Aim
`. UNITED S'I'A'I‘]:‘S P/\'l‘I:‘.N'I‘ AND TRADl:'.MARK O1-‘I-‘lC]:1
`
`UN[TED S'I‘A'I‘l£S DEl'AR'l‘M.|£N'l‘ OF (_‘.‘0MMl£RCl£
`United States Patent and Trademark Olfice
`A:idn::;:;: (I()MMISS|ONl'.R I"()R l’A'I‘|£N'l'S
`I‘.O. Box [450
`AIex:uI(|ria_ Virginia 223 I 3.1450
`mum .us'p‘tn.g<w
`
`APPLICATION NO.
`
`|2:"Rl5.93l')
`
`ISSUE DATE
`
`09:’l')€uI'2U]|
`
`PATENT NO.
`
`RF4-2678
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`C2393-I |0]RF.2
`
`234-4
`
`48789
`
`7'19!)
`
`EJSII 7.F2I)| 1
`
`LAW OFFTCES 0-I7 BARRY N. YOUNG
`P. 0. Box 448
`PAIL) ALTO, CA 94-3U2—0‘l-48
`
`The projected patent number and issue date are specified above.
`
`ISSUE NOTIFICATION
`
`Determination of Patent Term Extension or Adjustment under 35 U.S.C. 154 (b)
`
`A reissue patent is for "the unexpired part of the term of the original patent." See 35 U.S.C. 25]. Accordingly,
`the ab0ve—identified reissue application is not eligible for Patent Tenn Extension or Adjustment under 35
`U.S.C. l54(b).
`
`Any questions regarding the Patent Term Extension or Adjustment determination should be directed to the
`Office of Patent Legal Administration at (571)-272-7702. Questions relating to issue and publication fee
`payments should be directed to the Application Assistance Unit (AAU) of the Office of Data Management
`(ODM) at (571)-272-4200.
`
`APPLICANT(S) (Please see PAIR WEB silo hltp:/1'pair.uspln.gnv for additional applicants):
`
`Jeffrey P. Wilde, Morgan Hill, CA;
`Joseph E. Davis, Morgan Ilill, CA;
`
`[R103 (Rev. IOIU9)
`
`Petitioner Ciena Corp. et al.
`Exhibit 1003-1
`
`

`
`PART 3 — FEE(S)"i"RANSMI',1f‘TAL
`
`Complete and send this farm, together with appticabic fce(s). la: M311 Mail Stop ISSUE FEE.
`Commissioner for Patents
`_
`P.U. Bax H5-‘U
`~.Mexnmiri8, Virginia 223134450
`(57!]~273-2885
`V
`_
`.
`‘,4
`_
`'
`,
`.
`.
`,
`‘
`.
`rlamugla fz simuki be cmnpizired whcrt
`!
`_. [?:fSTRf::L_l10héS:: Tins form shoutd as‘ uscdjur (ransmmmg the IS$UE FEE an }’lJB.i.lC§$T!{)g~1 1‘-i:E (1f rcqzntagrzm. Htongkes
`np§_§¥;znn£e.~ All sunizyr conespgndexxqc znchtdtng the Bunny. rsglvancc orgiews aIj§|v_nmifEua11un sf maxniensnnce fccs ml:
`mfillffd :5-1 11):‘. vrlunwrnl
`c(‘,I_€rv:
`hdcngc gddivzss as
`m um-:61 u:=!§;s curyggnegs below er dzmcxed oihcrwisc In mac}: 1, by (a) specaiyuuga new carrespondcnc: address; :mdr"o( (b) in-Id:'c;:ling, a szpams: "
`ADDM-LS3" for
`nmazntcmracc we nmuirckuons.
`>
`_
`C-IIRRENT C<)RRJ;:‘«PI)N,D'uNC.E ADDH1-‘._':'S (Nam: Us: Biock i for my ehang:<\{u4drI.-cc)
`:3 terfificatc; ul'_1nsil'1r;§. can cmfy bc “$511 111; dgmgslic maitings of gm:
`P_‘vTfl!v_.‘~.
`Fc'c{s','I T1:'atf1s;;mt:§_‘I._ Tim cam scale cannot be used for sny otluv acmmptmying
`'l
`Papers. Each addmuna] paper, such as :3n"a.'5s'i§1m1anl m fol-mix! dram»-ing, mus:
`'28.?“
`75%‘
`03“ mg“
`IV: 113 awn ficnliacrsjt of maglmg (tr zransrrxnsgmu‘
`_
`_
`LAW OFFICES: OF QARRY N. YOUNG
`‘
`CIe:‘_l.ifif:nt§: p!Msi!ln~g m-_TraAmn1i5si:m
`K
`2-59 7*" 55 WU» ROAD
`o§Ef§'§?2§3?§.‘13?:»i"3§}$i*3§§§§’§i“'{§§¢'?§I”§:'§—§i'i7E§'§§as’T§ll.$'”§r.E§§§§§§
`E35:
`SUITE .1032
`5551155.‘-"5 10 W16 Mai‘ Sm» NSUE 1-
`nddmss xllxwui. or Eu-.ir_:g Fncsinulzs
`3: A1 0 ALTO C 4‘ 941,96
`transmmed 10;‘-he USPTLM 7|) 2'73~~2.'38
`,1 :11: t‘.:;::‘in(li::m':cd hc:i'i1w.
