S/N 12/480,360
`
`PATENT
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Applicant:
`Serial No.:
`Filed:
`Title:
`
`Examiner:
`Ivor Bull et al.
`Group Art Unit:
`12/480,360
`Docket:
`June 8, 2009
`COPPER CHA ZEOLITE CATALYSTS
`
`Wood, Elizabeth D.
`1793
`5328A/ENG0073-01DV
`
`Confirmation No.: 3250
`
`PRELIMINARY AMENDMENT
`
`Prior to examination of this application, please enter the following claims amendments
`
`and consider the attached remarks.
`
`Amendment to the Specification begins on page 2
`
`Amendments to the claims begin on page 3.
`
`Remarks being on page 7.
`
`Umicore AG & Co. KG
`Exhibit 1109
`Page 1 of 303
`
`Umicore AG & Co. KG
`Exhibit 1109
`Page 1 of 303
`
`

`

`PRELIMINARYAMENDMENT
`Serial Number: 12/480,360
`Filing Date: June 8, 2009
`Title: COPPER CHA ZEOLITE CATALYSTS
`
`IN THE SPECICATION
`
`Page 2 0f 7
`Dkt: 5328A
`
`In the specification, please amend the Title on the first line of page 1 to read:
`
`PROCESSES FOR REUDCING REDUCING NITROGEN OXIDES USING COPPER CHA
`
`ZEOLITE CATALYSTS
`
`Umicore AG & Co. KG
`Exhibit 1109
`Page 2 of 303
`
`Umicore AG & Co. KG
`Exhibit 1109
`Page 2 of 303
`
`

`

`PRELIMINARYAMENDMENT
`Serial Number: 12/480,360
`Filing Date: June 8, 2009
`Title: COPPER CHA ZEOLITE CATALYSTS
`
`IN THE CLAIMS
`
`1. — 19. (Canceled)
`
`Page 3 0f 7
`Dkt: 5328A
`
`20.
`
`(Currently amended) A process for the reduction of oxides of nitrogen contained in a gas
`
`stream in the presence of oxygen wherein said process comprises contacting the gas stream with a
`
`catalyst comprising g zeolite having the CHA crystal structure and a mole ratio of silica to alumina
`
`from about 15 to about 256 and an atomic ratio of copper to aluminum from about 0.25 to about
`
`0.50.
`
`21.
`
`(Currently amended) The process of claim 20, wherein the gas stream is an exhaust gas
`
`stream from an internal combustion engine and the catalyst is disposed on a honeycomb flow
`
`through substrate.
`
`22.
`
`(Currently amended) The process of claim 21, wherein the exhaust gas stream further
`
`comprises ammonia and at least a portion of the flow through substrate is coated with CuCHA
`
`adapted to oxidize ammonia in the exhaust gas stream.
`
`23.
`
`(Original)
`
`The process of claim 21, wherein at least a portion of the flow through
`
`substrate is coated with Pt and CuCHA adapted to oxidize ammonia in the exhaust gas stream.
`
`24.
`
`(Currently amended) The process of claim 20, wherein the gas stream is an exhaust gas
`
`stream from an internal combustion engine and the catalyst is disposed on a honeycomb wall flow
`
`substrate.
`
`25.
`
`(Currently amended) The process of claim 24, wherein the exhaust gas stream further
`
`comprises ammonia and at least a portion of the wall flow substrate is coated with CuCHA adapted
`
`to oxidize ammonia in the exhaust gas stream.
`
`Umicore AG & Co. KG
`Exhibit 1109
`Page 3 of 303
`
`Umicore AG & Co. KG
`Exhibit 1109
`Page 3 of 303
`
`

