IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`Poeze et al.
`In re Patent of:
`Attorney Docket No. 50095-0042IP1
`
`10,912,501
`U.S. Patent No.:
`
`February 9, 2021
`Issue Date:
`
`Appl. Serial No.: 17/031,356
`
`Filing Date:
`September 24, 2020
`Title:
`USER-WORN DEVICE FOR NONINVASIVELY MEASURING
`A PHYSIOLOGICAL PARAMETER OF A USER
`
`
`
`
`Mail Stop Patent Board
`Patent Trial and Appeal Board
`U.S. Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`
`PETITION FOR INTER PARTES REVIEW OF UNITED STATES PATENT
`NO. 10,912,501 PURSUANT TO 35 U.S.C. §§ 311–319, 37 C.F.R. § 42
`
`
`
`

`

`Attorney Docket No. 50095-0042IP1
`IPR of U.S. Patent No. 10,912,501
`TABLE OF CONTENTS
`
`
`
`V. 
`
`I. 
`INTRODUCTION ........................................................................................... 1 
`II.  MANDATORY NOTICES UNDER 37 C.F.R § 42.8(a)(1) ........................... 1 
`A.  Real Party-In-Interest Under 37 C.F.R. § 42.8(b)(1) ................................ 1 
`B.  Related Matters Under 37 C.F.R. § 42.8(b)(2) ......................................... 1 
`C.  Lead And Back-Up Counsel Under 37 C.F.R. § 42.8(b)(3) ..................... 2 
`D.  Service Information .................................................................................. 2 
`III.  PETITIONER HAS STANDING TO REQUEST IPR UNDER 37 C.F.R. §
`42.104 .............................................................................................................. 3 
`A.  Grounds for Standing Under 37 C.F.R. § 42.104(a)................................. 3 
`IV.  SUMMARY OF THE ’501 PATENT ............................................................. 3 
`A.  Brief Description ....................................................................................... 3 
`B.  Level of Ordinary Skill in the Art ............................................................. 4 
`C.  Claim Construction ................................................................................... 4 
`D.  Summary of the Prosecution History ........................................................ 5 
`THE CHALLENGED CLAIMS ARE UNPATENTABLE ............................ 7 
`A.  Asserted Grounds and References ............................................................ 7 
`B.  [GROUND 1A] – Claims 1, 5-8, 11-13, and 15-18 Are Unpatentable
`Over Mendelson-799, Aizawa, and Ohsaki .............................................. 8 
`1.  Overview of Mendelson-799 ........................................................... 8 
`2.  Overview of Aizawa ...................................................................... 14 
`3.  Overview of Ohsaki....................................................................... 16 
`4. 
`Combination of Mendelson-799, Aizawa, and Ohsaki ................. 18 
`5.  Analysis ......................................................................................... 29 
`(a)  Claim 1 .......................................................................................... 29 
`(b)  Claim 5 .......................................................................................... 37 
`(c)  Claim 6 .......................................................................................... 38 
`(d)  Claim 7 .......................................................................................... 39 
`(e)  Claim 8 .......................................................................................... 40 
`(f)  Claim 11 ........................................................................................ 41 
`(g)  Claim 12 ........................................................................................ 42 
`(h)  Claim 13 ........................................................................................ 43 
`(i)  Claim 15 ........................................................................................ 44 
`(j)  Claim 16 ........................................................................................ 47 
`(k)  Claim 17 ........................................................................................ 48 
`
`i
`
`

