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United States Patent and Trademark Office 



UNITED STATES DEl'AKTMEN 1 OF COMMERCE 
1'nikil States l'atint and Trademark Office 

Address: COMMISSIONER FOR PATENTS 



NOTICE OF ALLOWANCE AND FEE(S) DUE 



VINSON & ELKINS, L.L.P. 
1001 FANNIN STREET 
2300 FIRST CITY TOWER 
HOUSTON, TX 77002-6760 



WEISBERGER, RICHARD C 



PAPER NUMBER 



DATE MAILED: 04/10/2008 



| APPUICATIONNO. | FIUING DATE ] FIRST NAMED INVENTOR | ATTORNEY DOCKET NO. | CONFIRMATION NO. | 

10/077,174 02/15/2002 Austin M. Long III ALI515/4-3 9524 

TITLE OF INVENTION: PROCESS AND SYSTEM FOR DETERMINING CORRELATION OF PUBLIC AND PRIVATE MARKETS AND RISK OF 
PRIVATE MARKETS 

| APPUN. TYPE | SMALL ENTITY | ISSUE FEE DUE | PUBLICATION FEE DUE | PREV. PAID ISSUE FEE | TOTAL FEEfS; DUE | DATE DUE | 

nonprovisional YES $720 $300 $0 $1020 07/10/2008 

THE APPLICATION IDENTIFIED ABOVE HAS BEEN EXAMINED AND IS ALLOWED FOR ISSUANCE AS A PATENT. 
PROSECUTION ON THE MERITS JS CLOSED . THIS NOTICE OF ALLOWANCE IS NOT A GRANT OF PATENT RIGHTS. 
THIS APPLICATION IS SUBJECT TO WITHDRAWAL FROM ISSUE AT THE INITIATIVE OF THE OFFICE OR UPON 
PETITION BY THE APPLICANT. SEE 37 CFR 1.313 AND MPEP 1308. 

THE ISSUE FEE AND PUBLICATION FEE (IF REQUIRED) MUST BE PAID WITHIN THREE MONTHS FROM THE 
MAILING DATE OF THIS NOTICE OR THIS APPLICATION SHALL BE REGARDED AS ABANDONED. THIS 
STATUTORY PERIOD CANNOT BE EXTENDED . SEE 35 U.S.C. 151. THE ISSUE FEE DUE INDICATED ABOVE DOES 
NOT REFLECT A CREDIT FOR ANY PREVIOUSLY PAID ISSUE FEE IN THIS APPLICATION. IF AN ISSUE FEE HAS 
PREVIOUSLY BEEN PAID IN THIS APPLICATION (AS SHOWN ABOVE), THE RETURN OF PART B OF THIS FORM 
WILL BE CONSIDERED A REQUEST TO REAPPLY THE PREVIOUSLY PAID ISSUE FEE TOWARD THE ISSUE FEE NOW 
DUE. 



HOW TO REPLY TO THIS NOTICE: 

I. Review the SMALL ENTITY status shown above. 

If the SMALL ENTITY is shown as YES, verify your current 
SMALL ENTITY status: 

A. If the status is the same, pay the TOTAL FEE(S) DUE shown 
above. 

B. If the status above is to be removed, check box 5b on Part B - 
Fee(s) Transmittal and pay the PUBLICATION FEE (if required) 
and twice the amount of the ISSUE FEE shown above, or 



If the SMALL ENTITY is shown as NO: 



A. Pay TOTAL FEE(S) DUE shown above, or 



B. If applicant claimed SMALL ENTITY status before, or is now 
claiming SMALL ENTITY status, check box 5a on Part B - Fee(s) 
Transmittal and pay the PUBLICATION FEE (if required) and 1/2 
the ISSUE FEE shown above. 



II. PART B - FEE(S) TRANSMITTAL, or its equivalent, must be completed and returned to the United States Patent and Trademark Office 
(USPTO) with your ISSUE FEE and PUBLICATION FEE (if required). If you are charging the fee(s) to your deposit account, section "4b" 
of Part B - Fee(s) Transmittal should be completed and an extra copy of the form should be submitted. If an equivalent of Part B is filed, a 
request to reapply a previously paid issue fee must be clearly made, and delays in processing may occur due to the difficulty in recognizing 
the paper as an equivalent of Part B. 

