`Petitioner Bluehouse Global Ltd.
`
`Ex. 1002
`
`EX. 1002
`
`
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMIVHSSIONER FOR PATENTS
`PO. Box 1450
`Alexandria1 Virginia 22313-1450
`www.uspto.gov
`
`APPLICATION NO.
`
`14/337,583
`
`ISSUE DATE
`
`03/08/2016
`
`31780
`
`7590
`
`02/17/2016
`
`Robinson Intellectual Property Law Office, PC.
`3975 Fair Ridge Drive
`Suite 20 North
`Fairfax, VA 22033
`
`PATENT NO.
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`9281405
`
`0756—10540
`
`7546
`
`The projected patent number and issue date are specified above.
`
`ISSUE NOTIFICATION
`
`Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)
`(application filed on or after May 29, 2000)
`
`The Patent Term Adjustment is 0 day(s). Any patent to issue from the above—identified application will include
`an indication of the adjustment on the front page.
`
`If a Continued Prosecution Application (CPA) was filed in the above—identified application, the filing date that
`determines Patent Term Adjustment is the filing date of the most recent CPA.
`
`Applicant will be able to obtain more detailed information by accessing the Patent Application Information
`Retrieval (PAIR) WEB site (http://pair.uspto. gov).
`
`Any questions regarding the Patent Term Extension or Adjustment determination should be directed to the
`Office of Patent Legal Administration at (571)—272—7702. Questions relating to issue and publication fee
`payments should be directed to the Application Assistance Unit (AAU) of the Office of Data Management
`(ODM) at (571)-272-4200.
`
`APPLICANT(S) (Please see PAIR WEB site http://pair.uspto. gov for additional applicants):
`
`Shinya SASAGAWA, Chigasaki, JAPAN;
`Semiconductor Energy Laboratory Co., Ltd., Atsugi-shi, JAPAN;
`Hideomi SUZAWA, Atsugi, JAPAN;
`
`The United States represents the largest, most dynamic marketplace in the world and is an unparalleled location
`for business investment, innovation, and commercialization of new technologies. The USA offers tremendous
`resources and advantages for those who invest and manufacture goods here. Through SelectUSA, our nation
`works to encourage and facilitate business investment. To learn more about why the USA is the best country in
`the world to develop technology, manufacture products, and grow your business, visit SelectUSAgov.
`BLUEHOUSE EXHIBIT 1002
`
`1R103 (Rev. 10/09)
`
`Page 2 of 266
`
`BLUEHOUSE EXHIBIT 1002
`Page 2 of 266
`
`
`
`Doc Code:
`
`IFEE
`
`PTOL/85 B-EFS
`
`Document Description: Issue Fee Payment (PTO-85B)
`
`Issue Fee Transmittal Form
`
`Application Number
`
`14337583
`
`Filing Date
`
`First Named Inventor
`
`Atty. Docket No.
`
`
`
`22-JuI-2014
`
`Shinya SASAGAWA
`
`0756-10540
`
`TITLE OF INVENTION:
`
`Confirmation No.
`
`7546
`
`SEMICONDUCTOR DEVICE AND METHOD FOR MANUFACTURING THE SAME
`
`Entity Status
`
`Application Type “ Class - Subclass
`
`EXAMINER
`
`Regular Undiscounted
`
`Utility under 35 USC111(a)
`
`2813
`
`043000
`
`DAVID BLUM
`
`Issue Fee Due
`
`Publication Due
`
`Total Feels) Due
`
`Prev. Paid Fee
`
`1.Change of Correspondence Address and/or Indication Of Fee Address (37 CFR 1.33 & 1.363)
`
`Current Correspondence Address:
`
`Current Indicated Fee Address :
`
`31780
`
`Robinson Intellectual Property Law Office, PC.
`
`3975 Fair Ridge Drive
`Suite 20 North
`Fairfax VA 22033
`UNITED STATES
`571-434-6789
`- ee-Ve-m ‘. e 9--
`
`I:I Change of correspondence address requested, system
`generated A|A/122-EFS form attached
`
`I:I Fee Address indication requested, system generated SB/47-EFS
`form attached
`
`2.Entity Status
`
`Change in Entity Status
`
`Applicant certifying micro entity status; system generated Micro Entity certification form attached. See 37 CFR 1.29.