`

`Attorney Docket No. 50095-0042IP1
`IPR of U.S. Patent No. 10,912,501
`(l)  Claim 18 ........................................................................................ 49 
`C.  [GROUND 1B] – Claims 2, 19, 22, 24, and 25 Are Unpatentable Over
`Mendelson-799, Aizawa, Ohsaki, and Scharf ........................................ 51 
`1.  Overview of Scharf ....................................................................... 51 
`2. 
`Combination of Mendelson-799, Aizawa, Ohsaki, and Scharf .... 52 
`3.  Analysis ......................................................................................... 55 
`(a)  Claim 2 .......................................................................................... 55 
`(b)  Claim 19 ........................................................................................ 55 
`(c)  Claim 22 ........................................................................................ 58 
`(d)  Claim 24 ........................................................................................ 58 
`(e)  Claim 25 ........................................................................................ 58 
`D.  [GROUND 1C] – Claims 3, 4, and 23 Are Unpatentable over
`Mendelson-799, Aizawa, Ohsaki, and Goldsmith .................................. 58 
`1.  Overview of Goldsmith ................................................................. 58 
`2. 
`Combination of Mendelson-799, Aizawa, Ohsaki, and Goldsmith
` ....................................................................................................... 60 
`3.  Analysis ......................................................................................... 64 
`(a)  Claim 3 .......................................................................................... 64 
`(b)  Claim 4 .......................................................................................... 69 
`(c)  Claim 23 ........................................................................................ 70 
`E.  [GROUND 1D] – Claims 9, 10, 14, 20, 21, and 26-30 Are Unpatentable
`over Mendelson-799, Aizawa, Ohsaki, Goldsmith, and Dalke .............. 71 
`1.  Overview of Dalke ........................................................................ 71 
`2. 
`Combination of Mendelson-799, Aizawa, Ohsaki, Goldsmith, and
`Dalke .............................................................................................. 72 
`3.  Analysis ......................................................................................... 77 
`(a)  Claim 9 .......................................................................................... 77 
`(b)  Claim 10 ........................................................................................ 78 
`(c)  Claim 14 ........................................................................................ 78 
`(d)  Claim 20 ........................................................................................ 81 
`(e)  Claim 21 ........................................................................................ 81 
`(f)  Claim 26 ........................................................................................ 82 
`(g)  Claim 27 ........................................................................................ 83 
`(h)  Claim 28 ........................................................................................ 83 
`(i)  Claim 29 ........................................................................................ 84 
`(j)  Claim 30 ........................................................................................ 84 
`F.  [GROUND 2A] – Claims 1, 5-8, 11-13, and 15-18 Are Unpatentable
`Over Mendelson-799, Aizawa, and Kotanagi ........................................ 84 
`1.  Overview of Kotanagi ................................................................... 84 
`2. 
`Combination of Mendelson-799, Aizawa, and Kotanagi .............. 86 
`
`ii
`
`

`

`I. 
`
`Attorney Docket No. 50095-0042IP1
`IPR of U.S. Patent No. 10,912,501
`3.  Analysis ......................................................................................... 88 
`G.  [GROUND 2B] – Claims 2, 19, 22, 24, and 25 Are Unpatentable Over
`Mendelson-799, Aizawa, Kotanagi, and Scharf ..................................... 88 
`H.  [GROUND 2C] – Claims 3, 4, and 23 Are Unpatentable over
`Mendelson-799, Aizawa, Kotanagi, and Goldsmith ............................... 89 
`[GROUND 2D] – Claims 9, 10, 14, 20, 21, and 26-30 Are Unpatentable
`over Mendelson-799, Aizawa, Kotanagi, Goldsmith, and Dalke ........... 89 
`VI.  PTAB DISCRETION SHOULD NOT PRECLUDE INSTITUTION .......... 90 
`A.  314(a) – Fintiv......................................................................................... 90 
`B.  325(d) – Advanced Bionics ..................................................................... 94 
`VII.  PAYMENT OF FEES – 37 C.F.R. § 42.103 ................................................. 97 
`VIII.  CONCLUSION .............................................................................................. 97 
`
`
`
`
`
`
`
`iii
`
`

