UNITED STATES PATENT AND TRADEMARK OFFIGE
`
`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
`NUMBER
`62/521,170
`
`FILING or
`371(c) DATE
`06/16/2017
`
`GRP ART
`UNIT
`
`FIL FEE REC'D
`260
`
`136309
`Vierra Magen Marcus/Futurewei
`575 Market Street
`Suite 3750
`San Francisco, CA 94105
`
`ATTY.DOCKET.NO
`FTRW-01170US0
`
`TOT CLAIMSJIND CLAIMS
`
`CONFIRMATION NO. 9896
`FILING RECEIPT
`
`I
`
`Date Mailed: 06/23/2017
`
`It will not be examined for patentability and will
`Receipt is acknowledged of this provisional patent application.
`become abandoned not later than twelve months after its filing date. Any correspondence concerning the application
`must include the following identification information: the U.S. APPLICATION NUMBER, FILING DATE, NAME OF
`APPLICANT, and TITLE OF INVENTION. Fees transmitted by check or draft are subject to collection. Please verify
`the accuracy of the data presented on this receipt. If an error is noted on this Filing Receipt, please submit
`a written request for a Filing Receipt Correction. Please provide a copy of this Filing Receipt with the
`changes noted thereon. If you received a "Notice to File Missing Parts" for this application, please submit
`any corrections to this Filing Receipt with your reply to the Notice. When the USPTO processes the reply
`to the Notice, the USPTO will generate another Filing Receipt incorporating the requested corrections
`Inventor(s)
`
`Applicant(s)
`
`Bin Liu, San Diego, CA;
`Pengfei Xia, San Diego, CA;
`Richard Stirling Gallacher, San Diego, CA;
`Futurewei Technologies, Inc., Plano, TX
`Power of Attorney:
`Kevin Spivak--43148
`
`Permission to Access Application via Priority Document Exchange: Yes
`Permission to Access Search Results: Yes
`
`Applicant may provide or rescind an authorization for access using Form PTO/SB/39 or Form PTO/SB/69 as
`appropriate.
`
`If Required, Foreign Filing License Granted: 06/22/2017
`The country code and number of your priority application, to be used for filing abroad under the Paris Convention,
`is US 62/521,170
`Projected Publication Date: None, application is not eligible for pre-grant publication
`Non-Publication Request: No
`Early Publication Request: No
`
`page 1 of 3
`
`Samsung Exhibit 1014, Page 1 of 65
`
`

`

`Title
`
`METHOD FOR RESPONSE TO PUCCH-BASED BEAM FAILURE RECOVERY REQUEST
`Statement under 37 CFR 1.55 or 1.78 for AIA (First Inventor to File) Transition Applications: No
`PROTECTING YOUR INVENTION OUTSIDE THE UNITED STATES
`
`Since the rights granted by a U.S. patent extend only throughout the territory of the United States and have no
`effect in a foreign country, an inventor who wishes patent protection in another country must apply for a patent
`in a specific country or in regional patent offices. Applicants may wish to consider the filing of an international
`application under the Patent Cooperation Treaty (PCT). An international (PCT) application generally has the same
`effect as a regular national patent application in each PCT-member country. The PCT process simplifies the filing
`of patent applications on the same invention in member countries, but does not result in a grant of "an international
`patent" and does not eliminate the need of applicants to file additional documents and fees in countries where patent
`protection is desired.
`
`Almost every country has its own patent law, and a person desiring a patent in a particular country must make an
`application for patent in that country in accordance with its particular laws. Since the laws of many countries differ
`in various respects from the patent law of the United States, applicants are advised to seek guidance from specific
`foreign countries to ensure that patent rights are not lost prematurely.
`
`Applicants also are advised that in the case of inventions made in the United States, the Director of the USPTO must
`issue a license before applicants can apply for a patent in a foreign country. The filing of a U.S. patent application
`serves as a request for a foreign filing license. The application's filing receipt contains further information and
`guidance as to the status of applicant's license for foreign filing.
`
`Applicants may wish to consult the USPTO booklet, "General Information Concerning Patents" (specifically, the
`section entitled "Treaties and Foreign Patents") for more information on timeframes and deadlines for filing foreign
`patent applications. The guide is available either by contacting the USPTO Contact Center at 800-786-9199, or it
`can be viewed on the USPTO website at http://www.uspto.gov/web/offices/pac/doc/general/index.html.
`
`For information on preventing theft of your intellectual property (patents, trademarks and copyrights), you may wish
`to consult the U.S. Government website, http://www.stopfakes.gov. Part of
`a Department of Commerce initiative,
`this website includes self-help "toolkits" giving innovators guidance on how to protect intellectual property in specific
`countries such as China, Korea and Mexico. For questions regarding patent enforcement issues, applicants may
`call the U.S. Government hotline at 1-866-999-HALT (1-866-999-4258).
`
`LICENSE FOR FOREIGN FILING UNDER
`Title 35, United States Code, Section 184
`Title 37, Code of Federal Regulations, 5.11 & 5.15
`
`GRANTED
`if the phrase "IF REQUIRED, FOREIGN FILING
`The applicant has been granted a license under 35 U.S.C. 184,
`LICENSE GRANTED" followed by a date appears on this form. Such licenses are issued in all applications where
`the conditions for issuance of a license have been met, regardless of whether or not a license may be required as
`set forth in 37 CFR 5.15. The scope and limitations of this license are set forth in 371 CFR 5.15(a) unless an earlier
`page 2 of 3
`
`Samsung Exhibit 1014, Page 2 of 65
`
`

