Apple Inc. v. Samsung Electronics Co. Ltd. et al

Filing 589

CLAIM CONSTRUCTION STATEMENT Samsung's Opening Claim Construction Brief (Unredacted Version) filed by Samsung Electronics Co. Ltd.. (Attachments: # 1 Exhibit Briggs Declaration and Ex. A-F in support of Samsung's Opening Claim Construction Brief, # 2 Exhibit Briggs Declaration Ex. G-I, # 3 Declaration Wesel Declaration in Support of Samsung's Proposed Claim Construction for US Patent No. 7,200,792, # 4 Declaration Cole Declaration in Support of Samsung's Proposed Claim Construction for US Patent No. 7,698,711, # 5 Exhibit Cole Decl. Ex. 1, # 6 Exhibit Cole Decl. Ex. 2, # 7 Exhibit Cole Decl. Ex. 3, # 8 Exhibit Cole Decl. Ex. 4, # 9 Exhibit Cole Decl. Ex. 5, # 10 Exhibit Cole Decl. Ex. 6, # 11 Exhibit Cole Decl. Ex. 7A-7G, # 12 Exhibit Cole Decl. Ex. 8, # 13 Exhibit Cole Decl. Ex. 9A-9C, # 14 Exhibit Cole Decl. Ex. 10, # 15 Exhibit Cole Decl. Ex. 11, # 16 Exhibit Cole Decl. Ex. 12)(Maroulis, Victoria) (Filed on 1/6/2012)

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1 QUINN EMANUEL URQUHART & SULLIVAN, LLP Charles K. Verhoeven (Bar No. 170151) 2 charlesverhoeven@quinnemanuel.com 50 California Street, 22nd Floor 3 San Francisco, California 94111 Telephone: (415) 875-6600 4 Facsimile: (415) 875-6700 5 QUINN EMANUEL URQUHART & SULLIVAN, LLP Kevin P.B. Johnson (Bar No. 177129) 6 kevinjohnson@quinnemanuel.com Victoria F. Maroulis (Bar No. 202603) 7 victoriamaroulis@quinnemanuel.com 555 Twin Dolphin Drive, 5th Floor 8 Redwood Shores, California 94065-2139 Telephone: (650) 801-5000 9 Facsimile: (650) 801-5100 10 QUINN EMANUEL URQUHART & SULLIVAN, LLP Michael T. Zeller (Bar No. 196417) 11 michaelzeller@quinnemanuel.com 865 S. Figueroa St., 10th Floor 12 Los Angeles, California 90017 Telephone: (213) 443-3000 13 Facsimile: (213) 443-3100 14 Attorneys for SAMSUNG ELECTRONICS CO., LTD., SAMSUNG ELECTRONICS AMERICA, 15 INC. and SAMSUNG TELECOMMUNICATIONS AMERICA, LLC 16 17 UNITED STATES DISTRICT COURT 18 NORTHERN DISTRICT OF CALIFORNIA, SAN JOSE DIVISION 19 20 APPLE INC., a California corporation, CASE NO. 11-cv-01846-LHK 21 DECLARATION OF TODD M. BRIGGS IN SUPPORT OF SAMSUNG'S OPENING CLAIM CONSTRUCTION BRIEF 22 Plaintiff, vs. 23 SAMSUNG ELECTRONICS CO., LTD., a Korean business entity; SAMSUNG 24 ELECTRONICS AMERICA, INC., a New York corporation; SAMSUNG 25 TELECOMMUNICATIONS AMERICA, LLC, a Delaware limited liability company, 26 Defendant. 27 Date: January 20, 2012 Time: 10:00 am Place: Courtroom 8, 4th Floor Judge: Hon. Lucy H. Koh SUBMITTED UNDER SEAL 28 02198.51845/4499114.1 Case No. 11-cv-01846-LHK DECLARATION OF TODD M. BRIGGS IN SUPPORT OF SAMSUNG'S OPENING CLAIM CONSTRUCTION BRIEF 1 I, Todd M. Briggs, declare as follows: 2 1. I am an associate with the law firm of Quinn Emanuel Urquhart & Sullivan LLP 3 and counsel for defendants and counter-claimants Samsung Electronics Co. Ltd., Samsung 4 Electronics America, Inc., and Samsung Telecommunications America, LLC (collectively, 5 “Samsung”). I submit this declaration in support of Samsung’s Opening Claim Construction 6 Brief. I am personally familiar with and knowledgeable about the facts stated in this declaration 7 and if called upon could and would testify competently as to the statements made herein. 8 1. Attached hereto as Exhibit A is a true and correct copy of certain excerpts from the 9 Deposition of Hun-Kee Kim, Rough Transcript, dated November 30, 2011. 10 2. Attached hereto as Exhibit B is a true and correct copy of SAMNDCA0013600, an 11 online article from Yonhap News describing the selection of SMP technology by the 3GPP 12 standards setting body. Also attached is a certified translation from Korean to English. 13 3. Attached hereto as Exhibit C is a true and correct copy of “Samsung Electronics’ 14 Asynchronous IMT-2000 Technology Adopted as International Standard Specification,” 15 September 20, 2002, an online news article from iNews24.com. Also attached is a certified 16 translation from Korean to English. 17 4. Attached hereto as Exhibit D is a true and correct copy of certain excerpts from the 18 Deposition of Richard D. Gitlin, dated December 6, 2011. 19 5. Attached hereto as Exhibit E is a true and correct copy of certain excerpts of 20 Gitlin, Hayes and Weinstein, DATA COMMUNICATIONS PRINCIPLES, Kluwer Academic/Plenum 21 Publishers (1992). 22 6. Attached hereto as Exhibit F is a true and correct copy of certain excerpts from the 23 Deposition of Tony Givargis, dated December 6, 2011. 24 I hereby declare under penalty of perjury under the laws of the United States that the 25 foregoing is true and correct. 26 27 28 02198.51845/4499114.1 Case No. 11-cv-01846-LHK DECLARATION OF TODD M. BRIGGS IN SUPPORT OF SAMSUNG'S OPENING CLAIM CONSTRUCTION BRIEF -2- 1 DATED: December 8, 2011 2 3 4 5 6 7 QUINN EMANUEL URQUHART & SULLIVAN, LLP By /s/ Todd M. Briggs Todd M. Briggs Attorneys for Defendants/Counter-Claimants SAMSUNG ELECTRONICS CO., LTD., SAMSUNG ELECTRONICS AMERICA, INC. and SAMSUNG TELECOMMUNICATIONS AMERICA, LLC 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 02198.51845/4499114.1 Case No. 11-cv-01846-LHK DECLARATION OF TODD M. BRIGGS IN SUPPORT OF SAMSUNG'S OPENING CLAIM CONSTRUCTION BRIEF -3- 1 2 General Order 45 Attestation I, Victoria F. Maroulis, am the ECF user whose ID and password are being used to file this 3 Declaration. In compliance with General Order 45(X)(B), I hereby attest that Melissa N. Chan has 4 concurred in this filing. 5 /s/ Victoria Maroulis 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 02198.51845/4499114.1 Case No. 11-cv-01846-LHK DECLARATION OF TODD M. BRIGGS IN SUPPORT OF SAMSUNG'S OPENING CLAIM CONSTRUCTION BRIEF -4- Exhibit A 4495085_1_11-30-11 Kim, Hun Kee - ROUGH.TXT 1 UNCERTIFIED ROUGH DRAFT 2 This draft is unedited and 3 uncertified and may contain untranslated 4 stenographic symbols, an occasional reporter's note, 5 a misspelled proper name, and or nonsensical word 6 combinations. 7 the final certified transcript, which will be 8 delivered to you in accordance with our standard 9 delivery terms. All such entries will be corrected on Because of the need to correct 10 entries prior to certification, this draft is only 11 for the purpose of augmenting counsel's notes and 12 not for use in any court proceeding or for 13 distribution to any other parties. 14 15 16 17 18 19 20 21 22 23 24 25 6 (415) 357-4300 HIGHLY CONFIDENTIAL, ATTORNEYS' EYES ONLY 1 THE VIDEOGRAPHER: ))))))Here begins Page 1 4495085_1_11-30-11 Kim, Hun Kee - ROUGH.TXT MR. BRIGGS: In-house counsel. 5 6 7 THE VIDEOGRAPHER: Merrill Corporation. 8 9 The court reporter, will you please swear in the witness? 10 11 So Corey Anderson of Will you please swear in the interpreters first? 12 JEESOO JUNG 13 being called as an interpreter, was first duly sworn 14 to translate English to Korean and Korean to English 15 the testimony of the following witness: 16 SUE MI JONES 17 being called as a check interpreter, was first duly 18 sworn to translate English to Korean and Korean to 19 English the testimony of the following witness: 20 HUN KEE KIM, Ph.D. 21 having been first duly sworn through the 22 English-Korean interpreter, testified as follows: 23 THE VIDEOGRAPHER: Please begin. 24 25 8 (415) 357-4300 HIGHLY CONFIDENTIAL, ATTORNEYS' EYES ONLY 1 EXAMINATION 2 BY MR. KOLOVOS: 3 Q. Good morning, Dr. Kim. 4 A. Good morning. 5 Q. We were introduced earlier. But for the 6 record, my name is Peter Kolovos, I am counsel for 7 Apple. And I am -- thank you for coming here to be Page 3 4495085_1_11-30-11 Kim, Hun Kee - ROUGH.TXT A. I don't quite recall. 17 18 19 CHECK INTERPRETER: I cannot recall that at all. 20 BY MR. KOLOVOS: 21 Q. Just to be clear, and I don't want to 22 know, I don't want to know what you did a couple 23 months ago. 24 But in your answer you said you submitted 25 some relevant documents to the IP team a few months 54 (415) 357-4300 HIGHLY CONFIDENTIAL, ATTORNEYS' EYES ONLY 1 ago. 2 team with respect to this litigation with Apple? 3 Was that work that was done helping the IP A. I don't know whether it is related, but I 4 was asked to provide materials, if any, that are 5 related to this by the IP team. 6 Q. Okay. My question is about anything you 7 did in 2000 or 2001, or for that matter 2002. 8 you remember providing any documents to the IP team 9 in connection with the patent application for the 10 11 12 Do '792 patent other than a patent application? A. As to that, I don't quite recall because it was such a long time ago. 13 Q. Okay. 14 A. I don't recall. 15 Q. For any of your patent applications that 16 you have been involved in, have you ever provided 17 research articles to the IP team? 18 19 A. time ago. I'm not quite sure because it was a long But technical documents involving SMP Page 45 20 4495085_1_11-30-11 Kim, Hun Kee - ROUGH.TXT that were submitted to the 3GPP was -- were 21 provided, and I think there were some articles 22 related to SMP technology after the technology was 23 adopted by the 3GPP. 24 25 So I think, you know, they have those kind of articles and that kind of information. 