`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`
`
`Bank of America, N.A.
`Petitioner,
`
`v.
`
`Nant Holdings IP, LLC
`Patent Owner.
`
`
`
`Case No. IPR2021-01080
`U.S. Patent No. 8,463,030
`
`
`
`PETITION FOR INTER PARTES REVIEW OF CLAIMS 1–4, 6–7, 19, 21, 25–
`26, 29–32, and 36–37 OF U.S. PATENT NO. 8,463,030
`
`
`
`
`
`
`
`

`

`TABLE OF CONTENTS
`Table of Contents ...................................................................................................... ii
`Table of Abbreviations and Conventions .................................................................. v
`Exhibit List ............................................................................................................. viii
`I.
`Introduction ...................................................................................................... 1
`II.
`Requirements for Inter Partes Review ............................................................ 6
`A. Grounds for Standing ............................................................................ 7
`B.
`Identification of Challenge .................................................................... 7
`III. The ’030 Patent and the State of the Art ......................................................... 7
`A. Overview of the ’030 Patent .................................................................. 7
`B.
`The Earliest Effective Filing Date of the ’030 Patent .........................12
`C.
`Overview of the Prior Art ....................................................................12
`1. Ogasawara and Bolle Are Prior Art.............................................12
`2. Ogasawara....................................................................................13
`3. Bolle .............................................................................................19
`Level of Ordinary Skill in the Art .......................................................21
`A Person of Ordinary Skill in the Art Would Have Been Motivated to
`Combine Ogasawara and Bolle ...........................................................22
`IV. Claim Construction ........................................................................................28
`V. Detailed Discussion of the Grounds for Unpatentability ..............................29
`A. Ground 1: Claims 1–4, 6–7, 19, 21, 25–26, 29–32, and 36–37 Would
`Have Been Obvious over Ogasawara and Bolle. ................................29
`1. Claim 1.........................................................................................29
`a. Preamble: “A transaction system comprising:” ...................29
`b.
`“a mobile device configured to acquire data related to an
`object” ..................................................................................30
`“an object identification platform configured to obtain the
`acquired data,” .....................................................................31
`“recognize the object as a target object based on the
`acquired data, and” ..............................................................32
`“determine object information associated with the target
`object; and” ..........................................................................38
`ii
`
`D.
`E.
`
`c.
`
`d.
`
`e.
`
`
`
`

`

`f.
`
`g.
`
`“a content platform configured to obtain the object
`information, and” .................................................................41
`“initiate a transaction associated with the target object with a
`selected account over a network based on the object
`information.” ........................................................................42
`2. Claim 2.........................................................................................43
`3. Claim 3.........................................................................................44
`4. Claim 4.........................................................................................47
`5. Claim 6.........................................................................................48
`6. Claim 7.........................................................................................49
`7. Claim 19.......................................................................................51
`8. Claim 21.......................................................................................52
`9. Claim 25.......................................................................................52
`10. Claim 26.......................................................................................53
`11. Claim 29.......................................................................................54
`12. Claim 30.......................................................................................54
`13. Claim 31.......................................................................................55
`14. Claim 32.......................................................................................55
`15. Claim 36.......................................................................................57
`16. Claim 37.......................................................................................57
`Ground 2: Claims 1–4, 6–7, 19, 21, 25–26, 29–32, and 36–37 Are
`Anticipated by Ogasawara under Patent Owner’s Interpretation of the
`Claims ..................................................................................................58
`Secondary Considerations ...................................................................59
`C.
`VI. The NHK/Fintiv Factors Strongly Favor Institution ......................................59
`A.
`Factor 4 ................................................................................................60
`B.
`Factors 2 and 3 ....................................................................................61
`C.
`Factor 1 ................................................................................................63
`D.
`Factor 5 ................................................................................................64
`E.
`Factor 6 ................................................................................................64
`VII. Mandatory Notices.........................................................................................65
`A.
`Real Parties-in-Interest ........................................................................65
`iii
`
`B.
`
`
`
`

`

`B.
`Related Proceedings ............................................................................66
`Lead and Backup counsel ....................................................................66
`C.
`Electronic Service ................................................................................67
`D.
`VIII. Conclusion .....................................................................................................67
`
`
`
`iv
`
`

