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`PAPER NO. 32
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`_______________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`_______
`
`RIMFROST AS
`
`Petitioner
`
`v.
`
`AKER BIOMARINE ANTARCTIC AS
`
`Patent Owner
`
`_______________________
`
`IPR2018-01730
`
`U.S. Patent No. 9,072,752
`
`_______________________
`
`
`
`
`PETITIONER’S SECOND UPDATED
`
`EXHIBIT LIST
`
`
`
`IPR2018-01730
`
`
`
`
`
`
`U.S. Patent No. 9,072,752
`
`
`
`PETITIONER’S FIRST UPDATED EXHIBIT LIST
`
`EXHIBIT NO.
`
`EXHIBIT DESCRIPTION
`
`1001
`
`
`
`U.S. Patent No. 9,375,453 B2, filed September 6, 2013 (‘453).
`
`1002
`
`
`1003
`
`
`1004
`
`
`1005
`
`
`1006
`
`1007
`
`
`1008
`
`
`1009
`
`
`1010
`
`
`
`
`
`U.S. Provisional Patent Application No. 61/024,072, filed
`January 28, 2008 (‘072 Provisional).
`
`U.S. Provisional Patent Application No. 60/983,446, filed
`October 29, 2007 (‘446 Provisional).
`
`U.S. Provisional Patent Application No. 60/975,058, filed
`September 25, 2007 (‘058 Provisional).
`
`U.S. Provisional Patent Application No. 60/920,483, filed
`March 28, 2007 (‘483 Provisional).
`
`Declaration of Stephen Tallon.
`
`Bottino, N.R., “The Fatty Acids of Antarctic Phytoplankton and
`Euphausiids. Fatty Acid Exchange among Trophic Levels of the
`Ross Sea,” 1974, Marine Biology, 27, 197-204 (Bottino I).
`
`Budziński, E., P. Bykowski and D. Dutkiewicz, 1985,
`Possibilities of processing and marketing of products made
`from Antarctic krill. FAO Fish.Tech. Pap., (268):46,
`(Budzinski).
`
`Catchpole and Tallon, WO 2007/123424, published November
`1, 2007, “Process for Separating Lipid Materials,” (Catchpole).
`
`Fricke et al., “Lipid, Sterol and Fatty Acid Composition of
`Antarctic Krill (Euphausia superba Dana),” LIPIDS
`19(11):821-827 (1984) (Fricke).
`
`- 2 -
`
`
`
`IPR2018-01730
`
`1011
`
`
`1012
`
`
`1013
`
`
`1014
`
`
`1015
`
`
`1016
`
`1017
`
`
`1018-1019
`
`1020
`
`
`1021
`
`
`
`
`
`U.S. Patent No. 9,072,752
`
`
`
`Randolph, et al., U.S. Patent Application Publication No.
`US/2005/0058728 A1, “Cytokine Modulators and Related
`Method of Use” (Randolph).
`
`Sampalis [I] et al., “Evaluation of the Effects of Neptune Krill
`Oil™ on the Management of Premenstrual Syndrome and
`Dysmenorrhea” Altern. Med. Rev. 8(2):171-179 (2003)
`(Sampalis I).
`
`Sampalis [II] et al.,WO 2003/011873, published February 13,
`2003, “Natural Marine Source Phospholipids Comprising
`Flavonoids, Polyunsaturated Fatty Acids and Their
`Applications” (Sampalis II).
`
`Tanaka [I] et al., “Platelet – Activating Factor (PAF) – Like
`Phospholipids Formed During Peroxidation of
`Phosphatidylcholines from Different Foodstuffs”, Biosci.
`Biotech. Biochem., 59(8) 1389-1393 (1995) (Tanaka I).
`
`Tanaka (II) et al., “Extraction of Phospholipids from Salmon
`Roe with Supercritical Carbon Dioxide and an Entrainer”,
`Journal of Oleo Science Vol. 53 (2004) No. 9, p.17-424
`(Tanaka II).
`
`Reserved.
`
`Folch et al., “A simple method for the isolation and purification
`of total lipides from animal tissues”, J. Biol. Chem. (1957) 226:
`497-509 (Folch).
