Case 6:20-cv-00945-ADA Document 33-17 Filed 08/23/21 Page 1 of 64
`Case 6:20-cv-00945-ADA Document 33-17 Filed 08/23/21 Page 1 of 64
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`EXHIBIT 16
`EXHIBIT 16
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`Case 6:20-cv-00945-ADA Document 33-17 Filed 08/23/21 Page 2 of 64
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`UNITED STATES PATENT AND TRADEMARK OFFICE
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`DR. MICHAEL FARMWALD and RPX CORPORATION
`Petitioner
`v.
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`PARKERVISION, INC.
`Patent Owner
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`
`
`Case IPR2014-00948
`Patent 6,370,371
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`PATENT OWNER’S RESPONSE TO PETITION
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`Mail Stop PATENT BOARD
`Patent Trial and Appeal Board
`U.S. Patent & Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
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`Case 6:20-cv-00945-ADA Document 33-17 Filed 08/23/21 Page 3 of 64
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`IPR2014-00948
`Patent 6,370,371
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`TABLE OF CONTENTS
`
`TABLE OF AUTHORITIES ................................................................................... iii
`LIST OF EXHIBITS .................................................................................................. v
`I.
`Introduction ........................................................................................................ 1
`II. The Petition Raises Real Parties-In-Interest Issues............................................ 1
`III. The Claimed Invention Is Directed to Energy Transfer, Which Is
`Fundamentally Different than the Operation of Sample-and-Hold Systems. .... 2
`A. The Energy Transfer Elements of the Claimed Invention Improve Signal
`Processing in Wireless Communication Systems. ........................................ 2
`1. Energy Transfer Systems Transfer Substantial Amounts of Energy
`from a Carrier Signal During Sampling Apertures. .............................. 3
`2. Energy Transfer Systems Transfer Energy over Multiple Aperture
`Periods. .................................................................................................. 6
`3. Energy Transfer Systems Generate the Down-Converted Lower
`Frequency Signal from the Integrated Energy by Discharging the
`Storage Module When the Sampling Switch Is Open. .......................... 8
`B. The Claimed Invention Is Directed to Energy Transfer. .............................. 9
`C. The Operation of Sample-and-Hold Systems Is Fundamentally Different
`from Energy Transfer Systems. ..................................................................10
`1. The Operation of S/H Circuits ............................................................10
`2. The Operation of S/H Systems Is Fundamentally Different from
`Energy Transfer Mechanisms..............................................................13
`IV. Claim Construction ..........................................................................................17
`A. “sub-sample the carrier signal . . . wherein energy is transferred from the
`carrier signal” ..............................................................................................17
`B. “energy is . . . integrated . . . during said apertures” ...................................19
`C. “the lower frequency signal is generated from the transferred energy” .....21
`D. “storage module” .........................................................................................24
`V. The Avitabile and Weisskopf References Do Not Anticipate Claims 2, 22, 23,
`and 25 of the ’371 Patent..................................................................................27
`A. Petitioner’s Expert Offers Incomplete and Inaccurate Analysis. ................27
`B. Avitabile Does Not Anticipate Claim 2. .....................................................31
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`i
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`IPR2014-00948
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`Patent 6,370,371
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`1. Avitabile Discloses S/H Circuits, Which Operate in a Fundamentally
`Different Manner than the Claimed Energy Transfer System. ...........31
`2. Avitabile Does Not Disclose the Energy Transfer Elements of Claim
`2. ..........................................................................................................34
`C. Weisskopf Does Not Anticipate Claims 2, 22, 23, and 25. ........................36
`1. Weisskopf Discloses S/H Circuits, Which Operate in a Fundamentally
`Different Manner than the Claimed Energy Transfer System. ...........37
