UTILITY
`PATENT APPLICATION
`TRANSMITTAL
`
`Attorney Docket No. R60999 1400US.C4 (1383.3)
`
`First Inventor: John Howard Robinson
`
`Title: TOBACCO-CONTAINING SMOKING ARTICLE
`
`FILED VIA EFS
`
`ADDRESS TO: COMMISSIONER FOR PATENTS
`P.O. BOX 1450
`ALEXANDRIA, VA 22313-1450
`
`Transmitted herewith for filing in the United States Patent Office is a utility patent application.
`
`Inventors: John Howard Robinson, David William Griffith, Jr., Billy Tyrone Conner, Evon Llewellyn Crooks,
`Dempsey Bailey Brewer, Jr.
`Assignee of this invention is RAI Strategic Holdings, Inc.
`
`1.
`2.
`
`The Filing Fee has been calculated as shown below:
`Applicant claims Small Entity Status. See 37 CFR 1.27.
`Small Entity
`Rate
`Fee 0
`
`No Extra
`
`No Filed
`
`Large Entity
`Rate
`Fee 1
`
`$ 280
`
`$ 600
`
`$ 720
`
`$ 0
`
`$ 0
`
`$ 0
`
`BASIC FEE
`
`SEARCH FEE
`
`EXAMINATION FEE
`
`TOTAL CLAIMS:
`
`INDEP CLAIMS:
`
`APPLICATION SIZE
`
`FEE
`
`30 - 20 =
`
`2 - 3 =
`
`10
`
`0
`
`X 40= $ 0
`
`X 210 = $ 0
`
`X 80 = $ 800
`
`X 420 = $ 0
`
`If the specification, drawings,
`and sequence listing exceed
`100 sheets of paper, the
`application size fee due is
`$400 ($200 for small entity)
`for each additional 50 sheets
`or fraction thereof.
`
`[0]MULTIPLE DEPENDENT CLAIMS
`PRESENTED
`
`*If the difference in Column 1 is less than zero,
`enter "O" in Column 2.
`
`+390 = $
`
`+780 = $
`
`TOTAL
`
`$
`
`TOTAL
`
`$ 2400
`
`The Commissioner is hereby authorized to credit overpayments or charge the following fees to Deposit
`Acct. No. 09-0528.
`~
`Fees required under 37 CFR 1.16 (National filing fees).
`a.
`~
`b.
`Fees required under 37 CFR 1.17 (National application processing fees) including any
`extension of time fees under 37 CFR § 1.136(a) that are required for consideration of
`papers filed during prosecution.
`
`D
`D
`D
`
`for the filing fee is enclosed.
`A check in the amount of $ _
`The filing fees are being authorized when e-filing.
`
`The above filing fee will be paid along with Applicant(s) Response to the Notice to File Missing
`Parts.
`
`WCSR 37249627vl
`
`Philip Morris Products, S.A.
`Exhibit 1002
`Page 001
`
`

