A0 120 (Rev. USFIU!
`
`TO:
`
`Mail Stop 8
`Director of the US. Patent and Trademark Office
`PD. 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 andfor 15 U.S.C. § 1116 you are hereby advised that a court action has been
`
`filed in the [1.5. District Court Central District Of California
`
`on the following
`
`D Trademarks or E Patents. ( [I the patent action involves 35 U.S.C. §292.}:
`
`DOCKET NO.
`DATE FILED
`US. DISTRICT COURT
`March 23. 2016
`Central District of California
`DEFENDANT
`
`PLAINTIFF
`
`Nichia Corporation
`
`VlZIO. lnc.
`
`
`PATENT OR
`DATE OF PATENT
`
`TRADEMARK N0 HOLDER OF PATENT OR TRADEMARK OR TRADEMARK
`
`
`
`
`March 8. 201 1l 7.901.959 Nichia Corporation
`
`
`
`Nichia Corporation
`
`
`
`March 29. 20112 7.915.631 Nichia Corporation
`
`
`
`3 8.309.375
`
`November 13. 2012
`
`U1
`
`
`In the above entitled case, the following palent(s}r" trademark(s} have been included:
`
`DATE INCLUDED
`[NCLUDED BY
`
`I] Amendment
`DATE OF PATENT
`PATENT OR
`
`TRADEMARK NO. I [OLDER OF PATENT OR TRADEMARK OR TRADEMARK
`
`
`I] Answer
`
`B Cross Bill
`
`I] Other Pleading
`
`
`
`
`
`
`
`[n the above entitled case. the following decision has been rendered or judgement issued:
`
`DECI S [ONIJ U DO EM ENT
`
`
`
`
`CLERK
`
`(BY) DEPUTY CLERK
`
`DATE
`
`
`
`Copy 3—Upon termination of action. mail this copy to Director
`Copy l—Upon initiation of action. mail this copy to Director
`Copy Z—Upon filing document adding patentts), mail this copy to Director
`Copy 4—Case file copy
`
`13189027. I
`
`L
`
`
`American LugnlNcl. Inc.
`
`
`TCL 1002, Page 1
`
`LOWES 1002, Page 1
`
`

`

`Case SZiS—CV—Glgfi3-DN'IG—KES Becumen‘i 14 FiIi—Bd 03f235i5 Page 3. 0:11 Page ID #141
`
`A0 126 (Rcv. {ISIIIZ'I'}
`
`TO:
`
`Maii Step 3
`Biru‘mr afthe v.5. Patent and Trademark 0mm:
`33.0. Box 145%
`Alexandria, VA 22313-1459
`
`;
`f
`
`TRAQEE‘VIARK
`
`REPOR'I‘ (IN THE
`FILING 0R vETERM’INATION OF AN
`ACTEQN REGARBENG A PATENT 0R
`
`in Cmnpliaaace will: 35 DISC. g‘ 29:": audior 15 U.S.C. § 1 1 :6 you are hereby advised that a mun action has been
`
`Centre! District of Caiifornia
`
`flied. in the 5.3. District Courl
`
`m: the rune-wing
`
`i2] 'I‘mdcnmiks 01'
`
`:I Pmcuis.
`
`( Z the palcm acmm Ianroh-‘cs 35 15.51.". § 292.}:
`
`DOCKET NO.
`
`DATE FILED
`
`US. DISTRICT COURT
`
`SACVIS—IQBS-DMG-K Sx
`PLAINTIFF
`
`VIZEO. Inc.
`
`11.923.32015
`
`_
`
`Central District of Caiifcrnia
`
`3 DEFENDANT
`
`Vizo. inc.
`
`PATENT 0R
`TRADEMARK N0.
`
`DATE OF PATENT
`OR TRADEMARK
`
`_,
`.
`.
`.
`,
`‘
`,
`.
`F
`,
`FIOLDER 0‘: FATE“ OR TRADEM‘A‘RL
`
`I 4621356
`
`’2. 4053025
`
`3 323541?
`
`4 4369035
`
`10(14r‘2014
`
`VIZIO‘ Inc.
`
`‘I‘IISIEU‘I’I
`
`VIZIO, Inc.
`
`#2422007
`
`VIZIO, Inc.
`
`"3716:9013
`
`VIZIO, Inc.
`
`———
`
`DATE INCLUDED
`
`In the abm'e—miiitlcd case. the following patcnttsv tmdcnmrklfs} have been included:
`INCLUDED BY
`
`I’A'HENI' DR
`
`DATE 0}“ FATE-INF
`
`TRADEMARK NI}.
`
`_
`
`
`{3R TRADEMARK
`3x23x2015
`
`in the abm'e-n-euailled case, tint: following decision Ims been rendered orjudgemenl issued;
`
`DECISIONIIUDGEMENT
`
`Piaintiff's Notice of Dismissai Pursuant to Federal Ruies of Civii Procedure 41(3) or {5) fiied
`3;? 1 :‘20‘i 6.
`
`KER“! K. GRAY
`
`3 {BY} DEPUTY C LERK
`
`Q Kami
`
`DATE
`
`
`{RI-3y 3—Ugion termimitinn of aszlin-n, maii! this (:{I-py tn- flirectm
`{Zap}: I—[Eifim initiation uI' autism. mail this mm- m IBIreflnr
`{79p}- 2
`films; filing diit‘flmtflfi adding paateaaflsfi mail this: $.pr t9 Iiirectizr
`{In-pg 4—{Tase file (tn-313‘
`
`LOWES 1002, Page 2
`TCL 1002, Page 2
`
`LOWES 1002, Page 2
`
`

