Case 1:20-cv-00034-ADA Document 44-3 Filed 03/20/20 Page 1 of 16
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`Exhibit 2
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`Case 1:20-cv-00034-ADA Document 44-3 Filed 03/20/20 Page 2 of 16
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`..... ___;.
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`UNITED STATES PATENT AND lRADEMARK 0FF1CE
`
`UNITE D STATES DEPARTMENT OP COMMEIIC E
`United St.ataa Potent. .a.nd rrr.o.diQn\.Ol'k Offi,-o
`AddreH: CO MM1SSIONER OF PATENTS AND T IIADI!:MARKS
`Wuh ln.ton. D.C . 202S1
`w w w .1.1111plo.fi;O'Y
`
`NOTICE OF ALLOWANCE AND FEE(S) DUE
`
`03/28/2002
`
`7590
`SPENCER AND FRANK
`SUITE 300 EAST
`1100 NEW YORK A VENUE NW
`WASHINGTON, DC 200053955
`
`APPLICATION NO.
`
`09/ 164,777
`
`FILING DATE
`
`10/01/1998
`
`FIRST NAMED INVENTOR
`
`MIKIMULLOR
`
`EXAMINER
`
`HEWITI II, CALVJN L
`
`ART UNIT
`
`CLASS-SUBCLASS
`
`2161
`
`705-059000
`
`DATE MAILED: 03/28/2002
`
`I ATTORNEY DOCKET NO. I CONFIRMATION NO.
`
`RE!NC4237.0l
`
`7068
`
`TITLE OF INVENTION: METHOD OF RESTRICTING SOFTWARE OPERATION WITHIN A LICENSE LIMITATION
`
`TOTAL CLAIMS
`
`19
`
`APPLN. TYPE
`nonprovisional .
`
`,
`
`SMALL ENTITY
`
`ISSUE FEE
`
`PUBLICATION FEE
`
`TOTAL FEE(S) DUE
`
`YES
`
`$640
`
`$0
`
`$640
`
`DATE DUE
`
`06/2812002
`
`THE APPLICATION IDENTIFIED ABOVE HAS BEEN EXAMINED AND IS ALLOWED FOR ISSUANCE AS A PATENT.
`PROSECUTION ON IHE MERITS IS CLOSED. THIS NOTICE OF ALLOWANCE IS NOT A GRANT OF PATENT RIGHTS.
`THIS APPLICATION IS SUBJECT TO WITHDRAW AL FROM ISSUE AT THE JNITIA TIVE OF THE OFFICE OR UPON
`PETITION BY THE APPLICANT. SEE 37 CFR 1.313 AND MPEP 1308.
`THE ISSUE FEE AND PUBLICATION FEE (IF REQUIRED) MUST BE PAID WITHIN THREE MONTHS FROM THE
`MAILING DA TE OF THIS NOTICE OR THIS APPLICATION SHALL BE REGARDED AS ABANDONED. THIS STATUTORY
`PERIOD CANNOT JlE EXTENDED. SEE 35 U.S.C. 151. THE ISSUE FEE DUE INDICATED ABOVE REFLECTS A CREDIT
`FOR ANY PREVIOUSLY PAID ISSUE FEE APPLIED IN TRIS APPLICATION. THE PTOL-858 (OR AN EQUIVALENT)
`MUST BE RETURNED WITHIN THIS PERIOD EVEN IF NO FEE IS DUE OR THE APPLICATION WILL BE REGARDED AS
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`HOW TO REPLY TO THIS NOTICE:
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`A. If the status is changed, pay the PUBLICATION FEE (if required)
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`United States Patent and Trademark Office of the change in status, or
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`If the SMALL ENTITY is shown as NO:
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`D Applicant claims SMALL ENTITY status.
`See 37 CFR 1.27.
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`II. PART B - FEE(S) TRANSMITTAL should be completed and returned to the United States Patent and Trademark Office (USPTO) with
`your ISSUE FEE and PUBLICATION FEE (if required). Even if the fee(s) have already been paid, Part B - Fee(s) Transmittal should be
`completed and returned. If you are charging the fee(s) to your deposit account, section "4b" of Part B - Fee(s) Transmittal should be
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`PTOL-85 (REV. 07-0 1) Approved for use through 01/31/2004.
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`Page I of3
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`ANCORA_00000445
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`

