Electronic Acknowledgement Receipt
`
`
`.
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`Application Number:
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`14169927
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` Title of Invention:
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`MULTIPLE LAMINAR FLOW-BASED PARTICLE AND CELLULAR IDENTIFICATION
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`“—
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`Payment information:
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`—_
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`Charge any Additional Fees required under 37 C.F.R. Section 1.16 (National application filing, search, and examination fees)
`.
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`Charge any Additional Fees required under 37 C.F.R. Section 1.17 (Patent application and reexamination processing fees)
`
`The Director ofthe USPTO is hereby authorized to charge indicated fees and credit any overpayment as follows:
`
`Exhibit No. 1013
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`PGR of US. Patent 8,933,395
`
`

`

`14169927
`
`31 -Jan-201 4
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`Title of Invention:
`
`MULTIPLE LAMINAR FLOW-BASED PARTICLE AND CELLULAR IDENTIFICATION
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`_———-
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`-
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`Descri
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`tion
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`P
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`Sub-Total in
`USDIS)
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`1464
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`1801
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`1
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`. P
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`Basic Filing:
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`etition fee. 37 CFR 1.1701) (Group I”)
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`Request for Continued Examination
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`Patent-Appealls-and-lnterference:
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`Post-AIIowance-and-Post-lssuance:
`
`_____________
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`$E°L§$E§T1§§tx§1mxxia§
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`_-_——_——
`
`

`

`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMNHSSIONER FOR PATENTS
`PO. Box 1450
`Alexandria1 Virginia 22313-1450
`www.uspto.gov
`
`APPLICATION NO.
`
`14/169,927
`
`ISSUE DATE
`
`01/13/2015
`
`13155
`
`7590
`
`12/23/2014
`
`Edwards Neils PLLC
`
`12020 Sunrise Valley Drive, Suite 200
`Reston, VA 20191
`
`PATENT NO.
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`8933395
`
`815270018
`
`2069
`
`The projected patent number and issue 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)
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`The Patent Term Adjustment is 0 day(s). Any patent to issue from the above—identified application will include
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`If a Continued Prosecution Application (CPA) was filed in the above—identified application, the filing date that
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`APPLICANT(S) (Please see PAIR WEB site http://pair.uspto. gov for additional applicants):
`
`PREMIUM GENETICS (UK) LTD., Nantwich, UNITED KINGDOM, Assignee (with 37 CFR 1.172 Interest);
`Daniel MUETH, Chicago, IL;
`Joseph PLEWA, Park Ridge, IL;
`Jessica SHIREMAN, Kansas City, MO;
`Amy ANDERSON, Palatine, IL;
`Lewis GRUBER, Chicago, IL;
`Neil ROSENBAUM, Chicago, IL;
`
`The United States represents the largest, most dynamic marketplace in the world and is an unparalleled location
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`IR103 (Rev. 10/09)
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`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMNHSSIONER FOR PATENTS
`PO. Box 1450
`Alexandria, Virginia 22313-1450
`www.uspto.gov
`
`
`
`
`
`14/169,927
`
`01/31/2014
`
`Daniel MUETH
`
`815270018
`
`2069
`
`Edwards Neils PLLC
`
`12020 Sunrise Valley Drive, Suite 200
`Reston, VA 20191
`
`NGUYEN, KIET TUAN
`
`ART UNIT
`
`2881
`
`PAPER NUlVIBER
`
`NOTIFICATION DATE
`
`DELIVERY MODE
`
`12/ 1 8/20 14
`
`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):
`
`ipgeneral@ edwardsneils.c0m
`
`PTOL—90A (Rev. 04/07)
`
`

