estta tracking number: estta1032860 01/31/2020

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Trademark Trial and Appeal Board Electronic Filing System. http://estta.uspto.gov ESTTA Tracking number: ESTTA1032860 Filing date: 01/31/2020 IN THE UNITED STATES PATENT AND TRADEMARK OFFICE BEFORE THE TRADEMARK TRIAL AND APPEAL BOARD Proceeding 92069081 Party Plaintiff Caterpillar, Inc. Correspondence Address NARESH KILARU FINNEGAN HENDERSON FARABOW ET AL 901 NEW YORK AVE NW WASHINGTON, DC 20001-4413 UNITED STATES [email protected], [email protected], [email protected], [email protected], TTAB-Leg- [email protected] 202-408-4000 Submission Plaintiff's Notice of Reliance Filer's Name Naresh Kilaru Filer's email [email protected], [email protected], [email protected], [email protected], TTAB-Leg- [email protected] Signature /Naresh Kilaru/ Date 01/31/2020 Attachments 2020.01.31 - Caterpillar Notice of Reliance 1 - CAT Registrations with Exhib- its.pdf(2157489 bytes )

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Page 1: ESTTA Tracking number: ESTTA1032860 01/31/2020

Trademark Trial and Appeal Board Electronic Filing System. http://estta.uspto.gov

ESTTA Tracking number: ESTTA1032860

Filing date: 01/31/2020

IN THE UNITED STATES PATENT AND TRADEMARK OFFICE

BEFORE THE TRADEMARK TRIAL AND APPEAL BOARD

Proceeding 92069081

Party PlaintiffCaterpillar, Inc.

CorrespondenceAddress

NARESH KILARUFINNEGAN HENDERSON FARABOW ET AL901 NEW YORK AVE NWWASHINGTON, DC 20001-4413UNITED [email protected], [email protected],[email protected], [email protected], [email protected]

Submission Plaintiff's Notice of Reliance

Filer's Name Naresh Kilaru

Filer's email [email protected], [email protected],[email protected], [email protected], [email protected]

Signature /Naresh Kilaru/

Date 01/31/2020

Attachments 2020.01.31 - Caterpillar Notice of Reliance 1 - CAT Registrations with Exhib-its.pdf(2157489 bytes )

Page 2: ESTTA Tracking number: ESTTA1032860 01/31/2020

IN THE UNITED STATES PATENT AND TRADEMARK OFFICE

BEFORE THE TRADEMARK TRIAL AND APPEAL BOARD

CATERPILLAR INC.,

Petitioner,

v.

CAT AND CLOUD COFFEE, LLC,

Registrant.

Cancellation No. 92069081

Registration No. 4976835

Mark: CAT & CLOUD

Registration Date: June 14, 2016

PETITIONER’S NOTICE OF RELIANCE NO. 1 UNDER 37 CFR § 2.122(d)

Pursuant to Trademark Rule 2.122(d) and TBMP § 704.03(b)(1)(A), Petitioner

Caterpillar Inc. submits of record in connection with this cancellation proceeding TSDR

printouts for some of Petitioner’s active registrations for CAT and CAT-formative marks. These

documents constitute official records from the U.S. Patent and Trademark Office TSDR

electronic database under Trademark Rule 2.122(d). The TSDR printouts show the current status

and title of the registrations.

These registrations are relevant to the issues of likelihood of confusion and dilution as

they demonstrate Petitioner’s prior rights in the CAT mark dating back to 1949 and are prima

facie evidence of the ownership and validity of the CAT mark. Moreover, all of the registrations

are incontestable pursuant to 15 U.S.C. § 1065(b), and thus constitute conclusive evidence of

Caterpillar’s exclusive right to use the marks for the products and services specified in the

registrations pursuant to 15 U.S.C. §§ 1065 and 1115(b). Finally, the registrations demonstrate

the scope and corresponding strength of Petitioner’s rights in the CAT mark, covering a wide

variety of goods and services including goods closely related to Registrant’s goods.

Page 3: ESTTA Tracking number: ESTTA1032860 01/31/2020

2

Exhibit

No.

Mark Reg. No.

Reg. Date

Goods and Services

1. CAT 564272

09-23-1952

Dump-wagons, wheel tractor-dump-wagon

combinations, and structural parts for such

products in Class 7

First Use in Commerce: 02-17-1949

Electric generators and diesel electric generator

sets, and parts furnished with said products in

Class 12

First Use in Commerce: 12-09-1948

Diesel and other internal combustion engines

adapted for employment as the source of power

for self-propelled vehicles and as stationary or

portable power units for industrial, marine and

agricultural uses; scraping, carrying and

dumping units adapted to be employed for

scraping and collecting earth, rock, or like

materials and transporting and dumping said

materials; power and manually controlled

graders, scarifiers, scrapers, and rippers adapted

to be employed for the construction and

maintenance of roads, for moving and removing

of earth, rock, snow and like materials, for

preventing soil erosion and for other industrial

and agricultural uses; tractors for industrial and

agricultural purposes; and parts and service

tools furnished with said products in Class 7

First Use in Commerce: 12-06-1948

2. CAT 742294

12-18-1962

Toy replicas of track-type tractors, tractor

loaders, bulldozers, motor graders in

Class 28

First Use in Commerce: 09-00-1955

3. CAT 770639

07-02-1964

Motor trucks, dump wagons, wheel tractor-

dump wagon combinations, wheel tractors, and

parts therefor in Class 12

First Use in Commerce: 02-17-1949

4. CAT 984444

05-21-1974

Lift trucks, and engines, attachments and parts

therefor in Class 7

First Use in Commerce: 01-30-1973

5. CAT 1023137

10-21-1975

Batteries, fuses, electrical cables, conduits,

fasteners and terminals; switches, engine

starting systems, spark plugs, spark plug firing

indicators, load signal systems, flashers, brake

accumulator buzzers, low air pressure alarms,

turn signal flashers, speedometers, odometers,

tire wear gauges, tire pressure gauges, hydraulic

system filter indicators, air cleaner service

indicators, fuel pressure gauges, engine oil

Page 4: ESTTA Tracking number: ESTTA1032860 01/31/2020

3

Exhibit

No.

Mark Reg. No.

Reg. Date

Goods and Services

pressure gauges, torque converter temperature

gauges, water temperature gauges, and service

meters in Class 9

First Use in Commerce: 08-01-1966

6. CAT 1275103

04-24-1984

Note pads, stationery type portfolios, pencils,

pens, and decals in Class 16

First Use in Commerce: 01-00-1970

Golf balls, tees and tennis balls in Class 28

First Use in Commerce: 01-00-1970

7. CAT 1265041

01-24-1984

Glasses, cups and coasters in Class 21

First Use in Commerce: 01-00-1970

Cloth, iron-on, sew-on and pressure-sensitive

patches in Class 26

First Use in Commerce: 01-00-1970

8.

1579437

01-23-1990

Maintenance and repair services in the field of

internal combustion engines, vehicles and

power equipment; namely trucks, tractors,

engines, earthmoving equipment, mater ial

handling equipment, paving equipment,

agricultural equipment, generators, and control

units for the aforementioned in Class 37

First Use in Commerce: 10-20-1988

9.

2158375

05-19-1998

Watches, clocks, cuff links, tie tacks,belt

buckles of precious metal, key chains, lapel

pins, alarm clocks, wall clocks, watch bands,

belt buckles, watch cases, chronographs for use

as watches, chronometers, tie clips, jewelry,

cigarette lighters of precious metal, ornamental

pins, pocket watches, stop watches, watch

straps, tie pins, parts for watches in Class 14

First Use in Commerce: 04-00-1990

10. CAT 2137147

02-17-1998

Industrial oils for engines, transmissions,

hydraulic systems, and drive train

compartments in Class 4

First Use in Commerce: 02-02-1987

11.

2140606

03-03-1998

Machinery for earth moving, earth conditioning

and material handling, namely, loaders and

engines therefor, and parts for vehicle and

internal combustion engines in Class 7

First Use in Commerce: 10-20-1988

Vehicles for earth and material hauling and

handling, namely, tractors and engines therefor

in Class 12

First Use in Commerce: 10-20-1988

Page 5: ESTTA Tracking number: ESTTA1032860 01/31/2020

4

Exhibit

No.

Mark Reg. No.

Reg. Date

Goods and Services

12. CAT 1298364

10-02-1984

Articles of nonprecious metal-namely, key tags,

key chains in Class 6

First Use in Commerce: 01-00-1970

Articles of precious metal-namely, belt buckles,

lapel pins, watches in Class 14

First Use in Commerce: 01-00-1970

Leather and imitation leather goods-namely,

business card cases, credit card cases, key

holders, coin holders, briefcases, garment bags

for travel, duffel bags, flight bags, tote bags,

umbrellas, traveling bags, purses and wallets in

Class 18

First Use in Commerce: 01-00-1970

Work, sport and casual clothing-namely, caps,

belts, ties, scarves, headwear, t-shirts, shorts,

sweat pants, sweat shirts, jackets, vests, gloves,

mittens, rain wear, one-piece jump suits and

socks in Class 25

First Use in Commerce: 01-00-1970

Cigarette lighters in Class 34

First Use in Commerce: 01-00-1970

13.

1908556

08-01-1995

Footwear in Class 25

First Use in Commerce: 06-00-1989

14.

2234260

03-23-1999

Work, sport and casual clothing, namely, caps,

belts, headwear, t-shirts, sweat shirts, jackets,

vests, gloves, rain wear, and socks, men's and

women's shirts and jeans in

Class 25

First Use in Commerce: 01-00-1990

15.

3365449

01-08-2008

Footwear in Class 25

First Use in Commerce: 06-00-1988

16.

2488264

09-11-2001

Retail store services in the field of clothing,

footwear, toys, tote and sport bags, watches,

sunglasses, eyeglasses, books, sporting goods

and gift items in Class 35

First Use in Commerce: 09-30-1999

17. CAT

ENGINEERED

DURABILITY

2674815

01-14-2003

Footwear in Class 25

First Use in Commerce: 11-27-2001

Page 6: ESTTA Tracking number: ESTTA1032860 01/31/2020

5

Exhibit

No.

Mark Reg. No.

Reg. Date

Goods and Services

18. 2158375

05-19-1998

Watches, clocks, cuff links, tie tacks, belt

buckles of precious metal, key chains, lapel

pins, alarm clocks, wall clocks, watch bands,

belt buckles, watch cases, chronographs for use

as watches, chronometers, tie clips, jewelry,

cigarette lighters of precious metal, ornamental

pins, pocket watches, stop watches, watch

straps, tie pins, parts for watches in Class 14

First Use in Commerce: 04-00-1990

19. 2172769

07-14-1998

Leather and imitation leather goods, namely,

wallets, credit card cases, business card cases,

key holders, coin purses, briefcases, garment

bags for travel, back packs, duffel bags, tote

bags, traveling bags, school book bags in Class

18

First Use in Commerce: 00-00-1991

Dated: January 31, 2020 Respectfully submitted,

/Naresh Kilaru/

Christopher P. Foley

Naresh Kilaru

FINNEGAN, HENDERSON, FARABOW,

GARRETT & DUNNER, L.L.P.

901 New York Avenue N.W.

Washington, DC 20001

Telephone: (202) 408.4000

Laura K. Johnson

FINNEGAN, HENDERSON, FARABOW,

GARRETT & DUNNER, L.L.P.

2 Seaport Lane

Boston, MA 02210.2001

Telephone: (202) 408.4000

[email protected]

[email protected]

[email protected]

[email protected]

[email protected]

Attorneys for Petitioner Caterpillar Inc.