`

`Attorney Docket No. 50095-0042IP1
`IPR of U.S. Patent No. 10,912,501
`
`
`
`EXHIBITS
`
`APPLE-1001
`APPLE-1002
`APPLE-1003
`APPLE-1004
`APPLE-1005
`
`APPLE-1006
`APPLE-1007
`APPLE-1008
`APPLE-1009
`APPLE-1010
`APPLE-1011
`APPLE-1012
`APPLE-1013
`
`APPLE-1014
`
`APPLE-1015
`APPLE-1016
`
`U.S. Patent No. 10,912,501 to Poeze et al. (“’501 Patent”)
`Prosecution History of the ’501 Patent
`Declaration of Dr. Thomas W. Kenny
`Curriculum Vitae of Dr. Thomas W. Kenny
`Masimo Corporation, et al. v. Apple Inc., Redacted Complaint,
`ITC Inv. No. 337-TA-1276
`
`
`U.S. Pat. No. 6,801,799 (“Mendelson-799”)
`U.S. Pub. No. 2002/0188210 (“Aizawa”)
`U.S. Pub. No. 2001/0056243 (“Ohsaki”)
` U.S. Pub. No. 2007/0093786 (“Goldsmith”)
` U.S. Pub. No. 2006/0211924 (“Dalke”)
` U.S. Patent No. 6,330,468 (“Scharf”)
` U.S. Patent No. 6,608,562 (“Kimura”)
`
`“Design and Evaluation of a New Reflectance Pulse Oximeter
`Sensor,” Y. Mendelson, et al.; Worcester Polytechnic Institute,
`Biomedical Engineering Program, Worcester, MA 01609;
`Association for the Advancement of Medical Instrumentation,
`vol. 22, No. 4, 1988; pp. 167-173 (“Mendelson-1988”)
`“A Wearable Reflectance Pulse Oximeter for Remote Physio-
`logical Monitoring,” Y. Mendelson, et al.; Proceedings of the
`28th IEEE EMBS Annual International Conference, 2006; pp.
`912-915 (“Mendelson-2006”)
` PCT Pub. No. WO 2005/092182
` Certified English Translation of WO 2005/092182 and
`Translator’s Declaration (“Kotanagi”)
`
`
`
`iv
`
`

`

`APPLE-1017
`APPLE-1018
`
`APPLE-1019
`
`
`
`Attorney Docket No. 50095-0042IP1
`IPR of U.S. Patent No. 10,912,501
` U.S. Patent No. 4,880,304 (“Jaeb”)
`
`“Refractive Indices of Human Skin Tissues at Eight
`Wavelengths and Estimated Dispersion Relations between 300
`and 1600 nm,” H. Ding, et al.; Phys. Med. Biol. 51 (2006); pp.
`1479-1489 (“Ding”)
`“Analysis of the Dispersion of Optical Plastic Materials,” S.
`Kasarova, et al.; Optical Materials 29 (2007); pp. 1481-1490
`(“Kasarova”)
` U.S. Pat. No. 9,820,658 (“Tran”)
`APPLE-1020
`APPLE-1021 to APPLE-1028
`
`RESERVED
`APPLE-1029
` Declaration of June Ann Munford
`APPLE-1030
`RESERVED
`APPLE-1031
`RESERVED
`APPLE-1032
`
`Interim Procedure for Discretionary Denials in AIA Post-Grant
`Proceedings with Parallel District Court Litigation, issued June
`21, 2022 (“Interim Guidance”)
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`v
`
`

`

`Attorney Docket No. 50095-0042IP1
`IPR of U.S. Patent No. 10,912,501
`
`CLAIM LISTING
`
`Limitation
`[1pre]
`
`[1a]
`[1b]
`
`[1c-1]
`
`[1c-2]
`
`[1c-3]
`
`[1d]
`
`[2]
`
`[3pre]
`[3a]
`
`[3b]
`
`[3c]
`
`[3d]
`[4pre]
`
`Claim Language
`A user-worn device configured to non-invasively measure a
`physiological parameter of a user, the user-worn device
`comprising:
`at least three light emitting diodes (LEDs);
`at least three photodiodes arranged on an interior surface of the
`user-worn device and configured to receive light attenuated by
`tissue of the user;
`a protrusion arranged over the interior surface, the protrusion
`comprising a convex surface and
`a plurality of openings extending through the protrusion and
`positioned over the three photodiodes, the openings each
`comprising an opaque lateral surface,
`the plurality of openings configured to allow light to reach the
`photodiodes, the opaque lateral surface configured to avoid light
`piping through the protrusion; and
`one or more processors configured to receive one or more signals
`from the photodiodes and calculate a measurement of the
`physiological parameter of the user.
`The user-worn device of claim 1, wherein glass covers each of the
`openings.
`The user-worn device of claim 1 further comprising:
`a network interface configured to wirelessly communicate the
`measurement of the physiological parameter to a mobile phone;
`a user interface comprising a touch-screen display, wherein the
`user interface is configured to display indicia responsive to the
`measurement of the physiological parameter;
`a memory configured to at least temporarily store at least the
`measurement; and
`a strap configured to position the user-worn device on the user.
`The user-worn device of claim 1 further comprising:
`
`vi
`
`

