PTO/AIA/96 (08-12)
`Approved for use through 01/31/2013. OMB 0651-0031
`U.S. Patent and Trademark Office;U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of1995, no persons arerequired to respond to a collection of information unless it displays a valid OMB control number.
`
`STATEMENT UNDER 37 CFR 3.73(c)
`Applicant/Patent Owner: Robert Frederick VEASEY, et al.
`
`Application No./Patent No.:
`Filed/Issue Date:
`DRIVE MECHANISMS SUITABLE FOR USE IN DRUG DELIVERY DEVICES
`_ a Corporation
`
`Titled:
`SANOFI AVENTIS DEUTSCHLAND GMBH
`
`(Name of Assignee)
`
`(Type of Assignee, e.g., corporation, partnership, university, government agency, etc.)
`
`states that, for the patent application/patent identified above, it is (choose one of options 1, 2, 3 or 4 below):
`1. 0 The assignee of the entire right, title, and interest.
`2. Q An assignee of less than the entire right, title, and interest (check applicable box):
`| | The extent (by percentage) of its ownership interest is
`%. Additional Statement(s) by the owners
`holding the balance of the interest must be submitted to account for 100% of the ownership interest.
`I
`I There are unspecified percentages of ownership. The other parties, including inventors, who together own the entire
`right, title and interest are:
`
`Additional Statement(s) by the owner(s) holding the balance of the interest must be submitted to account for the entire
`right, title, and interest.
`3. O The assignee of an undivided interest in the entirety (a complete assignment from one of the joint inventors was made).
`The other parties, including inventors, who together own the entire right, title, and interest are:
`
`Additional Statement(s) by the owner(s) holding the balance of the interest must be submitted to account for the entire
`right, title, and interest.
`4. EH The recipient, via a court proceeding or the like {e.g., bankruptcy, probate), of an undivided interest in the entirety (a
`complete transfer of ownership interest was made). The certified document(s) showing the transfer is attached.
`
`The interest identified in option 1, 2 or 3 above (not option 4) is evidenced by either (choose one of options A or B below):
`A. [2] An assignment from the inventor(s) of the patent application/patent identified above. The assignment was recorded in
`the United States Patent and Trademark Office at Reel 026978
`, Frame 0938
`, or for which a copy
`thereof is attached.
`
`B.
`
`A chain of title from the inventor(s), of the patent application/patent identified above, to the current assignee as follows:
`
`1. From:
`
`To:
`The document was recorded in the United States Patent and Trademark Office at
`
`2. From:
`
`Reel
`
`, Frame
`
`, or for which a copy thereof is attached.
`To:
`The document was recorded in the United States Patent and Trademark Office at
`Reel
`, Frame
`, or for which a copy thereof is attached.
`
`[Page 1 of 2]
`This collection of information is required by37 CFR3.73(b). The information is required toobtain or retain a benefit by the public which is to file (and by the USPTO to
`process) an application. Confidentialityis governed by35 U.S.C. 122and 37CFR1.11 and1.14. Thiscollection is estimated to take 12 minutes to complete, including
`gathering, preparing, and submittingthe 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 tothe Chief Information Officer, U.S. Patent and Trademark
`Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS.SEND
`TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450
`
`If you need assistance in completing the form, call 1-800-PTO-9199 and select option 2.
`
`PFIZER, INC. v. SANOFI-AVENTIS DEUTSCHLAND GMBH
`
`Ex. 1010, p. 1 of 260
`
`

`

`PTO/AIA/96 (08-12)
`Approved for use through 01/31/2013. OMB 0651-0031
`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 displays a valid OMB control number.
`STATEMENT UNDER 37 CFR 3.73(c)
`
`3. From:
`
`4. From:
`
`5. From:
`
`6. From:
`
`To:
`
`The document was recorded in the United States Patent and Trademark Office at
`Reel
`, Frame
`, or for which a copy thereof is attached.
`
`To:
`The document was recorded in the United States Patent and Trademark Office at
`
`Reel
`
`, Frame
`
`, or for which a copy thereof is attached.
`
`To:
`The document was recorded in the United States Patent and Trademark Office at
`Reel
`, Frame
`, or for which a copy thereof is attached.
`
`To:
`The document was recorded in the United States Patent and Trademark Office at
`Reel
`, Frame
`, or for which a copy thereof is attached.
`
`I
`
`| Additional documents in the chain of title are listed on a supplemental sheet(s).
`
`0 As required by 37 CFR 3.73(c)(1 )(i), the documentary evidence of the chain of title from the original owner to the
`assignee was, or concurrently is being, submitted for recordation pursuant to 37 CFR 3.11.
`
`[NOTE: A separate copy (i.e., a true copy of the original assignment document(s)) must be submitted to Assignment
`Division in accordance with 37 CFR Part 3, to record the assignment in the records of the USPTO. See MPEP 302.08]
`
`The undersigned (whose title is supplied below) is authorized to act on behalf of the assignee.
`/David M. Frischkorn/
`June 30, 2014
`Signature
`Date
`David M. Frischkorn
`Printed or Typed Name
`
`32,833
`Title or Registration Number
`
`[Page 2 of 2]
`
`PFIZER, INC. v. SANOFI-AVENTIS DEUTSCHLAND GMBH
`
`Ex. 1010, p. 2 of 260
`
`

