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`LUPIN EX. 1027
`Lupin v. iCeutica
`US Patent No. 9,017,721
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`

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`F1sH 8c RICHARDSON P.C.
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`Commissioner for Patents
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`May 14, 2014
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`FISH 8c RICHARDSON P.C.
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`Please direct all correspondence to the following:
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`Respectfully submitted,
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`Reg. No. 35,283
`Enclosures
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`ALM/mkf
`23220895.doc
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`Inventor Information:
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`Inventor
`Legal Name
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`1
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`Prefix Given Name
`Aaron
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`Middle Name
`Family Name
`
`Residence Information (Select One) Q US Residency ® Non US Residency 0 Active US Military Service
`CH3’
`Centennial Park, new South Wales
`Ceuntry Of Residence l
`‘AU
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`Suffix
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`Mailing Address of Inventor:
`
`368/58 Cook Road
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`Centennial Park, new South Wales
`2021
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`StatelProvince
`AU
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`Address 1
`
`Address 2
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`City
`Postal Code
`Inventor
`2
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`Prefix Given Name
`Felix
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`Middle Name
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`Family Name
`MEISER
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`Suffix
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`Residence Information (Select One) 0 US Residency @ Non US Residency 0 Active US Military Service
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`city
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`Mount Claremont, Western Australia
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`Ceuntry Of Residence l
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`AU
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`Mailing Address of Inventor:
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`Address 1
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`T Beecham Road
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`StatelProvince
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`AU
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`Mount Claremont, Western Australia
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`6010
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`Address 2
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`Postal Code
`Inventor
`3
`Legal Name
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`Application Number
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`Middle Name
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`NORRET
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`Darlington, western Australia
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`AU
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`Address 1
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`26 Stone Crescent
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`Darlington, western Australia
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`6070
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`Statel'Province
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`R
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`cm’
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`Rivervale, western Australia
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`AU
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`139 Gladstone Road
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`Rivervale, western Australia
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`BOSCH
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`Bryn Mawr
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`237 Rodney Circle
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`Address 1
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`State'Pr°vi"°e
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`Pr'Orr\|/l3‘JF'):t|)'::‘t'°n
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`14/167652
`2012-02-16
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`13/266122
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`PCT/AU2010/000471
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`iceufica Pty Ltd
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`STATEMENT UNDER 37 CFR 3.73(c[
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`Applicant/Patent Owner:
`
`iCeutica Pty Ltd.
`
`Application No./PatentNo.: Not Yet Assigned
`
`Filed/Issue Date: Herewith
`
`Titled: A NOVEL FORMULATION OF DICLOFENAC
`
`ICEUTICA PTY LTD.
`(Name of Assignee)
`
`, a corporation
`(Type of Assignee, e.g., corporation, partnership, university, government agency, etc.)
`
`states that, for the patent application/patent identified above, it is (choose 1 of the option 1, 2, 3 or 4 below):
`
`1.
`
`lz The assignee of the entire right, title, and interest.
`
`2. El An assignee of less than the entire right, title and interest (check applicable box):
`CI
`The extent (by percentage) of its ownership interest is
`. Additional Statement(s) by the owners holding the
`balance of the interest must be submitted to account for 100% of the ownership interest.
`
`There are unspecified percentages of ownership. The other parties, including inventors, who together own the entire
`El
`right, title and interest are:
`
`Additional Statement(s) by the owner(s) holding the balance of the interest must be submitted to account for the entire
`right, title, and interest.
`
`3. CI The assignee of an undivided interest in the entirety (a complete assignment from one of the joint inventors was made).
`The other parties, including inventors, who together own the entire right, title, and interest are:
`
`Additional Statement(s) by the owner(s) holding the balance of the interest must be submitted to account for the entire
`right, title, and interest.
`
`4. CI The recipient, via a court proceeding or the like (e.g., bankruptcy, probate), of an undivided interest in the entirety (a
`complete transfer of ownership interest was made). The certified document(s) showing the transfer is attached.
`
`The interest identified in option 1, 2 or 3 above (not option 4) is evidenced by either (choose 1 of the options A or B below):
`
`A.
`
`lz An assignment from the inventor(s) of the patent application/patent identified above. The assignment was recorded in
`the United States Patent and Trademark Office at Reel 030912, Frame 0407, 0145, 0290, orfor which a copy
`thereof is attached.
`
`B. El A chain of title from the inventor(s), ofthe patent application/patent identified above, to the current assignee as follows:
`
`1. From:
`
`2. From:
`
`To:
`
`The document was recorded in the United States Patent and Trademark Office at
`
`Reel
`
`, Frame
`
`, or for which a copy thereof is attached.
`
`The document was recorded in the United States Patent and Trademark Office at
`
`Reel
`
`, Frame
`
`, or for which a copy thereof is attached.
`
`To:
`
`
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`Page 12
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`Page 12
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`

