APPLICATION NUMBER
`60/911,196
`
`FILING or 371 (c) GRP ART UNIT
`DATE
`04/11/2007
`
`FIL FEE REC'D
`250
`
`ATTY.DOCKET.NO
`REDCOM.007PR
`
`TOT CLAIMS
`
`IND CLAIMS
`
`UNITED STATES DEPART:vIENT OF COMMERCE
`United States Patent and Trademark Office
`Addm" COMMISSIC!I\ER FOIZ PA'l'l':N'l'S
`PO Rox 1410
`Alexandria, Virginia 22313-1450
`wv1w.uspto.gov
`
`20995
`KNOBBE MARTENS OLSON & BEAR LLP
`2040 MAIN STREET
`FOURTEENTH FLOOR
`IRVINE, CA92614
`
`CONFIRMATION NO. 9407
`
`UPDATED FILING RECEIPT
`
`Date Mailed: 07/05/2007
`
`Receipt is acknowledged of this provisional Patent Application. It will not be examined for patentability and
`will become abandoned not later than twelve months after its filing date. Be sure to provide the U.S.
`APPLICATION NUMBER, FILING DATE, NAME OF APPLICANT, and TITLE OF INVENTION when inquiring
`about this application. Fees transmitted by check or draft are subject to collection. Please verify the accuracy
`of the data presented on this receipt. If an error is noted on this Filing Receipt, please mail to the
`Commissioner for Patents P.O. Box 1450 Alexandria Va 22313-1450. Please provide a copy of this
`Filing Receipt with the changes noted thereon. If you received a "Notice to File Missing Parts" for this
`application, please submit any corrections to this Filing Receipt with your reply to the Notice. When
`the USPTO processes the reply to the Notice, the USPTO will generate another Filing Receipt
`incorporating the requested corrections (if appropriate).
`Applicant( s)
`
`James H. Jannard, Eastsound, WA;
`
`Power of Attorney: The patent practitioners associated with Customer Number 20995
`
`If Required, Foreign Filing License Granted: 05/02/2007
`The country code and number of your priority application, to be used for filing abroad under the Paris Convention, is
`US60/911, 196
`
`Projected Publication Date: None, application is not eligible for pre-grant publication
`Non-Publication Request: No
`Early Publication Request: No
`
`Title
`
`COMPRESSION OF RAW SENSOR DATA USING BAYER PATTERN
`PROTECTING YOUR INVENTION OUTSIDE THE UNITED STATES
`Since the rights granted by a U.S. patent extend only throughout the territory of the United States and have
`no effect in a foreign country, an inventor who wishes patent protection in another country must apply for a
`patent in a specific country or in regional patent offices. Applicants may wish to consider the filing of an
`international application under the Patent Cooperation Treaty (PCT). An international (PCT) application
`generally has the same effect as a regular national patent application in each PCT-member country. The
`PCT process simplifies the filing of patent applications on the same invention in member countries, but
`does not result in a grant of "an international patent" and does not eliminate the need of applicants to file
`
`APPLE v. RED.COM
`
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`additional documents and fees in countries where patent protection is desired.
`
`Almost every country has its own patent law, and a person desiring a patent in a particular country must
`make an application for patent in that country in accordance with its particular laws. Since the laws of many
`countries differ in various respects from the patent law of the United States, applicants are advised to seek
`guidance from specific foreign countries to ensure that patent rights are not lost prematurely.
`
`Applicants also are advised that in the case of inventions made in the United States, the Director of the
`USPTO must issue a license before applicants can apply for a patent in a foreign country. The filing of a U.S.
`patent application serves as a request for a foreign filing license. The application's filing receipt contains
`further information and guidance as to the status of applicant's license for foreign filing.
`
`Applicants may wish to consult the USPTO booklet, "General Information Concerning Patents" (specifically,
`the section entitled "Treaties and Foreign Patents") for more information on timeframes and deadlines for
`filing foreign patent applications. The guide is available either by contacting the USPTO Contact Center at
`800-786-9199, or it can be viewed on the USPTO website at
`http://www.uspto.gov/web/offices/pac/doc/general/index.html.
