UNITED STATES PATENT AND TRADEMARK OFFICE
`CERTIFICATE OF CORRECTION
`
`: 7,682,306B2
`PATENT NO.
`APPLICATION NO. : 11/554550
`DATED
`: March 23, 2010
`: Tilak M. Shah
`INVENTOR(S)
`
`Page 1 of 1
`
`It is certified that error appears in the above-identified patent and that said Letters Patent is hereby corrected as shown below:
`
`Column 1, line 7, "continuation of an claims benefit" should be -- continuation of and claims
`benefit--.
`
`Column 2, line 39, "gas barrier character" should be -- gas barrier character. --.
`
`Column 3, lines 52-58, "The disclosures of U.S. patent application No. 09/977,644 filed Oct.
`15, 2001 in the name ofTilak M. Shah for "LOW-PRESSURE MEDICAL BALLOONS AND
`METHOD OF MAKING SAME," and of U.S. Pat. No. 6,712,832 issued on Mar. 30, 2004 from the
`foregoing application, are hereby incorporated by reference herein in their respective entireties, for all
`purposes." should be -- Thus, while the invention is described more fully hereinafter with reference to
`an illustrative gastric occlusive device, as fabricated from the laminated multilayer film of the
`invention, it will be appreciated that the inventive film is susceptible of a wide variety of usages, e.g.,
`in applications in which the film must contain a gas at pressure at least equal to pressure of an ambient
`environment of the article incorporating such film, or in which permeation of gas through the film
`would adversely affect a structure, article or material on an opposite side of the barrier film from such
`gas. --.
`
`Column 4, lines 3-7 should be deleted.
`
`Signed and Sealed this
`
`Sixth Day of July, 2010
`
`David J. Kappos
`Director of the United States Patent and Trademark Office
`
`Obalon Therapeutics, Inc. Exhibit 1002 Page 1
`
`

`

`...
`9194199354
`
`Best Available Copy
`
`RECEIVED
`CENTRAL FAX CENTER
`JUN. 0 3 2010
`
`12:09:22 p.m.
`
`06-03-2010
`
`1 /4
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`In re United States Patent of:
`
`Applicant:
`
`SHAH, Tilak M.
`
`Application No.:
`
`11/554,550
`
`Patent No.:
`
`7,682,306
`
`~ Docket No.:
`)
`)
`) Conf. No.:
`
`~ ])ate Filed:
`~ Date lssucd:
`
`4179-128-DIVt
`
`5596
`
`April l, 2004
`
`March 23, 2010
`
`)) Customer No.:
`THERAPEUTIC
`Title:
`JNTERVENTION SYSTEMS
`::,,~._"::Vl:.\l.::::1:,;·-:.:1::.-..~~.~;,.":'.s~::..·:~: .. >::::::::1.~.::::-:::~;;;w.::-.::.:.=·>e:~ ...... ;:::::. • .:·_·.(;,:::::::::.';;EMJ.5t~ovtNG~'l:'.::t..~~·.,,,., ... ~~..:.~::.::::,,;~"''-~::::"::::... ·.:r:-~::-::::::.:..~}d.,"'~"tt::;:~-;::.:~.,.,~~.::::.·:t .. :::=;•:.:..~::-:~~:.==i..".".:";z~::...,;:_:~-:,;;,,.;"t,(.·..::s:10:':':"..:..-=:~~'.:::~::ri: .• ,::-::: .. 7 ...... -.::::=-..: ... :.:.':".:t:.tr.1'~·1;,:-,z:1::..r-.:.~':::~;:;.:,
`23448
`IMPL~NTABLE BALLOON
`~
`DEVICES
`)
`
`~~~~~~~~~~~~~~~~~~~ )
`
`FACSIMILJ<: TRANSMISSION CERTIFlCATR
`Fax No. (571) 273-8300
`
`I hereby certify that this document is being filed in the Unitt:d States Patent and
`Trademark Office. via facsimile transmission, addressed to Commissioner for
`Patents, P.O. Box 1450. Alexandria, VA 22313-1 ·150. and transmitted on the date
`lo United Snites Parent and Trademark Office facsimile
`specified bcluw,
`rransm ission number (571) 273-8300.
`
`Certiflcate
`
`JUN 0 7 2010
`
`of Correction
`
`4
`
`Alison Szafran u
`
`June3,20IO
`Date
`
`SUBMISSION 01' CERTIFICATE 01" CORRECTION UNDER TffE PROVISIONS OF
`37 CFR 1.323 AND 35 U.S.C. 255 •'OR
`PATENT NO.
`
`Commissioner for Patents
`Attn: Certificate of Correction Branch
`P.O. Box 1450
`Alexandria, Virginia 223 I 3-1450
`
`OG/04/2010 HMARZI1 00000020 7682306
`01 FC:1811
`100.00 OP
`
`PACE 1/4 • RCVD AT 6/3/2010 12:06:58 PM [Eastern Oayllght Time)• SVR:USPTo-EFXRF-5/34 * DNIS:2738300' CSID:9194199354' DURATION (mm-ss):01-56
`
`Obalon Therapeutics, Inc. Exhibit 1002 Page 2
`
`