`

`
`
`UNITED STATES DEI'A R'I‘MEN'I‘ OF COMMERCE
`United States Patent and Trademark ()fi'lcc
`Address: COMMISSIONER I‘OR I’A'l'liN'l‘S
`P.0. Box l-ISO
`Alexandria, Virginia 223 I .‘l- | 450
`www.msptugiw
`
`APPLICATION NO.
`ISSUE DATE
`
`PATImT NO.
`ATTORNEY DOCKET NO.
`CONFIRMATION NO.
`
`744?
`|2f548.6| s
`ammo: I
`T9| 563 I
`00205 I 47P1Js5
`
`2292
`
`7590
`
`EJESIUQIEIII 1
`
`BIRCH STEWART K0] ASCII & BIRCH
`PO BOX 747
`FALLS CIIURCII. VA 22040—0747
`
`The projected patent number and issue date are specified above.
`
`ISSUE NOTIFICATION
`
`Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)
`(application filed on or after May 29, 2000)
`
`The Patent Term Adjustment is 90 day(s). Any patent to issue from the above-identified application will
`include an indication of the adjustment on the front page.
`
`If a Continued Prosecution Application (CPA) was filed in the above—identified application, the filing date that
`determines Patent Term Adjustment is the filing date of the most recent CPA.
`
`Applicant will be able to obtain more detailed information by accessing the Patent Application Information
`Retrieval (PAIR) WEB site (http:flpair.uspto.gov).
`
`Any questions negarding the Patent Term Extension or Adjustment determination should be dinected to the
`Office of Patent Legal Administration at (STD—2723702. 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 httpflpairnsptogov for additional applicants):
`
`Yosllinori S l llMlZU, Nadia—gun, JAPAN;
`Kensho Sakano, Anan-shi. J APAN'.
`Yasunobu Noguchi, Naka-gun, JAPAN '.
`'l‘oshio Moriguchi, Anan-shi, J APAN ;
`
`[R103 (Rev. 10109)
`
`LOWES 1002, Page 3
`TCL 1002, Page 3
`
`LOWES 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
`P.0. Box 1450
`Alexandria, Virginia 22313-1450
`or Eon (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 opriate. All further correspondence including the Patent. advance orders and notification of maintenance fees will be mailed to the current corres
`ndence address as
`in
`icated unless corrected below or directed otherwise in Block 1. by (a) specifying a new correspondence address; andt'or (h) indicating a separate "
`ADDRESS" for
`maintenance fee notifications.
`
`mmconnnspomm ADDRESS (Note: Use moat t for any change, arm;
`
`summit
`7590
`2292
`BIRCH STEWART KOLASCH EL BIRCH. LLP
`PO BOX 74.?
`FALLS CHURCH, VA 22040-0747
`
`Note: A certificate of mailin 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.
`I use e o
`I mg or
`ransmtsston
`oer-rt“
`t
`[Ma'l'
`T
`_
`_
`that this Foc(s Transmittal is being deposited with the United
`I hcrcb certi
`ervice widi su icient posta e for first class mail in an envelope
`States ostal
`addressed to the Mail Stop ISSUE FE 4 address above. or hein
`facsimile
`transmitted to the USPI‘O ( 71) 2734885. on the date indicated
`ow.
`
`
`
`
`
`
`.
`(Date)
`
`
`DSJZWZOW
`123543.618
`TI'I'LE OF INVENTION: LIGHT EMITTING DEVICE AND DISPLAY
`
`Yoshinori SH'JNIIZU
`
`0020-5147PUSS
`
`7447
`
`SMALL ENTITY
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE
`
`PREV. PAID issue FEE
`
`'DO'I‘AL FEEESJ DUE
`
`DATE DUE
`
`nonprovisional
`
`N0
`
`TRJNH. MICHAEL MANH
`
`$1510
`
`2322
`
`of correspondence address or indication of "Fee Address" (3}I
`1. Chan
`CPR i. 63).
`D Change of corresgndence address (or Change of Correspondence
`Address orm PTO!
`£122) attached.
`D "Fee Address" indication (or "Fee Address" Indication form
`P'I‘OISBM'F; Rev 03412 or more recent) attached. Use of a Customer
`Number is required.
`
`$300
`
`$0
`
`$1810
`
`049512011
`
`EST-093000
`
`2. For printing on the patent front page. list
`(I) the names of up to 3 registered patent attorneys
`or agents 0R, alternatively,
`(2) the name of a single firm (having as a member a
`registered attorney or agent) and the names of up to
`2 registered patent attorneys or agents. If no name is
`lists . no name will be printed.
`
`
`
`lBirch Stewart Kolasch 8t Birch. LLP
`
`2
`
`3
`
`3. ASSIGNEE NAME MD RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
`PLEASE NOTE: Unless an assi
`ee is identified below. no assignee data will appear on The patent. If an assignee is identified below. the document has been filed for
`recordatton as set forth in 3? CFiEng. 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
`
`Anari-shi. JAPAN
`
`
`
`Please check the appropriate assignee category or categories (will not be printed on the patent) : El Individual [2' Corporation or other private group entity El Government
`
`4b. Payment of Fee(s): (Please first reapply any previously paid issue fee shown above)
`4a. The following fee(s) are submitted:
`Cl A check is enclosed.
`Issue Fee
`CI Payment by credit card. Form PTO—2038 is attached.
`in Publication Fee (No small entity discount permitted)
`El The Director is hereby authorized to charge the required fee(s). any deficiency, or credit any
`El Advance Order -
`ii of Copies
`llZ-Zgflfioverpayment. to Deposit Account Number (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 3? CFR l.2'i(g)(2).
`..
`.. m
`El :1. Applicant claims
`
`
`'
`' acc pied from anyone other Ilian the applicant; a registered attorney or agent; or the assignee or other party in
`NOTE: The Issue Fee and ' b-cation .t -
`-
`-.-I
`‘
`ad-. ark Office.
`
`=
`interest as shown b the reoordA..-f the I.
`-.
`'
`
`
`
`
`Date
`February 22. 2011
`Authorized Sig-natu - -
`
`40-439
`
`Typed or printed name 0' Richard Anderson
`
`Registration No.
`
`
`
`
`
`This collection of information is required by 3'? CFR 1.311. The information is refiluired to obtain or retain a benefit by the public which is to tile {and by the USPTO to process)
`an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14.
`is collection is estimated to take 1- minutes to complete, including gathering. preparing, and
`submitting die completed application form to the USPTO. Time will veg de endin upon the individual case. Anyr comments on the amount of time you re uire to corn lete
`this form audio: suggestions for reducing this burden. should be sent to
`e
`ief l orrnation Officer. U.S. Patent and Trademark Office. US. Department 0 Commerce.
`.0.
`Box 1450. Alexan ria, Virginia 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THJS ADDRESS. SEND TO: Commissioner for Patents. PO. Box 1450.
`Alexandria. Virginia 22313—1450.
`Under the Paperwork Reduction Actof1995. no persons are required to respond to a collection of information unless it displays a valid OMB control number.
`
`PTOL-SS (Rev. oars?) Approved for use through 088112010.
`
`OMB 0651—0033
`Cd”
`
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`LOWES 1002, Page 4
`TCL 1002, Page 4
`
`LOWES 1002, Page 4
`
`

