EX-10.88 15 a99978exv10w88.txt EXHIBIT 10.88 EXHIBIT 10.88 ASSIGNMENT AGREEMENT ASSIGNMENT AGREEMENT ("Agreement") dated as of June 1,2004 by and between EMC Corporation ("EMC") and MTI Technology Corporation ("MTI"). In consideration of continuing discussions between EMC and MTI and for other good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, EMC and MTI hereby agree as follows: MTI hereby assigns to EMC, all of MTI's right, title and interest in and to all patents and patent applications of MTI (the "Transferred Property"), including without limitation those patents and patent applications listed on Annex A to this Agreement. Each of EMC and MTI represents and warrants to the other that the execution, delivery and performance of this Agreement have duly authorized by all requisite corporate action of such party and that, upon such execution and delivery, this Agreement shall be binding and enforceable against such party. MTI represents and warrants to EMC that MTI is the sole owner of all Transferred Property and that no Transferred Property is subject to any encumbrance of any kind, including without limitation any license, cross license, covenant not to sue, consent, decree, stipulation, judgment, order, assignment of rights, royalty, payment or other similar restriction or obligation. MTI further represents and warrants to EMC that there is no pending or, to MTI's knowledge, threatened claim, suit, action or other proceeding relating to or arising in connection with any of the Transferred Property. MTI agrees that it will transfer to EMC any relevant documents or other tangible information relating to the Transferred Property and will execute any additional documents reasonably requested by EMC to give effect to the transactions contemplated hereby. Nothing in this Agreement, expressed or implied, is intended or shall be construed to confer upon, or to give to, any person, firm, corporation or other entity, other than EMC, MTI and their respective successors and permitted assigns, any right or remedy under or by reason of this Agreement or any term, covenant or representation contained herein, and all of the terms, covenants, promises, representations and warranties and agreements contained in this Agreement shall be for the sole and exclusive benefit of EMC, MTI and their respective successors and permitted assigns. EMC CORPORATION By: /s/ Michael Cody -------------------------------------- Michael Cody Vice President, Corporate Development MTI TECHN0LOGY CORPORATION By: Thomas R. Raimondi, Jr. ------------------------------------- Thomas R. Raimondi, Jr. Chairman of the Board, President and CEO ANNEX A PATENTS AND PATENT APPLICATIONS
TTC REF APPLICATION COUNTRY NO. ATTY(S) HANDLING CLIENT'S REF TITLE INVENTOR FILING DATE - ----------------- ------------ ------------------------ --------------------- ----------- 013966-000820US MTI-025 System & Method for Gajjar, Kumar 08/891213 GTG (PCH) Dynamic Alignment of Henson, Larry P. 07/10/1997 Associated Portions of a Code Word from a Plurality of Asynchronous... 013966-000830US SF2/025 Data Flow Controller & Gajjar, Kumar 09/399581 GTG (PCH) (Parent) Method Henson, Larry P. 09/20/1999 013966-000840US Systems & Methods for Gajjar, Kumar 10/140778 GTG (PCH) Dynamic Alignment of Henson, Larry P. 05/07/2002 Associated Portions of a Code Word from a Plurality of... 013966-001000DE A&M FOR POWERS, JAFFE 91907931.9 (PCH) CONTROLLING DATA HENSON, 04/03/1991 FLOW BETWEEN A JOHNSON COMPUTER & Glider, Joseph S. MEMORY Idleman, Thomas E. 013966-001000EP A&M FOR POWERS, JAFFE 91907931.9 (PCH) CONTROLLING DATA HENSON, 04/03/1991 FLOW BETWEEN A JOHNSON COMPUTER & Glider, Joseph S. MEMORY Idleman, Thomas E. 013966-001 000FR A&M FOR POWERS, JAFFE 91907931.9 (PCH) CONTROLLING DATA HENSON, 04/03/1991 FLOW BETWEEN A JOHNSON COMPUTER & Glider, Joseph S. MEMORY Idleman, Thomas E.
