Form PTO-1390 Transmittal Letter to the United States Designated/Elect

PTO-1390 (10-20)
Approved for use through XX/XX/XXXX. OMB 0651-0021
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.

TRANSMITTAL LETTER TO THE UNITED STATES
DESIGNATED/ELECTED OFFICE (DO/EO/US)
CONCERNING A SUBMISSION UNDER 35 U.S.C. 371
International Application No.

International Filing Date

Attorney Docket No.
U.S. Application No. (if known, see 37 CFR 1.5)

Priority Date Claimed

Title of Invention
First Named Inventor
Applicant herewith submits to the United States Designated/Elected Office (DO/EO/US) the following items and other information.
1.

This is an express request to begin national examination procedures (35 U.S.C. 371(f)). NOTE: The express request under
35 U.S.C. 371(f) will not be effective unless the requirements under 35 U.S.C. 371(c)(1), (2), and (4) for payment of the basic
national fee, copy of the International Application and English translation thereof (if required), and the oath or declaration of the
inventor(s) have been received.

2.

A copy of the International Application (35 U.S.C. 371(c)(2)) is attached hereto (not required if the International Application was
previously communicated by the International Bureau or was filed in the United States Receiving Office (RO/US)).

3.

An English language translation of the International Application (35 U.S.C. 371(c)(2))
a.
b.

4.

is attached hereto.
has been previously submitted under 35 U.S.C. 154(d)(4).
An oath or declaration of the inventor(s) (35 U.S.C. 371(c)(4))

a.

is attached.

b.

was previously filed in the international phase under PCT Rule 4.17(iv).

Items 5 to 8 below concern amendments made in the international phase.
PCT Article 19 and 34 amendments
5.
6.
7.

Amendments to the claims under PCT Article 19 are attached (not required if communicated by the International Bureau)
(35 U.S.C. 371(c)(3)).
English translation of the PCT Article 19 amendment is attached (35 U.S.C. 371(c)(3)).
English translation of annexes (Article 19 and/or 34 amendments only) of the International Preliminary Examination Report is
attached (35 U.S.C. 371(c)(5)).

Cancellation of amendments made in the international phase
8a.

Do not enter the amendment made in the international phase under PCT Article 19.

8b.

Do not enter the amendment made in the international phase under PCT Article 34.

NOTE: A proper amendment made in English under Article 19 or 34 will be entered in the U.S. national phase application absent a clear
instruction from applicant not to enter the amendment(s).
The following items 9 to 17 concern a document(s) or information included.
9.

An Information Disclosure Statement under 37 CFR 1.97 and 1.98.

10.

A preliminary amendment.

11.

An Application Data Sheet under 37 CFR 1.76.

12.

A substitute specification. NOTE: A substitute specification cannot include claims. See 37 CFR 1.125(b).

13.

A power of attorney and/or change of address letter.

14.

A computer-readable form of the sequence listing in accordance with PCT Rule 13ter.3 and 37 CFR 1.821-1.825 (not required if
sequence listing in text format was indicated on the PCT Request as part of the International Application and the sequence listing
was published as part of the international application).

15.

Assignment papers (cover sheet and document(s)). Name of Assignee: _____________________________________________

16.

_______________________________________________________________________________________________________
37 CFR 3.73(c) Statement (when there is an Assignee).

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 valid OMB Control Number. The
OMB Control Number for this information collection is 0651-0080. Public burden for this form is estimated to average 15 minutes 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 Office of the
Chief Administrative Officer, United States Patent and Trademark Office, P.O. Box 1450, Alexandria, VA 22313-1450 or email [email protected].
DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Mail Stop PCT, Commissioner for Patents, P.O. Box 1450, Alexandria, VA
22313-1450.

PTO-1390 (10-20)
Approved for use through 10/31/2022. OMB 0651-0021
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.

INTERNATIONAL APPLICATION No.

U.S. APPLN. No. (if known – see 37 CFR 1.5)

17.

ATTORNEY DOCKET No.

Other items or information:

The following fees have been submitted.

CALCULATIONS

18.

Basic national fee (37 CFR 1.492(a)) ………………………………………………….………………..

19.

