`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and TrademarkOffice
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`www .uspto.g:
`Alexandria, Virginia 22313-1450
`
`APPLICATION NO.
`
`11/505,591
`
`ISSUE DATE
`
`08/03/2010
`
`PATENT NO.
`
`ATTORNEY DOCKETNO.
`
`CONFIRMATION NO.
`
`7167657
`
`064507-5014US01
`
`5739
`
`43850
`
`7590
`
`07/14/2010
`
`MORGAN, LEWIS & BOCKIUS LLP(SF)
`One Market, Spear Street Tower, Suite 2800
`San Francisco, CA 94105
`
`The projected patent numberandissue 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)
`
`The Patent Term Adjustment is 348 day(s). Any patent to issue from the above-identified application will
`include an indication of the adjustment on the front page.
`
`If a Continued Prosecution Application (CPA) wasfiled in the above-identified application, the filing date that
`determines Patent Term Adjustmentis the filing date of the most recent CPA.
`
`Applicant will be able to obtain more detailed information by accessing the Patent Application Information
`Retrieval (PAIR) WEBsite (http://pair-uspto. gov).
`
`Any questions regarding the Patent Term Extension or Adjustment determination should be directed to the
`Office of Patent Legal Administration at (571)-272-7702. Questions relating to issue and publication fee
`payments should be directed to the Application Assistance Unit (AAU) of the Office of Data Management
`(ODM)at (571)-272-4200.
`
`APPLICANT(s) (Please see PAIR WEBsite http://pair.uspto.gov for additional applicants):
`
`Stephen J. Baker, Mountain View, CA;
`Tsutomu Akama, Sunnyvale, CA;
`Vincent S. Hernandez, Watsonville, CA;
`Karin M. Hold, Belmont, CA;
`Jacob J. Plattner, Orinda, CA;
`Virginia Sanders, San Francisco, CA;
`Yong-Kang Zhang, San Jose, CA;
`Kirk R. Maples, San Jose, CA;
`Gregory T. Fieldson, Morgantown, WV;
`
`IR103 (Rev. 10/09)
`
`FlatWing Ex. 1016, p.
`
`1
`
`FlatWing Ex. 1016, p. 1
`
`

`

`
`
`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
`
`NOTICE OF ALLOWANCE AND FEE(S) DUE
`
`MORGAN,LEWIS & BOCKIUS LLP (SF)
`One Market, Spear Street Tower, Suite 2800
`San Francisco, CA 94105
`
`SHIAO,REI TSANG
`
`1626
`DATE MAILED: 08/07/2009
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKETNO.
`
`CONFIRMATIONNO.
`
`08/16/2006
`11/505,591
`TITLE OF INVENTION: BORON-CONTAINING SMALL MOLECULES
`
`Stephen J. Baker
`
`064507-5014US01
`
`5739
`
`
`
`
`
`
`
`APPLN. TYPE PUBLICATION FEE DUE|PREV. PAID ISSUE FEESMALL ENTITY ISSUE FEE DUE TOTAL FEE(S) DUE DATE DUE
`
`
`
`
`
`nonprovisional
`
`YES
`
`$755
`
`$300
`
`$0
`
`$1055
`
`11/09/2009
`
`THE APPLICATION IDENTIFIED ABOVE HAS BEEN EXAMINED AND IS ALLOWED FOR ISSUANCE AS A PATENT.
`PROSECUTION ON THE MERITSIS CLOSED. THIS NOTICE OF ALLOWANCEIS 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.
`
`THE ISSUE FEE AND PUBLICATION FEE (IF REQUIRED) MUST BE PAID WITHIN THREE MONTHS FROM THE
`MAILING DATE OF THIS NOTICE OR THIS APPLICATION SHALL BE REGARDED AS ABANDONED.—THIS
`STATUTORY PERIOD CANNOT BE EXTENDED.
`SEE 35 U.S.C. 151. THE ISSUE FEE DUE INDICATED ABOVE DOES
`NOT REFLECT A CREDIT FOR ANY PREVIOUSLY PAID ISSUE FEE IN THIS APPLICATION.
`IF AN ISSUE FEE HAS
`PREVIOUSLY BEEN PAID IN THIS APPLICATION (AS SHOWN ABOVE), THE RETURN OF PART B OF THIS FORM
`WILL BE CONSIDERED A REQUEST TO REAPPLY THE PREVIOUSLY PAID ISSUE FEE TOWARD THE ISSUE FEE NOW
`DUE.
`
`HOW TO REPLYTO THIS NOTICE:
`
`I. Review the SMALL ENTITYstatus shown above.
`
`If the SMALL ENTITYis shown as YES, verify your current
`SMALL ENTITYstatus:
`
`If the SMALL ENTITYis shown as NO:
`
`A. If the status is the same, pay the TOTAL FEE(S) DUE shown
`above.
`
`A. Pay TOTAL FEE(S) DUE shownabove, or
`
`B. If the status above is to be removed, check box 5b on Part B -
`Fee(s) Transmittal and pay the PUBLICATION FEE (if required)
`and twice the amount of the ISSUE FEE shown above,or
`
`B. If applicant claimed SMALL ENTITYstatus before, or is now
`claiming SMALL ENTITYstatus, check box 5a on Part B - Fee(s)
`Transmittal and pay the PUBLICATION FEE (if required) and 1/2
`the ISSUE FEE shown above.
`
`II. PART B - FEE(S) TRANSMITTAL,orits 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 are charging the fee(s) to your deposit account, section "4b"
`of Part B - Fee(s) Transmittal should be completed and an extra copy of the form should be submitted. If an equivalent of Part B is filed, a
`request to reapply a previously paid issue fee must be clearly made, and delays in processing may occur due to the difficulty in recognizing
`the paper as an equivalentof Part B.
`
`IH. All communications regarding this application must give the application number. Please direct all communications prior to issuance to
`Mail Stop ISSUE FEE unless advisedto the contrary.
`
`IMPORTANT REMINDER: Utility patents issuing on applications filed on or after Dec. 12, 1980 may require payment of
`maintenancefees. It is patentee's responsibility to ensure timely payment of maintenance fees when due.
`
`PTOL-85 (Rev. 08/07) Approved for use through 08/31/2010.
`
`Page 1 of 3
`
`FlatWing Ex. 1016, p. 2
`
`FlatWing Ex. 1016, p. 2
`
`

