Case &:16-cv-00545 Documents Filed O3/23/16 Page lofi Page IDRIS
`
`AO 120 (Rev. 08/10)
`
`TO:
`
`REPORT ON THE
`FILING OR DETERMINATION OF AN
`ACTION REGARDING A PATENT OR
`
`TRADEMARK
`
`Mail Stop 8
`Director of the U.S. Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`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
`onthe following
`C] Trademarks or
`Xx Patents.
`( C] the patent action involves 35 U.S.C. § 292.):
`DOCKET NO.
`DATE FILED
`U.S. DISTRICT COURT
`
`PLAINTIFF
`
`Nichia Corporation
`
`March 23, 2016
`
`Central District of California
`DEFENDANT
`
`VIZIO,Inc.
`
`PATENT OR
`TRADEMARKNO.
`
`DATE OF PATENT
`OR TRADEMARK
`
`HOLDER OF PATENT OR TRADEMARK
`
`1 7,901,959
`
`2 7,915,631
`
`3 8,309,375
`
`March 8, 2011
`
`Nichia Corporation
`
`March 29, 2011
`
`Nichia Corporation
`
`November 13, 2012
`
`Nichia Corporation
`
`4 7,855,092
`
`December 21, 2010
`
`Nichia Corporation
`
`5
`
`DATE INCLUDED
`
`In the above—entitled case, the following patent(s)/ trademark(s) have been included:
`INCLUDED BY
`
`PATENT OR
`TRADEMARKNO.
`
`CT] Amendment
`DATE OF PATENT
`OR TRADEMARK
`
`C] Answer
`
`C] Cross Bill
`
`C] Other Pleading
`
`HOLDER OF PATENT OR TRADEMARK
`
`ww
`
`DECISION/JUDGEMENT
`
`In the above—entitled case, the following decision has been rendered or judgementissued:
`
`CLERK
`
`(BY) DEPUTY CLERK
`
`DATE
`
`
`
`
`
`
`
`
`
`Copy 1—Uponinitiation of action, mail this copy to Director©Copy 3—Upon termination of action, mail this copy to Director
`Copy 2—Uponfiling document adding patent(s), mail this copy to Director
`Copy 4—Casefile copy
`
`23739027.1
`
`
`
`TCL 1002, Page 1
`
`

`

`Case 8:15-cv-G1963-DMG-KES Documertd4 Filed G2/23/16 Page lofi Page 1D #41
`
`AO 120 (Rev. 08/10}
`
`TO:
`
`Mail Stop8
`
`Birector of the U.S. Patent and Trademark Office
`P.O. Box 1456
`Alexandria, VA 22313-1450
`
`TRADEMARK
`
`:
`
`|
`
`REPORTON 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 vou are hereby advised that a court action has been
`Central District of California on the folowing
`
`filedin the U.S, District Court
`| Trademarks or
`| Patents.
`the patent action involves 35 U.S.C. § 292):
`(
`(C]
`
`DATE FILED
`DOCKET NO.
`SACV15-1963-DMG-KESx
`11/23/2015
`PLAINTIFF
`
`U.S. DISTRICT COURT
`Central District of California
`
`| DEPENDANT
`
`VIZIO, Inc.
`
`| Vizo, inc.
`
`PATENT OR
`TRADEMARK NO.
`
`DATE OF PATENT
`OR TRADEMARK
`
`E
`ER
`OF PATEN
`RADEMARK
`HOLDER OF PATENT OR TRADEM
`
`OR TRADEMARK
`
`DATE INCLUDED
`
`PATENT OR
`TRADEMARK NO.
`
`DATE OF PATENT
`
`[] Cress Bil
`
`[] Other Pleading
`
`in the above-—entitled case, the following decisionhas been renderedor judgement issued:
`DECISION/JUDGEMENT
`
`Plaintiffs Notice of Disrnissal Pursuant to Federal Rules of Civil Procedure 41({a) or (c) filed
`3/21/2016.
`
`3/29/2016
`
`KIRY K. GRAY
`
`(BY) DEPUTY CLERK
`
`:
`
`G. Kami
`
`DATE
`
`Copy i-—U pon initiation of action, mail this copy to Director Copy 3-—U ponterminating ofaction, mail this capy to Director
`Copy 2--Upon filing document adding patent(s), vaail this copy to Birector Copy 4-—Case file copy
`
`TCL 1002, Page 2
`TCL 1002, Page 2
`
`