III. All communications regarding this application must give the application number. Please direct all communications prior to issuance to 
Mail Stop ISSUE FEE unless advised to the contrary. 

IMPORTANT REMINDER: Utility patents issuing on applications filed on or after Dec. 12, 1980 may require payment of 
maintenance fees. It is patentee's responsibility to ensure timely payment of maintenance fees when due. 



PTOL-85 (Rev. 08/07) Approved for use through 08/3 1/2010. 



Page 1 of 3 



PART B - FEE(S) TRANSMITTAL 

Complete and send this form, together with applicable fee(s), to: Mail Mail Stop ISSUE FEE 

Commissioner for Patents 
P.O. Box 1450 

Alexandria, Virginia 22313-1450 
or Fax (571)-273-2885 



be used for transmitting the ISSUE 11,1: 
e including the Patent, advance orders anu noiuicauo 
rected otherwise in Block 1, by (a) specifying a new 



I I I, I 1( vl'ION 111 



required). Blocks 1 tin. nigh ? should he completed whf 
nee rees will be mailed to the current correspondence address 
e address: and/or (b) indicating a separate "FEE ADDRESS" 1 



be used for domestic mailings of the 
,)t he used for any other accompanying 
n assignment or formal drawing, must 



VINSON & ELKINS, L.L.P. 
1001 FANNIN STREET 
2300 FIRST CITY TOWER 



heels) Transmittal. This certificate c 
papers. Each additional paper, such 
have its own certificate of mailing or 

Certificate of Mailing or Transmission 

I hereby certik that this heels) Transmittal is being deposited with the United 
Slate-. Postal Sen ice with sufficient postage for first class mail in an envelope 
addressed to the Mail Slop ISSUE 11.1. address abo\e. or beiim facsimile 
transmitted to the USPTO (571 ) 273-2885, on the date indicated below. 



HOUSTON, TX 77002-6760 








| APPLICATION NO. | FILING DATE j FIRST NAMED INVENTOR | ATTORNEY DOCKET NO. | CONFIRMATION NO. 



10/077,174 02/15/2002 Austin M. Long III ALI515/4-3 9524 

TITLE OF INVENTION: PROCESS AND SYSTEM FOR DETERMINING CORRELATION OF PUBLIC AND PRIVATE MARKETS AND RISK OF 
PRIVATE MARKETS 



APPLN. TYPE 



SMALL ENTITY 



ISSUE FEE DUE PUBLICATION FEE DUE PREV. PAID ISSUE FEE TOTAL PHI TS ) Dl H • 



\\l isui l«il R. RICHARD C 



CFR I..t63). 

□ c 



>r indication of "Fee Address" (37 



>B/47: 1 



CLASS-SUBCLASS 



2. For printing on the patent front page, list 



(2) the name of a single firm (having 
registered attorney or agent) and the r 
2 registered patent attorney s or agents 
listed, no name will be printed. 



3. \ss|(i\| I NAME AND RESIDENT 'E DATA TO BE PRINTED ON THE PATENT (print or type) 

PLEASE NO 1 
recordation as 

(A) NAME OF ASSIGNEE (B) RESIDENCE: (CITY and STATE OR COUNTRY) 



Please check the appropriate assignee category or categories (will not be printed on the patent) : Q Individual Q Corporation or other private group entity' Q Government 

4a. The following fee(s) are submitted: 4b. Payment of Fee(s ): (Please first reapply any previously paid issue fee shown above) 

Q Issue Fee J A check is enclosed. 

□ Publication Fee (No small entity discount permitted) □ Payment by credit card. Form PTO-2038 is attached. 

Q Advance Order - # of Copies 



overpayment, to Deposit Account Number _ 



5. Change in Entity Status (from statu-, indicated above) 

□ a. Applicant claims SMALL ENTITY status. See 37 CFR 1.27. □ b. Applicant is no longer claiming SMALL ENTITY status. See 37 CFR 1.27(g)(2). 



