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`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
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`Complete if Known
`13/369,609
`February 9, 2012
`Frederick E. Shelton, IV
`3721
`Brian D. Nash
`END5924USCNT2/060339CON2
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`Substitute for form 1449/PTO
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`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
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`(use as many sheets as necessary)
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`2003/0093103 A1
`2006/0212069 A1
`2008/0167522 A1
`2008/0167672 A1
`2008/0308603 A 1
`2009/0206131 A1
`2011/0288573 A1
`2011/0290851 A1
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`2011 /0290854 A 1
`2011/0290856 A1
`2011/0295242 A1
`2011/0295269 A1
`2011/0295270 A1
`2011/0295295 A1
`2012/0298719 A1
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`5,688,270
`5,693,042
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`5,817,084
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`6,231,565 81
`6,364,888 81
`6,648,816 82
`6,978,921 82
`6,981,628 82
`7,077,856 82
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`05-15-2003
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`12-18-2008
`08-20-2009
`11-24-2011
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`12-01-2011
`12-01-2011
`12-01-2011
`12-01-2011
`12-01-2011
`12-01-2011
`12-01-2011
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`11-14-1995
`08-05-1997
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`10-17-2000
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`04-02-2002
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`12-27-2005
`01-03-2006
`07-18-2006
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`Giordano et al.
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`Date
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`PTO/SB/08a (07-09)
`Approved for use through 07/31/2012. 0MB 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 0MB control number
`Complete if Known
`13/369,609
`February 9, 2012
`Frederick E. Shelton, IV
`3721
`Brian D. Nash
`END5924USCNT2/060339CON2
`
`Application Number
`Filing Date
`First Named Inventor
`
`Art Unit
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`Attorney Docket Number
`
`Substitute for form 1449/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`(use as many sheets as necessary)
`I of I a2
`Sheet
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`7,416,101 B2
`7,524,320 B2
`7,607,557 B2
`7,670,334 B2
`7,673,781 B2
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`06-01-2010
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`03-08-2011
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`Tierney et al.
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`Hueil et al.
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`Nowlin et al.
`Manzo et al.
`Shelton, IV et al.
`Giordano et al.
`Shelton, IV et al.
`
`Examiner
`Signature
`
`Date
`Considered
`
`*EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance
`and not considered. Include copy of this form with next communication to applicant. 1 Applicant's unique citation designation 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 number of the patent
`document. 5 Kind of document by the appropriate symbols as indicated on the document under WIPO Standard ST.16 if possible. 6 Applicant is to
`place a check mark here if English language Translation is attached.
`
`This collection of information is required by 37 CFR 1.97 and 1.98. The information is required to obtain or retain a benefit by the public which is to file
`(and by the USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 2
`hours to complete, including gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the
`individual case. Any comments on the amount of time you require to complete this form and/or suggestions for reducing this burden, should be sent to
`the Chief Information Officer, U.S. Patent and Trademark Office, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR
`COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`If vou need assistance in completing tne form, call 1-800-PT0-9199 f1-800-786-9199J and select option 2.
`
`358
`
`

`

`PTO/SB/08a (07-09)
`Approved for use through 07/31/2012. 0MB 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 ii contains a valid 0MB control number
`Complete if Known
`13/369,609
`February 9, 2012
`Frederick E. Shelton, IV
`3721
`Brian D. Nash
`END5924USCNT2/060339CON2
`
`Substitute for form 1449/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`( use as many sheets as necessary)
`I of I 82
`Sheet
`13
`
`Application Number
`
`Filing Date
`
`First Named Inventor
`
`Art Unit
`
`Examiner Name
`
`Attorney Docket Number
`
`FOREIGN PATENT DOCUMENTS
`Foreign Patent Document
`
`Examiner
`Initials*
`
`Cite
`No. 1
`
`Country Code3-Number4-Kind Code5 (if known)
`
`EP 1943957 A2
`EP 2090245 A1
`
`JP 2003-500153 A (English Abstract)
`JP 2005-523105 A (English Abstract)
`WO 03/020139 A2
`WO 03/090630 A2
`WO 2006/132992 A 1
`
`Publication
`Date
`MM-DD-YYYY
`
`07-16-2008
`08-19-2009
`
`01-07-2003
`08-04-2005
`03-13-2003
`11-06-2003
`12-14-2006
`
`Pages, Columns, Lines,
`Where Relevant
`Passages or Relevant
`Figures Appear
`
`T"
`
`Name of Patentee or
`Applicant of Cited
`Document
`
`Giordano et al.
`Weisenburgh, II et
`al.
`Whitman
`Heinrich et al.
`Vleugels et al.
`Heinrich et al.
`Viola et al.
`
`.
`
`Examiner
`Signature
`
`Date
`Considered
`
`*EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance
`and not considered. Include copy of this form with next communication to applicant. 1 Applicant's unique citation designation number (optional). 2 See
`Kinds Codes of US PTO 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 number of the patent
`document. 5 Kind of document by the appropriate symbols as indicated on the document under WIPO Standard ST.16 if possible. 6 Applicant is to
`place a check mark here if English language Translation is attached.
`
`This collection of information is required by 37 CFR 1.97 and 1.98. The information is required to obtain or retain a benefit by the public which is to file
`(and by the USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 2
`hours to complete, including gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the
`individual case. Any comments on the amount of time you require to complete this form and/or suggestions for reducing this burden, should be sent to
`the Chief Information Officer, U.S. Patent and Trademark Office, P.O. BOX 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR
`COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`If you need assistance in completing the form, ca/11-800-PTO-9199 f1-800-786-9199J and select option 2.
`
`359
`
`

