`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Vatent and TrademarkOffice
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`www.uspto.g:
`Alexandria, Virginia 22313-1450
`
`APPLICATION NO.
`
`14/521,982
`
`ISSUE DATE
`
`03/29/2016
`
`89194
`
`7590
`
`03/09/2016
`
`Patent Law Works/Proxense
`Greg Sueoka
`201 South Main Street, Suite 250
`Salt Lake City, UT 84111
`
`PATENT NO.
`
`ATTORNEY DOCKETNO.
`
`CONFIRMATION NO.
`
`9298905
`
`10001-04540 US
`
`8239
`
`The projected patent numberandissue date are specified above.
`
`ISSUE NOTIFICATION
`
`Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)
`(application filed on or after May 29, 2000)
`
`The Patent Term Adjustment is 0 day(s). Any patent to issue from the above-identified application will include
`an indication of the adjustmenton the front page.
`
`If a Continued Prosecution Application (CPA) wasfiled in the above-identified application, the filing date that
`determines Patent Term Adjustmentis the filing date of the most recent CPA.
`
`Applicant will be able to obtain more detailed information by accessing the Patent Application Information
`Retrieval (PAIR) WEBsite (http://pair-uspto. gov).
`
`Any questions regarding the Patent Term Extension or Adjustment determination should be directed to the
`Office of Patent Legal Administration at (571)-272-7702. Questions relating to issue and publication fee
`payments should be directed to the Application Assistance Unit (AAU) of the Office of Data Management
`(ODM)at (571)-272-4200.
`
`APPLICANT(s)(Please see PAIR WEBsite http://pair.uspto.gov for additional applicants):
`
`John J. Giobbi, Bend, OR;
`Proxense, LLC, Bend, OR
`
`The United States represents the largest, most dynamic marketplace in the world andis an unparalleled location
`for business investment, innovation, and commercialization of new technologies. The USA offers tremendous
`resources and advantages for those who invest and manufacture goods here. Through SelectUSA, our nation
`worksto encourage andfacilitate business investment. To learn more about why the USAis the best country in
`the world to develop technology, manufacture products, and grow your business, visit SelectUSA. gov.
`
`IR103 (Rev. 10/09)
`
`Petitioner's Exhibit 1002, Page 1
`
`Petitioner's Exhibit 1002, Page 1
`
`

`

`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`www .uspto.gov
`
`APPLICATION NO.
`
`14/521,982
`
`
`
`
` FILING DATE
`
`10/23/2014
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKETNO.
`
`CONFIRMATIONNO.
`
`John J. Giobbi
`
`10001-04540 US
`
`8239
`
`Pate
`
`rks! a
`
`Patent Law Works/Proxense De7
`Greg Sueoka
`VU, PHY ANH TRAN
`201 South Main Street, Suite 250
`Salt Lake City, UT 84111
`
`PAPER NUMBER
`
`2438
`
`NOTIFICATION DATE
`
`DELIVERY MODE
`
`02/22/2016
`
`ELECTRONIC
`
`Please find below and/or attached an Office communication concerning this application or proceeding.
`
`The time period for reply, if any, is set in the attached communication.
`
`Notice of the Office communication was sent electronically on above-indicated "Notification Date" to the
`following e-mail address(es):
`docketing @patentlawworks.net
`patents @ patentlawworks.net
`
`PTOL-90A (Rev. 04/07)
`
`Petitioner's Exhibit 1002, Page 2
`
`Petitioner's Exhibit 1002, Page 2
`
`

`

`
`Application No.
`Applicant(s)
`
`
`
`Response to Rule 312 Communication
`
`14/521 ,982
`-
`Examiner
`
`PHY ANH VU
`
`2438
`
`GIOBBI, JOHN J.
`-
`Art Unit
`
`-- The MAILING DATEof this communication appears on the cover sheet with the correspondence address —
`
`1. KJ] The amendmentfiled on 04 February 2016 under 37 CFR 1.312 has been considered, and has been:
`
`a) KX] entered.
`
`b) J entered as directed to matters of form not affecting the scope ofthe invention.
`
`c)[) disapproved because the amendmentwasfiled after the paymentof the issue fee.
`
`Any amendment filed after the date the issue fee is paid must be accompaniedbya petition under 37 CFR 1.313(c)(1) and
`
`the required fee to withdraw the application from issue.
`
`d)() disapproved. See explanation below.
`
`e) 1 entered in part. See explanation below.
`
`Please enter amendmentsfiled 02/04/2016, and disregard amendmentsfiled 01/20/2016. Thank you.
`
`/TAGHI ARANI/
`Supervisory Patent Examiner, Art Unit 2438
`
`Examiner, Art Unit 2438 U.S. Patent and Trademark Office
`
`/PHY ANH VU/
`
`PTOL-271 (Rev. 04-01)
`
`Reponseto Rule 312 Communication
`
`Part of Paper No. 20160216-1
`
`Petitioner's Exhibit 1002, Page 3
`
`Petitioner's Exhibit 1002, Page 3
`
`

