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`WARNING:
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`Possession outside the U.S. Patent & Trademark Ofiioe is restricted to authorized employees and contractors only.
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`Form PTO-436A
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` Swagway_1002 Page 1‘,/
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`(FACE)
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`Swagway_1002 Page 1
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`SERIAL NUMBER
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`FILING DATE
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`CLASS
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`enour ART UNIT
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`A ATTORNEY DOCKET NO.
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`09/325,973
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`06/04/99
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`230
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`3611
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`1o62/Co4
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`z DEAN L. KAMEN, BEDFORD, NH; ROBERT R. AMBROGI; MANCHE‘ ER, NH) ROBERT J.
`§ DUGGAN, NORTHWOOD, NH; RICHARD KURT HEINZMAN, ERANC* own, NH: BURL
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`& AMSBURY, CKMBRTBGE, M; CHRISTOPHER C. LANGENFELD NASHUA, NH.
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`inner C..+“—{L_,
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`SAMUEL J pETUCHowSt<I ESQ
`BROMBERG s. SUNSTEIN LLP
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`125 SUMMER STREET
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`FILING FEE
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`TO THE ASSISTANT COMMISSIONER FOR PATENTS
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`Box Patent Application
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`Transmitted herewith for filing under 35 U.S.C. 111(a) and 37 C.F.R. 1.53(b) is a new utility patent application for an
`invention entitled:
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`ersonal Mobility Vehicles and Methods
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`and invented by:
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`. ean I... Kamen
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`obert R. Ambrogi
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`obert J. Duggan
`iclxard Kurt Heinzman
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`Burl Amshury
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`Filing fee as calculated and transmitted as described below
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`Descriptive Title of the Invention
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`8 Brief Summary of the Invention
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`Detailed Description
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`UTILITY PATENT APPLICATION TFIANSMITTAL
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`Application Elements (Continued)
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`a. D Formal
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`Number ol Sheets
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`UTILITY PATENT APPLICATION TRANSMITTA
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`(Onlyfornewnonprovisionalapplications under37CFR 1.53(b))
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`BASIC FEE
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`PATENT
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`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE _
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`//
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`Patent application
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`lnventor(s)
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`Title of invention _
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`OR
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`in re application of:
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`Kamen et al.
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`3611
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`Group Art Unit:
`Serial No.: 0
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`Examiner:
`June 4, 1999
`Filed:
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`PERSONAL MOBILITY VEHICLES AND METHODS
`F0“
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`Assistant Commissioner for Patents
`Washington, D.C. 20231
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`TRANSMITTAL or INFORMATION DISCLOSURE STATEMENT.
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`WITHIN THREE MONTHS OF FILING on
`BEFORE MAILING OF FIRST OFFICE ACTION (37 C.F.R. 1.97(b))
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`of a firs: Office action on the merits. whichever event occurs last.’ 37 C.F.Fr. 1.97(b).
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`CERTIFICATE OF MAILINGITRANSMISSION (37 c.I'-'.R. 1.8:)
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`MAILING
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`mail. in an envelope addressed to the
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`Assistant Commissioner for Patents.
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`Washington. D.C. 20231.
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`Date: _Sep_1:...__3_: 1999
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`FAOSIMILE
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`D transmitted by facsimile to the
`Patent and Trademant Oflice.
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`etuchowski
`(type or print name of person certifying)
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`(Transmittal of information Disclosure Statement Vwthln Three Months of Filing or Before Malling of First Offioe
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`37 C.F.R.
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`1.53(b) as ‘the date on which: (1, A specification containing a description pursuant to 5» r.71 and at
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`and Trademark Office in the name of the actual inventoror inventors as required by § 1.41.‘ 37 C.F.Fi.
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`the applicant has filed the documents and fees required by 35 U.S.C. § 371(c) within the periodsset
`forth in § 1.494 or § 1.495. 35 U.S.C. 5 371(c) requires the filing of the following: (1) the national fee;
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`(2) a copy of the intemational application, unless already sent by the lntemational Bueau, and an English
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`translation if filed in another language; (3) amendments under PCT Article 19, with a translation into
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`English if made in another language; (4) an oath or declaration; and (5) a translation into English of any
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`annexes to the intemationai preliminary examination report, if such annexes were made in another
`language. 37 C.F.R. 1..97(b)(2).
