IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Atty. Dkt. No:
`
`6757-35500
`
`Application No:
`
`09/798511
`
`Patent No:
`
`7,036,207
`
`Filing Date:
`
`03/02/2001
`
`Inventor(s): Griffith D. Neal
`
`§
`§
`§
`§
`§
`§
`§
`§
`§
`§
`
`Title: STATOR ASSEMBLY MADE
`FROM A PLURALITY OF
`TOROIDAL CORE SEGMENTS
`AND MOTOR USING SAME
`Examiner: Compton, Eric B.
`Group/Art Unit:
`3726
`
`STATEMENT REGARDING CHANGE FROM SMALL ENTITY STATUS
`
`Patentee is no longer entitled to small entity status in the above-referenced patent.
`
`No fees are believed necessary; however if any fees are required,
`
`the
`
`Commissioner is hereby authorized to immediately charge the fees or credit any
`
`overpayment to Meyertons, Hood, Kivlin, Kowert & Goetzel, P.e. Deposit Account No.
`
`501505/6757-35500/DMM.
`
`Date: January 7,2013
`
`Respectfully submitted,
`
`By: /Dean M. Munyon/
`Dean M. Munyon
`Reg. No. 42,914
`
`Meyertons, Hood, Kivlin, Kowert & Goetzel, P.e.
`P. O. Box 398
`Austin, Texas 78767
`(512) 853-8800
`
`Page 1 of 302
`
`PETITIONERS' EXHIBIT 1021
`
`

`

`Electronic Acknowledgement Receipt
`
`EFSID:
`
`Application Number:
`
`14628313
`
`09798511
`
`International Application Number:
`
`Confirmation Number:
`
`9388
`
`Title of Invention:
`
`STATOR ASSEMBLY MADE FROM A PLURALITY OF TOROIDAL CORE
`SEGMENTS AND MOTOR USING SAME
`
`First Named Inventor/Applicant Name:
`
`Griffith D. Neal
`
`Customer Number:
`
`35690
`
`Filer:
`
`Dean M. Munyon/Danielle Kramer
`
`Filer Authorized By:
`
`Dean M. Munyon
`
`Attorney Docket Number:
`
`6757-35500
`
`Receipt Date:
`
`Filing Date:
`
`TimeStamp:
`
`07-JAN-2013
`
`02-MAR-2001
`
`13:02:22
`
`Application Type:
`
`Utility under 35 USC 111 (a)
`
`Payment information:
`
`Submitted with Payment
`
`I no
`
`File Listing:
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`Document
`Number
`
`Document Description
`
`File Name
`
`File Size(Bytes)/
`Message Digest
`
`Multi
`Part /.zip
`
`Pages
`(ifappl.)
`
`16835
`
`1
`
`Miscellaneous Incoming Letter
`
`small-entity-change-form.pdf
`
`no
`
`1
`
`cdd275b40baa0573d8c07c5895aceadSc91
`2b3d9
`
`Warnings:
`
`Information:
`
`Page 2 of 302
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`

`

`Total Files Size (in bytes)
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`16835
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`This Acknowledgement Receipt evidences receipt on the noted date by the USPTO of the 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
`If a 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.
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`National Stage of an International Application under 35 U.S.c. 371
`If a 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/EO/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
`If a 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 of the International Filing Date (Form PCT/RO/l 05) 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.
`
`Page 3 of 302
`
`

`

`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Ul\TfE]) STI\TES ])EPA RTME'IT OF COMMERCE
`United States Patent and Trademark Office
`Adill",. COMMISSIO'JER FOR PATENTS
`PO Box 1450
`Alexandria, Virgmia 22313-1450
`\VVi\V.uspto.gOY
`
`APPLICATION NUMBER
`09/798,511
`
`FILING OR 371 (C) DATE
`03/0212001
`
`35690
`MEYERTONS, HOOD, KIVLlN, KOWERT & GOETZEL, P.C.
`P.O. BOX 398
`AUSTIN, TX 78767-0398
`
`FIRST NAMED APPLICANT
`Griffith D. Neal
`
`ATTY. DOCKET NO.lTITLE
`8864/20
`CONFIRMATION NO. 9388
`POA ACCEPTANCE LETTER
`
`IIIIIIIIIIIIIIIIIIIIIIII]~!I]~~I~~I~~UI ~1~~1~~1111111111111111111111111
`
`Date Mailed: 12/24/2012
`
`NOTICE OF ACCEPTANCE OF POWER OF ATTORNEY
`
`This is in response to the Power of Attorney filed 12/03/2012.
`
`The Power of Attorney in this application is accepted. Correspondence in this application will be mailed to the
`above address as provided by 37 CFR 1.33.
`
`Isharrisl
`
`Office of Data Management, Application Assistance Unit (571) 272-4000, or (571) 272-4200, or 1-888-786-0101
`
`page 1 of 1
`
`Page 4 of 302
`
`

