UNITED STATES PATENT AND TRADEMARK OEEICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMIVIISS IONER FOR PATENTS
`P.O Box 1450
`Alexandria. Virginia 22313-1450
`www.uspto gov
`
`APPLICATION NO.
`
`13/173.486
`
`ISSUE DATE
`
`06/16/2015
`
`PATENT NO.
`
`9056870
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`382399US99CONT
`
`92 1 7
`
`22850
`
`7590
`
`05/27/2015
`
`OBLON, MCCLELLAND, MAIER & NEUSTADT, L.L.P.
`1940 DUKE STREET
`ALEXANDRIA, VA 22314
`
`The projected patent number and issue date are specified above.
`
`ISSUE NOTIFICATION
`
`Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)
`(application filed on or after May 29, 2000)
`
`The Patent Term Adjustment is 0 day( s). Any patent to issue from the above-identified application will include
`an indication of the adjustment on the front page.
`
`If a Continued Prosecution Application (CPA) was filed in the above-identified application, the filing date that
`determines Patent Term Adjustment is the filing date of the most recent CPA.
`
`Applicant will be able to obtain more detailed information by accessing the Patent Application Information
`Retrieval (PAIR) WEB site (http://pair.uspto. gov).
`
`Any questions regarding the Patent Teim Extension or Adjustment determination should be directed to the
`Office of Patent Legal Administration at (571)-272-7702. Questions relating to issue and publication fee
`payments should be directed to the Application Assistance Unit (AAU) of the Office of Data Management
`(ODM) at (571)-272-4200.
`
`APPLICANT(S) (Please see PAIR WEB site http://pair.11spto.gov for additional applicants):
`
`Tomoki KATO, Chiba, JAPAN;
`Masaki Nu111ata, Chiba, JAPAN;
`Kazuki Nishimura, Chiba, JAPAN;
`Toshihiro Iwakuma, Chiba, JAPAN;
`Chishio Hosokawa, Chiba, JAPAN;
`
`The United States represents the largest, most dynamic marketplace in the world and is an unparalleled location
`for business investment, innovation, and commercialization of new technologies. The USA offers tremendous
`resources and advantages for those who invest and manufacture goods here. Through SelectUSA, our nation
`works to encourage and facilitate business investment. To learn more about why the USA is the best country in
`the world to develop technology, manufacture products, and grow your business, visit SelectUSA.gov.
`
`IRl03 (Rev. 10/09)
`
`DUK SAN NEOLUX
`EXHIBIT 1002
`PAGE 000001
`
`

`
`PART B - FEE(S) TRANSMITTAL
`
`Complete and send this form, together with applicable t'ee(s), to: Mail Mail Stop ISSUE FEE
`Commissioner for Patents
`P.0. Box 1450
`Alexandria, Virginia 22313-1450
`or E2!
`(571)-273-2885
`_M_.M:
`INSTRUCTIONS: This form should be used for transmitting the ISSUE FEE and PUBLICATION FEE (if required). Blocks 1
`through 5 should be completed where
`appropriate. All further correspondence including the Patent. advance orders and notification of maintenance fees will be mailed to the current corres
`ndence address as
`in icated unless corrected below or directed otherwise in Block 1, by (a) specifying a new correspondence address; and/or (b) indicating a separate "FEE ADDRESS" for
`maintenance fee notifications.
`Note: A certificate of mailin can only be used for domestic mailings of the
`Fee(s) Transmittal. This certi icate cannot be used for any other accompanying
`ave its own certificate of mailing or transmission.
`papers. Each additional paper, such as an assignment or formal drawing, must
`Certificate of Mailing or Transmission
`
`CURRENT CORRESPONDENCEADDRESS (N°l== UseBl°=k1f°r any<1W1se°f=iddr=s=)
`
`U
`
`M E R N U M B E R
`
`C
`051
`that this Fee(s) Transmittal is being deposited with the United
`I hereb
`addressed to the Mail Sto
`ISSUE FEE address above, or being facsimie
`States
`rvice with sufficient postage for first class mail in an envelo
`transmitted to the USPTO 7|) Z73-2885, on the date indicated below.