TTC REF COUNTRY PATENT NO. STATUS ATTY(S) HANDLING ISSUE DATE REMARKS - ----------------- ------------- --------------------------------------------------------------------------- 013966-000820US ###-###-#### Granted GTG (PCH) 09/21/1999 filing receipt 9/15/97 examiner communication 12/9/98 issue notification 9/16/99 assignee: Micro Technology Inc. soft copies 10-4-99 Response to Office Action: 02/26/1998 **Completed** Amendment: 11/16/1998 **Completed** Drawings Due: 11/18/1998 **Completed** Issue Fee Due: 11/18/1998 **Completed** Annuity: Next: 03/21/2007 013966-000830US ###-###-#### Granted GTG (PCH) 05/07/2002 filing receipt 10/18/99; 3-20-00; corrected filing receipt 4/24/00 Issue Notification 04/29/02 Soft copies 5/14/02 Response to Notice of Missing Parts (1st Deadline): 12/13/1999 **Completed** Amendment: 03/15/2000 **Completed** Response to Office Action: 11/17/2000 **Completed** Response to Final Office Action due (1st Deadline or Ext): 08/21/2001 **Completed** Issue Fee Due: 03/12/2002 **Completed** Annuity: Next: 11/07/2005 013966-000840US Pending Published GTG (PCH) Filing Receipt 6/11/02; Confirmation No. 6848 Assignee: MTI Technology Corporation Response to Notice of Missing Parts (1st Deadline): 08/04/2002 **Completed** 013966-001000DE 69130799.7 Granted (PCH) 01/20/1999 trans to client 9/18/01 per pch informed CPI 11/15/01 -fjc. Annuity: End of Grace (Final Deadline): 10/03/2004 013966-001000EP 0524247 Granted (PCH) 01/20/1999 trans to client 9/18/01 per pch; GB FR DE IT Old File: 013966-001000EP Response: 03/22/1994 **Completed** Response: 11/21/1996 **Completed** Response: 01/21/1997 **Completed** Response: 05/10/1997 **Completed** Response: 12/04/1997 **Completed** Amendment: 08/19/1998 **Completed** Response: 12/27/1998 **Completed** 013966-001 000FR FR 0524247 Granted (PCH) 01/20/1999 trans to client 9/18/01 per pch informed CPI 11/15/01-fjc. Annuity: End of Grace (Final Deadline): 10/03/2004 **Completed** Annuity: Next: 04/03/2005
1
TTC REF APPLICATION COUNTRY NO. ATTY(S) HANDLING CLIENT'S REF TITLE INVENTOR FILING DATE - ----------------- ------------ ------------------------ --------------------- ----------- 013966-001000GB A&M FOR POWERS, JAFFE 91907931.9 (PCH) CONTROLLING DATA HENSON, 04/03/1991 FLOW BETWEEN A JOHNSON COMPUTER & Glider, Joseph S. MEMORY Idleman, Thomas E. 013966-001000IT A&M FOR POWERS, JAFFE 91907931.9 (PCH) CONTROLLING DATA HENSON, 04/03/1991 FLOW BETWEEN A JOHNSON COMPUTER & Glider, Joseph S. MEMORY Idleman, Thomas E. 013966-001000TW Apparatus And Method POWERS, JAFFE 79106579 (PCH) For Controlling Data HENSON, 08/08/1990 Flow Between A JOHNSON Computer And Memory Glider, Joseph S. Idleman, Thomas E. 013966-001000US Apparatus and Method POWERS, JAFFE 07/506703 (PCH) for Controlling Data HENSON, 04/06/1990 Flow Between a JOHNSON Computer and Memory Glider, Joseph S. Idleman, Thomas E. 013966-001020US MT-029,030 APPARATUS & POWERS, DAVID T. 08/422005 (PCH) METHOD FOR Jaffe, David H. 04/12/1995 CONTROLLING DATA Henson, Larry P. FLOW BETWEEN A Johnson III, Hoke S. COMPUTER & Glider, Joseph S. MEMORY DEVICES Idleman, Thomas E. 013966-001710US MTI-036 BACKGROUND SILOTI, ALEX 08/703112 (PCH) ARBITRATION 08/22/1996 MONITORING TO IMPROVE ACCESS ON LIGHTLY CONSUMED NETWORK 013966-002000CA MT-040 Reserved Cylinder for Hicksted, Richard L. 2223941 GTG (PCH) SCSI Device Write Back Glaser, Michael 06/04/1996 Cache
