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
`
`TERMINAL DISCLAIMER TO OBVIATE A DOUBLE PATENTING REJECTION OVER A
`llPRIOR” PATENT
`
`Title of Invention
`
`BREATHING ASSISTANCE APPARATUS
`
`IX Filing of terminal disclaimer does not obviate requirement for response under 37 CFR 1.111 to outstanding
`Office Action
`
`g This electronic Terminal Disclaimer is not being used for a Joint Research Agreement.
`
`
`
`Fisher & Paykel Healthcare Limited
`
`100%
`
`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)
`
`9974914
`
`as the term of said prior patent is presently shortened by any terminal disclaimer. The owner hereby agrees that any patent so
`granted on the instant application shall be enforceable only for and during such period that it and the prior patent are commonly
`owned. This agreement runs with any patent granted on the instant application and is binding upon the grantee, its successors
`or assigns.
`
`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:
`- expires for failure to pay a maintenance fee;
`- is held unenforceable;
`
`- is found invalid by a court of competentjurisdiction;
`- is statutorily disclaimed in whole or terminally disclaimed under 37 CFR 1.321;
`- has all claims canceled by a reexamination certificate;
`- is reissued; or
`
`- is in any manner terminated prior to the expiration of its full statutory term as presently shortened by any terminal disclaimer.
`
`@ Terminal disclaimer fee under 37 CFR 1.20(d) is included with Electronic Terminal Disclaimer request.
`
`RMD
`EXHIBIT 1006 - PAGE 1
`
`

`

`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.
`
`Applicant claims the following fee status:
`
`0 Small Entity
`
`0 Micro Entity
`
`@ Regular Undiscounted
`
`
`
`I hereby declare that all statements made herein of my own knowledge are true and that all statements made on information and
`beliefare believed to be true; and further that these statements were made with the knowledge that willful false statements and
`the like so made are punishable by fine or imprisonment, or both, under Section 1001 ofTitle 18 of the United States Code and
`that such willful false statements mayjeopardize the validity of the application or any patent issued thereon.
`
`THIS PORTION MUST BE COMPLETED BY THE SIGNATORY OR SIGNATORIES
`
`I certify, in accordance with 37 CFR 1.4(d)(4) that I am:
`
`© An attorney or agent registered to practice before the Patent and Trademark Office who is of record in
`this application
`
`Registration Number 42611
`
`O A sole inventor
`
`O Ajoint inventor; I certify that I am authorized to sign this submission on behalf ofall of the inventors as evidenced by the
`power of attorney in the application
`
`0 Ajoint inventor; all of whom are signing this request
`
`5'
`
`t
`
`*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.
`
`RMD
`EXHIBIT 1006 - PAGE 2
`
`RMD
`EXHIBIT 1006 - PAGE 2
`
`

`

`Electronic Patent Application Fee Transmittal
`
`Title of Invention:
`
`BREATHING ASSISTANCE APPARATUS
`
`First Named Inventor/Applicant Name:
`
`Alastair Edwin McAuley
`
`Attorney Docket Number:
`
`FPHCR.112C5
`
`Filed as Large Entity
`
`Filing Fees for Utility under 35 USC111(a)
`
`Description
`
`Fee Code
`
`Quantity
`
`Sub-Total in
`USD($)
`
`
`
`Basic Filing:
`
`Pages:
`
`Claims:
`
`Miscellaneous-Filing:
`
`Patent-Appeals-and-lnterference:
`
`Post-Allowance-and-Post-lssuance:
`
`RMD
`EXHIBIT 1006 - PAGE 3
`
`RMD
`EXHIBIT 1006 - PAGE 3
`
`

`

`.
`
`Sub-Total in
`
`-
`
`-
`
`Total in USD (5)
`
`Miscellaneous:
`
`RMD
`EXHIBIT 1006 - PAGE 4
`
`RMD
`EXHIBIT 1006 - PAGE 4
`
`

