UNITED STATES PATENT AND TRADEMARK OFFICE
`
`CERTIFICATE OF CORRECTION
`
`PATENT NO.
`APPLICATION NO.
`
`: 7,421,032 B2
`: 11/542950
`
`DATED
`INVENTOR(S)
`
`: September 2, 2008
`: Hui Jin, Aamod Khandekar and Robert J. McEliece
`
`Page | of1
`
`It is certified that error appears in the above-identified patent and that said Letters Patent is hereby corrected as shown below:
`
`On the Title Page
`
`Item [63], delete:
`“Continuation of application No. 09/861,102, filed on May 18, 2001, now Pat. No. 7,116,710, and a
`continuation-in-part of application No. 09/922,852, filed on Aug. 18, 2000, now Pat. No. 7,089,477.”
`
`Andinsert:
`
`-- Continuation of application No. 09/861,102, filed on May 18, 2001, now Pat. No. 7,116,710. --
`
`In the Specification
`
`Column 1, Line 8, delete:
`“This application is a continuation of U.S. application Ser. No. 09/861,102, filed May 18, 2001, now
`U.S. Pat. No. 7,116,710, which claimsthe priority of U.S. provisional application Scr. No. 60/205,095,
`filed May 18, 2000, and is a continuation-in-part of U.S. application Ser. No. 09/922,852, filed Aug.
`18, 2000, now U.S. Pat. No. 7,089,477.”
`
`Andinsert:
`
`-- This application is a continuation of U.S. application Ser. No. 09/861,102, filed May 18, 2001, now
`U.S. Pat. No. 7,116,710, which claimsthe priority of U.S. provisional application Ser. No. 60/205,095,
`filed May 18, 2000.--
`
`Signed and Sealed this
`Thirty-first Day of May, 2022
`
`ornevine YelaeVidas
`
`Katherine Kelly Vidal
`Director ofthe United States Patent and Trademark Office
`
`Page 1 of 491
`
`SAMSUNG EXHIBIT 1004
`
`Page 1 of 491
`
`SAMSUNG EXHIBIT 1004
`
`

`

`
`
`UNITED STATES PATENT AND TRADEMARKOFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`www.uspto.gov
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`11/542,950
`
`10/03/2006
`
`Hui Jia
`
`6431
`
`Bryan Cave Leighton Paisner LLP
`1290 Avenue Of the Americas
`New York, NY 10104
`
`HA, DAC V
`
`PAPER NUMBER
`
`ART UNIT
`
`2611
`
`NOTIFICATION DATE
`
`DELIVERY MODE
`
`04/06/2022
`
`ELECTRONIC
`
`Please find below and/or attached an Office communication concerning this application or proceeding.
`
`The time period for reply, if any, is sct in the attached communication.
`
`Notice of the Office communication was sent electronically on above-indicated "Notification Date” to the
`following e-mail address(es):
`
`PATENTS-NY @bclplaw.com
`
`PTOL-90A (Rev. 04/07)
`
`Page 2 of 491
`
`Page 2 of 491
`
`

`

`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Commissioner for Patents
`United States Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`www.upto.gov
`
`In re Patent No. 7,421,032
`Issue Date: September 2, 2008
`Application No. 11/542,950
`Filing or 371(c) Date: 3 Oct 2006
`Attorney Docket No.
`
`DECISION ON PETITION
`
`.
`
`This is a decision on the petition under 37 CFR 1.182, filed December 13, 2019, requesting
`issuance of a duplicate Letters Patent and concurrently filed a petition under 1.182 for expedited
`consideration.
`
`Thepetition for expedited considcration under 37 CFR 1.182 is DISMISSED.
`The Office acknowledges the request for expedited handling of the petition for duplicate letters
`patent. However,as the petition was not accorded expedited handling,
`the fee therefor has not
`been charged.
`
`The petition under 37 CFR 1.182 for issuance of a duplicate Letters Patent is GRANTED.
`
`The Office of Data Managementis directed to issue a duplicate Letters Patent.
`
`Telephone inquiries concerning this decision may be directed to Kimberly Inabinet at (571) 272-
`4618.
`Inquiries regarding the issuance of a duplicate Letters Patent may be directed to the Office
`of Data Managementat (571-272-4200).
`
`A copy of this decision is being forwarded to the Publishing Division for issuance of duplicate
`Letters Patent.
`
`/KIMBERLY A INABINET/
`Paralegal Specialist, OPET
`
`Page 3 of 491
`
`Page 3 of 491
`
`

