`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address COMMISSIONER FOR PATENTS
`)
`px
`144
`Alexandria, Vipinia 22313-1450
`www.uspts pov
`
`60/954 ,987
`
`08/09/2007
`
`200
`
`47621-65
`
`23971
`BENNETT JONES
`C/O MS ROSEANN CALDWELL
`4500 BANKERS HALL EAST
`855 - 2ND STREET, SW
`CALGARY, ABT2P 4K7
`CANADA
`
`CONFIRMATIONNO.3611
`
`FILING RECEIPT
`
`Date Mailed: 08/21/2007
`
`Receipt is acknowledgedof this provisional patent application. It will not be examined for patentability and
`will become abandoned notlater than twelve monthsafter its filing date. Any correspondence concerning the
`application must include 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 copy of 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 processesthereply to the Notice, the USPTO will generate
`another Filing Receipt incorporating the requested corrections
`
`Applicant(s)
`
`GEOFF SEAN LYON, Calgary, CANADA;
`
`Powerof Attorney: The patent practitioners associated with Customer Number 23971
`
`If Required, Foreign Filing License Granted: 08/20/2007
`
`The country code and number of your priority application, to be used for filing abroad under the Paris Convention, is
`US60/954,987
`
`Projected Publication Date: None, application is not eligible for pre-grant publication
`
`Non-Publication Request: No
`
`Early Publication Request: No
`
`Title
`
`FLUID HEAT EXCHANGER
`
`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 thefiling 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
`
`Page 1 of 20
`
`Asetek Exhibit 1005
`
`

`

`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`PCT process simplifies the filing of patent applications on the same invention in member countries, but
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`does notresult in a grant of "an international patent" and does not eliminate the need of applicants to 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 accordance with 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
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`guidancefrom specific foreign countries to ensure that patent rights are not lost prematurely.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Applicants also are advised that in the case of inventions made in the United States, the Director of the
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`USPTO mustissue a license before applicants can apply for a patent in a foreign country. The filing of a U.S.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`patent application serves as a request for a foreign filing license. The application's filing receipt contains
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`further information and guidanceasto 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 deadlines for
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`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
`htto:/Avww.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:/Awww.stopfakes.gov. Part of a Department of
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Commerceinitiative, this website includes self-help “toolkits” giving innovators guidance on howto protect
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`intellectual 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
`The applicant has been granted a license under 35 U.S.C. 184,
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`FILING LICENSE GRANTED"followed by a date appears on this form. Such licenses are issued in 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 indicated is 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 license is to be retained by the licensee and may be used at any time on or after the effective date
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`thereof unlessit 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 grant of a license does not in any way lessen the responsibility of a licensee for the security of the
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`subject matter as imposed by any Government contract or the provisions of existing laws relating to
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`espionage and the national security or the export of technical data. Licensees should apprise themselves of
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`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 Security, Department of Commerce (15 CFR parts 730-774); the
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Office of Foreign AssetsControl, Department of Treasury (31 CFR Parts 500+) and the Departmentof
`
`Energy.
`
`
`
`NOTGRANTED
`
`Page 2 of 20
`
`Page 2 of 20
`
`

`

`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`if the phrase "IF REQUIRED, FOREIGN
`No license under 35 U.S.C. 184 has been granted atthis time,
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`FILING LICENSE GRANTED" DOES NOTappear 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 the filing date of the
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`application.
`If 6 months has lapsed from the filing 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 20
`
`Page 3 of 20
`
`

