i'IIT ED STATES DEPARTM ENT OF COMMERCE
`
`United Stoics Potent ond Tr odc mork Office
`
`January 22, 2021
`
`TIDS IS TO CERTIFY THAT ANNEXED IS A TRUE COPY FROM THE
`RECORDS OF THIS OFFICE OF THE FILE WRAPPER AND CONTENTS
`OF:
`
`APPLICATION NUMBER: 15/105,648
`FILING DATE: June 17, 2016
`PATENT NUMBER: 10193600
`ISSUE DATE: January 29, 2019
`
`Certified by
`
`Under Secretary of Commerce
`for Intellectual Property
`and Director of the United States
`Patent and Trndcmark Office
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`Attorney Docket No.
`TRANSMITTAL LETTER TO THE UNITED STATES
`4015-9595 I P45698-US2
`DESIGNATED/ELECTED OFFICE (DO/EO/US)
`U.S. Application No. (if known , see 37 CFR 1.5)
`CONCERNING A SUBMISSION UNDER 35 U.S.C. 371
`International Application No.
`PCT/SE2016/050009
`Tille of Invention
`Codebook Subset Restriction Signaling
`First Named Inventor
`Faxer, Sebastian
`
`I International Filing Date
`
`2016-01-11
`
`Priority Date Claimed
`2015-01-14
`
`Applicant herewith submits to the United States Designated/Elected Office (D0/EO/US) the following items and other information.
`1. 0
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`This is an express request to begin national examination procedures (35 U.S.C. 371 (f)). NOTE: The express request under
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`have been received .
`A copy of the International Application (35 U .S.C. 3 71 (c)(2)) is attached hereto (not required if the International Application was
`previously communicated by the International Bureau or was filed in the United States Receiving Office (RO/US)).
`
`2. 0
`
`3.
`
`4.
`
`An English language translation of the International Application (35 U.S C 371 (c)(2))
`
`a. 0 is attached hereto.
`b. D has been previously subm~ted under 35 U.S.C. 154(d)(4).
`a. 0 is attached.
`b. D was previously filed in the international phase under PCT Rule 4.17(iv).
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`An oath or declaration of the inventor(s) (35 U.S.C. 371 (c)(4))
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`Items 5 to 8 below concern amendments made in the international phase.
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`PCT Article 19 and 34 amendments
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`Amendments to the claims under PCT Article 19 are attached (not required if communicated by the International Bureau) (35 U.S.C.
`371 (c)(3))
`English translation of the PCT Article 19 amendment is attached (35 U.S.C. 371(c)(3)).
`
`English translation of annexes (Article 19 and/or 34 amendments only) of the International Preliminary Examination Report is
`attached (35 U SC. 371 (c)(5)).
`
`(cid:143)
`(cid:143)
`(cid:143)
`
`5.
`
`6.
`
`7.
`
`Cancellation of amendments made in the international phase
`
`Ba. D Do not enter the amendment made in the international phase under PCT Article 19.
`Sb. D Do not enter the amendment made in the international phase under PCT Article 34.
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`NOTE: A proper amendment made in English under Article 19 or 34 will be entered in the U.S. national phase application absent a clear
`instruction from applicant not to enter the amendment(s).
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`A preliminary amendment.
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`An Application Data Sheet under 37 CFR 1.76.
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`The following items 9 to 17 concern a document(s) or information included.
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`10. 0
`11 . 0
`12. (cid:143)
`13. 0
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`15. 0
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`A substitute specification. NOTE: A subst~ute specification cannot include claims. See 37 CFR 1.125(b).
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`A power of attorney and/or change of address letter.
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`A computer-readable form of the sequence listing in accordance with PCT Rule 13ter.3 and 37 CFR 1.821-1.825.
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`Assignment papers (cover sheet and document(s)). Name of Assignee: Telefonaktiebolaget LM Ericsson (publ)
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`U.S. APPLN. No. (if known - see 37 CFR 1.5)
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`INTERNATIONAL APPLICATION No.
