TO:
`
`Mail Stop 8
`Director of the U.S. Patent & Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`1
`
`REPORT ON THE
`FILING OR DETERMINATION OF AN
`ACTION REGARDING A PATENT OR
`TRADEMARK
`
`In Compliance with 35 § 290 and/or 15 l_J.S.C. § 1 I 16 you are hereby advised that a court action has been
`Iiled in the U.S. District Court
`Northern District of California
`on the following V Patents or
`Cl Trademarks:
`‘
`DOCKET NO.
`DATE FILED
`us. DISTRICT COURT
`CV 14-04908 JSC
`11/4/2014
`450 Golden Gate Avenue P.0. Box 36060 San Francisco CA 94102
`PLAINTIFF
`DEFENDANT
`FINJAN INC
`PALO ALTO NETWORKS INC
`
`PATENT OR
`TRADEMARK NOV
`
`DATE OF PATENT
`OR TRADEMARK
`
`,
`,
`.
`HOLDER OF PA TEN I OR TRADEMARK
`
`2
`
`(u 304 730
`
`3 Q, %5,» ‘Ices’
`42052 92.; —
`
`2 W? 73/
`
`In the above——entitled case, the following patent(s) have been included:
`
`DATE INCLUDED
`
`INCLUDED BY
`
`E] Amendment
`
`I] Answer
`
`I] Cross Bill
`
`I: Other Pleading
`
`HOLDER op mam OR TRADEMARK
`
`TR§;;;§4NATRgRN0y
`17 it/39127 —
`2-7 in «93(o A
`mm 03; A
`4‘3u~1/
`/59 _
`5 3» 3 35 H0?
`
`in the above—entitled case, the following decision has been rendered orjudgement issued:
`DECISION/JUDGEMENT
`
`Richard W. Wieking
`
`Sheila Rash
`
`November 5, 2014
`
`(BY) DEPUTY CLERK.
`
`Copy l——Upon initiation of action, mail this copy to Commissioner Copy 3——Up0n termination of action, mail this copy to Commissioner
`. Copy 2—Upon filing document adding patent(s), mail this copy to Commissioner Copy 4~—Case file copy
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0001
`
`

`
`Case3:14-cv—O2998—RS Document35 Fl|edO9/18/14 Pagel ofl
`
`TO:
`
`Mail Stop 8
`Director of the U.S. Patent & Trademark Office
`P.0. Box 1450
`Alexandria, VA 22313-1450
`
`REPORT ON THE
`FILING OR DETERMINATION OF AN
`ACTION REGARDING A PATENT OR
`TRADEMARK
`
`In Compliance with 35 § 290 and/or 15 U.S.C. § 1116 you are hereby advised that a court action has been
`filed in the U.S. District Court Northern District California
`on the
`8/ Patents or
`Cl Trademarks:
`DOCKET NO.
`U.S. DISTRICT COURT
`CV 14-02998 RS
`450 Golden Gate Avenue 16“ Floor San Francisco CA 94102
`PLAINTIFF
`DEFENDANT
`FINJAN INC
`SYMANTEC CORP
`
`June 30 2014
`
`1 s.»w.sw _
`
`2 71515 79.5
`
`3 7.75b,wqg
`
`4 7ns7,a5’9
`
`5
`
`7.<730.a9q
`
`DATE INCLUDED
`
`INCLUDED BY
`
`|/ Amendment
`
`I] Answer
`
`[:1 Cross Bill
`
`D Other Pleading
`
`TRZQEEAIERERNO
`Q ’ 0 l 5‘, 19.;
`
`‘Z {'41 15'
`
`‘Z 6'77 4 <7 I;
`
`1
`
`3
`
`3
`
`HOLDER OF PATENT OR TRADEMARK
`***see Attach First Amended Comp1aint***
`
`In the above—entitled case, the following decision has been rendered or judgement issued:
`
`DECISION/J UDGEMENT
`
`Richard W. Wieking
`
`(BY) DEPUTY CLERK
`Gina Agustine
`
`DATE
`September 18, 2014
`
`Copy 3-—Upon termination of action, mail this copy to Commissioner
`Copy 1——Upon initiation of action, mail this copy to Commissioner
`Copy 4——Case file copy
`Copy 2—Up0n filing document adding patent(s), mail this copy to Commissioner
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0002
`
`