`

`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`APPLICATION NUMBER
`09/798,511
`
`FILING OR 371 (C) DATE
`03/0212001
`
`757
`BRINKS HOFER GILSON & LlONE
`P.O. BOX 10395
`CHICAGO, IL 60610
`
`Ul\TfE]) STI\TES ])EPA RTME'IT OF COMMERCE
`United States Patent and Trademark Office
`Adill",. COMMISSIO'JER FOR PATENTS
`PO Box 1450
`Alexandria, Virgmia 22313-1450
`\VVi\V.uspto.gOY
`
`FIRST NAMED APPLICANT
`Griffith D. Neal
`
`ATTY. DOCKET NO.lTITLE
`8864/20
`CONFIRMATION NO. 9388
`POWER OF ATTORNEY NOTICE
`
`IIIIIIIIIIIIIIIIIIIIIIII]~!I]~~I~~I~~UI ~1~~U1111111111111111111111111
`
`Date Mailed: 12/24/2012
`
`NOTICE REGARDING CHANGE OF POWER OF ATTORNEY
`
`This is in response to the Power of Attorney filed 12/03/2012 .
`
`• The Power of Attorney to you in this application has been revoked by the assignee who has intervened as
`provided by 37 CFR 3.71. Future correspondence will be mailed to the new address of record(37 CFR 1.33).
`
`Isharrisl
`
`Office of Data Management, Application Assistance Unit (571) 272-4000, or (571) 272-4200, or 1-888-786-0101
`
`page 1 of 1
`
`Page 5 of 302
`
`

`

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`tA !~(>P'! of tl1is fon;:tn~leu~~r with a ;T~t~;;~;;.;t"t;;mFR 3J'::l{b} (Form PTO!SS~ ~iwi\(<llm,t} is ~'Klllif!&tJ't; h:3 ~
`I film:! in m~dl app~k~"taon in which this form is used, The statem!}!1t >.mder J·7 CFR :t7J(b) may be completed by on;~ ~~f
`! ti'\'S practitioners appoh,ted ~n this form if Hm ap.~oifltf;d pmct!tjoner is at,trwfi::?0tl to act on behalf of the assignee,
`~~~!:~~5 i~~:.!!y t~le ap~!!;;~~~~~:~,~~~ ,this Power of Attm'B~Y is to b~ mao,
`,_" mmmmm ~
`SiGNATURE d Assignoo of Rec,xtJ
`!
`Th£; indi,,' duaf \V;K~')!; :\ig"!'l;:~tUf',:' fmJ ;jHc ~s ~!JppHc·d b,-:!o\,:' is 3ulhorht:d !n a°..:,:- nr: bc.h:.::H\,~ th," :~ ,;:.~gl;1n,:·
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`:":y :'i;~ Ut:PTO lt~ p:n:";\::1~; a~~ ::1p~:~;,ca\;fj:l. C.;}~·~:ti~nn~~:i:.); :~ ~:);\:,er(!t:\.1 ~,1:.' :):~, U,S.C. '~22 ~~:'!d 3.?' GFR i, 1 : {::n;:,~ ":, -: <~, 'f:~:~ tCf:l'5t~ki:~; fS ~:~t~:~~,~\'S .. ~ :;f;' ~f~k~: 8 f~~n~!!\?'S t::)
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`U_S. P&~e:~~ an.::.j T~~~;:!·:f}·::;xk Off:t::.i::1. U,S. r:.·ep~~tm·:::(:t:): C~')m:~~ei(:·:::. P.::::~. 8~:'K ':450. )\:~~xBn~~r;«, .... /~. ~;~:~~·1~:-··;4.s0. DO NOT 3END ~t:ES OR C-C:j"l)1PLETED ~()Rl\~::~
`~r<) THlS AD::;~~::::SS. SENt) TCc Gon'l~"TIl$)~km~r fo~' ?3t:.'}nt.:;, ?,(), So): 145(:,,: A:~~p.:~n(i~ia ..... lA.123.'~S··,'l450,
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`Page 6 of 302
`
`

