`
`UNITED STATES PATENT 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,uspio.gov
`
`ATTORNEY DOCKETNO,|_CONFIRMATION.
`
`10/232,170
`
`08/30/2002
`
`Horst Haussecker
`
`P14576
`
`S015
`
`7590
`
`01/05/2006
`
`Julia A. Hodge
`c/o BLAKELY, SOKOLOFF, TAYLOR & ZAFMAN LLP
`12400 Wilshire Boulevard
`Seventh Floor
`Los Angeles, CA 90025
`
`EXAMINER
`
`SINES, BRIAN J
`
`1743
`
`DATE MAILED:01/05/2006
`
`Please find below and/or attached an Office communication concerning this application or proceeding.
`
`PTO-90C (Rev. 10/03)
`
`(cid:36)(cid:37)(cid:54)(cid:3)(cid:42)(cid:79)(cid:82)(cid:69)(cid:68)(cid:79)(cid:15)(cid:3)(cid:44)(cid:81)(cid:70)(cid:17)(cid:3)(cid:68)(cid:81)(cid:71)(cid:3)(cid:42)(cid:72)(cid:81)(cid:88)(cid:86)(cid:3)(cid:83)(cid:79)(cid:70)(cid:3)(cid:177)(cid:3)(cid:40)(cid:91)(cid:17)(cid:3)(cid:20)(cid:19)(cid:20)(cid:25)(cid:15)(cid:3)(cid:83)(cid:17)(cid:3)(cid:20)
`ABS Global, Inc. and Genusplc — Ex. 1016, p. 1
`
`

`

`Notice ofAbandonment
`
`pe:
`
`BAMSSECKER pre
`
`-- The MAILING DATEof this communication appears on the cover sheet with the correspondence address
`
`This application is abandonedin view of:
`
`1. &X] Applicant's failure to timely file a proper reply to the Office letter mailed on 6/28/2005.
`
`(a) CFAreply wasreceived on (with a Certificate of Mailing or Transmission dated ), which is after the expiration of the
`period for reply (including a total extension of time of
`month(s)) which expired on
`(b) CA proposed reply was received on
`, but it does not constitute a proper reply under 37 CFR 1.113 (a) to the final rejection.
`(A properreply under 37 CFR 1.113 to a final rejection consists only of: (1) a timely filed amendment which places the
`application in condition for allowance; (2) a timely filed Notice of Appeal (with appealfee); or (3) a timely filed Requestfor
`Continued Examination (RCE) in compliance with 37 CFR 1.114).
`(c) C A reply was received on
`but it does not constitute a proper reply, or a bona fide attempt at a properreply, to the non-
`final rejection. See 37 CFR 1.85(a) and 1.111. (See explanation in box 7 below).
`(d)&JNo reply has beenreceived.
`
`
`
`2. 2 Applicant's failure to timely pay the required issue fee and publication fee,if applicable, within the statutory period of three months
`from the mailing date of the Notice of Allowance (PTOL-85).
`(with a Certificate of Mailing or Transmission dated
`(a) C0 The issue fee and publication fee,if applicable, was received on
`), which is after the expiration of the statutory period for paymentof the issue fee (and publication fee) set in the Notice of
`Allowance (PTOL-85).
`is due.
`is insufficient. A balance of $
`(b) (J The submitted fee of $
`The issue fee required by 37 CFR 1.18 is $
`. The publication fee,if required by 37 CFR 1.18(d),is $.
`(c) (] The issue fee and publication fee,if applicable, has not been received.
`
`.
`
`.
`
`7. CJ The reason(s) below: Petitions to revive under 37 CFR 1.137(a) or (b), or requests to withdraw the holding of abandonment under 37 CFR 1.181, should be promptlyfiled to
`
`3.C Applicant'sfailure to timely file corrected drawings as required by, and within the three-month period setin, the Notice of
`Allowability (PTO-37).
`(a) C) Proposed corrected drawings were received on
`after the expiration of the period for reply.
`(b) (J No corrected drawings have beenreceived.
`
`(with a Certificate of Mailing or Transmission dated
`
`), which is
`
`4. [1] Theletter of express abandonment whichis signed by the attorney or agent of record, the assignee of the entire interest, or all of
`the applicants.
`
`5. DD Theletter of express abandonmentwhich is signed by an attorney or agent (acting in a representative capacity under 37 CFR
`1.34(a)) uponthefiling of a continuing application.
`
`6. (] Thedecision by the Board of Patent Appeals and Interference rendered on
`of the decision has expired and there are no allowedclaims.
`
`and because the period for seeking court review
`
`minimize any negative effects on patent term.
`U.S. Patent and Trademark Office
`PTOL-1432 (Rev. 04-01)
`
`Notice of Abandonment
`
`Part of Paper No. 30051230
`
`(cid:36)(cid:37)(cid:54)(cid:3)(cid:42)(cid:79)(cid:82)(cid:69)(cid:68)(cid:79)(cid:15)(cid:3)(cid:44)(cid:81)(cid:70)(cid:17)(cid:3)(cid:68)(cid:81)(cid:71)(cid:3)(cid:42)(cid:72)(cid:81)(cid:88)(cid:86)(cid:3)(cid:83)(cid:79)(cid:70)(cid:3)(cid:177)(cid:3)(cid:40)(cid:91)(cid:17)(cid:3)(cid:20)(cid:19)(cid:20)(cid:25)(cid:15)(cid:3)(cid:83)(cid:17)(cid:3)(cid:21)
`ABS Global, Inc. and Genusplc — Ex. 1016, p. 2
`
`

