UNITED STATES PATENT AND TRADEMARK OFFIGE
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`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`!
`OX.
`Address: COMMISSIONER FOR PATENTS
`Alexandria, Virginia 22313-1450
`www.uspto.gov
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`FILING OR 371(C) DATE
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`APPLICATION NUMBER
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`FIRST NAMED APPLICANT
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`ATTY. DOCKET NO./TITLE
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`17/071,548
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`10/15/2020
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`SHIKIHO KAWAI
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`P1017216US01
`CONFIRMATIONNO. 1066
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`IP Management Department, Applications Promotion AOC
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`42212
`Panasonic IP Management Co., Ltd.
`
`7F OBP Panasonic Tower, 2-1-61 Shiromi, Chuo-ku,
`Osaka, 540-6207
`JAPAN
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`FORMALITIES LETTER
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`Date Mailed: 10/26/2020
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`NOTICE TO COMPLY WITH REQUIREMENTS FOR PATENT APPLICATIONS
`CONTAINING NUCLEOTIDE AND/OR AMINO ACID SEQUENCE DISCLOSURES
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`Filing Date Granted
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`Applicant is given TWO MONTHS FROM THE DATEOFTHIS NOTICE within which to comply with the sequence
`rules, 37 CFR §§ 1.821-1.825. Failure to comply with these requirements will result in ABANDONMENTofthe
`application under 37 CFR §1.821(g). Extension of time may be obtained byfiling a petition accompanied by the
`extension fee under the provisions of 37 CFR §1.136.
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`Items 1) and 2) provide general guidancerelated to requirements for sequence disclosures.
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`1) 37 CFR 1.821(c) requires that patent applications which contain disclosures of nucleotide and/or amino acid
`sequencesthatfall within the definitions of 37 CFR 1.821(a) must contain a "SequenceListing", as a separate
`part of the disclosure, which presents the nucleotide and/or amino acid sequences and associated information
`using the symbols and format in accordance with the requirements of 37 CFR 1.821-1.825. This "Sequence
`Listing” part of the disclosure may be submitted:
`a) via EFS-Web (see Section |.1 of the Legal Framework for EFS-Web
`(https :/Avww.uspto.gov/patents-application-process/filing-online/legal-framework-efs-web), hereinafter
`"Legal Framework") as an ASCII textfile, together with an incorporation-by-reference of the material in the
`ASCII textfile in a separate paragraph of the specification identifying:
`i) the name of the ASCII textfile;
`ii) the date of creation; and
`iii) the size of the ASCII textfile in bytes;
`b) on compact disc(s) in duplicate according to 37 CFR 1.52(e)(1)(ii) and (4), labeled according to 37
`CFR 1.52(e)(6), together with a statement that the duplicate compactdiscs are identical and an
`incorporation-by-reference of the material in the ASCII text file according to 37 CFR 1.52(e)(5) ina
`separate paragraphof the specification identifying:
`i) the name of the ASCII textfile;
`ii) the date of creation; and
`iii) the size of the ASCII textfile in bytes;
`c) via EFS-Web as a PDF (not recommended); or
`d) on paper.
`2) 37 CFR 1.821(e) requires that a copy of the "Sequence Listing” must also be submitted in computer readable
`form (CRF) in accordance with the requirements of 37 CFR 1.824.
`a) If a "Sequence Listing" ASCII textfile submitted via EFS-Webon the application filing date complies with
`the requirements of 37 CFR 1.824(a)(2)-(6) and (b), and applicant has notfiled a "Sequence Listing” as
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`a PDF, thetextfile will serve as both the "SequenceListing" required by 37 CFR 1.821(c) and the CRF
`required by 37 CFR 1.821(e), and the statementof identity under the "Legal Framework"is not required.
`b) If the "Sequence Listing” required by 37 CFR 1.821(c)is filed via EFS-Web as a PDF, then the "Legal
`Framework" requires submission of a statement that the "Sequence Listing” content of the PDF copy and
`the ASCII text file copy submitted via EFS-Webareidentical.
`c) If the "SequenceListing" required by 37 CFR 1.821(c)is filed on paper or compact disc, then 37 CFR
`1.821/(f) requires submission of a statement that the "SequenceListing” content of the paper or compact
`disc copy and the CRF areidentical.
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`Specific deficiencies and the required response to this notice are as follows:
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`* This application fails to comply with the requirements of 37 CFR 1.821-1.825 becauseit does not contain a
`"Sequence Listing” as a separate part of the disclosure or a CRF. Applicant must provide:
`o A "SequenceListing” part of the disclosure, as described abovein item 1); together with
`o An amendmentspecifically directing its entry into the application;
`oA statement that the "SequenceListing” includes no new matter; and
`oA statementthat indicates support for the amendmentin the application, as filed, as required by 37 CFR
`1.825 and the "Legal Framework".