`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`CERTIFICATE OF CORRECTION
`
`PATENT NO.
`APPLICATION NO.
`
`2 8,677,494 B2
`: 13/290708
`
`DATED
`INVENTOR(S)
`
`: March 18, 2014
`: Yigal Mordechai Edery et :11.
`
`Page 1 Ofl
`
`It is certified that error appears in the above—identified patent and that said Letters Patent is hereby corrected as shown below:
`
`Title page, item (75) Inventors —
`
`Change “Nirmrod Itzhak Vered” to —— Nimrod Itzhak Vered ——.
`
`On Title Page 4, Column 2, Line 18, change
`“primed Dec. 23, 2998, URL: http://wwwmicrosfi.cormworkshop/”
`
`to —— printed Dec. 23, 1998, URL: http:..www.microsoftcom/workshop/ ——.
`
`Signed and Sealed this
`
`Ninth Day of September, 2014
`
`‘W/u;4..cé«.Z/..<“3_r2.
`
`Michelle K. Lee
`Deputy Dirac/or ufllre Uni/ed Staten‘ Patent and Trudemur/< Of/I‘L'e
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0003
`
`

`
`FIN000l—CON1—CIP1—CON4
`
`PATENT
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`In re Application of:
`
`Yigal Mordechai EDERY, et al.
`
`Confirmation No.: 4120
`
`Application No.: 13/290,708
`
`Group Art Unit: 2431
`
`Patent No.: 8,677,494
`
`Examiner: Christopher A. Revak
`
`Filed: November 7, 2011
`
`Issued: March 18, 2014
`
`Title: MALICIOUS MOBILE CODE RUNTIME MONITORING SYSTEM AND METHODS
`
`REQUEST FOR ISSUANCE OF CERTIFICATE OF CORRECTION PURSUANT
`
`TO 35 U.S.C. § 254 AND 37 C.F.R. § 1.322
`
`Certificate of Corrections Branch
`
`Commissioner for Patents
`
`P.O. Box 1450
`
`Alexandria, VA 22313-1450
`
`Sir:
`
`Upon review of U.S. Patent No. 8,677,494, Patentee notes errors in the patent which
`should be corrected as shown on the enclosed Form PTO/SB/44. One of the inventor’s names is
`
`incorrect under the heading “(75) Inventors” on the face of the patent. There is also an error in
`
`the date of one of the references cited on page 4 of the patent.
`
`The undersigned does not believe that a fee is required, as this was not an error caused by
`the Patentee.
`
`Accordingly, Patentee respectfully solicits the issuance of the requested Certificate of
`Correction.
`
`Respectfully submitted,
`
`By:
`
`/Dawn—Marie Bey — 44,442/
`
`Dawn—Marie Bey (Reg. No. 44,442)
`
`Date:
`
`July 10, 2014
`
`Bey & Cotropia PLLC
`
`213 Bayly Court
`Richmond, VA 23229
`
`(804) 441-8530
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0004
`
`

`
`PTO/SB/44 (09-07)
`Approved for use through 08/31/2013. OMB 0651-0033
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`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.
`Also Form PTO—1050
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`CERTIFICATE OF CORRECTION
`
`PATENT NO.
`
`: 8,677,494
`
`APPLICATION NO.: 13/290,708
`
`ISSUE DATE
`
`= March18 2014
`
`'NVENT°R‘5’
`
`Yigal Mordechai EDERY, Nimrod ltzhak VERED, David R. KROLL, Shlomo TOUBOUL
`
`It is certified that an error appears or errors appear in the above—identified patent and that said Letters Patent
`is hereby corrected as shown below:
`
`In Heading (75) Inventors -
`
`Please change "Nirmrod ltzhak Vered" to -- Nimrod ltzhak Vered --.
`
`On Page 4, Column 2, Line 18, please change "printed Dec. 23, 2998, URL: http://wvvw.microsft.com/workshop/"
`to -- printed Dec. 23, 1998, URL: http:..wvvw.microsoft.com/workshop/ --.
`
`MAILING ADDRESS OF SENDER (Please do not use customer number below):
`
`Dawn-Marie Bey, Bey & Cotropia PLLC
`213 Bayly Court
`Richmond, VA 23229
`This collection of information is required by 37 CFR 1.322, 1.323, and 1.324. 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. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 1.0 hour to
`complete,
`including gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any
`comments on the amount of time you require to complete this form 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, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED
`FORMS TO THIS ADDRESS. SEND To: Attention Certificate of Corrections Branch, Commissioner for Patents, P.0. Box 1450, Alexandria,
`VA 22313-1450.
`
`Ifyou need assistance in completing the form, call 1-800-PTO-9199 and select option 2.
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0005
`
`

