PTO-1390 (10-20)
`Approved for use through 16/31/2022. OMB 0657-0021
`US. Patent arc Trademark Office: U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995. no persons are required to respond to a collec’
`naiion unless it di
`3 a valid OMB contro!
`number.
`pesosene ee ee een nanaee eee eeet COR RR OnE
`;
`TRANSMITTAL LETTER TO THE UNITED STATES=[iogrrosuscrue.cvasus)|
`DESIGNATE DIELECTED OFFICE (DO/EQ/US)
`U.S. Application No. Gf known, see 37 CFR 1.5)
`CONCERNING A SUBMISSION UNDER 38 U.S.C. 371
`Unknown
`international Application No.
`|
`international Filing Date
`Priority Date Claimed
`POTICN201 9/1 26905
`20 December 2019
`
`7 Amendments fo the claims under PCT Aricle 19 are atlached Hot required if communicated by the International Bureau}
`“" (35 U.S.C. 371()(3)).
`English transtation of the PCT Article 19 amendment is attached (85 USC. 37 1(cH@).
`
`English transtation of annexes (Article 19 and/or 34 amendrnents only) of the International Preliminary Examination Report is
`attached (35 U.S.C. 371(o(5)}.
`Cancellation of amendments made in the Intemational
`
`phase
`
`.
`
`fgg? Do not enter the amendment made in the intemational phase under PCT Article 19.
`
`Bb. 1 Do not enter the amendment made in the international phase under PCT Article 34.
`
`NOTE: A proper amendment made in English under Aricle 19 or 34 will be entered in the US. national phase application absent a clear
`instruction from applicant not to enter the amendments}.
`
`The following tems 9 to 17 concern a document{s) or information included.
`
`9.
`
`An information Disclosure Statement under 37 CFR 1.97 and 1.98.
`
`10.3
`
`A preliminary amendment.
`
`47.
`
`An Application Data Sheet under 37 CFR 1.76.
`
`Applicant herewith submits ta the United States Designated/Elected Office (DO/EO/US} the following items and other information.
`4. | This is an express request fo begin national examination procedures (35 U.S.C. 371). NOTE: The express request under
`35 U.S.C. 3747(1 wil not be effective uniess the requirements under 35 U.S.C. 374ici1}, (2), and (4) for payment of the basic
`national fee, copy of the International Application and Enolish transiation thereof (if required}, and the oath or declaration of the
`inventor(s) have been received.
`A copy of the Infernational Application (35 ULS.C. 3774(c}{2)) is attached hereto (not required if the International Application was
`previously communicated by the Internalional Bureau or was filed in the United States Receiving Office (RO/US)).
`An English language translation of the international Application (25 U.S.C. 271(0(2))
`fi is attached hereta.
`fi hes been previously submilled under 35 U.S.C. 154(d)(4).
`An cath or declaration of the inventor(s) (35 U.S.C. 371(o){4y
`[a is attached.
`Pi was previously filed in the International phase under PCT Rule 4.7744.
`tems 5 to 8 below concern amendments made in the international shase.
`PCT Adicle 13 and 34 amendments
`
`
`
`hd A substitule specification, NOTE: A substitute specification cannot include claims. See 37 CFR 1.125{b).
`
`A power of atlomey and/or change of address letter.
`
`A computer-readable form of the sequence listing in accordance with POT Rule 13fer.3 and 37 CFR 1.821-1.825 (not required if
`sequence listing In text format was indicated on the PCT Request as part of the International Appiication and the sequence listing
`was published as part of the international application).
`
`Assignment papers (cover sheet and document(s}. Name of Assignee:
`
`37 GFR 3.73{c) Statement (when there is an Assignee).
`
`
`(and by the USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14 and 1.14. This collection is estimated to take 15
`minutes to complete, including gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the individual
`case. Any cormments on the amount of time you require io 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. SENR TO: Mail Stop PCT, Commissionerfor Patents, P.O. Box 1450, Alexandria, VA 22313-7450.
`
`