`

`Specification; Total Pages 49
`
`Sheets of Drawing(s) (35 USC 113)
`
`Declaration and Power of Attorney; [Total Pages _]
`D
`a.
`Newly executed (original or copy)
`D
`b.
`Copy from a prior application (37 CFR l.63(d))
`(for continuation/divisional with Box 18 completed)
`i. D DELETION OF INVENTOR(S) Signed statement attached deleting inventor(s)
`named in the prior application, see 37 CFR l.63(d)(2) & l.33(b).
`
`r8] Application Data Sheet. See 37 CFR 1.76
`D CD-ROM or CD-R in duplicate, large table or Computer Program (Appendix)
`D Landscape Table on CD
`
`3.
`
`4.
`
`5.
`
`6.
`
`7.
`
`8.
`
`Nucleotide and/or Amino Acid Sequence Submission (if applicable, all necessary)
`D
`a.
`Computer Readable Form (CRF)
`D
`Request for Transfer of Computer Readable Form of Sequence Listing
`b
`under 37 CFR § l.82l(e) and MPEP 2422.05 (must be compliant with new rules)
`D
`Specification Sequence Listing on:
`D CD-ROM or CD-R (2 copies); or
`i.
`D Paper
`ii.
`D Electronic Text File Submission
`111.
`Statements verifying identity of above copies
`
`c.
`
`d.
`
`D
`
`ACCOMPANYING APPLICATION PARTS
`
`9.
`
`10.
`
`11.
`
`12.
`
`13.
`
`14.
`
`15.
`
`16.
`
`17.
`
`18.
`
`D
`
`D
`D
`D
`r8l
`D
`D
`D
`D
`D
`
`Assignment Papers (cover sheet & document(s) (including $40.00 fee)
`Name of Assignee
`
`37 CFR 3.73(b) Statement and General Power of Attorney by Assignee. OR
`Application Specific Power of Attorney by Assignee
`
`English Translation Document ( if applicable)
`
`Information Disclosure Statement (IDS)/PT0-1449; IDS Coversheet
`
`Preliminary Amendment
`
`Return Receipt Postcard (MPEP 503) (Should be specifically itemized)
`
`Certified Copy of Priority Document(s) (if foreign priority is claimed)
`Foreign Priority is claimed as
`Application No.
`, filed
`
`Nonpublication Request under 35 U.S.C. 122(b)(2)(B)(i).
`Applicant must attach form PTO/SB35 or its equivalent.
`
`Request for Early Publication Under 37 CFR § 1.219. Fee of $300.00 is enclosed.
`
`D
`If a CONTINUING APPLICATION, check appropriate box and supply the requisite information below
`and in a preliminary amendment, or in an Application Data Sheet under 37 CFR 1.76:
`D Divisional
`D Continuation in Part (CIP)
`r8] Continuation
`of prior Application No: 14/527,287; Filed October 29, 2014
`
`Prior Application Information: Examiner Phu Hoang Nguyen Group/Art Unit: 1747
`
`WCSR 37249627vl
`
`Page2
`
`Philip Morris Products, S.A.
`Exhibit 1002
`Page 002
`
`

`

`For CONTINUATION or DIVISIONAL APPS only: The entire disclosure of the prior application, from which an oath or declaration is supplied
`under Box 5b, is considered a part of the disclosure of the accompanying continuation or divisional application and is hereby incorporated by
`reference. The incorporation can only be relied upon when a portion has been inadvertently omitted from the submitted application parts.
`
`19.
`
`CORRESPONDENCE ADDRESS
`
`CUSTOMER NUMBER 26158
`
`/christopher m. humphrey/
`Signature:
`Attorney/ Agent of Record: Christopher M. Humphrey
`Attorney/Agent Registration No. 43,683
`Womble Carlyle Sandridge & Rice, LLP
`Attn: Patent Docketing
`P.O. Box 7037
`Atlanta, GA 30357-0037
`Tel Raleigh Office (919) 755-2100
`Fax Raleigh Office (919) 755-2150
`
`ELECTRONICALLY FILED USING THE EFS-WEB ELECTRONIC FILING SYSTEM OF THE UNITED STATES PATENT &
`TRADEMARK OFFICE ON October 5, 2016.
`
`WCSR 37249627vl
`
`Page 3
`
`Philip Morris Products, S.A.
`Exhibit 1002
`Page 003
`
`

