Case mam/"00545 Dogma-3m 5 Fiied oafzfilifi Page 1 of l Page ED #:175
`
`A0 120 (Rev. 08/10)
`
`TO:
`
`Mail Stop 8
`Director of the U.S. Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`TRADEMARK
`
`REPORT ON THE
`FILING OR DETERMINATION OF AN
`ACTION REGARDING A PATENT OR
`
`In Compliance with 35 U.S.C. § 290 and/or 15 U.S.C. § 1116 you are hereby advised that a court action has been
`
`filed in the U.S. District Court Central District of California
`
`on the following
`
`D Trademarks or
`DOCKET NO.
`
`( D the patent action involves 35 U.S.C. § 292.):
`XI Patents.
`DATE FILED
`U.S. DISTRICT COURT
`
`PLAINTIFF
`
`Nichia Corporation
`
`March 23, 2016
`
`Central District of California
`DEFENDANT
`
`VIZIO, Inc.
`
`PATENT OR
`TRADEMARK NO.
`
`DATE OF PATENT
`OR TRADEMARK
`
`HOLDER OF PATENT OR TRADEMARK
`
`1 7,901,959
`
`March 8, 2011
`
`Nichia Corporation
`
`2 7,915,631
`
`March 29, 2011
`
`Nichia Corporation
`
`3 8,309,375
`
`November 13, 2012
`
`Nichia Corporation
`
`4 7,855,092
`
`December 21, 2010
`
`Nichia Corporation
`
`5
`
`DATE INCLUDED
`
`In the aboveientitled case, the following patent(s)/ trademark(s) have been included:
`INCLUDED BY
`
`PATENT OR
`TRADEMARK N0.
`
`I] Amendment
`DATE OF PATENT
`OR TRADEMARK
`
`D Answer
`
`B Cross Bill
`
`D Other Pleading
`
`HOLDER OF PATENT OR TRADEMARK
`
`D)
`
`DECISION/JUDGEMENT
`
`In the above%ntitled case, the following decision has been rendered or judgement issued:
`
`CLERK
`
`(BY) DEPUTY CLERK
`
`
`
`DATE
`
`Copy 3—Up0n termination of action, mail this copy to Director
`Copy liUpon initiation of action, mail this copy to Director
`Copy 2—Up0n filing document adding patent(s), mail this copy to Director
`Copy 4—Case file copy
`
`
`
`
`
`
`
`237390271
`
`
`
`TCL 1002, Page 1
`
`

`

`Case 8Zl§~C\i—Ql§53~fii\rIG-KES Document 14 Fiieti £33!231'15 Page: 1 (If 1 Page ED #:41
`
`A0 12(2- (Rev. 08/10)
`
`TO :
`
`Maii Step 3
`Director ai‘the USI Patent and Trademark Office
`Poi}. Bax I450
`Aisaxandria, VA 2231343159
`
`TRADEMARK
`
`REPGRT 0N IIII:
`FILING 0R DETERMINATIGN OF AN
`ACTIGN REGARDING A PATENT (IR
`
`in Campiiaiics with 35 USC. § 290 and/0r 15 USE. § 1116 yea are hereby advised that 31 watt action has been
`
`Centre! District 0? Caiifomia
`
`i1i€dintiae US. D1str1ct Court
`
`on Lita fellewiiig
`
`BE 'E‘I‘adsmaiigs (11'
`
`E] PatetIts.
`
`( 3 ma patant actiim involves 35 USE. § 292.):
`
`DOCKET NO.
`
`DATE FILED
`
`US. DISTRICT COURT
`
`SACVI 5'1 963~DMG-K 'Sx
`PLAINTIFF
`
`11/23/2015
`
`.
`
`DEFEND ANI
`
`Centrai District of Caiifomia
`
`VEZEO, inc.
`
`Vizo, Inc.
`
`PATENT OR
`TRADEMARK NO.
`
`DATE OF PATENT
`OR TRADEMARK
`
`1 ARK
`‘7
`‘I
`F [‘T‘IT‘
`E
`I
`AOLDuR O P a EKG“ OR TRAJEM
`
`OR TRADEMARK
`
`DATE INCLUDED
`
`PATENT OR
`TRADEMARK NO.
`
`DATE OF FATE NT
`
`[j Crass; Bill
`
`[:1 Other Pleading
`
`in the abuve -----etttitisd (£2156, Lita feilmviiig decision has been rendered arjudgemant issued:
`DECISION/JUDGEIAENT
`
`Piaintift's Notice at Dismissai Pursuant to Federai Rates of Cit/IE Procedure 41(3) or (c) flied
`3/21/2016.
`
`3/23/2016
`
`KERY a. GRAY
`
`(BY) DEPUTY CLERK
`
`a. Kami
`
`DATE
`
`Copy 3:-----Ii {H311 initiation (If actiim, maii this may ti) Directiir Cam 3------ 15sz termination of actitm, maii this (:(Ipy tII Iiirectisr
`{may 2------Upon filing attainment adding patenfls), maii this mpy ti) threaten“ Cam 4------Casts: file (:(Ipy
`
`TCL 1002, Page 2
`TCL 1002, Page 2
`
`

