UTILITY
`SERIAL
`NUMBER
`
`SERIAL NUMBER
`
`PATENT DATE '
`
`JAN 27 1994
`
`•
`
`FILING DATE
`OSiC3PP5
`
`CLASS
`
`•
`
`"tliAl
`(*DANIEL L” FLAMM, WALNUT CREEK, CA JOHN P. VERBONC:i
`
`5711849
`
`PATENT
`NUMBER
`'
`)
`SUBCLASS 6
`
`OWN
`71 8 9
`EXAMINER
`
`
`GROUP ART UNIT (cid:9)
`
`•
`1 (cid:9)
`
`2
`
`VERIFIED
`
`z
`
`-;..; (cid:9)
`
`.; • :;. :;.
`
`.4 (cid:9)
`
`.
`
`LICEWig::: GRANTED 06/08/96
`
`Foreign priority claimed (cid:9)
`0 yes' (cid:9) P no
`35 USC 119 conditions met (cid:9) 0 ytt),po
`Verified and Acknowledged (cid:9)
`Examiner's initials
`RCHARD T UURWA
`TOWNSEND AND TOWNSF:::, D (cid:9)
`; (cid:9) T o (cid:9)
`tit (cid:9)
`-A
`PHASE DRY ETCHINf3
`
`•
`
`PROCESS OPTI.C.IiIY.AFON IN (cid:9)
`
`AS
`FILED
`""1410"
`
`STATE OR SHEETS TOTAL
`COUNTRY DRWGS. CLAIMS
`23
`10
`
`i....: f (cid:9) ;
`
`INDEP.
`FILING FEE
`CLAIMS RECEIVED
`
`.. (cid:9) .. (cid:9) . (cid:9) ,
`
`ATTORNEY'S
`DOCKET NO.
`.
`. (cid:9)
`
`L4)
`
`ifife
`
`01.nnn•nn•nnn•••*nnn••nnn•nn•nn•
`
`U.S. DEPT. OF COMM./ PAT. & TM—PTO-436L (Rev.12.
`
`PARTS OF APPLICATION
`FILED SEPARATELY
`
`Label
`Area
`
`Form F70-436A
`(Rev. 8/92)
`
`'cations Examine
`CLAIMS ALLOWED
`Print Claim
`
`e20
`
`DRAWING
`
`Print Fig...–
`
`ISSUE
`BATCH
`NUMBER
`
`Ft
`
`NGEBRANNDT
`Y IDCAMINER
`010UP 1100
`
`Primary Examiner
`PREPARED FOR ISSUE
`
`WARNING: The information disclosed herein may be restricjed. Unauthorized disclosure may be prohibited
`by the United States Code Title 35, Sections 122, 181 and 368. Possession outside the U.S.
`Patent & Trademark Office is restricted to authorized employees and contractors only.
`
`*1
`
`; •
`
`(FACE)
`
`LAM Exh 1007-pg 1
`
`

`
`08433623
`1111W,
`
`Date
`Entered
`or
`Counted
`
`PATENT APPLICATION
`hull liii! 11111111111111011 (cid:9)
`•
`a 433 23
`
`iM
`
`APPROVED FOR LICENSE
`.6 4. 526
`ALs, (cid:9)
`
`
`I
`
`CONTENTS
`
`, (cid:9)
`
`•
`
`"=. Date
`Received
`Or
`‘• Mailed ,
`
`
`
` 1. Application
`papers.
`2. tr iLL ; FC-- .5/4kAM(16\6
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`3.
`a (cid:9)
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`11.
`12.
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`13.
`14.
`
`15.
`16.
`17.
`
`18.
`
`19.
`
`20.
`
`21.
`
`22. (cid:9)
`
`23. (cid:9)
`
`24. (cid:9)
`
`25. (cid:9)
`
`26. (cid:9)
`27. (cid:9)
`28. (cid:9)
`29. (cid:9)
`
`30. (cid:9)
`
`31. (cid:9)
`
`32. (cid:9)
`
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`
`(cid:9) /1/4 7/97
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`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`(FROND
`
`LAM Exh 1007-pg 2
`
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`

`
`UNITED STATEuDEPARTMENTOFCOMMERCE
`Patent and Trademark Office
`Address: COMMISSIONER OF PATENTS AND TRADEMAR
`Washington, D.C. 20231
`
`APPLICATION NUMBER (cid:9)
`
`FILING DATE
`
`FIRST NAMED APPLICANT
`
`ATTY. DOCKET NOJTITLE
`
`08/4:3O, 623 (cid:9)
`
`05/03/95 (cid:9)
`
`FLAMM
`
`:1. (cid:9)
`
`;si: 00100
`
`0212/0522
`TOWNSEND AND TOWNSEND KHOURIE AND CREW
`STEUART STREET TOWER
`ONE MARKET PLAZA
`SAN FRANCISCO CA 94105 (cid:9)
`DATE MAILED:
`NOTICE TO FILE MISSING PARTS OF APPLICATION (cid:9)
`FILING DATE GRANTED
`
`0000
`
`05/22/95
`
`An Application Number and Filing Date have been assigned to this application. However, the items indicated
`below are missing. The required items and fees identified below must be timthr submitted ALONG WITH
`THE AYMENT OF A SURCHARGE for items 1 and 3-6 only of $ 1$ 0
`(cid:9)for large entities or
`$ (cid:9)
`for small entities who have filed a verified statement claiming such status. The surcharge is set forth in
`37 CFR 1.16(e).
