A0 120 (Rev. 08/10)
`
`TO I
`
`mi; gm; 3
`Birector efthe US. Pateiit and Tmdemark Office
`R9. Box 1450
`Mexandria, VA ?;2.313—145€}
`
`TRAQEMARK
`
`REP()R’I’ 0N THE
`FILING OR DETERMENATTGN OF AN
`A(‘,’i‘1()N REGARDENG A PATENT OR
`
`En Compliaiice with 35 U.S.C. § 290 arid/0r 15 U.S.C. § 1116 you are hereby advised tliai a COUXT acztima has been
`
`inthe
`
`Districzt Court
`
`Western District of North Caroiina
`
`on the ftallewiilg
`
`E] 'E‘i'ac£emai'ks or
`
`[{fl'Pa1,eti=.s.
`
`(
`
`the patent aciic-11 km/(iives 35 U.S.(‘;. § 292.):
`
`DOCKET NO.
`
`DATE FELED
`
`U .3. DESTRHCT COURT
`
`3:15-av-D0552
`PLAIN
`Poiygroup Macau Limited (EV!)
`
`11/16/2015
`
`.
`
`Western District of North Camiina
`
`D
`Vwiis Eieciric 639., Ltd.
`
`PATENT OR
`TRADEMARK
`
`DATE OF PATENT
`OR TRADEMARK
`
`‘
`
`F
`
`:~T<J
`
`‘A
`
`-“
`
`i ARK
`
`flOLD“RO P“ E“ OF‘ TRAJFM
`i{OLD..R oi PAiERT OR TRA_-JEMARR
`4/5/2015
`
`in the ab0ve—enLifled case, the following pat€11i{S),/YIad€H1£\1‘k(S)
`
`have been included:
`
`DATE INCLUDED
`3/2'5/2015
`
`INCLUDED BY
`
`2nd
`Ametidment
`
`PA'I‘I€NTOR
`,mADEMARK N0.
`
`DATE 0}‘: PATEENT
`OR TRADEMARK
`
`[E Answer
`
`E] Cross; Bill
`
`[:1 ()ti'1erP1eaeii1ag
`
`Y
`
`W
`
`W
`
`T‘
`
`T
`
`._
`
`‘
`
`in the abi)‘ve———--emitled case, the f0]1owi11gdeci,si(mhas beenretad.ered.0r_iu.dgeme:n1 issued:
`D}_7.CISION,’JUDGEMENT
`
`CLERK
`Frank G Johns
`
`(BY) DEPUTY CLERK
`Eiizabefh J, Barter;
`
`Copy 1-----{Epem initiation (if actiem, mail this eespy to Directiir Capy 3-----1} pm: terminsatimi of 21£ZH‘i(i3’1, msaii this capy tn Birectssr
`Ceipy 2------Upon filing dsscuinem adding }}2E‘£t5E3t(S), maifl this csspy tea flireeteii" Cnpy 4------Casse file cupy
`
`3:15—<:v—0€)552—RJ{3—DSC
`
`Doa::a_;m«.-i=:r:t 27 Filed O«i'il€35:"1t3
`
`Paige 1 {ref 1
`Willis Exhibit 1004 — 1
`
`Willis Exhibit 1004 - 1
`
`

