Exhibit 4

Case 2:23-cv-00103-JRG-RSP Document 94-5 Filed 05/30/24 Page 1 of 11 PageID #: 3815
SAMSUNG’S P.R. 4-2 PRELIMINARY CLAIM 

CONSTRUCTIONS AND EXTRINSIC EVIDENCE Page 1 

IN THE UNITED STATES DISTRICT COURT 

EASTERN DISTRICT OF TEXAS 

MARSHALL DIVISION 

HEADWATER RESEARCH LLC 

Plaintiff, 

v. 

SAMSUNG ELECTRONIC CO., LTD and 

SAMSUNG ELECTRONICS AMERICA, 

INC., 

Defendants. 

Case No. 2:23-CV-00103-JRG-RSP 

JURY TRIAL DEMANDED 

SAMSUNG’S P.R. 4-2 PRELIMINARY CLAIM 

CONSTRUCTIONS AND EXTRINSIC EVIDENCE 

Pursuant to Patent Rule 4-2 and the Court’s First Amended Docket Control Order (Dkt. 

No. 63), Defendants Samsung Electronics Co. Ltd. and Samsung Electronics America, Inc. 

(collectively, “Samsung”) respectfully submit their Preliminary Proposed Claim Constructions and 

Extrinsic Evidence for the claim terms, phrases, or clauses contained in the asserted patents that 

the parties identified on March 7, 2024 for claim construction purposes pursuant to Patent Rule 4-

1. 

Samsung bases these constructions upon its current knowledge, understanding, and belief 

as to the facts and information available as of this date. Samsung reserves the right to further 

amend these preliminary proposed claim constructions as the parties proceed with discovery and 

work toward the preparation of a final Joint Claim Construction Statement. In particular, Samsung 

reserves the right to modify or supplement these P.R. 4-2 disclosures to facilitate agreement with 

Headwater, to avoid duplication of terms or phrases, to reflect newly-received information, or in 

response to any changes in Headwater’s P.R. 3-1 and P.R. 3-2 disclosures. 

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Samsung also reserves its right to revise its proposals regarding claim terms in view of 

Headwater’s proposals and as discovery proceeds. Samsung specifically reserves the right to 

modify or supplement its preliminary proposed constructions once it has had an opportunity to 

review Headwater’s preliminary proposed constructions. Samsung further reserves the right to 

rely on extrinsic evidence identified by Headwater and to add additional extrinsic evidence, 

particularly for constructions on which the parties disagree. Furthermore, Samsung reserves the 

right to add citations to relevant extrinsic evidence, such as inventor testimony and testimony from 

attorneys responsible for prosecuting the asserted patents, as well as to identify dictionary 

definitions and prior art. 

Samsung also reserves the right to amend these disclosures to the extent Headwater 

supplements or amends its infringement contentions or claim construction disclosures. Headwater 

has not served infringement contentions that comply with P.R. 3-1 and/or Paragraph 3 of the 

Court’s Discovery Order (Dkt. No. 64) and has otherwise not provided sufficient notice as to its 

infringement theories in this case. Samsung is prejudiced in identifying the terms and 

constructions below in the absence of knowledge as to how Headwater intends to assert its claim 

scope in this litigation. Samsung specifically reserves the right to modify the terms and proposed 

constructions identified herein within a reasonable time of Headwater being permitted to serve any 

supplemental contentions. 

Samsung contends that certain claim limitations are indefinite. To the extent that Samsung 

provides proposed alternative claim constructions, now or in the future, for these claim limitations 

in the event that the claims are not found to be indefinite, such proposal is not an admission that 

these claims are amenable to proper construction and/or satisfy the definiteness requirement of 35 

U.S.C. § 112, which Samsung specifically denies. Moreover, nothing in these proposed terms 

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should suggest that a particular limitation or claim is valid or construable, accurately described, 

enabled or definite within the meaning of 35 U.S.C. § 112. 

To confirm the proper claim interpretation (or lack thereof), Samsung may rely on the 

patents and other references cited during the prosecution of the asserted patents. Samsung also 

may rely on one or more of the prior art systems and/or publications identified in its Invalidity 

Contentions to explain the state of the art and/or to show the ordinary meaning (or lack thereof) of 

certain claim terms. Furthermore, Samsung may rely on any public statement of Headwater and/or 

its representatives (including statements made in prosecution of foreign counterparts to the 

asserted patents), or any current or former employee of Headwater; any of the named inventors 

and/or prosecuting attorneys; and/or any information from other sources, including discovery 

produced in this case. Samsung may also rely on documents produced by Headwater pursuant to 

Patent Local Rule 3-2 to the extent those documents evidence the ordinary meaning (or lack 

thereof) of claim terms and/or any different meaning assigned to claim terms by the inventors. 

Samsung also may rely on testimony from one or more of the inventors and/or the prosecuting 

attorney elicited in ongoing discovery in this case. Testimony from one or more of the inventors 

or the prosecuting attorney may be relevant to the meaning or indefiniteness of one or more of the 

contested claim terms. 

