PTO-1390 (Rev. 09-2007)
`Approved for use through 02/28/2010. 0MB 0651-0021
`U. S. Palent and Trademark Office; U.S. DEPARTMENT OF COMMER CE
`Under the Pape work Reduclion Act of 1995, no persons are required to respond lo a coaectfon of infomiation unless it displays a valid 0MB contfol number.
`ATTORNEY’S DOCKET NUMBER
`TRANSMITTAL LETTER TO THE UNITED STATES
`14113-00123-US
`DESIGNATED/ELECTCD OFFICE (DO/EO/US)
`U.S. APPLICATION NO. (f known, aee 37 CFR 1.5)
`CONCERNING A SUBMISSION UNDER 35 U.S.C, 371
`PRIORITY DATE CLAIMED
`INTERNATIONAL FILING DATE
`INTERNATIONAL APPLICATION NO.
`26 August 2005
`_________ 26 July 2006
`________ PCT/EP2006/007386
`TITLE OF INVENTION
`NOVEL MATERIALS FOR ORGANIC ELECTROLUMINESCENT DEVICES___________________________________
`APPLICANT(S) FOR DO/EO/US
`Holger Hell et al............................................................................................................................................................... ............... -
`Applicant herewith submits to the United States Designated/Elected Office (DO/EO/US) the following items and other information;
`1 .[^ This is a FIRST submission of items concerning a submission under 35 U.S.C. 371.
`This is a SECOND or SUBSEQUENT submission of items concerning a submission under 35 U.S.C. 371.
`2,
`This Is an express request to begin national examination procedures (35 U .S.C. 371 (f)). The submission must
`3. X
`Include Items (6), (6), (9) and (21) indicated below,
`4.1 The US has been elected (Article 31).
`S.fjn Acopyofthe International Application as filed (35 U.S.C, 371 (c)(2))
`.j X j Is attached hereto (required only if not communicated by the International Bureau).
`a
`b.
`I has been communicated by the International Bureau.
`c.
`I is not required, as the application was flied in the United States Receiving Office (RO/US).
`e,| X I An English language translation of the International Application as filed (35 U,S.C. 371(c)(2)),
`a. X is attached hereto.
`b.
`has been previously submitted under 35 U.S.C. 15’t(d)(4).
`Amendments to the claims of the International Application under PCT Article 19 (35 U.S.C. 371(c)(3))
`I are attached hereto (required only if not communicated by the International Bureau),
`a.
`b.| have been communicated by the International Bureau.
`have not been made; however, the time limit for making such amendments has NOT expired.
`c.
`have not been made and will not be made.
`d.
`|
`An English language translation of the amendments to the claims under PCT Article 19 (35 U.S.C. 371(c)(3)).
`nr An oath or declaration of the Inventor(s) (35 U.S.C. 371(c)(4)).
`An English language translation of the annexes of the International Preliminary Examination Report under PCT
`----- Article 36 (35 U.S.C. 371(c)(5)).
`Items 11 to 20 below concern document(s) or information Included:
`11.[ir An Infomiation Disclosure Statement under 37 CFR 1.97 and 1.98.
`t2,p~ An assignment document for recording. A separate cover sheet in compliance with 37 CFR 3.28 and 3.31 is included.
`13.
`|rr] A preliminary amendment.
`14.
`An /application Data Sheet under 37 CFR 1.76.
`15.
`A substitute specification.
`16.
`j
`I A power of attorney and/or change of address letter,
`A computer-readable form of the sequence listing In accordance with PCT Rule 13fe/-.2 and 37 CFR 1,821 -1.825.
`17.
`1 g.|___j A second copy of the published International Application under 35 U.S.C. 164(d)(4).
`A second copy of the English language translation of the International application under 35 U.S.C. 154(d)(4).
`
`7.
`
`8.
`9,
`10.
`
`19,
`
`592839
`
`Page 1 of 3
`
`DUK SAN NEOLUX
`EXHIBIT 1014
`PAGE 000001
`
`

`
`PTO-1390 (Rev. 09-2007)
`Approved for use Ihreugh 02/28/2010, 0MB 0651-0021
`U. S. Palent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Underthe Paperwork Reduction Act 011995, no persons are required lo respond to a collecllon of infomiation unless it displays a valid 0MB control number.
`ATTORNEY'S DOCKET NUMBER
`INTERNATIONAL APPUCATION NO.
`U.S. APPLICATION NO. (ifkncwn, saa 37 CFR 1.6)
`14113-00123-US
`PCT/EP2006/007386
`Copy of International Application with International Search Report, English translation
`of International Application, PCT/RO/101, PCT/RO/105, PCT/ISA/210, PCT/ISA/237,
`Certificate of Electronic Filing
`
`20. Other items or infomiation:
`
`CALCULATIONS
`$
`310.00
`
`PTO USE ONLY
`
`210.00
`
`410.00
`
`930.00
`
`$
`
`$
`
`$
`$
`
`0.00
`0.00
`
`930.00
`
`930.00
`
`930.00
`
`930.00
`
`$
`$
`
`RATE
`X $50
`X
`X $210
`X
`+ $370
`+
`TOTAL OF ABOVE CALCULATIONS =
`Applicant claims small enlily status. See 37 CFR 1,27. Fees above are reduced by Yi,
`SUBTOTAL= $
`Processing fee of $130.00 for furnishing the English translaUon later than 30 months from Ihe earliest
`$
`claimed priority dale (37 CFR 1.492(1)).
