PTO/SB/15A is the Certification of Micro Entity Status (Gross Income Basis), a form of the U.S. Patent and Trademark Office (USPTO) on which an applicant certifies that it meets four micro entity requirements, including the application filing limit and the gross income limits. It is used with a patent application or a patent, and it is signed by an authorized party under 37 CFR 1.33(b). On this page you can fill out the form online on FillingPDF and download or print the completed PDF; the form itself is published by the USPTO at uspto.gov.
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What is PTO/SB/15A?
Form PTO/SB/15A, Certification of Micro Entity Status - Gross Income Basis, is the USPTO form on which an applicant certifies that it qualifies as a micro entity because of its gross income and its patent filing history. The document code printed on it is MES.GIB.
The form identifies the application or patent (application number or control number, patent number, first named inventor and title of invention) and then states four certifications:
- (1) Small entity requirement: the applicant qualifies as a small entity as defined in 37 CFR 1.27.
- (2) Application filing limit: neither the applicant nor the inventor nor a joint inventor has been named on more than four previously filed U.S. patent applications, with the exclusions the form lists (provisional applications, certain PCT international applications, and applications assigned as a result of previous employment).
- (3) Gross income limit on applicants and inventors: gross income, as defined in section 61(a) of the Internal Revenue Code, did not exceed the "Maximum Qualifying Gross Income" in the calendar year preceding the one in which the fee is paid.
- (4) Gross income limit on parties with an "ownership interest": the same limit applies to any entity to which a license or other ownership interest in the application has been assigned, granted or conveyed, or must be.
The "Maximum Qualifying Gross Income" is reported on the USPTO website and equals three times the median household income for the preceding calendar year, as most recently reported by the Bureau of the Census. The companion form PTO/SB/15B certifies micro entity status on an institution of higher education basis instead.
Who needs to file PTO/SB/15A?
The applicant for a patent who claims micro entity status on a gross income basis uses this form. It is signed by an authorized party set forth in 37 CFR 1.33(b), and the signature block asks for the signer's name, date, telephone number and registration number.
The form fits only when all four certifications are true for the applicant, the inventor and every joint inventor. Where there is more than one inventor and you are one of the inventors jointly identified as the applicant, the form requires that the additional certification form(s) signed by the other joint inventor(s) are included with it.
If your claim rests on a different ground, the USPTO lists a separate form, PTO/SB/15B, Certification of Micro Entity Status - Institution of Higher Education Basis. The USPTO forms page states that its patent forms are for applications filed on or after September 16, 2012, and that a form must not be used for a purpose it was not designed for.
When to file PTO/SB/15A
The form ties its certifications to the payment of a fee: gross income is measured in the calendar year preceding the calendar year in which the applicable fee is being paid. Complete and sign it when you are claiming micro entity status for that payment. No separate due date is printed on the form.
Because the gross income test looks back at the preceding calendar year, check the Maximum Qualifying Gross Income reported on the USPTO website for that year before you sign. The USPTO also lists a separate form, Notification of Loss of Micro Entity Status (PTO/SB/460), for a different situation, so consult the USPTO if your circumstances change.
Documents you need
- Additional certification form(s) signed by the other joint inventor(s), only if there is more than one inventor and you are one of the inventors jointly identified as the applicant.
How to fill out PTO/SB/15A
Identify the application or patent
Enter the Application Number or Control Number (if applicable) and the Patent Number (if applicable) in the first row.
Enter inventor and invention title
Write the First Named Inventor and the Title of Invention exactly as they appear for the application or patent.
Check small entity status
Read certification (1): the applicant must qualify as a small entity as defined in 37 CFR 1.27 before you sign.
Confirm the application filing limit
Read certification (2) and count previously filed U.S. applications for the applicant, the inventor and each joint inventor, applying the exclusions the form lists.
Confirm both gross income limits
Read certifications (3) and (4). Compare gross income for the preceding calendar year, for inventors and for any party holding an ownership interest, with the Maximum Qualifying Gross Income on the USPTO website.
Sign as an authorized party
Under SIGNATURE by an authorized party set forth in 37 CFR 1.33(b), sign in the Signature box.
Complete the signer details
Fill in Name, Date, Telephone and, where it applies, Registration No.