Page 7: ESTTA Tracking number: ESTTA1032860 01/31/2020

CERTIFICATE OF SERVICE

I hereby certify that a true and accurate copy of the foregoing PETITIONER’S

NOTICE OF RELIANCE NO. 1 UNDER 37 CFR § 2.122(d) was served via electronic mail,

on January 31, 2020 upon counsel for Registrant at the following address of record:

Tawnya R. Wojciechowski

TRW LAW GROUP

19900 MACARTHUR BLVD, SUITE 530

IRVINE, CA 92612

[email protected]

/Travis Smith/

Trademark Legal Assistant

Page 8: ESTTA Tracking number: ESTTA1032860 01/31/2020

EXHIBIT 1

Page 9: ESTTA Tracking number: ESTTA1032860 01/31/2020

1/29/2020 Status Search SN 564272

https://tsdr.uspto.gov/#caseNumber=564272&caseSearchType=US_APPLICATION&caseType=DEFAULT&searchType=statusSearch 1/3

STATUS DOCUMENTS MAINTENANCE Back to Search Print

BULK DATA: Since May 7 at 12 a.m., the TSDR Application Programming Interface (API) has not included all information. Images of trademarkregistration certificates issued since July 2016 and some office actions are absent in the API. Customers who need to retrieve a copy of a registrationcertificate or an office action should download it directly from the TSDR documents tab. INTERMITTENT SYSTEM ISSUES: Due to high-volume usage, you may experience intermittent issues on the Trademark Status and Document Retrieval(TSDR) system between 6 – 8 a.m. ET. Refreshing your web browser should resolve the issue. If you still need assistance accessing a document, [email protected] and include your serial number, the document you are looking for, and a screenshot of any error messages you have received.

Generated on: This page was generated by TSDR on 2020-01-29 15:52:57 EST

Mark: CAT

US Serial Number: 71575190 Application Filing Date: Mar. 10, 1949

US Registration Number: 564272 Registration Date: Sep. 23, 1952

Register: Principal

Mark Type: Trademark

TM5 Common StatusDescriptor:

LIVE/REGISTRATION/Issued and Active

The trademark application has been registered with the Office.

Status: The registration has been renewed.

Status Date: Sep. 23, 2012

No Image exists for this case.

Mark Information

Related Properties Information

Goods and Services

Mark Literal Elements: CAT

Standard Character Claim: No

Mark Drawing Type: 1 - TYPESET WORD(S) /LETTER(S) /NUMBER(S)

Claimed Ownership of USRegistrations:

0079056, 0085816, 0120744, 0131491, 0134971, 0137035, 0277417, 0345499, 0504829, 0506258 and others

Note:The following symbols indicate that the registrant/owner has amended the goods/services:

Brackets [..] indicate deleted goods/services;Double parenthesis ((..)) identify any goods/services not claimed in a Section 15 affidavit of incontestability; andAsterisks *..* identify additional (new) wording in the goods/services.

For: DUMP-WAGONS, WHEEL TRACTOR-DUMP-WAGON COMBINATIONS, AND STRUCTURAL PARTS FOR SUCH PRODUCTS

International Class(es): 007 U.S Class(es): 019 - Primary Class

Class Status: ACTIVE

Basis: 1(a)

First Use: Feb. 17, 1949 Use in Commerce: Feb. 17, 1949

For: ELECTRIC GENERATORS AND DIESEL ELECTRIC [ ELECTRIC ] GENERATOR SETS, AND PARTS FURNISHED WITH SAIDPRODUCTS

International Class(es): 012 U.S Class(es): 021 - Primary Class

Class Status: ACTIVE

Basis: 1(a) Privacy - Terms

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Basis Information (Case Level)

Current Owner(s) Information

Attorney/Correspondence Information

Prosecution History

First Use: Dec. 09, 1948 Use in Commerce: Dec. 09, 1948

For: DIESEL AND OTHER INTERNAL COMBUSTION ENGINES ADAPTED FOR EMPLOYMENT AS THE SOURCE OF POWER FOR SELF-PROPELLED VEHICLES AND AS STATIONARY OR PORTABLE POWER UNITS FOR INDUSTRIAL, MARINE AND AGRICULTURALUSES; SCRAPING, CARRYING AND DUMPING UNITS ADAPTED TO BE EMPLOYED FOR SCRAPING AND COLLECTING EARTH,ROCK, OR LIKE MATERIALS AND TRANSPORTING AND DUMPING SAID MATERIALS; POWER AND MANUALLY CONTROLLEDGRADERS, SCARIFIERS, SCRAPERS, AND RIPPERS ADAPTED TO BE EMPLOYED FOR THE CONSTRUCTION AND MAINTENANCEOF ROADS, FOR MOVING AND REMOVING OF EARTH, ROCK, SNOW AND LIKE MATERIALS, FOR PREVENTING SOIL EROSIONAND FOR OTHER INDUSTRIAL AND AGRICULTURAL USES; TRACTORS FOR INDUSTRIAL AND AGRICULTURAL PURPOSES; ANDPARTS AND SERVICE TOOLS FURNISHED WITH SAID PRODUCTS

International Class(es): 007 U.S Class(es): 023 - Primary Class

Class Status: ACTIVE

Basis: 1(a)

First Use: Dec. 06, 1948 Use in Commerce: Dec. 06, 1948

Filed Use: Yes Currently Use: Yes

Filed ITU: No Currently ITU: No

Filed 44D: No Currently 44E: No

Filed 44E: No Currently 66A: No

Filed 66A: No Currently No Basis: No

Filed No Basis: No

Owner Name: CATERPILLAR INC.

Owner Address: 100 N.E. ADAMS STREETPEORIA, ILLINOIS UNITED STATES 616299620

Legal Entity Type: CORPORATION State or Country WhereOrganized:

DELAWARE

Attorney of Record

Attorney Name: Jonathan M. Gelchinsky Docket Number: 8407.5129-14

Attorney Primary EmailAddress:

[email protected] Attorney Email Authorized: Yes

Correspondent

CorrespondentName/Address:

Jonathan M. GelchinskyFinnegan, Henderson, Farabow, Garrett & Dunner, L.901 New York Avenue NWWASHINGTON, DISTRICT OF COLUMBIA UNITED STATES 20001-4413

Phone: 202.408.4000 Fax: 202.408.4400

Correspondent e-mail: [email protected] Correspondent e-mailAuthorized:

Yes

Domestic Representative - Not Found

Date Description Proceeding Number

Sep. 24, 2012 NOTICE OF ACCEPTANCE OF SEC. 8 & 9 - E-MAILED

Sep. 23, 2012 REGISTERED AND RENEWED (FOURTH RENEWAL - 10 YRS) 76293

Sep. 23, 2012 REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED 76293

Sep. 23, 2012 CASE ASSIGNED TO POST REGISTRATION PARALEGAL 76293

Sep. 10, 2012 TEAS SECTION 8 & 9 RECEIVEDPrivacy - Terms

Page 11: ESTTA Tracking number: ESTTA1032860 01/31/2020

1/29/2020 Status Search SN 564272

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TM Staff and Location Information

Assignment Abstract Of Title Information

Oct. 16, 2008 CASE FILE IN TICRS

Feb. 27, 2008 ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED

Feb. 27, 2008 TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED

Oct. 18, 2006 REVIEW OF CORRESPONDENCE COMPLETE 59315

Apr. 20, 2006 PAPER RECEIVED

May 04, 2002 REGISTERED AND RENEWED (THIRD RENEWAL - 10 YRS)

May 04, 2002 REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED

Oct. 05, 2001 REGISTERED - COMBINED SECTION 8 (10-YR) & SEC. 9 FILED

Feb. 28, 1995 REGISTERED AND RENEWED (SECOND RENEWAL - 10 YRS)

Jul. 07, 1992 REGISTERED - SEC. 9 FILED/CHECK RECORD FOR SEC. 8

Sep. 23, 1972 REGISTERED AND RENEWED (FIRST RENEWAL - 20 YRS)

TM Staff Information - None

File Location

Current Location: GENERIC WEB UPDATE Date in Location: Sep. 23, 2012

Summary

Total Assignments: 1 Registrant: CATERPILLAR TRACTOR CO.

Assignment 1 of 1

Conveyance: ASSIGNS THE ENTIRE INTEREST AND THE GOODWILL

Reel/Frame: 0531/0979 Pages: 2

Date Recorded: Jul. 10, 1986

Supporting Documents: No Supporting Documents Available

Assignor

Name: CATERPILLAR TRACTOR CO. Execution Date: May 22, 1986

Legal Entity Type: CORPORATION State or Country WhereOrganized:

CALIFORNIA

Assignee

Name: CATERPILLAR INC.

Legal Entity Type: CORPORATION State or Country WhereOrganized:

DELAWARE

Address: 100 N.E. ADAMS ST.PEORIA, ILLINOIS

Correspondent

Correspondent Name: CATERPILLAR, INC.

Correspondent Address: C/O EUGENE C. GOODALEPEORIA, IL 61629

Domestic Representative - Not Found

Conveyance Filter

Proceedings - Click to Load

Privacy - Terms

Page 12: ESTTA Tracking number: ESTTA1032860 01/31/2020

EXHIBIT 2

Page 13: ESTTA Tracking number: ESTTA1032860 01/31/2020

1/29/2020 Status Search SN 742294

https://tsdr.uspto.gov/#caseNumber=742294&caseSearchType=US_APPLICATION&caseType=DEFAULT&searchType=statusSearch 1/3

STATUS DOCUMENTS MAINTENANCE Back to Search Print

BULK DATA: Since May 7 at 12 a.m., the TSDR Application Programming Interface (API) has not included all information. Images of trademarkregistration certificates issued since July 2016 and some office actions are absent in the API. Customers who need to retrieve a copy of a registrationcertificate or an office action should download it directly from the TSDR documents tab. INTERMITTENT SYSTEM ISSUES: Due to high-volume usage, you may experience intermittent issues on the Trademark Status and Document Retrieval(TSDR) system between 6 – 8 a.m. ET. Refreshing your web browser should resolve the issue. If you still need assistance accessing a document, [email protected] and include your serial number, the document you are looking for, and a screenshot of any error messages you have received.

Generated on: This page was generated by TSDR on 2020-01-29 16:00:36 EST

Mark: CAT

US Serial Number: 72137716 Application Filing Date: Feb. 12, 1962

US Registration Number: 742294 Registration Date: Dec. 18, 1962

Register: Principal

Mark Type: Trademark

TM5 Common StatusDescriptor:

LIVE/REGISTRATION/Issued and Active

The trademark application has been registered with the Office.

Status: The registration has been renewed.

Status Date: Oct. 17, 2012

No Image exists for this case.

Mark Information

Related Properties Information

Goods and Services

Basis Information (Case Level)

Mark Literal Elements: CAT

Standard Character Claim: No

Mark Drawing Type: 1 - TYPESET WORD(S) /LETTER(S) /NUMBER(S)

Claimed Ownership of USRegistrations:

0564272

Note:The following symbols indicate that the registrant/owner has amended the goods/services:

Brackets [..] indicate deleted goods/services;Double parenthesis ((..)) identify any goods/services not claimed in a Section 15 affidavit of incontestability; andAsterisks *..* identify additional (new) wording in the goods/services.

For: Toy Replicas of [ Wheel Tractors, ] Track-Type Tractors, Tractor Loaders, Bulldozers, [ Dump Wagons, ] Motor Graders [, Scrapers andRippers ]

International Class(es): 028 U.S Class(es): 022 - Primary Class

Class Status: ACTIVE

Basis: 1(a)

First Use: Sep. 1955 Use in Commerce: Sep. 1955

Filed Use: Yes Currently Use: Yes

Filed ITU: No Currently ITU: No Privacy - Terms

Page 14: ESTTA Tracking number: ESTTA1032860 01/31/2020

1/29/2020 Status Search SN 742294

https://tsdr.uspto.gov/#caseNumber=742294&caseSearchType=US_APPLICATION&caseType=DEFAULT&searchType=statusSearch 2/3

Current Owner(s) Information

Attorney/Correspondence Information

Prosecution History

TM Staff and Location Information

Assignment Abstract Of Title Information

Filed 44D: No Currently 44E: No

Filed 44E: No Currently 66A: No

Filed 66A: No Currently No Basis: No

Filed No Basis: No

Owner Name: Caterpillar Inc.

