Docket No.: AGP-002C2
`(PATENT)
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`In re Patent Application of:
`Daniel J. Rader
`
`Application No.: 13/046,118
`
`Confirmation No.: 4237
`
`Filed: March 11, 2011
`
`Art Unit: 1614
`
`For: METHODS FOR TREATING DISORDERS
`OR DISEASES ASSOCIATED WITH
`HYPERLIPIDEMIA AND
`HYPERCHOLESTEROLEMIA WHILE
`MINIMIZING SIDE EFFECTS
`
`Examiner: K. E. Weddington
`
`INFORMATION DISCLOSURE STATEMENT (IDS)
`
`MS Amendment
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`Dear Sir:
`
`Pursuant to 37 CPR 1.56, 1.97 and 1.98, the attention of the Patent and Trademark
`
`Office is hereby directed to the references listed on the attached PTO/SB/08. It is respectfully
`
`requested that the information be expressly considered during the prosecution of this application,
`
`and that the references be made of record therein and appear among the "References Cited" on any
`
`patent to issue therefrom.
`
`This Information Disclosure Statement is filed before the mailing date of a first Office
`
`Action on the merits as far as is known to the undersigned (37 CPR 1.97(b )(3)).
`
`In accordance with 37 CPR 1.98(a)(2)(ii), Applicant has not submitted copies of U.S.
`
`patents and U.S. patent applications. Those documents which are marked with a double asterisk
`
`(**)next to the Cite No. in the attached PTO/SB/08 are not supplied because they were previously
`
`LIBC/4175865.1
`
`Page 1 of 20
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`IPR2015-01835
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`Application No.: 13/046,118
`
`2
`
`Docket No.: AGP-002C2
`
`cited by or submitted to the Office in prior application number 10/591,923 filed June 21, 2007, and
`
`relied upon in this application for an earlier filing date under 35 U.S.C. 120.
`
`Applicants wish to inform the Examiner of the following patent applications, including
`
`the contents of the file wrappers, the claims, any office actions issued therein, and any Notices of
`
`Allowance issued therefor:
`
`U.S. Application No. 12/090,539 (Attorney Docket No. AGP-001), filed
`
`June 27, 2008, and published as U.S. Publication No. 2008-0253985 on October 16, 2008 (cited as
`
`reference A99 on the PTO/SB/08 submitted herewith); and
`
`U.S. Application No. 10/591,923 (Attorney Docket No. AGP-002), filed
`
`June 21, 2007, and issued as U.S. Patent No. 7,932,268 on April26, 20ll (cited as reference Al09
`
`on the PTO/SB/08 submitted herewith); and
`
`U.S. Application No. 11/582,835 (Attorney Docket No. AGP-003), filed October 18,
`
`2006, and published as U.S. Publication No. 2007-0093468 on April26, 2007 (cited as reference
`
`A 76 on the PTO/SB/08 submitted herewith), now abandoned; and
`
`U.S. Application No. 121197,621 (Attorney Docket No. AGP-003C2), filed August
`
`26, 2008, and published as U.S. Publication No. 2009-0054393 on February 26, 2009 (cited as
`
`reference Al04 on the PTO/SB/08 submitted herewith); and
`
`U.S. Application No. 12/975,987 (Attorney Docket No. AGP-003C3), filed
`
`December 22,2010, now pending; and
`
`U.S. Application No. 11/582,833 (Attorney Docket No. AGP-004), filed October 18,
`
`2006, and published as U.S. Publication No. 2007-0093527 on April26, 2007 (cited as reference
`
`Al05 on the PTO/SB/08 submitted herewith), now abandoned; and
`
`LIBC/4175865.1
`
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`Application No.: 13/046,118
`
`3
`
`Docket No.: AGP-002C2
`
`U.S. Application No. 12/976,002 (Attorney Docket No. AGP-004C2), filed
`
`December 22, 2010, now pending; and
`
`U.S. Application No. 11/582,876 (Attorney Docket No. AGP-005), filed October 18,
`
`2006, and published as U.S. Publication No. 2007-0088089 on Aprill9, 2007 (cited as reference
`
`A 75 on the PTO/SB/08 submitted herewith), now abandoned; and
`
`U.S. Application No. 12/646,146 (Attorney Docket No. AGP-005C2), filed
`
`December 23, 2009, and published as U.S. Publication No. 2010-0273829 on October 28, 2010
`
`(cited as reference AllO on the PTO/SB/08 submitted herewith); and
`
`U.S. Application No. 11/962,383 (Attorney Docket No. AGP-006), filed December
`
`21, 2007, and published as U.S. Publication No. 2008-0161279 on July 3, 2008 (cited as reference
`
`A95 on the PTO/SB/08 submitted herewith), now abandoned; and
`
`U.S. Application No. 131110,697 (Attorney Docket No. AGP-006Cl), filed May 18,
`
`2011, now pending; and
`
`U.S. Application No. 131182,073 (Attorney Docket No. AGP-041), filed July 13,
`
`2011, now pending.