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`IDENTIFICATION OF TIME OF FILING THE ACCOMPANYING
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`INFORMATION DISCLOSURE $TATEMENT
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`I,
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`il-‘
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`EP ‘-1251999
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`an
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`NOTE:
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`NOTE: -
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`NOTE:
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`The information disclosure statement submitted herewith is being filed within three
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`, months of the filing date of the application or date of entry Into the national stage of an
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`the merits,
`International application or before the mailing date of a flrst Office action on
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`wh-icheyer event occurs last. 37 C.F.R.e.1.9Ii(b)..._«-.
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`-2.-...
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`NOTE:
`‘No certification or fee is due when the filing is made within the above time period. it is advisable to
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`ensure that no Oifice action has been mailed if the disclosure statement is delayed until after three
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`months from filing.’
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`‘An information disclosure statement will be considered to have been filed on the day it was received
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`In the Office. or on an eariier date of a mailing if accompanied by a property executed wrtifimte of
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`mailing under 37 C.F.Ft. 1.8, or Express Mail certificate under 37 C.F.Fl. 1.10. An Office action is mailed
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`on the date indicated in the Office action.‘ Notice of April 20, 1992 (1138 O.G. 37-41, 39).
`continuations-
`‘The term ‘national appiica ticn’ includes continuing applications (oontinuations,
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`ln-part) so three-months will be measured item the actual filing date of an application as opposed [sic]
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`to the effective date of a continuing application.‘ Notice of April 20, 1992 (1138 O.G. 37-41, 39).
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`‘An action on the merits means an action which beats the patentabiiity of the claims in an application.
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`as opposed to only formal or procedural requirements. An action on the merits would, for example,
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`requirements (37 GER. 1.142) or just a requirement for additional fees to have a daim considered (37
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`C.F.R. 1.16(cfl). Thus, if an application was filed on Jan. 1 and the flrst Office action on the merits was
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`not mailed until six months later on July 1. the examiner would be required to consider any proper
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`information disclosure statement filed priorto July 1.‘ Notice of April 20, 1992 (1138 O.G. 37-41, 39).
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`‘A petition for suspension of action to allow applicant time to submit an information disclosure
`WARNING:
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`statement will be denied as falling to present good and sufficient reasons. since 37 C.EFl. -1.97
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`provides adequate recourse for the timely submission ofpriorart for consideration by the emmlner. '
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`Notice of July 6, 1992 (1141 O.G. 63).
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`Reg. No.:
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`37 ,910
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`Tel- No: (517) 443..-.9292
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`Customer No.;, 002 1 0 1
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`‘J
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`Samuel J. Petuchowski
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`‘W’ °"’”"‘"“’"° °"”“‘°""°"°”
`BROMBERG & SUNSTEIN LLP
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`p_O_ Address.
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`125 Summer Street, Boston, MA 02110
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`(Transmittal of Infonnationloisciosure Statement Within Three Months of Filing or Before Mailing of First Office
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`Action [6-'l]—page 2 of 2)
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`cL‘li—6l9'i Pub.605
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`FORM 6-3
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`5.40
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`Swagway_1002 Page 7
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`Swagway_1002 Page 7
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` i.‘il—6l9'i mums FORM 6-1 6-13
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`Practitioner's Docket No. j_ PATENT
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`*<;Z.’~“}‘,;rN*
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`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
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`Patent application
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`of
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`lnventor(s)
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`for
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`Title of invention
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`the specification of which is being transmitted herewith
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`OR
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`in re application of: Kamen er; al.
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`Group No.:
`Serial No.:
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`0 9
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`Examiner:
`June 4, 1999
`Filed:
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`PERSONAL MOBILITY VEHICLES
`For:
`AND METHODS
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`3611
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`Assistant commissioner for Patents
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`Washington, D.C. 20231
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`INFORMATION DISCLOSURE STATEMENT
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`CERTIFICATION UNDER 37 C.F.R. ‘I.8(l) and 1.10
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`(When using Express Mail, the Express Mail label number is mandatory,-
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`Express Mall certification is optional.)
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`l hereby certify that, on the date shown below, this correspondence is being:
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`MAILING
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`Q deposited with the United States Postal Service in an envelope addressed to the Assistant Commissioner
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`for Patents. Washington. D.C. 20231
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`37 C.F.R. 1.8(a)
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`53 with sufficient postage as first class mail.
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`37 C.F.R. 1.10'
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`El as ‘Express Mail Post Office to Addresses"
`Mailing Label No.
