r1
`y
`i
`A
`0335?,
`
` ."E'c. _ _ _
`
`
`
`=“—n
`Practltloner’s Docket No.
`915 005 ' 48
`= 9‘,
`SE \0 \
`\= m
`“E c
`&_-———
`DE
`(3-: '
`= 3
`E 0
`
`--
`
`,
`.
`.
`.
`.
`t
`Preliminary Classthcatron.
`Proposed Class:
`Subclass:
`;
`NOTE:
`“All applicants are requested to include a preliminary classification on newly filed patent
`applications. The preliminary classification, preferably class and subclass designations, should be
`identified in the upper right-hand comer of the letter of transmittal accompanying the application
`
`papers, for example 'Proposed Class 2, subclass 129.’ ” M.P.E.P. § 601, 7th ed.
`
`PATENT
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`£3 3'
`
`Box Patent Application
`Commissioner for Patents
`Washington, D.C. 20231
`
`NEW APPLICATION TRANSMITTAL
`
`Transmitted herewith for filing is the patent application of
`
`Inventoris): more MYLLY
`
`WARNING: 37 CAFE. § 1.41(a)(1) points out:
`
`“(3) A patent is applied for in the name or names of the actual inventor or inventors.
`
`“(1) The inventorship of a nonprovisional application is that inventorship set forth in the oath or
`declaration as prescribed by § 1.63, except as provided for in § 1.53(d)(4) and § 1.63(d). If an
`oath or declaration as prescribed by § 1.63 is not filed during the pendency of a nonprovisional
`application, the inventorship is that inventorship set forth in the application papers filed pursuant
`to § 1.53(b), unless a petition under this paragraph accompanied by the fee set forth in § 1.17fi)
`is filed supplying or changing the name or names of the inventor or inventors."
`
`A METHOD AND A SYSTEM FOR DETERMINING THE POWER CONSUMPTION
`For (title):
`IN CONNECTION WITH AN ELECTRONIC DEVICE, AND AN ELECTRONIC DEVICE
`
`EXPRESS MAILING UNDER 31 C.F.R. § 1.10‘
`(Express Mail label number is mandatory.)
`(Express Mail certification is optional.)
`
`
`
`I hereby certify that this papeeronghwitgiémy ggcéigient referred to, is being deposited with the United States
`Postal Service on this date
`are
`-
`’
`. in an envelope addressed to the Commissioner
`for Patents. Washington, D.C. 20231 as “Express Mail Post Office to Addressee" Mailing
`Label NOA
`EV137073922US
`
`Margery B . Hood
`
`(type or print name of person mailing paper)
`
`
`
`r.
`
`y.
`
`
`, 29p.
`
`WARNING: Certificate of mailing (first class) or facsimile transmissr n procedures of 37 C.F.R. 1.8 cannot be
`used to obtain a date of mailing or transmission for this con'espondenoe
`'WARNING: Each paper or fee filed by "Express Mail” must have the number of the "Express Mail“ marling label
`placed thereon prior to mailing. 37 C.F.R. 1.10(b).
`"Since the filing of correspondence under § 1.10 without the Express Mail mailing label thereon
`is an oversight that can be avoided by the exercise of reasonable care, requests for waiver of this
`requirement will not be granted on petition. " Notice of Oct. 24, 1996, 60 Fed. Reg. 56,439, at 56,442.
`(New Application Transmittal [4-1l—page 1 of 15)
`
`
`
`SANDISK Exhibit 1004, Page 1 of 385
`
`SANDISK Exhibit 1004, Page 1 of 385
`
`