`
`In accordance with 37 CPR 1.97(g), the filing of this Information Disclosure Statement
`
`shall not be construed to mean that a search has been made or that no other material information as
`
`defined in 37 CPR 1.56(a) exists. In accordance with 37 CPR 1.97(h), the filing of this Information
`
`Disclosure Statement shall not be construed to be an admission that any patent, publication or other
`
`information referred to therein is "prior art" for this invention unless specifically designated as such.
`
`It is submitted that the Information Disclosure Statement is in compliance with 37 CPR
`
`1.98 and the Examiner is respectfully requested to consider the listed references.
`
`LIBC/4175865.1
`
`Page 3 of 20
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`PENN EX. 2009
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`Application No.: 13/046,118
`
`4
`
`Docket No.: AGP-002C2
`
`The Director is hereby authorized to charge any deficiency in the fees filed, asserted to
`
`be filed or which should have been filed herewith to our Deposit Account No. 07-1700, under Order
`
`No. AGP-002C2.
`
`Dated: September 28, 2011
`
`Respectfully submitted,
`
`/Megan A. Gustafson/
`Megan A. Gustafson
`Registration No.: 65,847
`GOODWIN PROCTER LLP
`Exchange Place
`Boston, Massachusetts 02109
`(617) 570-1000
`Agent for Applicant
`
`LIBC/4175865.1
`
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`
`u d
`h p
`n er t e aperwor k R d e uct1on A
`d
`ct o 1995, no persons are requ1re
`
`Substitute for form 1449/PTO
`
`PTO/SB/08a (07-09)
`Approved for use through 07/31/2012. OMB 0651-0031
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`II
`f. f
`I
`I'd OMB
`I
`b
`to respon d
`centro num er.
`to a co ect1on o 1n ormat1on un ess 1t contams a va 1
`Complete if Known
`
`Application Number
`
`13/046, 118-Conf. #4237
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`(Use as many sheets as necessary)
`
`Filing Date
`
`First Named Inventor
`
`Art Unit
`
`March 11, 2011
`Daniel J. Rader
`1614
`
`Examiner Name
`
`K. E. Weddington
`
`Sheet I
`
`1
`
`I of I
`
`16
`
`Attorney Docket Number AGP-002C2
`
`Examiner
`ln~ials'
`
`Cite
`No. 1
`
`Document Number
`Publication Date
`Number-Kind Code2 (if known) MM-DD-YYYY
`
`Name of Patentee or
`Applicant of Cited Document
`
`Pages, Columns, Lines, Where
`Relevant Passages or Relevant
`Figures Appear
`
`U.S. PATENT DOCUMENTS
`
`A1
`A2
`A3
`A4
`A5
`A6
`A?
`A8
`A9
`A10
`A11
`A12
`A13
`A14
`A15
`A16
`A17
`A18
`A19
`
`US-3,983, 140
`US-4,231 ,938
`US-4,346,227
`US-4,448, 784
`US-4,450, 171
`US-4,499,289
`US-4,613,61 0
`US-4,647,576
`US-4,686,237
`US-4,871 ,721
`US-4,924,024
`US-5, 117,080
`US-5,595,872
`US-5,684,014
`US-5, 712,279
`US-5, 712,396
`US-5,739, 135
`US-5, 760,246
`US-5,786,361
`
`09-28-1976 Endo et al.
`11-04-1980 Monaqhan et al.
`08-24-1982 T erahara et al.
`05-15-1984 Glamkowski et al.
`05-22-1984 Hoffman et al.
`02-12-1985 Baran et al.
`09-23-1986 Wareing
`03-03-1987 Hoefle et al.
`08-11-1987 Anderson
`10-03-1989 Biller
`05-08-1990 Biller
`05-26-1992 Lee et al.
`01-21-1997 Wetterau, II et al.
`11-04-1997 Muller et al.
`01-27-1998 Biller et al.
`01-27-1998 Maqnin et al.
`04-14-1998 Biller et al.
`06-02-1998 Biller et al.
`07-28-1998 Muller et al.
`
`Examiner
`ln~ials'
`
`Cite
`No. 1
`
`FOREIGN PATENT DOCUMENTS
`Publication
`Date
`Country Code3 -Number4-Kind Code5 (ff known) MM-DD-YYYY
`
`Foreign Patent Document
`
`Name of Patentee or
`Applicant of Cited Document
`
`AU-727895
`CA-2091102
`CA-2291471
`CA-2325201
`DE-19951022
`EP-0142146
`
`07-23-1998
`09-07-1993
`06-04-2000
`05-10-2001
`04-26-2001
`05-22-1985
`
`B1 **
`B2**
`B3**
`B4**
`B5**
`B6**
`
`I Examiner I
`
`Signature
`
`Bristol Myers Squibb Co.
