502.02 Pending Applications - Issuance of Registration Certificate in Name of Assignee or in Applicant’s New Name

502.02(a) Applications Under §1 and §44 of the Trademark Act

37 C.F.R. §3.85 Issue of registration to assignee.

The certificate of registration may be issued to the assignee of the applicant, or in a new name of the applicant, provided that the party files a written request in the trademark application by the time the application is being prepared for issuance of the certificate of registration, and the appropriate document is recorded in the Office. If the assignment or name change document has not been recorded in the Office, then the written request must state that the document has been filed for recordation. The address of the assignee must be made of record in the application file.

Document Must Be Recorded with Assignment Recordation Branch.In an application under §1 or §44 of the Trademark Act, a new owner must record the assignment, change of name, or other document affecting title with the Assignment Recordation Branch of the USPTO to obtain a certificate of registration in the name of the new owner (or in applicant’s new name). 37 C.F.R. §3.85. However, the registration will not issue in the name of the new owner, unless the ownership field in the Trademark database is updated to reflect the recorded assignment prior to approval of the mark for publication or registration on the Supplemental Register in an application based on §1(a) or §44, 15 U.S.C. §§1051(a), 1126, or prior to acceptance of the statement of use in an intent-to-use application based on §1(b).

Written Request to Issue Registration in Name of New Owner. Under 37 C.F.R. §3.85, a new owner bears the burden of recording and notifying appropriate USPTO personnel of assignments or changes of name to ensure that the registration issues in the name of the new owner, as necessary. However, for some documents recorded on or after November 2, 2003, recording a document with the Assignment Recordation Branch will automatically update ownership in the Trademark database even if the new owner does not notify the Trademark Operation that the document has been recorded. See TMEP §504 and §504.01 regarding the circumstances in which the Trademark database will be automatically updated. Thus, if the recorded document does not meet the criteria for automatic updating set forth in TMEP §504 and §504.01, or if there is insufficient time for the Assignment Recordation Branch to process a recently recorded document for automatic updating (see TMEP §504.02), the new owner must file a written request that the certificate issue in the name of the new owner. The new owner can search the Trademark Assignment Search database on the USPTO website to determine whether the assignment has been recorded, and can check TSDR at https://tsdr.uspto.gov/ to determine whether the Trademark database has been updated to reflect the change of ownership.

A request that a registration issue in a new name should be directed to the examining attorney, and should state that the appropriate document has been recorded (or filed for recordation) and that the applicant wants the registration to issue in the name of the assignee or the new name of the applicant. The request should specify the assignee’s address and set forth the assignee’s citizenship or state of incorporation or organization (for U.S. assignees), or country of incorporation or organization (for foreign assignees). If the assignee is a domestic partnership or domestic joint venture, the request should set forth the names, legal entities, and national citizenship (or the state or country of organization) of all general partners or active members. If the assignee is a sole proprietorship, the request should set forth the state of organization of the sole proprietorship and the name and citizenship of the sole proprietor. See below in this section regarding the proper TEAS forms to use to make this request. See TMEP §502.02(c) regarding an examining attorney’s handling of an application in which the mark has been assigned.

Suspension. If the applicant states that a request to record a change of ownership has been filed with the Assignment Recordation Branch but is not yet recorded, and the application is in condition to be approved for publication or registration on the Supplemental Register, the examining attorney must suspend action pending recordation of the document and entry of the information into the Trademark database. See TMEP §716.02(h).

Clear Chain of Title Required. A request that a registration issue in the name of a new owner will not be granted unless documents recorded in the Assignment Recordation Branch show clear chain of title from the original applicant to the new owner. The examining attorney must check the Assignment Recordation Branch’s database (Assignment database) to ensure that there is clear chain of title. If the Assignment database shows clear chain of title, the examining attorney must ensure that the Trademark database is updated, if necessary.

Example: ABC Corporation owns Application 1. ABC Corporation files an assignment of the entire interest and goodwill of the business, transferring ownership of Application 1 to DEF Incorporated. DEF Incorporated later files an assignment of the entire interest and goodwill of the business transferring ownership of Application 1 to XYZ Corporation. The Assignment database shows clear chain of title from ABC Corporation to DEF Incorporated to XYZ Corporation.

If the Assignment database does not show clear chain of title, the examining attorney must not update the Trademark database. If it is necessary to issue an Office action regarding other outstanding issues, the examining attorney should advise the applicant that it must record the necessary documents if it wants the registration to issue in the name of the new owner. If it is not otherwise necessary to issue an Office action, the examining attorney should enter a Note to the File in the record indicating that the Trademark database cannot be updated because there is no clear chain of title in the new owner. If the applicant does not record the necessary documents to show clear chain of title in the new owner, the registration will issue in the name of the party who has clear chain of title according to the Assignment database. See 37 C.F.R. §3.73(b).

Time for Recordation and Filing of Request for Issuance in Name of New Owner. The new owner should record the assignment and file a written request with the USPTO before the USPTO begins preparing an application for issuance of the certificate of registration. See 37 C.F.R. §3.85. Further changes to the record generally cannot be processed after the certificate issuance process begins. For an application based on §1(a) or §44, the recordation and written request should be filed before the mark is approved for publication or allowed for registration on the Supplemental Register. For an application based on §1(b), the recordation and written request should be filed before the acceptance of a statement of use.