`

`PTO/SB/14 (06-07)
`
`Approved for use through 06/30/2007. 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 respond to a collection of information unless it contains a valid OMB control number.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`icati
`
`
`
`
`
`
`Application Data Sheet 37 CFR 1.76
`Application Number
`
`
`
`
`
`
`
`
`
`
`
`FLUID HEAT EXCHANGER
`
`Title of Invention
`
`
`
`
`
`
`
`
`
`
`
`The application data sheetis part of the provisional or nonprovisional application for which it is being submitted. The following form contains the
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`bibliographic data arrangedin a format specified by the United States Patent and Trademark Office as outlined in 37 CFR 1.76.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`This document may be completed electronically and submitted to the Office in electronic format using the Electronic Filing System (EFS) or the
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`document may be printed and included in a paper filed application.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Secrecy Order 37 CFR 5.2
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Portionsorall of the application associated with this Application Data Sheet may fall under a Secrecy Order pursuantto
`[_]
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`37 CFR 5.2 (Paper filers only. Applications that fall under Secrecy Order may notbefiled electronically.)
`
`
`
`
`
`
`
`
`
`Applicant Information:
`
`
`
`Applicant 1
`
`
`
`
`Applicant Authority @/nventor|()Legal Representative under 35 U.S.C. 117 CParty ofInterest under 35 U.S.C. 118
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Prefix} Given Name
`Middle Name
`Family Name
`LYON
`SEAN
`
`
`
`
`
`
`
`Residence Information (Select One) © US Residency ) NonUS— ©) Active US Military Service
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`city
`Calgary
`— Of Residencei
`
`
`
`
`
`Mailing Address of Applicant
`
`
`
`
`Address 1
`
`
`
`
`
`
`
`
`Add
`
`3920 - 29th Street NE——
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`All
`Inventor Information blocks may be
`Inventors Must Be Listed - Additional
`
`
`
`
`
`
`
`
`
`generatedwithin this form by selecting the Add button.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Correspondence Information:
`
`
`
`
`
`
`
`
`
`
`Enter either Customer Number or complete the CorrespondenceInformation section below.
`
`
`
`
`
`
`
`For further information see 37 CFR 1.33(a).
`[|] An Addressis being provided for the correspondenceInformation of this application.
`
`
`
`
`
`
`
`
`
`
`
`
`Customer Number
`
`
`
`
`
`
`
`
`
`
`
`
`Email Address
`
`
`
`
`caldwellr@bennettjones.ca
`
`
`
`
`
`Add Email
`
`
`
`
`
`
`
`
`
`
`
`
`Application Information:
`
`
`Title of the Invention
`
`
`
`
`
`
`FLUID HEAT EXCHANGER
`
`
`
`
`
`
`
`
`Attorney Docket Number! 47621-65
`
`
`
`
`
`
`
`Application Type
`Provisional
`
`
`
`
`
`
`
`
`
`Subject Matter
`Suggested Class(if any)
`
`
`
`
`
`
`
`Suggested Technology Center (if any)
`
`Utility
`
`
`
`
`
`| SubClass(if any)
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Total Number of Drawing Sheets(if any)
`Suggested Figurefor Publication (if any)
`2
`
`EFS Web 2.1.2
`
`
`
`
`
`Page 4 of 20
`
`Page 4 of 20
`
`

`

`PTO/SB/14 (06-07)
`
`Approved for use through 06/30/2007. 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 respond to a collection of information unless it contains a valid OMB control number.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Attorney Docket Number|47621-65
`
`
`
`
`
`
`Application Data Sheet 37 CFR 1.76
`Application Number
`
`
`
`Title of Invention
`
`
`
`
`
`
`
`
`
`
`
`
`
`Publication Information:
`
`
`[_] Request Early Publication (Fee required at time of Request 37 CFR 1.219)
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Request Not to Publish. | hereby requestthat the attached application not be published under 35 U.S.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`C. 122(b} and certify that the invention disclosed in the attached application has not been and will not be the
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`subject of an application filed in another country, or under a multilateral agreement, that requires publication at
`
`
`
`
`
`
`
`
`
`
`
`
`
`FLUID HEAT EXCHANGER
`eighteen monthsafterfiling.
`
`
`
`Representative Information:
`
`Representative information should be provided for all practitioners having a power of attorney in the application. Providing
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`this information in the Application Data Sheet does not constitute a powerof attorney in the application (see 37 CFR 1.32).
`
`
`
`
`Enter Representative Name_sectioneither Customer Number or complete the below. If both sections
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`are completed the Customer Numberwill be used for the Representative Information during processing.
`
`
`
`
`Please Select One: (e) Customer Number | ©) US PatentPractitioner C) US Representative (37 CFR 11.9)
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Customer Number 23971
`
`
`
`
`
`
`
`
`
`Domestic Priority Information:
`This section allows for the applicant to claim benefit under 35 U.S.C. 119(e), 120, 121, or 365(c). Providing this information in the
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`application data sheet constitutes the specific reference required by 35 U.S.C. 119(e)} or 120, and 37 CFR 1.78(a){2) or CFR 1.78{a)
`
`
`
`
`
`
`
`
`
`
`
`(4), and need not otherwise be made part of the specification.
`
`
`
`
`Prior Application Status
`
`
`
`
`
`
`
`
`
`
`Filing Date (YYYY-MM-DD}
`
`
`
`
`Application Number
`
`
`
`
`Continuity Type
`
`
`
`
`
`Prior Application Number
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Additional Domestic Priority Data may be generated within this form by selecting
`Add
`
`the Add button.
`
`
`
`
`
`
`
`
`
`
`
`
`Foreign Priority Information:
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`This section allows for the applicant to claim benefit of foreign priority and to identify any prior foreign application for which priority is
`not claimed. Providing this information in the application data sheet constitutes the claim for priority as required by 35 U.S.C. 119{b)
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`and 37 CFR 1.55{a).
`
`
`
`
`
`
`Priority Claimed
`Country i
`Application Number
`ParentFiling Date (YYYY-MM-DD}
`
`
`
`
`
`
`
`() Yes ©) No
`
`Additional Foreign Priority Data may be generated within this form by selecting the
`Add
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Add button.
`
`
`
`
`
`
`
`
`
`
`
`
`
`Assignee Information:
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Providing this information in the application data sheet does not substitute for compliance with any requirementof part 3 of Title 37
`
`
`
`
`
`
`
`
`
`
`
`of the CFR to have an assignmentrecordedin the Office.
`
`
`Assignee 1
`
`
`
`EFS Web 2.1.2
`
`
`
`
`
`Page 5 of 20
`
`Page 5 of 20
`
`