`

`Application No. 11/542,950
`
`Page 2
`
`cc:
`
`Charles C. Hagadorn, II
`Wilson, Sonsini, Goodrich & Rosati
`650 Page Mill Road
`Palo Alto, CA 94304-1050
`
`cc: Rochaun Hardwick (Fax - 571-270-9958)
`
`Page 4 of 491
`
`Page 4 of 491
`
`

`

`Transmittal Communication on
`itl
`Petition
`
`Application/Control No.
`
`11542,950
`Deciding Official
`
`HA, DAC V
`
`Applicant(s)/Patent Under
`Reexamination
`Jin etal.
`Office of
`Petitions
`OPET
`
`Application/Patent.
`
`-- The MAILING DATEof this communication appears on the cover sheet with the correspondence address. --
`
`(ADDITIONAL PARTY'S CORRESPONDENCE ADDRESS)
`
`Charles C. Hagadom, Ill
`Wilson, Sonsini, Goodrich & Rosati
`650 Page Mill Road
`Palo Alto, CA 94304-1050
`
`Enclosedis a copy of the latest communication from the United States Patent and Trademark Office in the above-identified
`
`U.S. Patent and Trademark Office
`Rev. 8/2013
`
`Part of Paper No. 20220406
`
`Page 5 of 491
`
`Page 5 of 491
`
`

`

`
`
`Pocument Code WPFEE
`
`User :C4aa7s
`
`United States Patent and Trademark Office
`Offtce ef the Chief Minencit! Qfiser
`
`Effective Date
`12/13/2019
`
`Sale Accounting Date
`04/06/2022
`
`Sale Item Reference Number
`11542950
`
`Document Number
`1202246831401835
`
`Fee Gode
`1462
`
`Fee Code Description
`PETITION FEE- 37 CFR 1.17(F)
`(GROUP 1)
`
`Amount Paid
`$400.00
`
`Payment Method
`DA
`
`Page 6 of 491
`
`Page 6 of 491
`
`

`

`
`
`United States Patent and Trademark Office
`Offtce ef the Chief Minencit! Qfiser
`
`Document Code VWFEE
`
`User :C4aa7s
`
`Mefund Accounting Date:04/0G/2022
`
`Effective Date
`12/13/2019
`
`Sale ltem Reference Number Refund Total
`11542950
`$400.00
`
`Document: Number
`1202246831401835
`
`Amount Paid
`Fee Code Fee Code Description
`1462
`PETITION FEE- 37 CFR $400.00
`1.17(F) (GROUP 1)
`
`Payment Method
`DA
`
`Account: Number
`232415
`
`Page 7 of 491
`
`Page 7 of 491
`
`