`Note: Absent a valid certification of micro entity status, issue fee payment in the micro entity amount will not be accepted at the risk ofapplication abandonment.
`Q If this box is checked, you will be prompted to choose a micro entity status on the gross income basis (37 CFR 1.29(a)) or the institution of higher education basis
`(37 CFR 1.29(d)), and make the applicable certification online.
`
`0 Applicant asserting small entity status. See 37 CFR 1.27.
`Note: If the application was previously under micro entity status, checking this box will be taken to be a notification ofloss of entitlement to micro entity status.
`
`© Applicant changing to regular undiscounted fee status.
`Note: Checking this box will be taken to be a notification of loss of entitlement to small or micro entity status, as applicable.
`
`WEB IFEE 1.0
`
`BLUEHOUSE EXHIBIT 1002
`Page 3 of 266
`
`BLUEHOUSE EXHIBIT 1002
`Page 3 of 266
`
`
`
`Doc Code:
`
`IFEE
`
`PTOL/85 B-EFS
`
`Document Description: Issue Fee Payment (PTO-853)
`
`3.The Following Fee(s) Are Submitted:
`
`Issue Fee
`
`IE
`
`|:| Publication Fee
`
`g Advance Order - # of copies
`
`4.Firm and/or Attorney Names To Be Printed
`NOTE: If no name is listed, no name will be printed
`For printing on the patent front page, list to be displayed as entered
`
`I. ROBINSON INTELLECTUAL PROPERTY LAW OFFICE
`
`2. ERIC J. ROBINSON
`
`I:I
`
`I authorize USPTO to apply my previously paid issue fee to the
`current fees due
`
`|:|
`
`The Director is hereby authorized to apply my previously paid
`issue fee to the current fee due and to charge deficient fees to
`Deposit Account Number
`
`If in addition to the payment of the issue fee amount submitted
`with this form, there are any discrepancies in any amount(s) due,
`the DirectorIs authorized to charge any deflféefi'fgoor credit any
`overpayment, to Deposit Account Number—
`XI The'Issue fee must be submitted with this form. If payment of
`the'Issue fee does not accompany this form, checking this box
`and providing a deposit account number will NOT be
`effective to satisfy full payment of the fee(s) due.
`
`5.Assignee Namels) and Residence Data To Be Printed
`PLEASE NOTE: Unless an assignee is identified below, no assignee data will appear on the patent. Ifan assignee is identified below, the document has been filed for
`recordation as set forth in 37 CFR 3.11.Completion of this form is NOT a substitute for filing an assignment.
`
`Name
`
`City
`
`State
`
`Country
`
`Category
`
`Semiconductor Energy Laboratory Co., Ltd.
`
`Kanfigrawa-
`
`japan
`
`corporation
`
`6.Signature
`
`I certify, in accordance with 37 CFR 1.4(d)(4) that I am an attorney or agent registered to practice before the Patent and Trademark Office who has filed and has been granted
`power ofattorney in this application. I also certify that this Fee(s) Transmittal form is being transmitted to the USPTO via EFS—WEB on the date indicated below.