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`~ART B - FEE(S) TRANSMITTAL ..
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`Case 1:20-cv-00034-ADA Document 44-3 Filed 03/20/20 Page 3 of 16
`· - ~··.-.\
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`ComplHe and mail this form, together with applicable fee(s), to:
`
`Box ISSUE FEE
`Assistant Commissioner for Patents
`Washington, D.C. 20231
`
`MAILING INSTRUCTIONS: This form should be used for transm1tling the ISSUE FEE and PUBLICATION FEE (if required).. Blocks l through 4 should be completed
`where appropriate. All further com:spondencc including lhe Patent, advance orders and notification of maintenance fees will lie mailed to the current correspondence address as
`indicated unless corrected below or directed otherwise in Block I, by (a) specifying a new correspondence address; and/or (b) indicating a separate "FEE ADDRESS" for
`maintenance fee notifications.
`CURRENT CORRESPONDENCE ADDRESS (Nol<: Legibly mark-up will> any com,ciions or IISe Block I)
`
`OJ/2812002
`
`7590
`SPENCER AND FRANK
`SUITE 300 EAST
`I IOO NEW YORK A VENUE NW
`WASHINGTON, DC 200053955
`
`Note: The certificate of mailing below can only be used for domestic
`mailings of lhe Fee(s) Transmittal. This certificate cannot be used for any
`other accompanying papers. Each additional paper, such as an assignment
`or formal drawing, must have its own certificate of mailing.
`Certlficate or Mailing
`I hereby certify that lhis Fee(s) Transmittal is being deposited with the
`United States Postal Service wilh sufficient postage for first class mail in an
`envelope addressed to the Box Issue Fee address above on the date
`indicated below.
`
`APPL!CA TION NO.
`
`FIRST NAMED INVENTOR
`FILING DATE
`MIKI MULLOR
`10/01/1998
`09/164,777
`TITLE OF INVENTION: METHOD OF RESTRJCTING SOFTWARE OPERATION WITHIN A LICENSE LIMITATION
`
`I ATTORNEY DOCKET NO. I CONFIRMATION NO.
`
`REINC4237.0I
`
`7068
`
`(Dq,o,ito(s name)
`
`(Signa1un:)
`
`(D•1<)
`
`TOTAL CLAIMS
`
`19
`
`APPLN. TYPE
`nonprovisional
`
`SMALL ENTITY
`
`ISSUE FEE
`
`PUBLICATION FEE
`
`TOTAL FEE(S) DUE
`
`YES
`
`$640
`
`$0
`
`$640
`
`DATE DUE
`
`06/2812002
`
`EXAMINER
`HEWITT 11, CALVIN L
`
`ART UNIT
`2161
`
`CLASS-SUBCLASS
`705--059000
`
`I. Change of correspondence address or indication of "Fee Address" (3 7
`CFR 1.363). Use of PTO form(s) and Customer Number are recommended,
`but not required.
`
`0 Change of correspondence address ( or Change of Correspondence
`Address form PTO/SB/122) attached.
`0 "Fee Address" indication (or "Fee Address" Indication form
`PTO/SB/4 7) attached.
`
`2. For printing on lhc patent front page, list (I)
`the names of up to 3 registered patent attorneys
`or agents OR, alternatively, (2) the name of a
`single firm (having as a member a registered
`attorney or agent) and the names of up to 2
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`is listed, no name will be printed.
`
`2. _ ________ _
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`3 _ _______ _
`
`3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
`PLEASE NOTE: Unless an assignee is identified below, no assignee data will appear on the patent. Inclusion of assignee data is only appropriate when an assignment has
`been previously submitted to the US PTO or is being submitted under separate cover. Completion of this form is NOT a substitute for filing an assignment.
`(B) RESIDENCE: (CITY and STATE OR COUNTRY)
`(A) NAME OF ASSIGNEE
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`Please check the appropriate assignee category or categories (will not be printed on the patent)
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`0 individual O corporation or other private group entity O government
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`4a. The following fee(s) are enclosed:
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`The COMMISSIONER OF PATENTS AND TRADEMARKS is requested to apply the Issue Fee and Publication Fee (if any) or to re-apply any previously paid issue fee to the
`application identified above.
`(Authorized Signature)
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`(Date)
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`NOTE; The Issue Fee and Pubhcat1on Fee (if required) w11! not be accepted from anyone
`other than the applicant; a registered attorney or agent; or the assignee or other party in
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`Burden Hour Statement: This form is estimated to take 0.2 hours to complete. Time will vary
`depending on the needs of the individual case. Any comments on the amount of time required
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`and Trademark Office, Washington. D.C. 20231. DO NOT SEND FEES OR COMPLETED
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`Under the Paperwork Reduction Act of 1995, no Jlersons arc required to respond to a
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`TRANSMIT THIS FORM WITH FEE(S)
`PTOL-85 (REV. 07-0 I) Approved for use through O 1/31/2004. 0MB 0651--0033
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`
`ANCORA_00000446
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`

