PTO/AIA/15 (03-13)
`Approved for use through 01/31/2014. OMB 0651-0032
`,-Patentane Treemari once U.~ es OF COMMERCE
`[asao1-716.201
`Steve Cart
`
`UTILITY
`PATENT APPLICATION
`
`TRANSMITTAL
`
`(Onlyfor new nonprovisional applications under 37 CFR 1.53(b))
`APPLICATION ELEMENTS
`See MPEP chapter 600 concerningutility patent application contents.
`
`]
`
`ADDRESS TO:
`
`Electronically Filed 10/29/1 4
`Commissionerfor Patents
`P.O. Box 1450
`Alexandria, VA 22313-1450
`ACCOMPANYING APPLICATION PAPERS
`1.[+] Fee Transmittal Form
`(PTO/SB/17 or equivalent)
`
`2. 10.[] Assignment PapersApplicant asserts small entity status.
`
`See 37 CFR 1.27
`(cover sheet & document(s))
`3. [| Applicant certifies micro entity status. See 37 CFR 1.29.
`Nameof Assignee
`
`Applicant must attach form PTO/SB/15Aor B or equivalent.
`11. [| 37 CFR 3.73(c) Statement
`4, [v] Specification
`[Total Pages 86
`(when thereis an assignee)
`Both the claims and abstract must start on a new page.
`2. [| English Translation Document
`(See MPEP § 608.01(a)for information on the preferred arrangement)
`(ifapplicable)
`5.[¥] Drawing(s) (35 U.S.C. 113)
`[Total Sheets >
`]
`13. [| Information Disclosure Statement
`6. Inventor's Oath or Declaration
`[Total Pages
`]
`(PTO/SB/08 or PTO-1449)
`(including substitute statements under 37 CFR 1.64 and assignments
`serving as an oath or declaration under 37 CFR 1.63(e))[] Copiesofcitations attached
`a. [| Newly executed(original or copy)
`14. Cl Preliminary Amendment
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`15. [| Return Receipt Postcard
`Application Data Sheet
`* See note below.
`(MPEP § 503) (Should be specifically itemized)
`See 37 CFR 1.76 (PTO/AIA/14 or equivalent)
`16. C] Certified Copy of Priority Document(s)
`CD-ROM or CD-R
`(ifforeign priority is claimed)
`7 C]
`in duplicate, large table, or Computer Program (Appendix)
`Nonpublication Request
`
`[] Landscape Table on CD Under 35 U.S.C. 122(b)(2)(B)(i). Applicant must attach form PTO/SB/35
`9. Nucleotide and/or Amino Acid Sequence Submission
`or equivalent.
`
`(ifapplicable, items a. —c. are required)
`18. [| Other:
`
`a. [| Computer Readable Form (CRF)
`
`b.[ | Specification Sequence Listing on:
`
`i.[] CD-ROM or CD-R (2 copies); or
`
`ii.[ | Paper
`Cc. [| Statementsverifying identity of above copies
`*Note:
`(1) Benefit claims under 37 CFR 1.78 and foreign priority claims under 1.55 must be included in an Application Data Sheet (ADS).
`(2) For applications filed under 35 U.S.C. 111, the application must contain an ADS specifying the applicantif the applicant is an
`assignee, person to whom the inventor is under an obligation to assign, or person who otherwise showssufficient proprietary
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`19. CORRESPONDENCE ADDRESS
`
`
`
`[| Powerof Attorney
`
`
`The address associated with Customer Number: 21971
`Name
`
`OR [| Correspondence address below
`
`Address
`ay |tate| Zip core
`country|i telephone|Lema|
`signature
`|/Matthew V. Grumbling/
`10/29/2014
`Nameie) [Matthew V. Grumbling
`44,427
`This collection of information is required by 37 CFR 1.53(b). The information is required to obtain or retain a benefit by the public whichis to file (and by the USPTO
`to process) an application. Confidentiality is governed by 5 U.S.C. 122 and 37 CFR 1.11 and 1.14.This collection is estimated to take 12 minutes to complete,
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`Trademark Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMSTO THIS ADDRESS. SEND
`TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`ffyou need assistance in completing the form, call 1-800-PTO-9199 and select option 2.
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`AQUESTIVE EXHIBIT 1002
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`AQUESTIVE EXHIBIT 1002 page 0001
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`

`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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`use, to the public if the record was filed in an application which became abandoned or in which the
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`AQUESTIVE EXHIBIT 1002
`
`AQUESTIVE EXHIBIT 1002 page 0002
`
`page 0002
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`