`
`Signature
`
`/Eric J. Robinson/
`
`01 -27-201 6 Name
`
`Eric J. Robinson
`
`Registration Number 38285
`
`WEB IFEE 1.0
`
`BLUEHOUSE EXHIBIT 1002
`Page 4 of 266
`
`BLUEHOUSE EXHIBIT 1002
`Page 4 of 266
`
`
`
`Electronic Patent Application Fee Transmittal
`
`Title of Invention:
`
`SEMICONDUCTOR DEVICE AND METHOD FOR MANUFACTURING THE SAME
`
`First Named Inventor/Applicant Name:
`
`Shinya SASAGAWA
`
`Attorney Docket Number:
`
`0756—10540
`
`Filed as Large Entity
`
`Filing Fees for Utility under 35 USC111(a)
`
`Miscellaneous-Filing:
`
`Description
`
`Fee Code
`
`Quantity
`
`Sub-Total in
`
`U5Dl$l
`
`Publ. Fee— Early, Voluntary, or Normal
`
`Printed Copy of Patent — No Color
`
`1504
`
`8001
`
`1
`
`O
`
`O
`
`Basic Filing:
`
`Pages:
`
`Claims:
`
`Patent-Appeals-and-lnterference:
`
`BLUEHOUSE EXHIBIT 1002
`
`BLUEHOUSE EXHIBIT 1002
`Page 5 of 266
`
`
`
`Description
`
`Fee Code
`
`Quantity
`
`Extension-of—Time:
`
`Miscellaneous:
`
`Post-Allowance-and-Post-lssuance:
`
`Total in USD (5)
`
`Sub-Total in
`USD($)
`
`BLUEHOUSE EXHIBIT 1002
`Page 6 of 266
`
`BLUEHOUSE EXHIBIT 1002
`Page 6 of 266
`
`
`
`——
`
`Title of Invention:
`
`SEMICONDUCTOR DEVICE AND METHOD FOR MANUFACTURING THE SAME
`
`Electronic Acknowledgement Receipt
`
`“—
`
`
`
`——
`
`Payment information:
`
`——
`
`BLUEHOUSE EXHIBIT 1002
`
`The Director of the USPTO is hereby authorized to charge indicated fees and credit any overpayment as follows:
`
`BLUEHOUSE EXHIBIT 1002
`Page 7 of 266
`
`
`
`File Listing:
`
`Document
`
`.
`
`.
`
`
`
`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 components for
`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 shown on this Acknowledgement Receipt will establish the international filing date of
`the application.
`
`Number—« MessageDigest
`
`File Size(Bytes)/
`
`Multi
`
`Pages
`
`“app”
`
`Issue Fee Payment (PTO—85 B)
`
`Web85b.pdf
`
`37ee72e5371bda709138c75b3b0c44063d 6'
`051333
`
`Fee Worksheet (SBO6)
`
`fee—info.pdf
`
`4f8e6353361fc408b6585623dfba93253673
`1507
`
`Information:
`
`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 Applications Under 35 U.S.C. 111
`If a new application is being filed and the application includes the necessary components for a filing date (see 37 CFR
`1.53(b)—(d) and MPEP 506), a Filing Receipt (37 CFR 1.54) will be issued in due course and the date shown on this
`Acknowledgement Receipt will establish the filing date of the application.
`
`National Stage of an International Application under 35 U.S.C. 371
`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/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.
`
`BLUEHOUSE EXHIBIT 1002
`Page 8 of 266
`
`BLUEHOUSE EXHIBIT 1002
`Page 8 of 266
`
`
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`PO. Box 1450
`Alexandria1 Virginia 22313-1450
`www.uspto.gov
`
`NOTICE OF ALLOWANCE AND FEE(S) DUE
`
`31780
`
`7590
`
`10/27/2015
`
`Robinson Intellectual Property Law Office, PC.
`3975 Fair Ridge Drive
`Suite 20 North
`Fairfax, VA 22033
`
`
`
`
`
`BLUM, DAVID s
`
`2813
`
`DATE MAILED: 10/27/2015
`
`Shinya SASAGAWA
`07/22/2014
`14/3375 83
`TITLE OF INVENTION: SEMICONDUCTOR DEVICE AND METHOD FOR MANUFACTURING THE SAME
`
`0756—10540
`
`7546
`
`APPLN. TYPE
`
`ENTITY STATUS
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE
`
`PREV. PAID ISSUE FEE
`
`TOTAL FEE(S) DUE
`
`DATE DUE
`
`nonprovisional
`
`UNDISCOUNTED
`
`$960
`
`$0
`
`$0
`
`$960
`
`01/27/2016
`
`THE APPLICATION IDENTIFIED ABOVE HAS BEEN EXAMINED AND IS ALLOWED FOR ISSUANCE AS A PATENT.
`PROSECUTION ON THE MERITS IS CLOSED. THIS NOTICE OF ALLOWANCE 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.
