Case 2:15-cv-01455-WCB Document 505-1 Filed 10/09/17 Page 1 of 7 PageID #: 25361
`Case 2;15-cv-01455-WCB Document 505-1 Filed 10/09/17 Page 1 of 7 PageID #: 25361
`
`EXHIBIT A
`
`

`

`Case 2:15-cv-01455-WCB Document 505-1 Filed 10/09/17 Page 2 of 7 PageID #: 25362
`
`EXECUTION VERSION
`
`SHORT FORM PATENT ASSIGNMENT
`
`This Patent Assignment (this "Assignment") is made as of September 8, 2017
`(such date, the "Effective Date"), by and between Allergan, Inc., a Delaware corporation
`("Assignor"), and Saint Regis Mohawk Tribe, a federally-recognized sovereign Native
`American Tribe ("Assignee").
`
`WHEREAS, Assignor owns the patents and patent applications set forth in
`Attachment A (the "Patents");
`
`WHEREAS , Assignor desires to assign, transfer, convey and deliver to
`Assignee, and Assignee wishes to acquire from Assignor, all of its right, title and interest in, to
`and under the Patents; and
`
`WHEREAS , pursuant to, and upon the terms, obligations and conditions of, the
`Patent Assignment Agreement dated as of September 8, 2017 (the "Long Form Agreement"),
`by and between Assignor and Assignee, Assignor desires to confirm and perfect its assignment,
`transfer, conveyance and delivery to Assignee of all of its right, title and interest in, to and
`under the Patents and in, to and under the inventions represented thereby, and Assignee is
`desirous of confirming and perfecting the same.
`
`NOW, THEREFORE, for good and valuable consideration, the receipt and
`sufficiency of which are hereby acknowledged, the parties hereto, intending to be legally
`bound, hereby agree as follows :
`
`1. Assignment. As of the Effective Date, Assignor hereby conveys, transfers, assigns
`and delivers to Assignee, and Assignee hereby accepts the from Assignor, all of
`Assignor' s right, title and interest in, to and under the Patents, together with any
`reissues, reexamination, divisions, continuations, continuations-in-part, extensions, and
`renewals of such Assigned Patents already granted and which may be granted thereon.
`The assignment contemplated herein is meant to be an absolute assignment and not by
`way of security.
`
`2. Further Assurances. As may be necessary, Assignor shall execute, acknowledge and
`deliver such other instruments, documents and agreements and shall do such other
`things as may be reasonably necessary, proper or advisable to carry out its obligations
`under this Agreement and as may be reasonably necessary, proper or advisable to more
`completely effectuate, consummate, record, perfect or confirm the transactions
`contemplated hereby.
`
`3. Recordation. The Assignor hereby authorizes the Director of Patents and Trademarks
`in the United States Patent and Trademark Office to record Assignee as the assignee
`and owner of the Assigned Patents and to deliver to Assignee, and to Assignee's
`attorneys, agents, successors or assigns, all official documents and communications as
`may be warranted by this Assignment, including but not limited to issuing any and all
`Letters Patents of the United States on inventions claimed in the Patents.
`
`4. No Other Waivers of Sovereign Immunity. Assignee represents that it has not and will
`not waive its sovereign immunity or the sovereign immunity of any company,
`corporation, enterprise, authority, division, subdivision, branch or other agency,
`
`CONFIDENTIAL
`
`AGN_RES1158893
`
`

`

`Case 2:15-cv-01455-WCB Document 505-1 Filed 10/09/17 Page 3 of 7 PageID #: 25363
`
`including Assignee, a "Tribal Party"), in each case, in relation to any inter partes
`review or any other proceeding in the United States Patent & Trademark Office or any
`administrative proceeding that may be filed for the purpose of invalidating or rendering
`unenforceable any Assigned Patents. For purposes of this Assignment Agreement, no
`provision of this Assignment Agreement should be interpreted to constitute a waiver of
`Assignee's or any other Tribal Party 's sovereign immunity as to any inter partes review
`or similar proceedings.
`
`5. General Provisions. Assignor and Assignee each acknowledge and agree that the
`representations, warranties, covenants, obligations and other terms contained in the
`Long Form Agreement shall not be superseded hereby, but shall remain in full force
`and effect to the full extent provided therein. To the extent that any provision of this
`Assignment is inconsistent or conflicts with the Long Form Agreement, the provisions
`of the Long Form Agreement shall control. The parties may execute this Assignment
`in multiple counterparts, any one of which need not contain the signature of more than
`one party, but all such counterparts taken together shall constitute one and the same
`instrument. Any counterpart may be executed by facsimile or PDF signature and such
`facsimile or PDF signature shall be deemed an original. The terms and conditions of
`this Assignment shall be binding upon the parties hereto and their respective successors
`and assigns. This Assignment shall be governed by and construed in accordance with
`the laws of the State of New York, without giving effect to the principles of conflicts
`of law thereof.
`
`[Signatures Appear On The Following Page]
`
`2
`
`CONFIDENTIAL
`
`AGN_RES1158894
`
`

