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.
`
`12/816,084
`
`ISSUE DATE
`
`05/17/2011
`
`PATENT NO.
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`RE42368
`
`C2393-1106RE1
`
`2616
`
`04/27/2011
`7590
`48789
`LAW OFFICES OF BARRY N. YOUNG
`200 PAGE MILL ROAD
`SUITE 102
`PALO ALTO, CA 94306
`
`The projected patent number and issue date are specified above.
`
`ISSUE NOTIFICATION
`
`Determination of Patent Term Extension or Adjustment under 35 U.S.C. 154 (b)
`
`A reissue patent is for "the unexpired part of the term of the original patent." See 35 U.S.C. 251. Accordingly,
`the above-identified reissue application is not eligible for Patent Term Extension or Adjustment under 35
`u.s.c. 154(b).
`
`Any questions regarding the Patent Term Extension or Adjustment determination should be directed to the
`Office of Patent Legal Administration at (571)-272-7702. Questions relating to issue and publication fee
`payments should be directed to the Application Assistance Unit (AAU) of the Office of Data Management
`(ODM) at (571)-272-4200.
`
`APPLICANT(s) (Please see PAIR WEB site http://pair.uspto.gov for additional applicants):
`
`Tai Chen, San Jose, CA;
`Jeffrey P. Wilde, Morgan Hill, CA;
`Joseph E. Davis, Morgan Hill, CA;
`
`IR103 (Rev. 10/09)
`
`Cisco Systems, Inc.
`Exhibit 1002, Page 1
`
`

`

`Receipt date: 06/15/2010
`
`1 281 6084 - GAU: 2883
`
`i
`I INFORMATION DISCLOSURE
`[STATEMENT BY APPLICANT
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`Cisco Systems, Inc.
`Exhibit 1002, Page 2
`
`

