.
`
`. ,
`
`PART B-ISSUE-FEE TRANSMITTAL !
`
`,
`
`I
`
`.
`"
`_A
`....,,
`•
`MAILING lNSTRuinoNS: This f~; S'h~ld ,be usJSransmitting the ISSUE FEE. Blocks 2 through 6 shoul
`(,llPleted where appropriate. All further correspondence
`including the Issue Fee Receipt, the Patent, advance orders and notification of maintenance fees will be mailed to a · ressee entered in Block 1 unless you direct otherwise,
`by: (a) specifying a new correspondence address in Block 3 below; or (b) providing the PTO with a separate "FEE ADDRESS" for maintenance fee notifications with the payment
`of Issue Fee or thereaher. See reverse for Certificate of Malling, below.
`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.·
`Burden Hour Statement: This form is estimated to take 0.2 hours to complete. Time will vary
`depending on the needs of the individual case. Any comments on the amount of time required to
`complete this form should be sent to the Chief Information Officer, Patent and Trademark Office,
`Washington, D.C. 20231.
`DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Box Issue Fee,
`Assistant Commissioner for Patents, Washington D.C. 20231
`~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~-1 City,StateendZIPCocle
`1. CORRESPONDENCE ADDRESS
`
`2. INVENTOR(S) ADDRESS CHANGE (Complete only 11 there Is a change)
`
`INVENTOR'S NAME
`
`Stree1 Address
`
`l
`
`~ ~f:JROBERT s HONOR A
`SAhl[:iO z CORPORr4 TI cff1. .~b
`~
`.r· ... ,T l'n
`.59 ROUTE 1 0
`EAST HANOVER NJ 07936-~
`
`APPLICATION NO.
`
`FILING DATE
`
`12M 1. / 1.f21 t;i ..
`.
`: .·:; !
`
`CO-INVENTOR'S NAME
`
`Street Address .
`
`_ p Check If additional changes are enclosed
`-· - .,.,,_~~:-..-... __
`EXAMINER AND GROUP ART UNIT _
`
`'
`
`DATE MAILED
`
`04/07/9.S
`
`009
`
`1202
`
`12/16/'~6
`
`ArstNamed
`Applicant
`
`COTTENf.;,
`
`SYLVA II\!
`
`"YLA·r-· RA
`-
`TITLEOF
`' F't=-)MYCIN DERIVATIVES AND THEIF\ USE, PARTICULARLY AS
`f:.D
`INVENTIONU-ALK
`IMMUNOSUPPRESSANTS
`
`ATIY'S DOCKET NO.
`
`1
`
`100 - 79:32/PCT
`
`I BATCHNO. I APPLN. TYPE
`I CLASS-SUBCLASS
`.514-514.000
`
`I SMALL ENTITY
`
`I
`
`FEE DUE
`
`I
`
`DATE DUE
`
`H.50
`
`UTILITY
`
`NO
`
`$12'3'0.00
`
`03/17/97
`
`3. Correspondence address change (Complete only If there is a change)
`
`4. For printing on the patent front
`page, list the names of not more than
`3 raglsterad patent attorneys or agents
`OR, alternatively, the name of a firm
`having as a member a registered
`attorney or agent. If no name is listed,
`no name will be printed.
`
`1
`
`2
`
`3
`
`Robert s.
`
`Honor
`
`
`
`Melvyn M. Kassenof f
`
`Thomas 0. McGovern
`
`5. ASSIGNMENT DATA TO BE PRINTED ON THE PATENT (print or type)
`(1) NAME OF ASSIGNEE:
`SAND 0 Z L 'l' D •
`6a. The following fees are enclosed:
`-(2-) ADDR--ESS-:-(C-ITY_&_S __ T_ATE----o--R""'cou:---N __ TR __ Y) __________________ ~ D Issue Fee
`0 Advance Order.# of Cop ies - - - - - -
`B a s 1 e , S w i t z e r 1 a n d
`6b. The following fees should be charged to:
`__ __ _ ...._ ________________ ____ ____ _ --t· DEPOSIT ACCOUNT NUMBER
`
`19-0 13 4
`
`A. 0 This application is NOT assigned.
`0 ~previously submitted to the Patent and Tl'lldemalll Office.
`Ga Assignment Is being submined under separate cover. Assignments should be
`directed lo Box ASSIGNMENTS.
`PLEASE NOTE: Unless an assignee Is ldendfied in Block 5, no assignee Clata will appear on the patent.
`Inclusion ol assignee Clata is only appropnate wnen an assignment has been previously submitted to the
`PTO or is being submitted under separale cover. Completion of this form is NOT a substitute for filing
`an assignment.
`
`(ENCLOSE A COPY OF THIS FORM)
`!81 Issue Fee
`C1!: Advance Order· #of Copies --'l,._0,._ ___ _
`00 Any Deficiencies in Enclosed Fees
`The COMMISSIONER OF PATENTS AND TRADEMARKS is
`requested to apply the Issue Fee to the application Identified above.
`.:=.-
`(Au~gnalure)
`..::/~ CJJ?h -~
`
`I (Date)
`3/14/97
`
`NOTE; The Issue Fee will not be accepted'from anyone other than the
`applicant, a registered attorney or agent; or the assignee or other party
`in Interest as shown bY the records ol lhe Patent and Tredemark Office.
`
`Certificate of Malling
`Note: If this certificate of mailing is used, it can only be used to transmit the Issue Fee. This certificate cannot be used for any other accompanying papers.
`Each additional paper, such as an assignment or formal drawing, must have its own Certificate of mailing.
`I hereby certify that this correspondence is being deposited with the United States Postal Service with sufficent postage as first class mail in
`an envelope addressed to:
`Box ISSUE FEE
`Aaalatant Commlaaloner for Patenta
`Washington, D.C. 20231
`
`cJ>n 11
`0Jllf7
`
`p/J_
`5',J
`
`}
`on;,;.:.: __ M_A_R_c_~_H_l_4_,_1_9_9_7 __________ (Date)
`__ .,.T_H_O ..... M_A_S __ O_. _M_C_G_O_V_E_R_N ________ (Name of person making deposit)
`
`-..,,._,&..y-=z;;;;;;~='--'---'a""-..... ~<-<-L-""'<-..:;..--"'-'~=-----'---<Signature)
`
`___ M_A_R_C_H_l_4_,_1_9_9_7 __________ (Date)
`
`•t
`
`PTOL-858 (REV.OS·96) Approved for use through 05131196. OMB 0651-0033
`
`Patent and Tredemark Office; U.S. DEPARTMENT OF COMMERCE
`
`1. TRANSMIT THIS FORM WITH FEE' __(cid:173)
`
`
`
`

