DECEMBER 04, 1998
`
`mm 8: ms
`MARC A. SOCKOL
`600 HANSEN WAY
`PALO ALTO, CALIFORNIA 943044043
`
`' UNITEIL arm DEDAFITMENT OF CUMMEQCE
`Patent". and Trademark Office
`£3S1ST.QI'\1T §(j7\‘ET.5\RY AND U:}|'\/'l.U1I.r-1'§|D|\.I:H
`DF PATENTS AND TRADEMARKS
`W3sHngL0n, DC 30231
`
`llllllllilfilllflllllllllllfilllllflflfllllllllllfllllll
`*lO0804628A*
`
`I
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`NOTICE OF RECORDATION OF ASSIGNMENT DOCUMENT
`
`THE ENCLOSED DOCUMENT HAS BEEN RECORDED BY THE ASSIGNMENT DIVISION
`OF THE U.S. PATENT AND TRADEMARK OFFICE.
`A COMPLETE MICROFILM COPY IS
`AVAILABLE AT THE ASSIGNMENT_SEARCH ROOM ON THE REEL AND FRAME NUMBER
`REFERENCED BELOW.
`
`THE
`PLEASE REVIEW ALL INFORMATION CONTAINED ON THIS NOTICE.
`INFORMATION CONTAINED ON THIS RECORDATION NOTICE REFLECTS THE DATA
`PRESENT IN THE PATENT AND TRADEMARK ASSIGNMENT SYSTEM.
`IF YOU SHOULD
`FIND ANY ERRORS OR HAVE QUESTIONS CONCERNING THIS NOTICE, YOU MAY
`CONTACT THE EMPLOYEE WHOSE NAM APPEARS ON THIS NOTICE AT 7D3~308-9723.
`PLEASE SEND REQUEST FOR CORRECTION TO: U.S. PATENT AND TRADEMARK OFFICE,
`ASSIGNMNT-DIVISION} BOX ASSIGNMNTS, CG-4, 1213 JEFFERSON DAVIS HWY,
`SUITE 320, WASHINGTONf D.C. 20231.
`
`RECORDATION DATE: 08/17/1998
`
`REEL/FRAME: 9402/0752
`NUMBER OF PAGES:
`3
`
`BRIEF: ASSIGNMNT OF ASSIGNOR'S INTEREST (SEE DOCUMENT FOR DETAILS).
`ASSIGNOR:
`
`TOUBOUL, SHLOMO
`ASSIGNEE:
`
`FINJAN SOFTWARE, LTD.
`GIEORAI
`ISRAEL STREET
`NETANYA,
`ISRAEL 42504
`
`DOC DATE: 07/07/1998
`
`SERIAL NUMBER: 03954388
`PATENT NUMBER:
`
`FILING DATE: 11/0611997
`ISSUE DATE:
`
`LAWAN FLETCHER, EXAMINER
`ASSIGNMENT DIVISION
`OFFICE OF PUBLIC RECORDS
`
`mares ENTERED; N C
`
`U H
`
`DEC 15 898
`
`CALENDARED
`
`B QEDFE
`
`RNY
`GRAHAM 1.
`
`A
`
`.
`
`‘
`
`FJN 013155
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`SOPHOS
`EXHIBIT 1004 - PAGE 0634
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`

`
`(FRORMB :30 ‘595 lM°d“'EGl
`
`08 - 27 — 1 998
`,,_
`
`D"c.l< i N , ~tO492.00002 5:8
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`-‘T
`U S DEPARIMENT OF COMMERCE
`”‘
`
`7
`Y
`7
`100804528
`V
`Tab sewnas-> + + V
`To the Honorable Commissioner of Patents and Trademarks: Please record the attacheclgriginal documents or copy thereof.
`1 1. Name ofconveying patty/(ies):
`' 2. Name and address of receiving party(ies):
`Shlome Touboul
`
`Name; Finian Software, _I:._td.
`
`Add;-953; Giborai Israel Street
`
`Additional names(s) of conveying paity(iesJ
`
`Cl Yes 3 No
`
`3. Nature of conveyance:
`
`8 Assignment
`
`D Merger
`
`El Security Agreement
`CI Other
`
`Execution Date: 7/07/98
`
`Cl Change of Name
`
`City: Netfln =1 0
`Country: Israel
`
`_ State/Prov;
`ZIP; 43504
`
`.r
`
`i Additional name(5) & address(es)
`
`4. Application nurnber(s) or registration numbers(s):
`If this document is being filed together with a new application, the execution date of the application is:
`
`Patent Apptication No.
`
`Filing date
`
`B. Patent No.(s)
`
`G8/964,388
`
`I 1/06/97
`
`Cl Yes 8 No
`Additionalnurribers
`.
`.
`.
`'
`5. Name and address of party to whom correspondence
`6. Total number of apptacalzons and patents involv
`wncemmg document should be maiied:
`7. Total fee (37 CPR 3.41):................__$
`49,09
`=Nam~‘-‘I Ma" A S°"“°'
`R3955’-"aim" N0 ——.j~.:j_ E Enclosed - Any excess or insufficiency should be
`.
`AddreSS_ Graham & James L”,
`credited or debited to deposit account
`
`ed
`.
`
`-
`
`599 Hansen way
`
`Cl Authorized to be charged to deposit account
`
`City: PM0 A103
`
`country; USA
`
`StatelF'ro\i.: CA
`
`zip; 943t]4~l043
`
`8. Deposit account number:
`
`05-0150
`
`§
`
`DO NOT USE THIS SPACE
`
`9. Statement and signature.
`To the best of my knowledge and belief, the foregoin i ormati n is t e n
`of the original document.
`
`Marc A. Socket, Reg. No. 40,823.
`
`Name of Person Signing
`
`FJN 013156
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0635
`
`

