KJNETED S"fA'fES PATENT AND TRADEMARK QFFICE
`.........__.__...._..,.._............._..........__.............
`
`BEFQRE THE PATENT‘ TEHAL AND APPEAL BGARD
`
`APWEEX .EN€Z., APOTEX C{}RE3., APOTEX PHARMACEUTICALS
`HOLDINGS IE'NC., and APOTSEX HQLDLVG-S, INS,
`Petiiionera,
`Va
`
`QSE PHARMACEUTICALS, INQ,
`jPatent Gwzierv
`
`031 Pharmaazeuticais Inc. 19598 3.814;
`Repmri; far the Fiscai Yeaar Ending: Septeinher 39, 1998
`Date flied: Deczzember 23, 1998
`
`Cass Na; "f.B;D.
`......._¢..............._......._....._.............___._.......
`
`§}E€§'_.,ARA".§_’.§®N fif LAURIEENKTE S“ LEZSEEZ9 Efifl.
`
`
`.........__.__...._..,.._............._..........__.............
`
`BEFQRE THE PATENT‘ TEHAL AND APPEAL BGARD
`
`APWEEX .EN€Z., APOTEX C{}RE3., APOTEX PHARMACEUTICALS
`HOLDINGS IE'NC., and APOTSEX HQLDLVG-S, INS,
`Petiiionera,
`Va
`
`QSE PHARMACEUTICALS, INQ,
`jPatent Gwzierv
`
`031 Pharmaazeuticais Inc. 19598 3.814;
`Repmri; far the Fiscai Yeaar Ending: Septeinher 39, 1998
`Date flied: Deczzember 23, 1998
`
`Cass Na; "f.B;D.
`......._¢..............._......._....._.............___._.......
`
`§}E€§'_.,ARA".§_’.§®N fif LAURIEENKTE S“ LEZSEEZ9 Efifl.
`
`
`
`Qfli Pirarrrrecearicais inc. W98 i0i§f-iiieciaraiice ef igaererrce S. Leee, Esq.
`
`iigeureace So £46865 i;ec;., deciare and stare ae feilewsz
`
`i.
`
`QiIAi_,.iii‘i€A’i‘i®NS
`
`i.
`
`i am currerrriy retired, iiavirrg derre S0 err March 3 i, 2916. i have 46?
`
`years ef exper'ience in cerperete arid securities iaw, having spent my irririai eleven
`
`years ef iegai praerice as arr arrerrreiy~ed.viser in iiie Divisieri efCer;_eerarierr
`
`Finance ef the Secrrriiiies and Exchange CO;i}’1§”f}.iSSir(}]&3 in Washingreri, DC.
`
`(“SEC”). My errrire prefeseicrrai career has focused: en the pracrice er" securities
`
`iaw and cerrcerrriraritiy cerperare iaw»
`
`2..
`
`iearrred rrry undergraduate degree freer Cerrieii Urriversity in 1967
`
`and my .i.D. from Cerrzeii Law Scheei in i970.
`
`3..
`
`iv‘/as adrrriiied are practice in i978, Maryiaadg i.;98?;, Ceierade; and
`
`11983, District eff Ceiumbia.
`
`irerneiri in good si:ar1éi7egi.rr these Bars, aiiireugh i am
`
`irzacrive in Ceierade, i are a rrrerriieer cf tire American Bar Aseeeiaricrr.
`
`4.,
`
`Freer: ii/iarci‘: W97 re March Ziii 6, i was a Partner at Bizarre Merrie
`
`L ...(P.) where the reajer feces er’ my practice was; rraesacrierrei secraiitiee iaw,
`
`advising ciierris regarding cerrrpiiaace wirir the federai and state eecaririee iaws in
`
`raieirrg capiiai, reiared re ‘eerir IPOS and eeceeriary efferirrfgs, and in cerripiyicg
`
`with the various reperrirrg, regirrrerrs that a pabiic eernearry rrrursi; satisfy raider Stare
`
`and Federai Lawe.
