PTO/AIA/15 (03-13)
`Approved for use through 01/31/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
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`
`UTILITY
`
`PATENT APPLICATION
`
`35401 -71 6.301
`
`TRANSMITTAL
`
`(Onlyfor new nonprovisional applications under 37 CFR 1.53(b))
`
`APPLICATION ELEMENTS
`See MPEP chapter 600 concerning utility patent application contents.
`
`ADDRESS TO:
`
`Electronically Filed 10/29/14
`Commissioner for Patents
`P.O. Box 1450
`
`Alexandria, VA 22313-1450
`
`1.
`
`2.
`
`Fee Transmittal Form
`(PTO/SB/17 or equivalent)
`
`Applicant asserts small entity status.
`See 37 CFR 1.27
`
`3. D Applicant certifies micro entity status. See 37 CFR 1.29.
`Applicant must attach form PTO/SB/15A or B or equivalent.
`
`]
`[Total Pages 86
`4. I Specification
`Both the claims and abstract must start on a new page.
`(See MPEP § 608.01 (a) for information on the preferred arrangement)
`
`[Toto/Sheets 5
`5.. Drawing(s) (35 U.S.C. 113)
`[Total Pages
`6. Inventor’s Oath or Declaration
`(including substitute statements under 37 CFR 1. 64 and assignments
`serving as an oath or declaration under 37 CFR 1. 63(e))
`
`]
`]
`
`a. D Newly executed (original or copy)
`b. D A copy from a prior application (37 CFR 1.63(d))
`Application Data Sheet
`*See note below.
`See 37 CFR 1.76 (PTO/AlA/14 or equivalent)
`CD-ROM or CD-R
`in duplicate, large table, or Computer Program (Appendix)
`
`7.
`
`8.
`
`D Landscape Table on CD
`9. Nucleotide and/or Amino Acid Sequence Submission
`(if applicable, items a. — c. are required)
`
`ACCOMPANYING APPLICATION PAPERS
`
`10. D Assignment Papers
`(cover sheet & document(s))
`Name of Assignee
`
`
`37 CFR 3.73(c) Statement
`(when there is an assignee)
`
`E Power of Attorney
`
`English Translation Document
`(if applicable)
`Information Disclosure Statement
`(PTO/SB/08 or PTO-1449)
`
`|:| Copies of citations attached
`Preliminary Amendment
`Return Receipt Postcard
`(MPEP § 503) (Should be specifically itemized)
`
`Certified Copy of Priority Document(s)
`(ifforeign priority is claimed)
`
`18. |:| Other:
`
`17. I: Nonpublication Request
`Under 35 U.S.C. 122(b)(2)(B)(i). Applicant must attach form PTO/SB/35
`or equivalent.
`
`
`
`
`
`
`a. D Computer Readable Form (CRF)
`b.|:| Specification Sequence Listing on:
`i. D CD—ROM or CD—R (2 copies); or
`ii.|:| Paper
`c. D Statements verifying identity of above copies
`*Note:
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`(2) For applications filed under 35 U.S.C. 111, the application must contain an ADS specifying the applicant if the applicant is an
`assignee, person to whom the inventor is under an obligation to assign, or person who otherwise shows sufficient proprietary
`interest in the matter. See 37 CFR 1.46(b).
`19. CORRESPONDENCE ADDRESS
`
`
`The address associated with Customer Number: 21971
`
`OR B Correspondence address below
`
`Name
`
`Address
`
`
`
`City
`
`lMatthew v. Grumbling/
`
`10/29/2014
`
`—_— ZipCode
`Country— Telephone—-
`Signature
`Name
`44 427
`Matthew V. Grumbling
`(Print/Type)
`This collection of information'ls required by 37 CFR 1.53b
`).The information'ls required to obtain or retain a benefit by the public which'ls to file (and by the USPTO
`to process) an application. Confidentiality'ls governed by 35 U.S.C. 122 and 37 CFR 1.11 and 1.14. This collection'ls estimated to take 12 minutes 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, U.S. Department of Commerce, PO. 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.
`Ifyou need assistance in completing the form, call 1-800—PTO—9199 and select option 2.
`
`AQUESTIVE EXHIBIT 1002
`
`AQUESTIVE EXHIBIT 1002 page 0001
`
`page 0001
`
`

