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.
`PTO Form 1478 (Rev 09/2006)
`
`OMB No. 0651-0009 (Exp 02/28/2021)
`
`Trademark/Service Mark Application, Principal Register
`
`Serial Number: 88844705
`Filing Date: 03/23/020
`
`The table below presents the data as entered.
`
`Input Field
`
`Entered
`
`SERIAL NUMBER
`
`MARK INFORMATION
`
`*MARK
`
`STANDARD CHARACTERS
`
`USPTO-GENERATED IMAGE
`
`LITERAL ELEMENT
`
`MARK STATEMENT
`
`REGISTER
`
`APPLICANT INFORMATION
`
`*OWNER OF MARK
`
`*MAILING ADDRESS
`
`*CITY
`
`88844705
`
`OTC DIRECT
`
`YES
`
`YES
`
`OTC DIRECT
`
`The mark consists of standard characters, without claim to any
`particular font style, size, or color.
`
`Principal
`
`Falcon Markets Limited
`
`63 Clapham Common West Side
`
`London
`
`*COUNTRY/REGION/JURISDICTION/U.S. TERRITORY
`
`United Kingdom
`
`*ZIP/POSTAL CODE
`(Required for U.S. and certain international addresses)
`
`SW49AU
`
`*EMAIL ADDRESS
`
`LEGAL ENTITY INFORMATION
`
`TYPE
`
`HBmail@hbiplaw.com
`
`limited company (ltd.)
`
`STATE/COUNTRY/REGION/JURISDICTION/U.S. TERRITORY
`WHERE LEGALLY ORGANIZED
`
`United Kingdom
`
`GOODS AND/OR SERVICES AND BASIS INFORMATION
`
`INTERNATIONAL CLASS
`
`009 
`
`*IDENTIFICATION
`
`Computer software; computer hardware; application software;
`application software for use in connection with advertising and
`retail services; application software relating to the operation of
`trading platforms; application software relating to the
`operation of trading platforms in connection with physical
`commodities; application software relating to the operation of
`trading platforms in connection with fuels, oils, gases, biofuels,
`fossil fuels, ethanol, crude oil and natural gas; computer
`software in connection with e-commerce; computer database
`software featuring information relating to the trading of
`physical commodities; parts and fittings for all of the aforesaid
`goods
`
`

`

`FILING BASIS
`
`FILING BASIS
`
`       FOREIGN APPLICATION NUMBER
`
`       FOREIGN APPLICATION
`       COUNTRY/REGION/JURISDICTION/U.S. TERRITORY
`
`       FOREIGN FILING DATE
`
`SECTION 1(b)
`
`SECTION 44(d)
`
`3437346
`
`United Kingdom
`
`10/17/2019
`
`       INTENT TO
`       PERFECT 44(d)
`
`FILING BASIS
`
`       FOREIGN REGISTRATION
`       NUMBER
`
`       FOREIGN REGISTRATION
`       COUNTRY/REGION/JURISDICTION/U.S. TERRITORY
`
`       FOREIGN REGISTRATION
`       DATE
`
`       FOREIGN REGISTRATION
`       EXPIRATION DATE
`
`       DATE FOREIGN REGISTRATION
`       RENEWED
`        (if applicable)
`
`INTERNATIONAL CLASS
`
`*IDENTIFICATION
`
`At this time, the applicant intends to rely on Section 44(e) as a
`basis for registration and requests that the application be
`suspended to await the submission of the foreign registration.
`If ultimately the applicant does not rely on §44(e) as a basis for
`registration, a valid claim of priority may be retained.
`
`SECTION 44(e)
`
`UK00003437346
`
`United Kingdom
`
`03/20/2020
`
`10/17/2029
`
`10/17/2029
`
`035 
`
`Trading, advertising and marketing services; online trading,
`advertising and marketing services; trading, advertising and
`marketing services in connection with physical commodities;
`trading, advertising and marketing services in connection with
`fuels, oils, gases, biofuels, fossil fuels, ethanol, crude oil and
`natural gas; online trading platforms for sellers and buyers of
`goods; operating online trading platforms in connection with
`physical commodities; operating online trading platforms in
`connection with fuels, oils, gases, biofuels, fossil fuels,
`ethanol, crude oil and natural gas; commercial trading services;
`sales administration; administration of commercial
`transactions; arranging commercial transactions; provision of
`commercial information; provision of information relating to
`fuels, oils, gases, biofuels, fossil fuels, ethanol, crude oil and
`natural gas; provision of commercial directory information;
`collection, compilation and systemisation of business data;
`preparation of business statistics; price comparison and
`analysis services; informational, advisory and consultancy
`services in connection with all of the aforesaid
`
`FILING BASIS
`
`FILING BASIS
`
`       FOREIGN APPLICATION NUMBER
`
`       FOREIGN APPLICATION
`       COUNTRY/REGION/JURISDICTION/U.S. TERRITORY
`
`       FOREIGN FILING DATE
`
`SECTION 1(b)
`
`SECTION 44(d)
`
`3437346
`
`United Kingdom
`
`10/17/2019
`
`       INTENT TO
`
`At this time, the applicant intends to rely on Section 44(e) as a
`basis for registration and requests that the application be
`suspended to await the submission of the foreign registration.
`
`

