IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`Poeze et al.
`In re Patent of:
`Attorney Docket No. 50095-0043IP1
`
`10,912,502
`U.S. Patent No.:
`
`February 9, 2021
`Issue Date:
`
`Appl. Serial No.: 17/031,407
`
`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. 10,912,502 PURSUANT TO 35 U.S.C. §§ 311–319, 37 C.F.R. § 42
`
`
`
`

`

`Attorney Docket No. 50095-0043IP1
`IPR of U.S. Patent No. 10,912,502
`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 ’502 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 1-3, 5-9, 11-19, and 25-27 Are Unpatentable
`Over Mendelson-799, Aizawa, Ohsaki, Scharf, and Dalke ...................... 8 
`  Overview of Mendelson-799 ........................................................... 8 
`  Overview of Aizawa ...................................................................... 13 
`  Overview of Ohsaki....................................................................... 16 
`  Overview of Scharf ....................................................................... 18 
`  Overview of Dalke ........................................................................ 19 
`Combination of Mendelson-799, Aizawa, Ohsaki, Scharf, and
` 
`Dalke .............................................................................................. 20 
`(a)  A POSITA would have been motivated to modify Mendelson-799
`in view of Aizawa to add a protrusion .......................................... 20 
`(b)  A POSITA would have been motivated to modify Mendelson-799-
`Aizawa further in view of Ohsaki to add a protrusion comprising a
`convex surface ............................................................................... 25 
`(c)  A POSITA would have been motivated to modify Mendelson-799-
`Aizawa-Ohsaki further in view of Scharf to add windows ............ 30 
`
`i
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`

`

`Attorney Docket No. 50095-0043IP1
`IPR of U.S. Patent No. 10,912,502
`(d)  A POSITA would have been motivated to modify Mendelson-799-
`Aizawa-Ohsaki-Scharf further in view of Dalke to add additional
`LEDs .............................................................................................. 33 
`  Analysis ......................................................................................... 36 
`(a)  Claim 1 .......................................................................................... 36 
`(b)  Claim 2 .......................................................................................... 46 
`(c)  Claim 3 .......................................................................................... 47 
`(d)  Claim 5 .......................................................................................... 47 
`(e)  Claim 6 .......................................................................................... 48 
`(f)  Claim 7 .......................................................................................... 49 
`(g)  Claim 8 .......................................................................................... 49 
`(h)  Claim 9 .......................................................................................... 50 
`(i)  Claim 11 ........................................................................................ 50 
`(j)  Claim 12 ........................................................................................ 51 
`(k)  Claim 13 ........................................................................................ 52 
`(l)  Claim 14 ........................................................................................ 54 
`(m)  Claim 15 ........................................................................................ 55 
`(n)  Claim 16 ........................................................................................ 58 
`(o)  Claim 17 ........................................................................................ 59 
`(p)  Claim 18 ........................................................................................ 60 
`(q)  Claim 19 ........................................................................................ 62 
`(r)  Claim 25 ........................................................................................ 65 
`(s)  Claim 26 ........................................................................................ 65 
`(t)  Claim 27 ........................................................................................ 65 
`C.  [GROUND 1B] – Claims 4, 10, 20-24, and 28-30 Are Unpatentable
`Over Mendelson-799, Aizawa, Ohsaki, Scharf, Dalke, and Goldsmith . 66 
`  Overview of Goldsmith ................................................................. 66 
`Combination of Mendelson-799, Aizawa, Ohsaki, Scharf, Dalke,
` 
`and Goldsmith ............................................................................... 68 
`(a)  A POSITA would have been motivated to incorporate Goldsmith’s
`wrist-worn device .......................................................................... 68 
`(b)  A POSITA would have been motivated to add a thermistor ......... 72 
`  Analysis ......................................................................................... 73 
`(a)  Claim 4 .......................................................................................... 73 
`(b)  Claim 10 ........................................................................................ 78 
`(c)  Claim 20 ........................................................................................ 79 
`(d)  Claim 21 ........................................................................................ 79 
`(e)  Claim 22 ........................................................................................ 80 
`(f)  Claim 23 ........................................................................................ 81 
`(g)  Claim 24 ........................................................................................ 81 
`
`ii
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`