`
`For information on preventing theft of your intellectual property (patents, trademarks and copyrights), you
`may wish to consult the U.S. Government website, http://www.stopfakes.gov. Part of a Department of
`Commerce initiative, this website includes self-help "toolkits" giving innovators guidance on how to protect
`intellectual property in specific countries such as China, Korea and Mexico. For questions regarding patent
`enforcement issues, applicants may call the U.S. Government hotline at 1-866-999-HAL T (1-866-999-4158).
`
`LICENSE FOR FOREIGN FILING UNDER
`Title 35, United States Code, Section 184
`Title 37, Code of Federal Regulations, 5.11 & 5.15
`
`GRANTED
`The applicant has been granted a license under 35 U.S.C. 184, if the phrase "IF REQUIRED, FOREIGN
`FILING LICENSE GRANTED" followed by a date appears on this form. Such licenses are issued in all
`applications where the conditions for issuance of a license have been met, regardless of whether or not a
`license may be required as set forth in 37 CFR 5.15. The scope and limitations of this license are set forth in
`37 CFR 5.15(a) unless an earlier license has been issued under 37 CFR 5.15(b). The license is subject to
`revocation upon written notification. The date indicated is the effective date of the license, unless an earlier
`license of similar scope has been granted under 37 CFR 5.13 or 5.14.
`
`This license is to be retained by the licensee and may be used at any time on or after the effective date
`thereof unless it is revoked. This license is automatically transferred to any related applications(s) filed under
`37 CFR 1.53(d). This license is not retroactive.
`
`The grant of a license does not in any way lessen the responsibility of a licensee for the security of the
`subject matter as imposed by any Government contract or the provisions of existing laws relating to
`espionage and the national security or the export of technical data. Licensees should apprise themselves of
`current regulations especially with respect to certain countries, of other agencies, particularly the Office of
`Defense Trade Controls, Department of State (with respect to Arms, Munitions and Implements of War (22
`CFR 121-128)); the Bureau of Industry and Security, Department of Commerce (15 CFR parts 730-774); the
`Office of Foreign AssetsControl, Department of Treasury (31 CFR Parts 500+) and the Department of
`Energy.
`
`NOT GRANTED
`No license under 35 U.S.C. 184 has been granted at this time, if the phrase "IF REQUIRED, FOREIGN
`FILING LICENSE GRANTED" DOES NOT appear on this form. Applicant may still petition for a license
`
`APPLE v. RED.COM
`
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`under 37 CFR 5.12, if a license is desired before the expiration of 6 months from the filing date of the
`application. If 6 months has lapsed from the filing date of this application and the licensee has not received
`any indication of a secrecy order under 35 U.S.C. 181, the licensee may foreign file the application pursuant
`to 37 CFR 5.15(b).
`
`APPLE v. RED.COM
`
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`

`PTO/SB/14 (08-05)
`Approved for use through 07/31/2006. 0MB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid 0MB control number.
`
`Application Data Sheet 37 CFR 1.76 Attorney Docket Number
`Application Number
`
`REDCOM.007PR
`
`Title of Invention
`
`n o / q 1 1 . 1 qn
`I COMPRESSION OF RAW SENSOR DATA USING BAYER PATTERN
`
`The application data sheet is part of the provisional or nonprovisional application for which it is being submitted. The following form contains the
`bibliographic data arranged in a format specified by the United States Patent and Trademark Office as outlined in 37 CFR 1.76.
`This document may be completed electronically and submitted to the Office in electronic format using the Electronic Filing System (EFS) or the
`document may be printed and included in a paper filed application.
`
`Secrecy Order 37 CFR 5.2
`D Portions or all of the application associated with this Application Data Sheet may fall under a Secrecy Order pursuant to
`37 CFR 5.2 (Paper filers only. Applications that fall under Secrecy Order may not be filed electronically.)
