`
`Applicant:
`Filed:
`For:
`
`Neill H. Luebke
`Herewith
`Dental and Medical Instruments Comprising Titanium
`
`INFORMATION DISCLOSURE STATEMENT
`
`Commissioner For Patents
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`Dear Sir:
`
`Pursuant to 37 CFR 1.97-1.98, Applicants are submitting herewith a listing of
`documents on an Information Disclosure Statement.
`
`All of the references cited on the attached Information Disclosure Statement,
`except for Harmeet Walia eta/.; "An Initial Investigation of the Bending and Torsional
`Properties of Nitinol Root Canal Files"; Vol. 14, No. 7, Journal of Endodontics; 346-351
`(July, 1988), have already been cited and submitted by the Applicants or cited by the
`Examiner in U.S. Patent Application No. 14/167,211, filed January 29, 2014, from which
`the present application claims priority. Therefore, Applicants are only submitting a copy
`of the Harmeet Walia et al. article with this submission.
`
`The submission of the listed documents is not intended as an admission that any
`such document constitutes prior art against the claims of the present application.
`Applicants do not waive any rights to take any action that would be appropriate to
`antedate or otherwise remove any listed document as a competent reference against the
`claims of the present application.
`
`Applicant respectfully requests that the listed documents be considered by the
`Examiner, be made of record in the present application and that an initialed copy of the
`Information Disclosure Statement by Applicant be returned in accordance with MPEP §
`609.
`
`Respectfully submitted,
`
`Date: October 23, 2014
`
`/Richard T. Roche/
`Richard T. Roche, Reg. No. 38,599
`Attorney for Applicant
`Quarles & Brady LLP
`411 E. Wisconsin Ave.
`Milwaukee, WI 53202
`414-277-5805
`
`Page 1
`
`QB\30220959 .1
`GOLD STANDARD EXHIBIT 2034
`US ENDODONTICS v. GOLD STANDARD
`CASE PGR2015-00019
`
`
`
`PTO/SB/08a (01-10)
`Doc code: IDS
`Approved for use through 07/3112012. OMB 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 OMB control number.
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`Filing Date
`First Named Inventor I Neill H. Luebke
`Art Unit
`
`Examiner Name
`
`I
`Attorney Docket Number
`
`115207.00014
`
`U.S.PATENTS
`
`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
`
`1
`
`5171383
`
`1992-12-15
`
`Sagaye et al.
`
`2
`
`6149501
`
`2000-11-21
`
`Farzin-Nia et al.
`
`3
`
`6485507
`
`2002-11-26
`
`Walak et al.
`
`If you wish to add additional U.S. Patent citation information please click the Add button.
`
`U.S.PATENT APPLICATION PUBLICATIONS
`
`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
`
`20020137008
`
`2002-09-26
`
`McSpadden et al.
`
`If you wish to add additional U.S. Published Application citation information please click the Add button.
`
`FOREIGN PATENT DOCUMENTS
`
`Examiner Cite Foreign Document
`No Number3
`Initial*
`
`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
`
`EFS Web 2.1.17
`
`D
`
`Page 2
`
`
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`Filing Date
`First Named Inventor I Neill H. Luebke
`Art Unit
`
`Examiner Name
`
`I
`Attorney Docket Number
`
`115207.00014
`
`If you wish to add additional Foreign Patent Document citation information please click the Add button
`
`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.
