Doc Code: DIST.E.FILE
`
`Document Description: Electronic Terminal Disclaimer - Filed
`
`PTO/SB/26
`US. Patent and Trademark Office
`
`Department of Commerce
`
`Electronic Petition Request
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`TERMINAL DISCLAIMER TO OBVIATE A DOUBLE PATENTING REJECTION OVER A
`llPRIOR” PATENT
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`Title of Invention
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`BREATHING ASSISTANCE APPARATUS
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`IX Filing of terminal disclaimer does not obviate requirement for response under 37 CFR 1.111 to outstanding
`Office Action
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`g This electronic Terminal Disclaimer is not being used for a Joint Research Agreement.
`
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`
`Fisher & Paykel Healthcare Limited
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`100%
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`The owner(s) with percent interest listed above in the instant application hereby disclaims, except as provided below, the
`terminal part of the statutory term ofany patent granted on the instant application which would extend beyond the expiration
`date of the full statutory term of prior patent number(s)
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`9974914
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`as the term of said prior patent is presently shortened by any terminal disclaimer. The owner hereby agrees that any patent so
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`In making the above disclaimer, the owner does not disclaim the terminal part of the term ofany patent granted on the instant
`application that would extend to the expiration date of the full statutory term of the prior patent, "as the term of said prior patent
`is presently shortened by any terminal disclaimer," in the event that said prior patent later:
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`- is reissued; or
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`@ Terminal disclaimer fee under 37 CFR 1.20(d) is included with Electronic Terminal Disclaimer request.
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`EXHIBIT 1004 - PAGE 1
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`O I certify, in accordance with 37 CFR 1.4(d)(4), that the terminal disclaimer fee under 37 CFR1.20(d)
`required for this terminal disclaimer has already been paid in the above-identified application.
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`Applicant claims the following fee status:
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`THIS PORTION MUST BE COMPLETED BY THE SIGNATORY OR SIGNATORIES
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`I certify, in accordance with 37 CFR 1.4(d)(4) that I am:
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`this application
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`O A sole inventor
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`O Ajoint inventor; I certify that I am authorized to sign this submission on behalf ofall of the inventors as evidenced by the
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`0 Ajoint inventor; all of whom are signing this request
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`5'
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`t
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`*Statement under 37 CFR 3.73(b) is required if terminal disclaimer is signed by the assignee (owner).
`Form PTO/SB/96 may be used for making this certification. See MPEP § 324.
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`EXHIBIT 1004 - PAGE 2
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`

`

`Electronic Patent Application Fee Transmittal
`
`Title of Invention:
`
`BREATHING ASSISTANCE APPARATUS
`
`First Named Inventor/Applicant Name:
`
`Alastair Edwin McAuley
`
`_ MlChael A GUIllana/Thquuyen Nguyen
`
`Attorney Docket Number:
`
`FPHCR.112C2
`
`Filed as Large Entity
`
`Filing Fees for Utility under 35 USC111(a)
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`Miscellaneous-Filing:
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`EXHIBIT 1004 - PAGE 3
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`

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`.
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`Sub-Total in
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`-
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`-
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`Total in USD (5)
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`Miscellaneous:
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`EXHIBIT 1004 - PAGE 4
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`EXHIBIT 1004 - PAGE 4
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`

`

`Doc Code: DISQ.E.F|LE
`Document Description: Electronic Terminal Disclaimer — Approved
`
`Application No.2 14846226
`
`Filing Date:
`
`04-Sep-2015
`
`Applicant/Patent under Reexamination:
`
`McAuley
`
`Electronic Terminal Disclaimer filed on
`
`September 10, 2018
`
`E APPROVED
`
`This patent is subject to a terminal disclaimer
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`|:|
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`DISAPPROVED
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`Approved/Disapproved by: Electronic Terminal Disclaimer automatically approved by EFS-Web
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`US. Patent and Trademark Office
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`EXHIBIT 1004 - PAGE 5
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`EXHIBIT 1004 - PAGE 5
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`

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`Title of Invention:
`
`BREATHING ASSISTANCE APPARATUS
`
`Electronic Acknowledgement Receipt
`
`“—
`
`——
`
`
`
`——
`
`Payment information:
`
`37 CFR 1.17 (Patent application and reexamination processing fees)
`
`Authorized User
`
`Thquuyen Nguyen
`
`The Director of the USPTO is hereby authorized to charge indicated fees and credit any overpayment as follows:
`
`37 CFR 1.16 (National application filing, search, and examination fees)
`
`EXHIBIT 1004 - PAGE 6
`
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`EXHIBIT 1004 - PAGE 6
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`

