DETAILED ACTION
Notice of Pre-AIA or AIA Status
The present application is being examined under the pre-AIA first to invent provisions.
Election/Restrictions
Applicant’s election without traverse of Group I and Species A in the reply filed on March 23rd, 2026 is acknowledged.
Claim Rejections - 35 USC § 102
The following is a quotation of the appropriate paragraphs of pre-AIA 35 U.S.C. 102 that form the basis for the rejections under this section made in this Office action:
A person shall be entitled to a patent unless –
(b) the invention was patented or described in a printed publication in this or a foreign country or in public use or on sale in this country, more than one year prior to the date of application for patent in the United States.
Claims 1, 2, 9-10, 15, and 16 are rejected under pre-AIA 35 U.S.C. 102(b) as being anticipated by Strausbaugh (U.S. Publication 2007/0118123).
Strausbaugh discloses a device (for example see Figures 1-8) comprising:
(claim 1) a receiver (104) including
(claim 1) a proximal end
(claim 1) a distal end
(claim 1) a vertical centerline axis extending between the ends
(claim 1) a central bore (1014) having
(claim 1) a lower opening (184) at the distal end
(claim 1) stepped interior cylindrical surfaces (144 and 1004) adjacent the lower opening defining a lower interior recess
(claim 1) an open channel (103) extending downward from the proximal end configured to receive an elongate rod
(claim 1) a retaining ring (407) including
(claim 1) a lower portion (497) having
(claim 1) a central opening with an inner support surface (the surface formed by elements 467)
(claim 1) stepped exterior cylindrical surfaces (the top and bottom surfaces of 417) complimentary with the stepped interior cylindrical surfaces
(claim 5) wherein a bottom surface of the lower portion of the retaining ring includes a downwardly-opening concave cut-out (457) configured to receive the neck portion of the shank to provide increased angular articulation between the shank and the vertical centerline axis of the receiver
(claim 1) an upper portion (487) having
(claim 1) a discontinuous inner surface above the inner support surface (the surface formed by elements 427)
(claim 9) wherein the discontinuous inner surface further includes a discontinuous curvate surface having a resting upper diameter that is less than a diameter of the head portion of the shank and configured to engage the spherical head portion of the shank around the hemisphere plane (for example see Figures 4-6)
(claim 10) wherein the discontinuous curvate surface is configured to flex relative to the lower portion upon engagement between the discontinuous curvate surface and the spherical head portion of the shank (see Figure 5A; for example see paragraphs 30-31)
(claim 1) the retaining ring capable of being positioned into the interior recess of the receiver with the stepped exterior cylindrical surfaces engaged with the interior cylindrical surfaces to maintain the retaining ring in a non-pivotal orientation with respect to the receiver (the retaining ring is not able to pivot up and down due to element 417 engaging 144)
(claim 6) wherein the retaining ring is configured for downloading into the central bore through the proximal end and open channel of the receiver
(claim 1) a shank (106) including
(claim 1) a longitudinal axis
(claim 1) a spherical head portion (186) having
(claim 1) a hemisphere plane (for example see Figures 2 and 3) perpendicular to the longitudinal axis
(claim 1) wherein the spherical head portion is configured to position against the inner support surface of the retaining ring with the shank extending distally from the receiver through the lower opening (for example see Figures 2 and 4)
(claim 1) wherein the discontinuous of the retaining ring is configured to engage the spherical head portion of the shank around the hemisphere pale to exert a frictional drag force on the spherical head portion of the shank to resist rotation and articulation in a non-locked configuration (for example see Figures 2 and 4)
(claim 1) a bone-engaging (146) portion distal to the head portion
(claim 1) a neck portion (156) extending between the head portion and the bone engaging portion
(claim 2) wherein the shank is configured to be inserted proximally through the distal end of the receiver (as best shown in Figure 3 the head is small enough to be inserted proximally if one so desired)
(claim 15) a compression insert (405) configured for positioning in the central bore proximal to the retaining ring and configured to exert a distal force on the spherical head portion of the shank (for example see Figure 2; element 405 is pushed down onto element 407 to exert a force on the head of the shank)
(claim 16) an elongate rod (108)
(claim 16) a closure (102)
(claim 16) wherein the closure is configured to be position entirely within the open channel of the receive above the elongate rod an in engagement with a mating structure (174a/174b) formed into interior surfaces of the channel to apply a downward pressure to a top of the elongate rod to secure the rod to a bone of a patient (for example see Figure 2)
Claim Rejections - 35 USC § 103
The following is a quotation of pre-AIA 35 U.S.C. 103(a) which forms the basis for all obviousness rejections set forth in this Office action:
(a) A patent may not be obtained though the invention is not identically disclosed or described as set forth in section 102, if the differences between the subject matter sought to be patented and the prior art are such that the subject matter as a whole would have been obvious at the time the invention was made to a person having ordinary skill in the art to which said subject matter pertains. Patentability shall not be negated by the manner in which the invention was made.