`
`T5
`
`Kuhn et al., Fatigue and Mechanical Properties of Nickel-Titanium Endodontic
`Instruments, Journal of Endodontics, 2002, 28(1 0), 716-20
`
`Khier et al., Bending properties of superelastic and nonsuperelastic nickeltitanium
`orthodontic wires, American Journal of Orthodontics and Dentofacial
`Orthopedics, 1991, 99(4), 310-18
`
`Miura et al., The super-elastic property of the Japanese NiTi alloy wire for use in
`orthodontics, American Journal of Orthodontics and Dentofacial Orthopedics,
`1986, 90(1), 1-10
`
`Relevant aspects in the clinical applications of NiTi shape memory
`alloys, Journal of Materials Science: Materials in Medicine, 1996, 7, 403-6
`
`1
`
`2
`
`3
`
`4
`
`5
`
`F. S. Weine, Endodontic Therapy (6th ed. 2004)
`
`Brantley et al., Differential scanning calorimetric studies of nickel titanium rotary
`endodontic instruments, Journal of Endodontics, 2002, 28, 567-72
`
`Schafer et al., Relationship between design features of endodontic instruments
`and their properties. Part 3. Resistance to bending and fracture. Journal of
`Endodontics,2001,27,299-303
`
`Firstov et al., Surface oxidation of NiTi shape memory alloy, Biomaterials, 2002,
`23, 4863-71
`
`D
`
`D
`
`D
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`D
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`D
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`D
`
`D
`
`D
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`6
`
`7
`
`8
`
`9
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`EFS Web 2.1.17
`
`Kuhn et al., Influence of structure on NiTi endodontic instruments failure, Journal of Endodontics, 2001, 27(1 0), 516-20 D
`
`Page 3
`
`
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`Filing Date
`First Named Inventor I Neill H. Luebke
`Art Unit
`
`Examiner Name
`
`I
`Attorney Docket Number
`
`115207.00014
`
`10
`
`"DECLARATION OF NEILL H. LUEBKE, D.D.S., M.S.", inventor of the present application, filed on August 15, 2014 in D
`United States District Court for the Eastern District Of Tennessee Civil Action No. 14-00196
`
`11
`
`Tepel et al., Properties of endodontic hand instruments used in rotary motion.
`Part 3. Resistance to bending and fracture. Journal of Endodontics, 1997, 23,
`141-5
`
`D
`
`If you wish to add additional non-patent literature document citation information please click the Add button
`
`EXAMINER SIGNATURE
`
`Examiner Signature I
`
`I
`*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.
`
`I Date Considered
`
`1 See Kind Codes of USPTO Patent Documents at~~'!~Wol,I;';:[''IOo_<;;:Q'-;' or MPEP 901.04. 2 Enter office that issued the document, by the two-letter code (WI PO
`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 WI PO Standard ST.16 if possible. 5 Applicant is to place a check mark here i
`English language translation is attached.
`
`EFS Web 2.1.17
`
`Page 4
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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
`First Named Inventor I Neill H. Luebke
`Art Unit
`
`Examiner Name
`
`I
`Attorney Docket Number
`
`115207.00014
`
`CERTIFICATION STATEMENT
`
`Please see 37 CFR 1.97 and 1.98 to make the appropriate selection(s):
`
`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
`D 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.
`D 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, 1 0.18. Please see CFR 1.4(d) for the
`form of the signature.
`
`Signature
`
`Name/Print
`
`/Richard T. Roche/
`
`Richard T. Roche
`
`Date (YYYY-MM-DD)
`
`2014-10-03
`
`Registration Number
`
`38599
`
`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
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`Privacy Act Statement
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`The Privacy Act of 197 4 (P .L. 93-579) requires that you be given certain information in connection with your submission of the
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`The information on this form will be treated confidentially to the extent allowed under the Freedom of Information Act
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`EFS Web 2.1.17
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`Page 6
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`
`
`Notice of References Cited
`
`Application/Control No.
