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`03-3 “95
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`Practitioner’s Docket No. —915-005.48
`
`it
`sa ass
`
`4)
`fi
`
`PATENT
`
`>=
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`
`
`Preliminary Classification:
`ProposedClass:
`.
`Subclass:
`.
`NOTE:
`“All applicants are requested to include a preliminary classification on newly filed patent
`applications. The preliminary classification, preferably class and subclass designations, should be
`identified in the upper right-hand comerof the letter of transmittal accompanying the application
`papers, for example ‘Proposed Class 2, subclass 129.'” M.P.E.P. § 601, 7th ed.
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Box Patent Application
`Commissioner for Patents
`Washington, D.C. 20231
`
`NEW APPLICATION TRANSMITTAL
`
`Transmitted herewith for filing is the patent application of
`
`Inventor(s): KIMMO MYLLY
`
`WARNING: 37 C.F.R. § 1.41(a){1) points out:
`
`“(a) A patent is applied for in the name or names ofthe actual inventor or inventors.
`
`“(1) The inventorship of a nonprovisional application is that inventorship set forth in the oath or
`declaration as prescribed by § 1.63, except as provided for in § 1.53(d}(4) and § 1.63(d). If an
`oath or declaration as prescribed by § 1.63 is not filed during the pendencyof a nonprovisional
`application, the inventorship is that inventorship set forth in the application papers filed pursuant
`to § 1.53(b), unless a petition under this paragraph accompanied bythe fee set forth in § 1.17(i)
`is filed supplying or changing the name or names of the inventor or inventors.”
`A METHOD AND A SYSTEM FOR DETERMINING THE POWER CONSUMPTION
`For (title):
`IN CONNECTION WITH AN ELECTRONIC DEVICE, AND AN ELECTRONIC DEVICE
`
`
`EXPRESS MAILING UNDER 37 C.F.R. § 1.10*
`(Express Mail label number is mandatory.)
`(Express Mail certification is optional.)
`
`| hereby certify that this paper,alongwithén Socyment referred to, is being deposited with the United States
`
`Postal Service on this date__Marcnh40,4£UU5in an envelope addressed to the Commissioner
`for Patents, Washington, D.C. 20231 as “Express Mail Post Office to Addressee” Mailing
`Label No.
`EV137073922US
`
`Margery B. Hood
`(type or print narne of person mailing paper)
`~"y
`
`Aba
`
`. Ae.
`
`
`
`Signature of
`WARNING: Certificate of mailing (first class) or facsimile transmission procedures of 37 C.F.R. 1.8 cannot be
`used to obtain a date of mailing or transmission for this correspondence.
`
`*WARNING: Each paperor fee filed by “Express Mail” must have the numberof the “Express Mail” mailing label
`placed thereon prior to mailing. 37 C.F.R. 1.10(b).
`“Since the filing of correspondence under § 1.10 without the Express Mail mailing label thereon
`is an oversight that can be avoided by the exercise of reasonable care, requests for waiver of this
`requirementwill not be granted on petition.” Notice of Oct. 24, 1996, 60 Fed. Reg. 56,439, at 56,442.
`(New Application Transmittal [4-1}—page 1 of 15)
`
`
`
`Kingston Exhibit 1004 - 1 |:
`
`é
`
`Kingston Exhibit 1004 - 1
`
`