`
`If all required items on this form are filed within the ppliod set below, the total amount owed by applicant as a Zda 7rge
`entity, CI small entity (verified statement filed), is $1, V 02-
`Applicant is given ONE MONTH FROM THE DATE OF THIS LETTER, OR TWO MONTHS FROM THE
`FILING DATE of this application, WHICHEVER IS LATER, within which to file all required items and pay any fees
`required above to avoid abandonment. Extensions of time may be obtained by filing a petition accompanied by the
`extension fee under the provisions of 37 CFII. 1.136(a).
`
`1. VThe statutory basic filing fee is: missing 0 insufficient. Applicant as a Eriarge entity 0 small
`entity, must submit $ -73
`(cid:9)to complete the basic filing fee.
`2. CVA/dditional claim fees of $ )(-1 (cid:9)
`as a Llarge entity, 0 small entity, including any
`required multiple dependent claim fee, are required. Applicant must submit the additional claim
`fees or cancel the additional claims for which fees are due.
`
`3. 0 The oath or declaration:
`0 is missing.
`CI does not cover the newly submitted items.
`
`An oath or declaration in compliance with 37 CFR 1.63, identifying the application by the above
`Application Number and Filing Date is required.
`
`4. 0 The oath or declaration does not identify the application to which it applies. An oath or declaration
`in compliance with 37 CFR 1.63, identifying the application by the above Application Number and
`Filing Date, is required.
`
`5.
`
`signature(s) to the oath or declaration is/are:mr<ig; 0 by a person other than the inventor
`or a person qualified under 37 CFR 1.42, 1.43, or 1.47. A properly signed oath or declaration in
`compliance with 37 CFR 1.63, identifying the application by the above Application Number and
`Filing Date, is required.
`
`6. 0 The signature of the following joint inventor(s) is missing from the oath or declaration:
`
`An oath or declaration listing the names of all inventors and signed by
`the omitted inventor(s), identifying this application by the above Application Number and Filing
`Date, is required.
`
`7. 0 The application was filed in a language other than English. Applicant must file a verified English
`under 37 CFR 1.17(k), unless this fee has
`translation of the application and a fee of $ (cid:9)
`already been paid.
`
`8. 0 A $ (cid:9)
`(37 CFR 1.21(m)).
`
`processing fee is required since your check was returned without payment.
`
`9. 0 Your filing receipt was mailed in error because your check was returned without payment.
`
`10. CI The application does not comply with the Sequence Rules. See attached Notice to Comply with
`Sequence Rules 37 CFR 1.821-1.825.
`
`11. 0 Other.
`
`Direct the response to Box Missing Part and refer any questions to the Customer Service Center
`at (703) 308-1202.
`
`A copy of this notice MUST be returned with the response.
`
`F9TA M-1513(RE,
`
`c..ct.07
`
`LAM Exh 1007-pg 3
`
`(cid:9)
`(cid:9)
`(cid:9)
`

`
`that this correspondence is being
`he United States Postal Service as
`an envelope addressed to:
`loner for Patents,
`Processing Division
`Processing and Corre , -Awie
`on OW a
`2
`-4°
`
`0..2a0PAGAI,A.AriAALL.
`
`Attorney Docket No. 16655-1
`
`PATENT
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`)
`In re application of: (cid:9)
`)
`) Examiner: Unassigned
`Daniel L. Flamm et al. (cid:9)
`)
`) Art Unit: Unassigned
`)
`) TRANSMITTAL LETTER
`)
`)
`For: PROCESS OPTIMIZATION IN GAS)
`PHASE DRY ETCHING (cid:9)
`)
`
`Serial No.: 08/433,623
`
`Filed: May 3, 1995 (cid:9)
`
`Attn: Application Processing Division
`Special Processing and Correspondence Branch
`Assistant Commissioner for Patents
`Washington, D.C. 20231
`
`Sir:
`
`Pursuant to the Notice to File Missing Parts of
`Application - Filing Date Granted dated May 3, 1995, enclosed are
`the following to be made of record in the above-identified
`application:
`1) Executed Declaration and Power of Attorney;
`2) Verified Statement Claiming Small Entity Status;
`3) Copy of Notice of Missing Parts;
`4) Assignment; and
`4) (cid:9)
`Recordation Form PTO-1595.
`
`Please charge the statutory basic filing fee of $436.00
`(total claims, 23 and 4 independent claims), $40.00 for
`Recordation of the Assignment, and the surcharge of $65.00 -
`Total $541.00 to Deposit Account No. 20-1430 of the undersigned.