`2. Weisskopf Does Not Disclose the Energy Transfer Elements of Claim
`2. ..........................................................................................................40
`3. Weisskopf Does Not Disclose the Energy Transfer Elements of Claim
`22 .........................................................................................................42
`4. Petitioner Fails to Establish that Weisskopf teaches the “input
`impedance match circuit” of claim 23 ................................................45
`VI. Petitioner Failed to Establish a Prima Facie Case and Should Not Be Allowed
`to Cure the Petition’s Deficiencies Through Its Reply Brief. ..........................49
`VII. Conclusion ........................................................................................................54
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`ii
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`Case 6:20-cv-00945-ADA Document 33-17 Filed 08/23/21 Page 5 of 64
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`TABLE OF AUTHORITIES
`
`IPR2014-00948
`Patent 6,370,371
`
`Cases
`A.C. Dispensing Equipment Inc. v. Prince Castle LLC,
`IPR2014-00511, Paper 16 (P.T.A.B. Sep. 10, 2014) ...........................................47
`
`Ariosa Diagnostics v. Verinata Health,
`IPR2013-00277, Paper 42 (P.T.A.B. Oct. 23, 2014)............................................51
`
`BAE Sys. Information and Elect. Sys. Integration v. Cheetah Omni,
`IPR2013-00175, Paper 45 (P.T.A.B. Jun. 19, 2014) ..................................... 50, 51
`
`Corning Inc. v. DSM IP Assets,
`IPR2013-00052, Paper 88 (P.T.A.B. May 1, 2014) .............................................51
`
`Liberty Mut. Ins. v. Progressive Cas. Ins.,
`CBM2013-00009, Paper 68 (P.T.A.B. Feb. 11, 2014) .........................................52
`
`Moses Lake Indus., Inc. v. Enthone, Inc.,
`IPR2014-00243, Paper 6 (P.T.A.B. Jun. 18, 2014) ....................................... 30, 44
`
`Net MoneyIN, Inc. v. VeriSign, Inc.,
`545 F.3d 1359 (Fed. Cir. 2008) ............................................................... 42, 45, 47
`
`Respironics Inc. v. Zoll Medical Corp.,
`IPR2013-00322, Paper 46 (P.T.A.B. Sept. 17, 2014) ..........................................52
`
`Statutes
`
`35 U.S.C. § 315(b) ..................................................................................................... 1
`
`Rules
`
`37 C.F.R. § 42.101(b) ................................................................................................ 1
`
`37 C.F.R. § 42.22 .....................................................................................................49
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`37 C.F.R. § 42.23 .....................................................................................................49
`
`37 C.F.R. § 42.65(a) .................................................................................................27
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`37 C.F.R. § 42.65(b) ................................................................................................27
`
`iii
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`Case 6:20-cv-00945-ADA Document 33-17 Filed 08/23/21 Page 6 of 64
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`IPR2014-00948
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`Patent 6,370,371
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`37 C.F.R. § 42.65(b)(2) ............................................................................................29
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`37 C.F.R. § 42.65(b)(3) ............................................................................................29
`
`37 C.F.R. § 42.65(b)(5) ............................................................................................30
`
`Other Authorities
`
`Office Patent Trial Practice Guide,
`77 Fed. Reg. 48756 (Aug. 14, 2012) ....................................................................50
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`iv
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`Case 6:20-cv-00945-ADA Document 33-17 Filed 08/23/21 Page 7 of 64
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`LIST OF EXHIBITS
`
`Ex. No.
`
`Description
`
`IPR2014-00948
`Patent 6,370,371
`
`Previously
`Filed
`
`2001
`
`2002
`
`2003
`
`2004
`
`The Authoritative Dictionary of IEEE Standards Terms,
`Institute of Electrical and Electronics Engineers, 7th ed.,
`2000.
`Sclater et al., McGraw-Hill Electronics Dictionary,
`McGraw-Hill, Inc., 6th ed., 1997.
`8-13-14 e-mail from ParkerVision’s counsel to Petition-
`er’s counsel.
`Estabrook et al., A Mixer Computer-Aided Design Tool
`Based in the Time Domain, IEEE MTT-S Digest, pp.
`1107-1110 (1988).