`PTOVAIAI14 (12-13)
`Approved for use through 01/31/2014. 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 ofinformation unless it contains a valid OMB control number.
`
` .
`
`. Attorney Docket Number|35401-716.301
`
`
`Application Data Sheet 37 CFR 1.76
`
`Application Number
`
`
`
`
`
`
`
`Title of Invention|ADMINISTRATION OF BENZODIAZEPINE COMPOSITIONS
`
`The application data sheetis part of the provisional or nonprovisional application for whichit 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
`Oo Portions or all of the application associated with this Application Data Sheet may fall under a Secrecy Order pursuantto
`37 CFR 5.2 (Paperfilers only. Applications that fall under Secrecy Order may notbe filed electronically.}
`
`Inventor Information:
`
`
`1
`
`Inventor
`Legal Name
`
`Prefix) Given Name
`Middle Name
`Family Name
`Suffix
`
`
`Residence Information (Select One)
`(e) US Residency
`©) NonUS Residency
`() Active US Military Service
`
`City|Union City Country of Residence i|USState/Province
`
`
`Mailing Addressof Inventor:
`
`Address 1
`
`Address 2
`
`3260 Whipple Road
`
`Postal Code
`
`94587
`
`US
`
`2
`Inventor
`
`Legal Name
`
`
`
`David
`Medeiros
`
`Residence Information (Select One)
`(@} US Residency
`©) NonUS Residency
`() Active US Military Service
`
`
`City|South San Francisco State/Province|CA Country of Residence i|US
`
`
`
`
`
`
`
`Mailing Address of Inventor:
`
` 212 Crown Circle
`
`Address 1
`
`Address 2
`
`
`
`South San Francisco
`
`State/Province
`
`Postal Code
`
`94080
`
`Inventor
`Legal Name
`
`3
`
`Prefix) Given Name
`
`Garry
`
`Residence Information (Select One)
`
`EFS Web 2.2.11
`
`Middle Name
`
`Thomas
`
`(@) US Residency
`
`Family Name
`
`Gwozdz
`
`Suffix
`
`©) NonUS Residency g Active US Mitary Service
`AQUESTIVE EXHIBIT 1002 page 0003
`AQUESTIVE EXHIBIT 1002—
`page
`
`

`

`PTOVAIAI14 (12-13)
`Approved for use through 01/31/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Underthe 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|35401-716.301
`
`
`Application Data Sheet 37 CFR 1.76
`
`
`
`
`
`ADMINISTRATION OF BENZODIAZEPINE COMPOSITIONS
`Title of Invention
`
`
`
`
`City | Country of Residence!|US Jim Thorpe | State/Province | PA
`
`Application Number
`
`Mailing Address of Inventor:
`
`Address 1
`
`432 Pine Street
`
`Address 2
`
`Jim Thorpe
`
`Postal Code
`
`18229
`
`State/Province
`
`4
`Inventor
`Legal Name
`
`
`Prefix) Given Name
`
`Middle Name
`
`Family Name
`
`Suffix
`
`Andrew
`
`Residence Information (Select One)
`(> US Residency
`(@) NonUS Residency
`() Active US Military Service
`
`City|Philadephia Country of Residencej US
`
`
`Mailing Addressof Inventor:
`
`Address 1
`
`126 Market Street, #5
`
`
`
`Address 2
`
`
`City
`Philadelphia
`State/Province
`PA
`
`Postal Code
`
`19106
`
`Country i
`
`US
`
`
`
`
`
`() Active US Military Service
`©) NonUS Residency
`Residence Information (Select One) () US Residency
`
`City Country of Residence i|USState/Province
`
`
`Mailing Addressof Inventor:
`
`Address 1
`
`80 Three Mile Harbor Drive
`
`
`
`
`Address 2
`
`City
`
`East Hampton
`
`Postal Code
`
`11937
`
`State/Province
`
`NY
`
`US
`
`
`Inventor
`6
`Legal Name
`
`
`Prefix) Given Name
`David
`
`Residence Information (Select One)
`EFS Web 2.2.11
`
`
`
`(@) US Residency
`
`Middle Name
`
`Family Name
`Hale
`
`
`
`AQUESTIVE EXHIBIT 1002 page 0004
`(©) NoAQSIRESIEIQE (BX4cRBUE mhQQ2 sepage 0004
`
`Suffix
`
`Remove
`
`Inventor
`5
`Legal Name
`|GivenName Middle Name
`
`Family Name
`
`Suffix
`
`
`
`

