AO 120 (Rev 08/10)
`
`Case 6:21-cv-01372-ADA Document 2 Filed 12/29/21 Page 1 of 2
`
`TO:
`
`Mail Stop 8
`Director of the U.S. Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`REPORT ON THE
`FILING OR DETERMINATION OF
`AN ACTION REGARDING A PATENT
`OR TRADEMARK
`
`In Compliance with 35 U.S.C. § 290 and/or 15 U.S.C. § 1116 you are hereby advised that a court action has been
`filed in the U.S. District Court
`Western District of Texas - Waco Division
`on the following
`D Trademarks or
`Ix] Patents. ( D the patent action involves 35 U.S.C. § 292.):
`DOCKET NO.
`DATE FILED
`U.S. DISTRICT COURT
`Western District of Texas - Waco Division
`6:21-cv-01372
`December 29, 2021
`PLAINTIFF
`DEFENDANT
`
`Topia Technology, Inc.
`
`Box, Inc., Sailpoint Technologies Holdings, Inc., and
`Vistra Corp.
`
`PATENTOR
`TRADEMARK NO.
`
`DATE OF PATENT
`OR TRADEMARK
`
`HOLDER OF PATENT OR TRADEMARK
`
`1 9,143,561
`
`Sep. 22,2015
`
`Topia Technology, Inc.
`
`2 10,067,942
`
`Sep. 4,2018
`
`Topia Technology, Inc.
`
`3 10,289,607
`
`May 14, 2019
`
`Topia Technology, Inc.
`
`4 10,642,787
`
`May 5, 2020
`
`Topia Technology, Inc.
`
`5 10,754,823
`
`Aug. 25, 2020
`
`Topia Technology, Inc.
`
`In the above-entitled case, the following patent(s)/ trademark(s) have been included:
`
`DATE INCLUDED
`
`INCLUDED BY
`
`PATENTOR
`TRADEMARK NO.
`
`□ Amendment
`DATE OF PATENT
`OR TRADEMARK
`
`D Answer
`
`D Cross Bill
`
`D Other Pleading
`
`HOLDER OF PATENT OR TRADEMARK
`
`1
`
`2
`
`3
`
`4
`
`5
`
`In the above-entitled case, the following decision has been rendered or judgement issued:
`
`IDECISION/JUDGEMENT
`
`I (BY} DEPUTY CLERK
`
`Copy 1-Upon initiation of action, mail this copy to Director Copy 3-Upon termination of action, mail this copy to Director
`Copy 2-Upon filing document adding patent(s), mail this copy to Director Copy 4-Case file copy
`
`Box & Dropbox Exhibit 1009
`Page 1
`
`

`

`AO 120 (Rev 08/10)
`
`Case 6:21-cv-01372-ADA Document 2 Filed 12/29/21 Page 2 of 2
`
`TO:
`
`Mail Stop 8
`Director of the U.S. Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`REPORT ON THE
`FILING OR DETERMINATION OF
`AN ACTION REGARDING A PATENT
`OR TRADEMARK
`
`In Compliance with 35 U.S.C. § 290 and/or 15 U.S.C. § 1116 you are hereby advised that a court action has been
`filed in the U.S. District Court
`Western District of Texas - Waco Division
`on the following
`D Trademarks or
`Ix] Patents. ( D the patent action involves 35 U.S.C. § 292.):
`DOCKET NO.
`DATE FILED
`U.S. DISTRICT COURT
`Western District of Texas - Waco Division
`6:21-cv-01372
`December 29, 2021
`PLAINTIFF
`DEFENDANT
`
`Topia Technology, Inc.
`
`Box, Inc., Sailpoint Technologies Holdings, Inc., and Vistra
`
`Corp.
`
`PATENTOR
`TRADEMARK NO.
`
`DATE OF PATENT
`OR TRADEMARK
`
`HOLDER OF PATENT OR TRADEMARK
`
`1 11,003,622
`
`May 11, 2021
`
`Topia Technology, Inc.
`
`2
`
`3
`
`4
`
`5
`
`In the above-entitled case, the following patent(s)/ trademark(s) have been included:
`
`DATE INCLUDED
`
`INCLUDED BY
`
`PATENTOR
`TRADEMARK NO.
`
`□ Amendment
`DATE OF PATENT
`OR TRADEMARK
`
`D Answer
`
`D Cross Bill
`
`D Other Pleading
`
`HOLDER OF PATENT OR TRADEMARK
`
`1
`
`2
`
`3
`
`4
`
`5
`
`In the above-entitled case, the following decision has been rendered or judgement issued:
`
`IDECISION/JUDGEMENT
`
`I (BY} DEPUTY CLERK
`
`Copy 1-Upon initiation of action, mail this copy to Director Copy 3-Upon termination of action, mail this copy to Director
`Copy 2-Upon filing document adding patent(s), mail this copy to Director Copy 4-Case file copy
`
`Box & Dropbox Exhibit 1009
`Page 2
`
`

