INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`Filing Date
`
`15105648
`
`2016-06-17
`
`First Named Inventor
`
`Sebastian Faxer
`
`Art Unit
`
`2472
`
`Examiner Name
`
`Brian D. Nguyen
`
`Attorney Docket Number
`
`4015-9595 / P45698-US2
`
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`Name/Print
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`/Davrd E. BennelV
`
`David E. Bennetl.
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`Date (YYYY-MM~DD)
`
`.2018-05--08
`
`Registration Number
`
`~2194
`
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`ALL
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`EXCEPT Wl!ERE L!.tlED THROUGH.
`
`/B. D. N/
`
`Samsung Ex. 1002
`370 of 409
`
`IPR2022-00464
`Apple EX1002 Page 370
`
`

`

`Receipt
`
`date:
`
`05/08/2016
`
`15/105
`
`1 648
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`- GAU: 2472
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`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGE. /B.D.Ni
`
`IPR2022-00464
`Apple EX1002 Page 371
`
`

`

`APPLICATION NO.
`
`f'ILING DA Tli
`
`FIRST N M.EO (NV~IOR.
`
`15/105.648
`
`06ll712ll16
`
`7 90
`MIi
`COATS ~ BENNETT. PLLC
`l400•Crescem Green. Suite 300
`Cary. NC 27518
`
`HWlll(ll
`
`CJKITEDSIATESDEPARTMENTQliCOMMERCE
`United Slijtes Pate,11 ail~ 'l'tatle,nnk Office
`Add.-oss; COJl,IMlSSIO, ER FOR l'ATENTS
`f_O_ Boll. 14.Scl
`:\li:::;{.1mdnt1. Virgin111 IDlJ
`W',/(1,\ u.~pl.a,gm
`
`l .S:.50
`
`OJ\fliJRMA110N
`,:ll(),
`
`5543
`
`f:XAMNER
`
`;'<CIJYEN. BRIAN D
`
`ARTIJNIT
`
`PAJ'ER NIJMBER
`
`MAILOA'l'I:.
`
`10/0112018
`
`D!!Lll/E.lZ I'. MOlJb
`
`PAPllR
`
`Please find below and/or attach.ed au Office communication concerning this application or proceeding.
`
`The time period forreply. iJ any. i. set in the attached communication.
`
`P1'f)L-\10A (Rev. 04IU7\
`
`Samsung Ex. 1002
`372 of 409
`
`IPR2022-00464
`Apple EX1002 Page 372
`
`