`

`DE.CL/'.JZ;\TION REGARDING /\UTHORITYTO SKr]'-)
`ON BEH.i\LF OF /\ LEG/\L ENTITY-
`
`Jealltl(~ S uchodolskj
`
`Date
`
`Page 7 of 302
`
`

`

`Electronic Acknowledgement Receipt
`
`EFSID:
`
`Application Number:
`
`14373018
`
`09798511
`
`International Application Number:
`
`Confirmation Number:
`
`9388
`
`Title of Invention:
`
`STATOR ASSEMBLY MADE FROM A PLURALITY OF TOROIDAL CORE
`SEGMENTS AND MOTOR USING SAME
`
`First Named Inventor/Applicant Name:
`
`Griffith D. Neal
`
`Customer Number:
`
`757
`
`Filer:
`
`Dean M. Munyon/Dawn Deluca
`
`Filer Authorized By:
`
`Dean M. Munyon
`
`Attorney Docket Number:
`
`8864/20
`
`Receipt Date:
`
`Filing Date:
`
`TimeStamp:
`
`03-DEC-2012
`
`02-MAR-2001
`
`20:35:31
`
`Application Type:
`
`Utility under 35 USC 111 (a)
`
`Payment information:
`
`Submitted with Payment
`
`I no
`
`File Listing:
`
`Document
`Number
`
`Document Description
`
`File Name
`
`File Size(Bytes)/
`Message Digest
`
`Multi
`Part /.zip
`
`Pages
`(ifappl.)
`
`1
`
`Assignee showing of ownership per 37
`CFR 3.73.
`
`373b.pdf
`
`no
`
`3
`
`39702
`
`cee548dOe93bd 1 c081 aca3f6cdd2f7 e6f367
`64e4
`
`Warnings:
`
`Information:
`
`Page 8 of 302
`
`

`

`2
`
`Power of Attorney
`
`POA.pdf
`
`no
`
`2
`
`967342
`
`875449c23 023 d 37 eS d a46803aaS 5 a6ac615
`df8c8
`
`Warnings:
`
`Information:
`
`Total Files Size (in bytes)
`
`1007044
`
`This Acknowledgement Receipt evidences receipt on the noted date by the USPTO of the 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 A~~lications Under 35 U.S.c. 111
`If a 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 A~~lication under 35 U.S.c. 371
`If a 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/EO/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 A~~lication Filed with the USPTO as a Receiving Office
`If a 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 of the International Filing Date (Form PCT/RO/l 05) 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.
`
`Page 9 of 302
`
`

