form will be treated confidentially to the extent allowed under the Freedom of Information
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`A record from this system of records may be disclosed, as a routine use, to a Federal, State, or local law
`enforcement agency, if the USPTO becomes aware of a violation or potential violation of law or regulation.
`
`0006
`
`
`
`CFC AND INFRARED HYBRID ccn,n'ROLLING [)FVl(T
`
`0007
`
`
`
`ix.
`
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`0008
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`0017
`
`
`
`CEC / IR Engine
`
`• CEC and IR command controller~
`
`• At least 2 applications
`- Stand Alone remote bridge device
`- Integrated into exJsting HDMI enabled. devices
`(TV, STB, etc.)
`
`• Modular software and/or r1ardware solution~
`-- .Depending on application.
`
`0018
`
`
`
`CEC / IR Engine
`
`• Auto configuration of all detectable devices providing
`minimal setup
`,,,,,, Defaults to best choice depending on the f-iome theatre
`architecture
`
`• Remote UI (Tablet Nevo Sma,rt, Web EZRC etc~)
`- Allows additional of devices not found and fine tuning of the
`existing config
`
`0019
`
`
`
`----<>m,:,---
`.,,,, __ ,,,,,,,,,,,:,,,,,,, ______ ,,,,,,1
`1
`j
`;
`
`Pi;.,:;,:r?
`( tf{ (;(~\y)
`
`~.iTB
`(~R J CE{~)
`
`TV
`
`r-1,:,M;---
`
`AV:-'.
`
`)ft/ CEt~;}
`
`;f;,
`
`'
`•• ;
`
`HDt~A::
`
`A
`HOM!
`
`HDMl
`
`Hl)!vH
`
`DVfJ
`
`.,
`
`Stand Alone Ren1ote
`bridge device
`(using any native
`protocol; IR 1 RF4CE
`Bluetooth etc,)
`
`~
`
`lJses any available
`HDMI connection
`
`r .......
`
`c=~) !/
`
`V
`
`ti
`
`CEt:l
`-~
`-4,,,_
`;
`"4!'- (X)mmaiids
`!R ,,,,,,,. r -- Cf:.~;:m
`l,.,.,rnmands
`
`.... $"'•
`
`• •
`
`;,·:..r. '.;.,. • .,"';,
`,,'::n.<,
`
`~p P~r_,,.,..:~ ,···p.--,
`t~;;j;;t : n th~::'·
`f;,'.:?,·;i,·:<;;{f: D( !Yt0
`. .
`.
`t'f{~~~~~{;:- («:;_.;._,J'./''.,fo
`
`W'
`
`----.,.; ....
`
`•
`•
`
`0020
`
`
`
`•
`
`Integrated systen1
`(softvvare only solution that
`,,,,,.
`drops into existing Hf)f\A!
`t-v;1rdv;V'iT P dPvic-e~c~ "1
`
`,,/.
`
`~ .,/ .. /V./
`
`(( .. .-,
`
`~
`
`·'IC·~·, ~ :.
`
`• Enables -STB to control all
`CEC and IR devices identical
`to stand alone device.
`
`fr::~~~r-9 :7.:.::;. :~:1:-~t~;:::-:":
`
`:-~[?.M1
`
`0021
`
`
`
`• CEC / IR Engine stand
`alone ren1ote bridge
`prototype
`X~Jl P remote
`- External Pwr
`External
`
`• Uses any available HDMI
`connection
`
`c;i:~(:;;. ! ~ F< .E:~nriinf; prc>t{;tyr,JfJ
`
`(..:.~ fy,,,• :·:::·-·.·-:,:•
`
`~;:,:::;}
`
`,.::x,~f C;-;:-:~i%"::-~t·y
`
`;\i;.00~4-:::;~ji
`f:::'.:~t-:~). tJ(!
`MO!
`
`():;1<;¼~:,:/4 !31m;~~~:
`::-;. rr~:i:-;-
`
`Cf(:,/ ~fZ Gon:.r:::-,: ~.-.. :~:P: ..... ~
`:/vV
`
`f{?:t':t:t:.
