`

`

`

`PTO/SB/08a (01-10)
`Doc code: IDS
`Approved for use through 07/31/2012. 0MB 0651-0031
`Doc description: Information Disclosure Statement (IDS) Filed
`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.
`
`IN FORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`Filing Date
`
`11314199
`
`2005-12-20
`
`First Named Inventor
`
`I John J. Giobbi
`
`Art Unit
`
`Examiner Name
`
`Attorney Docket Number
`
`2437
`
`I Phy Anh Tran Vu
`10001-02090 us
`
`Examiner Cite
`Initial*
`No
`
`Patent Number
`
`Kind
`Code1
`
`Issue Date
`
`Name of Patentee or Applicant
`of cited Document
`
`Pages,Columns,Lines where
`Relevant Passages or Relevant
`Figures Appear
`
`U.S.PATENTS
`
`Remove
`
`/P.V./
`
`1
`
`7883417
`
`2011-02-08
`
`Bruzzese et al.
`
`If you wish to add additional U.S. Patent citation information please click the Add button.
`
`U.S.PATENT APPLICATION PUBLICATIONS
`
`Add
`
`Remove
`
`Examiner
`Initial*
`
`Cite No
`
`Publication
`Number
`
`Kind Publication
`Code1 Date
`
`Name of Patentee or Applicant
`of cited Document
`
`Pages,Columns,Lines where
`Relevant Passages or Relevant
`Figures Appear
`
`/P.V./
`
`1
`
`20010044337
`
`2001-11-22
`
`Rowe etal.
`
`/P.V./
`
`2
`
`20020098888
`
`2002-07-25
`
`Rowe etal.
`
`/P.V./
`
`3
`
`20020103027
`
`2002-08-01
`
`Rowe etal.
`
`/P.V./
`
`4
`
`20040209690
`
`2004-10-21
`
`Bruzzese et al.
`
`/P.V./
`
`5
`
`20080188308
`
`2008-08-07
`
`Shepherd et al.
`
`If you wish to add additional U.S. Published Application citation information please click the Add button. Add
`Remove
`FOREIGN PATENT DOCUMENTS
`
`EFS Web 2.1.17
`
`Petitioner's Exhibit 1002, Page 3
`
`

`

`IN FORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`Filing Date
`
`11314199
`
`2005-12-20
`
`First Named Inventor
`
`I John J. Giobbi
`
`Art Unit
`
`Examiner Name
`
`Attorney Docket Number
`
`2437
`
`I Phy Anh Tran Vu
`10001-02090 us
`
`Examiner Cite Foreign Document
`No Number3
`Initial*
`
`Country
`Code2 i
`
`Kind Publication
`Code4 Date
`
`Name of Patentee or
`Applicant of cited
`Document
`
`Pages,Columns,Lines
`where Relevant
`Passages or Relevant
`Figures Appear
`
`T5
`
`1
`
`□
`
`If you wish to add additional Foreign Patent Document citation information please click the Add button
`
`NON-PATENT LITERATURE DOCUMENTS
`
`Add
`
`Remove
`
`Examiner Cite
`Initials* No
`
`Include name of the author (in CAPITAL LETTERS}, title of the article (when appropriate}, title of the item
`(book, magazine, journal, serial, symposium, catalog, etc}, date, pages(s), volume-issue number(s),
`publisher, city and/or country where published.
`
`T5
`
`/P.V./
`
`1
`
`POPE, Oasis Digital Signature Services: Digital Signing without the Headaches, Internet Computing-IEEE, Vol. 10,
`2006, pgs 81-84.
`
`□
`
`If you wish to add additional non-patent literature document citation information please click the Add button Add
`EXAMINER SIGNATURE
`
`Examiner Signature I
`
`/Phy Anh Vu/
`
`I Date Considered
`
`12/06/2012
`
`*EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through a
`citation if not in conformance and not considered. Include copy of this form with next communication to applicant.
`
`1 See Kind Codes of USPTO Patent Documents at www.USPTO.GOV or MPEP 901 .04. 2 Enter office that issued the document, by the two-letter code (WIPO
`Standard ST.3). 3 For Japanese patent documents, the indication of the year of the reign of the Emperor must precede the serial number of the patent document.
`4 Kind of document by the appropriate symbols as indicated on the document under WIPO Standard ST.16 if possible. 5 Applicant is to place a check mark here i1
`English language translation is attached.
`
`EFS Web 2.1.17
`
`Petitioner's Exhibit 1002, Page 4
`
`