`

`9194199354
`
`12:09:40 p.m.
`
`06-03-2010
`
`2 /4
`
`4179-128-DIVJ
`
`Sir:
`
`Enclosed is a Certificate of Correction submitied under the provisions of 35 U.S.C. §255, to
`
`correct errors attributable to applicant/patentee in the above-identified U.S. Patent. Enclosed and
`
`submitted herewith is a Credit Card Payment Form PT0-2038 authorizing payment of the
`
`$.J_QQ,.QQ fee set forth in 37 CFR I .20(a) for entry of such Certificate of Correction.
`
`Respectfully submitted,
`
`./}61 )!L~~l.
`v;/[~nt K. Gufi!-ri~
`
`'Reg. No. 46, l 81
`Attorney for Applicant/Patentee.
`
`INTELLt:C::TIJAL PROP~:RT'\'/
`TECllNOl,OG\' LAW
`Phone: (919) 419-9350
`· l'ax: i9t9) 419..9354
`Attorney Filr No.: 4179-128-DIVI
`
`Encl:
`Certificate of Correction ll page]
`Credit Card Payment Form PT0-2038 authorizing $100.00
`
`The USPTO is hereby autho1·ized to charge any deficiency or credit any overpayment of foes
`properly payable for this document to Dcoosit Account No. 08-3284
`
`PACE 214' RCVD AT 6/3/2010 12:06:58 PM (Eastern Daylight Time]' SVR:USPTo-EFXRF~34 • DNIS:2738300' CSID:91941993S4' DURATION (mmo$s):01-66
`
`2
`
`Obalon Therapeutics, Inc. Exhibit 1002 Page 3
`
`

