Attorney's Docket No.: 13958-0099001 / l04US2
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Applicant
`Serial No.
`
`: Matthew Curran et al.
`: 13/079,645
`
`Art Unit
`Examiner
`
`: 3733
`: STUART SAMUEL BRAY
`
`Filed
`Title
`
`: 1151
`Conf. No.
`: April 4, 2011
`: SYSTEMS AND METHODS FOR SPINAL FUSION
`
`Mail Stop Amendment
`Commissioner for Patents
`
`P.O. Box 1450
`
`Alexandria, VA 22313-1450
`
`RESPONSE TO RESTRICTION RE UIREMENT
`
`In response to the restriction requirement made in the action mailed March 21, 2012,
`
`Applicant notes that the Preliminary Amendment filed on March 20, 2012 cancels all of the
`
`identified claim groups (claims 1-13 and claims 14-26). As such, none of the identified claim
`
`groups can be elected for examination on the merits. As shown in the March 20, 2012
`
`Preliminary Amendment, the single claim group of claims 27-54 is currently pending.
`
`Regarding the species restriction, Applicant elects identified Species A (Figures 1-9 and
`
`18-21) is elected for examination. The election is made without traverse. Currently, all pending
`
`claims 27-54 read on the elected Species A.
`
`The Applicant respectfully requests prompt consideration and a Notice of Allowance. In
`
`the event that no Notice of Allowance will be provided in the next communication,
`
`Applicant requests that the Examiner telephone the undersigned attorney (612-337-2569)
`
`prior to the next communication so that prosecution on the merits may be expedited.
`
`Please apply any necessary charges or credits to Deposit Account No. 06-1050,
`
`referencing the above attorney docket number.
`
`
`Date: March 22 2012
`
`Customer Number 26 1 9 1
`
`Fish & Richardson P.C.
`
`Telephone: (612) 335-5070
`Facsimile:
`(877) 769-7945
`
`Respectfully submitted,
`
`/Michael T. Hawkins/
`
`Michael T. Hawkins
`
`Reg. No. 57,867
`
`60759700.doc
`
`116
`
`116
`
`

`
`Electronic Acknowledgement Receipt
`
`International Application Number:
`
`Title of Invention:
`
`System and Methods for Spinal Fusion
`
`First Named Inventor/Applicant Name:
`
`Payment information:
`
`File Listing:
`
`Document
`Number
`
`Document Description
`
`File Size(Bytes)/
`Message Digest
`
`Pages
`Multi
`Part /.zip (if appl.)
`
`Information:
`
`Response to Election / Restriction Filed
`
`ResponseRR.pdf
`
`bda20l7cf19373e0d2c1 c0028969a23cca9 ‘
`1d89
`
`117
`
`

`
`Total Files Size (in bytes)
`
`71218
`
`This Acknowledgement Receipt evidences receipt on the noted date by the USPTO ofthe 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 Applications Under 35 U.S.C. 111
`lfa 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
`lfa 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/E0/903 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
`lfa 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 ofthe International Filing Date (Form PCT/R0/105) 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
`the application.
`
`118
`
`118
`
`

`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`www.uspto.goV
`
`APPLICATION NO.
`
`F ING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONF {MATION NO.
`
`13/079,645
`
`04/04/201 1
`
`Matthew Curran
`
`104US2
`
`1 151
`
`NuVas1Ve
`C/0 CPA Global
`P.O. Box 52050
`Minneapolis, MN 55402
`
`BRAY, STUART SAMUEL
`
`3733
`
`MAIL DATE
`
`03/23/2012
`
`PAPER NUMBER
`
`DELIVERY MODE
`
`PAPER
`
`Please find below and/or attached an Office communication concerning this application or proceeding.
`
`The time period for reply, if any, is set in the attached communication.
`
`PTOL—90A (Rev. 04/07)
`
`1 1
`
`119
`
`

