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`
`EXHIBIT 3
`(PART 1)
`
`TO THE DECLARATION OF
`BRIAN J. NISBET IN SUPPORT OF
`DEFENDANTS’ MOTION FOR
`SUMMARY JUDGMENT
`
`
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28324 Page 2 of 85
`
`FILE HISTORY
`us 8,187,334
`
`8,187,334
`PATENT:
`INVENTORS: Curran, Matthew
`Peterson, Mark
`
`TITLE:
`
`System and methods for spinal fusion
`
`APPLICATION US13079645A
`NO:
`FILED:
`ISSUED:
`
`04 APR 2011
`29 MAY 2012
`
`COMPILED:
`
`28 MAR 2018
`
`A TEC _LLI F0000S 1484
`
`EXHIBIT 3 - PAGE 457
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28325 Page 3 of 85
`
`8,187,334
`
`SYSTEM AND METHODS FOR SPINAL FUSION
`
`Transaction History
`
`Transaction Description
`Date
`IFW Scan & P ACR Auto Security Review
`04-04-2011
`Initial Exam Team nn
`04-04-2011
`04-06-2011 Cleared by OIPE CSR
`04-18-2011 Filing Receipt
`04-18-2011 Notice Mailed--Application Incomplete--Filing Date Assigned
`10-18-2011 Additional Application Filing Fees
`10-18-2011 A statement by one or more inventors satisfying the requirement under 3 5
`USC 115, Oath of the Applic
`10-26-2011 Application Is Now Complete
`10-26-2011 Sent to Classification Contractor
`10-26-2011 Filing Receipt - Updated
`11-21-2011 Application Dispatched from OIPE
`02-02-2012 PG-Pub Issue Notification
`02-07-2012 Case Docketed to Examiner in GAU
`03-20-2012 Preliminary Amendment
`03-20-2012 Restriction/Election Requirement
`03-21-2012
`Interview Summary- Applicant Initiated
`03-21-2012 Mail Restriction Requirement
`03-23-2012
`Information Disclosure Statement considered
`03-23-2012 Reference capture on IDS
`03-23-2012 Electronic Information Disclosure Statement
`03-23-2012 Response to Election / Restriction Filed
`03-23-2012
`Information Disclosure Statement (IDS) Filed
`03-23-2012 Mail Applicant Initiated Interview Summary
`03-26-2012 Correspondence Address Change
`03-27-2012 Date Forwarded to Examiner
`03-28-2012 Email Notification
`03-28-2012 Change in Power of Attorney (May Include Associate POA)
`03-29-2012
`Information Disclosure Statement considered
`03-29-2012 Reference capture on IDS
`03-29-2012
`Information Disclosure Statement (IDS) Filed
`03-29-2012
`Information Disclosure Statement (IDS) Filed
`04-04-2012 Supplemental Response
`04-05-2012
`Interview Summarv - Examiner Initiated
`04-06-2012 Reasons for Allowance
`04-06-2012 Examiner's Amendment Communication
`04-06-2012 Date Forwarded to Examiner
`04-12-2012 Notice of Allowance Data Verification Completed
`04-17-2012 Electronic Review
`04-17-2012 Email Notification
`04-17-2012 Mail Notice of Allowance
`04-18-2012 Printer Rush- No mailing
`04-18-2012 Response to Reasons for Allowance
`04-18-2012
`Issue Fee Pavment Verified
`04-18-2012
`Issue Fee Payment Received
`04-21-2012 Pubs Case Remand to TC
`05-02-2012 Dispatch to FDC
`05-02-2012 Application Is Considered Ready for Issue
`05-09-2012
`Issue Notification Mailed
`05-10-2012 Email Notification
`05-29-2012 Patent Issue Date Used in PT A Calculation
`06-05-2012 Recordation of Patent Grant Mailed
`
`A TEC _LLI F0000S 1485
`
`EXHIBIT 3 - PAGE 458
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28326 Page 4 of 85
`
`06-27-2012 Post Issue Communication - Certificate of Correction
`04-17-2013 Workflow - Request for CPA- Finish
`04-17-2013 Workflow - Request for CPA - Begin
`05-22-2013 Miscellaneous Communication to Applicant - No Action Count
`05-23-2013 Post Issue Communication - Certificate of Correction
`05-29-2013 Email Notification
`05-29-2013 Mail Miscellaneous Communication to Applicant
`06-03-2013 Email Notification
`06-03-2013 Filing Receipt - Corrected
`08-14-2013 Petition Requesting Trial
`08-14-2013 Petition Requesting Trial
`02-13-2014 Request for Trial Granted
`02-13-2014 Request for Trial Granted
`02-11-2015 Termination or Final Written Decision
`02-11-2015 Termination or Final Written Decision
`12-18-2017 Review Certificate
`02-22-2018 Review Certificate Mailed
`
`A TEC _LLI F0000S 1486
`
`EXHIBIT 3 - PAGE 459
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28327 Page 5 of 85
`
`Application/Control No.