`

`Case 2:15-cv-01455-WCB Document 505-1 Filed 10/09/17 Page 4 of 7 PageID #: 25364
`
`IN WITNESS THEREOF, Assignor and Assignee have caused their respective duly
`authorized officers to execute this Assignment as of the Effective Date.
`
`Saint Regis Mohawk Tribe
`
`~:~~~~~
`By ~
`
`Name: Eric Thompson
`
`Name: A. Robert D. Bailey
`
`Title: Tribal Chief
`
`Title: President
`
`Title: Tribal Chief
`
`Name: Michael Conners
`
`Title: Tribal Chief
`
`Signature Page lo Short Form Patent Assignment Agreemen\y
`
`~+1
`
`°'~ g:-;--fl<-
`
`CONFIDENTIAL
`
`AGN_RES1158895
`
`

`

`Case 2:15-cv-01455-WCB Document 505-1 Filed 10/09/17 Page 5 of 7 PageID #: 25365
`
`Attachment A - The Patents
`
`PATENT NO.
`
`ISSUE DATE
`
`SERIAL NO.
`
`FILING DATE
`
`STATUS I COMMENTS
`
`COUNTRY
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`
`5,474,979
`5,981,607
`6,479,458
`8,629,111
`8,633,162
`8,642,556
`8,648,048
`8,685,930
`9,248,191
`-
`-
`-
`8,618,064
`-
`-
`-
`-
`7,135,455
`7,368,426
`-
`-
`7,151,085
`7,902,155
`
`-
`8,288,348
`-
`7,276,476
`-
`7,288,520
`8,563,518
`9,101,574
`-
`8,211,855
`
`l 2-Dec-1995
`9-Nov-1999
`12-Nov-2002
`14-Jan-2014
`21-Jan-2014
`4-Feb-2014
`1 l-Feb-2014
`01-Apr-2014
`02-Feb-2016
`-
`-
`-
`31-Dec-2013
`-
`-
`-
`-
`14-Nov-2006
`6-May-2008
`-
`-
`
`-
`
`16-0ct-2012
`-
`2-0ct-2007
`-
`30-0ct-2007
`22-0ct-2013
`1 l-Aug-2015
`-
`3-Jul-2012
`
`08/243,279
`09/008,924
`10/005,829
`13/967, 163
`13/967,179
`13/967,189
`13/967,168
`13/961,828
`14/222,478
`13/961,835
`13/961,818
`13/961,808
`111897,177
`15/585,320
`15/011,159
`60/503,137
`10/927,857
`10/990,054
`11/429,050
`111998,505
`12/506,612
`10/990,055
`111479,741
`11/479,481
`11/181,509
`11/917,448
`13/649,287
`111181,187
`111181,409
`111255,821
`13/536,479
`111181,409
`14/822,682
`111857,223
`
`l 7-May-1994
`20-Jan-1998
`8-Nov-2001
`14-Aug-2013
`14-Aug-2013
`14-Aug-2013
`14-Aug-2013
`07-Aug-2013
`21-Mar-2014
`07-Aug-2013
`07-Aug-2013
`07-Aug-2013
`28-Aug-2007
`3-May-2017
`29-Jan-2016
`l 5-Sep-2003
`27-Aug-2004
`l 5-Nov-2004
`5-May-2006
`30-Nov-2007
`21-Jul-2009
`l 5-Nov-2004
`30-Jun-2006
`30-Jun-2006
`l 3-Jul-2005
`l 3-Dec-2007
`l l-Oct-2012
`l 3-Jul-2005
`l 3-Jul-2005
`l 9-0ct-2005
`28-Jun-2012
`l 3-Jul-2005
`1O-Aug-2015
`l 8-Sep-2007
`
`Abandoned
`Abandoned
`Abandoned
`
`Pending
`Abandoned
`Lapsed Provisional
`Abandoned
`
`Abandoned
`Abandoned
`
`Abandoned
`
`Abandoned
`
`Abandoned
`
`Pending
`
`-
`
`Attachment A to Short Form Patent Assignment Agreement c~~(1 I
`
`CONFIDENTIAL
`
`AGN_RES1158896
`
`