`

`PRELIMINARYAMENDMENT
`Serial Number: 12/480,360
`Filing Date: June 8, 2009
`Title: COPPER CHA ZEOLITE CATALYSTS
`
`Page 4 0f 7
`Dkt: 5328A
`
`26.
`
`(Original)
`
`The process of claim 24, wherein at least a portion of the wall flow substrate
`
`is coated with Pt and CuCHA adapted to oxidize ammonia in the exhaust gas stream.
`
`27.
`
`(Currently amended) The process of claim 20, the gas stream is an exhaust gas stream from
`
`an internal combustion engine and the process filrther comprising contacting the exhaust gas stream
`
`with a catalyzed soot filter.
`
`28.
`
`(Original)
`
`The process of claim 27, wherein said catalyzed soot filter is upstream of said
`
`catalyst.
`
`29.
`
`(Original)
`
`The process of claim 27, wherein said catalyzed soot filter is downstream of
`
`said catalyst.
`
`30.
`
`(Original)
`
`The process of claim 27, filrther comprising contacting the exhaust gas stream
`
`with a diesel oxidation catalyst.
`
`31.
`
`(Original)
`
`The exhaust process of claim 30, wherein said diesel oxidation catalyst is
`
`upstream of said catalyst comprising a zeolite having the CHA crystal structure.
`
`32.
`
`(Original)
`
`The exhaust process of claim 31, wherein said diesel oxidation catalyst and
`
`catalyzed soot filter are upstream from said catalyst comprising a zeolite having the CHA crystal
`
`structure.
`
`33.
`
`(New) A process for the reduction of oxides ofnitrogen contained in an exhaust gas stream
`
`from an internal combustion engine wherein said process comprises contacting the gas stream with a
`
`catalyst comprising a zeolite having the CHA crystal structure promoted with sufficient copper to
`
`prevent thermal degradation ofthe zeolite when exposed to temperatures of at least about 600°C and
`
`high water vapor environments of about 10% or more for at least about 6 hours.
`
`Umicore AG & Co. KG
`Exhibit 1109
`Page 4 of 303
`
`Umicore AG & Co. KG
`Exhibit 1109
`Page 4 of 303
`
`

`

`PRELIMINARYAMENDMENT
`Serial Number: 12/480,360
`Filing Date: June 8, 2009
`Title: COPPER CHA ZEOLITE CATALYSTS
`
`Page 5 0f 7
`Dkt: 5328A
`
`34.
`
`(New) The process of claim 33, wherein the zeolite having the CHA crystal structure retains
`
`the CHA crystal as indicated by X-ray powder diffraction over the range of 15 to 38.5 degrees two
`
`theta when exposed to temperatures of at least about 600°C and high water vapor environments of
`
`about 10% or more for at least about 6 hours.
`
`35.
`
`(New) The process of claim 33, wherein the zeolite retains the CHA crystal structure as
`
`indicated by X-ray powder diffraction over the range of 15 to 38.5 degrees two theta when exposed
`
`to temperatures of at least about 800°C and high water vapor environments of about 10% or more for
`
`at least about 48 hours.
`
`36.
`
`(New) The process of claim 33, wherein the zeolite contains ion-exchanged copper and an
`
`amount ofnon-exchanged copper sufficient to maintain NOx conversion ofthe catalyst in an exhaust
`
`gas stream containing nitrogen oxides after hydrothermal aging of the catalyst temperatures of at
`
`least about 600°C and high water vapor environments of about 10% or more for at least about 6
`
`hours.
`
`37.
`
`(New) The process of claim 33, wherein NOx conversion ofthe catalyst at about 200°C after
`
`hydrothermal aging in 10% steam at 850° C for 6 hours is at least 90% ofthe NOx conversion ofthe
`
`catalyst at about 200°C prior to hydrothermal aging.
`
`38.
`
`(New) The process of claim 33, wherein at least about 90% of the oxides of nitrogen are
`
`reduced by the catalyst over the temperature range of about 250° C to 450° C.
`
`39.
`
`(New) The process of claim 33, further comprising adding a reductant to the exhaust gas
`
`stream upstream from the catalyst comprising a zeolite having the CHA crystal structure.
`
`40.
`
`(New) The process of claim 39, wherein the reductant is selected from ammonia and an
`
`ammonia precursor.
`
`Umicore AG & Co. KG
`Exhibit 1109
`Page 5 of 303
`
`Umicore AG & Co. KG
`Exhibit 1109
`Page 5 of 303
`
`