`

`PART B - FEE(S) TRANSMITTAL
`
`Complete and send this form, together with applicable fee(s), to: Mail Mail Stop ISSUE FEE
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`(571)-273-2885
`
`or Fax
`
`INSTRUCTIONS: This form should be used for transmitting the ISSUE FEE and PUBLICATION FEE (if required). Blocks I through 5 should be completed where
`appropriate. All further correspondence including the Patent, advance orders and notification of maintenance fees will be mailed to the current correspondence address as
`indicated unless corrected below or directed otherwise in Block I, by (a) specifying a new correspondence address; and/or (b) indicating a separate "FEE ADDRESS" for
`maintenance fee notifications.
`CURRENT CORRESPONDENCE ADDRESS (Note: Use Block I for any change of address)
`
`08/31/2012
`
`89194
`7590
`Patent Law Works/Proxense
`165 South Main St
`Suite 2
`Salt Lake City, UT 84111
`
`Note: A certificate of mailing can only be used for domestic mailings of the
`Fee(s) Transmittal. This certificate cannot be used for any other accompanying
`papers. Each additional paper, such as an assignment or formal drawing, must
`have its own certificate of mailing or transmission.
`
`Certificate of Mailing or Transmission
`I hereby certify that this Fee(s) Transmittal is being deposited with the United
`States Postal Service with sufficient postage for first class mail in an envelope
`addressed to the Mail Stop ISSUE FEE address above, or being facsimile
`transmitted to the USPTO (571) 273-2885, on the date indicated below.
`
`(Depositor's name)
`
`(Signature)
`
`(Date)
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`11/314,199
`
`12/20/2005
`
`John J. Giobbi
`
`I 0001-02090 US
`
`4469
`
`TITLE OF INVENTION: BIOMETRIC PERSONAL DATA KEY (PDK) AUTHENTICATION
`
`APPLN. TYPE
`
`SMALL ENTITY
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE PREV. PAID ISSUE FEE
`
`TOTAL FEE(S) DUE
`
`DATE DUE
`
`nonprovisional
`
`YES
`
`-$-890 $885
`
`$300
`
`$0
`
`$-1-rl-O- $1185
`
`11/30/2012
`
`EXAMINER
`
`ART UNIT
`
`CLASS-SUBCLASS
`
`VU, PHY ANH TRAN
`
`2437
`
`713-186000
`
`I. Change of correspondence address or indication of "Fee Address" (37
`CFR 1.363).
`0 Change of correspondence address ( or Change of Correspondence
`Address form PTO/SB/122) attached.
`0 "Fee Address" indication (or "Fee Address" Indication form
`PTO/SB/47; Rev 03-02 or more recent) attached. Use of a Customer
`Number is required.
`
`2. For printing on the patent front page, list
`(I) the names of up to 3 registered patent attorneys
`or agents OR, alternatively,
`(2) the name of a single firm (having as a member a
`registered attorney or agent) and the names of up to
`2 registered patent attorneys or agents. If no name is
`listed, no name will be printed.
`
`1 Patent Law Works LLP
`
`2 ______________ _
`
`3 ______________ _
`
`3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
`PLEASE NOTE: Unless an assignee is identified below, no assignee data will appear on the patent. If an assignee is identified below, the document has been filed for
`recordation as set forth in 37 CFR 3.11. Completion of this form is NOT a substitute for filing an assignment.
`(B) RESIDENCE: (CITY and STATE OR COUNTRY)
`(A) NAME OF ASSIGNEE
`Proxense, LLC
`Bend, OR
`
`Please check the appropriate assignee category or categories (will not be printed on the patent) : 0 Individual
`
`l&l Corporation or other private group entity O Government
`
`4a. The following fee(s) are submitted:
`IZl Issue Fee
`~ Publication Fee (No small entity discount permitted)
`0 Advance Order - # of Copies _________ _
`
`4b. Payment ofFee(s): (Please first reapply any previously paid issue fee shown above)
`0 A check is enclosed.
`l&l Payment by credit card. IDSmtlBWO~K~~M.
`0 The Director is hereby authorized to charge the required fee(s), any deficiency, or credit any
`( enclose an extra copy of this form).
`overpayment, to Deposit Account Number
`
`5. Change in Entity Status (from status indicated above)
`0 b. Applicant is no longer claiming SMALL ENTITY status. See 37 CFR l.27(g)(2).
`0 a. Applicant claims SMALL ENTITY status. See 37 CFR 1.27.
`NOTE: The Issue Fee and Publication Fee (if required) will not be accepted from anyone other than the applicant; a registered attorney or agent; or the assignee or other party in
`interest as shown by the records of the United States Patent and Trademark Office.
`
`/Kanda Ishihara/
`Authorized Signature _______________________ _
`
`D~ November 30, 2012
`
`Typed or printed name Kanda V. Ishihara
`
`Registration No. _5_6_,6_0_7 ___________ _
`
`This collection of information is required by 37 CFR 1.311. The information is required to obtain or retain a benefit by the public which is to file (and by the USPTO to process)
`an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 12 minutes to complete, including gathering, preparing, and
`submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any comments on the amount of time you require to complete
`this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent and Trademark Office, U.S. Department of Commerce, P.O.
`Box 1450, Alexandria, Virginia 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450,
`Alexandria, Virginia 22313-1450.
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid 0MB control number.
`
`PTOL-85 (Rev. 02/11) Approved for use through 08/31/2013.
`
`0MB 0651-0033
`
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`
`Petitioner's Exhibit 1002, Page 5
`
`