`

`
`
`FaxNumber ————
`
`
`
`
`
`PTO/SB/14 (06-07)
`
`Approved for use through 06/30/2007. 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 respond to a collection of information unless it contains a valid OMB control number.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Attorney Docket Number|47621-65
`
`
`
`
`
`
`Application Data Sheet 37 CFR 1.76
`Application Number
`
`
`
`Title of Invention
`
`
`
`
`
`FLUID HEAT EXCHANGER
`
`
`
`
`
`If the Assignee is an Organization check here.
`|
`
`
`
`
`
`
`
`
`
`
`
`
`
`Given Name Family Name Middle Name
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Mailing Address Information:
`Address 1
`
`
`
`
`
`
`cySSSSCSCSCSCS~*YStoveSSSCSC~*Y
`
`
`Postal Code
`
`
`
`
`
`Phone Number
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Additional Assignee Data may be generated within this form by selecting the Add
`
`button.
`
`
`
`
`
`
`
`
`Signature:
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`A signature of the applicant or representative is required in accordance with 37 CFR 1.33 and 10.18. Please see 37
`CFR 1.4(d) for the form of the signature.
`
`
`
`
`
`
`
`
`
`2007-08-09
`
`Signature
`
`
`
`
`
`
`|/Roseann B. Caldwell/
`
`
`Date (YYYY-MM-DD)|
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`First Name|Roseann Last Name|Caldwell Registration Number|37077
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`This collection of information is required by 37 CFR 1.76. 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 23 minutes to complete, including gathering, preparing, and submitting the completed application data
`sheet form to the USPTO. Time will vary depending upon the individual case. Any comments on the amountof 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, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissionerfor Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`EFS Web 2.1.2
`
`
`
`
`
`Page 6 of 20
`
`Page 6 of 20
`
`

`

`
`
`Privacy Act Statement
`
`
`
`
`
`The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection with your submission of the attached form related to
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`a patent application or patent. Accordingly, pursuant to the requirements of the Act, please be advised that:
`(1) the general authority for the collection
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`of this information is 35 U.S.C. 2(b)(2}; (2) furnishing of the information solicited is voluntary; and (3) the principal purpose for which the information is
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`used by the U.S. Patent and Trademark Office is to process and/or examine your submission related to a patent application or patent.
`If you do not
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`furnish the requested information, the U.S. Patent and Trademark Office may not be able to process and/or examine your submission, which may
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`result in termination of proceedings or abandonmentof the application or expiration of the patent.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`The information provided by you in this form will be subject to the following routine uses:
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`1.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`The information on this form will be treated confidentially to the extent allowed under the Freedom ofInformation Act (5 U.S.C. 552)
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`and the Privacy Act (5 U.S.C. 552a). Records from this system of records may be disclosed to the Departmentof Justice to determine
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`whether the Freedom of Information Act requires disclosure of these records.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`A record from this system of records may be disclosed, as a routine use, in the course of presenting evidence te a court, magistrate, or
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`administrative tribunal, including disclosures to opposing counsel in the course of settlement negctiations.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`A recordin this system of records may be disclosed, as a routine use, to a Memberof Congress submitting a request involving an
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`individual, to whom the record pertains, whenthe individual has requested assistance from the Memberwith respect to the subject matter of
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`the record.
`
`
`
`
`
`A recordin this system of records may be disclosed, as a routine use, to a contractor of the Agency having need for the information in
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`order to perform a contract. Recipients of information shall be required to comply with the requirements of the Privacy Act of 1974, as
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`amended, pursuant to 5 U.S.C. 552a(m).
`
`
`
`
`
`
`
`A record related to an International Application filed under the Patent Cooperation Treaty in this system of records maybe disclosed,
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`as a routine use, to the International Bureau of the World Intellectual Property Organization, pursuant to the Patent Cooperation Treaty.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`A recordin this system of records may be disclosed, as a routine use, to another federal agency for purposes of National Security
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`review (35 U.S.C. 181) and for review pursuant to the Atomic Energy Act (42 U.S.C. 218(c)).
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`A record from this system of records may be disclosed, as a routine use, to the Administrator, General Services, or his/her designee,
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`during an inspection of records conducted by GSA aspart of that agency's responsibility to recommend improvementsin records
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`managementpractices and programs, under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall be made in accordance with the
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`GSA regulations governing inspection of records for this purpose, and any otherrelevant (i.e., GSA or Commerce)directive. Such
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`disclosure shall not be used to make determinations aboutindividuals.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`A record from this system of records may be disclosed, as a routine use, to the public after either publication of the application pursuan
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`to 35 U.S.C. 122(b) or issuance of a patent pursuant to 35 U.S.C. 151. Further, a record may be disclosed, subject to the limitations of 37
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`CFR 1.14, as a routine use, to the public if the record wasfiled in an application which became abandoned or in which the proceedings were
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`terminated and which application is referenced by either a published application, an application open to public inspections or an issued
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`patent.
`
`
`
`
`
`
`A record from this system of records may be disclosed, as a routine use, to a Federal, State, or local law enforcement agency,if the
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`USPTO becomes aware of a violation or potential violation of law or regulation.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`EFS Web 2.1.2
`
`
`
`
`
`Page 7 of 20
`
`Page 7 of 20
`
`

