UNl'l‘l-il) STATES PA’lliN'l‘ AND TRADEMARK Ol’lilCli
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`UNITED S'I‘A'I‘ES ”EPA RTMEN'I' 0F COMM ERGE
`liniled Slates Patent and Trademark Office
`Address: COWISSIONER FOR PA'ITLNTS
`F’ O 13.1: 1-150
`Alexandria. Virginia HJIJ- IJSD
`H \"WJISIICLFOT
`
`APPLICATION NO.
`JSSLT: DATE
` PATENT N0.
`
`.-\TI'0R.\TLY DOCKET NO.
`CONFIRMATION NO.
`
`127816.084
`(157177201 I
`RID-12368
`[2193-1 itléklil
`2616
`
`48739
`
`759th
`
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`I..AW OFFICES OF BARRY N‘ YOUNG
`200 PAGE MILL ROAD
`Slll'l’l-i 102
`PM .0 A] .'1‘O. (TA 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. 25]. Accordingly,
`the above-identified reissue application is not eligible for Patent Term Extension 01' Adjustment under 35
`U.S.C. 15403}.
`
`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.
`
`APPLICANTIIS) (Please see PAIR WIEB silc hllp:fi"pair.uspto.gov l'or addilional :lpplicanls):
`
`'l‘ui Chem San Jose. (.‘A;
`Jeffrey P. Wilde. Morgan Hill. (.‘A;
`Joseph Ii. Davis. Morgan llilL (‘Ai
`
`IRIDB (Rev. 10709}
`
`JDS UNIPHASE CORPORATION
`JDS UNIPHASE CORPORATION
`Exhibit 1002, Page 1
`Exhibit 1002, Page 1
`
`

`

`Receipt date: ”06/1 5/2010
`
`anminer Name
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`3 IF:Lari Heremth
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`0211012011
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`JDS UNIPHASE CORPORATION
`JDS UNIPHASE CORPORATION
`Exhibit 1002, Page 2
`Exhibit 1002, Page 2
`
`

