Doc Code: DIST.E.FILE
`DocumentDescription: Electronic Terminal Disclaimer- Filed
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`PTO/SB/26
`U.S. Patent and Trademark Office
`Department of Commerce
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`Electronic Petition Request
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`TERMINAL DISCLAIMER TO OBVIATE A DOUBLE PATENTING REJECTION OVERA
`“PRIOR” PATENT
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`Title of Invention
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`BREATHING ASSISTANCE APPARATUS
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`x Filing of terminal disclaimer does not obviate requirement for response under 37 CFR 1.111 to outstanding
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`DX] This electronic Terminal Disclaimer is not being used for a Joint Research Agreement.
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`In making the abovedisclaimer, the owner doesnotdisclaim the terminal part of the term of any patent granted on the instant
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`EXHIBIT 1004 - PAGE 2
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`EXHIBIT 1004 - PAGE 2
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`Electronic Patent Application Fee Transmittal
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`Title of Invention:
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`BREATHING ASSISTANCE APPARATUS
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`First Named Inventor/Applicant Name:
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`Alastair Edwin McAuley
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`EXHIBIT 1004 - PAGE 3
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`EXHIBIT 1004 - PAGE 3
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`Extension-of-Time:
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`EXHIBIT 1004 - PAGE 4
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`EXHIBIT 1004 - PAGE 4
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`Doc Code: DISQ.E.FILE
`Document Description: Electronic Terminal Disclaimer — Approved
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`Application No.: 14846226
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`Filing Date:
`
`04-Sep-2015
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`Applicant/Patent under Reexamination:
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`McAuley
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`Electronic Terminal Disclaimer filed on
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`September 10, 2018
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`ix]
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`APPROVED
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`This patent is subject to a terminal disclaimer
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`EXHIBIT 1004 - PAGE 5
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`EXHIBIT 1004 - PAGE 5
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`Title of Invention:
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`BREATHING ASSISTANCE APPARATUS
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`Electronic AcknowledgementReceipt
`
`Application Number:
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`14846226
`
`International Application Number:
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`Confirmation Number:
`
`8898
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`Co
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`Paymentinformation:
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`37 CFR 1.17 (Patent application and reexamination processing fees)
`
`Authorized User
`
`ThuyQuyen Nguyen
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`The Director of the USPTO is hereby authorized to charge indicated fees and credit any overpaymentas follows:
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`37 CFR 1.16 (National application filing, search, and examination fees)
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`EXHIBIT 1004 - PAGE 6
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`File Listing:
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`Pages
`Multi
`File Size(Bytes)/
`DocumentDescription
`Document
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`Number Message Digest|Part/.zip|P (if appl.)
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`1
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`Terminal Disclaimer-Filed (Electronic)
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`eTerminal-Disclaimer.pdf
`
`66ced9eaf8ea6e03b4bf88d4ad22976d8ca
`7758
`
`Information:
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`2
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`Fee Worksheet (SB06)
`
`fee-info.pdf
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`S5eed96ab2c414eb3 199a48c520183f49f208
`cad6,
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`2
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`New Applications Under 35 U.S.C. 111
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`New International Application Filed with the USPTO as a Receiving Office
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`Information:
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`This AcknowledgementReceipt evidences receipt on the noted date by the USPTO ofthe indicated documents,
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`EXHIBIT 1004 - PAGE 7
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`EXHIBIT 1004 - PAGE 7
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`

