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`Exhibit 4
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`Case 1:20-cv-00034-ADA Document 44-5 Filed 03/20/20 Page 2 of 13
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`•
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`UNITED STATES PATENT AND IRADEMARK 0FF1CE
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`UNITED STATES DEPARTMENT OF COMMEIICE
`Un.itod $tQtoe l'atout and Tr.::1.dornark Offi~o
`AddN,n: COMMISSIONER OP PATENTS AND TRADEMARKS
`Wa.hingtDn , D .C . 20231
`www.uapto.ROY
`
`I ATTORNEY DOCK.ET NO. I CONFIRMATION NO.
`
`09/164,777
`
`10/01/1998
`
`MIKIMULLOR
`
`REINC4237.0I
`
`7068
`
`7590
`01/1512002
`SPENCER AND FRANK
`SUITE 300 EAST
`1100 NEW YORK A VENUE NW
`WASHINGTON, DC 200053955
`
`EXAMINER
`
`HEWITI II, CAL VTN L
`
`ART UNIT
`
`PAPER NUMBER
`
`2161
`
`DATE MAILED: 01/15/2002
`
`\Y
`
`)
`
`Please find below and/or attached an Office communication concerning this application or proceeding.
`
`PT0-90C (Rev. 07-01)
`
`---
`
`ANCORA_00000421
`
`
`
`Case 1:20-cv-00034-ADA Document 44-5 Filed 03/20/20 Page 3 of 13
`Application No.
`Applicant(s)
`
`Office Action Summary
`
`09/164,777
`
`Examiner
`
`MULLOR ET AL.
`
`Art Unit
`
`2161
`Calvin L Hewitt II
`-- The MAILING DA TE of this communication appears on the cover sheet with the correspondence address -
`Period for Reply
`A SHORTENED STATUTORY PERIOD FOR REPLY IS SET TO EXPIRE J MONTH($) FROM
`THE MAILING DATE OF THIS COMMUNICATION.
`- Extensions of time may be available under the provisions of 37 CFR 1.136(a). In no event, however, may a reply be timely filed
`after SIX (6) MONTHS from the mailing date of this communication.
`If the period for reply specified above is less than thirty (30) days, a reply within the statutory minimum of thirty (30) days will be considered timely.
`-
`If NO period for reply is specified above, the maximum statutory period will apply and will expire SIX (6) MONTHS from the malling date of this communication.
`-
`- Failure to reply within the set or extended period for reply wlll, by statute, cause the application to become ABANDONED (35 U.S.C . § 133).
`- Any reply received by the Office later than three months after the mailing date of this communication, even if timely filed, may reduce any
`earned patent term adjustment. See 37 CFR 1.704(b).
`Status
`
`1)~
`2a)O
`
`Responsive to communication(s) filed on 14 November 2001 .
`This action is FINAL.
`3)0 Since this application is in condition for allowance except for formal matters, prosecution as to the merits is
`closed in accordance with the practice under Ex parte Quayle, 1935 C.D. 11 , 453 O.G. 213.
`
`2b)l2;1 This action is non-final.
`
`Disposition of Claims
`.,:_\. .....
`4)~ Claim(s) f-z..3 is/are pending in the application.
`4a) Of the above claim(s) __ is/are withdrawn from consideration .
`
`5)0 Claim(s) __ is/are allowed.
`
`6)~ Claim(s) 1-23 is/are rejected.
`
`7)0 Claim(s) __ is/are objected to.
`
`8)0 Claim(s) __ are subject to restriction and/or election requirement.
`
`Application Papers
`
`9)0 The specification is objected to by the Examiner.
`
`10)0 The drawing(s) filed on __ is/are: . a)O accepted or b)O objected to by the Examiner.
`Applicant may not request that any objection to the drawing(s) be held in abeyance. See 37 CFR 1.85(a).
`
`11)0 The proposed drawing correction filed on __ is: a)O approved b)O disapproved by the Examiner.
`If approved, corrected drawings are required in reply to this Office action.
`12)0 The oath or declaration is objected to by the Examiner.
`
`Priority under 35 U.S.C. §§ 119 and 120
`
`13)0 Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
`
`a)O All b)O Some • c)O None of:
`
`1.0 Certified copies of the priority documents have been received.