`

`PART B - FEE(S) TRANSMITTAL
`
`Complete and sendthis form, together with applicablefee(s), to: Mail Mail Stop ISSUE FEE
`Commissioner for Patents
`P.O. Box 1
`Alecandvia Virginia 22313-1450
`
`or Fax (571)-273-2885
`through 5 should be completed where
`INSTRUCTIONS: This form should be used for transmitting the ISSUE FEE and PUBLICATION FEE(if required). Blocks 1
`ppropriate. 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 1, by (a) specifying a new correspondence address; and/or (b) indicating a separate "FEE ADDRESS" for
`maintenance fee notifications.
`CURRENT CORRESPONDENCE ADDRESS(Note: Use Block 1 for any changeof address)
`
`43850
`7590
`08/07/2009
`MORGAN, LEWIS & BOCKIUS LLP (SF)
`‘
`One Market, Spear Street Tower, Suite 2800
`San Francisco, CA 94105
`
`can only be used for domestic mailings of the
`Note: A certificate of mailing
`Fee(s) Transmittal. This certificate cannot be used for any other accompanying
`papers. Each additional paper, such as an assignment or formal drawing, must
`ave its own certificate of mailing or transmission.
`Certificate of Mailing or Transmission
`I hereby certify that thisFee(s) Transmittal is being depositedpith the United
`States Postal Service with
`sufficient postage for
`first class mail
`in an envelope
`addressed to the Mail Stop ISSUE FEE address above, or being facsimile
`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 DOCKETNO.
`
`CONFIRMATIONNO.
`
`08/16/2006
`11/505,591
`TITLE OF INVENTION: BORON-CONTAINING SMALL MOLECULES
`
`Stephen J. Baker
`
`064507-5014US01
`
`5739
`
`
`
`
`
`
`
`APPLN. TYPE PUBLICATION FEE DUE|PREV. PAID ISSUE FEESMALL ENTITY ISSUE FEE DUE TOTAL FEE(S) DUE DATE DUE
`
`
`
`
`
`nonprovisional
`
`EXAMINER
`
`SHIAO, REI TSANG
`
`$755
`
`ART UNIT
`
`1626
`
`1. Change of correspondence address or indication of "Fee Address” (37
`CFR 1.363).
`
`Lj Change of correspondence address (or Change of Correspondence
`Address form PTO/SB/122) attached.
`LI "Fee Address" indication (or "Fee Address” Indication form
`PTO/SB/47; Rev 03-02 or more recent) attached. Use of a Customer
`Numberis required.
`
`$300
`
`CLASS-SUBCLASS
`
`$1055
`
`11/09/2009
`
`514-064000
`
`
`
`2. For printing on the patentfront page,list
`(1) the names of up to 3 registered patent attorneys
`or agents OR,alternatively,
`(2) the name ofa single firm (having as a member a
`2
`registered attorney or agent) and the namesof up to
`2 registered patent attorneys or agents. If no nameis
`listed, no namewill be printed.
`
`3
`
`3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT(printor type)
`If an assignee is identified below, the document has beenfiled for
`PLEASE NOTE: Unless an assignee is identified below, no assignee data will appear on the patent.
`recordation as set forth in 37 CFR 3.11. Completion of this form is NOT a substitute for filing an assignment.
`(A) NAME OF ASSIGNEE
`(B) RESIDENCE:(CITY and STATE OR COUNTRY)
`
`Please check the appropriate assignee category or categories (will not be printed on the patent) :
`
`LV individual LJ Corporation or other private group entity [J Government
`
`4a. The following fee(s) are submitted:
`L] Issue Fee
`_] Publication Fee (No small entity discount permitted)
`LY Advance Order - #of Copies
`
`
`
`4b. Paymentof Fee(s): (Please first reapply any previously paid issue fee shown above)
`LIA checkis enclosed.
`Lj Paymentby credit card. Form PTO-2038 is attached.
`[IJ The Directoris hereby authorized to charge the required fee(s), any deficiency, or credit any
`overpayment, to Deposit Account Number
`(enclose an extra copy of this form).
`
`
`
`5. Change in Entity Status (from status indicated above)
`I b. Applicant is no longer claiming SMALL ENTITYstatus. See 37 CFR 1.27(g)(2).
`LY a. Applicant claims SMALL ENTITYstatus. See 37 CFR 1.27.
`NOTE: The Issue Fee and Publication Fee (if required) 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 bythe records of the United States Patent and Trademark Office.
`
`Authorized Signature
`
`Typed or printed name
`
`
`Date
`
`Registration No.
`
`This collection of information is required by 37 CFR 1.311. The information is required to obtain or retain a benefit by the public which is to file (and by the USPTOto process)
`an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR Li14. This collection is estimated to take 12 minutes to complete, including gathering,preparing, and
`submitting the completed application form to the USPTO. Time will v.
`epending uponthe individual case. Any comments on the amountof time you require to complete
`this form and/or suggestions for reducing this burden, should be sent to
`Chief Information Officer, U.S. Patent and Trademark Office, U.S. Department of Commerce, P.O.
`Box 1450, Alexandria, Virginia 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450,
`Alexandria, Virginia 22313-1450.
`Under the Paperwork Reduction Act of 1995, no persons are required to respondto a collection of information unlessit displays a valid OMB control number.
`
`PTOL-85 (Rev. 08/07) Approved foruse through 08/31/2010.
`
`OMB 0651-0033
`
`FlatWinng Ex. 1016
`U.S. Patent and Trademark Offite; U.S.QLS.2:3OF COMMERCE
`
`FlatWing Ex. 1016, p. 3
`
`