`
`THE ISSUE FEE AND PUBLICATION FEE (IF REQUIRED) MUST BE PAID WITHIN THREE MONTHS FROM THE
`MAILING DATE OF THIS NOTICE OR THIS APPLICATION SHALL BE REGARDED AS ABANDONED.
`THIS
`STATUTORY PERIOD CANNOT BE 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 THIS APPLICATION.
`IF AN ISSUE FEE HAS
`PREVIOUSLY BEEN PAID IN THIS APPLICATION (AS SHOWN ABOVE), THE RETURN OF PART B OF THIS FORM
`WILL BE CONSIDERED A REQUEST TO REAPPLY THE PREVIOUSLY PAID ISSUE FEE TOWARD THE ISSUE FEE NOW
`DUE.
`
`HOW TO REPLY TO THIS NOTICE:
`
`I. Review the ENTITY STATUS shown above. If the ENTITY STATUS is shown as SMALL or MICRO, verify whether entitlement to that
`entity status still applies.
`
`If the ENTITY STATUS is the same as shown above, pay the TOTAL FEE(S) DUE shown above.
`
`If the ENTITY STATUS is changed from that shown above, on PART B - FEE(S) TRANSMITTAL, complete section number 5 titled
`"Change in Entity Status (from status indicated above)".
`
`For purposes of this notice, small entity fees are 1/2 the amount of undiscounted fees, and micro entity fees are 1/2 the amount of small entity
`fees.
`
`II. PART B - FEE(S) TRANSMITTAL, or its equivalent, must be completed and returned to the United States Patent and Trademark Office
`(USPTO) with your ISSUE FEE and PUBLICATION FEE (if required). If you are charging the fee(s) to your deposit account, section "4b"
`of Part B - Fee(s) Transmittal 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—85 (Rev. 02/11)
`
`Page 1 0f 3
`
`BLUEHOUSE EXHIBIT 1002
`Page 9 Of 266
`
`BLUEHOUSE EXHIBIT 1002
`Page 9 of 266
`
`
`
`PART B - FEE(S) TRANSMITTAL
`
`Complete and send this form, together with applicable fee(s), to: Mail Mail Stop ISSUE FEE
`Commissioner for Patents
`PO. Box 1450
`Alexandria, Virginia 22313-1450
`or m (571)-273-2885
`
`through 5 should be completed where
`INSTRUCTIONS: This form should be used for transmitting the ISSUE FEE and PUBLICATION FEE (if required). Blocks 1
`péJropriate. All further correspondence including the Patent, advance orders and notification of maintenance fees will be mailed to the current correspondence address as
`n icated 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.
`
`a i
`
`CURRENT CORRESPONDENCE ADDRESS (Note: Use Block 1 for any change ofaddFESS)
`
`_
`10/27/2015
`7590
`31_780
`RODII’ISOI’I Intellectual Property Law Office, PC:
`3975 F - R-d D -
`.
`a1r
`1 g6
`I‘lVe
`Su1te 20 North
`Fairfax VA 22033
`
`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
`apers. Each additional paper, such as an assignment or formal drawing, must
`gave its own certificate of mailing or transmission.
`Certificate of Mailing or Transmission
`I hereby certify that this Fee(s) Transmittal is being deposited with the United
`States Postal Service with sufficient postage for first class mail in an envelope
`addressed to the Mail Stop ISSUE FEE address above, or being facsimile
`transmitted to the USPTO (571) 273—2885, on the date indicated below.
`
`(Date)
`
`(Dwi‘m‘nm)
`(Signature)
`
`APPLICATION NO.
`
`FILING DATE
`
`
`
`
` F {ST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`Shinya SASAGAWA
`07/22/2014
`14/337,583
`TITLE OF INVENTION: SEMICONDUCTOR DEVICE AND METHOD FOR MANUFACTURING THE SAME
`
`0756—10540
`
`7546
`
`APPLN. TYPE
`
`ENTITY STATUS
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE
`
`PREV. PAID ISSUE FEE
`
`TOTAL FEE(S) DUE
`
`DATE DUE
`
`nonprovisional
`
`UNDISCOUNTED
`
`$960
`
`$0
`
`$0
`
`$960
`
`01/27/2016
`
`EXAMINER
`
`ART UNIT
`
`CLASS-SUB CLASS
`
`BLUM, DAVID S
`
`2813
`
`257—043000
`
`1. Change of correspondence address or indication of "Fee Address" (37
`CFR 1.363).