`

`Limitation
`[4a]
`
`[4b]
`
`[4c]
`
`[4d]
`[5]
`
`[6]
`
`[7]
`
`[8]
`
`[9pre]
`[9a]
`[9b]
`
`[10]
`
`[11]
`
`[12]
`
`Attorney Docket No. 50095-0042IP1
`IPR of U.S. Patent No. 10,912,501
`Claim Language
`a network interface configured to wirelessly communicate the
`measurement of the physiological parameter to a computer
`network;
`a user interface comprising a touch-screen display, wherein the
`user interface is configured to display indicia responsive to the
`measurement of the physiological parameter;
`a memory configured to at least temporarily store at least the
`measurement; and
`a strap configured to position the user-worn device on the user.
`The user-worn device of claim 1 further comprising: at least one
`wall extending between the interior surface and the protrusion,
`wherein at least the interior surface, the wall and the protrusion
`form one or more cavities, wherein the photodiodes are arranged
`within the cavities.
`The user-worn device of claim 1, wherein the physiological
`parameter comprises oxygen or oxygen saturation.
`The user-worn device of claim 1, wherein the physiological
`parameter comprises pulse rate.
`The user-worn device of claim 1, wherein the physiological
`parameter comprises trending information.
`The user-worn device of claim 1 further comprising:
`a thermistor configured to output a temperature signal,
`wherein the one or more processors are further configured to:
`receive the temperature signal; and adjust operation of the user-
`worn device responsive to the temperature signal.
`The user-worn device of claim 9, wherein the temperature signal is
`responsive to a temperature of the tissue of the user.
`The user-worn device of claim 1, wherein the LEDs and the
`photodiodes are arranged on a same side of the tissue of the user.
`The user-worn device of claim 1, wherein the convex surface of the
`protrusion is an outermost surface configured to contact the tissue
`of the user and conform the tissue into a concave shape.
`
`vii
`
`

`

`Limitation
`[13]
`
`[14b]
`
`[15]
`
`[14pre]
`[14a]
`
`Attorney Docket No. 50095-0042IP1
`IPR of U.S. Patent No. 10,912,501
`Claim Language
`The user-worn device of claim 1, wherein the one or more
`processors are further configured to process the one or more signals
`to determine a bulk measurement responsive to a positioning of the
`user-worn device.
`The user-worn device of claim 1, wherein:
`the at least three LEDs comprises at least six LEDs, a first set of
`LEDs includes three of the six LEDs, a second set of LEDs
`includes a different three of the six LEDs, the second set is spaced
`apart from the first set;
`a first of the three LEDs in the first set of LEDs is configured to
`emit light at a first wavelength and a second of the three LEDs in
`the first set of LEDs is configured to emit light at a second
`wavelength; and a first of the three LEDs in the second set of LEDs
`is configured to emit light at the first wavelength and a second of
`the three LEDs in the second set of LEDs is configured to emit
`light at the second wavelength.
`The user-worn device of claim 1, wherein the at least three
`photodiodes comprise four photodiodes arranged on the interior
`surface in a quadrant arrangement.
`The user-worn device of claim 1, wherein the protrusion further
`comprises one or more extensions.
`The user-worn device of claim 16, wherein the one or more
`extensions surround the convex surface.
`The user-worn device of claim 1, wherein the protrusion further
`comprises one or more chamfered edges.
`[19pre] A user-worn device comprising:
`[19a]
`a plurality of light emitting diodes (LEDs);
`[19b]
`at least three photodiodes arranged within the user-worn device and
`configured to receive light attenuated by tissue of a user;
`a protrusion extending over the three photodiodes and comprising a
`convex surface,
`
`[16]
`
`[17]
`
`[18]
`
`[19c-1]
`
`viii
`
`