Claim 11 is rejected under pre-AIA 35 U.S.C. 103(a) as being unpatentable over Strausbaugh (U.S. Publication 2007/0118123).
Strausbaugh discloses the invention as claimed, see above, except for a proximal end of the discontinuous inner surface extending proximally past the maximum diameter of the spherical head portion of the shank when seated against the inner support surface of the retaining ring. Strausbaugh discloses the device (for example see Figures 2 and 4) wherein the discontinuous inner surface extends proximally to at least the maximum diameter of the spherical head portion of the shank if the shank were to be extending straight down through the retaining ring, but the figures do not clearly show the surface extending past the diameter of the spherical head portion of the shank. It has been held that where the only difference between the prior art and the claims was a recitation of relative dimensions of the claimed device and a device having the claimed relative dimensions would not perform differently than the prior art device, the claimed device was not patentably distinct from the prior art device. In Gardner v. TEC Systems, Inc., 725 F.2d 1338, 220 USPQ 777 (Fed. Cir. 1984).
Claims 4 and 6 are rejected under pre-AIA 35 U.S.C. 103(a) as being unpatentable over Strausbaugh (U.S. Publication 2007/0118123) in view of Biedermann (U.S. Patent 5,672,176).
The device of Strausbaugh discloses the invention as claimed, see above, except for the retaining ring having a slot, i.e. a spilt retaining ring, extending through the lower portion of the retaining ring. Biedermann teaches a device (for example see Figure 2) comprising a retaining ring (20) including an upper portion (23) and a lower portion (24), wherein the lower portion includes a slot (28) in order to facilitate putting the retaining ring on the head of an anchor (column 2 line 55 to column 3 line 3). It would have been obvious to one having ordinary skill in the art at the time the invention was made to provide the device of Strausbaugh wherein the lower portion of the retaining ring includes a slot in view of Biedermann in order to facilitate putting the retaining ring on the head of an anchor.
Claim 14 is rejected under pre-AIA 35 U.S.C. 103(a) as being unpatentable over Strausbaugh (U.S. Publication 2007/0118123) in view of McKinley (U.S. Publication 2005/0038430).
The device of Strausbaugh discloses the invention as claimed, see above, except for a distal end surface of the receiver having at least one downwardly-opening concave cut-out portion extending radially outward from the lower opening. McKinley teaches a device (for example see Figures 2A-2C) comprising a receiver (14) having a distal end surface, wherein the distal end surface further includes at least one downwardly-opening concave cut-out portion (63) extending radially outwardly from a lower opening configured to receive a neck of an anchor in order to provide increased angular articulation between the anchor and a vertical centerline of the receiver (paragraph 37). It would have been obvious to one having ordinary skill in the art at the time the invention was made to provide the device of Strausbaugh wherein the distal end surface of the receiver has at least one downwardly-opening concave cut-out portion extending radially outward from the lower opening of the receiver in view of McKinley in order to provide increased angular articulation between the anchor and a vertical centerline of the receiver.
Allowable Subject Matter
Claims 3, 5, 7, 8, 12, and 13 are objected to as being dependent upon a rejected base claim, but would be allowable if rewritten in independent form including all of the limitations of the base claim and any intervening claims.
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. See PTO-892 for cited references the examiner felt were relevant to the application.
Any inquiry concerning this communication or earlier communications from the examiner should be directed to Nicholas Woodall whose telephone number is (571) 272-5204. The examiner can normally be reached on Monday-Friday 8am to 5:30pm.
If attempts to reach the examiner by telephone are unsuccessful, please contact the examiner’s supervisor, Kevin Truong, at (571. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
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/NICHOLAS W WOODALL/Primary Examiner, Art Unit 3775
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