James E. Pate
`
`SUMMARY
`
`Ph.D. Physical Chemist with expertise in pharmaceutical formulation (both solid oral
`dosage and emulsions/dispersions) and process development for the pharmaceutical,
`personal care, and chemical industries. Extensive experience in the formulation,
`processing, and scale-up of submicron waterborne dispersions.
`Experience in
`emulsion/dispersion processing, product development, formulation, and technology
`transfer to production. Holder of multiple US and European patents and pending or
`provisional patent applications. Experienced technical leader for R&D group.
`
`TESTIMONY IN PAST FOUR YEARS
`
`I have not acted as a witness in any inter partes matters in the last four (4) years.
`
`PROFESSIONAL EXPERIENCE
`
`2011-Present
`Principal Scientist (Merial Ltd.)
`0 Leader for a group of researchers for companion animal oral, inj ectable,
`and topical dosage forms
`0 Team contact for pharmaceutical development projects
`
`2007-2011
`Senior Scientist III (Merial Ltd.)
`0 Leader for a group of researchers for companion animal oral and topical
`dosage forms
`0 Team contact for pharmaceutical development projects
`
`2002-2007
`Principal Research Scientist (Elanco Animal Health, Eli Lilly & Co.)
`0 Lead formulator for companion animal solid oral dosage form projects
`0 Led cross-disciplinary CM&C teams responsible for creation of
`pharmaceutical active, drug product, and technology transfer packages
`(product and process)
`0 Experienced in tablet processing techniques and incorporation of novel
`excipients into tablet processes
`
`Research Leader/Technical Leader (L1) (Corporate R&D, Dispersion Formulation
`& Processing)
`(The Dow Chemical Company, Midland)
`1994-2002
`0 Technical leader for a group of five professional researchers (Ph.D.) and
`five research associates.
`
`0 Technical leader and senior scientist for Dow Dispersion Sciences
`Business.
`
`0 Developed a successful technical platform in the area of dispersions and
`emulsions.
`
`0 Led efforts for the creation of an intellectual asset position for platform.
`0 R&D representative on cross business/cross fimctional intellectual assets
`teams.
`
`Exhibit 1004A
`
`Merial v. Virbac
`
`IPR2014-01279
`
`

`
`James E. Pate
`
`Successfully implemented developed technology at pilot and plant levels
`by acting as interface between research and engineering functions.
`Technical mentor to junior members of group.
`Technical representative on business sales team responsible for
`communicating technical information to external customers.
`
`Patents in personal care formulations and processing.
`
`Technical accomplishments
`
`Developed patented continuous emulsion processing technology that
`formed basis of Dow Dispersion Sciences Business
`(www.dowdispersionsciences.com).
`Developed patented technology that formed basis of Dow Chemical’s
`olefin dispersion business (described in C&E News, Dec. 4, 2006, pg. 40)
`Developed patented technology that formed basis of Dow’s Lifespan® and
`Syntegra® urethane dispersion businesses.
`Developed patented technology for waterborne epoxy dispersions.
`Developed dispersion formulations for non—traditional applications such as
`high temperature (>1 10°C) or chemically severe (i.e., concrete)
`environments.
`
`Experienced in broad array of mixing applications including extruder-
`based dispersions and mixing of high viscosity materials.
`Designed and constructed novel emulsion and polymer dispersion
`processing equipment.
`
`Partnered with engineering function to successfully implement process and
`equipment package in pilot and manufacturing settings.
`
`Processed novel surfactant stabilized emulsions and dispersions in lab,
`pilot, and manufacturing facilities.
`
`Led projects through conceptualization, research, development, and
`manufacturing with active personal participation in the processing of
`emulsions at the lab (<50 gal.), pilot (50-500gal.), and plant levels (>500
`gal.).
`
`Created novel formulations of emulsions and dispersions.
`
`Familiar with GMP and GLP procedures.
`
`Initiated efforts to capitalize on predictive utility of quantitative interfacial
`characterization methods (IFT, CMC, particle size analysis, emulsion
`stability, etc.).
`
`Initiated on-going effort to reshape relationships between manufacturing,
`marketing, and research with the goal of improving efficiency and
`decreasing implementation time of research to production to market
`staging.
