APPLICATION
`NUMBER
`61/403,952
`
`FILING or
`37l(c)DATE
`09/24/2010
`
`GRPART
`UNIT
`
`FIL FEE REC'D
`110
`
`Qi (Peter) Li
`Li Creative Technologies, Inc.
`Suite 140
`25B Hanover Road
`Florham Park, NJ 07932
`
`Ul\TfED STATES DEPA RTME'IT OF COMMERCE
`United States Patent and Trademark Office
`Adiliess. COMMISSIO'JER FOR PATENTS
`PO Box 1450
`Alexandria, Virgmia 22313-1450
`\VVi\V.USpto.gov
`
`ATTY.DOCKET.NO
`
`TOT CLAIMS IND CLAIMS
`
`CONFIRMATION NO. 5940
`FILING RECEIPT
`
`111111111111111111111111]~!1]!~1!~1!~11~!~!11!~1111111111111111111111111
`
`Date Mailed: 10/20/2010
`
`Receipt is acknowledged of this provisional patent application. It will not be examined for patentability and will
`become abandoned not later than twelve months after its filing date. Any correspondence concerning the application
`must include the following identification information: the U.S. APPLICATION NUMBER, FILING DATE, NAME OF
`APPLICANT, and TITLE OF INVENTION. Fees transmitted by check or draft are subject to collection. Please verify
`the accuracy of the data presented on this receipt. If an error is noted on this Filing Receipt, please submit
`a written request for a Filing Receipt Correction. Please provide a copy of this Filing Receipt with the
`changes noted thereon. If you received a "Notice to File Missing Parts" for this application, please submit
`any corrections to this Filing Receipt with your reply to the Notice. When the USPTO processes the reply
`to the Notice, the USPTO will generate another Filing Receipt incorporating the requested corrections
`
`Applicant( s)
`
`Manli Zhu, Pearl River, NY;
`Qi Li, New Providence, NJ;
`Power of Attorney: None
`
`If Required, Foreign Filing License Granted: 10/18/2010
`The country code and number of your priority application, to be used for filing abroad under the Paris Convention,
`is US 61 /403,952
`Projected Publication Date: None, application is not eligible for pre-grant publication
`Non-Publication Request: No
`Early Publication Request: No
`** SMALL ENTITY **
`Title
`
`Microphone array design and implementation for telecommunications and handheld devices
`
`PROTECTING YOUR INVENTION OUTSIDE THE UNITED STATES
`
`Since the rights granted by a U.S. patent extend only throughout the territory of the United States and have no
`effect in a foreign country, an inventor who wishes patent protection in another country must apply for a patent
`in a specific country or in regional patent offices. Applicants may wish to consider the filing of an international
`application under the Patent Cooperation Treaty (PCT). An international (PCT) application generally has the same
`effect as a regular national patent application in each PCT-member country. The PCT process simplifies the filing
`of patent applications on the same invention in member countries, but does not result in a grant of "an international
`page 1 of 3
`Amazon Ex. 1038
`IPR Petition – US RE47,049
`
`Amazon Ex. 1038, Page 1 of 32
`
`