TTC REF COUNTRY PATENT NO. STATUS ATTY(S) HANDLING ISSUE DATE REMARKS - ----------------- ------------- --------------------------------------------------------------------------- 013966-001000GB GB 0524247 Granted (PCH) 01/20/1999 trans to client 9/18/01 per pch informed CPI 11/15/01-fjc. Annuity: End of Grace (Final Deadline): 10/03/2004 **Completed** Annuity: Next: 04/03/2005 013966-001000IT IT 0524247 Granted (PCH) 01/20/1999 trans to client 9/18/01 per pch informed CPI 11/15/01 -fjc. Annuity: End of Grace (Final Deadline): 10/03/2004 **Completed** Annuity: Next: 04/03/2005 013966-001000TW 51089 Granted (PCH) 01/13/1992 PCH says we handle annuities now that this is MTI case 1-16-03 asked PCH if this is still active and if we handle annuities 1-9-03(tls) informed CPI via annuity reminder 11/26/01-fjc. trans to client 9/18/01 per pch; Old File: 013966-001000TW client handles per telecon w/PCH 4-13-01 tls Response: 08/08/1991 **Completed** Annuity: Next: 09/10/2004 013966-001000US ###-###-#### Granted (PCH) 05/18/1993 was 173637P-10; 4yr. m.fee paid 8/29/96; 4yr. m.fee statement 9/96; 8yr. m.fee paid 9/12/00; 8yr. m.fee statement 9/00; trans. 2/28/10 per pch to client; returned to ttc 12/02 per fileroom/r.hylton Foreign Filing Deadline: 04/06/1991 Response to Office Action: 07/07/1992 **Completed** Issue Fee Due: 03/18/1993 **Completed** Annuity: Next: 11/18/2004 **Completed** 013966-001020US ###-###-#### Granted (PCH) 07/22/1997 4yr. m.fee paid 10/31/00; 4yr. m.fee statement 11/00; issue notification 7/1/97 soft copies 7/25/97 Response to Office Action: 01/30/1996 **Completed** Foreign Filing Deadline: 04/11/1996 **Completed** Drawings Due: 03/23/1997 **Completed** Issue Fee Due: 03/23/1997 **Completed** Annuity: Next: 01/22/2005 013966-001710US ###-###-#### Granted (PCH) 04/21/1998 was 13966N-17-1; 4yr. m.fee paid 9/4/01; 4yr. m.fee statement via USPTO website 2/19/02; filing receipt 10-15-96 issue notification 3/31/98 assignee: MTI Technology Corporation soft copies 4/24/98 Response to Office Action: 04/17/1997 **Completed** Drawings Due: 12/09/1997 **Completed** Issue Fee Due: 12/09/1997 **Completed** Annuity: Next: 10/21/2005 013966-002000CA Pending GTG (PCH) See EXAM action Exam/Art: 06/04/2001 **Completed** Request Examination: 06/04/2003 **Completed** Annuity: Next: 06/04/2004
2
TTC REF APPLICATION COUNTRY NO. ATTY(S) HANDLING CLIENT'S REF TITLE INVENTOR FILING DATE - ----------------- ------------ ------------------------ --------------------- ----------- 013966-002000DE MT-040 Reserved Cylinder for Hicksted, Richard L. 96919202.0 GTG (PCH) SCSI Device Write Back Glaser, Michael 06/04/1996 Cache 013966-002000EP MT-040 Reserved Cylinder for Hicksted, Richard L. 96919202.0 GTG (PCH) SCSI Device Write Back Glaser, Michael 06/04/1996 Cache 013966-002000FR MT-040 Reserved Cylinder for Hicksted, Richard L. 96919202.0 GTG (PCH) SCSI Device Write Back Glaser, Michael 06/04/1996 Cache 013966-002000GB MT-040 Reserved Cylinder for Hicksted, Richard L. 96919202.0 GTG (PCH) SCSI Device Write Back Glaser, Michael 06/04/1996 Cache 013966-002000PC MT-040 Reserved Cylinder for Hicksted, Richard L. 96/09463 GTG (PCH) SCSI Device Write Back Glaser, Michael 06/04/1996 Cache 013966-002000US MTI-040 Reserved Cylinder for Hicksted, Richard L. 08/464101 GTG (PCH) SCSI Device Write Back Glaser, Michael 06/05/1995 Cache 013966-002600DE M&A FOR ASSIGNING Jaffe, David H. 91906246.3 (PCH) SIGNATURES TO Idleman, Thomas E. 02/27/1991 IDENTIFY MEMBERS POWERS, DAVID T. OF A SET OF MASS Glider, Joseph S. STORAGE DEVICES 013966-002600EP M&A FOR ASSIGNING Jaffe, David H. 91906246.3 (PCH) SIGNATURES TO Idleman, Thomas E. 02/27/1991 IDENTIFY MEMBERS POWERS, DAVID T. OF A SET OF MASS Glider, Joseph S. STORAGE DEVICES 013966-002600FR M&A FOR ASSIGNING Jaffe, David H. 91906246.3 (PCH) SIGNATURES TO Idleman, Thomas E. 02/27/1991 IDENTIFY MEMBERS POWERS, DAVID T. OF A SET OF MASS Glider, Joseph S. STORAGE DEVICES 013966-002600GB M&A FOR ASSIGNING Jaffe, David H. 91906246.3 (PCH) SIGNATURES TO Idleman, Thomas E. 02/27/1991 IDENTIFY MEMBERS POWERS, DAVID T. OF A SET OF MASS Glider, Joseph S. STORAGE DEVICES
