PTO/SB/16 (10-07)
`Approved for use through 06/30/2010. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Underthe Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unlessit displays a valid OMB contro! number.
`PROVISIONAL APPLICATION FOR PATENT COVER SHEET — Page 1 of 2
`This is a requestforfiling a PROVISIONAL APPLICATION FOR PATENTunder 37 CFR 1.53(c).
`
`Express Mail Label No.
`
`Given Name(first and middle[if any])
`
`Family Name or Surname
`
`Kenghong
`
`Residence
`City and either State or Foreign Count
`
`
`
`Torrance, California
`
`Inine, Caltfornia
`
`separately numbered sheets attached hereto
`Additional inventors are being named on the
`TITLE OF THE INVENTION(500 characters max):
`
`LED Lighting Fixture
`
`
`
`
`24201
`
`
`
`
`
`
`
`
`
`
` Direct all correspondenceto:
`CORRESPONDENCE ADDRESS
`
`The address corresponding to Customer Number:
`
`
`
`
`OR
`Firm or
`
`Individual Name
`
`
`Address
`
`
`
`City
`State
`Zip
`
`
`Country
`Telephone
`
`ENCLOSED APPLICATION PARTS(checkall that apply)
`
`
`
`LJ CD(s), Numberof CDs
` [| Application Data Sheet. See 37 CFR 1.76
`
`Drawing(s) Number of Sheets 29
`L] Other(specify
`
`
`
`4
`Specification (e.g. description of the invention) Number of Pages
`Fees Due:Filing Fee of $210 ($105 for small entity).
`‘If the specification and draw ngs exceed 100 sheets of Paper, an application size fee is
`also due, which is $260 ($130 for small entity) for each additional 50 sheets orfraction thereof. See 35 U.S.C. 41(a)(1)(G) and 37 CFR 1.16(s).
`
`
`METHOD OF PAYMENTOFTHEFILING FEE AND APPLICATIONSIZE FEE FOR THIS PROVISIONAL APPLICATION FOR PATENT
`
`Applicant claims small entity status. See 37 CFR 1.27.
`|
`LJ A check or money orderis enclosed to coverthefiling fee and application size fee (if applicable).
`
`
`Paymentby credit card. Form PTO-2038is attached
`TOTAL FEE AMOUNT($)
`
`
`
`
`The Director is hereby authorized to chargethefiling fee and application size fee (if applicable) or credit any overpayment to Deposit
`Account Number:
`. Aduplicative copyof this form is enclosed for fee processing.
`
`USE ONLY FORFILING A PROVISIONAL APPLICATION FOR PATENT
`This collection of information is required by 37 CFR 1.51. 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 1.11 and 4.14. This collection is estimated to take 8 hours to complete,
`including gathering, preparing, and submitting the completed application form to the USPTO. Timewill 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, 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.
`ifyou needassistance in completing the form, call 1-800-PTO-9199 and select option 2.
`
`
`
`
`
`PETITIONERS, Ex. 1024; PG. 1
`
`PETITIONERS, Ex. 1024; PG. 1
`
`