`

`TABLE OF ABBREVIATIONS AND CONVENTIONS
`
`Bank of America
`or Petitioner
`Board
`Bolle
`
`IPR
`NantWorks or
`Patent Owner
`Ogasawara
`
`POSITA
`
`the ’030 patent
`
`
`
`
`xx:yy-zz
`
`
`
`
`
`
`
`
`
`Bank of America, N.A.
`
`Patent Trial and Appeal Board
`Ex. 1006: U.S. Patent No. 5,546,475, titled “Produce
`Recognition System” to Rudolf M. Bolle, et al.
`inter partes review
`Nant Holdings IP, LLC
`
`Ex. 1005: U.S. Patent No. 6,512,919, titled “Electronic
`Shopping System Utilizing a Program Downloadable
`Wireless Videophone” to Nobuo Ogasawara
`person of ordinary skill in the art
`
`Ex. 1001: U.S. Patent No. 8,463,030
`
`
`
`
`column xx, lines yy to zz
`
`
`
`
`
`
`v
`
`

`

`TABLE OF AUTHORITIES
`
` Page(s)
`
`Cases
`Alloc, Inc. v. Int’l Trade Comm’n,
`342 F.3d 1361 (Fed. Cir. 2003) .......................................................................... 45
`Ancora Technologies, Inc v. TCT Mobile (US), Inc., et al.,
`Case No. 8:19-cv-02192-GW(ADSx), Doc. 65 (C.D. Cal. Nov. 12,
`2020) ................................................................................................................... 84
`Apple Inc. v. Fintiv, Inc.,
`IPR2020-00019, Paper 11 (Mar. 20, 2020) .................................................passim
`Apple, Inc. v. SEVEN Networks, LLC,
`IPR2020-00156, Paper 10 (P.T.A.B. June 15, 2020) ............................. 80, 85, 86
`BlackBerry Limited v. Facebook, Inc. et al.,
`Case No. 2:18-cv-01844-GW(KSx), Doc. 652 (C.D. Cal. Feb 13,
`2020) ................................................................................................................... 84
`Honeywell Int’l, Inc. v. ITT Indus., Inc.,
`452 F.3d 1312 (Fed. Cir. 2006) .......................................................................... 44
`LizardTech, Inc. v. Earth Resource Mapping, Inc.,
`424 F.3d 1336 (Fed. Cir. 2005) .......................................................................... 47
`Microsoft Corp. v. Multi-Tech Sys., Inc.,
`357 F.3d 1340 (Fed. Cir. 2004) .......................................................................... 43
`Nantworks, LLC and Nant Holdings IP, LLC v. Bank of America
`Corporation and Bank of America, N.A.,
`2-20-cv-07872 (C.D. Cal.) .................................................................................. 87
`Openwave Systems, Inc. v. Apple Inc.,
`808 F.3d 509 (Fed. Cir. 2015) ...................................................................... 47, 81
`Sotera Wireless, Inc.,
`IPR2020-01019, Paper 12, 17 (P.T.A.B Dec. 1, 2020) ................................ 82, 83
`
`
`
`vi
`
`

`

`Statutes
`35 U.S.C. § 102 .................................................................................................passim
`35 U.S.C. § 103 .............................................................................................. 8, 16, 80
`35 U.S.C. § 315(a)(1) ................................................................................................. 8
`35 U.S.C. § 315(b) ..................................................................................................... 8
`35 U.S.C. § 315(e)(1) ................................................................................................. 8
`Other Authorities
`37 C.F.R. § 42.6(e) ..................................................................................................... 1
`37 C.F.R. § 42.15 ....................................................................................................... 8
`37 C.F.R. § 42.22 ....................................................................................................... 8
`37 C.F.R. § 42.24(a)(1) .............................................................................................. 1
`37 C.F.R. § 42.24(a)(1)(i) .......................................................................................... 1
`37 C.F.R. § 42.73(d)(1) .............................................................................................. 8
`37 C.F.R. § 42.101 ..................................................................................................... 8
`37 C.F.R. § 42.102 ..................................................................................................... 8
`37 C.F.R. § 42.104 ..................................................................................................... 8
`37 C.F.R. § 42.104(a) ................................................................................................. 8
`37 C.F.R. § 42.104(b) ................................................................................................ 8
`37 C.F.R. § 42.105 ..................................................................................................... 8
`37 C.F.R. § 42.105(a) ................................................................................................. 1
`37 C.F.R. §42.106 ...................................................................................................... 8
`
`
`
`vii
`
`