`

`PTO/AIN14 (11-15)
`Approved for use through 04/30/2017. 0MB 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 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`R60999 1400US.C4 (1383.3)
`
`Application Number
`
`Title of Invention
`
`TOBACCO CONTAINING SMOKING ARTICLE
`
`The application data sheet is part of the provisional or nonprovisional application for which it is being submitted. The following form contains the
`bibliographic data arranged in 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:
`D Portions or all of the application associated with this Application Data Sheet may fall under a Secrecy Order pursuant to
`37 CFR 5.2 (Paper filers only. Applications that fall under Secrecy Order may not be filed electronically.)
`
`Inventor Information:
`
`Inventor
`11
`Legal Name
`
`I Remove
`
`I
`
`Prefix Given Name
`
`Middle Name
`
`Family Name
`
`I El ~ohn
`
`~oward
`Residence Information (Select One)
`• US Residency
`I State/Province
`City
`f<ernersville
`
`~obinson
`Non US Residency
`Active US Military Service
`I Country of ResidencJ
`I f.Js
`
`I t,Jc
`
`Suffix
`
`I El
`
`Mailing Address of Inventor:
`
`Address 1
`
`504 Antler Court
`
`Address 2
`I t<ernersville
`City
`Postal Code
`
`Inventor b
`
`Legal Name
`
`I ~1284
`
`I State/Province
`11us
`I Countryi
`
`I ~c
`
`I Remove
`
`I
`
`Prefix Given Name
`
`Middle Name
`
`Family Name
`
`I El !Javid
`r'illiam
`Residence Information (Select One) @ US Residency
`I State/Province I t,Jc
`City
`t"Jinston-Salem
`
`l3riffith
`Non US Residency
`Active US Military Service
`I Country of ResidencJ I 1-Js
`
`Suffix
`
`~r. El
`
`Mailing Address of Inventor:
`
`Address 1
`
`1130 White Hawk Lane
`
`Address 2
`I J!Vinston-Salem
`City
`I ~1106
`Postal Code
`
`Inventor b
`
`Legal Name
`
`I State/Province
`11us
`I Countryi
`
`I ~c
`
`I Remove
`
`I
`
`Prefix Given Name
`
`Middle Name
`
`Family Name
`
`I El l3illy
`~yrone
`Residence Information (Select One) @ US Residency
`
`j:onner
`Non US Residency
`
`Active US Military Service
`
`Suffix
`
`I El
`
`EFSWeb2.2.12
`
`Philip Morris Products, S.A.
`Exhibit 1002
`Page 004
`
`

`

`PTO/AIN14 (11-15)
`Approved for use through 04/30/2017. 0MB 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 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`R60999 1400US.C4 (1383.3)
`
`Application Number
`
`Title of Invention
`
`TOBACCO CONTAINING SMOKING ARTICLE
`
`City
`
`I J:;lemmons
`
`I State/Province
`
`I t,Jc
`
`I Country of ResidencJ
`
`I 1-Js
`
`Mailing Address of Inventor:
`
`Address 1
`
`80 Scott Farm Road
`
`Address 2
`I J:;lemmons
`City
`Postal Code
`Inventor ~
`Legal Name
`
`I ~1012
`
`I State/Province
`11us
`I Countryi
`
`I ~c
`
`I Remove I
`
`Prefix Given Name
`
`Middle Name
`
`Family Name
`
`I El l=von
`~lewellyn
`Residence Information (Select One) @ US Residency
`I State/Province I t,Jc
`City
`t,1ocksville
`
`J:;rooks
`Non US Residency
`Active US Military Service
`I Country of ResidencJ
`I 1-Js
`
`Suffix
`
`I El
`
`Mailing Address of Inventor:
`
`Address 1
`
`7 49 Howell Road
`
`Address 2
`I t,'locksville
`City
`Postal Code
`
`Inventor b
`
`Legal Name
`
`I ~1028
`
`I State/Province
`11us
`I Countryi
`
`I ~c
`
`I Remove I
`
`Prefix Given Name
`
`Middle Name
`
`Family Name
`
`I El !Jempsey
`~ailey
`Residence Information (Select One) @ US Residency
`I State/Province I ~c I Country of ResidencJ I 1-Js
`City
`~ast Bend
`
`l3rewer
`Non US Residency
`
`Active US Military Service
`
`Suffix
`
`~r. El
`
`Mailing Address of Inventor:
`
`Address 1
`
`)853 Davis Road
`
`Address 2
`I Jcast Bend
`City
`Postal Code
`
`I State/Province
`I lus
`I ~1018
`I Countryi
`All Inventors Must Be Listed - Additional Inventor Information blocks may be
`generated within this form by selecting the Add button.
`
`I ~c
`
`I
`
`Add
`
`I
`
`Correspondence Information:
`Enter either Customer Number or complete the Correspondence Information section below.
`For further information see 37 CFR 1.33(a).
`D An Address is being provided for the correspondence Information of this application.
`
`EFS Web 2.2.12
`
`Philip Morris Products, S.A.
`Exhibit 1002
`Page 005
`
`