`

`Doc Code: DISQ.E.F|LE
`Document Description: Electronic Terminal Disclaimer — Approved
`
`Application No.2 15087775
`
`Filing Date:
`
`31-Mar-2016
`
`Applicant/Patent under Reexamination:
`
`McAuley
`
`Electronic Terminal Disclaimer filed on
`
`September 10, 2018
`
`E APPROVED
`
`This patent is subject to a terminal disclaimer
`
`|:|
`
`DISAPPROVED
`
`Approved/Disapproved by: Electronic Terminal Disclaimer automatically approved by EFS-Web
`
`US. Patent and Trademark Office
`
`RMD
`EXHIBIT 1006 - PAGE 5
`
`RMD
`EXHIBIT 1006 - PAGE 5
`
`

`

`Title of Invention:
`
`BREATHING ASSISTANCE APPARATUS
`
`Electronic Acknowledgement Receipt
`
`“—
`
`——
`
`
`
`——
`
`Payment information:
`
`37 CFR 1.17 (Patent application and reexamination processing fees)
`
`Deposit Account
`
`Authorized User
`
`111410
`
`Chelsea Veinot
`
`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 1006 - PAGE 6
`
`RMD
`EXHIBIT 1006 - PAGE 6
`
`

`

`File Listing:
`
`Document
`Number
`
`Document Descri
`
`tion
`
`p
`
`File Size(Bytes)/
`Message Digest
`
`Pages
`Multi
`Part /.zip (if appl.)
`
`1
`
`Terminal Disclaimer—Filed (Electronic)
`
`eTerminaI—Disclaimer.pdf
`
`d991 89777af2dOa7f047fe5c0e2299ef5f1 d4
`87d
`
`Information:
`
`2
`
`Fee Worksheet (SBO6)
`
`fee—info.pdf
`
`b3e88743813e6c7a4d8517b5cdaZa9d8bc
`bbd94
`
`Information:
`
`Total Files Size (in bytes)
`
`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
`
`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.
`
`RMD
`EXHIBIT 1006 - PAGE 7
`
`RMD
`EXHIBIT 1006 - PAGE 7
`
`

`

`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
`
`15/087,775
`
`9539405
`
`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
`
` I' egistration Number:
`
`44304
`
`RMD
`EXHIBIT 1006 - PAGE 8
`
`RMD
`EXHIBIT 1006 - PAGE 8
`
`

`

`
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMlVHSSIONER FOR PATENTS
`PO. Box 1450
`Alexandria1 Virginia 22313-1450
`www.uspto.gov
`
`APPLICATION NO.
`
`15/087775
`
`ISSUE DATE
`
`01/10/2017
`
`20995
`
`7590
`
`12/21/2016
`
`KNOBBE MARTENS OLSON & BEAR LLP
`2040 MAIN STREET
`FOURTEENTH FLOOR
`IRVINE, CA 92614
`
`PATENT NO.
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`9539405
`
`FPHCR 112C5
`
`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 1006 - PAGE 9
`
`RMD
`EXHIBIT 1006 - PAGE 9
`
`