55 (415) 357-4300 HIGHLY CONFIDENTIAL, ATTORNEYS' EYES ONLY 1 CHECK INTERPRETER: I'm not quite sure 2 because it was a long time ago. 3 documents involving SMP that was submitted to the 4 3GPP likely provided to IP team and also was after 5 our SMP technology was adopted by 3GPP standard, 6 there were several articles in Korean major 7 newspapers. 8 9 But some technical So I can only think that they probably have them. 10 THE WITNESS: But I'm not quite sure 11 whether they kept those -- that kind of information 12 for a specific purpose or not. 13 14 15 I'm not quite sure. BY MR. KOLOVOS: Q. Well, do you recall providing 3GPP technical documents about SMP to the IP team? 16 MR. BRIGGS: 17 THE WITNESS: Objection, vague. As I mentioned earlier, a 18 few months ago I was asked to provide relevant 19 documents, so I provided them. 20 21 22 BY MR. KOLOVOS: Q. And my question is whether you provided them to the IP team in 2000, 2001, or 2002, at the Page 46 Exhibit B CERTIFICATION OF TRANSLATION I certify that the Korean to English translation of the Korean internet newspaper article entitled SAMNDCA00146000 is an accurate and complete rendering of the contents of the source document to the best of my knowledge and ability. I further certify that I am a qualified professional translator familiar with both languages with more than ten years of experience in Korean to English translation of various legal, technical or business documents including a number of legal evidentiary documents submitted to various courts in the United States. Date: December 6, 2011 ____________________________ Alex N. Jo, Translator Samsung Electronics’IMT-2000 Asynchronous Technology Adopted as International Standard (Seoul = Associated Press) Reported by Bum Soo Kim = Samsung Electronics announced on March 20 that its ‘SMP’ technology, which is an IMT-2000 asynchronous connectivity mode developed in-house, was adopted as the international standard technology at the 3GPP (3rd Generation Project Group) meeting recently held by the International Telecommunication Technology Association (TTA) at Shilla Hotel. Samsung Electronics’ SMP (Symbol Mapping based on Priority) is a technology that minimizes error caused by noise. Thus enabling implementation of high-speed data transmission. Samsung Electronics said, “In the course of IMT-2000 standardization process, we have emerged as a leader group company along with some other companies such as Qualcomm and Nokia, which enables us to preemptively secure an advantageous position in the next generation mobile communications business.” bumsoo@yna.co.kr (The End) Sent on March 20, 2002 11:00 Exhibit C 삼성전자의 비동기 IMT-2000 기술, 국제표준 규격으로 채택 Page 1 of 3 아이뉴스24 홈 ㅣ 오피니언 ㅣ 프리미엄 ㅣ 정보센터 ㅣ 엠톡 로그인ㆍ회원가입ㆍRSS [ 대명리조트 파격 1200만원대 회원권 한정분양 ] 통합검색 박신혜 Home > 뉴스 > 통신 가장 많이 본 뉴스 [TOP 뉴스] 구글 맵스, 이제 건물 내부까지 알려준다 대명리조트 파격 분양! IT 시사 문화 연예 스포츠 게임 칼럼 ㆍ'맥가이버 칼' 빅토리녹스, 가방라인 ... 삼성전자의 비동기 IMT-2000 기술, 국제표준 규 격으로 채택 ㆍ문화부-구글, 손잡고 한류 열풍 이끈다 ㆍ한채영 팬사인회, '여신 떴다' 팬들 인... ㆍ스티븐 호킹, 손가락 두개로 우주의 비... 2002.03.20일수 15:32 입력 ㆍ[Food Story]농심 '쌀국수 짬뽕', 소비... ㆍ[읽기의 행복]사뭇 복합적인 폭력에 대... ㆍiCJD 감염 사례 국내 첫 발견…보건당... 기사보기 ㆍ내년 6월부터 백신 등에 '국가출하승인... 댓글보기(0) ㆍ"꿈 때문에 못 자?"…수면 강박관념이 ... ㆍ'패셔너블하게, 보온성은 기본' 내의시... 삼성전자의 'SMP(Symbol Mapping based on Priority)'기술이 곧 국제통신연맹(ITU)의 국제 표준 규격으로 정식 채택될 예정이다. 삼성전자는 지난주 신라호텔에서 세계 20여개국 400여명의 정보통신 기술 관계자가 참석한 가운데 정보통신기술협회(TTA) 주관으로 열린 '3세대 프로젝트그룹(3GPP)'회의에서 삼성전 자의 'SMP'기술이 국제 IMT-2000 비동기식 기술규격 표준으로 최종 채택돼 국제 표준기술 이 됐다고 20일 발표했다. 이번에 국제 표준이 된 삼성전자의 'SMP'기술은 잡음에 의한 오차를 최소화함으로써 고속 데이터 전송이 가능한 기술로, IMT-2000 비동기 방식의 핵심기술이다. 이동통신 시스템과 단말기간의 통화 및 데이터 전송시 잡음을 줄임으로써 통신 품질을 향상시킬 뿐 아니라 더 많은 가입자들이 동시에 사용할 수 있다는 것. 삼성전자 관계자는 "삼성의 SMP기술은 신뢰도가 각기 다른 정보비트간의 상관관계를 분석 해 정보비트는 신뢰도가 높은 위치로 배열시키고 잉여비트는 상대적으로 신뢰도가 낮은 위 치에 배열시키는 방법으로 데이터 패킷의 전송 오류를 줄이는 기능을 한다"고 밝혔다. 한편, 삼성은 IMT-2000표준화 과정에서 다수의 표준을 확보함으로써 퀄컴, 노키아 등과 함 께 선두그룹의 위치에 올랐다. 신용 카드 한도 초과 안내 메일로 위장한 악성코드 유포 삼성전자는 "국제 표준으로 채택된 기술력을 바탕으로 차세대 이동통신 사업에 유리한 고지 를 확보하게 됐을 뿐 아니라 상당한 기술 수입효과도 거둘 수 있을 것으로 기대한다"고 설명 했다. [펄스-K] 4배 빠른 '4G LTE' 소셜 의 마음도 빠르게 움직였나? 말리부 트렁크 종결자. 참으로 넓 나. 윤휘종기자 hwiparam@inews24.com KT, 겨울맞이 로밍 서비스 확대 주요기사 S&P, 골드만삭스 등 세계 금융사 신용등급 강등 비그알엑스 국내출시 10억원 매출 달성 정몽구 회장, 자동차업계 '아시아 최고 CEO' 등극 30 초 만에 입냄새 없애는 방법 LG전자 TV 총괄 권희원 본부장 사장 승진 여자들이 싫어하는 0순위 박정현 신곡 발표? 그녀가 직접 불 러주는 우리 가족 테마송 관련기사 3Great Event! HP의 Best Solution! 대명리조트 파격 1200만원대 회원권 한정분양 이성을 유혹하는 치명적인 향수 등장 선착순 최신형 스마트폰 무료증정 이.. 겨울신상 50% SALE! 무료배송! 마누라 흥분시키는 정력제의 달인 명품가방/시계 80%↓ 주문폭주中 44사이즈의 로망..폭풍감량확인!! 성인용품 사용하는 K씨는 변태?? 잠만자고 4주만에 -48kg 쫘~악 뺐어요 똥, 짧고 굵고 강하게 싸는 방법은? 임플란트, 최소비용으로 평생 쓴다? 남편과 잠자리, 느끼질 못한다면 내아이만 키가 작은 결정적 원인은? [속보] "삼성화재 연금" 인기, 왜? 파격적으로 감량한다 7일이면 15kg? 전품목할인 男性확대술 명품가방~ http://news.inews24.com/php/news_view.php?g_serial=60106&g_menu=020300 11/29/2011 삼성전자의 비동기 IMT-2000 기술, 국제표준 규격으로 채택 Page 2 of 3 칼럼/연재 [정기수]"맹장수술 900만원?" 한미F... 0 미투 [김영리]'반칙' 잦은 소셜커머스, ... [박재덕의 턴]'강용석 해프닝' 일단... IT는 아이뉴스24, 연예ㆍ스포츠는 조이뉴스24(Copyright ⓒ 아이뉴스24. 무단전재 및 재배포 금지) IT정책 컴퓨팅 통신·미디어 과학 글로벌 디지털기기 기업 자동차 금융 유통 경제일반 정치 사회 문화 생활 [박계현]넥슨 해킹사고와 '두마리토... [KISTI의 과학향기]삼각팬티도 특허... ☞ 그랜저 에쿠스 A급 중고차 급매물 반값초특가 프리미엄/정보 [11. 29]세계 스마트폰 시장 지형도... ☞ [속보] 82kg주부 4주만에 48kg폭탄감량 ☞ [이슈] 불티나게 팔리는 "서울대의자" 3일 만에 매진 [통계뉴스] 징가 소셜게임 '캐슬빌' ... [11. 28]미국 블랙프라이데이 '엄청... [통계뉴스] 미국 이동통신 시장 현황 비즈 링크 농구황제 우지원 192cm키성장 비법 주식투자로 10억 아파트 장만했다~!! 불티나게 팔리는 "서울대의자" 3일 만에 매진 로또1등 75회적중 명당! 어디야? 결혼하고픈 선남선녀 맞선 신청하세요! 임플란트 월 8만원에 가능?? 가수P양 홍콩명품 몰래빼다 '적발' 굴욕! [11. 24]그림으로 보는 삼성 vs 애플... 82kg주부 4주만에 48kg폭탄감량 [Ã⵿Ư°ø´ë]Ãß¾ïÀÇ µå¶ó¸¶, ÀÌÁ¦´... 오늘의 주요 뉴스 한나라당, '홍준표 체제' 당분간 유지 김진표 "종편 출범, 그들만의 잔치될 것" 410g 초경량…에이서, 태블릿 무게 종결자 출시 홈 l IT/시사 l 연예/스포츠 l 엠톡 l 게임 l 오피니언 [¸¸È¾Ö´Ï][ÄÜÅÙÃ÷ Á÷¾÷ Ž¹æ±â] ... [¸¸È¾Ö´Ï]¶§·Ð ¾Æ¹« »ý°¢¾øÀÌ ¾Ö´Ï¸Þ... 통신·미디어 최신뉴스 NHN '네이버 툴바'에서 메모·공유 기능 활용 애플의 혁신을 이끌었던 스티브 잡 스가 세상을 떠났습니다. 이에 따 라 잡스 없는 애플이 IT 시장의 주 도권을 계속 잡을 수 있을지에 관 심이 쏠리고 있습니다. 여러분들은 어떻게 생각하십니까? 하... 오버추어코리아, 11번가 검색광고 재계약 체결 박주영 '68분 출전'…아스널 8강서 무릎 네이버재팬 모바일메신저 '라인' 상승세 탔다 김동률 "이승환 '다만', 사랑 고백 위해 만든 곡" 한컴 '씽크프리 모바일', 방통위원장상 수상 뼈가 없어서 임플란트를 못하십니까? 톱스타 신은경 7일만에 파격 15kg?? 강남 엄마들이 아이에게 사주는 이것! 잠만자고 4주만에 -48kg 뺐어요 비만여성들이 환장하는 바로 이거? 기모티셔츠 '윈도우7 태블릿' 1주일간 50%! 너무따뜻 어딜가도 주목받는 하루 1알로 매달 평균 5cm 더 큰다? [속보] 당일완성 임플란트가 8만원? 뒤가더예뻐 스테디셀러 리본니트 예쁜아우 청담며느리 명품스타일 코디노하 트위드자 편하고예뻐 은근히섹시 다들예쁘 호피스커 베스트셀러 너무따듯해 발에땀이나 무게는깃 베우파어 기업비즈 야상점퍼가 심플한자켓 나름섹시 그냥막이 몸짱 연예인 곽현화 변비로 고생하다... 여자들이 싫어하는 0순위 지금 바로 보안전문가에 도전하라! 디자인작살 MLB직수입 기모후드 완전섹시 “나는 한류 Seller다” 지마켓, 중... 지마켓, ‘2011 웨딩&리빙 페어’ 개... http://news.inews24.com/php/news_view.php?g_serial=60106&g_menu=020300 11/29/2011 삼성전자의 비동기 IMT-2000 기술, 국제표준 규격으로 채택 Page 3 of 3 즐거운세상, 조이뉴스24 @inews24com inews24com Join the conversation 인기쇼핑 오늘의특가 베스트셀러 옥션 현대H몰 G마켓 11번가 홈플러스 헤드스키복 클래식반지 보드복30% 정말예뻐 심플한반지 정말딱이 뉴스 연예·스포츠 포토·TV 등록번호 : 서울아00107 게임 오피니언 프리미엄 엠톡 등록연월일 : 2005년 4월 6일 발행인 / 편집인 : 이창호 사업자 등록번호 : 120-81-97512 통신판매업 신고 : 강남-1298호 RSS 예쁜~반지 정말끌리 크리스마스 스왈귀걸이 선물주얼 무료~포장 회사소개 서울시 마포구 상수동 141-1 BR엘리텔 B동 3~4층 판매1순위 코오롱패 고객센터 눈꽃~반지 한눈에반 개인정보취급방침 사이트맵 대표전화 : (02)3347-114 개인정보관리 책임자 : 김윤경 http://news.inews24.com/php/news_view.php?g_serial=60106&g_menu=020300 11/29/2011 CERTIFICATION OF TRANSLATION I certify that the Korean to English translation of the Korean internet newspaper article entitled newsinews24-com is an accurate and complete rendering of the contents of the source document to the best of my knowledge and ability. I further certify that I am a qualified professional translator familiar with both languages with more than ten years of experience in Korean to English translation of various legal, technical or business documents including a number of legal evidentiary documents submitted to various courts in the United States. Date: December 6, 2011 _____________________________ Alex N. Jo, Translator Samsung Electronics’ Asynchronous IMT-2000 Technology Adopted as International Standard Specification Entered at15:32, September 20, 2002 [Exclusive] Developed a solar power Smartphone battery that “lasts 15 days with 1-time charge” Soon, Samsung Electronics’SMP (Symbol Mapping based on Priority) technology is slated to be formally adopted as an international standard specification of the International Telecommunication Union (ITU). The Telecommunications Technology Association (TTA) held a ‘3rd Generation Project Group (3GPP)’ meeting at Shilla Hotel last week with about 400 attendees in the field of information communications technology from 20 or so countries. Samsung Electronics announced on March 20 that its own ‘SMP’ technology became an international standard technology after it was finally selected as a standard specification for the IMT-2000 asynchronous technology at the meeting. Samsung Electronics’‘SMP’ technology which just became the international standard is the technology that minimizes error caused by noise, thus enabling a high-speed data transmission. It is the core asynchronous technology in the IMT-2000. This technology improves communication quality by reducing noise during a telephone call between a mobile communications system and a user terminal as well as during data transmission, and also supports a greater number of concurrent users. A person affiliated with Samsung Electronics says, “Samsung’s SMP technology analyzes the correlation among the information bits with different degrees of reliability, thus arraying "information bits" in a position of higher reliability, and arraying "excess bits" in a position of lower reliability. This method plays a role of reducing data packet transmission error.” Meanwhile, with its numerous technologies adopted as standards in the course of IMT-2000 standardization, Samsung emerged as one of the leading [standards] companies along with some other companies such as Qualcomm and Nokia. Samsung Electronics said, “We came to secure an advantageous position in the next generation mobile communications business based on our technological prowess selected as international standards. Also, we expect to gain considerable income associated with our technologies.” Reported by Hwi Jong Yoon hwiparam@inews24.com Exhibit D Page 1 1 IN THE UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF CALIFORNIA SAN JOSE DIVISION 2 3 4 APPLE INC., a California corporation, 5 Plaintiff, Case No.: 11-cv-01846-LHK 6 vs. 7 SAMSUNG ELECTRONICS CO., LTD., a Korean business entity; SAMSUNG ELECTRONICS AMERICA, INC., a New York corporation; SAMSUNG TELECOMMUNICATIONS AMERICA, LLC, a Delaware limited liability company, 8 9 10 11 Defendants. _________________________________/ 12 13 VIDEOTAPED DEPOSITION OF RICHARD D. GITLIN, Sc.D. 14 Taken on Behalf of the Defendants 15 16 DATE TAKEN: Tuesday, December 6, 2011 TIME: 9:06 a.m. - 3:26 p.m. PLACE: Embassy Suites Downtown Tampa 513 South Florida Avenue Tampa, Florida 17 18 19 20 21 22 23 24 25 Stenographically Reported by: Donna L. Peterson Registered Diplomate Reporter Certified Realtime Reporter JOB NO: 44339 TSG Reporting 877-702-9580 Page 2 1 APPEARANCES: 2 3 4 5 Counsel for Plaintiff: PETER J. KOLOVOS, ESQUIRE WilmerHale 60 State Street Boston, Massachusetts 02109 6 7 8 9 Counsel for Defendants: TODD M. BRIGGS, ESQUIRE Quinn Emanuel Urquhart & Sullivan 555 Twin Dolphin Drive Redwood Shores, California 94065 10 11 12 Also Present: Thomas Hallahan, videographer 13 14 15 16 17 18 19 20 21 22 23 24 25 TSG Reporting 877-702-9580 Page 4 1 2 P R O C E E D I N G S THE VIDEOGRAPHER: Good morning, ladies and 3 gentlemen. Today's date is Tuesday, December the 4 6th, 2011. The time is approximately 9:06 a.m. 5 name is Thomas Hallahan; I'm the videographer. 6 court reporter is Donna Peterson. 7 My The We are present at the Embassy Suites, 513 South 8 Florida Avenue, Tampa, Florida. 9 the purpose of taking the deposition of We're here for 10 Dr. Richard D. Gitlin. 11 the United States District Court, Northern District 12 of California, San Jose Division, case entitled 13 Apple Incorporated versus Samsung Electronics 14 Company, Limited, et al. 15 16 17 18 19 20 21 22 23 The case is instituted in I will now ask the attorneys to introduce themselves, starting with the noticing attorney. MR. BRIGGS: Todd Briggs from Quinn Emanuel for Samsung. MR. KOLOVOS: Peter Kolovos of Wilmer Cutler Pickler Hale and Dorr for Apple. THE VIDEOGRAPHER: Would the court please swear in the witness. RICHARD D. GITLIN, Sc.D., called as a witness 24 by the Defendants, having been first duly sworn, 25 testified as follows: TSG Reporting 877-702-9580 Page 5 1 THE WITNESS: 2 3 Yes, I do. DIRECT EXAMINATION BY MR. BRIGGS: 4 Q. Good morning, Dr. Gitlin. 5 A. Good morning. 6 Q. Can you state your name for the record? 7 A. Richard Gitlin. 8 Q. And where do you live? 9 A. Just down the road in here, Tampa, 415 Knights 10 Run Avenue, Tampa. 11 Q. Okay. 12 A. We've -- this is my fourth academic year. 13 How long have you lived in Tampa? We also have a residence in New Jersey. 14 Q. How long did you live in New Jersey? 15 A. About 40 years. 16 Q. How many times have you been deposed? 17 A. As an expert or including as a fact witness? 18 Q. How about both. 19 A. Somewhere between 15 and 20. 20 Q. How many times as an expert witness? 21 A. This is probably about my 10th, 12th time. 22 Q. When was the most recent deposition you had? 23 A. I think this lady was handling my most recent 24 25 one. That was in the spring of this year. Q. Okay. And what case was that for? TSG Reporting 877-702-9580 Page 11 1 respect to that HSDPA patent in the InterDigital versus 2 Samsung case? 3 4 5 6 A. Similarly, that validity -- both sides, and infringement. Q. So you wrote a report stating that or opining that Samsung infringed that HSDPA patent? 7 A. Yes. 8 Q. And you also wrote a report opining that that 9 10 HSDA (sic) patent was valid? A. Yes. There were, I mean, there were reports, 11 plural. 12 with supplementary reports and -- in that case. 13 then the cases were -- you know, the first case was 14 part -- was -- everything I did in the first case was 15 part of the second case. 16 seven or eight reports that I was the author of. 17 18 Q. They were -- they went back and forth in this, And So by the end, I think I had Do you -- do you remember the number of the patent in that case, that you were working on? 19 A. I -- I don't want to guess. 20 Q. Okay. 21 A. I'm sure you could find it out. 22 Q. What did the technology in that case -- or in 23 24 25 No. that patent involve, at a little bit lower level? A. It dealt with the control channel for HSDPA. I can tell you a little more if you -- TSG Reporting 877-702-9580 Page 12 1 Q. Yeah. 2 A. It dealt with a -- the patent dealt with a 3 mechanism for signaling on the channel in a -- with a 4 minimum use of bits. 5 In fact now, when I teach my wireless course, I use that 6 as an example of a clever way to achieve a function. It was a clever way of doing this. 7 Q. Now, is HSDPA part of any standards? 8 A. Yes. 9 Q. What -- what standard or standards? 10 A. Well, it's in the 3GPP family. 11 Q. Okay. 12 that that patent was essential to the 3GPP standard? 13 14 15 16 17 18 Do you know if InterDigital believed MR. KOLOVOS: A. Objection. I believe that the -- that that -- that would be a fair statement, yes. Q. So do you know what it means for a patent to be essential to a standard? A. I think I have a rough understanding, not a 19 legal understanding, but a rough engineering 20 understanding, an expert witness understanding. 21 22 23 Q. What's -- what's your understanding, you know, as an expert witness? A. That to -- that to build a piece of equipment 24 that's compliant with the standard, you necessarily 25 infringe the patent. TSG Reporting 877-702-9580 Page 13 1 Q. Now, in your expert report in that case, did 2 you take that position that this patent was essential to 3 the 3GPP standard? 4 A. Yes. 5 Q. Have you ever done any work for Samsung? 6 A. No. 7 Q. Other than this case, have you ever done any 8 work for Apple? 9 A. No. 10 Q. So this is the first time you've been retained 11 by Apple? 12 A. Yes. 13 Q. Has Apple retained you only in its lawsuit 14 against Samsung, or are you also working in other cases 15 Apple has? 16 A. 17 Apple. 18 Q. Have you ever done any work for HTC? 19 A. No. 20 Q. Okay. 21 As far as I know, this is what I'm doing for Have you ever done any work for Motorola? 22 A. No. 23 Q. Okay. 24 A. No. 25 Q. And you're not currently retained by Apple to Have you ever done any work for Google? TSG Reporting 877-702-9580 Page 55 1 input bits from some source. 2 encoder. 3 or encoder. 4 systematic bits, and P bits are the parity bits. 5 the S bits are the actual input to the channel encoder, 6 the output of the CRC generator. And the 120 is the channel Here it's a -- understood to be a turbo coder, And it produces S bits, which are And 7 And the parity bits are generated by the shift 8 registers inside the turbo encoder, shift registers and 9 other elements. And the rate matcher is a -- is a 10 device which will either puncture or eliminate bits or 11 repeat bits to match the output rate to the available 12 transmission capacity. 13 Bless you. 14 The -- so an interleaver is a common device in 15 wireless systems because wireless -- most codes are 16 designed to provide very good performance in random 17 channel areas that are come -- that come randomly. 18 Wireless systems have a different property. 19 bursty errors. 20 you're moving and you are in a fade, when you have, 21 let's say, a low received signal level. 22 likely to make errors in a bunch, in a burst. 23 They have And they have bursty errors because when So you're more And so an interleaver is a clever device that, 24 for example -- it could be done many ways, but similar 25 to what's described in the patent. You read bits into TSG Reporting 877-702-9580 Page 56 1 a -- you think of a matrix. 2 and you read -- and you read them alpha transmission in 3 a column. 4 whole column was errored, then viewed from the -- and it 5 in the first column, then at the receiver viewed from 6 the viewpoint of each row, you just have one bit in 7 error, and the code will be able to correct that. 8 That's the simple -- that's the very simple explanation. 9 The interleavers in -- in the patent are much more 10 11 You read bits into a row, So, for example, if you had a burst where a sophisticated than that. And then the -- and so the -- the notion of the 12 interleaver is that from the viewpoint of the receiver, 13 which is not shown in Figure 1 -- this is a 14 transmitter -- is you -- you turn the phenomenon of a 15 physically bursty error mechanism in a wireless channel 16 to a -- as processed by the receiver, independent errors 17 spread out over a long time. 18 interleaved over time. 19 So the errors tend to be And so -- and the bit stream at the output of 20 element 140 goes into a modulator. 