`

`I' ART B - FEE(S) TRANSMlTT AL
`Complete and send this form, together with appticabte fee(s), to: Jlli!l Mail Sto~" ISSUE FEE
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, Virghlia 2:BI3-J4SO
`(571 )·213-2885
`
`orFa:t.
`
`1590
`!l3f.WM I
`~P~9
`LAW OFFICES OF BARRY N. YOUNG
`200 PAGE MRL ROAD
`SUITE !02
`PALO ALTO, CA 94306
`
`Not~:/, ~cnlficate ofm,li!fng cnn cnly be us~d !or don•cslk mailings of ihc
`Fec(s) T':"dflsmlttA_L 'fh1s ccrtlftcEt~. cannot be U>~d for any olhcqccompanyint.:
`paper~. F,..'lch add~hOil~l pupcr .. such ~s an a.s.sq~ml\Clll \II' ft>;:m3l drswin~. m~&t
`lt~ve 11S own ccmftcaa~ or m~nhng cr transmis~1u11.
`Cutiftwie ,r Mall ill!: m· T(sn•mi~sion
`l. hcrchy c!:flify th.att!ii~ Fec(s) Transminal isb<Ji!JK d~posit<~d with !be Un1l¢d
`States f'!.>~!al Serv1ce w~tb sufhclcnl pos(asc ftJr hrst .;lass mall :nan cnvd~p~
`acldres~c<l tu !he M.ail Stop ISSUE FEE ad(lrcs~ ;J.bove, or bc111!> !i>t:sumk
`traosmmed 10 the USI'TO (571) 113-~8.~5. on lh£ da(c indkntcd below.
`
`Al'J'UCA fiON NO.
`
`flUNG J)!HB
`
`CONFlRMATiONN():
`
`C7.W3-UOnR.Et
`l21816,0il4
`06/l;iZOIO
`Tai Chen
`"f!'H.E OF INVENTION: RECONFIGU.RABL!i OPTICAL ADI).f)R(ll' MUL TI.PLEXERS WlTil SERVO CONTROL ANlJ ()YNAMIC S~'ECTR.I\t.
`POWER MANAGEMENT CAPAHIUTIES
`
`2&1 !\
`
`III'PLN. TYPf;
`
`NO
`
`$.!S!O
`
`$(1
`
`$0
`
`$1510
`
`D.ATl:DUE
`
`06/14/2\H l
`
`ARTI.,!NIT
`
`CLASS-StJaCl.I\SS
`
`Hb\LY, URIAN
`
`.l8~U
`
`~ Changc}'ll\:tlrrcsptHJdcncc addrc~s or indication of"f~e 1\diliess'' (17
`, .. H~ I.J(>;).
`0 Chanu<:c ofr.orrcsr,<J:;a1cncc ~.ddrts> (l:!r Cliange i~fCorrc.~p<md~JWe
`Aciclrm form PT0/~13112.~) anL~chcd.
`0 ''F<:i: Addt~ss'' in<jic~tkm (or "Fcc Addrccs~· lr~dicaHon form
`I'TOISB/47;. Rev 03..1.)2 or mmt" r~cnt) aua,htd Un Qfa CuJCtillf!~r
`Nurn!,er ls f~qulr~.
`
`385-024000
`2. f(}r prinlin!J !)II !he patent iront page,. list
`( 1) tl>e n~mts of up to 3 regi~ter~<l p;,lcl11 &llum~ys
`or ngcnt~ OR, ~~~.~trl~tivcly.,
`(1) the name of a si ngl~ finn (h-.rving <t'l s member a
`regjstprd attom~y ot ~g<:ot) anrl th~ name~ !:<(up \o
`2 registered putr.:n:t .attorn£)'$ or &gents. If !lt.< mm1~ ts
`lis.ted, no name will be primed.
`
`~ '"~~--.~---···-··--.. ·-·----·_ ....
`3 ___________ _
`
`3. ASSIGNEE NAME AND RESIDENCE OATA TO BE f'RfNTED ON THE PATENT {print drtypc)
`PLEASF, NOTE: Unlcs~ ~n A~~lgncc !!; identified hcl~iw, no 3£SjgnCl:! .~~tn w!li appear ';!ll the paLe!)\. If liM ~ssigncc is irknnfkd bdm'f, !hto dm:umt'IH has been itkcl for
`rocordrmon asset forth m 37 CFR 3.1 L Compicllon ot th1s fonn IS NQl ~ substlhJ&c. for !!lmg anas~1gnmcnt
`{B) RESrbcNCE: (CIT'r' and STATt OR COUNTRY)
`(A) NAME OF ASSIGNeE
`
`Capella Photonics, Inc.
`
`San Jose, California
`
`<l:}hc folto~ingfcc(s) arc submiltcd:
`>...,li) tsr-uc h:~
`0 l'!;blic~rit>n fcc (No smaU entity discnunt pcrmim;d)
`0 1\dnm:c Order· II of Copie.s --·~---~~------.~----
`
`'lb, Pay!tll:!nt of F~c(s); {P:kilse !'i.r5t napply any pl'eYiuusly pe<i<.llS~\Is: fee sbown ubt>n)
`0 A c.heck is cnclos~.o"d.
`Xf!:9 Pa~'lllcnl by crt<lit cnrd. Form 1'1"0·2038 ill3tl3<:hcd_
`( EFS-kJe b)
`0The Din.'Cior is.·licrcby ~uthori<:"'d to ~~a1gc th~ n:qu. ir~-cl f<;t:(!i), any .. dclk;cncy, or credit. nny
`.
`ovcrpa>'tl'wnt, to De-poSit Ac·count Number -----~-_(~n~ll)Sc au exlm cupy nf J!u~ form)
`
`5. Clm1J!e in Kntlt)· Status {ftum olllt11S indieatc.d ~ l>ovc)
`0 b. Applicant is no longer d3imin~ SMAl..t ENUTY stlllus. Sec 3 7 tFR 1.27(g)(:.!.:..l ____ _
`0 a. Applicant daints SMALL ENTI'fY status: Sc<: HCFR 1.21.
`NOTE·. The hsu~. Fcc ~nd l'ilblkatlon Fcc (if required) wHIM! b.~ ac~cpted fforn. anyo.nc other than the ~pplt~ant; s rcgimr~d anomi;y (>r agt,ut; ur the assigm:~ or other party in
`mrcrc;t ·a.~ sh""'" l>y the rect>l'cl ~ <>(:·\~ Uni t<XI St~rcs Paten! and Tmtkmar~ Office
`. ~---------
`. .
`_
`
`""'"'"~'"'""b~1}[ ~/~--
`Ttpt'd <.Jr printe-d Nnmt1_ Ba :_~l~~N • Y Ol:lt; ._ .. ,_~:
`
`"''" !Lrch 2_1!, 201_1
`Registration. No. 2 LJ_1+_1~ __ _
`
`Th1S tol!eclion of iniOrn1atiOn i> rtqllir~d by 3 7 CfR. 1.311. Th~ infonnalion i.s rcquirerll<l ob.lllm or tcl.l!ill ~bene. nt by the pull lie ">hicl\ is 16lik~ (Anti b~· the liSP TO to vrocc>S)
`sn ~pp!ication. Confidcntialit}' is gc.,emed by 3.5U.S.C. 122snd 37 CFR U4. Thi&co11~;:ction is estimated lo take 12 rnin~tcs to complete, including ~,athcring,pn~ar.ng, and
`;_u~nHning\i:.c complctc<l appli~:ahon form to !he liS.PTO. T1mc will vary depending upon the individunl .ease, Any ~~~m~nts <1n !he~ amoum of tHllv y;.>urNJmrc lu <:~Oif'lclc
`this. for!'• ant:llor SllJ:&CSI)ons for mducing lhi~ hutd<;n. should be ~ell! to 1.11' e. Cili~.:f l.~fo.nmuon Officer, U.S .. !'alent .en.:ll r.aqcmM!t O~i~e, t!S. D. cput. mmnof.Commcrcc, f'.O.
`B<1x 1450, Alcx~lldna, V)rg!n!a 22313·1450. DO NOT SEND fEES OR COMPLEll:.lJ FORMS TO THiS ADDRESS. SEND TO; CQmrtussloner for l'nt.:nl~. f'.O. Box 1450,
`A)~~anclri~ •. VirgimalUl.f-!450,
`·
`Un~~~ th<: i'~pcrv.·ork Reduction Act of !995, ll<l pctsons are required l<:l r~:Spond to a collection Qfinfomllliion unles.5 it di~playE a nlid OMR contn.l! numbw.
`
`PTOL-85 (Rcv .. 021! I) A~>~>;ovt~tl for usc througlJ 08{3!12013.
`
`OMB 06SJ .. QQ3J
`
`U.S. Paten! end Trademark Off:~c; 1..1.S, DEl'ARTMf.NT OF COMMERCE
`
`Cisco Systems, Inc.
`Exhibit 1002, Page 3
`
`