`

`PROVISIONAL APPLICATION COVER SHEET
`Page 2 of 2
`
`PTO/SB/16 (10-07)
`Approvedfor use through 06/30/2010. 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 respondto a collection of information unlessit displays a valid OMB control number.
`
`Theinvention was made by an agencyof the United States Governmentor undera contract with an agencyofthe United States Government.
`No.
`
`[] Yes, the name of the U.S. Government agency and the Government contract numberare:
`
`WARNING:
`Petitioner/applicant is cautioned to avoid submitting personal information in documentsfiled in a patent application that may
`contribute to identity theft. Personal information such as social security numbers, bank account numbers, or credit card
`numbers (other than a check or credit card authorization form PTO-2038 submitted for payment purposes) is never required by
`the USPTO to support a petition or an application.
`If this type of personal information is included in documents submitted to
`the USPTO,petitioners/applicants should consider redacting such personal information from the documents before submitting
`them to the USPTO. Petitioner/applicant is advised that the record of a patent application is available to the public after
`publication of the application (unless a non-publication request in compliance with 37 CFR 1.213(a) is made in the application)
`or issuance of a patent. Furthermore, the record from an abandoned application may also be available to the public if the
`application is referenced in a published application or an issued patent (see 37 CFR 1.14). Checks and credit card
`authorization forms PTO-2038 submitted for payment purposes are not retained in the application file and therefore are not
`publicly available.
`
` SIGNATURE
`
`TYPED or PRINTED NAME James Juo
`
`pate LOS Of 2%)
`
`REGISTRATION NO. 36177
`(if appropriate)
`
`TELEPHONE 310-824-5555
`
`Docket Number: JIMWA-78288
`
`PETITIONERS, Ex. 1024; PG. 2
`
`PETITIONERS, Ex. 1024; PG. 2
`
`

`

`Filing Date:
`
`Title of Invention:
`
`LED Lighting Fixture
`
`First Named Inventor/Applicant Name:
`
`Electronic Patent Application Fee Transmittal
`
`PETITIONERS,Ex. 1024; PG.3
`
`Provisional Filing Fees
`
`aminrc|com]rn |
`
`Basic Filing:
`
`Miscellaneous-Filing:
`
`Patent-Appeals-and-Interference:
`
`Post-Allowance-and-Post-Issuance:
`
`Extension-of-Time:
`
`PETITIONERS, Ex. 1024; PG. 3
`
`

`

`men|rTae] |
`
`Miscellaneous: Total in USD ($)
`
`PETITIONERS, Ex. 1024; PG. 4
`
`PETITIONERS, Ex. 1024; PG. 4
`
`

`

`ec
`
`temps
`
`Title of Invention:
`
`LED Lighting Fixture
`
`
`
`es
`
`a e
`
`s
`
`Paymentinformation:
`
`Charge any Additional Fees required under 37 C.F.R. Section 1.16 and 1.17
`
`The Director of the USPTOis hereby authorized to charge indicated fees and credit any overpaymentas follows:
`
`File Listing:
`
`PETITIONERS, Ex. 1024; PG. 5
`
`PETITIONERS, Ex. 1024; PG. 5
`
`

`

`Document
`
`was
`
`File Size((Bytes)
`
`Multi
`
`rages
`
`Specification
`
`SFX63.pdf
`
`2192319
`
`36873a075b0d7d9ceb5e87b78cd980a,
`318b9aa9a
`
`Warnings:
`
`Information:
`
`Warnings:
`
`Information:
`
`Warnings:
`
`Information:
`
`Transmittal of New Application
`
`SFX66cover.pdf
`
`23at4baicca286c370e7eb&ca323abd16
`
`Fee Worksheet (PTO-06)
`
`fee-info.pdf
`
`tc18c209ce3a878d1b734517220497ca
`1a01leet
`
`Receipt will establish the international filing date of 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 internationalfiling date (see PCT Article 11 and MPEP 1810), a Notification of the
`International Application Numberandof the 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
`
`This AcknowledgementReceipt evidencesreceipt on the noted date by the USPTOofthe indicated documents,
`characterized by the applicant, and including page counts, where applicable.
`It serves as evidenceof 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
`shown on this AcknowledgementReceipt will establish the filing 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/E0O/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.
`
`PETITIONERS, Ex. 1024; PG. 6
`
`PETITIONERS, Ex. 1024; PG. 6
`
`

