`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Vatent and TrademarkOffice
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`www.uspto.g:
`Alexandria, Virginia 22313-1450
`
`APPLICATION NO.
`
`14/333,134
`
`ISSUE DATE
`
`05/22/2018
`
`PATENT NO.
`
`ATTORNEY DOCKETNO.
`
`CONFIRMATION NO.
`
`9974914
`
`FPHCR.112C1
`
`6841
`
`20995
`
`7590
`
`05/02/2018
`
`KNOBBE MARTENS OLSON & BEAR LLP
`2040 MAIN STREET
`FOURTEENTH FLOOR
`IRVINE, CA 92614
`
`The projected patent numberandissue 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 299 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) wasfiled in the above-identified application, the filing date that
`determines Patent Term Adjustmentis 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) WEBsite (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 WEBsite 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 andis 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
`worksto encourage andfacilitate business investment. To learn more about why the USAis the best country in
`the world to develop technology, manufacture products, and grow your business, visit SelectUSA. gov.
`
`IR103 (Rev. 10/09)
`
`RMD
`EXHIBIT 1002 - PAGE1
`
`RMD
`EXHIBIT 1002 - PAGE 1
`
`

`

`Receipt date: 12/19/2017
`
`14/333,134 - GAU: 3778
`
`
`PTO/SB/08 Equivalent
`
`Application No.
`14/333,134
`
`INFORMATION DISCLOSURE
`Filing Date
`July 16, 2014
`
`First Named Inventor|Alastair Edwin McAuley
`;
`STATEMENT BY APPLICANT
`
`Art Unit
`3778
`
`
`
`
`
`
`
`
`
`
`
`
`
`(Multiple sheets used when necessary)
`
`Examiner
`
`Annette Fredricka Dixon
`
`SHEET 1 OF 2
`Attorney Docket No.
`FPHCR.112C1
`
`
`
`U.S. PATENT DOCUMENTS
`
`Pages, Columns, Lines Where
`Publication
`Document Number
`Examiner| Cite
`
`
`Initials|No Number- Kind Code (if known) Date Name Relevant Passages or
`
`
`,
`Example:
`1,234,567 B1
`MM-DD-YYYY
`Relevant Figures Appear
`
`1) 2,452,845
`11/2/1948
`Fisher
`
`
`
`2|3,599,635 8/17/1971 Kenneth
`
`
`
`3/ 4,454,880
`6/19/1984
`Muto etal.
`
`
`4/ 4,621,632
`11/11/1986
`Bartels et al.
`
`
`5§/6,135,109
`10/24/2000
`Blasdell etal.
`
`
`6|6,526,978
`3/4/2003
`Dominguez
`
`
`7 |6,651,663
`11/25/2003
`Barnett et al.
`
`
`8/6,817,362
`11/16/2004
`Gelinas et al.
`
`
`9|6,823, 869
`11/30/2004
`Raje et al.
`
`
`10| 7,448 386
`11/11/2008
`Ho et al.
`
`
`11] 7,753,051
`7/13/2010
`Burrowet al.
`
`
`
`12|8,136,525 6/6/2006 Lubkeet al.
`
`
`
`Changp(s) applied|43/9439405 02/2016|4AQDOF hteAtiteyetar, Poruggemannet al.
`
`to dac OTrerit,
`
`ASH
`14/9,517,317
`12/13/2016
`McAuleyetal.
`
`
`
`4/LOLOL 15|9,561,339 2/712017 McAuleyetal.
`
`
`
`
`
`
`16|2003-0005509 1/9/2003 Kelzer
`
`
`
`
`
`
`
`17|2005-0045182 3/3/2005 Wood et al.
`
`
`
`
`
`
`
`18|2005-0121037 6/9/2005 Wood
`
`
`
`
`
`19|2006-0042632 3/2/2006 Bishop et al.
`
`
`
`
`20|2007-0209663 9/13/2007 Marque et al.
`
`
`
`
`
`
`21|2017-0072155 3/16/2017 Allan et al.
`
`
`
`
`
`22|2017-0239438 8/24/2017 McAuleyetal.
`
`
`
`
`23|2017-0304574 10/26/2017 McAuleyetal.
`
`
`
`
`24|2017-0326324 11/16/2017 McAuleyetal.
`
`
`
`FOREIGN PATENT DOCUMENTS
`Pages, Columns,Lines
`Publication
`Foreign Patent Document
`
`
`Examiner|Cite| Country Code-Number-Kind Where Relevant Passages 4
`
`Date
`.
`wg:
`Name
`T
`
`Initials|No. Code MM-DD-YYYY or Relevant Figures
`
`
`Example:
`JP 1234567 A1
`Appear
`
`
`
`
`Include copy of this form with next communication to applicant.
`
`Examiner Signature
`
`f/Annette Dixon/
`
`(03/07/2018)
`
`
`
`Date Considered
`
`03/07/2018
`
`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.
`
`T - Place a check markin this area when an English language Translation is attached.
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH.
`
`/ADB/
`
`RMD
`EXHIBIT 1002 - PAGE 2
`
`RMD
`EXHIBIT 1002 - PAGE 2
`
`