`

`File Listing:
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`Document
`Number
`
`Document Descri
`
`tion
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`p
`
`File Size(Bytes)/
`Message Digest
`
`Pages
`Multi
`Part /.zip (if appl.)
`
`1
`
`Terminal Disclaimer—Filed (Electronic)
`
`eTerminaI—Disclaimer.pdf
`
`66ced9eafBe36e03b4bf88d4ad22976d8ca
`77c58
`
`Information:
`
`2
`
`Fee Worksheet (SBO6)
`
`fee—info.pdf
`
`5eed963b2c414eb3199a48c520183f49f20-
`cad6
`
`Information:
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`Total Files Size (in bytes)
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`the application.
`
`New Applications 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 Application 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/EO/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 Application 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 1810), a Notification of the International Application Number
`and of the International Filing Date (Form PCT/RO/105) 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
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`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.
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`RMD
`EXHIBIT 1004 - PAGE 7
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`

`

`www.uspto.gov
`
`UNITED STATES DEPARTIVEENT OF COlVllVIERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`PO. Box 1450
`Alexandria1 Virginia 22313-1450
`
`APPLICATION NUMBER
`
`PATENT NUMBER
`
`GROUP ART UNIT
`
`REQUEST ID
`
`14/846,226
`
`9333315
`
`3778
`
`67732
`
`PAIR Correspondence Address/Fee Address Change
`
`The following fields have been changed to Customer Number 10802 on 07/16/2018 Via Private PAIR in View of
`
`the certification copied below that authorized the change.
`
`0 Maintenance Fee Address
`
`The address for Customer Number 10802 is:
`10802
`
`Ipan Intellectual Property Associated Network GMBH
`Munchener Strasse 14
`
`Munich, D-85540
`GERMANY
`
`I certify, in accordance with 37 CFR 1.4(d)(4) that I am:
`
`An attorney or Agent of Record registered to practice before the Patent and Trademark Office who has been given
`
`power of attorney in this application
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` I' egistration Number:
`
`44304
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`RMD
`EXHIBIT 1004 - PAGE 8
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`EXHIBIT 1004 - PAGE 8
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`

`

`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMIVHSSIONER FOR PATENTS
`PO. Box 1450
`Alexandria1 Virginia 22313-1450
`www.uspto.gov
`
`APPLICATION NO.
`
`14/846,226
`
`ISSUE DATE
`
`05/10/2016
`
`PATENT NO.
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`9333315
`
`FPHCR.112C2
`
`8898
`
`20995
`
`7590
`
`04/20/2016
`
`KNOBBE MARTENS OLSON & BEAR LLP
`2040 MAIN STREET
`FOURTEENTH FLOOR
`IRVINE, CA 92614
`
`The projected patent number and issue date are specified above.
`
`ISSUE NOTIFICATION
`
`Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)
`(application filed on or after May 29, 2000)
`
`The Patent Term Adjustment is 0 day(s). Any patent to issue from the above—identified application will include
`an indication of the adjustment on the front page.
`
`If a Continued Prosecution Application (CPA) was filed in the above—identified application, the filing date that
`determines Patent Term Adjustment is the filing date of the most recent CPA.
`
`Applicant will be able to obtain more detailed information by accessing the Patent Application Information
`Retrieval (PAIR) WEB site (http://pair.uspto. gov).
`
`Any questions regarding the Patent Term Extension or Adjustment determination should be directed to the
`Office of Patent Legal Administration at (571)—272—7702. Questions relating to issue and publication fee
`payments should be directed to the Application Assistance Unit (AAU) of the Office of Data Management
`(ODM) at (571)-272-4200.
`
`APPLICANT(S) (Please see PAIR WEB site http://pair.uspto. gov for additional applicants):
`
`Alastair Edwin McAuley, Dallas, TX;
`Fisher & Paykel Healthcare Limited, Auckland, NEW ZEALAND;
`Craig Robert Prentice, Auckland, NEW ZEALAND;
`Oliver Gleeson, Auckland, NEW ZEALAND;
`
`The United States represents the largest, most dynamic marketplace in the world and is an unparalleled location
`for business investment, innovation, and commercialization of new technologies. The USA offers tremendous
`resources and advantages for those who invest and manufacture goods here. Through SelectUSA, our nation
`works to encourage and facilitate business investment. To learn more about why the USA is the best country in
`the world to develop technology, manufacture products, and grow your business, visit SelectUSA.gov.
`
`IR103 (Rev. 10/09)
`
`RMD
`
`EXHIBIT 1004 - PAGE 9
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`EXHIBIT 1004 - PAGE 9
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`