`

`Electronic Patent Application Fee Transmittal
`
`
`
`Application Number: 12548618
`
`
`
`Filing Date: 27-Aug-2009
`
`Title of Invention:
`
`LIGHT EMITTING DEVICE AND DISPLAY
`
`
`
`First Named InventoriApplicant Name:
`
`Yoshinori SHIMIZU
`
`
`
`Attorney Docket Number: 0020—5147PUSS
`
`Filed as Large Entityr
`
`Utility under 35 USC 1 1 1(a) Filing Fees
`
`Su b-Total in
`Fee Code Quantlty AmountDescrlptlon USDl$l
`
`
`
`
`
`
`
`
`
`
`
`Basic Filing:
`
`
`
`Miscellaneous-Filing:
`
`
`Petition:
`
`Patent-AppeaIs-a nd-lnterference:
`
`
`Po st-Allowa nce—and-Po st—lss uance:
`
`UtilityApplISSUEfee
`Publ. Fee- early voluntary. or normal
`
`1501 - 1510 —
`1504
`| 1|
`
`|
`
`
`
`TCL 1002, Page 5
`
`LOWES 1002, Page 5
`
`

`

`Extension-of—Time:
`
`
`1810
`
`Miscellaneous:
`
`Total in USD (5)
`
`LOWES 1002, Page 6
`TCL 1002, Page 6
`
`LOWES 1002, Page 6
`
`