`
`ASSIGNMENT
`
`Attorney Docket No. 40459200002
`
`(1-8)
`
`Insert Name(s) of Inventor{s)
`
`(1) Shlorno Touboul
`
`S
`
`For good and valuable consideration receipt of which is hereby aclcnowiedged, the undersigned agree(s) to assign, and
`hereby dc(es) assign, transfer and set over to:
`
`(9) Insert name ofAssignee
`
`(9)
`
`(10)
`
`insert‘ state cffnoorporation
`of Assignee
`
`(10) Israel
`
`(1 1)
`
`Insert address ofAssignee
`
`(11)Giborai Israel Street, Netania Israel @504
`{hereinafter designated as the Assignee) the entiretworldwide right.
`interest in the invention known as
`
`title and
`
`(12)
`
`Insertldenbfieafion of
`Invention, such as File,
`Case Number or Foreign
`Application Number
`
`(12) SYSTEM 5ND METHOD FOR PROTEC MG A COMPUTER AND A
`NETWOBK FROM HOSTILE DOWNLOADABLES
`(Case No.‘4049Z0O0O2} (Serial No. 08I964.38B) for which the undersigned has
`(have) executed an application for patent in United States ofA:-neriw
`
`(13)
`
`Insertbataofsigningor
`Application
`
`(13)on
`
`Hav 13,
`
`lagg
`
`1) The undersigned agree(s) to execute all papers necessary in connection with the appfuaalion and any
`confirming or dhrisional applications thereof and also to execute separate assignments in connection with such applications
`as the Assignee may deem necessary or expedient
`
`2)" The undersigned agree(s} to execute all papers necessary in connection with any interference which may be
`deciaredconoerning this application or continuation or division thereof and he cooperate with the Assignee in every way
`possible in obtaining evidence and going forward with such interference.
`
`3) ‘ The undersigned agree(s) to execute all papers and documents and perform any act which may be
`necessary ll‘! connection with ciaims or provisions of the lntemationai Convention for Protection of Industrial Property or
`similar agreements.
`
`The undersigned agree(s) to perform all affirrnative acts which may be necessary to obtain a grant of a varad
`4)
`_
`United States patent to the Asstqnee.
`
`FJN 013157
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0636
`
`

`
`The undersigned hereby aul‘norize(s) and requestis) the Commissioner of Patents and me duly constituted
`S)
`authorities or foreign countries to issue any and all Letters Patents resulting from said application or any division or
`divisions or continuing or reissue apprications thereof to the said Assignee. its successors and assigns. as Assignee of the
`entire right. title and interest and hereby covenants that he has (they have) full right to convey the entire interest herein
`assigned. and that he has {they have) not executed and will not execute. any agreement in comic: herewith.
`
`6)
`
`The undersigned hereby grants)
`David L Fehrman. Reg. No. 23,600; David L Henry, Reg. No. 31.323; William J. Robinson. Reg. No.
`29,430; Stuart L Merkadeau. Reg. No. 33.262: David B. Abel Reg. No. 32.394: l-frsalco Muramatsu. Reg.
`No. 34.955; Bnan M. Berliner. Reg. No. 34.549: David J. Meyer. Reg. No. 33.425;; Wncent J. Belusko.
`Reg. No. 30.820; Minda Sczhechter, Reg. No. 38,296; Wrlliam G. Anderson, Reg. No. 27,851: Victor De
`Gyarfas, Reg. No. 40.583; Dennis R. Gailaghen Reg. No. 42,563: Jonathan L Petrit. Reg. No. 40,770;
`Wayne Smith, Reg. No.42.160‘. Lawrence W. Granateiii. Reg. No. 32.228; Laura A Majerus. Reg. No.
`33.417: Joseph K. Hollinger Reg. No. 40.649; Jonathan T. Kapian Reg. No. 38,935; Marc A. Soc!-(oi Reg.
`No. 40,323 :lan Cartier Reg. No. 38.406; Linda Beach Reg. No. 36.446.
`
`the power to inset! on this assignment any further idenblicabbn which may be necessary or desirable in order to comply
`with me rules of the United States Patent and Trademark orroe for reoordation of this document
`
`-
`
`"3'"lj)_-i Q 2
`
`Dare
`
`0312
`
`Date
`
`D3‘!
`
`7
`
`Name orrnuentm-rs)
`
`Name of lmrentor(s)
`
`Name of lnvenIor(sJ
`
`Name oi lnvenlorts)
`Name cl |nventor(s)
`
`Treiao
`
`131J'135'34D.D‘I .00
`0R9§&l‘|S43I40492.00002
`
`Tnmr
`
`1:: ma
`
`FJN 013158
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0637
`
`