`
`•
`
`Case No. 100-7932/PCT
`
`::;a;d'c>\~
`s-~/rz
`c~
`~
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`\.
`
`In re application of
`
`Sylvain Cottens, et al.
`
`Art Unit: 1202
`
`Serial No. 08/416,673
`
`Examiner: R. Bond
`
`Filed: April 7, 1995
`
`Batch No. : H50
`
`For: 0-ALKYLATED RAPAMYCIN
`DERIVATIVES AND THEIR
`USE, PARTICULARLY AS
`IMMUNOSUPPRESSANTS
`
`AMENDMENT UNDER 37 CFR 1.312
`
`Assistant Commissioner for Patents
`Washington, D.C. 20231
`
`Dear Sir:
`
`I hereby certify that thia corrsspondence is beinfl
`deposited with the United States P0sta! Servic':l as
`first class mail in an envelope addressed to; Cvmmis·
`sioner of Patents.and Trademarks, Washington, D.C.
`20231,on March 14, 1997
`---ioa!a·01-o&P@Sit) _____ _
`...l'h.o.m.g.§ __ Q_._ __ Ms;§_Q.Y.~fn _________ _
`Name of applicant, assignee, or
`
`~~m~-Signature
`
`-Ii:la.a:.l:Ll4 •.. l.99_7_ ___________________ _
`Date of Signature
`
`Under the' provision of 37 CFR 1.312, please amend the
`above.identified application as follows:
`
`IN THE CLAIMS
`
`Please cancel claim 4, 9, and 10.
`
`In line 1 of claims 11 to 15, after the word "claim",
`delete the number "10", and insert in its place in each
`instance the number -- 19
`
`In li~1 of claims 11, 12, and 13, after the word
`, and insert in its place
`"which", delete the term 11 R1
`in each instance the term -- R1
`
`11
`
`Sl10147 04/17/97 08416673
`-~(o{c+·1 01f(r1(q1 ow1~17
`
`19-0134 100 142
`l,~, ~6l 7y ( ()1) lilo·f
`G
`
`1.290.00~
`
`~,(lftvf
`
`!f,
`~
`
`
`
`

`
`; ... -
`
`•
`
`•••
`
`Claim 16, line 2; claim 17, line 4; and claim 18,
`line 3, after .the word "claim", delete the number 11 10 11
`, and
`insert in its place in each instance the number -- 19
`t?
`y
`Please add the following new claims 'Nl.. and ~.
`
`A
`
`compound of the formula
`
`41
`
`so .......
`
`,,
`
`3
`
`36
`
`35
`
`33
`
`: 34
`
`:-.
`l~.
`
`I ~
`{JI
`f q?
`0'1---
`
`R10
`
`'°'o
`
`0
`
`12
`
`'
`6 ~~~
`I
`a
`0
`
`0
`
`0----
`
`24
`
`wherein R1 is hydroxy(c1 _6 )alkyl or
`_3 )alkoxy(C1 _3 )alkyl .
`hydroxy(C
`1
`. 19~ The compound according to claim~
`~ ~-(3-hydroxyethyl)-rapamycin.
`
`which is
`
`[
`
`-2L
`
`
`
`

