`
`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.
`
`12/815,930
`
`ISSUE DATE
`
`09/06/2011
`
`PATENT NO.
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`RE42678
`
`C2393-1101RE2
`
`2344
`
`08/17/2011
`7590
`48789
`LAW OFFICES OF BARRY N. YOUNG
`P. 0. Box448
`PALO ALTO, CA 94302-0448
`
`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):
`
`Jeffrey P. Wilde, Morgan Hill, CA;
`Joseph E. Davis, Morgan Hill, CA;
`
`IR103 (Rev. 10/09)
`
`Petitioner Ciena Corp. et al.
`Exhibit 1002-1
`
`
`
`PART 8 • J!'EE(S) TRANSMI)TAL
`Complete and send this form, together with applicabff! fce(s). lo: Mrul Mail St(l}) ISSUE FEE
`C(lmmissioner for ratents
`P .0. Box HSO
`.
`Alenndria. Virginia ZZ313~1450
`(57l)~27:l-2885
`
`or Fa;s.
`
`041! I /2Qll
`7 59()
`~8"iK9
`LAW OFFICES OF BARRY N. YOUNG
`200 PAGE MILL ROAD
`SUITE 102
`PALO ALTO, CA 94306
`
`~ol~:. A t;ertifkste of.msiling can only be i•.seJ filr domestic mailin(1s of lf•c
`fcetsJ !~(lSn\Jtta~L. Th!s cert11ic.~1c c~nnot be !J~Cd fnr aroy, OlhE"'.t a~Wl)lptUJYil1R
`papers .. Each sddlt}Onal paper,~ .such as an ~:.:gmnenl M lornml ;Jraw1ng, mu$1
`have JlS Qwll cerlthcal~ nf m~1hn~ t>nransnus~>nn.
`
`C~rtifi~ate ~fMsUi~·g or Tram mission
`l.lr~reby certify tha~ thi~ Fee(s} paw;m,ttal i~ b<:iog Mpo>ited, with lhc Unitt'<l
`S~Me.."' flo.St,'l1 s~.rv~ce: ~rth G~ffictetH. .. Pl~~~-gc for fin::t d:iSS ~n;.·u~ H~ an cnv-:fopc
`11ddress~. d H> the Mat! Stof> tSSUE flit ad:dt~S~ alxm,:,. or. \.>e.mg facsm~d~
`transmitted !(lli]~ usno (57!) 273-2885, 0[11.he <lw: ifldi~wcd below.
`
`Al'PJ.J.CATION NO.
`
`121815,930
`
`061151'2010
`
`FIRST NAMED fNVITNTOR
`
`J(:ffreyl',Wilde
`
`C2WJ-IlOUZE2
`
`2344
`
`TITLE OF lNViiNT!ON: RECONHGURABLE Of'iiCAL ADD-PRO? MULTIPLEXERS WITH SfR.VO CONTROL AND lWNA~"-11C SPECTRAl..
`POWER, MANAGT;I-.lF.NT CAJ>AB!UTJE$
`
`Af'PlN. Ti'PE
`
`SM/\LI., ENTTfY
`NO
`
`EXAMINER
`
`tlc.t\LY, HRIAN
`
`ISSUE fEE DUE
`
`PUELICATION ff.E OUE
`
`rREV. PAID ISSUIT l'l:l"i
`
`TOT/I,L F(:~tS) DtH;
`
`$0
`
`$0
`
`$1510
`
`iJ"/.11 !!2iHI
`
`$1510
`
`188.~
`
`! . Ch~t;ge of cnrre~pondencc addrc>s or indi.:atinn of "F~ Address" (3 7
`CfR l.:l<:ii\.
`.
`..
`fJ Charwc or t:orre:r,r>p;knc~ addt~S$ {or Change of tmT>~~pl)tt<.t~nce
`Mdrr.ss form f>T0t".:>8t 1:;;2} ~t!athed.
`0 ''F~t: Addn::s:t ;r,dil:atlt)ll (m "fcc Aodres~·· 11\dication !bt"m
`I' 'I OlSl'S-'47: Rev OJ-02 or mme rcc.;nt) aHad~d. Use of a CIJ~b}!Jier
`Xijmhcr '' requlretl.
`
`.
