UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Addtess. COMMISSIONER FOR PATENTS
`PO Box 1450
`Alexandria, Viigmia 22313-1450
`www.uspto.gov
`
`
`
`
`F ING OR 371 (C) DATE
`
`
`
`APPLICATION NUMBER
`
`FIRST NAMED APPLICANT
`
`ATTY. DOCKET NO./TITLE
`
`14/620,784
`
`02/12/2015
`
`Inge Bruheim
`
`AKBM-14409/US-11/CON
`CONFIRMATION NO. 1577
`
`72960
`
`Casimir Jones, 8.0.
`2275 DEMING WAY, sung 310
`MIDDLETON, WI 53562
`
`PUBLICATION NOTICE
`
`llllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll
`000000075807 02
`
`Title:B|OEFFECTIVE KRILL OIL COMPOSITIONS
`
`Publication No.US-2015-0164963-A1
`Publication Date:06/18/2015
`
`NOTICE OF PUBLICATION OF APPLICATION
`
`The above-identified application will be electronically published as a patent application publication pursuant to 37
`CFR 1.211, et seq. The patent application publication number and publication date are set forth above.
`
`The publication may be accessed through the USPTO's publically available Searchable Databases via the
`Internet at www.uspto.gov. The direct link to access the publication is currently http://www.uspto.gov/patft/.
`
`The publication process established by the Office does not provide for mailing a copy of the publication to
`applicant. A copy of the publication may be obtained from the Office upon payment of the appropriate fee set forth
`in 37 CFR 1.19(a)(1). Orders for copies of patent application publications are handled by the USPTO's Office of
`Public Records. The Office of Public Records can be reached by telephone at (703) 308-9726 or (800) 972-6382,
`by facsimile at (703) 305-8759, by mail addressed to the United States Patent and Trademark Office, Office of
`Public Records, Alexandria, VA 22313-1450 or via the Internet.
`
`In addition, information on the status of the application, including the mailing date of Office actions and the
`dates of receipt of correspondence filed in the Office, may also be accessed via the Internet through the Patent
`Electronic Business Center at www.uspto.gov using the public side of the Patent Application Information and
`Retrieval (PAIR) system. The direct link to access this status information is currently http://pair.uspto.gov/. Prior to
`publication, such status information is confidential and may only be obtained by applicant using the private side of
`PAIR.
`
`Further assistance in electronically accessing the publication, or about PAIR, is available by calling the Patent
`Electronic Business Center at 1-866-217-9197.
`
`
`
`Office of Data Managment, Application Assistance Unit (571) 272-4000, or (571) 272-4200, or 1-888-786-0101
`
`page 1 of 1
`
`RIMFROST EXHIBIT 1040
`
`RIMFROST EXHIBIT 1040 page 0001
`
`page 0001
`
`

`

`
`
`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.
`
`14/620,784
`
`ISSUE DATE
`
`07/07/2015
`
`72960
`
`7590
`
`06/17/2015
`
`Casimir Jones, SC.
`2275 DEMING WAY, SUITE 310
`MIDDLETON, WI 53562
`
`PATENT NO.
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`9072752
`
`AKBM—14409/US—11/CON
`
`1577
`
`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):
`
`Inge Bruheim, Volda, NORWAY;
`AKER BIOMARINE ANTARCTIC AS, Stamsund, NORWAY;
`Snorre Tilseth, Bergen, NORWAY;
`Daniele Mancinelli, Orsta, NORWAY;
`
`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 SelectUSA.gov.
`
`IR103 (Rev. 10/09)
`
`RIMFROST EXHIBIT 1040
`
`RIMFROST EXHIBIT 1040 page 0002
`
`page 0002
`
`