`

`
`
`
`
`1. Type of Application
`This new application is for aln)
`
`(check one applicable item below)
`
`E Original (nonprovisional)
`
`1:] Design
`C] Plant
`
`WARNING: Do not use this transmiml for a completion in the US. of an lntemafional Application under 35
`U. S. C. § 371(c)(4), unless the International Application is being filed as a divisional, continuation
`or continuation—impart application.
`
`WARNING: Do not use this transmittal lor the filing of a provisional application.
`
`NOTE:
`
`If one of the following 3 items apply, then complete and attach ADDED PAGES FOR NEW APPLICATION
`TRANSMI‘ITAL WHERE BENEFIT OF A PRIOR UAS. APPLICATION CLAIMED and a NOTIFICATION
`IN PARENT APPLICATION OF THE FILING OF THIS CONTINUATION APPLICATION.
`
`Cl Divisional.
`
`U Continuation.
`
`Cl Continuation-impart (C-l-P).
`
`2. Benefit of Prior U.S. Application(s) (35 U.S.C. §§ 119(9), 120, or 121)
`NOTE:
`"A nonprovisional application or intemational application designating the United States of America may
`claim an invention disdased in one or more prior-filed copending nonprovisional applications or
`international applications designating the United States of America. In order for an application to claim
`the benefit of a prior-filed copending nonprovisional application or international application designating
`the United States otAmerica, each prior-filed application must name as an inventor at least one inventor
`named in the later—filed application and disclose the named inventor's invention claimed in at least one
`claim of the later-filed application in the manner provided by the first paragraph of 35 U.S.C. 112. In
`addition, each prior-filed application must be:
`
`6) An international application entitled to a filing date in accordance with PCT Article 11 and
`designating the United States of America; or
`
`fii) Complete as set forth in § 1.51(b); or
`
`fill) Entitled to a filing date as set forth in § 1.53(b) or § 1.53(d) and include the basic filing fee set
`forth in § 1.16; or
`
`fiv) Entitled to a filing date as set forth in § 1.53(b) and have paid therein the processing and retention
`fee set forth in § 1.2m) within the time period set forth in § 1.530).
`
`37 cm. 5 1.78(a)(1).
`
`WARNING:
`
`If an application claims the benefit of the filing date of an earlier filed application under 35 US. C.
`§§ 120, 121 or 365(c), the 20—year term of that application will be based upon the filing date of
`the eariiest US. application that the application makes reference to under 35 U.S.C. §§ 120, 121
`or 365(c). {35 U.S.C. § 154(a)(2) does not take into account, for the determination of the patent
`term, any application on which priority is claimed under 35 U.S.C. §§ 119, 365(3) or 365(b).) For
`a c—i—p application, applicant should review whether any claim in the patent that will issue is
`supported by an earlier application and, ifnot, the applicant should consider cmceling the reference
`to the eariier filed application. The term of a patent is not based on a claim-by—claim approach.
`See Notice of April 14, 1995, 60 Fed. Reg. 20,195, at 20,205.
`
`(New Application Transmittal [4-1]—page 2 of 15)
`
`
`
`SANDISK Exhibit 1004, Page 2 of 385
`
`SANDISK Exhibit 1004, Page 2 of 385
`
`