`
`Electronic Acknowledgement Receipt
`
`19543572
`
`Confirmation Number:
`
`Title of Invention:
`
`MALICIOUS MOBILE CODE RUNTIME MONITORING SYSTEM AND METHODS
`
`First Named Inventor/Applicant Name:
`
`Yigal Mordechai Edery
`
`Customer Number:
`
`115222
`
`Filer Authorized By:
`
`Dawn-Marie Bey.
`
`Attorney Docket Number:
`
`F|NOO01—CON1—C|P1—CON4
`
`Filing Date:
`
`07-NOV-2011
`
`Time Stamp:
`
`14:27:47
`
`Application Type:
`
`Utility under 35 USC 111(a)
`
`Payment information:
`
`Document
`Number
`
`Document Description
`
`File Size(Bytes)/
`Message Digest
`
`Pages
`Multi
`Part /.zip (if appl.)
`
`Request For Certificate of Correction
`
`fin0O01con1cip1con4_execute
`d_requestforcertificateofcorrec
`ti on.pdf
`
`
`
`S6d3a20Za1b9663d2b(8ba54dd85d55eb6b59c0b
`
`Information:
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0006
`
`

`
`Request for Certificate of Correction
`
`_
`_
`_
`p
`fIn0001 con 1 cIp1 con4_certIfIcat
`4
`eofcorrectIon.pdf
`
`150647
`
`(I897 §afflfi3a3rIRRr§aafl(hl'v7 l§7849§fIhaa
`470151
`
`Information:
`
`Total Files Size (in bytes)
`
`240528
`
`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 ofthe 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 of the 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.
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0007
`
`

`
`UNITED STATES PATENT AND TRADEMARK OEEICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COM1\/IISS IONER FOR PATENTS
`P.O Box 1450
`Alexandria. Virginia 22313-1450
`www.uspto gov
`
`APPLICATION NO.
`
`13/290.708
`
`ISSUE DATE
`
`03/18/2014
`
`PATENT NO.
`
`8677494
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`FINOOOI-CONI-CIPl-CON4
`
`41 20
`
`115222
`
`7590
`
`02/25/2014
`
`Bey & Cotropia PLLC (Finjan lnc.)
`213 Bayly Court
`Richmond, VA 23229
`
`The projected patent number and issue date are specified above.
`
`ISSUE NOTIFICATION
`
`Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)
`(application filed on or after May 29, 2000)
`
`The Patent Term Adjustment is 0 day( s). Any patent to issue from the above-identified application will include
`an indication of the adjustment on the front page.
`
`If a Continued Prosecution Application (CPA) was filed in the above-identified application, the filing date that
`determines Patent Term Adjustment is the filing date of the most recent CPA.
`
`Applicant will be able to obtain more detailed information by accessing the Patent Application Information
`Retrieval (PAIR) WEB site (http://pair.uspto. gov).
`
`Any questions regarding the Patent Teim 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://pairuspto. gov for additional applicants):
`
`Yigal Mordechai Edery, Pardesia, ISRAEL;
`Nirrnrod Itzhak Vered, Goosh TelMo11d, ISRAEL;
`David R. Kroll, San Jose, CA;
`Shlomo Touboul, Kefar-Haim, ISRAEL;
`
`The United States represents the largest, most dynamic marketplace in the world and is an unparalleled location
`for business investment, innovation, and commercialization of new technologies. The USA offers tremendous
`resources and advantages for those who invest and manufacture goods here. Through SelectUSA, our nation
`works to encourage and facilitate business investment. To learn more about why the USA is the best country in
`the world to develop technology, manufacture products, and grow your business, visit SelectUSA.gov.
`
`IRl03 (Rev. 10/09)
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0008
`
`