`

`
`
`
`
`1. Type of Application
`This new application is for a(n)
`
`(check one applicable item below)
`
`&] Original (nonprovisional)
`1 Design
`Q Plant
`WARNING: Do not use this transmittal for a compisiion in the U.S. of an International Appiication under 35
`U.S.C. § 371(C)4), unless the Intemational Application is being filed as a divisional, continuation
`or continuation-in-part application.
`Donotuse this transmittal for the filing of a provisional application.
`WARNING:
`NOTE: {fone ofthe following 3 items apply, then complete and attach ADDED PAGES FOR NEW APPLICATION
`TRANSMITTAL WHERE BENEFIT OF A PRIOR U.S. APPLICATION CLAIMED and a NOTIFICATION
`IN PARENT APPLICATION OF THE FILING OF THIS CONTINUATION APPLICATION.
`
`{ Divisional.
`
`0 Continuation.
`C1 Continuation-in-part (C-I-P).
`2. Benefit of Prior U.S. Application(s) (35 U.S.C. §§ 119(e), 120, or 121)
`NOTE:
`“A nonprovisional application or intemational application designating the United States of America may
`claim an invention disclosed in one or more prior-filed copending nonprovisional applications or
`international applications designating the United States of America. In order for an application to claim
`the benefit of a prior-filed copending nonprovisional application or intemational application designating
`the United States of America, each prior-filed application must name as an inventorat least one inventor
`namedin the later-filed application and disclose the named inventor's invention claimed in at least one
`claim of the later-filed application in the manner provided by the first paragraph of 35 U.S.C. 112. In
`addition, each prior-filed application must be:
`(i) An international application entitled to a filing date in accordance with PCT Article 11 and
`designating the United States of America, or
`
`fii) Complete as set forth in § 1.51(b); or
`fii) Entitled to a filing date as set forth in § 1.53(b) or § 1.53(d) and include the basic filing fee set
`forth in § 1.16; or
`(iv) Entitled to a filing date as set forth in § 1.53(b) and have paid therein the processing and retention
`fee set forth in § 1.21()) within the time period set forth in § 1.53(f.
`
`37 CFR. § 1.78(a}(1).
`WARNING:
`If an application claims the benefit ofthefiling date of an earlier filed application under 35 U.S.C.
`§§ 120, 121 or 365(c), the 20-year term ofthat application will be based upon the filing date of
`the earliest U.S. application that the application makes reference to under 35 U.S.C. §§ 120, 121
`or 365(c). (35 U.S.C. § 154(a)(2) does not take into account, for the determination of the patent
`term, any application on which priority is claimed under 35 U.S.C. §§ 119, 365(a) or 365(b).) For
`a c-i-p application, applicant should review whether any claim in the patent that will issue is
`supportedbyan earlier application and,ifnot, the applicant should consider canceling the reference
`to the earlier filed application. The term of a patent is not based on a claim-by-claim approach.
`See Notice of April 14, 1995, 60 Fed. Reg. 20,195, at 20,205.
`
`(New Application Transmittal [4-1}—page 2 of 15)
`
`
`
`Kingston Exhibit 1004 - 2
`
`Kingston Exhibit 1004 - 2
`
`

