Sn7933
`
`7013L0
`
`Practitioner's Docket No. 55647-C (45107)
`
`PA TENT
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`: Mail Stop: Patent Application
`Commissioner for Patents
`Old
`P.O. Box 1450
`
`Alexandria, VA 22313-1450
`
`NEW APPLICATION TRANSMITTAL
`
`Transmitted herewith for filing is the patent application of
`
`Inventor(s):
`
`Claus Meese and Bengt Sparf
`
`WARNING:
`
`37 CFR I.41(a)(1) points out:
`
`"(a) A patent is appliedfor in the name or names ofthe actual inventor or inventors.
`
`(1) The inventorship ofa nonprovisional application is that inventorship setforth in the oath or declaration
`as prescribed by § 163, except as providedfor in § 1.53(d)(4) and § 1.63(d). Ifan oath or declaration as prescribed
`by § 1.63 is notfiled during the pendency ofa nonprovisional application, the inventorship is that inventorship set
`forth in the application papersfiled pursuant to § 1 .53(b), unless a petition under this paragraph accompanied by the
`fee setforth in § 1.1 7(1) isfiled supplying or changing the name or names ofthe inventor or inventors. "
`
`For (title):
`
`NOVEL DERIVATIVES OF 3, 3-DEPHENYLPROPYLAMINES
`
`CERTIFICATION UNDER 37 C.F.R. 1.10*
`
`(Express Mail label number is mandatory.)
`(Express Mail certification is optional.)
`
`I hereby certify that this correspondence and the documents referred to as attached therein are being deposited with the United
`States Postal Service on this date _.Ia.nna.I:;L21,_2.00A_____, in an envelope as “Express Mail Post Office to Addressee,"
`mailing Label Number _E3L3A25.816l3_US.______ addressed to the: Mail Stop Patent Application, Commissioner for Patents,
`P.O. BOX I450, Alexandria, VA 22313-1450.
`
`8 \ enox \'\\\s\<~.s~ pic
`
`(type or print name ofperson mailing paper)
`Q9-
`pm
`~
`g
`Signature of person mailing paper
`
`WARNING:
`
`*WARNING:
`
`Certificate ofmailing (first class) orfacsimile transmission procedures of37 C.F.R. 1.8 cannot be used to
`obtain a date ofmailing or transmission for this correspondence.
`Each paper orfeefiled by "Express Mail" must have the number ofthe "Express Mail" mailing label
`placed thereon prior to mailing. 37 C.F.R. 1. l0(b).
`"Since thefiling ofcorrespondence under § [.10 without the Express Mail mailing label thereon is an
`oversight that can be avoided by the exercise ofreasonable care, requestsfor waiver ofthis requirement will
`not be granted on petition. "Notice of Oct. 24, I996, 60 Fed. Reg. 56,439, at 56,442
`
`(Application Transmittal—page I of l 1)
`
`Patent Owner, UCB Pharma GmbH — Exhibit 2011 - 0001
`
`Patent Owner, UCB Pharma GmbH – Exhibit 2011 - 0001
`
`

`
`1.
`
`Type of Application
`
`This new application is for a(n)
`
`(check one applicable item below)
`
`[X]
`
`Original (nonprovisional)
`
`[
`
`[
`
`]
`
`]
`
`Design
`
`Plant
`
`WARNING:
`
`Do not use this transmittalfor a completion in the US. ofan International Application under 35 US. C.
`371(c)(4), unless the International Application is beingfiled as a divisional, continuation or continuation-in-
`part application.
`
`WARNING:
`
`Do not use this transmittalfor thefiling ofa provisional application.
`
`NOTE:
`
`Ifone ofthefollowing 3 items apply, then complete and attach ADDED PAGES FOR NE WAPPLICA TION V
`TRANSMITTAL WHERE BENEFIT OFA PRIOR U.S. APPLICATION CLAIMED and a NOTIFICA TIONINPARENT
`APPLICA TION OF THE FILING OF THIS CONTINUA TIONAPPLICA TION
`
`[
`
`]
`
`Divisional.
`
`[X]
`
`Continuation.
`
`[
`
`]
`
`Continuation-in-part (C-I—P).
`
`2.
`
`Benefit of Prior U.S. Application(s) (35 U.S.C. 119(e), 120, or 121)
`
`NOTE:
`
`A nonprovisional application may claim an invention disclosed in one or more priorfiled copending nonprovisional
`applications or copending international applications designating the United States ofAmerica. In orderfor a
`nonprovisional application to claim the benefit ofa priorfiled copending nonprovisional application or copending
`international application designating the United States ofAmerica, each prior application must name as an inventor
`at least one inventor named in the laterfiled nonprovisional application and disclose the named inventor ’s invention
`claimed in at least one claim ofthe laterfiled nonprovisional application in the manner provided by thefirst
`paragraph of35 US. C. 112. Each prior application must also be:
`
`(1) An international application entitled to a filing date in accordance with PCT Article I I and designating
`the United States ofAmerica; or
`
`(ii) Complete as setforth in § 1 .51 (b); or
`
`(iii) Entitled to a filing date as setforth in § I.53(b) or § I.53(d) and include the basicfilingfee setforth in §
`1.16; or
`
`(iv) Entitled to a filing date as set forth in § I.53(b) and have paid therein the processing and retention fee
`setforth in § 1.2l(l) within the time period setforth in § l.53(fl.