`

`PTO/AIN14 (11-15)
`Approved for use through 04/30/2017. 0MB 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 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`R60999 1400US.C4 (1383.3)
`
`Application Number
`
`Title of Invention
`
`TOBACCO CONTAINING SMOKING ARTICLE
`
`Customer Number
`
`)6158
`
`Email Address
`
`patentdocketing@wcsr.com
`
`Application Information:
`
`I Add Email
`
`I
`
`I
`
`I Remove Email I
`
`Title of the Invention
`
`Attorney Docket Number R60999 1400US.C4 (1383.3)
`
`~OBACCO CONTAINING SMOKING ARTICLE
`I Small Entity Status Claimed D
`
`Application Type
`
`Non provisional
`
`Subject Matter
`
`Utility
`
`I Suggested Figure for Publication (if any) 111
`
`Total Number of Drawing Sheets (if any) Ir
`Filing By Reference:
`Only complete this section when filing an application by reference under 35 U.S.C. 111 (c) and 37 CFR 1.57(a). Do not complete this section if
`application papers including a specification and any drawings are being filed. Any domestic benefit or foreign priority information must be
`provided in the appropriate section(s) below (i.e., "Domestic Benefit/National Stage Information" and "Foreign Priority Information").
`
`For the purposes of a filing date under 37 CFR 1.53(b), the description and any drawings of the present application are replaced by this
`reference to the previously filed application, subject to conditions and requirements of 37 CFR 1.57(a).
`
`Application number of the previously
`filed application
`
`Filing date (YYYY-MM-DD)
`
`Intellectual Property Authority or Country
`
`I
`
`Publication Information:
`D
`Request Early Publication (Fee required at time of Request 37 CFR 1.219)
`Request Not to Publish. I hereby request that 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 and will not be the
`subject of an application filed in another country, or under a multilateral international agreement, that requires
`publication at eighteen months after filing.
`
`D
`
`~
`
`~
`
`i-
`
`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 power of attorney in the application (see 37 CFR 1.32).
`Either enter Customer Number or complete the Representative Name section below. If both sections are completed the customer
`Number will be used for the Representative Information during processing.
`
`Please Select One:
`
`• Customer Number
`
`I
`
`US Patent Practitioner 10 Limited Recognition (37 CFR 11.9)
`
`Customer Number
`
`~6158
`
`EFS Web 2.2.12
`
`Philip Morris Products, S.A.
`Exhibit 1002
`Page 006
`
`

`

`PTO/AIN14 (11-15)
`Approved for use through 04/30/2017. 0MB 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 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`R60999 1400US.C4 (1383.3)
`
`Application Number
`
`Title of Invention
`
`TOBACCO CONTAINING SMOKING ARTICLE
`
`Domestic Benefit/National Stage Information:
`This section allows for the applicant to either claim benefit under 35 U.S.C. 119(e), 120, 121, 365(c), or 386(c) or indicate
`National Stage entry from a PCT application. Providing benefit claim 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.
`When referring to the current application, please leave the "Application Number" field blank.
`
`Prior Application Status
`
`!='ending
`
`.
`
`Application Number
`
`Continuity Type
`
`Prior Application Number
`
`I
`
`Continuation of
`
`. 14527287
`.
`
`I Remove I
`Filing or 371 (c) Date
`(YYYY-MM-DD)
`
`~014-10-29
`I Remove I
`Issue Date
`(YYYY-MM-DD)
`
`Patent Number
`
`Prior Application Status Patented
`Application
`Number
`
`Continuity Type
`
`114527287
`
`pontinuation of
`
`Prior Application Status
`
`!='atented
`
`Application
`Number
`
`Continuity Type
`
`113297983
`
`pontinuation of
`
`Prior Application Status
`
`!='atented
`
`Application
`Number
`
`Continuity Type
`
`112763890
`
`pontinuation of
`
`Prior Application
`Number
`I· 113297983
`
`.
`
`Prior Application
`Number
`I· 112763890
`
`.
`
`El 111550634
`
`Prior Application
`Number
`
`Filing Date
`(YYYY-MM-DD)
`
`Filing Date
`(YYYY-MM-DD)
`
`~011-11-16
`
`~899238
`
`Filing Date
`(YYYY-MM-DD)
`
`Patent Number
`
`~014-12-02
`I Remove I
`Issue Date
`(YYYY-MM-DD)
`
`~010-04-20
`
`~079371
`
`~011-12-20
`I Remove I
`Issue Date
`(YYYY-MM-DD)
`
`Patent Number
`
`~006-10-18
`
`~726320
`
`~010-06-01
`
`Additional Domestic Benefit/National Stage Data may be generated within this form
`by selecting the Add button.
`
`I Add
`
`I
`
`Foreign Priority Information:
`
`This section allows for the applicant to claim priority to a foreign application. 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. When priority is claimed to a foreign application
`that is eligible for retrieval under the priority document exchange program (PDXi the information will be used by the Office to
`automatically attempt retrieval pursuant to 37 CFR 1.55(i)(1) and (2). Under the POX program, applicant bears the ultimate
`responsibility for ensuring that a copy of the foreign application is received by the Office from the participating foreign intellectual
`property office, or a certified copy of the foreign priority application is filed, within the time period specified in 37 CFR 1.55(g)(1 ).
`
`Application Number
`
`Filing Date (YYYY-MM-DD)
`I
`I
`I
`Additional Foreign Priority Data may be generated within this form by selecting the
`Add button.
`
`Countryi
`
`I Remove I
`Access Codei (if applicable)
`
`I Add
`
`I
`
`EFS Web 2.2.12
`
`Philip Morris Products, S.A.
`Exhibit 1002
`Page 007
`
`

