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.
`
`C] 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
`
`
`
`

`

`Case 8:15-cv-G1963-DMG-KES Documernti4 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):
`(
`
`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
`
`HOLDER
`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/JJUDGEMENT
`
`Plaintiffs Notice of Disrnissal Pursuant to Federal Rules of Civil Procedure 41{a) or (c)filed
`3/21/2016.
`
`3/23/2016
`
`KIRY K. GRAY
`
`(BY) DEPUTY CLERE
`
`:
`
`G. Kami
`
`DATE
`
`Copy i-—U pon initiation of action, mail this copy to Director Capy 3-—U ponterminating ofaction, mail this capy te Director
`Copy 2---Upon filing document adding patent(s), vaail this copy to Birector Capy 4-—Case file copy
`
`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.
`
`12/942,792
`
`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 DOCKETNO.
`
`CONFIRMATION NO.
`
`8309375
`
`0020-5147PUS12
`
`2357
`
`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 Adjustmentis 0 day(s). Any patent to issue from the above-identified application will include
`an indication of the adjustmenton 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;
`
`The United States represents the largest, most dynamic marketplace in the world andis 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
`worksto encourage andfacilitate business investment. To learn more about why the USAis 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
`
`

`

`PARTB - FEE(S) TRANSMITTAL
`
`Complete and sendthis 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 be used for transmitting the ISSUE FEE and PUBLICATION FEE (if required). Blocks 1
`through 5 should be completed where
`appropriate. All further correspondence including the Patent, advance orders and notification of maintenance fees will be mailed to the current correspondence address as
`indicated unless corrected below or directed otherwise in Block 1, by (a) specifying a new correspondence address; and/or (b) indicating a separate "FEE ADDRESS"for
`maintenance fee notifications.
`:
`
`
`CURRENT CORRESPONDENCE ADDRESS(Note: Use Block 1 for any change of address)
`
`07/12/2012
`7590
`2292
`BIRCH STEWART KOLASCH & BIRCH, Lip
`PO BOX 747
`§ CHURCH. VA 22040-0747
`FALL
`;
`S
`
`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
`that this Fee(s) Transmittal is being deposited with the United
`I hereby certify
`States ostal nervice with sulficientpostagefor first class mailin an envelo
`addressed
`to
`the Mail
`Sto
`address above, or
`being
`facsimile
`transmitted to the USPTO (B71) 273-2885, on the date indicated below.
`Wepositor's name)
`(Signature)
`Mate)
`
`
`
`11/09/2010
`12/942,792
`TITLE OF INVENTION: LIGHT EMITTING DEVICE AND DISPLAY
`
`Yoshinori Shimizu
`
`0020-5147PUS 12
`
`2357
`
`
`
`
`
`
`
`APPLN. TYPE PUBLICATION FEE DUE|PREV. PAID ISSUEFEE|TOTAL FEE(S)DUESMALL ENTITY ISSUE FEE DUE DATE DUE
`
`
`
`nonprovisional
`
`NO
`
`gre TTTO-
`
`$300
`
`$0
`
`$2040"
`aoe.
`
`10/12/2012
`
`2812
`
`MUSTAPHA, ABDULFATTAH B
`
`438-02 1000
`
`
` 2. For printing on the patent front page,list
`1. Change of correspondence address orindication of "Fee Address" (37
`1 Birch, Stewart, Kolasch & Birch, LLP
`CFR 1.363).
`(1) the names of up to 3 registered patent attorneys
`Ly change ofcorrespondence address (or Change of Correspondence
`
`or agents OR,alternatively,
`
`Address form PTO/SB/122) attached.
`
`2.
`(2) the name of a single firm (having as a member a
`LY "Fee Address"indication (or "Fee Address"Indication form
`registered attorney or agent) and the namesof up to
`
`
`PTO/SB/47; Rev 03-02 or more recent) attached. Use of a Customer
`3
`2 registered patent attorneys or agents. If nonameis
`listed, no namewill be printed.
`Numberis required.
`
`
`3. ASSIGNEE NAME AND RESIDENCE DATATO BE PRINTED ON THE PATENT (printor type)
`If an assignee is identified below, the documenthas 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 forfiling 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) : LJ individuar 2 Corporation or other private group entity LY Government
`
`4b. Payment ofFee(s): (Please first reapply any previously paid issue fee shown above)
`4a. The following fee(s) are submitted:
`LV A cheekis enclosed.
`XJ issue Fee
`bs Paymentby credit card. Form PTO-2038is attached.
`Ry Publication Fee (No small entity discount permitted)
`DdThe Directoris hereby authorized to charge the peapired fee(s), any deficiency, or creditany
`(LY Advance Order - # ofCopies
`overpayment, to Deposit Account Number _02-2448 (enclose an extra copy ofthis form).
`
`5. Changein Entity Status (from status indicated above)
`oo
`CER ath
`(Ya. Applicant claims SMALL
`CY status. See 37
`Ly b. Applicant is no longer claiming SMALL ENTITYstatus. See 37 CFR 1.27(g)(2).
`
`
`
`
`NOTE:The Issue Fee and Pu
`g
`
`
`ycation
`Muired)
`ac¢
`yonyanyone otherthan the applicant; a registered attorney or agent; or the assignee or other party in
`
`interest as shown by
`the record\
`d\
`GA
`‘radg
`fige.
`
` SERS
`‘
`d
`yy,
`{
`\
`Date__October 11, 2012 Authorized Signature’
`
`Of
`
`
`
`
`
`
`
`__D. Richard AndersonTyped or printed name Registration No.__40,439
`This collection of information is required by 37 CFR 1.311. The information is required to obtain or retain a benefit by the public whichis 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 I2 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 oftime 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, Virginia 223 13-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450,
`Alexandria, Virginia 22313-1450.
`Under the Paperwork Reduction Act of 1995, no personsare required to respond to a collection of information unlessit displays a valid OMB control number.
`
`PTOL-85 (Rev. 02/11) Approvedfor use through 08/3 1/2013.
`
`OMB0651-0033
`
`
`US. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`
`od
`
`TCL 1002, Page 4
`
`