`

`Limitation
`[19c-2]
`
`[19c-3]
`
`[19d-1]
`
`[19d-2]
`
`Attorney Docket No. 50095-0042IP1
`IPR of U.S. Patent No. 10,912,501
`Claim Language
`the protrusion including a separate window associated with each of
`the three photodiodes, an opaque material lining a lateral surface of
`the windows and extending through the protrusion,
`the opaque material configured to reduce an amount of light
`reaching the photodiodes without being attenuated by the tissue;
`and
`one or more processors configured to receive one or more signals
`from at least one of the photodiodes,
`the one or more processors configured to output measurements
`responsive to the one or more signals, the measurements indicative
`of a physiological parameter of the user.
`The user-worn device of claim 19 further comprising a thermistor.
`The user-worn device of claim 20, wherein the one or more
`processors are further configured to receive a temperature signal
`from the thermistor and adjust operation of the user-worn device
`responsive to the temperature signal.
`The user-worn device of claim 19, wherein the opaque material is
`configured to reduce an amount of noise caused by light piping in
`the one or more signals.
`The user-worn device of claim 19 further comprising:
`a network interface configured to wirelessly communicate the
`measurements to another computing device;
`a user interface comprising a touch-screen display, wherein the
`user interface is configured to display indicia responsive to the
`measurements; and
`a memory configured to at least temporarily store at least the
`measurements.
`The user-worn device of claim 19, wherein the physiological
`parameter comprises an oxygen saturation or oxygen measurement.
`The user-worn device of claim 19, wherein the physiological
`parameter comprises a pulse rate.
`[26pre] A user-worn device configured to non-invasively measure a pulse
`rate of a user, the user-worn device comprising:
`
`[23pre]
`[23a]
`
`[20]
`[21]
`
`[22]
`
`[23b]
`
`[23c]
`
`[24]
`
`[25]
`
`ix
`
`

`

`Attorney Docket No. 50095-0042IP1
`IPR of U.S. Patent No. 10,912,501
`Claim Language
`a first set of light emitting diodes (LEDs), the first set comprising
`at least an LED configured to emit light at a first wavelength and
`an LED configured to emit light at a second wavelength;
`a second set of LEDs spaced apart from the first set of LEDs, the
`second set of LEDs comprising at least an LED configured to emit
`light at the first wavelength and an LED configured to emit light at
`the second wavelength;
`at least three photodiodes arranged on an interior surface of the
`user-worn device and configured to receive light attenuated by
`tissue of the user;
`a thermistor configured to provide a temperature signal;
`a protrusion arranged over the interior surface, the protrusion
`comprising a convex surface extending over the three photodiodes,
`the protrusion further comprising one or more sidewalls extending
`at least partially around a perimeter of the convex surface;
`a plurality of openings extending through the protrusion and
`aligned with the three photodiodes, each opening defined by an
`opaque surface extending through the protrusion and configured to
`reduce light piping;
`at least one wall extending between the interior surface and the
`protrusion, wherein at least the interior surface, the wall and the
`protrusion form one or more cavities, wherein the photodiodes are
`arranged within the cavities;
`one or more processors configured to receive one or more signals
`from the photodiodes and calculate a pulse rate measurement of the
`user;
`a user interface comprising a display, wherein the user interface is
`configured to display indicia responsive to the pulse rate
`measurement;
`a memory configured to at least temporarily store at least the pulse
`rate measurement; and
`a strap configured to position the user-worn device on the user.
`
`Limitation
`[26a]
`
`[26b]
`
`[26c]
`
`[26d]
`[26e]
`
`[26f]
`
`[26g]
`
`[26h]
`
`[26i]
`
`[26j]
`
`[26k]
`
`x
`
`

`

`Attorney Docket No. 50095-0042IP1
`IPR of U.S. Patent No. 10,912,501
`Claim Language
`The user-worn device of claim 26, further comprising a network
`interface configured to wirelessly communicate the pulse rate
`measurement to a mobile phone.
`The user-worn device of claim 26, further comprising a network
`interface configured to wirelessly communicate the pulse rate
`measurement to a computer network without involving a mobile
`phone.
`The user-worn device of claim 26, wherein the protrusion further
`comprises one or more extensions.
`The user-worn device of claim 26, wherein the protrusion further
`comprises one or more chamfered edges.
`
`Limitation
`[27]
`
`[28]
`
`[29]
`
`[30]
`
`
`
`
`
`
`xi
`
`