`

`Receipt: date:
`
`10/13/2016
`
`15087775 -- GAD: 3778
`
`PTO/SB/08 En uivalent
`
`INFORMATION DISCLOSURE
`
`STATEMENT BY APPLICANT
`
`(Multiple sheets used when necessary)
`SHEET 2 OF 4
`
`U.S. PATENT DOCUMENTS
`
`15/087,775
`
`March 31, 2016
`
`A'aSta” Edw‘” M°A“'ey
`
`Annette Fredricka Dixon
`FPHCR.112C5
`
`Examiner
`Initials
`
`
`
`Document Number
`Number - Kind Code (If known)
`Example: 1,234,567 B1
`
`Publication
`Date
`MM-DD-YYYY
`
`Pages, Columns, Lines Where
`Relevant Passages or
`Relevant FIgures Appear
`
`
`
`Cl,
`to
`
`owmént)
`
`H/
`
`A)
`i Z
`
`
`
`40
`
`41
`
`42
`
`43
`
`44
`
`45
`
`46
`
`2003/0196658
`
`20040118406
`
`2004/0149280
`
`2004/0182398
`
`2006/0042629
`
`2007/0044804
`
`D595,841
`
`.
`ExamIner
`|nItIa|s
`85.5(5) a heel
`
`Foreign Patent Document
`Country Code-Number—Klnd
`Code
`ExamoIe:
`JP 1234557 A1
`
`47
`
`48
`
`50
`
`51
`
`DE 10312881 B3
`
`GB2173274
`
`W0 1998/57691
`
`WO 2001/062326
`
`
`
`
`
`10-23-2003
`
`06-24-2004
`
`08-05-2004
`
`09-23-2004
`
`Ging et al.
`
`Lithgow et al.
`
`Semeniuk
`
`Sprinkle et al.
`
`03-02-2006 Geist
`
`03-01-2007 Matula et al.
`
`07-07-2009 McAuIey et al.
`
`
`
`FOREIGN PATENT DOCUMENTS
`
`Publication
`Date
`MM'DD'YYYY
`
`Name
`
`OW Dragerwerk AG
`
`12-04-1997 Ruesch Willy AG
`
`12-23-1998 Resmed Limited
`
`08-30-2001
`
`Map Medizintechnik Fur
`Artzt Und Patient GmbH &
`Co. KG
`
`Pages, Columns, Lines
`Where Relevant Passages
`or Relevant FIgures
`Auear
`
`05/2004
`
`
`
`T1
`
`x - Abs
`
`
`
`
`
`53
`
`WO 2004/041342
`
`05-21-2004 Resmed Limited
`
`Examiner Signature
`
`/Annette Dixon]
`
`(11/07/2015)
`
`Date Considered
`
`Include copy of this form with neXt communication to applicant.
`
`|nitia| if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not
`*Examiner:
`in conformance and not considered.
`
`T - Place a check mark in this area when an English language Translation is attached.
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH.
`
`,IAEWB'T1006-PAGE 10
`
`RMD
`EXHIBIT 1006 - PAGE 10
`
`

`

`Receipt date: 04/01/2016
`
`PTO/SB/08 En uivalent
`
`INFORMATION DISCLOSURE
`
`STATEMENT BY APPLICANT
`
`(Multiple sheets used when necessary)
`SHEET 6 OF 12
`
`Application No.
`
`Filing Date
`First Named Inventor
`
`Art Unit
`
`Examiner
`
`Attorney Docket No.
`
`15/087,775
`
`March 3 1, 2016
`
`Alastair Edwin MCAuley
`Unknown
`
`Unknown
`
`FPHCR. 1 12C5
`
`U.S. PATENT DOCUMENTS
`
`Examiner
`Initials
`
`
`
`Document Number
`Number - Kind Code (If known)
`Example: 1,234,567 B1
`
`Publication
`Date
`MM-DD-YYYY
`
`Pages, Columns, Lines Where
`Relevant Passages or
`Relevant Figures Appear
`
`151
`
`2003/0121519
`
`07-03-2003
`
`Estes et al.
`
`CI’xan :
`
`-
`
`; e 3
`
`~12 52
`
`2003/0164170
`
`09-02-2003
`
`Ree-med" Drew et aI.
`
`156
`
`157
`
`158
`
`159
`
`160
`
`161
`
`2003/0196664
`
`10-23-2003
`
`Jacobson
`
`2003/0200970
`
`10-30-2003
`
`Stenzler et al.
`
`2004/0067333
`
`04-08-2004 Amarasinghe
`
`2004/0182398
`
`2004/0211427
`
`09-23-2004
`
`Sprinkle et al.
`
`10-01-2004
`
`Jones et al.
`
`2004/0226566
`
`11-18-2004 Gunaratnam et al.
`
`2005/0011524
`
`01-20-2005
`
`Thomlinson et al.
`
`.
`
`m m
`
`. .
`
`
`
`
`
`162
`
`163
`
`164
`
`165
`
`166
`
`167
`
`168
`
`169
`
`170
`
`171
`
`172
`
`173
`
`174
`
`
`
`2005/0028822
`
`2005/0033247
`
`2005/0066976
`
`2005/0076913
`
`2005/0098183
`
`2005/0150497
`
`2005/0199242
`
`2005/0205096
`
`2005/0235999
`
`2006/0060200
`
`2006/0096598
`
`
`
`02-10-2005
`
`02-10-2005
`
`Sleeper et al.
`
`Thompson
`
`03-31-2005 Wondka
`
`04-14-2005
`
`05-12-2005
`
`07-14-2005
`
`Ho et al.
`
`Nash et al.
`
`Eifler et al
`
`09-15-2005 Matula et al.
`
`09-22-2005 Matula
`
`10-27-2005 Wood et al.
`
`03-01-2006
`
`05-11-2006
`
`Ho et al.
`
`Ho et al.
`
`2006/0107958
`
`05-01-2006
`
`Sleeper
`
`
`
`Examiner Signature
`
`I
`,I’Armette Dixon/ I
`
`:
`
`Date Considered
`
`Include copy of this form with next communication to applicant.
`
`Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not
`*Examiner:
`in conformance and not considered.
`
`T - Place a check mark in this area when an English language Translation is attached.
`
`EXHIBIT 1006 - PAGE 11
`
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. _/A.D./ (06/12/2016)
`
`RMD
`EXHIBIT 1006 - PAGE 11
`
`