Owner Address: 100 N.E. Adams StreetPeoria, ILLINOIS UNITED STATES 61629

Legal Entity Type: CORPORATION State or Country WhereOrganized:

DELAWARE

Attorney of Record

Attorney Name: Jonathan M. Gelchinsky Docket Number: 8407.5129-13

Attorney Primary EmailAddress:

[email protected] Attorney Email Authorized: Yes

Correspondent

CorrespondentName/Address:

Jonathan M. GelchinskyFinnegan, Henderson, Farabow, Garrett & Dunner, L.901 NEW YORK AVENUE NWWASHINGTON, DISTRICT OF COLUMBIA UNITED STATES 20001-4413

Phone: 202.408.4000 Fax: 202.408.4400

Correspondent e-mail: [email protected] Correspondent e-mailAuthorized:

Yes

Domestic Representative - Not Found

Date Description Proceeding Number

Oct. 17, 2012 NOTICE OF ACCEPTANCE OF SEC. 8 & 9 - E-MAILED

Oct. 17, 2012 REGISTERED AND RENEWED (THIRD RENEWAL - 10 YRS) 75184

Oct. 17, 2012 REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED 75184

Oct. 16, 2012 TEAS SECTION 8 & 9 RECEIVED

Oct. 29, 2008 CASE FILE IN TICRS

Feb. 27, 2008 ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED

Feb. 27, 2008 TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED

Feb. 19, 2002 REGISTERED AND RENEWED (SECOND RENEWAL - 10 YRS)

Feb. 19, 2002 REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED

Dec. 18, 2001 REGISTERED - COMBINED SECTION 8 (10-YR) & SEC. 9 FILED

Dec. 18, 1982 REGISTERED AND RENEWED (FIRST RENEWAL - 20 YRS)

Dec. 10, 1968 REGISTERED - SEC. 8 (6-YR) ACCEPTED & SEC. 15 ACK.

TM Staff Information - None

File Location

Current Location: GENERIC WEB UPDATE Date in Location: Oct. 17, 2012

Summary Conveyance FilterPrivacy - Terms

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Total Assignments: 1 Registrant: Caterpillar Tractor Co.

Assignment 1 of 1

Conveyance: ASSIGNS THE ENTIRE INTEREST AND THE GOODWILL

Reel/Frame: 0531/0979 Pages: 2

Date Recorded: Jul. 10, 1986

Supporting Documents: No Supporting Documents Available

Assignor

Name: CATERPILLAR TRACTOR CO. Execution Date: May 22, 1986

Legal Entity Type: CORPORATION State or Country WhereOrganized:

CALIFORNIA

Assignee

Name: CATERPILLAR INC.

Legal Entity Type: CORPORATION State or Country WhereOrganized:

DELAWARE

Address: 100 N.E. ADAMS ST.PEORIA, ILLINOIS

Correspondent

Correspondent Name: CATERPILLAR, INC.

Correspondent Address: C/O EUGENE C. GOODALEPEORIA, IL 61629

Domestic Representative - Not Found

Proceedings - Click to Load

Privacy - Terms

Page 16: ESTTA Tracking number: ESTTA1032860 01/31/2020

EXHIBIT 3

Page 17: ESTTA Tracking number: ESTTA1032860 01/31/2020

1/29/2020 Status Search SN 770639

https://tsdr.uspto.gov/#caseNumber=770639&caseSearchType=US_APPLICATION&caseType=DEFAULT&searchType=statusSearch 1/3

STATUS DOCUMENTS MAINTENANCE Back to Search Print

BULK DATA: Since May 7 at 12 a.m., the TSDR Application Programming Interface (API) has not included all information. Images of trademarkregistration certificates issued since July 2016 and some office actions are absent in the API. Customers who need to retrieve a copy of a registrationcertificate or an office action should download it directly from the TSDR documents tab. INTERMITTENT SYSTEM ISSUES: Due to high-volume usage, you may experience intermittent issues on the Trademark Status and Document Retrieval(TSDR) system between 6 – 8 a.m. ET. Refreshing your web browser should resolve the issue. If you still need assistance accessing a document, [email protected] and include your serial number, the document you are looking for, and a screenshot of any error messages you have received.

Generated on: This page was generated by TSDR on 2020-01-29 16:05:01 EST

Mark: CAT

US Serial Number: 72174081 Application Filing Date: Jul. 31, 1963

US Registration Number: 770639 Registration Date: Jun. 02, 1964

Register: Principal

Mark Type: Trademark

TM5 Common StatusDescriptor:

LIVE/REGISTRATION/Issued and Active

The trademark application has been registered with the Office.

Status: The registration has been renewed.

Status Date: May 05, 2014

No Image exists for this case.

Mark Information

Related Properties Information

Goods and Services

Basis Information (Case Level)

Mark Literal Elements: CAT

Standard Character Claim: No

Mark Drawing Type: 1 - TYPESET WORD(S) /LETTER(S) /NUMBER(S)

Claimed Ownership of USRegistrations:

0564272, 0742294

Note:The following symbols indicate that the registrant/owner has amended the goods/services:

Brackets [..] indicate deleted goods/services;Double parenthesis ((..)) identify any goods/services not claimed in a Section 15 affidavit of incontestability; andAsterisks *..* identify additional (new) wording in the goods/services.

For: Motor Trucks, Dump Wagons, Wheel Tractor-Dump Wagon Combinations, Wheel Tractors, and Parts Therefor

International Class(es): 012 U.S Class(es): 019 - Primary Class

Class Status: ACTIVE

Basis: 1(a)

First Use: Feb. 17, 1949 Use in Commerce: Feb. 17, 1949

Filed Use: Yes Currently Use: Yes

Filed ITU: No Currently ITU: No

Filed 44D: No Currently 44E: No Privacy - Terms

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Current Owner(s) Information

Attorney/Correspondence Information

Prosecution History

TM Staff and Location Information

Filed 44E: No Currently 66A: No

Filed 66A: No Currently No Basis: No

Filed No Basis: No

Owner Name: Caterpillar Inc.

Owner Address: 100 N.E. Adams StreetPeoria, ILLINOIS UNITED STATES 61629

Legal Entity Type: CORPORATION State or Country WhereOrganized:

DELAWARE

Attorney of Record

Attorney Name: Whitney Devin Cooke Docket Number: 8407.5129-11

Attorney Primary EmailAddress:

[email protected] Attorney Email Authorized: Yes

Correspondent

CorrespondentName/Address:

Whitney Devin CookeFinnegan, Henderson, Farabow, Garrett & Dunner LLP901 New York Avenue NWWashington, DISTRICT OF COLUMBIA UNITED STATES 20001-4413

Phone: 202.408.4000 Fax: 202.408.4400

Correspondent e-mail: [email protected] Correspondent e-mailAuthorized:

Yes

Domestic Representative - Not Found

Date Description Proceeding Number

May 05, 2014 NOTICE OF ACCEPTANCE OF SEC. 8 & 9 - E-MAILED

May 05, 2014 REGISTERED AND RENEWED (THIRD RENEWAL - 10 YRS) 68502

May 05, 2014 REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED 68502

Apr. 23, 2014 REGISTERED - COMBINED SECTION 8 (10-YR) & SEC. 9 FILED 68502

May 05, 2014 CASE ASSIGNED TO POST REGISTRATION PARALEGAL 68502

Apr. 23, 2014 TEAS SECTION 8 & 9 RECEIVED

Nov. 14, 2008 CASE FILE IN TICRS

Feb. 27, 2008 ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED

Feb. 27, 2008 TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED

Oct. 19, 2006 REVIEW OF CORRESPONDENCE COMPLETE 59315

Apr. 20, 2006 PAPER RECEIVED

Nov. 28, 2003 REGISTERED AND RENEWED (SECOND RENEWAL - 10 YRS)

Nov. 28, 2003 REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED

Sep. 24, 2003 REGISTERED - COMBINED SECTION 8 (10-YR) & SEC. 9 FILED

Sep. 24, 2003 TEAS SECTION 8 & 9 RECEIVED

Jul. 17, 2003 PAPER RECEIVED

Jun. 02, 1984 REGISTERED AND RENEWED (FIRST RENEWAL - 20 YRS)

TM Staff Information - None

File Location

Current Location: GENERIC WEB UPDATE Date in Location: May 05, 2014Privacy - Terms

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Assignment Abstract Of Title Information

Summary

Total Assignments: 2 Registrant: Caterpillar Tractor Co.

Assignment 1 of 2

Conveyance: ASSIGNS THE ENTIRE INTEREST AND THE GOODWILL

Reel/Frame: 0531/0979 Pages: 2

Date Recorded: Jul. 10, 1986

Supporting Documents: No Supporting Documents Available

Assignor

Name: CATERPILLAR TRACTOR CO. Execution Date: May 22, 1986

Legal Entity Type: CORPORATION State or Country WhereOrganized:

CALIFORNIA

Assignee

Name: CATERPILLAR INC.

Legal Entity Type: CORPORATION State or Country WhereOrganized:

DELAWARE

Address: 100 N.E. ADAMS ST.PEORIA, ILLINOIS

Correspondent

Correspondent Name: CATERPILLAR, INC.

Correspondent Address: C/O EUGENE C. GOODALEPEORIA, IL 61629

Domestic Representative - Not Found

Assignment 2 of 2

Conveyance: CHANGE OF NAME

Reel/Frame: 2794/0516 Pages: 3

Date Recorded: Jul. 17, 2003

Supporting Documents: assignment-tm-2794-0516.pdf

Assignor

Name: CATERPILLAR TRACTOR CO. Execution Date: Jul. 02, 2003

Legal Entity Type: CORPORATION State or Country WhereOrganized:

No Place Where Organized Found

Assignee

Name: CATERPILLAR INC.

Legal Entity Type: CORPORATION State or Country WhereOrganized:

DELAWARE

Address: 100 N.E. ADAMS ST.PEORIA, ILLINOIS 61629-9620

Correspondent

Correspondent Name: GENE BOLMARCICH

Correspondent Address: 100 N.E. ADAMS ST.PEORIA, IL 61629-9620

Domestic Representative - Not Found

Conveyance Filter

Proceedings - Click to Load

Privacy - Terms

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EXHIBIT 4

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1/29/2020 Status Search SN 984444

https://tsdr.uspto.gov/#caseNumber=984444&caseSearchType=US_APPLICATION&caseType=DEFAULT&searchType=statusSearch 1/3

STATUS DOCUMENTS MAINTENANCE Back to Search Print

BULK DATA: Since May 7 at 12 a.m., the TSDR Application Programming Interface (API) has not included all information. Images of trademarkregistration certificates issued since July 2016 and some office actions are absent in the API. Customers who need to retrieve a copy of a registrationcertificate or an office action should download it directly from the TSDR documents tab. INTERMITTENT SYSTEM ISSUES: Due to high-volume usage, you may experience intermittent issues on the Trademark Status and Document Retrieval(TSDR) system between 6 – 8 a.m. ET. Refreshing your web browser should resolve the issue. If you still need assistance accessing a document, [email protected] and include your serial number, the document you are looking for, and a screenshot of any error messages you have received.

Generated on: This page was generated by TSDR on 2020-01-29 16:06:57 EST

Mark: CAT

US Serial Number: 72452924 Application Filing Date: Mar. 29, 1973

US Registration Number: 984444 Registration Date: May 21, 1974

Register: Principal

Mark Type: Trademark

TM5 Common StatusDescriptor:

LIVE/REGISTRATION/Issued and Active

The trademark application has been registered with the Office.