`

`
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Vatent and TrademarkOffice
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`www.uspto.g:
`Alexandria, Virginia 22313-1450
`
`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 DOCKETNO.
`
`CONFIRMATION NO.
`
`7915631
`
`0020-5147PUS5
`
`7447
`
`The projected patent numberandissue 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) wasfiled in the above-identified application, the filing date that
`determines Patent Term Adjustmentis 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) WEBsite (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 WEBsite 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
`
`

`

`PARTB- FEE(S) TRANSMITTAL
`
`Complete and send this form, together with applicable fee(s), to: Mail Mail Stop ISSUE FEE
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`or Fax (571)-273-2885
`
`
`INSTRUCTIONS: This form should beused for transmitting the ISSUE FEE and PUBLICATION FEE (if required). Blocks 1 through 5 should be completed where
`appropriate. All further correspondenceincluding the Patent, advance orders and notification of maintenance fees will be mailed to the current correspondence address as
`in
`icated unless corrected below or directed otherwise in Block 1, by (a) specifying a new correspondence address; and/or (b) indicating a separate “
`ADDRESS"for
`maintenancefee notifications.
`CURRENT CORRESPONDENCE ADDRESS(Note: Use Block 1 for any change ofaddress)
`Note: A certificate of mailing
`can only be used for domestic mailings of the
`Fee(s) Transmittal. This certificate cannot be used for any other accompanying
`papers. Each additional paper, such as an assignmentor formal drawing, must
`ave its own certificate of mailing or transmission.
`;
`oo
`_.
`{heseea tatthsFels)Transmbeingdepositedwith the United
`addressed{0 theMallStop,ISSUEPEEaddress:above, orbeing. Licsimtle
`transmitted to the USPTO (571) 273-2885, on the date indicated below.
`(Depositor's name)
`(Signature)
`(ate)
`
`01/25/2011
`
`
`
`.
`
`2292
`
`7590
`
`BIRCH STEWART KOLASCH & BIRCH, Lip
`PO BOX 747
`FALLS CHURCH, VA 22040-0747
`
`08/27/2009
`12/548,618
`TITLE OF INVENTION: LIGHT EMITTING DEVICE AND DISPLAY
`
`Yoshinori SHIMIZU
`
`0020-5147PUS5
`
`7447
`
`
`
`
`
`
`
`APPLN. TYPE PUBLICATION FEE DUE|PREV.PAID ISSUE FEESMALL ENTITY ISSUE FEE DUE TOTAL FEE(S) DUE DATE DUE
`
`
`
`
`
`nonprovisional
`EXAMINER
`
`NO
`
`TRINH, MICHAEL MANH
`
`$1510
`ART UNIT
`
`2822
`
`$300
`CLASS-SUBCLASS
`
`257-098000
`
`$0
`
`$1810
`
`04/25/2011
`
`
`2. Forprinting on the patentfront page,list
`1. Change of correspondenceaddressor indication of "Fee Address" (37
`CER 1.363).
`(1) the names of up to 3 registered patent attorneys
`(_] Change of correspondence address (or Change of Correspondence
`or agents OR,alternatively,