`

`
`
`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.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKETNO.
`
`CONFIRMATIONNO.
`
`11/505,591
`
`08/16/2006
`
`Stephen J. Baker
`
`064507-5014USO1
`
`5739
`
`MORGAN,LEWIS & BOCKIUS LLP (SF)
`One Market, Spear Street Tower, Suite 2800
`San Francisco, CA 94105
`
`SHIAO, REI TSANG
`
`1626
`DATE MAILED: 08/07/2009
`
`Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)
`(application filed on or after May 29, 2000)
`
`The Patent Term Adjustment to date is 179 day(s). If the issue fee is paid on the date that is three monthsafter the
`mailing date of this notice and the patent issues on the Tuesday before the date that is 28 weeks (six and a half
`months) after the mailing date of this notice, the Patent Term Adjustment will be 179 day(s).
`
`If a Continued Prosecution Application (CPA) wasfiled in the above-identified application, the filing date that
`determines Patent Term Adjustmentis the filing date of the most recent CPA.
`
`Applicant will be able to obtain more detailed information by accessing the Patent Application Information Retrieval
`(PAIR) WEBsite (http://pair-uspto.gov).
`
`Any questions regarding the Patent Term Extension or Adjustment determination should be directed to the Office of
`Patent Legal Administration at (571)-272-7702. Questions relating to issue and publication fee payments should be
`directed to the Customer Service Center of
`the Office of Patent Publication at 1-(888)-786-0101
`or
`(571)-272-4200.
`
`PTOL-85 (Rev. 08/07) Approved for use through 08/31/2010.
`
`Page 3 of 3
`
`FlatWing Ex. 1016, p. 4
`
`FlatWing Ex. 1016, p. 4
`
`

