UNITED STATES PATENT AND TRADEMARK OFFICE
`
`APPLICATION NUMBER
`09/464,347
`
`FILING OR 3 71 (C) DATE
`1211511999
`
`22242
`FITCH EVEN TABIN AND FLANNERY
`120SOUTHLASALLESTREET
`SUITE 1600
`CHICAGO, IL 60603-3406
`
`Ul\TfED STI\TES DEPA RTME'IT OF COMMERCE
`United States Patent and Trademark Office
`Adill"'· COMMISSIO'JER FOR PATENTS
`PO Box 1450
`Alexandria, Virgmia 22313-1450
`\VVi\V.USpto.gov
`
`FIRST NAMED APPLICANT
`JEFFREY A. MORGAN
`
`ATTY. DOCKET NO./TITLE
`10179US01
`CONFIRMATION NO. 7422
`POA ACCEPTANCE LETTER
`
`llllllllllllllllllllllll]~!l]~~~~~~~~l~jl~~~~~~ ~I] 11111111111111111111111
`
`Date Mailed: 02/24/2009
`
`NOTICE OF ACCEPTANCE OF POWER OF ATTORNEY
`
`This is in response to the Power of Attorney filed 02/01/2009.
`
`The Power of Attorney in this application is accepted. Correspondence in this application will be mailed to the
`above address as provided by 37 CFR 1.33.
`
`/sharris/
`
`Office of Data Management, Application Assistance Unit (571) 272-4000, or (571) 272-4200, or 1-888-786-0101
`
`page 1 of 1
`
`NETAPP ET AL. EXHIBIT 1004
`Page 1 of 303
`
`

`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`APPLICATION NUMBER
`09/464,347
`
`FILING OR 3 71 (C) DATE
`1211511999
`
`ERIC D LEVINSON
`IMATION CORP
`LEGAL AFFAIRS
`PO BOX 64898
`ST PAUL, MN 551640898
`
`Ul\TfED STI\TES DEPA RTME'IT OF COMMERCE
`United States Patent and Trademark Office
`Adill"'· COMMISSIO'JER FOR PATENTS
`PO Box 1450
`Alexandria, Virgmia 22313-1450
`\VVi\V.USpto.gov
`
`FIRST NAMED APPLICANT
`JEFFREY A. MORGAN
`
`ATTY. DOCKET NO./TITLE
`10179US01
`CONFIRMATION NO. 7422
`POWER OF ATTORNEY NOTICE
`
`llllllllllllllllllllllll]~!l]~~~~~~~~~~ji~~UU] 11111111111111111111111
`
`Date Mailed: 02/24/2009
`
`NOTICE REGARDING CHANGE OF POWER OF ATTORNEY
`
`This is in response to the Power of Attorney filed 02/01/2009.
`
`• The Power of Attorney to you in this application has been revoked by the assignee who has intervened as
`provided by 37 CFR 3.71. Future correspondence will be mailed to the new address of record(37 CFR 1.33).
`
`/sharris/
`
`Office of Data Management, Application Assistance Unit (571) 272-4000, or (571) 272-4200, or 1-888-786-0101
`
`page 1 of 1
`
`NETAPP ET AL. EXHIBIT 1004
`Page 2 of 303
`
`

`
`PTO/SB/80 (11..08)
`Approved for use through 11/3012011. OMB 0651-0035
`U.s. Patent and Tra(lemark Office; U.S. PEPARTMI=NT OF COMMERCE
`Un(ierthe Pl'P_envort< Reduction Acl of 1995, no oorsons are reQUired to respond to a colleclion of information unless it disPiavs a valid OMB control number.
`POWER OF A ITORNEY TO PROSECUTE APPLICATIONS BEFORE THE USPTO
`
`I hereby revoke all previous powers of attorney given in the application Identified ln the attached statement under
`37 CFR 3.73(b).
`I hereby appoint:
`
`0 Practitioners associated with the Customer Number:
`I
`I
`D Practitioner{s) named below (if more th;;~n ten patent practitioners are to be named, then a customer number must be used):
`
`22242
`
`OR
`
`Name
`
`Registration
`Number
`
`Name
`
`Registration
`Number
`
`as attomey(s) or age11t(s) to represent the un<lersigned before lhe United States Patent and Trademark Office (USPTO} in connection with
`any a11d all patent applications assigned Q!l!:lto the undersigned IICCOndlng to the U$PTO assignment records or assignment documents
`attached to this form in accordance with 37 CFR 3.73(1>).