`

`Receipt date: 04/01/2016
`
`PTO/SB/08 En uivalent
`
`INFORMATION DISCLOSURE
`
`STATEMENT BY APPLICANT
`
`(Multiple sheets used when necessary)
`SHEET 5 OF 12
`
`U.S. PATENT DOCUMENTS
`
`15/087,775
`
`Manch31,2016
`
`AlaSiafiEdmeCAuley
`Unnnnn
`
`Unknown
`FPHCR.112C5
`
`Examiner
`Initials
`
`
`
`Document Number
`. Number - Kind Code (If known)
`Example: 1,234,567 B1
`
`Publication
`Date
`MM-DD-YYYY
`
`Pages, Columns, Lines Where
`Relevant _Passages or
`Relevant FIgures Appear
`
`
`
`D252,322
`
`D293,613
`
`D310,431
`
`D320,677
`
`D321 ,419
`
`D340,317
`
`D354,128
`
`D355,484
`
`D378,610
`0440302
`D455,891
`D520,140
`D526,094
`
`D686,313
`
`2001/0020474
`
`2002/0046755
`
`2002/0053347
`2002/0059935
`
`
`
`07-10-1979
`
`Johnson
`
`01-05-1988 Wingler
`
`09-04-1990
`
`10-08-1991
`
`Bellm
`
`Kumagai et al.
`
`11-05-1991 Wallace
`
`10-12-1993
`
`01-03-1995
`
`02-14-1995
`
`Cole
`
`Rinehart
`
`Rinehart
`
`Reischel et aI. 05/1997
`05-25—1997
`04-10-2001 Wolfe
`04-23-2002
`Bledrzyckl
`05-02-2006
`Chaggares
`08-01-2006
`Chen
`
`07-16-2013 Matula et al.
`
`09-13-2001
`
`Hecker et al.
`
`04-25-2002 Voss
`
`Ziaee
`05092002
`05-23-2002 Wood
`
`
`
`
`
`
`
`127
`
`128
`
`129
`
`130
`
`131
`
`132
`
`133
`
`134
`
`35
`136
`137
`138
`139
`
`140
`
`141
`
`142
`
`143
`144
`
`145
`
`CI’Ianf - .. ’.
`to do
`/M--H
`10/2 9
`
`;
`
`2002/0096178
`
`07-25-2002
`
`Ziaee
`
`Examiner Signature
`
`I
`I’Annette Dixon/ I
`
`:
`
`Date Considered
`
`Include copy of this form with next communication to applicant.
`
`Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not
`*Examiner:
`in conformance and not considered.
`
`T - Place a check mark in this area when an English language Translation is attached.
`
`EXHIBIT 1006 - PAGE 12
`
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH.
`
`/A.D./ (06/12/2016)
`
`RMD
`EXHIBIT 1006 - PAGE 12
`
`