TEAS forms. The request that a registration issue in the name of a new owner must be filed electronically through the Trademark Electronic Application System (TEAS) at https://teas.uspto.gov, unless filing on paper is permitted (see TMEP §301.01). To notify the USPTO of a request before an application is approved for publication, the request should be submitted using the TEAS "Voluntary Amendment Not in Response to USPTO Office Action/Letter" form. If the request is filed after an application is published for opposition but before the notice of allowance or registration has issued, it should be submitted using the TEAS "Post-Approval/Publication/Post-Notice of Allowance (NOA) Amendment Form," and will be handled in accordance with standard procedures for processing amendments after publication. See TMEP §1505.01(a)–1505.01(f). A request to update the owner information is not necessary if the Trademark database has already been automatically updated with the new owner information. See TMEP §504.

If a proceeding regarding the application has been initiated at the Board, any request to update ownership information must be filed with the Board. See TBMP §512.03.

Correction after Registration. If, before a mark is approved for publication or registration, an applicant has recorded the appropriate document and filed a proper request that the certificate issue in the name of the new owner, but the registration does not issue in the name of the new owner, the USPTO will issue a certificate of correction. See 15 U.S.C. §1057(g), 37 C.F.R. §2.174, and TMEP §1609.10(a) regarding the procedures for requesting correction of a USPTO error, and §502.03 regarding issuance of a new certificate of registration to the new owner of a registered mark.

502.02(b) Applications Under §66(a) of the Trademark Act

Document Affecting Title Must Be Recorded with IB. In an application under §66(a) of the Trademark Act, a new owner must record any assignment, change of name, or other document affecting title with the IB. The document(s) must show clear chain of title from the original owner to the party who is taking the action. See TMEP §501.07 regarding assignment of §66(a) applications, and §1906.01 and §1906.01(a) regarding requests to record changes with the IB. The IB will notify the USPTO when the change of ownership, including change of owner name, is recorded in the International Register. The USPTO will record only those assignments (or other documents affecting title) that have been recorded in the International Register, and will automatically update the "Ownership" field in the Trademark database. A new owner can check TSDR at https://tsdr.uspto.gov/ to determine whether the Trademark database has been updated to reflect a change in ownership that has been recorded with the IB.

Written Request to Issue Registration in Name of New Owner. If the Trademark database has not been updated before the mark is approved for publication, the new owner should file a written request that the registration issue in the name of the new owner using the TEAS Voluntary Amendment Not in Response to USPTO Office Action/Letter form. The request that a registration issue in the name of the new owner must be directed to the examining attorney, and must state that the appropriate document has been recorded (or filed for recordation) with the IB, and that the applicant wants the registration to issue in the name of the assignee or the new name of the applicant. The request must specify the assignee’s address, and set forth the assignee’s citizenship or state of incorporation or organization (for U.S. assignees), or country of incorporation or organization (for foreign assignees). If the assignee is a domestic partnership or domestic joint venture, the request must set forth the names, legal entities, and national citizenship (or state or country of organization or incorporation) of all general partners. If the assignee is a sole proprietorship, the state of organization of the sole proprietorship and the name and citizenship of the sole proprietor. See TMEP §502.02(c) regarding an examining attorney’s handling of an application after a mark has been assigned.

Suspension. If the applicant states that a request to record a change of ownership has been filed with the IB but is not yet recorded, and the application is in condition to be approved for publication, the examining attorney must suspend action pending recordation of the document and entry of the information into the Trademark database. See TMEP §716.02(h).

Correction after Registration. If, before a mark is approved for publication, an applicant has recorded the appropriate document with the IB and filed a proper request that the certificate issue in the name of the new owner, but the registration does not issue in the name of the new owner, the USPTO will issue a certificate of correction. See 15 U.S.C. §1057(g), 37 C.F.R. §2.174, and TMEP §1609.10(a) regarding the procedures for requesting correction of a USPTO error.

502.02(c) Examining Attorney’s Action Regarding Assignment

Check Trademark Database. If, prior to approval for publication for opposition or registration on the Supplemental Register, or prior to acceptance of a statement of use in an application under §1(b), the applicant advises the examining attorney, or the examining attorney learns through another source, that an assignment has been recorded, the examining attorney must check the Assignment database to ensure that there is clear chain of title, and must ensure that the Trademark database is updated before approving the mark for publication or registration.

Issue Action. In general, the examining attorney should only issue an Office action questioning whether an assignment has occurred if an entity attempts to take action with respect to the application and USPTO records show ownership in another party. In this situation, the assignee must establish entitlement to take the action, either by recordation of an assignment or submission of proof of the assignment. 37 C.F.R. §3.73(b); TMEP §502.01.

Suspension. During initial examination, the examining attorney must not suspend action or delay issuance of a final action to await recordation of a document. However, if the applicant submits a request indicating that the relevant document has been submitted for recordation and the application is in condition to be approved for publication for opposition or registration on the Supplemental Register, the examining attorney must suspend the application until the document has been recorded and the information regarding the assignment or the change of name has been entered into the Trademark database. TMEP §716.02(h).

Similarly, during examination of the statement of use in an application under §1(b), the examining attorney must withhold final approval for registration until the relevant document has been recorded and the information regarding the assignment or the applicant’s new name has been entered in the Trademark database. If the application is in condition to be approved for publication or registration, the examining attorney must suspend action pending recordation of the document and entry of the information into the Trademark database. See TMEP §716 regarding suspension. Id.