`
`3 Chan e of correspondence address (or Change of Correspondence
`Address orm PTO/SB/ 122) attached.
`
`
`
`
`
`2
`
`3
`
`3 "Fee Address" indication (or "Fee Address" Indication form
`PTO/SB/47; Rev 03—02 or more recent) attached. Use of a Customer
`Vumber is required.
`3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
`If an assignee is identified below, the document has been filed for
`PLEASE NOTE: Unless an 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 for filing an assignment.
`(A) NAME OF ASSIGNEE
`(B) RESIDENCE: (CITY and STATE OR COUNTRY)
`
`2. For printing on the patent front page, list
`(1) The names of up to 3 registered patent attorneys
`1
`or agents OR, 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
`listed, no name will be printed.
`
`
`
`Please check the appropriate assignee category or categories (will not be printed on the patent) :
`
`'3 Individual
`
`'3 Corporation or other private group entity '3 Government
`
`4a. The following fee(s) are submitted:
`3 Issue Fee
`
`
`
`3 Publication Fee (No small entity discount permitted)
`3 Advance Order — # of Copies
`
`4b. Payment of Fee(s): (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.
`3 The director is hereby authorized to charge the required fee(s), any deficiency, or credits any
`overpayment, to Deposit Account Number
`(enclose an extra copy of this form).
`
`
`
`5. Change in Entity Status (from status indicated above)
`
` 3 Applicant certifying micro entity status. See 37 CFR 1.29
`
`3 Applicant asserting small entity status. See 37 CFR 1.27
`
`3 Applicant changing to regular undiscounted fee status.
`
`NOTE: Absent a valid certification of Micro Entity Status (see forms PTO/SB/ 15A and 15B), issue
`fee payment in the micro entity amount will not be accepted at the risk of application abandonment.
`NOTE: If the application was previously under micro entity status, checking this box will be taken
`to be a notification of loss of entitlement to micro entity status.
`NOTE: Checking this box will be taken to be a notification of loss of entitlement to small or micro
`entity status, as applicable.
`
`NOTE: This form must be signed in accordance with 37 CFR 1.31 and 1.33. See 37 CFR 1.4 for signature requirements and certifications.
`
`Authorized Signature
`
`Typed or printed name
`
`
`Date
`
`Registration No.
`
`PTOL—85 Part B (10—13) Approved for use through 10/31/2013.
`
`OMB 0651—0033
`
`Page 2 0f 3
`
`BLUEHOUSE EXHIBIT 1002
`Page 10 of 266
`US. Patent and Trademark Office; US. DEPARTMENT OF COMMERCE
`
`BLUEHOUSE EXHIBIT 1002
`Page 10 of 266
`
`
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`APPLICATION NO.
`
`FILING DATE
`
`
`
`
`F {ST NAMED INVENTOR
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`PO. Box 1450
`Alexandria1 Virginia 22313-1450
`www.uspto.gov
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`14/337,583
`
`07/22/2014
`
`Shinya SASAGAWA
`
`0756—10540
`
`7546
`
`31780
`
`7590
`
`10/27/2015
`
`Robinson Intellectual Property Law Office, PC.
`3975 Fair Ridge Drive
`suitezoNonh
`Fairfax, VA 22033
`
`BLUM, DAVID s
`
`2813
`
`DATE MAILED: 10/27/2015
`
`Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)
`
`(Applications filed on or after May 29, 2000)
`
`The Office has discontinued providing a Patent Term Adjustment (PTA) calculation with the Notice of Allowance.