`

`PART B - FEE(S) TRANSMITTAL
`
`Complete and send this form, together with applicable fee(s), to: Mail Mail Stop ISSUE FEE
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`or Fax (571)-273-2885
`
`through 5 should be completed where
`INSTRUCTIONS: This form should be used for transmitting the ISSUE FEE and PUBLICATION FEE(if required). Blocks 1
`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 1, 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 1 for any changeof address)
`
`7590
`89194
`Patent Law Works/Proxense
`G
`S
`kK:
`Teg SUCOKa —
`.
`201 South Main Street, Suite 250
`Salt Lake City, UT 84111
`
`12/16/2015
`
`can only be used for domestic mailings of the
`Note: A certificate of mailing
`Fee(s) Transmittal. This certificate cannot be used for any other accompanying
`apers. 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.
`
`(ate)
`
`Depositons namne)
`(Signature)
`
`APPLICATION NO.
`
`FILING DATE
`
`
`
`
`
` FIRST NAMED INVENTOR
`
`ATTORNEY DOCKETNO.
`
`CONFIRMATION NO.
`
`14/521,982
`
`10/23/2014
`
`John J. Giobbi
`
`10001-04540 US
`
`8239
`
`TITLE OF INVENTION:Biometric Personal Data Key (PDK) Authentication
`
`
`
`
`
`
`
`APPLN. TYPE PUBLICATION FEE DUE|PREV. PAID ISSUE FEEENTITY STATUS ISSUE FEE DUE TOTAL FEE(S) DUE DATE DUE
`
`
`
`
`
`nonprovisional
`
`SMALL
`
`$480
`
`$0
`
`$0
`
`$480
`
`03/16/2016
`
`EXAMINER
`
`ART UNIT
`
`CLASS-SUBCLASS
`
`VU, PHY ANH TRAN
`
`2438
`
`713-186000
`
`
`
`
`
`1. Change of correspondence address or indication of "Fee Address" (37
`CFR 1.363).
`LI Change of correspondence address (or Change of Correspondence
`Address form PTO/SB/122) attached.
`LI "Fee Address" indication (or "Fee Address” Indication form
`PTO/SB/47; Rev 03-02 or more recent) attached. Use of a Customer
`Numberis required.
`3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT(printor type)
`If an assignee is identified below, the document has been filed for
`PLEASE NOTE: Unless an assignee is identified below, no assignee data will appear on the patent.
`recordation as set forth in 37 CFR 3.11. Completion of this form is NOT a substitute for filing an assignment.
`(A) NAMEOF ASSIGNEE
`(B) RESIDENCE:(CITY and STATE OR COUNTRY)
`
`page, list
`printing on the patent front
`2. For
`Patent Law Works LLP
`pomne
`P
`pas
`(1) The namesofup to 3 registered patent attorneys
`or agents OR,alternatively,
`(2) The nameofa single firm (having as a member a
`2
`registered attorney or agent) and the namesof up to
`2 registered patent attorneys or agents. If nonameis
`listed, no namewill be printed.
`
`
`
`43
`
`Proxense, LLC
`
`
`Bend, OR
`
`Please check the appropriate assignee category or categories (will not be printed on the patent) :
`
`() Individual
`
`Corporation or other private group entity (J Government
`
`4a. The following fee(s) are submitted:
`KY Issue Fee
`_] Publication Fee (No small entity discount permitted)
`LT Advance Order - # of Copies
`
`
`
`4b. Paymentof Fee(s): (Please first reapply any previously paid issue fee shown above)
`LI A checkis enclosed.
`wy Paymentbycredit card. PornPt2054Xatakhedk
`[I The directoris hereby authorized to charge the required fee(s), any deficiency, or credits any
`overpayment, to Deposit Account Number
`(enclose an extra copy ofthis form).
`
`
`
`5. Change in Entity Status (from status indicated above)
`| Applicantcertifying micro entity status. See 37 CFR 1.29
`
` Lj Applicant changing to regular undiscounted fee status.
`
`Lj Applicant asserting small entity status. See 37 CFR 1.27
`
`
`NOTE:Absenta valid certification of Micro Entity Status (see forms PTO/SB/15A and 15B), issue
`fee paymentin the micro entity amountwill not be accepted at the risk of application abandonment.
`
`NOTE:If the application was previously under micro entity status, checking this box will be taken
`to be a notification ofloss of entitlement to micro entity status.
`NOTE: Checking this box will be taken to be a notification ofloss of entitlement to small or micro
`entity status, as applicable.
`
`NOTE: This form mustbe signed in accordance with 37 CFR 1.31 and 1.33. See 37 CFR 14 for signature requirements and certifications.
`
`Authorized Signature /Paige Alsbury/
`Date February 19, 2016
`
`Typed or printed name Pa 1 ge M. Alsbu ry
`Registration No. 72 , 9 6 5
`
`PTOL-85 Part B (10-13) Approved for use through 10/31/2013.
`
`OMB 0651-0033
`
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`
`Page 2 of 3
`
`Petitioner's Exhibit 1002, Page 4
`
`Petitioner's Exhibit 1002, Page 4
`
`