`

`PTO/AIN14 (11-15)
`Approved for use through 04/30/2017. 0MB 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 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`R60999 1400US.C4 (1383.3)
`
`Application Number
`
`Title of Invention
`
`TOBACCO CONTAINING SMOKING ARTICLE
`
`Statement under 37 CFR 1.55 or 1.78 for AIA (First Inventor to File) Transition
`Applications
`
`This application (1) claims priority to or the benefit of an application filed before March 16, 2013 and (2) also
`contains, or contained at any time, a claim to a claimed invention that has an effective filing date on or after March
`D 16,2013_
`NOTE: By providing this statement under 37 CFR 1.55 or 1.78, this application, with a filing date on or after March
`16, 2013, will be examined under the first inventor to file provisions of the AIA.
`
`EFS Web 2.2.12
`
`Philip Morris Products, S.A.
`Exhibit 1002
`Page 008
`
`

`

`PTO/AIN14 (11-15)
`Approved for use through 04/30/2017. 0MB 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 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`R60999 1400US.C4 (1383.3)
`
`Application Number
`
`Title of Invention
`
`TOBACCO CONTAINING SMOKING ARTICLE
`
`Authorization or Opt-Out of Authorization to Permit Access:
`
`When this Application Data Sheet is properly signed and filed with the application, applicant has provided written
`authority to permit a participating foreign intellectual property (IP) office access to the instant application-as-filed (see
`paragraph A in subsection 1 below) and the European Patent Office (EPO) access to any search results from the instant
`application (see paragraph Bin subsection 1 below).
`
`Should applicant choose not to provide an authorization identified in subsection 1 below, applicant must opt-out of the
`authorization by checking the corresponding box A or B or both in subsection 2 below.
`
`NOTE: This section of the Application Data Sheet is ONLY reviewed and processed with the INITIAL filing of an
`application. After the initial filing of an application, an Application Data Sheet cannot be used to provide or rescind
`authorization for access by a foreign IP office(s). Instead, Form PTO/SB/39 or PTO/SB/69 must be used as appropriate.
`
`1. Authorization to Permit Access by a Foreign Intellectual Property Office(s)
`
`A. Priority Document Exchange (PDXl - Unless box A in subsection 2 (opt-out of authorization) is checked, the
`undersigned hereby grants the USPTO authority to provide the European Patent Office (EPO), the Japan Patent Office
`(JPO), the Korean Intellectual Property Office (KIPO), the State Intellectual Property Office of the People's Republic of
`China (SIPO), the World Intellectual Property Organization (WIPO), and any other foreign intellectual property office
`participating with the USPTO in a bilateral or multilateral priority document exchange agreement in which a foreign
`application claiming priority to the instant patent application is filed, access to: (1) the instant patent application-as-filed
`and its related bibliographic data, (2) any foreign or domestic application to which priority or benefit is claimed by the
`instant application and its related bibliographic data, and (3) the date of filing of this Authorization. See 37 CFR 1.14(h)
`(1 ).
`
`B. Search Results from U.S. Application to EPO - Unless box Bin subsection 2 (opt-out of authorization) is checked,
`the undersigned hereby grants the USPTO authority to provide the EPO access to the bibliographic data and search
`results from the instant patent application when a European patent application claiming priority to the instant patent
`application is filed. See 37 CFR 1.14(h)(2).
`