`

`
`
`WARNING: 37 C.F.R. § 1.78(a)(2) deals with the time in which the claim for the benefit of an earlier filing date
`must be made and States:
`
`“2)) Except for a continued prosecution application filed under § 1.53(d), any nonprovisional
`application or intemational application designating the United States of America claiming the benefit
`of one or more prior-filed copending nonprovisional applications or international applications
`designating the United States of America must contain or be amended to contain a reference to each
`such prior-filed application, identifying it by application number (consisting of the series code and
`serial number) or international application number and intemational filing date and indicating the
`relationship of the applications. Cross references to other related applications may be made when
`appropnate (see § 1.14).
`
`(i) This reference must be submitted during the pendencyof the later-filed application. If the
`later-filed application is an application filed under 35 U.S.C. 111{a), this reference must also be
`submitted within the later of four months from the actual filing date of the later-filed application
`or sixteen months from thefiling date of the prior-filed application. If the later-filed application is
`@ nonprovisional application which entered the national stage from an international application after
`compliance with 35 U.S.C. 371, this reference must also be submitted within the later of four months
`from the date on which the national stage commenced under 35 U.S.C. 371(b) or(in the later-filed
`international application or sixteen months from the filing date of the prior-filed application. These
`time periods are not extendable. Except as provided in paragraph (a)(3) of this section, the failure
`to timely submit the reference required by 35 U.S.C. 120 and paragraph (a)(2){) of this section is
`considered a waiver ofany benefit under 35 U.S.C. 120, 127, or365(c) to such prior-filed application.
`The time periods in this paragraph do not apply if the later-filed application is:
`(A) An application for a design patent;
`(8) An application filed under 35 U.S.C. 111(a) before November 29, 2000; or
`
`(C) A nonprovisional application which entered the national stage after compliance with 35 U.S.C.
`371 from an intemational application filed under 35 U.S.C. 363 before November 29, 2000.
`
`(iii) If the later-filed application is a nonprovisional application, the reference required by this
`Paragraph must be included in an application data sheet (§ 1.76), or the specification must contain
`or be amended to contain such reference in the first sentence following the title.
`(iv) The requestfor a continued prosecution application under § 1.53(d) is the specific reference
`required by 35 U.S.C. 120 to the prior-filed application. The identification of an application by
`application number underthis sectionis the identification of every application assigned that application
`number necessary for a specific reference required by 35 U.S.C. 120 ta every such application
`assigned that application number.”
`
`NOTE:
`
`if the new application being transmittedis a divisional, continuation or a continuation-in-part of a parent
`case, or where the parent case is an International Application which designated the U.S., or benefit
`of a prior provisional application is claimed, then check the following item and complete and attach
`ADDED PAGES FOR NEW APPLICATION TRANSMITTAL WHERE BENEFIT OF PRIOR U.S. APPLICA-
`TION(S) CLAIMED.
`
`{1 The new application being transmitted claims the benefit of prior U.S. applica-
`tion(s). Enclosed are ADDED PAGES FOR NEW APPLICATION TRANSMITTAL
`WHERE BENEFIT OF PRIOR U.S. APPLICATION(S) CLAIMED.
`3. Papers Enclosed
`
`A. Required forfiling date under 37 C.F.R. § 1.53(b) (Regular) or 37 C.F.R. § 1.153
`(Design) Application
`_15__ Pages of specification
`_4_ Pages of claims
`—4_. Sheets of drawing
`WARNING: DO NOTsubmit original drawings. A high quality copy of the drawings should be supplied when
`filing a patent application. The drawings that are submitted ta the Office must be on strong, white,
`smooth, and non-shiny paper and meet the standards according to § 1.84. If corrections to the
`Grawings are necessary, they should be madeto the original drawing and a high-quality copy of
`the corrected original drawing then submitted to the Office. Only one copyis required or desired.
`For comments on proposed then-new 37 C.F.R. § 1.84, see Notice of March 9, 1988 (1990 O.G.
`57-62).
`
`(New Application Transmittal [4~1}—page 3 of 15)
`
`
`
`Kingston Exhibit 1004 - 3
`
`Kingston Exhibit 1004 - 3
`
`

`

`
`
`NOTE:
`
`“Identification of drawings. Identifying indicia, if provided, should include the title of the invention,
`inventor's name and application number, or docket number (if any) if an application number has not
`been assigned to the application.If this information is provided, it must be placed onthe front of each
`sheet and centered within the top margin.”
`
`(complete the following, if applicable)
`
`(1 The enclosed drawing(s) are photograph(s).
`NOTE: 37 C.F.R. 1.84
`
`“(b) Photographs.
`“(1) Black and white. Photographs, including photocopies of photographs, are not ordinanly
`permitted in utility and design patent applications. The Office will accept photographs in utility and
`design patent applications, however, if photographs are the only practicable medium forifustrating
`the claimed invention. For example, photographs or photomicrographs of: electrophoresis gels,
`blots (e.g., immunological, western, Souther, and northem), auto radiographs, cell cultures (stained
`and unstained), histological tissue cross sections (stained and unstained), animals, plants, in vivo
`imaging,thin layer chromatographyplates,crystalline structures, and,in a design patent application,
`omamentaleffects, are acceptable. If the subject matter of the application admits ofillustration
`by a drawing, the examiner may require a drawing in place of the photograph. The photographs
`must be of sufficient quality so that all details in the photographs are reproducible in the printed
`patent.
`“(2) Colorphotographs. Color photographswill be acceptedin utility and design patent applications
`if the conditions for accepting color drawings and black and white photographs have been satisfied.
`See paragraphs (a)(2) and (b)(1) of this section.”
`(J The enclosed drawing(s) are in color. Three (3) sets of color drawings and a
`“PETITION TO ACCEPT COLOR DRAWING(S)” are attached. 37 C.F.R.
`§§ 1.84(a)(2) and 1.84(b).
`NOTE: 37 C.F.R. 1.84(a)
`“(2} Color. On rare occasions, color drawings may be necessary as the only practical medium by which
`to disclose the subject matter sought to be patented in a utility or design patent application or the
`subject matter of a statutory invention registration. The color drawings mustbe of sufficient quality
`such that aif details in the drawings are reproducible in black and white in the printed patent. Color
`drawings are not permittedin international applications (see PCT Rule 11.13), or in an application,
`or copy thereof, submitted under the Office electronic filing system. The Office will accept color
`drawingsin utility or design patent applications andstatutory invention registrationsonly after granting
`a petition filed under this paragraph explaining why the color drawings are necessary. Any such petition
`must include the following:
`
`(i) The fee set forth in § 1.17(h);
`fii) Three (3) sets of color drawings;
`(iii) A black and white photocopythat accurately depicts, ta the extent possible, the subject matter
`shown in the color drawing; and
`fiv) An amendmentto the specification to insert (unless the specification contains or has been
`previously amended to contain) the following language as the first paragraph of the brief
`description of the drawings:
`The patentor applicationfile contains at least one drawing executed in color. Copies of this patent
`orpatent application publication with color drawing(s) will be providedby the Office upon request
`and payment of the necessary fee.”
`
`(}
`
`formal
`
`0 sinformal
`
`Other Papers Enclosed
`2__
`Pages of declaration and powerof attorney
`Pages of abstract
`__—.. Other
`
`1
`
`(New Application Transmittal [4-1}—page 4 of 15)
`
`
`
`Kingston Exhibit 1004 - 4
`
`Kingston Exhibit 1004 - 4
`
`