`f
`
`
`
`t I J I" A ,pp 1can n orma 10n:
`Aoolicant 1
`Applicant Authority @Inventor j QLegal Representative under 35 U.S.C. 117
`j QParty of Interest under 35 U.S.C. 118
`Prefix Given Name
`Middle Name
`Family Name
`Suffix
`James
`H.
`Jannard
`Residence Information (Select One) @ US Residency 0 Non US Residency 0 Active US Military Service
`I Country of Residence i I us
`State/Province I WA
`Cjty
`Eastsound
`Citizenship under 37 CFR 1.41(b) i
`Mailing Address of Applicant:
`Address 1
`Address 2
`I State/Province
`I
`City
`I Countryi j
`Postal Code
`All Inventors Must Be Listed - Additional Inventor Information blocks may be
`generated within this form by selecting the Add button.
`Correspondence Information:
`Enter either Customer Number or complete the Correspondence Information section below.
`For further information see 37 CFR 1.33(a).
`
`I
`
`I
`
`;A,,dcf;
`
`I
`
`□ An Address is being provided for the correspondence Information of this application.
`I I ttitWF1;ma,nr I
`
`Customer Number
`Email Address
`
`20995
`
`IR. !JJQVc Jfina,OI
`
`Application Information:
`Title of the Invention
`COMPRESSION OF RAW SENSOR DATA USING BAYER PATTERN
`Attorney Docket Number REDCOM.007PR
`Application Type
`Provisional
`Subject Matter
`Utility
`Suggested Class (if any)
`Suggested Technology Center (if any)
`Total Number of Drawing Sheets (if any)
`
`I Sub Class (if any)I
`
`I Suggested Figure for Publication (if any) I
`
`I Small Entity Status Claimed □
`
`EFS Web2.0
`
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`PTO/SB/14 (08-05)
`Approved for use through 07/31/2006. 0MB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid 0MB control number.
`REDCOM.007PR
`Attorney Docket Number
`Application Number
`60/911,196
`COMPRESSION OF RAW SENSOR DATA USING BAYER PATTERN
`
`Application Data Sheet 37 CFR 1. 76
`
`Title of Invention
`
`Publication Information:
`
`□ Request Early Publication (Fee required at time of Request 37 CFR 1.219)
`□ and certify that the invention disclosed in the attached application has not been and will not be the subject of an
`
`Request Not to Publish. I hereby request that the attached application not be published under 35 U.S.C. 122(b)
`
`application filed in another country, or under a multilateral agreement, that requires publication at eighteen months
`after filing.
`
`Representative Information:
`
`Representative information should be provided for all practitioners having a power of attorney in the application. Providing
`this information in the Application Data Sheet does not constitute a power of attorney in the application (see 37 CFR 1.32).
`If both
`complete
`the Representative Name
`section
`below.
`Enter either Customer Number or
`are completed the Customer Number will be used for the Representative Information during processing.
`0 Customer Number
`20995
`
`Please Select One:
`Customer Number
`
`I O US Patent Practitioner lo US Representative (37 CFR 11.9)
`
`sections
`
`Domestic Priority Information:
`This section allows for the applicant to claim benefit under 35 U.S.C. 119(e), 120, 121, or 365(c). Providing this information in the
`application data sheet constitutes the specific reference required by 35 U.S.C. 119(e) or 120, and 37 CFR 1.78(a)(2) or CFR 1.78(a)
`(4 }, and need not otherwise be made part of the specification.
`Prior Application Status
`Application Number
`
`Continuity Type
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`Prior Application Number
`
`I> IBl©'.c>!iit
`Filing Date (YYYY-MM-DD)
`
`Additional Domestic Priority Data may be generated within this form by selecting
`the Add button.
`Foreign Priority Information:
`This section allows for the applicant to claim benefit of foreign priority and to identify any prior foreign application for which priority is
`not claimed. Providing this information in the application data sheet constitutes the claim for priority as required by 35 U.S.C. 119(b)
`and 37 CFR 1.55(a).
`k.R�mov,e ,I
`Priority Claimed
`Parent Filing Date (YYYY-MM-DD)
`0 Yes 0 No
`
`Application Number
`
`Country i
`
`Additional Foreign Priority Data may be generated within this form by selecting the
`Add button.
`Assignee Information:
`Providing this information in the application data sheet does not substitute for compliance with any requirement of part 3 of Title 37
`of the CFR to have an assignment recorded in the Office.
`
`Assianee 1
`
`If the Assignee is an Organization check here. □
`
`EFS Web2.0
`
`APPLE v. RED.COM
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`

`PTO/SB/14 (08-05)
`Approved for use through 07/31/2006. 0MB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid 0MB control number.
`REDCOM.007PR
`Attorney Docket Number
`Application Data Sheet 37 CFR 1.76
`Application Number
`60/911,196
`Title of Invention I COMPRESSION OF RAW SENSOR DATA USING BAYER PATTERN
`
`Prefix
`
`Given Name
`
`Middle Name
`
`Family Name
`
`Suffix
`
`State/Province
`Postal Code
`Fax Number
`
`Mailing Address Information:
`Address 1
`Address 2
`City
`Country ii
`Phone Number
`Email Address
`Additional Assignee Data may be generated within this form by selecting the Add
`button.
`Signature:
`A signature of the applicant or representative is required in accordance with 37 CFR 1.33 and 10.18. Please see 37
`CFR 1.4(d) for the form of the signature.
`Signature
`First Name
`
`Oldham
`
`Date (YYYY-MM-DD) 1007-67-o-i.
`52082
`Registration Number
`
`This collection of information is required by 37 CFR 1.76. The information is required to obtain or retain a benefit by the public which
`is 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 23 minutes to complete, including gathering, preparing, and submitting the completed application data
`sheet form to the US PTO. 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, VA 22313-1450. DO NOT SEND FEES OR
`COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`EFS Web 2.0
`
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`Privacy Act Statement
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`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
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`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
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`result in termination of proceedings or abandonment of the application or expiration of the patent.
`
`The information provided by you in this form will be subject to the following routine uses:
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`1.
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`2.
`
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`The information on this form will be treated confidentially to the extent allowed under the Freedom of Information Act (5 U.S.C. 552)
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`A record from this system of records may be disclosed, as a routine use, to a Federal, State, or local law enforcement agency, if the
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`

`APPLICATION NUMBER
`
`60/911,196
`
`FILINGOR371 (c)DATE
`
`04/11/2007
`
`20995
`KNOBBE MARTENS OLSON & BEAR LLP
`2040 MAIN STREET
`FOURTEENTH FLOOR
`IRVINE, CA 92614
`
`Page 1 of2
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Vuginia 22313-1450
`www.uspto.gov
`
`FIRST NAMED APPLICANT
`
`James H. Jannard
`
`ATTORNEY DOCKET NUMBER
`
`REDCOM.007PR
`
`CONFIRMATION NO. 9407
`FORMALITIES
`LETTER
`
`Date Mailed: 05/03/2007
`
`NOTICE TO FILE MISSING PARTS OF PROVISIONAL APPLICATION
`
`FILED UNDER 37 CFR 1.53(c)
`
`Filing Date Granted
`
`An application number and filing date have been accorded to this provisional application. The items indicated
`below, however, are missing. Applicant is given TWO MONTHS from the date of this Notice within which to file all
`required items and pay any fees required below to avoid abandonment. Extensions of time may be obtained by
`filing a petition accompanied by the extension fee under the provisions of 37 CFR 1.136(a).
`
`• The provisional application cover sheet under 37 CFR 1.51 (c)(1 ), which may be an application data sheet
`(37 CFR 1. 76), is required identifying:
`■ either city and state or city and foreign country of the residence of each inventor.
`
`The applicant needs to satisfy supplemental fees problems indicated below.
`
`The required item(s) identified below must be timely submitted to avoid abandonment:
`
`• To avoid abandonment, a surcharge (for late submission of filing fee or cover sheet) as set forth in 37 CFR
`1.16(g) of $50 for a non-small entity, must be submitted with the missing items identified in this letter.