`
`Address form PTO/SB/122)attached.
`2.
`(2) the nameof a single firm (having as a member a
`
`registered attorney or agent) and the names of up to
`(LI "Bee Address" indication (or "Fee Address" Indication form
`
`PTO/SB/47; Rev 03-02 or more recent) attached. Use of a Customer
`3
`2 registered patent attorneys or agents. [fnonameis
`listed, no name will be printed.
`
`
`Numberis required.
`
`3, ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT (printor type)
`If an assignee is identified below, the document has been filed for
`PLEASE NOTE:Unless an a ‘signee is identified below, no assignee data will appear on the patent.
`recordation as set forth in 37 CFR
`3.11. Completion of this form is NOT a substitute for filing an assignment.
`(A) NAME OF ASSIGNEE
`(B) RESIDENCE:(CITY and STATE OR COUNTRY)
`
`
`1 Birch Stewart Kolasch & Birch, LLP
`
`
`NICHIA CORPORATION
`
`Anan-shi, JAPAN
`
`Please check the appropriate assignee category or categories (will not be printed on the patent) :
`
`[LV individual Xd Corporation or otherprivate group entity [J Government
`
`4b. Payment of Fee(s): (Please first reapply any previously paid issue fee shown above)
`4a. The following fee(s) are submitted:
`[LWA checkis enclosed.
`Issue Fee
`| Paymentby credit card. Form PTO-2038 is attached.
`(XI Publication Fee (No small entity discount permitted)
`The Director is hereby authorized to charge the required fee(s), any deficiency, or credit any
`(I) Advance Order- #of Copies
`
`overpayment, to Deposit Account Number_02-2448 (enclose an extra copy ofthis form).
`5. Change in Entity Status (from status indicated above)
` 5,See,
`
`/ fo LY. Applicant is no longer claiming SMALL ENTITY status. See 37 CFR 1.27(g)(2).
`
`Cy a. Applicant claims SMAKEENT, PIYsta 37 |
`
`
`
`NOTE:TheIssue Fee and Pubiication\fee (if reguired) Wf
`lL
`ngt Be acc épted from anyoneotherthan the applicant; a registered attorney or agent; or the assignee orotherparty in
`
`interest as shown by the recordNof the Waited Ftates Pafent
`ayid
`Trademark Office.
`
`ARAL
`
`
`February 22, 2011
`
`Date
`Authorized Signature
`Typed or printed name
`Registration No.
`40,439
`This collection of information is required by 37 CFR 1.311. The informationis required to obtain or retain a benefit by the public whichisto file (and by the USPTOto 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 de ending upon the individual case. Any comments on the amountof 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 Actof 1995, no persons are required to respondto a collection of information unless it displays a valid OMB control number.
`
`D. Richard Anderson
`
`PTOL-85 (Rev. 08/07) Approved for use through 08/31/2010.
`
`OMB0651-0033
`
`(ox
`
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`
`TCL 1002, Page 4
`TCL 1002, Page 4
`
`