`

`Privacy Act Statement
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`The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection with your
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`1. The information on this form will be treated confidentially to the extent allowed under the Freedom of
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`8. A record from this system of records may be disclosed, as a routine use, to the public after either
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`U.S.C. 151. Further, a record may be disclosed, subject to the limitations of 37 CFR 1.14, as a routine
`use, to the public if the record was filed in an application which became abandoned or in which the
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`if the USPTO becomes aware of a violation or potential violation of law or
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`
`AQUESTIVE EXHIBIT 1002
`
`AQUESTIVE EXHIBIT 1002 page 0002
`
`page 0002
`
`

`

`PTO/AIN14 (12-13)
`Approved for use through 0181/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`
`
`
`
`
`Title of Invention
`
`ADMINISTRATION OF BENZODIAZEPINE COMPOSITIONS
`
`The application data sheet is part of the provisional or nonprovisional application for which it is being submitted. The following form contains the
`bibliographic data arranged in a format specified by the United States Patent and Trademark Office as outlined in 37 CFR 1.76.
`This document may be completed electronically and submitted to the Office in electronic format using the Electronic Filing System (EFS) or the
`document may be printed and included in a paper filed application.
`
`Secrecy Order 37 CFR 5.2
`
`I:I Portions or all of the application associated with this Application Data Sheet may fall under a Secrecy Order pursuant to
`37 CFR 5.2 (Paper filers only. Applications that fall under Secrecy Order may not be filed electronically.)
`
`
`Inventor Information:
`
`Inventor
`
`1
`
`Legal Name
`
`
`Prefix Given Name
`Middle Name
`Family Name
`
`Residence Information (Select One)
`(9 US Residency 0 Non US Residency 0 Active US Military Service
`
`City
`
`Union City
`
`StatelProvince
`
`Country of Residence I
`
`US
`
`Mailing Address of Inventor:
`
`Address 1
`
`Address 2
`
`3260 Whipple Road
`
`Postal Code
`
`94587
`
`us
`
`Suffix
`
`
`Inventor
`2
`
`Middle Name
`
`David
`Medeiros
`
`
`Legal Name
`
`Prefix Given Name
`
`Residence Information (Select One) @ US Residency 0 Non US Residency 0 Active US Military Service
`
`City
`
`South San Francisco
`
`StatelProvince
`
`CA
`
`Country of Residence i
`
`US
`
`Suffix
`
`
`
`
`
`
`
`
`Mailing Address of Inventor:
`
`Address 1
`
`Address 2
`
` 212 Crown Circle
`
`
`South San Francisco
`
`StatelProvince
`
`Postal Code
`
`94080
`
`Inventor
`
`3
`
`Legal Name
`
`
`
`
`
`
`
` Prefix Given Name Middle Name Family Name Suffix
`
`Garry
`
`Thomas
`
`Gwozdz
`
`
`Residence Information (Select One) @ US Residency 0 Non US Residency
`Active US Milita Service
`AQUESTIVE XHTBiTIfifi
`pagetms
`
`AQUESTIVE EXHIBIT 1002 page 0003
`
`EFS Web 2.2.11
`
` _
`
`_
`Application Data Sheet 37 CFR 1.76
`
`
`Attorney Docket Number
`35401-716301
`
`
`
`Application Number
`
`

`

`PTO/AIN14 (12-13)
`Approved for use through 0181/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; US. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`
` Attorney Docket Number
`35401-716301
`
`Application Data Sheet 37 CFR 1.76
`
`Application Number
`
`Title of Invention
`ADMINISTRATION OF BENZODIAZEPINE COMPOSITIONS
`
`
`
`
`
`
`
`
`
`
`
`
`Jim ThorpeCity US I StateIProvince | PA | Country of Residencei
`
`
`
`Mailing Address of Inventor:
`
`Address 2
`
`Address 1
`
`432 Pine Street
`
`Jim Thorpe
`
`Statel'Province
`
`Postal Code
`
`18229
`
`Inventor
`
`4
`
`Legal Name
`
`
`Prefix Given Name
`Middle Name
`Family Name
`
`
`Residence Information (Select One) 0 US Residency @ Non US Residency 0 Active US Military Service
`
`Suffix
`
`City
`
`Philadephia
`
`Country of Residence i
`
`US
`
`Mailing Address of Inventor:
`
`Address 1
`
`Address 2
`
`126 Market Street, #5
`
`
`
`
`City
`Philadelphia
`Statel'Province
`PA
`
`Postal Code
`
`19106
`
`Country i
`
`US
`
`Remove
`
`Inventor
`5
`
`Legal Name
`
`'w Middle Name
`
`
`
`Family Name
`
`Residence Information (Select One) 6) US Residency 0 Non US Residency 0 Active US Military Service
`
`City
`
`StatelProvince
`
`Country ofResidencei
`
`US
`
`Suffix
`
`Mailing Address of Inventor:
`
`Address 2
`
`
`Address 1
`
`80 Three Mile Harbor Drive
`
`City
`
`East Hampton
`
`Postal Code
`
`11937
`
`Statel'Province
`
`NY
`
`US
`
`
`Inventor
`6
`
`Legal Name
`
`
`
`
`Prefix Given Name
`David
`
`Middle Name
`
`
`
`Family Name
`Hale
`
`Suffix
`
`
`
`AQUESTIVE EXHIBIT 1002 page 0004
`
`
`Residence Information (Select One) 6) US Residency O NOAWJME (EXIHtlBIJ'B flifllfifil Sepage 0004
`EFS Web 2.2.11
`
`
`
`