`
`EXPRESS MAIL LABEL NO: EL515155991LlS
`
`PATENT
`Docket No.: 4049200011
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`.
`
`Examiner: Unassigned
`
`Art Unit:
`
`Unassigned
`
`In Re Application of:
`
`Shlomo Touboul
`
`Serial No. Unassigned
`
`Filed:
`
`Unassigned
`
`For: SYSTEM AND METHOD FOR
`PROTECTING A COMPUTER AND A
`NETWORK FROM HOSTILE
`DOWNLOADABLES
`
`Box Patent Application
`Assistant Commissioner for Patents
`
`Washington. DC. 20231
`
`Dear Sir:
`
`
`
`With reference to the subject application, and pursuant to 37 CFR. § 1.136,
`
`Applicant(s) hereby authorizels) and request(s) the Commissioner to treat any
`
`correspondence requiring a petition for extension of time as containing such a request
`
`therefor for the appropriate length of time. This general authorization is effective during
`
`the pendency of this application, including any division or continuing application
`
`therefrom.
`
`131/201261.01
`033000/1007/4o4s2.0ou11
`
`FJN 013159
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0638
`
`

`
`EXPRESS MAIL LABEL NO: EL515155991US
`
`PATENT
`Docket No.'. 4049200011
`Where no check is received by the Commissioner, you are hereby authorized to
`
`charge payment of the requisite petition fees, or charge any additionai fee required
`
`under 37 C.F.R. § 1.17, or credit any overpayment of same, to Deposit Account
`
`No. Di-_QJfl.
`
`Date: /~1t-«Z 30 3°35
`
`Graham & James LLP
`
`600 Hansen Way
`Paio Alto, CA 943044043
`Telephone: (650) 856-6500
`Facsimile:
`(650)856-3619
`
`Respectfulfy submitted,
`
`By: Marc A. Sockoi
`Attorney for AppJicant(s)
`Registration No: 40,823
`
`131/201251 . 01
`033000/1007/40492 . 00011
`
`FJN 013160
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0639
`
`

`
`\
`
`' UNITED STATES
`PATENT AND
`r
`, #3; TRADEMARK OFFIC =
`
`United States Patent And Trademark Office
`
`
`Date:
`
`4/ 1/03
`
`SQUIRE. SANDERS & DEMPSEY L.L.P
`
`600 HANSEN WAY
`
`PALO ALTO CA 94304-1043
`
`To:
`
`Applicant of Serial Number 09539567
`
`Commissioner For Patents
`
`United States Patent And Trademark Office
`
`Washington, D.C. 20231
`
`Mvw.usDt0.90v
`
`D.-RT‘ESEf‘&TEFlED__.—-----—s-—--—:
`
`
`
`——-"**“”T—‘Fgm“; my
`
`APR «s 20:13
`
`CALENDARED
`
`av_
`ATToRNEv.....____——-——-—-——-—-
`SQUIRE. SANDERS 8- DEMPSEY
`
`We currently project that it will be more than 15 months before this application
`will receive a First office action. This is because the application is classified in a
`technology that has experienced a large flling rate growth over the last few years.
`The Offlce is addressing the growth by adjusting examination resources accord-
`ingly. You may wish to consult the MPEP (708.02) to see if filing a petiljon to make
`special is appropriate.
`
`Customer Service Office in Technology Center: 09534
`
`Phone Number: 703-306-5631
`
`FAX Number:
`
`703-746-7240
`
`Applicant/Attorney Contact Information:
`
`Telephone: (650)856-6500
`
`Fax: (650)843-3777
`
`FJN 013161
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0640
`
`

`
`' UN [TED
`I PATENT AND
`t « fr TRADEMARK OFHC
`
`United States Patent And Trademark Office
`-1un
`Commissioner For Parents
`United States PatentAndTradema:k Office
`Washington, DE. 20231
`
`Date:
`
`4/1/03
`
`mmuSpm'g°v
`
`SOUIRE, SANDERS 81 DEMPSEY L.L.P
`
`600 HANSEN WAY
`
`PALO ALTO CA 94304-1043
`
`DATES ENTERED
`
`
`
`——"*"‘—"'—7—W; g<~c:A7/cg
`
`APR -8 ZIJB3
`
`CALENDARED
`
`To:
`
`Applicant of Serial Number 09539667
`
`Bl’ —~—-~——e-~<‘=‘='-f—----
`ATTORNEY ....—.-.—------—-----------'—-
`SQUIRE, SANDERS 3i DEMPSEY
`
`We currently project that it will be more than 15 months before this application
`will receive a first office action. This is because the application is classified in a
`technology that has experienced a large filing rate growth over the last few years.
`The Office is addressing the growth by adjusting examination resources accord-
`ingly. You may wish to consult the MPEP (?08.02) to see if filing a petition to make
`special is appropriate.
`
`Customer Service Office in Technology Center: 09534
`
`Phone Number: 703-305-5631
`
`FAX Number:
`
`703-746-7240
`
`Applicantffilttorney Contact Infonnation:
`
`Telephone: (650)856-6500
`
`Fax: (650)843-8777
`
`FJN 013162
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0641
`
`