`

`PRELIMINARYAMENDMENT
`Serial Number: 12/480,360
`Filing Date: June 8, 2009
`Title: COPPER CHA ZEOLITE CATALYSTS
`
`Page 6 0f 7
`Dkt: 5328A
`
`41.
`
`(New) The process of claim 40, fithher comprising contacting the exhaust gas stream with a
`
`downstream catalyst comprising a Cu-containing zeolite having the CHA crystal structure.
`
`42.
`
`(New) The process of claim 41, wherein the downstream catalyst filrther comprises a
`
`precious metal.
`
`43.
`
`(New) the process of claim 40, wherein the catalyst comprising a zeolite having the CHA
`
`crystal structure is disposed on a wall flow filter.
`
`Umicore AG & Co. KG
`Exhibit 1109
`Page 6 of 303
`
`Umicore AG & Co. KG
`Exhibit 1109
`Page 6 of 303
`
`

`

`PRELIMINARYAMENDMENT
`Serial Number: 12/480,360
`Filing Date: June 8, 2009
`Title: COPPER CHA ZEOLITE CATALYSTS
`
`Page 7 of 7
`Dkt: 5328A
`
`REMARKS
`
`The Title has been amended to be more consistent with the presently pending claims.
`
`Support for the amendment can be found at least in the originally filed claims and page 1, paragraph
`
`0002 of the specification.
`
`Claims 1 to 32 were originally filed. Claims 1-19 have been canceled. Claim 20 has been
`
`amended to correct a minor informality. Claims 21, 22, 24, 25, and 27 have been amended, support
`
`for which can be found at least at page 7, paragraph 0035 and page 9, paragraph 0043. New claims
`
`33-43 have been added. Support for claims 33 and 36 can be found at least at page 3, paragraph
`
`0012. Support for claims 34 and 35 can be found at least at page 29, Example 2. Support for claim
`
`37 can be found at least at page 3, paragraph 009. Support for claim 38 can be found at least at
`
`Figures 1-4. Support for claims 39 and 40 can be found at least at page 31, paragraph 0132. Support
`
`for claims 41-43 can be found on page 32. No new matter has been added. If allowance of this
`
`application may be expedited by resolution of simple issues through a telephone conference, the
`
`Examiner is invited to call the undersigned.
`
`If any additional fees are due, the Commissioner is hereby authorized to charge deposit
`
`account 50-3329 for such fees.
`
`Respectfully Submitted,
`
`DIEHL SERVILLA LLC
`
`77 Brant Avenue
`
`Suite 210
`
`Clark, New Jersey 07066
`732 815 0404
`
`Date: November 18, 2009
`
`By
`
`/Scott S. Servilla= Reg. #40806/
`Scott S. Servilla
`
`Reg. No. 40806
`
`Umicore AG & Co. KG
`Exhibit 1109
`Page 7 of 303
`
`Umicore AG & Co. KG
`Exhibit 1109
`Page 7 of 303
`
`

`

`Electronic Acknowledgement Receipt
`
`6478848
`
`Application Number:
`
`12480360
`
`International Application Number:
`
`Confirmation Number:
`
`
`
`Title of Invention:
`
`Copper CHA Zeolite Catalysts
`
`First Named Inventor/Applicant Name:
`
`Ivor Bull
`
`Customer Number:
`
`48226
`
`Scott ServiIIa/Linda Murphy
`
`Filer Authorized By:
`
`Scott Servilla
`
`Attorney Docket Number:
`
`5328A
`
`Receipt Date:
`
`18-Nov-2009
`
`Filing Date:
`
`08-JUN-2009
`
`Time Stamp:
`
`15:29:43
`
`Application Type:
`
`Utility under 35 USC111(a)
`
`Payment information:
`
`Submitted with Payment
`
`File Listing:
`
`390
`
`Document
`Number
`
`Document Descri
`
`tion
`
`p
`
`File Size(Bytes)/
`Message Digest
`
`Pages
`Multi
`Part /.zip (if appl.)
`
`00097384.PDF
`
`67f38ff24c3e9d8cf67a8805e450c45487c9a
`
`Umicore AG & Co. KG
`Exhibit 1109
`Page 8 of 303
`
`Umicore AG & Co. KG
`Exhibit 1109
`Page 8 of 303
`
`