`

`PTO/SB/44 (09-07)
`Approved for use through 03/31/2023. OMB 0651-0033
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respondto a collection of information unlessit displays a valid OMB control number.
`Also Form PTO-1 050
`
`UNITED STATES PATENT AND TRADEMARKOFFICE
`CERTIFICATE OF CORRECTION
`
`PATENT NO.
`
`: 7,421,032
`
`APPLICATION NO.: 11/542,950
`
`ISSUE DATE
`
`> September 2, 2008
`
`INVENTOR(S)
`
` : Hui Jin; Aamod Khandekar; Robert J. McEliece
`
`No. 7,116,710, which claims the priority of U.S. provisional application Ser. No. 60/205,095, filed May 18, 2000.
`
`It is certified that an error appears or errors appear in the above-identified patent and that said Letters Patent
`is hereby corrected as shown below:
`
`On the cover page in the "Related U.S. Application Data" section, the sentence reading
`
`"Continuation of application No. 09/861,102, filed on May 18, 2001, now Pat. No. 7,116,710, and a continuation-
`in-part of application No. 09/922,852, filed on Aug. 18, 2000, now Pat. No. 7,089,477."
`
`should read
`
`-- Continuation of application No. 09/861,102, filed on May 18, 2001, now Pat. No. 7,116,710. --
`
`At column 1, line 8, the sentence reading
`
`"This application is a continuation of U.S. application Ser. No. 09/861,102, filed May 18, 2001, now U.S. Pat.
`No. 7,116,710, which claims the priority of U.S. provisional application Ser. No. 60/205,095, filed May 18, 2000,
`and is a continuation-in-part of U.S. application Ser. No. 09/922,852, filed Aug. 18, 2000, now U.S. Pat. No.
`7,089,477."
`
`should read
`
`-- This application is a continuation of U.S. application Ser. No. 09/861 ,102, filed May 18, 2001, now U.S. Pat.
`
`MAILING ADDRESS OF SENDER (Please do not use Customer Number below):
`Kevin C. Hooper
`BRYAN CAVE LEIGHTON PAISNER LLP
`1290 Avenue of the Americas
`New York, NY 10104
`This collection of information is required by 37 CFR 1.322, 1.323, and 1.324. The information is required to obtain or retain a benefit by the public which is to file
`(and by the USPTOto process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 1.0 hour to
`complete, including gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any
`comments on the amountof time you require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer,
`U.S. Patent and Trademark Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED
`FORMS TO THIS ADDRESS. SEND TO: Attention Certificate of Corrections Branch, Commissioner for Patents, P.O. Box 1450, Alexandria,
`VA 22313-1450.
`
`if you need assistance in completing the form, call 1-800-PTO-9199 and select option 2.
`
`Page 8 of 491
`
`Page 8 of 491
`
`

`

`Privacy Act Statement
`
`The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection
`with your submission of the attached form related to a patent application or patent. Accordingly,
`pursuantto the requirements of the Act, please be advised that: (1) the general authority for the
`collection of this information is 35 U.S.C. 2(b)(2); (2) furnishing of the information solicited is voluntary;
`and (3) the principal purpose for which the information is used by the U.S. Patent and Trademark
`Office is to process and/or examine your submission related to a patent application or patent. If you do
`not furnish the requested information, the U.S. Patent and Trademark Office may not be able to
`process and/or examine your submission, which mayresult in termination of proceedings or
`abandonmentof the application or expiration of the patent.
`
`The information provided by you in this form will be subject to the following routine uses:
`
`1.
`
`The information on this form will be treated confidentially to the extent allowed under the
`Freedom ofInformation Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 552a). Records from
`this system of records may be disclosed to the Departmentof Justice to determine whether
`disclosure of these records is required by the Freedom of Information Act.
`A record from this system of records may be disclosed, as a routine use, in the course of
`presenting evidence to a court, magistrate, or administrative tribunal, including disclosures to
`opposing counsel in the course of settlement negotiations.
`A record in this system of records may be disclosed, as a routine use, to a Member of
`Congress submitting a request involving an individual, to whom the record pertains, when the
`individual has requested assistance from the Member with respect to the subject matter of the
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`
`A record in this system of records may bedisclosed, as a routine use, to a contractor of the
`Agency having needfor the information in order to perform a contract. Recipients of
`information shall be required to comply with the requirements of the Privacy Act of 1974, as
`amended, pursuant to 5 U.S.C. 552a(m).
`A record related to an International Application filed under the Patent Cooperation Treaty in
`this system of records may be disclosed, as a routine use, to the International Bureau of the
`World Intellectual Property Organization, pursuant to the Patent Cooperation Treaty.
`A record in this system of records may be disclosed, as a routine use, to another federal
`agency for purposes of National Security review (85 U.S.C. 181) and for review pursuant to
`the Atomic Energy Act (42 U.S.C. 218(c)).
`A record from this system of records may be disclosed, as a routine use, to the Administrator,
`General Services, or his/her designee, during an inspection of records conducted by GSA as
`part of that agency’s responsibility to recommend improvements in records management
`practices and programs, under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall
`be made in accordancewith the GSA regulations governing inspection of records for this
`purpose, and any other relevant (.e., GSA or Commerce) directive. Such disclosure shall not
`be used to make determinations aboutindividuals.
`
`A record from this system of records may be disclosed, as a routine use, to the public after
`either publication of the application pursuant to 35 U.S.C. 122(b) or issuance of a patent
`pursuant to 35 U.S.C. 151. Further, a record may be disclosed, subject to the limitations of 37
`CFR 1.14, as a routine use, to the public if the record wasfiled in an application which
`became abandonedor in which the proceedings were terminated and which application is
`referenced by either a published application, an application open to public inspection or an
`issued patent.
`A record from this system of records may be disclosed, as a routine use, to a Federal, State,
`or local law enforcement agency, if the USPTO becomes awareof a violation or potential
`violation of law or regulation.
`
`Page 9 of 491
`
`Page 9 of 491
`
`