`

`       PERFECT 44(d)
`
`FILING BASIS
`
`       FOREIGN REGISTRATION
`       NUMBER
`
`       FOREIGN REGISTRATION
`       COUNTRY/REGION/JURISDICTION/U.S. TERRITORY
`
`       FOREIGN REGISTRATION
`       DATE
`
`       FOREIGN REGISTRATION
`       EXPIRATION DATE
`
`       DATE FOREIGN REGISTRATION
`       RENEWED
`        (if applicable)
`
`INTERNATIONAL CLASS
`
`*IDENTIFICATION
`
`FILING BASIS
`
`FILING BASIS
`
`       FOREIGN APPLICATION NUMBER
`
`       FOREIGN APPLICATION
`       COUNTRY/REGION/JURISDICTION/U.S. TERRITORY
`
`       FOREIGN FILING DATE
`
`       INTENT TO
`       PERFECT 44(d)
`
`FILING BASIS
`
`       FOREIGN REGISTRATION
`       NUMBER
`
`       FOREIGN REGISTRATION
`       COUNTRY/REGION/JURISDICTION/U.S. TERRITORY
`
`       FOREIGN REGISTRATION
`       DATE
`
`       FOREIGN REGISTRATION
`       EXPIRATION DATE
`
`       DATE FOREIGN REGISTRATION
`       RENEWED
`        (if applicable)
`
`INTERNATIONAL CLASS
`
`If ultimately the applicant does not rely on §44(e) as a basis for
`registration, a valid claim of priority may be retained.
`
`SECTION 44(e)
`
`UK00003437346
`
`United Kingdom
`
`03/20/2020
`
`10/17/2029
`
`10/17/2029
`
`036 
`
`Financial services; monetary services; money exchange
`services; currency exchange services; financial information
`relating to currencies; financial transaction services; payment
`services; payment administration services; valuation services;
`stockbrokerage services; commodities brokerage services;
`brokerage services in connection with fuels, oils, gases,
`biofuels, fossil fuels, ethanol, crude oil and natural gas;
`informational, advisory and consultancy services in connection
`with all of the aforesaid
`
`SECTION 1(b)
`
`SECTION 44(d)
`
`3437346
`
`United Kingdom
`
`10/17/2019
`
`At this time, the applicant intends to rely on Section 44(e) as a
`basis for registration and requests that the application be
`suspended to await the submission of the foreign registration.
`If ultimately the applicant does not rely on §44(e) as a basis for
`registration, a valid claim of priority may be retained.
`
`SECTION 44(e)
`
`UK00003437346
`
`United Kingdom
`
`03/20/2020
`
`10/17/2029
`
`10/17/2029
`
`042 
`
`IT services; design and development of computer hardware
`and software; cloud computing services; design and
`development of computer software, software applications and
`
`

