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`UNITED STATES PATENT AND TRADEMARK OFFICE
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`APPLE INC.,
`Petitioner,
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`v.
`
`ALIVECOR, INC.,
`Patent Owner.
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`IPR2021-00972
`Patent 10,638,941
`
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`PETITIONER’S UPDATED EXHIBIT LIST
`
`
`
`Case IPR2021-00972
`Attorney Docket No: 50095-0034IP1
`
`
`LIST OF EXHIBITS
`
`APPLE-1001
`
`U.S. Pat. No. 10,638,941 to Albert et al. (“the ’941 patent”)
`
`APPLE-1002
`
`Excerpts from the Prosecution History of the ’941 patent (“the
`Prosecution History”)
`
`APPLE-1003
`
`Declaration of Dr. Bernard A. Chaitman
`
`APPLE-1004
`
` PCT Patent Publication WO2012/140559 (“Shmueli”)
`
`APPLE-1005
`
` U.S. Patent Publication 2014/0275840 (“Osorio”)
`
`APPLE-1006
`
` Li Q, Clifford GD, “Signal quality and data fusion for false
`alarm reduction in the intensive care unit,” J Electrocardiol.
`2012 Nov-Dec; 45(6):596-603 (“Li-2012”)
`
`APPLE-1007
`
` U.S. Patent Publication 2008/0004904 (“Tran”)
`
`APPLE-1008
`
` U.S. Patent Publication 2014/0107493 (“Yuen”)
`
`APPLE-1009
`
` U.S. Patent Publication 2015/0119725 (“Martin”)
`
`APPLE-1010
`
` U.S. Provisional Application No. 61/794,540 (“Osorio
`Provisional”)
`
`APPLE-1011
`
` Lee J, Reyes BA, McManus DD, Mathias O, Chon KH. Atrial
`fibrillation detection using a smart phone. International Journal
`of Bioelectromagnetism, Vol. 15, No. 1, pp. 26 - 29, 2013
`(“Lee-2013”)
`
`APPLE-1012
`
` Tsipouras MG, Fotiadis DI. Automatic arrhythmia detection
`based on time and time-frequency analysis of heart rate
`variability. Comput Methods Programs Biomed. 2004 May;
`74(2):95-108 (“Tsipouras 2004”)
`
`APPLE-1013
`
` Lu S, Zhao H, Ju K, Shin K, Lee M, Shelley K, Chon KH. Can
`
`1
`
`
`
`Case IPR2021-00972
`Attorney Docket No: 50095-0034IP1
`photoplethysmography variability serve as an alternative
`approach to obtain heart rate variability information? J Clin
`Monit Comput. 2008 Feb; 22(1):23-9 (“Lu 2008”)
`
`APPLE-1014
`
` Selvaraj N, Jaryal A, Santhosh J, Deepak KK, Anand S.
`Assessment of heart rate variability derived from finger-tip
`photoplethysmography as compared to electrocardiography. J
`Med Eng Technol. 2008 Nov-Dec; 32(6):479-84 (“Selvaraj
`2008”)
`
`APPLE-1015
`
` Lu G, Yang F, Taylor JA, Stein JF. A comparison of
`photoplethysmography and ECG recording to analyse heart rate
`variability in healthy subjects. J Med Eng Technol. 2009;
`33(8):634-41 (“Lu 2009”)
`
`APPLE-1016
`
` Suzuki T, Kameyama K, Tamura T. Development of the
`irregular pulse detection method in daily life using wearable
`photoplethysmographic sensor. Annu Int Conf IEEE Eng Med
`Biol Soc. 2009; 2009:6080-3 (“Suzuki 2009”)
`
`APPLE-1017
`
` Reed MJ, Robertson CE, Addison PS. Heart rate variability
`measurements and the prediction of ventricular arrhythmias.