`
`Senior Research Chemist/Project Leader in Personal Care Research
`(The Dow Chemical Company)
`
`1987-1993
`
`

`
`James E. Pate
`
`0 Developed fundamental research program in sunscreen development and in the
`topical effects of cleansing products on the skin.
`
`0 Developed and evaluated proprietary materials for potential use as human sunscreens.
`0 Developed modeling methods for predicting sunscreen efficacy, and investigated
`novel approaches for increasing sunscreen efficiency.
`
`0 Investigated effects of topical cleansing products upon stratum comeum
`desquamation and lipid barrier disruption.
`'
`
`Patents
`
`0 Eleven issued US patents and eight European patents in small droplet
`emulsification/dispersion processing.
`‘
`
`0 Multiple pending/provisional US/European patents in small droplet
`emulsification/dispersion processing.
`
`Awards
`
`0 Dow Chemical Special Recognition Award (APS Lab) (1990).
`0 Dow Chemical Central and New Businesses R&D Inventor of the Year Award
`
`(1996).
`
`0 Dow Chemical Special Recognition Award (Designed Products & Devices Lab)
`(1996).
`
`0 Dow Chemical PE&IT Inventor Recognition (1996).
`
`0 Dow Chemical Special Recognition Award (Epoxy Products & Intermediates) (1998).
`
`0 Dow Chemical Special Recognition Award (Epoxy Products & Intermediates) (2001).
`
`0 Dow Texas Division Development Scientists Organization Award (2001)
`
`PROFESSIONAL HISTORY
`
`Company
`The Dow Chemical Company
`The Dow Chemical Company
`The Dow Chemical Company
`The Dow Chemical Company
`Elanco Animal Health
`(Eli Lilly and Co.)
`Merial Ltd.
`
`Merial, Ltd
`
`EDUCATION
`
`STANFORD UNIVERSITY
`
`Position
`Senior Research Chemist
`Project Leader
`Research Leader
`Technical Leader
`Principal Research Scientist
`
`Dates of Employment
`1987-1991
`1991-1995
`1995-2000
`2000-2002
`2002-2007
`
`Senior Scientist 111
`
`Principal Scientist
`
`2007-2011
`
`2011-Present
`
`Ph.D.
`
`Physical Chemistry
`Stanford, CA
`1987
`Prof. Edward 1. Solomon (Thesis Advisor)
`Thesis Title: Spectroscopic Studies of the Charge Transfer Transitions of the Coupled
`Binuclear Copper Center in Hemocyanin and Related Model Complexes.
`
`SUNY-BINGHAMTON (Binghamton University)
`Binghamton, NY
`
`B.A.
`Chemistry
`
`

`
`James E. Pate
`
`Member Phi Beta Kappa
`
`AFFILIATIONS
`
`American Chemical Society, Washington, D.C.
`
`1980
`
`

`
`James E. Pate
`
`PUBLICATION LIST
`
`1) C. Piechocki, J .E. Pate, Gordon Conference on Polymer Colloids, June 29-July 4,
`1997 “Enhanced Control of Latex Particle Size Distribution by Optimization of
`Surfactant in Combination with a New Continuous Mechanical Dispersion
`Process.”
`
`2) M.J. Baldwin, D.E. Root, J .E. Pate, K. Fujisawa, N. Kitajima, E.I. Solomon, 4
`Am. Chem. Soc. 1992, 114, 10421-10431, “Spectroscopic Studies of Side-On
`Peroxide—Bridged Binuclear Copper(II) Model Complexes of Relevance to
`Oxyhemocyanin and Oxytyrosinase.”
`
`3) M.J. Baldwin, P.K. Ross, J .E. Pate, Z. Tyeklér, K.D. Karlin, E.I. Solomon, J. Am.
`Chem. Soc. 1991, 113, 8671-8675, “Spectroscopic and Theoretical Studies of an
`End-On Peroxide-Bridged Coupled Binuclear Copper(lI) Model Complex of
`Relevance to the Active Sites in Hemocyanin and Tyrosinase.”
`
`4)
`
`J .E. Pate, P.K. Ross, T.J. Thamann, C.A. Reed, K.D. Karlin, T.N. Sorrell, E.I.