`

`EXHIBIT LIST1
`
`1001 U.S. Patent No. 8,463,030, titled “Image Capture and Identification
`System and Process” to Wayne C Boncyk, et al.
`File history of U.S. Patent No. 8,463,030
`1002
`1003 Declaration of Jeffrey Rodriguez, Ph.D.
`1004 Curriculum vitae of Jeffrey Rodriguez, Ph.D.
`1005 U.S. Patent No. 6,512,919, titled “Electronic Shopping System Utilizing
`a Program Downloadable Wireless Videophone” to Nobuo Ogasawara
`1006 U.S. Patent No. 5,546,475, titled “Produce Recognition System” to
`Rudolf M. Bolle, et al.
`L. O’Gorman and R. Kasturi, Document Image Analysis, IEEE Computer
`Society Executive Briefing (IEEE Computer Society Press, 1997)
`Provisional Application No. 60/246,295
`Joint Claim Construction and Prehearing Statement, NantWorks, LLC
`and Nant Holdings IP, LLC v. Bank of America Corporation and Bank of
`America, N.A., 2:20-CV-7872-GW-PVC (C.D. Cal. June 10, 2021), ECF
`No. 103.
`Plaintiffs NantWorks, LLC and Nant Holdings IP, LLC Preliminary
`Infringement Contentions, NantWorks, LLC and Nant Holdings IP, LLC
`
`1 Citation convention: Where an exhibit contains original page numbering that
`
`1007
`
`1008
`1009
`
`1010
`
`uniquely identifies each page in the exhibit, this petition uses the original page num-
`
`bers to refer to the pages in the exhibit; where an exhibit contains original page num-
`
`bering that does not clearly and uniquely identify each page in the exhibit (such as
`
`in the ʼ030 patent’s file history (Ex.1002)), or does not contain any page numbering,
`
`the unique page numbering added to the bottom of the exhibit will be used.
`
`
`
`viii
`
`

`

`1011
`
`1014
`
`v. Bank of America Corporation and Bank of America, N.A., 2:20-CV-
`7872-GW-PVC (C.D. Cal. March 4, 2021)
`Stipulation Regarding Asserted Prior Art, NantWorks, LLC and Nant
`Holdings IP, LLC v. Bank of America Corporation and Bank of America,
`N.A., 2:20-CV-7872-GW-PVC (C.D. Cal. June 15, 2021), ECF No. 104.
`1012 Defendants’ Preliminary Invalidity Contentions, NantWorks, LLC and
`Nant Holdings IP, LLC v. Bank of America Corporation and Bank of
`America, N.A., 2:20-CV-7872-GW-PVC (C.D. Cal. April 8, 2021)
`1013 Complaint For Patent Infringement, NantWorks, LLC and Nant Holdings
`IP, LLC v. Bank of America Corporation and Bank of America, N.A.,
`2:20-CV-7872-GW-PVC (C.D. Cal. August 27, 2020), ECF No. 1
`First Amended Complaint For Patent Infringement, NantWorks, LLC and
`Nant Holdings IP, LLC v. Bank of America Corporation and Bank of
`America, N.A., 2:20-CV-7872-GW-PVC (C.D. Cal. Nov. 11, 2020), ECF
`No. 40
`1015 Defendants Bank of America Corporation and Bank of America, N.A.’s
`Answer to First Amended Complaint, Affirmative Defenses, and
`Counterclaims, NantWorks, LLC and Nant Holdings IP, LLC v. Bank of
`America Corporation and Bank of America, N.A., 2:20-CV-7872-GW-
`PVC (C.D. Cal. Nov. 11, 2020), ECF No. 99
`1016 Civil Minutes (Scheduling Order), NantWorks, LLC and Nant Holdings
`IP, LLC v. Bank of America Corporation and Bank of America, N.A.,
`2:20-CV-7872-GW-PVC (C.D. Cal. Nov. 11, 2020), ECF No. 91
`Plaintiffs NantWorks, LLC and Nant Holdings IP, LLC Preliminary
`Election of Asserted Claims, NantWorks, LLC and Nant Holdings IP,
`LLC v. Bank of America Corporation and Bank of America, N.A., 2:20-
`CV-7872-GW-PVC (C.D. Cal. May 11, 2021)
`1018 Defendants’ Preliminary Election of Asserted Prior Art, NantWorks, LLC
`and Nant Holdings IP, LLC v. Bank of America Corporation and Bank of
`America, N.A., 2:20-CV-7872-GW-PVC (C.D. Cal. May 27, 2021)
`1019 Declaration of Silvia Hall-Ellis, Ph.D. and accompanying Attachments
`1a–1f and 2.
`
`1017
`
`
`
`ix
`
`

