`
`AFPFLICATION
`
`Untrep Stares PareENT AND TRADEMARK OFFIGE
`
`FILING or
`
`GRP ART
`
`UNTTED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Offier
`ove
`ba
`fAddiess. COMM ISSTONER FOR PATENTS
`wwe epto
`Alexandria.Aisbi 22915-1450
`
`NUMBER
`37 Lic) DATE
`UNIT
`FIL ——D
`ATTY.DOCKET.NO
`TOT CLAIMS IND CLAIMS
`
`61/915,113
`
`12/12/2013
`
`41188-720.101
`
`21971
`WILSON, SONSINI, GOODRICH & ROSATI
`
`£50 PAGE MILL ROAD
`
`PALO ALTO, GA 94304-1050
`
`CONFIRMATION NO. 4839
`
`FILING RECEIPT
`
`IHNNUM
`
`Date Mailed: 12/24/2013
`
`It will not be examined for patentability and will
`Receipt is acknowledged of this provisional patent application.
`become abandonednotlater than twelve monthsafterits 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 submit
`a written request for a Filing Receipt Correction. 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 correctionsto 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
`
`Inventor(s)
`
`Euan THOMSON, San Francisco, CA;
`Nupur SRIVASTAVA, San Francisco, CA;
`Omar DAWOOD,San Francisco, CA;
`Iman ABUZEID, San Francisco, CA, CANADA;
`
`Applicant(s)
`
`AliveCOR, Inc., San Francisco, CA
`Power of Attorney:
`Darby Chan--62407
`
`Permission to Access - A proper Authorization to Permit Access to Application by Participating Offices
`(PTO/SB/39orits equivalent) has been received by the USPTO.
`
`lf Required, Foreign Filing License Granted: 12/17/2013
`The country code and numberof yourpriority application, to be usedforfiling abroad under the Paris Convention,
`is US 61/915,113
`Projected Publication Date: None, application is not eligible for pre-grant publication
`Non-Publication Request: No
`Early Publication Request: No
`** SMALL ENTITY **
`Title
`
`METHODS AND SYSTEMS FOR ARRHYTHMIA TRACKING AND SGORING
`
`Statement under 37 CFR 1.55 or 1.78 for AIA (First Inventor to File) Transition Applications: No
`page | of 3
`
`APPLE 1026
`
`APPLE 1026
`
`1
`
`
`
`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 the filing 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 PCT process simplifies the filing
`of patent applications on the sameinvention in member countries, but does not result in a grant of "an international
`patent" and doesnoteliminate the need of applicantstofile 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 guidance from specific
`foreign countries to ensure that patent rights are not lost prematurely-
`
`Applicants also are advisedthat in the case of inventions madein the United States, the Director of the USPTO must
`issue 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
`guidance asto 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 deadlinesfor filing foreign
`patent applications. The guide is available either by contacting the USPTO Contact Center at 800-786-9199, orit
`can be viewed on the USPTO website at http:/Awww.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:/\www.stopfakes.gov. Part of a Department of Commerceinitiative,
`this website includes self-help "toolkits" giving innovators guidance on how to protectintellectual property in specific
`countries such as China, Korea and Mexico. For questions regarding patent enforcementissues, applicants may
`call the U.S. Government hotline at 1-866-999-HALT (1-866-999-4258),
`
`LICENSE FOR FOREIGN FILING UNDER
`
`Title 35, United States Code, Section 184
`
`Title 37, Code of Federal Regulations, 5.11 & 5.15
`
`GRANTED
`
`The applicant has been granted a license under 35 U.S.C. 184, if the phrase "IF REQUIRED, FOREIGN 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 in37 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 earlierlicense of similar scope has been granted under
`37 CFR 5.13 or 5.14.
`
`page 2of 3
`
`2
`
`
`
`This license is to be retained by the licensee and may be used at any time on orafterthe effective date thereof unless
`itis revoked. This license is automatically transferred to any related applications(s) filed under 37 CFR 1.53(d). This
`license is not retroactive.
`
`Thegrantof 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 Department of Energy.
`
`
`
`NOTGRANTED
`
`No license under 35 U.S.C. 184 has been granted at this time, if the phrase "IF REQUIRED, FOREIGN FILING
`LICENSE GRANTED" DOES NOTappear onthis 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 thefiling date of this application and the licensee has not received any indication of a secrecy order under 35
`U.S.C. 181, the licensee may foreignfile the application pursuant to 37 CFR 5.15(b).