`www.uspto.gov
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
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`APPLICATION NUMBER
`
`PATENT NUMBER
`
`GROUP ART UNIT
`
`REQUEST ID
`
`14/846,226
`
`9333315
`
`3778
`
`67732
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`PAIR Correspondence Address/Fee Address Change
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`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.
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`¢ Maintenance Fee Address
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`The address for Customer Number 10802is:
`10802
`Ipan Intellectual Property Associated Network GMBH
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`GERMANY
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`I certify, in accordance with 37 CFR 1.4(d)(4) that I am:
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`An attorney or Agent of Record registered to practice before the Patent and Trademark Office who has been given
`powerof attorney in this application
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`44304
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`ignature:
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`Registration Number:
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`Robert J. Roby/
`Robert J. Roby
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`EXHIBIT 1004 - PAGE 8
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`EXHIBIT 1004 - PAGE 8
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`
`
`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.
`
`14/846,226
`
`ISSUE DATE
`
`05/10/2016
`
`PATENT NO.
`
`ATTORNEY DOCKETNO.
`
`CONFIRMATION NO.
`
`9333315
`
`FPHCR.112C2
`
`8898
`
`20995
`
`7590
`
`04/20/2016
`
`KNOBBE MARTENS OLSON & BEAR LLP
`2040 MAIN STREET
`FOURTEENTH FLOOR
`IRVINE, CA 92614
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`The projected patent numberandissue date are specified above.
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`ISSUE NOTIFICATION
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`Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)
`(application filed on or after May 29, 2000)
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`The Patent Term Adjustment is 0 day(s). Any patent to issue from the above-identified application will include
`an indication of the adjustmenton the front page.
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`If a Continued Prosecution Application (CPA) wasfiled in the above-identified application, the filing date that
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`(ODM)at (571)-272-4200.
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`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.
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`IR103 (Rev. 10/09)
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`RMD
`EXHIBIT 1004 - PAGE 9
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`RMD
`EXHIBIT 1004 - PAGE 9
`
`

`

`
`PTO/SB/08 Equivalent
`
`Application No.
`Unknown
`
`Filing Date
`Herewith
`INFORMATION DISCLOSURE
`
`
`STATEMENT BY APPLICANT First Named Inventor|Alastair Edwin McAuley
`
`Art Unit
`Unknown
`(Multiple sheets used when necessary) Unknown Examiner
`
`SHEET 2 OF 5
`
`
`
`
` Attorney Docket No. FPHCR.112C2
`
`
`
`
`
`
`
`
`
`
`
`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
`
`29
`5,065,756
`11-19-1991
`|Rapoport
`
`
`03-10-1992 pore ‘Tayebi
`5,094,236
`Changets) applidd
`
`05-19-1992
`|Dickermanet al.
`5,113,857
`to dodument
`31
`
`JSG.
`32
`5,148,802
`09-22-1992
`|Sandersetal.
`
`
`4/11 /ro1é 09-21-1993|Sullivan et al.33 5,245,995
`
`
`
`34
`5,269,296
`12-14-1993
`|Landis
`
`
`35
`5,477,852
`12-26-1995
`|Landis etal.
`
`
`36
`5,533,506
`07-09-1996
`|Wood
`
`
`37 09-03-1996|Froehlich etal.5,551,419
`
`
`
`
`38 01-21-19997|Gwaltney5,595,174
`
`
`
`39
`5,657,752
`08-19-1997
`|Landis et al.
`
`
`40 05-19-1998|Goldstein5,752,510
`
`
`
`
`41
`5,921,239
`07-13-1999
`|McCall et al.
`
`
`42 01-25-2000|Starr etal.6,017,315
`
`
`
`
`43
`6,298,850
`10-09-2001
`|Argraves
`
`44 08-13-2002|Bordewick6,431,172
`
`
`
`
`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 08-13-2003|Ellis6,561,188
`
`
`
`
`49
`6,561,191
`05-13-2003
`|Kwok
`
`
`50 06-24-2003|Drew,et al.6,581,594
`
`
`
`
`51 07-08-2003|Bardel6,588,424
`
`
`
`
`52
`6,637,434
`10-28-2003
`|Noble
`
`
`53 11-11-2003|Ziaee6,644,315
`
`
`
`
`54
`6,651,658
`11-25-2003
`Hill et al.
`
`
`55
`6,659,102
`12-09-2003
`|Sico
`
`CEPT WHERE LINED THROUGH,
`/A.D./ (12/07/2015)
`
`Date Considered
`
`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 markin this area when an English language Translation is attached.
`
`RMD
`EXHIBIT 1004 - PAGE 10
`
`
`
`56 12-16-2003|Gradon, et al.6,662,803
`
`
`
`
`
`
`
`RMD
`EXHIBIT 1004 - PAGE 10
`
`

