Case mam/"00545 Dogma-3m 5 Fiied oafzfilifi Page 1 of l Page ED #1175
`
`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.
`
`D 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%ntit1ed 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
`
`
`
`

`

`Case 8:15ucv—0196343EttG—KES Document 14 Fiiett GEIEBIM Page 1 0f 1 Page ED #:41
`
`A0 12(2- (Rev. 08/10)
`
`TO :
`
`Matt Step 3
`Director afthe HST Patent and Trademark Office
`Pi}. Box 1450
`Akxandria, VA 223134459
`
`TRADEMARK
`
`REPORT 0N THE
`FILING 0R DETERMINATTGN OF AN
`ACTIGN REGARDENG A PATENT 0R
`
`En Cumpliancs with 35 USC § 290 and/or 15 USE. § 1116 yea are hereby advised that a mutt action has been
`
`Centre! District 0? Catitomia
`
`{Had intite US. District Court
`
`on Lita fellewitlg
`
`BE 't‘t'actsmarks (it
`
`[3 Patents.
`
`( Z the patent emits-n im/(itves 35 USE. § 292.):
`
`DOCKET NO.
`
`DATE EELED
`
`Us. DESTRHCT COURT
`
`SACVT 5'1 963~DMG—K 'Sx
`PLATN’I‘EFF
`
`11/23/2015
`
`.
`
`DEFENDANT
`
`Centrai District of Catttomta
`
`VEZEO, inc.
`
`Vizo, inc.
`
`PATENT OR
`TRADEMARK NO
`
`DATE OF PATENT
`OR TRADEMARK
`
`r t ARK
`;
`F .‘T‘N‘
`E
`‘
`AOLDE‘O P“ RT OR “ME”
`
`OR TRADEMARK
`
`DATE INCLUDED
`
`PATENT OR
`TRADER/i ARK NO.
`
`DATE OF FATE NT
`
`[j (Ira-55; Bill
`
`[:1 Other Pisaeiittg
`
`in the abuve -----etttitlsd casa, ttta feiiuwitlg decision has been rendered orjudgemant issued:
`DECISION/JUDGERTENT
`
`Ptaintttt‘s Notice at Dismissai Pursuant to Federai Rates of Cit/ii Procedure 4t (21) or (c) flied
`3/21/2016.
`
`3/23/2016
`
`KERY K. GRAY
`
`(BY) DEPUTY CLERK
`
`a. Kami
`
`DATE
`
`Copy it-----{titan initiation (if actitm, mail this may ta) Directar Cam 3------ 15min termination of actitm, maii this (:(tpy tit Birectttr
`{may 2~----Upon filing attainment adding patenfls), maifl this mpy tit Directtsr Cam 4------Casts: file (:(tpy
`
`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.
`
`12/942,792
`
`ISSUE DATE
`
`11/13/2012
`
`2292
`
`7590
`
`10/24/2012
`
`BIRCH STEWART KOLASCH & BIRCH
`PO BOX 747
`FALLS CHURCH, VA 22040-0747
`
`PATENT NO.
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`8309375
`
`0020-5147PUs12
`
`2357
`
`The projected patent number and issue date are specified above.
`
`ISSUE NOTIFICATION
`
`Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)
`(application filed on or after May 29, 2000)
`
`The Patent Term Adjustment is 0 day(s). Any patent to issue from the above-identified application will include
`an indication of the adjustment on the front page.
`
`If a Continued Prosecution Application (CPA) was filed in the above-identified application, the filing date that
`determines Patent Term Adjustment is the filing date of the most recent CPA.
`
`Applicant will be able to obtain more detailed information by accessing the Patent Application Information
`Retrieval (PAIR) WEB site (http://pair.uspto. gov).
`
`Any questions regarding the Patent Term Extension or Adjustment determination should be directed to the
`Office of Patent Legal Administration at (571)-272-7702. Questions relating to issue and publication fee
`payments should be directed to the Application Assistance Unit (AAU) of the Office of Data Management
`(ODM) at (571)-272-4200.
`
`APPLICANT(S) (Please see PAIR WEB site http://pair.uspto. gov for additional applicants):
`
`Yoshinori Shimizu, Naka—gun, JAPAN;
`Kensho Sakano, Anan-shi, JAPAN;
`Yasunobu Noguchi, Naka-gun, JAPAN;
`Toshio Moriguchi, Anan-shi, JAPAN;
`
`The United States represents the largest, most dynamic marketplace in the world and is an unparalleled location
`for business investment, innovation, and commercialization of new technologies. The USA offers tremendous
`resources and advantages for those who invest and manufacture goods here. Through SelectUSA, our nation
`works to encourage and facilitate business investment. To learn more about why the USA is the best country in
`the world to develop technology, manufacture products, and grow your business, visit SelectUSA.gov.
`
`IR103 (Rev. 10/09)
`
`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
`or E3;
`(571)-273-2885
`
`INSTRUCTIONS: This form should be used for transmitting the ISSUE FEE and PUBLICATION FEE (if required). Blocks 1
`through 5 should be completed where
`