`

`Electronic Patent Application Fee Transmittal
`
`Application Number:
`
`Filing Date:
`
`12816084
`
`15-Jun-201 0
`
`Title of Invention:
`
`RECONFIGURABLE OPTICAL ADD-DROP MULTIPLEXERS WITH SERVO
`CONTROL AND DYNAMIC SPECTRAL POWER MANAGEMENT CAPABILITIES
`
`First Named Inventor/Applicant Name:
`
`Tai Chen
`
`Filer:
`
`Attorney Docket Number:
`
`Filed as Large Entity
`
`Utility under 35 USC 111 (a) Filing Fees
`
`Barry N. Young
`
`C2393-11 06RE1
`
`Description
`
`Fee Code
`
`Quantity
`
`Amount
`
`Sub-Total in
`USD($)
`
`Basic Filing:
`
`Pages:
`
`Claims:
`
`Miscellaneous-Filing:
`
`Petition:
`
`Patent-Appeals-and-Interference:
`
`Post-Allowance-and-Post-Issuance:
`
`Utility Appl issue fee
`
`1501
`
`1
`
`1510
`
`1510
`
`Extension-of-Time:
`
`Cisco Systems, Inc.
`Exhibit 1002, Page 4
`
`

`

`Description
`
`Fee Code
`
`Quantity
`
`Amount
`
`Sub-Total in
`USD($)
`
`Miscellaneous:
`
`Total in USD ($)
`
`1510
`
`Cisco Systems, Inc.
`Exhibit 1002, Page 5
`
`