`
`22850
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`382399US99CONT
`Tomoki KATO
`06/30/2011
`13/ 173.486
`TITLE OF INVENTION: MATERIAL FOR ORGANIC ELECTROLUMINESCENCE DEVICE AND ORGANIC ELECTROLUMINESCENCE DEVICE
`USING THE SAME
`
`9217
`
`nonprovisional
`
`UNDISCOUNTED
`
`$960
`
`$0
`
`$0
`
`$960
`
`07/10/2015
`
`EXAMINER _ CLASS-SUBCLASS
`YANG, JAY
`428-690000
`
`2. For printing on the patent front page, list
`1. Change of correspondence address or indication of "Fee Address" (37
`.
`1.363 .
`A
`S
`9 U
`0
`g1r)aT§_t:t:12(1)rrfiesai>tfe‘gInr:]tti<\>,‘_l3lregistered patent attorneys
`CFRD Ch )
`f
`den
`dd
`( rem f C m ondme
`g
`‘
`V‘
`*"“§’°° °°”°‘<"°" C” “" "
`=6
`P
`(2) The name of a single firm (having as a member a
`Addmss firm PTO/SB/122) attached‘
`registered attorney or agent) and the names of up to
`D "Fee Address" indication (or "Fee Address" Indication form
`Zregistered patent atlomeys or agents. If no name Is
`PTO/SB/47; Rev 03-02 or more recent) attached. Use of a Customer
`listed, no name Will be printed.
`Number is required.
`3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
`If an assignee is identified below, the document has been filed for
`PLEASE NOTE: Unless an assi nee is identified below, no assignee data will appear on die patent.
`recordation as set forth in 37 C
`3.11. Completion of this fonn is NOT a substitute for filing an assignment.
`(A) NAME OF ASSIGNEE
`(B) RESIDENCE: (CITY and STATE OR COUNTRY)
`
`1
`
`on MCC]elland
`9
`9
`‘
`—-——-~—~-»—-
`2 Maier & Neustadt, L.L.P.
`
`3
`
`IDEMITSU KOSAN CO., LTD.
`
`Tokyo, JAPAN
`
`Please check the appropriate assignee category or categories (will not be printed on the patent) : D Individual
`
`Corporation or other private group entity D Government
`
`4a. The following fee(s) are submitted:
`E Issue Fee
`D Publicafion Fee (No small entity discount permitted)
`El Advance Order — # of Copies
`‘3'
`
`4b. Payment of Fee(s): (Please first reapply any previously paid issue fee shown above)
`D A check is enclosed.
`8 Payment by credit card. Transmitted Via E
`KIThe director is hereby authorized to charge the re uired fee(s), any deficiency, or credits any
`overpayment, to Deposit Account Number
`-
`(enclose an extra copy of this form).
`
`5. Change in Entity Status (from stanis indicated above)
`U Applicant certifying micro entity status. See 37 CFR 1.29
`
`:1 Applicant asserting small entity status. See 37 CFR 1.27
`
`D Applicant changing to regular undiscounted fee status.
`
`NOTE: This form must be si
`
`-.
`
`Authorized Signature
`
`Typed or printed name
`
`7
`
`NOTE: Absent a valid certification of Micro Entity Status (sec forms PTOISBI 15A and 15B). issue
`lee payment in the micro entity amount will not be accepted at the risk of application abandonment.
`NM If the application was previously under n1icro_ entity status, checking this box will be taken
`to be a notification of loss of entitlement to micro entity status.
`
`QE‘Checking this box will be taken to be a notification of loss of entitlement to small or micro
`entity status, as applicable.
`nature reuirements and certifications.
`
`Date
`
`l 5-
`. 4: £2’
`Ptegtstratton No. 28,42?
`Registration No.
`
`Page 2 of 3
`
`PTOL—85 Part B (10-13) Approved for use through 10/31/2013.
`
`OMB 0651-0033
`
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`
`DUK SAN NEOLUX
`EXHIBIT 1002
`PAGE 000002
`
`

`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Addicss: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria. V"
`"ma 223131430
`www.uspto.go
`
`NOTICE OF ALLOWANCE AND FEE(S) DUE
`
`22850
`
`7590
`
`_
`04/10/2013
`
`OBLON, MCCLELLAND, MAIER & NEUSTADT, L.L.P.
