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UNITED STATES pATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`www .uspto.gov
`
`APPLICATION NO.
`
`13/149,468
`
`ISSUE DATE
`
`06/03/2014
`
`PATENT NO.
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`8741963
`
`PAT050279-US-CNT
`
`1536
`
`05/14/2014
`7590
`1095
`NOV ARTIS PHARMACEUTICAL CORPORATION
`INTELLECTUAL PROPERTY DEPARTMENT
`ONE HEALTH PLAZA 433/2
`EAST HANOVER, NJ 07936-1080
`
`The projected patent number and issue date are specified above.
`
`ISSUE NOTIFICATION
`
`Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)
`(application filed on or after May 29, 2000)
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`The Patent Term Adjustment is 21 day(s). Any patent to issue from the above-identified application will
`include an indication of the adjustment on the front page.
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`If a Continued Prosecution Application (CPA) was filed in the above-identified application, the filing date that
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`
`APPLICANT(s) (Please see PAIR WEB site http://pair.uspto.gov for additional applicants):
`
`Peter C. Hiestand, Allschwil, SWITZERLAND;
`Christian Schnell, Hesingue, FRANCE;
`
`The United States represents the largest, most dynamic marketplace in the world and is an unparalleled location
`for business investment, innovation, and commercialization of new technologies. The USA offers tremendous
`resources and advantages for those who invest and manufacture goods here. Through SelectUSA, our nation
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`the world to develop technology, manufacture products, and grow your business, visit SelectUSA.gov.
`
`IR103 (Rev. 10/09)
`
`ARGENTUM EX1010
`
`Page 1
`
`

`

`Approved fJ 3e~fiia~~'~'2o~~:S~%~9
`Receipt date: 09/29/2011
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`n· f'~
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`lldOB
`b
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`Un er the aoeiWOrk R eduction Act of 1995, no ~sons are ~uire dt o res~on d to a co ect1on o 1n ormation unless H contains a va
`M control num er.
`d
`
`Substitute for form 1449/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`{Use as many sheets as necessary)
`I of I
`
`1
`
`2
`
`Sheet
`
`I
`
`ComJ?Iete if Known
`13/149468
`AQQ!ication Number
`Filing Date
`May 31,2011
`Hiestand Peter C. et al.
`First Named Inventor
`Art unit
`Examiner Name
`Attorney Docket Number PAT050279-US-CNT
`
`:::;plvacK
`
`Examiner
`Initials*
`
`Cite
`No.1
`
`/P.S./
`
`Document Number
`Number-Kind Code21""""""1
`
`U.S. PATENT DOCUMENTS
`Publication Date
`Name of Patentee or
`MM-DD-YYYY
`Applicant of Cited Document
`
`US-2006/0046979
`
`03-02-2006
`
`Carolyn Ann Foster et al.
`
`Pages, Columns. Lines, Where
`Relevant Passages or Relevant
`Figures Appear
`
`US-
`
`US-
`
`US-
`
`us-
`us-
`
`US-
`
`us-
`us-
`
`US-
`
`us-
`
`FOREIGN PATENT DOCUMENTS
`Publication Date
`Name of Patentee or
`MM-DD-YYYY
`Applicant of CHed Document
`
`Pages, Columns, Lines,
`Where Relevant Passages or
`Relevant Figures Appear
`
`Cite
`No.'
`
`Foreign Patent Document
`Country Code3 Number' Kind Code5 r<~<nownJ
`wo 20041028521
`wo 20031099192
`wo 20031097028
`wo 20041050073
`wo 20051123104
`
`04-08~ NovartisAG 2004-
`
`12-04-2003
`
`NovartisAG
`
`11-27-~00 f)Novartis AG
`
`06-17-2004
`
`Doosan Corporation
`
`12/2005
`
`Ill!
`
`( l'\ ·~~li ...
`Change
`to docu
`Examiner
`/A.E..M
`/Initials*
`o 1/.W.S./
`)/27/2
`Change
`(~ }/~.81J''ec
`to docu m l~:c I
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`01fP.s;
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`Change(
`to docum 1e-nl:
`
`/S.X.S Examiner
`/Phyllis Spivack/
`Signature
`) / 1 7/201 + *EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw a line through citation if not in conformance
`and not considered. Include copy of this form with the next communication to applicant. 1 Applicant's unique· citation designation number (optional). 2
`See Kind Codes of USPTO Patent Documents at www.uspto.gov or MPEP 901.04. 3 Enter Office that issued the document, by the two-letter code (WIPO
`Standard ST.3). 4 For Japanese patent documents, the indication of the year of the reign of the Emperor must precede the serial number of the patent
`document. 5 Kind of document by the appropriate symbols as indicated on the document under WIPO Standard ST.16 if possible. 6 Applicant is to place
`a check mark here if English language Translation is attached.
`This collection of information is required by 37 CFR 1.97 and 1.98. 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 1.14. This collection is estimated to take 2
`hours 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, 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.
`
`J Date
`Considered 1 03/24i2012
`
`If you need assistance in completing the fOrm, ca/11-800-PT0-91 99 (1-800-786-91 99) and select option 2.
`
`,..
`0
`0
`0
`0
`0
`0
`
`Page 2
`
`