`The Assistant Commissioner is hereby authorized to charge any
`additional fees associated with this paper or during the pendency
`of this application, or credit any overpayment to Deposit Account
`
`LAM Exh 1007-pg 4
`
`(cid:9)
`

`
`Daniel L. Fla....a (cid:9)
`Serial No.: 08/433,623
`Page 2
`
`PATENT
`
`No. 20-1430 for this paper and during the prosecution of this
`application. This Transmittal Letter is submitted in triplicate.
`
`ect fully submitted,
`
`Richard T. Ogaw
`Reg. No. 37,692
`
`TOWNSEND and TOWNSEND and CREW
`One Market Plaza
`Steuart Street Tower, 20th Floor
`San Francisco, California 94105
`(415) 326-2400 (cid:9)
`4
`
`RTO/ka
`
`K:\16655\1-MIS.PTS
`
`LAM Exh 1007-pg 5
`
`

`
`DECLARATION AND POWER OF ATTORNEY
`
`Attorney Docket No. 16655-1
`
`As a below named inventor, I declare that:
`My residence, post office address and citizenship are as stated below next to my name; I believe I am the original, first and sole inventor
`(if only one name is listed below) or an original, first and joint inventor (if plural inventors are named below) of the subject matter which
`is claimed and for which a patent is sought on the invention entitled: PROCESS OPTIMIZATION IN GAS PHASE DRY ETCHING
`is attached hereto or X was filed on May 3, 1995
`the specification of which (cid:9)
` as Application Serial No. 08/433,623 and was
`amended on (cid:9)
`(if applicable).
`
`I have reviewed and understand the contents of the above identified specification, including the claims, as amended by any amendment
`referred to above. I acknowledge the duty to disclose information which is material to the examination of this application in accordance
`with Title 37, Code of Federal Regulations, Section 1.56. I claim foreign priority benefits under Title 35, United States Code, Section
`119 of any foreign applications(s) for patent or inventor's certificate listed below and have also identified below any foreign application
`for patent or inventor's certificate having a filing date before that of the application on which priority is claimed.
`
`Prior Foreign Application(s)
`
`Country
`
`Application No.
`
`Date of Filing •
`
`..s.
`
`•
`
`Priority Claimed
`Under 35 USC 119
`
`Yes (cid:9)
`
`Yes (cid:9)
`
`No
`
`•- No
`
`I claim the benefit under Title 35, United States Code, Section 120 of any United States application(s) listed below and, insofar as the
`subject matter of each of the claims of this application is not disclosed in the prior United States application in the manner provided by
`the first paragraph of Title 35, United States Code, Section 112, I acknowledge the duty to disclose material information as defined in
`Title 37, Code of Federal Regulations, Section 1.56 which occurred between the filing date of the prior application and the national or
`PCT international filing date of this application:
`
`Application Serial No.
`
`Date of Filing
`
`Patented
`
`_ Patented
`
`Status
`
`Pending
`
`Pending
`
`Abandoned
`
`Abandoned
`
`POWER OF ATTORNEY: As a named inventor, I hereby appoint the following attorney(s) and/or agent(s) to prosecute this application
`and transact all business in the Patent and Trademark Office connected therewith.
`
`Richard T. Ogawa, Reg. No. 37,2
`William J. Bohler, Reg. No. (cid:9)
`487
`
`Kenneth R. Allen, Reg. No. 27,30
`
`Send Correspondence to:
`Richard T. Claws
`.1D_VVNSEND and TOVVNSEND KHOURIE and CREW
`Steuart Street Tower
`One Market Plaza, 20th Floor
`San Francisco, CA 94105
`
`Direct Telephone Calls to:
`(Name, Reg. No., Telephone No.)
`
`Name: Richard T. Ogawa
`Reg. No. 37,692
`Telephone: 415 326-2400
`
`(Page 1 of 2)
`
`LAM Exh 1007-pg 6
`
`

`
`Full Name
`of Inventor 1
`
`Last Name (cid:9)
`Flamm
`
`,
`
`)--1.•43
`
`First Name
`Daniel
`
`Residence &
`Citizenship
`
`City
`Walnut Creek (cid:9)
`
`C t6\---
`
`iaign Country
`CStaatefloFrne
`
`Post Office
`Address
`
`Post Office Address
`476 Green View Drive
`
`Full Name
`of Inventor 2
`
`Last Name (cid:9)
`Verboncoeur (cid:9)
`
`....t.
`(9
`
`City
`Walnut Creek
`
`First Name
`John
`
`Residence &
`Citizenship
`
`City
`—Hayward
`
`(cid:9) C 1\----
`
`State/Foreign Country
`California
`
`Middle Name or Initial
`L.
`
`Country of Citizenship
`U.S.A.
`
`State/Country
`California
`
`Zip Code
`94596
`
`Middle Name or Initial
`P. (cid:9)
`.