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`Case 1:20-cv-00034-ADA Document 44-3 Filed 03/20/20 Page 4 of 16
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`..
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`UNITED STATES DEPARTMt::NT OP COMlltERCE
`Unit.ad St.a.t-oa Patout Aud TradOJ».111rk Offico
`AddreH: COMMISSIONER OF PATENTS AND TRADEMARKS
`Waah.ingt.on, 0 .C . ZOz:u
`www.u•pLO.(i;oY
`
`•
`
`UNITED STATES PATENT AND TRADEMARK 0FF1CE
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO .
`
`09/164,777
`
`10/01/1998
`
`MIKIMULLOR
`
`REINC4237.01
`
`7068
`
`03/28n002
`
`7590
`SPENCER AND FRANK
`SUITE 300 EAST
`I I 00 NEW YORK A VENUE NW
`WASHINGTON, DC 200053955
`
`EXAMINER
`
`HEWITT II, CAL VIN L
`
`ART UNIT
`
`2161
`
`DATE MAILED: 03/28/2002
`
`PAPER NUMBER
`
`Determination of Patent Term Extension under 35 U.S.C.154 (b)
`(application filed after June 7, 1995 but prior to May 29, 2000)
`
`The patent term extension is O days. Any patent to issue from the above identified application will include an
`indication of the Oday extension on the front page.
`
`If a continued prosecution application (CPA) was filed in the above-identified application, the filing date that
`determines patent term extension is the filing date of the most recent CPA.
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`Applicant will be able to obtain more detailed information by accessing the Patent Application Information
`Retrieval (PAIR) system. (http://pair.uspto.gov)
`
`PTOL-85 (REV. 07-01) Approved for use th.rough 01/31/2004.
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`Page 3 of3
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`ANCORA_00000447
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`Case 1:20-cv-00034-ADA Document 44-3 Filed 03/20/20 Page 5 of 16
`9""
`
`Application N_o.
`
`Applicant( s)
`
`••
`
`Notice of Allowability
`
`09/164,777
`Examiner
`
`MULLOR ET AL.
`Art Unit
`
`Calvin L Hewitt II
`
`2161
`
`- The MAILING DA TE of this communication appears on the cover sheet with the correspondence address-(cid:173)
`All claims being allowable, PROSECUTION ON THE MERITS IS (OR REMAINS) CLOSED in this application. If not included
`herewith (or previously mailed), a Notice of Allowance (PTOL-85) or other appropriate communication will be mailed in due course. THIS
`NOTICE OF ALLOWABILITY IS NOT A GRANT OJ. PATENT RIGHTS. This application is subject to withdrawal from issue at the initiative
`of the Office or upon petition by the applicant. See 37 CFR 1.313 and MPEP 1308.
`
`1. 18] This communication is responsive to 2-5-02.
`2. ~ The allowed claim(s) is/are 1-10.13 and 16-23.
`3. D The drawings filed on __ are accepted by the Examiner.
`4. [81 Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
`a)~ All
`b) 0 Some• c) 0 None
`of the:
`1. ~ Certified copies of the priority documents have been received.
`2. 0 Certified copies of the priority documents have been received in Application No. __ .
`
`3. 0 Copies of the certified copies of the priority documents have been received in this national stage application from the
`International Bureau (PCT Rule 17.2(a)).
`• Certified copies not received: __ .
`5. D Acknowledgment is made of a claim for domestic priority under 35 U.S.C. § 119(e) (to a provisional application).
`(a) D The translation of the foreign language provisional application has been received .
`6. D Acknowledgment is made of a claim for domestic priority under 35 U.S.C. §§ 120 and/or 121 .
`
`Applicant has THREE MONTHS FROM THE "MAILING DATE" of this communication to file a reply complying with the requirements noted
`below. Failure to timely comply will result in ABANDONMENT of this application. THIS THREE-MONTH PERIOD IS NOT EXTENDABLE.
`
`7. 0 A SUBSTITUTE OATH OR DECLARATION must be submitted. Note the attached EXAMINER'S AMENDMENT or NOTICE OF
`INFORMAL PATENT APPLICATION (PT0-152) which gives reason(s) why the oath or declaration is deficient.
`
`8. 0 CORRECTED DRAWINGS must be submitted.
`including changes required by the Notice of Draftsperson's Patent Drawing Review ( PT0-948) attached
`(a) 0
`1) 0 hereto or 2) 0
`to Paper No. __ .
`
`(b) 0
`(c) 0
`
`including changes required by the proposed drawing correction filed __ , which has been approved by the Examiner.
`including changes required by the attached Examiner's Amendment/ Comment or in the Office action of Paper No. __ .
`
`Identifying indicia such as the application number (see 37 CFR 1.84(c)) should be written on the drawings in the top margin (not the back)
`of each sheet. The drawings should be filed as a separate paper with a transmittal letter addressed to the Official Draftsperson.
`
`9. 0 DEPOSIT OF and/or INFORMATION about the deposit of BIOLOGICAL MATERIAL must be submitted. Note the
`attached Examiner's comment regarding REQUIREMENT FOR THE DEPOSIT OF BIOLOGICAL MATERIAL.
`
`Attachment(s)
`
`1 ~ Notice of References Cited (PT0-892)
`30 Notice of Draftperson's Patent Drawing Review (PT0-948)
`5~ Information Disclosure Statements (PT0-1449), Paper No. J1.
`70 Examiner's Comment Regarding Requirement for Deposit
`of Biological Material
`
`20 Notice of Informal Patent Application (PT0-152)
`4C8] Interview Summary (PT0-413), Paper No.14 .
`6~ Examiner's Amendment/Comment
`8C8] Examiner's Statement of Reasons for Allowance
`90 Other
`
`U.S. Patent and Trademark Office
`PT0-37 {Rev. 04-01)
`
`Notice of Allowabllity
`
`Part of Paper No. 14 . ,
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`ANCORA_00000448
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`Case 1:20-cv-00034-ADA Document 44-3 Filed 03/20/20 Page 6 of 16
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`* )4/P.
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`,fv<-
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`c)-... )Y
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`Page 2
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`...
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`Application/Control Number: 09/164, 777
`Art Unit: 2161
`
`Status of Claims
`
`1.
`
`Claims 1-10, 13, and 16-23 have been examined.
`
`Examiner's Amendment
`
`2.
`
`An examiner's amendment to the record appears below. Should the
`
`changes and/or additions be unacceptable to applicant, an amendment may be
`
`filed as provided by 37 CFR 1.312. To ensure consideration of such an
`
`amendment, it MUST be submitted no later than the payment of the issue fee.
`
`Authorization for this examiner's amendment was given in a telephone
`
`interview with Jeffri Kaminski on 19 February 2002.
`
`3.
`
`The application has been amended as follows:
`v
`In claim 1, line 2, replace "(BIOS)" with BIOS.
`/
`In claim 1, line 3, replace " ... computer, _ and" with " ... computer, and"
`
`inserted in line 6, as the second limitation after "loading the application .. . "
`
`and before "extracting license information ... ", detailing that the steps of
`
`•.
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`ANCORA_00000449
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`Case 1:20-cv-00034-ADA Document 44-3 Filed 03/20/20 Page 7 of 16
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`Application/Control Number: 09/164, 777
`Art Unit: 2161
`
`Page 3
`
`"encrypting ... ", "storing ... ", and "subsequently verifying ... 11 are performed
`
`by the agent. This does not apply, however, to the "acting .. . 11 limitation.
`
`Reasons for Allowance
`
`4.
`
`Claims 1-10, 13, and 16-19 have been allowed. The instant application
`
`teaches a method for restricting software use by storing a verification structure in
`
`a computer BIOS.
`
`It is well known to those of ordinary skill in the art of software licensing to
`
`monitor the use of software using special code that enforces the preferences of
`
`the software provider (e.g. creator, distributor, or service provider}, or provider
`
`and end-user, by restricting the manner in which an end-user can manipulate
`
`(e.g. print, save, redistribute, customize) the software. For example, Ginter et al.
`
`(US 5,892,900) implement their software distribution system by dynamically
`
`linking a verification structure, such as a PERC or permission record, to software
`
`content that dynamically control how the software, and its associated
`
`administrative data, may be distributed and used (column 155, lines 46-51 ).
`
`Misra et al. (US 6,189,146) disclose a method for licensing software that uses
`
`agents to manage software licenses, and stores the licenses in persistent non(cid:173)
`
`volatile storage (column 12, lines 8-31 ). Neither reference teaches utilizing BIOS
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`ANCORA_00000450
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`