`

`Electronic Acknowledgement Receipt
`
`EFSID:
`
`Application Number:
`
`9756232
`
`12816084
`
`International Application Number:
`
`Confirmation Number:
`
`2616
`
`Title of Invention:
`
`RECONFIGURABLE OPTICAL ADD-DROP MULTIPLEXERS WITH SERVO
`CONTROL AND DYNAMIC SPECTRAL POWER MANAGEMENT CAPABILITIES
`
`First Named Inventor/Applicant Name:
`
`Tai Chen
`
`Customer Number:
`
`48789
`
`Filer:
`
`Barry N. Young
`
`Filer Authorized By:
`
`Attorney Docket Number:
`
`C2393-11 06RE1
`
`Receipt Date:
`
`Filing Date:
`
`TimeStamp:
`
`28-MAR-2011
`
`15-JUN-2010
`
`17:59:07
`
`Application Type:
`
`Utility under 35 USC 111 (a)
`
`Payment information:
`
`Submitted with Payment
`
`Payment Type
`
`Payment was successfully received in RAM
`
`RAM confirmation Number
`
`yes
`
`Credit Card
`
`$1510
`
`5714
`
`Deposit Account
`
`Authorized User
`
`File Listing:
`Document I
`Number
`
`Document Description
`
`I
`
`File Name
`
`I
`
`File Size( Bytes)/ I Multi 'I Pages
`(ifappl.)
`Message Digest
`Part /.zip
`
`Cisco Systems, Inc.
`Exhibit 1002, Page 6
`
`

`

`1
`
`Issue Fee Payment (PT0-85B)
`
`PTOL-85.pdf
`
`no
`
`1
`
`294880
`
`Warnings:
`
`Information:
`
`981 Of13e86995d36b8c1 cSa 1 e 7b65f38854
`cdbc
`
`30398
`
`2
`
`Fee Worksheet (PT0-875)
`
`fee-info. pdf
`
`no
`
`2
`
`5286b73609796763d08abf0150306a54611
`0197c
`
`Warnings:
`
`Information:
`
`Total Files Size (in bytes)
`
`325278
`
`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 A~~lications 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/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 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 0), a Notification of the International Application Number
`and of the International Filing Date (Form PCT/R0/1 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.
`
`Cisco Systems, Inc.
`Exhibit 1002, Page 7
`
`