`

`Privacy Act Statement
`
`The Privacy Act of 1974 (P.L. 93-579) requires that yoube given certain informationin connection with your
`submission of the attached form related to a patent application or patent. Accordingly, pursuant to the
`requirements of the Act, pleasebe advised that: (1) the general authority forthe collection of thisinformation is 35
`U.S.C. 2(b)(2); (2) furnishing of the information solicited is voluntary; ancl(3) the principal purpose forwhich the
`information isused by the U.S. Patent and Trademark Office is to process and/or examine your submission related
`to a patent applicationor patent. If you do not furnish the requested information,the U.S. Patent and Trademark
`Office may not be able to process and/or examineyour submission,which may result in termination of proceedings
`or abandonment of the applicationor expiration of the patent.
`
`The informationprovided by you in this form will be subject to the following routine uses:
`
`The information on this form will be treated confidentially to the extent allowed under the Freedom of
`Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 552a). Records from this system of records
`may be disclosed to the Department of Justice to determine whether disclosure of these records is
`required by the Freedom of Information Act.
`A record from this system of records may be disclosed, as a routine use, in the course of presenting
`evidence to a court, magistrate, or administrative tribunal, including disclosures to opposing counsel in the
`course of settlement negotiations.
`A record in this system of records may be disclosed, as a routine use, to a Member of Congress
`submitting a request involving an individual, to whom the record pertains, when the individual has
`requested assistance from the Member with respect to the subject matter of the record.
`A record in this system of records may be disclosed, as a routine use, to a contractor of the Agency
`having need for the informationin order to perform a contract. Recipients of information shall be required
`to comply with the requirements of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C. 552a(m).
`A record related to an InternationalApplication filed under the Patent Cooperation Treaty in this system of
`records may be disclosed, as a routine use, to the International Bureau of the World Intellectual Property
`Organization, pursuant to the Patent Cooperation Treaty.
`A record in this system of records may be disclosed, as a routine use, to another federal agency for
`purposes of National Security review (35 U.S.C. 181) and for review pursuant to the Atomic Energy Act
`(42 U.S.C. 218(c)).
`A record from this system of records may be disclosed, as a routine use, to the Administrator, General
`Services, or his/her designee, during an inspection of records conducted by GSA as part of that agency's
`responsibility to recommend improvements in records management practices and programs, under
`authority of 44 U.S.C. 2904 and 2906. Such disclosure shall be made in accordance with the GSA
`regulations governing inspection of records for this purpose, and any other relevant (i.e., GSA or
`Commerce) directive. Such disclosure shall not be used to make determinations about individuals.
`A record from this system of records may be disclosed, as a routine use, to the public after either
`publication of the application pursuant to 35 U.S.C. 122(b) or issuance of a patent pursuant to 35 U.S.C.
`151. Further, arecord 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 proceedings were
`terminated and which application is referenced by either a published application, an application open to
`public inspection or an issued patent.
`A record from thissystem of records may be disclosed, as a routine use, to a Federal, State, or local law
`enforcement agency, if the USPTO becomes aware of a violation or potential violation of law or regulation.
`
`0
`
`PFIZER, INC. v. SANOFI-AVENTIS DEUTSCHLAND GMBH
`
`Ex. 1010, p. 3 of 260
`
`