`

`Electronic Patent Application Fee Transmittal
`
`Application Number:
`
`Filing Date:
`
`11314199
`
`20-Dec-2005
`
`Title of Invention:
`
`BIOMETRIC PERSONAL DATA KEY (PDK) AUTHENTICATION
`
`First Named Inventor/Applicant Name:
`
`John J. Giobbi
`
`Filer:
`
`Kanda Ishihara/Jolin Johnson
`
`Attorney Docket Number:
`
`10001-02090 us
`
`Filed as Small Entity
`
`Utility under 35 USC 111 (a) Filing Fees
`
`Description
`
`Fee Code
`
`Quantity
`
`Amount
`
`Sub-Total in
`USO($)
`
`Basic Filing:
`
`Pages:
`
`Claims:
`
`Miscellaneous-Filing:
`
`Publ. Fee- early, voluntary, or normal
`
`1504
`
`1
`
`300
`
`300
`
`Petition:
`
`Patent-Appeals-and-Interference:
`
`Post-Allowance-and-Post-Issuance:
`
`Utility Appl issue fee
`
`2501
`
`1
`
`885
`
`885
`
`Petitioner's Exhibit 1002, Page 6
`
`

`

`Description
`
`Fee Code
`
`Quantity
`
`Amount
`
`Sub-Total in
`USO($)
`
`Extension-of-Time:
`
`Miscellaneous:
`
`Total in USD ($)
`
`1185
`
`Petitioner's Exhibit 1002, Page 7
`
`