`

`Electronic Patent Application Fee Transmittal
`
`Application Number:
`
`Filing Date:
`
`11542950
`
`03-Oct-2006
`
`Title of Invention:
`
`SERIAL CONCATENATION OF INTERLEAVED CONVOLUTIONAL CODES
`FORMING TURBO-LIKE CODES
`
`
`
`First Named Inventor/Applicant Name:
`
`Attorney Docket Number:
`
`CIT 3220-C
`
`Filed as Large Entity
`
`Filing Fees for Utility under 35 USC 111(a)
`
`|
`
`.
`
`Sub-Total in
`
`Basic Filing:
`
`Claims:
`
`
`flee Finan Richare FMepatrick’Teresa Rodriguez
`
`
`
`Miscellaneous-Filing:
`
`Patent-Appeals-and-Interference:
`
`Post-Allowance-and-Post-Issuance:
`
`CERTIFICATE OF CORRECTION
`
`1811
`
`1
`
`160
`
`160
`
`Page 10 of 491
`
`Page 10 of 491
`
`

`

`Extension-of-Time:
`
`Total in USD (S$)
`
`Miscellaneous:
`
`Page 11 of 491
`
`Page 11 of 491
`
`

`

`Electronic AcknowledgementReceipt
`
`45280869
`EFS ID:
`
`
`Application Number:
`
`11542950
`
`Title of Invention:
`
`SERIAL CONCATENATION OF INTERLEAVED CONVOLUTIONAL CODES
`FORMING TURBO-LIKE CODES
`
`
`
`ei
`
`
`
`Attorney Docket Number: CIT 3220-C
`
`Receipt Date:
`
`21-MAR-2022
`
`Application Type:
`
`Utility under 35 USC 111{a)
`
`Paymentinformation:
`
`37 CFR 1.17 (Patent application and reexamination processing fees)
`
`Authorized User
`
`Teresa Rodriguez
`
`The Director of the USPTOis hereby authorized to charge indicated fees and credit any overpayment as follows:
`
`37 CFR 1.16 (National application filing, search, and examination fees)
`
`Page 12 of 491
`
`Page 12 of 491
`
`

`

`37 CFR 1.19 (Document supply fees)
`
`37 CFR 1.20 (Post Issuance fees)
`
`37 CFR 1.21 (Miscellaneous fees and charges)
`
`
`
`File Listing:
`
`Pages
`Multi
`File Size(Bytes)/
`.
`eas
`Document
`
`Message Digest|Part/.zip| (ifappl
`130390
`
`Transmittal Letter
`
`7421032-Request-for-CoC. pdf 4543bbd36b6b7e3 13f7alfoe65ee3b27366)
`
`Information:
`
`Warnings:
`Information:
`
`647216
`
`Request for Certificate of Correction
`
`CoC-Form-US7421032.pdf
`
`29ad86d19650f4 78cb97bSc6fl c7741a573q
`92d7
`
`2
`
`Warnings:
`Information:
`
`Fee Worksheet (SB06)
`
`fee-info.pdf
`
`9988322281fb40d 1 Se5c888db3622225f0}
`3fde2
`
`Warnings:
`
`
`
`Total Files Size (in bytes) 815729
`
`This Acknowledgement Receipt evidences receipt on the noted date by the USPTOof the indicated documents,
`characterized by the applicant, and including page counts, where applicable.It serves as evidence of receipt similar to a
`Post Card, as described in MPEP 503.
`
`New Applications Under35 U.S.C. 111
`If a new application is being filed and the application includes the necessary componentsfora filing date (see 37 CFR
`1.53(b)-(d) and MPEP 506), a Filing Receipt (37 CFR 1.54) will be issued in due course and the date shownonthis
`Acknowledgement Receiptwill establish thefiling date of the application.
`National Stage of an International Application under 35 U.S.C. 371
`If a timely submission to enter the national stage of an international application is compliant with the conditions of 35
`U.S.C. 371 and other applicable requirements a Form PCT/DO/EO/903indicating acceptanceof the application as a
`national stage submission under 35 U.S.C. 371 will be issued in addition to the Filing Receipt, in due course.
`NewInternational Application Filed with the USPTO as a Receiving Office
`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 1810), a Notification of the International Application Number
`and ofthe 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 Receiptwill establish the international filing date of
`the application.
`
`
`
`Page 13 of 491
`
`Page 13 of 491
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`