`__________________________
`TOTAL NATIONAL FEE = $
`Fee for recording the enclosed assignment (37 CFR 1.21(h)). The assignment must be aocompanied
`by an appropriate cover sheet (37 CFR 3.28, 3.31). $40.00 per property__________________ ^ $
`$
`$
`Amount to be
`refunded;
`Amount to bo
`charged
`
`The foliowing fees have been submitted
`j^ Basic national fee (37 CFR 1.492(a))..............,....................
`21.
`22. ^ Examination fee (37 CFR 1.492(c))
`If the wrillen opinion prepared by ISAAJS or the Wematlonal preliminary examination report
`prepared by IPEA/US indicates all claims satisfy provisions erf PCT Article 33(1)-(rf).......
`All olher situations .............................................................................................
`23. Q Search fee (37 CFR 1.492(b))
`if the wrillen opinion of the iS/VUS or the international preliminary examination report prepared by
`IPEA/US Indicates all claims satisfy provisions of PCT Article 33(1)-(4)......................... i
`$0
`Search fee (37 CFR 1.445(a)(2)) has been paid on the international application to the USPTO a^s an
`Intemalional Searching Authority............................................................................
`$100
`Intemalional search Report prepared by an ISA other than the US and provided lo the Office or
`previously communicated to the US by the IB
`$410
`‘
`All other situations............................... ...............
`$510
`TOTAL OF 21, 22 and 23 =
`Additional fee for specification and drawings Wed In paper over 100 sheets (excluding
`sequence listing In compliance with 37 CFR 1.821(c) or (e) or in an electronic medium or
`computer program listing in an electronic medium) (37 CFR 1,492(j)).
`The fee Is $280 for each addillonal SO sheets of paper or fraction thereof.
`Number of each additional 60 or fraction
`Extra Sheets
`Total Sheets
`thereof (round up to a whole number)
`X $280.00
`/60 =
`45 -100=
`Surcharge of $130 for furnishing any of ihe search fee, examlneilon fee, or Ihe oath or declaration
`after the date of commencement of Ihe national stage (37 CFR 1.492(h)).
`NUMBER EXTRA
`NUMBER FILED
`CLAIMS
`14-20 =
`Total claims
`0
`Independent claims
`1-3 =
`0
`MULTIPLE DEPENDENT CLAIM(S) (If applicable)
`
`$319
`
`....$0
`$210
`
`RATE
`
`total FEES ENCLOSED =
`
`592839
`
`Page 2 of 3
`
`DUK SAN NEOLUX
`EXHIBIT 1014
`PAGE 000002
`
`

`
`PTO-1390 (Rev. 09-2007)
`Approved for use through 02/28(2010. 0MB 0651-0021
`U. S. Patantand TrademaK Offloe; U.S. DEPARTMENT OF COMMERCE
`Under (he Paperwork Redudlon Act of 1995, no persons are required to respond to a collection ot information unless it displays a valid 0MB control number.
`
`to cover the above fees is enclosed.
`03-2775
`in the amount of S
`930.00
`
`to coverthe above fees.
`
`a.
`
`d.
`
`A check in the amount of $
`Please charge my Deposit Account No.
`A duplicate copy of this sheet is enclosed.
`C- l_>y The Commissioner Is hereby authorized lo charge any additional fees which may be required, or credit any overpayment to Deposit
`. A duplicate copy of this sheet Is enclosed.
`Account No.
`03-2775
`Fees are to be charged to a credit card. WARNING: Information on this form may become public. Credit card Information should
`not be included on this form. Provide credit card information and authorization on PTO-2038. The PTO-2038 should only be
`mailed or faxed lo the USPTO. However, when paying the basic national fee, the PTO-2033 may NOT be (axed lo the USPTO.
`ADVISORY: If filing by EFS-Web, do NOT attach the PTO-2038 form as a PDF along with your EFS-Web submission. Please
`be advised that this is not recommended and by doing so your credit card Information may be displayed via PAIR. To
`protect your Information, It Is recommended paying fees online by using the electronic payment method.
`
`NOTE: Whore an appropriate time limit under 37 CFR 1.495 has not been met, a petition to revive (37 CFR 1.137(a) or (b)) must be
`filed and granted to restore the International Application to pending status.
`
`SEND ALL CORRESPONDENC E TO:
`
`CUSTOMER NUMBER; 23416
`
`/Eamonn P. Morrison/
`SIGNATURE
`
`Eamonn P. Morrison
`
`NAME
`
`55,841
`REGISTRATION NUMBER
`
`692639
`
`Page 3 of 3
`
`DUK SAN NEOLUX
`EXHIBIT 1014
`PAGE 000003