`

`PART B- FEE(S) TRANSMITTAL
`
`Complete and send this form, together with applicable fee(s), to: Mail Mail Stop ISSUE FEE
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
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`or Fax
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`INSTRUCTIONS: This form should be used for transmitting the ISSUE FEE and PUBLICATION FEE (if required). Blocks l through 5 should be completed where
`appropriate. All further correspondence including the Patent, advance orders and notification of maintenance fees will be mailed to the current correspondence address as
`indicated unless corrected below or directed otherwise in Block l, by (a) specifying a new correspondence address; and/or (b) indicating a separate "FEE ADDRESS" for
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`
`CURRENT CORRESPONDENCE ADDRESS (Note: Use Block 1 for any change of address)
`
`1095
`7590
`01/21/2014
`NOV ARTIS PHARMACEUTICAL CORPORATION
`IN1ELLECTUAL PROPERTY DEPARTMENT
`ONE HEALTH PLAZA 10112
`EAST HANOVER, NJ 07936-1080
`
`Note: A certificate of mailing can only be used for domestic mailings of the
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`transmitted to the USPTO (571) 273-2885, on the date indicated below.
`
`(Depositor's name)
`
`(Signature)
`
`(Date)
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`13/149,468
`
`05/3112011
`
`Peter C. Hiestand
`
`P AT050279-US-CNT
`
`1536
`
`TITLE OF INVENTION: SIP RECEPTOR MODULATORS FOR TREATING MUTIPLE SCLEROSIS
`
`APPLN. TYPE
`
`ENTITY STATUS
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE PREV. PAID ISSUE FEE
`
`TOTAL FEE(S) DUE
`
`DATE DUE
`
`nonprovisional
`
`UNDISCOUNTED
`
`$960
`
`$0
`
`$0
`
`$960
`
`04/2112014
`
`EXAMINER
`
`ART UNIT
`
`CLASS-SUBCLASS
`
`WEDDINGTON, KEVIN E
`
`1629
`
`514-667000
`
`l. Change of correspondence address or indication of "Fee Address" (37
`CFR 1.363).
`0 Change of correspondence address (or Change of Correspondence
`Address form PTO/SB/122) attached.
`0 "Fee Address" indication (or "Fee Address" Indication form
`PTO/SB/47; Rev 03-02 or more recent) attached. Use of a Customer
`Number is required.
`
`2. For printing on the patent front page, list
`( l) The names of up to 3 registered patent attorneys
`or agents OR, alternatively,
`(2) The name of a single firm (having as a member a
`registered attorney or agent) and the names of up to
`2 registered patent attorneys or agents. If no name is
`listed, no name will be printed.
`
`1 Andrew Holmes
`
`2 ________________________ _
`
`3 ________________________ _
`
`3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
`PLEASE NOTE: Unless an assignee is identified below, no assignee data will appear on the patent. If an assignee is identified below, the document has been filed for
`recordation as set forth in 37 CFR 3.11. Completion of this form is NOT a substitute for filing an assignment.
`(B) RESIDENCE: (CITY and STATE OR COUNTRY)
`(A) NAME OF ASSIGNEE
`Basel, CH
`
`Novartis AG
`Please check the appropriate assignee category or categories (will not be printed on the patent) : 0 Individual C.::.. Corporation or other private group entity 0 Government
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`4a. The following fee(s) are submitted:
`:J Issue Fee
`~Publication Fee (No small entity discount permitted)
`0 Advance Order-# of Copies __ __ ___ __ _
`
`5. Change in Entity Status (from status indicated above)
`0 Applicant certifying micro entity status. See 37 CFR 1.29
`0 Applicant asserting small entity status. See 37 CFR 1.27
`0 Applicant changing to regular undiscounted fee status.
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`4b. Payment ofFee(s): (Please first reapply any previously paid issue fee shown above)
`0 A check is enclosed.
`0 Payment by credit card. Form PT0-2038 is attached.
`~The Director is hereby authorized to charge \fficft~~ired fee(s), any deficiency, or credits any
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`overpayment, to Deposit Account Number
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`NOTE: Absent a valid certification of Micro Entity Status (see forms PTO/SB/l5A and l5B), issue
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`NOTE: If the application was previously under micro entity status, checking this box will be taken
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`NOTE: Checking this box will be taken to be a notification of loss of entitlement to small or micro
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`
`NOTE: This form must be signed in accordance with 37 CFR 1.31 and 1.33. See 37 CFR 1.4 for signature requirements and certifications.
`April 21, 2014
`I Andrew Holmes I
`Date ____________________ _
`Authorized Signature ______________________ _
`Registration No. _5_1_8 __ 1_3 ____________________ _
`Typed or printed name __ A_n__cd:_r_e:_w __ H_oc__l m__:e:_s=-------------
`
`PTOL-85 Part B (10-13) Approved for use through 10/3112013.
`
`OMB 0651-0033
`
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`
`Page 2 of3
`
`Page 3
`
`