TTC REF APPLICATION COUNTRY NO. ATTY(S) HANDLING CLIENT'S REF TITLE INVENTOR FILING DATE - ----------------- ------------ ------------------------ --------------------- ----------- 013966-002600IT M&A FOR ASSIGNING Jaffe, David H. 91906246.3 (PCH) SIGNATURES TO Idleman, Thomas E. 02/27/1991 IDENTIFY MEMBERS POWERS, DAVID T. OF A SET OF MASS Glider, Joseph S. STORAGE DEVICES 013966-002600TW METHOD AND Jaffe, David H. 79106360 (PCH) APPARATUS FOR Idleman, Thomas E. 08/01/1990 ASSIGNING POWERS, DAVID T. SIGNATURES TO Glider, Joseph S. IDENTIFY MEMBERS OF A SET OF MASS STORAGE DEVICES 013966-002600US MTI-24 METHOD & Jaffe, David H. 07/501238 (PCH) APPARATUS FOR POWERS, DAVID T. 03/29/1990 ASSIGNING Glider, Joseph S. SIGNATURES TO IDELMAN, THOMAS E. IDENTIFY MEMBERS OF A SET OF MASS OF STORAGE DEVICES 013966-003520US MTI-35 APPARATUS & AGUILAR, GALE R. 08/918672 (PCH) METHOD FOR Idleman, Thomas E. 08/21/1997 IMPROVING WRITE- THROUGHPUT IN A REDUNDANT ARRAY OF MASS STORAGE DEVICES 013966-003900CA M01 Method and Apparatus Trang, Duc ###-###-#### (PCH) for Storing and 04/17/1996 Retrieving Error Check Information 013966-003900EP M01 METHOD & Trang, Duc 96912857.8 (PCH) APPARATUS FOR 04/17/1996 STORING & RETRIEVING ERROR CHECK INFORMATION 013966-003900PC M01 METHOD & Trang, Duc 96/05342 (PCH) APPARATUS FOR 04/17/1996 STORING & RETRIEVING ERROR CHECK INFORMATION
TTC REF COUNTRY PATENT NO. STATUS ATTY(S) HANDLING ISSUE DATE REMARKS - ----------------- ------------- --------------------------------------------------------------------------- 013966-002600IT IT 0521924 Granted (PCH) 01/17/2001 informed CPI 5/16/01-fjc. Annuity: End of Grace (Final Deadline): 08/27/2004 **Completed** Annuity: Next: 02/27/2005 013966-002600TW 47627 Granted (PCH) 09/19/1991 trans to client 9/18/01 per pcn; (not filed by TTKC) Old File: 013966-002600TW informed CPI 1/15/02-fjc. Annuity: Next: 06/10/2004 013966-002600US ###-###-#### Granted (PCH) 06/28/1994 4yr. m.fee paid 9/22/97; 4yr. m.fee stmt 10/20/97 ;Client handles m.fees Foreign Filing Deadline: 03/29/1991 **Completed** Annuity: Next: 12/28/2005 **Completed** 013966-003520US ###-###-#### Granted (PCH) 02/02/1999 4yr m.fee paid 8/1/02; filing receipt 10/9/97 issue notification 1/20/99 soft copies 2/5/99; Response to Office Action: 03/05/1998 **Completed** Amendment: 07/16/1998 **Completed** Drawings Due: 10/20/1998 **Completed** Issue Fee Due: 10/20/1998 **Completed** Annuity: Next: 08/02/2006 013966-003900CA Pending (PCH) Was 13966n Exam/Art: 04/17/2001 **Completed** Request Examination: 04/17/2003 **Completed** Response to Office Action: 09/30/2003 **Completed** Annuity: Next: 04/17/2005 013966-003900EP Pending (PCH) Designating DE FR GB was 13966n Annuity: End of Grace (Final Deadline): 10/17/2004 013966-003900PC Pending Nat. Phase (PCH) CA EP JP was 13966n Chapter 2 Demand (Due): 11/18/1996 **Completed** Response to Written Opinion (Optional): 04/28/1997 Chapter 2 National Phase Deadline: 10/18/1997 **Completed**
4
TTC REF APPLICATION PATENT COUNTRY NO. NO. ATTY(S) HANDLING CLIENT'S REF TITLE INVENTOR FILING DATE ISSUE DATE - ------------------- ------------- ----------------- --------------- -------------------------- 013966-003900US M01 METHOD & Trang, Duc 08 ###-###-#### (PCH) APPARATUS FOR 04/18/1995 05/13/1997 STORING & RETRIEVING ERROR CHECK INFORMATION 013966-004000CA M03 Disk Array System Gajjar, Kumar ###-###-#### (PCH) Including a 05/21/1996 Dual-Ported Staging Memory & Concurrent Redundancy Calculation Capability 013966-004000EP M03 Disk Array Gajjar, Kumar 96920408.0 (PCH) System Including 05/21/1996 a Dual-Ported Staging Memory & Concurrent Redundancy Calculation Capability 013966-004000PC MTI-03 Disk Array Gajjar, Kumar (PCH) System Including 96/07484 a Dual-Ported 05/21/1996 Staging Memory & Concurrent Redundancy Calculation Capability 013966-00401OUS M03 DISK ARRAY SYSTEM Gajjar, Kumar ###-###-#### GTG (PCH) INCLUDING A 08/834349 07/28/1998 DUAL-PORTED 04/15/1997 STAGING MEMORY & CONCURRENT REDUNDANCY CALCULATION CAPABILITY 013966-004500CA MT02 Parity Duffy, Darrell (PCH) Calculation For ###-###-#### Raid Write Cache 02/14/1996 MT02 PARITY Duffy, Darrell 013966-004500EP CALCULATION FOR 96906424.5 (PCH) RAID WRITE CACHE 02/14/1996 MT02 PARITY Duffy, Darrell 96/01973 013966-004500PC CALCULATION FOR 02/14/1996 (PCH) RAID WRITE CACHE