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`transmitted by facsimile to the Patent and Trademark Offioe.
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`Date:__S.ap_l:_._3. 1999
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`Samuel J. Petuchowski
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`(type or print name of person certilying)
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`‘WARNING: Each paper or fee filed by Express Mail must have the number of the ‘Express Mail” mailing label
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`placed thereon prior to mailing. 37 C.F.Fi. 1.1 Oib).
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`"Since the filing of correspondence under § 1.10 without the Express Mail mailing label thereon
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`is an oversight that can be avoided by the exercise of reasonable care, requests for waiver of this
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`requirement will not be granted on petition. ' No (ice of Oct. 24, 1996. 60 Fed. Reg. 56,439, at 56,442.
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`(infonnafion Disclosure Statement [6-‘i]—page 1 of .11....)
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`Swagway_1002 Page 8
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`Swagway_1002 Page 8
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`NOTE:
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`NOTE:
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`‘An information disclosure sis -ment shall be considered by 979 05799 if filed by luv 8PP”C8l7f-'
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`(1) Within three months of the filing date of a national application;
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`(2) Within three months of the date of entry of the national stage as set forth in § 1.491 in an
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`intemational application; or
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`‘
`37 C.F.R. 1.97(b).
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`"Each individual associated with the filing and prosecution of a patent application has a duty of candor
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`and good faith In dealing with the Office, which includes a duty to disclose to the Office all information
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`known to that individual to be material to patentabiiity as defined ih this section.‘ 37 C.F.R. 1.56{a).
`‘individuals associated with the filing or prosecution of a patent application within the meaning of
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`this section are:
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`(1) each inventor named in the application;
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`(2) each attorney or agent who prepares or prosecutes the appiimtion; and
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`(3) every other person who is substan tively involved in the preparation orprosecution of the application
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`and who is associated with the inventor. withthe assignee or with anyone to whom there is an obligation
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`to assign the application.‘ 37 C.F.R. 1.56(c).
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`NOTE: The "duty as described in § 1.56 will be met so long as the infonnation in question was cited by the
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`Office or submitted to the Office in the manner prescribed by §§ 1.97(b) - (d) and 1.98 before issuance
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`of the patent." Notice of January 9, 1992, 1135 O.G. 13 -25 at 17.
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`WARNING:
`"No information disclosure statement maybe tiled in a provisional application.’ 37 C.F.H. § 1.51(b).
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`List of Sections Forming Part of This Information Disclosure Statement
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`The following sections are being submitted for this information Disclosure Statement:
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`(check sections forming a part of this statement: discard unused sections
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`and number pages consecutively)
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`[3 Preliminary Statements
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`[3 FORM PTO—1449 (PTO/"SB/08A and 086)"
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`3. Cl Statement as to information Not Found in Patents or Publications
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`[3
`identification of Prior Application in Which Listed lnforrnation Was Already Cited
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`and for Which No Copies Are Submitted or Need Be Submitted
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`D Cumulative Patents or Publications
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`6. El Copies of Usted Information Items Accompanying This Statement
`E Concise Explanation of Non.-English Language Listed information items
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`7A. B EPO §earch Report
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`7B. B English Language Version of EPO Search Report
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`[3 Translation(s) of Non-English Language Documents
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`Cl Concise Explanation of English Language Listed information Items (Optional)
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`10. Q Identification of Person(s) Making This lnforrnation Disclosure Statement
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`8.
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`9.
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`(complete the following, if appropriate)
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`Sections
`NOTE:
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`, respectively, have been continued on ADDED PAGE(S).
`"Once the minimum requirements are met, the examiner has an obligation to consider the lnforrnatlon. "
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`Notice of April 20. 1992 (1138 O.G. 37-41, 37).
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`(information Disclosure Statement [6-1]—page 2 of .1_l:_.)
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`FORM 6-1
`;§eL7i—am ?\l§.5051
`6.14
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`Swagway_1002 Page 9
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`Swagway_1002 Page 9
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`

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`6-15
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`§§eL7i-—097 Fui.1.605}
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`FORM 6-1
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`Section 1.. Preliminary statements
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`Applicants submit herewith patents, publications or other information, of which they are
`aware that they believe may be materiai to the examination of this application. and in respect
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`of which, there may be a duty to disciose.