`

`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Inre US. Patent No. 7,421,032
`
`Inventors: Hui Jin e¢ al.
`
`Issued:
`
`September 2, 2008
`
`Serial No.:
`
`11/542,950
`
`Filed:
`
`October 3, 2006
`
`For:
`
`SERIAL CONCATENATION OF
`INTERLEAVED CONVOLUTIONAL
`CODES FORMING TURBO-LIKE
`CODES
`
`)
`
`)
`
`)
`
`)
`
`)
`
`)
`
`)
`
`Examiner Dac V. Ha
`
`Art Unit 2611
`
`REQUEST FOR ISSUANCE OF CERTIFICATE OF CORRECTION
`
`March 21, 2022
`
`Attention: Certificate of Corrections Branch
`Commissionerfor Patents
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`Sir:
`
`The issuance of a Certificate of Correction for the above-identified patent as set
`
`forth on the attached PTO/SB/44 form is requested.
`
`The following correction is requested under 37 CFR § 1.323:
`
`Onthe cover page in the "Related U.S. Application Data" section, the sentence
`
`reading
`
`"Continuation of application No. 09/861,102, filed on May 18, 2001, now Pat. No. 7,116,710,
`and a continuation-in-part of application No. 09/922,852, filed on Aug. 18, 2000, now Pat. No.
`7,089,477."
`
`should read
`
`-- Continuation of application No. 09/861,102, filed on May 18, 2001, now Pat. No. 7,116,710. --
`
`Page 14 of 491
`
`Page 14 of 491
`
`

`

`At column1, line 8, the sentence reading
`
`"This application is a continuation of U.S. application Ser. No. 09/861,102, filed May 18, 2001,
`now U.S. Pat. No. 7,116,710, which claimsthe priority of U.S. provisional application Ser. No.
`60/205,095, filed May 18, 2000, and is a continuation-in-part of U.S. application Ser. No.
`09/922,852, filed Aug. 18, 2000, now U.S. Pat. No. 7,089,477."
`
`should read
`
`-- This application is a continuation of U.S. application Ser. No. 09/861,102, filed May 18, 2001,
`now U.S. Pat. No. 7,116,710, which claimsthe priority of U.S. provisional application Ser. No.
`60/205,095, filed May 18, 2000. --
`
`Page 15 of 491
`
`Page 15 of 491
`
`