`.
`.
`,
`..
`_,
`H
`V
`V
`
`V
`
`A
`
`or fig;
`
`_V
`
`I
`
`I Aampgv 91:-(:|cgn' my
`FlR5irNAI~1£D mvm~;'r(}st
`F] LING I‘)/\1"E
`.r-.v;51..|.c;A“3‘eL3N M).
`c2—3%):.1- I :9: RF:
`JL‘-ffrcy P\ wild:
`06!-I S-2010
`IZKE 15330
`TITLE OF ENVENTIQNT RiEC'.ONFli.'.?URABl.'E OPTICAL ADD-DROP Pw1U1.‘TlPLF.}\‘E~RS WITH SERVO CON'l'RDL AND DYNz\.'\HL‘- SE-1E(;”IR;\§,.
`T’C>WEZR MANAGEWENT CAP2\L1EL£'l'I
`
`ccampgxamrudn No,
`234»:
`
`SMALL EN1‘lT".'
`w
`
`'
`
`.
`
`xasnunsas our-:
`
`.n<%1=r.<?\-=I‘:==o=m:1
`N r=.3:e\=»1n.>iI‘-.’1v.'
`_
`288.3
`rn-;_;AL°r, muAN
`Ch;sr.k1§1gfccfrségmndenéc address or indizaiizm as“"F::e Addr£"5$" ('37
`~
`h
`‘
`)‘
`_
`.
`‘.
`.
`.5_ _r3~.,.,
`U C?h3r»5!:: at uqnm. nnsicmzt‘ adrlrtss (cf C;'“I7|S3'0FC0"?,Si?0rHitncc
`“dam” fem? PTO!” 3' “I; 'mm‘hw'
`C3 ‘ffcc :3-sid:tss"“ 'r.d.§~;at*.-‘nu (Ur "’F::5: Address" Indication form
`P25 {'.ir‘5BI~‘i‘r'; Rev
`0?. or more ncccnu aiiachad. Ilse uf n Custmmey
`3\‘umhur is néqlsirezf.
`
`7
`
`i}AT.'rE{}U‘EV
`um mm H
`
`rau3.v,.Px\InIsI;=EI-‘Isa: To'rm,rz:a3,[s3 1:296
`$0
`3.15 w
`
`nu13L1cArIQNss._m)u:a
`«
`c1,:;:1s.s:x.rnc:...sss‘
`.:+a5.4124oeo-
`Ku .
`1,‘ For priming on he palm! fmm page, Hsl
`U) the names ufup to 3 rcgis1crcd.pa1-cm a((um:y*s
`ur agents UR‘ amsrtsativcly,
`{2} _l}1e name oh singh: firm (‘having as 3 mcfimbtr :1
`rcgtsficred cmomty ur agcm)- am! the muses or up 1_o
`1rcg:s:¢;rcd‘;1au:n_tauomzggrs or agenm. if no name 15
`Iistcd. wry namc‘ wilt bcvprmicd.
`
`V
`
`'
`
`.
`
`k"
`
`3» A9.3z.r_‘.N335. NALMEAND nfisrossmzia DATA Tm BE mmrzu ON 's'H1‘~; PATENT (prii1'kfi;‘l3’§=C)
`if an assignce‘ is ‘irk-M.ii‘:'ccl below, the ducuzmrrxl has Ewen "filed For
`§‘LEr\SE N01 1 _Unlt$5 an a"1ss%,nct is idcnfifisd §n:¥uw,_ nu nss'§g!"I::c'l‘lst,-‘L wii{ a;a.pI:_a:: an sh: ‘patent.
`n:".‘.0rd:1imh ‘.-1>;'.x'eI :unh us 3? ,. 3.1 I‘ Cmnplcurm nflhm farm as NOT 3 subsmme hlr filmg an zustgnmml.
`{sq M1425 or .~xs.~:1:3NE.E
`(3) RESIDENCE: cciiw und‘sTATF. DR Ct:L.rm'x~n
`
`Ca.pe_?Li.a P11cstnni.e.s,
`
`inc.
`
`5311 Jose,
`
`(iailhifotnia
`
`lficaaz‘. check us: appmpriajxc nssignca calcgmy ormacgnciés gwili us: be priimzd on (he pauenx) 1 D infiiviéunl‘ Q(CC|mOl'~aU011 rm (filter ptwmt‘. grs,m_p (mijy C} (jgm.-gmm:
`
`42'. Th: !’-1i.?r-‘wing .i'<‘.~:(a} are submitted:
`Eitssuc For
`D F:ahEii:a\i:.~:n Fen (N01 smll -xnuity discount perrnmcd)
`,-\d\-ar,:e Omar _ 9! fat‘ {,‘opi'e5
`
`"‘“‘
`
`41:». Paymcnx nf Fcc(s): (P11.-use ti:-st‘r2app§y any pr».-vignsiy pith! issut T!."|:.s|luwn ainmz)
`B A thecb: is cn’cJ‘o5cd.
`'
`Z3Pzaymv:nI by tr-zdil card, Farm PTO-2038 in attewhtrd.