>r the assignee or other parly in 



Authorized Signature 
Typed or printed name _ 



This collection of infoi mat ion i ; required by 37 (TP, 1 .3 I I . The information is required to obtain or retain a benefit by the public which is to file (and by the I 'SPTO to process) 
an application. ( 'onfidcnlialily is gov erned by 3 s E.S.C. I 22 and 37 CI R 1 . 14. This col led ion is estimated to take 12 minutes to complete, inc hiding gathering, preparing, and 

submitting the compl i d pplicali n I mi th ESP'I'O Pirn ill va I | ndin n nil n li i ! i il n mm nl nth H I m 1 quire to complete 

this form and/or susseslions for reducing this burden, should be senl to the ( liiel Information Officer. I .S. Patent and Trademark Office. I \S. Department of Commerce. P.O. 
la 1450. Alexandra. Vircini 2 3 1 I45i DO NOP SEND FEES OR COMPLETED FORMS TO Till vDDRES il D TO: ( mini ner for Paten P.O. li 1450 
Alexandria. Virginia 22313-1450. 

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. 



PTOL-85 (Rev. 08/07) Approved for use through 08/3 1/2010. 



OMB 0651-0033 U.S. Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE 



APPLICATION NO. FILING DATE FIRST NAMED INVENTOR ATTORNEY DOCKET NO. CONFIRMATION NO. 



02/15/2002 Austin M. Long III 



1,4/1 <, 12' >'>K 



VINSON & ELKINS, L.L.P. weisberger, richard c 

1001 FANNIN STREET j art unit ] paper number 

2300 FIRST CITY TOWER 1 — 1 

HOUSTON, TX 77002-6760 date mailed: 04/10/2008 



Determination of Patent Term Adjustment under 35 U.S.C. 154 (b) 

(application filed on or after May 29, 2000) 

The Patent Term Adjustment to date is 1053 day(s). If the issue fee is paid on the date that is three months after the 
mailing date of this notice and the patent issues on the Tuesday before the date that is 28 weeks (six and a half 
months) after the mailing date of this notice, the Patent Term Adjustment will be 1053 day(s). 

If a Continued Prosecution Application (CPA) was filed in the above-identified application, the filing date that 
determines Patent Term Adjustment is the filing date of the most recent CPA. 

Applicant will be able to obtain more detailed information by accessing the Patent Application Information Retrieval 
(PAIR) WEB site (http://pair.uspto.gov). 

Any questions regarding the Patent Term Extension or Adjustment determination should be directed to the Office of 
Patent Legal Administration at (571)-272-7702. Questions relating to issue and publication fee payments should be 
directed to the Customer Service Center of the Office of Patent Publication at l-(888)-786-0101 or 
(571)-272-4200. 



PTOL-85 (Rev. 08/07) Approved for use through 08/3 1/2010. 



Page 3 of 3 





Application No. 


Applicant(s) 


Notice of Allowability 


10/077,174 


LONG ET AL. 


Examiner 


Art Unit 






Richard C. Weisberger 


3693 





~ The MAILING DATE of this communication appears on the cover sheet with the correspondence address- 

All claims being allowable, PROSECUTION ON THE MERITS IS (OR REMAINS) CLOSED in this application. If not included 
herewith (or previously mailed), a Notice of Allowance (PTOL-85) or other appropriate communication will be mailed in due course. THIS 
NOTICE OF ALLOWABILITY IS NOT A GRANT OF PATENT RIGHTS. This application is subject to withdrawal from issue at the initiative 
of the Office or upon petition by the applicant. See 37 CFR 1.313 and MPEP 1308. 

1 . This communication is responsive to 12/19/2007 . 

2. The allowed claim(s) is/are 2-14 . 

3. □ Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f). 

a) □ All b)DSome* c) □ None of the: 

1. □ Certified copies of the priority documents have been received. 

2. □ Certified copies of the priority documents have been received in Application No. . 

3. □ Copies of the certified copies of the priority documents have been received in this national stage application from the 

International Bureau (PCT Rule 17.2(a)). 
* Certified copies not received: . 