`

`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMIVHSSIONER FOR PATENTS
`PO. Box 1450
`Alexandria1 Virginia 22313-1450
`www.uspto.gov
`
`APPLICATION NO.
`
`12/548,618
`
`ISSUE DATE
`
`03/29/2011
`
`2292
`
`7590
`
`03/09/2011
`
`BIRCH STEWART KOLASCH & BIRCH
`PO BOX 747
`FALLS CHURCH, VA 22040-0747
`
`PATENT NO.
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`7915631
`
`0020-5147PUSS
`
`7447
`
`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 90 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):
`
`Yoshinori SHIMIZU, Naka-gun, JAPAN;
`Kensho Sakano, Anan-shi, JAPAN;
`Yasunobu Noguchi, Naka-gun, JAPAN;
`Toshio Moriguchi, Anan-shi, JAPAN;
`
`IR103 (Rev. 10/09)
`
`TCL 1002, Page 3
`TCL 1002, Page 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
`PO. Box 1450
`Alexandria, Virginia 22313-1450
`
`(571)-273-2885
`or Ea;
`
`INSTRUCTIONS: This form should be_ used for transmitting the ISSUE FEE and PUBLICATION FEE (if required). Blocks 1 through 5 should be completed where
`in
`ap ropriate. All further correspondence Including the Patent, advance orders and notification of maintenance fees will be mailed to the current corres ondence address as
`1cated unless corrected below or directed otherwise in Block 1, by (a) specifying a new correspondence address; and/or (b) indicating a separate "
`ADDRESS" for
`
`maintenance fee notifications.
`CURRENTCORRESPONDENCEADDRESS (Note: Use Block 1 for any change ofaddress)
`Note: A certificate of lmailin
`can only be used for domestic mailings of the
`Fee(s) Transmittal. This certi icate cannot be used for any other accompanying
`papers. Each additional paper, such as an assignment or formal drawmg, must
`ave its own certificate of mailing or transmissmn.
`C tf'
`{M l
`T
`er i icate o ‘
`ai ing or
`ransmission
`1 herebly certify that this Fee(st) Transmittal is being deposited with the United
`85:11?”
`(astal Stlir‘IicIt/Iai‘lliSh suffiéeapgpgfiggegg: first glass mailbin an Envelope
`a
`esse
`to
`e
`to
`a
`ess a ove, or
`ein
`acsinu e
`transmitted to the USPTO ( 71) 273—2885, on the date indicated be ow.
`
`
`
`
`01/25/2011
`7590
`2292
`BIRCH STEWART KOLASCH & BIRCH, LLP
`PO BOX 747
`FALLS CHURCH, VA 22040—0747
`
`
`
`
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`08/27/2009
`12/548,618
`TITLE OF INVENTION: LIGHT EMITTING DEVICE AND DISPLAY
`
`Yoshinori SHIMIZU
`
`0020—5147PUSS
`
`7447
`
`APPLN. TYPE
`
`SMALL ENTITY
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE
`
`PREV. PAID ISSUE FEE
`
`TOTAL FEE(S) DUE
`
`DATE DUE
`
`nonprovisional
`
`NO
`
`TRINH, MICHAEL MANH
`
`$1510
`
`2822
`
`$300
`
`$0
`
`$1810
`
`04/25/2011
`
`257-098000
`
`2. For printing on the patent front page, list
`1. Change of correspondence address or indication of "Fee Address" (37
`
`
`
`CFR 1.363).
`1Birch Stewart Kolasch & Birch, LLP
`
`(I) the names of up to 3 registered patent attorneys
