Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28408 Page 1 of
`101
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`EXHIBIT 3
`(PART 2)
`
`TO THE DECLARATION OF
`BRIAN J. NISBET IN SUPPORT OF
`DEFENDANTS’ MOTION FOR
`SUMMARY JUDGMENT
`
`
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28409 Page 2 of
`101
`
`Sheet 1 of 20
`
`FIG.1
`
`ATEC_LLIF000051568
`
`EXHIBIT 3 - PAGE 541
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28410 Page 3 of
`101
`
`S h e e t 2 o f 2 0
`
`~ 1 0
`
`6
`
`8
`
`1 6
`
`7
`
`1 2
`
`7
`
`1 4
`
`4
`
`3 1
`
`F I G . 2
`
`1 Q
`
`A T E c _ L L J F o o o o s 1 s a 9
`
`EXHIBIT 3 - PAGE 542
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28411 Page 4 of
`101
`
`Sheet 3 of 20
`
`22
`
`FIG.3
`
`8
`
`'-----16
`
`10
`
`ATEC_LLIF000051570
`
`EXHIBIT 3 - PAGE 543
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28412 Page 5 of
`101
`
`Sheet 4 of 20
`
`60
`
`7
`
`6
`
`9
`
`31
`
`8
`
`~I 0 0
`) =z
`
`14
`
`9
`
`22
`
`7
`
`FIG.4
`
`10
`
`16
`
`4
`
`8
`
`ATEC_LLIF000051571
`
`EXHIBIT 3 - PAGE 544
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28413 Page 6 of
`101
`
`Sheet 5 of 20
`
`9
`
`31
`
`9
`
`7
`
`7
`
`60
`
`61
`
`/ 14
`
`FIG.5
`
`33
`
`10
`
`A TEC _LLI F0000S 1572
`
`EXHIBIT 3 - PAGE 545
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28414 Page 7 of
`101
`
`Sheet 6 of 20
`
`26
`
`7
`
`9
`
`8
`
`LJ
`
`62
`
`6
`
`4
`
`14
`
`16
`
`FIG.6
`
`A TEC _LLI F0000S 1573
`
`EXHIBIT 3 - PAGE 546
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28415 Page 8 of
`101
`
`Sheet 7 of 20
`
`42
`
`34
`
`20
`
`6
`
`FIG.7
`
`26
`
`24
`
`ATEC_LLIF000051574
`
`EXHIBIT 3 - PAGE 547
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28416 Page 9 of
`101
`
`Sheet 8 of 20
`
`28
`
`2
`
`63
`
`20
`
`FIG.8
`
`62
`
`24
`
`ATEC_LLIF000051575
`
`EXHIBIT 3 - PAGE 548
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28417 Page 10 of
`101
`
`Sheet 9 of 20
`
`~34
`
`42
`
`38
`
`44
`
`FIG.9
`
`26
`
`? ? 64
`
`24
`
`ATEC_LLIF000051576
`
`EXHIBIT 3 - PAGE 549
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28418 Page 11 of
`101
`
`Sheet 10 of 20
`
`105
`
`FIG.10
`
`TEC LLIF000051577
`A
`-
`
`EXHIBIT 3 - PAGE 550
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28419 Page 12 of
`101
`
`EXHIBIT 3 - PAGE 551
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28420 Page 13 of
`101
`
`S h e e t 12 o f 2 0
`
`3 /
`
`2
`
`X
`~~11~1
`~~~
`
`l'=7
`
`( j . l l
`
`l).,
`
`JJ2
`
`l f
`
`L/Foooos1s79
`ATEC L
`-
`
`EXHIBIT 3 - PAGE 552
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28421 Page 14 of
`101
`
`Sheet 13 of 20
`
`3/
`
`1D
`
`ATEC_LLIF000051580
`
`EXHIBIT 3 - PAGE 553
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28422 Page 15 of
`101
`
`Sheet 14 of 20
`
`51
`
`I
`
`'33
`
`4
`
`22..
