`

`

`

`Electronic Patent Application Fee Transmittal
`
`Application Number:
`
`Filing Date:
`
`15049060
`
`20-Feb-2016
`
`Title of Invention:
`
`Biometric Personal Data Key (PDK) Authentication
`
`First Named Inventor/Applicant Name:
`
`John J. Giobbi
`
`Filer:
`
`Greg T. Sueoka/Kristi LaMont
`
`Attorney Docket Number:
`
`10001-05488 us
`
`Filed as Small Entity
`
`Filing Fees for Utility under 35 USC 111 (a)
`
`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:
`
`UTILITY APPL ISSUE FEE
`
`2501
`
`1
`
`500
`
`500
`
`Petitioner's Exhibit 1002, Page 3
`
`

`

`Description
`
`Fee Code
`
`Quantity
`
`Amount
`
`Sub-Total in
`USO($)
`
`Extension-of-Time:
`
`Miscellaneous:
`
`Total in USO($)
`
`500
`
`Petitioner's Exhibit 1002, Page 4
`
`

`

`Electronic Acknowledgement Receipt
`
`EFSID:
`
`Application Number:
`
`39476746
`
`15049060
`
`International Application Number:
`
`Confirmation Number:
`
`2423
`
`Title of Invention:
`
`Biometric Personal Data Key (PDK) Authentication
`
`First Named Inventor/Applicant Name:
`
`John J. Giobbi
`
`Customer Number:
`
`89194
`
`Filer:
`
`Greg T. Sueoka
`
`Filer Authorized By:
`
`Attorney Docket Number:
`
`10001-05488 us
`
`Receipt Date:
`
`Filing Date:
`
`Time Stamp:
`
`19-MA Y-2020
`
`20-FEB-2016
`
`11:13:51
`
`Application Type:
`
`Utility under 35 USC 111 (a)
`
`Payment information:
`
`Submitted with Payment
`
`Payment Type
`
`Payment was successfully received in RAM
`
`yes
`
`CARD
`
`$500
`
`RAM confirmation Number
`
`E20205IB14213345
`
`Deposit Account
`
`Authorized User
`
`The Director of the USPTO is hereby authorized to charge indicated fees and credit any overpayment as follows:
`
`Petitioner's Exhibit 1002, Page 5
`
`

`

`File Listing:
`
`Document
`Number
`
`Document Description
`
`File Name
`
`1
`
`Issue Fee Payment (PTO-85B)
`
`05488US_20200519 _lssueFeeT
`ransmittal.pdf
`
`File Size(Bytes}/
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`Multi
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`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 Agglications 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 Agglication 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 Agglication 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 6
`
`