`

`*IDENTIFICATION
`
`FILING BASIS
`
`FILING BASIS
`
`       FOREIGN APPLICATION NUMBER
`
`       FOREIGN APPLICATION
`       COUNTRY/REGION/JURISDICTION/U.S. TERRITORY
`
`       FOREIGN FILING DATE
`
`       INTENT TO
`       PERFECT 44(d)
`
`FILING BASIS
`
`       FOREIGN REGISTRATION
`       NUMBER
`
`       FOREIGN REGISTRATION
`       COUNTRY/REGION/JURISDICTION/U.S. TERRITORY
`
`       FOREIGN REGISTRATION
`       DATE
`
`       FOREIGN REGISTRATION
`       EXPIRATION DATE
`
`       DATE FOREIGN REGISTRATION
`       RENEWED
`        (if applicable)
`
`ATTORNEY INFORMATION
`
`NAME
`
`ATTORNEY DOCKET NUMBER
`
`ATTORNEY BAR MEMBERSHIP NUMBER
`
`YEAR OF ADMISSION
`
`U.S. STATE/ COMMONWEALTH/ TERRITORY
`
`FIRM NAME
`
`STREET
`
`CITY
`
`STATE
`
`COUNTRY/REGION/JURISDICTION/U.S. TERRITORY
`
`ZIP/POSTAL CODE
`
`PHONE
`
`FAX
`
`application programming interfaces; software as a service
`(SaaS); application service provider (ASP) services;
`application service provider (ASP) services, namely, hosting,
`managing, developing, and maintaining applications, software,
`platforms and websites; application service provider (ASP),
`namely, hosting, managing, developing, and maintaining
`trading platforms on the internet; electronic storage of data;
`informational, advisory and consultancy services in connection
`with all of the aforesaid
`
`SECTION 1(b)
`
`SECTION 44(d)
`
`3437346
`
`United Kingdom
`
`10/17/2019
`
`At this time, the applicant intends to rely on Section 44(e) as a
`basis for registration and requests that the application be
`suspended to await the submission of the foreign registration.
`If ultimately the applicant does not rely on §44(e) as a basis for
`registration, a valid claim of priority may be retained.
`
`SECTION 44(e)
`
`UK00003437346
`
`United Kingdom
`
`03/20/2020
`
`10/17/2029
`
`10/17/2029
`
`Matthew J. Solow
`
`2427-53
`
`XXX
`
`XXXX
`
`XX
`
`HOFFMANN & BARON, LLP
`
`6900 Jericho Turnpike
`
`Syosset
`
`New York
`
`United States
`
`11791-4407
`
`973-331-1700
`
`973-331-1717
`
`

`

`EMAIL ADDRESS
`
`MJSdocket@hbiplaw.com
`
`OTHER APPOINTED ATTORNEY
`
`Daniel A. Scola Jr., Salvatore J. Abbruzzese, Michael I.
`Chakansky, John S. Sopko, Andrea M. Wilkovich, Stephen J.
`Brown and Leila Marcovici all members of the Bar of the State
`of New Jersey and each of them of HOFFMANN & BARON,
`LLP, 4 Century Drive,Suite 300, Parsippany, New Jersey
`07054; and Ronald J. Baron, Glenn T. Henneberger, Anthony
`E. Bennett, Steven T. Zuschlag, Susan A. Sipos, Kevin E.
`McDermott, James F. Harrington, Mark E. Baron, Lauren T.
`Emr, Alexander G. Vodovozov, Silvana M. Merlino, John T.
`Gallagher, Celeste M. Butera and Wayne L. Ellenbogen all
`members of the Bar of the State of New York and each of them
`of HOFFMANN & BARON, LLP, 6900 Jericho Turnpike,
`Syosset, New York 11791
`
`CORRESPONDENCE INFORMATION
`
`NAME
`
`Matthew J. Solow
`
`PRIMARY EMAIL ADDRESS FOR CORRESPONDENCE
`
`MJSdocket@hbiplaw.com
`
`SECONDARY EMAIL ADDRESS(ES) (COURTESY COPIES)
`
`NOT PROVIDED
`
`FEE INFORMATION
`
`APPLICATION FILING OPTION
`
`NUMBER OF CLASSES
`
`APPLICATION FOR REGISTRATION PER CLASS
`
`*TOTAL FEES DUE
`
`*TOTAL FEES PAID
`
`SIGNATURE INFORMATION
`
`SIGNATURE
`
`SIGNATORY'S NAME
`
`SIGNATORY'S POSITION
`
`SIGNATORY'S PHONE NUMBER
`
`DATE SIGNED
`
`TEAS Standard
`
`4
`
`275
`
`1100
`
`1100
`
`/matthew j. solow/
`
`Matthew J. Solow
`
`Attorney of record, NJ Bar member
`
`973-331-1700
`
`03/23/2020
`
`