`

`
`PTO/SB/08 Equivalent
`
`Application No.
`Unknown
`
`Filing Date
`Herewith
`
`First Named Inventor Alastair Edwin McAuley
`STATEMENT BY APPLICANT
`
`Art Unit
`Unknown
`
`INFORMATION DISCLOSURE
`
`(Multiple sheets used when necessary)
`
`Examiner
`
`Unknown
`
`
`
`
`
`SHEET 2 OF 5
`Attorney Docket No.
`FPHCR.112C2
`
`
`
`U.S. PATENT DOCUMENTS
`
`Examiner Cite
`Document Numper
`Publication
`Pages, Columns, Lines Where
`Initials
`No. Number - Kind Code (if known)
`Date
`Name
`Relevant Passages or
`
`Example:
`1,234,567 B1
`MM-DD-YYYY
`Relevant Figures Appear
`
`29
`5,065,756
`11-19-1991
`Rapoport
`
`
`Aim-ad- Tagebi
`03-10-1992
`5,094,236
`Changeés) Wtdm
`
`Dickerman et al.
`05-19-1992
`5,113,857
`to Clam,
`31
`
`/J..G
`32
`5,148,802
`09-22-1992
`Sanders et al.
`
`4/] 1 1&6
`33
`5,245,995
`09-21-1993
`Sullivan et al.
`
`34
`5,269,296
`12-14-1993
`Landis
`
`
`35
`5,477,852
`12-26-1995
`Landis et al.
`
`
`36
`5,533,506
`07-09-1996 Wood
`
`
`37
`5,551,419
`09-03-1996
`Froehlich et al.
`
`
`38
`5,595,174
`01-21-19997 Gwaltney
`
`39
`5,657,752
`08-19-1997
`Landis et al.
`
`
`40
`5,752,510
`05-19-1998
`Goldstein
`
`
`41
`5,921,239
`07-13-1999 McCall et al.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`42
`6,017,315
`01-25-2000
`Starr et al.
`
`
`43
`6,298,850
`10-09-2001
`Argraves
`
`44
`6,431,172
`08-13-2002
`Bordewick
`
`
`45
`6,435,181
`08-20-2002
`Jones, Jr. et al.
`
`
`46
`6,439,234
`08-27-2002
`Curti et al.
`
`
`47
`6,478,026
`11-12-2002 Wood
`
`
`48
`6,561,188
`08-13-2003
`Ellis
`
`
`49
`6,561,191
`05-13-2003
`Kwok
`
`
`50
`6,581,594
`06-24-2003
`Drew, et al.
`
`
`51
`6,588,424
`07-08-2003
`Bardel
`
`
`52
`6,637,434
`10-28-2003
`Noble
`
`
`53
`6,644,315
`11-11-2003
`Ziaee
`
`
`54
`6,651,658
`11-25-2003
`Hill et al.
`
`
`55
`6,659,102
`12-09-2003
`Sico
`
`
`56
`6,662,803
`12-16-2003 Gradon, et al.
`
`ALL REFERENqE" l" N EDERED EXAEPT WHERE LENED THROUGH,
`
`/A.D./ (12/01/2015)
`
`ExaminerSignature
`
`‘;-
`
`i
`
`;-
`
`_
`
`.
`
`,
`
`DateConsidered
`
`Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if
`*Examiner:
`not in conformance and not considered.
`Include copy of this form with next communication to applicant.
`
`T - Place a check mark in this area when an English language Translation is attached.
`
`RMD
`EXHIBIT 1004 - PAGE 10
`
`
`
`RMD
`EXHIBIT 1004 - PAGE 10
`
`