`

`-
`
`'
`
`·~'
`91941!f9354
`
`Best Available Copy
`
`12:09:53 p.m.
`
`06-03-2010
`
`314
`
`PTOIS8144 (04-05)
`Approved for usa through 04/30/2007. OMB 0051·0033
`U.S. Patent and Trademall< Office: U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reductlon Act or 1995, no persons are required to respond ro a collection or information unless ii displays a valid OMB control number.
`tAi.o Form PT0-1050)
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`CERTIFICATE OF CORRECTION
`
`Page 1of1
`
`PATENT NO.
`
`7,682,306
`
`APPLICATION NO.: 11/554,550
`
`ISSUE DATE
`
`March 23, 2010
`
`INVENTOR(S)
`
`Shah, Tilak M.
`
`"''""""'"'~""''"'" ,·"'·;;;~'1'!1,t!;>"<;,~.'1~12!t1DJ!.t~!IS2L~81?§}?l.J?1J2."tt!~.!l;lp.v~k:l!m!if!liHiP..atelltaod~thaLsaid.,LettarsJ~atent,is-,t;ier,eby>COf.racted~aiH'>howA'""'"' "'"'0='
`.
`ue1ow:
`
`Column 1, line 7, "continuation of an claims benefit" should be -- continuation of and claims benefit--.
`
`Column 2, line 39, "gas barrier character'' should be gas barrier character. --.
`
`Column 3, lines 52-58, "The disclosures of U.S. patent application No. 09/977.644 filed Oct. 15, 2001 in the
`name of Tifak M. Shah for "LOW-PRESSURE MEDICAL BALLOONS AND METHOD OF MAKING SAME.• and of U.S.
`Pat. No. 6,712,832 issued on Mar. 30, 2004 from the foregoing application, are hereby incorporated by reference herein
`in their respective entireties, for all purposes." should be -- Thus. while the invention is described more fully hereinafter
`with reference to an illustrative gastric occlusive device, as fabricated from the laminated multilayer film of the invention,
`it will be appreciated that the inventive film is susceptible of a wide variety of usages, e.g., in applications in which the
`film must contain a gas at pressure at least equal to pressure of an ambient environment of the article incorporating
`such film, or in which permeation of gas through the film would adversely affect a structure. article or material on an
`opposite side of the barrier film from such gas. -.
`
`Column 4, lines 3-7 should be deleted.
`
`MAILING ADDRESS OF SENDER (Please do not use customer number below):
`
`Vincent K. Gustafson
`Intellectual Property/Technology Law
`P.O. Box 14329
`Research Triangle Park NC 27709
`
`Brnacn Hour Statemont· This form is ostimated to take 1.0 hot.Jf ~o completo. Time wi:Q vary ctopend1tlg t.rpi::m tr\O needs or ttic iridMdual case. Ar.y cximmonts Ofl the amount of time you 8/e
`roquitod 10 compl•lln this fonn $hould b<; sen! to Ilia Chief lnformat1on Oftiocr. ra:cnl and 1radofl'.a&. Off""'· Weshingian, DC 20231 00 NOT SEND FEES OR COMPLETED FORMS TO
`THIS ADDRESS. SENO TO: Commi&sionor for Patents, 'Washington. DC 20231
`
`PACE 314 • RCVD AT 6/3/2010 12:06:58 PM (Eastern Dayllght Time]' SVR:USPTo-EFXRF-5134' DNIS:2738300' CSID:0194199354' DURATION (mm-ss):01-56
`
`Obalon Therapeutics, Inc. Exhibit 1002 Page 4
`
`

`

`UNITED STA TES p A TENT 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.
`
`111554,550
`
`ISSUE DATE
`
`03/23/2010
`
`PATENT NO.
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`7682306
`
`4179-128 DIVl
`
`5596
`
`23448
`7590
`03/03/2010
`INTELLECTUAL PROPERTY I TECHNOLOGY LAW
`PO BOX 14329
`RESEARCH TRIANGLE PARK, NC 27709
`
`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 471 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):
`
`Tilak M. Shah, Cary, NC;
`
`IR103 (Rev. 10/09)
`
`Obalon Therapeutics, Inc. Exhibit 1002 Page 5
`
`

`

`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`In re United States Patent Application of:
`
`Applicant:
`
`SHAH, Tilak M.
`
`Application No.:
`
`11/554,550
`
`Date Filed:
`
`October 30, 2006
`
`Title:
`
`THERAPEUTIC
`INTERVENTION SYSTEMS
`EMPLOYING
`IMPLANTABLE BALLOON
`DEVICES
`
`) Docket No.:
`)
`) Conf. No.:
`)
`) Art Unit:
`)
`) Examiner:
`)
`) Customer No.:
`)
`)
`)
`)
`)
`
`4179-128-DIVl
`
`5596
`
`1794
`
`Thao T. Tran
`
`23448
`
`CERTIFICATE OF EFS FILING
`I hereby certify that this document is being filed via EFS in the
`United States Patent and Trademark Office on December 21, 2009.
`/vincent k. gustafson/
`
`OK TO ENTER: /T.T./ (01/07/2010)
`
`AMENDMENT AFTER ALLOWANCE UNDER 37 CFR 1.312; REQUEST FOR
`CONSIDERATION OF PREVIOUSLY SUBMITTED INFORMATION DISCLOSURE
`STATEMENT; AND APPLICANT'S SUMMARY OF DECEMBER 7, 2009 EXAMINER
`INTERVIEW IN U.S. PATENT APPLICATION N0.11/554,550
`
`Mail Stop ISSUE FEE
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`
`Sir:
`
`A Notice of Allowance was issued in the above-identified patent application on December 14,
`
`2009. Upon review of the application and prosecution file, the undersigned attorney noticed that
`
`the specification of the present application incorporates by reference a U.S. patent application.
`
`Amendment to the specification is requested herewith to update the status of the U.S. patent
`
`application referenced in the specification. Such amendment to the specification is proper under
`
`37 CFR 1.312 because is involves correction of formal matters without changing the scope of the
`
`claims. Applicant further requests consideration by the examiner of an Information Disclosure
`
`Statement filed on August 20, 2009. Applicant's summary of the telephonic interview with the
`
`examiner conducted on December 7, 2009 is also provided herein.
`
`Obalon Therapeutics, Inc. Exhibit 1002 Page 6
`
`