`QJM. 2005 Feb; 98(2):87-95 (“Reed 2005”)
`
`APPLE-1018
`
` Schäfer A, Vagedes J. How accurate is pulse rate variability as
`an estimate of heart rate variability? A review on studies
`comparing photoplethysmographic technology with an
`electrocardiogram. Int J Cardiol. 2013 Jun 5; 166(1):15-29
`(“Schafer 2013”)
`
`APPLE-1019
`
` K. Douglas Wilkinson, “The Clinical Use of the
`Sphygmomanometer,” The British Medical Journal, 1189-90
`(Dec. 27, 1924) (“Wilkinson”)
`
`APPLE-1020
`
` U.S. Pat. No. 6,095,984 (“Amano”)
`
`APPLE-1021
`
` B.K. Bootsma et. al, “Analysis of R-R intervals in patients with
`atrial fibrillation at rest and during exercise.” Circulation 1970;
`41:783-794
`
`2
`
`
`
`APPLE-1022
`
`Case IPR2021-00972
`Attorney Docket No: 50095-0034IP1
` Frits L. Meijler and Fred H. M. Wittkampf, “Role of the
`Atrioventricular Node in Atrial Fibrillation” Atrial Fibrillation:
`Mechanisms and Management, 2nd ed. 1997 (“Meijler”)
`
`APPLE-1023
`
` Heart Diseases _ Definition of Heart Diseases by Merriam-
`Webster
`
`APPLE-1024
`
` Acharya UR, Joseph KP, Kannathal N, Lim CM, Suri JS. Heart
`rate variability: a review. Med Biol Eng Comput. 2006 Dec;
`44(12):1031-51 (“Acharya 2006”)
`
`APPLE-1025
`
` Saime Akdemir Akar, Sadık Kara, Fatma Latifoğlu, Vedat
`Bilgiç. Spectral analysis of photoplethysmographic signals: The
`importance of preprocessing. Biomedical Signal Processing and
`Control, 2013; 8(1):16-22 (Akar 2013)
`
`APPLE-1026
`
` U.S. Provisional Application No. 61/915,113
`
`APPLE-1027
`
` U.S. Provisional Application No. 61/953,616
`
`APPLE-1028
`
` U.S. Provisional Application No. 61/969,019
`
`APPLE-1029
`
` U.S. Provisional Application No. 61/970,551
`
`APPLE-1030
`
` U.S. Provisional Application No. 62/014516
`
`APPLE-1031
`
` U.S. Patent Publication No. 2012/0203491 (“Sun”)
`
`APPLE-1032
`
` U.S. Patent No. 9,808,206 (“Zhao”)
`
`APPLE-1033
`
` Kleiger RE, Stein PK, Bigger JT Jr. Heart rate variability:
`measurement and clinical utility. Ann Noninvasive
`Electrocardiol. 2005 Jan; 10(1):88-101 (“Kleiger 2005”)
`
`APPLE-1034
`
` Chen Z, Brown EN, Barbieri R. Characterizing nonlinear
`heartbeat dynamics within a point process framework. IEEE
`Trans Biomed Eng. 2010 Jun; 57(6):1335-47 (“Chen 2010”)
`
`3
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`
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`APPLE-1035
`
`APPLE-1036
`
`Case IPR2021-00972
`Attorney Docket No: 50095-0034IP1
` Karvonen, J., Vuorimaa, T. Heart Rate and Exercise Intensity
`During Sports Activities. Sports Medicine 5, 303–311 (1988)
`(“Karvonen 1988”)
`
` Yu C, Liu Z, McKenna T, Reisner AT, Reifman J. A method
`for automatic identification of reliable heart rates calculated
`from ECG and PPG waveforms. J Am Med Inform Assoc. 2006
`May-Jun; 13(3):309-20 (“Yu 2006”)
`
`APPLE-1037
`
` AliveCor v Apple ITC Complaint Exhibit 11 (499 Infringement
`Chart)
`
`APPLE-1038
`
` Tavassoli, M, Ebadzadeh, MM, Malek H. (2012). Classification
`of cardiac arrhythmia with respect to ECG and HRV signal by
`genetic programming. Canadian Journal on Artificial
`Intelligence, Machine Learning and Pattern Recognition. 3. 1-
`13 (“TavassoLi-2012”)
`
`APPLE-1039
`
` Asl BM, Setarehdan SK, Mohebbi M. Support vector machine-
`based arrhythmia classification using reduced features of heart
`rate variability signal. Artif Intell Med. 2008 Sep; 44(1):51-64
`(“Asl 2008”)
`
`APPLE-1040
`
` Yaghouby F., Ayatollahi A. (2009) An Arrhythmia
`Classification Method Based on Selected Features of Heart
`Rate Variability Signal and Support Vector Machine-Based
`Classifier. In: Dössel O., Schlegel W.C. (eds) World Congress
`on Medical Physics and Biomedical Engineering, September 7 -
`12, 2009, Munich, Germany. IFMBE Proceedings, vol 25/4.