`

`Multipart Description/PDF files in .zip description
`
`Applicant Arguments/Remarks Made in an Amendment
`
`
`
`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 ofthe International Filing Date (Form PCT/RO/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.
`
`This Acknowledgement Receipt evidences receipt on the noted date by the USPTO ofthe 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.
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`Total Files Size (in bytes)
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`New Applications Under 35 U.S.C. 111
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`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.
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`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/EO/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.
`
`Umicore AG & Co. KG
`Exhibit 1109
`Page 9 of 303
`
`Umicore AG & Co. KG
`Exhibit 1109
`Page 9 of 303
`
`

`

`PTO/SB/06 (07-06)
`Approved for use through 1/31/2007. OMB 0651-0032
`US. Patent and Trademark Office; US. DEPARTMENT OF COMMERCE
`Under the Paoerwork Reduction Act of 1995, no oersons are reouired to resoond to a collection of information unless it disola s a valid OMB control number.
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`PATENT APPLICATION FEE DETERMINATION RECORD
`Substitute for Form PTO—875
`
`Application or Docket Number
`12/480,360
`
`Fiiing Date
`06/08/2009
`
`I: To be Mailed
`
`OR
`
`OTHER THAN
`SMALL ENTITY
`
`SMALL ENTITY |:I
`RATE ($)
`FEE ($)
`
`N/A
`
`N/A
`
`APPLICATION AS FILED — PART I
`
`0
`
`(Column 1)
`NUMBER FILED
`
`(Column 2)
`NUMBER EXTRA
`
`I:I BASIC FEE
`37CFR1.16a, b,or c
`
`I] SEARCH FEE
`37CFR1.16k, i,or m
`
`I] EXAMINATION FEE
`(37 CFR1.16( ), (p), or (q))
`TOTAL CLAIMS
`37 CFR 1.16 i
`INDEPENDENT CLAIMS
`37 CFR 1.16 h
`
`DAPPLICATION SIZE FEE
`(37 CFR1.16(s))
`
`N/A
`
`N/A
`
`N/A
`
`N/A
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`N/A
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`N/A
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`minus 20 =
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`minus 3 =
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`If the Specification and drawings exceed 100
`Sheets of paper, the application Size fee due
`iS $250 ($125 for small entity) for each
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`35 U.S.C. 41 a 1 G and 37 CFR 1.16 S.
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`[I MULTIPLE DEPENDENT CLAIM PRESENT (37 CFR1.16(j))
`* If the difference in column 1 is less than zero, enter“0" in column 2.
`
`APPLICATION AS AMENDED — PART II
`
`(Column 1)
`CLAIMS
`REMAINING
`AFTER
`AMENDMENT
`
`24
`
`11/18/2009
`
`37CFR1.16h
`
`(Column 2)
`HIGHEST
`NUMBER
`PREVIOUSLY
`PAID FOR
`
`(Column 3)
`
`PRESENT
`
`Minus
`
`Minus
`
`**
`
`32
`
`3
`
`El Application Size Fee (37 CFR 1.16(s))
`
`D FIRST PRESENTATION OF MULTIPLE DEPENDENT CLAIM (37 CFR1.16(j))
`
`SMALL ENTITY
`
`OR
`
`OTH ER THAN
`SMALL ENTITY
`
`ADDITIONAL
`FEE ($)
`
`RATE ($)
`
`X $
`X 69
`
`II
`
`ADDITIONAL
`FEE ($)
`
`RATE (38)
`
`$52:
`
`$220:
`
`I—
`IJ
`
`ZL
`
`EDZL
`
`IJ
`
`E<
`
`AMENDMENT
`
`/Susan K. Ford/
`
`(Column 2)
`HIGHEST
`NUMBER
`PREVIOUSLY
`PAID FOR
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`(Column 3)
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`PRESENT
`EXTRA
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`RATE ($)
`
`ADDITIONAL
`FEE (3;)
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`RATE ($)
`
`ADDITIONAL
`FEE ($)
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`(Column 1)
`CLAIMS
`REMAINING
`AFTER
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`- AMENDMENT
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`1 16 I
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`37 CFR 1.16 h
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`Minus
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`Minus
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`D Application Size Fee (37 CFR 1.16(s))
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`D FIRST PRESENTATION OF MULTIPLE DEPENDENT CLAIM (37 CFR1.16(j))
`
`XX 6969
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`XX 6969
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`OR
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`OR
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`TOTAL
`ADD‘L
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`* If the entry in column 1 is less than the entry in column 2, write “0" in column 3.
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`Legal Instrument Examiner:
`
`Umicore AG & Co. KG
`Exhibit 1109
`Page 10 of 303
`
`Umicore AG & Co. KG
`Exhibit 1109
`Page 10 of 303
`
`