`or agents OR, alternatively,
`ndence address (or Change of Correspondence
`D Chan e of corres
`
`
`Address orm PTO/
`/122) attached.
`(2) the name of a single firm (having as a member a
`registered attorney or agent) and the names of up to
`D "Fee Address" indication (or "Fee Address" Indication form
`
`PTO/SB/47; Rev 03—02 or more recent) attached. Use of a Customer
`2 registered patent attorneys or agents. If no name is
`listed, no name will be printed.
`Number is required.
`
`
`3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
`
`2
`3
`
`PLEASE NOTE: Unless an a lsrilgnee 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 C
`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)
`
`NICHIA CORPORATION
`
`Anan-shi, JAPAN
`
`Please check the appropriate assignee category or categories (will not be printed on the patent) : El Individual 12' Corporation or other private group entity D Government
`
`4b. Payment of Fee(s): (Please first reapply any previously paid issue fee shown above)
`4a. The following fee(s) are submitted:
`El A check is enclosed.
`Issue Fee
`Cl Payment by credit card. Form PTO-2038 is attached.
`[2 Publication Fee (N0 small entity discount permitted)
`The Director is hereby authorized to charge the required fee(s), any deficiency, or credit any
`D Advance Order - # of Copies
`02-2448overpayment, to Deposit Account Number (enclose an extra copy of this form).
`
`
`5. Change in Entity Status (from status indicated above)
`
`s
`.- .
`
`V.
`,
`,.
`,
`D a. Applicant claims SMATbENTm
`
`
`'
`v
`NOTE: The Issue Fee and ' b..'cation'ree (if re (tired)
`- acc pted from anyone other than the applicant; a registered attorney or agent; or the assignee or other party in
`. d ad-
`interest as shown by the record f the( ited ‘- ates P I
`ark Office.
`
`..me1,
`
`February 22, 2011 Date
`
`Authorized Signatu ,_
`
`D. Richard Anderson
`Typed 01' printed name 401439 Registration No.
`
`
`
`
`
`
`This collection of information is required by 37 CFR 1.311. The information is reqluired 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. T is collection is estimated to take 12 minutes to complete, including gathering, preparing, and
`submitting the completed application form to the USPTO. Time will vatrhy de endin upon the individual case. Any comments on the amount of time you require to com lete
`this form and/or su gestions for reducing this burden, should be sent to
`e C ief In ormation Officer, U.S. Patent and Trademark Office, U.S. Department of Commerce,
`.0.
`Box 1450, Alexan na, Virginia 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, PO. 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—SS (Rev. 08/07) Approved for use through 08/31/2010.
`
`OMB 0651—0033
`W
`
`U.S. Patent and Trademark Office; U.S. DEPARTNEENT OF COMIVIERCE
`
`TCL 1002, Page 4
`TCL 1002, Page 4
`
`