`

`
`
`WARNING: 37 C.F.R. § 1.78(a)(2) deals with the time in which the claim for the benefit of an eariier filing date
`must be made and states:
`
`“(2)0 Except for a continued prosecution application filed under § 1.53(d), any nonprovisional
`application or international application designating the United States of America claiming the benefit
`of one or more prior-filed copending nonprovisional applications or international applications
`designating the United States of America must contain or be amended to contain a reference to each
`such prior-filed application, identifying it by application number (consisting of the series code and
`serial number) or international application number and international filing date and indicating the
`relationship of the applications. Cross references to other related applications may be made when
`appropriate (see § 1.14).
`
`fir) This reference must be submitted during the pendency of the later—filed application. If the
`later—filed application is an application filed under 35 U.S.C. 111(3), this reference must also be
`submitted within the later of four months from the actual filing date of the later—filed application
`or sixteen months from the filing date of the prior-filed application. If the later-filed application is
`a nonprovisional application which entered the national stage from an international application after
`compliance with 35 U.S.C. 371, this reference must also be submitted within the later of four months
`from the date on which the national stage commenced under 35 U. S. C. 371(b) or (f) in the tater-filed
`international application or sixteen months from the filing date of the prior-filed application. These
`time periods are not extendable. Except as provided in paragraph {3)(3) of this section. the failure
`to timely submit the reference required by 35 U.S.C. 120 and paragraph (a)(2)fi) of this section is
`considered a waiver ofany benefit under 35 U.S.C. 120, 121, or365(c) to such prior—filed application.
`The time periods in this paragraph do not apply if the later-filed application is:
`(A) An application for a design patent;
`(B) An application filed under 35 U.S.C. 111(a) before November 29, 2000; or
`
`(C) A nonprovisional application which entered the national stage after compliance with 35 us. C.
`371 from an international application filed under 35 U.S.C. 363 before November 29. 2000.
`
`(iii) If the later-filed application is a nonprovisional application, the reference required by this
`paragraph must be included in an application data sheet (§ 1.76), or the specification must contain
`or be amended to contain such reference in the first sentence following the title.
`fiv) The request for a continued prosecution applicah'on under § 1.53(d) is the specific reference
`required by 35 US. C. 120 to the prior~filed application. The identification of an application by
`application number under this section is the identification of every application assigned that application
`number necessary for a specific reference required by 35 U.S.C. 120 to every such application
`assigned that application number. "
`
`NOTE:
`
`if the new application being transmitted is a divisional, continuation or a continuation-impart of a parent
`case, or where the parent case is an lntemational Application which designated the U. S., or benefit
`of a prior provisional application is claimed, then check the following item and complete and attach
`ADDED PAGES FOR NEW APPLICATION TRANSMITTAL WHERE BENEFIT OF PRIOR U. S. APPLICA—
`TION{S) CLAIMED.
`
`CI The new application being transmitted claims the benefit of prior U.S. applica-
`tionls). Enclosed are ADDED PAGES FOR NEW APPLICATION TRANSMITTAL
`WHERE BENEFIT OF PRIOR U.S. APPLICATION(S) CLAIMED.
`3. Papers Enclosed
`
`A. Required for filing date under 37 C.F.R. § 1.53(b) (Regular) or 37 C.F.R. § 1.153
`(Design) Application
`
`15 Pages of specification
`
`_1L_ Pages of claims
`
`_t._. Sheets of drawing
`WARNING: DO NOT submit original drawings. A high quality copy of the drawings should be supplied when
`filing a patent application. The drawings that are submitted to the Office must be on strong, white,
`smooth, and non~shiny paper and meet the standards according to § 1.84. If corrections to the
`drawings are necessary, they should be made to the original drawing and a higthuality copy of
`the corrected original drawing then submitted to the Office. Only one copy is required or desired.
`Far comments on proposed then~new 37 C.F.Fl. § 1.84, see Notice of March 9. 1988 (1990 0.6.
`57—62).
`
`(New Application Transmittal [4—1l—page 3 of 15)
`
`
`
`SANDISK Exhibit 1004, Page 3 of 385
`
`SANDISK Exhibit 1004, Page 3 of 385
`
`