`Please change the correspondence address for the application identified in the attached statement under 37 CFR 3.73(b} to:
`
`0 The address associated with Customer Number: I
`I
`
`Individual Name
`
`22242
`
`I
`
`OR
`
`D Firm or
`
`Address
`
`City
`Country
`
`Assignee Name and Address:
`
`C.H.I. Development Mgmt. Ltd. I, LLC
`2711 Centerville Road, Suite 400
`Wilmington, DE 19808
`
`I state
`!Telephone
`
`_I
`jZip
`!Email I
`
`A copy of this form, together with a statement under 37 CFR 3.73(b) (Form PTO/SB/96 or equivalent) is required to be
`filed in each application In which this form is used. The statement under 37 CFR 3.73(b) may be completed by one of
`the practitioners appointed In this form if the appointed practitioner is authorized to act on behalf of the assignee,
`and must identify the application in which this Power of Attorney is to be filed.
`SIGNATURE of Assignee of Record
`1110 individual whose signature and title is supplied below is authorized to act on behl!lf oftl1e assignee
`Signature ~ll~ Date3f~ _4'A
`Sheryl Parkinson
`Telephone
`Name
`Authorized Person for C.H.I. Development Mgmt. Ltd. I, LLC
`Title
`This collection of Information Is required by 37 CFR 1.81, 1.32 and 1.33, The Information Is required to obl!lln or retain a benefrt by the public which Is to f~e (and
`by the USPTO to process) an application. Confidentiality Is governed by 35 U.S.C. 122 and37 CFR 1.11 and 1.14. This collection Is esUmated to lake 3 minutes to
`complete, Including gathering, preparing, and submllting the completed !lppllcetlon form to the USPTO. Tl!ne will vary depending upon jhe Individual case. Any
`comments on the amount of lime you require to complete this farm and/or suggestions for redudng this burden, should be sent to the Chief Information Officer,
`U.S. Patent and Trademark Office, U.S. Department.ol Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS
`TO THIS ADDRESS. SEND TO: Commissioner wr P;ltents, P.O. Box 1450, Alexandria, VA ~2313-1450.
`If you need assistance in completing the fonn, ca//1-800-PT0-9199 and select option 2.
`
`. 2fftXJ
`"/f
`v
`
`NETAPP ET AL. EXHIBIT 1004
`Page 3 of 303
`
`

`
`Privacy Act Statement
`
`The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection
`with your submission of the attached form related to a patent application or patent. Accordingly,
`pursuant to the requirements of the Act, please be advised that: (1) the general authority for the
`collection of this information is 35 U.S.C. 2(b)(2); (2) furnishing of the information solicited is voluntary;
`and (3) the principal purpose for which the information is used by the U.S. Patent and Trademark
`Office is to process and/or examine your submission related to a patent application or patent. If you do
`not furnish the requested information, the U.S. Patent and Trademark Office may not be able to
`process and/or examine your submission, which 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 the following routine uses:
`
`1 . The information on this form will be treated confidentially to the extent allowed under the
`Freedom of Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 552a). Records from
`this system of records may be disclosed to the Department of Justice to determine whether
`disclosure of these records is required by the Freedom of Information Act.
`2. A record from this system of records may be disclosed, as a routine use, in the course of
`presenting evidence to a court, magistrate, or administrative tribunal, including disclosures to
`opposing counsel in the course of settlement negotiations.
`3. 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 whom the record pertains; when the
`individual has requested assistance from the Member with respect to the subject matter of the
`record.
`4. A record in this system of records may be disclosed, as a routine use, to a contractor of the
`Agency having need for the information in order to perform a contract. Recipients of
`information shall be required to comply with the requirements of the Privacy Act of :1974, as
`amended, pursuant to 5 U.S.C. 552a(m).
`5. A record related to an International Application filed under the Patent Cooperation Treaty in
`this system of records may be disclosed, as a routine use, to the International Bureau of the
`World Intellectual Property Organization, pursuant to the Patent Cooperation Treaty.
`6. A record in this system of records may be disclosed, as a routine use, to another federal
`agency for purposes of National Security review (35 U.S.C. 181) and for review pursuant to
`the Atomic Energy Act (42 U.S.C. 218(c)).
`7. A record from this system of records may be disclosed, as a routine use, to the Administrator,
`General Services, or his/her designee, during an inspection of records conducted by GSA as
`part of that agency's responsibility to recommend improvements in records management
`practices and programs, under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall
`be made in accordance with the GSA regulations governing inspection of records for this
`purpose, and any other relevant (i.e., GSA or Commerce) directive. Such disclosure shall not
`be used to make determinations about individuals.