`
`Reserved.
`
`Bunea, et al., “Evaluation Of The Effects Of Neptune Krill Oil
`On The Clinical Course Of Hyperlipidemia”, Altern Med Rev.
`2004; 9:420–428 (Bunea).
`
`Complaint filed in Aker Biomarine Antarctic AS v. Olympic
`Holding AS, et al., Case No. 1:16-cv-00035.
`
`- 3 -
`
`
`
`IPR2018-01730
`
`
`1022
`
`
`1023
`
`
`1024
`
`
`
`
`
`
`
`
`
`
`
`1025-1029
`
`1030
`
`
`1031
`
`
`1032
`
`
`
`1033
`
`
`
`
`
`U.S. Patent No. 9,072,752
`
`
`
`Reserved.
`
`Federal Register Notice of Institution of Investigation 337-TA-
`1019 on September 16, 2016 by the ITC (81 Fed. Reg. pages
`63805-63806).
`
`File History to U.S. Patent No. 9,034,388 B2, Serial No,
`12/057,775 (‘388 File History)
`1024 Part 1 - Pages 1-450
`1024 Part 2 - Pages 451-900
`1024 Part 3 - Pages 901-1350
`1024 Part 4 - Pages 1351-1800
`1024 Part 5A - Pages 1801-2025
`1024 Part 5B - Pages 2026-2250
`1024 Part 6 - Pages 2251-2700
`1024 Part 7 - Pages 2701-3083
`1024 Part 8 - Pages 3084-3223.
`
`
`
`
`
`Reserved.
`
`Tehoharides, U.S. Patent Application Publication No.
`US/2006/0013905 A1, “Anti-Inflammatory Compositions For
`Treating Multiple Sclerosis” (Tehoharides).
`
`Halliday, Jess, “Neptune-Degussa Deal to Develop
`Phospholipids, Adapt Krill Oil,” http://www.nutraingredients-
`usa.com/Suppliers2/Neptune-Degussa-deal-to-develop-
`phospholipids-adapt-krill-oil, December 12, 2005 (Neptune-
`DeGussa).
`
`Grantham, G.J., “The Utilization Of Krill”, UNDP/FAO
`Southern Ocean Fisheries Survey Programme (1977)
`(Grantham).
`
`Yoshitomi, U.S. Patent Application Publication No.
`US/2003/0113432 A1, “Process For Making Dried Powdery
`and Granular Krill” (Yoshitomi).
`
`- 4 -
`
`
`
`IPR2018-01730
`
`
`1034
`
`1035
`
`
`1036
`
`
`1037
`
`
`1038
`
`
`1039
`
`
`1040
`
`
`1041-1042
`
`1043
`
`
`1044
`
`1045
`
`
`
`
`
`
`U.S. Patent No. 9,072,752
`
`
`
`Reserved.
`
`Breivik, U.S. Patent Application Publication No. US
`2010/0143571 A1, “Process for Production of Omega-3 Rich
`Marine Phospholipids from Krill” (Breivik I).
`
`Breivik, U.S. Provisional Patent Application No. 60/859,289,
`“Processes for production of omega-3 rich marine
`phospholipids from krill”, filed November 16, 2006 (Breivik
`‘289 Provisional, Breivik III).
`
`Breivik, WO 2008/060163 A1, “Process for Production of
`Omega-3 Rich Marine Phospholipids from Krill,” International
`filing date November 15, 2007 (Breivik II).
`
`Bottino, N.R., “Lipid Composition of Two Species of Antarctic
`Krill: Euphausia Superba and E. Crystallorophias”, Comp.
`Biochem. Physiol., 1975, Vol. 50B, pp. 479 to 484 (Bottino II).
`
`Grynbaum, M., et al. “Unambiguous detection of astaxanthin
`and astaxanthin fatty acid esters in krill (Euphausia superba
`Dana)”, J. Sep. Sci., 28, 1685–1693 (2005).
`
`File History to U.S. Patent No. 9,072,752 B1, Serial No,
`14/620,784 (‘752 File History).