`

`Electronic Patent Application Fee Transmittal
`
`Title of Invention:
`
`LIGHT EMITTING DEVICE AND DISPLAY
`
`fetemo
`
`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
`
`1770
`
`300
`
`1
`
`1770
`
`300
`
`TCL 1002, Page 5
`
`

`

`_
`
`2070
`
`Total in USD (S$)
`
`.
`
`Sub-Total in
`
`TCL 1002, Page 6
`
`

`

`Electronic AcknowledgementReceipt
`
`imine
`
`Title of Invention:
`
`LIGHT EMITTING DEVICE AND DISPLAY
`
`ee
`
`
`
`ee
`
`Paymentinformation:
`
`Submitted with Payment
`
`Payment Type
`
`yes
`
`Credit Card
`
`Charge any Additional Fees required under 37 C.F.R. Section 1.17 (Patent application and reexamination processing fees)
`
`Deposit Account
`
`Authorized User
`
`022448
`
`ANDERSON, RICHARDD.
`
`The Director 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 1.16 (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:
`
`Pages
`Multi
`File Size(Bytes)/
`DocumentDescription
`Document
`
`
`
`Number Message Digest|Part/.zip|P (if appl.)
`115405
`
`Issue Fee Payment (PTO-85B)
`
`2012101 1lssueFee.pdf
`
`3a11e84b22057a224780d23d6b7a272619
`0d4496
`
`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 componentsfor
`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
`
`Information:
`
`Fee Worksheet (SB06)
`
`fee-info.pdf
`
`fce7100ff15178123825f208d61 f309df9c78f
`8
`
`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 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.
`
`TCL 1002, Page 8
`
`

`

`PTO/SB/08a (07-09)
`Approved for use through 07/31/2012. OMB 0651-0031
`U.S. Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`
`Substitute for form 1449A/PTO
`
`Complete if Known
`
`INFORMATION DISCLOSURE
`STATEMENTBY APPLICANT
`
`Application Number
`Filing Date
`First Named inventor
`
`(Use as many sheets as necessary)
`
`Examiner Name
`
`A.B. MUSTAPHA
`
`Examiner
`initial
`
`Document Number
`.
`2,
`Number- Kind Code“
`(if known)
`IRMJ_|_1_[us-201210182867 -
`US-3, 882,502
`
`HAR
`
`U.S. PATENT DOCUMENTS
`Publication Date
`Nameof Patentee or
`MN-DD-YYYY
`Applicant of Cited Document
`
`05-31-2012
`05-06-1975
`
`Peabody et al.
`
`Pages, columns, Lines, Where
`Relevant Passages or Relevant
`Figures Appear
`
`
`
`
`
`
`
`
`
`
`
`
`Examiner
`Initial *
`
`Publication Date
`MM-DD-YYYY
`
`Name of Patentee or
`Applicantof Cited
`Document
`
`Pages, columns, Lines, Where
`elevant Passagesor Relevant
`Figures Appear
`
`
`
`
`,
`;
`.
`Examiner
`Considered
`/Abdulfattah Mustaoha/
`Signature
`* EXAMINER:Initialif reference considered, whetherornotcitation is in conformance with MPEP 609. Drawline throughcitation if not in conformance and not
`Considered. Include copy ofthis 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 (WIPO Standard ST.3). 4. For
`Japanese patent documents, the indication of the year of the reign of the Emperor must precede the serial numberof the patent document. 5. Kind of document by
`the appropriate symbols as indicated on the document under WIPO Standard ST. 16 if possible. 6. Applicantis to place a check mark here if English language
`Transiation 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
`USPTOto 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 uponthe individual case. Any comments
`on the amountoftime 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, P.O. Box 1450 Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMSTO THIS ADDRESS.
`SEND TO: Commissionerfor Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`if you need assisstance in complefing the form, call 1-800-PTO-9199 (1-800-786.9199) and selecf option 2.
`
`TCL 1002, Page 9
`
`