`

`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
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`APPLICATION NUMBER
`
`FIRST NAMED APPLICANT
`
`ATTY. DOCKET NO./TITLE
`
`12/480,360
`
`06/08/2009
`
`Ivor Bull
`
`5328A
`CONFIRMATION NO. 3250
`
`48226
`BASF CATALYSTS LLC
`100CAMPUSDRNE
`FLORHAM PARK, NJ 07932
`
`PUBLICATION NOTICE
`
`WWIWWWMfl
`
`IMMMWWMWWWWW
`I‘DOOOOO38860065
`
`Title:Copper CHA Zeolite Catalysts
`
`Publication No.US-2009-0285737-A1
`Publication Date:11/19/2009
`
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`page 1 of 1
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`Umicore AG & Co. KG
`Exhibit 1109
`Page 11 of 303
`
`Umicore AG & Co. KG
`Exhibit 1109
`Page 11 of 303
`
`

`

`S/N 12/480,360
`
`PATENT
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Applicant:
`Serial No.:
`Filed:
`Title:
`
`Examiner:
`Ivor Bull et al.
`Group Art Unit:
`12/480,360
`Docket:
`June 8, 2009
`COPPER CHA ZEOLITE CATALYSTS
`
`Wood, Elizabeth D.
`1793
`5328A/ENG0073-01DV
`
`Confirmation No.: 3250
`
`EFS ID
`
`6478848
`
`TRANSMITTAL LETTER
`
`Further to the filing of a Preliminary Amendment filed on November 18, 2009, please
`
`remove page 2 showing an amendment to the Title and replace it with the attached replacement
`
`page 2.
`
`Respectfully Submitted,
`
`DIEHL SERVILLA LLC
`
`77 Brant Avenue
`
`Suite 210
`
`Clark, New Jersey 07066
`732 815 0404
`
`Date: November 19, 2009
`
`By
`
`/Scott S. Servilla= Reg. #40806/
`Scott S. Servilla
`
`Reg. No. 40806
`
`Umicore AG & Co. KG
`Exhibit 1 109
`Page 12 of 303
`
`Umicore AG & Co. KG
`Exhibit 1109
`Page 12 of 303
`
`

`

`PRELIMINARYAMENDMENT
`Serial Number: 12/480,360
`Filing Date: June 8, 2009
`Title: COPPER CHA ZEOLITE CATALYSTS
`
`IN THE SPECICATION
`
`Page 2 of 2
`Dkt: 5328A
`
`In the specification, please amend the Title on the first line of page 1 to read:
`
`PROCESSES FOR REDUCING NITROGEN OXIDES USING COPPER CHA ZEOLITE
`
`CATALYSTS
`
`Umicore AG & Co. KG
`Exhibit 1109
`Page 13 of 303
`
`Umicore AG & Co. KG
`Exhibit 1109
`Page 13 of 303
`
`

`

`Electronic Acknowledgement Receipt
`
`6483538
`
`Application Number:
`
`12480360
`
`International Application Number:
`
`Confirmation Number:
`
`
`
`Title of Invention:
`
`Copper CHA Zeolite Catalysts
`
`First Named Inventor/Applicant Name:
`
`Ivor Bull
`
`Customer Number:
`
`48226
`
`Scott ServiIIa/Linda Murphy
`
`Filer Authorized By:
`
`Scott Servilla
`
`Attorney Docket Number:
`
`5328A
`
`Receipt Date:
`
`19-Nov-2009
`
`Filing Date:
`
`08—JUN-2009
`
`Time Stamp:
`
`09:53:17
`
`Application Type:
`
`Utility under 35 USC111(a)
`
`Payment information:
`
`Submitted with Payment
`
`File Listing:
`
`4961
`
`Document
`Number
`
`Document Descri
`
`tion
`
`p
`
`File Size(Bytes)/
`Message Digest
`
`Pages
`Multi
`Part /.zip (if appl.)
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`00097449.PDF
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`d84ec85f71d73eb59cc4aa5404f114b8bd8‘
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`Umicore AG & Co. KG
`Exhibit 1 109
`Page 14 of 303
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`Umicore AG & Co. KG
`Exhibit 1109
`Page 14 of 303
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`