`

`
`
`Notice of Allowability
`
`Application No.
`
`11/505,591
`Examiner
`
`Applicant(s)
`
`BAKER ETAL.
`Art Unit
`
`REI-TSANG SHIAO
`
`1626
`
`-- The MAILING DATEofthis communication appears on the cover sheet with the correspondence address--
`All claims being allowable, PROSECUTION ON THE MERITS IS (OR REMAINS) CLOSED in this application.
`If not included
`herewith (or previously mailed), a Notice of Allowance (PTOL-85) or other appropriate communication will be mailed in due course. THIS
`NOTICE OF ALLOWASBILITY IS NOT A GRANT OF PATENT RIGHTS. This application is subject to withdrawal from issue atthe initiative
`of the Office or upon petition by the applicant. See 37 CFR 1.313 and MPEP 1308.
`1. K] This communication is responsive to amendmentfiled on 7/28/2009.
`2. &] Theallowedclaim(s)is/are 121 and 193-215, now are 1-24.
`
`3. L] Acknowledgmentis madeof a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
`a)O All
`b)L)Some*
`c)[L)None_
`ofthe:
`1. Certified copies of the priority documents have been received.
`2. C1 Certified copies of the priority documents have been received in Application No.
`3. [J Copiesof the certified copies of the priority documents have been receivedin this national stage application from the
`International Bureau (PCT Rule 17.2(a)).
`
`* Certified copies not received:
`
`Applicant has THREE MONTHS FROM THE “MAILING DATE?”of this communication to file a reply complying with the requirements
`noted below. Failure to timely comply will result in ABANDONMENT ofthis application.
`THIS THREE-MONTH PERIOD IS NOT EXTENDABLE.
`
`4. [] A SUBSTITUTE OATH OR DECLARATIONmust be submitted. Note the attached EXAMINER’S AMENDMENTor NOTICE OF
`INFORMAL PATENT APPLICATION (PTO-152) which gives reason(s) why the oath or declaration is deficient.
`
`5. [] CORRECTED DRAWINGS ( as “replacement sheets”) must be submitted.
`(a) (7 including changes required by the Notice of Draftsperson’s Patent Drawing Review ( PTO-948) attached
`1) [1] hereto or 2) [] to Paper No./Mail Date
`.
`(b) (J including changes required by the attached Examiner's Amendment / Commentorin the Office action of
`Paper No./Mail Date
`.
`Identifying indicia such as the application number (see 37 CFR 1.84(c)) should be written on the drawingsin the front (not the back) of
`each sheet. Replacement sheet(s) should be labeled as suchin the header according to 37 CFR 1.121(d).
`
`6. [] DEPOSIT OF and/or INFORMATIONaboutthe deposit of BIOLOGICAL MATERIAL must be submitted. Note the
`attached Examiner's comment regarding REQUIREMENT FOR THE DEPOSIT OF BIOLOGICAL MATERIAL.
`
`Attachment(s)
`1. [] Notice of References Cited (PTO-892)
`2. [J Notice of Draftperson's Patent Drawing Review (PTO-948)
`
`3. [J Information Disclosure Statements (PTO/SB/08),
`Paper No./Mail Date
`4. (] Examiner's Comment Regarding Requirement for Deposit
`of Biological Material
`
`/IREI-TSANG SHIAO /
`
`Primary Examiner, Art Unit 1626 U.S. Patent and Trademark Office
`
`5. CJ Notice of Informal Patent Application
`6. FJ Interview Summary (PTO-413),
`Paper No./Mail Date
`.
`7. J Examiner's Amendment/Comment
`
`8. KX] Examiner's Statement of Reasonsfor Allowance
`
`9. [J Other
`
`.
`
`PTOL-37 (Rev. 08-06)
`
`Notice of Allowability
`
`FlatWing Ex.
`1016, p. 5
`‘art of tO) No./Mail Date 20090729
`
`
`
`FlatWing Ex. 1016, p. 5
`
`

`

`Application/Control Number: 11/505,591
`Art Unit: 1626
`
`Page 2
`
`DETAILED ACTION
`
`1.
`
`This application claims benefit of the provisional application:
`
`60/755,227 with a filing date 12/30/2005; and 60/746 ,361 with a filing date 05/03/2006.
`
`2.
`
`Amendment of claim 195, cancellation of claims 1-120 and 122-192, addition of
`
`claim 215, and request for a correctedfiling receipt in the amendment filed on July 28,
`
`2009 is acknowledged. Claims 121 and 193-215 are pending in the application. No new
`
`matter is found. Since the newly added claim 215 is commensurate with the scope of
`
`the invention, claims 121 and 193-215 are prosecuted in the case.
`
`Reasonsfor Allowance
`
`3.
`
`The rejection of claim 195 under 35 U.S.C. 112, first paragraph has been
`
`overcome in the amendment filed on 7/28/2009.
`
`4.
`
`Applicant's arguments regarding the rejection of claims 121 and 193-214 under
`
`35 U.S.C. 103(a) over Austin et al. ‘188 in view of Austin et al. ‘024 filed on May 18,
`
`2009 have been fully considered and they are persuasive. Since Austin et al. ‘188
`
`does not disclose the instant pharmaceutical composition, therefore Austin etal. ‘188 is
`
`distinct from the instant invention. The rejection of claims 121 and 193-214 under 35
`
`U.S.C. 103(a) over Austin et al. ‘188 in view of Austin et al. ‘024 has been withdrawn
`
`herein.
`
`5.
`
`Claims 121 and 193-215 are neither anticipated nor rendered obvious over the
`
`art of record, and therefore are allowable. A suggestion for modification of above
`
`FlatWing Ex. 1016, p. 6
`
`FlatWing Ex. 1016, p. 6
`
`