`

`Supplements/
`Notice of Allowability
`
`Application No.
`15/105,648
`Examiner
`BRIAN D NGUYEN
`
`Applicant(s)
`Fax.er et al.
`Art Unit
`2472
`
`I AIAStatus
`
`Yes
`
`- The MAILING DATE of this communication appears on the cover sheet with the correspondence address(cid:173)
`All claims being allowable. PROSECUTION ON THE MERITS IS (OR REMAINS) CLOSED in this application. If not included
`herewith (or previously mailed), a Notice of Allowance (PTOL-85) or other appropriate communication will be mailed in due course. THIS
`NOTICE OF ALLOWABILITY IS NOT A GRANT OF PATENT RIGHTS. This application is-subject to withdrawal from issue at the initiative
`of the Office or upon petition by the applicant. See 37 CFR. 1.313 and MPEP 1308.
`
`1.~ Th1s communication is responsive to the amendment filed 7/11/18.
`D A declaration(s)/affidavit(s) under 37 CFR 1.130(b) was/were filed on __
`
`.
`
`2.0 An election was made by the applicant in response to a restriction requirement set forth during [he Interview on __
`restriction requirement and election have been incorporated into this action.
`
`; the
`
`3.0 The allowed claim(s) is/are See Continuation Sheet . As a result of the allowed claim(s), you may be eligible to benefit froni the
`Patent Prosecution Highway program at a participating intellectual property otfice for the, corresponding application. For more
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`PPHfeedback@uspto.gov.
`
`4.0 Acknowledgment is made of a claim for foreign priority under 35 U.S,C. § 119(a)·(d) or (f).
`Certified copies:
`"c) D None of the:
`a) OA11
`1. 0 Certlfied copies of tl1e priority documents have been received.
`2. 0 Certified copies of the priority documents have been received in Application No. __
`•
`3. 0 Copies of the certified copies of the priority documents have been received in this national stage application from the
`International Bureau (PCT Rule 17.2(a)).
`
`b) 0 Some
`
`• Certified copies not received: __
`
`.
`
`Applicant has THREE MONTHS FROM THE "MAILING DATE" ot this communication to file areply complying with the requirements
`noted below. Failure to timely comply will result fn ABANDONMENT ot thls application.
`THIS THREE-MONTH PERIOD IS NOT EXTENOABLE.
`
`5.0 CORRECTED DRAWINGS (as "replacement sheets") must be submitted.
`0 including changes required by the attached Examiner's Amendment/ Comment or lo the Oftice action of
`Paper No./Mail Date __
`.
`Identifying indlcia such as the application number {see 37 CFR 1.84(e)) should be written on the drawings in the 1ront (not the back) of each
`sheet. Replacement sheet(s) should be labeled as such in the header according to 37 CFR 1.121(d).
`6.0 DEPOSIT OF and/or INFORMATION about the deposit of BIOLOGICAL MATERIAL must be submitted. Note the
`attached Examiner's comment regarding REQtJIREMENT FOR THE DEPOSIT OF BIOLOGICAL MATERIAL.
`
`AUachment{s)
`1.0 Notice of References Cited (PT0-892)
`2,0
`Information Disclosure Statements (PTO/SB/08),
`Paper No./Mail Date
`.
`3.0 Examiner's Comment Regarding Requirement for Deposit
`ot Biological Material
`.
`Interview Summary (PT0-413) 1
`Paper No./Mail Date.
`/BRIAN D NGUYEN/
`Primary Examiner, Art Unit 2472
`
`4.0
`
`5. 0 Examiner's Amendment/Comment
`6. 0 Examiner's Statement of Reasons for Allowance
`
`7.00ther
`
`__
`
`U.S. Patent anO Trodon,;,,~ Olllce
`PTOL-37 (Rev, 08-13)
`
`Notice o1 Ailowability
`
`Part ol Paper No./Mall Date 20180924
`
`IPR2022-00464
`Apple EX1002 Page 373
`
`

`

`Continuation Sheet (PTOL-~7)
`
`Application No. 16/106,648
`
`Continuation of 3. The allowed claim(s) is/are: 39,41-47.49-55,57-63 and 65-70
`
`IPR2022-00464
`Apple EX1002 Page 374
`
`

`

`Application/Control Number: 15/105,648
`Art Unit: 2472
`
`Page2
`
`EXAMINER'S AMENDMENT
`
`Notice of Pre-AJA or AJA Status
`
`L
`
`The present application. filed on or after March 16.2013.
`
`is being examined under the
`
`first inventm to file provisions of the ATA.
`
`2.
`
`The application has beeo amended as follows:
`
`At the end of claims 45. 53, 61, and 69, replace":" wilh ".".
`
`Conclusion
`
`3.
`
`Any inquiry concerning th.is communication or earlier conmwnicaLions from the
`
`examiner should he directed to BRIAND NGUYEN wl1ose telephone number is (571 )272-3084.
`
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`applicalions
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`
`IPR2022-00464
`Apple EX1002 Page 375
`
`

`

`Application/Control Number: 15/105,648
`Art Unit: 2472
`
`Page 3
`
`system. see hllp://pair-dircd.usplo.gov.
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`
`/BRIAND NGUYEN/
`Pri1nary Examiner, Ari Unit 2472
`
`IPR2022-00464
`Apple EX1002 Page 376
`
`

