Docket Number: 115207.00007
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Applicant:
`Filed:
`For:
`
`Neill H. Luebke
`December 23, 2011
`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.
`
`The references cited on the attached Information Disclosure Statement have
`
`already been cited and submitted by the Applicants or Examiner in U.S. Patent
`
`Application No. 12/977,625 from which the present application claims priority.
`
`Therefore, Applicants are not submitting copies 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.
`
`Applicants respectfully request 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.
`
`Date: December 23, 2011
`
`Respectfully submitted,
`
`/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
`
`QB\15413574.1
`
`1 of 266
`
`PGR2015-00019 - Ex. 1037
`US ENDODONTICS, LLC., Petitioner
`
`

`
`Application/Control No.
`
`Applicant(s)/Patent Under
`Reexamination
`LUEBKE, NEILL HAMILTON
`
`Examiner
`
`MATTHEW NELSON
`
`Art Unit
`
`3776
`
`U.S. PATENT DOCUMENTS
`
`*
`
`Document Number
`Country Code-Number-Kind Code
`
`Date
`MM-YYYY
`
`Name
`
`Classification
`
`US-4,490, 112 A
`
`A
`B US-5,080,584 A
`c US-5,653,590 A
`D US-5,775,902 A
`E US-6,206,695 81
`F US-6,375,458 81
`G US-6,431 ,863 81
`H US-6,428,634 81
`US-2002/0191878 A 1
`
`I
`
`US-2004/0121283 A 1
`
`J
`K US-7,137,815 82
`US-
`
`L
`M US-
`
`12-1984
`
`Tanaka et al.
`
`01-1992
`
`08-1997
`
`07-1998
`
`03-2001
`
`04-2002
`
`08-2002
`
`08-2002
`
`Karabin, Roger J.
`
`Heath et al.
`
`Matsutani et al.
`
`Wong et al.
`
`Moorleghem et al.
`
`Sachdeva et al.
`
`Bessel ink et al.
`
`12-2002
`
`Ueda et al.
`
`06-2004
`
`Mason, Robert M.
`
`11-2006
`
`Matsutani et al.
`
`433/20
`
`433/20
`
`433/102
`
`433/102
`
`433/102
`
`433/2
`
`433/102
`
`148/421
`
`384/492
`
`433/102
`
`433/102
`
`*
`
`Document Number
`Country Code-Number-Kind Code
`
`Date
`MM-YYYY
`
`Country
`
`Name
`
`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
`
`v
`
`w
`
`X
`
`2 of 266
`
`PGR2015-00019 - Ex. 1037
`US ENDODONTICS, LLC., Petitioner
`
`

`
`, 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
`
`Filing Date
`
`First Named Inventor
`
`Neill H. Luebke
`
`Art Unit
`
`Examiner Name
`
`Attorney Docket Number
`
`Matthew M. Nelson
`
`Examiner
`Initials*
`
`Cite
`No. 1
`
`Document Number
`
`U_ S_ PATENT DOCUMENTS
`Publication Date
`Name of Patentee or
`Applicant of Cited Document
`MM-DD-YYYY
`
`Pages, Columns, Lines, Where
`Relevant Passages or Relevant
`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.
`US-
`US-
`US-
`···---- ···········---·····-US-
`US-
`.............. ··-------US-
`US-
`···---- ···········---·····-
`US-
`US-
`.............. ··-------US-
`US-
`···········---·····-US-
`US-
`.............. ··-------
`US-
`US-
`
`...........
`
`. ....
`
`........................................................ Ji·
`
`...........
`
`. ....
`
`...........
`
`. ....
`
`........................................................ Ji·
`
`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
`
`······································································································--··--·----··--·----···----·······································································································-
`
`............................................................................................................................................................................................................................................................. _
`........................................................................................................................................................................................................................................ _
`
`------·----··························································································--···--·----··----·--···----·····················································---------------------------------------------------
`
`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,
`including gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any comments
`on the amount of time you require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent
`and Trademark Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS
`ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`If you need assistance in completing the form, ca/11-800-PT0-9199 and select option 2.
`
`3 of 266
`
`PGR2015-00019 - Ex. 1037
`US ENDODONTICS, LLC., Petitioner
`
`