`

`license has been issued under 37 CFR 5.15(b). The license is subject to revocation upon written notification. The
`date indicated is the effective date of the license, unless an earlier license of similar scope has been granted under
`37 CFR 5.13 or 5.14.
`
`This license is to be retained by the licensee and may be used at any timeonor after the effective date thereof unless
`it is revoked. This license is automatically transferred to any related applications(s) filed under 37 CFR 1.53(d). This
`license is not retroactive.
`
`The grant of a license does not in any way lessen the responsibility of a licensee for the security of the subject matter
`as imposed by any Government contract or the provisions of existing laws relating to espionage and the national
`security or the export of technical data. Licensees should apprise themselves of current regulations especially with
`respect to certain countries, of other agencies, particularly the Office of Defense Trade Controls, Department of
`State (with respect to Arms, Munitions and Implements of War (22 CFR 121-128)); the Bureau of Industry and
`Security, Department of Commerce (15 CFR parts 730-774); the Office of Foreign AssetsControl, Department of
`Treasury (31 CFR Parts 500+) and the Department of Energy.
`NOT GRANTED
`if the phrase "IF REQUIRED, FOREIGN FILING
`No license under 35 U.S.C. 184 has been granted at this time,
`LICENSE GRANTED" DOES NOT appear on this form. Applicant may still petition for a license under 37 CFR 5.12,
`if a license is desired before the expiration of 6 months from the filing date of the application. If 6 months has lapsed
`from the filing date of this application and the licensee has not received any indication of a secrecy order under 35
`U.S.C. 181, the licensee may foreign file the application pursuant to 37 CFR 5.15(b).
`
`6
`
`6
`
`SelectuUSA
`
`The United States represents the largest, most dynamic marketplace in the world and is an unparalleled location for
`business investment, innovation, and commercialization of new technologies. The U.S. offers tremendous resources
`and advantages for those who invest and manufacture goods here. Through SelectUSA, our nation works to
`promote and facilitate business investment. SelectUSA provides information assistance to the international investor
`community; serves as an ombudsman for existing and potential investors; advocates on behalf of U.S. cities, states,
`and regions competing for global investment; and counsels U.S. economic development organizations on investment
`attraction best practices. To learn more about why the United States is the best country in the world to develop
`technology, manufacture products, deliver services, and grow your business, visit http://www.SelectUSA.gov or call
`+1-202-482-6800.
`
`page 3 of 3
`
`Samsung Exhibit 1014, Page 3 of 65
`
`