`

`PTO/AIA/80 (07-12)
`Approved for use through 11/30/2014. OMB 0651-0035
`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 displays a valid OMB control number.
`
`POWER OF ATTORNEY TO PROSECUTE APPLICATIONS BEFORE THE USPTO
`
`I hereby revoke all previous powers of attorney given in the application identified in the attached statement
`under 37 CFR 3.73(c).
`I hereby appoint:
`j Practitioners associated with Customer Number: 98548
`OR
`| | Practitioner(s) named below (if more than ten patent practitioners are to be named, then a customer number must be used):
`
`Name
`
`Registration
`Number
`
`Name
`
`Registration
`Number
`
`As attorney(s) or agent(s) to represent the undersigned before the United States Patent and Trademark Office (USPTO) in connection with
`any and all patent applications a ssigned only to the undersigned according to the USPTO assignment records or assignments docu ments
`
`Please change the correspondence address for the application identified in the attached statement under 37 CFR 3.73(c) to:
`
`| J | The address associated with Customer Number: 98548
`
`OR
`
`Firm or
`Individual Name
`Address
`
`City
`
`Country
`
`Telephone
`
`Email
`
`Assignee Name and Address: Sanofi-AventiS DeUtSChland GmbH
`Bruningstrasse 50, D65929 Frankfurt am Main, Germany
`
`Signature
`
`A copy of this form, together with a statement under 37 CFR 3,73(c) (Form PTO/SB/96 or equivalent) is required to be
`Filed in each application in which this form is used. The statement under 37 CFR 3.73(c) may be completed by one of
`The practitioners appointed in this form, and must identify the application in which this Power of Attorney is to be filed.
`SIGNATURE of Assignee of Record
`The individual whofee pgnature and title is sup
`d below is authorized to act on behalf of the assignee
`po m!
`Date September 24, 2012
`\f. /(
`DrViviicha^l Bankmann Dieter Breuer
`Telephone 0049-69-305-5794
`i
`Prokurist
`Authorizes Signatory
`Title
`This collection of information is required by 37 CFR 1.31, 1.32 and 1.33. 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 1.11 and 1.14. This collection is estimated to take 3 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, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED
`FORMS TO THIS ADDRESS. SEND TO: Comnnissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`Name
`
`If you need assistance in completing the form, call 1-800-PTO-9199 and select option 2.
`
`PFIZER, INC. v. SANOFI-AVENTIS DEUTSCHLAND GMBH
`
`Ex. 1010, p. 4 of 260
`
`

`

`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`(Attorney Docket No.: 10-015-US-CON9)
`
`Applicant:
`
`Appl. No.:
`
`Filed:
`
`Title:
`
`Robert Frederick Veasey, et al.
`
`Unassigned
`
`June 30, 2014
`
`IMPROVEMENTS IN AND RELATING TO DRIVE MECHANISMS
`SUITABLE FOR USE IN DRUG DELIVERY DEVICES
`
`TC/A.U.:
`
`Unassigned
`
`Confirmation No.: Unassigned
`
`Examiner:
`
`Unassigned
`
`INFORMATION DISCLOSURE STATEMENT
`TRANSMITTAL LETTER
`
`Mail Stop: AMENDMENT
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`Dear Examiner,
`
`In accordance with the duty of candor provisions set forth under 37 C.F.R. §1.56, submitted
`herewith on Form PTO/SB/08 is a listing of documents that Applicant wishes to make of record in the
`above-identified application.
`In compliance with the provisions set forth under 37 C.F.R. § 1.98(d), a copy of any reference
`that was previously submitted and/or provided by the Examiner in the parent application for the above-
`identified Continuation application are not being resubmitted herewith. For the Examiner's
`convenience, the parent application serial numbers to which the above-identified parent application
`claims priority to under 35 U.S.C. §120 are 12/941,702; 12/320,189; 11/520,598 and 10/790,866.
`The submission of any document herewith is not intended as an admission that such document
`constitutes prior art against the claims of the present application or that such document is considered
`material to patentability as defined in 37 C.F.R. § 1.56(b). Applicant does not waive any rights to take
`any action which would be appropriate to antedate or otherwise remove as a competent reference any
`document which is determined to be a prima facie art reference against the claims of the present
`application.
`
`PFIZER, INC. v. SANOFI-AVENTIS DEUTSCHLAND GMBH
`
`Ex. 1010, p. 5 of 260
`
`

