Case 6:20-cv-00945-ADA Document 40-2 Filed 10/04/21 Page 1 of 68
`Case 6:20-cv-00945-ADA Document 40-2 Filed 10/04/21 Page 1 of 68
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`EXHIBIT 1
`EXHIBIT 1
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`Case 6:20-cv-00945-ADA Document 40-2 Filed 10/04/21 Page 2 of 68
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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 IPR2014-00946
`Patent 6,266,518
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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 40-2 Filed 10/04/21 Page 3 of 68
`IPR2014-00946
`Patent 6,266,518
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`TABLE OF CONTENTS
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`TABLE OF AUTHORITIES ................................................................................... iii
`EXHIBIT LIST .......................................................................................................... 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. ........................................ 3
`1. Energy Transfer Systems Transfer Substantial Amounts of Energy
`from a Carrier Signal During Sampling Apertures Such that Accurate
`Voltage Reproduction of the Carrier Signal Is Prevented..................... 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. ............................ 10
`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. ............................................................. 14
`IV. Claim Construction .......................................................................................... 17
`A. “sampling the carrier signal . . . to transfer energy from the carrier signal”
` ..................................................................................................................... 17
`B. “integrating the energy over the aperture periods” / “integrating the
`transferred energy over the aperture periods” ............................................. 20
`C. “generating the baseband signal from the integrated energy” / “generating
`the second signal from the integrated energy” ............................................ 22
`D. “wherein said aperture periods are substantially greater than zero such that
`. . . accurate voltage reproduction of the first signal is prevented” ............ 25
`
`i
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`V. The Estabrook, Avitabile and Weisskopf References Do Not Anticipate
`Claims 1, 82, 90 and 91 of the ’518 Patent. ..................................................... 27
`A. Petitioner’s Expert Offers Incomplete and Inaccurate Analysis. ................ 27
`B. Estabrook Does Not Anticipate Claims 90 and 91. .................................... 30
`1. Estabrook Does Not Disclose the “Means for Sub-Sampling” Element
`of Claim 90. ......................................................................................... 30
`2. Estabrook Does Not Prevent Accurate Voltage Reproduction, as
`Required by Claim 91. ........................................................................ 33
`C. Avitabile Does Not Anticipate Claims 1 and 82. ........................................ 37
`1. Avitabile Discloses S/H Circuits, Which Operate in a Fundamentally
`Different Manner than the Claimed Energy Transfer System. ........... 37
`2. Avitabile Does Not Disclose the Energy Transfer Elements of Claims
`1 and 82. .............................................................................................. 41
`D. Weisskopf Does Not Anticipate Claims 90 and 91. ................................... 43
`1. Weisskopf Discloses S/H Circuits, Which Operate in a Fundamentally
`Different Manner than the Claimed Energy Transfer System. ........... 43
`2. Weisskopf Does Not Disclose the Elements of Claim 90. .................. 46
`3. Weisskopf Does Not Prevent Accurate Voltage Reproduction, as
`Required by Claim 91. ........................................................................ 51
`VI. Petitioner Failed to Establish a Prima Facie Case and Should Not Be Allowed
`to Cure the Petition’s Deficiencies Through Its Reply Brief. .......................... 54
`VII. Conclusion ........................................................................................................ 58
`
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`ii
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`TABLE OF AUTHORITIES
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`
`
`
`Cases
`
`Ariosa Diagnostics v. Verinata Health,
`IPR2013-00277 (P.T.A.B. Oct. 23, 2014) ............................................................ 56
`
`BAE Sys. Information and Elect. Sys. Integration v. Cheetah Omni,
`IPR2013-00175 (P.T.A.B. June 19, 2014) .................................................... 55, 56
`
`Corning Inc. v. DSM IP Assets,
`IPR2013-00052 (P.T.A.B. May 1, 2014) ............................................................. 56
`
`Liberty Mut. Ins. v. Progressive Cas. Ins.,
`CBM2013-00009 (P.T.A.B. Feb. 11, 2014) .................................................. 57, 58
`
`Moses Lake Indus., Inc. v. Enthone Inc.,
`IPR2014-00243 (P.T.A.B. June 18, 2014) ........................................................... 30
`
`Net MoneyIN, Inc. v. VeriSign, Inc.,
`545 F.3d 1359 (Fed. Cir. 2008) ............................................................................ 48
`
`Respironics v. Zoll Medical,
`IPR2013-00322 (P.T.A.B. Sept. 17, 2014). ......................................................... 57
`
`
`
`Statutes
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`35 U.S.C. § 315(b) ..................................................................................................... 2
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`
`
`Rules
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`37 C.F.R. § 42.101(b) ................................................................................................ 1
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`37 C.F.R. § 42.22 ..................................................................................................... 54
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`37 C.F.R. § 42.23 ..................................................................................................... 54
`
`37 C.F.R. § 42.65(a) ................................................................................................. 27
`
`37 C.F.R. § 42.65(b) ................................................................................................ 27
`
`iii
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`Patent 6,266,518
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`37 C.F.R. § 42.65(b)(2) ............................................................................................ 28
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`37 C.F.R. § 42.65(b)(3) ............................................................................................ 29
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`37 C.F.R. § 42.65(b)(5) ............................................................................................ 29
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`
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`Other Authorities
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`77 Fed. Reg. 48756 (Aug. 14, 2012) ....................................................................... 55
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`iv
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`Case 6:20-cv-00945-ADA Document 40-2 Filed 10/04/21 Page 7 of 68
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`EXHIBIT LIST
`
`Ex. No.