`

`Amended ADS
`
`PTO/AIA/14 (11-15)
`Approved for use through 04/30/2017. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`Application Number
`
`FTRW-01170US0
`
`62/521,170
`
`Title of Invention
`
`METHOD FOR RESPONSE TO PUCCH-BASED BEAM FAILURE RECOVERY REQUEST
`
`The application data sheet is part of the provisional or nonprovisional application for which it is being submitted. The following form contains the
`bibliographic data arranged in a format specified by the United States Patent and Trademark Office as outlined in 37 CFR 1.76.
`This document may be completed electronically and submitted to the Office in electronic format using the Electronic Filing System (EFS) or the
`document may be printed and included in a paper filed application.
`
`Secrecy Order 37 CFR 5.2:
`Portions or all of the application associated with this Application Data Sheet may fall under a Secrecy Order pursuant to
`L1 37 CFR 5.2 (Paper filers only. Applications that fall under Secrecy Order may not be filed electronically.)
`Inventor Information:
`Inventor
`Legal Name
`Prefix Given Name
`Bin
`Residence Information (Select One)
`San Diego
`City
`
`Middle Name
`
`Family Name
`Liu
`(@) US Residency © Non US Residency
`Active US Military Service
`State/Province
`CA
`Country of Residence
`US
`
`Suffix
`
`1
`
`Mailing Address of Inventor:
`Address 1
`5340 Legacy Drive
`Address 2
`Suite 175
`City
`Postal Code
`
`75024
`
`Plano
`
`State/Province
`US
`Country :
`
`™
`
`2
`
`Inventor
`Legal Name
`Prefix Given Name
`
`Pengfei
`
`Middle Name
`
`Family Name
`Xia
`Residence Information (Select One) @ US Residency © Non US Residency
`(©) Active US Military Service
`State/Province
`CA
`Country of Residence
`US
`San Diego
`City
`
`Mailing Address of Inventor:
`Address 1
`5340 Legacy Drive
`Address 2
`Suite 175
`City
`Postal Code
`
`750024
`
`Plano
`
`State/Province
`US
`Country
`
`TX
`
`3
`
`Inventor
`Legal Name
`Prefix Given Name
`Richard
`
`Family Name
`Gallasker Stirling-Gallacher
`~Stiiing
`Residence Information (Select One) @) US Residency © Non US Residency
`Active US Military Service
`
`Middle Name
`
`EFS Web 2.2.12
`
`Suffix
`
`Suffix
`
`Samsung Exhibit 1014, Page 4 of 65
`
`

`

`Amended ADS
`
`PTO/AIA/14 (11-15)
`Approved for use through 04/30/2017. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`FTRW-01170US0
`Attorney Docket Number
`Application Data Sheet 37 CFR 1.76
`62/521 .170.
`Application Number
`
`Title of Invention
`
`METHOD FOR RESPONSE TO PUCCH-BASED BEAM FAILURE RECOVERY REQUEST
`
`City
`
`San Diego
`
`State/Province
`
`CA
`
`Country of Residence
`
`US
`
`Plano
`
`TX
`
`Mailing Address of Inventor:
`Address 1
`5340 Legacy Drive
`Address 2
`Suite 175
`State/Province
`City
`Postal Code
`US
`750024
`Country
`Inventor Information blocks may be
`Inventors Must Be Listed - Additional
`All
`generated within this form by selecting the Add button.
`Correspondence Information:
`Enter either Customer Number or complete the Correspondence Information section below.
`For further information see 37 CFR 1.33(a).
`[_] An Address is being provided for the correspondence Information of this application.
`Customer Number
`136309
`Email Address
`
`patents@vierramagen.com
`
`fe
`
`Ris
`
`gets
`
`Application Information:
`METHOD FOR RESPONSE TO PUCCH-BASED BEAM FAILURE RECOVERY REQUEST
`Title of the Invention
`Small Entity Status Claimed
`Attorney Docket Number
`FTRW-01170US0
`Application Type
`Subject Matter
`Utility
`Total Number of Drawing Sheets (if any)
`Filing By Reference:
`Only complete this section when filing an application by reference under 35 U.S.C. 111(c) and 37 CFR 1.57(a). Do not complete this section if
`application papers including a specification and any drawings are being filed. Any domestic benefit or foreign priority information must be
`provided in the appropriate section(s) below (i.e., "Domestic Benefit/National Stage Information" and "Foreign Priority Information").
`
`7
`
`Suggested Figure for Publication (if any)
`
`Provisional
`
`For the purposes off a filing date under 37 CFR 1.53(b), the description and any drawings of the present application are replaced by this
`reference to the previously filed application, subject to conditions and requirements of 37 CFR 1.57(a).
`Application number of the previously
`Filing date (YYYY-MM-DD)
`Intellectual Property Authority or Country
`filed application
`
`Publication Information:
`Request Early Publication (Fee required at time of Request 37 CFR 1.219)
`Request Not to Publish. | hereby request that the attached application not be published under
`35 U.S.C. 122(b) and certify that the invention disclosed in the attached application has not and will not be the
`subject of an application filed in another country, or under a multilateral international agreement, that requires
`publication at eighteen months after filing.
`EFS Web 2.2.12
`
`L1
`
`Samsung Exhibit 1014, Page 5 of 65
`
`

