`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Applicant:
`Serial No.:
`Filing Date:
`For:
`
`Examiner:
`Art Unit:
`Confirmation No:
`
`Michael Su et al.
`61/266,929
`December 4, 2009
`METHODS AND COMPOSITIONS FOR CELL-PROLIFERATION(cid:173)
`RELATED DISORDERS
`Not Yet Assigned
`Not Yet Assigned
`2321
`
`CERTIFICATE OF TRANSMISSION UNDER 37 C.F.R. §1.8(a)
`The undersigned hereby certifies that this document is being electronically filed in accordance with
`§1.6(a)(4) on the 26th day of February 2010.
`
`/Catherine M. McCarty/
`Catherine M. McCarty, Reg. No. 54,301
`
`Commissioner for Patents
`
`SUPPLEMENTAL RESPONSE TO NOTICE TO FILE MISSING PARTS
`
`Sir:
`
`In response to the Notice to File Missing Parts of Application under 37 CPR § 1.53(b)
`
`mailed January 5, 2010, Applicants submit herewith a Supplemental Response to Missing Parts
`
`subsequent to the response filed on January 26, 2009. The previously-filed response mistakenly
`
`listed the incorrect serial number and Attorney Docket number.
`
`In order to correct this error, submitted herewith is a Second Supplemental Provisional
`
`Coversheet is listing the appropriate serial number and Attorney Docket number.
`
`Applicants believe that this response completes the application and no additional papers or
`
`filing fees are required. Please apply any other charges or credits to Deposit Account No. 50-
`
`2762, referencing Attorney Docket No. C2081-701309.
`
`Respectfully submitted,
`
`/Catherine M. McCarty/
`Catherine McCarty, Reg. No. 54,301
`LANDO & ANASTASI, LLP
`One Main Street
`Cambridge, Massachusetts 02142
`United States of America
`Telephone: 617-395-7087
`Facsimile: 617-395-7070
`
`Date: February 26, 2010
`
`11004332.1
`
`Rigel Exhibit 1050
`Page 1 of 245
`
`
`
`Doc Code: TR.PROV
`Document Description: Provisional Cover Sheet (SB16)
`
`PTO/SB/16 (04-07)
`Approved for use through 06/30/2010 0MB 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 ii displays a valid 0MB control number
`Provisional Application for Patent Cover Sheet
`This is a request for filing a PROVISIONAL APPLICATION FOR PATENT under 37 CFR 1.53(c)
`
`lnventor{s)
`
`Inventor 1
`
`I Rmrioi,M ?I
`
`Given Name
`
`Middle Name
`
`Family Name
`
`City
`
`State
`
`Country i
`
`Su
`
`Newton
`
`MA
`
`us
`
`Michael
`
`Inventor 2
`
`Given Name
`
`Middle Name
`
`Family Name
`
`City
`
`State
`
`Lenny
`
`Inventor 3
`
`Dang
`
`Boston
`
`MA
`
`I R-WfigfWI
`Country i
`
`us
`I Rfilht:M;f I
`
`Given Name
`
`Middle Name
`
`Family Name
`
`City
`
`State
`
`Country i
`
`Gross
`
`Brookline
`
`MA
`
`us
`
`Stefan
`
`Inventor 4
`
`Given Name
`
`Middle Name
`
`Family Name
`
`City
`
`State
`
`Shengfang
`
`Jin
`
`Newton
`
`MA
`
`All Inventors Must Be Listed -Additional Inventor Information blocks may be
`generated within this form by selecting the Add button.
`
`I RfferiQ\/WI
`Country i
`
`us
`
`I
`
`Add
`
`ti
`
`Title of Invention
`
`METHODS AND COMPOSITIONS FOR CELL-PROLIFERATION-RELATED
`DISORDERS
`
`Attorney Docket Number (if applicable)
`
`C2081-701309
`
`Correspondence Address
`
`Direct all correspondence to (select one):
`
`@ The address corresponding to Customer Number 0 Firm or Individual Name
`
`Customer Number
`
`37462
`
`The invention was made by an agency of the United States Government or under a contract with an agency of the United
`States Government.
`
`@ No.
