Prosecution Insights
Last updated: April 19, 2026
Application No. 18/853,116

LOCKING SAMPLE CAP

Non-Final OA §112§DP
Filed
Sep 30, 2024
Examiner
RODRIGUEZ MOLINA, MARCOS JAVIER
Art Unit
3735
Tech Center
3700 — Mechanical Engineering & Manufacturing
Assignee
Gill LLC
OA Round
1 (Non-Final)
52%
Grant Probability
Moderate
1-2
OA Rounds
2y 6m
To Grant
77%
With Interview

Examiner Intelligence

Grants 52% of resolved cases
52%
Career Allow Rate
75 granted / 145 resolved
-18.3% vs TC avg
Strong +26% interview lift
Without
With
+25.5%
Interview Lift
resolved cases with interview
Typical timeline
2y 6m
Avg Prosecution
43 currently pending
Career history
188
Total Applications
across all art units

Statute-Specific Performance

§101
0.3%
-39.7% vs TC avg
§103
49.9%
+9.9% vs TC avg
§102
19.4%
-20.6% vs TC avg
§112
27.8%
-12.2% vs TC avg
Black line = Tech Center average estimate • Based on career data from 145 resolved cases

Office Action

§112 §DP
Notice of Pre-AIA or AIA Status The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA . Claim Rejections - 35 USC § 112 The following is a quotation of 35 U.S.C. 112(b): (b) CONCLUSION.—The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the inventor or a joint inventor regards as the invention. The following is a quotation of 35 U.S.C. 112 (pre-AIA ), second paragraph: The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the applicant regards as his invention. Claim(s) 1-20 is/are rejected under 35 U.S.C. 112(b) or 35 U.S.C. 112 (pre-AIA ), second paragraph, as being indefinite for failing to particularly point out and distinctly claim the subject matter which the inventor or a joint inventor (or for applications subject to pre-Al A 35 U.S.C. 112, the applicant), regards as the invention. Claim 1, recites --(a) a body having a top portion with an interior top surface, a top opening in the top portion, and a support extending from the inner top surface into a cavity of the body,-- [lines 2-4] since --inner top surface-- lacks antecedent basis in the claim. For purposes of examination, --inner top surface-- will be interpreted as --interior top surface-- recited thereto. Claim(s) 2-20 rejected by dependency of claim 1. Claim 19, recites --in order to form a seal between the shutter 6100 and an upper, annular surface in the cavity 6025 of the base.-- [lines 5-6] wherein --base-- lacks antecedent basis in the claim. For purposes of examination --base-- will be interpreted as --body-- [claim 1, line 2]. Double Patenting The nonstatutory double patenting rejection is based on a judicially created doctrine grounded in public policy (a policy reflected in the statute) so as to prevent the unjustified or improper timewise extension of the “right to exclude” granted by a patent and to prevent possible harassment by multiple assignees. A nonstatutory double patenting rejection is appropriate where the conflicting claims are not identical, but at least one examined application claim is not patentably distinct from the reference claim(s) because the examined application claim is either anticipated by, or would have been obvious over, the reference claim(s). See, e.g., In re Berg, 140 F.3d 1428, 46 USPQ2d 1226 (Fed. Cir. 1998); In re Goodman, 11 F.3d 1046, 29 USPQ2d 2010 (Fed. Cir. 1993); In re Longi, 759 F.2d 887, 225 USPQ 645 (Fed. Cir. 1985); In re Van Ornum, 686 F.2d 937, 214 USPQ 761 (CCPA 1982); In re Vogel, 422 F.2d 438, 164 USPQ 619 (CCPA 1970); In re Thorington, 418 F.2d 528, 163 USPQ 644 (CCPA 1969). A timely filed terminal disclaimer in compliance with 37 CFR 1.321(c) or 1.321(d) may be used to overcome an actual or provisional rejection based on nonstatutory double patenting provided the reference application or patent either is shown to be commonly owned with the examined application, or claims an invention made as a result of activities undertaken within the scope of a joint research agreement. See MPEP § 717.02 for applications subject to examination under the first inventor to file provisions of the AIA as explained in MPEP § 2159. See MPEP § 2146 et seq. for applications not subject to examination under the first inventor to