`
`Description
`
`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
`Petitioner’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
`2006
`Petitioner
`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
`Petitioner attached (Jan. 26, 2015).
`ParkerVision Press Release, “ParkerVision’s Patent
`Portfolio Once Again Recognized for Its Strength by The
`Patent Board” (Mar. 19, 2014).
`ParkerVision Press Release, “ParkerVision’s Patent
`2010
`Portfolio 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
`
`X
`
`X
`
`X
`
`X
`
`v
`
`

`

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`Case 6:20-cv-00945-ADA Document 40-2 Filed 10/04/21 Page 8 of 68
`IPR2014-00946
`Patent 6,266,518
`Previously
`Filed
`
`Description
`
`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
`2023
`Counsel 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
`
`2027
`
`X
`
`X
`
`X
`
`X
`
`X
`
`X
`
`X
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`X
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`X
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`
`
`
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`
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`
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`
`
`vi
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`Case 6:20-cv-00945-ADA Document 40-2 Filed 10/04/21 Page 9 of 68
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`Previously
`Filed
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`
`
`Ex. No.
`
`
`
`
`Description
`
`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”
`(published 1984).
`
`
`
`
`
`
`
`2028
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`2029
`
`2030
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`vii
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`
`
`I.
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`Case 6:20-cv-00945-ADA Document 40-2 Filed 10/04/21 Page 10 of 68
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`Introduction
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`U.S. Patent 6,266,518 (“’518 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 instituted claims 82, 90 and 91 were found to be valid.1 Here, Petitioner asks
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`the 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 ’518 patent claims.
`
`II. The Petition Raises Real Parties-In-Interest Issues.
`
`ParkerVision sued Qualcomm for infringement of the ’518 patent in 2011
`
`(the Qualcomm Litigation). As a result, Qualcomm is barred from filing an inter
`
`partes review under 37 C.F.R. § 42.101(b). Because the claims in the Qualcomm
`
`litigation (which overlap with claims at issue here) were upheld as valid,
`
`Qualcomm has great motivation to participate or orchestrate the challenge to the
`
`’518 patent in this proceeding.
`
`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 Paper 25, Decision Granting Patent Owner’s
`
`Motion for Additional Discovery, p. 9.) If Qualcomm is found to be a RPI, this IPR
`
`1 Claim 27 of the ’518 patent was also found valid. No claim was found
`
`invalid.
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`1
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`proceeding is improper and institution should be revoked since Qualcomm is time-
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`barred from filing this IPR. See 35 U.S.C. § 315(b). Consistent with an email from
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`the Board on March 3, 2015, depending on the results of the additional discovery
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`and deposition of Petitioner’s declarants, Patent Owner will seek Board permission
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`to submit a brief addressing this critical issue. (See Ex. 2023, Email from 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 a method for down-converting a carrier
`
`signal to a lower frequency signal (e.g., a baseband signal) via the transfer of
`
`energy from the carrier signal during sampling apertures, such that accurate
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`voltage reproduction of the carrier signal is prevented during such apertures. (See,
`
`e.g., claim 91 of the ’518 patent.) This is fundamentally different from the
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`operation of sample-and-hold (S/H) systems, which are designed to prevent the
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`transfer of energy during the off-phase of the aperture period. (See Ex. 2024, Fette
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`Declaration, ¶¶ 26-29.) Unlike energy transfer systems, S/H systems track input
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`voltages at their outputs such that accurate voltage reproduction is achieved. (See
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`id.) This and other fundamental differences between energy transfer and sample-
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`and-hold systems are discussed below.
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`2
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`A. The Energy Transfer Elements of the Claimed Invention Improve
`Signal Processing in Wireless Communication Systems.
`
`
`The ’518 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.” (’518
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`patent, 62:51-57.) As a result, “[t]he energy transfer embodiments of the invention
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`provide enhanced signal to noise ratios and sensitivity to very small signals, as
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`well as permitting the down-converted signal to drive lower impedance loads
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`unassisted.” (Id. at 62:14-17.)
