PTO/AIN14 (08-12)
`Approved for use through 01/31/2014. 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 it contains a valid 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`44168-702.101
`
`Application Number
`
`Title of Invention METHODS AND SYSTEMS FOR GENETIC ANALYSIS
`
`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
`Portions or all of the application associated with this Application Data Sheet may fall under a Secrecy Order pursuant to
`D 37 CFR 5.2 (Paper filers only. Applications that fall under Secrecy Order may not be filed electronically.)
`Inventor Information:
`
`1
`Inventor
`Legal Name
`
`I Remove I
`
`Prefix Given Name
`
`Middle Name
`
`Family Name
`
`Suffix
`
`Gabor
`T.
`Bartha
`Residence Information (Select One) (!) US Residency 0 Non US Residency O Active US Military Service
`I State/Province I CA
`I Country of Residence i I US
`City
`Los Altos
`
`Mailing Address of Inventor:
`
`Address 1
`Address 2
`City
`I Los Altos
`Postal Code
`
`2
`Inventor
`Legal Name
`
`1564 Clay Drive
`
`1 94024
`
`I State/Province
`I Country 1
`1 us
`
`I CA
`
`I Remove I
`
`Prefix Given Name
`
`Middle Name
`
`Family Name
`
`Suffix
`
`Gemma
`Chandratillake
`Residence Information (Select One) (!) US Residency 0 Non US Residency O Active US Military Service
`I State/Province I CA
`I Country of Residence i I US
`City
`San Francisco
`
`Mailing Address of Inventor:
`
`1246 Jackson Street
`
`Address 1
`Address 2
`City
`I San Francisco
`I 94109
`Postal Code
`
`3
`Inventor
`Legal Name
`
`I State/Province
`I us
`I Country 1
`
`I CA
`
`I Remove I
`
`Prefix Given Name
`
`Middle Name
`
`Family Name
`
`Suffix
`
`Richard
`Chen
`Residence Information (Select One) (!) US Residency 0 Non US Residency O Active US Military Service
`
`EFS Web 2.2.5
`
`Personalis EX2113
`
`

`

`PTO/AIN14 (08-12)
`Approved for use through 01/31/2014. 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 it contains a valid 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`44168-702.101
`
`Application Number
`
`Title of Invention METHODS AND SYSTEMS FOR GENETIC ANALYSIS
`
`City I Burlingame
`
`I State/Province I CA
`
`I Country of Residence i I US
`
`Mailing Address of Inventor:
`
`Address 1
`Address 2
`City
`I Burlingame
`Postal Code
`
`4
`Inventor
`Legal Name
`
`1506 Vancouver Ave
`
`1 94010
`
`I State/Province
`1 us
`I Country 1
`
`I CA
`
`I Remove I
`
`Prefix Given Name
`
`Middle Name
`
`Family Name
`
`Suffix
`
`Garcia
`Sarah
`0 Non US Residency O Active US Military Service
`Residence Information (Select One) (!) US Residency
`I State/Province I CA
`I Country of Residence i I US
`City
`Palo Alto
`
`Mailing Address of Inventor:
`
`Address 1
`Address 2
`I Palo Alto
`City
`Postal Code
`
`5
`Inventor
`Legal Name
`
`1081 Tanland Drive Apt. A
`
`I 94303
`
`I State/Province
`I us
`I Country 1
`
`I CA
`
`I Remove I
`
`Prefix Given Name
`
`Middle Name
`
`Family Name
`
`Suffix
`
`Lam
`Yu Kor
`Hugo
`0 Non US Residency O Active US Military Service
`Residence Information (Select One) (!) US Residency
`I State/Province I CA
`I Country of Residence i I US
`City Mountain View
`
`Mailing Address of Inventor:
`
`245 California St., Apt 319
`
`Address 1
`Address 2
`City
`I Mountain View
`I 94040
`Postal Code
`
`6
`Inventor
`Legal Name
`
`I State/Province
`I us
`I Country 1
`
`I CA
`
`I Remove I
`
`Prefix Given Name
`
`Middle Name
`
`Family Name
`
`Suffix
`
`Luo
`Shujun
`0 Non US Residency O Active US Military Service
`Residence Information (Select One) (!) US Residency
`I State/Province I CA
`I Country of Residence i I US
`City
`Castro Valley
`
`EFS Web 2.2.5
`
`Personalis EX2113
`
`