`ap ropriate. All further correspondence including the Patent, advance orders and notification of maintenance fees will be mailed to the current corres ondence address asIn
`icated unless corrected below or directed otherwise in Block l, by (a) specifying a new correspondence address; and/or (b) indicating a separate "
`E ADDRESS" for
`maintenance fee notifications.
`,
`
`
`CURRENT CORRESPONDENCE ADDRESS (Now: Use Block 1 for any change of addreSS)
`
`2292
`
`7590
`
`07/12/2012
`
`BIRCH STEWART KOLASCH & BIRCH , LLP
`PO BOX 747
`LS CHURCH VA 22040 0747
`,
`-
`FAL
`
`APPLICATION NO.
`
`FILING DATE
`
`1 l/09/2010
`12/942,792
`TITLE OF INVENTION: LIGHT EMITTING DEVICE AND DISPLAY
`
`Note: A certificate of maiIin 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 drawing, must
`ave its own certificate of mailing or transmission
`
`Certificate 0‘ Mailing 0r Transmission
`that this Fee(s Transmittal is being deposited with the United
`I hereb ' certi
`Séaitxes
`(SSW thWiT/I: witsh squicheéiltnglsEtEgeggr first gloass mailb? an fenvelope
`e 1
`a1
`to
`a
`ress a
`ve, or
`ing acsirru e
`a
`esse
`to
`transmitted to the USPTO (5)71) 273—2885, on the date indicated below.
`
`
`
`FIRST NANIED INVENTOR
`
`ATTORNEY DOCIGST NO.
`
`CONFIRMATION NO.
`
`
`
`
`Yoshinori Shimizu
`
`0020-5147PUS12
`
`2357
`
`APPLN. TYPE
`
`SMALL ENTITY
`
`IS SUE FEE DUE
`
`PUBLICATION FEE DUE PREV. PAID IS SUE FEE
`
`TOTAL FEE(S) DUE
`
`DATE DUE
`
`nonprovisional
`
`NO
`
`$4449 ['17 O ,
`
`$300
`
`$0
`
`$9949”
`52070.
`
`10/12/2012
`
`MUSTAPHA, ABDULFATI‘AH B
`
`2812
`
`438—021000
`
`
`1. Change of correspondence address or indication of "Fee Address" (37
`2. For printing on the patent front page, list
`
`
`
`CFR 1.363).
`1 Birch, Stewart, Kolasch & Birch, LLP
`(1) the names of up to 3 registered patent attorneys
`
`or agents OR, alternatively,
`'3 Change of corres
`ndence address (or Change of Correspondence
`
`Address orm PTO/ B/ 122) attached.
`(2) the name of a single firm (having as a member a
`
`registered attorney or agent) and the names of up to
`'3 "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
`
`Number is required.
`listed, no name will be printed.
`
`3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
`If an assignee is identified below, the document has been filed for
`PLEASE NOTE: Unless an assi nee is identified below, no assignee data will appear on the patent.
`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
`
`2
`
`3
`
`
`
`
`
`
`
`'3 IndividualPlease check the appropriate assignee category or categories (will not be printed on the patent) : '2 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:
`D A check is enclosed.
`[XI Issue Fee
`[3 Payment by credit card. Form PTO-2038 is attached.
`E Publication Fee (No small entity discount permitted)
`MThe Director is hereby authorized to charge the aeguired fee(s), any deficiency, or credit any
`1:] Advance Order — # of Copies
`
`48overpayment, to Deposrt Account Number 02- (enclose an extra copy of this form).
`
`5. Change in Entity Status (from status indicated above)
`D b. Applicant is no longer claiming SMALL ENTITY status. See 37 CFR 1.27(g)(2).
`p
`'3 a. Applicant claims SMALL
`.
`
`
`NOTE: The Issue Fee and Pu ‘
`.
`
`
`
`
`
` Authorized Signature Date October 11, 2012
`
`
`40,439
`Registration No.
`D. Richard Anderson
`Typed or printed name
`
`
`
`
`This collection of information is required by 37 CFR 1.31 l . The information is re uired 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 L14.
`is collection is estimated to take I2 minutes to complete, including gathering, preparing, and
`submitting the completed ap lication form to the USPTO. Time will V
`dc
`ndin upon the individual case. Any comments on the amount of time you require to com lete
`this form and/or su gestions or reducing this burden, should be sent to
`e C ief In ormation Officer, US. Patent and Trademark Office, US. Department of CommercefPO.
`Box 1450, Alexan ria. Virginia 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, PO. Box 1450,
`Alexandria, Virginia 223 1 3— 1450.
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number.
`
`PTOL—85 (Rev. 02/11) Approved for use through 08/31/2013.
`
`OMB 0651-0033
`
`
`US. Patent and Trademark Office; L'.S. DEPARTMENT OF COMMERCE
`gt.
`
`TCL 1002, Page 4
`
`