`
`Date Mailed: March 17, 2593
`SeriaiNo.: 0915391367
`Applicant: Shloma Touboul
`
`:
`
`PTO DATE STAMP:
`Docket No; 4342600011
`
`SYSTEM AND METHOD FOR PROTECTING A COMPUTER AND A NETWORK FROM HOSTlLE
`Trtle:
`DOWNLOADAELES
`The following has been received in the U.S. Patent Office on the date stamped hereon:
`Cl Patent Application __ Pages __ Claims
`I:I Amendment/Response
`Cl Drawings informal _ Sheets
`Cl Petition for Extension of Tune
`I] General Authorization I Request to Petition for Extensions of Time
`1:] OathiDeclarationi’Power of Attorney (signed}
`E Transmittal Form
`D Assignment 8. Recordation Cover Sheet
`I3 Fee Transmittal for FY 2003 (in duplicate)
`D Verified Statement Claiming Small Entity Status
`[:1 Appeal Brief (in triplicate)
`E] Continued Prosecution Application (§1.53(d)
`Cl Issue Fee Transmittal with F'TO—B5b
`C] Provisional Application _______ Pages
`Cl Copy of PTO-1533. Notice to File Missing Paris
`Cl Design Application __ Pages __ Drawings
`Cl info. Disclosure Statement 5. PTO-1449/Refs H_
`Request for Status of/Application
`Cl Request to Correct Filing Receipt
`D Check No.
`for 3
`CI Check No. for S
`[3 Other:
`
`E Cenificatels) of First Class Mailing
`
`u s DEPARTMENT OF commence
`PATENT/TRADEMARK OFFICE
`WASHINGTON, Do. 20231
`
`squire, Sanders & Dempsey L.L.F!
`eoo Hansen way. SW9 100
`Palo Alto. CA 94304-1043
`
`IliiuilulnlliilmllulmlilliiIIIulnllillmlhimlill
`
`FJN 013163
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0642
`
`

`
`Please type a plus sign (+) inside this box ———>
`
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`Approved for use through 10r31r2002. OMB 055100031
`U.S. Patent and Trademark Office: US. DEPARTMENT OF COMMERCE
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`
`TRA”3M'TTA'-
`Fwamedtnventor
`FORM
`(to be used for all‘ correspondence afterinitial filing)
`E<am0‘=r~000
`00°mev0°0ke*N0m00r
`40420-00010
`ENCLOSURES Check all that a I I
`
`El Assignment and Recorclation Cover
`Sheet (W M Appmaon)
`CI Drawing(s)
`Sheets
`.
`.
`-
`CI Licensing retated Papers
`E] Petition
`D Request for Continued Examination
`
`D P°W9’ °”‘"°'“"5’
`
`E] Tenninal Disclaimer
`
`C] Request for Refund
`D co, Number of CD(s
`
`)_._
`
`1:] Request to Correct Filing Receipt
`
`8 :gg::Lc:l::jn::‘:iff:::?C§’SB°ard of
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`(App8a',ND“CeV Bnm Remy Bnefl
`E Return Postcard
`
`E Request for Status of Application
`
`C} Other Encrosurerjs)
`(please rderifify below):
`
`D Fee Transmittal Form (in duplicate)
`E] Amendment! Response
`‘1
`D With RLE
`D After Final
`
`[3 AffidavitsldacIaration(s)
`
`El Extension of Time Request
`(in duplicate)
`
`D
`
`Referencetsl
`
`E] D8 and Form 1449
`[:1 Certified Copy of Priority
`
`Document(5)
`
`E] Response to Missing Parts.’
`Incomplete Application
`
`D Declarationfoath
`
`_
`Of
`Hm
`lrtdrviduat name
`
`SIGNATURE OF APPLICANT, ATTORNEY, OR AGENT
`Marc A. Sockol, Reg. No. 40,623
`Squire, Sanders & Dempsey, LLP,
`500 Hansen Way
`
`CERTIFICATE OF MAILING
`
`I hereby certify that this correspondence is being deposited with the United States Postal Service as first class mail in an envelope
`addressed to: Assistant Commissioner for Patents. Washington, DC. 20231 on this date:
`Typed or printed name
`
`FJN 013164
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0643
`
`

`
`PATIENT
`Attorney Docket No: 4342600011
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`q
`.
`LERTIEIQA l E QF Mall INQE
`
`I hereby certify Lhat this paper (along with any paper referred to as hemg attached or enclosed) is being deposited with the
`United States Postal Service on the date shown below with sufficient postage as first class mail in an envelope addressed to
`Commissioner for Patents, Washington, DC. 2.0231, on
`
`Date: 9‘ I7 ‘J-CO3
`
`In Re Application Of:
`
`5 Examiner:
`
`Shlorno Touboul
`
`Serial No;
`
`09/539,667
`
`Filed:
`
`March 30, 2000
`
`For:
`
`SYSTEM AND METHOD FOR
`PROTECTING A COMPUTER AND A
`NETWORK FROM HOSTILE
`DOWNLOADABLES
`
`Commissioner tor Patents
`
`Washington, DC. 20231
`
`REQUEST FOR STATUS OF APPLICATION
`
`Sir:
`
`Applicant requests the status of the above-identified patent application. Applicant
`has not received a communication from the US. Patent and Trademark Ofiice since
`
`receiving a corrected filing receipt mailed September I3, 2002.
`
`Should the Examiner have any questions regarding this matter, please contact the
`
`undersigned at the telephone number shown below.
`
`Date: 3 “I 2-0 3
`
`Respectfully submitted,
`
`SQUIRE. SANDERS & DEMPSEY L.L.P.
`600 Hansen Way
`Palo Alto, CA 94304~l043
`Telephone (650) 8566500
`Facsimile (650) 843—8777
`
`Marc A. Soclcol, Esq.
`Attorney for Applicant
`Registration N0.: 40,823
`
`In re Toubou.’
`US. Appln. N0; 09.’539,667
`
`FJN 013165
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0644
`
`