`

`1020
`
`1021
`
`Ancora Technologies, Inc v. TCT Mobile (US), Inc., et al., Case No. 8:19-
`cv-02192-GW(ADSx), ECF No. 65 (C.D. Cal. Nov. 12, 2020)
`BlackBerry Limited v. Facebook, Inc. et al., Case No. 2:18-cv-01844-
`GW(KSx), ECF No. 652 (C.D. Cal. Feb 13, 2020)
`1022 U.S. Patent No. 6,947,571, entitled “Cell Phones With Optical
`Capabilities, and Related Applications” to Geoffrey B. Rhoads, et al.
`
`
`
`
`
`
`
`
`
`
`
`
`x
`
`

`

`Petitioner Bank of America, N.A respectfully requests inter partes review of
`
`claims 1–4, 6–7, 19, 21, 25–26, 29–32, and 36–37 of U.S. Patent No. 8,463,030 (the
`
`’030 patent).
`
`I.
`
`Introduction
`The ’030 patent, claiming a priority date of November 6, 2000, is directed to
`
`a specific way of identifying objects captured in digital images. The patent acknowl-
`
`edges that it was known to use symbols, such as a barcode or other identifier, to
`
`modify an object so that when the object was later captured in an image, the symbol
`
`could be used to identify the object. To obtain the ’030 patent, Patent Owner thus
`
`claimed a particular way of identifying objects in an image―using the visual ap-
`
`pearance of the objects in the image rather than having to add barcodes or other
`
`symbols to the object:
`
`Therefore the present invention provides technology and
`processes that can accommodate linking objects and image
`to information via a network such as the Internet, which
`requires no modification to the linked object. Traditional
`methods for linking objects to digital information, includ-
`ing applying a barcode, radio or optical transceiver or
`transmitter, or some other means of identification to the
`object, or modifying the data or object so as to encode
`detectable information in it, are not required, because the
`data or object can be identified solely by its visual ap-
`pearance…
`
`
`
`

`

`Ex.1001, 3:24–46 (emphases added).
`The ’030 patent describes specific steps to accomplish this. First, a mobile
`
`device acquires data related to an object. Id., 5:22–26, 24:10–12. For example, a
`
`user can take a picture of a DVD using a mobile phone. Id., 22:29–38. Second, the
`
`acquired data is transmitted to a computing platform, which could reside on the mo-
`
`bile device or a server or both (i.e., an “object identification platform”). Id., 4:6–14,
`
`13:17–20, 13:54–14:3, 22:29–38, 24:13–16. Third, the platform “recognize[s] the
`
`object as a target object based on the acquired data.” Id., 24:13–15. To do so, the
`
`platform matches the acquired data to data of objects stored in a database. Id., 3:17–
`
`23, 5:7–12, 11:15–28, 12:63–13:7, 14:40–46, 14:64–15:1, 15:49–52, 22:36–40,
`
`24:13–15. For example, the DVD is identified by matching the captured image of
`
`the DVD to other DVD images in a database. Ex.1003, ¶¶42–43. Fourth, the plat-
`
`form then “determine[s] object information associated with the target object.”
`
`Ex.1001, 24:13–16. The patent explains that the platform searches a database to find
`
`information pertaining to the target object, such as Internet content about the specific
`
`DVD. Id., 3:67–4:5, 20:15–40, 22:36–40, 24:13–16. Fifth, a server (i.e., a content
`
`platform) sends the information corresponding to the target object (e.g., content
`
`about the specific DVD) to the mobile device to initiate a transaction associated with
`
`the target object (e.g., to purchase the DVD) with the user’s selected account, such
`
`as a credit or checking account. Id., 20:48–21:8, 21:27–22:43, 24:17–20.
`
`
`
`2
`
`