`
`_
`_
`_
`_
`Applicant-Initiated Interview Summary
`
`13/079,645
`_
`Examiner
`
`CURRAN ET AL.
`_
`Art Unit
`
`Application No.
`
`App|icant(s)
`
`STUART s. BRAY
`
`3733
`
`All participants (applicant, app|icant’s representative, PTO personnel):
`
`(1) STUART S. BRA Y.
`
`(3)Michae/ Hawkins.
`
`(2) j-
`
`(4)?-
`
`Date of Interview: 21 March 2012.
`
`Type:
`
`I:I Video Conference
`IX] Telephonic
`I] Personal [copy given to: El applicant
`
`El app|icant’s representative]
`
`Exhibit shown or demonstration conducted:
`If Yes, brief description:
`
`[I Yes
`
`IX! No.
`
`I:|112 I:|102 I:|103 Elothers
`I:I101
`Issues Discussed
`(For each of the checked box(es) above, please describe below the issue and detailed description of the discussion)
`
`Claim(s) discussed:
`
`Identification of prior art discussed: %.
`
`Substance of Interview
`(For each issue discussed, provide a detailed description and indicate if agreement was reached. Some topics may include: identification or clarification of a
`reference or a portion thereof, claim interpretation, proposed amendments, arguments of any applied references etc...)
`
`Atty Hawkins called to discuss the preliminary amendment replacing a prior claim set, which was filed around the time
`a restriction on the prior set of claims was mailed. The examiner suggested to respond to the pending restriction
`noting that the new claim set has only one independent claim. The Examiner also suggested that the Applicant
`respond to the species election and whether all the new claims are readable on the elected species.
`.
`
`Applicant recordation instructions: The formal written reply to the last Office action must include the substance of the interview. (See MPEP
`section 713.04). If a reply to the last Office action has already been filed, applicant is given a non-extendable period of the longer of one month or
`thirty days from this interview date, or the mailing date of this interview summary form, whichever is later, to file a statement of the substance of the
`interview
`
`Examiner recordation instructions: Examiners must summarize the substance of any interview of record. A complete and proper recordation of
`the substance of an interview should include the items listed in MPEP 713.04 for complete and proper recordation including the identification of the
`general thrust of each argument or issue discussed, a general indication of any other pertinent matters discussed regarding patentability and the
`general results or outcome of the interview, to include an indication as to whether or not agreement was reached on the issues raised.
`
`I:| Attachment
`/STUART S BRAY/
`Examiner, Art Unit 3733
`
`U.S. Patent and Trademark Office
`
`PTOL-413 (Rev. 8/11/2010)
`
`Interview Summary
`
`120
`
`Paper No. 20120321
`
`120
`
`

`
`Manual of Patent Examining Procedure (MPEP), Section 713.04, Substance of Interview Must be Made of Record
`A complete written statement as to the substance of any face—to—face, video conference, or telephone interview with regard to an application must be made of record in the
`application whether or not an agreement with the examiner was reached at the interview.
`
`Summary of Record of Interview Requirements
`
`Title 37 Code of Federal Regulations (CFR) § 1.133 Interviews
`Paragraph (b)
`
`In every instance where reconsideration is requested in view of an interview with an examiner, a complete written statement of the reasons presented at the interview as
`warranting favorable action must be filed bythe applicant. An interview does not remove the necessity for reply to Office action as specified in §§ 1.111, 1.135. (35 U.S.C. 132)
`
`37 CFR §1.2 Business to be transacted in writing.
`All business with the Patent or Trademark Office should be transacted in writing. The personal attendance of applicants or their attorneys or agents at the Patent and
`Trademark Office is unnecessary. The action of the Patent and Trademark Office will be based exclusively on the written record in the Office. No attention will be paid to
`any alleged oral promise, stipulation, or understanding in relation to which there is disagreement or doubt.
`
`The action of the Patent and Trademark Office cannot be based exclusively on the written record in the Office if that record is itself
`incomplete through the failure to record the substance of interviews.
`It is the responsibility of the applicant or the attorney or agent to make the substance of an interview of record in the application file, unless
`the examiner indicates he or she will do so.
`It is the examiner's responsibility to see that such a record is made and to correct material inaccuracies
`which bear directly on the question of patentability.
`
`Examiners must complete an Interview Summary Form for each interview held where a matter of substance has been discussed during the
`interview by checking the appropriate boxes and filling in the blanks. Discussions regarding only procedural matters, directed solely to restriction
`requirements for which interview recordation is otherwise provided for in Section 812.01 of the Manual of Patent Examining Procedure, or pointing
`out typographical errors or unreadable script in Office actions or the like, are excluded from the interview recordation procedures below. Where the
`substance of an interview is completely recorded in an Examiners Amendment, no separate Interview Summary Record is required.
`
`The Interview Summary Form shall be given an appropriate Paper No., placed in the right hand portion of the file, and listed on the
`“Contents” section of the file wrapper.
`In a personal interview, a duplicate of the Form is given to the applicant (or attorney or agent) at the
`conclusion of the interview.
`In the case of a telephone or video-conference interview, the copy is mailed to the applicant's correspondence address
`either with or prior to the next official communication. If additional correspondence from the examiner is not likely before an allowance or if other
`circumstances dictate, the Form should be mailed promptly after the interview rather than with the next official communication.
`
`The Form provides for recordation of the following information:
`— Application Number (Series Code and Serial Number)
`— Name of applicant
`— Name of examiner
`— Date of interview
`— Type of interview (telephonic, video-conference, or personal)
`— Name of participant(s) (applicant, attorney or agent, examiner, other PTO personnel, etc.)
`— An indication whether or not an exhibit was shown or a demonstration conducted
`— An identification of the specific prior art discussed
`— An indication whether an agreement was reached and if so, a description of the general nature of the agreement (may be by
`attachment of a copy of amendments or claims agreed as being allowable). Note: Agreement as to allowability is tentative and does
`not restrict further action by the examiner to the contrary.
`— The signature of the examiner who conducted the interview (if Form is not an attachment to a signed Office action)
`
`It is desirable that the examiner orally remind the applicant of his or her obligation to record the substance of the interview of each case. It
`should be noted, however, that the Interview Summary Form will not normally be considered a complete and proper recordation of the interview
`unless it includes, or is supplemented by the applicant or the examiner to include, all of the applicable items required below concerning the
`substance of the interview.
`A complete and proper recordation of the substance of any interview should include at least the following applicable items:
`1) A brief description of the nature of any exhibit shown or any demonstration conducted,
`2) an identification of the claims discussed,
`3) an identification of the specific prior art discussed,
`4) an identification of the principal proposed amendments of a substantive nature discussed, unless these are already described on the
`Interview Summary Form completed by the Examiner,
`5) a brief identification of the general thrust of the principal arguments presented to the examiner,
`(The identification of arguments need not be lengthy or elaborate. A verbatim or highly detailed description of the arguments is not
`required. The identification of the arguments is sufficient if the general nature or thrust of the principal arguments made to the
`examiner can be understood in the context of the application file. Of course, the applicant may desire to emphasize and fully
`describe those arguments which he or she feels were or might be persuasive to the examiner.)
`6) a general indication of any other pertinent matters discussed, and
`7) if appropriate, the general results or outcome of the interview unless already described in the Interview Summary Form completed by
`the examiner.
`Examiners are expected to carefully review the applicant's record of the substance of an interview.
`accurate, the examiner will give the applicant an extendable one month time period to correct the record.
`
`If the record is not complete and
`
`Examiner to Check for Accuracy
`
`If the claims are allowable for other reasons of record, the examiner should send a letter setting forth the examiner's version of the
`statement attributed to him or her.
`If the record is complete and accurate, the examiner should place the indication, “Interview Record OK” on the
`paper recording the substance of the interview along with the date and the examiner's initials.
`
`121
`
`121
`
`