`O Yes, the name of the U.S. Government agency and the Government contract number are:
`
`EFS - Web 1.0.1
`
`Rigel Exhibit 1050
`Page 2 of 245
`
`
`
`Doc Code: TR.PROV
`Document Description: Provisional Cover Sheet (SB16)
`
`PTO/SB/16 (04-07)
`Approved for use through 06/30/2010 0MB 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 ii displays a valid 0MB control number
`
`Entity Status
`Applicant claims small entity status under 37 CFR 1.27
`
`@ Yes, applicant qualifies for small entity status under 37 CFR 1.27
`Q No
`
`Warning
`
`Petitioner/applicant is cautioned to avoid submitting personal information in documents filed in a patent application that may
`contribute to identity theft. Personal information such as social security numbers, bank account numbers, or credit card
`numbers (other than a check or credit card authorization form PTO-2038 submitted for payment purposes) is never required
`by the USPTO to support a petition or an application. If this type of personal information is included in documents submitted
`to the USPTO, petitioners/applicants should consider redacting such personal information from the documents before
`submitting them to USPTO. Petitioner/applicant is advised that the record of a patent application is available to the public
`after publication of the application (unless a non-publication request in compliance with 37 CFR 1.213(a) is made in the
`application) or issuance of a patent. Furthermore, the record from an abandoned application may also be available to the
`public if the application is referenced in a published application or an issued patent (see 37 CFR1 .14). Checks and credit
`card authorization forms PTO-2038 submitted for payment purposes are not retained in the application file and therefore are
`not publicly available.
`
`Signature
`
`Please see 37 CFR 1.4(d) for the form of the signature.
`
`Signature
`
`/Catherine M. McCarty/
`
`Date (YYYY-MM-DD)
`
`2010-02-26
`
`First Name
`
`Catherine
`
`Last Name
`
`McCarty
`
`Registration Number
`(If appropriate)
`
`54301
`
`This collection of information is required by 37 CFR 1.51. 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 8 hours 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. This
`form can only be used when in conjunction with EFS-Web. If this form is mailed to the USPTO, it may cause delays in handling
`the provisional application.
`
`EFS - Web 1.0.1
`
`Rigel Exhibit 1050
`Page 3 of 245
`
`
`
`Privacy Act Statement
`
`The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection with your submission of
`the attached form related to a patent application or paten. Accordingly, pursuant to the requirements of the Act, please be
`advised that : (1) the general authority for the collection of this information is 35 U.S.C. 2(b )(2); (2) furnishing of the
`information solicited is voluntary; and (3) the principal purpose for which the information is used by the U.S. Patent and
`Trademark Office is to process and/or examine your submission related to a patent application or patent. If you do not
`furnish the requested information, the U.S. Patent and Trademark Office may not be able to process and/or examine your
`submission, which may result in termination of proceedings or abandonment of the application or expiration of the patent.
`
`The information provided by you in this form will be subject to the following routine uses:
`
`1.
`
`2.
`
`3.
`
`4.
`
`5.
`
`6.
`
`7.
`
`8.
`
`9.
`
`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 information in 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 International Application 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 a n other 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, 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 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 this system 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.
`
`Rigel Exhibit 1050
`Page 4 of 245
`
`
`
`Electronic Acknowledgement Receipt
`
`EFSID:
`
`Application Number:
`
`7098571
`
`61266929
`
`International Application Number:
`
`Confirmation Number:
`
`2321
`
`Title of Invention:
`
`METHODS AND COMPOSITIONS FOR CELL-PROLIFERATION-RELATED
`DISORDERS
`
`First Named Inventor/Applicant Name:
`
`Michael Su
`
`Customer Number:
`
`37462
`
`Filer:
`
`Catherine M. McCarty
`
`Filer Authorized By:
`
`Attorney Docket Number:
`
`C2081-701309
`
`Receipt Date:
`
`Filing Date:
`
`Time Stamp:
`
`Application Type:
`
`Payment information:
`
`Submitted with Payment
`
`26-FEB-2010
`
`04-DEC-2009
`
`15:33:44
`
`Provisional
`
`I no
`
`File Listing:
`
`Document
`Number
`
`Document Description
`
`File Name
`
`File Size(Bytes)/
`Message Digest
`
`Multi
`Part /.zip
`
`Pages
`(if appl.)
`
`1
`
`Applicant Response to Pre-Exam
`Formalities Notice
`
`C2081_701309_Supplemental_
`Response_to_Missing_Parts.
`
`20132
`
`no
`
`1
`
`c2d 6ee 12a 7 c9 3 70b3e836c9ed40 72fbd499
`e776a
`
`Warnings:
`
`Information:
`
`Rigel Exhibit 1050
`Page 5 of 245
`
`
`
`2
`
`Provisional Cover Sheet (SBl 6)
`
`C2081_701309_Prov_covershe
`et2.pdf
`
`41555
`
`no
`
`3
`
`d24077db50fe1 6ab41 07186a268fbdc6872
`18ab9
`
`Warnings:
`
`This is not a USPTO supplied Provisional Cover Sheet SBl 6 form.