`

`
`
`=
`
`.4. Additional papers enclosed
`OO Amendment to claims
`before
`() Cancel
`in this applications claims
`calculating thefiling fee. (At least one original independent claim must be
`retained forfiling purposes.)
`(0 Add the claims shown on the attached amendment. (Claims added have
`been numbered consecutively following the highest numbered original
`claims.)
`} Preliminary Amendment
`] Information Disclosure Statement (37 C.F.R. § 1.98)
`NOTE: 37 CFR. § 1.97 (b) An information disclosure statementshall be considered by the Office if filed by
`the applicant within any one ofthe following time periods:
`(1) Within three monthsofthefiling date of a National application other than a continued prosecution
`application under § 1.53(d);
`(2) Within three months of the date of entry of the national stage as set forth in § 1.491 in an
`intemational application,
`
`(3) Before the mailing of a first Office action on the merits; or
`WARNING:
`In order to ensure consideration of information previously submitted but which has not been
`considered in the parent application, an applicant must resubmit the information, complying with
`37 C.F.R. § 1.97 and 37 C.F.R. § 1.98, in the continuing application filed under 37 C.F.R. § 1.53(b).
`See § 609B(3), M.P.E.P., 7th Edition, Rev. 1.
`Form PTO-1449 (PTO/SB/08A and 08B)
`Citations
`
`Declaration of Biological Deposit
`Submission of “SequenceListing,” computer readable copy and/or amendment
`pertaining thereto for biotechnology invention containing nucleotide and/or
`amino acid sequence.
`[ Authorization of Attorney(s) to Accept and Follow Instructions from Representa-
`tive
`
`OOasBs
`
`O) Special Comments
`[1 Other
`
`5. Declaration or oath (including power of attorney)
`NOTE: A newly executed declaration is not required in a continuation or divisional application provided that
`the prior nonprovisional application contained a declaration as required, the application being filed is
`by all or fewerthan all the inventors namedin the prior application, there is no new matter in the
`application being filed, and a copy of the executed declaration filed in the prior application (showing
`the signature or an indication thereon that it was signed) is submitted. The copy must be accompanied
`by a statement requesting deletion of the names of person(s) who are not inventors of the application
`beingfiled. If the declaration in the prior application wasfiled under § 1.47, then a copy of that
`declaration mustbe filed accompaniedby a copyofthe decision granting § 1.47 statusor, if a nonsigning
`person under § 1.47 has subsequently joined in a prior application, then a copy of the subsequently
`executed declaration must be filed. See 37 C.F.R. §§ 1.63(axTH3).
`NOTE: A declaration filed to complete an application must be executed, identify the specification to which it
`is directed, identify each inventorbyfull name including familyname andat least one given name, without
`abbreviation together with any other given nameorinitial, and the residence, post office address and
`country or citizenship of each inventor, and state whether the inventor is a sole or joint inventor. 37
`C.F.R. § 1.63(a)(1}(4).
`“The inventorship of a nonprovisional application is that inventorship setforth in the oath or declaration
`as prescribed by § 1.62, except as provided for in § 1.53(d)(4) and § 1.63(d). If an oath or declaration
`as prescribed by § 1.63 is notfiled during the pendencyof a nonprovisional application, the inventorship
`is thatinventorship setforth in the application papers filed pursuant to § 1.53(b), unless a petition under
`this paragraph accompanied by the fee set forth in § 1.17() is filed supplying or changing the name
`or names of the inventor or inventors.” 37 C.F.R. § 1.41(a)(1).
`
`NOTE:
`
`(New Application Transmittal [4-1}-~page 5 of 15)
`
`
`
`Kingston Exhibit 1004 - 5
`
`Kingston Exhibit 1004 - 5
`
`