`( 1‘iF5>"*W-‘E b :1
`DThe Dirtcmr ishen;-.by mstfioriztd to‘: charge the required fat? 5), any duticiency. nrcrcditgugy
`1w!:r‘p&ym¢n1,lU Deposit Aw:-uni Number
`sndmsc an t‘ii.f‘.i'U_‘:pjy of this mm}.
`
`""""""“““
`stain: infiicslcdlshuvc)
`5‘ Cha~ng_e in Entity Slams
`:39
`zc
`:2
`5
`3 1
`_
`C] r,~. A iicam ism‘: km A rdaimino.SM;‘s—L!.ENTiTY smius. Soc 37 CPR 1,37; am
`sf] 3. Adwiitnni cizsimx s;rx-z.vu.:. aN‘rm~' s:a1us.Sn¢.37~CF—R 1.27.
`‘: Tm: !:v'sui:'Fn::’; and f{ub§ir.'a'!iDn Fm {ii‘x1»:,a_:uirc-:1) am? am in: acccyzcd {mm anyone mhcrman the npphtam; :2 fngéstertd allomtyfit agunz: nr me a!:sxgm3£' ‘or uliwr party m
`N-
`immsx as s?m-;—xi by mr: rr:c\)I'd$ of (l1c_}.'
`itcd Staic5§‘:w;m and Tmama.-1;. Oificc.
`
`;i.uxhn_ri2e‘d.5igaa1urs
`
`‘
`
`’-
`
`'
`J.-'
`
`"
`
`..
`
`' g
`
`"
`
`Dam: M38’ 19, BUN
`
`I V_‘_____
`Rcgimniigru Na.
`.2 ? ,j’»;5}_.-§_L
`_
`”I‘)«_p<:d or prinxcd nsrnc
`Egg‘ rrv j‘§_. Young
`_
`This cs‘.-!i:c:‘mn r.:i'iu{urrna‘liun ié rcquircd by 3.‘? CFR 1.31} Th: irsfdnmztiaax E51
`u5rc'd‘m ubliiin or retain a bcnefilbg ch‘-.3 pubkc which is: to _F.Ez-. {and by the USP‘I'{) in process}
`2. d 32 CPR H4. T is cralicctian is csrimaxcci in Lake E.
`_
`.. .I
`mmulcs In mn1_plti:. Irnzludmg gatfxcri::g,‘;xmp:snng., and
`an 3.13.’? Mien. i‘uN“;dcnx:':—:Iiw
`gevcmed by 35 U.S.C
`'1"
`,2
`I V’
`dc cndjn upon the indwiduai civic. Any ccmments On tht nm4‘xluniu§1IIr3Ie yum require: in mm 3:21,:
`.=;ubr:‘
`I; that comp1:.u:d appficalxmx ism: tu me US 0
`_
`K
`ig
`_
`. _‘
`_
`1?: wt!
`1hz$f0r!11::n.LU‘0>' Sm:
`:sImn:q far reducing this hard:
`sin n
`..
`‘
`. 7
`ml c L inf‘ Ev: nnnasiun O{i"sccr_ l}.S. Pascal and Trademark ,O£1’:cc. 1.3.5. Dcp:mm.-:m at L.{1mm<'K‘(‘_:» »,D
`-unigs ‘.»‘23‘)3sI45()‘ DUNOT SEND .
`. OR COMPLETED FD}iMS l'v(}’"I'H”JS A./DDRESS. SEND TO: Comm-.ssi0nct for I‘-.m‘r1u-'. PO; Box £4330.
`90* ?‘W3,. -*‘\}‘,c::<:m:!:
`,
`Almandhl Vltgiviia 223
`450‘
`Ur-r‘3=¥ ihc Van’:-LV‘-'!>=‘k Rt;-ciuclmn Act of 1993. rm masons are stquircd in rcspnnd Ian Eullcciiun of ini'm'mn(io,I1 unless it displays a valid OMS cL'>u£rnI number.
`
`F'TC*L~-S5 {Rem 01/S 1)!\pprow.'d for me through 0313 Ham 3..
`
`0M8 06$ 1 -003 3
`
`us. Pmem and Tradcmmk Ufficc; us. DEPARTM Em‘ ()1: CBMM sacs
`
`Petitioner Ciena Corp. et al.
`Exhibit 1003-2
`
`

`
`Electronic Patent Application Fee Transmittal
`
`Filing Date:
`
`15-Jun-2010
`
`ml‘ °f l""°"l'°"‘
`
`RECONFIGURABLE OPTICAL ADD-DROP MULTIPLEXERS WITH SERVO
`CONTROL AND DYNAMIC SPECTRAL POWER MANAGEMENT CAPABILITIES
`
`First Named Inventor/Applicant Name:
`
`Jeffrey P. Wilde
`
`Filer:
`
`Attorney Docket Number:
`
`Barry N. Young
`
`C2393-1101RE2
`
`Utility under 35 USC111(a) Filing Fees
`
`Description
`
`Fee Code
`
`Quantity
`
`Sub-Total in
`USD(S)
`
`Basic Filing:
`
`Claims:
`
`Miscellaneous-Filing:
`
`Patent-Appeals-and-Interference:
`
`Post-Allowance-and-Post-lssuance:
`
`Utility Appl issue fee
`
`1501
`
`151 O
`
`1510
`
`Extension-of-Time:
`
`Petitioner Ciena Corp. et al.