`

`patent" and does not eliminate the need of applicants to file additional documents and fees in countries where patent
`protection is desired.
`
`Almost every country has its own patent law, and a person desiring a patent in a particular country must make an
`application for patent in that country in accordance with its particular laws. Since the laws of many countries differ
`in various respects from the patent law of the United States, applicants are advised to seek guidance from specific
`foreign countries to ensure that patent rights are not lost prematurely.
`
`Applicants also are advised that in the case of inventions made in the United States, the Director of the US PTO must
`issue a license before applicants can apply for a patent in a foreign country. The filing of a U.S. patent application
`serves as a request for a foreign filing license. The application's filing receipt contains further information and
`guidance as to the status of applicant's license for foreign filing.
`
`Applicants may wish to consult the USPTO booklet, "General Information Concerning Patents" (specifically, the
`section entitled "Treaties and Foreign Patents") for more information on timeframes and deadlines for filing foreign
`patent applications. The guide is available either by contacting the USPTO Contact Center at 800-786-9199, or it
`can be viewed on the USPTO website at http://www.uspto.gov/web/offices/pac/doc/general/index.html.
`
`For information on preventing theft of your intellectual property (patents, trademarks and copyrights), you may wish
`to consult the U.S. Government website, http://www.stopfakes.gov. Part of a Department of Commerce initiative,
`this website includes self-help "toolkits" giving innovators guidance on how to protect intellectual property in specific
`countries such as China, Korea and Mexico. For questions regarding patent enforcement issues, applicants may
`call the U.S. Government hotline at 1-866-999-HAL T (1-866-999-4158).
`
`LICENSE FOR FOREIGN FILING UNDER
`
`Title 35, United States Code, Section 184
`
`Title 37, Code of Federal Regulations, 5.11 & 5.15
`
`GRANTED
`
`The applicant has been granted a license under 35 U.S.C. 184, if the phrase "IF REQUIRED, FOREIGN FILING
`LICENSE GRANTED" followed by a date appears on this form. Such licenses are issued in all applications where
`the conditions for issuance of a license have been met, regardless of whether or not a license may be required as
`set forth in 37 CFR 5.15. The scope and limitations of this license are set forth in 37 CFR 5.15(a) unless an earlier
`license has been issued under 37 CFR 5.15(b). The license is subject to revocation upon written notification. The
`date indicated is the effective date of the license, unless an earlier license of similar scope has been granted under
`37 CFR 5.13 or 5.14.
`
`This license is to be retained by the licensee and may be used at any time on or after the effective date thereof unless
`it is revoked. This license is automatically transferred to any related applications(s) filed under 37 CFR 1.53(d). This
`license is not retroactive.
`
`The grant of a license does not in any way lessen the responsibility of a licensee for the security of the subject matter
`as imposed by any Government contract or the provisions of existing laws relating to espionage and the national
`security or the export of technical data. Licensees should apprise themselves of current regulations especially with
`respect to certain countries, of other agencies, particularly the Office of Defense Trade Controls, Department of
`State (with respect to Arms, Munitions and Implements of War (22 CFR 121-128)); the Bureau of Industry and
`page 2 of 3
`
`Amazon Ex. 1038, Page 2 of 32
`
`

`

`Security, Department of Commerce (15 CFR parts 730-774); the Office of Foreign AssetsControl, Department of
`Treasury (31 CFR Parts 500+) and the Department of Energy.
`
`NOT GRANTED
`
`No license under 35 U.S.C. 184 has been granted at this time, if the phrase "IF REQUIRED, FOREIGN FILING
`LICENSE GRANTED" DOES NOT appear on this form. Applicant may still petition for a license under 37 CFR 5.12,
`if a license is desired before the expiration of 6 months from the filing date of the application. If 6 months has lapsed
`from the filing date of this application and the licensee has not received any indication of a secrecy order under 35
`U.S.C. 181, the licensee may foreign file the application pursuant to 37 CFR 5.15(b).
`
`page 3 of 3
`
`Amazon Ex. 1038, Page 3 of 32
`
`