`
`Information:
`
`Total Files Size (in bytes)
`
`61687
`
`This Acknowledgement Receipt evidences receipt on the noted date by the USPTO of the indicated documents,
`characterized by the applicant, and including page counts, where applicable. It serves as evidence of receipt similar to a
`Post Card, as described in MPEP 503.
`
`New A~~lications Under 35 U.S.C. 111
`If a new application is being filed and the application includes the necessary components for a filing date (see 37 CFR
`1.53(b)-(d) and MPEP 506), a Filing Receipt (37 CFR 1.54) will be issued in due course and the date shown on this
`Acknowledgement Receipt will establish the filing date of the application.
`
`National Stage of an International A~~lication under 35 U.S.C. 371
`If a timely submission to enter the national stage of an international application is compliant with the conditions of 35
`U.S.C. 371 and other applicable requirements a Form PCT/DO/EO/903 indicating acceptance of the application as a
`national stage submission under 35 U.S.C. 371 will be issued in addition to the Filing Receipt, in due course.
`
`New International A~~lication Filed with the USPTO as a Receiving Office
`If a new international application is being filed and the international application includes the necessary components for
`an international filing date (see PCT Article 11 and MPEP 181 O), a Notification of the International Application Number
`and of the International Filing Date (Form PCT/RO/1 OS) will be issued in due course, subject to prescriptions concerning
`national security, and the date shown on this Acknowledgement Receipt will establish the international filing date of
`the application.
`
`Rigel Exhibit 1050
`Page 6 of 245
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`APPLICATION
`NUMBER
`61/266,929
`
`FILING or
`37l(c)DATE
`12/04/2009
`
`GRPART
`UNIT
`
`FIL FEE REC'D
`405
`
`37462
`LANDO & ANASTASI, LLP
`ONE MAIN STREET, SUITE 1100
`CAMBRIDGE, MA 02142
`
`Ul\TfED STATES DEPA RTME'IT OF COMMERCE
`United States Patent and Trademark Office
`Adiliess. COMMISSIO'JER FOR PATENTS
`PO Box 1450
`Alexandria, Virgmia 22313-1450
`\VVi\V.USpto.gov
`
`ATTY.DOCKET.NO
`C2081-7013010
`
`TOT CLAIMS IND CLAIMS
`
`CONFIRMATION NO. 2321
`UPDATED FILING RECEIPT
`
`1111111111111111111111 ll]~!l]!~l!~l!~lllHUH] 11111111111111111111111
`
`Date Mailed: 02/03/2010
`
`Receipt is acknowledged of this provisional patent application. It will not be examined for patentability and will
`become abandoned not later than twelve months after its filing date. Any correspondence concerning the application
`must include the following identification information: the U.S. APPLICATION NUMBER, FILING DATE, NAME OF
`APPLICANT, and TITLE OF INVENTION. Fees transmitted by check or draft are subject to collection. Please verify
`the accuracy of the data presented on this receipt. If an error is noted on this Filing Receipt, please submit
`a written request for a Filing Receipt Correction. Please provide a copy of this Filing Receipt with the
`changes noted thereon. If you received a "Notice to File Missing Parts" for this application, please submit
`any corrections to this Filing Receipt with your reply to the Notice. When the USPTO processes the reply
`to the Notice, the USPTO will generate another Filing Receipt incorporating the requested corrections
`
`Applicant( s)
`
`Michael Su, Newton, MA;
`Lenny Dang, Boston, MA;
`Stefan Gross, Brookline, MA;
`Shengfang Jin, Newton, MA;
`Power of Attorney:
`Catherine McCarty--54301
`
`If Required, Foreign Filing License Granted: 12/30/2009
`The country code and number of your priority application, to be used for filing abroad under the Paris Convention,
`is US 61 /266,929
`Projected Publication Date: None, application is not eligible for pre-grant publication
`Non-Publication Request: No
`Early Publication Request: No
`** SMALL ENTITY **
`Title
`
`METHODS AND COMPOSITIONS FOR CELL-PROLIFERATION-RELATED DISORDERS
`
`PROTECTING YOUR INVENTION OUTSIDE THE UNITED STATES
`
`Since the rights granted by a U.S. patent extend only throughout the territory of the United States and have no
`effect in a foreign country, an inventor who wishes patent protection in another country must apply for a patent
`in a specific country or in regional patent offices. Applicants may wish to consider the filing of an international
`application under the Patent Cooperation Treaty (PCT). An international (PCT) application generally has the same
`page 1 of 3
`
`Rigel Exhibit 1050
`Page 7 of 245
`
`
`
`effect as a regular national patent application in each PCT-member country. The PCT process simplifies the filing
`of patent applications on the same invention in member countries, but does not result in a grant of "an international
`patent" and does not eliminate the need of applicants to file additional documents and fees in countries where patent
`protection is desired.