`

`

`

`Corrected
`Notice of Allowability
`
`Application No.
`15/049,060
`Examiner
`PHY ANH TVU
`
`Applicant(s)
`Giobbi, John J.
`Art Unit
`2438
`
`No
`
`I AIA (FITF) Status
`
`-- The MAILING DA TE of this communication appears on the cover sheet with the correspondence address-(cid:173)
`All claims being allowable, PROSECUTION ON THE MERITS IS (OR REMAINS) CLOSED in this application. If not included
`herewith (or previously mailed), a Notice of Allowance (PTOL-85) or other appropriate communication will be mailed in due course. THIS
`NOTICE OF ALLOWABILITY IS NOT A GRANT OF PATENT RIGHTS. This application is subject to withdrawal from issue at the initiative
`of the Office or upon petition by the applicant. See 37 CFR 1.313 and MPEP 1308.
`
`1.~ This communication is responsive to 04/08/2020.
`D A declaration(s)/affidavit(s) under 37 CFR 1.130(b) was/were filed on __ .
`
`2.0 An election was made by the applicant in response to a restriction requirement set forth during the interview on __ ; the
`restriction requirement and election have been incorporated into this action.
`
`3.~ The allowed claim(s) is/are 1,3,7,9-10, 14-15 and 20-21 . As a result of the allowed claim(s), you may be eligible to benefit from the
`Patent Prosecution Highway program at a participating intellectual property office for the corresponding application. For more
`information, please see http://www.uspto.gov/patents/init_events/pph/index.jsp or send an inquiry to
`PPHfeedback@uspto.gov.
`
`4.0 Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
`Certified copies:
`*c) D None of the:
`a) □All
`b) 0 Some
`1. D Certified copies of the priority documents have been received.
`2. D Certified copies of the priority documents have been received in Application No. __ .
`3. D Copies of the certified copies of the priority documents have been received in this national stage application from the
`International Bureau (PCT Rule 17.2(a)).
`
`* Certified copies not received: __ .
`
`Applicant has THREE MONTHS FROM THE "MAILING DATE" of this communication to file a reply complying with the requirements
`noted below. Failure to timely comply will result in ABANDONMENT of this application.
`THIS THREE-MONTH PERIOD IS NOT EXTENDABLE.
`
`5.0 CORRECTED DRAWINGS (as "replacement sheets") must be submitted.
`D including changes required by the attached Examiner's Amendment/ Comment or in the Office action of
`Paper No./Mail Date __ .
`Identifying indicia such as the application number {see 37 CFR 1.84{c)) should be written on the drawings in the front {not the back) of each
`sheet. Replacement sheet{s) should be labeled as such in the header according to 37 CFR 1.121{d).
`
`6.0 DEPOSIT OF and/or INFORMATION about the deposit of BIOLOGICAL MATERIAL must be submitted. Note the
`attached Examiner's comment regarding REQUIREMENT FOR THE DEPOSIT OF BIOLOGICAL MATERIAL.
`
`Attachment(s)
`1. D Notice of References Cited (PTO-892)
`2.~ Information Disclosure Statements (PTO/SB/08),
`Paper No./Mail Date 01/30/2019.
`3. D Examiner's Comment Regarding Requirement for Deposit
`of Biological Material
`.
`4.0 Interview Summary (PTO-413),
`Paper No./Mail Date.
`/PHY ANH T VU/
`Primary Examiner, Art Unit 2438
`
`5. D Examiner's Amendment/Comment
`6. D Examiner's Statement of Reasons for Allowance
`7. D Other
`
`U.S. Patent and Trademark Office
`PTOL-37 (Rev. 08-13)
`
`Notice of Allowability
`
`Part of Paper No./Mail Date 20200415
`
`Petitioner's Exhibit 1002, Page 8
`
`