`

`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`'i
`
`NOTICE OF ALLOWANCE AND FEE(S) BUE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Bo• 1450
`Alexandria, Virginia 22313-1450
`www.uspto.gov
`
`03/24/2011
`7590
`48789
`LAW OFFICES OF BARRY N. YOUNG
`200 PAGE MILL ROAD
`SUITE 102
`PALO ALTO, CA 94306
`
`EXAMINER
`
`HEALY, BRIAN
`
`ART UNIT
`
`PAPER NUMBER
`
`2883
`
`DATE MAILED: 03/24/2011
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`C2393-1106REI
`Tai Chen
`06/15/2010
`12/816,084
`TITLE OF fNYENTION: RECONFIGURABLE OPTICAL ADD-DROP MULTIPLEXERS WITH SERVO CONTROL AND DYNAMIC SPECTRAL
`POWER MANAGEMENT CAPABILITIES
`
`2616
`
`APPLN. TYPE
`
`SMALL ENTITY
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE PREY. PAID ISSUE FEE
`
`TOTAL FEE(S) DUE
`
`nonprovisional
`
`NO
`
`$1510
`
`$0
`
`$0
`
`$1510
`
`DATE DUE
`
`06/24/2011
`
`THE APPLICATION IDENTIFIED ABOVE HAS BEEN EXAMINED AND IS ALLOWED FOR ISSUANCE AS A PATENT.
`PROSECUTION ON THE MERITS IS CLOSED. THIS NOTICE OF ALLOWANCE IS NOT A GRANT OF PATENT RIGHTS.
`THIS APPLICATION IS SUBJECT TO WITHDRAWAL FROM ISSUE AT THE INITIATIVE OF THE OFFICE OR UPON
`PETITION BY THE APPLICANT. SEE 37 CFR 1.313 AND MPEP 1308.
`"
`
`THE ISSUE FEE AND PUBLICATION FEE (IF REQUIRED) MUST BE PAID WITHIN THREE MONTHS FROM THE
`· MAILING DATE OF THIS NOTICE OR THIS APPLICATION SHALL BE REGARDED AS ABANDONED.
`THIS
`STATUTORY PERIOD CANNOT BE EXTENDED. SEE 35 U.S.C. 151. THE ISSUE FEE DUE INDICATED ABOVE DOES
`NOT REFLECT A CREDIT FOR ANY PREVIOUSLY PAID ISSUE FEE IN THIS APPLICATION.
`IF AN ISSUE FEE HAS
`PREVIOUSLY BEEN PAID IN THIS APPLICATION (AS SHOWN ABOVE), THE RETURN OF PART B OF THIS FORM
`WILL BE CONSIDERED A REQUEST TO REAPPLY THE PREVIOUSLY PAID ISSUE FEE TOWARD THE ISSUE FEE NOW
`DUE.
`
`HOW TO REPLY TO THIS NOTICE:
`
`I. Review the SMALL ENTITY status shown above.
`
`If the SMALL ENTITY is shown as YES, verify your current
`SMALL ENTITY status:
`
`A. If the status is the same, pay the TOTAL FEE(S) DUE shown
`above.
`B. If the status above is to be removed, check box Sb on Part B -
`Fee(s) Transmittal and pay the PUBLICATION FEE (if required)
`and twice the amount of the ISSUE FEE shown above, or
`
`If the SMALL ENTITY is shown as NO:
`
`A. Pay TOTAL FEE(S) DUE shown above, or
`
`B. If applicant claimed SMALL ENTITY status before, or is now
`claiming SMALL ENTITY status, check box Sa on Part B- Fee(s)
`Transmittal and pay the PUBLICATION FEE (if required) and 1/2
`the ISSUE FEE shown above.
`
`II. PART B- FEE(S) TRANSMITTAL, or its equivalent, must be completed and returned to the United States Patent and Trademark Office
`(USPTO) with your ISSUE FEE and PUBLICATION FEE (if required). If you are charging the fee(s) to your deposit account, section "4b"
`of Part B - Fee(s) Transmittal should be completed and an extra copy of the form should be submitted. If an equivalent of Part B is filed, a
`request to reapply a previously paid issue fee must be clearly made, and delays in processing may occur due to the difficulty in recognizing
`the paper as an equivalent of Part B.
`
`III. All communications regarding this application must give the application number. Please direct all communications prior to issuance to
`Mail Stop ISSUE FEE unless advised to the contrary.
`
`IMPORTANT REMINDER: Utility patents issuing on applications filed on or after Dec. 12, 1980 may require payment of
`maintenance fees. It is patentee's responsibility to ensure timely payment of maintenance fees when due.
`
`PTOL-85 (Rev. 02/11)
`
`Page 1 of3
`
`Cisco Systems, Inc.
`Exhibit 1002, Page 8
`
`