`
`Solomon, J. Am. Chem. Soc. 1989, 11] , 5198-5209, “Spectroscopic Studies of the
`Charge Transfer and Vibrational Features of Binuclear Copper(II) Azide
`Complexes: Comparison to the Coupled Binuclear Copper Active Site in Met
`Azide Hemocyanin and Tyrosinase.”
`
`5)
`
`J .E. Pate, R.W. Cruse, K.D. Karlin, E.I. Solomon, .1 Am. Chem. Soc. 1987, 109,
`2624-2630, “Vibrational, Electronic, and Resonance Raman Spectral Studies of
`[Cu2(XYL-O—)O2]+, a Copper(II) Peroxide Model Complex of Oxyhemocyanin.”
`
`6) E.l. Solomon, M.D. Allendorf, L.S. Kau, J .E. Pate, D. Spira-Solomon, D.E.
`Wilcox, A.G. Porras, Lite Chemistry Regorts 1987, Vol. 5, 37-89, “Chemical and
`Spectroscopic Studies of Copper Clusters in Proteins.”
`
`7) E.I. Solomon, J.E. Pate, T.D. Westmoreland, L.S. Kau, M.D. Allendorf, D.J.
`Spira-Solomon, Organic and Inorganic L0w—Dimensional Crystalline Materials
`1987, P. Delhaes, M. Drillon, eds., Plenum Publishing, 243-269, “Metal Cluster
`Active Sites in Proteins.”
`
`8)
`
`J.E. Pate, T.J. Thamann, E.l. Solomon, Sgectrochimica Acta 1986, 213, 313-318,
`“Resonance Raman Studies of the Coupled Binuclear Copper Active Site in Met
`
`Azide Hemocyanin.”
`
`PATENT PUBLICATIONS
`
`The attachment is a list of US, European and International patent publications for
`which I am a listed inventor.
`
`

`
`Mon Aug 11 17:17:46 GMT 2014
`
`THOMSON
`.________*______,..
`DELPHION
`
`Search results for: ((((James Pate)OR(James E Pate)OR(Pate James)OR(Pate James E) <in>
`IN )AND ((Merial OR Elanco OR Lilly OR Dow) <in> PA)))
`Collections searched: US (Granted), European (Applications), European (Granted), WIPO
`PCT Publications, US (Applications)
`63 matches found of 19,518,471 patents searched
`‘ '}tj1b.li_€“
`
`EP1942122A2 Dispersion of a preformed polymer in a polyol
`
`Displaying results 1 — 20 of 63
`
`ed
`:I:}‘—''‘
`are»
`
`2008-07-09 2001-09-10 82%
`
`US20130225516A1 TOPICAL COMPOSITIONS COMPRISING
`FIPRONIL AND PERMETHRIN AND METHODS OF
`USE
`
`2013-08-29 2013-02-22 80%
`
`US7056496 Sunscreen composition and a process for
`preparing it
`
`2006-06-06 2003-02-21 80%
`
`US6783766 Process for preparing a cosmetic formulation
`
`2004-08-31 2002-03-06 80%
`
`US6613827 Dispersion of a preformed polymer in a polyol
`EP1326923A2 DISPERSION OF A PREFORMED POLYMER IN A
`POLYOL
`
`2003-09-02 2001-09-10 80%
`2003-07-16 2001-09-10 80%
`
`US6271287 Epoxy resins and stable aqueous dispersions
`thereof
`
`2001-08-07 1999-09-07 80°/o
`
`US6156806 High internal phase ratio emulsions and stable
`aqueous dispersions of hydroxy—functional