`
`to eliminate the
`Section 1(h)(2) of the AIA Technical Corrections Act amended 35 U.S.C. 154(b)(3)(B)(i)
`requirement that the Office provide a patent term adjustment determination with the notice of allowance. See
`Revisions to Patent Term Adjustment, 78 Fed. Reg. 19416, 19417 (Apr. 1, 2013). Therefore, the Office is no longer
`providing an initial patent term adjustment determination with the notice of allowance. The Office will continue to
`provide a patent term adjustment determination with the Issue Notification Letter that is mailed to applicant
`approximately three weeks prior to the issue date of the patent, and will include the patent term adjustment on the
`patent. Any request for reconsideration of the patent term adjustment determination (or reinstatement of patent term
`adjustment) should follow the process outlined in 37 CFR 1.705.
`
`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 Customer Service Center of the Office of Patent Publication at 1—(888)—786—0101 or (571)—272—4200.
`
`PTOL—85 (Rev. 02/11)
`
`Page 3 0f 3
`
`BLUEHOUSE EXHIBIT 1002
`Page 1 1 Of 266
`
`BLUEHOUSE EXHIBIT 1002
`Page 11 of 266
`
`
`
`OMB Clearance and PRA Burden Statement for PTOL-85 Part B
`
`The Paperwork Reduction Act (PRA) of 1995 requires Federal agencies to obtain Office of Management and
`Budget approval before requesting most types of information from the public. When OMB approves an agency
`request to collect information from the public, OMB (i) provides a valid OMB Control Number and expiration
`date for the agency to display on the instrument that will be used to collect the information and (ii) requires the
`agency to inform the public about the OMB Control Number’s legal significance in accordance with 5 CFR
`1320.5(b).
`
`The information collected by PTOL-85 Part B is required by 37 CFR 1.311. 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 12 minutes to complete,
`including gathering, preparing, and submitting the completed application form to the USPTO. Time will vary
`depending upon the individual case. Any comments on the amount of time you require to complete this form
`and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent and
`Trademark Office, U.S. Department of Commerce, PO. Box 1450, Alexandria, Virginia 22313-1450. DO NOT
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`
`The Privacy Act of 1974 (PL. 93-579) requires that you be given certain information in connection with your
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`enforcement agency, if the USPTO becomes aware of a violation or potential ViOIatiQELféfI—BWSKE EW‘IBW
`Page 12 of 266
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`BLUEHOUSE EXHIBIT 1002
`Page 12 of 266
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`
`
`
`
`.
`.
`.
`Notice of Allowability
`
`Application No.
`14/337,583
`'
`Ski/TanngLUM
`
`Applicant(s)
`SASAGAWA ET AL.
`'
`AIA (First Inventor to
`2: 5””
`File) Status
`No
`
`-- 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. IX This communication is responsive to 9/21/15.
`
`[I A declaration(s)/affidavit(s) under 37 CFR 1.130(b) was/were filed on
`
`2. I] An election was made by the applicant in response to a restriction requirement set forth during the interview on
`requirement and election have been incorporated into this action.
`
`; the restriction
`
`3. IX The allowed claim(s) is/are 1-16 and 18-23. As a result of the allowed claim(s), you may be eligible to benefit from the Patent
`I».
`Prosecution Highway program at a participating intellectual property office for the corresponding application. For more information,
`
`please see htt' ://www.us ‘to. ov/ atents/init events/r h/indexIsr or send an inquiry to PPeredback us f0.CfOV.
`
`4. IX Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
`
`Certified copies:
`
`a) IX A”
`
`b) [I Some
`
`*c) D None of the:
`
`1. [Z Certified copies of the priority documents have been received.
`
`2. I] 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.
`
`5. I] CORRECTED DRAWINGS ( as “replacement sheets”) must be submitted.
`
`I] including changes required by the attached Examiner’s Amendment / Comment or in the Office action of
`Paper No./Mai| Date
`.
`Identifying indicia such as the application number (see 37 CFR 1.84(c)) should be written on the drawings in the front (not the back) of
`each sheet. Replacement sheet(s) should be labeled as such in the header according to 37 CFR 1.121(d).
`
`6. I] DEPOSIT OF and/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.