`
`37 CFR 1.78(a)(1).
`
`(Application Transmittal—page 2 of ll)
`
`Patent Owner, UCB Pharma GmbH — Exhibit 2011 - 0002
`
`Patent Owner, UCB Pharma GmbH – Exhibit 2011 - 0002
`
`

`
`NOTE
`
`Ifthe new application being transmitted is a divisional, continuation or a continuation-in—part ofa parent case, or
`where the parent case is an International Application which designated the U.S., or benefit ofa prior provisional
`application is claimed, then check thefollowing item and complete and attach ADDED PAGES FOR NEW
`APPLICATION TRANSMITTAL WHERE BENEFIT OF PRIOR U.S. APPLICA TION(S) CLAIMED.
`
`WARNING:
`
`Ifan application claims the benefit ofthefiling date ofan earlierfiled application under 35 US. C. 120, 121
`or 3 65(c), the 20-year term ofthat application will be based upon thefiling date ofthe earliest US.
`application that the application makes reference to under 35 U.S. C. 120, 121 or 3 65(c). (35 US. C. l54(a)(2)
`does not take into account, for the determination ofthe patent term, any application on which priority is
`claimed under 35 U.S.C. 119, 365(a) or 365(b).) For a c-i-p application, applicant should review whether
`any claim in the patent that will issue is supported by an earlier application and, ifnot, the applicant should
`consider canceling the reference to the earlierfiled application. The term ofa patent is not based on a
`claim-by-claim approach. See Notice ofApril 14, I995, 60 Fed. Reg. 20,195, at 20,205.
`
`WARNING:
`
`When the last day ofpendency ofa provisional application falls on a Saturday, Sunday, or Federal holiday
`within the District ofColumbia, any nonprovisional application claiming benefit ofthe provisional
`application must befiled prior to the Saturday, Sunday, or Federal holiday within the District of Columbia.
`See 37 C.F.R. § ].78(a)(3).
`
`[X]
`
`The new application being transmitted claims the benefit of prior U.S. app1ication(s).
`Enclosed are ADDED PAGES FOR NEW APPLICATION TRANSMITTAL WHERE
`
`BENEFIT OF PRIOR U.S. APPLICATION(S) CLAIMED.
`
`'
`
`3.
`
`Papers Enclosed
`
`A.
`
`Required for Filing Date under 37 C.F.R. 1.53(b) (Regular) or 37 C.F.R. 1.153
`(Design) Application
`
`_9_4_ Pages of Specification
`_24_ Pages of Claims
`_L Sheets of Drawing
`[X]
`Formal
`[
`]
`Informal
`
`B.
`
`Other Papers Enclosed
`
`____l_ Pages of Abstract
`_2_ Other: International Search Report
`
`WARNING:
`
`DO NOT submit original drawings. A high quality copy ofthe drawings should be supplied when filing a
`patent application. The drawings that are submitted to the Office must be on strong, white, smooth, and non-
`shiny paper and meet the standards according to § 1.84. Ifcorrections to the drawings are necessary, they
`should be made to the original drawing and a high-quality copy ofthe corrected original drawing then
`submitted to the Office. Only one copy is required or desired. For comments on proposed then-new 3 7
`C.F.R. 1.84, see Notice ofMarch 9, I988 .
`.
`. (1990 0.G. 5 7-62).
`
`NOTE:
`
`"ldentifizing indicia, ifprovided, should include the application number or the title ofthe invention, inventor’s name,
`docket number (ifany), and the name and telephone number ofa person to call ifthe Oflice is unable to match the
`drawings to the proper application. This information should be placed on the back ofeach sheet ofdrawing a
`minimum distance ofl.5 cm. (5/8 inch) downfrom the top ofthe page. ” 37 C.F.R. l.84(c)).
`
`(complete the following, if applicable)
`
`(Application Transmittal—page 3 of 1 1)
`
`Patent Owner, UCB Pharma GmbH — Exhibit 2011 - 0003
`
`Patent Owner, UCB Pharma GmbH – Exhibit 2011 - 0003
`
`

`
`[
`
`]
`
`The enclosed drawing(s) are photograph(s), and there is also attached a “PETITION TO
`ACCEPT PHOTOGRAPH(S) AS DRAWING(S).” 37 C.F.R. 1.84(b).