`polymers
`
`2000-12-05 1998-08-26 80%
`
`US5539021 Process for preparing high internal phase ratio
`emulsions and latexes derived thereof
`
`1996-07-23 1995-06-05 80%
`
`EP275S473A1 PARASITICIDAL COMPOSITIONS COMPRISING
`AN ISOXAZOLINE ACTIVE AGENT, METHODS
`AND USES THEREOF
`
`2014-07-23 2012-09-12 77%
`
`WO2013126694A1 TOPICAL COMPOSITIONS COMPRISING
`FIPRONIL AND PERMETHRIN AND METHODS OF
`USE
`
`WO2013039948A1 PARASITICIDAL COMPOSITIONS COMPRISING
`AN ISOXAZOLINE ACTIVE AGENT, METHODS
`AND USES THEREOF
`
`US20130256170A1 COMPOSITIONS COMPRISING AN ARYL
`PYRAZOLE AND/OR A FORMAMIDINE, METHODS
`AND USES THEREOF
`
`2013-08-29 2013-02-22 77%
`
`2013-03-21 2012-09-12 77%
`
`2013-10-03 2013-05-23 77%
`
`US8450357 Compositions comprising an aryl pyrazole
`and/or a formamidine, methods and uses
`thereof
`
`EP2S50962A3 Compositions comprising an aryl pyrazole
`and/or a formamidine, methods and uses
`thereof
`
`2013-05-28 2009-11-13 77%
`
`2013-10-23 2009-11-13 77%
`
`EP1942122A3 Dispersion of a preformed polymer in a polyol
`
`2013-03-06 2001-09-10 77%
`
`EP2550962A2 Compositions comprising an aryl pyrazole
`and/or a formamidine, methods and uses
`thereof
`
`2013-01-30 2009-11-13 77%
`
`EP1189977B2 A CONTINUOUS PROCESS OF EXTRUDING AND
`MECHANICALLY DISPERSING A POLYMERIC
`
`2012-10-10 2000-05-19 77%
`
`

`
`RESIN IN AN AQUEOUS OR NON-AQUEOUS
`MEDIUM
`
`EP2364147A2 COMPOSITIONS COMPRISING 1-ARYLPYRAZOLE 2011-09-14 2009-11-13 77%
`ALONE OR IN COMBINATION WITH
`FORMAMIDINE FOR THE TREATMENT OF
`PARASITIC INFECTION
`
`WO2010059529A3 COMPOSITIONS COMPRISING 1-ARYLPYRAZOLE 2010-07-29 2009-11-13 77%
`ALONE OR IN COMBINATION WITH
`FORMAMIDINE FOR THE TREATMENT OF
`PARASITIC INFECTION
`
`© 1997-2008 Thomson Delphion
`
`

`
`Mon Aug 11 17:20:50 GMT 2014
`
`THONI-SON
` »
`DELPHOON
`
`Search results for: ((((James Pate)OR(James E Pate)OR(Pate James)OR(Pate James E) <in>
`IN )AND ((Merial OR Elanco OR Lilly OR Dow) <in> PA)))
`Collections searched: US (Granted), European (Applications), European (Granted), WIPO
`PCT Publications, US (Applications)
`Displaying results 21 - 40 of 63
`63 matches found of 19,518,471 patents searched
`;
`"
`1
`
`WO2010059529A2 COMPOSITIONS COMPRISING AN ARYL
`2010-05-27 2009-11-13 77°/o
`
`PYRAZOLE AND/OR A FORMAMIDINE, METHODS
`AND USES THEREOF
`
`EP1942122A8 Dispersion of a preformed polymer in a polyol
`EP1326923B1 DISPERSION OF A PREFORMED POLYMER IN A
`POLYOL
`
`2010-06-30 2001-09-10 77%
`2008-09-03 2001-09-10 77%
`
`US6914091 Compositions comprising hydrogenated block