`

`14620784 ~ @Aieghmm)
`gaggggtggate: 02/12/2015
`Approved for use through 078172012. OMB 0651-0031
`.
`.
`.
`_
`.
`.
`us. Patent and Trademark Office; us. DEPARTMENT OF COMMERCE
`Doc description. Information Disclosure Statement (IDS) Filed
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`
`
`
`Application Number
`12057775
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`( Not for submission under 37 CFR 1.99)
`
`
`Filing Date
`2008-03-28
`First Named Inventor
`Inge Bruheim
`
`Art Unit
`|1636
`
`Examiner Name
`
`
`
`Attorney Docket Number
`
`I NATNUT-14409/US-5/ORD
`
`
`
`U.S.PATENTS
`_
`
`
`.
`Pages,Columns,Lines where
`.
`.
`.
`Name Of Patentee or Applicant Relevant Passages or Relevant
`Issue Date
`Kmd
`Patent Number
`ENamJner C'te
`Initial
`No
`Code1
`of Cited Document
`.
`Figures Appear
`
`
`ROGOZHIN SERGEI
`1
`4119619
`1978-10-10
`VASILIEVICH et al.
`
`
`2
`
`5434163
`
`1995-07-18
`
`LARSSON-BACKSTROM
`
`
`
`Breton
`61%
`2003-03-25
`Change<s> PSPIieci 6537767
`
`to ciocumen
`
`/K.5.5./
`
`6 1/2015
`
`4
`
`6800299
`
`2004-10-05
`
`BEAUDOIN & MARTIN
`
`5
`
`5266564
`
`1993-11-30
`
`MODELELL et al
`
`
`
`
`If you wish to add additional US. Patent citation information please click the Add button.
`Add
`U.S.PATENT APPLICATION PUBLICATIONS _
`
`
`Name of Patentee or Applicant Pages,Columns,Lines where
`Publication
`Kind
`Publication
`Examiner
`.
`Relevant Passages or Relevant
`.
`.
`*
`Initial
`Number
`Code1 Date
`of Cited Document
`.
`Figures Appear
`
`
`.
`Cite No
`
`
`
`
`
`
`
`1
`
`20030044495
`
`2003-03-06
`
`KAGAN and BRAUN
`
`
`
`EFSWeb2.1.17
`
`ALI. REFERENSES SONSiDERED EXQHMFWSEEXHIWWR®MQQO$QWJ
`
`RIMFROST EXHIBIT 1040 page 0003
`
`

`

`
`
`14/620,784
`
`02/ 12/2015
`
`Inge Bruheim
`
`AKBM-l4409/US-1 l/CON
`
`1577
`
`Casimir Jones, SC.
`2275 DEMING WAY, SUITE 310
`MIDDLETON, WI 53562
`
`WARE, DEBORAH K
`
`ART UNIT
`
`1651
`
`PAPER NUMBER
`
`NOTIFICATION DATE
`
`DELIVERY MODE
`
`06/03/2015
`
`ELECTRONIC
`
` UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`PO. Box 1450
`Alexandria, Virginia 22313-1450
`www.usploigov
`
`Please find below and/or attached an Office communication concerning this application or proceeding.
`
`The time period for reply, if any, is set in the attached communication.
`
`Notice of the Office communication was sent electronically on above-indicated "Notification Date" to the
`following e-mail address(es):
`
`docketing@casimirj ones.com
`pto.correspondence@casimi1j ones.com
`
`PTOWMRMW)
`
`RIMFROST EXHIBIT 1040 page 0004
`
`RIMFROST EXHIBIT 1040
`
`page 0004
`
`

`

`
`
`Commissioner for Patents
`United States Patent and Trademark Office
`PO. Box 1450
`Alexandria, VA 22313-1450
`www.uspto.gov
`
`Application No. : 14620784
`
`Applicant
`
`: Bruheim
`
`Filing Date : 02/12/2015
`Date Mailed 2 06/03/2015
`
`NOTICE TO FILE CORRECTED APPLICATION PAPERS
`
`Notice ofAllowance Mailed
`
`This application has been accorded an Allowance Date and is being prepared for issuance.
`application, however, is incomplete for the reasons below.
`
`The
`
`Applicant is given two (2) months from the mail date of this Notice within which to respond. This
`time period for reply is extendable under 37 CFR 1.136(a) for only TWO additional MONTHS.
`
`The informalities requiring correction are indicated in the attachment(s). If the informality pertains to the
`abstract, specification (including claims) or drawings,
`the informality must be corrected with an
`amendment in compliance with 37 CFR 1.121 (or, if the application is a reissue application, 37 CFR
`1.173). Such an amendment may be filed after payment of the issue fee if limited to correction of
`informalities noted herein. See Waiver of 37 CFR 1.312 for Documents Required by the Office of Patent
`Publication, 1280 Off. Gaz. Patent Office 918 (March 23, 2004).
`In addition, if the informality is not
`corrected until after payment of the issue fee, for purposes of 35 U.S.C. 154(b)(1)(iv), “all outstanding
`requirements” will be considered to have been satisfied when the informality has been corrected. A
`failure to respond within the above-identified time period will
`result
`in the application being
`ABANDONED.
`
`See attachment(s).
`
`
`A copy of this notice MUST be returned with the reply. Please address response to
`“Mail Stop Issue Fee, Commissioner for Patents,
`P. 0. Box 1450, Alexandria, VA 22313-1450”.
`
`fKam Sin/
`Publication Branch
`
`Office of Data Management
`(571) 272—4200
`
`RIMFROST EXHIBIT 1040
`
`RIMFROST EXHIBIT 1040 page 0005
`
`page 0005
`
`

