IJNITI-'.D S'l'A'l'F.S I351".-\ RT.-'6-lF.,\'T OF (".'0.\‘Ii\’lI-'.R{TI'l
`lfnited 5laI'.I.-5 Pall.-nl and Trademark 0|'fit:I.-
`Asidrws: C0.\-'T.\"[|SSlO!\'ER FOR PATENTS
`F’ 0 Bus: I450
`Mcxnndria. \’i
`"Iain H31]-I450
`u IA-w.us.pIo.go-
`
`12.18 I 5.9.10
`
`(}9!Ut1r'2(J1 I
`
`R15-12678
`
`(T2 193-] it)! RI i2
`
`-187 89
`
`749::
`
`li3.f1'.".*2LI! l
`
`LAW (IFI-'[(_‘l';‘S ()-F BARRY N. YOUNG
`P. 0. Box 448
`PM .0 A1_.'1‘O. CA 94302-0443
`
`The projected patent number and issue date are specified above.
`
`ISSUE NOTIFICATION
`
`Determination of Patent Term Extension or Adjustment under 35 U.S.C. 154 (b)
`
`A reissue patent is for "the unexpired part of the term of the original patent." See 35 U.S.C. 251. Accordingly,
`the above-identified reissue application is not eligible for Patent Term Extension or Adjustment unde1' 35
`U.S.C. 154(b'}.
`
`Any questions regarding the Patent Term Extension or Adjustment determination should be directed to the
`Office of Patent Legal Administration at (571)-272-7702. Questions relating to issue and publication fee
`payments should be directed to the Application Assistance Unit (AAU) of the Office of Data Management
`IODM) at (571)-272-4200.
`
`APPLICANT(S) (Please see PAIR WEB silo l1llp:ffpair.L|splo.g(w [hr additional applicants}:
`
`Jeffrey P. Wilde. Morgan Hill, CA;
`.losep['t 13. Davis, Morgan Hill. CA:
`
`IRID.‘ {Reta 10709}
`
`Exhibit 1002, Page 1
`
`

`
`mar 3 . I-'EE(S) Ttunsmtrrm.
`
`<
`
`Compiete and send this farm. together with appticahlt: feds). to: Mail Mail Stnp ISSUE FEE
`Cnmmissicmer for Patents
`}‘.O. Box 1450
`Alexandria, Virginia 22313-1350
`or £5 (57! j-2'73-2885
`
`‘
`
`“M 3,, m,,,F;m5 wt”,
`1 1|.,«m,3h 5 3
`--3; (it mq..i§¢_.3_ 3|“; 5
`‘
`__
`_
`-
`__
`..
`tNSTR1;Crl0r¢53_: This font: should bc_ nscd_ ur tmnsmutting
`tsmpnnte Ali itmlact can-espondcucc mcludmg the I-went. zdvanee orders and nattficatxun of rnamtenm-tee fccs ml:
`. marred tn the tfittrrcnt cfififséiétfldcncc qtddztss as
`rrtmnt.-:narH:c kc nct1ft:‘.'atto't*.5.
`tnétcatcd mtfc.-.5 crIr‘rc¢'It’-gi below ar cimx-ted tslhcnvlsc an {Huck 1. by [a} spwuiytau 9. new currcspondcnec arldn-sx; atmifct {b3 indit:aI'in|g a scparntt “'
`E .'t:)DKI-15$" for
`'3-'U5"’-1’-‘*7 C033?-“-5'3"]-’?3NCE ANNE-‘iS{N°l¢: Us‘ NEW“ ‘WI-*1’-'-"I-Isa are-sdrnt:
`Note; A ucnifiratc ol'_mailin
`can uniy be used fur domestic maiiings oftlxc
`Facts) Tmnsamttql. Thts cert: scale cnrtnut be mad for my utlm ::::tor_npuny1ng
`t
`'
`rivers. Each EldEi_|[‘iII)I'lB| p:speI'_.rsuch as an arifiigmnanl rt: 11-:mml tlrwtng. max:
`mu: I s awn rem mate :3!‘ ma: mg er transntmum.
`Ct-rtilicate ofmalllug urTramsn-sisslnta
`Ihcmia ccrtif
`th:9,tth'si‘
`'s Trans:
`IIa3'
`bu" H1 |'.It15'rcd "itthc U "tun!