`Springer, Berlin, Heidelberg (“Yaghouby 2009”)
`
`APPLE-1041
`
` Dallali, A, Kachouri, A, Samet, M. (2011). Integration of HRV,
`WT and neural networks for ECG arrhythmias classification.
`ARPN Journal of Engineering and Applied Sciences. VOL. 6.
`74-82 (“Dallali 2011”)
`
`APPLE-1042
`
` Sajda P. Machine learning for detection and diagnosis of
`disease. Annu Rev Biomed Eng. 2006; 8:537-65 (“Sajda 2006”)
`
`4
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`
`
`APPLE-1043
`
`APPLE-1044
`
`Case IPR2021-00972
`Attorney Docket No: 50095-0034IP1
` Aaron Smith. Smartphone Ownership – 2013 Update. Pew
`Research Center. June 5, 2013 (“Smith 2013”)
`
` C. Narayanaswami and M. T. Raghunath, “Application design
`for a smart watch with a high resolution display,” Digest of
`Papers. Fourth International Symposium on Wearable
`Computers, 2000, pp. 7-14 (“Narayanaswami 2000”)
`
`APPLE-1045
`
` Thong, YK, Woolfson, M, Crowe, JA, Hayes-Gill, B, Challis,
`R. (2002). Dependence of inertial measurements of distance on
`accelerometer noise, Meas. Measurement Science and
`Technology. 13. 1163 (“Thong 2002”)
`
`APPLE-1046
`
` AliveCor’s ITC Complaint filed on April 20, 2021 in “Certain
`Wearable Electronic Devices With ECG Capability and
`Components Thereof” ITC-337-3545-20210420 (“ITC
`Complaint”)
`
`
`APPLE-1047
`
` Excerpts from Marcovitch, Harvey. Black’s Medical
`Dictionary. London: A. & C. Black, 2005
`
`APPLE-1048
`
` U.S. Pat. No. 7,894,888 (“Chan”)
`
`APPLE-1049
`
` Hu YH, Palreddy S, Tompkins WJ. A patient-adaptable ECG
`beat classifier using a mixture of experts approach. IEEE
`Transactions on Bio-medical Engineering. 1997 Sep;
`44(9):891-900 (“Hu-1997”)
`
`APPLE-1050
`
` Strath SJ, Swartz AM, Bassett DR Jr, et al. Evaluation of heart
`rate as a method for assessing moderate intensity physical
`activity. Medicine and Science in Sports and Exercise. 2000
`Sep; 32(9 Suppl):S465-70 (“Strath 2000”)
`
`APPLE-1051
`
`Letter from Michael Amon re Conditional Stipulation dated
`June 4, 2021
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`APPLE-1052
`
`Declaration of Mr. Jacob Munford
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`5
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`APPLE-1053
`
`Case IPR2021-00972
`Attorney Docket No: 50095-0034IP1
` Order Staying Case Pending Institution of And/Or Final
`Determination in Parallel ITC Matter (AliveCor Inc. v. Apple
`Inc., 6:20-cv-01112-26 (W.D.Tex. May 6, 2021)
`
`APPLE-1054
`
` U.S. Provisional Application No. 61/895,995 (“Martin
`Provisional”)
`
`APPLE-1055
`
` AliveCor’s District Court Complaint filed on May 25, 2021 in
`AliveCor, Inc. v. Apple Inc., 3:21-cv-03958 (N.D.Cal. May 25,
`2021) (“Antitrust Complaint”)
`
`APPLE-1056
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` Apple’s Rebuttal Markman Brief of October 13, 2021
`
`APPLE-1057