`
`K)
`
`
`
`O81 Pharm.acaaticatS Inc. 2998 tfitéwflectaratiatt at Laurence S. Lesa. Esq.
`
`5.
`
`Uaaat‘ the Securities Act at” 3.933, a great daat at.’ my axpatiaaca
`
`int/atvad public at°fat‘iaga, mattfiy the syadicnatioa af iim:tted patt.aat°shipa in the 031
`
`and gas tattastty, ana ta a teaser degree private ptacamezats under SEXQ‘ Rate 506
`
`under Ragtttatian D.
`
`6.
`
`Under the Sacutttiaa Extzhanga Act at’ 2.934 (“Exchange Act”), t have
`
`throughput my career t’®.t3d€t”€d
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`advice t°agard.iag campttaaca with the repeating
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`taqaitamenta under Sacttart E3, the proxy tatas under Secttaa 14, and sh.0tt~swi:1g
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`pmfits imparting and aatapfiaaca ttndet Sactiaa t6.
`
`7.
`
`t haw caaasataa ‘path. private campaataa planning to gt) pubfic, as
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`Wet} as public campaaies as ta their compliance with the carparata gavamaaca
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`racp,1irama_t2ts 'ttnaartt1e Sat°’aaaes-»Gx}tey Act and ‘the: Dad.d~F;“ank Act.
`
`8.
`
`t have pabfisttad atticies ragatttiag the Whisttabtmvtng pmvistaas
`
`Ltttd.€t°
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`ttita ,t}add--Frank: Act, aa Wait as other sactttttias taws topics.
`
`9.
`
`I am intimataty famitiat with teqaitatttaaits tatatad ta ateatmntc ffltags
`
`concerning Fflfttt t0-K submissmtzs a:ad.pu’a1icati0.a thateafvia tha ffitactmnic Data
`
`(;‘trttt2ati;t1_g, Aaaiysta, and Rattitavat system (EDGAR) ataatat W98.
`
`10.
`
`A. mate éataiiett accattttt afmy Wark axpatianca. p.mfassi0t1a.t
`
`aatviszzes, pabficatiaas, and atttat quatttficatiaas is ttstaa in my Curriculum Vitae,
`
`which is attached hare ta as Appapdtx A.
`
`APOTEX EX. 1012-003
`
`
`
`Ogi Piiarmeeeutieeie iiie. W98 ifiiés-Declaration ef Letirenee S, Lease, Esq.
`
`ii.
`
`iiieve been teteitieti iiy eetttisei fez” Petitietiete Apeteix iiie, ApOiC«SX.
`
`Carp, Apetex Piietinaeeutieeis H0id.iflgS iite.._., and Apetex iieidiifigs, inc. te
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`previtie e tieeietetieii iii this eetieti eetieei‘i1iti_g the e.veiie’eiiity iii the public ei’
`
`deeiiiiieiits filed witii EDGAR ii“: the i998 time ftetne.
`
`i2.
`
`The facts, epiti.iens_._, and eetieiusietie i.t2‘i:i1.i.S eeeiatetieti are beeed en.
`
`my education, my extensive fiXp€1°i€i"3_C€;3
`
`in this iieid as e securities iew pi‘eetiti_e.tiei*,
`
`and iii}; teview of the maiZ€§”‘iai.S ieieted te tiiie matter.
`
`i3.
`
`i. am iieitig eempenseteti at my eeiietiitiiig tete iet my time spent on
`
`tiiis matter, anti i am eise beiiig i°eiii:{iitii*see. fer teeseztietzie expeiisee iti.eu1°teei with
`
`tespeet to this tiiettei: My eei*ii_peii_setieii is not ee:iti.ttgeitt en the CGi1CiiLiSi03"tS i
`
`teeeii iieteiti er en the specifics 0ftI}y‘i%SiiiiI301T'iy.