`

`AO 120 (Rev 08/10)
`
`Case 6:21-cv-01373-ADA Document 2 Filed 12/29/21 Page 1 of 2
`
`TO:
`
`Mail Stop 8
`Director of the U.S. Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`REPORT ON THE
`FILING OR DETERMINATION OF
`AN ACTION REGARDING A PATENT
`OR TRADEMARK
`
`In Compliance with 35 U.S.C. § 290 and/or 15 U.S.C. § 1116 you are hereby advised that a court action has been
`filed in the U.S. District Court
`Western District of Texas - Waco Division
`on the following
`D Trademarks or
`Ix] Patents. ( D the patent action involves 35 U.S.C. § 292.):
`DOCKET NO.
`DATE FILED
`U.S. DISTRICT COURT
`Western District of Texas - Waco Division
`6:21-cv-01373
`December 29, 2021
`PLAINTIFF
`DEFENDANT
`
`Topia Technology, Inc.
`
`Dropbox, Inc., Sailpoint Technologies Holdings, Inc., and Clear
`Channel Outdoor Holdings, Inc.
`
`PATENTOR
`TRADEMARK NO.
`
`DATE OF PATENT
`OR TRADEMARK
`
`HOLDER OF PATENT OR TRADEMARK
`
`1 9,143,561
`
`Sep. 22,2015
`
`Topia Technology, Inc.
`
`2 10,067,942
`
`Sep. 4,2018
`
`Topia Technology, Inc.
`
`3 10,289,607
`
`May 14, 2019
`
`Topia Technology, Inc.
`
`4 10,642,787
`
`Aug. 25, 2020
`
`Topia Technology, Inc.
`
`5 10,754,823
`
`Aug. 25, 2020
`
`Topia Technology, Inc.
`
`In the above-entitled case, the following patent(s)/ trademark(s) have been included:
`
`DATE INCLUDED
`
`INCLUDED BY
`
`PATENTOR
`TRADEMARK NO.
`
`□ Amendment
`DATE OF PATENT
`OR TRADEMARK
`
`D Answer
`
`D Cross Bill
`
`D Other Pleading
`
`HOLDER OF PATENT OR TRADEMARK
`
`1
`
`2
`
`3
`
`4
`
`5
`
`In the above-entitled case, the following decision has been rendered or judgement issued:
`
`IDECISION/JUDGEMENT
`
`I (BY} DEPUTY CLERK
`
`Copy 1-Upon initiation of action, mail this copy to Director Copy 3-Upon termination of action, mail this copy to Director
`Copy 2-Upon filing document adding patent(s), mail this copy to Director Copy 4-Case file copy
`
`Box & Dropbox Exhibit 1009
`Page 3
`
`