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` Email from Jeremy Monaldo re Prior Art Narrowing dated
`November 17, 2021
`
`APPLE-1058
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` Declaration of Michael Amon
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`APPLE-1059
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` Declaration of Noah Graubart
`
`APPLE-1060
`
` U.S. Pat. No. 5,176,137 to Erickson et al. (“Erickson”)
`
`APPLE-1061
`
` U.S. Pat. No. 7,598,878 to Goldreich (“Goldreich”)
`
`APPLE-1062
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` U.S. Pat. App. Pub. No. 2005/0177051 to Almen (“Almen”)
`
`APPLE-1063
`
` U.S. Pat. App. Pub. No. 2019/0376014 to Efimov (“Efimov”)
`
`APPLE-1064
`
`
`
`International App. Pub. No. WO 2005/110238 to Goldreich
`(“Goldreich-2”)
`
`
`
`APPLE-1065
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` Yang et al., “Hardware-Mappable Cellular Neural Networks for
`Distributed Wavefront Detection in Next-Generation Cardiac
`Implant,” Adv. Intell. Syst. 2022, 2200032 (2022)
`
`APPLE-1066
`
`
`
`“Atrial fibrillation (part 1) – When the heart loses its rhythm,”
`https://www.hirslanden.com/en/international/private-hospital-
`
`6
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`
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`Case IPR2021-00972
`Attorney Docket No: 50095-0034IP1
`group/news/artikel-vorhofflimmern-i.html, accessed June 2,
`2022
`
`APPLE-1067
`
`
`
`“Holter heart monitor,”
`https://medlineplus.gov/ency/imagepages/8810.htm, accessed
`June 2, 2022
`
`APPLE-1068
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`“Holter monitor (24h),” https://www.mountsinai.org/health-
`library/tests/holter-monitor-24h, accessed June 22, 2022
`
`APPLE-1069
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`
`
`June 3, 2022 Deposition Transcript of Dr. Igor Efimov
`
`APPLE-1070
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` AliveCor’s ITC Post-Hearing Brief (CBI Redacted), dated
`April 15, 2022
`
`APPLE-1071
`
`
`
`January 31, 2022 ITC Deposition Transcript of Dr. Igor Efimov
`
`APPLE-1072
`
`
`APPLE-1073
`
`
`APPLE-1074
`
`Excerpts from Transcript of Conference in Certain Wearable
`Electronic Devices with ECG Functionality and Components
`Thereof, 337-TA-1266, dated March 31, 2022 (pages 828-1101)
`
`Excerpts from Transcript of Conference in Certain Wearable
`Electronic Devices with ECG Functionality and Components
`Thereof, 337-TA-1266, dated April 1, 2022 (pages 1102-1375)
`
` Li, Qiao, and Gari D. Clifford. "Dynamic time warping and
`machine learning for signal quality assessment of pulsatile
`signals." Physiological measurement 33.9 (2012): 1491 (“Li
`and Clifford”).
`
`APPLE-1075
`
` Schlesinger, Daphne E., and Collin M. Stultz. "Deep learning
`for cardiovascular risk stratification." Current Treatment
`Options in Cardiovascular Medicine 22.8 (2020): 1-14.
