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`Certified by
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`Under Secretary of Commerce
`for lntelJectual Property
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`Patent and Trademark Office
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`0001
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`Roku EX1011
`U.S. Pat. No. 9,715,581
`Roku v. Media Chain
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`PTO/SB/0Ba (01-10)
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`2018-09-05
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`PTO/AIN14 (02-18)
`Approved for use through 11/30/2020. 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 it contains a valid 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`ESTES-4
`
`Application Number
`
`Title of Invention
`
`DIGITAL MEDIA REPRODUCTION AND LICENSING
`
`The application data sheet is part of the provisional or nonprovisional application for which it is being submitted. The following form contains the
`bibliographic data arranged in a format specified by the United 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
`document may be printed and included in a paper filed application.
`
`Secrecy Order 37 CFR 5.2:
`D Portions or all of the application associated with this Application Data Sheet may fall under a Secrecy Order pursuant to
`37 CFR 5.2 (Paper filers only. Applications that fall under Secrecy Order may not be filed electronically.)
`
`Inventor Information:
`
`Inventor
`11
`Legal Name
`
`I Remove I
`
`Prefix Given Name
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`Middle Name
`
`Family Name
`
`I El J:hristopher
`
`~-
`Residence Information (Select One)
`• US Residency
`I State/Province
`City
`t,1ountain View
`
`1:cstes
`Non US Residency
`Active US Military Service
`I Country of ResidencJ
`I f.Js
`
`I J:A
`
`Suffix
`
`I El
`
`Mailing Address of Inventor:
`
`Address 1
`
`240 Mountain View Avenue
`
`Address 2
`I !'Aountain View
`I State/Province
`City
`I ~041
`I 1us
`I Countryi
`Postal Code
`All Inventors Must Be Listed - Additional Inventor Information blocks may be
`generated within this form by selecting the Add button.
`
`I FA
`
`I Add
`
`I
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`Correspondence Information:
`Enter either Customer Number or complete the Correspondence Information section below.
`For further information see 37 CFR 1.33(a).
`D An Address is being provided for the correspondence Information of this application.
`Customer Number
`t3218
`
`Email Address
`
`afl-ip-docket@tafllaw.com
`
`I Add Email I
`
`I
`
`I Remove Email I
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`Application Information:
`
`Title of the Invention
`
`Attorney Docket Number ESTES-4
`
`DIGITAL MEDIA REPRODUCTION AND LICENSING
`I Small Entity Status Claimed ~
`
`Application Type
`
`Non provisional
`
`Subject Matter
`
`Utility
`
`Total Number of Drawing Sheets (if any)
`
`I~
`
`I Suggested Figure for Publication (if any) 11
`
`T
`
`T
`
`EFSWeb2.2.13
`
`0014
`
`

`

`PTO/AIN14 (02-18)
`Approved for use through 11/30/2020. 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 it contains a valid 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`ESTES-4
`
`Application Number
`
`Title of Invention
`
`DIGITAL MEDIA REPRODUCTION AND LICENSING
`
`Filing By Reference:
`Only complete this section when filing an application by reference under 35 U.S.C. 111 (c) and 37 CFR 1.57(a). Do not complete this section if
`application papers including a specification and any drawings are being filed. Any domestic benefit or foreign priority information must be
`provided in the appropriate section(s) below (i.e., "Domestic Benefit/National Stage Information" and "Foreign Priority Information").
`
`For the purposes of a filing date under 37 CFR 1.53(b), the description and any drawings of the present application are replaced by this
`reference to the previously filed application, subject to conditions and requirements of 37 CFR 1.57(a).
`
`Application number of the previously
`filed application
`
`Filing date (YYYY-MM-DD)
`
`Intellectual Property Authority or Country
`
`;_
`
`I
`
`Publication Information:
`D Request Early Publication (Fee required at time of Request 37 CFR 1.219)
`Request Not to Publish. I hereby request that the attached application not be published under
`D 35 U.S.C. 122(b) and certify that the invention disclosed in the attached application has not and will not be the
`subject of an application filed in another country, or under a multilateral international agreement, that requires
`publication at eighteen months after filing.
`
`Representative Information:
`
`Representative information should be provided for all practitioners having a power of attorney in the application. Providing
`this information in the Application Data Sheet does not constitute a power of attorney in the application (see 37 CFR 1.32).
`Either enter Customer Number or complete the Representative Name section below. If both sections are completed the customer
`Number will be used for the Representative Information during processing.
`
`Please Select One:
`
`• Customer Number
`
`I
`
`US Patent Practitioner IO Limited Recognition (37 CFR 11.9)
`
`Customer Number
`
`~3218
`
`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 Number" field blank.
`I·
`
`I Remove I
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`Prior Application Status
`
`!='ending
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`Application Number
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`Continuity Type
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`Prior Application Number
`
`Filing or 371 (c) Date
`(YYYY-MM-DD)
`
`I
`
`j:ontinuation of
`
`I· 15898978
`
`~018-02-19
`
`EFS Web 2.2.13
`
`0015
`
`