Status: The registration has been renewed.

Status Date: Apr. 08, 2014

Mark Information

Related Properties Information

Goods and Services

Basis Information (Case Level)

Mark Literal Elements: CAT

Standard Character Claim: No

Mark Drawing Type: 1 - TYPESET WORD(S) /LETTER(S) /NUMBER(S)

Claimed Ownership of USRegistrations:

0564272, 0770639

Note:The following symbols indicate that the registrant/owner has amended the goods/services:

Brackets [..] indicate deleted goods/services;Double parenthesis ((..)) identify any goods/services not claimed in a Section 15 affidavit of incontestability; andAsterisks *..* identify additional (new) wording in the goods/services.

For: LIFT TRUCKS, AND ENGINES, ATTACHMENTS AND PARTS THEREFOR

International Class(es): 007 U.S Class(es): 023 - Primary Class

Class Status: ACTIVE

Basis: 1(a)

First Use: Jan. 30, 1973 Use in Commerce: Jan. 30, 1973

Filed Use: Yes Currently Use: Yes

Filed ITU: No Currently ITU: No

Filed 44D: No Currently 44E: No

Filed 44E: No Currently 66A: No

Filed 66A: No Currently No Basis: No Privacy - Terms

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Current Owner(s) Information

Attorney/Correspondence Information

Prosecution History

TM Staff and Location Information

Filed No Basis: No

Owner Name: CATERPILLAR INC.

Owner Address: 100 N.E. ADAMS ST.PEORIA, ILLINOIS UNITED STATES 61629

Legal Entity Type: CORPORATION State or Country WhereOrganized:

DELAWARE

Attorney of Record

Attorney Name: Whitney Devin Cooke Docket Number: 8407.5129-08

Attorney Primary EmailAddress:

[email protected] Attorney Email Authorized: Yes

Correspondent

CorrespondentName/Address:

Whitney Devin CookeFinnegan, Henderson, Farabow, Garrett & Dunner, LL901 New York Avenue NWWashington, DISTRICT OF COLUMBIA UNITED STATES 20001-4413

Phone: 202.408.4000 Fax: 202.408.4400

Correspondent e-mail: [email protected] Correspondent e-mailAuthorized:

Yes

Domestic Representative - Not Found

Date Description Proceeding Number

May 20, 2014 NOTICE OF ACCEPTANCE OF SEC. 8 & 9 - E-MAILED

Apr. 08, 2014 NOTICE OF ACCEPTANCE OF SEC. 8 & 9 - E-MAILED

Apr. 08, 2014 REGISTERED AND RENEWED (THIRD RENEWAL - 10 YRS) 76985

Apr. 08, 2014 REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED 76985

Mar. 12, 2014 REGISTERED - COMBINED SECTION 8 (10-YR) & SEC. 9 FILED 76985

Apr. 08, 2014 CASE ASSIGNED TO POST REGISTRATION PARALEGAL 76985

Mar. 12, 2014 TEAS SECTION 8 & 9 RECEIVED

Aug. 06, 2008 CASE FILE IN TICRS

Feb. 27, 2008 ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED

Feb. 27, 2008 TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED

Oct. 18, 2006 REVIEW OF CORRESPONDENCE COMPLETE 59315

Apr. 20, 2006 PAPER RECEIVED

Sep. 30, 2003 REGISTERED AND RENEWED (SECOND RENEWAL - 10 YRS)

Sep. 30, 2003 REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED

Jul. 02, 2003 REGISTERED - COMBINED SECTION 8 (10-YR) & SEC. 9 FILED

Jul. 02, 2003 TEAS SECTION 8 & 9 RECEIVED

Jul. 20, 1994 REGISTERED AND RENEWED (FIRST RENEWAL - 10 YRS)

Apr. 26, 1994 REGISTERED - SEC. 9 FILED/CHECK RECORD FOR SEC. 8

Apr. 21, 1980 REGISTERED - SEC. 8 (6-YR) ACCEPTED & SEC. 15 ACK.

TM Staff Information - None

File Location

Current Location: POST REGISTRATION Date in Location: May 20, 2014 Privacy - Terms

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Assignment Abstract Of Title Information

Summary

Total Assignments: 1 Registrant: CATERPILLAR TRACTOR CO.

Assignment 1 of 1

Conveyance: ASSIGNS THE ENTIRE INTEREST AND THE GOODWILL

Reel/Frame: 0531/0979 Pages: 2

Date Recorded: Jul. 10, 1986

Supporting Documents: No Supporting Documents Available

Assignor

Name: CATERPILLAR TRACTOR CO. Execution Date: May 22, 1986

Legal Entity Type: CORPORATION State or Country WhereOrganized:

CALIFORNIA

Assignee

Name: CATERPILLAR INC.

Legal Entity Type: CORPORATION State or Country WhereOrganized:

DELAWARE

Address: 100 N.E. ADAMS ST.PEORIA, ILLINOIS

Correspondent

Correspondent Name: CATERPILLAR, INC.

Correspondent Address: C/O EUGENE C. GOODALEPEORIA, IL 61629

Domestic Representative - Not Found

Conveyance Filter

Proceedings - Click to Load

Privacy - Terms

Page 24: ESTTA Tracking number: ESTTA1032860 01/31/2020

EXHIBIT 5

Page 25: ESTTA Tracking number: ESTTA1032860 01/31/2020

1/29/2020 Status Search SN 1023137

https://tsdr.uspto.gov/#caseNumber=1023137&caseSearchType=US_APPLICATION&caseType=DEFAULT&searchType=statusSearch 1/3

STATUS DOCUMENTS MAINTENANCE Back to Search Print

BULK DATA: Since May 7 at 12 a.m., the TSDR Application Programming Interface (API) has not included all information. Images of trademarkregistration certificates issued since July 2016 and some office actions are absent in the API. Customers who need to retrieve a copy of a registrationcertificate or an office action should download it directly from the TSDR documents tab. INTERMITTENT SYSTEM ISSUES: Due to high-volume usage, you may experience intermittent issues on the Trademark Status and Document Retrieval(TSDR) system between 6 – 8 a.m. ET. Refreshing your web browser should resolve the issue. If you still need assistance accessing a document, [email protected] and include your serial number, the document you are looking for, and a screenshot of any error messages you have received.

Generated on: This page was generated by TSDR on 2020-01-29 16:11:09 EST

Mark: CAT

US Serial Number: 73001719 Application Filing Date: Sep. 24, 1973

US Registration Number: 1023137 Registration Date: Oct. 21, 1975

Register: Principal

Mark Type: Trademark

TM5 Common StatusDescriptor:

LIVE/REGISTRATION/Issued and Active

The trademark application has been registered with the Office.

Status: The registration has been renewed.

Status Date: May 28, 2015

No Image exists for this case.

Mark Information

Related Properties Information

Goods and Services

Basis Information (Case Level)

Mark Literal Elements: CAT

Standard Character Claim: No

Mark Drawing Type: 1 - TYPESET WORD(S) /LETTER(S) /NUMBER(S)

Claimed Ownership of USRegistrations:

0564272

Note:The following symbols indicate that the registrant/owner has amended the goods/services:

Brackets [..] indicate deleted goods/services;Double parenthesis ((..)) identify any goods/services not claimed in a Section 15 affidavit of incontestability; andAsterisks *..* identify additional (new) wording in the goods/services.

For: BATTERIES, FUSES, ELECTRICAL CABLES, CONDUITS, FASTENERS AND TERMINALS; SWITCHES, ENGINE STARTING SYSTEMS,SPARK PLUGS, SPARK PLUG FIRING INDICATORS, LOAD SIGNAL SYSTEMS, FLASHERS, BRAKE ACCUMULATOR BUZZERS, LOWAIR PRESSURE ALARMS, TURN SIGNAL FLASHERS, SPEEDOMETERS, ODOMETERS, TIRE WEAR GAUGES, TIRE PRESSUREGAUGES, HYDRAULIC SYSTEM FILTER INDICATORS, AIR CLEANER SERVICE INDICATORS, FUEL PRESSURE GAUGES, ENGINEOIL PRESSURE GAUGES, TORQUE CONVERTER TEMPERATURE GAUGES, WATER TEMPERATURE GAUGES, AND SERVICEMETERS

International Class(es): 009 - Primary Class U.S Class(es): 021, 026

Class Status: ACTIVE

Basis: 1(a)

First Use: Aug. 01, 1966 Use in Commerce: Aug. 01, 1966

Privacy - Terms

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Current Owner(s) Information

Attorney/Correspondence Information

Prosecution History

TM Staff and Location Information

Filed Use: Yes Currently Use: Yes

Filed ITU: No Currently ITU: No

Filed 44D: No Currently 44E: No

Filed 44E: No Currently 66A: No

Filed 66A: No Currently No Basis: No

Filed No Basis: No

Owner Name: CATERPILLAR INC.

Owner Address: 100 N.E. ADAMS ST.PEORIA, ILLINOIS UNITED STATES 61629

Legal Entity Type: CORPORATION State or Country WhereOrganized:

DELAWARE

Attorney of Record

Attorney Name: Christopher P. Foley Docket Number: 8407.5129-07

Attorney Primary EmailAddress:

[email protected] Attorney Email Authorized: Yes

Correspondent

CorrespondentName/Address:

Christopher P. FoleyFinnegan Henderson Farabow Garrett & Dunner, LLP901 New Yor Avenue NWWashington, DISTRICT OF COLUMBIA UNITED STATES 20001-4413

Phone: 202-408-4000 Fax: 202.408.4400

Correspondent e-mail: [email protected] Correspondent e-mailAuthorized:

Yes

Domestic Representative - Not Found

Date Description Proceeding Number

May 28, 2015 NOTICE OF ACCEPTANCE OF SEC. 8 & 9 - E-MAILED

May 28, 2015 REGISTERED AND RENEWED (THIRD RENEWAL - 10 YRS) 76293

May 28, 2015 REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED 76293

May 06, 2015 TEAS SECTION 8 & 9 RECEIVED

Feb. 27, 2008 ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED

Feb. 27, 2008 TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED

Oct. 30, 2007 CASE FILE IN TICRS

Feb. 14, 2005 REGISTERED AND RENEWED (SECOND RENEWAL - 10 YRS)

Feb. 14, 2005 REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED

Jan. 31, 2005 REGISTERED - COMBINED SECTION 8 (10-YR) & SEC. 9 FILED

Jan. 31, 2005 TEAS SECTION 8 & 9 RECEIVED

Nov. 02, 1995 REGISTERED AND RENEWED (FIRST RENEWAL - 10 YRS)

Aug. 21, 1995 POST REGISTRATION ACTION CORRECTION

Aug. 21, 1995 REGISTERED - SEC. 9 FILED/CHECK RECORD FOR SEC. 8

Nov. 02, 1981 REGISTERED - SEC. 8 (6-YR) ACCEPTED & SEC. 15 ACK.

TM Staff Information - None Privacy - Terms

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Assignment Abstract Of Title Information

File Location

Current Location: GENERIC WEB UPDATE Date in Location: May 28, 2015

Summary

Total Assignments: 1 Registrant: CATERPILLAR TRACTOR CO.

Assignment 1 of 1

Conveyance: ASSIGNS THE ENTIRE INTEREST AND THE GOODWILL

Reel/Frame: 0531/0979 Pages: 2

Date Recorded: Jul. 10, 1986

Supporting Documents: No Supporting Documents Available

Assignor

Name: CATERPILLAR TRACTOR CO. Execution Date: May 22, 1986

Legal Entity Type: CORPORATION State or Country WhereOrganized:

CALIFORNIA

Assignee

Name: CATERPILLAR INC.