`

`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.
`PTO Form 1478 (Rev 09/2006)
`
`OMB No. 0651-0009 (Exp 02/28/2021)
`
`Trademark/Service Mark Application, Principal Register
`
`To the Commissioner for Trademarks:
`
`Serial Number: 88844705
`Filing Date: 03/23/020
`
`MARK: OTC DIRECT (Standard Characters, see mark)
`The literal element of the mark consists of OTC DIRECT. The mark consists of standard characters, without claim to any particular font style,
`size, or color.
`The applicant, Falcon Markets Limited, a limited company (ltd.) legally organized under the laws of United Kingdom, having an address of
`      63 Clapham Common West Side
`      London SW49AU
`      United Kingdom
`      HBmail@hbiplaw.com
`
`requests registration of the trademark/service mark identified above in the United States Patent and Trademark Office on the Principal Register
`established by the Act of July 5, 1946 (15 U.S.C. Section 1051 et seq.), as amended, for the following:
`
`International Class 009:  Computer software; computer hardware; application software; application software for use in connection with
`advertising and retail services; application software relating to the operation of trading platforms; application software relating to the operation of
`trading platforms in connection with physical commodities; application software relating to the operation of trading platforms in connection with
`fuels, oils, gases, biofuels, fossil fuels, ethanol, crude oil and natural gas; computer software in connection with e-commerce; computer database
`software featuring information relating to the trading of physical commodities; parts and fittings for all of the aforesaid goods
`Intent to Use: The applicant has a bona fide intention, and is entitled, to use the mark in commerce on or in connection with the identified
`goods/services.
`
`Priority based on foreign filing: The applicant has a bona fide intention, and is entitled, to use the mark in commerce on or in connection with the
`identified goods/services and asserts a claim of priority based on United Kingdom application number 3437346, filed 10/17/2019.
`INTENT TO PERFECT 44(d) : At this time, the applicant intends to rely on Section 44(e) as a basis for registration and requests that the
`application be suspended to await the submission of the foreign registration. If ultimately the applicant does not rely on §44(e) as a basis for
`registration, a valid claim of priority may be retained.
`
`Based on Foreign Registration: The applicant has a bona fide intention, and is entitled, to use the mark in commerce on or in connection with the
`identified goods/services, and will submit a copy of United Kingdom registration number UK00003437346, and/or proof of renewal, registered
`03/20/2020 with a renewal date of 10/17/2029 and an expiration date of 10/17/2029, and translation thereof, if appropriate.
`
`International Class 035:  Trading, advertising and marketing services; online trading, advertising and marketing services; trading, advertising and
`marketing services in connection with physical commodities; trading, advertising and marketing services in connection with fuels, oils, gases,
`biofuels, fossil fuels, ethanol, crude oil and natural gas; online trading platforms for sellers and buyers of goods; operating online trading
`platforms in connection with physical commodities; operating online trading platforms in connection with fuels, oils, gases, biofuels, fossil fuels,
`ethanol, crude oil and natural gas; commercial trading services; sales administration; administration of commercial transactions; arranging
`commercial transactions; provision of commercial information; provision of information relating to fuels, oils, gases, biofuels, fossil fuels,
`ethanol, crude oil and natural gas; provision of commercial directory information; collection, compilation and systemisation of business data;
`preparation of business statistics; price comparison and analysis services; informational, advisory and consultancy services in connection with all
`of the aforesaid
`Intent to Use: The applicant has a bona fide intention, and is entitled, to use the mark in commerce on or in connection with the identified
`goods/services.
`
`Priority based on foreign filing: The applicant has a bona fide intention, and is entitled, to use the mark in commerce on or in connection with the
`identified goods/services and asserts a claim of priority based on United Kingdom application number 3437346, filed 10/17/2019.
`INTENT TO PERFECT 44(d) : At this time, the applicant intends to rely on Section 44(e) as a basis for registration and requests that the
`application be suspended to await the submission of the foreign registration. If ultimately the applicant does not rely on §44(e) as a basis for
`registration, a valid claim of priority may be retained.
`
`Based on Foreign Registration: The applicant has a bona fide intention, and is entitled, to use the mark in commerce on or in connection with the
`
` 
`