`
`•
`
`REMARKS
`
`•
`
`Claims 9 to 18 have been allowed and claims 11 to 20
`are now in the application. No additional fee is required.
`
`The instant application was allowed on December 16,
`1996; and the issue fee is being submitted concurrently with
`this amendment.
`
`It is respectfully requested that the above amendments
`of the claims be entered. The entering of these amendments
`will not require a new search nor will it require substantial
`additional work on the part of the Patent and Trademark
`Office. This Amendment is believed to be proper under the
`provisions of Rule 312, because it corrects minors errors in
`the structures and definitions of the claims. Claim 10 has
`been replaced with new claim 19 to remove the space in the
`double bond between carbons 17 and 18 in claim 10 and conform
`the bond to that of the generic compound of formula I on page
`2 of the application. Substituent R1 has been amended in
`claims 11 to 13 and in new claim 19 to properly identify it.
`The definition of substituent R1 has also been amended to
`limit the alkylene groups of the hydroxyalkoxyalkyl moiety to
`the preferred c1 _3 alkylene set out on page 3, line 10 of the
`application. Applicant have added new claim 20 to the
`application to replace claim 4, which may have been
`inadvertently deleted from the application instead of claim
`9, which was canceled by the Amendment of October 15, 1996.
`
`-3-
`
`
`
`

`
`•
`
`•
`
`The proposed amendment do not broaden the scope of the
`claims or introduce new matter. They were not presented
`earlier because it was only·during a review of the allowed
`application that it was noted that the amendments were
`needed.
`It is therefore respectfully requested that the
`proposed amendment be entered under the provisions of
`35 CFR 1. 312.
`
`Respectfully submitted,
`
`By ~O?JJ~,(
`Thomas 0. McGovern
`Registration No. 25,741
`(201) 503-8480
`
`TOM: lmc
`
`NOVARTIS CORPORATION
`59 Route 10
`E. Hanover, N.J. 07936
`
`March , 1997
`
`Enclosures: COM Stamp; Postcard
`
`-4-
`
`
`
`

`
`,·
`
`·'
`
`~
`
`.
`.
`.
`~ ·IJ t~ appllcatlon MW /lkd prior to Jrme B.
`· 1995, 1116 tmn of thh pa1ent u the longer of
`. :, · ~yeanftom~dat.ufsrantofdlis
`' '· -"pa1tnt or rMnly yeanfrom thuarliest qfrc(cid:173)
`:· " • : IM U.S. /Uln& date of Ille applkatlon. swb(cid:173)
`- · . }«I to anY natlllOry-ensiDn.
`· -.lfdlis application iow fl/Id on or ajttr JllM
`'• · B.1995.dietmn'ofdil.spa1entl.s,_ryyean
`from the U.S. JiUnB date, Nb feet 10 an naz11-
`· ·
`tory eJ&!enskm. If tlw applicallon contains a
`8fUClfic·n1fe~e to an· eizrlier film applica(cid:173)
`. ·t1onorapp/lcatio11111nder35U.S.C120, 12/
`- :.oi365(c). ihetmnufdiepattntutwenty~n
`'. ' from the date on which rlw earliest app/ica(cid:173)
`. ... . . tlon MW flied, 11ubject to any na1utory wen(cid:173)
`. llon. .
`
`.
`~ fd.,,
`en:,~-~,__
`··~11dAtvd~
`
`
`
`

`
`•
`
`Case No. 100-7932/PCT
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`In re application of
`
`Sylvain Cottens, et al.
`
`Art Unit: 1202
`
`Serial No. 08/416,673
`
`Examiner: R. Bond
`
`Filed: April 7, 1995
`
`Batch No. : H50
`
`For: 0-ALKYLATED RAPAMYCIN
`DERIVATIVES AND THEIR
`USE, PARTICULARLY AS
`IMMUNOSUPPRESSANTS
`
`AMENDMENT UNDER 37 CFR 1.312
`
`Assistant Commissioner for Patents
`Washington, D.C. 20231
`
`Dear Sir:
`
`I heMbv certify that thi.:; corr~spcndam:?. is ~!'.VI
`c!epc~::itad w:!n the t.;:1it&d Swte~; ?::~a~~; S·;r· .. :r:'-1 ~~~~
`firs~ ciass mail in an ~;w::.!! .. 1ws :1~J·:!r··=S~~'.-G ::y C;;·~1r.~:s­
`sion,1r of Patents.and Trademarks, Washington. o.c.
`::02::;1,on March 14, 1997
`----,,,.;;;;-o;·c;;p;;siii _____________ _
`--1'.b.o.fil9.§. __ Q~---I1.Q;?_QY.~~n •.••••••••••
`Narne of ap:-!icr·t. '!-::~:,,;.~ee. or
`r-tJ
`lk;;i:;:~~ '<ep:«·"··1~·;<0t•ve
`~---rm_~~--
`s:~~st .• re
`-l'!1a..ccl:L-l 4+ .. l9.9. 7-. -------------------
`Date or 3igr..~iurn
`
`Under the provision of 37 CFR 1.312, please amend the
`above identified application as follows:
`
`IN THE CLAIMS
`
`Please cancel claim 4, 9, and 10.
`
`In line 1 of claims 11 to 15, after the word "claim",
`delete the number 11 10 11
`, and insert in its place in each
`instance the number -- 19
`
`In line 1 of claims 11, 12, and 13, after the word
`"which", delete the term "R1 ", and insert in its place
`1
`.
`h
`.
`h
`in eac
`instance t e term -- R
`
`
`
`