21 that a mapper, bit mapper. 22 levels of modulation I described, this would be -- 23 that's the first one. 24 use of the term. 25 call that a symbol mapper or a mapper, bit-to-symbol And I would call So that's -- in the three And I think that's a nonstandard I'd -- I would say most people would TSG Reporting 877-702-9580 Page 57 1 mapping. 2 And then the -- as I said, the controller is 3 getting information as to the state of the channel and 4 will adjust the level of encoding, let's say rate 5 one-half, rate three-quarters, and/or the modulation of 6 the symbols that you use, let's say a 16 QAM signal 7 constellation or a 64 QAM signal constellation, 8 depending upon the quality of the transmission channel. 9 Q. In -- in box 150, I -- I believe you just 10 testified that a bit stream enters that box, which is 11 labeled "Modulator." 12 A. Uh-huh. 13 Q. What is the output of the modulator? 14 A. So -- so the -- as it says in paragraph 28, the 15 modulator can be either QPSK symbol, an 8PSK symbol, a 16 16 QAM symbol, or a 64 QAM symbol. 17 18 Q. a bit stream, or is it an analog signal? 19 20 So is that output, is that digital data, is it MR. KOLOVOS: A. What is it? Objection. Each -- for example, if you're using choice 21 three, 16 QAM, 4 bits come in. 22 It can be an X and Y number. You can think of it as a 23 vector in the X and Y plane. You can think of it as a 24 two couple. 25 scaling labels will be, you choose, plus or minus 1, The output is a number. It will have discrete values. TSG Reporting 877-702-9580 The typical Page 58 1 plus or minus 3. 2 microvolts, depending upon the transmitter power. 3 That could be volts, millivolts, So you asked before: Is that digital? 4 it's discrete valued. 5 I say You said one of those 16 discrete points. 6 Q. There is the 16 discrete points. Now, are those values you were just talking 7 about, are those used to modulate or alter a carrier 8 wave? 9 A. If you recall my three levels of modulation, 10 you -- what's not -- it's not shown -- the rest of the 11 system is not shown here. 12 do, you would take the -- let's take 16 QAM. 13 take two of the bits, feed it to -- let's call it the 14 inphase rail, and two of the bits to the quadrature 15 rail. 16 second level of modulation, and you would -- so in that 17 16 QAM case, you would -- you would amplitude modulate a 18 pulse with either a level a plus 1, minus 1, plus 3, 19 minus 3. 20 pulse will define the bandwidth of the signal. 21 Typically these pulses belong to a family called raised 22 cosine. 23 But typically what you would You would Then you would use pulse amplitude modulation, my And you amplitude modulate a pulse, and this And so now what you've done -- and you do the 24 similar mechanism for the quadrature channel, and you 25 design what people in the art would call a "baseband TSG Reporting 877-702-9580 Page 61 1 bits are segmented at the input to the modulator at 2 the -- let's say, if we look at case 16 QAM into 4 bit, 3 you group 4 bits at a time, and that produces a symbol. 4 That goes then to the second level of modulation, the 5 third level of modulation. 6 this goes on for -- you know, you're sending lots of 7 bits. 8 and you're sending lots of bits, lots of symbols. 9 10 11 And you -- you -- generally Q. You may -- it depends upon a particular system, Okay. So you said that the output of the mapper is a modulated pattern? A. Yeah. That's -- that's Apple's construction. 12 It's consistent with what's used in the -- as it says 13 in -- on page 12, fifty -- paragraph 56, the independent 14 claims 1 and 6 each recite the mapping, the collected 15 bits from the first interleaver and second 16 interleaver -- that's referring out to, I guess, not 17 Figure 1, but it's the same idea -- onto one modulation 18 symbol. 19 Q. That's what the patent describes it. So what is -- I'm trying to get an idea of what 20 this modulated pattern is that you're talking about that 21 is output from the mapper. 22 23 24 25 Is -- is this modulated pattern, are these -is this a bit stream? A. It's -- for 16 QAM, you would -- you could -- it -- now, it depends upon implementation, how you're TSG Reporting 877-702-9580 Page 62 1 going to implement it. 2 or symbolically, you could think of it in the XY plane 3 or IQ plane as a vector or a point. 4 one of the 16 discrete constellation points associated 5 with 16 QAM constellation. 6 And then you separately divide it, as I said, to get the 7 level -- level 2 pulse amplitude modulation, which then 8 leads to level 3 RF modulation. 9 Q. But you -- you -- functionally And that represents That's what the output is. So in the case of 16 QAM, if you're looking at 10 the constellation, would -- would you call one of the 11 points in the constellation a modulated pattern? 12 A. That's -- well, that's a symbol. Yeah. That's 13 what -- that's what Apple's construction is, and a -- 14 using the language of the pattern -- of the patent. 15 you -- you typically, in a laboratory, would have that 16 displayed. 17 slow down time, you would see discretely points, one of 18 those 16 points being illuminated. 19 modulated pattern or a mapped pattern of bits. 20 So And you -- you would see various -- if you'd And that's a So the symbol is a mapped pattern of bits. 21 map 4 bits into this XY two-topper or vector. 22 You what a symbol is. 23 Q. Okay. That's So when you use the term "pattern," 24 that's referring to the pattern of bits that are input 25 into the mapper? TSG Reporting 877-702-9580 Page 63 1 A. Yes. 2 Q. Okay. That's where I was getting confused. 3 didn't -- I didn't understand what "pattern" meant in 4 I "modulated pattern." 5 So you're referring to, you know, in the case 6 of 16 QAM, the 4 bits that are coming into the mapper, 7 that would be the pattern that's modulated? 8 A. That would be the bit pattern, yeah. 9 Q. And so if a bit stream were going into a 10 mapper, the first 4 bits would map to -- would be a 11 pattern that maps to one symbol, the second 4 bits would 12 be a pattern that maps to another symbol? 13 A. Well, it could be a very same symbol point. 14 You got 16 points. 15 would map to the same point. If it's the same quartet of bits, it 16 Q. Okay. Well, let's assume they're all unique. 17 A. Right. They can only be unique -- after -- 18 19 20 after 16, you got to hit the same spot. Q. But -- well, let's take an example where the bit stream is 12 bits and you have four unique quartets. 21 A. That's -- 22 Q. Or three, three unique quartets. 23 A. Okay. 24 Q. So the first pattern would map to one symbol, 25 the second pattern would map to a second symbol? TSG Reporting 877-702-9580 Page 64 1 A. Yeah. 2 Q. And the third pattern would map to a third 3 symbol? 4 A. Yeah. 5 Q. Now, why in -- in Figure 1 do you believe that 6 the output is -- well, strike that. 7 Why do you believe in Figure 1 that the 8 modulator does not include the pulse amplitude 9 modulation or the RF modulation? 10 A. I was just looking at the abstract of the 11 patent, but I'll -- I'll define the reference in the -- 12 in the spec. 13 Well, if I look in column 2, I'm looking sort 14 of, you know, starting at around 40 and ending at 53. 15 You got to get down to the bottom. 16 adaptively select one of the modulation techniques 17 according to the radio department." 18 The -- "in order to I mean, there's no discussion of my second 19 level of modulation. 20 there's no pulse shaping involved. 21 discussion of carrier frequency. 22 since this is part of HSDPA, there is a standard. 23 could assume that. 24 25 There's no, as far as I can tell, There's certainly no But the -- certainly, One So, I mean, I just -- that's all -- that's all that I see in the patent, and that's all that's -- are TSG Reporting 877-702-9580 Page 92 1 modulator 280, in Figure 3, it outputs a modulated 2 pattern? 3 A. One of 16 QAM points. 4 Q. Now, is the output of the modulator, is that 5 6 7 8 9 10 11 4 bits, or what -- what is the output? A. It's -- it's a four -- it's a symbol that is one of the 16 points in the QAM, in the XY plane. Q. But for it to appear like that, it has to go through the pulse -- the PAM and the RF modulation, correct? A. No. You take -- you take 4 bits. You put it 12 into a lookup table, and it gives you a complex number 13 or an I and Q number. 14 can discuss that -- you can represent that in the signal 15 constellation in the IQ plane or the XY plane as a 16 signal point. 17 QAM here, but. 18 Q. Okay. And you can just put that -- you It's understood. There's no figure of 16 So going back to what a modulated 19 pattern is, in the case of 16 QAM, you would -- you 20 would say that a modulating -- a modulated pattern is 21 one of the points in the constellation? 22 A. One of the 16 points. 23 Q. One of the 16 points in the constellation. 24 A. And there are various ways to represent that, 25 as a two-topple XY pair, X coordinate and Y coordinate, TSG Reporting 877-702-9580 Page 93 1 2 3 or as a vector. Q. So would you agree that you could also call that same point a "modulated signal"? 