`

`Electronic Acknowledgement Receipt
`
`EFS ID:
`
`Application Number:
`
`34307121
`
`15105648
`
`International Application Number:
`
`Confirmation Number:
`
`5548
`
`Title of Invention:
`
`Codebook Subset Restriction Signaling
`
`First Named Inventor/Applicant Name:
`
`Sebastian Faxer
`
`Customer Number:
`
`24112
`
`Filer:
`
`Brandee N-Woolard/Kristl Dunshee
`
`Filer Authorized By:
`
`Brandee N. Woolard
`
`Attorney Docket Number:
`
`4015-9595 / P45698-US2
`
`Receipt Date:
`
`Filing Date:
`
`Time Stamp:
`
`l 4-NOV-2018
`
`17-:.JUN-2016
`
`13:33:14
`
`Application Type:
`
`U.S. National Stage under 35 USC 371
`
`Payment information:
`
`Submitted with Payment
`
`I no
`
`File Listing:
`
`Document
`Number
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`Document Description
`
`File Name
`
`I
`
`Amendment after Notice of Allowance
`(Rule 312)
`
`9595Amendment.pdf
`
`Warnings:
`
`File Size(Bytes)/
`Message Digest
`
`Multi
`Part /.zip
`
`Pages
`(if appl.)
`
`86875
`
`'2A'"l\111).119'!9bl018c91..i0231>67ca2&66'
`Clt,';81
`
`no
`
`9
`
`IPR2022-00464
`Apple EX1002 Page 377
`
`

`

`Information:
`
`Total Files Size (in bytes)~
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`86875
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`This Acknowledgement Receipt evidences receipt on the noted date by the US PTO of the indicated documents,
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`If a new international application is being filed and the international application includes the necessary components for
`an international filing date (see PCT Article 11 and MPEP 181 O), a Notification of the International Application Number
`and of the International Filing Date (Form PCT/RO/105) will be issued in due course, subject to prescriptions concerning
`national security, and the date shown on this Acknowledgement Receipt will establish the international
`filing date of
`the application.
`
`IPR2022-00464
`Apple EX1002 Page 378
`
`

`

`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`In re Apprication of Sebastian Faxer
`
`Serial No.: 15/105648
`
`Piled: June 17, 2016
`
`For: Codebook Subset Restriction Signaling
`
`Docket No: 4015-9595
`
`Examiner: Brian D. Nguyen
`
`Group Art Unit: 2472
`
`Confirmation No.: 5548
`
`Mail Stop Issue Fee
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`AMENDMENT AFTER ALLOWANCE UNDER 37 C.F.R. §1.312
`
`This paper is being filed in response to Notice of Allowance mailed September 11, 2018
`
`and the Supplemental Notice of Allowabilfty mailed October 1, 2018. Applicant respectfully
`
`requests entry of the following amendments under 37 CFR §1.312 after the Notice of Allowance
`
`and before payment of the issue fee. The Office is hereby authorized to charge any fees
`
`required for entry of this paper to Deposit Account 18-1167.
`
`IPR2022-00464
`Apple EX1002 Page 379
`
`

`

`Application Ser. No. 15/105648
`Attorney Docket No. 401,5-9595
`Client Docket No. P45698-US2
`
`1-38.
`
`(Cancelled)
`
`CLAIMS LISTING
`
`39.
`
`(Previously Presented) A method implemented by a network node for signaling to a
`
`wireless communication device Which precoders in a codebook are restricted from being used,
`
`the method characterized by;
`
`generating codebook subset restriction signaling that, for each of one or more groups of
`
`precoders, jointly restricts the precoders in the group by restricting a certain
`
`component that the precoders in the group have in common, wherein the
`
`codebook subset restriction signaling is rank-agnostic signaling that jointly
`
`restricts the precoders in a group without regard to the. precoders' transmission
`
`rank; and
`
`sending the generated signaling from the network node to the wireless communication
`
`device.
`
`40.
`
`(Cancelled)
`
`41.
`
`(Previously Presented) The method of claim 39, wherein a precoder comprising one or
`
`more beam precoders is restricted if at least one of its one or more beam precoders is
`
`restricted.
`
`42.
`
`(Previously Presented) The method of claim 39, wherein the certain component
`
`comprises a beam precoder.
`
`2 of9
`
`IPR2022-00464
`Apple EX1002 Page 380
`
`