`

`U.S. PTO
`61/403952
`09/24/2010
`PTO/SB/16 (12-08)
`i
`Approved for use through 09/30/201 o. 0MB 0651-0032
`U.S. Patent and Trademark Offic.e; U.S. DEPARTMENT OF COMMERCE
`NI
`~ Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless ii displays a valid 0MB control number.
`PROVISIONAL APPLICATION FOR PATENT COVER SHEET - Page 1 of 2
`This is a request for filing a PROVISIONAL APPLICATION FOR PATENT under 37 CFR 1.53(c).
`C
`Efq>ress Mail Label No.
`--------------------------
`INVENTOR($)
`Family Name or Surname
`
`-
`0
`c,o _
`~
`..... -
`O _
`
`- .
`
`~ ~
`Grwin Name (first and micldle [if any])
`
`Residence
`(City and either State or Foreign Country)
`Pearl River, NY
`
`New Providence, NJ
`
`Manli
`
`Qi
`
`Zhu
`
`Li
`
`separately numbered sheets attached hereto.
`Additional inventors are being named on the
`TITLE OF THE INVENTION (500 characters max):
`
`Microphone Array Design and Implementation for Telecommunications and Handheld Devices
`
`Direct all correspondence to:
`
`CORRESPONDENCE ADDRESS
`
`(cid:143) The address corresponding to Customer Number:
`OR
`a· (P t
`) L"
`[8] Firm or
`I e er
`I
`Individual Name
`Address Li Creative Technologies, Inc., 258 Hanover Road, Suite 140
`State NJ
`Telephone 973-822-0048
`ENCLOSED APPLICATION PARTS (check all that apply)
`
`City Florham Park
`Country USA
`
`(cid:143) Application Data Sheet. See 37 CFR 1. 76
`(cid:143) Drawing(s) Number of Sheets
`(cid:143) Specification (e.g. description of the invention) Number of Pages
`
`Fees Due: Filing Fee of $220 ($110 for small entity). If the specification and drawings exceed 100 sheets of paper, an application size fee is
`also due, which is $270 ($135 for small entity) for each additional 50 sheets or fraction thereof. See 35 U.S.C. 41 (a)(1)(G) and 37 CFR 1.16(s).
`
`Zip 07932
`Email li@licreativetech.com
`
`(cid:143) CD(s), Number of CDs
`[8] Other (specify) descrip w/ drawings 23 ee
`
`METHOD OF PAYMENT OF THE FILING FEE AND APPLICATION SIZE FEE FOR THIS PROVISIONAL APPLICATION FOR PATENT
`[8] Applicant claims small entity status. See 37 CFR 1.27.
`
`110
`
`I
`I
`TOTAL FEE AMOUNT($)
`
`(cid:143) A check or money order made payable to the Director of the United States Patent and Trademark Office
`(cid:143) The Director is hereby authorized to charge the filing fee and application size fee (if applicable) or credit any overpayment to Deposit
`
`is enclosed to cover the filing fee and application size fee (if applicable).
`[8] Payment by credit card. Form PTO-2038 is attached.
`
`'
`
`Account Number:
`
`USE ONLY FOR FILING A PROVISIONAL APPLICATION FOR PATENT
`This collection of information is required by 37 CFR 1.51. The infonnation is required to obtain or retain a benefit by the public which is to file (and by the USPTO to
`proc.ess) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.11 and 1.14. This collection is estimated to take 10 hours to complete, including
`gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any comments on the
`amount of time you require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent and
`Trademark Offic.e, U.S. Department of Commerc.e, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS
`ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`If you need assistance in completing the form, call 1-800-PT0-9199 and select option 2.
`
`Amazon Ex. 1038, Page 4 of 32
`
`

`

`PROVISIONAL APPUCATION COVER SHEET
`Page 2 of 2
`
`PTO/SB/16 (12-08)
`Approved for use through 09/30/2010. 0MB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid 0MB control number.
`
`The invention was made by an agency of the United States Government or under a contract with an agency of the United States Government.
`[gj No.
`D Yes, the name of the U.S. Government agency and the Government contract number are: _____________ _
`
`WARNING:
`Petitioner/applicant is cautioned to avoid submitting personal information in documents filed in a patent application that may
`contribute to identity theft. Personal information such as social security numbers, bank account numbers, or credit card
`numbers (other than a check or credit card authorization form PTO-2038 submitted for payment purposes) is never required by
`the USPTO to support a petition or an application. If this type of personal information is included in documents submitted to the
`USPTO, petitioners/applicants should consider redacting such personal information from the documents before submitting them
`to the USPTO. Petitioner/applicant is advised that the record of a patent application is available to the public after publication of
`the application (unless a non-publication request in compliance with 37 CFR 1.213(a) is made in the application) or issuance of
`a patent. Furthermore, the record from an abandoned application may also be available to the public if the application is
`referenced in a published application or an issued patent (see 37 CFR 1.14). Checks and credit card authorization forms
`PTO-2038 submitted for payment purposes e not retained in the application file and therefore are not publicly available .
`..
`SIGNATURE ___ _ _ : := ' - - - - - - - - - - - - - - - - - - - - Date 09-22-2010
`
`TYPED or PRINTED NAME_Q_i_(._P_e_t_e ..... r)_L_i ___________ _
`
`REGISTRATION NO. ______ _
`(if appropriate)
`
`TELEPHONE 973-822-0048
`
`Docket Number: _____________ _
`
`Amazon Ex. 1038, Page 5 of 32
`
`