`8. A record from this system of records may be disclosed, as a routine use, to the pu~lic after
`either publication of the application pursuant to 35 U.S.C. 122(b) or issuance of a patent
`pursuant to 35 U.S.C. 151. Further, a record may be disclosed, subject to the limitations of 37
`CFR 1.14, as a routine use, to the public if the record 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.
`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 regulation.
`
`NETAPP ET AL. EXHIBIT 1004
`Page 4 of 303
`
`

`
`DECLARATION REGARDING AUIHORITY TO SIGN
`ON BEHALF OF A LEGAL ENTITY
`37 C.F.R. 3.73(b)(2)(li)
`
`I, Sheryl Parkinson (whose title is supplied below), hereby declare that I am authorized
`to sign the Power of Attorney to Prosecute Applications Before the USPTO on behalf of
`C.H.I. Development Mgmt. Ltd. I, LLC.
`
`&u!JA.Jer~<
`Sheryl Parkinson
`Authorized Person for C.H.I. Development Mgmt. Ltd. I, LLC
`
`[date]
`
`NETAPP ET AL. EXHIBIT 1004
`Page 5 of 303
`
`

`
`PTO/SB/96 (11-08)
`Approved for use through 12/31/2008. OMB 0651-0031
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number.
`
`STATEMENT UNDER 37 CFR 3.73(b)
`
`lmation Corp.
`ApplicanUPatent Owner:
`--------~-----------------------------------------------------------------
`Application No./Patent No.: ...:6;...;:9;...;:6...:;8....:.4.;:;.5.=..9 ____________________ _ Filed/Issue Date: ....;1....:.1.:...:/2::.:2:::../::.2.=..00.;;.5;:;._ __________________ _
`
`Entitled: Computing environment having secure storage device
`
`C.H.I. Development Mgmt. Ltd. I, LLC
`~--~~~--~-~-------------'a
`(Name of Assignee)
`
`limited liability company
`(Type of Assignee, e.g., corporation, partnership, university, government agency, etc.)
`
`states that it is:
`
`1. ~ the assignee of the entire right, title, and interest; or
`2. D an assignee of less than the entire right, title and interest
`
`(The extent (by percentage) of its ownership interest is _______ %)
`
`in the patent application/patent identified above by virtue of either:
`
`A.D An assignment from the inventor(s) of the patent application/patent identified above. The assignment was recorded in
`
`the United States Patent and Trademark Office at Reel
`copy therefore is attached.
`
`, Frame
`
`, or for which a
`
`OR
`
`B.
`
`IV" I A chain of title from the inventor(s), of the patent application/patent identified above, to the current assignee as follows:
`
`1. From: Jeffrey A. Morgan et al.
`
`To: lmation Corp.
`
`The document was recorded in the United States Patent and Trademark Office at
`Reel 010451
`Frame 00458
`or for which a copy thereof is attached.
`
`2. From: lmation Corp.
`
`To: C.H.I. Development Mgmt. Ltd. I, LLC
`
`The document was recorded in the United States Patent and Trademark Office at
`Reel 022133
`Frame 0366
`
`or for which a copy thereof is attached.
`
`3. From: lmation Corp.
`
`To: C.H.I. Development Mgmt. Ltd. I, LLC
`
`The document was recorded in the United States Patent and Trademark Office at
`Reel 022152
`Frame 0386
`
`or for which a copy thereof is attached.
`
`D Additional documents in the chain of title are listed on a supplemental sheet.
`
`As required by 37 CFR 3.73(b )(1 )(i), the documentary evidence of the chain of title from the original owner to the assignee was,
`or concurrently is being, submitted for recordation pursuant to 37 CFR 3.11.
`
`[NOTE: A separate copy (i.e., a true copy of the original assignment document(s)) must be submitted to Assignment Division in
`accordance with 37 CFR Part 3, to record the assignment in the records of the USPTO. See MPEP 302.08]
`
`The undersigned (whose title is supplied below) is authorized to act on behalf of the assignee.
`
`/Nicholas T. Peters/
`Signature
`
`Nicholas T. Peters
`Printed or Typed Name
`
`Attorney for Assignee
`Title
`
`02-17-2009
`Date
`
`312-577-7000
`Telephone Number
`
`This collection of information is required by 37 CFR 3.73(b). The information is required to obtain or retain a benefit by the public which is to file (and by the USPTO to
`process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.11 and 1.14. This collection is estimated to take 12 minutes to complete, including
`gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any comments on the amount of time
`you require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent and Trademark Office, U.S.
`Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner
`for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`If you need assistance in completing the form, call 1-800-PT0-9199 and select option 2.
`
`NETAPP ET AL. EXHIBIT 1004
`Page 6 of 303
`
`

`
`Electronic Acknowledgement Receipt
`
`EFSID:
`
`Application Number:
`
`4803601
`
`09464347
`
`International Application Number:
`
`Confirmation Number:
`
`7422
`
`Title of Invention:
`
`COMPUTING ENVIRONMENT HAVING SECURE STORAGE DEVICE
`
`First Named Inventor/Applicant Name:
`
`JEFFREY A. MORGAN
`
`Correspondence Address:
`
`ERIC D LEVINSON
`
`IMATION CORP
`
`LEGAL AFFAIRS
`
`PO BOX64898
`
`ST PAUL
`us
`
`-
`
`-
`
`MN
`
`551640898
`
`Filer:
`
`Nicholas Todd Peters/Gloria Whiteman
`
`Filer Authorized By:
`
`Nicholas Todd Peters
`
`Attorney Docket Number:
`
`1 0179US01
`
`Receipt Date:
`
`Filing Date:
`
`TimeStamp:
`
`17 -FEB-2009
`
`15-DEC-1999
`
`14:24:38
`
`Application Type:
`
`Utility under 35 USC 111 (a)
`
`Payment information:
`
`Submitted with Payment
`
`File Listing:
`
`I no
`
`NETAPP ET AL. EXHIBIT 1004
`Page 7 of 303
`
`

`
`Document
`Number
`
`Document Description
`
`File Name
`
`File Size( Bytes)/
`Message Digest
`
`Multi
`Part /.zip
`
`Pages
`(ifappl.)
`
`344074
`
`1
`
`Power of Attorney
`
`94012_CCCLOT1_POA.pdf
`
`no
`
`4
`
`420529136355bfe8f1 a265c961411 c438a4d
`6662
`
`Warnings:
`
`Information:
`
`Total Files Size (in bytes)
`
`344074
`
`This Acknowledgement Receipt evidences receipt on the noted date by the USPTO of the indicated documents,
`characterized by the applicant, and including page counts, where applicable. It serves as evidence of receipt similar to a
`Post Card, as described in MPEP 503.
`
`New A~~lications Under 35 U.S.C. 111
`If a new application is being filed and the application includes the necessary components for a filing date (see 37 CFR
`1.53(b)-(d) and MPEP 506), a Filing Receipt (37 CFR 1.54) will be issued in due course and the date shown on this
`Acknowledgement Receipt will establish the filing date of the application.
`
`National Stage of an International A~~lication under 35 U.S.C. 371
`If a timely submission to enter the national stage of an international application is compliant with the conditions of 35
`U.S.C. 371 and other applicable requirements a Form PCT/DO/E0/903 indicating acceptance of the application as a
`national stage submission under 35 U.S.C. 371 will be issued in addition to the Filing Receipt, in due course.
`
`New International A~~lication Filed with the USPTO as a Receiving Office
`If a new international application is being filed and the international application includes the necessary components for
`an international filing date (see PCT Article 11 and MPEP 181 0), a Notification of the International Application Number
`and of the International Filing Date (Form PCT/R0/1 OS) will be issued in due course, subject to prescriptions concerning
`national security, and the date shown on this Acknowledgement Receipt will establish the international filing date of
`the application.
`
`NETAPP ET AL. EXHIBIT 1004
`Page 8 of 303
`
`

`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Confirmation No. 7422
`
`This Change in Entity Status was
`electronically filed using the U.S.
`Patent and Trademark Office's
`EFS Web
`
`Application No.:09/464347
`
`Inventor: Jeffrey A. Morgan
`
`Filed:
`
`12115/1999
`
`For:
`
`COMPUTING ENVIRONMENT HAVING
`SECURE STORAGE DEVICE
`
`TC/A.U.:
`
`2137
`
`Examiner:
`
`SMITHERS, MATTHEW
`
`Docket No.:
`
`94012
`
`Customer No.: 22242
`
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`)
`
`CHANGE IN ENTITY STATUS
`
`Dear Sir:
`
`In accordance with 37 C.F.R. § 1.28(b), notification is hereby provided to the U.S.
`Patent and Trademark Office that the small entity status established in the above-identified
`
`patent application is no longer claimed.
