Trademark Statements of Use

 

The United States Patent and Trademark Office (USPTO) requires a desired name/logo/slogan to be used in commerce before awarding it trademark rights.  In order for the applicant to convey to the USPTO that the trademark does, in fact, meet the Use in Commerce requirement, the applicant must submit a Statement of Use.  A Statement of Use is a form provided by the USPTO and may by definition only be completed once the desired trademark is actually being used in commerce.  Without the Statement of Use, your mark cannot officially qualify as a trademark.

What’s Required to File a Statement of Use

 

Trademark Specimens

When filing a Statement of Use, the applicant is instructing the USPTO that he is, in fact, using the trademark in commerce.  The USPTO, unfortunately, does not merely take the applicant’s word for it but instead requires a Specimen, or piece of evidence, illustrating the mark’s use in commerce.  Depending on the nature of the Goods/Services claimed in the trademark application, different specimens may or may not be acceptable for submission.  For example, if the applicant is an accountant who applies for the Trademark “Alpha Time”, one example of an acceptable specimen may be a picture of a page on the Applicant’s website which lists the accounting services (along with various price points) with the name “Alpha Time” at the top of the page.

Statement Of Use: The Details Matter

 

Timing is Everything – Here’s When to File a Statement of Use

Statements of Use are proof that the Applicant is, in fact, using the trademark in commerce.  The applicant must file the Statement of Use within six months of the USPTO issuing the Notice of Allowance (NOA).  In the event that the Applicant is not yet using the mark in commerce (within this-month timeframe), the applicant must submit a Statement of Use extension request.

 

Government Fees for the Statement of Use Filing

The USPTO allows applicants to file Statements of Use either electronically or through the mail.  In the event that the applicant chooses to file the Statement of Use electronically, the USPTO filing fee is $100.00 per class.  Conversely, to file the Statement of USe form through the mail, the USPTO filing fee is $200.00 per class.

 

How Can I File a Statement of Use

The mechanics of filing a Statement of Use can be slightly tricky and it is naturally advisable to contact your Trademark Lawyer before engaging with the USPTO.

Statement of Use Requirements from the USPTO – The Following May Be Found Directly and Exactly in the TFSR

 

§2.88 Statement of use after notice of allowance.