`

`Hom md TH
`vl Flag
`“ds
`a.
`
`&) Enclosed
`
`Executed by
`
`(check all applicable boxes)
`
`inventor(s).
`XI
`legal representative of inventor(s). 37 C.F.R. §§ 1.42 or 1.43.
`(0
`(joint inventor or person showing a proprietary interest on behaif of inventor
`who refused to sign or cannot be reached.
`C1 This is the petition required by 37 C.F.R. § 1.47 and the statement
`required by 37 C.F.R. § 1.47 is also attached. See item 13 below for
`fee.
`
`(1 Not Enclosed.
`NOTE: Where thefiling is a completion in the U.S. of an International Application or where the completion of
`the U.S. application contains subject matter in addition to the Intemational Application, the application
`may betreated as a continuation or continuation-in-part, as the case may be, utilizing ADDED PAGE
`FOR NEW APPLICATION TRANSMITTAL WHERE BENEFIT OF PRIOR U.S. APPLICATION CLAIMED.
`(1 Application is made by a person authorized under 37 C.F.R. § 1.41(c) on
`behalf of aiff the above named inventor(s).
`
`(The declaration or oath, along with the surcharge required by 37 C.F.R. § 1.16(e)
`can be filed subsequently).
`
`6.
`
`O_
`
`~Showingthat the filing is authorized.
`(not required unless called into question. 37 C.F.R. § 1.41(d))
`Inventorship Statement
`WARNING:
`If the namedinventors are each not the inventors ofall the claims an explanation, including the
`ownership of the various claims at the time the last claimed invention was made, should be
`submitted.
`
`The inventorship for all the claims in this application are:
`(J The same.
`
`or
`
`(1 Not the same. An explanation, including the ownership of the various claims at
`the time the last claimed invention was made,
`
`Osis submitted.
`
`CO will be submitted.
`
`7. Language
`NOTE: An application including a signed oath or declaration may be filed in a language other than English.
`An English translation of the non-English language application and the processing fee of $130.00
`required by 37 C.F.R. § 1.17(k) is required to be filed with the application, or within such time as may
`be set by the Office. 37 C.F.R. § 1.52(d).
`
`&] English
`
`O Non-English
`{] The attached translation includes a statement that the translation is accu-
`rate. 37 C.F.R. § 1.52(d).
`
`(New Application Transmittal [4-1]—page 6 of 15)
`
`
`
`Kingston Exhibit 1004 - 6
`
`Kingston Exhibit 1004 - 6
`
`