`2005 Not Used
`Patent Owner’s Proposed Discovery Requests to Petition-
`2006
`er
`Transcript of Conference Call in IPR2014-00946,
`IPR2014-00947, and IPR2014-00948, held on January 21,
`2015.
`Email from ParkerVision’s counsel to Petitioner’s counsel
`with Patent Owner’s Proposed Discovery Requests to Pe-
`titioner attached (Jan. 26, 2015).
`ParkerVision Press Release, “ParkerVision’s Patent Port-
`folio Once Again Recognized for Its Strength by The Pa-
`tent Board” (Mar. 19, 2014).
`ParkerVision Press Release, “ParkerVision’s Patent Port-
`2010
`folio Leads Telecom Sector” (Mar. 28, 2013).
`2011 Complaint filed in ParkerVision, Inc. v. Qualcomm Inc.,
`No. 3:11-cv-00719 (M.D. Fla.), filed on July 20, 2011.
`Return of Service of Summons in a Civil Action in
`ParkerVision, Inc. v. Qualcomm Inc., No. 3:11-cv-00719
`(M.D. Fla.), dated July 21, 2011.
`2013 Verdict Form in ParkerVision, Inc. v. Qualcomm Inc.,
`No. 3:11-cv-00719 (M.D. Fla.), dated October 17, 2013.
`
`2007
`
`2008
`
`2009
`
`2012
`
`
`
`
`
`X
`
`X
`
`
`
`X
`
`X
`
`X
`
`X
`
`X
`
`X
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`X
`
`X
`
`v
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`

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`Case 6:20-cv-00945-ADA Document 33-17 Filed 08/23/21 Page 8 of 64
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`
`
`Description
`
`IPR2014-00948
`Patent 6,370,371
`Previously
`Filed
`
`X
`
`X
`
`X
`
`X
`
`X
`
`X
`
`X
`
`X
`
`X
`
`
`
`
`
`
`
`
`
`
`
`Ex. No.
`2014 Docket Report for ParkerVision, Inc. v. Qualcomm Inc.,
`No. 3:11-cv-00719 (M.D. Fla.).
`2015 Not Used
`2016 RPX Press Release, “Semiconductor Leaders Push RPX
`Network to 65 Clients” (Oct. 4, 2010).
`2017 RPX Presentation, “The Market for Patents and Patent
`Litigation” (May 21, 2012).
`RPX’s “Client Relations” webpage at
`http://www.rpxcorp.com/rpx-membership/rpx-client-
`relations/.
`2019 RPX’s “Why Join” webpage at
`http://www.rpxcorp.com/why-join-rpx/.
`2020 RPX’s 2013 Annual Report.
`Transcript of Conference Call, Dr. Michael Farmwald
`and RPX Corporation v. ParkerVision, Inc., Cases
`IPR2014-00946, IPR2014-00947, and IPR2014-00948,
`dated February 6, 2015.
`Patent Owner’s Revised Proposed Discovery Requests to
`Petitioner.
`E-mail of 03-03-2015 from the Board to Petitioner Coun-
`2023
`sel and Patent Owner Counsel.
`2024 Declaration of Bruce A. Fette, Ph.D., in Support of Patent
`Owner’s Response to Petition with Curriculum Vitae.
`Transcript of Deposition Asad Abidi, Ph.D., with Errata,
`Cases IPR2014-00946, IPR2014-00947, and IPR2014-
`00948, held on February 8-9, 2015
`Simulation Schematics of Weisskopf’s energy sampling
`system and circuits.
`Excerpts from The Authoritative Dictionary of IEEE
`Standards Terms, Institute of Electrical and Electronics
`Engineers, 7th ed.
`
`2018
`
`2021
`
`2022
`
`2025
`
`2026
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`2027
`
`vi
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`Case 6:20-cv-00945-ADA Document 33-17 Filed 08/23/21 Page 9 of 64
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`
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`Description
`
`IPR2014-00948
`Patent 6,370,371
`Previously
`Filed
`
`Friis, “Noise Figures of Radio Receivers,” Proceedings of
`the I.R.E. (July 1944).