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`The filing of this information disclosure statement shaii not be construed as a representa-
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`tion that a search has been made 37 C F
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`ns ere
`o e. materiai to patentabiilty, or that no other material information
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`The filing of this information disclosure statement shall not be construed as an admission I
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`against interest in any manner. Notice of, January 9, 1992, 1135 0.6:. 18-25. at 25.
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`SUPPLEMENTAL PRELIMINARY STATEMENT
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`2
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`Applicants disclose herewith all references, as listed in Section s
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`Considered by their °°unSel 1? regard to tgés a§:::§:::°:§e more material to the
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`In the best judgment °f °°““se1’ none of t :1 I: ated by the symbol "1!" in the
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`€K3min3ti°n °f this application than thgai
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`n°xt't°'right_hand column‘ Designation O fa re Zr nstiiutes prior art that
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`not constitute an admission that such a re eaegc tfi: a
`lication.
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`is relevant to any particular claim presente
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`(infcrrnation Disclosure Statement —- Section 1. Preiiminary Statements [6-i] -— page .3
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`of 14
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`3
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`Swagway_1002 Page 10
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`Swagway_1002 Page 10
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`

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`Section 2: MODIFIED PTO FORM 1449
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`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
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`Applicant: Kamen et al.
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`Serial No:
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`Filed:
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`09/325,978
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`]une 4, 1999
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`Atty Dkt:
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`1062/C04
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`2‘
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`Examiner:
`Art Unit:
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`3611
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`SEP 7 5 mg
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`ii‘;
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`Invention:
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`Personal Mobility Vehicles and Methods
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`U.S.
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`Patent No.
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`Inventor
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`Issue
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`Date
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`Ref. No. in
`U.S.S.N.
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`08/384,705
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`See
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`Exam.
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`Init.
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`Apr: 24» 2222 III
`2242222
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`IEII
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`HI-
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`Inventor
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`Issue
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`Date
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`Ref. No. in
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`08/384,705
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` Ref.
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`Patent No.
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`9
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`Ref. No. in
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`08/384,705
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`Issue
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`August31,1999
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`Page 7 of 14
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`Swagway_1002 Page 14
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`08/384,705
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`Swagway_1002 Page 14
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`See
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`U.S.S.N.
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`Apr. 21, 1993
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`July 4, 1984
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`Sept. 24, 1982
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`S3.I11.0 (wit.h abstract and
`translation)
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`DV
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`JP 62-12810
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`DW
`
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`JP 57-110569
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`Page 5
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`August 31, 1999
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`95040
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`Swagway_1002 Page 15
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`

`
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`:-
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`Page 6
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`Applicant
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`Publication
`Date
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`Foreign
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`Patent No.
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`Swagway_1002 Page 16
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`

`
`Non-Patent
`
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`
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`
`
`CQ
`
`CE
`
`,
`
`“'
`
`
`
`
`EK
`
`EM
`
`
`
`Page7
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`August3l,l999
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` , “K0A750
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`Page 10 °f 14
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`Swagway_1002 Page 17
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`
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`Swagway_1002 Page 17
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`

`
`See
`
`Sec.1
`
`
`
`Exam.
`
`Init.
`
`Mp
`
`
`
`
`Non-Patent
`
`References
`
`
`
`
`
`U.S.S.N.
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`
`
`
`
`
`
`
`
`
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`
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`
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`
`
`
`
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`
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`
`
`
`
`
`
`Denki Gakkai Ronbushi D, Vol. 107, Issue 1, Japan 1987,
`
`
`
`pp. 21-28 (Abstract Only)
`
`
`
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`
`
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`CF
`
`-ll
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`CK
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`CI
`
`8
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`
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`
`
`
`
`
`
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`http://wwwswifisite.com/technico
`
`EQ
`
`ER
`
`ES
`
`
`
`
`
`Stew’s Hovercraft Page,
`http://www.stewcam.com/hovercraft.html
`
`1
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`pageg
`August 31, 1999
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`95040
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`W "
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`(a
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`Swagway_1002 Page 18
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`Section 6. copies of Listed Information Items Accompanying This
`Statement
`
`NOTE: 37 C.F.Fi. 1.98(a)(2) requires that any information disclosure statement filed under § 1.97 shall include:
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`“A legible copy of: (1) Each U.S. and foreign patent; fir) Each publication or that portion which caused
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`it to be listed; and (ill) All other information or that portion which caused it to be listed, except that
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`no copy of a U.S.