`

`PTO/AIN14 (12-13)
`Approved for use through 0181/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`
` Attorney Docket Number
`35401-716301
`
`Application Data Sheet 37 CFR 1.76
`
`Application Number
`
`Title of Invention
`ADMINISTRATION OF BENZODIAZEPINE COMPOSITIONS
`
`
`
`
`
`
`
`
`I StatelProvince | CA | Country of ResidenceiSan DiegoCity US
`
`
`
`
`
`
`
`
`
`Mailing Address of Inventor:
`
`Address 1
`9232 Bernardo Lakes Drive
`
`Address 2
`
`Postal Code
`
`Inventor
`
`7
`
`92127
`
`Legal Name
`
`Prefix Given Name
`Middle Name
`Family Name
`Suffix
`
`Residence Information (Select One)
`
`(9 US Residency 0 Non US Residency 0 Active US Military Service
`
`StatelProvince
`
`CA
`
`Country of Residence i
`
`US
`
`
`
`City
`
`San Diego
`
`
`Mailing Address of Inventor:
`
`Address 1
`
`Address 2
`
`Postal Code
`
`Inventor
`
`8
`
`16870 W. Bernardo Drive
`
`Suite 390
`
`92127
`
`US
`
`Legal Name
`
`Prefix— Middle Name
`
`Family Name
`
`Residence Information (Select One)
`
`(9 US Residency 0 Non US Residency 0 Active US Military Service
`
`Mailing Address of Inventor:
`
`Address 1
`
`Address 2
`
`Inventor
`
`9
`
`Legal Name
`
`Prefix Given Name
`Middle Name
`Family Name
`Suffix
`J—l—l%_
`Residence Information (Select One) @ US Residency 0 Non US Residency 0 Active US Military Service
`AQUESTIVE EXHIBIT 1002 page 0005
`——- wwwmm 1002
`pageooos
`EFS Web 2.2.11
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`

`

`PTO/AIN14 (12-13)
`Approved for use through 0181/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`
`
`Attorney Docket Number
`
`Application Data Sheet 37 CFR 1.76
`
`Application Number
`
`
`35401-716301
`
`
`
`
`
`ADMINISTRATION OF BENZODIAZEPINE COMPOSITIONS
`Title of Invention
`
`
`
`
`Mailing Address of Inventor:
`
`Address 1
`
`Address 2
`
`
`
`
`
`
`
`Postal Code
`
`Inventor
`
`10
`
`Legal Name
`
`
`
`
`Prefix Given Name
`Middle Name
`Family Name
`Suffix
`—l—l%_
`Residence Information (Select One) @ US Residency 0 Non US Residency 0 Active US Military Service
`City
`StateIProvince |
`| Country of Residencei |
`
`
`
`Mailing Address of Inventor:
`Address 1
`
`Address 2
`
`
`
`
` Postal Code Country i
`
`
`Inventor
`
`11
`
`Legal Name
`
`Prefix
`
`Middle Name
`
`Family Name
`
`Suffix
`
`Residence Information (Select One) @ US Residency 0 Non US Residency 0 Active US Military Service
`City
`StateIProvince - Country of Residencei
`
`
`Mailing Address of Inventor:
`
`Address 1
`
`Address 2
`
`
`
`
`City
`Statel'Province
`
`Postal Code
`
`Country i
`
`
`Inventor
`12
`
`Legal Name
`
`Prefixw Middle Name
`
`Family Name
`
`Suffix
`
`Residence Information (Select One)
`(9 US Residency 0 Non US Residency 0 Active US Military Service
`City— StateIProvince - Country of Residencei
`AQUESTIVE EXHIBIT 1002 page 0006
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`EFS Web 2.2.11
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`AQUESTIVE EXHIBIT 1002
`
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`
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`