`Issue Classification 13079645
`
`11111111111111111111111111111111111111111111111111
`
`STUARTS BRAY
`
`Examiner
`
`Applicant(s)/Patent Under Reexamination
`
`CURRAN ET AL.
`
`Art Unit
`
`3733
`
`ORIGINAL
`
`INTERNATIONAL CLASSIFICATION
`
`CLASS
`
`SUBCLASS
`
`CLAIMED
`
`NON-CLAIMED
`
`623
`
`17.16
`
`A
`
`6
`
`1
`
`F
`
`2 I 44 (2006.01.01)
`
`CROSS REFERENCE($)
`
`CLASS
`
`SUBCLASS {ONE SUBCLASS PER BLOCK)
`
`□ Claims renumbered in the same order as presented by applicant
`
`□
`
`CPA
`
`□ T.D.
`
`□ R.1.47
`
`Final
`
`Original
`
`Final
`
`Original
`
`Final
`
`Original
`
`Final
`
`Original
`
`Final
`
`Original
`
`Final
`
`Original
`
`Final
`
`Original
`
`Final
`
`Original
`
`1
`
`2
`
`3
`
`4
`
`5
`
`17
`
`18
`
`19
`
`20
`
`4
`
`18
`
`19
`
`20
`
`33
`
`34
`
`35
`
`36
`
`25
`
`26
`
`27
`
`14
`
`49
`
`50
`
`51
`
`52
`
`53
`
`15
`
`28
`
`54
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`1
`
`16
`
`17
`
`2
`
`5
`
`3
`
`21
`
`22
`
`23
`
`24
`
`25
`
`26
`
`27
`
`28
`
`29
`
`30
`
`31
`
`32
`
`21
`
`22
`
`23
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`24
`
`37
`
`38
`
`39
`
`40
`
`41
`
`42
`
`43
`
`44
`
`45
`
`46
`
`47
`
`48
`
`/STUART S BRAY/
`Examiner.Art Unit 3733
`
`(Assistant Examiner)
`/EDUARDO C ROBERT/
`Supervisory Patent Examiner.Art Unit 3733
`
`(Primary Examiner)
`
`U.S. Patent and Trademark Office
`
`04/05/2012
`
`(Date)
`
`Total Claims Allowed:
`
`28
`
`04/06/2012
`
`O.G. Print Claim(s)
`
`O.G. Print Figure
`
`(Date)
`
`27
`
`2
`
`Part of Paper No. 20120405
`
`A TEC _LLI F000051487
`
`EXHIBIT 3 - PAGE 460
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28328 Page 6 of 85
`
`Application/Control No.
`Issue Classification 13079645
`
`11111111111111111111111111111111111111111111111111
`
`STUARTS BRAY
`
`Examiner
`
`Applicant(s)/Patent Under Reexamination
`
`CURRAN ET AL.
`
`Art Unit
`
`3733
`
`ORIGINAL
`
`INTERNATIONAL CLASSIFICATION
`
`CLASS
`
`SUBCLASS
`
`CLAIMED
`
`NON-CLAIMED
`
`623
`
`17.16
`
`A
`
`6
`
`1
`
`F
`
`2 I 44 (2006.01.01)
`
`CROSS REFERENCE($)
`
`CLASS
`
`SUBCLASS {ONE SUBCLASS PER BLOCK)
`
`□ Claims renumbered in the same order as presented by applicant
`
`□
`
`CPA
`
`□ T.D.
`
`□ R.1.47
`
`Final
`
`Original
`
`Final
`
`Original
`
`Final
`
`Original
`
`Final
`
`Original
`
`Final
`
`Original
`
`Final
`
`Original
`
`Final
`
`Original
`
`Final
`
`Original
`
`1
`
`2
`
`3
`
`4
`
`5
`
`17
`
`18
`
`19
`
`20
`
`5
`
`18
`
`19
`
`20
`
`33
`
`34
`
`35
`
`36
`
`25
`
`26
`
`27
`
`14
`
`49
`
`50
`
`51
`
`52
`
`53
`
`15
`
`28
`
`54
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`1
`
`16
`
`17
`
`2
`
`3
`
`4
`
`21
`
`22
`
`23
`
`24
`
`25
`
`26
`
`27
`
`28
`
`29
`
`30
`
`31
`
`32
`
`21
`
`22
`
`23
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`24
`
`37
`
`38
`
`39
`
`40
`
`41
`
`42
`
`43
`
`44
`
`45
`
`46
`
`47
`
`48
`
`/STUART S BRAY/
`Examiner.Art Unit 3733
`
`(Assistant Examiner)
`/EDUARDO C ROBERT/
`Supervisory Patent Examiner.Art Unit 3733
`
`(Primary Examiner)
`
`U.S. Patent and Trademark Office
`
`04/05/2012
`
`(Date)
`
`Total Claims Allowed:
`
`28
`
`04/06/2012
`
`O.G. Print Claim(s)
`
`O.G. Print Figure
`
`(Date)
`
`27
`
`2
`
`Part of Paper No. 20120427
`
`A TEC _LLI F000051488
`
`EXHIBIT 3 - PAGE 461
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28329 Page 7 of 85
`
`Application/Control No.