`
`i iimre tie iiiiaqiieiei stei<:.e in the
`
`eiiteetiie eftiiis pteeeediitga.
`
`ii.
`
`MATEREALS ,i?tEViEWEEfl
`
`M.
`
`in ffiititiiifig my epiiiieiis, iiiave reviewed Ggi Phetmaeeutieeis, inc.
`
`(""OSIi”) eimuai report en Form ifiu-K i.“e:t ite ifiseei year eritieei Sejetembei‘ 30, 1998
`
`that Gfii flied. en Deeemiier 23, i998 with the SEC, ee weii as its; ziiiiitig status. A
`
`eepy ef this Repett eeii be fetttiti in Appendix B,
`
`i5.
`
`i eise reviewed teieveiit etetutes and tegiiietieiis eet1.eemiiig the
`
`etiibtiiissieii end piibiieetien of etmtiei i‘epei°te vie EIEEGAR.
`
`
`
`GSI£P§.1a1°maceutica§s inc. 1998 IGK’-fiDec1a:°ati0n 0:5 Laurence 8. Mesa, Esq,
`
`DE.
`
`D1°~a€.§siDRD§}'ND AND LEDAL £FRAME.WD;RK
`
`36.
`
`I understand that USE" is sufbjsct $0 the 2‘:-3p01**ting2; pmvisiwns under the
`
`Emshange Act, its c0m:<n0n smcka par Value $.01 pm" ghare, being mgisixrrred unéer
`
`Saczian LZ{g) 01*." the Exchange Act.
`
`17.
`
`"Under Cangessiunai mmdate, the SEC adapted the EDGAR. System.
`
`ta afford tires investing pubiic immediate efiactrunic access is documants filed 011
`
`EDGAR, SEC Ragufiaiiam S»? (17 CFR. part 232) gm/ems the fiiing 0f dacumenjts
`
`aiectmnicafiiy under the EDGAR System. Regufiation S-«T was amendfid effective
`
`January ‘L 3.998, in §>mVid.e ihat iha SEC mm mm accept any paper filing that is
`
`mqguirtszd “:0 be :fE1ed.eEect:r°m1icaHy, unless it satisfiest%1e‘:*equiren1ents far 2:
`
`¥;em_p0rary or cazzmnuing hardship exemption.
`
`18. Mast campanies were: phased inm ‘aha EDGAR system. for eiectronic;
`
`filings bet‘Wee3:1 1993 and 39%., By May 299”! aii dcsmestic igsuem were required.
`
`‘:0 fiie mm‘: dac-umems aiectmnicaliy, (Rule 101 of Raguiafian. S»-T §_'§'7 CPR
`
`232, 1 G 3 j)
`
`19.
`
`Thssrefmre, vvhan USE ciaseé its fiscal year an Sepmmber 3%’), E998,
`
`US} was required :0 fiie: its annual rapert an Farm N}-=»§<i far that fiacai yew“
`
`eiectrwnicafiiy uging EDGAR;
`
`
`
`USiPi2a1*maceiiiicais inc. i998 i®i{~»Deciai"aii0n mi‘ Laurtzmte S. iyese, Esq.
`
`20.
`
`iipiiii the succegsfui iiiiiiig «Bf a campam/’s docuiiieiii an EDGAR, the
`
`EDGAR gysmm geiiezmteéi a i"€C€3i§3iZ
`
`(eiecii°0n:icaii_y) iiiciicaiiiizg that tiie iii.€:?,‘.(i
`
`d0cii.ii1en‘£ was “"acc>ap‘ii;“2d’°" fur iiiing ‘Wiiii iiiéf SEC.
`
`22.
`
`iiaiimwing acceptance aftiie iiiied dcciimeiii an EDGAR, the
`
`dacummit is pu.%iii:iy avaiiaiiia an the SEC ii1:ie:i‘iieiweiisiie wiiiiiiti 24 m 48 iimira
`
`cf iiiing. {SEC iieieasa N0. 33-»'74’?2f;, 34~—39269]. Subscribers is EDGA.i?, Pubiic
`
`Dissemiitiaiiiion Services m-<:€i.v<-2 the fiiiizg im.me=diaieiy upan accepiance. Once
`
`pubiisiy avaiiabis, the dacuiiieiii (ii) wiii be éeegmeii “iiied” for SEC pilZ‘p0S€S; and.