4 A. No. 5 Q. Why not? 6 A. Okay. To me -- and I see that Dr. Wessel uses 7 that term -- a signal in general has a notion of 8 bandwidth associated with it. 9 a number. 10 That symbol coming out is Numbers don't have bandwidth. Now, as he points to my textbook, when you -- 11 when you start out pedagogically and you're teaching 12 students about statistical decision theory, you 13 generally start with, are you sending signal one or 14 signal two. 15 symbol, one signal. 16 can interchange the terms. 17 So you're sending, let's say, 1 bit, one So in that pedagogical case, you But in -- understanding of those skilled in the 18 art, a particular symbol as I'm talking about is a 19 number. 20 just a number. 21 that -- people wouldn't call that "signal." 22 It could be a complex number, I and Q. It's It doesn't -- you can't associate So what would people call a signal? People 23 would call a signal, after you have a sequence of these 24 symbols -- oh, let's say -- let's say -- let's say you 25 wanted to send, in a real signal, just one -- in a real TSG Reporting 877-702-9580 Page 94 1 system, I want to get one symbol from me to you. 2 take that one symbol. 3 Now it has a bandwidth. 4 and you receive it. 5 signal is that composite where I can say it has -- 6 exists for time and has a bandwidth. 7 So I I pulse amplitude modulate it. And I put it in an RF carrier So I've sent one symbol, but the A symbol is just a number. But in actuality, 8 you send a plurality of such symbols in time, and the 9 composite is called a signal. 10 11 12 13 Q. answer. A. So I think you said something in your last I thought you said a symbol is just a number? Yes, I think that's what I said, a complex number. 14 Q. Okay. 15 A. Or an I and Q number, X and Y. That's -- 16 that's how someone of ordinary skill would interpret 17 that. 18 Q. And what would that number represent? 19 A. Well, it just -- in the language of the patent 20 in the more generally, if a 16 QAM, it would -- it would 21 have an association with 4 bits. 22 what symbol point, and I could tell you which 4 bits 23 you're -- depends if you're the transmitter or the 24 receiver -- what you're transmitting or what you believe 25 you received. You -- you tell me There's a one-to-one mapping. TSG Reporting 877-702-9580 Page 95 1 2 3 Q. Now, you would agree that your textbook and other sources refer to symbols as signals? A. Under -- as I -- as I said in my testimony 4 which I just gave, that -- I believe the only time that 5 I did that in my book would be in a pedagogical sense 6 when you're sending one symbol. 7 it's pedagogical to teach students about statistical 8 decision theory, hypothesis testing, maximum likelihood 9 detection. 10 So therefore -- and So you're sending one signal, and there it's sending one symbol, and the terms are loosely used. 11 But no one of ordinary -- no one of skill in 12 the art would say, "I give you a symbol, a 16 QAM 13 symbol, a 64 -- a 64 QAM symbol," and say that's a 14 signal. 15 I don't know. 16 Q. What's its bandwidth? How long does it last? In your -- in your book or any other references 17 outside of the patent that you've seen, have you ever 18 seen a symbol referred to as a modulated pattern? 19 20 MR. KOLOVOS: A. Objection. The -- certainly I don't think I used that in 21 my book. 22 this is consistent with, as I said, the unusual use of 23 the term for element 280 as a modulator. 24 people would call that a mapper. 25 word "mapper," so that -- that would be a map pattern. I don't recall seeing any references. But I think most And if you use the TSG Reporting 877-702-9580 Page 96 1 I think in my book I have the -- I did take a look. 2 use the word "pattern" for bit pattern. 3 used the word "mapper." 4 I And I'm sure I And it would be clear -- I mean -- you know, 5 and also in these books -- mine is a graduate-level text 6 when I was a faculty member. 7 Bell Labs in 2001, I taught at Columbia University for a 8 couple years. 9 still use my book. When I retired from So this was a Ph.D. level course. Now it's 20 years old. 10 it -- this were is Ph.D. students. 11 wasn't necessary to define the term. 12 They But, I mean, used in the context. 13 Q. You didn't -- it You defined it Have you ever seen in any extrinsic source or 14 any source outside of the patent the output of a mapper 15 being referred to as a modulated pattern? 16 A. Again, mapper. Well, if you -- if you have a 17 mapper, you would say it's the -- it's the output of the 18 mapper, you know. 19 standards have, you know, a signal or mapping table. 20 Q. Okay. You have -- that's -- and most So I guess, in summary, you haven't seen 21 any -- anything in the patent or anything in any other 22 sources that describe a symbol as a modulated pattern? 23 24 25 MR. KOLOVOS: A. Objection; asked and answered. Well, I disagree. I mean, as I said, if you look at Figure 3, the input is an input bit pattern, it TSG Reporting 877-702-9580 Page 97 1 goes to a modulator. 2 a modulated pattern at the output. 3 So in plane English, that would be I think that the claim construction is 4 informative more for "symbol" because that's the way 5 it's used in the patent. 6 that way, you might be confused when you -- you could be 7 confused when you read that term, because I would say, 8 to turn it around like you were suggesting but which I 9 disagreed with, that modulator could have all three In fact, if you didn't do it 10 levels of modulation, but clearly it only has the first 11 level, and it uses it in an unconventional way. 12 think it's wise that Apple use the language of the -- of 13 the patent to clarify "symbol." 14 Q. So I Let me ask it one more time. 15 You have not seen anything, either in the 16 patent or in any other sources, textbooks, treatises, 17 papers, that describe a symbol as a modulated pattern, 18 correct? 19 20 MR. KOLOVOS: A. Same objection. I -- sitting here today, I can't recall the 21 hundreds of thousands of papers that I've read, you 22 know. 23 done that in Google Scholar. 24 I'm not going to agree with you to that statement 25 because, you know, my memory is not that good. We can put it into Google search. I -- I haven't So I can't -- you know, TSG Reporting 877-702-9580 Page 98 1 Q. But sitting here today, you can't identify the 2 use of "symbol" in any of these -- in any source where 3 "symbol" is defined as a modulated pattern? 4 MR. KOLOVOS: Same objection. 5 Q. Correct? 6 A. In any extrinsic? You know, I -- I -- I -- I 7 think that's -- you know, you're entitled to ask the 8 question. 9 can't instantly search all the papers, hundreds, if not And I'd say I -- I -- I don't remember. 10 thousands, of papers in my 40-year career that I've 11 I read, things that I've written, you know. 12 It's just simply that the use of the word for 13 element 280 modulator is, to me, nonstandard in mapping. 14 So, you know, it's a symbol. 15 pretty common as to what you're doing. 16 bits into a symbol. 17 doing in this special way in conformance with SMP. 18 Q. 19 Okay. A bit mapper would be You're mapping That's what that element 280 is Let me -- let me try one more time. Sitting here today, you cannot identify any 20 source, any paper, treatise, book, anything that defines 21 a symbol as a modulated pattern; isn't that correct? 22 23 MR. KOLOVOS: A. Objection. I -- I haven't tried to. So, you know, if that 24 was an exercise that I was asked to do, I would go about 25 searching. But I haven't attempted that. TSG Reporting 877-702-9580 So I'm not Page 99 1 going to say it doesn't exist, but I haven't attempted 2 to do that. 3 Q. But you would agree to me -- with me that 4 sitting here today you cannot identify any book, 5 treatise, paper, any source outside of the patent itself 6 that defines "symbol" as a modulated pattern? 7 8 9 MR. KOLOVOS: A. Objection. I'd just repeat my answer. attempted to do that. I -- I haven't So you're asking me to sort of 10 reach a negative conclusion when I haven't attempted to 11 do the work. 12 Q. So my question isn't -- it's not have you 13 attempted to do it. 14 today you haven't identified in your declaration, and 15 you can't identify -- sitting here, you can't identify 16 any paper, book, treatise, any source that defines 17 "symbol" as a modulated pattern, right? 18 19 MR. KOLOVOS: I'm just saying that sitting here A. Objection. I haven't been asked to do it, so I haven't 20 done it. 21 the answer to the question. 22 23 24 25 Q. I haven't attempted to do it. Okay. I don't know The next section -- MR. KOLOVOS: You want to break for lunch before we get to the next section? MR. BRIGGS: Sure. TSG Reporting 877-702-9580 Page 100 1 2 THE VIDEOGRAPHER: record. We're going off the video It's 12:35 p.m. 3 (Luncheon recess from 12:25 p.m. to 1:31 p.m.) 4 THE VIDEOGRAPHER: 5 6 7 We're on the video record. It's 1:31 p.m. BY MR. BRIGGS: Q. Dr. Gitlin, Apple's construction of "symbol" 8 has an interpretation of a modulated pattern in -- well, 9 strike that. 10 11 Apple's construction requires a symbol to be in a sequence of such patterns. 12 A. Yes. 13 Q. Okay. Do you see that? Now, would you agree with me that a 14 symbol does not necessarily need to be in a sequence of 15 symbols? 