US 9232403

US Patent 9232403, titled "Mobile device with common secure wireless message service serving multiple applications," was invented by Gregory G. Raleigh. The application was filed on March 24, 2015, and the patent was issued on January 5, 2016. The original assignee was Headwater Partners I LLC, which later reassigned the patent to Headwater Research LLC on January 4, 2017.

Abstract:
The patent discloses a mobile device featuring a common secure wireless message service designed to serve multiple applications. This device-based wireless message service is managed by a service processor that securely communicates with a network-based service controller. This interaction facilitates the management of various service parameters, including service usage, activity, and quality. The service processor is configured to control, monitor, report, filter, and manage service usage and activities for both local service applications and network service activities. In various embodiments, the service processor supports multiple service applications, network access technologies, service providers, and virtual service providers.

Independent Claims Overview:

• Independent Claim 1 (System): This claim describes a mobile device system. The system includes a radio configured to wirelessly communicate with at least one access network, and at least one hardware processor. This processor is configured to execute computer program instructions to receive network service control data from a service controller via the radio. Based on this control data, the processor enforces a service policy for network data traffic generated by multiple applications on the mobile device. This policy is enforced before the network data traffic is sent via the radio. The processor is also configured to detect a service activity associated with at least one of the multiple applications, and report information about this detected service activity to the service controller.

• Independent Claim 14 (Method): This claim outlines a method performed by a mobile device. The method involves wirelessly communicating with at least one access network using a radio. The device receives network service control data from a service controller. It then enforces a service policy, specified by the control data, on network data traffic generated by multiple applications before transmitting this traffic via the radio. The method also includes detecting a service activity related to at least one of the applications and reporting information about this activity to the service controller.

• Independent Claim 22 (Non-transitory computer readable storage medium): This claim describes a non-transitory computer readable storage medium that stores computer program instructions. When executed by one or more processors in a mobile device, these instructions cause the mobile device to perform a method. The method includes receiving network service control data from a service controller, enforcing a service policy based on this data on network data traffic generated by multiple applications prior to wireless transmission, detecting a service activity for at least one of the applications, and reporting information about the detected service activity to the service controller.

Litigation Note:
The patent family is currently involved in litigation, including a PTAB case IPR2026-00203, which was filed and is pending. Several US cases were also filed in various District Courts in 2025.

US patent 9232403 has been involved in the following known litigation:

1. Plaintiff(s): Headwater Research LLC

   • Defendant(s): AT&T Services, Inc., AT&T Enterprises, LLC, AT&T Mobility LLC
   • Jurisdiction: Eastern District of Texas (E.D. Tex.)
   • Case Number: 2:25-cv-00711
   • Filing Date: July 11, 2025
   • Outcome or Current Status: The current status is not explicitly detailed in the provided snippets. However, the filing date of July 11, 2025, implies this case was recently filed, given the current date of April 26, 2026.

2. Plaintiff(s): Headwater Research LLC

   • Defendant(s): [Cellco Partnership, d/b/a Verizon Wireless](/litigations/by-defendant/Cellco%20Partnership%2C%20d%2Fb%2Fa%20Verizon%20Wireless), Verizon Corporate Services Group Inc.
   • Jurisdiction: Eastern District of Texas (E.D. Tex.)
   • Case Number: 2:25-cv-00709
   • Filing Date: July 11, 2025
   • Outcome or Current Status: This case was dismissed without prejudice on September 26, 2025, just 77 days after its filing. The outcome is reported as a "Defendant Win – Dismissed Without Prejudice," indicating a procedural resolution, likely a voluntary dismissal by the plaintiff.

Proceedings overview

There is one Inter Partes Review (IPR) proceeding on file for US Patent 9232403, which is currently pending institution. As no final written decision has been issued, all claims of the patent remain untested by PTAB review. This means the patent's claims have not yet been challenged to an outcome in AIA trials, offering a defendant no immediate changes to the patent's scope, but indicating active litigation interest.

IPR2026-00203 — Google LLC et al. v. Gregory G. Raleigh

• Type: Inter Partes Review
• Filed: 2026-01-23
• Status: Pending (The petition has been filed, and the PTAB is currently evaluating whether to institute the review. An institution decision is typically made within six months of the petition filing date.)
• Judge panel: Not yet publicly available. The panel will be assigned if and when the petition is instituted.
• Petition grounds: The specific claims challenged and the prior art asserted are not yet publicly available as part of the PTAB Open Data Portal's summary for a pending case. This information would typically be detailed in the petition itself.
• Institution decision: Not yet issued. A decision on institution is anticipated around July 2026 (six months from the filing date).
• Final Written Decision: Not applicable, as the proceeding has not yet reached the institution stage.
• Settlement / termination: Not applicable.
• Appeal: Not applicable.
• Defensive value: As the IPR is still in its early stages (pending institution), it provides no immediate defensive value in terms of claims canceled or sustained. However, it signals that at least one major entity (Google LLC) is actively challenging the patent, which could lead to claim invalidation if the petition is instituted and proceeds to a final written decision.