`

`PTO/SB/17 (10-08)
`Approved for use through 09/30/2010. 0MB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995 no persons are reauired to respond to a collection of information unless it displays a valid 0MB control number
`"I
`Complete if Known
`
`,.
`
`Effective on 12/08/2004.
`Fees pursuant to the Consolidated Appropriations Act, 2005 (H.R. 4818).
`
`Application Number
`
`09-22-2010
`First Named Inventor Manli Zhu
`Examiner Name
`
`FEE TRANSMITTAL Filing Date
`For FY 2009
`l[2J Applicant claims small entity status. See 37 CFR 1.27
`\..TOTAL AMOUNT OF PAYMENT I($}
`
`Art Unit
`
`110
`
`Attorney Docket No.
`
`~
`
`METHOD OF PAYMENT (check all that apply)
`
`Deposit Account Name:
`For the above-identified deposit account, the Director is hereby authorized to: (check all that apply)
`
`D Check [{] Credit Card D Money Order ONone Oother (please identify):
`D Deposit Account Deposit Account Number:
`(cid:143)
`
`charge fee(s) indicated below
`
`D Charge any additional fee(s) or underpayments of fee(s)
`
`D Charge fee(s) indicated below, except for the filing fee
`D Credit any overpayments
`
`under37CFR 1.16and 1.17
`WARNING: Information on this form may become public. Credit card Information should not be Included on this form. Provide credit card
`Information and authorization on PTO-2038.
`FEE CALCULATION
`1. BASIC FILING, SEARCH, AND EXAMINATION FEES
`FILING FEES
`SEARCH FEES
`Small Enti!)!
`Small Enti!)!
`.E!!t.W
`.E!!t.W &flOO
`.E!!t.W
`330
`165
`540
`270
`220
`100
`110
`50
`220
`110
`330
`165
`330
`165
`540
`270
`220
`110
`0
`0
`
`Fees Paid Ii}
`
`EXAMINATION FEES
`Small Enti!)!
`.E!!t.W &flOO
`220
`110
`140
`70
`170
`85
`650
`325
`0
`0
`
`Aeelication Tl£ee
`Utility
`Design
`Plant
`Reissue
`Provisional
`2. EXCESS CLAIM FEES
`Fee Descrietion
`Each claim over 20 (including Reissues)
`Each independent claim over 3 (including Reissues)
`Multiple dependent claims
`Tgtal Claims
`Extra Claims
`-20orHP=
`X
`HP = highest number of total claims paid for, if greater than 20 .
`.E!!t.W
`lndeg. Claims
`Extra Claims
`=
`- 3 or HP =
`X
`HP = highest number of independent claims paid for, if greater than 3.
`3. APPLICATION SIZE FEE
`If the specification and drawings exceed 100 sheets of paper (excluding electronically filed sequence or computer
`listings under 37 CFR l.52(e)), the application size fee due is $270 ($135 for small entity) for each additional 50
`sheets or fraction thereof. See 35 U.S.C. 41~)(l)(G) and 37 CFR 1.16~s).
`Num er of each additional 50 or raction thereof
`Extra Sheets
`Total Sheets
`/50 =
`(round up to a whole number) X
`• 100 =
`4. OTHER FEE(S)
`Non-English Specification, $130 fee (no small entity discount)
`Other (e.g., late filing surcharge):
`
`:l:IQ
`Small Enti!l!
`.E!!t.W
`.E!!t.W
`26
`52
`110
`220
`195
`390
`MultiQle Degendent Claims
`.E!!t.W
`Fee Paid Ii}
`
`.E!!t.W
`
`=
`
`Fee Paid Ii}
`
`Fee Paid Ii}
`
`.E!!t.W
`
`=
`
`Fee Paid(i}
`
`Fees Paid Ii}
`
`SUBMITTED BY
`
`Signature
`
`~
`
`.. _/./ ~
`-
`
`I Registration No.
`
`IAttomev/Aaentl
`
`Telephone 973-822-0048
`
`Name (PrinVType) Qi (Peter) Li
`This collection of information is required by 37 CFR 1.136. The information is required to obtain or retain a benefit by the public which is to file (and by the
`USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 30 minutes to complete,
`including gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any comments
`on the amount of time you require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent
`and Trademark Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS
`ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`If you need assistance in completing the form, call 1-800-PTO-9199 and select option 2.
`
`Date 09-22-2010
`
`Amazon Ex. 1038, Page 6 of 32
`
`