`

`
`
`NOTE:
`
`"Identification of drawings. Identifying indicia, if provided, should include the title of the invention,
`inventor‘s name and application number, or docket number fit any) if an application number has not
`been assigned to the application. If this information is provided, it must be placed on the front of each
`sheet and centered within the top margin."
`
`(complete the following, if applicable)
`
`El The enclosed drawing(s) are photograph(s).
`NOTE: 37 C.F.R. 1.84
`
`"(b) Photographs.
`
`"(1) Black and white. Photographs, including photocopies of photographs, are not ordinarily
`permitted in utility and design patent applications. The Office will accept photographs in utility and
`design patent applications, however, if photographs are the only practicable medium for illustrating
`the claimed invention. For example, photographs or photomicrographs of: electrophoresis gels,
`blots (e.g., immunological, western, Southern, and northern), auto radiographs, cell cultures (stained
`and unstained), histological tissue cross sections (stained and unstained), animals. plants, in vivo
`imaging, thin layer chromatography plates, crystalline structures, and, in a design patent application,
`ornamental effects, are acceptable. if the subject matter of the application admits of illustration
`by a drawing, the examiner may require a drawing in place of the photograph. The photographs
`must be of sufficient quality so that all details in the photographs are reproducible in the printed
`patent.
`
`"(2) Color photographs. Color photographs will be accepted in utility and design patent applications
`if the conditions for accepting color drawings and black and white photographs have been satisfied.
`See paragraphs (a)(2) and (b)(1) of this section."
`
`C] The enclosed drawing(s) are in color. Three (3) sets of color drawings and a
`“PETITION TO ACCEPT COLOR DRAWING(S)" are attached. 37 C.F.Fl.
`§§ 1.84(a)(2) and 1.84(b).
`NOTE: 37 CPR. 1.84(a)
`
`“(2) Color. On rare occasions. color drawings may be necessary as the only practical medium by which
`to disclose the subject matter sought to be patented in a utility or design patent application or the
`subject matter of a statutory invention registration. The color drawings must be of sufficient quality
`such that all details in the drawings are reproducible in black and white in the printed patent. Color
`drawings are not permitted in intemational applications (see PCT Rule 11.13), or in an application,
`or copy thereof, submitted under the Office electronic filing system. The Office will accept color
`drawings in utility or design patent applications and statutory invention registrations only after granting
`a petition filed under this paragraph explaining why the color drawings are necessary. Any such petition
`must include the following:
`
`0) The fee set forth in § 1.170;);
`fli) 7hree (‘3) sets of color drawings;
`
`nil) A black and white photocopy that accurately depicts, to the extent possible, the subject matter
`shown in the color drawing; and
`
`fiv) An amendment to the specification to insert (unless the specification contains or has been
`previously amended to contain) the following language as the first paragraph of the brief
`description of the drawings:
`
`The patent or application file contains at least one drawing executed in color. Copies of this patent
`or patent application publication with color drawing(s) will be provided by the Office upon request
`and payment of the necessary fee. "
`
`BE
`
`formal
`
`D informal
`
`B. Other Papers Enclosed
`
`Pages of declaration and power of attorney
`
`1
`
`2
`
`
`Pages of abstract
`__ Other
`
`(New Application Transmittal [4—1l—page 4 of 15)
`
`SANDISK Exhibit 1004, Page 4 of 385
`
`
`
`SANDISK Exhibit 1004, Page 4 of 385
`
`

`

`
`
`‘
`
`.
`
`‘4. Additional papers enclosed
`
`1:] Amendment to claims
`
`in this applications claims
`El Cancel
`calculating the filing fee. (At least one original independent claim must be
`retained for filing purposes.)
`
`before
`
`El Add the claims shown on the attached amendment. (Claims added have
`been numbered consecutively following the highest numbered original
`claims.)
`
`Kl
`
`Preliminary Amendment
`
`Information Disclosure Statement (37 C.F.R. § 1.98)
`[Xi
`NOTE: 37 C.F.R. § 1.97 (b) An information disclosure statement shall be considered by the Office if filed by
`the applicant within any one of the following time periods:
`{1) Within three months of the filing date of a national application other than a continued prosecution
`application under § 1 .53{d);
`
`(2) Within three months of the date of entry of the national stage as set forth in § 1.491 in an
`international application;
`
`(3) Before the mailing of a first Office action on the merits; or
`WARNING:
`In order to ensure consideration of information previously submitted but which has not been
`considered in the parent application, an applicant must resubmit the information, complying with
`37 C.F.R. § 1.97and 37 C.F.R. § 1.98, in the continuing application filed under37 C.F.R. § 1.53(b).
`See § 6098(3), M.P.E.P., 7th Edition, Rev. 1.
`
`SUSIE
`
`Form PTO—1449 (PTO/SB/OBA and 08B)
`Citations
`
`Declaration of Biological Deposit
`
`Submission of “Sequence Listing," computer readable copy and/or amendment
`pertaining thereto for biotechnology invention containing nucleotide and/or
`amino acid sequence.
`
`E] Authorization of Attomey(s) to Accept and Follow Instructions from Representa-
`tive
`
`El Special Comments
`[:1 Other
`
`5. Declaration or oath (including power of attorney)
`NOTE: A newly executed declaration is not required in a continuation or divisional application provided that
`the prior nonprovisional application contained a declaration as required, the application being filed is
`by all or fewer than all the inventors named in the prior application, there is no new matter in the
`application being filed, and a copy of the executed declaration filed in the prior application (showing
`the signature or an indication thereon that it was signed) is submitted. The copy must be accompanied
`by a statement requesting deletion of the names of person(s) who are not inventors of the application
`being filed. If the declaration in the prior application was filed under § 1.47, then a copy of that
`declaration must be filed accompanied bya copy of the decision granting § 1.47 status or, if a nonsigning
`person under § 1.47 has subsequently joined in a prior application, then a copy of the subsequently
`executed declaration must be filed. See 37 C.F.R. §§ 1.63(d)(1)—(3).
`
`NOTE: A declaration filed to complete an application must be executed, identify the specification to which it
`is directed, identify each inventor by full name including family name and at least one given name, without
`abbreviation together with any other given name or initial, and the residence, post office address and
`country or citizenship of each inventor, and state whether the inventor is a sole or joint inventor. 37
`C.F.R. § 1.63(a)(1)—(4).
`
`NOTE:
`
`"The inventorship of a nonprovisional application is that inventorship set forth in the bath or declaration
`as prescribed by § 1.62, except as provided for in § 1.53(d)(4) and § 1.63M. If an oath or declaration
`as prescribed by § 1.63 is not filed during the pendency of a nonprovisional application, the inventorship
`is that inventorship set forth in the application papers filed pursuant to § 1.53(b), unless a petition under
`this paragraph accompanied by the fee set forth in § 1.170 is filed supplying or changing the name
`or names of the inventor or inventors" 37 CPR. 5 1.4 1(a)(1).
`
`(New Application Transmittal [4-1}-—page 5 of 15)
`
`
`
`SANDISK Exhibit 1004, Page 5 of 385
`
`SANDISK Exhibit 1004, Page 5 of 385
`
`