`Squibb & Sons Inc
`Pfizer Prod Inc
`Pfizer Prod Inc
`Bayer Ag
`Merck & Co Inc
`
`I Date
`
`Considered
`
`Pages, Columns, Lines,
`Where Relevant Passages T'
`Or Relevant Figures Appear
`D
`D
`D
`D
`D
`D
`
`*EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance and not
`considered. Include copy of this form with next communication to applicant. • CITE NO .. Those application(s) which are marked with an single asterisk(') next
`to the Cite No. are not supplied (under 37 CFR 1.98(a)(2)(iii)) because that application was filed after June 30, 2003 or is available in the IFW. 1 Applicant"s
`unique citation designation number (optional). 2 See Kinds Codes of USPTO Patent Documents at www.uspto.gov or MPEP 901.04. 3 Enter Office that issued
`4 For Japanese patent documents, the indication of the year of the reign of the Emperor must
`the document, by the two-letter code (WIPO Standard ST.3).
`precede the serial number of the patent document. 5 Kind of document by the appropriate symbols as indicated on the document under WI PO Standard ST.16 if
`possible. 6 Applicant is to place a check mark here if English language Translation is attached.
`
`LIBC/4176024.1
`
`Page 5 of 20
`
`PENN EX. 2009
`CFAD V. UPENN
`IPR2015-01835
`
`

`
`PTO/SB/08a (07-09)
`Approved for use through 07/31/2012. OMB 0651-0031
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number
`
`Substitute for form 1449/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`(Use as many sheets as necessary)
`
`Complete if Known
`
`Application Number
`
`13/046, 118-Conf. #4237
`
`Filing Date
`
`First Named Inventor
`
`Art Unit
`
`March 11, 2011
`Daniel J. Rader
`1614
`
`Examiner Name
`
`K. E. Weddington
`
`Sheet I
`
`2
`
`I of I
`
`16
`
`Attorney Docket Number AGP-002C2
`
`Examiner
`ln~ials'
`
`Cite
`No. 1
`
`Document Number
`Publication Date
`Number-Kind Code2 (if known) MM-DD-YYYY
`
`Name of Patentee or
`Applicant of Cited Document
`
`Pages, Columns, Lines, Where
`Relevant Passages or Relevant
`Figures Appear
`
`U.S. PATENT DOCUMENTS
`
`A20
`A21
`A22
`A23
`A24
`A25
`A26
`A27
`A28
`A29
`A30
`A31
`A32
`A33
`A34
`A35
`A36
`A37
`A38
`
`US-5,789, 197
`US-5,811 ,429
`US-5,827,875
`US-5,883, 1 09
`US-5,885,983
`US-5,952,498
`US-5,990, 11 0
`US-6,034, 115
`US-6,057,339
`US-6,066,650
`US-6,066,653
`US-6, 114,341
`US-6,265,431
`US-6,297,233
`US-6,344,450
`US-6,4 79,503-A 1
`US-6,245, 775
`US-6,492,365
`US-6,498, 156-A 1
`
`08-04-1998 Wetterau, II et al.
`09-22-1998 Connell et al.
`10-27-1998 Dickson, Jr. et al.
`03-16-1999 Gregg et al.
`03-23-1999 Biller et al.
`09-14-1999 Lenfers et al.
`11-23-1999 Firestone
`03-07-2000 Connell et al.
`05-02-2000 Gregg
`05-23-2000 Biller et al.
`05-23-2000 GreQQ et al.
`09-05-2000 Muller et al.
`07-24-2001 Muller et al.
`10-02-2001 Stein et al.
`02-05-2002 Bisacchi et al.
`11-12-2002 Muller et al.
`06-12-2001 Muller et al.
`12-10-2002 Wetterau, II et al.
`12-24-2002 Glombik et al.
`
`Examiner
`ln~ials'
`
`Cite
`No. 1
`
`FOREIGN PATENT DOCUMENTS
`Publication
`Date
`Country Code3 -Number4-Kind Code5 (ff known) MM-DD-YYYY
`
`Forei~n Patent Document
`
`Name of Patentee or
`Applicant of Cited Document
`
`EP-0221025
`EP-0325130
`EP-0705831
`EP-0779276
`EP-0779279
`EP-0799828
`
`05-06-1987
`07-26-1989
`04-10-1996
`06-18-1997
`06-18-1997
`10-08-1997
`
`B7**
`B8**
`B9**
`B1 0**
`B11 **
`B12**
`
`I Examiner I
`
`Signature
`
`Sandoz AQ et al.
`Bayer Ag
`Bayer Ag
`Bayer AQ
`Bayer Ag
`Bayer Ag
`
`I Date
`
`Considered
`
`Pages, Columns, Lines,
`
`Where Relevant Passages r
`Or Relevant Figures Appear
`D
`D
`D
`D
`D
`D
`
`*EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance and not
`considered. Include copy of this form with next communication to applicant. • CITE NO .. Those application(s) which are marked with an single asterisk(') next
`to the Cite No. are not supplied (under 37 CFR 1.98(a)(2)(iii)) because that application was filed after June 30, 2003 or is available in the IFW. 1 Applicant"s
`unique citation designation number (optional). 2 See Kinds Codes of USPTO Patent Documents at www.uspto.gov or MPEP 901.04. 3 Enter Office that issued
`4 For Japanese patent documents, the indication of the year of the reign of the Emperor must
`the document, by the two-letter code (WIPO Standard ST.3).