TTC REF STATUS COUNTRY ATTY(S) REMARKS HANDLING - ------------------- -------------------------------------------------------------------- 013966-003900US Granted (PCH) was 13966N-39; 4yr. m.fee paid 8/30/00; Syr. m.fee statement 9/00; foreign filign instructions 4/16/96; 10/2/97 issue notification 4/21/97 soft copies 5/16/97 Response to Office Action: 03/15/1996 **Completed** Foreign Filing Deadline: 04/18/1996 **Completed** Response to Final Office Action due (1st Deadline or Ext): 11/06/1996 **Completed** Drawings Due: 01/29/1997 **Completed** Issue Fee Due:01/29/1997 **Completed** Annuity: Next: 11/13/2004 013966-004000CA Pending (PCH) See EXAM action Actual filing date 11/13/97 was 13966n Request Examination: 05/21/2001 **Completed** Request Examination: 05/21/2003 **Completed** Annuity: Next: 05/21/2004 013966-004000EP Pending Published (PCH) Designating DE FR GB Received Official Receipt 5/99. am. was 1 3966n Annuity: Next: 05/21/2004 013966-004000PC Pending Nat. Phase (PCH) CA EP. Old File No.17636P-004000PC was 13966n Chapter 2 Demand (Due): 12/22/1996 **Completed** Response to Written Opinion (Optional): 06/28/1997 Chapter 2 National Phase Deadline: 11/22/1997 **Completed** 013966-00401OUS Granted GTG (PCH) was 13966N-40-1; 4yr. m.fee paid 9/4/01. 4yr. m.fee statement 9/01; filing receipt 6/4/97 notification of change due to pto move & consolidation 1 1/15/97 issue notifiation 7/6798 soft copies 7/30/98 Response to Office Action: 10/08/1997 **Completed** Issue Fee Due: 06/20/1998 **Completed** Annuity: Next: 01/28/2006 013966-004500CA Pending (PCH) Assoc. confirmed filing of Request Examination and paid exam fee on 2- 6-03 BUT may take another 2 yrs. to issue per their 2-13-03 ltr./cp. Was 13966n Request Examination: 02/14/2001 **Completed** Request Examination: 02/14/2003 **Completed** Annuity: Next: 02/14/2005 013966-004500EP Pending Published (PCH) DESIGNATING ALL EP STATES was 13966n Annuity: End of Grace (Final Deadline):08/14/2004 **Completed** Annuity: Next: 02/14/2005 013966-004500PC Pending Nat. Phase (PCH) AU CA EP JP KR Old File 17637P-45PC was 13966n Chapter 2 Demand (Due):09/15/1996 **Completed** Response to Written Opinion (Optional): 05/24/1997 Chapter 2 National Phase Deadline: 08/15/1997 **Completed**
5
TTC REF APPLICATION PATENT COUNTRY NO. NO. ATTY(S) HANDLING CLIENT'S REF TITLE INVENTOR FILING DATE ISSUE DATE - ------------------- ------------ ------------------- --------------- ----------- ------------- 013966-004500TW MT02 PARITY Duffy, Darrell 85108635 125576 (PCH) CALCULATION FOR 07/16/1996 05/14/2001 RAID WRITE CACHE 013966-004500US M02 PARITY Duffy, Darrell 08 ###-###-#### (PCH) CALCULATION FOR 02/15/1995 06/17/1997 RAID WRITE CACHE 013966-004600US M05 Cache RAM Using a Bagley, Robert 08 ###-###-#### (PCH) Secondary Craig 10/28/1996 11/23/1999 Controller & Switching Circuit & Improved Chassis Arrangement 013966-004700US M04 METHOD FOR Bagley, Robert 08/740105 ###-###-#### (PCH) DETECTING CLOCK Craig 10/28/1996 10/27/1998 FAILURE & SWITCHING TO BACKUPCLOCK 013966-005300CA M06CA I/O Controller Eidler, (PCH) Software With each Christopher ###-###-#### I/O Command Having Gajjar, Kumar 02/12/1998 Aplurality of Nets, Jaffe, David each with a Group H. of Threads