`
`Attachment(s)
`1. I] Notice of References Cited (PTO-892)
`
`2. I] Information Disclosure Statements (PTO/SB/08),
`Paper No./Mai| Date
`3. I] Examiner‘s Comment Regarding Requirement for Deposit
`of Biological Material
`4. I] Interview Summary (PTO-413),
`Paper No./Mai| Date
`
`/DAVID S BLUM/
`
`Primary Examiner, Art Unit 2813
`
`5. [Z Examiner‘s Amendment/Comment
`
`6. [Z Examiner‘s Statement of Reasons for Allowance
`
`7. I] Other
`
`.
`
`
`
`
`US. Patent and Trademark Office
`
`PTOL-37 (Rev. 08-13)
`
`Notice of Allowability
`
`Part of Paper No./Mai| Date 20151019
`
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`BLUEHOUSE EXHIBIT 1002
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`Application/Control Number: 14/337,583
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`Page 2
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`Art Unit: 2813
`
`This action is in response to the amendment filed 9/21/15.
`
`Notice of Pre-AIA or AIA Status
`
`1.
`
`The present application is being examined under the pre-AIA first to invent
`
`provisions.
`
`EXAMINER’S AMENDMENT
`
`2.
`
`An examiner’s amendment to the record appears below. Should the changes
`
`and/or additions be unacceptable to applicant, an amendment may be filed as provided
`
`by 37 CFR 1.312. To ensure consideration of such an amendment, it MUST be
`
`submitted no later than the payment of the issue fee.
`
`The application has been amended as follows:
`
`In the Specification, on page 1, after the title and before Technical Field, please
`
`insert the following.
`
`CROSS-REFERENCE TO RELATED APPLICATIONS
`
`This is a divisional application and claims the benefit of an Application Serial
`
`No. 13/716891, now U. s. Patent No. 8,790,961, filed December 17, 2012, which is
`
`based upon and claims priority from Japanese Patent Application Nos. 2011-282438
`
`and 2011-282511, filed 12/23/2011 and 12/23/2011, the entire contents of which are
`
`incorporated herein by reference.
`
`BLUEHOUSE EXHIBIT 1002
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`BLUEHOUSE EXHIBIT 1002
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`Application/Control Number: 14/337,583
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`Page 3
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`Art Unit: 2813
`
`3.
`
`Claims 1-16 and 18-23 are allowed.
`
`Reasons for Allowance
`
`4.
`
`The following is an examiner’s statement of reasons for allowance:
`
`Claims 1 and 9 were allowed by the examiner in the action of 6/23/15. The reasoning is
`
`repeated below.
`
`Claim 1 recites "A semiconductor device comprising:
`
`a gate electrode layer;
`
`a gate insulating layer on one surface of the gate electrode layer;
`
`a semiconductor layer on one surface of the gate insulating layer;
`
`a first conductive layer over the semiconductor layer;
`
`a second conductive layer over the first conductive layer;
`
`a first insulating layer over the second conductive layer; and
`
`a hard mask layer over the first insulating layer,
`
`wherein the hard mask layer comprises an opening which overlaps with a
`
`channel formation region of the semiconductor layer.
`
`This is not taught or suggested by the prior art of record. Yamazaki (US 2011/0114943)
`
`does not form all the layers required. Yamazaki does not form an insulating layer
`
`between the electrode and the first conductive layer. Also, there is no teaching of the
`
`BLUEHOUSE EXHIBIT 1002
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`BLUEHOUSE EXHIBIT 1002
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`Application/Control Number: 14/337,583
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`Page 4
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`Art Unit: 2813
`
`formation of a hard mask and a resist. Layer 108 can be referred to as either the hard
`
`mask or the protective layer, but it cannot be both. Similarly, Yoshimoto ((US
`
`2008/0062344) does not form all the required layers.
`
`Claims 2—8 and 21 are allowed as being properly dependent upon allowed claim 1.
`
`Claim 9 recites, "A semiconductor device comprising:
`
`a gate electrode layer;
`
`a gate insulating layer over the gate electrode layer;
`
`a semiconductor layer over the gate insulating layer;
`
`a first conductive layer and a second conductive layer over the semiconductor
`
`layer;
`
`a third conductive layer over the first conductive layer;
`
`a fourth conductive layer over the second conductive layer; and
`
`a first insulating layer over the third conductive layer a