`

`.
`Applicant(s)
`Examiner-Initiated Interview Summary
`HAUSSECKERET AL.
`imsom——o||
`
`Examiner
`
`Art Unit
`
`Application No.
`
`(Applicant/Applicant’s Representative Signature — if appropriate) U.S. Patent and Trademark Office
`
`All Participants:
`
`(1) Brian J. Sines.
`
`(2) F.E. Amini.
`
`Status of Application: Abandoned.
`
`(3)_
`
`(4).
`
`Date of Interview: 30 December 2005
`
`Time:
`
`Type of Interview:
`X] Telephonic
`_] Video Conference
`( Personal(Copygiven to: 1] Applicant+(LJ Applicant's representative)
`Exhibit Shown or Demonstrated:
`[] Yes
`[XJNo
`If Yes, provide a brief description:
`
`Part I.
`
`Rejection(s) discussed:
`N/A
`
`Claims discussed:
`N/A
`
`Prior art documents discussed:
`N/A
`
`Part Il.
`
`SUBSTANCE OF INTERVIEW DESCRIBING THE GENERAL NATURE OF WHAT WAS DISCUSSED:
`This case is abandoned.
`
`Part Ill.
`
`C It is not necessary for applicant to provide a separate record of the substance ofthe interview,since the interview
`directly resulted in the allowance of the application. The examinerwill provide a written summary of the substance
`of the interview in the Notice of Allowability.
`{XJ It is not necessary for applicant to provide a separate record of the substanceofthe interview, since the interview
`did not result in resolution of all issues. A brief summary by the examiner appearsin Part Il above.
`
`(Examiner/SPE Signature)
`
`PTOL-413B (04-03)
`
`ExaminerInitiated Interview Summary
`
`Paper No. 30051230
`
`(cid:36)(cid:37)(cid:54)(cid:3)(cid:42)(cid:79)(cid:82)(cid:69)(cid:68)(cid:79)(cid:15)(cid:3)(cid:44)(cid:81)(cid:70)(cid:17)(cid:3)(cid:68)(cid:81)(cid:71)(cid:3)(cid:42)(cid:72)(cid:81)(cid:88)(cid:86)(cid:3)(cid:83)(cid:79)(cid:70)(cid:3)(cid:177)(cid:3)(cid:40)(cid:91)(cid:17)(cid:3)(cid:20)(cid:19)(cid:20)(cid:25)(cid:15)(cid:3)(cid:83)(cid:17)(cid:3)(cid:22)
`ABS Global, Inc. and Genusplc — Ex. 1016, p. 3
`
`

`

`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`-
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Virginia 22313-1450
`wwwusplo.gov
`
`10/232,170
`
`08/30/2002
`
`Horst Haussecker
`
`.
`
`P14576
`
`5015
`
`nso
`
`nants
`
`Julia A. Hodge
`c/o BLAKELY, SOKOLOFF, TAYLOR & ZAFMAN LLP
`12400 Wilshire Boulevard
`Seventh Floor
`Los Angeles, CA 90025
`
`‘
`
`SINES, BRIAN J
`
`1743
`
`DATE MAILED:06/28/2005
`
`Please find below and/or attached an Office communication concerningthis application or proceeding.
`
`PTO-90C (Rev. 10/03)
`
`(cid:36)(cid:37)(cid:54)(cid:3)(cid:42)(cid:79)(cid:82)(cid:69)(cid:68)(cid:79)(cid:15)(cid:3)(cid:44)(cid:81)(cid:70)(cid:17)(cid:3)(cid:68)(cid:81)(cid:71)(cid:3)(cid:42)(cid:72)(cid:81)(cid:88)(cid:86)(cid:3)(cid:83)(cid:79)(cid:70)(cid:3)(cid:177)(cid:3)(cid:40)(cid:91)(cid:17)(cid:3)(cid:20)(cid:19)(cid:20)(cid:25)(cid:15)(cid:3)(cid:83)(cid:17)(cid:3)(cid:23)
`ABS Global, Inc. and Genusplc — Ex. 1016, p. 4
`
`