`

`Electronic Patent Application Fee Transmittal
`
`Application Number:
`
`Filing Date:
`
`13149468
`
`31-May-2011
`
`Title of Invention:
`
`S1 PRECEPTOR MODULATORS FOR TREATING MUTIPLE SCLEROSIS
`
`First Named Inventor/Applicant Name:
`
`Peter C. Hiestand
`
`Filer:
`
`Andrew K. Holmes/Angel Matos
`
`Attorney Docket Number:
`
`PAT050279-US-CNT
`
`Filed as Large Entity
`
`Utility under 35 USC 111 (a) Filing Fees
`
`Description
`
`Fee Code
`
`Quantity
`
`Amount
`
`Sub-Total in
`USD($)
`
`Basic Filing:
`
`Pages:
`
`Claims:
`
`Miscellaneous-Filing:
`
`Petition:
`
`Patent-Appeals-and-Interference:
`
`Post-Allowance-and-Post-Issuance:
`
`Utility Appllssue Fee
`
`1501
`
`1
`
`960
`
`960
`
`Extension-of-Time:
`
`Page 4
`
`

`

`Description
`
`Fee Code
`
`Quantity
`
`Amount
`
`Sub-Total in
`USD($)
`
`Miscellaneous:
`
`Total in USD ($)
`
`960
`
`Page 5
`
`