`copolymers and end—use applications thereof
`EP1198516B1 COMPOSITIONS COMPRISING HYDROGENATED
`BLOCK COPOLYMERS AND END-USE
`APPLICATIONS THEREOF
`
`EP1189977B1 A CONTINUOUS PROCESS OF EXTRUDING AND‘
`MECHANICALLY DISPERSING A POLYMERIC
`
`RESIN IN AN AQUEOUS OR NON-AQUEOUS
`MEDIUM
`
`2005-07-05 2002-11-25 77%
`
`2005-06-08 2000-05-19 77%
`
`2005-03-23 2000-05-19 77%
`
`WO03075879A3 A PROCESS FOR PREPARING A COSMETIC
`FORMULATION AND A COMPOSITION THEREFOR
`
`2004-03-25 2003-03-04 77%
`
`US6815475 Compositions comprising hydrogenated block
`copolymers and end-use applications thereof
`EP1482905A2 A PROCESS FOR PREPARING A COSMETIC
`
`FORMULATION AND A COMPOSITION THEREFOR
`EPO968239B1 CONTINUOUS PROCESS FOR PREPARING A
`POLYURETHANE LATEX
`
`2004-11-09 2002-12-02 77°/o
`
`2004-12-08 2003-03-04 77%
`
`_
`2004-11-10 1998-03-17 77%
`
`EP1141126B1 EPOXY RESINS AND STABLE AQUEOUS
`DISPERSIONS THEREOF
`
`EP1189988B1 COMPOSITIONS COMPRISING HYDROGENATED
`BLOCK COPOLYMERS AND END-USE
`APPLICATIONS THEREOF
`
`2004-09-22 1999-09-01 77%
`
`2004-04-28 2000-05-19 77%
`
`WO03075879A2 A PROCESS FOR PREPARING A COSMETIC
`FORMULATION AND A COMPOSITION THEREFOR
`
`2003-09-18 2003-03-04 77%
`
`WO0228798A3 A STABLE AQUEOUS DISPERSION OF A
`PREFORMED POLYMER IN CONCRETE AND
`CEMENTATIOUS COMPOSITES
`
`US6512024 Continuous process of extruding and
`mechanically dispersing a polymeric resin in an
`aqueous or non-aqueous medium
`WO0228937B1 DISPERSION OF A PREFORMED POLYMER IN A
`POLYOL
`
`WO0228937A3 DISPERSION OF A PREFORMED POLYMER IN A
`POLYOL
`
`2003-01-23 2001-09-17 77%
`
`2003-01-28 2000-05-19 77°/o
`
`2002-12-05 2001-09-10 77°/o
`
`2002-06-27 2001-09-10 77%
`
`WOO224790A3 DISPERSIONS AND LATEXES OF POLAR GROUP
`
`2002-05-30 2001-08-22 77%
`
`

`
`MODIFIED POLYMERS
`
`WO0228937A2 DISPERSION OF A PREFORMED POLYMER IN A
`POLYOL
`
`2002-04-11 2001-09-10 77%
`
`WOO228798A2 A STABLE AQUEOUS DISPERSION OF A
`PREFORMED POLYMER IN CONCRETE AND
`CEMENTATIOUS COMPOSITES
`
`2002-04-11 2001-09-17 77%
`
`© 1997-2008 Thomson Delphion
`
`

`
`Mon Aug 11 17:21:46 GMT 2014
`
`TFIQIVISQNI
`
` w
`DELPH ION
`
`isp
`
`laying results 41 - 60
`
`Search results for: ((((James Pate)OR(James E Pate)OR(Pate James)OR(Pate James E) <in>
`IN )AND ((Merial OR Elanco OR Lilly OR Dow) <in> PA)))
`Collections searched: US (Granted), European (Applications), European (Granted), WIPO
`PCT Publications, US (Applications)
`63 matches found of 19,518,471 patents searched
`
`
`of(63.
`
`—.___.C‘17",é'
`7 7%
`
`
`V
`I
`»
`_.
`Publication 'l”gtl,e;~_.
