`Approved for use through 01/31/2013. OMB 0651-0031
`U.S. Patent and Trademark Office; US. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number.
`
`STATEMENT UNDER 37 CFR 3.73(c)
`Applicant/Patent Owner: Elm 3DS Innovations, LLC
`
`Application No./Patent No.: 8,841,778
`Filed/Issue Date: 99-23-2014
`
`Titleg. THREE DIMENSIONAL STRUCTURE MEMORY
`
`Elm 3DS Innovations, LLC
`_a corporation
`(Nameof Assignee)
`(Type of Assignee, e.g., corporation, partnership, university, government agency,etc.)
`
`states that, for the patent application/patent identified above, it is (choose oneof options 1, 2, 3 or 4 below):
`
`1.
`
`The assignee of the entire right, title, and interest.
`
`2. [| An assignee of less than the entireright,title, and interest (check applicable box):
`|_| The extent (by percentage)of its ownershipinterestis
`%. Additional Statement(s) by the owners
`holding the balance of the interest must be submitted to account for 100% of the ownership interest.
`L] There are unspecified percentages of ownership. Theotherparties, including inventors, who together ownthe entire
`right, title and interest are:
`
`Additional Statement(s) by the owner(s) holding the balance of the interest must be submitted to account for the entire
`right, title, and interest.
`3. L] The assignee of an undividedinterestin the entirety (a complete assignment from oneofthe joint inventors was made).
`The other parties, including inventors, who together own the entire right, title, and interest are:
`
`
`
`Additional Statement(s) by the owner(s) holding the balance of the interest must be submitted to account for the entire
`right, title, and interest.
`4. C The recipient, via a court proceeding orthe like (e.g., bankruptcy, probate), of an undividedinterestin the entirety (a
`complete transfer of ownership interest was made). The certified document(s) showing the transfer is attached.
`
`The interest identified in option 1, 2 or 3 above (not option 4) is evidenced by either (choose one of options A or B below):
`
`A. [J An assignmentfrom the inventor(s) of the patent application/patentidentified above. The assignment wasrecordedin
`the United States Patent and Trademark Office at Reel
`, Frame
`, or for which a copy
`thereof is attached.
`
`B.
`
`A chain oftitle from the inventor(s), of the patent application/patent identified above, to the current assignee as follows:
`
`1. From: Leedy, Glen J. To: Elm Technology Corporation
`
`The document was recorded in the United States Patent and Trademark Office at
`Ree! 034221
`0916
`, or for which a copy thereofis attached.
`, Frame
`
`2. From: Elm Technology Corporation To: 3DS IP Holdings LLC
`
`The document was recorded in the United States Patent and Trademark Office at
`Ree! 934265
`, Frame 0871
`, or for which a copy thereofis attached.
`
`[Page 1 of 2]
`This collection of information is required by 37 CFR 3.73(b). The information is required to obtain or retain a benefit by the public whichis tofile (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 uponthe 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 FORMSTO THIS ADDRESS. SEND
`TO: Commissionerfor Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`Ifyou need assistance in completing the form, call 1-800-PTO-9199 and select option 2.
`
`
`
`PTO/AIA/96 (08-12)
`Approved for use through 01/31/2013. 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 information unlessit displays a valid OMB control number.
`
`STATEMENT UNDER 37 CFR 3.73(c)
`
`. 3DS IP Holdings LLC
`
`To: Elm 3DSInnovations, LLC
`
`The document was recordedin the United States Patent and Trademark Office at
`Reel 034476
`, Frame 0994
`, or for which a copy thereofis attached.
`
`To:
`
`The document was recordedin the United States Patent and Trademark Office at
`
`Reel
`
`, Frame
`
`, or for which a copy thereofis attached.
`
`To:
`
`The document was recordedin the United States Patent and Trademark Office at
`
`Reel
`
`, Frame
`
`, or for which a copy thereofis attached.
`
`To:
`
`The document was recordedin the United States Patent and Trademark Office at
`
`Reel
`
`, Frame
`
`, or for which a copy thereofis attached.