`
`FJN 013166
`
`A Jican st
`
`hfom T uboul
`
`Tlttet
`
`SYSTEM AND METHOD FOR PROTECTING A COMPUTER AND A NETWORK FROM HOSTILE
`QQWNLQAEQ.-RBL,§_Sk
`
`The following has been received in the U.S. Patent Office on the date stamped hereon:
`:1 Patent Application __ Pages _ Claims
`D Amendmentmesponse
`Ct Drawings Formalflnformat
`Sheets
`D Petition for Extension of Time
`D General Authorization 1 Request to Petition for Extensions of Time
`[:1 Oath/DectarationlF'ower of Attorney
`E Transmittal Form
`El Assignment 8. Recordation Cover Sheet
`Ci Fee Transrnirtat for FY 2003 {in duplicate)
`C3 Verified Statement Claiming Srnait Entity Status
`:1 Notice of Change of Attomay Docket Number
`1:] Continued Prosecution Application
`D issue Fee Transmittat
`(§1.53(d) CPA - in duplicate}
`with PTO-85b Drawings
`D Design Application __ Pages H Drawings
`C] tnfo. Disclosure Statement & PTO~1449rRef5
`D Status Letter
`U Request for Corrected Filing Receipt
`E Other. Associate Power of Attorney
`E! Certificate(5) of First Class Matting
`
`_
`U.S. Pr’}S'E'.S(;E if
`11'
`3:!’
`
`W1
`
`’s
`
`U.S DEPARTMENT OF COMMERCE
`PATENT/TRADEMARK OFFICE
`WASHINGTON, DC. 20231
`
`*4
`C53,‘
`»
`.~;METER 71101?/-.
`Squire, Sanders & oe}pse'y”"L.L.P.
`E00 Hansen Way, Suite 100
`Pato Aito, CA 94304-1043
`
`IlilmlulnllilhIitlulmlillmllulnllrllmllnmlull
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0645
`
`

`
`Please type a plus sign (+l inside this box ~—>
`
`PTO.’SB/'21 (08430)
`Approved foruse through ‘l0l31:‘2002. one oesmoai
`US. Patent and Trademark Office: US. DEPARTMENT OF COMMERCE
`Under the Paperwoxk Reductioe-iAct of1995. no persons are required to respond to a ooile-coon of information unless rtdlsplaya a vaid OMB control number
`
`TRANSMWTAL
`
`[to be used for all‘ conesponderice afteri'ni'tial filing)
`
`First Named Inventor
`
`4342600011
`
`1:] Request to Correct Filing Receipt
`D Appeal Communication to Board of
`Appeals and interferences
`C] Appear Communication to Group
`l:AppeaI~M.ca Brief, RBWBHW
`E Return Postcard
`
`1:] Status Letter
`
`D other Endosums)
`{please identify befow):
`
`Total Number of Pages in This Submission
`
`Attorney Docket Number
`ENCLOSURES check all that a I
`1:} Fee Transmit“! Form (in duplicate) D igiziepppgerauirgilfigrcfnadamn Cover
`.
`E] Amendment I Response
`I:] Drawing(s) __ Sheets
`.
`A
`—
`_
`E] wnn RCE
`D Licensing related Papers
`D After final
`U Petifion
`D Request for Continued Examination
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`[:1 Affidavitsldeclaratiori(s)
`
`E Associate Power offilttorney
`
`E] Terminal Disclaimer
`
`D Request for Refund
`D co. Number of CD(s)
`
`|:] Exiansion of Time Requem
`(in duplicate)
`
`[:3
`
`Referencelsl
`
`Ci IDS and Form 1449
`C] Certified Copy of Priority
`Document(s}
`
`E] Response to Missing Parts.’
`incomplete Application
`
`D Declaration.~'Oath
`
`SIGNATURE OF APPLICANT, ATTORNEY, OR AGENT
`Marc A. Socket, Reg. No. 40,823
`Squire, Sanders 8. Dempsey. LL.P.
`500 Hansen way
`Paio Alto, CA 94304-1043
`I
`
`._
`
`or
`Fm“
`individual name
`
`Signature
`
`CERTIFICATE OF MAILJNG
`
`I hereby certify that this correspondence is being deposited with the United States Postal Service as first class mail in an envelope
`addressed to: Assistant Commissioner for Patents, Washington. D.C. 20231 on this date:
`February 13. 2003
`W °'v“"=°d W
`Signature
`I
`Date
`Febmary 13, 2003
`Burden Hour Statement: This ionn is estimaed to e 0. hour to complete. ‘Fme wilt vary depending upon the needs of the individual case. Any
`comments on the amount of time you are required to complete this form should be send to the Chiet Intorrnation Officer, US‘ Patent and Trademark
`Office, Washington, DC 20231. 00 NOT SEND FEES OR COMPLETED FORMS TO THES ADDRESS. SEND TO: Assistant Commissioner for
`Patents, Washington. DC 20231
`
`FJN 013167
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0646
`
`