`

`PTO/SB/08b (07-09)
`Approved for use through 07/31/2012. 0MB 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 0MB control number
`Complete if Known
`13/369,609
`February 9, 2012
`Frederick E. Shelton, IV
`3721
`Brian D. Nash
`END5924USCNT2/060339CON2
`
`Application Number
`Filing Date
`First Named Inventor
`Art Unit
`Examiner Name
`Attorney Docket Number
`
`Substitute for form 1449/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`(use as many sheets as necessary)
`I of I a2
`14
`Sheet
`
`Examiner
`Initials*
`
`Cite
`No.1
`
`NON PATENT LITERATURE DOCUMENTS
`Include name of the 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\, oublisher, citv and/or countrv where published.
`European Examination Report, Application No. 08250100.8, dated February 19, 2009 (4 pages).
`
`T2
`
`European Search Report, Application No. 08250080.2, dated November 4, 2009 (7 pages).
`
`European Examination Report, Application No. 08250093.5, dated June 14, 2010 (5 pages).
`
`European Examination Report, Application No. 08250080.2, dated June 14, 2010 (4 pages).
`
`International Search Report for PCT/US2012/026997, May 7, 2012 (5 pages).
`
`Written Opinion for PCT/US2012/026997, May 7, 2012 (6 pages).
`
`International Search Report for PCT/US2012/039156, October 29, 2012 (4 pages).
`
`Written Opinion for PCT/US2012/039156, October 29, 2012 (6 pages).
`
`European Search Report for Application No. 12173458.6, dated December 6, 2012 (8 pages).
`
`Examiner
`Signature
`
`Date
`Considered
`
`*EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance
`and not considered. Include copy of this form with next communication to applicant.
`1 Applicant's unique citation designation number (optional). 2 Applicant is to place a check mark here if English language Translation is attached. This
`collection of information is required by 37 CFR 1.98. The information is required to obtain or retain a benefit by the public which is to file (and by the
`USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 2 hours to
`complete, including gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the individual
`case. Any comments on the amount of time you require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief
`Information Officer, U.S. Patent and Trademark Office, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED
`FORMS TO THIS ADDRESS. SENDTO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`If vou need assistance in completing tne form, call 1-800-PT0-9199 (1-800-786-9199/ and select option 2.
`
`360
`
`