`

`
`
`E] Enclosed
`
`Executed by
`
`EDIE
`
`(check all applicable boxes)
`
`inventor(s).
`
`legal representative of inventor(s). 37 C.F.Fl. §§ 1.42 or 1.43.
`joint inventor or person showing a proprietary interest on behalf of inventor
`who refused to sign or cannot be reached.
`
`[I This is the petition required by 37 C.F.Fi. § 1.47 and the statement
`required by 37 C.F.R. § 1.47 is also attached. See item 13 below for
`fee.
`
`[:1 Not Enclosed.
`
`NOTE: Where the filing is a completion in the US. of an International Application or where the completion of
`the U. 5. application contains subject matter in addition to the lntemational Application, the application
`may be treated as a continuation or continuation-impart, as the case may be, utilizing ADDED PAGE
`FOR NEW APPLICATION TRANSMITI'AL WHERE BENEFIT OF PRIOR U.S. APPUCA‘ITON CLAIMED.
`
`[3 Application is made by a person authorized under 37 C.F.R. § 1.41(c) on
`behalf of all the above named inventor(s).
`
`(The declaration or oath, along with the surcharge required by 37 CPR. § 1.16(e)
`can be filed subsequently).
`
`D Showing that the filing is authorized.
`(not required unless called into question. 37 C.F.R. § 1.41(d))
`
`6.
`
`lnventorship Statement
`WARNING:
`If the named inventors are each not the inventors of all the claims an explanation, including the
`ownership of the various claims at the time the last claimed invention was made. should be
`submitted.
`
`The lnventorship for all the claims in this application are:
`E] The same.
`
`or
`
`Cl Not the same. An explanation, including the ownership of the various claims at
`the time the last claimed invention was made.
`
`[:1
`
`is submitted.
`
`El will be submitted.
`
`7. Language
`NOTE: An application including a signed oath or declaration may be filed in a language other than English.
`An English translation of the nonoEnglish language application and the processing fee of $130.00
`required by 37 C.F.R. § 1.17(k) is required to be filed with the application, or within such time as may
`be set by the Office. 37 CPR. § 1.52(d).
`
`8 English
`
`C] Non-English
`
`E] The attached translation includes a statement that the translation is accu-
`rate. 37 C.F.R. § 1.52(d).
`
`(New Application Transmittal [4—11—page 6 of 15)
`
`
`
`SANDISK Exhibit 1004, Page 6 of 385
`
`SANDISK Exhibit 1004, Page 6 of 385
`
`