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`Multipart Description/PDF files in .zip description
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`Document Description “
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`Miscellaneous Incoming Letter
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`Specification
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`
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`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 ofthe International Filing Date (Form PCT/RO/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.
`
`Information:
`
`Total Files Size (in bytes)
`
`This Acknowledgement Receipt evidences receipt on the noted date by the USPTO ofthe 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/EO/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.
`
`Umicore AG & Co. KG
`Exhibit 1109
`Page 15 of 303
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`Umicore AG & Co. KG
`Exhibit 1109
`Page 15 of 303
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`

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`
`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
`Alexandria1 Virginia 22313- 1450
`www.uspto.gov
`
`APPLICATION NO.
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`
`
`
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` F ING DATE
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`FIRST NAMED INVENTOR
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`ATTORNEY DOCKET NO.
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`
`
`
`
`CONF {MATION NO.
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`12/480,360
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`06/08/2009
`
`Ivor Bull
`
`5328A
`
`3250
`
`7590
`48226
`BASF CATALYSTS LLc
`100 CAMPUS DRIVE
`FLORHAM PARK, NJ 07932
`
`02/26/2010
`
`WOOD, ELIZABETH D
`
`ART UNIT
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`1793
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`PAPER NUMBER
`
`
`
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`NOT *ICATION DATE
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`DELIVERY MODE
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`02/26/2010
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`ELECTRONIC
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`Please find below and/or attached an Office communication concerning this application or proceeding.
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`The time period for reply, if any, is set in the attached communication.
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`Notice of the Office communication was sent electronically on above—indicated "Notification Date" to the
`following e—mail address(es):
`
`sonny.nkansa@basf.c0m
`Melanie.Br0wn@basf.c0m
`
`PTOL—90A (Rev. 04/07)
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`Umicore AG & Co. KG
`Exhibit 1109
`Page 16 of 303
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`Umicore AG & Co. KG
`Exhibit 1109
`Page 16 of 303
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`

