UNITED STATES INTERNATIONAL TRADE COMMISSION
`WASHINGTON, D.C.
`
`Before the Honorable Cameron R. Elliot
`Administrative Law Judge
`
`
`In the Matter of
`
`CERTAIN WEARABLE ELECTRONIC
`DEVICES WITH ECG
`FUNCTIONALITY AND
`COMPONENTS THEREOF
`
`
`
`
`
`
`
`
`
`
`Inv. No. 337-TA-1266
`
`
`APPLE’S NOTICE OF PRIOR ART
`
`Pursuant to the Procedural Schedule in this Investigation (Order No. 6) and Ground Rule 5
`
`(Order No. 2), Respondent Apple Inc. (“Apple”), hereby submits this Notice of Prior Art. The
`
`attached Exhibit A sets forth the prior art relevant to the patents asserted by Complainant AliveCor,
`
`Inc. in this Investigation: U.S. Patent Nos. 9,572,499; 10,595,731; 10,638,941 (collectively, “the
`
`Asserted Patents”). This includes (1) the country, number, date, and name of the patentee of any
`
`patent; (2) the title, date and page numbers of any publication to be relied upon as anticipatory of
`
`the patents-in-suit; or as showing the state of the art, (3) the name and address of any person who
`
`may be relied upon as a prior inventor or as having prior knowledge of or as having previously used
`
`or offered for sale the alleged invention of the Asserted Patents, and (4) an identification of prior art
`
`products, applications, systems, and commercial emobdiments.
`
`Apple intends to rely on the listed references, either individually or in combination, to
`
`establish the invalidity and/or unenforceability of the Asserted Patents and/or as showing the state
`
`of the art before the time of the alleged inventions of the Asserted Patents. Apple also gives notice
`
`that it may rely upon the following: (i) the art cited in Staff’s Notice of Prior Art; (ii) prior art
`
`contained within the prosecution histories of the Asserted Patents; (iii) prior art contained within the
`
`prosecution histories of the Asserted Patents or patent applications related to the Asserted Patents;
`
`AliveCor Ex. 2011 - Page 1
`
`

`

`(iv) prior art identified during the remainder of the discovery; (v) prior art identified, considered, or
`
`relied upon by the inventors of the Asserted Patents, whether or not cited in any prosecution
`
`history; and (vi) prior art cited in any of the references identified in Appendix A, including any
`
`related patents or any patent prosecution history for such patents. Each document, reference,
`
`publication, and patent listed in Appendix A includes and incorporates all references cited therein,
`
`regardless of whether or not a cited reference appears separately in Appendix A.
`
`Apple also reserves the right to rely on AliveCor employees, former employees, consultants,
`
`and/or other persons affiliated with AliveCor who may have knowledge of, or have previously used
`
`or offered for sale, the alleged inventions of the Asserted Patents and whose identities, knowledge,
`
`and whereabouts are within Complainant’s possession, custody, and control.
`
`Finally, Apple asserts defenses that, if successful, could potentially result in one or more of
`
`the asserted claims not being entitled to the priority dates asserted by AliveCor. In the event that
`
`one or more of the asserted claims is not entitled to the priority date alleged by Complainant
`
`AliveCor, Apple reserves the right to amend its Notice of Prior Art to rely on additional art.
`
`Discovery is ongoing in this investigation, and Complainant has not yet provided all of the
`
`discovery requested by Apple or supplied all of its contentions regarding certain issues, including
`
`validity. Accordingly, Apple reserves the right to supplement, amend, or otherwise modify this
`
`notice as necessary based upon Complainant’s final contentions, claim construction, further
`
`discovery and investigation, review of newly or yet-to-be produced documents, any discovery
`
`provided by third parties, and the disclosures of witnesses not yet deposed.
`
`
`
`2
`
`AliveCor Ex. 2011 - Page 2
`
`