`

`AO 120 (Rev 08/10)
`
`Case 6:21-cv-01373-ADA Document 2 Filed 12/29/21 Page 2 of 2
`
`TO:
`
`Mail Stop 8
`Director of the U.S. Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`REPORT ON THE
`FILING OR DETERMINATION OF
`AN ACTION REGARDING A PATENT
`OR TRADEMARK
`
`In Compliance with 35 U.S.C. § 290 and/or 15 U.S.C. § 1116 you are hereby advised that a court action has been
`filed in the U.S. District Court
`Western District of Texas - Waco Division
`on the following
`D Trademarks or
`Ix] Patents. ( D the patent action involves 35 U.S.C. § 292.):
`DOCKET NO.
`DATE FILED
`U.S. DISTRICT COURT
`Western District of Texas - Waco Division
`6:21-cv-01373
`December 29, 2021
`PLAINTIFF
`DEFENDANT
`
`Topia Technology, Inc.
`
`Dropbox, Inc., Sailpoint Technologies Holdings, Inc., and Clear
`Channel Outdoor Holdings, Inc.
`
`PATENTOR
`TRADEMARK NO.
`
`DATE OF PATENT
`OR TRADEMARK
`
`HOLDER OF PATENT OR TRADEMARK
`
`1 11,003,622
`
`May 11, 2021
`
`Topia Technology, Inc.
`
`2
`
`3
`
`4
`
`5
`
`In the above-entitled case, the following patent(s)/ trademark(s) have been included:
`
`DATE INCLUDED
`
`INCLUDED BY
`
`PATENTOR
`TRADEMARK NO.
`
`□ Amendment
`DATE OF PATENT
`OR TRADEMARK
`
`D Answer
`
`D Cross Bill
`
`D Other Pleading
`
`HOLDER OF PATENT OR TRADEMARK
`
`1
`
`2
`
`3
`
`4
`
`5
`
`In the above-entitled case, the following decision has been rendered or judgement issued:
`
`IDECISION/JUDGEMENT
`
`I (BY} DEPUTY CLERK
`
`Copy 1-Upon initiation of action, mail this copy to Director Copy 3-Upon termination of action, mail this copy to Director
`Copy 2-Upon filing document adding patent(s), mail this copy to Director Copy 4-Case file copy
`
`Box & Dropbox Exhibit 1009
`Page 4
`
`

`

`Case 1:21-cv-01821-MN Document 3 Filed 12/27/21 Page 1 of 2 PagelD #: 154
`
`AO 120 (Rev. 08/10}
`
`TO:
`
`Mail Stop 8
`Director of the U.S. Patent and Trademark Office
`P,O. Box 1450
`Alexandria, VA 22313-1450
`
`REPORT ON THE
`FILING OR DETER.MINA TION OF AN
`ACTION REGARDING A PATENT OR
`TRADEMARK
`
`[n Compliance with 35 1-LS.C. § 290 and/or 15 U.S.C. § l l 16 you are hereby advised that a court action has been
`District of Delaware
`filed in the U.S. District Court
`on the following
`( D the patent ac110n invoives 35 U.S.C:. § 292.):
`D Trademarks or
`
`[] Patents.
`
`DOCKET NO.
`
`PLAfNTIFF
`
`TOPIA TECHNOLOGY, INC.
`
`DATEF[LED
`12/27/2021
`
`U.S. rnSTRlCT COURT
`
`District of Delaware
`
`DEFENDANT
`
`EGNYTE, INC.
`
`PATENTOR
`TRADEMARK NO.
`
`DATE OF PATENT
`OR TRADEMARK
`
`HOLDER OF PATENT OR TRADEMARK
`
`l 9,143,56'1
`
`2 10,067,942
`
`3 10,289,607
`
`4 10,642,787
`
`5 10,754,823
`
`9/22/2015
`
`Topia Technology, Inc.
`
`9/4/2018
`
`Topia Technology, Inc.
`
`5/14/2019
`
`Topia Tecl1nology, Inc.
`
`5/5/2020
`
`Topia Technology, Inc.
`
`8/25/2020
`
`Topia Tecl1nology, Inc.
`
`In the above-entitled case, the following patent(s)/ trademark(s) have been included:
`
`DA TE INCLUDED
`
`PATENTOR
`TRADEMARK NO.
`
`INCLUDED BY
`
`n Amendment
`DATE OF PATENT
`OR TRADEMARK
`
`□ Other Pleadrng
`□ Cross Bill
`□ Answer
`HOLDER OF PATENT OR TRADEMARK
`
`l
`
`2
`
`3
`
`4
`
`5
`
`[n. the above----·entitied case, the following decision has been rendered or judgement issued:
`
`DECJSIONiJUDGEMENT
`
`I (llYJ DEPUTY (WRK
`
`Co1iy 1-----Upon initiatioll of action, mail this copy to Director Copy 3-----lJiion termination of adion, mail this copy to Director
`Copy 2----·IJJJOll filing documellt adding patellt(s), mail this copy to Director Copy 4-----Case file copy
`
`Box & Dropbox Exhibit 1009
`Page 5
`
`