`

`Address 1
`
`9232 Bernardo Lakes Drive
`
`7
`
`Inventor
`Legal Name
`
`
`Address 2
`
`
`Prefix) Given Name
`
`Middle Name
`
`Family Name
`
`Suffix
`
`() Active US Military Service
`©) NonUS Residency
`(@) US Residency
`Residence Information (Select One)
`
`
`City|San Diego State/Province|CA Country of Residence i|US
`
`
`
`PTOVAIAI14 (12-13)
`Approved for use through 01/31/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Underthe 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|35401-716.301
`
`
`Application Data Sheet 37 CFR 1.76
`
`
`
`
`
`ADMINISTRATION OF BENZODIAZEPINE COMPOSITIONS
`Title of Invention
`
`
`
`
`City | Country of Residencei|US San Diego | State/Province | CA
`
`Application Number
`
`Mailing Address of Inventor:
`
`
`
`Mailing Addressof Inventor:
`
`Address 1
`
`Address 2
`
`16870 W. Bernardo Drive
`
`Suite 390
`
`Postal Code
`
`92127
`
`US
`
`8
`
`Inventor
`Legal Name
`Prefix)GivenName Middle Name
`
`
`
`Family Name
`
`Residence Information (Select One)
`
`(@)} US Residency
`
`©) NonUS Residency
`
`() Active US Military Service
`
`Mailing Address of Inventor:
`
`Address 1
`
`Address 2
`
`Inventor
`Legal Name
`
`9
`
`Suffix
`
`
`
`
`
`
`
`Prefix) Given Name Suffix Middle Name Family Name
`
`ResidenceInformation (Select One)
`(@) US Residency
`(©) NonUS Residency
`() Active US Military Service
`AQUESTIVE EXHIBIT 1002 page 0005
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`ciy|=Statrovince| (-DQIMRUHNAE.AKAFTIT 1002 page 0005
`
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`
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`

`

`PTOVAIAI14 (12-13)
`Approved for use through 01/31/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Underthe 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|35401-716.301
`
`
`Application Data Sheet 37 CFR 1.76
`
`
`
`
`
`ADMINISTRATION OF BENZODIAZEPINE COMPOSITIONS
`Title of Invention
`
`
`Application Number
`
`
`
`Middle Name Family NamePrefix) Given Name Suffix
`
`
`
`
`
`
`
`
`
`Mailing Address of Inventor:
`
`
`Address 1
`
`Address 2
`
`
`Postal Code P|Countryi|
`
`Inventor
`10
`Legal Name
`
`
`©) NonUS Residency
`() Active US Military Service
`(@) US Residency
`Residence Information (Select One)
`City
`State/Province |
`| Country of Residencei |
`
`
`
`Mailing Address of Inventor:
`
`
`Address 1
`
`Address 2
`
`
` Postal Code
`
`Inventor
`11
`Legal Name
`
`Prefix
`
`Middle Name
`
`Family Name
`
`Suffix
`
`Residence Information (Select One)
`(@) US Residency
`©) NonUSResidency
`(©) Active US Military Service
`
`City State/Province|| Country of Residence |
`
`
`Mailing Addressof Inventor:
`
`Address 1
`
`Address 2
`
`
`
`State/Province
`City
`
`Postal Code
`Country i
`
`Residence Information (Select One)
`(@) US Residency
`©) NonUSResidency
`() Active US Military Service
`City Po State/Province|| Country of Residence |
`AQUESTIVE EXHIBIT 1002 page 0006
`AQUESTIVE EXHIBIT 1002
`page 0006
`
`EFS Web 2.2.11
`
`12
`Inventor
`
`Legal Name
`Prefix]GivenName Middle Name
`
`Family Name
`
`Suffix
`
`

`

`PTOVAIAI14 (12-13)
`Approved for use through 01/31/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Underthe 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|35401-716.301
`
`Application Data Sheet 37 CFR 1.76
`
`
`
`
`
`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
`
`CorrespondenceInformation:
`
`Enter either Customer Number or complete the CorrespondenceInformation section below.
`For further information see 37 CFR 1.33{a).
`
`[|]An Addressis being provided for the correspondence Information of this application.
`
`Customer Number
`
`21971
`
`
`
`
`
`
`
`
`
`
`Email Address
`
`patentdocket@wsgr.com
`
`|
`
`Application Information:
`
`Title of the Invention
`
`ADMINISTRATION OF BENZODIAZEPINE COMPOSITIONS
`
`Attorney Docket Number| 35401-716.301
`
`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 whenfiling an application by reference under 35 U.S.C. 111{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 section(s) below(i.e., “Domestic Benefit/National Stage Information” and “Foreign Priority Information’).
`
`For the purposesofa filing date under 37 CFR 1.53(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 numberof the previously
`filed application
`
`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)
`
`[]
`
`Req uest Not to Publish. | 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 andwill not be the
`subject of an application filed in another country, or under a multilateral international agreement, that requires
`publication at eighteen monthsafterfiling.
`
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`AQUESTIVE EXHIBIT 1002
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`