`

`
`
`8. Assignment
`{J An assignment of the invention to__Nokia Corporation
`
`
`KI
`
`is attached. A separate [1] “COVER SHEET FOR ASSIGNMENT (DOCU-
`MENT) ACCOMPANYING NEW PATENT APPLICATION” or {c] FORM PTO
`1595 is also attached.
`
`O will follow.
`
`NOTE:
`
`“If an assignmentis submitted with a new application, send two separateletters-onefor the application
`and one for the assignment.” Notice of May 4, 1990 (1114 O.G. 77-78).
`WARNING: A newly executed “CERTIFICATE UNDER 37 C.F.R. § 3.73(b)” must be filed when a continuation-
`in-part application is filed by an assignee. Notice of April 30, 1993, 1150 O.G. 62-64.
`
`[] This is a (1 continuation ( divisional
`
`application and the assignment
`
`document for the parent application 0 /___-#-_+__—SESSESFSFSSséwaaass filed
`on
`
`.
`
`9. Certified Copy
`
`Ree!
`
`Frame
`
`Certified copy(ies) of application(s)
`
`Finland
`20020594
`March 27, 2002
`
`Country
`Appin. No.
`Filed
`
`
`Country
`Appin. No.
`Filed
`
`
`Country
`
`Appin. No.
`
`Filed
`
`from which priority is claimed
`
`J is (are) attached.
`1 will follow.
`
`NOTE: 37 C.F.R. § 1.55 Claim for foreign priority.
`“arte
`
`(1) In an original application filed under 35 U.S.C. 11 1(a), the claim for priority must be presented
`during the pendencyof the application, and within the later of four months from the actual filing date
`ofthe application or sixteen months from the filing date of the prior foreign application. This time
`Penod is not extendable. The claim mustidentify the foreign application for which priority is claimed,
`as well as any foreign application for the same subject matter and havinga filing date before that
`of the application for which priority is claimed, by specifying the appfication number, country (or
`intellectual property authority), day, month, and year ofits filing. The time periods in this paragraph
`do not apply in an application under 35 U.S.C. 111/(a) if the application is:
`(A) A design application; or
`(8) An application filed before November 29, 2000.
`we eree
`
`(c) Unless such claim is accepted in accordance with the provisions of this paragraph, any claim for
`priority under 35 U.S.C. 119{a)-(o) or 365(a) not presented within the time period provided by
`paragraph (a) of this section is considered to have been waived. Hf a claim for priority under 35 U.S.C.
`119(a)-(d) or 365(a) is presented after the time period provided by paragraph (a) ofthis section, the
`claim may be accepted if the claim identifying the prior foreign application by specifying its application
`number, country (or intellectual property authority), and the day, month, and yearofits filing was
`unintentionally delayed. A petition to accept a delayed claim forpriority under 35 U.S.C. 119(a}-(d}
`or 365(a) must be accompanied by-
`
`(New Application Transmittal [4-1}—page 7 of 15)
`
`
`
`Kingston Exhibit 1004 - 7
`
`Kingston Exhibit 1004 - 7
`
`

`

`
`
`(1) The claim under 35 U.S.C. 119{a)-(d) or 365(a) and this section to the prior foreign application,
`unless previously submitted:
`(2) The surcharge set forth in § 1.17(; and
`(3) A statementthat the entire delay between the date the claim was due under paragraph (a)(1)
`of this section and the date the claim wasfiled was unintentional. The Commissioner may require
`additional information where there is a question whether the delay was unintentional.”
`NOTE: 37 C.F.R. § 1.63 Oath or declaration.
`“(a) An oath or declaration filed under § 1.51(b)(2) as a part of a nonprovisional application must:
`
`(c) Uniess such information is supplied on an application data sheet in accordance with § 1.76,
`the oath or declaration must also identify:
`(2) Any foreign application for patent (or inventor's certificate) for which a claim for priority is
`made pursuant to § 1.55, and any foreign application having a filing date before that of the
`application on which prionty is claimed, by specifying the application number, country, day, month,
`and yearofits filing.”
`The foreign application forming the basis for the claim for priority must be referred to in the oath
`or declaration. 37 C.F.R. § 1.55{a) and 1.63.
`NOTE: This item is for any foreign priority for which the application being filed directly relates. If any parent
`U.S. application or Intemational Application from which this application claims benefit under 35 U.S.C.
`§ 120is itself entitled to priority from a prior foreign application, then complete item 18 on the ADDED
`PAGES FOR NEW APPLICATION TRANSMITTAL WHERE BENEFIT OF PRIOR U.S. APPLICATION(S)
`CLAIMED.
`
`10. Fee Calculation (37 C.F.R. § 1.16)
`
`A. & Regular application
`
`
`CLAIMS AS FILED
`
`Numberfiled
`
`Basic Fee
`37 C.F.R. § 1.16(a)
`3VMOKOD $750.00
`
`
`Number Extra
`
`Rate
`
`Total
`Claims (37 C.F.R.
`§ 1.16(c))
`Independent
`Claims 87 C.F.R.
`~ 3 =
`§ 1.16(b))
`Multiple dependent claim(s),
`$280.00
`+
`if any (37 C.F.R. § 1.16(d))
`
`
`_ 20 =
`
`26
`
`4
`
`6
`
`1
`
`x
`
`x
`
` $ 18.00
`
` $ 84.00
`
`108.00
`
`84.00
`
`(1 Amendment cancelling extra claims is enclosed.
`( Amendment deleting multiple-dependencies is enclosed.
`O Feefor extra claims is not being paid at this time.
`NOTE:
`If the fees for extra claims are notpaid onfiling they must be paid or the claims cancelled by amendment,
`prior to the expiration of the time period set for response by the Patent and Trademark Office in any
`notice of fee deficiency. 37 C.F.R. § 1.16(d).
`Filing Fee Calculation
`
`g 942.00
`
`(New Application Transmittal [4-1]}—page 8 of 15)
`
`
`
`Kingston Exhibit 1004 - 8
`
`Kingston Exhibit 1004 - 8
`
`