`

`REMARKS
`
`A Certificate of Correction is requested to correct the foregoing errors under 37
`
`CFR § 1.323.
`
`The inclusion of a reference to U.S. application Ser. No. 09/922,852 was a clerical
`
`mistake/mistake of minor character and its removal does not constitute new matter or require
`
`reexamination. Pursuant to Rule 78(h), a corrected Application Data Sheet is not required with
`
`this paper. See 37 C.F.R. 1.78(h) (The requirement of a specific reference to a prior-filed
`
`application is “satisfied by the presentation of such specific reference in the first sentence(s) of
`
`the specification followingthetitle in a nonprovisional application filed under 35 U.S.C. 111(a)
`
`before September 16, 2012... .”)
`
`For the reason set forth above, we submit that a Certificate of Correction is
`
`appropriate. Accordingly, correction is requested under 37 CFR 1.323. Please charge the
`
`required fee to Deposit Account No. 02-4467.
`
`Prompt issuance of the Certificate of Correction is respectfully requested.
`
`Respectfully submitted,
`
`
`
`—
`;
`;
`this correspondence is being
`I hereby certify that
`transmitted in accordance with 37 CFR §§1.6(a)(4)
`and 1.8 via the U.S. Patent and Trademark Office
`(USPTO) electronic filing system (EFS-Web)
`to:
`
`
`Attention:Hooper/_Certificate of Corrections Branch, By:_/KevinC.
`
`Commissioner For Patents,
`P.O. Box
`1450,
`Kevin C. Hooper
`Alexandria, VA 22313-1450, on March 21, 2022.
`Registration No. 40,402
`BRYAN CAVE LEIGHTON
`
`PAISNER LLP
`/ Teresa C. Rodriguez /
`Teresa C. Rodriguez
`1290 Avenueof the Americas
`New York, NY 10104-3300
`Ph:
`(212) 541-2000
`Fx:
`(212) 541-4630
`kchooper@bclplaw.com
`
`Page 16 of 491
`
`Page 16 of 491
`
`

`

`PTO/SB/81A (12-08)
`Approved for use through 03/31/2021. OMB 0651-0035
`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 displays a valid OMB control number
`Patent Number
`
`PATENT - POWER OF ATTORNEY
`
`OR
`REVOCATION OF POWER OF ATTORNEY
`WITH A NEW POWEROF ATTORNEY
`AND
`CHANGE OF CORRESPONDENCE ADDRESS
`
`First Named Inventor
`Title
`
`;
`Serial C
`tenali
`erial Concatenation o
`Interleaved Convolutional Codes
`Forming Turbo-Like Codes
`
`| hereby revokeall previous powersof attorney given in the above-identified patent.
`
`[| A Power of Attorney is submitted herewith.
`R | hereby appoint Practitioner(s) associated with the Customer Numberidentified in the box at right as my/our
`attorney(s) or agent(s) with respect to the patent identified above, and to transact all business in the United
`States Patent and Trademark Office connected therewith:
`
`83559
`
`
`
`
`Please recognize or change the correspondence addressfor the above-identified patent to:
`
`ml The address associated with the above-identified Customer Number.
`
`OR[|TheaddressassociatedwiththeCustomerNumberidentifiedintheboxatright: |
`
`OR
`Cl Firm or
`Individual Name
`Address
`
`OR
`Cl | hereby appoint Practitioner(s) named below as my/ourattorney(s) or agent(s) with respect ta the patentidentified above, and to transact
`all business in the United States Patent and Trademark Office connected therewith:
`Practitioner(s) Name
`Registration Number
`
`forms are submitted.
`
`
`
`
`
`
`
`
`City
`
`Country
`Telephone
`lam the:
`[| Inventor, having ownership of the patent.
`OR
`Patent owner.
`Statement under 37 CFR 3.73(b) (Form PTO/SB/96) submitted herewith or filed on
`SIGNATUREofInventor or Patent Owner
`
`
`Signature
`;
`Date
`3/18/2022
`
`
`
`Name Telephone|626-395-3058Fred Farina °
`Title and Company|Chicf Innovation and Corporate Partnerships Officer
`NOTE: Signaturesof all the inventors or patent ownersof the entire interest or their representative(s) are required. If more than one signature
`is required, submit multiple forms, check the box below,and identify the total number of forms submitted in the blank below.
`[m| A total of 1
`This collection of information is required by 37 CFR 1.31, 1.32, and 1.33. The information is required to obtain or retain a benefit by the public, which is to update
`(and by the USPTOto process)the file of a patent or reexamination proceeding. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is
`estimated to take 15 minutes to complete, including gathering, preparing, and submitting the completed application form to the USPTO. Timewill vary depending
`upontheindividual case. Any comments on the amountof time you require to complete this form and/or suggestions for reducing this burden, should be sent to
`the Chief Information Officer, U.S. Patent and Trademark Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR
`COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissionerfor Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`If you need assistance in completing the form, calf 1-800-PTO-9199 and select option 2.
`
`Page 17 of 491
`
`Page 17 of 491
`
`