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`
`
`Office Action Summary
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`Application No.
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`12/480,360
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`Examiner
`
`Elizabeth D. Wood
`
`Applicant(s)
`
`BULL ET AL.
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`Art Unit
`
`1793 -
`
`-- The MAILING DA TE of this communication appears on the cover sheet with the correspondence address --
`Period for Reply
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`A SHORTENED STATUTORY PERIOD FOR REPLY IS SET TO EXPIRE 3 MONTH(S) OR THIRTY (30) DAYS,
`WHICHEVER IS LONGER, FROM THE MAILING DATE OF THIS COMMUNICATION
`Extensions of time may be available under the provisions of 37 CFR 1.136(a).
`In no event however may a reply be timely filed
`after SIX (6) MONTHS from the mailing date of this communication.
`If NO period for reply is specified above, the maximum statutory period will apply and will expire SIX (6) MONTHS from the mailing date of this communication.
`-
`- Failure to reply within the set or extended period for reply will, by statute, cause the application to become ABANDONED (35 U.S.C. § 133).
`Any reply received by the Office later than three months after the mailing date of this communication, even if timely filed, may reduce any
`earned patent term adjustment. See 37 CFR 1.704(b).
`
`Status
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`1)IXI Responsive to communication(s) filed on 18 November 2009.
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`2a)I:I This action is FINAL.
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`2b)IZI This action is non-final.
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`3)I:I Since this application is in condition for allowance except for formal matters, prosecution as to the merits is
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`closed in accordance with the practice under EX parte Quayle, 1935 CD. 11, 453 O.G. 213.
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`Disposition of Claims
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`4)IZI Claim(s) 20-43 is/are pending in the application.
`
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`4a) Of the above claim(s)
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`is/are withdrawn from consideration.
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`5)IZI Claim(s) M is/are allowed.
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`6)IXI Claim(s) M is/are rejected.
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`7)I:I Claim(s) _ is/are objected to.
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`8)I:I Claim(s) _ are subject to restriction and/or election requirement.
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`Application Papers
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`9)I:I The specification is objected to by the Examiner.
`
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`10)I:I The drawing(s) filed on
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`is/are: a)I:I accepted or b)I:I objected to by the Examiner.
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`Applicant may not request that any objection to the drawing(s) be held in abeyance. See 37 CFR 1.85(a).
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`Replacement drawing sheet(s) including the correction is required if the drawing(s) is objected to. See 37 CFR 1.121(d).
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`11)I:I The oath or declaration is objected to by the Examiner. Note the attached Office Action or form PTO-152.
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`Priority under 35 U.S.C. § 119
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`12)I:I Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)—(d) or (f).
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`a)I:I All
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`b)I:I Some * c)I:I None of:
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`1.I:I Certified copies of the priority documents have been received.
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`2.I:I Certified copies of the priority documents have been received in Application No.
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`
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`3.I:I Copies of the certified copies of the priority documents have been received in this National Stage
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`application from the International Bureau (PCT Rule 17.2(a)).
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`* See the attached detailed Office action for a list of the certified copies not received.
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`Attachment(s)
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`4) D Interview Summary (PTO-413)
`1) E Notice of References Cited (PTO-892)
`Paper No(s)/Mai| Date. _
`2) D Notice of Draftsperson‘s Patent Drawing Review (PTO-948)
`3) IZI Information Disclosure Statement(s) (PTO/SB/08)
`5) I:I Notice of Informal Patent Application
`
`
`Paper No(s)/Mail Date 6/8/09 10/21/09 11/25/09.
`6) D Other:
`U.S. Patent and Trademark Office
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`PTOL-326 (Rev. 08-06)
`
`Office Action Summary
`
`Part of Paper No./Mai| Date 20100219
`Umicore AG & Co. KG
`Exhibit 1109
`Page 17 of 303
`
`Umicore AG & Co. KG
`Exhibit 1109
`Page 17 of 303
`
`

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`Application/Control Number: 12/480,360
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`Page 2
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`Art Unit: 1793
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`Specification
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`The examiner has not checked the specification to the extent necessary to
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`determine the presence of all possible minor errors (grammatical, typographical and
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`idiomatic). Cooperation of the applicant(s) is requested in correcting any errors of which
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`applicant(s) may become aware of in the specification, in the claims and in any future
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`amendment(s) that applicant(s) may file.
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`Applicant(s) is also requested to complete the status of any copending
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`applications referred to in the specification by their Attorney Docket Number or
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`Application Serial Number, if any.
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`The status of the parent application(s) and/or any other application(s) cross-
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`referenced to this application, if any, should be updated in a timely manner.
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`Information Disclosure Statement
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`The information disclosure statements filed have been considered as set forth
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`in MPEP 609. Once the minimum requirements of 37 C.F.R. 1.97 and 1.98 are met,
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`the examiner has the obligation to consider the information. Consideration by the
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`examiner of the information submitted in an IDS means nothing more than considering
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`the documents in the same manner that other documents in Office search files are
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`considered by the examiner while conducting a search of the prior art in a proper field of
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`search. The initials of the examiner placed adjacent to the citations on the PTO-1449 or
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`PTO/SB/08A and 088, or its equivalent, mean that the examiner to the extent noted
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`above has considered the information. See MPEP 609.05(b) Rev. 5.
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`Umicore AG & Co. KG
`Exhibit 1109
`Page 18 of 303
`
`Umicore AG & Co. KG
`Exhibit 1109
`Page 18 of 303
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`