`
`Receipt date: 05/07/201313290708
`Filing Date
`2011-11-07
`First Named Inventor
`EDERY,Yiga|
`
`INFORMATION DISCLOSURE
`S“‘TE“"E””’”""”°““T
`(Not for submission under 37 CFR 1.99)
`
`$290708 ~ QAU: 2431
`
`Docket for Finjan Software Ltd. v. Aladdin Knowledge Systems, Inc., et al., U.S. District
`Court, District of Delaware (Wilmington), Civil Docket No.1 :08-cv-00300-GMS, 5 pp.,
`retrieved on October 24, 2008 from https:||ecf.ded.uscourts.gov/cgi-bin-
`DktRpt.p|?994267838982431—L 567 0-1
`
`Firewall Toolkit (FWTK) 2.0 Beta Release, 1996
`
`International Search Report for Application No. PCT/|LOS|0091S, 2 pp., dated March 3,
`2006
`
`Written Opinion forApplication No. PCT/ILOSI0091S, 8 pp., dated March 3,2006
`(mailing date)
`
`International Search Report for Application No. PCT/IBOI/01138, 3 pp., September 20,
`2002 (mailing date)
`
`International Preliminary Examination Report forApplication No. PCT/IBOI/01138, 2
`pp., dated December 19, 2002
`
`Gerzic, Amer, "Write Your Own Regular Expression Parser," November 17, 2003, 18 pp.,
`Retrieved from the Internet:
`
`http://www.codeguru.com/Cpp/Cpp/cppimfc/parsing/article.php/c4093/
`
`Power, James, "Lexical Analysis," 4 pp., May 14,2006, Retrieved from the Internet:
`http://www.cs.may.ie/~jpower/Courses/compiIers/notes/IexicaI.pdf
`
`Sitaker, Kragen, "Rapid Genetic Evolution of Regular Expressions" [online], The Mial
`Archive, April 24, 2004 (retrieved on December 7,2004), 8 pp., Retrieved from the
`Internet: http://www.maiI-archive.com/kragen-to|@canonica|.org/msg00097.htm|
`
`"Lexical Analysis: DF A Minimization & Wrap Up" [online], Fall, 2004 [retrieved on
`March 2, 200%], 8 pp., Retrieved from the Internet: http://www.ow|net.rice.edu/~comp412/Lectures/L06LexWrapup4.pdf
`
`"Minimization ofDFA" [online], [retrieved on December 7,2004], 7 pp., Retrieved from
`the Internet: http://www.cs.odu.edu/~toida/nerzic/390teched/regular/fa/min-fa.htm|
`
`EFSWeb2.1.17
`
`ALL REFERENCES CONSIDERED EXCEPT WHERE UNED THROUGH.
`
`/GE./’
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0009
`
`

`
`Receipt date: 05/07/201313290708
`Filing Date
`2011-11-07
`
`13290708 ~ QAU: 2431
`
`INFORMATION DISCLOSURE
`S“‘TE“"E””’”""”°““T
`(Not for submission under 37 CFR 1.99)
`
`First Named Inventor
`
`EDERY, Yigal
`
`REVAK, ChristopherA
`Attorney Docket Number
`FINOOO1-CON1-CIP1-CON4
`
`7143444
`
`2006-11-28
`
`Porras, et al.
`
`7210041
`
`2007-04-24
`
`Gryaznov, et al.
`
`7308648
`
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`
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`Edery, et al.
`
`If you wish to add additional U.S. Patent citation information please click the Add button.
`U.S.PATENT APPLICATION PUBLICATIONS
`
`Examiner
`|nitial*
`
`Publication
`Number
`
`Kind
`
`Publication
`
`Name of Patentee or Applicant
`of cited Document
`
`Pages,Co|umns,Lines where
`Relevant Passages or Relevant
`Figures Appear
`
`,
`1
`angc(s) applied
`clocumen
`
`20100195909
`
`2010-08-05
`
`20030014662
`
`2003-01-16
`
`EFSWeb2.1.17
`
`ALL REFERENCES CONSHDERED EXCEPT WHERE UNED THROUGH.
`
`/QR./’
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0010
`
`

`
`Receipt date: 05/07/201313290708
`Filing Date
`2011-11-07
`
`13290708 ~ QAU: 2431
`
`INFORMATION DISCLOSURE
`S“‘TE“"E””’”""”°““T
`(Not for submission under 37 CFR 1.99)
`
`First Named Inventor
`
`EDERY, Yigal
`
`REVAK, ChristopherA
`Attorney Docket Number
`FINOOO1-CON1-CIP1-CON4
`
`5740248
`
`1998-04-14
`
`5740441
`
`1998-04-14
`
`1998-06-02
`
`Van Hoff, et al.
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`5765030
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`
`6
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`5805829
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`Pereira’ J‘ L‘ A‘
`
`5825877
`
`1998-10-20
`
`5832208
`
`1998-11-03
`
`EFSWeb2.1.17
`
`ALL REFERENCES CONSHDERED EXCEPT WHERE UNED THROUGH.
`
`/QR./’
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0011
`
`

`
`Receipt date: 05/07/201313290708
`Filing Date
`2011-11-07
`
`13290708 ~ QAU: 2431
`
`INFORMATION DISCLOSURE
`S“‘TE“"E””’”""”°““T
`(Not for submission under 37 CFR 1.99)
`
`First Named Inventor
`
`EDERY, Yigal
`
`REVAK, ChristopherA
`Attorney Docket Number
`FINOOO1-CON1-CIP1-CON4
`
`56 06668
`
`1997-02-25
`
`5621889
`
`1997-04-15
`
`Lermuzeaux, et al.
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`5623600
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`
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`1997-12-09
`
`Nachenberg
`
`5720033
`
`1998-02-17
`
`5724425
`
`1998-03-03
`
`EFSWeb2.1.17
`
`ALL REFERENCES CONSHDERED EXCEPT WHERE UNED THROUGH.
`
`/QR./’
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0012
`
`