`
`PTO/SB/08a (03-09)
`Doc code: IDS
`Approved for use through 03/31/2009. 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
`3732
`I Matthew M. Nelson
`Attorney Docket Number
`
`Examiner Name
`
`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
`
`7175655
`
`81
`
`2007-02-13
`
`Molaci
`
`If you wish to add additional U.S. Patent citation information please click the Add button.
`
`U.S.PATENT APPLICATION PUBLICATIONS
`
`Examiner Cite
`Initial*
`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
`
`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
`
`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.
`
`D
`
`T5
`
`,_
`
`4 of 266
`
`PGR2015-00019 - Ex. 1037
`US ENDODONTICS, LLC., Petitioner
`
`

`
`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
`.
`
`Unclerlhe
`
`/
`
`Substitute for form 1449AIPTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`' - !=:h., .. t I
`
`(Use as many sheets as necessary)
`I nt I
`
`Application Number
`
`Filing Date
`
`)
`
`"""
`
`First Named Inventor
`
`LUEBKE, Neill Hamilton
`
`Art Unit
`
`Examiner Name
`
`- -
`
`Attorney Docket Number
`
`./
`
`Examiner
`ln~ials•
`
`C~e
`No.'
`
`Document Number
`
`U.S. PATENT DOCUMENTS
`Name of Patentee or
`Publication Date
`Applicant of C~ed Document
`MM-DD-YYYY
`
`Pages, Columns, Lines, Where
`Relevant Passages or Relevant
`Figures Appear
`
`Number-Kind Code2 IH••-I
`Lal Sachdeva, et al.
`us-6,431,863
`08-13-2002
`Fischer
`us- 6,422,865
`07-23-2002
`·us: 6.42=8:..::.,6:...::34.-=------+-..:0:.:.8......:-=::0:....:6=:-2::::0:::0_2 __ +B.....:e.:..s.:..se.:..:l:....in_k_, -e-t a-1-. - - - - -11 - - - - - - - - - - - l
`
`US-
`
`US-
`
`US-
`
`US-
`
`US-
`
`US·
`
`US-
`
`US-
`
`US-
`
`US-
`
`US-
`us-
`US-
`
`US-
`
`US-
`
`Examiner
`lnttlals•
`
`Cite
`No.'
`
`ForeiQn Patent Document
`
`
`
`Country Code' 'Number 4 l<ind Code" (if known)
`
`Publication Date
`MM-DD-YYYY
`
`Name of Patentee or
`Applicant of C~ed Document
`
`FOREIGN PATENT DOCUMENTS
`
`-oooooooooooooooo · - - • oooooooooooooooooooooOOOOOOOOOOOOOooooooooooOOoOOOOOOOOOOOOOOOOOOOOoOOOOOOOOOOOOOOOOOO+------I••oooOOOOOOOOooooooooooooooooooooooooooooOOOOOooooo
`
`Pages, Columns, Lines,
`Where Relevant Passages
`or Relevant Fiaures Appear
`
`ooooooOoOoOOOOOOOoOoooooooooooooooOoooOooOOOOOOOo t(cid:173)
`
`oooooooooOOoOOOOOOO
`
`ooooooooooo ooooooooooooOOOOOOOoooooooooooooooooooooooooooooooooooooooooooooooOooooooooooooooooooo+------ " " " " " " " ' " " " " " ' ' " " " " " " " " " " " " '"""""""""""'""""'"'"'""""'"1--
`
`ooooooooooooOooOoOO ooooooooooo " ' " " " " ' " " " " " " " " " " " " " " " " " " " " " " ' " " " " " " " " ' " " " " " " . , , . __ , _ __ _ " " " " " " " " " " " ' " ' " " " " ' ' " " ' " " " " " " " " " " " " " " " ' " " " " " " " ' " ' ' ' " " " " t-
`_ ............ _. · -......................................................................................... f-.-------- .................................................................................................... 1 - -
`
`[ ~~~
`
`~ I
`
`J
`
`~
`~~
`•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
`considered.
`Include copy of this form with next communication to applicant. 1 Applicant's unique c~ation designation number (optional). 2 See Kinds Codes of
`USPTO Patent Documents at www.uspto.gov 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 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
`ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`_
`1
`
`6009181
`If you need assistance in completing the form, call 1-800-PT0-9199 and select option 2.
`
`5 of 266
`
`PGR2015-00019 - Ex. 1037
`US ENDODONTICS, LLC., Petitioner
`
`