TTC Ref Status Country ATTY(s) Remarks Handling - -------------------- -------------------------------------------------------- 013966-004500TW Granted (PCH) Old Rle No. 17637P-45TW ASSOC PAID 1ST 2 ANNUITIES IN 1-16- 01 LETTER, NEXT DUE 2003 was 13966n Response: 10/11/1996 Annuity: End of Grace (Final Deadline): 07/11/2004 **Completed** Annuity: Next: 01/11/2005 013966-004500US Granted (PCH) was 13966N-45; 4yr. m.fee paid 10/6/00; 4yr. m.fee statement 11/00; decision on petition granted 7/3/96 communication from examiner 7/10/96 issue notification 5/28/97 soft copies 6/23/97 Foreign Filing Deadline: 02/14/1996 **Completed** Response to Office Action: 02/22/1996 **Completed** Response to Final Office Action due (1st Deadline or Ext): 08/29/1996 **Completed** Drawings Due: 12/16/1996 **Completed** Issue Fee Due: 12/16/1996 **Completed** Drawings Due: 03/03/1997 **Completed** Annuity: Next: 12/17/2004 013966-004600US Granted (PCH) was 13966N-46; assignee: MTI Technology Corporation filing receipt 2/27/97 recordation date 1/21/97 (ntoice 4/22/97) issue notification 11/23/99 soft copies 12/7/99 Response to Notice of Missing Parts (1st Deadline): 02/26/1997 **Completed** Response to Office Action: 12/21/1998 **Completed** Response to Final Office Action due(1st Deadline or Ext): 07/16/1999 **Completed** Drawings Due: 10/29/1999 **Completed** Issue Fee Due: 10/29/1999 **Completed** Annuity: Next: 05/23/2007 013966-004700US Granted (PCH) was 13966N-47; 4yr. m.fee paid 3/7/02; assignee:MTI Technology Corporation filng receit 2/19/97 recordation date 1/21/97 (notice 4/1 1/97) notification of change due to pto move & consolidation 4/4/98 issue notification 10/7/98 soft copies 10/30/98 Response to Notice of Missing Parts (1st Deadline): 01/20/1997 **Completed** Foreign Filing Deadline: 10/28/1997 Response to Office Action: 04/05/1998 **Completed** Drawings Due: 08/11/1998 **Completed** Issue Fee Due: 08/1 1/1998 **Completed** Annuity: Next: 04/27/2006 013966-005300CA Pending (PCH) Old File l3966N Client billed for examination 4/8/03(rd). Exam/Art: 02/12/2003 **Completed** Annuity: Next: 02/12/2005
6
TTC REF APPLICATION PATENT COUNTRY NO. NO. ATTY(S) HANDLING CLIENT'S REF TITLE INVENTOR FILING DATE ISSUE DATE - ------------------- ------------ ------------------- ---------------- ----------- ------------- 013966-005300EP M06EP I/O Controller Eidler, 98906411.8 (PCH) Software With each Christopher 02/12/1998 I/O Command Having Gajjar, Kumar Aplurality of Nets, Jaffe, David each with a Group H. of Threads 013966-005300PC M06PC I/O Controller Eidler, 98/02816 (PCH) Software With each Christopher 02/12/1998 I/O Command Having Gajjar, Kumar Aplurality of Nets, Jaffe, David each with a Group H. of Threads 013966 -005 M-06 I/O Controller Eidler, 08 ###-###-#### 300US Software With each Christopher 02/28/1997 01/12/1999 (PCH) I/O Command Having Gajjar, Kumar Aplurality of Nets, Jaffe, David each with a Group H. of Threads 013966-005400US DUAL DATA BUS (PCH) SWITCHING SYSTEM FOR DUAL CONTROLLER MEMORY SYSTEM ###-###-#### MTI-41 Logical Unit Robbins, 99972325.7 10EP Mapping in a Robert 11/08/1999 (PCH) Storage Area Meyer, Network (San) Richard Environment SMITH, JERRY ###-###-#### Logical Unit Robbins, 10PC Mapping in a Robert 99/26450 (PCH) Storage Area Meyer, 11/08/1999 Network (San) Richard Environment SMITH, JERRY 013966-005700CA MTI-043 Method and Perry, David D. 2388590 (PCH) Apparatus for 10/27/2000 Converting Between Logical and Physical Memory Space in a Raid System 013966-005700EP MTI-043 Method and Perry, David D. 00976685.8 (PCH) Apparatus for 10/27/2000 Converting Between Logical and Physical Memory Space in a Raid System
