AO 120 (Rev. 08/10) REPORT ON THE ACTION REGARDING A ......Alexandria, VA 22313-1450 FILING OR DETERMINATION OF AN ACTION REGARDING A PATENT OR TRADEMARK In Compliance with 35 U.S.C

AO 120 (Rev. 08/10)

Mail Stop 8 REPORT ON THE TO:

Director of the U.S. Patent and Trademark Office P.O. Box 1450

Alexandria, VA 22313-1450

FILING OR DETERMINATION OF AN ACTION REGARDING A PATENT OR

TRADEMARK

In Compliance with 35 U.S.C. § 290 and/or 15 U.S.C. § 1116 you are hereby advised that a court action has been

filed in the U.S. District Court for the District of Minnesota on the following

0 Trademarks or [ilf Patents. ( 0 the patent action involves 35 U.S.C. § 292.):

DOCKET NO. DATE FILED U.S. DISTRICT COURT 14-cv-04669 11/5/2014 for the District of Minnesota

PLAINTIFF DEFENDANT

Regents of the University of Minnesota Sprint Corporation et al

PATENTOR DATE OF PATENT HOLDER OF PATENT OR TRADEMARK

TRADEMARK NO. OR TRADEMARK

1 7,251,768 7/31/2007 Regents of the University of Minnesota

2 RE45,230 11/4/2014 Regents of the University of Minnesota




In the above--entitled case, the following patent(s)/ trademark(s) have been included:

DATE INCLUDED INCLUDED BY

0 Amendment 0 Answer 0 Cross Bill 0 Other Pleading



1

2

3

4

5

In the above--entitled case, the following decision has been rendered or judgement issued:

DECISION/JUDGEMENT

Complaint filed 11/5/2014

CLERK

RICHARD D. SLETTEN

(BY) DEPUTY CLERK

A. Murch DATE

11/17/2014

Copy 1-Upon initiation of action, mail this copy to Director Copy 3---Upon termination of action, mail this copy to Director Copy 2-Upon filing document adding patent(s), mail this copy to Director Copy 4-Case file copy

ERIC-1002 Ericsson v. RUM

Page 1 of 265

AO 120 (Rev. 08/10)





TRADEMARK

In Compliance with 35 U.S.C. § 290 and/or 15 U.S.C. § I 116 you are hereby advised that a court action has been


D Trademarks or ~Patents. ( D the patent action involves 35 U.S.C. § 292.):


PLAINTIFF DEFENDANT

Regents of the University of Minnesota T-Mobile USA, Inc.










D Amendment D Answer D Cross Bill D Other Pleading

PATENTOR DATE OF PATENT HOLDEROFPATENTOR TRADEMARK


I

2

3

4

5


DECISION/JUDGEMENT


CLERK

RICHARD D. SLETTEN

(BY) DEPUTY CLERK

A. Murch DATE

11/17/2014

Copy I-Upon initiation of action, mail this copy to Director Copy 3-Upon termination of action, mail this copy to Director Copy 2-Upon filing document adding patent(s), mail this copy to Director Copy 4--Case file copy


Page 2 of 265

AO 120 (Rev 08/10)





TRADEMARK

In Compliance with 35 U.S.C. § 290 and/or 15 U.S.C. § 1116 you arc hereby advised that a court action has been


D Trademarks or Glf Patcnts. ( D the patent action involves 35 U.S.C. § 292.):


PLAINTIFF DEFENDANT

Regents of the University of Minnesota Cellco Partnership






4 8,718, 185 5/6/2014 Regents of the University of Minnesota


Jn the above-entitled case, the following patent(s)/ trademark(s) have been included:


D Amendment D Answer D Cross Bill D Other Pleading



1

2

3

4

5

In the above-entitled case, the following decision has been rendered or judgement issued:

DECISION/JUDGEMENT


CLERK

RICHARD D. SLETTEN

(BY) DEPUTY CLERK

A. Murch DATE

11/17/2014

Copy I-Upon initiation of action, mail this copy to Director Copy 3--Upon termination of action, mail this copy to Director Copy 2-Upon filing document adding patent(s), mail this copy to Director Copy 4--Case file copy


Page 3 of 265

AO 120 !Rev. 08/10)





TRADEMARK



0 Trademarks or Gl'f Patents. ( 0 the patent action involves 35 U.S.C. § 292.):


PLAINTIFF DEFENDANT

Regents of the University of Minnesota AT&T Mobility LLC











PATENTOR DATE OF PATENT HOLDER OF PA TENT OR TRADEMARK


1

2

3

4

5


DECISION/JUDGEMENT


CLERK

RICHARD D. SLETTEN

(BY) DEPUTY CLERK

A. Murch

DATE

11/18/2014

Copy 1-Upon initiation of action, mail this copy to Director Copy ~Upon termination of action, mail this copy to Director Copy 2-Upon filing document adding patent(s), mail this copy to Director Copy 4-Case file copy


Page 4 of 265

AO 120 (Rev. 08/10)




TRADEMARK Alexandria, VA 22313-1450

In Compliance with 35 U.S.C. § 290 and/or 15 U .S.C. § 1116 you are hereby advised that a court action has been


0 Trademarks or 0 Patents. ( 0 the patent action involves 35 U.S.C. § 292.):


PLAINTIFF DEFENDANT

Regents of the University of Minnesota AT&T Mobility LLC.



1 7,251,768

2 RE45,230

3 8,588,317

4 8,718, 185

5 8,774,309

In the above-entitled case, the following patent(s)/ trademark(s) have been included:

DA TE INCLUDED INCLUDED BY


PATENT OR DATE OF PATENT HOLDER OF PATENT OR TRADEMARK


1

2

3

4

5


DECISION/JUDGEMENT

I (BY) DEPUTY CLERK

Copy 1-Upon initiation of action, mail this copy to Director Copy 3-Upon termination of action, mail this copy to Director Copy 2-Upon filing document adding patent(s), mail this copy to Director Copy 4-Case file copy


Page 5 of 265

AO 120 !Rev. 08/10)







D Trademarks or 0 Patents. ( 0 the patent action involves 35 U.S.C. § 292.):

DOCKET NO. DATEFILED U.S. DISTRICT COURT 14-cv-04672 11/5/2014 for the District of Minnesota

PLAINTIFF DEFENDANT

Regents of the University of Minnesota Cellco Partnership D/B/A Verizon Wireless



1 7,251,768

2 RE45,230

3 8,588,317

4 8,718, 185

5 8,774,309



D Amendment 0 Answer D Cross Bill D Other Pleading



1

2

3

4

5


DECISION/JUDGEMENT

I (BY) DEPUTY CLERK



Page 6 of 265

AO 120 (Rev. 08/10)







0 Trademarks or 0 Patents. ( 0 the patent action involves 35 U.S.C. § 292.):


PLAINTIFF DEFENDANT

Regents of the University of Minnesota Sprint Corporation, Sprint Solutions, Inc.

PATENTOR DATE OF PATENT HOLDER OF PA TENT OR TRADEMARK


I 7,251,768

2 RE45,230

3 8,588,317

4 8,718,185

5 8,774,309


DA TE INCLUDED INCLUDED BY




I

2

3

4

5


DECISION/JUDGEMENT

I (BY) DEPUTY CLERK



Page 7 of 265

UNITED STA TES p A TENT AND TRADEMARK OFFICE

APPLICATION NO. ISSUE DATE

131777,993 05/06/2014

26191 7590 04/16/2014

FISH & RICHARDSON P.C. (TC) PO BOX 1022 MINNEAPOLIS, MN 55440-1022

PATENT NO.

8718185

UNITED STATES DEPARTMENT OF COMMERCE United States Patent and Trademark Office Address: COMMISSIONER FOR PATENTS

P.O. Box 1450 Alexandria, Virginia 22313-1450 www .uspto.gov

ATTORNEY DOCKET NO. CONFIRMATION NO.

35841-0004003 1348

ISSUE NOTIFICATION

The projected patent number and issue date are specified above.

Determination of Patent Term Adjustment under 35 U.S.C. 154 (b) (application filed on or after May 29, 2000)

The Patent Term Adjustment is 0 day(s). Any patent to issue from the above-identified application will include an indication of the adjustment on the front page.

If a Continued Prosecution Application (CPA) was filed in the above-identified application, the filing date that determines Patent Term Adjustment is the filing date of the most recent CPA.

Applicant will be able to obtain more detailed information by accessing the Patent Application Information Retrieval (PAIR) WEB site (http://pair.uspto.gov).

Any questions regarding the Patent Term Extension or Adjustment determination should be directed to the Office of Patent Legal Administration at (571)-272-7702. Questions relating to issue and publication fee payments should be directed to the Application Assistance Unit (AAU) of the Office of Data Management (ODM) at (571)-272-4200.

APPLICANT(s) (Please see PAIR WEB site http://pair.uspto.gov for additional applicants):

Georgios B. Giannakis, Minnetonka, MN; Xiaoli Ma, Auburn, AL; REGENTS OF THE UNIVERSITY OF MINNESOTA, Saint Paul, MN

The United States represents the largest, most dynamic marketplace in the world and is an unparalleled location for business investment, innovation, and commercialization of new technologies. The USA offers tremendous resources and advantages for those who invest and manufacture goods here. Through SelectUSA, our nation works to encourage and facilitate business investment. To learn more about why the USA is the best country in the world to develop technology, manufacture products, and grow your business, visit SelectUSA.gov.

IR103 (Rev. 10/09)


Page 8 of 265

Sheet _1_ of __12_

Substitute Disclosure Form U.S. Department of Commerce Attorney Docket No. I Application No. Patent and Trademark Office 35841-0004003 13/777,993

Information Disclosure Statement Applicant

by Applicant Georgios B. Giannakis et al. (Use several sheets if necessary) Filing Date I Group Art Unit

(37 CFR ~1.98(b)) 2/26/2013 Unknown

U.S. Patent Documents Examiner Desig. Document Publication Filing Date

Initial ID Number Date Patentee Class Subclass If Appropriate

1 5127051 06/1992 Chan et al.

2 6088408 07/2000 Calderbank et al.

3 6188717 02/2001 Kaiser et al.

4 6441786 08/2002 Jasper et al.

5 6449245 09/2002 Ikeda et al.

6 6487253 11/2002 Jones IV et al.

7 6707856 03/2004 Gardner et al.

8 6850481 02/2005 Wu et al.

9 6865175 03/2005 Ritter

10 6959010 10/2005 Bahrenburg et al.

11 7009931 03/2006 Ma et al.

12 7065371 06/2006 Kleinerman

13 7161973 01/2007 Ghosh

14 7430243 09/2008 Giannakis et al.

15 7672384 03/2010 Giannakis et al.

"'"\ ~~~L ... ~ 16 ~Q96~,~~ 11/2011 Giannakis et al. 806 ~528 I I 20020106004 08/2002 Tan

Change

to docu r1ent 17

/ 18 20020122381 09/2002 Wu et al. /K.5.5 )/4-/20 14- 19 20020122502 09/2002 El-Gamal et al.

20 20020126740 09/2002 Giannakis et al.

21 20020136327 09/2002 El-Gamal et al.

22 20020146078 10/2002 Gorokhov et al.

23 20030072452 04/2003 Mody et al.

24 20030081569 05/2003 Sexton et al.

25 20030156594 08/2003 Trott et al.

26 20030169824 09/2003 Chayat

27 20040001429 01/2004 Ma et al.

Examiner Signature I Date Considered

EXAMINER: Initials citation considered. Draw line through citation if not in conformance and not considered. Include copy of this form with next communication to applicant.

Substitute Disclosure Form

ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. IS.A./


Page 9 of 265

UNITED STATES PATENT AND TRADEMARK OFFICE

APPLICATION NO. FILING DATE FIRST NAMED INVENTOR

131777,993 02/26/2013 Georgios B. Giannakis

26191 7590 03/11/2014 FISH & RICHARDSON P.C. (TC) PO BOX 1022 MINNEAPOLIS, MN 55440-1022

UNITED STATES DEPARTMENT OF COMMERCE United States Patent and Trademark Office Address: COMMISSIONER FOR PA TENTS

P.O. Box 1450 Alcxlllldria, Virginia 22313-1450 www.uspto.gov


35841-0004003 1348

EXAMINER

ALI, SHA WKA T M

ART UNIT · I PAPER NUMBER

2633

NOTIFICATION DATE DELIVERY MODE

03111/2014 ELECTRONIC

Please find below and/or attached an Office communication concerning this application or proceeding.

The time period for reply, if any, is set in the attached communication.

Notice of the Office communication was sent electronically on above-indicated "Notification Date" to the following e-mail address( es):

PA [email protected]

PTOL-90A (Rev. 04/07)


Page 10 of 265

... ,.,. ...... \ ..... r Application No. Applicant(s)

131777,993 Response to Rule 312 Communication

Examiner Art Unit

- The MAILING DA TE of this communication appears on the cover sheet with the correspondence address -

1. [8J The amendment filed on 26 Febroary 2014 under 37 CFR 1.312 has been considered, and has been:

a) [8J entered.

b) 0 entered as directed to matters of form not affecting the scope of the invention.

c) 0 disapproved because the amendment was filed after the payment of the issue fee.

Any amendment filed after the date the issue fee is paid must be accompanied by a petition under 37 CFR 1.313(c)(1)

and the required fee to withdraw the application from issue.

d) 0 disapproved. See explanation below.

e) D entered in part. See explanation below.

MN

U.S. Patent and Trademark Office PTOL-271 (Rev. 04-01) Reponse to Rule 312 Communication Part of Paper No.


Page 11 of 265

Attorney Docket No.: 3 5 841-0004003 I Z03 l 45

IN THE UNITED STATES PATENT AND TRADEMARK OFFICE

Applicant Serial No. Filed Title

Georgios B. Giannakis et al. Art Unit 2633 13/777,993 Examiner Shawkat M. Ali February 26, 2013 Conf. No. 1348 ESTIMATING FREQUENCY-OFFSETS AND MULTI-ANTENNA CHANNELS IN MIMO OFDM SYSTEMS

MAIL STOP ISSUE FEE Commissioner for Patents P.O. Box 1450 Alexandria, VA 22313-14 5 0

RESPONSE TO NOTICE TO FILE CORRECTED APPLICATION PAPERS

Responsive to the Notice to File Corrected Application Papers mailed February 25, 2014

(a copy of which is enclosed), Applicants as a small entity, submit herewith the following:

IBJ A substitute specification in compliance with 3 7 CFR § 1.52 (pages 7-19 and 21-

22). No new matter has been added.

The applicant understands that this perfects the application and no additional papers or

filing fees are required.

Please apply any necessary charges or credits to Deposit Account 06-1050, referencing

the above attorney docket number.

Date: February 26, 2014

Customer Number 26191 Fish & Richardson P.C. Telephone: (202) 783-5070 Facsimile: (877) 769-7945 60912583.doc

Respectfully submitted,

/W. Karl Renner/ W. Karl Renner Reg. No. 41265

CERTIFICATE OF TRANSMISSION I hereby certify under 37 CFR §l.8(a) that this correspondence is being transmitted via the Office electronic filing system in accordance with 37 CFR § l.6(a)(4), on the date indicated below. February 26, 2014

Date of Deposit or Transmission /Judith Wasilkus/

Signature Judith Wasilkus

Typed or Printed Name of Person Signing Certificate


Page 12 of 265



13/777,993 02/26/2013 Georgios B. Giannakis

26191 7590 02/25/2014



P.O. Box 1450 Alexandria, Virginia 22313-1450 www.uspto.gov


35841-0004003 1348

EXAMINER

ALI, SHA WKA TM

ART UNIT PAPER NUMBER

2633

NOTIFICATION DA TE DELIVERY MODE

02/25/2014 ELECTRONIC



Notice of the Office communication was sent electronically on above-indicated "Notification Date" to the following e-mail address(es):

P [email protected]

PTOL-90A (Rev. 04/07)


Page 13 of 265


Commissioner for Patents United States Patent and Trademark Office

P.O. Box 1450 Alexandria, VA 22313-1450

\l\N\/W.uspto.gov

Application No. : 13777993 Applicant : Giannakis

Filing Date : 02/26/2013 Date Mailed : 02/25/2014

NOTICE TO FILE CORRECTED APPLICATION PAPERS

Notice of Allowance Mailed

This application has been accorded an Allowance Date and is being prepared for issuance. The application, however, is incomplete for the reasons below.

Applicant is given two (2) months from the mail date of this Notice within which to respond. This time period for reply is extendable under 37 CFR 1.136(a) for only TWO additional MONTHS.

The informalities requiring correction are indicated in the attachment(s). If the informality pertains to the abstract, specification (including claims) or drawings, the informality must be corrected with an amendment in compliance with 37 CFR 1.121 (or, if the application is a reissue application, 37 CFR 1.173). Such an amendment may be filed after payment of the issue fee if limited to correction of informalities noted herein. See Waiver of 3 7 CFR 1. 312 for Documents Required by the Office of Patent Publication, 1280 Off. Gaz. Patent Office 918 (March 23, 2004). In addition, if the informality is not corrected until after payment of the issue fee, for purposes of 35 U.S.C. 154(b)(l)(iv), "all outstanding requirements" will be considered to have been satisfied when the informality has been corrected. A failure to respond within the above-identified time period will result in the application being ABANDONED.

See attachment(s).

A copy of this notice MUST be returned with the reply. Please address response to "Mail Stop Issue Fee, Commissioner for Patents,

/Kam Sin/ Publication Branch

P.O. Box 1450, Alexandria, VA 22313-1450".

Office of Data Management (571) 272-4200


Page 14 of 265

Application No. 13777993

IDENTIFICATION OF APPLICATION DEFICIENCIES

00 Applicant must provide legible text for the following item(s).

00 Specification filed 02/26/2013, page(s) 7-19 and 21-22 have illegible equations.

D Claims filed, claim(s) .

D Oath/declaration filed.

D Other:.

D Applicant must provide missing information on the following page(s) of the specification by amending the specification to add the missing text. No new matter may be added.

D The specification refers to one or more applications by attorney docket number and does not show the U.S. application number(s). Applicant must supply the U.S. application number in place of each attorney docket number.

D Applicant must provide an Abstract of the Disclosure.

D Applicant has submitted a DECLARATION (37 CFR 1.63) FOR A UTILITY OR DESIGN APPLICATION USING AN APPLICATION DATA SHEET (37CFR1.76) (e.g., form PTO/SB/OlA). The Application Data Sheet, however, is not present with the filed application. Applicant must submit an Application Data Sheet or file a new oath or declaration (e.g., PTO/SB/01) executed by the inventors and containing the information required in 37 CFR 1.63.

D Applicant must provide an executed declaration.

D Applicant must provide the missing page(s) of the oath/declaration or Application Data Sheet filed

D Applicant must provide a declaration signed by inventor(s) .

D The oath/declaration filed shows non-initialed and/or non-dated alterations. Applicant must file a new oath/declaration in compliance with 37 CFR l.67(a).

D Applicant(s) in the latest-filed oath/declaration or Application Data Sheet (ADS) did not show the inventor's residence at all, or did not show both a city and state in the U.S. inventor's residence, or did not show both a city and country in the non-U.S. inventor's residence. Applicant must supply an oath/declaration or Application Data Sheet (ADS) that shows each U.S. inventor's city and state of residence and each non-U.S. inventor's city and country ofresidence.


Page 15 of 265

Attorney Docket No. 35841-0004003

to multipath fading, OFDM transmissions are more sensitive to frequency offsets than single

carrier systems. Frequency offsets can occur ;,vhen a voltage controlled oscillator (VCO) of

receiver 6 is not oscillating at exactly the same carrier frequency as a VCO of transmitter 4

and can also occur as a result of the Doppler effect \Vhen the frequency offset is pem1anent,

it is typically referred to as a carrier frequency ofF;et and when the frequency off."!et varies

over time, it is typically referred to as phase noise. Frequency offsets cause a degradation in

BER perfonnance because the orthogonality among subcarriers is destroyed and the

subcarriers can interfere with each other.

l 0028] Generally, receiver 6 corresponds to a particular user perfixming CFO and channel

estimation of OFDM transmissions output by transmitter 4 through MIMO frequency

selective fading channel 8 in the presence of a CFO. Each information-beaiing symbol s(n)

10 is selected from a finite alphabet and input into serial to parallel converter (S/P) 11 which

parses Ns infom1ation-bearing symbols from a serial stream of information-bearing symbols

into blocks of information-bearing symbols. The nth entry of the kth block of the block of

infom1ation-bearing symbols is denoted [s(k)]n = s(kNs + n). Space-Time coder 13 encodes

and/or multiplexes each block s(k) in space and time to yield blocks {cµ(k)} :~': 14 oflength

Ne. Space-Time coder 13 may apply any space-tirne code to yield blocks {cµ(k)} ~~ 1 14 for

each respective transmit antenna of multi-antenna transmitter 4.

[0029] Each of training symbol insertion units 15 inserts two or more training symbols,

which may have non-zero or zero values, \vithin space-tirne encoded blocks {c1i(k)} ~~~ 1 14

and applies a hopping code to blocks { c1i(k)} ~~~ 1 14 to forrn a vectors ufl (k) 16 with length N

fix the ,uth antenna of rnulti-antenna transmitter 4. Applying the bopping code inserts a null

subcarrier which changes position, i.e. "hops", from block to block. Each subcarrier

corresponding to a zero symbol is referred to as a null subcarrier. Unlike conventional

systems in which training symbols are inse1ied within a single transmission block, each of

training symbol insertion units 15 may insert training symbols over two or more blocks.

Consequently, transmitter 4 may inse1i a sequence of training symbols over two or more

blocks {c,u(k)} ~' 1 14. Sparsely inserting training symbols increases the bandwidth efficiency

of communication system 2 because fe\ver training symbols may be inserted per block

7


Page 16 of 265


{c,ik)} ;~~t 14. In some embodiments, each of training symbol insertion units 15 may insert a

paiticular number of training symbols per block {cp(k)} ~~ 1 14 based on channel 8's

coherence time and the pertinent burst duration, e.g. if the burst is long fewer training

symbols may be inserted per block {cp(k)} ;~~ 1 14. Fmihermore, training symbols may be

inserted in accordance with existing OFDJ\/1 standards such as IEEE 802.11 a and IEEE

802.11 g. Training symbol insertion units 15 are described in greater detail below using

notation introduced in the following paragraphs.

!0030] Subsequent to the insertion of training symbols, MIJ'vlO OFD1'v1I is implemented. In

paiticular, each of inverse fast Fourier transform (IFFT) units 17 implement N-point IFFT via

left rnultiplication with F .~ on each corresponding block u )k) 16 and each of cyclic prefix

insertion units 19 insert a cyclic prefix via left multiplication vvith the appropriate matrix

operator Tep:= [IIxN 1~1 f', where IIxN represents the last L columns of IN. Each of parallel

to serial converters (P/S) 21 then parses the resulting blocks {up(k) = Tep F,~ ·i'iµ (k)} ~1 1 of

size P x 1 into a serial syrnbol stream. Each of modulators 23 rnodulate the conesponding P

x 1 blocks which are transmitted by the Nr transmit antennas over frequency-selective

communication channel 8.

[0031 J Generally, communication channel 8 can be viewed as an LrJJ order frequency

selective channel from the µth transmit antenna of transmitter 4 to the lth receive antenna of

receiver 6. Consequently, communication channel 8 can be represented in the discrete-time

equivalent form h( v, P)(l), l E [O, L J and incorporates transmit and receive filters, gµ({) and

glt) respectively, as Vv'ell as frequency selective multipath gv. 1t(t), i.e. h(v,p)(l) '" (gµ * gv. 11

* gv)(t) IHT, where* denotes convolution and Tis the sampling period v • .rhich may be

chosen to be equivalent to the symbol period.

[0032] Transmissions over communication channel 8 experience a frequency offset,f~ in

Hertz, which may be caused by a mismatch betv,'een a voltage controlled oscillator (VCO) of

transmitter 4 and a VCO ofreceiver 6 or may also be caused by the Doppler effect. In the

presence of a frequency offoet, the samples at 1th receive antenna can be represented

according to equation (1) belmv, where m0 :000 2I!foT is the normalized CFO, Nr is the number

8


Page 17 of 265


of receive antennas, and 17,{n) is zero-mean, white, complex Gaussian distributed noise with

variance d.

X (n)= ~!~ejw/i~'~h(v,u)f()u (n-1)+17 (n), VE [1,Nr] 11) \} ~ .ivvvv.i .ivvvv.i \ / µ -' v -' \

j..t'-=-l j:_:_I)

[0033] Each of serial to parallel conve1iers (S/P) 25 convert a respective received sequence

x(n) into a corresponding P x 1 block 26 with entries [~Y,{k)]p :000 xj_kP + p). By selecting

block size P greater than channel order Leach received block x,{k) 26 depends only on two

consecutive transmitted blocks, uµ(k) and uu(k-1) which is referred to as inter-block

interference 0 BI). In order to substantially eliminate l BI at receiver 6, each of cyclic prefix

removers 27 removes the cyclic prefix of the corresponding blocks x,.(k) 26 by left

multiplication v.rith the matrix Rep:= [ONxL Lvl The resulting IBI-free block can he

represented as y,..(k) :000 Rep xjk) 28. Equation (2) below can he used to represent the vector

matrix input-output relationship, where llv (k) :000 [ 17/kP), 17i(kP + 1 ), ... , r;,{kP + P -1 )f,

with P = N + L; Hv. JJ! is aP x Plower triangular Toeplitz matrix with first column [h(i: .u)(O),

... , i/'~ µ)(L), 0, ... , Of; and D;:{lu0 ) is a diagonal matrix defined as D;{oJ0 ) := diag[l, e 1"'0,

N

( 1 )· ~L, iwlcPI~ D ( )H(v 11)'l' uH---· (.k) · 1~ fk) [1 ·\T] y,.\I[ = L.,,,e··' ">.cp p W 0 . " cpI'N Up . + ">.cpllv\ . , VE . , f'r (2)

p-=-=l

Based on the strncture of the matrices involved, it can be readily verified that RcpDA11J '"

,,,, 1 D (. .)R 1 D ( \ d' [1 ,,,, iro 'P-l' ] I' ll . 1. 'd . e''"o. N .vVv. cp, W 1ere N Wvf'"' iag , e , ... 0 , ... , e" 01 ' • '0 OWJng t HS l ent1ty, We

define the N x N matrix fi(v.p) :000 RcnH(v, P)J~n as a circulant matrix with first column [h(v, r r

,u)(O), ... , h( 1j

11)(L), 0, ... , Of. Letting also v,{k) :000 Rc;i'f/,(k), equation (2) can be rewritten

according to equation (3).

9


Page 18 of 265


l 0034] In the absence of a CFO, taking the FFT ofyv(k) 28 renders the frequency-selective

channel 8 equivalent to a set of flat-fading channels, since F1(1 i[(v,;i) F

1(1 is a diagonal matrix

DN (t,:(v,;:) ), where h(v,µ) : 000 [h(v,µ)(O),, ,,, J;(v,;i)(2il(N-l)IN)f, vvith j;(v,p)(2Dn/lv}:000

I'h(v,p)(l)exp(---j2n:nl / N) representing the ( v, ;i)th channel's frequency response vales on l---0

the FFT grid. However, in the presence of a CFO, the orthogonality of subcarriers is

destroyed and the channel cannot be diagonalized by taking the FFT of yv(k) 28. In order to

simpli:f)r the input-output relationship, F,~ FN =IN can be inserted behveen DN (w0

) and

ij(v,.u) to re-express equation (3) as equation (4).

Ni

y,,(k)=eJwv(kP+L)DN(wJL _F~1 DN(h(v,,u)ft'i)k)+vv(k), VE [1,Nr] (4) p~l

From equation (4) it can be deduced that estimating the CFO and the multiple channels based

on {y,(k)} ;':';, 28 is a nonlinear problem. Given lvv(k)} ;~·t 28, the CFO Wo and the NtNr

channels h(v,pJ := [ h(v,µJ (0), ... , h(v,.u) (L)f in MIJ\/10 OFDM communication system 2 are

estimated based on the training symbols inse1ied by training symbol inse1iion unit 15.

I 0035] Although u.Jk) 16 contains both information-bearing symbols and training symbols,

separation of the infi1nnation-bearing symbols and training symbols is challenging due to the

presence of CFO w0 • Each of training symbol insertion units 15 inserts two or more training

symbols within the corresponding information-bearing symbols cp(k) :~~ 1 14 so that CFO

estimation can be separated from rvIIMO channel estimation. The insertion of the training

symbols is perfi1nned in two steps.

!0036] In the first step, each of training symbol insertion unitsl5 inserts a block of training

symbols bp(k) into the corresponding block of information bearing symbols c,u(k) ~~', 14 in

accordance with equation (5), where the two pennutation matrices PA, PB have sizes K x Ne

and K x Nb respectively, and are selected to be mutually orthogonal, i.e. P~ , PB = 0 N.xN,, .

10


Page 19 of 265


It is important to note that Ne + /V.,, '" K and K < N, In some ernbodiments, PA rnay be formed

with the last Ne columns of JN, +Nb, and PB with the first Nb columns of IN, ,N,, in accordance

with equations (6) and (7), respectively.

[0037] The block of training symbols b1,(k) may comprise two or more training symbols and

has length Nb. Moreover, b"(k) may be one block of training symbols in a training sequence

including t\vo or more blocks of training symbols. By sparsely inserting the training

symbols, bamhvidth efficiency of cornrnunication systern 2 can be increased. The resulting

structure of iiµ(k) in equation (5) is illustrated in FIG. 3. The strncture of bp(k) is described

in greater detail below.

l 0038] In the second step, N-K zeros are inserted per block u11 (k) to obtain u,u (k). This

insertion can be irnplemented by left-multiplying ii.Jk) with the hopping code T,c given rn

equation (8), where qk :000 ki_N I (L + 1)-L

c[' (k) '- I / d 'IT) J "8') sc ,·" .---- Leqk ltno H , ... ,eqk+K-?(mnctN) \t,

Applying the hopping code given in equation (8) inserts a zero symbol referred to as a null

subcarrier in each block u,u(k ). Dependence of 'I~c on the block index k implies that the

position of the inserted null subcarrier changes from block to block. In other words, equation

(8) implements a null subcarrier "hopping" operation from block to block. By substituting

equations (8) and (5) into equation ( 4) it can be deduced that the resulting signal at the 1th

receive antenna takes the form of equation (9) given below.

y )k) = Ie 1'',(kP+L)DN (iv,.)F/!DN(i~,~/') Tse (k )uP(k )+ V v (k) (9) p:.:

11


Page 20 of 265


[0039] Therefore, each of training syrnbol insertion units 15 inserts zero and non-zero

training symbols which are used by each of CFO estimators 29 and channel estimation unit

33 to estimate the CFO m0 and communication channel 8. The null subcanier is inserted so

that the position of the null subcarrier hops from block to block and enables CFO estimation

to he separated from MIMO channel estimation. Consequently, the identifiability of the CFO

estimator can be established and the minimum mean square error (MMSE) of the MIMO

channel estimator can be achieved.

[0040] If CFO m0 vlas absent, i.e. w0 = 0, then the block of training symbols b,u(k) could be

separated from the received OFDM transmission signal and by collecting the training blocks

of a training sequence, communication channel 8 could be estimated using conventional

techniques. Hmvever, the CFO destroys the 01ihogonality among subcarriers of the OFDM

transmission signal and the training syrnbols are rnixed with the unknown information

bearing symbols and channels. This motivates acquiring the CFO first, and subsequently

estimating the channel.

I 0041] Each of CFO estimators 29 applies a de-hopping code in accordance with equation

(10) on a per block basis.

.'2ll ' -i'J..ff ok(N-J) n.fl{1r_\===·iz.,l(_Yl."'-;Nq« "··N' . J&..J')\l /\) (, ,(.,,b - ');;;:., ,o_,~i;::, (9)

Because hopping code Tse is a permutation rnatrix and n)Ji(v,;:)) is a diagonal matrix, it can \ ;

be verified that D . fh:(v,;:)) T (k) "" T (k) 0 .... ('.i~(v.µ)(k).) vvhere i~(v,p) is fonned hv permutinp ]v \ I - SC SC f<.. ,, l ' - - · .) - o

the entries of j:i'(v,;:) as dictated by T~c(k). Using the de-hopping code given in equation (10),

the identity given in equation ( 11) can be established, where T_-p := [ h Og x (N _ 1<:J is a zero

padding operator,

12


Page 21 of 265


10042] By multiplying equation (9) by the de-hopping code and using equation ( 1 l ), equation

N, , ~

(12) is Obtained, wheregv(k) := 2))K(i~(,,,,u)(k))u)k) and Vv(k):= o:~(k)Vi{k). p-=-=l

y (k)=D~~(k)y (k)===ejw,(kP+L)D,(vv.lF.~1 T __ g(k)+v (k) (.12) ,,. v I 1V ' ' ... v 1\

1 < v I 111 :.p ' v

Equation (12) shows that after de-hopping, null subcarriers in different blocks are at the same

location because T2p does not depend on the block index k.

10043] As a result, the covariance matrix of y,. (k) 30 is given according to equation ( l 3)

'-'Vhere the noise v 1• (k) has covariance matrix d'Irv.

1111 D { )·vlfc[' £'[ (•LH(•)J c['Hu Dlf( ) 2• ('") J:\.. :~iv :::: JV \ lV 0 1' ]'{ - zp ' Lg le lb le • - zp I' N ]'{ YVV + a .l JV J. j

Assmning that the channels are time invariant over Af blocks, and the ensemble correlation

matrix RY" is replaced by its sample estimate given in equation ( l 4) which is fom1ed by

averaging across Af blocks, where Af > K.

R l M l

=-'\'v (kNH(k). (14) .. Af ,,(,,_,;,,; V ,• 1' ,

JV k:O

[0044J The column space of R:;-·v has two parts: the signal subspace and the null subspace.

In the absence of CFO, if E[g(k )gH (k )] has foll rank, the null space of R 3,v is spanned by the

rnissing columns, i.e. the location of the null subcarriers, of the FFT matrix. Hovvever, the

presence of CFO introduces a shift in the null space. Consequently, a cost function can be

built to measure this CFO-induced phase shift. Representing the candidate CFO as (0, this

Nr

cost function can be written according to equation (15), where LR;;v = v~l

N

DN (w,, )F~f T2P (!: E[g(k ~fl (k)hT2,uFNDN (w0 ),

v-:1

13


Page 22 of 265


!V--1 /2k /.1..J\ T (' - ) ·- \-i f H I i'Zl D -1 ( -)-1') D (' - \., [

1

,!,.,/'l/\, i ( 15 -,. V W, .--- L.,, N ~ N _OJ ~yv N W}l N W j )

k~K \_lV \_J..,j

Consequently, if w = Wo, then D N ( m 0

- {D) = IN. Next, recall that the matrix Fj7 T2P is

orthogonal to {/iv (2/Jn I lv}} ~'j,.. Therefore, if m '" m0 , the cost function J(m0 )is zero in the

absence of noise. However, for this to be true, w0 must be the unique minimum of J( co). m0

JV,,

is the unique zero of J(oJ) if L E[g(k )gH (k )] has full nmk as established in Proposition J y-:_-_]

below.

_ Iv', _

Proposition 1 If E[b /1

(k )b;: (k)] is diagonal, I E[b µ (k)b''.~, (k )] has full rank, v-=-1

Elc.u(k)c'.:'.'!(k)] =O, and Elbµ;{k)bZ2 (k)] =O, V µ1, i--p2, then I E[gJk)g;:(k)] has F~[

full rank.

[0045] Training block b,u(k) satisfies the conditions of proposition 1. Using the result of

"/\.l ..

Proposition 1, L'.: E[gv (k )g~1 (k )] has foll rank, it follows that J((u) 2 J(m0

), where the

equality holds if and only if w '" w0 • Therefore, CFO estirnates 0_10

can be found by

minimizing J(co) according to equation (16).

/ ) 0()111 -.

1V = anr-- J 1 w (16; o Oro v\ ._

[0046] Because of subcarrier hopping, J((u) has a unique minimum in [-11, ll) regardless of

the position of channel nulls. This establishes identifiability of l00

and shows that the

acquisition range of the CFO estimator given in equation 06) is [-11, 11), which is the full

range.

14


Page 23 of 265


[0047] Based on the CFO estimates produced by equation (16), the terms that depend on m0

can he removed from { y j_k)} ;~~1 30 and channel estimation can he performed. In order to

derive the MIMO channel estirnator, the CFO estirnate is temporarily assumed to be perfrct,

i.e. (i':i = 0J0 • After each of CFO estimators 29 remove the CFO related terms from v (k)30. 0 ..., l'" /

each of FFT units 31 take the FFT of the corresponding block y)k )30 and removes the null

subcarriers by multiplying the corresponding blocks y)k )30 with T~~ to obtain z,,(k) 32

accordingtoequation(l7), where ~,,(k): 000 e 1"'"(kP+L) r;P FAJ)~(lo0 Jv)k).

From the design of 1~4 and PB in equations (6) and (7) respectively, it can be inferred that

P: DK (ii!v,µ) (k))Ps = 0. This allows the training symbols to be separated from the received

information-bearing symbols in accordance with equations (18) and (19), where equation

(18) represents the received infom1ation-bearing symbols and equation ( 19) represents the

received training symbols.

N

Z {J,)· 000: pT Z (k) "" ~ pT D ... (il'(v,µ)(k)') PC {kJ +~ (1·) (.18) l\C \ \, - • A v < ' ~ A 1'.. ' ' I ;J ,ll \ I ~ v .c \ K. ' "

p:_-_l

z .· Ir)·= PE z (k) F.f) \ \, • !'f F PED {h_(v,;:){k)). P~b (k) +F .. j,(k) (19)

!i K \ \ D ,u ":) .... Ji=l

~ v)k) := P ~ ~v (k) and + ~v.b (k) := P ~ ~,. (k). By the definitions of PB in equation ( 6) and

the de-hopping code in equation (11), the identity in equation (20) can he formed,

\vhere h~,v,p) comprises the first Nb entries of lJ'!v,p), the Nh x (L + 1) rnatrix F (k) cornprises

the first L + 1 colurnns and qk related Nb rows of FN, and h(, .. µ) : 000 [ h(v,;:) (0), ... , h(v,,u) (L)f.

15


Page 24 of 265


Because P ~ P8 '" l N", equation (20) can be re-expressed according to equation (21) where

.vi Z f, (k) = "'B {k )F'{k)h(v,,u} + ~, 1 (.k) 12 J)

v '" .L-ii .µ ,, .. l ;// \

fl''\

Note that the length for each block of training symbols, Nb, can he smaller than N,{L + 1) by

sparsely distributing training syrnbols across blocks. In some embodiments, Nt + l training

symbols are inserted every N + L transmitted symbols resulting in a bandwidth efficiency of

(N - Nt -1) I (N + L). Collecting 1'1 blocks zv,b (k), the input-output relationship based on

training symbols and channels can be expressed according to equation (22), \vhere hv

comprises { h(v,µ)} :~~P ~v,b :'" [ ~,~0 (0), ... , ~:,b (At -l)f, and Bis given in equation (23).

Note that Bis the sarne for all 1~ receive antennas

-z -Bh ; i:: v,b - v T ~v,b (22)

( B1 (0 )PJF(O) ' '\ ' '\ '\

BN, (OJP;F(OJ ' B=l

l B {M ---1)PrF(tt ---1) \ 1 \ }3 ,_-l B - {M ---1)PrF{M ---1) l

N1 ' / B , j

l0048] By collecting z,,_0 's from all Nttransrnit antennas into z1; :000 [z,~0 , ... , z~1,,z,f, the

linear MMSE (LMMSE) channel estirnator can be expressed according to equation (24),

\Vhere Rh := E[ hll1] \Vi th h := [h;, ... , h ~- ] T as the channel covariance matrix, and d?

represents the noise variance.

16


Page 25 of 265


10049] Rh is typically unknown, thus, _M Nb?:: N1 (l + l ), and BH B is selected to have full

rank. In some embodiments, channel estimation unit 33 is a least squares (LS) estimator

given according to equation (25).

If the number of training symbols per block is Nb"' Nt, a minimum number of M '" L + 1

blocks are required to be collected by receiver 6 in order to guarantee that LS estimation can

be perfr)trned since h(v.;:) with L + 1 entries are estimated at the vth receive antenna. In some

embodiments, channel estirnation unit 33 can be adjusted to collect a variable nmnber of

blocks based on the complexity that can be afforded.

[0050] The number of bµ(k)'s satisfying the conditions of Proposition 1 is not uniqueo For

example, Nb = N 1 may he selected and the training sequences for different transmit antennas

may be designed according to equation (26),

1 ( 1 ) [()T b (}~.--,·:,_ ]T (211-_) Op,K = _ ~--l,_ ·'· • -l

Further, assmne N and At are integer multiples of L + l, Because the hopping step size in

equation (8) is NI (L + 1), BHB can be designed according to equation (27).

:11--1

L FH (m)B ~1 (m )B 1 (m )F(m) m~--o

B}!Hooo M--1

I;F 11 (m)B~, (m)B:v, (m)F(m) m---0

[0051] Therefore, the number of blocks N improves channel estimation performance,

1-fowever, this is true when CFO estimation is perfect. When CFO estimation is imperfect,

1,., I


Page 26 of 265


the contra1y is trne: fewer blocks should be used because the residual CFO estimation error

degrades BER perfonnance when the block index is large.

[0052J Thus far, the CFO and N1Nr channels have been estimated, but a residual CFO

referred to as phase noise remains. Phase noise degrades the BER severely as the number of

blocks used for channel estimation increases.

[0053] Using the CFO offset w0

produced by each of CFO estimators 29, the received

transmission block can be expressed according to equation (28) v/here (00

- w0 is the phase

· d ~ (' \ -foJ ikP~r) 1,r IL' 8-,.-l( _, )v 11, \ n•)JSe an kl 0

'" Cl • 01

• - u, " 8' - LJ - {.-,, ' kl l, '-- .. ;,i / • e zp - 1\1 N vo , v ' / •

\Vhen (00

is sufficiently accurate, the matrix DN (w0

... (00

) can be approxirnated by an

identity matrix of the same size. However, the phase tenn ( crJ0

--- m0 )(kP + L) becomes

increasingly large as the block index k increases. Without mitigating the phase noise, it

degrades not only the performance of channel estimation unit 33, but also the BER

performance over time.

[0054] In order to enhance the BER performance, phase estimation unit 35 uses the non-zero

training symbols in bp(k), which were previously designed to estirnate channel 8, to estirnate

the phase noise per block. For example, assume that for the kth block, the estimated channel

is obtained by using the LMMSE channel estimator given in equation (24). Further, also

assume that the training sequence is designed as given in equation (26) and that channel

estimation is perfect, i.e. DN ((u0

- w0

) ~IN. As a result, after equalizing channel 8, for the

vth receive antenna and the 11th entry of zv,b (k) 30, the equivalent input-output relationship

is given according to equation (29), where r/Ji(k) := [ zv b (k) J.,, I [ liiv,.u) ]p, and Wv is the

equivalent noise term after removing the channel.

b + Wv (29)

18


Page 27 of 265


Because b, is known the phase (t.00

- lu0

)(kP + L) can be estimated based on the observations

from Nr receive antennas on a per block basis. In order to perform this phase estimation step,

additional training symbols do not need to be inserted and the extra complexity is negligible,

The perfom1ance improvement resulting from phase estimation is illustrated the perfom1ance

graphs given belmv.

I 0055] After CFO estimation, the FFT has been performed, and channel estimation space

time decoder 37 decodes the space-time encoded information-bearing symbols to produce the

information-bearing symbol estimates s 38.

I 0056] Although estimation for a single common CFO and MIMO channel has been

described in a single-user system involving Nt transmit antennas and Nr receive antennas,

communication system 2 is not limited to such systems. Communication system 2, can easily

be modified to estimate CFOs and channel in a multi-user downlink scenario where the base

station deploys Nt transmit antennas to broadcast OFDM based transmissions to Nr rnobile

stations each of which is equipped with one or more antennas. In this case, there are N1

distinct CFOs and Ntl'li· frequency-selective channels to estimate. However, each mobile

station can still apply perform CFO estimation as given in equation (16). In addition, it can

be verified that the LS channel estimator given in equation (25) can be separated from CFO

estimation to estimate the N1 channel impulse responses in hv, for V'" 1, ... , Nr, on a per

receive antenna basis.

[0057] FIG 3 illustrates example transmission blocks 40A, 40B, and 40C generated by

transmitter 4 of communication system 2. In particular, transmission blocks 40A, 40B, and

40C correspond to consecutive transmission blocks U"P (k) 16 at the output of one of training

symbol insertion units 15 with block index k = 0, k = 1, and k = 2, respectively. Generally,

each transmission block 40A-40C includes space-time encoded infom1ation bearing symbols

42A-C, null subcarriers 44A-44C, and training symbols 46A-46C, respectively. In particular,

training symbol insertion units 15 insert blocks of Nt + 1 training symbols 46A-46C

according to equation (26) as a preamble to space-time encoded blocks of information

bearing symbols 42A-C, in some embodiments, training symbols 46A-46C are inserted

every N + L transmitted symbols, where a cyclic prefix of L symbols is inserted by cyclic

prefix insertion unit 19, resulting in a bandwidth efficiency of (N - Nt - l) I (N + L ).

19


Page 28 of 265


estimation can be separated and the CFO can be estimated over the full acquisition range [-fl,

n). The FFT is taken and the null subcarriers are removed (step 60) by multiplying Yv (k) 30

with zero padding rnatTix T~P to obtain zJk) 32. Channel estimation is performed over Af

blocks of training symbols (step 62). As described previously, each training block length NJ)

can be smaller than Nt(l. + 1) by sparsely distributing training symbols across 1\fblocks, In

some embodiments, one of a LMMSE channel estimator or a LS channel estimator may be

applied to the 111blocks to estimate channel 8. In order to improve the BER performance of

receiver 6, the phase noise is estimated and removed (step 64) based on the observations

from Nr receive antennas on a per block basis. Symbol estimates are then produced by

decoding the space-time encoded infi:mnation-bearing symbols (step 66).

[0061] FIGS. 5-12 are graphs that present simulations of OFDM transmissions over MIMO

frequency-selective channels using the described techniques for estimating the CFO, channel,

and phase noise. In order to benchmark the performance of the techniques described herein,

the Crame'r -Rao lmver bounds (CRLB) for the CFO are derived. Starting from the model of

communication system 2 given in equation (12), the CRLB for (u0 is given according to

equation (30), where D(k) :000 diag[Pk + L, , .. , P(k + 1) -1], and R~} :000 E[g,(k) g;1 (k)],

It follows from equation (30) that as the number of blocks increases, the CRLB for CFO

decrease. Similarly, the signal-to-noise ratio (SNR) versus CRLB decreases as the number of

blocks increases. ff N >> N --- K, i.e. the number of subcarriers is much greater than the

number of null suhcarriers, Tzp ~ Lv. Assuming that R~ = E lv, \vhere E represents the

average symbol energy, and P, Mare sufficiently large equation (31) can be obtained.

21


Page 29 of 265


Equation (3 l) explicitly shmvs that the CRLB of the CFO is independent of the channel and

the number of transmit antennas, and that the CRLB of the CFO is inversely proportional to

the SNR, the number of receive antennas, and the cube of the number of space-time data.

[0062] By assuming that CFO estimation is perfect, the perfom1ance of the channel estimator

can be derived. If the LMMSE channel estimator given in equation (24) is used, then the

mean-square error of the channel estimator is given according to equation (32).

(32)

Similarly, if the LS channel estimator given in equation (25) is used, the c01Tesponding

mean-square error is given hy equation (33 ).

Equations (32) and (33) both imply that as the number of channels increases, the channel

rnean square effor increases. However, this increase can be mitigated by collecting a greater

number of blocks, i.e. more training symbols, provided that the CFO estimate is sufficiently

accurate.

I 0063] In al I simulations, HI PERLAN/2 channel model B, given in Table 1, is used to

generate the channels. The channel order is L = 15 and the taps are independent with

different variances. The OFDM block length is designed as N "' 64 as in H l PERLA N/2. The

noise is additive vvfote Gaussian noise with zero-mean and variance u 2. The SNR is defined . . n

SNR =EI er: and the information-bearing symbols are selected from a quadrature phase-

shift keying (QPSK) constellation.

22


Page 30 of 265

Electronic Acknowledgement Receipt

EFSID: 18304103

Application Number: 13777993

International Application Number:

Confirmation Number: 1348

Title of Invention: ESTIMATING FREQUENCY-OFFSETS AND MULTI-ANTENNA CHANNELS IN MIMO OFDM SYSTEMS

First Named Inventor/Applicant Name: Georgios B. Giannakis

Customer Number: 26191

Filer: W. Karl Renner/Judith Wasilkus

Filer Authorized By: W. Karl Renner

Attorney Docket Number: 35841-0004003

Receipt Date: 26-FEB-2014

Filing Date: 26-FEB-2013

Time Stamp: 11:06:19

Application Type: Utility under 35 USC 111 (a)

Payment information:

Submitted with Payment I no

File Listing:

Document Document Description File Name

File Size( Bytes)/ Multi Pages Number Message Digest Part /.zip (if appl.)

182255

1 Amendment after Notice of Allowance

Response.pdf 4 (Rule312)

no b8adbe3a995ed3d617 ce7878a7bed27005

62710a

Warnings:

Information:


Page 31 of 265

13970127

2 Specification Su bstituteSpec.pdf no 15 c5051a9b7557d1 aaa056430999c70b08c3b

c355e

Warnings:

Information:

Total Files Size (in bytes) 14152382

This Acknowledgement Receipt evidences receipt on the noted date by the USPTO of the indicated documents, characterized by the applicant, and including page counts, where applicable. It serves as evidence of receipt similar to a Post Card, as described in MPEP 503.