`

`Application/Control Number: 11/505,591
`Art Unit: 1626
`
`Page 3
`
`reference to obtain the instant pharmaceutical compositions has not been found.
`
`Claims 121 and 193-215 are allowed.
`
`Any comments considered necessary by applicant must be submitted no later
`
`than the payment of the issue fee and, to avoid processing delays, should preferably
`
`accompany the issue fee. Such submissions should be clearly labeled “Comments on
`
`Statement of Reasons for Allowance”.
`
`Conclusion
`
`Any inquiry concerning this communication or earlier communications from the
`
`examiner should be directed to Rei-tsang Shiao whose telephone number is (571) 272-
`
`0707. The examiner can normally be reached on 8:30 AM - 5:00 PM.
`
`If attempts to reach the examiner by telephone are unsuccessful, the examiner’s
`
`supervisor, Joseph K. McKane can be reached on (571) 272-0699. The fax phone
`
`number for the organization where this application or proceeding is assigned is 571-273-
`
`8300.
`
`Information regarding the status of an application may be obtained from
`
`the Patent Application Information Retrieval (PAIR) system. Status information for
`
`published applications may be obtained from either Private PAIR or Public PAIR.
`
`Status information for unpublished applications is available through Private PAIR only.
`
`For more information about the PAIR system, see http://pair-direct.uspto.gov. Should
`
`you have questions on access to the Private PAIR system, contact the Electronic
`
`Business Center (EBC) at 866-217-9197(toll-free). If you would like assistance from a
`
`FlatWing Ex. 1016, p. 7
`
`FlatWing Ex. 1016, p. 7
`
`

`

`Application/Control Number: 11/505,591
`Art Unit: 1626
`
`Page 4
`
`USPTO Customer Service Representative or access to the automated information
`
`system, call 800-786-9199 (IN USA OR CANADA)or 571-272-1000.
`
`/REI-TSANG SHIAO /
`Primary Examiner, Art Unit 1626
`
`Julu 29, 2009
`
`FlatWing Ex. 1016, p. 8
`
`FlatWing Ex. 1016, p. 8
`
`

`

`
`Search Notes
`
`Application/Control No.
`
`Applicant(s)/Patent under
`Reexamination
`
`
`
`
`
`
`
`SEARCHED
`
`7/29/2009
`
`
`7/29/2009
`
`
`
`
`
`
`
`
`
`
`
`INTERFERENCE SEARCHED
`
`7/29/2009
`
`288
`
`
`
`
`
`
`11/505,591
`Examiner
`
`BAKER ETAL.
`Art Unit
`
`REI-TSANG SHIAO
`
`1626
`
`SEARCH NOTES
`(INCLUDING SEARCH STRATEGY)
`DATE
`
`EXMR
`
`EAST class/subclass
`
`7/29/2009
`
`
`
`U.S. Patent and Trademark Office
`
`Part of Paper No. 20090729
`
`FlatWing Ex. 1016, p. 9
`
`FlatWing Ex. 1016, p. 9
`
`

`

`EAST Search History
`
`EAST Search History
`
`EAST Search History (Prior Art)
`
`(Ref
`
`_Default
`(Hits Search
`‘Operator
`‘Query
`B08" BidietUSATGR
`
`DBs
`
`
`
`
`
`‘Plurals Time Stamp
`
`* 3009/07/2910:26"
`
`
` ‘Default
`
`
`‘Operator
`AARARARAAAS, SARAREAERR
`
`
`{OR
`‘USPAT;
`
`»818«614/64=USPAT;3=ORs
`
`33
`
`3
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`$
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`
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`
`2009/07/29
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`8
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`
`7/29/2009 10:27:40 AM
`
`FlatWing Ex. 1016, p. 10
`file:///Cl/Documents%20and%20Settings/rshiao/My%20Docum...50559 1/EASTSearchHistory. 1150559 1_AccessibleVersion.htm7/29/2009 10:27:43 AM
`
`FlatWing Ex. 1016, p. 10
`
`

`

`
`
`Issue Classification
`
`
`
`
`
`
`
`
`
`
`BAKER ET AL.
`Art Unit
`
`Toston. No.
`
`pbplicant(s)/Patent under
`
`Examiner
`
`REI-TSANG SHIAO
`
`1626
`
`ISSUE CLASSIFICATION
`
`
`
`NON-CLAIMED
`CLAIMED
`SUBCLASS
`
`
`ramPamcsoenaammame||||*||||
`|
`||
`
`SUBCLASS (ONE SUBCLASS PER BLOCK)
`
`Pot
`
`
`
`U.S. Patent and TrademarkOffice
`
`
`‘e'EEee
`
`SEEee
`
`
`
`
`/ /
`
`
`
`
`/
`
`
`
`/ /
`
`
`
`
`
`(Legal Instruments Examiner)
`
`(Date)
`
`(Primary Examiner)
`
`(Date)
`
`/Rei-tsang Shiao/
`7/29/09
`
`Total Claims Allowed: 24
`
`OG,
`Print Claim(s)
`
`OG,
`Print Fig.
`
`NONE
`
`Original|”
`
`O
`
`
`
`
`
`
`
`
`
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`
`
`FlatWing Ex. 1016, p. 11
`
`