`

`Application No.
`
`Applicant(s)
`
`10/232,170
`Examiner
`
`Art Unitnn
`
`HAUSSECKERETAL.
`
`A SHORTENED STATUTORY PERIOD FOR REPLYIS SET TO EXPIRE 3 MONTH(S) FROM
`THE MAILING DATE OF THIS COMMUNICATION.
`- Extensions of time may be available underthe provisions of 37 CFR 1.136(a).
`after SIX (6) MONTHSfrom the mailing date of this communication.
`ifthe period for reply specified above is less than thirty (30) days, a reply within the statutory minimum of thirty (30) days will be consideredtimely.
`-
`IfNO period for reply is specified above, the maximum statutory period will apply and will expire SIX (68) MONTHS from the mailing date of this communication.
`-
`- Failure to reply within the set or extended period for reply will, by statute, cause the application to become ABANDONED (35 U.S.C. § 133),
`Anyreply received by the Office later than three monthsafter the mailing date of this communication, evenif timely filed, may reduce any
`earned patent term adjustment. See 37 CFR 1.704(b).
`
`* See the attached detailed Office action fora list of the certified copies not received. Attachment(s)
`
`Office Action Summary
`
`~ The MAILING DATEof this communication appears on the cover sheet with the correspondence address--
`Period for Reply
`
`In no event, however, may a reply be timelyfiled
`
`Status
`
`1) Responsive to communication(s) filed on____
`2a)L] This action is FINAL.
`2b)] This action is non-final.
`3)L Sincethis application is in condition for allowance exceptfor formal matters, prosecution as to the merits is
`closed in accordance with the practice under Ex parte Quayle, 1935 C.D. 11, 453 O.G. 213.
`
`Disposition of Claims
`
`4)] Claim(s) 1-40 is/are pending in the application.
`4a) Of the aboveclaim(s)
`is/are withdrawn from consideration.
`5)L) Claim(s)
`is/are allowed.
`6) Claim(s) 1-40 is/are rejected.
`7)L) Claim(s)
`is/are objectedto.
`8)L] Claim(s)___ are subjectto restriction and/or election requirement.
`
`Application Papers
`
`9)C] Thespecification is objected to by the Examiner.
`10)_] The drawing(s)filed on
`is/are: a)L] accepted orb)[_] objected to by the Examiner.
`Applicant may not requestthat any objection to the drawing(s) be held in abeyance. See 37 CFR 1.85(a).
`Replacement drawing sheet(s) including the correction is required if the drawing(s) is objected to. See 37 CFR 1.121(d).
`11)C] The oath or declaration is objected to by the Examiner. Note the attached Office Action or form PTO-152.
`
`Priority under 35 U.S.C. § 119
`
`12)L] Acknowledgmentis madeof a claim for foreign priority under 35 U.S.C. § 119(a)-(d)or(f).
`a)LJAll b)L) Some*c)] Noneof:
`
`1.) Certified copies of the priority documents have been received.
`2.C] Certified copiesofthe priority documents have been received in Application No.
`3.0] Copiesof the certified copiesof the priority documents have beenreceivedin this National Stage
`application from the International Bureau (PCT Rule 17.2(a)).
`
`4) LJ interview Summary (PTO-413)
`1) BX] Notice of References Cited (PTO-892)
`Paper No(s)/Mail Date. __.
`2) CJ Notice of Draftsperson's Patent Drawing Review (PTO-948)
`
`3)XX]Information Disclosure Statement(s) (PTO-1449 or PTO/SB/08) 5) 1] Notice of informalPatent Application (PTO-152)
`
`Paper No(s)/Mail Date
`:
`6) L) other:
`U.S.Patent and Trademark Office
`PTOL-326 (Rev. 1-04)
`
`Office Action Summary
`
`Part of Paper No./Mail Date 20050623
`
`(cid:36)(cid:37)(cid:54)(cid:3)(cid:42)(cid:79)(cid:82)(cid:69)(cid:68)(cid:79)(cid:15)(cid:3)(cid:44)(cid:81)(cid:70)(cid:17)(cid:3)(cid:68)(cid:81)(cid:71)(cid:3)(cid:42)(cid:72)(cid:81)(cid:88)(cid:86)(cid:3)(cid:83)(cid:79)(cid:70)(cid:3)(cid:177)(cid:3)(cid:40)(cid:91)(cid:17)(cid:3)(cid:20)(cid:19)(cid:20)(cid:25)(cid:15)(cid:3)(cid:83)(cid:17)(cid:3)(cid:24)
`ABS Global, Inc. and Genusplc — Ex. 1016, p. 5
`
`