`precede the serial number of the patent document. 5 Kind of document by the appropriate symbols as indicated on the document under WI PO Standard ST.16 if
`possible. 6 Applicant is to place a check mark here if English language Translation is attached.
`
`LIBC/4176024.1
`
`Page 6 of 20
`
`PENN EX. 2009
`CFAD V. UPENN
`IPR2015-01835
`
`

`
`PTO/SB/08a (07-09)
`Approved for use through 07/31/2012. OMB 0651-0031
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number
`
`Substitute for form 1449/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`(Use as many sheets as necessary)
`
`Complete if Known
`
`Application Number
`
`13/046, 118-Conf. #4237
`
`Filing Date
`
`First Named Inventor
`
`Art Unit
`
`March 11, 2011
`Daniel J. Rader
`1614
`
`Examiner Name
`
`K. E. Weddington
`
`Sheet I
`
`3
`
`I of I
`
`16
`
`Attorney Docket Number AGP-002C2
`
`Examiner
`ln~ials'
`
`Cite
`No. 1
`
`Document Number
`Publication Date
`Number-Kind Code2 (if known) MM-DD-YYYY
`
`Name of Patentee or
`Applicant of Cited Document
`
`Pages, Columns, Lines, Where
`Relevant Passages or Relevant
`Figures Appear
`
`U.S. PATENT DOCUMENTS
`
`A39
`A40
`A41
`A42
`A43
`A44
`A45
`A46
`A47
`A48
`A49
`A 50
`A51
`A 52
`A 53
`A 54
`A 55
`A 56
`A 57
`
`US-6,620,821-A 1
`US-6,627,636
`US-6, 720,351 -A 1
`US-6, 77 4,236
`US-6,812,345-A 1
`US-6,846,836-A 1
`US-6,858,622-A 1
`US-6,875, 782-A 1
`US-6,884,812
`US-6,916,809-A 1
`US-6,916,813-A1
`US-6,949,572-82
`US-6,979,692-A 1
`US-7,053,080-A 1
`US-7,056,906-A 1
`US-2002/0035064
`US-2002/0045271
`US-2003/0069221
`US-2003/01 09543
`
`09-16-2003 Rob I
`09-30-2003 Rob I
`04-13-2004 Bertinato et al.
`08-10-2004 Lenfers et al.
`11-02-2004 Robl et al.
`01-25-2005 Hamann et al.
`02-22-2005 Muller et al.
`04-05-2005 Chenq et al.
`04-26-2005 Glombik et al.
`07-12-2005 Chen et al.
`07-12-2005 Atwal et al.
`09-27-2005 Bertinato et al.
`12-27-2005 Bertinato et al.
`05-30-2006 Davis et al.
`06-06-2006 Strony
`03-21-2002 Robl et al.
`04-18-2002 HUSSAIN et al.
`04-10-2003 Kosoglou et al.
`06-12-2003 Ogletree
`
`Examiner
`ln~ials'
`
`Cite
`No. 1
`
`FOREIGN PATENT DOCUMENTS
`Publication
`Date
`Country Code3 -Number4-Kind Code5 (ff known) MM-DD-YYYY
`
`Forei~n Patent Document
`
`Name of Patentee or
`Applicant of Cited Document
`
`EP-0802198
`EP-1099442
`EP-1181954
`FR-2596393
`GB-2205837
`J P-2002/220345
`
`10-22-1997
`05-16-2001
`02-27-2002
`10-02-1987
`12-21-1988
`09-03-1990
`
`813**
`814**
`815**
`816**
`817**
`818**
`
`I Examiner I
`
`Signature
`
`Bayer Aq
`Pfizer Prod Inc
`Pfizer
`Sanofi Sa
`Squibb & Sons Inc
`Hamamatsu Photonics Kk
`
`I Date
`
`Considered
`
`Pages, Columns, Lines,
`
`Where Relevant Passages r
`Or Relevant Figures Appear
`D
`D
`D
`D
`D
`D
`
`*EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance and not
`considered. Include copy of this form with next communication to applicant. • CITE NO .. Those application(s) which are marked with an single asterisk(') next
`to the Cite No. are not supplied (under 37 CFR 1.98(a)(2)(iii)) because that application was filed after June 30, 2003 or is available in the IFW. 1 Applicant"s
`unique citation designation number (optional). 2 See Kinds Codes of USPTO Patent Documents at www.uspto.gov or MPEP 901.04. 3 Enter Office that issued
`4 For Japanese patent documents, the indication of the year of the reign of the Emperor must
`the document, by the two-letter code (WIPO Standard ST.3).