`

`Electronic Patent Application Fee Transmittal
`
`Title of Invention:
`
`LIGHT EMITTING DEVICE AND DISPLAY
`
`fetennee
`
`1504
`
`Utility under 35 USC 111(a) Filing Fees
`
`Description
`
`Fee Code
`
`Quantity
`
`Sub-Total in
`USD(S$)
`
`Basic Filing:
`
`Miscellaneous-Filing:
`
`Patent-Appeals-and-Interference:
`
`Post-Allowance-and-Post-Issuance:
`
`Utility Appl issue fee
`
`1501
`
`Publ. Fee- early, voluntary, or normal
`
`1510
`
`300
`
`1
`
`1510
`
`300
`
`TCL 1002, Page 5
`TCL 1002, Page 5
`
`

`

`_
`
`1810
`
`Total in USD (S$)
`
`.
`
`Sub-Total in
`
`TCL 1002, Page 6
`TCL 1002, Page 6
`
`

`

`
`
`a i
`
`Electronic AcknowledgementReceipt
`
`mine
`
`Title of Invention:
`
`LIGHT EMITTING DEVICE AND DISPLAY
`
`ee
`
`Paymentinformation:
`
`Submitted with Payment
`
`yes
`
`Charge any Additional Fees required under 37 C.F.R. Section 1.20 (Post Issuance fees)
`
`Deposit Account
`
`022448
`
`TheDirector of the USPTO is hereby authorized to charge indicated fees and credit any overpaymentas 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
`
`Information:
`
`gs
`
`File Size(Bytes)/
`
`Multi
`
`Pages
`
`Issue Fee Payment (PTO-85B)
`
`IssueFeeTransmittal.pdf
`
`dcdb303c43cfca383386ee33520c53ab3e7
`84462
`
`the application.
`
`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/105)will be issued in due course, subject to prescriptions concerning
`national security, and the date shownon this AcknowledgementReceiptwill establish the international filing date of
`
`Fee Worksheet (PTO-875)
`
`fee-info.pdf
`
`bfc8818b52b391 bb0df859300ac654ee9c8|
`649e1
`
`This AcknowledgementReceipt evidences receipt on the noted date by the USPTOofthe 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 componentsfora 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 shownonthis
`AcknowledgementReceiptwill establish thefiling 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/903indicating acceptanceof 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.
`
`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
`Alexandria, Virginia 22313-1450
`www.uspto.gov
`
`NOTICE OF ALLOWANCE AND FEE(S) DUE
`
`BIRCH STEWART KOLASCH & BIRCH
`PO BOX 74
`FALLS CHURCH,VA 22040-0747
`
`TRINH, MICHAEL MANH
`
`on
`DATE MAILED: 01/25/2011
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKETNO.
`
`CONFIRMATIONNO.
`
`08/27/2009
`12/548,618
`TITLE OF INVENTION: LIGHT EMITTING DEVICE AND DISPLAY
`
`Yoshinori SHIMIZU
`
`0020-5147PUSS
`
`7447
`
`
`
`
`
`
`
`APPLN. TYPE PUBLICATION FEE DUE|PREV. PAID ISSUE FEESMALL ENTITY ISSUE FEE DUE 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 ON THE MERITS IS CLOSED. THIS NOTICE OF ALLOWANCEIS NOT A GRANT OF PATENT RIGHTS.
`THIS APPLICATION IS SUBJECT TO WITHDRAWAL FROM ISSUE AT THE INITIATIVE OF THE OFFICE OR UPON
`PETITION BY THE APPLICANT. SEE 37 CFR 1.313 AND MPEP 1308.
`
`THE ISSUE FEE AND PUBLICATION FEE (IF REQUIRED) MUST BE PAID WITHIN THREE MONTHS FROM THE
`MAILING DATE OF THIS NOTICE OR THIS APPLICATION SHALL BE REGARDED AS ABANDONED.—THIS
`STATUTORY PERIOD CANNOT BE EXTENDED.
`SEE 35 U.S.C. 151. THE ISSUE FEE DUE INDICATED ABOVE DOES
`NOT REFLECT A CREDIT FOR ANY PREVIOUSLY PAID ISSUE FEE IN THIS APPLICATION.
`IF AN ISSUE FEE HAS
`PREVIOUSLY BEEN PAID IN THIS APPLICATION (AS SHOWN ABOVE), THE RETURN OF PART B OF THIS FORM
`WILL BE CONSIDERED A REQUEST TO REAPPLY THE PREVIOUSLY PAID ISSUE FEE TOWARD THE ISSUE FEE NOW
`DUE.
`
`HOW TO REPLYTO THIS NOTICE:
`
`I. Review the SMALL ENTITYstatus shown above.
`
`If the SMALL ENTITYis shown as YES, verify your current
`SMALLENTITYstatus:
`
`If the SMALL ENTITYis shown as NO:
`
`A. If the status is the same, pay the TOTAL FEE(S) DUE shown
`above.
`
`A. Pay TOTAL FEE(S) DUE shownabove, 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 ENTITYstatus before, or is now
`claiming SMALL ENTITYstatus, 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,orits equivalent, must be completed and returned to the United States Patent and Trademark Office