`

`FTO-1366 (10-20)
`Approved for use through 10/31/2022. OMB 0851-0021
`
`
`U.S. Patent and Trademark Office; US. DEPARTMENT OF COMMERCE
`— Under the Paperwork Reduction Actof 1995. nopersons are required te respondtoacoll
`Jinformalionunlessitdisplays a valid OMB contro! number.
`
`US. APPLN. No. Gf known — see 37 CFR 1.5)
`INTERNATIONAL APPLICATION No.
`§
`ATTORNEY BOCKET No.
`
`|PCT/CN2019/126905
`
`| 1063.105US (T-HE-0146-US) |
`
`Unknown
`
`17.1| Other tems or information:
`
`The following fees have been submitted.
`
`CALCULATIONS
`
`18. fa} Basic national fee (87 CFR 1.49208)occ ccc tect tees cteseee tesesevar senate snetaeenoneenes
`i Examination fee (37 CFR 7.492(c))
`~" s
`if the written opinion prepared by ISA/US orthe International preliminary examination report
`$8
`prepared by IPEA/US indicates all claims satisfy provisions of PCT Article 33(1)-(9...0000......
`All other SHUSHONS 00 cece cee eee etter tat cet titer tert tttitttititieeee $808
`earch fee (37 CFR 1.492(b))
`$ 840.00
`if the written opinion prepared by ISA/US or the international preliminary examination report
`prepared by IPEA/US indicates all claims satisfy provisions of PCTArticle S8()-(@.000000..|$8
`Search fee (7 CFR 1.445(a\(2)) has been paid on the international application fo the USPTO as
`an international Searching Authority .........
`bevttesececee. $449
`international Search Report prepared by an ISA other than the US and provided to the Office or
`previously communicated to the US by the IB.crete SE4G
`Al other situations 20000 cne cee veces nese e sees
`ee ces cectetti te teeter test seetertesentesesere OF OG
`
`| $800.00
`
`$ 320.00
`
`TOTAL OF 18, 19, and 20 =§$4660.00
`
`i Additional fee for specification and drawings filed in paper over 100 sheets (excluding sequence lisiing
`in compliance with 37 CFR 1.821(c) or (e) in an electronic medium or computer program listing in an
`electronic medium) (37 CFR 1.492@).
`
`§
`; $
`8
`
`Fee for each additional 50 sheets of paper or fraction thereof 00000 eerenee =$428
`
`Number of each additional 50 orfraction
`;
`= tes
`-
`
`Total Sheets|Extra Sheets thereof (round up to a whole number
`pe|
`
`furnishing any of the search fee, examination fee, or the oath or declaration after the date of
`Surcharge for
`commencement of the national stage G7 CFR 1.492(n).........
`bec leb be ietttectttttittitttsitee
`CLAIMS
`NUMBER FILED
`NUMBER EXTRA
`RATE
`
`;
`$460 §
`
`Total claims
`
`-20>
`
`TIPLE DEPENDENT CLAIM(S)(if applicabte)
`
`+ $860
`
`Processing fee for furnishing ihe English transiation jater than 30 months from the earliest claimed priorily date
`
`§
`
`[| Applicant asserts small entity status. See 37 CFR 1.27. Fees above are 1
`[| Applicant certifies micro entity status. See 37 CFR 1.29. Fees above are
`Applicant must attach form PTO/SB/15<4 or B or equivatent.
`
`Feefor recording the enclosed assignment (7 CFR 1.2710)}. The assignment must be accompanied by an
`
`+ is
`appropriate cover sheet (S7 CFR 3.28, 3.29)...eee eee $58.00 per property
`TOTAL FEES ENCLOSED =|
`
`{Page 2 of 3}
`
`