`

`PROVISIONAL APPLICATION
`JIMWA-78288
`
`DISCLOSURE
`
`The LED lighting fixture is preferably includes a low profile heat sink integrated with
`
`baffle of the trim. The Heat Sink is part of the baffle, and draws heat out of the Recessed Can.
`
`In one embodiment, the Baffle also includes the Ring as one part. Together they work to release
`
`heat into the room below and Out of the Can. In the Gimbal Trim version the Ringis not part of
`
`the Baffle. Even so the heat is drawn out of the Can into the room below.
`
`Features of this LED Recessed Trim include:
`
`1,
`
`The LED Trim is grounded to the Recessed Can using a Spring Clip, where the
`
`Clip can be attached to any metal edge inside the Recessed Can.
`
`2.
`
`The function of achieving metal to metal contact, by assembling the Cone shaped
`
`LED Cupto the Cone shaped Baffle to effect heat transfer from the LED Cupto the Baffle,
`
`drawing heat away from the LED Cupandinto the Heat Sink of the Baffle, and in turn emitting
`
`this heat into the atmosphere of the room.
`
`3.
`
`To incorporate a Heat Sink ontherear of the Baffle to effect heat transfer out of
`
`the Recessed Can, and into the atmosphereof the room.
`
`As shownin the Exploded view of the Non-Gimbal embodiment, a transparentplate 3 is
`
`placed within an alcove formedin baffle for receiving the light emitting diodes (LEDs). Heat
`
`produced by the LEDs can be removed from the alcove by the low profile heat sink integrally
`
`formedaspart of the baffle. The spring clips 8 are attachedto the sides of the fixture. The
`
`baffle trim 1 mayincludepillars to hold a gasket in place on the ring ofthe trim.
`
`The LEDsare attached to an printed circuit board 6 (PCB). An LED lens 7 may be
`
`placed over the LEDs on the PCB. The LED leads may be soldered to the PCB suchthat the
`
`LEDslugsare flush against the PCB surface. The PCB maybe secured to the housing using
`
`mounting screws fed through the holes provided on the PCB. The driver 5 may be mounted on
`
`the fixture and electrically connected to the PCB to drive the LEDs. The driver 5 may be
`
`powered bya light socket adaptor. A separate grounding wire mayalso be included.
`
`As shownin the Exploded view of the Gimbal embodiment,the baffle can pivot along an
`
`axis of rotation, and it can also be swiveled 360 degrees. Tabs maybeincludedas stoppers to
`
`preventthe baffle from rotating more than 360 degrees in each direction.
`
`Inventors: Kanghong Zhang and Dan Dix.
`
`PETITIONERS, Ex. 1024; PG. 7
`
`PETITIONERS, Ex. 1024; PG. 7
`
`

`

`ADD CUTS THRU
`
`PROVISIONAL APPLICATION
`
`JIMWA-78288
`
`REVISED BAFFLE FRI
`
`
`
`No Gimbal Embodiment
`
`EXPLODED VIEW
`
`PETITIONERS, Ex. 1024; PG. 8
`
`PETITIONERS, Ex. 1024; PG. 8
`
`

`

`PROVISIONAL APPLICATION
`JIMWA-78288
`
`Heat sink
`
`No Gimbal Embodiment
`
`PETITIONERS, Ex. 1024; PG. 9
`
`PETITIONERS, Ex. 1024; PG. 9
`
`

`

`PROVISIONAL APPLICATION
`JIMWA-78288
`
`
`
`
`
`
`—REVISED TRIM CUP SEE
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`
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`
`EXPLODED VIEW
`
`PETITIONERS, Ex. 1024; PG. 10
`
`PETITIONERS, Ex. 1024; PG. 10
`
`

`

`PROVISIONAL APPLICATION
`JIMWA-78288
`
`Heat sink
`
`Gimbal Embodiment
`
`PETITIONERS, Ex. 1024; PG. 11
`
`PETITIONERS, Ex. 1024; PG. 11
`
`

`

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`PETITIONERS, Ex. 1024; PG. 12
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`EXPLODED VIEWS
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`PETITIONERS, Ex. 1024; PG. 13
`
`PETITIONERS, Ex. 1024; PG. 13
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`PTHINOSO7-RTOT-OOT
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`
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`~
`EXPLODED VIEWS
`
`
`
`
`PETITIONERS, Ex. 1024; PG. 15
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`PETITIONERS, Ex. 1024; PG. 15
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`