`

`However, these steps were well-known by November 6, 2000. Almost two
`
`years before, U.S. Patent No. 6,512,919 to Nobuo Ogasawara (“Ogasawara”), dis-
`
`closed the same technique of identifying images using only the appearance of the
`
`objects in the image, without adding barcodes or symbols:
`
`Advanced pattern recognition software is able to enhance
`the performance of the wireless videophone, in accord
`with the invention, by offering the capability to capture
`merchandise information from items that are not identi-
`fied by either a bar code or an alpha-numeric label. Ad-
`vanced pattern recognition software allows a consumer to
`capture a video-graphic image of an apple, for example,
`and to have the apple be recognized as such by the pattern
`recognition software.
`
`Ex.1005, Cover, 23:12–20 (emphasis added). Like the ’030 patent, Ogasawara dis-
`
`closes specific steps to accomplish this. First, a mobile device acquires data related
`
`to an object. Ogasawara explains that a shopper in a grocery store can take a picture
`
`of an item such as an apple using a wireless videophone. Id., Abstract, 15:63–16:1,
`
`23:12–32. Second, the acquired data is transmitted to a computing platform—resid-
`
`ing on the wireless videophone or a server operated by the grocery store or both. Id.,
`
`3:13–17, 7:34–40, 16:7–13, 18:11–58, 19:46–54, 21:1–26, 22:40–23:4, 23:12–32.
`
`Third, the platform recognizes the object as a target object based on the acquired
`
`
`
`3
`
`

`

`data, as disclosed in the ’030 patent. Ogasawara describes how the wireless video-
`
`phone and/or server can identify the object captured in the image (such as the apple)
`
`as a target object by matching the acquired data to object image data of target objects
`
`(other items in the grocery store) in a database. Id., 6:45–49, 18:11–58, 20:55–21:8,
`
`22:40–23:4, 23:12–32. Fourth, the platform then determines object information as-
`
`sociated with the target object. Ogasawara explains that the server, for example,
`
`searches a database to find information pertaining to the target object, such as a
`
`product code associated with item description and price of the apple. Id., 6:45–49,
`
`7:34–41, 20:55–21:8, 21:24–34, 22:40–23:4, 23:12–32. Fifth, the server obtains the
`
`information corresponding to the target object (e.g., item description and price of the
`
`apple) and sends it to the wireless videophone to initiate a transaction associated
`
`with the target object (to purchase the apple) with the customer’s selected payment
`
`account, such as a credit or checking account. Id., 6:41–60, 7:34–41, 14:23–54,
`
`21:24–52, 22:40–23:4, 23:30–32.
`
`Patent Owner may argue that Ogasawara does not expressly describe recog-
`
`nizing by matching characteristics of the captured image to characteristics of images
`
`in a database. A POSITA, however, would have understood that to identify an object
`
`(e.g., an apple) Ogasawara’s advanced pattern recognition software identifies and
`
`recognizes the acquired videographic image by determining visually identifiable
`
`characteristics (akin to the numeric bar code data derived from a barcode image) and
`
`
`
`4
`
`

`

`using a look-up table or file to associate the visually identifiable characteristics to a
`
`corresponding product. Ex.1003, ¶¶59, 70, 78–85; Ex.1005, 6:45–49, 18:11–58,
`
`20:55–21:8, 21:17–34, 23:16–20. But it is unnecessary for purposes of this Petition
`
`to determine whether Ogasawara discloses this because Ogasawara, in combination
`
`with U.S. Patent No. 5,546,475 to Rudolf M. Bolle, et al. (“Bolle”), explicitly dis-
`
`closes identifying the object in the captured image by matching it to stored reference
`
`images in a database. Ex.1003, ¶¶85, 109, 128.
`
`Like Ogasawara, Bolle describes an image processing system for recognizing
`
`objects within an image, such as produce in grocery shopping systems. Ex.1006,
`
`Abstract, 5:52–57. After the shopper captures an image of an object (e.g., an apple)
`
`to buy, the system uses image processing techniques to segment the object from the
`
`background, and the image “is then compared to stored reference images.” Id., 6:1–
`
`5. The captured object “is recognized when a match occurs.” Id., 6:5–6. Bolle’s
`
`system “determine[s] features” of the segmented object, such as color and shape,
`
`and compares those to reference feature data stored in a database to determine a
`
`match. Id., 6:54–57, 8:20–36, 13:5–14, 13:61–14:12, 16:43–45.
`
`A POSITA would have been motivated to combine Ogasawara with Bolle.
`
`Ex.1003, ¶¶103–115. Both references use image processing systems to identify
`
`products, such as produce, for purchase. Ex.1003, ¶109. Furthermore, Bolle ex-
`
`pressly describes the benefits of using its system with a system such as Ogasawara.
`
`
`
`5
`
`