`

`Electronic Acknowledgement Receipt
`
`
`
`Application Number: 12548618
`
`International Application Number:
`
`Confirmation N um ber:
`
`Title of Invention:
`
`LIGHT EMITTING DEVICE AND DISPLAY
`
`
`
`First Named InventoriApplicant Name:
`
`Yoshinori SHIMIZU
`
`02292
`Customer Number:
`
`
`
`
`Filer: David Richard Anderson/Nadine Beasley
`
`Filer Authorized By:
`
`David Richard Anderson
`
`
`
`Receipt Date: 22—F EB—201 1
`
`
`
`Filing Date: 27-AUG-2009
`
`Time Stamp:
`
`15:56:47
`
`Application Type:
`
`Utility under 35 USC 111(a]
`
`Payment information:
`
`
`Submitted with Payment
`
`yes
`
`
`
`Payment Type Deposit Accou nt
`
`2621 Deposit Accou nt
`
`Payment was successfully received in RAM
`
`$1810
`
`RAM confirmation Number
`
`022448
`
`Authorized User
`
`The Director of the USPTO is hereby authorized to charge indicated fees and credit any overpayment as follows:
`
`Charge any Additional Fees required under 37 C.F.FL Section 1.19 {Document supply fees)
`Charge any Additional Fees required under 37 C.F.R. Section 1.20 (Post Issuance fees}
`LO’WES 1002,Page
`TCL 1002, Page 7
`
`LOWES 1002, Page 7
`
`

`

`Charge any Additional Fees required under 37 CFR. Section 1.21 {Miscellaneous fees and charges]
`
`File Listing:
`
`Document
`Number
`
`.
`.
`Document Description
`
`.
`F'le Name
`
`File SizelBytes]!
`Message Digest
`
`Part Azip (ifappl.)
`
`Issue Fee Payment (PTO-85 B)
`
`IssueFeeTra nsmittal.pdf
`
`dcrli ill {(4 irfca 183 that.» 3 3 590:3 his 39'!
`84462
`
`Warnings:
`
`Info rmation:
`
`
`
`New International Application Filed with the USPTO asa 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 MPEP1810], a Notification of the International Application Number
`and ofthe International Filing Date {Form PCTIROII 05) will be issued in due course, subject to prescriptions concerning
`national security, and the date shown on this Acknowledgement Receipt will establish the international filing date of
`the application.
`
`Fee Worksheet [PTO-875]
`
`fee-infapdf
`
`hldiR | RbSJ‘h i9 | ”WIRED ltlfladfi‘low‘kfl
`M‘kl
`
`Warnings:
`
`Info rmation:
`
`
`
`Total Files Size (in bytes) 124143
`
`This Acknowledgement Receipt evidences receipt on the noted date by the USPTO of the indicated documents,
`characterized by the applicant, and including page counts, where applicable. It serves as evidence of receipt similar to a
`Post Card, as described in MPEP 503.
`
`New Agplications 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
`1.53ledl 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 ofthe application.
`
`National Stage of an International Agplication under 35 U.S.C. 371
`Ifa timely submission to enter the national stage ofan international application is compliant with the conditions of 35
`U.S.C. 371 and other applicable requirements a Form PCTIDOIE0l903 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.
`
`LOWES 1002, Page 8
`TCL 1002, Page 8
`
`LOWES 1002, Page 8
`
`