`

`PTO/SB/08a (07-09)
`Approved for use through 07/31/2012. 0MB 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 0MB control number
`Complete if Known
`13/369,609
`February 9, 2012
`Frederick E. Shelton, IV
`3721
`Brian D. Nash
`END5924USCNT2/060339CON2
`
`Application Number
`Filing Date
`First Named Inventor
`Art Unit
`Examiner Name
`Attorney Docket Number
`
`Substitute for form 1449/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`(use as many sheets as necessary)
`I of I a2
`15
`Sheet
`
`Examiner
`Initials*
`
`Cite
`No. 1
`
`I Examiner
`
`Signature
`
`Document Number
`
`Number - Kind Code2 (if known)
`
`U.S. PATENT DOCUMENTS
`Name of Patentee or
`Publication Date
`Applicant of Cited Document
`MM-DD-YYYY
`
`Pages, Columns, Lines, Where
`Relevant Passages or Relevant
`Figures Appear
`
`2002/0022836 A 1
`2002/0029036 A 1
`2002/0117534 A 1
`2002/0134811 A1
`2002/0165541 A 1
`2003/0105478 A1
`2003/0130677 A 1
`2003/0139741 A1
`2003/0153908 A1
`2003/0195387 A 1
`2003/0205029 A 1
`2003/0216732 A1
`2003/0220660 A 1
`2004/0002726 A1
`2004/0006335 A 1
`2004/0006340 A 1
`2004/0006372 A1
`2004/0030333 A 1
`2004/0034357 A1
`2004/0034369 A 1
`2004/0044364 A 1
`2004/0068161 A1
`2004/0068307 A1
`2004/0070369 A 1
`2004/0078037 A1
`2004/0093024 A1
`2004/0094597 A 1
`2004/0097987 A1
`2004/0101822 A1
`2004/0108357 A1
`2004/0111081 A1
`
`02-21-2002
`03-07-2002
`08-29-2002
`09-26-2002
`11-07-2002
`06-05-2003
`07-10-2003
`07-24-2003
`08-14-2003
`10-16-2003
`11-06-2003
`11-20-2003
`11-27-2003
`01-01-2004
`01-08-2004
`01-08-2004
`01-08-2004
`02-12-2004
`02-19-2004
`02-19-2004
`03-04-2004
`04-08-2004
`04-08-2004
`04-15-2004
`04-22-2004
`05-13-2004
`05-20-2004
`05-20-2004
`05-27-2004
`06-10-2004
`06-10-2004
`
`Goble et al.
`Goble et al.
`Green et al.
`Napier et al.
`Whitman
`Whitman et al.
`Whitman et al.
`Goble et al.
`Goble et al.
`Kortenbach et al.
`Chapolini et al.
`Truckai et al.
`Kortenbach et al.
`Nunez etal.
`Garrison
`Latterell et al.
`Racenet et al.
`Goble
`Beane et al.
`Sauer et al.
`DeVries et al.
`Couvillon, Jr.
`Goble
`Sakahibara
`Batchelor et al.
`Lousararian et al.
`Whitman et al.
`Pugsley et al.
`Weisner et al.
`Milliman etal.
`Whitman et al.
`
`Date
`Considered
`
`*EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance
`and not considered. Include copy of this form with next communication to applicant. 1 Applicant's unique citation designation number (optional). 2 See
`Kinds Codes of US PTO 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 number of the patent
`document. 5 Kind of document by the appropriate symbols as indicated on the document under WIPO Standard ST.16 if possible. 6 Applicant is to
`place a check mark here if English language Translation is attached.
`
`This collection of information is required by 37 CFR 1.97 and 1.98. The information is required to obtain or retain a benefit by the public which is to file
`(and by the USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 2
`hours to complete, including gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the
`individual case. Any comments on the amount of time you require to complete this form and/or suggestions for reducing this burden, should be sent to
`the Chief Information Officer, U.S. Patent and Trademark Office, P.O. BOX 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR
`COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`If you need assistance in completing the form, ca/11-800-PT0-9199 (1-800-786-9199) and select option 2.
`
`361
`
`

`

`PTO/SB/08a (07-09)
`Approved for use through 07/31/2012. 0MB 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 infonnation unless it contains a valid 0MB control number
`Comolete if Known
`13/369,609
`February 9, 2012
`Frederick E. Shelton, IV
`3721
`Brian D. Nash
`END5924USCNT2/060339CON2
`
`Application Number
`Filing Date
`First Named Inventor
`Art Unit
`Examiner Name
`Attorney Docket Number
`
`Substitute for form 1449/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`(use as many sheets as necessary)
`I of I a2
`Sheet
`16
`
`Examiner
`Initials*
`
`Cite
`No. 1
`
`I Examiner
`
`Signature
`
`Document Number
`
`Number - Kind Code2 (if known)
`
`U.S. PATENT DOCUMENTS
`Name of Patentee or
`Publication Date
`MM-DD-YYYY
`Applicant of Cited Document
`
`Pages, Columns, Lines, Where
`Relevant Passages or Relevant
`Figures Appear
`
`2004/0115022 A 1
`2004/0116952 A 1
`2004/0147909 A1
`2004/0164123 A1
`2004/0167572 A1
`2004/0173659 A 1
`2004/0181219 A1
`2004/0186470 A1
`2004/0193189 A1
`2004/0222268 A 1
`2004/0230214 A1
`2004/0232201 A 1
`2004/0243151 A1
`2004/0243163 A1
`2004/0243176 A1
`2004/0254566 A 1
`2004/0254608 A 1
`2004/0260315 A1
`2004/0267310 A1
`2005/0032511 A 1
`2005/0033357 A1
`2005/0054946 A 1
`2005/0059997 A 1
`2005/0070929 A 1
`2005/0080454 A 1
`2005/0085693 A 1
`2005/0090817 A1
`2005/0103819 A1
`2005/0107814 A1
`2005/0107824 A1
`2005/0113820 A 1
`
`06-17-2004
`06-17-2004
`07-29-2004
`08-26-2004
`08-26-2004
`09-09-2004
`09-16-2004
`09-23-2004
`09-30-2004
`11-11-2004
`11-18-2004
`11-25-2004
`12-02-2004
`12-02-2004
`12-02-2004
`12-16-2004
`12-16-2004
`12-23-2004
`12-30-2004
`02-10-2005
`02-10-2005
`03-10-2005
`03-17-2005
`03-31-2005
`04-14-2005
`04-21-2005
`04-28-2005
`05-19-2005
`05-19-2005
`05-19-2005
`05-26-2005
`
`Albertson et al.
`Sakurai et al.
`Johnston et al.
`Racenet et al.
`Roth et al.
`Green et al.
`Goble et al.
`Goble et al.
`Kortenbach et al.
`Bilotti et al.
`Donofrio et al.
`Wenchell et al.
`Demmy etal.
`Casiano et al.
`Hahnen et al.
`Plicchi et al.
`Huitema et al.
`Dell et al.
`Racenet et al.
`Malone et al.
`Braun
`Krzyzanowski
`Bauman et al.
`Dalessandro et al.
`Drews et al.
`Belson et al.
`Phan
`Racenet et al.
`Johnston et al.
`Hillstead et al.
`Goble et al.
`
`Date
`Considered
`
`*EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance
`and not considered. Include copy of this form with next communication to applicant. 1 Applicant's unique citation designation number (optional). 2 See
`Kinds Codes of US PTO 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 number of the patent
`document. 5 Kind of document by the appropriate symbols as indicated on the document underWIPO Standard ST.16 if possible. 6 Applicant is to
`place a check mark here if English language Translation is attached.
`
`This collection of information is required by 37 CFR 1.97 and 1.98. The information is required to obtain or retain a benefit by the public which is to file
`(and by the USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 2
`hours to complete, including gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the
`individual case. Any comments on the amount of time you require to complete this form and/or suggestions for reducing this burden, should be sent to
`the Chief Information Officer, U.S. Patent and Trademark Office, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOTS.END FEES OR
`COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`If you need assistance in completing tne form, call 1-800-PT0-9199 r1-800-786-9199J and select option 2.
`
`362
`
`