`Exhibit 1003-3
`
`

`
`Description
`
`Miscellaneous:
`
`Sub-Total in
`USD($)
`
`Total in USD ($)
`
`1510
`
`Petitioner Ciena Corp. et al.
`Exhibit 1003-4
`
`

`
`Electronic Acknowledgement Receipt
`
`10132129
`
`Confirmation Number:
`
`1-"le °f l'“'°""°"‘
`
`RECONFIGURABLE OPTICAL ADD-DROP MULTIPLEXERS WITH SERVO
`CONTROL AND DYNAMIC SPECTRAL POWER MANAGEMENT CAPABILITIES
`
`First Named Inventor/Applicant Name:
`
`Jeffrey P. Wilde
`
`Customer Number:
`
`48789
`
`I F
`
`iler Authorized By:
`
`Attorney Docket Number:
`
`C2393—i 101 RE2
`
`Time Stamp:
`
`20:57:30
`
`Application Type:
`
`Utility under 35 USC 11 1(a)
`
`Payment information:
`
`Submitted with Payment
`
`PaymentType
`
`Payment was successfully received in RAM
`RAM confirmation Number
`
`Deposit Account
`
`Authorized User
`
`Credit Card
`
`$1510
`
`Document
`Number
`
`Document Description
`
`File Size(Bytes)/
`Message Digest
`
`Pages
`Multi
`Part /.zip (ifappl.)
`
`Petitioner Ciena Corp. et al.
`Exhibit 1003-5
`
`

`
`Issue Fee Payment (PTO—85B)
`
`PTOL—85.pdf
`
`296160
`
`ar0fifih0hd09§ 3P0§748§U4r‘l(Phfi7l 541 5r
`b71952
`
`Fee Worksheet (PTO—875)
`
`fee—info.pdf
`
`d6L5l.:4el 55015738302592“ 84d53l5l 191
`ab] 95
`
`Information:
`
`Total Files Size (in bytes)
`
`326340
`
`This Acknowledgement Receipt evidences receipt on the noted date by the USPTO of the indicated documents,
`characterized by the applicant, and including page counts, where applicable. It serves as evidence of receipt similar to a
`Post Card, as described in MPEP 503.
`
`New 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.
`
`Petitioner Ciena Corp. et al.
`Exhibit 1003-6
`
`

`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box I450
`Alexandria, Virginia 223 I3-I450
`www.uSplo.gtJv
`
`NOTICE OF ALLOWANCE AND FEE(S) DUE
`
`.
`.
`04/1 I/20l 1
`7590
`43789
`LAW OFFICES OF BARRY N. YOUNG
`200 PAGE MILL ROAD
`SUITE 102
`PALO ALTO, CA 94306
`
`EX MINER
`A
`HEALY. BRIAN
`
`'
`
`_ 2333
`DATE MAILED: 04/] 1/20] I
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`C2393—l IOIREZ
`Jeffrey P. Wilde
`O6/I5/20l0
`I2/8l5,93O
`TITLE OF INVENTION’ RECONFIGURABLE OPTICAL ADD-DROP MULTIPLEXERS WITH SERVO CONTROL AND DYNAMIC SPECTRAL
`POWER MANAGEMENT CAPABILITIES
`'
`'
`
`2344
`
`APPLN. TYPE
`
`SMALL ENTITY
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE
`
`PREV. PAID ISSUE FEE
`
`TOTAL FEE(S) DUE
`
`DATE DUE
`
`nonprovisional
`
`NO
`
`$l5l0
`
`$0
`
`$0
`
`$|5l0
`
`O7/I I/ZOI I
`
`THE APPLICATION IDENTIFIED ABOVE HAS BEEN EXAMINED AND IS ALLOWED FOR ISSUANCE AS A PATENT.
`PROSECUTION ON THE MERITS IS CLOSED. THIS NOTICE OF ALLOWANCE IS NOT A GRANT OF PATENT RIGHTS.
`THIS APPLICATION IS SUBJECT TO WITHDRAWAL FROM ISSUE AT THE INITIATIVE OF THE OFFICE OR UPON
`PETITION BY THE APPLICANT. SEE 37 CFR 1.313 AND MPEP 1308.
`THE ISSUE FEE AND PUBLICATION FEE (IF REQUIRED) MUST BE PAID WITHIN THREE MONTHS FROM THE
`MAILING DATE OF THIS NOTICE OR THIS APPLICATION SHALL BE REGARDED AS ABANDONED.
`THIS
`STATUTORY PERIOD CANNOT BE EXTENDED.
`SEE 35 U.S.C. 151. THE ISSUE FEE DUE INDICATED ABOVE DOES
`NOT .REFLECT A CREDIT FOR ANY PREVIOUSLY PAID ISSUE FEE IN THIS APPLICATION.
`IF AN ISSUE FEE HAS
`PREVIOUSLY BEEN PAID IN THIS APPLICATION (AS SHOWN ABOVE), THE RETURN OF PART B OF THIS FORM
`WILL BE CONSIDERED A REQUEST TO REAPPLY THE PREVIOUSLY PAID ISSUE FEE TOWARD THE ISSUE FEE NOW
`DUE.