`
`PTO/SB/08a (01-08)
`Approved for use through 05/31/2008. OMB 0651-0031
`<: m ‘UB(D3 DJ3 Q. i93O.(D3 EX 925"(D
`c: F” U m ‘U21> :13—lE mZ —l 0 ‘Fl 00 Z E m :13 O m
`Under the Paerwork Reduction Act of 1995, no ersons are re uired to resond to a collection of information unless it contains a valid OMB control number.
`Substitute for form 1449A/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`Com - Iete if Known
`
`Application Number
`
`13/079,645
`
`Filing Date
`First Named Inventor
`
`April 4, 2011
`Matthew Curran
`
`Art Unit
`
`3733
`
`(Use as many sheets as necessary)
`
`Examiner Name
`
`Stuart Samuel Bray
`
`Sheet
`
`1
`
`of
`
`Attorney Docket No: 104US2
`
`Examiner
`Initial *
`
`Cite
`No
`
`Document Number
`
`US PATENT DOCUMENTS
`Publication Date
`Name of Patentee or Applicant of Cited
`Document
`
`Pages, Columns, Lines,
`Where Relevant Passages
`or Relevant Figures Appear
`
`2002/0058950
`2003/0105528
`
`3,486,505
`3,518,993
`3,604,487
`3,745,995
`3,848,601
`3,867,728
`4,026,304
`4,026,305
`4,454,374
`4,501,269
`4,646,738
`4,657,550
`4,743,256
`4,781,591
`4,834,757
`4,877,020
`4,878,915
`4,932,975
`4,950,296
`4,961,740
`4,962,766
`5,015,247
`5,026,373
`5,047,055
`5,055,104
`5,062,845
`5,071,437
`5,092,572
`5,133,717
`5,133,755
`5,171,278
`5,192,327
`5,217,497
`5,263,953
`5,269,785
`
`Ma 16, 2002
`Jun 5, 2003
`Dec 30, 1969
`Jul 7, 1970
`Se 14, 1971
`Jul 17, 1973
`Nov 19, 1974
`Feb 25, 1975
`Ma 31,1971
`Ma 31,1971
`Oct 8, 1985
`Feb 26, 1985
`Mar3, 1987
`Ar 14, 1987
`Ma 10,1988
`Nov 1, 1988
`Ma 30,1989
`Oct 31, 1989
`Nov 7, 1989
`Jun 12, 1990
`Au 21, 1990
`Oct 9, 1990
`Oct 16, 1990
`Ma 14,1991
`Jun 25, 1991
`Se 10, 1991
`Oct 8, 1991
`Nov 5, 1991
`Dec 10, 1991
`Mar3, 1992
`Jul 28, 1992
`Jul 28, 1992
`Dec 15, 1992
`Mar 9, 1993
`Jun 8, 1993
`Nov 23, 1993
`Dec 14, 1993
`
`Winterbottom, et al.
`Shim, et al.
`Morrison, Gordon M.
`Blake, Lawrence W.
`Gilbert, Richard S.
`Kraus
`
`Ma, et al.
`Stubstad, et al.
`Lev
`
`Brownlee, et al.
`Jacobson
`Baob
`
`Trott, Arthur F.
`Daher
`Brantian
`Allen
`Brantian
`Vich
`Brantian
`
`Main, et al.
`Mclnt re, J. L.
`Ra , et al.
`Herzon, G.D.
`Michelson
`
`Ra , et al.
`Bao et al.
`
`Kuslich, et al.
`Steffee
`
`Litwak, et al.
`Choin
`Brekke
`Pisharodi
`
`Brantian, John W.
`Mehdian
`Baob
`Bonutti
`
`EXAMINER
`
`DATE CONSIDERED
`
`Substitute Disclosure Statement Form (PTO-1449)
`‘ EXAMINER: Initial ii relerence considered, whether or not citation is in conlormance with MPEP 609. Draw line through citation it not in conlormance and not considered. Include copy oi this lorm with next communication to
`applicantl Applicant's unique citation designation number (optional) 2 Applicant is to place a check mark here it English language Translation is attached
`
`122
`
`122
`
`