As noted below, Samsung may also rely on testimony from one or more expert witnesses, 

including any identified by Headwater. Such expert evidence may address the relevant field of 

art, the level of ordinary skill in the art, whether certain terms connote sufficient structure to 

perform the claimed functions, whether the patents’ specifications disclose and clearly link 

sufficient structure to perform the claimed functions, the definiteness of certain terms, and the 

meaning that certain claim terms would have to a person of ordinary skill in the art based on the 

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asserted patents’ disclosure and associated prosecution history, including any extrinsic evidence 

offered by Headwater or Samsung. 

Pursuant to P.R. 4-2(a) Samsung discloses the following: 

I. U.S. Patent No. 8,406,733 

Claim Term Claim(s) 

Proposed Construction 

and Preliminary Extrinsic 

Evidence 

1. device agents 1, 30 Indefinite 

See SAM-HW-2_00215498-

SAM-HW-2_00215506. 

2. wherein the particular server comprises a 

service usage history server, a policy 

management server, an access control 

integrity server, a network traffic analysis 

server, a beta test server, a service download 

control server, a billing event server, an 

activation server, a transaction server, an 

authentication server, or a content 

management server

2 Indefinite 

3. wherein the message content comprises 

information associated with a service usage 

3 Indefinite 

4. wherein the information associated with the 

service usage comprises information about 

one or more of a service usage value, a 

projected service usage value, a service 

usage plan limit, a projected service usage 

overage, a projected service cost overage, a 

service plan period time duration, a service 

plan time remaining before end of period, 

and a service overage 

4 Indefinite 

5. wherein the message content is based, at 

least in part, on a user preference 

5 Indefinite 

6. wherein the message content comprises a 

service offer, an advertisement, or a 

transaction offer

7 Indefinite 

7. wherein the message content comprises 

information from a third party configured to 

provide control of a service or a billing for a 

service 

8 Indefinite 

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CONSTRUCTIONS AND EXTRINSIC EVIDENCE Page 5 

Claim Term Claim(s) 

Proposed Construction 

and Preliminary Extrinsic 

Evidence 

8. wherein the message content comprises an 

agent instruction, a setting value, an agent 

configuration, or a software update 

9 Indefinite 

9. wherein the message content comprises 

information associated with a service policy

11 Indefinite 

10. wherein the service control device link agent 

is further configured to send a device 

message to the service control server link 

element over the service control link

13 Indefinite 

11. integrity report 14 Indefinite 

12. wherein the particular device agent is 

configured to assist in presenting a 

notification through the user interface, the 

notification based on the message content 

19 Indefinite 

13. wherein the service control link is 

configured to support control-plane 

communications using an Internet protocol 

29 Indefinite 

II. U.S. Patent No. 9,198,117 

Claim Term Claim(s) 

Proposed Constructions 

and Preliminary Extrinsic 

Evidence 

1. device messaging agents 1 Indefinite 

See SAM-HW-2_00215498-

SAM-HW-2_00215506. 

2. wherein the device messaging agent 

executes in a secure execution environment 

on at least one of the devices, and at least 

one of the applications executes outside of 

the secure execution environment on that 

device 

6 Indefinite 

3. on at least one of the devices, the secure 

interprocess communication service, and 

wherein the secure interprocess 

communication service and the secure 

Internet data connection from that device to 

the network message server are separately 

secured

9 Indefinite 

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CONSTRUCTIONS AND EXTRINSIC EVIDENCE Page 6 

Claim Term Claim(s) 

Proposed Constructions 

and Preliminary Extrinsic 

Evidence 

4. the device messaging agent on at least one 

of the devices further to initiate the secure 

connection to the network message server

12 Indefinite 

5. at least one of the devices having a network 

stack in communication with the device 

messaging agent, wherein the secure 

connection between the network message 

server and that device is terminated within 

the network stack

13 Indefinite 

6. wherein at least one of the applications on at 

least one of the devices and the network 

application server corresponding to that 

application authenticate with each other 

prior to passing application data via the 

device messaging agent on that device and 

the network message server

14 Indefinite 

7. wherein the transmission trigger is the 

expiration of a periodic timer

17 Indefinite 

8. wherein the transmission trigger is the 

receipt of a transmission from the device 

messaging agent of the particular device 

18 Indefinite 

III. U.S. Patent No. 9,615,192 

Claim Term Claim(s) 

Proposed Constructions 

and Preliminary Extrinsic 

Evidence 

1. software components 1, 15 Indefinite 

See SAM-HW-2_00215498-

SAM-HW-2_00215506. 