`(USPTO) with your ISSUE FEE and PUBLICATIONFEE (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 equivalentof Part B.
`
`IH. All communications regarding this application must give the application number. Please direct all communications prior to issuance to
`Mail Stop ISSUE FEE unless advisedto the contrary.
`
`IMPORTANT REMINDER: Utility patents issuing on applications filed on or after Dec. 12, 1980 may require payment of
`maintenancefees. 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 sendthis form, together with applicablefee(s), to: Mail Mail Stop ISSUE FEE
`Commissioner for Patents
`P.O. Box 1
`Alecandvia Virginia 22313-1450
`
`or Fax (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
`ppropriate. 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
`maintenance fee notifications.
`CURRENT CORRESPONDENCE ADDRESS(Note: Use Block 1 for any changeof address)
`
`2292
`
`7590
`
`01/25/2011
`
`BIRCH STEWART KOLASCH & BIRCH
`PO BOX 747
`FALLS CHURCH, VA 22040-0747
`
`can only be used for domestic mailings of the
`Note: A certificate of mailing
`Fee(s) Transmittal. This certificate cannot be used for any other accompanying
`papers. Each additional paper, such as an assignment or formal drawing, must
`ave its own certificate of mailing or transmission.
`Certificate of Mailing or Transmission
`I hereby certify that this Fee(s) Transmittal is being deposited with the United
`States Postal Service with sufficient postage forfirst 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 DOCKETNO.
`
`CONFIRMATIONNO.
`
`08/27/2009
`12/548,618
`TITLE OF INVENTION: LIGHT EMITTING DEVICE AND DISPLAY
`
`Yoshinori SHIMIZU
`
`0020-5147PUSS
`
`7447
`
`
`
`
`
`
`
`APPLN. TYPE PUBLICATION FEE DUE|PREV. PAID ISSUE FEESMALL ENTITY ISSUE FEE DUE TOTAL FEE(S) DUE DATE DUE
`
`
`
`
`
`nonprovisional
`
`EXAMINER
`
`TRINH, MICHAEL MANH
`
`$1510
`
`ART UNIT
`
`2822
`
`1. Change of correspondence address or indication of "Fee Address" (37
`CFR 1.363).
`Lj Change of correspondence address (or Change of Correspondence
`Address form PTO/SB/122) attached.
`LI "Fee Address" indication (or "Fee Address” Indication form
`PTO/SB/47; Rev 03-02 or more recent) attached. Use of a Customer
`Numberis required.
`
`
`
`
`
`$300
`
`CLASS-SUBCLASS
`
`257-098000
`
`$1810
`
`04/25/2011
`
`2. For printing on the patentfront page,list
`(1) the names of up to 3 registered patent attorneys
`or agents OR,alternatively,
`(2) the name ofa single firm (having as a member a
`2
`registered attorney or agent) and the namesof up to
`2 registered patent attorneys or agents. If no nameis
`listed, no namewill be printed.
`
`
`
`3
`
`3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT(printor type)
`If an assignee is identified below, the document has beenfiled 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) NAMEOF ASSIGNEE
`(B) RESIDENCE:(CITY and STATE OR COUNTRY)
`
`Please check the appropriate assignee category or categories (will not be printed on the patent) :
`
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`U.S. Patent and Trademark Office; U.S. 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
`Alexandria, Virginia 22313-1450
`www.uspto.gov
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKETNO.
`
`CONFIRMATIONNO.
`
`12/548,618
`
`08/27/2009
`
`Yoshinori SHIMIZU
`
`0020-5 147PUSS
`
`7447
`
`BIRCH STEWART KOLASCH & BIRCH
`PO BOX 74
`FALLS CHURCH,VA 22040-0747
`
`TRINH, MICHAEL MANH
`
`on
`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 Adjustmentis the filing date of the most recent CPA.
`
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`(PAIR) WEBsite (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
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`or
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`
`PTOL-85 (Rev. 08/07) Approved for use through 08/31/2010.
`
`Page 3 of 3
`
`TCL 1002, Page 11
`TCL 1002, Page 11
`
`