`1940 DUKE STREET
`ALEXANDRIA, VA 22314
`
`EXAIVIINER
`
`YANG, JAY
`
`1786
`
`DATE MAILED: 04/10/2015
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAIVIED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`382399US99CONT
`Toinoki KATO
`O6/30/2011
`13/173 A86
`TITLE OF INVENTION: MATERIAL FOR ORGANIC ELECTROLUMINESCENCE DEVICE AND ORGANIC ELECTROLUMINESCENCE DEVICE
`USING THE SA1VIE
`
`9217
`
`APPLN. TYPE
`
`ENTITY STATUS
`
`ISSUE FEE DUE
`
`PUBLIC ATION FEE DUE
`
`PREV. PAID ISSITE FEE
`
`TOTAL FEE(S) DUE
`
`nonprovisional
`
`UNDISCOUN TED
`
`$960
`
`$0
`
`$0
`
`$960
`
`DATE DUE
`
`07/10/2015
`
`THE APPLICATION IDENTIFIED ABOVE HAS BEEN EXAMINED AND IS ALLOVVED FOR ISSUANCE AS A PATENT.
`PROSECUTION ON TIIE MERITS IS CLOSED. TIIIS NOTICE OF ALLOWANCE IS NOT A GRANT OF PATENT RIGIITS.
`THIS APPLICATION IS SUBJECT TO WITHDRAVVAL 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 WITI-IIN THREE MONTHS FROM THE
`MAILING DATE OF THIS NOTICE OR THIS APPLICATION SHALL BE REGARDED AS ABANDONED.
`THIS
`STATUTORY PERIOD CANNOT BE EXTENDED.
`SEE 35 U.S.C. 151. THE ISSUE FEE DUE INDICATED ABOVE DOES
`NOT REFLECT A CREDIT FOR ANY PREVIOUSLY PAID ISSUE FEE IN THIS APPLICATION.
`IF AN ISSUE FEE HAS
`PREVIOUSLY BEEN PAID IN THIS APPLICATION (AS SHOWN ABOVE), THE RETURN OF PART B OF THIS FOR1\I
`VVILL BE CONSIDERED A REQUEST TO REAPPLY THE PREVIOUSLY PAID ISSUE FEE TOWARD THE ISSUE FEE NOW
`DUE.
`
`HOW TO REPLY TO THIS NOTICE:
`
`I. Review the ENTITY STATUS shown above. If the ENTITY STATUS is shown as SMALL or MICRO, verify whether entitlement to that
`entity status still applies.
`
`If the ENTITY STATUS is the same as shown above, pay the TOTAL FEE(S) DUE shown above.
`
`If the ENTITY STATUS is changed from that shown above, on PART B - FEE(S) TRANSMITTAL, complete section number 5 titled
`"Change in Entity Status (from status indicated above)".
`
`For purposes of this notice, small entity fees are 1/2 the amount of iindiscounted fees, and micro entity fees are 1/2 the amount of small entity
`fees.
`
`11. PART B - FEE(S) TRANSMITTAL, or its equivalent, must be completed and returned to the United States Patent and Trademark Office
`(USPTO) with your ISSUE FEE and PUBLICATION FEE (if required). If you are charging the fee(s) to your deposit account, section "4b"
`of Part B - Fee(s) Transmittal should be completed and an extra copy 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 Part B.
`
`III. All coiniiiunications regarding this application must give the application number. Please direct all coiiniiiiiiicatioiis prior to issuance to
`Mail Stop ISSUE FEE unless advised to the contrary.
`
`IMPORTANT REMINDER: Utility patents issuing on applications filed on or after Dec. 12, 1980 may require payment of
`maintenance fees. It is patentee's responsibility to ensure timely payment of maintenance fees when due.