`

`There is a hole or the image thereof within the illustration. FIG(s)
`
`The illustration is penetrated or traversed by a solid or broken line that is not intended to be part of the
`drawing, such as a dark line caused by a flaw in the copying process. FIG(s)
`
`An ink stamp or the image thereof obscures part of the illustration. FIG(s)
`
`The drawing is marred by black smudges, obliterations, or fax/copier marks (for example, speckles or dots
`in a substantial portion of the drawing). FIG(s)
`
`Figure numbers are duplicated or missing. FIG(s)
`
`Drawing sheet or figure is missing. FIG(s)
`
`Numbers, letters, or reference characters in the drawing have been crossed out or are illegibly handwritten.
`FIG(s)
`
`The character of the lines, numbers, and letters is poor. FIG(s)
`
`The drawings background shows that the original drawing was made on graph paper or other paper with a
`pattern or decoration. FIG(s)
`
`The FIG. number label is placed in a location that causes the drawing to be read upside down. FIG(s)
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Application No. 14620784
`
`Drawings filed: 02/12/2015
`
`IDENTIFICATION OF DRAWING DEFICIENCIES
`
`
`
`
`
`
`
`
`
`
`X Data, a reference number, or part of the drawing is truncated or missing, or a lead line has no reference
`number. FIG(s) l
`
`
`
`
`
`
`
`
`
`
`A petition under 37 CFR 1.84(a)(2) to accept color drawings has been granted, but the brief description of
`the drawings in the specification does not contain (or has not been amended to contain) the paragraph
`required by 37 CFR 1.84(a)(2)(iii).
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`The drawing and/or the FIG. label contain(s) foreign language. FIG(s)
`
`This utility application contains a photograph of a View that is capable of being illustrated as a line drawing.
`FIG(s)
`
`This reissue application contains added and/or amended drawings that are not labeled as “New” or
`“Amended” or “Canceled” as required by 37 CFR 1.173(b)(3). FIG(s)
`
`This Design reissue application contains a drawing that is labeled as “Canceled” but is not surrounded by
`brackets, or a drawing that is surrounded by brackets but is not labeled as “Canceled.” See 37 CFR
`1.173(b)(3). FIG(s)
`
`OTHER:
`
`COMMENTS:
`
`RIMFROST EXHIBIT 1040
`
`RIMFROST EXHIBIT 1040 page 0006
`
`page 0006
`
`

`

`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Attorney Docket No.: AKBM-14409/US-1 1/CON
`
`1577
`Conf. No.:
`In re Application of: Aker BioMarine Antarctic AS
`1651
`Group No.:
`Serial No.:
`14/620,784
`Examiner: WARE
`Filing Date:
`12-Feb-2015
`Entitled:
`BIOEFFECTIVE KRILL OIL COMPOSITIONS
`
`RESPONSE TO THE NOTICE TO FILE CORRECTED
`
`APPLICATION PAPERS MAILED JUNE 3, 2015
`
`EFS Web Filed
`
`Commissioner for Patents
`
`PO. Box 1450
`
`Alexandria, VA 22313-1450
`
`In response to the Notice to File Corrected Application Papers mailed June 3, 2015,
`Applicant submits the following:
`
`Amendments to the Drawings begin on page 2 of this paper.
`
`Remarks begin on page 3 of this paper.
`
`RIMFROST EXHIBIT 1040
`
`RIMFROST EXHIBIT 1040 page 0007
`
`page 0007
`
`

`

`AMENDMENTS TO THE DRAWINGS
`
`Attorney Docket No.: AKBM- l 4409/US-l l/CON
`
`Please replace FIG. 1 (1 page) as originally filed in this application with Replacement FIG. 1 (1
`page) attached hereto.
`
`2
`
`RIMFROST EXHIBIT 1040
`
`RIMFROST EXHIBIT 1040 page 0008
`
`page 0008
`
`