`

`Attorney Docket No. 50095-0042IP1
`IPR of U.S. Patent No. 10,912,501
`
`I.
`INTRODUCTION
`Apple Inc. (“Apple” or “Petitioner”) petitions for IPR of claims 1-30
`
`(“Challenged Claims”) of U.S. Patent No. 10,912,501 (“the ’501 Patent”).
`
`Compelling evidence presented in this Petition demonstrates at least a reasonable
`
`likelihood that Apple will prevail with respect to at least one of the Challenged
`
`Claims.
`
`II. MANDATORY NOTICES UNDER 37 C.F.R § 42.8(a)(1)
`A. Real Party-In-Interest Under 37 C.F.R. § 42.8(b)(1)
`Apple Inc. is the real party-in-interest.
`
`
`
`B. Related Matters Under 37 C.F.R. § 42.8(b)(2)
`Petitioner is not aware of any disclaimers, reexamination certificates or
`
`petitions for inter partes review for the ’501 Patent. The ’501 Patent is the subject
`
`of Masimo Corporation, et al. v. Apple Inc., ITC Inv. No. 337-TA-1276. APPLE-
`
`1005.
`
`This Petition is being filed concurrently with another petition for IPR of the
`
`’501 Patent (IPR2022-01272).1 Apple previously challenged related U.S. Patents
`
`
`1 Pursuant to the Trial Practice Guide, both petitions for IPR of the ’501 Patent are
`
`being filed with a paper providing a succinct explanation of the differences
`
`between the petitions, why the issues addressed by the differences are material, and
`
`why the Board should exercise its discretion to institute both petitions.
`
`1
`
`

`

`Attorney Docket No. 50095-0042IP1
`IPR of U.S. Patent No. 10,912,501
`in IPR2020-01520, IPR2020-01521, IPR2020-01722, IPR2020-01536, IPR2020-
`
`01537, IPR2020-01538, IPR2020-01539, IPR2020-01713, IPR2020-01714,
`
`IPR2020-01715, IPR2020-01716, IPR2020-01723, IPR2020-01737, IPR2020-
`
`01737, IPR2021-00195, IPR2021-00208, IPR2021-00209.
`
`C. Lead And Back-Up Counsel Under 37 C.F.R. § 42.8(b)(3)
`Petitioner provides the following designation of counsel.
`
`Lead Counsel
`W. Karl Renner, Reg. No. 41,265
`Fish & Richardson P.C.
`3200 RBC Plaza
`60 South Sixth Street
`Minneapolis, MN 55402
`Tel: 612-335-5070
`Fax: 612-288-9696
`Email: IPR50095-0042IP1@fr.com
`
`
`Backup counsel
`Andrew Patrick, Reg. No. 63,471
`Daniel D. Smith, Reg. No. 71,278
`Hyun Jin In, Reg. No. 70,014
`Grace Kim, Reg. No. 71,977
`Gretchen DeVries, Reg. No. 72,505
`Fish & Richardson P.C.
`3200 RBC Plaza
`60 South Sixth Street
`Minneapolis, MN 55402
`Tel: 612-335-5070
`Fax: 612-288-9696
`Email: PTABInbound@fr.com
`
`D.
`Service Information
`Please address all correspondence and service to the address listed above.
`
`Petitioner consents to electronic service by email at IPR50095-0042IP1@fr.com
`
`(referencing No. 50095-0042IP1 and cc’ing PTABInbound@fr.com).
`
`2
`
`

`

`Attorney Docket No. 50095-0042IP1
`IPR of U.S. Patent No. 10,912,501
`III. PETITIONER HAS STANDING TO REQUEST IPR UNDER 37
`C.F.R. § 42.104
`A. Grounds for Standing Under 37 C.F.R. § 42.104(a)
`Apple Inc. certifies that the ’501 Patent is available for IPR. Petitioner is not
`
`barred or estopped from requesting this review challenging the Challenged Claims
`
`on the below-identified grounds.
`
`IV. SUMMARY OF THE ’501 PATENT
`A. Brief Description
`The system described by the ’501 Patent is said to include, in one
`
`embodiment, “a noninvasive sensor and a patient monitor communicating with the
`
`noninvasive sensor.” APPLE-1001, 2:47-60. The ’501 Patent describes several
`
`sensor configurations. See APPLE-1001, 6:48-51, 35:51-38:36, FIGS. 14A-14I,
`
`APPLE-1003, ¶¶24-27.2
`
`
`2 As Apple noted in the parallel ITC investigation, the ’501 Patent neither depicts
`
`nor describes, for example, an embodiment featuring at least three light emitting
`
`diodes (LEDs), at least three photodiodes, and a protrusion comprising a convex
`
`surface and a plurality of openings extending through the protrusion and positioned
`
`over the three photodiodes. See generally APPLE-1001.
`
`3
`
`