`

`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`In re United States Patent Application of:
`
`Applicant:
`
`SHAH, Tilak M.
`
`Application No.:
`
`11/554,550
`
`Date Filed:
`
`October 30, 2006
`
`Title:
`
`THERAPEUTIC
`INTERVENTION SYSTEMS
`EMPLOYING
`IMPLANTABLE BALLOON
`DEVICES
`
`) Docket No.:
`)
`) Conf. No.:
`)
`) Art Unit:
`)
`) Examiner:
`)
`) Customer No.:
`)
`)
`)
`)
`)
`
`4179-128-DIVl
`
`5596
`
`1794
`
`Thao T. Tran
`
`23448
`
`CERTIFICATE OF EFS FILING
`I hereby certify that this document is being filed via EFS in the
`United States Patent and Trademark Office on December 21, 2009.
`/vincent k. gustafson/
`
`AMENDMENT AFTER ALLOWANCE UNDER 37 CFR 1.312; REQUEST FOR
`CONSIDERATION OF PREVIOUSLY SUBMITTED INFORMATION DISCLOSURE
`STATEMENT; AND APPLICANT'S SUMMARY OF DECEMBER 7, 2009 EXAMINER
`INTERVIEW IN U.S. PATENT APPLICATION N0.11/554,550
`
`Mail Stop ISSUE FEE
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`
`Sir:
`
`A Notice of Allowance was issued in the above-identified patent application on December 14,
`
`2009. Upon review of the application and prosecution file, the undersigned attorney noticed that
`
`the specification of the present application incorporates by reference a U.S. patent application.
`
`Amendment to the specification is requested herewith to update the status of the U.S. patent
`
`application referenced in the specification. Such amendment to the specification is proper under
`
`37 CFR 1.312 because is involves correction of formal matters without changing the scope of the
`
`claims. Applicant further requests consideration by the examiner of an Information Disclosure
`
`Statement filed on August 20, 2009. Applicant's summary of the telephonic interview with the
`
`examiner conducted on December 7, 2009 is also provided herein.
`
`Obalon Therapeutics, Inc. Exhibit 1002 Page 7
`
`

`

`4179-128-DIVl
`
`Section I (Amendments to the Specification)
`
`Please amend the specification by substituting the following paragraph number [0022] for
`
`paragraph [0022] as originally filed.
`
`[0022] The disclosure disclosures of U.S. Patent Application No. 09/977,644 filed
`
`October 15, 2001 in the name of Tilak: M. Shah for "LOW-PRESSURE MEDICAL
`
`BALLOONS AND METHOD OF MAKING SAME," and of U.S. Patent No. 6,712,832
`
`issued on March 30, 2004 from the foregoing application, are hereby [[is]] incorporated
`
`by reference herein in its entirety their respective entireties, for all purposes.
`
`2
`
`Obalon Therapeutics, Inc. Exhibit 1002 Page 8
`
`