`
`4.
`
`Additional Papers Enclosed
`
`Preliminary Amendment
`Information Disclosure Statement (37 C.F.R. 1.98)
`Form PTO-1449
`Citations
`
`Declaration of Biological Deposit
`Submission of “Sequence Listing,” computer readable copy and/or amendment
`pertaining thereto for biotechnology invention containing nucleotide and/or amino acid
`sequence.
`
`Authorization of Attomey(s) to Accept and Follow Instructions from Representative
`Special Comments
`Other:
`
`HEBI:t|:t|—I|_.II._t\:t
`
`x
`
`[ [ [ [ [ [ r
`
`-‘fir-1r-—1
`
`5.
`
`Declaration or Oath
`
`NOTE:
`
`A newly executed declaration is not required in a continuation or divisional application provided the prior
`nonprovisional application contained a declaration as required, the application beingfiled is by all orfewer than all
`the inventors named in the prior application, there is no new matter in the application beingfiled, and a copy ofthe
`executed declaration filed in the prior application (showing the signature or an indication thereon that it was signed)
`is submitted. The copy must be accompanied by a statement requesting deletion ofthe names ofperson(s) who are not
`inventors ofthe application beingfiled. Ifthe declaration in the prior application wasfiled under § I .4 7 then a copy of
`that declaration must befiled accompanied by a copy ofthe decision granting § 1 .4 7 status or, ifa nonsigning person
`under § 1 .4 7 has subsequentlyjoined in a prior application, then a copy ofthe subsequently executed declaration must
`befiled. See 3 7 CFR I .63(d).
`
`NOTE:
`
`A declaration filed to complete an application must be executed, identifit the specification to which it is directed,
`identify each inventor byfull name, including thefamily name, and at least one given name without abbreviation
`together with any other given name or initial, and the residence, post office address and country ofcitizenship ofeach
`inventor and state whether the inventor is a sole orjoint inventor. 3 7 CFR I.63(a)(1)-(4).
`
`[X]
`
`Enclosed
`
`Executed by
`,
`[X]
`[
`]
`[
`]
`
`(check all applicable boxes)
`inventor(s) (COPY FROM PARENT APPLICATION)
`legal representative of inventor(s). 37 CFR 1.42 or 1.43.
`joint inventor or person showing a proprietary interest on behalf of inventor who
`refused to sign or cannot be reached.
`[
`]
`This is the petition required by 37 CFR 1.47 and the statement required
`by 37 CFR 1.47 is also attached. See item 13 below for fee.
`
`Not Enclosed.
`]
`[
`NOTE: Where thefiling is a completion in the US. ofan International Application, or where the completion ofthe US.
`application contains subject matter in addition to the International Application, the application may be treated as a
`continuation or continuation-in-part, as the case may be, utilizing ADDED PAGE FOR NE W APPLICA TION
`TRANSMITTAL WHERE BENEFIT OF PRIOR U.S. APPLICATION CLAIMED.
`
`(Application Transmittal—page 4 of l 1)
`
`Patent Owner, UCB Pharma GmbH — Exhibit 2011 - 0004
`
`Patent Owner, UCB Pharma GmbH – Exhibit 2011 - 0004
`
`

`
`[
`
`]
`
`Application is made by a person authorized under 37 C.F.R. 1.41(c) on behalf of
`all the above named inventor(s).
`
`(The declaration or oath, along with the surcharge required by 3 7 CFR 1.1 6(e),
`can befiled subsequently).
`
`NOTE:
`
`It is important that all the correct inventor(s) are namedforfiling under 3 7 CFR 1.41 (c) and 1.53(b).
`
`[
`
`]
`
`Showing that the filing is authorized.
`(not required unless called into question. 37 CFR 1.41(d))
`
`6.
`
`Inventorship Statement
`
`WARNING:
`
`Ifthe named inventors are each not the inventors ofall the claims an explanation, including the ownership
`ofthe various claims at the time the last claimed invention was made, should be submitted.
`
`The inventorship for all the claims in this application are:
`
`[
`
`]
`
`The same.
`
`or
`
`[
`
`]
`
`Not the same. An explanation, including the ownership of the various claims at the time
`the last claimed invention was made,
`
`[
`[
`
`]
`]
`
`is submitted.
`‘ will be submitted.
`
`7.
`
`Language
`
`NOTE: An application including a signed oath or declaration may befiled in a language other than English. An English
`translation ofthe non-English language application and the processingfee of$ 1 3 0. 00 required by 3 7 CFR 1.1 7(k) is
`required to befiled with the application, or within such time as may be set by the Office. 3 7 CFR 1.52(d).