`
`.. .
`
`• •
`
`CASE 100-7932/PCT
`
`CERTIFICATE OF MAILING
`
`I hereby certify that this paper (along with any paper referred to as being attached or enclosed) is being deposited with the United
`States Postal Service on the date shown below with sufficient postage as first class mail in an envelope addressed to the: Assistant
`Commissioner for Patents, Washington, D.C. 20231.
`
`fh v/I ,' >" Keilt-
`
`Type or print name
`
`v2A,JL f0,J}';
`~;p Signature'f-
`
`'Jf/.,Mc.L 3 o
`
`Date >
`
`I 'f 9,P-
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`IN RE APPLICATION OF
`
`COTTENS ET AL
`
`U.S. Patent No. 5,665,772
`
`APPLICATION NO: 08/416,673
`
`FILED: APRIL 7, 1995
`
`Certificate of Correction Branch
`
`FOR: 0-ALKYLATED RAPAMYCIN DERIVATIVES AND THEIR USE,
`PARTICULARLY AS IMMUNOSUPPRESSANTS
`
`APPRO
`
`·····
`
`~~
`
`Assistant Commissioner for Patents
`Washington, D.C. 20231
`
`Sir:
`
`GEATIFft:ATE
`APR 8 t998
`REQUEST FOR n~~-~ECTION
`
`FOATHE
`
`An error has been noted in the above-identified United States Patent, and a Certificate of
`
`Correction is hereby requested.
`
`In particular, the error resides in claim 10 of the issued patent. This claim was presented as
`
`new claim "20" of applicants' "Amendment Under 37 CFR 1.312" mailed March 14, 1997 (copy
`
`appended). At page 3 of said Amendment, applicants indicated that said claim 20 was intended to ,
`
`replace claim 4 of the application as filed, which applicants indicated may have been erroneously
`
`cancelled by the Office during prosecution.
`
`However, through applicants' inadvertent error, said claim 20 was incorrectly drawn to the
`comP.ound "40.tO-~g-6r.r4hydJo<B~M~thyl)-rapamycin," rather than reciting the compound of claim 4 of the
`05/c0/1998 LBERGtR OOUOOO~q
`applicati.ori,as filed.
`01 FC:145
`!llVallv \.ii
`
`
`
`

`
`•
`
`U. S. Patent No. 5,665,772
`Atty Docket No. 100-7932/PCT
`Request for Certificate of Correction
`
`Accordingly, a Certificate of Correction is enclosed correcting the error in claim 1 O, lines
`
`1-2 of the subject U.S. Patent No. 5,665,772 by deleting "40-0-@-hydroxyethyl)-rapamycin" and
`..
`replacing it with "40-0-~-hydroxyethyl)-rapamycin". Applicants respectfully request issuance of
`
`said Certificate.
`
`If the Office should deem the present request to be made pursuant to 37 CFR § 1.323
`/
`("Certificate of Correction of Applicant's Mistake"), and not 37 CFR §1.322(a) ("Certificate of
`
`Correction of Office Mistake"), then the Office is authorized to charge the fee of $100 set forth in
`
`37 CFR § 1.20(a) and any other fees necessitated by this paper, to Patentee's Deposit Account No.
`
`19-0134. This page is enclosed in duplicate for fee purposes.
`
`Respectfully submitted,
`
`Diane E. Furman
`Attorney for Applicants
`Reg. No. 31,104
`
`Novartis Corporation
`Patent and Trademark Dept.
`564 Morris Avenue
`Summit, NJ 07901-1027
`(908) 522-6924
`
`DEF:mjl
`Date: March 30, 1998
`
`Enclosures:
`
`"Amendment Under 37 CFR 1.312" (March 14, 1997)
`Certificate of Correction (in duplicate)
`This page in duplicate
`Postcard
`
`-2-
`
`
`
`