`

`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF CONIMERCE
`United States Patent and Trademark Office
`Atklress: COMMISSIONER FOR I’A'I'IEN'I‘S
`PI]. Box I450
`Alexandria. Virginia 22313— [450
`WWW usplo.gov
`
`NOTICE OF ALLOWANCE AND FEE(S) DUE
`
`1293
`
`T590
`
`[1 I IZSHIII I
`
`BIRCH STEWART KOLASCH & BIRCH
`
`FALLS CHURCH, VA 22040-0747
`
`EXAIVIINER
`
`TR'NH‘ MIC“ 51‘ MAN“
`
`2322
`DATE MAILED: DIQSIZDII
`
`AI’PLICA'I'ION NO.
`FILING DATE
`FIRST NANIIEI) INVI'IN'I‘OR
`ATTORNEY DIOCKIE'I' NO.
`(TON'I'TRMA'I‘ION N0.
`
`GREETIEIXIF}
`[2543.618
`Yoshinori SHIMIZU
`0020-5 HTPUSS
`T447
`TITLE OF INVENTION: LIGHT EMITTING DEVICE AND DISPLAY
`
` APPLN TYPE
`
`5] 8 I I)
`
`DATE DUE
`
`MEESIZDI |
`
`SMALL ENTITY
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE
`
`PREV. PAID ISSUE FEE
`
`TOTAL FEEIS) DUE
`
`nonpmvisional
`
`S | 5 l0
`
`THE APPLICATION IDENTIFIED ABOVE HAS BEEN EXAMINED AND IS ALLOWED FOR ISSUANCE AS A PATENT.
`PR ‘E ‘ 11‘]
`gm TIIE MERITS 1S 11L! LSED. TIIIS NOTICE OF ALLOWANCE IS NOT A GRANT OF PATENT RIGHTS.
`TIIIS APPLICATION IS SUBJECT TO WITHDRAWAI. FROM ISSUE AT TIIE INITIATIVE OF TIIE OFFICE OR UPON
`PETITION BY THE APPLICANT. SEE 37 CFR 1.313 AND MPEP 1308.
`
`TI”? ISSUE FEE AND PUBLICATION FEE (IF REQUIRED) MUST BE PAID WITHIN TIIREE MQNTIIS FROM TIIE
`MAILING DATE OF TIIIS NOTICE OR TIIIS APPLICATION SHALL BE REGARDED AS ABANDONED.
`TIIIS
`STATUTORY PERIOD CANNOT fl EXTENDED. SEE 35 U.S.C. 151. THE ISSUE FEE DUE INDICATED ABOVE DOES
`NOT REFLECT A CREDIT FOR ANY PREVIOUSLY PAID ISSUE FEE IN TIIIS APPLICATION.
`IF AN ISSUE FEE IIAS
`PREVIOUSLY BEEN PAID IN THIS APPLICATION (AS SHOWN ABOVE), THE RETURN OF PART B OF THIS FORM
`WILL BE CONSIDERED A REQUEST TO REAPPI.Y THE PREVIOUSLY PAID ISSUE FEE TOWARD THE ISSUE FEE NOW
`DUE.
`
`HOW TO REPLY TO TIIIS NOTICE:
`
`I. Review the SMALL ENTITY status shown above.
`
`If the SMALL ENTITY is shown as YES, verify your current
`SMALL ENTITY status:
`
`If the SMALL ENTTTY is shown as NO:
`
`A. If the status is the same. pay the TOTAL FEE(S) DUE shown
`above.
`
`A. Pay TOTAL FEE(S) DUE shown above. or
`
`B. If the status above is to be removed. check box 5b on Part B -
`Fee(s) 'l'ransmittal and pay the PUBLICATION FEE (if required)
`and twice the amount ofthe ISSUE FEE shown above, or
`
`B. If applicant claimed SMALL ENTITY status before. or is now
`claiming SMALL ENTITY status. check box 5a on Part B - Feet’s)
`Transmittal and pay the PUBLICATION FEE (if required) and 11"2
`the ISSUE FEE shown above.
`
`11. PART B - FEEI’S) TRANSMI'I'I‘AL. or its equivalent. must be completed and relumed to the United States Patent and Trademark Office
`(USP’I'O) with your ISSUE FEE and PUBLICATION FEE (if required). If you are charging the heels) to your deposit account. section "4b"
`of Part B - Feets) 'l‘ransmittal should be completed and an extra copy of the form should be submitted. If an equivalent of Part B is filed, a
`request to reapply a previously paid issue fee must be clearly made. and delays in processing may occur due to the difficulty in recognizing
`the paper as an equivalent of Part B.
`
`III. All communications regarding this application must give the application number. Please direct all communications prior to issuance to
`Mail Stop ISSUE FEE unless advised to the contrary.
`
`IMPORTANT REMINDER: Utility patents issuing on applications filed on or after Dec. 12, 1980 may require payment of
`maintenance fees. It is patentee's responsibility to ensure timely payment of maintenance fees when due.
`
`PTOL-ss (Rev. 03:0?) Approved t‘orusc through 0881:2010.
`
`Page 1 of 3
`
`LOWES 1002, Page 9
`TCL 1002, Page 9
`
`LOWES 1002, Page 9
`
`