`PCT/SE2016/050009
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`ATTORNEY DOCKET No.
`4015-9595 / P45698-US2
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`17. ~ Other items or information:
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`PCT Request
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`CA LCULATIONS
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`PTO USE ONLY
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`280
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`The following fees have been submitted.
`18. 0 Basic national fee (37 CFR 1.492(a)) ···· ···· ·· ··· ·· ···· ··· ··· ······ ·········· · ·· .. $280
`19. 0 Examin ation fee (37 CFR 1.492(c))
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`If th e written opinion prepared by ISA/US or th e intern ational prelimin ary
`examination report prepared by IPEA/US indicates all claims satisfy provisions of
`PCT Article 33(1 )-(4) ........... .. .. .. ........... .... ... ... ... ... ... ... ... ... . . . .. $0
`All oth er srtuations ...... .... ············ ·· ••• ·· •·····• ···· ·· ···· ·· ·· · •·· •• ·• ·· ••• ·· .. $720
`20 . ~ Search fee (37 CFR 1.492(b))
`If th e written opinion prepared by ISA/US or th e international preliminary
`examination report prepared by IPEA/US indicates all claims satisfy provisions of
`PCT Article 33(1 )-(4) .................................. ... ............ ...... ... ... ....... $0
`Search fee (37 CFR 1.445(a)(2)) has been paid on th e intern ational application to
`th e USPTO as an International Searching Authority ....... .... ................ . $120
`Internation al Search Report prepared by an ISA oth er th an th e US and provided to
`th e Office or previously co mmunicated to th e US by th e IB .. ----· .......... $480
`All oth er situations .... .............................. ............. .... ... ... ... ... ... . ... $600
`TOTAL OF 18, 19, and 20 = S1600
`LJ Additional fee for specification an d drawings filed in paper over 100 sheets
`(excluding sequence listing in compli ance with 37 CFR 1.821 (c) or (e) in an
`electronic medium or computer program listing in an electroni c medium) (37 CFR
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`Fee for each addrtional 50 sheets of paper or fra ction th ereof .. .... . . . ... $400
`Number of each addition 50 or fraction
`th ereof (round up to a whole number)
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`Extra Sheets
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`RATE
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`Total Sheets
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`/ 50 =
`Surcharge of $140.00 for furnishing any of the search fee, examination fee, or th e oath or
`declarati on after th e date of commencement of th e national stage (37 CFR 1.492(h)).
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`720
`
`600
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`$
`
`$
`
`$
`
`$
`
`5960
`5420
`
`$
`
`x $400
`
`CLAIMS
`
`Total claims
`
`Independent claims
`
`NUMBER FILED
`- 20 =
`- 3 =
`
`32
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`'
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`NUMBER EXTRA
`
`12
`1
`
`MULTIPLE DEPENDENT CLAIM(S) (if applicable)
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`RATE
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`x $80
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`X $420
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`+ $780
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`Processing fee of $140.00 for furnishing the English tra nslation later th an 30 months from th e
`earliest claimed priority date (37 CFR 1492(i)).
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`TOTAL OF ABOVE CALCULATIONS= $ 2980
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`$
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`Applicant must attach form PTO/SB/15A or B or eq uiva lent.
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`(cid:143) Applicant asserts small entity status. See 37 CFR 1.27. Fees above are reduced by½.
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`TOTAL NATIONAL FEE= S298Q
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`to cover the above fees is enclosed.
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`NOTE: Where an appropriate time limit under 37 CFR 1.495 has not been met, a petition to revive (37 CFR 1.137(a) or (bl) must be
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`Statement under 37 CFR 1.55 or 1.78 for AIA (First Inventor to File)Transition Applications
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`any time, a claim to a claimed invention that has an effective filing date on or after March 16, 2013.