New A~~lications Under 35 U.S.C. 111 If a new application is being filed and the application includes the necessary components for a filing date (see 37 CFR 1.53(b)-(d) and MPEP 506), a Filing Receipt (37 CFR 1.54) will be issued in due course and the date shown on this Acknowledgement Receipt will establish the filing date of the application.

National Stage of an International A~~lication under 35 U.S.C. 371 If a timely submission to enter the national stage of an international application is compliant with the conditions of 35 U.S.C. 371 and other applicable requirements a Form PCT/DO/E0/903 indicating acceptance of the application as a national stage submission under 35 U.S.C. 371 will be issued in addition to the Filing Receipt, in due course.

New International A~~lication Filed with the USPTO as a Receiving Office If a new international application is being filed and the international application includes the necessary components for an international filing date (see PCT Article 11 and MPEP 181 O), a Notification of the International Application Number and of the International Filing Date (Form PCT/R0/1 OS) will be issued in due course, subject to prescriptions concerning national security, and the date shown on this Acknowledgement Receipt will establish the international filing date of the application.


Page 32 of 265

UNITED STATES p ATENT AND TRADEMARK OFFICE


13/777,993 02/26/2013 Georgios B. Giannakis

26191 7590 02/25/2014





35841-0004003 1348

EXAMINER

ALI, SHA WKA TM


2633

NOTIFICATION DA TE DELIVERY MODE




Notice of the Office communication was sent electronically on above-indicated "Notification Date" to the following e-mail address(es):

P [email protected]

PTOL-90A (Rev. 04/07)


Page 33 of 265


Commissioner for Patents United States Patent and Trademark Office


\l\N\/W.uspto.gov

Application No. : 13777993 Applicant : Giannakis

Filing Date : 02/26/2013 Date Mailed : 02/25/2014

NOTICE TO FILE CORRECTED APPLICATION PAPERS

Notice of Allowance Mailed

This application has been accorded an Allowance Date and is being prepared for issuance. The application, however, is incomplete for the reasons below.

Applicant is given two (2) months from the mail date of this Notice within which to respond. This time period for reply is extendable under 37 CFR 1.136(a) for only TWO additional MONTHS.

The informalities requiring correction are indicated in the attachment(s). If the informality pertains to the abstract, specification (including claims) or drawings, the informality must be corrected with an amendment in compliance with 37 CFR 1.121 (or, if the application is a reissue application, 37 CFR 1.173). Such an amendment may be filed after payment of the issue fee if limited to correction of informalities noted herein. See Waiver of 3 7 CFR 1. 312 for Documents Required by the Office of Patent Publication, 1280 Off. Gaz. Patent Office 918 (March 23, 2004). In addition, if the informality is not corrected until after payment of the issue fee, for purposes of 35 U.S.C. 154(b)(l)(iv), "all outstanding requirements" will be considered to have been satisfied when the informality has been corrected. A failure to respond within the above-identified time period will result in the application being ABANDONED.

See attachment(s).

A copy of this notice MUST be returned with the reply. Please address response to "Mail Stop Issue Fee, Commissioner for Patents,

/Kam Sin/ Publication Branch

P.O. Box 1450, Alexandria, VA 22313-1450".

Office of Data Management (571) 272-4200


Page 34 of 265

Application No. 13777993

IDENTIFICATION OF APPLICATION DEFICIENCIES

00 Applicant must provide legible text for the following item(s).

00 Specification filed 02/26/2013, page(s) 7-19 and 21-22 have illegible equations.

D Claims filed, claim(s) .

D Oath/declaration filed.

D Other:.

D Applicant must provide missing information on the following page(s) of the specification by amending the specification to add the missing text. No new matter may be added.

D The specification refers to one or more applications by attorney docket number and does not show the U.S. application number(s). Applicant must supply the U.S. application number in place of each attorney docket number.

D Applicant must provide an Abstract of the Disclosure.

D Applicant has submitted a DECLARATION (37 CFR 1.63) FOR A UTILITY OR DESIGN APPLICATION USING AN APPLICATION DATA SHEET (37CFR1.76) (e.g., form PTO/SB/OlA). The Application Data Sheet, however, is not present with the filed application. Applicant must submit an Application Data Sheet or file a new oath or declaration (e.g., PTO/SB/01) executed by the inventors and containing the information required in 37 CFR 1.63.

D Applicant must provide an executed declaration.

D Applicant must provide the missing page(s) of the oath/declaration or Application Data Sheet filed

D Applicant must provide a declaration signed by inventor(s) .

D The oath/declaration filed shows non-initialed and/or non-dated alterations. Applicant must file a new oath/declaration in compliance with 37 CFR l.67(a).

D Applicant(s) in the latest-filed oath/declaration or Application Data Sheet (ADS) did not show the inventor's residence at all, or did not show both a city and state in the U.S. inventor's residence, or did not show both a city and country in the non-U.S. inventor's residence. Applicant must supply an oath/declaration or Application Data Sheet (ADS) that shows each U.S. inventor's city and state of residence and each non-U.S. inventor's city and country ofresidence.


Page 35 of 265

Applicant Serial No. Filed

Title



Georgios B. Giannakis et al. 13/777,993 February 26, 2013

Art Unit 2633 Examiner Shawkat M. Ali Confirmation No.: 1348 Notice of Allowance Date: January 22, 2014

ESTIMATING FREQUENCY-OFFSETS AND MULTI-ANTENNA CHANNELS IN MIMO OFDM SYSTEMS

MAIL STOP ISSUE FEE Commissioner for Patents P.O. Box 1450 Alexandria, VA 22313-14 5 0

COMMENTS ON EXAMINER'S REASONS FOR ALLOWANCE

In response to the Notice of Allowance mailed January 22, 2014, enclosed is a completed

Part B - Fee(s) Transmittal.

Applicant recognizes the Examiner is not required to set forth all of the reasons why the

claims are allowable. See, e.g., M.P.E.P. § 1302.14. Applicant does not believe the Examiner's

stated reasons are the only ones indicating why the claims are allowable, and further does not

necessarily agree with all of the Examiner's characterizations of what the prior art discloses. For

example, the Examiner's stated reasons for allowance indicate that certain claim limitations are

not disclosed in the prior art cited by the Examiner. Applicant does not believe, however, that

these limitations are necessary to distinguish the prior art of record, or that the prior art

combination itself cited by the Examiner is a proper one. Moreover, the Examiner does not say

that his stated reasons for allowance have any impact on the patentability of claims in any related

applications, and Applicant does not believe any of those stated reasons would, in fact, have any

impact on the patentability of claims in such applications.

The issue fee and publication fees in the amount of $480 are being paid concurrently

herewith. In addition, please apply any other necessary charges or credits to Deposit

Account 06-1050, referencing the above attorney docket number.


Page 36 of 265

Applicant : Serial No. : Filed Page

Georgios B. Giannakis et al. 13/777,993 February 26, 2013 2 of2

Date: February 18, 2014

Customer Number 26191 Fish & Richardson P.C. Telephone: (612) 766-2094 Facsimile: (877) 769-7945

60908376.doc

Attorney's Docket No.: 35841-0004003 I Z03145


/W. Karl Renner/ W. Karl Renner Reg. No. 41,265


Page 37 of 265

PART B -FEE(S) TRANSMITTAL

Complete and send this form, together with applicable fee(s), to: Mail Mail Stop ISSUE FEE Commissioner for Patents P.O. Box 1450 Alexandria, Virginia 22313-1450

or Fax (571)-273-2885 INSTRUCTIONS: This form should be used for transmitting the ISSUE FEE and PUBLICATION FEE (if required). Blocks 1 through 5 should be completed where appropriate. All further correspondence including the Patent, advance orders and notification of maintenance fees will be mailed to the current correspondence address as indicated unless corrected below or directed otherwise in Block 1, by (a) specifying a new correspondence address; and/or (b) indicating a separate "FEE ADDRESS" for maintenance fee notifications. CURRENT CORRESPONDENCE ADDRESS (Note: Use Block 1 for any change ofaddress) 26191 7590 01/22/2014

FISH & RICHARDSON P.C. P.O. BOX 1022 MINNEAPOLIS, MN 55440-1022

APPLICATION NO. FILING DATE

13/777,993 02/26/2013

FIRST NAMED INVENTOR ATTORNEY DOCKET NO.

Georgios B. Giannakis 35841-0004003

TITLE OF INVENTION: ESTIMATING FREQUENCY-OFFSETS AND MULTI-ANTENNA CHANNELS IN MIMO OFDM SYSTEMS

APPLN. TYPE ENTITY STATUS ISSUE FEE DUE

nonprovisional SMALL $480

EXAMINER ART UNIT

ALI, SHA WKA T M. 2633

1. Change of correspondence address or indication of "Fee Address" (37 CFR 1.363).

PUBLICATION FEE DUE PREY. PAID ISSUE FEE TOTAL FEE(S) DUE

$0 $0 $480

CLASS-SUBCLASS

375-295000

2. For printing on the patent front page, list

CONFIRMATION NO.

1348

DATE DUE

04/22/2014

[ J Change of correspondence address (or Change of Correspondence Address form PTO/SB/122) attached.

( 1) the names of up to 3 registered patent attorneys or agents OR, alternatively, Fish & Richardson P.C.

[ J "Fee Address" indication (or "Fee Address" Indication form PTO/SB/47; Rev 03-02 or more recent) attached. Use of a Customer Number is required.

(2) the name of a single firm (having as a member a registered attorney or agent) and the names of up to 2 registered patent attorneys or agents. If no name is listed, no name will be printed.

3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PA TENT (print or type)

PLEASE NOTE: Unless an assignee is identified below, no assignee data will appear on the patent. If an assignee is identified below, the document has been filed for recordation as set forth in 37 CFR 3.11. Completion of this form is NOT a substitute for filing an assignment.

(A) NAME OF ASSIGNEE Regents of the University of Minnesota

(B) RESIDENCE: (CITY and STATE OR COUNTRY) Minneapolis, MN

Please check the appropriate assignee category or categories (will not be printed on the patent): [ ] Individual [X] Corporation or other private group entity [ J Government 4a. The following fee(s) are submitted: 4b. Payment ofFee(s): (Please first reapply any previously paid issue fee shown above)

[X] Issue Fee [ J A check in the amount of the fee( s) is enclosed.

[ J Publication Fee (No small entity discount permitted) [ J Payment by credit card. Form PT0-2038 is attached.

[ J Advance Order - #of Copies [X] The Director is hereby authorized to charge the required fee(s), or credit any overpayment, to

5. Change in Entity Status (from status indicated above) [ J Applicant certifying micro entity status. See 37 CFR 1.29

J Applicant asserting small entity status. See 37 CFR 1.27.

J Applicant changing to regular undiscounted fee status.

Deposit Account Number 06-1050

NOTE: Absent a valid certification of Micro Entity Status (see form PTO/SB/I SA and !SB), issue fee payment in the micro entity amount will not be accepted at the risk of application abandonment.

NOTE: If the application was previously under micro entity status, checking this box will be taken to be a notification of loss of entitlement to micro entity status.

NOTE: Checking this box will be taken to be a notification of loss of entitlement to small or micro entity status, as applicable.

The Director of the USPTO is requested to apply the Issue Fee and Publication Fee (if any) or to re-apply any previously paid issue fee to the application identified above. NOTE: The Issue Fee and Publication Fee (if required) will not be accepted from anyone other than the applicant; a registered attorney or agent; or the assignee or other party in interest as shown by the records of the United States Patent and Trademark Office.

Authorized Signature _/W_._K_a_rl_R_e_n_n_e_r/ _____________ _ Date February 18, 2014

Typed or printed name _W __ . _K_a_r_l_R_e_n_n_e_r _____________ _ Registration No. _4_1_2_6_5 ___________ _

60910065.doc


Page 38 of 265

Electronic Patent Application Fee Transmittal


Filing Date: 26-Feb-2013

Title of Invention: ESTIMATING FREQUENCY-OFFSETS AND MULTI-ANTENNA CHANNELS IN

MIMO OFDM SYSTEMS


Filer: W. Karl Renner/Jill Wright


Filed as Small Entity

Utility under 35 USC 111 (a) Filing Fees

Description Fee Code Quantity Amount Sub-Total in

USO($)

Basic Filing:

Pages:

Claims:

Miscellaneous-Filing:

Petition:

Patent-Appeals-and-Interference:

Post-Allowance-and-Post-Issuance:

Utility Appl Issue Fee 2501 1 480 480

Extension-of-Time:


Page 39 of 265


USO($)

Miscellaneous:

Total in USO($) 480


Page 40 of 265


EFSID: 18221425







Filer: W. Karl Renner/Nick Halverson








Submitted with Payment yes

Payment Type Deposit Account

Payment was successfully received in RAM $480

RAM confirmation Number 12767

Deposit Account 061050

Authorized User

File Listing:

Document I Document Description I

File Name I

File Size( Bytes)/ I Multi I Pages Number Message Digest Part /.zip (if appl.)


Page 41 of 265

189693

1 Issue Fee Payment (PT0-85B) RESP.pdf no 3 dcecd7020f415f4814a70e8e6f22cc90b84a

c15c

Warnings:

Information:

30779

2 Fee Worksheet (SB06) fee-info.pdf no 2 e4114caeb28b67efd77b0da8b34f89a77 cf6

ae57

Warnings:

Information:







Page 42 of 265

UNITED STA IBS p A IBNT AND TRADEMARK OFFICE UNITED STATES DEPARTMENT OF COMMERCE United States Patent and Trademark Office Address: COMMISSIONER FOR PATENTS


NOTICE OF ALLOWANCE AND FEE(S) DUE

26191 7590 01/22/2014



131777,993 02/26/2013

FIRST NAMED INVENTOR

Georgios B. Giannakis

EXAMINER

ALI,SHAWKATM


2633

DATE MAILED: 01122/2014


35841-0004003 1348


APPLN. TYPE ENTITY STATUS ISSUE FEE DUE PUBLICATION FEE DUE PREV. PAID ISSUE FEE TOTAL FEE(S) DUE DATEDUE

nonprovisional SMALL $480 $0 $0 $480 04/22/2014

THE APPLICATION IDENTIFIED ABOVE HAS BEEN EXAMINED AND IS ALLOWED FOR ISSUANCE AS A PATENT. PROSECUTION ON THE MERITS IS CLOSED. THIS NOTICE OF ALLOWANCE IS NOT A GRANT OF PATENT RIGHTS. THIS APPLICATION IS SUBJECT TO WITHDRAWAL FROM ISSUE AT THE INITIATIVE OF THE OFFICE OR UPON PETITION BY THE APPLICANT. SEE 37 CFR 1.313 AND MPEP 1308.

THE ISSUE FEE AND PUBLICATION FEE (IF REQUIRED) MUST BE PAID WITHIN THREE MONTHS FROM THE MAILING DATE OF THIS NOTICE OR THIS APPLICATION SHALL BE REGARDED AS ABANDONED. THIS STATUTORY PERIOD CANNOT BE EXTENDED. SEE 35 U.S.C. 151. THE ISSUE FEE DUE INDICATED ABOVE DOES NOT REFLECT A CREDIT FOR ANY PREVIOUSLY PAID ISSUE FEE IN THIS APPLICATION. IF AN ISSUE FEE HAS PREVIOUSLY BEEN PAID IN THIS APPLICATION (AS SHOWN ABOVE), THE RETURN OF PART B OF THIS FORM WILL BE CONSIDERED A REQUEST TO REAPPLY THE PREVIOUSLY PAID ISSUE FEE TOWARD THE ISSUE FEE NOW DUE.

HOW TO REPLY TO THIS NOTICE:

I. Review the ENTITY STATUS shown above. If the ENTITY STATUS is shown as SMALL or MICRO, verify whether entitlement to that entity status still applies.

If the ENTITY STATUS is the same as shown above, pay the TOTAL FEE(S) DUE shown above.

If the ENTITY STATUS is changed from that shown above, on PART B - FEE(S) TRANSMITTAL, complete section number 5 titled "Change in Entity Status (from status indicated above)".

For purposes of this notice, small entity fees are 1/2 the amount of undiscounted fees, and micro entity fees are 1/2 the amount of small entity fees.

IL PART B - FEE(S) TRANSMITTAL, or its equivalent, must be completed and returned to the United States Patent and Trademark Office (USPTO) with your ISSUE FEE and PUBLICATION FEE (if required). If you are charging the fee(s) to your deposit account, section "4b" of Part B - Fee(s) Transmittal should be completed and an extra copy of the form should be submitted. If an equivalent of Part B is filed, a request to reapply a previously paid issue fee must be clearly made, and delays in processing may occur due to the difficulty in recognizing the paper as an equivalent of Part B.

III. All communications regarding this application must give the application number. Please direct all communications prior to issuance to Mail Stop ISSUE FEE unless advised to the contrary.

IMPORTANT REMINDER: Utility patents issuing on applications filed on or after Dec. 12, 1980 may require payment of maintenance fees. It is patentee's responsibility to ensure timely payment of maintenance fees when due.

Page 1of3 PTOL-85 (Rev. 02/11)


Page 43 of 265

PART B - FEE(S) TRANSMITTAL

Complete and send this form, together with applicable fee(s), to: Mail Mail Stop ISSUE FEE Commissioner for Patents P.O. Box 1450

or Fax Alexandria, Virginia 22313-1450 (571)-273-2885

INSTRUCTIONS: This form should be used for transmitting the ISSUE FEE and PUBLICATION FEE (if required). Blocks 1 through 5 should be completed where appropriate. All further correspondence including the Patent, advance orders and notification of maintenance fees will be mailed to the current correspondence address as indicated unless corrected below or directed otherwise in Block 1, by (a) specifying a new correspondence address; and/or (b) indicating a separate "FEE ADDRESS" for maintenance fee notifications.

CURRENT CORRESPONDENCE ADDRESS (Note: Use Block 1 for any change of address)

Note: A certificate of mailing can only be used for domestic mailings of the Fee(s) Transmittal. This certificate cannot be used for any other accompanying papers. Each additional paper, such as an assignment or formal drawing, must have its own certificate of mailing or transmission.

26191 7590 01/22/2014



131777,993 02/26/2013

Certificate of Mailing or Transmission I hereby certify that this Fee(s) Transmittal is being deposited with the United States Postal Service with sufficient postage for first class mail in an envelope addressed to the Mail Stop ISSUE FEE address above, or being facsimile transmitted to the USPTO (571) 273-2885, on the date indicated below.

(Depositor's name)

(Signature)

(Date)

FIRST NAMED INVENTOR ATTORNEY DOCKET NO. CONFIRMATION NO.

Georgios B. Giannakis 35841-0004003 1348


APPLN. TYPE ENTITY STATUS ISSUE FEE DUE

nonprovisional SMALL $480

EXAMINER ART UNIT

ALI, SHAWKATM 2633

1. Change of correspondence address or indication of "Fee Address" (37 CFR 1.363).

0 Change of correspondence address (or Change of Correspondence Address form PTO/SB/122) attached.

0 "Fee Address" indication (or "Fee Address" Indication form PTO/SB/47; Rev 03-02 or more recent) attached. Use of a Customer Number is required.

PUBLICATION FEE DUE PREV. PAID ISSUE FEE TOTAL FEE(S) DUE

$0 $0

CLASS-SUBCLASS

375-295000

2. For printing on the patent front page, list

( 1) The names of up to 3 registered patent attorneys or agents OR, alternatively,

(2) The name of a single firm (having as a member a registered attorney or agent) and the names of up to 2 registered patent attorneys or agents. If no name is listed, no name will be printed.

$480

DATEDUE

04/22/2014

3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)

PLEASE NOTE: Unless an assignee is identified below, no assignee data will appear on the patent. If an assignee is identified below, the document has been filed for recordation as set forth in 37 CFR 3.11. Completion of this form is NOT a substitute for filing an assignment.

(A) NAME OF ASSIGNEE (B) RESIDENCE: (CITY and STATE OR COUNTRY)

Please check the appropriate assignee category or categories (will not be printed on the patent) : 0 Individual 0 Corporation or other private group entity 0 Government

4a. The following fee(s) are submitted:

0 Issue Fee

0 Publication Fee (No small entity discount permitted)

0 Advance Order - #of Copies _________ _

5. Change in Entity Status (from status indicated above)

0 Applicant certifying micro entity status. See 37 CFR 1.29

0 Applicant asserting small entity status. See 37 CFR 1.27

0 Applicant changing to regular undiscounted fee status.

4b. Payment ofFee(s): (Please first reapply any previously paid issue fee shown above)

0 A check is enclosed.

0 Payment by credit card. Form PT0-2038 is attached. 0 The Director is hereby authorized to charge the required fee(s), any deficiency, or credits any

overpayment, to Deposit Account Number (enclose an extra copy of this form).

NOTE: Absent a valid certification of Micro Entity Status (see forms PTO/SB/15A and 15B), issue fee payment in the micro entity amount will not be accepted at the risk of application abandonment.

NOTE: If the application was previously under micro entity status, checking this box will be taken to be a notification of loss of entitlement to micro entity status.

NOTE: Checking this box will be taken to be a notification of loss of entitlement to small or micro entity status, as applicable.

NOTE: This form must be signed in accordance with 37 CFR 1.31and1.33. See 37 CFR 1.4 for signature requirements and certifications.

Authorized Signature _______________________ _ Date ____________________ _

Typed or printed name ______________________ _ Registration No. ________________ _

Page 2 of3

PTOL-85 Part B (10-13) Approved for use through 10/31/2013. OMB 0651-0033 U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE


Page 44 of 265

UNITED STA IBS p A IBNT AND TRADEMARK OFFICE


131777,993 02/26/2013

26191 7590 01/22/2014







35841-0004003 1348

EXAMINER

ALI,SHAWKATM


2633

DATE MAILED: 01122/2014

Determination of Patent Term Adjustment under 35 U.S.C. 154 (b) (application filed on or after May 29, 2000)

The Patent Term Adjustment to date is 0 day(s). If the issue fee is paid on the date that is three months after the mailing date of this notice and the patent issues on the Tuesday before the date that is 28 weeks (six and a half months) after the mailing date of this notice, the Patent Term Adjustment will be 0 day(s).

If a Continued Prosecution Application (CPA) was filed in the above-identified application, the filing date that determines Patent Term Adjustment is the filing date of the most recent CPA.

Applicant will be able to obtain more detailed information by accessing the Patent Application Information Retrieval (PAIR) WEB site (http://pair.uspto.gov).

Any questions regarding the Patent Term Extension or Adjustment determination should be directed to the Office of Patent Legal Administration at (571)-272-7702. Questions relating to issue and publication fee payments should be directed to the Customer Service Center of the Office of Patent Publication at 1-(888)-786-0101 or (571 )-272-4200.

Page 3 of 3 PTOL-85 (Rev. 02/11)


Page 45 of 265

OMB Clearance and PRA Burden Statement for PTOL-85 Part B

The Paperwork Reduction Act (PRA) of 1995 requires Federal agencies to obtain Office of Management and Budget approval before requesting most types of information from the public. When OMB approves an agency request to collect information from the public, OMB (i) provides a valid OMB Control Number and expiration date for the agency to display on the instrument that will be used to collect the information and (ii) requires the agency to inform the public about the OMB Control Number's legal significance in accordance with 5 CFR 1320.5(b).

The information collected by PTOL-85 Part B is required by 37 CFR 1.311. 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 12 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, Virginia 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, Virginia 22313-1450. Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number.

Privacy Act Statement

The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection with your submission of the attached form related to a patent application or patent. Accordingly, pursuant to the requirements of the Act, please be advised that: (1) the general authority for the collection of this information is 35 U.S.C. 2(b)(2); (2) furnishing of the information solicited is voluntary; and (3) the principal purpose for which the information is used by the U.S. Patent and Trademark Office is to process and/or examine your submission related to a patent application or patent. If you do not furnish the requested information, the U.S. Patent and Trademark Office may not be able to process and/or examine your submission, which may result in termination of proceedings or abandonment of the application or expiration of the patent.

The information provided by you in this form will be subject to the following routine uses: 1. The information on this form will be treated confidentially to the extent allowed under the Freedom of

Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 552a). Records from this system of records may be disclosed to the Department of Justice to determine whether disclosure of these records is required by the Freedom of Information Act.

2. A record from this system of records may be disclosed, as a routine use, in the course of presenting evidence to a court, magistrate, or administrative tribunal, including disclosures to opposing counsel in the course of settlement negotiations.

3. A record in this system of records may be disclosed, as a routine use, to a Member of Congress submitting a request involving an individual, to whom the record pertains, when the individual has requested assistance from the Member with respect to the subject matter of the record.

4. A record in this system of records may be disclosed, as a routine use, to a contractor of the Agency having need for the information in order to perform a contract. Recipients of information shall be required to comply with the requirements of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C. 552a(m).

5. A record related to an International Application filed under the Patent Cooperation Treaty in this system of records may be disclosed, as a routine use, to the International Bureau of the World Intellectual Property Organization, pursuant to the Patent Cooperation Treaty.

6. A record in this system of records may be disclosed, as a routine use, to another federal agency for purposes of National Security review (35 U.S.C. 181) and for review pursuant to the Atomic Energy Act (42 U.S.C. 218(c)).

7. A record from this system of records may be disclosed, as a routine use, to the Administrator, General Services, or his/her designee, during an inspection of records conducted by GSA as part of that agency's responsibility to recommend improvements in records management practices and programs, under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall be made in accordance with the GSA regulations governing inspection of records for this purpose, and any other relevant (i.e., GSA or Commerce) directive. Such disclosure shall not be used to make determinations about individuals.

8. A record from this system of records may be disclosed, as a routine use, to the public after either publication of the application pursuant to 35 U.S.C. 122(b) or issuance of a patent pursuant to 35 U.S.C. 151. Further, a record may be disclosed, subject to the limitations of 37 CFR 1.14, as a routine use, to the public if the record was filed in an application which became abandoned or in which the proceedings were terminated and which application is referenced by either a published application, an application open to public inspection or an issued patent.

9. A record from this system of records may be disclosed, as a routine use, to a Federal, State, or local law enforcement agency, if the USPTO becomes aware of a violation or potential violation of law or regulation.


Page 46 of 265

Application No. 13/777,993

Applicant(s) GIANNAKIS ET AL.

Notice of Allowability Examiner SHAWKAT M. ALI

Art Unit 2633

AIA (First Inventor to File) Status

No

-- The MAILING DATE of this communication appears on the cover sheet with the correspondence address-All claims being allowable, PROSECUTION ON THE MERITS IS (OR REMAINS) CLOSED in this application. If not included herewith (or previously mailed), a Notice of Allowance (PTOL-85) or other appropriate communication will be mailed in due course. THIS NOTICE OF ALLOWABILITY IS NOT A GRANT OF PATENT RIGHTS. This application is subject to withdrawal from issue at the initiative of the Office or upon petition by the applicant. See 37 CFR 1.313 and M PEP 1308.

1. [8J This communication is responsive to 1210212013.

DA declaration(s)/affidavit(s) under 37 CFR 1.130(b) was/were filed on ___ .

2. D An election was made by the applicant in response to a restriction requirement set forth during the interview on __ ; the restriction requirement and election have been incorporated into this action.

3. [8J The allowed claim(s) is/are 21.23-32.34-39 and 50-62. As a result of the allowed claim(s), you may be eligible to benefit from the Patent Prosecution Highway program at a participating intellectual property office for the corresponding application. For more information, please see htt.Q://www.usg_to.gov/Qatents/init events/Q.Qh/index.isg_ or send an inquiry to PPHfeedback~us2to.gov .

4. D Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).

Certified copies:

a) D All b) D Some *c) D None of the:

1. D Certified copies of the priority documents have been received.

2. D Certified copies of the priority documents have been received in Application No. __ .

3. D Copies of the certified copies of the priority documents have been received in this national stage application from the

International Bureau (PCT Rule 17.2(a)).

* Certified copies not received: __ .

Applicant has THREE MONTHS FROM THE "MAILING DATE" of this communication to file a reply complying with the requirements noted below. Failure to timely comply will result in ABANDONMENT of this application. THIS THREE-MONTH PERIOD IS NOT EXTENDABLE.

5. D CORRECTED DRAWINGS (as "replacement sheets") must be submitted.

D including changes required by the attached Examiner's Amendment I Comment or in the Office action of Paper No./Mail Date __ .

Identifying indicia such as the application number {see 37 CFR 1 .84{c)) should be written on the drawings in the front {not the back) of each sheet. Replacement sheet{s) should be labeled as such in the header according to 37 CFR 1.121{d).

6. 0 DEPOSIT OF and/or INFORMATION about the deposit of BIOLOGICAL MATERIAL must be submitted. Note the attached Examiner's comment regarding REQUIREMENT FOR THE DEPOSIT OF BIOLOGICAL MATERIAL.

Attachment(s) 1. D Notice of References Cited (PT0-892)

2. D Information Disclosure Statements (PTO/SB/08), Paper No./Mail Date __

3. D Examiner's Comment Regarding Requirement for Deposit of Biological Material

4. [8J Interview Summary (PT0-413), Paper No./Mail Date __ .

/SHAWKAT MALI/ Examiner, Art Unit 2633

U.S. Patent and Trademark Office

5. [8J Examiner's Amendment/Comment

6. [8J Examiner's Statement of Reasons for Allowance

7. D Other __ .

PTOL-37 (Rev. 08·13) Notice of Allowability Part of Paper No./Mail Date 20131209


Page 47 of 265

Application/Control Number: 13/777,993

Art Unit: 2633

DETAILED ACTION

Page 2

1. The present application is being examined under the pre-AIA first to invent provisions.

Terminal Disclaimer

2. The terminal disclaimer filed on December 02, 2013 disclaiming the terminal portion of

any patent granted on this application which would extend beyond the expiration date of

8,588,317 has been reviewed and is accepted. The terminal disclaimer has been recorded.

EXAMINER'S AMENDMENT

3. An Examiner's Amendment to the record appears below. Should the changes and/or

additions be unacceptable to applicant, an amendment may be filed as provided by 37 CPR

1.312. To ensure consideration of such an amendment, it MUST be submitted no later than the

payment of the issue fee.

Authorization for this Examiner's Amendment was given in a telephone interview with

W. Karl Renner on December 30, 2013.

4. The following claims have been replaced as below:

Claim 21. A method comprising: in a base station: forming two or more blocks of output

symbols for orthogonal frequency division multiplexing (OFDM) transmissions over a multiple-

input multiple-output (MIMO) channel, wherein the forming comprises (i) identifying different

positions within the two or more blocks of output symbols based at least on (a) one or more


Page 48 of 265


Art Unit: 2633

block index values, (b) one or more subcarrier index values, ( c) a cyclic prefix parameter

Page 3

selected to compensate for intersymbol interference (ISi) associated with the MIMO channel,

and (d) a hopping code that is based, at least in part, on the cyclic prefix parameter, and (ii)

inserting, based at least on the hopping code, training symbols and null subcarriers within two or

more blocks of information-bearing symbols, the hopping code directing at least a portion of the

null subcarriers to be inserted at the different positions within the two or more blocks of output

symbols; and transmitting, via two or more antennas, transmission signals in accordance with the

two or more blocks of output symbols, wherein the two or more blocks of output symbols

include a first block of output symbols and a second block of output symbols, and wherein

inserting the training symbols and null subcarriers comprises: inserting a first null subcarrier at a

first subcarrier position within the first block of output symbols; and inserting a second null

subcarrier at a second subcarrier position within the second block of output symbols, wherein the

first subcarrier position is different from the second subcarrier position.

Claim 31. The system of claim [[0]] 30, further comprising: a wireless communication device

configured to receive the transmission signals as received signals, wherein the wireless

communication device is configured to (i) estimate a carrier frequency offset based on the

received signals and (ii) perform channel estimation of the MIMO channel based on the received

signals.

Claim 50. A method comprising: in a base station: forming two or more blocks of output



Page 49 of 265


Art Unit: 2633

Page 4

input multiple-output (MIMO) channel; identifying, via a hopping code and based at least on a

cyclic prefix parameter, different positions within the two or more blocks of output symbols, the

different positions comprising a block index value,,, aBE:l a subcarrier index value, and the cyclic

prefix parameter selected to compensate for intersymbol interference (ISi) associated with the

MIMO channel; inserting, using the different positions identified via the hopping code, a first set

of two or more training symbols and two or more null subcarriers (i) into a first block of two or

more blocks of information-bearing symbols and (ii) at a first position within the first block of

information-bearing symbols; inserting, using the different positions identified via the hopping

code, a second set of two or more training symbols and two or more null subcarriers (i) into a

second block of the two or more blocks of information-bearing symbols and (ii) at a second

position within the second block of information-bearing symbols, wherein the hopping code

directs the first position to be different from the second position; and transmitting over the

MIMO channel, via two or more antennas, transmission signals in accordance with the two or

more blocks of output symbols.

Reason for Allowance

5. Regarding claims 21 & 30. The closest prior art discloses a method comprising: in a

base station: forming two or more blocks of output symbols for orthogonal frequency division

multiplexing (OFDM) transmissions over a multiple-input multiple-output (MIMO) channel,

wherein the forming comprises (ii) inserting, based at least on the hopping code, training

symbols and null subcarriers within two or more blocks of information-bearing symbols, the

hopping code directing at least a portion of the null subcarriers to be inserted at the different


Page 50 of 265


Art Unit: 2633

Page 5

positions within the two or more blocks of output symbols; and transmitting, via two or more

antennas, transmission signals in accordance with the two or more blocks of output symbols.

However, the prior art does not disclose: wherein the forming comprises (i) identifying

different positions within the two or more blocks of output symbols based at least on (a) one or

more block index values, (b) one or more subcarrier index values, ( c) a cyclic prefix parameter

selected to compensate for intersymbol interference (ISi) associated with the MIMO channel,

and (d) a hopping code that is based, at least in part, on the cyclic prefix parameter and wherein

the two or more blocks of output symbols include a first block of output symbols and a second

block of output symbols, and wherein inserting the training symbols and null subcarriers

comprises: inserting a first null subcarrier at a first subcarrier position within the first block of

output symbols; and inserting a second null subcarrier at a second subcarrier position within the

second block of output symbols, wherein the first subcarrier position is different from the second

subcarrier position.

Regarding claim 50. The prior art also does not disclose identifying, via a hopping code and

based at least on a cyclic prefix parameter, different positions within the two or more blocks of

output symbols, the different positions comprising a block index value a subcarrier index value,

and the cyclic prefix parameter selected to compensate for intersymbol interference (ISi)

associated with the MIMO channel; inserting, using the different positions identified via the

hopping code, a first set of two or more training symbols and two or more null subcarriers (i)

into a first block of two or more blocks of information-bearing symbols and (ii) at a first position

within the first block of information-bearing symbols; inserting, using the different positions


Page 51 of 265


Art Unit: 2633

Page 6

identified via the hopping code, a second set of two or more training symbols and two or more

null subcarriers (i) into a second block of the two or more blocks of information-bearing symbols

and (ii) at a second position within the second block of information-bearing symbols, wherein

the hopping code directs the first position to be different from the second position.

The aspect summarized above are neither anticipated nor obviated by the prior art of the

record.

Conclusions

6. Any inquiry concerning this communication or earlier communications from the

examiner should be directed to SHAWKAT M. ALI whose telephone number is (571) 270-1639.

The Examiner can normally be reached on Monday-Thursday between 9:00AM and 4:30PM.

If attempts to reach the Examiner by telephone are unsuccessful, the examiner's

supervisor, SAM K. AHN can be reached on (571) 272-3044. The fax phone number for the

organization where this application or proceeding is assigned is 571-273-8300.

Information regarding the status of an application may be obtained from the Patent

Application Information Retrieval (PAIR) system. Status information for published applications

may be obtained from either Private PAIR or Public PAIR. Status information for unpublished

applications is available through Private PAIR only. For more information about the PAIR

system, see http://pair-direct.uspto.gov. Should you have questions on access to the Private PAIR

system, contact the Electronic Business Center (EBC) at 866-217-9197 (toll-free). If you would

like assistance from a USPTO Customer Service Representative or access to the automated

information system, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000.


Page 52 of 265


Art Unit: 2633

/SHA WKAT M ALI/

Examiner, Art Unit 2633

/SAM KAHN/

Supervisory Patent Examiner, Art Unit 2633

Page 7


Page 53 of 265

Application No.

13/777,993 Examiner-Initiated Interview Summary

Examiner

SHAWKAT M. ALI

All participants (applicant, applicant's representative, PTO personnel):

(1) SHAWKAT M. ALI.

(2) W. Karl Renner.

Date of Interview: 30 December 2013.

Type: ~ Telephonic 0 Video Conference 0 Personal [copy given to: 0 applicant

Exhibit shown or demonstration conducted: 0 Yes If Yes, brief description: __ .

(3) __ .

(4) __ .

0 applicant's representative]

~No.

Issues Discussed 0101 0112 0102 0103 ~Others (For each of the checked box( es) above, please describe below the issue and detailed description of the discussion)

Claim(s) discussed: 21,31and50.

Identification of prior art discussed: No.

Substance of Interview

Applicant(s)

GIANNAKIS ET AL.

Art Unit

2633

(For each issue discussed, provide a detailed description and indicate if agreement was reached. Some topics may include: identification or clarification of a reference or a portion thereof, claim interpretation, proposed amendments, arguments of any applied references etc ... )

Claims 21, 31and50 have been amended as set forth in the Examiner's Amendment.

Applicant recordation instructions: It is not necessary for applicant to provide a separate record of the substance of interview.

Examiner recordation instructions: Examiners must summarize the substance of any interview of record. A complete and proper recordation of the substance of an interview should include the items listed in MPEP 713.04 for complete and proper recordation including the identification of the general thrust of each argument or issue discussed, a general indication of any other pertinent matters discussed regarding patentability and the general results or outcome of the interview, to include an indication as to whether or not agreement was reached on the issues raised.

0 Attachment



PTOL·413B (Rev. 8/11/2010) Interview Summary Paper No. 20131209


Page 54 of 265

EAST Search History

EAST Search History

EAST Search History (Prior Art}

<This search history is empty>

file:///Cl/U sers/sali/Documents/e-Red%20Folder/13777993/EASTSearchHistory .13777993 _Accessible Version.htm[ 12/9/2013 3 :31 :45 PM]


Page 55 of 265

EAST Search History



Page 56 of 265

EAST Search History

rs r30 r70/486).=s : us- 'DR '[OFF : 2013/12109, i i i i PGPUB·i i l 13"41 i

I I I I ~~~~T:I I I . I j ........ ..i .............. ..i-....................................................................................................... .! ............... ..i ....................... ..i ................. ..J .......................... , r6 r26 r70/509).CQS. i us- 'DR lOFF i 2013/12109! i i i i PGPUB·i i i 13"42 i IJ-J·_____j~__J_j~ l27 r042 r75/130).CQS. i us- 'DR ![OFF i 2013/12109; i i i i PGPUB·i i i 13"42 i

I I I I ~~~~T:I I I . I ' L L 0 0 0 ' mO

rs r70 r75/146).=s :us- 'DR '[OFF i20131121w i i i 'PGPUB·' ' i 13"47 ' I I I : USP'A T:: : i . : I I I I UP'AD , I I I I ' .........•...............• -........................................................................................................•.................•........................•...................•..........................• r9 r37 r75/147).CQS. !US- 'DR 'IOFF 12013/12109! i i i i PGPUB·i i i 13:47 i i i i : USP'A T:: : i :

I I I I UP'AD , I I I I ' ............................ -......................................................................................................... • .................•.........................• ····················' .......................... . l.30 r80 r75/259).CQS. i us- 'DR 'IOFF i 2013/12109! i i i i PGPUB·i i i 13"47 i

I I I I ~~~~T:I I I . I ! ......... L ............. L ...................................................................................................... L ............. .i.. ...................... .i.. ................. L ....................... ;

l.31 r20 r75/260).CQS. i us- 'DR lOFF i 2013/12109! i i i i PGPUB·i i i 13"47 i

I I I I ~~~~T:I I I . I j ......... L ............. L ...................................................................................................... L .............. J ·······················--' .................. .!.. ........................ ;

l.32 r72 r75/267).CQS. 'us- 'DR '[OFF ] 2013/12109! i i i i PGPUB·i i i 13"48 i

I I I I ~~~~T:I I I . I ' .........•...............• -........................................................................................................•.................•........................•...................•..........................•

l.33 r52 r75/299).CQS. 'us- 'DR '[OFF I 2013/12109! i i i i PGPUB·i i i 14:39 i I I I i USP'A T: i i l i I I I i UP'AD ' i i l i t : : : : : : : ·---~--~-l.34 r70 r75/308).CQS. 'us- 'DR llOFF I 2013/121091 i i i i PGPUB·' ' i 14·39 '

I I I I ~~~~T:I I I . I j ........ ..i .............. ..i-....................................................................................................... .! ............... ..i ....................... ..i ................. ..J .......................... ,

l.35 r60 r75/316).CQS. !US- 'DR lOFF !2013/12109! i i i i PGPUB·i i i 14·39 i

IJ-J_____j~__J_j~ l.36 r225 r75/346).CQS. i us- 'DR lOFF i 2013/12109; i i i i PGPUB·i i i 14·39 i

I I I I ~~~~T:I I I . I j .......... L ............ J-....................................................................................................... .1.. .............. J ·······················--' .................. .!.. ........................ ;

l.37 r14 r75/347).CQS. 'us- 'DR '[OFF I 2013/12109! i i i 'PGPUB·' ' i 14"40 ' I i i : USP'A T:: : i . : I I I I UP'AD , I I I I ' ...... ...- .............. .--........................................................................................................•.................•........................•...................•..........................•

l.38 r6 r75/365).CQS. 'us- 'DR '[OFF 12013/12109! i i i iPGPUB·i i i14:40 i i i i : USP'A T:: : i :

I I I I UP'AD , I I I I ' ............................ -......................................................................................................... • .................•.........................• ····················' .......................... . irl.39 ]

1238 r80/274).CQS. I us- lnR 1rOFF 12013/121091

' ' ' :PGPUB·: ' i14"40 ' I I I I USP'A T: I I I . I



Page 57 of 265

EAST Search History

ii ii il '[UP'AD ii ii ~[ i

r40l92 l455i59)0i& lus: llR tJFF 120;3;;;09· i i i i PGPUB·i i i 14"40 i I I I i USP'A T: i i i . i I I I : UP'AD , : : I : ' mmmmmmmmoO

0

mmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmo0 mmmmmohmmmmmmmhmmmmm•' mmmmmmmmoO

r1

r67 r55/69).0l& !US- !DR rlFF !2013/12109! i i i i PGPUB·i i i 14:40 i I i i i USP'A T: i i i i I i i i UP'AD ' i i i i t : : : : : : : ·---~--~-r2l484 r55/435.2).CCl.S. i US- !DR rlFF !2013/12109! i i i i PGPUB·i i i 14"40 i

I I I I ~~~~T:I I I . I i ........ ..i .............. ..i-....................................................................................................... .! ............... ..i ....................... ..i ................. ..J .......................... ,

r3 r63 r55/456.1).CCl.S. !US- !DR lOFF !2013/12109! i i i i PGPUB·i i i 14"41 i

I I I I ~~~~T:I I I . I !.........J~-~~~ .............................. r4 r1 r55/464).0l& i US- !DR !

1

0FF ]2013/12109! i i i i PGPUB·i i i 14"41 i

I I I I ~~~~T:I I I . I ' ' ' ' . . ' ,,,,

rs r70 rss1s1s1.=s !US- !DR ![OFF :20131121w i i i 'PGPUB·' ' i 14"41 ' I I I : USP'A T:: : i . : I I I : UP'AD , : : I : ' •••••• ...- •••••••••••••• m···••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••• ••••••••••••••••••••••••• •••••••••••••••••··•··•••••••••••••••••••••••••

r6 r96 r55/522).0l& !US- !DR !10FF !2013/12109! i i i iPGPUB·i i i14:41 i i i i : USP'A T:: : i : I I I i UP'AD , i i I i ' ............................ -......................................................................................................... • .................•.........................•.................... • .......................... . f 47 r851 o : 20 21 22 23 24 25 26 27 28 29 30 31 32 33 i US- !DR :ON i 2013/ 12/ 09: I i i 34 35 36 37 38 39 40 41 42 43 44 45 46 : PGPUB;! : i 14:42 :

I I I i ~~~~T; i i I i r48t752 l2;;;:;d13~~d47 1 US: tOR tON t~013i12i09' i i i iPGPUB·i i i14"42 i

I I I I ~~~~T:I I I . I i ·········-'--············-' -....................................................................................................... .1.. .............. J ·······················-' .................. .!.. ........................ ,

r9 !01 i 12 and 13 and 47 and 16 : US- !DR !DN !2013/12/09! I i i iPGPUB·i : !14"43 :

I .......... 1 ................ 1 ........................................................................................................ l .~~~~~-l ........................ 1 ................. J ..... · .................... 1 ro !0!49 and @ay<="2004" : US- !DR !DN !2013/12/09! i i i iPGPUB·i i i15:09 i I i i i USP'A T: i i i i I i i i UP'AD ' i i i i

l[L52l[ol[~us:-r-mTN-i~ i i i iPGPUB·i i !15·30 i

I I I I uu~~~T:1 I I . I I .......... 1 ................ 1-....................................................................................................... .! ............... ..! ....................... ..! ................. ..! ··························'

12/ 9/ 2013 3:31 :34 PM C:\ Users\ sali\ Documents\ EAST\ Workspaces\ Case_92_GG_ 13777993.wsp



Page 58 of 265

Application/Control No.

Search Notes 13777993

Examiner

SHAWKAT MALI

CPC-SEARCHED

Symbol

Applicant(s)/Patent Under Reexamination

GIANNAKIS ET AL.

Art Unit

2633

Date Examiner

CPC COMBINATION SETS - SEARCHED

Symbol I I

US CLASSIFICATION SEARCHED

Class Subclass 370 203,295,213,329,442,486,509 375 130, 146, 147,259,260,267,299,308,316,346,347,

365 380 274 455 59, 69, 435.2, 456.1, 464, 515, 522

SEARCH NOTES

Search Notes Inventor, Class/Subclass, Keywords, IEEE, Google Search Inventor, Class/Subclass, Keywords, IEEE, Google Search

INTERFERENCE SEARCH

US Class/ US Subclass I CPC Group CPC Symbol 370 203,295,213,329,442,486,509 375 130, 146, 147,259,260,267,299,308,316,346,347,

365 380 274 455 59, 69, 435.2, 456.1, 464, 515, 522

I ISHAWKA T M m faam;oec Art Uo;t 2633


Date I Examiner I

Date Examiner 5/17/2013 /SN 5/17/2013 /SN

5/17/2013 /SN 5/17/2013 /SN


Date Examiner

12/9/2013 /SN 12/9/2013 /SN

12/9/2013 /SN 12/9/2013 /SN

Part of Paper No.: 20131209


Page 59 of 265

BIB DATA SHEET

SERIAL NUMBER FILING or 371 (c) DATE

CLASS

13/777,993 02/26/2013 375

RULE

APPLICANTS

Page 1 of 1



CONFIRMATION N0.1348

GROUP ART UNIT ATTORNEY DOCKET NO.

2633 35841-0004003

REGENTS OF THE UNIVERSITY OF MINNESOTA, Saint Paul, MN

INVENTORS Georgios B. Giannakis, Minnetonka, MN; Xiaoli Ma, Auburn, AL;

** CONTINUING DATA ************************* This application is a CON of 13/301 ,482 11 /21 /2011 PAT 8588317

which is a CON of 10/850,961 05/21/2004 PAT 8064528 which claims benefit of 60/472,297 05/21 /2003

** FOREIGN APPLICATIONS *************************

** IF REQUIRED, FOREIGN FILING LICENSE GRANTED ** ** SMALL ENTITY ** 03/18/2013

Foreign Priority claimed Oves ~No STATE OR SHEETS TOTAL INDEPENDENT 35 USC 119(a-d) conditions met 0 Yes ~No O Metafter

Allowance COUNTRY DRAWINGS CLAIMS CLAIMS Verified and /SHAWKAT MALI/

MN 13 ·£-9' r:~--;~)--------~ 3 Acknowledged Examiner's Signature Initials ~ "-~· ....... ~ ~ ~ ................................ .,,.s

ADDRESS

FISH & RICHARDSON P.C. (TC) PO BOX 1022 MINNEAPOLIS, MN 55440-1022 UNITED STATES

TITLE


D All Fees

FEES: Authority has been given in Paper D 1.16 Fees (Filing)

FILING FEE D 1.17 Fees (Processing Ext. of time) RECEIVED No. to charge/credit DEPOSIT ACCOUNT

1112 No. for following: D 1.18 Fees (Issue)

D Other

D Credit

BIB (Rev. 05/07).


Page 60 of 265

Application/Control No. Applicant(s)/Patent Under Reexamination

Issue Classification 13777993 GIANNAKIS ET AL.