`
`A0 120 (Rev. 08/10)
`
`TO I
`
`mi; gm; 3
`Bin.-ctor ufthe US. Pateiit and Tmdemark Office
`R9. Box 1450
`iflexandria, VA ?;2.313—145€}
`
`TRAQEMARK
`
`REP()R’I’ 0N THE
`FILING OR DETERMENATTGN OF AN
`A(‘,’i‘1()N REGARDENG A PATENT OR
`
`En Compliaiice with 35 U.S.C. § 290 and/0r 15 U.S.C. § 1116 you are hereby advised théii a COUXT acztima has been
`
`inthe
`
`Districzt Court
`
`Western District of North Caroiina
`
`on tha fcallewing
`
`E] 'E‘i'ac£(;‘mai'ks or
`
`[{fl'Pa1,eti=.s.
`
`(
`
`the patent aciic-11 km/(iives 35 U.S.(‘;. § 292.):
`
`DOCKET NO.
`
`DATE FELED
`
`U .8. DESTRECT COURT
`
`3:15-av-D0552
`PLAIN
`Poiygroup Macau Limited (EV!)
`
`11/16/2015
`
`.
`
`Western District ofNoi1h Camiina
`
`D
`W’aEiis Eieciric 639., Ltd.
`
`PATENT OR
`TRADEMARK
`
`DATE OF PATENT
`OR TRADEMARK
`
`i ARK
`-“
`‘A
`:~T<J
`F
`‘
`flOLD“RO P“ E“ OF‘ TRAJFM
`
`DATE INCLUDED
`
`1/28/2015
`I-’ATBI\"f OR
`'T"K.ADEM/XRK I\'C3.
`
`DATE OF PATE NT
`OR TR/\DE]‘v3r’\RK
`
`E] Cross; Bill
`
`[:1 ()ti'1er}’1(:aeii1ag
`
`in the abi)ve———--emitled Cass, the f0]1owi11gdeci,siun,has beenretad.ered.0r_iu.dgems:n1 issued:
`D}_7.CISION,’JUDGEMENT
`
`4/4/2015
`
`(BY) DEPUTY CLERK
`Elizabeth J. Barren
`
`CLERK
`Frank G Johns
`
`Copy 1-----{Epem initiation (if actiem, mail this cespy to Direcrtor Capy 3-----1} pm: terminsatimi of 21£ZH‘i(i3’1, msaii this capy tn Birectssr
`Ceipy 2------Upon filing dsscuinem adding }}2E‘£t5E3t(S), maifl this csspy ta §}irecte3:" Capy 4------Cases: file capy
`
`3:15—<:v—0€)552—RJ{3—DSC
`
`Doa::a_;m«.-i=:r:t 265 Filed MIO4/1&3 Paige 1 {ref 1
`Willis Exhibit 1004 — 2
`
`Willis Exhibit 1004 - 2
`
`

`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`www.uspto.gov
`
`APPLICATION NO.
`
`13/659,737
`
`ISSUE DATE
`
`10/21/2014
`
`6980
`
`7590
`
`10/01/2014
`
`TROUTMAN SANDERS LLP
`600 Peachtree Street
`Suite 5200
`Atlanta, GA 30308
`
`PATENT NO.
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`8863416
`
`PTREE56
`
`4294
`
`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 Term 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.uspto. gov for additional applicants):
`
`Chi Yin Alan Leung, Chai Wan, HONG KONG;
`Ricky Tong, Kowloon Bay, HONG KONG;
`Chi Kin Samuel Kwok, Shenzhen, CHINA;
`Chang-Jun He, Shenzhen, CHINA;
`POLYGROUP MACAU LIMITED (BVI), Tortola, VIRGIN ISLANDS, BRITISH
`
`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.
`
`IR103(Rev. 10/09)
`
`W“. E lb. 1004
`1
`1S X11 it
`
`-
`
`3
`
`Willis Exhibit 1004 - 3
`
`

`
`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.O. Box 1450
`Alexandria, Virginia 22313-1450
`or 1 (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
`appropriate. 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 (Note: Use Block 1 for any Change Ofaddress)
`
`6980
`
`7590
`
`08/29/2014
`LLP
`
`ht
`
`St
`
`600 P
`fee
`fee
`S _
`u1te
`Atlanta, GA 30308
`
`t
`
`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
`fiapers. 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 United
`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.
`“’“’°S“°"““‘“°>
`(Signature)
`
`(Date)
`
`APPLICATION NO.
`
`FILING DATE
`
`F {ST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`10/24/2012
`13/659,737
`TITLE OF INVENTION: POWERED TREE CONSTRUCTION
`
`Chi Yin Alan Leung
`
`PTREE56
`
`4294
`
`APPLN. TYPE
`
`ENTITY STATUS
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE
`
`PREV. PAID ISSUE FEE
`
`TOTAL FEE(S) DUE
`
`DATE DUE
`
`nonprovisional
`
`UNDISCOUNTED
`
`KIM, SHIN H
`
`$960
`
`3638
`
`$0
`
`$0
`
`$960
`
`12/01/2014
`
`040-442000
`
`1. Change of correspondence address or indication of "Fee Address" (37
`CFR 1.363).
`
`3 Chan e of correspondence address (or Change of Correspondence
`Address orm PTO/SB/ 122) attached.
`
`3 "Fee Address" indication (or "Fee Address" Indication form
`PTO/SB/47; Rev 03-02 or more recent) attached. Use of a Customer
`Vumber is required.
`
`2. For printing on the patent front page, list
`(1) The names of up to 3 registered patent attorneys
`or agents OR, alternatively,
`(2) The name of a single firm (having as a member a
`registered attorney or agent) and the names of up to
`2 registered patent attorneys or agents. If no name is
`listed, no name will be printed.
`
`
`
`1
`
`Troutman Sanders LLP
`
`Ryan A_ Schneider
`
`2
`
`.
`.
`.
`3 Benlamm C- Wlles
`
`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 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) NAME OF ASSIGNEE
`(B) RESIDENCE: (CITY and STATE OR COUNTRY)
`
`POLYGROUP MACAU LIMITED (BVI)
`
`Tortola, British Virgin Islands
`
`Please check the appropriate assignee category or categories (will not be printed on the patent) :
`
`'3 Individual E Corporation or other private group entity '3 Government
`
`4a. The following fee(s) are submitted:
`E Issue Fee
`3 Publication Fee (No small entity discount permitted)
`3 Advance Order — # of Copies
`
`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.
`
`4b. Payment of Fee(s): (Please first reapply any previously paid issue fee shown above)
`3 A check is enclosed.
`3 Payment by credit card. Form PTO-2038 is attached.
`E The Director is hereby authorized to charge the re uired fee(s), any deficiency, or credits any
`overpayment, to Deposit Account Number 20-1 5q07
`(enclose an extra copy of this form).
`
`\IOTE: 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.
`\IOTE: 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.
`\IOTE: 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
`
`/R
`
`"d
`A. S h
`C nel er
`yan
`Ryan A. Schneider
`
`,R .#45083/
`eg
`
`Date September 16’ 2014
`45,083
`
`Registration No.
`
`PTOL-85 Part B (10-13) Approved for use through 10/31/2013.
`
`OMB 0651-0033
`
`U.S. Patent and Trademark Office; U.S.
`
`Page 2 of 3
`
`Willis Exhibit 1004 - 4
`
`