`Definition of “Noise Factor (Noise Figure),” Proceedings
`of the I.R.E., Standards on Receivers: Definitions of Term
`(Dec. 1952).
`Excerpts from Pettai, “Noise in Receiving Systems” (pub-
`lished 1984).
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`
`
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`
`
`Ex. No.
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`2028
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`2029
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`2030
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`vii
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`Case 6:20-cv-00945-ADA Document 33-17 Filed 08/23/21 Page 10 of 64
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`I.
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`Introduction
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`IPR2014-00948
`Patent 6,370,371
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`U.S. Patent 6,370,371 (“’371 patent”) is battle tested, having been involved
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`in an on-going district court litigation between Patent Owner and Qualcomm Inc.,
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`where all the claims at issue here were found to be valid. Here, Petitioner asks the
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`Board to re-visit the same claims in view of the same or cumulative references
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`successfully distinguished in the litigation. The Board should reach the same
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`conclusion as the district court judge: confirmation of the ’371 patent claims.
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`II. The Petition Raises Real Parties-In-Interest Issues.
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`Patent Owner sued Qualcomm for infringement of the ’371 patent in 2011
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`(the Qualcomm Litigation). As a result, Qualcomm is barred from filing an inter
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`partes review under 37 C.F.R. § 42.101(b). Because the claims in the Qualcomm
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`Litigation (which overlap with claims at issue here) were upheld as valid,
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`Qualcomm has great motivation to participate or orchestrate the challenge to the
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`’371 patent in this proceeding.
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`The Board granted additional discovery to Patent Owner to confirm whether
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`Qualcomm should be named as a real party-in-interest (RPI) in the present inter
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`partes review (“IPR”) proceeding. (See Decision Granting Patent Owner’s Motion
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`for Additional Discovery, Paper 23, p. 9.) If Qualcomm is found to be a RPI, this
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`IPR proceeding is improper and institution should be revoked since Qualcomm is
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`time-barred from filing this IPR. See 35 U.S.C. § 315(b) . Consistent with an email
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`1
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`IPR2014-00948
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`Patent 6,370,371
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`from the Board on March 3, 2015, depending on the results of the additional
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`discovery and deposition of Petitioner’s declarants, Patent Owner will seek Board
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`permission to submit a brief addressing this critical issue. (See Ex. 2023, Email
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`from the Board to Petitioner Counsel and Patent Owner Counsel.)
`
`III. The Claimed Invention Is Directed to Energy Transfer, Which Is
`Fundamentally Different than the Operation of Sample-and-Hold
`Systems.
`
`The claimed invention provides an apparatus for down-converting a carrier
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`signal to a lower frequency signal via the transfer and integration of energy from
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`the carrier signal during sampling apertures. (See, e.g., claim 2 of the ’371 patent.)
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`This is fundamentally different from the operation of sample-and-hold (“S/H”)
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`systems, which are designed to prevent the transfer of energy during the off-phase
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`of the aperture period. (See Fette Dec., ¶ 54.)
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`A. The Energy Transfer Elements of the Claimed Invention Improve
`Signal Processing in Wireless Communication Systems.
`
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`
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`The ’371 patent describes efficiently down-converting RF signals using
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`energy transfer mechanisms. In particular, the claimed invention provides an
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`energy transfer system to “down-convert[ ] EM signals by transferring non-
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`negligible amounts of energy from the EM signals. The resultant down-converted
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`signals have sufficient energy to allow the down-converted signals to be
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`distinguishable from noise. The resultant down-converted signals also have
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`sufficient energy to drive lower impedance circuits without buffering.” (’551
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`2
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`patent, Ex. 1001, 63:27-34.) 1 As a result, “[t]he energy transfer embodiments of
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`the invention provide enhanced signal to noise ratios and sensitivity to very small
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`signals, as well as permitting the down-converted signal to drive lower impedance
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`loads unassisted.” (Id. at 62:60-63.)
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`
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`The claimed energy transfer invention has several important and necessary
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`characteristics which are described below.