`

`Attorney Docket No. 50095-0042IP1
`IPR of U.S. Patent No. 10,912,501
`B.
`Level of Ordinary Skill in the Art
`A person of ordinary skill in the art relating to the subject matter of the ’501
`
`Patent as of July 3, 2008 (“POSITA”) would have been a person with a working
`
`knowledge of physiological monitoring technologies. The person would have had
`
`a Bachelor of Science degree in an academic discipline emphasizing the design of
`
`electrical, computer, or software technologies, in combination with training or at
`
`least one to two years of related work experience with capture and processing of
`
`data or information, including but not limited to physiological monitoring
`
`technologies. APPLE-1003, ¶¶22-23. Alternatively, the person could have also
`
`had a Master of Science degree in a relevant academic discipline with less than a
`
`year of related work experience in the same discipline. Id.
`
`C. Claim Construction
`Petitioner submits that all claim terms should be construed according to the
`
`Phillips standard. Phillips v. AWH Corp., 415 F.3d 1303 (Fed. Cir. 2005); 37
`
`C.F.R. § 42.100. Here, based on the evidence below and the prior art’s description
`
`of the claimed elements being similar to that of the ’501 patent specification, no
`
`formal claim constructions are necessary in this proceeding because “claim terms
`
`need only be construed to the extent necessary to resolve the controversy.”
`
`Wellman, Inc. v. Eastman Chem. Co., 642 F.3d 1355, 1361 (Fed. Cir. 2011).
`
`APPLE-1003, ¶190.
`
`4
`
`

`

`Attorney Docket No. 50095-0042IP1
`IPR of U.S. Patent No. 10,912,501
`Furthermore, Apple is not conceding that each challenged feature satisfies
`
`all statutory requirements such as 35 U.S.C. § 112. As this is an IPR petition,
`
`Apple is pursuing prior art-based grounds. Apple is not waiving any arguments
`
`concerning other grounds that can only be raised in district court.
`
`D.
`Summary of the Prosecution History
`Masimo filed the application that issued as the ’501 Patent (17/031,356)
`
`(“’356 Application”) with a request for accelerated examination on September 24,
`
`2020, approximately nine months after Masimo asserted thirteen related patents
`
`against Apple in district court, and approximately one month after Apple filed the
`
`first of its IPRs challenging those patents.3
`
`On December 9, 2020, less than three months after Masimo filed the ’356
`
`Application, and without having issued a single rejection, the examiner issued a
`
`notice of allowance. APPLE-1002, 20-29. Notably absent from that notice was
`
`any discussion whatsoever of art applied in Apple’s IPRs, including art on which
`
`the present Petition’s grounds are premised. Id. Also notable is the fact that, in a
`
`
`3 See, generally, IPR2020-01520, IPR2020-01521, IPR2020-01722, IPR2020-
`
`01536, IPR2020-01537, IPR2020-01538, IPR2020-01539, IPR2020-01713,
`
`IPR2020-01714, IPR2020-01715, IPR2020-01716, IPR2020-01723, IPR2020-
`
`01737, IPR2020-01737, IPR2021-00195, IPR2021-00208, IPR2021-00209.
`
`5
`
`

`

`Attorney Docket No. 50095-0042IP1
`IPR of U.S. Patent No. 10,912,501
`string of final written decisions that issued from February through May 2022, the
`
`Board went on to invalidate all but one challenged claim of the thirteen related
`
`patents based on that art. E.g., Apple Inc. v. Masimo Corp., IPR2020-01538 Pap.
`
`43, 2, 9 (PTAB Feb. 23, 2022)(finding “claims 1–7 and 20–28 of the ’554
`
`patent…unpatentable” based on a ground including Mendelson-799 and Ohsaki);
`
`Apple Inc. v. Masimo Corp., IPR2020-01538 Pap. 31, 2, 9-10 (PTAB May 2,
`
`2022)(finding “claims 1–30 of the ’564 patent…unpatentable” based on grounds
`
`including Aizawa, Ohsaki, and Goldsmith).
`
`There is no indication in the ’501 Patent’s file history that the examiner
`
`substantively considered any of the prior art applied in this Petition prior to
`
`allowing the ’356 Application. Instead, the notice of allowance limits its
`
`discussion to U.S. Patent Nos. 4,880,304 (“Jaeb”), 5,893,364 (“Haar”), 8,352,003
`
`(“Sawada”). APPLE-1002, 48-58.
`
`The references and grounds of rejection applied in this Petition are
`
`materially different from those addressed by the examiner during
`
`prosecution. Further, this Petition compellingly demonstrates the obviousness of
`
`the Challenged Claims, including the claim features relied upon by the examiner in
`
`issuing the notice of allowance. APPLE-1003, ¶¶15-209.
`
`
`
`
`
`6
`
`