Legal Entity Type: CORPORATION State or Country WhereOrganized:

DELAWARE

Address: 100 N.E. ADAMS ST.PEORIA, ILLINOIS

Correspondent

Correspondent Name: CATERPILLAR, INC.

Correspondent Address: C/O EUGENE C. GOODALEPEORIA, IL 61629

Domestic Representative - Not Found

Conveyance Filter

Proceedings - Click to Load

Privacy - Terms

Page 28: ESTTA Tracking number: ESTTA1032860 01/31/2020

EXHIBIT 6

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1/29/2020 Status Search SN 1275103

https://tsdr.uspto.gov/#caseNumber=1275103&caseSearchType=US_APPLICATION&caseType=DEFAULT&searchType=statusSearch 1/3

STATUS DOCUMENTS MAINTENANCE Back to Search Print

BULK DATA: Since May 7 at 12 a.m., the TSDR Application Programming Interface (API) has not included all information. Images of trademarkregistration certificates issued since July 2016 and some office actions are absent in the API. Customers who need to retrieve a copy of a registrationcertificate or an office action should download it directly from the TSDR documents tab. INTERMITTENT SYSTEM ISSUES: Due to high-volume usage, you may experience intermittent issues on the Trademark Status and Document Retrieval(TSDR) system between 6 – 8 a.m. ET. Refreshing your web browser should resolve the issue. If you still need assistance accessing a document, [email protected] and include your serial number, the document you are looking for, and a screenshot of any error messages you have received.

Generated on: This page was generated by TSDR on 2020-01-29 16:37:01 EST

Mark: CAT

US Serial Number: 73392835 Application Filing Date: Sep. 29, 1982

US Registration Number: 1275103 Registration Date: Apr. 24, 1984

Register: Principal

Mark Type: Trademark

TM5 Common StatusDescriptor:

LIVE/REGISTRATION/Issued and Active

The trademark application has been registered with the Office.

Status: The registration has been renewed.

Status Date: Mar. 29, 2014

Publication Date: Jan. 31, 1984

No Image exists for this case.

Mark Information

Related Properties Information

Goods and Services

Mark Literal Elements: CAT

Standard Character Claim: No

Mark Drawing Type: 1 - TYPESET WORD(S) /LETTER(S) /NUMBER(S)

Claimed Ownership of USRegistrations:

0564272, 0742294 and others

Note:The following symbols indicate that the registrant/owner has amended the goods/services:

Brackets [..] indicate deleted goods/services;Double parenthesis ((..)) identify any goods/services not claimed in a Section 15 affidavit of incontestability; andAsterisks *..* identify additional (new) wording in the goods/services.

For: Note Pads, Stationery Type Portfolios, Pencils, Pens, and Decals

International Class(es): 016 - Primary Class U.S Class(es): 037, 038

Class Status: ACTIVE

Basis: 1(a)

First Use: Jan. 1970 Use in Commerce: Jan. 1970

For: Golf Balls, Tees and Tennis Balls

International Class(es): 028 - Primary Class U.S Class(es): 022

Class Status: SECTION 8 - CANCELLED

Basis: 1(a)Privacy - Terms

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Basis Information (Case Level)

Current Owner(s) Information

Attorney/Correspondence Information

Prosecution History

First Use: Jan. 1970 Use in Commerce: Jan. 1970

Filed Use: Yes Currently Use: Yes

Filed ITU: No Currently ITU: No

Filed 44D: No Currently 44E: No

Filed 44E: No Currently 66A: No

Filed 66A: No Currently No Basis: No

Filed No Basis: No

Owner Name: CATERPILLAR INC.

Owner Address: 100 NE ADAMS STPEORIA, ILLINOIS UNITED STATES 61629

Legal Entity Type: CORPORATION State or Country WhereOrganized:

DELAWARE

Attorney of Record

Attorney Name: Whitney Devin Cooke Docket Number: 8407.5129-05

Attorney Primary EmailAddress:

[email protected] Attorney Email Authorized: Yes

Correspondent

CorrespondentName/Address:

Whitney Devin CookeFinnegan, Henderson, Farabow, Garrett & Dunner LLP901 New York Avenue NWWashington, DISTRICT OF COLUMBIA UNITED STATES 20001-4413

Phone: 202.408.4000 Fax: 202.408.4400

Correspondent e-mail: [email protected] Correspondent e-mailAuthorized:

Yes

Domestic Representative - Not Found

Date Description Proceeding Number

Mar. 29, 2014 NOTICE OF ACCEPTANCE OF SEC. 8 & 9 - E-MAILED

Mar. 29, 2014 REGISTERED AND RENEWED (SECOND RENEWAL - 10 YRS) 66607

Mar. 29, 2014 REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED 66607

Mar. 28, 2014 REGISTERED - COMBINED SECTION 8 (10-YR) & SEC. 9 FILED 66607

Mar. 28, 2014 TEAS SECTION 8 & 9 RECEIVED

May 06, 2008 CASE FILE IN TICRS

Feb. 27, 2008 ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED

Feb. 27, 2008 TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED

Jul. 19, 2003 REGISTERED AND RENEWED (FIRST RENEWAL - 10 YRS)

Jul. 19, 2003 REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED

May 09, 2003 REGISTERED - COMBINED SECTION 8 (10-YR) & SEC. 9 FILED

May 08, 2003 TEAS SECTION 8 & 9 RECEIVED

Jul. 09, 1990 REGISTERED - PARTIAL SEC. 8 (6-YR) ACCEPTED & SEC. 15 ACK.

Apr. 23, 1990 REGISTERED - SEC. 8 (6-YR) & SEC. 15 FILED

Jan. 31, 1984 PUBLISHED FOR OPPOSITION Privacy - Terms

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TM Staff and Location Information

Assignment Abstract Of Title Information

Apr. 24, 1984 REGISTERED-PRINCIPAL REGISTER

Dec. 19, 1983 NOTICE OF PUBLICATION

Dec. 16, 1983 NOTICE OF PUBLICATION

Dec. 14, 1983 NOTICE OF PUBLICATION

Oct. 26, 1983 APPROVED FOR PUB - PRINCIPAL REGISTER

Oct. 17, 1983 CORRESPONDENCE RECEIVED IN LAW OFFICE

Apr. 29, 1983 NON-FINAL ACTION MAILED

Apr. 21, 1983 ASSIGNED TO EXAMINER

TM Staff Information - None

File Location

Current Location: GENERIC WEB UPDATE Date in Location: Mar. 29, 2014

Summary

Total Assignments: 1 Registrant: Caterpillar Tractor Co.

Assignment 1 of 1

Conveyance: ASSIGNS THE ENTIRE INTEREST AND THE GOODWILL

Reel/Frame: 0531/0979 Pages: 2

Date Recorded: Jul. 10, 1986

Supporting Documents: No Supporting Documents Available

Assignor

Name: CATERPILLAR TRACTOR CO. Execution Date: May 22, 1986

Legal Entity Type: CORPORATION State or Country WhereOrganized:

CALIFORNIA

Assignee

Name: CATERPILLAR INC.

Legal Entity Type: CORPORATION State or Country WhereOrganized:

DELAWARE

Address: 100 N.E. ADAMS ST.PEORIA, ILLINOIS

Correspondent

Correspondent Name: CATERPILLAR, INC.

Correspondent Address: C/O EUGENE C. GOODALEPEORIA, IL 61629

Domestic Representative - Not Found

Conveyance Filter

Proceedings - Click to Load

Privacy - Terms

Page 32: ESTTA Tracking number: ESTTA1032860 01/31/2020

EXHIBIT 7

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1/29/2020 Status Search SN 1265041

https://tsdr.uspto.gov/#caseNumber=1265041&caseSearchType=US_APPLICATION&caseType=DEFAULT&searchType=statusSearch 1/3

STATUS DOCUMENTS MAINTENANCE Back to Search Print

BULK DATA: Since May 7 at 12 a.m., the TSDR Application Programming Interface (API) has not included all information. Images of trademarkregistration certificates issued since July 2016 and some office actions are absent in the API. Customers who need to retrieve a copy of a registrationcertificate or an office action should download it directly from the TSDR documents tab. INTERMITTENT SYSTEM ISSUES: Due to high-volume usage, you may experience intermittent issues on the Trademark Status and Document Retrieval(TSDR) system between 6 – 8 a.m. ET. Refreshing your web browser should resolve the issue. If you still need assistance accessing a document, [email protected] and include your serial number, the document you are looking for, and a screenshot of any error messages you have received.

Generated on: This page was generated by TSDR on 2020-01-29 17:35:11 EST

Mark: CAT

US Serial Number: 73392836 Application Filing Date: Sep. 29, 1982

US Registration Number: 1265041 Registration Date: Jan. 24, 1984

Register: Principal

Mark Type: Trademark

TM5 Common StatusDescriptor:

LIVE/REGISTRATION/Issued and Active

The trademark application has been registered with the Office.

Status: The registration has been renewed.

Status Date: Feb. 12, 2014

Publication Date: Nov. 01, 1983

No Image exists for this case.

Mark Information

Related Properties Information

Goods and Services

Mark Literal Elements: CAT

Standard Character Claim: No

Mark Drawing Type: 1 - TYPESET WORD(S) /LETTER(S) /NUMBER(S)

Claimed Ownership of USRegistrations:

05642720, 07422940 and others

Note:The following symbols indicate that the registrant/owner has amended the goods/services:

Brackets [..] indicate deleted goods/services;Double parenthesis ((..)) identify any goods/services not claimed in a Section 15 affidavit of incontestability; andAsterisks *..* identify additional (new) wording in the goods/services.

For: Glasses, Cups and Coasters

International Class(es): 021 - Primary Class U.S Class(es): 002, 033

Class Status: ACTIVE

Basis: 1(a)

First Use: Jan. 1970 Use in Commerce: Jan. 1970

For: Cloth, Iron-On, Sew-On and Pressure-Sensitive Patches

International Class(es): 026 - Primary Class U.S Class(es): 040

Class Status: ACTIVE

Basis: 1(a)Privacy - Terms

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Basis Information (Case Level)

Current Owner(s) Information

Attorney/Correspondence Information

Prosecution History

First Use: Jan. 1970 Use in Commerce: Jan. 1970

Filed Use: Yes Currently Use: Yes

Filed ITU: No Currently ITU: No

Filed 44D: No Currently 44E: No

Filed 44E: No Currently 66A: No

Filed 66A: No Currently No Basis: No

Filed No Basis: No

Owner Name: CATERPILLAR INC.

Owner Address: 100 N.E. ADAMS STPEORIA, ILLINOIS UNITED STATES 616299620

Legal Entity Type: CORPORATION State or Country WhereOrganized:

DELAWARE

Attorney of Record

Attorney Name: Jonathan M. Gelchinsky Docket Number: 8407.5129-04

Attorney Primary EmailAddress:

[email protected] Attorney Email Authorized: Yes

Correspondent

CorrespondentName/Address:

JONATHAN M. GELCHINSKYFINNEGAN, HENDERSON, FARABOW, GARRETT &901 NEW YORK AVENUE NWWASHINGTON, DISTRICT OF COLUMBIA UNITED STATES 20001-4413

Phone: 202.408.4000 Fax: 202.408.4400

Correspondent e-mail: [email protected] Correspondent e-mailAuthorized:

Yes

Domestic Representative - Not Found

Date Description Proceeding Number

Feb. 12, 2014 NOTICE OF ACCEPTANCE OF SEC. 8 & 9 - E-MAILED

Feb. 12, 2014 REGISTERED AND RENEWED (SECOND RENEWAL - 10 YRS) 66607

Feb. 12, 2014 REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED 66607

Jan. 13, 2014 REGISTERED - COMBINED SECTION 8 (10-YR) & SEC. 9 FILED 66607

Feb. 11, 2014 CASE ASSIGNED TO POST REGISTRATION PARALEGAL 66607

Jan. 13, 2014 TEAS SECTION 8 & 9 RECEIVED

May 12, 2008 CASE FILE IN TICRS

Feb. 27, 2008 ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED

Feb. 27, 2008 TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED

May 02, 2003 REGISTERED AND RENEWED (FIRST RENEWAL - 10 YRS)

May 02, 2003 REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED

Feb. 20, 2003 REGISTERED - COMBINED SECTION 8 (10-YR) & SEC. 9 FILED

Feb. 20, 2003 TEAS SECTION 8 & 9 RECEIVED

Apr. 13, 1990 REGISTERED - SEC. 8 (6-YR) ACCEPTED & SEC. 15 ACK.