`precede the serial number of the patent document. 5 Kind of document by the appropriate symbols as indicated on the document under WI PO Standard ST.16 if
`possible. 6 Applicant is to place a check mark here if English language Translation is attached.
`
`LIBC/4176024.1
`
`Page 7 of 20
`
`PENN EX. 2009
`CFAD V. UPENN
`IPR2015-01835
`
`

`
`PTO/SB/08a (07-09)
`Approved for use through 07/31/2012. OMB 0651-0031
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number
`
`Substitute for form 1449/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`(Use as many sheets as necessary)
`
`Complete if Known
`
`Application Number
`
`13/046, 118-Conf. #4237
`
`Filing Date
`
`First Named Inventor
`
`Art Unit
`
`March 11, 2011
`Daniel J. Rader
`1614
`
`Examiner Name
`
`K. E. Weddington
`
`Sheet I
`
`4
`
`I of I
`
`16
`
`Attorney Docket Number AGP-002C2
`
`Examiner
`ln~ials'
`
`Cite
`No. 1
`
`Document Number
`Publication Date
`Number-Kind Code2 (if known) MM-DD-YYYY
`
`Name of Patentee or
`Applicant of Cited Document
`
`Pages, Columns, Lines, Where
`Relevant Passages or Relevant
`Figures Appear
`
`U.S. PATENT DOCUMENTS
`
`A 58
`A 59
`A60
`A61
`A62
`A63
`A64
`A65
`A66
`A67
`A68
`A69
`A70
`A71
`A72
`A73
`A74
`A75
`A76
`
`08-28-2003 Thomas et al.
`US-2003/0162788
`10-02-2003 Bertinato et al.
`US-2003/0187053
`01-22-2004 Grutzmann et al.
`US-2004/0014748
`US-2004/0058908-A 1 03-25-2004 Keller et al.
`US-2005/0075367-A 1 04-07-2005 Hagiwara et al.
`US-2005/0090426-A 1 04-28-2005 BlumberQ
`US-2005/0 1 0 1561-A 1 05-12-2005 Tunac
`US-2006/0069161-A 1 03-30-2006 Lee et al.
`US-2006/0 135460-A 1 06-22-2006 Widder et al.
`US-2006/0 153913-A 1 07-13-2006 Yamane et al.
`US-2006/0205726-A 1 09-14-2006 HaQiwara et al.
`US-2006/0211 020-A 1 09-21-2006 Farrer et al.
`US-2006/0211762-A 1 09-21-2006 Rongen et al.
`11-09-2006 Jansen
`US-2006/0252733
`US-2006/0270655-A 1 11-30-2006 Swick et al.
`US-2007/0027093
`02-01-2007 Ogawa et al.
`US-2007/0032404
`02-08-2007 Sweet
`US-2007/0088089-A 1 04-19-2007 Wisler
`US-2007/0093468-A 1 04-26-2007 Wisler
`
`Examiner
`ln~ials'
`
`Cite
`No. 1
`
`FOREIGN PATENT DOCUMENTS
`Publication
`Date
`Country Code3 -Number4-Kind Code5 (ff known) MM-DD-YYYY
`
`Forei~n Patent Document
`
`Name of Patentee or
`Applicant of Cited Document
`
`W0-86/003488
`W0-86/007054
`W0-96/026205
`W0-96/040640
`W0-97/041111
`W0-98/003069
`
`06-19-1986
`12-04-1986
`08-29-1996
`12-19-1996
`11-06-1997
`01-29-1998
`
`B19**
`B20**
`B21**
`B22**
`B23**
`B24**
`
`I Examiner I
`
`Signature
`
`Sandoz AQ
`Sandoz Ag et al.
`Squibb Bristol Myers Co
`Pfizer et al.
`Pfizer et al.
`Squibb Bristol Myers Co
`
`I Date
`
`Considered
`
`Pages, Columns, Lines,
`
`Where Relevant Passages r
`Or Relevant Figures Appear
`D
`D
`D
`D
`D
`D
`
`*EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance and not
`considered. Include copy of this form with next communication to applicant. • CITE NO .. Those application(s) which are marked with an single asterisk(') next
`to the Cite No. are not supplied (under 37 CFR 1.98(a)(2)(iii)) because that application was filed after June 30, 2003 or is available in the IFW. 1 Applicant"s
`unique citation designation number (optional). 2 See Kinds Codes of USPTO Patent Documents at www.uspto.gov or MPEP 901.04. 3 Enter Office that issued
`4 For Japanese patent documents, the indication of the year of the reign of the Emperor must
`the document, by the two-letter code (WIPO Standard ST.3).
`precede the serial number of the patent document. 5 Kind of document by the appropriate symbols as indicated on the document under WI PO Standard ST.16 if
`possible. 6 Applicant is to place a check mark here if English language Translation is attached.