`
`Receipt date: 05/07/201313290708
`Filing Date
`2011-11-07
`
`13290798 ~ QAU: 2431
`
`INFORMATION DISCLOSURE
`S“‘TE“"E””’”""”°““T
`(Not for submission under 37 CFR 1.99)
`
`First Named Inventor
`
`EDERY, Yigal
`
`5361359
`
`Tajalli, et al.
`
`November 1, ;99+
`
`/9/20, 3
`
`5398196
`
`1995-03-14
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`
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`Furtney, et al.
`
`EFSWeb2.1.17
`
`ALL REFERENCES CONSHDERED EXCEPT WHERE UNED THROUGH.
`
`/QR./’
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0013
`
`

`
`13290708 ~ Gi%§5l3;0Q$3{E,,
`ggggggttgate: 05/07/2013
`A
`df
`th
`h 07/31/2012. OMB 0651-0031
`.
`.
`.
`.
`.
`U_S_ Patent and Trazgfizfk O'?;iC”‘:.eU_§_]l|'3gEPARTMENT OF COMMERCE
`Doc description: Information Disclosure Statement (IDS) Filed
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`
`'”F°R""AT'°” °'S°L°S”RE
`STATEMENT BY APPLICANT
`
`(Not for submission under 37 CFR 1.99)
`
`Application Number
`
`13290708
`
`F"in9Daie
`FirstNamed'nvent°r
`2’4:1ga|
`Art Unit
`| REVAK, ChristopherA
`Examiner Name
`Attorney Docket Number
`FIN0001-CON1-CIP1-CON4
`
`U.S.PATENTS
`
`‘ahtent Number
`
`Name of Patentee or Applicant
`of cited Document
`
`Pages,Co|umns,Lines where
`Relevant Passages or Relevant
`Figures Appear
`
`8079086
`
`2011-12-13
`
`4562305
`
`5077677
`
`1991-12-31
`
`5263147
`
`1993-11-16
`
`Francisco, et al.
`
`5278901
`
`January I I, 199+
`
`1994-05-10
`
`5319776
`
`1994-06-07
`
`5359659
`
`1994-10-25
`
`EFSWeb2.1.17
`
`ALL REFERENCES CONSHDERED EXCEPT WHERE UNED THROUGH.
`
`/GE./’
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0014
`
`

`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`IIVTTFIT) STATES T)F'.PAR'I'\IF'.\I'I‘ OF (7OI\’|'IVlF‘.R(‘7FI
`United States Patent and Trademark Office
`Addless. COI\/II\/ITSST0\TFIF‘, FOR PATENTS
`PO BOX1450
`A1exaIIdIia,YI.IgJiia Z2313-1450
`wvi.w.uspto.g0V
`FIRST NAVED APPLICANT
`
`ATTY. DOCKET NO./TITLE
`
`APPLICATION NUMBER
`
`FILING OR 371(C) DATE
`
`13/290,708
`
`11/07/201 1
`
`115222
`
`Yigal Mordechai Edery
`
`FIN 0001-CON 1-CIPI-CON4
`CON FIRMATION NO. 4120
`PUB REQUEST ACCEPTANCE
`
`Bey & Cotropia PLLC (Finjan Inc.)
`
`LETTER
`
`ElfhE%lié,C€X’$3229
`
`llllllllliilliiluglillllllllllllllllllllllliillllillll
`
`Date Mailed: 02/07/2014
`
`NOTICE OF ACCEPTANCE OF PUBLICATION REQUEST
`
`The request for voluntary publication, amended publication, early publication, redacted publication, republication,
`corrected publication or revised publication has been received for this application. The request, including payment
`of any necessary fee(s), is in compliance with 37 CFR 1.215, 1.217, 1.219 or 1.221.
`
`The projected publication date is 05/15/2014.
`
`ldterryl
`
`Office of Data Management, Application Assistance Unit (571) 272-4000, or (571) 272-4200, or
`1-888-786-0101
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0015
`
`