`

`

`

`PTO/SB/0Ba (02-18)
`Doc code: IDS
`Approved for use through 11/30/2020. 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 lo respond lo 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
`
`Filing Date
`
`15049060
`
`)016-02-20
`
`First Named Inventor
`
`I ~ohn J. Giobbi
`
`Art Unit
`
`Examiner Name
`
`Attorney Docket Number
`
`12438
`
`I VU, PHY ANH TRAN
`I 10001-05488 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
`
`I Remove I
`
`1
`
`~759060
`
`M988-07-19
`
`Hayashi et al.
`
`2
`
`~993068
`
`M991-02-12
`
`Piosenka et al.
`
`3
`
`6187352
`
`M993-02-16
`
`Blair et al.
`
`4
`
`6296641
`
`M994-03-22
`
`Stelzel
`
`5
`
`6325285
`
`M994-06-28
`
`l\raki
`
`6
`
`6392433
`
`M995-02-21
`
`Hammersley et al.
`
`7
`
`6416780
`
`M995-05-16
`
`Patel
`
`8
`
`6422632
`
`M995-06-06
`
`Bucholtz et al.
`
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. /P.T.V/
`
`EFSWeb 2.1.18
`
`Petitioner's Exhibit 1002, Page 10
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`Filing Date
`
`15049060
`
`2016-02-20
`
`First Named Inventor
`
`I John J. Giobbi
`
`Art Unit
`
`Examiner Name
`
`Attorney Docket Number
`
`2438
`
`I VU, PHY ANH TRAN
`10001-05488 us
`
`9
`
`5450489
`
`n995-o9-12
`
`8strover et al.
`
`10
`
`5619251
`
`n997-o4-o8
`
`Kuroiwa et al.
`
`11
`
`5629980
`
`n997-o5-13
`
`Stefik et al.
`
`12
`
`5644354
`
`M997-07-01
`
`Thompson et al.
`
`13
`
`5666412
`
`n997-o9-o9
`
`Handelman et al.
`
`14
`
`5692049
`
`n991-11-2s
`
`Johnson et al.
`
`15
`
`5784464
`
`n998-01-21
`
`l\kiyama et al.
`
`16
`
`5825876
`
`M998-10-20
`
`Peterson Jr.
`
`17
`
`5835595
`
`n998-11-10
`
`-raser et al.
`
`18
`
`5857020
`
`n999-01-os
`
`Peterson Jr.
`
`19
`
`5892825
`
`n999-o4-o6
`
`Mages et al.
`
`EFSWeb 2.1.18
`
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH.
`
`/P.T.V/
`
`Petitioner's Exhibit 1002, Page 11
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`Filing Date
`
`15049060
`
`2016-02-20
`
`First Named Inventor
`
`I John J. Giobbi
`
`Art Unit
`
`2438
`
`Examiner Name
`
`I VU, PHY ANH TRAN
`
`Attorney Docket Number
`
`10001-05488 us
`
`20
`
`5892900
`
`n999-o4-o6
`
`Sinter et al.
`
`21
`
`5894551
`
`n999-o4-13
`
`Huggins et al.
`
`22
`
`5898880
`
`n999-o4-21
`
`Ryu
`
`23
`
`5917913
`
`M999-06-29
`
`i/1/ang
`
`24
`
`5928327
`
`n999-01-21
`
`i/1/ang et al.
`
`25
`
`5991399
`
`n999-11-23
`
`3raunke et al.
`
`26
`
`5991749
`
`n999-11-23
`
`Morrill Jr.
`
`27
`
`6016476
`
`t2000-01-18
`
`Maes et al.
`
`28
`
`6035038
`
`t2000-03-07
`
`8ampinos et al.
`
`29
`
`6035329
`
`t2000-03-07
`
`Mages et al.
`
`30
`
`6038334
`
`Rooo-03-14
`
`Hamid
`
`EFSWeb 2.1.18
`
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH.
`
`/P.T.V/
`
`Petitioner's Exhibit 1002, Page 12
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`Filing Date
`
`15049060
`
`2016-02-20
`
`First Named Inventor
`
`I John J. Giobbi
`
`Art Unit
`
`2438
`
`Examiner Name
`
`I VU, PHY ANH TRAN
`
`Attorney Docket Number
`
`10001-05488 us
`
`31
`
`p042006
`
`t2000-03-28
`
`Van Tilburg et al.
`
`32
`
`p055314
`
`t2000-04-25
`
`Spies et al.
`
`33
`
`p070796
`
`t2000-06-06
`
`Sirbu
`
`34
`
`6088730
`
`t2000-07 -11
`
`Kato et al.
`
`35
`
`p104334
`
`t2000-08-15
`
`l\llport
`
`36
`
`p121544
`
`t2000-09-19
`
`Petsinger
`
`37
`
`p148142
`
`Rooo-11-14
`
`l\nderson
`
`38
`
`6161179
`
`t2000-12-12
`
`Seidel
`
`39
`
`p185316
`
`t2001-02-06
`
`Buffam
`
`40
`
`p209089
`
`t2001-03-27
`
`Selitrennikoff et al.
`
`41
`
`p219109
`
`t2001-04-17
`
`Raynesford et al.
`
`EFSWeb 2.1.18
`
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH.
`
`/P.T.V/
`
`Petitioner's Exhibit 1002, Page 13
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`Filing Date
`
`15049060
`
`2016-02-20
`
`First Named Inventor
`
`I John J. Giobbi
`
`Art Unit
`
`Examiner Name
`
`Attorney Docket Number
`
`2438
`
`I VU, PHY ANH TRAN
`10001-05488 us
`
`42
`
`p219439
`
`t2001-04-17
`
`Burger
`
`43
`
`p247130
`
`t2001-06-12
`
`~ritsch
`
`44
`
`p256737