`

`
`PTO/SB/08 Equivalent
`
`Application No.
`Unknown
`
`Filing Date
`Herewith
`INFORMATION DISCLOSURE
`
`
`STATEMENT BY APPLICANT First Named Inventor|Alastair Edwin McAuley
`
`Art Unit
`Unknown
`
`(Multiple sheets used when necessary)
`
`Examiner
`
`Unknown
`
`
`
`
`
`
`
`
`
`
`
`
`
`SHEET 3 OF 5
`Attorney Docket No.
`FPHCR.112C2
`
`
`
`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
`
`57 01-20-2004|Strickland etal.6,679,265
`
`
`
`
`58 02-08-2005|Jaffre et al.6,851,425
`
`
`
`
`59
`6,892,729
`05-17-2005
`|Smith etal.
`
`
`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 04-08-2008|Geist7,353,827
`
`
`
`
`66
`8,042,539
`10-25-2011
`|/Chandran, etal.
`
`
`67
`8,783,257
`07-22-2014
`|McAuleyet 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 01-09-2003|Izuchukwu2003/0005933
`
`
`
`
`73 05-01-2003|Strickland etal.2003/0079749
`
`
`
`
`
`
`
`[Drew et al.
`FResmred
`09-02-2003
`2003/0164170
`I 74
`’
`Chan
`
`
`to dodument, 10-23-2003|Gradon,et al.75 2003/0196659
`
`
`JIG,
`76
`2003/0196664
`10-23-2003
`|Jacobson
`
`
`4/11/2016 10-30-2003|Stenzler etal.77 2003/0200970
`
`
`
`78
`2004/0226566
`11-18-2004
`|Gunaratnam etal.
`
`
`79
`2005/0011524
`01-20-2005
`|Thomlinson etal.
`
`
`80
`2005/0028822
`02-10-2005
`|Sleeper etal.
`
`81 09-22-2005|Matula etal.2005/0205096
`
`
`
`
`82
`2007/0137653
`06-21-2007
`|Wood
`
`83
`
`84
`
`2012/0125339
`
`05-24-2012
`
`|Ho etal.
`
`D250,047
`
`10-24-1978
`
`|Lewis, et al.
`
`CEPT WHERE LINED THROUGH,
`/A.D./ (12/07/2015)
`
`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.
`
`RMD
`EXHIBIT 1004 - PAGE 11
`
`RMD
`EXHIBIT 1004 - PAGE 11
`
`

`

`PART B - FEE(S) TRANSMITTAL
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`Complete and send this form, together with applicable fee(s), to: Mail Mail Stop ISSUE FEE
`Commissioner for Patents
`P.O. Box 1450
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`CURRENT CORRESPONDENCE ADDRESS(Note: Use Block 1 for any changeof address)
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`04/05/2016
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`20995
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`
`can only be used for domestic mailings of the
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`APPLICATION NO.
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`FILING DATE
`
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`
`
`
` FIRST NAMED INVENTOR
`
`ATTORNEY DOCKETNO.
`
`CONFIRMATION NO.
`
`09/04/2015
`14/846,226
`TITLE OF INVENTION: BREATHING ASSISTANCE APPARATUS
`
`Alastair Edwin McAuley
`
`FPHCR.112C2
`
`8898
`
`
`
`
`
`
`
`APPLN. TYPE PUBLICATION FEE DUE|PREV. PAID ISSUE FEEENTITY STATUS ISSUE FEE DUE TOTAL FEE(S) DUE DATE DUE
`
`
`
`
`
`nonprovisional
`
`UNDISCOUNTED
`
`$960
`
`$0
`
`$0
`
`$960
`
`07/05/2016
`
`EXAMINER
`
`ART UNIT
`
`CLASS-SUBCLASS
`
`DIXON, ANNETTE FREDRICKA
`
`3778
`
`128-207180
`
`
`
`
`
`os)
`
`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.
`. ASSIGNEE NAME AND RESIDENCE DATATO 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) NAME OF ASSIGNEE
`(B) RESIDENCE:(CITY and STATE OR COUNTRY)
`Fisher & Paykel Healthcare Limited
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`2. For printing on the patent front page,list (1) The names ofup to 3registered patent attorneys 1 Knobbe, Martens,
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`overpayment, to Deposit Account Number
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`=
`
`(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 asserting small entity status. See 37 CFR 1.27
`
` Lj Applicant changing to regular undiscounted fee status.
`
`
`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 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 _/MichaelGuiliana/ssDate April 7, 2016
`
`
`Typed or printed name Michael A. Guiliana 42 ’ 611 Registration No.
`
`
`PTOL-85 Part B (10-13) Approved for use through 10/31/2013.
`
`OMB 0651-0033
`
`Page 2 of 3
`
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`EXHIBIT 1004 - PAGE 12
`U.S. Patent and Trademark Office; U.S. 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
`
`a
`
`
`
`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:
`
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`EXHIBIT 1004 - PAGE 13
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`