`
`LIBC/4176024.1
`
`Page 8 of 20
`
`PENN EX. 2009
`CFAD V. UPENN
`IPR2015-01835
`
`

`
`PTO/SB/08a (07-09)
`Approved for use through 07/31/2012. OMB 0651-0031
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number
`
`Substitute for form 1449/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`(Use as many sheets as necessary)
`
`Complete if Known
`
`Application Number
`
`13/046, 118-Conf. #4237
`
`Filing Date
`
`First Named Inventor
`
`Art Unit
`
`March 11, 2011
`Daniel J. Rader
`1614
`
`Examiner Name
`
`K. E. Weddington
`
`Sheet I
`
`5
`
`I of I
`
`16
`
`Attorney Docket Number AGP-002C2
`
`Examiner
`ln~ials'
`
`Cite
`No. 1
`
`Document Number
`Publication Date
`Number-Kind Code2 (if known) MM-DD-YYYY
`
`Name of Patentee or
`Applicant of Cited Document
`
`Pages, Columns, Lines, Where
`Relevant Passages or Relevant
`Figures Appear
`
`U.S. PATENT DOCUMENTS
`
`A77
`A78
`A79
`A80
`A81
`A82
`A83
`A84
`A85
`A86
`A87
`A88
`A89
`A90
`A91
`A92
`A93
`A94
`A95
`
`US-2007 /0093527 -A 1 04-26-2007 Wisler
`12-29-1987 Hoefle et al.
`US-4,716, 175
`05-14-1991 Roth et al.
`US-5,015,644
`06-25-1991 Bartizal et al.
`US-5,026,554
`04-23-1996 Lee et al.
`US-5,51 0,379
`09-19-2000 ChanQ et al.
`US-6, 121,283
`10-31-2000 DeNinno et al.
`US-6, 140,343
`04-15-2008 Robl et al.
`US-7,358,254
`07-01-2008
`Iwata et al.
`US-7,394,501
`US-2003/0 153541
`08-14-2003 Dudley et al.
`US-2006/0160834
`07-20-2006 FonQ et al.
`US-2006/0166999
`07-27-2006 Grutzmann et al.
`US-2007/0098778
`05-03-2007 Borsadia
`US-2007/0099884
`05-03-2007 Erondu et al.
`US-2008/0016127
`01-17-2008 Field
`US-2008/0033019
`02-07-2008 Stamler
`02-28-2008 Schuckler
`US-2008/0051427
`US-2008/01 03122
`05-01-2008 Veltri
`US-2008/0 161279
`07-03-2008 Wisler
`
`Examiner
`ln~ials'
`
`Cite
`No. 1
`
`FOREIGN PATENT DOCUMENTS
`Publication
`Date
`Country Code3 -Number4-Kind Code5 (ff known) MM-DD-YYYY
`
`Forei~n Patent Document
`
`Name of Patentee or
`Applicant of Cited Document
`
`W0-98/003174
`W0-98/023593
`W0-98/027979
`W0-98/031225
`W0-98/031366
`W0-98/031367
`
`01-29-1998
`06-04-1998
`07-02-1998
`07-23-1998
`07-23-1998
`07-23-1998
`
`B25**
`B26**
`B27**
`B28**
`B29**
`B30**
`
`I Examiner I
`
`Signature
`
`Squibb Bristol Myers Co
`Pfizer et al.
`Squibb Bristol Myers Co
`Squibb Bristol Myers Co
`Squibb Bristol Myers Co
`Squibb Bristol Myers Co
`
`I Date
`
`Considered
`
`Pages, Columns, Lines,
`
`Where Relevant Passages r
`Or Relevant Figures Appear
`D
`D
`D
`D
`D
`D
`
`*EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance and not
`considered. Include copy of this form with next communication to applicant. • CITE NO .. Those application(s) which are marked with an single asterisk(') next
`to the Cite No. are not supplied (under 37 CFR 1.98(a)(2)(iii)) because that application was filed after June 30, 2003 or is available in the IFW. 1 Applicant"s
`unique citation designation number (optional). 2 See Kinds Codes of USPTO Patent Documents at www.uspto.gov or MPEP 901.04. 3 Enter Office that issued
`4 For Japanese patent documents, the indication of the year of the reign of the Emperor must
`the document, by the two-letter code (WIPO Standard ST.3).
`precede the serial number of the patent document. 5 Kind of document by the appropriate symbols as indicated on the document under WI PO Standard ST.16 if
`possible. 6 Applicant is to place a check mark here if English language Translation is attached.