`

`Electronic Patent Application Fee Transmittal
`
`Application Number:
`
`12942792
`
`Filing Date:
`
`09-Nov-2010
`
`Title of Invention:
`
`LIGHT EMI'I'I'ING DEVICE AND DISPLAY
`
`First Named Inventor/Applicant Name:
`
`Yoshinori Shimizu
`
`Attorney Docket Number:
`
`0020-5147PUS12
`
`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
`
`1770
`
`1770
`
`Publ. Fee- early, voluntary, or normal
`
`1504
`
`1
`
`300
`
`300
`
`TCL 1002, Page 5
`
`

`

`.
`
`.
`
`Miscellaneous:
`
`2070
`
`Total in USD (5)
`
`_
`
`Sub-Total in
`
`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 1.17 (Patent application and reexamination processing fees)
`
`—Authorized User
`The Director of the USPTO is hereby authorized to charge indicated fees and credit any overpayment as follows:
`
`ANDERSON, RICHARD D.
`
`Charge any Additional Fees required under 37 C.F.R. Section 1.16 (National application filing, search, and examination fees)
`
`TCL 1002, Page 7
`
`

`

`Charge any Additional Fees required under 37 C.F.R. Section 1.19 (Document supply fees)
`
`File Listing:
`
`Document
`
`.
`
`.
`
`File Size(Bytes)/
`
`Multi
`
`Pages
`
`lssue Fee Payment (PTO-85B)
`
`20121011|ssueFee.pdf
`
`115405
`
`3a11e84b22057a224780d23d6b7a272619
`0d4496
`
`Information:
`
`Fee Worksheet (SB06)
`
`fee-info.pdf
`
`fce7l 00ffl 5178123825908d61f309df9c7 ‘
`f8
`
`
`
`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.
`
`Total Files Size (in bytes)
`
`147140
`
`New Applications Under 35 U.S.C. 111
`Ifa 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
`Ifa 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
`Ifa 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
`
`