`

`Electronic Acknowledgement Receipt
`
`EFSID:
`
`Application Number:
`
`18814595
`
`13149468
`
`International Application Number:
`
`Confirmation Number:
`
`1536
`
`Title of Invention:
`
`S1 PRECEPTOR MODULATORS FOR TREATING MUTIPLE SCLEROSIS
`
`First Named Inventor/Applicant Name:
`
`Peter C. Hiestand
`
`Customer Number:
`
`1095
`
`Filer:
`
`Andrew K. Holmes/Angel Matos
`
`Filer Authorized By:
`
`Andrew K. Holmes
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`Attorney Docket Number:
`
`PAT050279-US-CNT
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`Receipt Date:
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`Filing Date:
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`TimeStamp:
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`21-APR-2014
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`31-MAY-2011
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`14:55:17
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`Application Type:
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`Utility under 35 USC 111 (a)
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`Payment information:
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`Submitted with Payment
`
`Payment Type
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`Payment was successfully received in RAM
`
`RAM confirmation Number
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`Deposit Account
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`Authorized User
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`yes
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`Deposit Account
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`$960
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`1125
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`190134
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`The Director of the USPTO is hereby authorized to charge indicated fees and credit any overpayment as follows:
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`Charge any Additional Fees required under 37 C.F.R. Section 1.16 (National application filing, search, and examination fees)
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`Page 6
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`Charge any Additional Fees required under 37 C.F.R. Section 1.19 (Document supply fees)
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`SIGNED_PAT050279-US-CNT-
`Issue-Fee-Trans.pdf
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`File Size( Bytes)/
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`Multi
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`(ifappl.)
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`90796
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`no
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`1
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`bf772
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`Information:
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`2
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`Fee Worksheet (SB06)
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`fee-info. pdf
`
`no
`
`2
`
`30328
`
`bdb6837 cl ca 1 bd 1faab2924fbf12be490e3
`9130
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`Information:
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`Total Files Size (in bytes)
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`121124
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`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
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`New A~~lications Under 35 U.S.C. 111
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`National Stage of an International A~~lication under 35 U.S.C. 371
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`national stage submission under 35 U.S.C. 371 will be issued in addition to the Filing Receipt, in due course.
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`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
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`
`Page 7
`
`

`

`"
`·Receipt date: 09/29/2011
`l.h:fer.,.
`
`Bublllllo.tt. for tom\ i.WIIIPTO
`
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`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`(U.. .. mtlny .,..,. . . ~at)'}
`·I at I
`
`ShMt
`
`l
`
`1
`
`Complete II Known
`I Application Number
`t31t49<1e8
`Flllna Date
`Mav 31 2011
`Hleltllncl Peter c. et al.
`Flnrt Named lnven
`Art unit
`Ex.amlner N.,..
`Number PAT050279-US.CNT
`
`:::;p~vac.:K
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`'EXAMINER: lnlllallf " " - OOI'IIIclllnKt, whelller or not dllllic:wlla In conformanclt w11b MPEP ec». Dt8W a 111'111 tllmUOh clldon It not In ~
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`See Kind Coclalllf Ut>PTO .......,. Docll.tmtlnta lit -·UIPID·IICW or W'EP IOUM. Enllar Oftlr;ieltlll iMulcf 1118 docUment. lly 1118 two-lttter codo (WI PO
`SWidilrd ST.3). 4 For J41pan- pllellt doc;:urneniiJ, 1M lndloaUon or lite YNr of lhe reign r1 the EmpeR:Ir muat ~the tallellll.lll'lb4lr of the palltnt
`dQCUIIIOIInt • Klncl Gldocu!Mnl bV 1118 tlppi'Oprfetu)'fl'lbolllatlndloltod on lhe d~ undarWIPO :staMald ST.1811 poldlle. • Applicant IUoplac&
`• chedc nlilllt< ' - llinvflooh ~ Tntnlllatlan Ia dllcitled.
`'1"11111 aolledion d lni'OI'malion le rwqulrwd ~ '37 CFR UJT Wid 1 .88. The lr'torrnilllcwl ie AlqUirl!ld ID OOtaln or retain a ~nefti ~ !he publlo which It to lite
`(and by the U$PTO ID . , - ) an IIJIPIII:Ietfon. Confidenlia~ Ia ~ ~ H U.S.C. 122 and '¥1 CFR 1.14. UU. ooUI!Qijon II ednlatad lo lakll 2
`I\OUfa to ccmplete, inc11J1.1111C1 Cllll.herint. pniJIIr1no, 8lld lllbmlt!lnQ !he oomple!Dd awllcalkln rorrn to me USPTO. T1n"te wtll vary depending upon the
`lndllldulll C8H. Pnt -w Qllfle VIIOII'II or lime )'OU reQUire to oomp~~M lhie form andfor 111 sa 1 Ucne for rwduc:rQ thlll bunlen, thWd be Ant lo the
`Chlaf lnft;)ml8llon ~. U.S. PllllMlt and Tradernatk OII"IC8, P.O. Box 1460, Alexandria, VA 22318-1450. 00 NOT SEND FEES OR COMPLETED
`FORMS TO THIS ADDRESS. 8IINO TO: CommiMionerfor ............ .0. Box 1410, Alaundrta, VA 2231M4fQ.
`It JIOIII'HHICI ~ 11'1 ~glha ttxm. 011111-11QQ-PT'O.fl1f/Q (1-f/OO-TfiO.Q1W) III'KI N111Dt optiotl 2.
`
`Page 8
`
`