`

`Receipt date:
`
`(34/01/2016
`
`PTO/SB/08 En uivalent
`
`INFORMATION DISCLOSURE
`
`STATEMENT BY APPLICANT
`
`(Multiple sheets used when necessary)
`SHEET 2 OF 12
`
`Application No.
`
`Filing Date
`First Named Inventor
`
`Art Unit
`
`Examiner
`
`Attorney Docket No.
`
`15/087,775
`
`March 3 1, 2016
`
`Alastair Edwin MCAuley
`Unknown
`
`Unknown
`
`FPHCR. 1 12C5
`
`Pages, Columns, Lines Where
`Relevant Passages or
`Relevant Figures Appear
`
`
`
`30
`
`3
`
`32
`
`33
`
`3
`
`3
`
`3
`
`3
`
`.1;a:004mm»_.
`
`39
`
`Examiner
`Initials
`
`;
`
`Document Number
`
`Number - Kind Code (if known)
`Example: 1,234,567 B1
`4,782,832
`
`4,856,508
`
`4,915,105
`
`4,941,467
`
`4,971,051
`
`4,986,269
`
`5,010,925
`
`5,016,625
`
`5,042,478
`
`5,065,756
`
`5,094,236
`5,113,857
`5,148,802
`5,231,979
`5,245,995
`
`U.S. PATENT DOCUMENTS
`Publication
`Date
`MM-DD-YYYY
`
`1 1 -08-1988
`
`Trimble et al.
`
`08—15-1989
`
`Tayebi
`
`04-10-1990
`
`Lee
`
`07-17-1990
`
`Takata
`
`1 1-01-1990
`
`Toffolon
`
`01-22-1991
`
`Hakkinen
`
`04-30-1991
`
`Atkinson et al.
`
`05-21-1991
`
`Hsu et al.
`
`08—27-1991
`
`1 1 -19-1991
`
`Kopala et al.
`
`Rapoport
`
`03-10-1992
`
`05-19-1992
`
`m 0) 9"."
`Dickerman et al.
`
`09-22—1992
`
`Sanders et al.
`
`08—03-1993
`
`Rose et al.
`
`09-21-1993
`
`Sullivan et aI.
`
`
`
`11
`,
`0
`SEQ?“ ' 41
`/M.i1.
`42
`10/2 9
`43
`44
`
`
`
`5,269,296
`
`5,477,852
`
`5,513,634
`
`5,533,506
`
`5,551,419
`
`5,595,174
`
`5,601,078
`
`5,657,752
`
`5,724,965
`
`5,752,510
`
`5,755,578
`
`5,857,460
`
`5,884,624
`
`5,921,239
`
`45
`
`46
`
`47
`
`48
`
`49
`
`50
`
`51
`
`52
`
`53
`
`54
`
`55
`
`56
`
`57
`
`58
`
`Examiner Signature
`
`I
`I’Annette DEXOH/I
`
`
`
`
`
`Landis et al.
`
`Landis et al.
`
`Jackson
`
`Wood
`
`Froehlich et al.
`
`Gwaltney
`
`Schaller et al.
`
`Landis et al.
`
`Handke et al.
`
`Goldstein
`
`Contant et al.
`
`Popitz
`
`Barnett et al.
`
`12—14-1993
`
`12—26-1995
`
`05-07-1996
`
`07-09-1996
`
`09-03-1996
`
`01-21-1997
`
`02-01-1997
`
`08—19-1997
`
`03-10-1998
`
`05-19-1998
`
`05-26-1998
`
`01-12-1999
`
`03-23-1999
`
`
`
`07-13-1999
`
`McCall et al.
`
`:
`
`Date Considered
`
`Include copy of this form with next communication to applicant.
`
`Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not
`*Examiner:
`in conformance and not considered.
`
`T - Place a check mark in this area when an English language Translation is attached.
`
`EXHIBIT 1006 - PAGE 13
`
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. _/A.D./ (06/12/2016)
`
`RMD
`EXHIBIT 1006 - PAGE 13
`
`