`

`Electronic Acknowledgement Receipt
`
`EFSID:
`
`Application Number:
`
`14352211
`
`11314199
`
`International Application Number:
`
`Confirmation Number:
`
`4469
`
`Title of Invention:
`
`BIOMETRIC PERSONAL DATA KEY (PDK) AUTHENTICATION
`
`First Named Inventor/Applicant Name:
`
`John J. Giobbi
`
`Customer Number:
`
`89194
`
`Filer:
`
`Kanda Ishihara
`
`Filer Authorized By:
`
`Attorney Docket Number:
`
`10001-02090 us
`
`Receipt Date:
`
`Filing Date:
`
`Time Stamp:
`
`30-NOV-2012
`
`20-DEC-2005
`
`17:47:17
`
`Application Type:
`
`Utility under 35 USC 111 (a)
`
`Payment information:
`
`Submitted with Payment
`
`Payment Type
`
`Payment was successfully received in RAM
`
`RAM confirmation Number
`
`yes
`
`Credit Card
`
`$1185
`
`6555
`
`Deposit Account
`
`Authorized User
`
`File Listing:
`Document I
`Number
`
`Document Description
`
`File Name
`
`I
`
`File Size(Bytes)/ I Multi I Pages
`(if appl.)
`Message Digest
`Part /.zip
`
`I
`
`Petitioner's Exhibit 1002, Page 8
`
`

`

`1
`
`Issue Fee Payment (PTO-85B)
`
`02090US_lssueFeeTransmittal.
`pdf
`
`549415
`
`24 9 78b93 c6 77 3d ad 24a28df4460e 73f0f8c8
`b/74
`
`no
`
`1
`
`Warnings:
`
`Information:
`
`2
`
`Fee Worksheet (5B06)
`
`fee-info.pdf
`
`no
`
`2
`
`32028
`
`efe4-0d5a0d5067268a572fe1 526925037f31
`383c
`
`Warnings:
`
`Information:
`
`Total Files Size (in bytes)
`
`581443
`
`This Acknowledgement Receipt evidences receipt on the noted date by the USPTO of the indicated documents,
`characterized by the applicant, and including page counts, where applicable. It serves as evidence of receipt similar to a
`Post Card, as described in MPEP 503.
`
`New A~~lications Under 35 U.S.C. 111
`If a new application is being filed and the application includes the necessary components for a filing date (see 37 CFR
`1.53(b)-(d) and MPEP 506), a Filing Receipt (37 CFR 1.54) will be issued in due course and the date shown on this
`Acknowledgement Receipt will establish the filing date of the application.
`
`National Stage of an International A~~lication under 35 U.S.C. 371
`If a timely submission to enter the national stage of an international application is compliant with the conditions of 35
`U.S.C. 371 and other applicable requirements a Form PCT/DO/EO/903 indicating acceptance of the application as a
`national stage submission under 35 U.S.C. 371 will be issued in addition to the Filing Receipt, in due course.
`
`New International A~~lication Filed with the USPTO as a Receiving Office
`If a new international application is being filed and the international application includes the necessary components for
`an international filing date (see PCT Article 11 and MPEP 181 O), a Notification of the International Application Number
`and of the International Filing Date (Form PCT/RO/1 OS) will be issued in due course, subject to prescriptions concerning
`national security, and the date shown on this Acknowledgement Receipt will establish the international filing date of
`the application.
`
`Petitioner's Exhibit 1002, Page 9
`
`