`

`PTO/SB/92 (07-09)
`Approved for use through 07/31/2012. 0MB 0561-0031
`Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Pa erwork Reduction Act of 1995, no ersons are re uired to res ond to a collection of information unless it contains a valid 0MB control number.
`
`Certificate of Mailing under 37 CFR 1.8
`
`I hereby certify that this correspondence is being deposited with the United States Postal Service
`with sufficient postage as first class mail in an envelope addressed to:
`
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`09-22-2010
`on ____________ _
`Date
`
`Qi (Peter) Li
`
`Signature
`
`Typed or printed name of person signing Certificate
`
`Registration Number, if applicable
`
`973-822-0048
`
`Telephone Number
`
`Note: Each paper must have its own certificate of mailing, or this certificate must identify
`each submitted paper.
`
`This collection of information is required by 37 CFR 1.8. The information is required to obtain or retain a benefit by the public which is to file (and by the USPTO to
`process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.11 and 1.14. This collection is estimated to take 1.8 minutes to complete,
`including gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any comments
`on the amount of time you require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent
`and Trademark Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS
`ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`If you need assistance in completing the form, ca/11-800-PTO-9199 and select option 2.
`
`Amazon Ex. 1038, Page 7 of 32
`
`

`

`•
`
`Li Creative Technologies, Inc.
`25 B Hanover Road, Suite 140, Florham Park, NJ 07932, USA
`Tel: (973) 822-0048; Fax: (973) 822-0399; Website: www.licreativetech.com
`
`Written Assertion of Small Entity Status
`
`This document states that Li Creative Technologies, Inc. (LcT) is entitled to small entity
`status with regards to our filing a patent application with the USPTO and therefore should
`be permitted to pay reduced fees.
`
`,._
`
`C
`Signature
`
`,.......-:
`
`?
`
`Oi {Peter) Li, President
`Printed Name
`
`09-22-2010
`Date
`
`Amazon Ex. 1038, Page 8 of 32
`
`

`

`Microphone Array Design and Implementation for Telecommunications and
`Handheld Devices
`
`Manli Zhu and Qi Li
`
`1. Background of the Invention
`
`A microphone array consists of a set of microphone sensors located at different positions. The array can
`achieve directional gain in any preferred spatial direction and frequency band while suppressing signals
`from other directions and bands. The array can be implemented by filtering and summing multiple
`microphone outputs. Conventional array processing techniques, typically developed for applications such
`as radar and sonar, are generally not appropriate for hands-free or handheld speech acquisition devices.
`The main reason is that the desired speech signal has an extremely wide bandwidth relative to its center
`frequency, meaning that conventional narrowband techniques are not suitable. In the approaches to keep
`the constant response in the wide range of frequency, the array size is usually large; thus most of
`prototypes or products of microphone arrays on the market are quite large, which prevents the array
`products from having broader applications, such as for use in mobile and handheld communication
`devices.
`
`2. Summary of the Invention
`
`Our invention is Microphone Array Design and Implementation for Telecommunications and Handheld
`Devices. Our invention can be used for arbitrary directivity pattern for arbitrarily distributed microphones.
`Our invention can be used to design a microphone array for small, portable communication devices, such
`as conference phones, mobile phones, or tablet computers. To illustrate our invention, we present three
`applications of our invention: (I) a microphone array for a conference phone conference phone device
`with of eight microphones non-uniformly distributed on around a circle with diameter of 4 inches, (2) a
`microphone array of four microphones located at the four corners of a rectangle for a wireless phone or
`handheld device; and (3) a microphone array of four microphones located on the frame of a tablet
`computer.
`
`3. Description of the Invention
`
`In this section, we provide a complete description of our invention together with all the drawings
`necessary to understand the invention. Our invention can be used for arbitrary numbers of microphone
`components and arbitrary locations of the microphone components. Our can be implemented in either
`software or hardware or a combination
`
`Amazon Ex. 1038, Page 9 of 32
`
`