`
`14/167,311
`
`Examiner
`
`MATTHEW NELSON
`
`U.S. PATENT DOCUMENTS
`
`Applicant(s)/Patent Under
`Reexamination
`LUEBKE, NEILL HAMIL TON
`
`Art Unit
`
`3732
`
`Page 1 of 2
`
`Document Number
`Country Code-Number-Kind Code
`
`A US-4,490, 112 A
`
`US-5,080,584 A
`B
`c US-5,380,200 A
`D US-5,653,590 A
`E US-5,775,902 A
`US-6,206,695 81
`
`F
`
`US-6,375,458 81
`
`G
`H US-6,431 ,863 81
`US-6,428,634 81
`
`*
`*
`*
`*
`*
`*
`*
`*
`*
`*
`*
`*
`*
`US-2004/0129352 A 1
`L
`* M US-2004/0193246 A 1
`
`I
`
`J
`
`K
`
`US-2002/0191878 A 1
`
`US-2004/0121283 A 1
`
`Date
`MM-YYYY
`
`12-1984
`
`Tanaka et al.
`
`01-1992
`
`Karabin, Roger J.
`
`01-1995
`
`Heath et al.
`
`08-1997
`
`Heath et al.
`
`07-1998
`
`Matsutani et al.
`
`03-2001
`
`Wong et al.
`
`04-2002
`
`Moorleghem et al.
`
`08-2002
`
`Sachdeva et al.
`
`08-2002
`
`Bessel ink et al.
`
`12-2002
`
`Ueda et al.
`
`06-2004
`
`Mason, Robert M.
`
`07-2004
`
`Shiota, Hiroyuki
`
`09-2004
`
`Ferrera, David A.
`
`Name
`
`Classification
`
`433/20
`
`433/20
`
`433/102
`
`433/102
`
`433/102
`
`433/102
`
`433/2
`
`433/102
`
`148/421
`
`384/492
`
`433/102
`
`148/527
`
`623/001.15
`
`*
`
`Document Number
`Country Code-Number-Kind Code
`
`Date
`MM-YYYY
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`Country
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`Name
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`Classification
`
`FOREIGN PATENT DOCUMENTS
`
`NON-PATENT DOCUMENTS
`
`Include as applicable: Author, Title Date, Publisher, Edition or Volume, Pertinent Pages)
`
`*
`
`N
`
`0
`
`p
`
`Q
`
`R
`s
`T
`
`u
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`v
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`w
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`X
`
`*A copy of th1s reference 1s not bemg furnished w1th th1s Off1ce act1on. (See MPEP § 707.05(a).)
`Dates in MM-YYYY format are publication dates. Classifications may be US or foreign.
`
`U.S. Patent and Trademark Office
`PT0-892 (Rev. 01-2001)
`
`Notice of References Cited
`
`Part of Paper No. 20140404
`
`Page 7
`
`
`
`Applicant(s)/Patent Under
`Reexamination
`LUEBKE, NEILL HAMIL TON
`
`Art Unit
`
`3732
`
`Page 2 of 2
`
`Classification
`
`606/151
`
`433/102
`
`*
`*
`*
`
`Notice of References Cited
`
`Document Number
`Country Code-Number-Kind Code
`
`Date
`MM-YYYY
`
`Application/Control No.
`
`14/167,311
`
`Examiner
`
`MATTHEW NELSON
`
`U.S. PATENT DOCUMENTS
`
`Name
`
`A
`
`US-2005/0090844 A 1
`
`04-2005
`
`Patel et al.
`
`11-2006
`
`Matsutani et al.
`
`US-7,137,815 82
`B
`c US-
`D US-
`E US-
`US-
`
`F
`
`G
`
`H
`
`I
`
`J
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`K
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`US-
`
`US-
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`US-
`
`US-
`
`US-
`
`US-
`
`L
`M US-
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`*
`
`Document Number
`Country Code-Number-Kind Code
`
`Date
`MM-YYYY
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`Country
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`Name
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`Classification
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`FOREIGN PATENT DOCUMENTS
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`NON-PATENT DOCUMENTS
`
`Include as applicable: Author, Title Date, Publisher, Edition or Volume, Pertinent Pages)
`
`*
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`N
`
`0
`
`p
`
`Q
`
`R
`s
`T
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`u
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`v
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`w
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`X
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`*A copy of th1s reference 1s not bemg furnished w1th th1s Off1ce act1on. (See MPEP § 707.05(a).)