`
`PTO/SB/08b (07-06)
`Approved for use through 09/30/2006. OMB 0651-0031
`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 infonnation unless~ contains a valid OMB control number.
`
`/
`
`Subst~ute for fonn 14498/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`4l ~~ AJ,_
`Comp!ete ifff{nQ
`
`. -~
`
`~ --
`
`""""
`
`Application Number
`
`Filing Date
`
`First Named Inventor
`
`LUEBKE, Neill Hamilton
`
`(Use as many sheets as necessary)
`
`\... Sheet
`
`I
`
`I of
`
`I
`
`Art Unit
`
`Examiner Name
`
`Attorney Docket Number
`
`NON PATENT LITERATURE DOCUMENTS
`
`./
`
`Cite
`No.'
`
`Examiner
`Initials*
`
`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
`and/or country where published.
`Copy of International Search Report corresponding to PCT/US2005/019947, under date
`of mailing of 10 November 2005.
`·····--·············- ·······-··t---·-----------·--- ----------------
`.................... _ ······---··1---- -------------------- -------------·--- ......... ..
`
`···················-- ···········-· -----·---·----·----------------------------------1
`•••"•••-• f----·-----·-- -------·--------------------·- .......... .
`
`f--••••••oo•••••oo••-
`
`r-.................. _, ·······-·t--------------------------------··---·---·-··---------.......... .
`
`-····················- ········--··r----·-------------------·----------·----- .......... .
`
`r---···············- ............. r-·--------------------·- -----------------------1
`
`-······-··········- -·····--·+--------------------------------------·---1
`......................... .............. ---·----------------------------- ·------- .......... .
`
`[Examiner
`~1gnature
`
`Date
`Considered
`
`)
`
`•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
`ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`If you need assistance in completing the form, call 1-800-PT0-9199 and select option 2.
`
`6 of 266
`
`PGR2015-00019 - Ex. 1037
`US ENDODONTICS, LLC., Petitioner
`
`

`
`PTO/SB/05 (08-08)
`Approved for use through 06/30/2010. OMB 0651-0032
`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 displavs a valid OMB control number.
`115207.00007
`
`Attorney Docket No.
`
`"""'
`
`First Inventor
`
`Title
`
`Neill H. Luebke
`
`Dental and Medical Instruments Comprising Titanium
`
`UTILITY
`PATENT APPLICATION
`TRANSMITTAL
`
`r
`
`'
`
`(Only for new nonprovisional applications under 37 CFR 1.53(b))
`
`Express Mail Label No.
`
`.I
`
`APPLICATION ELEMENTS
`See MPEP chapter 600 concerning utility patent application contents.
`
`ADDRESS TO:
`
`Commissioner for Patents
`P.O. Box 1450
`Alexandria VA 22313-1450
`
`1.0 Fee Transmittal Form (e.g., PTO/SB/17)
`
`ACCOMPANYING APPLICATION PARTS
`
`2.1JZl Applicant claims small entity status.
`See 37 CFR 1.27.
`[Total Pages 18
`3.[i2] Specification
`Both the claims and abstract must start on a new page
`(For information on the preferred arrangement, see MPEP 608.01(a))
`[Total Sheets 7
`4.~ Drawing(s) (35 U.S. C. 113)
`
`5. Oath or Declaration
`
`[Total Sheets 2
`
`b.
`
`A copy from a prior application (37 CFR 1.63(d))
`
`a. ~ Newly executed (original or copy)
`0or continuation/divisional with Box 18 completed)
`
`i.
`
`DELETION OF INVENTOR(S)
`Signed statement attached deleting inventor(s)
`name in the prior application, see 37 CFR
`1.63(d)(2) and 1.33(b).
`
`6.0 Application Data Sheet. See 37 CFR 1. 76
`
`7.0 CD-ROM or CD-R in duplicate, large table or
`caputer Program (Appendix)
`Landscape Table on CD
`
`8. Nucleotide and/or Amino Acid Sequence Submission
`(if applicable, items a. - c. are required)
`Computer Readable Form (CRF)
`a. 0
`b.
`Specification Sequence Listing on:
`
`1
`
`I
`1
`
`9. 0
`
`Assignment Papers (cover sheet & document(s))
`
`Name of Assignee
`
`10. 0
`
`37 CFR 3.73(b) Statement
`(when there is an assignee)
`
`OPowerof
`Attorney
`
`11.0 English Translation Document (if applicable)
`
`12. ~ lnfoEj'tion Disclosure Statement (PTO/SB/08 or PT0-1449)
`Copies of citations attached
`
`13. 0
`
`Preliminary Amendment
`
`14. O Return Receipt Postcard (MPEP 503)
`(Should be specifically itemized)
`
`15. O Certified Copy of Priority Document(s)
`(if foreign priority is claimed)
`
`16. 0 Nonpublication Request under 35 U.S.C. 122(b)(2)(B)(i).
`Applicant must attach form PTO/SB/35 or equivalent.
`
`0
`i.
`ii. 0
`
`CD-ROM or CD-R (2 copies); or
`Paper
`
`17. 0 Other:
`
`Statements verifying identity of above copies
`C. 0
`18. If a CONTINUING APPLICATION, check appropriate box, and supply the requisite information below and in the first sentence of the
`specification following the title, or in an Application Data Sheet under 37 CFR 1. 76:
`
`~ Continuation
`
`0
`
`Divisional
`
`0
`
`Continuation-in-part (CIP)
`
`Prior application information:
`
`Examiner Matthew Nelson
`
`of prior application No.: . 1.~(9?.?·.El~~-············
`Art Unit: 3776
`
`0 The address associated with Customer Number: 126710
`
`I OR D Correspondence address below
`
`19. CORRESPONDENCE ADDRESS
`
`Name
`
`Address
`
`City
`
`Country
`
`Signature
`
`Name
`_(Print/Type)
`
`I State
`
`1 Telephone
`
`Zip Code
`
`Email
`
`/Richard T. Roche/
`
`Richard T. Roche
`
`1 Date December 23, 2011
`Registration No. I
`(Attorney/A!=)ent) 38,599
`
`This collection of information is required by 37 CFR 1.53(b). 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 1.11 and 1.14. This collection is estimated to take 12 minutes to
`complete, including gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any
`comments on the amount of time you require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer,
`U.S. Patent and Trademark Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED
`FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`If you need assistance in completing the form, call 1-800-PT0-9199 and select option 2.
`
`15445355
`
`7 of 266
`
`PGR2015-00019 - Ex. 1037
`US ENDODONTICS, LLC., Petitioner
`
`