`

`
`
`Dated: September 24, 2021
`
`
`
`Respectfully submitted,
`
`FISH & RICHARDSON P.C.
`
`By: /s/Michael Amon
`Benjamin C. Elacqua
`Fish & Richardson P.C.
`1221 McKinney Street, Suite 2800
`Hoton, TX 77010
`Telephone: (713) 654-5300
`Facsimile: (713) 652-0109
`
`Betty Chen
`Fish & Richardson P.C.
`500 Arguello Street
`Suite 500
`Redwood, CA 94063
`Telephone: (650) 839-5070
`Facsimile: (650) 839-5071
`
`Ruffin B. Cordell
`Joseph V. Colaianni Jr.
`Thomas S. Fusco
`Taylor Burgener
`Fish & Richardson P.C.
` 1000 Maine Avenue, S.W., Suite 1000
`Washington, D.C. 20024
`Telephone: (202) 783-5070
`Facsimile: (202) 783-2331
`
`Michael Amon
`Raisa Ahmad
`Fish & Richardson P.C.
`12860 El Camino Real, Suite 400
`San Diego, CA 92130
`Telephone: (858) 678-5070
`Facsimile: (858) 678-5099
`
`Katherine H. Reardon
`Fish & Richardson P.C.
`7 Times Square
`20th Floor
`New York, NY 10036
`Telephone: (212)765-5070
`Facsimile: (212) 258-2291
`
`
`
`
`AliveCor Ex. 2011 - Page 3
`
`

`

`Qiuyi Wu
`Fish & Richardson P.C.
`One Marina Park Drive
`Boston, MA 02210
`Telephone: (617) 542-5070
`
`Counsel for Respondent Apple Inc.
`
`
`
`4
`
`
`
`
`
`
`AliveCor Ex. 2011 - Page 4
`
`

`

`
`
`
`
`
`EXHIBIT A
`EXHIBIT A
`
`
`
`5
`
`AliveCor Ex. 2011 - Page 5
`
`

`

`I.
`
`UNITED STATES PATENT NOS. 9,572,499; 10,595,731; 10,638,941
`
`Patents, Patent Applications and Patent Publications1
`
`Issuing
`Country
`
`Number
`
`Filing Date
`
`Issue/Publication
`Date
`
`First Named
`Inventor
`
`United States
`
`4,802,486
`
`June 7, 1985
`
`Feb. 7, 1989
`
`Goodman et al.
`
`United States
`
`7,187,965
`
`May 29, 2002 Mar. 6, 2007
`
`Bischoff et al.
`
`United States
`
`7,460,899
`
`Feb. 25, 2005 Dec. 2, 2008
`
`Almen
`
`United States
`
`7,974,689
`
`Dec. 17, 2007
`
`Jul. 5, 2011
`
`Volpe et al.
`
`United States
`
`8,478,418
`
`Apr. 13, 2012
`
`Jul. 2, 2013
`
`United States
`
`2008/0004904
`
`Aug. 30, 2006
`
`Jan. 3, 2008
`
`Fahey
`
`Tran
`
`United States
`
`2009/0234410
`
`Mar. 11, 2009
`
`Sept. 17, 2009
`
`Libbus et al.
`
`United States
`
`2011/0245633
`
`Mar. 4, 2011
`
`Oct. 6, 2011
`
`Goldberg et al.
`
`United States
`
`2011/0270048
`
`Apr. 30, 2010 Nov. 3, 2011
`
`Addison et al.
`
`United States
`
`2012/0232416
`
`Mar. 11, 2011
`
`Sept. 13, 2012
`
`Gilham et al.
`
`United States
`
`2013/0030259
`
`Dec. 22, 2010
`
`Jan. 31, 2013
`
`Thomsen et al.
`
`United States
`
`2004/0034284
`
`Apr. 10, 2003
`
`Feb. 19, 2004
`
`Aversano et al.
`
`United States
`
`2005/0137489
`
`Dec. 3, 2004
`
`Jun. 23, 2005
`
`Jackson et al.
`
`United States
`
`2005/0240087
`
`Nov. 18, 2004 Oct. 27, 2005
`
`Keenan et al.
`
`United States
`
`200/50240114
`
`Apr. 22, 2004 Oct. 27, 2005
`
`Elliott
`
`United States
`
`2006/0074332
`
`Nov. 22, 2005 Apr. 6, 2006
`
`Bischoff et al.
`
`United States
`
`2006/0095083
`
`Oct. 28, 2004 May 4, 2006
`
`Zhang et al.
`
`United States
`
`2006/0178588
`
`Dec. 22, 2005 Aug. 10, 2006
`
`Brody
`
`United States
`
`2006/0287594
`
`Jun. 16, 2006 Dec. 21, 2006
`
`Boese et al.
`
`
`1 For the avoidance of doubt (where not separately identified), reference to a granted patent by
`patent number also refers to the corresponding publication numbers and provisional application
`numbers and vice versa.
`
`AliveCor Ex. 2011 - Page 6
`
`