`

`PART B - FEEiS) TRANSMITTAL
`
`(Template and send this form. together with applicahte 932(8), to: Mitt] Mail Stop ISSUE FEE
`Commissiunur l'ur Patents
`PA). Box 1450
`Alexandria, Virginia 22313— 33150
`arm (571)-273-2885
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`Natcyat certificate of militia-t can crtty be uscd t‘ot domestic mailings antic
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`transmitted to IheUSt’TDt
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`APPLICA HON N5.
`
`FILING IIAIB
`
`FIRS’I'NRMED INVENTGR
`
`
`
`
`
`(1239341an
`Tut Chan
`$83519.th
`i 213161384
`TITLE 0? NVENT'IUN: RECONFKJURMILE GPTICAL ADD-DROS' MULTIPLEXERS WET}! SERVE) CONFROL AND DYNAMK; SPECTRAL
`POWER MANAGEMENT CAPABILITIES
`
`
`
`51701514131“ DOCKIET‘ NO.
`
`CfiNFiRMM'iUN hit-1
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`ISSL‘E FEE-13E”?
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`2. For painting on the patent l'mnt page. list
`(I) the names of up In 3 register-ct! pztmt atiumcys
`or agents 0R. itilcrttttthly.
`t2} the name era single firm (having its a member a
`waistcmi attcmcy or 'ttgcnt} and the names of up to
`2 reclaimed palml attmtcys or agents. It tit: name a
`tasted. an new: will ht: pnnlcd.
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`it???" magi cancspnmtccce address or indication cf "Fcc Address“ (24?
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`U Chan-st: chance: 1de cc adttrt-ss (ur Change chcmtpOndcme
`Attflrcss form FTOISE-’12,?) attached,
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`2 "Pct: Addy-ms" indication gar "Ft-4: AddrcSt" Indication form
`tytmttt-fi; Rtv 03-02 or tnctc tcccist) attached thin vi a Customer
`
`Number is mantra],
`. AsstGNEE NAME AND REStnENCt-t nATtt TO BE PRINTED ON THE PATEN‘I‘ {print or type]
`
`1.. Ba rLiWw ..
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`2_.‘________M___*_________ \
`3
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`PLEASE NOI'E: Untcss an lssift‘z‘w is identified bctcw. no assigncc tinta W!“ appm an the pain-it.
`If an ntsigitcc is identificc bclaw. It": Mum-ht has ‘occn tilcti I‘cr
`Wreaths: E5561 forth in 3? CP
`.i t. Campicticn ot‘titis form is NOT n substitute for filing an assignment.
`{A} NAME GP ASSIGNEE
`{B} RESIDENCE: (CITY and STATE OR COUNTRY}
`
`Sari Jose. California
`Capella Photmtics, Inc.
`i'icssc chcck the cpprcpnatc assign?» category W categories (wit! not be printcd on the patent} '. [3 individual gCnmtmtticn ctr oti'm pmtatc gmup-mitity El (‘tavunmcm
`
`
`
`it. Payml of ch51;(E’-Icttsc first. nappiy any weviuusly paid isms ft»: shown ubut‘r}
`‘R- The followingt'ccts} are submitted:
`[I A check is mclastxi.
`X53- lstuc fix
`XE Faytncm it}; ctcdit ct'rd. Fault FTO‘ZISJE is attached. {EFS—Weh)
`C} Pubiicfitit‘tl Fcc {No small mtitydisctsurtt pcttttittcd)
`chrpaymcnt. to Dupes" Account Numitcrfi“____ _‘__“ cnulusc tut cxltu copy at! tint [firm]
`C] Adi-amt: Dialer - ti otCopict. ___________ _____
`UTE-c Din-var is hereby cult-.062“! to chatgc tit: thuimd («535), any ”dcnctcncy. or credit tiny
`_
`5. Change in Entity Slams (limit Slflhls indicated above)
`.
`
`:1 3. Applicant claims SMALL ENTITY status. Set: 37 CFR 1.11 D b, applicant is no longcrclttitr-iug SMALL, ENTRY status. Sci: 3 1' (TR 1.3119(2).WWW
`NGfE- Tttc Issac Fee-and Pabfiutica Fat: {it'tc'quitcm wilt no! It: accepted immanyuitc other than the applicant; 8 rcgistmd attorney or agent; I}! the assign: or other past} in
`interest “as straw“ b lltc Mimi: o '
`United Slate-s Patent arid Tradcttustii 0mg:
`
`9,... March 28, 2011
`
`Registration No. _ 2? a 7&3
`
`
`
`
`
`
`[<3 flbhlfi or main c benefit. h (it; public which Is In tilt: tattd by the 95m.) ta prmcss‘l
`Thus :ntlccticit grist—Mutton it thltttcd by 3? CFR L} I. Titt- infotttttttictt is 19'?
`stimulus to ccmpiclc. tnciudipg nadtenttg._prepanng_. an
`an apptication. Confidcaliality is governed by 35 U.S.C. Ill and 3'} CFR H4.
`is witccticn is cgtimlod to {slits l
`tut-muting tin: mmptetttt application fiat-m tu tin: USFTt). 't'mc will via
`dacndittgumn-tttc imitwdtinl passe. Atty (augments an lltt‘. amount at umc yam rcqum: tit cam cit:
`ttt'u fan“ anatot at: mutations [or tcducing this humanshoettt bcscnt tot c
`tct' in ormntwn 0mm. 11.5. Patent and 1 ratjcmttt Office, its. Dcpanmcistttt Contt‘ltlitct‘ 0.
`Eng N53), Mna rtst Vi:
`inia 223lJ-idl‘vfl. DO NOT SEND FEES 0R CUMPLE‘IED FORMS T0 W13 ADDRESS. SkND TO: Cutitnusstmtcr Sq: Patents. P 0. Elm: I450,
`Alexandt‘il..Virginial'13i ddfifl.
`'
`Under the t‘wcrwcrlt Reduction Act of t995. 11c person: an: rcqititcti to suspend to a collection of infomtim unless it displays a valid OMB comm! number.
`
`PTOL-85 mcmzrt i) mama: to: use thtwgh mm mm 3.
`
`mm 05514303:
`
`Lts. rates: Itnti Trademark (Mac. 11.8. DEPARTMENT OF CUMMERCE
`
`JDS UNIPHASE CORPORATION
`JDS UNIPHASE CORPORATION
`Exhibit 1002, Page 3
`Exhibit 1002, Page 3
`
`