`

`PTOISB/08a (01-10)
`Doc code: IDS
`Approved for use through 07/31/2012. 0MB 0651-0031
`Doc description: Information Disclosure Statement (IDS) Filed
`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.
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`11314199
`
`Filing Date
`
`First Named Inventor
`
`2005-12-20
`I John J. Giobbi
`
`Art Unit
`
`Examiner Name
`
`Attorney Docket Number
`
`2437
`I Phy Anh Tran Vu
`10001-02090 us
`
`Examiner Cite
`Initial*
`No
`
`Patent Number
`
`Kind
`Code1 Issue Date
`
`Name of Patentee or Applicant
`of cited Document
`
`Pages,Columns,Lines where
`Relevant Passages or Relevant
`Figures Appear
`
`U.S.PATENTS
`
`Remove
`
`1
`
`7883417
`
`2011-02-08
`
`Bruzzese et al.
`
`If you wish to add additional U.S. Patent citation information please click the Add button.
`
`U.S.PATENT APPLICATION PUBLICATIONS
`
`Add
`
`Remove
`
`Examiner
`Initial*
`
`Cite No
`
`Publication
`Number
`
`Kind Publication
`Code1 Date
`
`Name of Patentee or Applicant
`of cited Document
`
`Pages,Columns,Lines where
`Relevant Passages or Relevant
`Figures Appear
`
`1
`
`20010044337
`
`2001-11-22
`
`Rowe etal.
`
`2
`
`3
`
`4
`
`5
`
`20020098888
`
`2002-07-25
`
`Rowe etal.
`
`20020103027
`
`2002-08-01
`
`Rowe etal.
`
`20040209690
`
`2004-10-21
`
`Bruzzese et al.
`
`20080188308
`
`2008-08-07
`
`Shepherd et al.
`
`If you wish to add additional U.S. Published Application citation information please click the Add button. Add
`Remove
`
`FOREIGN PATENT DOCUMENTS
`
`EFSWeb2.1.17
`
`Petitioner's Exhibit 1002, Page 10
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`11314199
`
`Filing Date
`
`First Named Inventor
`
`2005-12-20
`I John J. Giobbi
`
`Art Unit
`
`Examiner Name
`
`Attorney Docket Number
`
`2437
`I Phy Anh Tran Vu
`10001-02090 us
`
`Examiner Cite Foreign Document
`Initial*
`No Number3
`
`Country
`Code2 i
`
`Kind Publication
`Code4 Date
`
`Name of Patentee or
`Applicant of cited
`Document
`
`Pages,Columns,Lines
`where Relevant
`Passages or Relevant
`Figures Appear
`
`T5
`
`1
`
`□
`
`If you wish to add additional Foreign Patent Document citation information please click the Add button
`
`NON-PATENT LITERATURE DOCUMENTS
`
`Add
`
`Remove
`
`Examiner Cite
`Initials* No
`
`Include name of the author (in CAPITAL LETTERS), title of the article (when appropriate), title of the item
`(book, magazine, journal, serial, symposium, catalog, etc), date, pages(s), volume-issue number(s),
`publisher, city and/or country where published.
`
`T5
`
`1
`
`POPE, Oasis Digital Signature Services: Digital Signing without the Headaches, Internet Computing-IEEE, Vol. 10,
`2006, pgs 81-84.
`
`□
`
`If you wish to add additional non-patent literature document citation information please click the Add button Add
`EXAMINER SIGNATURE
`
`Examiner Signature I
`
`I Date Considered
`
`*EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through a
`citation if not in conformance and not considered. Include copy of this form with next communication to applicant.
`
`1 See Kind Codes of USPTO Patent Documents at www.USPTO.GOV or MPEP 901.04. 2 Enter office that issued the document, by the two-letter code (WIPO
`Standard ST.3). 3 For Japanese patent documents, the indication of the year of the reign of the Emperor must precede the serial number of the patent document.
`4 Kind of document by the appropriate symbols as indicated on the document under WIPO Standard ST.16 if possible. 5 Applicant is to place a check mark here i
`English language translation is attached.
`
`EFSWeb2.1.17
`
`Petitioner's Exhibit 1002, Page 11
`
`