`
`APPLE-1076
`
` D’Agostino Sr, Ralph B., et al. "General cardiovascular risk
`profile for use in primary care: the Framingham Heart Study."
`Circulation 117.6 (2008): 743-753.
`
`7
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`
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`APPLE-1077
`
`Case IPR2021-00972
`Attorney Docket No: 50095-0034IP1
` Antman, Elliott M., et al. "The TIMI risk score for unstable
`angina/non–ST elevation MI: a method for prognostication and
`therapeutic decision making." Jama 284.7 (2000): 835-842.
`
`APPLE-1078
`
` Morrow, David A., et al. "Application of the TIMI risk score
`for ST-elevation MI in the National Registry of Myocardial
`Infarction 3." Jama 286.11 (2001): 1356-1359.
`
`APPLE-1079
`
` Pocock, Stuart J., et al. "Predicting survival in heart failure: a
`risk score based on 39 372 patients from 30 studies." European
`heart journal 34.19 (2013): 1404-1413.
`
`APPLE-1080
`
` Yu, Chenggang, et al. "A method for automatic identification of
`reliable heart rates calculated from ECG and PPG waveforms."
`Journal of the American Medical Informatics Association 13.3
`(2006): 309-320.
`
`APPLE-1081
`
` December 22, 2021 Collin Stultz ITC Invalidity Report
`(Redacted)
`
`APPLE-1082
`
` February 3, 2022 Deposition Transcript of Collin Stultz (ITC).
`
`APPLE-1083
`
` RDX-0003 Stultz Demonstratives (ITC)
`
`APPLE-1084
`
` APPLE’s ITC Post-Hearing Brief (CBI Redacted), dated April
`15, 2022
`
`APPLE-1085
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` Bansal, Nikhil, Avrim Blum, and Shuchi Chawla. "Correlation
`clustering." Machine learning 56.1 (2004): 89-113.
`
`APPLE-1086
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` Petitioner’s Demonstratives
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`Dated: September 12, 2022
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`Case IPR2021-00972
`Attorney Docket No: 50095-0034IP1
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`Respectfully submitted,
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`/Jeremy J. Monaldo/
`W. Karl Renner, Reg. No. 41,265
`Jeremy Monaldo, Reg. No. 58,680
`Fish & Richardson P.C.
`3200 RBC Plaza, 60 South Sixth Street
`Minneapolis, MN 55402
`T: 202-783-5070
`F: 877-769-7945
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`Attorneys for Petitioner
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`Case IPR2021-00972
`Attorney Docket No: 50095-0034IP1
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`CERTIFICATE OF SERVICE
`
`Pursuant to 37 CFR § 42.6(e)(4), the undersigned certifies that on September
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`12, 2022, a complete and entire copy of this Petitioner’s Updated Exhibit List and
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`Exhibit 1086 were provided via email, to the Patent Owner by serving the email
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`correspondence address of record as follows:
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`James M. Glass, Registration No. 46,729
`John T. McKee. Registration No. 65,926
`Quinn Emanuel Urquhart & Sullivan LLP
`51 Madison Ave, 22nd Floor New York, New York, 10010
`jimglass@quinnemanuel.com
`qe-alivecor@quinnemanuel.com
`johnmckee@quinnemanuel.com
`
`Andrew M. Holmes, Registration No. 64,718
`Sean S. Pak, Pro Hac Vice
`Quinn Emanuel Urquhart & Sullivan LLP
`50 California St, 22nd Floor San Francisco, CA 94111
`drewholmes@quinnemanuel.com
`seanpak@quinnemanuel.com
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`/Crena Pacheco/
`Crena Pacheco
`Fish & Richardson P.C.
`60 South Sixth Street, Suite 3200
`Minneapolis, MN 55402
`(617) 956-5938
`
`10
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