`
`2.0 Certified copies of the priority documents have been received in Application No. __ .
`
`3.0 Copies of the certified copies of the priority documents have been received in this National Stage
`application from the International Bureau (PCT Rule 17.2(a)).
`•Seethe attached detailed Office action for a list of the certified copies not received .
`
`14)0 Acknowledgment is made of a claim for domestic priority under 35 U.S.C. § 119(e) (to a provisional application).
`
`a) 0 The translation of the foreign language provisional application has been received.
`15)0 Acknowledgment is made of a claim for domestic priority under 35 U.S.C. §§ 120 and/or 121.
`
`Attachment(s)
`
`1) ~ Notice of References Cited (PT0-892)
`2) 0 Notice of Draftsperson's Patent Drawing Review (PT0-948)
`3) ~ Information Disclosure Statement(s) (PT0-1449) Paper No(s) 11 .
`
`4) 0 Interview Summary (PT0-413) Paper No(s). __ .
`5) 0 Notice of Informal Patent Application (PT0-152)
`6) 0 Other:
`
`U.S. Patent and Trademark Office
`PT0-326 (Rev. 04-01)
`
`Office Action Summary
`
`Part of Paper No. 12
`ANCORA_00000422
`
`
`
`•
`
`Application/Control Number: 09/164,777
`Art Unit: 2161
`
`Case 1:20-cv-00034-ADA Document 44-5 Filed 03/20/20 Page 4 of 13
`
`•
`
`Page 2
`
`Status of Claims
`
`1.
`
`Claims 1-23 have been examined.
`
`Claim Rejections - 35 USC § 112
`
`2.
`
`The following is a quotation of the first paragraph of 35 U.S.C. 112:
`
`The specification shall contain a written description of the invention, and of the manner and process of
`making and using it, in such full, clear, concise, and exact terms as to enable any person skilled in the
`art to which it pertains, or with which it is most nearly connected, to make and use the same and shall
`set forth the best mode contemplated by the inventor of carrying out his invention.
`
`3.
`
`Claims 11, 12, 15 and 16 are rejected under 35 U.S.C. 112, first
`
`paragraph, as containing subject ~atter which was not described in the
`
`specification in such a way as to enable one skilled in the art to which it pertains,
`
`or with which it is most nearly connected, to make and/or use the invention.
`
`Claims 11, 12 and 15 are rejected as flash memory is a type of EEPROM.
`
`Flash memory can be used as a computer BIOS. Therefore, a computer BIOS
`
`would not contain an EEPROM and/or ROM section.
`
`Claim 16 is rejected because a key cannot be simultaneously "unique" and
`
`"pseudo-unique".
`
`ANCORA_00000423
`
`
`
`Case 1:20-cv-00034-ADA Document 44-5 Filed 03/20/20 Page 5 of 13
`
`•
`
`Application/Control Number: 09/164, 777
`Art Unit: 2161
`
`Page 3
`
`4.
`
`The following is a quotation of the second paragraph of 35 U.S.C. 112:
`
`. The specification shall conclude with one or more claims particularly pointing out and distinctly
`claiming the subject matter which the applicant regards as his invention.
`
`5.
`
`Claims 20 and 21 are rejected under 35 U.S.C. 112, second paragraph, as
`
`being indefinite for failing to particularly point out and distinctly claim the subject
`
`matter which applicant regards as the invention.
`
`Claim 20 recites, "loading a software program residing in volatile memory
`
`area of the computer''. This limitation would not be clear to one of ordinary skill as
`
`the software would have to be loaded a priori in order to reside in volatile
`
`memory.
`
`Claim 21 is rejected because it deP.ends from claim 20.
`
`Claim Rejections - 35 USC § 103
`
`6.
`
`The following is a quotation of 35 U.S.C. 103(a) which forms the basis for
`
`all obviousness rejections set forth in this Office action:
`
`(a) A patent may not be obtained though the invention is not identically disclosed or described as set
`forth in section 102 of this title, if the differences between the subject matter sought to be patented and
`the prior art are such that the subject matter as a whole would have been obvious at the time the
`
`invention was made to a person having ordinary skill in the art to which said subject matter pertains.