`

`Electronic Patent Application Fee Transmittal
`
`Title of Invention:
`
`Biometric Personal Data Key (PDK) Authentication
`
`feem
`
`
`
`Filing Fees for Utility under 35 USC 111(a)
`
`Description
`
`Fee Code
`
`Quantity
`
`Sub-Total in
`
`USD(S)
`
`Basic Filing:
`
`Miscellaneous-Filing:
`
`Patent-Appeals-and-Interference:
`
`Post-Allowance-and-Post-Issuance:
`
`Petitioner's Exhibit 1002, Page 5
`
`Petitioner's Exhibit 1002, Page 5
`
`

`

`Description
`
`Fee Code
`
`Quantity
`
`Total in USD ($)
`
`Sub-Total in
`USD(S)
`
`Extension-of-Time:
`
`Miscellaneous:
`
`Petitioner's Exhibit 1002, Page 6
`
`Petitioner's Exhibit 1002, Page 6
`
`

`

`Electronic AcknowledgementReceipt
`
`Application Number:
`
`14521982
`
`International Application Number:
`
`Confirmation Number:
`
`8239
`
`
`
`en
`a
`
`Title of Invention:
`
`Biometric Personal Data Key (PDK) Authentication
`
`Paymentinformation:
`
`Petitioner's Exhibit 1002, Page 7
`
`[Pevostacone——SSSCSCSCSC~*idSCS
`
`The Director of the USPTO is hereby authorized to charge indicated fees and credit any overpaymentas follows:
`
`Petitioner's Exhibit 1002, Page 7
`
`

`

`File Listing:
`
`Document
`
`
`
`the application.
`
`New International Application 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 1810), a Notification of the International Application Number
`and of the International Filing Date (Form PCT/RO/105)will be issued in due course, subject to prescriptions concerning
`national security, and the date shownon this AcknowledgementReceiptwill establish the international filing date of
`
`Pages|"Number"|__PeewmentDesaition|FleName Message Digest (ifappl.)
`
`sigs
`
`File Size(Bytes)/
`
`Multi
`
`Issue Fee Payment (PTO-858)
`
`04540US2016-02-19-
`IssueFeeTransmittal.pdf
`
`2390¢8657c485ce4523058c7186f63caae2q
`10a1
`
`Fee Worksheet (SB06)
`
`fee-info.pdf
`
`#8d9d51ece875e57daa7527ab3071f27461
`lee02
`
`Information:
`
`Information:
`
`This AcknowledgementReceipt evidences receipt on the noted date by the USPTO ofthe indicated documents,
`characterized by the applicant, and including page counts, where applicable.It serves as evidence of receipt similar to a
`Post Card, as described in MPEP 503.
`
`New Applications Under 35 U.S.C. 111
`If a new application is being filed and the application includes the necessary componentsfora 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 shownonthis
`AcknowledgementReceiptwill establish the filing date of the application.
`
`National Stage of an International Application 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/903indicating acceptanceof the application as a
`national stage submission under35 U.S.C. 371 will be issued in addition to the Filing Receipt, in due course.
`
`Petitioner's Exhibit 1002, Page 8
`
`Petitioner's Exhibit 1002, Page 8
`
`

