`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address. COMMISSIONER FOR PATENTS
`PO Box 1450
`Alexandria, ViJgLnia 22313-1450
`wwwuspto.gov
`
`APPLICATION
`NUMBER
`
`FILING or
`371(0) DATE
`
`GRP ART
`UNIT
`
`
`
`
`
`F
`
`15/513,914
`
`03/23/2017
`
`1726
`
`FEE REC'D
`
`1620
`
`293
`
`Es‘élvfibhifl‘élvéhiig‘gum203
`
`ALEXANDRIA, VA 22303
`
`ATTY.DOCKET.NO
`
`19920NP
`
`TOT CLAHVIS IND CLAIMS
`20
`1
`
`CONFIRMATION NO. 3998
`
`UPDATED FILING RECEIPT
`
`IIIIIIIIllIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII
`
`Date Mailed: 05/31/2018
`
`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 US. APPLICATION NUMBER, FILING DATE,
`NAME OF APPLICANT, and TITLE OF INVENTION. Fees transmitted by check or draft are subject to collection.
`Please verify the accuracy of the data presented on this receipt. If an error is noted on this Filing Receipt, please
`submit a written request for a Filing Receipt Correction. Please provide a copy of this Filing Receipt with the
`changes noted thereon. If you received a "Notice to File Missing Parts" for this application, please submit
`any corrections to this Filing Receipt with your reply to the Notice. When the USPTO processes the reply
`to the Notice, the USPTO will generate another Filing Receipt incorporating the requested corrections
`
`lnventor(s)
`
`Applicant(s)
`
`Brian D. ADAMS, Mitchell, CANADA;
`Dipan KUNDU, Kitchener, CANADA;
`Linda F. NAZAR, Waterloo, CANADA;
`
`UNIVERSITY OF WATERLOO, Waterloo, ON, CANADA
`
`Power of Attorney: The patent practitioners associated with Customer Number &
`
`Domestic Priority data as claimed by applicant
`This application is a 371 of PCT/CA2016/050613 05/31/2016
`which claims benefit of 62/230,502 06/08/2015
`
`Foreign Applications for which priority is claimed (You may be eligible to benefit from the Patent Prosecution
`Highway program at the USPTO. Please see http://www.uspto.gov for more information.) - None.
`Foreign application information must be provided in an Application Data Sheet in order to constitute a claim to
`foreign priority. See 37 CFR 1.55 and 1.76.
`
`Permission to Access Application via Priority Document Exchange: Yes
`
`Permission to Access Search Results: Yes
`
`Applicant may provide or rescind an authorization for access using Form PTO/SB/39 or Form PTO/SB/69 as
`appropriate.
`
`If Required, Foreign Filing License Granted: 05/24/2017
`page 1 of 3
`
`uw Exhibit 1002, pg. 1
`
`UW Exhibit 1002, pg. 1
`
`

`

`The country code and number of your priority application, to be used for filing abroad under the Paris Convention,
`is US 15/513,914
`
`Projected Publication Date: Not Applicable
`
`Non-Publication Request: No
`
`Early Publication Request: No
`Title
`
`Electrode Materials For Rechargeable Zinc Cells and Batteries Produced Therefrom
`
`Preliminary Class
`
`429
`
`Statement under 37 CFR 1.55 or 1.78 for AIA (First Inventor to File) Transition Applications: No
`
`PROTECTING YOUR INVENTION OUTSIDE THE UNITED STATES
`
`Since the rights granted by a US. 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 USPTO 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 US. 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 US. Government hotline at 1-866-999-HALT (1-866-999-4258).
`
`page 2 of 3
`
`uw Exhibit 1002, pg. 2
`
`UW Exhibit 1002, pg. 2
`
`