`Issue Classification 13079645
`
`11111111111111111111111111111111111111111111111111
`
`STUARTS BRAY
`
`Examiner
`
`Applicant(s)/Patent Under Reexamination
`
`CURRAN ET AL.
`
`Art Unit
`
`3733
`
`ORIGINAL
`
`INTERNATIONAL CLASSIFICATION
`
`CLASS
`
`SUBCLASS
`
`CLAIMED
`
`NON-CLAIMED
`
`623
`
`17.16
`
`A
`
`6
`
`1
`
`F
`
`2 I 44 (2006.01.01)
`
`CROSS REFERENCE($)
`
`CLASS
`
`SUBCLASS {ONE SUBCLASS PER BLOCK)
`
`□ Claims renumbered in the same order as presented by applicant
`
`□
`
`CPA
`
`□ T.D.
`
`□ R.1.47
`
`Final
`
`Original
`
`Final
`
`Original
`
`Final
`
`Original
`
`Final
`
`Original
`
`Final
`
`Original
`
`Final
`
`Original
`
`Final
`
`Original
`
`Final
`
`Original
`
`1
`
`2
`
`3
`
`4
`
`5
`
`17
`
`18
`
`19
`
`20
`
`5
`
`18
`
`19
`
`20
`
`33
`
`34
`
`35
`
`36
`
`25
`
`26
`
`27
`
`14
`
`49
`
`50
`
`51
`
`52
`
`53
`
`15
`
`28
`
`54
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`1
`
`16
`
`17
`
`2
`
`3
`
`5
`
`21
`
`22
`
`23
`
`24
`
`25
`
`26
`
`27
`
`28
`
`29
`
`30
`
`31
`
`32
`
`21
`
`22
`
`23
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`24
`
`37
`
`38
`
`39
`
`40
`
`41
`
`42
`
`43
`
`44
`
`45
`
`46
`
`47
`
`48
`
`/STUART S BRAY/
`Examiner.Art Unit 3733
`
`(Assistant Examiner)
`/EDUARDO C ROBERT/
`Supervisory Patent Examiner.Art Unit 3733
`
`(Primary Examiner)
`
`U.S. Patent and Trademark Office
`
`04/05/2012
`
`(Date)
`
`Total Claims Allowed:
`
`28
`
`04/06/2012
`
`O.G. Print Claim(s)
`
`O.G. Print Figure
`
`(Date)
`
`27
`
`2
`
`Part of Paper No. 20120423
`
`A TEC _LLI F000051489
`
`EXHIBIT 3 - PAGE 462
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28330 Page 8 of 85
`
`Index of Claims
`
`Application/Control No.
`
`13079645
`
`Examiner
`
`11111111111111111111111111111111111111111111111111
`
`STUARTS BRAY
`
`Applicant( s )/Patent Under
`Reexamination
`
`CURRAN ET AL.
`
`Art Unit
`
`3733
`
`✓
`
`Rejected
`
`Cancelled
`
`N Non-Elected
`
`=
`
`Allowed
`
`Restricted
`
`Interference
`
`A
`
`0
`
`Appeal
`
`Objected
`
`D Claims renumbered in the same order as presented by applicant
`
`□ CPA
`
`□ T.D.
`
`□ R.1.47
`
`CLAIM
`Final
`Original
`
`03/13/2012 04/05/2012
`
`DATE
`
`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
`
`16
`17
`
`18
`19
`20
`
`U.S. Patent and Trademark Office
`
`Part of Paper No.: 20120423
`
`A TEC _LLI F000051490
`
`EXHIBIT 3 - PAGE 463
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28331 Page 9 of 85
`
`Index of Claims
`
`Application/Control No.
`
`13079645
`
`Examiner
`
`11111111111111111111111111111111111111111111111111
`
`STUARTS BRAY
`
`Applicant( s )/Patent Under
`Reexamination
`
`CURRAN ET AL.
`
`Art Unit
`
`3733
`
`✓
`
`Rejected
`
`Cancelled
`
`N Non-Elected
`
`=
`
`Allowed
`
`Restricted
`
`Interference
`
`A
`
`0
`
`Appeal
`
`Objected
`
`□ CPA
`
`□ T.D.
`
`□ R.1.47
`
`DATE
`
`□ Claims renumbered in the same order as presented by applicant
`CLAIM
`Final
`Original
`21
`37
`22
`38
`23
`39
`6
`40
`
`03/13/2012 04/05/2012
`=
`=
`=
`=
`=
`=
`=
`=
`=
`=
`=
`=
`=
`=
`=
`=
`=
`=
`
`7
`
`8
`9
`10
`11
`
`12
`13
`24
`
`25
`26
`27
`14
`15
`28
`
`41
`
`42
`43
`44
`45
`
`46
`47
`48
`
`49
`50
`51
`52
`53
`54
`
`U.S. Patent and Trademark Office
`
`Part of Paper No.: 20120423
`
`A TEC _LLI F000051491
`
`EXHIBIT 3 - PAGE 464
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28332 Page 10 of
`85
`
`Index of Claims
`
`Application/Control No.