`

`
`
`\ UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Page 1 of 2
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and TrademarkOffice
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`www.uspto. gov
`
`BIB DATA SHEET
`
`SERIAL NUMBER
`11/505,591
`
`FILINGor 371(c)
`08/16/2006
`
`RULE
`
`CONFIRMATIONNO. 5739
`
`GROUPART UNIT ATTORNEY DOCKET
`064507-5014USO1
`
`ak FOREIGN APPLICATIONS EREKEKEKEKEEKEEKEEKEEEEREEERERE
`UNITED STATES OF AMERICA PCT/US06/05542 02/16/2006
`
`** IF REQUIRED, FOREIGN FILING LICENSE GRANTED ** ** SMALL ENTITY **
`10/03/2006
`
`
`Foreign Priority claimed
`A yes U1 No
`35 USC 119(a-d) conditions met A ves LI No
`L) Met after
`Allowance
`Verified and
`/REI-TSANG SHIAO/
`R.S
`Acknowledged
`Examiner's Signature
`nitials
`
`STATE OR
`COUNTRY
`CA
`
`TOTAL
`SHEETS
`CLAIMS
`DRAWINGS
`63 ee
`
`|INDEPENDENT
`CLAIMS
`?1
`
`APPLICANTS
`Stephen J. Baker, Mountain View, CA;
`Tsutomu Akama, Sunnyvale, CA;
`Michael Richard Kevin Alley, Santa Clara, CA;
`Steven J. Benkovic, State College, PA;
`Michael DiPierro, Wadsworth, IL;
`Vincent S. Hernandez, Watsonville, CA;
`Karin M. Hold, Belmont, CA;
`Isaac Kennedy, Bolingbrook,IL;
`Igor Likhotvorik, Naperville, IL;
`Weimin Mao, Sunnyvale, CA;
`Kirk R. Maples, San Jose, CA;
`Jacob J. Plattner, Berkeley, CA;
`Fernando Rock, Los Altos, CA;
`Virginia Sanders, San Francisco, CA;
`Aaron M. Stemphoski, Florence, SC;
`George Petros Yiannikouros, Florence, SC;
`Siead Zegar, Orland Park, IL;
`Yong-Kang Zhang, San Jose, CA;
`Huchen Zhou, Shanghai, CHINA;
`k* CONTINUING DATA KEEKEKEEKEREEKREREREEEKEEEE
`This appin claims benefit of 60/755,227 12/30/2005
`and claims benefit of 60/746,361 05/03/2006
`and is a CIP of 11/857,687 02/16/2006 |and claims benefit of 60/654,060 02/16/2005. R.S.
`
`
`
`ADDRESS
`
`MORGAN, LEWIS & BOCKIUS LLP (SF)
`One Market, Spear Street Tower, Suite 2800
`San Francisco, CA 94105
`UNITED STATES
`
`TITLE
`
`Boron-containing small molecules
`
`Pf ~~
`
`BIB (Rev.05/07).
`
`FlatWing Ex. 1016, p. 12
`
`FlatWing Ex. 1016, p. 12
`
`

`

`FILING FEE |FEES: Authority has been given in Paper
`RECEIVED |No.
`to chargeleredit DEPOSIT ACCOUNT
`7845
`No.
`for following:
`
`Page 2 of 2
`
`|L=2118 Fees (Filing)
`LI 1.17 Fees (Processing Ext. of time)
`LI 1.18 Fees (Issue)
`
`LJ Other
`
`
`
`LI Credit
`
`
`BIB (Rev.05/07).
`
`FlatWing Ex. 1016, p. 13
`
`FlatWing Ex. 1016, p. 13
`
`

`

`Appl. No. 11/505,591
`Supplemental Response to Office Action dated January 27, 2009
`Response dated July 28, 2009
`
`PATENT
`
`Amendments to the Specification:
`
`Applicants respectfully request the first paragraph on page 1 of the application be
`
`replaced by the following paragraph which encompassesthe information from the specification
`
`filed on August 16, 2006, with the two priority applications claimed in the accepted Petition of
`
`March 5, 2007.
`
`[0001] The present application is a continuation-in-part of U.S. Patent
`Application 11/357,687 filed February 16, 2006, which claimsthe benefit of
`U.S. Provisional Patent Application 60/654,060 filed February 16, 2005, which
`is incorporated by referencein its entirety for all purposes. The present
`application claims the benefit of U.S. Provisional Patent Application 60/755,227
`filed December 30, 2005. The present application claims the benefit of U.S.
`Provisional Patent Application 60/746,361 filed May 3, 2006.
`
`/Rei Tsang Shiao/
`
`Entered
`
`7/29/09
`
`Page 2 of 10
`
`FlatWing Ex. 1016, p. 14
`
`FlatWing Ex. 1016, p. 14
`
`