Applicant has THREE MONTHS FROM THE "MAILING DATE" of this communication to file a reply complying with the requirements 
noted below. Failure to timely comply will result in ABANDONMENT of this application. 
THIS THREE-MONTH PERIOD IS NOT EXTENDABLE. 

4. □ A SUBSTITUTE OATH OR DECLARATION must be submitted. Note the attached EXAMINER'S AMENDMENT or NOTICE OF 

INFORMAL PATENT APPLICATION (PTO-152) which gives reason(s) why the oath or declaration is deficient. 

5. □ CORRECTED DRAWINGS ( as "replacement sheets") must be submitted. 

(a) □ including changes required by the Notice of Draftsperson's Patent Drawing Review ( PTO-948) attached 

1 ) □ hereto or 2) □ to Paper No./Mail Date . 

(b) □ including changes required by the attached Examiner's Amendment / Comment or in the Office action of 

Paper No./Mail Date . 

Identifying indicia such as the application number (see 37 CFR 1.84(c)) should be written on the drawings in the front (not the back) of 
each sheet. Replacement sheet(s) should be labeled as such in the header according to 37 CFR 1.121(d). 

6. □ DEPOSIT OF and/or INFORMATION about the deposit of BIOLOGICAL MATERIAL must be submitted. Note the 

attached Examiner's comment regarding REQUIREMENT FOR THE DEPOSIT OF BIOLOGICAL MATERIAL. 



Attachment(s) 

1 . □ Notice of References Cited (PTO-892) 

2. □ Notice of Draftperson's Patent Drawing Review (PTO-948) 

3. □ Information Disclosure Statements (PTO/SB/08), 

Paper No./Mail Date 

4. □ Examiner's Comment Regarding Requirement for Deposit 

of Biological Material 



5. □ Notice of Informal Patent Application 

6. □ Interview Summary (PTO-413), 

Paper No./Mail Date . 

7. □ Examiner's Amendment/Comment 

8. □ Examiner's Statement of Reasons for Allowance 

9. □ Other . 



PTOL-37 (Rev. 08-06) 



Notice of Allowability 



Part of Paper No./Mail Date 20080316 



Application/Control Number: 1 0/077, 1 74 Page 2 

Art Unit: 3693 

Allowable Subject Matter 

The following is an examiner's statement of reasons for allowance: 

The prior art fails to teach the evaluation of private investment risk versus the public markets, 
correlation with the public markets and excess return over the public markets as set forth in claim 1.. 

Examples of relevant prior art include: 

Chasing hot funds: The effects of relative performance on portfolio choice 
Bagnoli, Mark; Watts, Susan G 

Financial Management v29n3 PP: 31-50 Autumn 2000 
US 5812987 



Any comments considered necessary by applicant must be submitted no later than the payment of 
the issue fee and, to avoid processing delays, should preferably accompany the issue fee. Such 
submissions should be clearly labeled "Comments on Statement of Reasons for Allowance." 

Any inquiry concerning this communication or earlier communications from the examiner should 
be directed to Richard C. Weisberger whose telephone number is 571 272 6753. The examiner can 
normally be reached on 8:30-5:00. 

If attempts to reach the examiner by telephone are unsuccessful, the examiner's supervisor, James 
Kramer can be reached on 571 272 6783. The fax phone number for the organization where this 
application or proceeding is assigned is 571-273-8300. 



Application/Control Number: 1 0/077, 1 74 Page 3 

Art Unit: 3693 

Information regarding the status of an application may be obtained from the Patent Application 
Information Retrieval (PAIR) system. Status information for published applications may be obtained 
from either Private PAIR or Public PAIR. Status information for unpublished applications is available 
through Private PAIR only. For more information about the PAIR system, see http://pair- 
direct.uspto.gov. Should you have questions on access to the Private PAIR system, contact the Electronic 
Business Center (EBC) at 866-217-9197 (toll-free). If you would like assistance from a USPTO Customer 
Service Representative or access to the automated information system, call 800-786-9199 (IN USA OR 
CANADA) or 571-272-1000. 



/Richard C Weisberger/ 
Primary Examiner, Art Unit 3693 



Richard C Weisberger 
Primary Examiner 
Art Unit 3693