`

`PTO/SBIOBa (07—09)
`Approved for use through 07/31/2012. OMB 0651—0031
`US. Patent and Trademark Office: US. DEPARTMENT OF COMMERCE
`Under the Paperwork reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`
`Substitute for form 1449A/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`icaion umber
`mots. N
`'
`Firsmamed inventor
`
`Complete if Known
`
`
`
`(Use as many sheets as necessary)
`
`Examiner Name
`
`A.B. MUSTAPHA
`
`U.S. PATENT DOCUMENTS
`Name of Patentee or
`Pages, columns, Lines, Where
`Document Number
`Publication Date
`‘
`Examiner
`
`
`
`
`
`
`Applicant of Cited Document
`
`initial '
`‘
`2 ‘
`MM-DD-YYYY
`.
`Relevant Passages or Relevant
`
`
`Number - Kind Code (if known)
`Figures Appear
`
`
`US3 882, 502
`
`0506-1975
`
`Peabody et aI. —
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Considered
`
`
`FOREIGN PATENT DOCUMENTS
`
`Examiner
`lnitial ,
`
`_
`
`Foreign Patent Document
`
`Country” Number4Kind Code (if knows
`Code
`
`Publication Date
`MM-DD-YYYY
`
`Name_of Patentee or
`Applicant of Cited
`Document
`
`Pages, columns, Lines, Wher-
`elevant Passages or Relevant
`‘
`Figures Appear
`
`
`
`
`
`
`
`Date
`
`,
`‘
`,
`Examiner
`iAbdulfattel‘i Mustache
`Signature
`" EXAMINER: lnitial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance and not
`Considered. include copy of this form with next communication to applicant. 1. Applicant‘s unique citation design number (optional). 2 See Kinds Codes of
`USPTO patent Documents. at www.uspto.gov or MPEP 901.04. 3. Enter Office that issued the document, by the two-letter code (WlPO Standard ST.3). 4. For
`Japanese patent documents, the indication of the year of the reign of the Emperor must precede the serial number of the patent document. 5. Kind of document by
`the appropriate symbols as indicated on the document under WlPO Standard ST. 16 if possible. 6. Appiicant is to place a check mark here if English language
`Translation is attached.
`This collection of information is required by 37 CFR 1.97 and 1.98. The information is required to obtain or retain a benefit by the public which is to file (and by the
`USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 2 hours to complete,
`including gathering, preparing, and submitting the completed application form 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, US. Patent
`and Trademark Office, PO Box 1450 Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THlS ADDRESS.
`SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`If you need assissfance in comp/efing the form, call 1-800-PTO-9199 (1-800—786. 9199) and selecf option 2.
`
`TCL 1002, Page 9
`
`

`

`
`
`PTO/SB/08b (07—09)
`Approved for use through 07/31/2012. OMB 0651-0031
`US. Patent and Trademark Office: US. DEPARTMENT OF COMMERCE
`Under the Paperwork reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`
`Substitute for form 144QB/PTO
`Complete if Known
`
`
`Application Number
`12/942,792
`
`INFORMATION DISCLOSURE
`
`
`
`1 1—09-1 0
` Filing Date
`
`
`STATEMENT BY APPLICANT
`
`
`First Named Inventor
`Yoshinori Shimizu
`
`
`
`(Use as many sheets as necessary)
`
`Examiner Name
`AB. MUSTAPHA
`
`
`
`0020—5147PUS12
`
`
`
`
`NON PATENT LITERATURE DOCUMENTS
`
`Examiner
`initial *
`
`Clte
`.
`
`include name of the author (in CAPlTAL LETTERS). title of the article (when appropriate), title of the
`item (book, magazine, journal, serial, symposium, catalog, etc.), date, page(s), volume-issue number(s)_
`publisher, city and/or country where published.
`
`US. Office Action in co-pending application no. 12/689,681 dated September 7, 2012.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`IO/Od/dOiQ
`
`Date
`hi ;
`'
`/
`Examiner
`Considered
`'
`'AbGUIIaIIa'
`'
`Signature
`’ EXAMINER: lnitial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance and not
`considered. Include copy of this form with next communication to applicant.
`1. Applicants unique citation designation number. (optional) 2. Applicant is to place a check mark here if English language Translation is attached.
`This collection of information is required by 37 CFR 1.97 and 1.98. The information is required to obtain or retain a benefit by the public which is to file (and by the USPTO
`to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 2 hours to complete, including gathering,
`preparing, and submitting the completed application form 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 Cheif lnfonnation Officer, US. Patent and Trademark Office,
`PO. Box 1450 Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS.
`SEND TO: Commissioner for Patents, PO. Box 1450, Alexandria, VA 22313-1450.
`Ifyou need assisstance in completing the form, call 1-800-PTO-9199 and select option 2.
`
`I”,
`
`4
`
`TCL 1002, Page 10
`
`