`

`Extension-of-Time:
`
`Total in USD ($)
`
`Miscellaneous:
`
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`EXHIBIT 1004 - PAGE 14
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`
`

`

`Electronic AcknowledgementReceipt
`
`Application Number:
`
`14846226
`
`International Application Number:
`
`Confirmation Number:
`
`8898
`
`
`
`a
`
`Title of Invention:
`
`BREATHING ASSISTANCE APPARATUS
`
`Paymentinformation:
`
`Charge any Additional Fees required under 37 CFR 1.17 (Patent application and reexamination processing fees)
`
`Authorized User
`
`KNOBBE MARTENS OLSON AND BEAR
`
`The Director of the USPTO is hereby authorized to charge indicated fees and credit any overpaymentas follows:
`
`Charge any Additional Fees required under 37 CFR 1.16 (National application filing, search, and examination fees)
`
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`EXHIBIT 1004 - PAGE 15
`
`

`

`File Listing:
`
`Document
`
`
`
`the application.
`
`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
`
`Pages|"Number"|__PeewmentDesaition|FleName Message Digest (ifappl.)
`
`sigs
`
`File Size(Bytes)/
`
`Multi
`
`Issue Fee Payment (PTO-85B)
`
`FPHCR112C2_Issue_Fee_Trans
`mittal.pdf
`
`ef4079c30556f6420514d8030774cb9ada8q
`bd0c
`
`Fee Worksheet (SB06)
`
`fee-info.pdf
`
`7ac2e6b6246f6cb31815221eec15538a975
`26481
`
`Information:
`
`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.
`
`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.
`
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`EXHIBIT 1004 - PAGE 16
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`

`

`
`
`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: 04/05/2016
`
`09/04/2015
`14/846,226
`TITLE OF INVENTION: BREATHING ASSISTANCE APPARATUS
`
`Alastair Edwin McAuley
`
`FPHCR.112C2
`
`8898
`
`
`
`
`
`
`
`
`
`
`
`APPLN. TYPE PUBLICATION FEE DUE|PREV. PAID ISSUE FEEENTITY STATUS ISSUE FEE DUE 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 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: Utility patents issuing on applications filed on or after Dec. 12, 1980 may require payment of
`maintenancefees. It is patentee's responsibility to ensure timely payment of maintenance fees when due.
`
`PTOL-85 (Rev. 02/11)
`
`Page | 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
`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)
`
`04/05/2016
`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.
`
`09/04/2015
`14/846,226
`TITLE OF INVENTION: BREATHING ASSISTANCE APPARATUS
`
`Alastair Edwin McAuley
`
`FPHCR.112C2
`
`8898
`
`
`
`
`
`
`
`APPLN. TYPE PUBLICATION FEE DUE|PREV. PAID ISSUE FEEENTITY STATUS ISSUE FEE DUE TOTAL FEE(S) DUE DATE DUE
`
`
`
`
`
`nonprovisional
`
`UNDISCOUNTED
`
`$960
`
`$0
`
`$0
`
`$960
`
`07/05/2016
`
`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 1004 - PAGE 18
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`
`RMD
`EXHIBIT 1004 - PAGE 18
`
`

`

`
`
`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.
`
`14/846,226
`
`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
`
`IR
`
`DATE MAILED: 04/05/2016
`
`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. Th