`

`•
`
`"
`'Receipt date: 09/29/201.1 ..
`Unclltllllt_.._.. ..... Nt1111tN no-.w-,_....lol'l oondlv•
`
`BUtlltllullt tor !1o1m 1<4411PTC
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`
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`STATEMENT BY APPLICANT
`(u..- 1N1JY .,._a MOl...,
`1.or
`I ·
`
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`I
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`131149468
`Mav31 2011
`Hiestand Peter C. et al.
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`L.aMontaune !<. .,Antag~ otSphillgOIII'Ie-1-Pholphate Reoeptca by F1Y720 Inhibits Anglogeneals .. "
`C8noor Rleearoh, Jan 2008, 86, 221·231. .,._
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`Hla. T •• Phyalologlcel and pathological actions of sphlngoelne 1~· seminars In Cell & Developmental
`Biology, Oct 2004, 16(5), 513-620.
`; . .
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`Kappoa I. et al • .FTY720 In ~~~~ MS .... • 23.06.2006 online ~found 02.06.2011)
`URL:ttttp:/iiNww.~comlprlntverslanllndax.php?anrs10~ .
`Ho J.VfM· • Effeel8 of a novel immuncmodulatlng agent." Molecular cancer lheraputica, 2005 Set. 4(9),
`
`•
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`1430-1
`vnty D.J. -uwvttopfng ~ fof the 't!W1ment of ITII.IIIlPilt Klei"'Oia. • Joum11 of American Society for
`Experlmental Neuro Therapeuttca. Oct 2005, 2, 638-649.
`http://pubget.comlpaper/1648e371
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`"EXAMINER; lnllillllf l'llllllwl1e QQIIIkllnd. IMI8Chlr or nol Cltlllon II In~ with MPEP iloe. D- • llnlt tlvough dldorlll' not In conklrmanr.l8
`and not OCII1IIicllllld blludl ~ of IIIII fol'm Willi tNt tWlrt ~unleatlon b lppllolnt.
`fii.PJJI-.r• U1'11qw ~ der'gllllkln I'IUII1t* (QPIIonll). ~lito!>*- 1 chack m.illlln If' Englillh ~ Tm>Ntion Ill llll8c:hlld.
`Till• c:olldon otlnfcnnlllan llllllqUII'Id ~ 37 CFR 1.e&. TMintoomllllon 111'8ql1Qd ID abtail or Nllln • r.neM by IIMt publlo wnlc:h Ia to file (and by 1111t
`USPTO 10 PIQOIU) an applciiiDI!. C~ II ~ by 35 U.S.C. 122 and 17 CFR 1.1<1. 1hla collldJGn II 4llllmllled 10 111ks 2 l'llll.o 1D
`QOI11JIIeiiJ. lnGIUIIInll llllhlrlniL PI'IPIItiV. IIICII!Jtlml~ 1M ce»npptlllld ~ 1'0!m to IN UIIPTO. 1lmt Will V1!Y cllpendjng upgn tie Individual
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`1nrorma11on Oftlclr, U.S. l"eelllnl .00 Tllldemllrk OIIICII, P.O. Bax 1-450, Aluandml, VA 2231!-1-4&0. DO NOT SEND FEES OR COMPLETED FORMS TO
`THI8ADDRE8S. 811H010: Comlllllalanllrfor~ P.O. Boii1.UO,Aiitxlndrilt, VAUS'IJ-1<110..
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`"
`·Receipt date: 09/29/2011
`Under the P-rwork Reducllon Act of 19915 no Dei1IOntl 818 reaulred to reeoond iO a colecliOn of int'ormation unleals II ccrrtaln8 a valid OMB control number.
`
`Subatilute for form 14411/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`(Use,.. mMy meet.,.. ,....aryJ
`
`Sheet
`
`I
`
`1
`
`I ot I
`
`2
`
`Complete if Known
`I Aoolication Number
`131149468
`Filing Cate