Examiner Art Unit

SHAWKAT MALI 2633

CPC

Symbol Type Version

CPC Combination Sets

Symbol Type Set Ranking Version

/SHAWKAT MALI/ Examiner Art Unit 2633 01/08/2014 Total Claims Allowed:

30 (Assistant Examiner) (Date)

/SAM KAHN/ Supervisory Patent Examiner.Art Unit 2633 01/15/2014 O.G. Print Claim(s) O.G. Print Figure

(Primary Examiner) (Date) 21 2

U.S. Patent and Trademark Office Part of Paper No. 20131209


Page 61 of 265



Examiner Art Unit

SHAWKAT MALI 2633

US ORIGINAL CLASSIFICATION INTERNATIONAL CLASSIFICATION

CLASS SUBCLASS CLAIMED NON-CLAIMED

375 295 H 0 4 L 27 I 00 (2006.01.01)

CROSS REFERENCE(S)

CLASS SUBCLASS {ONE SUBCLASS PER BLOCK)







Page 62 of 265



Examiner Art Unit

SHAWKAT MALI 2633

~ Claims renumbered in the same order as presented by applicant D CPA ~ T.D. D R.1.47

Final Original Final Original Final Original Final Original Final Original Final Original Final Original Final Original

1 17 33 49

2 18 12 34 18 50

3 19 13 35 19 51

4 20 14 36 20 52

5 1 21 15 37 21 53

6 22 16 38 22 54

7 2 23 17 39 23 55

8 3 24 40 24 56

9 4 25 41 25 57

10 5 26 42 26 58

11 6 27 43 27 59

12 7 28 44 28 60

13 8 29 45 29 61

14 9 30 46 30 62

15 10 31 47

16 11 32 48







Page 63 of 265

PTO/SB/06 (09-11) Approved for use through 1/31/2014. OMB 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 OMB control number.

PATENT APPLICATION FEE DETERMINATION RECORD Application or Docket Number Filing Date

Substitute for Form PT0-875 13/777,993 02/26/2013 D To be Mailed

ENTITY: D LARGE [8l SMALL D MICRO

APPLICATION AS FILED - PART I

(Column 1) (Column 2)

FOR NUMBER FILED NUMBER EXTRA RATE($) FEE($)

D BASIC FEE N/A N/A N/A (37 CFR 1.16(a), (b), or (c))

D SEARCH FEE N/A N/A N/A (37 CFR 1.16(k), (i), or (m))

D EXAMINATION FEE (37 CFR 1.16(0), (p), or (q))

N/A N/A N/A

TOTAL CLAIMS * (37 CFR 1.16(i)) minus 20 = x $ =

INDEPENDENT CLAIMS * (37 CFR 1.16(h)) minus 3 = x $ =

If the specification and drawings exceed 100 sheets

0APPLICATION SIZE FEE of paper, the application size fee due is $310 ($155 for small entity) for each additional 50 sheets or

(37 CFR 1.16(s)) fraction thereof. See 35 U.S.C. 41 (a)(1 )(G) and 37 CFR 1.16(s).

D MULTIPLE DEPENDENT CLAIM PRESENT (37 CFR 1.16(j))

* If the difference in column 1 is less than zero, enter "O" in column 2. TOTAL

APPLICATION AS AMENDED - PART II

(Column 1) (Column 2) (Column 3)

CLAIMS HIGHEST

01/15/2014 REMAINING NUMBER PRESENT EXTRA RATE($) ADDITIONAL FEE ($)

f-- AFTER PREVIOUSLY z AMENDMENT PAID FOR w

Total (37 CFR ~ 1.16(i\\ * 30 Minus ** 30 = 0 x $40 = 0 0

Independent z * 2 Minus ***3 = 0 x $210 = 0 w (37 CFR 1.16(hll

~ D Application Size Fee (37 CFR 1.16(s)) <(

D FIRST PRESENTATION OF MULTIPLE DEPENDENT CLAIM (37 CFR 1.16(j))

TOTAL ADD'L FEE 0


CLAIMS HIGHEST REMAINING NUMBER

PRESENT EXTRA RATE($) ADDITIONAL FEE ($) AFTER PREVIOUSLY

f-- AMENDMENT PAID FOR

z Total (37 CFR * Minus ** = x $ = w 1.16(i))

~ Independent * Minus *** = x $ = 0 (37 CFR 1.16(h))

z D Application Size Fee (37 CFR 1.16(s)) w ~ D FIRST PRESENTATION OF MULTIPLE DEPENDENT CLAIM (37 CFR 1.16(j)) <(

TOTAL ADD'L FEE

* If the entry in column 1 is less than the entry in column 2, write "O" in column 3. LIE ** If the "Highest Number Previously Paid For" IN THIS SPACE is less than 20, enter "20". /JOY J. DOBBS/ *** If the "Highest Number Previously Paid For" IN THIS SPACE is less than 3, enter "3".

The "Highest Number Previously Paid For" (Total or Independent) is the highest number found in the appropriate box in column 1.

This collection of information is required by 37 CFR 1.16. The information is required to obtain or retain a benefit by the public which is to file (and by the US PTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 12 minutes to complete, including gathering, preparing, and submitting the completed application form to the US PTO. 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-PT0-9199 and select option 2.


Page 64 of 265



131777,993 02/26/2013

26191 7590 12/30/2013




UNITED STA TES DEPARTMENT OF COMMERCE United States Patent and Trademark Office Address: COMMISSIONER FOR PATENTS



35841-0004003 1348

EXAMINER

ALI, SHAWKAT M


2633






[email protected]

PTOL-90A (Rev. 04/07)


Page 65 of 265

Application No.

13/777,993 Examiner-Initiated Interview Summary

Examiner

SHAWKAT M. ALI


(1) SHAWKAT M. ALI.

(2) W. Karl Renner.

Date of Interview: 17 December 2013.



(3) __ .

(4) __ .


~No.


Claim(s) discussed: 21,31and50.

Identification of prior art discussed: No.


Applicant(s)

GIANNAKIS ET AL.

Art Unit

2633


Examiner contacted the Applicant's representative and suggested to add "in a base station" at the beginning of currentlv amended independent claim 21 and new claim 50 and further requested to make proper amendment to claim 31 to correct the dependencv issue in order to place the Application in condition for allowance.

Applicant recordation instructions: It is not necessary for applicant to provide a separate record of the substance of interview.


0 Attachment



PTOL·413B (Rev. 8/11/2010)

/SAM KAHN/ Supervisory Patent Examiner, Art Unit 2633

Interview Summary Paper No. 20131217


Page 66 of 265

Application Number Application/Control No. Applicant(s)/Patent under Reexamination

13/777,993 GIANNAKIS ET AL.

Document Code - DISQ Internal Document- DO NOT MAIL

TERMINAL ~APPROVED D DISAPPROVED DISCLAIMER

Th is patent is subject Date Filed : 12-02-2013 to a Terminal

Disclaimer

I Approved/Disapproved by: I Dorethea Lawrence



Page 67 of 265


Attorney Docket No.: 35841-0004003 I Client Ref: Z03145


Georgios B. Giannakis et al. Art Unit 2633 13/777,993 Examiner Shawkat M. Ali February 26, 2013 Conf. No. 1348 ESTIMATING FREQUENCY-OFFSETS AND MULTI-ANTENNA CHANNELS IN MIMO OFDM SYSTEMS

Mail Stop Amendment Commissioner for Patents P.O. Box 1450 Alexandria, VA 22313-14 5 0

RESPONSE TO ACTION OF MAY 31, 2013

AND INTERVIEW SUMMARY

Please consider the following reply.

CERTIFICATE OF TRANSMISSION I hereby certify under 37 CFR §l.8(a) that this correspondence is being transmitted via the Office electronic filing system in accordance with 37 CFR § l.6(a)(4), on the date indicated below.

December 2, 2013

Date of Deposit or Transmission /Judith Wasilkus/ Signature Judith Wasilkus Typed or Printed Name of Person Signing Certificate


Page 68 of 265


Georgios B. Giannakis et al. 13/777,993 February 26, 2013 2of12

Amendments to the Specification:


Please replace the paragraph beginning at page 2, line 10 with the following amended

paragraph:

[0006] Typical single-input single-output (SISO) OFDM systems rely on blocks of

training symbols or exploit the presence of null sub-carriers in order to acquire channel state

information [[(CAI)]](CSI) to mitigate CFO and perform channel estimation. In the IEEE

802.11 a, IEEE 802.11 g, and HIPERLAN/2 standards, sparsely placed pilot symbols are present

in every OFDM symbol and pilot symbols are placed in the same positions from block to block.

Additionally, channel estimation is performed on a per block basis.


Page 69 of 265



List of claims (replacing prior versions)

1-20. (Canceled)

21. (Currently Amended) A method comprising:


forming two or more blocks of output symbols for orthogonal frequency division


wherein the forming comprises (i) identifying different positions within the two or more blocks

of output symbols based at least on (a) one or more block index values, (b) one or more

subcarrier index values, (c) a cyclic prefix parameter selected to compensate for intersymbol

interference (ISI) associated with the MIMO channel, and (d) a hopping code that is based, at

least in part, on the cyclic prefix parameter, and (ii) inserting, based at least on [[a]] the hopping

code, training symbols and null subcarriers within two or more blocks of information-bearing

symbols, the hopping code directing at least a portion of the null subcarriers to be inserted at the

different positions within the two or more blocks of output symbols; and

transmitting, via two or more antennas, transmission signals in accordance with the two

or more blocks of output symbols,,_

wherein the two or more blocks of output symbols include a first block of output symbols

and a second block of output symbols, and wherein inserting the training symbols and null

subcarriers comprises:

inserting a first null subcarrier at a first subcarrier position within the first block of output

symbols; and

inserting a second null subcarrier at a second subcarrier position within the second block

of output symbols, wherein the first subcarrier position is different from the second subcarrier

position.

22. (Canceled)

23. (Currently Amended) The method of claim 21, wherein transmitting the transmission

signals comprises:

transmitting, via a first antenna of the two or more antennas, a first transmission signal in


Page 70 of 265




accordance with the first block of output symbols; and

transmitting, via a second antenna of the two or more antennas, a second transmission

signal in accordance with the second block of output symbols.

24. (Previously Presented) The method of claim 21, wherein transmitting the transmission

signals comprises inserting a cyclic prefix within each of the blocks of output symbols, and

wherein the transmission signals provide information for estimating a carrier frequency offset

associated with received versions of the transmission signals.

25. (Previously Presented) The method of claim 24, wherein the transmission signals provide

information for estimating a phase noise of the received versions of the transmission signals

based on the estimated carrier frequency offset.

26. (Previously Presented) The method of claim 21, wherein the training symbols within the

two or more blocks collectively provide information for estimating the MIMO channel.

27. (Previously Presented) The method of claim 21, wherein inserting the training symbols

and the null subcarriers comprises inserting at least one training symbol adjacent to at least one

null subcarrier.

28. (Previously Presented) The method of claim 21, wherein transmitting the transmission

signals comprises transmitting transmission signals for a multi-user wireless communications

system.

29. (Previously Presented) The method of claim 21, further comprising:

encoding the information-bearing symbols in space and time within the two or more

blocks of output symbols.

30. (Currently Amended) A system, comprising:

two or more antennas; and


Page 71 of 265




a base station configured to (i) form two or more blocks of output symbols for orthogonal

frequency division multiplexing (OFDM) transmissions over a multiple-input multiple-output

(MIMO) channel by identifying different positions within the two or more blocks of output

symbols based at least on (a) one or more block index values, (b) one or more subcarrier index

values, (c) a cyclic prefix parameter selected to compensate for intersymbol interference (ISI)

associated with the MIMO channel, and (d) a hopping code that is based, at least in part, on the

cyclic prefix parameter, and inserting, based at least on [[a]] the hopping code, training symbols

and null subcarriers within two or more blocks of information-bearing symbols, the hopping

code directing at least a portion of the null subcarriers to be inserted at the different positions

within the two or more blocks of output symbols, and (ii) transmit, via the two or more antennas,

transmission signals in accordance with the two or more blocks of output symbols_,_

wherein the two or more blocks of output symbols include a first block of output symbols

and a second block of output symbols, and wherein the base station is further configured to:

insert a first null subcarrier at a first subcarrier position within the first block of output

symbols; and

insert a second null subcarrier at a second subcarrier position within the second block of

output symbols, wherein the first subcarrier position is different from the second subcarrier

position.

31. (Previously Presented) The system of claim 0, further comprising:

a wireless communication device configured to receive the transmission signals as

received signals, wherein the wireless communication device is configured to (i) estimate a

carrier frequency offset based on the received signals and (ii) perform channel estimation of the

MIMO channel based on the received signals.

32. (Previously Presented) The system of claim 31, wherein the wireless communication

device is configured to estimate a phase noise of the received signals based on the carrier

frequency offset.

33. (Canceled)


Page 72 of 265




34. (Previously Presented) The system of claim 30, wherein the base station is configured to:

transmit, via a first antenna of the two or more antennas, a first transmission signal in


transmit, via a second antenna of the two or more antennas, a second transmission signal

in accordance with the second block of output symbols.

35. (Previously Presented) The system of claim 30, wherein the base station is configured to

insert a cyclic prefix within each of the blocks of output symbols, and wherein the transmission

signals provide information for estimating a carrier frequency offset associated with received

versions of the transmission signals.

36. (Previously Presented) The system of claim 30, wherein the training symbols within the

two or more blocks collectively provide information for estimating the MIMO channel.


insert at least one training symbol adjacent to at least one null subcarrier.


transmit transmission signals for a multi-user wireless communications system.


encode the information-bearing symbols in space and time within the two or more blocks of

output symbols.

40-49. (Canceled)

50. (New) A method comprising:


multiplexing (OFDM) transmissions over a multiple-input multiple-output (MIMO) channel;


Page 73 of 265




identifying, via a hopping code and based at least on a cyclic prefix parameter, different

positions within the two or more blocks of output symbols, the different positions comprising a

block index value and a subcarrier index value, and the cyclic prefix parameter selected to

compensate for intersymbol interference (ISI) associated with the MIMO channel;

inserting, using the different positions identified via the hopping code, a first set of two or

more training symbols and two or more null subcarriers (i) into a first block of two or more

blocks of information-bearing symbols and (ii) at a first position within the first block of

information-bearing symbols;

inserting, using the different positions identified via the hopping code, a second set of

two or more training symbols and two or more null subcarriers (i) into a second block of the two

or more blocks of information-bearing symbols and (ii) at a second position within the second

block of information-bearing symbols, wherein the hopping code directs the first position to be

different from the second position; and

transmitting over the MIMO channel, via two or more antennas, transmission signals in

accordance with the two or more blocks of output symbols.

51. (New) The method of claim 50, wherein the block index value is a positive integer.

52. (New) The method of claim 51, wherein the subcarrier index value is a positive integer.

53. (New) The method of claim 52, wherein the cyclic prefix parameter is a positive integer.

54. (New) The method of claim 50, wherein the first block of the two or more blocks of

output symbols and the second block of the two or more blocks of output symbols are

consecutive.

55. (New) The method of claim 50, wherein the first block of the two or more blocks of

output symbols and the second block of the two or more blocks of output symbols each

comprises a vector of size 1 x N, where N is a total number of subcarriers in a block of output

symbols.


Page 74 of 265




56. (New) The method of claim 50, wherein inserting the training symbols into the first block

of the two or more blocks of information-bearing symbols further comprises inserting the

training symbols into the first block of the two or more blocks of information-bearing symbols

such that there is at least one information-bearing symbol between each of the training symbols

in the first block of the two or more blocks of information-bearing symbols.

57. (New) The method of claim 50, wherein inserting the training symbols into the first and

second blocks of the two or more blocks of information-bearing symbols further comprises

inserting the training symbols into the first and second blocks of the two or more blocks of

information-bearing symbols such that there is at least one information-bearing symbol between

each of the training symbols in the first and second blocks of the two or more blocks of

information-bearing symbols.

58. (New) The method of claim 50, wherein each block of output symbols contains a number

of training symbols equal to a number of transmit antennas.

59. (New) The method of claim 50, wherein inserting the training symbols into the first and

second blocks of the two or more blocks of information-bearing symbols further comprises

inserting a number of training symbols, wherein the number of training symbols inserted per

block of information-bearing symbols is based at least on a coherence time of the MIMO

channel.

60. (New) The method of claim 59, further comprising increasing the number of training

symbols inserted per block of information-bearing symbols based at least on a reduction in the

coherence time of the MIMO channel.

61. (New) The method of claim 50, further comprising space-time encoding the information-

bearing symbols in the first and second blocks of information-bearing symbols.

62. (New) The method of claim 50, wherein forming the two or more blocks of output

symbols, identifying the different positions, and inserting the training symbols and the null

subcarriers are repeated for each of two or more transmit antennas.


Page 75 of 265




REMARKS

The non-final Office Action of May 31, 2013, rejects all pending claims 21-49. By this

amendment, claims 21, 23, 30, and 34 are amended, claims 22, 33, and 40-49 are canceled, and

claims 50-62 are added. Support for the amendments and new claims can be found throughout

the specification as originally filed. No new matter is being added. Applicant respectfully

requests reconsideration of all pending claims in view of the remarks set forth below

Interview Summary

The undersigned thanks Examiner Ali for the courtesies extended during the telephonic

interviews conducted on August 29, September 16, October 7 and 16, and November 4 and 26,

2013. Over the course of these interviews, the parties discussed the rejection of the independent

claims set forth in the non-final Office Action of March 7, 2013 and the Laroia and Oprea

references, as well as various possible claim amendments. During the November 4, 2013,

interview, the Examiner proposed claim amendments, which were included in the Examiner's

Applicant-Initiated Interview Summary mailed November 13, 2013. The claim amendments

presented in this Response reflect a single change to the Examiner's proposed claims (addition of

"parameter" to cyclic prefix, for antecedent basis), which was discussed by the parties during the

November 26, 2013, interview.

Applicant further thanks Examiner Ali for the diligence and care given to this case,

throughout this extended dialog.

Double Patenting

Claims 21, 29, 30, 39, 40, and 49 were provisionally rejected on the ground of

nonstatutory obviousness-type double patenting as being unpatentable over independent claim 1

and dependent claim 2 of co-pending Application Serial No. 13/301,482. Applicant notes that

Application Serial No. 13/301,482 issued as U.S. Patent No. 8,588,317, on November 19, 2013.

Applicant files contemporaneously herewith a terminal disclaimer in compliance with 37 C.F.R.

§ 1.321 so as to obviate these rejections. Withdrawal of the obviousness-type double patenting

rejection of claims 21, 29, 30, 39, 40, and 49 is respectfully requested. It should be understood

that Applicant does not concede herein that the obviousness-type double patenting rejection is


Page 76 of 265


Georgios B. Giannakis et al. 13/777,993 February 26, 2013 10ofl2


proper. MPEP § 804.02(II) ("The filing of a terminal disclaimer to obviate a rejection based on

nonstatutory double patenting is not an admission of the propriety of the rejection.").

Claim Rejection -35 U.S.C. § 103

Claims 21-22, 26-29, 30, 33, 36-39, 40, 43, and 46-49 stand rejected under 35 U.S.C. §

103(a) as allegedly being unpatentable over Oprea (US 2004/0190636) in view of Laroia (US

2004/0166887). Claims 23, 34 and 44 stand rejected under 35 U.S.C. 103(a) as allegedly being

unpatentable over Oprea, in view of Laroia, and in further view of Ma (US 2004/0001429).

Claims 24-25, 31-32, 35, 41-42 and 45 stand rejected under 35 U.S.C. 103( a) as allegedly being

unpatentable over Oprea, in view of Laroia, and in further view of Wu (US 2002/0122381).

Withdrawal of the rejections is requested.

For at least the reasons discussed in the interview, claim 21 is patentable over the cited

references because the cited references, whether taken alone or in combination, do not disclose

or suggest at least "(i) identifying different positions within the two or more blocks of output

symbols based at least on (a) one or more block index values, (b) one or more sub carrier index

values, ( c) a cyclic prefix parameter selected to compensate for intersymbol interference (ISI)

associated with the MIMO channel, and ( d) a hopping code that is based, at least in part, on the

cyclic prefix parameter [ ... ] wherein the two or more blocks of output symbols include a first

block of output symbols and a second block of output symbols, and wherein inserting the

training symbols and null subcarriers comprises: inserting a first null subcarrier at a first

subcarrier position within the first block of output symbols; and inserting a second null


first subcarrier position is different from the second subcarrier position." Similarly, claim 30 is

patentable over the cited references because the cited references, whether taken alone or in

combination, do not disclose or suggest at least "identifying different positions within the two or

more blocks of output symbols based at least on (a) one or more block index values, (b) one or

more subcarrier index values, ( c) a cyclic prefix parameter selected to compensate for

intersymbol interference (ISI) associated with the MIMO channel, and (d) a hopping code that is

based, at least in part, on the cyclic prefix parameter [ ... ] wherein the two or more blocks of

output symbols include a first block of output symbols and a second block of output symbols,


Page 77 of 265


Georgios B. Giannakis et al. 13/777,993 February 26, 2013 11 of 12


and wherein the base station is further configured to: insert a first null sub carrier at a first

subcarrier position within the first block of output symbols; and insert a second null subcarrier at

a second subcarrier position within the second block of output symbols, wherein the first

subcarrier position is different from the second subcarrier position."

Therefore, those claims and their dependent claims are all in condition for allowance for

the reasons discussed above. For at least the foregoing reasons, Applicant submits that the

independent claims, and their dependent claims, are patentable and respectfully request that the

rejections under 35 U.S.C. § 103 be withdrawn.

New Claims

New claims 50-62 are added. Claim 50 is independent, and claims 51-62 are dependent

on claim 50. For at least the reasons discussed in the interview, Applicant submits that these

claims are allowable over the relied upon portions of the cited references. Specifically, claim 50

is allowable over the relied upon portions of the cited references because those portions, whether

taken alone or in combination, do not disclose or suggest at least "forming two or more blocks of

output symbols for orthogonal frequency division multiplexing (OFDM) transmissions over a

multiple-input multiple-output (MIMO) channel; identifying, via a hopping code and based at

least on a cyclic prefix parameter, different positions within the two or more blocks of output

symbols, the different positions comprising a block index value and a subcarrier index value, and

the cyclic prefix parameter selected to compensate for intersymbol interference (ISI) associated

with the MIMO channel; inserting, using the different positions identified via the hopping code,

a first set of two or more training symbols and two or more null subcarriers (i) into a first block

of two or more blocks of information-bearing symbols and (ii) at a first position within the first

block of information-bearing symbols; inserting, using the different positions identified via the

hopping code, a second set of two or more training symbols and two or more null subcarriers (i)

into a second block of the two or more blocks of information-bearing symbols and (ii) at a

second position within the second block of information-bearing symbols, wherein the hopping

code directs the first position to be different from the second position; and transmitting over the

MIMO channel, via two or more antennas, transmission signals in accordance with the two or

more blocks of output symbols."


Page 78 of 265




Conclusion

Applicant submits that claims 21, 23-32, 34-39, and 50-62 are in condition for allowance,

and requests that the Examiner issue a notice of allowance.

All of the pending claims have been addressed. However, the absence of a reply to a

specific rejection, issue or comment does not signify agreement with or concession of that

rejection, issue or comment. In addition, because the arguments made above may not be

exhaustive, there may be reasons for patentability of any or all pending claims that have not been

expressed. Finally, nothing in this paper should be construed as an intent to concede any issue

with regard to any claim, except as specifically stated in this paper, and the amendment of any

claim does not necessarily signify concession of unpatentability of the claim prior to its

amendment.

Please extend the period for response to the action dated May 31, 2013, for three months

to and including November 30, 2013, which fell on a Saturday. The $700 fee for the three

month extension of time is being paid concurrently herewith on the Electronic Filing System

(EFS) by way of Deposit Account authorization. Please apply any other charges or credits to

Deposit Account No. 06-1050, referencing the above attorney docket number.

Date: December 2, 2013


60893847.doc




Page 79 of 265

Attorney Docket No.: 35841-0004003 I Z03145


Applicant : Georgios B. Giannakis et al. Art Unit 2633 Serial No. : 13/777,993 Examiner Shawkat M. Ali Filed Title

February 26, 2013 Conf. No. 1348 ESTIMATING FREQUENCY-OFFSETS AND MULTI-ANTENNA CHANNELS IN MIMO OFDM SYSTEMS

Commissioner for Patents P.O. Box 1450 Alexandria, VA 22313-1450

TERMINAL DISCLAIMER UNDER 37 C.F.R. §§ 3.73(b) AND 1.321(c)

Pursuant to 37 C.F.R. § 3.73(b), REGENTS OF THE UNIVERSITY OF MINNESOTA,

a university, certifies that it is the assignee of the entire right, title, and interest in the present

application (a 100% ownership interest) by virtue of:

!:&I An assignment from the inventors of the present patent application. The

assignment was recorded in the Patent and Trademark Office at Reel 031143, Frame 0047 on

September 5, 2013, or a copy thereof is attached.

To the best of undersigned's knowledge and belief, title is in the assignee identified

above.

The undersigned (whose title is supplied below) is empowered to act on behalf of the

assignee.

Pursuant to 3 7 C.F .R. § 1.321 ( c ), and to obviate a double patenting rejection, the assignee

identified above hereby disclaims, except as provided below, the terminal part of the statutory

term of any patent granted on the instant application that would extend beyond the expiration

date of the full statutory term of U.S. Patent No. 8,588,317. The assignee hereby agrees that any

patent granted on the instant application shall be enforceable only for and during such period that

it is commonly owned with U.S. Patent No. 8,588,317.

The assignee identified above does not disclaim any terminal part of any patent granted

on the present application that would extend to the expiration date of the full statutory term of

U.S. Patent No. 8,588,317 in the event that U.S. Patent No. 8,588,317 later: expires for failure to

pay a maintenance fee, is held unenforceable, is found invalid by a court of competent

jurisdiction, is statutorily disclaimed in whole or terminally disclaimed under 3 7 C.F .R. § 1.321,

has all claims cancelled by a reexamination certificate, is reissued, or is otherwise terminated


Page 80 of 265

Applicant : Georgios B. Giaonakis el a!. Seda! No. : l 3/T77.993 Filed February 26, 20 l3 Page 2 of2

Atlomey's Docket No.: 15S4 l-OD04003 ! 203145

prior to expiration of it'> foll statutory tem1. The full statutory term of any patent includes any

tenn adjustment as defined in 35 UXC § 154 and§ l 73. Assignee herein does not disclaim or

otherwise affect any part of US Patent No. 8,588317.

This disclaimer nms with any patent granted on the above application and is binding

upon the grantee, its successors or assigns.

The foes in the amount of$160 are being paid concurrently herewith under 37 C.F.R. §

L20(d). ln addition, please apply any other necessary charges or credits to Deposit Account 06~

1050, reforendng the above attorney docket number.

l hereby declare that ail statements made herein of my O\Vl1 knowledge are true and that

all statements made on information and belief are believed to be true; and thrther that these

staternents were made with the knowledge that willful false statements and the like so made are

punishable by fine or imprisonment, or both, under Section 1001 of Title 18 of the United States

Code and that such willful false statements may jeopardize the validity oft.he application or any

patent issued thereon.

Date: November 27, ?..Q}.::~ .......... ___ _

Fish & Richardson P .C. P.O. Box 1022 ?vHnneapolis, l\-tinnesota 55440-1022 United States of Arnerica Telephone: (612) 335-5070 Facsimile: (877) 769-7945 6089:15K3.Joc

..... ----------------------------···

REGENTS OF THE UNIVERSITY OF MfNNESOTA

Title; Associate General Counsel --------


Page 81 of 265



Filing Date: 26-Feb-2013

Title of Invention: ESTIMATING FREQUENCY-OFFSETS AND MULTI-ANTENNA CHANNELS IN

MIMO OFDM SYSTEMS





Utility under 35 USC 111 (a) Filing Fees


USO($)

Basic Filing:

Pages:

Claims:


Petition:



Extension-of-Time:

Extension - 3 months with $0 paid 2253 1 700 700


Page 82 of 265


USO($)

Miscellaneous:

Statutory or Terminal Disclaimer 1814 1 160 160

Total in USO($) 860


Page 83 of 265


EFSID: 17535924










Receipt Date: 02-DEC-2013










Authorized User

File Listing:


File Name I



Page 84 of 265

123055

1 Response.pdf yes 12 25925cb090bc7 66fbbffb 12e 1 fbb4a9794b3

de2d

Multipart Description/PDF files in .zip description

Document Description Start End

Amendment/Req. Reconsideration-After Non-Final Reject 1 1

Specification 2 2

Claims 3 8

Applicant Arguments/Remarks Made in an Amendment 9 12

Warnings:

Information:

515343

2 Terminal Disclaimer Filed TerminalDisc.pdf no 2 960 7 a23 678ad4 7 e4881 af87991 f3 97fe05 fat

feS

Warnings:

Information:

32840

3 Fee Worksheet (SB06) fee-info.pdf no 2 3b4 9cf834 7fb4a44 fl 46c7 4b662d88bb0 70

b41e

Warnings:

Information:







Page 85 of 265





ENTITY: D LARGE [8J SMALL D MICRO







N/A N/A N/A

TOTAL CLAIMS minus 20 = * (37 CFR 1.16(i)) x $ =

INDEPENDENT CLAIMS minus 3 = * (37 CFR 1.16(h)) x $ =


0APPLICATION SIZE FEE of paper, the application size fee due is $31 O ($155 for small entity) for each additional 50 sheets or






CLAIMS HIGHEST

12/02/2013 REMAINING NUMBER PRESENT EXTRA RATE($) ADDITIONAL FEE($)


Total (37 CFR :;:;;: 1.16(j)) * 30 Minus ** 29 = 1 x $40 = 40

0 Independent z (37 CFR 1 .16(h)) * 2 Minus ***3 = 0 x $210 = 0

w :;:;;: D Application Size Fee (37 CFR 1.16(s)) <(


TOTAL ADD'L FEE 40



PRESENT EXTRA RATE($) ADDITIONAL FEE($) AFTER PREVIOUSLY

f--AMENDMENT PAID FOR


:;:;;: Independent * Minus *** = x $ = 0 (37 CFR 1 .16(h))

z D Application Size Fee (37 CFR 1.16(s)) w :;:;;: D FIRST PRESENTATION OF MULTIPLE DEPENDENT CLAIM (37 CFR 1.16(j)) <(

TOTAL ADD'L FEE

* If the entry in column 1 is less than the entry in column 2, write "O" in column 3. LIE **If the "Highest Number Previously Paid For" IN THIS SPACE is less than 20, enter "20". /FELICIA R. FARMER/ *** If the "Highest Number Previously Paid For'" IN THIS SPACE is less than 3, enter ''3'".

The "Highest Number Previously Paid For'" (Total or Independent) is the highest number found in the appropriate box in column 1.

This collection of 1nformat1on 1s required by 37 CFR 1.16. The 1nformat1on 1s required to obtain or retain a benefit by the public which 1s to file (and by the US PTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1 .14. This collection is estimated to take 12 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-PT0-9199 and select option 2.


Page 86 of 265



131777,993 02/26/2013

26191 7590 11/13/2013







35841-0004003 1348

EXAMINER

ALI, SHAWKAT M


2633






[email protected]

PTOL-90A (Rev. 04/07)


Page 87 of 265

Application No.

13/777,993 Applicant-Initiated Interview Summary

Examiner

SHAWKAT M. ALI


(1) SHAWKAT M. ALI.

(2) W. Karl Renner.

Date of Interview: 04 November 2013.



(3) __ .

(4) __ .


~No.

Issues Discussed 0101 0112 0102 ~103 ~Others (For each of the checked box( es) above, please describe below the issue and detailed description of the discussion)

Claim(s) discussed: All.

Applicant(s)

GIANNAKIS ET AL.

Art Unit

2633

Identification of prior art discussed: Laroia (US 200410166887A11 & Oprea (US 200410190636A11.

Substance of Interview (For each issue discussed, provide a detailed description and indicate if agreement was reached. Some topics may include: identification or clarification of a reference or a portion thereof, claim interpretation, proposed amendments, arguments of any applied references etc ... )

Applicant's representive conducted several telephonic interviews with the Examiner. The interviews mostly related to independent claims and to the reference of Laroia and Oprea. Claim amendments were discussed and proposed (see below!. Therefore, by these proposed amendments agreements were reached.

Applicant recordation instructions: The formal written reply to the last Office action must include the substance of the interview. (See MPEP section 713.04). If a reply to the last Office action has already been filed, applicant is given a non·extendable period of the longer of one month or thirty days from this interview date, or the mailing date of this interview summary form, whichever is later, to file a statement of the substance of the interview


0 Attachment



PTOL-413 (Rev. 8/11/2010)


Interview Summary PaperNo.20131104A


Page 88 of 265

Summary of Record of Interview Requirements

Manual of Patent Examining Procedure (MPEP), Section 713.04, Substance of Interview Must be Made of Record A complete written statement as to the substance of any face-to-face, video conference, or telephone interview with regard to an application must be made of record in the application whether or not an agreement with the examiner was reached at the interview.

Title 37 Code of Federal Regulations (CFR) § 1.133 Interviews Paragraph (b)

In every instance where reconsideration is requested in view of an interview with an examiner, a complete written statement of the reasons presented at the interview as warranting favorable action must be filed by the applicant. An interview does not remove the necessity for reply to Office action as specified in§§ 1.111, 1.135. (35 U.S.C. 132)

37 CFR §1.2 Business to be transacted in writing. All business with the Patent or Trademark Office should be transacted in writing. The personal attendance of applicants or their attorneys or agents at the Patent and Trademark Office is unnecessary. The action of the Patent and Trademark Office will be based exclusively on the written record in the Office. No attention will be paid to any alleged oral promise, stipulation, or understanding in relation to which there is disagreement or doubt.

The action of the Patent and Trademark Office cannot be based exclusively on the written record in the Office if that record is itself incomplete through the failure to record the substance of interviews.

It is the responsibility of the applicant or the attorney or agent to make the substance of an interview of record in the application file, unless the examiner indicates he or she will do so. It is the examiner's responsibility to see that such a record is made and to correct material inaccuracies which bear directly on the question of patentability.

Examiners must complete an Interview Summary Form for each interview held where a matter of substance has been discussed during the interview by checking the appropriate boxes and filling in the blanks. Discussions regarding only procedural matters, directed solely to restriction requirements for which interview recordation is otherwise provided for in Section 812.01 of the Manual of Patent Examining Procedure, or pointing out typographical errors or unreadable script in Office actions or the like, are excluded from the interview recordation procedures below. Where the substance of an interview is completely recorded in an Examiners Amendment, no separate Interview Summary Record is required.

The Interview Summary Form shall be given an appropriate Paper No., placed in the right hand portion of the file, and listed on the "Contents" section of the file wrapper. In a personal interview, a duplicate of the Form is given to the applicant (or attorney or agent) at the conclusion of the interview. In the case of a telephone or video-conference interview, the copy is mailed to the applicant's correspondence address either with or prior to the next official communication. If additional correspondence from the examiner is not likely before an allowance or if other circumstances dictate, the Form should be mailed promptly after the interview rather than with the next official communication.

The Form provides for recordation of the following information: -Application Number (Series Code and Serial Number) - Name of applicant - Name of examiner - Date of interview - Type of interview (telephonic, video-conference, or personal) -Name of participant(s) (applicant, attorney or agent, examiner, other PTO personnel, etc.) -An indication whether or not an exhibit was shown or a demonstration conducted -An identification of the specific prior art discussed

An indication whether an agreement was reached and if so, a description of the general nature of the agreement (may be by attachment of a copy of amendments or claims agreed as being allowable). Note: Agreement as to allowability is tentative and does not restrict further action by the examiner to the contrary.

- The signature of the examiner who conducted the interview (if Form is not an attachment to a signed Office action)

It is desirable that the examiner orally remind the applicant of his or her obligation to record the substance of the interview of each case. It should be noted, however, that the Interview Summary Form will not normally be considered a complete and proper recordation of the interview unless it includes, or is supplemented by the applicant or the examiner to include, all of the applicable items required below concerning the substance of the interview.

A complete and proper recordation of the substance of any interview should include at least the following applicable items: 1) A brief description of the nature of any exhibit shown or any demonstration conducted, 2) an identification of the claims discussed, 3) an identification of the specific prior art discussed, 4) an identification of the principal proposed amendments of a substantive nature discussed, unless these are already described on the

Interview Summary Form completed by the Examiner, 5) a brief identification of the general thrust of the principal arguments presented to the examiner,

(The identification of arguments need not be lengthy or elaborate. A verbatim or highly detailed description of the arguments is not required. The identification of the arguments is sufficient if the general nature or thrust of the principal arguments made to the examiner can be understood in the context of the application file. Of course, the applicant may desire to emphasize and fully describe those arguments which he or she feels were or might be persuasive to the examiner.)

6) a general indication of any other pertinent matters discussed, and 7) if appropriate, the general results or outcome of the interview unless already described in the Interview Summary Form completed by

the examiner. Examiners are expected to carefully review the applicant's record of the substance of an interview. If the record is not complete and

accurate, the examiner will give the applicant an extendable one month time period to correct the record.

Examiner to Check for Accuracy

If the claims are allowable for other reasons of record, the examiner should send a letter setting forth the examiner's version of the statement attributed to him or her. If the record is complete and accurate, the examiner should place the indication, "Interview Record OK" on the paper recording the substance of the interview along with the date and the examiner's initials.


Page 89 of 265

Continuation Sheet (PTOL-413) Application No. 13777993

21. (Currently Amended) A method comprising:forming two or more blocks of output symbols for orthogonal frequency division multiplexing (OFDM) transmissions over a multiple-input multiple-output (MIMO) channel, wherein the forming comprises (i) identifying different positions within the two or more blocks of output symbols based at least on (a) one or more block index values, (b) one or more subcarrier index values, (c) a cyclic prefix parameter selected to compensate for intersymbol interference (ISi) associated with the MIMO channel, and (d) a hopping code that is based, at least in part, on the cyclic prefix, and (ii) inserting, based at least on the hopping code, training symbols and null subcarriers within two or more blocks of information-bearing symbols, the hopping code directing at least a portion of the null subcarriers to be inserted at the different positions within the two or more blocks of output symbols; and transmitting, via two or more antennas, transmission signals in accordance with the two or more blocks of output symbols, wherein the two or more blocks of output symbols include a first block of output symbols and a second block of output symbols, and wherein inserting the training symbols and null subcarriers comprises: inserting a first null subcarrier at a first subcarrier position within the first block of output symbols; and inserting a second null subcarrier at a second subcarrier position within the second block of output symbols, wherein the first subcarrier position is different from the second subcarrier position.

30. (Currently Amended) A system, comprising: two or more antennas; and a base station configured to (i) form two or more blocks of output symbols for orthogonal frequency division multiplexing (OFDM) transmissions over a multipleinput multiple-output (M IMO) channel by identifying different positions within the two or more blocks of output symbols based at least on (a) one or more block index values, (b) one or more subcarrier index values, (c) a cyclic prefix parameter selected to compensate for intersymbol interference (ISi) associated with the MIMO channel, and (d) a hopping code that is based, at least in part, on the cyclic prefix, and inserting, based at least on the hopping code, training symbols and null subcarriers within two or more blocks of information-bearing symbols, the hopping code directing at least a portion of the null subcarriers to be inserted at the different positions within the two or more blocks of output symbols, and (ii) transmit, via the two or more antennas, transmission signals in accordance with the two or more blocks of output symbols, wherein the two or more blocks of output symbols include a first block of output symbols and a second block of output symbols, and wherein the base station is further configured to: insert a first null subcarrier at a first subcarrier position within the first block of output symbols; and insert a second null subcarrier at a second subcarrier position within the second block of output symbols, wherein the first subcarrier position is different from the second subcarrier position.

50. (New) A method comprising: forming two or more blocks of output symbols for orthogonal frequency division multiplexing (OFDM) transmissions over a multiple-input multiple-output (MIMO) channel; identifying, via a hopping code and based at least on a cyclic prefix parameter, different positions within the two or more blocks of output symbols, the different positions comprising a block index value and a subcarrier index value, and the cyclic prefix parameter selected to compensate for intersymbol interference (ISi) associated with the MIMO channel; inserting, using the different positions identified via the hopping code, a first set of two or more training symbols and two or more null subcarriers (i) into a first block of two or more blocks of information-bearing symbols and (ii) at a first position within the first block of information-bearing symbols; inserting, using the different positions identified via the hopping code, a second set of two or more training symbols and two or more null subcarriers (i) into a second block of the two or more blocks of information-bearing symbols and (ii) at a second position within the second block of information-bearing symbols, wherein the hopping code directs the first position to be different from the second position; and transmitting over the MIMO channel, via two or more antennas, transmission signals in accordance with the two or more blocks of output symbols.


Page 90 of 265

Application Data Sheet 37 CFR 1.76 Attorney Docket Number 3 5 841-0004003

Application Number 13/777,993

Title of Invention I Estimating Frequency-Offsets and Multi-Antenna Channels in MIMO OFDM Systems

The application data sheet is part of the provisional or nonprovisional application for which it is being submitted. The following form contains the bibliographic data arranged in a format specified by the United States Patent and Trademark Office as outlined in 37 CFR 1.76.

Inventor Information:

Inventor 1.

Prefix Given Name Middle Name Family Name Suffix

Georgios s. Giannakis

Residence Information (Select One) C8J US Residency [] Non US Residency [] Active US Military Service

City Minnetonka !state/Province ~ !country of Residence !us Mailing Address of Inventor:

Address 1 2561 Abbey Hill Dr.

Address 2

City I Minnetonka I State/Province IMN Postal Code 55305

I Country us

Inventor 2.

Prefix Given Name Middle Name Family Name Suffix

Dciaoli Ma

Residence Information (Select One) lR1 US Residency U Non US Residency U Active US Military Service

City Auburn Norcross !state/Province ~GA !country of Residence ius Mailing Address of Inventor:

Address 1 l 4 4 9 Riehlaffi Reaa 4114 Ancient Amber Way

Address 2 A '"7T

T -City I Al:l:ffimi: Norcross I State/Province IAb-GA


Page 91 of 265

Application Data Sheet 37 CFR 1.76 Attorney Docket Number 35841-0004003

Application Number 13/777,993

Title of Invention Estimating Frequency-Offsets and Multi-Antenna Channels in MIMO OFDM Systems

I Postal Code I ~30092-5128 I Country lus

Signature: A signature of the applicant or representative is required in accordance with 37 CFR 1.33 and 10.18. Please see 3 7 CFR 1.4( d) for the form of the signature.

Signature /W. Karl Renner/ Date 11/13/2013 (MM/DD/YYYY)

First Name W. Karl I Last I Renner Registration 41,265 Name Number


Page 92 of 265


EFSID: 17386908










Receipt Date: 13-NOV-2013






File Listing:



82094

1 Application Data Sheet 0004003ADS.pdf no 2 1 a3d31e397ef969f0a84b8bc73d1701124a

3e0c0

Warnings:

Information:


Page 93 of 265

This is not an USPTO supplied ADS fillable form

Total Files Size (in bytes)~ 82094


New Applications Under 35 U.S.C. 111 If a new application is being filed and the application includes the necessary components for a filing date (see 37 CFR 1.53(b)-(d) and MPEP 506), a Filing Receipt (37 CFR 1.54) will be issued in due course and the date shown on this Acknowledgement Receipt will establish the filing date of the application.

National Stage of an International Application under 35 U.S.C. 371 If a timely submission to enter the national stage of an international application is compliant with the conditions of 35 U.S.C. 371 and other applicable requirements a Form PCT/DO/E0/903 indicating acceptance of the application as a national stage submission under 35 U.S.C. 371 will be issued in addition to the Filing Receipt, in due course.

New International Application Filed with the USPTO as a Receiving Office If a new international application is being filed and the international application includes the necessary components for an international filing date (see PCT Article 11 and MPEP 181 O), a Notification of the International Application Number and of the International Filing Date (Form PCT/R0/1 OS) will be issued in due course, subject to prescriptions concerning national security, and the date shown on this Acknowledgement Receipt will establish the international filing date of the application.


Page 94 of 265



131777,993 02/26/2013

26191 7590 09/06/2013







35841-0004003 1348

EXAMINER

ALI, SHAWKAT M


2633






[email protected]

PTOL-90A (Rev. 04/07)


Page 95 of 265

Application No.

13/777,993 Applicant-Initiated Interview Summary

Examiner

SHAWKAT M. ALI


(1) SHAWKAT M. ALI.

(2) W. Karl Renner.

Date of Interview: 29 August 2013.



(3) __ .

(4) __ .


~No.


Claim(s) discussed: 21,30 and 50.

Identification of prior art discussed: Laroia.


Applicant(s)

GIANNAKIS ET AL.

Art Unit

2633


Applicant's representative conducted a telephone interview with the Examiner. Independent claims 21, 30 and a new claim 50 (see below! were discussed. However, upon further review Examiner pointed out that the proposed amendments to claims 21 and 30 do not overcome prior art of record since the reference of Laroia discloses the proposed limitations in Figure 7. As a result, Examiner suggested to use similar claim languages as proposed in the new claim 50.

Applicant recordation instructions: The formal written reply to the last Office action must include the substance of the interview. (See MPEP section 713.04). If a reply to the last Office action has already been filed, applicant is given a non·extendable period of the longer of one month or thirty days from this interview date, or the mailing date of this interview summary form, whichever is later, to file a statement of the substance of the interview


0 Attachment



PTOL-413 (Rev. 8/11/2010)


Interview Summary PaperNo.20130829A


Page 96 of 265

Summary of Record of Interview Requirements

Manual of Patent Examining Procedure (MPEP), Section 713.04, Substance of Interview Must be Made of Record A complete written statement as to the substance of any face-to-face, video conference, or telephone interview with regard to an application must be made of record in the application whether or not an agreement with the examiner was reached at the interview.

Title 37 Code of Federal Regulations (CFR) § 1.133 Interviews Paragraph (b)

In every instance where reconsideration is requested in view of an interview with an examiner, a complete written statement of the reasons presented at the interview as warranting favorable action must be filed by the applicant. An interview does not remove the necessity for reply to Office action as specified in§§ 1.111, 1.135. (35 U.S.C. 132)

37 CFR §1.2 Business to be transacted in writing. All business with the Patent or Trademark Office should be transacted in writing. The personal attendance of applicants or their attorneys or agents at the Patent and Trademark Office is unnecessary. The action of the Patent and Trademark Office will be based exclusively on the written record in the Office. No attention will be paid to any alleged oral promise, stipulation, or understanding in relation to which there is disagreement or doubt.

The action of the Patent and Trademark Office cannot be based exclusively on the written record in the Office if that record is itself incomplete through the failure to record the substance of interviews.

It is the responsibility of the applicant or the attorney or agent to make the substance of an interview of record in the application file, unless the examiner indicates he or she will do so. It is the examiner's responsibility to see that such a record is made and to correct material inaccuracies which bear directly on the question of patentability.

Examiners must complete an Interview Summary Form for each interview held where a matter of substance has been discussed during the interview by checking the appropriate boxes and filling in the blanks. Discussions regarding only procedural matters, directed solely to restriction requirements for which interview recordation is otherwise provided for in Section 812.01 of the Manual of Patent Examining Procedure, or pointing out typographical errors or unreadable script in Office actions or the like, are excluded from the interview recordation procedures below. Where the substance of an interview is completely recorded in an Examiners Amendment, no separate Interview Summary Record is required.

The Interview Summary Form shall be given an appropriate Paper No., placed in the right hand portion of the file, and listed on the "Contents" section of the file wrapper. In a personal interview, a duplicate of the Form is given to the applicant (or attorney or agent) at the conclusion of the interview. In the case of a telephone or video-conference interview, the copy is mailed to the applicant's correspondence address either with or prior to the next official communication. If additional correspondence from the examiner is not likely before an allowance or if other circumstances dictate, the Form should be mailed promptly after the interview rather than with the next official communication.

The Form provides for recordation of the following information: -Application Number (Series Code and Serial Number) - Name of applicant - Name of examiner - Date of interview - Type of interview (telephonic, video-conference, or personal) -Name of participant(s) (applicant, attorney or agent, examiner, other PTO personnel, etc.) -An indication whether or not an exhibit was shown or a demonstration conducted -An identification of the specific prior art discussed

An indication whether an agreement was reached and if so, a description of the general nature of the agreement (may be by attachment of a copy of amendments or claims agreed as being allowable). Note: Agreement as to allowability is tentative and does not restrict further action by the examiner to the contrary.

- The signature of the examiner who conducted the interview (if Form is not an attachment to a signed Office action)

It is desirable that the examiner orally remind the applicant of his or her obligation to record the substance of the interview of each case. It should be noted, however, that the Interview Summary Form will not normally be considered a complete and proper recordation of the interview unless it includes, or is supplemented by the applicant or the examiner to include, all of the applicable items required below concerning the substance of the interview.

A complete and proper recordation of the substance of any interview should include at least the following applicable items: 1) A brief description of the nature of any exhibit shown or any demonstration conducted, 2) an identification of the claims discussed, 3) an identification of the specific prior art discussed, 4) an identification of the principal proposed amendments of a substantive nature discussed, unless these are already described on the

Interview Summary Form completed by the Examiner, 5) a brief identification of the general thrust of the principal arguments presented to the examiner,

(The identification of arguments need not be lengthy or elaborate. A verbatim or highly detailed description of the arguments is not required. The identification of the arguments is sufficient if the general nature or thrust of the principal arguments made to the examiner can be understood in the context of the application file. Of course, the applicant may desire to emphasize and fully describe those arguments which he or she feels were or might be persuasive to the examiner.)

6) a general indication of any other pertinent matters discussed, and 7) if appropriate, the general results or outcome of the interview unless already described in the Interview Summary Form completed by

the examiner. Examiners are expected to carefully review the applicant's record of the substance of an interview. If the record is not complete and

accurate, the examiner will give the applicant an extendable one month time period to correct the record.

Examiner to Check for Accuracy

If the claims are allowable for other reasons of record, the examiner should send a letter setting forth the examiner's version of the statement attributed to him or her. If the record is complete and accurate, the examiner should place the indication, "Interview Record OK" on the paper recording the substance of the interview along with the date and the examiner's initials.