`
`PTOL-85 (Rev. 02/11)
`
`Page 1 of 3
`
`DUK SAN NEOLUX
`EXHIBIT 1002
`PAGE 000003
`
`

`
`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
`or @ (571)-273-2885
`through 5 should be completed where
`INSTRUCTIONS: This form should be used for transmitting the ISSUE FEE and PUBLICATION FEE (if required). Blocks 1
`ap ropriate. All further correspondence including the Patent. advance orders and notification of maintenance fees will be mailed to the current correspondence address as
`in icated unless corrected below or directed otherwise in Block 1, by (a) specifying a new correspondence address; and/or (b) indicating a separate "FEE ADDRESS" for
`maintenance fee notifications.
`
`CURRENT CORRESPONDENCE ADDRESS (Now: US: Block 1101 any 0116113: 01 adtllcbsi
`
`7590
`
`a
`“2850
`OBLON,
`1940 DUKE STREET
`’*LEX’*NDR"*’ 1””
`
`_
`7
`O4/10/“Ob
`MAIER &
`
`Note: A certificate of mailin can only be used for domestic mailings of the
`Fee(s) Transmittal. This certi icate cannot be used for any other accompanying
`'1
`papers. Each additional paper, such as an assignment or formal drawing, must
`ave its own certificate of mailing or transmission.
`
`Certificate of Mailing or Transmission
`I hereby certify that this Fee(s) Transmittal is being deposited with the Lnited
`States Postal Service with sufficient postage for first class mail in an envelope
`addressed to the Mail Stop ISSUE FEE address above, or being facsimile
`transmitted to the USPTO (571) 273-2885, on the date indicated below.
`epos.itoi's name
`
`382399US99CONT
`Tomoki KATO
`06/30/2011
`13/173 .486
`TITLE OF INVENTION: MATERIAL FOR ORGANIC ELECTROLUMINESCENCE DEVICE AVD ORGAVIC ELECTROLUMINESCENCE DEVICE
`USING THE SAME
`
`9217
`
`APPLN. TYPE
`
`ENTITY STATUS
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE
`
`PREV. PA ) ISSI, E FEE
`
`TOTAL FEE(_'S) DUE
`
`nonprovi sional
`
`UNDISCOI INTED
`
`$960
`
`$0
`
`$0
`
`DATE DUE
`
`07/10/2015
`
`EXAMINER
`
`YANG, JAY
`
`ART UNIT
`
`CLASS-SUB CLASS
`
`1786
`
`428—690000
`
`2. For printing on the patent front page, list
`1. Change of correspondence address or indication of "Fee Address" (37
`(1) The names of up to 3 registered patent attorneys
`CFR L363)‘
`or agents OR, alternatively,
`3 Chan e of correspondence address (or Change of Correspondence
`(2) The name of a single firm (having as a member a
`Addrcss ("rm PTO/SB/122) attached‘
`registered 31101116)’ 01' 339111) 31111 1111‘ 11311155 011113 1_0
`3 "Fee Address" indication (or "Fee Address" Indication form
`Z_fCg1StCfCd pé11CI1_1 attorneys 01“ agents. If I10 I1aII1C 13
`’TO/SB/47; Rev 03-02 or more recent) attached. Use of a Customer
`listed, no name will be pI‘1I1t€Cl.
`Number is required,
`3. ASSlG.\1E,:' I\ik\/IE AND RESIDENCE DATA TO BE PRINTED ON 1'I-IE PATENT (print or type)
`If an assignee is identified below, the document has been filed for
`’LEASE NOTE: Unless an assignee is identified below, no assignee data will appear on the patent.
`recordation as set forth in 37 CFR 3.11. Completion of this form is NOT a substitute for filing an assignment.
`(A) NAM,:' OF ASSIGNEE
`(B) RESIDENCE: (CITY and S I'AI'E OR COUN I'RY)
`
`Please check the appropriate assignee category or categories (will not be printed on the patent) : D Individual D Corporation or other private group entity D Government
`
`4a. The following fee(s) are submitted:
`3 Issue Fee
`3 Publication Fee (No small entity discount permitted)
`3 Advance Order — # of Copies
`
`4b. Payment of Fee(s): (Please first reapply any previously paid issue fee shown above)
`3 A check is enclosed.
`:l Payment by credit card. Form PTO—2038 is attached.