  • (a) When to file a statement of use.
    • (1) In an application under section 1(b) of the Act, a statement of use, required under section 1(d) of the Act, must be filed within six months after issuance of a notice of allowance under section 13(b)(2) of the Act, or within an extension of time granted under § 2.89. A statement of use filed prior to issuance of a notice of allowance is premature and will not be reviewed.
    • (2)
      • (i) For a trademark, service mark, collective trademark, collective service mark, and certification mark, a statement of use may be filed only when the mark has been in use in commerce on or in connection with all the goods or services specified in the notice of allowance for which the applicant will seek registration in that application. For a collective membership mark, a statement of use may be filed only when the mark has been in use in commerce to indicate membership in the collective membership organization specified in the notice of allowance for which the applicant will seek registration in that application.
      • (ii) A statement of use may be accompanied by a request in accordance with § 2.87 to divide out from the application the goods, services, or classes not yet in use in commerce.
  • (b) A complete statement of use. A complete statement of use must include the following:
    • (1) A verified statement alleging:
      • (i) The applicant believes the applicant is the owner of the mark;
      • (ii) The mark is in use in commerce;
      • (iii) The date of first use of the mark anywhere on or in connection with the goods, services, and/or to indicate membership in the collective organization specified in the application, and the date of first use of the mark in commerce. If the statement of use specifies more than one item of goods or services in a class, the dates of use are required for only one item of goods or services specified in that class;
      • (iv) The goods, services, and/or nature of the collective membership organization specified in the notice of allowance. The goods or services specified in a statement of use must conform to those goods or services specified in the notice of allowance for trademark, service mark, collective trademark, collective service mark, or certification mark applications. Any goods or services specified in the notice of allowance that are omitted from the identification of goods or services in the statement of use will be presumed to be deleted and the deleted goods or services may not be reinserted in the application. For collective membership mark applications, the description of the nature of the collective membership organization in the statement of use must conform to that specified in the notice of allowance; and
      • (v) For a collective mark and certification mark, the applicant is exercising legitimate control over the use in commerce of the mark;
    • (2) One specimen showing how the applicant, member, or authorized user uses the mark in commerce. See § 2.56 for the requirements for specimens;
    • (3) Fee(s). The fee required by § 2.6 per class. The applicant must pay a filing fee sufficient to cover at least one class within the statutory time for filing the statement of use, or the application will be abandoned. If the applicant submits a fee insufficient to cover all the classes in a multiple-class application, the applicant should specify the classes to be abandoned. If the applicant timely submits a fee sufficient to pay for at least one class, but insufficient to cover all the classes, and the applicant has not specified the class(es) to be abandoned, the Office will issue a notice granting the applicant additional time to submit the fee(s) for the remaining class(es) or to specify the class(es) to be abandoned. If the applicant does not submit the required fee(s) or specify the class(es) to be abandoned within the set time period, the Office will apply the fees paid, beginning with the lowest numbered class, in ascending order. The Office will delete the class(es) not covered by the fees submitted;
    • (4) For a collective mark, the requirements of § 2.44(a)(4)(i)(A);
    • (5) For a certification mark, the requirements of § 2.45(a)(4)(i)(A) through (C); and
    • (6) The title “Statement of Use” should appear at the top of the first page of the document, if not filed through TEAS.
  • (c) Minimum filing requirements for a timely filed statement of use. The Office will review a timely filed statement of use to determine whether it meets the following minimum requirements:
    • (1) The fee required by § 2.6 for at least one class;
    • (2) One specimen of the mark as used in commerce; and
    • (3) The verified statement in paragraph (b)(1)(ii) of this section. If this verified statement is unsigned or signed by the wrong party, the applicant must submit a substitute verified statement on or before the statutory deadline for filing the statement of use.
  • (d) Deficiency notification. If the statement of use is filed within the permitted time period but does not meet the minimum requirements specified in paragraph (c) of this section, the Office will notify the applicant of the deficiency. If the time permitted for the applicant to file a statement of use has not expired, the applicant may correct the deficiency.
  • (e) Notification of refusals and requirements. A timely filed statement of use that meets the minimum requirements specified in paragraph (c) of this section will be examined in accordance with §§ 2.61 through 2.69. If, as a result of the examination of the statement of use, the applicant is found not entitled to registration, the applicant will be notified and advised of the reasons and of any formal requirements or refusals. The statement of use may be amended in accordance with §§ 2.59 and 2.71 through 2.75.
  • (f) Statement of use may not be withdrawn. The applicant may not withdraw a timely filed statement of use to return to the previous status of awaiting submission of a statement of use, regardless of whether it is in compliance with paragraph (c) of this section.
  • (g) Verification not filed within reasonable time. If the verified statements in paragraphs (b)(1)(ii) and, if applicable, (b)(1)(v) of this section are not filed within a reasonable time after they are signed, the Office may require the applicant to submit substitute verified statements attesting that the mark is in use in commerce, and, if applicable, the applicant is exercising legitimate control over the use of the mark in commerce.
  • (h) Amending the application. The statement of use may include amendments in accordance with §§ 2.51, 2.59, and 2.71 through 2.75.
  • (i) Concurrent use. If the application is amended to concurrent use under § 2.73, the statement of use must include a verified statement modified in accordance with § 2.33(f), § 2.44(d), or § 2.45(d).
  • (j) Multiple-class application. For the requirements of a multiple-class application, see § 2.86.
  • (k) Abandonment. The failure to timely file a statement of use which meets the minimum requirements specified in paragraph (c) of this section shall result in the abandonment of the application.

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