`States Frnslal «vice ts:i%It SN mirnt_pt:?::u_gr"?ar
`(E35: lanuiiwflt‘ an cat‘;-3
`nddrcssgd to the Maui Stu
`{SSUL-. FEE 9ddl‘C$.,‘h_i|hg‘1’\‘C_. or being f:u:strn.lc
`tmnsmtttsd to the USPTCH ‘#1) 213-2835. on thr dutv: mdtcamd hei<sw_
`
`um um”
`mm
`487“
`LAW OFFICES OF BARRY N. YOUNG
`.
`'
`NHLL
`SUIH: 102
`?AL0 ALTO CA 94396
`
`'
`
`;‘
`
`-
`
`'
`
`_ Armnuav 9l)(.‘K'é'IF em.
`runs? NAMED mvtsmtua
`mum: iMTl':
`C2393-I INREE
`It.-[flay P. Wild:
`Ofifl 5-"20|l’l
`E2.'515.930
`TITLE OF iN\r'i.‘.NT!ON: RF-JCDNFI{.iUR.t\BLE OPTICAL .#t.DIJ~DIlOP- MUUFIPLIEXERS WITH SERVO CONTROL AN!) [‘.|‘\'.\|'M\1!{.E SPf:'i'.'I'!-EM.
`POW'ER MANAGEMENT Ct|'l.PJ\l3[i.§ ‘fl E5‘
`
`tour-umunrmn N9.
`23-14
`
`nanprokimttutl
`
`$MAL|.|ENI'iT‘1'
`N0
`
`‘
`
`Exnmtnt‘-.3
`HE.-*\I.Vr'. fl?! IAN
`
`S1.‘-It}
`
`283.3
`
`ruBt.:cA11om=t-‘.t=.t:uta m3v.mtJtssut:I=|3r;
`so
`so
`
`‘P£3'mLl’EE{3CIDL=E;
`
`£1‘!!! i:’I.’f) H
`
`r:t.;ftss.sunct..»tss
`38 5:02-4000
`
`Gfcmespaudencc address or intjitatirttt as‘ "Fae Address‘ (37
`tr“ LAKE]
`.
`J‘ 6'
`.
`U {Thank :a£‘:eI!m:}é=ondt:nct address (at Change of Cnrrcitputubrncc
`Mum“ am Wm 3‘ E“!-’ m“m"d'
`D “Far: Mama" indi-iafinn (m "I-‘ct: Addrtss“ Indication ram:
`I-mrswat; Rev 9.5432 ur mar: rcccnt} altachad. Ilse or a Customer
`Number is requireti.
`
`.
`
`1.‘ Far printing on the parent frtmt page. list
`{U the niunefi uftas two 3 rcgislcrtd patent attorneys
`nr ugenu GR. nhtmsntitmiy.
`{It‘)_t.i1e name of: singie firm (having as :3 rne:_nbcr it
`Itittslpmd sttomty at sgcnt} and that mum or up to
`l_ Wfilslcttfl intent e:tomt;)'% 0? iit:¢I1|&- if =20 "B1119 '5
`ltswd. Hr: name wtlf be pnnlnd.
`
`3..-‘xSS!fJNi3lS-N.‘tIu1E-AND RESIDENCE. DATATFJ BE PRINTED ON THE P.~\TENT(§1rinl0?lypt:}
`
`*w.§.53.'.'7£ym¥—A-- —-—-~--.
`
`Unicss an assisagncc is identified hciuw, no nssigm: data win appear on the pstcttt. If an assigatcc in 'idctttiE'acd ix.-Tow, the dc-t:u:::em has been tired far
`!'L[:':\SI_3 N0
`rucrtrtiatstir-asset furih II} 3? CF. 3.1! Curnpleitan nftlsls fnmt is NUT 2 substilttlt: I1‘.-r filing rm asstgnmcrtt.
`{A} NAME OF ASSIBNEE
`{8} RESJBENCE: (CITY Ifld-S_T.§'Tfi OR COUN'!‘RY}
`
`Capella Photc-nics,
`
`_I_n-c.