`

`Application/Control Number: 10/232,170
`Art Unit: 1743
`
`Page 2
`
`DETAILED ACTION
`
`Claim Rejections - 35 USC § 102
`
`The following is a quotation of the appropriate paragraphs of 35 U.S.C. 102 that form the
`
`basis for the rejections underthis section madein this Office action:
`
`A person shall beentitled to a patent unless —
`
`(e) the invention was described in a patent granted on an application for patent by anotherfiled in the United
`States before the invention thereof by the applicantfor patent, or on an international application by another who
`has fulfilled the requirements of paragraphs (1), (2), and (4) of section 371(c) ofthis title before the invention
`thereof by the applicant for patent.
`
`Claims 1 — 40 are rejected under 35 U.S.C. 102(e) as being anticipated by Wadaetal.
`
`(U.S. Pat. No. 6,592,821 B1) (hereinafter ““Wada”).
`
`Regarding claims 1 — 12 & 21 — 32, Wadaanticipates a microfluidic apparatus
`
`comprising: a body structure havingaplurality of channels (e.g., 304, 306, 308, 310, 312)
`
`fabricated therein, the plurality of channels comprising a center channel(e.g., the channel
`
`leading down from sample well 300) andaplurality of cascading channel junctions leading from
`intersecting channels 306, 308, 310, etc. Gee col. 5, lines 22 — 67; col. 23, lines 5 — 47; figures 3
`
`& 21). Wada teaches that the body structure is made ofa polymeric material, such as
`polycarbonate (see col. 33,lines 9 — 65). Wada further teachesthe various dimensionsofthe
`
`microfluidic apparatus(see col. 32, line 48 — col. 33, line 17). The Courts have held that a
`
`statement of intended use in an apparatusclaim fails to distinguish over a prior art apparatus. See
`
`In re Sinex, 309 F.2d 488, 492, 135 USPQ 302, 305 (CCPA 1962). The Courts have held that
`
`the manner ofoperating an apparatus doesnotdifferentiate an apparatus claim from the prior
`
`art, if the prior art apparatus teachesall of the structural limitations of the claim. See Ex Parte
`
`Masham, 2 USPQ2d 1647 (BPAI 1987). Furthermore, the Courts have held that apparatus claims
`
`mustbestructurally distinguishable from the priorart in termsofstructure, not function. See Jn
`
`(cid:36)(cid:37)(cid:54)(cid:3)(cid:42)(cid:79)(cid:82)(cid:69)(cid:68)(cid:79)(cid:15)(cid:3)(cid:44)(cid:81)(cid:70)(cid:17)(cid:3)(cid:68)(cid:81)(cid:71)(cid:3)(cid:42)(cid:72)(cid:81)(cid:88)(cid:86)(cid:3)(cid:83)(cid:79)(cid:70)(cid:3)(cid:177)(cid:3)(cid:40)(cid:91)(cid:17)(cid:3)(cid:20)(cid:19)(cid:20)(cid:25)(cid:15)(cid:3)(cid:83)(cid:17)(cid:3)(cid:25)
`ABS Global, Inc. and Genusplc — Ex. 1016, p. 6
`
`

`

`Application/Control Number: 10/232,170
`Art Unit: 1743
`
`Page 3
`
`re Danley, 120 USPQ 528, 531 (CCPA 1959); and Hewlett-Packard Co. V. Bausch and Lomb,
`
`Inc., 15 USPQ2d 1525, 1528 (Fed. Cir. 1990) (see MPEP § 2114).
`
`Regarding claims 13 — 20 & 33 — 40, Wada teaches a methodfor focusing a sample fluid
`
`in a microfluidic process (see col. 10, line 65 — col. 12, line 63; figure 1A). As shown infigure
`
`21, Wada further anticipates a focusing method employing a plurality of cascaded intersecting
`
`channel junctions using a commondetection zone 2100 (see col. 12, lines 51 — 63). Wada
`
`teachesthat particles can be optionally focused with a single focusing channel, or alternately, by
`
`usingaseries ofoffset focusing microchannelsto achieve focusing byserial introduction of
`
`fluids from offset channels (see col. 12, lines 31 — 50;figure 21).
`
`(cid:36)(cid:37)(cid:54)(cid:3)(cid:42)(cid:79)(cid:82)(cid:69)(cid:68)(cid:79)(cid:15)(cid:3)(cid:44)(cid:81)(cid:70)(cid:17)(cid:3)(cid:68)(cid:81)(cid:71)(cid:3)(cid:42)(cid:72)(cid:81)(cid:88)(cid:86)(cid:3)(cid:83)(cid:79)(cid:70)(cid:3)(cid:177)(cid:3)(cid:40)(cid:91)(cid:17)(cid:3)(cid:20)(cid:19)(cid:20)(cid:25)(cid:15)(cid:3)(cid:83)(cid:17)(cid:3)(cid:26)
`ABS Global, Inc. and Genusplc — Ex. 1016, p. 7
`
`