`

`
`PTO/SB/08 Equivalent
`
`Application No.
`Unknown
`
`Filing Date
`Herewith
`
`First Named Inventor Alastair Edwin McAuley
`STATEMENT BY APPLICANT
`
`Art Unit
`Unknown
`
`INFORMATION DISCLOSURE
`
`(Multiple sheets used when necessary)
`
`Examiner
`
`Unknown
`
`
`
`
`
`SHEET 3 OF 5
`Attorney Docket No.
`FPHCR.112C2
`
`
`
`U.S. PATENT DOCUMENTS
`
`Examiner Cite
`Document Numper
`Publication
`Pages, Columns, Lines Where
`Initials
`No. Number - Kind Code (if known)
`Date
`Name
`Relevant Passages or
`
`Example:
`1,234,567 B1
`MM-DD-YYYY
`Relevant Figures Appear
`
`57
`6,679,265
`01-20-2004
`Strickland et al.
`
`
`58
`6,851,425
`02-08-2005
`Jaffre et al.
`
`
`59
`6,892,729
`05-17-2005
`Smith et al.
`
`
`60
`7,004,165
`02-28-2006
`Salcido
`
`
`61
`7,096,864
`08-29-2006 Mayer et al.
`
`62
`7,201,169
`04-10-2007 Wilkie et al.
`
`
`63
`7,207,333
`04-24-2007
`Tohara
`
`
`64
`7,210,481
`05-01-2007
`Lovell et al.
`
`
`65
`7,353,827
`04-08-2008 Geist
`
`
`66
`8,042,539
`10-25-2011
`Chandran, et al.
`
`
`67
`8,783,257
`07-22-2014 McAuley et al.
`
`68
`2002/0046755
`04-25-2002 Voss
`
`
`69
`2002/0053347
`05-09-2002
`Ziaee
`
`
`70
`2002/0059935
`05-23-2002 Wood
`
`
`71
`2002/0096178
`07-25-2002
`Ziaee
`
`
`72
`2003/0005933
`01-09-2003
`Izuchukwu
`
`
`73
`2003/0079749
`05-01-2003
`Strickland et al.
`
`
`Chan
`l74
`l'
`2003/0164170
`09-02-2003
`'R-esmecl Drew et al.
`
`to cloZ—Hment,
`75
`2003/0196659
`10-23-2003 Gradon, et al.
`
`76
`2003/0196664
`10-23-2003
`Jacobson
`/JG
`
`4/] 1 2.01 6
`77
`2003/0200970
`10-30-2003
`Stenzler et al.
`
`78
`2004/0226566
`11-18-2004 Gunaratnam et al.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`79
`2005/0011524
`01-20-2005
`Thomlinson et al.
`
`
`80
`2005/0028822
`02-10-2005
`Sleeper et al.
`
`81
`2005/0205096
`09-22-2005 Matula et al.
`
`
`82
`2007/0137653
`06-21-2007 Wood
`
`
`83
`2012/0125339
`05-24-2012
`Ho et al.
`
`
`84
`D250,047
`10-24-1978
`Lewis, et al.
`
`ALL REFERENqE" l" N EDERED EXAEPT WHERE LENED THROUGH,
`
`/A.D./ (12/01/2015)
`
`ExaminerSignature
`
`‘;-
`
`i
`
`;-
`
`_
`
`.
`
`,
`
`DateConsidered
`
`Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if
`*Examiner:
`not in conformance and not considered.
`Include copy of this form with next communication to applicant.
`
`T - Place a check mark in this area when an English language Translation is attached.
`
`RMD
`EXHIBIT 1004 - PAGE 11
`
`
`
`RMD
`EXHIBIT 1004 - PAGE 11
`
`