`
`_
`
`San Jose,
`
`filztkifotnia
`
`Neda: check in agprupriatc assigncc catargory crr_catt.-gm-1'es (wilt run: he prittmd tm the patent} 2 C} lntiivithtnl Qtcint-poratim am (Rho! private: grssup cstlity U ('.i<wc113mcn!
`
`«1a_‘E‘hc fnE:-nwiatg f<:c{.-J) are submitted;
`Kxlssuc Fa:
`D Fnhlittatintt Ftc {Nu strtall (rarity distnuns ptnniltbd}
`:1
`.
`‘
`5
`Advantc Om“ # of Lon cs “““'—““"‘—-_""""""'
`5. Change In Enfitystatus (ti-um SLEKIL-‘G indicated show)
`[:1 la. Appiicnnt ism: lttmgerclaimang SMALL ENTITY sunus. Sci: 2|? CPR L2T{g](2}.
`3 a. .RppI:'t‘:tt\1t2|aili1! SMALL tiN'l‘1}“:‘ Status. Sec 3? CFR I21‘.
`N(‘J'J'1i: The l:es_ug:_Fuc and f'_ubiir.-atian'1-‘ct{1frt:quimLl)wi§! nut ‘an accepted [mm anyone mhcr than the applicant: a registered attumey at ttjaénl: rsr the Msignec u_r other party in
`immst as she».-:: W’ the «cards ufthc 3
`led States Patent and Tradtrmatik 0|'l'tt:c.
`
`4b. Piyfftcul 9! Feds): {Please ttm mttppty any pnuiautily pttit! issur fun shawl: ahtjwu)
`D3 check is enclosed.
`_
`_
`_
`“Payne: by credit card. Fnrrn FTC-2038 is atlathcxi
`(I.‘.3."‘E>“"'\‘-‘£1 I7)
`UTE: Erector is held)
`n tht:-r'itct'.-G to chat
`the mquirtd reefs}. 3 ry I
`f‘tc:cm:3;_ orcretlit any
`twarpnlyrrtcnt, In Drpgsiluhccouns Nnmhcgte
`EI‘lt1‘i.l$c‘I;I extra 'x‘!.|rl_5* oflhlrt fftrffl}
`
`Autrmriaed Signat-.::e_
`Tygtcd or pnmnd ttantc
`
`55
`
`:_1q;._-__h_E‘_*_I§_y 19: EOIIJ
`
`Bar rv _l‘_§_;__§_'
`
`II‘
`
`I§cgi5t11t"lfnrI Na.
`
`‘_‘_______
`
`In pmccss
`g pubiic which is to {mic {and by the l,I$l‘T
`uitcti to ubtair} or rptain 3 benefit
`::':an :_-l'i::forrrn:;ti:;n i§ required ray 3‘? CFR 1.311. The im‘nm1ation is I
`Thus mil
`!
`rnmutcs Io mmplttc. tncludapg Ra3liWI=It:._.tIIt=nmn::. ii
`is cnllectmn :5 nsttmpmi to Latin:
`_
`an up
`' nun. Cuntiticnzxaltty :5 govern-.-d by 3! U.SC.-Inland 3? CFR I. I4. ‘I’
`in upon the indmtitsal case. any comments on the amttunl of tune you mqtllrtz In cum {etc
`submrtltng [he corrtpigtad nppficatton form to III! USPTCI. hm: wtil I’
`de
`thzs -"own zndfur sutggcslimts liar reducing, this human. should I): sent lot C icflrt nrmalion Officer. 1.3.5. Pnicai and 'I':adeImu|= Offict. {L5, Dcpnrlilltfll ui L.utI\I'n{'rcc.
`.0.
`Bax :4‘it.%. »\?t;:xusrdt;a. Virwaits 22313-I650. DO NOT‘ SEND FEES OR C.0Ml"i-ETElZ.‘ FORMS TO THIS ADDRESS. SEND TO: Commtsssuttt-r for i‘at::rtts. R0. 80:: Mix},
`Mexantzna. Vuguna 223lfi145i5.
`L|t'tE!l:'t’ the i'am:rwa.'§ Bctducnnn ms: of I995. tan pcrsons art: rcquirrd to «spend to n coflcctiun of information unless it dtsniayi 8 vslivcl Db-‘ll?! ctvntwl number.