`
`[X]
`[
`]
`
`English
`Non-English
`[
`]
`The attached translation includes a statement that the translation is accurate. 37
`C.F.R. 1.52(d).
`
`8.
`
`Assignment
`
`[X]
`
`An assignment of the invention to Q_
`
`[
`
`]
`
`] “COVER SHEET FOR ASSIGNMENT
`is attached. A separate [
`(DOCUMENT) ACCOMPANYING NEW PATENT APPLICATION”
`or [
`] FORM PTO 1595 is also attached.
`
`[X]
`[
`]
`
`was filed in the parent application (copy enclosed)
`will follow.
`
`NOTE:
`
`"Ifan assignment is submitted with a new application, send two separate letters-one for the application and onefor
`the assignment” Notice ofMay 4, 1990 (1114 O.G. 77-78).
`
`(Application Transmittal—page 5 of l 1)
`
`Patent Owner, UCB Pharma GmbH — Exhibit 2011 - 0005
`
`Patent Owner, UCB Pharma GmbH – Exhibit 2011 - 0005
`
`

`
`WARNING:
`
`A newly executed "STATEMENT UNDER 37 CFR 3. 73(b) " must befiled when a continuation-in-part
`application isfiled by an assignee. Notice ofApril 30, 1993, I150 O.G. 62-64.
`
`9.
`
`Certified Copy
`
`Certified copy(ies) of application(s)
`
`
`Europe
`98 108608.5
`5/A12/98
`from which priority is claimed
`
`]
`[
`[X]
`[
`]
`
`is enclosed.
`was filed in parent.
`will follow.
`
`NOTE: Theforeign application forming the basisfor the claim for priority must be referred to in the oath or declaration. 37
`CFR 1.55(a) and 1.63.
`‘
`
`NOTE:
`
`This item isfor anyforeign priorityfor which the application beingfiled directly relates. Ifany parent US.
`application or International Application from which this application claims benefit under 35 U.S.C. 120 is itself
`entitled to priorityfrom a priorforeign application, then complete item 18 on the ADDED PAGES FOR NEW
`APPLICATION TRANSMITTAL WHERE BENEFIT OF PRIOR U.S. APPLICA TION(S) CLAIMED.
`
`10.
`
`Fee Calculation (37 C.F.R. 1.16)
`
`A.
`
`[X]
`
`Regular application
`
`CLAIMS AS FEED
`
`Number
`
`Basic Fee
`
`Number
`
`Rate
`
`Basic Fee
`
`Claims
`
`Filed
`
`Allowance
`
`Extra
`
`37 C.F.R. 1.16(a)
`$770.00
`
`Total Claims
`
`(37 CFR 1.16(c))
`
`Independent Claims
`(37 CFR1.16(b))
`
`Multiple Dependent
`Claim(s), if any
`(37 CFR 1.16(d))
`
`89
`
`5
`
`- 20 =
`
`69
`
`x $ 18.00
`
`$1242
`
`- 3 =
`
`2
`
`+
`
`x $86.00
`
`$172
`
`$290.00
`
`$290
`
`[
`[
`[
`
`]
`]
`]
`
`Amendment cancelling extra claims is enclosed.
`Amendment deleting multiple-dependencies is enclosed.
`Fee for extra claims is not being paid at this time.
`
`NOTE:
`
`If the fees for extra claims are not paid on filing they must be paid or the claims cancelled by amendment, prior to the
`expiration of the time period set for response by the Patent and Trademark Oflice in any notice offee deficiency. 37 CFR
`l.16(d).
`
`(Application Transmittal—page 6 of l 1)
`
`Patent Owner, UCB Pharma GmbH — Exhibit 2011 - 0006
`
`Patent Owner, UCB Pharma GmbH – Exhibit 2011 - 0006
`
`

`
`Filing Fee Calculation $
`
`B.
`
`[
`
`]
`
`Design application
`($330.00—37 CFR l.16(f))
`
`Filing Fee Calculation
`
`C.
`
`[
`
`]
`
`Plant application
`($540.00—37 CFR l.16(g))
`
`Filing Fee Calculation
`
`$
`
`$
`
`11.
`
`Small Entity Statement(s)
`
`[
`
`]
`
`Statement(s) that this is a filing by a small entity under 37 CFR 1.9 and 1.27 is (are)
`attached.
`
`WARNING:
`
`“Status as a small entity must be specifically established in each application or patent in which the status is
`available and desired. Status as a small entity in one application or patent does not aflect any other application
`or patent, including applications or patents which are directly or indirectly dependent upon the application or
`patent in which the status has been established. The refiling of an application under § 1.53 as a continuation,
`division, or continuation-in-part (including a continued prosecution application under § l.53(d)), or thefiling of
`a reissue application requires a new determination as to continued entitlement to small entity status for the
`continuing or reissue application. A nonprovisional application claiming benefit under 35 US C. 119(e), 120,
`121, or 365(c) of a prior application, or a reissue application may rely on a statement filed in the prior
`application or in the patent ifthe nonprovisional application or the reissue application includes a reference to
`the statement in the prior application or in the patent or includes a copy ofthe statement in the prior application
`or in the patent and status as a small entity is still proper and desired. The payment of the small entity basic
`statutoryfilingfee will be treated as such a referenceforpurposes ofthis section. " 3 7 CFR 1.28(a)(2).