`Dates in MM-YYYY format are publication dates. Classifications may be US or foreign.
`
`U.S. Patent and Trademark Office
`PT0-892 (Rev. 01-2001)
`
`Notice of References Cited
`
`Part of Paper No. 20140404
`
`Page 8
`
`
`
`, Substitute for form 1449A/PTO
`
`lJnrlP.r thP. n.
`
`PTO/SB/08a (04-07)
`Approved for use through 09/30/2007. OMB 0651-0031
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`• RP.rlur.tinn Ar.t nf Hl!=l!'i nn nP.rsnns ;uP. rP.nuirP.rl In rP.,;nnnrl In" r.niiP.r.tinn nf ·
`uniP.ss it r.nniFiins" VFIIirl OMR r.nntrnl numher.
`Complete if Known
`
`""
`
`./
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`'
`
`ShAAI I
`
`(Use as many sheets as necessary)
`I of I
`
`Application Number
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`Filing Date
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`First Named Inventor
`
`Neill H. Luebke
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`Art Unit
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`Examiner Name
`
`Attorney Docket Number
`
`Matthew M. Nelson
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`Initials*
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`Cite
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`U_ S_ PATENT DOCUMENTS
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`MM-DD-YYYY
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`Pages, Columns, Lines, Where
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`Figures Appear
`
`................................................................................................ ,
`
`Number-Kind Code2 (ffknown)
`US-6783438
`10/23/2003
`Aloise et al.
`----·····----····---- ···········---·····-----···-----····----····----····----····----····-···-----·--·-------··---·-·--·----------·--·
`US- 20040171333
`, .. :.~·-~~=-=:~ .. : ...........................•.
`09/02/2004
`Aloise et al.
`US- 20060014480
`01/13/2006
`Aloise et al.
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`FOREIGN PATENT DOCUMENTS
`
`Examiner
`Initials*
`
`Cite
`No. 1
`
`Foreign Patent Document
`
`Country Code 3 -Number 4 -Kind Code 5 (if known)
`
`Publication Date
`MM-DD-YYYY
`
`Name of Patentee or
`Applicant of Cited Document
`
`Pages, Columns, Lines,
`Where Relevant Passages
`or Relevant Fiqures Appear
`
`······································································································--··--·----··--·----···----·······································································································-
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`
`Examiner
`Signature
`
`[
`
`I
`
`Date
`Considered
`
`I
`
`)
`
`Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance and not
`*EXAMINER:
`considered.
`Include copy of this form with next communication to applicant. 1 Applicant's unique citation designation number (optional). 2 See Kinds Codes of
`USPTO Patent Documents at ·"'"':~L~g?t9,99'' or MPEP 901.04. 3 Enter Office that issued the document, by the two-letter code (WIPO Standard ST.3). 4 For
`Japanese patent documents, the indication of the year of the reign of the Emperor must precede the serial number of the patent document. 5 Kind of document by
`the appropriate symbols as indicated on the document under WIPO Standard ST.16 if possible. 6 Applicant is to place a check mark here if English language
`Translation is attached.
`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 2 hours to complete,
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`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
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`PTO/SB/08a (03-09)
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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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`Filing Date
`First Named Inventor I Neill H. Luebke
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`3732
`I Matthew M. Nelson
`Attorney Docket Number
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`U.S.PATENTS
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`Examiner Cite
`Initial*
`No
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`Patent Number
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`Kind
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`Name of Patentee or Applicant
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`Pages,Columns,Lines where
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`1
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`7175655
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`81
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`2007-02-13
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`Molaci
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`Kind Publication
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`NON-PATENT LITERATURE DOCUMENTS
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`(book, magazine, journal, serial, symposium, catalog, etc), date, pages(s), volume-issue number(s),
`publisher, city and/or country where published.