`

`PTO/SB/08b (07-09)
`Approvedfor use through 07/31/2012. OMB 0651-0031
`U.S. Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork reduction Act of 1995, no persons are required to respondto a collection of information unlessit contains a valid OMB control number.
`
`
`Substitute for form 1449B/PTO
`
`
`Complete if Known
`
`
`
`Application Number
`
`12/942,792
`INFORMATION DISCLOSURE
`
`
`
`11-09-10
` Filing Date
`
`
`STATEMENTBY APPLICANT
`
`
`First Named Inventor
`
`
`Yoshinori Shimizu
`
`
`
`Art Unit
`
`(Use as many sheets as necessary)
` Examiner Name
`
`A.B. MUSTAPHA
`
`
`0020-5147PUS12
`
`
`NON PATENT LITERATURE DOCUMENTS
`
`Examiner
`initial *
`
`Clte
`.
`
`
`
`Include nameofthe author(in CAPITAL 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. U.S. Office Action in co-pending application no. 12/689,681 dated September7, 2012.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Considered
`Examiner
`/Abdulfattan Mustapha/
`Date
`40/02/2012
`
`Signature
`
`* EXAMINER:Initialif reference considered, whetheror notcitation is in conformance with MPEP 609. Drawline throughcitation if not in conformance and not
`considered. Include copy ofthis form with next communication to applicant.
`1. Applicants uniquecitation designation number. (optional) 2, Applicantis to place a check mark hereif English ianguage Translation is attached.
`This collection of information is required by 37 CFR 1.87 and 1.98. Theinformation is required to obtain orretain a benefit by the public whichistofile (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 upontheindividual 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 Cheif information Officer, U.S. Patent and Trademark Office,
`P.O. Box 1450 Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS.
`SEND TO: Commissionerfor Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`ifyou need assisstancein completing the form, calif 1-800-PTO-9199 and Selectoption 2.
`
`TCL 1002, Page 10
`
`