`

`IDS Transmittal
`U.S. Appl. No.: Unassigned
`
`Atty Dkt. No.: 10-015-US-CON4
`
`In compliance with 37 C.F.R. § 1.97(b), the listed documents are being submitted concurrently
`with the filing of the present application.
`Applicant respectfully requests that the listed document(s) be considered by the Examiner and
`be made of record in the present application, and that a copy of Form PTO/SB/08 be returned in
`accordance with M.P.E.P. §609.
`
`Respectfully submitted,
`McDonnell Boehnen Hulbert & Berghoff LLP
`
`By:
`
`/David M. Frischkom/
`David M. Frischkom
`Registration No. 32,833
`
`Dated: June 30. 2014
`
`McDonnell Boehnen
`Hulbert & Berghoff LLP
`300 South Wacker Drive
`Chicago, IL 60606
`Tel: 312-913-0001
`
`2
`
`PFIZER, INC. v. SANOFI-AVENTIS DEUTSCHLAND GMBH
`
`Ex. 1010, p. 6 of 260
`
`

`

`PTO/SB/O8a (01-10)
`Doc code: IDS
`Approved for use through 07/31/2012. OMB 0651-0031
`Doc description: Information Disclosure Statement (IDS) Filed
`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.
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`2014-06-30
`Filing Date
`First Named Inventor Robert Frederick Veasey et al.
`Art Unit
`Examiner Name
`Attorney Docket Number
`
`10-015-US-CON9
`
`Examiner Cite
`Initial*
`No
`
`Patent Number
`
`Kind
`Code1
`
`Issue Date
`
`Name of Patentee or Applicant
`of cited Document
`
`Pages,Columns,Lines where
`Relevant Passages or Relevant
`Figures Appear
`
`U.S. PATENTS
`
`Remove
`
`1
`
`2
`
`3
`
`5938642
`
`1999-08-17
`
`Burroughs et al.
`
`6221046
`
`2001-04-05
`
`Burroughs et al.
`
`5284480
`
`1994-02-08
`
`Porter et al.
`
`4
`
`6379339
`
`2002-04-20
`
`Klitgaard et al.
`
`5
`
`5685864
`
`1997-11-11
`
`Shanely et al.
`
`6
`
`5308340
`
`1994-05-03
`
`Harris
`
`7
`
`5827232
`
`1998-10-27
`
`Chanoch
`
`8
`
`6086567
`
`2000-07-11
`
`Kirchhofer et al.
`
`EFSWeb 2.1.17
`
`PFIZER, INC. v. SANOFI-AVENTIS DEUTSCHLAND GMBH
`
`Ex. 1010, p. 7 of 260
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`(Not for submission under 37 CFR 1.99)
`
`Application Number
`Filing Date
`First Named Inventor
`Art Unit
`Examiner Name
`Attorney Docket Number
`
`2014-06-30
`Robert Frederick Veasey et al.
`
`10-015-US-CON9
`
`9
`
`6096010
`
`2000-08-01
`
`Walters
`
`10
`
`6048336
`
`2000-04-11
`
`Gabriel
`
`11
`
`5584815
`
`1996-12-17
`
`Pawelka
`
`12
`
`5549574
`
`1996-08-27
`
`Townsend
`
`13
`
`6663602
`
`2003-12-16
`
`Moller
`
`14
`
`7133329
`
`2006-11-07
`
`Skyggebiera et al.
`
`15
`
`6899699
`
`2005-05-31
`
`Enggaard
`
`16
`
`6893415
`
`2005-05-17
`
`Madsen et al.
`
`17
`
`6796970
`
`2004-09-28
`
`Klitmose et al.
`
`18
`
`6726661
`
`2004-04-27
`
`Munk et al.
`
`19
`
`6716198
`
`2004-04-06
`
`Larsen
`
`EFSWeb 2.1.17
`
`PFIZER, INC. v. SANOFI-AVENTIS DEUTSCHLAND GMBH
`
`Ex. 1010, p. 8 of 260
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`2014-06-30
`
`Application Number
`Filing Date
`First Named Inventor Robert Frederick Veasey et al.
`Art Unit
`Examiner Name
`Attorney Docket Number
`
`10-015-US-CON9
`
`20
`
`6692472
`
`2004-02-17
`
`Hansen et al.
`
`21
`
`5331954
`
`1994-07-26
`
`Rex et al.
`
`22
`
`6613019
`
`2003-09-02
`
`Munk
`
`23
`
`6605067
`
`2003-08-12
`
`Larsen
`
`24
`
`6547764
`
`2003-04-15
`
`Larsen et al.
`
`25
`
`6547763