`

`Page 4
`
`Application/Control Number: 10/232,170
`Art Unit: 1743
`
`
`
`Conclusion
`
`The prior art madeof record and notrelied uponis considered pertinent to applicant's
`
`disclosure. The cited prior art teach various analytical microfluidic devices, which can be utilized
`
`~ for hydrodynamic focusing applications.
`
`(cid:36)(cid:37)(cid:54)(cid:3)(cid:42)(cid:79)(cid:82)(cid:69)(cid:68)(cid:79)(cid:15)(cid:3)(cid:44)(cid:81)(cid:70)(cid:17)(cid:3)(cid:68)(cid:81)(cid:71)(cid:3)(cid:42)(cid:72)(cid:81)(cid:88)(cid:86)(cid:3)(cid:83)(cid:79)(cid:70)(cid:3)(cid:177)(cid:3)(cid:40)(cid:91)(cid:17)(cid:3)(cid:20)(cid:19)(cid:20)(cid:25)(cid:15)(cid:3)(cid:83)(cid:17)(cid:3)(cid:27)
`ABS Global, Inc. and Genusplc — Ex. 1016, p. 8
`
`

`

`Application/Control Number: 10/232,170
`Art Unit: 1743
`
`Page 5
`
`Anyinquiry concerning this communicationor earlier communications from the
`
`examiner should be directed to Brian J. Sines, Ph.D. whose telephone numberis (571) 272-
`
`1263. The examiner can normally be reached on Monday - Friday (11 AM - 8 PM EST).
`
`If attempts to reach the examiner by telephone are unsuccessful, the examiner’s
`
`supervisor, Jill A. Warden can be reached on (571) 272-1267. The fax phone numberfor the
`
`organization where this application or proceeding is assigned is 703-872-9306.
`
`Information regarding the status of an application may be obtained from the Patent
`aapremen Information Retrieval(PAIR) system. Status information for published applications
`
`may be obtained from either Private PAIR or Public PAIR. Status information for unpublished
`
`> http://pair-direct.uspto.gov. Should you have questions on accessto the Private PAIR
`
`' applicationsis available through Private PAIR only. For more information about the PAIR
`
` contact the Electronic Business Center (EBC) at 866-217-9197(toll-free).
`
`(cid:36)(cid:37)(cid:54)(cid:3)(cid:42)(cid:79)(cid:82)(cid:69)(cid:68)(cid:79)(cid:15)(cid:3)(cid:44)(cid:81)(cid:70)(cid:17)(cid:3)(cid:68)(cid:81)(cid:71)(cid:3)(cid:42)(cid:72)(cid:81)(cid:88)(cid:86)(cid:3)(cid:83)(cid:79)(cid:70)(cid:3)(cid:177)(cid:3)(cid:40)(cid:91)(cid:17)(cid:3)(cid:20)(cid:19)(cid:20)(cid:25)(cid:15)(cid:3)(cid:83)(cid:17)(cid:3)(cid:28)
`ABS Global, Inc. and Genus plc — Ex. 1016, p. 9
`
`

`

`
`
`PTO/VSB/0B.a/b (08-03)
`Approved for use through 07/31/2006. OMB 0651-0031
`U.S. Patent and Trademark Olfice; U.S. DEPARTMENT OF COMMERCE
`(Under the Paperwork Reduction Aci of 1995, no persons are required to respond to a collection of infarnation untess ii contains a valid OMB cortrol number.
`
`Substitute tor torm 1440A/BPTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`(Use as many sheets as necessary)
`
`10/232,170-Conf. #05015
`August 30, 2002
`
`anunt174
`Examiner Name
`Me
`
`iN
`
`Examiner
`ss
`
`U.S. PATENT DOCUMENTS
`Publication Date
`Name ot Patentee or
`
`STP|ltcE
`
`
`
`ceaseSA
`4 Vi
`Foreign Patent Docunert a Nameof Patentee or
`
`mages mmopvey|Applicant of Cited Document|/| No. r
`
`
`
`
`CH|| WO 00/70080 11-23-2000 [CaliperTechnologies Comp.et esE
`al.
`AZ
`
`EXAMINER: Initial if referance considered, whether or not citation is in conformance with MPEP 609. Draw ling throughcitation if not in conformance and not
`
`
`cynsidered,
`Include copy of this form with naxt communication to applicant,
`‘Applicant's unique citation designation number (optional). * See Kinds Codes of
`PTO Patent Documents al www.wsoto.qov or MPEP 901,04.
`> Enter Office that issued the document, by the two-letter code (WIPO Standard ST.3).
`* For
`Japanese patent documents,the indication of the year of the reign of the Emperor mus! precede the serial numberof the patent documant. ® Kind of document
`by the appropriate symbols as Indicated on the documant under WIPO Standard ST.16 i! possible. § Applicant is to place a check mark hereif English language
`Translation is attacbed.
`
`|of NON PATENT LITERATURE DOCUMENTS
`
`Examiner|£
`Include nameof the author (in CAPITAL LETTERS),title of the article (when appropriate),title of the item (book,
`Initials volume-issue number(s), publisher, city|T*magazine,journal, serial, symposium, catalog, etc.), date, page(s),
`
`
`lished.
`LAY.
`di
`wh
`i
`all
`i}
`ks
`Combined Search and Examination Report dated November10, 2003, in counterpart, British
`TA
`Patent Application No.
`
`(GB) 0310257.1.
`
`EXAMINER:Inillal if reference considered, whether or not citation is in conformance wilh MPEP 609. Drawline through citation if nolin conformanceand not
`gonsidered. Include copy of this form with next communication to applicant.
`‘Applicant's unique citation designation number(optional). “Applicant Is to place a check mark here if English language Translation is attached.
`
`fe
`(\H
`At/
`Exami
`eensizoos|C/23/2005|
`Sates Hp
`
`
`
`
`(cid:36)(cid:37)(cid:54)(cid:3)(cid:42)(cid:79)(cid:82)(cid:69)(cid:68)(cid:79)(cid:15)(cid:3)(cid:44)(cid:81)(cid:70)(cid:17)(cid:3)(cid:68)(cid:81)(cid:71)(cid:3)(cid:42)(cid:72)(cid:81)(cid:88)(cid:86)(cid:3)(cid:83)(cid:79)(cid:70)(cid:3)(cid:177)(cid:3)(cid:40)(cid:91)(cid:17)(cid:3)(cid:20)(cid:19)(cid:20)(cid:25)(cid:15)(cid:3)(cid:83)(cid:17)(cid:3)(cid:20)(cid:19)
`ABS Global, Inc. and Genusplc — Ex. 1016, p. 10
`
`