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`Application/Control Number: 12/480,360
`Art Unit: 1793
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`Page 3
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`Applicant should note that documents not in the English language have been
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`considered only to the extent of statements of relevance, explanations provided in the
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`corresponding search reports provided and provided translations.
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`Claim Rejections - 35 USC § 112
`
`The following is a quotation of the first paragraph of 35 U .S.C. 112:
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`The specification shall contain a written description of the invention, and of the manner and process of
`making and using it, in such full, clear, concise, and exact terms as to enable any person skilled in the
`art to which it pertains, or with which it is most nearly connected, to make and use the same and shall
`set forth the best mode contemplated by the inventor of carrying out his invention.
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`Claims 33-43 are rejected under 35 U.S.C. 112, first paragraph, as failing to
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`comply with the written description requirement. The claim(s) contains subject matter
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`which was not described in the specification in such a way as to reasonably convey to
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`one skilled in the relevant art that the inventor(s), at the time the application was filed,
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`had possession of the claimed invention. This is a new matter rejection.
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`Claims 33- 43 recite reduction of oxides of nitrogen in the presence of "a
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`catalyst comprising a zeolite having the CHA crystal structure promoted with sufficient
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`copper to prevent thermal degradation .... ".
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`This recitation is not supported by the originally filed specification. A thorough
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`reading of the specification indicates that a CuCHA zeolite such as that set forth in claim
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`20 which is further promoted with an amount of free copper results in the prevention of
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`hydrothermal degradation. Paragraph 12 recites such a catalyst. The examples
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`compare such catalyst to the exchanged CuCHA zeolite that does not contain "free"
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`copper. Paragraph [0041] recites that the SCR catalyst is formed from a Cu exchanged
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`zeoltie having free copper in addition to ion-exchanged copper.
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`Umicore AG & Co. KG
`Exhibit 1109
`Page 19 of 303
`
`

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`Application/Control Number: 12/480,360
`Art Unit: 1793
`
`Page 4
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`In view of the foregoing, it is considered that the applicant did not have
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`possession of the claimed process taking place in the presence of a material that is only
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`a CHA zeolite promoter with sufficient copper to prevent thermal degradation.
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`Claim Rejections- 35 USC§ 103
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`The following is a quotation of 35 U.S.C. 1 03(a) which forms the basis for all
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`obviousness rejections set forth in this Office action:
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`(a) A patent may not be obtained though the invention is not identically disclosed or described as set
`forth in section 102 of this title, if the differences between the subject matter sought to be patented and
`the prior art are such that the subject matter as a whole would have been obvious at the time the
`invention was made to a person having ordinary skill in the art to which said subject matter pertains.
`Patentability shall not be negatived by the manner in which the invention was made.
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`The factual inquiries set forth in Graham v. John Deere Co., 383 U.S. 1, 148
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`USPQ 459 (1966), that are applied for establishing a background for determining
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`obviousness under 35 U.S.C. 103(a) are summarized as follows:
`
`1.
`2.
`3.
`4.
`
`Determining the scope and contents of the prior art.
`Ascertaining the differences between the prior art and the claims at issue.
`Resolving the level of ordinary skill in the pertinent art.
`Considering objective evidence present in the application indicating
`obviousness or nonobviousness.
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`This application currently names joint inventors. In considering patentability of
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`the claims under 35 U.S.C. 1 03(a), the examiner presumes that the subject matter of
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`the various claims was commonly owned at the time any inventions covered therein
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`were made absent any evidence to the contrary. Applicant is advised of the obligation
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`under 37 CFR 1 .56 to point out the inventor and invention dates of each claim that was
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`not commonly owned at the time a later invention was made in order for the examiner to
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`consider the applicability of 35 U.S.C. 1 03(c) and potential 35 U.S.C. 1 02(e), (f) or (g)
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`prior art under 35 U.S.C. 1 03(a).
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`Umicore AG & Co. KG
`Exhibit 1109
`Page 20 of 303
`
`

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`Application/Control Number: 12/480,360
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`Page 5
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`Art Unit: 1793
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`Claims 33-43 are rejected under 35 U.S.C. 103(a) as being unpatentable over
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`lshihara et al. (Journal of Catalysis article, lshihara et al. (Chemistry Letters article),
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`lshihara et al. (Ind. Eng. Chem. Res. article) or lshihara et al. (Studies in Surface
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`Science and catalysis article), each taken individually.
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`The instantly claimed