Receipt date: 33/08/2030
`
`32757308 ~ GAL}: 37:33
`PTO/SB/OBa (02-09)
`
`
`
`Complete if Known
`Application Number
`
`
`
`INFORMATION DISCLOSURE
`
`
`
`STATEMENT BY APPLICANT
`
`
`(Use as many sheets as necessary)
`
`
`
`
`PESL-115US
`
`Attorney Docket No.
` SHEET 1 of 2
`
`
`First Named Inventor
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`Art Unit
`
`Examiner Name
`
`Filing Date
`
`April 9, 2010
`
`
`
`Examiner
`Initials*
`
`
`
`
`Document Number
`
`Number - Kind Code2 (if kn°wn)
`
`U.S. PATENT DOCUMENTS
`
`
`
`
`
`Publication Date
`Name of Patentee or
`
`
`
`(MM-DD—YYYY)
`Applicant of Cited Document
`
`
`Pages, Columns, Lines, Where
`Relevant Passages or Relevant
`Figures Appear
`
`
`
`
`
`US-7,049,029
`
`US-2004/0191633
`US-2007/0281212
`c H"
`
`—Em_
`—_
`
`Thackeray et al.
`
`cccWIPE"
` c H”
`c (I)
`c ‘9
`
`CCCWIPE“
`
`FOREIGN PATENT DOCUMENTS
`
`Examiner
`Initials*
`
`Foreign Patent Document
`
`Publication Date
`(MM-DD-YYYY)
`1 1 -O4- 1 999
`
`Name of Patentee or
`Applicant of Cited
`Document
`
`Massachusetts
`Institute of
`Technology
`
`Pages, Columns,
`Lines, Where Relevant
`Passages or Relevant
`Figures Appear
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`Country Code3 - Number“ - Kind Code5 ("WW")
`
`Examiner
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`
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`
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`I
`.
`/Carlos Saree-mar
`
`
`Considered
`
`*EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance and not
`considered.
`Include copy of this form with next communication to Applicant.
`1Applicant's unique citation designation number (optional).
`2See Kind Codes of USPTO Patent Documents at www.uspto.ggv or MPEP 901.04.
`3Enter Office that issued the document, by the two-letter code (WIPO Standard St.3).
`‘For Japanese patent documents, the indication of the year of the reign of the Emperor must precede the serial number of the patent document.
`5Kind of document by the appropriate symbols as indicated on the document under WIPO Standard ST.16 if possible.
`6Applicant is to place a check mark here if English language translation is attached.
`The collection of information is required by 37 CFR 1.97 and 1.98. 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 2 hours to complete,
`lication form to the USPTO. Time will vary depending upon the individual case. Any comments
`Including gathering, preparing, and submitting the completed app
`on the amount of time you require to complete this form and/or 5
`uggestions for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent
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`ALL REFERENCES CONSfiEF—KEE EXCEPT WHERE LiNEE) THROUGH.
`
`/C.E./
`
`

`

`Receipt date: 33/08/2030
`
`32707308 ~ GAL}: 37:33
`PTO/SBI08b (02-09)
`
`
`Complete if Known
`
`Application Number
`
`April 9, 2010
`
`
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`
`
`(Use as many sheets as necessary)
`
`
`
`
`
`
` SHEET 2 of 2 PESL-115US
`Attorney Docket No.
`
`
`NON-PATENT LITERATURE DOCUMENTS
`
`Include name of the author (in CAPITAL LETTERS), title of the article (when appropriate), title of the item (book,
`T2
`magazine, journal, serial, symposium, catalog, etc.), date, page(s), volume-Issue number(s), publisher, city and/or
`Cite
`Examiner
`
`
`country where published
`No.l
`Initials*
`
`
`Miyashiro et al, “Improvement of Degradation at Elevated Temperature And At High State-of-Charge
`[:1
`Storage by ZrOz Coating on LiCoOz “, Journal of the Electrochemical Society, 153, 2006, pp. A348-
`A353.