16 A. Yes. 17 Q. Okay. You can send one symbol. So in defining "symbol," why do you 18 think it's proper to require that the symbol appear in a 19 sequence of symbols? 20 A. Well, I think it's -- it's informative because 21 in these type of wireless and communication systems you 22 generally send a sequence of symbols. 23 24 25 Q. But are you saying that the claim is actually limited to sending a sequence of symbols? MR. KOLOVOS: Objection. TSG Reporting 877-702-9580 Page 101 1 A. You mean claim 11? 2 Q. Yeah, claim 11. 3 A. Well, I mean, an apparatus for receiving data 4 in the communication system comprising. 5 understood of someone in skill in the art that a 6 communication system, almost every system that I'm 7 familiar with, sends a sequence of symbols. 8 9 Q. So it would be But other than your understanding of what somebody with skill in the art would believe, is there 10 anything in the claim language that you can point to 11 that requires a sequence of symbols to be sent? 12 A. Well, I think it -- for example, if you look -- 13 it's understood from the spec. 14 Figure 5, for example. So look at the 64 QAM case, they 15 show you five symbols. And -- 16 Q. So that was Figure? 17 A. 5. 18 Q. 5. 19 A. Yeah. So if you look at So it shows five symbols under 64 QAM? And it -- yes. And there's a reason for 20 it, yeah, as I'm sure you're familiar with in the text. 21 But it's illustrative that -- that you're going to -- 22 generally -- in this case, it's to accommodate some 23 limitation in memory. 24 have -- I think even in Figure 4 it shows for 64 QAM two 25 symbols. But you're -- you're going to But I think it's understood by -- when you say TSG Reporting 877-702-9580 Page 113 1 I call level-one modulation, and can only talk about 2 level-one, what it calls, demodulation. 3 level-one mapping and level-one unmapping or demapping. 4 5 Q. Okay. So I'll call it So you're disagreeing with how the patent uses the terms "signal" and "symbol" here? 6 MR. KOLOVOS: Objection. 7 A. I'd like to read the patent in the column 21. 8 Q. Okay. 9 A. Yeah, I'm disagreeing. I mean, if I look at 10 Figure 17, it -- it clearly shows that there's a signal 11 sample coming in. 12 And it's the -- the -- It's not clear at that point if the signal, the 13 received signal sample, has been -- was -- has been 14 resolved to one of 16 QAM points. 15 So there is some ambiguity. 16 simply going from one of 16 -- it's a demapper -- one of 17 16 points to a 4-bit pattern. 18 pattern has then split the stuff that's going to the 19 systematic deinterleaver and the parity deinterleaver. 20 Q. Okay. You don't see that. But the demodulator is And then that 4-bit So I -- I guess the answer to my 21 question is, yes, you do disagree with how the patent 22 describes the received signal as being a symbol? 23 MR. KOLOVOS: I object to the form. 24 Mischaracterizes both his testimony and what the 25 patent says. TSG Reporting 877-702-9580 Page 114 1 A. So the -- at the receiver you -- you have a 2 series of wave forms or samples, and those are proper to 3 refer to that as "signal" or "signal samples." 4 only, you know, when you're making a decision and 5 saying, "Which of the 16 constellation points or symbols 6 do you think has been transmitted," are you back into a 7 symbol. 8 never the case -- 9 It's So, you know, there is -- there is a -- it's You're -- you're taking a received signal 10 sample, and you're mapping it through -- through some 11 decision device into one of these 16 points. 12 have a decision as to what you think the received -- 13 what the symbol -- what you think what symbol was 14 transmitted. 15 is, I think, as I said, a poor choice of English, it 16 would be a demapper. 17 Q. 18 19 And you go through this demodulator which So can a symbol be transmitted? MR. KOLOVOS: A. Now you Objection. A symbol going through the three steps of 20 modulation. 21 signal by following these three steps. 22 pattern; you map it, in the language of the patent; 23 modulate it to a symbol. 24 and then you RFO modulate it. 25 is called a signal. You -- you -- you generate a transmitted You take a bit You amplitude modulate PAM, And that whole composite TSG Reporting 877-702-9580 Page 115 1 2 So yes, that's the way you transmit symbols or -- 3 Q. Okay. 4 A. Symbols are inside a -- if you look inside the So symbols are transmitted wirelessly? 5 airplane, there are symbols. 6 look -- if you look at the airplane, it's a signal. 7 what goes on the air is referred to as a signal. If you look -- if you 8 Q. And the signal contains symbols, correct? 9 A. Yes. 10 Q. And So symbols are transmitted in a signal, and 11 12 symbols are received in a signal? A. The receiver operation is more complicated. 13 you -- the patent doesn't describe any of the 14 operations, other than these what I'll call 15 demodulated -- it's called demodulating or 16 So demultiplexing. 17 And it -- so you receive a signal and you -- 18 you undo the modulation through carrier frequency. 19 There are some other parameters in there. 20 acquisition, you undo the effects of the distortion of 21 channel, and now you're presented with a sequence of 22 numbers. 23 received signal samples. 24 25 And for phase So I think people would say that those are the And if you looked at those on a plot where you have the 16 possible points, you'd have a bunch of fuzz. TSG Reporting 877-702-9580 Page 119 1 A. I read it. 2 Q. Okay. 3 A. I disagree. 4 Q. Okay. 5 A. It's the same issue, that the -- so let me read 6 So do you agree or disagree with that? So why do you disagree? the word. 7 What Apple, the construction says, a modulator 8 that is a map pattern. 9 and a pattern of bits and modulating it, using the 10 So that's taking a group of bits terminology of the patent. 11 So as I've said many times, in 16 QAM you take 12 4 bits, and you produce one of those 16 constellation 13 points. 14 So -- so the demodulator is acting in an 15 ordinary fashion to convert or -- this is -- you have 16 a -- at the -- 17 The way demodulator is used here is a demapper. 18 You already decided, for whatever receiver mechanism you 19 had, that the input of the demodulator is one of 20 16 points. 21 into -- one of those 16 points into 4 bits. 22 that's -- you know. 23 So the demodulator is simply a demapper And And -- and Apple is not claiming that a symbol 24 is itself a pattern. 25 taking the pattern and then modulating it to one of It's a modulated pattern. TSG Reporting 877-702-9580 So it's Page 120 1 16 points. 2 Q. 3 That's what a symbol is. Let's -- let's turn to the next section of Dr. Wessel's declaration. 4 A. Where are you? 5 Q. On subsection B, between paragraphs 25 and 26. 6 THE WITNESS: I'm going to need to take a break 7 in a couple of minutes. 8 take it now? 9 11 I want to go to the bathroom. MR. BRIGGS: 10 Yeah. THE VIDEOGRAPHER: record. Is this a good place to We're going off the video It's 2:17 p.m. 12 (Recess from 2:17 p.m. until 2:28 p.m.) 13 THE VIDEOGRAPHER: 14 15 16 17 We're on the video record. Its 2:28 p.m. BY MR. BRIGGS: Q. Dr. Gitlin, can you turn back to page 5 of Dr. Wessel's declaration. 18 So I wanted to ask you some more questions 19 about Samsung's alternative construction. 20 talked about the first part that says a "modulated 21 signal," and you disagreed that that was correct. 22 23 We just Now I want to ask you if you disagree with the remainder of that proposed construction, which states -- 24 A. How would you parse it? 25 Q. Well, that part says that a symbol represents a TSG Reporting 877-702-9580 Page 121 1 number of bits specified according to the modulation 2 technique. 3 I mean, would you agree that a symbol 4 represents a number of bits specified according to a 5 modulation technique? 6 A. Yes. 7 Q. Okay. So your real issue with Samsung's 8 proposed construction is the portion that states "a 9 modulated signal"? 10 A. Yes. 11 Q. And you don't agree that it's a signal; you 12 13 believe it's a modulated pattern? A. Yes. And that -- that language is what -- the 14 way the patent refers the use of the word "modulator." 15 I mean, as I said many times, I'm -- every time I'm 16 seeing that "modulator," I'm saying "mapper," because 17 that's the language that I'm familiar with, a bit 18 mapper. 19 excuse me. 20 Q. 21 22 23 24 25 You map bits into the signal -- to a symbol, Yeah, we've got a lot of tongue twisters today. MR. KOLOVOS: And given that the whole dispute seems to be is it "symbol" or is it "signal." MR. BRIGGS: Hopefully you've been watching over us. MR. KOLOVOS: I've been trying to, trying to, TSG Reporting 877-702-9580 Page 122 1 trying keep an eye on that. 2 Q. 3 Can you turn to page -- or paragraph 38 of Dr. Wessel's declaration? 4 A. Let me -- let me just -- this is in... 5 Q. And you might want to refer back to 6 7 paragraph 74 of your declaration. A. 8 9 10 I have paragraph 74. the end of it. 13 Yeah. Okay. Let's make sure I got to 38. Let me -- it goes on to the next page. 11 12 There's where I'm going. Okay. Q. I think I read them all. Okay. So why don't we start with paragraph 74 of your declaration. 