`PTO/AIN14 (12-13)
`Approved for use through 0181/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; US DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`
`Attorney Docket Number
`
` Application Data Sheet 37 CFR 1.76
`
`
`35401-716301
`
`
`
`ADMINISTRATION OF BENZODIAZEPINE COMPOSITIONS
`Title of Invention
`
`
`
`
`Application Number
`
`
`
`
`
`Mailing Address of Inventor:
`Address 1
`
`
`
`
`Address 2
`
`
`
`
`
`
`
`
`Inventor Information blocks may be
`Inventors Must Be Listed - Additional
`All
`generated within this form by selecting the Add button.
`
`Add
`
`Correspondence Information:
`
`Enter either Customer Number or complete the Correspondence Information section below.
`For further information see 37 CFR 1.33(a).
`
`
`
`
`
`|:| An Address is being provided for the correspondence Information of this application.
`
`Customer Number
`
`21971
`
`Email Address
`
`patentdocket@wsgr.com
`
`I
`
`Application Information:
`
`Title of the Invention
`
`ADMINISTRATION OF BENZODIAZEPINE COMPOSITIONS
`
`Attorney Docket Number 35401-716301
`
`Small Entity Status Claimed
`
`Application Type
`
`Nonprovisional
`
`Total Number of Drawing Sheets (if any)
`
`Suggested Figure for Publication (if any)
`
`Filing By Reference:
`
`Only complete this section when filing an application by reference under 35 U.S.C. 1 11(c) and 37 CFR 1.57(a). Do not complete this section if
`application papers including a specification and any drawings are being filed. Any domestic benefit or foreign priority information must be
`provided in the appropriate sectionls) below (i.e., "Domestic Benefit/National Stage Information" and "Foreign Priority Information").
`
`For the purposes of a filing date under 37 CFR I.S3(b), the description and any drawings of the present application are replaced by this
`reference to the previously filed application, subject to conditions and requirements of 37 CFR 1.57(a).
`
`Application number of the previously
`
`Filing date (YYYY-MM-DD)
`
`Intellectual Property Authority or Country i
`
`
`
`
`Publication Information:
`
`|:| Request Early Publication (Fee required at time of Request 37 CFR 1.219)
`
`I:
`
`Request Not to Publish. I hereby request that the attached application not be published under
`35 U.S.C. 122(b) and certify that the invention disclosed in the attached application has not and will not be the
`subject of an application filed in another country, or under a multilateral international agreement, that requires
`
`publication at eighteen months after filing.
`
`EFS Web 2.2.11
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`AQUESTIVE EXHIBIT 1002
`
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`
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`