`

`Case 1:21-cv-01821-MN Document 3 Filed 12/27/21 Page 2 of 2 PagelD #: 155
`
`ADDENDUM TO AO 120 (ADDITIONAL PA TENTS)
`
`I U.S. District Court for the District of Delaware
`
`DEFENDANT
`
`EGNYTE, INC.
`
`DATE OF
`PATENTOR
`TRADEMARK
`05/11/2021
`
`HOLDER OF PATENT OR
`TRADEMARK
`
`Topia Technology, Inc.
`
`Docket No.
`
`PLAINTIFF
`
`I Date Filed
`12/27/2021
`
`TOPIA TECHNOLOGY, INC.
`
`PATENT OR TRADEMARK NO.
`
`11,003,622
`
`6
`
`7
`
`8
`
`9
`
`10
`
`RLF117591360v.1
`
`Box & Dropbox Exhibit 1009
`Page 6
`
`

`

`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`APPLICATION NUMBER
`16/017,348
`
`FILING OR 3 71 (C) DATE
`06/25/2018
`
`23373
`SUGHRUE MION, PLLC
`2000 PENNSYLVANIA AVENUE, N.W.
`SUITE 9000
`WASHINGTON, DC 20006
`
`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
`
`FIRST NAMED APPLICANT
`Michael R. Manzano
`
`ATTY. DOCKET NO./TITLE
`030721
`CONFIRMATION NO. 3719
`POA ACCEPTANCE LETTER
`
`111111111111111111111111]~!1]!~1!~1! ~, jll~ ~!I!'] 11111111111111111111111
`
`Date Mailed: 01/14/2022
`
`NOTICE OF ACCEPTANCE OF POWER OF ATTORNEY
`
`This is in response to the Power of Attorney filed 0 1/11/2022.
`
`The Power of Attorney in this application is accepted. Correspondence in this application will be mailed to the
`above address as provided by 37 CFR 1.33.
`
`Questions about the contents of this notice and the
`requirements it sets forth should be directed to the Office
`of Data Management, Application Assistance Unit, at
`(571) 272-4000 or (571) 272-4200 or 1-888-786-0101.
`
`/ltaba/
`
`page 1 of 1
`
`Box & Dropbox Exhibit 1009
`Page 7
`
`

`

`POWER OF ATTORNEY BY APPLICANT
`
`l hereby revoke all previous powers of attorney given in the application identified in the attached
`transmittal letter.
`
`I hereby appoint:
`
`Andrew J. Taska. Registration No, 54,666, and
`
`John M. Bird, Registration No. 46,027
`
`as my/our attorney(s) or agent(s), and to transact all business in lhe United States Patent and Trademark
`Office connected therewith for the application referenced in the attached transmittal letter (Form
`PTO/A!Af82A).
`
`Please recognize or change the correspondence address for the application identified in the
`attached transmittal letter to:
`
`The address associated with !he above.mentioned Customer Number,
`
`I am the Applicant (if the Applicant is a juristic entity, list the Applican! name in the box):
`I TOPIA TECHNOLOGY, INC,
`0
`Inventor or Joint Inventor (title not required below)
`D
`Legal Representative of a Deceased or Legally Incapacitated Inventor (title not required below)
`0 Assignee or Person to Whom the Inventor is Under an Obligation lo Assign (provide signer's title if
`applicant is a juristic entity)
`D Person Who Otherwise Shows Sufficient Proprietary Interest (e.g., a Petition under 37 CFR 1.46(b)(2)
`was granted in the application or is concurrently being filed with this document)(provide signer's title if
`applicant is a juristic entity)
`
`I
`
`SIGNATURE of Applicant for Patent
`I The undersigned (whose title is supplied below) is authorized to act on behalf of the applicant (e.g., where
`the applicant is a juristic~nttty).
`Date (Optional) I ;.zfat:~/v
`
`< .<~ , ! . : ;~ ~/14,$'$;
`/
`Janine Terrano
`
`i
`
`I Signature
`'
`I Name
`I
`!
`I Tille
`
`c-~,~-
`
`,. "''""-"''"·~
`
`m~m
`
`' !
`i CEO ofTOPIA TECHNOLOGY, INC.
`i
`NOTE: Signature - This form must be signed by the applicant in accordance with 37 CFR 1.33. See 37
`CFR 1.4 for signature requirements and ceiiifications. If more than one applicant, use multiple forms.
`
`Ii]
`
`Total of_j_forms are submilted.
`
`Box & Dropbox Exhibit 1009
`Page 8
`
`

