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
`
`APPLICATION NO.
`
`15/055,081
`
`ISSUE DATE
`
`04/04/2017
`
`PATENT NO.
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`9613186
`
`11541-0023-04000
`
`4094
`
`7590
`108449
`Bookoff McAndrews, PLLC
`2401 Pennsylvania Avenue, NW, Suite 450
`Washington, DC 20037
`
`03/15/2017
`
`The projected patent number and issue date are specified above.
`
`ISSUE NOTIFICATION
`
`Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)
`(application filed on or after May 29, 2000)
`
`The Patent Term Adjustment is 0 day(s). Any patent to issue from the above-identified application will include
`an indication of the adjustment on the front page.
`
`If a Continued Prosecution Application (CPA) was filed in the above-identified application, the filing date that
`determines Patent Term Adjustment is the filing date of the most recent CPA.
`
`Applicant will be able to obtain more detailed information by accessing the Patent Application Information
`Retrieval (PAIR) WEB site (http://pair.uspto.gov).
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`Any questions regarding the Patent Term Extension or Adjustment determination should be directed to the
`Office of Patent Legal Administration at (571)-272-7702. Questions relating to issue and publication fee
`payments should be directed to the Application Assistance Unit (AAU) of the Office of Data Management
`(ODM) at (571)-272-4200.
`
`APPLICANT(s) (Please see PAIR WEB site http://pair.uspto.gov for additional applicants):
`
`Timothy A. FONTE, San Francisco, CA;
`HeartFlow, Inc., Redwood City, CA;
`
`The United States represents the largest, most dynamic marketplace in the world and is an unparalleled location
`for business investment, innovation, and commercialization of new technologies. The USA offers tremendous
`resources and advantages for those who invest and manufacture goods here. Through SelectUSA, our nation
`works to encourage and facilitate business investment. To learn more about why the USA is the best country in
`the world to develop technology, manufacture products, and grow your business, visit SelectUSA.gov.
`
`IR103 (Rev. 10/09)
`
`CATHWORKS EXHIBIT 1004
`Page 1 of 353
`
`

`

`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
`(571)-273-2885
`
`or Fax
`
`INSTRUCTIONS: This form should be used for transmitting the ISSUE FEE and PUBLICATION FEE (if required). Blocks l through 5 should be completed where
`appropnate. J'\Jl furt..~er correspondence including the Patent, advance orders and notification of maintenance fees \viH be 111a:ded 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
`rnaintenance fee notifications.
`
`Cl-'"RRENT CORRESPONDENCE ADDRESS (Note: lhe Block 1 fm any chJnge of Jddress)
`
`108449
`7590
`Bookoff McAndrews. PLLC
`2401 Pennsylvania Avenue, NW, Suite 450
`Washing!on, DC 20037
`
`ll/22/20 l6
`
`Note: l\ certificate of mailing can only be used for domestic rnailings of the
`Fee( s) TransmittaL ThiS certificate cannot be used for any other accompanying
`papers. Each additional p~lper;such as an assi1;nmenl or formal drawing, must
`have 1ts own cert1f1cate ot maJung or t.ransn11ssJon.
`
`CertHicate of Mailing nr Transmission
`I hereby certify tJwx this Pee(s) Transrnittal is being deposited wjth the United
`Stale'; Postal Service wit.~ sufficient postage for first class mail in an envelope
`addressed to the Mail Stop ISS1JE FEE address above, or being facsimile
`transmitted to t.~e USPTO (571) 273-2885, on the date indicated below.
`
`APPLICATION NO.
`
`FILING DATE
`
`FL.'<.ST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`15/055,081
`
`02/26/2016
`
`Timothy A FONTE
`
`ll54J -0023-04000
`
`4094
`
`TITLE OF INVENTION: SYSTEMS A1'lD ;vmTHODS FOR DETERMINING BLOOD FLOW CHAR,;\CTERISTICS USING FLOW Ri\TIO
`
`A.PPLN, TiTf'E
`
`ENTITY STATTJS
`
`!SSTJE FEE DTJE
`
`PUBLICATION FEE DUE PREY. PAID ISSUE FFE
`
`TOTAL FEE(S) D1JE
`
`DATEDLJE
`
`non provisional
`
`SMALL
`
`$480
`
`$0
`
`$0
`
`$480
`
`02i22J2017
`
`EXAMIL'lER
`
`CLOW.LORIA
`
`ARTTJNJT
`
`CI.ASS-S!JBCLASS
`
`1631
`
`702-019000
`
`1, Change of correspondence address or indication of "Fee Addressn (37
`CFR LJ63).
`0 Change of _c?rrespondence address (or Change of Correspondence
`Address torn; PTO/SB/122) attached.
`~"Fee Addres';'' indication (or "Fee Address'' Indication form
`PTOiSB/47; Rev 03-02 or more recent) attached. Ust' of a Customer
`Number is required.
`
`2. For printing on the patent front page, list
`(j) The names of up to 3 regjstered patent attorneys
`or agents OR, alternatively,
`(2) The narne of a sjngle finn (havjng as a rnernber a
`registered attorney or agent) and the names of up to
`2 registered patent attorneys or agents. If no narne is
`listed, no name will be printed.
`
`1 Bookof f McAEdY.'ews, PLLC
`
`3_
`
`3. ASSIGNEE Nl11'v1E ,'\1'-JD RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
`PLE_ASE NOTE: 1Jnless an assignee is identified beknv, no assignee data will appear on the patent. lf an assignee is identjfied below, the docnrrK:nt has been filed for
`recordation as set forth in 37 CFR 3.11. Completion of this form is NOT a substitute for filing an assignment
`(B) RESIDENCE: (CITY and STATE OR COUNTRY)
`(A) NlllV1E OF ASSIGNEE
`Redwood Cit..y, CA
`
`Heart...Flo'N ..
`
`Inc.
`
`Please check the appropriate assignee catego;_y or categories (wi1J not be printed on the patent) :
`
`[) Indjvidual !!J Corporation or other private group entity 0 G-overm:nent
`
`4a. The fol1owjng fee(s) are subrnitted:
`18 Issue Fee
`[]Publication Fee (No small entity discount perrnitted)
`[) A_dvance Order- # of Copies __
`
`4b. Payment ofFee(s): (Pl.,as~: ii:rst n'apply any pt·eviously paid issue f~:e shown above)
`0 A check is enclosed.
`[l Payment by credit carcL I'Oi'ftl<!''l'~2'fJ3fl"i?'ilifiH'iiXY: via EFS web
`i!IThe director is hereby authorized to charge tlre~re'iPfee"(§), any deficiency. or credits any
`overpayment, to DepoSit Account Number ---~~-0_:-52_0_1', ______ ~ (enclose an extra copy of this form).
`
`5. Chang~: in Entity Status (from status indicated above)
`0 Applicant certifying micro entity status. See 37 CFR L29
`0 Applicant asserting small entity status. See 37 CFR l .27
`
`[) A_p_plicant changing to regular undiscounted fee status.
`
`NOTE: Absent a valid certification of Micro Entity Status (see forms PTO/SB/15A and l5B), issue
`fee payrnent in the rrJicro entity arnoun_t will not be accepted at the risk of appHcatjon abandonment.
`!:SDJJ;;.~ If the application was previously under micro entity status, checking this box will be taken
`to be a notification of loss of entitlement to rnicro entity status.
`_NOTE: Checking this box wiH be taken to be a notification of loss of entit1ernent to srnaH or rnicro
`entity status, as applicable.
`
`NOTE: This form must be signed in accordance with 37 CFR L3l and l 33. See 37 CFR L4 for signature reg_uiremems and certifications.
`
`Authorized Signature ____ Ll.J_;_i_,i:lD __ Hl.t_eJ)_gj __ _
`
`Typed or printed narne _____ !:~~=-~-~-:t-~---~~~L~~:_9_ __
`
`Registration No,_ 6 5, 612
`
`Page 2 of3
`
`PTOL-85 Part B (10-13) Approved for use tl:n·ough 10/31/2013.
`
`OMB 0651-0033
`
`US Palen! and Trademark Office; U.S. DEPARTMENT OF COMJI.,lliRCE
`
`CATHWORKS EXHIBIT 1004
`Page 2 of 353
`
`

`

`PATENT
`Customer No. 1 08,449
`Attorney Docket No. 11541-0023-04000
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`In reApplication of:
`
`Timothy A FONTE
`
`Application No.: 15/055,081
`
`Filed: February 26, 2016
`
`For: SYSTEMS AND METHODS FOR
`DETERMINING BLOOD FLOW
`CHARACTERISTICS USING FLOW RATIO
`
`MAIL STOP M CORRESPONDENCE
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`Commissioner:
`
`Art Unit: 1631
`
`Examiner: Lori A Claw
`
`Confirmation No.: 4094
`
`VIA EFS-WEB
`
`FEE ADDRESS FOR MAINTENANCE FEE PURPOSES
`IN ACCORDANCE WITH 37 C.F.R. 1.363
`
`In accordance with the provisions of 37 C.F.R. 1.363, the fee address set forth
`
`below is being supplied for purposes of receiving notices, receipts, and other
`
`correspondence relating to the payment of maintenance fees:
`
`Dennemeyer & Company, LLC
`120 S. LaSalle Street
`Suite 1405
`Chicago, IL 60603
`Customer No.: 25188
`
`Respectfully submitted,
`
`BOOKOFF McANDREWS, PLLC
`Customer Number: 108,449
`
`Dated: February 17, 2017
`
`By:
`
`/Lian Huang/
`Lian Huang
`Reg. No. 65,612
`(202) 803-8075
`
`CATHWORKS EXHIBIT 1004
`Page 3 of 353
`
`

`

`PATENT
`Customer No. 1 08,449
`Attorney Docket No. 11541-0023-04000
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`In re Application of:
`
`Timothy A FONTE
`
`Group Art Unit: 1631
`
`Application No.: 15/055,081
`
`Examiner: Lori A Claw
`
`Filed: February 26, 2016
`
`Confirmation No.: 4094
`
`For: SYSTEMS AND METHODS FOR
`DTERMINING BLOOD FLOW
`CHARACTERISTICS USING FLOW
`RATIO
`
`VIA EFS WEB
`
`MAIL STOP ISSUE FEE
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`Commissioner:
`
`COMMENTS ON STATEMENT OF REASONS FOR ALLOWANCE
`
`Applicant thanks the Examiner for the Notice of Allowance and statement of
`
`Reasons for Allowance mailed on November 22, 2016, indicating that claims 1-10, 12-
`
`18, and 20-22 are allowed. Without withdrawing any of the allowed claims from issue,
`
`Applicant submits these comments.
`
`The Examiner made characterizations and assertions about the claims and the
`
`related prior art in the statement of Reasons for Allowance. Although Applicant agrees
`
`with the Examiner's ultimate conclusions that the claims are patentable because the
`
`prior art does not teach or suggest the features set forth in the claims, Applicant does
`
`not necessarily agree with each or every characterization and assertion contained in the
`
`Examiner's statement.
`
`CATHWORKS EXHIBIT 1004
`Page 4 of 353
`
`

`

`Application No. 15/055,081
`Attorney Docket No.: 11541-0023-04000
`
`Furthermore, it is understood that the Examiner's characterizations were for
`
`purposes of referring to the prior art, and do not in any way imply that the claims are
`
`limited by words not actually present in the claims. Therefore, unless expressly noted
`
`otherwise, Applicant declines to subscribe to any statement or characterization
`
`contained in the Notice of Allowance and its accompanying Reasons for Allowance.
`
`Should the Examiner disagree with the Applicant's comments on the Reasons for
`
`Allowance, the Examiner is invited to contact the undersigned at (202) 803-8075, in
`
`order to resolve such disagreement.
`
`Please charge any additional required fees, charge any underpayments, or credit
`
`any overpayment, to Deposit Account No. 50-5906.
`
`Respectfully submitted,
`
`BOOKOFF McANDREWS, PLLC
`
`Dated: February 17, 2017
`
`By:
`
`!Lian Huang!
`Lian Huang
`Reg. No. 65,612
`(202) 803-8075
`
`2
`
`CATHWORKS EXHIBIT 1004
`Page 5 of 353
`
`

`

`Electronic Patent Application Fee Transmittal
`
`Application Number:
`
`Filing Date:
`
`15055081
`
`26-Feb-2016
`
`Title of Invention:
`
`SYSTEMS AND METHODS FOR DETERMINING BLOOD FLOW
`CHARACTERISTICS USING FLOW RATIO
`
`First Named Inventor/Applicant Name:
`
`Timothy A. FONTE
`
`Filer:
`
`Lian Huang/Drew Lawson
`
`Attorney Docket Number:
`
`11541-0023-04000
`
`Filed as Small Entity
`
`Filing Fees for Utility under 35 USC 111 (a)
`
`Description
`
`Fee Code
`
`Quantity
`
`Amount
`
`Sub-Total in
`USD($)
`
`Basic Filing:
`
`Pages:
`
`Claims:
`
`Miscellaneous-Filing:
`
`Petition:
`
`Patent-Appeals-and-Interference:
`
`Post-Allowance-and-Post-Issuance:
`
`UTILITY APPL ISSUE FEE
`
`2501
`
`1
`
`480
`
`480
`
`CATHWORKS EXHIBIT 1004
`Page 6 of 353
`
`

`

`Description
`
`Fee Code
`
`Quantity
`
`Amount
`
`Sub-Total in
`USD($)
`
`Extension-of-Time:
`
`Miscellaneous:
`
`Total in USD ($)
`
`480
`
`CATHWORKS EXHIBIT 1004
`Page 7 of 353
`
`

`

`Electronic Acknowledgement Receipt
`
`EFSID:
`
`Application Number:
`
`28393440
`
`15055081
`
`International Application Number:
`
`Confirmation Number:
`
`4094
`
`Title of Invention:
`
`SYSTEMS AND METHODS FOR DETERMINING BLOOD FLOW
`CHARACTERISTICS USING FLOW RATIO
`
`First Named Inventor/Applicant Name:
`
`Timothy A. FONTE
`
`Customer Number:
`
`108449
`
`Filer:
`
`Lian Huang/Drew Lawson
`
`Filer Authorized By:
`
`Lian Huang
`
`Attorney Docket Number:
`
`11541-0023-04000
`
`Receipt Date:
`
`Filing Date:
`
`TimeStamp:
`
`17-FEB-2017
`
`26-FEB-2016
`
`15:08:26
`
`Application Type:
`
`Utility under 35 USC 111 (a)
`
`Payment information:
`
`Submitted with Payment
`
`Payment Type
`
`Payment was successfully received in RAM
`
`yes
`
`CARD
`
`$480
`
`RAM confirmation Number
`
`0221171NTEFSW150911 00
`
`Deposit Account
`
`Authorized User
`
`505906
`
`Drew Lawson
`
`The Director of the USPTO is hereby authorized to charge indicated fees and credit any overpayment as follows:
`
`37 CFR 1.16 (National application filing, search, and examination fees)
`
`37 CFR 1.17 (Patent application and reexamination processing fees)
`
`CATHWORKS EXHIBIT 1004
`Page 8 of 353
`
`

`

`37 CFR 1.19 (Document supply fees)
`
`37 CFR 1.20 (Post Issuance fees)
`
`37 CFR 1.21 (Miscellaneous fees and charges)
`
`File Listing:
`
`Document
`Number
`
`Document Description
`
`File Name
`
`File Size( Bytes}/
`Message Digest
`
`Multi
`Part /.zip
`
`Pages
`(ifappl.)
`
`1593827
`
`1
`
`Issue Fee Payment (PT0-85B)
`
`lssue_Fee.pdf
`
`no
`
`1
`
`Warnings:
`
`Information:
`
`a43faed6a571 aab7637e2e5cf6fd6c17d84 7
`4a6f
`
`64464
`
`2
`
`Maintenance Fee Address Change
`
`Fee_Address.pdf
`
`no
`
`1
`
`Warnings:
`
`Information:
`
`7580031 d 1 d4b443b63f8976e1 e93b45841
`bb211e
`
`69026
`
`3
`
`Transmittal Letter
`
`Comments. pdf
`
`no
`
`2
`
`Warnings:
`
`Information:
`
`1 db7b9b8b60bfed70b333bbbd035126fe7
`7813c4
`
`30726
`
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`
`Fee Worksheet (SB06)
`
`fee-info. pdf
`
`no
`
`2
`
`c286c14a2 98c 19 bc25 1 d4e5 81 be6903a6f5
`9ff4b
`
`Warnings:
`
`Information:
`
`Total Files Size (in bytes)
`
`1758043
`
`CATHWORKS EXHIBIT 1004
`Page 9 of 353
`
`

`

`This Acknowledgement Receipt evidences receipt on the noted date by the USPTO of the indicated documents,
`characterized by the applicant, and including page counts, where applicable. It serves as evidence of receipt similar to a
`Post Card, as described in MPEP 503.
`
`New Applications Under 35 U.S.C. 111
`If a new application is being filed and the application includes the necessary components for a filing date (see 37 CFR
`1.53(b)-(d) and MPEP 506), a Filing Receipt (37 CFR 1.54) will be issued in due course and the date shown on this
`Acknowledgement Receipt will establish the filing date of the application.
`
`National Stage of an International Application under 35 U.S.C. 371
`If a timely submission to enter the national stage of an international application is compliant with the conditions of 35
`U.S.C. 371 and other applicable requirements a Form PCT/DO/E0/903 indicating acceptance of the application as a
`national stage submission under 35 U.S.C. 371 will be issued in addition to the Filing Receipt, in due course.
`
`New International Application Filed with the USPTO as a Receiving Office
`If a new international application is being filed and the international application includes the necessary components for
`an international filing date (see PCT Article 11 and MPEP 181 0), a Notification of the International Application Number
`and of the International Filing Date (Form PCT/R0/1 OS) 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.
`
`CATHWORKS EXHIBIT 1004
`Page 10 of 353
`
`

`

`UNI1ED STATES PATENT AND TRADEMARK OFFICE
`
`BIB DATA SHEET
`
`Page 1 of 1
`
`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
`
`CONFIRMATION NO. 4094
`
`SERIAL NUMBER
`
`15/055,081
`
`FILING or 371 (c)
`DATE
`02/26/2016
`RULE
`
`CLASS
`
`702
`
`GROUP ART UNIT ATTORNEY DOCKET
`NO.
`1631
`11541-0023-04000
`
`APPLICANTS
`HeartFiow, Inc., Redwood City, CA;
`INVENTORS
`Timothy A. FONTE, San Francisco, CA;
`** CONTINUING DATA *************************
`This application is a CON of 14/803,722 07/20/2015 PAT 9339200
`which is a CON of 14/323,634 07/03/2014 PAT 9087147
`which claims benefit of 61/973,091 03/31/2014
`** FOREIGN APPLICATIONS *************************
`** IF REQUIRED, FOREIGN FILING LICENSE GRANTED ** ** SMALL ENTITY **
`03/14/2016
`
`DYes ~No
`Foreign Priority claimed
`35 USC t t 9(a-d) conditions met 0 Yes 0 No
`Verified and
`/LORI A GLOW/
`Acknowledged
`Examiner's Signature
`
`0 Metafter
`Allowance
`
`Initials
`
`STATE OR
`COUNTRY
`
`SHEETS
`DRAWINGS
`
`TOTAL
`CLAIMS
`
`INDEPENDENT
`CLAIMS
`
`CA
`
`35
`
`20
`
`3
`
`ADDRESS
`Bookoff McAndrews, PLLC
`2401 Pennsylvania Avenue, NW, Suite 450
`Washington, DC 20037
`UNITED STATES
`TITLE
`SYSTEMS AND METHODS FOR DETERMINING BLOOD FLOW CHARACTERISTICS USING FLOW
`RATIO
`
`FEES: Authority has been given in Paper
`FILING FEE
`to charge/credit DEPOSIT ACCOUNT
`RECEIVED No.
`No.
`for following:
`1130
`
`0 All Fees
`0 1.16 Fees (Filing)
`0 1.17 Fees (Processing Ext. of time)
`0 1.18 Fees (Issue)
`0 Other
`0 Credit
`
`BIB (Rev. 05/07).
`
`CATHWORKS EXHIBIT 1004
`Page 11 of 353
`
`

`

`Search Notes
`
`Application/Control No.
`
`15055081
`
`Examiner
`
`LORI AGLOW
`
`Applicant(s)/Patent Under
`Reexamination
`
`FONTE, TIMOTHY A.
`
`Art Unit
`
`1631
`
`CPC-SEARCHED
`
`Symbol
`
`Date
`
`Examiner
`
`CPC COMBINATION SETS -SEARCHED
`
`Symbol
`
`Date
`
`I
`I
`
`I Examiner
`I
`
`US CLASSIFICATION SEARCHED
`
`Class
`
`I
`I
`
`Subclass
`
`Date
`
`I
`I
`
`I Examiner
`I
`
`SEARCH NOTES
`
`Search Notes
`searched inventor FONTE in WEST and PALM-updated
`reviewed all Heartflow (assn) cases pending and issued
`reviewed related cases 14/803,722
`(issued) ;14/323,634(issued) ;14/323,646 (pending)-updated
`WEST-see attached
`citeseer.com-same as WEST strategy-updated
`scholar.google-same as WEST strateegy-updated
`reviewed personal desktop folder of cardiac imaging art
`
`Date
`11/14/16
`7/19/16
`11/14/16
`
`11/14/16
`11/14/16
`11/14/16
`7/19/16
`
`Examiner
`LAC
`LAC
`LAC
`
`LAC
`LAC
`LAC
`LAC
`
`INTERFERENCE SEARCH
`
`US Class/
`CPC Symbol
`
`US Subclass I CPC Group
`
`Date
`
`Examiner
`
`Interference search in WEST
`
`11/14/16
`
`LAC
`
`U.S. Patent and Trademark Office
`
`Part of Paper No. : 20161114
`
`CATHWORKS EXHIBIT 1004
`Page 12 of 353
`
`

`

`Application/Control No.
`Issue Classification 15055081
`
`Examiner
`
`LORI A CLOW
`
`CPC
`
`Symbol
`
`G06F
`
`G06F
`
`G06F
`
`A61B
`
`A61B
`
`A61B
`
`A61B
`
`A61B
`
`A61B
`
`A61B
`
`A61B
`
`A61B
`
`A61B
`
`G06T
`
`G06T
`
`::::::::::: 19
`::::::::::: 17
`::::::::::: 17
`::::::::::: 5
`::::::::::: 5
`::::::::::: 5
`::::::::::: 5
`::::::::::: 5
`::::::::::: 5
`::::::::::: 5
`::::::::::: 5
`::::::::::: 5
`::::::::::: 5
`::::::::::: 19
`::::::::::: 2210
`
`CPC Combination Sets
`
`Symbol
`
`::::::::::::
`
`::::::::::::
`
`3437
`
`5009
`
`10
`
`0037
`
`0044
`
`02007
`
`02028
`
`021
`
`026
`
`7278
`
`029
`
`1073
`
`7275
`
`00
`
`41
`
`I ~
`I ~
`I ~
`I ~
`I ~
`I ~
`I ~
`I ~
`I ~
`I ~
`I ~
`I ~
`I ~
`I ~
`I ~
`
`:::::~::::•
`:::::~::::•
`
`Applicant(s)/Patent Under Reexamination
`
`FONTE, TIMOTHY A.
`
`Art Unit
`
`1631
`
`Type
`
`Version
`
`F
`
`I
`
`I
`
`A
`
`A
`
`I
`
`A
`
`A
`
`A
`
`I
`
`I
`
`I
`
`I
`
`I
`
`A
`
`2013-01-01
`
`2013-01-01
`
`2013-01-01
`
`2013-01-01
`
`2013-01-01
`
`2013-01-01
`
`2013-01-01
`
`2013-01-01
`
`2013-01-01
`
`2013-01-01
`
`2013-01-01
`
`2013-01-01
`
`2013-01-01
`
`2013-01-01
`
`2013-01-01
`
`Type
`
`Set
`
`...
`n"'"""'!:l
`
`Version
`
`NONE
`
`(Assistant Examiner)
`/LORI A GLOW/
`Primary Examiner.Art Unit 1631
`
`(Primary Examiner)
`
`U.S. Patent and Trademark Office
`
`Total Claims Allowed:
`
`20
`
`(Date)
`
`12/06/16
`
`O.G. Print Claim(s)
`
`O.G. Print Figure
`
`(Date)
`
`1
`
`none
`
`Part of Paper No. 20161206
`
`CATHWORKS EXHIBIT 1004
`Page 13 of 353
`
`

`

`Application/Control No.
`Issue Classification 15055081
`
`Examiner
`
`LORI A CLOW
`
`Applicant(s)/Patent Under Reexamination
`
`FONTE, TIMOTHY A.
`
`Art Unit
`
`1631
`
`US ORIGINAL CLASSIFICATION
`
`INTERNATIONAL CLASSIFICATION
`
`CLASS
`
`SUBCLASS
`
`CLAIMED
`
`NON-CLAIMED
`
`CROSS REFERENCE(S)
`
`CLASS
`
`SUBCLASS {ONE SUBCLASS PER BLOCK)
`
`G
`
`G
`
`A
`
`A
`
`A
`
`0
`
`0
`
`6
`
`6
`
`6
`
`6
`
`6
`
`1
`
`1
`
`1
`
`F
`
`F
`
`B
`
`B
`
`B
`
`19100 (2011.01.01)
`
`19110 (2011.01.01)
`
`5 I 103 (2006.01.01)
`
`5 I 026 (2006.01.01)
`
`5 I 02 (2006.01.01)
`
`NONE
`
`(Assistant Examiner)
`/LORI A CLOW/
`Primary Examiner.Art Unit 1631
`
`(Primary Examiner)
`
`U.S. Patent and Trademark Office
`
`Total Claims Allowed:
`
`20
`
`(Date)
`
`12/06/16
`
`O.G. Print Claim(s)
`
`O.G. Print Figure
`
`(Date)
`
`1
`
`none
`
`Part of Paper No. 20161206
`
`CATHWORKS EXHIBIT 1004
`Page 14 of 353
`
`

`

`Application/Control No.
`Issue Classification 15055081
`
`Examiner
`
`LORI A CLOW
`
`Applicant(s)/Patent Under Reexamination
`
`FONTE, TIMOTHY A.
`
`Art Unit
`
`1631
`
`D
`
`Claims renumbered in the same order as presented by applicant
`
`D
`
`CPA
`
`IZI
`
`T.D.
`
`D
`
`R.1.47
`
`Final
`
`Original
`
`Final
`
`Original
`
`Final
`
`Original
`
`Final
`
`Original
`
`Final
`
`Original
`
`Final
`
`Original
`
`Final
`
`Original
`
`Final
`
`Original
`
`16
`
`17
`
`18
`
`19
`
`20
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`25
`
`26
`
`27
`
`28
`
`29
`
`30
`
`1
`
`2
`
`3
`
`5
`
`4
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`NONE
`
`(Assistant Examiner)
`/LORI A CLOW/
`Primary Examiner.Art Unit 1631
`
`(Primary Examiner)
`
`U.S. Patent and Trademark Office
`
`Total Claims Allowed:
`
`20
`
`(Date)
`
`12/06/16
`
`O.G. Print Claim(s)
`
`O.G. Print Figure
`
`(Date)
`
`1
`
`none
`
`Part of Paper No. 20161206
`
`CATHWORKS EXHIBIT 1004
`Page 15 of 353
`
`

`

`WEST Search History for Application 15055081
`
`Creation Date: 2016111413:21
`
`Interference Searches
`
`Query
`
`DB
`
`Hits Op. Plur. Thes.
`
`Date
`
`anatomic model.clm.
`
`(anatomic model.clm.) and blood flow rate.clm.
`
`(anatomic model.clm.) and lumen.clm.
`
`(anatomic model.clm. and lumen.clm.) and
`blood flow .elm.
`
`(anatomic model.clm. and lumen.clm. and blood
`flow.clm.) and diameter.clm.
`
`PGPB,
`USPT
`
`PGPB,
`USPT
`
`PGPB,
`USPT
`
`PGPB,
`USPT
`
`PGPB,
`USPT
`
`116 ADJ YES
`
`11-14-2016
`
`0 ADJ YES
`
`11-14-2016
`
`15 ADJ YES
`
`11-14-2016
`
`7 ADJ YES
`
`11-14-2016
`
`3 ADJ YES
`
`11-14-2016
`
`Query
`
`9339200.pn.
`
`9087147.pn.
`
`fonte.in.
`
`(fonte.in. ) and blood adj flow adj rate
`
`(fonte.in. and blood adj flow adj rate )
`and fractional adj flow
`
`Prior Art Searches
`
`DB
`
`Hits Op. Plur. Thes.
`
`Date
`
`3 ADJ YES
`
`07-19-2016
`
`2 ADJ YES
`
`07-19-2016
`
`1461 ADJ YES
`
`07-19-2016
`
`45 ADJ YES
`
`07-19-2016
`
`45 ADJ YES
`
`07-19-2016
`
`PGPB, USPT,
`USOC,EPAB,
`JPAB, DWPI,
`TDBD, FPRS
`
`PGPB, USPT,
`USOC,EPAB,
`JPAB, DWPI,
`TDBD, FPRS
`
`PGPB, USPT,
`USOC,EPAB,
`JPAB, DWPI,
`TDBD, FPRS
`
`PGPB, USPT,
`USOC,EPAB,
`JPAB, DWPI,
`TDBD, FPRS
`
`PGPB, USPT,
`USOC,EPAB,
`JPAB, DWPI,
`TDBD, FPRS
`
`WEST Search History for Application 15055081
`
`1
`
`CATHWORKS EXHIBIT 1004
`Page 16 of 353
`
`

`

`(fonte.in. and blood adj flow adj rate and
`fractional adj flow ) and ratio
`
`(fonte.in. and blood adj flow adj rate and
`fractional adj flow and ratio ) and
`physics same model
`
`fractional adj flow adj reserve same ratio
`same rate
`
`(fractional adj flow adj reserve same
`ratio same rate ) same flow
`
`PGPB, USPT,
`USOC,EPAB,
`JPAB, DWPI,
`TDBD, FPRS
`
`PGPB, USPT,
`USOC,EPAB,
`JPAB, DWPI,
`TDBD, FPRS
`
`PGPB, USPT,
`USOC,EPAB,
`JPAB, DWPI,
`TDBD, FPRS
`
`PGPB, USPT,
`USOC,EPAB,
`JPAB, DWPI,
`TDBD, FPRS
`
`44 ADJ YES
`
`07-19-2016
`
`32 ADJ YES
`
`07-19-2016
`
`62 ADJ YES
`
`07-19-2016
`
`62 ADJ YES
`
`07-19-2016
`
`(fractional adj flow adj reserve same
`PGPB, USPT,
`ratio same rate same flow ) and blood adj USOC,EPAB,
`flow
`JPAB, DWPI,
`TDBD, FPRS
`
`62 ADJ YES
`
`07-19-2016
`
`(fractional adj flow adj reserve same
`ratio same rate same flow and blood adj
`flow ) and (region or point or location)
`
`(fractional adj flow adj reserve same
`ratio same rate same flow and blood adj
`flow and (region or point or location) )
`and physics same model
`
`(fractional adj flow adj reserve same
`ratio same rate same flow and blood adj
`flow and (region or point or location) and
`physics same model ) and patient same
`specific
`
`(fractional adj flow adj reserve same
`ratio same rate same flow and blood adj
`flow and (region or point or location) and
`physics same model and patient same
`specific ) and lumen
`
`fractional flow reserve ratio
`
`(fractional flow reserve ratio ) blood flow
`
`PGPB, USPT,
`USOC,EPAB,
`JPAB, DWPI,
`TDBD, FPRS
`
`PGPB, USPT,
`USOC,EPAB,
`JPAB, DWPI,
`TDBD, FPRS
`
`PGPB, USPT,
`USOC,EPAB,
`JPAB, DWPI,
`TDBD, FPRS
`
`PGPB, USPT,
`USOC,EPAB,
`JPAB, DWPI,
`TDBD, FPRS
`
`PGPB, USPT,
`USOC,EPAB,
`JPAB, DWPI,
`TDBD, FPRS
`
`PGPB, USPT,
`USOC,EPAB,
`
`61 ADJ YES
`
`07-19-2016
`
`14 ADJ YES
`
`07-19-2016
`
`14 ADJ YES
`
`07-19-2016
`
`11 ADJ YES
`
`07-19-2016
`
`19 ADJ YES
`
`07-19-2016
`
`0 ADJ YES
`
`07-19-2016
`
`Prior Art Searches
`
`2
`
`CATHWORKS EXHIBIT 1004
`Page 17 of 353
`
`

`

`(fractional flow reserve ratio ) and blood
`flow
`
`(fractional flow reserve ratio and blood
`flow ) and model
`
`(fractional flow reserve ratio and blood
`flow and model ) and physics
`
`(fractional flow reserve ratio and blood
`flow and model and physics ) and
`geometry
`
`fonte.in. and blood flow rate
`
`(fonte.in. and blood flow rate ) and lumen
`diameter
`
`(fonte.in. and blood flow rate ) and lumen
`
`(fonte.in. and blood flow rate and lumen )
`and anatomic model
`
`JPAB, DWPI,
`TDBD, FPRS
`
`PGPB, USPT,
`USOC,EPAB,
`JPAB, DWPI,
`TDBD, FPRS
`
`PGPB, USPT,
`USOC,EPAB,
`JPAB, DWPI,
`TDBD, FPRS
`
`PGPB, USPT,
`USOC,EPAB,
`JPAB, DWPI,
`TDBD, FPRS
`
`PGPB, USPT,
`USOC,EPAB,
`JPAB, DWPI,
`TDBD, FPRS
`
`PGPB, USPT,
`USOC,EPAB,
`JPAB, DWPI,
`TDBD, FPRS
`
`PGPB, USPT,
`USOC,EPAB,
`JPAB, DWPI,
`TDBD, FPRS
`
`PGPB, USPT,
`USOC,EPAB,
`JPAB, DWPI,
`TDBD, FPRS
`
`PGPB, USPT,
`USOC,EPAB,
`JPAB, DWPI,
`TDBD, FPRS
`
`18 ADJ YES
`
`07-19-2016
`
`11 ADJ YES
`
`07-19-2016
`
`8 ADJ YES
`
`07-19-2016
`
`8 ADJ YES
`
`07-19-2016
`
`46 ADJ YES
`
`11-14-2016
`
`0 ADJ YES
`
`11-14-2016
`
`41 ADJ YES
`
`11-14-2016
`
`13 ADJ YES
`
`11-14-2016
`
`Prior Art Searches
`
`3
`
`CATHWORKS EXHIBIT 1004
`Page 18 of 353
`
`

`

`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
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`15/055,081
`
`02/26/2016
`
`Timothy A. FONTE
`
`11541-0023-04000
`
`4094
`
`7590
`108449
`Bookoff McAndrews, PLLC
`2401 Pennsylvania Avenue, NW, Suite 450
`Washington, DC 20037
`
`12112/2016
`
`EXAMINER
`
`CLOW,LORIA
`
`ART UNIT
`
`PAPER NUMBER
`
`1631
`
`NOTIFICATION DATE
`
`DELIVERY MODE
`
`12/12/2016
`
`ELECTRONIC
`
`Please find below and/or attached an Office communication concerning this application or proceeding.
`
`The time period for reply, if any, is set in the attached communication.
`
`Notice of the Office communication was sent electronically on above-indicated "Notification Date" to the
`following e-mail address(es):
`usptomail @bookoffmcandrews.com
`KRoss@ bookoffmcandrews.com
`
`PTOL-90A (Rev. 04/07)
`
`CATHWORKS EXHIBIT 1004
`Page 19 of 353
`
`

`

`Supplemental
`Notice of Allowability
`
`Application No.
`15/055,081
`Examiner
`LORI A. GLOW
`
`Applicant(s)
`FONTE, TIMOTHY A.
`Art Unit
`AlA (First Inventor to File)
`Status
`1631
`Yes
`
`-- The MAILING DATE of this communication appears on the cover sheet with the correspondence address-(cid:173)
`All claims being allowable, PROSECUTION ON THE MERITS IS (OR REMAINS) CLOSED in this application. If not included
`herewith (or previously mailed), a Notice of Allowance (PTOL-85) or other appropriate communication will be mailed in due course. THIS
`NOTICE OF ALLOW ABILITY IS NOT A GRANT OF PATENT RIGHTS. This application is subject to withdrawal from issue at the initiative
`of the Office or upon petition by the applicant. See 37 CFR 1.313 and MPEP 1308.
`
`1. [8] This communication is responsive to response filed 111112016.
`D A declaration(s)/affidavit(s) under 37 CFR 1.130(b) was/were filed on ___ .
`2. D An election was made by the applicant in response to a restriction requirement set forth during the interview on __ ; the restriction
`requirement and election have been incorporated into this action.
`
`3. [8] The allowed claim(s) is/are 1-10.12-18 and 20-22. As a result of the allowed claim(s), you may be eligible to benefit from the Patent
`Prosecution Highway program at a participating intellectual property office for the corresponding application. For more information,
`please see htto://www.usQto.govi.Qatents/init events/P.Qh/indexjso or send an inquiry to PPHfeedback@usgto.gov .
`4. D Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
`Certified copies:
`*c) D None of the:
`a) D All
`b) D Some
`1. D Certified copies of the priority documents have been received.
`2. D Certified copies of the priority documents have been received in Application No. __ .
`3. D Copies of the certified copies of the priority documents have been received in this national stage application from the
`International Bureau (PCT Rule 17.2(a)).
`* Certified copies not received: __ .
`
`Applicant has THREE MONTHS FROM THE "MAILING DATE" of this communication to file a reply complying with the requirements
`noted below. Failure to timely comply will result in ABANDONMENT of this application.
`THIS THREE-MONTH PERIOD IS NOT EXTENDABLE.
`5. D CORRECTED DRAWINGS (as "replacement sheets") must be submitted.
`D including changes required by the attached Examiner's Amendment I Comment or in the Office action of
`Paper No./Mail Date __ .
`Identifying indicia such as the application number {see 37 CFR 1.84{c)) should be written on the drawings in the front {not the back) of
`each sheet. Replacement sheet{s) should be labeled as such in the header according to 37 CFR 1.121{d).
`6. 0 DEPOSIT OF and/or INFORMATION about the deposit of BIOLOGICAL MATERIAL must be submitted. Note the
`attached Examiner's comment regarding REQUIREMENT FOR THE DEPOSIT OF BIOLOGICAL MATERIAL.
`
`Attachment(s)
`1. D Notice of References Cited (PT0-892)
`2. D Information Disclosure Statements (PTO/SB/08),
`Paper No./Mail Date __
`3. D Examiner's Comment Regarding Requirement for Deposit
`of Biological Material
`4. D Interview Summary (PT0-413),
`Paper No./Mail Date __ .
`
`/LORI A. CLOW/
`Primary Examiner, Art Unit 1631
`
`5. [8] Examiner's Amendment/Comment
`6. [8] Examiner's Statement of Reasons for Allowance
`7. D Other __ .
`
`U.S. Patent and Trademark Off1ce
`PTOL-37 (Rev. 08·13)
`20161206
`
`Notice of Allowability
`
`Part of Paper No./Mail Date
`
`CATHWORKS EXHIBIT 1004
`Page 20 of 353
`
`

`

`Application/Control Number: 15/055,081
`Art Unit: 1631
`
`Page 2
`
`CORRECTED NOTICE OF ALLOWANCE
`
`The Notice of Allowance herein takes the place of the Notice of Allowance mailed 22
`
`November 2016. The notice is necessitated by a mistake in the claim numbering whereby claim
`
`19 was previously cancelled and claim 21 dependency was not corrected to reflect such
`
`amendment. No other changes have been made.
`
`Examiner's Amendment
`
`An examiner's amendment to the record appears below. Should the changes and/or
`
`additions be unacceptable to applicant, an amendment may be filed as provided by 37 CPR
`
`1.312. To ensure consideration of such an amendment, it MUST be submitted no later than the
`
`payment of the issue fee.
`
`Authorization for this examiner's amendment was given in an interview with Lian Huang
`
`on 6 December 2016.
`
`The application has been amended as follows:
`
`Please amend claim 21 as follows:
`
`--The non-transitory computer readable medium of claim 18, the method further
`
`compnsmg:
`
`preparing a three-dimensional simulation of the patient's heart indicating the fractional
`
`flow reserve value at a plurality of locations in coronary arteries of the heart along three
`
`dimensions.--
`
`CATHWORKS EXHIBIT 1004
`Page 21 of 353
`
`

`

`Application/Control Number: 15/055,081
`Art Unit: 1631
`
`Reasons for Allowance
`
`Page 3
`
`The following is an examiner's statement of reasons for allowance: Claims 1-10, 12-18,
`
`and 20-22 are allowed. Claims 11, 19, and 23-30 have been cancelled.
`
`The instant claims are allowed for the reasons of record. Specifically the claims are
`
`allowed as set forth in the Interview Summary of 20 September 2016, pertaining to non-statutory
`
`subject matter and in the Non-final Office Action dated 22 July 2016, pertaining to prior art.
`
`Any comments considered necessary by applicant must be submitted no later than the
`
`payment of the issue fee and, to avoid processing delays, should preferably accompany the issue
`
`fee. Such submissions should be c