`

`
`
`Electronic Patent Application Fee Transmittal
`
`
`
`Application Number: 12816084
`
`
`
`Filing Date: 15-Jun—2010
`
`m"! °f '“V‘mt'm‘
`
`RECONFIGURABLE OPTICAL ADD-DROP MULTIPLEXERS WITH SERVO
`CONTROL AND DYNAMIC SPECTRAL POWER MANAGEMENT CAPABILITIES
`
`
`
`First Names! lnventorI‘Applicant Name:
`Tai Chen
`
`
`Filer:
`BarryI N.\’oung
`
`
`
`
`Attorney Docket Number: C2393-1106RE1
`
`Filed as Large Entity
`
`Utility under 35 USC 111(a) Filing Fees
`
`
`
`
`Description
`Fee Code
`Quantity
`Amount
`SUB-:33: in
`
`Basic Filing:
`
`
`Pages:
`
`Claims:
`
`
`Miscellaneous-Filing:
`
`Petition:
`
`Patent«Appeals«and—lnterference:
`
`
`Post-Allowance-and-Post-lssuance:
`
`
`
`1501 1 1510Utility Appl issue fee 1510
`
`
`
`
`
`
`
`Extension-of-Time:
`
`JDS UNIPHASE CORPORATION
`JDS UNIPHASE CORPORATION
`Exhibit 1002, Page 4
`Exhibit 1002, Page 4
`
`
`
`

`

`
`
`Sub-Total in
`USDIS)
`Quantity
`Amount
`
`
`
`
`
`
`
`
`Description
`
`|
`
`FeeCode
`
`
`
`Miscellaneous:
`
`1510
`
`Total in USD ($)
`
`JDS UNIPHASE CORPORATION
`JDS UNIPHASE CORPORATION
`Exhibit 1002, Page 5
`Exhibit 1002, Page 5
`
`

`

`
`
`Electronic Acknowledgement Receipt
`
`EFS ID:
`
`9365232
`
`Application Number:
`12816084
`
`
`International Application Number:
`
`
`2616
`Confirmation Number:
`
`
`Title oflnvention:
`
`RECONFIGURABLE OPTICAL ADD-DROP MULTIPLEXERS WITH SERVO
`CONTROL AND DYNAMIC SPECTRAL POWER MANAGEMENT CAPABILITIES
`
`
`
`
`
`Tai Chen
`First Named InventoriApplicant Name:
`
`
`Customer Number:
`
`48789
`
`Filer:
`Barry N.Young
`
`Filer Authorized By:
`
`C2393—1106RE1
`Attorney Docket Number:
`
`
`Receipt Date:
`
`2S—MAR-2011
`
`Filing Date:
`15—JUN—2010
`
`
`Time Stamp:
`
`11593)?
`
`Utility under 35 USC 111(a}
`Application Type:
`
`Payment information:
`
`Submitted with Payment
`
`PaymentType
`
`Payment was successfully received in RAM
`RAM confirmation Number
`
`Authorized User
`
`yes
`
`Credit Card
`
`$1510
`5?14
`
`File Listing:
`
`
`Document
`Number
`
`.
`.
`Document Description
`
`.
`File Name
`
`File SizelBytes)!
`Message Digest
`
`Pages
`Multi
`Part Azip (ifappIJ
`
`JDS UNIPHASE CORPORATION
`JDS UNIPHASE CORPORATION
`Exhibit 1002, Page 6
`Exhibit 1002, Page 6
`
`