`
`Almost every country has its own patent law, and a person desiring a patent in a particular country must make an
`application for patent in that country in accordance with its particular laws. Since the laws of many countries differ
`in various respects from the patent law of the United States, applicants are advised to seek guidance from specific
`foreign countries to ensure that patent rights are not lost prematurely.
`
`Applicants also are advised that in the case of inventions made in the United States, the Director of the US PTO must
`issue a license before applicants can apply for a patent in a foreign country. The filing of a U.S. patent application
`serves as a request for a foreign filing license. The application's filing receipt contains further information and
`guidance as to the status of applicant's license for foreign filing.
`
`Applicants may wish to consult the USPTO booklet, "General Information Concerning Patents" (specifically, the
`section entitled "Treaties and Foreign Patents") for more information on timeframes and deadlines for filing foreign
`patent applications. The guide is available either by contacting the USPTO Contact Center at 800-786-9199, or it
`can be viewed on the USPTO website at http://www.uspto.gov/web/offices/pac/doc/general/index.html.
`
`For information on preventing theft of your intellectual property (patents, trademarks and copyrights), you may wish
`to consult the U.S. Government website, http://www.stopfakes.gov. Part of a Department of Commerce initiative,
`this website includes self-help "toolkits" giving innovators guidance on how to protect intellectual property in specific
`countries such as China, Korea and Mexico. For questions regarding patent enforcement issues, applicants may
`call the U.S. Government hotline at 1-866-999-HAL T (1-866-999-4158).
`
`LICENSE FOR FOREIGN FILING UNDER
`
`Title 35, United States Code, Section 184
`
`Title 37, Code of Federal Regulations, 5.11 & 5.15
`
`GRANTED
`
`The applicant has been granted a license under 35 U.S.C. 184, if the phrase "IF REQUIRED, FOREIGN FILING
`LICENSE GRANTED" followed by a date appears on this form. Such licenses are issued in all applications where
`the conditions for issuance of a license have been met, regardless of whether or not a license may be required as
`set forth in 37 CFR 5.15. The scope and limitations of this license are set forth in 37 CFR 5.15(a) unless an earlier
`license has been issued under 37 CFR 5.15(b). The license is subject to revocation upon written notification. The
`date indicated is the effective date of the license, unless an earlier license of similar scope has been granted under
`37 CFR 5.13 or 5.14.
`
`This license is to be retained by the licensee and may be used at any time on or after the effective date thereof unless
`it is revoked. This license is automatically transferred to any related applications(s) filed under 37 CFR 1.53(d). This
`license is not retroactive.
`
`The grant of a license does not in any way lessen the responsibility of a licensee for the security of the subject matter
`as imposed by any Government contract or the provisions of existing laws relating to espionage and the national
`security or the export of technical data. Licensees should apprise themselves of current regulations especially with
`page 2 of 3
`
`Rigel Exhibit 1050
`Page 8 of 245
`
`
`
`respect to certain countries, of other agencies, particularly the Office of Defense Trade Controls, Department of
`State (with respect to Arms, Munitions and Implements of War (22 CFR 121-128)); the Bureau of Industry and
`Security, Department of Commerce (15 CFR parts 730-774); the Office of Foreign AssetsControl, Department of
`Treasury (31 CFR Parts 500+) and the Department of Energy.
`
`NOT GRANTED
`
`No license under 35 U.S.C. 184 has been granted at this time, if the phrase "IF REQUIRED, FOREIGN FILING
`LICENSE GRANTED" DOES NOT appear on this form. Applicant may still petition for a license under 37 CFR 5.12,
`if a license is desired before the expiration of 6 months from the filing date of the application. If 6 months has lapsed
`from the filing date of this application and the licensee has not received any indication of a secrecy order under 35
`U.S.C. 181, the licensee may foreign file the application pursuant to 37 CFR 5.15(b).
