Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 1 of 118 PageID #: 930
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`APPENDIX E
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`
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`EXCERPTS FROM PROSECUTION HISTORY OF
`
`Patent No. 8,037,158
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`APPENDIX E
`
`
`
`EXCERPTS FROM PROSECUTION HISTORY OF
`
`Patent No. 8,037,158
`
`
`
`U.S. PTO
`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 2 of 118 PageID #: 931
`11/980185
`10/30/2007
`N o
`
`~
`- .L_ N)
`O~ -.J
`~ o
`c
`0 _
`En
`-....I
`~o~issioner for Patents
`P.O~ox 1450, Alexand.·ia VA 22313
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UTILITY PATENT APPLICATION
`
`SIR:
`
`Please file the following enclosed patent application papers:
`
`Inventors: Lakshmi Arunachalam
`
`Inventor's Addresses: Menlo Park, CA USA
`
`Title: "Method and Apparatus for Enabling Real-Time Transactions on a
`Network"
`
`(x) Signature by Attorney constituting power of attorney
`
`(x) Specification, Claims, and Abstract: No. of Sheets Q
`
`(x) Inventor's Declaration
`
`(x) Drawings: No. of Sheets 13
`
`(x ) Check for $ 0 0 • 00
`
`Including $ 515 Basic Fee - SMALL ENTITY FEE - APPLICANT BY THIS
`FEE DECLARES ITSELF A SMALL ENTITY
`and $ J!.. for J!.. independent claims above 3 at $105 claim and
`$.1i. for J!.. claims above 20 at $25 per claim.
`
`Very Respectfully,
`
`Attorney of Record
`
`CORRESPONDENCE ADDRESS
`Clifford Kraft
`320 Robin Hill Dr.
`Naperville, II. 60540
`708 528-9092
`
`Express Mail Label#: £-tf> ~L.22.2.. " 0 bUS
`ex-Tr ,:5 0 ~ 2 (J) 6> 7
`
`Date of Deposit:
`
`)
`
`I hereby certify that this paper and fee is being deposited with the United States Postal Service using "Express
`Mail Post Office To Addressee" service under 37 CFR 1.10 on the date indicated above and is addressed to
`"Commissioner for Patents, P.O. Box 1450, Alexandria, V A 22313-1450."
`
`Patent No. 8,037,158
`
`1
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`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 3 of 118 PageID #: 932
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`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`In re application of:
`
`Inventor: Lakshmi Arunachalam
`
`Serial No.:
`
`Filing Date: Oct. 29, 2007
`
`Title: METHOD AND APPARATUS
`FOR ENABLING REAL-TIME
`TRANSACTIONS ON A
`NEnNORK
`
`)
`)
`)
`)
`)
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`
`SUGGESTED RESTRICTION REQUIREMENT (SRR)
`
`Commissioner for Patents
`P.O. Box 1450
`Alexandria VA 22313=1450
`
`Honorable Commissioner:
`
`Kindly accept this Suggested Restriction Requirement under 37 C.F.R.
`
`§1.142(c) as amended by the rules going into effect Nov. 1, 2007.
`
`The applicant respectfully suggests the following restriction:
`
`Claim Group I - Claims 1- 17 drawn to a method for delivering complete
`
`wireless transactional services over the World Wide Web.
`
`Claim Group II - Claims 18-24 drawn to an employee-accessible web
`
`service network portal.
`
`Claim Group III - Claims 25-32 drawn to an exchange component of a
`
`web-based transactional service.
`
`Claim Group IV - Claims 33-39 drawn to a multi-media network object
`
`routing service.
`
`Claim Group V - Claims 40-46 drawn to a web service transaction
`
`system for allowing N-Way transactions .
`
`..
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`Patent No. 8,037,158
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`2
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`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 4 of 118 PageID #: 933
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`Claim Group VI- Claims 47-52 drawn to a cooperative multiple merchant
`
`web service system.
`Claim Group VII- Claims 53-59 drawn to a method for providing an
`
`enhanced value chain between web merchants.
`Claim Group VIII- Claims 60-70 drawn to a value added network switch.
`Claim Group IX - Claims 72-85 drawn to a method for performing a
`transaction over a digital network.
`Claim Group X - Claims 86-92 drawn to a method for managing services
`on a network.
`Claim Group XI- Claims 93-104 drawn to a method for configuring the
`context of a service on the World Wide Web.
`Claim Group XII- Claims 105-110 drawn to distributed online service
`information bases.