Page 97 of 265

Continuation Sheet (PTOL-413) Application No. 13777993

21.(Currently Amended) A method comprising: forming two or more blocks of output symbols for orthogonal frequency division multiplexing (OFDM) transmissions over a multiple-input multiple-output (MIMO) channel, wherein the forming comprises (i) identifying different positions, within the two or more blocks of output symbols, different positions based, at least, on (a) one or more block index values, (b) one or more subcarrier index values, (c) a cyclic prefix parameter, and (d) a hopping code, and (ii) inserting, based on [[a]] the hopping code, training symbols and null subcarriers within two or more blocks of information-bearing symbols, the hopping code directing at least a portion of the null subcarriers to be inserted at the different positions within the two or more blocks of output symbols; and

transmitting, via two or more antennas, transmission signals in accordance with the two or more blocks of output symbols.

30. (Currently Amended) A system, comprising: two or more antennas; and a base station configured to (i) form two or more blocks of output symbols for orthogonal frequency division multiplexing (OFDM) transmissions over a multipleinput multiple-output (M IMO) channel by (a) identifying different positions within the two or more blocks of output symbols based, at least, on (1) one or more block index values, (2) one or more subcarrier index values, (3) a cyclic prefix parameter, and (4) a hopping code, and (b) inserting, based on [[a]] the hopping code, training symbols and null subcarriers within two or more blocks of information-bearing symbols, the hopping code directing at least a portion of the null subcarriers to be inserted at the different positions within the two or more blocks of output symbols, and (ii) transmit, via the two or more antennas, transmission signals in accordance with the two or more blocks of output symbols.

50. (New) A method comprising:forming two or more blocks of output symbols for orthogonal frequency division multiplexing (OFDM) transmissions over a multiple-input multiple-output (MIMO) channel; identifying, via a hopping code based, at least, on a cyclic prefix parameter, different positions within the two or more blocks of output symbols, the positions identified via the hopping code comprising a block index value and a subcarrier index value, and the cyclic prefix parameter having been selected to compensate for intersymbol interference (ISi) associated with the MIMO channel; inserting, using the different positions identified by the hopping code, two or more non-zero training symbols and two or more null subcarriers i) into a first block of the two or more blocks of output symbols and ii) at a first position within the first block; inserting, using the different positions identified by the hopping code, another two or more non-zero training symbols and another two or more null subcarriers i) into a second block of the two or more blocks of output symbols and ii) at a second position within the second block, the hopping code directing the first position to be different from the second position; and transmitting over the M IMO channel, via two or more antennas, transmission signals in accordance with the two or more blocks of output symbols.


Page 98 of 265

APPLICATION NUMBER FILING OR 3 71 (C) DATE

13/777,993

26191 FISH & RICHARDSON P.C. (TC) PO BOX 1022 MINNEAPOLIS, MN 55440-1022

02/26/2013

Ul\TfED STATES DEPA RTME'IT OF COMMERCE United States Patent and Trademark Office Adm"'· COMMISSIO'JER FOR PATENTS

PO Box 1450 Alexandria, Virgmia 22313-1450 \VVi\V.USpto.gov

FIRST NAMED APPLICANT ATTY. DOCKET NO./TITLE

Georgios B. Giannakis 35841-0004003 CONFIRMATION N0.1348

PUBLICATION NOTICE

111111111111111111111111]~!l]~~1~~1~~HH~~u1111111111111111111111111

Title:ESTIMATING FREQUENCY-OFFSETS AND MULTI-ANTENNA CHANNELS IN MIMO OFDM SYSTEMS

Publication No.US-2013-0163693-A 1 Publication Date:06/27/2013

NOTICE OF PUBLICATION OF APPLICATION

The above-identified application will be electronically published as a patent application publication pursuant to 37 CFR 1.211, et seq. The patent application publication number and publication date are set forth above.

The publication may be accessed through the USPTO's publically available Searchable Databases via the Internet at www.uspto.gov. The direct link to access the publication is currently http://www.uspto.gov/patft/.

The publication process established by the Office does not provide for mailing a copy of the publication to applicant. A copy of the publication may be obtained from the Office upon payment of the appropriate fee set forth in 37 CFR 1.19(a)(1 ). Orders for copies of patent application publications are handled by the USPTO's Office of Public Records. The Office of Public Records can be reached by telephone at (703) 308-9726 or (800) 972-6382, by facsimile at (703) 305-8759, by mail addressed to the United States Patent and Trademark Office, Office of Public Records, Alexandria, VA 22313-1450 or via the Internet.

In addition, information on the status of the application, including the mailing date of Office actions and the dates of receipt of correspondence filed in the Office, may also be accessed via the Internet through the Patent Electronic Business Center at www.uspto.gov using the public side of the Patent Application Information and Retrieval (PAIR) system. The direct link to access this status information is currently http://pair.uspto.gov/. Prior to publication, such status information is confidential and may only be obtained by applicant using the private side of PAIR.

Further assistance in electronically accessing the publication, or about PAIR, is available by calling the Patent Electronic Business Center at 1-866-217-9197.

Office of Data Managment, Application Assistance Unit (571) 272-4000, or (571) 272-4200, or 1-888-786-0101

page 1of1


Page 99 of 265



131777,993 02/26/2013

26191 7590 05/31/2013







35841-0004003 1348

EXAMINER

ALI, SHAWKAT M


2633






[email protected]

PTOL-90A (Rev. 04/07)


Page 100 of 265

Application No. 13/777,993

Applicant(s) GIANNAKIS ET AL.

Office Action Summary Examiner SHAWKAT M. ALI

Art Unit 2633

AIA (First Inventor to File) Status

No

-- The MAILING DA TE of this communication appears on the cover sheet with the correspondence address -Period for Reply

A SHORTENED STATUTORY PERIOD FOR REPLY IS SET TO EXPIRE .J. MONTH(S) OR THIRTY (30) DAYS, WHICHEVER IS LONGER, FROM THE MAILING DATE OF THIS COMMUNICATION.

Extensions of time may be available under the provisions of 37 CFR 1.136(a). In no event, however, may a reply be timely filed after SIX (6) MONTHS from the mailing date of this communication. If NO period for reply is specified above, the maximum statutory period will apply and will expire SIX (6) MONTHS from the mailing date of this communication. Failure to reply within the set or extended period for reply will, by statute, cause the application to become ABANDONED (35 U.S.C. § 133). Any reply received by the Office later than three months after the mailing date of this communication, even if timely filed, may reduce any earned patent term adjustment. See 37 CFR 1.704(b).

Status 1 )~ Responsive to communication(s) filed on 26 Februarv 2013.

0 A declaration(s)/affidavit(s) under 37 CFR 1.130(b) was/were filed on __ .

2a)0 This action is FINAL. 2b)~ This action is non-final. 3)0 An election was made by the applicant in response to a restriction requirement set forth during the interview on

__ ; the restriction requirement and election have been incorporated into this action. 4)0 Since this application is in condition for allowance except for formal matters, prosecution as to the merits is

closed in accordance with the practice under Ex parte Quayle, 1935 G.D. 11, 453 O.G. 213.

Disposition of Claims 5)~ Claim(s) 21-49 is/are pending in the application.

5a) Of the above claim(s) __ is/are withdrawn from consideration. 6)0 Claim(s) __ is/are allowed.

7)~ Claim(s) 21-49 is/are rejected. 8)0 Claim(s) __ is/are objected to.

9)0 Claim(s) __ are subject to restriction and/or election requirement. * If any claims have been determined allowable, you may be eligible to benefit from the Patent Prosecution Highway program at a

participating intellectual property office for the corresponding application. For more information, please see

http://www.uspto.gov/patents/init events/pph/index.jsp or send an inquiry to PF'Hfeedback(wuspto.aov.

Application Papers 1 O)~ The specification is objected to by the Examiner. 11 )~The drawing(s) filed on 26 Februarv 2013 is/are: a)~ accepted or b)O objected to by the Examiner.

Applicant may not request that any objection to the drawing(s) be held in abeyance. See 37 CFR 1.85(a).

Replacement drawing sheet(s) including the correction is required if the drawing(s) is objected to. See 37 CFR 1.121 (d).

Priority under 35 U.S.C. § 119 12)0 Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f). Certified copies:

a)O All b)O Some* c)O None of the:

1.0 2.0 3.0

Certified copies of the priority documents have been received. Certified copies of the priority documents have been received in Application No. __ . Copies of the certified copies of the priority documents have been received in this National Stage

application from the International Bureau (PCT Rule 17.2(a)). * See the attached detailed Office action for a list of the certified copies not received.

Interim copies: a)O All b)O Some c)O None of the: Interim copies of the priority documents have been received.

Attachment{s)

1) 0 Notice of References Cited (PT0-892)

2) ~ Information Disclosure Statement(s) (PTO/SB/08) Paper No(s)/Mail Date __ .

U.S. Patent and Trademark Office PTOL-326 (Rev. 03-13) Office Action Summary

3) 0 Interview Summary (PT0-413)

Paper No(s)/Mail Date. __ .

4) 0 Other: __ .

Part of Paper No./Mail Date 20130517


Page 101 of 265

Application/Control Number: 13/777 ,993

Art Unit: 2633

DETAILED ACTION

Information Disclosure Statement (IDS)

Page 2

1. The IDS submitted on 05/06/2013 has been entered and considered by the Examiner.

Specification

2. The disclosure is objected to because of the following informalities: on Page 2, Paragraph

6 Lines 2-3, of the Specification there is a possible typographical error "Channel State

Information (CAI)." It should have been CSI instead of CAI. Appropriate correction is requested.

Double Patenting

3. The nonstatutory double patenting rejection is based on a judicially created doctrine

grounded in public policy (a policy reflected in the statute) so as to prevent the unjustified or

improper timewise extension of the "right to exclude" granted by a patent and to prevent possible

harassment by multiple assignees. A nonstatutory obviousness-type double patenting rejection is

appropriate where the conflicting claims are not identical, but at least one examined application

claim is not patentably distinct from the reference claim(s) because the examined application

claim is either anticipated by, or would have been obvious over, the reference claim(s). See, e.g.,

In re Berg, 140 F.3d 1428, 46 USPQ2d 1226 (Fed. Cir. 1998); In re Goodman, 11 F.3d 1046, 29

USPQ2d 2010 (Fed. Cir. 1993); In re Langi, 759 F.2d 887, 225 USPQ 645 (Fed. Cir. 1985); In

re Van Omum, 686 F.2d 937, 214 USPQ 761 (CCPA 1982); In re Vogel, 422 F.2d 438, 164

USPQ 619 (CCPA 1970); and In re Thorington, 418 F.2d 528, 163 USPQ 644 (CCPA 1969).


Page 102 of 265


Art Unit: 2633

Page 3

A timely filed terminal disclaimer in compliance with 37 CPR 1.321 (c) or l.32l(d) may

be used to overcome an actual or provisional rejection based on a nonstatutory double patenting

ground provided the conflicting application or patent either is shown to be commonly owned

with this application, or claims an invention made as a result of activities undertaken within the

scope of a joint research agreement.

Effective January 1, 1994, a registered attorney or agent of record may sign a

terminal disclaimer. A terminal disclaimer signed by the assignee must fully comply with

37 CPR 3.73(b).

Independent claims 21, 30, 40 and dependent claims 29, 39, 49 provisionally rejected on

the ground of nonstatutory obviousness-type double patenting as being unpatentable over

independent claim 1 and dependent claim 2 of copending Application Serial No. 13/301,482.

Although the conflicting claims are not identical, they are not patentably distinct from each other

because said claims of the instant application are merely a broad version of said claims of the

copending application are therefore obvious over said claims of the copending application.

This is a provisional obviousness-type double patenting rejection because the conflicting

claims have not in fact been patented.

Claim 21 (Claims 30 & 40) of 13/777,993 Claim 1 of 13/301,482

A method comprising: forming two or more A method comprising: forming, with a

blocks of output symbols for orthogonal wireless communication device, blocks of

frequency division multiplexing (OPDM) symbols by inserting training symbols within

transmissions over a multiple-input multiple- two or more blocks of information-bearing


Page 103 of 265


Art Unit: 2633

output (MIMO) channel,

wherein the forming comprises inserting, based

on a hopping code, training symbols and null

subcarriers within two or more blocks of

information-bearing symbols, the hopping code

directing at least a portion of the null

subcarriers to be inserted at different positions

within the two or more blocks of output

symbols;

and transmitting, via two or more antennas,

transmission signals in accordance with the

two or more blocks of output symbols.

Page 4

symbols;

applying, with the wireless communication

device, a hopping code to each of the blocks of

symbols to insert a null subcarrier at a different

position within each of the blocks of symbols;

and outputting, Nt antennas of the wireless

communication device, a wireless transmission

signal in accordance with the blocks of

symbols, the wireless transmission signal being

configured to be received via Nr antennas,

wherein each of Nt and Nr is an integer, and

wherein at least one of Nt and Nr is an integer

greater than one.

Claim 1 of copending application (13/301,482) does not expressly state "Orthogonal Frequency

Division Multiplexing (OFDM) over a multiple-input multiple-output (MIMO) channel."

However, copending application recites in claim 1 "subcarriers." These subcarriers are

equivalent to OFDM. Also, the copending application recites "Nt antennas and Nr antennas."

These Nt and Nr antennas are equivalent to the MIMO channel. Therefore, it would be obvious

to one of ordinary skill in the art at the time the invention was made to recognize that these

elements are equivalent since they perform the same function.


Page 104 of 265


Art Unit: 2633

Claim 29 (Claims 39 & 49) of 13/777,993

Page 5

Claim 2 of 13/301,482

The method of claim 21, further comprising: The method of claim 1, further comprising

encoding the information-bearing symbols in encoding the information-bearing symbols in

space and time within the two or more blocks space and time.

of output symbols.

Claim 2 of copending application (13/301,482) does not expressly state "within the two or more

blocks of output symbols." However, copending application recites in claim 1 "two or more

blocks of information-bearing symbols." Hence, they are equivalent to each other. Therefore, it

would be obvious to one of ordinary skill in the art at the time the invention was made to

recognize that these elements are equivalent since they perform the same function.

Claim Rejections - 35USC§103

4. The following is a quotation of 35 U.S.C. 103(a) which forms the basis for all

obviousness rejections set forth in this Office action:

(a) A patent may not be obtained though the invention is not identically disclosed or described as set forth in section 102 of this title, if the differences between the subject matter sought to be patented and the prior art are such that the subject matter as a whole would have been obvious at the time the invention was made to a person having ordinary skill in the art to which said subject matter pertains. Patentability shall not be negatived by the manner in which the invention was made.

The factual inquiries set forth in Graham v. John Deere Co., 383 U.S. 1,148 USPQ 459

(1966), that are applied for establishing a background for determining obviousness under 35

U.S.C. 103(a) are summarized as follows:

1. Determining the scope and contents of the prior art. 2. Ascertaining the differences between the prior art and the claims at issue.


Page 105 of 265


Art Unit: 2633

3. Resolving the level of ordinary skill in the pertinent art.

Page 6

4. Considering objective evidence present in the application indicating obviousness or nonobviousness.

5. Claims 21-22, 26-29, 30, 33, 36-39, 40, 43 and 46-49 are rejected under 35 U.S.C. 103(a)

as being unpatentable over Oprea (US 2004/0190636 Al -Provided by the Applicant), in view of

Laroia (US 2004/0166887 Al -Provided by the Applicant).

Regarding claim 21. Oprea teaches a method comprising: forming two or more blocks of output


input multiple-output (MIMO) channel (Oprea -Figures 1, 6a & Abstract. As noted in

Paragraph 17 that Figure 1 is OFDM-MIMO communication system), wherein the forming

comprises inserting training symbols within two or more blocks of information-bearing symbols

(Oprea -Figure 1, Unit 30 "Training Unit," and Figure 6a, Paragraph [0109]); and

transmitting, via two or more antennas, transmission signals in accordance with the two or more

blocks of output symbols (Oprea -Figure 1, Unit 14 "Antenna Array," Paragraph [0036]).

However, Opera does not explicitly disclose based on hopping code, inserting null subcarriers

within two or more blocks of information-bearing symbols, the hopping code directing at least a

portion of the null subcarriers to be inserted at different positions within the two or more blocks

of output symbols.

In a similar field of endeavor, Laroia discloses based on hopping code, inserting null

subcarriers within two or more blocks of information-bearing symbols, the hopping code

directing at least a portion of the null subcarriers to be inserted at different positions within the

two or more blocks of output symbols (Laroia -Figures 2, 7, Abstract & Paragraphs [0084-


Page 106 of 265


Art Unit: 2633

Page 7

89] As illustrated in Figure 7, there are plurality of null subcarriers e.g. Unit 721 and 729 at

Sector SO (block) and in each sector (SO, Sl & S2) the null subcarriers are inserted at

different position (Units 721, 723 & 725). Also, in Paragraph 88 states hopping pattern of

null and pilot tones). At the time the invention was made it would have been obvious to modify

Oprea's Training Unit to involve Null Subcarriers as in Laroia. One ordinary skill in the art

would be motivated to do so to measure inter-cell interference (Laroia -Paragraph [0009]).

Regarding claims 30 and 40. These claims essentially define similar features as claimed in

claim 21. Hence, they are rejected for the same reason as set forth in claim 21.

Regarding claim 22. The combination of Oprea and Laroia teaches the limitations of claim 21.

In addition, Laroia discloses wherein the two or more blocks of output symbols include a first

block of output symbols and a second block of output symbols, and wherein inserting the

training symbols and null subcarriers comprises: inserting a first null subcarrier at a first

subcarrier position within the first block of output symbols, and inserting a second null


first subcarrier position is different from the second subcarrier position (Laroia -Figure 7,

Paragraphs [0084-89] As can be seen in Figure 7, in Sectors (blocks) SO and Sl the Null

tones are inserted at different positions, Units 721 and 723).




Page 107 of 265


Art Unit: 2633

Page 8


Furthermore, Oprea discloses wherein the training symbols within the two or more blocks

collectively provide information for estimating the MIMO channel (Oprea -Figure 1, Unit 36

"Channel Estimation Unit," Paragraphs [0054-58]).



Regarding claim 27. Laroia further discloses wherein inserting the training symbols and the null

subcarriers comprises inserting at least one training symbol adjacent to at least one null

subcarrier (Laroia -Figure 7, Paragraphs [0084-89]).




In addition, Oprea discloses wherein transmitting the transmission signals comprises transmitting

transmission signals for a multi-user wireless communications system (Oprea -Figure 1,

Paragraph [0003] Since the system is MIMO, it is transmitting signals for a multi-user

wireless communications system).


Page 108 of 265


Art Unit: 2633

Page 9



Regarding claim 29. Moreover, Oprea discloses encoding the information-bearing symbols in

space and time within the two or more blocks of output symbols (Oprea -Paragraphs [0003 &

0087]).



6. Claims 23, 34 and 44 are rejected under 35 U.S.C. 103(a) as being unpatentable over

Oprea, in view of Laroia and in further view of Ma (US 2004/0001429 Al -Provided by the

Applicant).

Regarding claim 23. Oprea in Figure 6a and Laroia in Figure 7 disclose wherein the two or

more blocks of output symbols include a first block of output symbols and a second block of

output symbols. However, both do not explicitly specify wherein transmitting the transmission

signals comprises: transmitting, via a first antenna of the two or more antennas, a first

transmission signal in accordance with the first block of output symbols; and transmitting, via a

second antenna of the two or more antennas, a second transmission signal in accordance with the

second block of output symbols. In a similar field of endeavor Ma discloses transmitting, via a

first antenna of the two or more antennas, a first transmission signal in accordance with the first


Page 109 of 265


Art Unit: 2633

Page 10

block of output symbols (Ma -Figure 3, Unit 33 "IFFT," Paragraphs [0152); and transmitting,

via a second antenna of the two or more antennas, a second transmission signal in accordance

with the second block of output symbols (Ma -Figure 3, Unit 34 "IFFT," Paragraphs [0152).

At the time the invention was made it would have been obvious to modify Oprea's Figure 1 and

Laroia's Figure 2 to involve first and second transmission signals via first and second antennas

as in Ma. One ordinary skill in the art would be motivated to do so to provide multiple access

capabilities (Ma -Paragraph [0009]).



7. Claims 24-25, 31-32, 35, 41-42 and 45 are rejected under 35 U.S.C. 103(a) as being

unpatentable over Oprea, in view of Laroia and in further view of Wu (US 2002/0122381 Al -

Provided by the Applicant).


Nonetheless, the combination does not explicitly states wherein transmitting the transmission

signals comprises inserting a cyclic prefix within each of the blocks of output symbols, and

wherein the transmission signals provide information for estimating a carrier frequency offset

associated with received versions of the transmission signals. In a similar field of endeavor Wu

discloses transmitting the transmission signals comprises inserting a cyclic prefix within each of

the blocks of output symbols (Wu -Paragraph [0005]), and wherein the transmission signals


Page 110 of 265


Art Unit: 2633

Page 11

provide information for estimating a carrier frequency offset associated with received versions of

the transmission signals (Wu -Figure 2, Unit 208 "Frequency Offset Correction," Paragraph

[0032]). At the time the invention was made it would have been obvious to modify Oprea's

Figure 1 and Laroia's Figure 2 to involve inserting cyclic prefix as in Wu. One ordinary skill in

the art would be motivated to do so to avoid inter-symbol interference (Wu -Paragraph

[0005]).



Regarding claim 25. Wu further discloses wherein the transmission signals provide information

for estimating a phase noise of the received versions of the transmission signals based on the

estimated carrier frequency offset (Wu -Figure 2, Unit 208 "Frequency Offset Correction,"

Paragraph [0032]).



Regarding claim 31. Moreover, Wu discloses a wireless communication device configured to

receive the transmission signals as received signals, wherein the wireless communication device

is configured to (i) estimate a carrier frequency offset based on the received signals (Wu -

Figure 2, Unit 208 "Frequency Offset Correction," Paragraph [0032]) and (ii) perform


Page 111 of 265


Art Unit: 2633

Page 12

channel estimation of the MIMO channel based on the received signals (Wu -Figure 2, Unit

216 "Channel Estimation," Paragraph [0036]).

Regarding claim 41. This claim essentially defines similar features as claimed in claim 31.

Hence, it is rejected for the same reason as set forth in claim 31.

Conclusions

8. Examiner's Note: Examiner has cited particular columns and line numbers in the

references applied to the claims above for the convenience of the applicants. Although the

specified citations are representative of the teachings of the art and are applied to specific

limitations within the individual claim, other passages and figures may apply as well. It is

respectfully requested from the applicants in preparing responses, to fully consider the references

in their entirety as potentially teaching all or part of the claimed invention, as well as the context

of the passage as taught by the prior art or disclosed by the Examiner.

In the case of amending the claimed invention, Applicant is respectfully requested to

indicate the portion(s) of the specification which dictate(s) the structure relied on for proper

interpretation and also to verify and ascertain the metes and bounds of the claimed invention.


Page 112 of 265


Art Unit: 2633

Page 13

9. Any inquiry concemmg this communication or earlier communications from the

examiner should be directed to SHAWKAT M. ALI whose telephone number is (571) 270-1639.

The examiner can normally be reached on Monday-Thursday 8:00AM-4:00PM EST.

If attempts to reach the examiner by telephone are unsuccessful, the examiner's

supervisor, SAM K. AHN can be reached on (571) 272-3044. The fax phone number for the

organization where this application or proceeding is assigned is 571-273-8300.

Information regarding the status of an application may be obtained from the Patent

Application Information Retrieval (PAIR) system. Status information for published applications

may be obtained from either Private PAIR or Public PAIR. Status information for unpublished

applications is available through Private PAIR only. For more information about the PAIR

system, see http://pair-direct.uspto.gov. Should you have questions on access to the Private PAIR

system, contact the Electronic Business Center (EBC) at 866-217-9197 (toll-free). If you would

like assistance from a USPTO Customer Service Representative or access to the automated

information system, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000.

/SHAWKAT MALI/

Examiner, Art Unit 2633

/SAM KAHN/

Supervisory Patent Examiner, Art Unit 2633


Page 113 of 265

EAST Search History

file:///Cl/U sers/sali/Documents/e-Red%20Folder/13777993/EASTSearchHistory .13777993 _Accessible Version.htm[ 5118/2013 1 :38:22 PM]


Page 114 of 265

EAST Search History

! "20030072452" I "20030081569" I ! "20030156594" I "20030169824" I ! "20040013211" I "20040037214" I i "20040120410" I "20040166887" I i "20040190636" I "20050058217" I !"5127051" I "6088408" I "6188717" I i "6441786" I "6449245" I "6487253" I i "6707856" I "6850481" I "6865175" I

I : "7161973" I "7430243" I "7672384" I i , , i , I i "8064528").PN. I i i l i ~ h~~~~~~~~' ~~~~~~~~~~~~~~~~~~~: ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ ~~~~~~~~~~~~~~~~~~~~~~~~~: ~~~~~~~~~~~~~~~~~~~~~~~~~: ~~~~~~~~~~~~~~~~~~~~ ~~~~~~~~~~~~~~~~~~~~~~~~~~:

1815 149044 ! ("375").CLAS. I u&PGPUB;! OR ! OFF i 2012112128! i i i USPAT· i i i 15·23 i

I I l~~~R; I I I . I ! i ! EPO; JPO; i i l i i i i DERWENT·! i i i

I~ """"""""'_] """""""""""""""""""""""""""""""""""""""""""""J !.~~=I.~~--:-1 """""""""""'_] """"""""J """"""""""""'_] I S16 I 1458 : (370/203).CCLS. I u&PGPUB;! OR : OFF i 2012112128! i i i i USPAT· i i i 15·23 i

I I I l~~~,I I 1 · I ' i : i DERWENT·' ' ' '

I =.1 ................ ..l ............................................................................................ J ~-~~=I.~.~ . .:.i ...................... ...i .................. J ........................ ..!

I 817 518 I,,',,,, (370/295).CUS I ~5AJBt I,,',,,, OFF I ~~~i~12/281 I IFPRS; I I I l__j-~~__j~ I 818 247 I,,',,,, (370/213).CUS I ~5AJBt I,,',,,, OFF I ~~~i~12/281 I l~+I I I 1.......... ) J 1Elf>A~1g§J ) J ;

1 81 9 1114531 ( 370/ 329). o:;L8 I u& ffiAJB; I OR I OFF 12012112128:

l=I J I ~T.I L J523

I

I ~o 1337 I,,',,,, (370/442).(x;L8 I ~AJBr I,,',,,, OFF I ;~1g;12123 I I EFO ,JFO ; I !

!~··················' J1~~~~=J ........................ J ................... ; ;

I ~1 1562 I,,',,,, (370/486).(x;LS I ~~~~B;I OR I,,',,,, OFF I ~~~i~12/281 I I I~~~;! I i IJ~---;J__,~___j llS22 lf2371 il(370/509).CCLS. jfU&PGPUB;ilOR ilOFF lf2012/12/28i



Page 115 of 265

EAST Search History

828 4074 I,,',,,_ (375/267).CCL&

1

~PUBr I,,',,,_ OFF 1

;~1i~12128

1 I EPO; JPO; : ,.··'I .. ··'I I DERWENT;!

; I I BM TDB i ; ; ; ="""""""""''""""""""""""""""""""""""""""""""""""""""""""""''""""="""""""'""""""""""""''"""""""""''"""""""""""""'

829 1432 ! (375/299).0CLS. I u&PGPUB;! OR ! OFF i 201211212s! i I USPAT; i i l 15:24 i : I USOCR; : : I : : I FPRS; : : l : j ! EPO; JPO; i i l ! i i DERWENT! i ' i i I 1 BM TDB , i i ! i

~"""""""""''""""""""""""""""""""""""""""""""""""""""""""""""""'"="""""""'""""""""""""''"""""""""''"""""""""""""''

830 1156 (375/308).0CLS. U&PGPUB; OR OFF l2012/12/28j USPAT; l 15:25 ! USOCR; l i FPRS; l i EPO; JPO; l i DERWENT; l l

~ :



Page 116 of 265

EAST Search History



Page 117 of 265

EAST Search History

1=!'·····························································································1 1~~+.1, ................... , , I 840 633 I,',,,',,,_ (455/464).=s I ~~AJB;I OR I,',,,',,,_ OFF I ~~~ff~121281

''''''''''I I FPRS; : l :

I EPO· JPO· : ,.···'I .. ····'! I DERWENT·! ~ ' :

1020 l,'',,,',,,',,,_ ( 455/ 515). OCLS. i I USPAT· i l 15:26 i I I USOCR· : i '

I IFPRS; , I I I

I= L l~~+,I L L ; I 842 5895 ! (455/522).0CLS. I u&PGPUB;! OR ! OFF i 2012112128! i i i USPAT· i i i 15·26 i

I I l~~R; I I I . I I i I EPO; JPO; i i l i i i i DERWENT·! i i i

1----------· __________________ _! .......................................................................................... J L.~~=!Q.~ ___ :J ........................ .! ................. J __________________________ _!

i 843I180883 ! 815 816 817 818 819 820 821 822 823 i U&PGPUB·i OR l,'',,,,',,,',,,_ ON l 2012/12/28! I I : 824 825 826 827 828 829 830 831 832 I USPAT; 'j h5:27 :

I I 1~~mrn5m6mrnam984o841 l~+,I I i

1 ........ J __________________ ] __________________________________________________________________________________________ ___! !.§~=I.Q§ ___ -1 ________________________ ) ___________________ , __________________________ )

11844 r223 i 843 and ((1raining pilo1 preamble) same i U&ffiAJB;!DR !LJN i 2012/12/28! I I ! (space$time space-time "ST" (space I USPAT ! ! i 15:28 ! I I i adj3 time))) I i i l i

IEJEJ~~r=JEJ~ 118461~1845 and hop$4 I U&PGPUB;JOR _____ ]ICSN·---i 2012/12/28! i IL _______________ _] I USPAT !L ..................... .JL .............. J 15: 31 : I ;;7--·· 24------------·1 ·(~;2aa-2aaa·3·774;:--i--;;2a·a2aa·3·421·3·::--i------------·1 u&'ffipus·;-1 oR------------------1 oN _____________ i 2·c;·1·2i·1·21281 I : "20020080887" I "20020122383" I I USPAT; : : i 15:52 : I : "20020144294" I "20020181390" I I USOCR : : l : I i "20030015521" I "20030012254" I I i i i i I i "20030012255" I "20010053282" I I i i i i I i "20090067534" I "20090238303" I I i i i i I i "20090292510" I "5867478" I "6298035" I i i i i I i I "6359938" I "6473393" I "6654429" I I i i l i I i "7012882" I "7145940" I "7248559" I I i i i i I i "7460466" I "7545734" I "7551546").PN.I i i l i i : OR ("8325836").URPN. I : : i : !~"""""""""'""""""""""""""""""""""""""""""""""""""""""""""''""""""""""""''""""""""""""'"""""""""''"""""""""""""'

I 848 51 : ("20020003774" I "20020034213" I I U&PGPUB;! OR : ON l 2012/12/28! I : "20020080887" I "20020122383" I I USPAT; : : ! 16:38 : I : "20020144294" I "20020181390" I I USOCR : : l : I i "20030015521" I "5867478" I "6298035" I i i i i I i I "6359938" I "6473393" I I i i i i I : "6654429").PN. OR ("7248559").URPN. I : : l : '="""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""'"

I 855 31 (permut$5 near2 matri$3) same (train$4 U&PGPUB; OR ON l 2012/12/29! I pilot preamble) USPAT; l 15:13 ! i USOCR· i i I FPRS; , ! : i EPO· JPO· i i ~ ' ' ~ l



Page 118 of 265

EAST Search History

ll II ll IWs~~~~T;ll ll II I i """"":"""""""""':""""""""""""""""""""""""""""""""""""""""""""""':""'""=""""""":""""""""""""':"""""""""':"""""""""""""':

i 856 i 1081 : (permut$5 near2 matri$3) same (data i U&PGPUB;: OR : ON i 2012/12/29! I I ! symbol inform$?) I USPAT; ! ! ! 15:22 !

I I I l~~~,I I I ! ' i : i DERWENT·' ' ' '

I =-1 ................. J ........................................................................................... ...1 ~-~~=:g_~_J ........................ J ................. J ......................... J

I 507 27 I,,',,,, 505 and 506 I ~~AJBt I,,',,,, ON I ~~~ff~12/291 I IFPRS; I I I l__j-~~__J__j lffiT 54 !("20020106004" I "20020122381" I IU&PGPUB;!OR !ON i2013/05/17! I : "20020122502" I "20020126740" I I USPAT; : : l 09:12 : I : "20020136327" I "20020146078" I I USOCR; : : l : I : "20030072452" I "20030081569" I I FPRS; : : l : I : "20030156594" I "20030169824" I I EPO; JPO; : : l : I : "20040001429" I "5127051" I "6088408" I DERWENT;: : l : I : I "6188717" I "6441786" I "6449245" I I IBM_TDB : : l : I i "6487253" I "6707856" I "6850481" I I i i i i I i "6865175" I "6959010" I "7009931" I I i i i i I i "7065371" I "7161973" I "7 430243" I I i i i i I ................. .l ~?~!.?.~~~:'.J.~:~9-~.?~~?.'~.L~: ............................ .J ........................ .l ........................ .l ................. J ......................... .l EAST Search History (Interference}

<This search history is empty>

5/18/20131:38:12 PM C:\ Users\ sali\ Documents\ EAST\ Workspaces\ Case_92_GG_ 13777993.wsp



Page 119 of 265


Index of Claims 13777993

Examiner

SHAWKAT MALI

Rejected Cancelled N

= Allowed Restricted

D Claims renumbered in the same order as presented by applicant

CLAIM Final Original 05/18/2013

1 -

2 -

3 -

4 -

5 -

6 -

7 -

8 -

9 -

10 -

11 -

12 -

13 -

14 -

15 -

16 -

17 -

18 -

19 -

20 -

21 ,/

22 ,/

23 ,/

24 ,/

25 ,/

26 ,/

27 ,/

28 ,/

29 ,/

30 ,/

31 ,/

32 ,/

33 ,/

34 ,/

35 ,/

36 ,/


Applicant( s )/Patent Under Reexamination

GIANNAKIS ET AL.

Art Unit

2633

Non-Elected A Appeal

Interference 0 Objected

D CPA D T.D. D R.1.47

DATE



Page 120 of 265


Index of Claims 13777993

Examiner

SHAWKAT MALI

Rejected Cancelled N

= Allowed Restricted

D Claims renumbered in the same order as presented by applicant

CLAIM Final Original 05/18/2013

37 ,/

38 ,/

39 ,/

40 ,/

41 ,/

42 ,/

43 ,/

44 ,/

45 ,/

46 ,/

47 ,/

48 ,/

49 ,/



GIANNAKIS ET AL.

Art Unit

2633

Non-Elected A Appeal

Interference 0 Objected

D CPA D T.D. D R.1.47

DATE



Page 121 of 265

BIB DATA SHEET

SERIAL NUMBER FILING or 371 (c) DATE

CLASS

13/777,993 02/26/2013 375

RULE

APPLICANTS Georgios B. Giannakis, Minnetonka, MN; Xiaoli Ma, Auburn, AL; Regents of the University of Minnesota, Saint Paul, MN

** CONTINUING DATA ************************* This application is a CON of 13/301 ,482 11 /21 /2011

which is a CON of 10/850,961 05/21/2004 PAT 8064528 which claims benefit of 60/472,297 05/21 /2003

** FOREIGN APPLICATIONS *************************

Page 1 of 1




GROUP ART UNIT ATTORNEY DOCKET NO.

2633 35841-0004003

** IF REQUIRED, FOREIGN FILING LICENSE GRANTED ** ** SMALL ENTITY ** 03/18/2013

Foreign Priority claimed Oves ~No STATE OR SHEETS TOTAL INDEPENDENT 35 USC 119(a-d) conditions met 0 Yes ~No O Metafter

Allowance COUNTRY DRAWINGS CLAIMS CLAIMS Verified and /SHAWKAT MALI/

MN 13 29 3 Acknowledged Examiner's Signature Initials

ADDRESS

FISH & RICHARDSON P.C. (TC) PO BOX 1022 MINNEAPOLIS, MN 55440-1022 UNITED STATES

TITLE


D All Fees

D 1.16 Fees (Filing)

FILING FEE FEES: Authority has been given in Paper D 1.17 Fees (Processing Ext. of time)

RECEIVED No. to charge/credit DEPOSIT ACCOUNT

1112 No. for following: D 1.18 Fees (Issue)

D Other

D Credit

BIB (Rev. 05/07).


Page 122 of 265


Search Notes 13777993

Examiner

SHAWKAT MALI

CPC-SEARCHED

Symbol


GIANNAKIS ET AL.

Art Unit

2633

Date Examiner

CPC COMBINATION SETS - SEARCHED

Symbol I I

US CLASSIFICATION SEARCHED

Class Subclass 370 203,295,213,329,442,486,509 375 130, 146, 147,259,260,267,299,308,316,346,347,

365 380 274 455 59, 69, 435.2, 456.1, 464, 515, 522

SEARCH NOTES

Search Notes Inventor, Class/Subclass, Keywords, IEEE, Google Search

US Class/ CPC Symbol

I ISHAWKAT Mm E'8m;o.,.Art UM 2633


INTERFERENCE SEARCH

US Subclass I CPC Group

I I

Date I Examiner I


5/17/2013 /SN 5/17/2013 /SN

Date I Examiner 5/17/2013 I /SN

Date Examiner



Page 123 of 265

Sheet _1_ of __12_




(37 CFR ~1.98(b)) 2/26/2013 Unknown



1 5127051 06/1992 Chan et al.


3 6188717 02/2001 Kaiser et al.

4 6441786 08/2002 Jasper et al.

5 6449245 09/2002 Ikeda et al.

6 6487253 11/2002 Jones IV et al.

7 6707856 03/2004 Gardner et al.

8 6850481 02/2005 Wu et al.

9 6865175 03/2005 Ritter

10 6959010 10/2005 Bahrenburg et al.

11 7009931 03/2006 Ma et al.

12 7065371 06/2006 Kleinerman

13 7161973 01/2007 Ghosh

14 7430243 09/2008 Giannakis et al.

15 7672384 03/2010 Giannakis et al.

16 80964528 11/2011 Giannakis et al.

17 20020106004 08/2002 Tan

18 20020122381 09/2002 Wu et al.

19 20020122502 09/2002 El-Gamal et al.

20 20020126740 09/2002 Giannakis et al.

21 20020136327 09/2002 El-Gamal et al.

22 20020146078 10/2002 Gorokhov et al.

23 20030072452 04/2003 Mody et al.

24 20030081569 05/2003 Sexton et al.

25 20030156594 08/2003 Trott et al.

26 20030169824 09/2003 Chayat

27 20040001429 01/2004 Ma et al.






Page 124 of 265

Sheet __l_ of __12_



by Applicant Georgios B. Giannakis et al. (Use several sheets if necessary) Filing Date

(37 CFR ~1.98(b)) 2/26/2013 I Group Art Unit

Unknown



28 20040013211 01/2004 Lindskog et al.

29 20040037214 02/2004 Blasco Claret et al.

30 20040120410 06/2004 Priotti

31 20040166887 08/2004 Laroia et al.

32 20040190636 09/2004 Oprea

33 20050058217 03/2005 Sandhu et al.

Foreign Patent Documents or Published Foreign Patent Applications Examiner Desig. Document Publication Country or Translation

Initial ID Number Date Patent Office Class Subclass Yes No

34

35

Other Documents (include Author, Title, Date, and Place of Publication) Examiner Desig.

Initial ID Document

36 A.P. Clark et al., "Adaptive Channel Estimator for an HF Radio Link," IEEE Transactions On Communications, Vol. 37, No. 9, pp. 918-926, September 1989.

37 Akbar M. Sayeed et al., "Joint Multipath-Doppler Diversity in Mobile Wireless Communications," IEEE Transactions On Communications, Vol. 47, No. 1, pp. 123-132, January 1999.

38 Alexandra Duel-Hallen et al., "Long-Range Predication of Fading Channels," IEEE Signal Processing Magazine, pp. 62-75, May 2000.

39 Amos Lapidoth et al., "Fading Channels: How Perfect Need "Perfect Side Information" be?," in Procedures IEEE Information Theory Communications Workshop, pp. 36-38, June 1999.

Anastasios Stamoulis et al., "Block FIR Decision-Feedback Equalizers for Filterbank Precoded 40 Transmissions with Blind Channel Estimation Capabilities," IEEE Transactions on

Communications, Vol. 49, No. 1, pp. 69-83, January 2001.

41 Anders Furuskar et al., "EDGE: Enhanced Data Rates for GSM and TDMA/136 Evolution," IEEE Personal Communications, Vol. 6, No. 3, pp. 56-66, June 1999.






Page 125 of 265

Sheet _J_ of __12_





Unknown


Initial ID Document

Anna Scaglione et al., "Filterbank Transceivers Optimizing Information Rate in block Transmissions 42 Over Dispersive Channels," IEEE Transactions on Information Theory, Vol. 45, No. 3, pp. 1019-

1032, April 1999.

Anna Scaglione et al., "Redundant Filterbank Precoders and Equalizers Part I: Unification and 43 Optimal Designs," IEEE Transactions on Signal Processing, Vol. 47, No. 7, pp. 1988-2022, July

1999.

Anna Scaglione et al., "Redundant Filterbank Precoders and Equalizers Part II: Blind Channel 44 Estimation, Synchronization, and Direct Equalization," IEEE Transactions on Signal Processing,

Vol. 47, No. 7, pp. 2007-2022, July 1999.

45 Ayman F. Naguib et al., "Increasing Data Rate Over Wireless Channels," IEEE Signal Processing Magazine, Vol. 17, pp. 76-92, May 2000.

46 B. Muquet et al., "Reduced Complexity Equalizers For Zero-Padded OFDM Transmissions," Procedures oflntemational Conference on ASSP, Vol. 5, pp. 2973-2976, June 2000.

47 B.M. Hochwald et al., "Achieving Near-Capacity on a Multiple-Antenna Channel," IEEE Transactions on Communication, Vol. 51, No. 3, pp. 389-399, March 2003.

48 Babak Hassibi et al., "How Much Training Is Needed in Multiple-Antenna Wireless Links?" IEEE Transactions On Information Theory, Vol. 49, No. 4, pgs. 951-963, April 2003.

Ben Lu et al., "Space-Time Code Design in OFDM Systems," in Procedures Global 49 Telecommunications Conference, Vol. 2, San Francisco, CA, pp. 1000-1004, November 27 -

December 1, 2000.

C. Fragouli et al., "Finite-Alphabet Constant-Amplitude Training Sequence for Multiple-Antenna 50 Broadband Transmissions," Procedures of IEEE International Conference on Communications, vol.

1, pp. 6-10, NY City, April 28-May 1, 2002.

C. Fragouli et al., "Reduced-Complexity Training Schemes for Multiple-Antenna Broadband 51 Transmissions," Procedure of Wireless Communications and Networking Conference, Vol. 1, pp.

78-83, March 17-21, 2002.

52 Caire et al., "Bit-Interleaved Coded Modulation," IEEE Transactions on Information Theory, vol. 44, no. 3, pp. 927-946, May 1998.

Cihan Tepedelenlioglu et al., "Transmitter Redundancy for Blind Estimation and Equalization of 53 Time-and Frequency-Selective Channels," IEEE Transactions On Signal Processing, Vol. 48, No. 7,

pp. 2029-2043, July 2000.






Page 126 of 265

Sheet __i_ of __12_





Unknown


Initial ID Document

54 Courville et al., "Blind Equalization of OFDM Systems based on the Minimization of a Quadratic Criterion," Proc. ofICC, Dallas, USA, vol. 3, DD. 1318-1321, June 1996.

55 Cristian Budianu et al., "Channel Estimation for Space-Time Orthogonal Block Codes," IEEE Transactions on Signal Processing, Vol. 50, No. 10, pp. 2515-2528, October 2002.

Dakshi Agrawal et al., "Space-Time Coded OFDM High Data-Rate Wireless Communication Over 56 Wideband Channels," in Procedures on Vehicle Technology Conference, Ottawa, ON, Canada, pp.

2232-2236, May 18-21, 1998.

Dennis L. Goeckel, "Coded Modulation With Non-Standard Signal Sets for Wireless OFDM 57 Systems," in Procedures International Conference Communications, Vancouver, BC, Canada, pp.

791-795, June 1999.

Deva K. Borah et al., "Frequency-Selective Fading Channel Estimation with a Polynomial Time-58 Varying Channel Model," IEEE Transactions On Communications, Vol. 47, No. 6, pp. 862-873,

June 1999.

59 E. Lindskog et al, "A Transmit Diversity Scheme for Channels With Intersymbol Interference," Procedures ofICC, Vol. 1, pp. 307-311, June 2000.

60 Emanuele Viterbo et al., "A Universal Lattice Code Decoder for Fading Channels," IEEE Transactions on Information Theory, Vol. 45, No. 5, pp. 1639-1642, July 1999.

61 Ezio Biglieri et al., "Fading Channels: Information-Theoretic and Communications Aspects," IEEE Transactions on Information Theory, Vol. 44, No. 6, pp. 2619-2692, October 1998.

62 Frederick W. Vook et al., "Transmit Diversity Schemes for Broadband Mobile Communication Systems," Procedures of IEEE VTC, Vol. 6, pp. 2523-2529, 2000.

Fredrik Tufvesson et al., "OFDM Time and Frequency Synchronization by Spread Spectrum Pilot 63 Technique," in Procedures 8th Communication Theory Mini-Conference, Vancouver, BC, Canada,

pp. 1-5, June 1999.

64 Frenger et al., "Decision-Directed Coherent Detection in Multicarrier Systems on Rayleigh Fading Channels," IEEE Trans. On Vehicular Tech., vol. 48, no. 2, pp. 490-498, March 1999.

65 G.J. Saulnier et al, "Performance of an OFDM Spread Spectrum Communications system Using Lapped Transforms," in Proc. MILCOM Conf., Vol. 2, 1997, pp. 608-612.

66 G.J. Saulnier et al., "Performance of a Spread Spectrum OFDM System in a Dispersive Fading Channel with Interference," in Proc. MILCOM Conf., Vol. 2, 1998, pp. 679-683.






Page 127 of 265

Sheet _j_ of __12_





Unknown


Initial ID Document

Georgios B. Giannakis et al., "Basis Expansion Models and Diversity Techniques for Blind 67 Identification and Equalization of Time-Varying Channels," Proceedings of the IEEE, Vol. 86, No.

10, pp. 1969-1986, October 1998.

68 Georgios B. Giannakis, "Cyclostationary Signal Analysis," The Digital Signal Processing Handbook, V.K. Madisetti and D. Williams, Eds. Boca Raton, FL: CRC, Chapter 17, 1998.

69 Georgios B. Giannakis, "Filterbanks for Blind Channel Identification and Equalization," IEEE Signal Processing Letters, Vol. 4, No. 6, pp. 184-187, June 1997.

Gerard J. Foschini, "Layered Space-Time Architecture for Wireless Communications in a Fading 70 Environment When Using Multi-Element Antennas," Bell Labs Technical Journal, Vol. 1, No. 2, pp.

41-59, 1996.

71 Ghassan Kawas Kaleh, "Channel Equalization for Block Transmission Systems," IEEE Journal on Selected Areas In Communications, Vol. 13, No. 1, pp. 110-121, January 1995.

72 H. Vikalo et al., "Optimal Training for Frequency-Selective Fading Channels," Procedures of International Conference on ASSP, Salt Lake City, Utah, Vol. 4, pp. 2105-2108, May 7-11, 2001.

73 H. Vincent Poor, "Probability of Error in MMSE Multiuser Detection," IEEE Transaction on Information Theory, Vol. 43, No. 3, pp. 858-871, May 1997.

74 Heath, Jr. et al., "Exploiting Input Cyclostationarity for Blind Channel Identification in OFDM Systems," IEEE Transactions on Signal Processing, vol. 47, no. 3, PP. 848-856, March 1999.

Helmut Bolcskei et al., "Blind Channel Identification and Equalization in OFDM-Based 75 Multiantenna Systems, "IEEE Transactions on Signal Processing, Vol. 50, No. 1, pp. 96-109,

January 2002.

76 Helmut Bolcskei et al., "Space-Frequency Coded Broadband OFDM Systems," Invited paper, presented at IEEE WCNC 2000, Chicago, pp. 1-6, September 2000.

77 Helmut Bolcskei et al., "Space-Frequency Codes for Broadband Fading Channels," in International Symposium Information Theory, Washington, DC, 1 page, June 2001.

78 Hikmet Sari et al., "Transmission Techniques for Digital Terrestial TV Broadcasting," IEEE Communications Magazine, vol. 33, pp. 100-103, February 1995.

79 Hui Liu et al., "A High-Efficiency Carrier Estimator For OFDM Communications," IEEE Communications Letters, Vol. 2, No. 4, pp. 104-106, April 1998.






Page 128 of 265

Sheet _Q_ of __12_





Unknown


Initial ID Document

I. Barhumi et al., "Optimal Training Sequences for Channel Estimation in MIMO OFDM Systems in

80 Mobile Wireless Communications," Procedures of International Zurich Seminar on Access, Transmission, Networking of Broadband Communications, 6 pgs., ETH Zurich, Switzerland, February 19-21, 2002.

81 I. Koffman et al., "Broadband Wireless Access Solutions Based on OFDM Access in IEEE 802.16," IEEE Communications Magazine, Vol. 40, No. 4, pp. 96-103, April, 2002.