`
`
`
`SelectUSA
`
`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 U.S.offers tremendous resources
`and advantages for those who invest and manufacture goods here. Through SelectUSA, our nation works to
`promote andfacilitate business investment. SelectUSA provides information assistanceto the international investor
`community; serves as an ombudsmanfor existing and potential investors; advocates on behalf of U.S.cities, states,
`and regions competing for global investment; and counsels U.S. economic developmentorganizations on investment
`attraction best practices. To learn more about why the United States is the best country in the world to develop
`technology, manufacture products, deliver services, and grow your business,visit http://www_SelectUSA.gov orcall
`+1-202-482-6800.
`
`page 3 of 3
`
`3
`
`
`
`PTO/SB/M16 (03-13)
`Approved for use through 01/31/2014, OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under he Paperwork Reduction Act of 1995, no persons.are required to respond fo a collection of information unlessit displays a valid OMB control number
`PROVISIONAL APPLICATION FOR PATENT COVER SHEET— Page 1 of 2
`This is a requestfor filing a PROVISIONAL APPLICATION FOR PATENT under 37 CFR 1.53(c),
`Express Mail Label No. N/A
`
`Additional inventors are being named on the
`
`separately numbered sheets attached hereto
`
`TITLE OF THE INVENTION(500 characters max):
`
`ABUZEID
`
`San Francisco, CA
`
`(<] The address corresponding to Customer Number:
`OR
`
`CORRESPONDENCE ADDRESS
`
`021971
`
`rs
`
`Firm or
`Individual Name
`Address
`
`city
`
`Zip
`
`Country
`
`Telephone
`ENCLOSED APPLICATION PARTS(checkall that opply)
`Application Data Sheet. See 37 CFR 1.76
`L] CD(s), Number of CDs
`7
`i] Drawing(s) Number of Sheets
`[| Other (specify)
`Specification (¢.g. description. of the invention) Number of Pages
`15
`
`Fees Due: Filing Fee of $260 ($130 for small entity) (S65 for micro entity). If the specification and drawings exceed 100 sheets of paper, an
`application size fee is also due, which is $400 ($200 for small entity) ($100 for micro entity) for each additional 50 sheets or fraction thereof.
`See 35 U.S.C. 41(a)(1)(G) and 37 CFR 1.16(s).
`METHOD OF PAYMENT OF THE FILING FEE AND APPLICATION SIZE FEE FOR THIS PROVISIONAL APPLICATION FOR PATENT
`
`METHODS AND SYSTEMS FOR ARRHYTHMIA TRACKING AND SCORING Direct all correspondence to;
`
`Applicant claims small entity status. See 37 CFR 1.27.
`
`[_] Applicantcertifiesmicroentitystatus.See37CFR 1.29,Ts130«|
`
`Applicant must attach form PTO/SB/15A or B or equivalent,
`
`A check or money order made payable to the Director of the United States Patent
`and Trademark Office is enclosed to cover the filing fee and applicationsize fee (if applicable),
`[| Payment by credit card, Form PTO-2038js attached
`x] The Director is hereby authorized to chargethefiling fee and application size fee (if applicable) or credit any overpayment to Deposit
`Account Number: 23-2415.
`
`TOTAL FEE AMOUNT (5)
`
`USE ONLY FOR FILING A PROVISIONAL APPLICATION FOR PATENT
`This collection of information is required by 37 CFR 1.51. 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 1,11 and 1,14, This collection is estimated to take 10 hours to complete,including
`gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending uponthe individual case, Any comments on the
`amount of time you require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent and
`Trademark Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450, DO NOT SEND FEES OR COMPLETED FORMSTO THIS ADDRESS, SEND
`TO; Commissionerfor Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`Ifyou need assistance in completing the form, call 1-800-PTO-9199 and select option 2.
`
`5970091_1,doc
`
`4
`
`4
`
`
`
`PTO/SB/16 (03-13)
`Approved for use through 01/31/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1 995, no persons are required to respond lo a collection of information unless it displays a valid OMB control number.
`
`PROVISIONAL APPLICATION FOR PATENT COVER SHEET — Page2 of 2
`
`The invention was made by an agency of the United States Government or under a contract with an agency of the United States Government.
`BX] No
`CJ Yes, the invention was made by an agency of the U.S. Government. The U.S. Government agency nameis:
`
`[| Yes, the invention was made under a contract with an agency of the U.S. Government. The name of the U.S. Government agency and
`
`Government contract number are:
`
`WARNING:
`
`Petitioner/applicant is cautioned to avoid submitting personal information in documentsfiled in a patent application that may
`contribute to identity theft. Personal information such as social security numbers, bank account numbers, or credit card
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`the USPTO to support a petition or an application. If this type of personal information is included in documents submitted to
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`them to the USPTO. Petitioner/applicant is advised that the record of a patent application is available to the public after
`publication of the application (unless a non-publication request in compliance with 37 CFR 1.213(a) is made in the application)
`or issuarice of a patent. Furthermore, the record from an abandoned application may also be available to the public if the
`application is referenced in a published application or an issued patent (see 37 CFR 1.14). Checks and credit card authorization
`forms PTO-2038 submitted for payment purposes are not retained in the application file and therefore are not publicly
`available.