`

`Electronic Acknowledgement Receipt
`
`EFSID:
`
`Application Number:
`
`44717233
`
`16017348
`
`International Application Number:
`
`Confirmation Number:
`
`3719
`
`Title of Invention:
`
`ARCHITECTURE FOR MANAGEMENT OF DIGITAL FILES ACROSS DISTRIBUTED
`NETWORK
`
`First Named Inventor/Applicant Name:
`
`Michael R. Manzano
`
`Customer Number:
`
`23373
`
`Filer:
`
`Andrew Joseph Taska/Mildred Cabrera
`
`Filer Authorized By:
`
`Andrew Joseph Taska
`
`Attorney Docket Number:
`
`030721
`
`Receipt Date:
`
`Filing Date:
`
`Time Stamp:
`
`11-JAN-2022
`
`25-JUN-2018
`
`13:58:33
`
`Application Type:
`
`Utility under 35 USC 111 (a)
`
`Payment information:
`
`Submitted with Payment
`
`I no
`
`File Listing:
`
`Document
`Number
`
`Document Description
`
`File Name
`
`1
`
`Change of Address
`
`A271734SecondChangeofAddr
`essl 0289607.pdf
`
`Warnings:
`
`File Size(Bytes}/
`Message Digest
`
`Multi
`Part /.zip
`
`Pages
`(if appl.)
`
`101570
`
`8b897 4 36653 61 d486ba6803 ec 49fce bb 723
`fa7d2
`
`no
`
`2
`
`Box & Dropbox Exhibit 1009
`Page 9
`
`

`

`Information:
`
`2
`
`Assignee showing of ownership per 37
`CFR 3.73
`
`A271734StatementUnder373.
`pdf
`
`218336
`
`45cadd80bc51872d52dd6b4c84864d78a8
`1b5abd
`
`no
`
`3
`
`Warnings:
`
`Information:
`
`3
`
`Power of Attorney
`
`A271734ExecutedPowerofAtto1
`ney.pdf
`
`147589
`
`a578fa 1 Sfb 1504c25e0650ba41480649dad
`4604e
`
`no
`
`1
`
`Warnings:
`
`Information:
`
`Total Files Size (in bytes)
`
`467495
`
`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 Agglications 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 Agglication 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 Agglication 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.
`
`Box & Dropbox Exhibit 1009
`Page 10
`
`