`

`
`
`
`INFORMATION DISCLOSURE
`
`STATEMENT BY APPLICANT
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`ABS Global, Inc. and Genusplc — Ex. 1016, p. 11
`
`

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`
`(cid:36)(cid:37)(cid:54)(cid:3)(cid:42)(cid:79)(cid:82)(cid:69)(cid:68)(cid:79)(cid:15)(cid:3)(cid:44)(cid:81)(cid:70)(cid:17)(cid:3)(cid:68)(cid:81)(cid:71)(cid:3)(cid:42)(cid:72)(cid:81)(cid:88)(cid:86)(cid:3)(cid:83)(cid:79)(cid:70)(cid:3)(cid:177)(cid:3)(cid:40)(cid:91)(cid:17)(cid:3)(cid:20)(cid:19)(cid:20)(cid:25)(cid:15)(cid:3)(cid:83)(cid:17)(cid:3)(cid:20)(cid:21)
`ABS Global, Inc. and Genusplc — Ex. 1016, p. 12
`
`

`

`
`
`[FigDie|August 30, 200
`
`
`
`
` Substitute for form 1449A/PTO
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`
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`
`NON PATENT LITERATURE DOCUMENTS
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`(cid:36)(cid:37)(cid:54)(cid:3)(cid:42)(cid:79)(cid:82)(cid:69)(cid:68)(cid:79)(cid:15)(cid:3)(cid:44)(cid:81)(cid:70)(cid:17)(cid:3)(cid:68)(cid:81)(cid:71)(cid:3)(cid:42)(cid:72)(cid:81)(cid:88)(cid:86)(cid:3)(cid:83)(cid:79)(cid:70)(cid:3)(cid:177)(cid:3)(cid:40)(cid:91)(cid:17)(cid:3)(cid:20)(cid:19)(cid:20)(cid:25)(cid:15)(cid:3)(cid:83)(cid:17)(cid:3)(cid:20)(cid:22)
`ABS Global, Inc. and Genusplc — Ex. 1016, p. 13
`
`

`

`Page 1 of 1
`
`Notice of References Cited
`
`Application/Control No.
`
`10/232,170
`Examiner
`
`Brian J. Sines
`
`U.S. PATENT DOCUMENTS
`
`Applicant(s)/Patent Under
`Reexamination
`HAUSSECKERETAL.
`Art Unit
`
`1743
`
`Document Number
`Country Code-Number-Kind Code
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`Date
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`Classification
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`‘NON-PATENT DOCUMENTS
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`Dates in MM-YYYY format are publication dates. Classifications may be US orforeign.
`U.S. Patent and Trademark Office
`PTO-892 (Rev. 01-2001)
`
`Notice of References Cited
`
`Part of Paper No. 20050623
`
`(cid:36)(cid:37)(cid:54)(cid:3)(cid:42)(cid:79)(cid:82)(cid:69)(cid:68)(cid:79)(cid:15)(cid:3)(cid:44)(cid:81)(cid:70)(cid:17)(cid:3)(cid:68)(cid:81)(cid:71)(cid:3)(cid:42)(cid:72)(cid:81)(cid:88)(cid:86)(cid:3)(cid:83)(cid:79)(cid:70)(cid:3)(cid:177)(cid:3)(cid:40)(cid:91)(cid:17)(cid:3)(cid:20)(cid:19)(cid:20)(cid:25)(cid:15)(cid:3)(cid:83)(cid:17)(cid:3)(cid:20)(cid:23)
`ABS Global, Inc. and Genusplc — Ex. 1016, p. 14
`
`