`

`Application Ser. No. 15/105648
`Attorney Docket No. 401.5-9595
`Client Docket No. P45698-US2
`
`43.
`
`(Currently Amended) The method of claim 42, wherein [[a]] the beam precoder is a
`
`Krohecker product of different beamforming vectors associated with different dimensions of a
`
`multi-dimensional antenna array.
`
`44.
`
`(Previously Presented) The method of claim 43, Wherein the different beamforming
`
`vectors comprise Discrete Fourier Transform (OFT) vectors.
`
`45.
`
`(Currently Amended) The method of claim 42, wherein [[a]] the beam precoder is a
`
`beamforming vector used to transmit on a particular layer of a multi-layer transmission[[,]]: and
`
`wherein different scaled versions of that beamforming vector are transmitted on different
`
`polarizations[[;]L
`
`46.
`
`(Currently Amended) The method of claim [(39)] 42, wherein [[a)] the beam precoder is a
`
`Kronecker product of first and second beamforming vectors with first and second indices,
`
`wherein the first and second beamforming vectors are associated with different dimensions of a
`
`multi-dimensional antenna array, and wherein the codebook subset restriction signaling jointly
`
`restricts the precoders in a group of precoders that have the same pair of values for the first and
`
`second indices.
`
`47.
`
`(Previously Presented) A method implemented by a wireless communication device for
`
`decoding signaling from a network node indicating which precoders in a codebook are restricted
`
`from being used, the method characterized by:
`
`recetving codebook subset restriction signaling that, for each of one or more groups of
`
`precoders, jointly restricts the precoders in the group by restricting a certain
`
`component that the precoders in the group have in common, wherein the
`
`3 of9
`
`IPR2022-00464
`Apple EX1002 Page 381
`
`

`

`Application Ser. No. 15/105648
`Attorney Docket No. 401.5-9595
`Client Docket No. P45698-US2.
`
`codebook subset restriction signaling is rank-agnostic. signaling that jolntly
`
`restricts the precoders tn a group without regard to the precoders' transmission
`
`rank; and
`
`decoding the received signaling as jointly restricting precoders in each of the one or
`
`more groups of precoders.
`
`48.
`
`(Cancelled)
`
`49.
`
`(Previously Presented) The method of claim 47, wherein a precoder comprising one or
`
`more beam precoders is restricted if at least one of its one or more beam precoders is
`
`restricted.
`
`50
`
`(Previously Presented) The method of claim 47, wherein the certain component
`
`comprises a beam precoder.
`
`51,
`
`(Currently Amended) The method of claim 50, wherein [[al] the beam precoder is a
`
`Kronecker product of different beamforming vectors associated with different dimensions of a
`
`multi-dimensional antenna array.
`
`52.
`
`(Previously Presented) The method of claim 51, wherein the different beamforming
`
`vectors comprise Discrete Fourier Transform (OFT) vectors.
`
`53.
`
`(Currently Amended) The method of claim 50, wherein [[al] the beam precoder is a
`
`beamforming vector used to transmit on a particular layer of a multi-layer transmisslon[[,]1: and
`
`4ot9
`
`IPR2022-00464
`Apple EX1002 Page 382
`
`

`

`Application Ser. No. 1'5/105648
`Attorney Docket No. 401,5-9595
`Client Docket No. P45698-US2
`
`wheretn different scaled versions of that beamformlng vector are transmitted on different
`
`polarlzatlons[[;.)L
`
`54.
`
`(Previously Presented) The method of claim [[47]] 50, wherein [[al] the beam precoder is
`
`a Kronecker product of first and second beamforming vectors With first and second indices,
`
`wherein the first and second beamforming vectors are associated with different dimensions of a
`
`multi-dimensional antenna array, and wherein the ·codebook subset restriction signaling jointly
`
`restricts the precoders in a group of precoders that have the same pair of values for the first and
`
`second indices.
`
`55.
`
`(Previously Presented) A network node for signaling to a wireless communication device
`
`which precoders in a codebook are restricted from being used, the network node comprising·
`
`a processor and a memory, the memory containing instructions executable by the
`
`processor Whereby the network node is configured to:
`
`generate codebook subset restriction signaling that, for each of one or
`
`more groups of precoders, jointly restricts the precoders in the
`
`group by restricting a certain component that the precoders in the
`
`group have in common 1 wherein the codebook subset restriction
`
`signaling is rank-agnostic signaling that jointly restricts the
`
`precoders in a group without regard to the precoders' transmission
`
`rank; and
`
`send the generated signaling from the network node to the wireless
`
`communication device.
`
`56.
`
`(Cancelled)
`
`5of9
`
`IPR2022-00464
`Apple EX1002 Page 383
`
`