`
`PTO/SB/ 44 (10-96)
`.
`Approved for use through 6/30/99. OMB 0651-0033
`Patent and. Trad~marl< 9ffice; U.~. C?EPARTMENT OF COMMERCE ·
`.
`.
`Under the Paperwork Reduction Ad. of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number.
`(Also Form PT0-1050)
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`CERTIFICATE OF CORRECTION
`5,665,772
`September 9, 1997
`Sylvain Cottens and Richard Sedrani
`
`PATENT NO
`DATED
`INVENTOR(S} :
`
`It is certified that error appears in the above-identified patent and that said Letters Patent
`are hereby corrected as shown below:
`
`Claim 10, lines 1-2, delete "40-0-(3-hydroxyethyl)-rapamycin" and replace
`
`it with -- 40-0-(2~hydroxyethyl)-rapamycin
`
`MAILING ADDRESS OF SENDER:
`NOVARTIS CORPORATION
`Patent and., Trademark Department
`564 Morris Avenue
`Summit, NJ 07901-1027
`
`PATENT NO.
`
`5, 665, 772
`
`No .. or additional copies
`
`Burden Hour Statement: This form is estimated to take 1.0 hour to complete. Time will vary depending upon the needs of the individual case. Any
`comments on the amount of time_you are r~uired to comj)lete this form should be sent to the Chief Information Officer, Pat~nt and Trademark
`Office Washington, DC 20231. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Assistant Comm1ss1oner for
`Patents, Washington, DC 20231.
`
`
`
`

`
`•
`
`REMARKS
`
`Claims 9 to 18 have been allowed and claims 11 to 20
`are now in the application. No additional fee is required.
`
`The instant application was allowed on December 16,
`1996; and the issue fee is being submitted concurrently with
`this amendment.
`
`_,
`
`It is respectfully requested that the above amendments
`of the claims be entered. The entering of these amendments·
`will not require a new search nor will it require substantial
`additional work on the part of the Patent and Trademark
`Office. This Amendment is believed to be proper under the
`provisions of Rule 312, because it corrects minors errors in
`the structures and definitions of the claims. Claim 10 has
`been replaced with new claim 19 to remove the space in the
`double bond between carbons 17 and 18 in claim 10 and conform
`the bond to that of the generic compound of formula I on page
`2 of the application. Substituent R1 has been amended in
`claims 11 to 13 and in new claim 19 to properly identify it.
`The definition of substituent R1 has also been amended to
`limit the alkylene groups of the hydroxyalkoxyalkyl moiety to
`the preferred c1 _3 alkylene set out on page 3, line 10 of the
`application. Applicant have added new claim 20 to the
`applica~ion to replace claim 4, which may have been
`inadvertently deleted from the application instead of claim
`9, which was canceled by the Amendment of October 15, 1996.
`
`-3-
`
`
`
`

`
`•
`
`•
`
`The proposed amendment do not broaden the scope of the
`claims or introduce new matter. They were not presented
`earlier because it was only·during a review of the allowed
`application that it was noted that the amendments were
`needed.
`It is therefore respectfully requested that the
`proposed amendment be entered under the provisions of
`35 CFR 1. 312.
`
`Respectfully submitted,
`
`By ;;;-;Z..~ Q ?7Jc:~4,
`Thomas 0. McGovern
`Registration No. 25,741
`(201) 503-8480
`
`TOM:lmc
`
`NOVARTIS CORPORATION
`59 Route 10
`E. Hanover, N.J. 07936
`
`March , 1997
`
`Enclosures: COM Stamp; Postcard
`
`-4-
`
`
`
`

`
`•
`
`•
`
`Claim 16, line 2; claim 17, line 4; and claim 18,
`line 3, after the word "claim", delete the number 11 10 11
`, and
`insert in its place in each instance the number -- 19
`
`Please add the following new claims 19 and 20.
`
`19.
`
`A compound of the formula
`
`41
`
`0.......-
`
`12
`
`wherein R1 is hydroxy(C1 _6 )alkyl or
`hydroxy(C1 _3 )alkoxy(C1 _3 )alkyl.
`
`The compound according to claim 19 which is
`20.
`40-0-(3-hydroxyethyl)-rapamycin.
`
`-2-
`
`
`
`

`
`DATE
`
`TO
`
`SUBJECT:
`
`A response to the following question(s) is requested with respect to the accompanying request for a certificate of correction.
`0 1. Would the change(s) requested under 37 aR 1.323 constitute new matter or require reexamination of the application?
`M· Would the change(s) requested Wlder 37 aR 1.323 materially affect the scope or meaning ~f the claims allowed by
`V ..-.. \
`the examiner in the patent?
`.
`0 3-. Applicant disagrees with ~ge(s) initialed and dated by Examiner in lieu of an Examiner's AmendmenL Should
`the change request be granted?
`.0":z\ With respect to the change(s) requested, correcting Office errors, should the patent read as shown in the certificate
`V
`. . \ of correction?
`O 5.
`
`If the amendment f i led - - - - - - - - - - had been considered by the Examiner, would the
`amendment have been entered?
`
`TO: CERTIFICATES OF CORRECTION BRANCH
`
`Michelle Williams
`
`I DATE:
`
`TI1e decision regarding the change(s) requested in the cenificate of correction is shown below.
`1. 0 YES
`2. 0 YES
`3. 0 YES
`4. )(YES
`5. 0 YES
`
`0 NO
`)t NO
`0 NO
`0 NO
`0 NO
`
`0 Comments below
`
`0 Comments below
`0 Comments below
`0 Comments below
`0 Comments below
`
`Comments
`
`0
`fuSw
`
`.
`
`1
`t,'1'
`
`PTOL -306 (REV. 10/87)
`
`U.S. DEPARTMENT Of COMMERCE Patent and Trademark Office
`
`J6-ll
`
`Art UniJ
`
`
`
`