`Sun et al., “Synthesis and Electrochemical Properties of ZnO-Coated LiNio.5 Mn1.5 O4 Spinel as 5 V
`Cathode Material for Lithium Secondary Batteries”, Electrochemical and Solid-State Letters, 5, 2002,
`
`
`pp. A99-A102.
`
`Omanda et al., “Improvement Of The Thermal Stability Of LiNio,8Coo.202 Cathode By A SiOx Protective
`
`
`Coating”, Journal Of The Electrochemical Society, 151, 2004, pp. A922—A929.
`
`
`Hong et al., “Modification of LiCoOz By Surface Coating with MgO/TiOz/Si02 For High-Performance
`
`
`Lithium-Ion Battery”, Electrochemical and Solid-State Letters, 9, 2006, pp. A82-A85.
`
`
`
`Kim et al., “Lithium-Reactive C03(PO4)2 Nanoparticle Coating on High-Capacity LiNio,3COo,15Alo.040z
`Cathode Material For Lithium Rechargeable Batteries”, Journal Of The Electrochemical Society, 154,
`
`
`2007, pp. A495-A499.
`
`Lee et al., “Effect of AIPO4-Nanoparticle Coating Concentration on High—Cutoff-Voltage
`
`
`
`Electrochemical Performances In LiCoOZ“, Journal Of The Electrochemical Society, 151, 2004, pp.
`A801—A805.
`Cho, et al., “Comparison Of Overcharge Behavior of AIP04—Coated LiCoOz and LiNio.8Coo,1MNo.102
`Cathode Materials In Li-Ion Cells”, Journal Of The Electrochemical Society, 151, 2004, pp. A1707-
`A1711.
`Sun et al., “Improvement of the Electrochemical Properties of Li[Nio,5Mno_5]Oz by A1F3 Coating”,
`
`Journal Of The Electrochemical Society; 155, 2008, pp. A705-A-710.
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`E]
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`l]
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`1]
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`Sun et al., “A1F3-Coating To Improve High Voltage Cycling Performance Of Li[Ni1/3C01,3Mn1.3]02
`
`Cathode Materials For Litium Secondary Batteries”, Journal Of The Electrochemical Society, 154,
`
`2007, pp. A168—A172.
`
`Verdier et al., “XPS Study on A1203- and A1PO4- Coated LiCoOz Cathode Material For High-Capacity Li
`
`Ion Batteries”, Journal of The Electrochemical Society, 154, 2007, pp. A1088-A1099.
`
`Cho, et al., “Effect of A1203-Coated o-LiMnOz Cathodes Prepared At Various Temperatures on the 55°
`Cyclying Behavior”, Journal Of The Electrochemical Society 149, 2002, pp. A127-A132.
`
`Lin et al., “Enhanced High-Rate Cycling Stability of LiMn204 Cathode by ZrO; Coating for Li-Ion
`
`Battery”, 152, 2005, pp. A1526-A1532.
`
`Cho, et al., “High-Performance ZrOz-Coated LiNi02 Cathode Material”, Electrochemical And Solid-
`
`State Letters, 4, 2001, pp. A159—A161.
`
`
`
`
`
`
`
`Chung et al., “Structural Studies On The Effects of ZrOz Coating on LiCoOz During Cycling Using In
`Situ X-Ray Diffraction Technique, Journal Of The Electrochemical Society, 153, 2006, pp. A2152-
`A2157.
`
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`033030303,
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`Dat
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`A
`.
`.,,.
`002/203:
`
`*EXAMINER: Initial If reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not In conformance and not
`considered.
`Include copy of this form with next communication to Applicant.
`1Applicant's unique citation designation number (optional).
`2Applicant is to place a check mark here if English language translation is attached.
`The collection of Information is required by 37 CFR 1.98. 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 120 minutes to complete, Including
`
`ALL REFERENCES CONSfiEF—KED EXCEPT WHERE UNEE) THEQUGH.
`
`/C.E./
`
`