`+ If the "Sequence Listing” part of the disclosure is submitted according to item 1) a) or b) above, Applicant must
`also provide:
`oA substitute specification in compliance with 37 CFR 1.121(b)(3) and 1.125 inserting the required
`incorporation-by-reference paragraph, consisting of:
`-A copy of the previously-submitted specification, with deletions shown with strikethrough or brackets
`and insertions shown with underlining (marked-up version);
`-A copy of the amendedspecification without markings (clean version); and
`-A statementthat the substitute specification contains no new matter.
`+ If the "Sequence Listing” part of the disclosure is submitted according to item 1) b), c), or d) above, Applicant
`must also provide:
`oA CRF; and
`0 A statement according to item 2) b) or c) above.
`¢ If applicant desires the CRF in this application to be identical with the CRF of another application on file in the
`U.S. Patent and Trademark Office, such request in accordance with 37 CFR 1.821(e) may be submitted in lieu
`of anew CRF (Form PTO/SB/93 may be usedfor this purpose).
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`For questions regarding compliance to these requirements, please contact:
`«For Rules interpretation, call (571) 272-2510
`« For CRF submission help,call (571) 272-2510
`«For Patentin software program support technical assistance, call (866) 217-9197.
`« Send e-mail correspondencefor Patenitin software program help to ebc@uspto.gov
`« Patentin software is available at http://www.uspto.gov/patents/resources/tools/checker/patentinrel.jsp
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`Applicant is cautioned that correction of the above items may causethe specification and drawings page countto
`exceed 100 pages. If the specification and drawings exceed 100 pages, applicant will need to submit the required
`application size fee.
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`¢ Surcharge assetforth in 37 CFR 1.16(f) must be submitted.
`The surcharge is due for any oneof:
`«late submission of the basicfiling fee, search fee, or examination fee,
`* late submission of inventor's oath or declaration,
`* filing an application that does not contain at least one claim on filing, or
`* submission of an application filed by reference to a previously filed application.
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`SUMMARYOF FEES DUE:
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`The fee(s) required within TWO MONTHSfrom the date of this Notice to avoid abandonmentis/are itemized
`below. No entity status discountis in effect. If applicant is qualified for small entity status, a written assertion of
`small entity status must be submitted to establish small entity status. (See 37 CFR 1.27). If applicant is qualified
`for micro entity status, an acceptable Certification of Micro Entity Status must be submitted to establish micro
`entity status. (See 37 CFR 1.29 and forms PTO/SB/15A and 15B.)
`*$ 160 surcharge.
`* $(.0) previous unapplied payment amount.
`*$ 160 TOTAL FEE BALANCE DUE.
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`Items Required To Avoid Processing Delays:
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`Applicantis notified that the above-identified application contains the deficiencies noted below. No period for
`reply is set forth in this notice for correction of these deficiencies. However, if a deficiency relates to the inventor's
`oath or declaration, the applicant mustfile an oath or declaration in compliance with 37 CFR 1.63, or a substitute
`statementin compliance with 37 CFR 1.64, executed by or with respect to each actual inventor no later than the
`expiration of the time period set in the "Notice of Allowability" to avoid abandonment. See 37 CFR 1.53(f).
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`« A properly executedinventor's oath or declaration has not been received for the following inventor(s):
`JUNKO MURAOKA
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`Replies mustbe received in the USPTOwithin the set time period or mustinclude a proper Certificate of Mailing
`or Transmission under 37 CFR 1.8 with a mailing or transmission date within the set time period. For more
`information and a suggested format, see Form PTO/SB/92 and MPEP 512.
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`Replies should be mailed to:
`
`Mail Stop Missing Parts
`Commissioner for Patents
`P.O. Box 1450
`Alexandria VA 22313-1450
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`Registered users of EFS-Web mayalternatively submit their reply to this notice via EFS-Web, including a copy
`of this Notice and selecting the documentdescription "Applicant response to Pre-Exam Formalities Notice”.
`https ://sportal.uspto.gov/authenticate/AuthenticateUserLocalEPF.html
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`For more information about EFS-Webplease call the USPTO Electronic Business Center at 1-866-217-9197 or
`visit our website at http://www.uspto.gov/ebc.
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`If you are not using EFS-Webto submit your reply, you must include a copyofthis notice.
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`Questions about the contents of this notice and the
`requirements it sets forth should be directed to the Office
`of Data Management, Application Assistance Unit,at
`(571) 272-4000 or (571) 272-4200 or 1-888-786-0101.
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`/fasrat/
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