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`
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`The claimed energy transfer embodiments have several important and
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`necessary characteristics which are described below.
`
`1.
`
`Energy Transfer Systems Transfer Substantial Amounts of
`Energy from a Carrier Signal During Sampling Apertures
`Such that Accurate Voltage Reproduction of the Carrier
`Signal Is Prevented.
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`
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`Figure 82A of the ’518 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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`3
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`transfer signal 8210, a pulse with non-negligible apertures) such that accurate
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`voltage reproduction of the carrier signal is prevented. (See Fette Dec., ¶¶ 54-57.)
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`One factor is energy transfer systems have a low impedance load (e.g., load 8212)
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`such that the system’s storage module (e.g., storage capacitor 8208) discharges
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`between sampling apertures (e.g., when a switch module 8206 is open). (See id.)
`
`Another factor is energy transfer systems transfer substantial amounts of energy
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`during sampling apertures due to the larger size of the storage module. (See id.)
`
`For example, the ’518 patent describes a storage capacitor in the range of 18 pF for
`
`energy transfer systems compared to a capacitance of about 1 pF for non-energy
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`transfer systems. (See id.) This larger capacitance ensures that the energy transfer
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`system captures and maintains sufficient energy to drive the low impedance load.
`
`(See id.)
`
`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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`signal, energy transfer systems prevent accurate voltage reproduction of the carrier
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`4
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`signal. (See id.) Figures 57B-D of the ’518 patent (reproduced below) illustrate this
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`characteristic. (See id.)
`
`FIGs. 57A-F of ’518 Patent
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`
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`Figure 57B illustrates a portion of an analog carrier signal 5704 (in this case,
`
`the carrier signal of an amplitude modulated (AM) signal) on an expanded time
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`scale. (See id. ¶ 58.) Figure 57C illustrates an energy transfer signal 5706, a train of
`
`energy transfer pulses 5707 controlling a sampling switch. (See id.) Figure 57D
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`illustrates how the transfer of energy affects the analog carrier signal 5708 during
`
`the apertures 5709 of the pulses 5707 in the energy transfer signal 5006. (See id.)
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`As can be seen by comparing Figures 57B and 57D, the portions of carrier signal
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`5
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`5708 corresponding to the energy transfer pulse aperture are distorted when
`
`compared to the initial analog carrier signal 5704. (See id.) The distortions are due
`
`to the transfer of energy from the analog carrier signal 5708 when the switch is
`
`closed. (See id.) In effect, the transfer of energy from the carrier signal 5704 during
`
`the sampling apertures “crushes” the carrier signal 5704. (See id.) As a result, it is
`
`not possible to reproduce the carrier signal 5704 during these sampling periods.
`
`(See id.)
`
`2.
`
`Energy Transfer Systems Transfer Energy over Multiple
`Aperture Periods.
`
`The transfer of energy from the carrier signal and integration (or
`
`accumulation) of this energy in the storage module (e.g., storage capacitor) occurs
`
`over more than one (i.e., multiple) apertures. (See id. ¶¶ 61-62.) This characteristic
`
`is illustrated in, for example, Figures 57C and 57E of the ’518 patent (reproduced
`
`above). (See id.)
`
`Figure 57E illustrates a down-converted AM baseband signal 5712
`
`generated by the energy transfer down-conversion process. (See id.) The ’518
`
`patent explains:
`
`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 AM analog
`signal 516 to a storage device, while simultaneously driving an output
`
`6
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`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.
`
`(’518 patent, 85:9-18.) In Figures 57C and 57E, the baseband signal 5712 has
`
`portions 5710A (corresponding to energy transferred from the AM signal) and
`
`5710B (representing energy stored in the storage module and driving a load) for
`
`each of the apertures 5709 of each of the pulses 5707. (See Fette Dec., ¶¶ 61-62.)
`
`The baseband signal (or more generally, the lower frequency signal) is derived
`
`from an accumulation function (e.g., integration) in which the energy transferred
`
`from the current cycle is combined with previously accumulated energy left in the
`
`storage module from preceding cycles. (See id.) Thus, the energy transfer occurs
`
`and is accumulated, or “integrated,” over multiple apertures. (See id.)
`
`More specifically, in energy transfer systems, the transfer of energy from the
`
`carrier signal and integration of this transferred energy in the storage module (e.g.,
`
`storage capacitor) do not occur over just a single aperture. (See id.) Instead, the
`
`transfer and integration functions occur over multiple apertures. (See id.) This is
`
`shown in Figures 57C and 57E above. (See id.)