`

`CERTIFICATE OF ELECTRONIC TRANSMISSION
`
`I hereby certify that this correspondence, including listed enclosures is
`being electronically transmitted in Portable Document Form (PDF) through
`EFS-Webvia Hyper Text Transfer Protocol to the United States Patent and
`
`TrademarkOffice's3]eMBusinessCenteron:
`Date
`5}
`(6109
`Signed:
`AL
`ate °
`
`Candida Rubalcaba-Rivera
`
`Attorney Docket No.: 064507-5014-US01
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`In re applicationof:
`
`Confirmation No.: 5739
`
`Stephen J. BAKER,ef al.
`
`Examiner: SHIAO,Rei Tsang
`
`Application No.: 11/505,591
`
`Art Unit: 1626
`
`Filed: August 16, 2006
`
`RESPONSE TO OFFICE ACTION
`
`For: BORON-CONTAINING SMALL
`MOLECULES
`
`Customer No.: 43850
`
`
`
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`Madam:
`
`In responseto the Office Action dated January 27, 2009, please enter the
`
`following amendments and remarks.
`
`Amendments to the Claimsarereflected in the listing of claims which begins on page 2 ofthis
`paper.
`
`Remarks/Arguments begin on page 7 ofthis paper.
`
`Page 1 of 12
`
`FlatWing Ex. 1016, p. 15
`
`FlatWing Ex. 1016, p. 15
`
`

`

`Appl. No. 11/505,591
`Responseto Office Action dated January 27, 2009
`Response dated May 14, 2009
`
`PATENT
`
`Amendmentsto the Claims:
`
`This listing of claims will replace all prior versions, and listings of claims in the application.
`
`Listing of Claims:
`
`1.-120. (Cancelled)
`
`121.
`
`(Previously presented) A pharmaceutical formulation, comprising:
`
`(a) 1,3-dihydro-5-fluoro-1-hydroxy-2,1-benzoxaborole, or a salt thereof; and
`
`(b) a pharmaceutically acceptable excipient
`
`wherein said pharmaceutical formulation is for topical administration to an animal
`
`suffering from an infection by a microorganism.
`
`122. — 192. (Cancelled).
`
`193. (Previously presented) The formulation of claim 121, wherein said
`
`formulation is a memberselected from a lacquer, lotion, cream, gel, ointment and spray.
`
`194. (Previously presented) The formulation of claim 121, wherein said
`
`formulation is a lacquer.
`
`195. (Previously presented) The formulation of claim 121, wherein said
`
`formulation further comprises one or more membersselected from an emulsifier, emollient,
`
`antioxidant, perservative, chelating agent, neutralizing agent, viscosity increasing agent, nail
`
`penetration enhancer, anti-inflammatory agent, vitamin, anti-aging agent, sunscreen and acne-
`
`treating agent.
`
`196. (Previously presented) The formulation of claim 121, wherein said
`
`formulation comprises one or more membersselected from ethanol and propylene glycol.
`
`Page 2 of 12
`
`FlatWing Ex. 1016, p. 16
`
`FlatWing Ex. 1016, p. 16
`
`

`

`Appl. No. 11/505,591
`Responseto Office Action dated January 27, 2009
`Response dated May 14, 2009
`
`PATENT
`
`197, (Previously presented) The formulation of claim 121, comprising: about
`
`propylene glycol:ethanol in a ratio of about 1:4, and about 1:10 wt/ volumeofsaid 1 ,3-dihydro-
`
`5-fluoro-1-hydroxy-2,1-benzoxaborole.
`
`198. (Previously presented) The formulation of claim 121, comprising: about
`
`70% ethanol; about 20% poly(vinyl methy! ether-alt-maleic acid monobuty! ester) and about
`
`10% of said 1,3-dihydro-5-fluoro-1-hydroxy-2,1-benzoxaborole.
`
`199. (Previously presented) The formulation of claim 121, comprising: about
`
`56% ethanol; about 14% water; about 15% poly(2-hydroxyethy! methacrylate); about 5% dibutyl
`
`sebacate and about 10% ofsaid 1,3-dihydro-5-fluoro-1-hydroxy-2, 1-benzoxaborole.
`
`200. (Previously presented) The formulation of claim 121, comprising: about
`
`55% ethanol; about 15% ethy! acetate; about 15% poly(viny! acetate); about 5% dibutyl sebacate
`
`and about 10% 1,3-dihydro-5-fluoro-1-hydroxy-2, 1-benzoxaborole.
`
`201. (Previously presented) The formulation of claim 121, wherein said 1,3-
`
`dihydro-5-fluoro-1-hydroxy-2,1-benzoxaborole is present in said formulation in a concentration
`
`from about 0.5% to about 15% w/v.
`
`&WwOo—
`
`—
`
`202. (Previously presented) The formulation of claim 121, wherein said 1,3-
`
`dihydro-5-fluoro-1-hydroxy-2,1-benzoxaborole, or salt thereof, is present in a form whichis a
`
`memberselected from a hydrate with water, a solvate with an alcohol, an adduct with an amino
`
`compound, and an adduct with an acid.
`
`203. (Previously presented) The formulation of claim 121, wherein said
`
`formulation is in a cosmetically effective amount.
`
`204. (Previously presented) The formulation of claim 121, whereina site of said
`
`topical administration is skin ornail or hair or skin surroundingthe nail or skin surrounding the
`
`hair.
`
`Page 3 of 12
`
`FlatWing Ex. 1016, p. 17
`
`FlatWing Ex. 1016, p. 17
`
`