`
`Reserved.
`
`Bruheim, U.S. Patent Application Publication No.
`US2008/0274203 A1, published November 6, 2008 (this is the
`publication of patent application serial no. 12/057,775 which
`issued as U.S. Patent No. of 9,034,388).
`
`Declaration of Robert S. McQuate.
`
`Declaration of Rakesh Kapoor.
`
`- 5 -
`
`
`
`IPR2018-01730
`
`1046
`
`1047
`
`1048
`
`
`1049
`
`
`1050
`
`
`
`
`1051
`
`
`1052
`
`
`1053
`
`1054
`
`
`1055-1058
`
`
`
`
`
`
`U.S. Patent No. 9,072,752
`
`
`
`Reserved.
`
`U.S. Patent No. 9,034,388 B2, filed May 28, 2008 (‘388
`Patent).
`
`Enzymotec, GRAS Notice No. GRN 000226 for “Krill-based
`Lecithin in Food” and “Krill-derived lecithin”
`https://www.fda.gov/downloads/Food/Ingredients
`PackagingLabeling/GRAS/NoticeInventory/ucm263930.pdf,
`dated May 26, 2007 and filed by the FDA May 31, 2007, see
`Exhibit 1049 (Enzymotec).
`
`FDA, Agency Response Letter GRAS Notice No. GRN 000226,
`https://www.fda.gov/Food/IngredientsPackagingLabeling/GRA
`S/NoticeInventory/ucm153881.htm, January 3, 2008.
`
`Gaynor, P, “How U.S. FDA's GRAS Notification Program
`Works”, Reprinted with permission of the publishers from Food
`Safety Magazine December 2005/January 2006.
`http://www.fda.gov/Food/IngredientsPackagingLabeling/GRAS
`/ucm083022.htm
`
`Federal Register, Vol. 62, No. 74, pp. 18938-18964, April 17,
`1997.
`
`FDA GRAS Notices, August 05, 2007, listing GRN 226 on
`Internet, “Krill-derived lecithin,” Wayback Machine,
`https://web.archive.org/web/20070805011458/http://www.cfsan
`.fda.gov:80/~rdb/opa-gras.html.
`
`Reserved.
`
`Notice of Commission Determination ending Investigation 337-
`TA-1019, dated May 23, 2017.
`
`Reserved.
`
`- 6 -
`
`
`
`IPR2018-01730
`
`1059
`
`
`1060
`
`
`1061
`
`
`1062
`
`
`1063
`
`
`
`
`
`
`1064-1066
`
`1067
`
`1068
`
`1069
`
`
`
`
`
`
`
`
`
`U.S. Patent No. 9,072,752
`
`
`
`Markman Order (Public Version), Order 13, U.S. International
`Trade Commission, In the Matter of Certain Krill Oil Products
`and Krill Meal for Production of Krill Oil Products, Inv. No.
`337-TA-1019, dated April 13, 2017.
`
`Enzymotec website pages (September 25, 2007)
`(https://web.archive.org/web/20070925024350/http://www.enz
`ymotec.com/PageIndex.asp?cc=01020403)
`(https://web.archive.org/web/20070925024521/http://www.enz
`ymotec.com/Page.asp?cc=01020408)
`
`Affidavit of Christopher Butler, Office Manager of Internet
`Archive dated August 22, 2017 regarding FDA GRAS Notices
`and Enzymotec related webpages.
`
`FDA, Freedom of Information Annual Report 2007,
`https://www.fda.gov/RegulatoryInformation/FOI/FOIAAnnual
`Reports/ucm148025.htm.
`
`File History to U.S. Patent No. 9,644,170 B2, Serial No,
`15/180,439 (‘170 File History)
`
`1063 Part 1 - Pages 1-400
`1063 Part 2 - Pages 401-800
`1063 Part 3 – Pages 801-1107.
`
`Reserved.
`
`U.S. Patent No. 9,375,453 B2, filed September 6, 2013 (‘453).
`
`Reserved.
`
`Krill Bill Bottle and Capsules from IRL.