`

`
`
`Notice of Allowability
`
`Application No.
`
`Applicant(s)
`
`12/548,618
`Examiner
`
`Michael Trinh
`
`SHIMIZU ET AL.
`Art Unit
`
`2822
`
`-- The MAILING DATEof this communication appears on the cover sheet with the correspondence address--
`All claims being allowable, PROSECUTION ON THE MERITSIS (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. XJ This communication is responsive to August 27, 2009.
`
`2. X] The allowed claim(s)is/are 1-14.
`
`3. KX] Acknowledgmentis made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
`a) KX] All b)[)Some* c)[None_ofthe:
`
`1. ] Certified copies of the priority documents have been received.
`2. [1 Certified copies of the priority documents have been received in Application No.
`3. C1 Copiesof 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 ofthis application.
`THIS THREE-MONTH PERIOD IS NOT EXTENDABLE.
`
`4. (.] A SUBSTITUTE OATH OR DECLARATIONmust be submitted. Note the attached EXAMINER’S AMENDMENTor NOTICE OF
`INFORMAL PATENT APPLICATION (PTO-152) which gives reason(s) why the oath or declaration is deficient.
`
`5. [] CORRECTED DRAWINGS ( as “replacement sheets”) must be submitted.
`(a) (J including changes required by the Notice of Draftsperson’s Patent Drawing Review ( PTO-948) attached
`1) [1] hereto or 2) [] to Paper No./Mail Date
`.
`(b) (J including changes required by the attached Examiner's Amendment / Comment or in the Office action of
`Paper No./Mail Date
`.
`Identifying indicia such as the application number (see 37 CFR 1.84(c)) should be written on the drawingsin 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. [] 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. X] Notice of References Cited (PTO-892)
`2. [1 Notice of Draftperson's Patent Drawing Review (PTO-948)
`
`3. X] Information Disclosure Statements (PTO/SB/08),
`Paper No./Mail Date See Continuation Sheet
`4. (] Examiner's Comment Regarding Requirement for Deposit
`of Biological Material
`
`5. [J Notice of Informal Patent Application
`6. [J Interview Summary (PTO-413),
`Paper No./Mail Date
`.
`7. OJ Examiner's Amendment/Comment
`
`8. XX] Examiner's Statement of Reasonsfor Allowance
`
`9. [] Other
`
`.
`
`/Michael Trinh/
`
`U.S. Patent and Trademark Office
`
`PTOL-37 (Rev. 08-06)
`
`Notice of Allowability
`
`Part of Paper No./Mail 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./Mail 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
`Art Unit: 2822
`
`DETAILED ACTION
`
`Page 2
`
`*k*
`
`"This office action is responsiveto filling of the application on August 27, 2009. Claims
`
`1-14 are pending.
`
`Claims 1-14 are allowed.
`
`Allowable Subject Matter
`
`The following is a statement of reasonsfor the indication of allowable subject matter:
`
`The references of record, alone or in combination, do notfairly anticipatively disclose
`
`1.
`
`2.
`
`3.
`
`each and every aspectof the claimedlight 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
`
`phosphorcontained in said transparent material and absorbing a part of light emitted by said
`
`LEDchip 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 phosphorin the vicinity of said LED chipis larger than a concentration of
`
`said phosphorin 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.
`HS 2 HS 2S 2 2 2S 2 2 2S 2 Ie 2S 2K 2 aS
`
`Any inquiry concerning this communication or earlier communications from the
`examiner should be directed to Michael M. Trinh whosetelephone numberis (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 numberis
`(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
`maybe 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.
`
`12/548,618
`
`Michael Trinh
`U.S. PATENT DOCUMENTS
`
`Applicant(s)/Patent Under
`Reexamination
`SHIMIZU ET AL.
`Art Unit
`2922
`
`Page 1 of 1
`
`Document Number
`Country Code-Number-Kind Code
`
`Date
`MM-YYYY
`
`04-1997
`
`Suehiro etal.
`
`08-1991
`
`12-1998
`
`Butterworth etal.
`
`A
`
`Cc
`
`US-5,623,181
`
`US-5,043,716
`
`US-5,847,507
`
`US-
`
`US-
`
`US-
`
`US-
`
`US-
`
`US-
`
`US-
`
`US-
`
`2© ©
`
`US-
`
`US-
`
`| U *
`
`FOREIGN PATENT DOCUMENTS
`
`Document Number
`Country Code-Number-Kind Code
`
`Date
`MM-YYYY
`
`Country
`
`Classification
`
`A copyof this reference is not being furnished with this Office action. (See MPEP § 707.05(a).)
`Dates in MM-YYYYformat are publication dates. Classifications may be US orforeign.
`U.S. 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
`
`SEARCHED
`
`Application/Control No.
`
`12/548,618
`Examiner
`
`Applicant(s)/Patent under
`Reexamination
`
`SHIMIZU ETAL.
`Art Unit
`
`Michael Trinh
`
`2822
`
`SEARCH NOTES
`(INCLUDING SEARCH STRATEGY)
`—fo[a
`
`257
`
`1/18/2011
`
`MT
`
`hed Datab
`S
`in EAST
`earched
`Databasesin
`(Attached Search History Printout)
`
`11/18/2011
`
`MT
`
`Tarfo[ower[or
`
`
`
`Search History Printout
`
`INTERFERENCE SEARCHED
`
`Class
`
`Date
`
`Examiner
`
`PG-PUB Interference
`
`U.S. Patent and TrademarkOffice
`
`Part of Paper No. 20110118
`
`TCL 1002, Page 16
`TCL 1002, Page 16
`
`