file provisions of the AIA . A terminal disclaimer must be signed in compliance with 37 CFR 1.321(b). The filing of a terminal disclaimer by itself is not a complete reply to a nonstatutory double patenting (NSDP) rejection. A complete reply requires that the terminal disclaimer be accompanied by a reply requesting reconsideration of the prior Office action. Even where the NSDP rejection is provisional the reply must be complete. See MPEP § 804, subsection I.B.1. For a reply to a non-final Office action, see 37 CFR 1.111(a). For a reply to final Office action, see 37 CFR 1.113(c). A request for reconsideration while not provided for in 37 CFR 1.113(c) may be filed after final for consideration. See MPEP §§ 706.07(e) and 714.13. The USPTO Internet website contains terminal disclaimer forms which may be used. Please visit www.uspto.gov/patent/patents-forms. The actual filing date of the application in which the form is filed determines what form (e.g., PTO/SB/25, PTO/SB/26, PTO/AIA /25, or PTO/AIA /26) should be used. A web-based eTerminal Disclaimer may be filled out completely online using web-screens. An eTerminal Disclaimer that meets all requirements is auto-processed and approved immediately upon submission. For more information about eTerminal Disclaimers, refer to www.uspto.gov/patents/apply/applying-online/eterminal-disclaimer. Claim 1-20 rejected on the ground of nonstatutory double patenting as being unpatentable over claims 1-20 of Gill et al. (U. S. Patent No. US12397975B2) hereinafter GILL. Regarding claim 1, GILL teaches (see FIG. 82 - FIG. 99 below) a cap 6000 for use on a container 300 for collecting fluid samples, the cap 6000 comprising: (a) a body 6012 having a top portion 6016 with an interior top surface G93-01, a top opening 6040 in the top portion 6016, and a support G93-02 extending from the inner top surface G93-01 into a cavity 6025 of the body 6012, wherein the support G93-02 has at least one wall G87-01 and at least one body opening 6072; and (b) a shutter 6100 connected to the body 6012 and positioned at least partially in the cavity 6025, wherein the shutter 6100 has at least one shutter opening 6134, wherein the cap 6000 has (i) a first, closed position in which the at least one shutter opening 6134 aligns with the at least one wall G87-01 and fluid cannot pass through the cap 6000, (ii) a second, open position in which the at least one shutter opening 6134 aligns with the at least one body opening 6072 and fluid can pass through the cap 6000, and (iii) a third, closed and locked position in which in which the at least one shutter opening 6134 aligns with the at least one wall G87-01 and fluid cannot pass through the cap 6000, and the cap 6000 is further configured to not be moved to an open position. PNG media_image1.png 760 640 media_image1.png Greyscale PNG media_image2.png 804 707 media_image2.png Greyscale PNG media_image3.png 805 530 media_image3.png Greyscale PNG media_image4.png 809 508 media_image4.png Greyscale PNG media_image5.png 810 486 media_image5.png Greyscale PNG media_image6.png 816 901 media_image6.png Greyscale PNG media_image7.png 765 487 media_image7.png Greyscale PNG media_image8.png 692 486 media_image8.png Greyscale PNG media_image9.png 868 537 media_image9.png Greyscale Regarding claim 2, GILL (as applied to claim 1 above) teaches all the limitations of the claim. GILL further teaches (see FIG. 82 - FIG. 99 above) cap 6000, wherein the top portion 6016 comprises (a) outer threads 6030 configured to mate with the threads of a fluid dispensing device, and (b) a top surface 6032 with an annular groove 6033 configured to retain debris, wherein the annular groove 6033 at least partially surrounds the opening 6040. Regarding claim 3, GILL (as applied to claim 1 above) teaches all the limitations of the claim. GILL further teaches (see FIG. 82 - FIG. 99 above) cap 6000, wherein the body 6012 further includes a first, annular rim G93-03 on the top surface 6032 and outside of the annular groove 6033, and a second, annular rim G93-04 on the top surface 6032 around the opening 6040, wherein each of the first, annular rim G93-03 and