`

`Application Number
`
`11314199
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Filing Date
`
`First Named Inventor
`
`Art Unit
`
`Examiner Name
`
`Attorney Docket Number
`
`2005-12-20
`I John J. Giobbi
`2437
`I Phy Anh Tran Vu
`10001-02090 us
`
`Please see 37 CFR 1.97 and 1.98 to make the appropriate selection(s):
`
`CERTIFICATION STATEMENT
`
`That each item of information contained in the information disclosure statement was first cited in any communication
`D from a foreign patent office in a counterpart foreign application not more than three months prior to the filing of the
`information disclosure statement. See 37 CFR 1.97(e)(1 ).
`
`OR
`
`That no item of information contained in the information disclosure statement was cited in a communication from a
`foreign patent office in a counterpart foreign application, and, to the knowledge of the person signing the certification
`after making reasonable inquiry, no item of information contained in the information disclosure statement was known to
`~ any individual designated in 37 CFR 1.56(c) more than three months prior to the filing of the information disclosure
`statement. See 37 CFR 1.97(e)(2).
`
`D See attached certification statement.
`~ The fee set forth in 37 CFR 1.17 (p) has been submitted herewith.
`D A certification statement is not submitted herewith.
`
`SIGNATURE
`A signature of the applicant or representative is required in accordance with CFR 1.33, 10.18. Please see CFR 1.4(d) for the
`form of the signature.
`
`Signature
`
`Name/Print
`
`/Kanda Ishihara/
`
`Kanda Ishihara
`
`Date (YYYY-MM-DD)
`
`2012-11-29
`
`Registration Number
`
`56607
`
`This collection of information is required by 37 CFR 1.97 and 1.98. 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 1 hour to complete, including gathering, preparing and submitting the completed
`application form to the USPTO. Time will vary depending upon the individual case. Any comments on the amount of time you
`require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S.
`Patent and Trademark Office, U.S. Department of Commerce, 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.
`
`EFSWeb2.1.17
`
`Petitioner's Exhibit 1002, Page 12
`
`

`

`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:
`
`1.
`
`2.
`
`3.
`
`4.
`
`5.
`
`6.
`
`7.
`
`8.
`
`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.
`
`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).
`
`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 Patent Cooperation Treaty.
`
`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)).
`
`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.
`
`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.
`
`EFSWeb2.1.17
`
`Petitioner's Exhibit 1002, Page 13
`
`

`

`Electronic Patent Application Fee Transmittal
`
`Application Number:
`
`Filing Date:
`
`11314199
`
`20-Dec-2005
`
`Title of Invention:
`
`BIOMETRIC PERSONAL DATA KEY (PDK) AUTHENTICATION
`
`First Named Inventor/Applicant Name:
`
`John J. Giobbi
`
`Filer:
`
`Kanda Ishihara/Jolin Johnson
`
`Attorney Docket Number:
`
`10001-02090 us
`
`Filed as Small Entity
`
`Utility under 35 USC 111 (a) Filing Fees
`
`Description
`
`Fee Code
`
`Quantity
`
`Amount
`
`Sub-Total in
`USO($)
`
`Basic Filing:
`
`Pages:
`
`Claims:
`
`Miscellaneous-Filing:
`
`Petition:
`
`Patent-Appeals-and-Interference:
`
`Post-Allowance-and-Post-Issuance:
`
`Extension-of-Time:
`
`Petitioner's Exhibit 1002, Page 14
`
`

`

`Description
`
`Fee Code
`
`Quantity
`
`Amount
`
`Sub-Total in
`USO($)
`
`Miscellaneous:
`
`Submission- Information Disclosure Stmt
`
`1806
`
`1
`
`180
`
`180
`
`Total in USD ($)
`
`180
`
`Petitioner's Exhibit 1002, Page 15
`
`