`
`PTOL-35 [R-CH1 03;’! 3] Apgmovcd for use thmugh OBIJUROI3.
`
`OMEK (563!-GU33
`
`US. Patent ttntiTI"at!em:ulc OITICE. US. DEPMiT.MEN'l'0!-' CHMMERCE
`
`Exhibit 1002, Page 2
`
`

`
`Electronic Patent Application Fee Transmittal
`
`Application Number:
`
`Filing Date:
`
`12815930
`
`15-Jun-2010
`
`Title of Invention:
`
`RECONFIGURABLE OPTICAL ADD-DROP MULTIPLEXERS WITH SERVO
`CONTROL AND DYNAMIC SPECTRAL POWER MANAGEMENT CAPABILITIES
`
`First Named lnventorfflpplicant Name:
`
`Filer:
`
`Attorney Docket Number:
`
`Filed as Large Entity
`
`Utility under 35 USC 1 ‘I1{a) Filing Fees
`
`Jeffrey P. Wilde
`
`Barry N.Young
`
`C2393-‘I ‘E01 RE2
`
`Description
`
`Fee Code
`
`Quantity
`
`Amount
`
`Sub-Total in
`Usmsl
`
`Basic Filing:
`
`Pages:
`
`Claims:
`
`Miscellaneous-Filing:
`
`Petition:
`
`Patent-Appeals-andvlnterference:
`
`Post-AIlowance-and-Post-Issuance:
`
`Utility Appl issue fee
`
`Extension-of-Time:
`
`Exhibit 1002, Page 3
`
`

`
`Description
`
`|
`
`FeeCode
`
`Quantity |
`
`Amount
`
`Sub-Total in
`U5Di$)
`
`Miscellaneous:
`
`Total in USD ($)
`
`1510
`
`Exhibit 1002, Page 4
`
`

`
`Electronic Acknowledgement Receipt
`
`10132129
`
`Application Number:
`
`12815930
`
`International Application Number:
`
`Confirmation Number:
`
`TM’ °f "“"'°'"'°"‘
`
`RECONFIGUFIABLE OPTICAL ADD-DROP MULTIPLEXERS WITH SERVO
`CONTROL AND DYNAMIC SPECTRAL POWER MANAGEMENT CAPABILITIES
`
`First Named Inventormpplicant Name:
`
`Jeffrey P. Wilde
`
`Customer Number:
`
`48789
`
`Filer:
`
`Barry N.‘i’oung
`
`Filer Authorized By:
`
`Attorney Docket Number:
`
`C2393—1 101 RE2
`
`Receipt Date:
`
`Filing Date:
`
`Time Stamp:
`
`19-MAY—201‘l
`
`15—JUN—2010
`
`20:5?:30
`
`Application Type:
`
`Utility under 35 USC111{a]I
`
`Payment information:
`
`Submitted with Payment
`
`PaymentType
`
`Payment was successfully received in RAM
`RAM confirmation Number
`
`Deposit Account
`Authorized User
`
`File Listing:
`
`Document
`Number
`
`Document Description
`
`File Size! Bytes)!
`Message Digest
`
`Multi
`Part .-'.zip
`
`Pages
`(ifapp|.)
`
`Exhibit 1002, Page 5
`
`

`
`Issue Fee Payment (F'TO~85B]
`
`PTOL—85.pdf
`
`ncI1ud.uIy1Iid:rJ.iJcI)5 .f4Ix.McIrelvu..- I 54 I 5:
`h.I'l'}5?
`
`Fee Worksheet (PTO—8}'5J
`
`fee-info.pdf
`
`€HI(5lrI-I‘! 5'JDl3!i$JlFJ5‘.?.t-'l I3-lll5l'5'J I
`;.|n'>3
`
`|'}I
`
`Warnings:
`Information:
`
`Warnings:
`Information:
`
`Total Files Size (in bytes)l
`
`325340
`
`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}-Id) 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 ofan international application is compliant with the conditions of 35
`U.S.C. 371 and other applicable requirements a Form PCT.-'DOlEOI'903 indicating acceptance ofthe 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 1 810}. a Notification of the International Application Number
`and of the International Filing Date (Form PCT.-‘RO!‘I05} 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.