`
`LIBC/4176024.1
`
`Page 9 of 20
`
`PENN EX. 2009
`CFAD V. UPENN
`IPR2015-01835
`
`

`
`PTO/SB/08a (07-09)
`Approved for use through 07/31/2012. OMB 0651-0031
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number
`
`Substitute for form 1449/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`(Use as many sheets as necessary)
`
`Complete if Known
`
`Application Number
`
`13/046, 118-Conf. #4237
`
`Filing Date
`
`First Named Inventor
`
`Art Unit
`
`March 11, 2011
`Daniel J. Rader
`1614
`
`Examiner Name
`
`K. E. Weddington
`
`Sheet I
`
`6
`
`I of I
`
`16
`
`Attorney Docket Number AGP-002C2
`
`Examiner
`ln~ials'
`
`Cite
`No. 1
`
`Document Number
`Publication Date
`Number-Kind Code2 (if known) MM-DD-YYYY
`
`Name of Patentee or
`Applicant of Cited Document
`
`Pages, Columns, Lines, Where
`Relevant Passages or Relevant
`Figures Appear
`
`U.S. PATENT DOCUMENTS
`
`A96
`A97
`A98
`A99
`A100
`A101
`A102
`A103
`A104
`A105
`A106
`A107
`A108
`A109
`A110
`
`US-2008/0175864
`US-2008/0241869
`US-2008/0248070
`US-2008/0253985
`US-2008/0255084
`US-2008/0280992
`US-2009/0042835
`US-2009/0042941
`US-2009/0054393
`US-2009/0093527
`US-7,645,732
`US-5,767,115
`US-6, 194,454
`US-7,932,268
`US-201 00273829
`
`07-24-2008 Ye et al.
`10-02-2008 Davis
`10-09-2008 Tunac
`10-16-2008 Wisler
`10-16-2008 Webb
`11-13-2008 Kunz et al.
`02-12-2009 Davis
`02-12-2009 Rader
`02-26-2009 Wisler
`04-09-2009 Li et al.
`01-12-2010 Ye et al.
`06-16-1998 Rosenblum et al.
`02-27-2001 Dow
`04-26-2011 Rader
`10-28-2010 Wisler
`
`Examiner
`ln~ials'
`
`Cite
`No. 1
`
`FOREIGN PATENT DOCUMENTS
`Publication
`Date
`Country Code3 -Number4-Kind Code5 (ff known) MM-DD-YYYY
`
`Forei~n Patent Document
`
`Name of Patentee or
`Applicant of Cited Document
`
`W0-98/050028
`W0-00/038725
`W0-01 /008679
`W0-04/028544
`W0-04/11 0368
`W0-04/11 0375
`
`11-12-1998
`07-06-2000
`02-08-2001
`04-08-2004
`12-23-2004
`12-23-2004
`
`831**
`832**
`833**
`834**
`835**
`836**
`
`I Examiner I
`
`Signature
`
`Squibb Bristol Myers Co
`Searle & Co et al.
`Verkade Hendrik Jan
`Novo Nordisk AS
`Merck & Co.
`Merck & Co.
`
`I Date
`
`Considered
`
`Pages, Columns, Lines,
`
`Where Relevant Passages r
`Or Relevant Figures Appear
`D
`D
`D
`D
`D
`D
`
`*EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance and not
`considered. Include copy of this form with next communication to applicant. • CITE NO .. Those application(s) which are marked with an single asterisk(') next
`to the Cite No. are not supplied (under 37 CFR 1.98(a)(2)(iii)) because that application was filed after June 30, 2003 or is available in the IFW. 1 Applicant"s
`unique citation designation number (optional). 2 See Kinds Codes of USPTO Patent Documents at www.uspto.gov or MPEP 901.04. 3 Enter Office that issued
`4 For Japanese patent documents, the indication of the year of the reign of the Emperor must
`the document, by the two-letter code (WIPO Standard ST.3).
`precede the serial number of the patent document. 5 Kind of document by the appropriate symbols as indicated on the document under WI PO Standard ST.16 if
`possible. 6 Applicant is to place a check mark here if English language Translation is attached.
`
`LIBC/4176024.1
`
`Page 10 of 20
`
`PENN EX. 2009
`CFAD V. UPENN
`IPR2015-01835
`
`

`
`PTO/SB/08a (07-09)
`Approved for use through 07/31/2012. OMB 0651-0031
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number
`
`Substitute for form 1449/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`(Use as many sheets as necessary)
`
`Complete if Known
`
`Application Number
`
`13/046, 118-Conf. #4237
`
`Filing Date
`
`First Named Inventor
`
`Art Unit
`
`Examiner Name
`
`March 11, 2011
`Daniel J. Rader
`1614
`K. E. Weddington
`
`Sheet I
`
`7
`
`I of I
`
`16
`
`Attorney Docket Number AGP-002C2
`
`Examiner
`ln~ials'
`
`Cite
`No. 1
`
`Document Number
`Publication Date
`Number-Kind Code2 (if known) MM-DD-YYYY
`
`Name of Patentee or
`Applicant of Cited Document
`
`Pages, Columns, Lines, Where
`Relevant Passages or Relevant
`Figures Appear
`
`U.S. PATENT DOCUMENTS
`
`Examiner
`ln~ials'
`
`Cite
`No. 1
`
`FOREIGN PATENT DOCUMENTS
`Publication
`Date
`Country Code3 -Number4-Kind Code5 (ff known) MM-DD-YYYY
`
`Forei~n Patent Document
`
`Name of Patentee or
`Applicant of Cited Document
`
`W0-05/000217
`W0-05/051382
`W0-05/0727 40
`W0-05/085466
`W0-05/087234
`W0-05/087324
`
`01-06-2005
`06-09-2005
`08-11-2005
`09-15-2005
`09-22-2005
`09-22-2005
`
`837**
`838**
`839**
`840**
`841**
`842**
`
`I Examiner I
`
`Signature
`
`Merck & Co. Inc.