`

`LICENSE FOR FOREIGN FILING UNDER
`
`Title 35, United States Code, Section 184
`
`Title 37, Code of Federal Regulations, 5.11 & 5.15
`
`GRANTED
`
`if the phrase "IF REQUIRED, FOREIGN FILING
`The applicant has been granted a license under 35 U.S.C. 184,
`LICENSE GRANTED" followed by a date appears on this form. Such licenses are issued in all applications where
`the conditions for issuance of a license have been met, regardless of whether or not a license may be required as
`set forth in 37 CFR 5.15. The scope and limitations of this license are set forth in 37 CFR 5.15(a) unless an earlier
`license has been issued under 37 CFR 5.15(b). The license is subject to revocation upon written notification. The
`date indicated is the effective date of the license, unless an earlier license of similar scope has been granted under
`37 CFR 5.13 or 5.14.
`
`This license is to be retained by the licensee and may be used at any time on or after the effective date thereof unless
`it is revoked. This license is automatically transferred to any related applications(s) filed under 37 CFR 1.53(d). This
`license is not retroactive.
`
`The grant of a license does not in any way lessen the responsibility of a licensee for the security of the subject matter
`as imposed by any Government contract or the provisions of existing laws relating to espionage and the national
`security or the export of technical data. Licensees should apprise themselves of current regulations especially with
`respect to certain countries, of other agencies, particularly the Office of Defense Trade Controls, Department of
`State (with respect to Arms, Munitions and Implements of War (22 CFR 121-128)); the Bureau of Industry and
`Security, Department of Commerce (15 CFR parts 730-774); the Office of Foreign AssetsControl, Department of
`Treasury (31 CFR Parts 500+) and the Department of Energy.
`
`NOT GRANTED
`
`No license under 35 U.S.C. 184 has been granted at this time, if the phrase "IF REQUIRED, FOREIGN FILING
`LICENSE GRANTED" DOES NOT appear on this form. Applicant may still petition for a license under 37 CFR 5.12,
`if a license is desired before the expiration of 6 months from the filing date of the application. If 6 months has lapsed
`from the filing date of this application and the licensee has not received any indication of a secrecy order under 35
`U.S.C. 181, the licensee may foreign file the application pursuant to 37 CFR 5.15(b).
`
`
`SelectUSA
`
`The United States represents the largest, most dynamic marketplace in the world and is an unparalleled location for
`business investment, innovation, and commercialization of new technologies. The US. offers tremendous resources
`and advantages for those who invest and manufacture goods here. Through SelectUSA, our nation works to
`promote and facilitate business investment. SelectUSA provides information assistance to the international investor
`community; serves as an ombudsman for existing and potential investors; advocates on behalf of US. cities, states,
`and regions competing for global investment; and counsels US. economic development organizations on investment
`attraction best practices. To learn more about why the United States is the best country in the world to develop
`technology, manufacture products, deliver services, and grow your business, visit http://www.SelectUSA.gov or call
`+1 -202-482—6800.
`
`page 3 of 3
`
`uw Exhibit 1002, pg. 3
`
`UW Exhibit 1002, pg. 3
`
`

`

`
`
`CLAIMS
`REMAINING
`AFTER
`AMENDMENT
`
`(Column 3)
`
`(Column 2)
`HIGHEST
`NUMBER
`PREVIOUSLY
`PAID FOR
`
`ADDITIONAL
`FEE($)
`
`OTHER THAN
`
`SMALL ENTITY
`ADDITIONAL
`FEE($)
`
`Total
`(37 CFR1.16(i))
`Independent
`(37 OFR1. 16(h))
`
`Application Size Fee (37 CFR1.16(S))
`
`FIRST PRESENTATION OF MULTIPLE DEPENDENT CLAIM (37 CFR1.16(j))
`
`CLAIMS
`REMAINING
`AFTER
`AMENDMENT
`
`(Column 3)
`
`(Column 2)
`HIGHEST
`NUMBER
`PREVIOUSLY
`PAID FOR
`
`ADDITIONAL
`FEE($)
`
`ADDITIONAL
`FEE($)
`
`Total
`(37 OFR1. 16(i))
`Independent
`(37 OFR1. 16(h))
`Application Size Fee (37 CFR1.16(S))
`
`FIRST PRESENTATION OF MULTIPLE DEPENDENT CLAIM (37 CFR1.16(j))
`
`ADD'L FEE
`is less than the entry in column 2, write ”0” in column 3.
`* lfthe entry in column 1
`** lfthe ”Highest Number Previously Paid For” IN THIS SPACE is less than 20, enter ”20”.
`*** If the ”Highest Number Previously Paid For” IN THIS SPACE is less than 3, enter ”3”.
`The "Highest Number Previously Paid For" (Total or Independent) is the highest found in the appropriate box in column 1.
`
`PATENT APPLICATION FEE DETERMINATION RECORD
`Substitute for Form PTO-875
`
`Application or DOCkeT Number
`15/513,914
`
`APPLICATION AS FILED - PART I
`Column 1
`(Column 2)
`
`SMALL ENTITY
`
`OTHER THAN
`SMALL ENTITY
`
`BASIC FEE
`(37 CFR1.16(a) (b) or (0))
`SEARCH FEE
`(37 CFR1.16(k) (i) or(m))
`
`(37 CFR116(O
`EXAMINATION) FOEE»
`
`APPLICATION SIZE
`FEE
`(37 CFR1.16(s))
`
`If the specification and drawings exceed 100
`sheets of paper, the application size fee due is
`$310 ($155 for small entity) for each additional
`50 sheets or fraction thereof. See 35 U.S.C.
`41 (a)(1)(G) and 37 CFR1.16(s).
`
`MULTIPLE DEPENDENT CLAIM PRESENT (37 CFR 1.16(j))
`
`* lfthe difference in column 1
`
`is less than zero, enter ”0” in column 2.
`
`APPLICATION AS AMENDED - PART II
`
`AMENDMENTA
`
`AMENDMENTB
`
`TOTAL
`ADD'L FEE
`
`TOTAL
`ADD'L FEE
`
`UW Exhibit 1002, pg. 4
`
`UW Exhibit 1002, pg. 4
`
`