14 You make a statement in the middle of this 15 paragraph that it would be -- you state, "It would be 16 incorrect to refer to the entire sequence as a single 17 symbol. 18 a signal representative data would be incorrect because 19 it would fail to distinguish between a single symbol and 20 a sequence of such symbols." 21 22 Okay. 25 So what is -- what is your concern that you're expressing here in paragraph 74? 23 24 Accordingly, a construction for symbols such as MR. KOLOVOS: A. Objection. It's, as I recall, it's intended to distinguish between a symbol and a signal. I mean, it's that the -- TSG Reporting 877-702-9580 Exhibit E Exhibit F HIGHLY CONFIDENTIAL ATTORNEYS' EYES ONLY Page 1 1 UNITED STATES DISTRICT COURT 2 NORTHERN DISTRICT OF CALIFORNIA 3 SAN JOSE DIVISION 4 5 6 7 8 9 10 11 12 13 ---------------------------------x APPLE INC., a California ) corporation, ) ) Plaintiff, ) ) vs. ) )No. 11-CV-01846LHK SAMSUNG ELECTRONICS CO., LTD., ) a Korean entity; SAMSUNG ) ELECTRONICS AMERICA, INC., a ) New York corporation; SAMSUNG ) TELECOMMUNICATIONS AMERICA, LLC, ) a Delaware limited liability ) Company, ) ) Defendants. ) ---------------------------------x 14 15 16 17 VIDEOTAPED DEPOSITION OF TONY GIVARGIS, PH.D. 18 Los Angeles, California 19 Tuesday, December 6, 2011 20 21 HIGHLY CONFIDENTIAL - ATTORNEYS' EYES ONLY 22 23 Reported by: 24 SUSAN A. SULLIVAN, CSR #3522, RPR, CRR 25 JOB NO. 44330 TSG Reporting 877-702-9580 HIGHLY CONFIDENTIAL ATTORNEYS' EYES ONLY Page 2 1 Tuesday, December 6, 2011 2 8:56 a.m. 3 4 VIDEOTAPED DEPOSITION OF TONY GIVARGIS, 5 PH.D., taken by Defendants, at the offices 6 of Quinn, Emanuel, Urquhart & Sullivan, 7 865 South Figueroa Street, Los Angeles, 8 California, before Susan A. Sullivan, CSR, 9 RPR, CRR, State of California. 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 TSG Reporting 877-702-9580 HIGHLY CONFIDENTIAL ATTORNEYS' EYES ONLY Page 5 1 2 3 MR. SHAH: and representing Apple. THE VIDEOGRAPHER: 4 5 Ali Shah, WilmerHale, for the witness Thank you. And will the reporter now swear or affirm the witness. 6 7 TONY GIVARGIS, PH.D., 8 called as a witness, having been duly sworn by 9 the court reporter, was examined and testified 10 as follows: 11 12 EXAMINATION 13 BY MS. MAROULIS: 14 Q 15 today? 16 A Good, thank you. 17 Q My name is Victoria Maroulis and I will be 18 Good morning, Mr. Givargis. How are you asking you some questions today. 19 Have you ever been deposed before? 20 A No. 21 Q In that case let me briefly run you through 22 23 the rules of the deposition. First of all, do you understand that you 24 are testifying today like you would be in a court of 25 law under oath even though we're sitting in a TSG Reporting 877-702-9580 HIGHLY CONFIDENTIAL ATTORNEYS' EYES ONLY Page 29 1 publisher that I recognized or they were -- if they 2 were references on the website, that they were 3 credible and they were published in a place that I 4 would consider reasonable. 5 Q Did counsel for Apple instruct you where to 6 search, what types of publications to search for 7 extrinsic evidence? 8 MR. SHAH: 9 Object to the extent it calls for privileged communication, but you can answer it. 10 THE WITNESS: 11 MR. SHAH: 12 the communication. 13 Q Not necessarily. They told me -- Again, just a caution on substance of BY MS. MAROULIS: Let me help you out. I 14 don't want to ask you what you spoke with them 15 about, my question is whether you were the one who 16 selected the extrinsic evidence in your declaration 17 or it was provided by counsel. 18 19 20 A Absolutely, yes, I understand. I selected all of those. Q In your search for a definition of "applet" 21 in extrinsic sources have you come across any 22 definitions that did not support your opinion? 23 A Yes, I did. 24 Q Can you give me examples of those? 25 A One example of those was Microsoft's TSG Reporting 877-702-9580 HIGHLY CONFIDENTIAL ATTORNEYS' EYES ONLY Page 30 1 control panel applet which is -- which was a very 2 sort of exceptional use of the term "applet," a very 3 limited in terms of how widely the term "applet" is 4 used and how Microsoft was using it in that context. 5 That was one example. 6 7 Q term "applet" exceptional? 8 9 Why do you consider Microsoft's use of the A Yes. Most applets are usually considered to be Java applets and/or similar to Java, Java, 10 sort of Java-like applets in the sense that they are 11 interpreted, they are an application or an app 12 running within an application. 13 The Microsoft control panel applets are 14 executable codes, they're actually dynamically- 15 linked libraries that do not require interpretation, 16 they run directly on the processor. 17 Q 18 applets. 19 You said that most applets are Java There are any applets that are not Java ones? 20 A Yes, a number of them. 21 Q Can you list them, please? 22 A Yes. For example, there are Python 23 applets, there are AppleScript applets, there are 24 JavaScript applets, there are applets in the context 25 of Flash, the Flash programming environment. TSG Reporting 877-702-9580 HIGHLY CONFIDENTIAL ATTORNEYS' EYES ONLY Page 31 1 Q So if a colleague came up to you and said 2 they're writing an applet you would not necessarily 3 know which one of those languages they were writing 4 it in? 5 A 6 MR. SHAH: I would automatically assume -Just give me a second. 7 Objection; vague. 8 You can answer if you understand the 9 10 question. THE WITNESS: Yes, I would -- I would assume 11 Java applets because those are the most common types 12 of applets. 13 Q 14 BY MS. MAROULIS: But they're not exclusive, correct? 15 A Correct. 16 Q Besides the reason you stated about why 17 Microsoft was exceptional in use of applets, is 18 there any other reason why you did not pick the 19 Microsoft definition for your declaration? 20 MR. SHAH: Object to form. 21 THE WITNESS: Yes. I felt that that represented 22 a very small percentage of all of the applets that 23 or all of the kinds of applets and it would not be 24 the usual or the common understanding of the term 25 "applet." TSG Reporting 877-702-9580 HIGHLY CONFIDENTIAL ATTORNEYS' EYES ONLY Page 32 1 Q BY MS. MAROULIS: Do you agree that at 2 least some people in the programming community when 3 they hear the word "applet" can think of a Microsoft 4 control panel applet? 5 A Some, yes. 6 Q And do you agree that was the case in 2005 7 as well? 8 A Yes. 9 Q Besides coming across the Microsoft control 10 panel applet, did you see any other definition of 11 "applets" in your research that diverged from the 12 one you picked for your declaration? 13 MR. SHAH: 14 THE WITNESS: 15 Q 16 17 18 19 Objection; vague. No. BY MS. MAROULIS: Did you see any definition of AppleScript applets? A I first came to -- to see AppleScript applets when I read Mr. Cole's declaration. Q And upon reading Mr. Cole's declaration did 20 it remind you that there were in fact AppleScript 21 applets back in 2005? 22 A Yes, that is correct. 23 Q And in your research did you come across 24 25 the Python applets? A I was aware of Python applets but I did not TSG Reporting 877-702-9580 HIGHLY CONFIDENTIAL ATTORNEYS' EYES ONLY Page 33 1 2 3 necessarily come across a writing or a textbook. Q Is it correct that Python applets existed in 2005? 4 A Yes, that is correct. 5 Q In your research did you come across Flash 6 7 program applets? A I was very well aware of Flash applets but 8 I did not find or obtain or look for documents 9 describing Flash applets. 10 11 Q You are aware they existed in 2005 as well, correct? 12 A Yes. 13 Q Are you familiar with Linux applets? 14 A I am not. 15 Q Let's turn to your declaration on Page 5. 16 What is the invention of the '711 patent? 17 MR. SHAH: Objection; vague. 18 THE WITNESS: I can summarize the '711 patent as 19 being a method or a teaching of how to accommodate 20 multitasking on a mobile device. 21 22 Q BY MS. MAROULIS: Is there any reference to Java in this patent? 23 A May I take a look? 24 Q Absolutely. 25 A No. TSG Reporting 877-702-9580 HIGHLY CONFIDENTIAL ATTORNEYS' EYES ONLY Page 34 1 2 Q system independent nature of applets? 3 4 Is there any references in this patent to A You mean operating-system dependent or just system? 5 Q Yes. 6 A No, there is not. 7 Q If you recall, is there any reference to 8 Java in the context of applets in the prosecution 9 history? 10 MR. SHAH: If you need to review any documents, 11 you can ask for them. 12 THE WITNESS: 13 had a copy of the prosecution history. 14 15 Yes, I would appreciate it if I MS. MAROULIS: history. 16 I'm happy to mark the file It is rather sizeable. Let's mark this as Exhibit 5. 17 (Givargis Exhibit 5, a document, Bates Nos. 18 SAMNDCA00007840 to SAMNDCA00008459, marked 19 for identification, as of this date.) 20 Q BY MS. MAROULIS: Sir, I'm placing before 21 you Exhibit 5. 22 prosecution history of the '711 patent? 23 24 25 Do you recognize it as the A I believe portions of it I have reviewed, Q You don't remember reviewing the whole yes. TSG Reporting 877-702-9580 HIGHLY CONFIDENTIAL ATTORNEYS' EYES ONLY Page 35 1 thing? 2 A Not the entire thing, no. 3 Q How did you decide what portions of that 4 file history to review? 5 A The file history was provided to me by the 6 attorneys. 