`
`(complete thefollowing, ifapplicable)
`
`[
`
`]
`
`Status as a small entity was claimed in prior application ______j, filed mm
`from which benefit is being claimed for this application under:
`
`l19(e),
`120,
`121,
`365(c),
`
`l ]
`
`]
`]
`
`35 U.S.C. §
`
`and which status as a small entity is still proper and desired.
`
`[
`
`]
`
`A copy of the statement in the prior application is included.
`
`Filing Fee Calculation (50% of A, B or C above)
`
`$___
`
`NOTE: Any excess of the full fee paid will be refunded if a small entity status is established refund request are filed within 2
`months ofthe date oftimely payment ofafilllfee. The two-month period is not extendable under § 1.136. 37 CFR 1.28(a).
`
`(Application Transmittal—page 7 of l 1)
`
`Patent Owner, UCB Pharma GmbH — Exhibit 2011 - 0007
`
`Patent Owner, UCB Pharma GmbH – Exhibit 2011 - 0007
`
`

`
`12.
`
`Request for International-Type Search (37 C.F.R. 1.104(d))
`
`(complete, ifapplicable)
`
`[ ]
`
`Please prepare an intemational-type search report for this application at the time when
`national examination on the merits takes place.
`
`13.
`
`Fee Payment Being Made at This Time
`
`[
`
`]
`
`Not Enclosed
`
`[
`
`]
`
`No filing fee is to be paid at this time.
`(This and the surcharge required by 3 7 C.F.R. 1.1 6(e) can be paid subsequently.)
`
`[X]
`
`Enclosed
`
`[X]
`
`Filing fee
`
`$
`
`[
`
`]
`
`[
`
`]
`
`[
`
`]
`
`[
`
`]
`
`[
`
`]
`
`Recording assignment
`($40.00; 37 C.F.R. 1.2l(h))
`(See attached “COVER SHEET FOR
`ASSIGNMENT ACCOMPANYING NEW
`
`APPLICATION.”)
`
`Petition fee for filing by other than
`all the inventors or person on behalf
`of the inventor where inventor
`
`refused to sign or cannot be reached
`($130.00; 37 C.F.R. 1.47 and 1.l7(i))
`
`For processing an application with a
`specification in a non-English language
`($130.00; 37 C.F.R. 1.52(d) and 1.l7(k))
`
`-
`
`Processing and retention fee
`($130.00; 37 C.F.R. l.53(d) and l.21(l))
`
`Fee for intemational-type search report
`($40.00; 37 C.F.R. 1.21(e))
`
`$
`
`$
`
`$
`
`$
`
`$
`
`NOTE.’
`
`37 CFR 1.21 (1) establishes afeefor processing and retaining any application that is abandonedforfailing to complete the
`application pursuant to 37 CFR 1.530) and this, as well as the changes to 37 CFR [.53 and l.78{a)(1), indicate that in
`order to obtain the benefit of a prior US. application, either the basic filing fee must be paid, or the processing and
`retentionfee of§ 1.21(I) must be paid, within I yearfrom notification under § 530).
`
`Total Fees Enclosed
`
`$
`
`(Application Transmittal—page 8 of I 1)
`
`Patent Owner, UCB Pharma GmbH — Exhibit 2011 - 0008
`
`Patent Owner, UCB Pharma GmbH – Exhibit 2011 - 0008
`
`

`
`14.
`
`Method of Payment of Fees
`
`[X]
`
`Check in the amount of$
`
`[
`
`]
`
`Charge Account No.ii in the amount of
`A duplicate of this transmittal is attached.
`
`$
`
`NOTE:
`
`Fees should be itemized in such a manner that it is clearfor which purpose thefees are paid. 3 7 CFR l.22(b).
`
`15.
`
`Authorization to Charge Additional Fees
`
`WARNING:
`
`Ifnofees are to be paid onfiling, thefollowing items should not be completed.
`
`WARNING:
`
`Accurately count claims, especially multiple dependent claims, to avoid unexpected high charges, ifextra claim
`charges are authorized.
`
`[X]
`
`The Commissioner is hereby authorized to charge the following additional fees by this
`paper and during the entire pendency of this application to Account No. 04-1105.