`
`Electronic Patent Application Fee Transmittal
`
`Filing Date:
`
`Title of Invention:
`
`POWERED TREE CONSTRUCTION
`
`;
`
`Quantity
`
`Utility under 35 USC111(a) Filing Fees
`
`Description
`
`Fee Code
`
`Sub-Total in
`
`USD($)
`
`Basic Filing:
`
`Miscellaneous-Filing:
`
`Patent-Appeals-and-Interference:
`
`Post-AlIowance-and-Post-Issuance:
`
`Extension-of-Time:
`
`'1
`
`
`00‘
`
`Willis Exhibit 1004 - 5
`
`

`
`Miscellaneous:
`
` S“:-S1-;(t$a)| in
`
`Total in USD (S)
`
`Willis Exhibit 1004 - 6
`
`Willis Exhibit 1004 - 6
`
`

`
`Electronic Acknowledgement Receipt
`
`m—
`
`Title of Invention:
`
`POWERED TREE CONSTRUCTION
`
`I
`
`Payment information:
`
`Submitted with Payment
`Pavmemvpe
`PavmentwasWssfu"vre<e*vedinRAM
`RAM confirmation Number
`
`Deposit Account
`
`yes
`
`698
`
`201507
`
`
`
`Auth°“zedUser
`The Director of the USPTO is hereby authorized to charge indicated fees and credit any overpayment as follows:
`
`Charge any Additional Fees required under 37 C.F.R. Section 1.16 (National application filing, search, and examination fees)
`
`Charge any Additional Fees required under 37 C.F.R. Section 1.17 (Patent application and reexamination processing fees)
`
`Willis Exhibit 1004 - 7
`
`Willis Exhibit 1004 - 7
`
`