`
`Exhibit 1002, Page 6
`
`

`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OI‘ COMMERCE
`Unlted States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`PD. B-on I-l50_
`_
`Aleundril. Virginity 12513-1450
`www.uspIo.go\r
`
`NOTICE OF ALLOWANCE AND FEE(S) DUE
`
`out l!2Dl1
`1590
`natso
`LAW OFFICES OF BARRY N. YOUNG
`200 PAGE MILL ROAD
`sums 102
`PALO ALTO, CA 94306
`
`EXAM MT
`HEALY. BRIAN
`
`,
`
`2333
`DATE MAILED: {WI la'20Il
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`C2393--1 IDIREZ
`Jeffrey P. Wilde
`'
`C|6.I'I5.I'2DlI}
`l2a'8|S.930
`TI'I'|.|~'. OF INVENTION: RECONFIGURABLE OPTICAL ADD-DROP MULTIPLEJIERS WITH SERVO CONTROL AND DYNAMIC SPECTRAL
`i'OWl£R MANAUEMIENT CAPABILITIES
`
`2344
`
`nonprovisional
`
`WLLEN“T*
`NO
`
`*53”E*‘EE°“E
`$lSID
`
`50
`
`S0
`
`$|SIO
`
`DWI I320! I
`
`THE APPLICATION IDENTIFIED ABOVE HAS BEEN EXAMINED AND IS ALLOWED FOR ISSUANCE AS A PATENT.
`N
`IT
`L
`. THIS NOTICE OFALLOWANCE 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 HIREE MQNTHS FROM THE
`MAILING DATE OF THIS NOTICE OR THIS APPLICATION SHALL BE REGARDED AS ABANDONED.
`IBIS
`I
`BE E T
`.
`SEE 35 U.S.C. I51. 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 E 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.
`
`Ifthc 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 Pan B -
`Fee(s) Transmittal and pay the PUBLICATION FEE (if required)
`and twice the amount of the 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 N2
`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 - Feets} Transmittal should be completed and an extra copy of the form should be submitted. If an equivalent of Part B is filed, a
`request to reapply a previously paid issue fee must be clearly made, and delays in processing may occur due to the difficulty in recognizing
`the paper as an equivalent of Pan 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.
`
`I980 may require payment of
`IMPORTANT REMINDER: Utility patents issuing on applications filed on or after Dec. 12,
`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
`
`Exhibit 1002, Page 7
`
`

`
`PART B — FEE{S) TRANSMITTAL
`
`Complete and send this form, together with applicable fee(s), to: Mail Mail Stop ISSUE FEE
`Commissioner for Patents
`P.0. Box 1450
`Alexandria, Virginia 22313-1450
`orfiag (57!)-273-2885
`
`through 5 should be completed where
`INSTRUCTIONS: This I‘t:-rm should be used for transmitting the ISSUE FEE and PUBLICATION FEE (if required . Blocks I
`11
`lropriate. All further correspondence including the Patent, advance orders and notification of maintenance Fees will
`mailed lo the current correslpgndenee address as
`in scared unless coneeted below or directed otherwise in Block 1. by (a) specifying a new correspondence address: andiior (Ii) indicating a separate
`E ADDRESS" For
`maintenance fee notifications.
`
`’
`
`CURRENT CORRESPONDENCE ADDRESS (Note: use Block I for any i.-hang: oraitttressi
`4-ISTS9
`T590
`0-III H201 I
`
`LAW OFFICES OF BARRY N‘ YOUNG
`SUITE I02
`PALO ALTO CA 94306
`
`‘
`
`I
`Note: A cenificale of mailinp can only be used for domestic mailings ofthe
`Fce(s) Transmittal. This certi cate cannot be used for any other accompanying
`papers. Each additional paper. such as an assignment or formal drawing. must
`ave its own certificate of mailing or transmission.
`
`WI
`I
`IS
`'
`I
`"iii the unrest
`llt fit-Em °!rM'm'!iic°tr'Tiipsmrismmi (1
`"r
`l1
`it
`I
`rviet: with so teient posta e for first class mail in an envelope
`States
`3
`13
`CC 5
`|’&|'lSml
`H15 CD05 9
`C73 ogfnfrgg
`addressed to the Mail Sto
`ISSUE FEEgaddress above, or being Facsimile
`transmitted to the USPTO[ TI} 271-2835. on the date indicated below.