`
`FIN0001-CON1-CIP1-CON4
`
`PATENT
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`In re Application of:
`
`Yigal Mordcchai EDERY, ct al.
`
`Group Art Unit:
`
`2431
`
`Serial No.
`
`13/290,708
`
`Examiner:
`
`Christopher A. Revak
`
`Filed:
`
`For:
`
`November 7, 2011
`
`MALICIOUS MOBILE CODE RUNTIME MONITORING SYSTEM AND METHODS
`
`RE§ QUEST TO APPLY PREVIOUSLY PAID ISSUE FEE PAYMENT
`
`United States Patent and Trademark Office
`
`Customer Service Window, Mail Stop Issue Fee
`Randolph Building
`P.O. Box 1450
`
`Alexandria, VA 22313-1450
`
`Sir:
`
`This document is being filed to request that the issue fee previously paid on September
`
`19, 2013, be applied to the issue fee due by January 27, 2014. The Part B — Fee Transmittal was
`
`recently filed on January 13, 2014 (see attachment A).
`
`On August 29, 2013, a Notice of Allowance was issued on the above application. On
`
`September 19, 2013, the Part B — Fee Transmittal was filed and the issue and publication fees
`
`were paid. The application was withdrawn from issue on October 1, 2013. On October 25,
`
`2013, a second Notice of Allowance was issued. On January 13, 2014, the Part B — Fee
`
`Transmittal was filed.
`
`The undersigned respectfully requests that the previously paid issue fee be applied to the
`
`current Notice of Allowance and the application proceed to issuance. In addition, if any
`
`additional fees are required in connection with this Request, the Commissioner is hereby
`
`authorized to charge the same to Deposit Account 50-6099.
`
`Date: January 23, 2014
`
`By:
`
`/Dawn-Marie Bev — 44 442/
`
`Dawn—Marie Bey (Reg. N 0. 44,442)
`
`Respectfully submitted,
`
`Bey & Cotropia PLLC
`213 Bayly Court
`Richmond, VA 23229
`
`(804) 441-8530
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0016
`
`

`
`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.0. Box 1450
`Alexandria, Virginia 22313-1450
`or @ (571)-273-2885
`through 5 should be completed where
`INSTRUCTIONS: This form should be used for transmitting the ISSUE FEE and PUBLICATION FEE (if required). Blocks 1
`ap ropriate. All further correspondence including the Patent. advance orders and notification of maintenance fees will be mailed to the current correspondence address as
`in icated unless corrected below or directed otherwise in Block 1, by (a) specifying a new correspondence address; and/or (b) indicating a separate "FEE ADDRESS" for
`maintenance fee notifications.
`
`CURRENT CORRESPONDENCE ADDRESS (Now: US: Block 1101 any 0116113: 01 adtllcbsi
`_
`_ 10/23/2013
`_
`(F1Il_]‘cl.Il H10.)
`
`_ 7590
`115222
`Bkly & C0l1'Op1‘cl
`213 Bayly C011“
`Richmond, VA 23229
`
`Note: A certificate of mailin can only be used for domestic mailings of the
`Fee(s) Transmittal. This certi icate cannot be used for any other accompanying
`'1
`papers. Each additional paper, such as an assignment or formal drawing, must
`ave its own certificate of mailing or trans111ission.
`Certificate of Mailing or Transmission
`I hereby certify that this Fee(s) Transmittal is being deposited with the Lnited
`S(tiz(1ites Peistal Sflelrvilele yyitsh Suf§l§)Sl%E1]Epg]S£Eg€§gf
`first glass mailbin an envelope
`a
`resse
`to
`e
`ai
`top
`a
`ress a ove, or
`eing acsimi e
`transmitted to the USPTO (571) 273-2885, on the date indicated below.
`
`Yigal Mordechai Edery
`11/07/2011
`13/290.708
`TITLE OF INVENTION: MALICIOUS MOBILE CODE RUNTITVIE MONITORING SYSTEM AND METHO
`
`FIN0001—CON1—CIP1—CON4
`
`4120
`
`APPLN. TYPE
`
`ENTITY STATUS
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE
`
`PREV. PA ) ISSLE FEE
`
`TOTAL FEE(S) DUE
`
`DATE DUE
`
`UNDISCOUNTED
`nonprovisional
`EXAMINER
`
`$0
`
`$0
`
`$ 1780
`
`$0
`
`01/27/2014
`
`ART UNIT
`
`CLASS-SUB CLASS
`
`REVAK, CHRISTOPHER A
`
`2431
`
`726- 024000
`
`1. Change of correspondence address or indication of "Fee Address" (37
`CF" L363)‘
`3 Chan e of correspondence address (or Change of Correspondence
`Addrcss ("rm PTO/SB/122) attached‘
`3 "Fee Address" indication (or "Fee Address" Indication form
`’TO/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
`(1) the names of up to 3 registered patent attorneys 1 & Cotro la
`or agents OR, alternatively,
`(2) the name of a single firm (having as a member a
`registered 31101116)’ 01' 339111) 31111 1111‘ 11311155 (‘£1113 1_0
`Z_fCg1StCfCd pé11CI1_1 attorneys 01“ agents. If I10 I1aII1C 13
`listed, no name will be printed.
`
`2
`
`3. ASSIGNE3 NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
`If an assignce is identified below. the document has been filed for
`DLEASE NOTE: Unless an assignce is identified below. no assignee data will appear on the patent.
`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)
`
`Finjafl, THC.
`
`VVilmington, DE
`
`Please check the appropriate assignee category or categories (will not be printed on the patent) : D Individual E Corporation or other private group entity D Government
`
`4a. The following fee(s) are submitted:
`3 Issue Fee
`3 Publication Fee (No small entity discount permitted)
`3 Advance order — # of Copies
`
`4b. Payment of Fee(s): (Please first reapply any previously paid issue fee shown above)
`3 A check is enclosed.
`3 Payment by credit card. Form PTO—2038 is attached.
`E The Director is hereby authorized to charge t'h_e
`,
`'
`overpayment, to Deposit Account Number
`2!
`
`cl fee(s). any deficiency. or credit any
`(enclose an extra copy of this form).
`
`PTOL—85 (Rev. 02/11)
`
`Page 2 of 4
`ATTACHMENT A
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0017
`
`