82 I.Emre Telatar, "Capacity of Multiple-Antenna Gaussian Channels," European Transactions Telecommunications, Vol. 10, pp. 1-28, November-December 1998.

J. Boutros et al., "Signal Space Diversity: A Power And Bandwidth Efficient Diversity Technique 83 for the Rayleigh Fading Channel," IEEE Transactions Information Theory, Vol. 44, pp. 1-34, July

1998.

James K. Cavers, "An Analysis of Pilot Symbol Assisted Modulation for Rayleigh Fading 84 Channels," IEEE Transactions On Vehicular Technology, Vol. 40, No. 4, pp. 686-693, November

1991.

85 James K. Cavers, "Pilot Symbol Assisted Modulation and Differential Detection in Fading and Delay Spread," IEEE Transactions On Communications, Vol. 43, No. 7, pp. 2206-2212, July 1995.

Jens Baltersee et al., "Achievable Rate ofMIMO Channels With Data-Aided Channel Estimation 86 and Perfect interleaving," IEEE Journal on Selected Areas In Communication, Vol. 19, No. 12,

2358-2368, December 2001.

Jerome A. Gansman et al., "Optimum and Suboptimum Frame Synchronization for Pilot-Symbol-87 Assisted Modulation," IEEE Transactions on Communciations, vol. 45, No. 10, pp. 1327-1337,

October 1997.

Jiann-Cing Guey et al., "Signal Design for Transmitter Diversity Wireless Communication Systems 88 Over Rayleigh Fading Channels," IEEE Transactions on Communications, Vol. 47, No. 4, pp. 527-

537, April 1999.

Jitendra K. Tugnait et al., "Second-Order Statistics-Based Blind Equalization ofIIR Single-Input 89 Multiple-Output Channels with Common Zeros," IEEE Transactions On Signal Processing, Vol. 47,

No. 1, pp. 147-157, January 1999.

90 John A.C. Bingham, "Multicarrier Modulation for Data Transmission: An Idea Whose Time Has Come," IEEE Communications Magazine, pp. 5-14, May 1990.






Page 129 of 265

Sheet _J_ of __12_





Unknown


Initial ID Document

91 Jonathan H. Manton et al., "Affine Precoders for Reliable Communications," in Procedures International Conference ASSP, Vol. 5, Istanbul, Turkey, pp. 2749-2752, June 2000.

L. Wei et al., "Space-Time-Frequency Block Coding Over Rayleigh Fading Channels For OFDM 92 Systems," Proceedings of the International Conference on Communication Technology, ICCT 2003,

Vol. 2, pp. 1008-1012, April 2003.

L. Wei et al., "Synchronization Requirements for Multi-user OFDM on Satellite Mobile and Two-93 Path Rayleigh Fading Channels," IEEE Transactions on Communications, Vol. 43, no. 21314, pp.

887-895, Feb-Apr 1995.

Linda M. Davis et al., "Joint MAP Equalization and Channel Estimation for Frequency-Selective 94 and Frequency-Flat Fast-Fading Channels," IEEE Transactions On communications, Vol. 49, No.

12, pp. 2106-2114, December 2001.

Lizhong Zheng et al., "Communication on the Grassmann Manifold: A Geometric Approach to the 95 Noncoherent Multiple-Antenna Channel," IEEE Transactions On Information Theory, Vol. 48, No.

2, pp. 359-383, February 2002.

M. Guillaud et al., "Multi-Stream Coding for MIMO OFDM Systems With Space-Time-Frequency 96 Spreading," Wireless Personal Multimedia Communications, the 5th International Symposium, Vol.

1, pp. 120-124, October 27-30, 2002.

97 Magnus Sandell et al., "A Comparative Study of Pilot-Based Channel Estimators for Wireless OFDM," pp. 5-34, September 1996.

Martin V. Clark, "Adaptive Frequency-Domain Equalization and Diversity Cobmining for 98 Broadband Wireless Communications", IEEE Journal on Selected Areas in Communications, Vol.

16, No. 8, pp. 1385-1395, October 1998.

Massimiliano (Max) Martone, "Wavelet-Based Separating Kernels for Sequence Estimation with 99 Unknown Rapidly Time-Varying Channels," IEEE Communications Letter, Vol. 3, No. 3, pp. 78-80,

March 1999.

100 Michail K. Tsatsanis et al., "Equalization of Rapidly Fading Channels: Self-Recovering Methods," IEEE Transactions on Communications, Vol. 44, No. 5, pp. 619-630, May 1996.

101 Michail K. Tsatsanis et al., "Modelling and Equalization of Rapidly Fading Channels," International Journal of Adaptive Control and Signal Processing, Vol. 10, pp. 159-176, May 1996.






Page 130 of 265

Sheet __L of __12_





Unknown


Initial ID Document

Michail K. Tsatsanis et al., "Pilot Symbol Assisted Modulation in Frequency Selective Fading 102 Wireless Channels," IEEE Transactions On Signal Processing, Vol. 48, No. 8, pp. 2353-2365,

August 2000.

103 Michele Morelli et al., "Carrier-Frequency Estimation for Transmissions Over Selective Channels," IEEE Transactions On Communications, Vol. 48, No. 9, DD. 1580-1589, September 2000.

104 Mignone et al., "CD3-0FDM: A Novel Demodulation Scheme for Fixed and Mobile Receivers," IEEE Transactions on Communications, vol. 44, no. 9, nn. 1144-1151, SeDtember 1996.

105 Min Dong et al., "Optimal Design and Placement of Pilot Symbols for Channel Estimation," IEEE Transactions On Signal Processing, Vol. 50, No. 12, pp. 3055-3069, December 2002.

Muquet et al., "A Subspace Based Blind and Semi-Blind Channel Identification Method for OFDM 106 Systems," Proc. of IEEE-SP Workshop on Signal Proc. Advances in Wireless Comm., Annapolis,

MD, DD. 170-173, May 9-12, 1999. Muquet et al., "OFDM with Trailing Zeros Versus OFDM with Cyclic Prefix: Links, Comparisons

107 and Application to the Hiperlan/2 Systems," Proc. oflntl. Conf. On Com., New Orleans, pp. 1049-1053, June 2000.

Muriel Medard, "The Effect Upon Channel Capacity in Wireless Communications of Perfect and 108 Imperfect Knowledge of the Channel," IEEE Transactions on Information Theory, Vol. 46, No. 3,

pp. 933-946, May 2000.

N. Yee et al., "BER of Multi-Carrier CDMA in an Indoor Rician Fading Channel," Conference 109 Record of the Twenty-Seventh Asilomar Conference on Signals, Systems and Computers, pp. 426-

430, 1993.

110 Oussama Darnen et al., "Lattice Code Decoder for Space-Time Codes," IEEE Communication Letters, Vol. 4, No. 5, pp. 161-163, May 2000.

Naofal Al-Dhahir et al., "Block Transmission Over Dispersive Channels: Transmit Filter 111 Optimization and Realization, and MMSE-DFE Receiver Performance," IEEE Transactions

Information Theory, Vol. 42, No. 1, pp. 137-160, January 1996.

112 P. Xia et al., "Bandwidth-and Power-Efficient Multicarrier Multiple Access," IEEE Transactions On Communications, Vol. 51, No. 11, pp. 1828-1837, November 2003.

Paul H. Moose, "A Technique for Orthogonal Frequency Division Multiplexing Frequency Offset 113 Correction," IEEE Transactions On Communications, Vol. 42, No. 10, pp. 2908-1314, October

1994.

114 Peter Hoeher et al., "Channel Estimation with Superimposed Pilot Sequence," in Procedure GLOBECOM Conference, Brazil, pp. 1-5, December 1999.






Page 131 of 265

Sheet _2_ of __12_





Unknown


Initial ID Document

Peter Hoeher et al., "Two-Dimensional Pilot-Symbol-Aided Channel Estimation by Wiener 115 Filtering," Procedures of International Conference on Acoustics, Speech and Signal Processing,

Munich, Germany, vol. 3, pp. 1845-1848, April 1997.

Peter Schramm et al., "Pilot Symbol Assisted BPSK on Rayleigh Fading Channels with Diversity: 116 Performance Analysis and Parameter Optimization," IEEE Transactions on Communications, Vol.

46, No. 12, pp. 1560-1563, December 1998.

117 Peter Schramm, "Analysis and Optimization of Pilot-Channel-Assisted BPSK for DS-CDMA Systems," IEEE Transactions Communications, Vol. 46, No. 9, pp. 1122-1124, September 1998.

118 Qinfang Sun et al., "Estimation of Continuous Flat Fading MIMO Channel," IEEE Transactions On Wireless Communications, Vol. 1, No. 4, pp. 549-553, October 2002.

119 Robert Molten Gray, "On the Asymptotic Eigenvalue Distribution ofToeplitz Matrices," IEEE Transactions On Information Theory, Vol. IT-18, No. 6, pp. 725-730, November 1972.

120 Rohit Negi et al., "Pilot Tone Selection for Channel Estimation in a Mobile OFDM System," IEEE Transactions On Consumer Electronics, Vol. 44, No. 3, pp. 1122-1128, August 1998.

121 Ruiz et al., "Discrete Multiple Tone Modulation with Coset Coding for the Spectrally Shaped Channel," IEEE Transactions on Communications, vol. 4, no. 6, PP. 1012-1029, June 1992.

S. Kaiser et al., "A Flexible Spread-Spectrum Multi-Carrier Multiple-Access System for Multi-122 Media Applications," in Procedures of 8th IEEE International Symposium PIMRC, Vol. 1, 1997, pp.

100-104.

123 S. Zhou et al, "Frequency-Hopped Generalized MC-CDMA for Multipath and Interference Suppression," in Proc. MILCOM Conf., Vol. 2, Los Angeles, CA October 22-25, 2000, pp. 937-941.

S.N. Diggavi et al., "Differential Space-Time Coding for Frequency-Selective Channels," 124 Procedures of361

h Conference on Information Sciences and Systems, pp. 1-8, Princeton University, NJ, March 20-22, 2002.

125 Sergio Benedetto et al., "Principles of Digital Transmission with Wireless Applications," Kluwer Academic/Plenum Publishers, 1 pg., 1999.

Shengli Zhou et al., "Space-Time Coding With Maximum Diversity Gains Over Frequency-126 Selective Fading Channels," IEEE Signal Processing Letters, Vol. 8, No. 10, pp. 269-272, October

2001.

127 Shengli Zhou et al., "Subspace-Based (Semi-) Blind Channel Estimation for Block Precoded Space-Time OFDM," IEEE Transactions On Signal Processing, Vol. 50, No. 5, pp. 1215-1228, May 2002.






Page 132 of 265

Sheet _lQ_ of __12_





Unknown


Initial ID Document

128 Shuichi Ohno et al., "Average-Rate Optimal PSAM Transmissions Over Time-Selective Fading Channels," IEEE Transactions On Wireless Communications, pp. 374-378, October 2002.

Shuichi Ohno et al., "Capacity Maximizing MMSE-Optimal Pilots for Wireless OFDM Over 129 Frequency-Selective Block Rayleigh- Fading Channels," IEEE Transactions On Information Theory,

pp. 2138-2145, Vol. 50, No. 9, September 2004.

Shuichi Ohno et al., "Optimal Training and Redundant Precoding For Block Transmissions With 130 Application to Wireless OFDM," IEEE Transactions on Communications, Vol. 50, No. 12, pp.

2113-2123, December 2002.

131 Siavash M. Alamouti, "A Simple Transmit Diversity Technique For Wireless Communications," IEEE Journal on Select Areas In Communications, Vol. 16, No. 8, pp. 1451-1458, October 1998.

132 Srihari Adireddy et al, "Optimal Placement of Training for Frequency-Selective Block-Fading Channels," IEEE Transactions On Information Theory, Vol. 48, No. 8, pp. 2338-2353, August 2002.

Srihari Adireddy et al., "Detection With Embedded Known Symbols: Optimal Symbol Placement 133 and Equalization," In Procedures oflntemational Conference ASSP, Vol. 5, Istanbul, Turkey, pp.

2541-2544, June 2000.

134 Srihari Adireddy et al., "Optimal Embedding of Known Symbols for OFDM," in Procedures International Conference, ASSP, Vol. 4, Salt Lake City, UT, May 2001.

Srikrishna Bhashyam et al., "Time-Selective Signaling and Reception for Communication Over 135 Multipath Fading Channels," IEEE Transactions On Communications, vol. 48, no. 1, pp. 1-34,

January 2000.

Stefan A. Fechtel et al., "Optimal Parametric Feedforward Estimation of Frequency-Selective 136 Fading Radio Channels," IEEE Transactions on Communications, vol. 42, no. 21314, pp. 1639-1650,

February/March/April, 1994.

137 Stephan Baro et al., "Improved Codes for Space-Time Trellis Coded Modulation," IEEE Communication Letters, Vol. 4, pp. 1-3, January 2000.

Tai-Lai Tung et al., "Channel Estimation and Adaptive Power Allocation for Performance and

138 Capacity Improvement of Multiple-Antenna OFDM Systems," Third IEEE Signal Processing Workshop on Signal Processing Advances in Wireless Communications, Taoyuan, Taiwan, pp. 82-85, March 20-23, 2001.

139 Thomas Kailath, "Measurements on Time-Variant Communication Channels," IEEE Transactions On Information Theory, Vol. IT-8, pp. S229-S236, September 1962.






Page 133 of 265

Sheet _lL of __12_





Unknown


Initial ID Document

Thomas Keller et al., "Adaptive Multicarrier Modulation: A Convenient Framework for Time-140 Frequency Processing in Wireless Communications," IEEE Procedings of the IEEE, Vol. 88, No. 5,

pp. 611-640, May 2000.

Thomas L. Marzetta and Bertrand M. Hochwald, "Capacity of a Mobile Multiple-Antenna 141 Communication Link in Rayleigh Flat Fading," IEEE Transactions on Information Theory, Vol. 45,

pp. 1-38, January 1999.

Thomas P. Holden et al., "A Spread-Spectrum Based Synchronization Technique for Digital 142 Broadcast Systems," IEEE Transactions on Broadcasting, Vol. 36, No. 3, pp. 185-194, September

1990.

143 Tufvesson et al. "Pilot Assisted Channel Estimation for OFDM in Mobile Cellular Systems," Proc. of the Vehicular Technology Conf., Phoenix, USA, vol. 3, pp. 1639-1643, May 1997.

144 U.S. Provisional Application No. 60/449,729, p. 1-25, filed on February 24, 2003

145 U.S. Provisional Application No. 60/472,297, 6 pages, filed May 21, 2003

146 Ufuk Tureli et al., "OFDM Blind Carrier Offset Estimation: ESPRIT," IEEE Transactions On Communications, Vol. 48, No. 9, pp. 1459-1461, September 2000.

Vahid Tarokh et al., "Space-Time Block Codes from Orthogonal Designs," IEEE Transactions on 147 Information Theory, Vol. 45, No. 5,

pp. 1456-1467, July 1999.

Vahid Tarokh et al., "Space-Time Codes for High Data Rate Wireless Communication: Performance 148 Criterion and Code Construction," IEEE Transactions on Information Theory, Vol. 44, No. 2, pp.

744-765, March 1998.

149 van de Beek et al., "On Channel Estimation in OFDM Systems," Proc. of the Vehicular Technology Conf., Chicago, USA, vol. 2, pp. 815-819, July, 1995.

150 van Nee et al., "New High-Rate Wireless LAN Standards," IEEE Communications Magazine, vol. 37, no. 12, pp. 82-88, December 1999.

151 W.Y. Zou et al., "COFDM: An Overview," IEEE Transactions on Broadcasting, Vol. 41, No. 1, pp. 1-8, March 1995.

Wen-Yi Kuo et al., "Frequency Offset Compensation of Pilot Symbol Assisted Modulation in 152 Frequency Flat Fading," IEEE Transactions on Communications, Vol. 45, No. 11, pp. 1412-1416,

November 1997.






Page 134 of 265

Sheet __lL of __12_





Unknown


Initial ID Document

153 Werner Kozek, "On the Transfer Function Calculus for Underspread LTV Channels," IEEE Transactions On Signal Processing, Vol. 45, No. 1, pp. 219-223, January 1997.

Won-Joon Choi et al., "Multiple Input/Multiple Output (MIMO) Equalization for Space-Time Block 154 Coding," IEEE Pacific Rim Conference on Communications, Computers and Signal Processing, pp.

341-344, 1999.

155 Won-Joon Choi et al., "Space-Time Block Codes Over Frequency Selective Rayleigh Fading Channels," IEEE VTC, Vol. 5, pp. 2541-2545, 1999.

X. Ma et al., "Optimal training for MIMO frequency-selective fading channels," Conference Record 156 of the Thirty-Sixth Asilomar Conference on Signals, Systems and Computers, Pacific Grove, CA

Nov. 3-6, 2002, vol. 2, pages 1107-1111.

157 Xavier Giraud et al., "Algebraic Tools To Build Modulation Schemes for Fading Channels," IEEE Transactions on Information Theory, Vol. 43, No. 3, pp. 938-952, May 1997.

158 Xiaodong Wang et al., "Iterative (Turbo) Soft Interference Cancellation and Decoding for Coded CDMA," IEEE Transactions on Communications, Vol. 47, No. 7, pp. 1046-1061, July 1999.

159 Xiaoli Ma et al., "Maximum Diversity Transmissions Over Doubly Selective Wireless Channels," IEEE Transactions On Information Theory, vol. 49, No. 7, pp. 1832-1840, July 2003.

Xiaoli Ma et al., "Non-Data-Aided Carrier Offset Estimators for OFDM With Null Subcarriers: 160 Identifiability, Algorithms, and Performance," IEEE Journal On Selected Areas In Communications,

Vol. 19, No. 12, pp. 2504-2515, December 2001.

Xiaoli Ma et al., "Optimal Training for Block Transmissions Over Doubly Selective Wireless 161 Fading Channels," IEEE Transactions on Signal Processing, Vol. 51, No. 5, pp. 1351-1366, May

2003.

162 Xiaoli Ma et al., "Optimal Training for MIMO Frequency-Selective Fading Channels," IEEE Transactions on Wireless Communications, Vol. 4, No. 2, March 2005, 14 pages.

Y. Gong et al., "Space-Frequency-Time Coded OFDM for Broadband Wireless Communications," 163 Global Telecommunications Conference, GLOBECOM '01, IEEE, Vo. 1, pp. 519-523, November

25-29, 2001.

164 Y. Xin et al., "Space-Time Constellation-Rotating Codes Maximizing Diversity and Coding Gains," in Procedures of Global Telecommunications Conference, Nov. 2001, pp. 455-459.






Page 135 of 265

Sheet _ll_ of __12_





Unknown


Initial ID Document

Yan Xin et al., "Linear Unitary Precoders for Maximum Diversity Gains with Multiple Transmit and 165 Receive Antennas," Procedure of 34th Asilomar Conference on Signals, Systems, and Computers,

pp. 1553-1557, Pacific Grove, CA, October 29-November 1, 2000.

166 Yan Xin et al., "Space-Time Diversity Systems Based on Linear Constellation Precoding," IEEE Transactions On Wireless Communications, Vol. 2, No. 2, pgs. 294-309, March 2003.

Yan Xin et al., "Space-Time Diversity Systems Based on Unitary Constellation-Rotating Precoders," 167 in Procedures International Conference, Speech, Signal Process., Salt Lake City, UT, pp. 2429-2432,

May 7-11, 2001,

Ye (Geoffrey) Li et al., "Transmitter Diversity for OFDM Systems and Its Impact on High-Rate 168 Data Wireless Networks," IEEE Journal on Selected Areas In Communications, Vol. 17, No. 7, pp.

1233-1243, July 1999.

Ye (Geoffrey) Li, "Simplified Channel Estimation for OFDM Systems With Multiple Transmit 169 Antennas," IEEE Transactions On Wireless Communications, Vol. 1, No. 1, pp. 67-75,January

2002.

Ye (Geoffrey) Li, Nambirajan Seshadri, and Sirikiat Ariyavisitakul, "Channel Estimation for OFDM 170 Systems with Transmitter Diversity in Mobile Wireless Channels," IEEE Journal on Selected Areas

in Communications, Vol. 17, No. 3, pp. 461-471, March 1999.

171 Y oujian Liu et al., "Space-Time Codes Performance Criteria and Design for Frequency Selective Fading Channels," International Conference on Communications (ICC) 2001, 5 pages.

172 Yuan-Pei Lin et al., "Block Based DMT Systems With Reduced Redundancy," Procedures of International Conference on ASSP, Salt Lake City, UT, pp. 2357-2360, May 2001.

173 Yuze Zhang et al., "A Performance Analysis and Design of Equalization with Pilot Aided Channel Estimation," Procedures of the 47th Vehicular Technology Conference, Vol. 2, pp. 720-724, 1997.

Yuze Zhang et al., "Soft Output Demodulation on Frequency-Selective Rayleigh Fading Channels 174 Using AR Channel Models," Procedures of Global Communications Conference, Vol. 1, pp. 327-

331, 1997.

175 Z. Wang et al., "Complex-Field Coding for OFDM Over Fading Wireless Channels," IEEE Transactions on Information Theory, Vol. 49, No. 3, pp. 707-720, March 2003.

176 Z. Wang et al., "Joint Coding-Precoding with Low-Complexity Turbo Decoding," IEEE Transactions on Wireless Communications, Vol. 3, No. 4, pp. 832-842, May 2004, 11 pages.






Page 136 of 265

Sheet _H_ of __12_





Unknown


Initial ID Document

Zhengdao Wang et al., "Linearly Precoded or Coded OFDM Against Wireless Channel Fades?," 177 Third IEEE Signal Processing Workshop on Signal Processing Advances in Wireless

Communications, Taoyuan, Taiwan, pp.267-270, March 20-23, 2001.

178 Zhengdao Wang et al., "Optimality of Single-Carrier Zero-Padded Block Transmissions," Procedures of Wireless Communications and Networking Conference, Vol. 2, pp. 660-664, 2002.

179 Zhengdao Wang et al., "Wireless Multicarrier Communications: Where Fourier Meets Shannon," IEEE Signal Processing Magazine, Vol. 17, pp. 29-48, May 2000.

Zhiqiang Liu et al., "Linear Constellation Precoding for OFDM with Maximum Multipath Diversity 180 and Coding Gains," IEEE Transactions On Communications, Vol. 51, No. 3, pp. 416-427, March

2003.

Zhiqiang Liu et al., "Space-Time Block-Coded Multiple Access Through Frequency-Selective 181 Fading Channels," IEEE Transactions on Communications, Vol. 49, No. 6, pp. 1033-1044, June

2001.

Zhiqiang Liu et al., "Space-Time Coding With Transmit Antennas for Multiple Access Regardless 182 of Frequency-Selective Multipath," Procedures of Sensor Arry and Multichannel Signal Processing

Workshop, pp. 178-182, March 2000.

183 Zhiqiang Liu et al., "Space-Time-Frequency Coded OFDM Over Frequency-Selective Fading Channels, IEEE Transactions on Signal Processing, Vol. 50, No. 10, pp. 2465-2476, October 2002.

Zhiqiang Liu et al., "Transmit-Antennae Space-Time Block Coding for Generalized OFDM in the 184 Presence of Unknown Multipath," IEEE Journal on Selected Areas In Communications, Vol. 19, No.

7, pp. 1352-1364, July 2001.

185 Zhiqiang Liu, et al., "Space-Time Coding for Broadband Wireless Communications," Wireless Communication Mobile Computers, Vol. 1, No. 1, pp. 33-53, January-March, 2001.

186 Zhou et al., "Long Codes for Generalized FH-OFDMA Through Unknown Multipath Channels," IEEE Transactions on Communications, vol. 49, no. 4, pp. 721-733, February 2001

A. Scaglione, G. B. Giannakis, and S. Barbarossa, "Minimum Redundancy Filterbank Precoders for 187 Blind Channel Identification Irrespective of Channel Nulls," Proc. of IEEE Wireless Comm. and

Networking Conference (WCNC'99), pp. 785-789, New Orleans, LA, September 21-24, 1999.

188 ETSI, "Broadband Radio Access Networks (BRAN); HIPERLAN Type 2; Physical (PHY) layer," ETSI TS 101 475 Vl.2.2, 2001, 41 pages.






Page 137 of 265

Sheet _12_ of _12_





Unknown


Initial ID Document

IEEE Std 802.l la-1999, "Supplement to IEEE Standard for Information technology-Telecommunications and information exchange between systems - Local and metropolitan area

189 networks - Specific requirements Part 11: Wireless LAN Medium Access Control (MAC) and Physical Layer (PHY) specifications High-speed Physical Layer in the 5 GHz Band," 1999, 91 pages.

IEEE Std 802. l lg-2003, "IEEE Standard for Information technology - Telecommunications and information exchange between systems - Local and metropolitan area networks - Specific

190 requirements Part 11: Wireless LAN Medium Access Control (MAC) and Physical Layer (PHY) specifications Amendment 4: Further Higher Data Rate Extension in the 2.4 GHz Band," 2003, 78 pages.

M. Ghogho, A. Swami, and G. B. Giannakis, "Optimized Null-Subcarrier Selection for CFO 191 Estimation in OFDM over Frequency-Selective Fading Channels," Proc. ofGLOBECOM, vol. 1,

pp. 202-206, San Antonio, TX, November 25-29, 2001.

X. Ma, C. Tepedelenlioglu, and G. B. Giannakis, "Consistent Blind Synchronization ofOFDM

192 Transmissions using Null Subcarriers with Distinct Spacings," Proc. of 3rd IEEE Workshop on Signal Processing Advances in Wireless Communications, pp. 146-149, Taoyuan, Taiwan, R.O.C, March 20-23, 2001.

Examiner Signature /Shawkat A!i/

I Date Considered 05/18i2013





Page 138 of 265




Georgios B. Giannakis et al. Art Unit Unknown 13/777,993 Examiner Unknown February 26, 2013 Conf. No. 1348 ESTIMATING FREQUENCY-OFFSETS AND MULTI-ANTENNA CHANNELS IN MIMO OFDM SYSTEMS

Commissioner for Patents P.O. Box 1450 Alexandria, VA 22313-14 5 0

SUPPLEMENTAL PRELIMINARY AMENDMENT

Prior to examination, please amend the application as indicated on the following pages.


Page 139 of 265





Please replace paragraph [0002] with the following amended paragraph:

[0002] This invention was made with Government government support under Agency Grant No.

CCR 01 05612CCR-0105612 awarded by the National Science Foundation and with

Government SUJ9)90rt under l\:gency Grant No. DAAD19-01-2-0011 awarded by the Army

Research Lab (ARL/CTA). The Government government has certain rights in the invention.


Page 140 of 265




REMARKS

Entry of the above amendment is respectfully requested. No new matter has been added.

Please apply any other necessary charges or credits to Deposit Account 06-1050,

referencing the above attorney docket number.

Date:May 14, 2013


11281047.doc




Page 141 of 265


EFSID: 15776919







Filer: W. Karl Renner/Michelle Melendez



Receipt Date: 14-MAY-2013






File Listing:



62060

1 Supplemental_Preliminary_Am

yes 3 end ment.pdf

6501 cl 8ff565b8667240dd3c8dea 1 f27eafb Obbc


Page 142 of 265



Supplemental Response or Supplemental Amendment 1 1

Specification 2 2


Warnings:

Information:







Page 143 of 265


EFSID: 15677386
















File Listing:



590791

1 Non Patent Literature 61 _NPL_96.pdf no 6 989c7 ca45e7073d21 afea366345c0df0b094

a9f5

Warnings:

Information:


Page 144 of 265

888077

2 Non Patent Literature 62_NPL_97.pdf no 33 b9e873b3431 ceea75c0575da9dbab5d631

45a0bb

Warnings:

Information:

895162

3 Non Patent Literature 63_NPL_98.pdf no 14 85 a04 78ba2d 5 2a8a9afe 19b4c68c00bd0e8

5daa8

Warnings:

Information:

260140

4 Non Patent Literature 64_NPL_99.pdf no 3 6f7 c2 7 a48fa 15 d df528f2 9e0c3fb8ef6a3 096

ofS

Warnings:

Information:

879599

5 Non Patent Literature 65_NPL_ 100.pdf no 13 9965 6d084405 53 861 623 ac8986d 873 8c77 c

02ae5

Warnings:

Information:

1453366

6 Non Patent Literature 66_NPL_ 101.pdf no 19 2e2e46fe04155da4265ab5f0208d 113d776

594f0

Warnings:

Information:

995331

7 Non Patent Literature 67_NPL_102.pdf no 14 b6edb4250f89c003e80089127 cac526cc1 6

e0a6

Warnings:

Information:

696965

8 Non Patent Literature 68_NPL_ 103.pdf no 11 6 7ba08c5 beb6c7 a 7 Sd bd 399b6 7 342 cc37 n

776d7

Warnings:

Information:

683225

9 Non Patent Literature 69_NPL_ 104.pdf no 9 ca838e3 d c03 5a4822313 2e2fb8a4 5 ce6728

25b67

Warnings:

Information:

1026503

10 Non Patent Literature 70_NPL_ 105.pdf no 16 625e888c852 6fd db6a948795 79b02 99 5 81 5

fafeO

Warnings:

Information:


Page 145 of 265

278237

11 Non Patent Literature 71_NPL_ 106.pdf no 4 266efeffda 13cd2f8ceeed 181 b850c616ab8

14e4

Warnings:

Information:

349766

12 Non Patent Literature 72_NPL_ 107.pdf no 5 9a04eee4fff0f7 4 98f4 3 006a 79f367ee28d1 d

702

Warnings:

Information:

1110892

13 Non Patent Literature 73_NPL_ 108.pdf no 15 94f486a4549bfa519d62e050e2711931 d96

e6b89

Warnings:

Information:

399137

14 Non Patent Literature 74_NPL_ 109.pdf no 5 35abcc7033e26caf4f04fa82cbdd 1989037d

c222

Warnings:

Information:

281886

15 Non Patent Literature 75_NPL_ 11 O.pdf no 3 408bdf55b 12a0e953e8ccf321 ded0535bf4

7e38

Warnings:

Information:

1558109

16 Non Patent Literature 76_NPL_ 111.pdf no 25 70968b2881 e5d1 cl aa2c1a08d158fc21 c27

4d705

Warnings:

Information:

1468485

17 Non Patent Literature 77_NPL_112.pdf no 11 4a3bd06076a 134c1 5eefc4fa4ddd9541619

38fa9

Warnings:

Information:

488986

18 Non Patent Literature 78_NPL_ 113.pdf no 8 229e4cbd32e636fdcca26fb4bb00c6c38b2

8c9cc

Warnings:

Information:

383211

19 Non Patent Literature 79_NPL_ 114.pdf no 5 5b059e357f09878b734efa28841 ec9f07549

6712

Warnings:

Information:


Page 146 of 265

304839

20 Non Patent Literature 80_NPL_ 115.pdf no 4 4df831 e401 cl 93bc6e8d28e34 795a8ffd74e

adbd

Warnings:

Information:

253200

21 Non Patent Literature 81_NPL_ 116.pdf no 4 ace259fb2b2a8040426168ebbccc61 c3b9f3

able

Warnings:

Information:

241543

22 Non Patent Literature 82_NPL_ 117.pdf no 3 3b7ef03dde1 d982a80fa61dbd141555a8e2

3f17d

Warnings:

Information:

410914

23 Non Patent Literature 83_NPL_ 118.pdf no 6 613326818339d699a0f1 3b34a315378ec22

04386

Warnings:

Information:

338479

24 Non Patent Literature 84_NPL_ 119.pdf no 7 bfebc849f57e458a55bf85a18c64803902fb

Oc10

Warnings:

Information:

462126

25 Non Patent Literature 85_NPL_ 120.pdf no 8 d70a 16ae0d96b74b 15f317 c076e892b7fba

99a8d

Warnings:

Information:

1161740

26 Non Patent Literature 86_NPL_ 121.pdf no 19 b9e246036e409f824518d2a55dec6318728

7c202

Warnings:

Information:

653918

27 Non Patent Literature 87_NPL_122.pdf no 5 61 e5bcffd85317a3aac724e3c726035dc0a5

9808

Warnings:

Information:

386967

28 Non Patent Literature 88_NPL_ 123.pdf no 5 38273b 13125a8ef3f3cd 1686cc2ed955e8ac

b065

Warnings:

Information:


Page 147 of 265

294326

29 Non Patent Literature 89_NPL_ 124.pdf no 8 14 9d5 2f1 34e814a 149e8e4a88d4ee14 7 4 5 3

64679

Warnings:

Information:

49899

30 Non Patent Literature 90_NPL_ 125.pdf no 1 e7a92faef15817bb15746ed624ebf386a20C

b9b5

Warnings:

Information:

256152

31 Non Patent Literature 91_NPL_ 126.pdf no 4 1 df9050cb781f62ba1 f2b4c73f5496a8748d

b130

Warnings:

Information:

1260578

32 Non Patent Literature 92_NPL_ 127.pdf no 15 e8a5c340e76e126ce79e0a7 e93ff4d669368

03c2

Warnings:

Information:

375961

33 Non Patent Literature 93_NPL_ 128.pdf no 5 a67 c081920045c911988cf8ce1 e80657458c

lafd

Warnings:

Information:

649808

34 Non Patent Literature 94_NPL_ 129.pdf no 9 31275d39b7 caa7e7bd9ab55ebdcaba7afb1

1805c

Warnings:

Information:

1038621

35 Non Patent Literature 95_NPL_ 130.pdf no 12 b38be3a4 70f3cc4605baedf1 2d8bc4bfdd9

78db4

Warnings:

Information:

622457

36 Non Patent Literature 96_NPL_ 131.pdf no 9 1bObeOfaOfflb1 b2bc0a7aa773f115317 cl a

8c96

Warnings:

Information:

1034573

37 Non Patent Literature 97_NPL_132.pdf no 17 5979690fea8995f6a78631a15e22f58adede

c7f4

Warnings:

Information:


Page 148 of 265

244239

38 Non Patent Literature 98_NPL_ 133.pdf no 4 32d2aea7f203c3fcb 1 cd6a2944bf24deb614

2cae

Warnings:

Information:

267344

39 Non Patent Literature 99_NPL_ 134.pdf no 4 a6a69028ee 796fe98e5 7 6ec54a 76 704-bcfl b

62ca

Warnings:

Information:

1186456

40 Non Patent Literature 1OO_NPL_135.pdf no 35 deac28c7061 efl 89bae367bda71 b089c639

9d246

Warnings:

Information:

1070836

41 Non Patent Literature 1Ol_NPL_136.pdf no 13 317871 f90f48ff40f605 25 8fcd 3 Of4ca 808fbe

bf

Warnings:

Information:

184886

42 Non Patent Literature 102_NPL_137 .pdf no 3 e4f5e821c62d109938ae4bd4d35fe4773a9

2ac51

Warnings:

Information:

267307

43 Non Patent Literature 103_NPL_138.pdf no 4 b9b797bf2d6e8927b8726899a756f1 b7 c7 c

bd47a

Warnings:

Information:

593012

44 Non Patent Literature 104_NPL_139.pdf no 9 d3 601 62 99fb8d5 2e0 77 3 5 fd2 98b89ba977 3

d013f

Warnings:

Information:

2539278

45 Non Patent Literature 105_NPL_ 140.pdf no 31 dd61 e89c89282f3a940821 f0f68c9900d275

81e6

Warnings:

Information:

1219464

46 Non Patent Literature 106_NPL_141.pdf no 39 95c77affee5dc14f5e308b94-0ba2018b7be5

a4fc

Warnings:

Information:


Page 149 of 265

787914

47 Non Patent Literature 1 07_NPL_142.pdf no 11 37d3a230877d55860021279a703cf40b793

6a001

Warnings:

Information:

457015

48 Non Patent Literature 1OS_NPL_143.pdf no 6 c2577056b63bc84170afee3f64 7 c99671 e6

f8d3

Warnings:

Information:

263174

49 Non Patent Literature 109_NPL_ 146.pdf no 3 93badfa 12f77c5e0dc004a85a167 e85b1 62<

4755

Warnings:

Information:

873953

50 Non Patent Literature 110_NPL_147.pdf no 12 55d094b416b05a3e8465ef3d3d3a8a8bd5t

f7ea9

Warnings:

Information:

1548846

51 Non Patent Literature 111_NPL_148.pdf no 23 e8cd34d9d83ec4766fb19638b54bf3535ae

085a3

Warnings:

Information:

360573

52 Non Patent Literature 112_NPL_ 149.pdf no 5 67201aeObl4483a0ce836a2135642fb8459

b8519

Warnings:

Information:

647885

53 Non Patent Literature 113_NPL_ 150.pdf no 8 d98beaa00c5b93401fb37d538c60e3f59e6

bf3f7

Warnings:

Information:

1138303

54 Non Patent Literature 114_NPL_ 151.pdf no 8 9b4c4 9044 f59e 348eca2fa4 7222ff7963 9cda

6ed

Warnings:

Information:

436087

55 Non Patent Literature 115_NPL_ 152.pdf no 6 d01feac45a9b159875ffd21a12383216516a

a0c6

Warnings:

Information:


Page 150 of 265

324367

56 Non Patent Literature 116_NPL_ 153.pdf no 6 056458e0d6b0687119e3fa8fe414 7e53e2b

651a6

Warnings:

Information:

248864

57 Non Patent Literature 117_NPL_154.pdf no 4 cl baf3192a9db6ff0cb25bb4aa819c100c8c

dOOf

Warnings:

Information:

295569

58 Non Patent Literature 11S_NPL_155.pdf no 6 a7ef1169180b4ccb96d0d8f91 b1f94af9b6b

21ca

Warnings:

Information:

139773

59 Non Patent Literature 119_NPL_ 156.pdf no 5 d85149f6d2a8c341 c61 ed7 e527be69008c0

1c3b0

Warnings:

Information:







Page 151 of 265


EFSID: 15676991
















File Listing:



711968

1 Non Patent Literature l_NPL_36.pdf no 10 455ab9e 7f2171Oa1 e25e1 5fbd21 e2bd6b4d

3bfd3

Warnings:

Information:


Page 152 of 265

773171

2 Non Patent Literature 2_NPL_37.pdf no 11 236a69989274496518ad3312b9d1 84913d

e4ef59

Warnings:

Information:

1192113

3 Non Patent Literature 3_NPL_38.pdf no 15 1 5c588bd4baa0b9 7b9f94e5 ebc2e9a4 fc9c3

9ab8

Warnings:

Information:

195067

4 Non Patent Literature 4_NPL_39.pdf no 3 803324b 1a25edb7b1 b0e9f5bd5f4774a41 e

c47ed

Warnings:

Information:

1288089

5 Non Patent Literature 5_NPL_ 40.pdf no 18 ea4 3d 3 635 81 c 48d 19 314 f7904c24ab 14ec 1

78c28

Warnings:

Information:

1617850

6 Non Patent Literature 6_NPL_ 41.pdf no 14 2798007cab08881587e9e6b159b38f20c81

80b45

Warnings:

Information:

1068346

7 Non Patent Literature 7 _NPL_ 42.pdf no 15 dc4aae8c198f386251358e22b0ea7e7b 17 c

40a39

Warnings:

Information:

1576432

8 Non Patent Literature 8_NPL_ 43.pdf no 20 1f2a51 Oc31 fl e41f842d1 e0d8cfd35ec1 728

em

Warnings:

Information:

1477341

9 Non Patent Literature 9_NPL_ 44.pdf no 18 4a41 c0cdb8b7d502c35e51678ecddfca9b7

4dfa0

Warnings:

Information:

1184653

10 Non Patent Literature 1 O_NPL_ 45.pdf no 18 b3 d b25 d a425 f09d 5 56e0 7 e3 3 94665 f7 ea6d

f9fc2

Warnings:

Information:


Page 153 of 265

314141

11 Non Patent Literature 1l_NPL_46.pdf no 4 23 a9c4ccd46cd cc0915 d cffd 046d e4e4b9f0

06b1

Warnings:

Information:

987619

12 Non Patent Literature 12_NPL_ 47.pdf no 10 15d7 cf073d7a623436b37ec1 f315e052d9f1

a4d7

Warnings:

Information:

806993

13 Non Patent Literature 13_NPL_ 48.pdf no 14 667790d3489db98d6ba683def5cc2bd83e

4b546

Warnings:

Information:

424406

14 Non Patent Literature 14_NPL_ 49.pdf no 5 87f81e611671899a1 b93cd4562aff4a7cc1 9

32e3

Warnings:

Information:

341626

15 Non Patent Literature 1 S_NPL_SO.pdf no 6 a2 0509d 5cd7850d 6b5 cec3 d 93 5 OfS 2ec 1 d4

809f9

Warnings:

Information:

369841

16 Non Patent Literature 16_NPL_S 1.pdf no 6 52e7da 1dbe2047508a64f91f4cb0fddef63f

dad4

Warnings:

Information:

1375239

17 Non Patent Literature 17 _NPL_52.pdf no 21 d 9 5b96a2ab 7 3 ef87 4 3 7 e8b 760a248d 8c878

Slcac

Warnings:

Information:

1236013

18 Non Patent Literature 18_NPL_53.pdf no 16 fd4d964e692817 e3c57a094a3c7 efe96e51 d

ec83

Warnings:

Information:

349637

19 Non Patent Literature 19_NPL_54.pdf no 5 Ofaed 18262b0d604b32daedd0d505564f83

64c54

Warnings:

Information:


Page 154 of 265

1027930

20 Non Patent Literature 20_NPL_55.pdf no 15 4 f971 fad 624d 7c12 907 4ba Oa0a22be 52e3 b

7b723

Warnings:

Information:

399856

21 Non Patent Literature 21_NPL_56.pdf no 6 a00253d61 cl ffOSd 1 Ofeb98275e294115a5c

6a20

Warnings:

Information:

451516

22 Non Patent Literature 22_NPL_57.pdf no 6 3dcf9d7de504148f490c81 c59543017d4Qa(

05c4

Warnings:

Information:

899252

23 Non Patent Literature 23_NPL_58.pdf no 13 be06bd 154f5aa45d2c9a7d2087ca78c3908

58311

Warnings:

Information:

336254

24 Non Patent Literature 24_NPL_59.pdf no 6 281857b58456ed96fbac3352eb9714d397C

7c2a0

Warnings:

Information:

228311

25 Non Patent Literature 25_NPL_60.pdf no 4 c058bf5 05 2e25 ac2efb9 51 c8724 fcbd b84bf

0954

Warnings:

Information:

7171790

26 Non Patent Literature 26_NPL_61.pdf no 75 d 107c80a17a49301ce245c5a106db294464

b4f6f

Warnings:

Information:

562555

27 Non Patent Literature 27 _NPL_62.pdf no 8 a616f260ce3441 b8014f512336d22c71 a7 cd

170f

Warnings:

Information:

333701

28 Non Patent Literature 28_NPL_63.pdf no 5 879568d11b3e3759930114067e36de956e

8fe5ef

Warnings:

Information:


Page 155 of 265

737106

29 Non Patent Literature 29_NPL_64.pdf no 10 178e02c8cfce8487453d 1a96fe46055c46a1

69b9

Warnings:

Information:

840749

30 Non Patent Literature 30_NPL_65.pdf no 7 3 3 04-d ef2d 84df8fb2afd 773 aa 7aO1 f91 85 b 7

4c36

Warnings:

Information:

889882

31 Non Patent Literature 31 _NPL_66.pdf no 7 39657f997d 15a8a30c1679cc1b15bf2e99f5

5067

Warnings:

Information:

1324856

32 Non Patent Literature 32_NPL_67.pdf no 19 3c8180116ed24fe49c696746379ace89e1 d

38837

Warnings:

Information:

1498271

33 Non Patent Literature 33_NPL_68.pdf no 34 aa4b97740fd 1 ac8ed9b1 a0cec6454b81928

53d3a

Warnings:

Information:

328133

34 Non Patent Literature 34_NPL_69.pdf no 4 132fe8318304133d1 cf71 ebc2f22fd212e72

8ee6

Warnings:

Information:

1145076

35 Non Patent Literature 35_NPL_70.pdf no 21 324c5ce1 Od7811c9969031007c4d69778c8

c28a3

Warnings:

Information:

1341200

36 Non Patent Literature 36_NPL_71.pdf no 13 783aabacb31 b01 cc3b60ad33bf5182a36d3

62f4c

Warnings:

Information:

212776

37 Non Patent Literature 37 _NPL_72.pdf no 4 2c7d 12fd4f055d48c691 a31 dc84f369c4562

7033

Warnings:

Information:


Page 156 of 265

777337

38 Non Patent Literature 38_NPL_73.pdf no 14 cl 36f85bde61 027f2cb53959dbe4238e9ba

3499e

Warnings:

Information:

595621

39 Non Patent Literature 39_NPL_74.pdf no 10 1752a958d 1 c920305807204e36a828e1 8e5

f3d7c

Warnings:

Information:

982682

40 Non Patent Literature 40_NPL_75.pdf no 15 a80299de6b8eda 13709a 1 e84dabdbf723c

d6776

Warnings:

Information:

502458

41 Non Patent Literature 41 _NPL_76.pdf no 6 e252aa745e1 611c51267798a58c7cbc0ca1

6d0d1

Warnings:

Information:

96201

42 Non Patent Literature 42_NPL_77.pdf no 1 6086ed070f1c7d151af228367842b8f0eee1

5287

Warnings:

Information:

333726

43 Non Patent Literature 43_NPL_78.pdf no 4 Oea5e1085115e890b74e976322bc4dc9c83

37cb4

Warnings:

Information:

183474

44 Non Patent Literature 44_NPL_79.pdf no 3 55abda 18c7d8a998eb54304 72f9fcb97624

37f67

Warnings:

Information:

455261

45 Non Patent Literature 45_NPL_80.pdf no 7 3d1 Ob32356991 ac3530953b9ccb38d22bd

b1999

Warnings:

Information:

1901836

46 Non Patent Literature 46_NPL_81.pdf no 12 9 3 cbb5281 ed 07030d42e4eaabbfc7 e4bd81

7e8e4

Warnings:

Information:


Page 157 of 265

903841

47 Non Patent Literature 47 _NPL_82.pdf no 29 a3e 14e658151 c9899c1 fel 341 0763ae021 e

2131

Warnings:

Information:

1233081

48 Non Patent Literature 48_NPL_83.pdf no 35 2ea81050a95ed279a6411 ad527a3b79160f

6ea45

Warnings:

Information:

586443

49 Non Patent Literature 49_NPL_84.pdf no 9 d00a3b762264221 bdl 28ac3817522b642H

8b84f

Warnings:

Information:

489241

50 Non Patent Literature 50_NPL_85.pdf no 8 1 Ob488613044af6b8e26c69155f8723c6f1 8

c981

Warnings:

Information:

945093

51 Non Patent Literature 51 _NPL_86.pdf no 12 16ef3eac2a8c65426d7fff531 bfedd3077611

d42

Warnings:

Information:

823948

52 Non Patent Literature 52_NPL_87.pdf no 12 51122be6ae4f567444598a33ad403743962

b8f45

Warnings:

Information:

809125

53 Non Patent Literature 53_NPL_88.pdf no 12 b06c7 63c 70cd d 9e626c3f62f e2e 1 b4e4b06

1c7c

Warnings:

Information:

681269

54 Non Patent Literature 54_NPL_89.pdf no 12 5 eff787 46eef615 34 93 965 ce672 660242 c71

Sebo

Warnings:

Information:

824477

55 Non Patent Literature 55_NPL_90.pdf no 10 a4f2b97f99b 18e9f90e02cc2b797241fdc85

602a

Warnings:

Information:


Page 158 of 265

323946

56 Non Patent Literature 56_NPL_91.pdf no 4 7 c90cecb0032190c0afbb8d45618a0361 06

af096

Warnings:

Information:

542015

57 Non Patent Literature 57 _NPL_92.pdf no 5 87 5 fa02eb3 57 ca 16d 7f79adfd63 29 3 df4caa

eccS

Warnings:

Information:

1119098

58 Non Patent Literature 58_NPL_93.pdf no 10 fSfdOfel 1c95c8497d79f962e002bf4e5478d

3dc

Warnings:

Information:

696872

59 Non Patent Literature 59_NPL_94.pdf no 10 cl 58b065614095c27 cc368941 db868a0f0e

1c7f0

Warnings:

Information:

1582394

60 Non Patent Literature 60_NPL_95.pdf no 25 07e84199f7949cd331deed373d5a1 b07871

f7df5

Warnings:

Information:







Page 159 of 265

Sheet _1_ of __12_




(37 CFR ~1.98(b)) 2/26/2013 Unknown



1 5127051 06/1992 Chan et al.


3 6188717 02/2001 Kaiser et al.

4 6441786 08/2002 Jasper et al.

5 6449245 09/2002 Ikeda et al.

6 6487253 11/2002 Jones IV et al.

7 6707856 03/2004 Gardner et al.

8 6850481 02/2005 Wu et al.

9 6865175 03/2005 Ritter

10 6959010 10/2005 Bahrenburg et al.

11 7009931 03/2006 Ma et al.

12 7065371 06/2006 Kleinerman

13 7161973 01/2007 Ghosh

14 7430243 09/2008 Giannakis et al.

15 7672384 03/2010 Giannakis et al.

16 80964528 11/2011 Giannakis et al.

17 20020106004 08/2002 Tan

18 20020122381 09/2002 Wu et al.

19 20020122502 09/2002 El-Gamal et al.

20 20020126740 09/2002 Giannakis et al.

21 20020136327 09/2002 El-Gamal et al.

22 20020146078 10/2002 Gorokhov et al.

23 20030072452 04/2003 Mody et al.