`

`oo
`Response to Rule 312 Communication
`
`GIOBBI, JOHN J.
`14/521 ,982
`
`Examiner
`Art Unit
`
`
`
`PHY ANH VU 2438
`
`
`
`
`
`Application No.
`
`Applicant(s)
`
`-- The MAILING DATEof this communication appears on the cover sheet with the correspondence address —
`
`1. K] The amendmentfiled on 04 February 2016 under 37 CFR 1.312 has been considered, and has been:
`
`a) XK]
`
`entered.
`
`b)(]_ entered as directed to matters of form not affecting the scope ofthe invention.
`
`c)[ disapproved because the amendmentwasfiled after the paymentofthe issue fee.
`
`Any amendmentfiled after the date the issue fee is paid must be accompaniedby a petition under 37 CFR 1.313(c)(1) and
`
`the required fee to withdraw the application from issue.
`
`d)( disapproved. See explanation below.
`
`e)(] entered in part. See explanation below.
`
`Please enter claim set dated 02/04/2016, and disregard the claim setfiled 01/20/2015. Thank you.
`
`Examiner, Art Unit 2488 U.S. Patent and Trademark Office
`
`/PHY ANH VU/
`
`PTOL-271 (Rev. 04-01)
`
`Reponseto Rule 312 Communication
`
`Part of Paper No. 20160216
`
`Petitioner's Exhibit 1002, Page 9
`
`Petitioner's Exhibit 1002, Page 9
`
`

`

`IN THE UNITED STATES
`PATENT AND TRADEMARKOFFICE
`
`APPLICANT:
`
`John J. Giobbi
`
`APPLICATION NO:
`
`14/521,982
`
`FILING DATE:
`
`October 23, 2014
`
`TITLE:
`
`Biometric Personal Data Key (PDK) Authentication
`
`EXAMINER:
`
`Phy Anh Tran Vu
`
`GROUP ART UNIT:
`
`2438
`
`ATTY. DKT. NO:
`
`10001-04540 US
`
`CONFIRMATION NO:=8239
`
`CERTIFICATE OF EFS-WEB TRANSMISSION
`Pursuant to 240 OG 45 and the Legal Framework For EFS-Web, I hereby certify that this follow-on correspondenceis being
`officially submitted through the USPTO EFS-Web system from the Mountain Time Zoneof the United States on the local date
`shown below:
`Dated:
`
`Matthew M. Holmes, Reg. No. 65,160
`
`February 4, 2016
`
`By:
`
`/Matthew M. Holmes/
`
`COMMISSIONER FOR PATENTS
`P.O. BOX 1450
`ALEXANDRIA, VA 22313-1450
`
`
`AMENDMENT AFTER ALLOWANCE UNDER37 C.E.R.§
`1.312
`AND COMMENTS ON STATEMENT OF REASONS FOR ALLOWANCE
`
`Sir/Madam:
`
`In response to the Notices of Allowance and Allowability dated December 16, 2015,
`
`please amend the above-identified application as indicated in the present Amendment and
`
`disregard the Amendmentfiled January 20, 2016, which included errors in the numbers
`
`identifying the dependencies of dependentclaims:
`
`Amendments to the Claims begin on page 2 ofthis paper.
`
`Remarks/Arguments begin on page 7 ofthis paper.
`
`Application No. 14/521,982
`
`Page 1 of 8
`
`Atty. Dkt. No. 10001-04540 US
`Petitioner's Exhibit 1002, Page 10
`
`Petitioner's Exhibit 1002, Page 10
`
`