`
`Respectfully Submitted
`
`Clifford H. Kraft
`Reg. No. 35,229
`Attorney of Record
`
`Patent No. 8,037,158
`
`3
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`
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`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 5 of 118 PageID #: 934
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`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`In re application of:
`
`Inventor: Lakshmi Arunachalam
`
`Serial No.:
`
`Filing Date: Oct. 30, 2007
`
`Title: METHOD AND APPARATUS
`FOR ENABLING REAL-TIME
`TRANSACTIONS ON A
`NEnNORK
`
`)
`)
`)
`)
`)
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`)
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`)
`)
`
`IDENTIFICATION OF OTHER APPLICATIONS
`
`Commissioner for Patents
`P.O. Box 1450
`Alexandria VA 22313-1450
`
`Honorable Commissioner:
`
`This is an identification of other applications with an inventor in common
`
`and a claimed filing or priority date within two months of the claimed filing or
`
`priority date of this application as required by 37 C.F.R. §1.78(f)(1).
`
`IDENTIFICATION
`
`This application has a common inventor Lakshmi Arunachalam and a
`
`common priority date of Nov. 13, 1995 with the following applications:
`
`081700,726 now patent no. 5,778,178
`
`08/879,958 now patent no. 5,987,500
`
`09/296,207 now patent no. 6,212,556
`
`091792,323 co-pending (Notice of allowance issued)
`
`09/863,704 co-pending
`
`Patent No. 8,037,158
`
`4
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`
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`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 6 of 118 PageID #: 935
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`Respectfully Submitted
`
`~~
`
`Clifford H. Kraft
`Reg. No. 35,229
`Attorney of Record
`
`2
`
`Patent No. 8,037,158
`
`5
`
`
`
`i·
`
`V·
`-
`<1'-0
`..:
`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 7 of 118 PageID #: 936
`~
`~EB 04 200~
`
`ct~A~ THE PATENT AND TRADEMARK OFFICE
`
`Art Unit: 2154
`
`Examiner:
`
`In re application of:
`
`Lakshmi Arunachalam
`
`Serial No.: 11/980,185
`
`Filing Date: Oct. 30, 2007
`
`Title: METHOD AND APPARATUS
`FOR ENABLING REAL-TIME
`BI-DIRECTIONAL TRANS-
`ACTIONS ON A NEWWORK
`
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`
`INFORMATION DISCLOSURE STATEMENT
`
`Commissioner for Patents
`. P.O. Box 1450
`Alexandria VA 22313-1450
`
`Honorable Commissioner:
`
`In accordance with 37 C.F.R. §1.97, please accept this Information
`
`Disclosure Statement, cross-reference to co-pending applications and copies of
`
`any non-US patent art.
`
`CROSS-REFERENCE TO CO-PENDING APPLICATIONS
`
`The following US applications are co-pending naming the same inventor:
`
`09/863,704 filed 5-23-2001
`09/792,323 filed 2-23-2001
`
`COMMENTS
`
`It is believed that this disclosure complies with 37 C.F.R. §1.56 and 1.98
`
`and M.P.E.P. §2000. This disclosure statement should not be construed as a
`
`Patent No. 8,037,158
`
`6
`
`
`
`f'
`
`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 8 of 118 PageID #: 937
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`representation that a search has been made or that no other material information
`
`as defined in 37 C.F.R. §1.56(a) exists. A copy of each non-US patent reference
`
`is being supplied. Some references may contain marks; no significance should
`
`be attached to these.
`
`Respectfully submitted
`
`C ifford H. Kraft
`Reg. No. 35,229
`Attorney of Record
`
`CORRESPONDENCE ADDRESS
`
`Clifford H. Kraft
`320 Robin Hill Dr.
`Naperville, IL 60540
`
`(708) 528-9092
`
`CERTIFICATE OF MAILING
`
`I hereby certify that this correspondence is being deposited with the United
`States Postal Service as
`first class mail
`in an envelope addressed
`to
`Commissioner for Patents, P.O. Box 1450 Alexandria, VA 22313-1450 with
`sufficient postage.
`
`On: _..L.Eis-=--:e......:~"-----'-I-T/-=2...=-o.:::...-o--=-p __ _ _
`
`By: ---,-C?#J~--=F-:~~;~/L:::;~~~.lI.o:--
`
`Name: ____ ~C=liff~o=r~d~H~.~K=r=aft~ ________ _
`
`Patent No. 8,037,158
`
`7
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`
`
`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 9 of 118 PageID #: 938
`
`IN THE PATENT AND TRADEMARK OFFICE
`
`Art Unit: 2154
`
`Examiner:
`
`In re application of:
`
`Lakshmi Arunachalam
`
`Serial No.: 11/980,185
`
`Filing Date: Oct. 30, 2007
`
`Title: METHOD AND APPARATUS
`FOR ENABLING REAL-TIME
`BI-DIRECTIONAL TRANS-
`ACTIONS ON A NEWWORK
`
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`
`INFORMATION DISCLOSURE STATEMENT
`
`Commissioner for Patents
`P.O. Box 1450
`Alexandria VA 22313-1450
`
`Honorable Commissioner:
`
`In accordance with 37 C.F.R. §1.97, please accept this Information
`
`Disclosure Statement, cross-reference to co-pending applications and copies of
`
`any non-US patent art.