`
`page 3 of 3
`
`Rigel Exhibit 1050
`Page 9 of 245
`
`
`
`Attorney Docket No.: C2081-7013010
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Applicant:
`Serial No.:
`Filing Date:
`For:
`
`Examiner:
`Art Unit:
`Confirmation No:
`
`Michael Su et al.
`61/266,930
`December 9, 2009
`METHODS AND COMPOSITIONS FOR CELL-PROLIFERATION(cid:173)
`RELATED DISORDERS
`Not Yet Assigned
`Not Yet Assigned
`2323
`
`CERTIFICATE OF TRANSMISSION UNDER 37 C.F.R. §1.8(a)
`The undersigned hereby certifies that this document is being electronically filed in accordance with
`§ l.6(a)(4) on the 29th day ofJanuary 2010.
`
`/Catherine M. McCarty/
`Catherine M. McCarty, Reg. No. 54,301
`
`Commissioner for Patents
`
`Sir:
`
`RESPONSE TO NOTICE TO FILE MISSING PARTS
`
`In response to the Notice to File Missing Parts of Application under 37 CPR § 1.53(b)
`
`mailed January 5, 2010, Applicant submits herewith the following:
`
`1.
`
`2.
`
`filing fee; and
`
`provisional coversheet listing names and residence of inventors
`
`The fee of $405.00 is being paid concurrently herewith on the Electronic Filing System
`
`(EFS) by way of Deposit Account authorization. It is understood that this perfects the
`
`application and no additional papers or filing fees are required. Please apply any other charges
`
`or credits to Deposit Account No. 50-2762, referencing Attorney Docket No. C2081-7013010.
`
`1
`
`Rigel Exhibit 1050
`Page 10 of 245
`
`
`
`Serial No.: 61/266,930
`
`Attorney Docket No.: C2081-701309
`
`Respectfully submitted,
`
`/Catherine M. McCarty/
`Catherine McCarty, Reg. No. 54,301
`LANDO & ANASTASI, LLP
`One Main Street
`Cambridge, Massachusetts 02142
`United States of America
`Telephone: 617-395-7087
`Facsimile: 617-395-7070
`
`Date: January 29, 2010
`
`2
`
`Rigel Exhibit 1050
`Page 11 of 245
`
`
`
`Doc Code: TR.PROV
`Document Description: Provisional Cover Sheet (SB16)
`
`PTO/SB/16 (04-07)
`Approved for use through 06/30/2010 0MB 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 ii displays a valid 0MB control number
`Provisional Application for Patent Cover Sheet
`This is a request for filing a PROVISIONAL APPLICATION FOR PATENT under 37 CFR 1.53(c)
`
`lnventor{s)
`
`Inventor 1
`
`I Rmrioi,M ?I
`
`Given Name
`
`Middle Name
`
`Family Name
`
`City
`
`State
`
`Country i
`
`Su
`
`Newton
`
`MA
`
`us
`
`Michael
`
`Inventor 2
`
`Given Name
`
`Middle Name
`
`Family Name
`
`City
`
`State
`
`Lenny
`
`Inventor 3
`
`Dang
`
`Boston
`
`MA
`
`I R-WfigfWI
`Country i
`
`us
`I Rfilht:M;f I
`
`Given Name
`
`Middle Name
`
`Family Name
`
`City
`
`State
`
`Country i
`
`Gross
`
`Brookline
`
`MA
`
`us
`
`Stefan
`
`Inventor 4
`
`Given Name
`
`Middle Name
`
`Family Name
`
`City
`
`State
`
`Shengfang
`
`Jin
`
`Newton
`
`MA
`
`All Inventors Must Be Listed -Additional Inventor Information blocks may be
`generated within this form by selecting the Add button.
`
`I RfferiQ\/WI
`Country i
`
`us
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`Title of Invention
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`METHODS AND COMPOSITIONS FOR CELL-PROLIFERATION-RELATED
`DISORDERS
`
`Attorney Docket Number (if applicable)
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`C2081-7013010
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`Correspondence Address
`
`Direct all correspondence to (select one):
`
`@ The address corresponding to Customer Number 0 Firm or Individual Name
`
`Customer Number
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`37462
`
`The invention was made by an agency of the United States Government or under a contract with an agency of the United
`States Government.
`
`@ No.