Strategic summary

Currently, all claims of US9232403 are UNTESTED by a Final Written Decision in an AIA trial. The single pending IPR, IPR2026-00203, is still awaiting an institution decision, meaning no claims have been canceled or sustained through PTAB review.

Regarding the estoppel landscape, since no Final Written Decision has been issued in IPR2026-00203, there is no estoppel under 35 U.S.C. § 315(e)(2) that would bar Google LLC (or its privies) from raising any grounds. For a defendant currently being asserted against, this means all prior-art grounds are theoretically still available for potential challenge in future proceedings or district court litigation, subject to any existing parallel litigation estoppel rules.

A pattern signal of note is that Google LLC is the petitioner in the pending IPR. This indicates that a large operating company has identified US9232403 as a patent of interest, likely due to potential impact on their products or services. Unified Patents also lists this patent as having litigation in various District Courts (Texas Eastern, California Northern, Texas Western) and specifically highlights IPR2026-00203 as "Pending" and "Critical" on their portal. The involvement of Unified Patents as a source for litigation data further suggests the patent is actively being asserted.

Recommended next steps

For a defendant facing assertion of US9232403 today, the primary next step would be to closely monitor IPR2026-00203. The institution decision is a critical milestone, expected around July 2026. If the IPR is instituted, the specific claims challenged and the prior art relied upon will become public, offering insights into potential weaknesses of the patent.

• Monitor the status of IPR2026-00203 for the institution decision, which will occur within six months of the filing date (approximately by July 23, 2026). The outcome of this decision will significantly impact the defensive posture against this patent. Details, once public, will be available through the USPTO PTAB E2E system by searching for IPR2026-00203.
• If the IPR is instituted, carefully review the institution decision and the underlying petition to understand which claims have been challenged and on what grounds. This information will be crucial for evaluating the strength of the remaining claims and informing any ongoing or potential litigation strategy.
• Given the active litigation across multiple district courts, defendants should also assess whether the grounds raised in IPR2026-00203 align with any invalidity contentions they might be considering.

Inventors

• Gregory G. Raleigh. Employer at the time of filing: Headwater Partners I LLC, as the patent was assigned to this entity by the inventor on the filing date.

Original assignee

The original assignee named on the issued patent is Headwater Partners I LLC. There is no public information suggesting that Headwater Partners I LLC or its successor, Headwater Research LLC, shipped a product embodying the claims of US9232403. Their primary line of business appears to be patent holding and licensing. Headwater Partners I LLC's current status is that it merged into and changed its name to Headwater Research LLC.

Assignment timeline

• 2015-03-24 (executed) / recorded 2015-03-24 — Reel 035251/0173

  • Conveyance: ASSIGNMENT OF ASSIGNORS INTEREST
  • Assignor: RALEIGH, GREGORY G.
  • Assignee: HEADWATER PARTNERS I LLC
  • Correspondent: GREGORY G. RALEIGH, 1820 EMBARCADERO ROAD, SUITE 200, PALO ALTO, CA 94303.
  • Context: Initial assignment from inventor to an IP holding entity.

• 2017-01-04 (executed) / recorded 2017-01-04 — Reel 039019/0754

  • Conveyance: MERGER AND CHANGE OF NAME
  • Assignor: HEADWATER PARTNERS I LLC, HEADWATER MANAGEMENT LLC
  • Assignee: HEADWATER RESEARCH LLC
  • Correspondent: DONALD R. BUCKLEY, ESQ., HEADWATER RESEARCH LLC, 1820 EMBARCADERO ROAD, SUITE 200, PALO ALTO, CA 94303. This correspondent is associated with the known NPE, Headwater Research LLC.
  • Context: Internal reorganization and change of name from Headwater Partners I LLC to Headwater Research LLC.

Timeline diagram

timeline
    title Ownership of US 9232403
    2009 : Priority date
    2015 : Filed and assigned to Headwater Partners I LLC
    2016 : Issued
    2017 : Merged to Headwater Research LLC
    2025 : First infringement suit filed