`
`COMMENTS
`
`It is believed that this disclosure complies with 37 C.F.R. §1.56 and 1.98
`
`and M.P.E.P. §2000. This disclosure statement should not be construed as a
`
`representation that a search has been made or that no other material information
`
`as defined in 37 C.F.R. §1.56(a) exists. A copy of each non-US patent reference
`
`Patent No. 8,037,158
`
`8
`
`
`
`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 10 of 118 PageID #: 939
`
`is being supplied. Some references may contain marks; no significance should
`
`be attached to these.
`
`Respectfully submitted
`
`Cifford H. Kraft
`Reg. No. 35,229
`Attorney of Record
`
`CORRESPONDENCE ADDRESS
`
`Clifford H. Kraft
`320 Robin Hill Dr.
`Naperville, IL 60540
`
`(708) 528-9092
`
`CERTIFICATE OF MAILING
`
`I hereby certify that this correspondence is being deposited with the United
`States Postal Service as
`first class mail
`in an envelope addressed
`to
`Commissioner for Patents, P.O. Box 1450 Alexandria, VA 22313-1450 with
`sufficient postage.
`
`On:
`
`..r.etf'_ ~,,26/(::9~
`By: ~k4L
`
`Name:
`
`Clifford H. Kraft
`
`Patent No. 8,037,158
`
`9
`
`
`
`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 11 of 118 PageID #: 940
`
`Lakshmi Arunachalam
`
`. Art Unit: 2154
`
`Examiner:
`
`)
`)
`)
`)
`Serial No.: 11/980,185)
`)
`)
`)
`)
`)
`)
`)
`)
`
`Filing Date: Oct. 30, 2007
`
`Title: METHOD AND APPARATUS
`FOR ENABLING REAL-TIME
`BI-DIRECTIONAL TRANS-
`ACTIONS ON A NEWWORK
`
`INFORMATION DISCLOSURE STATEMENT
`
`Commissioner for Patents
`P.O. Box 1450
`Alexandria VA 22313-1450
`
`Honorable Commissioner:
`
`In accordance with 37 C.F.R. §1.97, please accept this Information
`
`Disclosure Statement, cross-reference to co-pending applications and copies of
`
`any non-US patent art.
`
`COMMENTS
`
`It is believed that this disclosure complies with 37 C.F.R. §1.56 and 1.98
`
`and M.P.E.P. §2000. This disclosure statement should not be construed as a
`
`representation that a search has been made or that no other material information
`
`as defined in 37 C.F.R. §1.56(a) exists. A copy of each non-US patent reference
`
`Patent No. 8,037,158
`
`10
`
`
`
`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 12 of 118 PageID #: 941
`
`Respectfully submitted
`
`ci;#l~
`
`Cifford H. Kraft
`Reg. No. 35,229
`Attorney of Record
`
`is being supplied. So
`
`be attached to these.
`
`CORRESPONDENCE ADDRESS
`
`Clifford H. Kraft
`320 Robin Hill Dr.
`Naperville, IL 60540
`
`(708) 528-9092
`
`CERTIFICATE OF MAILING
`
`I hereby certify that this correspondence is being deposited with the United
`to
`first class mail· in an envelope addressed
`States Postal Service as
`Commissioner for Patents, P.O. Box 1450 Alexandria, VA 22313-1450 with
`sufficient postage.
`
`On:
`
`./'V?&L 1-$/ 2()O~
`By: a#4!k#
`
`Name: ____ ~C=liff=o=r=d~H~.~K~ra=ft~ ______ __
`
`Patent No. 8,037,158
`
`11
`
`
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`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 13 of 118 PageID #: 942
`
`THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Art Unit: 2155
`
`Examiner:
`
`In re application of:
`
`Lakshmi Arunachalam
`
`Serial No. 11/980,185
`
`Filing Date: Oct 30, 2007
`
`Title: METHOD AND APPARAUTS
`FOR ENABLING REAL TIME
`TRANSACTIONS ON A
`NETWORK
`
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`
`INFORMATION DISCLOSURE STATEMENT
`
`Commissioner for Patents
`P.O. Box 1450
`Alexandria VA 22313-1450
`
`Honorable Commissioner:
`
`In accordance with 37 C.F.R. §1.97, please accept this Information Disclosure
`
`Statement and copies of any non-US patent art.
`
`COMMENTS
`
`It is believed that this disclosure complies with 37 C.F.R. §1.56 and 1.98 and
`
`M.P.E.P. §2000. This disclosure statement should not be construed as a
`
`representation that a search has been made or that no other material information as
`
`defined in 37 C.F.R. §1.56(a) exists. A copy of each non-US patent reference is being
`
`- 1
`
`-
`
`Patent No. 8,037,158
`
`12
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`
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`\ .
`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 14 of 118 PageID #: 943
`'"
`
`-'
`t
`
`supplied. Some references may contain marks; no significance should be attached to
`
`these.