`

`Receipt date: 08/25/2017
`
`14/333,134 ~- GAU: 3778
`
`
`PTO/SB/08 Equivalent
`
`Application No.
`14/333,134
`
`Filing Date
`July 16, 2014
`INFORMATION DISCLOSURE
`
`
`STATEMENT BY APPLICANT First Named Inventor|Alastair Edwin McAuley
`
`Art Unit
`3778
`
`
`
`
`
`(Multiple sheets used when necessary)
`
`Examiner
`
`Annette Fredricka Dixon
`
`SHEET 9 OF 12
`Attorney Docket No.
`FPHCR.112C1
`
`
`
`U.S. PATENT DOCUMENTS
`
`
`Examiner|Cite Document Number 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
`
` 225 2006/0137690 06-01-2006 |Gunaratnam et al.
`
`
`
`
`
`
`
`
`
`
`
` 226 2006/0130844 06-22-2006 |Ho etal.
`
`
`
`
`
`
`
`
`
` 227 2006/0174887 08-01-2006 |Chandran etal.
`
`
`
`
`
`
`
`
`
` 228 2006/019651 1 09-07-2006 |Lau etal.
`
`
`
` 09-14-2006|Joneset al.229 2006/0201514
`
`
`
`
`
`
`
`
`
`
`
`
`
` 230 2006/0237017 10-26-2006 |Davidson etal.
`
`
`
`
`231
`2006/0237018
`10-26-2006
`|McAuley et al.
`
`
`232 11-16-2006|Chang2006/0254593
`
`
`
`
`
`
`
` 11-30-2006|Hernandez233 2006/0266361
`
`
`
`
`
`
`
`
`
` 234 2006/0283461 12-21-2006 |Lubkeet al.
`
`
`
`
`
`
`
`
`
` 235 2007/0000492 01-04-2007 |Hansel et al.
`
`
`
`
`236
`2007/0010786
`01-11-2007
`|Caseyet al.
`
`
`
`
`
` 03-01-2007|Matula etal.237 2007/0044804
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
` 245 2007/0175480 08-02-2007 |Gradon et al.
`
`
`
`
`
`
`
`
`
` 246 2007/0174952 08-02-2007 |Jacob
`
`
`
`
`
`
`
`
`
` 247 2007/0215161 09-20-2007 |Frater etal.
`
`
`
`
`
`
`
`
`
` 248 2007/0221227 09-27-2007 |Ho
`
`
`
`
`
`
`
`
`
` 249 2007/0227541 10-04-2007 |/Van Den
`
`
`
`
`250
`2007/0267017
`11-22-2007
`|McAuley et al.
`
`251
`
`2007/0295335
`
`12-01-2007
`
`|Nashed
`
`
`
`252 02-01-2008|Veliss et al.2008/0047560
`
`
`
`Examiner Signature
`
`/Annette Dixon/
`
`(09/12/2017)
`
`Date Considered
`
`09/12/2017
`
`
`
`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
`*Examiner:
`not in conformance and not considered.
`T - Place a check markin this area when an English language Translation is attached.
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH.
`
`RMD
`EXHIBIT 1002 - PAGE 3
`
`/AD/
`
`
`
` 238 2007/0089749 04-26-2007 |Ho etal.
`
`
`
`
`
`
`
` 239 2007/0125385 06-07-2007 |Ho etal.
`
`
`
`
`
`cere) 06-07-2007|Zollingeret al.540 2007/0125387
`
`
`
`
`LY
`241
`2007/0137653
`06-21-2007
`|Wood
`
`
`
`4/23/2018|242 2007/0142785 06/2097|0826-4995 }Barthotenreve Lundgaard otal.
`
`
`243
`2007/0157353
`07-12-2007
`|Guneyetal.
`
`
`
`
`
`
`
` 244 2007/163600 A1 07-19-2007 |Hoffman
`
`RMD
`EXHIBIT 1002 - PAGE 3
`
`