`Patentability shall not be negatived by the manner in which the invention was made.
`
`ANCORA_00000424
`
`
`
`Case 1:20-cv-00034-ADA Document 44-5 Filed 03/20/20 Page 6 of 13
`
`•
`
`Page4
`
`•
`
`Application/Control Number: 09/164, 777
`Art Unit: 2161
`
`7.
`
`Claims 1-23 have been rejected under 35 U.S.C. 103(a) as being
`
`unpatentable over Misra et al., U.S. Patent No. 6,189,146, Goldman et al., U.S.
`
`Patent No. 5,684,951 . and Ewertz et al., U.S. Patent No. 5,479,639.
`
`Misra et al. teach a system and method for software licensing that
`
`comprises:
`
`• selecting a program from volatile memory (figure 2)
`
`• using data stored in various memory locations to implement the
`
`system (figure 2; column 5, lines 2-67)
`
`• using an agent to set up a verification structure in computer
`
`memory where structure data includes a license record (column 4,
`
`lines 14-20 and 49-67; column 11, lines 45-59; column 12, lines 8-
`
`31)
`
`• verifying and acting on the program according to the verification
`
`structure (e.g. software license) (column/line 13/65-14/53;
`
`column/line 14/54-17/40)
`
`• a licensing authentication bureau in a two-way connection with a
`
`computer that handles requests for licenses (where license data
`
`includes computer identification and license record contents},
`
`encrypts a request for license (e.g. license) using computer
`
`identification, performs license validation and transfers a license to
`
`a computer (figures 1 and 3-8; column 6, lines 50-64; column 9,
`
`ANCORA_00000425
`
`
`
`Case 1:20-cv-00034-ADA Document 44-5 Filed 03/20/20 Page 7 of 13
`
`•
`
`Page 5
`
`•
`
`Application/Control Number: 09/164, 777
`Art Unit: 2161
`
`•
`
`lines 40-50; column/line 11/60-12/27; column/line 13/65-14/52;
`
`column 15, lines 37-49)
`
`• a license that contains predetermined information (column 10, lines
`
`60-67; column 11, lines 1-24)
`
`• storing a license record in non-volatile memory (column 12, lines 8-
`
`27)
`
`• comparing licenses to determine validity and restricting the
`
`program's operations if a license is determined to be invalid
`
`(column 14, lines 30-51)
`
`• encryption using an identification of a computer that is a unique key
`
`(column 15, lines 37-49)
`
`Regarding the storage of encrypted licenses, Misra et al. teach licenses
`
`that are encrypted using a unique key as they are placed in storage (column 8,
`
`lines 35-52). Therefore, it would have been obvious to one of ordinary skill of the
`
`art to allow user nodes to store licenses in encrypted form for additional security.
`
`In addition, as Misra et al. implement their system using various computer
`
`system memory such as RAM (e.g. volatile) , ROM (which houses a BIOS),
`
`portable and hard disk memory (column 5, lines 37-67) it would have been
`
`obvious to perform encryption processes using the appropriate memory given the
`
`characteristics of the target system (figures 1 and 2). Misra et al. also teach
`
`ANCORA_00000426
`
`
`
`Case 1:20-cv-00034-ADA Document 44-5 Filed 03/20/20 Page 8 of 13
`
`•
`
`Page6
`
`•
`
`Application/Control Number: 09/164,777
`Art Unit: 2161
`
`encryption keys and programs ("agent") used in the license collation process that
`
`belong to various parties (column 8, lines 35-52;_ column 15, lines 37-54).
`
`Therefore, it would have been obvious to one of ordinary skill of the art to store
`
`these keys in non-volatile memory as these keys are used to securely
`
`communicate between and identify parties, as well as access encrypted data.
`
`Misra et al., however, do not teach pseudo-unique keys nor constructing
`
`license records within a computer BIOS. Goldman et al. teach pseudo-unique
`
`keys (abstract) while, Ewertz et al. teach of expanding BIOS memory to store
`
`identification and/or configuration data such as software licenses (column 3, lines
`
`15-40; column/line 11/3-12/14). Therefore, it would have been obvious for one of
`
`ordinary skill of the art to combine the teachings of Misra et al., Goldman et al.