`
`I.Z
`
`ATEC_LLIF000051581
`
`EXHIBIT 3 - PAGE 554
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28423 Page 16 of
`101
`
`Sheet 15 of 20
`
`12
`
`l1E
`
`2/
`
`FIG.15
`
`ATEC_LLIF000051582
`
`EXHIBIT 3 - PAGE 555
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28424 Page 17 of
`101
`
`Sheet 16 of 20
`
`41
`
`FIG.16
`
`ATEC L
`- LIF000051583
`
`EXHIBIT 3 - PAGE 556
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28425 Page 18 of
`101
`
`Sheet 17 of 20
`
`13
`
`41
`
`17
`
`15
`
`25
`
`"
`
`11
`
`27
`
`~2 1
`
`FIG.17
`
`A TEC _LLI F0000S 1584
`
`EXHIBIT 3 - PAGE 557
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28426 Page 19 of
`101
`
`Sheet 18 of 20
`
`;;--10
`
`7
`
`4
`
`4
`
`8
`
`FIG.18
`
`33
`
`FIG.19
`
`33
`
`A TEC _LLI F0000S 1585
`
`EXHIBIT 3 - PAGE 558
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28427 Page 20 of
`101
`
`Sheet 19 of 20
`
`FIG. 20
`
`7
`
`4
`
`4
`
`31
`
`9
`
`510
`
`4
`
`8
`
`4
`
`9
`
`33
`
`4
`
`8
`
`10
`
`33
`
`FIG. 21
`
`A TEC _LLI F0000S 1586
`
`EXHIBIT 3 - PAGE 559
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28428 Page 21 of
`101
`
`110
`
`f
`
`66
`
`12
`
`39
`
`12
`
`110
`
`Sheet 20 of 20
`
`31
`
`66
`
`FIG. 22
`
`33
`
`4
`
`31
`
`66
`
`FIG. 23
`
`33
`
`ATEC_LLIF000051587
`
`EXHIBIT 3 - PAGE 560
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28429 Page 22 of
`101
`
`r
`
`PTO/SB/01 (09-04)
`Approved for use through 07/31/2006. 0MB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paoerwork Reduction Act of 1995 no oersons are reauired to resoond ta a callection of information unless it contains a valid 0MB control number.
`Attorney Docket
`Number
`First Named Inventor
`
`104US1
`
`Matthew Curran
`COMPLETE IF KNOWN
`
`DECLARATION FOR UTILITY OR
`DESIGN
`PATENT APPLICATION
`(37 CFR 1.63)
`
`0 Declaration
`
`Submitted
`With Initial
`Filing
`
`OR
`
`□ Declaration
`
`Submitted after Initial
`Filing (surcharge
`(37 CFR 1.16 (e))
`required)
`
`I hereby declare that:
`
`Application Number
`
`Filing Date
`
`Art Unit
`
`Examiner Name
`
`N/A
`
`N/A
`
`N/A
`
`N/A
`
`Each inventor's residence, mailing address, and citizenship are as stated below next to their name.
`
`I believe the inventor(s) named below to be the original and first inventor(s) of the subject matter which is claimed and for
`which a oatent is souoht on the invention entitled:
`Systems and Methods for Spinal Fusion
`
`the specification of which
`
`0
`
`is attached hereto
`
`(Title of the Invention)
`
`OR
`
`□ was filed on (MM/DDNYYY) I
`Application Number I
`
`I as United States Application Number or PCT International
`I and was amended on (MM/DDNYYY) I
`I (if applicable).
`
`I hereby state that I have reviewed and understand the contents of the above identified specification, including the claims, as
`amended by any amendment specifically referred to above.
`
`I acknowledge the duty to disclose information which is material to patentability as defined in 37 CFR 1.56, including for
`continuation-in-part applications, material information which became available between the filing date of the prior application
`and the national or PCT international filing date of the continuation-in-part application.
`I hereby claim foreign priority benefits under 35 U.S.C. 119(a)-(d) or (f), or 365(b) of any foreign application(s) for patent,
`inventor's or plant breeder's rights certificate(s), or 365(a) of any PCT international application which designated at least one
`country other than the United States of America, listed below and have also identified below, by checking the box, any foreign
`application for patent, inventor's or plant breeder's rights certificate(s), or any PCT international application having a filing date
`before that of the application on which priority is claimed.
`Prior Foreign Application
`Foreign Filing Date
`Numberts\
`
`Priority
`Not Claimed
`
`Certified Copy Attached?