`

`Receipt date: 09/29/2014
`
`14333134 —- GAU: 3778
`
`
`PTO/SB/08 Equivalent
`
`Application No.
`14/333134
`
`INFORMATION DISCLOSURE
`Filing Date
`July 16, 2014
`
`STATEMENT BY APPLICANT — Inventor = Edwin McAuley
`
`
`
`(Multiple sheets used when necessary)
`
`Examiner
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Unassigned
`
`SHEET 1 OF 2
`Attorney Docket No.
`FPHCR.112C1
`
`
`
`U.S. PATENT DOCUMENTS
`
`Examiner| Cite
`Document Number
`Publication
`Pages, Columns, Lines Where
`
`Initials|No. Number- Kind Code (if known) Date Nameof Patentee or Applicant Relevant Passages or
`
`
`
`Example:
`1,234,567 B1
`MM-DD-YYYY
`Relevant Figures Appear
`
`1 01-11-1983|Dali4,367,735
`
`
`
`2
`4,753,233
`06-28-1988
`|Grimes
`
`3 11-08-1988|Trimble etal.4,782,832
`
`
`
`4
`4,915,105
`04-10-1990
`|Lee
`
`5
`5,113,857
`05-19-1992
`|Dickerman etal.
`
`6
`5,148,802
`09-22-1992
`|Sanderset al.
`
`7 09-21-1993|Sullivan et al.5,245,995
`
`
`
`8 12-14-1993|Landis5,269,296
`
`
`
`9
`5,477,852
`12-26-1995
`|Landis et al.
`
`10
`5,533,506
`07-09-1996
`|Wood
`
`14
`5,595,174
`01-21-1997
`|Gwaltney.
`
`12
`5,921,239
`07-13-1999
`|McCall etal.
`
`13
`6,298,850
`10-09-2001
`|Argraves .
`
`14
`6,431,172
`08-13-2002
`|Bordewick
`
`15
`6,439,234
`08-27-2002
`|Curti et al.
`
`16
`6,478,026
`11-12-2002
`|Wood
`
`| 6,561,188 °7/2°92.9¢.12.2003.|Ellis[17
`
`
`Ceere 18
`6,588,424
`07-08-2003
`|Bardel
`|
`JOXR.
`19
`6,637,434
`iia Noble
`
`
`
`
`b/7/o17 404¢-3862.20 6,644,315 |Noblew/iace
`
`
`
`
`
`
`21 11-25-2003|Hill et al.6,651,658
`
`
`
`
`22 01-20-2004|Strickland et al.6,679,265
`
`
`
`23 08-29-2006|Mayer etal.7,096,864
`
`
`
`24 04-10-2007|Wilkie etal.7,201,169
`
`
`
`25
`7,207,333
`04-24-2007
`|Tohara
`
`26 05-01-2007|Lovell et.7,210,481
`
`
`
`27
`2002/0053347
`05-09-2002
`|7Ziaee
`
`
`
`
`
`28 05-23-2002|Wood.2002/0059935
`
`
`
`Examiner Signature
`
`/Annette Dison/
`
`(09/27/2016)
`
`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
`*Examiner:
`not in conformance and not considered.
`
`T - Place a check markin this area when an English language Translation is attached.
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH.
`
`/ADFXHIBIT 1002- PAGE 4
`
`RMD
`
`RMD
`EXHIBIT 1002 - PAGE 4
`
`