`
`Respectfully submitted
`
`Cifford H. Kraft
`Reg. No. 35,229
`Attorney of Record
`
`CORRESPONDENCE ADDRESS CUSTOMER NUMBER: 000074642
`
`Clifford H. Kraft
`320 Robin Hill Dr.
`Naperville, IL 60540
`
`(708) 528-9092
`
`CERTIFICATE OF MAILING
`
`I hereby certify that this correspondence is being deposited with the United States
`Postal Service as first class mail in an envelope addressed to Commissioner for Patents,
`P.O. Box 1450 Alexandria, VA 22313-1450 with sufficient postage.
`
`DC,T.2. ~ ( 2GJt9?
`7
`
`On:
`
`By:
`
`Name:
`
`Clifford H. Kraft
`
`- 2
`
`-
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`Patent No. 8,037,158
`
`13
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`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 15 of 118 PageID #: 944
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`STATES PATENT AND TRADEMARK OFFICE
`
`Art Unit:
`
`Examiner:
`
`In re application of:
`
`Lakshmi Arunachalam
`
`Serial No. 11/980,185
`
`Filing Date: Oct. 30, 2008
`
`Title: METHOD AND APPARAUTUS
`FOR ENABLING REAL TIME
`TRANSACTIONS ON A
`NETWORK
`.
`
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`) .
`)
`
`INFORMATION DISCLOSURE STATEMENT
`
`Commissioner for Patents
`P.O. Box 1450
`Alexandria VA 22313-1450
`
`Honorable Commissioner:
`
`In accordance with 37 C.F.R. §1.97, please accept this Information Disclosure
`
`Statement and copies of any non-US patent art.
`
`COMMENTS
`
`It is believed that this disclosure complies with 37 C.F.R. §1.56 and 1.98 and
`
`M.P.E.P. §2000. This disclosure statement should not be construed as a
`
`representation that a search has been made or that no other material information as
`
`defined in 37 C.F.R. §1.56(a) exists. A copy of each non-US patent reference is being
`
`- 1 -
`
`Patent No. 8,037,158
`
`14
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`
`
`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 16 of 118 PageID #: 945
`
`Respectfully Submitted
`
`~~
`
`Clifford H. Kraft
`Reg. No. 35,229
`Attorney of Record
`
`CORRESPONDENCE ADDRESS
`
`Clifford H. Kraft
`320 Robin Hill Dr.
`Naperville, IL 60540
`
`708528-9092 Tel.
`630393-9114 Fax.
`
`First Class Mailing Certificate: This paper is being filed by United States First
`Class Mail addressed to Commissioner for Patents, P.O. Box 1450, Alexandria
`VA. 22313-1450 with sufficient postage on:
`/kG fI'..
`I ~ j
`;;.. C90 p
`Signature: ~~
`
`Date:
`
`Name: _____ C=I=iff=o=rn~H~.K~r=aft~ __________ ___
`
`Patent No. 8,037,158
`
`15
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`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 17 of 118 PageID #: 946
`
`Art Unit:
`
`Examiner
`
`Lakshmi Arunachalam
`
`Serial No. 11/980,185
`
`Filing Date: Oct. 30, 2007
`
`Title: METHOD AND APPARATUS
`FOR ENABLING REAL TIME
`TRANSACTIONS ON A
`NETWORK
`
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`
`NOTIFICATION OF RELATED LITIGATION
`
`Commissioner for Patents
`P.O. Box 1450
`Alexandria VA 22313-1450
`
`Honorable Commissioner:
`
`This is a notification under M.P.E.P. §2001.06(c) of related litigation of
`
`patents in the same family as the present application. A complaints is attached
`
`Civil Case CV 085149 filed in the United States District Court for the Northern
`
`District of California on Nov. 8, 2008. This complaint, filed by Microsoft
`
`Corporation, asks for a declaratory Judgment against parent patents 5,778,178,
`
`6,212,556 and 7,340,506.
`
`As of the present time, no material information has arisen from this
`
`litigation. If any material information as defined in the above-referenced section
`
`arises, the applicant will file a further disclosure.
`
`Patent No. 8,037,158
`
`16
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`
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`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 18 of 118 PageID #: 947
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`Respectfully Submitted
`
`~4-
`
`. Clifford H. Kraft
`Reg. No. 35,229
`Attorney of Record
`
`CORRESPONDENCE ADDRESS
`
`Clifford H. Kraft
`320 Robin Hill Dr.
`Naperville, IL 60540
`
`708 528-9092 Tel.
`630 393-9114 Fax.