`

`Attorney Docket No.: AKBM-14409/US-11/CON
`
`REMARKS
`
`Replacement FIG. 1 is identical to FIG. 1 as filed and addresses the rejection raised in the
`
`Notice to File Corrected Application Papers as mailed on June 3, 2015. No new matter has been
`
`added to the figures.
`
`No fees are believed to be due in connection with this filing. Nevertheless, if the
`
`Director finds any additional fees to be due in connection with this, or any other filing,
`
`authorization is given to charge said fees to Deposit Account No. 50-4302, referencing attorney
`
`docket number AKBM-14409/US-11/CON.
`
`Dated:
`
`
`June 3 2015
`
`Respectfully,
`
`/ J. Mitchell Jones/
`
`J. Mitchell Jones
`
`Registration No. 44,174
`CASIMIR JONES, S.C.
`
`2275 Deming Way Suite 310
`Middleton, WI 53562
`608 662 1277
`
`3
`
`RIMFROST EXHIBIT 1040
`
`RIMFROST EXHIBIT 1040 page 0009
`
`page 0009
`
`

`

`REPLACEMENT SHEET
`
`gkfiiflgfwf
`
`3d». ~0:21:33;
`
`Fig.1
`
`1/19
`
`RIMFROST EXHIBIT 1040
`
`RIMFROST EXHIBIT 1040 page 0010
`
`page 0010
`
`

`

`Electronic Acknowledgement Receipt
`
`22525320
`
`Application Number:
`
`14620784
`
`International Application Number:
`
`Confirmation Number:
`
`
`
`Title of Invention:
`
`BIOEFFECTIVE KRILL OIL COMPOSITIONS
`
`First Named Inventor/Applicant Name:
`
`Inge Bruheim
`
`Customer Number:
`
`72960
`
`John Mitchell Jones/Mallory Checkett
`
`Filer Authorized By:
`
`John Mitchell Jones
`
`Attorney Docket Number:
`
`AKBM-14409/US-11/CON
`
`Receipt Date:
`
`03-JUN-2015
`
`Filing Date:
`
`12-FEB-2015
`
`Time Stamp:
`
`16:02:35
`
`Application Type:
`
`Utility under 35 USC111(a)
`
`Payment information:
`
`Submitted with Payment
`
`File Listing:
`
`b260
`
`Document
`Number
`
`Document Descri
`
`tion
`
`p
`
`File Size(Bytes)/
`Message Digest
`
`Pages
`Multi
`Part /.zip (if appl.)
`
`14409USi1CON_RespCorrectA
`ppPapers.pdf
`
`afd68bf885c81 b6528e0c201 e751 e0e2c473
`
`RIMFROST EXHIBIT 1040
`
`RIMFROST EXHIBIT 1040 page 0011
`
`page 0011
`
`

`

`Multipart Description/PDF files in .zip description
`
`Amendment after Notice of Allowance (Rule 312)
`
`Applicant Arguments/Remarks Made in an Amendment
`
`Information:
`
`Information:
`
`Drawings-other than black and white
`line drawings
`
`14409US11CON_ReplacementF
`ig1.pdf
`
`654203
`
`8aaddd07aa6b2261d99cc13699a748e7e25
`49a40
`
`
`
`New International Application Filed with the USPTO as a Receiving Office
`lfa 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 ofthe 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.
`
`This Acknowledgement Receipt evidences receipt on the noted date by the USPTO ofthe 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
`lfa 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
`lfa 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.
`
`RIMFROST EXHIBIT 1040
`
`RIMFROST EXHIBIT 1040 page 0012
`
`page 0012
`
`

`

`DocCode — SCORE
`
`SCORE Placeholder Sheet for IFW Content
`
`Application Number: 14620784
`
`Document Date: 06/03/2015
`
`The presence of this form in the IFW record indicates that the following document type was received
`in electronic format on the date identified above. This content is stored in the SCORE database.
`
`Since this was an electronic submission, there is no physical artifact folder, no artifact folder is
`recorded in PALM, and no paper documents or physical media exist. The TIFF images in the IFW
`record were created from the original documents that are stored in SCORE.
`
`Drawing
`
`At the time of document entry (noted above):
`. USPTO employees may access SCORE content via eDAN using the Supplemental Content
`tab, or via the SCORE web page.
`. External customers may access SCORE content via PAIR using the Supplemental Content
`tab.
`
`Form Revision Date: August 26, 2013
`
`RIMFROST EXHIBIT 1040
`
`RIMFROST EXHIBIT 1040 page 0013
`
`page 0013
`
`