`

`_ O
`ae
`
`Application/Control No.
`
`Index of Claims
`
`12548618
`
`Applicant(s)/Patent Under
`Reexamination
`SHIMIZU ET AL.
`
`Examiner
`
`Michael Trinh
`
`Rejected = Cancelled
`2 Allowed +|Restricted
`
`
`
`1 Claims renumberedin the sameorder as presented by applicant
`
`Ol CPA
`
`O T.D.
`
`O1
`
`#R.1.47
`
`CLAIM
`
`DATE
`
`e —_
`
`}/@OINIOD]oO]BR]ow]pp -
`
`= a
`
`= a
`
`
`
`4 wot ={|JFff
`
`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
`
`Page 1 of 1
`
`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
`
`BIB DATA SHEET
`
`SERIAL NUMBER
`12/548,618
`
`FILINGor. 371(c)
`08/27/2009
`
`RULE
`
`CONFIRMATION NO. 7447
`
`GROUPARTUNIT ATTORNEY DOCKET
`0020-5147PUS5
`
`APPLICANTS
`Yoshinori SHIMIZU, Naka-gun, JAPAN;
`Kensho Sakano, Anan-shi, JAPAN;
`Yasunobu Noguchi, Naka-gun, JAPAN;
`Toshio Moriguchi, Anan-shi, JAPAN;
`RK CONTINUING DATA ERKKEKEEKERERERERERERERERER
`This application is a DIV of 12/028,062 02/08/2008 PAT 7,682,848
`which is a DIV of 10/609,402 07/01/2003 PAT 7,362,048
`which is a DIV of 09/458,024 12/10/1999 PAT 6,614,179
`which is a DIV of 09/800,315 04/28/1999 PAT 6,069,440
`which is a DIV of 08/902, 725 07/29/1997 PAT 5,998,925
`
`RK FOREIGN APPLICATIONS KEEKEKREKERERERERERERERERER
`JAPAN