`

`Microphone
`Array
`
`f--+ Sound Source f--t
`Localization
`
`Beam-
`Forming
`
`f--t,
`
`Noise
`Reduction
`
`...
`
`Figure 1. For the best performance, the invented microphone array system may consist of the following
`modules: microphone array sensors, sound source localization, beamforming, and noise reduction.
`
`The microphone array module consists of multiple microphone components functioning as a single unit to
`pick up sound signals. The source localization module serves to find the spatial location of the principal
`sound source such that an acoustic beam can point to the sound source. The beamforming module serves
`to form acoustic beams in the direction of the principal sound source enhancing sound from this range and
`suppressing sound from all other directions. The noise reduction module serves to further reduce
`background noise and enhance speech. Depending on applications, a real product may use some or all of
`the modules.
`
`3.1. Two-Dimensional Microphone Array Configuration
`180°
`
`-- --
`
`Mo
`
`90°
`
`I
`I
`
`I
`\
`\
`\
`
`\ '
`
`M3
`
`M1
`
`\
`
`\
`\
`\
`I
`
`I
`I
`I
`I
`I
`
`/
`
`-90°
`
`-- --oo
`
`M2
`
`Figure. 2 Illustration of a microphone array configuration wherein N microphones sensors are arbitrarily
`distributed on a circle with diameter of d (N=4).
`
`Assuming N microphones are arbitrarily distributed on a circular with diameter of d as shown in Figure 2,
`where only four microphones are displayed. Microphone locations are specified a acute angles from the y(cid:173)
`axis, shown as <1>0 (<l>r2: 0, n= 1... N). The output y of the array is the filter-and-sum of the N microphone
`outputs, i.e., y = °"N-i w r x , where Xn is the output of the (n+ 1 Yh microphone and Wn is the length-L filter
`n
`L:...n=O n
`applied to it as shown in Figure 3.
`
`2
`
`Amazon Ex. 1038, Page 10 of 32
`
`

`

`.. •··
`
`.. --···········
`
`S~_und Source
`
`Figure 3. Illustration of filter-and-sum beam forming.
`
`The spatial directivity pattern H(ro,8) for the sound source from angle 8 with normalized frequency ro is
`defined as:
`
`H(m,B)= ~(m,0) Z:~W,,(m)Xn(m,0)
`X(m,0)
`X(m,0)
`
`(1)
`
`where x is the signal received at the center of the circular array and W is the frequency response of the
`real-valued FIR filter w. If the sound source is far enough away from the array, the difference between the
`signal received by the (n+ 1 Yh microphone Xn and the center of the array is a pure delay Tn,
`i.e.,
`Xn(m, r) = X(m,0)e-JCJr,. Figure 4 illustrates the distance between origin and microphone M 1 and microphone
`M3 when the incoming sound is from angle of 0.
`
`--
`
`Mo
`
`' I
`
`I
`I
`I
`
`/
`
`oo
`Figure 4. Illustration oft1 and t 3, the distance between origin and microphone M1 and microphone M3 when the
`incoming sound is from angle of 0.
`
`--
`
`We derived the distance for each microphone, measured both in meters and in the number of samples, and
`summarize them in Table I.
`
`3
`
`Amazon Ex. 1038, Page 11 of 32
`
`