`O Yes, the name of the U.S. Government agency and the Government contract number are:
`
`EFS - Web 1.0.1
`
`Rigel Exhibit 1050
`Page 12 of 245
`
`
`
`Doc Code: TR.PROV
`Document Description: Provisional Cover Sheet (SB16)
`
`PTO/SB/16 (04-07)
`Approved for use through 06/30/2010 0MB 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 ii displays a valid 0MB control number
`
`Entity Status
`Applicant claims small entity status under 37 CFR 1.27
`
`@ Yes, applicant qualifies for small entity status under 37 CFR 1.27
`Q No
`
`Warning
`
`Petitioner/applicant is cautioned to avoid submitting personal information in documents filed in a patent application that may
`contribute to identity theft. Personal information such as social security numbers, bank account numbers, or credit card
`numbers (other than a check or credit card authorization form PTO-2038 submitted for payment purposes) is never required
`by the USPTO to support a petition or an application. If this type of personal information is included in documents submitted
`to the USPTO, petitioners/applicants should consider redacting such personal information from the documents before
`submitting them to USPTO. Petitioner/applicant is advised that the record of a patent application is available to the public
`after publication of the application (unless a non-publication request in compliance with 37 CFR 1.213(a) is made in the
`application) or issuance of a patent. Furthermore, the record from an abandoned application may also be available to the
`public if the application is referenced in a published application or an issued patent (see 37 CFR1 .14). Checks and credit
`card authorization forms PTO-2038 submitted for payment purposes are not retained in the application file and therefore are
`not publicly available.
`
`Signature
`
`Please see 37 CFR 1.4(d) for the form of the signature.
`
`Signature
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`/Catherine M. McCarty/
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`Date (YYYY-MM-DD)
`
`2010-01-29
`
`First Name
`
`Catherine
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`Last Name
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`McCarty
`
`Registration Number
`(If appropriate)
`
`54301
`
`This collection of information is required by 37 CFR 1.51. 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 8 hours 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. This
`form can only be used when in conjunction with EFS-Web. If this form is mailed to the USPTO, it may cause delays in handling
`the provisional application.
`
`EFS - Web 1.0.1
`
`Rigel Exhibit 1050
`Page 13 of 245
`
`
`
`Privacy Act Statement
`
`The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection with your submission of
`the attached form related to a patent application or paten. Accordingly, pursuant to the requirements of the Act, please be
`advised that : (1) the general authority for the collection of this information is 35 U.S.C. 2(b )(2); (2) furnishing of the
`information solicited is voluntary; and (3) the principal purpose for which the information is used by the U.S. Patent and
`Trademark Office is to process and/or examine your submission related to a patent application or patent. If you do not
`furnish the requested information, the U.S. Patent and Trademark Office may not be able to process and/or examine your
`submission, which may result in termination of proceedings or abandonment of the application or expiration of the patent.
`
`The information provided by you in this form will be subject to the following routine uses:
`
`1.
`
`2.
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`3.
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`4.
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`5.
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`6.
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`7.
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`8.
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`9.
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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) 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 information in 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 International Application 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 a n other 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, 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 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 this system 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.
`
`Rigel Exhibit 1050
`Page 14 of 245
`
`
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`Electronic Patent Application Fee Transmittal
`
`Application Number:
`
`Filing Date:
`
`61266929
`
`04-Dec-2009
`
`Title of Invention:
`
`METHODS AND COMPOSITIONS FOR CELL-PROLIFERATION-RELATED
`DISORDERS
`
`First Named Inventor/Applicant Name:
`
`Filer:
`
`Catherine M. McCarty/Kristi Travers
`
`Attorney Docket Number:
`
`C2081-701309
`
`Filed as Small Entity
`
`Provisional Filing Fees
`
`Description
`
`Fee Code
`
`Quantity
`
`Amount
`
`Sub-Total in
`USO($)
`
`Basic Filing:
`
`Provisional Application filing fee
`
`2005
`
`Pages:
`
`Claims:
`
`Provis. Appl Size fee per 50 sheets > 100
`
`2085
`
`1
`
`2
`
`110
`
`110
`
`135
`
`270
`
`Miscellaneous-Filing:
`
`Late provisional filing fee/cover sheet
`
`2052
`
`1
`
`25
`
`25
`
`Petition:
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`Patent-Appeals-and-Interference:
`
`Rigel Exhibit 1050
`Page 15 of 245
`
`
`
`Description
`
`Fee Code
`
`Quantity
`
`Amount
`
`Sub-Total in
`USO($)
`
`Post-Allowance-a