`

`
`
`Notice of Allowability
`
`Application No.
`14/169,927
`EféflnflequN
`I
`
`Applicant(s)
`MUETH ET AL.
`Qgggnit
`Qi'fg,(;1;if,'s"“°"t°”°
`No
`
`-- The MAILING DA TE of this communication appears on the cover sheet with the correspondence address--
`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. IXI This communication is responsive to the request for consideration of IDS.
`
`
`I] A declaration(s)/affidavit(s) under 37 CFR 1.130(b) was/were filed on
`
`2. [I An election was made by the applicant in response to a restriction requirement set forth during the interview on
`requirement and election have been incorporated into this action.
`
`; the restriction
`
`3. IX The allowed claim(s) is/are 73-86. 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
`
`htt' :i/wwwus ‘to. ov/ atents/init events/r h/index.'s' or send an inquiry to PPeredbackQusgtooov.
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`4. El Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
`
`Certified copies:
`
`a) I] All
`
`b) I] Some
`
`*c) I] None of the:
`
`1. El Certified copies of the priority documents have been received.
`
`2. El Certified copies of the priority documents have been received in Application No. _
`
`3. I] 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. El CORRECTED DRAWINGS ( as “replacement sheets”) must be submitted.
`
`El
`
`including changes required by the attached Examiner’s Amendment / Comment or in the Office action of
`Paper No./Mai| 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. I] 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. I] Notice of References Cited (PTO-892)
`
`2. IXI Information Disclosure Statements (PTO/SB/08),
`Paper No./Mai| Date 11/17/14
`3. I] Examiner‘s Comment Regarding Requirement for Deposit
`of Biological Material
`4. El Interview Summary (PTO-413),
`Paper No./Mai| Date
`
`/K|ET T NGUYEN/
`
`Primary Examiner, Art Unit 2881
`
`5. I] Examiner‘s Amendment/Comment
`
`6. I] Examiner‘s Statement of Reasons for Allowance
`
`7. El Other
`
`.
`
`
`
`US. Patent and Trademark Office
`
`PTOL-37 (Rev. 08-13)
`
`Notice of Allowability
`
`Part of Paper No./Mai| Date 20141204
`
`

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`Mail
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`14169927
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`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
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`( Not for submission under 37 CFR 1.99)
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`
`Filing Date
`2014-01-31
`First Named Inventor
`Daniel MUETH
`
`Art Unit
`|2331
`
`Examiner Name
`
`KIET TUAN NGUYEN
`
` Application Number
`
`
`
`Attorney Docket Number |81527.0018
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`2000-512541
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`2002-503334
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`2002-01-29
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`WO 98/1026?
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`EFSWeb2.1.17
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`ALL REFERENCES CONSiDERED EXCEPT WHERE LiNED THRQUGH.
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`/K.N./
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`Technical University of
`Denmark
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`

`
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`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`,
`_
`( Not for submissmn under 37 CFR 1.99)
`
`
`
`Application Number 14169927
`
`Filing Date
`2014-01-31
`First Named Inventor
`Daniel MUETH
`
`Art U .
`
`nlt
`|2881
`Examiner Name
`KIET TUAN NGUYEN
`
` Attorney Docket Number
`
`I 815270018
`
`1999-07-21
`
`University of Washington WO 97/00442
`
`1993-02-02
`
`Nippon Steel Corporation
`
`> _\
`
`1997-10-23
`
`University of Washington
`
`
`
`
`
`9
`
`02/087792
`
`10
`
`03/062867
`
`1 1
`
`97/47390
`
`J> _\
`
`> _\
`
`J> _\
`
`>
`
`1998-03-12
`
`Technical University of
`Denmark
`
`1997-01-03
`
`University of Washington
`
`2002-1 1-07
`
`Genoptix, Inc.
`
`2003-07-31
`
`Genoptix, Inc.
`
`1997-12-18
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`University of Washington
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`publisher, city and/or country where published.
`
`Examiner Cite
`
`TAKAYAMA et al., "Patterning Cells and Their Environments Using Multiple Laminar Fluid Flows in Capillary
`Networks." Proceedings of National Academy of Sciences,USA 96 (1999)
`
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`
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`( Not for submission under 37 CFR 1.99)
`
`
`Application Number
`14169927
`
`
`Filing Date
`2014-01-31
`First Named Inventor
`Daniel MUETH
`
`Art Unit
`| 2881
`Examiner Name
`KIET TUAN NGUYEN
`
`Attorney Docket Number
`
`I 815270018
`
`
`
`
`
`Final Notice of Reasons for Rejection, issued by Japanese Patent Office on October 28, 2014 in related Japanese
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`Patent Application No. 2011-256171
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`EXAMINER SIGNATURE
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`,1KietTuan Nduyen/
`Date Considered
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`12/04/2014
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`
`
`
`
`Application Number 14169927
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`.
`.
`( Not for submissmn under 37 CFR 1.99)
`
`
`Filing Date
`2014-01-31
`First Named Inventor
`Daniel MUETH
`
`Art U .
`nIt
`|2881
`
`Examiner Name
`KIET TUAN NGUYEN
`
` Attorney Docket Number
`
`I 815270018
`
`
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`