`

`identified goods/services, and will submit a copy of United Kingdom registration number UK00003437346, and/or proof of renewal, registered
`03/20/2020 with a renewal date of 10/17/2029 and an expiration date of 10/17/2029, and translation thereof, if appropriate.
`
`International Class 036:  Financial services; monetary services; money exchange services; currency exchange services; financial information
`relating to currencies; financial transaction services; payment services; payment administration services; valuation services; stockbrokerage
`services; commodities brokerage services; brokerage services in connection with fuels, oils, gases, biofuels, fossil fuels, ethanol, crude oil and
`natural gas; informational, advisory and consultancy services in connection with all of the aforesaid
`Intent to Use: The applicant has a bona fide intention, and is entitled, to use the mark in commerce on or in connection with the identified
`goods/services.
`
`Priority based on foreign filing: The applicant has a bona fide intention, and is entitled, to use the mark in commerce on or in connection with the
`identified goods/services and asserts a claim of priority based on United Kingdom application number 3437346, filed 10/17/2019.
`INTENT TO PERFECT 44(d) : At this time, the applicant intends to rely on Section 44(e) as a basis for registration and requests that the
`application be suspended to await the submission of the foreign registration. If ultimately the applicant does not rely on §44(e) as a basis for
`registration, a valid claim of priority may be retained.
`
`Based on Foreign Registration: The applicant has a bona fide intention, and is entitled, to use the mark in commerce on or in connection with the
`identified goods/services, and will submit a copy of United Kingdom registration number UK00003437346, and/or proof of renewal, registered
`03/20/2020 with a renewal date of 10/17/2029 and an expiration date of 10/17/2029, and translation thereof, if appropriate.
`
`International Class 042:  IT services; design and development of computer hardware and software; cloud computing services; design and
`development of computer software, software applications and application programming interfaces; software as a service (SaaS); application
`service provider (ASP) services; application service provider (ASP) services, namely, hosting, managing, developing, and maintaining
`applications, software, platforms and websites; application service provider (ASP), namely, hosting, managing, developing, and maintaining
`trading platforms on the internet; electronic storage of data; informational, advisory and consultancy services in connection with all of the
`aforesaid
`Intent to Use: The applicant has a bona fide intention, and is entitled, to use the mark in commerce on or in connection with the identified
`goods/services.
`
`Priority based on foreign filing: The applicant has a bona fide intention, and is entitled, to use the mark in commerce on or in connection with the
`identified goods/services and asserts a claim of priority based on United Kingdom application number 3437346, filed 10/17/2019.
`INTENT TO PERFECT 44(d) : At this time, the applicant intends to rely on Section 44(e) as a basis for registration and requests that the
`application be suspended to await the submission of the foreign registration. If ultimately the applicant does not rely on §44(e) as a basis for
`registration, a valid claim of priority may be retained.
`
`Based on Foreign Registration: The applicant has a bona fide intention, and is entitled, to use the mark in commerce on or in connection with the
`identified goods/services, and will submit a copy of United Kingdom registration number UK00003437346, and/or proof of renewal, registered
`03/20/2020 with a renewal date of 10/17/2029 and an expiration date of 10/17/2029, and translation thereof, if appropriate.
`
`The owner's/holder's proposed attorney information: Matthew J. Solow. Other appointed attorneys are Daniel A. Scola Jr., Salvatore J.
`Abbruzzese, Michael I. Chakansky, John S. Sopko, Andrea M. Wilkovich, Stephen J. Brown and Leila Marcovici all members of the Bar of the
`State of New Jersey and each of them of HOFFMANN & BARON, LLP, 4 Century Drive,Suite 300, Parsippany, New Jersey 07054; and Ronald
`J. Baron, Glenn T. Henneberger, Anthony E. Bennett, Steven T. Zuschlag, Susan A. Sipos, Kevin E. McDermott, James F. Harrington, Mark E.
`Baron, Lauren T. Emr, Alexander G. Vodovozov, Silvana M. Merlino, John T. Gallagher, Celeste M. Butera and Wayne L. Ellenbogen all
`members of the Bar of the State of New York and each of them of HOFFMANN & BARON, LLP, 6900 Jericho Turnpike, Syosset, New York
`11791. Matthew J. Solow of HOFFMANN & BARON, LLP, is a member of the XX bar, admitted to the bar in XXXX, bar membership no.
`XXX, and the attorney(s) is located at
`      6900 Jericho Turnpike
`      Syosset, New York 11791-4407
`      United States
`      973-331-1700(phone)
`      973-331-1717(fax)
`      MJSdocket@hbiplaw.com
`The docket/reference number is 2427-53.
`Matthew J. Solow submitted the following statement: The attorney of record is an active member in good standing of the bar of the highest court
`of a U.S. state, the District of Columbia, or any U.S. Commonwealth or territory.
`The applicant's current Correspondence Information:
`      Matthew J. Solow
`       PRIMARY EMAIL FOR CORRESPONDENCE: MJSdocket@hbiplaw.com       SECONDARY EMAIL ADDRESS(ES) (COURTESY
`
`