`

`PART B-PEE(CS) TRANSMIPTTAL
`
`Complete and send this form, together with applicable fee(s), to: Mall Mail Stap ISSUE FEE
`Comunissioner for Patents
`P.O. Box 1489
`Alexandria, Virginia 22313.1458
`or Fax (571)-273-2885
`
`STRUCTIONS:
`|
`ISSU}
`é
`
`
`
`
`BE,
`ed), Blo
`i
`through S
`should be complete
`appropriate. AH uctber correspondence including the Patent, Sanes orders and notifica
`tion ofmaintenance feeswill be mailed to the curr
`correspondence addre
`
`
`indicated unless cor
`red belowor directed otherwise in Block 4, by (a) specifying 2 sew correspondence address; and/or (b) indicating as
`c
`Liications.
`maintenance fee n
`
`
`
`
`
`y other accompanying
`
`
`
`
`Fach additional pa
`winal drawing, must
`nave 1s
`s own certificate of maiung‘or‘gansmission.
`Certificate of Mailing or Transmission
`
`| herebycertify that this Pee(s) Transmittal i
`ited with the United
`
`
`Site:5 Postal Service wih culecientPostageiofirst
`class mailiin an gavelope
`addressed to the
`Mail Stop ISSUE FEE
`address
`above, or being facsimile
`
`transmitted to the USPTO 7 1) 273-2885, on the date indicated below.
`
`CURRENTCORRESPONOGENCE SDORESS (Note: Use Block 1 for any change of address)
`
`aAQOK
`se0K
`napEni
`20995
`P59G
`03/26/2018
`KNOBBE MARTENS OLSON & BEAR LLP
`, A
`yee ED
`2040 MAIN SPRENT
`POURTEENTH FLOOR
`IRVINE, CA 92614
`
`
`
`Depostiors nae)
`(Signatre}
`
`APPLICATION NO.
`
`FILING DATE
`
`CONFIRMATION NO
`
`FIRST NAMED INVENTOR
`
`ATTORNEYDOCKET NO.
`
`OF 16/2014
`14/333, 134
`TITLE OF INVENTION: BREATHING ASSISTANCE APPARATUS
`
`Alastair Edwin McAuley
`
`FRHCR. T1201
`
`O84}
`
`
`
`
`
`
`
`
`
`APELN. TYPE PUBLICATION FEE DUB|PREV. PAIDISSUR FEE | TOTAL FEEf ENTITYSTATUS f ‘SUE FEE DUE
`
`
`
`
`
`
`
`nonprovisional
`
`UNDISCOUNTED
`
`$1000
`
`$oO
`
`$0
`
`$1006
`
`O6/26/2018
`
` the patent .
`
`
`
`
`a ,
`Knobobe, Martens,
`
`bea
`
`Ci
`he names of up to3registered patent attorneys
`
`
`address (or Chan,
`
`or agents OR, allernatively,
`Olson & Res r Pip
`attached.
`Ad
`,
`.
`5
`{2} The name of a single firm(having as a member a 6
`
`
`
`
`(al “Pee Address"indication (or "Fee Address” Indication form
`registered attorney oragent) and the names of u
`
`
`PPONSBI4aT; Rey 03-02 of more recent} attached. Use of a Customer
`2 registered patent attorneys or agents.
`[fae nami
`3
`Number is required,
`listed, no name will beprented.
`irretntnencenncncncencanconcncoecanconecascanecascansoass
`
`3. ASSIGNEE NAME AND RESTDENCH DATA TO BE PRINTED ON THE PATENT(priat or type)
`
`PLEASE NOTE: Unless an assignee is identified belc
`is identified below, the docurnent has been fited for
`If an assi
`oW, AG assignee data will appear on
`the patent.
`
`
`
`
`ation as set forth in 37 CFR 3.11. Completionof
`this form is NOT a substitute for filing an assignment.
`(B) RESIDENCE: (CITY and STATE OR COUNTRY)
`(A) NAME OF ASSIGNEE
`
`Fisher & Paykel Healthcare Limited
`
`Auckland, New Zealand
`
`(ad Individual BS Corporation or other private group ¢
`Please check the appropriate assignee category or categories Gvill not be printed on the patent):
`
`
`
`
`
`
`
`da. The following fee(s) are submitted:
`4b. Payment of Fee(s): (Please first reapply any previously paid issue fee shown above}
`BS Issue Fee
`fad A check is enclosed.
`
`(A! Publication Fee (No small entity discount permitted)
`8 Fayment
`yig EFS Web.
`deficiency, or credits any
`0
`:
`(ad Advance Order - # of Copie!
`SE Thedirector is hereby authorized to charge
`se an extra copy ofthis form).
`overpayment, to Deposit
`Acc
`i
`
`Cd Applicant asserting small entity status. See 37 CPR 1,2?
`
`5. Change in Entity Status Gromstatus indicated above}
`37 CFR 1.29
`(ad Applicant certifying micro entity status.
`See
`forms PTO/SB/ISA and 15B), issue
`
`
`
`
`
`at the risk of application abandonment,
`Ifthe application was previously under microentity status, checking this box will be taken
`
`3 of Loss of entiflement to micro entity status.
`
`NOTE: Checking this box will betaken to be a notification of loss of entiderient to small or micro
`entity status, a5 applicable.
`31 and 1.33. See 3?
`mts and cert
`
`/Michael Guiliana/
`2018-04-17
`
`Authorized Signature
`Date
`
`Typedorprinted name Michael A. Guilana
`Registration No. 42,51 1
`
`(ad Applic
`
`
`
` e with 37 CER I.
`
`to regular undiscounted fee status.
`
`PTOL-85 Part B (10-13) Approved for use through 10/31/2613.
`
`OMB 0651-0633
`
`Page 2 of 3
`
`RMD
`EXHIBIT 1002 - PAGE 5
`=n
`(LS. Patent and Trademark Office; US. DEPARTMENT OF COMMERCE
`
`RMD
`EXHIBIT 1002 - PAGE 5
`
`