`

`Amended ADS
`
`PTO/AIA/14 (11-15)
`Approved for use through 04/30/2017. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`FTRW-01170US0
`Attorney Docket Number
`Application Data Sheet 37 CFR 1.76
`Application Number
`
`82(921,170
`
`Title of Invention
`
`METHOD FOR RESPONSE TO PUCCH-BASED BEAM FAILURE RECOVERY REQUEST
`
`Representative Information:
`
`Representative information should be provided for all practitioners having a power of attorney in the application. Providing
`this information in the Application Data Sheet does not constitute a power of attorney in the application (see 37 CFR 1.32).
`Either enter Customer Number or complete the Representative Name section below.
`If both sections are completed the customer
`Number will be used for the Representative Information during processing.
`
`Please Select One:
`Customer Number
`
`(@) Customer Number
`136309
`
`© US Patent Practitioner © Limited Recognition (37 CFR 11.9)
`
`Domestic Benefit/National Stage Information:
`This section allows for the applicant to either claim benefit under 35 U.S.C. 119(e), 120, 121, 365(c), or 386(c) or indicate
`National Stage entry from a PCT application. Providing benefit claim information in the Application Data Sheet constitutes
`the specific reference required by 35 U.S.C. 119(e) or 120, and 37 CFR 1.78.
`When referring to the current application, please leave the "Application Number" field blank.
`Prior Application Status
`
`Application Number
`
`Continuity Type
`
`Prior Application Number
`
`Filing or 371(c) Date
`(YYYY-MM-DD)
`
`Additional Domestic Benefit/National Stage Data may be generated within this form
`by selecting the Add button.
`
`Foreign Priority Information:
`This section allows for the applicant to claim priority to a foreign application. Providing this information in the application data sheet
`constitutes the claim for priority as required by 35 U.S.C. 119(b) and 37 CFR 1.55. When priority is claimed to a foreign application
`that is eligible for retrieval under the priority document exchange program (PDX) the information will be used by the Office to
`automatically attempt retrieval pursuant to 37 CFR 1.55(i)(1) and (2). Under the PDX program, applicant bears the ultimate
`responsibility for ensuring that a copy of the foreign application is received by the Office from the participating foreign intellectual
`property office, or a certified copy of the foreign priority application is filed, within the time period specified in 37 CFR 1.55(g)(1).
`
`Application Number
`
`Country'
`
`Filing Date (YYYY-MM-DD)
`
`Access Code! (if applicable)
`
`Additional Foreign Priority Data may be generated within this form by selecting the
`Add button.
`
`EFS Web 2.2.12
`
`Samsung Exhibit 1014, Page 6 of 65
`
`