`US. DEPARTMENT OF COMMERCE
`PATENT AND TRADEMARK OFFICE
`
`PATENT WITHDRAWAL NOTICE
`
`DATE WITHDRAWN
`
`WITHDRAWAL NUMBER
`
`11/18/2014
`
`The following application has been WITHDRAWN from the
`
`12/2/2014 issue.
`
`
`
`SERIAL NO.
`
`‘
`
`PATENT NUMBER
`
`14169927
`
`8901481
`
`TITLE
`
`MULTIPLE LAMINAR FLOW-BASED PARTICLE AND CELLULAR IDENTIFICATION
`
`NAME AND ADDRESS
`
`REASON FOR WITHDRAWAL
`
`Auto—petition to withdraw - Granted
`
`APPROVED
`
`/Kimberly Terrell/, Manager
`
`Patent Publication Branch
`
`FORM PTO-302 -- (REV. 05-2009)
`
`Office of Data Management
`
`

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`81527.0018
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`14169927
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`KIET TUAN NGUYEN
`Exam'”er
`F"5t Name‘j Daniel MUETH
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`WO 2003062867
`
`A2
`
`(12) INTERNATIONAL APPLICATION PUBLISHED UNDER THE PATENT COOPERATION TREATY (PCT)
`
`(19) World Intellectual Property Organization
`International Bureau
`
`(43) International Publication Date
`31 July 2003 (31.07.2003)
`
` (10) International Publication Number
`
`W0 03/062867 A2
`
`(51) International Patent Classification7:
`
`G02B
`
`(21) International Application Number:
`
`PCT/USO3/00340
`
`(22) International Filing Date:
`
`6 January 2003 (06.01.2003)
`
`(25) Filing Language:
`
`(26) Publication Language:
`
`English
`
`English
`
`(30) Priority Data:
`10/053,507
`
`17 January 2002 (17.01.2002)
`
`US
`
`(71) Applicant (for all designated Slates except US): GENOP-
`TIX, INC. [US/US]; 3398 Carmel Mountain Road, San
`Diego, CA 92121 (US).
`
`(72) Inventor; and
`(75) Inventor/Applicant (for US only): ZHANG, Haichuan
`[CN/US]; 2465 Regents Road, #310, San Diego, CA 92122
`(US).
`
`(81) Designated States (national): AE, AG, AL. AM, AT, AU,
`AZ, BA, BB, BG, BR, BY, BZ, CA, CH, CN, CO, CR, CU,
`CZ, DE, DK, DM, DZ, EC, EE, ES, FI, GB, GD, GE, GH,
`GM, HR, HU, ID, IL, IN, IS, JP, KE, KG, KP, KR, KZ, LC,
`LK, LR, LS, LT, LU, LV, MA, MD, MG, MK, MN, MW,
`MX, MZ, NO, NZ. OM. PH, PL, PT, RO, RU, SC, SD, SE,
`SG, SK, SL, TJ, TM, TN, TR, TT, TZ, UA, UG, US, UZ,
`VC, VN, YU, ZA, ZM, ZW.
`
`(84) Designated States (regional): ARIPO patent (GH, GM,
`KE, LS, MW, MZ, SD, SL, SZ, TZ, UG, ZM, ZW),
`Eurasian patent (AM, AZ, BY, KG, KZ, MD, RU, TJ, TM),
`European patent (AT, BE, BG, CH, CY, CZ, DE, DK, EE,
`ES, FI, FR, GB, GR, HU, IE, IT, LU, MC, NL, PT, SE, SI,
`SK, TR), OAPI patent (BF, BJ, CF, CG, CI, CM, GA, GN,
`GQ, GW, ML, MR, NE, SN, TD, TG).
`
`Published:
`without international search report and to be republished
`upon receipt ofthat report
`
`(74) Agent: DAVIDSON, Michael, S.; O’Melveny & Myers
`LLP, ll4Paeifica, Suite 100, Irvine, CA 92618—3315(US).
`
`For two-letter codes and other abbreviations, refer to the "Guid-
`ance Notes on Codes andAbbreviations " appearing at the begin-
`ning ofeach regular issue ofthe PCT Gazette.
`
`(54) Title: METHODS AND APPARATUS FOR GENERATING AND UTILIZING LINEAR MOVING OPTICAL GRADIENTS
`
`A
`Laser beam
`Phase1
`
`
`
`Quick stepping movement
`
`
`
`Slow continuous movement
`
`a WBC - RBC
`
`(57) Abstract: Apparatus and methods are provided for interacting light with particles, including but not limited to biological matter
`such as cells, in unique and highly useful ways. Optophoresis consists of subjecting particles to various optical forces, especially
`optical gradient forces, and more particularly moving optical gradient forces, so as to obtain useful results. In one implementation,
`a population ofparticles. comprising two or more differing particles, e.g., red blood cells and white blood cells, are illuminated by a
`line of light which is moved slowly relative to the particle population. The particles are moved with the line until the population is
`aligned. Next, the line of particles is subject to relative motion of light relative to the particles, such as by rapidly moving the line of
`illumination relative to the physical position of the particles. By moving the line away from the particles at a rate great enough that
`certain particles remain behind, effective separation, characterization and/or identification of the particles may be made. Optionally,
`the direction of the low initial scan is in a direction opposition to the more rapid scan after the particles have been aligned.
`
`3/062867A2
`
`3 a
`
`