`

`IN THE CLAIMS
`
`All pending claims are reproducedbelow.
`
`1.
`
`2.
`
`(Canceled)
`
`(Currently Amended) A method comprising:
`
`persistently storing biometric data of a legitimate user and an ID code on an integrated
`
`device;
`
`responsive to receiving a request for a biometric verification of a user, receiving, from a
`
`biometric sensor, scan data from a biometric scan performed by the biometric
`
`sensor;
`
`comparing the scan data to the biometric data to determine whether the scan data matches
`
`the biometric data;
`
`responsive to a determination that the scan data matches the biometric data, wirelessly
`
`sending the ID code for comparison bya third-party trusted authority against one
`
`or more previously registered ID codes maintained by the third-party trusted
`
`authority; and
`
`responsive to receiving an access message from the third-party trusted authority-
`
`indicating that the third-party trusted authority successfully authenticated the user
`
`
`
`asthelesitimateuserbasedonthecomparisonoftheID code, allowing the user
`
`to complete a financial transaction.
`
`3.
`
`(Previously Presented)The method of claim 2, further comprising:
`
`registering an age verification for the user in association with the ID code.
`
`Application No. 14/521,982
`
`Page 2 of 8
`
`Atty. Dkt. No. 10001-04540 US
`Petitioner's Exhibit 1002, Page 11
`
`Petitioner's Exhibit 1002, Page 11
`
`

`

`4.
`
`(Previously Presented) The method of claim 2, wherein an indication that the
`
`biometric verification was successful is sent with the ID code.
`
`5.
`
`(Previously Presented) The method of claim 2, wherein the biometric data
`
`includes data from one or more ofa fingerprint, palm print, a retinal scan, an iris scan, a hand
`
`geometry, a facial recognition, a signature recognition and a voice recognition;
`
`6.
`
`(Previously Presented) The method of claim 2, wherein the integrated device
`
`comprises one or more of a mobile phone,tablet, laptop, mp3 player, mobile gaming device,
`
`watch and a key fob.
`
`7.
`
`(Currently Amended) The methodof claim 2, wherein the-comptete-a-completing
`
`the financial transaction includes accessing an application.
`
`8.
`
`9.
`
`(Canceled)
`
`(Currently Amended) The methodof claim 2, wherein the-comptete-a-completing
`
`thefinancial transaction includes accessing one or more of a casino machine, a keyless lock, an
`
`ATM machine, a website, a file and a financial account.
`
`10.
`
`(Previously Presented) The method of claim 2, further comprising:
`
`responsive to determining the action does not require biometric verification, receiving a
`
`request for the ID code without a request for biometric verification; and
`
`responsive to receiving the request for the ID code without a request for biometric
`
`verification, sending the ID code for authentication without requesting the scan
`
`data.
`
`Application No. 14/521,982
`
`Page 3 of 8
`
`Atty. Dkt. No. 10001-04540 US
`Petitioner's Exhibit 1002, Page 12
`
`Petitioner's Exhibit 1002, Page 12
`
`

`

`11.
`
`(Previously Presented) An integrated device comprising:
`
`a persistent storage media that persistently stores biometric data of a user and an ID code;
`
`a validation module, coupled to communicate with the persistent storage media, that
`
`receives scan data from a biometric scan for comparison against the biometric
`
`data, and that sends the ID code for comparison by a third-party trusted authority
`
`against one or more previously registered ID codes maintained by the third-party
`
`trusted authority; and
`
`a radio frequency communication module that receives an access message from the third-
`
`party trusted authority indicating that the third-party trusted authority successfully
`
`authenticated the ID code sent to the third-party trusted authority based on the
`
`comparison of the ID code and allowingthe user to-complete a financial
`
`transaction.
`
`12.
`
`(Previously Presented) The integrated device of claim 11, wherein the ID codeis
`
`transmitted to the third-party trusted authority over a network.
`
`13.
`
`(Previously Presented) The integrated device of claim 11, wherein an age
`
`verification is registered in association with the ID code.
`
`14.
`
`(Previously Presented) The integrated device of claim 11, wherein the integrated
`
`device comprises one or more of a mobile phone,tablet, laptop, mp3 player, mobile gaming
`
`device, watch and a key fob.
`
`15.
`
`(Currently Amended) A system, comprising:
`
`Application No. 14/521,982
`
`Page 4 of 8
`
`Atty. Dkt. No. 10001-04540 US
`Petitioner's Exhibit 1002, Page 13
`
`Petitioner's Exhibit 1002, Page 13
`
`