`-
`
`HOW TO REPLY TO THIS NOTICE:
`
`1. Review the SMALL ENTITY status shown above.
`
`lfthe SMALL ENTITY is shown as YES, verify your current
`SMALL ENTITY status:
`-
`
`Ifthe SMALL ENTITY is shown as NO:
`
`A. If the status is the same, pay the TOTAL FEE(S) DUE shown
`' above.
`
`A. Pay TOTAL FEE(S) DUE shown above, or
`
`B. If the status above is to be removed, check box _5b,on Part B -
`Fee(s) Transmittal and pay the PUBLICATION FEE (if required)
`and twice the amount ofthe ISSUE FEE shown above, or
`
`B. If applicant claimed SMALL ENTITY status before, or is now
`claiming SMALL ENTITY status, check box 5a on Part B — Fee(s)
`Transmittal and pay the PUBLICATION FEE (if required) and 1/2
`the ISSUE FEE shown above.
`
`ll. PART B - FEE(S) TRANSMITTAL, or its equivalent, must be completed and returned to the United States Patent and Trademark Office
`(USPTO) with your ISSUE FEE and PUBLICATION FEE (if required). If you are charging the fee(s) to your deposit account, section "4b"
`of Part B — Fee(s) Transmittal should be completed and an extra copy ofthe form should be submitted. If an equivalent of Part B is filed, a
`request to reapply a previously paid issue fee must be clearly made, and delays in processing may occur due to the difficulty in recognizing _
`the paper as an equivalent of Part B.
`
`III. All communications regarding this application must give the application number. Please direct all communications prior to issuance to
`Mail Stop ISSUE FEE unless advised to the contrary.
`
`IMPORTANT REMINDER: Utility patents issuing on applications filed on or after Dec. 12, 1980 may require payment of
`maintenance fees. It is patentee‘s responsibility to ensure timely payment of maintenance fees when due.
`
`PTOL-85 (Rev. 02/1 I)
`
`Page I of3
`
`Petitioner Ciena Corp. et al.
`Exhibit 1003-7
`
`

`
`PART B — FEE(S) TRANSMITTAL 1
`
`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 fig (571)-273-2885
`.T_:
`
`C mfll C
`I0 I C CUITCDI COITCS on CDCC Ii
`T655 35
`INSTRUCTIONS: This form should be used for transmitting the ISSUE FEE and PUBLICATION FEE (if required)’. Bloclksdl
`thlriough 5 should be cdomplettédj where
`' ap ropriate. All further correspondence including the Patent, advance orders and notification of maintenance fees will
`in icated unless corrected below or directed otherwise in Block I. by (a) specifying a new correspondence address; and/or (b) indicating a separate " EE ADDRESS" for
`maintenance fee notifications.
`.
`CURRENT CORRESPONDENCE ADDRESS (N010? U50 Blockl Fornny chanseofaddrcss)
`can only be used for domestic mailings of the
`Note: A certificate of_mailir_i
`Fee(s) Transmittal.’ This certi icate cannot be _used for any other accompanying
`papers. Each additional paper, such as an assignment or fonnal drawing, must
`ave its own certificate of mailing or transmission.
`'
`
`04/l I/201 I
`
`48789
`
`7590
`
`LAW OFFICES OF BARRY N. YOUNG
`200 PAGE MILL ROAD
`SUITE 102
`PALO ALTO CA 94306
`
`_
`
`ere
`cent
`t att is
`e
`s
`ransmtta is einl
`e osite wi
`e
`ni e
`T h Ce;_tifiFcate MTMailing <z|r,Ttr’a,nsm;ssi0n d
`b
`I h
`‘lb lh U 1 d
`ervice with sfiilicient postage for firét clgss mail in an envelope
`States ostal
`addressed to the Mail Sto
`ISSUE FEE address above, or being facsimile
`transmitted to the USPTO( 71) 273-2885. on the date indicated below.
`
`(Signature)
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`_ ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`C2393-I l0l RE2
`Jeffrey P. Wilde
`06/I5/2010
`I2/8l5,930
`TITLE OF INVENTION: RECONFIGURABLE OPTICAL ADD-DROP MULTIPLEXERS WITH SERVO CONTROL AND DYNAMIC SPECTRAL
`POWER MANAGEMENT CAPABILITIES
`
`2344
`
`APPLN. TYPE
`
`nonprovisional
`
`SMALL ENTITY
`NO
`
`.
`
`EXAMINER
`
`ISSUE FEE DUE
`
`$l5l0
`
`ART UNIT
`
`PUBLICATION FEE DUE
`$0
`
`PREV. PAID ISSUE FEE
`$0
`
`TOTAL FEE(S) DUE
`
`$I5l0
`
`DATE DUE
`
`07/I I/Z01 I
`
`CLASS-SUBCLASS
`
`_
`2883
`HEALY. BRIAN
`l. Chan e ofcorrespondence address or indication ot""Fee Address" (37
`CFR I. 63).
`El Chan e ofcorres ondence address (or Change of Correspondence
`Address om PTO/ B/122) washed’
`D "Fee Address" indication (or "Fee Address" Indication fonn
`PTO/SB/47; Rev 03—02 or more recent) attached. Use of It Customer
`Number is required,
`
`7
`
`385-024000
`2." For printing on the patent front page, list
`.