`

`Electronic Patent Application Fee Transmittal
`
`Application Number:
`
`12548618
`
`Filing Date:
`
`27-Aug-2009
`
`Title of Invention:
`
`LIGHT EMI'I'I'ING DEVICE AND DISPLAY
`
`First Named Inventor/Applicant Name:
`
`Yoshinori SHIMIZU
`
`Attorney Docket Number:
`
`0020-5147PU55
`
`Filed as Large Entity
`
`Utility under 35 USC111(a) Filing Fees
`
`Description
`
`Fee Code
`
`Quantity
`
`Sub-Total in
`USD($)
`
`
`
`Basic Filing:
`
`Pages:
`
`Claims:
`
`Miscellaneous-Filing:
`
`Patent-Appeals-and-lnterference:
`
`Post-Al|owance-and-Post-lssuance:
`
`Utility Appl issue fee
`
`1501
`
`1510
`
`1510
`
`Publ. Fee- early, voluntary, or normal
`
`1504
`
`1
`
`300
`
`300
`
`TCL 1002, Page 5
`TCL 1002, Page 5
`
`

`

`.
`
`.
`
`Miscellaneous:
`
`1810
`
`Total in USD (5)
`
`_
`
`Sub-Total in
`
`TCL 1002, Page 6
`TCL 1002, Page 6
`
`

`

`Electronic Acknowledgement Receipt
`
`“—
`
`——
`
`
`
`——
`
`Title of Invention:
`
`LIGHT EMI'I'I'ING DEVICE AND DISPLAY
`
`Payment information:
`
`yes—
`Submitted with Payment
`
`Charge any Additional Fees required under 37 C.F.R. Section 1.20 (Post Issuance fees)
`
`— T
`
`he 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 1.19 (Document supply fees)
`
`TCL 1002, Page 7
`TCL 1002, Page 7
`
`

`

`Charge any Additional Fees required under 37 C.F.R. Section 1.21 (Miscellaneous fees and charges)
`
`File Listing:
`
`Document DescrIptIon m Message Digest
`
`.
`
`.
`
`File Size(Bytes)/
`
`Multi
`
`Part /.zip (ifappl.)
`
`Pages
`
`Document
`
`Number
`
`Information:
`
`
`
`|ssue Fee Payment (PTO-85B)
`
`|ssueFeeTransmittal.pdf
`
`dcdb303c43cfca383386ee33520c53ab3e7
`84462
`
`Fee Worksheet (PTO-875)
`
`fee-info.pdf
`
`bfc8818b52b391bedf859300ac654ee9c8
`649e1
`
`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/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
`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/RO/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.
`
`TCL 1002, Page 8
`TCL 1002, Page 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
`Alexandria1 Virginia 223 1 3- 1450
`www.uspto.gov
`
`NOTICE OF ALLOWANCE AND FEE(S) DUE
`
`BIRCH STEWART KOLASCH & BIRCH
`POBOX747
`
`FALLS CHURCH, VA 22040—0747
`
`TRINH4 MICHAEL MANH
`
`2822
`DATE MAILED: 01/25/2011
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`08/27/2009
`12/548,618
`TITLE OF INVENTION: LIGHT EMITTING DEVICE AND DISPLAY
`
`Yoshinori SHIMIZU
`
`0020—5147PUS5
`
`7447
`
`APPLN. TYPE
`
`SMALL ENTITY
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE
`
`PREV. PAID ISSUE FEE
`
`TOTAL FEE(S) DUE
`
`DATE DUE
`
`nonprovisional
`
`NO
`
`$ 1510
`
`$300
`
`$0
`
`$1810
`
`04/25/2011
`
`THE APPLICATION IDENTIFIED ABOVE HAS BEEN EXAMINED AND IS ALLOWED FOR ISSUANCE AS A PATENT.
`PROSECUTION fl THE MERITS E 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 fl 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 SMALL ENTITY status shown above.
`
`If the SMALL ENTITY is shown as YES, verify your current
`SMALL ENTITY status:
`
`If the SMALL ENTITY is shown as NO:
`
`A. If the status is the same, pay the TOTAL FEE(S) DUE shown
`above.
`
`A. Pay TOTAL FEE(S) DUE shown above, or
`
`B. If the status above is to be removed, check box 5b on Part B -
`Fee(s) Transmittal and pay the PUBLICATION FEE (if required)
`and twice the amount of the ISSUE FEE shown above, or
`
`B. If applicant claimed SMALL ENTITY status before, or is now
`claiming SMALL ENTITY status, check box 5a on Part B - Fee(s)
`Transmittal and pay the PUBLICATION FEE (if required) and 1/2
`the ISSUE FEE shown above.
`
`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. 08/07) Approved for use through 08/31/2010.
`
`Page 1 of 3
`
`TCL 1002, Page 9
`TCL 1002, Page 9
`
`