`

`Id. Ogasawara suggests that its system cannot always identify an object in an image
`
`that lacks “distinct or identifiable shape or other visually identifiable characteristic.”
`
`Ex.1005, 23:20–22. Bolle addresses this issue by segmenting an object in an image
`
`from the background, and then identifying the object by matching the segmented
`
`object to images of objects stored in a database. Id., 4:27–30, 39–44, 5:47–57, 6:1–
`
`6, 8:12–38, 16:40–45. Combining Ogasawara with Bolle would thus yield predict-
`
`able benefits and results. The combined system could more accurately and reliably
`
`identify objects captured by image processing systems for purchase. Ex.1003, ¶109.
`
`A POSITA would have had a reasonable expectation of success combining
`
`Ogasawara with Bolle because the combination is merely the application of known
`
`techniques to a known device: the use of Bolle’s image segmentation and database
`
`matching techniques, in Ogasawara’s system, to identify a captured object. Id.,
`
`¶111.
`
`Thus, Petitioner requests the Board institute inter partes review of the ’030
`
`patent and cancel claims 1–4, 6–7, 19, 21, 25–26, 29–32, and 36–37.
`
`II. Requirements for Inter Partes Review
`This Petition complies with all statutory requirements, as well as 37 C.F.R.
`
`§§42.104, 42.105, and 42.15, and should be accorded a filing date pursuant to 37
`
`C.F.R. §42.106. The required fee is being paid electronically through PTAB E2E.
`
`
`
`6
`
`

`

`A. Grounds for Standing
`Petitioner certifies under Rule 42.104(a) that the ’030 patent is available for
`
`IPR and that Petitioner is not barred or estopped from requesting IPR on the identi-
`
`fied grounds. Petitioner meets all requirements under 35 U.S.C. §§315(a)(1), 315(b),
`
`and 315(e)(1), and under 37 C.F.R. §§42.73(d)(1), 42.101, and 42.102.
`
`B. Identification of Challenge
`Under 37 C.F.R. §§42.104(b) and 42.22, Petitioner requests that the Board
`
`institute IPR on claims 1–4, 6–7, 19, 21, 25–26, 29–32, and 36–37 of the ’030 patent
`
`(the “Challenged Claims”) and cancel those claims as unpatentable on the following
`
`grounds:
`
`Ground Claim(s)
`1
`1–4, 6–7, 19, 21,
`25–26,
`29–32,
`and 36–37
`
`1–4, 6–7, 19, 21,
`25–26,
`29–32,
`and 36–37
`
`2
`
`
`
`Basis for Unpatentability
`§ 103 – Obvious over Ogasawara and Bolle
`
`§ 102 – Anticipated by Ogasawara
`
`III. The ’030 Patent and the State of the Art
`A. Overview of the ’030 Patent
`The ’030 patent acknowledges that the use of barcodes or other identifiers was
`
`a well-known method to identify objects in captured images. Ex.1001, 3:24–33.
`
`Specifically, the patent acknowledges that identification using “marks, symbols,
`
`
`
`7
`
`