the second, annular rim G93-04 extend upwards from the top surface 6032 and are configured to seat against a surface of the fluid dispensing device when the cap 6000 is connected to the fluid dispensing device. Regarding claim 4, GILL (as applied to claim 1 above) teaches all the limitations of the claim. GILL further teaches (see FIG. 82 - FIG. 99 above) cap 6000, wherein the cavity 6025 includes threads 6024 configured to connect to the threads of a fluid sample container 300. Regarding claim 5, GILL (as applied to claim 1 above) teaches all the limitations of the claim. GILL further teaches (see FIG. 82 - FIG. 99 above) cap 6000, wherein the body 6012 further includes an extension 6070 in the cavity 6025 and the extension 6070 includes a first prong 6078 having a barb, and a second prong 6078 having a barb, wherein the first prong 6078 is spaced apart from the second prong 6078, and each of the first prong 6078 and the second prong 6078 is formed at an outwardly-extending angle (FIG. 95). Regarding claim 6, GILL (as applied to claim 4 above) teaches all the limitations of the claim. GILL further teaches (see FIG. 82 - FIG. 99 above) cap 6000, wherein the cavity 6025 further includes a reduced-diameter portion 6031 that does not include the threads and the reduced-diameter portion 6031 includes at least one pair of positioning protrusions 6050 that defines a space between them, wherein the space is configured to receive an extension 6112 on the shutter 6100 in order to position the cap 6000 and shutter 6100 in the first, closed position when the two are connected. Regarding claim 7, GILL (as applied to claim 6 above) teaches all the limitations of the claim. GILL further teaches (see FIG. 82 - FIG. 99 above) cap 6000, wherein the cavity 6025 includes two pairs of positioning protrusions 6050 and each pair defines a space between them, wherein each space is configured to receive an extension 6112 on the shutter 6100 in order to position the cap 6000 and shutter 6100 in the first, closed position when the two are connected. Regarding claim 8, GILL (as applied to claim 6 above) teaches all the limitations of the claim. GILL further teaches (see FIG. 82 - FIG. 99 above) cap 6000, wherein the reduced-diameter portion 6031 further includes at least one abutment protrusion 6052 configured to (a) permit a stop 6118 on the shutter 6100 to move past it in a first direction, and (b) not permit the stop 6118 on the shutter 6100 move past it in a second direction. Regarding claim 9, GILL (as applied to claim 6 above) teaches all the limitations of the claim. GILL further teaches (see FIG. 82 - FIG. 99 above) cap 6000, wherein the reduced-diameter portion 6031 includes two abutment protrusions 6052 and the shutter 6100 includes two stops 6118. Regarding claim 10, GILL (as applied to claim 6 above) teaches all the limitations of the claim. GILL further teaches (see FIG. 82 - FIG. 99 above) cap 6000, wherein the body 6012 further includes a plurality of tactile protrusions 6050 in the reduced-diameter portion 6031, wherein each of the tactile protrusions 6050 are configured to provide a bump feel and/or a click sound when a stop 6118 or extension 6112 on the shutter 6100 moves past it. Regarding claim 11, GILL (as applied to claim 1 above) teaches all the limitations of the claim. GILL further teaches (see FIG. 82 - FIG. 99 above) cap 6000, wherein the shutter 6100 has an outer edge 6110 and a plurality of retention structures 6112, 6118 on the outer edge 6110, wherein each retention structure 6112, 6118 comprises an extension 6112 configured to fit into a space between a pair of positioning protrusions 6050 in the cavity 6025 in order to position the cap 6000 in the first, closed position when the body 6012 and the shutter 6100 are connected, and wherein each of the plurality of retention structures 6112, 6118 has a first, non-compressed position and a second, compressed position. Regarding claim 12, GILL (as applied to claim 1 above) teaches all the limitations of the claim. GILL further teaches (see FIG. 82 - FIG. 99 above) cap 6000, wherein the shutter 6100 has an outer edge 6110 and