`jThe director is hereby authorized to charge the required fee(s), any deficiency, or credits any
`overpayment, to Deposit Account ,\Iiimher
`(enclose an extra copy of this form).
`
`5. Change in Entity Status (from status indicated above)
`3 Applicant certifying micro entity status. See 37 CFR 1.29
`
`3 Applicant asserting small entity status. See 37 CFR 1.27
`
`3 Applicant changing to regular undiscounted fee status.
`
`NOTE: Absent a valid certification of Micro Entity Status (see forms PTO/SB/15A and 15B), issue
`fee payment in the micro entity amount will not be accepted at the risk of application abandonment.
`NOTE: If the application was previously under micro entity status, checking this box will be taken
`to be a notification of loss of entitlement to micro entity status.
`NOTE: Checking this box will be taken to be a notification of loss of entitlement to small or micro
`entity status, as applicable.
`
`NOTE: This form must be signed in accordance with 37 CFR 1.31 and 1.33. See 37 CFR 1.4 for signature reguirements and certifications.
`
`Authorized Signature
`
`Typed or printed name
`
`Date
`
`Registration No.
`
`Page 2 of 3
`
`PTOL—85 Part B (10-13) Approved for use through 10/31/2013.
`
`OMB 0651-0033
`
`US. Patent and Trademark Office; US. DEPARTMENT OF COMMERCE
`
`DUK SAN NEOLUX
`EXHIBIT 1002
`PAGE 000004
`
`

`
`UNITED STATES DEPARTNIENT OF CO3/HVIERCE
`United States Patent and Trademark Office
`Address: CO1‘/INIISSIONER FOR PATENTS
`PO. Box 1450
`Alexandria, Virginia 22313-1430
`wWw.uspto.gov
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAIVIED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`13/173,486
`
`06/30/2011
`
`Tomoki KATO
`
`382399US99CONT
`
`92 1 7
`
`22850
`
`7590
`
`_
`04/10/2015
`
`OBLON, MCCLELLAND, MAIER & NEUSTADT, L.L.P.
`1940 DUKE STREET
`ALEXANDRIA, VA 22314
`
`EXAIVIINER
`
`YANG, JAY
`
`1786
`
`DATE MAILED: 04/10/2015
`
`Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)
`(Applications filed on or after May 29, 2000)
`
`The Office has discontinued providing a Patent Term Adjustment (PTA) calculation with the Notice of Allowance.
`
`to eliminate the
`Section 1(h)(2) of the AIA Technical Corrections Act amended 35 U.S.C. 154(b)(3)(B)(i)
`requirement that the Office provide a patent term adjustment determination with the notice of allowance. See
`Revisions to Patent Term Adjustment, 78 Fed. Reg. 19416, 19417 (Apr. 1, 2013). Therefore, the Office is no longer
`providing an initial patent term adjustment determination with the notice of allowance. The Office will continue to
`provide a patent term adjustment determination with the Issue Notification Letter that
`is mailed to applicant
`approximately three weeks prior to the issue date of the patent, and will include the patent term adjustment on the
`patent. Any request for reconsideration of the patent term adjustment determination (or reinstatement of patent term
`adjustment) should follow the process outlined in 37 CFR 1.705.
`
`Any questions regarding the Patent Tenn Extension or Adjustment determination should be directed to the Office of
`Patent Legal Administration at (571)-272-7702. Questions relating to issue and publication fee payments should be
`directed to the Customer Service Center of the Office of Patent Publication at 1-(888)-786-0101 or (571)-272-4200.
`
`PTOL-85 (Rev. 02/11)
`
`Page 3 of 3
`
`DUK SAN NEOLUX
`EXHIBIT 1002
`PAGE 000005
`
`

`
`OMB Clearance and PRA Burden Statement for PTOL—85 Part B
`
`The Paperwork Reduction Act (PRA) of 1995 requires Federal agencies to obtain Office of Management and
`Budget approval before requesting most types of information from the public. When OMB approves an agency
`request to collect information from the public, OMB (i) provides a valid OMB Control Number and expiration
`date for the agency to display on the instrument that will be used to collect the information and (ii) requires the
`agency to inform the public about the OMB Control Number’s legal significance i11 accordance with 5 CFR
`l320.5(b).