`
`Respectfully submitted,
`
`7~:z-~ r-/...;7!~
`By: __________________________ _
`Nicholas T. Peters
`Registration No. 53,456
`
`Date: Feb. 1 2009
`FITCH, EVEN, TABIN & FLANNERY
`120 South LaSalle, Suite 1600
`Chicago, Illinois 60603-3406
`Telephone: (312) 577-7000
`Facsimile: (312) 577-7007
`
`526387 _ 23.DOC
`
`NETAPP ET AL. EXHIBIT 1004
`Page 9 of 303
`
`

`
`Electronic Acknowledgement Receipt
`
`EFSID:
`
`Application Number:
`
`4713463
`
`09464347
`
`International Application Number:
`
`Confirmation Number:
`
`7422
`
`Title of Invention:
`
`COMPUTING ENVIRONMENT HAVING SECURE STORAGE DEVICE
`
`First Named Inventor/Applicant Name:
`
`JEFFREY A. MORGAN
`
`Correspondence Address:
`
`ERIC D LEVINSON
`
`IMATION CORP
`
`LEGAL AFFAIRS
`
`PO BOX64898
`
`ST PAUL
`us
`
`-
`
`-
`
`MN
`
`551640898
`
`Filer:
`
`Nicholas Todd Peters/Gloria Whiteman
`
`Filer Authorized By:
`
`Nicholas Todd Peters
`
`Attorney Docket Number:
`
`1 0179US01
`
`Receipt Date:
`
`Filing Date:
`
`TimeStamp:
`
`01-FEB-2009
`
`15-DEC-1999
`
`11:18:14
`
`Application Type:
`
`Utility under 35 USC 111 (a)
`
`Payment information:
`
`Submitted with Payment
`
`File Listing:
`
`I no
`
`NETAPP ET AL. EXHIBIT 1004
`Page 10 of 303
`
`

`
`Document
`Number
`
`Document Description
`
`File Name
`
`File Size( Bytes)/
`Message Digest
`
`Multi
`Part /.zip
`
`Pages
`(ifappl.)
`
`31832
`
`1
`
`Miscellaneous Incoming Letter
`
`94012_CCC1_SE.pdf
`
`no
`
`1
`
`a09 5 39faa85 014c4e83d 3 6a3ad 7 524 SOfead
`2a91
`
`Warnings:
`
`Information:
`
`Total Files Size (in bytes)
`
`31832
`
`This Acknowledgement Receipt evidences receipt on the noted date by the USPTO of the indicated documents,
`characterized by the applicant, and including page counts, where applicable. It serves as evidence of receipt similar to a
`Post Card, as described in MPEP 503.
`
`New A~~lications Under 35 U.S.C. 111
`If a new application is being filed and the application includes the necessary components for a filing date (see 37 CFR
`1.53(b)-(d) and MPEP 506), a Filing Receipt (37 CFR 1.54) will be issued in due course and the date shown on this
`Acknowledgement Receipt will establish the filing date of the application.
`
`National Stage of an International A~~lication under 35 U.S.C. 371
`If a timely submission to enter the national stage of an international application is compliant with the conditions of 35
`U.S.C. 371 and other applicable requirements a Form PCT/DO/E0/903 indicating acceptance of the application as a
`national stage submission under 35 U.S.C. 371 will be issued in addition to the Filing Receipt, in due course.
`
`New International A~~lication Filed with the USPTO as a Receiving Office
`If a new international application is being filed and the international application includes the necessary components for
`an international filing date (see PCT Article 11 and MPEP 181 0), a Notification of the International Application Number
`and of the International Filing Date (Form PCT/R0/1 OS) will be issued in due course, subject to prescriptions concerning
`national security, and the date shown on this Acknowledgement Receipt will establish the international filing date of
`the application.
`
`NETAPP ET AL. EXHIBIT 1004
`Page 11 of 303
`
`

`
`651 704 5951
`
`06130 ·os 11:31 N0.194 01101
`
`M.aU StoP. ISSUE FEE
`Commissioner for Patents
`P.O. Box 1450
`Al~a.ndrla, VIrginia 21313-14$0
`or .EBx
`(703) 746-4000
`UCilON : hw fonn sb011Jd be used for trmunn!tl~nlj lilt ISSUE FEr::i 1111d PUBLICATION FF..E (If required). Bloclcl< I lbrou l S ah1111ld bo CQII!pleii.XI where
`\...A>PJ.'OPriatc. All t\JI'Iller comaptmd.cna: incJIJdjni the Patent. odwncc l;lll;lC!:I'S and notiflcntlon of malntcnanoe ~e~· will be mllillld to !he Cllmlftt corrciii)QI')dcnoe sddn::!Js a.s
`rfll;lic:B~ r.mlea corrcded l.lclow or di~W~td otl:mwif)C in STCICI' I, by (o) speeifying a new cOITespondenc.c ~ddreaft; am;I/QI' (b) indkllting a aepantk "FEE ADDRESS" for
`'IM11!1.enR!let: ft:e ootiflcations.