`

`
`
`Statement under 37 CFR 1.55 ar 1.78 for AIA (First Inventor to File} Transition Applications
`rt This application (1) claims prianily to or the benefit of an application filed before March 16, 2073, and (2) also contains, or contained at
`! any time, a claim to a claimed invention that has an effective fling date on or after March 18, 2043.
`NOTE 4: By providing this statement under 37 CFR 1.55 or 1.78, this aplication, with a filling date on or after March 16, 2073, will be
`examined under the first inventor to file provisions of the AA
`NOTE 2: AU.S. national stage application may not claim priority to the infernational application of which if is the national phase. The fiting
`date of a US. national stage application is the international filing date. See 35 U.S.C. 383.
`
`
`
`Name
`
`*
`
`:
`
`Approsved for use through[Oi2022. OMiB O85"0021
`
`PTO-1390 (10-20)
`
`Please charge my Deposit Account No.
`
`i
`
`j
`
`is
`
`to cover the above fees.
`
`The Directoris hereby authorized to charge additional fees which may be required, or credit any overpayment, fo Deposit Account
`No.
`80-1097
`as follows:
`
`[aa any required fee.
`[ol rea required fee except for excess olaims fees required under 37 CFR 1.492(q) and (e) and multiple dependent claim fee
`required under 37 CFR 1.492(%.
`Fees are to be charged to a credit card. WARNING:
`Information on this form may become public. Credit card information should not
`be included on this form. Provide credit card information and authorization on PTO-2038. The PTOQ-2038 should only be mailed or
`faxed to the USPTO. However, when paying the basic national fee, the PTO-2038 may NOT be faxed to the USPTO.
`
`|f fling by EFS-Web, do NOT attach the PTO-2038 form as a PBF slong with your EFS-Web submission. Please be
`ADVISORY:
`advised that this is not recommended and by deing so your credit card information may be displayed via PAIR. To protect your
`infomnation, itis recommended to pay fees online by using the electronic payment method.
`
`NOTE: Where an appropriate time limunder 37 CFR 1.495 has not been met, a petition to revive (37 CFR 1.437(a} or (b}} must be
`filed and granted to restore the International Application fa pending status.
`
`Correspondence Address
`
`[a| The address associated with Customer Number:
`
`20215
`
`OR PI Correspondence address below
`
`Address
`
`veuniy2 Teepnone fC
`
`ti No.e%yw)|Paul J. Palinski raeectenss, 171,080
`
`Regist
`
`{Page 3 of 3}
`
`

`

`Privacy Act Statement
`
`The Privacy Act of 1974 (P.L. 93-879} 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 ofthis information is 35 U.S.C. 2(b)(2):; (2)
`furnishing of the information solicited is voluntary; and G) the principal purpose for which the information is used by the
`U.S. Patent and Trademark Office is to process and/or examine your submission related to a patient application or
`patent.
`Hf you do not furnish ihe requested information, ihe U.S. Patent and Trademark Office may not be able to
`process and/or examine your submission, which may result in termination of proceedings or abandonment of the
`application or expiration of the patent.
`
`The information provided by you in this form will be subject to ihe following routine uses:
`
`1.
`
`ot
`
`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 Aci (5 ULS.C 8524). Records from this system of records may
`be disclosed to the Department of Justice to determine whether disclosure of these records is required by the
`Freedomof Information Act.
`A record from this sysiem of records may be disclosed, as a routine use, in the course of presenting evidence
`io a cour, magistrate, or administrative tribunal, including disclosures to opposing counsel in the course of
`setiiement negotiations.
`A record in this system of records may be disclosed, as a routine use, to a Member of Congress submitting a
`request involving an individual, to whomthe recor! pertains, when the individual has requested assistance from
`the Member with respect io 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 infarmation in order to perform a contracit. Recipienis ofinformation shail be required to comply
`with the requirements of the Privacy Act of 1974, as amended, pursuant io 5 U.S.C. 582a(m).
`A record related to an International Application filed under ihe Patent Cooperation Treaty in this system of
`records may be disclosed, as a routine use, io 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 anoiher federal agency for purposes
`of National Securily review (65 U.S.C. 184) and for review pursuant io the Atomic Energy Aci (42 U.S.C.
`218(0)}.
`A record from this system of records may be disclosed, as a routine use, to ihe Administrator, General
`Services, or his/her designee, during an inspection of records conducted by GSA as part of that agency’s
`responsibility fo recommend improvements in records management practices and programs, under authority of
`$4U 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 (Le, GSA or Commerce) directive. Such
`disclosure shall not be used to make delerminations about individuals.
`A record from this system of records may be disclosed, as a routine use, fo ihe public after elfher publication of
`the application pursuant io 35 U.S.C. 122(p) or issuance of a patent pursuant io 35 U.S.C. 151. Further, a
`record may be disclosed, subject to ihe imitations of 37 CFR 1.14, as a routine use, to the public if the record
`was filed in an application which became abandoned or 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, a5 a routine use, io a Federal, State, or local law
`enforcement agency, if ihe USPTO becomes aware of a viciation or potential violation of lawor regulation.
`
`