`

`an integrated hardware devicethat persistently stores biometric data of a legitimate user
`
`and an ID code in the integrated hardware device, and that wirelessly sends the-
`
`ID code; an authentication circuit that receives the ID code and sendsthe ID code
`
`to a third-party trusted authority for authentication, and that receives an access
`
`message from the third-party trusted authority indicating that the third-party
`
`trusted authority successfully authenticated the ID code and allowsthe user to
`
`complete a financial transaction; and
`
`the third-party trusted authority operated by a third party, the third-party trusted authority
`
`storingalist of legitimate codes and determining the authentication of the ID code
`
`received auser based on a comparison of the ID codereceived andthe legitimate
`
`codes included in thelist of the legitimate codes.
`
`16.
`
`(Previously Presented) The system of claim 15 wherein the integrated hardware
`
`device receives an authentication request from the authentication circuit, and in response,
`
`requests a biometric scan from a user to generate scan data and, when the integrated hardware
`
`device cannot verify the scan data as being from the legitimate user, the integrated hardware
`
`device does not send the ID code.
`
`17.
`
`(Previously Presented) The system of claim 15, wherein the integrated hardware
`
`device comprises one or more of a mobile phone,tablet, laptop, mp3 player, mobile gaming
`
`device, watch and a key fob.
`
`18.
`
`(Previously Presented) The system of claim 15, wherein the biometric data
`
`includes data based on one or moreofa fingerprint, palm print, a retinal scan, an iris scan, a hand
`
`geometry, a facial recognition, a signature recognition and a voice recognition.
`
`Application No. 14/521,982
`
`Page 5 of 8
`
`Atty. Dkt. No. 10001-04540 US
`Petitioner's Exhibit 1002, Page 14
`
`Petitioner's Exhibit 1002, Page 14
`
`

`

`
`
`19. (Currently Amended) The system of claim 15, whereinthecomptete-a-completing
`
`thefinancial transaction includes accessing one or more of a casino machine, a keyless lock, an
`
`ATM machine, a website, a file and a financial account.
`
`
`
`20. (Currently Amended) The system of claim 15, whereinthecomptete-a-completing
`
`the financial transaction includes accessing an application.
`
`Application No. 14/521,982
`
`Page 6 of 8
`
`Atty. Dkt. No. 10001-04540 US
`Petitioner's Exhibit 1002, Page 15
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`Petitioner's Exhibit 1002, Page 15
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`

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`REMARKS/ARGUMENTS
`
`Regarding the present Amendment, entry of this Amendmentis respectfully requested
`
`since the Amendmentdoes not add new matter and does not require a new search.
`
`With regard to the amendmentsto claims 1 and 15, during the final review of the allowed
`
`claim languageprior to paying the issue fee, Applicant’s Representative noticed inconsistencies
`
`between the language of claims 1, 11 and 15. The amendmentsto claims 1 and 15 are needed to
`
`makethe claim language of claims 1 and 15 more consistent with the language of claim 11.
`
`Since claim 11 recites “receiving an access message from the third-party trusted authority
`
`indicating that the third-party trusted authority successfully authenticated the ID code sent to the
`
`third-party trusted authority based on the comparison of the ID code and allowing the userto-
`
`complete a financial transaction” and claim 11 is allowed, neither the amendmentof claim 1 to
`
`recite “responsive to receiving an access message from the third-party trusted authority-
`
`indicating that the third-party trusted authority successfully authenticated the ID code, allowing
`
`the user to complete a financial transaction” nor the amendmentof claim 15 to recite “the third-
`
`party trusted authority storing a list of legitimate codes and determining the authentication of the
`
`ID code received based on a comparison of the ID code received and the legitimate codes
`
`included in thelist of the legitimate codes” require a new search and claims | and 15 as amended
`
`herein are allowable.
`
`With regard to the amendmentsto claims 7, 9, 19 and 20, the amendmentsare intended to
`
`enhancereadability as the language “the complete a financial transaction” is awkward and to
`
`address an antecedent basis issue since the independentclaims recite “a financial transaction.”
`
`The amendment was not presented previously because the portions of claims 7, 9, 19 and 20
`
`Application No. 14/521,982
`
`Page 7 of 8
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`Atty. Dkt. No. 10001-04540 US
`Petitioner's Exhibit 1002, Page 16
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`Petitioner's Exhibit 1002, Page 16
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`