`
`PTO/SB/08a (01-08)
`Approved for use through 05/31/2008. OMB 0651-0031
`<: m ‘UB(D3 DJ3 Q. i93O.(D3 EX 928"(D
`c: F” U m ‘U21> :13—lE mZ —l 0 ‘Fl 00 Z E m :13 O m
`Under the Paerwork Reduction Act of 1995, no ersons are re uired to resond to a collection of information unless it contains a valid OMB control number.
`Substitute for form 1449A/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`(Use as many sheets as necessary)
`
`Com - Iete if Known
`
`Application Number
`Filing Date
`First Named Inventor
`
`13/079,645
`Apr11 4, 2011
`Matthew Curran
`
`Art Unit
`
`Examiner Name
`
`3733
`
`Stuart Samuel Bray
`
`Sheet
`
`2
`
`of
`
`8
`
`Attorney Docket No: 104US2
`
`Initial *
`
`No
`
`US PATENT DOCUMENTS
`Name of Patentee or Applicant of Cited
`Document
`
`Pages, Columns, Lines,
`Where Relevant Passages
`or Relevant Figures Appear
`
`jI Ra mono, SA, etai.
`jI Coombes, etai.
`jI Lerich
`jI Crook
`jI Senter, etai.
`jI Waner, etai.
`jI Krause, Kenneth W., et ai.
`jI Cain
`jI Fioers
`jI Fieo,Jr.,etai.
`jI Holt, etai.
`jI Geibard
`jI Kozak
`jI Henderson, etai.
`jI ivietz-Stavenhaen
`jI Brantian
`jI ivioskovich
`jI Steiiee
`2- 5,443,515
`Au 22,1995
`Cohen, etal.
`2- 5,445,639
`Au 29,1995
`Kuslich, etal.
`jI Huebner
`jI Kusiich, etai.
`jI Yoakum, etai.
`jI iviicheison,Gar K.
`jI Kusiich, etai.
`jI Kusiich, etai.
`jI Heeness, ivi.H., et ai.
`jI Scoeiianos
`jI Michelson
`jI Teer, etai.
`jI
`jI Navarro, etai.
`jI Navas, Fernand
`jI Bonutti
`jI Ra ,etai.
`jI Erickson, etai.
`jI Uirich
`
`EXAMINER
`
`DATE CONSIDERED
`
`Substitute Disclosure Statement Form (PTO-1449)
`‘ EXAMINER: Initial ii reierence considered, whether or not citation is in conlormance with MPEP 609. Draw line through citation it not in conlormance and not considered. Include copy oi this iorm with next communication to
`applicanti Applicant's unique citation designation number (optional) 2 Applicant is to place a check mark here it English language Translation is attached
`
`123
`
`123
`
`