`
`Electronic Patent Application Fee Transmittal
`
`Application Number:
`
`Filing Date:
`
`Title of Invention:
`
`Dental and Medical Instruments Comprising Titanium
`
`First Named Inventor/Applicant Name:
`
`Neill H Luebke
`
`Filer:
`
`RichardT. Roche
`
`Attorney Docket Number:
`
`Filed as Small Entity
`
`Utility under 35 USC 111 (a) Filing Fees
`
`Description
`
`Fee Code
`
`Quantity
`
`Amount
`
`Sub-Total in
`USD($)
`
`Basic Filing:
`
`Utility filing Fee (Electronic filing)
`
`Utility Search Fee
`
`Utility Examination Fee
`
`4011
`
`2111
`
`2311
`
`1
`
`1
`
`1
`
`95
`
`310
`
`125
`
`95
`
`310
`
`125
`
`Pages:
`
`Claims:
`
`Miscellaneous-Filing:
`
`Petition:
`
`Patent-Appeals-and-Interference:
`
`8 of 266
`
`PGR2015-00019 - Ex. 1037
`US ENDODONTICS, LLC., Petitioner
`
`

`
`Description
`
`Fee Code
`
`Quantity
`
`Amount
`
`Sub-Total in
`USD($)
`
`Post-Allowance-and-Post-Issuance:
`
`Extension-of-Time:
`
`Miscellaneous:
`
`Total in USD ($)
`
`530
`
`9 of 266
`
`PGR2015-00019 - Ex. 1037
`US ENDODONTICS, LLC., Petitioner
`
`

`
`Electronic Acknowledgement Receipt
`
`EFSID:
`
`Application Number:
`
`11702410
`
`13336579
`
`International Application Number:
`
`Confirmation Number:
`
`4379
`
`Title of Invention:
`
`Dental and Medical Instruments Comprising Titanium
`
`First Named Inventor/Applicant Name:
`
`Neill H Luebke
`
`Customer Number:
`
`26710
`
`Filer:
`
`RichardT. Roche
`
`Filer Authorized By:
`
`Attorney Docket Number:
`
`Receipt Date:
`
`23-DEC-2011
`
`Filing Date:
`
`TimeStamp:
`
`15:12:34
`
`Application Type:
`
`Utility under 35 USC 111 (a)
`
`Payment information:
`
`Submitted with Payment
`
`Payment Type
`
`Payment was successfully received in RAM
`
`RAM confirmation Number
`
`Deposit Account
`
`Authorized User
`
`File Listing:
`Document I
`Number
`
`yes
`
`Deposit Account
`
`$530
`
`2037
`
`170055
`
`Document Description
`
`I
`
`File Name
`
`I
`
`File Size( Bytes)/ I Multi 'I Pages
`(ifappl.)
`Message Digest
`Part /.zip
`
`10 of 266
`
`PGR2015-00019 - Ex. 1037
`US ENDODONTICS, LLC., Petitioner
`
`