`

`PTO/SB/17 (09-11)
`Approved for use through 01/31/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Pa-erwork Reduction Act of 1995 no ersons are reuired to res-0nd to a collection of information unless it dis-Ia s a valid OMB control number
`
`Application Number
`Filing Date
`First Named Inventor
`
`Complete if Known
`12/942,792
`
`November 09, 2010
`Yoshinori SHIMIZU
`
`Conf. No.: 2357
`
`
`
`
`U Applicant claims small entity status. See 37 CFR 1.27
`
`TOTAL AMOUNT OF PAYMENT
`
`FEE CALCULATION
`
`Application Type
`Utility
`
`
`
`Design
`Plant
`
`Reissue
`
`250
`250
`
`380
`
`125
`125
`
`190
`
`120
`380
`
`620
`
`250
`
`125
`
`0
`
`Fees Paid (§)
`
`60
`190
`
`310
`
`0
`
`160
`200
`
`750
`
`0
`
`80
`100
`
`375
`
`0
`
`
`
`
`
`FEE TRANSMITTAL
`
`
`
`A.B. MUSTAPHA
`
`
`
`
`,
`2812
`Art Unit
`
`0020-5147PUS12
`($)
`130.00
`Attorney Docket No.
`
`
`
`
`
`METHOD OF PAYMENT (check all that apply)
`
`
`Credit Card DMoney Order I: None D Other (please identify):
`D Check
`
`Deposit Account Deposit Account Number: 022448
`Deposit Account Name: Birch, Stewart, KOIaSCh & BirCh, LLP
`
`For the above-identified deposit account, the Director is hereby authorized to: (check all that apply)
`
`
`El Charge f99(3) indicated below
`D Charge fee(s) indicated below, except for the filing fee
`
`
`Charge any additional fee(s) or underpayments of fee(s) I -
`V
`- Credit an over a ments
`-under37CFR1.16and1.17
`y
`p y
`
`
`WARNING: Information on this form may become public. Credit card Information should not be Included on this form. Provide credit card
`Information and authorization on PTO-2038.
`
`
`1. BASIC FILING, SEARCH, AND EXAMINATION FEES
`
`
`FILINGSFEEIISE
`SEARCH FEES
`EXAMINATION FEES
`M Small Entity
`Small Entigy
`
`
`Fee (§)
`Fee (5)
`Fee (5)
`Fee (fl
`Fee l§l
`Fee (:5)
`3 80
`190
`620
`310
`250
`125
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`m
`m Fee (§)
`60
`30
`250
`125
`450
`225
`Multiple Dependent Claims
`Fee (fi)
`Fee Paid (fl
`
`Fee Paid (g)
`0.00
`
`Fee (fi)
`
`=
`
`Fee Paid (§)
`0.00
`
`Provisional
`2. EXCESS CLAIM FEES
`Fee Description
`Each claim over 20 (including Reissues)
`Each independent claim over 3 (including Reissues)
`Multiple dependent claims
`Total Claims
`Extra Claims
`x
`- 20 or HP =
`0
`HP = highest number of total claims paid for, if greater than 20.
`Indep. Claims
`Extra Claims
`Fee (§)
`=
`x
`- 3 or HP =
`0
`HP = highest number of independent claims paid for. if greater than 3.
`
`
`
`
`
`
`
`
`
`
`.
`-
`3. APPLICATION SIZE FEE _
`If the specification and drawmgs exceed 100 sheets of paper (excluding electronlcally filed sequence or computer
`listings under 37 CFR 1.52(e)), the application size fee due is $310 ($155 for small entity) for each additional 50
`sheets or fraction thereof. See 35 U.S.C. 41%)(1)(G) and 37 CFR 1.16(s).
`Total Sheets
`Extra Sheets
`Num er of each additional 50 or fraction thereof
`- 100 =
`0
`/ 50 =
`0
`(round up to a whole number)
`x
`
`Fee Paid (fi)
`0.00
`
`Fee (§)
`
`=
`
`
`
`
`
`
`
`4. OTHER FEE(S)
`
`$130 fee (no small entity discount)
`Non-English Specifica ‘
`p
`,
`
`
`
`180.00
`M' K
`.4
`
`Other (e.g., late
`'_____ __
`
`
`
`SUBMITTED BY
`I'm—1"..I.
`
`-
`\
`‘7
`,
`Registration No.
`.
`Telephone 703-205-8000
`-yv. '7
`
`
`Name (Print/Type) D. Richard Anderson
`Date September 26, 2012
`
`This collection of information is required by 37 CFR 1,136. The information is required to obtain or retain a benefit by the public which is to file (and by the
`USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 30 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. PO. 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.
`
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`
`
`
`
`Fees Paid (fl
`
`TCL 1002, Page 1 1
`
`