`Nn
`YES
`
`Country
`
`□ □ □
`□ □ □
`□ □ □
`□ □ □
`□ Additional foreign application numbers are listed on a supplemental priority data sheet PTO/SB/02B attached hereto.
`[Page 1 of 2)
`This collection of information 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 collection is estimated to take 21
`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. 00 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 completing the form, call 1-B0O-PTO-9199 and select option 2.
`
`BEST AVAILABLE COPY
`
`A TEC _LLI F0000S 1588
`
`EXHIBIT 3 - PAGE 561
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28430 Page 23 of
`101
`
`PTO/SB/01 (09-04)
`Approved for use through 07/31/2006. 0MB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Pa erwork Reduction Act of 1995 no ersons are re uired to res end to a collection of information unless it contains a valid 0MB control number.
`
`DECLARATION - Utility or Design Patent Application
`
`Direct all
`correspondence to:
`
`0 The address
`
`associated with
`Customer Number:
`
`I
`
`30,328
`
`OR □ Correspondence
`
`address below
`
`I
`
`Name
`
`Address
`
`City
`
`Country
`
`I State
`
`l ZIP
`
`I Telephone
`
`rax
`
`I hereby declare that all statements made herein of my own knowledge are true and that all statements made on information
`and belief are believed to be true; and further that these statements were made with the knowledge that willful false
`statements and the like so made are punishable by fine or imprisonment, or both, under 18 U.S.C. 1001 and that such willful
`false statements may jeopardize the validity of the application or any patent issued thereon.
`
`I D A petition has been filed for this unsianed inventor
`I Family Name or Surname
`I Date
`I Citizenship
`
`I Country
`
`USA
`
`March 29, 2005
`
`USA
`
`Curran
`
`NAME OF SOLE OR FIRST INVENTOR:
`Given Name (first and middle [if any))
`
`Matthew
`
`Inventor's Signature
`
`Residence: City
`Carlsbad
`
`Mailing Address
`3218 Rancho Quartillo
`
`City
`Carlsbad
`
`I State
`
`CA
`
`I State
`
`CA
`
`NAME OF SECOND INVENTOR:
`Given Name (first and middle [if any))
`"1A1\ l~
`Inventor's Signature
`
`I State
`Residence: City
`~ 0-R.-U (fr/
`Mailing Address
`
`City
`
`I State
`n Additional inventors or a legal reoresentative are being named on the
`
`92009
`
`USA
`
`I Zip
`1 Country
`In A petition has been filed for this unsigned inventor
`I Fa(J=~ame
`1 Date
`~ Citiuship
`
`I Country
`
`I ';p
`
`1 Cou,try
`
`supplemental sheetlsl PTO/SB/02A or 02LR attached hereto.
`
`[Page 2 of2)
`
`BEST AVAILABLE COPY
`
`A TEC _LLI F0000S 1589
`
`EXHIBIT 3 - PAGE 562
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28431 Page 24 of
`101
`
`Electronic Patent Application Fee Transmittal
`
`Application Number:
`
`Filing Date:
`
`Title of Invention:
`
`System and Methods for Spinal Fusion
`
`First Named Inventor/Applicant Name:
`
`Matthew Curran
`
`Filer:
`
`Jennifer Lynn Risser
`
`Attorney Docket Number:
`
`104US2
`
`Filed as Large Entity
`
`Utility under 35 USC 111 (a) Filing Fees
`
`Description
`
`Fee Code
`
`Quantity
`
`Amount
`
`Sub-Total in
`USO($)
`
`Basic Filing:
`
`Utility application filing
`
`Utility Search Fee
`
`Utility Examination Fee
`
`1011
`
`1111
`
`1311
`
`1
`
`1
`
`1
`
`330
`
`540
`
`220
`
`330
`
`540
`
`220
`
`Pages:
`
`Claims:
`
`Miscellaneous-Filing:
`
`Petition:
`
`Patent-Appeals-and-Interference:
`
`A TEC _LLI F0000S 1590
`
`EXHIBIT 3 - PAGE 563
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28432 Page 25 of
`101
`
`Description
`
`I Fee Code I Quant;ty I Amount I
`
`Sub-Total in
`USO($)
`
`Post-Allow a nee-and-Post-Issuance:
`
`Extension-of-Ti me:
`
`Miscellaneous:
`
`Total in USD ($)
`
`1090
`
`ATEC_LLIF000051591
`
`EXHIBIT 3 - PAGE 564
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28433 Page 26 of
`101
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`NUMBER
`13/079,645
`
`FILING or
`37l(c)DATE
`04/04/2011
`
`GRPART
`UNIT
`3733
`
`FIL FEE REC'D
`1090
`
`30328
`NuVasive
`c/o CPA Global
`P.O. Box 52050
`Minneapolis, MN 55402
`
`Ul\TfED STATES DEPA RTMK\/T OF COMMERCE
`United States Patent and Trademark Office
`Addrnss ~g1i1i~I~~i0'JER FOR PATENTS
`Alexandria,Virginia 22313-1450
`lN'i'lw.uspto.gov
`
`ATTY.DOCKET.NO
`104US2
`
`TOT CLAIMS IND CLAIMS
`26
`2
`CONFIRMATION NO. 1151
`FILING RECEIPT
`
`11111111111111111 lllll ll]~!l]!~l!~l!~l!~~IIHi~ll 11111111111111111111111
`
`Date Mailed: 04/18/2011
`
`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
`
`Applicant( s)
`
`Matthew Curran, Carlsbad, CA;
`Mark Peterson, Medford, OR;
`Power of Attorney: None
`
`Domestic Priority data as claimed by applicant
`This application is a CON of 11/093,409 03/29/2005 PAT 7,918,891
`which claims benefit of 60/557,536 03/29/2004
`
`Foreign Applications (You may be eligible to benefit from the Patent Prosecution Highway program at the
`USPTO. Please see http://www.uspto.gov for more information.)
`
`If Required, Foreign Filing License Granted: 04/13/2011
`
`The country code and number of your priority application, to be used for filing abroad under the Paris Convention,
`is US 13/079,645
`
`Projected Publication Date: To Be Determined - pending completion of Missing Parts
`
`Non-Publication Request: No
`
`Early Publication Request: No
`
`page 1 of 3
`
`A TEC _LLI F0000S 1592
`
`EXHIBIT 3 - PAGE 565
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28434 Page 27 of
`101
`
`Title
`
`System and Methods for Spinal Fusion
`
`Preliminary Class
`
`623
`
`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).
`
`LICENSE FOR FOREIGN FILING UNDER
`
`Title 35, United States Code, Section 184
`
`Title 37, Code of Federal Regulations, 5.11 & 5.15
`
`GRANTED
`
`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
`page 2 of 3
`
`A TEC _LLI F0000S 1593
`
`EXHIBIT 3 - PAGE 566
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28435 Page 28 of
`101
`
`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).
`
`page 3 of 3
`
`A TEC _LLI FOOOOS 1594
`
`EXHIBIT 3 - PAGE 567
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28436 Page 29 of
`101
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`13/079,645
`
`FILING OR 3 71 (C) DATE
`04/04/2011
`
`30328
`NuVasive
`c/o CPA Global
`P.O. Box 52050
`Minneapolis, MN 55402
`
`Ul\TfED STATES DEPA RTMK\/T OF COMMERCE
`United States Patent and Trademark Office
`Addrnss ~g1i1i~I~~i0'JER FOR PATENTS
`Alexandria,Virginia 22313-1450
`lN'i'lw.uspto.gov
`
`FIRST NAMED APPLICANT
`Matthew Curran
`
`ATTY. DOCKET NO./TITLE
`104US2
`CONFIRMATION NO. 1151
`FORMALITIES LETTER
`
`111111111111111111111111]~!1]!~1!~1!~11~~ IIHiljlll 11111111111111111111111
`
`Date Mailed: 04/18/2011
`
`NOTICE TO FILE MISSING PARTS OF NONPROVISIONAL APPLICATION
`
`FILED UNDER 37 CFR 1.53(b)
`
`Filing Date Granted
`
`Items Required To Avoid Abandonment:
`
`An application number and filing date have been accorded to this application. The item(s) indicated below,
`however, are missing. Applicant is given TWO MONTHS from the date of this Notice within which to file all
`required items below to avoid abandonment. Extensions of time may be obtained by filing a petition accompanied
`by the extension fee under the provisions of 37 CFR 1.136(a).
