PTO/AIA/15 (03-13)
`Approved for use through 01/31/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Underthe Paerwork Reduction Act of 1995 no ersons are reuired to resond to a collection of information unless it disla s a valid OMB control number
`UTILITY
`Superod-002=C'P2
`mam Appuc/mom
`
`(0nlyfornew nonprovisional applications under 37CFR 1.53(b))
`App|_|CAT|0N ELEM ENTS
`See MPEP chapter 600 concerning utility patent application contents.
`
`2.
`
`1' Fee T'a""“l““'F°"“
`(PTO/SB/17 or equivalent)
`Applicant asserts small entity status.
`see 37 CFR 127
`3. El Applicant certifies micro entity status. See 37 CFR 1.29.
`Applicant must attach form PTO/SB/15A or B or equivalent.
`
`SUCKER ROD APPARATUS AND METHOD
`Express Mall Label N0‘
`Commissioner for Patents
`P-o- Box 1450
`Alexandria, VA 22313-1450
`
`ACCOMPANYING APPLICATION PAPERS
`
`10' l:l Asslgnment Papers
`(cover sheet & document(s))
`Name of Asslgnee
`
`[Total Pages 70
`4. I Specification
`Both the claims and abstract must start on a new page.
`
`]
`
`11. El 37 CFR 3.73(c) Statement
`(when there is an assignee)
`
`Power of Attorney
`
`(See MPEP § 608.01(a)for information on the preferred arrangement)
`5. Drawing(s) (35 u.s.c. 113)
`[Total$heets 13
`]
`6. Inventor's Oath or Declaration
`[Total Pages 3
`]
`(including substitute statements under 37 CFR 1. 64 and assignments
`
`12' El English Translation Document
`(ifapplicable)
`Information Disclosure Statement
`(PTO/SB/08 or PTO-1449)
`
`.
`
`serving as an oath or declaration under 37 CFR 1.63(e))
`a.
`Newly executed (original or copy)
`b. E‘ A copy from a prior application (37 CFR 1.63(d))
`Application Data Sheet
`* See note below.
`See 37 CFR 1.76 (PTO/AlA/14 or equivalent)
`CD-ROM or CD-R
`
`7.
`
`8.
`
`El Copies of Citations attached
`Preliminary Amendment
`Return Receipt Postcard
`(MPEP § 503) (Should be specifically itemized)
`Certified Copy of Priority Document“)
`(ifforeign priority is claimed)
`
`17 El Nonpublication Request
`Under 35 U.S.C. 122(b)(2)(B)(i). Applicant must attach form PTO/SB/35
`or equlvalent
`18- C‘ Other?
`
`in duplicate, large table, or Computer Program (Appendix)
`El Landscape Table on CD
`9. Nucleotide and/or Amino Acid Sequence Submission
`(ifapplicable, items a. — c. are required)
`a. C‘ Computer Readable Form (CRF)
`b.|:| Specification Sequence Listing on:
`i. E‘ CD-ROM or CD-R (2 copies); or
`ii.|:| Paper
`c. E‘ Statements verifying identity of above copies
`*Note:
`(1) Benefit claims under 37 CFR 1.78 and foreign priority claims under 1.55 must be included in an Application Data Sheet (ADS).
`(2) For applications filed under 35 U.S.C. 111, the application must contain an ADS specifying the applicant if the applicant is an
`assignee, person to whom the inventor is under an obligation to assign, or person who otherwise shows sufficient proprietary
`interest in the matter. See 37 CFR 1.46(b).
`19. CORRESPONDENCE ADDRESS
`
`The address associated with Customer Number: 021897
`Name
`
`Address
`
`OR |:| Correspondence address below
`
`city —— zapcode
`Country— Telephone:
`December 18, 2013
`signature
`/Terry L. McCutcheon/
`68122
`,”,,i$f,,,pe, Terry L. McCutcheon
`
`)This collection of information is required by 37 CFR 1.53(b . The information is required to obtain or retain a benefit by the public which is to file and by the USPTO(
`
`to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.11 and 1.14. This collection is estimated to take 12 minutes to complete,
`including gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any comments on
`the amount of time you require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent and
`Trademark Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND
`
`TO: Commissioner for Patents, P.O. B0; 1450, Alexandria, VA 22313;1450. h f
`you nee assistance in comp eting t e orm, ca
`
`"1 800
`-
`
`0 9199
`-PT -
`
`d
`I
`2
`an se ect option .
`
`Petitioners‘
`V
`.