`

`Privacy Act Statement
`
`The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection with your
`submission of the attached form related to a patent application or patent. Accordingly, pursuant to the
`requirements of the Act, please be advised that: (1) the general authority for the collection of this information is
`35 U.S.C. 2(b)(2); (2) furnishing of the information solicited is voluntary; and (3) the principal purpose for which
`the information is used by the U.S. Patent and Trademark Office is to process and/or examine your submission
`related to a patent application or patent.
`If you do not furnish the requested information, the U.S. Patent and
`Trademark Office may not be able to process and/or examine your submission, which may result in termination
`of proceedings or abandonmentof the application or expiration of the patent.
`
`The information provided by you in this form will be subject to the following routine uses:
`
`1.
`
`The information on this form will be treated confidentially to the extent allowed under the Freedom of
`Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 552a). Recordsfrom this system of records
`may be disclosed to the Department of Justice to determine whether disclosure of these records is
`required by the Freedom of Information Act.
`A record from this system of records may be disclosed, as a routine use, in the course of presenting
`evidence to a court, magistrate, or administrative tribunal, including disclosures to opposing counsel in
`the course of settlement negotiations.
`A record in this system of records may be disclosed, as a routine use, to a Member of Congress
`submitting a request involving an individual, to whom the record pertains, when the individual has
`requested assistance from the Member with respect to the subject matter of the record.
`A record in this system of records may be disclosed, as a routine use, to a contractor of the Agency
`having need for the information in order to perform a contract. Recipients of information shall be required
`to comply with the requirements of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C. 552a(m).
`A record related to an International Application filed under the Patent Cooperation Treaty in this system
`of records may be disclosed, as a routine use, to the International Bureau of the World Intellectual
`Property Organization, pursuant to the Patent Cooperation Treaty.
`A record in this system of records may be disclosed, as a routine use, to another federal agency for
`purposes of National Security review (35 U.S.C. 181) and for review pursuant to the Atomic Energy Act
`(42 U.S.C. 218(c)).
`A record from this system of records may be disclosed, as a routine use, to the Administrator, General
`Services, or his/her designee, during an inspection of records conducted by GSAaspart of that agency’s
`responsibility to recommend improvements in records management practices and programs, under
`authority of 44 U.S.C. 2904 and 2906. Such disclosure shall be made in accordance with the GSA
`regulations governing inspection of records for this purpose, and any other relevant (1e., GSA or
`Commerce) directive. Such disclosure shall not be used to make determinations aboutindividuals.
`A record from this system of records may be disclosed, as a routine use, to the public after either
`publication of the application pursuant to 35 U.S.C. 122(b) or issuance of a patent pursuant to 35 U.S.C.
`151. Further, a record may be disclosed, subject to the limitations of 37 CFR 1.14, as a routine use, to
`the public if the record wasfiled in an application which became abandonedor in which the proceedings
`were terminated and which application is referenced by either a published application, an application
`open to public inspection or an issued patent.
`A record from this system of records may bedisclosed, as a routine use, to a Federal, State, or local law
`enforcement agency,
`if the USPTO becomes aware of a violation or potential violation of law or
`regulation.
`
`Page 18 of 491
`
`Page 18 of 491
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`