`
`• The oath or declaration is unsigned.
`
`The applicant needs to satisfy supplemental fees problems indicated below.
`
`The required item(s) identified below must be timely submitted to avoid abandonment:
`
`• Additional claim fees of $312 as a non-small entity, including any required multiple dependent claim fee, are
`required. Applicant must submit the additional claim fees or cancel the additional claims for which fees are
`due.
`• A surcharge (for late submission of filing fee, search fee, examination fee or oath or declaration) as set forth in
`37 CFR 1.16(f) of $130 for a non-small entity, must be submitted.
`
`SUMMARY OF FEES DUE:
`
`Total fee(s) required within TWO MONTHS from the date of this Notice is $442 for a non-small entity
`• $130 Surcharge.
`• Total additional claim fee(s) for this application is $312
`• $312 for 6 total claims over 20.
`
`Items Required To Avoid Processing Delays:
`
`The item(s) indicated below are also required and should be submitted with any reply to this notice to avoid
`further processing delays.
`
`• A new oath or declaration, identifying this application number is required. The oath or declaration does not
`comply with 37 CFR 1.63 in that it:
`• does not identify the complete mailing or post office address of each inventor.
`
`page 1 of 2
`
`A TEC _LLI FOOOOS 1595
`
`EXHIBIT 3 - PAGE 568
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28437 Page 30 of
`101
`
`Replies should be mailed to:
`
`Mail Stop Missing Parts
`Commissioner for Patents
`P.O. Box 1450
`Alexandria VA 22313-1450
`
`Registered users of EFS-Web may alternatively submit their reply to this notice via EFS-Web.
`https ://sportal. uspto .gov/authenticate/ AuthenticateUserlocal EP F. htm I
`
`For more information about EFS-Web please call the USPTO Electronic Business Center at 1-866-217-9197 or
`visit our website at http://www.uspto.gov/ebc.
`
`If you are not using EFS-Web to submit your reply, you must include a copy of this notice.
`
`/bzewdie/
`
`Office of Data Management, Application Assistance Unit (571) 272-4000, or (571) 272-4200, or 1-888-786-0101
`
`page 2 of 2
`
`A TEC _LLI FOOOOS 1596
`
`EXHIBIT 3 - PAGE 569
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28438 Page 31 of
`101
`
`Electronic Acknowledgement Receipt
`
`EFSID:
`
`Application Number:
`
`11215105
`
`13079645
`
`International Application Number:
`
`Confirmation Number:
`
`1151
`
`Title of Invention:
`
`System and Methods for Spinal Fusion
`
`First Named Inventor/Applicant Name:
`
`Matthew Curran
`
`Customer Number:
`
`30328
`
`Filer:
`
`Jennifer Lynn Risser
`
`Filer Authorized By:
`
`Attorney Docket Number:
`
`104US2
`
`Receipt Date:
`
`Filing Date:
`
`Time Stamp:
`
`18-OCT-2011
`
`04-APR-2011
`
`23:57:46
`
`Application Type:
`
`Utility under 35 USC 111 (a)
`
`Payment information:
`
`Submitted with Payment
`
`Payment Type
`
`Payment was successfully received in RAM
`
`RAM confirmation Number
`
`Deposit Account
`
`Authorized User
`
`File Listing:
`Document I
`Number
`
`yes
`
`Deposit Account
`
`$2470
`
`6456
`
`502040
`
`Document Description
`
`File Name
`
`I
`
`File Size(Bytes)/ I Multi I Pages
`(ifappl.)
`Message Digest
`Part /.zip
`
`I
`
`A TEC _LLI F0000S 1597
`
`EXHIBIT 3 - PAGE 570
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28439 Page 32 of
`101
`
`1
`
`Extension of Time
`
`2011-10-18-MPR-EOTl 04US2.
`pdf
`
`285597
`
`781de69562be376f9a5Sec811791f78e234
`d184e
`
`no
`
`2
`
`Warnings:
`
`Information:
`
`2
`
`Applicant Response to Pre-Exam
`Formalities Notice
`
`2011-10-18-
`MissingPartsResponsel 04US2.