`John Crane v. Fmalrod
`IPR2016-01827
`
`Page 1 of 192
`
`Page 1 of 192
`
`Petitioners' Exhibit 1002
`John Crane v. Finalrod
`IPR2016-01827
`
`

`
`Privacy Act Statement
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`The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection with your
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`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
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`The information provided by you in this form will be subject to the following routine uses:
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`1. The information on this form will be treated confidentially to the extent allowed under the Freedom of
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`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
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`PTOIAIAI14 (03-13)
`Approved for use through 01/31/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Underthe Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`
`_
`_
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`Superod—002:ClP2
`
`Application Number
`
`Title of Invention
`
`SUCKER ROD APPARATUS AND METHOD
`
`The application data sheet is part of the provisional or nonprovisional application for which it is being submitted. The following form contains the
`bibliographic data arranged in a format specified by the United States Patent and Trademark Office as outlined in 37 CFR 1.76.
`This document may be completed electronically and submitted to the Office in electronic format using the Electronic Filing System (EFS) or the
`document may be printed and included in a paper filed application.
`
`Secrecy Order 37 CFR 5.2
`
`D Portions or all of the application associated with this Application Data Sheet may fall under a Secrecy Order pursuant to
`37 CFR 5.2 (Paper filers only. Applications that fall under Secrecy Order may not be filed electronically.)
`
`Inventor Information:
`
`Inventor
`Legal Name
`
`1
`
`Prefix Given Name
`Middle Name
`Family Name
` 3 Ruiedge
`Residence Information (Select One)
`(9 US Residency 0 Non US Residency 0 Active US Military Service
`City
`Big Spring
`Statel'Province
`country of Residencei
`US
`
`Suffix
`
`Mailing Address of Inventor:
`
`Address 1
`
`Address 2
`
`Postal Code
`Inventor
`2
`Legal Name
`
`1508 East FM 700, Suite A 8. B
`
`79720
`
`us
`
` Prefix Given Name
`Middle Name
`Russell
`P.
`Rutledge
`
`Suffix
`Jr.
`
`Residence Information (Select One) @ US Residency 0 Non US Residency 0 Active US Military Service
`
`City
`
`Big Springs
`
`StateIProvince
`
`TX
`
`country of Residence i
`
`US
`
`Mailing Address of Inventor:
`
`4711 Calihan Road
`
`Big Springs
`
`79720
`
`StatelProvince
`us
`
`TX
`
`Address 1
`
`Address 2
`
`City
`Postal code
`Inventor
`3
`Legal Name
`
`Prefix Given Name
`
`Middle Name
`
`Ryan
`
`B.
`
`Family Name
`
`Rutledge
`
`Suffix
`
`Residence Information (Select One) @ US Residency Q Non US Residency Q Active US Military Service
`
`EFS Web 2.2.3
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`PTOIAIAI14 (03-13)
`Approved for use through 01/31/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`
`
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`Application Number
`
`Superod—OO2:C|P2
`
`
`
`Title of Invention
`
`SUCKER ROD APPARATUS AND METHOD
`
`
`
`City
`
`Big Springs
`
`iStateIProvince | TX
`
`|country ofRe5idencei
`
`US
`
`Mailing Address of Inventor:
`
`Address 1
`
`Address 2
`
`#23 Riva Ridge
`
`Big Springs
`
`City
`79720
`Postal code
`Inventor
`All
`Inventors Must Be Listed - Additional
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`StatelProvince
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`Correspondence Information:
`
`Enter either Customer Number or complete the Correspondence Information section below.
`For further information see 37 CFR 1.33(a).
`
`|:| An Address is being provided for the correspondence Information of this application.
`
`Customer Number
`
`021897
`
`Email Address
`
`Application Information:
`
`|
`
`Add Email
`
`Title of the Invention
`
`SUCKER ROD APPARATUS AND METHOD
`
`
`
`Attorney Docket Number
`
`Superod-002:ClP2
`
`
`Small Entity Status Claimed
`
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`Application Type
`
`Nonprovisional
`
`Subject Matter
`Utility
`Total Number of Drawing Sheets (if any)
`
`13
`
`Publication Information:
`
`Suggested Figure for Publication (if any) I
`
`|:| Request Early Publication (Fee required at time of Request 37 CFR 1.219)
`
`Request N01: 120 Publish. I hereby request that the attached application not be published under
`35 U.S.C. 122(b) and certify that the invention disclosed in the attached application has not and will not be the
`subject of an application filed in another country, or under a multilateral international agreement, that requires
`publication at eighteen months after filing.