`

`Issuing
`Country
`
`Number
`
`Filing Date
`
`Issue/Publication
`Date
`
`First Named
`Inventor
`
`United States
`
`2007/0219059
`
`Mar. 19, 2007
`
`Sept. 20, 2007
`
`Schwartz et al.
`
`United States
`
`2008/0249382
`
`Apr. 4, 2008
`
`Oct. 9, 2008
`
`Oh et al.
`
`United States
`
`2008/0287751
`
`Oct. 29, 2007 Nov. 20, 2008
`
`Stivoric et al.
`
`United States
`
`2009/0105602
`
`Feb. 11, 2005 Apr. 23, 2009
`
`Gehman et al.
`
`United States
`
`2009/0234410
`
`Mar. 11, 2009
`
`Sept. 17, 2009
`
`Libbus et al.
`
`United States
`
`2010/0049070
`
`Aug. 18, 2009
`
`Feb. 25, 2010
`
`Kao et al.
`
`United States
`
`2010/0130875
`
`Jun. 18, 2009 May 27, 2010
`
`Banet et al.
`
`United States
`
`2010/0274144
`
`Mar. 18, 2010 Oct. 28, 2010
`
`Hu et al.
`
`United States
`
`2010/0280402
`
`Apr. 27, 2010 Nov. 4, 2010
`
`Dunbar et al.
`
`United States
`
`2010/0298650
`
`May 20, 2009 Nov. 25, 2010
`
`Moon et al.
`
`United States
`
`2011/0054277
`
`May 4, 2009
`
`Mar. 3, 2011
`
`Pinter et al.
`
`Sept. 14, 2009 Mar. 17, 2011
`
`Banet et al.
`
`United States
`
`2011/0066037
`
`United States
`
`2011/0112416
`
`Nov. 10, 2009 May 12, 2011
`
`Myr
`
`United States
`
`2011/0245633
`
`Mar. 4, 2011
`
`Oct. 6, 2011
`
`Goldberg et al.
`
`United States
`
`2011/0270048
`
`Apr. 30, 2010 Nov. 3, 2011
`
`Addison et al.
`
`United States
`
`2011/0301435
`
`Jun. 8, 2010
`
`Dec. 8, 2011
`
`Albert et al.
`
`United States
`
`2012/0123232
`
`Feb. 1, 2012
`
`May 17, 2012
`
`Najarian et al.
`
`United States
`
`2012/0203491
`
`Feb. 3, 2011
`
`Aug. 9, 2012
`
`Sun et al.
`
`United States
`
`2012/0232416
`
`Mar. 11, 2011
`
`Sept. 13, 2012
`
`Gilham et al.
`
`United States
`
`2013/0030259
`
`Oct. 18, 2012
`
`Jan. 31, 2013
`
`Thomsen et al.
`
`United States
`
`2013/0307685
`
`May 2, 2013
`
`Nov. 21, 2013
`
`Sholder
`
`United States
`
`2013/0310658
`
`Apr. 26, 2013 Nov. 21, 2013
`
`Ricks et al.
`
`United States
`
`2013/0338518
`
`Jul. 12, 2012
`
`Dec. 19, 2013
`
`Zoica
`
`
`
`7
`
`AliveCor Ex. 2011 - Page 7
`
`