`[X]
`37 C.F.R. l.16(a), (t) or (g) (filing fees)
`[X]
`37 C.F.R. l.16(b), (c) and (d) (presentation of extra claims)
`
`NOTE: Because additional fees for excess or multiple dependent claims not paid on filing or on later presentation must only be
`paid or these claims cancelled by amendment prior to the expiration ofthe time period set for response by the_PTO in any
`notice offee deficiency (37 CFR l.16(d)), it might be best not to authorize the PTO to charge additional claim fees, except
`possibly when dealing with amendments afterfinal action.
`
`[X]
`
`[X]
`[X]
`
`37 C.F.R. 1.16(e) (surcharge for filing the basic filing fee and/or declaration on a
`date later than the filing date of the application)
`37 CFR l.l7(a)(l)-(5) (extension fees pursuant to § 1.l36(a).
`37 C.F.R. 1.17 (application processing fees)
`
`NOTE:
`
`“A written request may be submitted in an application that is an authorization to treat any concurrent or future reply,
`requiring a petition for an extension oftime under this paragraph fi)r its timely submission, as incorporating a petition for
`extension oftimefor the appropriate length oftime. An authorization to charge all requiredfees, fees under § 1.17, or all
`required extension oftimefees will be treated as a constructive petition for an extension oftime in any concurrent orfuture
`reply requiring a petition for an extension oftime under this paragraph for its timely submission. Submission ofthefee set
`forth in § 1.1 7(a) will also be treated as a constructive petition for an extension oftime in any concurrent reply requiring a
`petition for an extension oftime under this paragraph for its timely submission. " 3 7 CFR 1.136(a)(3).
`
`[ ]
`
`37 C.F.R. 1.18 (issue fee at or before mailing of Notice of Allowance, pursuant to
`37 C.F.R. 1.31 1(b))
`
`NOTE: Where an authorization to charge the issue fee to a deposit account has been filed before the mailing of a Notice of
`Allowance, the issuefee will be automatically charged to the deposit account at the time ofmailing the notice ofallowance.
`37 CFR I.311(b)).
`
`NOTE:
`
`3 7 CFR l.28(b) requires "Notification ofany change in status resulting in loss ofentitlement to small entity status must be
`filed in the application .
`.
`. prior to paying, or at the time ofpaying, .
`. issuefee. "From the wording of3 7 CFR l.28(b), (a)
`notification ofchange ofstatus must be made even ifthefee is paid as "other than a small entity” and (b) no notification is
`required ifthe change is to another small entity.
`
`(Application Transmittal—page 9 of 1 1)
`
`Patent Owner, UCB Pharma GmbH — Exhibit 2011 - 0009
`
`Patent Owner, UCB Pharma GmbH – Exhibit 2011 - 0009
`
`

`
`16.
`
`Instructions as to Overpayment
`
`NOTE:
`
`. Amounts oftwenty-five dollars or less will not be returned unless specifically requested within a reasonable time, nor
`.
`will the payer be notified ofsuch amounts; amounts over twenty-five dollars may be returned by check or, ifrequested, by
`credit to a deposit account. " 37 CFR 1.26(a).
`
`[X]
`
`Credit Account No. .
`
`[
`
`]
`
`Refund
`
`Date:
`
`/' :9 7 '7 ‘/
`
`Reg. No. 38,256
`
`5 t k\___
`.
`: z '5
`SIGNATURE OF PRACTITIONER
`
` TT_
`(type or print name ofpractitioner)
`EDWARDS & ANGELL, LLP
`
`Tel. No.: (617) 4394444 m3
`P.O. Address
`
`Customer No.: 21874
`
`_Bm
`
`(Application Transmittal—page 10 of I 1)
`
`Patent Owner, UCB Pharma GmbH — Exhibit 2011 - 0010
`
`Patent Owner, UCB Pharma GmbH – Exhibit 2011 - 0010
`
`

`
`[X ]
`
`Incorporation by reference of added pages
`
`(check the following item if the application in this transmittal claims the benefit of prior U.S.
`application(s) (including an international application entering the US. stage as a continuation,
`divisional or C—I-P application) and complete and attach the ADDED PAGES FOR NEW
`APPLICATION TRANSMITTAL WHERE BENEFIT OF PRIOR US. APPLICATION(S)
`CLAIMED)
`
`[
`
`]
`
`[
`
`[
`
`]
`
`[ ]
`
`Plus Added Pages for New Application Transmittal Where Benefit of Prior U.S.
`Application(s) Claimed
`'
`
`Number of pages added {_
`
`Plus Added Pages for Papers Referred to in Item 5 Above
`Number ofpages added ___J__._
`
`Plus added pages deleting names of inventor(s) named on prior app1ication(s) who is/are no
`longer inventor(s) of the subject matter claimed in this application.
`Number of pages added
`
`Plus “Assignment Cover Letter Accompanying New Application”.