`
`and Ewertz et al. . Recall, Ewertz et al. teach of expanding non-volatile memory
`
`(e.g. BIOS) ('639, column 3, lines 15-40) for maintaining data such as software
`
`licenses. Hence, it would have been obvious to one of ordinary skill to use the
`
`BIOS to store licenses in the Misra et al. system as they teach of users storing
`
`license data in persistent- non-volatile storage ('146, column 12, lines 8-27). Also
`
`pseudo unique keys can be issued, on a temporary basis (say), ('951, abstract),
`
`to encrypt licenses ('146, column 13, lines 42-48). This allows a client to access
`
`secured data without comprising the security of the larger system.
`
`ANCORA_00000427
`
`
`
`Case 1:20-cv-00034-ADA Document 44-5 Filed 03/20/20 Page 9 of 13
`
`•
`
`Page 7
`
`•
`
`Application/Control Number: 09/164, 777
`Art Unit: 2161
`
`Conclusion
`
`8.
`
`The prior art made of record and not relied upon is considered pertinent to
`
`applicant's disclosure:
`
`• Edenson et al. teach a system for protecting copyrighted program
`
`material using a BIOS
`
`• Fette et al. teach a programmable radio and operating software in
`
`accordance with a license
`
`• Steinberg et al. teach software branding
`
`• Smith et al. teach a system for distributing, reg istering and purchasing
`
`software over a network using an agent program embedded in each
`
`software application
`
`9.
`
`Any inquiry concerning this communication or earlier communications from
`
`the Examiner should be directed to Calvin Loyd Hewitt II whose telephone
`
`number is (703) 308-8057. The Exa_miner can normally be reached on Monday(cid:173)
`
`Friday from 8:30 AM-5:00 PM.
`
`If attempts to reach the Examiner by telephone are unsuccessful, the
`
`Examiner's supervisor, James P. Trammell, can be reached at (703) 305-9768.
`
`ANCORA_00000428
`
`
`
`,.
`
`•
`
`•
`
`Case 1:20-cv-00034-ADA Document 44-5 Filed 03/20/20 Page 10 of 13
`
`Application/Control Number: 09/164, 777
`Art Unit: 2161
`
`Page8
`
`Any response to this action should be mailed to:
`
`Commissioner of Patents and Trademarks
`
`c/o Technology Center 2100
`
`Washington, D.C. 20231
`
`or faxed to:
`
`or:
`
`(703) 7 46-7239 (for formal communications intended for entry),
`
`(703) 746-7238 (for after-final communications),
`
`(703) 7 46-7240 (for informal or draft communications, please label
`
`"PROPOSED" or "DRAFT')
`
`Hand-delivered responses should be brought to Crys~al Park II, 2121
`
`Crystal Drive, Arlington, VA, Sixth Floor (Receptionist).
`
`Any inquiry of a general nature or relating to the status of this application
`
`should be directed to the Group receptionist whose telephone number is (703)
`
`305-3900.
`
`Calvin Loyd Hewitt II
`
`January 7, 2002
`
`ANCORA_00000429
`
`
`
`,---------------:--------,-~------,
`
`Case 1:20-cv-00034-ADA Document 44-5 Filed 03/20/20 Page 11 of 13
`
`Application/Control No.
`
`Notice of References Cited
`
`09/164,777
`
`Examiner
`
`Calvin L Hewitt II
`
`U.S. PATENT DOCUMENTS
`
`~·· .· -Applicant(s)/Patent Under
`Reexamination
`MULLOR ET AL.
`
`Art Unit
`
`2161
`
`Page 1 of 1
`
`* ,
`
`Document Number
`Country Code-Number-Kind Code
`
`Date
`MM-YYYY
`
`A US-5,479,639-A
`
`12-1995
`
`Ewertz et al.
`
`·•
`
`B US-6, 189, 146-A
`
`02-2001
`
`Misra et al.
`
`C US-6,067,582-A
`
`05-2000
`
`Smith et al.
`
`D US-6,000,030
`
`12-1999
`
`Steinberg et al.
`
`E US-6,052,600-A
`
`04-2000
`
`Fette et al.
`
`F
`
`US-6, 198,875-A
`
`03-2001
`
`Edenson et al.