`
`First Class Mailing Certificate: This paper is being filed by United States First
`Class Mail addressed to Commissioner for Patents, P.O. Box 1450, Alexandria
`VA. 22313-1450 with sufficient postage on:
`
`Date: M v. /~ ?-(!;IO If"
`Signature: Q#-fl4t-=
`
`Name: ____ ~C=liff~o~ro~H~.~K~ra~ft~ __________ __
`
`Patent No. 8,037,158
`
`17
`
`
`
`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 19 of 118 PageID #: 948
`,"
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Art Unit:
`
`Examiner
`
`In re application of:
`
`Lakshmi Arunachalam
`
`Serial No. 11/980,185
`
`Filing Date: Oct. 30, 2007
`
`Title: METHOD AND APPARATUS
`FOR ENABLING REAL TIME
`TRANSACTIONS ON A
`NETWORK
`
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`
`INFORMATION DISCLOSURE STATEMENT
`
`Commissioner for Patents
`P.O. Box 1450
`Alexandria VA 22313-1450
`
`Honorable Commissioner:
`
`In accordance with 37 C.F.R. §1.97, please accept this Information
`
`Disclosure Statement and copies of any non-US patent art.
`
`COMMENTS
`
`It is believed that this disclosure complies with 37 C.F.R. §1.56 and 1.98
`
`and M.P.E.P. §2000. This disclosure statement should not be construed as a
`
`representation that a search has been made or that no other material information
`
`as defined in 37 C.F.R. §1.56(a) exists. A copy of each non-US patent reference
`
`is being supplied. Some references may contain marks; no significance should
`
`be attached to these.
`
`Patent No. 8,037,158
`
`18
`
`
`
`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 20 of 118 PageID #: 949
`
`Respectfully submitted
`
`~~
`
`Cifford H. Kraft
`Reg. No. 35,229
`Attorney of Record
`
`CORRESPONDENCE ADDRESS CUSTOMER NUMBER: 000074642
`
`Clifford H. Kraft
`320 Robin Hill Dr.
`Naperville, IL 60540
`
`(708) 528-9092
`
`CERTIFICATE OF MAILING
`
`I hereby certify that this correspondence is being deposited with the United
`States Postal Service as
`first class mail
`in an envelope addressed
`to
`Commissioner for Patents, P.O. Box 1450 Alexandria, VA 22313-1450 with
`sufficient postage.
`d)..E!5c.
`'({'/:;z.. t:!J(!) P
`,
`BY:~~
`
`On:
`
`Name:
`
`Clifford H. Kraft
`
`Patent No. 8,037,158
`
`19
`
`
`
`...
`
`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 21 of 118 PageID #: 950
`
`Art Unit:
`
`Examiner:
`
`Lakshmi Arunachalam
`
`Serial No. 11/980,185
`
`Filing Date: Oct. 30, 2007
`
`Title: METHOD AND APPARAUTUS
`FOR ENABLING REAL TIME
`TRANSACTIONS ON A
`NEnNORK
`
`)
`)
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`)
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`)
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`)
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`
`INFORMATION DISCLOSURE STATEMENT
`
`Commissioner for Patents
`P.O. Box 1450
`Alexandria VA 22313-1450
`
`Honorable Commissioner:
`
`In accordance with 37 C.F.R. §1.97, please accept this Information Disclosure
`
`Statement and copies of any non-US patent art.
`
`COMMENTS
`
`It is believed that this disclosure complies with 37 C.F.R. §1.56 and 1.98 and
`
`M.P.E.P. §2000. THIS IS A DISCLOSURE OF A REEXANINATION REQUEST MADE
`
`BY A THIRD PARTY ON ONE OF THE PARENT PATENTS FOR THE PRESENT
`
`CASE.
`
`- 1 -
`
`Patent No. 8,037,158
`
`20
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`·
`
`..
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`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 22 of 118 PageID #: 951
`
`Respectfully submitted
`
`Cifford H. Kraft
`Reg. No. 35,229
`Attorney of Record
`
`CORRESPONDENCE ADDRESS CUSTOMER NUMBER: 000074642
`
`Clifford H. Kraft
`320 Robin Hill Dr.
`Naperville, IL 60540
`
`(708) 528-9092
`
`CERTIFICATE OF MAILING
`
`I hereby certify that this correspondence is being deposited with the United States
`Postal Service as first class mail in an envelope addressed to Commissioner for Patents,
`P.O. Box 1450 Alexandria, VA 22313-1450 with sufficient postage.
`On: ~c. I~, 2J~ oR'
`
`BY:~~
`
`Name:
`
`Clifford H. Kraft
`
`- 2 -
`
`Patent No. 8,037,158
`
`21
`
`
`
`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 23 of 118 PageID #: 952
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Customer No. 68,540
`Attorney Docket No.: 1035.8001-00000
`
`)
`)
`) Control Number: Not Yet Assigned
`)
`)
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`)
`
`In re Ex Parte Reexamination of:
`u.s. Patent No.: 5,778,178
`
`Issue Date: July 7.1998
`
`Application No. 08nOO.726
`
`Filing Date: August 5, 1996
`
`Inventor: Lakshmi Arunachalam
`
`For. Method and Apparatus for
`Enabling Real-Time Bi-Directional
`Transactions on a Network
`
`Mail Stop Ex Parte REEXAM
`Central Reexamination Unit
`Commissioner for Patents
`P.O. Box 1450
`Alexandria. VA 22313-1450
`
`Sir.