Jan. 22, 1990 REGISTERED - SEC. 8 (6-YR) & SEC. 15 FILED Privacy - Terms

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TM Staff and Location Information

Assignment Abstract Of Title Information

Nov. 01, 1983 PUBLISHED FOR OPPOSITION

Jan. 24, 1984 REGISTERED-PRINCIPAL REGISTER

Nov. 01, 1983 PUBLISHED FOR OPPOSITION

Nov. 01, 1983 PUBLISHED FOR OPPOSITION

Sep. 20, 1983 NOTICE OF PUBLICATION

Sep. 19, 1983 NOTICE OF PUBLICATION

Sep. 16, 1983 NOTICE OF PUBLICATION

Sep. 15, 1983 NOTICE OF PUBLICATION

Aug. 05, 1983 APPROVED FOR PUB - PRINCIPAL REGISTER

Aug. 04, 1983 ASSIGNED TO EXAMINER

TM Staff Information - None

File Location

Current Location: GENERIC WEB UPDATE Date in Location: Feb. 12, 2014

Summary

Total Assignments: 1 Registrant: Caterpillar Tractor Co.

Assignment 1 of 1

Conveyance: ASSIGNS THE ENTIRE INTEREST AND THE GOODWILL

Reel/Frame: 0531/0979 Pages: 2

Date Recorded: Jul. 10, 1986

Supporting Documents: No Supporting Documents Available

Assignor

Name: CATERPILLAR TRACTOR CO. Execution Date: May 22, 1986

Legal Entity Type: CORPORATION State or Country WhereOrganized:

CALIFORNIA

Assignee

Name: CATERPILLAR INC.

Legal Entity Type: CORPORATION State or Country WhereOrganized:

DELAWARE

Address: 100 N.E. ADAMS ST.PEORIA, ILLINOIS

Correspondent

Correspondent Name: CATERPILLAR, INC.

Correspondent Address: C/O EUGENE C. GOODALEPEORIA, IL 61629

Domestic Representative - Not Found

Conveyance Filter

Proceedings - Click to Load

Privacy - Terms

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EXHIBIT 8

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STATUS DOCUMENTS MAINTENANCE Back to Search Print

BULK DATA: Since May 7 at 12 a.m., the TSDR Application Programming Interface (API) has not included all information. Images of trademarkregistration certificates issued since July 2016 and some office actions are absent in the API. Customers who need to retrieve a copy of a registrationcertificate or an office action should download it directly from the TSDR documents tab. INTERMITTENT SYSTEM ISSUES: Due to high-volume usage, you may experience intermittent issues on the Trademark Status and Document Retrieval(TSDR) system between 6 – 8 a.m. ET. Refreshing your web browser should resolve the issue. If you still need assistance accessing a document, [email protected] and include your serial number, the document you are looking for, and a screenshot of any error messages you have received.

Generated on: This page was generated by TSDR on 2020-01-29 17:38:24 EST

Mark: CAT

US Serial Number: 73762371 Application Filing Date: Nov. 07, 1988

US Registration Number: 1579437 Registration Date: Jan. 23, 1990

Register: Principal

Mark Type: Service Mark

TM5 Common StatusDescriptor:

LIVE/REGISTRATION/Issued and Active

The trademark application has been registered with the Office.

Status: The registration has been renewed.

Status Date: Oct. 06, 2009

Publication Date: Oct. 31, 1989

Mark Information

Related Properties Information

Goods and Services

Mark Literal Elements: CAT

Standard Character Claim: No

Mark Drawing Type: 3 - AN ILLUSTRATION DRAWING WHICH INCLUDES WORD(S)/ LETTER(S)/NUMBER(S)

Design Search Code(s): 26.05.21 - Triangles that are completely or partially shaded 27.03.01 - Geometric figures forming letters, numerals or punctuation

Claimed Ownership of USRegistrations:

0564272, 0778638 and others

Note:The following symbols indicate that the registrant/owner has amended the goods/services:

Brackets [..] indicate deleted goods/services;Double parenthesis ((..)) identify any goods/services not claimed in a Section 15 affidavit of incontestability; andAsterisks *..* identify additional (new) wording in the goods/services.

For: MAINTENANCE AND REPAIR SERVICES IN THE FIELD OF INTERNAL COMBUSTION ENGINES, VEHICLES AND POWEREQUIPMENT; NAMELY TRUCKS, TRACTORS, ENGINES, EARTHMOVING EQUIPMENT, MATER IAL HANDLING EQUIPMENT, PAVINGEQUIPMENT, AGRICULTURAL EQUIPMENT, GENERATORS, AND CONTROL UNITS FOR THE AFOREMENTIONED

International Class(es): 037 - Primary Class U.S Class(es): 103

Class Status: ACTIVE

Basis: 1(a)

First Use: Oct. 20, 1988 Use in Commerce: Oct. 20, 1988 Privacy - Terms

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Basis Information (Case Level)

Current Owner(s) Information

Attorney/Correspondence Information

Prosecution History

Filed Use: Yes Currently Use: Yes

Filed ITU: No Currently ITU: No

Filed 44D: No Currently 44E: No

Filed 44E: No Currently 66A: No

Filed 66A: No Currently No Basis: No

Filed No Basis: No

Owner Name: CATERPILLAR INC.

Owner Address: 100 N. E. ADAMS STREETPEORIA, ILLINOIS UNITED STATES 61629

Legal Entity Type: CORPORATION State or Country WhereOrganized:

DELAWARE

Attorney of Record

Attorney Name: Christie Baty Heinze Docket Number: 8407.5131-12

Attorney Primary EmailAddress:

[email protected] Attorney Email Authorized: Yes

Correspondent

CorrespondentName/Address:

CHRISTIE BATY HEINZEFINNEGAN, HENDERSON, FARABOW, ETAL901 NEW YORK AVENUE NWWASHINGTON, DISTRICT OF COLUMBIA UNITED STATES 20001-4413

Phone: 202-408-4000 Fax: 202.408.4400

Correspondent e-mail: [email protected] Correspondent e-mailAuthorized:

Yes

Domestic Representative - Not Found

Date Description Proceeding Number

Jan. 23, 2019 COURTESY REMINDER - SEC. 8 (10-YR)/SEC. 9 E-MAILED

Oct. 06, 2009 REGISTERED AND RENEWED (SECOND RENEWAL - 10 YRS) 59807

Oct. 06, 2009 REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED

Sep. 10, 2009 ASSIGNED TO PARALEGAL 59807

Sep. 01, 2009 TEAS SECTION 8 & 9 RECEIVED

Dec. 11, 2008 CASE FILE IN TICRS

Feb. 27, 2008 ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED

Feb. 27, 2008 TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED

Jun. 19, 2000 REGISTERED AND RENEWED (FIRST RENEWAL - 10 YRS)

Jun. 19, 2000 REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED

Nov. 24, 1999 REGISTERED - COMBINED SECTION 8 (10-YR) & SEC. 9 FILED

Jul. 03, 1996 REGISTERED - SEC. 8 (6-YR) ACCEPTED & SEC. 15 ACK.

Jan. 18, 1996 REGISTERED - SEC. 8 (6-YR) & SEC. 15 FILED

Jan. 23, 1990 REGISTERED-PRINCIPAL REGISTER

Oct. 31, 1989 PUBLISHED FOR OPPOSITION

Sep. 30, 1989 NOTICE OF PUBLICATION

Aug. 30, 1989 APPROVED FOR PUB - PRINCIPAL REGISTER Privacy - Terms

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TM Staff and Location Information

Assignment Abstract Of Title Information - None recorded

Aug. 18, 1989 CORRESPONDENCE RECEIVED IN LAW OFFICE

Feb. 21, 1989 NON-FINAL ACTION MAILED

Jan. 27, 1989 ASSIGNED TO EXAMINER 63031

Jan. 10, 1989 ASSIGNED TO EXAMINER 62841

TM Staff Information - None

File Location

Current Location: GENERIC WEB UPDATE Date in Location: Oct. 06, 2009

Proceedings - Click to Load

Privacy - Terms

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EXHIBIT 9

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STATUS DOCUMENTS MAINTENANCE Back to Search Print

BULK DATA: Since May 7 at 12 a.m., the TSDR Application Programming Interface (API) has not included all information. Images of trademarkregistration certificates issued since July 2016 and some office actions are absent in the API. Customers who need to retrieve a copy of a registrationcertificate or an office action should download it directly from the TSDR documents tab. INTERMITTENT SYSTEM ISSUES: Due to high-volume usage, you may experience intermittent issues on the Trademark Status and Document Retrieval(TSDR) system between 6 – 8 a.m. ET. Refreshing your web browser should resolve the issue. If you still need assistance accessing a document, [email protected] and include your serial number, the document you are looking for, and a screenshot of any error messages you have received.

Generated on: This page was generated by TSDR on 2020-01-29 17:51:47 EST

Mark: CAT

US Serial Number: 75205498 Application Filing Date: Nov. 29, 1996

US Registration Number: 2158375 Registration Date: May 19, 1998

Register: Principal

Mark Type: Trademark

TM5 Common StatusDescriptor:

LIVE/REGISTRATION/Issued and Active

The trademark application has been registered with the Office.

Status: The registration has been renewed.

Status Date: Mar. 19, 2018

Publication Date: Feb. 24, 1998

Mark Information

Related Properties Information

Goods and Services

Mark Literal Elements: CAT

Standard Character Claim: No

Mark Drawing Type: 3 - AN ILLUSTRATION DRAWING WHICH INCLUDES WORD(S)/ LETTER(S)/NUMBER(S)

Design Search Code(s): 26.05.21 - Triangles that are completely or partially shaded 27.03.01 - Geometric figures forming letters, numerals or punctuation

Note:The following symbols indicate that the registrant/owner has amended the goods/services:

Brackets [..] indicate deleted goods/services;Double parenthesis ((..)) identify any goods/services not claimed in a Section 15 affidavit of incontestability; andAsterisks *..* identify additional (new) wording in the goods/services.

For: watches, clocks, cuff links, tie tacks,[ tie bars, ] [ bracelets, pendants, ] belt buckles of precious metal, [ earrings, charms, ] key chains, [ stickpins, ] lapel pins, [ necklaces, watch fobs, ] alarm clocks, wall clocks, watch bands, belt buckles, watch cases,[ jewelry chains, watch chains,charms, ] chronographs for use as watches, chronometers, [ cigarette holders, ear clips, ] tie clips, [ costume jewelry, ] jewelry, cigarettelighters of precious metal, [ necktie fasteners, ] ornamental pins, pocket watches, [ rings, ] stop watches, watch straps, [ tie fasteners, ] tiepins, [ watch movements, ] parts for watches

International Class(es): 014 - Primary Class U.S Class(es): 002, 027, 028, 050

Class Status: ACTIVE

Basis: 1(a)

First Use: Apr. 1990 Use in Commerce: Apr. 1990Privacy - Terms

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Basis Information (Case Level)

Current Owner(s) Information

Attorney/Correspondence Information

Prosecution History

Filed Use: Yes Currently Use: Yes

Filed ITU: No Currently ITU: No

Filed 44D: No Currently 44E: No

Filed 44E: No Currently 66A: No

Filed 66A: No Currently No Basis: No

Filed No Basis: No

Owner Name: Caterpillar Inc.