`
`Attorney Docket No.: 4342600011
`
`PATENT
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`TIFI
`
`’ F
`
`I hereby certify that this paper (along with any paper referred to as being attached or enclosed) is hen-ng deposited with the United
`States Postal Service on the date shown below with sufficient postage as first class mail in an envelope addressed to Commissioner fut
`Patents, Washington, D.C. 20233, on
`
`pm;
`
`8 ‘/3 «.2 £223
`
`In re Application of:
`
`Shlorno Touboul
`
`Serial No.:
`
`09/539,667
`
`213]
`
`Filed:
`
`Title:
`
`March 30, 2000
`
`SYSTEM AND METHOD FOR
`PROTECTING A COMPUTER AND
`A NETWORK FOR HOSTILE
`DOWNLOADABLES
`
`Commissioner of Patents
`
`Washington, DC 20231
`
`Sir:
`
`ASSOCIATE POWER OF ATTORNEY
`
`P-lease recognize the following attorney as an associate attorney in the above-referenced
`
`application:
`
`Marc A. Berger, Reg. No. 44,029.
`
`Page 1 of2
`
`FJN 013168
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0647
`
`

`
`Attorney Docket No; 4342600011
`
`PATENT
`
`Please continue to address all correspondence and communications to:
`
`Marc A. Sockol
`Customer No. 30256
`
`Squire, Sanders & Dempsey L.L.P.
`600 Hansen Way
`Palo Alto, CA 94304-1043
`650-856-6500
`
`Dated: (>2 "'
`
`"O: 5
`
`Respectfully submitted
`
`Squire, Sanders & Dempsey L.L.P
`
`600 Hansen Way
`Palo Alto, CA 94304-1043
`Tel (650) 856-6500
`Fax (650) 843-8777
`
`Pa1eAJt0 Doc #: 49230vl
`
`M’
`
`By:
`
`Marc A. Sockol
`Attorney for Applicant
`Registration No. 40,823
`
`FJN 013169
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0648
`
`

`
`Page 1 of2
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`APPLICATION NUMBER
`O9/539,667
`
`FILING DATE
`03/30/2000
`
`GRP ART UNIT
`2131
`
`30255
`SQUIRE, SANDERS & DEMPSEY L.L.P
`2ii3*:ii§~gx2:3o.-,m
`
`FIL FEE REC'D A'|'l'Y.DOCKET.NO DRAWINGS
`40
`4049200011
`10
`2
`
`CDlvlMtS5lCINER FOR PATENTS
`Uwrso STATES PATENT AND TRADEMARK OFFICE
`Vnei-iiNr.:-run. D.C. 202:-ii
`\wm.u5pto.gov
`IND CLAIMS
`4
`
`TOT CLAIMS
`2
`2
`
`CONFIRMATION NO. 8436
`CORRECTED FILING RECEIPT
`
`Date Mailed: 09/13/2002
`
`Receipt is acknowledged of this nonprovisional Patent Application. it will be considered in its order and you will be
`notified as to the results of the examination. Be sure to provide the lJ.S. APPLICATION NUMBER, FILING DATE,
`NAME OF APPUCANT, and TlTLE OF INVENTION when inquiring about this application. Fees transmitted by
`check or draft are subject to collection. Please verify the accuracy of the data presented on this receipt.
`if an
`error is noted on this Filing Receipt, please write to the Office of initial Patent Examination's Filing
`Receipt Corrections, facsimile number 703-746-9195. Please provide a copy of this Filing Receipt with the
`changes noted thereon. If you received a "Notice to File Missing Parts" for this application, please submit
`any corrections to this Filing Receipt with your reply to the Notice. When the USPTO processes the reply
`to the Notice, the USPTO will generate another Filing Receipt incorporating the requested corrections (if
`appropriate).
`
`Applicant(s)
`
`Shlomo Touboul, Kefar—haim, ISRAEL;
`
`Domestic Priority data as claimed by applicant
`
`THIS APPLICATION IS A CON OF O8/964,388 11/06/1997 PAT 6,092,194
`WHICH CLAIMS BENEFIT OF SO/030,639 11/0811996
`
`Foreign Applications
`
`if Required, Foreign Fiilng License Granted O6/14/2000
`
`Projected Publication Date: Not Applicable, filed prior to November 29.200051-ES ENTERED '-———-—-_._.
`
`Non-Publication Request: No
`
`-_“'T“*‘---..
`
`Early Publication Request: No
`
`SEP 2 7 2092
`
`’“‘ SMALL ENTITY **
`_
`Title
`
`CALENDARED
`BY
`An
`SQUIRE, SANDERS & Diimpsgy
`System and method for protecting a computer and a network from hostile downloadabies
`
`Preliminary Class
`
`FJN 013170
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0649
`
`