`
`/
`
`PTO/SB/81 (01-09)
`Approved for use through 1113012011. OMS 0651-0035
`U.S. Patent and Trademark Office; US. DEPARTMENT OF COMMERCE
`Under the Papeiwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a vafld OMS control number
`-.....,
`I Application Number
`I 081416673
`POWER OF ATTORNEY
`I Filing Date
`April 7, 1995
`OR
`I Cotten, Sylvain
`First Named Inventor
`REVOCATION OF POWER OF ATTORNEY
`I Title
`0-ALKYLATED RAPAMYCIN
`WITH A NEW POWER OF ATTORNEY
`Art Unit
`1202
`AND
`CHANGE OF CORRESPONDENCE ADDRESS Examiner Name
`Bond, Robert
`Attorney Docket Number i 100-7932
`\.
`
`I hereby revoke all previous powers of attorney given in the above-identified application.
`
`A Power of Attorney is submitted herewith.
`OR
`I hereby appoint Practitioner(s} associated with the following Customer
`Number as my/our attomey(s} or agent(s) to prosecute the application
`identified above, and to transact all business in the United States Patent
`and Trademark Office connected therewith:
`OR
`I hereby appoint Praditioner(s} named below as my/our attomey(s) or agent(s) to prosecute the application identified above, and
`to transact au business in the United States Patent and Trademark Office connected therewith:
`
`Please recognize or change the correspondence address for the above-identified application to:
`[Xj The address associated with the above-mentioned Customer Number.
`OR
`
`,.--~~~~~~~~~~~~~~~~~-,
`
`!I The address associated with Customer Number:
`L......J
`OR
`n
`Firm or
`Individual Name
`Address
`
`City
`Country
`Telephone
`
`State
`
`Email
`
`Zip
`
`I am the: D ApplicanUlnventor.
`
`OR
`Assignee of record of the entire interest. See 37 CFR 3. 71.
`Statement under 37 CFR 3. 73(b) (Form PTOISB/96) submitted herewith or filed on
`
`Signature
`Name
`
`Title and Company
`
`licant or Assignee of Record
`
`Date
`Telephone
`
`NQIE.: Signatures of all the mveniors or assignees of record of the entire lnterest or their representative(s) are required. Submit muttipfe forms if more than cne
`signature is required, see below•.
`iXI
`
`"Total ______ forms are submitted.
`
`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 !he 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. 11and1.14. This collection is estimated to take 3 minutes to complete,
`including gathering, preparing, and submitting the completed application form to !he USPTO. Time will vary depending upon !ha individual case.
`comments on
`this burden, should be sent to the Chief Information Officer,
`the amount of lime you require to complete !his form and/or suggestlons for
`Patent and
`Trademark Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria,
`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,
`
`ff you need assistance in completing the form, cail 1-800-PT0-9199 and select option 2.
`
`
`
`

`
`Electronic Acknowledgement Receipt
`
`EFSID:
`
`Application Number:
`
`5189946
`
`08416673
`
`International Application Number:
`
`Confirmation Number:
`
`9777
`
`Title of Invention:
`
`0-ALKYLATED RAPAMYCIN DERIVATIVES AND THEIR USE, PARTICULARLY AS
`IMMUNOSUPPRESSANTS
`
`First Named Inventor/Applicant Name:
`
`SYLVAIN COTIENS
`
`ROBERTS HONOR
`
`SANDOZ CORPORATION
`
`59 ROUTE 10
`
`NJ
`
`079361080
`
`- E
`
`AST HANOVER
`us
`-
`
`-
`
`Correspondence Address:
`
`Filer:
`
`Gregory Houghton./Cindy Klepacky
`
`Filer Authorized By:
`
`Gregory Houghton.
`
`Attorney Docket Number:
`
`100-7932/PCT
`
`Receipt Date:
`
`Filing Date:
`
`Time Stamp:
`
`21-APR-2009
`
`07-APR-1995
`
`14:23:25
`
`Application Type:
`
`U.S. National Stage under 35 USC 371
`
`Payment information:
`
`Submitted with Payment
`
`File Listing:
`
`I no
`
`
`
`