`
`Name
`
`Classification
`
`395
`
`717
`
`710
`
`713
`
`455
`
`386
`
`430
`
`11
`
`5
`
`200
`
`509
`
`94
`
`G US-
`
`H US-
`
`I
`
`J
`
`US-
`
`US-
`
`K US-
`
`L
`
`US-
`
`M US-
`
`*
`
`Document Number
`Country Code-Number-Kind Code
`
`Date
`MM-YYYY
`
`Country
`
`Name
`
`Classification
`
`FOREIGN PATENT DOCUMENTS
`
`N
`
`0
`
`p
`
`a
`
`R
`
`s
`
`T
`
`u
`
`V
`
`w
`
`.- y
`*
`
`NON-PATENT DOCUMENTS
`
`Include as applicable: Author, Title Date, Publisher, Edition or Volume, Pertinent Pages)
`
`X
`
`. A copy of this reference 1s not being furnished with this Office action. (See MPEP § 707.0S(a).)
`
`Dates in MM-YYYY format are publicat.ion dates. Classifications may be US or foreign.
`
`U.S. Patent and Trademark Office
`PT0-892 (Rev. 01 -2001)
`
`Notice of References Cited
`
`Part or Paper No. 12
`
`ANCORA_00000430
`
`
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`-
`o'
`,:,~ (use es many sheets as necessary)
`I ot I 2
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`Cite
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`Examiner Cite
`Initials·
`No.'
`
`Please ~pea plus slgn !+) inside·t~is t. L.! ... f
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`
`·-;,
`
`. ~~
`
`r Substitute for form 1449A/PTO
`
`Case 1:20-cv-00034-ADA Document 44-5 Filed 03/20/20 Page 12 of 13
`PTO/SB/OSA (08-00)
`.•
`Approved for use through 10/31/2002. 0MB 0651-0031+
`U.S. Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE
`Under lhe p,,.............i. Reduction ki of 1995 no """""'" are ~ 'red le resoond le a oolledion of infoonation unless ~ contains a vaid 0MB rontrol nwnber.
`
`Application Number
`
`Filing Date
`
`First Named Inventor
`
`Group Art Unit
`Examiner Name
`
`Attorney Docket Number
`
`Complete If Known
`09/164,777
`October 1, 1998
`Miki MULLOR et al.
`2161
`J. Trammell
`39636-176166
`
`"
`
`~
`
`Number
`
`U.S. Patent Document
`Kind Code2
`(if known)
`5,754,763
`5,758,068
`5,790,664
`5,758,069
`5,905,860
`5,390,297
`6,173,446
`4,903,296
`6,298,138
`6,192,475
`6,272,636
`6,055,503
`6,073,256
`6,006,190
`6,078,909
`6,243,468
`6,189,146
`5,671 ,412
`5,826,011
`6,023,763
`
`U.S. PATENT DOCUMENTS
`
`Name of Paton1eo or Applicant
`of Cited Document
`
`Bcreitcr
`Brandt et al.
`Coley ct al.
`Olsen
`Olsen et al.
`Barber et al.
`Khan et al.
`Chandra et al.
`Gotohctal.
`Wallance
`Neville ct al.
`Horstmann
`Sesma
`Bacna-Arnaiz ct al.
`Knutson
`Pearce ct al.
`Misra ct al.
`Christiano
`Chou et al.
`Grumpstrup et al.
`
`Peges, Columns, Lines, Whore Rolovant
`Passages or Relevant
`Figures Appear
`
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`Date of Publication of
`Cileo Document
`MM-DD-YYYY
`5/19/!998
`sn6/t998
`8/4/1998
`sn6/t998
`S/18/1999
`2/14/1995
`119noo1
`2/20/!990
`10/2/2001
`212onoo1
`smnoo1
`4nsnooo
`6/6nooo
`12/21/1999
`6/20/2000
`61snoo1
`2/IJnOOI
`9n3/1997
`10no11998
`21snooo
`
`FOREIGN PATENT DOCUMENTS
`Foreign Patent Document
`Date of Publication of
`Name of Patentee
`or Applicant of
`Cited Document
`Cited Document
`MM-DD-YYYY
`
`Office3
`
`Number'
`
`Kind Code5
`(if known)
`
`Pages, Columns, Lines.