`
`PTO/SB/08a (01-08)
`Approved for use through 05/31/2008. OMB 0651-0031
`<: m ‘UB(D3 DJ3 Q. i93O.(D3 EX 928"(D
`c: F” U m ‘U21> :13—lE mZ —l 0 ‘Fl 00 Z E m :13 O m
`Under the Paerwork Reduction Act of 1995, no ersons are re uired to resond to a collection of information unless it contains a valid OMB control number.
`Substitute for form 1449A/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`Com - Iete if Known
`
`Application Number
`
`13/079,645
`
`Filing Date
`First Named Inventor
`
`April 4, 2011
`Matthew Curran
`
`Art Unit
`
`3733
`
`(Use as many sheets as necessary)
`
`Examiner Name
`
`Stuart Samuel Bray
`
`Sheet
`
`3
`
`of
`
`Attorney Docket No: 104US2
`
`Initial *
`
`Examiner
`
`No
`
`Cite
`
`US PATENT DOCUMENTS
`
`Name of Patentee or Applicant of Cited
`
`Document
`
`Pages, Columns, Lines,
`Where Relevant Passages
`or Relevant Figures Appear
`
`Schonhoffer
`Michelson, G- K-
`K0hrS,eta|-
`Davis, eta|-
`Amold, etal
`Scarborouh, eta|-
`Brosnaharh etal
`Pisharodi
`Pisharodi
`Pisdharodi
`K0hrS,eta|-
`Bonutti
`Kambin, Parviz
`Zdeblick, et al.
`Gelbard
`Rinner
`
`McGuire, David A.
`Waner, et al.
`Asher, et al.
`Zucherman, et al.
`Kuslich, et al.
`Maruiles
`
`McKa ,W. F.
`Biedermann, et al.
`Rabbe, et al.
`Baumartner
`
`S8. ar, R.
`Yamamichi, et al.
`Sevrain, et al.
`Patat, et al.
`Steffee
`
`Kuslich, et al.
`Jackson
`
`Stroever, B. W., et al.
`Michelson, Gar K.
`Moskovitz, et al.
`Baumartner
`
`5,669,909
`5,676,703
`5,683,394
`5,683,400
`5,683,464
`5,690,629
`5,700,264
`5,700,291
`5,700,292
`5,702,449
`5,702,451
`5,702,453
`5,702,454
`5,702,455
`5,703,451
`5,707,373
`5,711,957
`5,716,415
`5,720,748
`5,720,751
`5,728,159
`5,741,253
`5,741,261
`5,755,797
`
`Se 23, 1997
`Oct 14, 1997
`Nov 4, 1997
`Nov 4, 1997
`Nov 4, 1997
`Nov 25, 1997
`Dec 23, 1997
`Dec 23, 1997
`Dec 23, 1997
`Dec 30, 1997
`Dec 30, 1997
`Dec 30, 1997
`Dec 30, 1997
`Dec 30, 1997
`Dec 30, 1997
`Jan 13, 1998
`Jan 27, 1998
`Feb 10, 1998
`Feb 24, 1998
`Feb 24, 1998
`Mar 17, 1998
`Ar 21, 1998
`Ar 21, 1998
`Ma 26,1998
`
`EXAMINER
`
`DATE CONSIDERED
`
`Substitute Disclosure Statement Form (PTO-1449)
`‘ EXAMINER: Initial ii reierence considered, whether or not citation is in conlormance with MPEP 609. Draw line through citation it not in conlormance and not considered. Include copy oi this iorm with next communication to
`applicanti Applicant's unique citation designation number (optional) 2 Applicant is to place a check mark here it English language Translation is attached
`
`124
`
`124
`
`