`PTO/AIN14 (12-13)
`Approved for use through 0181/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`
`_
`_
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`_
`
`35401-716301
`
`ADMINISTRATION OF BENZODIAZEPINE COMPOSITIONS
`
`_ Title of Invention
`21971
`
`Representative Information:
`
`Representative information should be provided for all practitioners having a power of attorney in the application. Providing
`this information in the Application Data Sheet does not constitute a power of attorney in the application (see 37 CFR 1.32).
`Either enter Customer Number or complete the Representative Name section below.
`If both sections are completed the customer
`Number will be used for the Representative Information during processing.
`
`Please Select One:
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`@ Customer Number
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`0 US Patent Practitioner 0 Limited Recognition (37 CFR 11.9)
`
`Customer Number
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`Domestic Benefit/National Stage Information:
`This section allows for the applicant to either claim benefit under 35 U.S.C. 119(e), 120, 121, or 365(c) or indicate National Stage
`entry from a PCT application. Providing this information in the application data sheet constitutes the specific reference required
`by 35 U.S.C. I 19(e) or 120, and 37 CFR 1.78.
`When referring to the current application, please leave the application number blank.
`
`Prior Application Status
`
`Pending
`
`Application Number
`
`Continuity Type
`
`Prior Application Number
`
`Filing Date (YYYY-MM-DD)
`
`Continuation of
`
`13495942
`
`2012-06-13
`
`Prior Application Status
`
`Pending
`
`Application Number
`
`Continuity Type
`
`Prior Application Number
`
`Filing Date (YYYY-MM-DD)
`
`13495942
`
`Continuation in part of
`
`12413439
`
`2009-03-27
`
`
`
` Prior Application Status Expired
`
`Application Number Filing Date (YYYY-MM-DD) Continuity Type Prior Application Number
`
`
`
`
`
`6104055812413439 2008-03-28
`Claims benefit of provisional
`
`
`
` Prior Application Status Expired
`
`Application Number Filing Date (YYYY-MM-DD) Continuity Type Prior Application Number
`
`
`
`
`
`6149701713495942 2011—06—14
`Claims benefit of provisional
`
`
`
` Prior Application Status Expired
`
`
`
`
`
`
`
`
`
` 61570110
`
` 2011—12—13
`
`Application Number Filing Date (YYYY-MM-DD) Continuity Type Prior Application Number
`13495942
`
`Claims benefit of provisional
`
`Additional Domestic Benefit/National Stage Data may be generated within this form
`by selecting the Add button.
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`Add
`
`Foreign Priority Information:
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`PTO/AlAl14 (12-13)
`Approved for use through 0181/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`
` Attorney Docket Number
`35401-716301
`
`Application Data Sheet 37 CFR 1.76
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`Application Number
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`Title of Invention
`ADMINISTRATION OF BENZODIAZEPINE COMPOSITIONS
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`This section allows for the applicant to claim priority to a foreign application. Providing this information in the application data sheet
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`constitutes the claim for priority as required by 35 U_S_C_ 119(b) and 37 CFR 1.55(d)_ When priority is claimed to a foreign application
`that is eligible for retrieval under the priority document exchange program (PDX) ithe information will be used by the Office to
`automatically attempt retrieval pursuant to 37 CFR 1.55(h)(1) and (2). Under the PBX program, applicant bears the ultimate
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`responsibility for ensuring that a copy of the foreign application is received by the Office from the participating foreign intellectual
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`property office, or a certified copy of the foreign priority application is filed, within the time period specified in 37 CFR 1.55(g)(1).
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`Application Number
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`Country i
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`Filing Date (YYYY-MM-DD)
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`Access Codei (if applicable)
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`Additional Foreign Priority Data may be generated within this form by selecting the
`Add button.
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`Add
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`Statement under 37 CFR 1.55 or 1.78 for AIA (First Inventor to File) Transition
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`Applications
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`This application (1) claims priority to or the benefit of an application filed before March 16, 2013 and (2) also
`contains, or contained at any time, a claim to a claimed invention that has an effective filing date on or after March
`|:| 16, 2013.
`NOTE: By providing this statement under 37 CFR 1.55 or 1.78, this application, with a filing date on or after March
`16, 2013, will be examined under the first inventor to file provisions of the AIA.
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`Authorization to Permit Access:
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`Authorization to Permit Access to the Instant Application by the Participating Offices
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`EFS Web 2.2.11
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`AQUESTIVE EXHIBIT 1002
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`AQUESTIVE EXHIBIT 1002 page 0009
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`page 0009
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`PTO/AIN14 (12-13)
`Approved for use through 0181/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`
` Attorney Docket Number
`35401-716301
`
`Application Data Sheet 37 CFR 1.76
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`Application Number
`
`Title of Invention
`ADMINISTRATION OF BENZODIAZEPINE COMPOSITIONS
`
`
`
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`If checked, the undersigned hereby grants the USPTO authority to provide the European Patent Office (EPO),
`the Japan Patent Office (JPO), the Korean Intellectual Property Office (KIPO), the World Intellectual Property Office (WIPO),
`and any other intellectual property offices in which a foreign application claiming priority to the instant patent application
`is filed access to the instant patent application. See 37 CFR 114(0) and (h). This box should not be checked if the applicant
`does not wish the EPO, JPO, KIPO, WIPO, or other intellectual property office in which a foreign application claiming priority
`to the instant patent application is filed to have access to the instant patent application.
`
`In accordance with 37 CFR 1.14(h)(3), access will be provided to a copy of the instant patent application with respect
`to: 1) the instant patent application-as—filed; 2) any foreign application to which the instant patent application
`claims priority under 35 U.S.C. 119(a)—(d) if a copy of the foreign application that satisfies the certified copy requirement of
`37 CFR 1.55 has been filed in the instant patent application; and 3) any US. application—as—filed from which benefit is
`sought in the instant patent application.
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`In accordance with 37 CFR 1.14(c), access may be provided to information concerning the date of filing this Authorization.
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`Applicant Information:
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`Providing assignment information in this section does not substitute for compliance with any requirement of part 3 of Title 37 of CFR