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`1.
`
`Energy Transfer Systems Transfer Substantial Amounts of
`Energy from a Carrier Signal During Sampling Apertures.
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`
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`FIG. 82A of the ’551 patent shows an example energy transfer system. A
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`number of factors contribute to the transfer of substantial amounts of energy from a
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`carrier signal (e.g., input EM signal 8204) during sampling apertures (e.g., energy
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`transfer signal 8210, a pulse with non-negligible apertures). (See Fette Dec., ¶¶ 54-
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`57.) One factor is energy transfer systems have a low impedance load (e.g., load
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`8212) such that the system’s storage module (e.g., storage capacitor 8208)
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`discharges between sampling apertures (e.g., when a switch module 8206 is open).
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`(See id.) Another factor is energy transfer systems transfer substantial amounts of
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`1The ’371 patent is a continuation of and incorporates by reference the speci-
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`fication of U.S. Pat. No. 6,061,551 (“’551 patent”). Cites to the ’551 patent herein
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`refer to the portions of the ’551 patent incorporated by reference into the ’371 pa-
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`tent.
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`3
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`energy during sampling apertures due to the larger size of the storage module. (See
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`id.) For example, the ’371 patent describes a storage capacitor in the range of 18
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`pF for energy transfer systems compared to a capacitance of about 1 pF for non-
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`energy transfer systems. (See id.) This larger capacitance ensures that the energy
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`transfer system captures and maintains sufficient energy to drive the low
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`impedance load. (See id.)
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`FIG. 82A of ’518 patent
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`As a result of transferring substantial amounts of energy from the carrier
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`
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`signal, energy transfer systems prevent accurate voltage reproduction of the carrier
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`signal. (See id.) FIGS. 57B-D of the ’551 patent (reproduced below) illustrate this
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`characteristic.
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`4
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`IPR2014-00948
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`FIGs. 57A-F of ’551 patent
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`FIG. 57B illustrates a portion of an analog carrier signal 5704 (in this case,
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`the carrier signal of an amplitude modulated (AM) signal) on an expanded time
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`scale. (See id. at ¶¶ 54-57.) FIG. 57C illustrates an energy transfer signal 5706, a
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`train of energy transfer pulses 5707 controlling a sampling switch. (See id.) FIG.
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`57D illustrates how the transfer of energy affects the analog carrier signal 5708
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`during the apertures 5709 of the pulses 5707 in the energy transfer signal 5006.
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`(See id.) As can be seen by comparing FIGS. 57B and 57D, the portions of carrier
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`signal 5708 corresponding to the energy transfer pulse aperture are distorted when
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`compared to the initial analog carrier signal 5704. (See id.) The distortions are due
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`to the transfer of energy from the analog carrier signal 5708 when the switch is
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`5
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`closed. (See id.) In effect, the transfer of energy from the carrier signal 5704 during
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`the sampling apertures “crushes” the carrier signal 5704. As a result, it is not
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`possible to reproduce the carrier signal 5704 during these sampling periods. (See
`
`id.)
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`2.
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`Energy Transfer Systems Transfer Energy over Multiple
`Aperture Periods.
`
`The transfer of energy from the carrier signal and integration (or
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`accumulation) of this energy in the storage module (e.g., storage capacitor) occurs
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`over more than one (i.e., multiple) apertures. (See id. at ¶¶ 61-62.) This
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`characteristic is illustrated in, for example, FIGS. 57C and 57E of the ’551 patent
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`(reproduced above).
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`FIG. 57E illustrates a down-converted AM baseband signal 5712 generated
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`by the energy transfer down-conversion process. The ’371 patent explains:
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`The demodulated baseband signal 5712 includes portions 5710A,
`which correlate with the energy transfer pulses 5707 in FIG. 57C, and
`portions 5710B, which are between the energy transfer pulses 5707.