`
`Page 2 of 2
`
`LICENSE FOR FOREIGN FILING UNDER
`
`Title 35, United States Code, Section 184
`
`Title 37', Code of Federal Regulations, 5.1‘! & 5.15
`
`§i&i.h§IQ
`
`if the phrase "lF REQUIRED, FOREIGN FILING
`The applicant has been granted a license under 35 U.S.C. 184,
`LICENSE GRANTED" followed by a date appears on this form. Such licenses are issued in ail applications where
`the conditions for issuance of a license have been met, regardless of whether or not a license may be required as
`set forth in 37 CFR 5.15. The scope and limitations of this license are set forth in 37 CFR 5.15(a) unless an eariier
`license has been issued under 37 CFR 5.15(b). The iicense is subject to revocation upon written notification. The
`date indicated is the effective date of the license, unless an earlier license of similar scope has been granted
`under 37 CFR 5.13 or 5.14.
`
`This license is to be retained by the licensee and may be used at any time on or after the effective date thereof
`unless it is revoked. This license is automatically transferred to any related applications{s) filed under 37 CFR
`1.53(d). This license is not retroactive.
`
`The grant of a license does not in any way lessen the responsibility of a licensee for the security of the subject
`matter as imposed by any Government contract or the provisions of existing laws relating to espionage and the
`national security or the export of technical data. Licensees should apprise themselves of current regulations
`especially with respect to certain countries, of other agencies, particularly the Office of Defense Trade Controls,
`Department of State (with respect to Arms, Munitions and Implements of War (22 CFR 121-128)]; the Office of
`Export Administration, Department of Commerce (15 CFR 370.10 0));
`the Office of Foreign Assets Control,
`Department of Treasury (31 CF R Parts 500+) and the Department of Energy.
`
`NQLGEAED
`
`if the phrase "IF REQUIRED, FOREIGN FlLlNG
`No license under 35 U.S.C. 184 has been granted at this time,
`LICENSE GRANTED" DOES NOT appear on this form. Applicant may still petition for a license under 37 CFR
`5.12,
`if a license is desired before the expiration of 6 months from the filing date of the appiication.
`If 6 months
`has lapsed from the filing date of this application and the licensee has not received any indication of a secrecy
`order under 35 U.S.C. 181, the licensee may foreign file the application pursuant to 37 CFR 5.15(b).
`
`FJN 013171
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0650
`
`

`
`09/539,667
`
`03I'30l2000
`
`Gee ART UNIT
`2131
`
`30256
`SQUIRE, SANDERS & DEMPSEY L.L.F'
`500 HANSEN WAY
`PALO ALTO, CA 94304-1043
`
`Page 1 of 2
`
`CCHHISSIDNER roe PI-ITeNrs
`UMTED STATES PATENT AND TRADEMARK OFFICE
`i\A3I-Iincvcm. D.C. 2023i
`wvew. Usplo.gm
`IND CLAIMS
`4
`
`TOT CLAIMS
`22
`
`FIL FEE er-:c-o A‘|'i'Y.DOCKET.NO DRAVVINGS
`402
`4049200011
`10
`
`CONFIRMATION N0. 3433
`CORRECTED FILING RECEIPT
`iEilWH§HE§Hfl§flEEEmI
`'°°°°°°°°°°"5'°“‘9’
`
`Date Mailed: O9/13/2002
`
`Receipt is acknowledged of this nonprovisional Patent Application. It will be considered in its order and you will be
`notified as to the results of the examination. Be sure to provide the US. APPLICATION NUMBER, FILING DATE.
`NAME OF APPLICANT. and TITLE OF INVENTEON when inquiring about this application. Fees transmitted by
`check or draft are subject to collection. Please verify the accuracy of the data presented on this receipt. £f an
`error is noted on this Filing Receipt, please write to the Office of Initial Patent Examinations Filing
`Receipt Corrections, facsimile number 703-746-9195. Please provide a copy of this Filing Receipt with the
`changes noted thereon. if you received a "Notice to File Missing Parts" for this application, please submit
`any corrections to this Filing Receipt with your reply to the Notice. When the USPTO processes the reply
`to the Notice, the USPTO will generate another Filing Receipt incorporating the requested corrections (if
`appropriate).
`
`Appli-:ant(s)
`
`Shlomo Touboul, Kefar-hairn, ISRAEL;
`
`Domestic Priority data as ctalmed by applicant
`
`THIS APPLICATION IS A CON OF 08/964.388 11/06I’1997 PAT 6,092,194
`WHICH CLAIMS BENEFIT OF 60/030,639 11/08f‘i99Ei
`
`Foreign Applications
`
`If Required, Foreign Filing License Granted D6/‘I4/2000
`
`Projected Publication Date: Not Applicable, filed prior to November 29,2ot5°6TESE“’E”E“ ----——..._....
`—"<—‘
`—.“'—““-——-
`
`Non-Publication Request: No
`
`Early Publication Request: N0
`
`SEP 3 7 2002
`
`** SMALL ENTITY **
`
`Title
`
`BY
`ATTORNEY
`SQUIRE. SANDERS it DEMFSEY
`System and method for protecting a computer and a network from hostile downloadables
`
`CALENDARED
`
`Preliminary Class
`
`FJN 013172
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0651
`
`