`The applicant is reminded that the EPO's Rule 141(1) EPC (European Patent Convention) requires applicants to submit a
`copy of search results from the instant application without delay in a European patent application that claims priority to
`the instant application.
`
`2. Opt-Out of Authorizations to Permit Access by a Foreign Intellectual Property Office(s)
`
`A. Applicant DOES NOT authorize the USPTO to permit a participating foreign IP office access to the instant
`D application-as-filed. If this box is checked, the USPTO will not be providing a participating foreign IP office with
`any documents and information identified in subsection 1A above.
`
`B. Applicant DOES NOT authorize the USPTO to transmit to the EPO any search results from the instant patent
`D application. If this box is checked, the USPTO will not be providing the EPO with search results from the instant
`application.
`NOTE: Once the application has published or is otherwise publicly available, the USPTO may provide access to the
`application in accordance with 37 CFR 1.14.
`
`EFS Web 2.2.12
`
`Philip Morris Products, S.A.
`Exhibit 1002
`Page 009
`
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`PTO/AIN14 (11-15)
`Approved for use through 04/30/2017. 0MB 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 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`R60999 1400US.C4 (1383.3)
`
`Application Number
`
`Title of Invention
`
`TOBACCO CONTAINING SMOKING ARTICLE
`
`Applicant Information:
`
`Providing assignment information in this section does not substitute for compliance with any requirement of part 3 of Tille 37 of CFR
`to have an assignment recorded by the Office.
`
`I Remove I
`Applicant
`11
`If the applicant is the inventor (or the remaining joint inventor or inventors under 37 CFR 1.45), this section should not be completed.
`The information to be provided in this section is the name and address of the legal representative who is the applicant under 37 CFR
`1.43; or the name and address of the assignee, person to whom the inventor is under an obligation to assign the invention, or person
`who otherwise shows sufficient proprietary interest in the matter who is the applicant under 37 CFR 1.46. If the applicant is an
`applicant under 37 CFR 1.46 (assignee, person to whom the inventor is obligated to assign, or person who otherwise shows sufficient
`proprietary interest) together with one or more joint inventors, then the joint inventor or inventors who are also the applicant should be
`identified in this section.
`
`I Clear
`
`I
`
`• Assignee
`
`I
`Person to whom the inventor is obligated to assign.
`
`Legal Representative under 35 U.S.C. 117
`
`Joint Inventor
`
`I
`Person who shows sufficient proprietary interest
`
`I
`If applicant is the legal representative, indicate the authority to file the patent application, the inventor is:
`
`Name of the Deceased or Legally Incapacitated Inventor: I
`
`1~1
`
`If the Applicant is an Organization check here.
`
`~
`I Fl STRATEGIC HOLDINGS, INC.
`
`Organization Name
`
`Mailing Address Information For Applicant:
`
`Address 1
`
`Address 2
`
`City
`Country I 1-Js
`Phone Number
`
`Email Address
`
`101 NORTH MAIN STREET
`
`NINSTON-SALEM
`
`State/Province
`
`Postal Code
`
`Fax Number
`
`NC
`
`2
`
`Additional Applicant Data may be generated within this form by selecting the Add button.
`
`I Add
`
`I
`
`Assignee Information including Non-Applicant Assignee Information:
`
`Providing assignment information in this section does not substitute for compliance with any requirement of part 3 of Title
`37 of CFR to have an assignment recorded by the Office.
`
`EFS Web 2.2.12
`
`Philip Morris Products, S.A.
`Exhibit 1002
`Page 010
`
`