`

`Application Ser. No. 1'5/105648
`Attorney Docket No. 401,5-9595
`Client Docket No. P45698-US2.
`
`57.
`
`(Previously Presented) The network node of claim 55, wherern a precoder comprising
`
`one or more beam precoders 1s restricted if at least one of its one or more beam precoders is
`
`restricted.
`
`58.
`
`(Previously Presented) The network node of claim 55, wherein the certain component
`
`comprises a beam precoder.
`
`59.
`
`(Currently Amended) The network node of claim 58, wherein [[a)] the beam precoder is a
`
`Kronecker product of different beam forming vectors associated with different dimensions of a
`
`multi-dimensional antenna array.
`
`60
`
`(Previously Presented) The network node of claim 59, wherein the different beamforming
`
`vectors comprise Discrete Fourier Transform (OFT) vectors.
`
`61.
`
`(Currently Amended) The network node of claim 58, wherein [[a)] the beam precoder is a
`
`beamforming vector used to transmit on a particular layer of a multi-layer transmission[[,Jl: and
`
`wherein different scaled versions of that beamforming vector are transmitted on different
`
`polarizations[[;]],
`
`62.
`
`(Currently Amended) The network node of claim [(55]] 58, wherein [[a]) the beam
`
`precoder is a Kronecker product of first and second beamforming vectors with first and second
`
`indices, wherein the first and second beamformlng vectors are associated with different
`
`dimensions of a multi-dimensional antenna array, and wherein the codebook subset restriction
`
`6ot9
`
`IPR2022-00464
`Apple EX1002 Page 384
`
`

`

`signaling jointly restricts the precoders in a group of precoders that have the same pair of values
`
`for the first and second indices.
`
`Application Ser. No. 15/105648
`Attorney Docket No. 401.5-9595
`Client Docket No. P45698-US2.
`
`63.
`
`(Previously Presented) A Wireless communication device for decoding signaling from a
`
`network node indicating Which precoders in a codebook are restricted from being used, the
`
`wireless communication device comprising:
`
`a processor and a memory, the memory containing instructions executable by the
`
`processor Whereby the wireless communication device is configured to:
`
`receive codebook subset restriction signaling that, for each of one or
`
`more groups of precoders, jointly restricts the precoders in the
`
`group by restricting a certain component that the precoders in the
`
`group have in common, wherein the codebook subset restriction
`
`signaling is rank-agnostic signaling that jointly restricts the
`
`precoders in a group without regard to the precoders' transmission
`
`rank; and
`
`decode the received signaling as jointly restricting precoders in each of
`
`the one or more groups of precoders.
`
`64.
`
`(Cancelled)
`
`65.
`
`(Previously Presented) The wireless communication device of claim 63, wherein a
`
`precoder comprising one or more beam precoders is restricted if at least one of its one or more
`
`beam precoders is restricted.
`
`7 of9
`
`IPR2022-00464
`Apple EX1002 Page 385
`
`

`

`Application Ser. No. 15/105648
`Attorney Docket No. 401.5-9595
`Client Docket No. P45698-US2.
`
`66.
`
`(Previously Presented) The wireless communication device of claim 63, wherein the
`
`certaih component comprises a beam precoder.
`
`67.
`
`(Currently Amended) The wireless communication device of claim 66, wherein [[a]) the
`
`beam precoder is a Kronecker product of different beamforming vectors associated with
`
`different dimensions of a multi-dimensional antenna array.
`
`68.
`
`(Previously Presented) The wireless communication device of claim 67, wherein the
`
`different beamforming vectors comprise Discrete Fourier Transform (OFT) vectors.
`
`69.
`
`(Currently Amended) The wireless communication device of claim 66 1 wherein [[a]]the
`
`beam precoder is a beamforming vector used to transmit on a particular layer of a multi~layer
`
`transmission[[.Jli and wherein different scaled versions of that beamforming vector are
`
`transmitted on different polarizations[[;]].,_
`
`70.
`
`(Currently Amended) The wireless communication device of claim [[63]1§2, wherein
`
`[[a]Jthe beam precoder is a Kronecker product of first and second beamforming vectors with first
`
`and second indices, wherein the first and second beamforming vectors are associated with
`
`different dimensions of a multi-dimensional antenna array, and Wherein the codebook subset
`
`restriction signaling jointly restricts the precoders in a group of precoders that have the same
`
`pair of values for the first and second indices.
`
`8of9
`
`IPR2022-00464
`Apple EX1002 Page 386
`
`