`
`13079645
`
`Examiner
`
`11111111111111111111111111111111111111111111111111
`
`STUARTS BRAY
`
`Applicant( s )/Patent Under
`Reexamination
`
`CURRAN ET AL.
`
`Art Unit
`
`3733
`
`✓
`
`Rejected
`
`Cancelled
`
`N Non-Elected
`
`=
`
`Allowed
`
`Restricted
`
`Interference
`
`A
`
`0
`
`Appeal
`
`Objected
`
`D Claims renumbered in the same order as presented by applicant
`
`□ CPA
`
`□ T.D.
`
`□ R.1.47
`
`CLAIM
`Final
`Original
`
`03/13/2012 04/05/2012
`
`DATE
`
`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
`
`16
`17
`
`18
`19
`20
`
`U.S. Patent and Trademark Office
`
`Part of Paper No.: 20120423
`
`A TEC _LLI F000051492
`
`EXHIBIT 3 - PAGE 465
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28333 Page 11 of
`85
`
`Index of Claims
`
`Application/Control No.
`
`13079645
`
`Examiner
`
`11111111111111111111111111111111111111111111111111
`
`STUARTS BRAY
`
`Applicant( s )/Patent Under
`Reexamination
`
`CURRAN ET AL.
`
`Art Unit
`
`3733
`
`✓
`
`Rejected
`
`Cancelled
`
`N Non-Elected
`
`=
`
`Allowed
`
`Restricted
`
`Interference
`
`A
`
`0
`
`Appeal
`
`Objected
`
`□ CPA
`
`□ T.D.
`
`□ R.1.47
`
`DATE
`
`□ Claims renumbered in the same order as presented by applicant
`CLAIM
`Final
`Original
`21
`37
`22
`38
`23
`39
`6
`40
`
`03/13/2012 04/05/2012
`=
`=
`=
`=
`=
`=
`=
`=
`=
`=
`=
`=
`=
`=
`=
`=
`=
`=
`
`7
`
`8
`9
`10
`11
`
`12
`13
`24
`
`25
`26
`27
`14
`15
`28
`
`41
`
`42
`43
`44
`45
`
`46
`47
`48
`
`49
`50
`51
`52
`53
`54
`
`U.S. Patent and Trademark Office
`
`Part of Paper No.: 20120423
`
`A TEC _LLI F000051493
`
`EXHIBIT 3 - PAGE 466
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28334 Page 12 of
`85
`
`Index of Claims
`
`Application/Control No.
`
`13079645
`
`Examiner
`
`11111111111111111111111111111111111111111111111111
`
`STUARTS BRAY
`
`Applicant( s )/Patent Under
`Reexamination
`
`CURRAN ET AL.
`
`Art Unit
`
`3733
`
`✓
`
`Rejected
`
`Cancelled
`
`N Non-Elected
`
`=
`
`Allowed
`
`Restricted
`
`Interference
`
`A
`
`0
`
`Appeal
`
`Objected
`
`D Claims renumbered in the same order as presented by applicant
`
`□ CPA
`
`□ T.D.
`
`□ R.1.47
`
`CLAIM
`Final
`Original
`
`03/13/2012 04/05/2012
`
`DATE
`
`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
`
`16
`17
`
`18
`19
`20
`
`U.S. Patent and Trademark Office
`
`Part of Paper No.: 20120405
`
`A TEC _LLI F000051494
`
`EXHIBIT 3 - PAGE 467
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28335 Page 13 of
`85
`
`Index of Claims
`
`Application/Control No.
`
`13079645
`
`Examiner
`
`11111111111111111111111111111111111111111111111111
`
`STUARTS BRAY
`
`Applicant( s )/Patent Under
`Reexamination
`
`CURRAN ET AL.
`
`Art Unit
`
`3733
`
`✓
`
`Rejected
`
`Cancelled
`
`N Non-Elected
`
`=
`
`Allowed
`
`Restricted
`
`Interference
`
`A
`
`0
`
`Appeal
`
`Objected
`
`□ CPA
`
`□ T.D.
`
`□ R.1.47
`
`DATE
`
`□ Claims renumbered in the same order as presented by applicant
`CLAIM
`Final
`Original
`21
`37
`22
`38
`23
`39
`6
`40
`
`03/13/2012 04/05/2012
`=
`=
`=
`=
`=
`=
`=
`=
`=
`=
`=
`=
`=
`=
`=
`=
`=
`=
`
`7
`
`8
`9
`10
`11
`
`12
`13
`24
`
`25
`26
`27
`14
`15
`28
`
`41
`
`42
`43
`44
`45
`
`46
`47
`48
`
`49
`50
`51
`52
`53
`54
`
`U.S. Patent and Trademark Office
`
`Part of Paper No.: 20120405
`
`A TEC _LLI F000051495
`
`EXHIBIT 3 - PAGE 468
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28336 Page 14 of
`85
`
`Application/Control No.