`
`Document Description
`
`File Name
`
`File Size( Bytes)/
`Message Digest
`
`Multi
`Part /.zip
`
`Pages
`(if appl.)
`
`295366
`
`PowerRevocation 100-7932.pdf
`
`yes
`
`2
`
`4 71Oc0e86b82528ab5ebfad255d850ff16bc
`7795
`
`Multipart Description/PDF files in .zip description
`
`Document Description
`
`Start
`
`End
`
`Power of Attorney
`
`Assignee showing of ownership per 37 CFR 3.73(b).
`
`1
`
`2
`
`1
`
`2
`
`Document
`Number
`
`1
`
`Warnings:
`
`Information:
`
`Total Files Size (in bytes)
`
`295366
`
`This Acknowledgement Receipt evidences receipt on the noted date by the USPTO of the indicated documents,
`characterized by the applicant, and including page counts, where applicable. It serves as evidence of receipt similar to a
`Post Card, as described in MPEP 503.
`
`New A~~lications Under 35 U.S.C. 111
`If a new application is being filed and the application includes the necessary components for a filing date (see 37 CFR
`1.53(b)-(d) and MPEP 506), a Filing Receipt (37 CFR 1.54) will be issued in due course and the date shown on this
`Acknowledgement Receipt will establish the filing date of the application.
`
`National Stage of an International A~~lication under 35 U.S.C. 371
`If a timely submission to enter the national stage of an international application is compliant with the conditions of 35
`U.S.C. 371 and other applicable requirements a Form PCT/DO/E0/903 indicating acceptance of the application as a
`national stage submission under 35 U.S.C. 371 will be issued in addition to the Filing Receipt, in due course.
`
`New International A~~lication Filed with the USPTO as a Receiving Office
`If a new international application is being filed and the international application includes the necessary components for
`an international filing date (see PCT Article 11 and MPEP 181 O), a Notification of the International Application Number
`and of the International Filing Date (Form PCT/R0/1 OS) will be issued in due course, subject to prescriptions concerning
`national security, and the date shown on this Acknowledgement Receipt will establish the international filing date of
`the application.
`
`
`
`

`
`PTO/SB/96 (03-09)
`Approved for use through 0413012009. OMB 0651-0031
`U.S. Paten! and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond lo a collection of information unless it displays a valid OMB control number
`
`STATEMENT UNDER 37 CFR 3.73(b}
`
`Applicant/Patent Owner: Novartis AG
`--------------------------~----------------~~-
`App Ii cation No.!Patent No.: 081416,673 I 5,665, 772
`
`Filed/Issue Date: April 7, 1995 f September 9, 1997
`
`Titled:
`
`0-ALKYLA TED RAPAMYCIN DERIVATIVES AND THEIR USE, PARTICULARLY AS
`IMMUNOSUPPRESSANTS
`
`(Name of Assignee}
`
`states that it is:
`
`(Type of Assignee, e.gq oorporaticn, partnership, universily. government agency, etc.
`
`1. ~ the assignee of the entire right, title, and interest in;
`
`2. D
`
`an assignee of less than the entire right, title, and interest in
`{The extent (by percentage) of its ownership interest is _____ % ); or
`
`3.
`
`the assignee of an undivided interest in the entirety of (a complete assignment from one of the joint inventors was made)
`
`the patent application/patent identified above, by virtue of either:
`
`A~ An assignment from the inventor{s) of the patent application/patent identified above. The assignment was recorded in
`, Frame 0042
`, or for which a
`the United States Patent and Trademark Office at Reel 008422
`copy therefore is attached.
`
`OR
`B. D A chain of title from the inventor(s), of the patent application/patent identified above, to the current assignee as follows:
`
`1. From:
`
`2. From:
`
`3. From:
`
`The document was recorded in the United States Patent and Trademark Office at
`Reel
`or for which a copy thereof is attached.
`
`To:
`
`The document was recorded in the United States Patent and Trademark Office at
`Frame ________ _
`
`Reel
`
`or for which a copy thereof is attached.
`
`To:
`
`The document was recorded in the United States Patent and Trademark Office at
`Frame _____ _
`
`Reel
`
`or for which a copy thereof is attached.
`
`n
`Additional documents in the chain of title are listed on a supplemental sheet(s),
`0 As required by 37 CFR 3.73(b}(1)(i), the documentary evidence of the 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. See MPEP 302 08]
`
`w) is authorized to act on behalf of the assignee.
`
`Gregory C. Houghton
`
`Patent Attorney
`
`Title
`This cc!lec!ion of information is required by 37 CFR 3.73(b). The information is required to oblain or retain a benefit by the public which is to file (and by the USPTO lo
`process) an application. Confiden!iality is governed by 35 U.S.C. 122 and 37 CFR 1.11 and 1. 14. This collection is estimated lo take 12 minutes to complete,
`and submittlng the ccmpleted application form to the USPTO. Time wm vary depending upon the individual case. Any comments
`gathering,
`tile arr1ou,nt
`you require to
`and/or suggestions for
`U.S. Patent and Trademark Office. U.S
`this
`should be seni !o the Chief Information
`P 0 Box 1450. Alexandria. VA
`NOT SEND FEES OR COMPLETED
`THIS ADDRESS. SEND TO: Commissioner
`Department
`for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`If you need assistance in completing the form, call 1-BC<O-PT0-9199 and select option 2.
`
`
`
`