`

`4179-128-DIVl
`
`Section II (Remarks)
`
`A.
`
`Summary of Amendments to the Specification
`
`By the present Amendment, paragraph [0022] of the specification has been amended to update
`
`the status of U.S. Patent Application No. 09/977 ,644 referenced therein (i.e., to refer to U.S.
`
`Patent No. 6,712,832). No new matter within the meaning of 35 U.S.C. 132(a) has been
`
`introduced by the foregoing amendments.
`
`B.
`
`Request for Consideration of Previously-Submitted Information Disclosure
`Statement
`
`An Information Disclosure Statement was filed in the above-identified patent application on
`
`August 20, 2008 with Form PTO/SB/08a. A review of the prosecution file history does not
`
`indicate that the examiner ever initialed the Form PTO/SB/08a submitted on August 20, 2008 to
`
`clearly evidence that the reference cited in such IDS was considered.
`
`Applicant hereby requests that the examiner consider the IDS filed on August 20, 2008 and
`
`transmit a Form PTO/SB/08a bearing the examiner's initials to ensure that the prosecution record
`
`for the present application is complete.
`
`C.
`
`Applicant's Summary of Examiner Interview Conducted on December 7, 2009
`
`On December 7, 2009, a telephonic interview was conducted between the examiner and the
`
`undersigned attorney relating to the above-identified patent application. In the interview, the
`
`examiner indicated that all claims appeared to be allowable over the art of record, but the
`
`examiner sought clarification to the terms "substantially non-planar surface" and "spheroidal" in
`
`claims 1 and 17. The examiner indicated that the phrase "substantially non-planar surface" did
`
`not appear to be necessary in claims 1 and 17 to distinguish the art, and the undersigned attorney
`
`agreed. Regarding the term "spheroidal," the examiner opined that such term was potentially
`
`vague; the undersigned attorney proposed changing such term to "generally spherical or flattened
`
`spherical" consistent with paragraph [0024] of the specification. In each of claims 1 and 17, the
`
`examiner agreed to enter an examiner's amendment to eliminate the phrase "substantially non-
`
`3
`
`Obalon Therapeutics, Inc. Exhibit 1002 Page 9
`
`

`

`planar surface" and to substitute "generally spherical or flattened spherical" for "spheroidal" in
`
`each of claims 1 and 17. The undersigned attorney consented to these proposed examiner's
`
`amendments.
`
`4179-128-DIVl
`
`CONCLUSION
`
`Entry of the present amendment under 37 CFR 1.312 is requested to update the status of U.S.
`
`Patent Application No. 09/977,644 referenced in the specification. Such amendment is eligible
`
`for entry under 37 CFR 1.312 because it involves formalities only and does not affect the claims.
`
`Consideration by the examiner of the IDS filed on August 20, 2008 is respectfully requested.
`
`If any questions should arise incident to this submission, the examiner is invited to telephone the
`
`undersigned attorney at 919-419-9350 to discuss same.
`
`Respectfully submitted,
`
`/vincent k. gustafson/
`Vincent K. Gustafson
`Reg. No. 46,182
`Attorney for Applicant
`
`INTELLECTUAL PROPERTY/
`TECHNOLOGY LAW
`Phone: (919) 419-9350
`Fax: (919) 419-9354
`Attorney File No.: 4179-128-DIVl
`
`The US PTO is hereby authorized to charge any deficiency or credit any overpayment of fees properly
`payable for this document to Deposit Account No. 08-3284
`
`4
`
`Obalon Therapeutics, Inc. Exhibit 1002 Page 10
`
`

`

`UNITED STA IBS p A IBNT 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
`
`23448
`7590
`12/14/2009
`INTELLECTUAL PROPERTY I TECHNOLOGY LAW
`PO BOX 14329
`RESEARCH TRIANGLE PARK, NC 27709
`
`EXAMINER
`
`TRAN,THAOT
`
`ART UNIT
`
`PAPER NUMBER
`
`1794
`DATE MAILED: 12/14/2009
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`111554,550
`
`4179-128 DIVl
`Tilak M. Shah
`10/30/2006
`TITLE OF INVENTION: THERAPEUTIC INTERVENTION SYSTEMS EMPLOYING IMPLANTABLE BALLOON DEVICES
`
`5596
`
`APPLN. TYPE
`
`SMALL ENTITY
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE PREV. PAID ISSUE FEE
`
`TOTAL FEE(S) DUE
`
`DATEDUE
`
`nonprovisional
`
`YES
`
`$755
`
`$300
`
`$0
`
`$1055
`
`03/15/2010
`
`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 TOW ARD THE ISSUE FEE NOW
`DUE.
`
`HOW TO REPLY TO THIS NOTICE:
`
`I. Review the SMALL ENTITY status shown above.
`
`If the SMALL ENTITY is shown as YES, verify your current
`SMALL ENTITY status:
`A. If the status is the same, pay the TOT AL FEE(S) DUE shown
`above.
`B. If the status above is to be removed, check box Sb on Part B -
`Fee(s) Transmittal and pay the PUBLICATION FEE (if required)
`and twice the amount of the ISSUE FEE shown above, or
`
`If the SMALL ENTITY is shown as NO:
`
`A. Pay TOT AL FEE(S) DUE shown above, or
`
`B. If applicant claimed SMALL ENTITY status before, or is now
`claiming SMALL ENTITY status, check box Sa on Part B - Fee(s)
`Transmittal and pay the PUBLICATION FEE (if required) and 1/2
`the ISSUE FEE shown above.
`
`IL 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. 08/07) Approved for use through 08/31/2010.
`
`Page 1of3
`
`Obalon Therapeutics, Inc. Exhibit 1002 Page 11
`
`