`
`The information collected by PTOL—85 Part B is required by 37 CFR 1.311. 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 12 mi11utes 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 lnformation Officer, U.S. Patent and
`Trademark Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, Virginia 22313-1450. DO NOT
`SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box
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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 pate11t application or patent. lf you do not furnish the requested information, the U.S. Pate11t 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
`lnfor1natio11 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
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`. A record from this system of records may be disclosed, as a routine use, iii the course of presenting evidence
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`. 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
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`. 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
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`. A record related to a11 lnternational Application filed under the Pate11t Cooperation Treaty i11 this system of
`records may be disclosed, as a routine use, to the International Bureau of the World I11tellectual 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.
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`. A record from this system of records may be disclosed, as a routine use, to the Administrator, General
`Services, or his/her designee, during an inspection of records conducted by GSA as part of that agency's
`responsibility to recommend improvements in records management practices and programs, u11der authority
`of 44 U.S.C. 2904 and 2906. Such disclosure shall be made in accordance with the GSA regulations
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`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(b) or issuance of a patent pursuant to 35 U.S.C. 151. Further, a
`record may be disclosed, subject to the limitations of 37 CPR 1.14, as a routine use, to the public if the
`record was filed in an application which became abandoned or in which the proceedings were terminated
`and which application is referenced by either a published application, an application open to public
`inspection or a11 issued patent.
`. A record from this system of records may be disclosed, as a routine use, to a Federal, State, or local law
`enforcement agency, if the USPTO becomes aware of a violation or potential violation of law or regulation.
`
`DUK SAN NEOLUX
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`PAGE 000006
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`

`
`Notice of Allowability
`
`’F‘:{:,‘§‘t;stf,'S""°"‘°' ‘°
`No
`
`Application No.
`13/173,486
`
`App|icant(s)
`KATO ET AL.
`
`-- The MAILING DA TE of this communication appears on the cover sheet with the correspondence address--
`All claims being allowable, PROSECUTION ON THE MERITS IS (OR REMAINS) CLOSED in this app ication.
`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. IX! This communication is responsive to 02/27/15.
`
`[I A declaration(s)/affidavit(s) under 37 CFR 1.130(b) was/were filed on
`
`2. I] An election was made by the applicant in response to a restriction requirement set forth during the interview on
`requirement and election have been incorporated into this action.
`
`; the restriction
`
`3. IX The allowed cIaim(s) is/are 1 5 171824 26-31 34 35 39 42.43 45-47 and 52-58. As a result of the allowed c|aim(s), you may be
`eligible to benefit from the Patent Prosecution Highway program at a participating intellectual property office for the corresponding
`application. For more information. please see hit ‘://www.us to.crov'/ aterrts/inlt events/'
`itfirwdr-:x.'s or send an inquiry to
`PPHfeedback@ usgtogcv .
`
`4. IX Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119( )—(d) or (f).
`Certified copies:
`
`*c) I:I None of the:
`b) I:I Some
`a) IX! All
`1. IX Certified copies of the priority documents have been received.
`2. El Certified copies of the priority documents have been received in Application No.
`3. I:I Copies of the certified copies of the priority documents have been received in this national stage application from the
`International Bureau (PCT Rule 17.2( )).
`* Certified copies not received:
`
`Applicant has THREE MONTHS FROM THE “MAILING DATE” of this communication to file a reply complying with the requirements
`noted below. Failure to timely comply will result in ABANDONMENT of this application.
`THIS THREE-MONTH PERIOD IS NOT EXTENDABLE.
`
`5. El CORRECTED DRAWINGS ( as “replacement sheets”) must be submitted.
`
`I:I
`
`including changes required by the attached Examiner’s Amendment / Comment or in the Office action of
`Paper No./Mail Date
`Identifying indicia such as the application number (see 37 CFR 1.84(c)) should be written on the drawings in the front (not the back) of
`each sheet. Replacement sheet(s) should be labeled as such in the header according to 37 CFR 1.121(d).