`

`PART B - FEE(S) TRANSMlTTAL
`
`Complete and send this form, together with applicable feets), to: Mail Mail Stop ISSUE FEE
`Commissioner for Patents
`PO. Box 1450
`Alexandria, Virginia 22313-1450
`(571 )-273—2885
`through 5 should be completed where
`INSTRUCTIONS: This IIom't should be used for transmitting the ISSUE FEE and PUBI ICATION FEE (if required). Blocks 1
`ap ropriate. All further correspondence including the Patent, advance orders and notification of maintenance fees will be mailed to the current eorres ondence address as
`in icated unless corrected below or directed otherwise in Block I, by (a) specifying a new corresponde nL.e address: andJ'or (b) indicating a separate ” E ADDRESS" for
`maintenance fee notifications.
`
`CURRENT CORRESPONDENCE ADDRESS (Note: Use. Block 1 for any change of address)
`
`2591]
`
`111125221“ I
`2292
`1
`‘
`‘
`1
`‘
`BIRCH STEWART KOLADLH & BIRCI‘I
`m BOX 714'?
`1
`‘
`_‘
`‘
`FALLS CHURCH, VA 22040-0?47
`
`Note: A certificate of mailin can only be used tor domestic mailings of the
`l-eets) 1ransmitta1.”1his certi icatc cannot be used for any other accompanying
`papers. Each additional paper, such as an assignment or formal drawing. must
`ave 1ts own certificate of mailing or transmission
`
`Certificate "II Mailing or Transmission
`that this FeeIsJ Transmittalis being deposited with the United
`I bereb certiII
`States 0sz ervice with sufficient postage for first class mailin an envelope
`addressed to the Mail Stt
`ISSUE FEE address above or bein
`II:1Lsimile
`transmitted to the usrrot- 11 1 271 2885 on the date indicated he ow.
`{Deposiloi’s unmet
`
`
`
`APPLICATION NO.
`
`l'IILING DAIIIIIL
`
`I'IIRSII NAM}III) INVI'INIOR
`
`AIIIIORNI'IY DIX.'EKI"I N0.
`
`CONFIRMATION NO.
`
`0822212009
`121543.618
`TITLE OF INVENTION: LIGHT EMITTING DEVICE AND DISPLAY
`
`Yoshinori SHIMIZU
`
`0020-5142PUS5
`
` APPLN TYPE
`
`nonprovisionaI
`
`$I510
`
`$1810
`
`E2S1'20I I
`
`SMALL ENTITY
`
`ISSUE FEE DL'E
`
`PUBLICATION FEE DUE
`
`PREV. PAID ISSUE FEE
`
`TOTAL FEELS) DUE
`
`DATE DUE
`
`EXAMINER
`
`ART UNIT
`
`CLASS-SUBCLASS
`
`TRINII. MICHAEL MANII
`
`2822
`
`2571-0980013
`
` I
`
`. Change of correspondence address or indication oIII‘Fee Address" I3?
`CFR 1.36.3).
`
` Addressll'l'fl PTO}.
`
`3 Chan e ofcones indence address (or Change of CorrespondenLe
`.I' I 22) attached.
`
`:l ”I’ee Address“ indication tor ”I-‘ee Address“ Indication form
`P'I‘OISBHT: Rev 03—02 or more recent} attached. Use ofa Customer
`Number is required.
`
`2. For printing on the patent front page. list
`(I) the names of up to 3 registered patent attorneys
`or agents OR, alternatively,
`}
`(2) the name ofa single firm (having as a membera
`-
`ffngIt‘rfli 3110010)“ 01‘ agent) and the names 0f up to
`3 l"TEISICIT‘CI patent ““01“L35 01 agents. 1f “0 name 15
`listed. no name. will be printed.
`
`
`
`3
`
`
`
`3. ASSIGNEE NANIE AND RESIDENCE DATA TO BE PRINTED ON THE PATENT {print or type)
`
`If an assignee is identified below. the document has been filed tor
`PLEASE NOIE: Unless an assi nee is identified below no assignee data will appear on the patent.
`recotdation as set forthin 3'." Cl:
`3.11. Completion of this fotm is NOT a substitute for filing an assignment.
`IA) NAME OF ASSIGNEE
`(B) RESIDENCE: (CITY and STATE OR COUNTRY}
`
`Please check the appropriate assignee category or categories I will not be printed on the patent] : D Individual El Corporation or other private group entity El Government
`
`4a. The following feet 5} are submitted:
`3 Issue Fee
`
`3 Publication Fee (No small entity disL‘ount permitted)
`3 Advance Order — # ot‘Copjcs
`
`
`
`41). Payment ot‘t-‘eeIsJ: (Please first reapply any previously paid issue fee shown above)
`3 A check is enclosed.
`
`3 Payment by credit card. Form PTO—2038 is attached.
`_
`jThe Director is hereby authorized to charge the required fee(s), any deficiency, or credit_ any
`overpayment, to Deposit Account Number
`(enclose an extra copy of this form).
`
`
`
`5. Change in Entity Status {from status indicated above]
`3 b. Applicant is no longer claiming SMALL ENTITY status. See '3? CFR I.2?(g)(2}.
`3 a. Applicant claims SMALL ENTITY status. See 3’? CFR 1.22.
`NOTE: The Issue Fee and Publication Fee (if required) will not be accepted from anyone other than the applicant: a registered attorney or agent; or the assignee or other party in
`interest as shown b the records of the United States Patent and Trademark Office.
`
`
`Authorimed Signature
`
`Typed or printed name
`
`Date
`
`Registration No.
`
`This collection of inIIIormationis required by ,3? CFR I. 3| I. The informationis re uired to obtain or retain a benefit by the public whichis to Iile (and by the USPTO to proLess)
`an application. ConIIIidentialityis governed by 35 US.C. I 22 and 37" CFR I.I4.
`is collectionIis estimated to take I'2 minutes to complete, including gatheringpreparing, and
`L
`submitting the completed .1ppration form to the USPTO. Time will va
`de
`nding upon the individual case. Any comments on the amount of time you require to com lele
`this form andfor su gestions for reducing this burden, should be sent to t e C ieII In amation Officer, U .S. Patent and Trademark Office, II. S. Department (11 Commerce O.
`Box 1450, Alexan na, Vir inia 223l3— 1450. DO NOT SEND FEES OR COMPI ETFD FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450,
`Alexandria, Virginia 2231. 1—450.
`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.
`
`P'I'OL—SS (Rev. 0810?) Approved for use through 0813112010.
`
`OMB 0651—0033
`
`US. Patent and Trademark Office: ‘L‘O‘WEJSWIIMZgnBagflnl-om -'
`TCL 1002, Page 10
`
`LOWES 1002, Page 10
`
`