`
`5. Change in Entity Status (from status indicated above)
`3 Applicant certifying micro entity status. See 37 CFR 1.29
`
`NOTE: Absent a valid certification of Micro Entity Status (see form l’TO/SB/ 15A and 15B), issue
`f
`ee payment in the micro entity amount will not be accepted at the risk of application abandonment.
`NOTE: If the application was previously under micro entity status, checking this box will be taken
`to be a notification of loss of entitlement to micro entity status.
`NOTE: Checking this box will be taken to be a notification of loss of entitlement to small or micro
`entity status, as applicable.
`NOTE: The Issue Fee and Publication Fcc (if rcquircd) will not be accepted from anyone other than the applicant; a rcgistcrcd attorney or agent; or the assignce or other party in
`interest as shown by the records of the United States Patent and Trademark Office.
`
`3 Applicant asserting small entity status. See 37 CFR 1.27
`
`3 Applicant changing to regular undiscounted fee status.
`
`Authorized Signature
`
`/Dawn—Marie Beyf
`
`Date
`
`January 13, 2014
`
`Registration No.
`DaWn'Marie Bey
`Typed or printed name
`This collection of information is required by 37 CFR 1.311. The information is re uired to obtain or retain a benefit by the public which is to file (and by the USPTO to process)
`an application. Confidentiality is governed by 35 U.S.C. 122 ai1d 37 CFR 1.14. T is collection is estimated to take 12 n1inutes to complete, including gathering, preparing, and
`submitting the completed application form to the USPTO. Time will V
`dc endin upon the individual case. Any comments on the amount of time you require to complete
`this form and/or su gestions for reducing this burden, should be sent to
`e Chief In ormation Officer, US. Patent and Trademark Office, US. Department of Commerce. PO.
`Box 1450, Alexan ria, Virginia 22313-1450. DO NOT SEND FEES OR COMPLETED FORVIS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450,
`Alexandria, Virginia 22313-1450.
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection ofinformation unless it displays a valid OMB control number.
`
`PTOL—85 (Rev. 02/11) Approved for use through 08/31/2013.
`
`A US. Patent and Trademark Office; US. DEPARTMENT OF COMMERCE
`
`Page 3 of 4
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0018
`
`

`
`Electronic Acknowledgement Receipt
`
`18002591
`
`Confirmation Number:
`
`Title of Invention:
`
`MALICIOUS MOBILE CODE RUNTIME MONITORING SYSTEM AND METHODS
`
`First Named Inventor/Applicant Name:
`
`Yigal Mordechai Edery
`
`Customer Number:
`
`115222
`
`Filer Authorized By:
`
`Attorney Docket Number:
`
`F|NOO01—CON1—C|P1—CON4
`
`Filing Date:
`
`07-NOV-2011
`
`Time Stamp:
`
`13:38:58
`
`Application Type:
`
`Utility under 35 USC 111(a)
`
`Payment information:
`
`Document
`Number
`
`Document Description
`
`File Size(Bytes)/
`Message Digest
`
`Pages
`Multi
`Part /.zip (if appl.)
`
`Issue Fee Payment (PTO-85 B)
`
`fin0O01con1cip1con4_execute
`d_requesttoapplypreviouslypai
`d issuefee.pdf
`
`225049
`
`
`
`l273c7e4e4a6c118408c1b71cl2e47d66702e7Db
`
`Information:
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0019
`
`