`

`Amended ADS
`
`PTO/AIA/14 (11-15)
`Approved for use through 04/30/2017. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`FTRW-01170US0
`Attorney Docket Number
`Application Data Sheet 37 CFR 1.76
`82/521,170
`Application Number
`
`Title of Invention
`
`METHOD FOR RESPONSE TO PUCCH-BASED BEAM FAILURE RECOVERY REQUEST
`
`Statement under 37 CFR 1.55 or 1.78 for AIA (First Inventor to File) Transition
`Applications
`This application (1) claims priority to or the benefit of an application filed before March 16, 2013 and (2) also
`contains, or contained at any time, a claim to a claimed invention that has an effective filing date on or after March
`16, 2013.
`NOTE: By providing this statement under 37 CFR 1.55 or 1.78, this application, with a filing date on or after March
`16, 2013, will be examined under the first inventor to file provisions of the AIA.
`
`EFS Web 2.2.12
`
`Samsung Exhibit 1014, Page 7 of 65
`
`

`

`Amended ADS
`
`PTO/AIA/14 (11-15)
`Approved for use through 04/30/2017. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`FTRW-01170US0
`Attorney Docket Number
`Application Data Sheet 37 CFR 1.76
`621521 .170
`Application Number
`
`Title of Invention
`
`METHOD FOR RESPONSE TO PUCCH-BASED BEAM FAILURE RECOVERY REQUEST
`
`Authorization or Opt-Out of Authorization to Permit Access:
`
`When this Application Data Sheet is properly signed and filed with the application, applicant has provided written
`authority to permit a participating foreign intellectual property (IP) office access to the instant application-as-filed (see
`paragraph A in subsection 1 below) and the European Patent Office (EPO) access to any search results from the instant
`application (see paragraph B in subsection 1 below).
`
`Should applicant choose not to provide an authorization identified in subsection 1 below, applicant must opt-out of the
`authorization by checking the corresponding box A or B or both in subsection 2 below.
`NOTE: This section of the Application Data Sheet is ONLY reviewed and processed with the INITIAL filing of an
`application. After the initial filing of an application, an Application Data Sheet cannot be used to provide or rescind
`authorization for access by a foreign IP office(s)
`Instead, Form PTO/SB/39 or PTO/SB/69 must be used as appropriate.
`
`1. Authorization to Permit Access by a Foreign Intellectual Property Office(s)
`A. Priority Document Exchange (PDX) - Unless box A in subsection 2 (opt-out of authorization) is checked, the
`undersigned hereby grants the USPTO authority to provide the European Patent Office (EPO), the Japan Patent Office
`(JPO), the Korean Intellectual Property Office (KIPO), the State Intellectual Property Office of the People's Republic of
`China (SIPO), the World Intellectual Property Organization (WIPO), and any other foreign intellectual property office
`participating with the USPTO in a bilateral or multilateral priority document exchange agreement in which a foreign
`application claiming priority to the instant patent application is filed, access to: (1) the instant patent application-as-filed
`and its related bibliographic data, (2) any foreign or domestic application to which priority or benefit is claimed by the
`instant application and its related bibliographic data, and (3) the date of filing of this Authorization. See 37 CFR 1.14(h)
`(1)
`B. Search Results from U.S. Application to EPO - Unless box B in subsection 2 (opt-out of authorization) is checked,
`the undersigned hereby grants the USPTO authority to provide the EPO access to the bibliographic data and search
`results from the instant patent application when a European patent application claiming priority to the instant patent
`application is filed. See 37 CFR 1.14(h)(2).
`The applicant is reminded that the EPO's Rule 141(1) EPC (European Patent Convention) requires applicants to submit a
`copy of search results from the instant application without delay in Cca European patent application that claims priority to
`the instant application.
`
`2. Opt-Out of Authorizations to Permit Access by a Foreign Intellectual Property Office(s)
`
`A. Applicant DOES NOT authorize the USPTO to permit a participating foreign IP office access to the instant
`If this box is checked, the USPTO will not be providing a participating foreign IP office with
`[_] application-as-filed.
`any documents and information identified in subsection 1A above.
`B. Applicant DOES NOT authorize the USPTO to transmit to the EPO any search results from the instant patent
`[_] application. If this box is checked, the USPTO will not be providing the EPO with search results from the instant
`application.
`NOTE: Once the application has published or is otherwise publicly available, the USPTO may provide access to the
`application in accordance with 37 CFR 1.14.
`
`EFS Web 2.2.12
`
`Samsung Exhibit 1014, Page 8 of 65
`
`