`
`6. El DEPOSIT OF and/or INFORMATION about the deposit of BIOLOGICAL MATERIAL must be submitted. Note the
`attached Examiner’s comment regarding REQUIREMENT FOR THE DEPOSIT OF BIOLOGICAL MATERIAL.
`
`Attachment(s)
`1. El Notice of References Cited (PTO-892)
`2. El Information Disclosure Statements (PTO/SB/08),
`Paper No./Mail Date
`3. El Examiner's Comment Regarding Requirement for Deposit
`of Biological Material
`4. El Interview Summary (PTO-413),
`Paper No./Mail Date
`
`/J. L. Yang/
`Primary Examiner, Art Unit 1786
`
`Examiner’s Amendment/Comment
`5.
`6. El Examiner's Statement of Reasons for Allowance
`
`7. IX Other PTOL-2323.
`
`U5. Patent and Trademark Office
`PTOL-37 (Rev. 08-13)
`
`Notice of Allowability
`
`Part of Paper No./Mail Date 20150319
`
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`

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`Application/Control Number: 13/173,486
`Art Unit: 1786
`
`DETAILED ACTION
`
`1.
`
`2.
`
`This Office Action is in response to the Applicant’s Amendment filed 02/27/15.
`
`The present Application is being examined under the pre-AIA first to invent
`
`provisions.
`
`Response to Amendment
`
`3.
`
`The rejection of Claims 1 5 24 26-31 34 42 and 43 under 35 U.S.C. 103(a) as
`
`being unpatentable over Heil et al. (WO 2007/022845 A1) as set forth in the Office
`
`Action filed 01/23/15 is overcome by the Applicant’s amendments.
`
`4.
`
`The rejection of Claims 12 38 40 and 41 under 35 U.S.C. 103(a) as being
`
`unpatentable over Heil et al. (WO 2007/022845 A1) as set forth in the Office Action filed
`
`01/23/15 is overcome by the cancellation of the claims.
`
`5.
`
`The rejection of Claims 38 41 44 and 51 under 35 U.S.C. 103(a) as being
`
`unpatentable over lkeda et al. (US 2006/0051612 A1) as set forth in the Office Action
`
`filed 01/23/15 is overcome by the cancellation of the claims.
`
`6.
`
`The rejection of Claims 1 5 17 18 24 26-31 34 39 42 and 52 under 35
`
`U.S.C. 103(a) as being unpatentable over lkeda et al. (US 2006/0051612 A1) as set
`
`forth in the Office Action filed 01/23/15 is overcome by the Applicant’s amendments.
`
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`
`Application/Control Number: 13/173,486
`Art Unit: 1786
`
`Page 3
`
`7.
`
`The rejection of Claim 35 under 35 U.S.C. 103(a) as being unpatentable over
`
`Heil et al. (WO 2007/022845 A1) in view of Arakane et al. (US 2007/0120466 A1) as set
`
`forth in the Office Action filed 01/23/15 is overcome by the Applicant’s amendments.
`
`8.
`
`The rejection of Claim 35 under 35 U.S.C. 103(a) as being unpatentable over
`
`Ikeda et al. (US 2006/0051612 A1) in view of Arakane et al. (US 2007/0120466 A1) as
`
`set forth in the Office Action filed 01/23/15 is overcome by the Applicant's amendments.
`
`Examiner's Amendment
`
`9.
`
`An Examiner’s Amendment to the record appears below. Should the changes
`
`and/or additions be unacceptable to applicant, an amendment may be filed as provided
`
`by 37 CFR 1.312. To ensure consideration of such an amendment, it MUST be
`
`submitted no later than the payment of the issue fee.
`
`Authorization for this Examiner’s Amendment was given in a telephone interview
`
`with Stefan Koschmieder on 03/18/15.
`
`10.
`
`Claim 18 is amended as follows: The material for an organic
`
`electroluminescence device according to claim 1, in which X4 X; in the general formulae
`
`(1) and (2) represents an oxygen atom.
`
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`
`Application/Control Number: 13/173,486
`Art Unit: 1786
`
`11.
`
`Claim 56 is amended as follows: The material for an organic
`
`electroluminescence device according to Claim 1, wherein the material has formula (1),
`
`wherein l=" i=1 and if Ii represent a single bond.