`

`PTO/SB/96 (11-18)
`Approvedfor use through 11/30/2020. OMB 0651-0031
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respondto a collection of information unlessit displays a valid OMB control number.
`
`
`
`STATEMENTUNDER37CFR3.73(b)
`
`Applicant/Patent Owner: California Institute of Technology
`
`Application No./Patent No.; 7,421,032
`Filed/Issue Date: September2, 2008
`Titled: SERIAL CONCATENATION OF INTERLEAVED CONVOLUTIONAL CODES FORMING
`TURBO-LIKE CODES
`
`California Institute of Technology
`(Nameof Assignee)
`
`non-profit corporation
`(Type of Assignee, e.g., corporation, partnership, university, government agency,etc.
`
`states thatit is:
`
`[Ml]
`
`the assigneeof the entireright,title, and interest in;
`
`2.[] an assigneeof less than the entire right, title, and interest in
`(The extent (by percentage)of its ownership interestis
`%); or
`
`
`
`the assignee of an undividedinterest in the entirety of (a complete assignment from oneof the joint inventors was made)
`3. [|
`the patent application/patent identified above, by virtue of either:
`
`A.
`
`(ml
`
`An assignmentfrom the inventor(s) of the patent application/patent identified above. The assignment was recordedin
`the United States Patent and Trademark Office at Reel_018470
`, Frame_0321
`, of a copy*
`is attached.
`
`OR
`
`B. [|
`
`A chain oftitle from the inventor(s), of the patent application/patent identified above, to the current assignee as follows:
`1. From:
`To:
`
`The document was recordedin the United States Patent and TrademarkOffice at
`
`Reel
`
`,
`
`Frame
`
`,
`
`oracopy* is attached.
`
`2. From:
`
`To:
`
`The document was recordedin the United States Patent and Trademark Office at
`
`Reel
`
`,
`
`Frame
`
`,
`
`oracopy’is attached.
`
`3. From:
`
`To:
`
`The document was recordedin the United States Patent and TrademarkOffice at
`
`Reel
`
`,
`
`Frame
`
`,
`
`OoOracopy* is attached.
`
`[|
`
`Additional documents in the chain oftitle are listed on a supplemental sheet(s).
`
`if a copy/copies is/are attached, the documentary evidence of the chain oftitle from the
`*As required by 37 CFR 3.73(6)(1)(i),
`original owner to the assignee was, or concurrently is being, submitted for recordation pursuant to 37 CFR 3.11.
`
`[NOTE: A separate copy (/.e., a true copy of the original assignment document(s)) must be submitted to Assignment Division in
`accordance with 37 CFR Part 3, to record the assignmentin the records of the USPTO. See MPEP 302]
`
`The undersigned (whosetitle is supplied below) is authorized to act on behalf of the assignee.
`/Kevin C. Hooper/
`“Signature
`
`March 21, 2022
`Date
`
`
`40,402
`Kevin C. Hooper
`Title or Registration Number
`Printed or Typed Name
`This collection of information is required by 37 CFR 3.73(b). The information is required to obtain or retain a benefit by the public whichis to file (and by the USPTO to
`process) an application. Confidentiality is govemed by 35 U.S.C. 122 and 37 CFR 1.11 and 1.14. This collection is estimated to take 12 minutes to complete, including
`gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any comments on the amountof time
`you require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent and TrademarkOffice, U.S.
`Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMSTO THIS ADDRESS. SEND TO: Commissioner
`for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`ifyou need assistance in completing the form, call 1-800-PTO-9199 and select option 2.
`
`Page 19 of 491
`
`Page 19 of 491
`
`

`

`Privacy Act Statement
`
`The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection
`with your submission of the attached form related to a patent application or patent. Accordingly,
`pursuant to the requirements of the Act, please be advised that:
`(1) the general authority for the
`collection of this information is 35 U.S.C. 2(b)(2); (2) furnishing of the information solicited is voluntary;
`and (3) the principal purpose for which the information is used by the U.S. Patent and Trademark
`Office is to process and/or examine your submission related to a patent application or patent. If you do
`not furnish the requested information, the U.S. Patent and Trademark Office may not be able to
`process and/or examine your submission, which may result in termination of proceedings or
`abandonmentof the application or expiration of the patent.
`
`The information provided by you in this form will be subject to the following routine uses:
`
`1.
`
`The information on this form will be treated confidentially to the extent allowed under the
`Freedom ofInformation Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 552a). Records from
`this system of records may be disclosed to the Department of Justice to determine whether
`disclosure of these records is required by the Freedom ofInformation Act.
`in the course of
`A record from this system of records may be disclosed, as a routine use,
`presenting evidence to a court, magistrate, or administrative tribunal, including disclosures to
`opposing counsel in the course of settlement negotiations.
`to a Member of
`A record in this system of records may be disclosed, as a routine use,
`Congress submitting a request involving an individual, to whom the record pertains, when the
`individual has requested assistance from the Member with respect to the subject matter of the
`record.
`A record in this system of records maybe disclosed, as a routine use, to a contractor of the
`Agency having needfor the information in order to perform a contract. Recipients of
`information shall be required to comply with the requirements of the Priva