`

`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Addl'ESS. COMMISSIONER FOR PATENTS
`PO Box 1450
`Alexandria, Vfigmia 22313-1450
`wwwusptogov
`
`15/513,914
`
`Brian D. ADAMS
`
`19920NP
`
`293
`
`DOWELL & DOWELL, P.C.
`2560 HUNTINGTON AVE, SUITE 203
`ALEXANDRIAVA22303
`
`PCT/CA2016/050613
`
`CONFIRMATION NO. 3998
`371 ACCEPTANCE LETTER
`
`IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII
`
`NOTICE OF ACCEPTANCE OF APPLICATION UNDER 35 U.S.C 371 AND 37 CFR 1.495
`
`The applicant is hereby advised that the United States Patent and Trademark Office, in its capacity as a
`Designated / Elected Office (37 CFR 1.495), has ACCEPTED the above identified international application for
`national patentability examination in the United States Patent and Trademark Office.
`
`The United States Application Number assigned to the application is shown above. A Filing Receipt will be
`issued for the present application in due course. THE DATE APPEARING ON THE FILING RECEIPT AS THE
`"FILING DATE or 371 (c) DATE" IS THE DATE ON WHICH THE LAST OF THE 35 U.S.C. 371 (c)(1) and (c)(2)
`REQUIREMENTS HAS BEEN RECEIVED IN THE OFFICE. THIS DATE IS SHOWN BELOW. The filing date of
`the above identified application is the international filing date of the international application (Article 11(3) and 35
`U.S.C. 363)
`
`W
`DATE OF RECEIPT OF 35 U.S.C.
`
`371(c)(1) and (c)(2) REQUIREMENTS
`
`The following items have been received:
`
`' Copy of the International Application filed on 03/23/2017
`' Copy of the International Search Report filed on 03/23/2017
`- Preliminary Amendments filed on 08/29/2017
`. Information Disclosure Statements filed on 08/30/2017
`. Inventor's Oath or Declaration filed on 12/06/2017
`' U.S. Basic National Fees filed on 03/23/2017
`' Authorize Access to Search Results filed on 03/23/2017
`
`- Priority Documents filed on 03/23/2017
`- Power of Attorney filed on 12/06/2017
`. Authorization to Permit Access filed on 03/23/2017
`
`' Application Data Sheet (37 CFR 1.76) filed on 03/23/2017
`
`FORM PCT/DO/EO/903 (371 Acceptance Notice)
`
`page 1 of 2
`
`uw Exhibit 1002, pg. 5
`
`UW Exhibit 1002, pg. 5
`
`

`

`Applicant is reminded that any communications to the United States Patent and Trademark Office must be mailed
`to the address given in the heading and include the US. application no. shown above (37 CFR 1.5)
`
`INDIA L EVANS
`
`
`Telephone: (571) 272-9085
`
`FORM PCT/DO/EO/903 (371 Acceptance Notice)
`
`page 2 of 2
`
`uw Exhibit 1002, pg. 6
`
`UW Exhibit 1002, pg. 6
`
`