`

`r
`
`CHANGE OF
`CORRESPONDENCE ADDRESS
`Patent
`
`Issue Date
`
`Application Number
`
`PTO/SB/123 (04-15)
`Approved for use throuq_h 03/31/2021. 0MB 0651-0035
`U.S. Patent and Traaemark 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.
`Patent Number
`10,289,607
`May 14, 2019
`16/017,348
`June 25, 2018
`First Named Inventor Michael R. Manzano
`A271734
`
`Address to:
`Mail Stop Post Issue
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`Filing Date
`
`Attorney Docket
`Number
`
`Please change the Correspondence Address for the above-identified patent to:
`
`~ The address associated with Customer Number:
`OR
`
`I
`
`23373
`
`I
`
`□ Firm or
`
`Individual Name
`
`Address
`
`City
`
`Country
`
`Telephone
`
`I State
`
`I Email
`
`I ZIP
`
`This form cannot be used to change the data associated with a Customer Number. To change the data associated with an
`existing Customer Number use "Request for Customer Number Data Change" (PTO/SB/124 ).
`
`This form will not affect any "fee address" provided for the above-identified patent. To change a "fee address" use the "Fee
`Address Indication Form" (PTO/SB/47).
`
`I am the:
`
`□ Patentee.
`□ Assignee of record of the entire interest. See 37 CFR 3.71.
`Statement under 37 CFR 3.73(b) is enclosed. (Form PTO/SB/96).
`54,666
`~ Attorney or agent of record. Registration Number
`/Andrew J. Taska/
`Andrew J. Taska
`I Telephone 202-293-7060
`01/11/2022
`Date
`NOTE: Signatures of all the inventors or assignees of record of the entire interest or their representative(s) are required. Submit multiple forms
`if more than one signature is required, see below*.
`forms are submitted.
`
`Signature
`Typed or
`Printed Name
`
`D *Total of
`
`This collection of information is required by 37 CFR 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: Mail Stop Post Issue, Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`If you need assistance in completing the form, ca/11-800-PTO-9199 and select option 2.
`
`Box & Dropbox Exhibit 1009
`Page 11
`
`

`

`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. 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.
`2. 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.
`3. 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.
`4. 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 197 4, as
`amended, pursuant to 5 U.S.C. 552a(m).
`5. 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.
`6. 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)).
`7. 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.
`8. 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.
`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.
`
`Box & Dropbox Exhibit 1009
`Page 12
`
`

`

`PTO/AIA/96 (08-12)
`Approved for use through 11/30/2020. 0MB 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 0MB control number.
`
`STATEMENT UNDER 37 CFR 3.73(c)
`Applicant!Patent Owner: _T_o_p_ia_T_e_c_hn_o_l_o_g_y,_l_n_c_. ________________________ _
`Application No./Patent No.: 10, 289 ,607
`Filed/Issue Date: _M_a_y_14_,_2_0_1_9 _______ _
`Titled: ARCHITECTURE FOR MANAGEMENT OF DIGITAL FILES ACROSS DISTRIBUTED NETWORK
`
`Topia Technology, Inc.
`, a Corporation
`- - - - - - - - - - - - - - - - - - - -
`
`(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. D An assignee of less than the entire right, title, and interest (check applicable box):
`LJ 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.
`D 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. D 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. D 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. D 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 ______ , Frame ______ , or for which a copy
`thereof is attached.
`B. G A chain of title from the inventor(s), of the patent application/patent identified above, to the current assignee as follows:
`To: TOPIA TECHNOLOGY, INC.
`1 _ From: Michael R. Manzano
`The document was recorded in the United States Patent and Trademark Office at
`, Frame 0552
`Reel 046193
`2. From: John C. Haager
`
`, or for which a copy thereof is attached.
`To: TOPIA TECHNOLOGY, INC.
`
`The document was recorded in the United States Patent and Trademark Office at
`
`Reel 058279
`
`, Frame 0956
`
`, or for which a copy thereof is attached.
`
`[Page 1 of 2]
`This collection of information is required by 37 CFR 3.73(b). 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 12 minutes to complete, including
`gathering, preparing, and submitting the completed application form to the US PTO. 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: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`If you need assistance in completing the form, call I-800-PTO-9!99 and select option 2.
`
`Box & Dropbox Exhibit 1009
`Page 13
`
`

`

`PTO/AIA/96 (08-12)
`Approved for use through 11/30/2020. 0MB 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 0MB control number.
`
`STATEMENT UNDER 37 CFR 3.73(c)
`
`3. 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.
`
`4. 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.
`
`5. 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.
`
`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.
`D Additional documents in the chain of title are listed on a supplemental sheet(s).
`
`D
`
`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.
`/ Andrew J. Taska /
`01/11/2022
`Signature
`Date
`Andrew J. Taska
`Printed or Typed Name
`
`54,666
`Title or Registration Number
`
`[Page 2 of 2]
`
`Box & Dropbox Exhibit 1009
`Page 14
`
`

`

`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. 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.
`2. 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.
`3. 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.
`4. 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).
`5. 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.
`6. 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)).
`7. 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.
`8. 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.
`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.
`
`Box & Dr