`
`75?0
`ERIC D LEVINSON
`IMATION CORP
`LEGAL AFFAIRS
`POBOX64S98
`.ST 2AUL..MN SS164089S
`07/01/2v~5 1HESHRH2 00000055 090069
`
`Cerdtltate of Mailing or TrAnsmllllilo.,
`J ll.orel»- cert;ify d111t this Jleef~l Tmntimit1al is bl:mg c;leposit.ed with the United
`$tl!tea ~I Stll'Yice with RUI'ficient pl)!lJII£C for fuit class m1lil in M envciOJ!l'
`addressed to the Mllil SIOD ISSUE- F'Eij' adt.im~ abovo. or bcins t~imrle
`tmn~~mittcd. Ul the USPTO C?o:l 746-4000, ot:t the date indi(:nll:4 borow.
`
`09/%4,347
`12/1511999
`JEPFREY A. MOROAN
`TI'Tl..£ OF INVENTION: COMPUTING ENVIRONMENT HAVING SECURE STORAGE DEVICE
`
`l01.79USOI
`
`7422
`
`AI>PLN. TYPE
`DQriPTIJVIsiOillll
`
`SMALL ENTITY
`NO
`
`ISSIJB FE.Ii
`
`$1400
`
`P'UBUCATION l'1i!E
`
`TOTAL Pl:W..(S) Dl.IE
`
`$0
`
`$1400
`
`DATBDUE
`
`08122,12(l()5
`
`ct.IISS-SlJilCLASS
`
`P.XAMJN.£Jl
`1\RTIJNIT
`SMITHERS, MATTJiBW
`2137
`713·189000
`a. Fc:>r plin!ing on ll:te palmi: fi-ont p~Jil~, list
`I. C'hm:l of c:or:respondencc a~~ or lndleallon of "Foe Address" (37
`CFR I, 3).
`(I) the names of up !lJ 3 rcgistm:d patent #tQI'neys
`Cl Ch~ of~= o4drm (or Chang= of Correspondence
`or o,sents OR. alletrtativcly,
`'J Address nn PT'OI. Sll:U) a.tt:a.chcd.
`(2) tbc name of a ainglo Orm (having as a member a ~·-----------
`0 ''Jice Addm!R" indicarJon (or "Fcc Addni:llll" Indicotlon fonn
`"'lP~d ol:tQmcy or ~t) 1111d the nnmea of up to
`·
`PTOISI3f47: Rev 03.02 or mQr~: m::ont) a.tt:a.cbed. Uae afa Cu~er 2 i'ee!stered patent s~s or agcnta. If no name Is
`3,_· - - - - - - - - - - -
`NPmber Is ~ulrod.
`listeil,oo mme will be primed.
`-
`3. ASSIGNEE NAME. AND JWSJDENCB DATA TOJ3Ji:: PR.JNTED ON THE PATENT(prin.t or type)
`PL~SB NOTE: Unlci'U 11'1 IIBSignee Is identified b!;low, 00 ass~ data will qppear OD the patent, Jf Bl.l OSSigJIIXI ill id.cnliflod below, lhl:: dOCIIII!Cilt has been filed fQr
`l'll!COfdollon aa ~ fri In 37 ern: 3.11. Complo!lOD ofll:i1s fbrm IP NOT~ substitute fm filins an nsslgnmcnt;.
`·
`(A) NAMB OF ASSJGNlre
`(&) USUJENCE: (CITY and STATE OR COUNTRY)
`:r: ,..., a -h t. n Cb'fp .
`OQ kd~t(. > yvl,·""~s-o-1--a
`Please d!e<:k tJ,~ appl'llpl'iale assiguc:c catt:gory or Cllllegi)J:i~ (will not~ printed on !be p81cnt) : Q Individual iitlcorpomtion or other priVII!e gJ:tlap entity Q Golremmcnt
`4a. The fbllowlng fce(a) are enciOSld:
`4b. Po.ymem of' Fcc(&):
`-Qrssue Fee
`0 A check in tho amount of !be t'ce(~) is onclosed.