`
`ATTORNEY DOCKET NO.
`FIRST NAMED INVENTOR
`FILING one
`C2393-I IOIREZ
`Jefirey I‘. Wilde
`tlfii'l5i'20lD
`|2!8|5,930
`'l'lTLE OF INVENTION: RECONFIGURABLE OPTICAL ADD-DROP MULTIPLEXERS WITH SERVO CONTROL AND DYNAMIC SPECTRAL
`POWER MANAGEMENT CAPABILITIES
`
`2344
`
`*"’*”~“~T*PE
`nonprovisiorial
`
`NO
`
`'
`
`5 ISIO
`
`‘W-'°*“°“FEE°“E
`S0
`
`$0
`
`T°WFEE*5t°”*‘-
`5 ISM]
`
`DWI lii20|i
`
`EXAMINER
`
`ART UNIT
`
`CLJ_\S5-SLIBCLASS
`
`I
`2833
`HEALY. BRIAN
`I. Chan e of correspondence address or indication of "Fee Address" (37
`CFR I" rm‘
`Cl Chan re of cones ondence address {or Change of'Con'espondcnee
`Address om PTO Bnu} Named‘
`D "Fee i'\ddress" indication (or "Foe Address“ Indication form
`Proisamr: Rev 0302 or more recent) attached. Use of a Customer
`Numhi.-r is required.
`
`3ES—|}24[l-0|}
`2." For printing on the patent front page, list
`(1) the names of up to 3 registered patent attorneys
`or agents OR. alternatively.
`(2)_IJ'te name of a single him {having a a member a
`registered attorney or agent) and the names of up to
`2 re islered patent attcmeys or agents. If no name Is
`liste . no name will be printed.
`
`3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
`PLEnSE NOTE: Unless an assi nee is identified below‘ no assignee data will appear on the patent. If tin assignee is identified below. the document has been filed for
`reeordtition as set forth in 3? CF 3. I I. Completion of this forrn is NOT a substitute for Filing an assignment.
`in) NAME OF ASSIGNEE
`(3) RESIDENCE: (CITY and STATE on COUNTRY)
`
`Please check the appropriate assignee category or categories [will not be printed on the patent} : Cl lndividuai Cl Corporation or other private group entity D Government
`
`4a. The following feats) are submitted:
`El Issue Fee
`D Publication Fee (No small entity discount pennitted)
`D Advance Order - it of Copies
`5. Change in Entity Status [from status indicated above}
`D b. Applicant is no longer claiming SMALL ENTITY status. set: 3? CFR |.2'.-'(g}(2}.
`D it. Applicant claims SMALL ENTITY status. See 3? CFR L27.
`I\|O'l'i5: The Issue Fee and Publication Fee (if required) will not be accepted frorn 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 Tradernarlt Office.
`
`til). Payment oI'Fee(s): (Please llrst reapply any previously paid issue fee shown above)
`[I A check is enclosed.
`'
`El Payment by credit card. Form PTO-2038 is attached.
`DTM Director is hereby authorized to charge the required Ieeés). any deficiency. or creditanry
`overpayment. to Deposit Account Number
`ciieiose an extra copy of this unit).
`
`Authorized Signature
`
`Typed or printed name
`
`Date
`
`Registration No.
`
`uire to obtain or retain a benefit b the public which is to _I't|e (and by the IJSPTO to process
`Ttiiscollectinn oI‘itii°ori-ria_tion is required by 3? CFR 1.31 I. The infonnation is r
`an application. ConI'tdcnt1alIty_is govemed by 35 U.S.C. I22_artd 3? Cl-' R Lid. T ‘is collection is estimated to lake I minutes to complete. including gathennglprepanng. a
`submitting the completed application form to the USPTO. Time will v
`de
`ndtnp upon the individual case. Any comments on the amount of 'll'IT|t‘: you require to com letc
`this fonn andfor su gcstions For reducing this burden. should be sent to I
`t:
`iefln onnation Officer. US. Patent and Trademark 0ITii:e. LI.S_. Department of Commerce.
`.0.
`Box I450. AIexari_r1a. Virzginia 22313-I450. DO NOT SEND FEES DR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Parents. P.0. Box I450.