`
`Search Notes
`
`13079645
`
`Examiner
`
`11111111111111111111111111111111111111111111111111
`
`STUARTS BRAY
`
`Applicant( s )/Patent Under
`Reexamination
`
`CURRAN ET AL.
`
`Art Unit
`
`3733
`
`Class
`623
`
`I
`I 11.11-11.16
`
`Subclass
`
`SEARCHED
`
`SEARCH NOTES
`
`Search Notes
`reviewed office actions of allowed parent case 11 /093409
`reviewed allowed claims for double patenting
`
`INTERFERENCE SEARCH
`
`Class
`
`I
`Subclass
`I Interference search printout
`
`I
`I
`
`I
`I
`I
`
`I
`I
`
`Date
`4/5/2012
`
`I Examiner
`I SSB
`
`Date
`4/5/2012
`4/5/2012
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`I Examiner
`I SSB
`I SSB
`
`Date
`4/5/2012
`
`I Examiner
`I SSB
`
`I /STUART s BRAY/
`Eramloec.Art Uolt 3733
`
`U.S. Patent and Trademark Office
`
`Part of Paper No.: 20120405
`
`A TEC _LLI F000051496
`
`EXHIBIT 3 - PAGE 469
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28337 Page 15 of
`85
`
`EAST Search History
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`file:///C 1/U sers/sbray l/Documents/e-Red%20Folder/l 3079645/EASTSearchHistory .13079645 _Accessible Version.htm[ 4/5/2012 1 :55 :28 PM]
`
`A TEC _LLI F000051497
`
`EXHIBIT 3 - PAGE 470
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`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28338 Page 16 of
`85
`
`EAST Search History
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`I
`
`i
`
`ld□r;~:~/~~o~.~)~~~0423").~_i 3i□□ ~~1zo4/05i
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`
`4/5/2012 1 :55 :26 PM
`C:\ Users\ sbray1 \ Documents\ EAST\ Workspaces\ 13079645.wsp
`
`file:///C 1/U sers/sbray l/Documents/e-Red%20Folder/l 3079645/EASTSearchHistory .13079645 _Accessible Version.htm[ 4/5/2012 1 :55 :28 PM]
`
`A TEC _LLI F000051498
`
`EXHIBIT 3 - PAGE 471
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28339 Page 17 of
`85
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`BIB DATA SHEET
`
`Page 1 of 1
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria., Virginia22313-1450
`www.uspto.gov
`
`CONFIRMATION NO. 1151
`
`SERIAL NUMBER
`
`13/079,645
`
`FILING or 371 (c)
`DATE
`04/04/2011
`
`CLASS
`
`623
`
`GROUP ART UNIT ATTORNEY DOCKET
`NO.
`3733
`104US2
`
`RULE
`
`APPLICANTS
`Matthew Curran, Carlsbad, CA;
`Mark Peterson, Medford, OR;
`** CONTINUING DATA *************************
`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 *************************
`** IF REQUIRED, FOREIGN FILING LICENSE GRANTED **
`04/13/2011
`
`□ X1f~;:;;~e
`
`STATE OR
`COUNTRY
`
`SHEETS
`DRAWINGS
`
`TOTAL
`CLAIMS
`
`INDEPENDENT
`CLAIMS
`
`CA
`
`20
`
`26
`
`2
`
`D Yes .lNo
`Foreign Priority claimed
`35 USC 119(a-d) conditions met D Yes D No
`Verified and
`/STUART SAMUEL
`BRAY/
`Examiner's Signature
`
`Tri1ITais
`
`Acknowledged
`ADDRESS
`FISH & RICHARDSON P.C. (TC)
`PO BOX 1022
`MINNEAPOLIS, MN 55440-1022
`UNITED STATES
`TITLE
`System and Methods for Spinal Fusion
`
`FEES: Authority has been given in Paper
`FILING FEE
`to charge/credit DEPOSIT ACCOUNT
`RECEIVED No.
`No.
`for following:
`1700
`
`I □ All Fees
`ID 1.16 Fees (Filing)
`I □ 1.17 Fees (Processing Ext. of time)
`I □ 1.18 Fees (Issue)
`l □ other
`! □ credit
`
`BIB (Rev. 05/07)
`
`A TEC _LLI FOOOOS 1499
`
`EXHIBIT 3 - PAGE 472
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28340 Page 18 of
`85
`
`Index of Claims
`
`Application/Control No.
`
`13079645
`
`Examiner
`
`11111111111111111111111111111111111111111111111111
`
`STUARTS BRAY
`
`Applicant( s )/Patent Under
`Reexamination
`
`CURRAN ET AL.
`
`Art Unit
`
`3733
`
`✓
`
`Rejected
`
`Cancelled
`
`N Non-Elected
`
`=
`
`Allowed
`
`Restricted
`
`Interference
`
`A
`
`0
`
`Appeal
`
`Objected
`
`□ Claims renumbered in the same order as presented by applicant
`CLAIM
`Final
`Original
`1
`2
`3
`4
`
`03/13/2012
`
`□ CPA
`
`□ T.D.