`
`2; For printin~ on the patent front !)age, list
`{i) the n~unes ur up to 3 rq~islcrcd patent a!l(lm~ys
`or agent£ OR. altemntivcly,
`( 2) .!he name of a ~ing!e firm (having as a me:!ll><=t t'
`reg1s~cred aHomey ot ~g~nt) and tlt~ names ot ~tp io
`1 n::glSI~f(dpatent attorney& or ag~ms. !rno name is
`Hsted. no ~a me wiH be prin!cd.
`
`l __ .fu:lrrv N. Young
`
`3. ASSIGNEE NAME AND llt:SfOENCE DAtA TO BE I'RlNHSO ON THE PATENT (pritnoHype}
`!'LEASE NOTE: Vnkss ~~ assi~nee is identifit>i hdow, no nss!gnee data wil! ~l'P"-ar, OJ1Ihc patent. lf an. assig~Jee is id~nt.ificd below; the ducume·Jit ha5 be"n liled tor
`rt:,~orc;lii<Jr• a~·sel Jm1h w 31 CFR lll Cump!~Hr>n t>flflJ!> fonlltS NOT a s.ubstttule lor filmg ~n asstgnmc1.11
`{B) RF.SID8NCE: (CITY tmdSi,\'TE OR COlfNTRY)
`(A) NAfvlE Of ASS!GNEE
`
`Capella Photoni.cs, lnc.
`
`San Jose, California
`
`4a. The fnik,w ittg fee(~) are submitted:
`Uts~uc fee
`0 Puhliea1ion hr. (Nd Sm<!ll wtity db-:oun! permined)
`0 A(lv~m:e Order-# dfCuples ----------------
`
`4b. f'aynienl of fee(~): (l'l~ase 111-~t reapply any prt<vluusly pi! ill isstH f~~ showu ahtw<>)
`0 A chetk.is cnclo~cd.
`·
`:U:Pay=or by ~r~clh ~ant form P'l'0-203S 1s anarhC"d. ( EFS-Heb)
`0The Director is hereby ~utliotlted tO. charge the required feetsl, aay .ddicicnl:y, or c.redit, ~l!Y
`.
`~wdos<> an e.~Hli '-"'-'PY or tlno !nrm).
`overpayment, l~.> Dq:>os1t Acc.::<wru Nwmh~r
`__
`
`5, Chcs11ge fr1 Entf(}" Status (!rom statlli indicated nbove)
`0 b. Applicant i>11C longer daiming SMALL ENTITY sunus. Sec 17 CFR l ,2.1(!;>)(2).
`0 :.. Applicant d&ims SMAll. ENTITY statu?;. Set: .37Cf'R I .27.
`NOTE: Thtl>sw~ fc(; ;:nd f'u\:t!icalion FGc (ifrcquirl:d) win not be ac(eptcd fmm r;nyone othcrtll~nlhe upplit<~l\1; u t~iliS!ercd attomcyi\t ~fiCo!: or lhc assigiH'~ or otl•er p~rty in
`imere;;t a;. showJll>~· llu: rr:corcls of theY ited Stales ?~tent and Ttadcm.;uk Office,
`
`v~te Hay 19
`
`:wu
`
`Tlii,o;, cotl~t:irm oj"it!formGlion i~ required hy 37 CPR l,J 11~ The infonnatiqn i~ r~~ir¢d I<) <)btiti~ i>r retains benefit by th~ pub.iil' wl1id1 is to file (a~d by the US!'TO 1<1 process)
`,:n :wphattcn. lonl;dcmtalHyn; govemed by 35 U.S.y. IJ.2&nd 3? CFR I. 14. Th.Js colletUon ~s eStF11~t~d llll~kt: 12 mmute5 lo complel~. mdudmg &athen:1J5,.P•<~J:wmg, ;;nd
`?,;1:t>mlt!JI1g the -comp!~tcd apphc3ll0ll f()flll to the USP ro. TJme Will vary dependmg ~vo~l !he HldiVldual Cli!>C. Any C!,)mments {~1"1 the ~moiml vf 111M you rcqrllrC lil Cl>rnplele
`1h1s form ~:n.di<:H s'"\~W~Iions fQr redudrtg this burden. sfwuld IJ.~ sem t<J !h<: Chi.ef lt:f(>f!Tialiotl Officer, iJ.S, l"altnl nnd Tradem»rk Office. U.S. Depnrunem nf C\mJmere~, :P.O.
`Box l4'i(J. A)cxapdr;~, Yi~pni<> J2ll.l·l450, DO NOT SfNO FH~S OR COMPUTED I'ORMS TO THIS ADDftESS. SEND TO: Comm1ssion~r for P;~t~·m:;, r.O, Box 1450,
`Ale~aMna, Virgnua 22;L-l4SD.
