UNITED STA 1ES p A 1ENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`www.uspto.gov
`
`NOTICE OF ALLOWANCE AND FEE(S) DUE
`
`3624
`7590
`09/25/2012
`VOLPE AND KOENIG, P.C.
`UNITED PLAZA
`30 SOUTH 17TH STREET
`PHILADELPHIA, PA 19103
`
`EXAMINER
`
`A,MINHD
`
`ART UNIT
`
`PAPER NUMBER
`
`2821
`
`DATE MAILED: 09/25/2012
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`12/978,358
`
`12/23/2010
`
`Simon N. Richmond
`
`AIL1682-1-006C2
`
`1080
`
`TITLE OF INVENTION: SOLAR POWERED LIGHT ASSEMBLY TO PRODUCE LIGHT OF VARYING COLORS
`
`APPLN. TYPE
`
`SMALL ENTITY
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE PREV. PAID ISSUE FEE
`
`TOTAL FEE(S) DUE
`
`DATE DUE
`
`nonprovisiona1
`
`YES
`
`$870
`
`$300
`
`$0
`
`$1170
`
`12/26/2012
`
`THE APPLICATION IDENTIFIED ABOVE HAS BEEN EXAMINED AND IS ALLOWED FOR ISSUANCE AS A PATENT.
`PROSECUTION ON THE MERITS IS CLOSED. THIS NOTICE OF ALLOWANCE IS NOT A GRANT OF 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.
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`THE ISSUE FEE AND PUBLICATION FEE (IF REQUIRED) MUST BE PAID WITHIN THREE MONTHS FROM THE
`MAILING DATE OF THIS NOTICE OR THIS APPLICATION SHALL BE REGARDED AS ABANDONED.
`THIS
`STATUTORY PERIOD CANNOT BE EXTENDED. SEE 35 U.S.C. 151. THE ISSUE FEE DUE INDICATED ABOVE DOES
`IF AN ISSUE FEE HAS
`NOT REFLECT A CREDIT FOR ANY PREVIOUSLY PAID ISSUE FEE IN THIS APPLICATION.
`PREVIOUSLY BEEN PAID IN THIS APPLICATION (AS SHOWN ABOVE), THE RETURN OF PART B OF THIS FORM
`WILL BE CONSIDERED A REQUEST TO REAPPLY THE PREVIOUSLY PAID ISSUE FEE TOWARD THE ISSUE FEE NOW
`DUE.
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`HOW TO REPLY TO THIS NOTICE:
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`and twice the amount of the ISSUE FEE shown above, or
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`A. Pay TOTAL FEE(S) DUE shown above, or
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`Transmittal and pay the PUBLICATION FEE (if required) and 112
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`IMPORTANT REMINDER: Utility patents issuing on applications filed on or after Dec. 12, 1980 may require payment of
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`
`PTOL-85 (Rev. 02/11)
`
`Page 1 of3
`
`Richmond, Exh. 2012, p.1
`
`