`

`PART B - FEE(S) TRANSMITTAL
`
`Complete and send this form, together with applicable fee(s), to: Mail Mail Stop ISSUE FEE
`Commissioner for Patents
`PO. Box 1450
`Alexandria, Virginia 22313-1450
`or m (571)-273-2885
`
`through 5 should be completed where
`INSTRUCTIONS: This form should be used for transmitting the ISSUE FEE and PUBLICATION FEE (if required). Blocks 1
`ap ropriate. All further correspondence including the Patent, advance orders and notification of maintenance fees will be mailed to the current correspondence address as
`indicated unless corrected below or directed otherwise in Block 1, by (a) specifying a new correspondence address; and/or (b) indicating a separate "FEE ADDRESS" for
`maintenance fee notifications.
`
`CURRENT CORRESPONDENCE ADDRESS (Note: Use Block 1 for any change ofaddFESS)
`
`04/05/2016
`7590
`20995
`KNOBBE MARTENS OLSON & BEAR LLP
`2040 MAIN STREET
`FOURTEENTH FLOOR
`IRVINE CA 92614
`
`Note: A certificate of mailin can only be used for domestic mailings of the
`Fee(s) Transmittal. This certi icate cannot be used for any other accompanying
`apers. Each additional paper, such as an assignment or formal drawing, must
`gave 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 (571) 273—2885, on the date indicated below.
`
`(Date)
`
`(DCP‘W'SW)
`(Signature)
`
`APPLICATION NO.
`
`FILING DATE
`
`
`
`
`
` F {ST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`09/04/2015
`14/846,226
`TITLE OF INVENTION: BREATHING ASSISTANCE APPARATUS
`
`Alastair Edwin McAuley
`
`FPHCR.112C2
`
`8898
`
`APPLN. TYPE
`
`ENTITY STATUS
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE
`
`PREV. PAID ISSUE FEE
`
`TOTAL FEE(S) DUE
`
`DATE DUE
`
`nonprovisional
`
`UNDISCOUNTED
`
`$960
`
`$0
`
`$0
`
`$960
`
`07/05/2016
`
`EXAMINER
`
`ART UNIT
`
`CLASS-SUB CLASS
`
`DIXON, ANNETTE FREDRICKA
`
`3778
`
`128—207180
`
`1. Change of correspondence address or indication of "Fee Address" (37
`CFR 1.363).
`
`3 Chan e of correspondence address (or Change of Correspondence
`Address orm PTO/SB/ 122) attached.
`
`
`
`2. For printing on the patent front page, list
`(1) The names of up to 31 registered patent attorneys
`1 KnObbe’ IVIartenS,
`
`or agents OR, a ternat1ve y,
`2 OIson & Bear, LLP
`(2) The name of a single firm (having as a member a
`registered attorney or agent) and the names of up to
`
`2 registered patent attorneys or agents. If no name is
`listed, no name will be printed.
`
`3
`
`
`
`3 "Fee Address" indication (or "Fee Address" Indication form
`PTO/SB/47; Rev 03—02 or more recent) attached. Use of a Customer
`Vumber is required.
`3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
`If an assignee is identified below, the document has been filed for
`PLEASE NOTE: Unless an assignee is identified below, no assignee data will appear on the patent.
`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)
`
`Fisher & Paykel Healthcare Limited
`
`Auckland, New Zealand
`
`Please check the appropriate assignee category or categories (will not be printed on the patent) :
`
`'3 Individual m Corporation or other private group entity '3 Government
`
`4a. ge following fee(s) are submitted:
`Issue Fee
`
`3 Publication Fee (No small entity discount permitted)
`3 Advance Order — # of Copies
`
`4b. Payment ofFee(s): (Please first reapply any previously paid issue fee shown above)
`3 A check is enclosed.
`
`3 Payment by credit card. Form PTO—2038 is attached.
`XThe director is hereby authorized to charge the rfiquifeil Iii“)! any deficiency, or credits any
`overpayment, to Deposit Account Number
`-
`(enclose an extra copy of this form).
`
`5. Change in Entity Status (from status indicated above)
`3 Applicant certifying micro entity status. See 37 CFR 1.29
`
`3 Applicant asserting small entity status. See 37 CFR 1.27
`
` 3 Applicant changing to regular undiscounted fee status.
`
`NOTE: Absent a valid certification of Micro Entity Status (see forms PTO/SB/ 15A and 15B), issue
`fee payment in the micro entity amount will not be accepted at the risk of application abandonment.
`NOTE: If the application was previously under micro entity status, checking this box will be taken
`to be a notification of loss of entitlement to micro entity status.
`NOTE: Checking this box will be taken to be a notification of loss of entitlement to small or micro
`entity status, as applicable.
`NOTE: This form must be si ned in accordance with 37 CFR 1.31 and 1.33. See 37 CFR 1.4 for si nature re uirements and certifications.
`
`Authorized SignatureW Date April 7, 201 6
`
`Typed or printed name M iChael A- GU I I Iana
`Registration No.
`42 , 61 1
`
`PTOL—85 Part B (10—13) Approved for use through 10/31/2013.
`
`OMB 0651—0033
`
`Page 2 of 3
`
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`US. Patent and Trademark Office; US. DEPARTMENT OF COMMERCE
`
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`EXHIBIT 1004 - PAGE 12
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`