`

`ml
`
`:1 V" Ar N l‘
`
`
`. 8. Assignment
`Nokia corporation
`IX] An assignment of the invention to
`
`
`K]
`
`is attached. A separate [3 “COVER SHEET FOFl ASSIGNMENT (DOCU-
`MENT) ACCOMPANYING NEW PATENT APPLICATION" or E] FORM PTO
`1595 is also attached.
`
`D will follow.
`
`NOTE:
`
`“If an assignment is submitted with a new application, send two separate letters~one for the application
`and one for the assignment.” Notice of May 4, 1990 (1174 0.6. 77-78).
`WARNING: A newly executed "CERTIFICATE UNDER 37 C.F.R. § 3. 73(b)" must be filed when a continuation-
`in—part application is filed by an assignee. Notice of April 30. 1993, 1150 0.6. 6264.
`
`D This is a Cl continuation E] divisional
`
`application and the assignment
`
`document for the parent application 0 /_____.__ was filed
`on ____.._____.
`
`Reel
`
`Frame
`
`9. Certified Copy
`
`Certified copy(ies) of application(s)
`Finland
`
`Country
`
`
`
`20020594
`
`Appln. No.
`
`March 27, 2002
`
`Filed
`
`Country
`Appln. No.
`Filed
`
`
`Country
`
`Appln. No.
`
`Filed
`
`from which priority is claimed
`
`m is (are) attached.
`Cl will follow.
`
`NOTE: 37 CPR. § 1.55 Claim for foreign priority.
`"(3 . . .
`
`(1)0 In an original application filed under 35 US. C. 111(a), the claim for priority must be presented
`during the pendency of the application. and within the later of four months from the actual filing date
`of the application or sixteen months from the filing date of the prior foreign application. This time
`period is not extendable. The claim must identify the foreign application for which priority is claimed,
`as well as any foreign application for the same subject matter and having a filing date before that
`of the application for which priority is claimed. by specifying the application number, country (or
`intellectual property authority), day. month, and year of its filing. The time periods in this paragraph
`do not apply in an application under 35 U.S.C. 111(a) if the application is:
`(A) A design application; or
`(B) An application filed before November 29, 2000.
`no...
`
`(G) Unless such claim is accepted in accordance with the provisions of this paragraph. any claim for
`priority under 35 U.S.C. 119(a)«(d) or 365(a) not presented within the time period provided by
`paragraph (a) of this section is considered to have been waived. If a claim for priority under 35 U.S.C.
`1 15%an or 365p) is presented after the time period provided by paragraph (a) of this section. the
`claim maybe accepted if the claim rdentr‘lying the prior foreign application by specifying its application
`number, country (or intellectual property authority), and the day. month, and year of its tiling was
`unintentionally delayed. A petition to accept a delayed claim for priority under 35 U.S.C. 119(a)v(d)
`or 365(3) must be accompanied by:
`
`(New Application Transmittal [4-1l—page 7 of 15)
`
`
`
`SANDISK Exhibit 1004, Page 7 of 385
`
`SANDISK Exhibit 1004, Page 7 of 385
`
`