`
`[|
`
`Additional documents in the chain oftitle are listed on a supplemental sheet(s).
`
`
`
`The undersigned (whose title is supplied below) is authorized to act on behalf of the assignee.
`/James T. Carmichael/
`2019-09-24
`
`
`Signature
`Date
`James T. Carmichael
`
`Printed or Typed Name
`
`[] As required by 37 CFR 3.73(c)(1)(i), the documentary evidence of the chain oftitle from the original ownerto the
`assignee was, or concurrently is being, submitted for recordation pursuant to 37 CFR 3.11.
`
`[NOTE: A separate copy(i.e., a true copy of the original assignment document(s)) must be submitted to Assignment
`Division in accordance with 37 CFR Part 3, to record the assignment in the records of the USPTO. See MPEP 302.08]
`
`45,306
`
`Title or Registration Number
`
`[Page 2 of 2]
`
`
`
`Privacy Act Statement
`
`The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection with your
`submission of the attached form related to a patent application or patent. Accordingly, pursuant to the
`requirements of the Act, please be advised that: (1) the general authority for the collection of this information is 35
`U.S.C. 2(b)(2); (2) furnishing of the information solicited is voluntary; and (3) the principal purpose for which the
`information is used by the U.S. Patent and TrademarkOffice is to process and/or examine your submission related
`to a patent application or patent.
`If you do not furnish the requested information, the U.S. Patent and Trademark
`Office may not be able to process and/or examine your submission, which mayresult in termination of proceedings
`or abandonmentof the application or expiration of the patent.
`
`The information provided by you in this form will be subject to the following routine uses:
`
`1. The information on this form will be treated confidentially to the extent allowed under the Freedom of
`Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 552a). Records from this system of records
`may be disclosed to the Department of Justice to determine whether disclosure of these recordsis
`required by the Freedom of Information Act.
`A record from this system of records may be disclosed, as a routine use, in the course of presenting
`evidenceto a court, magistrate, or administrative tribunal, including disclosures to opposing counselin the
`course of settlement negotiations.
`A record in this system of records maybedisclosed, as a routine use, to a Member of Congress
`submitting a request involving an individual, to whom the record pertains, when the individual has
`requested assistance from the Member with respect to the subject matter of the record.
`A record in this system of records may be disclosed, as a routine use, to a contractor of the Agency
`having need for the information in order to perform a contract. Recipients of information shall be required
`to comply with the requirements of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C. 552a(m).
`A record related to an International Application filed under the Patent Cooperation Treaty in this system of
`records may be disclosed, as a routine use, to the International Bureau of the World Intellectual Property
`Organization, pursuant to the Patent Cooperation Treaty.
`A record in this system of records may be disclosed, as a routine use, to another federal agencyfor
`purposesof National Security review (35 U.S.C. 181) and for review pursuant to the Atomic Energy Act
`(42 U.S.C. 218(c)).
`A record from this system of records may bedisclosed, as a routine use, to the Administrator, General
`Services, or his/her designee, during an inspection of records conducted by GSAaspart of that agency’s
`responsibility to recommend improvements in records managementpractices and programs, under
`authority of 44 U.S.C. 2904 and 2906. Such disclosure shall be made in accordance with the GSA
`regulations governing inspection of records for this purpose, and any other relevant (/.e., GSA or
`Commerce) directive. Such disclosure shall not be used to make determinations about individuals.
`A record from this system of records may be disclosed, as a routine use, to the public after either
`publication of the application pursuant to 35 U.S.C. 122(b) or issuance of a patent pursuant to 35 U.S.C.
`151. Further, a record may be disclosed, subject to the limitations of 37 CFR 1.14, as a routine use, to the
`public if the record wasfiled in an application which became abandonedor in which the proceedings were
`terminated and which application is referenced by either a published application, an application open to
`public inspection or an issued patent.
`A record from this system of records may be disclosed, as a routine use, to a Federal, State, or local law
`enforcement agency,if the USPTO becomes awareof a violation or potential violation of law or regulation.
`
`