2. wherein the device link agent executes in a 

secure execution environment on at least 

one of the devices, and at least one of the 

software components executes outside of 

the secure execution environment on that 

device 

4 Indefinite 

3. the device messaging agent on at least one 

of the wireless end-user devices further to 

initiate the respective secure Internet data 

message link to the transport services stack

7 Indefinite 

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SAMSUNG’S P.R. 4-2 PRELIMINARY CLAIM 

CONSTRUCTIONS AND EXTRINSIC EVIDENCE Page 7 

Claim Term Claim(s) 

Proposed Constructions 

and Preliminary Extrinsic 

Evidence 

4. wherein one of the message delivery 

triggers is the expiration of a periodic timer

9 Indefinite 

5. wherein one of the message delivery 

triggers is the receipt of a transmission on 

the respective secure message link from the 

device link agent of the given one of the 

wireless end-user devices, or a response 

generated to a transmission received from 

that device link agent 

11 Indefinite 

6. wherein one of the message delivery 

triggers is the receipt of a particular network 

element message from one of the network 

elements 

13 Indefinite 

Samsung identifies that one or more experts, including Ian Foster, Ph.D. and/or Dan 

Schonfeld, Ph.D. may testify regarding the technology of the above-mentioned patents, including 

the relevant state of the art, how a person of ordinary skill in the art as of the priority date of the 

patents would have understood this claim term, including whether the scope of this claim is 

reasonably ascertainable to a person of ordinary skill in the art. 

Dated: March 28, 2024 Respectfully submitted, 

By: /s/ Jonathan B. Bright 

 Ruffin B. Cordell 

TX Bar No. 04820550 

Michael J. McKeon 

DC Bar No. 459780 

mckeon@fr.com 

Jared Hartzman (pro hac vice forthcoming) 

DC Bar No. 1034255 

hartzman@fr.com 

Joshua Carrigan (pro hac vice forthcoming) 

VA Bar No. 96911 

carrigan@fr.com 

FISH & RICHARDSON P.C. 

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1000 Maine Avenue, SW, Ste 1000 

Washington, D.C. 20024 

Telephone: (202) 783-5070 

Facsimile: (202) 783-2331 

Thad C. Kodish 

GA Bar No. 427603 

tkodish@fr.com 

Benjamin K. Thompson 

GA Bar No. 633211 

bthompson@fr.com 

Jonathan B. Bright 

GA Bar No. 256953 

jbright@fr.com 

Nicholas A. Gallo 

GA Bar No. 546590 

gallo@fr.com 

Steffen Lake (pro hac vice forthcoming) 

GA Bar No. 512272 

lake@fr.com 

Vivian C. Keller (admitted pro hac vice) 

GA Bar No. 651500 

keller@fr.com 

FISH & RICHARDSON P.C. 

1180 Peachtree St. NE, Fl. 21 

Atlanta, GA 30309 

Telephone: (404) 892-5005 

Facsimile: (404) 892-5002 

Leonard E. Davis 

TX Bar No. 05521600 

ldavis@fr.com 

Andria Rae Crisler 

TX Bar No. 24093792 

crisler@fr.com 

FISH & RICHARDSON P.C.

1717 Main Street, Suite 5000 

Dallas, TX 75201 

Telephone: (214)747-5070 

Facsimile: (214) 747-2091 

Melissa R. Smith 

State Bar No. 24001351 

Melissa@gillamsmithlaw.com 

Harry Lee Gillam , Jr 

gil@gillamsmithlaw.com 

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GILLAM & SMITH, LLP 

303 South Washington Avenue 

Marshall, Texas 75670 

Telephone: (903) 934-8450 

Facsimile: (903) 934-9257 

Michael E. Jones 

State Bar No. 10929400 

mikejones@potterminton.com 

Shaun W. Hassett 

State Bar No. 24074372 

shaunhassett@potterminton.com 

POTTER MINTON, P.C. 

102 N. College Ave., Suite 900 

Tyler, Texas 75702 

Tel: (903) 597-8311 

Fax: (903) 593-0846 

Lance Lin Yang 

Lanceyang@quinnemanuel.com 

QUINN EMANUEL URQUHART & SULLIVAN,

LLP – LA 

Los Angeles, CA 90017 USA 

Tel: (213) 443-3000 

Fax: (213) 443-3100 

Jon Bentley Hyland 

Texas Bar No. 24046131 

jhyland@hilgersgraben.com 

Grant K. Schmidt 

Texas Bar No. 24084579 

gschmidt@hilgersgraben.com 

HILGERS GRABEN PLLC 

7859 Walnut Hill Lane, Suite 335 

Dallas, Texas 75230 

Telephone: (972) 645-3097 

ATTORNEYS FOR DEFENDANTS

SAMSUNG ELECTRONICS CO., LTD. AND

SAMSUNG ELECTRONICS AMERICA, INC.

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CERTIFICATE OF SERVICE 

The undersigned hereby certifies that a true and correct copy of the foregoing was served 

on counsel of record for Plaintiff via electronic mail on March 28, 2024. 

/s/ Jonathan B. Bright 

Jonathan B. Bright 

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