`Portions 5710A represent energy transferred from the analog AM
`carrier signal 516 to a storage device, while simultaneously driving an
`output load. The portions 5710A occur when a switching module is
`closed by the energy transfer pulses 5707. Portions 5710B represent
`energy stored in a storage device continuing to drive the load. Portions
`5710B occur when the switching module is opened after energy
`transfer pulses 5707.
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`6
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`Case 6:20-cv-00945-ADA Document 33-17 Filed 08/23/21 Page 16 of 64
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`(’551 patent, 85:48-58.) In FIGS. 57C and 57E, the baseband signal 5712 has
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`portions 5710A (corresponding to energy transferred from the AM signal) and
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`5710B (representing energy stored in the storage module and driving a load) for
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`each of the apertures 5709 of each of the pulses 5707. (See Fette Dec., ¶¶ 61-62.)
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`The baseband signal (or more generally, the lower frequency signal) is derived
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`from an accumulation function (e.g., integration) in which the energy transferred
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`from the current cycle is combined with previously accumulated energy left in the
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`storage module from preceding cycles. Thus, the energy transfer occurs and is
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`accumulated, or “integrated,” over multiple apertures. (See id.)
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`More specifically, in energy transfer systems, the transfer of energy from the
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`carrier signal and integration of this transferred energy in the storage module (e.g.,
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`storage capacitor) do not occur over just a single aperture. (See id.) Instead, the
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`transfer and integration functions occur over multiple apertures. (See id.) This is
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`shown in FIGS. 57C and 57E above. (See id.)
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`Integration of the sampled energy over multiple aperture periods is an
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`important aspect of the energy transfer system. (See id. at ¶ 164.) The integration
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`operation acts to average out noise artifacts by reducing the bandwidth of the
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`sampling process and therefore the primary mathematical component of the noise
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`equation. (See id.) For example, the integration operation can be applied to capture
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`a baseband of a signal representing I and Q components of a complex
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`7
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`IPR2014-00948
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`modulation—e.g., Quadrature Phase Shift Keying (“QPSK”) or Quadrature
`
`Amplitude Modulation (“QAM”). (See id.) By integrating the signal over multiple
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`aperture periods, noise in the system can be reduced. (See id.) Integration over a
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`single aperture period (such as the operation of a S/H system) does not result in the
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`same benefit. (See id.)
`
`3.
`
`Energy Transfer Systems Generate the Down-Converted
`Lower Frequency Signal from the Integrated Energy by
`Discharging the Storage Module When the Sampling Switch
`Is Open.
`
`As discussed above, the ’371 patent discusses generating an intermediate
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`AM signal 5712 by transferring energy from the carrier signal to a storage module
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`(corresponding to portions 5710A of FIG. 57E) while simultaneously driving an
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`output load (corresponding to portions 5710B of FIG. 57E). (See id., ¶¶ 63-64.)
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`Specifically, the sawtooth waveform 5712 in FIG. 57E represents an unfiltered
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`version of the demodulated baseband signal and includes falling edges with
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`successive discharges of energy from the storage device. (See ’551 patent, 85:66-
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`86:4; Fette Dec., ¶¶ 167-168 and 198.) This discharged energy can be sent to
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`downstream circuitry for further processing. (See id.; Fette Dec., ¶¶ 167-168.)
`
`Thus, the demodulated baseband signal is generated from energy discharged from
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`the storage module. (See id.)
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`Thus, in the energy transfer embodiments, generating the baseband signal or
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`lower frequency signal from the integrated energy requires the discharge of energy
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`8
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`Case 6:20-cv-00945-ADA Document 33-17 Filed 08/23/21 Page 18 of 64
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`IPR2014-00948
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`from the capacitor. (See Fette Dec., ¶¶ 63-64 and 198.) As discussed in Sections
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`III.A.1 and III.A.2 above, the integrated energy is derived from energy sampled
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`from the carrier signal. In referring to FIG. 57E above, portions 5710A represent
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`energy transferred from the carrier signal to a storage module (e.g., charging a
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`storage capacitor). (See ’551 patent, 85:51-58; Fette Dec., ¶ 168.) Portions 5710B
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`represent energy discharged from the storage device. (See id.) Due to the
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`discharging of the storage module, a demodulated baseband signal 5712 is
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`generated. (See id. at 85:40-47; Fette Dec., ¶ 168.) FIG. 57F above shows a filtered
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`version of a demodulated baseband signal 5712 and, from this waveform, it is clear
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`that the discharge of energy from the storage module is required to generate the
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`baseband signal 5716. (See id.at 85:51-58; Fette Dec., ¶ 168.) This is because,
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`without the discharge of energy during an off-phase of the aperture, the downward
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`slope of the demodulated baseband signal waveform would not be generated. (See
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`Fette Dec., ¶ 168.) Instead, the signal would remain at a constant level until the on-
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`phase of the next aperture. (See id.)