`

`Electronic Acknowledgement Receipt
`
`EFSID:
`
`Application Number:
`
`14342115
`
`11314199
`
`International Application Number:
`
`Confirmation Number:
`
`4469
`
`Title of Invention:
`
`BIOMETRIC PERSONAL DATA KEY (PDK) AUTHENTICATION
`
`First Named Inventor/Applicant Name:
`
`John J. Giobbi
`
`Customer Number:
`
`89194
`
`Filer:
`
`Kanda Ishihara
`
`Filer Authorized By:
`
`Attorney Docket Number:
`
`10001-02090 us
`
`Receipt Date:
`
`Filing Date:
`
`Time Stamp:
`
`29-NOV-2012
`
`20-DEC-2005
`
`23:46:29
`
`Application Type:
`
`Utility under 35 USC 111 (a)
`
`Payment information:
`
`Submitted with Payment
`
`Payment Type
`
`Payment was successfully received in RAM
`
`RAM confirmation Number
`
`yes
`
`Credit Card
`
`$180
`
`8106
`
`Deposit Account
`
`Authorized User
`
`File Listing:
`Document I
`Number
`
`Document Description
`
`File Name
`
`I
`
`File Size(Bytes)/ I Multi I Pages
`(if appl.)
`Message Digest
`Part /.zip
`
`I
`
`Petitioner's Exhibit 1002, Page 16
`
`

`

`1
`
`Information Disclosure Statement (IDS)
`Form (SB0S)
`
`02090US_PTOSB08a.pdf
`
`no
`
`4
`
`612523
`
`ea773751 b46fc965b5a654943c1a464776e
`df645
`
`Warnings:
`
`Information:
`
`2
`
`Non Patent Literature
`
`OasisDigitalSignatureServices.
`pdf
`
`493955
`
`30ae63c23bbc42f68d90ca0beb49e5ab009
`d41b3
`
`no
`
`4
`
`Warnings:
`
`Information:
`
`3
`
`Fee Worksheet (SB06)
`
`fee-info.pdf
`
`no
`
`2
`
`30477
`
`e 79f3 8d a3 33 e60d 923 daffl 0a64c6efa2 0c95
`8a1
`
`Warnings:
`
`Information:
`
`Total Files Size (in bytes)
`
`1136955
`
`This Acknowledgement Receipt evidences receipt on the noted date by the USPTO of the indicated documents,
`characterized by the applicant, and including page counts, where applicable. It serves as evidence of receipt similar to a
`Post Card, as described in MPEP 503.
`
`New A~~lications Under 35 U.S.C. 111
`If a new application is being filed and the application includes the necessary components for a filing date (see 37 CFR
`1.53(b)-(d) and MPEP 506), a Filing Receipt (37 CFR 1.54) will be issued in due course and the date shown on this
`Acknowledgement Receipt will establish the filing date of the application.
`
`National Stage of an International A~~lication under 35 U.S.C. 371
`If a timely submission to enter the national stage of an international application is compliant with the conditions of 35
`U.S.C. 371 and other applicable requirements a Form PCT/DO/EO/903 indicating acceptance of the application as a
`national stage submission under 35 U.S.C. 371 will be issued in addition to the Filing Receipt, in due course.
`
`New International A~~lication Filed with the USPTO as a Receiving Office
`If a new international application is being filed and the international application includes the necessary components for
`an international filing date (see PCT Article 11 and MPEP 181 O), a Notification of the International Application Number
`and of the International Filing Date (Form PCT/RO/1 OS) will be issued in due course, subject to prescriptions concerning
`national security, and the date shown on this Acknowledgement Receipt will establish the international filing date of
`the application.
`
`Petitioner's Exhibit 1002, Page 17
`
`