TTC REF STATUS COUNTRY ATTY(S) REMARKS HANDLING - --------------------- ------------------------------------------------------- 013966-005300EP Pending Published (PCH) Designating UK FR DE was 13966n Annuity: End of Grace (Final Deadline): 08/12/2004 **Completed** Annuity: Next: 02/12/2005 013966-005300PC Pending Nat. Phase (PCH) Designating CA EP (DE FR GB) National Phase entered in CA & EP (GB FR DE) was 13966n Chapter 2 Demand (Due): 09/28/1998 **Completed** Chapter 2 National Phase Deadline: 08/28/1999 **Completed** 013966 -005 Granted 300US was 13966N-53; 4yr. m.fee paid 10/14/02; 4yr. m.fee statement per pto (PCH) web site; assignee:MTI Technology Corporation recordation date 2-28-97 (notice 5-19-97) filing receipt 6/26/97 foreign filing instructions 11/18/97 issue notification 1/4/99 soft copies 1/15/99 Foreign Filing Deadline: 02/28/1998 **Completed** Response to Office Action: 08/13/1998 **Completed** Drawings Due: 12/03/1998 **Completed** Issue Fee Due: 12/03/1998 **Completed** Annuity: Next: 07/12/2006 013966-005400US Not yet filed (PCH) 013966-0055 Pending Published 10EP Actual filing date 5-23-01 (jcm) Received instructions to enter natl phase (PCH) in EPC member countries (not including Extension States). (It) Response: 09/1 1/2001 Annuity: Next: 11/08/2004 ###-###-#### Pending Nat. 10PC Phase Received instructions to enter natl phase in EP (It). Designating CA GB (PCH) FR DE Response: 04/17/2000 Chapter 2 Demand (Due): 06/14/2000 **Completed** Response to Written Opinion (Optional): 10/30/2000 **Completed** Chapter 2 National Phase Deadline: 05/14/2001 **Completed** 013966-005700CA Pending (PCH) Actual filing date 4/26/02. Annuity: Next: 10/27/2004 Exam/Art: 10/27/2005 013966-005700EP Pending Published (PCH) Designating GB FR DE Response: 08/05/2002 Annuity: Next: 10/27/2004
7
TTC REF APPLICATION PATENT COUNTRY NO. NO. ATTY(S) HANDLING CLIENT'S REF TITLE INVENTOR FILING DATE ISSUE DATE - ------------------- ------------ ------------------- --------------- ----------- ------------- 013966-005700PC MTI-043 Method and Perry, David D. 00/29807 (PCH) Apparatus for 10/27/2000 Converting Between Logical and Physical Memory Space in a Raid System 013966-005700US MTI-043 Method and Perry, David D. 09/428157 63212941 (PCH) Apparatus for 10/27/1999 1/20/2001 Converting Between Logical and Physical Memory Space in a Raid System 013966-005800PC MT-044 Method & Manbert, Rush 00/22562 (PCH) Apparatus for C. Perry, 08/16/2000 Building Software David D. Nets Using an Array Structure 013966-005800US MT-044 Method & Manbert, Rush 09 ###-###-#### (PCH) Apparatus for C. Perry, 08/16/1999 01/30/2001 Building Software David D. Nets Using an Array Structure 013966-006000CA MT-045 Storage Network Sawdy, Don ###-###-#### (PCH) Cabling Rogers, Arthur L. 04/16/2001 Verification System 013966-006000EP MT-045 Storage Network Sawdy, Don 01927039.6 (PCH) Cabling Rogers, Arthur L. 04/16/2001 Verification System 013966-006000PC MT-045 Storage Network Sawdy, Don 01/12297 (PCH) Cabling Rogers, Arthur L. 04/16/2001 Verification System
TTC REF COUNTRY ATTY(S) STATUS HANDLING REMARKS - ------------------- -------------------------------------------------------- 013966-005700PC Pending Nat. Phase (PCH) Designating CA GB FR DE Response: 04/20/2001 Chapter 2 Demand (Due): 05/27/2001 **Completed** Response to Written Opinion (Optional): 11/06/2001 Chapter 2 National Phase Deadline: 04/27/2002 **Completed** 013966-005700US Granted (PCH) assignee: MTI Technology Corporation filing receipt 1 1-29-99 recordation date 10/27/99 (notice 2/7/00) foreign filed per LLeen email 9/1 8/00 issue notification 11-13-01 soft copies 11-27-01 Certificate of Correction 6/25/02 Foreign Filing Deadline: 10/27/2000 **Completed** Response to Office Action: 03/21/2001 **Completed** Drawings Due: 09/05/2001 **Completed** Issue Pee Due: 09/05/2001 **Completed** Annuity: Next: 05/20/2005 013966-005800PC Pending Published (PCH) Designating CA EP (Designating GB FR DE) Response: 12/14/2000 Response: 02/26/2001 **Completed** Chapter 2 Demand (Due): 03/16/2001 **Completed** Chapter 2 National Phase Deadline: 02/16/2002 013966-005800US Granted (PCH) assignee:MTI Technology Corporation filing receipt 9/16/99 recordation date 8/16/99 (notice 10/22/99) foreign filing instructions 7/21/00 issue notification 1/24/01 soft copies 2/02/01 Foreign Filing Deadline: 08/16/2000 **Completed** Drawings Due: 01/02/2001 **Completed** Issue Fee Due: 01/02/2001 **Completed** Annuity: Next: 07/30/2004 013966-006000CA Pending (PCH) Annuity: Next: 04/16/2005 Exam/Art: 04/16/2006 013966-006000EP Pending Published (PCH) Designate all member states excluding the extension states. AT BE BG CH CY DE DK EE ES FI FR GB OR ffi IT LI LU MC ML PT SB SK TR Annuity: End of Grace (Final Deadline): 10/16/2004 **Completed** Annuity: Next: 04/16/2005 013966-006000PC Pending Nat. Phase (PCH) Designating the EP and CA only; US Search. Response: 07/26/2001 Chapter 2 Demand (Due): 12/24/2001 "Completed** Chapter 2 National Phase Deadline: 11/24/2002 **Completed**
8
TTC REF APPLICATION COUNTRY NO. ATTY(S) HANDLING CLIENT'S REF TITLE INVENTOR FILING DATE - ---------------- ------------ ----- -------- ----------- 013966-006000US MT-045 Storage Network Cabling Sawdy, Don 09/578830 (PCH) Verification System Rogers, Arthur L. 05/24/2000 013966-006100CA MT-046 Controller Fail-Over Sawdy, Don ###-###-#### (PCH) Without Device Bring- Rogers, Arthur L. 04/16/2001 Up 013966-006100EP MT-046 Controller Fail-Over Sawdy, Don 01927040.4 (PCH) Without Device Bring- Rogers, Arthur L. 04/16/2001 Up 013966-006100PC MT-046 Controller Fail-Over Sawdy, Don 01/12298 (PCH) Without Device Bring- Rogers, Arthur L. 04/16/2001 Up 013966-006100US MT-046 Controller Fail-Over Sawdy, Don 09/578530 (PCH) Without Device Bring- Rogers, Arthur L. 05/24/2000 Up 013966-006200US Recovery System for Perry, David D. 09/718647 (PCH) Raid Write Manbert, Rush C. 11/22/2000
TTC REF PATENT COUNTRY NO. STATUS ATTY(S) HANDLING ISSUE DATE REMARKS - ---------------- ---------- ------- 013966-006000US ###-###-#### Granted (PCH) 02/26/2002 filing receipt 8/07/00; 1 1/27/00 assignee:MTI Technology Corporation foreign filed per J.Wilson email 12/06/OO recordation date 9/5/00 (notice 12/19/00) issue notification 2/12/02 soft copies 3-7-02 Response to Notice of Missing Parts (1st Deadline): 10/07/2000 **Completed** Foreign Filing Deadline: 05/24/2001 **Completed** Drawings Due: 12/19/2001 **Completed** Issue Fee Due: 12/19/2001 **Completed** Annuity: Next:08/26/2005 013966-006100CA Pending (PCH) Annuity: Next: 04/16/2005 Exam/Art: 04/16/2006 013966-006100EP Pending Published (PCH) Designate all member states excluding the extension states. AT BE BG CH CY CZ DE DK EE ES FI FR GB GR IE IT LI LU MC NL PT SE SK TR Annuity: End of Grace (Final Deadline): 10/16/2004 **Completed** Annuity: Next: 04/16/2005 013966-006100PC Pending Nat. Phase (PCH) Designating EP and CA only; US Search. Title: CONTROLLER FAIL- OVER WITHOUT DEVICE BRING-UP Response: 09/03/2001 Chapter 2 Demand (Due): 12/24/2001 **Completed** Chapter 2 National Phase Deadline: 11/24/2002 **Completed** 013966-006100US ###-###-#### Granted (PCH) 05/14/2002 filing receipt 9/15/00; 12/04/00 assignee:MTI Technology Corporation foreign filed per J.Wilson email 12/06/00 recordation date 11/03/00 (notice 1/16/01) Issue Notification 05/10/02 Soft copies 5/20/02 Response to Notice of Missing Parts (1st Deadline): 11/15/2000 **Completed** Foreign Filing Deadline: 05/24/2001 **Completed** Response to Office Action: 09/27/2001 **Completed** Issue Fee Due: 05/26/2002 **Completed** Annuity: Next: 11/14/2005 013966-006200US ###-###-#### Granted (PCH) 05/04/2004 filing receipt 3/28/01; updated filing receipt 6/08/01 confirmation # 2625 assignee: MTI Technology Corp. recordation date: 5-30-01 (notice 9-19- 01) reel: 011851/frame: 0509 Notice Of Allowance: 01/08/2004 **Completed** Response to Notice of Missing Parts (1st Deadline): 05/28/2001 **Completed** Response to Office Action: 10/24/2003 **Completed** Issue Fee: 04/08/2004 **Completed** Annuity: Next: 11/04/2007