`

`
`
`UNITED STATFS DEPARTMENT OF (TUNIMERCE
`United Stalcs Patcnl and Trademark Office
`Atklress: COMM ISSION] 5R FOR I’.‘\'I'l£N'i‘S
`PI]. liux I450
`Alexandria. Virginia 22313—1450
`www uspt0.gov
`
`
`[2548.618
`USIZWZUO‘)
`Yoshinori SIIIMIZU
`DOEU—SMTPUSS
`
`3292
`
`T59”
`
`EJIIZSFUII
`
`BIRCH STEWART KOLASCH & BIRCH
`PO BOX 7’47
`FALLS CHURCH, VA 22040-0747
`
`EXANIINER
`
`mm, W?“ 51‘ MW
`AR'I' UNIT
`PAI’ILR NUMBER
` 2822
`
`DATE MAILED: leZSIZDII
`
`Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)
`
`(application filed on or after May 29, 2000)
`
`The Patent Term Adjustment to date is 90 day(s). If the issue fee is paid on the date that is three months after the
`mailing date of this notice and the patent issues on the Tuesday before the date that is 28 weeks (six and a half
`months) after the mailing date of this notice, the Patent Term Adjustment will be 90 day(s).
`
`If a Continued Prosecution Application (CPA) was filed in the above-identified application, the filing date that
`determines Patent Term Adjustment is the filing date of the most recent CPA.
`
`Applicant will be able to obtain more detailed information by accessing the Patent Application Information Retrieval
`(PAIR) WEB site (http:f;’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)—2T2—T702. Questions relating to issue and publication fee payments should be
`directed to the Customer Service Center of
`the Office of Patent Publication at
`l-(888)-786-0101
`or
`(571)—272-4200.
`
`P'I'OL-ss (Rev. 03:0?) Approved I‘orusc through 088112010.
`
`Page 3 of 3
`
`LOWES 1002, Page 11
`TCL 1002, Page 11
`
`LOWES 1002, Page 11
`
`

`

`
`
`Application No.
`Applicantis)
`12548.61 8 SHIMIZU ET AL.
`
`Notice of Attowabftity
`Examiner
`Art Unit
`Michael Trinh 2822
`
`
`
`-- The MAILING DA TE of this communication appears on the cover sheet with the correspondence address--
`All claims being allowable. PROSECUTION ON THE MERITS IS (OR REMAINS) CLOSED in this application.
`If not included
`herewith (or previously mailed), a Notice of Allowance (PTOL—85) or other appropriate communication will be mailed in due course. THIS
`NOTICE OF ALLOWABILITY IS NOT A GRANT OF PATENT RIGHTS. This application is subject to withdrawal from issue at the initiative
`of the Office or upon petition by the applicant. See 37 CFR 1.313 and MPEP 1308.
`
`1. X This communication is responsive to August27, 2009.
`
`2. X The allowed claim(s) isr‘are 1—14.
`
`3. E Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)—(d) or (f).
`a) E All
`b) [I Some“
`c) El None
`of the:
`
`1.
`
`Certified copies of the priority documents have been received.
`
`2. El Certified copies of the priority documents have been received in Application No.
`
`
`
`3. El Copies of the certified copies of the priority documents have been received in this national stage application from the
`
`International Bureau (PCT Rule 17.2(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 of this application.
`THIS THREE-MONTH PERIOD IS NOT EXTENDABLE.
`
`4. El A SUBSTITUTE OATH OR DECLARATION must be submitted. Note the attached EXAMINER’S AMENDMENT or NOTICE OF
`INFORMAL PATENT APPLICATION (PTO—152) which gives reasonis) why the oath or declaration is deficient.
`
`5. El CORRECTED DRAWINGS ( as “replacement sheets”) must be submitted.
`(a) El including changes required by the Notice of Draftsperson’s Patent Drawing Review ( PTO-948) attached
`
`
`1) El hereto or 2) I] to Paper NoJMail Date
`
`(b) [I including changes required by the attached Examiner’s Amendment I Comment or in the Office action of
`
`Paper No.iMaiI Date
`Identifying indicia such as the application number (see 37 CFR 1.84ic)) should be written on the drawings in the front {not the back} of
`each sheet. Replacement sheetis) should be labeled as such in the header according to 37 CFR 1 .121id).
`
`6. El DEPOSIT OF anda’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.
`
`Altachmenfls)
`1.
`Notice of References Cited (PTO-892)
`
`2. El Notice of Draftperson's Patent Drawing Review (PTO-948)
`
`3.
`
`Information Disclosure Statements {PTOI‘SBIOS},
`Paper NoJMail Date See Continuation Sheet
`4. El Examiner's Comment Regarding Requirement for Deposit
`of Biological Material
`9. D Other
`IMichaeI Trinh:I
`
`5. El Notice of Informal Patent Application
`
`6. El Interview Summary (PTO-413).
`Paper No.I‘Mail Date
`.
`7. El Examiner's AmendmentiComment
`
`8. E Examiner‘s Statement of Reasons for Allowance
`
`Primary Examiner, Art Unit 2822
`
`
`US. Patent and Trademark O‘Hioe
`
`PTOL-37 { Rev. 08-05)
`
`Notice 01 Allowability
`
`Parl of Paper NoJMail Date 20110118
`
`LOWES 1002, Page 12
`TCL 1002, Page 12
`
`LOWES 1002, Page 12
`
`