`

`PART B - FEE(S) TRANSMITTAL
`
`Complete and send this form, together with applicable fee(s), to: M_ail Mail Stop ISSUE FEE
`Commissioner for Patents
`PO. Box 1450
`Alexandria, Virginia 22313-1450
`or m (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
`propriate. All further correspondence including the Patent, advance orders and notification of maintenance fees will be mailed to the current correspondence address as
`fpdjlcated 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)
`
`2292
`
`7590
`
`01/25/2011
`
`BIRCH STEWART KOLASCH & BIRCH
`PO BOX 747
`FALLS CHURCH, VA 22040-0747
`
`Note: A certificate of mailin can only be used for domestic mailings of the
`Fee(()5)Transmittal. This certi icate cannot be used for any other accompanying
`fiapers. Each additional paper such as an assignment or formal drawing, must
`ave lts 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.
`(Depositors name)
`
`
`
`(Signature)
`
`(Date)
`
`08/27/2009
`12/548,618
`TITLE OF INVENTION: LIGHT EMITTING DEVICE AND DISPLAY
`
`Yoshinori SHIMIZU
`
`0020-5147PUS5
`
`7447
`
`APPLN. TYPE
`
`SMALL ENTITY
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE
`
`PREV. PAID ISSUE FEE
`
`TOTAL FEE(S) DUE
`
`DATE DUE
`
`nonprovisional
`
`$1510
`
`$300
`
`$1810
`
`04/25/2011
`
`TRINH, MICHAEL MANH
`
`2822
`
`257—098000
`
`1. Change of correspondence address or indication of "Fee Address" (37
`CFR 1.363).
`3 Change of correspondence address (or Change of Correspondence
`Address rom PTO/SB/ 122) attached.
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`PTO/SB/47; Rev 03—02 or more recent) attached. Use of a Customer
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`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
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`
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`5. Change in Entity Status (from status indicated above)
`:I b. Applicant is no longer claiming SMALL ENTITY status. See 37 CFR 1.27(g)(2).
`:I 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
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`This collection of informationls required by 37 CFR 1.311. The informationls re uired to obtain or retain a benefit by the public whichls to file (and by the USPTO to process)
`an application. Confidentialityls governedby 35 U.S.C. 122 and 37 CFR 1d14. T is collectionls estimated to take 12 minutes to complete, including gathering, preparlng, and
`submitting the completed application form to the USPTO. Time will v
`eendin upon_ the individual case. Any comments on the amount of time you require to complete
`this form and/or suggestions for reducillg this burden, should be sent toaltfllfljiCef In ormation 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, PO. Box 1450,
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`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.
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`PTOL—85 (Rev. 08/07) Approved for use through 08/31/2010.
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`US. Patent and Trademark Office; US. DEPARTMENT OF COMMERCE
`TCL 1002, Page 10
`TCL 1002, Page 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
`Alexandria1 Virginia 22313-1450
`www.uspto.gov
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`12/548,618
`
`08/27/2009
`
`Yoshinori SHIMIZU
`
`0020—5147PUs5
`
`7447
`
`BIRCH STEWART KOLASCH & BIRCH
`POBOX747
`
`FALLS CHURCH, VA 22040—0747
`
`TRINH’ MICHAEL MANH
`
`2822
`DATE MAILED: 01/25/2011
`
`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 90 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 90 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.
`
`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 Customer Service Center of
`the Office of Patent Publication at
`1—(888)—786—0101
`or
`(571)-272-4200.
`
`PTOL—85 (Rev. 08/07) Approved for use through 08/31/2010.
`
`Page 3 0f 3
`
`TCL 1002, Page 11
`TCL 1002, Page 11
`
`