`

`
`
`Fluid Heat Exchanger
`
`
`
`Background
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Fluid heat exchangers are used to cool electronic devices by accepting and dissipating thermal
`
`
`energy therefrom.
`
`
`
`
`
`
`
`Brief Description of the Drawings
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Referring to the drawings wherein like reference numerals indicate similar parts throughout the
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`several views, several aspects of the present invention are illustrated by way of example, and not
`
`
`
`
`
`
`
`
`
`
`by way oflimitation, in detail in the figures, wherein:
`
`
`
`
`
`
`
`
`Figure 1
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`is a top plan view of a fluid heat exchanger according to one embodiment of the
`
`
`
`
`
`
`
`
`
`
`
`
`invention, with the top cap cut awayto facilitate viewing internal components;
`
`
`
`
`
`
`
`
`
`
`
`
`
`Figure 2 is a sectional view alongline I-I of Figure 1;
`
`
`
`
`
`
`
`
`
`
`
`
`
`Figure 3 is a sectional view along line II-II of Figure 2;
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Figure 4 is an exploded, perspective view of a fluid heat exchanger according to another
`
`
`
`
`
`embodimentof the invention; and
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Figure 5 is a top plan view of the fluid heat exchanger of Figure 4 assembled with its top cap
`
`
`removed.
`
`
`
`
`
`
`Description of Various Embodiments
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`The detailed description set forth below in connection with the appended drawings is intended as
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`a description of various embodiments of the present invention and is not intended to represent
`
`
`
`
`
`
`
`
`
`
`
`the only embodiments contemplated by the inventor. The detailed description includes specific
`
`
`
`
`
`
`
`
`
`
`
`
`details for the purpose of providing a comprehensive understanding of the present invention.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`However,it will be apparent to those skilled in the art that the present invention may be practiced
`
`
`
`
`without these specific details.
`
`
`
`
`
`DMSLeeal047621\00065\267848 31
`
`
`
`
`Page 8 of 20
`
`Page 8 of 20
`
`