`

`
`
`B.
`
`LO Design application
`($330.00—37 C.F.R. § 1.16(f))
`Filing Fee Calculation
`
`$
`
`$
`
`c. O Plant application
`($510.00—37 C.F.R. § 1.16(g))
`Filing fee calculation
`11. Assertion of Small Entity Status
`0 «Applicant hereby asserts status as a small entity under 37 C.F.R. § 1.27
`NOTE: 37 C.F.R. § 1.27(c) deals with the assertion of smail entity status, whether by a written specific
`declaration thereof or by payment as a small entity of the basicfiling fee or the fee for the entry into
`the national phase and states:
`“(c) Assertion of small entity status. Any party (person, smail business concern or nonprofit
`organization) should make a determination, pursuant to paragraph (§ of this section, of entitlement
`to be accorded smail entity status based on the definitions set forth in paragraph (a) of this section,
`and must, in order to establish small entity status for the purpose of paying small entity fees, actually
`make an assertion of entitlement to small entity status, in the manner set forth in paragraphs (c)(1)
`or (c)(3) of this section, in the application or patent in which such smail entity fees are to be paid.
`(1) Assertion by writing. Small entity status may be established by a written assertion of entitlement
`to small entity status. A written assertion must:
`() Be clearly identifiable;
`
`(ii) Be signed (see paragraph (c)(2) of this section); and
`(ii) Convey the conceptof entitlement to smail entity status, such as by stating that applicant
`is a small entity, or that small entity status is entitled to be asserted for the application or patent.
`While no specific words or wording are required to assert small entity status, the intent to assert
`small entity status must be clearly indicated in order to comply with the assertion requirement.
`(2) Parties who can sign andfile the written assertion. The written assertion can be signed by:
`() One of the parties identified in § 1.33(b) (e.g., an attorney or agent registered with the Office),
`§ 3.73(b) of this chapter notwithstanding, who can also file the written assertion;
`(i) At least one ofthe individuals identified as an inventor (even though a § 1.63 executed oath
`or declaration has not been submitted), notwithstanding § 1.33(b)(4), who can also file the written
`assertion pursuant to the exception under § 1.33(b) of this part; or
`
`(ii) An assignee of an undivided part interest, notwithstanding §§ 1.33(b)(3) and 3.73(b) of this
`chapter, but the partial assignee cannotfile the assertion without resort to a party identified under
`§ 1.33(b) of this part.
`
`(3) Assertion by paymentof the small entity basic filing or basic national fee. The payment, by any
`party, of the exact amount of one of the smalf entity basic filing fees set forth in §§ 1.16(a), (9,
`(g), (h), or (k), or one of the small entity basic national fees set forth in §§ 1.492(a\(1), (a2), (a3),
`(a)(4), or (a)(5), will be treated as a written assertion of entitlement to smail entity status even if the
`type of basic filing or basic national fee is inadvertently selected in error.
`() If the Office accords smail entity status based on paymentof a small entity basic filing or basic
`national fee under paragraph (c)(3) of this section that is not applicable to that application, any
`balance of the small entity fee that is applicable to that application will be due along with the
`appropriate surcharge set forth in § 1.16(e), or § 1.16().
`fii) The paymentof any small entity fee other than those set forth in paragraph (c)(3) of this section
`(whether in the exact fee amount or not) will not be treated as a written assertion of entitlement
`to smaff entity status and will not be sufficient to establish smail entity status in an application
`or a patent.”
`
`(New Application Transmittal [4-1}—page 9 of 15)
`
`
`
`Kingston Exhibit 1004 - 9
`
`Kingston Exhibit 1004 - 9
`
`