`
`- 7 -
`
`
`
`IPR2018-01730
`
`1070
`
`
`1071
`
`
`1072
`
`
`1073-1074
`
`1075
`
`
`1076
`
`
`
`
`
`
`
`U.S. Patent No. 9,072,752
`
`
`
`Krill Bill Online Purchase Order and Specification Pages from
`2006 (https://web.archive.org/web/20060715103715/http://
`www.krillbill.com:80/purchase.htm;
`https://web.archive.org/web/20060715103809/http://www.krillb
`ill.com/profile.htm).
`
`Antarctica Select Krill Oil Online Literature and Purchase
`Order Form and linked FDA webpage from 2006
`(https://web.archive.org/web/20060816050841/http://www.aqu
`asourceproducts.com:80/store/;
`https://web.archive.org/web/20060816051010/http://www.aqua
`sourceproducts.com:80/krill_oil.html;
`https://web.archive.org/web/20060506115548/
`http://www.aquasourceproducts.com:80/resources.html?osCsid
`=aee4bb3df08470be3a75bc598448dabc;
`https://web.archive.org/web/20060513152744/http://vm.cfsan.f
`da.gov/~dms/ds-oview.html).
`
`Chen, U.S. Patent Application Publication No. US
`2008/0021000 A1, for “Mixtures of and Methods of Use for
`Polyunsaturated Fatty Acid-Containing Phospholipids and
`Alkyl Ether Phospholipids Species”, filing date July 19, 2006,
`publication date January 24, 2008.
`
`Reserved.
`
`Neptune, GRAS Notice [No. GRN 000242] for “High
`Phospholipid Krill Oil”
`https://www.fda.gov/downloads/Food/IngredientsPackagingLab
`eling/GRAS/NoticeInventory/ucm269133.pdf, dated January
`18, 2008 and filed by the FDA February 4, 2008 (Neptune
`GRAS).
`
`Affidavit of Christopher Butler, Office Manager of Internet
`Archive, dated November 8, 2017, for Rimfrost Exhibits 1070
`and 1071, regarding Krill Bill, Aquasource and FDA related
`webpages from 2006.
`
`- 8 -
`
`
`
`IPR2018-01730
`
`1077
`
`
`1078
`
`
`1079
`
`
`1080
`
`
`1081-1083
`
`1084
`
`1085
`
`1086
`
`
`1087-1088
`
`1089
`
`
`
`
`
`
`
`U.S. Patent No. 9,072,752
`
`
`
`Pure Encapsulations online literature for its Krill-plex NKO™
`product, webpage from August 19, 2004.
`https://web.archive.org/web/20040819183137/www.purecaps.c
`om/itemdy00.asp?T1=KP1.
`
`Del. District Court Stay of 16-cv-00035, pending resolution of
`IPRs, Order dated September 6, 2017.
`
`Burri, L., et al., “Fingerprinting Krill Oil by 31P, 1H and 13C
`NMR Spectroscopies”, J Am Oil Chem Soc (2016) 93:1037-
`1049 (Burri).
`
`Hoem, N., “Composition of Antarctic krill oil and methods for
`its harvesting, production and qualitative and quantitative
`analysis”, Aker BioMarine, Newcastle Australia November
`2013 (Hoem).
`
`Reserved.
`
`Mayzaud et al, “Changes in lipid composition of the Antarctic
`krill Euphausia superba in the Indian sector of the Antarctic
`Ocean: influence of geographical location, sexual maturity
`stage and distribution among organs” Marine Ecology Progress
`Series, Vol. 173: 149-162 (1998) (Mayzaud).
`
`Reserved.
`
`Reply and Opposition Declaration of Dr Stephen J. Tallon
`(IPR2018-01730)
`
`Reserved.
`
`Aker GRAS [No. GRN 000371], “Notification of GRAS
`Determination of Krill Oil”, December 14, 2010.
`https://www.accessdata.fda.gov/scripts/fdcc/index.cfm?set=GR
`ASNotices&id=371.