`
`Total Files Size (in bytes)
`
`225049
`
`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
`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 of the 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.
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0020
`
`

`
`‘
`
`'
`
`PARTB'-FEE(S)TRANSMITTAL
`
`A
`
`.
`
`»
`
`"H
`
`i
`
`-.
`
`" ’
`
`3
`
`= Complete and send this fomi, together with applicable l'ee(s), to: Mail Mail Stop ISSUE FEE .
`-
`-
`Commissioner for Patents
`'
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`or Em: (571)-273-2885
`
`lNS’l‘Rl_JC'l‘lONS: This form should be used for transmitting the ISSUE FEE and PUBLICATION FEE (if required. Blocks I
`through 5 should‘be completed where
`ap ropriate. All further correspondence including the Patent, advance orders and notification of maintenance fees will
`e mailed to the current corres ondence address as
`in icated unless corrected below or directed otherwise in Block 1, by (a) specifying a new correspondence address; andlor (b) indicating a separate "
`E ADDRESS" for
`maintenance fee notifications.
`.
`
`-
`-
`.CVRREN'1'C°RRFSP°NDENCE ADDRESS (Now U==B1°°k1f°Hv>'¢h=nse°fnddr=st)
`
`‘
`
`1
`i
`'
`'°’25’2°'3
`759°
`‘ mm
`Bey & Cotropia PLLC (Finjan Inc.)
`21_3 B3Y]Y C°“"‘
`'
`Richmond, VA 23229
`
`.
`
`Note: A certificate of mailing can only be used for domestic mailings oi‘ the
`Fee(s) Transmittal. This certi icate cannot be used for any other accompanying '
`apers. Each additional paper. such as an assignment or formal drawing, must
`ave its own certificate of mailing or transmission.
`'
`I
`Certificate of Mailing or Transmission
`Iliereb certif
`that this Fee s Transmittal is being deposited with the United
`séadtrecs
`«Ester
`ue‘rvi}<‘:/Ie Vi/ilsh su pl<_3sEtEge§gr om gass maiibien an tenvelorie
`a
`sse
`to
`e
`ai
`to
`a
`ress :1
`ve, -or mg acsimi e
`transmitted to the USPTO ( 71) 273-2885, on the date indicated below.
`(Dcptximfa iiainc)
`
`'
`
`(Sigriatnre)
`
`Yigal Mordcchai Edery
`11/07/2011
`I3/290,708 4
`’
`rim; or INVENTION: MALICIOUS MOBILE coma RUNTIME MONITORING SYSTEM AND METHODS
`
`FlN000l-CONI-4CIP1—CON4
`
`‘
`
`'
`
`'
`
`'
`
`.
`
`’
`
`I
`
`'
`
`APPLN. TYPE
`
`I
`
`‘ ENTITY STATUS
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE
`
`PREV. PAID ISSUE FEE
`
`nonprovisional
`
`’ UNDISCOUNTED
`
`so
`
`$l 780
`
`. TOTAL FEE(S) DUE
`$0
`.
`
`DATE DUE
`
`Ol/27/2014
`
`" REVAK. CHRISTOPHER A
`1. Chan e of correspondence address or indication of "Fee Address" (37
`.CFR 1' 63)‘
`'
`Cl Chan e ofcories
`ndence address (or Change of Correspondence
`‘ Address orm l’I‘O/ B/ 122) attached.
`El "Fcc Addrcss".indication (or "Foe Address" Indication form
`‘ PTO/SB/47; Rev 03-02 or more recent) attached. Use of a Customer
`Number is required.
`
`,
`
`CI-ASS-Sm?-ASS
`726024000
`2. For printing on the patent front page, list
`(1) the names of up to 3 registered patent attorneys
`or agents OR, alternatively,
`(2) the name ofn 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
`listed, no name will be printed.
`
`1 Be & Cotro 1a_ PLLC
`
`2
`
`3
`
`3. ASSIGNEE NAME AN RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
`PLEASE NOTE: Unless an a éilgnec is identified below, no assignee data will appear on the patent. If an assignce is identified below. the document has been filed for —
`I_’ECDl'da|I0l1l1S set forth in 37 C
`3.11. Completion of this form is NOT a substitute for filing an assignment.
`I
`V
`_
`-'
`.
`‘
`(A) NAMEOF ASSIGNEE
`'
`'
`'
`(E) RESIDENCE: (CITY and STATE OR COUNTRY)
`I
`
`_
`Wilmin