`

`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Withreference to Figures 1 to 3, a fluid heat exchanger 100 is shown. Fluid heat exchangeris a
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`heat exchanger which includes a heat spreader plate 102, an arrangement of microporous fluid
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`channels 103, a fluid inlet passage 104, and a fluid outlet passage 106. A housing 109 operates
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`with heat spreader plate 102 to form an outer limit of the heat sink and to define fluid flow
`
`
`
`passages 104, 106.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`As shown in Figures 2 and 3, in use, the heat exchanger 100 is coupled to a heat source 107, such
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`as an electronic device, including, but not limited to a microchip and integrated circuit. The heat
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`exchanger may be thermally coupled to the heat source by a thermal interface material disposed
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`therebetween, by coupling directly to the surface of the heat source, or by integrally forming the
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`heat source and at least the heat spreader plate 102 of the fluid heat exchanger. The heat
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`exchanger 100 may take various forms and shapes, but heat spreader plate 102 is formed to
`
`
`
`
`
`
`
`accept thermal energy from heat source 107.
`
`
`
`
`
`
`
`
`
`In the illustrated embodiment, heat spreader plate
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`102 includes a protrusion 102b that controls the positioning of the heat spreaderplate relative to
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`the heat source. Heat spreader plate 102 may include a portion of more conductive material to
`
`
`
`
`
`
`
`
`
`facilitate and control heat transfer, if desired.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Microporous fluid channels 103 are formed to accept the flow of heat exchanging fluid for
`
`
`
`
`
`
`
`
`
`
`
`
`
`thermal pick up and dissipation of heat passing through heat spreader plate 102.
`
`
`
`
`
`In the illustrated
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`embodiment, microporousfluid channels 103 are defined by walls 110 that are thermally coupled
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`to the heat spreader plate to accept thermal energy therefrom, For example, heat spreaderplate
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`102 may include an upper surface 102a and a plurality of microchannel walls 110 may extend
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`upwardly therefrom, wherebythe area in between upper surface 102a and the microchannel walls
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`110 channels or directs fluid along a fluid flow path. The surfaces of upper surface 102a and
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`walls 110 have a high thermal conductivity to allow sufficient heat transfer from the heat source
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`107 to fluid passing through channels 103. The surfaces forming channels 103 may beflat,
`
`formed with a porous structure, such as of sintered metal and/or silicon foam or roughened,for
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`including troughs and/or crests designed to collect or repel fluid from a particular
`example,
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`location. The microchannel walls 110 may be configured in a parallel configuration, as shown,
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`or otherwise provided fluid can flow between the microchannel walls 110 along a fluid path.
`
`
`
`It
`
`
`
`
`
`
`
`
`
`
`
`is apparent to one skilled in the art that
`
`
`
`
`
`
`
`
`
`the microchannel walls 110 may be alternatively
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`configured in any other appropriate configuration depending on various factors of desired flow,
`
`DMSLega04762 10005512678483¥1
`
`
`
`Page 9 of 20
`
`Page 9 of 20
`
`

`

`
`
`
`
`
`
`
`
`
`
`
`
`thermal exchange, etc. For instance, grooves may be formed between sections of microchannel
`
`
`
`
`
`
`
`
`
`
`
`walls 110, Generally, microchannel walls 110 may desirably have dimensions andproperties
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`which seek to reduce or possibly minimize the pressure drop or differential of fluid flowing
`
`
`
`
`
`through the channels defined therebetween.
`
`
`
`
`
`
`
`
`
`
`In
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`The microchannel walls 110 allow the fluid to undergo thermal exchange of thermal energy from
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`the heat spreader plate to cool the heat source coupled to the heat spreader plate. As will be
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`appreciated, some regions of the heat spreader plate may be exposed to greater inputs of thermal
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`energy than other regions on that plate by nature of the components coupled directly thereto.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`such a way, hot spot regions will be formed on the heat spreader plate and on the microchannel
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`walls 110 in that region. The microchannel walls 110 may have a width dimension within the
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`range of 20 microns -1 millimeter and a height dimension within the range of 100 micronsto five
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`millimeters, depending on the power of the heat source 107, desired cooling effect, etc. The
`
`
`
`
`
`
`
`
`
`
`
`
`
`microchannel walls 110 may have a length dimension which ranges between 100 microns and
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`several centimeters, depending on the dimensionsof the heat source, as well as the size of the hot
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`spots and the heat flux density from the heat source. Alternatively, any other microchannel wall
`
`
`
`
`
`
`
`
`
`
`
`
`
`dimensions are contemplated. The microchannel walls 110 may be spaced apart by a separation
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`dimension range of 20 microns -1 millimeter, depending on the power of the heat source 99,
`
`
`
`
`
`
`
`
`although any other separation dimension range is contemplated.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`together with
`Other microporous channel configurations may be used alternatively to or
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`microchannels, such as for example, a series of pillars, fins, or undulations, etc. which extend
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`upwards from the heat spreader plate upper surface or tortuous channels as formed by a foam or
`
`
`sintered surface.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Fluid heat exchanger 100 further includes a fluid inlet passage 104, which in the illustrated
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`embodiment includes a port 111 through the housing opening to a header 112 and thereafter a
`
`
`
`
`
`
`
`
`
`
`fluid inlet opening 114 to the microporousfluid channels 103.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`The port and the header can be formed in various ways and configurations. For example, port
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`111 may be positioned on top, as shown, side or end regions of the heat exchanger, as desired.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Port 111 and header 112 are generally of a larger cross sectional area than openings 114, so that
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`a mass flow off