`Yamanouchi Pharma Co.
`Japan Tobacco Inc.
`Bayer HealtCare AG
`Trustees of the Univ. of Penn
`O'Shea Clayton
`
`I Date
`
`Considered
`
`Pages, Columns, Lines,
`
`Where Relevant Passages r
`Or Relevant Figures Appear
`D
`D
`D
`D
`D
`D
`
`*EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance and not
`considered. Include copy of this form with next communication to applicant. • CITE NO .. Those application(s) which are marked with an single asterisk(') next
`to the Cite No. are not supplied (under 37 CFR 1.98(a)(2)(iii)) because that application was filed after June 30, 2003 or is available in the IFW. 1 Applicant"s
`unique citation designation number (optional). 2 See Kinds Codes of USPTO Patent Documents at www.uspto.gov or MPEP 901.04. 3 Enter Office that issued
`4 For Japanese patent documents, the indication of the year of the reign of the Emperor must
`the document, by the two-letter code (WIPO Standard ST.3).
`precede the serial number of the patent document. 5 Kind of document by the appropriate symbols as indicated on the document under WI PO Standard ST.16 if
`possible. 6 Applicant is to place a check mark here if English language Translation is attached.
`
`LIBC/4176024.1
`
`Page 11 of 20
`
`PENN EX. 2009
`CFAD V. UPENN
`IPR2015-01835
`
`

`
`PTO/SB/08a (07-09)
`Approved for use through 07/31/2012. OMB 0651-0031
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number
`
`Substitute for form 1449/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`(Use as many sheets as necessary)
`
`Complete if Known
`
`Application Number
`
`13/046, 118-Conf. #4237
`
`Filing Date
`
`First Named Inventor
`
`Art Unit
`
`Examiner Name
`
`March 11, 2011
`Daniel J. Rader
`1614
`K. E. Weddington
`
`Sheet I
`
`8
`
`I of
`
`I
`
`16
`
`Attorney Docket Number AGP-002C2
`
`Examiner
`ln~ials'
`
`Cite
`No. 1
`
`Document Number
`Publication Date
`Number-Kind Code2 (if known) MM-DD-YYYY
`
`Name of Patentee or
`Applicant of Cited Document
`
`Pages, Columns, Lines, Where
`Relevant Passages or Relevant
`Figures Appear
`
`U.S. PATENT DOCUMENTS
`
`Examiner
`ln~ials'
`
`Cite
`No. 1
`
`FOREIGN PATENT DOCUMENTS
`Publication
`Date
`Country Code3 -Number4-Kind Code5 (ff known) MM-DD-YYYY
`
`Forei~n Patent Document
`
`Name of Patentee or
`Applicant of Cited Document
`
`W0-05/094864
`W0-05/097131
`W0-06/046623
`W0-06/0627 48
`W0-06/063128
`W0-06/1 08666
`
`10-13-2005
`10-20-2005
`05-04-2006
`06-15-2006
`06-15-2006
`10-19-2006
`
`843**
`844**
`845**
`846**
`847**
`848**
`
`I Examiner I
`
`Signature
`
`Max-Planck Gesellschaft
`Janssen Pharmaceutica
`Japan Tobacco
`Reliant Pharmaceuticals
`Sytera, Inc.
`Proteosys AG
`
`I Date
`
`Considered
`
`Pages, Columns, Lines,
`
`Where Relevant Passages r
`Or Relevant Figures Appear
`D
`D
`D
`D
`D
`D
`
`*EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance and not
`considered. Include copy of this form with next communication to applicant. • CITE NO .. Those application(s) which are marked with an single asterisk(') next
`to the Cite No. are not supplied (under 37 CFR 1.98(a)(2)(iii)) because that application was filed after June 30, 2003 or is available in the IFW. 1 Applicant"s
`unique citation designation number (optional). 2 See Kinds Codes of USPTO Patent Documents at www.uspto.gov or MPEP 901.04. 3 Enter Office that issued
`4 For Japanese patent documents, the indication of the year of the reign of the Emperor must
`the document, by the two-letter code (WIPO Standard ST.3).
`precede the serial number of the patent document. 5 Kind of document by the appropriate symbols as indicated on the document under WI PO Standard ST.16 if
`possible. 6 Applicant is to place a check mark here if English language Translation is attached.
`
`LIBC/4176024.1
`
`Page 12 of 20
`
`PENN EX. 2009
`CFAD V. UPENN
`IPR2015-01835
`
`

`
`PTO/SB/08a (07-09)
`Approved for use through 07/31/2012. OMB 0651-0031
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a col