`

`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
`(571)-273-2885
`
`or Fax
`
`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 correspondence address as
`indicated 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
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`CURRENT CORRESPONDENCE ADDRESS (Note: Use Block 1 for any change of address)
`
`Note: A certificate of mailing can only be used for domestic mailings of the
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`
`23448
`7590
`12/14/2009
`INTELLECTUAL PROPERTY I TECHNOLOGY LAW
`PO BOX 14329
`RESEARCH TRIANGLE PARK, NC 27709
`
`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.
`
`(Depositor's name)
`
`(Signature)
`
`(Date)
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`111554,550
`
`4179-128 DIV!
`Tilak M. Shah
`10/30/2006
`TITLE OF INVENTION: THERAPEUTIC INTERVENTION SYSTEMS EMPLOYING IMPLANTABLE BALLOON DEVICES
`
`5596
`
`APPLN. TYPE
`
`SMALL ENTITY
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE PREV. PAID ISSUE FEE
`
`TOTAL FEE(S) DUE
`
`DATEDUE
`
`nonprovisional
`
`YES
`
`$755
`
`$300
`
`$0
`
`$1055
`
`03/15/2010
`
`EXAMINER
`
`TRAN, THAOT
`
`ART UNIT
`
`CLASS-SUBCLASS
`
`1794
`
`600-116000
`
`1. Change of correspondence address or indication of "Fee Address" (37
`CFR 1.363).
`0 Change of correspondence address (or Change of Correspondence
`Address form PTO/SB/122) attached.
`0 "Fee Address" indication (or "Fee Address" Indication form
`PTO/SB/47; Rev 03-02 or more recent) attached. Use ofa Customer
`Number 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.
`
`3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
`PLEASE NOTE: Unless an assignee is identified below, no assignee data will appear on the patent. If an assignee is identified below, the document has been filed for
`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) :
`
`0
`
`Individual 0 Corporation or other private group entity 0 Government
`
`4a. The following fee(s) are submitted:
`0
`Issue Fee
`0 Publication Fee (No small entity discount permitted)
`0 Advance Order - #of Copies _________ _
`
`4b. Payment ofFee(s): (Please first reapply any previously paid issue fee shown above)
`0 A check is enclosed.
`0 Payment by credit card. Form PT0-2038 is attached.
`0The Director is hereby authorized to charge the required fee(s), any deficiency, or credit any
`(enclose an extra copy of this form).
`overpayment, to Deposit Account Number
`
`5. Change in Entity Status (from status indicated above)
`0 b. Applicant is no longer claiming SMALL ENTITY status. See 37 CFR l.27(g)(2).
`0 a. Applicant claims SMALL ENTITY status. See 37 CFR 1.27.
`NOTE: The Issue Fee and Publication Fee (if required) will not be accepted from anyone other than the applicant; a registered attorney or agent; or the assignee or other party in
`interest as shown by the records of the United States Patent and Trademark Office.
`
`Authorized Signature _______________________ _
`
`Date ____________________ _
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`Typed or printed name ______________________ _
`
`Registration No. ________________ _
`
`This collection of information 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 US PTO 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.
`
`PTOL-85 (Rev. 08/07) Approved for use through 08/31/2010.
`
`OMB 0651-0033
`
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`
`Obalon Therapeutics, Inc. Exhibit 1002 Page 12
`
`