`WO0224790A2 DISPERSIONS AND LATEXES OF POLAR GROUP
`MODIFIED POLYMERS
`
`‘Pub
`
`2002-0 -28
`
`2001-08-22
`
`EP1198516A1
`
`EP1189988A1
`
`COMPOSITIONS COMPRISING HYDROGENATED
`BLOCK COPOLYMERS AND END-USE APPLICATIONS
`THEREOF
`
`COMPOSITIONS COMPRISING HYDROGENATED
`BLOCK COPOLYMERS AND END-USE APPLICATIONS
`THEREOF
`
`EP1189977A1
`
`A CONTINUOUS PROCESS OF EXTRUDING AND
`MECHANICALLY DISPERSING A POLYMERIC RESIN
`
`EP0970273B1
`
`IN AN AQUEOUS OR NON-AQUEOUS MEDIUM
`PROCESS FOR PREPARING CARPETS HAVING
`POLYURETHANE BACKINGS OBTAINED FROM
`POLYURETHANE LATEX FORMULATIONS
`
`2002-04-24
`
`2000-05-19
`
`7 7 °/o
`
`2002-03-27
`
`2000-05-19
`
`7 7 °/o
`
`2002-03-27
`
`2000-05-19
`
`7 7 %
`
`2002-09-04
`
`1998-03- 16
`
`7 7 °/o
`
`EP101551 1B1
`
`HIGH INTERNAL PHASE RATIO EMULSIONS AND
`
`2002-04-24
`
`1998-08-26
`
`7 7 %
`
`EP1 141 126A1
`
`EP0830414B1
`
`WO0077095A1
`
`WO0077094A1
`
`STABLE AQUEOUS DISPERSIONS OF HYDROXY-
`FUNCUONAL POLYMERS
`
`EPOXY RESINS AND STABLE AQUEOUS
`DISPERSIONS THEREOF
`
`A PROCESS FOR PREPARING HIGH INTERNAL PHASE
`RATIO EMULSIONS AND LATEXES DERIVED
`THEREOF
`
`COMPOSITIONS COMPRISING HYDROGENATED
`BLOCK COPOLYMERS AND END-USE APPLICATIONS
`THEREOF
`
`COMPOSITIONS COMPRISING HYDROGENATED
`BLOCK COPOLYMERS AND END-USE APPLICATIONS
`THEREOF
`
`2001-10-10
`
`1999-09-01
`
`7 7 %
`
`2001-09-12
`
`1996-05-03
`
`77°/-o
`
`2000-12-21
`
`2000-05-19
`
`77%
`
`2000-12-21
`
`2000-05-19
`
`7 7 %
`
`WO0071609A1
`
`A CONTINUOUS PROCESS OF EXTRUDING AND
`MECHANICALLY DISPERSING A POLYMERIC RESIN
`
`2000-11-30
`
`2000-05-19
`
`770/0
`
`WO0071608A1
`
`IN AN AQUEOUS OR NON-AQUEOUS MEDIUM
`A CONTINUOUS PROCESS OF EXTRUDING AND
`MECHANICALLY DISPERSING A POLYMERIC RESIN
`
`IN AN AQUEOUS OR NON-AQUEOUS MEDIUM
`
`WO0020499A1
`
`EPOXY RESINS AND STABLE AQUEOUS
`DISPERSIONS THEREOF
`
`2000-11-30
`
`2000-05-19.
`
`7 7 %
`
`2000-04-13
`
`1999-09-01
`
`7 7 %
`
`EP1015S1 1A1
`
`HIGH INTERNAL PHASE RATIO EMULSIONS AND
`
`2000-07-05
`
`1998-08-26
`
`77%
`
`EP0970273A1
`
`STABLE AQUEOUS DISPERSIONS OF HYDROXY-
`FUNCTIONAL POLYMERS
`
`PROCESS FOR PREPARING CARPETS HAVING
`POLYURETHANE BACKINGS OBTAINED FROM
`POLYURETHANE LATEX FORMUIATIONS
`
`2000-01-12
`
`1998-03-16
`
`7 7 °/o
`
`

`
`EP0968239A1
`
`CONTINUOUS PROCESS FOR PREPARING A
`POLYURETHANE LATEX
`
`WO9912995A1
`
`US5959027
`
`WO9841681A1
`
`HIGH INTERNAL PHASE RATIO EMULSIONS AND
`STABLE AQUEOUS DISPERSIONS OF HYDROXY-
`FUNCTIONAL POLYMERS
`
`Continuous process for preparing a polyurethane
`latex
`
`PROCESS FOR PREPARING CARPETS HAVING
`POLYURETHANE BACKINGS OBTAINED FROM
`POLYURETHANE LATEX FORMULATIONS
`
`WO9841552A1
`
`CONTINUOUS PROCESS FOR PREPARING A
`POLYURETHANE LATEX
`
`© 1997-2008 Thomson Delphion
`
`2000-01-05
`
`1998-03-17 77%
`
`1999-03-18
`
`1998-08-26 77%
`
`1999-09-28
`
`1998-03-17 77°/o
`
`1998-09-24
`
`1998-03-16 77°/o
`
`1998-09-24
`
`1998-03-17 77°/o