`

`amended includes language that was entered by the Examiner’s Amendmentthat accompanied
`
`the Notice of Allowability.
`
`With regard to the Examiner’s statement for reasons of allowance, the Examiner’s
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`statement is based on claim elements of independent claim 1.
`
`It should be noted that the claim
`
`language of independent claims 11 and 15 may differ from that of claim 1, and that claims 11
`
`and 15 are patentable for the elements they recite, which may differ from claim 1.
`
`Respectfully submitted,
`JOHN J. GIOBBI
`
`Dated:
`
`February 4, 2016
`
`By:
`
`/Matthew M. Holmes/
`Matthew M. Holmes, Reg. No. 65,160
`Attorney for Applicant
`PATENT LAW WORKS LLP
`201 South Main Street, Suite 250
`Salt Lake City, UT 84111
`Tel.
`(385) 232-7853
`Fax: (801) 355-0160
`Email: mholmes@patentlawworks.net
`
`Application No. 14/521,982
`
`Page 8 of 8
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`Atty. Dkt. No. 10001-04540 US
`Petitioner's Exhibit 1002, Page 17
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`Petitioner's Exhibit 1002, Page 17
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`

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`
`
`aa
`
`Electronic AcknowledgementReceipt
`
`Application Number:
`
`14521982
`
`International Application Number:
`
`Confirmation Number:
`
`8239
`
`Title of Invention:
`
`Biometric Personal Data Key (PDK) Authentication
`
`Paymentinformation:
`
`File Listing:
`
`8983d3
`
`Pages
`Multi
`File Size(Bytes)/
`DocumentDescription
`Document
`
`
`
`Number Message Digest|Part/.zip|P (if appl.)
`04540US2016-02-04-
`
`ReplacementAfterAllowance31
`2Amendment.pdf
`
`28343d59048e9aSad758d2e18e581b117e
`
`Petitioner's Exhibit 1002, Page 18
`
`Petitioner's Exhibit 1002, Page 18
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`

`

`MultipartDescription/PDFfilesinTeedescription|ocument
`AmendmentafterNoticeofAllowance(Rule312) 4
`
`Description|ocumentDescription
`mm
`ApplicantArguments/RemarksMadeinanAmendment poPo
`
`the application.
`
`Information:
`
`This AcknowledgementReceipt evidences receipt on the noted date by the USPTO ofthe indicated documents,
`characterized by the applicant, and including page counts, where applicable.It serves as evidence of receipt similar to a
`Post Card, as described in MPEP 503.
`
`New Applications Under 35 U.S.C. 111
`If a new application is being filed and the application includes the necessary componentsfora 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 shownonthis
`AcknowledgementReceiptwill establish the filing date of the application.
`
`National Stage of an International Application 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/903indicating acceptanceof the application as a
`national stage submission under35 U.S.C. 371 will be issued in addition to the Filing Receipt, in due course.
`
`New International Application 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 1810), a Notification of the International Application Number
`and of the International Filing Date (Form PCT/RO/105)will be issued in due course, subject to prescriptions concerning
`national security, and the date shownon this AcknowledgementReceiptwill establish the international filing date of
`
`Petitioner's Exhibit 1002, Page 19
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`Petitioner's Exhibit 1002, Page 19
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`

`

`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`www .uspto.gov
`
`APPLICATION NO.
`
`14/521,982
`
`
`
`
` FILING DATE
`
`10/23/2014
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKETNO.
`
`CONFIRMATIONNO.
`
`John J. Giobbi
`
`10001-04540 US
`
`8239
`
`Pate
`
`rks!
`
`men’
`
`Patent Law Works/Proxense De7
`Greg Sueoka
`VU, PHY ANH TRAN
`201 South Main Street, Suite 250
`Salt Lake City, UT 84111
`
`PAPER NUMBER
`
`2438
`
`NOTIFICATION DATE
`
`DELIVERY MODE
`
`02/01/2016
`
`ELECTRONIC
`
`Please find below and/or attached an Office communication concerning this application or proceeding.
`
`The time period for reply, if any, is set in the attached communication.
`
`Notice of the Office communication was sent electronically on above-indicated "Notification Date" to the
`following e-mail address(es):
`docketing @patentlawworks.net
`patents @ patentlawworks.net
`
`PTOL-90A (Rev. 04/07)
`
`Petitioner's Exhibit 1002, Page 20
`
`Petitioner's Exhibit 1002, Page 20
`
`