7 Q The file history that you see before you is 8 double-sided, so do you remember giving me documents 9 that is this thick or thicker or was it a smaller 10 document? 11 A I recall a smaller document. 12 MS. MAROULIS: Counsel, I would appreciate 13 seeing the version of the file history that was 14 provided to the witness. 15 MR. SHAH: I can represent that we provided the 16 certified file history. 17 MS. MAROULIS: 18 MR. SHAH: 19 MS. MAROULIS. 20 Q The entire file history? We did. Via PDF file, not via paper. BY MS. MAROULIS: This is not a memory 21 test, but do you recall any references to Java in 22 the context of applets in the file history? 23 24 25 A There was absolutely no reference to Java in the file history that I reviewed. Q Was there any reference to applet being TSG Reporting 877-702-9580 HIGHLY CONFIDENTIAL ATTORNEYS' EYES ONLY Page 36 1 2 operating-systems independent? A I do not recall any reference to operating- 3 system-independent applets in the file history that 4 I reviewed. 5 Q Turning back to Exhibit 2 which is the 6 patent-in-suit, is it correct, sir, that there's 7 only one place where applets are mentioned in the 8 patent? 9 10 A There is only one place in the specification that refers to patents. 11 Q Thank you. 12 A And to applet. 13 Q Thank you for correcting me. 14 specification. 15 16 I did mean And is it correct, sir, that that place in the specification is Column 3, Lines 8 through 14? 17 A Yes, that is correct. 18 Q This passage does not mention Java as well, 19 correct? 20 A That is correct. 21 Q And it does not mention operating-systems 22 independent. 23 A That is correct, yes. 24 Q Why do you cite this passage to support 25 your definition in your declaration? TSG Reporting 877-702-9580 HIGHLY CONFIDENTIAL ATTORNEYS' EYES ONLY Page 37 1 A Yes. The important element of this passage 2 is the part that says at least one applet within an 3 application model -- module or in each of the 4 application modules, and that relationship of an 5 applet within an application module or in the 6 context of an application module is relevant to my 7 understanding and definition of applets being 8 interpreted by a host application module. 9 Q Where do you see the word "within," sir? 10 A There is no "within" in this, in this 11 particular text. 12 Q Okay. 13 A There's an association, yes. 14 Q Can you explain how you read this last 15 16 sentence to support your definition. A "Application modules of the portable 17 terminal include at least one applet and each of the 18 application modules, that is each menu of the 19 portable terminal, independently performs multi- 20 tasking." 21 So as I interpret it, the applets run 22 within or execute within an application module or 23 execute in the context of an application module. 24 25 Q Do you draw a distinction between "application module" and "program"? TSG Reporting 877-702-9580 HIGHLY CONFIDENTIAL ATTORNEYS' EYES ONLY Page 39 1 2 operating-system independent? A This passage does not make reference to 3 operating-system independent. 4 association between an applet and an application 5 module, together with the claim language and the 6 prosecution, the file history, does suggest to me 7 that the applet requires the application module as 8 a, sort of as a context, and that relationship is 9 what one would expect from Java applets or Java-like 10 11 However, the applets, that interpreted. Q Setting aside the claim language and 12 prosecution history, is it correct that there's 13 nothing in this particular passage that indicates 14 operating-system independence? 15 16 17 18 A Nothing in the passage mentions anything about being operating-system independent, yes. Q Let's take a look at the claim language. For example, Claim 1 in Column 7, do you see that? 19 A Yes. 20 Q The relevant limitation is "Generating a 21 music background play object, wherein the music 22 background play object includes an application 23 module including at least one applet." 24 25 Is there any mention of operating-system independence here? TSG Reporting 877-702-9580 HIGHLY CONFIDENTIAL ATTORNEYS' EYES ONLY Page 40 1 A No. 2 Q Is there anything in this claim that you 3 see that supports your notion of operating-system 4 independence? 5 A What I see in this sentence, passage, is, 6 again, the association between an applet running or 7 an applet that is within an application module and 8 that association to me suggests a Java-like 9 interpreted environment. 10 11 Q Did you review the testimony of the inventor of this patent? 12 A Yes. I reviewed a subset of it. 13 Q Did you see that the inventor who was 14 developing this technology was working with system- 15 dependent applets? 16 A That is correct, yes. 17 Q Which system-dependent applets was he 18 19 20 21 working with, to your understanding? MR. SHAH: If you need to see any documents to refresh your recollection, you can ask. THE WITNESS: Yes. I think this one I can 22 answer without the document, but it was a Qualcomm 23 chipset. 24 25 Q BY MS. MAROULIS: Do you disagree that the technology he was working on is described by Claim TSG Reporting 877-702-9580 HIGHLY CONFIDENTIAL ATTORNEYS' EYES ONLY Page 41 1 1? 2 MR. SHAH: Object to the extent it calls for a 3 legal conclusion. 4 THE WITNESS: 5 6 I have not formed that position yet. Q BY MS. MAROULIS: Do you understand that he 7 was asked during deposition about the embodiments of 8 the patent? 9 10 MR. SHAH: Same objection. THE WITNESS: 11 Q I'm not sure exactly what he was asked. 12 Yes. BY MS. MAROULIS: If the technology that he 13 was working on embodies this claim would you agree 14 with me that the claim includes applets that are 15 also system dependent? 16 MR. SHAH: Same objection. 17 THE WITNESS: Based on -- I recognize that the 18 inventor was working with a system that was 19 OS-dependent, specifically the Qualcom chipset. 20 However, that use of the term "applet" within that 21 context was unusual or it was not consistent with 22 the common understanding of the term "applet" at the 23 time and the '711 patent does not make that 24 distinction clear. 25 Q BY MS. MAROULIS: If the '711 patent does TSG Reporting 877-702-9580 HIGHLY CONFIDENTIAL ATTORNEYS' EYES ONLY Page 43 1 are off the record. 2 (Recess) 3 THE VIDEOGRAPHER: 4 are back on the record. 5 The time is 9:59 a.m. and we BY MS. MAROULIS: 6 Q Mr. Givargis, before the break we were 7 discussing the '711 patent. Other than the 8 "specification," quote, we discussed and the coding 9 language, there's no other portion of the '711 10 patent that you are relying on in your declaration, 11 correct? 12 A I believe so, yes. 13 MS. MAROULIS: I would like to now switch to the 14 prosecution history which is Exhibit 5 and, for the 15 record, the document control numbers are 16 SAMNDCA00007840 through 8459. 17 18 19 Q What is your understanding, sir, of what a file history is? A Yes. It has three components, some of it 20 are identifying information or titles of various 21 documents and so on. 22 which is sort of the examiner's rejections and a 23 description of why those rejections are followed by 24 a response to the office action which comes from the 25 applicant in response to the rejections. Then it has another component TSG Reporting 877-702-9580 HIGHLY CONFIDENTIAL ATTORNEYS' EYES ONLY Page 44 1 2 Q are you relying on in your declaration? 3 4 5 What particular portions of this document MR. SHAH: Look at your declaration if you need to. THE WITNESS: Yes. May I look at my 6 declaration? 7 Q BY MS. MAROULIS: 8 A Yes. Yes. I'm relying on the examiner's 9 suggestion that the phrase "a music background play 10 object" will be -- will be augmented with "the music 11 background play objects including an application 12 module includes at least one applet" to distinguish 13 it from the Kokubo patent." 14 15 Q Are you reviewing to the interview with the examiner on December 8, 2009? 16 A Yes. 17 Q If you would like you can turn to Pages 18 7871 through 7873 of this exhibit, of Exhibit 5. 19 A Yes. 20 Q Is this the record of the examiner's 21 22 23 interview that we have been talking about? MR. SHAH: Objection. The document speaks for itself. 24 THE WITNESS: 25 Q Yes, that's correct. BY MS. MAROULIS: And is it correct that TSG Reporting 877-702-9580 HIGHLY CONFIDENTIAL ATTORNEYS' EYES ONLY Page 45 1 the relevant passage you were relying on appears on 2 Page 7873 of Exhibit 5? 3 A This appears to be a summary of the 4 interview that is consistent with the passage I have 5 been relying on, yes. 6 Q 7 interview? 8 A No, I did not. 9 Q So the only record of this interview you 10 Did you interview any participants of this are relying on is this summary here, correct? 11 A 12 text, yes. 13 Q And the -- 14 A Surrounding it. 15 Q And the followup filings by the applicants. 16 A Correct. 17 Q Is there anything in this interview summary 18 This summary and some of the additional that mentions Java? 19 A No, there is not. 20 Q And is there anything in this summary that 21 22 23 mentions applet being system independent? MR. SHAH: Objection. The document speaks for itself. 24 THE WITNESS: 25 Q No, there is not. BY MS. MAROULIS: What in particular about TSG Reporting 877-702-9580

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