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MAINTENANCE FEE IN AN EXPIRED PATENT (37 CFR (USPTO)

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PTO/SB/66 (12-20)
Approved for use through 09/30/2021. OMB 0651-0016
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.
PETITION TO ACCEPT UNINTENTIONALLY DELAYED PAYMENT OF
MAINTENANCE FEE IN AN EXPIRED PATENT (37 CFR 1.378(b))
Page 1 of 4
Docket Number (Optional)
Mail to: Mail Stop Petition
Commissioner for Patents
P.O. Box 1450
Alexandria, VA 22313-1450
Fax: (571) 273-8300
NOTE: If information or assistance is needed in completing this form, please contact the Office of Petitions at (571) 272-3282.
Patent No. _________________________________________ Application Number ______________________________________
Issue Date _________________________________________ Filing Date ______________________________________________
CAUTION: Maintenance fee payment must correctly identify: (1) the patent number (or reissue patent number, if a reissue) and (2) the
application number of the actual U.S. application (or reissue application) leading to issuance of that patent to ensure the fee(s)
is/are associated with the correct patent. 37 CFR 1.366(c) and (d).
Also complete the following information, if applicable.
The above-identified patent
is a reissue of original Patent No. ___________________________________ original issue date _______________________________
original application number ___________________________________
original filing date ___________________________________.
resulted from the entry into the U.S. under 35 U.S.C. 371 of international application ___________________________________
filed on ___________________________________.
NOTE: A grantable petition requires the following items:
(1) Petition fee;
(2) Maintenance fee; and
(3) Statement that the delay in payment of the maintenance fee was unintentional.
CERTIFICATE OF MAILING OR TRANSMISSION (37 CFR 1.8(a))
I hereby certify that this paper (* along with any paper referred to as being attached or enclosed) is being deposited with the United States
Postal Service on the date shown below with sufficient postage as first class mail in an envelope addressed to Mail Stop Petition,
Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450, or being transmitted to the U.S. Patent and Trademark Office by EFS-
Web, or by facsimile to (571) 273-8300, on the date shown below.
___________________________________ _______________________________________________________
Date Signature
_______________________________________________________
Typed or Printed Name of Person Signing Certificate
[page 1 of 3]
This collection of information is required by 37 CFR 1.378(b). 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 1.11, 1.14 and 41.6. This collection is estimated to take 1 hour to
complete, including gathering, preparing, and submitting the completed application 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: Mail Stop Petition, 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/66 (12-20)
Approved for use through 09/30/2021. OMB 0651-0016
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.
PETITION TO ACCEPT UNINTENTIONALLY DELAYED PAYMENT
OF MAINTENANCE FEE IN AN EXPIRED PATENT (37 CFR 1.378(b))
Page 2 of 4
1. SMALL ENTITY
Patentee asserts, or has previously asserted, small entity status. See 37 CFR 1.27.
2. LOSS OF ENTITLEMENT TO SMALL ENTITY STATUS
Patentee is no longer entitled to small entity status. See 37 CFR 1.27(g).
3. MICRO ENTITY
Patentee certifies, or has previously certified, micro entity status. See 37 CFR 1.29
Form PTO/SB/15A or B or equivalent must either be enclosed or have been submitted previously.
4. LOSS OF ENTITLEMENT TO MICRO ENTITY STATUS
Patentee is no longer entitled to micro entity status. See 37 CFR 1.29(i).
5. MAINTENANCE FEE (37 CFR 1.20(e)-(g))
The appropriate maintenance fee must be submitted with this petition, unless it was paid earlier.
Undiscounted
Small Entity
Micro Entity
Amount
(Code)
Amount
(Code)
Amount
(Code)
$ ____________
3½ yr fee (1551)
$ ____________
3½ yr fee (2551)
$ ____________
3½ yr fee (3551)
$ ____________
7½ yr fee (1552)
$ ____________
7½ yr fee (2552)
$ ____________
7½ yr fee (3552)
$ ____________
11½ yr fee (1553)
$ ____________
11½ yr fee (2553)
$ ____________
11½ yr fee (3553)
MAINTENANCE FEE BEING SUBMITTED $ ____________
6. PETITION FEE
The petition fee required by 37 CFR 1.17(m) of:
$ ____________ Undiscounted (Fee Code 1558); or
$ ____________ Small Entity (Fee Code 2558); or
$ ____________ Micro Entity (Fee Code 3558)
must be paid as a condition of accepting an unintentionally delayed payment of a maintenance fee.
PETITION FEE BEING SUBMITTED $ ____________
7. MANNER OF PAYMENT
Enclosed is a check for the sum of $ ____________
Please charge Deposit Account No. ____________ the sum of $ ____________
Payment by credit card. Form PTO-2038 is attached.
Payment made via EFS-Web.
8. AUTHORIZATION TO CHARGE ANY FEE DEFICIENCY
The Director is hereby authorized to charge any maintenance fee or petition deficiency to Deposit Account No. ____________
PTO/SB/66 (12-20)
Approved for use through 09/30/2021. OMB 0651-0016
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.
PETITION TO ACCEPT UNINTENTIONALLY DELAYED PAYMENT
OF MAINTENANCE FEE IN AN EXPIRED PATENT (37 CFR 1.378(b))
Page 3 of 4
9. OVERPAYMENT
As to any overpayment made, please
Credit to Deposit Account No. ____________
OR
Send refund check
WARNING:
Petitioner/applicant is cautioned to avoid submitting personal information in documents filed in a patent application that may contribute to
identity theft. Personal information, such as social security numbers, bank account numbers, or credit card numbers (other than a check or
credit card authorization form (PTO-2038) submitted for payment purposes), is never required by the USPTO to support a petition or an
application. If this type of personal information is included in documents submitted to the USPTO, petitioner/applicant should consider
redacting such personal information from the documents before submitting them to the USPTO. Petitioner/applicant is advised that the
record of a patent application is available to the public after publication of the application (unless a non-publication request in compliance
with 37 CFR 1.213(a) is made in the application or issuance of a patent. Furthermore, the record from an abandoned application may also
be available to the public if the application is referenced in a published application or an issued patent (see 37 CFR 1.14). Checks and credit
card authorization forms (PTO-2038) submitted for payment purposes are not retained in the application file and therefore are not publicly
available.
10. STATEMENT
The delay in payment of the maintenance fee for this patent was unintentional.
Petitioner is reminded that a delay resulting from a deliberately chosen course of action or a change in circumstance is not an unintentional
delay.
Petitioner is further reminded that a person seeking reinstatement of an expired patent should not make a statement that the delay in
payment of the maintenance fee was unintentional unless the entire delay was unintentional, including the period from discovery that the
maintenance fee was not timely paid until payment of the maintenance fee. For example, a statement that the delay in payment of the
maintenance fee was unintentional would not be proper when the patentee becomes aware of an unintentional failure to timely pay the
maintenance fee and then intentionally delays filing a petition for reinstatement of the patent under 37 CFR 1.378. See MPEP 2590.
NOTE: Where the petition under 37 CFR 1.378 is filed more than two years after the date the patent expired for nonpayment of the
maintenance fee, the United States Patent and Trademark Office requires an additional explanation of the circumstances surrounding the
delay that establishes the entire delay was unintentional. This requirement is in addition to the requirement to provide a statement that the
entire delay was unintentional. See Clarification of the Practice for Requiring Additional Information in Petitions Filed in Patent Applications
and Patents Based on Unintentional Delay, 85 FR 12222 (March 2, 2020). See MPEP 711.03(c)(II)(C)-(F) for additional guidance on the
information required to establish that the entire delay was unintentional.
Because this petition under 37 CFR 1.378 is being filed more than two years after the date the patent expired for nonpayment of the
maintenance fee, additional explanation of the circumstances surrounding the delay that establishes the entire delay was
unintentional is enclosed herewith.
PTO/SB/66 (12-20)
Approved for use through 09/30/2021. OMB 0651-0016
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.
PETITION TO ACCEPT UNINTENTIONALLY DELAYED PAYMENT
OF MAINTENANCE FEE IN AN EXPIRED PATENT (37 CFR 1.378(b))
Page 4 of 4
11. PETITIONER REQUESTS THAT THE DELAYED PAYMENT OF THE MAINTENANCE FEE BE ACCEPTED AND THE PATENT BE REINSTATED.
___________________________________ _______________________________________________________
Date Signature(s) of Petitioner
___________________________________ _______________________________________________________
Registration Number, if applicable Typed or Printed Name
___________________________________
Telephone Number
__________________________________________________________________________________________________________________
Address
__________________________________________________________________________________________________________________
Address
37 CFR 1.378(c) states: “Any petition under this section must be signed in compliance with § 1.33(b).”
12. ENCLOSURES
Maintenance Fee Payment
Petition fee under 37 CFR 1.17(m) (fee for filing the maintenance fee petition)
Additional sheet(s) containing statement establishing unintentional delay
Other: ________________________________________________________________________________________________________
_____________________________________________________________________________________________________________
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:
1. 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 disclosure of these records is
required by the Freedom of Information Act.
2. 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.
3. 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.
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, pursuant to the Patent Cooperation Treaty.
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.S.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.S.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 inspection 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.
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MAINTENANCE FEE IN AN EXPIRED PATENT (37 CFR (USPTO)

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Completed 17 July 2021

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