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Form PTO-1449 

U.S. DEPARTMENT OF COMMERCE 
PATENT AND TRADEMARK OFFICE 

INFORMATION DISCLOSURE 
STATEMENT BY APPLICANT 

(Use several sheets if necessary) 



Atty. Docket No. 
010520 



Serial No. 



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n. 



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Applicant: Donald P. Coleman 



Filing Date 



Group 



U. S. PATENT DOCUMENTS 



Examiner 
Initial 




Document 
Number 


Issue 
Date 


Patentee 


Class 


Sub- 
Class 


Filing 
Date 






4,736,294 


04/05/88 


Gwyneth Gill et al. 








, 

— 




4,914,587 


04/03/90 


Larry R. Clouse 












5,241,466 


08/31/93 


Victor A. Perry et al. 












5,323,315 


06/21/94 


Lawrence Highbloom 












5,544,255 


08/06/96 


Christopher P.K. Smithies et al. 












5,615,268 


03/25/97 


Stephen F. Bisbee et al. 












5,699,528 


12/16/97 


Edward J. Hogan 












5,765,144 


06/09/98 


Kimberly Larche et al. 












5,790,260 


08/04/98 


Charles G. Myers 












5,870,721 


02/09/99 


Jeffrey A. Norris 












5,930,759 


07/27/99 


James G. Moore et al. 












5,930,778 


07/27/99 


Terry L. Geer 












5,963,925 


10/05/99 


Ray Kolling et al. 












5,987,434 


11/16/99 


Richard Marc Libman 












6,021,202 


02/01/00 


Milton Anderson et al. 












6,029,887 


02/29/00 


Nobuo Furuhashi et al. 












6,043,819 


03/28/00 


Thomas Q. LeBrun et al. 












6,076,072 


06/13/00 


Richard Marc Libman 












6,105,007 


08/15/00 


Jeffrey A. Norris 












6,131,810 


10/17/00 


Lawrence Weiss et al. 








OS 




6,185,683 


02/06/01 


Kari L. Ginter et al. 












6,209,095 


03/27/01 


Milton Anderson et al. 












6,223,983 


05/01/01 


Donald W. Kjonaas et al. 












6,237,096 


05/22/01 


Stephen F. Bisbee et al. 












6,266,054 


07/24/01 


Daryl T. Lawton et al. 









Rev. Date November 29, 2001 

PI-7T9146 vl 0226540-0102 




Page 2 of 2 



U. S. PATENT DOCUMENTS 



Examiner 
Initial 




Document 
Number 


Issue 
Date 


Patentee 


Class 


Sub- 
Class 


Filing 
Date 






6,266,666 


07/24/01 


Evan Ireland et al. 












6,270,457 


08/07/01 


Gust H. Bardy 












6,279,008 


08/21/01 


Tony Chun Tung Ng et al. 








FOREIGN PATEf* 


T OR PUBLISHED FOREIGN PATENT AP 


PLICATION 


Examiner 
Initial 




Document 
Number 


Public. 
Date 


County or 
Patent Office 


Class 


Sub- 
Class 


Transl 

Y N 

























































OTHER DOCUMENTS 

(Including Author. Title, Date, Relevant Pages. Place of Publication) 









Loan Securitization, http://www.mortgage-investments.com/lnvestment in mortgages/loan securitization htm, 
10/17/01 








A Simplified Example of Small Business Loan Securitization, http://minneapolisfed ora/pubs/region/95-09/reg959- 
1 html, 10/17/01 












Date Considered i 

UjuJI^ io , ran 


EXAMINER: Initial cation considered. Draw line through citation if not in conformance and noi considered. Include copy of this form with next communication 
to applicant. 