`Number ofpages added
`
`[
`
`]
`
`Statement Where No Further Pages Added
`
`(if no further pages form a part of this Transmittal, then end this Transmittal with this page and
`check thefollowing item)
`
`[X]
`
`This transmittal ends with this page.
`
`431497
`
`(Application Transmittal—page ll of 11)
`
`Patent Oilvner, UCB Pharma GmbH — Exhibit 2011 - 0011
`
`Patent Owner, UCB Pharma GmbH – Exhibit 2011 - 0011
`
`

`
`Sn7933
`
`7013L0
`
`Practitioner's Docket No. 55647-C (45107)
`
`PA TENT
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`: Mail Stop: Patent Application
`Commissioner for Patents
`Old
`P.O. Box 1450
`
`Alexandria, VA 22313-1450
`
`NEW APPLICATION TRANSMITTAL
`
`Transmitted herewith for filing is the patent application of
`
`Inventor(s):
`
`Claus Meese and Bengt Sparf
`
`WARNING:
`
`37 CFR I.41(a)(1) points out:
`
`"(a) A patent is appliedfor in the name or names ofthe actual inventor or inventors.
`
`(1) The inventorship ofa nonprovisional application is that inventorship setforth in the oath or declaration
`as prescribed by § 163, except as providedfor in § 1.53(d)(4) and § 1.63(d). Ifan oath or declaration as prescribed
`by § 1.63 is notfiled during the pendency ofa nonprovisional application, the inventorship is that inventorship set
`forth in the application papersfiled pursuant to § 1 .53(b), unless a petition under this paragraph accompanied by the
`fee setforth in § 1.1 7(1) isfiled supplying or changing the name or names ofthe inventor or inventors. "
`
`For (title):
`
`NOVEL DERIVATIVES OF 3, 3-DEPHENYLPROPYLAMINES
`
`CERTIFICATION UNDER 37 C.F.R. 1.10*
`
`(Express Mail label number is mandatory.)
`(Express Mail certification is optional.)
`
`I hereby certify that this correspondence and the documents referred to as attached therein are being deposited with the United
`States Postal Service on this date _.Ia.nna.I:;L21,_2.00A_____, in an envelope as “Express Mail Post Office to Addressee,"
`mailing Label Number _E3L3A25.816l3_US.______ addressed to the: Mail Stop Patent Application, Commissioner for Patents,
`P.O. BOX I450, Alexandria, VA 22313-1450.
`
`8 \ enox \'\\\s\<~.s~ pic
`
`(type or print name ofperson mailing paper)
`Q9-
`pm
`~
`g
`Signature of person mailing paper
`
`WARNING:
`
`*WARNING:
`
`Certificate ofmailing (first class) orfacsimile transmission procedures of37 C.F.R. 1.8 cannot be used to
`obtain a date ofmailing or transmission for this correspondence.
`Each paper orfeefiled by "Express Mail" must have the number ofthe "Express Mail" mailing label
`placed thereon prior to mailing. 37 C.F.R. 1. l0(b).
`"Since thefiling ofcorrespondence under § [.10 without the Express Mail mailing label thereon is an
`oversight that can be avoided by the exercise ofreasonable care, requestsfor waiver ofthis requirement will
`not be granted on petition. "Notice of Oct. 24, I996, 60 Fed. Reg. 56,439, at 56,442
`
`(Application Transmittal—page I of l 1)
`
`Patent Owner, UCB Pharma GmbH — Exhibit 2011 - 0012
`
`Patent Owner, UCB Pharma GmbH – Exhibit 2011 - 0012
`
`

`
`1.
`
`Type of Application
`
`This new application is for a(n)
`
`(check one applicable item below)
`
`[X]
`
`Original (nonprovisional)
`
`[
`
`[
`
`]
`
`]
`
`Design
`
`Plant
`
`WARNING:
`
`Do not use this transmittalfor a completion in the US. ofan International Application under 35 US. C.
`371(c)(4), unless the International Application is beingfiled as a divisional, continuation or continuation-in-
`part application.
`
`WARNING:
`
`Do not use this transmittalfor thefiling ofa provisional application.
`
`NOTE:
`
`Ifone ofthefollowing 3 items apply, then complete and attach ADDED PAGES FOR NE WAPPLICA TION V
`TRANSMITTAL WHERE BENEFIT OFA PRIOR U.S. APPLICATION CLAIMED and a NOTIFICA TIONINPARENT
`APPLICA TION OF THE FILING OF THIS CONTINUA TIONAPPLICA TION
`
`[
`
`]
`
`Divisional.
`
`[X]
`
`Continuation.
`
`[
`
`]
`
`Continuation-in-part (C-I—P).
`
`2.