`
`Country of Citizenship
`.
`U.S.A. (cid:9)
`
`State/Country
`California
`
`Zip Code
`94542
`
`Middle Name or Initial
`
`City
`Hayward
`
`First Name
`
`Post Office
`Address
`
`Post Office Address
`3350 Oakes Drive
`
`Last Name
`
`City
`
`Full Name
`of Inventor 3
`
`Residence &
`Citizenship
`
`Post Office
`Address
`
`State/Foreign Country
`
`Country of Citizenship
`
`Post Office Address
`
`.4
`
`City
`
`State/Country
`
`Zip Code
`
`I further declare that all statements made herein of my own knowledge are true and that all statements made on information and belief
`are believed to be true; and further that these statements were made with the knowledge that willful false statements and the like so made
`are punishable by fine or imprisonment, or both, under Section 1001 of Title 18 of the United States Code, and that such willful false
`statements may jeopardize the validity of the application or any patent issuing thereon.
`
`
` . - (cid:9) - of Inventor 1 0•
`Si: i-.
`
`
`
`fli?
`Daniel L. Flamm
`(cid:9) 9 ) i'? Y--
`
`Date a,r1
`
`Signature of Inv (cid:9)
`n/p
`
`or 2
`
`In
`Signature of Inventor 3
`
`h (cid:9)
`
`.06gInta
`ohn P. Verboncoeur
`
`Date (cid:9)
`
`06- 12 - 95
`
`Date (cid:9)
`
`'
`
`.
`
`DP.MR0 1/93
`
`(Page 2 of 2)
`
`LAM Exh 1007-pg 7
`
`(cid:9)
`

`
`DECLARATION AND POWER OF ATTORNEY
`
`Attorney Docket No. 16655-1
`
`As a below named inventor, I declare that:
`My residence, post office address and citizenship are as stated below next to my name; I believe I am the original, first and sole inventor
`(if only one name is listed below) or an original, first and joint inventor (if plural inventors are named below) of the subject matter which
`is claimed and for which a patent is sought on the invention entitled: PROCESS OPTIMIZATION IN GAS PHASE DRY ETCHING
` as Application Serial No. 08/433,623 and was
`is attached hereto or X was filed on May 3, 1995
`the specification of which (cid:9)
`(if applicable).
`amended on (cid:9)
`
`I have reviewed and understand the contents of the above identified specification, including the claims, as amended by any amendment
`referred to above. I acknowledge the duty to disclose information which is material to the examination of this application in accordance
`with Title 37, Code of Federal Regulations, Section 1.56. I claim foreign priority benefits under Title 35, United States Code, Section
`119 of any foreign applications(s) for patent or inventor's certificate listed below and have also identified below any foreign application
`for patent or inventor's certificate having a filing date before that of the application on which priority is claimed.
`
`Prior Foreign Application(s)
`
`Country
`
`Application No.
`
`Date of Filing
`
`,
`
`Priority Claimed
`Under 35 USC 119
`
`Yes (cid:9)
`
`Yes (cid:9)
`
`No
`
`No
`
`I claim the benefit under Title 35, United States Code, Section 120 of any United States application(s) listed below and, insofar as the
`subject matter of each of the claims of this application is not disclosed in the prior United States application in the manner provided by
`the first paragraph of Title 35, United States Code, Section 112, I acknowledge the duty to disclose material information as defined in
`Title 37, Code of Federal Regulations, Section 1.56 which occurred between the filing date of the prior application and the national or
`PCT international filing date of this application:
`
`Application Serial No. (cid:9)
`
`' Date of Filing
`
`Status
`
`Patented
`
`Pending
`
`Abandoned
`
`_ Patented
`
`Pending
`
`Abandoned
`
`POWER OF ATTORNEY: As a named inventor, I hereby appoint the following attorney(s) and/or agent(s) to'prosecute this application
`and transact all business in the Patent and Trademark Office connected therewith.
`
`Richard T. Ogawa, Reg. No. 37,692
`William J. Bohler, Reg. No. 31,487
`Kenneth R. Allen, Reg. No. 27,301
`
`Send Correspondence to:
`Richard T. Ogawa
`TOWNSEND and TOVVNSEND KHOURIE and CREW
`Steuart Street Tower
`One Market Plaza, 20th Floor
`San Francisco, CA 94105
`
`Direct Telephone Calls to:
`(Name, Reg. No., Telephone No.)
`
`Name: Richard T. Ogawa
`Reg. No. 37,692
`Telephone: 415 326-2400
`
`(Page 1 of 2)
`
`LAM Exh 1007-pg 8
`
`

`
`Full Name
`of Inventor 1
`
`Last Name
`Flamm
`
`Residence &
`Citizenship
`
`City
`Walnut Creek
`
`Post Office
`Address
`
`Post Office Address
`476 Green View Drive
`
`,
`Full Name (cid:9)
`of Inventor 2
`
`Last Name
`Verboncoeur
`
`Residence &
`Citizenship
`
`City
`Hayward
`
`Post Office
`Address
`
`Post Office Address
`3350 Oakes Drive
`
`Last Name
`
`City
`
`Full Name
`of Inventor 3
`
`Residence &
`Citizenship
`
`Post Office
`Address (cid:9)
`
`.