`
`Page 2 of 2
`
`
`
`LICENSE FOR FOREIGN FILING UNDER
`
`Title 35, United States Code, Section 184
`
`Titie 37, Code of Federal Regulations, 5.11 & 5.15
`
`QBANEQ
`
`if the phrase "IF REQUIRED, FOREIGN FtLlNG
`The applicant has been granted a license under 35 U.S.C. 134.
`LlCENSE GRANTED" foliowed by a date appears on this form. Such licenses are issued in ail applications where
`the conditions for issuance of a license have been met, regardless of whether or not a license may be required as
`set forth in 37 CFR 5.15. The scope and limitations of this license are set forth in 37 CFR 5.15(a) unless an eariier
`iicense has been issued under 37 CFR 5.i5(b}. The license is subject to revocation upon written notification. The
`date indicated is the effective date of the iicense, unless an earlier license of similar scope has been granted
`under 37 CFR 5.13 or 5.14.
`
`This license is to be retained by the licensee and may be used at any time on or after the effective date thereof
`unless it is revoked. This license is automatically transferred to any related applications(s) filed under 37 CFR
`1.53(d). This license is not retroactive.
`
`The grant of a license does not in any way iessen the responsibility of a licensee for the security of the subject
`matter as imposed by any Government contract or the provisions of existing laws relating to espionage and the
`national security or the export of technicai data. Licensees should apprise themselves of current regulations
`especially with respect to certain countries, of other agencies, particulariy the Office of Defense Trade Controls,
`Department of State (with respect to Arms, Munitions and Implements of War (22 CFR 121-128)); the Office of
`Export Administration, Department of Commerce (15 CFR 370.10 0));
`the Office of Foreign Assets Control,
`Department of Treasury (31 CFR Parts 500+) and the Department of Energy.
`
`No license under 35 U.S.C. 184 has been granted at this time, if the phrase "|F REQUIRED, FOREIGN FILING
`LICENSE GRANTED" DOES NOT appear on this form. Applicant may stiii petition for a license under 37' CFR
`5.12,
`if a license is desired before the expiration of 6 months from the filing date of the appiicationi If 6 months
`has lapsed from the filing date of this application and the licensee has not received any indication of a secrecy
`order under 35 U.S.C. 181, the licensee may foreign file the application pursuant to 37 CFR 5.15(b).
`
`FJN 013173
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0652
`
`

`
`U Arnendmentmesponse
`._
`U Patent Application __
`U Drawings Fonnalllnforrnai
`[3 Petition for Extension of Tme
`B General Authonzaticn /Request to Petition for Extensions of Time
`[3 Oath./Dec1arationfPower of Attorney
`E Transmittat Form
`D Assignment 8. Recorcfation Cover Sheet
`E Fee Transmittal for FY 2002 (in duplicate)
`D Notice of Change of Attorney Docket Number
`D Verified Statement Claiming Small Entity Status
`D issue Fee Transmittal
`U Centnnued Prosecution Application
`{§1.53(d) CPA - in duplicate)
`with PTO—85b Drawings
`[:1 Design Application H Pages __
`[3 Info. Disclosure Statement & PTO-1-d49iRefs
`D Status Letter
`E Request for Corrected Filing Receipt
`G0 with Changes Indicated In Red
`
`'
`
`»
`
`QMMERCE
`“-5 DEPARTMESLSE SFFECE
`PATENTITRAD
`WASHINGTON. 13.0. 20231
`
`U_5_ POE-TMBE
`
`)3‘*‘,.}:?I-I1’
`
`m
`squire, Sanders fiaflguue 100
`500 Harm”
`31304-1043
`Palo Alto, CA 9
`
`I
`|
`lh||'l|,,|..|i;|I1II||IIhultlhtlt II II
`
`IHI
`I
`
`ll
`
`Ilhnuhll
`
`FJN 013174
`
`SOPHOS
`EXHIBIT 1004 - PAGE 0653
`
`

`
`Please type a plus sign (+) inside this box ---->
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`TRANSMITTAL
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`(to be used for all comespondence after initial filing)
`
`09/539,567
`
`Total Number of Pages in This Submission
`
`Attorney Docket Number
`ENCLOSURES check ailthata I
`
`434250001 1
`
`_
`.
`E Fee Transmmamom U“ dupncate}
`D Arnendmenti Response
`
`‘
`'
`[:]g.’s1serg:rri("{riD1er‘;t1a4r’iCt:wl:';¢i::::')dation Cover
`[3 Drawlnélls) ___... Sheets
`
`[3 with RCE
`
`El Afler Final
`
`El Affidavr'tsideclaration(s)
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`D Licensing-related Papers
`
`U Petition
`
`E] Request for Continued Examination
`
`1:] Extension of Time Request
`(in duplicate)
`
`D P°"""9r °f Ammey
`
`D Terminal Disctaimer
`C] Request for Refund
`E] Co. Number of CD(s)
`Remarks
`
`D
`
`R f rence(s)
`B B
`[:1 IDS and Form 1449
`D Certified Copy of Priority
`Documentls)
`
`E] Response to Missing Parts!
`Incomplete Application
`
`E] Dec|araiioniOatl1
`
`'
`F'l'
`tt C
`R
`eceipt
`zing
`o orrect
`E eques
`E] Appeal Communication to Board of
`Appeals and interferences
`
`R
`
`I:I Appeal Communication to Group
`(Appeal Notice, Brief. Reply Brier)
`
`E Return Postcard
`
`E] Status Letter
`
`E Other Enclosure(s)
`(please identify below):
`
`Copy of Filing Receipt Mailed
`06l14J2U00 With Changes
`Indicated in Red
`
`Firm
`or