`

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`
`PETITIONERS, Ex. 1024; PG. 21
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`PETITIONERS, Ex. 1024; PG. 21
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`PETITIONERS, Ex. 1024
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`PG. 22
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`PETITIONERS, Ex. 1024; PG. 22
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`PG. 23
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`PG. 25
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`PETITIONERS, Ex. 1024; PG. 28
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`PETITIONERS, Ex. 1024; PG. 28
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`PETITIONERS, Ex. 1024; PG. 29
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`PETITIONERS, Ex. 1024; PG. 29
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`

`

`RECESSED BAFFLE TRIM
`
`SPECIFICATION
`
`Kanghong Zhang and Dan Dix, have invented a new,original, and ornamental
`
`design fora RECESSED BAFFLE TRIM,asset forth in the following specification,
`
`with reference being madeto the accompanying drawings forminga part thereof,
`
`wherein:
`
`FIG. 1 is a bottom perspective view of one embodiment of a RECESSED
`
`BAFFLE TRIM showing the new design;
`
`FIG, 2 is a top perspective view of FIG.1;
`
`FIG.3 is a side view of FIG.1;
`
`FIG.4 is anotherside view of FIG.1;
`
`FIG. 5 is a bottom view of FIG.1;
`
`FIG.6 is a top view of FIG.1;
`
`FIG.7 is a bottom perspective view of a second embodiment of a RECESSED
`
`BAFFLE TRIM showing the new design;
`
`FIG.8 is a top perspective view of FIG.7;
`
`FIG. 9 is a side view of FIG.7;
`
`FIG. 10 is another side view of FIG.7;
`
`FIG. 11 is a bottom view of FIG.7;
`
`PETITIONERS, Ex. 1024; PG. 30
`
`PETITIONERS, Ex. 1024; PG. 30
`
`

`

`-2-
`
`DESIGN PATENT
`JIMWA-78287
`
`FIG, 12 is a top view ofFIG.7;
`
`FIG. 13 is a side view of FIG. 7 with the baffle trim portion in a rotated
`
`position; and
`
`FIG.14 is a top perspective view of FIG. 7 with the baffle trim portion in a
`
`rotated position.
`
`Structure such as the socket and wires shown in broken lines are forillustrative
`
`purposes only and form nopart of the claimed design.
`
`PETITIONERS, Ex. 1024; PG. 31
`
`PETITIONERS, Ex. 1024; PG. 31
`
`

`

`-3-
`
`DESIGN PATENT
`JIMWA-78287
`
`CLAIM:
`
`The ornamental design fora RECESSED BAFFLE TRIM,as shown and
`
`described.
`
`199581.1
`
`PETITIONERS, Ex. 1024; PG. 32
`
`PETITIONERS, Ex. 1024; PG. 32
`
`

`

`Sheet 1 out of 7
`
`FIG. 1
`
`FIG. 2
`
`PETITIONERS, Ex. 1024; PG. 33
`
`PETITIONERS, Ex. 1024; PG. 33
`
`

`

`Sheet 2 out of 7
`
`
`
`
`
`
`
`FIG. 3
`
`FIG. 4
`
`PETITIONERS, Ex. 1024; PG. 34
`
`PETITIONERS, Ex. 1024; PG. 34
`
`

`

`Sheet 3 out of 7
`
`FIG. 5 FIG. 6
`
`PETITIONERS, Ex. 1024; PG. 35
`
`PETITIONERS, Ex. 1024; PG. 35
`
`

`

`Sheet 4 out of 7
`
`
`
`
`FIG. 7
`
`FIG. 8
`
`PETITIONERS, Ex. 1024; PG. 36
`
`PETITIONERS, Ex. 1024; PG. 36
`
`

`

`Sheet 5 out of 7
`
`
`
`
`FIG. 9
`
`FIG. 10
`
`PETITIONERS, Ex. 1024; PG. 37
`
`PETITIONERS, Ex. 1024; PG. 37
`
`