`
`INFORMATION DISCLOSURE STATEMENT
`UNDER 37 CaFaRo § 1.510Ia)
`
`Pursuant to 37 C.F.R. § 1.510(a), Requester brings to the attention of the
`
`Examiner the documents listed on the attached Form S8-08. This Information
`
`Disclosure Statement is being filed concurrently with the above-identified Request for
`
`Reexamination.
`
`Copies of the non-patent documents are attached with this submission.
`
`Patent No. 8,037,158
`
`22
`
`
`
`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 24 of 118 PageID #: 953
`
`If there is any fee due in connection with the filing of this Statement, please
`
`charge the fee to our Deposit Account No. 50-4126.
`
`Respectfully submitted,
`
`O'BRIEN JONES, PLLC
`.
`.
`BY:~O~
`
`Michelle E. O'Brien
`Reg. No. 46,203
`
`Date: November 21 t 2008
`
`-2-
`
`Patent No. 8,037,158
`
`23
`
`
`
`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 25 of 118 PageID #: 954
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Art Unit:
`
`Examiner
`
`In re application of:
`
`Lakshmi Arunachalam
`
`Serial No. 11/980,185
`
`Filing Date: Oct. 30, 2007
`
`Title: METHOD AND APPARATUS
`FOR ENABLING REAL TIME
`TRANSACTIONS ON A
`NETWORK
`
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`
`INFORMATION DISCLOSURE STATEMENT
`
`Commissioner for Patents
`P.O. Box 1450
`Alexandria VA 22313-1450
`
`Honorable Commissioner:
`
`In accordance with 37 C.F.R. §1.97, please accept this Information
`
`Disclosure Statement and copies of any non-US patent art.
`
`COMMENTS
`
`It is believed that this disclosure complies with 37 C.F.R. §1.S6 and 1.98
`
`and M.P.E.P. §2000. This disclosure statement should not be construed as a
`
`representation that a search has been made or that no other material information
`
`as defined in 37 C.F.R. §1.S6(a) exists. A copy of each non-US patent reference
`
`is being supplied. Some references may contain marks; no significance should
`
`be attached to these.
`
`Patent No. 8,037,158
`
`24
`
`
`
`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 26 of 118 PageID #: 955
`
`It should be noted that these references were supplied in ongoing litigation
`
`concerning parent patents of the current case by defendants in that case, namely
`
`Allstate, Dell and Federal Express. This litigation has already been reported to
`
`the examiner in a prior information disclosure. The applicant apologizes if there
`
`are any duplicates reported. The applicant also does not admit that any of these
`
`references are necessarily prior art since some of the dates on some of the
`
`references may be after the filing date or priority date of the applicant. The
`
`references are being supplied for completeness.
`
`Respectfully submitted
`
`Cifford H. Kraft
`Reg. No. 35,229
`Attorney of Record
`
`CORRESPONDENCE ADDRESS CUSTOMER NUMBER: 000074642
`
`Clifford H. Kraft
`320 Robin Hill Dr.
`Naperville, IL 60540
`
`(708) 528-9092
`
`Patent No. 8,037,158
`
`25
`
`
`
`r ...
`
`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 27 of 118 PageID #: 956
`... ~- ..).
`
`~~~ HE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Art Unit:
`
`Examiner
`
`In re application of:
`
`Lakshmi Arunachalam
`
`Serial No. 11/980,185
`
`Filing Date: Oct. 30, 2007
`
`Title: METHOD AND APPARATUS
`FOR ENABLING REAL TIME
`TRANSACTIONS ON A
`NETWORK
`
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`
`NOTIFICATION OF RELATED INTER PARTES REEXAMINATION
`
`Commissioner for Patents
`P.O. Box 1450
`Alexandria VA 22313-1450
`
`Honorable Commissioner:
`
`This is a notification of a related request and assignment of Inter Partes
`
`Reexamination of patents in the same family as the present application.
`
`This information could not have been presented earlier.
`
`Respectfully Submitted
`
`a;p.p~
`
`Clifford H. Kraft
`Reg. No. 35,229
`Attorney of Record
`
`Patent No. 8,037,158
`
`26
`
`
`
`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 28 of 118 PageID #: 957
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Art Unit:
`
`Examiner
`
`Lakshmi Arunachalam
`
`Serial No. 11/980,185
`
`Filing Date: Oct. 30, 2007
`
`Title: METHOD AND APPARATUS
`FOR ENABLING REAL TIME
`TRANSACTIONS ON A
`NETWORK
`
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`
`INFORMATION DISCLOSURE STATEMENT
`
`Commissioner for Patents
`P.O. Box 1450
`Alexandria VA 22313-1450
`
`Honorable Commissioner:
`
`In accordance with 37 C.F.R. §1.97, please accept this Information Disclosure
`
`Statement and copies of any non-US patent material. This disclosure contains
`
`Appendices A-C supplied in the inter partes reexamination request by Microsoft
`
`Corporation of parent patent 7,340,506. The inter partes reexamination control number
`
`is 95/001,129. The request for this reexamination was supplied in the present case in a
`
`previous information disclosure statement.