`PTOVAIAI14 (12-13)
`Approved for use through 01/31/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Underthe Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`
`oo Attorney Docket Number|35401-716.301
`
`Application Data Sheet 37 CFR 1.76
`
`— Title of Invention|ADMINISTRATION OF BENZODIAZEPINE COMPOSITIONS
`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
`Numberwill be used for the Representative Information during processing.
`
`Please Select One:
`Customer Number
`
`(#) Customer Number
`
`(©) US PatentPractitioner
`
`C) Limited Recognition (37 CFR 11.9)
`
`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. 119{e) or 120, and 37 CFR 1.78.
`Whenreferring to the current application, please leave the application numberblank.
`
`Prior Application Status|Pending
`
`Application Number
`
`Continuity Type
`
`Prior Application Number
`
`Filing Date (YYYY-MM-DD}
`
`Continuation of
`
`13495942
`
`2012-06-13
`
`
`
`
` 2011-12-13
`
` 61570110
`
`Prior Application Status|Pending
`
`Application Number
`
`Continuity Type
`
`Prior Application Number
`
`Filing Date (YYYY-MM-DD}
`
`13495942
`
`Continuation in part of
`
`12413438
`
`2009-03-27
`
`Prior Application Status|Expired
`
`Application Number
`Continuity Type
`Prior Application Number
`Filing Date (YYYY-MM-DD}
`
`12413438
`61040558
`2008-03-28
`Claims benefit of provisional
`
`Prior Application Status|Expired
`
`Application Number
`Continuity Type
`Prior Application Number
`Filing Date (YYYY-MM-DD}
`
`13495942
`61497017
`2011-06-14
`Claims benefit of provisional
`
`Prior Application Status|Expired
`
`Application Number
`Continuity Type
`Prior Application Number
`Filing Date (YYYY-MM-DD}
`
`13495942
`Claims benefit of provisional
`
`Additional Domestic Benefit/National Stage Data may be generated within this form
`by selecting the Add button.
`
`Add
`
`Foreign Priority Information:
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`EFS Web 2.2.11
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`AQUESTIVE EXHIBIT 1002
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`
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`

`

`PTOVAIAI14 (12-13)
`Approved for use through 01/31/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Underthe 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|35401-716.301
`
`
`
`
`
`ADMINISTRATION OF BENZODIAZEPINE COMPOSITIONS
`Title of Invention
`
`
` Application Data Sheet 37 CFR 1.76
`
`Application Number
`
`This section allows for the applicant to claim priority to a foreign application. Providing this information in the application data sheet
`
`
`
`
`
`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
`thatis eligible for retrieval uncer the priority cocument 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 PDX program, applicant bears the ultimate
`responsibility for ensuring that a copy of the foreign application is received by the Office from the participating foreign intellectual
`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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`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
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`NOTE: By providing this statement under 37 CFR 1.55 or 1.78, this application, with a filing date on or after March
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`AQUESTIVE EXHIBIT 1002
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`PTOVAIAI14 (12-13)
`Approved for use through 01/31/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Underthe Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
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`ADMINISTRATION OF BENZODIAZEPINE COMPOSITIONS
`Title of Invention
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` Application Data Sheet 37 CFR 1.76
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`If checked, the undersigned hereby grants the USPTO authority to provide the European Patent Office (EPO),
`the Japan Patent Office (JP©), the Korean Intellectual Property Office {(KIPO), the World Intellectual Property Office (WIPO),
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`©)_Joint Inventor (e) Assignee
`OQ Legal Representative under 35 U.S.C. 117
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`Organization Name
`Hale Biopharma Ventures
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`1042-B North El Camino Real, Suite 430
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`applicant under 3? CFR 1.46 {assignee, person to whom the inventoris obligated to assign, or person who otherwise showssufficient
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`PTOVAIAI14 (12-13)
`Approved for use through 01/31/2014. OMB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Underthe Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
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`Attorney Docket Number|35401-716.301
`Application Data Sheet 37 CFR 1.76
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`Signature:
`NOTE: This form must be signed in accordance with 37 CFR 1.33. See 37 CFR 1.4 for signature requirements and
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`Signature
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`—_|/Matthew V. Grumbling/
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`Date (YYYY-MM-DD)|
`
`2014-10-29
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`First Name|Matthew Registration Number|44427Grumbling
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`PTOVAIAI14 (12-13)
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`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Underthe Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`
`oo Attorney Docket Number|35401-716.301
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`Application Data Sheet 37 CFR 1.76
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`— Title of Invention|ADMINISTRATION OF BENZODIAZEPINE COMPOSITIONS
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