`

`Index of Claims
`
`Application/Control No.
`
`10/232,170
`Examiner
`
`Brian J. Sines
`
`Applicant(s)/Patent under
`Reexamination
`
`HAUSSECKER ETAL.
`Art Unit
`
`1743
`
`
`=| Seen”|| Moses] [a]noel
`
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`Part of Paper No. 20050623
`
`(cid:36)(cid:37)(cid:54)(cid:3)(cid:42)(cid:79)(cid:82)(cid:69)(cid:68)(cid:79)(cid:15)(cid:3)(cid:44)(cid:81)(cid:70)(cid:17)(cid:3)(cid:68)(cid:81)(cid:71)(cid:3)(cid:42)(cid:72)(cid:81)(cid:88)(cid:86)(cid:3)(cid:83)(cid:79)(cid:70)(cid:3)(cid:177)(cid:3)(cid:40)(cid:91)(cid:17)(cid:3)(cid:20)(cid:19)(cid:20)(cid:25)(cid:15)(cid:3)(cid:83)(cid:17)(cid:3)(cid:20)(cid:24)
`ABS Global, Inc. and Genusplc — Ex. 1016, p. 15
`
`

`

`Art Unit Application/Control No.
`WINNIE) at
`
`Examiner
`
`
`
`Brian J. Sines 1743
`
`Applicant(s)/Patent under
`
`
`
`SEARCH NOTES
`(INCLUDING SEARCH STRATEGY)
`
`PL
`
`
`
`
`
`
`U.S. Patent and Trademark Office
`
`Part of Paper No. 20050623
`
`(cid:36)(cid:37)(cid:54)(cid:3)(cid:42)(cid:79)(cid:82)(cid:69)(cid:68)(cid:79)(cid:15)(cid:3)(cid:44)(cid:81)(cid:70)(cid:17)(cid:3)(cid:68)(cid:81)(cid:71)(cid:3)(cid:42)(cid:72)(cid:81)(cid:88)(cid:86)(cid:3)(cid:83)(cid:79)(cid:70)(cid:3)(cid:177)(cid:3)(cid:40)(cid:91)(cid:17)(cid:3)(cid:20)(cid:19)(cid:20)(cid:25)(cid:15)(cid:3)(cid:83)(cid:17)(cid:3)(cid:20)(cid:25)
`ABS Global, Inc. and Genusplc — Ex. 1016, p. 16
`
`

`

`[ae[er
`
`1
`
`IS&R 1
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` p| and cascaded adj
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`((422/50,68.1,81,82,100,101
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`6/25/2005, EAST Version: 2.0.1.4
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`ABS Global, Inc. and Genusplc — Ex. 1016, p. 17
`
`

`

`
`
`
`
`(to be usedfor all correspondenceafterinitialfiling)
`First Named Inventor
`Horst Haussecker
`
`
`
`
`Total NumberofPagesin This Submission|8|Attomey Docket Number|42P14576
`
`
`
`
`
`
`Art Unit
`
`1744
`
`é
`
`ENCLOSURES
`
`(checkall that apply)
`
`i Fee Transmittal Form
`[[] FeeAttached
`C] Amendment/ Response
`
`C] Drawing(s)
`[_] Licensing-relsied Papers
`C] Petition
`
`After Allowance Communication
`to Group
`[_] pgs!GommnanicationsBoard
`TC] AppealCommunication toGroup
`
`Petition to Convert a
`Provisi
`Anplicati
`iiiians
`ication
`[] PowerofAttorney, Revocation
`Change ofCorrespondence Address
`C] Terminal Disclaimer
`
`i
`C] Propri
`oprietary Information
`
`i) Status Letter
`
`X Other Enclosure(s)
`(please identifybelow):
`
`O esipestforReemued
`[_] cb, Numberof cos)
`
`Return Receipt Postcard
`
`After Final
`Affidavits/declaration(s)
`
`Extension of Time Request
`
`Express Abandonment Request
`Information Disclosure Statement
`[] Provsevos
`Certified Copy
`of Priori
`Documenta)”
`wv
`Response to Missing Parts/
`Incomplete Application
`[_] Basic Filing Fee
`C] Declaration/POA
`Response to Mesing
`Parts under 37 CFI
`1.52 of 1.53
`
`SIGNATURE OF APPLICANT, ATTORNEY, OR AGENT
`
`Farzad E. Amini, Reg. No. 42,261
`rm
`Individualname|BLAKELY, SQKOLOFF, TAYLOR & ZAFMAN LLP
`eee|ee
`
`ry
`
`ss
`
`| herebycertify that this correspondence is being deposited with the United States Postal Service on the date shown below with sufficient
`postage as first class mail in an envelope addressed to: Mail Stop Amendment, Commissionerfor Patents, P.O. Box 1450, Alexandria,
`VA 22313-1450.
`
`Typed or printed name|Margaux Rodriguez
`=
`signatureNYVopn(AsAdion|vate|May 5, 2005
`Based on PTO/SBI21(04-04) as modified by Blakely. Kolok&g,, Thylor
`4 Zafman(wir) 06/0492004
`=
`SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA'22313-1450
`
`(cid:36)(cid:37)(cid:54)(cid:3)(cid:42)(cid:79)(cid:82)(cid:69)(cid:68)(cid:79)(cid:15)(cid:3)(cid:44)(cid:81)(cid:70)(cid:17)(cid:3)(cid:68)(cid:81)(cid:71)(cid:3)(cid:42)(cid:72)(cid:81)(cid:88)(cid:86)(cid:3)(cid:83)(cid:79)(cid:70)(cid:3)(cid:177)(cid:3)(cid:40)(cid:91)(cid:17)(cid:3)(cid:20)(cid:19)(cid:20)(cid:25)(cid:15)(cid:3)(cid:83)(cid:17)(cid:3)(cid:20)(cid:27)
`ABS Global, Inc. and Genusplc — Ex. 1016, p. 18
`
`