`
`1
`
`Oath or Declaration filed
`
`Luebke_00007 _Decl.pdf
`
`no
`
`2
`
`107668
`
`a440f6609fdadc0b6b78dd58edeefe3330e
`40b2
`
`Warnings:
`
`Information:
`
`2
`
`Luebke_00007 _Spec. pdf
`
`yes
`
`18
`
`105890
`
`6ae19a45a80e43c14 77316481 b4cc25aa03
`d713c
`
`Multipart Description/PDF files in .zip description
`
`Document Description
`
`Start
`
`End
`
`Specification
`
`Claims
`
`Abstract
`
`Warnings:
`
`Information:
`
`3
`
`Drawings-only black and white line
`drawings
`
`Warnings:
`
`Information:
`
`14
`
`17
`
`18
`
`1
`
`15
`
`18
`
`131351
`
`Luebke_00007 _Drawings.pdf
`
`no
`
`7
`
`03 042 68e926b2c5 Od 3 81 57 aS c2 9895 8f53 c
`a1172
`
`4
`
`Information Disclosure Statement (IDS)
`Form (SB08)
`
`Luebke_00007 _IDS. pdf
`
`no
`
`6
`
`1325379
`
`68fa3a 1f6d8f7c3541 c59b65e8d44 72f5daa
`e33b
`
`Warnings:
`
`Information:
`
`This is not an USPTO supplied IDS fillable form
`
`5
`
`Transmittal Letter
`
`Transmittal.pdf
`
`no
`
`1
`
`201304
`
`Warnings:
`
`Information:
`
`bc3a71 fde717e94975b7a376a0d4dd94bb 1
`055d7
`
`32393
`
`6
`
`Fee Worksheet (SB06)
`
`fee-info. pdf
`
`no
`
`2
`
`6d 825c95 b0d2b 1696b4b3 7 a9fff1 facS bfed
`4d77
`
`Warnings:
`
`Information:
`
`Total Files Size (in bytes)
`
`1903985
`
`11 of 266
`
`PGR2015-00019 - Ex. 1037
`US ENDODONTICS, LLC., Petitioner
`
`

`
`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 Applications 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 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/E0/903 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 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 181 0), a Notification of the International Application Number
`and of the International Filing Date (Form PCT/R0/1 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.
`
`12 of 266
`
`PGR2015-00019 - Ex. 1037
`US ENDODONTICS, LLC., Petitioner
`
`