`

`

`

`PART B - FEE(S) TRANSMITTAL
`
`Complete and send this form, together with applicable fee(s), to: Mail Mail Stop ISSUE FEE
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`(571)-273-2885
`
`or Fax
`
`INSTRUCTIONS: This form should be used for transmitting the ISSUE FEE and PUBLICATION FEE (if required). Blocks I through 5 should be completed where
`appropriate. All further correspondence including the Patent, advance orders and notification of maintenance fees will be mailed to the current correspondence address as
`indicated unless corrected below or directed otherwise in Block I, by (a) specifying a new correspondence address; and/or (b) indicating a separate "FEE ADDRESS" for
`maintenance fee notifications.
`CURRENT CORRESPONDENCE ADDRESS (Note: Use Block I for any change of address)
`
`08/31/2012
`
`89194
`7590
`Patent Law Works/Proxense
`165 South Main St
`Suite 2
`Salt Lake City, UT 84111
`
`Note: A certificate of mailing can only be used for domestic mailings of the
`Fee(s) Transmittal. This certificate cannot be used for any other accompanying
`papers. Each additional paper, such as an assignment or formal drawing, must
`have its own certificate of mailing or transmission.
`
`Certificate of Mailing or Transmission
`I hereby certify that this Fee(s) Transmittal is being deposited with the United
`States Postal Service with sufficient postage for first class mail in an envelope
`addressed to the Mail Stop ISSUE FEE address above, or being facsimile
`transmitted to the USPTO (571) 273-2885, on the date indicated below.
`
`(Depositor's name)
`
`(Signature)
`
`(Date)
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`11/314,199
`
`12/20/2005
`
`John J. Giobbi
`
`I 0001-02090 US
`
`4469
`
`TITLE OF INVENTION: BIOMETRIC PERSONAL DATA KEY (PDK) AUTHENTICATION
`
`APPLN. TYPE
`
`SMALL ENTITY
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE PREV. PAID ISSUE FEE
`
`TOTAL FEE(S) DUE
`
`DATE DUE
`
`nonprovisional
`
`YES
`
`$870
`
`$300
`
`$0
`
`$1170
`
`11/30/2012
`
`EXAMINER
`
`ART UNIT
`
`CLASS-SUBCLASS
`
`VU, PHY ANH TRAN
`
`2437
`
`713-186000
`
`I. Change of correspondence address or indication of "Fee Address" (37
`CFR 1.363).
`0 Change of correspondence address ( or Change of Correspondence
`Address form PTO/SB/122) attached.
`0 "Fee Address" indication (or "Fee Address" Indication form
`PTO/SB/47; Rev 03-02 or more recent) attached. Use of a Customer
`Number is required.
`
`2. For printing on the patent front page, list
`(I) the names of up to 3 registered patent attorneys
`or agents OR, alternatively,
`(2) the name of a single firm (having as a member a
`registered attorney or agent) and the names of up to
`2 registered patent attorneys or agents. If no name is
`listed, no name will be printed.
`
`2 ______________ _
`
`3 ______________ _
`
`3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
`PLEASE NOTE: Unless an assignee is identified below, no assignee data will appear on the patent. If an assignee is identified below, the document has been filed for
`recordation as set forth in 37 CFR 3.11. Completion of this form is NOT a substitute for filing an assignment.
`(B) RESIDENCE: (CITY and STATE OR COUNTRY)
`(A) NAME OF ASSIGNEE
`
`Please check the appropriate assignee category or categories (will not be printed on the patent) : 0 Individual O Corporation or other private group entity O Government
`
`4a. The following fee(s) are submitted:
`0 Issue Fee
`0 Publication Fee (No small entity discount permitted)
`0 Advance Order - # of Copies _________ _
`
`4b. Payment ofFee(s): (Please first reapply any previously paid issue fee shown above)
`0 A check is enclosed.
`0 Payment by credit card. Form PTO-2038 is attached.
`0 The Director is hereby authorized to charge the required fee(s), any deficiency, or credit any
`( enclose an extra copy of this form).
`overpayment, to Deposit Account Number
`
`5. Change in Entity Status (from status indicated above)
`0 b. Applicant is no longer claiming SMALL ENTITY status. See 37 CFR l.27(g)(2).
`0 a. Applicant claims SMALL ENTITY status. See 37 CFR 1.27.
`NOTE: The Issue Fee and Publication Fee (if required) will not be accepted from anyone other than the applicant; a registered attorney or agent; or the assignee or other party in
`interest as shown by the records of the United States Patent and Trademark Office.
`
`Authorized Signature _______________________ _
`
`Date ____________________ _
`
`Typed or printed name ______________________ _
`
`Registration No. ________________ _
`
`This collection of information is required by 37 CFR 1.311. The informa