`

`Docket No.: 0020-5 147PUS 12
`
`(Patent)
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Patent Application of:
`Yoshinori SHIMIZU et al.
`
`Application No.:
`
`12/942,792
`
`Confirmation No.: 2357
`
`Filed:
`
`November 09, 2010
`
`Art Unit:
`
`2812
`
`For:
`
`LIGHT EMITTING DEVICE AND DISPLAY
`
`Examiner:
`
`A.B. MUSTAPHA
`
`INFORMATION DISCLOSURE STATEMENT
`
`Commissioner for Patents
`PO. Box 1450
`
`Alexandria, VA 22313-1450
`
`Dear Commissioner:
`
`Applicant(s) hereby submit(s) an Information Disclosure Statement for consideration by
`
`the Examiner.
`
`1.
`
`LIST OF PATENTS, PUBLICATIONS OR OTHER INFORMATION
`
`The patents, publications, or other information submitted for consideration by the Office
`
`are listed on the attached PTO/SB/08.
`
`II.
`
`121
`
`COPIES
`
`a.
`
`Copies of foreign patent documents, non-patent literature and other information
`
`are provided.
`
`1]
`
`b.
`
`REFERENCES PREVIOUSLY CITED OR SUBMITTED: Copies of any
`
`information not provided can be found in one or more of the following applications which has
`
`been relied upon for an earlier filing date under 35 U.S.C. § 120:
`
` US. A lication No. and US. Filin Date
`
`12/028,062 filed February 8, 2008
`
`{90:
`
`BIRCH, STEWART, KOLASCH & BIRCH, LLP
`
`DRA/CET/py
`
`TCL 1002, Page 12
`
`