`(I) the names of up to 3 registered patent altomeys
`or agents OR. alternatively,
`(2) the name ofa single finn (having as a member a
`registered all0|'T16)’ 0|’ agent) and lhe n3|T1€5 0f UP [0
`2 registered patent attorneys or agents. If no name is
`listed, no name will be printed.
`
`~
`3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
`If an assignee is identified below, the document has been filed for
`PLEASE NOTE: Unless an assi nee is identified below, no assignee data will appear on the patent.
`recordation as set forth in 37 CF 3.l I. Completion ofthis fonn is NOT a substitute for filing an assignment.
`(A) NAME OF ASSIGNEE
`(B) RESIDENCE: (CITY and STATE OR COUNTRY)
`
`Please check the appropriate assignee category or categories (will not be printed on the patent) : El Individual Cl Corporation or other private group entity El Government
`
`4a. The following fee(s) are submitted:
`D Issue Fee
`D Publication Fee (No small entity discount penriitted)
`D Advance order . 41 of Copies
`5. Change in Entity Status (from status indicated above)
`D b. Applicant is no longer claiming SMALL ENTITY status. See 37 CFR l,27(g)(2).
`D a. Applicant claims SMALL ENTITY status. See 37 CFR l.27.
`NOTE; The Issue Fee and Publication Fee (ifrequired) will not be accepted from anyone other than the applicant; a registered attorney or agent; or the assignee or other party in
`interest as shown by the records of the United States Patent and Trademark Office.
`
`4b. Payment of Fee(s): (Please first reapply any previously paid issue fee shown above)
`D A check is enclosed.
`'
`D Payment by credit card. Fonri PTO-2038 is attached.
`UThe Director is hereby authorized to charge the required fee(s), any deficiency, or credit any
`overpayment, to Deposit Account Number
`enclose an extra copy ofthis fon-ri).
`
`Authorized Signature
`
`Date
`
`Typed or printed name Registration No,
`
`This collection ofinformation is required by 37 CFR L3] 1. The information is re uired to obtain or retain a benefit b the public which is to tile (and by the USPTO to process)
`an application. Confidentiality is governed by 35 U.S.C. I22 and 37 CFR l.l4. T is collection is estimated to take I minutes to complete, includi_iig gatheringhprepanng, and
`submitting the completed application fomi to the USPTO. Time will vargl de endin upon the individual case. Any comments on the amount of time you require to com Iete
`this form and/or su gestions for reducing this burden, should be sent to t e C ieflnfiormation Ofiicer, U.S. Patent and Trademark OlTce. US. Department ofCommerce,
`.0.
`Box I450. Alcxan ria. Vir inia 22313-I450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, PO. Box I450.
`Alexandria, Virginia 223l3g-I450.
`.
`Under the Paperwork Reduction Act of I995. no persons are required to respond to a collection ofinfonnation unless it displays a valid OMB control number.
`
`PTOL—85 (Rev. 02/] I) Approved for use through 08/3 I/20l 3.
`
`OMB 0651-0033
`
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`
`Petitioner Ciena Corp. et al.
`Exhibit 1003-8
`
`

`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Offiee
`Address: COMMISSIONER FOR PATENTS
`PO. Box I450
`Alexi-1ndrin,Virginin 22313-I450
`www.usplo.gov
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAM ED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`I2/8l5,930
`
`06/I5/2010
`
`.
`
`Jeffrey P. Wilde
`
`C2393-I l0IRE2
`
`2344
`
`LAW OFFICES OF BARRY N. YOUNG
`200 PAGE MILL ROAD
`SUITE 102
`PALO ALTO, CA 94306
`
`4
`
`.
`
`HEALY, BRIAN
`
`2883
`DATE MAILED: 04/I I/20lI
`
`Determination of Patent Term Extension or Adjustment under 35 U.S.C. 154 (b)
`
`A reissue patent is for "the unexpired part of the term of the original patent." See 35 U.S.C. 251. Accordingly, the
`above-identified reissue application is not eligible for Patent Term Extension or Adjustment under 35 U.S.C. 154(b).
`
`Any questions regarding the Patent Term Extension or Adjustment determination should be directed to the Office of
`Patent Legal Administration at (571)-272-7702. Questions relating to issue and publication fee payments should be
`directed to the Customer Service Center of the Office of Patent Publication at I—(888)—786-0101 or (571)-272-4200.
`
`PTOL-85 (Rev. 02/] I)
`
`Page 3 of 3
`
`Petitioner Ciena Corp. et al.
`Exhibit 1003-9
`
`

`
`Privacy Act Statement
`
`The Privacy Act of 1974 (PL. 93-579)irequires that you be given certain information in connection with
`your submission of the attached form related to a patent application or patent. Accordingly, pursuant to
`the requirements of the Act, please be advised that: (1) the general authority for the collection of this
`information is 35 U.S.C. 2(b)(2); (2) furnishing of the information solicited is voluntary; and (3) the
`principal purpose for which the information is used by the U.S. Patent and Trademark Office is to process
`and/or examine your submission related to a patent application or patent. If you do not furnish the
`requested information, the U.S. Patent and Trademark Office may not be able to process and/or examine
`your submission, which may result in termination of proceedings or abandonment of the application or
`expiration of the patent.