PTO/SB/08A (10-01) 
Approved for use through 10/31/2002. OMB 0651-0031 
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 contains a 

valid OMB control number 



Substitute for form 1449A/PTO 

INFORMATION DISCLOSURE 
STATEMENT BY APPLICANT 

(use as many sheets as necessary) 


Complete if Known 


Application Number 


09/998,152 


Filing Date 


November 30, 2001 


First Named Inventor 


Coleman 


Art Unit 


2171 


Examiner Name 




Sheet 1 of 2 


Attorney Docket Number 


010520 



U.S. PATENT DOCUMENTS 


Examiner 
Initials* 


Cite 
No. 1 


Document Number 


Publication Date 
MM-DD-YYYY 


Name of Patentee or 
Applicant of Cited Document 


Pages, Columns, Lines, Where 
Relevant Passages or Relevant 
Figures Appear 


Number - Kind Code 2 (if known) 






5,995,947 


11/30/99 


Fraser, et al. 








US 2001/0047326 A1 


11/29/01 


Broadbent et al. 






































RECEf 
























. II IN 1 8 




































HIIiBffillia'BiSiliM 











































































/ED 



inter 2100 



FOREIGN PATENT DOCUMENTS 




Examiner 
Initials* 


Cite 
No. 1 


Foreiqn Patent Document 

Country Code 3 -Number 4 -Kind Code 5 
(if known) 


Publication Date 
MM-DD-YYYY 


Name of Patentee or 
Applicant of Cited 
Document 


Pages, Columns, Lines, 

Where Relevant 
Passages or Relevant 
Figures Appear 


T 8 






























































^7 











Examiner 
Signature 



Date 

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. 

1 Applicant's unique citation designation number (optional). 2 See Kinds Codes of USPTO Patent Documents at www.uspto.Qov or MPEP 901.04. 3 
Enter Office that issued the document, by the two-letter code (WIPO Standard ST.3). 4 For Japanese patent documents, the indication of the year of 
the reign of the Emperor must precede the serial number of the patent document. 5 Kind of document by the appropriate symbols as indicated on the 
document under WIPO Standard ST. 1 6 if possible. 6 Applicant is to place a check mark here if English language Translation is attached. 

Burden Hour Statement: This form is estimated to take 2.0 hours to complete. Time will vary 
depending upon the needs of the individual case. Any comments on the amount of time you are 
required to complete this form should be sent to the Chief Information Officer, U.S. Patent and 
Trademark Office, Washington, NOT SEND FEES OR COMPLETED FORMS TO THIS 
ADDRESS. SEND TO: Assistant Commissioner for Patents, Washington, P1-1018230 vi 0226540-0102 




• 



PTO/SB/08A (10-01) 
Approved for use through 10/31/2002. OMB 0651-0031 
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 contains a 

valid OMB control number 



Substitute for form 1449A/PTO 

INFORMATION DISCLOSURE 
STATEMENT BY APPLICANT 

(use as many sheets as necessary) 


Complete if Known 


Application Number 


09/998,152 


Filing Date 


November 30, 2001 


First Named Inventor 


Coleman 


Art Unit 


2171 


Examiner Name 




Sheet 2 Of 2 


Attorney Docket Number 


010269 ! 



OTHER PRIOR ART -- NON PATENT LITERATURE DOCUMENTS 



Examiner 
Initials* 



Cite 
No. 1 



Include name of the author (in CAPITAL LETTERS), title of the article (when appropriate), title of the 
item (book, magazine, journal, serial, symposium, catalog, etc.), date, page(s), volume-issue 
number(s), publisher, city and/or country where published 



Techno ogy Cen 



er2100 



Examiner 






Date 






Signature 


— w 




Considered 


i 



'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. 

1 Applicant's unique citation designation number (optional). 2 Applicant is to place a check mark here if English language 
Translation is attached. 

Burden Hour Statement: This form is estimated to take 2.0 hours to complete. Time will vary depending upon the needs of the 
individual case. Any comments on the amount of time you are required to complete this form should be sent to the Chief 
Information Officer, U.S. Patent and Trademark Office, Washington, DC 20231. DO NOT SEND FEES OR COMPLETED FORMS 
TO THIS ADDRESS. SEND TO: Assistant Commissioner for Patents, Washington, DC 20231 .