`

`Electronic Patent Application Fee Transmittal
`
`Title of Invention:
`
`BREATHING ASSISTANCE APPARATUS
`
`First Named Inventor/Applicant Name:
`
`Alastair Edwin McAuley
`
`Attorney Docket Number:
`
`FPHCR.112C2
`
`Filed as Large Entity
`
`Description
`
`Fee Code
`
`Quantity
`
`Sub-Total in
`USD($)
`
`
`
`Filing Fees for Utility under 35 USC111(a)
`
`Basic Filing:
`
`Pages:
`
`Claims:
`
`Miscellaneous-Filing:
`
`Patent-Appeals-and-lnterference:
`
`Post-Allowance-and-Post-lssuance:
`
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`EXHIBIT 1004 - PAGE 13
`
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`EXHIBIT 1004 - PAGE 13
`
`

`

`.
`
`Sub-Total in
`
`-
`
`-
`
`Total in USD (5)
`
`Miscellaneous:
`
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`EXHIBIT 1004 - PAGE 14
`
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`EXHIBIT 1004 - PAGE 14
`
`

`

`Electronic Acknowledgement Receipt
`
`“—
`
`——
`
`
`
`——
`
`Title of Invention:
`
`BREATHING ASSISTANCE APPARATUS
`
`Payment information:
`
`
`
`The Director of the USPTO is hereby authorized to charge indicated fees and credit any overpayment as follows:
`
`Charge any Additional Fees required under 37 CFR 1.16 (National application filing, search, and examination fees)
`
`Charge any Additional Fees required under 37 CFR 1.17 (Patent application and reexamination processing fees)
`EXHIBIT 1004 - PAGE 15
`
`Deposit Account
`
`Authorized User
`
`111410
`
`KNOBBE MARTENS OLSON AND BEAR
`
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`EXHIBIT 1004 - PAGE 15
`
`

`

`File Listing:
`
`Document
`
`.
`
`.
`
`
`
`New International Application 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 1810), a Notification of the International Application Number
`and of the International Filing Date (Form PCT/RO/105) 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.
`
`Number—« MessageDigest
`
`File Size(Bytes)/
`
`Multi
`
`Pages
`
`“app”
`
`Issue Fee Payment (PTO-85B)
`
`FPHCR112C2_Issue_Fee_Trans
`mittal pdf
`
`ef4079c30556f6420514d8030774cb9ad38 =
`dec
`
`Fee Worksheet (SBO6)
`
`fee—info.pdf
`
`7ac2e6b6246f6cb31815221eec155383975
`e6481
`
`Information:
`
`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 Applications 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 Application 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/EO/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.
`
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`EXHIBIT 1004 - PAGE 16
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`EXHIBIT 1004 - PAGE 16
`
`