`

`
`
`Notice Of Allowability
`
`Application No.
`
`Applicant(s)
`
`12/548,618
`Examiner
`
`SHIMIZU ET AL.
`Art Unit
`
`Michael Trinh
`
`2822
`
`-- 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 . IX] This communication is responsive to Augusi‘27I 2009.
`
`2. IX] The allowed claim(s) is/are 1-14.
`
`3. IX] Acknowledgment is made of a claim for foreign priority under 35 U.S.C.§119( )-(d) or (f).
`a) X All
`b) D Some*
`c) [I None
`of the:
`
`1. X Certified copies of the priority documents have been received.
`
`2. El Certified copies of the priority documents have been received in Application No.
`
`3. I] Copies of the certified copies of the priority documents have been received in this national stage application from the
`
`International Bureau (PCT Rule 17.2( )).
`
`* Certified copies not received:
`
`Applicant has THREE MONTHS FROM THE “MAILING DATE” of this communication to file a reply complying with the requirements
`noted below. Failure to timely comply will result in ABANDONMENT of this application.
`THIS THREE-MONTH PERIOD IS NOT EXTENDABLE.
`
`4. I] A SUBSTITUTE OATH OR DECLARATION must be submitted. Note the attached EXAMINER’S AMENDMENT or NOTICE OF
`INFORMAL PATENT APPLICATION (PTO-152) which gives reason(s) why the oath or declaration is deficient.
`
`5. El CORRECTED DRAWINGS ( as “replacement sheets”) must be submitted.
`(a) El including changes required by the Notice of Draftsperson’s Patent Drawing Review ( PTO-948) attached
`
`1) El hereto or 2) I] to Paper No./Mai| Date
`
`(b) I] including changes required by the attached Examiner’s Amendment / Comment or in the Office action of
`Paper No./Mai| 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. I:| 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.
`
`Primary Examiner, Art Unit 2822
`
`Attachment(s)
`1. IX Notice of References Cited (PTO-892)
`
`2. El Notice of Draftperson‘s Patent Drawing Review (PTO-948)
`
`3. [Z Information Disclosure Statements (PTO/SB/08),
`Paper No./Mai| Date See Continuation Sheet
`4. I] Examiner‘s Comment Regarding Requirement for Deposit
`of Biological Material
`
`/Michae| Trinh/
`
`5. El Notice of Informal Patent Application
`
`6. El Interview Summary (PTO-413),
`Paper No./Mai| Date
`.
`7. I] Examiner‘s Amendment/Comment
`
`8. X Examiner‘s Statement of Reasons for Allowance
`
`9. D Other
`
`
`US. Patent and Trademark Office
`
`PTOL-37 (Rev. 08-06)
`
`Notice of Allowability
`
`Part of Paper No./Mai| Date 20110118
`
`TCL 1002, Page 12
`TCL 1002, Page 12
`
`

`

`Continuation Sheet (PTOL-37)
`
`Application No. 12/548,618
`
`Continuation of Attachment(s) 3. Information Disclosure Statements (PTO/SB/08), Paper No./Mai| Date: 8/27/09; 12/4/09; 7/13/10;
`11/1/10; and 12/30/10.
`
`TCL 1002, Page 13
`TCL 1002, Page 13
`
`

`

`Application/Control Number: 12/548,618
`
`Page 2
`
`Art Unit: 2822
`
`DETAILED ACTION
`
`***
`
`This office action is responsive to filling of the application on August 27, 2009. Claims
`
`l—l4 are pending.
`
`Claims l—l4 are allowed.
`
`Allowable Subject Matter
`
`The following is a statement of reasons for the indication of allowable subject matter:
`
`The references of record, alone or in combination, do not fairly anticipatively disclose
`
`1.
`
`2.
`
`3.
`
`each and every aspect of the claimed light emitting diode, or fairly make a prima facie obvious
`
`case of the claimed light emitting diode, in combination with other claimed limitations as recited
`
`in base claim 1, the inclusion of having a transparent material covering said LED chip, and a
`
`phosphor contained in said transparent material and absorbing a part of light emitted by said
`
`LED chip and emitting light of wavelength different from that of the absorbed light; wherein the
`
`main emission peak of said LED chip is within the range from 400 nm to 530 nm, a
`
`concentration of said phosphor in the vicinity of said LED chip is larger than a concentration of
`
`said phosphor in the vicinity of the surface of said transparent material, and said phosphor
`
`diffuses the light from said LED chip and suppresses a formation of an emission pattern by a
`
`partial blocking of the light by said electrode.
`**>l<>l<>l<>l<>l<>l<>l<>l<>l<>l<>l<>l<>l<>l<
`
`Any inquiry concerning this communication or earlier communications from the
`examiner should be directed to Michael M. Trinh whose telephone number is (571) 272—1847.
`The examiner can normally be reached on M—F: 9:00 Am to 5:30 Pm.
`If attempts to reach the examiner by telephone are unsuccessful, the examiner’s
`supervisor, Zandra Smith can be reached on (571) 272—2429. The central fax phone number is
`(703) 872—9306.
`Information regarding the status of an application may be obtained from the Patent
`Application Information Retrieval (PAIR) system. Status information for published applications
`may be obtained from either Private PAIR or Public PAIR. Status information for unpublished
`applications is available through Private PAIR only. For more information about the PAIR
`system, see http://pair—direct.uspto.gov. Should you have questions on access to the Private PAIR
`system, contact the Electronic Business Center (EBC) at 866—217—9197 (toll—free).
`Oacs—25A— 1
`
`/Michael Trinh/
`
`Primary Examiner, Art Unit 2822
`
`TCL 1002, Page 14
`TCL 1002, Page 14
`
`