`
`Representative Information:
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`Representative information should be provided for all practitioners having a power of attorney in the application. Providing
`this information in the Application Data Sheet does not constitute a power of attorney in the application (see 37 CFR 1.32).
`Either enter Customer Number or complete the Representative Name section below.
`If both sections are completed the customer
`Number will be used for the Representative Information during processing.
`
` Please Select One:
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`
`I
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`
`PTOIAIAI14 (03-13)
`Approved for use through 01/31/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`
`.
`.
`Application Data Sheet 37 CFR 1.76
`
`Attetttev eeetet ttettteet
`_
`_
`
`tteeteettett Nettteet T Title of Invention
`
`SUCKER ROD APPARATUS AND METHOD
`
`Customer Number
`
`021897
`
`Domestic BenefitINational Stage Information:
`
`This section allows for the applicant to either claim benefit under 35 U.S.C. 119(e), 120, 121, or 365(c) or indicate
`National Stage entry from a PCT application. Providing this information in the application data sheet constitutes the
`specific reference required by 35 U.S.C. 119(e) or 120, and 37 CFR 1.78.
`Prior Application Status
`Application Number
`
`Filing Date (YYYY-MM-DD)
`2012-02-17
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`Foreign Priority Information:
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`This section allows for the applicant to claim priority to a foreign application. Providing this information in the application data sheet
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`constitutes the claim for priority as required by 35 U.S.C. 119(b) and 37 CFR 1.5§(d). When priority is claimed to a foreign application
`that is eligible for retrieval under the priority document exchange program (PDX) ‘the information will be used by the Office to
`
`automatically attempt retrieval pursuant to 37 CFR 1.55(h)(1) and (2). Under the PDX program, applicant bears the ultimate
`
`responsibility for ensuring that a copy of the foreign application is received by the Office from the participating foreign intellectual
`
`property office, or a certified copy of the foreign priority application is filed, within the time period specified in 37 CFR 1.55(g)(1).
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`PTOIAIAI14 (03-13)
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`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`
`.
`.
`Application Data Sheet 37 CFR 1.76
`
`Atttttttev ttttttttt tttttttttt
`_
`_
`
`tttttttttatttttt Ntmtet T Title of Invention
`
`SUCKER ROD APPARATUS AND METHOD
`
`Statement under 37 CFR 1.55 or 1.78 for AIA (First Inventor to File) Transition
`Applications
`
`
`
`This application (1) claims priority to or the benefit of an application filed before March 16, 2013 and (2) also
`contains, or contained at any time, a claim to a claimed invention that has an effective filing date on or after March
`16, 2013.
`NOTE: By providing this statement under 37 CFR 1.55 or 1.78, this application, with a filing date on or after March
`16, 2013, will be examined under the first inventor to file provisions of the AIA.
`
`Authorization to Permit Access:
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`Authorization to Permit Access to the Instant Application by the Participating Offices
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`If checked, the undersigned hereby grants the USPTO authority to provide the European Patent Office (EPO),
`the Japan Patent Office (JPO), the Korean Intellectual Property Office (KIPO), the World Intellectual Property Office (WIPO),
`and any other intellectual property offices in which a foreign application claiming priority to the instant patent application
`is filed access to the instant patent application. See 37 CFR 1.14(c) and (h). This box should not be checked if the applicant
`does not wish the EPO, JPO, KIPO, WIPO, or other intellectual property office in which a foreign application claiming priority
`to the instant patent application is filed to have access to the instant patent application.
`
`In accordance with 37 CFR 1.14(h)(3), access will be provided to a copy of the instant patent application with respect
`to: 1) the instant patent application—as—filed; 2) any foreign application to which the instant patent application
`claims priority under 35 U.S.C. 119(a)-(d) if a copy of the foreign application that satisfies the certified copy requirement of
`37 CFR 1.55 has been filed in the instant patent application; and 3) any U.S. application—as—filed from which benefit is
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`In accordance with 37 CFR 1.14(c), access may be provided to information concerning the date of filing this Authorization.
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`Applicant Information:
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`Providing assignment information in this section does not substitute for compliance with any requirement of part 3 of Title 37' of CFR
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`
`PTOIAIAI14 (03-13)
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`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`_
`_
`Application Number
`
`
`
`Superod-DO2:CIP2
`
`
`
`Title of Invention
`
`SUCKER ROD APPARATUS AND METHOD
`
`1
`Applicant
`If the applicant is the inventor (or the remaining joint inventor or inventors under 37 CFR 1.45), this section should not be completed.