`

`PTO/SB/96 (07-09)
`Approved for use through 07/31/2012. OMB 0651-0031
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`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.
`
`STATEMENT UNDER 37 CFR 3.73(b)
`
`ApplicanUPatent Owner: Intellectual Ventures Holding 88 LLC
`
`Filed/lssue Date: 05/02/2006
`Application No./Patent No.: 7036207
`-------------------------------
`------------------------------
`STATOR ASSEMBLY MADE FROM A PLURALITY OF TOROIDAL CORE SEGMENTS AND MOTOR USING
`SAME
`
`Titled:
`
`Intellectual Ventures Holding 88 LLC
`__________________________________________ ,a
`
`LIMITED LIABILITY COMPANY
`
`(Name of Assignee)
`
`states that it is:
`
`(Type of Assignee, e.g., corporation, partnership, university, government agency, etc.
`
`1. ~ the assignee of the entire right, title, and interest in;
`
`2. D
`
`an assignee of less than the entire right, title, and interest in
`(The extent (by percentage) of its ownership interest is
`-------
`
`%); or
`
`the assignee of an undivided interest in the entirety of (a complete assignment from one of the joint inventors was made)
`
`3. D
`the patent application/patent identified above, by virtue of either:
`A. D An assignment from the inventor(s) of the patent application/patent identified above. The assignment was recorded in
`the United States Patent and Trademark Office at Reel
`copy therefore is attached.
`
`, Frame
`
`, or for which a
`
`OR
`B. ~ A chain of title from the inventor(s), of the patent application/patent identified above, to the current assignee as follows:
`To: Encap Motor Corporation
`1. From: Griffith D. Neal
`
`The document was recorded in the United States Patent and Trademark Office at
`Reel 012135
`Frame 0350
`or for which a copy thereof is attached.
`
`2. From: Encap Motor Corporation
`
`To: Encap Merger Co., Inc.
`
`The document was recorded in the United States Patent and Trademark Office at
`Reel 018524
`Frame 0001
`
`or for which a copy thereof is attached.
`
`3. From: Encap Merger Co., Inc.
`
`To: Encap Technologies, Inc.
`
`The document was recorded in the United States Patent and Trademark Office at
`Reel 018524
`Frame 0039
`
`or for which a copy thereof is attached.
`
`~ Additional documents in the chain of title are listed on a supplemental sheet(s).
`
`~ As required by 37 CFR 3.73(b)(1 )(i), the documentary evidence of the chain of title from the original owner to the assignee was,
`or concurrently is being, submitted for recordation pursuant to 37 CFR 3.11.
`
`[NOTE: A separate copy (i.e., a true copy of the original assignment document(s)) must be submitted to Assignment Division in
`accordance with 37 CFR Part 3, to record the assignment in the records of the USPTO. See MPEP 302.08]
`
`The undersigned (whose title is supplied below) is authorized to act on behalf of the assignee.
`
`IDean M. Munyonl
`
`Signature
`
`Dean M. Munyon
`
`12/3/2012
`Date
`
`Reg. No. 42,914
`
`Title
`Printed or Typed Name
`This collection of information is required by 37 CFR 3.73(b). 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 1.11 and 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, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner
`for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`If you need assistance in completing the form, call 1-800-PTO-9199 and select option 2.
`
`Page 10 of 302
`
`

`

`Privacy Act Statement
`
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`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.
`
`Page 11 of 302
`
`

`

`Supplemental Sheet
`
`A chain of title from the inventor(s), of the patent application/patent identified above, to the current
`assignee continues as follows:
`Encap Technologies Inc.
`
`Intellectual Ventures Holding 88 LLC
`
`To:
`4. From:
`The document was recorded in the United States Patent and Trademark Office at
`Reel
`029228
`, Frame
`0379
`, or for which a copy thereof is attached.
`
`To:
`5. From:
`The document was recorded in the United States Patent and Trademark Office at
`Reel
`, Frame
`, or for which a copy thereof is attached.
`
`To:
`6. From:
`The document was recorded in the United States Patent and Trademark Office at
`Reel
`, Frame
`, or for which a copy thereof is attached.
`
`To:
`7. From:
`The document was recorded in the United States Patent and Trademark Office at
`Reel
`, Frame
`, or for which a copy thereof is attached.
`
`To:
`8. From:
`The document was recorded in the United States Patent and Trademark Office at
`Reel
`, Frame
`, or for which a copy thereof is attached.
`
`Page 12 of 302
`
`