`
`First Name
`Daniel
`
`State/Foreign Country
`California
`
`City
`Walnut Creek
`
`First Name
`John
`
`State/Foreign Country
`California
`
`City
`Hayward
`
`First Name
`
`Middle Name or Initial
`L.
`
`Country of Citizenship
`U.S.A.
`
`State/Country
`California
`
`Zip Code
`94596
`
`Middle Name or Initial
`P.
`
`Country of Citizenship
`U.S.A.
`
`State/Country
`California
`
`Zip Code
`94542
`
`Middle Name or Initial
`
`State/Foreign Country
`
`Country of Citizenship
`
`_.
`
`Post Office Address
`
`City
`
`State/Country
`
`Zip Code
`
`I further declare that all statements made herein of my own knowledge are true and that all statements made on information and belief
`are believed to be true; and further that these statements were made with the knowledge that'willful false statements and the like so made
`are punishable by fine or imprisonmenti, or both, under Section 1001 of Title 18 of the United States Code, and that such willful false
`statements may jeopardize the validity of the application or any patent issuing thereon.
`
`Signa (cid:9)
`
`e o Invento
`
`Signature of Inventor 2
`
`Signature of Inventor 3
`
`•
`
`.
`
`Daniel LAFiamm
`
`Date
`
`7//,2_,.R., (cid:9) F) (cid:9) 199c
`
`John P. Verboncoeur
`
`Date
`
`.
`
`Date
`
`DP.MR0 1/93
`
`(Page 2 of 2)
`
`LAM Exh 1007-pg 9
`
`(cid:9)
`

`
`+pm- Roo
`to (cid:9)
`v
`- F. 49494
`" • (cid:9)
`Daniel L. Flamm and John P. Verboncoeur
`App (cid:9)
`o.: 08/433,623
`Serial or (cid:9)
`Filed or Issued: May 3, 1995
`Title: PROCESS OPTIMIZATION IN GAS PHASE DRY ETCHING
`
`Is
`4t1:
`
`VERIFIED STAT.EMENT (DECLARATION) CLAIMING SMALL ENTITY
`STATUS (37 CFR 1.9(1) and 1.27(b)) - INDEPENDENT INVENTOR
`
`• Atty. Docket No. 16655-1
`
`As a below named inventor, I hereby declare that I qualify as an independent inventor as defined in 37 CFR 1.9(c) for purposes of paying reduced
`fees to the Patent and Trademark Office regarding the invention entitled PROCESS OPTIMIZATION IN GAS PHASE DRY ETCHING
`described in:
`
`PC
`
`the specification herewith.
`application Serial No. 08/433,623 (cid:9)
`Patent No. (cid:9)
`
`issued
`
`, filed May 3, 1995
`
`I have not assigned, granted, conveyed or licensed and am under no obligation under contract or law to assign, grant, convey or license, any rights
`in the invention to any person who would not qualifyas an independent inventor under 37 CFR 1.9(c) if that person had made the invention, or to
`any concern which would not qualify as a small business concern under 37 CFR 1.9(d) or a nonprofit organization under 37 CFR 1.9(e).
`
`Each person, concern or organization to which I have assigned, granted, conveyed, or licensed or am under an obligation under contract or law to
`assign, grant, convey or license any rights in the invention is listed below:*
`
`[X ]
`
`No such person, concern, or organization
`Persons, concerns or organizations listed below*
`
`*NOTE: Separate verified statements are required from each named person, concern or organization having rights to the
`invention averring to their status al small entities. (37 CFR 1.27)
`
`
`NAME (cid:9)
`ADDRESS
`
`
`NAME (cid:9)
`ADDRESS
`
`
`NAME (cid:9)
`ADDRESS
`
`0 INDIVIDUAL [I SMALL BUSINESS CONCERN (cid:9)
`
`[ ] NONPROFIT ORGANIZATION
`
`[1 INDIVIDUAL
`
`[ ] SMALL BUSINESS CONCERN (cid:9)
`
`[ ] NONPROFIT ORGANIZATION
`
`[ ] INDIVIDUAL
`
`[ ] SMALL BUSINESS CONCERN (cid:9)
`
`[1 NONPROFIT ORGANIZATION
`
`I acknowledge the duty to file, in this application or patent, notification of any change in status resulting in loss of entitlement to small entity status
`prior to paying, or at the time of paying, the earliest of the issue fee or any maintenance fie due after the date on which status as a small entity is
`no longer appropriate. (37 CFR 1.28(b)).