`
`Integration of the sampled energy over multiple aperture periods is an
`
`important aspect of the energy transfer system. (See id., ¶ 164.) The integration
`
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`operation acts to average out noise artifacts by reducing the bandwidth of the
`
`sampling process and therefore the primary mathematical component of the noise
`
`equation. (See id.) For example, the integration operation can be applied to capture
`
`a baseband of a signal representing I and Q components of a complex
`
`modulation—e.g., Quadrature Phase Shift Keying (QPSK) or Quadrature
`
`Amplitude Modulation (QAM). (See id.) By integrating the signal over multiple
`
`aperture periods, noise in the system can be reduced. (See id.) Integration over a
`
`single aperture period (such as the operation of a S/H system) does not result in the
`
`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 ’518 patent discusses generating an intermediate
`
`AM signal 5712 by transferring energy from the carrier signal to a storage module
`
`(corresponding to portions 5710A of Figure 57E) while simultaneously driving an
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`output load (corresponding to portions 5710B of Figure 57E). (See id., ¶¶ 63-64.)
`
`Specifically, the sawtooth waveform 5712 in Figure 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 ’518 patent, 85:19-
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`25 and Fette Dec., ¶ 167.) This discharged energy can be sent to downstream
`
`circuitry for further processing. (See ’518 patent, 85:26-31 and Fette Dec., ¶ 167.)
`
`8
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`Thus, the demodulated baseband signal is generated from energy discharged from
`
`the storage module. (See Fette Dec., ¶ 167.)
`
`Thus, in the energy transfer embodiments, generating the baseband signal or
`
`lower frequency signal from the integrated energy requires the discharge of energy
`
`from the capacitor. (See id. ¶¶ 63-64.) As discussed in Sections III.A.1 and III.A.2
`
`above, the integrated energy is derived from energy sampled from the carrier
`
`signal. In referring to Figure 57E above, portions 5710A represent energy
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`transferred from the carrier signal to a storage module (e.g., charging a storage
`
`capacitor). (See ’518 patent, 85:12-18 and 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 ’518 patent, 85:1-8 and Fette Dec., ¶ 168.) Figure 57F above shows
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`a filtered version of a demodulated baseband signal 5712 and, from this waveform,
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`it is clear that the discharge of energy from the storage module is required to
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`generate the baseband signal 5716. (See ’518 patent, 85:19-25 and Fette Dec., ¶
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`168.) This is because, without the discharge of energy during an off-phase of the
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`aperture, the downward slope of the demodulated baseband signal waveform
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`would not be generated. (See Fette Dec., ¶ 168.) Instead, the signal would remain
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`at a constant level until the on-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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`
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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 1, 82, 90 and 91 of
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`the ’518 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 id. ¶¶ 65-68.)
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`Claim Construction Section IV below shows that the ’518 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.
`
`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. ¶ 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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`(a)
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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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`Charge flows from the
`capacitor back to the source
`when the voltage at a
`subsequent aperture falls
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`
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`(b)
`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. ¶ 29.) Petitioner’s expert,
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`Dr. Abidi, agrees. For the first goal, in the context of the S/H circuit illustrated in
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`Figure 4.2 of his declaration (see Abidi Dec., p. 6, § 13.) and when asked by Patent
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`Owner’s counsel “What do you mean by ‘a true value of the input waveform’?,”
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`Dr. Abidi responded: “What I mean by that is that’s held voltage, Vout, referring
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`to Figure 4.2, is equal to the voltage Vin—that’s an ideal condition—Vin at the
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`sampling instant. That is a true value. So the two are equal.” (Ex. 2025, Abidi
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`Dep. Tr., 145:22-146:2, emphasis added.) And for the second goal, again in
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`reference to Figure 4.2 of his declaration, Dr. Abidi states that “[w]hen the switch
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`turns off, the capacitor holds its voltage steady until the next sample . . .” (Abidi
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`Dec., p. 6, § 13, 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 “[s]o in a zero-order
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`sample-and-hold you want to avoid discharge from the capacitor when the switch
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`is open?,” Dr. Abidi responded “[c]orrect.” (Abidi Dep. Tr., 144:13-16.) Typically,
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`a relatively large output impedance—e.g., a buffer circuit with a high impedance or
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`a load 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.
`
`The Operation of S/H Systems Is Fundamentally Different
`from Energy Transfer Mechanisms.
`
`The table below highlights differences between the claimed energy transfer
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`system and S/H systems.
`
`S/H System
`
`Energy Transfer System
`
`o S/H systems are designed for net
`
`o Energy transfer systems sample an
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`transfer of energy to be at or near
`
`input signal over aperture periods to
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`zero since charge flows in and out of
`
`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.)
`
`Section III.C.1 above.)
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`o The sampling is performed such that
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`accurate voltage reproduction of the
`
`input signal is prevented. (See
`
`Section III.A.1 above.)
`
`o S/H systems track an input voltage at
`
`o Energy transfer systems integrate the
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`their outputs when their switches are
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`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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