`Alexandria Virginia 1231 —I45|J.
`Under the Papcrwort: Reduction Act of I993. no persons are required to respond to a collection ofinfori-nation unless it displays a valid OMB control number.
`
`PTOL-85 (Rev. 02H I] Approved for use through 0813 N20! 3.
`
`OMB 065i -0033
`
`US. Patent and Trademarlt Oflice: U.S. DEPARTM ENT OF COMM ERCE
`
`Exhibit 1002, Page 8
`
`

`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DE‘.Pa|\ RTMENT OF COMMERCE
`United States Fermi and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.D. ao:_1«1sq
`Aluandria. Virginia 22313-I-150
`||'ww.IlIWU.80'|f
`
`12!R15.930
`
`HLINGDM
`OGIISQDID
`
`F*R5T"M*E°I““E"'°*
`Jeffrey P. Wilde
`
`C239];-I IOIREZ
`
`'=°”"“*'-“'0” “°-
`2344
`
`ow.-am.
`«am
`LAW OFFICES OF BARRY N. YOUNG
`200 PAGE MILL ROAD
`sum; 102
`PALO ALTO, CA 94306
`
`'
`
`_
`
`.
`
`HEALY.3R|AN
`
`3333
`DATE MAILEDL D-1!| I.-’2G|
`
`I
`
`Determination of Patent Term Extension or Adjustment under 35 U.S.C. 154 (In)
`
`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 eiigible for Patent Term Extension or Adjustment under 35 U.S.C.
`|54(b).
`
`Any questions regarding the Patent Term Extension or Adjustment determination should be directed to the Office of
`Patent Legal Administration at (571)-2'?2-7702. Questions relating to issue and publication fee payments should be
`directed to the Customer Service Center ofthe Office of Patent Publication at l-(888)-786-0101 or (STI)-272-4200.
`
`PTOL-BS (Rev. 02! I I)
`
`Exhibit 1002, Page 9
`
`

`
`Privacy Act Statement
`
`The Privacy Act of 1974 (P.L. 93-579)-requires that you be given certain information in connection with
`your submission of the attached form related to a patent application or patent. Accordingly, pursuant to
`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
`andfor examine your submission related to a patent application or patent. If you do not furnish the
`requested information, the US. Patent and Trademark Office may not be able to process andfor examine
`your submission, which may result in termination of proceedings or abandomnent of the application or
`expiration ofthe patent.
`
`The infomiation provided by you in this form will be subject to the following routine uses:
`1. The information on this form 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, ineiuding 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 Member with 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 [ntemational 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. 2l8(c}).
`. A record from this system of records may be disclosed, as a routine use, to the Administrator,
`General Services. or hisfher 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 of44 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 after either
`publication of the application pursuant to 35 U.S.C. 122(1)) or issuance of a patent pursuant to 35
`U.S.C. 151. Further, a record may be disclosed, subject to the limitations of 3? CFR l.l4, 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 fi'om 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.
`
`Exhibit 1002, Page 10
`
`

`
`_
`_
`_
`Notrce of Aiiowabrirty
`
`12ra15,93o
`Eflmine,
`
`BRIAN M. HEALY
`
`WILDE ET AL.
`M uni,
`
`2333 -
`
`-- The MAILING DATE or 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 resggnse filed 1/31/201 1.
`
`2. E The allowed claimlfst islare @.
`
`3. D Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
`a) I] AII
`b) I___I Some‘
`c} I:I None
`of the:
`1. D Certified copies of the priority documents have been received.
`2. E] Certified copies of the priority documents have been received in Application No. j
`3. E] Copies of the certified copies of the priority documents have been received in this national stage application from the
`International Bureau (PCT Rule 1?.2{a)}.
`* Certified copies not received:
`
`Applicant has THREE MONTHS FROM THE ‘MAILING DATE” of this communication to tile 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 EXAMINER'S AMENDMENT or NOTICE OF
`INFORMAL PATENT APPLICATION (PTO-152) which gives reason{s) why the oath or declaration is deficient.
`
`5. El CORRECTED DRAWINGS ( as ‘replacement sheets‘) must be submitted.