`
`I hereby declare that all statements made herein of my own knowledge are true and that all statements made on information and belief are believed
`to be true; and further that these statements were made with the knowledge that willful false statements and the like so made are punishable by fine
`or imprisonment, or both, under section 1001 of Title 18 of the United States Code, and that such willful false statements may jeopardize the validity
`of the application, any patent issuing thereon, or any patent to which this verified statement is directed.
`
`NAME OF INVENTOR:
`
`NAME OF INVENTOR:
`
`NAME OF INVENTOR:
`
`DANIEL L. FLAYLVI
`
`OP 4 OF tia/V
`
`Signature of Inventor
`
`Signature of Inventor
`
`Signature of Inventor
`
`Date lja4-1..0" (cid:9)
`
`"._') / 9 9S—
`
`Date:
`
`Date:
`
`K:116615 \ 1-emn.ent
`
`LAM Exh 1007-pg 10
`
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`

`
`VERIFIED STATEMENT (DECLARATION) CLAIMING SMALL ENTITY
`STATUS (37 CFR 1.9(t) and 1.27(b)) - INDEPENDENT INVENTOR
`
`Atty. Do4.ket (cid:9)
`
`16655-1
`
`Applicant or Patentee: Daniel L. Flamm and John P. Verboncoeur
`Serial or Patent No.: 08/433,623
`Filed or Issued: May 3, 1995
`Title: PROCESS OPTIMIZATION IN GAS PHASE DRY ETCHING
`
`As a below named inventor, I hereby declare that I qualify as an independent inventor as defined in 37 CFR 1.9(c) for purposes of paying reduced
`fees to the Patent and Trademark Office regarding the invention entitled PROCESS OPTIMIZATION IN GAS PHASE DRY ETCHING
`described in:
`
`[
`[X]
`[
`
`the specification herewith.
`application Serial No. 08/433,623
`Patent No. (cid:9)
`
`, issued (cid:9)
`
`(cid:9), filed May 3, 1995
`
`
`I have not assigned, granted, conveyed or licensed and am under no obligation under contract or law to assign, grant, convey or license, any rights
`in the invention to any person who would not qualify as an independent inventor under 37 CFR 1.9(c) if that person had made the invention, or to
`any concern which would not qualify as a small business concern under 37 CFR 1.9(d) or a nonprofit organization under 37 CFR 1.9(e).
`
`Each person, concern or organization to which I have assigned, granted, conveyed, or licensed or am under an obligation under contract or law to
`assign, grant, convey or license any rights in the invention is listed below:*
`
`[
`[X]
`
`No such person, concern, or organization
`Persons, concerns or organizations listed below*
`
`*NOTE: Separate verified staterifents are required from each named person, concern or organization having rights to the
`invention averring to their status as small entities. (37 CFR 1.27)
`
`NAME DANIEL L. FLAMM
`ADDRESS476 Green View Drive, Walnut Creek, California 94596
`
`[X ] INDIVIDUAL [ ] SMALL BUSINESS CONCERN (cid:9)
`
`[ ] NONPROFIT ORGANIZATION
`
`
`NAME (cid:9)
`ADDRESS
`
`
`NAME (cid:9)
`ADDRESS
`
`[ ] INDIVIDUAL
`
`[ ] SMALL BUSINESS CONCERN (cid:9)
`
`[ ] NONPROFIT ORGANIZATION
`
`[ ] INDIVIDUAL
`
`[ ] SMALL BUSINESS CONCERN (cid:9)
`
`[ ] NONPROFIT ORGANIZATION
`
`I acknowledge the duty to file, in this application or patent, notification of any change in status resulting in loss of entitlement to small entity status
`prior to paying, or at the time of paying, the earliest of the issue fee or any maintenance fee due after the date on which status as a small entity is
`no longer appropriate. (37 CFR 1.28(b)).
`
`I hereby declare that all statements made herein of my own knowledge are true and that all statements made on information and belief are believed
`to be true; and further that these statements were made with the knowledge that willful false statements and the like so made are.punishable by fine
`or imprisonment, or both, under section 1001 of Title 18 of the United States Code, and that such willful false statements may jeopardize the validity
`of the application, any patent issuing thereon, or any patent to which this verified statement is directed.
`
`NAME OF INVENTOR:
`
`NAME OF INVENTOR:
`
`NAME OF INVENTOR:
`
`Signature of Inventor
`
`Signature of Inventor
`
`JOHN P. VERBONCOEUR
`
`07/) kgn(g2
`natu
`S're of Inventor
`
`7 g
`
`Date (cid:9)
`
`06-12-9S
`
`Date:
`
`Date:.