`

`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.O. Box 1450
`Alexandria, Virginia 22313-1450
`or flag (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 ropriate. All further correspondence including the Patent, advance orders and notification of maintenance fees will be mailed to the current corres ondence address as
`indicated unless corrected below or directed otherwise in Block I, by (a) specifying a new correspondence address; and/or (b) indicating a separate "
`E ADDRESS" for
`
`maintenance fee notifications.
`
`CURRENT CORRESPONDENCE ADDRESS (Nola: Use Block 1 fix any change ofaddeS)
`
`05/37/3015
`Z590
`7?96?
`Casmnr Jones, SHC
`2275 DEMING WAY SUITF 310
`MIDDLETON, WI 53562
`
`Note: A certificate of mailing 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.
`Certificate of Mailing or Transmission
`I hereb certigy that this Fee(s) Transmittal is being deposited with the United
`States ostal
`ervice with sufficient postage for first class mail in an envelope
`addressed to the Mail 810
`ISSUE FEE address above, or being facsimile
`transmitted to the USPTO ( 71) 273-2885, on the date indicated below.
`
`
`
`
`(Sig-Iarure)
`
`
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`02/12/2015
`14/620,784
`TITLE OF INVENTION: BIOEFFECTIVE KRILL OIL COMPOSITIONS
`
`Inge Bruheim
`
`
`
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`AKBM-14409fUS—l 1/CON
`
`1577
`
`APPLN. TYPE
`ENTITY STATUS
`ISSUE FEE DUE
`PUBLICATION FEE DUE
`PREV. PAID ISSUE FEE
`
`$960
`$0
`$0
`nonprovisional
`UNDISCOUNTED
`
`TOTAL FEE(S) DUE
`
`$960
`
`DATE DUE
`
`08/27/2015
`
`WARE, DEBORAH K
`
`1651
`
`424—520000
`
`mm
`
`ems-ma
`
`
`
`
`
`
`
`
`
`2. For printing on the patent front page, list
`1. Change of correspondence address or indication of "Fee Address" (37
`
`
`
`CFR 1.363).
`1Casimir Jones S.C.
`(1) The names of up to 3 registered patent attorneys
`
`or agents OR, alternatively,
`
`:l Change of correspondence address (or Change of Correspondence
`
`Address orm PTO/SB/122) attached.
`
`(2) The name of a single firm (having as a member a
`registered attorney or agent) and the names of up to
`3 "Fee Address" indication (or "Fee Address" Indication form
`PTO/SB/47; Rev 03~02 or more recent) attached. Use of a Customer
`2 registered patent attorneys or agents. If no name is
`
`listed, no name will be printed.
`Number is required.
`3. ASSIGNEE NANIE AND RESIDENCE DATA TO BE PRINTED ON THE PATFJ‘IT (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
`
`3
`
`'——""‘ "—
`
`
`
`STAMSUND, NORWAY
`AKER BIOMARINE ANTARCTIC AS
`
`Please check the appropriate assignee category or categories (will not be printed on the patent) : D Individual a Corporation or other private group entity D Government
`
`4b. Payment of Fee(s): (Please first reapply any previously paid issue fee shown above)
`4a. The following fee(s) are submitted:
`D A check is enclosed.
`m Issue Fee
`D Payment by credit card. Form PTO~2038 is attached.
`3 Publication Fee (N0 small entity discount permitted)
`3 Advance Order - # of Copies
`RThe director is hereby authorized to charge the required fee(s), any deficiency, or credits any
`
`504302overpayment, to Deposit Account Number (enclose an extra copy of this form).
`
`
`NOTE: Absent a valid certification of Micro Entity Status (see forms PTO/SB/ISA 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
`3 Applicant changing to regular undiscounted fee status.
`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 si nature re uirements and certifications.
`
`
`
`
`Authorized Signature
`
`
`/J' MitChe” JoneS/
`Date
`May 28! 2015
`
`Registration No. 44174
`__
`(I NIIH 2| IQ” (It )I les
`Typed or printed name
`
`
`PTOL—85 Part B (10—13) Approved for use through 10/31/2013.
`
`Page 2 of 3
`OMB 0651—0033
`
`1I.S¥Mgm§r$r%g1§.EEPmfl/ENT MM?
`
`RIMFROST EXHIBIT 1040 page 0014
`
` 3 Applicant certifying micro entity status. See 37 CFR 1.29
`
`5. Change in Entity Status (from status indicated above)
`
`3 Applicant asserting small entity status. See 37 CFR 1.27
`
`