`

`PTO/AIN14 (08-12)
`Approved for use through 01/31/2014. 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 it contains a valid 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`44168-702.101
`
`Application Number
`
`Title of Invention METHODS AND SYSTEMS FOR GENETIC ANALYSIS
`
`Mailing Address of Inventor:
`
`7325 Lamar Loop
`
`Address 1
`Address 2
`City
`I Castro Valley
`Postal Code
`I 94552
`
`7
`Inventor
`Legal Name
`
`I State/Province
`I us
`I Country 1
`
`I CA
`
`I Remove I
`
`Prefix Given Name
`
`Middle Name
`
`Family Name
`
`Suffix
`
`Mark
`R.
`Pratt
`Residence Information (Select One) (!) US Residency 0 Non US Residency O Active US Military Service
`I State/Province I CA
`I Country of Residence i I US
`City
`Belmont
`
`Mailing Address of Inventor:
`
`Address 1
`Address 2
`City
`I Belmont
`Postal Code
`
`8
`Inventor
`Legal Name
`
`1200 Lane Street
`
`I 94002
`
`I State/Province
`I us
`I Country 1
`
`I CA
`
`I Remove I
`
`Prefix Given Name
`
`Middle Name
`
`Family Name
`
`Suffix
`
`John
`West
`Residence Information (Select One) (!) US Residency 0 Non US Residency O Active US Military Service
`I State/Province I CA
`I Country of Residence i I US
`City
`Cupertino
`
`Mailing Address of Inventor:
`
`10221 Adriana Avenue
`
`Address 1
`Address 2
`City
`I Cupertino
`Postal Code
`
`I State/Province
`I Country 1
`1 us
`All Inventors Must Be Listed - Additional Inventor Information blocks may be
`generated within this form by selecting the Add button.
`
`1 95014
`
`I CA
`
`I Add
`
`I
`
`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.
`
`(cid:143)
`
`Customer Number
`
`I 21911
`
`EFS Web 2.2.5
`
`Personalis EX2113
`
`

`

`PTO/AIN14 (08-12)
`Approved for use through 01/31/2014. 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 it contains a valid 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`44168-702.101
`
`Application Number
`
`Title of Invention METHODS AND SYSTEMS FOR GENETIC ANALYSIS
`
`Email Address
`
`patentdocket@wsgr.com
`
`Add Email
`
`!Remove Email!
`
`Application Information:
`
`Title of the Invention
`
`Attorney Docket Number 44168-702.101
`
`METHODS AND SYSTEMS FOR GENETIC ANALYSIS
`I Small Entity Status Claimed
`
`Application Type
`
`Provisional
`
`Subject Matter
`Suggested Class (if any)
`Suggested Technology Center (if any)
`
`!Sub Class (if any) I
`
`(cid:143)
`
`12
`
`I Suggested Figure for Publication (if any) I
`
`Total Number of Drawing Sheets (if any)
`Publication Information:
`D Request Early Publication (Fee required at time of Request 37 CFR 1.219)
`Request Not to Publish. I hereby request that the attached application not be published under
`D 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.
`
`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:
`
`(!) Customer Number
`
`Customer Number
`
`21971
`
`I O US Patent Practitioner
`
`lo 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.
`
`Prior Application Status
`
`! Remove !
`
`Application Number
`
`Continuity Type
`
`Prior Application Number
`
`Filing Date (YYYY-MM-DD)
`
`Additional Domestic Benefit/National Stage Data may be generated within this form
`by selecting the Add button.
`
`I Add
`
`I
`
`Foreign Priority Information:
`
`EFS Web 2.2.5
`
`Personalis EX2113
`
`

`

`PTO/AIN14 (08-12)
`Approved for use through 01/31/2014. 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 it contains a valid 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`44168-702.101
`
`Application Number
`
`Title of Invention METHODS AND SYSTEMS FOR GENETIC ANALYSIS
`
`This section allows for the applicant to claim benefit of foreign priority and to identify any prior foreign application for which priority is
`not claimed. 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(a).
`
`Application Number
`
`Country i
`
`I Remove I
`Filing Date (YYYY-MM-DD)
`
`Priority Claimed
`0 Yes
`® No
`I Add I
`
`Additional Foreign Priority Data may be generated within this form by selecting the
`Add button.
`
`Authorization to Permit Access:
`
`~ Authorization to Permit Access to the Instant Application by the Participating Offices
`
`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 1.14(c) 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 U.S. application-as-filed from which benefit is
`sought in the instant patent application.
`
`In accordance with 37 CFR 1.14(c), access may be provided to information concerning the dale offiling this Authorization.
`
`Applicant Information:
`
`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.
`
`EFS Web 2.2.5
`
`Personalis EX2113
`
`