`

`
`
`WARNING: 37 C.F.R. § 1.27(c)(4): “Assertion required in related, continuing, and reissue applications. Status
`as a small entity must be specifically established by an assertion in each related, continuing and
`reissue application in which status is appropriate and desired. Status as a smaif entity in one
`application or patent does notaffect the status of any other application or patent, regardless of
`the relationship of the applications or patents. The refiling of an application under § 1.53 as a
`continuation, divisional, or continuation-in-part application (including a continued prosecution
`application under § 1.53(d)), or the filing of a reissue application, requires a new assertion as to
`continued entitlement to small entity status for the continuing or reissue application.”
`“Smail entity status mustnot be established when the person or persons signing the .
`.
`. statement
`can unequivocally make the required self-certification.” M.P.E.P., § 509.03 (emphasis added).
`
`WARNING:
`
`(complete the following, if applicable)
`
`(Status as a small entity was asserted in the prior application
`
`sf
`filedon, from which benefit
`is being claimed for this application under:
`35 U.S.C. § O1
`119(e)
`O)
`120
`O 121
`(1
`365(c)
`and which status as a small entity is still proper and asserted for this
`application.
` Acopyof the written assertion of small entity filed in the prior application
`is included.
`
`NOTE: A refund based on establishment of smail entity status, of a portion of fees timely paid in full prior to
`establishing status as a small entity may only be obtained if an assertion under § 1.27(c) and a request
`for a refund of the excess amount are filed within three months of the date of the timely payment of
`the full fee. The three-month time period is not extendable under § 1.136. 37 C.F.R. § 1.28(a).
`Filing Fee Calculation (60% of A, B or © above)
`
`12. Request for International-Type Search (37 C.F.R. § 1.104(d))
`
`(complete, if applicable)
`
`$
`
`1] Please prepare an international-type search report for this application at the time
`when national examination on the merits takes place.
`
`(New Application Transmittal [4-1]}—page 10 of 15)
`
`
`
`Kingston Exhibit 1004 - 10
`
`Kingston Exhibit 1004 - 10
`
`

`

`
`
`13. Fee Payment Being Made at This Time
`
`{2 Not Enclosed
`
`[)
`
`Nofiling fee is to be paid at this time.
`(This and the surcharge required by 37 C.F.R. § 1.16(e) can be paid
`subsequently.)
`
`K) Enclosed
`
`X] Filing fee
`&] Recording assignment
`($40.00; 37 C.F.R. § 1.21(h)
`(See attached “COVER SHEET FOR
`ASSIGNMENT ACCOMPANYING NEW
`APPLICATION”)
`
`© Petition fee for filing by other than all the
`inventors or person on behalf of the inventor
`where inventor refused to sign or cannot be
`reached
`($130.00; 37 C.F.R. §§ 1.47 and 1.17())
`
`{1 For processing an application with a
`specification in
`a non-English language
`($130.00; 37 C.F.R. §§ 1.52(d) and 1.17(k))
`
`[1 Processing and retention fee
`($130.00; 37 C.F.R. §§ 1.53(d) and 1.21())
`
`$ 942,00
`
`$
`
`40.00
`
`$
`
`$
`
`$
`
`(J Fee for international-type search report
`$
`($40.00; 37 C.F.R. § 1.21(e))
`NOTE: