-~
`
` WIPO
`
`WORLD
`INTELLECTUAL PROPERTY
`ORGANIZATION
`
`DOCUMENT MADE AVAILABLE UNDER THE
`PATENT COOPERATION TREATY (PCT)
`PCT/1B2018/001517
`International application number:
`
`International filing date:
`
`12 November 2018 (12.11.2018)
`
`Document type:
`
`Document details:
`
`Certified copy of priority document
`
`Country/Office:
`Number:
`Filing date:
`
`us
`62/584,404
`10 November 2017 (10.11.2017)
`
`Date of receipt at the International Bureau:
`
`26 January 2019 (26.01.2019)
`
`Remark: Priority document submitted or transmitted to the International Bureau in compliance with Rule
`17.1(a),(b) or (b-bis)
`
`34, chemin des Colombettes
`1 2 I I Geneva 20, Switze1·1and
`
`www.wipo.int
`
`Petitioner's Exhibit 1021,
` Page 1 of 67
`
`

`

`Digital Access Service
`(DAS)
`
`WIPO
`
`WORLD
`INTELLECTUAL PROPERTY
`ORGANIZATION
`
`CERTIFICATE OF AVAILABILITY OF A CERTIFIED PATENT DOCUMENT IN A
`DIGITAL LIBRARY
`
`The International Bureau certifies that a copy of the patent application indicated
`below has been available to the WIPO Digital Access Service since the date of
`availability indicated, and that the patent application has been available to the
`indicated Office(s) as of the date specified following the relevant Office code:
`
`Document details: Country/Office: US
`
`Filing date: 10 Nov 2017 (10.11.2017)
`
`Application number: 62584404
`
`Date of availability of document:
`
`14 Dec 2017 (14.12.2017)
`
`The following Offices can retrieve this document by using the access code:
`JP, US, SE, NZ, KR, EA, IN, BR, GB, AU, EP, ES, NL, IB, EE, CN,
`MA, Fl, DK, CL
`
`Date of issue of this certificate:
`
`28 Jan 2019 (28.01.2019)
`
`34, chemin des Colombettes
`1211 Geneva 20, Switzerland
`
`Petitioner's Exhibit 1021,
` Page 2 of 67
`
`

`

`
`
`
`
`
`
`
`
`se
`
`
`
`
`
`
`
`
`
`
`
`
`“SRERS SSS SR SS
`Ae
`Se
`SAAS ES SEER Se SESS
`
`
`
`
`
`
`
`DDSDNEN|
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`ERRORS REE AY
`
`
`&
`
`
`
`
`
`
`
`
`
`
`
`
`
`“UNTYESTATES DEPARTSIEN TH COMMERCE
`
`United States Patent and Trademark fice
`
`January 28, 2019
`
`THIS IS TO CERTIFY THAT ANNEXED HERETOIS A TRUE COPY FROM
`THE RECORDS OF THE UNITED STATES PATENT AND TRADEMARK
`OFFICE OF THOSE PAPERS OF THE BELOW IDENTIFIED PATENT
`APPLICATION THAT MET THE REQUIREMENTSTO BE GRANTED A
`FILING DATE UNDER35 USC 111.
`
`
`
`
`
`
`
`APPLICATION NUMBER: 62/584,404
`FILING DATE: November 10, 2017
`
`THE COUNTRY CODE AND NUMBEROF YOUR PRIORITY
`APPLICATION, TO BE USED FOR FILING ABROAD UNDERTHEPARIS
`CONVENTION,IS US62/584,404
`
`
`
`
`
`
` RGRASRROpotatodnteers
`
`
`
`
`
`f
`TE Aone LRN
`
`
`
`
`Certified by
`
`we
`
`Lander Seerefary of Commerce
`fer bitehectual Fraperty
`and Dirveter of the United States
`Patent and Yrademark Office
`
`Petitioner's Exhibit 1021,
`Page 3 of 67
`
`Petitioner's Exhibit 1021,
` Page 3 of 67
`
`

`

`DocCode - SCORE
`
`SCORE Placeholder Sheet for IFW Content
`
`Application Number: 62584404
`
`Document Date: 1111012011
`
`The presence of this form in the IFW record indicates that the following document type was received
`in electronic format on the date identified above. This content is stored in the SCORE database.
`
`Since this was an electronic submission, there is no physical artifact folder, no artifact folder is
`recorded in PALM, and no paper documents or physical media exist. The TIFF images in the IFW
`record were created from the original documents that are stored in SCORE.
`
`• Drawing
`
`At the time of document entry (noted above):
`• USPTO employees may access SCORE content via eDAN using the Supplemental Content
`tab, or via the SCORE web page.
`• External customers may access SCORE content via PAIR using the Supplemental Content
`tab.
`
`Form Revision Date: August 26, 2013
`
`Petitioner's Exhibit 1021,
` Page 4 of 67
`
`

`

`Atty. Dkt. No. 105153-0600
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`First Inventor Name:
`
`Laurent PETIT
`
`Title:
`
`UV DEVICE FOR EVALUATION OF SKIN CONDITIONS
`
`Appl. No.:
`
`Unassigned
`
`Filing Date:
`
`Unassigned
`
`PROVISIONAL PATENT APPLICATION
`TRANSMITTAL
`
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`Commissioner:
`
`Transmitted herewith for filing under 37 C.F.R. § l.53(c) is the provisional patent
`
`application of:
`
`Laurent PETIT
`19, Chemin du Peyloubier
`Peymeinade
`06530
`France
`
`Laurent CHANTALAT
`12 Stuyvesant Oval
`New York, New York 10009
`
`Enclosed are:
`
`[ X] Description, Claims, and Abstract (30 pages).
`
`[ X ] Formal drawings (20 sheets, Figures 1-18).
`
`[ X] Application Data Sheet (37 CFR 1.76).
`
`The adjustment to the number of sheets for EFS-Web filing follows:
`
`484 7 -6564-5652 .1
`
`-1-
`
`Petitioner's Exhibit 1021,
` Page 5 of 67
`
`

`

`Atty. Dkt. No. 105153-0600
`
`Number
`of Sheets
`50
`
`EFS-Web
`Adjustment
`75%
`
`X
`
`Number of Sheets for EFS-Web
`
`38
`
`The filing fee is calculated below at the large entity rate:
`Number
`Included
`Extra
`in
`Filed
`Basic Fee
`
`Basic Filing
`Fee
`= 0
`100
`38
`Size Fee
`Surcharge under 3 7 CFR 1.16( e) for late payment
`of filing fee
`
`X
`+
`
`Rate
`
`$260.00
`
`$400.00
`$60.00
`
`Fee
`Totals
`
`$260.00
`
`$0.00
`$0.00
`
`The above-identified fees of $260.00 are being paid by credit card via EFS-Web.
`
`TOTAL FILING FEE:
`
`$260.00
`
`The Commissioner is hereby authorized to charge any additional fees which may be
`
`required regarding this application under 37 C.F.R. §§ 1.16-1.17, or credit any overpayment, to
`
`Deposit Account No. 19-07 41. Should no proper payment be enclosed herewith, as by the credit
`
`card payment instructions in EFS-Web being incorrect or absent, resulting in a rejected or
`
`incorrect credit card transaction, the Commissioner is authorized to charge the unpaid amount to
`
`Deposit Account No. 19-07 41.
`
`Please direct all correspondence to the undersigned attorney or agent at the address
`
`indicated below.
`
`Date November 10, 2017
`
`FOLEY & LARDNER LLP
`Customer Number: 22428
`Telephone:
`(202) 295-4787
`Facsimile:
`(202) 672-5399
`
`Respectfully submitted,
`
`/Chase J. Brill/
`By
`-~~~~-~-------
`Ch as e J. Brill
`Attorney for Applicant
`Registration No. 61,378
`
`484 7 -6564-5652 .1
`
`-2-
`
`Petitioner's Exhibit 1021,
` Page 6 of 67
`
`

`

`PTO/AIA/14 (11-15)
`Approved for use through 04/30/2017. 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
`
`105153-0600
`
`Application Number
`
`Title of Invention
`
`UV DEVICE FOR EVALUATION OF SKIN CONDITIONS
`
`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 Slates 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.)
`
`Inventor Information:
`
`11
`Inventor
`Legal Name
`
`Prefix Given Name
`[:] ~aurent
`I
`Residence Information (Select One)
`
`City
`
`teymeinade
`
`I Remove
`
`I
`
`Family Name
`
`Middle Name
`I
`US Residency
`
`• Non US Residency
`llcountry of Residence i
`
`i=>ETIT
`
`Active US Military Service
`1rR
`
`Mailing Address of Inventor:
`
`Address 1
`
`~9, Chemin du Peyloubier
`
`Address 2
`City
`
`I i=>eymeinade
`Postal Code
`Inventor ~
`Legal Name
`
`1 ~6530
`
`I State/Province
`I Countryi
`I IFR
`
`11
`
`I Remove
`
`I
`
`Middle Name
`Prefix Given Name
`[:] ~aurent
`I
`I
`Residence Information (Select One) • US Residency 0 Non US Residency
`I Country of ResidencJ I t-Js
`I State/Province I ~Y
`City
`
`Family Name
`
`f:HANTALAT
`Active US Military Service
`
`~ewYork
`
`Mailing Address of Inventor:
`
`Address 1
`
`~2 Stuyvesant Oval
`
`Address 2
`
`I l'Jew York
`City
`Postal Code
`
`I State/Province
`I 1us
`I Countryi
`1110009
`All Inventors Must Be Listed - Additional Inventor Information blocks may be
`generated within this form by selecting the Add button.
`
`I ~v
`
`I Add
`
`I
`
`Correspondence Information:
`
`EFSWeb2.2.12
`
`Suffix
`[:]
`I
`
`I
`
`Suffix
`[:]
`I
`
`Petitioner's Exhibit 1021,
` Page 7 of 67
`
`

`

`PTO/AIA/14 (11-15)
`Approved for use through 04/30/2017. 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
`
`105153-0600
`
`Application Number
`
`Title of Invention
`
`UV DEVICE FOR EVALUATION OF SKIN CONDITIONS
`
`Enter either Customer Number or complete the Correspondence Information section below.
`For further information see 37 CFR 1.33(a).
`D An Address is being provided for the correspondence Information of this application.
`Customer Number
`~2428
`
`Email Address
`
`IPDocketing@foley.com
`
`Application Information:
`
`I I Add Email I
`
`I Remove Email I
`
`Title of the Invention
`
`Attorney Docket Number 105153-0600
`
`Application Type
`
`Subject Matter
`
`0 rovisional
`
`Utility
`
`UV DEVICE FOR EVALUATION OF SKIN CONDITIONS
`I Small Entity Status Claimed □
`
`Total Number of Drawing Sheets (if any)
`Filing By Reference:
`Only complete this section when filing an application by reference under 35 U.S.C. 111 (c) and 37 CFR 1.57(a). Do not complete this section if
`application papers including a specification and any drawings are being filed. Any domestic benefit or foreign priority information must be
`provided in the appropriate section(s) below (i.e., "Domestic Benefit/National Stage Information" and "Foreign Priority Information").
`
`I Suggested Figure for Publication (if any) 111
`
`I pa
`
`For the purposes of a filing date under 37 CFR 1.53(b), the description and any drawings of the present application are replaced by this
`reference to the previously filed application, subject to conditions and requirements of 37 CFR 1.57(a).
`
`Application number of the previously
`filed application
`
`Filing date (YYYY-MM-DD)
`
`Intellectual Property Authority or Country
`
`I
`
`11
`
`11
`
`Publication Information:
`Request Early Publication (Fee required at time of Request 37 CFR 1.219)
`□
`Request Not to Publish. I hereby request that the attached application not be published under
`35 U.S.C. 122(b) and certify that the invention disclosed in the attached application has not and will not be the
`subject of an application filed in another country, or under a multilateral international agreement, that requires
`publication at eighteen months after filing.
`
`□
`
`y
`
`y
`
`,_
`
`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).
`Either enter Customer Number or complete the Representative Name section below. If both sections are completed the customer
`Number will be used for the Representative Information during processing_
`
`Please Select One:
`
`• Customer Number
`
`I
`
`US Patent Practitioner
`
`lo Limited Recognition (37 CFR 11.9)
`
`Customer Number
`
`~2428
`
`EFS Web 2.2.12
`
`Petitioner's Exhibit 1021,
` Page 8 of 67
`
`

`

`PTO/AIA/14 (11-15)
`Approved for use through 04/30/2017. 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
`
`105153-0600
`
`Application Number
`
`Title of Invention
`
`UV DEVICE FOR EVALUATION OF SKIN CONDITIONS
`
`Domestic Benefit/National Stage Information:
`This section allows for the applicant to either claim benefit under 35 U.S.C. 119(e), 120, 121, 365(c), or 386(c) or indicate
`National Stage entry from a PCT application. Providing benefit claim 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.
`When referring to the current application, please leave the "Application Number" field blank.
`I·
`
`Prior Application Status I
`
`Application Number
`
`Continuity Type
`
`Prior Application Number
`
`I
`
`I
`
`I·
`
`Additional Domestic BenefiUNational Stage Data may be generated within this form
`by selecting the Add button.
`
`Foreign Priority Information:
`
`I Remove I
`Filing or 371 (c) Date
`(YYYY-MM-DD)
`
`I
`
`I Add
`
`I
`
`This section allows for the applicant to claim priority to a foreign application. 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. When priority is claimed to a foreign application
`that is eligible for retrieval under the priority document exchange program (PDX)i the information will be used by the Office to
`automatically attempt retrieval pursuant to 37 CFR 1.55(i)(1) and (2). Under the POX program, applicant bears the ultimate
`responsibility for ensuring that a copy of the foreign application is received by the Office from the participating foreign intellectual
`property office, or a certified copy of the foreign priority application is filed, within the time period specified in 37 CFR 1.55(g)(1 ).
`I Remove I
`Access Codei (if applicable)
`
`Countryi
`
`Application Number
`
`Filing Date (YYYY-MM-DD)
`I
`I
`I
`Additional Foreign Priority Data may be generated within this form by selecting the
`Add button.
`
`I Add
`
`I
`
`Statement under 37 CFR 1.55 or 1.78 for AIA (First Inventor to File) Transition
`Applications
`
`This application (1) claims priority to or the benefit of an application filed before March 16, 2013 and (2) also
`contains, or contained at any time, a claim to a claimed invention that has an effective filing date on or after March
`0 16, 2013.
`NOTE: By providing this statement under 37 CFR 1.55 or 1.78, this application, with a filing date on or after March
`16, 2013, will be examined under the first inventor to file provisions of the AIA.
`
`EFS Web 2.2.12
`
`Petitioner's Exhibit 1021,
` Page 9 of 67
`
`

`

`PTO/AIA/14 (11-15)
`Approved for use through 04/30/2017. 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
`
`105153-0600
`
`Application Number
`
`Title of Invention
`
`UV DEVICE FOR EVALUATION OF SKIN CONDITIONS
`
`Authorization or Opt-Out of Authorization to Permit Access:
`
`When this Application Data Sheet is properly signed and filed with the application, applicant has provided written
`authority to permit a participating foreign intellectual property (IP) office access to the instant application-as-filed (see
`paragraph A in subsection 1 below) and the European Patent Office (EPO) access to any search results from the instant
`application (see paragraph Bin subsection 1 below).
`
`Should applicant choose not to provide an authorization identified in subsection 1 below, applicant must opt-out of the
`authorization by checking the corresponding box A or B or both in subsection 2 below.
`
`NOTE: This section of the Application Data Sheet is ONLY reviewed and processed with the INITIAL filing of an
`application. After the initial filing of an application, an Application Data Sheet cannot be used to provide or rescind
`authorization for access by a foreign IP office(s). Instead, Form PTO/SB/39 or PTO/SB/69 must be used as appropriate.
`
`1. Authorization to Permit Access by a Foreign Intellectual Property Office(s)
`
`A. Priority Document Exchange (PDX) - Unless box A in subsection 2 (opt-out of authorization) is checked, the
`undersigned hereby grants the USPTO authority to provide the European Patent Office (EPO), the Japan Patent Office
`(JPO), the Korean Intellectual Property Office (KIPO), the State Intellectual Property Office of the People's Republic of
`China (SIPO), the World Intellectual Property Organization (WIPO), and any other foreign intellectual property office
`participating with the USPTO in a bilateral or multilateral priority document exchange agreement in which a foreign
`application claiming priority to the instant patent application is filed, access to: (1) the instant patent application-as-filed
`and its related bibliographic data, (2) any foreign or domestic application to which priority or benefit is claimed by the
`instant application and its related bibliographic data, and (3) the date of filing of this Authorization. See 37 CFR 1.14(h)
`(1 ).
`
`B. Search Results from U.S. Application to EPO - Unless box Bin subsection 2 (opt-out of authorization) is checked,
`the undersigned hereby grants the USPTO authority to provide the EPO access to the bibliographic data and search
`results from the instant patent application when a European patent application claiming priority to the instant patent
`application is filed. See 37 CFR 1.14(h)(2).
`
`The applicant is reminded that the EPO's Rule 141(1) EPC (European Patent Convention) requires applicants to submit a
`copy of search results from the instant application without delay in a European patent application that claims priority to
`the instant application.
`
`2. Opt-Out of Authorizations to Permit Access by a Foreign Intellectual Property Office(s)
`
`A. Applicant DOES NOT authorize the USPTO to permit a participating foreign IP office access to the instant
`D application-as-filed. If this box is checked, the USPTO will not be providing a participating foreign IP office with
`any documents and information identified in subsection 1A above.
`
`B. Applicant DOES NOT authorize the USPTO to transmit to the EPO any search results from the instant patent
`D application. If this box is checked, the USPTO will not be providing the EPO with search results from the instant
`application.
`NOTE: Once the application has published or is otherwise publicly available, the USPTO may provide access to the
`application in accordance with 37 CFR 1.14.
`
`EFS Web 2.2.12
`
`Petitioner's Exhibit 1021,
` Page 10 of 67
`
`

`

`PTO/AIA/14 (11-15)
`Approved for use through 04/30/2017. 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
`
`105153-0600
`
`Application Number
`
`Title of Invention
`
`UV DEVICE FOR EVALUATION OF SKIN CONDITIONS
`
`Applicant Information:
`
`Providing assignment information in this section does not substitute for compliance with any requirement of part 3 of Title 37 of CFR
`to have an assignment recorded by the Office.
`
`I
`
`I Remove I
`Applicant
`11
`If the applicant is the inventor (or the remaining joint inventor or inventors under 37 CFR 1.45), this section should not be completed.
`The information to be provided in this section is the name and address of the legal representative who is the applicant under 37 CFR
`1.43; or the name and address of the assignee, person to whom the inventor is under an obligation to assign the invention, or person
`who otherwise shows sufficient proprietary interest in the matter who is the applicant under 37 CFR 1.46. If the applicant is an
`applicant under 37 CFR 1.46 (assignee, person to whom the inventor is obligated to assign, or person who otherwise shows sufficient
`proprietary interest) together with one or more joint inventors, then the joint inventor or inventors who are also the applicant should be
`identified in this section.
`I Clear
`Joint Inventor
`
`Legal Representative under 35 U.S.C. 117
`
`I
`Person who shows sufficient proprietary interest
`
`Assignee
`
`I
`• Person to whom the inventor is obligated to assign .
`
`I
`If applicant is the legal representative, indicate the authority to file the patent application, the inventor is:
`
`Name of the Deceased or Legally Incapacitated Inventor: I
`[8J
`If the Applicant is an Organization check here.
`I ~alderma Research and Development
`Mailing Address Information For Applicant:
`
`Organization Name
`
`1·1
`
`I
`
`Address 1
`
`Address 2
`
`City
`Country I tR
`
`Phone Number
`
`Email Address
`
`)400, route des Colles, Les Templiers
`
`3iot
`
`State/Province
`
`Postal Code
`
`Fax Number
`
`F-06410
`
`Additional Applicant Data may be generated within this form by selecting the Add button.
`
`I Add
`
`I
`
`Assignee Information including Non-Applicant Assignee Information:
`
`Providing assignment information in this section does not substitute for compliance with any requirement of part 3 of Title
`37 of CFR to have an assignment recorded by the Office.
`
`EFS Web 2.2.12
`
`Petitioner's Exhibit 1021,
` Page 11 of 67
`
`

`

`PTO/AIA/14 (11-15)
`Approved for use through 04/30/2017. 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
`
`105153-0600
`
`Application Number
`
`Title of Invention
`
`UV DEVICE FOR EVALUATION OF SKIN CONDITIONS
`
`Assignee
`
`11
`
`Complete this section if assignee information, including non-applicant assignee information, is desired to be included on the patent
`application publication. An assignee-applicant identified in the "Applicant Information" section will appear on the patent application
`publication as an applicant. For an assignee-applicant, complete this section only if identification as an assignee is also desired on the
`patent application publication.
`
`If the Assignee or Non-Applicant Assignee is an Organization check here.
`
`Prefix
`
`Given Name
`
`Middle Name
`
`Family Name
`
`I
`I
`Mailing Address Information For Assignee including Non-Applicant Assignee:
`
`I
`
`B I
`
`I Remove I
`□
`Suffix
`
`I
`
`B
`
`Address 1
`
`Address 2
`
`City
`
`Countryi
`
`11
`Phone Number
`
`Email Address
`
`11
`
`State/Province
`
`Postal Code
`
`Fax Number
`
`Additional Assignee or Non-Applicant Assignee Data may be generated within this form by
`selecting the Add button.
`
`Add
`
`I
`
`I
`
`Signature:
`NOTE: This Application Data Sheet must be signed in accordance with 37 CFR 1.33(b). However, if this Application
`Data Sheet is submitted with the INITIAL filing of the application and either box A or B is not checked in
`subsection 2 of the "Authorization or Opt-Out of Authorization to Permit Access" section, then this form must
`also be signed in accordance with 37 CFR 1.14(c).
`This Application Data Sheet must be signed by a patent practitioner if one or more of the applicants is a juristic
`entity (e.g., corporation or association). If the applicant is two or more joint inventors, this form must be signed by a
`patent practitioner, all joint inventors who are the applicant, or one or more joint inventor-applicants who have been given
`power of attorney (e.g., see US PTO Form PTO/AIA/81) on behalf of all joint inventor-applicants.
`See 37 CFR 1.4(d) for the manner of making signatures and certifications.
`
`Remove
`
`Signature
`
`1Chase J. Brill/
`
`Date (YYYY-MM-DD) Q017-11-10
`
`First Name
`
`phase J.
`
`I Last Name I ~rill
`
`Registration Number
`
`61378
`
`Additional Signature may be generated within this form by selecting the Add button.
`
`I Add
`
`I
`
`EFS Web 2.2.12
`
`Petitioner's Exhibit 1021,
` Page 12 of 67
`
`

`

`PTO/AIA/14 (11-15)
`Approved for use through 04/30/2017. 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
`
`105153-0600
`
`Application Number
`
`Title of Invention
`
`UV DEVICE FOR EVALUATION OF SKIN CONDITIONS
`
`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 USPTO. Time will vary depending upon the individual case. Any comments on the amount of time you require to
`complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent and
`Trademark Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, 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 2.2.12
`
`Petitioner's Exhibit 1021,
` Page 13 of 67
`
`

`

`Privacy Act Statement
`
`The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection with your submission of the attached form related to a patent
`application or patent. Accordingly, pursuant to the requirements of the Act, please be advised that: (1) the general authority for the collection of this information
`is 35 U.S.C. 2(b)(2); (2) furnishing of the information solicited is voluntary; and (3) the principal purpose for which the information is used by the U.S. Patent and
`Trademark Office is to process and/or examine your submission related to a patent application or patent. If you do not furnish the requested information, the U.S.
`Patent and Trademark Office may not be able to process and/or examine your submission, which may 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:
`
`The information on this form will be treated confidentially to the extent allowed under the Freedom of Information Act (5 U.S.C. 552) and the Privacy
`Act (5 U.S.C. 552a). Records from this system of records may be disclosed to the Department of Justice to determine whether the Freedom of
`Information Act requires disclosure of these records.
`
`A record from this system of records may be disclosed, as a routine use, in the course of presenting evidence to a court, magistrate, or administrative
`tribunal, including disclosures to opposing counsel in the course of settlement negotiations.
`
`A record in this system of records may be disclosed, as a routine use, to a Member of Congress submitting a request involving an individual, to whom
`the record pertains, when the individual has requested assistance from the Member with respect to the subject matter of the record.
`
`2.
`
`3
`
`4. A record in this system of records may be disclosed, as a routine use, to a contractor of the Agency having need for the information in order to perform
`a contract. Recipients of information shall be required to comply with the requirements of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C.
`552a(m).
`
`5. A record related to an International Application filed under the Patent Cooperation Treaty in this system of records may be disclosed, as a routine use,
`to the International Bureau of the World Intellectual Property Organization, pursuantto the PatentCooperationTreaty.
`
`6. A record in this system of records may be disclosed, as a routine use, to another federal agency for purposes of National Security review (35 U.S.C. 181)
`and for review pursuant to the Atomic Energy Act (42 U.5.C. 218(c)).
`
`7. A record from this system of records may be disclosed, as a routine use, to the Administrator, General Services, or his/her designee, during an
`inspection of records conducted by GSA as part of that agency's responsibility to recommend improvements in records management practices and
`programs, under authority of 44 U.5.C. 2904 and 2906. Such disclosure shall be made in accordance with the GSA regulations governing inspection of
`records for this purpose, and any other relevant (i.e., GSA or Commerce) directive. Such disclosure shall not be used to make determinations about
`individuals.
`
`8. A record from this system of records may be disclosed, as a routine use, to the public after either publication of the application pursuant to 35 U.S.C.
`122(b) or issuance of a patent pursuant to 35 U.S.C. 151. Further, a record may be disclosed, subject to the limitations of 37 CFR 1 .14, as a routine use,
`to the public if the record was filed in an application which became abandoned or in which the proceedings were terminated and which application is
`referenced by either a published application, an application open to public inspections or an issued patent.
`
`9. 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 USPTO becomes
`aware of a violation or potential violation of law or regulation.
`
`EFSWeb2.2.12
`
`Petitioner's Exhibit 1021,
` Page 14 of 67
`
`