`

`Application No.: 12/942,792
`
`Docket No.: 0020-5147PUSl2
`Page 2 of 6
`
`III.
`
`CONCISE EXPLANATION OF THE RELEVANCE/OTHER INFORMATION
`
`E]
`
`a.
`
`NON-ENGLISH LANGUAGE DOCUMENTS: A concise explanation of the
`
`relevance of all non-English language patents, publications, or other information listed is as
`
`follows:
`
`El
`
`b.
`
`ENGLISH LANGUAGE SEARCH REPORT OR FOREIGN PATENT OFFICE
`
`COMMUNICATION: An English language version of the search report or Foreign Patent Office
`
`communication that indicates the degree of relevance is attached.
`
`M
`
`c.
`
`OTHER: The following additional information is provided.
`
`US 3,882,502 and US 2012/0132857 were cited in an Office Action issued in co-pending
`
`US Application 12/689,681 dated September 7, 2012.
`
`IV.
`
`STATEMENT UNDER 37 C.F.R. § 1.97m
`
`The undersigned hereby states that:
`
`Cl
`
`a.
`
`Each item of information contained in the IDS was
`
`first cited in any
`
`communication from a foreign patent office in a counterpart foreign application not more than 19
`
`m prior to the filing of this IDS. This statement does not relate to English language
`
`counterparts not listed in a communication from the foreign patent office. Such English language
`
`counterparts are provided to aid the Examiner’s consideration of non-English items first cited in
`
`the communication from the foreign patent office; or
`
`[I
`
`b.
`
`Each item of information contained in the IDS was
`
`first cited in any
`
`communication from a foreign patent office in a counterpart foreign application not more than
`
`three months prior to the filing of this IDS. This statement does not relate to English language
`
`counterparts not listed in a communication from the foreign patent office. Such English language
`
`counterparts are provided to aid the Examiner’s consideration of non-English items first cited in
`
`the communication from the foreign patent office; or
`
`BIRCH, STEWART, KOLASCH & BIRCH, LLP
`
`DRA/CET/py
`
`TCL 1002, Page 13
`
`

`

`Application No.: 12/942,792
`
`Docket No.: 0020-5147PUSI2
`Page 3 of 6
`
`El
`
`c.
`
`No item of information contained in the IDS was cited in a communication from a
`
`foreign patent office in a counterpart foreign application, and, to the knowledge of the person
`
`signing the certification after making reasonable inquiry, no item of IDS was known to any
`
`individual designated in 37 CPR. § l.56(c) more than three months prior to the filing of the
`
`IDS; or
`
`[I
`
`d.
`
`Some of the items of information in the IDS were cited in a communication from
`
`a foreign patent office. Such items were first cited in a communication from a foreign patent
`
`office in a counterpart foreign application not more than three months prior to the filing of this
`
`IDS. This statement does not
`
`relate to English language counterparts not
`
`listed in a
`
`communication from the foreign patent office. Such English language counterparts are provided
`
`to aid the Examiner’s consideration of non-English items first cited in the communication from
`
`the foreign patent office. As to the remaining items of information, to the knowledge of the
`
`person signing the certification after making reasonable inquiry, such remaining items were not
`
`known to any individual designated in 37 CPR. § 1.56(c) more than three months prior to the
`
`filing of this statement.
`
`BIRCH, STEWART, KOLASCH & BIRCH, LLP
`
`DRA/CET/py
`
`TCL 1002, Page 14
`
`

`

`Application No.: 12/942,792
`
`Docket No.: 0020—5147PUSl2
`Page 4 of 6
`
`V.
`
`STATEMENT UNDER 37 CPR. § 1.704gd211 1
`
`Patent Term Adjustment Reduction Should Not Apply
`
`El
`
`The undersigned hereby states:
`
`This Information Disclosure Statement is in compliance with 37 CPR. §§ 1.97 and 1.98
`
`and will not be considered a failure to engage in reasonable efforts to conclude prosecution
`
`(processing or examination) of the present application under 37 CPR. § 1.704(c)(6), (c)(8),
`
`(c)(9), or (c)(10), because each item of information contained in the Information Disclosure
`
`Statement:
`
`[I
`
`(i) Was first cited in any communication from a patent office in a counterpart
`
`foreign or international application or from the Office, and this communication was not
`
`received by any individual designated in § 1.56(c) more than thirty days prior to the filing
`
`of the information disclosure statement; or
`
`Cl
`
`(ii) Is a communication that was issued by a patent office in a counterpart foreign
`
`or international application or by the Office, and this communication was not received by
`
`any individual designated in § 1.56(c) more than thirty days prior to the filing of the
`
`information disclosure statement.
`
`VI.
`
`FEES
`
`El
`
`a.
`
`This Information Disclosure Statement is being filed concurrently with the filing
`
`of a new patent application or Request for Continued Examination. No fee is required.
`
`El
`
`b.
`
`This Information Disclosure Statement is being filed within three months of the
`
`filing date of an application. No fee is required.
`
`El
`
`0.
`
`This Information Disclosure Statement is being filed before the mailing date of a
`
`first Action on the merits. No fee is required. If a first Office Action on the merits has issued,
`
`please consider this IDS under 37 CPR. §1.97(c) and see the statement under 37 CPR.
`
`§ 1.97(e) above. If no statement has been made, charge our deposit account for the required fee.
`
`BIRCH, STEWART, KOLASCH & BIRCH, LLP
`
`DRA/CET/py
`
`TCL 1002, Page 15
`
`

