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Form PTO/SB/08: Substitute for forni 1 449A/PTO 

FORMATION DISCLOSURE 
iTATEMENT BY APPLICANT 

(Use as many sheets as necessary) 


Complete if Known 


Application Number 


Filing Date 


First Named Inventor 


Art Unit 


Examiner Name 


09/870.801 


June 1, 2001 


Karl L Ginter, et al. 


2132 


Justin T. Darrow 


1 


I 


of 


Attorney Docket Number 


07451.0001-18000 




U.S. PATENTS AND PUBLISHED U.S. PATENT APPLICATIONS 

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Cite 

Document Number 

Issue or 

Name of Patentee or 

Pages, Columns, Lines, Where 

No. 1 

Number-Kind Code 2 (8 known) 

Publication Date 
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Applicant of Cited Document 

Relevant Passages or Relevant 
Figures Appear 



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FOREIGN PATENT DOCUMENTS 

Examiner 
Initials' 

Cite 
No. 1 

Foreign Patent Document 
Country Code 3 Number 4 Kind Code 5 [if known) 

Publication Date 
MM-DD-YYYY 

Name of Patentee or 
Applicant of Cited Document 

Pages, Columns, Lines, 
Where Relevant Passages 
or Relevant Figures 
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Translation 6 






























NON PATENT LITERATURE DOCUMENTS 

Examiner 
Initials' 

Cite 
No. 1 

Include name of the author (in CAPITAL LETTERS), title of the article (when appropriate), title of the item 
(book, magazine, journal, serial, symposium, catalog, etc.), date, page(s), volume-issue numbers), 
publisher, city and/or country where published. 

Translation 6 



Exhibit A: Patent Interference No. 105,142, Benson vs. Ginter, 'Decision on Motions," mailed November 17 
2004, 24 pages. 



\ 

Exhibit B: Patent Interference No. 105,142, Ginter vs. Benson, "Decision on Priority," mailed December 28 
2005, 156 pages. 



s 

Exhibit C: Patent Interference No. 105,142. Ginter vs. Benson, "Amended Judgment - Bd. Rule 127," mailed 
January 5, 2006, 5 pages. 




Exhibit D: Patent Interference No. 105,142, Ginter vs. Benson, "Judgment - Bd. Rule 127," mailed June 8 
2005, 4 pages. 


If ? W 


1 Examiner 
1 Signature 



EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through 
citation if not in conformance and not considered. Include copy of this form with next communication to applicant. 


IDS Form PTO/SB/08: Substitute for form 1449A/PTO 

INFORMATION DISCLOSURE 
STATEMENT BY APPLICANT 



(Use as many she ets as necessary) 
Sheefa^ |~~ 


Complete if Known 


Application Number 


Filing Date 


First Named Inventor 


Art Unit 


Examiner Name 


09/870,801 


July 1,2001 


GINTER etal. 


2132 


Justin T.DARROW 


1 


of 


Attorney Docket Number 07451 .0001-18000 


JUN 1 0 2005 ^ 

Note: Sfi pmission of copies of U.S. Patents and published U.S. Patent Applications is not required. 


FOREIGN PATENT DOCUMENTS 


Initials' 

Cite 
No. 1 

Foreign Patent Document 
Country Code 1 Number* Kind Code' (cf known) 

Publication Date 
MM-DD-YYYY 

Naitia of Patent aa or 

Applicant of Cited Document 

Panpe Columns LinAfi 

Where Relevant Passages 
or Relevant Figures 
Appear 

Tro n <il at in 

J6 



JP 01 248891 A 

10-04-1989 



Abstract 
only 



JP01 296363 A 

11-29-1989 



Abstract 
only 




JP01 68853 A 

03-14-1989 



Abstract 
only 




JP 04 117548 A 

04-17-1992 



Abstract 
only 




JP 04 504794 

08-20-1992 



Abstract 
only 




JP 05 173892 A 

07-13-1993 



Abstract 
only 




JP 05 258463 A 

10-08-1993 



Abstract 
only 




JP 06 152585 A 

05-31-1994 



Abstract 
only 




JP 06 161719 A 

06-10-1994 



Abstract 
only 




JP 06 250924 

09-09-1994 



Abstract 
only 




JP 06 501120 

01-27-1994 



Abstract 
only 




JP 07 319681 A 

12-08-1995 



Abstract 
only 




JP61 121145 A 

06-09-1986 



Abstract 
only 




JP 63 129564 A 

06-01-1988 



Abstract 
only 

ml 


JP 63 289646 A 

11-28-1988 



Abstract 
only 


NON PATENT LITERATURE DOCUMENTS 

Examiner 
Initials' 