`
`t2001-07-03
`
`Bianco et al.
`
`45
`
`6266415
`
`t2001-07-24
`
`8ampinos et al.
`
`46
`
`p295057
`
`t2001-09-25
`
`Rosin et al.
`
`47
`
`p336121
`
`t2002-01-01
`
`yson et al.
`
`48
`
`p336142
`
`t2002-01-01
`
`Kato et al.
`
`49
`
`6343280
`
`t2002-01-29
`
`81ark
`
`50
`
`p363485
`
`t2002-03-26
`
`/\dams et al.
`
`51
`
`p367019
`
`t2002-04-02
`
`l\nsell et al.
`
`52
`
`p381747
`
`t2002-04-30
`
`il\/onfor et al.
`
`EFSWeb 2.1.18
`
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. /P.T.V/
`
`Petitioner's Exhibit 1002, Page 14
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`Filing Date
`
`15049060
`
`2016-02-20
`
`First Named Inventor
`
`I John J. Giobbi
`
`Art Unit
`
`Examiner Name
`
`Attorney Docket Number
`
`2438
`
`I VU, PHY ANH TRAN
`10001-05488 us
`
`53
`
`p385596
`
`t2002-05-07
`
`1/'\/iser et al.
`
`54
`
`p392664
`
`t2002-05-21
`
`1/'\/hite et al.
`
`55
`
`p397387
`
`t2002-05-28
`
`Rosin et al.
`
`56
`
`6401059
`
`t2002-06-04
`
`Shen et al.
`
`57
`
`p411307
`
`t2002-06-25
`
`Rosin et al.
`
`58
`
`p424715
`
`t2002-07-23
`
`Saito
`
`59
`
`p425084
`
`t2002-07-23
`
`Rallis et al.
`
`60
`
`6434535
`
`t2002-08-13
`
`Kupka et al.
`
`61
`
`p446130
`
`t2002-09-03
`
`3rapes
`
`62
`
`p463534
`
`t2002-10-08
`
`3eigeret al.
`
`63
`
`p480188
`
`t2002-11-12
`
`Horsley
`
`EFSWeb 2.1.18
`
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH.
`
`/P.T.V/
`
`Petitioner's Exhibit 1002, Page 15
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`Filing Date
`
`15049060
`
`2016-02-20
`
`First Named Inventor
`
`I John J. Giobbi
`
`Art Unit
`
`Examiner Name
`
`Attorney Docket Number
`
`2438
`
`I VU, PHY ANH TRAN
`10001-05488 us
`
`64
`
`p484946
`
`t2002-11-26
`
`Matsumoto et al.
`
`65
`
`p487663
`
`t2002-11-26
`
`Jaisimha et al.
`
`66
`
`p490443
`
`t2002-12-03
`
`~reeny Jr.
`
`67
`
`6510350
`
`t2003-01-21
`
`Steen Ill et al.
`
`68
`
`p523113
`
`t2003-02-18
`
`il\/ehrenberg
`
`69
`
`p529949
`
`t2003-03-04
`
`3etsin et al.
`
`70
`
`p546418
`
`t2003-04-08
`
`Schena et al.
`
`71
`
`6550011
`
`t2003-04-15
`
`Sims Ill
`
`72
`
`p563805
`
`t2003-05-13
`
`Ma et al.
`
`73
`
`p564380
`
`t2003-05-13
`
`Murphy
`
`74
`
`p628302
`
`t2003-09-30
`
`il\/hite et al.
`
`EFSWeb 2.1.18
`
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. /P.T.V/
`
`Petitioner's Exhibit 1002, Page 16
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`Filing Date
`
`15049060
`
`2016-02-20
`
`First Named Inventor
`
`I John J. Giobbi
`
`Art Unit
`
`Examiner Name
`
`Attorney Docket Number
`
`2438
`
`I VU, PHY ANH TRAN
`10001-05488 us
`
`75
`
`p632992
`
`t2003-10-14
`
`Hasegawa
`
`76
`
`p645077
`
`t2003-11-11
`
`Rowe
`
`77
`
`p647417
`
`t2003-11-11
`
`Hunter et al.
`
`78
`
`6657538
`
`t2003-12-02
`
`Ritter
`
`79
`
`p667684
`
`t2003-12-23
`
`il\/aggamon et al.
`
`80
`
`p671808
`
`t2003-12-30
`
`l\bbott et al.
`
`81
`
`p683954
`
`t2004-01-27
`
`Searle
`
`82
`
`6697944
`
`t2004-02-24
`
`Jones et al.
`
`83
`
`p709333
`
`t2004-03-23
`
`Bradford et al.
`
`84
`
`p711464
`
`t2004-03-23
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`Yap et al.
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`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
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`Application Number
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`Filing Date
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`15049060
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`I John J. Giobbi
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`I John J. Giobbi
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`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
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`Filing Date
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`15049060
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`I John J. Giobbi
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`2438