`

`PART B- FEE(S) TRANSMITTAL
`
`Complete and send this form, together with applicable fee(s), to: Mail Mail Stop ISSUE FEE
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`(571)-273-2885
`
`or Fax
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`INSTRUCTIONS: This form should be used for transmitting the ISSUE FEE and PUBLICATION FEE (if required). Blocks l through 5 should be completed where
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`maintenance fee notifications.
`CURRENT CORRESPONDENCE ADDRESS (Note: Use Block 1 for any change of address)
`
`3624
`7590
`09/25/2012
`VOLPE AND KOENIG, P.C.
`UNITED PLAZA
`30 SOUTH 17TH STREET
`PHILADELPHIA, PA 19103
`
`Note: A certificate of mailing can only be used for domestic mailings of the
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`Certificate of Mailing or Transmission
`I hereby certify that this Fee(s) Transmittal is being deposited with the United
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`addressed to the Mail Stop ISSUE FEE address above, or being facsimile
`transmitted to the USPTO (571) 273-2885, on the date indicated below.
`
`(Depositor's name)
`
`(Signature)
`
`(Date)
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`12/978,358
`
`12/23/2010
`
`Simon N. Richmond
`
`AILl682-l-006C2
`
`1080
`
`TITLE OF INVENTION: SOLAR POWERED LIGHT ASSEMBLY TO PRODUCE LIGHT OF VARYING COLORS
`
`APPLN. TYPE
`
`SMALL ENTITY
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE PREV. PAID ISSUE FEE
`
`TOTAL FEE(S) DUE
`
`DATE DUE
`
`nonprovisional
`
`YES
`
`$870
`
`$300
`
`$0
`
`$1170
`
`12/26/2012
`
`EXAMINER
`
`A,MINHD
`
`ART UNIT
`
`CLASS-SUBCLASS
`
`2821
`
`315-149000
`
`l. Change of correspondence address or indication of "Fee Address" (37
`CFR 1.363).
`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/47; Rev 03-02 or more recent) attached. Use of a Customer
`Number is required.
`
`2. For printing on the patent front page, list
`(l) 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 registered patent attorneys or agents. If no name is
`listed, no name will be printed.
`
`2 ________________________ _
`
`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. If an assignee is identified below, the document has been filed for
`recordation as set forth in 37 CFR 3.11. Completion of this form is NOT a substitute for filing an assignment.
`(A) NAME OF ASSIGNEE
`(B) RESIDENCE: (CITY and STATE OR COUNTRY)
`
`Please check the appropriate assignee category or categories (will not be printed on the patent) : 0 Individual 0 Corporation or other private group entity 0 Government
`
`4a. The following fee(s) are submitted:
`0 Issue Fee
`0 Publication Fee (No small entity discount permitted)
`0 Advance Order- #of Copies _________ __
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`4b. Payment ofFee(s): (Please first reapply any previously paid issue fee shown above)
`0 A check is enclosed.
`0 Payment by credit card. Form PT0-2038 is attached.
`0 The Director is hereby authorized to charge the required fee(s), any deficiency, or credit any
`(enclose an extra copy of this form).
`overpayment, to Deposit Account Number
`
`5. Change in Entity Status (from status indicated above)
`0 b. Applicant is no longer claiming SMALL ENTITY status. See 37 CFR l.27(g)(2).
`0 a. Applicant claims SMALL ENTITY status. See 37 CFR 1.27.
`NOTE: The Issue Fee and Publication Fee (if required) will not be accepted from anyone other than the applicant; a registered attorney or agent; or the assignee or other party in
`interest as shown by the records of the United States Patent and Trademark Office.
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`Authorized Signature _______________________ _
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`Date _____________________ __
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`Typed or printed name ______________________ __
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`Registration No. ________________ _
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`This collection of information is required by 37 CFR 1.311. 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 12 minutes to complete, including gathering, preparing, and
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`Box 1450, Alexandria, Virginia 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450,
`Alexandria, Virginia 22313-1450.
`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.
`
`PTOL-85 (Rev. 02/ll) Approved for use through 08/3112013.
`
`OMB 0651-0033
`
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`
`Richmond, Exh. 2012, p.2
`
`

`

`UNITED STA 1ES p A 1ENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`www.uspto.gov
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`12/978,358
`
`12/23/2010
`
`Simon N. Richmond
`
`AIL1682-1-006C2
`
`1080
`
`3624
`7590
`09/25/2012
`VOLPE AND KOENIG, P.C.
`UNITED PLAZA
`30 SOUTH 17TH STREET
`PHILADELPHIA, PA 19103
`
`EXAMINER
`
`A,MINHD
`
`ART UNIT
`
`PAPER NUMBER
`
`2821
`
`DATE MAILED: 09/25/2012
`
`Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)
`(application filed on or after May 29, 2000)
`
`The Patent Term Adjustment to date is 0 day(s). If the issue fee is paid on the date that is three months after the
`mailing date of this notice and the patent issues on the Tuesday before the date that is 28 weeks (six and a half
`months) after the mailing date of this notice, the Patent Term Adjustment will be 0 day(s).
`
`If a Continued Prosecution Application (CPA) was filed in the above-identified application, the filing date that
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`Patent Legal Administration at (571)-272-7702. Questions relating to issue and publication fee payments should be
`directed to the Customer Service Center of the Office of Patent Publication at 1-(888)-786-0 101 or (571 )-272-4200.
`
`PTOL-85 (Rev. 02/11)
`
`Page 3 of3
`
`Richmond, Exh. 2012, p.3
`
`