`

`Issuing
`Country
`
`Number
`
`Filing Date
`
`Issue/Publication
`Date
`
`First Named
`Inventor
`
`United States
`
`2014/0031662
`
`Jul. 26, 2012
`
`Jan. 30, 2014
`
`Chou
`
`United States
`
`2014/0073486
`
`Sept. 4, 2013 Mar. 13, 2014
`
`Ahmed et al.
`
`United States
`
`2014/0100432
`
`Mar. 15, 2013 Apr. 10, 2014
`
`Golda et al.
`
`United States
`
`2014/0107493
`
`Jun. 24, 2013
`
`Apr. 17, 2014
`
`Yuen et al.
`
`United States
`
`2014/0135631
`
`Jan. 13, 2014 May 15, 2014
`
`Brumback et al.
`
`United States
`
`2014/0180144
`
`Jan. 6, 2014
`
`Jun. 26, 2014
`
`Chen et al.
`
`United States
`
`2014/0200469
`
`Jan. 16, 2013
`
`Jul. 17, 2014
`
`Bocko et al.
`
`United States
`
`2014/0228649
`
`Nov. 12, 2013 Aug. 14, 2014
`
`Rayner etal.
`
`United States
`
`2014/0275840
`
`Mar. 13, 2014
`
`Sept. 18, 2014
`
`Osorio
`
`United States
`
`2014/0275886
`
`Mar. 14, 2013
`
`Sept. 18, 2014
`
`Teixeira
`
`United States
`
`2014/0288449
`
`Aug. 27, 2013
`
`Sept. 25, 2014
`
`Wegerif
`
`Libbus et al.
`
`United States
`
`2014/0330091
`
`May 6, 2014
`
`Nov. 6, 2014
`
`United States
`
`2015/0057512
`
`Aug. 18, 2014
`
`Feb. 26, 2015
`
`Kapoor
`
`United States
`
`2015/0094545
`
`Sept. 26, 2014 Apr. 2, 2015
`
`Russell et al.
`
`United States
`
`2015/0119725
`
`May 15, 2014 Apr. 30, 2015
`
`Martin et al.
`
`United States
`
`2015/0201859
`
`Dec. 3, 2014
`
`Jul. 23, 2015
`
`Baker et al.
`
`United States
`
`2016/0143592
`
`Nov. 17, 2015 May 26, 2016
`
`Martikka et al.
`
`United States
`
`2017/0000422
`
`Aug. 24, 2016
`
`Jan. 5, 2017
`
`Moturu et al.
`
`United States
`
`2017/0023914
`
`Oct. 10, 2016
`
`Jan. 26, 2017
`
`Nichol
`
`United States
`
`2017/0238875
`
`Aug. 6, 2015
`
`Aug. 24, 2017
`
`Olivier et al.
`
`United States
`
`2018/0092551
`
`Nov. 30, 2017 Apr. 5, 2018
`
`Yuen et al.
`
`United States
`
`2020/0268249
`
`Apr. 23, 2020 Aug. 27, 2020
`
`Muhsin et al.
`
`United States
`
`2020/0275842
`
`May 15, 2020
`
`Sept. 3, 2020
`
`Martin et al.
`
`
`
`8
`
`AliveCor Ex. 2011 - Page 8
`
`

`

`Issuing
`Country
`
`Number
`
`Filing Date
`
`Issue/Publication
`Date
`
`First Named
`Inventor
`
`United States
`
`2020/0359914
`
`Aug. 3, 2020
`
`Nov. 19, 2020
`
`Zuckerman-Stark
`et al.
`
`United States
`
`2020/0383589
`
`Aug. 24, 2020 Dec. 10, 2020
`
`Garudadri
`
`United States
`
`4,802,486
`
`Jun. 7, 1985
`
`Feb. 7, 1989
`
`Goodman et al.
`
`United States
`
`4,938,228
`
`Feb. 15, 1989
`
`Jul. 3, 1990
`
`Righter et al.
`
`United States
`
`5,738,104
`
`Nov. 8, 1995
`
`Apr. 14, 1998
`
`Lo et al.
`
`United States
`
`6,047,203
`
`Mar. 17, 1998 Apr. 4, 2000
`
`Sackner et al.
`
`United States
`
`6,095,984
`
`Apr. 17, 1997 Aug. 1, 2000
`
`Amano et al.
`
`United States
`
`6,160,478
`
`Oct. 27, 1998 Dec. 12, 2000
`
`Jacobsen et al.
`
`United States
`
`6,546,232
`
`Feb. 5, 1998
`
`Apr. 8, 2003
`
`Sack et al.
`
`United States
`
`6,801,802
`
`Jun. 29, 2001 Oct. 5, 2004
`
`Sitzman et al.
`
`Jun. 5, 2002
`
`Mar. 22, 2005
`
`Korzinov et al.
`
`United States
`
`6,871,089
`
`United States
`
`7,187,965
`
`May 29, 2002 Mar. 6, 2007
`
`Bischoff et al.
`
`United States
`
`7,218,966
`
`Mar. 19, 2004 May 15, 2007
`
`Haefner
`
`United States
`
`7,302,294
`
`Apr. 2, 2004
`
`Nov. 27, 2007
`
`Kamath et al.
`
`United States
`
`7,460,899
`
`Feb. 25, 2005 Dec. 2, 2008
`
`Almen
`
`United States
`
`7,620,441
`
`Jun. 16, 2006 Nov. 17, 2009
`
`Boese et al.
`
`United States
`
`7,794,406
`
`May 17, 2007
`
`Sept. 14, 2010
`
`Reisfeld et al.
`
`United States
`
`7,894,888
`
`Sept. 24, 2008 Feb. 22, 2011
`
`Chan et al.
`
`United States
`
`7,945,316
`
`Dec. 19, 2005 May 17, 2011
`
`Giftakis et al.
`
`United States
`
`7,974,689
`
`Dec. 17, 2007
`
`Jul. 5, 2011
`
`Volpe et al.
`
`United States
`
`8,428,698
`
`May 29, 2009 Apr. 23, 2013
`
`Keel et al.
`
`United States
`
`8,478,389
`
`Apr. 22, 2011
`
`Jul. 2, 2013
`
`Brockway et al.
`
`
`
`9
`
`AliveCor Ex. 2011 - Page 9
`
`