`(a) El including changes required by the Notice of Draltsperson‘s Patent Drawing Review ( PTO-948) attached
`1) El hereto or 2) [I to Paper No.r'Mail Date
`(b) E] including changes required by the attached Examiners Amendment.’ Comment or in the Office action or
`Paper No.lMail Date
`Identifying indlcia such as the application number {see 3‘! CFR ‘l.B4{c]u) should be written on the drawings in the tront [not the back} of
`each sheet. Replacement shaetlsl should be labeled as such In the header according to 37 CFR 1.121{d}.
`
`6. E] DEPOSIT OF andlor INFORMATION about the deposit of BIOLOGICAL MATERIAL must be submitted. Note the
`attached Examiner's comment regarding REQUIREMENT FOR THE DEPOSIT OF BIOLOGICAL MATERIAL.
`
`Attachmanttst
`1. IX Notice of References Cited (PTO-892)
`2. I] Notice of Draflperson's Patent Drawing Review (PTO—948)
`
`3. E] Information Disclosure Statements (PTOJSB.-'08).
`Paper No..-‘Mail Dale
`4. I] Examiners Comment Regarding Requirement for Deposit
`of Biological Material
`'
`
`5. El Notice of Informal Patent Application
`6. El Interview Summary (PTO—413).
`Paper No..-‘Mail Dale
`.
`7. CI Examiners Amendmantlcommerrt
`
`8. E Examinefs Statement of Reasons for Allowance
`
`.
`9. El Other
`IBRIAN M. HEALY.-"
`PRIMARY EXAMINER
`ART UNIT: 2883
`
`I.l.S. Patent and Trademark Office
`PTOL-3? (Rev. 03-06)
`
`Notice of Allowaoility
`
`Part of Paper No..iMa1| Date 20110215
`
`Exhibit 1002, Page 11
`
`

`
`Applicationtcontrol Number: 12r315,93o
`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 addldrop multiplexers (COADM)
`
`which includes optical fiber inputloutput ports 80a,80b,99a,99b which sends wavelength
`
`of light which are collimated through lens 90 to spherical reflector 10 which is incident of
`
`diffraction grating 20 to MEMS reflector(s) 51,52.which are movable in either the
`
`horizontal or vertical directions to return specific wavelengths lambda 1, lambda2 to the
`
`output ports 3. Bouevltch et. aI., 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-?) and Ma et. aI., U.S.P. No. 6,567,574
`
`(Figs.1-12) all teach that at the time the invention was made it was know that pivotable
`
`micromirrors or MEMS can be used with wavelength multiplexers to switch or select
`
`wavelengths between input and output ports.
`
`3.
`
`None of the aforementioned references, either taken alone or in combination with
`
`each other, teach or suggest the claimed wavelength separating routing device which
`
`includes multiple fiber collimators, a wavelength separator, a beam-focuser and a
`
`Exhibit 1002, Page 12
`
`

`
`Applicationfcontrol Number: 12l815,930
`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 Qatentabilig 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 ggtentabilig of dependent
`
`claims 2-20 is confirmed.
`
`5.
`
`In addition, none of the aforementioned references. either taken alone or in
`
`combination with each other. teach.or suggest the claimed servo-based optical
`
`apparatus comprising multiple fiber collimators providing multi-wavelength optical signal
`
`and a plurality of output ports. a wavelength separator. a beam focuser, a spatial array
`
`of individually controllable channel micromirrors and a servo-control assembly in
`
`communication with the channel micromirrors and the output ports for maintaining a
`
`predetermined coupling of each reflected spectral channels into one of the output ports.
`
`6.
`
`These limitations are recited in original claim 21. Therefore the gatentabilig 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 Qatentabiligg of degendent
`
`claims 22-30 is confirmed.
`
`Exhibit 1002, Page 13
`
`

`
`Applicationlcontrol Number: 12a'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 suggest the claimed optical appatatus
`
`comprising: an array of 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 being individually and continuously
`
`controllable to reflect spectral channels into selected ones of output ports and a one-
`
`dimensional (or two dimensional) array of collimator-alignment mirrors for adjusting an
`
`alignment of multi-wavelength optical signal from the input port and directing spectral
`
`channels into the output ports. These limitations are recited in original claim 31 (and
`
`original claim 37 is the same as that of