`Mav31 2011
`Hiestand Peter c. et al.
`Fim Named Inventor
`Art unit
`Examiner Name
`Attorney Oo<*et Number PAT050279-lJ8-CNT
`
`::SplVaCK
`
`E>camlner
`Cite
`~ No.'
`
`/P.S./
`
`Oocument N!ftlber
`Number-Kind Code''"'-
`US-200610046979
`
`U.S. PATENT DOCUMENTS
`Name of Palen!H <>r
`Publication Oat.
`MM-DO-YYYY
`Appffcant ot CiWd Oocumant
`
`03-02-2006
`
`Carolyn Ann Foster et al.
`
`P-•. Columna, l.ltles. Where
`Relevan:::;.,~elev!l<ll
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`US-
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`US-
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`FcniQn Paten! OCCUment
`COoJnlry Code' Numb«' l<ind Code0 ~"-
`wo 2004/028521
`wo 200310&9192
`wo 20031097028
`wo 20041060073
`wo 20051123104
`
`FOREIGN PATENT DOCUMENTS
`Name OfPatenlet or
`PubllcaUcn Dale
`MM-Dil-YVYY
`Applk>ant Ill Cllo<l ~nl
`
`04-DS-2008
`
`NovartieAG
`
`12-04-2003
`
`NovartlaAG
`
`11-27-203
`
`NovartlaAG
`
`00..17-2004
`
`Doosan Corporation
`
`:
`
`Edrni>er
`lnihtf•
`
`CillO
`No.'
`
`/P .8./
`/P .8./
`/P.S./
`/P.8./
`/P .8./
`
`Pages, Cotumm1, LinM,
`WlltA~ Rtiovll!ll PIBMVft Ql"
`ReleVIln! Figures Aj)pear
`
`i
`
`l"
`0
`0
`0
`0
`0
`0
`
`Date
`/Phyllis Spivack/
`Considered
`•EXAMINER: Initial If ntfa1'1111C8 considered, whether or not citation Is In conformance with MPEP 809. Draw a line thrtll.lgh citation It not in conformance
`aoo not considered. lnciuOe oopy of this form with the next c;ommunk:allon to applicant 1 Applicant's unique· citation deBI;natlon number (optional). z
`See Kind Codetl of USPTO ~ Oocumenla at WWN.uapfD.gov or MPEP 901.04. 3 Enter Ofllce that laaued the doeumant, by the two-latter code (WIPO
`Standard ST.3). • For Japan- patent doeumenta, the indication of the year of the rslgn Of the Emperor must precede the aerial number of the patent
`document. ' Kind of dOcUment by the appropriate aymbole as IndiCated on the document under WIPO Standard ST.16 If possible. • Applicant is to place
`a chaek mali< hera if Englleh language Tnmslatlan Is attached.
`This colledion of Information 1$ required by 37 CFA 1.97 snd 1.98. The information Ia required to Obtain or retain a benefit by the publio which Is to file
`(and by the USPTO to proc:eaa) an appUcatlon. Confidentiality Is governed by 35 u.s.c. 122 and 37 CFR 1.14. Thl• colleotion 111 estimated to take 2
`hollra to compid, InclUding gath!Jfing, Pf8paling, and submitting the completed application form to lfle USPTO. Time will vary depending upon the
`Individual case. Any oomrnentll on the amount of timiS you require to complete this form and/or suggestions for reduc:lng thle burden, should be sent to the
`Chief InfOrmation Officer, U.S. Patent and Tl8dem91k Office, P.O. Box 1450, Alexandria, VA 22313-1450. 00 NOT SEND FEES OR COMPLETED
`FORMS TO THIS ADDRESS. SEND TO: CommJMJoner for Patents, P.O. Box 14CIO, Alexandria, VA 22313-14CIO.
`"you need~~~ In completing ths form, call 1-'800-PTO-fil11n (1-'800-786-91 fil9) snd l!lfi/#K;t option 2.
`
`03/24/2012
`
`Page 10
`
`