`
`The information provided by you in this fomi will be subject to the following routine uses:
`1. The information on this fonri will be treated confidentially to the extent allowed under the Freedom
`of Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 552a). Records from this system of
`records may be disclosed to the Department of Justice to determine whether disclosure- of these
`records is required by the Freedom of Information Act.
`.
`. A record from this system of records may be disclosed, as a routine use, in thecourse of presenting
`evidence to a court, magistrate, or administrative tribunal, including disclosures to opposing counsel
`in the course of settlement negotiations.
`. A record in this system of records may be disclosed, as a routine use, to a Member of Congress
`submitting a request involving an individual, to whom the record pertains, when the individual has
`requested assistance from the Memberwith respect to the subject matter of the record.
`. A record in this system of records may be disclosed, as a routine use, to a contractor of the Agency
`having need for the information in order to perform a contract. Recipients of information shall be
`required to comply with the requirements of the Privacy Act of 1974, as amended, pursuant to 5
`U.S.C. 552a(m).
`. A record related to an International Application filed under the Patent Cooperation Treaty in this
`system of records may be disclosed, as a routine use, to the International Bureau of the World
`Intellectual Property Organization, pursuant to the Patent Cooperation Treaty.
`. A record in this system of records may be disclosed, as a routine use, to another federal agency for
`purposes of National Security review (35 U.S.C. 181) and for review pursuant to the Atomic Energy
`Act (42 U.S.C. 218(c)).
`to the Administrator,
`. A record from this system of records may be disclosed, as a routine use,
`General Services, or his/her designee, during an inspection of records conducted by GSA as part of
`that agency's responsibility to recommend improvements in records management practices and
`programs, under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall be made in accordance
`with the GSA regulations governing inspection of records for this purpose, and any other relevant
`(i.e., GSA or Commerce) directive. Such disclosure shall not be used to make determinations about
`individuals.
`. A record from this system of records may be disclosed, as a routine use, to the public afier either
`publication of the application pursuant to 35 U.S.C.
`l22(b) or issuance ofa patent pursuant to 35
`U.S.C. 151. Further, a record may be disclosed, subject to the limitations of 37 CFR 1.14, as a
`routine use, to the public if the record was filed in an application which became abandoned or in
`which the proceedings were terminated and which application is referenced by either a published
`application, an application open to public inspection or an issued patent.
`. A record from this system of records may be disclosed, as a routine use, to a Federal, State, or local
`law enforcement agency, if the USPTO becomes aware of a violation or potential violation of law or
`regulation.
`
`Petitioner Ciena Corp. et al.
`Exhibit 1003-10
`
`

`
`_
`_
`,
`Notice of Allowabrlrty
`
`Application No.
`
`12/815.930
`Examine,
`
`BRIAN M. HEALY
`
`Applicant(s)
`
`WILDE ET AL.
`
`-- The MAILING DA TE of this communication appears on the cover sheet with the correspondence address--
`All claims being allowable. PROSECUTION ON THE MERITS IS (OR REMAINS) CLOSED in this application.
`If not included
`herewith (or previously mailed), a Notice of Allowance (PTOL-85) or other appropriate communication will be mailed in due course. THIS
`NOTICE OF ALLOWABILITY IS NOT A GRANT OF PATENT RIGHTS. This application is subject to withdrawal from issue at the initiative
`of the Office or upon petition by the applicant. See 37 CFR 1.313 and MPEP 1308.
`
`1, E This communication is responsive to the response filed 1/31/2011.
`
`2. IX! The allowed claim(s) is/are 1-67.
`
`3. I:] Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
`a) I] All
`b) D Some*
`c) E] None
`of the:
`
`1. El Certified copies of the priority documents have been received.
`2. E] Certified copies of the priority documents have been received in Application No. __
`
`3. |:I Copies of the certified copies of the priority documents have been received in this national stage application from the
`International Bureau (PCT Rule 17.2(a)).
`* Certified copies not received:
`
`Applicant has THREE MONTHS FROM THE “MAILING DATE” of this communication to file a reply complying with the requirements
`noted below. Failure to timely comply will result in ABANDONMENT of this application.
`THIS THREE-MONTH PERIOD IS NOT EXTENDABLE.
`
`4. I:] A SUBSTITUTE OATH OR DECLARATION must be submitted. Note the attached EXAM|NER'S AMENDMENT or NOTICE OF
`INFORMAL PATENT APPLICATION (PTO-152) which gives reason(s) why the oath or declaration is deficient.
`
`5. E] CORRECTED DRAWINGS (as “replacement sheets") must be submitted.
`(a) D including changes required by the Notice of Draftsperson's Patent Drawing Review ( PTO-948) attached
`1) E] hereto or 2) D to Paper No./Mail Date
`
`(b) D including changes required by the attached Examiner’s Amendment I Comment or in the Office action of
`Paper No./Mail Date
`Identifying indicia such as the application number (see 37 CFR 1.84(c)) should be written on the drawings in the front (not the back) of
`each sheet. Replacement sheet(s) should be labeled as such in the header according to 37 CFR 1.121(d).