`
`Charge any Additional Fees required under 37 C.F.R. Section 1.19 (Document supply fees)
`
`Charge any Additional Fees required under 37 C.F.R. Section 1.20 (Post Issuance fees)
`
`Charge any Additional Fees required under 37 C.F.R. Section 1.21 (Miscellaneous fees and charges)
`
`.
`
`.
`
`File Size(Bytes)/
`
`Multi
`
`Pages
`
`Issue Fee Payment (PTO-85B)
`
`PTREE56|ssueFee.pdf
`
`173982
`
`b5e24a63bedcfc53a8b8bf6f6773ea25I dc0
`a13a
`
`Fee Worksheet (SB06)
`
`fee-info.pdf
`
`File Listing:
`
`Document
`
`Information:
`
`Information:
`
`This Acknowledgement Receipt evidences receipt on the noted date by the USPTO ofthe indicated documents,
`characterized by the applicant, and including page counts, where applicable. It serves as evidence of receipt similar to a
`Post Card, as described in MPEP 503.
`
`New Applications Under 35 U.S.C. 111
`lfa new application is being filed and the application includes the necessary components for a filing date (see 37 CFR
`1.53(b)-(d) and MPEP 506), a Filing Receipt (37 CFR 1.54) will be issued in due course and the date shown on this
`Acknowledgement Receipt will establish the filing date of the application.
`
`National Stage of an International Application under 35 U.S.C. 371
`lfa timely submission to enter the national stage of an international application is compliant with the conditions of 35
`U.S.C. 371 and other applicable requirements a Form PCT/DO/E0/903 indicating acceptance of the application as a
`national stage submission under 35 U.S.C. 371 will be issued in addition to the Filing Receipt, in due course.
`
`New International Application Filed with the USPTO as a Receiving Office
`lfa new international application is being filed and the international application includes the necessary components for
`an international filing date (see PCT Article 11 and MPEP 1810), a Notification of the International Application Number
`and ofthe International Filing Date (Form PCT/R0/105) will be issued in due course, subject to prescriptions concerning
`national security, and the date shown on this Acknowledgement Receipt will establish the international filing date of
`the application.
`
`Willis Exhibit 1004 - 8
`
`Willis Exhibit 1004 - 8
`
`

`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`www.uspto.gov
`
`NOTICE OF ALLOWANCE AND FEE(S) DUE
`
`6980
`
`7590
`
`08/29/2014
`
`TROUTMAN SANDERS LLP
`600 Peachtree Street
`Suite 5200
`Atlanta, GA
`
`K1M.sH1NH
`
`3533
`
`DATE MAILED: 08/29/2014
`
`10/24/2012
`13/659,737
`TITLE OF INVENTION: POWERED TREE CONSTRUCTION
`
`Chi Yin Alan Leung
`
`PTREE56
`
`4294
`
`APPLN. TYPE
`
`ENTITY STATUS
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE
`
`PREV. PAID ISSUE FEE
`
`TOTAL FEE(S) DUE
`
`DATE DUE
`
`nonprovisional
`
`UNDISCOUNTED
`
`$960
`
`$0
`
`$0
`
`$960
`
`12/01/2014
`
`THE APPLICATION IDENTIFIED ABOVE HAS BEEN EXAMINED AND IS ALLOWED FOR ISSUANCE AS A PATENT.
`PROSECUTION ON THE MERITS IS CLOSED. THIS NOTICE OF ALLOWANCE 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.
`
`THE ISSUE FEE AND PUBLICATION FEE (IF REQUIRED) MUST BE PAID WITHIN 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 FORM
`WILL 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 undiscounted fees, and micro entity fees are 1/2 the amount of small entity
`fees.
`
`II. 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 communications regarding this application must give the application number. Please direct all communications 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)
`
`1 1s X11 1
`-
`W,11. E 1.b,t1004 9
`
`Page 1 of 3
`
`Willis Exhibit 1004 - 9
`
`

`
`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.O. Box 1450
`Alexandria, Virginia 22313-1450
`or 1 (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
`appropriate. 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 (Note: Use Block 1 for any Change Ofaddress)
`
`6980
`
`7590
`
`08/29/2014
`LLP
`
`ht
`
`St
`
`600 P
`fee
`fee
`S _
`u1te
`Atlanta, GA 30308
`
`t
`
`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
`fiapers. 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 United
`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.
`‘D:P°S“°"““‘“°>
`(Signature)
`
`(Date)
`
`APPLICATION NO.
`
`FILING DATE
`
`F {ST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`10/24/2012
`13/659,737
`TITLE OF INVENTION: POWERED TREE CONSTRUCTION
`
`Chi Yin Alan Leung
`
`PTREE56
`
`4294
`
`APPLN. TYPE
`
`ENTITY STATUS
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE
`
`PREV. PAID ISSUE FEE
`
`TOTAL FEE(S) DUE
`
`DATE DUE
`
`nonprovisional
`
`UNDISCOUNTED
`
`KIM, SHIN H
`
`$960
`
`3638
`
`$0
`
`$0
`
`$960
`
`12/01/2014
`
`040-442000
`
`1. Change of correspondence address or indication of "Fee Address" (37
`CFR 1.363).
`
`3 Chan e of correspondence address (or Change of Correspondence
`Address orm PTO/SB/ 122) attached.
`
`3 "Fee Address" indication (or "Fee Address" Indication form
`PTO/SB/47; Rev 03-02 or more recent) attached. Use of a Customer
`Vumber is required.
`
`
`
`2. For printing on the patent front page, list
`(1) The names of up to 3 registered patent attorneys
`or agents OR, alternatively,
`(2) The name of a single firm (having as a member a
`registered attorney or agent) and the names of up to
`2 registered patent attorneys or agents. If no name is
`listed, no name will be printed.
`
`2
`
`3
`
`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 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) NAME OF ASSIGNEE
`(B) RESIDENCE: (CITY and STATE OR COUNTRY)
`
`Please check the appropriate assignee category or categories (will not be printed on the patent) :
`
`'3 Individual
`
`'3 Corporation or other private group entity '3 Government
`
`4a. The following fee(s) are submitted:
`3 Issue Fee
`
`4b. Payment of Fee(s): (Please first reapply any previously paid issue fee shown above)
`3 A check is enclosed.
`
`3 Publication Fee (No small entity discount permitted)
`3 Advance Order — # of Copies
`
`3 Payment by credit card. Form PTO-2038 is attached.
`3 The Director is hereby authorized to charge the required 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 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.
`
`\IOTE: 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.
`\IOTE: 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.
`\IOTE: 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 requirements 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
`
`U.S. Patent and Trademark Office; U.S.
`
`Willis Exhibit 1004 - 10
`
`