`

`
`
`'|
`
`Issue Fee Payment (PTCHSSB)
`
`PTOL—85.pdf
`
`Warnings:
`Information:
`
`‘Jfllflll il‘ill’i'flhtllufli lc3ui'll‘flm5flalikl
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`Warnings:
`
`Information:
`
`
`Total Files Size (in bytesH 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 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
`Ifa timely submission to enter the national stage ofan international application is compliant with the conditions of 35
`U.5.C. 371 and other applicable requirements a Form PCTIDOIEOI903 indicating acceptance ofthe 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
`Ifa 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 1 810}, a Notification of the International Application Number
`and of the International Filing Date (Form PCTIROJ‘IO5} 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.
`
`
`
`JDS UNIPHASE CORPORATION
`JDS UNIPHASE CORPORATION
`Exhibit 1002, Page 7
`Exhibit 1002, Page 7
`
`

`

`f
`
`aUNITED: STATES PATENT AND TRADEMARK OFFICE
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Pntent and Trademark Office
`
`Addttss.‘ COMMISSIONER FOR PATIENTS
`P.0. Box i450
`Aienndril. Virginil 22113-71450
`mmptogov
`
`NOTICE OF ALLOWANCE AND FEEIS) DUE
`
`almost I
`me
`48:89
`LAW'OFFICES OF BARRY N. YOUNG
`200 PAGE MILL ROAD
`sum...
`PALO ALTO. CA 94306
`
`5“”th
`HEALYJRIAN
`
`23.3
`DATE. MAILED: 03i24i20| i
`
`APPLICATION NO.
`FILING DATE
`FIRST NAMED INVENTOII
`ATTORNEY DOCKET NO.
`CONFIRMATION NO.
`
`1233 “5.034
`W | 50010
`Tai Chen
`C2 3934 lflfiREl
`2616
`TITLE OF INVENTION: RECONI‘IGURABLE OPTICAL ADD—DROP MULTIPLEXERS WITH SERVO CONTROL AND DYNAMIC SPECTRAL
`POVIII ER MANAGEMENT CAPABILITIES
`
`APPLN TYPE
`
`SMALL ENTITY
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE
`
`PREV. PAID ISSUE FEE
`
`TOTAL FEEIS) DUE
`
`nonprovisionai
`
`$1510
`
`SISIO
`
`DATE DUE
`
`06124IZB||
`
`THE APPLICATION IDENTIFIED ABOVE HAS BEEN EXAMINED AND IS ALLOWED FOR ISSUANCE AS A PATENT.
`ER! ISEQIJTION 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 I .313 AND MPEP 1308.
`
`THE ISSUE FEE AND PUBLICATION FEE (IF REQUIRED) MUST BE PAID WITHIN [BREE MONTHS FROM THE
`-MAILING DATE OF THIS NOTICE OR THIS APPLICATION SHALL BE REGARDED AS ABANDONED.
`THIS
`§:|:A]!1TQRY PERIQD QAEMIT BE EEIENQEQ. 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.
`
`Ifthe SMALL ENTITY is shown as YES, verify your current
`SMALL ENTITY Status:
`
`Ifthe SMALL ENTITY is shown as NO:
`
`A. If the status is the same, pay the TOTAL FEE(S} DUE shown
`above.
`
`A. Pay TOTAL FEE(S} DUE shown above, or
`
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`Fee(s) Transmittal and pay the PUBLICATION FEE {if required)
`and twice the amount of the ISSUE FEE shown above, or
`
`B. If applicant ciaimed SMALL ENTITY status before, or is now
`claiming SMALL ENTITY status, check box 5a on Part B - Fee(s}
`Transmittal and pay the PUBLICATION FEE (if required) and ”2
`the ISSUE FEE shown above.
`
`ll. 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 feeIs) 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
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`
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`JDS UNIPHASE CORPORATION
`JDS UNIPHASE CORPORATION
`Exhibit 1002, Page 8
`Exhibit 1002, Page 8
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`C239} I look}: i
`Tai Chen
`06” SRO] I)
`”1316.084
`TITLE OF INVENTION: RECONFIOURABLE OPTICAL ADD-DROP MULTIPLEXERS WITH SERVO CONTROL AND DYNAMIC SPECTRAL
`POWER MANAGEMENT CAPABILITIES
`
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`JDS UNIPHASE CORPORATION
`JDS UNIPHASE CORPORATION
`Exhibit 1002, Page 9
`Exhibit 1002, Page 9
`
`