a plurality of connection structures, wherein each of the plurality of retention structures 6112, 6118 has a stop 6118, and each stop 6118 is configured to move past an abutment protrusion 6052 in the cavity 6025 when moving in a first direction and is configured to not move past the abutment protrusion 6052 when moved in a second direction. Regarding claim 13, GILL (as applied to claim 1 above) teaches all the limitations of the claim. GILL further teaches (see FIG. 82 - FIG. 99 above) cap 6000, wherein the shutter 6100 comprises at least one shutter opening 6134 that leads to a passage, wherein the shutter opening 6134 is in communication with the top opening 6040. Regarding claim 14, GILL (as applied to claim 13 above) teaches all the limitations of the claim. GILL further teaches (see FIG. 82 - FIG. 99 above) cap 6000, wherein the shutter 6100 further comprises two shutter openings 6134 in fluid communication with the passage, wherein the two shutter openings 6134 are configured to be positioned so as to (a) permit fluid to pass through, and into the cavity 6025 when the cap 6000 is in the second, open position, and (b) not permit fluid to pass through when the cap 6000 is in its first, closed position or its third, closed and locked position. Regarding claim 15, GILL (as applied to claim 13 above) teaches all the limitations of the claim. GILL further teaches (see FIG. 82 - FIG. 99 above) cap 6000, wherein the two shutter openings 6134 have exterior rims G93-05 that are configured to seal against a wall G87-01 of the body 6012 extension 6112 when the cap 6000 is in its (a) first, closed position, or (b) third, closed and locked position. Regarding claim 16, GILL (as applied to claim 14 above) teaches all the limitations of the claim. GILL further teaches (see FIG. 82 - FIG. 99 above) cap 6000, wherein the body 6012 has an extension 6070 in the cavity 6025, wherein the extension 6070 comprises two extension openings 6072 and two walls G87-01, and wherein the two shutter openings 6134 of the shutter 6100 align with (a) the two extension openings 6072 of the extension 6112 when the cap 6000 is in the second, open position in order to permit the passage of fluid therethrough, and (b) the two walls G87-01 of the extension 6112 when the cap 6000 is in its first, closed position or its third, closed and locked position in order to prevent the passage of fluid therethrough. Regarding claim 17, GILL (as applied to claim 1 above) teaches all the limitations of the claim. GILL further teaches (see FIG. 82 - FIG. 99 above) cap 6000, wherein the shutter 6100 further comprises at least one flange 6136 that extends at least partially through an extension 6112 opening and that is configured to contact a static structure on the fluid dispensing device and cause the shutter 6100 to remain stationary as the body 6012 is rotated. Regarding claim 18, GILL (as applied to claim 15 above) teaches all the limitations of the claim. GILL further teaches (see FIG. 82 - FIG. 99 above) cap 6000, wherein the exterior rims G93-05 comprise a softer material 6100x than the material that forms the two shutter openings 6134. Regarding claim 19, GILL (as applied to claim 1 above) teaches all the limitations of the claim. GILL further teaches (see FIG. 82 - FIG. 99 above) cap 6000, wherein the shutter 6100 has an outer, top periphery having an interior periphery and an exterior periphery and the interior periphery comprises a softer materials 6100x than the material that forms the remainder of the exterior periphery, in order to form a seal between the shutter 6100 and an upper, annular surface in the cavity 6025 of the base. Regarding claim 20, GILL (as applied to claim 17 above) teaches all the limitations of the claim. GILL further teaches (see FIG. 82 - FIG. 99 above) cap 6000, wherein the shutter 6100 includes two flanges 6136 and one flange 6136 extends through a first body opening 6072 and a second flange 6136 that extends through a second body opening 6072 that further comprises a fluid-dispenser connector, wherein the fluid-dispenser connector includes: (a) threads configured to mate with the outer