`

`Sheet 6 out of 7
`
`FIG. 11
`
`FIG, 12
`
`PETITIONERS, Ex. 1024; PG. 38
`
`PETITIONERS, Ex. 1024; PG. 38
`
`

`

`Sheet 7 out of 7
`
`FIG. 13
`
`FIG. 14
`
`PETITIONERS, Ex. 1024; PG. 39
`
`PETITIONERS, Ex. 1024; PG. 39
`
`

`

`
`
`APPLICATION
`NUMBER
`60/979,068
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`A,
`(OX
`Address: COMMISSIONER FOR PATENTS
`Alexandria, Virginia 22313-1450
`www.uspto.gov
`
`FILING or
`371(c) DATE
`10/10/2007
`
`GRP ART
`UNIT
`
`
`
`
`
`FIL
`
`FEE REC'D
`105
`
`ATTY.DOCKET.NO
`JIMWA-78288
`
`ITOT CLAIMSIND CLAIMS
`
`CONFIRMATIONNO. 4843
`
`FILING RECEIPT
`
`0.000400
`
`Date Mailed: 10/19/2007
`
`24201
`FULWIDER PATTON LLP
`
`HOWARD HUGHES CENTER
`
`6060 CENTER DRIVE, TENTH FLOOR
`LOS ANGELES, CA 90045
`
`It will not be examined for patentability and will
`Receipt is acknowledged of this provisional patent application.
`become abandonednotlater than twelve monthsafter its filing date. Any correspondence concerning the application
`mustinclude the following identification information: the U.S. APPLICATION NUMBER, FILING DATE, NAME OF
`APPLICANT, and TITLE OF INVENTION. Feestransmitted by checkor draft are subject to collection. Please verify
`the accuracy of the data presented on this receipt. If an error is noted on this Filing Receipt, please write to the
`Office of Initial Patent Examination's Filing Receipt Corrections. Please provide a copyof this Filing Receipt
`with the changes noted thereon. If you received a "Notice to File Missing Parts"for this application, please
`submit any corrections to this Filing Receipt with your reply to the Notice. When the USPTO processes the
`reply to the Notice, the USPTO will generate another Filing Receipt incorporating the requested corrections
`
`Applicant(s)
`
`Kanghong Zhang, Torrance, CA;
`Dan Dix, Irvine, CA;
`Powerof Attorney:
`James Juo--36 177
`
`If Required, Foreign Filing License Granted: 10/17/2007
`The country code and number of your priority application, to be usedfor filing abroad under the Paris Convention,
`is US 60/979,068
`Projected Publication Date: None, application is not eligible for pre-grant publication
`Non-Publication Request: No
`Early Publication Request: No
`** SMALL ENTITY **
`Title
`
`LED Lighting Fixture
`
`PROTECTING YOUR INVENTION OUTSIDE THE UNITED STATES
`
`Since the rights granted by a U.S. patent extend only throughoutthe territory of the United States and have no
`effect in a foreign country, an inventor who wishes patent protection in another country must apply for a patent
`in a specific country or in regional patent offices. Applicants may wish to consider the filing of an international
`application under the Patent Cooperation Treaty (PCT). An international (PCT) application generally has the same
`effect as a regular national patent application in each PCT-member country. The PCT process simplifies the filing
`of patent applications on the same invention in member countries, but does notresult in a grantof "an international
`page 1 of 3
`
`PETITIONERS, Ex. 1024; PG. 40
`
`PETITIONERS, Ex. 1024; PG. 40
`
`