`
`- 9 -
`
`
`
`IPR2018-01730
`
`1090
`
`
`1091
`
`1092
`
`
`
`
`1093
`
`1094
`
`
`1095
`
`
`1096
`
`1097
`
`
`1098
`
`
`1099
`
`
`
`
`
`
`
`U.S. Patent No. 9,072,752
`
`
`
`Deposition Transcript of Dr. Nils Hoem (IPR2017-00745, inter
`alia)
`
`Neptune GRAS Agency Response Letter GRN 000242.
`
`Affidavit of Christopher Butler, Office Manager of Internet
`Archive, dated February 5, 2018, regarding Rimfrost
`Exhibit 1077, Pure Encapsulations online literature for its Krill-
`plex NKO™ product, webpage from August 19, 2004.
`
`U.S. Patent No. 9,644,170 B2, filed June 13, 2016 (‘170)
`
`Marathe, et al., Inflammatory Platelet-activating Factor-like
`Phospholipids in Oxidized Low Density Lipoproteins Are
`Fragmented Alkyl Phosphatidylcholines, J Biol Chem. 1999
`Oct 1;274(40):28395-28404.
`
`Stremler, et al., Human Plasma Platelet-activating Factor
`Acetylhydrolase - Oxidatively Fragmented Phospholipids As
`Substrates, (1991) J. Biol. Chem. 266, 11095–11103.
`
`Reserved.
`
`Britton, G., Structure and properties of carotenoids in relation
`to function, FASEB J, 9, 1551-1558,1995.
`
`Yuan, “Characteristics and chromatographic separation of
`astaxanthin and its esters from the microalga Haematococcus
`pluvialos,” Doctoral Thesis, The University of Hong Kong,
`1999 (http://dx.doi.org/10.5353/th_b3123971).
`
`Mimoun-Benarroch, et al., The Bioavailability of Astaxanthin is
`Dependent on both the Source and the Isomeric Variants of the
`molecule, Bulletin of University of Agricultural Sciences and
`Veterinary Medicine Cluj-Napoca: Food Science and
`Technology, Volume 73, Number 2, 2016, pp. 61-69(9).
`
`- 10 -
`
`
`
`IPR2018-01730
`
`1100
`
`
`1101
`
`
`1102
`
`
`1103
`
`
`1104
`
`
`1105
`
`
`1106
`
`
`
`1107
`
`
`1108
`
`1109
`
`1110-1119
`
`1120
`
`
`
`
`
`U.S. Patent No. 9,072,752
`
`
`
`Higuera-Ciapara, et al., Astaxanthin: A Review of its Chemistry
`and Applications, Crit Rev Food Sci Nutr. 2006;46(2):185-96.
`
`Lambertsen, et al., Method of Analysis of Astaxanthin and its
`Occurrence in some Marine Products, J. Sci. of Food and
`Agriculture, 1971, Vol. 22, February.
`
`Foss, et al., Natural occurrence of enantiomeric and Meso
`
`astaxanthin 7∗-crustaceans including zooplankton,
`
`Comparative Biochemistry and Physiology Part B:
`Comparative Biochemistry, Volume 86, Issue 2, 1987, Pages
`313-314.
`
`Final Written Decision, IPR2017-00745, August 10, 2018,
`Paper 24 (U.S. Patent No. 9,078,905).
`
`Final Written Decision, IPR2017-00746, August 10, 2018,
`Paper 23 (U.S. Patent No. 9,028,877).
`
`Patent Owner’s Motion to Amend the Claims, Paper 16 in
`IPR2018-00295 (U.S. Patent No. 9,320,765).
`
`Declaration of Dr. Nils Hoem in Support of Patent Owner’s
`Motion to Amend, Exhibit 2013 in IPR2018-00295 (U.S. Patent
`No. 9,320,765).
`
`Winther, Hoem, et al., Elucidation of phosphatidylcholine
`composition in krill oil extracted from Euphausia superba,
`Lipids. 2011 Jan;46(1):25-36. doi: 10.1007/s11745-010-3472-6.
`Epub 2010 Sep 17.
`
`Reserved.
`
`Aker GRAS Agency Response Letter GRN 000371.
`
`Reserved.
`
`NZ546681 WO2007123424.