`

`Amended ADS
`
`PTO/AIA/14 (11-15)
`Approved for use through 04/30/2017. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`FTRW-01170US0
`Attorney Docket Number
`Application Data Sheet 37 CFR 1.76
`G2/921,170
`Application Number
`
`Title of Invention
`
`METHOD FOR RESPONSE TO PUCCH-BASED BEAM FAILURE RECOVERY REQUEST
`
`Applicant Information:
`
`Providing assignment information in this section does not substitute for compliance with any requirement of part 3 of Title 37 of CFR
`to have an assignment recorded by the Office.
`
`1
`
`Applicant
`If the applicant is the inventor (or the remaining joint inventor or inventors under 37 CFR 1.45), this section should not be completed.
`The information to be provided in this section is the name and address of the legal representative who is the applicant under 37 CFR
`1.43; or the name and address of the assignee, person to whom the inventor is under an obligation to assign the invention, or person
`who otherwise shows sufficient proprietary interest in the matter who is the applicant under 37 CFR 1.46. If the applicant is an
`applicant under 37 CFR 1.46 (assignee, person to whom the inventor is obligated to assign, or person who otherwise shows sufficient
`proprietary interest) together with one or more joint inventors, then the joint inventor or inventors who are also the applicant should be
`identified in this section.
`
`© Legal Representative under 35 U.S.C. 117
`© Assignee
`© Joint Inventor
`O Person who shows sufficient proprietary interest
`@) Person to whom the inventor is obligated to assign.
`If applicant is the legal representative, indicate the authority to file the patent application, the inventor is:
`
`XX
`
`Name of the Deceased or Legally Incapacitated Inventor:
`If the Applicant is an Organization check here.
`Organization Name
`Futurewei Technologies, Inc.
`Mailing Address Information For Applicant:
`Address 1
`5340 Legacy Drive
`Address 2
`Suite 175
`City
`US
`Country
`Phone Number
`Email Address
`
`Plano
`
`State/Province
`Postal Code
`Fax Number
`
`TX
`75024
`
`Additional Applicant Data may be generated within this form by selecting the Add button.
`
`Assignee Information including Non-Applicant Assignee Information:
`Providing assignment information in this section does not substitute for compliance with any requirement of part 3 of Title
`37 of CFR to have an assignment recorded by the Office.
`
`EFS Web 2.2.12
`
`Samsung Exhibit 1014, Page 9 of 65
`
`