`

`PART B - FEE(S) TRANSMITTAL
`
`Complete and send this form, together with applicable fee(s), to: Mail Mail Stop ISSUE FEE
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`(571)-273-2885
`
`or Fax
`
`INSTRUCTIONS: This form should be. used. for transmitting the ISSUE FEE and PUBpCATIO~ FEE (if required). Blo<_:ks I through 5 should be completed where
`appropnate. All further correspondence mcludmg the Patent, advance orders and notification of mamtenance fees will be matted to the current correspondence address as
`indjcatcd unless cory-ecte~ below or directed otherwise in Block I, by (a) specifying a new correspondence address; and/or (b) indicating a separate "FEE ADDRESS" for
`mamtcnancc fee notifications.
`CURRENT CORRESPONDENCE ADDRESS (Note: Use Block I for any change of address)
`
`48789
`7590
`03/24/2011
`LAW OFFICES OF BARRY N. YOUNG
`200 PAGE MILL ROAD
`SUITE 102
`,
`PALO ALTO CA 94306
`
`Note: A certificate of mailing can only be used for domestic mailings of the
`Fee(s) Transmittal. This certificate cannot be used for any other accompanying
`paper~. Each add.itional pape~, .such as an a~signment or formal drawing, must
`have Its own certtficate of mathng or transmtsston.
`
`Certificate of Mailing or Transmission
`I hereby certify that this Fee(s) Transmittal is being deposited with the United
`States Postal Service with sufficient postage for first class mail in an cnvelOP.C
`addres~ed to the Mail Stop ISSUE FEE address above, or being facsimtlc
`transmttted to the USPTO (571) 273-2885, on the date indicated below.
`
`(Depositor's name)
`
`(Signature)
`
`(Date)
`
`I
`
`APPLICATION NO.
`
`12/816,084
`
`I
`
`FILING DATE
`
`06/15/2010
`
`I
`
`FIRST NAMED INVENTOR
`
`I ATTORNEY DOCKET NO. I CONFIRMATION NO.
`
`Tai Chen
`
`C2393-1106REI
`
`2616
`
`TITLE OF INVENTION: RECONFIGURABLE OPTICAL ADD-DROP MULTIPLEXERS WITH SERVO CONTROL AND DYNAMIC SPECTRAL
`POWER MANAGEMENT CAPABILITIES
`
`APPLN.TYPE
`
`nonprovisional
`
`SMALL ENTITY
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE PREV. PAID ISSUE FEE
`
`TOTAL FEE(S) DUE
`
`DATE DUE
`
`NO
`
`$1510
`
`$0
`
`$0
`
`$1510
`
`06/24/2011
`
`EXAMINER
`
`HEALY, BRIAN
`
`ART UNIT
`
`CLASS-SUBCLASS
`
`2883
`
`385-024000
`
`I. Change of correspondence address or indication of"Fcc Address" (37
`CFR 1.363).
`0 Change of correspondence address (or Change of Correspondence
`Address form PTO/SB/122) attached.
`0 "Fcc Address" indication (or "Fee Address" Indication form
`PTO/SB/47; Rev 03-02 or more recent) attached. Usc of a Customer
`Number is requir~.
`
`2. For printing on the patent front page, list
`(I) the names of up to 3 registered patent attorneys
`or agents OR, alternatively,
`(2) the name of a single firm (having as a member a
`registered attorney or agent) and the names of up to
`2 registered patent attorneys or agents. If no name is
`listea, no name will be printed.
`
`2 ____________ _
`
`3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
`PLEASE NOTE: Unless an assignee is identified below, no assignee data will appear on the patent. If an assignee is identified below, the document has been filed for
`recordation as set forth in 37 CFR 3.11. Completion of this form is NOT a substitute for filing an assignment.
`(A) NAME OF ASSIGNEE
`(B) RESIDENCE: (CITY and STATE OR COUNTRY)
`
`Please check the appropriate assignee category or categories (will not be printed on the patent) :
`
`0
`
`Individual 0 Corporation or other private group entity 0 Government
`
`4a. The following fee(s) arc submitted:
`Issue Fcc
`0
`0 Publication Fee (No small entity discount permitted)
`0 Advance Order-# of Copies---------
`
`4b. Payment of Fce(s): (Please first reapply any previously paid issue fee shown above)
`0 A check is enclosed.
`0 Payment by credit card. Form PT0-2038 is attached.
`0Thc Director is hereby authorized to charge the required fcc(s), any deficiency, or credit any
`(enclose an extra copy of this form).
`overpayment, to Deposit Account Number
`
`5. Change in Entity Status (from status indicated above)
`0 b. Applicant is no longer claiming SMALL ENTITY status. Sec 37 CFR 1.27(g)(2).
`0 a. Applicant claims SMALL ENTITY status. Sec 37 CFR 1.27.
`NOTE: The Issue Fee and Publication Fee (if required) will not be accepted from anyone other than the applicant; a registered attorney or agent; or the assignee or other party in
`interest as shown by the records of the United States Patent and Trademark Office.
`
`Authorized S ign a tu r e - - - - - - - - - - - - - - - - - - - - -
`
`D a t e - - - - - - - - - - - - - - - - - -
`
`Typed or printed
`
`Registration N o . - - - - - - - - - - - - - - -
`
`This collection of information is required by 37 CFR 1.311. 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. Confidcntialil)' is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 12 minutes to complete, including gathering, prcpanng, 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, Alcxandna, Virginia 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450,
`Alexandria, Virginia 2231 J-1450.
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number.
`
`PTOL-85 (Rev. 02/11) Approved for usc through 08/31/2013.
`
`OMB 0651-0033
`
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`
`Cisco Systems, Inc.
`Exhibit 1002, Page 9
`
`