`

`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`PO. Box 1450
`Alexandria1 Virginia 22313-1450
`www.uspto.gov
`
`NOTICE OF ALLOWANCE AND FEE(S) DUE
`
`KNOBBE MARTENS OLSON & BEAR LLP
`2040 MAIN STREET
`FOURTEENTH FLOOR
`IRVINE, CA 92614
`
`DIXON, ANNETTE FREDRICKA
`
`3778
`
`DATE MAILED: 04/05/2016
`
`09/04/2015
`14/846,226
`TITLE OF INVENTION: BREATHING ASSISTANCE APPARATUS
`
`Alastair Edwin MCAuley
`
`FPHCR.112C2
`
`8898
`
`
`
`
`
`APPLN. TYPE
`
`ENTITY STATUS
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE
`
`PREV. PAID ISSUE FEE
`
`TOTAL FEE(S) DUE
`
`DATE DUE
`
`nonprovisional
`
`UNDISCOUNTED
`
`$960
`
`$0
`
`$0
`
`$960
`
`07/05/2016
`
`THE APPLICATION IDENTIFIED ABOVE HAS BEEN EXAMINED AND IS ALLOWED FOR ISSUANCE AS A PATENT.
`PROSECUTION ON THE MERITS IS CLOSED. THIS NOTICE OF ALLOWANCE IS NOT A GRANT OF PATENT RIGHTS.
`THIS APPLICATION IS SUBJECT TO WITHDRAWAL FROM ISSUE AT THE INITIATIVE OF THE OFFICE OR UPON
`PETITION BY THE APPLICANT. SEE 37 CFR 1.313 AND MPEP 1308.
`
`THE ISSUE FEE AND PUBLICATION FEE (IF REQUIRED) MUST BE PAID WITHIN THREE MONTHS FROM THE
`MAILING DATE OF THIS NOTICE OR THIS APPLICATION SHALL BE REGARDED AS ABANDONED.
`THIS
`STATUTORY PERIOD CANNOT BE EXTENDED.
`SEE 35 U.S.C. 151. THE ISSUE FEE DUE INDICATED ABOVE DOES
`NOT REFLECT A CREDIT FOR ANY PREVIOUSLY PAID ISSUE FEE IN THIS APPLICATION.
`IF AN ISSUE FEE HAS
`PREVIOUSLY BEEN PAID IN THIS APPLICATION (AS SHOWN ABOVE), THE RETURN OF PART B OF THIS FORM
`WILL BE CONSIDERED A REQUEST TO REAPPLY THE PREVIOUSLY PAID ISSUE FEE TOWARD THE ISSUE FEE NOW
`DUE.
`
`HOW TO REPLY TO THIS NOTICE:
`
`I. Review the ENTITY STATUS shown above. If the ENTITY STATUS is shown as SMALL or MICRO, verify Whether entitlement to that
`entity status still applies.
`
`If the ENTITY STATUS is the same as shown above, pay the TOTAL FEE(S) DUE shown above.
`
`If the ENTITY STATUS is changed from that shown above, on PART B - FEE(S) TRANSMITTAL, complete section number 5 titled
`"Change in Entity Status (from status indicated above)".
`
`For purposes of this notice, small entity fees are 1/2 the amount of undiscounted fees, and micro entity fees are 1/2 the amount of small entity
`fees.
`
`II. PART B - FEE(S) TRANSMITTAL, or its equivalent, must be completed and returned to the United States Patent and Trademark Office
`(USPTO) with your ISSUE FEE and PUBLICATION FEE (if required). 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. If an equivalent of Part B is filed, a
`request to reapply a previously paid issue fee must be clearly made, and delays in processing may occur due to the difficulty in recognizing
`the paper as an equivalent of Part B.
`
`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.
`
`IMPORTANT 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. 02/11)
`
`Page 1 of 3
`
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`EXHIBIT 1004 - PAGE 17
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`EXHIBIT 1004 - PAGE 17
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`