`
`PTO/SB/08a (01-08)
`Approved for use through 05/31/2008. OMB 0651-0031
`<: m ‘UB(D3 DJ3 Q. i93O.(D3 EX 928"(D
`c: F” U m ‘UID :13—lE mZ —l 0 ‘Fl 00 Z E m :13 O m
`Under the Paerwork Reduction Act of 1995, no ersons are re uired to resond to a collection of information unless it contains a valid OMB control number.
`Substitute for form 1449A/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`Com - Iete if Known
`
`Application Number
`
`13/079,645
`
`Filing Date
`First Named Inventor
`
`April 4, 2011
`Matthew Curran
`
`Art Unit
`
`3733
`
`(Use as many sheets as necessary)
`
`Examiner Name
`
`Stuart Samuel Bray
`
`Sheet
`
`4
`
`of
`
`Attorney Docket No: 104US2
`
`Initial *
`
`Examiner
`
`No
`
`Cite
`
`Name of Patentee or Applicant of Cited
`
`Document
`
`Where Relevant Passages
`or Relevant Figures Appear
`
`Pages, Columns, Lines,
`
`US PATENT DOCUMENTS
`
`Henr ,eial-
`Michelson
`Fia niond, S-A-, eial-
`Nihtenale, Christoher
`Farris, FioberiA-
`Zdeblick, eial-
`Michelson
`Michelson
`Bao, eial-
`Seriich
`Grivas, et al.
`Trott
`
`Michelson, Gar K.
`Thalott, John S.
`Baker
`
`Winslow, et al.
`Bonutti
`Beckers et al.
`Pisharodi
`
`Errico, et al.
`Stevenson, et al.
`Rosenlicht
`Winslow
`
`Ouchi, Teruo
`Castro, et al.
`Stone, K. R.
`Schunhufier
`
`Winslow, et al.
`Li, et al.
`
`Scarboroun, et al.
`Zucherman, et al.
`Schlafer, F., et al.
`Winslow
`
`Winslow, et al.
`Nicholson, et al.
`Brosnahan, lll
`
`Se 29, 1998
`Dec 22, 1998
`Oct 30, 1996
`Feb 2, 1999
`Feb 2, 1999
`Mar 23, 1999
`Mar 30, 1999
`Mar 30, 1999
`Ar 13, 1999
`Ma 18,1999
`Jun 8, 1999
`Se 21, 1999
`Oct 19, 1999
`Nov 30, 1999
`Dec 21, 1999
`Dec 28, 1999
`Jan 18,2000
`Mar 7, 2000
`Mar 21 , 2000
`Mar 28, 2000
`Ar 4, 2000
`Ar 11, 2000
`Ma 9,2000
`Ma 16,2000
`Jul 4, 2000
`Au 1,2000
`Au 15,2000
`
`5,814,084
`5,851,208
`5,860,973
`5,865,845
`5,865,848
`5,885,299
`5,888,219
`5,888,224
`5,893,890
`5,904,719
`5,910,315
`5,954,769
`5,968,098
`5,993,474
`6,004,326
`6,008,433
`6,015,436
`6,033,405
`6,039,761
`6,042,582
`6,045,580
`6,048,342
`6,059,829
`6,063,088
`6,083,225
`6,096,080
`6,102,948
`
`EXAMINER
`
`DATE CONSIDERED
`
`Substitute Disclosure Statement Form (PTO-1449)
`‘ EXAMINER: Initial ii relerence considered, whether or not citation is in conlormance with MPEP 609. Draw line through citation it not in conlormance and not considered. Include copy oi this lorm with next communication to
`applicanti Applicant's unique citation designation number (optional) 2 Applicant is to place a check mark here it English language Translation is attached
`
`125
`
`125
`
`

`
`PTO/SB/08a (01-08)
`Approved for use through 05/31/2008. OMB 0651-0031
`‘Um_.m3_. m3 Q. —l1inQ.m3 m1X 93”m
`C (/1
`<: m U rn ‘U> 33—lZ rnZ —l O -n OO Z Z rn ID 0 rn
`Under the Paerwork Reduction Act of 1995, no ersons are re uired to resond to a collection of information unless it contains a valid OMB control number.
`Substitute for form 1449A/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`(Use as many sheets as necessary)
`
`Com - Iete if Known
`
`Application Number
`Filing Date
`First Named Inventor
`
`13/079,645
`Apr11 4, 2011
`Matthew Curran
`
`Art Unit
`
`Examiner Name
`
`3733
`
`Stuart Samuel Bray
`
`Sheet
`
`5
`
`of
`
`8
`
`Attorney Docket No: 104US2
`
`Initial *
`
`Examiner
`
`No
`
`Cite
`
`Name of Patentee or Applicant of Cited
`
`Document
`
`Where Relevant Passages
`or Relevant Figures Appear
`
`Pages, Columns, Lines,
`
`US PATENT DOCUMENTS
`
`Michelson, Gar K-
`K0hrS.eta|-
`Bonutti
`Boriani, Stefano, et al.
`UrbahnS,eta|-
`Studer. etal-
`Anderson
`Michelson, Gar K-
`Kohrs
`Nicholson, etal-
`Gresser. etal-
`Marino. etal-
`Paul. etal-
`B0 le, et al.
`Carina“. etal-
`Chauvin. etal-
`Scarborouh, N. L., et al.
`Brett. D- 0-
`Lin, Chih-|
`Rain, 61 al.
`Landr
`,et al.
`Cohen,etaL
`Bo d, L. M., et al.
`Ferree, B.
`Lin, et al.
`Scarborouh, N. L., et al.
`Johnson, et al.
`Schmiel, D. G., et al.
`Lin, Paul S.
`Burkus, et al.
`Wenz, J. O.
`Biscu, R. S.
`Shim, L. A., etal.
`Ferree, B.
`Liu, M., et al.
`Fraser, R. D., et al.
`Sheard, Y. D.
`
`6,277,149
`
`AU 21, 2001
`
`6,440,142
`6,442,814
`6,454,806
`6,468,311
`6,491,724
`6,527,773
`6,547,823
`6,595,998
`6,626,905
`6,635,086
`6,648,895
`6,672,019
`6,676,703
`6,706,067
`6,743,255
`6,746,484
`6,755,841
`6,761,739
`
`AU 27,2002
`Se 3, 2002
`Se 24,2002
`Oct 22, 2002
`Dec 10,2002
`Mar 4, 2003
`Ar 15, 2004
`Jul 22, 2003
`Se 30,2003
`Oct 21, 2003
`Nov. 18,2003
`Jan 6,2004
`Jan 13,2004
`Mar 16, 2004
`Jun 1,2004
`Jun 8,2004
`Jun 29,2004
`Jul 13,2004
`
`EXAMINER
`
`DATE CONSIDERED
`
`Substitute Disclosure Statement Form (PTO-1449)
`‘ EXAMINER: Initial i1 reierence considered, whether or not citation is in conlormance with MPEP 609. Draw line through citation it not in conlormance and not considered. Include copy oi this iorm with next communication to
`applicanti Applicant's unique citation designation number (optional) 2 Applicant is to place a check mark here it English language Translation is attached
`
`126
`
`126
`
`