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`The Claimed Invention Is Directed to Energy Transfer.
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`B.
`The above-stated important and distinguishing characteristics of the claimed
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`invention—energy transfer mechanisms— are recited in all the challenged claims
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`(either directly or through dependency). Thus, at least claims 2, 22, 23, and 25 of
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`the ’371 patent are directed to an energy transfer system with the important and
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`necessary characteristics described in Section III.A above. (See Fette Dec., ¶¶ 65-
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`68.) Claim Construction Section IV below shows that the ’371 patent and expert
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`testimony support this conclusion.
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`C. The Operation of Sample-and-Hold Systems Is Fundamentally
`Different from Energy Transfer Systems.
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`The operation of the sample and hold (“S/H”) circuit and how it is different
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`from claimed energy transfer mechanisms are described below.
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`The Operation of S/H Circuits
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`1.
`To understand the S/H operation, a circuit network having an input port, an
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`output port and a control signal can be considered. (See id.at ¶ 27.) A resistor RS,
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`capacitor CH and switch RSX configuration, as shown below in Figure 2 of the Fette
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`Declaration (reproduced below), can be used to connect the input port (represented
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`by a source signal VS) to the output port (annotated as the top node VC of the
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`capacitor) via the switch RSX (controlled by a control signal VP from the sample
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`generator). (See id.) When the switch RSX is closed, the voltage at the output port
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`VC follows the source signal VS. (See id.) When the switch RSX is open, the voltage
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`at the output port VC is held at its current value. (See id.) If the source signal VS
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`subsequently changes from its previous voltage value, the voltage at the output port
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`VC changes when the switch RSX closes again (via the control signal VP). (See id.)
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`FIG. 2 of Fette Declaration – Simple S/H Circuit Configuration
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`In practice, the net transfer of energy from the S/H circuit illustrated above
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`is intended to be at or near zero over time (e.g., over multiple samples). (See id., ¶
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`28.) For example, assuming the capacitor CH has initially zero charge stored, when
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`the S/H circuit samples a rising portion of a sine wave at the input port VS, charge
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`flows from the input port VS to the capacitor CH as shown in Figure 3(a) below.
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`(See id.) When the S/H circuit samples a falling portion of the sine wave at the
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`input port VS (e.g., the voltage of the falling portion less than the voltage of the
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`rising portion), charge stored in the capacitor CH flows back towards the input port
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`VS, thus resulting in a lower amount of charge stored in the capacitor and a lower
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`resulting voltage; this is shown in FIG. 3(b) below. (See id.) This charge flows
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`through the switch RSX and resistor RS and is dissipated as heat through the switch
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`RSX, resistor RS, and/or in the source itself. (See id.) Since equal charge flows in
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`and out of the capacitor CH, the net transfer of energy in the S/H circuit is zero.
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`(See id.) The S/H circuit thus does not transfer energy to generate a lower
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`frequency signal (e.g., baseband signal) because the energy is dissipated through
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`RS RSX, and/or in the source itself. (See id.)
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`Charge flows from the voltage
`source to the hold capacitor
`when the voltage at a subsequent
`aperture rises
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`(a)
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`Charge flows from the
`capacitor back to the source
`when the voltage at a
`subsequent aperture falls
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`(b)
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`FIG. 3 of Fette Declaration– Exemplary Flow of Charge in S/H Circuit:
`(a) S/H Circuit Sampling Rising Portion of Sine Wave; and
`(b) S/H Circuit Sampling Falling Portion of Sine Wave.