`Um-lcr lhc I'Ap.crwork l'kdw~ln'm A\:! of 1995, no persQm are required lo respohd 10 rn:oll~c(ion ofinfonnatil)ll unk:.s it display> a valid OMH conln;! <Jllmber.
`
`i'TOL·-8.> (Rev. 01/! I) Approved for u.~e thn>ugh Oll/J i/201 l.
`
`OMa 06.51-0033
`
`lJ.S. l'atentn:nd 'Traderrmrk Offi<:~:; U.S. DEPARTMENT OF COMMERCE
`
`Petitioner Ciena Corp. et al.
`Exhibit 1002-2
`
`
`
`Electronic Patent Application Fee Transmittal
`
`Application Number:
`
`Filing Date:
`
`12815930
`
`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:
`
`Jeffrey P. Wilde
`
`Filer:
`
`Attorney Docket Number:
`
`Filed as Large Entity
`
`Utility under 35 USC 111 (a) Filing Fees
`
`Barry N. Young
`
`C2393-11 01 RE2
`
`Description
`
`Fee Code
`
`Quantity
`
`Amount
`
`Sub-Total in
`USD($)
`
`Basic Filing:
`
`Pages:
`
`Claims:
`
`Miscellaneous-Filing:
`
`Petition:
`
`Patent-Appeals-and-Interference:
`
`Post-Allowance-and-Post-Issuance:
`
`Utility Appl issue fee
`
`1501
`
`1
`
`1510
`
`1510
`
`Extension-of-Time:
`
`Petitioner Ciena Corp. et al.
`Exhibit 1002-3
`
`
`
`Description
`
`Fee Code
`
`Quantity
`
`Amount
`
`Sub-Total in
`USD($)
`
`Miscellaneous:
`
`Total in USD ($)
`
`1510
`
`Petitioner Ciena Corp. et al.
`Exhibit 1002-4
`
`
`
`Electronic Acknowledgement Receipt
`
`EFSID:
`
`Application Number:
`
`10132129
`
`12815930
`
`International Application Number:
`
`Confirmation Number:
`
`2344
`
`Title of Invention:
`
`RECONFIGURABLE OPTICAL ADD-DROP MULTIPLEXERS WITH SERVO
`CONTROL AND DYNAMIC SPECTRAL POWER MANAGEMENT CAPABILITIES
`
`First Named Inventor/Applicant Name:
`
`Jeffrey P. Wilde
`
`Customer Number:
`
`48789
`
`Filer:
`
`Barry N. Young
`
`Filer Authorized By:
`
`Attorney Docket Number:
`
`C2393-11 01 RE2
`
`Receipt Date:
`
`Filing Date:
`
`TimeStamp:
`
`19-MAY-2011
`
`15-JUN-2010
`
`20:57:30
`
`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
`
`5942
`
`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
`
`Petitioner Ciena Corp. et al.
`Exhibit 1002-5
`
`
`
`1
`
`Issue Fee Payment (PT0-85B)
`
`PTOL-85.pdf
`
`no
`
`1
`
`296160
`
`Warnings:
`
`Information:
`
`ac066b0bd0933e05748504dceb8215415c
`b71952
`
`30180
`
`2
`
`Fee Worksheet (PT0-875)
`
`fee-info. pdf
`
`no
`
`2
`
`a6c5b4e1550157383025924184d58f51191
`ab195
`
`Warnings:
`
`Information:
`
`Total Files Size (in bytes)
`
`326340
`
`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.
`
`Petitioner Ciena Corp. et al.
`Exhibit 1002-6
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT Ot' COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`·
`Alexandria, Virginia 22313-1450
`www.usplo.gov
`
`NOTICE OF ALLOWANCE AND FEE(S) DUE
`
`04/1 i /20 II
`48789
`7590
`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: 04/11/2011
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ArfORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`C2393-11 0 I RE2
`Jeffrey P. Wilde
`06115120 I 0
`12/815,930
`TITLE OF INVENTION: RECONFIGURABLE OPTICAL ADD-DROP MULTIPLEXERS WITH SERVO CONTROL AND DYNAMIC SPECTRAL
`POWER MANAGEMENT CAPABILITIES
`
`2344
`
`APPLN. TYPE
`
`SMALL ENTITY
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE PREV. PAID ISSUE FEE
`
`TOTAL FEE(S) DUE
`
`nonprovisional
`
`NO
`
`$1510
`
`$0
`
`$0
`
`$1510
`
`DATE DUE
`
`07/11/2011
`
`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 INDICA TED 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:
`
`l. 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 5b.on Part B -
`Fee(s) Transmittal and pay the PUBLICATION FEE (if required)
`and twice the amoun.t 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 5a on Part B - Fee(s)
`Transmittal and pay the PUBLICATION FEE (if required) and I /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 I of3
`
`Petitioner Ciena Corp. et al.