`

`Attorney Docket No. 50095-0042IP1
`IPR of U.S. Patent No. 10,912,501
`V. THE CHALLENGED CLAIMS ARE UNPATENTABLE
`A. Asserted Grounds and References
`The Challenged Claims are invalid over the grounds identified in the table
`
`below, as further explained in this Petition.4 Accompanying explanations and
`
`support are provided in the Declaration of Dr. Thomas Kenny (APPLE-1003).
`
`APPLE-1003, ¶¶1-209.
`
`Ground
`1A
`
`1B
`
`1C
`
`1D
`
`2A
`
`2B
`
`2C
`
`2D
`
`Claims
`1, 5-8, 11-13,15-18
`
`2, 19, 22, 24, 25
`
`3, 4, 23
`
`Basis for Rejection
`§103 over Mendelson-799, Aizawa,
`Ohsaki
`§103 over Mendelson-799, Aizawa,
`Ohsaki, Scharf
`§103 over Mendelson-799, Aizawa,
`Ohsaki, Goldsmith
`9, 10, 14, 20, 21, 26-30 §103 over Mendelson-799, Aizawa,
`Ohsaki, Goldsmith, Dalke
`§103 over Mendelson-799, Aizawa,
`Kotanagi
`§103 over Mendelson-799, Aizawa,
`Kotanagi, Scharf
`§103 over Mendelson-799, Aizawa,
`Kotanagi, Goldsmith
`9, 10, 14, 20, 21, 26-30 103 over Mendelson-799, Aizawa,
`Kotanagi, Goldsmith, Dalke
`
`1, 5-8, 11-13,15-18
`
`2, 19, 22, 24, 25
`
`3, 4, 23
`
`
`4 Apple asserts that the ’501 Patent is invalid on multiple grounds in addition to
`
`those presented herein, including Lumidigm alone and in other combinations as
`
`presented in the parallel ITC proceeding.
`
`7
`
`

`

`Attorney Docket No. 50095-0042IP1
`IPR of U.S. Patent No. 10,912,501
`Each applied reference pre-dates U.S. provisional application 61/078,207,
`
`filed on July 3, 2008, which is the earliest filed application from which the ’501
`
`Patent claims priority. Petitioner does not take a position as to whether the ’501
`
`Patent is entitled to the priority date of July 3, 2008 (hereinafter “Critical Date” or
`
`“Earliest Effective Filing Date”), but has applied references that pre-date the
`
`Critical Date and qualify as prior art, as shown in the table below. APPLE-1003,
`
`¶17.
`
`Reference
`
`Date
`
`Mendelson-799
`
`US 6,801,799
`
`10/5/2004 (issued)
`
`Section
`
`102(b)
`
`Aizawa
`
`Ohsaki
`
`Scharf
`
`US 2002/0188210
`
`12/12/2002 (published)
`
`102(b)
`
`US 2001/0056243
`
`12/27/2001 (published)
`
`102(b)
`
`US 6,330,468
`
`12/11/2001 (issued)
`
`102(b)
`
`Goldsmith
`
`US 2007/0093786
`
`4/26/2007 (published)
`
`102(b)
`
`Dalke
`
`Kotanagi
`
`
`US 2006/0211924
`
`9/21/2006 (published)
`
`102(b)
`
`WO 2005/092182
`
`10/6/2005 (published)
`
`102(b)
`
`B.
`
`[GROUND 1A] – Claims 1, 5-8, 11-13, and 15-18 Are
`Unpatentable Over Mendelson-799, Aizawa, and Ohsaki
`1. Overview of Mendelson-799
`Mendelson-799 is titled “Pulse Oximeter and Method of Operation” and,
`
`similar to