`
`APPLICATION NUMBER
`08/416,673
`
`FILING OR 3 71 (C) DATE
`04/07/1995
`
`1095
`NOVARTIS
`CORPORATE INTELLECTUAL PROPERTY
`ONE HEALTH PLAZA 104/3
`EAST HANOVER, NJ 07936-1080
`
`UJ\TfED STATES DEPA RTME'IT OF COMMERCE
`United States Patent and Trademark Office
`Adm"'· COMMISSIO'JER FOR PATENTS
`PO Box 1450
`Alexandria, Vllgmia 22313-1450
`-wviw.uspto.gov
`
`FIRST NAMED APPLICANT
`SYLVAIN COTIBNS
`
`ATTY. DOCKET NO./TITLE
`100-7932
`CONFIRMATION NO. 9777
`POA ACCEPTANCE LETTER
`
`I llllllll llll llll lllll ll]~!l]~~l~~l~~l~Jl~~l~l~~~lll 11111111111111111111111
`
`Date Mailed: 04/29/2009
`
`NOTICE OF ACCEPTANCE OF POWER OF ATTORNEY
`
`This is in response to the Power of Attorney filed 04/21 /2009.
`
`The Power of Attorney in this application is accepted. Correspondence in this application will be mailed to the
`above address as provided by 37 CFR 1.33.
`
`/deelliott/
`
`Office of Data Management, Application Assistance Unit (571) 272-4000, or (571) 272-4200, or 1-888-786-0101
`
`page 1of1
`
`
`
`

`
`APPLICATION NUMBER
`08/416,673
`
`FILING OR 3 71 (C) DATE
`04/07/1995
`
`ROBERT S HONOR
`SANDOZ CORPORATION
`59 ROUTE 10
`EAST HANOVER, NJ 079361080
`
`UJ\TfED STATES DEPA RTME'IT OF COMMERCE
`United States Patent and Trademark Office
`Adm"'· COMMISSIO'JER FOR PATENTS
`PO Box 1450
`Alexandria, Vllgmia 22313-1450
`-wviw.uspto.gov
`
`FIRST NAMED APPLICANT
`SYLVAIN COTIBNS
`
`ATTY. DOCKET NO./TITLE
`100-7932/PCT
`CONFIRMATION NO. 9777
`POWER OF ATTORNEY NOTICE
`
`I llllllll llll llll lllll ll]~!l]~~l~~l~~l~Jl~~l~l~~Jlll 11111111111111111111111
`
`Date Mailed: 04/29/2009
`
`NOTICE REGARDING CHANGE OF POWER OF ATTORNEY
`
`This is in response to the Power of Attorney filed 04/21 /2009.
`
`•The Power of Attorney to you in this application has been revoked by the assignee who has intervened as
`provided by 37 CFR 3.71. Future correspondence will be mailed to the new address of record(37 CFR 1.33).
`
`/deelliott/
`
`Office of Data Management, Application Assistance Unit (571) 272-4000, or (571) 272-4200, or 1-888-786-0101
`
`page 1of1
`
`
`
`

`
`S\/ 'lo<.oo<.osi.y? u 5
`
`Express Mail Label Number
`
`CASE 100-7932/PCT
`FILING BY "EXPRESS MAIL" UNDER 37CFR1.10
`m~ \8, aao9
`Da~ eposi?
`
`/
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`IN RE U.S. PATENT No. 5,665,772
`
`ISSUED: SEPTEMBER 9, 1997.
`
`INVENTORS: SYLVAIN COTTENS AND
`
`RICHARD SEDRANI
`
`FOR: 0-ALKYLATED RAPAMYCIN DERIVATIVES AND THEIR USE, PARTICULARLY AS
`
`IMMUNOSUPPRESSANTS
`
`MS: Patent Ext.
`Director for Patents
`PO Box 1450
`Alexandria, VA 22313-1450
`
`TRANSMITTAL LETTER FOR PATENT TERM EXTENSION APPLICATION
`
`Sir:
`
`Enclosed in triplicate is ~n application for the extension of U.S. Patent No. 5,665,772
`
`under 35 U.S.C. §156.
`
`The Director is hereby authorized to charge the Application Fee of $1,120.00 prescribed
`
`by 37.C.F.R. §1.20{j)(1 ), as well as any additional fees which may be required in connection with
`
`the filing of this Application for Patent TeITTl Extension, to Applicant's Deposit Account No. 19-
`
`0134 in the name of Novartis. Two additional copies of this transmittal letter are being submitted
`
`for charging purposes.
`
`Respectfully submitted,
`
`4 c.~·
`-~ughton
`Attorney for Applicants
`Reg. No. 47,666
`
`Novartis Pharmaceuticals Corp.
`Patents Phamla
`One Health Plaza, Building 101
`East Hanover, NJ 07936-1080
`(862) 778-2614
`
`Date: !:"/t~/ o?
`
`
`
`

`
`FILING BY "EXPRESS MAIL" UNDER 37 CFR 1.10
`
`£\/ JM1>0 ln5d~? fJ 5
`
`Express Mail Label Number
`
`·
`
`