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`S/H circuits have two goals: (1) for the voltage at the output port to track the
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`voltage at the input port when the switch is closed; and (2) for the voltage at the
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`output port to be “held” when the switch is open. (See id.at ¶ 29.) Petitioner’s
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`expert, Dr. Abidi, agrees. For the first goal, in the context of the S/H circuit
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`illustrated in Figure 4.2 of his declaration (see Abidi Dec., Ex. 1004 §13, Figure
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`4.2) and when asked by Patent Owner’s counsel “What do you mean by ‘a true
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`value of the input waveform’?” Dr. Abidi responded: “What I mean by that is
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`that’s held voltage, Vout, referring to Figure 4.2, is equal to the voltage Vin—
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`that’s an ideal condition—Vin at the sampling instant. That is a true value. So
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`the two are equal.” (Ex. 2025, Abidi Dep. Tr., 145:21-146:2 (emphasis added).)
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`And for the second goal, again in reference to Figure 4.2 of his declaration, Dr.
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`Abidi states that “[w]hen the switch turns off, the capacitor holds its voltage
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`steady until the next sample . . .” (Abidi Dec. §13, Figure 4.2 (emphasis added).)
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`The capacitor holding its voltage until the next sampling aperture is an
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`important aspect of S/H circuits. (See Fette Dec., ¶ 29.) For an accurate voltage
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`reading of the held voltage by downstream circuits (e.g., an analog-to-digital
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`converter), the S/H circuit is designed to prevent discharge from the capacitor
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`during the hold period (i.e., when the switch is open). (See id.) Petitioner’s expert
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`Dr. Abidi agrees. When Patent Owner’s counsel asked “So in a zero-order sample-
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`and-hold you want to avoid discharge from the capacitor when the switch is open?”
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`Dr. Abidi responded “Correct.” (Abidi Dep. Tr., 144:13-16.) Typically, a relatively
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`large output impedance—e.g., a buffer circuit with a high impedance or a load
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`resistor with a high impedance—is placed at the output of the S/H circuit to
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`prevent discharge from the capacitor during the hold period. (See Fette Dec., ¶ 29.)
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`Accordingly, in down-conversion applications, S/H circuits do not generate lower
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`frequency signals (e.g., baseband signals) based on energy discharged from the
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`capacitor during the hold period. (See id.)
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`2.
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`The Operation of S/H Systems Is Fundamentally Different
`from Energy Transfer Mechanisms.
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`The table below highlights differences between the claimed energy transfer
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`system and S/H systems.
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`S/H System
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`Energy Transfer System
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`o S/H systems are designed for net
`transfer of energy to be at or near
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`o Energy transfer systems sample an
`input signal over aperture periods to
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`zero since charge flows in and out of
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`transfer energy from the input
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`the hold capacitor over time. (See
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`signal. (See Section III.A.1 above.)
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`Section III.C.1 above.)
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`o The sampling is performed such that
`accurate voltage reproduction of the
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`input signal is prevented. (See
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`Section III.A.1 above.)
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`o S/H systems track an input voltage at
`their outputs when their switches are
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`o Energy transfer systems integrate the
`transferred energy (from the
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`closed. (See Section III.C.1 above.)
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`sampling step) over multiple
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`Thus, S/H systems sample voltage
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`aperture periods. (See Section
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`and store energy from the input
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`III.A.2 above.)
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`source in a single aperture period.
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`(See id.)
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`o S/H systems hold the voltage at their
`outputs when their switches are
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`o Energy transfer systems generate a
`down-converted lower frequency
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`open. (See Section III.C.1 above.)
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`signal from the transferred and
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`Accordingly, S/H systems do not
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`integrated energy
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`generate lower frequency signals
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`(e.g., baseband signals) based on
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`o Energy transfer systems generate a
`down