`

`UNITED STA IBS p A IBNT 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
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`111554,550
`
`10/30/2006
`
`Tilak M. Shah
`
`4179-128 DIVl
`
`5596
`
`23448
`7590
`12/14/2009
`INTELLECTUAL PROPERTY I TECHNOLOGY LAW
`PO BOX 14329
`RESEARCH TRIANGLE PARK, NC 27709
`
`EXAMINER
`
`TRAN,THAOT
`
`ART UNIT
`
`PAPER NUMBER
`
`1794
`DATE MAILED: 12/14/2009
`
`Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)
`(application filed on or after May 29, 2000)
`
`The Patent Term Adjustment to date is 422 day(s). If the issue fee is paid on the date that is three months after the
`mailing date of this notice and the patent issues on the Tuesday before the date that is 28 weeks (six and a half
`months) after the mailing date of this notice, the Patent Term Adjustment will be 422 day(s).
`
`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.
`
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`(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
`or
`the Customer Service Center of the Office of Patent Publication at 1-(888)-786-0101
`directed to
`(571)-272-4200.
`
`PTOL-85 (Rev. 08/07) Approved for use through 08/31/2010.
`
`Page 3 of 3
`
`Obalon Therapeutics, Inc. Exhibit 1002 Page 13
`
`

`

`Notice of Allowability
`
`Application No.
`
`Applicant(s)
`
`11/554,550
`Examiner
`
`Thao T. Tran
`
`SHAH, TILAK M.
`Art Unit
`
`1794
`
`-- The MAILING DA TE of this communication appears on the cover sheet with the correspondence address-(cid:173)
`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. IZ! This communication is responsive to the Amendments of 10130109 and the telephonic interview of 1217109.
`2. IZI The allowed claim(s) is/are 1-25.
`3. D Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
`a) D All
`b) D Some*
`c) D 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. __ .
`3. D 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.
`4. 0 A SUBSTITUTE OATH OR DECLARATION must be submitted. Note the attached EXAMINER'S AMENDMENT or NOTICE OF
`INFORMAL PATENT APPLICATION (PT0-152) which gives reason(s) why the oath or declaration is deficient.
`5. D CORRECTED DRAWINGS (as "replacement sheets") must be submitted.
`(a) D including changes required by the Notice of Draftsperson's Patent Drawing Review ( PT0-948) attached
`1) D hereto or 2) D to Paper No./Mail Date __ .
`(b) D including changes required by the attached Examiner's Amendment I 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. 0 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. D Notice of References Cited (PT0-892)
`2. D Notice of Draftperson's Patent Drawing Review (PT0-948)
`
`3. [gl Information Disclosure Statements (PTO/SB/08),
`Paper No./Mail Date 10/30/09
`4. D Examiner's Comment Regarding Requirement for Deposit
`of Biological Material
`
`/Thao T. Tran/
`Primary Examiner, Art Unit 1794
`
`5. D Notice of Informal Patent Application
`6. [gl Interview Summary (PT0-413),
`Paper No./Mail Date 1217109.
`7. [gl Examiner's AmendmenUComment
`
`8. D Examiner's Statement of Reasons for Allowance
`9. D Other __ .
`
`U.S. Patent and Trademark Office
`PTOL-37 (Rev. 08-06)
`
`Notice of Allowability
`
`Part of Paper No./Mail Date 20091207
`
`Obalon Therapeutics, Inc. Exhibit 1002 Page 14
`
`

`

`Interview Summary
`
`Application No.
`
`Applicant(s)
`
`11/554,550
`
`Examiner
`
`Thao T. Tran
`
`SHAH, TILAK M.
`
`Art Unit
`
`1794
`
`All participants (applicant, applicant's representative, PTO personnel):
`
`(1) Thao T. Tran.
`
`(2) Vincent Gustafson.
`
`Date of Interview: 07 December 2009.
`
`(3) __ .
`
`(4) __ .
`
`Type: a)[2J Telephonic b)O Video Conference
`c)O Personal [copy given to: 1)0 applicant 2)0 applicant's representative]
`
`Exhibit shown or demonstration conducted: d)0 Yes
`If Yes, brief description: __ .
`
`e)[2J No.
`
`Claim(s) discussed: 1and17.
`
`Identification of prior art discussed: NIA.
`
`Agreement with respect to the claims f)[2J was reached. g)O was not reached. h)O N/A.
`
`Substance of Interview including