`
`SUMMARY OF FEES DUE:
`
`Total additional fee(s) required for this application is $50 for a non-small entity
`
`• $50 Surcharge.
`
`Replies should be mailed to: Mail Stop Missing Parts
`Commissioner for Patents
`P.O. Box 1450
`Alexandria VA 22313-1450
`
`APPLE v. RED.COM
`
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`

`Registered users of EFS-Web may alternatively submit their reply to this notice via EFS-Web.
`https://sportal.uspto.gov/authenticate/AuthenticateUserlocalEPF.html
`
`For more information about EFS-Web please call the USPTO Electronic Business Center at 1-866-217-9197 or
`visit our website at http://www.uspto.gov/ebc.
`
`Page 2 of2
`
`I f you are not using EFS-Web to submit your reply,you must include a copy of this notice.
`
`r 1- 0-PTO-9199
`BE RETURNED WITH RESPONSE
`
`APPLE v. RED.COM
`
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`Electronic Patent Application Fee Transmittal
`
`Application Number:
`
`Filing Date:
`
`60911196
`
`11-Apr-2007
`
`Title of Invention:
`
`COMPRESSION OF RAW SENSOR DATA USING BAYER PATTERN
`
`First Named Inventor/Applicant Name:
`
`James H. Jannard
`
`Filer:
`
`Perry D. Oldham/Kimberly Oliver
`
`Attorney Docket Number:
`
`REDCOM.007PR
`
`Filed as Large Entity
`
`Provisional Filing Fees
`
`Description
`
`Fee Code
`
`Quantity
`
`Amount
`
`Sub-Total in
`USO($)
`
`Basic Filing:
`
`Pages:
`
`Claims:
`
`Miscellaneous-Fi Ii ng:
`
`Late provisional filing fee/cover sheet
`
`1052
`
`1
`
`50
`
`50
`
`Petition:
`
`Patent-Appeals-and-Interference:
`
`Post-Al I owance-and-Post-lssu ance:
`
`Extension-of-Time:
`
`APPLE v. RED.COM
`
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`Description
`
`Fee Code
`
`Quantity
`
`Amount
`
`Sub-Total in
`USO($)
`
`Miscellaneous:
`
`Total in USD ($)
`
`50
`
`APPLE v. RED.COM
`
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`

`Electronic Acknowledgement Receipt
`
`EFSID:
`
`Application Number:
`
`1934344
`
`60911196
`
`International Application Number:
`
`Confirmation Number:
`
`9407
`
`Title of Invention:
`
`COMPRESSION OF RAW SENSOR DATA USING BAYER PATTERN
`
`First Named Inventor/Applicant Name:
`
`James H. Jannard
`
`Customer Number:
`
`20995
`
`Filer:
`
`Perry D. Oldham/Glen Martell
`
`Filer Authorized By:
`
`Attorney Docket Number:
`
`Receipt Date:
`
`Filing Date:
`
`Time Stamp:
`
`Application Type:
`Payment information:
`Submitted with Payment
`
`Payment was successfully received in RAM
`RAM confirmation Number
`Deposit Account
`File Listing:
`Document
`Number
`
`Document Description
`
`Perry D. Oldham
`
`REDCOM.007PR
`
`02-JUL-2007
`
`11-APR-2007
`
`20:47:34
`
`Provisional
`
`yes
`
`$50
`3769
`
`File Name
`
`File Size(Bytes)
`
`Pages
`Multi
`Part /.zip (if appl.}
`
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`1
`
`REDCOM_MissingParts_Re
`sponse.pdf
`
`320874
`
`yes
`
`6
`
`Multipart Description/PDF files in .zip description
`
`Document Description
`
`Applicant Response to Pre-Exam Formalities Notice
`
`Applicant Response to Pre-Exam Formalities Notice
`
`Start
`
`1
`
`5
`
`End
`
`4
`
`6
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`Fee Worksheet (PTO-06)
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`8181
`
`no
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`
`Total Files Size (in bytes):
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`This Acknowledgement Receipt evidences receipt on the noted date by the USPTO of the indicated documents,
`characterized by the applicant, and including page counts, where applicable. It serves as evidence of receipt
`similar to a Post Card, as described in MPEP 503.