`

`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
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`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
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`expiration of the patent.
`
`The information provided by you in this form will be subject to the following routine uses:
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`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
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`5. A record related to an International Application filed under the Patent Cooperation Treaty in this
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`Intellectual Property Organization, pursuant to the Patent Cooperation Treaty.
`6. A record in this system of records may be disclosed, as a routine use, to another federal agency for
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`8. A record from this system of records may be disclosed, as a routine use, to the public after either
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`9. 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 aware of a violation or potential violation of law or
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`
`Richmond, Exh. 2012, p.4
`
`

`

`Notice of Allowability
`
`Application No.
`
`Applicant(s)
`
`12/978,358
`Examiner
`
`MINH D. A
`
`RICHMOND, SIMON N.
`Art Unit
`
`2821
`
`-- The MAILING DATE 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 ALLOW ABILITY IS NOT A GRANT OF 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. [8J This communication is responsive to the amendment filed on 7119112.
`2. D An election was made by the applicant in response to a restriction requirement set forth during the interview on __ ;
`the restriction requirement and election have been incorporated into this action.
`3. [8J The allowed claim(s) is/are 1-44 and 47-49.
`4. [8J Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
`b) D Some*
`c) D None
`a) [8J All
`of the:
`1. D Certified copies of the priority documents have been received.
`2. [8J Certified copies of the priority documents have been received in Application No. 10/789,488.
`3. D 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: __ .
`
`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.
`5. 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.
`6. D CORRECTED DRAWINGS (as "replacement sheets") must be submitted.
`(a) D including changes required by the Notice of Draftsperson's Patent Drawing Review ( PT0-948) attached
`1) D hereto or 2) D to Paper No./Mail Date __ .
`(b) D including changes required by the attached Examiner's Amendment I Comment or in the Office action of
`Paper No./Mail Date __ .
`Identifying indicia such as the application number {see 37 CFR 1.84{c)) should be written on the drawings in the front {not the back) of
`each sheet. Replacement sheet{s) should be labeled as such in the header according to 37 CFR 1.121 {d).
`7. 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. D Notice of References Cited (PT0-892)
`2. D Notice of Draftperson's Patent Drawing Review (PT0-948)
`3. D Information Disclosure Statements (PTO/SB/08),
`Paper No./Mail Date __
`4. D Examiner's Comment Regarding Requirement for Deposit
`of Biological Material
`
`5. D Notice of Informal Patent Application
`6. D Interview Summary (PT0-413),
`Paper No./Mail Date __ .
`7. D Examiner's Amendment/Comment
`
`8. [8J Examiner's Statement of Reasons for Allowance
`9. D Other __ .
`
`/Minh D N
`
`Primary Examiner, Art Unit 2821
`
`Date 9/19/12
`U.S. Patent and Trademark Off1ce
`PTOL-37 (Rev. 03-11)
`
`Notice of Allowability
`
`Part of Paper No./Mail Date 20120919
`
`Richmond, Exh. 2012, p.5
`
`

`

`Application/Control Number: 12/978,358
`Art Unit: 2821
`
`Page 2
`
`1.
`
`2.
`
`Allowable Subject Matter
`
`Claims 1-44, 47-49 are allowed.
`
`The following is an examiner's statement of reasons for allowance:
`
`Prior art of record fails to disclose or fairly suggest, alone or in combination, a
`
`lighting device, said device including; an activation sub-circuit to provide power to said
`
`light sources only at low light levels; and particularly including "a light sub-circuit to
`
`independently control delivery of power to each of said at least two light sources so as
`
`to ramp up and ramp down intensity of light emitted over time by said at least two light
`
`sources to produce a color changing cycle of more than two colors; connections for at
`
`least one rechargeable battery to power said circuit; and at least one solar cell mounted
`
`so as to be exposed to light and operatively associated with said connections to charge
`
`said battery" in combination with the remaining claimed limitations as recited in claim 1
`
`(claims 1-34 are allowed, since they are dependent on claim 1 ).
`
`Prior art of record fails to disclose or fairly suggest, alone or in combination, a
`
`lighting device, said device comprising an activation sub-circuit to provide power to said
`
`light sources only at low light levels, and particularly including" a light sub-circuit to
`
`control delivery of power to each of said at least two light sources so as to vary the color
`
`of light emitted by said lens, wherein said light sub-circuit has at least one integrated
`
`circuit for independently controlling said light sources, a selection switch connected to
`
`said at least one integrated circuit and operable to select a desired fixed color of light
`
`emitted via said lens, a connections for at least one rechargeable battery to power said
`
`circuit; and at least one solar cell mounted so as to be exposed to light and operatively
`
`Richmond, Exh. 2012, p.6
`
`