`

`PART B - FEE(S) TRANSMITTAL
`
`Complete and send this form, together with applicable fee(s), to: Mail Mail Stop ISSUE FEE
`Commissioner for Patents
`PO. Box 1450
`Alexandria, Virginia 22313-1450
`or m (571)-273-2885
`
`through 5 should be completed where
`INSTRUCTIONS: This form should be used for transmitting the ISSUE FEE and PUBLICATION FEE (if required). Blocks 1
`ap ropriate. All further correspondence including the Patent, advance orders and notification of maintenance fees will be mailed to the current correspondence address as
`indicated unless corrected below or directed otherwise in Block 1, by (a) specifying a new correspondence address; and/or (b) indicating a separate "FEE ADDRESS" for
`maintenance fee notifications.
`
`CURRENT CORRESPONDENCE ADDRESS (Note: Use Block 1 for any change ofaddFESS)
`
`04/05/2016
`7590
`20995
`KNOBBE MARTENS OLSON & BEAR LLP
`2040 MAIN STREET
`FOURTEENTH FLOOR
`IRVINE CA 92614
`
`Note: A certificate of mailin can only be used for domestic mailings of the
`Fee(s) Transmittal. This certi icate cannot be used for any other accompanying
`apers. Each additional paper, such as an assignment or formal drawing, must
`gave 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 (571) 273—2885, on the date indicated below.
`
`(Date)
`
`(DCP‘W'SW)
`(Signature)
`
`APPLICATION NO.
`
`FILING DATE
`
`
`
`
`
` F {ST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`09/04/2015
`14/846,226
`TITLE OF INVENTION: BREATHING ASSISTANCE APPARATUS
`
`Alastair Edwin McAuley
`
`FPHCR.112C2
`
`8898
`
`APPLN. TYPE
`
`ENTITY STATUS
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE
`
`PREV. PAID ISSUE FEE
`
`TOTAL FEE(S) DUE
`
`DATE DUE
`
`nonprovisional
`
`UNDISCOUNTED
`
`$960
`
`$0
`
`$0
`
`$960
`
`07/05/2016
`
`EXAMINER
`
`ART UNIT
`
`CLASS-SUB CLASS
`
`DIXON, ANNETTE FREDRICKA
`
`3778
`
`128—207180
`
`1. Change of correspondence address or indication of "Fee Address" (37
`CFR 1.363).
`
`3 Chan e of correspondence address (or Change of Correspondence
`Address orm PTO/SB/ 122) attached.
`
`
`
`
`
`2
`
`3
`
`3 "Fee Address" indication (or "Fee Address" Indication form
`PTO/SB/47; Rev 03—02 or more recent) attached. Use of a Customer
`Vumber is required.
`3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
`If an assignee is identified below, the document has been filed for
`PLEASE NOTE: Unless an assignee is identified below, no assignee data will appear on the patent.
`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)
`
`2. For printing on the patent front page, list
`(1) The names of up to 3 registered patent attorneys
`or agents OR, alternatively,
`(2) The name of a single firm (having as a member a
`registered attorney or agent) and the names of up to
`2 registered patent attorneys or agents. If no name is
`listed, no name will be printed.
`
`
`
`
`
`Please check the appropriate assignee category or categories (will not be printed on the patent) :
`
`'3 Individual
`
`'3 Corporation or other private group entity '3 Government
`
`4a. The following fee(s) are submitted:
`3 Issue Fee
`
`
`
`3 Publication Fee (No small entity discount permitted)
`3 Advance Order — # of Copies
`
`4b. Payment of Fee(s): (Please first reapply any previously paid issue fee shown above)
`3 A check is enclosed.
`
`3 Payment by credit card. Form PTO—2038 is attached.
`3 The director is hereby authorized to charge the required fee(s), any deficiency, or credits any
`overpayment, to Deposit Account Number
`(enclose an extra copy of this form).
`
`
`
`5. Change in Entity Status (from status indicated above)
`3 Applicant certifying micro entity status. See 37 CFR 1.29
`
`3 Applicant asserting small entity status. See 37 CFR 1.27
`
` 3 Applicant changing to regular undiscounted fee status.
`
`NOTE: Absent a valid certification of Micro Entity Status (see forms PTO/SB/ 15A and 15B), issue
`fee payment in the micro entity amount will not be accepted at the risk of application abandonment.
`NOTE: If the application was previously under micro entity status, checking this box will be taken
`to be a notification of loss of entitlement to micro entity status.
`NOTE: Checking this box will be taken to be a notification of loss of entitlement to small or micro
`entity status, as applicable.
`
`NOTE: This form must be signed in accordance with 37 CFR 1.31 and 1.33. See 37 CFR 1.4 for signature requirements and certifications.
`
`Authorized Signature
`
`Typed or printed name
`
`
`Date
`
`Registration No.
`
`PTOL—85 Part B (10—13) Approved for use through 10/31/2013.
`
`OMB 0651—0033
`
`Page 2 of 3
`
`RMD
`EXHIBIT 1004 - PAGE 18
`US. Patent and Trademark Office; US. DEPARTMENT OF COMMERCE
`
`RMD
`EXHIBIT 1004 - PAGE 18
`
`

`

`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`APPLICATION NO.
`
`FILING DATE
`
`
`
`
`F {ST NAMED INVENTOR
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`PO. Box 1450
`Alexandria1 Virginia 22313-1450
`www.uspto.gov
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`14/846,226
`
`09/04/2015
`
`Alastair Edwin McAuley
`
`FPHCR.112C2
`
`8898
`
`KNOBBE MARTENS OLSON & BEAR LLP
`2040 MAIN STREET
`FOURTEENTH FLOOR
`IRVINE, CA 92614
`
`DIXON, ANNETTE FREDRICKA
`
`3778
`
`DATE MAILED: 04/05/2016
`
`Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)
`
`(Applications filed on or after May 29, 2000)
`
`The Office has discontinued providing a Patent Term Adjustment (PTA) calculation with the Notice of Allowance.
`
`to eliminate the
`Section 1(h)(2) of the AIA Technical Corrections Act amended 35 U.S.C. 154(b)(3)(B)(i)
`requirement that the Office provide a patent term adjustment determination with the notice of allowance. See
`Revisions to Patent Term Adjustment, 78 Fed. Reg. 19416, 19417 (Apr. 1, 2013). There