`

`Applicant or Patentee:
`Serial or Patent No:
`Filed or Issued:
`For:
`
`Griftitll D. Neal
`7,036,207
`-------------------
`Case No"
`8864-20
`May 2, 2006
`STATOR ASSEM8L Y MADE FROM A PLURALITY OF TOROIDAL Cc5Rl~EGMENfSAND MOYOR USING-SAME----------
`VERIFIED STATEMENT (DECLARATION) CLAIMING SMALL ENTITY STATUS
`(37 CFR 1.9(f) and 1.27(c))· SMALL BUSINESS CONCERN
`
`----------------------~--.-
`
`I ilereby declare that I am
`o
`f29
`
`the owner of the small business concern identified below:
`
`NAME OF CONCERN
`ADDRESS OF CONCERN
`
`application serial no, ___ , filed ___ '
`
`an official of the small business concern empowered to act on behalf of the concern identified below:
`ENCAP TECHNOLOGIES, INC,
`1334 Bay Street, Alameda, California 94501
`! hereby declare that the above identified small business concern qualifies as a small business concern as defined in 13 CFR 12'1,3-1 e, and reproduced in3? CFR 1,9(d), for
`purposes of paYlllg reduced fees under Section 41 (a) and (b) of Title 35, United States Code, in that the number of employees of the concern, including those of its affiliates,
`does not exceed 500 persons, For purposes of this statement, (1) the number of employees of the business concern is the average 0'1", the previo:.1$ P¥2' '1fJ.2Ji c( u>:
`concern of the persons employed on a full-time, part-time or temoor8!,! basis dtJM] each of the f)'2f ~ioos of ;'-8 f;,z"2i ),8?f 2n::
`C::C,)S",; a~ cffi'~et"",· :\' "'2<~' :;;-:,"j(
`when either, directly or indirectiy, one concern controls Of has the peiNe!:o comlO; lte OU;'5f. Of a
`part) Of ,'2;T!8S~Xc~;S ~'; ;s:s :,~-" :,:w", i:-
`I hereby declare that rights under contract or law have been conveyed to and remain with the small business concern identified above with regard to the invention, entitled
`~JATOR ASSEMBLY MADE FROM A PLURALITY OF TOROIDAL CORE SEGMENTS AND MOTOR USING SAME by inventor(s) GriffitiJ.Q...Neal described in
`o
`the specification filed herewith,
`o
`f29
`patent no, L9J§J07, issued May 2.1.006,
`If tile rights held by the above identified small business concern are not exclusive, each individual, concern or organization having rights to the invention is listed below' and no
`rigllts to the invention are held by any person, other than the inventor, who would not qualify as an independent inventor under 37 CFR 1 ,9(c) if that person made the invention,
`or by any concern which would not qualify as a small business concern under 37 CFR 1 ,9(d), or a nonprofit organization under 37 cm 1 ,9(e). 'NOTE: Separate verified
`statements are required from each named person, concern or organization having rights to the invention averring to their status as small entities, (37 cm 1,27)
`
`NAME
`ADDRESS
`
`NAME
`ADDRESS
`
`o INDIVIDUAL
`
`o SMALL BUSINESS CONCERN
`
`o NONPROFIT ORGANIZATION
`
`o INDIVIDUAL
`o SMALL BUSINESS CONCERN
`o NONPROFIT ORGANIZATION
`I acknowledge the duty to file, in this application or patent, notification of any change in status resulting in loss of entitlement to small entity status prior to paying, or at tl18 time
`of paying, the earliest of the issue fee or any maintenance fee due after the date on which status as a small entity is no longer appropriate. (3'/ CFR 1.28(b))
`I hereby declare that all statements made herein of my own knowledge are true and that all statements made on information and belief are believed to be true; and further that
`these statements were made with tile knowledge that willful false statements and the like so made are punishable by fine or imprisonment, or both, under Section 1001 of Title
`18 of tt18 United States Code, and that such willful false statements may jeopardize the validity of the application, any patent issuing thereon, or any patent to whicll this
`verified statement is directed,
`
`SIGNATURE
`NAME OF PERSON SIGNING
`TITLE OF PERSON OTHER THAN OWNER
`ADDRESS OF PERSON SIGNING
`
`DATE
`
`11·22.-
`
`CEO
`.~--- ... ----------.... ----------.. ---.. -...... - ... ------.. -----
`1334 Bay Street, Alameda, California 94501
`____ . ______ , _______ ._
`
`BRINKS HOFER GILSON & L10NE
`P.O, BOX 10395
`Chicago, Illinois 60610
`(312) 321·4200
`
`Page 13 of 302
`
`