`

`Atty. Dkt. No.: 105153-0600
`
`ABSTRACT
`
`A lighting and filtering device configured for use with a camera including at least one light
`
`source configured to emit light having a peak wavelength in a range between 365 nm and 445
`
`nm, and thereby illuminate a portion of a patient's skin to produce a fluorescence on the portion
`
`s
`
`of the patient's skin, and a filter configured to be disposed in front of a lens of the camera, the
`
`filter being (i) a band-pass filter configured to emit light having a peak wavelength in a range
`
`between 550 nm and 750 nm, or (ii) a long-pass filter configured to attenuate light that is less
`
`than a first predetermined wavelength, the first predetermined wavelength being in a range of
`
`400 nm to 450 nm.
`
`4816-5269-6912. 3
`
`Petitioner's Exhibit 1021,
` Page 15 of 67
`
`

`

`Atty. Dkt. No.: 105153-0600
`
`WHAT IS CLAIMED IS:
`
`1.
`
`A lighting and filtering device configured for use with a camera, the lighting and
`
`filtering device comprising:
`
`at least one light source configured to emit light having a peak wavelength in a
`
`range between 365 nm and 445 nm, and thereby illuminate a portion of a patient's skin to
`
`produce a fluorescence on the portion of the patient's skin; and
`
`a filter configured to be disposed in front of a lens of the camera, the filter being
`
`(i) a band-pass filter configured to emit light having a peak wavelength in a range between 550
`
`nm and 750 nm, or (ii) a long-pass filter configured to attenuate light that is less than a first
`
`predetermined wavelength, the first predetermined wavelength being in a range of 400 nm to 450
`
`nm.
`
`2.
`
`The lighting and filtering device according to claim 1, wherein the lighting and
`
`filtering device is configured to be physically mounted to the camera.
`
`3.
`
`The lighting and filtering device according to claim 1, wherein the lighting and
`
`filtering device is configured to be physically mounted to an external device that comprises the
`
`camera.
`
`4.
`
`The lighting and filtering device according to claim 3, wherein the external device
`
`is a cellular phone, a tablet computer, a handheld media device, a laptop computer, or a desktop
`
`computer.
`
`5.
`
`The lighting and filtering device according to claim 3, wherein the external device
`
`is a cellular phone.
`
`6.
`
`The lighting and filtering device according to claim 5, wherein the lighting and
`
`filtering device is configured to be physically mounted to the cellular phone via a magnet.
`
`4816-5269-6912. 3
`
`-25-
`
`Petitioner's Exhibit 1021,
` Page 16 of 67
`
`

`

`Atty. Dkt. No.: 105153-0600
`
`7.
`
`The lighting and filtering device according to claim 5, further comprising a
`
`housing having:
`
`a first lateral side configured to extend along a first lateral side of the cellular
`
`phone;
`
`a second lateral side configured to extend along a second lateral side of the
`
`cellular phone; and
`
`a third lateral side extending from the first lateral side to the second lateral side.
`
`8.
`
`The lighting and filtering device according to claim 7, wherein:
`
`the housing comprises an annular portion,
`
`the at least one light source is located at a surface of the annular portion, and
`
`the annular portion surrounds the filter.
`
`9.
`
`The lighting and filtering device according