`

`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Bo• 1450
`Ale.andria, Virginia 22313-1450
`www.uspto.gov
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`. 12/816,084
`
`06115/2010
`
`Tai Chen
`
`C2393-1106REI
`
`2616
`
`03/24/2011
`7590
`48789
`LAW OFFICES OF BARRY N. YOUNG
`200 PAGE MILL ROAD
`SUITE 102
`PALO ALTO, CA 94306
`
`EXAMINER
`
`HEALY, BRIAN
`
`ART UNIT
`
`PAPER NUMBER
`
`2883
`
`DATE MAILED: 03/24/2011
`
`Determination of Patent Term Extension or Adjustment under 35 U.S.C. 154 (b)
`
`A reissue patent is for "the unexpired part of the term of the original patent." See 35 U.S.C. 251. Accordingly, the
`above-identified reissue application is not eligible for Patent Term Extension or Adjustment under 35 U.S.C. 154(b ).
`
`Any questions regarding the Patent Term Extension or Adjustment determination should be directed to the Office of
`Patent Legal Administration at (571 )-272-7702. Questions relating to issue and publication fee payments should be
`directed to the Customer Service Center of the Office of Patent Publication at 1-(888)-786-01 01 or (571 )-272-4200.
`
`PTOL-85 (Rev. 02/11)
`
`Page 3 of3
`
`Cisco Systems, Inc.
`Exhibit 1002, Page 10
`
`

`

`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
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`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
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`3. A record in this system of records may be disclosed, as a routine use, to a Member of Congress
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`4. A record in this system of records may be disclosed, as a routine use, to a contractor of the Agency
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`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)).
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`General Services, or his/her designee, during an inspection of records conducted by GSA as part of
`that agency's responsibility to recommend improvements in records management practices and
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`with the GSA regulations governing inspection of records for this purpose, and any other relevant
`(i.e., GSA or Commerce) directive. Such disclosure shall not be used to make determinations about
`individuals.
`8. A record from this system of records may be disclosed, as a routine use, to the public after either
`publication of the application pursuant to 35 U.S.C. 122(b) or issuance of a patent pursuant to 35
`U.S.C. 151. Further, a record may be disclosed, subject to the limitations of 37 CFR 1.14, as a
`routine use, to the public if the record was filed in an application which became abandoned or in
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`application, an application open to public inspection or an issued patent.
`9. A record from this system of records may be disclosed, as a routine use, to a Federal, State, or local
`law enforcement agency, if the USPTO becomes aware of a violation or potential violation of law or
`regulation.
`
`Cisco Systems, Inc.
`Exhibit 1002, Page 11
`
`

