Form PTO/SB/57 Request for Ex Parte Reexamination Transmittal Form

PTO/SB/57 (01-18)
Approved for use through xx/xx/20xx. OMB 0651-0064
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 displays a valid OMB control number.
(Also referred to as FORM PTO-1465)

REQUEST FOR EX PARTE REEXAMINATION TRANSMITTAL FORM
Address to:

Mail Stop Ex Parte Reexam
Commissioner for Patents
P.O. Box 1450
Alexandria, VA 22313-1450
1.

Attorney Docket No.:_________________
Date:______________________

This is a request for ex parte reexamination pursuant to 37 CFR 1.510 of patent number _________________
issued ________________________. The request is made by:
patent owner.

2.

third party requester.

The name and address of the person requesting reexamination is:
_______________________________________________________________________________________
_______________________________________________________________________________________
_______________________________________________________________________________________

3.

Requester
asserts small entity status (37 CFR 1.27) or
certifies micro entity status (37 CFR 1.29). Only
a patent owner requester can certify micro entity status. Form PTO/SB/15A or B must be attached to certify
micro entity status.

4.

This request is accompanied by payment of the reexamination fee as set forth in:
37 CFR 1.20(c)(2); or
37 CFR 1.20(c)(1). In checking this box for payment of the fee set forth in 37 CFR 1.20(c)(1), requester
asserts that this request has forty (40) or fewer pages and complies with all other requirements of
37 CFR 1.20(c)(1).
Payment of the reexamination fee is made by the method set forth below.
a.

A check in the amount of $_______________ is enclosed to cover the reexamination fee;

b.

The Director is hereby authorized to charge the reexamination fee
to Deposit Account No. ________________________;

c.

Payment by credit card. Form PTO-2038 is attached; or

d.

Payment made via EFS-Web.

In addition, the Director is hereby authorized to charge any fee deficiencies to
Deposit Account No. ________________________.
5.

Any refund should be made by
check or
credit to Deposit Account No.__________________.
37 CFR 1.26(c). If payment is made by credit card, refund must be to credit card account.

6.

A copy of the patent to be reexamined having a double column format on one side of a separate paper is
enclosed. 37 CFR 1.510(b)(4).

7.

CD-ROM or CD-R in duplicate, Computer Program (Appendix) or large table
Landscape Table on CD

[Page 1 of 3]
A Federal agency may not conduct or sponsor, and a person is not required to respond to, nor shall a person be subject to a penalty for failure to comply with an
information collection subject to the requirements of the Paperwork Reduction Act of 1995, unless the information collection has a currently valid OMB Control
Number. The OMB Control Number for this information collection is 0651-0064. Public burden for this form is estimated to average 55 hours per response,
including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the
information collection. Send comments regarding this burden estimate or any other aspect of this information collection, including suggestions for reducing this
burden to the Chief Administrative Officer, United States Patent and Trademark Office, P.O. Box 1450, Alexandria, VA 22313-1450 or email
[email protected]. SEND TO: Mail Stop Ex Parte Reexam, Commissioner for Patents, P.O. Box 1450, Alexandria, VA

22313-1450.

If you need assistance in completing the form, call 1-800-PTO-9199 and select option 2.

PTO/SB/57 (01-18)
Approved for use through 11/30/2021. OMB 0651-0064
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 displays a valid OMB control number.

8.

Nucleotide and/or Amino Acid Sequence Submission
If applicable, items a. – c. are required.
a.

Computer Readable Form (CRF)

b. Specification Sequence Listing on:

c.

i.

CD-ROM (2 copies) or CD-R (2 copies) or

ii.

paper

Statements verifying identity of above copies.

9.

A copy of any disclaimer, certificate of correction or reexamination certificate issued in the patent is included.

10.

Reexamination of claim(s) _______________________________________________________ is requested.

11.

A copy of every patent or printed publication relied upon is submitted herewith including a listing thereof on
Form PTO/SB/08, PTO-1449, or equivalent.

12.

An English language translation of all necessary and pertinent non-English language patents and/or printed
publications is attached.

13.

The attached detailed request includes at least the following items:
a. A statement identifying each substantial new question of patentability based on prior patents and printed
publications. 37 CFR 1.510(b)(1).
b. An identification of every claim for which reexamination is requested, and a detailed explanation of the
pertinency and manner of applying the cited art to every claim for which reexamination is requested.
37 CFR1.510(b)(2).

14.

A proposed amendment is included (only where the patent owner is the requester). 37 CFR 1.510(e).

15.

It is certified that the statutory estoppel provisions of 35 U.S.C. 315(e)(1) or 35 U.S.C. 325(e)(1) do not
prohibit requester from filing this ex parte reexamination request. 37 CFR 1.510(b)(6).

16.

Service
a.

It is certified that a copy of this request (if filed by other than the patent owner) has been served in its
entirety on the patent owner as provided in 37 CFR 1.33(c).
The name and address of the party served are:
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Date of Service: ___________________________________________________________________

OR
b.

A duplicate copy is enclosed since service on patent owner was not possible. An explanation of the
efforts made to serve patent owner is attached. See MPEP 2220.
[Page 2 of 3]

PTO/SB/57 (01-18)
Approved for use through 11/30/2021. OMB 0651-0064
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 displays a valid OMB control number.

17.

Correspondence Address: Direct all communication about the reexamination to:
The address associated with Customer Number:
OR
Firm or Individual Name ____________________________________________________________________
(at the address identified below)

Address
City

State

Zip

Country
Telephone

18.

Email

The patent is currently the subject of the following concurrent proceeding(s):
a.

Copending reissue Application No.

______________________________________________

b.

Copending reexamination Control No. ______________________________________________

c.

Copending Interference No.

d.

Copending litigation styled:

______________________________________________

____________________________________________________________________________
____________________________________________________________________________
WARNING : Information on this form may become public. Credit card information should not be included on this
form. Provide credit card information and authorization on PTO-2038.
__________________________________________________
Authorized Signature

___________________________
Date

__________________________________________________
Typed/Printed Name

___________________________
Registration No.

For Patent Owner Requester

For Third Party Requester
[Page 3 of 3]

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. The United States Patent and Trademark
Office (USPTO) collects this information under authority of 37 CFR 1.33. The information in this system of records is
used to manage all records of applicant including name, citizenship, residence, post office address and other
information with respect to inventors and their legal representatives pertaining to the applicant's activities in connection
with the invention for which a patent is sought.
This information is protected from disclosure to third parties in accordance with the Privacy Act. However, routine uses
of this information may include disclosure to the following: to law enforcement and investigation in the event that the
system of records indicates a violation or potential violation of law; to a Federal, state, local, or international agency, in
response to its request; to an agency, organization, or individual for the purpose of performing audit or oversight

operations
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(OMB) for legislative coordination and clearance. Failure to provide any part of the requested information may result in
an inability to process requests for access and information. The applicable Privacy Act System of Records Notice for
this information is COMMERCE/PAT-TM-7 Patent Application Files, available at Federal Register / Vol. 78, No. 61 /
Friday, March 29, 2013 /Notices 19243. https://www.govinfo.gov/content/pkg/FR-2013-03-29/ pdf/2013-07341.pdf