`

`Application No.: 12/942,792
`
`Docket No.: OO20-5147PUSI2
`Page 5 of 6
`
`d.
`
`El
`
`
`This Information Disclosure Statement is being filed before the mailing date of a
`
`Final Office Action or before the mailing date of a Notice of Allowance or before an action that
`
`otherwise closes prosecution in the application (see 37 C.F.R. § 197(c)(1)).
`
`El
`
`No statement. The fee as required by 37 C.F.R. § l.17(p) is provided.
`
`or
`
`Cl
`
`See the above statement. No fee is required.
`
`M
`
`e.
`
`This Information Disclosure Statement is being filed after the mailing date of a
`
`Final Office Action or after the mailing date of a Notice of Allowance or after an action that
`
`otherwise closes prosecution in the application (see 37 C.F.R. § 1.97(d)), see the statement
`
`above. The fee as required by 37 C.F.R. § 1.17(p) is provided.
`
`VII.
`
`PAYMENT OF FEES
`
`M
`
`[I
`
`The required fee is listed on the attached Fee Transmittal.
`
`No fee is required.
`
`BIRCH, STEWART, KOLASCH & BIRCH, LLP
`
`DRA/CET/py
`
`TCL 1002, Page 16
`
`

`

`Application No.: 12/942,792
`
`Docket No.: 0020-5147PUSl2
`Page 6 of 6
`
`If the Examiner has any questions concerning this IDS, please contact the undersigned. If
`
`it is determined that this IDS has been filed under the wrong rule, the USPTO is requested to
`
`consider this IDS under the proper rule and charge the appropriate fee to Deposit Account No.
`
`02-2448.
`
`Dated: September 26, 2012
`
`Registration No.: 40,439
`BIRCH, STEWART, KOLASCH & BIRCH, LLP
`8110 Gatehouse Road, Suite 100 East
`PO. Box 747
`
`Falls Church, VA 22040-0747
`703 -205-8000
`
`Attachment(s):
`IZI PTO/SB/O
`
`|ZI Document(s)
`I] Foreign Patent Office Communication
`I] Foreign Search Report
`IZI Fee
`
`El Other:
`
`(id-—
`
`BIRCH, STEWART, KOLASCH & BIRCH, LLP
`
`DRA/CET/py
`
`TCL 1002, Page 17
`
`

`

`PTO/SBIOBa (07—09)
`Approved for use through 07/31/2012. OMB 0651—0031
`US Patent and Trademark Office: US. DEPARTMENT OF COMMERCE
`Under the Paperwork reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`
`Substitute for form 1449A/PTO
`
`Complete if Known
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`Appncafion Number
`Hungmte
`FirstNamed Inventor
`
`(Use as many sheets as necessary)
`
`Examiner Name
`
`A.B. MUSTAPHA
`
`Examiner
`'nmal
`
`‘
`
`~
`
`U.S. PATENT DOCUMENTS
`
`Publication Date
`MM-DD-YYYY
`
`Name of Patentee or
`Applicant of Cited Document
`
`Pages, columns, Lines, Where
`Relevant Passages or Relevant
`Figures Appear
`
`
`
`
`
`
`
`
`
`Foreign Patent Document
`
`Country” Number4Kind Code (if known)5
`Code
`
`Name of Patentee