threads 6030 on the body 6012, (b) a first flange stop 6118 configured to contact one of the flange 6136s when the cap 6000 is being tightened in order to prevent further rotation of the shutter 6100 and cause the cap 6000 to move from its first, closed position to its second, open position as the cap 6000 is turned and tightened onto the connector, and (c) a second flange stop 6118 configured to contact one of the flanges 6136 and prevent further rotation of the shutter 6100 and cause the cap 6000 to move from its second, open position to its third, closed and locked position as the cap 6000 is turned and loosened and removed from the connector. apparatus (FIG. 4), wherein the plurality of holes 6 are four holes 6 at 90-degree angles to each other on the circumference (FIG. 1) allowing for quick and even distribution on the off-gassing and odor control. Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure: Cavalier (U. S. Patent Application Publication US20160264318A1): Teaches a “cap” with similar attributes as the claimed invention. Ismail (U. S. Patent Application Publication US20160159636A1): Teaches a “cap” with similar attributes as the claimed invention. Vasquez (U. S. Patent Application Publication US20160090210A1): Teaches a “storage” with similar attributes as the claimed invention. Kasting (U. S. Patent Application Publication US20060283896A1): Teaches a “dispensing system” with similar attributes as the claimed invention. Sauer (U. S. Patent US3855997A): Teaches a “specimen trap” with similar attributes as the claimed invention. Contact Any inquiry concerning this communication or earlier communications from the examiner should be directed to MARCOS JAVIER RODRIGUEZ MOLINA whose telephone number is (571) 272-8947. the examiner can normally be reached M-F: 7:30 AM to 5:30 PM. Examiner interviews are available via telephone, in-person, and video conferencing using a USPTO supplied web-based collaboration tool. To schedule an interview, applicant is encouraged to use the USPTO Automated Interview Request (AIR) at http://www.uspto.gov/interviewpractice. If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, ANTHONY D. STASHICK can be reached on (571) 272-4561. the fax phone number for the organization where this application or proceeding is assigned is 571-273-8300. Information regarding the status of published or unpublished applications may be obtained from Patent Center. Unpublished application information in Patent Center is available to registered users. To file and manage patent submissions in Patent Center, visit: https://patentcenter.uspto.gov. Visit https://www.uspto.gov/patents/apply/patent-center for more information about Patent Center and https://www.uspto.gov/patents/docx for information about filing in DOCX format. For additional questions, contact the Electronic Business Center (EBC) at 866-217-9197 (toll-free). If you would like assistance from a USPTO Customer Service Representative, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000. /M.J.R.M./ /Anthony D Stashick/Supervisory Patent Examiner, Art Unit 3735
Read full office action

Prosecution Timeline

Sep 30, 2024
Application Filed
Mar 23, 2026
Non-Final Rejection — §112, §DP (current)

Precedent Cases

Applications granted by this same examiner with similar technology

Patent 12600537
DISPENSING CLOSURE
2y 5m to grant Granted Apr 14, 2026
Patent 12595098
FLUID SAMPLE CONTAINER CAP
2y 5m to grant Granted Apr 07, 2026
Patent 12576313
Device to Releasably Secure Pickleballs
2y 5m to grant Granted Mar 17, 2026
Patent 12570455
PROTECTIVE BRACKET AND USING METHOD THEREOF
2y 5m to grant Granted Mar 10, 2026
Patent 12565365
SOLVENT TUBE MANAGEMENT
2y 5m to grant Granted Mar 03, 2026
Study what changed to get past this examiner. Based on 5 most recent grants.

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Prosecution Projections

1-2
Expected OA Rounds
52%
Grant Probability
77%
With Interview (+25.5%)
2y 6m
Median Time to Grant
Low
PTA Risk
Based on 145 resolved cases by this examiner. Grant probability derived from career allow rate.

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