Application

PTO Form 1478 (Rev 9/2006)

OMB No. 0651-0009 (Exp 12/31/2011)

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PTO Form 1478 (Rev 9/2006)

OMB No. 0651-0009 (Exp 12/31/2011)

Trademark/Service Mark Application, Principal Register

Serial Number: 85254211

Filing Date: 03/01/2011

To the Commissioner for Trademarks:

MARK: ROC (Standard Characters, see mark)
The literal element of the mark consists of ROC.
The mark consists of standard characters, without claim to any particular font, style, size, or color.

The applicant, Lattice Strategies LLC, a limited liability company legally organized under the laws of Delaware, having an address of
      23rd Floor,
      One Embarcadero Center
      San Francisco, California 94111
      United States
requests registration of the trademark/service mark identified above in the United States Patent and Trademark Office on the Principal Register established by the Act of July 5, 1946 (15 U.S.C. Section 1051 et seq.), as amended, for the following:

       International Class 036:  Financial services, namely, wealth management services; Financial asset management; Investment services, namely, asset acquisition, consultation, development and management services; Financial services, namely, investment advisory services

In International Class 036, the mark was first used at least as early as 10/05/2010, and first used in commerce at least as early as 10/05/2010, and is now in use in such commerce. The applicant is submitting one specimen(s) showing the mark as used in commerce on or in connection with any item in the class of listed goods and/or services, consisting of a(n) .PDF image of Applicant's marketing materials showing use of the mark in connection with the services.

Original PDF file:
spec-21622023399-094318649_._20110224162048.pdf
Converted PDF file(s) (3 pages)
Specimen File1
Specimen File2
Specimen File3


The applicant's current Attorney Information:
Kevin R. Haley, Esq. of Brann & Isaacson

      P.O. Box 3070
      184 Main Street
      Lewiston, Maine 04243
      United States
The attorney docket/reference number is LATT-0002.

The applicant's current Correspondence Information:

Kevin R. Haley, Esq.

Brann & Isaacson

P.O. Box 3070       184 Main Street

Lewiston, Maine 04243

207.786.3566(phone)

207.783.9325(fax)

trademarks@brannlaw.com (authorized)

A fee payment in the amount of $325 has been submitted with the application, representing payment for 1 class(es).

Declaration

The undersigned, being hereby warned that willful false statements and the like so made are punishable by fine or imprisonment, or both, under 18 U.S.C. Section 1001, and that such willful false statements, and the like, may jeopardize the validity of the application or any resulting registration, declares that he/she is properly authorized to execute this application on behalf of the applicant; he/she believes the applicant to be the owner of the trademark/service mark sought to be registered, or, if the application is being filed under 15 U.S.C. Section 1051(b), he/she believes applicant to be entitled to use such mark in commerce; to the best of his/her knowledge and belief no other person, firm, corporation, or association has the right to use the mark in commerce, either in the identical form thereof or in such near resemblance thereto as to be likely, when used on or in connection with the goods/services of such other person, to cause confusion, or to cause mistake, or to deceive; and that all statements made of his/her own knowledge are true; and that all statements made on information and belief are believed to be true.


Signature: /Kevin R. Haley/   Date Signed: 03/01/2011
Signatory's Name: Kevin R. Haley
Signatory's Position: Attorney of Record, Maine State Bar Member



RAM Sale Number: 10948
RAM Accounting Date: 03/01/2011

Serial Number: 85254211
Internet Transmission Date: Tue Mar 01 10:11:59 EST 2011
TEAS Stamp: USPTO/BAS-XXX.XXX.XXX.XX-201103011011598
63731-85254211-480fcd2f697205e339189a0fc
65ec33bb47-CC-10948-20110301094318649618