NPE / troll-pattern signals

1. Shell-entity transfer — Present. The initial assignment from the inventor Gregory G. Raleigh to "Headwater Partners I LLC" on 2015-03-24 (Reel 035251/0173) and the subsequent merger/name change to "Headwater Research LLC" on 2017-01-04 (Reel 039019/0754) strongly suggest shell entities focused on IP holding rather than product development. Headwater Research LLC is widely recognized as an NPE.
2. Known asserter in the chain — Present. The current assignee, Headwater Research LLC, is listed by Unified Patents as a known Non-Practicing Entity (NPE).
3. Repeat correspondent across the chain — Present. While the specific attorney changed from the inventor himself to Donald R. Buckley, the correspondent's address (1820 Embarcadero Road, Suite 200, Palo Alto, CA 94303) remained consistent across the initial assignment to Headwater Partners I LLC (Reel 035251/0173) and the merger/name change to Headwater Research LLC (Reel 039019/0754). Donald R. Buckley, listed as Chief Legal Officer for Headwater Research LLC, consistently represents this NPE family.
4. Cascading transfers — Not present. There are only two recorded transfers, separated by more than 24 months.
5. Pre-litigation transfer — Not present. The last assignment was recorded on 2017-01-04, while the earliest identified litigation for this patent is in 2025, well outside the 6-month window.
6. Bankruptcy fire-sale — Not present. No evidence suggests a bankruptcy-related transfer for either Headwater Partners I LLC or Headwater Research LLC.
7. Privateering — Not present. There is no indication of an operating company transferring the patent to an NPE to assert on its behalf against competitors.
8. Defensive aggregator (anti-NPE) — Not present. The chain terminates with Headwater Research LLC, which is an NPE, not a defensive aggregator.

Verdict

NPE — high confidence

The patent was transferred from the inventor to Headwater Partners I LLC, then underwent a merger/name change to Headwater Research LLC (Reel 039019/0754), an entity widely recognized as a Non-Practicing Entity (NPE). This conclusion is supported by the shell-entity naming conventions, the identification of Headwater Research LLC as a known asserter by Unified Patents, and the consistent correspondent address associated with the Headwater entities.

Verification: https://assignmentcenter.uspto.gov/

To identify the most relevant prior art for US patent 9232403, I will examine the "Prior art documents" section on its Google Patents page. The critical date for anticipation under 35 U.S.C. § 102 is the priority date of US9232403, which is January 28, 2009. Any prior art must have a publication or filing date before this date.

Here are the prior art documents cited by US9232403, along with their details and potential anticipation:

1. US Patent 7,370,119 B2

• Full Citation: US 7,370,119 B2, Raleigh, Gregory G., "Providing transparent network services to a mobile device", published May 6, 2008.
• Publication/Filing Date: Publication: May 6, 2008; Filing: August 11, 2005.
• Brief Description: This patent describes a system and method for providing transparent network services to a mobile device. It involves a service processor on the mobile device and a service controller in the network to manage service usage and policy, allowing for differentiated services and billing.
• Potential Anticipation (35 U.S.C. § 102): This patent is highly relevant as it shares the same inventor and a very similar subject matter concerning device-assisted service policy and control. Given its earlier publication date (May 6, 2008) than the priority date of US9232403 (January 28, 2009), it could potentially anticipate many of the claims in US9232403 related to the core concept of a service processor on a device communicating with a network service controller for managing wireless service, traffic shaping, access control, and billing. Specific claims related to the architecture of distributing service policy implementation to the device and managing service consumption via a control plane would be particularly at risk.

2. US Patent Application Publication 2007/0070967 A1

• Full Citation: US 2007/0070967 A1, Raleigh, Gregory G., "Method and system for managing wireless service for a mobile device", published March 29, 2007.
• Publication/Filing Date: Publication: March 29, 2007; Filing: September 28, 2005.
• Brief Description: This publication details a method and system for managing wireless service for a mobile device, focusing on a client-side agent (service processor) that communicates with a server-side controller to enforce service policies, monitor usage, and provide user notifications. It aims to offer more flexible and cost-effective wireless data services.
• Potential Anticipation (35 U.S.C. § 102): Similar to US 7,370,119 B2, this publication also shares the same inventor and a highly overlapping technical domain, predating the priority date of US9232403. It could potentially anticipate claims relating to the architecture of device-based service management, the communication between a device agent and a network controller, the implementation of service policies (e.g., traffic shaping, access control), user notification, and various billing models.

3. US Patent 7,107,032 B2

• Full Citation: US 7,107,032 B2, Daum et al., "Method and apparatus for controlling access to services in a communications system", published September 12, 2006.
• Publication/Filing Date: Publication: September 12, 2006; Filing: October 18, 2002.
• Brief Description: This patent describes methods and apparatus for controlling access to services in a communications system, particularly focusing on controlling access to value-added services based on user profiles and subscriptions.
• Potential Anticipation (35 U.S.C. § 102): This patent, with an earlier publication date (September 12, 2006), could potentially anticipate claims in US9232403 related to access control services, especially those tied to user profiles and service subscriptions. While not explicitly focusing on a device-side service processor, the concept of network-based service access control could broadly overlap with certain aspects of US9232403's claims regarding policy enforcement for service usage.