`

`Electronic Patent Application Fee Transmittal
`
`Title of Invention:
`
`BIOEFFECTIVE KRILL OIL COMPOSITIONS
`
`First Named Inventor/Applicant Name:
`
`Inge Bruheim
`
`Attorney Docket Number:
`
`AKBM-14409/US-11/CON
`
`Filed as Large Entity
`
`Quantity
`
`Filing Fees for Utility under 35 USC111(a)
`
`Description
`
`Fee Code
`
`Sub-Total in
`
`USD($)
`
`Basic Filing:
`
`Miscellaneous-Filing:
`
`Patent-Appeals-and-lnterference:
`
`Post-Al|owance-and-Post-lssuance:
`
`RIMFROST EXHIBIT 1040
`
`RIMFROST EXHIBIT 1040 page 0015
`
`page 0015
`
`

`

`Extension-of—Time:
`
`Total in USD (5)
`
`Miscellaneous:
`
`RIMFROST EXHIBIT 1040
`
`RIMFROST EXHIBIT 1040 page 0016
`
`page 0016
`
`

`

`Electronic Acknowledgement Receipt
`
`“—
`
`——
`
`Title of Invention:
`
`BIOEFFECTIVE KRILL OIL COMPOSITIONS
`
`
`
`——
`
`Payment information:
`
`yes—
`Submitted with Payment
`
`JONES,J. MITCHELL
`
`RIMFRO ST EXHIBIT 1040
`
`—Authorized User
`The Director of the USPTO is hereby authorized to charge indicated fees and credit any overpayment as follows:
`
`RIMFROST EXHIBIT 1040 page 0017
`
`

`

`File Listing:
`
`Document
`
`.
`
`.
`
`File Size(Bytes)/
`
`Multi
`
`Pages
`
`Issue Fee Payment (PTO-85B)
`
`14409US11CON_IssueFeeTrans
`mittal pdf
`
`72d561ec5298a4976ef5bb1c3e8df153d96
`d36b0
`
`Fee Worksheet (SBO6)
`
`fee-info.pdf
`
`d302af4285f428c75693cb5c98fbba8f3789
`58e3
`
`Information:
`
`
`
`New International Application Filed with the USPTO as a Receiving Office
`lfa 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 ofthe 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.
`
`This Acknowledgement Receipt evidences receipt on the noted date by the USPTO ofthe 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
`lfa 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
`lfa 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.
`
`RIMFROST EXHIBIT 1040
`
`RIMFROST EXHIBIT 1040 page 0018
`
`page 0018
`
`

`

`
`
`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
`
`72960
`
`7590
`
`05/27/2015
`
`Casimir Jones, SC.
`2275 DEMING WAY, SUITE 310
`MIDDLETON. WI 53562
`
`WARE, DEBORAH K
`
`1651
`
`DATE MAILED: 05/27/2015
`
`02/12/2015
`14/620,784
`TITLE OF INVENTION: BIOEFFECTIVE KRILL OIL COMPOSITIONS
`
`Inge Bruheim
`
`AKBM—14409/US—11/CON
`
`1577
`
`
`
`
`
`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
`
`08/27/2015
`
`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 0”
`
`RIMFROST EXHIBIT 1040 page 0019
`RIMFROST EXHIBIT 1040
`page 0019
`
`

`

`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)
`
`7590
`7296?
`CaSll’IllI‘ Jones, SHC
`2275 DEMING WAY, SUITE 310
`MIDDLETON, WI 53562
`
`05/27/2015
`
`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
`S(tiaites Poistal Sflqrvice vlvith sufficient postage(fir first lglass mailbin an Envelope
`a
`resse
`to
`e Mai Stop ISSUE FEE a
`ress a ove, or
`eing acsimi e
`transmitted to the USPTO (571) 273—2885, on the date indicated below.
`(Depositor's name)
`(Signature)
`
`(Date)
`
`APPLICATION NO.
`
`FILING DATE
`
`
`
`
` F {ST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`02/12/2015
`14/620,784
`TITLE OF INVENTION: BIOEFFECTIVE KRILL OIL COMPOSITIONS
`
`Inge Bruheim
`
`AKBM—14409/US—11/CON
`
`1577
`
`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
`
`08/27/2015
`
`EXAMINER
`
`ART UNIT
`
`CLASS-SUB CLASS
`
`WARE, DEBORAH K
`
`1651
`
`424—520000
`
`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 c