`

`Doc Code: PA..
`Document Description: Power of Attorney
`
`proinwaze (or-13)
`mm... m, m mien 11,30,201... one “51.0051
`U.S. Patent and Trademark Oifloo: U.S. DEPARTiIiENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995. no person: are requlred to respond to a selection of Information unless it displays a valid OMB some! number
`
`POWER OF ATTORNEY BY APPLICANT
`
`‘
`
`I hereby revoke all previous powers of attorney given in the application identified in either the attached transmittal letter or
`the boxes below.
`
`15/513,914 —
`
`(Note: The boxes above may be left blank if information Is provided on form PTO/AWBZA.)
`
`I hereby appoint the Patent Practitioneris) associated with the following Customer Number es mylour attomeyts) or agentis). and
`to transact all business in the United States Patent and Trademark Office connected therewith for the application referenced in
`the attached transmittal letter (form PTO/AIN82A) or identified above:
`OR
`
`i hereby appoint Practitioner(s) named in the attached list (form PTOIAIAI820) as myiour attorney(s) or agenda), and to transact
`all business In the United States Patent and Trademark Office connected therewith for the patent application referenced in the
`
`letter or the boxes above to:
`D The address associated with the above-mentioned Customer Number
`OR
`
`The address associated with Customer Number: I 293
`
`OR
`
`i
`
`attached transmittal letter (form PTOIAIN82A) or identified above. (Note: Complete form PTorAwezc.) Please recognize or change the correspondence address for the application identified In the attached transmittal
`
`I am the Applicant (If the Applicant is a juristic entity, list the Applicant name in the box):
`
`University of Waterloo
`D Inventor or Joint Inventor (title not required below)
`El Legal Representative of a Deceased or Legally lncapacitated Inventor (title not required below)
`Assignee or Person to Whom the Inventor is Under an Obligation to Assign (provide signers title it applicant is a juristic entity)
`E] Person Woo Otherwise Shows Sufficient Proprietary Interest (e.g., a petition under 37 CFR 1.46(b)(2) was granted in the
`= . Iicetion or is ooncunentl beln- filed wim this document
`rovide si ner's title it a "cent Is a uristic en
`
`’
`
`SIGNATURE of Applicant for Patent
`
`The undersigned (whose title is supplied below) Is authorized to act on behalf of the applicant (e.g.. where the applicant is a juristic entity).
`_nmamg_ emotions» Imu—
`
`NOTE: Signature - This form mu
`and oertificatio ns. If more than one applicant. use multiple forms.
`
`forms are submitted.
`DTotal of
`This ooleclion at Information In required by 37 CFR 1.131. 1.32. and 1.33. The Information to required to obtain or retain a benefit by the public which Is [elite {and by the
`USPTO to process) an application. Confidentiality in governed by 35 U.S.C. 122 and 37 CFR 1.11 and 1.14. This collection is estimated to take 3 mimics 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 andlor suggestions for reducing this burden, should be sent to the Chief Inlcrmallon Officer. U.S. Patent and Trademark Office. us.
`Dopamnont O'Commorco. P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND ro: Gor'rmlssloner
`for Patents. FLO. Box 1460. Alexandria. VA 22313-1450.
`if you need assistance in completing the form. cell MOO-PTO-QTQQ and select option 2.
`
`uw Exhibit 1002, pg. 7
`
`UW Exhibit 1002, pg. 7
`
`

`

`
`
`“ “
`
`——_—‘
`——_—‘
`
`
`
`RALPH A. DOWELLRALPH A. DOWELL
`
`
`
`uw Exhibit 1002, pg. 8uw Exhibit 1002, pg. 8
`
`UW Exhibit 1002, pg. 8
`
`

`

`Title of Invention:
`
`Electrode Materials For Rechargeable Zinc Cells and Batteries Produced
`Therefrom
`
`Electronic Acknowledgement Receipt
`
`“—
`
`——
`
`
`
`——
`
`Payment information:
`
`Submitted with Payment
`
`no
`
`File Listing:
`
`Document
`Number
`
`Document Descri
`
`tion
`
`p
`
`File Size(Bytes)/
`Message Digest
`3179159
`
`Pages
`Multi
`Part /.zip (if appl.)
`
`UW Exhibit 1002, n. 9
`
`Oath or Declaration filed
`
`19920decs_substat.pdf
`
`3959382e4d619adale2c3c031e958637594
`f4335
`
`Warnings:
`
`UW Exhibit 1002, pg. 9
`
`

`

`Information:
`
`Information:
`
`Information:
`
`Transmittal Letter
`
`19920poa_dec_trans.pdf
`
`31827f569155cdbd30b394dc798670286e7
`UbEBU
`
`Power of Attorney
`
`19920poa.pdf
`
`751 975
`
`fc315946761135008d3bf3b70fc549f5165e
`2653
`
`2
`
`2
`
`the application.
`
`New Applications Under 35 U.S.C. 111
`If a new application is being filed and the application includes the necessary components for a filing date (see 37 CFR
`1.53(b)—(d) and MPEP 506), a Filing Receipt (37 CFR 1.54) will be issued in due course and the date shown on this
`Acknowledgement Receipt will establish the filing date of the application.
`National Stage of an International Application under 35 U.S.C. 371
`If a timely submission to enter the national stage of an international application is compliant with the conditions of 35
`U.S.C. 371 and other applicable requirements a Form PCT/DO/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 Application Filed with the USPTO as a Receiving Office
`If a new international application is being filed and the international application includes the necessary components for
`an international filing date (see PCT Article 11 and MPEP 1810), a Notification of the International Application Number
`and of the International Filing Date (Form PCT/RO/105) 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
`
`Total Files Size (in bytes)
`
`3966435
`
`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.
`
`UW Exhibit 1002, pg. 10
`
`UW Exhibit 1002, pg. 10
`
`

`

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