Owner Address: 100 N.E. Adams StreetPeoria, ILLINOIS UNITED STATES 61629

Legal Entity Type: CORPORATION State or Country WhereOrganized:

DELAWARE

Attorney of Record

Attorney Name: Christopher P. Foley Docket Number: 8407.5131-10

Attorney Primary EmailAddress:

[email protected] Attorney Email Authorized: Yes

Correspondent

CorrespondentName/Address:

Christopher P. FoleyFinnegan, Henderson, Farabow, Garrett & Dunner, LL901 New York Avenue, NWWashington, DISTRICT OF COLUMBIA UNITED STATES 20001

Phone: 202-408-4000 Fax: 202.408.4400

Correspondent e-mail: [email protected]@finnegan.com

Correspondent e-mailAuthorized:

Yes

Domestic Representative - Not Found

Date Description Proceeding Number

Dec. 06, 2018 APPLICANT/CORRESPONDENCE CHANGES (NON-RESPONSIVE) ENTERED 88888

Dec. 06, 2018 TEAS CHANGE OF OWNER ADDRESS RECEIVED

Mar. 19, 2018 NOTICE OF ACCEPTANCE OF SEC. 8 & 9 - E-MAILED

Mar. 19, 2018 REGISTERED AND RENEWED (SECOND RENEWAL - 10 YRS) 59136

Mar. 19, 2018 REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED 59136

Mar. 17, 2018 CASE ASSIGNED TO POST REGISTRATION PARALEGAL 59136

Mar. 05, 2018 TEAS SECTION 8 & 9 RECEIVED

May 19, 2017 COURTESY REMINDER - SEC. 8 (10-YR)/SEC. 9 E-MAILED

Aug. 02, 2008 REGISTERED AND RENEWED (FIRST RENEWAL - 10 YRS) 59807

Aug. 02, 2008 REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED

Jul. 25, 2008 ASSIGNED TO PARALEGAL 59807

Jul. 14, 2008 TEAS SECTION 8 & 9 RECEIVED

Feb. 27, 2008 ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED

Feb. 27, 2008 TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED

Aug. 15, 2007 CASE FILE IN TICRS

Sep. 04, 2003 REGISTERED - SEC. 8 (6-YR) ACCEPTED & SEC. 15 ACK.

Jun. 24, 2003 REGISTERED - SEC. 8 (6-YR) & SEC. 15 FILED Privacy - Terms

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TM Staff and Location Information

Assignment Abstract Of Title Information - None recorded

Jun. 23, 2003 TEAS SECTION 8 & 15 RECEIVED

May 19, 1998 REGISTERED-PRINCIPAL REGISTER

Feb. 24, 1998 PUBLISHED FOR OPPOSITION

Jan. 23, 1998 NOTICE OF PUBLICATION

Dec. 08, 1997 APPROVED FOR PUB - PRINCIPAL REGISTER

Dec. 05, 1997 ASSIGNED TO EXAMINER 69800

Dec. 03, 1997 EXAMINER'S AMENDMENT MAILED

Jul. 05, 1997 NON-FINAL ACTION MAILED

Jun. 19, 1997 ASSIGNED TO EXAMINER 69800

TM Staff Information - None

File Location

Current Location: GENERIC WEB UPDATE Date in Location: Mar. 19, 2018

Proceedings - Click to Load

Privacy - Terms

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EXHIBIT 10

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STATUS DOCUMENTS MAINTENANCE Back to Search Print

BULK DATA: Since May 7 at 12 a.m., the TSDR Application Programming Interface (API) has not included all information. Images of trademarkregistration certificates issued since July 2016 and some office actions are absent in the API. Customers who need to retrieve a copy of a registrationcertificate or an office action should download it directly from the TSDR documents tab. INTERMITTENT SYSTEM ISSUES: Due to high-volume usage, you may experience intermittent issues on the Trademark Status and Document Retrieval(TSDR) system between 6 – 8 a.m. ET. Refreshing your web browser should resolve the issue. If you still need assistance accessing a document, [email protected] and include your serial number, the document you are looking for, and a screenshot of any error messages you have received.

Generated on: This page was generated by TSDR on 2020-01-29 18:03:33 EST

Mark: CAT

US Serial Number: 75236983 Application Filing Date: Feb. 05, 1997

US Registration Number: 2137147 Registration Date: Feb. 17, 1998

Register: Principal

Mark Type: Trademark

TM5 Common StatusDescriptor:

LIVE/REGISTRATION/Issued and Active

The trademark application has been registered with the Office.

Status: The registration has been renewed.

Status Date: Dec. 15, 2017

Publication Date: Nov. 25, 1997

No Image exists for this case.

Mark Information

Goods and Services

Basis Information (Case Level)

Mark Literal Elements: CAT

Standard Character Claim: No

Mark Drawing Type: 1 - TYPESET WORD(S) /LETTER(S) /NUMBER(S)

Note:The following symbols indicate that the registrant/owner has amended the goods/services:

Brackets [..] indicate deleted goods/services;Double parenthesis ((..)) identify any goods/services not claimed in a Section 15 affidavit of incontestability; andAsterisks *..* identify additional (new) wording in the goods/services.

For: industrial oils for engines, transmissions, hydraulic systems, and drive train compartments

International Class(es): 004 - Primary Class U.S Class(es): 001, 006, 015

Class Status: ACTIVE

Basis: 1(a)

First Use: Feb. 02, 1987 Use in Commerce: Feb. 02, 1987

Filed Use: Yes Currently Use: Yes

Filed ITU: No Currently ITU: No

Filed 44D: No Currently 44E: No

Filed 44E: No Currently 66A: No

Filed 66A: No Currently No Basis: NoPrivacy - Terms

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Current Owner(s) Information

Attorney/Correspondence Information

Prosecution History

Filed No Basis: No

Owner Name: Caterpillar Inc.

Owner Address: 100 N.E. Adams StreetPeoria, ILLINOIS UNITED STATES 61629

Legal Entity Type: CORPORATION State or Country WhereOrganized:

DELAWARE

Attorney of Record

Attorney Name: Christopher P. Foley Docket Number: 8407.5129-02

Attorney Primary EmailAddress:

[email protected] Attorney Email Authorized: Yes

Correspondent

CorrespondentName/Address:

Christopher P. FoleyFinnegan Henderson Farabow Garrett & Dunner LLP901 New Yor Avenue NWWashington, DISTRICT OF COLUMBIA UNITED STATES 20001-4413

Phone: 202.408.4000 Fax: 202.408.4400

Correspondent e-mail: [email protected]@[email protected]

Correspondent e-mailAuthorized:

Yes

Domestic Representative - Not Found

Date Description Proceeding Number

Dec. 15, 2017 NOTICE OF ACCEPTANCE OF SEC. 8 & 9 - E-MAILED

Dec. 15, 2017 REGISTERED AND RENEWED (SECOND RENEWAL - 10 YRS) 76874

Dec. 15, 2017 REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED 76874

Dec. 15, 2017 CASE ASSIGNED TO POST REGISTRATION PARALEGAL 76874

Nov. 17, 2017 TEAS SECTION 8 & 9 RECEIVED

Feb. 27, 2008 ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED

Feb. 27, 2008 TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED

Feb. 16, 2008 REGISTERED AND RENEWED (FIRST RENEWAL - 10 YRS) 68502

Feb. 16, 2008 REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED

Feb. 08, 2008 ASSIGNED TO PARALEGAL 68502

Feb. 06, 2008 TEAS SECTION 8 & 9 RECEIVED

Apr. 09, 2007 CASE FILE IN TICRS

May 15, 2003 REGISTERED - SEC. 8 (6-YR) ACCEPTED & SEC. 15 ACK.

Apr. 15, 2003 REGISTERED - SEC. 8 (6-YR) & SEC. 15 FILED

Feb. 20, 2003 REGISTERED - SEC. 8 (6-YR) & SEC. 15 FILED

Feb. 20, 2003 TEAS SECTION 8 & 15 RECEIVED

Feb. 17, 1998 REGISTERED-PRINCIPAL REGISTER

Nov. 25, 1997 PUBLISHED FOR OPPOSITION

Oct. 24, 1997 NOTICE OF PUBLICATION

Sep. 15, 1997 APPROVED FOR PUB - PRINCIPAL REGISTER

Aug. 29, 1997 ASSIGNED TO EXAMINER 69800

Aug. 21, 1997 ASSIGNED TO EXAMINER 74309

Privacy - Terms

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TM Staff and Location Information

Assignment Abstract Of Title Information - None recorded

TM Staff Information - None

File Location

Current Location: GENERIC WEB UPDATE Date in Location: Dec. 15, 2017

Proceedings - Click to Load

Privacy - Terms

Page 48: ESTTA Tracking number: ESTTA1032860 01/31/2020

EXHIBIT 11

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https://tsdr.uspto.gov/#caseNumber=2140606&caseSearchType=US_APPLICATION&caseType=DEFAULT&searchType=statusSearch 1/3

STATUS DOCUMENTS MAINTENANCE Back to Search Print

BULK DATA: Since May 7 at 12 a.m., the TSDR Application Programming Interface (API) has not included all information. Images of trademarkregistration certificates issued since July 2016 and some office actions are absent in the API. Customers who need to retrieve a copy of a registrationcertificate or an office action should download it directly from the TSDR documents tab. INTERMITTENT SYSTEM ISSUES: Due to high-volume usage, you may experience intermittent issues on the Trademark Status and Document Retrieval(TSDR) system between 6 – 8 a.m. ET. Refreshing your web browser should resolve the issue. If you still need assistance accessing a document, [email protected] and include your serial number, the document you are looking for, and a screenshot of any error messages you have received.

Generated on: This page was generated by TSDR on 2020-01-29 22:09:55 EST

Mark: CAT

US Serial Number: 75236985 Application Filing Date: Feb. 05, 1997

US Registration Number: 2140606 Registration Date: Mar. 03, 1998

Register: Principal

Mark Type: Trademark

TM5 Common StatusDescriptor:

LIVE/REGISTRATION/Issued and Active

The trademark application has been registered with the Office.

Status: The registration has been renewed.

Status Date: Dec. 19, 2017

Publication Date: Dec. 09, 1997

Mark Information

Goods and Services

Mark Literal Elements: CAT

Standard Character Claim: No

Mark Drawing Type: 3 - AN ILLUSTRATION DRAWING WHICH INCLUDES WORD(S)/ LETTER(S)/NUMBER(S)

Design Search Code(s): 26.05.21 - Triangles that are completely or partially shaded

Note:The following symbols indicate that the registrant/owner has amended the goods/services:

Brackets [..] indicate deleted goods/services;Double parenthesis ((..)) identify any goods/services not claimed in a Section 15 affidavit of incontestability; andAsterisks *..* identify additional (new) wording in the goods/services.

For: machinery for earth moving, earth conditioning and material handling, namely, loaders and engines therefor, and parts for vehicle andinternal combustion engines

International Class(es): 007 - Primary Class U.S Class(es): 013, 019, 021, 023, 031, 034, 035

Class Status: ACTIVE

Basis: 1(a)

First Use: Jul. 13, 1988 Use in Commerce: Oct. 20, 1988

For: vehicles for earth and material hauling and handling, namely, tractors and engines therefor

International Class(es): 012 - Primary Class U.S Class(es): 019, 021, 023, 031, 035, 044

Class Status: ACTIVE

Basis: 1(a)

First Use: Jul. 13, 1988 Use in Commerce: Oct. 20, 1988 Privacy - Terms

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Basis Information (Case Level)

Current Owner(s) Information

Attorney/Correspondence Information

Prosecution History

Filed Use: Yes Currently Use: Yes

Filed ITU: No Currently ITU: No

Filed 44D: No Currently 44E: No

Filed 44E: No Currently 66A: No

Filed 66A: No Currently No Basis: No

Filed No Basis: No

Owner Name: Caterpillar Inc.