Cite 
No. 1 

Include name of the author (in CAPITAL LETTERS), title of the article (when appropriate), title of the item 
(book, magazine, journal, serial, symposium, catalog, etc.), date, page(s). volume-issue numbers), 
publisher, city and/or country where published. 

Translation 8 


C1 

"Information Society Facing a Turning Point, Information Rood, How to Stand Against Rood of Copies," 
Nikkei Byte, 92:316-319, 1991. 

Unavailable 



C2 

GARRETT et aL, Toward an electronic Copyright Management System," J. of the Amen Soc. for info., 
44(8):468-473, 1993. 

Yes 



C3 

KOZUKA et al., "Electronic Magazine Editing Software for 3DO," National Technical Report, Matsushita 
Electric Industrial Co., Ltd., 40(6):88-97. 1994. 

Abstract only 



C4 

ROZENBUT, Moshe. "Secure Software Distribution," IEEE Network Operations and Management 
Symposium, 2:486-496, 1994. 

Yes 


/C5 

SEKI et al., "A Proposal for New Software Distribution System Using a Secret Code," Research Report of 
Information Processing Societies, 93(64):19-28, 1993. 

Abstract only 


(I. 


IDS Fomi PTQ/SB/08: Substitute for fonn 1449A/PTO 

INFORMATION DISCLOSURE 
■p-gvSTATEMENT BY APPLICANT 

^\ (Use as many sheets as necessary) 

Complete if Known 

Application Number 

09/870,801 

Filing Date 

July 1.2001 

First Named Inventor 

G INTER et al. 

Art Unit 

2132 

Examiner Name 

Justin T.DARROW 

Sheet<Si\ I 2 | of | 2 

Attorney Docket Number 

07451.0001-18000 

1 0 2D05 i^l 




NON PATENT LITERATURE DOCUMENTS 



C6 

TERADA, Minoru, 'Exhausting Software," bit t Kyoritsu Shuppan Co., Ltd., 26(10):12-18, 1994. 

Unavailable 


C7 

TORII et al., "System Architecture for Super Distribution," Technical Research Report of Institute of 
Electronics, Infbnnation and Communication Engineers. 94(240):59-66, 1994. 

Abstract only 


/C8 

UEKI et al., "Accounting Processing in Right Management Mechanism for Super Distribution," Study Report 
of Information Processing Societies, 90(1):1-10. 1990. 

Abstract only 



Examih 
Signature 


Date 

Considered 


EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through 
citation if not in conformance and not considered. Include copy of this form with next communication to applicant. 


INFORMATION DISCLOSURE CITATION 


^ 

Atty. Dofck&J»T 07451.0001-18000 

Appln. No. 09/870,801 

Applicant Karl L Ginter, et a!. 

Filing Date June 1, 2001 

Group: 2132 


Examiner 
Initial* 

Document 
Number 

Issue Date 

Name 

Class 

Sub 
Class 

Filing Date 
If Appropriate 


4,658,093 

04-14-87 

Hellman 

380 

25 

07-11-83 


5,530,235 

06-25-96 

Stefik, et al. 

235 

492 

02-16-95 


5,534,975 

07-09-96 

Stefik, et al. 

355 

202 

05-26-95 

N 

5,603,031 

02-11-97 

White et al. 

395 

683 

07-08-93 


5,629,980 

05-13-97 

Stefik, et al. 

380 

4 

11-23-94 


5,634,012 

05-27-97 

Stefik, et al. 

395 

239 

11-23-94 


5.638,443 

06-10-97 

Stefik, et al. 

380 

4 

11-23-94 


5,715,403 

02-03-98 

Stefik 

395 

244 

11-23-94 

-OX- 

6,016,393 

01-18-00 

White, et al. 