`

`TOTAL AMOUNT OF PAYMENT|($) 180.00 Attorney Docket No. |0020-5147PUS12
`
`
`
`
`FEE TRANSMITTAL
`
`
`
`
`
`Se
`—— TF
`Applicant claims
`.
`
`
`
`
`
`
`
`
`METHOD OF PAYMENT(checkall that apply)
`[| check [+Jcreait Card L_TMoney Order LTnone LJother (pleaseidentify):
`
`
`
`Deposit Account Deposit Account Number: 92-2448
`Deposit Account Name; Birch, Stewart, Kolasch & Birch, LLP
`
`
`For the above-identified deposit account, the Director is hereby authorized to: (check all that apply)
`[| Charge fee(s) indicated below
`[| Charge fee(s) indicated below, exceptforthefiling fee
`
`
`
`Charge any additional fee(s) or underpayments offee(s)
`[vy]
`:
`A ieee eran
`y
`overbay
`v
`| Credit any overpayments
`
`
`WARNING:information on this form may become public. Credit card information should not be included on this form. Provide credit card
`Information and authorization on PTO-2038.
`
`
`
`
`1. BASIC FILING, SEARCH, AND EXAMINATION FEES
`
`
`SEARCH FEESFILINGFEES EXAMINATION FEESSmall
`
`
`
`
`Small Entity
`Entity
`Small Entity
`Application Type
`Fee ($)
`Fee ($)
`Fee ($)
`Fee ($)
`Fee ($)
`Fee ($)
`Fees Paid ($)
`Utility
`380
`190
`620
`310
`250
`125
`
`
`
`Design
`250
`125
`120
`60
`160
`80
`Plant
`250
`125
`380
`190
`200
`100
`
`
`Reissue
`380
`190
`620
`310
`750
`375
`
`
`Provisional
`250
`125
`0
`0
`0
`0
`
`
`2. EXCESS CLAIM FEESSmallEntity
`
`Fee DescriptionFee($) Fee ($)
`
`
`
`
`Each claim over 20 (including Reissues)
`60
`30
`
`
`Each independent claim over 3 (including Reissues)
`250
`125
`Multiple dependent claims
`450
`225
`
`
`Total Claims
`Extra Claims
`Multiple Dependent Claims
`x
`~ 20 or HP =
`0
`Fee ($)
`Fee Paid ($)
`
`
`HP = highest numberoftotal claims paid for,if greater than 20.
`
`
`Indep. Claims
`Extra Claims
`Fee ($)
`=
`x
`-3o0rHP =
`0
`
`
`HP = highest numberof independentclaimspaid for, if greater than 3.
`
`
`
`
`;
`.
`3. APPLICATION SIZE FEE ~
`If the specification and drawings exceed 100 sheets ofpaper (excludingelectronically filed sequence or computer
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`listings under 37 CFR 1.52(e)), the application size fee due is $310 ($155 for small entity) for each additional 50
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`sheets or fraction thereof. See 35 U.S.C. 41(a)(1)(G) and 37 CFR 1.16(s).
`Fee Paid ($)
`Total Sheets
`Extra Sheets
`Numberof each additional 50 or fraction thereof
`
`
`0.00
`0
`0
`(round up to awhole number)
`x
`- 100 =
`
`Fees Paid ($)
`4, OTHER FEE(S)
`
`$130 fee (no small entity discount)
`Non-English Specificatie
`
`
`
`
`Eeeeh eeeeee heseaaa
`Other (e.g., late
`
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`SUBMITTED BY
`NAWALStOf/
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`eureOZR SS a
`'
`.
`XQ
`KON /
`Registration No.
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`Telephone 793.205-8000
`Date September 26, 2012
`Name(Print/Type)j D. Richard Anderson
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`This collection of information is required by 37 CFR 1,136. The information is 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 30 minutes to complete,
`including gathering, preparing, and submitting the completed application form to the USPTO. Timewill vary depending upontheindividual 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, VA 22313-1450, DO NOT SEND FEES OR COMPLETED FORMSTO THIS
`ADDRESS. SEND TO: Commissionerfor 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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`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 Paperwork Reduction Act of 1995 no persons are required to respond to a collection of information unlessit displays a valid OMB control number
`
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`
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`small
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`entity
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`status.
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`erarinerione [AMUSTAPHE
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`FEE CALCULATION
`
`
`
`Fee ($)
`
`Eee Paid ($)
`0.00
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`=
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`Fee Paid ($)
`0.00
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`/50=
`
`Fee ($)
`
`=
`
`TCL 1002, Page 11
`
`

`

`Docket No.: 0020-5147PUS12
`(Patent)
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Patent Application of:
`Yoshinori SHIMIZUet al.
`
`Application No.:
`
`12/942,792
`
`Confirmation No.: 2357
`
`Filed:
`
`November09, 2010
`
`Art Unit:
`
`2812
`
`
`
`For:_LIGHT EMITTING DEVICE AND DISPLAY—Examiner: A.B. MUSTAPHA
`
`INFORMATION DISCLOSURE STATEMENT
`
`Commissionerfor Patents
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`Dear Commissioner:
`
`Applicant(s) hereby submit(s) an Information Disclosure Statement for consideration by
`the Examiner.
`
`I.
`
`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.
`
`Vv
`
`COPIES
`
`a.
`
`Copies of foreign patent documents, non-patent literature and other information
`
`are provided.
`
`REFERENCES PREVIOUSLY CITED OR SUBMITTED: Copies of any
`b.
`C]
`information not provided can be found in one or moreof the following applications which has
`beenrelied upon foran earlier filing date under 35 U.S.C. § 120:
`
` U.S. Application No. and U.S. Filing Date
`
`12/028,062 filed February 8, 2008
`
`(oh
`
`BIRCH, STEWART, KOLASCH & BIRCH, LLP
`
`DRA/CET/py
`
`TCL 1002, Page 12
`
`