`
`SIGNATURE
`
`
`/Darby J. Chan/
`bate December 12, 2013
`
`TYPED or PRINTED NAME
`
`Darby J. Chan
`
`REGISTRATIONNO.
`(if appropriate)
`
`62,407
`
`TELEPHONE 650.493.9300
`
`Docket Number; 41188-720.101
`
`5970091 _1.doce
`
`5
`
`
`
`PTOMAIA/N14 (03-13)
`Approved for use through 01/31/2014. 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.
`
`Application Data Sheet 37 CFR 1.76
`
`—
`
`Title of Invention|METHODS AND SYSTEMS FOR ARRHYTHMIA TRACKING AND SCORING
`
`document may be printed and included in a paper filed application.
`
`The application data sheetis part of the provisional or nonprovisional application for whichit 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
`
`Secrecy Order 37 CFR 5.2
`Oo Portions or all of the application associated with this Application Data Sheet may fall under a Secrecy Order pursuantto
`37 CFR 5.2 (Paperfilers only. Applications that fall under Secrecy Order may not be filed electronically.)
`
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`
`Inventor Information:
`
`
`
`
`
`
`
`
`1
`
` Remove
`
`Inventor
`Legal Name
`
`
`
`
`Middle Name
`Family Name
` Prefix) Given Name
`
`
`
`
`() Active US Military Service
`©) NonUSResidency
`Residence Information (Select One} (e) US Residency
`
`
`State/Province Country of Residence i|US
`
`
`Mailing Addressof Inventor:
`
`Address 1
`
`30 Maiden Ln.
`
`Address 2
`
`City
`San Francisco
`State/Province
`| CA
`
`
`Inventor
`2
`Legal Name
`
`
`Nupur
`SRIVASTAVA
`Residence Information (Select One} (@) US Residency
`©) NonUSResidency
`() Active US Military Service
`
`Mailing Address of Inventor:
`
`Address 2
`
`30 Maiden Ln.
`Address 1
`
`
`Inventor
`Legal Name
`
`
`3
`
`Prefix) Given Name
`Middle Name
`Family Name
`Suffix
`for000 _
`Residence Information (Select One} (@) US Residency
`©) NonUSResidency ©) Active US Military Service
`
`EFS Web 2.2.8
`
`6
`
`6
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`
`
`PTOMAIA/N14 (03-13)
`Approved for use through 01/31/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Underthe 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 Data Sheet 37 CFR 1.76
`
`METHODS AND SYSTEMS FOR ARRHYTHMIA TRACKING AND SCORING
`Title of Invention
`
`
`
`
`
`
`City|San Francisco | Country of Residencei | US | State/Province | CA
`
`Mailing Address of Inventor:
`
`Address 1
`
`30 Maiden Ln.
`
`4
`Inventor
`Legal Name
`
`Prefix) Given Name
`
`Middle Name
`
`Family Name
`
`Suffix
`
`
`
`() Active US Military Service
`©) NonUSResidency
`Residence Information (Select One} (@) US Residency
`
`
`City|San Francisco State/Province|CA Country of Residence!|CA
`
`
`
`Mailing Addressof Inventor:
`
`
`Address 1
`Address 2
`
`
`30 Maiden Ln.
`
`
`
`
`
`
`
`
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`All
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`
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`CorrespondenceInformation:
`
`Enter either Gustomer Number or complete the Correspondence Information section below.
`For further information see 37 CFR 1.33(a).
`
`[| An Addressis being provided for the correspondenceInformation of this application.
`
`Customer Number
`
`21971
`
`Email Address
`
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`Add Email
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`Application Information:
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` METHODS AND SYSTEMS FOR ARRHYTHMIA TRACKING AND SCORING
`
`Title of the Invention
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`Application Type
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`
`Subject Matter
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`
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`
`PTOMAIA/N14 (03-13)
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`oo Attorney Docket Number|41188-720.101
`
`Application Data Sheet 37 CFR 1.76
`—
`
`METHODS AND SYSTEMS FOR ARRHYTHMIA TRACKING AND SCORING
`Title of Invention
`
`
`Publication Information:
`
`[_] Request Early Publication (Fee required at time of Request 37 CFR 1.219)
`
`
`[]
`
`Req uest Not to Publish. | 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 applicationfiled in another country, or under a multilateral international agreement, that requires
`publication at eighteen monthsafterfiling.