`

`codes, barcodes, or characters on the object” existed for searching and retrieving
`
`data. Id., 1:35–44, 3:24–33.
`
`The patent asserts, however, that there is a need to identify objects that are
`
`digitally captured “without modification or disfigurement of the object [and] without
`
`the need for any marks, symbols, codes, barcodes, or characters on the object.” Id.,
`
`1:35–44; see also id., 1:25–32, 4:19–21. The “present invention” of the patent pur-
`
`ports to do just this—capture images and identify them without using symbols or
`
`barcodes. Id., 3:10–33, 4:19–21, 4:52–58. The alleged invention identifies the ob-
`
`ject “solely by its visual appearance.” Id.
`
`Claim 1 of the ’030 patent, with reference to annotated Figure 2 below, de-
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`scribes the following steps to accomplish this goal.
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`Id., Fig. 2.
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`8
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`First, a mobile device (red) acquires data related to an object. A picture of an
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`object is taken using “a mobile device, such as a portable telephone” or a “camera-
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`equipped mobile device.” Id., 1:49–3:6, 3:60–64. The camera-equipped device can
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`connect to an “Image Processor/Server 20 [blue] using a conventional digital net-
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`work or wireless network means.” Id., 5:40–43; see also id., Fig. 2. To acquire data
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`related to the object, a user “aligns the sensor of the data capture device 14 with the
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`object 16 of interest.” Id., 5:25–26.
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`Second, the acquired data is transmitted to an “object identification platform.”
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`Id., 3:60–4:14, 13:17–20, 13:54 –14:3, 24:13–14. The patent explains the claimed
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`functionality of this platform in terms of an “identification server 106,” which is “a
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`set of functions that usually will exist on computing platform separate from the ter-
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`minal 102, but could exist on the same computing platform.” Id., 13:54–14:3; see
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`also id., 3:60–4:14, 13:17–20, 15:5–9, Fig. 4, 22:29–38, 24:13–16. The patent ex-
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`plains that “image/object detection and/or decoding of symbols detected,” as well as
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`“provid[ing] the target object information 109 that corresponds to the target object
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`100,” may take place on this computing platform. Id., 3:60–4:14, 13:17–14:46.
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`Third, the object identification platform “recognize[s] the object as a target
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`object based on the acquired data.” Id., 24:13–15. The patent explains that this
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`means that the platform identifies the target object by matching the acquired data to
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`object image data of target objects stored in a database. Id., 3:17–23, 5:7–12, 11:15–
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`28, 12:63–13:7, 14:40–46, 14:64–15:1, 15:49–52, 22:36–40, 24:13–15.
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`Once the object identification platform (e.g., identification server 106) re-
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`ceives the acquired data, the platform decomposes the acquired data from the cap-
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`tured image into quantifiable characteristics such as color or shape. Id., 3:17–20,
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`4:6–14, 6:3–6, 8:6–9, 11:15–24, 13:17–28, 14:40–46. The platform then matches
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`those characteristics to characteristics of images of target objects stored in a data-
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`base. Id., 3:18–23 (“These characteristics are then used to provide the best match or
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`matches in the data base”), 5:7–12 (“At the heart of the present invention is a high-
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`speed image matching engine that returns unambiguous matches to target objects
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`contained in a wide variety of potential input images.”), 11:15–28 (comparing the
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`characteristics to those of “the Reference images, which have been previously cal-
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`culated and stored in the database”), 12:1–8, 14:40–46, 14:64–15:1, 15:49–52.
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`Fourth, after the target object is identified, the object identification platform
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`“determine[s] object information associated with the target object.” Id., 24:13–16.
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`Specifically, “[a]fter the target object 100 has been identified, the database 108 is
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`searched to find information corresponding to the target object 100 … in the form
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`of target object information 109,” which can include an information address (e.g.,
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`Internet URL), object identity, size, color, or other alphanumerical text. Id., 3:67–
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`4:5, 20:15–40, 22:36–40.
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`Fifth, a “content platform” obtains the object information and initiates a trans-
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`action associated with the target object with a selected account, such as a credit or
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`checking account, over a network based on the object information. Id., 20:48–52,
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`21:27–22:43, 24:17–20. The patent explains the claimed functionality of the “con-
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`tent platform” in terms of “content server 111,” which “is an information server and
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`computing system” that may reside within the mobile device (terminal 102) or may
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`be within a separate computer located, for instance, at a URL included in the object
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`information. Id., 21:27–22:18. The object identification platform sends object in-
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`formation to the content platform. Id., 20:20–22 (“The identification server 106 then
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`sends this information, in the form of the target object information 109, to the termi-
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`nal 102.”), 20:41–42, 21:9–10, 21:27–30. “The terminal 102 receives the target ob-
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`ject information 109” and “then performs some action or actions based on the target
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`object information 109.” Id., 20:48–21:8, 21:66-22:3 (when “content server 111 …
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`reside[s] within the terminal 102,” “communication between the terminal 102 and
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`the content server 111 does not occur via a network but rather occurs within the
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`terminal 102”). A user can perform transactions with the content platform to “[p]ur-
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`chase the target object 100 via on-line transaction, with the purchase amount billed
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`to an account linked to the terminal 102, to the individual user, to a bank account, or
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`to a credit card.” Id., 21:62–65.
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`This process is shown in Claim 1 of the ’030 patent, reproduced below.
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`A transaction system comprising:
`a mobile device configured to acquire data related to an object;
`an object identification platform configured to
`obtain the acquired data,
`recognize the object as a target object based on the acquired data, and
`determine object information associated with the target object; and
`a content platform configured to
`obtain the object information, and
`initiate a transaction associated with the target object with a selected
`account over a network based on the object information.
`B. The Earliest Effective Filing Date of the ’030 Patent
`The ’030 patent claims priority to Provisional Application No. 60/246,295,
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`filed