`

` .
`
`IZIEIEJJS‘I
`
`AWLICATION no.
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATIENTS
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`WMIpmmv
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`FILTNG DATE
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`OGHSHDIO
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`FIRST NAME: INVENTOR
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`CONFIRMATION N0.
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`Tai Chen
`
`C2393»! IOéREI
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`1616
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`LAW OFFICES OF BARRY N. YOUNG
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`HEALY‘ BRIAN
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`DATE. MAILED: 0324120] 1
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`Determination of Patent Term Extension or Adjustment under 35 U.S.C. 154 (b)
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`JDS UNIPHASE CORPORATION
`JDS UNIPHASE CORPORATION
`Exhibit 1002, Page 10
`Exhibit 1002, Page 10
`
`

`

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`JDS UNIPHASE CORPORATION
`JDS UNIPHASE CORPORATION
`Exhibit 1002, Page 11
`Exhibit 1002, Page 11
`
`

`

`BRIAN M. HEALY
`
`Application No.
`
`12816.084
`Examine,
`
`Applicantts)
`
`CHEN ET AL.
`
`.
`.
`.
`Notice of Aiiowabrtrty
`
`
`
`- The MAILING DA TE of this communication appears on the cover sheet with the correspondence address--
`All claims being allowable. PROSECUTION ON THE MERITS lS (OR REMAINS) CLOSED in this application.
`If not included
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`NOTICE OF ALLOWABILITY IS NOT A GRANT OF PATENT RIGHTS. This application is subject to withdrawal from issue at the initiative
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`2. E This communication is responsive to the response filed 03/02/2011.
`
`2. E The allowed claimts) isiare 1—22.
`
`3. E] Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
`'
`a) [I All
`b) CI Some‘
`c) [I None
`of the:
`1. CI Certified copies of the priority documents have been received.
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`' ‘ Certified copies not received: _
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`6. I] DEPOSIT OF andior ENFORMATION about the deposit of BIOLOGICAL MATERIAL must be submitted. Note the
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`
`Attachmentte]
`1. E Notice of References Cited (PTO-892}
`2. El Notice of Draflperson’s Patent Drawing Review (PTO-948)
`
`3. E] Information Disclosure Statements (PTOISBIDEI).
`Paper NoJMail Date
`4. E] Examiner's Comment Regarding Requirement for Deposit
`of Biological Material
`
`5. [:1 Notice of Informal Patent Application
`6. El Interview Summary {PTO413}.
`Paper NoJMaiI Date
`.
`7. E} Examiner's AmendmenUCommem
`
`8. fl Examiners Statement of Reasons for Allowance
`
`
`9. El Other
`.
`iBRIAN M. HEALYI
`PRIMARY EXAMINER
`
`ART UNIT: 2883
`
`(1.5. Patent and Trademark Dulce
`P’TOL-J'i" (Rev. 03-06)
`
`Notice of Allowahllity
`
`Pan of Paper NOJMail Date 20110303
`
`JDS UNIPHASE CORPORATION
`JDS UNIPHASE CORPORATION
`Exhibit 1002, Page 12
`Exhibit 1002, Page 12
`
`I
`
`

`

`ApplicationtCOntrol Number: 12t816.084
`Art Unit: 2883
`
`Page 2
`
`DETAILED ACTION
`
`Atlowable 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-l449) Bouevitch
`
`et. al., U.S.P. No. 6,498,872 which teaches (Figs.1-12) an optical device which is used in
`
`conjunction with configurable optical addtdrop multiplexers (COADM) which includes optical
`
`fiber inputfoutput ports 80a,80b,99a,99b which sends wavelength of light which are coilimated
`
`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 l, 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.1-4), Jin et.
`
`al., U.S.P. No. 6,256,430 (Figs. 1-7) and Ma et. al., U.S.P. No. 6,567,574 (Figs. H 2) all teach
`
`that at the time the invention was made it was know that pivotable 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 optical signal having first spectral channels; one or more por