`
`Benefit of Prior U.S. Application(s) (35 U.S.C. 119(e), 120, or 121)
`
`NOTE:
`
`A nonprovisional application may claim an invention disclosed in one or more priorfiled copending nonprovisional
`applications or copending international applications designating the United States ofAmerica. In orderfor a
`nonprovisional application to claim the benefit ofa priorfiled copending nonprovisional application or copending
`international application designating the United States ofAmerica, each prior application must name as an inventor
`at least one inventor named in the laterfiled nonprovisional application and disclose the named inventor ’s invention
`claimed in at least one claim ofthe laterfiled nonprovisional application in the manner provided by thefirst
`paragraph of35 US. C. 112. Each prior application must also be:
`
`(1) An international application entitled to a filing date in accordance with PCT Article I I and designating
`the United States ofAmerica; or
`
`(ii) Complete as setforth in § 1 .51 (b); or
`
`(iii) Entitled to a filing date as setforth in § I.53(b) or § I.53(d) and include the basicfilingfee setforth in §
`1.16; or
`
`(iv) Entitled to a filing date as set forth in § I.53(b) and have paid therein the processing and retention fee
`setforth in § 1.2l(l) within the time period setforth in § l.53(fl.
`
`37 CFR 1.78(a)(1).
`
`(Application Transmittal—page 2 of ll)
`
`Patent Owner, UCB Pharma GmbH — Exhibit 2011 - 0013
`
`Patent Owner, UCB Pharma GmbH – Exhibit 2011 - 0013
`
`

`
`NOTE
`
`Ifthe new application being transmitted is a divisional, continuation or a continuation-in—part ofa parent case, or
`where the parent case is an International Application which designated the U.S., or benefit ofa prior provisional
`application is claimed, then check thefollowing item and complete and attach ADDED PAGES FOR NEW
`APPLICATION TRANSMITTAL WHERE BENEFIT OF PRIOR U.S. APPLICA TION(S) CLAIMED.
`
`WARNING:
`
`Ifan application claims the benefit ofthefiling date ofan earlierfiled application under 35 US. C. 120, 121
`or 3 65(c), the 20-year term ofthat application will be based upon thefiling date ofthe earliest US.
`application that the application makes reference to under 35 U.S. C. 120, 121 or 3 65(c). (35 US. C. l54(a)(2)
`does not take into account, for the determination ofthe patent term, any application on which priority is
`claimed under 35 U.S.C. 119, 365(a) or 365(b).) For a c-i-p application, applicant should review whether
`any claim in the patent that will issue is supported by an earlier application and, ifnot, the applicant should
`consider canceling the reference to the earlierfiled application. The term ofa patent is not based on a
`claim-by-claim approach. See Notice ofApril 14, I995, 60 Fed. Reg. 20,195, at 20,205.
`
`WARNING:
`
`When the last day ofpendency ofa provisional application falls on a Saturday, Sunday, or Federal holiday
`within the District ofColumbia, any nonprovisional application claiming benefit ofthe provisional
`application must befiled prior to the Saturday, Sunday, or Federal holiday within the District of Columbia.
`See 37 C.F.R. § ].78(a)(3).
`
`[X]
`
`The new application being transmitted claims the benefit of prior U.S. app1ication(s).
`Enclosed are ADDED PAGES FOR NEW APPLICATION TRANSMITTAL WHERE
`
`BENEFIT OF PRIOR U.S. APPLICATION(S) CLAIMED.
`
`'
`
`3.
`
`Papers Enclosed
`
`A.
`
`Required for Filing Date under 37 C.F.R. 1.53(b) (Regular) or 37 C.F.R. 1.153
`(Design) Application
`
`_9_4_ Pages of Specification
`_24_ Pages of Claims
`_L Sheets of Drawing
`[X]
`Formal
`[
`]
`Informal
`
`B.
`
`Other Papers Enclosed
`
`____l_ Pages of Abstract
`_2_ Other: International Search Report
`
`WARNING:
`
`DO NOT submit original drawings. A high quality copy ofthe drawings should be supplied when filing a
`patent application. The drawings that are submitted to the Office must be on strong, white, smooth, and non-
`shiny paper and meet the standards according to § 1.84. Ifcorrections to the drawings are necessary, they
`should be made to the original drawing and a high-quality copy ofthe corrected original drawing then
`submitted to the Office. Only one copy is required or desired. For comments on proposed then-new 3 7
`C.F.R. 1.84, see Notice ofMarch 9, I988 .
`.
`. (1990 0.G. 5 7-62).
`
`NOTE:
`
`"ldentifizing indicia, ifprovided, should include the application number or the title ofthe invention, inventor’s name,
`docket number (ifany), and the name and telephone number ofa person to call ifthe Oflice is unable to match the
`drawings to the proper application. This information should be placed on the back ofeach sheet ofdrawing a
`minimum distance ofl.5 cm. (5/8 inch) downfrom the top ofthe page.