`Attorney Docket No. 50095-0043IP1
`IPR of U.S. Patent No. 10,912,502
`(h)  Claim 28 ........................................................................................ 82 
`(i)  Claim 29 ........................................................................................ 87 
`(j)  Claim 30 ........................................................................................ 89 
`D.  [GROUND 2A] – Claims 1-3, 5-9, 11-19, and 25-27 Are Unpatentable
`Over Mendelson-799, Aizawa, Kotanagi, Scharf, and Dalke ................ 90 
`  Overview of Kotanagi ................................................................... 90 
`Combination of Mendelson-799, Aizawa, and Kotanagi .............. 92 
` 
`  Analysis ......................................................................................... 94 
`E.  [GROUND 2B] – Claims 4, 10, 20-24, and 28-30 Are Unpatentable
`Over Mendelson-799, Aizawa, Kotanagi, Scharf, Dalke, and Goldsmith
`
`94 
`VI.  PTAB DISCRETION SHOULD NOT PRECLUDE INSTITUTION .......... 95 
`A.  314(a) – Fintiv......................................................................................... 95 
`B.  325(d) – Advanced Bionics ...................................................................100 
`VII.  PAYMENT OF FEES – 37 C.F.R. § 42.103 ...............................................103 
`VIII.  CONCLUSION ............................................................................................103 
`
`
`
`
`
`
`
`iii
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`

`

`Attorney Docket No. 50095-0043IP1
`IPR of U.S. Patent No. 10,912,502
`
`EXHIBITS
`
`Exhibit 1001
`
`U.S. Patent No. 10,912,502 to Poeze et al. (“’502 Patent”)
`
`Exhibit 1002
`
`U.S. Patent No. 10,912,502 File History
`
`Exhibit 1003
`
`Declaration of Dr. Thomas W. Kenny
`
`Exhibit 1004
`
`Curriculum Vitae of Dr. Thomas W. Kenny
`
`APPLE-1005
`
`Masimo Corporation, et al. v. Apple Inc., Redacted Complaint,
`ITC Inv. No. 337-TA-1276
`
`APPLE-1006
`
`U.S. Pat. No. 6,801,799 (“Mendelson-799”)
`
`APPLE-1007
`
`U.S. Pub. No. 2002/0188210 (“Aizawa”)
`
`APPLE-1008
`
`U.S. Pub. No. 2001/0056243 (“Ohsaki”)
`
`APPLE-1009
`
`U.S. Pub. No. 2007/0093786 (“Goldsmith”)
`
`APPLE-1010
`
`U.S. Pub. No. 2006/0211924 (“Dalke”)
`
`APPLE-1011
`
`U.S. Patent No. 6,330,468 (“Scharf”)
`
`APPLE-1012
`
`U.S. Patent No. 6,608,562 (“Kimura”)
`
`APPLE-1013
`
`APPLE-1014
`
`“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”)
`
`iv
`
`