`Exhibit 1002-7
`
`
`
`PART B- FEE(S) TRANSMIJ'TAL
`Complete and send this form, together with applicable fee(s), to: Mlill
`
`Mail Stoll ISSUE FEE
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`(571)-273-2885
`
`or Fax
`
`INSTRUCTIONS: This fonn should be used for transmitting the ISSUE FEE and PUBLICATION FEE (if required). Blocks I through 5 should be completed where
`' appropriate. All further correspondence including the Patent, advance orders and notification of maintenance fees will be mailed to the current correspondence address as
`indicated unless corrected below or directed otherwise in Block I, by (a) specifYing a new correspondence address; and/or (b) indicating a separate "FEE ADDRESS" for
`maintenance fee notifications.
`.
`Note: A certificate of mailing can only be used tor domestic mailings of the
`CURRENT CORRESPONDENCE ADDRESS (NolC: Usc Block I for any change of address)
`Fee(s) Transmittal. This certificate cannot be used for any other accompanying
`papers. Each additional paper, such as an assignment or fonnal drawing, must
`have its own certificate of mailing or transmissiOn.
`
`48789
`7590
`04/11/2011
`LAW OFFICES OF BARRY N. YOUNG
`200 PAGE MILL ROAD
`SUITE 102
`PALO ALTO CA 94306
`'
`
`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 envelor.e
`addressed to the Mail Stop ISSUE FEE address above, or being facsimile
`transmitted to the USPTO (571) 273-2885, on the date indicated below.
`
`(Dcposilor's name)
`
`(Signature)
`
`(Date)
`
`I
`
`APPLICATION NO.
`
`12/815,930
`
`I
`
`FILING DATE
`
`06/15/2010
`
`I
`
`FIRST NAMED INVENTOR
`
`.I ATTORNEY DOCKETNO. I CONFIRMATION NO.
`
`Jeffrey P. Wilde
`
`C2393-IIOIRE2
`
`2344
`
`TITLE OF INVENTION: RECONFIGURABLE OPTICAL ADD-DROP MULTIPLEXERS WITH SERVO CONTROL AND DYNAMIC SPECTRAL
`POWER MANAGEMENT CAPABILITIES
`
`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
`
`07/11/2011
`
`EXAMINER
`
`HEALY, BRIAN
`
`ART UNIT
`
`CLASS-SUBCLASS
`
`2883
`
`385-024000
`
`I. Change of correspondence address or indication of "Fee Address" (37
`CFR 1.363).
`0 Change of correspondence address (or Change of Correspondence
`Address fonn PTO/SB/122) attached.
`0 "Fee Address" indication (or "Fee Address" Indication fonn
`PTO/SB/47; Rev 03-02 or more recent) attached. Use of a Customer
`Number is required.
`
`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 finn (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
`listed, no name will be printed.
`
`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 fonn 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) are submitted:
`Issue Fee
`0
`0 Publication Fee (No small entity discount pennitted)
`0 Advance Order-# of Copies---------
`
`4b. Payment of Fee(s): (Please first reapply any previously paid issue fee shown above)
`·
`0 A check is enclosed.
`0 Payment by credit card. Fonn PT0-2038 is attached.
`0The Director is hereby authorized to charge the required fee(s), any deficiency, or credit any
`(enclose an extra copy of this fonn).
`overpayment, to Deposit Account Number
`
`5. Change in Entity Status (from status indicated above)
`0 b. Applicant is no longer claiming SMALL ENTITY status. See 37 CFR 1.27(g)(2).
`0 a. Applicant claims SMALL ENTITY status. See 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.
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`This collection of infonnation is required by 37 CFR 1.311. The infonnation is required to obtain or retain a benefit by the public which is to file (and by the USPTO to process)
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`OMB 0651-0033
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`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`
`Petitioner Ciena Corp. et al.