`to have an assignment recorded by the Office.
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`Applicant
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`1
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`If the applicant is the inventor (or the remaining joint inventor or inventors under 37 CFR 1.45), this section should not be completed.
`The information to be provided in this section is the name and address of the legal representative who is the applicant under 37 CFR
`1.43; or the name and address of the assignee, person to whom the inventor is under an obligation to assign the invention, or person
`who otherwise shows sufficient proprietary interest in the matter who is the applicant under 37 CFR 1.46. If the applicant is an
`applicant under 37 CFR 1.46 (assignee, person to whom the inventor is obligated to assign, or person who otherwise shows sufficient
`proprietary interest) together with one or more joint inventors, then the joint inventor or inventors who are also the applicant should be
`identified in this section.
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`0 Legal Representative under 35 U.S.C. 117
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`0 Joint Inventor
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`O Person who shows sufficient proprietary interest
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` 0 Person to whom the inventor is obligated to assign.
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`If applicant is the legal representative, indicate the authority to file the patent application, the inventor is:
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`Name of the Deceased or Legally lncapacitated Inventor::|
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`If the Applicant is an Organization check here.
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`Organization Name
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`Hale Biopharma Ventures
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`Mailing Address Information:
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`1042-8 North El Camino Real, Suite 430
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`Fax Number
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`Address 1
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`Address 2
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`Phone Number
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`EFS Web 2.2.11
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`AQUESTIV
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`t
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`AQUESTIVE EXHIBIT 1002 page 0010
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`I
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`I
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`page II
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`I
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`PTO/AIN14 (12-13)
`Approved for use through 0181/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`
` Attorney Docket Number
`35401-716301
`
`Application Data Sheet 37 CFR 1.76
`
`Application Number
`
`Title of Invention
`ADMINISTRATION OF BENZODIAZEPINE COMPOSITIONS
`
`
`
`
`Email Address
`
`
`
`
`
`Additional Applicant Data may be generated within this form by selecting the Add button.
`
`Add
`
`Assignee Information including Non-Applicant Assignee Information:
`
`Providing assignment information in this section does not subsitute for compliance with any requirement of part 3 of Title 37 of CFR to
`have an assignment recorded by the Office.
`
`Assignee
`
`1
`
`Complete this section if assignee information, including non-applicant assignee information, is desired to be included on the patent
`application publication . An assignee—applicant identified in the "Applicant Information" section will appear on the patent application
`publication as an applicant. For an assignee-applicant, complete this section only if identification as an assignee is also desired on the
`patent application publication.
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`Remove
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`If the Assignee or Non-Applicant Assignee is an Organization check here. |:|
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`Prefix
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`Given Name
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`Middle Name
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`Family Name
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`Suffix
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`Signature:
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`NOTE: This form must be signed in accordance with 37 CFR 1.33. See 37 CFR 1.4 for signature requirements and
`certifications
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`lMatthew V. Grumbling]
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`Date (YYYY-MM-DD)
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`Signature First Name
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`Matthew
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`Grumbling
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`Registration Number
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`2014-10-29
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`44427
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`Additional Signature may be generated within this form by selecting the Add button.
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`EFS Web 2.2.11
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`AQUESTIVE EXHIBIT 1002
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`AQUESTIVE EXHIBIT 1002 page 0011
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`page 0011
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`Mailing Address Information For Assignee including Non-Applicant Assignee:
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`Address 1
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`Address 2
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`Email Address
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`Additional Assignee or Non-Applicant Assignee Data may be generated within this form by
`.
`Add
`selectIng the Add button.
`
`

`

`PTO/AlAl14 (12—13)
`Approved for use through 0181/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`
`_
`_
`Appllcatlon Data Sheet 37 CFR 1.76
`
`_ Title of Invention
`
`Attorney Docket Number
`_
`
`35401-716301
`
`ADMINISTRATION OF BENZODIAZEPINE COMPOSITIONS
`
`This collection of information is required by 37 CFR 1.76. 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 23 minutes to complete, including gathering, preparing, and submitting the completed application data
`sheet 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, US. Patent and
`Trademark Office, US. Department of Commerce, PO. 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.
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`EFS Web 2.2.11
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`AQUESTIVE EXHIBIT 1002
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`AQUESTIVE EXHIBIT 1002 page 0012
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`page 0012
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`Privacy Act Statement
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`The information provided by you in this form will be subject to the following routine uses:
`
`1.
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`The information on this form will be treated confidentially to the extent allowed under the Freedom of Information Act (5 U.S.C. 552)
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`(1) the general authority for the collection
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