`
`\ 16655 1-tml.ent
`
`LAM Exh 1007-pg 11
`
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`

`
`UNITED STATE, ,PARTMENT OF COMMERCE
`Patent and Trademark Office
`Address: COMMISSIONER OF PATENTS AND TRADEMARKS
`Washington, D.C. 20231
`
`MEIER I (cid:9)
`
`FILING DATE
`
`FIRST NAMED APPLICANT
`
`ATTY. DOCKET NO/TITLE
`
`08/433,623 (cid:9)
`
`05/03/95 (cid:9)
`
`FLAMM
`
`4
`
`1 6105R0 00 1 00
`
`0212/0522
`TOWN§END AND TOWNSEND KHOURIE AND CREW
`STEUART STREET TOWER
`ONE MARKET PLAZA
`SAN FRANCISCO CA 94105
`NOTICE TO FILE MISSING PARTS OF APPLICATION (cid:9)
`FILING DATE GRANTED
`
`DATE MAILED: 0000
`
`05/22/95
`
`An Application Number and Filing Date have been assigned to this application. However, the items indicated
`below are missing. The required items and fees identified below must be timgy submitted ALONG WITH
`THE P YNIENT OF A SURCHARGE for items 1 and 3-6 only of $ L. 0
`(cid:9)for large entities or
`for small entities who have filed a verified statement claiming such status. The surcharge is set forth in
`$ (cid:9)
`37 CFR 1.16(e).
`
`If all required items on this form are filed within the pr set below, the total amount owed by applicant as a 21‘e
`entity, 0 small entity (verified statement filed), is $ (cid:9)
`
`
`Applicant is given ONE MONTH FROM THE DATE OF THIS LETTER, OR TWO MONTHS FROM THE
`FILING DATE of this application, WHICHEVER IS LATER, within which to file all required items and pay any fees
`required above to avoid abandonment. Exthnsions of time may be obtained by filing a petition accompanied by the
`extension fee under the provisions of 37 CFR 1.136(a).
`
`e statutory basic filing fee is: P missing 0 insufficient. Applicant as a r arge entity 0 small
`enti y, must submit $ -72 • (cid:9)
`to complete the basic filing fee.
`Additional claim fees of
`(cid:9)as a Ele entity, 0 small entity, including any
`required multiple dependent claim fee, are required. Applicant must submit the additional claim
`fees or cancel the additional claims for which fees are due.
`
`3. 0 The oath or declaration:
`0 is missing.
`0 does not cover the newly submitted items.
`
`An oath or declaration in compliance with 37 CFR 1.63, identifying the application by the above
`Application Number and Filing Date is required.
`
`4. 0 The oath or declaration does not identify the application to which it applies. An oath or declaration
`in compliance with 37 CFR 1.63, identifying the application by the above Application Number and
`Filing Date, is required.
`
`e signature(s) to the oath or declaration is/are: Rfu<s;irg; 0 by a person other than the inventor
`or a person qualified under 37 CFR 1.42, 1.43, or 1.47. A properly signed oath or declaration in
`compliance with 37 CFR 1.63, identifying the application by the above Application Number and
`Filing Date, is required.
`P 49.45Th9i/gliaine of)giatlaving joint inytintgiso is nringrm the oath or declaration:
`65 opal
`P 30126 07/24/95 OR43X621 An oath ot*D1443roii ae names (cid:9)
`ntors and signed by
`p 30127 thoriti415inveAtrig)2identifying tyd_ap atiln y above ApcNumber and Filing
`OCH
`Date, is require&
`
`7. 0 The application was filed in a language other than English. Applicant must file a verified English
`under 37 CFR 1.17(k), unless this fee has
`translation of the application and a fee of $ (cid:9)
`already been paid.
`
`8. 0 A $ (cid:9)
`(37 CFR 1.21(m)).
`
`processing fee is required since your check was returned without payment.
`
`9. 0 Your filing receipt was mailed in error because your check was returned without payment.
`
`10. 0 The application does not comply with the Sequence Rules. See attached Notice to Comply with
`Sequence Rules 37 CFR 1.821-1.825. (cid:9)
`260 SC 20-11;30 08/08/T5 00'33623
`11. 0 Other. (cid:9)
`26073 203 (cid:9)
`15.00CH
`Direct the response to Box Missing Part and refer any questions to the Customer Service Center
`at (703) 308-1202.
`
`A copy of this notice MUST be returned with the response.
`COPY TO BE RETURNED WITH RESPONSE
`
`FORK PTO-1533(REV. 11-94)
`
`LAM Exh 1007-pg 12
`
`(cid:9)
`(cid:9)
`(cid:9)
`

`
`/1/19.t
`
`Atty. Docket No. 16655-000100
`
`Date November 9, 1995
`
`/X f°-O °
`11 2
`Ain (cid:9)
`
`I hereby certify that this is being deposited with the United
`States Postal Service as first class mail in an envelope
`addressed to:
`
`Assistant Commissioner for Patents
`Washington, D. C. 20231.
`
`Date: (cid:9)
`
`NoVeinb.er
`
`P?P-S-
`
`J
`
`kgA-i-A4
`
`TOWNSEND and TOWNSEND
`Steuart Street Tower
`One Market Plaza
`San Francisco, CA 94105
`(415) 543-9600
`
`In re application of Daniel L. Flamm, et al.