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`Case 1:20-cv-00034-ADA Document 44-3 Filed 03/20/20 Page 8 of 16
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`••
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`Application/Control Number: 09/164, 777
`Art Unit: 2161
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`Page4
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`as the non-volatile means for storing a licensed software verification structure.
`
`Ewertz et al. (US 5,479,639) teach the use of BIOS memory for storing
`
`licensing numbers. Hence, it appears initially, that to one of ordinary skill of the
`
`art, the combination of Ewertz et al. with either Ginter et al. and/or Misra et al.,
`
`would render the present invention obvious. However, the key distinction
`
`between the present invention and the closest prior art, is that the Misra et al. ,
`
`and Ginter et al. systems and the Ewertz et al. system run at the operating
`
`system level and BIOS level, respectively. More specifically, the closest prior art
`
`systems. singly or collectively, do not teach licensed programs running at the OS
`
`level interacting with a program verification structure stored in the BIOS to verify
`
`the program using the verification structure and having a user act on the program
`
`according to the verification. Further, it is well known to those of ordinary skill of
`
`the art that a computer BIOS is not setup to manage a software license
`
`verification structure. The present invention overcomes this difficulty by using an
`
`agent to set up a verification structure in the erasable, non-volatile memory of the
`
`BIOS.
`
`5.
`
`Claims 20-23 have been allowed. The instant application teaches a
`
`method for restricting software use by storing license information in a computer
`
`BIOS.
`
`ANCORA_00000451
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`Case 1:20-cv-00034-ADA Document 44-3 Filed 03/20/20 Page 9 of 16
`
`..
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`Application/Control-Number: 09/164,777
`Art Unit: 2161
`
`Pages
`
`Ginter et al. (US 5,892,900) implement their software distribution system
`
`by encrypting (column/line 65/55-66/47) software control information (e.g. PERC)
`
`and linking control information, to software content that dynamically manages
`
`how the software, and its associated administrative data, may be distributed and
`
`used (column 155, lines 46-51). Misra et al. (US 6,189,146) disclose a method
`
`for licensing software that stores licenses in persistent non-volatile storage
`
`(column 12, lines 8-31 ). Neither reference teaches utilizing BIOS as the non(cid:173)
`
`volatile means for storing licensing data. Ewertz et al. (US 5,479,639) teach the
`
`use of BIOS memory for storing licensing numbers. Hence, it appears initially,
`
`that to one of ordinary skill of the art, the combination of Ewertz et al. with either
`
`Ginter et al. and/or Misra et al. , would render the present invention obvious.
`
`However, a key distinction between the present invention and the closest prior
`
`art, is that the Misra et al. , and Ginter et al. systems and the Ewertz et al. system
`
`run at the operating system level and BIOS level, respectively. More specifically,
`
`the closest prior art systems, singly or collectively, do not teach extracting
`
`licensing information from a software program, encrypting the information and
`
`storing it in the BIOS. Further, it is well known to those of ordinary skill of the art
`
`that a computer BIOS is not setup to store license information. The present
`
`invention overcomes this difficulty by utilizing an agent to verify the application
`
`software program using the license information stored in the erasable, writable,
`
`non-volatile memory of the BIOS.
`
`l)
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`ANCORA_00000452
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`

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`Case 1:20-cv-00034-ADA Document 44-3 Filed 03/20/20 Page 10 of 16
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`..
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`Application/Control Number: 09/164, 777
`Art Unit: 2161
`
`Page6
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`6.
`
`Any comments considered necessary by Applicant must be submitted no
`
`later that the payment of the issue fee and, to avoid processing delays, should
`
`preferably accompany the issue fee. Such submissions should be clearly labeled
`
`"Comments on Statement of Reasons for Allowance."
`
`Conclusion
`
`7.
`
`The prior art made of record and not relied upon is considered pertinent to
`
`applicant's disclosure:
`
`•
`
`lnfoworld magazine evaluates desktop management software
`
`• Saito et al. disclose a method for automatic license monitoring
`
`8.
`
`Any inquiry concerning this communication or earlier communications from
`
`the Examiner should be directed to Calvin Loyd Hewitt II whose telephone
`
`number is (703) 308-8057. The Examiner can normally be reached on Monday(cid:173)
`
`Friday from 8:30 AM-5:00 PM.
`
`If attempts to reach the Examiner by telephone are unsuccessful, the
`
`Examiner's supervisor, James P. Trammell, can be reached at (703) 305-9768.
`
`Any response to this action should be mailed to:
`
`ANCORA_00000453
`
`

`

`Case 1:20-cv-00034-ADA Document 44-3 Filed 03/20/20 Page 11 of 16
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`..
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`Application/Control Number: 09/164,777
`Art Unit: 2161
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`.Page 7
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`Commissioner of Patents and Trademarks
`
`c/o Technology Center 2100
`
`Washington, D.C. 20231
`
`(703) 7 46-7239 (for formal communications intended for entry),
`
`(703) 746-7238 (for after-final communications),
`
`or faxed to:
`
`or:
`
`(703) 746-7240.(for informal or draft communications, please label
`
`"PROPOSED" or "DRAFT")
`
`Hand-delivered responses should be brought to Crystal Park II, 2121
`
`Crystal Drive, Arlington, VA, Sixth Floor (Receptionist).
`
`Any inquiry of a general nature or relating to the status of this application
`
`should be directed to the Group receptionist whose telephone number is (703)
`
`305-3900.
`
`Calvin Loyd Hewitt II
`
`February 20, 2002
`
`D
`
`ANCORA_00000454
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`

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`••
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`*
`
`Case 1:20-cv-00034-ADA Document 44-3 Filed 03/20/20 Page 12 of 16
`AppUcaUoo/Cootrol No .. ..... _· .--A-p-pl-ic-a-nt_{_s )/_P_a_t-en_t_U_n_d_e_r ____ _,
`Reexamination
`·
`MULLOR ET AL.
`
`09/164,777
`
`Notice of References Cited
`
`Examiner
`
`Calvin L Hewitt II
`
`U.S. PATENT DOCUMENTS
`
`Art Unit
`
`2161
`
`Page 1 of 1
`
`Document Number
`Country Code-Number-Kind Code
`
`Date
`MM-YYYY
`
`Name ·
`
`Classification
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`A US-
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`B US-
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`C US-
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`D US-
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`E US-
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`F US-
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`G US-
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`H US-
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`J US-
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`K US-
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`L US-
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`*
`
`Document Number
`Country Code-Number-Kind Code
`
`Date
`MM-YYYY
`
`Country
`
`Name
`
`Classification
`
`FOREIGN PATENT DOCUMENTS
`
`N
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`0
`
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`
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`
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`9/06
`
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`
`NON-PATENT DOCUMENTS
`
`Include as applicable: Author, Tille Date, Publisher, Edition or Volume, Pertinent Pages)
`
`u Dornbusch et al., Oestop management software: no need to adjust your set., lnfoworld, v17, n37, p60
`
`V
`
`w
`
`X
`
`. A copy of this reference 1s not being furnished with this Office action. (See MPEP § 707.0S(a).)
`
`Dates in MM-YYYY fonmat 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. 14
`
`ANCORA_00000455
`
`

`

`~2/06/01 "16: 17 FAX 2.9.J .962 .0
`
`Plaa~e type a pkJs sign (+) Inside tMs ~ox -3
`
`Case 1:20-cv-00034-ADA Document 44-3 Filed 03/20/20 Page 13 of 16
`VENABLE
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`Complete H Knawn
`09/164,777
`October \, 1998
`Miki MULLOR ct al.
`2161
`1. Trammi:11
`39636-176166
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`\. Sheet
`
`(use es marty sheets a$ necassary}
`I of ·1 2
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`App!icaUon Number
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`S,754,71>3
`S,758.068
`S,790,664
`S,7Sl,069
`S..905,860
`5.390,297
`6,17l,44G
`4,901,296
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`6,l!r.2,47,
`6,272.636
`6,0j,S03
`6,013.256
`G,006.190
`6,078,909
`6,143,468
`6,189,146
`:!,G71.41Z
`S,&'26.0tl
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`U.S. PATENT DOCUMENTS
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`Daleo!Publlc.atllln of
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`MM,DO.YYYY
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`12121/1990
`6/2012000
`6/SllOOI
`l/1312001
`9/23/1997
`10120/1998
`2/812000
`
`FOREIGN PATENT DOCUMENTS
`f'loreign Patent Document
`Daul gt Public:aUon of
`Nam.a of Patentee
`Cll9d Document
`or Applieanl of
`t,Ud-01). YYYY
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`
`Office~
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`Number'
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`Kind Cod,/
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`Signature
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`'EXAMINli= I if re~~ dered~ Whe er or not cilallOn IS In ~GMllfflilnCO w1th MPEP 8011. or./., llnc: t~rJugt, c.ita!Jon It not in conforman~
`and not CCJnaid ~ - lnclucse
`o lr\j$ l'olm wtth next comrT7.lnirnon to apptlC11nt
`
`' Unique cHallcn deaignatlgn number. 1 See attacl'led Kindt of U.S. f'atent Oowment&. ' l!nler Otree::e lhat taauelS the dooument. t,y ltte two.latter cc,de
`(VI/IPO Standard ST.S). ' For Jlll)llne&e pawrt documents, lhe indicstian Of 1118 year of Iha reign of \ha Empe~r must precede the 6Bl'lal number al the
`pat~l\l document 5 Kli,d of document 'rr/ the apPrtJPrfale symbol, a, indiclltad an Ille document under WIPO Slllrtderd ST. 111 It poHihle. 0 Applicant i9
`ta pl- a check mark hara if English lati;uege Trunalation ls attacned.
`
`SEND TO: A,slstanl CQIJlml&liloner fer Pahlnls, W.Sl\logtan. DC 20231,
`
`+
`
`Received from < 202 962 8300 > at 12/61013:18:02 PM ~astern standard Time)
`
`ANCORA_00000456
`
`

`

`e
`
`'-../
`
`Case 1:20-cv-00034-ADA Document 44-3 Filed 03/20/20 Page 14 of 16
`. ---- ---·- - - - -- . ·--
`12/06/01 16:17 FAX 202 962~0
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`U.S. Patent and Trade.ma\'k Office: U.S. DEPARTMENT OF COMMERCE
`' -
`r Substilllle for ronn 14411AIPTO
`C<Jmptete if Known
`"""
`09/164,777
`October 1, 1998
`Mild MULLOR ct al.
`2161
`J. Trammell
`39636•176166
`
`~OHi
`
`~
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`\.. Sheet
`
`(uss as msny s/loots as IMlce~ryJ
`I ot I 2
`I :2
`
`Application Number
`Fn!r,g Clllle
`
`Fl~l Named IIIV9!1tor
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`6,226,747
`6,128.741
`A,92t.31!1
`.!,386.169
`6.239,567
`4,W.769
`6,021,431
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`U.S. PATENT DOCUMENTS
`Da1aaf'PUDIIC11licn or
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`MM-OD-VYYY
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`S/1.S/2001
`9/12/1939
`2/1/2000
`
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`
`E)qjmtru.r Cito
`No.'
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`
`FOREIGN PATENT DOCUMENTS
`F-,,elgn Patent Document
`Name 01 Patentee Oaleof Publlc:ulian of
`or AJ)p[Jcant or
`Cltad Ooeument
`K"ind COde'
`MM-OD-YYYY
`Cllad Dccument
`(lllenOW71)
`
`Number"
`
`Offl~'
`
`Pages. COiumns, ures,
`WnettRele\lll/1t
`Passages or Relewnl
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`
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`'EXAMINER:~rereic; cons~1tt,e<t,e}cr notdta~oo ls In ~'iman'ce Wllh MPEP 0011. orawAne ufrdigh cilation if ~ol In ccmormanca
`and not considered. lndude Ct>py of u,
`ion: ,with m::xt CMtmun!cadon to ;ippli,;:tnl
`' Unique clt.illlon dest~na!ion numt>er. 1 See atlllched KindS of V.S. Patent'oocumQtlts. •·Entar omco that wued Ille dOQllment by tne IWO·lett&r coda
`(WIPO Standa~ ST.3), ' For Japane118 paten! dOQUments. Ina lndleallon Qf the year or lh~ rail!" or the Emperor must precede the sertal number of the
`patent dgoumanl. 0 Kind C1I document by the appropripte 11ymbola aa lndlealed on the dOC1Jment under WIPO Sland~,rd ST. 1S if poaaibla. 1 Applicant is
`to p111c:e a check merk hare II Engliah language TranslaUon la allsehs~.
`
`SENP TO: Aa&irrtant Comrnl$$loner fol' Patenlll, Wa&JIU'IG!Dn, DC 20Z\1.
`
`+
`
`Received from< 202 962 8300 > at 12/6/013:18:02 PM ~astern standard Tone]
`
`ANCORA_00000457
`
`

`

`Case 1:20-cv-00034-ADA Document 44-3 Filed 03/20/20 Page 15 of 16
`
`Interview Summary
`
`Application No.
`
`Applicant( s)
`
`09/164,777
`
`Examiner
`
`Calvin L Hewitt II
`
`MULLOR ET AL.
`
`Art Unit
`
`2161
`
`All participants (applicant, applicant's representative, PTO personnel):
`
`(1) Calvin L Hewitt fl.
`
`(2) Jeffri A. Kaminski.
`
`Date of Interview: 19 February 2002 .
`
`(3) __ .
`
`(4) __ .
`
`Type : a)[gl Telephonic b)O Video Conference
`c)O Personal [copy given to: 1)0 applicant 2)0 applicant's representative)
`
`Exhibit shown or demonstration conducted: d)O Yes
`If Yes, brief description: __ .
`
`e)O No.
`
`Claim(s) discussed: 1 and 20 .
`
`ldentifi<?ation of prior art discussed: __ .
`
`Agreement with respect to the claims f)[gl was reached. g)O was not reached. h)O NIA.
`
`Substance of Interview including description of the general nature of what was agreed to if an agreement was
`reached, or any other comments: Claim 20 was amended to add the limitation of "an agent to perform the following
`steps" .
`
`(A fuller description, if necessary, and a copy of the amendments which the examiner agreed would render the claims
`allowable, if available, must be attached. Also, where no copy of the amendments that would render the claims
`allowable is available, a summary thereof must be attached.)
`
`i)[gl It is not necessary for applicant to provide a separate record of the substance of the interview(if box is
`checked) .
`
`Unless the paragraph above has been checked , THE FORMAL WRITTEN REPLY TO THE LAST OFFICE ACTION
`MUST INCLUDE THE SUBSTANCE OF THE INTERVIEW. (See MPEP Section 713.04). If a reply to the last Office .
`action has already been filed, APPLICANT IS GIVEN ONE MONTH FROM THIS INTERVIEW DATE TO FILE A
`STATEMENT OF THE SUBSTANCE OF THE INTERVIEW. See Summary of Record of Interview requirements on
`reverse side or on attached sheet.
`
`Examiner Note: You must sign this form unless it is an
`Attachment to a signed Office action.
`
`Examiner's signature, if required
`
`U.S. Paten1 and Trademark Office
`PT0-413 (Rev. 03- 98)
`
`Interview Summary
`
`Paper No. 14.
`
`ANCORA_00000458
`
`

`

`Case 1:20-cv-00034-ADA Document 44-3 Filed 03/20/20 Page 16 of 16
`
`,tary of Record of Inteniew Requ;remet"
`
`Manual of Patent Examining Procedure (MPEP), Section 713.04, Substance of Interview Must be Made of Record
`A complete written statement as to the substance of any lace-lo-lace, video conference, or telephone interview wtth regard to an application must be made of record in the
`application whether or not an agreement with the examiner was reached et the interview.
`
`TIiie 37 Code of Federal Regulations (CFR) § 1.133 lntervlews
`Paragraph (b)
`In every instance where reconsideration is requested in view of an interview with an examiner, a complete written statement of the reasons presented at the interview as
`warranling favorable action must be filed by the applicant. An interview does not remove the necessity for reply lo Office action as specified in§§ 1.111 , 1.135. (35 U.S.C. 132)
`
`37 CFR §1.2 Business to be transacled In writing .
`All business vvilh the Patent or Trademark Office should be lransacted in writing . The personal attendance of applicants or their attorneys or agents at the Patent and
`Trademarli Office is unnecessary. The action of the Patent and Trademark Office will be bas