`

`PTO/AIN14 (08-12)
`Approved for use through 01/31/2014. 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 it contains a valid 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`44168-702.101
`
`Application Number
`
`Title of Invention METHODS AND SYSTEMS FOR GENETIC ANALYSIS
`
`I Remove I
`
`Applicant 1
`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.
`
`Clear
`
`I
`lo Joint Inventor
`
`I
`
`lo Legal Representative under 35 U.S.C. 117
`® Assignee
`lo
`0 Person to whom the inventor is obligated to assign.
`If applicant is the legal representative, indicate the authority to file the patent application, the inventor is:
`
`Person who shows sufficient proprietary interest
`
`Name of the Deceased or Legally Incapacitated Inventor : I
`
`If the Applicant is an Organization check here.
`
`~
`
`Organization Name
`
`I Personalis, Inc.
`
`Mailing Address Information:
`
`I
`
`Address 1
`
`Address 2
`
`City
`Country ii us
`
`Phone Number
`
`Email Address
`
`1350 Willow Road, Suite 202
`
`Menlo Park
`
`State/Province
`
`CA
`
`Postal Code
`
`94025
`
`Fax Number
`
`Additional Applicant Data may be generated within this form by selecting the Add button.
`
`I Add I
`
`Non-Applicant Assignee Information:
`
`Providing assignment information in this section does not subsitute for compliance with any requirement of part 3 of Tille 37 of CFR to
`have an assignment recorded by the Office.
`
`Assignee 1
`
`Complete this section only if non-applicant assignee information is desired to be included on the patent application publication in
`accordance with 37 CFR 1.215(b). Do not include in this section 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), as the patent application publication will
`include the name of the applicant(s).
`
`If the Assignee is an Organization check here.
`
`(cid:143)
`
`EFS Web 2.2.5
`
`I Remove I
`
`Personalis EX2113
`
`

`

`PTO/AIN14 (08-12)
`Approved for use through 01/31/2014. 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 it contains a valid 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`44168-702.101
`
`Application Number
`
`Title of Invention METHODS AND SYSTEMS FOR GENETIC ANALYSIS
`
`Prefix
`
`Given Name
`
`Middle Name
`
`Family Name
`
`Suffix
`
`Mailing Address Information:
`
`Address 1
`
`Address 2
`
`City
`Country i
`
`I
`Phone Number
`
`Email Address
`
`I
`
`State/Province
`
`Postal Code
`
`Fax Number
`
`Additional Assignee Data may be generated within this form by selecting the Add button.
`
`I Add
`
`I
`
`Signature:
`NOTE: This form must be signed in accordance with 37 CFR 1.33. See 37 CFR 1.4 for signature requirements and
`certifications
`
`Remove
`
`Signature
`
`/Lucia Muntean/
`
`Date (YYYY-MM-DD) 2013-01-17
`
`First Name
`
`Lucia
`
`I Last Name I Muntean
`
`Additional Signature may be generated within this form by selecting the Add button.
`
`69481
`Registration Number
`I Add I
`
`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 lime 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: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`EFS Web 2.2.5
`
`Personalis EX2113
`
`

`

`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 patent. 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.
`
`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 the Freedom of Information Act requires disclosure of these records.
`
`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 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 pursuan
`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 inspections or an issued
`patent.
`
`9.
`
`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.
`
`EFS Web 2.2.5
`
`Personalis EX2113
`
`

`

`Doc Code: TR.PROV
`Document Description: Provisional Cover Sheet (SB16)
`
`PTO/SB/16 (11-08)
`Approved for use through 05/3112015. 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 it 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
`
`Given Name
`
`Middle Name
`
`Family Name
`
`City
`
`State
`
`Gabor
`
`T.
`
`Bartha
`
`Los Altos
`
`CA
`
`Inventor 2
`
`Given Name
`
`Middle Name
`
`Family Name
`
`City
`
`State
`
`Gemma
`
`Inventor 3
`
`Chandratillake
`
`San Francisco CA
`
`Given Name
`
`Middle Name
`
`Family Name
`
`City
`
`State
`
`Richard
`
`Inventor 4
`
`Chen
`
`Burlingame
`
`CA
`
`Given Name
`
`Middle Name
`
`Family Name
`
`City
`
`State
`
`Sarah
`
`Garcia
`
`Palo Alto
`
`CA
`
`Remove
`
`Country
`
`i
`
`us
`
`Remove
`
`Country
`
`i
`
`us
`
`Remove
`
`Country
`
`i
`
`us
`
`Remove
`
`Country
`
`i
`
`us
`
`Inventor 5
`
`Given Name
`
`Middle Name
`
`Family Name
`
`City
`
`State
`
`Hugo
`
`Yu Kor
`
`Lam
`
`Mountain View CA
`
`Inventor 6
`
`Given Name
`
`Middle Name
`
`Family Name
`
`City
`
`State
`
`Shujun
`
`Inventor 7
`
`Luo
`
`Castro Valley
`
`CA
`
`Given Name
`
`Middle Name
`
`Family Name
`
`City
`
`State
`
`Mark
`
`R.
`
`Pratt
`
`Belmont
`
`CA
`
`Inventor 8
`
`Given Name
`
`Middle Name
`
`Family Name
`
`City
`
`State
`
`John
`
`West
`
`Cupertino
`
`CA
`
`Remove
`
`Country
`
`i
`
`us
`
`Remove
`
`Country
`
`i
`
`us
`
`Remove
`
`Country
`
`i
`
`us
`
`Remove
`
`Country
`
`i
`
`us
`
`EFS - Web 1.0.1
`
`Personalis EX2113
`
`