`pdf
`
`19168
`
`no
`
`2
`
`82a9Sd83906991cb3c652bc78cc046487b4
`d4280
`
`Warnings:
`
`Information:
`
`3
`
`Oath or Declaration filed
`
`2005-08-04-
`OathDecFromParentl 04US2.
`pdf
`
`149435
`
`b988f2f64%0b1170dc5c3b906601238090
`d2afd
`
`no
`
`3
`
`Warnings:
`
`Information:
`
`4
`
`Fee Worksheet (5B06)
`
`fee-info.pdf
`
`no
`
`2
`
`33214
`
`6324bb2b060f7a7e0f0660fcd3053de9e421
`d73f
`
`Warnings:
`
`Information:
`
`Total Files Size (in bytes)
`
`487414
`
`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 Ai;rnlications 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/EO/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/RO/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.
`
`A TEC _LLI F0000S 1598
`
`EXHIBIT 3 - PAGE 571
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28440 Page 33 of
`101
`
`PTO/SB/22 (09-11)
`Approved for use through 07/31/2012. 0MB 0651-0031
`U.S. Patent and Trademark Office; U.S. DEPARMENT 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 0MB control number.
`
`PETITION FOR EXTENSION OF TIME UNDER 37 CFR 1.136(a)
`
`Application Number 13/079,645
`
`For System and Methods for Spinal Fusion
`
`Docket Number (Optional)
`
`104US2
`
`Filed April 4, 2011
`
`Art Unit 3733
`
`Examiner
`
`This is a request under the provisions of 37 CFR 1.136(a) to extend the period for filing a reply in the above identified
`application.
`
`The requested extension and fee are as follows (check time period desired and enter the appropriate fee below):
`
`□ One month (37 CFR 1.17(a)(1))
`□ Two months (37 CFR 1.17(a)(2))
`□ Three months (37 CFR 1.17(a)(3))
`~ Four months (37 CFR 1.17(a)(4))
`□ Five months (37 CFR 1.17(a)(5))
`Applicant claims small entity status. See 37 CFR 1.27.
`
`Fee
`
`$150
`
`$560
`
`$1270
`
`$1980
`
`$2690
`
`Small Entity Fee
`
`$75
`
`$280
`
`$635
`
`$990
`
`$1345
`
`$
`
`$
`
`$
`
`$ 1980
`
`$
`
`□
`A check in the amount of the fee is enclosed.
`□
`□
`Payment by credit card. Form PTO-2038 is attached.
`D The Director has already been authorized to charge fees in this application to a Deposit Account.
`0 The Director is hereby authorized to charge any fees which may be required, or credit any overpayment, to
`Deposit Account Number ....;;5;..;;0....;-2=0'-4;..;;0'---------
`WARNING: Information on this form may become public. Credit card information should not be included on this form.
`Provide credit card information and authorization on PTO-2038.
`
`I am the □
`□
`□
`□
`
`applicant/inventor.
`
`assignee of record of the entire interest. See 37 CFR 3.71.
`Statement under 37 CFR 3.73(b) is enclosed (Form PTO/SB/96).
`attorney or agent of record. Registration Number _________ _
`
`attorney or agent under 37 CFR 1.34.
`Registration number if acting under 37 CFR 1.34 _______ _
`
`/Jennifer Russell/
`
`Jennifer Russell
`
`Signature
`
`October 18, 2011
`
`Date
`
`858-320-4537
`
`Typed or printed name
`
`Telephone Number
`
`0
`
`NOTE: Signatures of all the inventors or assignees of record of the entire interest or their representative(s) are required. Submit multiple forms if more than one
`signature is required, see below.
`1
`
`Total of
`forms are submitted.
`This collection of information Is required by 37 CFR 1.136(a). 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 collection is estimated to take 6 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-PTO-9199 and select option 2.
`
`A TEC _LLI F0000S 1599
`
`EXHIBIT 3 - PAGE 572
`
`

`

`Case 3:18-cv-00347-CAB-MDD Document 304-10 Filed 01/26/21 PageID.28441 Page 34 of
`101
`
`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 197 4, 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