`

`
`Application No.
`Applicant(s)
`
`
` ., 14/521 ,982 GIOBBI, JOHN J.
`
`Responseto Rule 312 Communication
`Examiner
`Art Unit
`
`
`
`2438
`PHY ANH VU
`
`
`-- The MAILING DATEof this communication appears on the cover sheet with the correspondence address —
`
`1. KJ] The amendmentfiled on 20 January 2016 under 37 CFR 1.312 has been considered, and has been:
`
`a) entered.
`
`b) K]
`
`entered as directed to matters of form not affecting the scope ofthe invention.
`
`c)[) disapproved because the amendmentwasfiled after the paymentofthe issue fee.
`
`Any amendmentfiled after the date the issue fee is paid must be accompaniedby a petition under 37 CFR 1.313(c)(1) and
`
`the required fee to withdraw the application from issue.
`
`d)( disapproved. See explanation below.
`
`e)( entered in part. See explanation below.
`
`/TAGHI ARANI/
`Supervisory Patent Examiner, Art Unit 2438
`
` U.S. Patent and Trademark Office
`
`/PHY ANH VU/
`Examiner, Art Unit 2438
`
`PTOL-271 (Rev. 04-01)
`
`Reponseto Rule 312 Communication
`
`Part of Paper No. 20160119
`
`Petitioner's Exhibit 1002, Page 21
`
`Petitioner's Exhibit 1002, Page 21
`
`

`

`OK TO ENTER: /P.V/
`
`01/21/2016
`
`IN THE CLAIMS
`
`All pending claims are reproducedbelow.
`
`1.
`
`2.
`
`(Canceled)
`
`(Currently Amended) A method comprising:
`
`persistently storing biometric data of a legitimate user and an ID code on an integrated
`
`device;
`
`responsive to receiving a request for a biometric verification of a user, receiving, from a
`
`biometric sensor, scan data from a biometric scan performed by the biometric
`
`sensor;
`
`comparing the scan data to the biometric data to determine whether the scan data matches
`
`the biometric data;
`
`responsive to a determination that the scan data matches the biometric data, wirelessly
`
`sending the ID code for comparisonby a third-party trusted authority against one
`
`or more previously registered ID codes maintained by the third-party trusted
`
`authority; and
`
`responsive to receiving an access message from the third-party trusted authority-
`
`indicating that the third-party trusted authority successfully authenticated the user
`
`
`
`asthelesitimateuserbasedonthecomparisen-oftheID code, allowing the user
`
`
`
`
`
`to complete a financial transaction.
`
`3.
`
`(Previously Presented)The method of claim 1, further comprising:
`
`registering an age verification for the user in association with the ID code.
`
`Application No. 14/521,982
`
`Page 2 of 8
`
`Atty. Dkt. No. 10001-04540 US
`Petitioner's Exhibit 1002, Page 22
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`Petitioner's Exhibit 1002, Page 22
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`

`

`4.
`
`(Previously Presented) The method of claim 1, wherein an indication that the
`
`biometric verification was successful is sent with the ID code.
`
`5.
`
`(Previously Presented) The method of claim 1, wherein the biometric data
`
`includes data from one or more ofa fingerprint, palm print, a retinal scan, an iris scan, a hand
`
`geometry, a facial recognition, a signature recognition and a voice recognition;
`
`6.
`
`(Previously Presented) The method of claim 1, wherein the integrated device
`
`comprises one or more of a mobile phone,tablet, laptop, mp3 player, mobile gaming device,
`
`watch and a key fob.
`
`7.
`
`(Currently Amended) The method of claim 1, wherein the-complete-a-completing
`
`the financial transaction includes accessing an application.
`
`8.
`
`9.
`
`(Canceled)
`
`(Currently Amended) The method of claim 1, wherein the-complete-a-completing
`
`thefinancial transaction includes accessing one or more of a casino machine,a keyless lock, an
`
`ATM machine, a website, a file and a financial account.
`
`10.
`
`(Previously Presented) The method of claim 1, further comprising:
`
`responsive to determining the action does not require biometric verification, receiving a
`
`request for the ID code without a request for biometric verification; and
`
`responsive to receiving the request for the ID code without a request for biometric
`
`verification, sending the ID code for authentication without requesting the scan
`
`data.
`
`Application No. 14/521,982
`
`Page 3 of 8
`
`Atty. Dkt. No. 10001-04540 US
`Petitioner's Exhibit 1002, Page 23
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`Petitioner's Exhibit 1002, Page 23
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`

`

`11.
`
`(Previously Presented) An integrated device comprising:
`
`a persistent storage media that persistently stores biometric data of a user and an ID code;
`
`a validation module, coupled to c