`
`□ R.1.47
`
`DATE
`
`5
`
`6
`7
`8
`9
`
`10
`11
`12
`
`13
`14
`15
`16
`17
`18
`19
`20
`
`21
`22
`23
`24
`25
`26
`
`U.S. Patent and Trademark Office
`
`Part of Paper No.: 20120313
`
`A TEC _LLI F000051500
`
`EXHIBIT 3 - PAGE 473
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28341 Page 19 of
`85
`
`United ...... .,., .. ,,,.£' Patent
`Curran et al.
`
`Patent No.:
`Date of Patent:
`
`us
`
`B2
`May 29, 2012
`
`11111
`187
`
`lllll lllll 111111111111111111
`
`ATEC_LLIF000051501
`
`EXHIBIT 3 - PAGE 474
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28342 Page 20 of
`85
`
`US 8,.187,334 B2
`Page2
`
`A TEC _LLI F0000S 1502
`
`EXHIBIT 3 - PAGE 475
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28343 Page 21 of
`85
`
`A TEC _LLI F0000S 1503
`
`EXHIBIT 3 - PAGE 476
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28344 Page 22 of
`85
`
`U.S. Patent
`
`May 29~ 2012
`
`Sheet 1 of20
`
`US 8,187,334 B2
`
`FIG.1
`
`A TEC _LLI F0000S 1504
`
`EXHIBIT 3 - PAGE 477
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28345 Page 23 of
`85
`
`U.S. Patent
`
`May 29~ 2012
`
`Sheet 2 of20
`
`US 8,187,334 B2
`
`12
`
`A TEC _LLI F0000S 1505
`
`EXHIBIT 3 - PAGE 478
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28346 Page 24 of
`85
`
`U.S. Patent
`
`May 29~ 2012
`
`Sheet 3 of20
`
`US 8,187,334 B2
`
`FIG.3
`
`A TEC _LLI F0000S 1506
`
`EXHIBIT 3 - PAGE 479
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28347 Page 25 of
`85
`
`U.S. Patent
`
`May 29~ 2012
`
`Sheet 4 of20
`
`US 8,187,334 B2
`
`FIG.4
`
`ATEC_LLIF000051507
`
`EXHIBIT 3 - PAGE 480
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28348 Page 26 of
`85
`
`U.S. Patent
`
`May 29~ 2012
`
`Sheet 5 of20
`
`US 8,187,334 B2
`
`60
`
`61
`
`FIG.S
`
`A TEC _LLI F0000S 1508
`
`EXHIBIT 3 - PAGE 481
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28349 Page 27 of
`85
`
`A TEC _LLI F0000S 1509
`
`EXHIBIT 3 - PAGE 482
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28350 Page 28 of
`85
`
`U.S. Patent
`
`May 29~ 2012
`
`Sheet 7 of20
`
`US 8,187,334 B2
`
`FIG.7
`
`ATEC_LLIF000051510
`
`EXHIBIT 3 - PAGE 483
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28351 Page 29 of
`85
`
`U.S. Patent
`
`May 29~ 2012
`
`Sheet 8 of20
`
`US 8,187,334 B2
`
`FIG.8
`
`ATEC_LLIF000051511
`
`EXHIBIT 3 - PAGE 484
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28352 Page 30 of
`85
`
`U.S. Patent
`
`May 29~ 2012
`
`Sheet 9 of20
`
`US 8,187,334 B2
`
`FIG.9
`
`ATEC_LLIF000051512
`
`EXHIBIT 3 - PAGE 485
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28353 Page 31 of
`85
`
`U.S. Patent
`
`May 29~ 2012
`
`Sheet IO of 20
`
`US 8,187,334 B2
`
`FIG. 10
`
`ATEC_LLIF000051513
`
`EXHIBIT 3 - PAGE 486
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28354 Page 32 of
`85
`
`EXHIBIT 3 - PAGE 487
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28355 Page 33 of
`85
`
`U S . P a t e n t
`
`M~y 29, 2012
`
`Sheet 12 o f 2 0
`
`vs 8,187, 334 .B2
`
`A TEc _Lu Foooos 1 s 1 s
`
`EXHIBIT 3 - PAGE 488
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28356 Page 34 of
`85
`
`ATEC_LLIF000051516
`
`EXHIBIT 3 - PAGE 489
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28357 Page 35 of
`85
`
`ATEC_LLIF000051517
`
`EXHIBIT 3 - PAGE 490
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28358 Page 36 of
`85
`
`U.S. Patent
`
`May 29~ 2012
`
`Sheet 15 of 20
`
`US 8,187,334 B2
`
`FIG. 15
`
`ATEC_LLIF000051518
`
`EXHIBIT 3 - PAGE 491
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28359 Page 37 of
`85
`
`U.S. Patent
`
`May 29~ 2012
`
`Sheet 16 of 20
`
`US 8,187,334 B2
`
`FIG.16
`
`41
`
`ATEC_LLIF000051519
`
`EXHIBIT 3 - PAGE 492