395 

683 

02-10-97 


Examiner 
Initial* 


miliar 


Document 
Number 


Publication 
Date 


Country 


Class 


Sub 
Class 


Translation 
Yes or No 


WO 93/01 550 


01-21-93 


PCT 


G06F 


11/34 


EP 0715243 A1 


06-05-96 


EPO 


G06F 


1/00 


RECEIVED 


EP 0715244 A1 


06-05-96 


EPO 


G06F 


1/00 


NOV Q 1 2002 


EP 071 5245 A1 


06-05-96 


EPO 


G06F 


1/00 


Te chnology Contor 210 ) 


EP 0715246 A1 


06-05-96 


EPO 


G06F 


1/00 



EP 0715247 A1 


06-05-96 


EPO 


G06F 


1/00 


Examiner 
Initial* 

OTHER DOCUMENTS (Including Author, Title, Date, Pertinent Pages, etc.) 


Abadi, M., et al., "Authentication and Delegation with Smart-cards," Technical Report 67, DEC 
Systems Research Center, October 1990, available at 
<http://citeseer.nj.nec.com/article/abadi92authentication.html>, pp. 1-19. 



Blaze, M., "A Cryptographic File System for Unix," pre-print of paper for First ACM Conference on 
Computer and Communications Security, Fairfax, Virginia, Nov. 3-5,1993, pp. 1-8. 



Blaze, M., "Key Management in an Encrypting File System," Proc. Summer '94 USENIX Tech. 
Conference, Boston, MA. June 1994, available at 

<http://wvw.usenix.org/publicaitons/libratry/proceedings/bos94/fulljap pp. 1-12. 



Castano, S., et al., "Database Security," Addison-Wesley & Acm Press, 1 995 • 

I' 

Chaum, D., "Achieving Electronic Privacy," Scientific American, August 1992, pp. 96-101. 


Page 1 of 3 



INFORMATION DISCLOSURE CITATION 


It TOSS 


RECg/VEui 


Atty. Docket No. 07451 .0001-18000 


Appln. No. 09/870,801 


Applicant 


Karl L. Ginter, et al. 


fecftnofo gyf?pntorg70o 


Filing Date 


June 1, 2001 


Group: 


2132 



Chaum, D. ( et al. "Wallet databases with observers," Ernest F. Bricked, editor, Advances in 
Cryptology - CRYPTO '92, 12 th Annual International Cryptology Conference, Santa Barbara, CA, 
August 16-20, 1992, Proceedings, pp. 89-105. 


Chaum, D., "Security Without Identification Card Computers to Make Big Brother Obsolete," 
Communications of the ACM, Vol. 28., No. 10, Oct. 1985, pp. 1-24. 

J 

"List of Articles," <www.chaum.com/articles/list-of-articles.htm>, as on August 23, 2002, 4 pages. 

/ 

Choudhury, A.K., et al., "Copyright Protection for Electronic Publishing Over Computer Networks," 
AT&T Bell Laboratories, Murray Hill, N.J., submitted to IEEE Network Magazine, June 1994, pp. 1- 
17. 


Cox, B., "What if there is a Silver Bullet and the competition gets it first?" Journal of Object- 
Oriented Programming, June 1992, available at 
<http://www.virtualschool.edu/cox/CoxWhatlfSilverBulIet.html>, pp. 1-5. 


CUPID Protocols and Services (Version 1): "An Architectural Overview," November 1992, available 
at <http//www.cni.org/projects/CUPID>, 25 pages. 


Custer, H. "Inside Windows NT," Microsoft Press, Redmond WA, 1993. 


Denning, D. E., et al., "Data Security," 11 Computing Surveys, No. 3, Sept. 1979, pp. 227-249. 


Denning, D. E. t "Secure Personal Computing in an Insecure Network," Communications of the 
ACM, August, 1979, Vol. 22, No. 8, pp. 476-482. 



loannidis, J. ( et al., "The Architecture and Implementation of Network-Layer Security Under Unix," 
Fourth USENIX Security Symposium Proceedings (Oct.), USENIX, Berkeley, Calif. 1993, 
pp. 1-11. 



Kohl, J., et al., "The Kerberos Network Authentication Service (V 5), "Network Working Group 
Request for Comments RFC-1510, September 1993, pp. 1-104. 