`;f< ;~(~;;:,,;~
`s>;}~~f:·.1}
`
`CE:C c~x;~~~>:
`/<_,;;/,,,,.
`
`/}.?,,P
`Hf::'t::~·::::~:
`
`0022
`
`
`
`Universal Control Engine
`This page ck-:.isetibHs the product proposal for the Unfversa! Control Engine or CEC/IR
`englm.'L
`
`propfletarv, RCP, etc,J
`.
`...
`.
`
`.
`
`'
`
`The fundan-Kmta! concept ts that individually each contm! paradigrn has its own
`strengths and vveaknesses, The UCE combines these systenm together to Lise the best
`control nption for Hc1c.h individual c<JtNriand for each individual device. Despite thEi
`rnany dairns that nevv cqntroi JJi·stems wil! rnake !R obsolete - it turns out that !R does
`rnany things rnuch better and mon~ reHab!y even on fuf!y enabled CEC and !P devices.
`Although the inltlal focus is on CEC and !R (as they are the most cornrrn:m and
`,_::.,,,.,,,.·~hi,:;:,. P>"'l•'<t1v··, 1 ;;,,,~t""fl'l"' \ ·:>•1·,' H~>~·i.o-'v !,,.,· fj r!""!'"''lb"1ndt· l0'" .. ,.,,,, ,.,,." 'U''"-"i~
`1 R ~"rl:'~ C'J:::r'- ,.,nr'K··
`, .. ~l: ~:1~· ~-. > ..,;.-/ ::.~j _y Y~:.l~ , .... _ ... ·t/ ',A~·,_
`,t:,H., .. < ~"--' ..... ~·~\..•
`)....l~~ > e<, ..... ,..,t ..
`~~"!¢~~~av~~- ....... , .. ,l ~ ...
`togetht'ff to prnvidt3 a 'ilf:H'Y robust control systern. IP control b another obvious method
`to iridudts \Nhlch fsXists on a nwnbi.ff of dnvk:es,
`
`~ ... ~--.. .. },l~,- .. ~
`
`~~} ~~,. \,..,c;:~~'
`
`~~
`
`The UCE itself ls designed to be controlled from a UEt romote which provides af! of the
`natl\.-\~ cornn11;H1ds directly to the UCE using any suitabk1 protocol and comrnand
`structure (JR, RF4CE, BT, other RF, etc,) The remote itself can bt~ ,,,,.er:_l sirnple one
`'-.Vay or prnvkln 2-·v-.iay ct1pabl!ity to extend the functionality of thE: UGE enablfKl device.
`The UCE n~ct:iives the ori9inal command from thB rernote and deterrnines the best
`to sBnd the comrnand to the actual rec~".!ivlng device {TV.
`cornrnand and confrni syst€H11
`AVR, DVD, etc-)., This can {~%m irH.:::!ude sending the comnmnd back to th{1 remote
`instructing lt to s,s,nd !R to a particular device (hence the 2-way capabiHty),
`
`The Control En9ine is capable of coordlnating all of the avaHab!e rnethods of contrornng
`a device. The UCE vviH u~;e the best and rnost re!iab/e rneithod for ist,uing faach
`command for a given device,. As an exarnple; !R could be used to power on tt1e AVR
`device but CEC or other rn(~thod cou!d bs used to pciwer Off U1e device if it madt1 ssnst..1
`to do thls -.and in rnany cases H doe.s,
`
`The soth-vare ls intended to run on aff1 or-.e of the existirw dHvices in tht~ system utHlz.irn:.1
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`a sin9!e remote to control the entire home theatrni system.. The Universal Contn)t
`Englnn (~.an operHh) as part of any device including: STB, T\l, AVR Player, Control
`8ridoe, HOf:A! svv!tch etc, (currently any device with access to CEG llne of tho HD!'vH
`hardware and IR blaster capahnityl H uses a farni!iar Activity based control par<:1dl9rn ---(cid:173)
`operation centers amund tho Source device (similar to Activity} !t minimizes nE.ied for thr::
`Dthllcn !evel setup and control.