`

`patent" and doesnoteliminate the needof applicantsto file additional documents and fees in countries where patent
`protection is desired.
`
`Almost every country has its own patent law, and a person desiring a patent in a particular country must make an
`application for patent in that country in accordancewith its particular laws. Since the laws of many countries differ
`in various respects from the patent law of the United States, applicants are advised to seek guidance from specific
`foreign countries to ensure that patent rights are not lost prematurely.
`
`Applicants also are advised that in the case of inventions madein the United States, the Director of the USPTO must
`issue a license before applicants can apply for a patent in a foreign country. Thefiling of a U.S. patent application
`serves as a request for a foreign filing license. The application's filing receipt contains further information and
`guidance asto the status of applicant's license for foreign filing.
`
`Applicants may wish to consult the USPTO booklet, "General Information Concerning Patents”(specifically, the
`section entitled "Treaties and Foreign Patents") for more information on timeframes and deadlinesfor filing foreign
`patent applications. The guide is available either by contacting the USPTO Contact Center at 800-786-9199, or it
`can be viewed on the USPTO website at http://“www.uspto.gov/web/offices/pac/doc/general/index.html.
`
`For information on preventing theft of your intellectual property (patents, trademarks and copyrights), you may wish
`to consult the U.S. Government website, http:/Avww.stopfakes.gov. Part of a Department of Commerceinitiative,
`this website includes self-help "toolkits" giving innovators guidance on how to protectintellectual property in specific
`countries such as China, Korea and Mexico. For questions regarding patent enforcementissues, applicants may
`call the U.S. Governmenthotline at 1-866-999-HALT (1-866-999-4158).
`
`LICENSE FOR FOREIGN FILING UNDER
`
`Title 35, United States Code, Section 184
`
`Title 37, Code of Federal Regulations, 5.11 & 5.15
`
`GRANTED
`
`if the phrase "IF REQUIRED, FOREIGN FILING
`The applicant has been granted a license under 35 U.S.C. 184,
`LICENSE GRANTED"followed by a date appears on this form. Such licenses are issuedin all applications where
`the conditions for issuance of a license have been met, regardless of whether or not a license may be required as
`set forth in 37 CFR 5.15. The scope andlimitations of this license are set forth in 37 CFR 5.15(a) unless an earlier
`license has been issued under 37 CFR 5.15(b). The license is subject to revocation upon written notification. The
`date indicatedis the effective date of the license, unless an earlier license of similar scope has been granted under
`37 CFR 5.13 or 5.14.
`
`This licenseis to be retained by the licensee and maybe usedat any time onor after the effective date thereof unless
`it is revoked. This license is automatically transferred to any related applications(s) filed under 37 CFR 1.53(d). This
`license is not retroactive.
`
`The grantof a license doesnot in any way lessen the responsibility of a licensee for the security of the subject matter
`as imposed by any Governmentcontract or the provisions of existing laws relating to espionage and the national
`security or the export of technical data. Licensees should apprise themselvesof current regulations especially with
`respect to certain countries, of other agencies, particularly the Office of Defense Trade Controls, Department of
`State (with respect to Arms, Munitions and Implements of War (22 CFR 121-128)); the Bureau of Industry and
`page 2 of 3
`
`PETITIONERS, Ex. 1024; PG. 41
`
`PETITIONERS, Ex. 1024; PG. 41
`
`

`

`Security, Department of Commerce (15 CFR parts 730-774); the Office of Foreign AssetsControl, Department of
`Treasury (31 CFR Parts 500+) and the Department of Energy.
`
`NOT GRANTED
`
`No license under 35 U.S.C. 184 has been granted at this time, if the phrase "IF REQUIRED, FOREIGN FILING
`LICENSE GRANTED" DOESNOTappear on this form. Applicant maystill petition for a license under 37 CFR 5.12,
`if a license is desired before the expiration of 6 months from thefiling date of the application. If 6 months has lapsed
`from thefiling date of this application and the licensee has not received any indication of a secrecy order under 35
`U.S.C. 181, the licensee mayforeign file the application pursuant to 37 CFR 5.15(b).
`
`page 3 of 3
`
`PETITIONERS, Ex. 1024; PG. 42
`
`PETITIONERS, Ex. 1024; PG. 42
`
`