`

`Attorney Docket No. 50095-0043IP1
`IPR of U.S. Patent No. 10,912,502
` PCT Pub. No. WO 2005/092182
` Certified English Translation of WO 2005/092182 and
`Translator’s Declaration (“Kotanagi”)
` 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-1015
`APPLE-1016
`
`APPLE-1017
`APPLE-1018
`
`APPLE-1019
`
`APPLE-1020
`
`APPLE-1021
`
` US Pat. No. 10,052,850 (“Weiss”)
`
`APPLE-1022 to APPLE-1028
`
`
`
`RESERVED
`
`APPLE-1029
`
` Declaration of June Ann Munford
`
`APPLE-1030
`APPLE-1031
`APPLE-1032
`
`
`
`
`
`
`
`
`
`RESERVED
`RESERVED
`
`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. 50095-0043IP1
`IPR of U.S. Patent No. 10,912,502
`CLAIM LISTING
`
`Limitation
`[1pre]
`
`[1a]
`
`[1b]
`
`[1c]
`
`[1d]
`[1e]
`[1f]
`
`[1g]
`
`[1h]
`
`[2]
`
`[3]
`
`[4pre]
`
`Claim Language
`A user-worn device configured to non-invasively measure a
`physiological parameter of a user, the user-worn device
`comprising:
`a first set of light emitting diodes (LEDs), the first set of LEDs
`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;
`four photodiodes arranged on an interior surface of the user-
`worn device and configured to receive light after attenuation by
`tissue of the user;
`a protrusion comprising:
`a convex surface extending over the interior surface,
`a plurality of openings in the convex surface extending through
`the protrusion and aligned with the four photodiodes, each
`opening defined by an opaque surface, and
`a plurality of windows, each of the windows extending across a
`different one of the openings; and
`one or more processors configured to receive one or more
`signals from at least one of the photodiodes and calculate a
`measurement of the physiological parameter of the user.
`The user-worn device of claim 1, wherein the windows
`comprise glass.
`The user-worn device of claim 1, wherein the windows
`comprise plastic.
`The user-worn device of claim 1 further comprising:
`
`vi
`
`

`

`Limitation
`[4a]
`
`[4b]
`
`[4c]
`
`[4d]
`[5]
`
`[6]
`
`[7]
`
`[8]
`
`[9]
`
`[10]
`
`[11]
`
`[12]
`
`Attorney Docket No. 50095-0043IP1
`IPR of U.S. Patent No. 10,912,502
`Claim Language
`a network interface configured to wirelessly communicate the
`measurement of the physiological parameter to at least one of: a
`mobile phone or 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 storage device 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, wherein the opaque surface is
`configured to reduce light piping.
`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 cavities, wherein the photodiodes are arranged on the
`interior surface within the cavities.
`The user-worn device of claim 1, wherein the physiological
`parameter comprises at least one of: methemoglobin, total
`hemoglobin, carboxyhemoglobin, or carbon monoxide.
`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 trending information.
`The user-worn device of claim 1 further comprising a
`thermistor.
`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 one or more
`processors are further configured to calculate a bulk
`measurement responsive to a positioning of the user-worn
`device.
`
`vii
`
`

`

`Limitation
`[13]
`
`[14]
`
`[15]
`
`[16]
`
`[17]
`
`[18]
`
`[19pre]
`
`[19a]
`
`[19b]
`
`[19c-1]
`[19c-2]
`
`Attorney Docket No. 50095-0043IP1
`IPR of U.S. Patent No. 10,912,502
`Claim Language
`The user-worn device of claim 1, wherein, within each of the
`first and second sets of LEDs, any one LED is positioned within
`2 mm to 4 mm of another.
`The user-worn device of claim 1, further comprising a third set
`of LEDs, the third 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.
`The user-worn device of claim 1, wherein the four photodiodes
`comprise first, second, third and fourth photodiodes and
`wherein the first photodiode and the second photodiode are
`arranged on the interior surface across from each other on
`opposite sides of a central point along a first axis, and the third
`photodiode and the fourth photodiode are arranged across from
`each other on opposite sides of the central point along a second
`axis which is different from the first axis.
`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 a perimeter of the convex surface of the
`protrusion.
`The user-worn device of claim 1, wherein the protrusion further
`comprises one or more chamfered edges.
`A user-worn device configured to non-invasively measure an
`oxygen saturation of a user, the user-worn device comprising:
`a plurality of emitters configured to emit light, each of the
`emitters comprising at least two light emitting diodes (LEDs);
`four photodiodes arranged within the user-worn device and
`configured to receive light after at least a portion of the light has
`been attenuated by tissue of the user;
`a protrusion comprising a convex surface
`including separate openings extending through the protrusion
`and lined with opaque material, each opening positioned over a
`different one of the four photodiodes,
`
`viii
`
`