`
`PTO/SB/08a (01-08)
`Approved for use through 05/31/2008. OMB 0651-0031
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paerwork Reduction Act of 1995, no ersons are re uired to resond to a collection of information unless it contains a valid OMB control number.
`Substitute for form 1449A/PTO
`
`Application Number
`Filing Date
`First Named Inventor
`
`Com - Iete if Known
`
`13/0|79,645
`Apr11 4, 2011
`Matthew Curran
`
`Art Unit
`
`3733
`
`(Use as many sheets as necessary)
`
`Examiner Name
`
`Stuart Samuel Bray
`
`Sheet
`
`6
`
`of
`
`8
`
`Attorney Docket No: 104US2
`
`Initial *
`
`No
`
`Document
`
`Where Relevant Passages
`or Relevant Figures Appear
`
`US PATENT DOCUMENTS
`
`IIIIIIIIIIII F
`
`OREIGN PATENT DOCUMENTS
`
`Examiner
`
`Foreign Patent
`Document
`
`Publication Date
`
`.
`.
`Name of Patentee or Applicant of cited
`Document
`
`Pages, Columns,
`Lines, Where
`Relevant Passages
`or Relevant Figures
`Aear
`
` ‘‘‘‘‘‘‘‘‘‘‘‘‘‘‘‘‘
`‘I
`
`EXAMINER
`
`DATE CONSIDERED
`
`Substitute Disclosure Statement Form (PTO-1449)
`‘ EXAMINER: Initial ii reierence considered, whether or not citation is in conlormance with MPEP 609. Draw line through citation it not in conlormance and not considered. Include copy oi this Iorm with next communication to
`app|icant.i Applicant's unique citation designation number (optional) 2 Applicant is to place a check mark here it English language Translation is attached
`
`127
`
`127
`
`

`
`PTO/SB/08a (01-08)
`Approved for use through 05/31/2008. OMB 0651-0031
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paerwork Reduction Act of 1995, no ersons are re uired to resond to a collection of information unless it contains a valid OMB control number.
`Substitute for form 1449A/PTO
`
`Application Number
`Filing Date
`First Named Inventor
`
`Com - Iete if Known
`
`13/0|79,645
`Apr11 4, 2011
`Matthew Curran
`
`Art Unit
`
`3733
`
`(Use as many sheets as necessary)
`
`Examiner Name
`
`Stuart Samuel Bray
`
`Sheet
`
`7
`
`of
`
`8
`
`Attorney Docket No: 104US2
`
`WO 94/04100
`
`WO 94/10928
`WO 95/01810
`WO 96/08205
`WO 96/17564
`WO 96/41582
`WO 97/20513
`
`WO 97/33525
`WO 97/37620
`WO 98/09586
`
`WO 98/14142
`WO 98/17208
`WO 98/25539
`WO 99/08627
`
`WO 99/38461
`
`Mar 3, 1994
`
`Mazda, et al.
`
`May 26, 1994
`Jan 19, 1995
`Mar 21, 1996
`Mar 13, 1996
`Dec 27, 1996
`Jun 12, 1997
`
`Sep 18, 1997
`Oct 16, 1997
`Mar 12, 1998
`
`Apr 9, 1998
`Apr 30, 1998
`Jun 18, 1998
`Feb 25 ,1999
`
`Hopf, Christoph
`Wolowacz, et al.
`Pavlov, et al.
`Rabbe, et al.
`David, et al.
`Taddia
`
`Winslow, Charles A.
`Benezech, et al.
`Webb, et al.
`
`Larsen, et al.
`Winslow, Charles
`Spath, Volker
`Gresser, et al.
`
`Aug 5, 1999
`
`Paul, David, et al.
`
`Examiner
`lnitia|s*
`
`OTHER DOCUMENTS -- NON PATENT LITERATURE DOCUMENTS
`Cite
`Include name of the author (in CAPITAL LETTERS), title of the article (when appropriate), title of the item
`No ‘
`(book, magazine, journal, serial, symposium, catalog, etc.), date, page(s), volume-issue number(s),
`publisher, city and/or country where published.
`
`
`
`ALLEYNE, CARGILL, H., et al., “Current and future approaches to lumbar disc
`surgery: A literature review”, Medscape Orthopedics & Sports Medicine, 1,
`[www.medscape.com/Medscape/OrthoSportsMed/1997/v01.n11/.../mos3057],
`
`BAU LOT, et al., “Complementary anterior spondylodesis by thoracoscopy.
`Technical note reardin an observation”, L on Sur., 90 5 :347-351 1994
`BENINI, et al., “Undercutting decompression and posterior fusion with
`translaminar facet screw fixation in degenerative lumbar spinal stenosis:
`Technique and results”, Neuro-Orthopedics, 17/18, 159-172 (1995)
`BERRY, et al., “A morphometric study of human lumbar and selected thoracic
`vertebrae, study of selected vertebrae” Spine 12(4) :362-367 (1996)
`CROCK. H. V., “Anterior Lumbar lnterbody Fusion” Clinical Orthopaedics &
`Related Research, Marshall R. Urist, Editor-in-Chief, J. B. Lippincott Company
`(1982)
`CROCK, H. V., “A Short Practice of Spinal Surgery”, Second, revised edition,
`published by Springer-Verlag/Wein, New York (1993)
`EDELAND, H.G., “Some additional suggestions for an intervertebral disc
`prosthesis”, Journal of Biomedical Engineering, 7:57-62 (1985)
`KAMBIN, et al., “History and current status of percutaneous arthroscopic disc
`surgery”, Spine, 21 (24S):57S-61 S (1996)
`
`EXAMINER
`
`DATE CONSIDERED
`
`Substitute Disclosure Statement Form (PTO-1449)
`‘ EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance and not considered. Include copy of this form with next communication to
`applicanti Applicant's unique citation designation number (optional) 2 Applicant is to place a check mark here if English language Translation is attached
`
`128
`
`128
`
`