`

`PART B - FEES) TRANSMEE'TAE.
`
`Compiete and send this form, togethei with applicable fee(s), to: nmgmiail Mail Stop ISSUE EESE
`Comniissioner for Patents
`E’LU‘. Box 1450
`Alexandria, Virginia 22313-14519
`or flag (571)-273~2885
`
`lNSTExLCTlO\S This form should be used for ttansniitting the ISSUE 7i7‘E7 and PUBLICNEEON 7i7.‘E.7 (if required). Blocks 1 through.should let completed where
`appropriate All further correspondence including the Patent advance orders and notification 0i maintenance tee5 will be mailed to thL current L'oriespona‘ence addre5s as
`
`ind_i7L‘
`ted unle
`“ted below or directed o-Lt'her'vvise in Block 1 by in) specifying a new corre‘pondence add."m ‘ and/L11 (h) indI7L'ating a separate ”FE-7.7177 AEJEJEJLESS' for
`
`
`
`
`
`
`Note: A Let . L
`
`
`L of ma 117; L7L-.n L1nly lLL used L LiornestiL ,
`lings
`i1e
`This Lert1I1cate cannot be used tor any other accompanying
`7eets) Transmit
`
`
`mpgm Each add Qua} papei such as an a
`Anmgm or tL11r‘1al drawing, must
`have its; own certiIiLate of mailing or Iran:
`;sion.
`Certificate of Niniling or Transmission
`
`iEi'1ereby certify ti'1aIthis Feets) Transmittal is"1Li110 dz osited with the United
`
`Stjajtes loistai SfirvicL with 5ufiicient postage égrtir5t I:iass rnailE1n 2.11%Ilvtifil‘tt
`to - e Mail Stop ESSUF i7lJ7.7. a
`at
`resse
`ress a (“re or Icing act-mite
`transmitted to the USPTO (57i) 2732885 on the date indicated below
`
`(Signature)
`
`I
`
`CURRENI' CORRESPONDENCE ADDRESS (Note: Use. Block 1 for any change. oi‘addmss)
`
`.
`2097957
`7 7590
`V
`11/21/2076 fl
`,
`KN OBSE‘. MARE ENS OLSON (Til, BEAR E..i..P
`,
`7 1.. L
`L
`w L
`ifi?§%§%¥%§§éfié©i&
`it
`.
`,
`:1 7;.
`7, ,.
`ERVENE, CA 92614
`
`
`
`FIRSI NANIED INVENTOR
`ATTORNEY DOCKET NO.
`CONFIBLMATION NO.
`
`Alastair Edwin McAuiey
`FPHCR. 1 Mt???
`4437
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`DATE DUE APPLN. TYPE L ’ L‘ . 1 7. 7 FE ‘.. PUBLICATION FEE IUE . . TOTAL FEES) DUE
`nonprovisional
`UN DISCOUNTED
`$960
`$0
`L ‘0
`$9130
`02/2] 1’20} 7
`
`
`
`
`
`
`
`
`
`
`
`
`EVALMTNER
`ART UNIT
`
`
`IEXON (LN
`TTEl7REDRICKA
`
`address 01 indication
`2. For printing o the patent front pa
`
`
`(l) The. names of up to " registered patent attorneys
`1 Kflebbe‘ MQEEQHS,
`
`:
`7 addre5s (or Ciia
`
`/
`7
`or agents OR alternatively,
`O ESE-GEE & Bear LLP
`
`
`iv
`
`irm P'EO/SB/EQZ) attatiid.
`(2,) The name i a single firm (haviiw as a n1enil1ei 7i
`rrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrr
`
`
`
`
`
`
`" Indication form
`' tered atto
`v or agent) and the names of up to
`indication (or "Fee Ad E1
`Eli ”Fee Address
`2 I
`
`
`.hed. Else oi a Customer
`
`3
`tered patent attorneys L11 agents. it no name is
`I’TO/SBM']; Rev 03—02 or more reeen t) att
`lis-
`
`
`Number is required.
`i, no name will be printed
`
`
`3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
`
`if an assignee is identified below. tiie document has been filed for
`PlEASE NOiE; Unless an assignee‘1is identified below no assignee data will appear on the patLL11t.
`recordation as set ior-h'in 37 CFR3." Completion oE this It:-rm is NOT7- substitute tor Eiling an assignmenI.
`1fA) NAME OF ASSIGNEE
`13) RESIDENI1,I7.: (CITY and S TATE 0R COUNTRY)
`
`Fisher 8. Paykei Healtheare Limited
`
`Plea
`
`4a. The following t'ee(_s) are subrnitte‘ :
`Jib. Payrnent Lit7I7ee1'5): (Please first reapply any previously paid. issue fee shown above)
`wlssue Fee
`ELLE A eiieeit is enclosed.
`D Publication Fee (No small entity discount permitted)
`fl Payment via EFS Web
`LJ Ad vanL'e Order — ti of Copies
`g The direcILr'is hereby authorized to charge
`overpayment. to Deposit Account Number
`
`
`
`any defic'ency or credit any
`
`(enclose an extra Lopy of this form).
`
`AUCkEand. New Zeaiand
`
`5. Change in Entity Status (tron: 5tatus indicated above)
`El Applicant certifying micro entity status. See ‘37’ CE7R 1.29
`
`ELLE Applic7int asserting smill entity status. See 3/7 CPR . ..
`
`LJ Applicant 'LiianginLtgtJregulLtr undiseountLdtee 5tatus.
`
`
`Absent a vaiid certification of Micro Entity Status (see forms E“-O/SB/L‘JA and HE) issue
`LLL, p2.) rnent in the micro entity amount will not be accepted at ti1L risk of application abandonment
`
`N___(_._______7_llE.
`'t7 the application wa3 previously under inieio entity status checkiné tiiis'box will'be taken
`to bea notifiLation 0Il0: s OI entitlemenI to micro entity status
`NOTE: necking this box will be taken to be a notification oi los5 of entitlement to small or micro
`entity status, as applicable.
`. See 37 CFR
`ionaturL
`
`
`Authorized Signature
`’iMiChaei GUiiiana’i
`
`t
`MiehaelGuiEiana
`Tyned or printed name
`
`_
`,
`.
`Registrauon No. 777777
`
`42,611
`
`PTOE.»-85 Pawt E5 (iii-l ‘3') Approved for use through li‘u’31/2013.
`
`OMB“ 065i 430.33
`
`Page 2 of 3
`
`RMD
`EXHIBIT 1006- PAGE 14
`US. Patent and Trademail: Offi-ce: U.S DILPAR‘E‘I‘L/lf'.‘Nl7 017 COMEM’ 7E‘LCE7
`
`RMD
`EXHIBIT 1006 - PAGE 14
`
`