`

`Electronic Patent Application Fee Transmittal
`
`Title of Invention:
`
`BREATHING ASSISTANCE APPARATUS
`
`feenc
`
`
`
`Filing Fees for Utility under 35 USC 111(a)
`
`Description
`
`Fee Code
`
`Quantity
`
`Sub-Total in
`
`USD(S)
`
`Basic Filing:
`
`Miscellaneous-Filing:
`
`Patent-Appeals-and-Interference:
`
`Post-Allowance-and-Post-Issuance:
`
`UTILITY APPL ISSUE FEE
`
`1501
`
`1000
`
`1000
`
`RMD
`EXHIBIT 1002 - PAGE 6
`
`RMD
`EXHIBIT 1002 - PAGE 6
`
`

`

`Extension-of-Time:
`
`Total in USD ($)
`
`Miscellaneous:
`
`RMD
`EXHIBIT 1002 - PAGE 7
`
`RMD
`EXHIBIT 1002 - PAGE 7
`
`

`

`Electronic AcknowledgementReceipt
`
`Application Number:
`
`14333134
`
`International Application Number:
`
`Confirmation Number:
`
`6841
`
`
`
`ee
`
`Title of Invention:
`
`BREATHING ASSISTANCE APPARATUS
`
`Paymentinformation:
`
`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 overpaymentas follows:
`
`37 CFR 1.16 (National application filing, search, and examination fees)
`
`RMD
`EXHIBIT 1002 - PAGE 8
`
`

`

`File Listing:
`
`Pages
`Multi
`File Size(Bytes)/
`DocumentDescription
`Document
`
`
`
`Number Message Digest|Part/.zip|P (if appl.)
`208619
`
`1
`
`Issue Fee Payment (PTO-85B)
`
`Issue_Fee.pdf
`
`ef444dfccd61f2205c3ebc4ada9294b2ee53
`AS7a
`
`Information:
`
`2
`
`Fee Worksheet (SB06)
`
`fee-info.pdf
`
`cSdbb7afd35642efa2aac4472f1 OSafdafb67|
`2d7
`
`1
`
`2
`
`
`
`
`New Applications Under 35 U.S.C. 111
`If a new application is being filed and the application includes the necessary componentsfora 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 shownonthis
`AcknowledgementReceiptwill 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/903indicating acceptanceof the application as a
`national stage submission under35 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 shownon this AcknowledgementReceiptwill establish the international filing date of
`the application.
`
`Information:
`
`This AcknowledgementReceipt evidences receipt on the noted date by the USPTO ofthe 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 1002 - PAGE 9
`
`RMD
`EXHIBIT 1002 - PAGE 9
`
`