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`[Page 1 of 2]
`This collection of information is required by 37 CFR 3.73(b). The information is required to obtain or retain a benefit by the public which is to file (and by the USPTO to
`process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.11 and 1.14. This collection is estimated to take 12 minutes to complete, including
`gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any comments on the amount of
`time you require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent and Trademark Office, U.S.
`Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO:
`Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`If you need assistance in completing the form, call 1-800-PTO-9199 and select option 2.
`
`PTO/AIA/96 (08-129)
`Approved for use through 01/31/2013. 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 displays a valid OMB control number.
`
`STATEMENT UNDER 37 CFR 3.73(c[
`
`The document was recorded in the United States Patent and Trademark Office at
`
`Reel
`
`, Frame
`
`, or for which a copy thereof is attached.
`
`To:
`
`To:
`
`The document was recorded in the United States Patent and Trademark Office at
`
`Reel
`
`, Frame
`
`, or for which a copy thereof is attached.
`
`The document was recorded in the United States Patent and Trademark Office at
`
`Reel
`
`, Frame
`
`, or for which a copy thereof is attached.
`
`To:
`
`The document was recorded in the United States Patent and Trademark Office at
`
`Reel
`
`, Frame
`
`, or for which a copy thereof is attached.
`
`To:
`
`El Additional documents in the chain of title are listed on a supplemental sheet(s).
`
`E As required by 37 CFR 3.73(c)(1)(i), the documentary evidence ofthe chain of title from the original owner to the
`assignee was, or concurrently is being, submitted for recordation pursuant to 37 CFR 3.11.
`
`[NOTE: A separate copy (i.e., a true copy of the original assignment document(s)) must be submitted to Assignment
`Division in accordance with 37 CFR Part 3, to record the assignment in the records of the USPTO. 1 MPEP 302.08]
`
`The undersigned (whose title is supplied below) is authorized to act on behalf of the assignee.
`
`/Anita L. Meiklejohnl
`Signature
`
`Anita L. Meiklejohn, Ph.D.
`Printed or Typed Name
`
`14 May 2014
`Date
`
`35,283
`Title or Registration Number
`
`[Page 2 of 2]
`
`
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`Page 13
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`

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`PTO/AlAI80 (07-12)
`Approved for use through 11/30/2014. OMB 0651-0035
`US. Patent and Trademark Office; US. DEPARTMENT OF COMMERCE
`‘
`‘
`hi
`i ‘ 0-_
`.
`'
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`,
`TE
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`37 CFR 3.73 C.
`
`I hereby appoint:
`
`IX] Practitioners associated with the Customer Number:
`
`OR
`
`B Practitioner(s) named below (if more than ten patent practitioners are to be named, then a customer number n1ust be used):
`
`26161
`
`
`
`
`Name Registration
`_
`
`_
`
`7
`
`g
`
`Numbr
`
`7
`
`_
`
`_
`
`K
`
`'
`
`D “ ‘ Name Registratio
`
`Number
`
`
`
`
`
`as attorney(s) or agent(s) to represent the undersigned before the United States Patent and Trademark Office (USPTO) in connection with
`any and all patent applications assigned gply to the undersigned according to the USPTO assignment records or assignment documents
`attached to this form in accordance with 37 CFR 3.7§§g).
`
`Please change the correspondence address for the application identified in the attached statement under 37 CFR 3.73(c) to:
`
`Q The address associated with Customer Number:
`OR
`
`26161
`
`I:] Firm or
`individual Name
`
`Address
`
`City
`
`Country
`
`Telephone
`
`Assignee Name and Address:
`
`iCeutica Pty Ltd.
`Unit 2. 32 Mumford Place
`Balcatta WA 6021
`AUSTRALIA
`
`A copy of this form, together with a statement under 37 CFR 3.73(c) (Form PTO/SBl96 or equivalent) is required to be
`filed in each application in which this form is used. The statement under 37 CFR 3.73(c) may be completed by one of
`the practitioners appointed in this form, and must identify the application in which this Power of Attorney is to be filed.
`
`The ind‘
`
`a
`
`Signature
`
`SIGNATURE of Assignee of Record
`ose signature and title is supplied below is authorized to act on behalf ofthe assignee
`‘I
`Date A
`3/fgfifl
`Telephone Q!/'0 15 3/? " 5'52
`
` J 6‘6([[aA=rh
`
`This collection of information is required by 37 CFR 1.31, 1.32 and 1.33. The information is required to obtain or retain a benefit by the public which is to file (and
`by the USPTO to process) an application. Confidentiality is governed by 35 USC. 122 and 37 OF R 1.11 and 1.14. This collection is estimated to take 3 minutes
`to complete, including gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any
`comments on the amount of time you require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer,
`US. Patent and Trademark Office, US. Department of Commerce, PO. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED
`FORMS TO THIS ADDRESS‘ SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`If you need assistance in completing the form, call 1-800-PTO-9199 and select option 2.
`
`
`“mm Lew .
`orii13\\’n[kHt
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`Page 14
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`Page 14
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`