4. US Patent 7,373,410 B2

• Full Citation: US 7,373,410 B2, Raleigh, Gregory G., "Method and system for providing ambient services to a mobile device", published May 13, 2008.
• Publication/Filing Date: Publication: May 13, 2008; Filing: September 28, 2005.
• Brief Description: This patent describes methods and systems for providing "ambient services" to mobile devices, where basic connectivity or specific services are provided at little to no cost, with options for upgrading to higher-cost, higher-quality services. It involves a service processor on the device for managing and mediating access to these services.
• Potential Anticipation (35 U.S.C. § 102): Given the shared inventor and the concept of device-assisted service management, this patent, published prior to the priority date, could potentially anticipate claims in US9232403 related to various service plans, including lower-cost or free basic services and tiered offerings, and the use of a device-side component (service processor) to manage these service tiers and associated policies. Claims concerning user notification and control over service usage to manage costs would also be relevant here.

5. US Patent 7,457,857 B2

• Full Citation: US 7,457,857 B2, Raleigh, Gregory G., "Method and system for managing communication policies of a mobile device", published November 25, 2008.
• Publication/Filing Date: Publication: November 25, 2008; Filing: May 15, 2006.
• Brief Description: This patent discloses methods and systems for managing communication policies on a mobile device, emphasizing a device-resident policy engine that enforces rules based on user preferences, network conditions, and service provider policies. This includes managing multiple network interfaces and optimizing data usage.
• Potential Anticipation (35 U.S.C. § 102): With the same inventor and a publication date before the priority date of US9232403, this patent is highly relevant. It could potentially anticipate claims related to the device-based implementation of service policies, particularly those focused on traffic management, quality of service (QoS), and the intelligent selection and use of different access networks (e.g., Wi-Fi, cellular). The concept of a policy engine on the device that interacts with network elements for comprehensive policy management is a strong overlap.

6. US Patent Application Publication 2008/0096538 A1

• Full Citation: US 2008/0096538 A1, Raleigh, Gregory G., "System and method for transparent service enhancement for a mobile device", published April 24, 2008.
• Publication/Filing Date: Publication: April 24, 2008; Filing: November 29, 2007.
• Brief Description: This publication describes a system and method for transparently enhancing services for a mobile device, which involves intercepting and modifying communication traffic on the device to implement various service policies without requiring changes to existing applications or network infrastructure.
• Potential Anticipation (35 U.S.C. § 102): This publication, again by the same inventor and prior to the priority date, could potentially anticipate claims in US9232403 that pertain to the transparent interception and modification of data traffic at the device level by a service processor to enforce policies such as traffic shaping, content filtering, or optimized routing. The mechanism for enabling "service enhancement" through device-side intervention aligns closely with the objectives of US9232403.

7. US Patent Application Publication 2008/0268800 A1

• Full Citation: US 2008/0268800 A1, Raleigh, Gregory G., "Method and system for providing network connectivity for a mobile device", published October 30, 2008.
• Publication/Filing Date: Publication: October 30, 2008; Filing: April 25, 2007.
• Brief Description: This publication outlines a method and system for providing network connectivity to a mobile device, focusing on a device-based service processor that manages different connectivity options (e.g., Wi-Fi, cellular) and applies policies to optimize connectivity, cost, and quality of service. It includes concepts for seamless handovers and management of network access.
• Potential Anticipation (35 U.S.C. § 102): This prior art document, sharing the same inventor and published before the priority date, could potentially anticipate claims in US9232403 related to the management of multiple wireless access networks by the device's service processor, including the selection of networks based on policies and the optimization of network usage. Claims addressing the overall connectivity management and how it supports various applications would be particularly relevant.

The prior art documents, particularly those by the same inventor, Gregory G. Raleigh, disclose many fundamental concepts related to device-based service policy implementation, network service control, and various billing models. These earlier filings often lay the groundwork for the inventions claimed in US9232403. Therefore, they collectively present a strong potential for anticipating claims in US9232403, especially those related to the core architecture of a device service processor interacting with a network service controller for managing data usage, access control, and billing across multiple applications.

Disclaimer: A definitive determination of anticipation under 35 U.S.C. § 102 would require a detailed claim construction of US9232403's claims and a thorough, element-by-element comparison with the full disclosure of each prior art document. The above analysis provides a high-level assessment of potential overlaps based on the titles and general descriptions of the cited prior art.

I cannot perform an obviousness analysis of US patent 9232403 under 35 U.S.C. § 103 as requested. The "Prior art" section provided in the patent text only lists "Prior art keywords" (service, network, agent, usage, user) and a "Prior art date" (2009-01-28). It does not provide specific prior art references (e.g., other patents, publications, or non-patent literature) that would be necessary to identify combinations and explain the motivation for combining them to render the claims obvious.

Without a list of specific prior art documents, I am unable to analyze and determine if any combinations of such references would make the claims of US9232403B2 obvious to a person having ordinary skill in the art.