Examination fee (37 CFR 1.492(c))
•
If the written opinion prepared by ISA/US or the international preliminary examination report
prepared by IPEA/US indicates all claims satisfy provisions of PCT Article 33(1)-(4)………….. $0
•
All other situations ……………………………………………….………………………………….. $800
Search fee (37 CFR 1.492(b))
•
If the written opinion prepared by ISA/US or the international preliminary examination report
prepared by IPEA/US indicates all claims satisfy provisions of PCT Article 33(1)-(4)………….. $0
•
Search fee (37 CFR 1.445(a)(2)) has been paid on the international application to the USPTO as
an International Searching Authority ..………………………………………………………….…. $140
•
International Search Report prepared by an ISA other than the US and provided to the Office or
previously communicated to the US by the IB……………………………………….……………. $540
•
All other situations ...……………………………………………….……………...…….…………... $700

20.

$320

TOTAL OF 18, 19, and 20 =
Additional fee for specification and drawings filed in paper over 100 sheets (excluding sequence listing
in compliance with 37 CFR 1.821(c) or (e) in an electronic medium or computer program listing in an
electronic medium) (37 CFR 1.492(j)).
Fee for each additional 50 sheets of paper or fraction thereof …………………………….………...
Total Sheets

Extra Sheets

- 100 =

/ 50 =

Number of each additional 50 or fraction
thereof (round up to a whole number)

$

$

$
$

$420

RATE
x $420

Surcharge for furnishing any of the search fee, examination fee, or the oath or declaration after the date of
commencement of the national stage (37 CFR 1.492(h))…………………………………….………………..
$160
CLAIMS

$

NUMBER FILED

NUMBER EXTRA

$

RATE

Total claims

- 20 =

x $100

$

Independent claims

-3=

x $480

$

+ $860

$

MULTIPLE DEPENDENT CLAIM(S) (if applicable)

Fee for submission of Sequence Listing text file of 300 MB to 800 MB (37 CFR 1.21(o)(1))…….………… $1,060

$

Fee for submission of Sequence Listing text file of more than 800 MB (37 CFR 1.21(o)(2))……………….$10,500

$

Processing fee for furnishing the English translation later than 30 months from the earliest claimed priority date
(37 CFR 1.492(i))………………………………………………………..…………………………………………...$140 +

$

TOTAL OF ABOVE CALCULATIONS =

$

Applicant asserts small entity status. See 37 CFR 1.27. Fees above are reduced by ½.
Applicant certifies micro entity status. See 37 CFR 1.29. Fees above are reduced by ¾.
Applicant must attach form PTO/SB/15A or B or equivalent.
TOTAL NATIONAL FEE =
Fee for recording the enclosed assignment (37 CFR 1.21(h)). The assignment must be accompanied by an
appropriate cover sheet (37 CFR 3.28, 3.31)…………..…………………………………… $50.00 per property

+

TOTAL FEES ENCLOSED =
[Page 2 of 3]

$
$
$

PTO-1390 (10-20)
Approved for use through 10/31/2022. OMB 0651-0021
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.

a.

A check in the amount of $_____________________ to cover the above fees is enclosed.

b.

Please charge my Deposit Account No. ___________________ in the amount of $____________________ to cover the above fees.

c.

The Director is hereby authorized to charge additional fees which may be required, or credit any overpayment, to Deposit Account
No. ___________________ as follows:
i.
ii.

d.

any required fee.
any required fee except for excess claims fees required under 37 CFR 1.492(d) and (e) and multiple dependent claim fee
required under 37 CFR 1.492(f).
Fees are to be charged to a credit card. 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. The PTO-2038 should only be mailed or
faxed to the USPTO. However, when paying the basic national fee, the PTO-2038 may NOT be faxed to the USPTO.
ADVISORY: If filing by EFS-Web, do NOT attach the PTO-2038 form as a PDF along with your EFS-Web submission. Please be
advised that this is not recommended and by doing so your credit card information may be displayed via PAIR. To protect your
information, it is recommended to pay fees online by using the electronic payment method.

NOTE: Where an appropriate time limit under 37 CFR 1.495 has not been met, a petition to revive (37 CFR 1.137(a) or (b)) must be
filed and granted to restore the International Application to pending status.
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 16, 2013.
NOTE 1: 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.
NOTE 2: A U.S. national stage application may not claim priority to the international application of which it is the national phase. The filing
date of a U.S. national stage application is the international filing date. See 35 U.S.C. 363.
Correspondence Address
The address associated with Customer Number: _______________________

OR

Correspondence address below

Name
Address
City

State

Country

Zip Code
Telephone

Email

Signature

Date

Name
(Print/Type)

Registration No.
(Attorney/Agent)
[Page 3 of 3]

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