`
`Serial No: 08/433,623
`
`Filed: May 3, 1995
`
`Group Art Unit:
`
`For: PROCESS OPTIMIZATION IN GAS
`PHASE DRY ETCHING • .• •
`
`ASSISTANT COMMISSIONER FOR PATENTS
`Washington, D.C. 20231
`
`Sir:
`
`Transmitted herewith is a preliminary amendment in the above-identified application.
`[X]Amendment.
`[X]Small entity status of this application 'under 37 CFR 1.9 and 1.27 has been established by a verified statement
`previously submitted.
`[X]Postcard.
`The filing fee has been calculated as shown below:
`
`(Col. 1)
`
`(Col. 2)
`
`(Col. 3)
`
`SMALL ENTITY
`
`OTHER THAN A
`SMALL ENTITY
`
`CLAIMS
`REMAINING
`AFTER
`AMENDMENT
`
`HIGHEST NO.
`PREVIOUSLY
`PAID FOR
`
`PRESENT
`EXTRA
`
`RATE
`
`ADDIT.
`FEE
`
`OR
`
`RATE ' ADDIT.
`FEE
`
`TOTAL (cid:9)
`
`*25
`
`INDEP. (cid:9)
`
`*5
`
`MINUS (cid:9)
`
`**23
`
`MINUS (cid:9)
`
`***4
`
`=2
`
`=1
`
`[ 1 FIRST PRESENTATION OF MULTIPLE DEP. CLAIM
`
`2 x11=
`
`$22.00
`
`1 x39=
`
`$39.00
`
`+125=
`
`$
`
`x22=
`
`x78=
`
`+250=
`
`$
`
`$
`
`$ (cid:9)
`
`.
`
`**
`
`***
`
`TOTAL
`ADDIT. FEE
`
`$61.00 (cid:9)
`
`If the entry in Col. 1 is less than the entry in Col. 2, (cid:9)
`write "0" in Col. 3.
`If the "Highest Number Previously Paid For" IN THIS SPACE is less than 20, write "20" in this space.
`If the "Highest Number Previously Paid For" IN THIS SPACE is less than 3, write "3" in this space.
`The "Highest Number Previously Paid For" (Total or Independent) is the highest number found from the equivalent
`box in Col. 1 of a prior amendment or the number of claims originally filed.
`
`OR
`
`TOTAL $
`
`] No fee is due.
`
`Please charge Deposit Account No. 20-1430 as follows:
`
`[XI
`[x]
`
`$61.00
`Claims fee
`Any additional fees associated with this paper or during the pendency of this application.
`
`2
`
`(cid:9) extra copies of this sheet are enclosed.
`
`SEND and TOWNSEND and CREW
`
`rtolwork116653 \I-rem.tm
`
`Riciard T. Ogaw
`Reg. No.: 37,692
`Attorneys for Applicant
`
`LAM Exh 1007-pg 13
`
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`

`
`7 1 0
`
`Ti) L-3
`
`I hereby certify that this correspondence is being deposited with
`the United States Postal Service as first class mail in an envelope
`addressed to:
`Assistant Commissioner for Pateq?
`Washington, D.C. 20231, on /V 0 vein ,Oer
`
`Date: ///,/
`
`Sy: (cid:9)
`
`
`
`PATENT
`16655-000100US
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`In re application of: (cid:9)
`
`Daniel L. Flamm, et al.
`
`Serial No. 08/433,623
`
`Filed: (cid:9) May 3, 1995
`
`For: PROCESS OPTIMIZAVION IN
`GAS PHASE DRY ETCHING
`
`Unassigned
`
`Unassigned
`
`)
`)
`) Examiner:
`)
`) Art Unit:
`)
`)
`)
`) PRELIMINARY AMENDMENT
`)
`)
`)
`)
`
`ASSISTANT COMMISSIONER FOR PATENTS
`Washington, D.C. ,20231
`
`Sir:
`
`follows:
`
`Before action on the merits, please amend the above-identified application as
`
`IN THE CLAIMS:
`
`Please amend claims 1 and 5 and add new claims 24 and 25 as follows. The
`
`pending claims, including the presently amended claims, are presented in Appendix A for
`ease of reference:
`
`41"mo - 6 (cid:9)
`
`"e
`
`e steps of:
`
`substrate
`
`provi
`
`a plasma etching apparatus comprising a substrate therein, said
`prising a top surface and a film overlying,s4yR,s4r,fagersAid.filti comprising
`7"
`
`1
`
`LAM Exh 1007-pg 14
`
`

`
`and defining etch rate data comprising a (cid:9)
`profile; and
`
`me an e c ing pro i e on
`rate and a spatial coordinate from said etching
`
`acting a reaction rate [constant] from said etch rate data[, and using said
`ppara
`
`(New)' The method of claim 1 further comprising a step of using said
`reaction rate constant in adjusting said plasma etch apparatus.
`
`use of a reaction rate constant, said reaction rate constant being derived from a me
`comprising:
`
`providing a plasma etching apparatus comprising a s trate therein, said
`substrate comprising a top surface and a film overlying sa
`op surface, sa