`

`PTO/AIN14 (02-18)
`Approved for use through 11/30/2020. 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 it contains a valid 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`ESTES-4
`
`Application Number
`
`Title of Invention
`
`DIGITAL MEDIA REPRODUCTION AND LICENSING
`
`Prior Application Status
`
`!='atenled
`
`Application
`Number
`
`Continuity Type
`
`115898978
`
`ponlinuation of
`
`Prior Application Status
`
`!='atenled
`
`Application
`Number
`
`Continuity Type
`
`115659175
`
`ponlinuation of
`
`Prior Application Status
`
`t=xpired
`
`I·
`Prior Application
`Number
`I· 115659175
`
`I·
`Prior Application
`Number
`I· 113667629
`
`I·
`
`Filing Dale
`(YYYY-MM-DD)
`
`~017-07-25
`
`Filing Dale
`(YYYY-MM-DD)
`
`I Remove I
`Issue Dale
`Patent Number
`(YYYY-MM-DD)
`
`~898590
`
`~018-02-20
`I Remove I
`Issue Dale
`Patent Number
`(YYYY-MM-DD)
`
`~012-11-02
`
`~715581
`
`~017-07-25
`I Remove I
`Filing or 371 (c) Date
`(YYYY-MM-DD)
`
`Application Number
`
`Continuity Type
`
`Prior Application Number
`
`~3667629
`
`I· 61555810
`Additional Domestic Benefit/National Stage Data may be generated within this form
`by selecting the Add button.
`
`J:laims benefit of provisional
`
`~011-11-04
`
`I Add
`
`I
`
`Foreign Priority Information:
`
`This section allows for the applicant to claim priority to a foreign application. Providing this information in the application data sheet
`constitutes the claim for priority as required by 35 U.S.C. 119(b) and 37 CFR 1.55. When priority is claimed to a foreign application
`that is eligible for retrieval under the priority document exchange program (PDXi the information will be used by the Office to
`automatically attempt retrieval pursuant to 37 CFR 1.55(i)(1) and (2). Under the POX 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, within the lime period specified in 37 CFR 1.55(g)(1 ).
`I Remove I
`Access Codei (if applicable)
`
`Countryi
`
`Application Number
`
`Filing Date (YYYY-MM-DD)
`I
`I
`I
`Additional Foreign Priority Data may be generated within this form by selecting the
`Add button.
`
`I Add
`
`I
`
`Statement under 37 CFR 1.55 or 1.78 for AIA (First Inventor to File) Transition
`Applications
`
`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
`D 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 2.2.13
`
`0016
`
`

`

`PTO/AIN14 (02-18)
`Approved for use through 11/30/2020. 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 it contains a valid 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`ESTES-4
`
`Application Number
`
`Title of Invention
`
`DIGITAL MEDIA REPRODUCTION AND LICENSING
`
`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.
`
`1. Authorization to Permit Access by a Foreign Intellectual Property Office(s)
`
`A. Priority Document Exchange (PDXl - 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 Bin 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.
`
`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 2.2.13
`
`0017
`
`

`

`PTO/AIN14 (02-18)
`Approved for use through 11/30/2020. 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 it contains a valid 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`ESTES-4
`
`Application Number
`
`Title of Invention
`
`DIGITAL MEDIA REPRODUCTION AND LICENSING
`
`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.
`
`I Remove I
`Applicant
`11
`If the applicant is the 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 otherwise shows sufficient proprietary interest in the 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 otherwise 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.
`
`I Clear
`
`I
`
`Assignee
`
`I
`Person to whom the inventor is obligated to assign.
`
`I
`If applicant is the legal representative, indicate the authority to file the patent application, the inventor is:
`
`Legal Representative under 35 U.S.C. 117
`
`Joint Inventor
`
`I
`Person who shows sufficient proprietary interest
`
`Name of the Deceased or Legally Incapacitated Inventor: I
`D