`

`Amended ADS
`
`PTO/AIA/14 (11-15)
`Approved for use through 04/30/2017. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`FTRW-01170US0
`Attorney Docket Number
`Application Data Sheet 37 CFR 1.76
`Application Number
`
`82/521,170.
`
`Title of Invention
`
`METHOD FOR RESPONSE TO PUCCH-BASED BEAM FAILURE RECOVERY REQUEST
`
`1
`
`Assignee
`Complete this section if assignee information, including non-applicant assignee information, is desired to be included on the patent
`application publication. An assignee-applicant identified in the "Applicant Information" section will appear on the patent application
`publication as an applicant. For an assignee-applicant, complete this section only if identification as an assignee is also desired on the
`patent application publication.
`
`If the Assignee or Non-Applicant Assignee is an Organization check here.
`Organization Name
`
`Futurewei Technologies, Inc.
`Mailing Address Information For Assignee including Non-Applicant Assignee:
`Address 1
`Address 2
`City
`Country:
`Phone Number
`
`5340 Legacy Drive
`Suite 175
`
`Plano
`
`US
`
`State/Province
`Postal Code
`Fax Number
`
`TX
`75024
`
`Email Address
`Additional Assignee or Non-Applicant Assignee Data may be generated within this form by
`selecting the Add button.
`
`Signature:
`NOTE: This Application Data Sheet must be signed in accordance with 37 CFR 1.33(b). However, if this Application
`Data Sheet is submitted with the INITIAL filing of the application and either box A or B is not checked in
`subsection 2 of the "Authorization or Opt-Out of Authorization to Permit Access" section, then this form must
`also be signed in accordance with 37 CFR 1.14(c).
`This Application Data Sheet must be signed by a patent practitioner if one or more of the applicants is a juristic
`entity (e.g., corporation or association). If the applicant is two or more joint nventors, this form must be signed by a
`patent practitioner, all joint inventors who are the applicant, or one or more joint inventor-applicants who have been given
`power of attorney (e.g., see USPTO Form PTO/AIA/81) on behalf of all joint inventor-applicants.
`See 37 CFR 1.4(d) for the manner of making signatures and certifications.
`
`Signature
`
`/Kevin R. Spivak/
`
`First Name
`
`Kevin
`
`Last Name
`
`Spivak
`
`Date (YYYY-MNM-DD)
`
`Registration Number
`
`2017-06-22.
`43148
`
`Additional Signature may be generated within this form by selecting the Add button.
`
`EFS Web 2.2.12
`
`Samsung Exhibit 1014, Page 10 of 65
`
`

`

`Amended ADS
`
`PTO/AIA/14 (11-15)
`Approved for use through 04/30/2017. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`FTRW-01170US0
`Attorney Docket Number
`Application Data Sheet 37 CFR 1.76
`Application Number
`
`B2i921,170
`
`Title of Invention
`
`METHOD FOR RESPONSE TO PUCCH-BASED BEAM FAILURE RECOVERY REQUEST
`
`This collection of information is required by 37 CFR 1.76. The information is required to obtain or retain a benefit by the public which
`is to file (and by the USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This
`collection is estimated to take 23 minutes to complete, including gathering, preparing, and submitting the completed application data
`sheet form to the USPTO. Time will vary depending upon the individual case. Any comments on the amount of 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: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`EFS Web 2.2.12
`
`Samsung Exhibit 1014, Page 11 of 65
`
`

`

`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
`(1) the general authority for the collection of this information
`application or patent. Accordingly, pursuant to the requirements of the Act, please be advised that:
`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 abandonment of
`the application or expiration of the patent.
`
`The information provided by you in this form will be subject to the following routine uses:
`
`1
`
`2.
`
`3
`
`4.
`
`5.
`
`6.
`
`7.
`
`8.
`
`9.
`
`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). Records from this system of records may be disclosed to the Department of Justice to determine whether the Freedom of
`Information Act requires disclosure of these records.
`
`Arecord 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.
`
`Arecord 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
`acontract. 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 CooperationTreaty.
`
`Arecord 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(d)).
`
`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 accordance with the GSA regulations governing inspection of
`records for this purpose, and any other relevant (i-e., GSA or Commerce) directive. Such disclosure shall not be used to make determinations about
`individuals.
`
`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 was filed in an application which became abandoned or in which the proceedings were terminated and which application is
`referenced by either a published application, an application open to public inspections or an issued patent.
`
`Arecord 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
`aware of a violation or potential violation of law or regulation.
`
`EFS Web 2.2.12
`
`Samsung Exhibit 1014, Page 12 of 65
`
`

`

`Electronic Acknowledgement Receipt
`
`EFS ID:
`
`Application Number:
`
`29576034
`
`62521170
`
`International Application Number:
`
`Confirmation Number:
`
`9896
`
`Title of Invention:
`
`METHOD FOR RESPONSE TO PUCCH-BASED BEAM FAILURE RECOVERY
`REQUEST
`
`First Named Inventor/Applicant Name:
`
`Customer Number:
`
`Bin Liu
`
`136309
`
`Filer:
`
`Kevin Ri