`
`New Agglications Under 35 U.S.C. 111
`If a new application is being filed and the application includes the necessary components for a filing date (see
`37 CFR 1.53(b)-(d) and MPEP 506), a Filing Receipt (37 CFR 1.54) will be issued in due course and the date
`shown on this Acknowledgement Receipt will establish the filing date of the application.
`
`National Stage of an International Agglication under 35 U.S.C. 371
`If a timely submission to enter the national stage of an international application is compliant with the conditions
`of 35 U.S.C. 371 and other applicable requirements a Form PCT/DO/EO/903 indicating acceptance of the
`application as a national stage submission under 35 U.S.C. 371 will be issued in addition to the Filing Receipt,
`in due course.
`
`New International Agglication Filed with the USPTO as a Receiving Office
`If a new international application is being filed and the international application includes the necessary
`components for an international filing date (see PCT Article 11 and MPEP 1810), a Notification of the
`International Application Number and of the International Filing Date (Form PCT/RO/105) will be issued in due
`course, subject to prescriptions concerning national security, and the date shown on this Acknowledgement
`Receipt will establish the international filing date of the application.
`
`APPLE v. RED.COM
`
`Page 13 of 31
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`

`

`APPLICATION NUMBER
`60/911,196
`
`FILING or 371 (c) GRP ART UNIT
`DATE
`04/11/2007
`
`FIL FEE REC'D
`200
`
`ATTY.DOCKET.NO
`REDCOM.007PR
`
`TOT CLAIMS
`
`IND CLAIMS
`
`UNITED STATES DEPART:vIENT OF COMMERCE
`United States Patent and Trademark Office
`Addm" COMMISSIC!I\ER FOIZ PA'l'l':N'l'S
`PO Rox 1410
`Alexandria, Virginia 22313-1450
`wv1w.uspto.gov
`
`20995
`KNOBBE MARTENS OLSON & BEAR LLP
`2040 MAIN STREET
`FOURTEENTH FLOOR
`IRVINE, CA92614
`
`CONFIRMATION NO. 9407
`
`FILING RECEIPT
`
`Date Mailed: 05/03/2007
`
`Receipt is acknowledged of this provisional Patent Application. It will not be examined for patentability and
`will become abandoned not later than twelve months after its filing date. Be sure to provide the U.S.
`APPLICATION NUMBER, FILING DATE, NAME OF APPLICANT, and TITLE OF INVENTION when inquiring
`about this application. Fees transmitted by check or draft are subject to collection. Please verify the accuracy
`of the data presented on this receipt. If an error is noted on this Filing Receipt, please mail to the
`Commissioner for Patents P.O. Box 1450 Alexandria Va 22313-1450. Please provide a copy of this
`Filing Receipt with the changes noted thereon. If you received a "Notice to File Missing Parts" for this
`application, please submit any corrections to this Filing Receipt with your reply to the Notice. When
`the USPTO processes the reply to the Notice, the USPTO will generate another Filing Receipt
`incorporating the requested corrections (if appropriate).
`Applicant( s)
`
`James H. Jannard, Residence Not Provided;
`
`Power of Attorney: The patent practitioners associated with Customer Number 20995
`
`If Required, Foreign Filing License Granted: 05/02/2007
`The country code and number of your priority application, to be used for filing abroad under the Paris Convention, is
`US60/911, 196
`
`Projected Publication Date: None, application is not eligible for pre-grant publication
`Non-Publication Request: No
`Early Publication Request: No
`
`Title
`
`COMPRESSION OF RAW SENSOR DATA USING BAYER PATTERN
`PROTECTING YOUR INVENTION OUTSIDE THE UNITED STATES
`Since the rights granted by a U.S. patent extend only throughout the territory of the United States and have
`no effect in a foreign country, an inventor who wishes patent protection in another country must apply for a
`patent in a specific country or in regional patent offices. Applicants may wish to consider the filing of an
`international application under the Patent Cooperation Treaty (PCT). An international (PCT) application
`generally has the same effect as a regular national patent application in each PCT-member country. The
`PCT process simplifies the filing of patent applications on the same invention in member countries, but
`does not result in a grant of "an international patent" and does not eliminate the need of applicants to file
`
`APPLE v. RED.COM
`
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`additional documents and fees in countries where patent protection is desired.