`

`Application/Control Number: 12/978,358
`Art Unit: 2821
`
`Page 3
`
`associated with said connections to charge said battery", in combination with the
`
`remaining claimed limitations as recited in claim 35(claims 36-44 are allowed, since
`
`they are dependent on claim 35).
`
`Prior art of record fails to disclose or fairly suggest, alone or in combination, a
`
`lighting device, said device comprising: an activation sub-circuit to provide power to said
`
`electrical light sources only at low ambient light levels; and particularly including " a
`
`light sub-circuit to independently control delivery of power to each of said at least two
`
`electrical light sources so as to vary the perceived intensity of light emitted over time by
`
`said at least two electrical light sources to produce a color changing cycle of more than
`
`two colors; connections for at least one rechargeable battery to power said circuit; at
`
`least one solar cell mounted so as to be exposed to sunlight and electrically connected
`
`to said connections to charge said at least one rechargeable battery and at least one
`
`user-operated switch operable to control said circuit", in combination with the remaining
`
`claimed limitations as recited in claim 47.
`
`Prior art of record fails to disclose or fairly suggest, alone or in combination, a
`
`lighting device, said device comprising: an activation sub-circuit to provide power to said
`
`at least two electrical light sources only at low ambient light levels and particularly
`
`including "a light sub-circuit to independently control delivery of power to each of said at
`
`least two electrical light sources so as to ramp up and ramp down the perceived
`
`intensity of light emitted over time by said at least two electrical light sources to produce
`
`a color changing cycle that includes a portion of a color spectrum having at least said
`
`first color, said second color, and a third color produced by said at least first electrical
`
`Richmond, Exh. 2012, p.7
`
`

`

`Application/Control Number: 12/978,358
`Art Unit: 2821
`
`Page 4
`
`light source and said at least second electrical light source; connections for at least one
`
`rechargeable battery to power said circuit; and at least one solar cell mounted so as to
`
`be exposed to sunlight and electrically connected to said connections to charge said at
`
`least one rechargeable battery", in combination with the remaining claimed limitations
`
`as recited in claim 48.
`
`Prior art of record fails to disclose or fairly suggest, alone or in combination, a
`
`lighting device to produce light of varying color, said device comprising: an activation
`
`sub-circuit to provide power to said at least two lamps only at low ambient light levels
`
`and particularly including "a light sub-circuit to independently control delivery of power
`
`to each of said at least two lamps so as to vary the perceived intensity of light emitted
`
`over time by said at least two lamps to produce a continuous color changing cycle that
`
`includes a portion of a color spectrum having at least said first color, said second color,
`
`and at least a third color produced by said first lamp and said second lamp; connections
`
`for at least one rechargeable battery to power said circuit; and at least one solar cell
`
`mounted so as to be exposed to light and electrically connected to said connections to
`
`charge said at least one rechargeable battery", in combination with the remaining
`
`claimed limitations as recited in claim 49.
`
`Any comments considered necessary by applicant must be submitted no later
`
`than 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."
`
`Richmond, Exh. 2012, p.8
`
`

`

`Application/Control Number: 12/978,358
`Art Unit: 2821
`
`Page 5
`
`Inquiry
`
`Any inquiry concerning this communication or earlier communications from the
`
`examiner should be directed to Minh Dieu A whose telephone number is (571) 272-
`
`1817. The examiner can normally be reached on M-F (8:00AM to 5:00PM).
`
`If attempts to reach the examiner by telephone are unsuccessful, the examiner's
`
`supervisor, Douglas W Owens can be reached on (571) 272-1662. The fax phone
`
`number for the organization where this application or proceeding is assigned is 571-
`
`273-8300.
`
`Information regarding the status of an application may be obtained from the
`
`Patent Application Information Retrieval (PAIR) system. Status information for published
`
`applications may be obtained from either Private PAIR or Public PAIR. Status
`
`information for unpublished applications is available through Private PAl R only. For
`
`more information about the PAIR system, see http://pair-direct.uspto.gov. Should you
`
`have questions on access to the Private PAIR system, contact the Electronic Business
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`Center (EBC) at 866-217-9197 (toll-free).
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`/Minh D A/
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`Primary Examiner
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`Art Unit 2821
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`Date 9/19/12
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`Richmond, Exh. 2012, p.9
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