`

`Notice of Al/owability
`
`Application No.
`
`12/816,084
`Examiner
`
`Applicant(s)
`
`CHEN ET Al.
`Art Unit
`
`BRIAN M. HEALY
`
`2883
`
`•• The MAILING DATE of this communication appears on the cover sheet with the correspondence addresS··
`All claims being allowable, PROSECUTION ON THE MERITS IS (OR REMAINS) CLOSED in this application. If not included
`herewith (or previously mailed), a Notice of Allowance (PTOL-85) or other appropriate communication will be mailed in due course. THIS
`NOTICE OF ALLOWABILITY IS NOT A GRANT OF PATENT RIGHTS. This application is subject to withdrawal from issue at the initiative
`of the Office or upon petition by the applicant. See 37 CFR 1.313 and MPEP 1308.
`1. [81 This communication is responsive to the response filed 03/0212011.
`
`2. [81 The allowed claim(s) is/are 1-22.
`3. 0 Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
`a) D All
`b) D Some*
`c) D None
`of the:
`1. D Certified copies of the priority documents have been received.
`2. D Certified copies of the priority documents have been received in Application No. __ .
`3. D Copies of the certified copies of the priority documents have been received in this national stage application from the
`International Bureau (PCT Rule 17.2(a)).
`* Certified copies not received: __ ._
`
`Applicant has THREE MONTHS FROM THE "MAILING DATE" of this communication to file a reply complying with the requirements
`noted below. Failure to timely comply will result in ABANDONMENT of this application.
`THIS THREE-MONTH PERIOD IS NOT EXTENDABLE.
`4. 0 A SUBSTITUTE OATH OR DECLARATION must be submitted. Note the attached EXAMINER'S AMENDMENT or NOTICE OF
`INFORMAL PATENT APPLICATION (PT0-152) which gives reason(s) why the oath or declaration is deficient.
`5. 0 CORRECTED DRAWINGS ( a·s "replacement sheets") must be submitted.
`(a) D including changes required by the Notice of Draftsperson's Patent Drawing Review ( PT0~948) attached
`1) D hereto or 2) D to Paper No./Mail Date __ ._
`(b) D including changes required by the attached Examiner's Amendment I Comment or in the Office action of
`Paper No./Mail Date __ ._
`Identifying indicia such as the application number (see 37 CFR 1.84(c)) should be written on the drawings in the front (not the back) of
`each sheet. Replacement sheet(s) should be labeled as such in the header according to 37 CFR 1.121(d).
`6. 0 DEPOSIT OF and/or INFORMATION about the deposit of BIOLOGICAL MATERIAL must be submitted. Note the
`attached Examiner's comment regarding REQUIREMENT FOR THE DEPOSIT OF BIOLOGICAL MATERIAL.
`
`Attachment(s)
`1. (gJ Notice of References Cited (PT0-892)
`2. D Notice of Draftperson's Patent Drawing Review (PT0-948)
`3. D Information Disclosure Statements (PTO/SB/08),
`Paper No./Mail Date __
`4. D Examiner's Comment Regarding Requirement for Deposit
`of Biological Material
`
`5. D Notice of Informal Patent Application
`6. D Interview Summary (PT0-413),
`Paper No./Mail Date __ .
`7. D Examiner's AmendmenUComment
`
`8. (gJ Examiner's Statement of Reasons for Allowance
`9. D Other __ .
`/BRIAN M. HEALY/
`PRIMARY EXAMINER
`ART UNIT: 2883
`
`U.S. Patent and Trademark Office
`PTOL-37 (Rev. 08-06)
`
`Notice of Allowability
`
`Part of Paper No./Mail Date 20110308
`
`Cisco Systems, Inc.
`Exhibit 1002, Page 12
`
`

`

`Application/Control Number: 12/816,084
`Art Unit: 2883
`
`Page 2
`
`DETAILED ACTION
`
`Allowable Subject Matter
`
`1.
`
`The following is an examiner's statement of reasons for allowance: The closet
`
`references of record are (Note these references were made of record on PTOL-1449) Bouevitch
`
`et. al., U .S.P. No. 6,498,872 which teaches (Figs.1-12) an optical device which is used in
`
`conjunction with confi~urable optical add/drop multiplexers (COADM) which includes optical
`
`fiber input/output ports 80a,80b,99a,99b which sends wavelength of light which are collimated
`
`through lens 90 to spherical reflector 10 which is incident of diffraction grating 20 to MEMS
`
`reflector(s) 51 ,52. which are movable in either the horizontal or vertical directions to return
`
`specific wavelengths lambda 1, lambda2 to the output ports 3. Bouevitch et. al., U.S.P. No.
`
`6,498,872 does not teach or suggest using channel micromirrors which are both individually and
`
`continuously controllable to reflect received spectral channels to any one of the output ports and
`
`to control the power of the received spectral channels coupled to the output ports.
`
`2.
`
`Additional secondary references Wagener et. al., U.S.P. No. 6,631,222 (Figs.l-4), Jin et.
`
`al., U.S.P. No. 6,256,430 (Figs.l-7) and Ma et. al., U.S.P. No. 6,567,574 (Figs.1-12) all teach
`
`that at the time the invention was made it was know that pi votable micro mirrors or MEMS can
`
`be used with wavelength multiplexers to switch or select wavelengths between input and output
`
`ports.
`
`3.
`
`None of the aforementioned references, either taken alone or in combination with each
`
`other, teach or suggest the claimed optical add-drop device which includes an input port for an
`
`input multi-wavelength opt