`

`Electronic Acknowledgement Receipt
`
`EFSID:
`
`Application Number:
`
`11703033
`
`09798511
`
`International Application Number:
`
`Confirmation Number:
`
`9388
`
`Title of Invention:
`
`STATOR ASSEMBLY MADE FROM A PLURALITY OF TOROIDAL CORE
`SEGMENTS AND MOTOR USING SAME
`
`First Named Inventor/Applicant Name:
`
`Griffith D. Neal
`
`Customer Number:
`
`757
`
`Filer:
`
`Steven P. Shurtz/Kristin Hooper
`
`Filer Authorized By:
`
`Steven P. Shurtz
`
`Attorney Docket Number:
`
`8864/20
`
`Receipt Date:
`
`Filing Date:
`
`TimeStamp:
`
`23-DEC-2011
`
`02-MAR-2001
`
`15:57:46
`
`Application Type:
`
`Utility under 35 USC 111 (a)
`
`Payment information:
`
`Submitted with Payment
`
`I no
`
`File Listing:
`
`Document
`Number
`
`Document Description
`
`File Name
`
`1
`
`Petition for review by the Office of
`Petitions.
`
`8864-20_ Verified_State me nt_ C
`laimin9_Small-Entity.pdf
`
`Warnings:
`
`Information:
`
`File Size(Bytes)/
`Message Digest
`
`Multi
`Part /.zip
`
`Pages
`(ifappl.)
`
`105855
`
`53e8f7b5206719feb45d4985d74370SaBfd
`0428
`
`no
`
`1
`
`Page 14 of 302
`
`

`

`Total Files Size (in bytes)
`
`105855
`
`This Acknowledgement Receipt evidences receipt on the noted date by the USPTO of the 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
`If a 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
`If a 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/EO/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
`If a 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 of the International Filing Date (Form PCT/RO/l 05) 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.
`
`Page 15 of 302
`
`

`

`Page 1 of 1
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United State~ p"tcnt "nd Trad ....... rk Office
`Addrea: COMMISSIONER FOR PATENTS
`P.O. Box 1430
`AlOX8ll<lria. YIIBinio 22313-1450
`......... uopto.gov
`
`CONFIRMATION NO. 9388
`
`CLASS
`029
`
`GROUP ART UNIT
`3726
`
`ATTORNEY
`DOCKET NO.
`8864/20
`
`*BIBDATASHEET*
`Bib Data Sheet
`
`SERIAL NUMBER
`09n98,511
`
`FiliNG OR 371(c)
`DATE
`03/02/2001
`
`RULE
`
`~PPlICANTS
`Griffith D. Neal, Alameda, CA;
`
`** CONTINUING DATA *************************
`
`** FOREIGN APPLICATIONS ••••• **.***.*** .. **.
`
`IF REQUIRED, FOREIGN FILING LICENSE GRANTED
`** 05/15/2001
`Foreign Priority claimed
`
`[J yes [J no
`
`STATE OR
`COUNTRY
`CA
`
`SHEETS
`DRAWING
`6
`
`TOTAL
`CLAIMS
`29
`
`INDEPENDENT
`CLAIMS
`5
`
`;35 USC 119 (a-d) conditions [J yes [J no [J Met after
`
`met
`Verified and
`Acknowledged
`ADDRESS
`00757
`
`Allowance
`
`Examiner's Signature
`
`Initials
`
`IrITlE
`~TATOR ASSEMBLY MADE FROM A PLURALITY OF TOROIDAL CORE SEGMENTS AND MOTOR USING
`~AME
`
`FILING FEE FEES: Authority has been given in Paper
`to charge/credit DEPOSIT ACCOUNT
`RECEIVED No.
`No.
`for following:
`843
`
`I[J All Fees
`I[J 1.16 Fees ( Filing)
`[J 1.17 Fees ( Processing Ext. of
`I[J 1.18 Fees (Issue)
`I[J Other
`I[J Credit
`
`time)
`
`I
`I
`
`I
`I
`I
`
`Page 16 of 302
`
`