Owner Address: 100 N.E. Adams StreetPeoria, ILLINOIS UNITED STATES 616296490

Legal Entity Type: CORPORATION State or Country WhereOrganized:

DELAWARE

Attorney of Record

Attorney Name: Christopher P. Foley Docket Number: 8407.5131-11

Attorney Primary EmailAddress:

[email protected] Attorney Email Authorized: Yes

Correspondent

CorrespondentName/Address:

Christopher P. FoleyFinnegan, Henderson, Farabow, Garrett & Dunner LLP100 N.E. Adams StreetPeoria, ILLINOIS UNITED STATES 61629

Phone: 202-408-4000 Fax: 202-408-4400

Correspondent e-mail: [email protected]@[email protected]

Correspondent e-mailAuthorized:

Yes

Domestic Representative - Not Found

Date Description Proceeding Number

Dec. 19, 2017 NOTICE OF ACCEPTANCE OF SEC. 8 & 9 - E-MAILED

Dec. 19, 2017 REGISTERED AND RENEWED (SECOND RENEWAL - 10 YRS) 71359

Dec. 19, 2017 REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED 71359

Dec. 19, 2017 CASE ASSIGNED TO POST REGISTRATION PARALEGAL 71359

Nov. 21, 2017 TEAS SECTION 8 & 9 RECEIVED

Mar. 03, 2017 COURTESY REMINDER - SEC. 8 (10-YR)/SEC. 9 E-MAILED

Mar. 31, 2008 REGISTERED AND RENEWED (FIRST RENEWAL - 10 YRS) 73376

Mar. 31, 2008 REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED

Mar. 03, 2008 ASSIGNED TO PARALEGAL 73376

Feb. 29, 2008 TEAS SECTION 8 & 9 RECEIVED

Feb. 27, 2008 ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED

Feb. 27, 2008 TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED

Mar. 28, 2007 CASE FILE IN TICRS

Oct. 18, 2006 REVIEW OF CORRESPONDENCE COMPLETE 59315

Apr. 20, 2006 PAPER RECEIVED

Sep. 10, 2003 REGISTERED - SEC. 8 (6-YR) ACCEPTED & SEC. 15 ACK. Privacy - Terms

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TM Staff and Location Information

Assignment Abstract Of Title Information - None recorded

Aug. 05, 2003 POST REGISTRATION ACTION MAILED - SEC. 8 & 15

Mar. 28, 2003 REGISTERED - SEC. 8 (6-YR) & SEC. 15 FILED

Mar. 28, 2003 TEAS SECTION 8 & 15 RECEIVED

Mar. 03, 1998 REGISTERED-PRINCIPAL REGISTER

Dec. 09, 1997 PUBLISHED FOR OPPOSITION

Nov. 07, 1997 NOTICE OF PUBLICATION

Sep. 25, 1997 APPROVED FOR PUB - PRINCIPAL REGISTER

Sep. 12, 1997 EXAMINER'S AMENDMENT MAILED

Sep. 04, 1997 ASSIGNED TO EXAMINER 74289

TM Staff Information - None

File Location

Current Location: GENERIC WEB UPDATE Date in Location: Dec. 19, 2017

Proceedings - Click to Load

Privacy - Terms

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EXHIBIT 12

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STATUS DOCUMENTS MAINTENANCE Back to Search Print

BULK DATA: Since May 7 at 12 a.m., the TSDR Application Programming Interface (API) has not included all information. Images of trademarkregistration certificates issued since July 2016 and some office actions are absent in the API. Customers who need to retrieve a copy of a registrationcertificate or an office action should download it directly from the TSDR documents tab. INTERMITTENT SYSTEM ISSUES: Due to high-volume usage, you may experience intermittent issues on the Trademark Status and Document Retrieval(TSDR) system between 6 – 8 a.m. ET. Refreshing your web browser should resolve the issue. If you still need assistance accessing a document, [email protected] and include your serial number, the document you are looking for, and a screenshot of any error messages you have received.

Generated on: This page was generated by TSDR on 2020-01-29 22:12:29 EST

Mark: CAT

US Serial Number: 73392831 Application Filing Date: Sep. 29, 1982

US Registration Number: 1298364 Registration Date: Oct. 02, 1984

Register: Principal

Mark Type: Trademark

TM5 Common StatusDescriptor:

LIVE/REGISTRATION/Issued and Active

The trademark application has been registered with the Office.

Status: The registration has been renewed.

Status Date: Sep. 19, 2014

Publication Date: Jul. 24, 1984

No Image exists for this case.

Mark Information

Related Properties Information

Goods and Services

Mark Literal Elements: CAT

Standard Character Claim: No

Mark Drawing Type: 1 - TYPESET WORD(S) /LETTER(S) /NUMBER(S)

Claimed Ownership of USRegistrations:

0564272, 0742294 and others

Note:The following symbols indicate that the registrant/owner has amended the goods/services:

Brackets [..] indicate deleted goods/services;Double parenthesis ((..)) identify any goods/services not claimed in a Section 15 affidavit of incontestability; andAsterisks *..* identify additional (new) wording in the goods/services.

For: Articles of Nonprecious Metal-Namely, Key Tags, Key Chains [ and Name Plates ]

International Class(es): 006 - Primary Class U.S Class(es): 002, 012, 013, 014, 023, 025, 050

Class Status: ACTIVE

Basis: 1(a)

First Use: Jan. 1970 Use in Commerce: Jan. 1970

For: Articles of Precious Metal-Namely, [ Tie Tacks, ] Belt Buckles, Lapel Pins, Watches [ and Watch Fobs ]

International Class(es): 014 - Primary Class U.S Class(es): 002, 027, 028, 050

Class Status: ACTIVE

Basis: 1(a)Privacy - Terms

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Basis Information (Case Level)

Current Owner(s) Information

Attorney/Correspondence Information

First Use: Jan. 1970 Use in Commerce: Jan. 1970

For: Leather and Imitation Leather Goods-Namely, Business Card Cases, Credit Card Cases, Key Holders, Coin Holders, Briefcases, GarmentBags for Travel, Duffel Bags, Flight Bags, Tote Bags, Umbrellas, Traveling Bags, Purses and Wallets

International Class(es): 018 - Primary Class U.S Class(es): 003, 041

Class Status: ACTIVE

Basis: 1(a)

First Use: Jan. 1970 Use in Commerce: Jan. 1970

For: Work, Sport and Casual Clothing-Namely, Caps, Belts, Ties, Scarves, Headwear, T-Shirts, Shorts, Sweat Pants, Sweat Shirts, Jackets,Vests, Gloves, Mittens, Rain Wear, One-Piece Jump Suits and Socks

International Class(es): 025 - Primary Class U.S Class(es): 039

Class Status: ACTIVE

Basis: 1(a)

First Use: Jan. 1970 Use in Commerce: Jan. 1970

For: Cigarette Lighters [ and Ash Trays ]

International Class(es): 034 - Primary Class U.S Class(es): 002, 008, 009, 017

Class Status: ACTIVE

Basis: 1(a)

First Use: Jan. 1970 Use in Commerce: Jan. 1970

Filed Use: Yes Currently Use: Yes

Filed ITU: No Currently ITU: No

Filed 44D: No Currently 44E: No

Filed 44E: No Currently 66A: No

Filed 66A: No Currently No Basis: No

Filed No Basis: No

Owner Name: CATERPILLAR INC.

Owner Address: 100 N.E. ADAMS ST.PERORIA, ILLINOIS UNITED STATES 61629

Legal Entity Type: CORPORATION State or Country WhereOrganized:

DELAWARE

Attorney of Record

Attorney Name: Christopher P. Foley Docket Number: 8407.5129-06

Attorney Primary EmailAddress:

[email protected] Attorney Email Authorized: Yes

Correspondent

CorrespondentName/Address:

Christopher P. FoleyFinnegan Henderson Farabow Garrett & Dunner LLP901 New York Avenue NWWashington, DISTRICT OF COLUMBIA UNITED STATES 20001-4413

Phone: 202.408.4000 Fax: 202.408.4400

Correspondent e-mail: [email protected] Correspondent e-mailAuthorized:

Yes

Domestic Representative - Not FoundPrivacy - Terms

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Prosecution History

TM Staff and Location Information

Assignment Abstract Of Title Information

Date Description Proceeding Number

Sep. 19, 2014 NOTICE OF ACCEPTANCE OF SEC. 8 & 9 - E-MAILED

Sep. 19, 2014 REGISTERED AND RENEWED (SECOND RENEWAL - 10 YRS) 67603

Sep. 19, 2014 REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED 67603

Sep. 18, 2014 TEAS SECTION 8 & 9 RECEIVED

May 16, 2008 CASE FILE IN TICRS

Feb. 27, 2008 ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED

Feb. 27, 2008 TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED

Feb. 06, 2004 REGISTERED AND RENEWED (FIRST RENEWAL - 10 YRS)

Feb. 06, 2004 REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED

Oct. 24, 2003 REGISTERED - COMBINED SECTION 8 (10-YR) & SEC. 9 FILED

Oct. 24, 2003 TEAS SECTION 8 & 9 RECEIVED

Dec. 18, 1990 REGISTERED - SEC. 8 (6-YR) ACCEPTED & SEC. 15 ACK.

Sep. 24, 1990 REGISTERED - SEC. 8 (6-YR) & SEC. 15 FILED

Oct. 02, 1984 REGISTERED-PRINCIPAL REGISTER

Jul. 24, 1984 PUBLISHED FOR OPPOSITION

May 21, 1984 NOTICE OF PUBLICATION

Apr. 17, 1984 APPROVED FOR PUB - PRINCIPAL REGISTER

Feb. 28, 1984 CORRESPONDENCE RECEIVED IN LAW OFFICE

Dec. 12, 1983 NON-FINAL ACTION MAILED

Oct. 28, 1983 CORRESPONDENCE RECEIVED IN LAW OFFICE

Apr. 27, 1983 NON-FINAL ACTION MAILED

Apr. 21, 1983 ASSIGNED TO EXAMINER

TM Staff Information - None

File Location

Current Location: GENERIC WEB UPDATE Date in Location: Sep. 19, 2014

Summary

Total Assignments: 1 Registrant: Caterpillar Tractor Co.

Assignment 1 of 1

Conveyance: ASSIGNS THE ENTIRE INTEREST AND THE GOODWILL

Reel/Frame: 0531/0979 Pages: 2

Date Recorded: Jul. 10, 1986

Supporting Documents: No Supporting Documents Available

Assignor

Name: CATERPILLAR TRACTOR CO. Execution Date: May 22, 1986

Legal Entity Type: CORPORATION State or Country WhereOrganized:

CALIFORNIA

Assignee

Name: CATERPILLAR INC.

Legal Entity Type: CORPORATION State or Country WhereOrganized:

DELAWARE

Address: 100 N.E. ADAMS ST.

Conveyance Filter

Privacy - Terms

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PEORIA, ILLINOIS

Correspondent

Correspondent Name: CATERPILLAR, INC.

Correspondent Address: C/O EUGENE C. GOODALEPEORIA, IL 61629

Domestic Representative - Not Found

Proceedings - Click to Load

Privacy - Terms

Page 57: ESTTA Tracking number: ESTTA1032860 01/31/2020

EXHIBIT 13

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EXHIBIT 14

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EXHIBIT 16

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