Mark the joint inventor statement
If there is more than one inventor and you are one of the inventors jointly identified as the applicant, check the box and include the other joint inventors' signed certification forms.
Review and download the completed PDF
Check every entry and the signature, then download or print the completed PDF from FillingPDF and submit it through the USPTO channels described under How to submit.
How to submit PTO/SB/15A
The form prints no address, fax number or portal of its own. The USPTO forms page says that a submission that meets all requirements of the Patent Laws, Rules and USPTO notices will be accepted, whether or not it resembles an Office form, and that the Patent Laws and Rules are the primary guide to how a submission must be made.
- Patent Center: the USPTO's online system for patent e-filing is at https://patentcenter.uspto.gov/. For e-filing help, call the Patent Electronic Business Center at 866-217-9197 (toll free) or 571-272-4100, or email [email protected], Monday to Friday, 9:00AM to 8:00PM EST.
- General assistance: the USPTO Contact Center Division can help with completing patent forms or send paper copies: 1-800-786-9199 (1-800-PTO-9199) or 571-272-1000, option 2.
- Fillable form problems: report them to [email protected].
Sign the form in a way that complies with 37 CFR 1.33(b), and include any additional joint-inventor certifications. FillingPDF lets you fill out and download the PDF; submission follows the USPTO channels above.
Common mistakes to avoid
- Altering the certification statements (1) to (4); the USPTO states that no changes to certification statements on its forms may be made.
- Signing without confirming that the applicant, the inventor and every joint inventor meet all four certifications, including the limit of four previously filed U.S. applications.
- Counting excluded applications incorrectly under certification (2), such as provisional applications or applications assigned because of previous employment.
- Testing gross income against the wrong year; certifications (3) and (4) use the calendar year preceding the one in which the fee is paid.
- Leaving out the entity with an ownership interest in certification (4); its gross income is subject to the same Maximum Qualifying Gross Income limit.
- Omitting the additional certification forms from the other joint inventors when you are one of several inventors jointly identified as applicant.
- Having the form signed by someone who is not an authorized party under 37 CFR 1.33(b).
- Using this form for a higher education basis claim, which the USPTO covers with a separate form, PTO/SB/15B.
Frequently asked questions
What is PTO/SB/15A used for?
PTO/SB/15A is the USPTO form for certifying micro entity status on a gross income basis. The applicant certifies small entity status, the limit of four previously filed U.S. applications, and the gross income limits for applicants, inventors and parties with an ownership interest.
Who signs Form PTO/SB/15A?
An authorized party set forth in 37 CFR 1.33(b) signs it, entering name, date, telephone and, where applicable, registration number. When several inventors are jointly identified as the applicant, each of the others also signs an additional certification form.
What is the Maximum Qualifying Gross Income on this form?
It is the gross income ceiling reported on the USPTO website, equal to three times the median household income for the preceding calendar year as most recently reported by the Bureau of the Census. Check the USPTO site for the current figure before signing.
What is the difference between PTO/SB/15A and PTO/SB/15B?
PTO/SB/15A certifies micro entity status on a gross income basis. PTO/SB/15B, Certification of Micro Entity Status - Institution of Higher Education Basis, is the USPTO's separate form for a claim based on higher education. Both are listed under Entity Status.
Where do I file PTO/SB/15A?
The form prints no address or portal. The USPTO says its Patent Laws and Rules govern how a submission must be made. For e-filing help, call the Patent Electronic Business Center at 866-217-9197; for general form help, call 1-800-786-9199, option 2.
Can I fill out PTO/SB/15A online?
Yes. You can fill out the PTO/SB/15A PDF online on FillingPDF and download or print it. FillingPDF is an independent service and does not file the form with the USPTO; you submit it through the USPTO's channels.
Can I change the wording of the certification statements?
No. The USPTO states that no changes to certification statements on its forms may be made. Other text on a form may be modified only if all text identifying it as an Office form is removed.
Does the USPTO require this form to claim micro entity status?
The USPTO says that in almost all situations it does not require use of a form. Its forms guide submissions, and any submission that meets all requirements of the Patent Laws, Rules and notices will be accepted, even if it is not identical to a form.
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