`Where Relevant
`Passages or Relevant
`Figures Amiear
`
`To
`
`Sidered I vru/ 'e)
`-
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`{)o q W 11 A"8~~8
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`"EXAMINE"' m,, ,,;;,,., I,~ ~ '.'red.\.,,,oth" ;;, "" ••;oo ,,i, 00,1-,re Mo MPEP 609'. o.l.w i;., o, ,gh ••loo 11 oot 1, oomo='"~
`
`Examiner 'I riJ :rv/ "'l I
`
`Signature
`
`and not conside
`
`.
`
`de copy ft ils form with next communication to applicant.
`
`/
`
`I ~
`
`1 Unique citation designation numbe . 2 See attached Kinds of U.S. Patent Documents. 3 Enter Office that issued the document, by the two-letter code
`(WIPO Standard ST.3). ' For Japanese patent documents, the indication of the year of the relgn of the Emperor must precede the serial number of the
`patent document. 5 Kind of document by the appropriate symbols as indicated on the document under WIPO Standard ST. 16 if possible. 8 Applicant is
`to place a check mark here if English language Translation is attached.
`
`SEND TO: Assistant Commissioner for Patents, Washington, DC 20231 .
`
`+
`
`ANCORA_00000431
`
`
`
`~ase type a plus s1gn 1+) fnside·this .[±J
`
`. .
`
`l
`
`'
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`.
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`"''
`tuN\4Lli ,, ...
`f iner
`E ~ , •.
`~-i
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`Case 1:20-cv-00034-ADA Document 44-5 Filed 03/20/20 Page 13 of 13
`PTO/SB/OBA (08-00)
`. )
`.
`- ' -
`Approved ror use through 10/31/2002. 0MB 0651-0031+
`U.S. Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE
`Under the P~N>Nrlli< Reduc::lion Ad. of 1995 no """"""' are reiuired to n><>IYYlrl to a <Xllledion a information unless ~ oontains a valid OlvlB control number.
`....._
`/' Substitute for form 1449NPTO
`Complete if Known
`09/ 164,777
`October I , 1998
`Miki MULL OR et al.
`2161
`J. Trammell
`39636-176166
`
`~ (use as many sheets as necessary)
`I ot I 2
`2
`\.~~et
`
`Application Number
`
`FIiing Date
`
`First Named Inventor
`Group Art Unit
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`Examiner Name
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`Attorney Docket Number
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`~
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`-0
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`I
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`Cite
`No.'
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`Examiner Cite
`No.'
`Initials'
`
`U.S. PATENT DOCUMENTS
`
`Name of Patentee or Applicant
`of Cited OOOJmenl
`
`Dalo of Publicalion of
`Cilod Oowmenl
`MM-OD-YYYY
`
`Pages, Columns, Lines, Whore Relevant
`Passages or Rolovanl
`Figures Appear
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`Number
`
`U.S. Patent Document
`Kind Code2
`(if known)
`6,226,747
`6, 128,741
`4,924,378
`5,386,369
`6,233,567
`4,866,769
`6,02 1,438
`
`Larsson et al.
`Goetz el al.
`H ershey et al.
`
`Christiano
`
`Cohen
`Ka,p
`Duvvoori el al.
`
`5/1/2001
`10/3/2000
`5/8/1990
`113 1/1995
`5/ 15/2001
`9/1211989
`211/2000
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`FOREIGN PATENT DOCUMENTS
`F¥eign Patent Document
`Date of Publication of
`Name of Patentee
`Cited Document
`or Applicant of
`MM-DO-YYYY
`Cited Document
`
`Office3
`
`Number•
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`Kind Code$
`(if known)
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`Signature
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`'EXAMINER: lnit~rence co ' id red, w ~ther or not citation is In ~formance with MPEP 60\ b rawlin throug~ citation if not in conformance
`and not considered. Include copy o
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`' Unique citation designation number. 2 See attached Kinds of U.S. Patent Documents. 3 Enter Office that issued the document, by the two-letter code
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`SEND TO: Assistant Commissioner for Patents, Washington, DC 20231 .
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`ANCORA_00000432
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