`'0 Pubi!CIItiQTt Fee (No small c:ntity dit<COUnt permitted)
`0 Payment by c:nldil card. fqrm f.'TQ.2038 is at!B~;hed. ·
`·
`jil AdVIIncc Order • ft. of C~ ..).
`~c Oiret:tOI' i.'l betdry au ·
`t!le l!:!qUired ~n), or credit 81)y ~yrnent. eo
`.
`De~~tAccomn N~mbott
`-
`(cmciO&e an extra copy oflllls·!bmi).
`
`S. Cllaage In EniJt:r Sbtnll (from stotus iadlcaJ:e(! ~0'\le)
`Q a. Applicant claims SMALL ENTITY lltlJro8. S'lll' 37 CFR 1.2?'.
`
`Authcnizcd Signnllltc
`
`Date ---'C..,.=-J,_i::;.0_.1._S"';::.._ ______ _
`Rcsistr:dion No. 3 S l ~ I'={
`Typed or prinr«< name
`Tbia coll~ction of' information is required I~ 37 c;;:FR. J .311. The infoi'!Tnl!ion 1.s required to ob~n or t:etoin a berleAt by the public which iB to tile (and by the US:PTO r.o .{'!OCCIIII)
`an IIJ)P.Iie!ltioo. Contidentll\lit): is so~">' 35 U.S.C. 122 ~~ 37 CFR J.l4. This collection is cstimllled to take 12 minutes to co~~. Jncllld.irt~J .sathet'ln& p!Cpi!Tins. and
`subm,ttJns th!ll c:ompletcd IIPP.lication form to the USPTO. Time will vary dCDending up011 lite Individual 4BI!e. Any COIIIITICl'll:l on t.hi amotmt of lime you "'~uil-e to complete
`this form nnd/ar suggestions roc rcducini thi~ burden...!.!ltould be~~ 10 tllc Chief InfQI'matlon OffiCCT, IJ.S. J>ntent imd Tr:u:lemark Office, U.S. ~Jll!ltmC:Ot of'Commercc;,"P.O.
`'ox.I4SO~ Alcxan!Ji'illt Virgini\1 :Z..Z31J·l<\SO. DO Nvt SBND FEES OR. COMPLETED PORMS TO THrS ADDRESS. SENO TO: Commi1111ione:r 1br .PatentS, P.O. 1)0;11: 1450,
`~cxandli11, Virginia 22313·1 450.
`U11der me J>apenvorlc; Reduction Act of I 995, 110 per!JQn$ liTO required r.o ~poll4 JO a oollcction l'lf' infhmmtion ufi)O&II it displaY!! a valid OMB c:omrol nutnber.
`
`PTOJ.-85 (Rev, I 2104) Approved lQr use through .04/'}0/2007,
`OMB O(;S 1.0033 U .$. P!uenund Trademark Office; U.S. DEP AR.T'MENT OF COMMSRCB
`PAGE 111 ~ RCVD AT 6130/20051:35:14 PM ~astern Daylight Time]* SVR:USPTO.EFXRF·211 * DNIS:7464000~ CSID:651704 5951 ~DURATION (mm·ss):01-02
`
`NETAPP ET AL. EXHIBIT 1004
`Page 12 of 303
`
`

`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Offiee
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`AI<Aandria, Virginia 22313-1450
`www.uspto.gov
`
`NOTICE OF ALLOWANCE AND FEE(S) DUE
`
`OS/2012005
`
`7590
`ERIC D LEVINSON
`IMATION CORP
`LEGAL AFFAIRS
`POBOX64898
`ST PAUL, MN 551640898
`
`EXAMINER
`
`SMITHERS, MATTHEW
`
`ART UNIT
`
`2137
`
`PAPER NUMBER
`
`DATE MAILED: 05/20/2005
`
`APPLICATION NO.
`
`FILING DATE
`
`09/464,347
`
`12115/1999
`
`FIRST NAMED INVENTOR
`
`JEFFREY A. MORGAN
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`10179USOI
`
`7422
`
`TITLE OF INVENTION: COMPUTING ENVIRONMENT HAVING SECURE STORAGE DEVICE
`
`APPLN. TYPE
`
`nonprovisional
`
`SMALL ENTITY
`
`NO
`
`ISSUE FEE
`
`$1400
`
`PUBLICATION FEE
`
`TOTAL FEE(S) DUE
`
`$0
`
`$1400
`
`DATE DUE
`
`08/22/2005
`
`THE APPLICATION IDENTIFIED ABOVE HAS BEEN EXAMINED AND IS ALLOWED FOR ISSUANCE AS A PATENT.