`

`Limitation
`[19c-3]
`
`[19d]
`[19e]
`
`[20]
`
`[21]
`
`[22]
`
`[23]
`
`[24pre]
`[24a]
`
`[24b]
`
`[24c]
`
`[25]
`
`Attorney Docket No. 50095-0043IP1
`IPR of U.S. Patent No. 10,912,502
`Claim Language
`the opaque material configured to reduce an amount of light
`reaching the photodiodes without being attenuated by the tissue;
`optically transparent material within each of the openings; and
`one or more processors configured to receive one or more
`signals from at least one of the four photodiodes and output
`measurements responsive to the one or more signals, the
`measurements indicative of the oxygen saturation 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 21, wherein the plurality of
`emitters comprise at least four emitters, and wherein each of the
`plurality of emitters comprises a respective set of at least three
`LEDs.
`The user-worn device of claim 22, wherein, within each
`respective set of at least three LEDs, the LEDs of the set are
`positioned within 2 mm to 4 mm of each other.
`The user-worn device of claim 19 further comprising:
`a network interface configured to wirelessly communicate at
`least the measurements of oxygen saturation to at least one of: a
`mobile phone or a computer network;
`a user interface comprising a touch-screen display, wherein the
`user interface is configured to display indicia responsive to the
`measurements of oxygen saturation; and
`a memory device configured to at least temporarily store at least
`the measurements of oxygen saturation.
`The user-worn device of claim 19, wherein the photodiodes
`comprise first, second, third and fourth photodiodes and
`wherein the first photodiode and the second photodiode are
`arranged across from each other on opposite sides of a central
`point along a first axis, and the third photodiode and the fourth
`
`ix
`
`

`

`Limitation
`
`[26]
`
`[27]
`
`[28pre]
`
`[28a]
`
`[28b]
`
`[28c]
`
`[28d]
`[28e]
`
`[28f]
`[28g]
`
`[28h]
`
`[28i]
`
`Attorney Docket No. 50095-0043IP1
`IPR of U.S. Patent No. 10,912,502
`Claim Language
`photodiode are arranged across from each other on opposite
`sides of the central point along a second axis which is different
`from the first axis.
`The user-worn device of claim 19, wherein the optically
`transparent material is glass.
`The user-worn device of claim 19, wherein the optically
`transparent material is plastic.
`A user-worn device configured to non-invasively measure an
`oxygen saturation of a user, the user-worn device comprising:
`a first set of light emitting diodes (LEDs), the first set of LEDs
`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;
`four photodiodes arranged in a quadrant configuration on an
`interior surface of the user-worn device and configured to
`receive light after at least a portion of the light has been
`attenuated by tissue of the user;
`a thermistor configured to provide a temperature signal;
`a protrusion arranged above the interior surface, the protrusion
`comprising:
`a convex surface;
`a plurality of openings in the convex surface, extending through
`the protrusion, and aligned with the four photodiodes, each
`opening defined by an opaque surface configured to reduce light
`piping; and
`a plurality of transmissive windows, each of the transmissive
`windows extending across a different one of the openings;
`at least one opaque wall extending between the interior surface
`and the protrusion, wherein at least the interior surface, the
`
`x
`
`

`

`Limitation
`
`[28j]
`
`[28k]
`
`[28l]
`
`[28m]
`
`[28n]
`[29pre]
`[29a]
`
`[29b]
`
`[30]
`
`Attorney Docket No. 50095-0043IP1
`IPR of U.S. Patent No. 10,912,502
`Claim Language
`opaque wall and the protrusion form cavities, wherein the
`photodiodes are arranged on the interior surface within the
`cavities;
`one or more processors configured to receive one or more
`signals from at least one of the photodiodes and calculate an
`oxygen saturation measurement of the user, the one or more
`processors further configured to receive the temperature signal;
`a network interface configured to wirelessly communicate the
`oxygen saturation measurement to at least one of a mobile
`phone or an electronic network;
`a user interface comprising a touch-screen display, wherein the
`user interface is configured to display indicia responsive to the
`oxygen saturation measurement of the user;
`a storage device 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 28, further comprising:
`a driver configured to energize the first and second sets of
`LEDs; and
`a front-end interface comprising one or more amplifiers and one
`or more analog to digital converters (ADCs), wherein the front-
`end interface receives the signals from the photodiodes, the one
`or more amplifiers amplify the signals and the one or more
`ADCs convert the signals to digital information, and wherein
`the processors receive the converted signals.
`The user-worn device of claim 28, wherein the protrusion
`further comprises one or more sidewalls extending at least
`partially around a perimeter of the convex surface.
`
`
`
`
`
`
`
`xi
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`