`
`PTO/SB/08a (01-08)
`Approved for use through 05/31/2008. OMB 0651-0031
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paerwork Reduction Act of 1995, no ersons are re uired to resond to a collection of information unless it contains a valid OMB control number.
`Substitute for form 1449A/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`N
`-
`A |-
`_'°_'° '°aI'°" umber
`Filing Date
`First Named Inventor
`
`Com - Iete if Known
`
`13/0.79545
`Apr11 4, 2011
`Matthew Curran
`
`Art Unit
`
`3733
`
`(Use as many sheets as necessary)
`
`Examiner Name
`
`Stuart Samuel Bray
`
`Sheet
`
`8
`
`of
`
`8
`
`Attorney Docket No: 104US2
`
`OTHER DOCUMENTS —— NON PATENT LITERATURE DOCUMENTS
`
`
`
`KEMP, H. B. S., “Anterior fusion of the spine for infective lesions in adults”,
`Journal of Bone & Joint Surer , 55B 4 :715-734 1973
`NUVASIVE, lNC., Corrected Final Invalidity Contentions Regarding US
`5,860,973, US 6,592,586 and US 6,945,933 filed in the United States District
`Court, Southern District of California on June 14, 2010 and 23 a endices
`STEIN, et al., “Percutaneous facet joint fusion: Preliminary experience”, Journal
`of Vascular and lnterventional Radiology, 4:69-74 (1993)
`VAMVANIJ, et al., “Surgical treatment of internal disc disruption: An outcome
`study of four fusion techniques”, Journal of Sginal Disorders, 11(5):375-382
`(1998)
`
`EXAMINER
`
`DATE CONSIDERED
`
`Substitute Disclosure Statement Form (PTO-1449)
`‘ EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance and not considered. Include copy of this form with next communication to
`app|icant.I Applicant's unique citation designation number (optional) 2 Applicant is to place a check mark here if English language Translation is attached
`
`129
`
`129
`
`

`
`Electronic Acknowledgement Receipt
`
`International Application Number:
`
`Title of Invention:
`
`System and Methods for Spinal Fusion
`
`First Named Inventor/Applicant Name:
`
`Application Type:
`
`Utilnty under 35 USC111(a)
`
`Payment information:
`
`.
`
`File Size(Bytes)/
`Message Digest
`
`Pages
`Multi
`Part /.zip (if appl.)
`
`2012-03-23_|DS_Letter_14OUS
`2.pdf
`
`c30377142dba8e19e43e043819e9186e96 u
`8b4ff
`
`Document Description
`
`Transmittal Letter
`
`File Listing:
`
`Document
`Number
`
`Information:
`
`130
`
`

`
`Information Disclosure Statement (IDS)
`Form (SB08)
`
`2012-03-23_|DS_Form1449_10
`4US2.pdf
`
`7d45d92d75bce2af3c089l 55aa48f0ed45b
`5bbc4
`
`Information:
`
`This is not an USPTO supplied IDS fillable form
`
`Total Files Size (in bytes)
`
`112922
`
`This Acknowledgement Receipt evidences receipt on the noted date by the USPTO ofthe 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.
`