`PROSECUTION .QN IIIE 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.
`
`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
`REFLECTS A CREDIT FOR ANY PREVIOUSLY PAID ISSUE FEE APPLIED IN THIS APPLICATION. THE PTOL-85B (OR
`AN EQUIVALENT) MUST BE RETURNED WITHIN THIS PERIOD EVEN IF NO FEE IS DUE OR THE APPLICATION WILL
`BE REGARDED AS ABANDONED.
`
`HOW TO REPLY TO THIS NOTICE:
`
`I. Review the SMALL ENTITY status shown above.
`
`If the SMALL ENTITY is shown as YES, verify your current
`SMALL ENTITY status:
`
`If the SMALL ENTITY is shown as NO:
`
`A. If the status is the same, pay the TOTAL FEE(S) DUE shown
`above.
`B. If the status above is to be removed, check box 5b on Part B -
`Fee(s) Transmittal and pay the PUBLICATION FEE (if required)
`and twice the amount of the ISSUE FEE shown above, or
`
`A. Pay TOTAL FEE(S) DUE shown above, or
`
`B. If applicant claimed SMALL ENTITY status before, or is now
`claiming SMALL ENTITY status, check box 5a on Part B- Fee(s)
`Transmittal and pay the PUBLICATION FEE (if required) and l/2
`the ISSUE FEE shown above.
`
`11. 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
`completed and an extra copy of the form should be submitted.
`
`III. All communications regarding this application must give the application number. Please direct all communications prior to issuance to
`·
`Mail Stop ISSUE FEE unless advised to the contrary.
`
`IMPORT ANT REMINDER: Utility patents issuing on applications filed on or after Dec. 12, 1980 may require payment of
`maintenance fees. It is patentee's responsibility to ensure timely payment of maintenance fees when due.
`
`PTOL-85 (Rev. 12104) Approved for use through 04/30/2007.
`
`Page 1 of 3
`
`NETAPP ET AL. EXHIBIT 1004
`Page 13 of 303
`
`

`
`PART B- FEE(S) TRANSMITTAL
`Complete and send this form, together with applicable fee(s), to: M.lliJ. Mail StoJ:) ISSUE FEE
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`or Fax
`(703) 746-4000
`INSTRUCTIONS: This form should be used for transmitting the ISSUE FEE and PUBLICATION FEE (if required). Blocks I through 5 should be completed where
`appropriate. All further correspondence including the Patent, advance orders and notification of maintenance fees will be mailed to the current correspondence address as
`indjcated unless cory-ecte~ below or directed otherwise in Block I, by (a) specifying a new correspondence address; and/or (b) indicating a separate "FEE ADDRESS" for
`mamtenance fee noltficauons.
`CURRENT CORRESPONDENCE ADDRESS (Note: Use Block I for any cbange of add!=)
`
`05/20/2005
`
`7590
`ERIC D LEVINSON
`IMATION CORP
`LEGAL AFFAIRS
`POBOX64898
`ST PAUL, MN 551640898
`
`Note: A certificate of mailing can only be used for domestic mailings of the
`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 or transmissiOn.
`
`Certificate of Mailing or Transmission
`I hereby certify that this Fee(s) Transmittal is being deposited with the United
`States Postal Service with sufficient postage for first class mail in an envelope·
`addressed to the Mail Stop ISSUE FEE address above, or being facsimile
`transmitted to the USPTO (703) 746-4000, on the date indicated berow.
`
`APPLICATION NO.
`
`FILING DATE
`
`09/464,347
`
`12/15/1999
`
`FIRST NAMED INVENTOR
`
`JEFFREY A. MORGAN
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`10179USOI
`
`7422
`
`TITLE OF INVENTION: COMPUTING ENVIRONMENT HAVING SECURE STORAGE DEVICE
`
`APPLN.TYPE
`
`SMALL ENTITY
`
`nonprovisional
`
`NO
`
`EXAMINER
`
`SMITHERS, MATTHEW
`
`ISSUE FEE
`
`$1400
`
`ART UNIT
`
`2137
`
`PUBLICATION FEE
`
`TOTAL FEE(S) DUE
`
`$0
`
`$1400
`
`DATE DUE
`
`08/2212005
`
`CLASS-SUBCLASS
`
`713-189000
`
`I. 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
`(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 registered patent attorneys or agents. If no name is
`listea, 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 enclosed:
`4b. Payment of Fee(s):
`0 Issue Fee
`0 A check in the amou