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`i\ kEiy objl\JctivH z/ H1c1 UCE is the abl!ity to auto setup rnost dt1=vices requiring rninimal
`user invoivemnnt or knciwled9f.: or the device details, Another key features is auto input
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`confus-e the UGE. The UCE can usually track Um d€i"lice
`in use and auh)m<'lticaily
`switch or ·with a sin9ie press of the sys.tern \NW msync to any ol' th~1 source devices
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`and provides a rfiai workln9 dumo system. HDMI dong!e (Hke Hoku} or HD!\<11 S\Vitc:h <:1fB
`posslblo product optlons.
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`2) UE! (drop--in) .Sl!k::.on solution .... ,.\!lovvs TV, STB, CE devlcH ma.nufocturers to enable
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`3) Ernbedde~i in P<:Hi:n~1r smcon --~ Ernbedded inside of CPU/MCU prn\liders. This longer
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`The UCE does hav~~ Hrnitatlons. The system is not designed to function ,vithout a CEC
`enabled T\/. The other devices do nQt need to be CEC enabled but the L!CE becornes
`i:Jasier to use fmd rnore reliable as rnore CEC devices are avaih'.ible, The hey reason rs
`that GEC de1.dces can be setup automatically and reliably w-lth little to no ust.~r
`involvement. \IVhereas non.,CEC d-evices require additional user lnton-nation to setup
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`There are three maln cornponents to the UCE system. Th(-i UCE itself ln \Nhatever
`produGt forn1 is takes, the phyt;\cal n:irnote control and the setup utl!ity,
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`Setup Utility
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`A k€:y elernent of the UGE system is the Setup Application, The setup app!k:atlon fs
`intended to be an external setup too! (residing on IPad, phons:\ VVeb or other suitable
`platform}, The Setup tool ls criti.ca! as it allows the user to in!t!allze U1e UCE Auto-conflq
`as WtJ!! as hvnak the resuiting configuration if needed .. Adding ln non--HOf\:~! devfetss
`must be done thrcn.19h the setup app!icaUcm as they c:annot be cltstEicted .. The Setup
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`identiflng HOtvH (non-CEC) and adding in any non-HDfv1! devices,
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`\/Vit.h the knowledge of the systern topology gained through thB ED!D/CEC devk:es Wf-J
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`CEC and rKm-HDf\A!\ Rather then simply relying on the user to se!ed an th~1 devices in
`their syst~Jrn ('11vhich the user can always do if needed). Vv'e can wa!k thE;: user through
`fining in the rearning devices and Hrniting thEl selection to appropriate d{wice
`cornbinations. UE! 1,•vm defim:} the setup flow and key elements of the setup appilcation
`but the cusknTierts will be able to skln the U! to their liking.
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`Setup optirni::_::(Jt --- allows fine tuning or the setl1p and helps user fix unreliable functions,
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`a-1:vay frorn the setup screens creates ri blind situation and runs: thti risk of not getting
`back.
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`UCE Remote controls
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`UE! Rtirnotes are required to drlvt~ the UCE system.
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`1 y Slrnole control remote, 1\ivav !R iXMP1) \<Vhlc:h rirovldes basic control funcUonaHtv ..
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`Rornoto has minima! keys and mqulres no resident !R databast~. !t oniy supports a
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`2 -- Cz:intm! + Blaster, thls al!Ovls enhanced blaster control thmugh the ror-note and
`furthHr optimized !R support (by localizing certain functions to l"f3rnote), UtHizes ~~Jf!.
`direct or other fast reHabk~ 2--way cnrnrn a.s the prlrnary to the UCE dmtice, Th<C:i system
`c:an be conn9ured to uti!iz-e multiple blasters, For example: ornJ blaster inside the
`eabirvJt to rn:mtrol dfrV!l)BS there and one in the remote to hit (levlu~s outside the cabinet.
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`comblnatlnn. CuntroH-blaster vvm pmbab!y not vvork \IVith !Ras th{~! prirnary due to th(}
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`G;::-.imblnatlnn rnay· ba appropriaW to accornmodate the actual source rmrnes as thf,y· can
`!r' anv ,.,a~--, GwB ~'"'l'r•·'e <j."'vices are rec<nrv11ended k'.<'-'en ir. ~~.in.,.j *~nt hF T\/ an----i
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