`

`Appl. No. 11/505,591
`Response to Office Action dated January 27, 2009
`Response dated May 14, 2009
`
`PATENT
`
`SHUWSfWNYSNDHNNfFWDNO&—
`
`nABbWbd
`
`—
`
`205. (Previously presented) The formulation of claim 121, wherein the
`
`microorganism is a fungusor a yeast.
`
`206. (Previously presented) The formulation of claim 205, wherein said fungus
`
`or yeast is a memberselected from Candida species, Trichophyton species, Microsporium
`
`species, Aspergillus species, Cryptococcus species, Blastomyces species, Cocciodiodes species,
`
`Histoplasma species, Paracoccidiodes species, Phycomycetes species, Malassezia species,
`
`Fusarium species, Epidermophyton species, Scytalidium species, Scopulariopsis species,
`
`Alternaria species, Penicillium species, Phialophora species, Rhizopus species, Scedosporium
`
`species and Zygomycetes species.
`
`207. (Previously presented) The formulation of claim 205, wherein said fungus
`
`or yeast is a memberselected from Aspergilusfumigatus, Blastomyces dermatitidis, Candida
`
`albicans, Candida glabrata, Candida krusei, Cryptococcus neoformans, Candida parapsilosis,
`
`Candida tropicalis, Cocciodiodes immitis, Epidermophyton floccosum, Fusarium solani,
`
`Histoplasma capsulatum, Malasseziafurfur, Malassezia pachydermatis, Malassezia sympodialis,
`
`Microsporum audouinii, Microsporum canis, Microsporum gypseum, Paracoccidiodes
`
`brasiliensis, Trichophyton mentagrophytes, Trichophyton rubrum and Trichophyton tonsurans.
`
`208. (Previously presented) The formulation of claim 205, wherein said fungus
`
`or yeast is amemberselected from Trichophyton concentricum, Trichophyton violaceum,
`
`Trichophyton schoenleinii, Trichophyton verrucosum, Trichophyton soudanense, Microsporum
`
`gypseum, Microsporum equinum, Candida guilliermondii, Malassezia globosa, Malassezia
`
`obtuse, Malassezia restricta, Malassezia slooffiae and Aspergillusflavus.
`
`209. (Previously presented) The formulation of claim 205, wherein said fungus
`
`or yeast is a dermatophyte.
`
`210. (Previously presented) The formulation of claim 205, wherein said fungus
`
`or yeast is amemberselected from Tinea unguium, Trichophyton rubrum and Trichophyton
`
`mentagrophytes.
`
`Page 4 of 12
`
`FlatWing Ex. 1016, p. 18
`
`FlatWing Ex. 1016, p. 18
`
`

`

`Appl. No. 11/505,591
`Response to Office Action dated January 27, 2009
`Response dated May 14, 2009
`
`PATENT
`
`211. (Previously presented) The formulation of claim 121, wherein the infection
`
`is a cutaneous infection.
`
`212. (Previously presented) The formulation of claim 121, wherein the infection
`
`is a memberselected from an ungual, periungual and subungualinfection.
`
`213. (Previously presented) The formulation of claim 121, wherein the infection
`
`is onychomycosis.
`
`214, (Previously presented) The formulation of claim 121, wherein the animalis
`
`a human.
`
`Page 5 of 12
`
`FlatWing Ex. 1016, p. 19
`
`FlatWing Ex. 1016, p. 19
`
`

`

`Appl. No. 11/505,591
`Response to Office Action dated January 27, 2009
`Response dated May 14, 2009
`
`PATENT
`
`REMARKS/ARGUMENTS
`
`I. Status of the Claims
`
`Claims 121 and 193-214 are pending.
`
`IT. Response to the Rejections
`
`35 USC § 112, first paragraph
`
`Claim 195 is rejected under 35 USC § 112,first paragraph, because the Examineralleges
`
`that while the specification enables an anti-aging agent selected from niacinamide and an acne-
`
`treating agent selected from salicylic acid, the specification does not reasonably provide
`
`enablementfor any anti-aging agent or acne-treating agent.
`
`Applicants traverse. The test for enablement is whether one reasonably skilled in the art
`
`could mak