`

`COPIES): NOT PROVIDED
`
`Requirement for Email and Electronic Filing: I understand that a valid email address must be maintained by the applicant owner/holder and
`the applicant owner's/holder's attorney, if appointed, and that all official trademark correspondence must be submitted via the Trademark
`Electronic Application System (TEAS).
`A fee payment in the amount of $1100 has been submitted with the application, representing payment for 4 class(es).
`
`Basis:
`If the applicant is filing the application based on use in commerce under 15 U.S.C. § 1051(a):
`
`Declaration
`
`The signatory believes that the applicant is the owner of the trademark/service mark sought to be registered;
`The mark is in use in commerce and was in use in commerce as of the filing date of the application on or in connection with the
`goods/services in the application;
`The specimen(s) shows the mark as used on or in connection with the goods/services in the application and was used on or in
`connection with the goods/services in the application as of the application filing date; and
`To the best of the signatory's knowledge and belief, the facts recited in the application are accurate.
`
`And/Or
`If the applicant is filing the application based on an intent to use the mark in commerce under 15 U.S.C. § 1051(b), § 1126(d),
`and/or § 1126(e):
`
`The signatory believes that the applicant is entitled to use the mark in commerce;
`The applicant has a bona fide intention to use the mark in commerce and had a bona fide intention to use the mark in commerce as
`of the application filing date on or in connection with the goods/services in the application; and
`To the best of the signatory's knowledge and belief, the facts recited in the application are accurate.
`
`To the best of the signatory's knowledge and belief, no other persons, except, if applicable, concurrent users, have the right to use the
`mark in commerce, either in the identical form or in such near resemblance as to be likely, when used on or in connection with the
`goods/services of such other persons, to cause confusion or mistake, or to deceive.
`
`To the best of the signatory's knowledge, information, and belief, formed after an inquiry reasonable under the circumstances, the
`allegations and other factual contentions made above have evidentiary support.
`
`The signatory being warned that willful false statements and the like are punishable by fine or imprisonment, or both, under 18 U.S.C. §
`1001, and that such willful false statements and the like may jeopardize the validity of the application or submission or any registration
`resulting therefrom, declares that all statements made of his/her own knowledge are true and all statements made on information and
`belief are believed to be true.
`Declaration Signature
`
`Signature: /matthew j. solow/   Date: 03/23/2020
`Signatory's Name: Matthew J. Solow
`Signatory's Position: Attorney of record, NJ Bar member
`Payment Sale Number: 88844705
`Payment Accounting Date: 03/23/2020
`
`Serial Number: 88844705
`Internet Transmission Date: Mon Mar 23 17:54:27 ET 2020
`TEAS Stamp: USPTO/BAS-XXX.XX.XXX.XXX-202003231754278
`38517-88844705-710ed76d9f2edd1aca424e927
`e34a663cbe74a0b193cdb964b4db307a54dede28
`9d-CC-54266073-20200323171310786537
`
` 
`

`

`OTC DIRECT
`
`