`

`Doc Code: TR.PROV
`Document Description: Provisional Cover Sheet (SB16)
`
`PTO/SB/16 (11-08)
`Approved for use through 05/3112015. 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 it displays a valid 0MB control number
`
`All Inventors Must Be Listed -Additional Inventor Information blocks may be
`generated within this form by selecting the Add button.
`
`I Add
`
`I
`
`Title of Invention
`
`METHODS AND SYSTEMS FOR GENETIC ANALYSIS
`
`Attorney Docket Number (if applicable)
`
`44168-702.101
`
`Correspondence Address
`
`Direct all correspondence to (select one):
`
`(!) The address corresponding to Customer Number
`
`0 Firm or Individual Name
`
`Customer Number
`
`21971
`
`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.
`0 Yes, the name of the U.S. Government agency and the Government contract number are:
`
`EFS - Web 1.0.1
`
`Personalis EX2113
`
`

`

`Doc Code: TR.PROV
`Document Description: Provisional Cover Sheet (SB16)
`
`PTO/SB/16 (11-08)
`Approved for use through 05/3112015. 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 it displays a valid 0MB control number
`
`Entity Status
`Applicant claims small entity status under 37 CFR 1.27
`0 Yes, applicant qualifies for small entity status under 37 CFR 1.27
`(!) 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 PT0-2038 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
`
`/Lucia Muntean/
`
`Date (YYYY-MM-DD}
`
`2013-01-17
`
`First Name
`
`Lucia
`
`Last Name
`
`Muntean
`
`Registration Number
`(If appropriate)
`
`69481
`
`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
`
`Personalis EX2113
`
`

`

`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.
`
`Personalis EX2113
`
`

`

`PROVISIONAL PATENT APPLICATION
`
`METHODS AND SYSTEMS FOR GENETIC ANALYSIS
`
`WSGR Docket No. 44168-702.101
`
`Inventors:
`
`Gabor T. BARTHA,
`Citizen of the United States of America, Residing at
`1564 Clay Drive
`Los Altos, CA 94024
`
`Gemma CHANDRATILLAKE,
`Citizen of the United Kingdom of Great Britain and N orthem Ireland, Residing at
`1246 Jackson Street
`San Francisco, CA 94109
`
`Richard CHEN,
`Citizen of the United States of America, Residing at
`1506 Vancouver Ave
`Burlingame, CA 94010
`
`Sarah GARCIA,
`Citizen of the United States of America, Residing at
`1081 Tanland Drive Apt. A
`Palo Alto, CA 94303
`
`Hugo Yu Kor LAM
`Citizen of the United States of America, Residing at
`245 California St., Apt 319
`Mountain View, CA 94040
`
`ShujunLUO,
`Citizen of China, Residing at
`7325 Lamar Loop
`Castro Valley, CA 94552
`
`Mark R. PRATT,
`Citizen of the United States of America, Residing at
`1200 Lane St
`Belmont, CA 94002
`
`John WEST,
`Citizen of the United States of America, Residing at
`10221 Adriana A venue
`Cupertino, CA 95014
`
`Assignee:
`
`Personalis, Inc.
`1350 Willow Road, Suite 202
`Menlo Park, CA 94025
`
`Personalis EX2113
`
`

`

`\.Vilson Sonsini Goodrich & Rosati
`
`650 Page Mill Road
`Palo Alto, CA 94304
`(650) 493-9300 (Main)
`(650) 493-6811 (Facsimile)
`
`Filed Electronically on: January 17, 2013
`
`Personalis EX2113
`
`

`

`METHODS AND SYSTEMS FOR GENETIC ANALYSIS
`
`BACKGROUND
`
`[0001] Current methods for whole genome and/or exome sequencing may be costly and fail to capture many
`
`biomedically important variants. For example, commercially available exome enrichment kits (e.g.,
`
`Illumina's TruSeq exome enrichment and Agilent's SureSelect exome enrichment), may fail to target
`
`biomedically interesting non-exomic and exomic regions. Often, whole genome and/or exome sequencing
`
`using standard sequencing methods performs poorly in content regions having very high CG content (>70%).
`
`Furthermore, whole genome and/or exome sequencing also fail to provide adequate and/or cost-effective
`
`sequencing of repetitive elements in the genome.
`
`[0002] The me