`

`
`
`
` BRANSMITTAL
`
`
`or FY 2005
`
`
`
`
`
`([] Applicant claims small entity status. See 37 CFR 1.27.
`TOTAL AMOUNT OF PAYMENT
`
`10/232,170
`August 30, 2002
`
`
`Examiner Name
`To Be Determined
`1744
`
`Attomey DocketNo.
`42P 14576
`
`
`
`
`
`
`
`
`
` =
`
`Small Entity
`Fee Fee
`Code ($)
`2051
`65 Surcharge- late filing fee or oath
`2052
`25 Surcharge- late provisional filing fee or cover sheet.
`2053
`Non-English specification
`2251
`60 Extension for reply within first month
`2252=225 ~Extension for reply within second month
`2253
`510 Extension for reply within third month
`2254
`Extension for reply within fourth month
`2255
`Extension for reply within fifth month
`2401
`Notice of Appeal
`2402
`Filing a brief in support of an appeal
`2403
`Request for oral hearing
`2451
`Petition to institute a public use proceeding
`2460
`Petitions to the Commissioner
`-
`1807
`Processing fee under 37 CFR 1.17(q)
`1806
`Submission of Information Disclosure Stmt
`1809
`Filing a submission after final rejection (37 CFR § 1.129(a))
`2810
`For each additional invention to be examined (37 CFR § 1.129(b))
`Otherfee (specify)
`
`METHOD OF PAYMENT (checkall that apply)
`[Other(pleaseidentify):
`(check [1Credit card [] Money Order
`[JNone
`
`
`
`XI Deposit Account Deposit Account Number: 02-2666 Deposit Account Name:Blakely,Sokoloff,Taylor&ZafmanLLP
`For the above-identified deposit account, the Director is hereby authorizedto: (checkall that apply)
`C1 Chargefee(s) indicated below
`(J Charge fee(s) indicated below, exceptfor the filing fee
`& Charge any additional fee(s) or underpaymentof fee(s) & Credit any overpayments
`under 37 CFR §§ 1.16, 1.17, 1.18 and 1.20.
`
`FEE CALCULATION
`
`Large Entity
`
`Fee Description
`
`SUBTOTAL(2)
`
`Y
`
`if applicable
`lete
`TENTED
`(310) 207-3800
`Name on
`VOFtn27te|(05/05/05
`£ f:Z
`Based on PTO/SB/17 (12-04) a
`in (wir) 12/15/2004,
`SEND TO: Commissioner for Patents, P.O.
`1450
`
`Comp
`
`(cid:36)(cid:37)(cid:54)(cid:3)(cid:42)(cid:79)(cid:82)(cid:69)(cid:68)(cid:79)(cid:15)(cid:3)(cid:44)(cid:81)(cid:70)(cid:17)(cid:3)(cid:68)(cid:81)(cid:71)(cid:3)(cid:42)(cid:72)(cid:81)(cid:88)(cid:86)(cid:3)(cid:83)(cid:79)(cid:70)(cid:3)(cid:177)(cid:3)(cid:40)(cid:91)(cid:17)(cid:3)(cid:20)(cid:19)(cid:20)(cid:25)(cid:15)(cid:3)(cid:83)(cid:17)(cid:3)(cid:20)(cid:28)
`ABS Global, Inc. and Genusplc — Ex. 1016, p. 19
`
`

`

`
`
`Docket No.; 42P14576
`
`Horst HAUSSECKER,ET AL.
`
`Art Group: 1744
`
`ppheaben: Ne.r, W2s2.170
`Applicati
`fj
`:
`Filed: August 30, 2002
`
`Examiner:
`
`To Be Determined
`‘
`
`For: CASCADED H