PTO/AIA/96 Statement Under 37 CFR 3.73(c)

PTO/AIA/96 (08-12)
Approved for use through 01/31/2013. 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 displays a valid OMB control number.

STATEMENT UNDER 37 CFR 3.73(c)

Applicant/Patent Owner: _______________________________________________________________________________
Application No./Patent No.: _______________________________ Filed/Issue Date: _______________________________
Titled: ______________________________________________________________________________________________
_________________________________________, a _________________________________________________________
(Name of Assignee)

(Type of Assignee, e.g., corporation, partnership, university, government agency, etc.)

states that, for the patent application/patent identified above, it is (choose one of options 1, 2, 3 or 4 below):
1.

The assignee of the entire right, title, and interest.

2.

An assignee of less than the entire right, title, and interest (check applicable box):
The extent (by percentage) of its ownership interest is ____________%. Additional Statement(s) by the owners
holding the balance of the interest must be submitted to account for 100% of the ownership interest.
There are unspecified percentages of ownership. The other parties, including inventors, who together own the entire
right, title and interest are:

Additional Statement(s) by the owner(s) holding the balance of the interest must be submitted to account for the entire
right, title, and interest.
3.
The assignee of an undivided interest in the entirety (a complete assignment from one of the joint inventors was made).
The other parties, including inventors, who together own the entire right, title, and interest are:

Additional Statement(s) by the owner(s) holding the balance of the interest must be submitted to account for the entire
right, title, and interest.
4.
The recipient, via a court proceeding or the like (e.g., bankruptcy, probate), of an undivided interest in the entirety (a
complete transfer of ownership interest was made). The certified document(s) showing the transfer is attached.
The interest identified in option 1, 2 or 3 above (not option 4) is evidenced by either (choose one of options A or B below):
A.

An assignment from the inventor(s) of the patent application/patent identified above. The assignment was recorded in
the United States Patent and Trademark Office at Reel ____________, Frame ____________, or for which a copy
thereof is attached.

B.

A chain of title from the inventor(s), of the patent application/patent identified above, to the current assignee as follows:
1. From: _________________________________________ To: _________________________________________
The document was recorded in the United States Patent and Trademark Office at
Reel ____________, Frame ____________, or for which a copy thereof is attached.
2. From: _________________________________________ To: _________________________________________
The document was recorded in the United States Patent and Trademark Office at
Reel ____________, Frame ____________, or for which a copy thereof is attached.

[Page 1 of 2]
This collection of information is required by 37 CFR 3.73(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 and 1.14. This collection is estimated to take 12 minutes 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: 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/AIA/96 (08-12)
Approved for use through 01/31/2013. 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 displays a valid OMB control number.

STATEMENT UNDER 37 CFR 3.73(c)
3. From: _________________________________________ To: _________________________________________
The document was recorded in the United States Patent and Trademark Office at
Reel ____________, Frame ____________, or for which a copy thereof is attached.
4. From: _________________________________________ To: _________________________________________
The document was recorded in the United States Patent and Trademark Office at
Reel ____________, Frame ____________, or for which a copy thereof is attached.
5. From: _________________________________________ To: _________________________________________
The document was recorded in the United States Patent and Trademark Office at
Reel ____________, Frame ____________, or for which a copy thereof is attached.
6. From: _________________________________________ To: _________________________________________
The document was recorded in the United States Patent and Trademark Office at
Reel ____________, Frame ____________, or for which a copy thereof is attached.
Additional documents in the chain of title are listed on a supplemental sheet(s).

As required by 37 CFR 3.73(c)(1)(i), the documentary evidence of the chain of title from the original owner to the
assignee was, or concurrently is being, submitted for recordation pursuant to 37 CFR 3.11.
[NOTE: A separate copy (i.e., a true copy of the original assignment document(s)) must be submitted to Assignment
Division in accordance with 37 CFR Part 3, to record the assignment in the records of the USPTO. See MPEP 302.08]

The undersigned (whose title is supplied below) is authorized to act on behalf of the assignee.
_______________________________________________________
Signature

_____________________________
Date

_______________________________________________________
Printed or Typed Name

_____________________________
Title or Registration Number

[Page 2 of 2]

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.