`

`
`
`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.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: 03/26/2018
`
`07/16/2014
`14/333,134
`TITLE OF INVENTION: BREATHING ASSISTANCE APPARATUS
`
`Alastair Edwin McAuley
`
`FPHCR.112C1
`
`6841
`
`
`
`
`
`
`
`
`
`
`
`APPLN. TYPE PUBLICATION FEE DUE|PREV. PAID ISSUE FEEENTITY STATUS ISSUE FEE DUE TOTAL FEE(S) DUE DATE DUE
`
`
`
`
`
`nonprovisional
`
`UNDISCOUNTED
`
`$1000
`
`$0
`
`$0
`
`$1000
`
`06/26/2018
`
`THE APPLICATION IDENTIFIED ABOVE HAS BEEN EXAMINED AND IS ALLOWED FOR ISSUANCE AS A PATENT.
`PROSECUTION ON THE MERITS IS CLOSED. THIS NOTICE OF ALLOWANCEIS 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 REPLYTO THIS NOTICE:
`
`I. Review the ENTITY STATUSshownabove.If the ENTITY STATUSis shown as SMALL or MICRO,verify whether entitlement to that
`entity status still applies.
`If the ENTITY STATUSis the same as shown above, pay the TOTAL FEE(S) DUE shown above.
`If the ENTITY STATUSis changed from that shown above, on PART B - FEE(S) TRANSMITTAL,complete section number5 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 amountof small entity
`fees.
`
`II. PART B - FEE(S) TRANSMITTAL,orits 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 isfiled, 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 equivalentof Part B.
`
`IH. All communications regarding this application must give the application number. Please direct all communications prior to issuance to
`Mail Stop ISSUE FEE unless advisedto the contrary.
`
`IMPORTANT REMINDER: Maintenancefees are due in utility patents issuing on applications filed on or after Dec. 12, 1980. It is
`patentee's responsibility to ensure timely payment of maintenance fees when due. More informationis available at
`www.uspto.gov/PatentMaintenanceFees.
`
`PTOL-85 (Rev. 02/11)
`
`Page | of 3
`
`RMD
`EXHIBIT 1002 - PAGE 10
`
`RMD
`EXHIBIT 1002 - PAGE 10
`
`