`
`This information was not available previously.
`
`- 1 -
`
`Patent No. 8,037,158
`
`27
`
`
`
`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 29 of 118 PageID #: 958
`
`COMMENTS
`
`It is believed that this disclosure complies with 37 C.F.R. §1.56 and 1.98 and
`
`M.P.E.P. §2000. This disclosure statement should not be construed as a
`
`representation that a search has been made or that no other material information as
`
`defined in 37 C.F.R. §1.56(a) exists. A copy of each non-US patent reference is being
`
`supplied. Some references may contain marks; no significance should be attached to
`
`these.
`
`Respectfully submitted
`
`Cifford H. Kraft
`Reg. No. 35,229
`Attorney of Record
`
`CORRESPONDENCE ADDRESS CUSTOMER NUMBER: 000074642
`
`Clifford H. Kraft
`320 Robin Hill Dr.
`Naperville, IL 60540
`
`(708) 528-9092
`
`CERTIFICATE OF MAILING
`
`I hereby certify that this correspondence is being deposited with the United States
`Postal Service as first class mail in an envelope addressed to Commissioner for Patents,
`P.O. Box 1450 Alexandria, VA 22313-1450 with sufficient postage.
`.
`On: vAN. /S-I ::2 eo L
`
`- 2 -
`
`Patent No. 8,037,158
`
`28
`
`
`
`......
`
`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 30 of 118 PageID #: 959
`
`,PO)
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Art Unit:
`
`Examiner
`
`Serial No. 11/980,185
`
`Filing Date: Oct. 30, 2007
`
`Title: METHOD AND APPARATUS
`FOR ENABLING REAL TIME
`TRANSACTIONS ON A
`NETWORK
`
`INFORMATION DISCLOSURE STATEMENT
`
`Commissioner for Patents
`P.O. Box 1450
`Alexandria VA 22313-1450
`
`Honorable Commissioner:
`
`In accordance with 37 C.F.R. §1.97, please accept this Information
`
`Disclosure Statement and copies of any non-US patent art. This material was
`
`supplied by a defendant in a patent lawsuit of the parent patent in this case. It
`
`was not available before this date.
`
`COMMENTS
`
`It is believed that this disclosure complies with 37 C.F.R. §1.56 and 1.98
`
`and M.P.E.P. §2000. This disclosure statement should not be construed as a
`
`representation that a search has been made or that no other material information
`
`as defined in 37 C.F.R. §1.56(a) exists. A copy of each non-US patent reference
`
`Patent No. 8,037,158
`
`29
`
`
`
`....
`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 31 of 118 PageID #: 960
`
`is being supplied. Some references may contain marks; no significance should
`
`be attached to these.
`
`Respectfully submitted
`
`~4r
`
`Cifford H. Kraft
`Reg. No. 35,229
`Attorney of Record
`
`CORRESPONDENCE ADDRESS CUSTOMER NUMBER: 000074642
`
`Clifford H. Kraft
`320 Robin Hill Dr.
`Naperville, IL 60540
`
`(708) 528-9092
`
`CERTIFICATE OF MAILING
`
`I hereby certify that this correspondence is being deposited with the United
`in an envelope addressed
`to
`States Postal Service as
`first class mail
`Commissioner for Patents, P.O. Box 1450 Alexandria, VA 22313-1450 with
`sufficient postage.
`:::T/ltf/. 2:f; . .2009
`BY:~~
`
`On:
`
`Name:
`
`Clifford H. Kraft
`
`Patent No. 8,037,158
`
`30
`
`
`
`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 32 of 118 PageID #: 961
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`- \ 1\)\)\l II
`Ii n re app Ica Ion 0 :
`t'
`f
`I'
`~fo J.
`~4~~~"~ Lakshmi Arunachalam
`
`Art Unit:
`
`Examiner
`
`Serial No. 11/980,185
`
`Filing Date: Oct. 30, 2007
`
`Title: METHOD AND APPARATUS
`FOR ENABLING REAL TIME
`TRANSACTIONS ON A
`NETWORK
`
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`
`INFORMATION DISCLOSURE STATEMENT
`
`Commissioner for Patents
`P.O. Box 1450
`Alexandria VA 22313-1450
`
`Honorable Commissioner:
`
`In accordance with 37 C.F.R. §1.97, please accept this Information
`
`Disclosure Statement and copies of any non-US patent art. This material was
`
`supplied by a defendant in a patent lawsuit of the parent patent in this case. It
`
`was not available before this date.