`

`
`
`(1) The claim under 35 U.S. C. 119(a)-(d) or 365(a) and this section to the prior foreign application,
`unless previously submitted;
`(2) The surcharge set forth in § 1.17(t),' and
`
`(3) A statement that the entire delay between the date the claim was due under paragraph (a)(1)
`of this section and the date the claim was filed was unintentional. The Commissioner may require
`additional information where there is a question whether the delay was unintentional."
`NOTE: 37 C.F.R. § 1.63 Oath or declaration.
`
`“(a) An oath or declaration filed under § 1.51lb)(2) as a part of a nonprovisional application must:
`
`(c) Unless such information is supplied on an application data sheet in accordance with § 1.76,
`the oath or declaration must also identify:
`
`(2) Any foreign application for patent (or inventor's certificate) for which a claim for priority is
`made pursuant to § 1.55, and any foreign application having a filing date before that of the
`application on which priority is claimed, by specifying the application number, country, day, month,
`and year of its filing."
`
`The foreign application forming the basis for the claim for priority must be referred to in the oath
`or declaration. 37 C.F.R. § 1.55(a) and 1.63.
`
`NOTE: This item is for any foreign priority for which the application being filed directly relates. If any parent
`US. application or lntemational Application from which this application claims benefit under 35 U.S.C.
`§ 120 is itself entitled to priority from a prior foreign application, then complete item 18 on the ADDED
`PAGES FOR NEW APPLICATION TRANSMITI’AL WHERE BENEFIT OF PRIOR U,S. APPLICATIOMS)
`CLAIMED.
`
`10. Fee Calculation (37 C.F.R. § 1.16)
`
`[E] Regular application
`A.
`
`CLAIMS AS FILED
`
`Number filed
`
`Basic Fee
`37 CPR §1.16(a)
`
`W $750 . 00
`
`Number Extra
`
`Rate
`
`Total
`
`Claims (37 C.F.R.
`§ 1.16(c))
`26
`— 20 =
`5
`x
`$ 18.00
`108-00
`
`Independent
`Claims (37 C.F.R.
`4
`1
`84 . 00
`
`§ 1.16(b))
`— 3 =
`X
`$ 8400
`
`Multiple dependent claim(s).
`
`+if any (37 C.F.R. § 1.16(d)) $280.00
`
`
`
`El Amendment cancelling extra claims is enclosed.
`
`El Amendment deleting multiple-dependencies is enclosed.
`
`El
`NOTE:
`
`Fee for extra claims is not being paid at this time.
`If the fees for extra claims are not paid on filing they must be paid or the claims cancelled by amendment,
`prior to the expiration of the time period set for response by the Patent and Trademark Office in any
`notice of fee deficiency. 37 C.F.R. § 1,16(d),
`
`Filing Fee Calculation
`
`$ 942-00
`
`(New Application Transmittal [4-1]——page 8 of 15)
`
`
`
`SANDISK Exhibit 1004, Page 8 of 385
`
`SANDISK Exhibit 1004, Page 8 of 385
`
`

`

`
`
`8. Cl Design application
`($330.00—37 C.F.R. § 1.16(f))
`
`Filing Fee Calculation
`
`0. E]
`
`Plant application
`($510.00—37 C.F.Fl. § 1.16(g))
`
`11. Assertion of Small Entity Status
`
`Filing fee calculation
`
`$
`
`$
`
`El Applicant hereby asserts status as a small entity under 37 C.F.R. § 1.27
`NOTE: 37 C.F.R. § 1.27(c) deals with the assertion of small entity status, whether by a written specific
`declaration thereof or by payment as a small entity of the basic filing fee or the fee for the entry into
`the national phase and states:
`“(c) Assertion of small entity status. Any party (person, small business concern or nonprofit
`organization) should make a determination, pursuant to paragraph (f) of this section, of entitlement
`to be accorded small entity status based on the definitions set forth in paragraph (a) of this section.
`and must, in order to establish small entity status for the purpose of paying small entity fees, actually
`make an assertion of entitlement to small entity status, in the manner set forth in paragraphs (c)(1)
`or (c)(3) of this section, in the application or patent in which such small entity fees are to be paid.
`(1) Assertion by writing. Small entity status may be established by a written assertion of entitlement
`to small entity status. A written assertion must:
`(I) Be clearly identifiable;
`
`fir) Be signed (see pamgraph (c)(2) of this section); and
`an) Convey the concept of entitlement to small entity status, such as by stating that applicant
`is a small entity, or that small entity status is entitled to be asserted for the application or patent.
`While no specific words or wording are required to assert small entity status. the intent to assert
`small entity status must be clearly indicated in order to comply with the assertion requirement.
`(2) Parties who can sign and file the written assertion. The written assertion can be signed by:
`0) One of the parties identified in § 1.33(b) (e.g., an attorney or agent registered with the Office),
`§ 3. 73(b) of this chapter notwithstanding, who can also file the written assertion;
`fii) At least one of the individuals identified as an inventor (even though a 5 1.63 executed oath
`or declaration has not been submitted), notwithstanding § 1.33(b)(4), who can also file the written
`assertion pursuant to the exception under § 1.33(b) of this part; or
`
`(iii) An assignee of an undivided part interest, notwithstanding §§ 1.33(b)(3) and 3. 73(b) of this
`chapter, but the partial assignee cannot file the assertion without resort to a party identified under
`§ 1.33(b) of this part.
`
`(3) Assertion by payment of the small entity basic filing or basic national fee. The payment, by any
`party, of the exact amount of one of the small entity basic filing fees set forth in §§ 1.16(a), (i),
`Q), (h), or (k), or one of the small entity basic national fees set forth in §§ 1.492(a)(1). (a)(2), (a)(3),
`(a)(4), or (a)(5), will be treated as a written assertion of entitlement to small entity status even if the
`type of basic filing or basic national fee is inadvertently selected in error.
`(I) If the Office accords small entity status based on payment of a small entity basic filing or basic
`national fee under paragraph (c)(3) of this section that is not applicable to that application, any
`balance of the small entity fee that is applicable to that application will be due along with the
`appropriate surcharge set forth in § 1.16(e), or § 1.160).
`fii) The payment of any small entity fee other than those set forth in paragraph (c)(3) of this section
`(whether in the exact lee amount or not) will not be treated as a written assertion of entitlement
`to small entity status and will not be sufficient to establish small entity status in an application
`or a patent. "
`
`(New Application Transmittal [4-1]—page 9 of 15)
`
`
`
`SANDISK Exhibit 1004, Page 9 of 385
`
`SANDISK Exhibit 1004, Page 9 of 385
`
`