`

`Table 1. Distance between each microphone and origin.
`Note: dis the radius of the circle, f5 is the sampling frequency, and C is the sound speed.
`
`Microphone Distance (m)
`d*cos(0+<D0)
`MO
`Ml
`d *cos(0-<D1)
`-d *cos(0+<D2)
`M2
`-d*cos(0-<1>3)
`M3
`
`Distance (number of samples)
`d *cos(0+<D0)*fJC
`d *cos(0-<D1 )*fJC
`-d*cos(0+<D2)*f/C
`-d*cos(0-<l>3)*f/C
`
`In general, the distance and the location have the following relationship:
`
`Table 2. Relationship of microphone position and its distance to the origin.
`
`Microphone position
`oo
`180°
`90°
`-90°
`(O<<D<90°)
`<D clockwise away from 0°
`(O<<D<90°)
`<D anticlockwise away from 0°
`<D clockwise away from 180° (O<<D<90°)
`<D anticlockwise away from 180° (O<<D<90°)
`
`Distance (m)
`-d*cos(0)
`d*cos(0)
`-d*sin(0)
`d*sin(0)
`-d*cos(0- <D)
`-d*cos(0+ <D)
`d*cos(0- <D)
`d*cos(0+ <I>)
`
`Distance (number of samples)
`-d*cos(0)*fJC
`d*cos(0)*fJC
`-d*sin(0)*fsfC
`d*sin(0)*fsfC
`-d*cos(0- <D)*f/C
`-d*cos(0+ <l>)*f/C
`d*cos(0- <D)*fsfC
`d*cos(0+ <l>)*fJC
`
`Now, the spatial directivity pattern H can be re-written as:
`
`(2)
`
`-{ -j(J)(k+r.(8))}
`d ( 0)-{ i( 0)}
`h
`T]
`T
`T
`T
`T_[ T
`- g OJ,
`an g OJ,
`W ere W - Wo ,Wt ,W2 ,W3 , ••• ,WN-1
`i=I...NL -
`e
`i=I...NL
`is the steering vector, i=l ... NL, k=mod(i-1,L) and n=floor((i-1)/L).
`
`3.2. Extension to 3-Dimensional Sound Source
`
`The calculation in section 3.1 is for the sound source in the same plane with the array. In real applications,
`the sound can come from any direction in the 3-D space. We generalize the problem as shown in Figure 5.
`The sound is from the 3-dimentional (3-D) space, where'¥ is the elevate angle and 0 is the azimuth. We
`have proved that when the sound is coming from the angle of ('¥,0), the delay between each microphone
`and the center of the array is similar to Table 2 but with an extra factor sin('¥) as shown in Table 3. When
`'¥ moves from 90° to o0
`, sin('¥) changes from 1 to 0, and as the result, the difference between each
`microphone gets smaller and smaller. When '¥=0°, there is no difference between microphones, which
`means the sound reaches each microphone at the same time. Taking into account that the sample delay
`between microphones can only be an integer, we determine the range where all microphones are identical.
`As shown in Figure 6, when 'P<<D, four microphones receive identical signals for 0°<0<360°. Our
`beamforming technique enhances sound from this range and suppresses sound from all other directions,
`treating it as background noise.
`
`4
`
`Amazon Ex. 1038, Page 12 of 32
`
`

`

`s
`
`Figure 5. Illustration of3-D sound source: The sound is from the direction (4',0), where 4' is the elevation angle
`and 0 is the azimuth.
`
`Table 3 The delay between each microphone and the array center for sound from (4',0).
`I r 1=-r1S•sin(0+<l>)sin(4')/C I T2 = -r".fs•sin(0-<l>)sin(4')/C I r 3= r".fs•sin(0+<l>)sin(4')/C I t4= r".fs•sin(0-<l>)sin(4')/C
`
`(cid:141)
`
`(cid:141)
`
`,
`
`,
`
`, , , ,' oo
`
`Figure 6. Illustration of the array working space: When sound comes from 4'< <I>, four microphones receive same
`signals. Our beam-forming technique will enhance sound from this range and treating sound from other directions
`(for example S1 and S2) as background noise to suppress.
`
`3.3. Least Mean Square Solution
`
`Let the desired spatial directivity pattern be 1 in pass band and O in stop band. The least square cost
`function can be defined as
`
`J(w)= 1 l lH(m,0)-11 2 da>d0+afi 1 IH(m,0)1 2 dmd0
`n.
`'
`=r r_ IH(m,0)1 2 da.d0+af r_ IH(m,0)1 2 da.d0-2f
`r_ Re(H(m,0)Jia.dB+f
`f1da.d0
`Jor Jep
`Jo, J0,
`Jo., J0..-
`Jor J0r
`
`p
`
`,
`
`(3)
`
`Replacing I H(m,0) 12 = wT g(m,0)gH (a>,0)w = wTG(a>,0)w= wT (GR(m,0)+ jG/m,0))w= wTGim,0)w and
`
`Re(H(w,0)) = wT gR(w,0), we then have
`
`5
`
`Amazon Ex. 1038, Page 13 of 32
`
`