`
`COMMENTS
`
`It is believed that this disclosure complies with 37 C.F.R. §1.56 and 1.98
`
`and M'p.E.P. §2000. This disclosure statement should not be construed as a
`
`representation that a search has been made or that no other material information
`
`as defined in 37 C.F.R. §1.56(a) exists. A copy of each non-US patent reference
`
`Patent No. 8,037,158
`
`31
`
`
`
`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 33 of 118 PageID #: 962
`
`""
`
`,
`
`,is being supplied. Some references may contain marks; no significance should
`
`be attached to these.
`
`Respectfully submitted
`
`Cifford H. Kraft
`Reg. No. 35,229
`Attorney of Record
`
`CORRESPONDENCE ADDRESS CUSTOMER NUMBER: 000074642
`
`Clifford H. Kraft
`320 Robin Hill Dr.
`Naperville, IL 60540
`
`(708) 528-9092
`
`CERTIFICATE OF MAILING
`
`I hereby certify that this correspondence is being deposited with the United
`States Postal Service as
`first class mail
`in an envelope addressed
`to
`Commissioner for Patents, P.O. Box 1450 Alexandria, VA 22313-1450 with
`sufficient postage.
`
`On: --4-Ei§ __ ~r......:.=-----LottC-<'---l::-~=($):......:o::...,. • .c;...2 __ _ _
`By: _a:x::1lll/~I/.....:::;JI""I§L.~-"-~~~~~_
`
`Name: ____ ~C~li~ffo~r~d~H~.~K~r~aft~ ________ _
`
`Patent No. 8,037,158
`
`32
`
`
`
`"
`
`o" .. ·E'~
`~ \0(\
`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 34 of 118 PageID #: 963
`UJ
`FEB 1 3 2009
`
`~~_. "'''HE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Art Unit:
`
`Examiner:
`
`In re application of:
`
`Lakshmi Arunachalam
`
`Serial No. 11/980,185
`
`Filing Date: Oct. 30, 2007
`
`Title: METHOD AND APPARAUTUS
`FOR ENABLING REAL-TIME
`TRANSACTIONS ON A
`NEnNORK
`
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`
`DUTY OF CANDOR DISCLOSURE UNDER 37. C.F.R §1.56
`
`Commissioner for Patents
`P.O. Box 1450
`Alexandria VA 22313-1450
`
`Honorable Commissioner:
`
`In accordance with 37 C.F.R. §1.56, please accept this Duty of Candor
`
`Disclosure.
`
`COMMENTS
`
`Microsoft Corporation has recently filed a complaint CV 085149 in the United
`
`States Federal Court for the Northern District of California against the owner of several
`
`of the parent patents (applications) in this case. Microsoft has asked for a declaratory
`
`judgment of unenforceability based on alleged inequitable conduct against the present
`
`inventor in procuring the following parent patents: 5,778,178 (08nOO,726), 6,212,556
`
`(09/296,207) and 7,340,506 (09n92,323). All of these patents are priority applications
`
`- 1 -
`
`Patent No. 8,037,158
`
`33
`
`
`
`Case 1:12-cv-00355-RGA Document 61-7 Filed 04/01/13 Page 35 of 118 PageID #: 964
`
`to the present case. This complaint has already been supplied in an Information
`
`Disclosure Statement in this case and is currently in the record.
`
`Microsoft alleges that the inventor Ms. Lakshmi Arunachalam failed to disclose
`
`certain documents during the course of prosecution of these three patents. In
`
`particular, Microsoft alleges that the inventor did not disclose the following three
`
`documents: 1) SMI RFC-1155, "Structure and Identification of Management Information
`
`for TCP/IP Based I nternets" , published May 1990, 2) MIB II RFC-1213 "Structure and
`
`Identification of Management Information for TCP/IP Based Internets", published March
`
`1991, and 3) SNMP RFC-1157, "A Simple Network Management Protocol (SNMP)",
`
`published May 1990. All three of these documents have already been supplied to the
`
`Patent Office in an Information Disclosure in the present case. However, the applicant
`
`did not know of the existence of these documents during initial prosecution.
`
`Microsoft also alleges that the inventor not only knew of these documents, but
`
`copied portions of them into the specification of these patents.
`
`Microsoft, in their complaint, presented the following table:
`
`RFC t156 Excemts
`Managed objects are accessed via a virtual
`information store, tenned the Management
`Information Base or MIB. Objects in the
`]vUB are defmed using Abstract Syntax
`Notation One (ASN.l) [8 J defLned in the
`[Internet standardJ SML
`
`In particular, each object has a name, a
`s)ntax. and an encoding. The name is an
`object identifier. an adm.inistratively assigned
`name. which specifies an object type. The
`obiect tvne tOllether with an obiect instance
`
`'178 Pat~Dt Excerpts
`DOLSlBs are ,irmal infonnation stores
`
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