`The information to be provided in this section is the name and address of the legal representative who is the applicant under 37 CFR
`1.43; or the name and address of the assignee, person to whom the inventor is under an obligation to assign the invention, or person
`who otherwise shows sufficient proprietary interest in the matter who is the applicant under 37 CFR 1.46. If the applicant is an
`applicant under 37 CFR 1.46 (assignee, person to whom the inventor is obligated to assign, or person who otherwise shows sufficient
`proprietary interest) together with one or more joint inventors, then the joint inventor or inventors who are also the applicant should be
`identified in this section.
`
`0 Legal Representative under 35 U.S.C. 117'
`
`0 Joint Inventor
`
`
`0 Person to whom the inventor is obligated to assign.
`
`0 Person who shows sufficient proprietary interest
`
`If applicant is the legal representative, indicate the authority to file the patent application, the inventor is:
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`Name of the Deceased or Legally incapacitated Inventor:
`If the Applicant is an Organization check here.
`|:|
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`Add
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`Assignee Information including Non-Applicant Assignee Information:
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`Providing assignment information in this section does not subsitute for compliance with any requirement of part 3 of Title 37 of CFR to
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`1
`
`Complete this section if assignee information, including non—applicant assignee information, is desired to be included on the patent
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`
`PTOIAIAI14 (03-13)
`Approved for use through 01/31/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`
`
`
` Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`Superod-OO2:C|P2
`
`Application Number
`
`
`
`Title of Invention
`
`
`
`SUCKER ROD APPARATUS AND METHOD
`
`If the Assignee is an Organization check here.
`
`D
`
`Prefix
`
`Given Name
`
`Middle Name
`
`Family Name
`
`Suffix
`
`Mailing Address Information:
`
`Address 1
`
`Address 2
`
`Country i Postal Code
`
`Additional Assignee Data may be generated within this form by selecting the Add button. E
`
`Signature:
`
`NOTE: This form must be signed in accordance with 37 CFR 1.33. See 37 CFR 1.4 for signature requirements and
`certifications
`
`/Terry McCutcheon/
`
`Signature First Name
`
`Date (YYYY-MM-DD)
`
`2013-12-18
`
`Additional Signature may be generated within this form by selecting the Add button.
`
`This collection of information is required by 37' CFR 1.76. The information is required to obtain or retain a benefit by the public which
`is to file (and by the USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This
`collection is estimated to take 23 minutes to complete, including gathering, preparing, and submitting the completed application data
`sheet form to the USPTO. Time will vary depending upon the individual case. Any comments on the amount of time you require to
`complete this form andlor suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent and
`Trademark Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR
`COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
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`
`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 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 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 the Freedom of Information Act requires disclosure of these records.
`
`A record from this system of records may be disclosed, as a routine use, in the course 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 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
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`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
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`PTOIAIA/O8 (os.12)
`U0‘: 5°09: 03"‘
`Approved for use through 01/31/2014. OMB 0651-0032
`Document Description: Oath or declaration filed
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
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`DECLARATION FOR UTILITY OR
`DESIGN
`PATENT APPLICATION
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`Declaration
`-
`3#31n::it::|
`
`_
`Declaration
`Submitted After initial
`OR B Filing (surcharge
`(37 CFR 1.16(f))
`required)
`
`Superod~002:CIP2
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`A“°’“eV ”°°'“*‘
`Number
`.
`First Named Inventor RUSSELL P. RUTLEDGE
`COMPLETE IF KNOVWV
`Application Number
`
`F1‘
`I mg
`Art Unit
`
`D t
`a e
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`Examiner Name
`
`(Title of the Invention)
`
`As a below named inventor, I hereby declare that:
`
`This declaration is directed to:
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`[:1 The attached application,
`OR
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`D United States Application Number or PCT International application number
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`The above—identified application was made or authorized to be made by me.
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`I believe I am the original inventor or an original joint inventor of a claimed invention in the application.
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`If checked, the undersigned hereby grants the USPTO authority to provide the European Patent Office (EPO), the
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`In accordance with 37 CFR 1.14(h)(3), access will be provided to a copy of the above—identified patent application with respect
`to: 1) the above-identified patent application-as-filed; 2) any foreign application to which the above-identified patent application
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`37 CFR 1.55 has been filed in the above-identified patent application; and 3) any U.S. application—as—filed from which benefit is
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`[Page 1 of 2]
`This collection of information is required by 35 U.S.C. 115 and 37 CFR 1.63. The information is required to obtain or retain a benefit by the public which is to file (and by
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`PTOIAIAIDB (05-12)
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`Petitioner/applicant is cautioned to avoid submitting personal information in documents filed in a patent application that may
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