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`Representative Information:
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`Representative information should be provided for all practitioners having a power of attorney in the application. Providing
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`©) Limited Recognition (37 CFR 11.9) Customer Number
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`21971
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`©) US PatentPractitioner
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`This section allows for the applicant to either claim benefit under 35 U.S.C. 119(e), 120, 121, or 365(c) or indicate
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`PTOMAIA/N14 (03-13)
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`icati
`
`Application Data Sheet 37 CFR 1.76
`
`METHODS AND SYSTEMS FOR ARRHYTHMIA TRACKING AND SCORING
`Title of Invention
`
`
`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
`[|16, 2013.
`NOTE: Byproviding 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 underthe first inventor to file provisions of the AIA.
`
`Authorization to Permit Access:
`
`Authorization to Permit Access to the Instant Application by the Participating Offices
`
`If checked, the undersigned hereby grants the USPTO authority to provide the European Patent Office (EPO),
`the Japan Patent Office (JP©), the Korean Intellectual Property Office (KIPO), the World Intellectual Property Office (WIPO),
`and any otherintellectual property offices in which a foreign application claiming priority to the instant patent application
`is filed access to the instant patent application. See 37 CFR 1.14(c) and (h). This box should not be checkedif the applicant
`does not wish the EPO, JPO, KIPO, WIPO, or otherintellectual property office in which a foreign application claiming priority
`to the instant patent application is filed to have accessto the instant patent application.
`
`In accordance with 37 CFR 1.14(h){3), access will be provided to a copy of the instant patent application with respect
`to: 1) the instant patent application-as-filed; 2) any foreign application to which the instant patent application
`claims priority under 35 U.S.C. 119{a)-{c) if a copy of the foreign application that satisfies the certified copy requirement of
`3/7 CFR 1.55 has beenfiled in the instant patent application; and 3) any U.S. application-as-filed from which benefit is
`soughtin the instant patent application.
`
`In accordance with 37 CFR 1.14(c}, access may be provided to information concerning the date offiling this Authorization.
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`Providing assignmentinformation in this section does not substitute for compliance with any requirement of part 3 of Title 37 of CFR
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`PTOMAIA/N14 (03-13)
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`icati
`
`Application Data Sheet 37 CFR 1.76
`
`METHODS AND SYSTEMS FOR ARRHYTHMIA TRACKING AND SCORING
`Title of Invention
`
`
`1
`Applicant
`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 addressof the legal representative who is the applicant under 37 CFR
`1.43; or the name and addressof the assignee, person to whom theinventor is under an obligation to assign the invention, or person
`who otherwise showssufficient proprietary interest in the matter who is the applicant uncer 37 CFR 1.46. If the applicant is an
`applicant under 37 CFR 1.46 {assignee, person to whom the inventoris obligated to assign, or person who otherwise showssufficient
`proprietary interest) together with one or morejoint inventors, then the joint inventor or inventors who are also the applicant should be
`identified in this section.
`
`(e) Assignee
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`QC) Legal Representative under 35 U.S.C. 117
`
`Joint Inventor
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`Email Address Additional Applicant Data may be generated within this form by selecting the Add button.
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`Person who shows sufficient proprietary interest C)
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`QO Person to whom the inventoris obligated to assign.
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`CO
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`lf applicant is the legal representative, indicate the authority to file the patent application, the inventoris:
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`Nameof the Deceased or Legally Incapacitated Inventor:
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`If the Applicant is an Organization check here.
`
`Organization Name
`
`AliveCOR, Inc.
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`Application Data Sheet 37 CFR 1.76
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`Title of Invention
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`METHODS AND SYSTEMS FOR ARRHYTHMIA TRACKING AND SCORING
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`Signature
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`{Darby J. Chan/
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`First Name
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`Date (YYYY-MM-DD)|
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`2013-12-12
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`ABSTRACT OF THE DISCLOSURE
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`A dashboard centered around arrhythmia or A-fib tracking is provided. The dashboard
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`includes a heart or cardiac health score that can be calculated in response to data from the user such
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`as their ECG and other personal information and cardiac health influencing factors. The dashboard
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`also provides to the user recommendationsorgoals, such as daily goals, for the user to meet and
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`thereby improvetheir heart or cardiac health score. These goals and recommendations maybeset
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`by the user or a medical professional and routinely updated as his or her heart or cardiac health score
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`improves or otherwise changes. The dashboard is generally displayed from an application provided
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`on a smartphoneortablet computer of the user.
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`S97()122_