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`Attorney Docket No.: 31215-0011004
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Applicant
`Serial No.
`Filed
`
`iCeutica Pty Ltd.
`:
`: Not Yet Assigned
`: Herewith
`
`Art Unit
`Examiner
`
`: Unknown
`: Unknown
`
`Title
`
`: ANOVEL FORMULATION OF DICLOFENAC
`
`Commissioner for Patents
`
`P.O. Box 1450
`
`Alexandria, VA 22313-1450
`
`INFORMATION DISCLOSURE STATEMENT
`
`Please consider the references listed on the enclosed PTO-SB-08 or Disclosure Form.
`
`Foreign patent documents and non-patent literature are enclosed; cited U.S. patents and patent
`
`application publications will be provided on request.
`
`Under 35 USC §120, this application relies on the earlier filing date of application serial
`
`number 14/167,652, filed on January 29, 2014. The following references were submitted to
`
`and/or cited by the Office in the prior application and, therefore, are not provided in this
`
`application.
`
`This statement is being filed with the application. Please apply any necessary charges or
`
`credits to Deposit Account 06-1050, referencing the above attomey docket number.
`
`Respectfully submitted,
`
`/Anita L. Meiklejohn/
`Anita L. Meiklejohn, Ph.D.
`Reg. No. 35,283
`
`Date:
`
`14 May 2014
`
`Customer Number 26161
`
`Fish & Richardson P.C.
`
`Telephone: (617) 542-5070
`Facsimile:
`(877) 769-7945
`
`23220770.d0c
`
`Page 15
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`Page 15
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`

`
`Sheet
`
`1 of 2
`
`Substitute Disclosure Form
`
`U.S. Department of Commerce Attorney Docket No.
`
`Application No.
`
`Patel“ and Trademark O“'°e
`
`31215-001 1004
`
`Not Yet Assi ned
`
`Aaron Dodd (Use several sheets if necessary)
`
`Information Disclosure Statement
`by Applicant
`
`First Named '"Ve"t0r
`
`Filing Date
`Herewith
`
`Group Art Unit
`Unknown
`
`Filing Date
`If Appropriate
`
`-----
`
`Examiner
`Initial
`
`Desig.
`ID
`
`Document
`Number
`5 478 705
`
`Publication
`Date
`11/26/1995
`
`Patentee
`Czekai et al.
`
`U.S. Patent Documents
`
`Class
`
`Subclass
`
`I2
`
`2
`22
`2010/0092563
`04/15/2010
`Camrnarano et al.
`
`2012/0135047
`
`05/31/2012
`
`Dodd et al.
`
`2013/0209569
`
`08/15/2013
`
`Dodd et al.
`
`2006/287346
`
`12/21/2006 Van Schie
`
`2-
`
`Examiner
`Desig.
`Document
`Initial
`ID
`Number
`2 wo2006/069419
`2 Wo2006/133954
`2 Wo2007/070851
`2 Wo2007/070852
`2 wo2008/000042
`WO 1997/02017
`
`Publ