`

`PART B ~ FEE($) ~NSMITT AL
`Complttt' !lad sud this form. together with appUcabLe fee(s), to: Mrul Mail StoP. ISSUE FEE
`Commwloner for Patents
`P.O. BOI 1450
`Alexandria. Vb"gioia 223]3-1450
`(571) 273-2885
`orEM
`INSTRUCTtOt-lS: Thili form should be used for uarum,wnll Ibe ISSUE fEE aod PUBLICATION FEE (if required). Blocks I throuSb $ Ibould be conlpleted wb_
`IIp;>rOprllJe. All futthar cOrT~o:Jdrme illcllllding Ih~ Pillent, advance orckn &lid ootificatioa of mairue=ce (us will be mnih:d 10 che Cllnerll ~Dce a.ddtt .. as
`Uxlic.aled u:LIcs. caTT«;led below 01 dircc1ed odJerwi~ in Bloc;t t. by (a) speeifying a new corn;pondenoc 1IddKs.s; ADd/Of (b) iadica1irJa a 5CpM8le "FEE ADDRESS' for
`mairllcnaru;e fee nolir,arior.s-.
`
`($;"",,,,")
`
`OOIn
`BRINKS HOFER GILSON & LIONE
`P.o. BOX 10395
`CHICAGO, IL 60610
`02/02/2006 "GEBRE"2 00000045 09798511
`01 FC: 1501
`1400.00 OP
`02 FC: 1504,------:--:-==-:---:---,-----::::-30::-:0.::-:0:-0 ":':OP~-r--..::::::;;~~:::-:-:-~~~~=====~~~~;:::;::;:==::::::::====(Du.t)~
`
`APPUCA -ru:»< NO.
`
`FlUl'IO OA re
`
`FIRST SAlol£!) OIV£NTOa
`
`CONrnudAnOlO"O.
`
`nTU: Of [NVENTlON: STATOR ASSEMSl Y MADE FROM A PWRAlrrf OF TOROIDAL CORl: SEGMENTS AND MOTOR USING SAME
`
`0)11)2/2001
`
`Griffilh O. Nal
`
`8864120
`
`9388
`
`1716
`I. ~e DC <tll'rtli'Of!d<."I!CC IIddrHs en indication of ~Fee Address'" el7
`CFR 1.J6l).
`o C!!a/li~ofcDnnpondocc addrt3~ (or Change ofC02n~poodencc
`o "he AdwCN· imli;!ltion (or Of" I\d4r~ Inc!ic~tion ronn
`
`Addrcs.s totm PTO/sBlI22) atw:bed.
`
`I'TOISBI47; Rev 03'()2 or marc recent) II.IUIdwI. UU' of a CllllolWrr
`Nambcr II nqwrC11.
`
`PUBUCA nON FEll
`
`S)OO
`
`Ol9-S96OOD
`
`OATI!OU£
`
`03l1~/2006
`
`2. For prin.~ on die po1tCDt froDI pngc. Ii&t
`(I) \be e\lMeS or up 10 3 ~g!rured ~teQ[ 4!tOtMys
`or age& OR. alternatively.
`(2) che natnI! or B siegle ftml (having ILl a member a
`feii,ter~ anomcy or "&mil and the oam~ of up 10
`2 ~I{i..ured ~nt alIome)'s or t>geot.>. If no name iJ
`listed, a.o IWaC will be pri:t1Cd.
`
`Brinks Hofer Gilson
`& Ll.one
`
`3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PR.JNn;;OON TilE I'AT£NT(prUt1 Of!)'pe)
`Pl.EASE N01&: Uole$s IIIl ~~cc Q idCllificd below, DO 1l$Si~ data wiD appear 011 the puem. 11 aD u:sI;;nee Is id=llClCI1 below. !he docllITleat b4I bec:J filed ror
`reeorUtiOD as eel foRb In :;7 efR 1.11. Completion of IlllS fonn LJ NOT a 5lIbs1illm far filing aD usignmeol.
`
`(B) RESIDENCE: (OTV aM STATE OR COUNlRy)
`tA) NAME OF ASSIGNSE
`Encap Motor Corporation
`Alameda. CA
`PIe:ue cbeet the ap;I:oprUle ~ig;tt~e catrgOt)' 0: C8lCgoriC8 (willne» be primed !:IoChe palCDl) : a IDdivldllBl e9 C«poratiotl Of O1l!cr """,,If: group mllty a Uovenuncrtl
`4b. i'aymenl ofFee(I}:
`40_ The f