`

`Continuation Sheet (PTOL-37}
`
`Application No. 12l548,618
`
`Continuation of Attachment(s) 3. Information Disclosure Statements (PTOISBI‘OB), Paper NoJMail Date: 8;???09; 12f4r’09; 7f13f10;
`11f1r’10: and 1280;“10.
`
`LOWES 1002, Page 13
`TCL 1002, Page 13
`
`LOWES 1002, Page 13
`
`

`

`Application/Control Number: 12/548,618
`
`Page 2
`
`Art Unit: 2822
`
`DETAILED ACTION
`
`*"*
`
`This office action is responsive to filling of the application on August 2?, 2009. Claims
`
`1- 14 are pending.
`
`Claims l—l4 are allowed.
`
`Allowable Subject Matter
`
`The following is a statement of reasons for the indication of allowable subject matter:
`
`The references of record, alone or in combination, do not fairly anticipatively disclose
`
`1.
`
`2.
`
`3.
`
`each and every aspect of the claimed light emitting diode, or fairly make a prima facie obvious
`
`case of the claimed light emitting diode, in combination with other claimed limitations as recited
`
`in base claim 1, the inclusion of having a transparent material covering said LED chip, and a
`
`phosphor contained in said transparent material and absorbing a part of light emitted by said
`
`LED chip and emitting light of wavelength different from that of the absorbed light; wherein the
`
`main emission peak of said LED chip is within the range from 400 nm to 530 nm, a
`
`concentration of said phosphor in the vicinity of said LED chip is larger than a concentration of
`
`said phosphor in the vicinity of the surface of said transparent material, and said phosphor
`
`diffuses the light from said LED chip and suppresses a formation of an emission pattern by a
`
`partial blocking of the light by said electrode.
`
`Any inquin concerning this communication or earlier communications from the
`examiner should be directed to Michael M. Trinh whose telephone number is (571) 272—1841
`The examiner can normally be reached on M-P: 9:00 Am to 5:30 Pm.
`If attempts to reach the examiner by telephone are unsuccessfiil, the examiner’s
`supervisor, Zandra Smith can be reached on (571) 272—2429. The central fax phone number is
`(703) 822—9306.
`
`Information regarding the status of an application may be obtained from the Patent
`
`Application Information Retrieval (PAIR) system. Status information for published applications
`may be obtained from either Private PAIR or Public PAIR. Status information for unpublished
`applications is available through Private PAIR only. For more information about the PAIR
`system, see http:r’r’pair-direct.uspto.gov. Should you have questions on access to the Private PAIR
`
`system, contact the Electronic Business Center (EBC) at 866-217-919? ("toll-free).
`Oacs—25A—l
`
`{Michael Trinhf
`
`Primary Examiner, Art Unit 2822
`
`LOWES 1002, Page 14
`TCL 1002, Page 14
`
`LOWES 1002, Page 14
`
`

`

`Notice of References Cited Examiner
`
`ApplicationiControl No.
`
`135455.518
`
`Applicant(s)iPatent Under
`Reexamination
`SHIMIZU ET AL.
`Art Unit
`
`U.5. PATENT DOCUMENTS
`
`.....2°;:.:e.i.i::~i:;... “—
`
`08—1991
`
`Latz et al.
`
`12—1998
`
`Butterworth et al.
`
`34582
`
`313512
`
`)
`
`0
`
`US—5.043,71 6
`
`USS—5.847.507
`
`US—
`
`US—
`
`US—
`
`US—
`
`US—
`
`US—
`
`US—
`
`US—
`
`US—
`
`US—
`
`
`
`
`
`
`
`Document Number
`
`Date
`
`Country Code-Number-Kind Code
`
`MM—YYYY
`
`FOREIGN PATENT DOCUMENTS
`
`Classification
`
`NON-PATENT DOCUMENTS
`
`Include as applicable: Author. Title Date. Publisher, Edition or Volume, Pertinent Pages)
`
`
`
`
`
`'A copy of this reference is not being furnished with this Office action. (See MPEP § ?0?_05(a‘]_‘1
`Dates in MM—YYYY format are publication dates. Classifications may be US or foreign.
`US. Patenl and Trademark Office
`
`PTO—892 (Rev. 01 2001)
`
`Notice 0! Reierences Cited
`
`Part of Paper No. 201101 13
`
`LOWES 1002, Page 15
`TCL 1002, Page 15
`
`LOWES 1002, Page 15
`
`

`

`
`
`searCh Notes
`
`ApplicationlControl No.
`
`Applicant{s)fPaienl under
`Reexamination
`
`123548.618
`SHIMIZU ET AL.
`Examiner
`Arl Unit
`
`
`Mi