`Exhibit 1002-8
`
`
`
`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.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`I :!/815,930
`
`06/1512010
`
`Jeffrey P. Wilde
`
`C2393-IIOIRE2
`
`2344
`
`04111/20 II
`7 590
`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: 04/11/2011
`
`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)-786-0 I 01 or (571 )-272-4200.
`
`PTOL-85 (Rev. 02/11)
`
`Page 3 of3
`
`Petitioner Ciena Corp. et al.
`Exhibit 1002-9
`
`
`
`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
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`and/or examine your submission related to a patent application or patent. If you do not furnish the
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`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:
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`5. A record related to an International Application filed under the Patent Cooperation Treaty in this
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`
`Petitioner Ciena Corp. et al.
`Exhibit 1002-10
`
`
`
`Notice of Allowability
`
`Application No.
`
`12/815,930
`Examiner
`
`Applicant(s)
`
`WILDE 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. ~ This communication is responsive to the response filed 113112011.
`
`2. ~The allowed claim(s) is/are 1-67.
`3. D Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
`a) 0 All
`b) 0 Some* c) 0 None
`of the:
`1. D Certified copies of the priority documents have been received.
`2. 0 Certified copies of the priority documents have been received in Application No. __ .
`3. 0 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. D CORRECTED DRAWINGS (as "replacement sheets") must be submitted.
`(a) 0 including changes required by the Notice of Draftsperson's Patent Drawing Review ( PT0-948) attached
`1) 0 hereto or 2) 0 to Paper No./Mail Date
`(b) 0 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. [gl Notice of References Cited (PT0-892)
`2. 0 Notice of Draftperson's Patent Drawing Review (PT0-948)
`3. 0 Information Disclosure Statements (PTO/SB/08),
`Paper No./Mail Date __
`4. 0 Examiner's Comment Regarding Requirement for Deposit
`of Biological Material
`
`5. 0 Notice of Informal Patent Application
`6. 0 Interview Summary (PT0-413),
`Paper No./Mail Date __ .
`7. 0 Examiner's AmendmenUComment
`
`8. [gl Examiner's Statement of Reasons for Allowance
`9. 0 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 20110215
`
`Petitioner Ciena Corp. et al.
`Exhibit 1002-11
`
`
`
`Application/Control Number: 12/815,930
`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 configurable optical add/drop multiplexers (COADM)
`
`which includes optical fiber inpuUoutput 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.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.1-12) all teach that at the time the invention was made it was know that pivotable
`
`micromirrors 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 wavelength separating routing device which
`
`includes multiple fiber collimators, a wavelength separator, a beam-focuser and a
`
`Petitioner Ciena Corp. et al.
`Exhibit 1002-12
`
`
`
`Application/Control Number: 12/815,930
`Art Unit: 2883
`
`Page 3
`
`spatial array of channel micro mirrors which are pivotable about two axes and 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. These limitations are recited in amended claim 1.
`
`Therefore the patentability C?f amended claim 1 is confirmed.
`
`4.
`
`Dependent claims 2-20 are inclusive of the limitations of amended claim 1, as
`
`well as other additionally recited limitations. Please see the dependent claims for the
`
`specifics of these additionally recited limitations. The patentability of dependent
`
`claims 2-20 is confirmed.
`
`5.
`
`In addition, none of the aforementioned references, either taken alone or in
`
`combination with each other, teach .or suggest the claimed servo-based optical
`
`apparatus comprising multiple fiber collimators providing multi-wavelength optical signal
`
`and a plurality of output ports, a wavelength separator, a beam focuser, a spatial array
`
`of individually controllable channel micromirrors and a servo-control assembly in
`
`communication with the channel micromirrors and the output ports for maintaining a
`
`predetermined coupling of each reflected spectral channels into one of the output ports.
`
`6.
`
`These limitations are recited in original claim 21. Therefore the patentability of
`
`original claim 21 is confirmed.
`
`7.
`
`Dependent claims 22-30 are inclusive of the limitations of original claim 21, as
`
`well as other additionally recited limitations. Please see the dependent claims for the
`
`specifics of these additionally recited limitations. The patentability of dependent
`
`claims 22-30 is confirmed.
`
`Petitioner Ciena Corp. et al.
`Exhibit 1002-13
`
`
`
`Application/Control Number: 12/815,930
`Art Unit: 2883
`
`Page4
`
`8.
`
`In addition, none of the aforementioned references, either taken alone or in
`
`combination with each other, teach or suggest the claimed optical appatatus
`
`comprising: an array of fib