`

`PART B - FEE(S) TRANSMITTAL
`
`Complete and send this form, together with applicable fee(s), to: Mail Mail Stop ISSUE FEE
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`or Fax (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
`appropriate. 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 changeof address)
`
`03/26/2018
`7590
`20995
`KNOBBE MARTENS OLSON & BEAR LLP
`2040 MAIN STREET
`FOURTEENTH FLOOR
`IRVINE, CA 92614
`
`can only be used for domestic mailings of the
`Note: A certificate of mailing
`Fee(s) Transmittal. This certificate cannot be used for any other accompanying
`apers. Each additional paper, such as an assignment or formal drawing, must
`have its own certificate of mailing or transmission.
`Certificate of Mailing or Transmission
`I hereby certify that this Fee(s) Transmittal is being deposited with the United
`States Postal Service with sufficient postage for first class mail in an envelope
`addressed to the Mail Stop ISSUE FEE address above, or being facsimile
`transmitted to the USPTO (571) 273-2885, on the date indicated below.
`
`(ate)
`
`Orensaae
`(Signature)
`
`APPLICATION NO.
`
`FILING DATE
`
`
`
`
`
` FIRST NAMED INVENTOR
`
`ATTORNEY DOCKETNO.
`
`CONFIRMATION NO.
`
`07/16/2014
`14/333,134
`TITLE OF INVENTION: BREATHING ASSISTANCE APPARATUS
`
`Alastair Edwin McAuley
`
`FPHCR.112C1
`
`6841
`
`
`
`
`
`
`
`APPLN. TYPE PUBLICATION FEE DUE|PREV. PAID ISSUE FEEENTITY STATUS ISSUE FEE DUE TOTAL FEE(S) DUE DATE DUE
`
`
`
`
`
`nonprovisional
`
`UNDISCOUNTED
`
`$1000
`
`$0
`
`$0
`
`$1000
`
`06/26/2018
`
`EXAMINER
`
`ART UNIT
`
`CLASS-SUBCLASS
`
`DIXON, ANNETTE FREDRICKA
`
`3778
`
`128-207180
`
`2. For printing on the patent front page,list
`(1) The namesofup to 3 registered patent attorneys
`or agents OR,alternatively,
`(2) The nameofa single firm (having as a member a
`2
`registered attorney or agent) and the namesof up to
`2 registered patent attorneys or agents. If nonameis
`listed, no namewill be printed.
`
`
`
`43
`
`
`
`
`
`1. Change of correspondence address or indication of "Fee Address" (37
`CFR 1.363).
`LI Change of correspondence address (or Change of Correspondence
`Address form PTO/SB/122) attached.
`LI "Fee Address" indication (or "Fee Address” Indication form
`PTO/SB/47; Rev 03-02 or more recent) attached. Use of a Customer
`Numberis required.
`3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT(printor 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) NAMEOF ASSIGNEE
`(B) RESIDENCE:(CITY and STATE OR COUNTRY)
`
`Please check the appropriate assignee category or categories (will not be printed on the patent) :
`
`LV individual LJ Corporation or other private group entity (J Government
`
`4a. The following fee(s) are submitted:
`L] Issue Fee
`_] Publication Fee (No small entity discount permitted)
`LT Advance Order - # of Copies
`
`
`
`4b. Paymentof Fee(s): (Please first reapply any previously paid issue fee shown above)
`LIA checkis enclosed.
`Lj Paymentby credit card. Form PTO-2038 is attached.
`[I The directoris hereby authorized to charge the required fee(s), any deficiency, or credits any
`overpayment, to Deposit Account Number
`(enclose an extra copy ofthis form).
`
`
`
`5. Change in Entity Status (from status indicated above)
`| Applicantcertifying micro entity status. See 37 CFR 1.29
`
` Lj Applicant changing to regular undiscounted fee status.
`
`Lj Applicant asserting small entity status. See 37 CFR 1.27
`
`
`NOTE:Absenta valid certification of Micro Entity Status (see forms PTO/SB/15A and 15B), issue
`fee paymentin the micro entity amountwill 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 ofloss of entitlement to micro entity status.
`NOTE: Checking this box will be taken to be a notification ofloss of entitlement to small or micro
`entity status, as applicable.
`
`NOTE: This form mustbe signed in accordance with 37 CFR 1.31 and 1.33. See 37 CFR 14 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 1002 - PAGE 11
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`
`RMD
`EXHIBIT 1002 - PAGE 11
`
`

`

`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`APPLICATION NO.
`
`FILING DATE
`
`
`
`
`FIRST NAMED INVENTOR
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`www.uspto.gov
`
`ATTORNEY DOCKETNO.
`
`CONFIRMATION NO.
`
`14/333,134
`
`07/16/2014
`
`Alastair Edwin McAuley
`
`FPHCR.112C1
`
`6841
`
`KNOBBE MARTENS OLSON & BEAR LLP
`2040 MAIN STREET
`FOURTEENTH FLOOR
`IRVINE, CA 92614
`
`DIXON, ANNETTE FREDRICKA
`
`IR
`
`DATE MAILED: 03/26/2018
`
`Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)
`(Applicationsfiled 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). Therefore, the Office is no longer
`providing an initial patent term adjustment determination with the notice of allowance. The Office will continue to
`provide a patent term adjustment determination with the Issue Notification Letter that is mailed to applicant
`approximately three weeks prior to the issue date of the patent, and will include the patent term adjustment on the
`patent. Any request for reconsideration of the patent term adjustment determination (or reinstatement of patent term
`adjustment) should follow the process outlined in 37 CFR 1.705.
`
`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 Customer Service Center of the Office of Patent Publication at 1-(888)-786-0101 or (571)-272-4200.
`
`PTOL-85 (Rev. 02/11)
`
`Page 3 of 3
`
`RMD
`EXHIBIT 1002 - PAGE 12
`
`RMD
`EXHIBIT 1002 - PAGE 12
`
`