`
`2003-04-15
`
`Steenfeldt-Jensen et al.
`
`26
`
`6514230
`
`2003-02-04
`
`Munk et al.
`
`27
`
`7090662
`
`2006-08-15
`
`Wimpenny et al.
`
`28
`
`7094221
`
`2006-08-22
`
`Veasey et al.
`
`29
`
`5716990
`
`1998-02-10
`
`Bagshawe et al.
`
`30
`
`4994033
`
`1991-02-19
`
`Shockey et al.
`
`EFS Web 2.1.17
`
`PFIZER, INC. v. SANOFI-AVENTIS DEUTSCHLAND GMBH
`
`Ex. 1010, p. 9 of 260
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`(Not for submission under 37 CFR 1.99)
`
`Application Number
`Filing Date
`First Named Inventor
`Art Unit
`Examiner Name
`Attorney Docket Number
`
`2014-06-30
`Robert Frederick Veasey et al.
`
`10-015-US-CON9
`
`31
`
`5440976
`
`1995-08-15
`
`Guilianoetal.
`
`32
`
`5447150
`
`1995-09-05
`
`Bacon
`
`33
`
`5546932
`
`1996-08-20
`
`Galli
`
`34
`
`6281225
`
`2001-08-28
`
`Hearst et al.
`
`35
`
`6283941
`
`2001-09-04
`
`Schoenfeld et al.
`
`36
`
`6770288
`
`2004-08-03
`
`Duirs
`
`37
`
`5271527
`
`1993-12-21
`
`Haber et al.
`
`38
`
`5584815
`
`1996-12-17
`
`Pawelka et al.
`
`39
`
`5279585
`
`1994-01-18
`
`Balkwill
`
`40
`
`5279586
`
`1994-01-18
`
`Balkwill
`
`41
`
`5281198
`
`1994-01-25
`
`Haber et al.
`
`EFS Web 2.1.17
`
`PFIZER, INC. v. SANOFI-AVENTIS DEUTSCHLAND GMBH
`
`Ex. 1010, p. 10 of 260
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`2014-06-30
`
`Application Number
`Filing Date
`First Named Inventor Robert Frederick Veasey et al.
`Art Unit
`Examiner Name
`Attorney Docket Number
`
`10-015-US-CON9
`
`42
`
`5320609
`
`1994-01-17
`
`Haber et al.
`
`43
`
`5383865
`
`1995-01-24
`
`Michel
`
`44
`
`5681285
`
`1997-10-28
`
`Ford et al.
`
`45
`
`4568335
`
`1986-02-04
`
`Updike et al.
`
`46
`
`5257987
`
`1993-11-02
`
`Athayde et al.
`
`47
`
`5318540
`
`1994-06-07
`
`Athayde et al.
`
`48
`
`4833379
`
`1989-05-23
`
`Kaibel et al.
`
`49
`
`4919596
`
`1990-04-24
`
`Slate et al.
`
`50
`
`5207752
`
`1993-05-04
`
`Sorenson et al.
`
`51
`
`5246417
`
`1993-09-21
`
`Haak et al.
`
`52
`
`5445606
`
`1995-08-29
`
`Haak et al.
`
`EFS Web 2.1.17
`
`PFIZER, INC. v. SANOFI-AVENTIS DEUTSCHLAND GMBH
`
`Ex. 1010, p. 11 of 260
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`2014-06-30
`Filing Date
`First Named Inventor Robert Frederick Veasey et al.
`Art Unit
`Examiner Name
`Attorney Docket Number
`
`10-015-US-CON9
`
`53
`
`5492534
`
`1996-02-20
`
`Athayde et al.
`
`54
`
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`INFORMATION DISCLOSURE
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`INFORMATION DISCLOSURE
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`2014-06-30
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`9938554
`
`14
`
`9638190
`
`15
`
`0119434
`
`EFSWeb 2.1.17
`
`WO
`
`WO
`
`WO
`
`WO
`
`WO
`
`WO
`
`1998-03-19
`
`Novo Nordisk A/S
`
`1998-12-17
`
`Novo Nordisk A/S
`
`1997-10-09
`
`Kirchhofer et al.
`
`1999-08-05
`
`Novo Nordisk A/S
`
`1996-12-05
`
`Novo Nordisk A/S
`
`2001-03-22
`
`Novo Nordisk A/S
`
`•
`
`n
`
`n
`
`•
`
`•
`
`•
`
`•
`
`•
`
`•
`
`•
`
`•
`
`PFIZER, INC. v. SANOFI-AVENTIS DEUTSCHLAND GMBH
`
`Ex. 1010, p. 25 of 260
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`2014-06-30
`Filing Date
`First Named Inventor Robert Frederick Veasey et al.
`Art Unit
`Examiner Name
`Attorney Docket Number
`
`10-015-US-CO