`

`Attorney Docket No. 50095-0043IP1
`IPR of U.S. Patent No. 10,912,502
`
`I.
`INTRODUCTION
`Apple Inc. (“Apple” or “Petitioner”) petitions for IPR of claims 1-30
`
`(“Challenged Claims”) of U.S. Patent No. 10,912,502 (“the ’502 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 ’502 Patent. The ’502 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
`
`’502 Patent (IPR2022-01274).1 Apple previously filed IPR petitions of related
`
`
`1 Pursuant to the Trial Practice Guide, both petitions for IPR of the ’502 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. 50095-0043IP1
`IPR of U.S. Patent No. 10,912,502
`patents in 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: IPR50095-0043IP1@fr.com
`
`
`Backup counsel
`Andrew B. 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 IPR50095-0043IP1@fr.com
`
`(referencing No. 50095-0043IP1 and cc’ing PTABInbound@fr.com).
`
`2
`
`

`

`Attorney Docket No. 50095-0043IP1
`IPR of U.S. Patent No. 10,912,502
`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 ’502 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 ’502 PATENT
`A. Brief Description
` The system described by the ’502 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 ’502 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 ’502 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. 50095-0043IP1
`IPR of U.S. Patent No. 10,912,502
`B.
`Level of Ordinary Skill in the Art
`A person of ordinary skill in the art relating to the subject matter of the ’502
`
`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 ’502 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
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`

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`Attorney Docket No. 50095-0043IP1
`IPR of U.S. Patent No. 10,912,502
`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 ’502 Patent (17/031,407)
`
`(“’407 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 ’407
`
`Application, and without having issued a single rejection, the examiner issued a
`
`notice of allowance. APPLE-1002, 22-31. 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. 50095-0043IP1
`IPR of U.S. Patent No. 10,912,502
`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 ’502 Patent’s file history that the examiner
`
`substantively considered any of the prior art applied in this Petition prior to
`
`allowing the ’407 Application. Instead, the notice of allowance limits its
`
`discussion to U.S. Patent Nos. 4,129,124 (“Thalmann”), 4,880,304 (“Jaeb”),
`
`5,893,364 (“Haar”), 8,352,003 (“Sawada”). APPLE-1002, 22-31.
`
`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, ¶¶15-207.
`
`6
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`

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`Attorney Docket No. 50095-0043IP1
`IPR of U.S. Patent No. 10,912,502
`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. Accompanying explanations and
`
`support are provided in the Declaration of Dr. Thomas Kenny (APPLE-1003).
`
`APPLE-1003, ¶¶1-209.
`
`Ground
`1A
`
`1B
`
`2A
`
`2B
`
`Claims
`1-3, 5-9, 11-19, and 25-
`27
`
`Basis for Rejection
`§103 over Mendelson-799 in
`combination with Aizawa, Ohsaki,
`Scharf, and Dalke
`4, 10, 20-24, and 28-30 §103 over Mendelson-799 in
`combination with Aizawa, Ohsaki,
`Scharf, Dalke, and Goldsmith
`§103 over Mendelson-799 in
`combination with Aizawa, Kotanagi,
`Scharf, and Dalke
`4, 10, 20-24, and 28-30 §103 over Mendelson-799 in
`combination with Aizawa, Kotanagi,
`Scharf, Dalke, and Goldsmith
`
`1-3, 5-9, 11-19, and 25-
`27
`
`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 ’502
`
`Patent claims priority. Petitioner does not take a position as to whether the ’502
`
`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.
`
`7
`
`

`

`Reference
`
`Attorney Docket No. 50095-0043IP1
`IPR of U.S. Patent No. 10,912,502
`Date
`Section
`
`Mendelson-799
`
`US 6,801,799
`
`10/5/2004 (issued)
`
`Aizawa
`
`Ohsa