`

`WO 2003062867 A2
`
`W0 03/062867
`
`PCT/USO3/00340
`
`1
`
`METHODS AND APPARATUS FOR GENERATING AND UTILIZING LINEAR
`
`MOVING OPTICAL GRADIENTS
`
`Field of the Invention
`
`[0001] This invention relates to methods and apparatus for the selection, identification,
`
`characterization, and/or sorting of materials utilizing at least optical or photonic forces.
`
`More particularly, the inventions find utility in biological systems, generally considered to
`
`be the use of optical forces for interaction with bioparticles having an optical dielectric
`constant.
`
`Related Applications
`
`10
`
`15
`
`[0002] This application is a continuation-in-part of Application Serial No. 09/993,377,
`
`filed November 14, 2001, entitled “Methods and Apparatus for Generating and Utilizing a
`
`Moving Optical Gradient”, which is a continuation-in-part of Application Serial No.
`
`09/845,245, filed April 27, 2001, entitled “Methods and Apparatus for Use of Optical
`
`Forces for Identification, Characterization and/or Sorting of Particles”, which is related to
`
`Application Serial No. 09/843,902, filed on April 27, 2001, entitled “System and Method
`
`for Separating Micro-Particles”, with named inventor Osman Kibar, which claims priority
`
`from provisional Application Serial No. 60/248,451, entitled “Method and Apparatus for
`
`Sorting Cells or Particles”, filed November 13, 2000. Those applications are incorporated
`
`herein by reference as if fully set forth herein.
`
`20
`
`Background of the Invention
`
`[0003] Separation and characterization of particles has a wide variety of applications
`
`ranging from industrial
`
`applications,
`
`to biological applications,
`
`to environmental
`
`applications. For example, in the field of biology, the separation of cells has numerous
`
`applications in medicine and biotechnology. Historically, sorting technologies focused on
`
`gross physical characteristics, such as particle size or density, or to