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28360 Page 38 of
`85
`
`U.S. Patent
`
`May 29~ 2012
`
`Sheet 17 of 20
`
`US 8,187,334 B2
`
`FIG.17
`
`A TEC _LLI F0000S 1520
`
`EXHIBIT 3 - PAGE 493
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28361 Page 39 of
`85
`
`U.S. Patent
`
`May 29~ 2012
`
`Sheet 18 of 20
`
`US 8,187,334 B2
`
`FIG.18
`
`ffIG. 19
`
`lO
`
`A TEC _LLI F0000S 1521
`
`EXHIBIT 3 - PAGE 494
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28362 Page 40 of
`85
`
`U.S. Patent
`
`May 29~ 2012
`
`Sheet 19 of 20
`
`US 8,187,334 B2
`
`FIG. 20
`
`FIG. 21
`
`A TEC _LLI F0000S 1522
`
`EXHIBIT 3 - PAGE 495
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28363 Page 41 of
`85
`
`U.S. Patent
`
`May 29~ 2012
`
`Sheet 20 of 20
`
`US 8,187,334 B2
`
`FIG. 22
`
`FIG.23
`
`A TEC _LLI F0000S 1523
`
`EXHIBIT 3 - PAGE 496
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28364 Page 42 of
`85
`
`A TEC _LLI F0000S 1524
`
`EXHIBIT 3 - PAGE 497
`
`
`
`Case 3:18-cv-00347-CAB-MDD Document 304-9 Filed 01/26/21 PageID.28365 Page 43 of
`85
`
`US 8,187,334 B2
`
`3
`lower 5orfaces or, altematively, each spike
`prise a sborter
`~urface (that is, does not extend through the enti~e height of
`tl1e implanl). In any event, when the spike elements are pro(cid:173)
`vided having nidiodense characteristic~ and the implant is
`
`4
`
`view of 1he insertion
`
`surgeon may track the progreils l11"tbe itnplant during implan-
`lalion 1111d/ur
`'I1u? spinal
`duced into a
`
`ing lo one embodiment of the prese1rt invention;
`
`Ill
`
`through the J111eral wall~, a plumlity of receiving apertures.
`and a varie1y of a111i-migra1ion features accordini!, 10 O11e
`15 embodiment oflbe present invention:
`FIG. 12 is a perspecli\'ll view of the distal side cervical
`
`·n1e irn.ertion in:slnunent pimnits qnick. direct. accurate
`placement ufthe spinal implant of the present inve111io11 into
`the i11tervertebral 1pace. According lo one e111bodimettt. the
`insertion im~trument includes a threaded engagement elemeat
`dimen:1:ioned lo threadably euga~e into a receiving aperture 10
`oflhe present imremicin.
`According to another
`the insertion imitrunumt
`includes an elongate lbrk member and a 2,enemlly mbular
`k1clt member.
`
`BRIEF DESCRIPTION OF HIE DRAWINGS
`
`.25
`
`to
`cnnjunclion with the attached drawings. wherein like refer- lti
`ence numeral!'. ,11re applied to like elements and wherein:
`
`ably coupled 1111 an insertion iWltmment according lo ane _
`3
`embodiment of the present inventiC1n:
`1>
`FIG. 2 isa pe1¥peclive view of the lumbar fusion implant of
`
`,t(l
`
`preseot invention;
`FIG. l4 isa l\ideview oflhecervical fusion implantofFIG.
`18, illt1s1ra1ini (among o
`a~r-
`
`ing the cervical insertion i11s1rume111 of FIG. 19 accordi11g lo
`Clne embCldiment t)fthe present inven:1ion;
`
`inserlicin device according 10 one embodiment of the pre:.:enl
`invention:
`
`lively. illustratit1g the ··enha11ced visualization" .feature oftbe
`
`ment of the prese11t inve1nion;
`FIG. l is a lop view of the h11nbarfi.tsio11 implant of FIG. l,
`illustrating {amo11g otber things) lhe fusion apertme.s and the
`,mli-migration leatures according tQ one embodiment l,f1he 4S
`present invention;
`FIG. 4 is a side view oftbe lumbar fosim1 implai11 of FIG.
`I. illnslrating (amo11s other tbinl!,S) the visualizatinn aper-
`a receiving apetture for
`inslrumellt of FIG. 1 so present inven1fo11 as employed within a cervical fosim1
`implant according lo one embodiment l)f the prel'enl inven(cid:173)
`acc~irding to ()Ile embodiment of the present inveal ion:
`tion.
`FIG . 5 i:1 an end view of the lumbar lltsion implant orFJG.