`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`www.uspto.gov
`
`APPLICATION NO.
`
`FILING DATE
`
`F {ST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`13/659,737
`
`10/24/2012
`
`Chi Yin Alan Leung
`
`PTREE56
`
`4294
`
`6980
`
`7590
`
`08/29/2014
`
`TROUTMAN SANDERS LLP
`600 Peachtree Street
`Suite 5200
`Atlanta, GA
`
`KIM, SHIN H
`
`3533
`
`DATE MAILED: 08/29/2014
`
`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 Term 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)
`
`1 1s X11 1
`-
`W,11. E 1.b,t1004 11
`
`Page 3 of 3
`
`Willis Exhibit 1004 - 11
`
`

`
`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 in accordance with 5 CFR
`1320.5(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 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, Virginia 22313-1450. DO NOT
`SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box
`1450, Alexandria, Virginia 22313-1450. Under the Paperwork Reduction Act of 1995, no persons are required to
`respond to a collection of information unless it displays a valid OMB control number.
`
`Privacy Act Statement
`
`The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection witl1 your
`submission of the attached form related to a patent application or patent. Accordingly, pursuant
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`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 disclosure of these records is required
`by the Freedom of Information Act.
`2. 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.
`3. 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.
`4. 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
`comply with the requirements of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C. 552a(m).
`5. A record related to an International Application filed under the Patent Cooperation Treaty in this system of
`records may be disclosed, as a routine use, to the International Bureau of the World Intellectual Property
`Organization, pursuant to the Patent Cooperation Treaty.
`6. 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.
`218(c)).
`7. 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, under authority
`of 44 U.S.C. 2904 and 2906. Such disclosure shall be made in accordance with the GSA regulations
`governing inspection of records for this purpose, and any other relevant (i.e., GSA or Commerce) directive.
`Such disclosure shall not be used to make determinations about individuals.
`
`8. 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 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 proceedings were terminated
`and which application is referenced by either a published application, an application open to public
`inspection or an issued patent.
`9. 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.
`
`Willis Exhibit 1004 - 12
`
`Willis Exhibit 1004 - 12
`
`

`
`Notice of Allowability
`
`Application No.
`13/659,737
`gfijmgfl
`
`App|icant(s)
`LEUNG ET AL.
`Qgggnit
`;‘,'{;,<§‘,;it,',""°"*°'*°
`No
`
`-- 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 application.
`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. IXI This communication is responsive to 7/24/2014.
`
`I: A declaration(s)/affidavit(s) under 37 CFR 1.130(b) was/were filed on
`
`2. I: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. E The allowed cIaim(s) is/are 1-5 and 7-11. As a result of the allowed cIaim(s), you may be eligible to benefit from the Patent
`in.
`Prosecution Highway program at a participating intellectual property office for the corresponding application. For more information,
`please see hit 2/./WW\I\.'.LiS ‘to. OW atents/'init events/' h/inciexfs ‘ or send an inquiry to r’PHfeedback’Er3us tooov .
`
`4. I:I Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)—(d) or (f).
`
`Certified copies:
`
`a) [I All
`
`b) I] Some
`
`*c) I:I None of the:
`
`1. D Certified copies of the priority documents have been received.
`
`2. D Certified copies of the priority documents have been received in Application No. j
`
`3. El 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(a)).
`
`* 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. I:I 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 Rega