`

`,i
`73..
`:2!
`
`
`WARNING: 37 C.F.R. § 127(c)(4): ‘Assertion required in related, continuing, and reissue applications. Status
`as a small entity must be specifically established by an assertion in each related, continuing and
`reissue application in which status is appropriate and deslred. Status as a small entity in one
`application or patent does not affect the status of any other application or patent, regardless of
`the relationship of the applications or patents. The refiling of an application under § 1.53 as a
`continuation, divisional, or continuation-impart application (including a continued prosecution
`application under § 1.53(d)), or the filing of a reissue application, requires a new assertion as to
`continued entitlement to small entity status for the continuing or reissue application."
`
`WARNING:
`
`. statement
`.
`"Small entity status must not be established when the person or persons signing the .
`can unequivocally make the required self~certification." M.P.E.P.. § 509.08 (emphasis added).
`
`(complete the following, if applicable)
`
`1:] Status as a small entity was asserted in the prior application
`
`
`, filed on _____.____, from which benefit
`__ /
`is being claimed for this application under:
`35 U.S.C. § CI
`119(8)
`CI
`120
`U 121
`U 365(0)
`
`and which status as a small entity is still proper and asserted for this
`application.
`
`E] A copy of the written assertion of small entity filed in the prior application
`is included.
`
`NOTE: A refund based on establishment of small entity status, of a portion of fees timely paid in full prior to
`establishing status as a small entity may only be obtained if an assertion under § 1.27(c) and a request
`for a refund of the excess amount are filed within three months of the date of the timely payment of
`the full fees The three-month time period is not extendable under § 1.136. 37 C.F.R. § 1.28(a).
`
`Filing Fee Calculation (50% of A, B or C above)
`
`$
`
`12. Request for lntemational-Type Search (37 C.F.R. § 1.104(d))
`
`(complete, if applicable)
`
`El Please prepare an international-type search report for this application at the time
`when national examination on the merits takes place.
`
`(New Application Transmittal [4-tl—page 10 of 15)
`
`
`
`SANDISK Exhibit 1004, Page 10 of 385
`
`SANDISK Exhibit 1004, Page 10 of 385
`
`

`

`
`
`13. Fee Payment Being Made at This Time
`
`El Not Enclosed
`
`D No filing fee is to be paid at this time.
`(This and the surcharge required by 37 C.F.Fl. § 1.16(e) can be paid
`subsequently.)
`
`K] Enclosed
`
`DE Filing fee
`
`[X] Recording assignment
`($40.00; 37 CPR. § 1210»)
`(See attached “COVER SHEET FOR
`ASSIGNMENT ACCOMPANYING NEW
`
`sM
`
`APPLICATION")
`
`$
`
`40.00
`
`Cl Petition fee for filing by other than all the
`inventors or person on behalf of the inventor
`where inventor ref