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`D
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`T5
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`,_
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`PTO/SB/OSa (07-06)
`Approved for use through 0913012006. OMB 0651-0031
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`· .,..,., ,..,;nn .0."1 of 1995 nn """'nna o~ '""' "~" tn '"' ~"" tn g .-~n .. M;nn nf '
`' ''"'"co " ~~nbino a """" nu~ control number.
`.
`Complete if Known
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`
`Unclerlhe
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`/
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`Substitute for form 1449AIPTO
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`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
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`' - !=:h., .. t I
`
`(Use as many sheets as necessary)
`I nt I
`
`Application Number
`
`Filing Date
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`)
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`"""
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`First Named Inventor
`
`LUEBKE, Neill Hamilton
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`Art Unit
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`Examiner Name
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`
`Examiner
`ln~ials•
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`C~e
`No.'
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`U.S. PATENT DOCUMENTS
`Name of Patentee or
`Publication Date
`Applicant of C~ed Document
`MM-DD-YYYY
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`Pages, Columns, Lines, Where
`Relevant Passages or Relevant
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`Number-Kind Code2 IH••-I
`Lal Sachdeva, et al.
`us-6,431,863
`08-13-2002
`Fischer
`us- 6,422,865
`07-23-2002
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`•EXAMINER: ln~ial if reference considered, whether or not ~ation Is In conformanca with MPEP 609. Draw line through ~ation if not in conformance and not
`Include copy of this form with next communication to applicant. 1 Applicant's unique c~ation designation number (optional). 2 See Kinds Codes of
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`the appropriate symbols as indicated on the document under WIPO Standard ST.16 if possible. 6 Applicant is to place a check mark here if English language
`Translation Is attached.
`This collection of information is required by 37 CFR 1.97 and 1.98. The information is required to obtain or retain a benefrt by the public which is to file (and by the
`USPTO to process) an application. Confidential~y Is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 2 hours to complete,
`including gathering, preparing, and submttting 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
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`6009181
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`PTO/SB/08b (07-06)
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`/
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`Subst~ute for fonn 14498/PTO
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`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
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`4l ~~ AJ,_
`Comp!ete ifff{nQ
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`. -~
`
`~ --
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`""""
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`Application Number
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`Filing Date
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`First Named Inventor
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`LUEBKE, Neill Hamilton
`
`(Use as many sheets as necessary)
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`\... Sheet
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`I
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`I of
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`NON PATENT LITERATURE DOCUMENTS
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`./
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`Cite
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`Examiner
`Initials*
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`Include name of the author (in CAPITAL LETTERS), title of the article (when appropriate), title ofthe item (book,
`magazine, journal, serial, symposium, catalog, etc.), date, page(s), volume-issue number(s), publisher, city
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`Copy of International Search Report corresponding to PCT/US2005/019947, under date
`of mailing of 10 November 2005.
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`-······-··········- -·····--·+--------------------------------------·---1
`......................... .............. ---·----------------------------- ·------- .......... .
`
`[Examiner
`~1gnature
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`Date
`Considered
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`)
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`•EXAMINER: ln~ial if reference considered, whether or not citation is in confonnance with MPEP 609. Draw line through citation if not in conformance and not
`considered. Include copy of this fonn with next communication to applicant.
`1 Applicant's unique citation designation number (optional). 2 Applicant is to place a check mark here If English language Translation Is attached.
`This collection of infonnation is required by 37 CFR 1.97 and 1.98. The infonnation is required to obtain or retain a benefrt by the public which is to file (and by the
`USPTO to process) an application. Confidentlal~y is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 2 hours to complete,
`including gathering. preparing, and submitting the completed application fonn to the USPTO. Time will vary depending upon the individual case. Any comments
`on the amount of time you require to complete this fonn and/or suggestions for reducing this burden, should be sent to the Chief lnfonnation 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
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`PTO/SB/08a (01-10)
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`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`Filing Date
`First Named Inventor I Neill Hamilton Luebke
`Art Unit
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`Examiner Name
`
`I
`Attorney Docket Number
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`115207.00014
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