`

`Application Ser. No. 15/105648
`Attorney Docket No. 401.5-9595
`Client Docket No. P45698-US2.
`
`REMARKS
`
`Claims 43, 45, 46, 51, 53, 54, 59, 61, 62, 67, 69,. and 70 are amended to correct for
`
`typographical errors before payment of the issue fee. Entry of the amendments is respectfully
`
`requested under 37 CFR §1.312 and in compliance with MPEP § 714.16. An amendment to the
`
`claims may be entered by the examiner, without withdrawing the application from issue, where
`
`the amendments merely correct formal matters Within a claim without changing the scope
`
`thereof. MPEP § 714.16 Applicant submits that such amendments are needed to correct minor
`
`typographical errors without changing the scope of the claims.
`
`If the Examiner has any questions, it is respectfully requested that the Examiner contact
`
`Applicant's representative at the below number.
`
`Dated: November 14, 2018
`
`Respectfully submitted,
`COATS & BENNETT, P.L.L.C.
`
`/Brandee N. Woolard/
`Brandee N. Woolard
`Registration No.: 68,795
`Telephone: (919) 854-1844
`
`9ot9
`
`IPR2022-00464
`Apple EX1002 Page 387
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`

`

`APPLICATION NO.
`
`l'ILING DA le
`
`FIRST N M.EO (NV~IOR.
`
`15/105.648
`
`06/1712(116
`
`7590
`z,i 11
`COATS ~ BENNETT. PLLC
`l400•Crescem Green. Suite 300
`Cary. NC 27518
`
`1112 no,
`
`CJKITEDSIATESDEPARTMENTQliCOMMERCE
`United Slijtes Pate,11 ail~ 'l'tatle,nnk Office
`Add.-oss; COJl,IMlSSIO, ER FOR l'ATENTS
`f_O_ Boll. 14.Scl
`:\li:::;{.1mdnt1. Virgin111 IDlJ
`W',/(1,\ u.~pl.a,gm
`
`l .S:.50
`
`OJ\fliJRMA110N
`,:ll(),
`
`5543
`
`f:XAMNER
`
`;'<CUYEN. BRIAN D
`
`ARTUNIT
`
`PAJ'ER NUMBER
`
`MAILOA'l'I:.
`
`D!!Lll/E.lZ I'. MOlJb
`
`11128/2018
`
`PAPllR
`
`Please find below and/or attach.ed au Office communication concerning this application or proceeding.
`
`The time period forreply. iJ any. i. set in the attached communication.
`
`P1'f)L-\10A (Rev. 04IU7\
`
`Samsung Ex. 1002
`388 of 409
`
`IPR2022-00464
`Apple EX1002 Page 388
`
`

`

`Response to Rule 312 Communication
`
`Application No.
`
`iS/'105,648
`
`Examiner
`
`Applicant(s)
`
`Faxeret al.
`
`Art Unit AIA Status
`
`BRIAN D NGUYEN
`
`2472
`
`Yes
`
`- The MAILING DA TE ol this communication appears on the cover sheet with the correspondence address -
`
`1. 0The amendment filed on 14 November 2018 under 37 CFR 1.312 has been considered. and has been:
`a) 0
`entered.
`
`entered as directed to matters of form not affecting the scope of the invention,
`
`b) 0
`c) 0 disapproved because the amendment was tiled alter,the payment of the issue tee.
`Any amendment filed after the date the issue fee is paid must be accompanled by a petition under 37 CFR 1 ,313(c)( 1)
`and the required fee to withdraw the application from issue.
`
`d) 0
`
`disapproved. See explanation below.
`
`e) D entered in parL See explanatlon below.
`
`/BRIAN D NGUYEN/
`Primary Examiner. Art Unit 2472
`
`U.S. Patent and Trademari< Offioo
`PTOL-271 (Rev. 04-01)
`
`Reponse to Rule 312 Communication
`
`Part of Paper No. 20181123
`
`IPR2022-00464
`Apple EX1002 Page 389
`
`

`

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