`
`(ii) wiii be ieadiiy aiitcessiisie ei@cimi1icai.iy by persans seeking accegs £0 that
`
`deaument.
`
`22.
`
`Buczumeitits submiiied %ié:Tu‘CEi“QiTB.i£.3&iiiy via EDGAR, mice posted for
`
`pufiiic aieccess, are searciiabie LiSiI’.ig any nuinber of i,d€3i.‘iiifi€.i‘i‘S
`
`iiiciudingz company
`
`name, accfigsien flumiflflf, farm type, p€.i?‘iOd,
`
`fiiing date, i.i€S iiumber, fiie number,
`
`film num.b«:2i°, business address, piibiic daizumeni Ccsilfli, assigiiefi standard iflduS’{.i"ic9;i.
`
`cia55iii_caii0n (SIC), and cumpaiiy ceiifirai index key (Cii-3:).
`
`123.
`
`Upoii id d0C'uH1€Ei.ii’S iiiiing with iiie SEC and €iiSS€i’i‘iiflaii0i‘§
`
`‘:0 the
`
`pi.ibii.i.c by EDGAR, a. perswn is sntiiieii iii ifeiy an the discimsures set ibrih .i3”iii‘1.‘:1i
`
`diacumieiiiii
`
`
`
`081Pt1a,rtt2acetttt§<:atstttc. 1998 it}K«~Dectat°a.ti0n 0fLa‘ttt”t3‘;t1C€ S. Lem, Esq.
`
`EV“
`
`StJ'Mtt’tA§R;"Tt.’ fit? ®Pt‘Ntt}N§
`
`24.
`
`Based an my professtcttai ktmwtedge, it is my Qpifltfln ttttat USPS
`
`ttttttttat repatt tm Fotttt §@-K fat its fiacat year ended. Se:ptat‘3;tbt%:t° 38, 3.998, was filed
`
`e1e$t:t’0nic>atty using the EDGAR system an Decem'ber 23, W198, and was
`
`dissmtaimted t0 the pttbttc via EDGAR Within 24 ‘£0 48 tttmts «cf its fiiing.
`
`A-B
`
`tfttttctttstmt
`
`25.
`
`in V3t€‘W’ at that f0mg0>Zn_g, I ttmmf0t's ctmc.t_t:d«:-,2 that, as ofthe last ‘weetq
`
`0:57 December 29:98, any pe:°s0t1c0u§dthave: accessed t)St’s attttuat report an Farnt
`
`30«~K fat" its ftscat year endtzd Septmnbet 30, 1998 t1St.t’tg“th€ EDGAR system wi.t_tzin
`
`24» ta 4% hottts of, Decentbet‘ 223, 1998.
`
`1 declare 't§t1d€t‘pf31Tta3’i:y’ of parjttty that the t7omg«0.tn.g is true and cerrect.
`
`I
`
`:ft:tt'thet‘dec1am that gait statements made: hfirfittl of my awn kttawftedge are true and
`
`that ati statements made on tnt’mt°t:rtati.0n and betiet‘ are betievett ta "be true; and
`
`fu.t.”?,h€t”"£hE1”tZtZhfiS€
`
`statements were made w.ttt1 the knawkttge that wiitfttt fattsa
`
`statements and the tika S0 made are putttattabttz by fiat: 0t"i_t?flp1°iS0t1flTl€3>t}t, Gt“ both,
`
`under Sectimt 1901 of Title E8 ofthe Unitfid States Cmée,
`
`Executed 011: May 24, 2&6
`
`-
`
`t.,a;t:t‘ettc€ 8. Less, Esq.
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