`

`'Receipt date: 09/29/2011
`Under the,._~ ReduciiOn Ad. of 19115 no Der801'18 -
`
`Sublllllule for ronn 1449/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`(V.. • mliiJY .,..,. u neceuary}
`I of
`
`I
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`2
`
`Sheet
`
`I
`
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`
`lllli8H It contllns a vaiiCI OMB control number.
`
`I
`' IE"''on Numbe•
`
`Com~lete If Known
`13/149468
`May 31 2011
`Hiestand Peter C. et al.
`
`Date
`Named Inventor
`Art unit
`Examiner Name
`Attorney Docket Number PAT050279-US.CNT
`
`Exllmlner
`lnlllals"
`
`Cite
`No.'
`
`P.S./
`
`/P.S./
`
`/P.S./
`
`/P.S./
`
`/P.S./
`
`......
`
`'
`
`'
`
`NON PATENT LITERATURE DOCUMENTS
`Jnolude neme of lhe author (In OAPIT AI. lETTERS), 81le of the IU1lcle (When IIPPfOPII8bl}, -
`of the 118m (book, magaln., jouinal, ..W, aympo~lum,
`callllog, *>· elate, page(s), \IOiun1HI8ue number( I), publlaher, city and/or coumry whent publlahed.
`...
`.
`.....
`•
`'
`LaMontagne K .,Antagonism of Sphlngoslne'-1-Phosphate Reoeptora by FTY720 Inhibits Angiogenesis .. •
`Cancer Research Jan 2006 66 221-231. --
`Hla. T .• Physiological and pathological actions of sphingosine 1;>hosphate• Seminara in Cell & Developmental 0
`Biology, Oct 2004, 15(5), 513-520.
`' ·
`··
`Kappoe Let al .• FTV720 in relapsing MS .... • 23.06.2005 online (found 02,06.2011)
`URL:http:/lwww.ms-ln-europe.oom/prlntversion/index.php?anr=105&cnr=41>
`Ho J.W et al •• Effects of a novel immunomodulatlng agent . ." Molecular cancer theraputica, 2005 Set, 4(9),
`1430-1438.Found:
`Virely D.J. "Developing therapeutics for the treatment of multiple selerosis. • Journal of American Society for
`Experimental Neuro Therapeutics. Oct 2005, 2, 638-649.
`http:l/pubget.com/paper/16489371
`
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`
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`Examiner
`1 Date
`/Phyllis Spivack!
`1 o3/24/2o 12
`Considered
`Signature
`"EXAMINER: Initial if reference considered, whether or not Cltallon Is In eontormanc::e with MPEP 609. D,_ a line through cltallon If not In contonnance
`~nd not COI18k:lenild. lndude copy of lhla form with the next communic:atioo Ia applloant.
`Appllcanra unique c11a110n designation number {optional). "Applicant Ia to place a check mark here If English language T111n81atlon le atla<:he<!.
`Tille coDection of Information Is required by 37 CFR 1.98. The InfOrmation is required to obtain or retain a benefit by the public which is to file (and by the
`USPTO to (li'OC:IIII8) an application. Confidentiality Ia governed by 35 u.s.c. 122 and 37 CFR 1.14. Thla collectlon !a estimated to take 2 houlll to
`complete. Including gathering, PI'I!IPitr11'10. and aUbmiWng tl'le completed application form to the USPTO. nne wttt vary depending upon the Individual
`ease. Any commen111 on the amount ot time you require to complete this form and/or 11U90e&tlone for reduc:ing this burden, 8hould be sent to the Chief
`lnfonnatlon O!f1C81', U.S. PaiBnt and Trademark Office, P.O. Box 1460, Alexandrla, VA 22313-1460. DO NOT SEND FEES OR COMPLETED FORMS TO
`THIS ADDRESS. SI!NO TO: Comml .. lonar for Patents, P.O. Box 1410, Alexandria, VA Z23t3-1410.
`"you nHd IJII4/8tafl091n comp/Btillfl the form, ca" 1-Boo-PTO-ataa (1·B00-7eu1QQ) and select opt/on 2.
`
`Page 11
`
`