Kohl, U, et al., "Safeguarding Digital Library Contents and Protecting Documents Rather Than 
Channels," in D~lib Magazine, September 1997, available at 
<http://www.dlib.org/dlib/september97/ibm/09lotspiech.html>, pp. 1-9. 



Lampson, B., et al., "Authentication in Distributed Systems: Theory and Practice," ACM Trans. 
Computer Systems, Vol. 10, No. 4 (Nov. 1992), pp. 265-310. 



Mori, R. et al., "Superdistribution The Concept and the Architecture," The Transactions of the 
IEICE, Vol. E73, No. 7, Tokyo Japan, July 1990, pp. 1133-1146. 



Olivier, MS, et al., "A Taxonomy for Secure Object-oriented Databases," ACM Transactions on 
Database Systems, Vol. 19, No. 1, March 1994, pp. 3-46. 



Olivier, MS, et al., "Building a Secure Database using Self-protecting Objects," Computers & 
Security, Vol. 11, No. 3, 259-271, 1992. 



Olivier, MS, et al., "Secure Object-oriented Databases," Ph.D. Thesis, Rand Afrikaans University, 
Johannesburg, December 1991, pages I to xiv and 1-183. 



Olivier, MS, et al., "DISCO: A Discretionary Security Model for Object-oriented Databases," in GG 
Gable and WJ Caelli, Eds., IT Security: The Need for International Cooperation, pp. 345-357, 
Elsevier Science Publishers B.V. (North Holland), 1992. 



INFORMATION DISCLOSURE CITATION 


£t¥! 


» — . 


Atty. Docket No. 07451 .0001-18000 


Appln. No. 09/870,801 


Applicant 


Karl L. Ginter, et al. 


NOV 0 1 2002 


Filing Date 


June 1 , 2001 


Group: 


2132 


Technology Center PlfiO 




Coalition for Networked Information, Interactive Multimedia Association, John F. Kennedy School 
of Government, "Proceedings: Technological Strategies for Protecting Intellectual Property in the 
Networked Multimedia Environment," 1994, Journal of the Interactive Multimedia Association, 
available at <http://www.cni.org/docs/ima.ip-workshop>, 308 pages. 



Siebert, O., et al. "Digibox: A Self-Protecting Container for Information Commerce," Proceedings 
of the First USENIX Workshop on Electronic Commerce, New York, NY, July 1995, pp. 1-13. 



Stefik, M., "Letting Loose the Light: Igniting Commerce in Electronic Publication," Xerox PARC, 
Palo Alto, CA, 1994-1995, 35 pages. 



Stefik, M. t "Letting Loose the Light: Igniting Commerce in Electronic Publication, in Internet 
Dreams: Archetypes, Myths, and Metaphors," Massachusetts Institute of Technology, 1996, pp. 
219-53. 



Stefik, M., Chapter 7, Classification in "Introduction to Knowledge Systems," Morgan Kaufmann 
Publishers, Inc., 1995, pp. 543-607. 



Tygar, J.D., et al., "Cryptography: It's Not Just for Electronic Mail Anymore," CMU-CS-93-107, 
School of Computer Science Carnegie Mellon University, Pittsburgh, PA, March 1, 1993, pp. 1-21. 



Tygar, J.D., et al., "Dyad: A System for Using Physically Secure Coprocessors," School of 
Computer Science, Carnegie Mellon University, Pittsburgh, PA, pp. 1-41 



Tygar, J.D., et al., "Strongbox: A System for Self Securing Programs," CMU Computer Science: 
25 Anniversary Commemorative, R. Rashid (ed.) Addison-Wesley, 1991 . 



White, J.E., "Telescript Technology: The Foundation for the Electronic Marketplace," General 
Magic, 1994. 


Wobber, E., et al., "Authentication in the Taos Operating System," an extended version of a paper 
pje^ented at the_14 th ACM Symposium on Operating System Principles, December 1993, pp. 1-38. 

Examiner 

1 "AbfA* jJ^^O^J Date Considered c/^f/ciQ 

*Examiner: Initial if reference considered, whether or not citation is in conformance with MPEP 609; draw line 
through citation if not in conformance and not considered. Include copy of this form with next 
communication to applicant. 

Form PTO 1449 

Patent and Trademark Office - U.S. Department of Commerce 


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