503.03(e)    Cover Sheet

Each document submitted for recording in the Assignment Recordation Branch must be accompanied by a cover sheet that meets the requirements of 37 C.F.R. §3.31.  Only one set of documents and cover sheets to be recorded should be filed.  37 C.F.R. §3.28.

To expedite recordation, new owners are encouraged to file requests for recordation electronically through ETAS, on the USPTO website, at http://etas.uspto.gov.  Documents filed electronically are recorded much faster than paper documents.  Using ETAS, a new owner can create a Trademark Assignment Recordation Form Cover Sheet by completing an online form, and attach the supporting legal documentation as a TIFF image or PDF document for submission via the Internet.

If the new owner files the assignment or name change on paper, the cover sheet must be legible.  37 C.F.R. §3.25(a).  The USPTO has a trademark cover sheet form that can be downloaded from the USPTO website at http://www.uspto.gov/web/forms/pto1594.pdf.  Questions regarding cover sheets should be directed to the Assignment Recordation Branch.  Contact information is provided on the USPTO website at http://etas.uspto.gov/.   See notice at 1140 TMOG 65, 69 (July 28, 1992).  Use of the USPTO’s cover sheet form is preferred, but is not mandatory.

Under 37 C.F.R. §3.31(a), a trademark cover sheet must contain the following:

  • The name of the party conveying the interest;
  • The name and address of the party receiving the interest;
  • The entity (e.g., individual, corporation, partnership, etc.) and citizenship of the party receiving the interest (e.g., the citizenship of an individual, the state or country of incorporation or organization of a corporation, etc.).  If the party receiving the interest is a domestic partnership or domestic joint venture, the names, entity, and citizenship (or the state or country of organization or incorporation) of all general partners or active members that compose the partnership or joint venture;
  • A description of the interest conveyed or transaction to be recorded (e.g., assignment, license, change of name, merger, security agreement);
  • Each application serial number or registration number against which the document is to be recorded, if known.  If the application serial number is not known, the party seeking to record the document must submit a copy of the application and/or a reproduction of the mark and an estimate of the date that the USPTO received the application;
  • The name and address of the party to whom correspondence concerning the request to record the document should be sent;
  • The date the document was executed; and
  • The signature of the party submitting the document.  For a document filed electronically, the person who signs the cover sheet must either:  (1) place a symbol comprised of letters, numbers, and/or punctuation marks between forward slash marks (e.g., "/Thomas O’Malley/") in the signature block on the electronic submission; or (2) sign the cover sheet using another form of electronic signature specified by the Director.

The cover sheet should also include:

  • The entity and citizenship of the conveying party (e.g., the citizenship of an individual, state or country of incorporation or organization of a corporation, or names and citizenship of the general partners of a domestic partnership);
  • The number of applications and/or registrations identified in the cover sheet;
  • The total fee; and
  • An identification or description of the mark.

In addition, if the receiving party has designated a domestic representative ( see TMEP §§501.04 and 610), the cover sheet should include an indication to this effect.

Documents that are not accompanied by a completed cover sheet will be returned for correction.  37 C.F.R. §3.51. Corrected and resubmitted documents will retain the original filing date of the documents so long as they are returned within the time specified in the letter returning them for correction. Id.

Separate patent and trademark cover sheets should be submitted for documents that include interests in, or transactions involving, both patents and trademarks.  If a cover sheet contains both patent and trademark information, any information contained therein about pending patent applications will become public record upon recordation.  37 C.F.R. §§3.28  and 3.31(b).