`

`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexnndria, Virginiall) 1)-1450
`www.uspto.gov
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`13/149,468
`
`05/31/2011
`
`Peter C. Hiestand
`
`PAT050279-US-CNT
`
`1536
`
`03/24/2014
`7590
`NOVARTIS PHARMACEUTICAL CORPORATION
`INTELLECTUAL PROPERTY DEPARTMENT
`ONE HEALTH PLAZA 101/2
`EAST HANOVER, NJ 07936-1080
`
`EXAMINER
`
`WEDDINGTON, KEVIN E
`
`ART UNIT
`
`PAPER NUMBER
`
`1629
`
`DATE MAILED: 03/24/2014
`
`PRIORITY ACKNOWLEDGMENT
`
`0
`
`1. Recei{?t is acknowledged ofpriority papers submitted under 35 U.S.C. 119. The papers have been
`placed of record in the file.
`
`~\.l p lican. t's cia·.
`
`for priorit)', based on papers filed in parent Application Number
`--=,._.,...,.....,_~,t....:....<'-- submitted under 35 U.S.C. 119, is acknowledged.
`
`0 3. The priority papers, submitted
`0 acknowledged
`While the priority claim or certified copy filed will be placed in the file record, neither will be
`reviewed and the patent when published will not include the priority claim.
`See 37 CFR 1.55(a)(2).
`0 not acknowledged since the processing fee in 37 CFR 1.17(i) has not been received.
`
`, after payment of the issue fee are
`
`0 4. For utility and plant applications filed on or after November 29, 2000, the priority claim is not
`entered because the claim was not presented within the time limit required by 37 CFR 1.55(a)(l).
`A petition to accept a delayed claim for priority under 35 U.S.C. 119(a)- (d) or (f), or 365(a) may be
`filed. See 37 CFR 1.55(c) and MPEP 201.14(a).
`
`~!:1£:
`
`Application Assistance Unit
`Office of Data Management
`
`PTOL-147 (Rev. 03/08)
`
`Page 1 of 1
`
`Page 12
`
`

`

`UNITED STA 1ES p A 1ENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`www.uspto.gov
`
`NOTICE OF ALLOWANCE AND FEE(S) DUE
`
`1095
`7590
`01/21/2014
`NOV ARTIS PHARMACEUTICAL CORPORATION
`IN1ELLECTUAL PROPERTY DEPARTMENT
`ONE HEALTH PLAZA 10112
`EAST HANOVER, NJ 07936-1080
`
`EXAMINER
`
`WEDDINGTON, KEVIN E
`
`ART UNIT
`
`PAPER NUMBER
`
`1629
`
`DATE MAILED: 0112112014
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`13/149,468
`
`05/3112011
`
`Peter C Hiestand
`
`PAT050279-US-CNT
`
`1536
`
`TITLE OF INVENTION: S1P RECEPTOR MODULATORS FOR TREATING MUTIPLE SCLEROSIS
`
`APPLN. TYPE
`
`ENTITY STATUS
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE PREV. PAID ISSUE FEE
`
`TOTAL FEE(S) DUE
`
`DATE DUE
`
`nonprovisiona1
`
`UNDISCOUNTED
`
`$960
`
`$0
`
`$0
`
`$960
`
`04/2112014
`
`THE APPLICATION IDENTIFIED ABOVE HAS BEEN EXAMINED AND IS ALLOWED FOR ISSUANCE AS A PATENT.
`PROSECUTION ON THE MERITS IS CLOSED. THIS NOTICE OF ALLOWANCE IS NOT A GRANT OF PATENT RIGHTS.
`THIS APPLICATION IS SUBJECT TO WITHDRAWAL FROM ISSUE AT THE INITIATIVE OF THE OFFICE OR UPON
`PETITION BY THE APPLICANT. SEE 37 CFR 1.313 AND MPEP 1308.
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`HOW TO REPLY TO THIS NOTICE:
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`L Review the ENTITY STATUS shown above, If the ENTITY STATUS is shown as SMALL or MICRO, verify whether entitlement to that
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`IL PART B- FEE(S) TRANSMITTAL, or its equivalent, must be completed and returned to the United States Patent and Trademark Office
`(USPTO) with your ISSUE FEE and PUBLICATION FEE (if required), If you a

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