`
`(09-04)
`Approved for use through 07/3112006. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995 no persons are reouired to res end to a collection of information unless ij contains a valid OMB control number.
`Attorney Docket
`Number
`First Named Inventor
`
`115207.00002
`
`LUEBKE, Neill Hamilton
`COMPLETE IF KNOWN
`
`DECLARATION FOR UTILITY OR
`DESIGN
`PATENT APPLICATION
`(37 CFR 1.63)
`D Dedaration
`
`Dedaration
`Submitted
`With Initial
`Filing
`
`OR
`
`Submitted after Initial
`Filing (surcharge
`(37 CFR 1.16 (e))
`required)
`
`Application Number
`
`Filing Date
`
`Art Unit
`
`Examiner Name
`
`I hereby declare that:
`
`Each inventor's residence, mailing address, and citizenship are as stated below next to their name.
`
`I believe the inventor(s) named below to be the original and first inventor(s) of the subject matter which is claimed and for
`which a patent is sought on the invention entitled:
`
`DENTAL AND MEDICAL INSTRUMENTS COMPRISING TITANIUM
`
`the specification of which
`D
`
`is attached hereto
`
`(Title of the Invention)
`
`OR
`[2] was filed on (MM/DDNYYY) I 07 Jun 05 (07.06.05) I as United States Application Number or PCT International
`I PCT/USOS/019947 I and was amended on (MM/DDNYYY)
`..... 1 _______ _.1
`I hereby state that I have reviewed and understand the contents of the above identified specification, including the claims, as
`amended by any amendment specifically referred to above.
`
`Application Number
`
`(if applicable).
`
`I acknowledge the duty to disclose information which is material to patentability as defined in 37 CFR 1.56, including for
`continuation-in-part applications, material information which became available between the filing date of the prior application
`and the national or PCT international filing date of the continuation-in-part application.
`I hereby claim foreign priority benefits under 35 U.S.C. 119(a)-(d) or (f), or 365(b) of any foreign application(s) for patent,
`inventor's or plant breeder's rights certificate(s), or 365(a} of any PCT international application which designated at least one
`country other than the United States of America, listed below and have also identified below, by checking the box, any foreign
`application for patent, inventor's or plant breeder's rights certificate(s), or any PCT international application having a filing date
`before that of the application on which priority is claimed.
`Prior Foreign Application
`Foreign Filing Date
`Number(s)
`(MM/DDIYYYY)
`
`Country
`
`L J
`
`Priority
`Not Claimed
`
`D
`D
`D
`D
`
`Additional foreign application numbers are listed on a supplemental priority data sheet PTO/SB/028 attached hereto.
`[Page 1 of 2)
`This collection of information is required by 35 U.S.C. 115 and 37 CFR 1.63. 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 1.11 and 1.14. This collection is estimated to take 21
`minutes to complete, including gathering, preparing, and submitting the completed application fomn to the USPTO. Time will vary depending upon the individual
`case. Any comments on the amount of time you require to complete this fonm and/or suggestions for reducing this burden, should be sent to the Chief lnfonmation
`Officer, U.S. Patent and Trademark Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED
`FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`If you need assistance completing the form, call 1-800-PT0-9199 and select option 2.
`
`Certified Copy Attached?
`NO
`YES
`
`D
`D
`0
`D
`
`0
`D
`D
`0
`
`5883562
`
`13 of 266
`
`PGR2015-00019 - Ex. 1037
`US ENDODONTICS, LLC., Petitioner
`
`

`
`....
`
`(09-04)
`Approved for use through 07/31/2006. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paoerwork Reduction Act of 1995 no oersons are reauired Ia resoond to a collection of information unless it contains a valid OMB control number.
`
`DECLARATION - Utility or Design Patent Application
`
`Direct all
`correspondence to:
`
`[l] The address
`associated with
`Customer Number:
`
`I
`
`26710
`
`OR D Correspondence
`
`address below
`
`I
`
`Name
`ROCHE, Richard T., QUARLES & BRADY LLP
`Address
`411 E. Wisconsin Avenue
`City
`Milwaukee
`Country
`us
`414-271-3552
`414-277-5805
`I hereby declare that all statements made herein of my own knowledge are true and that all statements made on information
`and belief are believed to be true; and further that these statements were made with the knowledge that willful false
`statements and the like so made are punishable by fine or imprisonment, or both, under 18 U.S.C. 1001 and that such willful
`false statements may jeopardize the validity of the application or any patent issued thereon.
`
`J State
`WI
`
`I Telephone
`
`I Fax
`
`I ZIP
`
`53202
`
`I D A petition has been filed for this unsigned inventor
`I Date 1 -l7 .CJ r;;.
`
`Family Name or Surname
`LUEBKE
`
`I Country
`us
`
`Citizenship
`us
`
`I Country
`I Zip
`us
`53045-1204
`D A petition has been filed for this unsigned inventor
`I Family Name or Surname
`I Date
`
`I Country
`
`Citizenship
`
`NAME OF SOLE OR FIRST INVENTOR:
`Given Name (first and middle [if any])
`Neill Hamilton
`/1
`/?
`lnvep//;;zf!JI ~«e
`.
`v State
`WI
`
`I
`
`Resicfende: City
`Brookfield
`Mailing Address
`18010 Continental Drive
`
`City
`Brookfield
`
`State
`WI
`
`NAME OF SECOND INVENTOR:
`Given Name (first and middle [if any])
`
`Inventor's Signature
`
`Residence: City
`
`State
`
`Mailing Address
`
`City
`
`State
`
`Zip
`
`Country
`
`_D Additional inventors or a legal representative are being named on the
`
`supplemental sheet(s) PTO/SB/02A or 02LR attached hereto.
`
`[Page 2 of 2)
`
`5883562
`
`14 of 266
`
`PGR2015-00019 - Ex. 1037
`US ENDODONTICS, LLC., Petitioner
`
`

`
`Dental and Medical Instruments Comprising Titanium
`
`Dock