`
`Examiner’s Note
`
`12.
`
`The Office has relied upon publication US 2008/0193797 A1 as the English
`
`translation of publication WO 2007/022845 A1 (herein referred to as “Hei| et al.").
`
`13.
`
`Claims1 5 17 18 24 26-31 34 35 39 42 43 45-47 and 52-58 are allowed.
`
`Allowable Subject Matter
`
`The closest prior art is provided by Heil et al. (WO 2007/022845 A1) which
`
`discloses compounds of the following form:
`
`{2.~1:ji~
`
`([0029]) where x = c(R‘)2, N(R‘), 0, or s ([0018]); R‘ = aryl or heteroaryl group ([0019])
`
`such as benzene or pyridine ([0024]). A particular embodiment is disclosed:
`
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`PAGE 000010
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`
`Application/Control Number: 13/173,486
`Art Unit: 1786
`
`L‘
`
`(page 11). However, it is the position of the Office that neither Heil et al. singly nor in
`
`combination with any other prior art provides sufficient motivation to produce the
`
`compounds according to formulae (1) or (2) as defined by the Applicant, particularly in
`
`regards to X1.2.
`
`Conclusion
`
`14.
`
`Any inquiry concerning this communication or earlier communications from the
`
`examiner should be directed to J. L. Yang whose telephone number is (571)270-1137.
`
`The examiner can normally be reached on Monday to Thursday from 8:30 am to 6:00
`
`pm Eastern.
`
`If attempts to reach the examiner by telephone are unsuccessful, the examiner’s
`
`supervisor, Jennifer A. Chriss can be reached on (571)272-7783. The fax phone
`
`number for the organization where this application or proceeding is assigned is 571-
`
`273-8300.
`
`DUK SAN NEOLUX
`EXHIBIT 1002
`PAGE 000011
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`

`
`Application/Control Number: 13/173,486
`Art Unit: 1786
`
`Page 6
`
`Information regarding the status of an application may be obtained from the
`
`Patent Application Information Retrieval (PAIR) system. Status information for
`
`published applications may be obtained from either Private PAIR or Public PAIR.
`
`Status information for unpublished applications is available through Private PAIR only.
`
`For more information about the PAIR system, see http://pair-direct.uspto.gov. Should
`
`you have questions on access to the Private PAIR system, contact the Electronic
`
`Business Center (EBC) at 866-217-9197 (toII—free).
`
`If you would like assistance from a
`
`USPTO Customer Service Representative or access to the automated information
`
`system, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000.
`
`/J. L. Yang/
`Primary Examiner, Art Unit 1786
`
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`OK TO ENTER:
`
`./J,Y./
`
`DOCKET NO: 382399US99CONT
`
`IN THE UNITED STATES PATENT & TRADEMARK OFFICE
`
`IN RE APPLICATION OF
`
`TOMOKI KATO, ET AL.
`
`: EXAMINER: YANG, JAY
`
`SERIAL NO: 13/173,486
`
`FILED: JUNE 30, 2011
`
`: GROUP ART UNIT: 1786
`
`FOR: MATERIAL FOR ORGANIC
`ELECTROLUMINESCENCE DEVICE
`AND ORGANIC
`ELECTROLUMINESCENCE DEVICE
`USING THE SAME
`
`AMENDMENT AND REQUEST FOR PARTICIPATION IN AFCP2.0
`
`COMMISSIONER FOR PATENTS
`ALEXANDRIA, VIRGINIA 22313
`
`SIR:
`
`Responsive to the Office Action of January 23, 2015, Applicants request
`
`reconsideration in view of the following Amendment and Remarks submitted concurrently
`
`with a request for participation in the AFCP2.0 program.
`
`Amendments to the Claims are reflected in the listing of claims which begins on
`
`page 2 of this paper.
`
`Discussion of the Claims begins on page 14 of this paper.
`
`Remarks begin on page 15 of this paper.
`
`DUK SAN NEOLUX
`EXHIBIT 1002
`PAGE 000013
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`UNITED STATES PATENT AND TRADEMARK OEEICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United