`

`Application No.: 12/942,792
`
`Docket No.: 0020-5147PUS12
`Page 2 of 6
`
`Hl.
`
`C]
`
`CONCISE EXPLANATION OF THE RELEVANCE/OTHER INFORMATION
`
`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:
`
`CJ
`
`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 relevanceis attached.
`
`vi
`
`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. § 1.97(e)
`
`The undersigned herebystates that:
`a.
`Each item of information contained in the IDS was
`
`a
`
`first cited in any
`
`communication from a foreign patentoffice in a counterpart foreign application not more than 30
`
`days 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 itemsfirst cited in
`
`the communication from the foreign patent office; or
`
`O
`
`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 monthsprior 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 itemsfirst 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.: 0020-5147PUS12
`Page 3 of 6
`
`Mi
`
`c.
`
`Noitem of information contained in the IDS wascited 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 C.F.R. § 1.56(c) more than three monthspriorto the filing of the
`
`IDS; or
`
`Oi
`
`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 monthspriorto the filing ofthis
`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 itemsfirst 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 C.F.R. § 1.56(c) more than three monthsprior 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.: 0020-5147PUS12
`Page 4 of 6
`
`V.
`
`O
`
`STATEMENT UNDER37 C.F.R. § 1.704(d)(1)
`
`Patent Term Adjustment Reduction Should Not Apply
`The undersigned herebystates:
`
`This Information Disclosure Statement is in compliance with 37 C.F.R. §§ 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 C.F.R. § 1.704(c)(6), (c)(8),
`(c)(9), or (c)(10), because each item of information contained in the Information Disclosure
`
`Statement:
`
`(i) Was first cited in any communication from a patent office in a counterpart
`CO
`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
`[]
`(i1) 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
`
`This Information Disclosure Statement is being filed concurrently with the filing
`a.
`C]
`of a new patent application or Request for Continued Examination. No feeis required.
`
`[J
`
`b.
`
`This Information Disclosure Statement is being filed within three months of the
`
`filing date of an application. Nofee is required.
`
`This Information Disclosure Statement is being filed before the mailing date of a
`c.
`O
`first Action on the merits. No fee is required. If a first Office Action on the merits has issued,
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`please consider this IDS under 37 C.F.R. § 1.97(c) and see the statement under 37 C.F.R.
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`§ 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.: 0020-5147PUS12
`Page 5 of 6
`
`d.
`
`C]
`
`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. § 1.97(c)(1)).
`[]
`No statement. The fee as required by 37 C.F.R. § 1.17(p)is provided.
`
`or
`
`[]
`
`See the above statement. No fee is required.
`
`Vv
`
`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
`
`Mv
`
`The required fee is listed on the attached Fee Transmittal.
`
`CL]=Nofee is required.
`
`BIRCH, STEWART, KOLASCH & BIRCH, LLP
`
`DRA/CET/py
`
`TCL 1002, Page 16
`
`

`

`Application No.: 12/942,792
`
`Docket No.: 0020-5147PUS12
`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 .
`
`SO
`Registration No.: 40,439
`BIRCH, STEWART, KOLASCH & BIRCH, LLP
`8110 Gatehouse Road, Suite 100 East
`P.O. Box 747
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`Attachment(s):
`PTO/SB/08
`Document(s)
`Foreign Patent Office Communication
`Foreign Search Report
`Fee
`
`ONOORR
`
`Other:
`
`Cof-
`
`BIRCH, STEWART, KOLASCH & BIRCH, LLP
`
`DRA/CET/py
`
`TCL 1002, Page 17
`
`

`

`Substitute for form 1449A/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`Application Number
`Filing Date
`First Named Inventor
`
`(Use as many sheets as necessary)
`
`Examiner Name
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`Complete if Known
`12/942,792
`
`2812
`A.B. MUSTAPHA
`
`Examiner
`initial
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`U.S. PATENT DOCUMENTS
`Publication Date
`Nameof Patentee or
`MM-DD-YYYY
`Applicant of Cited Document
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`Pages, columns, Lines, Where
`Relevant Passagesor Relevant
`Figures Appear
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`
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`
`
`PTO/SB/08a (07-09)
`Approved for use through 07/31/2012. OMB 0651-0031
`U.S. Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`
`Considered * EXAMINER:Initialif reference considered, whetherornotcitation is in conformance with MPEP 609. Drawline throughcitation if not in conformance and not
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`Examiner
`Initial *
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`Foreign Patent Document
`Country? Number*Kind Code(if known)®
`Code
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`Name of Patentee or
`Applicantof Cited
`Document
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`Examiner
`Signature
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`Considered. Include copy ofthis form with next communication to applicant. 1. Applicant’s unique citation design number(optional). 2 See Kinds Codes of
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