`NOTE 1: 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
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`Correspondence Address
`0 The address associated with Customer Number:
`Name I
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`24 11 2
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`OR 0 Correspondence address below
`
`Address
`
`City I
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`Country
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`Email
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`I State I
`
`I Zip Code I
`I Telephone I
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`Signature 11 Justin J. Leonard/
`~p~~~Type) !Justin J. Leonard
`
`Date I 2016-06-17
`Registration No. I 60986
`
`(Attorney/Agent)
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`Application Data Sheet 37 CFR 1.76
`Trtle of Invention I Codebook Subset Restriction Signaling
`
`Application Number
`
`Attorney Docket Number
`
`4015-9595 / P45698-US2
`
`The application data Sheet is part of the provisional or nonprovisional application for which it is being submitted. The following fonn contains the
`bibliographic data arranged in a fonnat specified by the Untted 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
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`Secrecy Order 37 CFR 5.2:
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`Inventor Information:
`Inventor h
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`Legal Name
`
`Prefix Given Name
`I I· t,ebastian
`Residence Information (Select One)
`City ~art!lha
`
`I Remove I
`
`Family Name
`Middle Name
`I
`t axer
`• Non US Residency
`II Country of Residence i
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`US Residency
`
`Active US Military Service
`1EE
`
`Mailing Address of Inventor:
`
`Address 1
`
`3arkarbyvagen 53 D
`
`Address 2
`I ~arfalla
`City
`Postal Code
`
`Inventor b
`
`Legal Name
`
`I ISE-17744
`
`I State/Province
`I ~E
`I Countryi
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`1 1
`
`I Remove I
`
`Prefix Given Name
`I I· J,.1attias
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`City
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`~ ppsala
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`Family Name
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`Middle Name
`I
`t=renne
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`I
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`I
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`Address 1
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`!IJ1<eologvagen 20
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`I ~E-75443
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`I State/Province
`I ~ E
`I Countryi
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`1 1
`
`I Remove I
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`Application Data Sheet 37 CFR 1.76
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`Attorney Docket Number
`
`4015-9595 / P45698--US2
`
`Application Number
`
`Trtle of Invention
`
`Codebook Subset Restric1ion Signaling
`
`Prefix Given Name
`I· J,imon
`I
`Residence Information (Select One)
`
`Middle Name
`I
`~armyr
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`Family Name
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`City
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`Ekarpnack
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`uftfartsgatan 8
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`I t,karpnacic
`City
`Postal Code
`Inventor ~
`Legal Name
`
`I ~ E-12834
`
`I State/Province
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`1 1
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`! undb yberg
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`<ronogArdsvagen 44
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`I t,undbyberg
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`I ISE-17462
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`unvagen 14
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`EFSWeb22.12
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`I ISE-17068
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`Application Data Sheet 37 CFR 1.76
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`Attorney D ocket Num be r
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`4015-9595 / P45698--US2
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`Application Num ber
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`Trtle of Inven tion
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`Codebook Subset Restriction Signaling
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`Email Address
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`Application lnfonnation:
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`I I Add Email I
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`Title of the Invention
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`Codebook Subset Restriction Signaling
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`I Small Entity Status Claimed
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`..
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`Attorney Docket Number 401~9595 / P45698-US2
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`PTO/AW14 (11-15)
`App,oved for use through 04/30/2017. 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 infonnation unless it contains a valid 0 MB control number.
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`Application Data Sheet 37 CFR 1.76
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`Attorney Docket Number
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`4015-9595 / P45698--US2
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`Application Number
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`Trtle of Invention
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`Codebook Subset Restric1ion Signaling
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`Please Select One:
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`• Customer Number
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`I
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`US Patent Practitioner lo Limited Recognition (37 CFR 11 .9}
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`Customer Number
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`~4112
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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 N umber" field blank.
`
`I Remove I
`Filing or 371(c) Date
`(YYYY-MM-DD)
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`~016-01-11
`I Remove I
`Filing or 371(c) Date
`(YYYY-MM-DD)
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`~015-01-14
`I Add I
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`Prior Application Status
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`J=>ending
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`Application Num ber
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`Continuity Type
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`Prior Application Number
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`3 371 of international
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`Prior Application Status Expired
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`Application Number
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`Continuity Type
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`t cT/SE2016/050009
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`t1aims benefit of provisional
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`. PCT/SE2016/050009
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`Prior Application Number
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`. 62/103101
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`Additional Domestic Benefit/National Stage Data may be generated within this form
`by selecting the Add button.
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`Foreign Priority Information:
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`This section allows for lhe applicant to claim priority to a foreign application. Providing this information in lhe application data sheet
`consti1utes the claim for priority as required by 35 U.S.C. 119(b) and 37 CFR 1.5_5. When priority is claimed to a foreign application
`that is eligible for retrieval 1.11der lhe priority document exchange program (PDX)1 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, wi1hin the time period specified in 37 CFR 1.55(g)(1 ).
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`Application Number
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`Filing Date (YYYY-MM-DD)
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`I
`Additional Foreign Priority Data may be generated within this form by selecting the
`Add button.
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`Countryi
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`I Remove I
`Access Codei (if applicable)
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`I Add
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`Statement under 37 CFR 1.55 or 1.78 for AIA (First Inventor to File) Transition
`Applications
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`EFSWeb22.12
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`PTO/AIN14 (11-15)
`Approved for use through 04/30/2017. 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 contains a valid 0MB control number.
`
`Application Data Sheet 37 CFR 1. 76
`
`Application Number
`Title of Invention I Codebook Subset Restriction Signaling
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`Attorney Docket Number
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`4015-9595 / P45698-US2
`
`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
`0 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 AIA.
`
`EFS Web 2.2.12
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`Samsung Ex. 1002
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`

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`PTO/AIN14 (11-15)
`Approved for use through 04/30/2017. 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 contains a valid 0MB control number.
`
`Application Data Sheet 37 CFR 1. 76
`
`Application Number
`Title of Invention I Codebook Subset Restriction Signaling
`
`Attorney Docket Number
`
`4015-9595 / P45698-US2
`
`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 Bin 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.
`
`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.
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`1. Authorization to Permit Access by a Foreign Intellectual Property Office(s)
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`A. Priority Document Exchange (PDX} - 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 (WIPO), 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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`2. Opt-Out of Authorizations to Permit Access by a Foreign Intellectual Property Office(s)
`
`A. Applicant DOES NOT authorize the USPTO to permit a participating foreign IP office access to the instant
`D application-as-filed. If this box is checked, the USPTO will not be providing a participating foreign IP office with
`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.
`
`EFS Web 2.2.12
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`

`PTO/AW14 (11-15)
`App,oved for use through 04/30/2017. 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 infonnation unless it contains a valid 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`4015-9595 / P45698--US2
`
`Application Number
`
`Trtle of Invention
`
`Codebook Subset Restriction Signaling
`
`Applicant Information:
`
`Providing assignment information in this section does not substitute for compliance with any requirement of part 3 of Tille 37 of CFR
`to have an assignment recorded by the Office.
`
`Applicant ~
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`If the applicant is lhe 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 olherwise shows sufficient proprietary interest in lhe 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 othe!Wise 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.
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`I Remove I
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`I Clear I
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`• Assignee
`I
`Person to whom the inventor is obligated to assign.
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`Legal Representative under 35 U.S.C. 117
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`I
`Person who shows sufficient proprietary interest
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`Joint Inventor
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`I
`If applicant is the legal representative, indicate the authority to file the patent application, the inventor is:
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`1·1
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`I
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`Name of the Deceased or Legally Incapacitated Inventor: I
`r8J
`If the Applicant is an Organization check he