`

`Issuing
`Country
`
`Number
`
`Filing Date
`
`Issue/Publication
`Date
`
`First Named
`Inventor
`
`United States
`
`8,478,418
`
`Apr. 13, 2012
`
`Jul. 2, 2013
`
`Fahey
`
`United States
`
`8,672,852
`
`Dec. 13, 2002 Mar. 18, 2014
`
`Gavish
`
`United States
`
`8,718,752
`
`Mar. 11, 2009 May 6, 2014
`
`Libbus et al.
`
`United States
`
`8,718,753
`
`Oct. 12, 2011 May 6, 2014
`
`Chon et al.
`
`United States
`
`8,747,336
`
`Mar. 9, 2013
`
`Jun. 10, 2014
`
`Tran
`
`United States
`
`8,755,868
`
`Sept. 14, 2010
`
`Jun. 17, 2014
`
`Yazicioglu
`
`United States
`
`8,855,757
`
`Dec. 14, 2012 Oct. 7, 2014
`
`Kapoor
`
`United States
`
`8,862,215
`
`Jan. 16, 2013 Oct. 14, 2014
`
`Puolakanaho et al.
`
`United States
`
`8,929,981
`
`Dec. 6, 2012
`
`Jan. 6, 2015
`
`Perschbacher et al.
`
`United States
`
`8,945,017
`
`Jun. 3, 2014
`
`Feb. 3, 2015
`
`Venkatraman et al.
`
`United States
`
`8,998,815
`
`Jun. 3, 2014
`
`Apr. 7, 2015
`
`Venkatraman et al.
`
`United States
`
`9,049,998
`
`Jan. 13, 2014
`
`Jun. 9, 2015
`
`Brumback et al.
`
`United States
`
`9,107,571
`
`Apr. 24, 2013 Aug. 18, 2015
`
`Strauss et al.
`
`United States
`
`9,149,192
`
`May 26, 2006 Oct. 6, 2015
`
`Banet et al.
`
`United States
`
`9,179,852
`
`Mar. 12, 2007 Nov. 10, 2015
`
`Audet et al.
`
`United States
`
`9,211,073
`
`Feb. 19, 2014 Dec. 15, 2015
`
`Banet et al.
`
`United States
`
`9,237,859
`
`Feb. 9, 2015
`
`Jan. 19, 2016
`
`Manera
`
`United States
`
`9,314,178
`
`Mar. 13, 2014 Apr. 19, 2016
`
`Katra et al.
`
`United States
`
`9,339,193
`
`May 21, 2012 May 17, 2016
`
`Cilibrasi et al.
`
`United States
`
`9,430,615
`
`Jun. 28, 2013
`
`Aug. 30, 2016
`
`Michaelis et al.
`
`United States
`
`9,629,562
`
`Apr. 16, 2016 Apr. 25, 2017
`
`Brady et al.
`
`United States
`
`9,649,042
`
`Aug. 12, 2013 May 16, 2017
`
`Albert et al.
`
`United States
`
`9,713,428
`
`Jan. 20, 2012
`
`Jul. 25, 2017
`
`Chon et al.
`
`
`
`10
`
`AliveCor Ex. 2011 - Page 10
`
`

`

`Issuing
`Country
`
`Number
`
`Filing Date
`
`Issue/Publication
`Date
`
`First Named
`Inventor
`
`United States
`
`9,713,428
`
`Jan. 20, 2012
`
`Jul. 25, 2017
`
`Chon et al.
`
`United States
`
`9,770,176
`
`Sept. 4, 2012
`
`Sept. 26, 2017
`
`Presura et al.
`
`United States
`
`9,808,206
`
`May 30, 2014 Nov. 7, 2017
`
`Zhao et al.
`
`United States
`
`9,820,680
`
`May 15, 2012 Nov. 21, 2017
`
`Muzet
`
`United States
`
`9,949,691
`
`Nov. 21, 2014 Apr. 24, 2018
`
`Huppert et al.
`
`United States
`
`9,980,678
`
`Apr. 11, 2016 May 29, 2018
`
`Chan et al.
`
`United States
`
`10,055,549
`
`Oct. 10, 2013 Aug. 21, 2018
`
`Chung et al.
`
`United States
`
`10,078,734
`
`Sept. 30, 2015
`
`Sept. 18, 2018
`
`Wisbey et al.
`
`United States
`
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`

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`
`AliveCor Ex. 2011 - Page 18
`
`

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