`
`Almost every country has its own patent law, and a person desiring a patent in a particular country must
`make an application for patent in that country in accordance with its particular laws. Since the laws of many
`countries differ in various respects from the patent law of the United States, applicants are advised to seek
`guidance from specific foreign countries to ensure that patent rights are not lost prematurely.
`
`Applicants also are advised that in the case of inventions made in the United States, the Director of the
`USPTO must issue a license before applicants can apply for a patent in a foreign country. The filing of a U.S.
`patent application serves as a request for a foreign filing license. The application's filing receipt contains
`further information and guidance as to the status of applicant's license for foreign filing.
`
`Applicants may wish to consult the USPTO booklet, "General Information Concerning Patents" (specifically,
`the section entitled "Treaties and Foreign Patents") for more information on timeframes and deadlines for
`filing foreign patent applications. The guide is available either by contacting the USPTO Contact Center at
`800-786-9199, or it can be viewed on the USPTO website at
`http://www.uspto.gov/web/offices/pac/doc/general/index.html.
`
`For information on preventing theft of your intellectual property (patents, trademarks and copyrights), you
`may wish to consult the U.S. Government website, http://www.stopfakes.gov. Part of a Department of
`Commerce initiative, this website includes self-help "toolkits" giving innovators guidance on how to protect
`intellectual property in specific countries such as China, Korea and Mexico. For questions regarding patent
`enforcement issues, applicants may call the U.S. Government hotline at 1-866-999-HAL T (1-866-999-4158).
`
`LICENSE FOR FOREIGN FILING UNDER
`Title 35, United States Code, Section 184
`Title 37, Code of Federal Regulations, 5.11 & 5.15
`
`GRANTED
`The applicant has been granted a license under 35 U.S.C. 184, if the phrase "IF REQUIRED, FOREIGN
`FILING LICENSE GRANTED" followed by a date appears on this form. Such licenses are issued in all
`applications where the conditions for issuance of a license have been met, regardless of whether or not a
`license may be required as set forth in 37 CFR 5.15. The scope and limitations of this license are set forth in
`37 CFR 5.15(a) unless an earlier license has been issued under 37 CFR 5.15(b). The license is subject to
`revocation upon written notification. The date indicated is the effective date of the license, unless an earlier
`license of similar scope has been granted under 37 CFR 5.13 or 5.14.
`
`This license is to be retained by the licensee and may be used at any time on or after the effective date
`thereof unless it is revoked. This license is automatically transferred to any related applications(s) filed under
`37 CFR 1.53(d). This license is not retroactive.
`
`The grant of a license does not in any way lessen the responsibility of a licensee for the security of the
`subject matter as imposed by any Government contract or the provisions of existing laws relating to
`espionage and the national security or the export of technical data. Licensees should apprise themselves of
`current regulations especially with respect to certain countries, of other agencies, particularly the Office of
`Defense Trade Controls, Department of State (with respect to Arms, Munitions and Implements of War (22
`CFR 121-128)); the Bureau of Industry and Security, Department of Commerce (15 CFR parts 730-774); the
`Office of Foreign AssetsControl, Department of Treasury (31 CFR Parts 500+) and the Department of
`Energy.
`
`NOT GRANTED
`No license under 35 U.S.C. 184 has been granted at this time, if the phrase "IF REQUIRED, FOREIGN
`FILING LICENSE GRANTED" DOES NOT appear on this form. Applicant may still petition for a license
`
`APPLE v. RED.COM
`
`Page 15 of 31
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`under 37 CFR 5.12, if a license is desired before the expiration of 6 months from the filing date of the
`application. If 6 months has lapsed from the filing date of this application and