24 20030081569 05/2003 Sexton et al.

25 20030156594 08/2003 Trott et al.

26 20030169824 09/2003 Chayat

27 20040001429 01/2004 Ma et al.





Page 160 of 265

Sheet __l_ of __12_





Unknown



28 20040013211 01/2004 Lindskog et al.

29 20040037214 02/2004 Blasco Claret et al.

30 20040120410 06/2004 Priotti

31 20040166887 08/2004 Laroia et al.

32 20040190636 09/2004 Oprea

33 20050058217 03/2005 Sandhu et al.

Foreign Patent Documents or Published Foreign Patent Applications Examiner Desig. Document Publication Country or Translation

Initial ID Number Date Patent Office Class Subclass Yes No

34

35


Initial ID Document

36 A.P. Clark et al., "Adaptive Channel Estimator for an HF Radio Link," IEEE Transactions On Communications, Vol. 37, No. 9, pp. 918-926, September 1989.

37 Akbar M. Sayeed et al., "Joint Multipath-Doppler Diversity in Mobile Wireless Communications," IEEE Transactions On Communications, Vol. 47, No. 1, pp. 123-132, January 1999.

38 Alexandra Duel-Hallen et al., "Long-Range Predication of Fading Channels," IEEE Signal Processing Magazine, pp. 62-75, May 2000.

39 Amos Lapidoth et al., "Fading Channels: How Perfect Need "Perfect Side Information" be?," in Procedures IEEE Information Theory Communications Workshop, pp. 36-38, June 1999.

Anastasios Stamoulis et al., "Block FIR Decision-Feedback Equalizers for Filterbank Precoded 40 Transmissions with Blind Channel Estimation Capabilities," IEEE Transactions on

Communications, Vol. 49, No. 1, pp. 69-83, January 2001.

41 Anders Furuskar et al., "EDGE: Enhanced Data Rates for GSM and TDMA/136 Evolution," IEEE Personal Communications, Vol. 6, No. 3, pp. 56-66, June 1999.





Page 161 of 265

Sheet _J_ of __12_




(37 CFR ~1.98(b)) 2/26/2013 Unknown


Initial ID Document

Anna Scaglione et al., "Filterbank Transceivers Optimizing Information Rate in block Transmissions 42 Over Dispersive Channels," IEEE Transactions on Information Theory, Vol. 45, No. 3, pp. 1019-

1032, April 1999.

Anna Scaglione et al., "Redundant Filterbank Precoders and Equalizers Part I: Unification and 43 Optimal Designs," IEEE Transactions on Signal Processing, Vol. 47, No. 7, pp. 1988-2022, July

1999.

Anna Scaglione et al., "Redundant Filterbank Precoders and Equalizers Part II: Blind Channel 44 Estimation, Synchronization, and Direct Equalization," IEEE Transactions on Signal Processing,

Vol. 47, No. 7, pp. 2007-2022, July 1999.

45 Ayman F. Naguib et al., "Increasing Data Rate Over Wireless Channels," IEEE Signal Processing Magazine, Vol. 17, pp. 76-92, May 2000.

46 B. Muquet et al., "Reduced Complexity Equalizers For Zero-Padded OFDM Transmissions," Procedures oflntemational Conference on ASSP, Vol. 5, pp. 2973-2976, June 2000.

47 B.M. Hochwald et al., "Achieving Near-Capacity on a Multiple-Antenna Channel," IEEE Transactions on Communication, Vol. 51, No. 3, pp. 389-399, March 2003.

48 Babak Hassibi et al., "How Much Training Is Needed in Multiple-Antenna Wireless Links?" IEEE Transactions On Information Theory, Vol. 49, No. 4, pgs. 951-963, April 2003.

Ben Lu et al., "Space-Time Code Design in OFDM Systems," in Procedures Global 49 Telecommunications Conference, Vol. 2, San Francisco, CA, pp. 1000-1004, November 27 -

December 1, 2000.

C. Fragouli et al., "Finite-Alphabet Constant-Amplitude Training Sequence for Multiple-Antenna 50 Broadband Transmissions," Procedures of IEEE International Conference on Communications, vol.

1, pp. 6-10, NY City, April 28-May 1, 2002.

C. Fragouli et al., "Reduced-Complexity Training Schemes for Multiple-Antenna Broadband 51 Transmissions," Procedure of Wireless Communications and Networking Conference, Vol. 1, pp.

78-83, March 17-21, 2002.

52 Caire et al., "Bit-Interleaved Coded Modulation," IEEE Transactions on Information Theory, vol. 44, no. 3, pp. 927-946, May 1998.

Cihan Tepedelenlioglu et al., "Transmitter Redundancy for Blind Estimation and Equalization of 53 Time-and Frequency-Selective Channels," IEEE Transactions On Signal Processing, Vol. 48, No. 7,

pp. 2029-2043, July 2000.





Page 162 of 265

Sheet __i_ of __12_




(37 CFR ~1.98(b)) 2/26/2013 Unknown


Initial ID Document

54 Courville et al., "Blind Equalization of OFDM Systems based on the Minimization of a Quadratic Criterion," Proc. ofICC, Dallas, USA, vol. 3, DD. 1318-1321, June 1996.

55 Cristian Budianu et al., "Channel Estimation for Space-Time Orthogonal Block Codes," IEEE Transactions on Signal Processing, Vol. 50, No. 10, pp. 2515-2528, October 2002.

Dakshi Agrawal et al., "Space-Time Coded OFDM High Data-Rate Wireless Communication Over 56 Wideband Channels," in Procedures on Vehicle Technology Conference, Ottawa, ON, Canada, pp.

2232-2236, May 18-21, 1998.

Dennis L. Goeckel, "Coded Modulation With Non-Standard Signal Sets for Wireless OFDM 57 Systems," in Procedures International Conference Communications, Vancouver, BC, Canada, pp.

791-795, June 1999.

Deva K. Borah et al., "Frequency-Selective Fading Channel Estimation with a Polynomial Time-58 Varying Channel Model," IEEE Transactions On Communications, Vol. 47, No. 6, pp. 862-873,

June 1999.

59 E. Lindskog et al, "A Transmit Diversity Scheme for Channels With Intersymbol Interference," Procedures ofICC, Vol. 1, pp. 307-311, June 2000.

60 Emanuele Viterbo et al., "A Universal Lattice Code Decoder for Fading Channels," IEEE Transactions on Information Theory, Vol. 45, No. 5, pp. 1639-1642, July 1999.

61 Ezio Biglieri et al., "Fading Channels: Information-Theoretic and Communications Aspects," IEEE Transactions on Information Theory, Vol. 44, No. 6, pp. 2619-2692, October 1998.

62 Frederick W. Vook et al., "Transmit Diversity Schemes for Broadband Mobile Communication Systems," Procedures of IEEE VTC, Vol. 6, pp. 2523-2529, 2000.

Fredrik Tufvesson et al., "OFDM Time and Frequency Synchronization by Spread Spectrum Pilot 63 Technique," in Procedures 8th Communication Theory Mini-Conference, Vancouver, BC, Canada,

pp. 1-5, June 1999.

64 Frenger et al., "Decision-Directed Coherent Detection in Multicarrier Systems on Rayleigh Fading Channels," IEEE Trans. On Vehicular Tech., vol. 48, no. 2, pp. 490-498, March 1999.

65 G.J. Saulnier et al, "Performance of an OFDM Spread Spectrum Communications system Using Lapped Transforms," in Proc. MILCOM Conf., Vol. 2, 1997, pp. 608-612.

66 G.J. Saulnier et al., "Performance of a Spread Spectrum OFDM System in a Dispersive Fading Channel with Interference," in Proc. MILCOM Conf., Vol. 2, 1998, pp. 679-683.





Page 163 of 265

Sheet _j_ of __12_




(37 CFR ~1.98(b)) 2/26/2013 Unknown


Initial ID Document

Georgios B. Giannakis et al., "Basis Expansion Models and Diversity Techniques for Blind 67 Identification and Equalization of Time-Varying Channels," Proceedings of the IEEE, Vol. 86, No.

10, pp. 1969-1986, October 1998.

68 Georgios B. Giannakis, "Cyclostationary Signal Analysis," The Digital Signal Processing Handbook, V.K. Madisetti and D. Williams, Eds. Boca Raton, FL: CRC, Chapter 17, 1998.

69 Georgios B. Giannakis, "Filterbanks for Blind Channel Identification and Equalization," IEEE Signal Processing Letters, Vol. 4, No. 6, pp. 184-187, June 1997.

Gerard J. Foschini, "Layered Space-Time Architecture for Wireless Communications in a Fading 70 Environment When Using Multi-Element Antennas," Bell Labs Technical Journal, Vol. 1, No. 2, pp.

41-59, 1996.

71 Ghassan Kawas Kaleh, "Channel Equalization for Block Transmission Systems," IEEE Journal on Selected Areas In Communications, Vol. 13, No. 1, pp. 110-121, January 1995.

72 H. Vikalo et al., "Optimal Training for Frequency-Selective Fading Channels," Procedures of International Conference on ASSP, Salt Lake City, Utah, Vol. 4, pp. 2105-2108, May 7-11, 2001.

73 H. Vincent Poor, "Probability of Error in MMSE Multiuser Detection," IEEE Transaction on Information Theory, Vol. 43, No. 3, pp. 858-871, May 1997.

74 Heath, Jr. et al., "Exploiting Input Cyclostationarity for Blind Channel Identification in OFDM Systems," IEEE Transactions on Signal Processing, vol. 47, no. 3, PP. 848-856, March 1999.

Helmut Bolcskei et al., "Blind Channel Identification and Equalization in OFDM-Based 75 Multiantenna Systems, "IEEE Transactions on Signal Processing, Vol. 50, No. 1, pp. 96-109,

January 2002.

76 Helmut Bolcskei et al., "Space-Frequency Coded Broadband OFDM Systems," Invited paper, presented at IEEE WCNC 2000, Chicago, pp. 1-6, September 2000.

77 Helmut Bolcskei et al., "Space-Frequency Codes for Broadband Fading Channels," in International Symposium Information Theory, Washington, DC, 1 page, June 2001.

78 Hikmet Sari et al., "Transmission Techniques for Digital Terrestial TV Broadcasting," IEEE Communications Magazine, vol. 33, pp. 100-103, February 1995.

79 Hui Liu et al., "A High-Efficiency Carrier Estimator For OFDM Communications," IEEE Communications Letters, Vol. 2, No. 4, pp. 104-106, April 1998.





Page 164 of 265

Sheet _Q_ of __12_




(37 CFR ~1.98(b)) 2/26/2013 Unknown


Initial ID Document

I. Barhumi et al., "Optimal Training Sequences for Channel Estimation in MIMO OFDM Systems in

80 Mobile Wireless Communications," Procedures of International Zurich Seminar on Access, Transmission, Networking of Broadband Communications, 6 pgs., ETH Zurich, Switzerland, February 19-21, 2002.

81 I. Koffman et al., "Broadband Wireless Access Solutions Based on OFDM Access in IEEE 802.16," IEEE Communications Magazine, Vol. 40, No. 4, pp. 96-103, April, 2002.

82 I.Emre Telatar, "Capacity of Multiple-Antenna Gaussian Channels," European Transactions Telecommunications, Vol. 10, pp. 1-28, November-December 1998.

J. Boutros et al., "Signal Space Diversity: A Power And Bandwidth Efficient Diversity Technique 83 for the Rayleigh Fading Channel," IEEE Transactions Information Theory, Vol. 44, pp. 1-34, July

1998.

James K. Cavers, "An Analysis of Pilot Symbol Assisted Modulation for Rayleigh Fading 84 Channels," IEEE Transactions On Vehicular Technology, Vol. 40, No. 4, pp. 686-693, November

1991.

85 James K. Cavers, "Pilot Symbol Assisted Modulation and Differential Detection in Fading and Delay Spread," IEEE Transactions On Communications, Vol. 43, No. 7, pp. 2206-2212, July 1995.

Jens Baltersee et al., "Achievable Rate ofMIMO Channels With Data-Aided Channel Estimation 86 and Perfect interleaving," IEEE Journal on Selected Areas In Communication, Vol. 19, No. 12,

2358-2368, December 2001.

Jerome A. Gansman et al., "Optimum and Suboptimum Frame Synchronization for Pilot-Symbol-87 Assisted Modulation," IEEE Transactions on Communciations, vol. 45, No. 10, pp. 1327-1337,

October 1997.

Jiann-Cing Guey et al., "Signal Design for Transmitter Diversity Wireless Communication Systems 88 Over Rayleigh Fading Channels," IEEE Transactions on Communications, Vol. 47, No. 4, pp. 527-

537, April 1999.

Jitendra K. Tugnait et al., "Second-Order Statistics-Based Blind Equalization ofIIR Single-Input 89 Multiple-Output Channels with Common Zeros," IEEE Transactions On Signal Processing, Vol. 47,

No. 1, pp. 147-157, January 1999.

90 John A.C. Bingham, "Multicarrier Modulation for Data Transmission: An Idea Whose Time Has Come," IEEE Communications Magazine, pp. 5-14, May 1990.





Page 165 of 265

Sheet _J_ of __12_




(37 CFR ~1.98(b)) 2/26/2013 Unknown


Initial ID Document

91 Jonathan H. Manton et al., "Affine Precoders for Reliable Communications," in Procedures International Conference ASSP, Vol. 5, Istanbul, Turkey, pp. 2749-2752, June 2000.

L. Wei et al., "Space-Time-Frequency Block Coding Over Rayleigh Fading Channels For OFDM 92 Systems," Proceedings of the International Conference on Communication Technology, ICCT 2003,

Vol. 2, pp. 1008-1012, April 2003.

L. Wei et al., "Synchronization Requirements for Multi-user OFDM on Satellite Mobile and Two-93 Path Rayleigh Fading Channels," IEEE Transactions on Communications, Vol. 43, no. 21314, pp.

887-895, Feb-Apr 1995.

Linda M. Davis et al., "Joint MAP Equalization and Channel Estimation for Frequency-Selective 94 and Frequency-Flat Fast-Fading Channels," IEEE Transactions On communications, Vol. 49, No.

12, pp. 2106-2114, December 2001.

Lizhong Zheng et al., "Communication on the Grassmann Manifold: A Geometric Approach to the 95 Noncoherent Multiple-Antenna Channel," IEEE Transactions On Information Theory, Vol. 48, No.

2, pp. 359-383, February 2002.

M. Guillaud et al., "Multi-Stream Coding for MIMO OFDM Systems With Space-Time-Frequency 96 Spreading," Wireless Personal Multimedia Communications, the 5th International Symposium, Vol.

1, pp. 120-124, October 27-30, 2002.

97 Magnus Sandell et al., "A Comparative Study of Pilot-Based Channel Estimators for Wireless OFDM," pp. 5-34, September 1996.

Martin V. Clark, "Adaptive Frequency-Domain Equalization and Diversity Cobmining for 98 Broadband Wireless Communications", IEEE Journal on Selected Areas in Communications, Vol.

16, No. 8, pp. 1385-1395, October 1998.

Massimiliano (Max) Martone, "Wavelet-Based Separating Kernels for Sequence Estimation with 99 Unknown Rapidly Time-Varying Channels," IEEE Communications Letter, Vol. 3, No. 3, pp. 78-80,

March 1999.

100 Michail K. Tsatsanis et al., "Equalization of Rapidly Fading Channels: Self-Recovering Methods," IEEE Transactions on Communications, Vol. 44, No. 5, pp. 619-630, May 1996.

101 Michail K. Tsatsanis et al., "Modelling and Equalization of Rapidly Fading Channels," International Journal of Adaptive Control and Signal Processing, Vol. 10, pp. 159-176, May 1996.





Page 166 of 265

Sheet __L of __12_




(37 CFR ~1.98(b)) 2/26/2013 Unknown


Initial ID Document

Michail K. Tsatsanis et al., "Pilot Symbol Assisted Modulation in Frequency Selective Fading 102 Wireless Channels," IEEE Transactions On Signal Processing, Vol. 48, No. 8, pp. 2353-2365,

August 2000.

103 Michele Morelli et al., "Carrier-Frequency Estimation for Transmissions Over Selective Channels," IEEE Transactions On Communications, Vol. 48, No. 9, DD. 1580-1589, September 2000.

104 Mignone et al., "CD3-0FDM: A Novel Demodulation Scheme for Fixed and Mobile Receivers," IEEE Transactions on Communications, vol. 44, no. 9, nn. 1144-1151, SeDtember 1996.

105 Min Dong et al., "Optimal Design and Placement of Pilot Symbols for Channel Estimation," IEEE Transactions On Signal Processing, Vol. 50, No. 12, pp. 3055-3069, December 2002.

Muquet et al., "A Subspace Based Blind and Semi-Blind Channel Identification Method for OFDM 106 Systems," Proc. of IEEE-SP Workshop on Signal Proc. Advances in Wireless Comm., Annapolis,

MD, DD. 170-173, May 9-12, 1999. Muquet et al., "OFDM with Trailing Zeros Versus OFDM with Cyclic Prefix: Links, Comparisons

107 and Application to the Hiperlan/2 Systems," Proc. oflntl. Conf. On Com., New Orleans, pp. 1049-1053, June 2000.

Muriel Medard, "The Effect Upon Channel Capacity in Wireless Communications of Perfect and 108 Imperfect Knowledge of the Channel," IEEE Transactions on Information Theory, Vol. 46, No. 3,

pp. 933-946, May 2000.

N. Yee et al., "BER of Multi-Carrier CDMA in an Indoor Rician Fading Channel," Conference 109 Record of the Twenty-Seventh Asilomar Conference on Signals, Systems and Computers, pp. 426-

430, 1993.

110 Oussama Darnen et al., "Lattice Code Decoder for Space-Time Codes," IEEE Communication Letters, Vol. 4, No. 5, pp. 161-163, May 2000.

Naofal Al-Dhahir et al., "Block Transmission Over Dispersive Channels: Transmit Filter 111 Optimization and Realization, and MMSE-DFE Receiver Performance," IEEE Transactions

Information Theory, Vol. 42, No. 1, pp. 137-160, January 1996.

112 P. Xia et al., "Bandwidth-and Power-Efficient Multicarrier Multiple Access," IEEE Transactions On Communications, Vol. 51, No. 11, pp. 1828-1837, November 2003.

Paul H. Moose, "A Technique for Orthogonal Frequency Division Multiplexing Frequency Offset 113 Correction," IEEE Transactions On Communications, Vol. 42, No. 10, pp. 2908-1314, October

1994.

114 Peter Hoeher et al., "Channel Estimation with Superimposed Pilot Sequence," in Procedure GLOBECOM Conference, Brazil, pp. 1-5, December 1999.





Page 167 of 265

Sheet _2_ of __12_




(37 CFR ~1.98(b)) 2/26/2013 Unknown


Initial ID Document

Peter Hoeher et al., "Two-Dimensional Pilot-Symbol-Aided Channel Estimation by Wiener 115 Filtering," Procedures of International Conference on Acoustics, Speech and Signal Processing,

Munich, Germany, vol. 3, pp. 1845-1848, April 1997.

Peter Schramm et al., "Pilot Symbol Assisted BPSK on Rayleigh Fading Channels with Diversity: 116 Performance Analysis and Parameter Optimization," IEEE Transactions on Communications, Vol.

46, No. 12, pp. 1560-1563, December 1998.

117 Peter Schramm, "Analysis and Optimization of Pilot-Channel-Assisted BPSK for DS-CDMA Systems," IEEE Transactions Communications, Vol. 46, No. 9, pp. 1122-1124, September 1998.

118 Qinfang Sun et al., "Estimation of Continuous Flat Fading MIMO Channel," IEEE Transactions On Wireless Communications, Vol. 1, No. 4, pp. 549-553, October 2002.

119 Robert Molten Gray, "On the Asymptotic Eigenvalue Distribution ofToeplitz Matrices," IEEE Transactions On Information Theory, Vol. IT-18, No. 6, pp. 725-730, November 1972.

120 Rohit Negi et al., "Pilot Tone Selection for Channel Estimation in a Mobile OFDM System," IEEE Transactions On Consumer Electronics, Vol. 44, No. 3, pp. 1122-1128, August 1998.

121 Ruiz et al., "Discrete Multiple Tone Modulation with Coset Coding for the Spectrally Shaped Channel," IEEE Transactions on Communications, vol. 4, no. 6, PP. 1012-1029, June 1992.

S. Kaiser et al., "A Flexible Spread-Spectrum Multi-Carrier Multiple-Access System for Multi-122 Media Applications," in Procedures of 8th IEEE International Symposium PIMRC, Vol. 1, 1997, pp.

100-104.

123 S. Zhou et al, "Frequency-Hopped Generalized MC-CDMA for Multipath and Interference Suppression," in Proc. MILCOM Conf., Vol. 2, Los Angeles, CA October 22-25, 2000, pp. 937-941.

S.N. Diggavi et al., "Differential Space-Time Coding for Frequency-Selective Channels," 124 Procedures of361

h Conference on Information Sciences and Systems, pp. 1-8, Princeton University, NJ, March 20-22, 2002.

125 Sergio Benedetto et al., "Principles of Digital Transmission with Wireless Applications," Kluwer Academic/Plenum Publishers, 1 pg., 1999.

Shengli Zhou et al., "Space-Time Coding With Maximum Diversity Gains Over Frequency-126 Selective Fading Channels," IEEE Signal Processing Letters, Vol. 8, No. 10, pp. 269-272, October

2001.

127 Shengli Zhou et al., "Subspace-Based (Semi-) Blind Channel Estimation for Block Precoded Space-Time OFDM," IEEE Transactions On Signal Processing, Vol. 50, No. 5, pp. 1215-1228, May 2002.





Page 168 of 265

Sheet _lQ_ of __12_




(37 CFR ~1.98(b)) 2/26/2013 Unknown


Initial ID Document

128 Shuichi Ohno et al., "Average-Rate Optimal PSAM Transmissions Over Time-Selective Fading Channels," IEEE Transactions On Wireless Communications, pp. 374-378, October 2002.

Shuichi Ohno et al., "Capacity Maximizing MMSE-Optimal Pilots for Wireless OFDM Over 129 Frequency-Selective Block Rayleigh- Fading Channels," IEEE Transactions On Information Theory,

pp. 2138-2145, Vol. 50, No. 9, September 2004.

Shuichi Ohno et al., "Optimal Training and Redundant Precoding For Block Transmissions With 130 Application to Wireless OFDM," IEEE Transactions on Communications, Vol. 50, No. 12, pp.

2113-2123, December 2002.

131 Siavash M. Alamouti, "A Simple Transmit Diversity Technique For Wireless Communications," IEEE Journal on Select Areas In Communications, Vol. 16, No. 8, pp. 1451-1458, October 1998.

132 Srihari Adireddy et al, "Optimal Placement of Training for Frequency-Selective Block-Fading Channels," IEEE Transactions On Information Theory, Vol. 48, No. 8, pp. 2338-2353, August 2002.

Srihari Adireddy et al., "Detection With Embedded Known Symbols: Optimal Symbol Placement 133 and Equalization," In Procedures oflntemational Conference ASSP, Vol. 5, Istanbul, Turkey, pp.

2541-2544, June 2000.

134 Srihari Adireddy et al., "Optimal Embedding of Known Symbols for OFDM," in Procedures International Conference, ASSP, Vol. 4, Salt Lake City, UT, May 2001.

Srikrishna Bhashyam et al., "Time-Selective Signaling and Reception for Communication Over 135 Multipath Fading Channels," IEEE Transactions On Communications, vol. 48, no. 1, pp. 1-34,

January 2000.

Stefan A. Fechtel et al., "Optimal Parametric Feedforward Estimation of Frequency-Selective 136 Fading Radio Channels," IEEE Transactions on Communications, vol. 42, no. 21314, pp. 1639-1650,

February/March/April, 1994.

137 Stephan Baro et al., "Improved Codes for Space-Time Trellis Coded Modulation," IEEE Communication Letters, Vol. 4, pp. 1-3, January 2000.

Tai-Lai Tung et al., "Channel Estimation and Adaptive Power Allocation for Performance and

138 Capacity Improvement of Multiple-Antenna OFDM Systems," Third IEEE Signal Processing Workshop on Signal Processing Advances in Wireless Communications, Taoyuan, Taiwan, pp. 82-85, March 20-23, 2001.

139 Thomas Kailath, "Measurements on Time-Variant Communication Channels," IEEE Transactions On Information Theory, Vol. IT-8, pp. S229-S236, September 1962.





Page 169 of 265

Sheet _lL of __12_




(37 CFR ~1.98(b)) 2/26/2013 Unknown


Initial ID Document

Thomas Keller et al., "Adaptive Multicarrier Modulation: A Convenient Framework for Time-140 Frequency Processing in Wireless Communications," IEEE Procedings of the IEEE, Vol. 88, No. 5,

pp. 611-640, May 2000.

Thomas L. Marzetta and Bertrand M. Hochwald, "Capacity of a Mobile Multiple-Antenna 141 Communication Link in Rayleigh Flat Fading," IEEE Transactions on Information Theory, Vol. 45,

pp. 1-38, January 1999.

Thomas P. Holden et al., "A Spread-Spectrum Based Synchronization Technique for Digital 142 Broadcast Systems," IEEE Transactions on Broadcasting, Vol. 36, No. 3, pp. 185-194, September

1990.

143 Tufvesson et al. "Pilot Assisted Channel Estimation for OFDM in Mobile Cellular Systems," Proc. of the Vehicular Technology Conf., Phoenix, USA, vol. 3, pp. 1639-1643, May 1997.

144 U.S. Provisional Application No. 60/449,729, p. 1-25, filed on February 24, 2003

145 U.S. Provisional Application No. 60/472,297, 6 pages, filed May 21, 2003

146 Ufuk Tureli et al., "OFDM Blind Carrier Offset Estimation: ESPRIT," IEEE Transactions On Communications, Vol. 48, No. 9, pp. 1459-1461, September 2000.

Vahid Tarokh et al., "Space-Time Block Codes from Orthogonal Designs," IEEE Transactions on 147 Information Theory, Vol. 45, No. 5,

pp. 1456-1467, July 1999.

Vahid Tarokh et al., "Space-Time Codes for High Data Rate Wireless Communication: Performance 148 Criterion and Code Construction," IEEE Transactions on Information Theory, Vol. 44, No. 2, pp.

744-765, March 1998.

149 van de Beek et al., "On Channel Estimation in OFDM Systems," Proc. of the Vehicular Technology Conf., Chicago, USA, vol. 2, pp. 815-819, July, 1995.

150 van Nee et al., "New High-Rate Wireless LAN Standards," IEEE Communications Magazine, vol. 37, no. 12, pp. 82-88, December 1999.

151 W.Y. Zou et al., "COFDM: An Overview," IEEE Transactions on Broadcasting, Vol. 41, No. 1, pp. 1-8, March 1995.

Wen-Yi Kuo et al., "Frequency Offset Compensation of Pilot Symbol Assisted Modulation in 152 Frequency Flat Fading," IEEE Transactions on Communications, Vol. 45, No. 11, pp. 1412-1416,

November 1997.





Page 170 of 265

Sheet __lL of __12_




(37 CFR ~1.98(b)) 2/26/2013 Unknown


Initial ID Document

153 Werner Kozek, "On the Transfer Function Calculus for Underspread LTV Channels," IEEE Transactions On Signal Processing, Vol. 45, No. 1, pp. 219-223, January 1997.

Won-Joon Choi et al., "Multiple Input/Multiple Output (MIMO) Equalization for Space-Time Block 154 Coding," IEEE Pacific Rim Conference on Communications, Computers and Signal Processing, pp.

341-344, 1999.

155 Won-Joon Choi et al., "Space-Time Block Codes Over Frequency Selective Rayleigh Fading Channels," IEEE VTC, Vol. 5, pp. 2541-2545, 1999.

X. Ma et al., "Optimal training for MIMO frequency-selective fading channels," Conference Record 156 of the Thirty-Sixth Asilomar Conference on Signals, Systems and Computers, Pacific Grove, CA

Nov. 3-6, 2002, vol. 2, pages 1107-1111.

157 Xavier Giraud et al., "Algebraic Tools To Build Modulation Schemes for Fading Channels," IEEE Transactions on Information Theory, Vol. 43, No. 3, pp. 938-952, May 1997.

158 Xiaodong Wang et al., "Iterative (Turbo) Soft Interference Cancellation and Decoding for Coded CDMA," IEEE Transactions on Communications, Vol. 47, No. 7, pp. 1046-1061, July 1999.

159 Xiaoli Ma et al., "Maximum Diversity Transmissions Over Doubly Selective Wireless Channels," IEEE Transactions On Information Theory, vol. 49, No. 7, pp. 1832-1840, July 2003.

Xiaoli Ma et al., "Non-Data-Aided Carrier Offset Estimators for OFDM With Null Subcarriers: 160 Identifiability, Algorithms, and Performance," IEEE Journal On Selected Areas In Communications,

Vol. 19, No. 12, pp. 2504-2515, December 2001.

Xiaoli Ma et al., "Optimal Training for Block Transmissions Over Doubly Selective Wireless 161 Fading Channels," IEEE Transactions on Signal Processing, Vol. 51, No. 5, pp. 1351-1366, May

2003.

162 Xiaoli Ma et al., "Optimal Training for MIMO Frequency-Selective Fading Channels," IEEE Transactions on Wireless Communications, Vol. 4, No. 2, March 2005, 14 pages.

Y. Gong et al., "Space-Frequency-Time Coded OFDM for Broadband Wireless Communications," 163 Global Telecommunications Conference, GLOBECOM '01, IEEE, Vo. 1, pp. 519-523, November

25-29, 2001.

164 Y. Xin et al., "Space-Time Constellation-Rotating Codes Maximizing Diversity and Coding Gains," in Procedures of Global Telecommunications Conference, Nov. 2001, pp. 455-459.





Page 171 of 265

Sheet _ll_ of __12_




(37 CFR ~1.98(b)) 2/26/2013 Unknown


Initial ID Document

Yan Xin et al., "Linear Unitary Precoders for Maximum Diversity Gains with Multiple Transmit and 165 Receive Antennas," Procedure of 34th Asilomar Conference on Signals, Systems, and Computers,

pp. 1553-1557, Pacific Grove, CA, October 29-November 1, 2000.

166 Yan Xin et al., "Space-Time Diversity Systems Based on Linear Constellation Precoding," IEEE Transactions On Wireless Communications, Vol. 2, No. 2, pgs. 294-309, March 2003.

Yan Xin et al., "Space-Time Diversity Systems Based on Unitary Constellation-Rotating Precoders," 167 in Procedures International Conference, Speech, Signal Process., Salt Lake City, UT, pp. 2429-2432,

May 7-11, 2001,

Ye (Geoffrey) Li et al., "Transmitter Diversity for OFDM Systems and Its Impact on High-Rate 168 Data Wireless Networks," IEEE Journal on Selected Areas In Communications, Vol. 17, No. 7, pp.

1233-1243, July 1999.

Ye (Geoffrey) Li, "Simplified Channel Estimation for OFDM Systems With Multiple Transmit 169 Antennas," IEEE Transactions On Wireless Communications, Vol. 1, No. 1, pp. 67-75,January

2002.

Ye (Geoffrey) Li, Nambirajan Seshadri, and Sirikiat Ariyavisitakul, "Channel Estimation for OFDM 170 Systems with Transmitter Diversity in Mobile Wireless Channels," IEEE Journal on Selected Areas

in Communications, Vol. 17, No. 3, pp. 461-471, March 1999.

171 Y oujian Liu et al., "Space-Time Codes Performance Criteria and Design for Frequency Selective Fading Channels," International Conference on Communications (ICC) 2001, 5 pages.

172 Yuan-Pei Lin et al., "Block Based DMT Systems With Reduced Redundancy," Procedures of International Conference on ASSP, Salt Lake City, UT, pp. 2357-2360, May 2001.

173 Yuze Zhang et al., "A Performance Analysis and Design of Equalization with Pilot Aided Channel Estimation," Procedures of the 47th Vehicular Technology Conference, Vol. 2, pp. 720-724, 1997.

Yuze Zhang et al., "Soft Output Demodulation on Frequency-Selective Rayleigh Fading Channels 174 Using AR Channel Models," Procedures of Global Communications Conference, Vol. 1, pp. 327-

331, 1997.

175 Z. Wang et al., "Complex-Field Coding for OFDM Over Fading Wireless Channels," IEEE Transactions on Information Theory, Vol. 49, No. 3, pp. 707-720, March 2003.

176 Z. Wang et al., "Joint Coding-Precoding with Low-Complexity Turbo Decoding," IEEE Transactions on Wireless Communications, Vol. 3, No. 4, pp. 832-842, May 2004, 11 pages.





Page 172 of 265

Sheet _H_ of __12_




(37 CFR ~1.98(b)) 2/26/2013 Unknown


Initial ID Document

Zhengdao Wang et al., "Linearly Precoded or Coded OFDM Against Wireless Channel Fades?," 177 Third IEEE Signal Processing Workshop on Signal Processing Advances in Wireless

Communications, Taoyuan, Taiwan, pp.267-270, March 20-23, 2001.

178 Zhengdao Wang et al., "Optimality of Single-Carrier Zero-Padded Block Transmissions," Procedures of Wireless Communications and Networking Conference, Vol. 2, pp. 660-664, 2002.

179 Zhengdao Wang et al., "Wireless Multicarrier Communications: Where Fourier Meets Shannon," IEEE Signal Processing Magazine, Vol. 17, pp. 29-48, May 2000.

Zhiqiang Liu et al., "Linear Constellation Precoding for OFDM with Maximum Multipath Diversity 180 and Coding Gains," IEEE Transactions On Communications, Vol. 51, No. 3, pp. 416-427, March

2003.

Zhiqiang Liu et al., "Space-Time Block-Coded Multiple Access Through Frequency-Selective 181 Fading Channels," IEEE Transactions on Communications, Vol. 49, No. 6, pp. 1033-1044, June

2001.

Zhiqiang Liu et al., "Space-Time Coding With Transmit Antennas for Multiple Access Regardless 182 of Frequency-Selective Multipath," Procedures of Sensor Arry and Multichannel Signal Processing

Workshop, pp. 178-182, March 2000.

183 Zhiqiang Liu et al., "Space-Time-Frequency Coded OFDM Over Frequency-Selective Fading Channels, IEEE Transactions on Signal Processing, Vol. 50, No. 10, pp. 2465-2476, October 2002.

Zhiqiang Liu et al., "Transmit-Antennae Space-Time Block Coding for Generalized OFDM in the 184 Presence of Unknown Multipath," IEEE Journal on Selected Areas In Communications, Vol. 19, No.

7, pp. 1352-1364, July 2001.

185 Zhiqiang Liu, et al., "Space-Time Coding for Broadband Wireless Communications," Wireless Communication Mobile Computers, Vol. 1, No. 1, pp. 33-53, January-March, 2001.

186 Zhou et al., "Long Codes for Generalized FH-OFDMA Through Unknown Multipath Channels," IEEE Transactions on Communications, vol. 49, no. 4, pp. 721-733, February 2001

A. Scaglione, G. B. Giannakis, and S. Barbarossa, "Minimum Redundancy Filterbank Precoders for 187 Blind Channel Identification Irrespective of Channel Nulls," Proc. of IEEE Wireless Comm. and

Networking Conference (WCNC'99), pp. 785-789, New Orleans, LA, September 21-24, 1999.

188 ETSI, "Broadband Radio Access Networks (BRAN); HIPERLAN Type 2; Physical (PHY) layer," ETSI TS 101 475 Vl.2.2, 2001, 41 pages.





Page 173 of 265

Sheet _12_ of _12_




(37 CFR ~1.98(b)) 2/26/2013 Unknown


Initial ID Document

IEEE Std 802.l la-1999, "Supplement to IEEE Standard for Information technology-Telecommunications and information exchange between systems - Local and metropolitan area

189 networks - Specific requirements Part 11: Wireless LAN Medium Access Control (MAC) and Physical Layer (PHY) specifications High-speed Physical Layer in the 5 GHz Band," 1999, 91 pages.

IEEE Std 802. l lg-2003, "IEEE Standard for Information technology - Telecommunications and information exchange between systems - Local and metropolitan area networks - Specific

190 requirements Part 11: Wireless LAN Medium Access Control (MAC) and Physical Layer (PHY) specifications Amendment 4: Further Higher Data Rate Extension in the 2.4 GHz Band," 2003, 78 pages.

M. Ghogho, A. Swami, and G. B. Giannakis, "Optimized Null-Subcarrier Selection for CFO 191 Estimation in OFDM over Frequency-Selective Fading Channels," Proc. ofGLOBECOM, vol. 1,

pp. 202-206, San Antonio, TX, November 25-29, 2001.

X. Ma, C. Tepedelenlioglu, and G. B. Giannakis, "Consistent Blind Synchronization ofOFDM

192 Transmissions using Null Subcarriers with Distinct Spacings," Proc. of 3rd IEEE Workshop on Signal Processing Advances in Wireless Communications, pp. 146-149, Taoyuan, Taiwan, R.O.C, March 20-23, 2001.





Page 174 of 265

Attorney Docket No.: 35841-0004003


Georgios B. Giannakis et al. 13/777,993 2/26/2013 1348

Applicant Serial No. Filed Conf Title ESTIMATING FREQUENCE-OFFSETS AND MULTI-ANTENNA CHANNELS

IN MIMO OFDM SYSTEMS


INFORMATION DISCLOSURE STATEMENT

Please consider the references listed on the enclosed PT0-1449 form. Non-patent

literature is enclosed.

This statement is being filed within three months of the filing date of the application or

before the receipt of a first Office Action on the merits. Please apply any necessary charges or

credits to Deposit Account 06-1050, referencing the above attorney docket number.

Date: May 6, 2013


11268014.doc




Page 175 of 265


EFSID: 15677581
















File Listing:



1015340

1 Non Patent Literature 121_NPL_ 157.pdf no 16 041 bdab6cea74d675da9f7a55d3533e5343

ab114

Warnings:

Information:


Page 176 of 265

1110008

2 Non Patent Literature 122_NPL_ 158.pdf no 18 eb8a 1 c9c17e1968266661a17818df3a7a98

36544

Warnings:

Information:

773139

3 Non Patent Literature 123_NPL_ 159.pdf no 10 cOS 7 acl 86faca06 7 df6e0c65 6b022460c3 cS

0489

Warnings:

Information:

1063501

4 Non Patent Literature 124_NPL_ 160.pdf no 13 c49916efb7ae 131b17 cl dee 1 b004e42382f(

3288

Warnings:

Information:

1243832

5 Non Patent Literature 125_NPL_ 161.pdf no 17 1df9dae6cf14c8a4c0c007 ec4bf370261 b86

2a9f

Warnings:

Information:

1051857

6 Non Patent Literature 126_NPL_ 162.pdf no 15 aae235beae1242c2aaa1 a68bb61 b6888f4c

13a6a

Warnings:

Information:

489526

7 Non Patent Literature 127_NPL_163.pdf no 4 de 18b55d86dee3a68f0bb91 b4c438d000f8

a68fe

Warnings:

Information:

614618

8 Non Patent Literature 128_NPL_ 164.pdf no 5 4dc3f9f3e2c2d8d1 94e497f3321471 b23e36

57cc

Warnings:

Information:

375660

9 Non Patent Literature 129_NPL_ 165.pdf no 6 ca 13864cfe9dca0657e0c6da2b7635212fc6

17e0

Warnings:

Information:

1315714

10 Non Patent Literature 130_NPL_ 166.pdf no 17 cdae8403a3bba6de85d2532a502c3b5587(

97159

Warnings:

Information:


Page 177 of 265

317839

11 Non Patent Literature 131_NPL_167.pdf no 4 53 d ebbd4ab8e83 08614 9d 1 a69 7961 e4e3 d

611725

Warnings:

Information:

853541

12 Non Patent Literature 132_NPL_ 168.pdf no 12 b39a42b43f2ca2b80d945b97dcf7a93f718C

245b

Warnings:

Information:

606506

13 Non Patent Literature 133_NPL_ 169.pdf no 10 f92f9fa3cc18d6cb6a6cec4c20e75f7d2fd50

doe

Warnings:

Information:

730156

14 Non Patent Literature 134_NPL_ 170.pdf no 12 a843e5e2b3639d1 e33e61e6bc84b62047 ec

a159a

Warnings:

Information:

381003

15 Non Patent Literature 135_NPL_ 171.pdf no 5 46 71 f0ae88b96bb4ca678702 7 c2 cS 80d 7 eb

4ae0f

Warnings:

Information:

257844

16 Non Patent Literature 136_NPL_ 172.pdf no 4 78df0cf7de13a84b7a1 044ebc298dd8f2fe8

7403

Warnings:

Information:

318883

17 Non Patent Literature 137_NPL_173.pdf no 4 7 cl 9daebba2f9ceb42cce00c0292b4a674c

05c6f

Warnings:

Information:

362811

18 Non Patent Literature 138_NPL_ 174.pdf no 5 48c1 068c741 d70ca416fe1 62750cc83a954

6f88

Warnings:

Information:

2069519

19 Non Patent Literature 139_NPL_ 175.pdf no 15 178220159b72ef8d210809daa089c101 034

f01e0

Warnings:

Information:


Page 178 of 265

1349737

20 Non Patent Literature 140_NPL_ 176.pdf no 11 f364d2e 7197de90a4a2b 13c619d45839392

5aef7

Warnings:

Information:

410540

21 Non Patent Literature 141_NPL_177 .pdf no 6 6d3440a7d42d562172c225c1 7031356619

d74fa

Warnings:

Information:

386734

22 Non Patent Literature 142_NPL_ 178.pdf no 5 cd78979dbd7fadd033f034f11 dc8604042a

b85ff

Warnings:

Information:

1766256

23 Non Patent Literature 143_NPL_ 179.pdf no 21 76692f0015a9035ab471108bed1f687a0ffc

a24b

Warnings:

Information:

1033920

24 Non Patent Literature 144_NPL_ 180.pdf no 13 1 Of5ad90821f4b37a1 a91b35e3303be7a7 c

b43d0

Warnings:

Information:

821935

25 Non Patent Literature 145_NPL_ 181.pdf no 10 83b81989f018744bc0265dd4fdfe78596a9(

c39c

Warnings:

Information:

389280

26 Non Patent Literature 146_NPL_ 182.pdf no 6 b4d 7 4 3 a 7 c8f2f0b0 794df3f2ffd 090f6beacb

895

Warnings:

Information:

1032457

27 Non Patent Literature 147_NPL_183.pdf no 13 8cca523 eOa 1 0 7 d bcfeba3 cd Od663488b0 7 a

cca74

Warnings:

Information:

1057865

28 Non Patent Literature 148_NPL_ 184.pdf no 14 be 7987 af7 c3 a985 9effc82 Oae4 5 88cfed5 e 14

feS

Warnings:

Information:


Page 179 of 265

1395423

29 Non Patent Literature 149_NPL_ 185.pdf no 20 d e3 Of2c08fcebab 15 98b2 6b0c 79 3 eS 90f23 c

6b0f

Warnings:

Information:

1184479

30 Non Patent Literature 150_NPL_ 186.pdf no 14 911 f4505c44ff635f62e4ced6d32db59b831

70d0

Warnings:

Information:

585786

31 Non Patent Literature 151_NPL_ 187.pdf no 5 3152ec16518f17 e013e873b9c0eabf365c1 c

f992

Warnings:

Information:

1169567

32 Non Patent Literature 152_NPL_ 188.pdf no 41 65483f879d36f4e 13c127e1 f3384c6e95658

b257

Warnings:

Information:

2551019

33 Non Patent Literature 153_NPL_ 189.pdf no 91 6ad 193b6171 f6eb3057 e57bd0c7 ed56b78

Oc97c

Warnings:

Information:

2577432

34 Non Patent Literature 154_NPL_ 190.pdf no 78 e97771 Odc25f202cdf85bcf0d4e3327bd6a0

3b6c

Warnings:

Information:

153818

35 Non Patent Literature 155_NPL_ 191.pdf no 5 73d871f1e39d83604d18008845c70a11 Oc4

d2ec5

Warnings:

Information:

453602

36 Non Patent Literature 156_NPL_ 192.pdf no 4 ebb6c1 731 f80a61 d8530370f3bd35fecff0d

b31

Warnings:

Information:

37 Information Disclosure Statement (IDS)

IDS_1449.pdf Form (SBOS)

177827

no 15 a53cdc7ab4df5d3df1del4031 d7bcc0bfe1

666c

Warnings:

Information:


Page 180 of 265

This is not an USPTO supplied IDS fillable form

45090 38 Transmittal Letter IDS_ Transmittal.pdf no 1

80659704357 c2a4aa47 cddb91893a87a221 b8936

Warnings:

Information:







Page 181 of 265

13777993

PLUS Search Results for S/N 13777993, Searched Fri May 03 16:54:34 EDT 2013 The Patent Linguistics Utility System (PLUS) is a USPTO automated search system

for U.S. Patents from 1971 to the present PLUS is a query-by-example search system which produces a list of patents that are most closely related linguistically to the application searched. This search was prepared by the staff of the Scientific and Technical Information Center, SIRA.

6317700 40 4511908 34 5771182 33 5793315 33 4913560 33 5502462 33 5535279 33 5598442 33 5615161 33 5644826 33 5651033 33 5673169 33 5694612 33 5697173 33 5832047 33 5857485 33 5949049 33 5979494 33 6097021 33 H001898 33 6204854 33 6249803 33 6256659 33 20020080513 33 20040062633 33 20040081538 33 2005022557 4 33 20050230123 33 20070034383 33 20070037598 33 20080043710 33 20080087 418 33 20120236090 33 20120236092 33 6186842 32 5797544 32 6451516 32 6455210 32 4815029 32 5745109 30 20060114497 30 20110161511 30 20120117479 30 H000011 30 20040182722 29 5502157 28 4531201 28 4625295 28 4941124 28

5528270 28 5946006 28 4494459 27 5018002 27 5391053 27 5428085 27 5805025 27 4518786 27 4559400 27 5452455 27 5559972 27 5600805 27 5644313 27 5672860 27 5747785 27 5781778 27 5794046 27 5798762 27 5808873 27 5835024 27 5882255 27 5883338 27 5923861 27 6038254 27 5638530 27 4363911 27 4855333 27 4888727 27 5201041 27 5245579 27 5332164 27 5363484 27 5392434 27 5627534 27 5659777 27 5765485 27 5956741 27 6018354 27 6217932 27 6217932 27 6321262 27 5177633 27 5317751 27 5353413 27 5357236 27 5381126 27 5416783 27 5479518 27 5483058 27

5508679 27 5585770 27


Page 182 of 265

1.


FISH & RICHARDSON P.C. (TC) PO BOX 1022 MINNEAPOLIS MN 55440-1022

Decision Granting Request for Prioritized Examination (Track I or After RCEJ

M IA\ Il IL IE MAR 2 6 2013

Commissioner for Patents

~ United States Patent and Trademark Office


www.uspto.gov

OFFICE OF PETITIONS

Doc Code: TRACK1 .GRANT

Application No.: 13n77,993

THE REQUEST FILED _-"-Fe=b ..... ru=a_,rv'""'2=6""". 2=0:...o.1.;..3 __ IS GRANTED.

The above-identified application has met the requirements for prioritized examination A. 1:8] for an original nonprovisional application (Track I). B. D for an application undergoing continued examination (RCE).

2. The above-identified application will undergo prioritized examination. The application will be accorded special status throughout its entire course of prosecution until one of the following occurs:

A. filing a petition for extension of time to extend the time period for filing a reply;

B. filing an amendment to amend the application to contain more than four independent

claims. more than thirty total claims, or a multiple dependent claim;

C. filing a request for continued examination;

D. filing a notice of appeal;

E. filing a request for suspension of action;

F. mailing of a notice of allowance;

G. mailing of a final Office action;

H. completion of examination as defined in 37 CFR 41.102; or

I. abandonment of the application.

Telephone inquiries with regard to this decision should be directed to Brian W. Brown at 571-272-5338.

/Brian W. Brown/ [Signature]

U.S. Patent and Trademark Office PT0-2298 (Rev. 02-2012)

Petitions Examiner, Office of Petitions (Title)


Page 183 of 265

PATENT APPLICATION FEE DETERMINATION RECORD Application or Docket Number

Substitute for Form PT0-875 13/777,993

APPLICATION AS FILED - PART I OTHER THAN

(Column 1) (Column 2) SMALL ENTITY OR SMALL ENTITY

FOR NUMBER FILED NUMBER EXTRA RATE($) FEE($) RATE($) FEE($)

BASIC FEE N/A N/A N/A 70 N/A (37 CFR 1.16(a), (b), or (c))

SEARCH FEE N/A N/A N/A 300 N/A (37 CFR 1.16(k), (i), or (m))

EXAMINATION FEE N/A N/A N/A 360 N/A (37 CFR 1.16(0), (p), or (q))

TOTAL CLAIMS 29 minus 20= 9 (37 CFR 1.16(i)) x 40 = 360 OR

INDEPENDENT CLAIMS 3 minus 3 = x 210 = 0.00 (37 CFR 1.16(h))

If the specification and drawings exceed 100 APPLICATION SIZE sheets of paper, the application size fee due is FEE $31 O ($155 for small entity) for each additional 0.00 (37 CFR 1.16(s)) 50 sheets or fraction thereof. See 35 U.S.C.

41 (a)(1 )(G) and 37 CFR 1.16(s).

MULTIPLE DEPENDENT CLAIM PRESENT (37 CFR 1.16(j)) 0.00

* If the difference in column 1 is less than zero, enter "O" in column 2. TOTAL 1090 TOTAL


OTHER THAN

(Column 1) (Column 2) (Column 3) SMALL ENTITY OR SMALL ENTITY

CLAIMS HIGHEST REMAINING NUMBER PRESENT

RATE($) ADDITIONAL

RATE($) ADDITIONAL

<( AFTER PREVIOUSLY EXTRA FEE($) FEE($) I- AMENDMENT PAID FOR z w Total Minus

.. = OR ~ (37 CFR 1.16(i)) x = x =

0 Independent ... -z Minus x = OR x = w (37CFR 1.16(h))

~ Application Size Fee (37 CFR 1.16(s)) <(

FIRST PRESENTATION OF MULTIPLE DEPENDENT CLAIM (37 CFR 1.16(j)) OR

TOTAL OR

TOTAL ADD'L FEE ADD'L FEE


CLAIMS HIGHEST REMAINING NUMBER PRESENT

RATE($) ADDITIONAL

RATE($) ADDITIONAL

Ill AFTER PREVIOUSLY EXTRA FEE($) FEE($) I- AMENDMENT PAID FOR z w Total Minus .. = x = OR ~ (37 CFR 1.16(i))

x =

0 Independent Minus ... = z x = OR x = w (37CFR 1.16(h))

~ Application Size Fee (37 CFR 1.16(s)) <(

OR FIRST PRESENTATION OF MULTIPLE DEPENDENT CLAIM (37 CFR 1.16(j))

TOTAL OR

TOTAL ADD'L FEE ADD'L FEE

* If the entry in column 1 is less than the entry in column 2, write "O" in column 3. ** If the "Highest Number Previously Paid For" IN THIS SPACE is less than 20, enter "20".

*** If the "Highest Number Previously Paid For" IN THIS SPACE is less than 3, enter "3". The "Highest Number Previously Paid For" (Total or Independent) is the highest found in the appropriate box in column 1.


Page 184 of 265

APPLICATION NUMBER FILING OR 3 71 (C) DATE

13/777,993

26191 FISH & RICHARDSON P.C. (TC) PO BOX 1022 MINNEAPOLIS, MN 55440-1022

02/26/2013



FIRST NAMED APPLICANT ATTY. DOCKET NO./TITLE

Georgios B. Giannakis 35841-0004003 CONFIRMATION N0.1348

POA ACCEPTANCE LETTER

111111111111111111111111]~!l]~~1~~1~~HU~ ~1~ ~11111111111111111111111111 Date Mailed: 03/22/2013

NOTICE OF ACCEPTANCE OF POWER OF ATTORNEY

This is in response to the Power of Attorney filed 02/26/2013.

The Power of Attorney in this application is accepted. Correspondence in this application will be mailed to the above address as provided by 37 CFR 1.33.

/dberios/

Office of Data Management, Application Assistance Unit (571) 272-4000, or (571) 272-4200, or 1-888-786-0101

page 1of1


Page 185 of 265

APPLICATION



NUMBER FILING or

37l(c)DATE GRPART

UNIT FIL FEE REC'D ATTY.DOCKET.NO TOT CLAIMS IND CLAIMS

13/777,993 02/26/2013 1112 35841-0004003 29 3

26191


FILING RECEIPT FISH & RICHARDSON P.C. (TC) PO BOX 1022 MINNEAPOLIS, MN 55440-1022

111111111111111111111111]~!l]~~1~~1~~HU~ jl~ ~1111111111111111111111111

Date Mailed: 03/22/2013

Receipt is acknowledged of this non-provisional patent application. The application will be taken up for examination in due course. Applicant will be notified as to the results of the examination. 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

lnventor(s)

Applicant( s)

Georgios B. Giannakis, Minnetonka, MN; Xiaoli Ma, Auburn, AL;

Regents of the University of Minnesota, Saint Paul, MN Assignment For Published Patent Application

REGENTS OF THE UNIVERSITY OF MINNESOTA, Saint Paul, MN

Power of Attorney: The patent practitioners associated with Customer Number 26191

Domestic Priority data as claimed by applicant This application is a CON of 13/301,482 11 /21 /2011 which is a CON of 10/850,961 05/21/2004 PAT 8064528 which claims benefit of 60/472,297 05/21/2003

Foreign Applications for which priority is claimed (You may be eligible to benefit from the Patent Prosecution Highway program at the USPTO. Please see http://www.uspto.gov for more information.) - None. Foreign application information must be provided in an Application Data Sheet in order to constitute a claim to foreign priority. See 37 CFR 1.55 and 1.76.

If Required, Foreign Filing License Granted: 03/18/2013 The country code and number of your priority application, to be used for filing abroad under the Paris Convention, is US 13/777,993 Projected Publication Date: 06/2712013 Non-Publication Request: No Early Publication Request: No

page 1of3


Page 186 of 265

** SMALL ENTITY ** Title


Preliminary Class

Statement under 37 CFR 1.55 or 1.78 for AIA (First Inventor to File) Transition Applications: No

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 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).

page 2 of 3


Page 187 of 265

GRANTED

LICENSE FOR FOREIGN FILING UNDER

Title 35, United States Code, Section 184

Title 37, Code of Federal Regulations, 5.11 & 5.15

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 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).

Select USA

The United States represents the largest, most dynamic marketplace in the world and is an unparalleled location for business investment, innovation, and commercialization of new technologies. The U.S. offers tremendous resources and advantages for those who invest and manufacture goods here. Through SelectUSA, our nation works to promote and facilitate business investment. SelectUSA provides information assistance to the international investor community; serves as an ombudsman for existing and potential investors; advocates on behalf of U.S. cities, states, and regions competing for global investment; and counsels U.S. economic development organizations on investment attraction best practices. To learn more about why the United States is the best country in the world to develop technology, manufacture products, deliver services, and grow your business, visit http://www.SelectUSA.gov or call + 1-202-482-6800.

page 3 of 3


Page 188 of 265

Frederick P. Fish l85p930

WK. Richardson 1859-1951

ATLANTA

AUSTIN

BOSTON

DALLAS

DELAWARE

HOUSTON

MUNICH

NEW YORK

SILICON VALLEY

SOUTHERN CALIFORNIA

TWIN CITIES

WASHINGTON, DC

FISH & RICHARDSON P.C.

February 26, 2013



Presented for filing is a new continuation patent application of:

Inventor(s): GEORGIOS B. GIANNAKIS AND XIAOLI MA

Street Address 12390 EL CAMINO REAL SAN DIEGO, CALIFORNIA

92I30

Mail Address P.O. Boxrn22 MINNEAPOLIS, MINNESOTA

55440-!022

Telephone 858 678-5070

Facsimile 877 769-7945

Web Site WWW.FR.COM

John-Paul Fryckman 858 678-4396

Email Title: ESTIMATING FREQUENCE-OFFSETS AND [email protected]

MULTI-ANTENNA CHANNELS IN MIMO OFDM SYSTEMS

Assignee: Regents of the University of Minnesota

Enclosed are the following papers, including those required to receive a filing date under 37 C.F.R. § 1.53(b):

Specification Claims Abstract Declaration Drawing(s)

Enclosures:

Pages 26 4 1 2 12

Certification and Request for Prioritized Examination (Track I) Application Data Sheet, 6 pages. Preliminary amendment, 10 pages. Replacement Sheet (Figure 2), 1 page. Other: Transmittal for Power of Attorney, 1 page.

Power of Attorney by Applicant, 1 page.

This application is a continuation of U.S. Application Serial No. 13/301,482, filed November 21, 2011, which is a continuation of U.S. Application Serial No. 10/850,961, filed May 21, 2004, which claims the benefit of U.S. Provisional Application Serial No. 60/472,297, filed May 21, 2003, the entire content of each being incorporated herein by reference.


Page 189 of 265


Commissioner for Patents February 26, 2013 Page 2

Basic Filing fee

Search fee

Examination fee

Publication fee

Track I processing fee

Track I prioritized examination fee

Application size fee for each 50 pages over 100

Excess independent claim fee

Excess claim fee

Total Filing fee

Applicant Claims Small Entity Status. See 37 CFR 1.27.

Total

$98

$310

$125

$300

$130

$2400

$0

$0

$279

$3642

The filing fee in the amount of $3642 is being paid concurrently herewith on the Electronic Filing System (EFS) by way of Deposit Account authorization. Please apply all charges or credits to Deposit Account No. 06-1050, referencing Attorney Docket No. 35841-0004003.

If this application is found to be incomplete, or if a telephone conference would otherwise be helpful, please call the undersigned at (858) 678-5070.

Please direct all correspondence to the following:


/W. Karl Renner/

W. Karl Renner Reg. No. 41,265 Enclosures WKR/mom 11268032.doc

26191 PTO Customer Number


Page 190 of 265

Frederick P. Fish l85p930

WK. Richardson 1859-1951

ATLANTA

AUSTIN

BOSTON

DALLAS

DELAWARE

HOUSTON

MUNICH

NEW YORK

SILICON VALLEY

SOUTHERN CALIFORNIA

TWIN CITIES

WASHINGTON, DC


February 26, 2013



Presented for filing is a new continuation patent application of:

Inventor(s): GEORGIOS B. GIANNAKIS AND XIAOLI MA

Street Address 12390 EL CAMINO REAL SAN DIEGO, CALIFORNIA

92I30

Mail Address P.O. Boxrn22 MINNEAPOLIS, MINNESOTA

55440-!022

Telephone 858 678-5070

Facsimile 877 769-7945

Web Site WWW.FR.COM

John-Paul Fryckman 858 678-4396

Email Title: ESTIMATING FREQUENCE-OFFSETS AND [email protected]

MULTI-ANTENNA CHANNELS IN MIMO OFDM SYSTEMS

Assignee: Regents of the University of Minnesota

Enclosed are the following papers, including those required to receive a filing date under 37 C.F.R. § 1.53(b):

Specification Claims Abstract Declaration Drawing(s)

Enclosures:

Pages 26 4 1 2 12

Certification and Request for Prioritized Examination (Track I) Application Data Sheet, 6 pages. Preliminary amendment, 10 pages. Replacement Sheet (Figure 2), 1 page. Other: Transmittal for Power of Attorney, 1 page.

Power of Attorney by Applicant, 1 page.

This application is a continuation of U.S. Application Serial No. 13/301,482, filed November 21, 2011, which is a continuation of U.S. Application Serial No. 10/850,961, filed May 21, 2004, which claims the benefit of U.S. Provisional Application Serial No. 60/472,297, filed May 21, 2003, the entire content of each being incorporated herein by reference.


Page 191 of 265


Commissioner for Patents February 26, 2013 Page 2

Basic Filing fee

Search fee

Examination fee

Publication fee

Track I processing fee

Track I prioritized examination fee

Application size fee for each 50 pages over 100

Excess independent claim fee

Excess claim fee

Total Filing fee

Applicant Claims Small Entity Status. See 37 CFR 1.27.

Total

$98

$310

$125

$300

$130

$2400

$0

$0

$279

$3642

The filing fee in the amount of $3642 is being paid concurrently herewith on the Electronic Filing System (EFS) by way of Deposit Account authorization. Please apply all charges or credits to Deposit Account No. 06-1050, referencing Attorney Docket No. 35841-0004003.

If this application is found to be incomplete, or if a telephone conference would otherwise be helpful, please call the undersigned at (858) 678-5070.

Please direct all correspondence to the following:


/W. Karl Renner/

W. Karl Renner Reg. No. 41,265 Enclosures WKR/mom 11268032.doc

26191 PTO Customer Number


Page 192 of 265

PTO/SB/424 (12-11)

CERTIFICATION AND REQUEST FOR PRIORITIZED EXAMINATION UNDER 37 CFR 1.102(e) (Page 1of1)

First Named Inventor: Georgios B. Giannakis I Nonprovisional Application Number (if I unknown

known):

Title of Invention: Estimating Frequence-Offsets and Multi-Antenna Channels in MIMO OFDM Systems

APPLICANT HEREBY CERTIFIES THE FOLLOWING AND REQUESTS PRIORITIZED EXAMINATION FOR THE ABOVE-IDENTIFIED APPLICATION.

1. The processing fee set forth in 37 CFR 1.17(i), the prioritized examination fee set forth in 37 CFR 1.17(c), and if not already paid, the publication fee set forth in 37 CFR 1.18(d) have been filed with the request. The basic filing fee, search fee, examination fee, and any required excess claims and application size fees are filed with the request or have been already been paid.

2. The application contains or is amended to contain no more than four independent claims and no more than thirty total claims, and no multiple dependent claims.

3. The applicable box is checked below:

I. IZI Original Application (Track One) - Prioritized Examination under§ 1.102(e)(1)

i. (a) The application is an original non provisional utility application filed under 35 U.S.C. 111 (a). This certification and request is being filed with the utility application via EFS-Web.

---OR---(b) The application is an original nonprovisional plant application filed under 35 U.S.C. 111 (a). This certification and request is being filed with the plant application in paper.

ii. An executed oath or declaration under 37 CFR 1.63 is filed with the application.

II. 0 Request for Continued Examination - Prioritized Examination under§ 1.102(e)(2)

i. A request for continued examination has been filed with, or prior to, this form, ii. If the application is a utility application, this certification and request is being filed via EFS-Web. iii. The application is an original nonprovisional utility application filed under 35 U.S.C. 111 (a), or is

a national stage entry under 35 U.S.C. 371. iv. This certification and request is being filed prior to the mailing of a first Office action responsive

to the request for continued examination. v. No prior request for continued examination has been granted prioritized examination status

under 37 CFR 1.102(e)(2).

Signature /W. Karl Renner/ Date 2/26/2013

Name W. Karl Renner Practitioner (Print/Tvoed) Reaistration Number 41265

Note: Signatures of all the inventors or assignees of record of the entire interest or their representative(s) are required in accordance with 37 CFR 1.33 and 11.18. Please see 37 CFR 1.4(d) for the form of the signature. If necessary, submit multiple forms for more than one signature, see below*.

~ *Total of 1 forms are submitted.

11268021.doc

American LegalNet, Inc. h.., v,rw\v.Forrns'NmkFlow.corn ~~'j.1


Page 193 of 265

PTO/AIN14 (08-12) Approved for use through 01/31/2014. OMB 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 contains a valid OMB control number.

Attorney Docket Number 35841-0004003 Application Data Sheet 37 CFR 1.76

Application Number

Title of Invention ESTIMATING FREQUENCY-OFFSETS AND MUL Tl-ANTENNA CHANNELS IN MIMO OFDM SYSTEMS

The application data sheet is part of the provisional or nonprovisional application for which it is being submitted. The following form contains the bibliographic data arranged in a format specified by the United States Patent and Trademark Office as outlined in 37 CFR 1.76. This document may be completed electronically and submitted to the Office in electronic format using the Electronic Filing System (EFS) or the document may be printed and included in a paper filed application.

Secrecy Order 37 CFR 5.2 Portions or all of the application associated with this Application Data Sheet may fall under a Secrecy Order pursuant to

D 37 CFR 5.2 (Paper filers only. Applications that fall under Secrecy Order may not be filed electronically.)

Inventor Information:

Inventor 1 I Remove I Legal Name

Prefix Given Name Middle Name Family Name


Residence Information (Select One) (!) US Residency 0 Non US Residency 0 Active US Military Service

City Minnetonka I State/Province I MN I Country of Residence i I US

Mailing Address of Inventor:

Address 1 2561 Abbey Hill Dr.

Address 2

City I Minnetonka I State/Province I MN

Postal Code 1 55305 I Country 1 1 us

Inventor 2 I Remove I Legal Name

Prefix Given Name Middle Name Family Name

Xiaoli Ma

Residence Information (Select One) (!) US Residency 0 Non US Residency O Active US Military Service

City Auburn I State/Province I AL I Country of Residence i I US

Mailing Address of Inventor:

Address 1 1449 Richland Road

Address 2 Apartment 7 J

City I Auburn I State/Province I AL

Postal Code I 36832 I Country 1 I us All Inventors Must Be Listed - Additional Inventor Information blocks may be

I generated within this form by selecting the Add button.

Correspondence Information: Enter either Customer Number or complete the Correspondence Information section below. For further information see 37 CFR 1.33(a).

EFS Web 2.2.5

Add I

Suffix

Suffix


Page 194 of 265


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 contains a valid OMB control number.


Application Number


D An Address is being provided for the correspondence Information of this application.

Customer Number 26191

Email Address I I Add Email I !Remove Emaill

Application Information:

Title of the Invention ESTIMATING FREQUENCY-OFFSETS AND MUL Tl-ANTENNA CHANNELS IN MIMO OFDM SYSTEMS

Attorney Docket Number 3584 1-0004003 I Small Entity Status Claimed lg]

Application Type Nonprovisional

Subject Matter Utility

Suggested Class (if any) !Sub Class (if any) I Suggested Technology Center (if any)

Total Number of Drawing Sheets (if any) 12 I Suggested Figure for Publication (if any) I

Publication Information: D Request Early Publication (Fee required at time of Request 37 CFR 1.219)

Request Not to Publish. I hereby request that the attached application not be published under

D 35 U.S.C. 122(b) and certify that the invention disclosed in the attached application has not and will not be the subject of an application filed in another country, or under a multilateral international agreement, that requires publication at eighteen months after filing.

Representative Information:

Representative information should be provided for all practitioners having a power of attorney in the application. Providing this information in the Application Data Sheet does not constitute a power of attorney in the application (see 37 CFR 1.32). Either enter Customer Number or complete the Representative Name section below. If both sections are completed the customer Number will be used for the Representative Information during processing.

Please Select One: ® Customer Number I 0 US Patent Practitioner lo Limited Recognition (37 CFR 11.9)

Customer Number 26191

Domestic Benefit/National Stage Information: This section allows for the applicant to either claim benefit under 35 U.S.C. 119(e), 120, 121, or 365(c) or indicate National Stage entry from a PCT application. Providing this information in the application data sheet constitutes the specific reference required by 35 U.S.C. 119(e) or 120, and 37 CFR 1.78.

Prior Application Status Pending I Remove I Application Number Continuity Type Prior Application Number Filing Date (YYYY-MM-DD)

Continuation of 13301482 2011-11-21

EFS Web 2.2.5


Page 195 of 265




Application Number


Prior Application Status I Patented I I Remove I Application Prior Application Filing Date Issue Date

Number Continuity Type

Number (YYYY-MM-DD) Patent Number (YYYY-MM-DD)

13301482 Continuation of 10850961 2004-05-21 8064528 2011-11-22

Prior Application Status Expired I Remove I Application Number Continuity Type Prior Application Number Filing Date (YYYY-MM-DD)

10850961 non provisional of 60472297 2003-05-21

Additional Domestic Benefit/National Stage Data may be generated within this form I Add I by selecting the Add button.

Foreign Priority Information: This section allows for the applicant to claim benefit of foreign priority and to identify any prior foreign application for which priority is not claimed. Providing this information in the application data sheet constitutes the claim for priority as required by 35 U.S.C. 119(b) and 37 CFR 1.55(a).

I Remove I Application Number Country i Filing Date (YYYY-MM-DD) Priority Claimed

0 Yes

Additional Foreign Priority Data may be generated within this form by selecting the Add button. I Add I

Authorization to Permit Access:

D Authorization to Permit Access to the Instant Application by the Participating Offices

If checked. the undersigned hereby grants the USPTO authority to provide the European Patent Office (EPO), the Japan Patent Office (JPO), the Korean Intellectual Property Office (KIPO), the World Intellectual Property Office (WIPO), and any other intellectual property offices in which a foreign application claiming priority to the instant patent application is filed access to the instant patent application. See 37 CFR 1.14(c) and (h). This box should not be checked if the applicant does not wish the EPO, JPO, KIPO, WIPO, or other intellectual property office in which a foreign application claiming priority to the instant patent application is filed to have access to the instant patent application.

In accordance with 37 CFR 1.14(h)(3), access will be provided to a copy of the instant patent application with respect to: 1) the instant patent application-as-filed; 2) any foreign application to which the instant patent application claims priority under 35 U.S.C. 119(a)-(d) if a copy of the foreign application that satisfies the certified copy requirement of 37 CFR 1.55 has been filed in the instant patent application; and 3) any U.S. application-as-filed from which benefit is sought in the instant patent application.

In accordance with 37 CFR 1.14(c), access may be provided to information concerning the date offiling this Authorization.

EFS Web 2.2.5

0 No


Page 196 of 265




Application Number


Applicant Information:

Providing assignment information in this section does not substitute for compliance with any requirement of part 3 of Title 37 of CFR to have an assignment recorded by the Office.

Applicant 1 I Remove I If the applicant is the inventor (or the remaining joint inventor or inventors under 37 CFR 1.45), this section should not be completed. The information to be provided in this section is the name and address of the legal representative who is the applicant under 37 CFR 1.43; or the name and address of the assignee, person to whom the inventor is under an obligation to assign the invention, or person who otherwise shows sufficient proprietary interest in the matter who is the applicant under 37 CFR 1.46. If the applicant is an applicant under 37 CFR 1.46 (assignee, person to whom the inventor is obligated to assign, or person who otherwise shows sufficient proprietary interest) together with one or more joint inventors, then the joint inventor or inventors who are also the applicant should be identified in this section.

I Clear I (!) Assignee lo Legal Representative under 35 U.S.C. 117 lo Joint Inventor

0 Person to whom the inventor is obligated to assign. lo Person who shows sufficient proprietary interest

If applicant is the legal representative, indicate the authority to file the patent application, the inventor is:

I

Name of the Deceased or Legally Incapacitated Inventor : I

If the Applicant is an Organization check here. ~ Organization Name I Regents of the University of Minnesota

Mailing Address Information:

Address 1 1000 Westgate Drive, Suite 160

Address 2

City Saint Paul State/Province MN

Country ii us Postal Code 55114-8658

Phone Number Fax Number

Email Address

Additional Applicant Data may be generated within this form by selecting the Add button. I Add I

Non-Applicant Assignee Information:

Providing assignment information in this section does not subsitute for compliance with any requirement of part 3 of Tille 37 of CFR to have an assignment recorded by the Office.

EFS Web 2.2.5


Page 197 of 265




Application Number


Assignee 1

Complete this section only if non-applicant assignee information is desired to be included on the patent application publication in accordance with 37 CFR 1.215(b). Do not include in this section an applicant under 37 CFR 1.46 (assignee, person to whom the inventor is obligated to assign, or person who otherwise shows sufficient proprietary interest), as the patent application publication will include the name of the applicant(s).

I Remove I If the Assignee is an Organization check here. D Prefix Given Name Middle Name Family Name Suffix

Mailing Address Information:

Address 1

Address 2

City I State/Province

Country i I Postal Code

Phone Number Fax Number

Email Address

Additional Assignee Data may be generated within this form by selecting the Add button. I Add I

Signature: Remove

NOTE: This form must be signed in accordance with 37 CFR 1.33. See 37 CFR 1.4 for signature requirements and certifications

Signature IW. Karl Renner/ Date (YYYY-MM-DD) 2013-02-26

First Name W. Karl I Last Name I Renner Registration Number 41265

Additional Signature may be generated within this form by selecting the Add button. I Add I

This collection of information is required by 37 CFR 1.76. 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 23 minutes to complete, including gathering, preparing, and submitting the completed application data sheet 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.

EFS Web 2.2.5


Page 198 of 265


The Privacy Act of 1974 (P .L. 93-579) requires that you be given certain information in connection with your submission of the attached form related to a patent application or patent. Accordingly, pursuant to the requirements of the Act, please be advised that: (1) the general authority for the collection of this information is 35 U.S.C. 2(b)(2); (2) furnishing of the information solicited is voluntary; and (3) the principal purpose for which the information is used by the U.S. Patent and Trademark Office is to process and/or examine your submission related to a patent application or patent. If you do not furnish the requested information, the U.S. Patent and Trademark Office may not be able to process and/or examine your submission, which may result in termination of proceedings or abandonment of the application or expiration of the patent.

The information provided by you in this form will be subject to the following routine uses:

1. The information on this form will be treated confidentially to the extent allowed under the Freedom of Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C. 552a). Records from this system of records may be disclosed to the Department of Justice to determine whether the Freedom of Information Act requires disclosure of these records.

2. A record from this system of records may be disclosed, as a routine use, in the course of presenting evidence to a court, magistrate, or administrative tribunal, including disclosures to opposing counsel in the course of settlement negotiations.

3. A record in this system of records may be disclosed, as a routine use, to a Member of Congress submitting a request involving an individual, to whom the record pertains, when the individual has requested assistance from the Member with respect to the subject matter of the record.

4. A record in this system of records may be disclosed, as a routine use, to a contractor of the Agency having need for the information in order to perform a contract. Recipients of information shall be required to comply with the requirements of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C. 552a(m).

5. A record related to an International Application filed under the Patent Cooperation Treaty in this system of records may be disclosed, as a routine use, to the International Bureau of the World Intellectual Property Organization, pursuant to the Patent Cooperation Treaty.

6. A record in this system of records may be disclosed, as a routine use, to another federal agency for purposes of National Security review (35 U.S.C. 181) and for review pursuant to the Atomic Energy Act (42 U.S.C. 218(c)).

7. A record from this system of records may be disclosed, as a routine use, to the Administrator, General Services, or his/her designee, during an inspection of records conducted by GSA as part of that agency's responsibility to recommend improvements in records management practices and programs, under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall be made in accordance with the GSA regulations governing inspection of records for this purpose, and any other relevant (i.e., GSA or Commerce) directive. Such disclosure shall not be used to make determinations about individuals.

8. A record from this system of records may be disclosed, as a routine use, to the public after either publication of the application pursuan to 35 U.S.C. 122(b) or issuance of a patent pursuant to 35 U.S.C. 151. Further, a record may be disclosed, subject to the limitations of 37 CFR 1.14, as a routine use, to the public if the record was filed in an application which became abandoned or in which the proceedings were terminated and which application is referenced by either a published application, an application open to public inspections or an issued patent.


EFS Web 2.2.5


Page 199 of 265


( DECLARATION (37CFR1.63) FOR UTILITY OR DESIGN APPLICATION USING AN APPLICATION DATA SHEET (37CFR1.76)

Title of Invention

ESTIMATING FREOUENCE-OFFSETS AND MULTI-ANTENNA CHANNELS IN MIMO OFDM SYSTEMS

As the below named inventor, l hereby declare that:

This declaration ~ The attached application, or is directed to:

0 United States application or PCT international application number ---------

filed on

The above-identified appHcation was made or authorized to be made by me.

I believe that I am the original inventor or an original joint inventor of a claimed invention in the application.

t hereby acknowledge that any willful false statement made in this declaration is punishable under 18 U.S.C. 1001 by fine or imprisonment of not more than five (5) years, or both.

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 PT0-2038 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 applir.ation 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 PT0-2038 submitted for payment purposes are not retained in the application file and therefore are not publicly available.

LEGAL NAME OF INVENTOR

Note: An application data sheet (PTO/SB/14 or equivalent}, including naming the entire inventive entity, must accompany this form or must have been previously filed. Use an additional PTOfAIAf01 form for each additional inventor.

This collection of irrformation is required by 35 U.S.C. 115 and 37 CFR 1.63. 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 C',ollection is estimated to take 1 minute to compiete, 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/o; 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 NQT SEND FEES QR 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. lJ 265985.doc


Page 200 of 265

DECLARATION (37 CFR 1.63) FOR UTILITY OR DESIGN APPLICATION USING AN APPLICATION DATA SHEET (37 CFR 1.76)

Tltlo of ln111rntion

ESTIMATING FREQUENCE-OFFSETS AND MUL rl-ANTENN/1 CHANNELS !N MIMO OFDM SYSTEMS

As the below named inw:ntor. I hereby decl;ire that

Thi~ d;iclarat1on lSJ is directed !tx

The attached application, or

CJ United States applic;it:on or PCT intunational appl!calion number

11!.~d on ------------------~----------~----~

The abovc-idcrllified application was mads or authorized to !Je made by rrm,

I bE;lieve that I am !he original in-ientor or an original 1oint i:wenlor of a c!airrwd inverniim in !he application.

! hereby acknow!edge that any willful false statement made h this declaration is punishable under -ia U.S.C. 1001 by fine or imprisonment af not more than fiwJ (5) years, or both.

WARNING: Pe1itioner/;ipplican! is cau!1oned !o avoid subrrntling personal infomrn!:on ir» documents fi!&d 1r. a priteol appl:c,1l1on that may con~ritn;te to idr:nt-ity th:"?fL Pert,r;rlctl lnformation such a~; sc.c:a1 security numbers, ban~: ~ccount numbers, or crecM card nurntF3rs (other !han a ctrnck or cred•t card authorization Imm PT0-2038 subrrnHed for paynwnl purposes) is never rnquir<;;o by Urn USPTO lo s.upport a p<:ti!ion man applica!oon It !his !ype of personal inforrn;1hon 1s inducJcd in dccumm1ts sutm1itied to \hi,; USPTO, peiitionersf3pp~tcants should consider redastmg such persorw~ iriklrrna~ion from n~n doc:un1e~1ts t::eft)ff~ stibrrntting them to the USPTO. Pe:1ticnf:r/apphcant is &dviserj 1haf ~he record of a patent apptJcation is <~vailabie to the pub!;c afif:r publfcat~on oi the applicatjon {un!es~ a non-pu~JJn:a~ion reque~t in compfww~e Vlith 37 CFR 1.213(a) :s made in U1e app!tcatlon) or ~ssuancr; of a patenL furtherrn.:)re, !ha ff~cord from an abandoned rsppl;ca~ion may a~$Q bE! avati,able to 1he pubtk if i!"w ~)pp~~catton is refewnced in a publ::.hed application er an issued paten! (see 37 CFR 1.14). Checkr. and crndit caf(,j ;c1~>tt1orizat;m1 forms PT0-2038 svbmnted for payrn~nt purpcst)5 ;3re not retained in the app~~cation file and therefore art~ not publicly rr-.".a~lab:e.

LEGAL NAME OF INVENTOR

I riven tor:

Signalure:

Nr;~a· An apphc~1t1on de:Jta 5h~~t {P·rotSB/l4 or equiva:;:n-t). mcl~Cinu r1;,m1ng H~~ .,nt:rQ W1ven1ive €n~itt. must ~~cc,ornpany th:s fcrm rJ"' must hav& been previously· fifed. U~~ an ;~·::j~J~tiona! p·rorAJf·.i01 f<;nn fer u;3d1 a(MlHonal trwento~. ·

,,.,.;.N'h::.,)~~ i.~s.1•.'«a, f,~ .. , ,,._ ' ~ :·•·''· •,\ .. ·~~ ~ •"'

Generated by CamScanner


Page 201 of 265

PTO/AIA/82A (07-12) Approved for use through 11/30/2014. OMB 0651-0035

U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE Under the Panerwork Reduction Act of 1995· no nersons are renuired to resnond to a collection of information unless it disnlavs a valid OMB control number.

TRANSMITTAL FOR POWER OF ATTORNEY TO ONE OR MORE REGISTERED PRACTITIONERS

NOTE: This form is to be submitted with the Power of Attorney by Applicant form (PTO/AIA/828 or equivalent) to identify the application to which the Power of Attorney is directed, in accordance with 37 CFR 1.5. If the Power of Attorney by Applicant form is not accompanied by this transmittal form or an equivalent, the Power of Attorney will not be recognized in the application.

Application Number Unknown

Filing Date Herewith

First Named Inventor Georgios B. Giannakis

Title ESTIMATING FREQUENCE-OFFSETS AND MUL Tl-ANTENNA CHANNELS IN MIMO OFDM SYSTEMS

Art Unit Unknown

Examiner Name Unknown

Attorney Docket Number 35841-0004003

SIGNATURE of Applicant or Patent Practitioner

Signature /W. Karl Renner/ Date 2/26/2013

Name W. Karl Renner Telephone (202) 783-5070

Registration Number 62,880

NOTE: This form must be signed in accordance with 37 CFR 1.33. See 37 CFR 1.4(d) for signature requirements and certifications.

~ *Total of 1 forms are submitted.

This collection of information is required by 37 CFR 1.31, 1.32 and 1.33. The information is required to obtain or retain a benefit by the public which is to file (and by the US PTO 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 3 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-PT0-9199 and select option 2.

American LegalN et, Inc. ft v,rw\\'.Forrns'Nmk:Flow.c:orn ~~1


Page 202 of 265

(

PTOiAl.4JS2B(07°12) Approved for w&a thmugh 1113012014. OMEl 065~-oa:;s

U.S. P<i!<in< ;;nrJ Trademar~ Office; U.S. DEP1\RTMEf·n Of' COMMERCE Urn:!er!he P3perwc·rk Reducti(ln Ac! of 1995, no p<'r~r;n~ am r;,,1ui"1d to respond to a coflection cf ir.formi>ti(m t:r.les~ it displays i3 valid OMG controi mnml!Or

POWER OF ATTORNEY BY APPLiCANT ] ! hereby revoke a!I previous powers of attorney given in the application Identified in the attached transmittal letter.

~ l ~:ereby appoir:! Practitioner(s) associated with the following Customer Number as mytour attomey(s) or agent(s), and to transact all business in the Ur:ited States Patent and Trademark Office connected therewith for the application referenced :n the attached transmittai latter {form PTO/AIA/82A or equivalent): ~-1 i OR ,,,,, .. ,., .. _.._.., .. , ............... ..._ .... ..,..._..._-____________ j

0 I hereby appoint Practitionar(s) named balow as my/our attorney(s) or agent(s), and to transact all business in the United States Patent and Trademark omi)e connected therewith for the application referenced in the attached transmittal letter (form PTOiAIA/82A or equivalent):

Name Registration Number Name Registration

Please recognize or change the correspondence address for the above~ident!fied patent to: i2S'.l The addmss m;sociated wJlh ttm abo11e-men!iom;(J Customer Number.

OR

I D Tne addrems ;issociated with Customer Number: OR

Number

....--------......,--------------------------------------------------------------------------------------.--------l I

! City I Address

COUfllPj I .,........T_e_le~p,_ho_n_e ____ ~l _____________ ::::::::::::::::::::::::=:I.~'.!.~~-~~-----[ _____ ::=:::=::::::=:==:=:::::::::::=:::::::::::::::::::::::::::::::::::::::== I am the Applicant:

0 Inventor or Joint lnven!or

0 Legal Representative of a Deceased or Legally Incapacitated Inventor

~Assignee or Person to Whom the Inventor is Under an Obligation to Assign [] Person Who OtheNJise Shows Sufficient Prop!ietary Interest (e.g., a petition under 37 CFR 1.46(b}{2) was

_______________ 9!:§.~!~~:t!!1.!b£.!!f!J?.!\~~~!!Qr..9.U.?. .. 9.9.1:1Q~IT.~n~Y.9.§lt1:m.Jl~ed with this document) --------------------------------------------··-·

~n-------:--------t,.J'l.::;·:,:.k~~-~-!YBJ-~! .. ~EP.!L~-~!.!5!.~.!:~!ant

___ §.:~tr:.§!~~~--------------------- _Jt1!Jl'lf.~(! ______________ : __ 'll..{;mrf/,""' '~ -~-: ! Dat!) I ~~.t{t/2.,,. .. 0.~L'q~----------------· .. t!§-1.I!!L _________________________ M_ar{aret Am1~tr9.llR.t!~~!!I1 ! Telephone 1 YI 4.J.,i&?.Ji .. tL~l.l&u ...... _. __ . .. IL!~~--§.£1.9. .. 9.£.!::rlP..§.!.:L ... Con~_s~g!~M?._1}§9.~.r! . .B~g~n.t~ of the University of Minnesota --------------------·-----------------------·---·

NOTE: Signature - T~1is form must tie signed by the applicant Of Bpplicm1l's :epmserita:i11e in accmdarsce witt1 37 CFR ~ .33. See 37 CFR ~A for signature requirements and ce1tifications. Submit multiple forms for more than one signatl.im, see belcw • .

._,_._._._._._._._._..__.._,_. •••••••.•••••••••.•••••••••••••••••••••••••••••••••••• _..m .. ~-----------t

l8J 'Tc!al orj__ ________________ ~forms me sutlmilted.

This roile;..iior. of infoimatcn i& required by 37 Ci'R ·1.31, 1.32 and 1.33. The infcnrn.i~oo ;s mq~ired to obi<iin r;r r<'t;;ir. .i b<lnef!! ~JY the p~b;io which :s to fi:e (and by th<i US>'TO to pccc<i$&) «n «pp!iC3ijon. Confld;i:,tial~y is gm;erned by 35 U.S.C. 122 an.::! 37 Cf'i~ ·i.11 and 1. M. Thi~ roll<>r,1it1'1 ir. esti;::i>too lo !.ike ~ min:Jt,;s ;o com~~ete, ir.cltJ<ii:1g g<iii1erir.g, pr<lpe~ng, ;or.rJ swbmitting the ccmp:eted applicmion form ta the USPrO. rime w;1: ·.;wy rlepeoding upo:1 !he i:1divitiuai c:is~. Any 1:m11me:1ts en the o<mt;w1; l)f tima yt;u requirn lo complete thiri icrm and/er sugge:!ticns fer r&ducing th=s b1;rden, should be sen! !c the Chi<'f l:1formr;fon Oifi;;ar, IJ .S. P~;en! :or.rJ Trn;Jr;rnark Offir;e, U.S. Deµa;tmerit of Commeroe. P.O. Box 1450. Alexsr.dri3, \IA 2230J 0 14SO. :JO NOT SEND fTES OH COMPLETED FORMS TO THIS ADDRESS. SEND TO: Comm!ss!ormr for Pa"!el"l"!s, P.O, Box '1450, Alexandria, VA :n313·1451J.

It you need assistance in completing the form, cl'Jll 1·800·PT0~9199 and select option 2.


Page 203 of 265


The Privacy Act of 1974 (P,L 93-579} requires that you be given certain information in connect:on with your submission of the attact1ed form related to a patent application or patent. Accordingly, pursuant to the requirements of the Act, please be advised that ('1) the general authority for the collection of this information is 35 U,S.C. 2(b)(2); (2) furnishing of the information solicited is voluntary; and {3) the principal pLirpose for which the information is used by the U,S, Patent and Trademark Office is to process and/or examine your submission related to a patent application or patent. If you do not furnish the requested information, the U.S. Patent and Trademark Office may not be able to process and/or examine your submission, which may result in termination of proceedings or abandonment of the application or expiration of the patent

The information provided by you in this form will be subject to the following routine uses:

1. The information on this form will be treated confidentially to the extent allowed under the Freedom of Information Act {5 U.S.C. 552} and the Privacy Act (5 U.S.C 552a). Records from this system of records may be disclosed to the Department of Justice to determir.e whether disclosure of these records is required by the Freedom of Information Act.

2. A record from this system of records may be disclosed, as a routine use, in the course of presenting evidence to a court, magistrate, or administrative tribunal. including disclosures to opposing counsel in the course of settlement negotiations.

3. A record in this system of records may be disclosed, as a routine use, to a Member of Congress submitting a request involving an individual, to whom the record pertains, when the individual has requested assistance from the Member with respec! to the subject matter of the record.

4. A record in this system of records may be disclosed. as a routine use, to a contractor of the Agency having need for the information in order to perform a contract. Recipients of information shall be required to comply with the requirements of tile Privacy Act of i 974, as amended, pursuant to 5 U.S.C. 552a{m).

5. A record related to an International Application filed under the Patent Cooperation Treaty in this system of records may be disclosed, as a routine use, to the International Bureau of the World intellectual Property Organization, pursuant to the Patent Cooperation Treaty.

6. A record in this system of records rnay be disclosed, as a routine use, to anottier federa I agency for purposes of National Security review (35 U.S.C. '181) and for review pursuant to the Atomic Energy Act (42 U.S.C. 21S(c)).

7. A record from this system of records may be disclosed, as a routine use, to the Administrator, General Services, or his/her designee, durin9 an inspection of records conducted by GSA as part of that agency's responsibility to recommend improvements in records management practices and programs, under autt1ority of 44 U.S.C. 2904 and 2905. Such disclosure shall be made in accordance witt1 the GSA regulations governing inspection of records for this purpose, and any other relevant {i.e., GSA or Commerce) directive. Such disclosure sha!I not be used to make determinations about individuais.

8. A record from this system of records may be disclosed, as a routine use, to the public after either publication of the application pursuant to 35 U.S.C. 122{b) or issuance of a patent pursuant to 35 U.S.C. 151. Further, a record may be disclosed, subject to the iirnitations of 37 CFR 1. 14, as a routine use, to the public if the record was filed in an application which became abandoned or in which the proceedings were terminated and wt1ict1 application is referenced by either a published applicaUon, an application open to public inspection or an issued patent



Page 204 of 265



Georgios B. Giannakis et al. Unknown Herewith

Art Unit Unknown Examiner Unknown

Applicant Serial No. Filed Title ESTIMATING FREQUENCE-OFFSETS AND MULTI-ANTENNA CHANNELS

IN MIMO OFDM SYSTEMS


PRELIMINARY AMENDMENT

Prior to examination, please amend the application as indicated on the following pages.

Amendments to the Specification begin on page 2 of this paper.

Amendments to the Drawings begin on page 3 of this paper and refer to an attached

replacement sheet included in the Appendix.

Amendments to the Claims begin on page 4 of this paper.

Remarks begin on page 10 of this paper.

An Appendix including an amended drawing is attached.


Page 205 of 265


Georgios B. Giannakis et al. Unknown Herwith 2of10


Attorney's Docket No.: 35841-0004003

Please replace the paragraph beginning at page 1, paragraph [0001] with the following

amended paragraph:

[0001] This application is a continuation of U.S. Application Serial No. 13/301,482, filed

November 21, 2011, which is a continuation of U.S. Application Serial No. 10/850,961, filed

May 21, 2004 (now U.S. Patent 8,064,528), which claims the benefit of U.S. Provisional

Application Serial No. 60/472,297, filed May 21, 2003, the entire content of each being

incorporated herein by reference.

On page 1, please replace paragraph [0002] with the following amended paragraph:

[0002] This invention was made with Government support under Agency Grant No. CCR-01-

05612 awarded by the National Science Foundation and with Government support under Agency

Grant No. DAAD19-01-2-0.Ql 1 awarded by the Army Research Lab (ARL/CTA). The

Government may have has certain rights in the invention.


Page 206 of 265



Amendments to the Drawings:


Applicant submits herewith a replacement sheet for FIG. 2 of the instant application. In

the replacement sheet, Applicant has rotated the label "FIG. 2" such that the label is oriented in

the same direction as the reference characters in the figure. No new matter has been added by

way of this amendment.

Attachment: Replacement Sheet


Page 207 of 265



Amendments to the Claims:


This listing of claims replaces all prior versions and listings of claims in the application:

Listing of Claims:

1-20. (Cancelled)

21. (New) A method comprising:



wherein the forming comprises inserting, based on a hopping code, training symbols and null

subcarriers within two or more blocks of information-bearing symbols, the hopping code

directing at least a portion of the null subcarriers to be inserted at different positions within the

two or more blocks of output symbols; and

transmitting, via two or more antennas, transmission signals in accordance with the two

or more blocks of output symbols.

22. (New) The method of claim 21, wherein the two or more blocks of output symbols


inserting the training symbols and null subcarriers comprises:

inserting a first null subcarrier at a first subcarrier position within the first block of output

symbols, and

inserting a second null subcarrier at a second subcarrier position within the second block

of output symbols, wherein the first subcarrier position is different from the second subcarrier

position.


Page 208 of 265




23. (New) The method of claim 21, wherein the two or more blocks of output symbols


transmitting the transmission signals comprises:

transmitting, via a first antenna of the two or more antennas, a first transmission signal in


transmitting, via a second antenna of the two or more antennas, a second transmission

signal in accordance with the second block of output symbols.

24. (New) The method of claim 21, wherein transmitting the transmission signals comprises

inserting a cyclic prefix within each of the blocks of output symbols, and wherein the

transmission signals provide information for estimating a carrier frequency offset associated with

received versions of the transmission signals.

25. (New) The method of claim 24, wherein the transmission signals provide information for

estimating a phase noise of the received versions of the transmission signals based on the

estimated carrier frequency offset.

26. (New) The method of claim 21, wherein the training symbols within the two or more

blocks collectively provide information for estimating the MIMO channel.

27. (New) The method of claim 21, wherein inserting the training symbols and the null

subcarriers comprises inserting at least one training symbol adjacent to at least one null

subcarrier.

28. (New) The method of claim 21, wherein transmitting the transmission signals comprises

transmitting transmission signals for a multi-user wireless communications system.


Page 209 of 265



29. (New) The method of claim 21, further comprising:


encoding the information-bearing symbols in space and time within the two or more

blocks of output symbols.

30. (New) A system, comprising:

two or more antennas; and

a base station configured to (i) form two or more blocks of output symbols for orthogonal

frequency division multiplexing (OFDM) transmissions over a multiple-input multiple-output

(MIMO) channel by inserting, based on a hopping code, training symbols and null subcarriers

within two or more blocks of information-bearing symbols, the hopping code directing at least a

portion of the null subcarriers to be inserted at different positions within the two or more blocks

of output symbols, and (ii) transmit, via the two or more antennas, transmission signals in

accordance with the two or more blocks of output symbols.

31. (New) The system of claim 30, further comprising:





32. (New) The system of claim 31, wherein the wireless communication device is configured

to estimate a phase noise of the received signals based on the carrier frequency offset.

33. (New) The system of claim 30, wherein the two or more blocks of output symbols

include a first block of output symbols and a second block of output symbols, and wherein the

base station is configured to:

insert a first null subcarrier at a first subcarrier position within the first block of output

symbols, and


Page 210 of 265




insert a second null subcarrier at a second subcarrier position within the second block of

output symbols, wherein the first subcarrier position is different from the second subcarrier

position.



base station is configured to:

transmit, via a first antenna of the two or more antennas, a first transmission signal in


transmit, via a second antenna of the two or more antennas, a second transmission signal

in accordance with the second block of output symbols.

35. (New) The system of claim 30, wherein the base station is configured to insert a cyclic

prefix within each of the blocks of output symbols, and wherein the transmission signals provide

information for estimating a carrier frequency offset associated with received versions of the

transmission signals.

36. (New) The system of claim 30, wherein the training symbols within the two or more


37. (New) The system of claim 30, wherein the base station is configured to insert at least

one training symbol adjacent to at least one null subcarrier.

38. (New) The system of claim 30, wherein the base station is configured to transmit

transmission signals for a multi-user wireless communications system.

39. (New) The system of claim 30, wherein the base station is configured to encode the

information-bearing symbols in space and time within the two or more blocks of output symbols.


Page 211 of 265



40. (New) A system comprising:

two or more antennas;


means for forming two or more blocks of output symbols for orthogonal frequency

division multiplexing (OFDM) transmissions over a multiple-input multiple-output (MIMO)

channel via the two or more antennas, wherein the means for forming comprises means for

inserting training symbols and null subcarriers within two or more blocks of information-bearing

symbols using a hopping code, the hopping code directing at least a portion of the null

subcarriers to be inserted at different positions within the two or more blocks of output symbols;

and

means for transmitting, via the two or more antennas, transmission signals in accordance

with the two or more blocks of output symbols.






42. (New) The system of claim 41, wherein the wireless communication device is configured

to estimate a phase noise of the received signals based on the carrier frequency offset.



means for inserting comprises:

means for inserting a first null subcarrier at a first subcarrier position within the first

block of output symbols, and

means for inserting a second null subcarrier at a second subcarrier position within the


Page 212 of 265




second block of output symbols, wherein the first subcarrier position is different from the second

subcarrier position.



means for transmitting comprises:

means for transmitting, via a first antenna of the two or more antennas, a first

transmission signal in accordance with the first block of output symbols; and

means for transmitting, via a second antenna of the two or more antennas, a second

transmission signal in accordance with the second block of output symbols.


means for inserting a cyclic prefix within each of the blocks of output symbols, wherein

the transmission signals provide information for estimating a carrier frequency offset associated

with received versions of the transmission signals.

46. (New) The system of claim 40, wherein the training symbols within the two or more


47. (New) The system of claim 40, wherein the means for inserting comprises means for

inserting at least one training symbol adjacent to at least one null subcarrier.

48. (New) The system of claim 40, wherein the means for transmitting comprises means for

transmitting transmission signals for a multi-user wireless communications system.


means for encoding the information-bearing symbols in space and time within the two or

more blocks of output symbols.


Page 213 of 265




REMARKS

Entry of the above amendments and examination of new claims 21-49 are respectfully

requested. No new matter has been added.

Please apply any necessary charges or credits to Deposit Account 06-1050, referencing

the above attorney docket number.

Date: 2/26/2013


11268028.doc




Page 214 of 265

14

16

T

RA

NS

MIT

TE

R

20

) )

~

) T

RA

ININ

G

CY

CL

IC

c S

YM

BO

L

u IF

FT

UN

IT

PR

EF

IX

u P

/S H

MODU

LA

TO

R

1 1

1 10

IN

SE

RT

ION

17

IN

SE

RT

ION

21

23

) ~S

PACE

-•

15

19

•

s T

IME

•

• C

OD

ER

•

• 13

T

RA

ININ

G

-C

YC

LIC

c

u u

Nt

SY

MB

OL

N

t IF

FT

UN

IT

PR

EF

IX

Nt

P/S

H

MODU

LA

TO

R

INS

ER

TIO

N

17

INS

ER

TIO

N

21

23

15

19

?O

(]

)

'"Cl

..........

38

p

:i

) 0

N

(])

----s

A

SP

AC

E-T

IME

R

EC

EIV

ER

....

......

(])

s C

HA

NN

EL

N

i:::

l D

EC

OD

ER

§

........

!! r./

1 37

:::

r" 30

26

"""

-/ (]

)

32

28

/ (]

)

) )

) )

........

CY

CL

IC

PH

AS

E

z F

FT

UN

IT

CF

O

y1

P

RE

FIX

x

S/P

1

ES

TIM

AT

ION

31

E

ST

IMA

TO

R

RE

MO

VE

R

25

UN

IT

• 29

27

•

35

• •

-

' •

• y

2

CH

AN

NEL

~

y C

FO

CY

CL

IC

x E

ST

IMA

TIO

N

Nr

FF

T U

NIT

N

r E

ST

IMA

TO

R

PR

EF

IX

Nr

S/P

U

NIT

31

29

R

EM

OV

ER

25

33

-

27

FIG

. 2


Page 215 of 265

TRANSMITTER 4

11111

11111

11111

TRANSMITTER ~

FIG. 1

Allomey Docket No. 35841--0004003

1 of 12

MUI

CHANNEL ~

RECEIVER §

1111

1111

1111

RECEIVER §


Page 216 of 265

----------------------------------------------------------------------------

'

14

16

TR

AN

SM

ITT

ER

20

s s

~

s T

RA

ININ

G

CY

CLI

C

c S

YM

BO

L

u IF

FT

UN

IT

PR

EF

IX

u P

IS H

MODU

LA

TO

R

1 1

1

10i~

INS

ER

TIO

N

17

INS

ER

TIO

N

21

23

S :

SPACE~

llll!I

15

19

llll!I

.S

: S

IP

TIM

E

llll!I

llll!I

11

CO

DE

R

Ill

Ill

13

TR

AIN

ING

-

CY

CU

C

c u

u N

t S

YM

BO

L

Nt

IFF

T U

NIT

P

RE

FIX

N

t P

IS H

MODU

LA

TO

R

INS

ER

TIO

N

17

INS

ER

TIO

N

21

23

15

19

i'.)

~ " ~

l'V

0 '<

D

0 0 -;;:- ~

38 s ~ ! I

SP

AC

E-T

IME

tl

DE

CO

DE

R

RE

CE

IVE

R

37

§

32

30

\ s

28

26

PH

AS

E

z s

\ E

ST

IMA

TIO

N

FF

T U

NIT

C

FO

C

YC

LIC

UN

IT

31

ES

TIM

AT

OR

Y1

P

RE

FIX

S

/P

35

Ill

29

RE

MO

VE

R

25

llll!I

27

llll!I

.,, . I

1111

1111

.......

I C

HA

NN

EL

~

1

G)

~

: E

ST

IMA

TIO

N

ZN

y

1111

Y'

I\.)

1

UN

IT

r F

FT

UN

IT

N,

CF

O

CY

CLI

C

x :

2

• I 3 3

31

ES

TIM

AT

OR

P

RE

FIX

N

, S

IP

~-----

-----

29

RE

MO

VE

R

25

-----------

27

-------------------------~-----------------

z:

q r...:>

Ul

co

-I'> b 0 0 -I'>

0 0 w


Page 217 of 265


3 of 12

/42A

7

I

/40A

,/"""" 428 4no 448 /"___ / vg

lui 7

I

42C ~ 44C /40C

:_ )oJ

FIG. 3


Page 218 of 265


4of12

TRANSMIT RECEIVE INSERT Nt TRAINING SYMBOLS

RECEIVE THE OFDM ACROSS M SPACE~TIME .._,.,,..,. ENCODED BLOCKS OF ---f TRANSMISSION SIGNAL AND ............... 50 56

INFORMATION~BEARING REMOVE THE CYCLIC PREFIX

SYMBOLS • APPLY DE~HOPPING CODE

~ ' . AND ESTIMATE THE CFO 58

APPLY HOPPING CODE TO

52 .....,,.,.. INSERT N ~ K NULL • SUBCARRIERS PER BLOCK WITH POSITION HOPPING TAKE FFT AND REMOVE ............... 60

NULL SUBCARRIERS

,, l OUTPUT OFDM TRANSMISSION PERFORM CHANNEL

SIGNAL BY INSERTING A ESTIMATION USING M ............... .....,,.,.. CYCLIC PREFIX AND TAKING BLOCKS OF TRAINING 54

62

THE IFFT OF THE BLOCK SYMBOLS

• ESTIMATE AND REMOVE THE

PHASE NOISE r......... 64

• DECODE THE INFORMATION~ BEARING SYMBOLS TO ~ 66

PRODUCE SYMBOL ESTIMATES

FIG. 4


Page 219 of 265

,>&· ~:>;;~=

:i&·


5 of 12

74

FREQUENCY OFFSET

FIG. 5


Page 220 of 265

• " 35841 ··0004003 Allomey Docket do.

6 of 12

SNR

FIG. 6

~···


Page 221 of 265

". ::\5841 ··0004003 "(lCket N,J. '" Allomey '-'

0 " 10

7 of 12

-6 ·----~--~---10 10 0 5 15

SNR

FIG. 7

20 _______ ............... 25=---330


Page 222 of 265

-2 ~ 10 . . )

94

-3::: 10 .

5


8 of 12

10 15 SNR

FIG. 8

20 25 30


Page 223 of 265

1 10

94

". ::\5841 ··0004003 "(lCket N,J. '" Allomey '-'

g of 12

....................................... L-====4=== 10 5 0 15

SNR

FIG. 9

20 25 30


Page 224 of 265


10 of 12

.3, L""""""""""~~---"""""""""'ww;L;···-····"""·····-····-····"""·····-····"""····&·· '"-· """"'"""""""""""~""""'""""""""""",__""""'""""""""""":".:" 10 0 5 10 15 20 25 30

SNR

FIG. 10


Page 225 of 265

-2 10

-3 10

-5 10 '

..


11 of 12

-6 10 ·.· ....................................................... ..,... ........ !!i ...... ,.,....,.....,,.....,.....,.,.,....,.-..,.,....,.....,,.....,.....,,.._--....., .......... ,....., ........... " ...... ....,,.....,,.....,.....,.,...,.,.,..,

0 5 10 15 20 25 30

SNR

FIG. 11


Page 226 of 265

-2 10


12 of 12

SNR

FIG. 12


Page 227 of 265


ESTll\'lAI'ING FREQCENCV;_OFFSETS ANO lWVLTl .. ANTENNA CH .. A.NNELS IN i\·1UVlO OFO\\'l s~{STEMS

STATKME.NT RE.GAROJNG FEDERA.LLV SPONSORED RESEARCH OR

DEVELOPl\lENT


Page 228 of 265


fh.~qucncy· \JfTscts (CFO).

tV'-. ;fl :·,..,i·q ·r;·1 ·~t· ·1'1c~s~ ., '"~· -.:·· lx :.. .. ~!("'- "\ ,.._..,.t· ;.n...., ;:i-]· ~>Y' .. ~ •:Sr"··;;. l·~;:n:·1 .. ~,,, .. "l ... J.;.'l'\ '"'°(--:i,y1 ·:·i:jl"''\ ·1· ?) ')' .,;.j"'" ~ Yl·:·,..,. "i: r··1 ·:...--':!1<-"~·"l·' ~'·"'~'")1'.:· ·1'1> . ,<l> .lx.~v,. ,, <.::· .. >,.s,\:S <._.,.id v(;.. K,vt·.v .\ \,;,. ,;.,_tl,\" t .An.l,\~"' Ut.> >,.,,.,_::.;, .. h. '-/:>~ t <h<.l.d~. J .o.;t. >,.S,\:S ''-u·'·'·..,.

,, i·•i:-·~· '"'l·l·· i<> i·.,, r'"''':f't 1· '"'' l)'"''" 'l~"' i·h "" r ,:i ''"''""! ·r·) j .. ·, ,. 'p·n 1'·1 ·"1 ,:i '"~ .,.,,.;:.!·"'"' ~-'1 ... , .. ,., ,,·~, .,,l."'i' ,, l -:~-;;:l·f r'i ,··+J'···i"' .. ~ .. ~. :..o..r...· ... ~..._ •. ).~· .:.)J .. S, ............. , ............... ,..,w_{, ·~.>\.-.· ..•. ( ... } ... ~">..·(...·'->·."" .. -:. .. • ··:o).~--··'"··{J' ... ~').-~~--... .. ·5. ..... ~ ... -~- ~ .. U.>. }.,, •. Jw. ..... J;.. .. ...... ~ ........ ~ ... ~ ... <;- }.~~


Page 229 of 265


of syinbols by ins<::iiing tra.ining syrnhols within tvvo or more blocks o.f infbnlwti<.m--h'i::m'ing

'i'-'r·>·{i-$,·~l>::' ''·.ncf\.h;rj\)'X '::l 1l'')l~~~1;.t1:<'> ·'Yl'{'' <·q <''.cN'.1> qf' !+1•~ hl•'VL~. •·l' .::·v•·p'~·').k .;_.l i·<>_;.;·'~r<· ·'< r·l1!l ">\•h<;·:<''\.'1~·~,· •.·)· .< .. l.~ ... >:(~ ,:,'-.I':"'~·-··' .. / ··.·'-t.;. < .<'>-~-.·~-~--·:.-;;-. ).,.._•M~•· VS..~ .,...,.}-..~f~ ~--· "'·'".~ ... (;.:....~':-:. . ..::.' (_.}. r:.(._,') .•. lL"i-........ ) :L.<t ..... ).~ .... in .. i (...>, --~ ""··· ••••• ~"-'"-~~ •. t...~.,

sign.al~

3


Page 230 of 265


perfbnning CFO and tdUvlO <:JrnmK~I z:stirr(<itkm on a. p(:r Mock bw:;is~ f:>tV{?.r<d tnm0mission

l ,·t,.1<~k<' '''l'<~ 'Yll l'~'.'':;('.:J l,;i " l'''''.<'.''"'\-''"l' (-~'\~' i~;.;;J-i'r·>·i,~i-1'1"<•'X ('l:;r~ «<1d t!·i'<''.· l\lF/'.l•'''•~ fr;':ql\i".l'."'.'''-"('.-1>":<'t1' \o'i·~ .·, '-}.).. :-:>..•,) Wi. 'h \.-~- .. ~'\.~:C.,.. ... t \..·~.'i ~ .... ~-...~.X,}. '\;Y. ·'-"'-:•• ...... ~.• ~ • • l ... ~.-.. ·'-t;? 'J..... .. •. 1':..:- ).,'!,),,\.'> ,,\, ......... , •. 3 .. ~J\." .\.'i. '\~'\.:~'-••"";-·'-'·"":-,} ,~ ... E-.,.").~n . "';-

lEEE 802J h.i. and IEEE 802J 1 g

j()()l(~! The detail~ of one or rn.orc cnibodimo1ts oft!"K~ invention arc ~ct tl,)rth in the

4


Page 231 of 265


IOOl81· FIG 2 ii". a block dbu.rarn iHumrnting in further detail one emhodirncnt of a trnnsmitkT •.. . ...,_, ·:..,·

[0020! F!G. 4 is a ffotvclrnrt illustrntfog mx c:xarnpk nH.xic ~Jf op,:.ration ufthc c:ornnrn11icminn

~::;.yste:rn zyf F lG. 2: in 'Nhich <t n.~CC.'.i ver perthnns CF() (.~Mtinuu.ion and l'-h<tnnei ~Mirnatbn on an

cstirn.ation tc.clmiqucs described htrc:.in.

f0022l Throughout t!K~ Dftailcd Dc8(ription bolcl uppn kttcrs dcn•Jtt:: rnu.triccs, hold k)w<::r

l. «.:<-i··"t··· ·+·ind .f;.i.,· .. '.') i l',~.,,.,, ,;.,,, __ ·'.t·"•'... f Ill' r .,,1·vl ;-··if ,.i ·••.·i·int. -~ ti""l" >.;.t'\')" .• '. ;''1··1,fi ·r.:1 ·•'t--"·\·: •·1· ·1t' ..... ,,:i'_;·r·, ·i'"~ ..... :t_ .. ~._.:-:,. . .'.')d ....... k ~-~-).~:ii..~ ,. .. HH ·~ ... l .. ~.}.i.~:; \ .f Wi. ... , •. ~: }' ,J,>;. ...... ~;- .~ ... <"'-)·'-.·,t•"i-.v;~>;. ........ , .. .. :h ... u .... h.s. .... J. ~>-~<t-~:".'i·.>t.~.1''-.~~

;.\ .... ·


Page 232 of 265


Mode Unlike c<Jnvcntiomd f::ystcrns in \vhich trnining symbols arc ins~:.rtcd \Vithin n singk

to h(: performed prior t•) ~Jwnnd (:stirnatfo1L As g re.suit, tlK-:: tcchniqu~:s 1kM:rib:.d herein nmy

havt;~ ii-riproved hit-error...:rate (BER) prn'fr:rn1ani:.x:· over convention<$! alternatives,

bHck'wanJ;,; compwiblc 'With OFD.ivf \.\hidJ has be(;n w:.lopt\:d as ;'.1 ':.lt<=tndard fbr digital audio

t\"'Y'.d'-~'~;;:t1···1·~,·)· f°f),:<<.i:~< ;;_~·1."i ,-l\n.;_,,~l ~+-i .. ,:;·i l)"'Y'.<'\')'~;;:t1'1··w <"f}\lT~\ l.') t~1~r"'l'l'~ ;>i'1···t l>lnj>, .. ''I:V'·'''.>'j ,~;,_,.;·~::<.! ·'·"'·"""'"~{. ......... "'<::} ~ .. !. ... ~·'S..i.} '"·"··'W. )..~ ... ..:~·'-...._ .... ~ ... ~s ...... , .. ··'-'·"'"ot...::~{..,;._ ..... ·~<:} \:·..... i~} ...... . t ........... ')..:.or·'· "'"'·" .-.-. . . t~ ...... ~ ~ ~'.· ,.,,, .......... ).,t ..... 5 ......... >

HIPERL/\N/2.

tra.nstnitt<::-::r 4 and mnlti·-imtcnna r.:x:civcr 6 rommt.mk:ating over Iv111\l0 fo;.cp.1erK.Y··.scb;;tiv~;.

channel x in the pr-i.~,'ifl1C¢ of<$ CH), Multi-ante:nna tr<tni;\mittct 4 and rnnlH-;1ntt~nn<$ rcc-i.~i·>ler

6


Page 233 of 265


,.l.'}\·>: .,.,f!;, '"l'.;c-·v ,.,..-·i-t1,~- lJh hl··1·'.!·;· r-/·'·ij·~·~ l)l,'Y'k· nf - .. :l, .~i ~ >. \., _(j. ...... '{ .. J .... ~ ........ , ~ ... >.t· .... ~. l ............ ~. "" ......... · .. )_,\., .. {.' ..

subcarrk~r \Vhidi. cbmgc:s poiitkm, iJ~. "hop&", frvrn hhx:k i:o block. f.g(.:h ::;ubcarric:t

corresprm(ling to a zefo ~yrnbol b refr~nl':d to as a null ;;,1.tbcarri~~L Unlike conventional

7


Page 234 of 265



Page 235 of 265


:..:'

V f !. ') .,. ~\ .,J"·)P l) l'i {,1, \&:£ 1', ... /.cJ•I' l(li---- {\ \ : tlt . {1. ') , ·': f1 ·\' 1

,, :,\h_..····.t .. /'' · l"",.p.ue\•···,:-}s·~· l::;:'l·.;:,- ti;/!/{f ·'' ~ ... <,;ll,_,,h!~· \= ~,- t_.,,<'';·:

.fl :~


Page 236 of 265


' :t ./.:('· 1'1 (f)e.\p( ·· /2lrti/ / /V} rcpn:~enting the ( v, p)th chi:nrm..~l 's freqtK~rKy r1:~~ponsc: vak.-< on

~···: ::)

l·di r~ ti-''· · · i ~-.--.· t" ' \ ( · ··1 .,. '. ..... · ' · , · ... 1· l'· ..-· .. ' r i-'·· v ! ,, .. : li "' 1._ !. .. · .rv,._! i: ~l.,) • ,;;;· ' .:';' \ ' •' f\ ' • \., } 0 • ~· \.{}, ,• ::- • \,_,, t • T ' •

pre%:'.fJ:CC of CFO m,,. Ea(:h of twining .syrnbo! insertion units l 5 inserts h:Y<:.) or mon.~ trdning


Page 237 of 265


(8) implements h nuU subc~irrk'.f ''hopping" op(:nitl(J:H frurn block to hlocL By suhMituting

''·1···1".;l'-'•1«>·· i)f> ''".J f'>.) .:1·.,,,,., .,.1 .. l'";;.,,l.l <'4' .\ ~·~ ,,, ... l .. ~ ... ,_ ;l"·~·j·'·'<··i ;·i,"~ .;t,,,, "'";.;1·'l·; .. ,,y "';.,"<">! ,,., <-l," l-"tl·i i..:t ~ <U t.> '-''.> 1.f / .«uU \•··, l. \:.{_, l:\.lt «,,{_, . \ f h \,,,(;.!. .\ lK· t. \..(.\\.,\-.<..\ ,l.«h d.<\.. H .. , ... \!dl.<b · .... \h>.t«. «-< Ho>.,· ..

n~;:x~iv~~ <lntenna tdtes the frm-n of eqnation {9) giv(m bdo<.v.


Page 238 of 265


estimating tb:. d~am:K:l.

( 10} on a per block b;:isis.

o; {k) .:.:.: diagl l, e (9) l ...


Page 239 of 265


!t}042! Hy nmhip!ying equation (9) by the d">fH)pping code and using equation (11 ), equation

•"ost f:1w'tinn •"<H" l)c \V"ttt .. >:n ;''(:·:~··'lr,Fnn· i··, '~(<trnt<on ( 1 '\t ~,,+v-F·'\'~ R~ ... '>,..; • . ..., .:, •. _'>,,...v,-.".},.;. -!>'. ~-·v ............. ~ '\,. ....... ,.,..,_ b"·"i<,... • ....,.,~ ·'.'<·:0.X.•, :.··"".!'< ( .. ..,_,,..,,..,,.,~, -_>·"':>

~-. -.- !


Page 240 of 265


full nmk

[0045l Trnining blo(:k b)k) .s<~thfi.;;:s trK: <:x.mditions ofproposition l. Using the n:~suH of

Pmpo,~itkm I, ~ ,E[g,.(k)g'.1(k)] lws fiJll rank,, it fo!kgvs that ,/(pl)> J(('.'.1,, }, \Vbere frK:

14


Page 241 of 265


,t .,,.,,.

p,· .. ·l·.1._.<:.~·1··,:·~ "i_~.-_t:·,· __ ,·._;;,i •'Y>''''1I1''"l>"·•'><" <!·1-" f>r:,·<- .\-' .. ·~q<rl-•>~ qf' t.:i<·._;;,i t".L.,, .\t. ~·- (<' +· ·.1._ ··.J·. f._.:--,,·.,_<'''.':t._.·.1··_'.•'.·_ "!'/ ,,,_·_·!_~-.'. 1:«.lf •. J''.·.·r1 ... ~.·-·1.·_.~;c{>,~• • , • 1> >,.,.o_.! .... :, ··"""'" i .. ··'-" ·"···"'" "' v->-.'-.··''-''' '"· {~ ; H.l-c· .•. <·) ,, '-L • '' ., !i' , I • ' • "~"

,,·· i.,i,_;;·i,-fr) <-.k.«)fr_,.1r ·-.-- }, ,•' - ~.~ ...... ~ ',.,.~ f~ \~-.-.}. :•

J (20)

L5


Page 242 of 265


cornprisc~ { h

(23)

16


Page 243 of 265


(25)

tOOSO! The r11Jn1bcr of b;/k} 'a a<jJi;-;fying the condition::< of Pmpositi<>n l is rmt nniql.k\ For

,,,.,,.,tn1i"lk· .V,. "' .\/. '\'·=t~' ·i°\.''' "''fi='··-i·,~A ~·i1tl t'l>·'' ·t''"l'i·~ii·1a •'<''''j1V'l1i~·'''" t>,r ,..\1'ff'.,,.,,,,,1·"1~ h'·'tl·~,~·n.i'1 ''tti'"l1l"<'=lS. v~·:-..·~ ''·"l:'•""':"' ... (~ . .:- .• ;:: .o..h'./ t, • ...., . •. -.. .. ,, ...... ~·~·\..·~~ ,.,. .w .. ~~ -.o.i:.~- ........ 1•.~ ~~· .... \.._ ...... ,... ·""""<-.·>~ ,, .. , :i...~ ........ ,~~-;.,. "'"'· ).~':>.- ·'"··'::i;·~·.O.'i-. :C.~-.... ,')..·. ,,1,.."'

-~{ .. : ~r F't (ni)H'.'/ (m)B, fm}F(tn) ~ .. ~ . :• •. '· .. ·'

:f:--n

!7


Page 244 of 265


(29}

18


Page 245 of 265


·''.;;l·f"11"·t·J~·,.,.,, t,.·, ·''·\i"J·:,,,1·:.<·'" •·h<' :v ,.,h·i"''"'.! i''"i'n<i·.i,. ... , 'f'''tV'il'l'.;,''~· ·ii·i i\. ·f,v· i''''' .l •. ·.· ... !\,-' .• ··•. ,· .. ~.i·i. » l"',<'~.r '-''""''·• .. <>' .<-ll.~ ·V '-'•·' .U .. < ... ,~. ""'•'·' ·i· "-'·"·'"''-' .. <.· ·' .,, .• , c ... <.· .... ,,.,.,,,.,.,,,.l.,..> .. : f~l"; .. >..! . .- • , .. , .. , ' ,, -·

42A--C, rmll suhcarricrs 44A--44C0 and training syrnhois 46A-46C, rc.spcctivcly~ ln partkrdar~

tn1ining syrnbol .in.scri:'ion tir1its L5 ins;:_~ri: blo;,_~k,~ of /'/1 + l training symbols 46A-46C

<V'•"'ni·'d' •11.:::, t('i ·"'·''!"''l'l•;,V1 f')6) ''!'" ,, ")'!'''""l'\'!'1~·1· '" tn ,<;l'~'~··· .. ,~,,J·\iYt'' '"l~'"''~•"i· . ..,,tl t)t/)<'k<; 0f'-~1·i+\)•'!1"<'~ti',.)''·· );_..;: ...... <.,.,.... ,:.., ~~ ... ,, ~ ... -~.-tr:'.~ i .......... .s ... ,..;i.;.. ..... (- ·;~ .. -c. ~- ,...,;.(.).. ..... t.• ,,, ., .... . :·~-""'''' :0.. ......... , ... ~ ..... :i;,(..,., .. t ~ .... .....,.. ................... \.- ... ~. ,..} •'•.:. ... '(;~ .,.,. .... ~

i.'.'.vc:.ry /I/+ L trnn~:o;11riHed ~.:;:yrnbot:=;, \·<t:'herc a l'.ydic prefix of L ::>yrnhds b ini<;erh:cd b:f i~ydic

pr.;;31x im;crtkm unit 19, rc~;ulting in a hand'<:vidth cffo:.·+:.~ncy- of (/'..i ... /v'~ -l) i (i\i + L}

19


Page 246 of 265


"",('''''""·· ..... -.((·.;')..·._')o~): .. l'\:"·" ~11~~~l\·"·~Y(· 1 vl's,·'.'I. ·11·~"'·~7'\,l· ... ,,,. ,, ... .-:i-... ~.·~ '"'l .. '\;.<·"'·"'· i"1· ... ~:.,(-ii~qt-1~-.... -~-1 ···x~~<-, . . ··:"I.· ~~1q·t· t··11··~ ·p-... ~~+~·,).l' .)f~-Y".::s~{~ 1-;.·~l.h,.'-'l.< I >v>J',: '/ ,; ·)". J ~"g_ L.i';.. . \ •. ) .. t' l.\s >,.C<\.l,,. g I._:.).\ ·< . >~.~. ,q:q .. I.,.><. \ <.} ~\.l \! '" . , . ,,, . >\..<,:,,\.,(. > I, l <l~lH

!::;<!l)l'':'ltT!."'.·>·~::; 4''4'' l~ -44' {' <'}.<•,H>XY<': f1'·,,.,.i''l hl.<);'.k·· '~'\ t\l''<''k·· rr \''<"f"~ <':'1'' 1~·''<;~;,<',~l·l*~::; .~.·· { ... ,,t;,·:· .. l'l'.ll.i.'l ..• ~- .... ~ ..... . ;;,..l ..• • ·1t. , '\.. .. · -.....,· .. x-t->.~t;':'-'" .. .r;..Ji .C.'i. ..... '-..-...,. }..~. ...~'>.._.:i.,., .. ~ •. .i: .• '>.. • ..' .•. ~".. -....> .•. lL"i-.._ ..... -}.l> .•. ~'). ,,} -·~· ,,_~ • • ••

rnay h~ defiw:;d ns in equation (8) 'iNhh hop-,stcp ;\// (L + 1}, lt may be parti<:.:i.darly'

,,.;JV'" l'l '. :><.F~<')'!" it'\ 1'r1 l'i'~l·.,.t . ., l'! j 0 11•~.,~·:q·1···1>': "~' !. " ''"'°P!V';J '' '\<':" '< '!. t·l·l ''<"'\:" \i<~:<\(···1· n"l ·=< l ()'!:::' r·)'j\/)' !:;:>-:.!·! d '" "ih· .::s.-,.J '*· .:t'-<t;-,.'-, . ..,. __ ,,,,, ;::. ... ..,._~ ... ·:~">.. •. >.~ ~- -· .. :~.:-. Lx w.. .... -.t...~.!i .. :~. ~.t. -No. .... -..,'>...Ji.-..J .. ~-' ... -..,~~ ,..~ .. _ . "'"..,.-.~>.t. \.,) .. , ...... ~ .... .c..). .. . - -~- .t x ..,.5..(..). .~ ... .c-)..:t (..-..~.>

clc--hopping tODC rcam:l.Hg<:c.S th<:. null H!bC<tHlCf8 iK~ that the null .stlhC<UTlCf.S in diff(;rcnt blocks

i.Ht: at the (.:;arnr.~ position in their respectivr.~ blocks, .ind the CFO ii.:; r.~;-,>timated as described

20


Page 247 of 265


~~pplfr:.d to th;;.~ Al blocks to i.:.'sthnatc chnnnd 8 .. In order to frnprovc the BER perfonnaJ1cc of

;-~'."'.'~·i've.·1· ~:;_ l'l''" i"'~''"''~ >v,·<.>;;" !." -:~~·i·<1··,-!'°'l··:yj ''·~·i··l· '"""'lf',·<.:--:y.j i',,:<:i·:~·-.~ i)'i > jy><o·~·~ t)"<' t·!·i···~ ·)j)»•'·l'"ii,'•{·i.'.f''"". (.,.~;> ..... '·"""'· '\-~ .... s.l.: f> ... J:.Jo.~ ......... (_._o;.)'} .. ,.~ .~~ '-..:~,>\J. .. l ... ~ .. }.,~,, .. ~-.... ~ ~.\.,U.-.;. ... _ ~ ... , ..... ~:-.. ~.X.}. '\.Nf'.! _,>.,~ .. ~~;-l-} ...... ).t . ...... t,,.~:"'!'w . • ~ ....... ~).·C·;:~

CW}

2.1


Page 248 of 265

["

rr ·'"trl ·~ :""1~~X.'·;:: t

! L..


(3.2)

S.imilnrly\ if the LS d1<uu1c:! t:shnmtor giv·cn in cqw~tfon (25) i~ H!K\i, the: corn?.sponding

p·>;>-::11·~ -" ,, ·-< '·"'·" , .. ri--·'l' ; <: '-")"' .'(>\ .. , ·;'.<'.' " 'l. ''.>·i .; ,.,,i··i c:i,-:n .. ~(":-·(, .. • ... x1(~;i.;.(-}.\.. ;,.. ..... {_ .. ·'-'•? .t;_;,.. .·~ ~· . . 'i. l_.) \.,}... l~X(·:'..·f~/ .'i. \ ........ :) _!·

•l ~~>-vl'>r~:si"··=-- "''!1-<:.. ,~ .. ~1·~" .. "' ,.., .. -.,.~ .... """t''j); ·:-.: Nl·1 ··:') ~1 ·r~ <=,,._,l· .(·:i:i ... ,~~ ~~:.-.!"' .~ ·~ ~ :"~~: ~ ~' ·;lf"t ··~ -~~1 ·:--0· t. ··lo ~1.t::- >:')·~'·:-.: l .... ~ .. l,.,,.j·"'<:vi-1 ,.;:<: ... :r1 ,;. ·'-~· ··"1"l· l"°''" >,. ""<.; .. \. .,;.. >~.\. <>.},.\.!>,.\:'.<, .. >\;· ~: .. {<., <''-· ,,, \J >,. \~ .~ .. '" ~ ,, ,; ... .<S,\ \L\; .·«·~ .. ,,, (<.< \;· J>~l'i<· :"'-" .V'--< .l ;·~·. \...<.

diffon:nt Vi.ldanct:~s. Th~ OFD:tvl block k~nft,th b ck6i.::.nied <t!<> N :: 64 <1S in I.:HPERLAN/2. Th('. . . ~ . - .


Page 249 of 265


.lanlc l

fh ·:-.. f-"l~~O -:-. .,-!. ;n1··.s *°l .. ~°'l:.,,..) ·t· ":"'·' 1)"""" 1. ·1' l '"' ., '3 '" "'(<l'l. ~) .,....~~ 't· .-,,,.,, .. ~:"' ;t) i'1ril· ,~°'t·· .... ~ s\..,, ;:i-v' '~ ·~"I' '!~ q ,~"i·--1·t· 1· ....... ")1· s~ ··:-.\._: • ...._z- '"1~·-F;..,~~ ~l"' (): ·l-J ~"<.;: ''". <;;:Su .. <H.!,"' ···'-·'vhl> \.t.:.; .. ;s \.l.<.::·:Sv . ::. <.;!,\ \l';,_.,,;..\.u \ .... >, .. / '-'} >:o.t!,\ '"·' ,; l~>, .. , .. :.\<. l,,\.,'i\..·' !,.~_.•..J .\.>I .•.. ,

fvjooi'>e, "A. tedn1Jq1.H.~ for ortbogofw.! fn.~qi.H.~ncy divi1'kH1 nn.ihipkxing fh.;::c1uerH:.y otf:<>.;.~t

unig\?. propordo1u1l to th\?. OFDJ\·J blfKk sb;e .t{

fMl<\>;j l'.c'!t} fl {::,, :> Oi'"'ll:)t' '''.''''11t'l't'";l'<~ ~!·'~"· .,,·j'};,,f't f'·i~' <+Jf'. F0'\'lY~t' ,~,fl.>1 ''lC.k>; \'iV'':'' '''~'tl·C.}' f~!·l~''l't'1-'''.{. o:. ~t~~ ~- .. ~ . l:.- .. ">;..;i.· .. .. · ..... :~ -.-c. 0 . ..._ .. ,.~ (.,,..,c •J:·" .;,,.c.~k':· :. .... -. .... v.:. ·'"'"""" .... i t ... ....., .. u ... ~.;c ~ v. ,;.; • ~ l'i...~ .•. 'i...~,. , .... -. 1..., ...... .~ ....... :. .... J .. ;;..

23


Page 250 of 265


both cnse:-;, fo,;: CFO techniques describ<:xl tH::rcin~ 100 and l 02 frv the fix•:d CFO case and trH::

<t<>:r<ri·n<x <'"F() ''"·""'"' '''""I~<''.<''.~'i"<"1 l>.1 '':ll''': C"l"<l"l"l!Y':ll''"h1-'· \'-'J~-v-l·i T\t ;vt,.-,l'<''.ql 'l"!'d r r \1t'~r>;_rd1' •·,,. i:··""'.-1"ll""'"lllf'· '>>.i •.• } "··"t.;. '\.,.· .. ~-.· ':-:'.~· .. · ... ~-;.i ..... ~ •. - ..... 'IO'. ..... ~ h'·) ~- ( .... ~ 'h/''I./. ":"{ • .. :s. .... i\., "';> _}.. •••• ~-· ..... ~:<.. ... .... i ..... ,;, ..... ~ ...... :\.. ...... {._.;,:~ .. it··/; ....... ~~ .. },,.. .... ~ . ... 1 ... ..... ....

for th<:: fixed CFO cnse !04 and varying CFO c~tsc: W6.

rt~i~><:.f'j• f'i'n· l. tl ''"V''")',.,.,,_. t'"->v- r.u~--R' f'l'"'l'f·'•1·'''""ll''"'" ,-,1~>ti'-"' t'·'fY) '"l'"~ ''h''i~•1·'l ,.,,.,;l"1"'~·1·-,.)'1 ~V'-~~)f_ . b·· '·' ,,., _ _,,,_,_ <h<.;.,, .. \-'''' .u,.; i--~-- '~-- .n_t,: ~',·'-· ,,. -.l"'' ,, .. '"' "·"'"i ,,.,gl .. h c;:, '"""u" <H.>,,

i--~·'~'-"J,."l·i· i·'~~- ,.-J,~x,~:r··i'lyv\ ·1·ir~·--";.f' ',1,-{vt·iq·,1·1 ,~•('''"" <\r'lis·" f",'.,__;~i·n·.>·t·i'ni··\ "'"'1 ·',l· F/,,"1) 'Fit}' ·r~»><>s·" iv~;-,,,, -. (~)....JU -~- .. M~:> ·~-~;.. ... \,., .... ";... (..... . .-... ... l-:.. .... ~ '':> •• :.-.~ .(., •. } •. >.. ~-· .... }_,.~;~.r;,. }_, "-. ........ ~n ,... .• ~ •. ..• x.t·)I. ..... ·'- ~.};,.El_,.., .~ . ....,, .f.> ~ '-! ..:- }.-.. 'I.}. , ·.' S.-~>.'. ... ~~ • .l·b .. -.,. \.,

24


Page 251 of 265


benchmark.

!,·t.l. l.>Jff.! ·_1<J._(·.·-.;~' .. 1l ""l·id 1) ·~<)rpt'\«F~ l}1<>. "~''i"l·f'·l·:d1' ·"l" ''<1·' i'<. >"·'...-~(-)( l'" r·1i1h;-'li'/~r l)"')·:> ·-l,~«\t. f!Ff'})'>A 'i ~J. ~f~ ~ ( . ._')- ..... {-).. """ ·'.'·..,...· \.,'>...:li .... ~1,h ... ',.. .... \., "':-,~ •.. >. &.a.·:C.. l,.•·. >. '>.._ • .f .~: <c .. t . -:~. ~-t . •.. ~ "· •'·'·' 'lo.···"':-·._ ,.,Ji.'\._.'-;..t\.~'-.,hv ... ~-."'Ji. .L, .. \:.)

\Vith A:f '" L + l (plot Uff\ AI '"X (plot ! 32L 2A (plotl34), 3ft (pbt 136L Similarly, F!(t 12

; l l«·1.,i·i,:=·'·",. ·1·1·;, =• R f~·'i::> ~1'''l'i~·in'·l''l.'· '····" "·..-i' ! •, ,._,··=1iw_,; l'('' s·l'.tR ·· 'rni'1·'(' •·h ., )1' •. ,,,,,,_,,.i'l'·-' -~ ·"v,.-l],.,J (~F{ .. ) ·:>r·• <··. '·~'.·· "·''-·9 . -)~, . .<.'.~ .. -·~'-.. \· •• ... <, ·.·.·.··'· ·"'· -)~ •. , .. <') ... ), ~ < >} l ... >.~:; •_. l' S~ <>-·~<· .. ·>.,o: L:)\:.· _- l •·O'-<•\ >. } (l<_:., V.)· > ,.<_: •. ~J ,. ·.· , ,<,).'-.1.

tlcscrib~:.d tcdmiqutsv.,·hfr.:h \\'Cft iHustntcd in dct:dl for a singh:>·USCf syo;tctn in\·o!-.., .. ing /y'~

'T''"l.,'.')·'it '\Fi-'~l·1·1·1·=<,>;;_ >'>n"l ,\i, l'«'< .. ''~l·'N'. 'l"''"i·'~l-ll·;·'<,>-'; ''.·:·1·1 \y': ·=<i·~r'>ll .. ':'~ \:<"l··fj·1 ····j·!.1'!.l;'<j' r·':;'lcjh- (·j> >' ·i·1·q1)tl'-l.'·".'f"' :'.. .. w. ...... ;.Ji.-~·'·" s. .... J.~I;:.: ...... ~.:· .,~ ....... >.U. ,,._ ! .. ~t.'"' -~-:- S.'<;.H,.,);:. . ·"*·.·:; xil ........ t.:.~ <...i.._-1· ... \:~· .• J \. s.. ... :=l . ... ~ . ... :..o. ... ~~;~ ;. •.. i;~ .. . < .. ~ . "'·.· ... ~-·~...,{

mmz.c trdning symbols in;,~ n1<:H:U:KT that CFO Rnd charnKd cstirmtiion arc ck:c<>upkd from

<;'il.,.,·;"<"'1! A.,yf.:"''t··i'"lt' "~· •+i:·~ ff•···-·'-hi''i'' 1 i"<'l1'-~····'< f':"J"·;<-'·"t't1'>'il'l:'-! ~·<r;.;<··""l.''i J'.t' V···)'J',-·. 1·1 l·«"j.JT<rjo «·<;y<[·),-'·l~· '"l'·" •.·)··">.l .. ·~ ..... ~J~~s..I;:.-~~· .( .. · .. l.,.,c. .. ~ ..... :-· ....... ~-~:-· .... x~ ... '!;. ___ ••. i .... v.~;-· .... ~ .t..'-~"...- •. L ... :-.._ .. ... ~. ·~.'.}··t~:-"J .. < •...•. l ·:t- .~ ....... E ....... }.~J ...... h.t:;:'~}··c .... _ . .,.._~.c) <""-'I..·

25


Page 252 of 265


·""\? ·r' ,~"',;., ~::-.. ~-,·if':· ·11" ')·~'.·)\. .. ~r· v 1"··:-. ~.·:-. :'] .... ·t) ~ ~ ..... '\;-, ·:-.~: ~~ ··:-. ·: :"~l ... ~1"""t~ .:.)l' ..... \:-<:"' f>~-~ ..... .-:-.·>..:· ~"1""'1n1 ~=...... '"11 . .::-. f~·,("'"'l"'·~····.""~ 1t<:"1.-l' l"··::-.-:.:;., "l·:l l" I"" \,,,,\. ~,.i.\\;'. d .\( l v "''' l.hv \.v\..· .\><)!,_\'-'°'"" !,\~~\ . .:,. !,.>,.:,.! '" .-\..<: v. f'd\ v«-c~c-.F ,,,.., \ .. v <A.<\. '.i"~ ·'"' .<,;.,.,~ .. v.U v

rn~'::diurn rri<ty con-1pdi>,e ra.ndorn at.t.es::; rnernory (Ri\M), n%ld-oniy rnernfn)' (1{0.\4), non-

curnprisc r.omputcr-'fcadablt instructions tbH '<Vhcn executed fa1 a \vin:'.ks~.; comffrnnication ' .

26


Page 253 of 265


1 . ;\ method ~xvnpds.ing:

~·>'''ly';t1''' t·;lt>,~l··<: qf>;;<tff>ly~IS h\t <1··i,;;'''f'i<1·Jo t•'n<1·T;l.Jf.:· 9,,.".':[V'·'l;~ '·'·';l·jT<l·l t\N>"' 'll' r·i{_.,,,,, 'hiq;'k·~ .t-... .. .c .{~.( ... ·~;;:. ......... -.._,).. .. :').. .. >'>.'I..'. ··.·.} ·-~-(~ ... 1... •. ~ •.. >-··.} > .• ·.~.\,.,· .>.,). ·(:: v).).{).· .'..). ·.:;:_': .. :~,} J.J .... , . .i;.._) -~ .• \;)' ·' · .... ~ ••• ·\ "·-' '!.,. .... • J.-.;..)L\,,. .... t'\..-...~· . . ·.

of inforrnation··bcaring. symbols~

"'l~I'+';l'('" i·,, . .,.,,fl;"l\' ,., .. , .. l." "··• ··>.(i··,}.l ··>·r 1·!·i·'> ·l'-l. ')"i., .. , ')j'' <·"'l'l'lv-l·, "<1 ll'""'l"' ·~ i·"·»P "'·lk''lt'"l··.,,,, 'l" <~:.? -~·.} ~- .. ~.b :o:l )-'--~1-~_ ..... p. ~~~ x-·'\..1' ~:_. ~-~(· -.._.>.\'>..·~-.\ .~- ..... '>..: •• • Z , .. t.(.~ l .: :.._-... ... '{ ... ~ ... ~.)~~~ l>._. ~ .~-0,..- ... ~- :-:~ .-~H ... ~ .-_.,.\__., .• ~ .... .: .. , .. ~ .. '>..:.~ .:.::.

blockoftrnining s:vmbob into <;;:<:1ch of the blocks of infi:.1rnrntiu:n bearing $yrnlx~b.

4 ..

'll'l"~ t!·ic~ ~)j ·i ··l.- "1<·' ;.f·"~l"l' i·in S'-'l"·l·(·~--+·.-5. ... · ... '>J ·'" -";- }_ .t.."...:.P ... ~ .. . t. :'.· •. .W.-.. ). ·'-··::;, •,·} .l .. • ~J .. ~·:i;·


Page 254 of 265


·"-;;i. , ... ,:!"'),: lx ·~ . ...._ :""-~ ·· ''°'fl,.: ... , .. '11:.'tV"" j:~ """l .··· 'l"l'~~ ;\; t ·i''{'•·p·""<::.o ., ,.,,_..f"<.*-'" :e."~1 '" 'f'<.": !l'l~ 1·· ,-.. ,.r· ")i:._ .. · t--..·~.:.s ~l' l'·t) ')' -~ .. 'r'"\l'\ .,f., <~ ·~ ··""w'···::-.·'~ l, "1· t' ·11··> l'-l. "), :'k' \;.·,;<>,., V<',.>i...·l'.. \,. 0,n>.l.,.!;,.'. ~ ,: <. \.l .(\); < -;., .. 't ,;..:-,•;..,,\.,~< ll <.::· ·"\· . ,\}\,.,, \ U<H .. >. ,,g .?:i)-'.d> .. ~.•\<':< l>·.\"'>;.;_t t<,:.l,\ ·<.,. ~, . .-. !;A.·:

of in frxrnatinn-bearing; syn-Jboh,


Page 255 of 265


l4,

:\, .•.. ,(,;·;~,, ·· ·'v'»;., '"l'··--t-ix , .... 1't},; .. , '"'·"'l' <>t" f}1·' 1~! ., .. ,l·, .,ic: .,,,_,,.~l"'·'<·i., "''''l '"'"j1 l''l,'1 '' " .. , ;,1\'"'(''•'' i'~'·"' h<:'.<'i-< , .. ,ug ~''·JI--!\\..· .F •;,. ,,, '<'-' H<l..\ t-~~<.,.!.t '·'. ''· \;·. \.< U<.· ,, 1,,1 .~)' h, .. ~l.\:'.< ':..h<..i "F :' ·i 1.f.: <~!..\ >< .. 't. 0\.:. <.~C'n

fcn.irier transfixrn OFFT) of the bkH~k<> of synibob ..

bloc.ks of symboh; a.nd

29


Page 256 of 265


i:.olb:;tcd from Al block~,

2(),

30


Page 257 of 265


Tcd:rniqucs an:; d(:scdbcd for carrkT frequency ofisct (CFO} and dunuK~l estimation

31


Page 258 of 265


Application Number:

Filing Date:

Title of Invention: Estimating Frequence-Offsets and Multi-Antenna Channels in Mi mo OFDM Systems





Track I Prioritized Examination - Non provisional Application under 35 USC 111 (a) Filing Fees


USO($)

Basic Filing:

Utility filing Fee (Electronic filing) 4011 1 98 98

Utility Search Fee 2111 1 310 310

Utility Examination Fee 2311 1 125 125

Request for Prioritized Examination 2817 1 2400 2400

Pages:

Claims:

Claims in excess of 20 2202 9 31 279



Page 259 of 265


USO($)

Publ. Fee- early, voluntary, or normal 1504 1 300 300

Processing Fee, except for Provis. apps 1808 1 130 130

Petition:



Extension-of-Time:

Miscellaneous:

Total in USO($) 3642


Page 260 of 265


EFSID: 15058479




Title of Invention: Estimating Frequence-Offsets and Multi-Antenna Channels in Mi mo OFDM Systems



Filer: W. Karl Renner/mary ann reed




Filing Date:









Authorized User

File Listing:


File Name I



Page 261 of 265

95253

1 Transmittal of New Application 1 _ Transmittal.pdf no 2 605 c65 aS 2781 OcfS d 2 6e9f2d 2f3692d 23 ccS

e9cf

Warnings:

Information:

135634

2 TrackOne Request 2_Request_Prioritized_Exam_ T

no 1 rack_ 1.pdf

f6b01029c496a080d5c57415808315c16f7( ad23

Warnings:

Information:

1437767

3 Application Data Sheet 3_ADS.pdf no 6 76d2d99f463074c1f96fa44f30e4707cf114d

150

Warnings:

Information:

1935563

4 Oath or Declaration filed 4_Declarations.pdf no 2 99702a8d9c57683b 1Od1 Of42dd455491 OOt

4a90b

Warnings:

Information:

121587

5 Transmittal Letter 5_ Transmittal_POA.pdf no 1 467971e830e744071 b9eb2c77f583f4bfbdt

9259

Warnings:

Information:

225253

6 Power of Attorney 6_POA_by _Applicant.pdf no 2 17096115bc3f21f483c8b2e72be56091612

64bc2

Warnings:

Information:

99030

7 7 _Preliminary_Amendment.pdf yes 10 144c32c540ab 1 bfl bc3daf39164b6275a9d

7b634



Preliminary Amendment 1 1

Specification 2 2


Claims 4 9


Page 262 of 265


Warnings:

Information:

93000

8 Drawings-only black and white line

8_Replacement_Fig_2.pdf no 1 drawings

e97985 65 f80aba483dbO1 04eb3 6b583 d7f8 e669a

Warnings:

Information:

5527986

9 Drawings-only black and white line

1 O_Drawings.pdf no 12 drawings

Od301 09 5 2e 7f3fadf946f8d cccdS 922 6a 71 d 86ab

Warnings:

Information:

2126557

10 9_Application.pdf yes 31 a7fb7eaf89c2c649061380275d2ab4e30875

2101



Specification 1 26

Claims 27 30

Abstract 31 31

Warnings:

Information:

41727

11 Fee Worksheet (SB06) fee-info.pdf no 2 fc336b5108c0eb6f290e4d 113af45c24bda 1

1950

Warnings:

Information:



Page 263 of 265


New Applications Under 35 U.S.C. 111 If a new application is being filed and the application includes the necessary components for a filing date (see 37 CFR 1.53(b)-(d) and MPEP 506), a Filing Receipt (37 CFR 1.54) will be issued in due course and the date shown on this Acknowledgement Receipt will establish the filing date of the application.

National Stage of an International Application under 35 U.S.C. 371 If a timely submission to enter the national stage of an international application is compliant with the conditions of 35 U.S.C. 371 and other applicable requirements a Form PCT/DO/E0/903 indicating acceptance of the application as a national stage submission under 35 U.S.C. 371 will be issued in addition to the Filing Receipt, in due course.

New International Application Filed with the USPTO as a Receiving Office If a new international application is being filed and the international application includes the necessary components for an international filing date (see PCT Article 11 and MPEP 181 O), a Notification of the International Application Number and of the International Filing Date (Form PCT/R0/1 OS) will be issued in due course, subject to prescriptions concerning national security, and the date shown on this Acknowledgement Receipt will establish the international filing date of the application.


Page 264 of 265





ENTITY: D LARGE [8l SMALL D MICRO







N/A N/A N/A

TOTAL CLAIMS * (37 CFR 1.16(i)) minus 20 = x $ =

INDEPENDENT CLAIMS * (37 CFR 1.16(h)) minus 3 = x $ =


0APPLICATION SIZE FEE of paper, the application size fee due is $310 ($155 for small entity) for each additional 50 sheets or






CLAIMS HIGHEST

02/26/2013 REMAINING NUMBER PRESENT EXTRA RATE($) ADDITIONAL FEE ($)


Total (37 CFR ~ 1.16(i\\ * 29 Minus ** 29 = 0 x $31 = 0 0

Independent z * 3 Minus ***3 = 0 x $125 = 0 w (37 CFR 1.16(hll

~ D Application Size Fee (37 CFR 1.16(s)) <(


TOTAL ADD'L FEE 0



PRESENT EXTRA RATE($) ADDITIONAL FEE ($) AFTER PREVIOUSLY

f--AMENDMENT PAID FOR


~ Independent * Minus *** = x $ = 0 (37 CFR 1.16(h))

z D Application Size Fee (37 CFR 1.16(s)) w ~ D FIRST PRESENTATION OF MULTIPLE DEPENDENT CLAIM (37 CFR 1.16(j)) <(

TOTAL ADD'L FEE

* If the entry in column 1 is less than the entry in column 2, write "O" in column 3. LIE ** If the "Highest Number Previously Paid For" IN THIS SPACE is less than 20, enter "20". /RENEE HAWKINS/ *** If the "Highest Number Previously Paid For" IN THIS SPACE is less than 3, enter "3".

The "Highest Number Previously Paid For" (Total or Independent) is the highest number found in the appropriate box in column 1.

This collection of information is required by 37 CFR 1.16. The information is required to obtain or retain a benefit by the public which is to file (and by the US PTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 12 minutes to complete, including gathering, preparing, and submitting the completed application form to the US PTO. 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-PT0-9199 and select option 2.


Page 265 of 265