`
`6. I:] DEPOSIT OF and/or INFORMATION about the deposit of BIOLOGICAL MATERIAL must be submitted. Note the
`attached Examiner's comment regarding REQUIREMENT FOR THE DEPOSIT OF BIOLOGICAL MATERIAL.
`
`AI:tachment(s)
`1. X Notice of References Cited (PTO—892)
`
`2. [:| Notice of Draftperson's Patent Drawing Review (PTO-948)
`
`3. D Information Disclosure Statements (PTO/SB/08),
`Paper No./Mail Date
`4. [II Examiner's Comment Regarding Requirement for Deposit
`of Biological Material
`‘
`
`5. E] Notice of Informal Patent Application
`
`6. |:I Interview Summary (PTO-413).
`Paper No./Mail Date
`.
`7. E] Examiner's Amendment/Comment
`
`8. E Examiner's Statement of Reasons for Allowance
`
`9. I] Other
`/BRIAN M. HEALY/
`PRIMARY EXAMINER
`ART UNIT: 2883
`
`U.S. Patent and Trademark Office
`PTOL-37 (Rev. 08-06)
`
`Notice of Allowability
`
`_
`Part of Paper NO./Mall Date 20110215
`
`Petitioner Ciena Corp. et al.
`Exhibit 1003-11
`
`

`
`Application/Control Number: 12/815,930
`
`Art Unit: 2883
`
`DETAILED ACTION
`
`Allowable Subject Matter
`
`1.
`
`The following is an examiner's statement of reasons for allowance: The closet
`
`references of record are (Note these references were made of record on PTOL-1449)
`
`Bouevitch et. al., U.S.P. No. 6,498,872 which teaches (Figs.1-12) an optical device
`
`which is used in conjunction with configurable optical add/drop multiplexers (COADM)
`
`which includes optical fiber input/output ports 80a,80b,99a,99b which sends wavelength
`
`of light which are collimated through lens 90 to spherical reflector 10 which is incident of
`
`diffraction grating 20 to MEMS ref|ector(s) 51,52.which are movable in either the
`
`horizontal or vertical directions to return specific wavelengths lambda 1,
`
`|ambda2 to the
`
`output ports 3. Bouevitch et. al., U.S.P. No. 6,498,872 does not teach or suggest using
`
`channel micromirrors which are both individually and continuously controllable to reflect
`
`received spectral channels to any one of the output ports and to control the power of the
`
`received spectral channels coupled to the output ports.
`
`2.
`
`Additional secondary references Wagener et. al., U.S.P. No. 6,631,222 (Figs.1-
`
`4), Jin et. al., U.S.P. No. 6,256,430 (Figs.1—7) and Ma et. al., U.S.P. No. 6,567,574
`
`(Figs.1-12) all teach that at the time the invention was made it was know that pivotable
`
`micromirrors or MEMS can be used with wavelength multiplexers to switch or select
`
`wavelengths between input and output ports.
`
`3.
`
`None of the aforementioned references, either taken alone or in combination with
`
`each other, teach or suggest the claimed wavelength separating routing device which
`
`includes multiplefiber collimators, a wavelength separator, a beam-focuser and a
`
`Petitioner Ciena Corp. et al.
`Exhibit 1003-12
`
`

`
`Application/Control Number: 12/815,930
`Art Unit: 2883
`
`Page 3
`
`spatial array of channel micro mirrors which are pivotable about two axes and are both
`
`individually and continuously controllable to reflect received spectral channels to any
`
`one of the output ports and to control the power of the received spectral channels
`
`coupled to the output ports. These limitations are recited in amended claim 1.
`
`Therefore the patentabilig of amended claim 1 is confirmed.
`
`4.
`
`Dependent claims 2-20 are inclusive of the limitations of amended claim 1, as
`
`well as other additionally recited limitations. Please see the dependent claims for the
`
`specifics of these additionally recited limitations. The gatentabiligy of dependent
`
`claims 2-20 is confirmed.
`
`5.
`
`In addition, none of the aforementioned references, either taken alone or in
`
`combination with each other, teachor suggest the claimed servo-based optical
`
`apparatus comprising multiple fiber collimators providing multi-wavelength optical signal
`
`and a plurality of output ports, a wavelength separator, a beam focuser, a spatial array
`
`of individually controllable channel micromirrors and a servo-control assembly in
`
`communication with the channel micromirrors and the output ports for maintaining a
`
`predetermined coupling of each reflected spectral channels into one of the output ports.
`
`6.
`
`These limitations are recited in original claim 21. Therefore the patentabiligy of
`
`original claim 21 is confirmed.
`
`7.
`
`Dependent claims 22-30 are inclusive of the limitations of original claim 21, as
`
`well as other additionally recited limitations. Please see the dependent claims for the
`
`specifics of these additionally recited limitations. The patentabilig of dependent
`
`claims 22-30 is confirmed.
`
`Petitioner Ciena Corp. et al.
`Exhibit 1003-13
`
`

`
`Application/Control Number: 12/815,930
`Art Unit: 2883
`
`Page 4
`
`8.
`
`In addition, none of the aforementioned references, either taken alone or in
`
`combination with each other, teach or