`

`OMB Clearance and PRA Burden Statement for PTOL-85 Part B
`
`The Paperwork Reduction Act (PRA) of 1995 requires Federal agencies to obtain Office of Management and
`Budget approval before requesting most types of information from the public. When OMB approves an agency
`request to collect information from the public, OMB (i) provides a valid OMB Control Number and expiration
`date for the agency to display on the instrument that will be used to collect the information and (ii) requires the
`agency to inform the public about the OMB Control Number’s legal significance in accordance with 5 CFR
`1320.5(b).
`
`The information collected by PTOL-85 Part B is required by 37 CFR 1.311. The information is required to obtain
`or retain a benefit by the public whichis to file (and by the USPTO to process) an application. Confidentiality is
`governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 12 minutes to complete,
`including gathering, preparing, and submitting the completed application form to the USPTO. Time will vary
`depending upon the individual case. Any comments on the amount of time you require to complete this form
`and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent and
`Trademark Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, Virginia 22313-1450. DO NOT
`SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box
`1450, Alexandria, Virginia 22313-1450. Under the Paperwork Reduction Act of 1995, no persons are required to
`respondto a collection of information unlessit displays a valid OMB control number.
`
`Privacy Act Statement
`
`The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection with your
`submission of the attached form related to a patent application or patent. Accordingly, pursuant
`to the
`requirements of the Act, please be advised that: (1) the general authority for the collection of this informationis
`35 U.S.C. 2(b)(2); (2) furnishing of the informationsolicited is voluntary; and (3) the principal purpose for which
`the information is used by the U.S. Patent and Trademark Office is to process and/or examine your submission
`related to a patent application or patent. If you do not furnish the requested information, the U.S. Patent and
`Trademark Office may not be able to process and/or examine your submission, which mayresult in termination of
`proceedings or abandonmentof the application or expiration of the patent.
`
`The information provided by youin this form will be subject to the following routine uses:
`1. The information on this form will be treated confidentially to the extent allowed under the Freedom of
`Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 552a). Records from this system of records
`may be disclosed to the Department of Justice to determine whether disclosure of these records is required
`by the Freedom of Information Act.
`2. A record from this system of records may be disclosed, as a routine use, in the course of presenting evidence
`to a court, magistrate, or administrative tribunal, including disclosures to opposing counsel in the course of
`settlement negotiations.
`3. A record in this system of records may be disclosed, as a routine use, to a Member of Congress submitting a
`request involving an individual, to whom the record pertains, when the individual has requested assistance
`from the Memberwith respect to the subject matter of the record.
`4. A record in this system of records may be disclosed, as a routine use, to a contractor of the Agency having
`need for the information in order to perform a contract. Recipients of information shall be required to
`comply with the requirements of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C. 552a(m).
`5. A record related to an International Application filed under the Patent Cooperation Treaty in this system of
`records may be disclosed, as a routine use, to the International Bureau of the World Intellectual Property
`Organization, pursuant to the Patent Cooperation Treaty.
`6. A record in this system of records may be disclosed, as a routine use, to another federal agency for purposes
`of National Security review (35 U.S.C. 181) and for review pursuant to the Atomic Energy Act (42 U.S.C.
`218(c)).
`7. A record from this system of records may be disclosed, as a routine use, to the Administrator, General
`Services, or his/her designee, during an inspection of records conducted by GSA as part of that agency's
`responsibility to recommend improvements in records managementpractices and programs, under authority
`of 44 U.S.C. 2904 and 2906. Such disclosure shall be made in accordance with the GSA regulations
`governing inspection of records for this purpose, and any other relevant (i.e., GSA or Commerce) directive.
`Such disclosure shall not be used to make determinations about individuals.
`8. A record from this system of records may be disclosed, as a routine use, to the public after either publication
`of the application pursuant to 35 U.S.C. 122(b) or issuance of a patent pursuant to 35 U.S.C. 151. Further, a
`record may be disclosed, subject to the limitations of 37 CFR 1.14, as a routine use, to the public if