`

`J(w) = wr Qw-2wr a+ d
`
`, where
`
`(4)
`
`When aJ I ow= 0, the cost function J is minimized. The least-square estimate of w is obtained by
`
`(5)
`
`3.4. Linear Constrain
`
`Applying linear constrains Cw= b, we can further constrain the spatial response to a predefined value b
`at angle 0r using following equation:
`
`(6)
`
`(7)
`
`(8)
`
`[~
`
`~tart]
`
`bend
`
`Now, the design problem becomes
`
`min wr Qw- 2wra + d
`
`w
`
`subject to Cw= b
`
`and the solution of the constrained minimization problem is equal to:
`
`where w is the filter parameters for the designed beamformer.
`
`3.5 Sound Source Localization
`
`There are two categories of techniques to estimate the sound localization: one employs time difference of
`arrival (TDOA) and another is based on steered response power (SRP).
`
`For an array with N microphones, a delayed, filtered and noise corrupted version of sound signals is
`presented in each of the microphone signals. The delay-and-sum beam former time aligns and sums all
`the microphone sigryal asy(t,q) = L:=oxn(t+Lln), where Ll is the steering delay appropriate for
`
`6
`
`Amazon Ex. 1038, Page 14 of 32
`
`

`

`focusing the array to the direction of q. When the focus corresponds to the location of the sound source,
`the steered response power (SRP) should reach a global maximum.
`
`Time difference of arrival can be used to estimate the sound source location. According to the sound
`propagation theory, the sound direction is uniquely determined by the time difference for a wave to
`propagate through non-linearly distributed distant microphones. Estimating the sound direction is
`essentially identical to estimate the TDOA, which is achieved by estimating the cross correlation.
`
`Our preliminary research showed that TDOA-based localization is effective under low to moderate
`reverberation condition. The SRP approach requires shorter analysis intervals and exhibits an elevated
`insensitivity to environmental condition while not allowing for use under excessive multi-path. We
`implemented a new method called SRP-PHA T which combines the advantages of two approaches, and
`has a decreased sensitivity to noise and reverberations and more precise location estimates than the
`existing localization methods.
`
`Figure 7 shows our experimental results. The upper plot is the value of SPR-PHA T at each angle. The
`minimum value corresponds to the sound location.
`
`0 . 7~ -~ - -~ - -~ - -~ - -~ - -~ -~
`
`0.6
`
`0.5
`
`0.4
`
`0.3
`
`0.2
`
`0.1
`
`0 L-L,..L.J..,..L..LJ,L..J....JL..J....JL.....LLlL..J....Jc.,.,L,,,JL.....IL,,l-'-1-'-1-L..J-'-1-'-1.JJ.-l--L..l.--L..J.LL-_
`0
`
`__J
`
`120
`
`00 1
`I
`
`60
`
`1((', _:_o.f
`,..3o
`',,, .. \ ' 7,~,,.
`1\--1- :; ~; -j - - 0
`, .....
`'.:/ / \
`
`, I ,
`/
`' '
`
`', /·330
`
`I
`.,,,'(
`.,/
`
`I
`
`\
`
`I
`
`)
`
`,,.
`
`.,,..
`
`21,,1 -: ...
`
`2 4 0~
`270
`Figure 7. The upper image shows the value of SRP-PHAT for every l 0°; the lower image represents the estimation
`and ground truth.
`
`3.6 Adaptive Beamforming
`
`Section 3.2 and 3.3 introduce the algorithm to derive the fixed beamforming to form the directivity
`pattern. We further extend it to adaptive beamforming. Adaptive beamforming can achieve better
`interference suppression than fixed beamforming. This is because the target direction of arrival, which is
`assumed to be stable in fixed beamforming, does change with the movement of the speaker. Also, the
`sensor gains, which are assumed uniform in fixed beamforming, exhibit significant distribution. All these
`factors will reduce speech quality. On the other hand, adaptive beamforming adaptively performs beam
`
`7
`
`Amazon Ex. 1038, Page 15 of 32
`
`

`

`steering and null steering; therefore, the adaptive beamforming method is more robust against steering
`error caused by the array imperfection mentioned above.
`