`

`PTO/SB/OBa (07-09)
`Approved for use through 07/31/2012. 0MB 0651-0031
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwor1< Reduction Act of 1995 no persons are required to respond to a collection of information unless-it contains a valid 0MB control number
`Complete if Known
`13/369,609
`February 9, 2012
`Frederick E. Shelton, IV
`3721
`Brian D. Nash
`END5924USCNT2/060339CON2
`
`Application Number
`Filing Date
`First Named Inventor
`Art Unit
`Examiner Name
`Attorney Docket Number
`
`Substitute for form 1449/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`(use as many sheets as necessary)
`17
`I of I a2
`Sheet
`
`Examiner
`Initials*
`
`Cite
`No. 1
`
`Examiner
`Signature
`
`Document Number
`
`Number - Kind Code2 (if known)
`
`U.S. PATENT DOCUMENTS
`Publication Date
`Name of Patentee or
`MM-DD-YYYY
`Applicant of Cited Document
`
`Pages, Columns, Lines, Where
`Relevant Passages or Relevant
`Figures Appear
`
`2005/0119525 A 1
`2005/0119669 A 1
`2005/0124855 A1
`2005/0125009 A1
`2005/0131173 A1
`2005/0131211 A 1
`2005/0131390 A1
`2005/0131436 A1
`2005/0131437 A1
`2005/0131457 A1
`2005/0137454 A1
`2005/0137455 A1
`2005/0143759 A 1
`2005/0145675 A1
`2005/0154258 A 1
`2005/0165419 A1
`2005/0165435 A1
`2005/0169974 A1
`2005/0171522 A1
`2005/0177181 A1
`2005/0182298 A1
`2005/0184121 A1
`2005/0187545 A1
`2005/0187572 A1
`2005/0187576 A 1
`2005/0189397 A 1
`2005/0192609 A 1
`2005/0192628 A 1
`2005/0203550 A 1
`2005/0216055 A1
`2005/0228224 A 1
`
`06-02-2005
`06-02-2005
`06-09-2005
`06-09-2005
`06-16-2005
`06-16-2005
`06-16-2005
`06-16-2005
`06-16-2005
`06-16-2005
`06-23-2005
`06-23-2005
`06-30-2005
`07-07-2005
`07-14-2005
`07-28-2005
`07-28-2005
`08-04-2005
`08-04-2005
`08-11-2005
`08-18-2005
`08-25-2005
`08-25-2005
`08-25-2005
`08-25-2005
`09-01-2005
`09-01-2005
`09-01-2005
`09-15-2005
`09-29-2005
`10-13-2005
`
`Takemoto
`Demmy
`Jaffe et al.
`Perry et al.
`McDaniel et al.
`Bavlev et al.
`Heinrich et al.
`Johnston et al.
`Johnston et al.
`Douglas et al.
`Saadat et al.
`Ewers et al.
`Kelly
`Hartwick et al.
`Tartaglia et al.
`Sauer et al.
`Johnston et al.
`Tenerz et al.
`Christopherson
`Kagan etal.
`Ikeda et a