`l. illustrating (among other lhingsJ the receiving aperture
`fom1~ in_the_proximel end. the ar~ti-migration f~ltl~res. and_ ,,
`the v1suahzu.tmn aperlUrCll according tl1 one embodiment ol · ·
`the present iuventim1;
`FIG. 6 is till enlarged side view or lh.e lumbar tltsion
`tn the di~lal end of lhe
`
`DESCRJPTION OF THE PREFERRED
`EMBODIMENTS
`
`of the present inventicm:
`FIG. 7 is a per:i.pective view ofthe insertion inslromeru of
`FlG. l in a fully assembled fonn according to one embodi(cid:173)
`ment of tile present invemion;
`
`of the disla I region b5
`I accc1~ding to 011e
`
`embodiment of the present invention;
`
`i.ions must be made
`with 1ylltem-related and busio,es~-related
`will vary from one implemen1a1ion to
`another. Moreover. it will be appreciated !hat such a develop(cid:173)
`ment eflh11 might be complex and time-ccmsuming. bnt
`would nevertheless be a routine under1aking for tbmn~ (If
`
`A TEC _LLI F0000S 1525
`
`EXHIBIT 3 - PAGE 498
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`85
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`A TEC _LLI F0000S 1526
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`EXHIBIT 3 - PAGE 499
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`US 8,187,334 B2
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`8
`tbe 11paeer 36. One 11k.illed in the a1't can appreei111e 111y1iad
`methods of ai.~embling a hm111:ing simili11' to lhe above
`described.
`FIG. 6 de1ails the dis:lal bead ridse
`
`1m111berofsuitable foamros fu re11gaging 1be in11ertim1 insln:i•
`
`63 are dimensi(med to Iii slidahly into the pmchu.!!e ccgions
`60. 61 with low frictil)D to allow accurate engagement oftb.e
`
`Ill ~~::tt~:::·~::;l;;n;~(!~ I~h:1~"';~!:~~~~p:=~~i~e:,
`
`1:
`
` ~~
`outer dimensim1 of1he t'hreaded cormeclor 24 is smaller than
`1he large,t omer dimension of 1he distal head 26 and elcmgale
`lnbular element 28. Alterna1ively. other methods of creatin,- a
`15 gripping s1ufoce sre cQnternplated including hut not limited 10
`knurling 1:1r fuC'els .
`In order to use the system 10 perform a r;pinal llision pro(cid:173)
`cl!dure. the clinician must lil'lt designate the appmpriale
`implant size. After lhe spinal fi.111ioo implant I ft i~ chosen, the
`10 distal head slot!il 62, 63 or the inserter shaft 44 are i m,erted iuto
`1be purchase regi~ms 60, 6 l o
`
`olinician can ma11ipulale the combined spinal tusion impl011t
`J5 rn and inser1ion inst1·t11rnm1 211, they must be releasably
`
`gre11ter detail below). which collectively provide an enhanced
`
`plary insertion i11stn11nent 20 i11cludes an elonpte mbular
`
`IO.
`
`end. distal head ridges 62. 63 on the distal c11d of lhe dis1al
`head 26, a tlmmbwheel hou5ing 38 at its pro»imal end 1md a
`
`35
`
`,t(l
`
`c1f procedure. a wnrldng cbannel is c.~11l!ited in a patient that
`reaches the targeted spinal level. After the creation of 1bat
`charmel, the intervertebral space may be prepared via any
`not
`
`space. Once the implant 10 is in11erted into the prepared sp.aoe,
`1he implant rn is released from the i11sertim1 instrmnelll 16 by
`4S mtating tbe tbumbwbeel 34 lo di~engage lhe !breaded cm1 -
`
`inserter shaft 44 is dimensioned such that lbe threaded con(cid:173)
`nector 24 at the dislal end of the inserter ~ball 44 jm.t pro(cid:173)
`trude11 past the distal head slou 62, 6l to allow engagement
`
`so melll to be slidably removed from the impla111 18. Alter tile
`
`the handle 42 orients the clinician with. respecl to the distal
`
`screw b5
`to the
`34 and is frooly rolatable wi lh lnw f'ricticin dne lo
`
`with tbepr:esent invention. The 11pinal fusion implanl 11 fl may
`
`pt)lymer campnsi1imui (e.g. poly-ether-ether-ketone (PE~~K)
`
`A TEC _LLI F0000S 1527
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`EXHIBIT 3 - PAGE 500
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`US 8,187,334 B2
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`9
`of example only, a length ra11gins between I I to 14 111m. a
`heighl ranging be1wecn 5 and 12 mm, and a width moging
`from I4and 16 mm.
`As will be described in detail
`
`111
`
`·111e cervical fusion imphml 118 h11~ one lefge fusion Hper-
`lnre 2. ex1encling in a ver1 ical fusbion through tire lop iumce
`JJ and hottL)DI ~nrli.ice .'.43 wilich will fonctio11 primarily as the
`
`on the l.11eral sides 14 via cell migratittn or additional adja(cid:173)
`vanl$. ·111e vist1aliza1io11 apertu~es 4 serve an adcliti,mal func(cid:173)
`ofthe
`14 lcJ
`
`:!O
`
`cervical lilsion implant 110. Some common attributes are J5
`~hared amo
`the varim1~ en1bndime11t11. Mores e:cilically,
`
`various nlher methods or
`engagement arecm1ternpla1ed; ~ach aa, tbrem.l!i.ble orhonki11g
`fo11tun:.11.
`FIGS .
`
`. 16-17 detail the 111bular lock member 2.1 of the
`
`with respecl In one anCJther to match the n.atuml curve of1he
`
`anterior height greater than th~ posteric1r height to ma