`
`- 11 -
`
`
`
`IPR2018-01730
`
`
`
`1121
`
`
`1122
`
`1123
`
`1124
`
`
`1125.
`
`1126.
`
`
`1127.
`
`1128.
`
`
`1129
`
`
`1130-1139
`
`1140
`
`
`1141-1142
`
`1143
`
`1144
`
`
`
`
`
`U.S. Patent No. 9,072,752
`
`
`
`Declaration by Nils Hoem in Support of Request for Inter
`Partes Reexamaination of U.S. Patent No. 8,057,825, Control
`No. 95/001,819, executed September 16, 2011.
`
`Japanese Laid Open Publication S63-23819 (Murata).
`
`Reserved.
`
`Itano Refrigerated Food Co., Ltd., Bio & High Technology
`Announcement and Natural Astaxanthin & Krill Lecithin, pp.
`1-16, Exhibit 1124 (“Itano”).
`
`Reserved.
`
`U.S. Patent No. 8,057,825 C1, “Krill Extracts for Treatment of
`Cardiovascular Diseases”, Inter Partes Reexamination
`Certificate (all claims cancelled).
`
`Reserved.
`
`Deposition Transcript of Dr. Nils Hoem held on July 2, 2019
`(IPR2018-01178 & IPR2018-01179.)
`
`Final Written Decision, IPR2018-00295, June 12, 2019, Paper
`35 (U.S. Patent No. 9,320,765).
`
`Reserved.
`
`U.S. Patent No. 8,372,812, Tilseth & Hoem, et al.,
`“Phospholipid and Protein Tablets,” (“Tilseth”).
`
`Reserved.
`
`USP42-NF37, “Krill Oil Capsules”.
`
`Reserved.
`
`- 12 -
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`
`
`IPR2018-01730
`
`
`1145
`
`1146-1149
`
`1150
`
`1151-1152
`
`1153
`
`1154
`
`
`
`U.S. Patent No. 9,072,752
`
`
`
`Deposition of Dr. Hoem, August 15, 2019 (IPR2018-01730).
`
`Reserved.
`
`Declaration of Robert S. McQuate (IPR2018-00295).
`
`Reserved.
`
`Deposition of Dr. Hoem, November 8, 2019 (IPR2018-01730).
`
`Aker Biomarine Antarctic AS v. Rimfrost AS, Nos. 2019-1097,
`2019-1078 (Fed. Cir. Oct. 3, 2019)
`
`
`
`
`Dated: November 20, 2019.
`
`
`
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`
`
`By:
`
`
`
`
`
`
`
`
`/Michael I. Chakansky/
`Michael I. Chakansky (Reg.
`No. 31,600)
`Hoffmann & Baron, LLP
`4 Century Drive
`
`Parsippany, N.J. 07054
`mchakansky@hbiplaw.com
`Tel: 973.331.1700
`
`
`
`- 13 -
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`IPR2018-01730
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`
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`
`
`U.S. Patent No. 9,072,752
`
`
`
`CERTIFICATE OF SERVICE
`
`
`
`I hereby certify that on this the 20th day of November, 2019, the foregoing
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`PETITIONER’S SECOND UPDATED EXHIBIT LIST and all not previously
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`served exhibits were served in their entirety on the following counsel of record by
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`electronic service by email at the email addresses as set forth below in accordance
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`with the consent set forth in Patent Owner’s Mandatory Notices Pursuant to 37
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`C.F.R. § 42.8 (Paper No. 4, p. 3).
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`David A. Casimir
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`J. Mitchell Jones
`CASIMIR JONES S.C.
`2275 Deming Way, Suite 310
`Middleton, WI 53562
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`docketing@casimirjones.com
`dacasimir@casimirjones.com
`jmjones@casimirjones.com
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`By:
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`/Michael I. Chakansky/
`Michael I. Chakansky (Reg. No. 31,600)
`Hoffmann & Baron, LLP
`4 Century Drive
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`Parsippany, N.J. 07054
`mchakansky@hbiplaw.com
`Tel: 973.331.1700
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`- 14 -
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