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`Prefix
`
`Given Name
`
`Middle Name
`
`Family Name
`I
`I
`I
`Mailing Address Information For Assignee including Non-Applicant Assignee:
`
`I Remove I
`D
`
`Suffix
`
`I
`
`B
`
`PTO/AIN14 (11-15)
`Approved for use through 04/30/2017. 0MB 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 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`R60999 1400US.C4 (1383.3)
`
`Application Number
`
`Title of Invention
`
`TOBACCO CONTAINING SMOKING ARTICLE
`
`Assignee
`
`11
`
`Complete this section if assignee information, including non-applicant assignee information, is desired to be included on the patent
`application publication. An assignee-applicant identified in the "Applicant Information" section will appear on the patent application
`publication as an applicant. For an assignee-applicant, complete this section only if identification as an assignee is also desired on the
`patent application publication.
`
`If the Assignee or Non-Applicant Assignee is an Organization check here.
`
`B I
`
`Address 1
`
`Address 2
`
`City
`
`Countryi
`
`11
`Phone Number
`
`Email Address
`
`11
`
`State/Province
`
`Postal Code
`
`Fax Number
`
`Additional Assignee or Non-Applicant Assignee Data may be generated within this form by
`selecting the Add button.
`
`Add
`
`I
`
`I
`
`Signature:
`NOTE: This Application Data Sheet must be signed in accordance with 37 CFR 1.33(b ). However, if this Application
`Data Sheet is submitted with the INITIAL filing of the application and either box A or B is not checked in
`subsection 2 of the "Authorization or Opt-Out of Authorization to Permit Access" section, then this form must
`also be signed in accordance with 37 CFR 1.14(c).
`This Application Data Sheet must be signed by a patent practitioner if one or more of the applicants is a juristic
`entity (e.g., corporation or association). If the applicant is two or more joint inventors, this form must be signed by a
`patent practitioner, all joint inventors who are the applicant, or one or more joint inventor-applicants who have been given
`power of attorney (e.g., see US PTO Form PTO/AIA/81) on behalf of all joint inventor-applicants.
`See 37 CFR 1.4(d) for the manner of making signatures and certifications.
`
`Remove
`
`Signature
`
`ltchristopher m. humphrey/
`
`Date (YYYY-MM-DD) 12016-10-05
`
`First Name
`
`phristopher
`
`I Last Name I ~umphrey
`
`Registration Number
`
`143683
`
`Additional Signature may be generated within this form by selecting the Add button.
`
`I Add
`
`I
`
`EFS Web 2.2.12
`
`Philip Morris Products, S.A.
`Exhibit 1002
`Page 011
`
`

`

`PTO/AIN14 (11-15)
`Approved for use through 04/30/2017. 0MB 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 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`R60999 1400US.C4 (1383.3)
`
`Application Number
`
`Title of Invention
`
`TOBACCO CONTAINING SMOKING ARTICLE
`
`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 amount of lime 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: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`EFS Web 2.2.12
`
`Philip Morris Products, S.A.
`Exhibit 1002
`Page 012
`
`

`

`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 abandonment of
`the application or expiration of the patent.
`
`The information provided by you in this form will be subject to the following routine uses:
`
`The information on this form will be treated confidentially to the extent allowed under the Freedom of Information 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 Department of 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 to a court, magistrate, or administrative
`tribunal, including disclosures to opposing counsel in the course of settlement negotiations.
`
`A record in this system of records may be disclosed, as a routine use, to a Member of Congress submitting a request involving an individual, to whom
`the record pertains, when the individual has requested assistance from the Member with respect to the subject matter of the record.
`
`2.
`
`3
`
`4. A record in 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).
`
`5. A record related to an International Application filed under the Patent Cooperation Treaty in this system of records may be disclosed, as a routine use,
`to the International Bureau of the World Intellectual Property Organization, pursuant to the PatentCooperationTreaty.
`
`6. A record in 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)).
`
`7. 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 as part of that agency's responsibility to recommend improvements in records management practices 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 other relevant (i.e., GSA or Commerce) directive. Such disclosure shall not be used to make determinations about
`individuals.
`
`8. A record from this system of records may be disclosed, as a routine use, to the public after either publication of the application pursuant 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 was filed 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.
`
`9. 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.
`
`EFSWeb2.2.12
`
`Philip Morris Products, S.A.
`Exhibit 1002
`Page 013
`
`

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`Philip Morris Products, S.A.
`Exhibit 1002
`Page 014
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`Philip Morris Products, S.A.
`Exhibit 1002
`Page 015
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`Philip Morris Products, S.A.
`Exhibit 1002
`Page 016
`
`

`

`Philip Morris Products, S.A.
`Exhibit 1002
`Page 017
`
`

`

`Philip