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`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
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`Application Number
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`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
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`Application Number
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`15049060
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`2016-02-20
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`I John J. Giobbi
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`Art Unit
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`Examiner Name
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`INFORMATION DISCLOSURE
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`Application Number
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`15049060
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`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
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`Filing Date
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`2016-02-20
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`2438
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`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`Filing Date
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`
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`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`Filing Date
`
`15049060
`
`2016-02-20
`
`First Named Inventor
`
`I John J. Giobbi
`
`Art Unit
`
`Examiner Name
`
`Attorney Docket Number
`
`2438
`
`I VU, PHY ANH TRAN
`10001-05488 us
`
`If you wish to add additional U.S. Published Application citation information please click the Add button.I Add
`I
`IRemovel
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`Examiner Cite Foreign Document
`No Number3
`Initial*
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`Country
`Code2i
`
`Kind Publication
`Code4 Date
`
`Name of Patentee or
`Applicant of cited
`Document
`
`Pages,Columns,Lines
`where Relevant
`Passages or Relevant
`Figures Appear
`
`T5
`
`1
`
`DO625O5
`
`2
`
`0122724
`
`3
`
`0175876
`
`4
`
`0177790
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`5
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`D5O5O450
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`6
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`No
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`2001-10-18 Margent Development,
`~LC
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`No
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`2001-10-18 Margent Development,
`~LC
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`If you wish to add additional Foreign Patent Document citation information please click the Add button I Add
`I
`IRemovel
`NON-PATENT LITERATURE DOCUMENTS
`
`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.
`
`Ts
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`1
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`
`/P.T.V/
`
`EFSWeb 2.1.18
`
`Petitioner's Exhibit 1002, Page 32
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`Filing Date
`
`15049060
`
`2016-02-20
`
`First Named Inventor
`
`I John J. Giobbi
`
`Art Unit
`
`Examiner Name
`
`Attorney Docket Number
`
`2438
`
`I VU, PHY ANH TRAN
`10001-05488 us
`
`2
`
`~NTONOFF, Michael, Visiting Video Valley, Sound Vision, Pages 116 and 118-119, Nov. 2001.
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`3
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`4
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`
`/P.T.V/
`
`Petitioner's Exhibit 1002, Page 33
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`Filing Date
`
`15049060
`
`2016-02-20
`
`First Named Inventor
`
`I John J. Giobbi
`
`Art Unit
`
`Examiner Name
`
`Attorney Docket Number
`
`2438
`
`I VU, PHY ANH TRAN
`10001-05488 us
`
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