`

`Electronic Patent Application Fee Transmittal
`
`Title of Invention:
`
`BREATHING ASSISTANCE APPARATUS
`
`First Named Inventor/Applicant Name:
`
`Alastair Edwin McAuley
`
`Attorney Docket Number:
`
`FPHCR.112C5
`
`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:
`
`RMD
`EXHIBIT 1006 - PAGE 15
`
`RMD
`EXHIBIT 1006 - PAGE 15
`
`

`

`.
`
`Sub-Total in
`
`-
`
`-
`
`Total in USD (5)
`
`Miscellaneous:
`
`RMD
`EXHIBIT 1006 - PAGE 16
`
`RMD
`EXHIBIT 1006 - PAGE 16
`
`

`

`Title of Invention:
`
`BREATHING ASSISTANCE APPARATUS
`
`Electronic Acknowledgement Receipt
`
`“—
`
`——
`
`
`
`——
`
`Payment information:
`
`Deposit Account
`
`111410
`
`37 CFR 1.17 (Patent application and reexamination processing fees)
`
`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 1006 - PAGE 17
`
`RMD
`EXHIBIT 1006 - PAGE 17
`
`

`

`File Listing:
`
`Document
`Number
`
`Document Descri
`
`tion
`
`p
`
`File Size(Bytes)/
`Message Digest
`
`Pages
`Multi
`Part /.zip (if appl.)
`
`Miscellaneous Incoming Letter
`
`Comments.pdf
`
`4d9751c024c779625164ff3c94e3fd24e34d
`f40d
`
`Issue Fee Payment (PTO—85 B)
`
`Issue_Fee.pdf
`
`222229
`
`566b070889bc523966e72ecceca9d599ac7
`97fb7
`
`Fee Worksheet (SBO6)
`
`fee—info.pdf
`
`25494d9235231abdc90c8251875d98ebcb .
`87421
`
`Information:
`
`Information:
`
`Information:
`
`
`
`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.
`
`Total Files Size (in bytes)
`
`274477
`
`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.
`
`RMD
`EXHIBIT 1006 - PAGE 18
`
`RMD
`EXHIBIT 1006 - PAGE 18
`
`

`

`FPHCR.1 12C5
`
`PATENT
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Inventor
`
`: Alastair Edwin McAuley, et al.
`
`App. No.
`
`:
`
`15/087,775
`
`Filed
`
`For
`
`: March 31, 2016
`
`2 BREATHING ASSISTANCE APPARATUS
`
`Examiner
`
`: Annette Fredericka Dixon
`
`Art Unit
`
`Conf No.
`
`:
`
`:
`
`3778
`
`4437
`
`
`
`COMMENTS ON STATEMENT OF REASONS FOR ALLOWANCE
`
`Mail Stop Amendment
`Commissioner for Patents
`
`PO. Box 1450
`
`Alexandria, VA 22313-1450
`
`Dear Sir:
`
`In response to the Statement of Reasons for Allowance in the Notice of Allowance dated
`
`September 30, 2016 (“Reasons”), Applicant respectfully submits the following comments.
`
`Applicant wishes to point out that to the extent that the Reasons omit claim elements, add
`
`claim elements, group claims together, or identify purportedly similar features or distinguishing
`
`features of a claim or a group of claims, Applicant respectfully disagrees with the Reasons.
`
`Additionally, to the extent that the Reason’s paraphrasing of the subject matter of the claims deviates
`
`from the actual language recited in each individual claim, Applicant respectfully disagrees with the
`
`Reasons. Applicant respectfully disagrees with the Reasons to the extent there is any implication
`
`that the patentability of the dependent claims is dependent on, or these claims have the same scope
`
`as, the independent claim from which each depends. As noted above, patentability of each claim
`
`rests on each claim taken as a whole on its own merits.
`
`RMD
`EXHIBIT 1006 - PAGE 19
`
`RMD
`EXHIBIT 1006 - PAGE 19
`
`

`

`Application N0.:
`
`15/087,775
`
`Filing Date:
`
`March 31, 2016
`
`Respectfully submitted,
`
`KNOBBE, MARTENS, OLSON & BEAR, LLP
`
`
`Dated: November 22 2016
`
`24684647
`
`By: /Michael Guiliana/
`Michael A. Guiliana
`
`Registration No. 42,611
`
`Attorney of Record
`Customer No. 20995
`
`(949) 760—0404
`
`RMD
`EXHIBIT 1006 - PAGE 20
`
`RMD
`EXHIBIT 1006 - PAGE 20
`
`

`

`
`
`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: 11/21/2016
`
`03/31/2016
`15/087,775
`TITLE OF INVENTION: BREATHING ASSISTANCE APPARATUS
`
`Alastair Edwin MCAuley
`
`FPHCR.112C5
`
`4437
`
`
`
`
`
`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
`
`02/21/2017
`
`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
`
`RMD
`EXHIBIT 1006 - PAGE 21
`
`RMD
`EXHIBIT 1006 - PAGE 21
`
`

`

`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)
`
`11/21/2016
`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) Transmitt