`

`Notice of References Cited Examiner
`
`Application/Control No.
`
`12/548518
`
`Michael Trinh
`U.S. PATENT DOCUMENTS
`
`Applicant(s)/Patent Under
`Reexamination
`SHIMIZU ET AL.
`Art Unit
`
`2822
`
`Page 1 0“
`
`Document Number
`Country Code-Number- Kind Code
`
`Date
`MM -YYYY
`
`Classification
`
`:9
`
`US-5,623,181
`
`US-5,043,716
`
`US-5,847,507
`
`04-1997
`
`Suehiro et al.
`
`08-1991
`
`Latz et aI.
`
`12-1998
`
`Butterworth et aI.
`
`313/512
`
`345/82
`
`313/512
`
`
`CCCCCCCCCCq)q)q)q)q)q)q)q)q)q)
`
`
`
`Document Number
`Country Code-Number-Kind Code
`
`Date
`MM-YYYY
`
`Country
`
`FOREIGN PATENT DOCUMENTS
`
`Classification
`
`NON-PATENT DOCUMENTS
`
`Include as applicable: Author, Title Date, Publisher, Edition or Volume, Pertinent Pages)
`
`- .
`
`
`
`
`
`—I
`
`—
`I—
`I—
`
`*A copy of this reference is not being furnished with this Office action. (See MPEP § 707.05(a).)
`Dates in MM-YYYY format are publication dates. Classifications may be US or foreign.
`US. Patent and Trademark Office
`
`PTO-892 (Rev. 01-2001)
`
`Notice of References Cited
`
`Part of Paper No. 20110118
`
`TCL 1002, Page 15
`TCL 1002, Page 15
`
`

`

`
`
`Search Notes
`
`Application/Control No.
`
`Applicant(s)/Patent under
`Reexamination
`
`12/548,618
`Examiner
`
`SHIMIZU ET AL.
`Art Unit
`
`Michael Trinh
`
`2822
`
`SEARCHED
`
`SEARCH NOTES
`
`(INCLUDING SEARCH STRATEGY)
`
`1/18/2011
`
`Searched Databases in EAST
`(Attached Search History Printout)
`
`11/18/2011
`
`
`
`INTERFERENCE SEARCHED
`
`PG-PUB Interference
`Search History Printout
`
`“18/2011
`
`
`
`
`
`U.S. Patent and Trademark Office
`
`Part of Paper No. 20110118
`
`TCL 1002, Page 16
`TCL 1002, Page 16
`
`

`

`Index Of Claims
`
`12548618
`
`SHIMIZU ET AL.
`
`Application/Control No.
`
`Applicant(s)/Patent Under
`Reexamination
`
`Examiner
`
`Michael Trinh
`
`Art Unit
`
`2822
`
`IX Claims renumbered in the same order as presented by applicant
`
`I] 0 'U>
`
`T.D.
`
`
`
`
`Rejected I Cancelled n Non-Elected n Appeal
`a Allowed a Restricted _ [In Objected
`
`I]
`
`R. 1. 47
`
`CLAIM
`
`DATE
`
`Final __________
`1 ——--------
`2 _—________
`3 _—________
`4 _—________
`5 _—________
`6 n—————————
`7 _—________
`8 n—————————
`9 n—————————
`10 _—________
`11_—________
`12 _—________
`_L 00
`_L OD
`__
`_; 4s
`_; 4s
`__
`
`U.S. Patent and Trademark Office
`
`Part of Paper No.
`
`: 20110118
`
`TCL 1002, Page 17
`TCL 1002, Page 17
`
`

`

`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`BIB DATA SHEET
`
`Page 1 of 1
`
`UNITED STATES DEPARTNEENT OF CONHVIERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`PO. Box 1450
`Alexandria1 Virginia 2231