`

`Case 2:15-cv-01455-WCB Document 505-1 Filed 10/09/17 Page 6 of 7 PageID #: 25366
`
`COUNTRY
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`
`PATENT NO.
`7,297,679
`8,575, 108
`8,969,307
`-
`7,202,209
`8,536,134
`8,969,306
`-
`7,501,393
`8,906,861
`7,745,400
`-
`-
`-
`-
`-
`-
`-
`-
`-
`-
`8,501,174
`-
`7,557,082
`8,207,129
`-
`9,561,178
`-
`-
`-
`-
`-
`-
`-
`-
`-
`-
`
`ISSUE DATE
`20-Nov-2007
`5-Nov-2013
`3-Mar-2015
`-
`1 O-Apr-2007
`17-Sep-2013
`3-Mar-2015
`-
`10-Mar-2009
`9-Dec-2014
`29-Jun-20 10
`-
`-
`-
`-
`-
`-
`-
`-
`-
`-
`6-Aug-2013
`-
`7-Jul-2009
`26-Jun-20 12
`-
`7-Feb-2017
`-
`-
`-
`-
`-
`-
`-
`-
`-
`-
`
`SERIAL NO.
`111181,178
`111940,652
`14/071,427
`14/635,648
`111181,428
`111679,934
`14/027,006
`14/635,734
`111161,218
`12/361,335
`111548,631
`13/966,744
`13/966,770
`13/966,849
`13/966,888
`13/966,925
`13/957,722
`13/957,772
`13/957,796
`13/957,858
`13/957,886
`12/825,116
`60/596,709
`11/681,152
`12/497,886
`60/779,120
`11/781,095
`111858,200
`12/035,698
`15/425,836
`60/820,239
`60/829,796
`12/759,431
`14/491,907
`611169,196
`12/771,952
`14/837,733
`
`FlLINGDATE
`13-Jul-2005
`15-Nov-2007
`4-Nov-2013
`2-Mar-2015
`13-Jul-2005
`28-Feb-2007
`13-Sep-2013
`2-Mar-2015
`27-Jul-2005
`28-Jan-2009
`11-0ct-2006
`14-Aug-2013
`14-Aug-2013
`14-Aug-2013
`14-Aug-2013
`14-Aug-2013
`2-Aug-2013
`2-Aug-2013
`2-Aug-2013
`2-Aug-2013
`2-Aug-2013
`28-Jun-2010
`14-0ct-2005
`1-Mar-2007
`6-Jul-2009
`3-Mar-2006
`20-Jul-2007
`20-Sep-2007
`22-Feb-2008
`6-Feb-2017
`25-Jul-2006
`17-0ct-2006
`l 3-Apr-2010
`l 9-Sep-2014
`14-Apr-2009
`30-Apr-2010
`27-Aug-2015
`
`STATUS I COMMENTS
`
`Pending
`
`Pending
`
`Abandoned
`Abandoned
`Abandoned
`Abandoned
`Abandoned
`Abandoned
`Abandoned
`Abandoned
`Pending
`Abandoned
`
`Lapsed Provisional
`
`Lapsed Provisional
`
`Abandoned
`Abandoned
`Pending
`Lapsed Provisional
`Lapsed Provisional
`Pending
`Abandoned
`Lapsed Provisional
`Abandoned
`Pen~ (J
`
`Attachment A to Short Form Patent Ass;gnment Agreement ~: g/ t::J
`&\.;~ /. I~ C7
`
`CONFIDENTIAL
`
`AGN_RES1158897
`
`

`

`Case 2:15-cv-01455-WCB Document 505-1 Filed 10/09/17 Page 7 of 7 PageID #: 25367
`
`COUNTRY
`us
`us
`us
`us
`us
`us
`us
`us
`us
`us
`
`PATENT NO.
`-
`-
`-
`-
`-
`-
`-
`-
`-
`-
`
`ISSUE DATE
`-
`-
`-
`-
`-
`-
`-
`-
`-
`-
`
`SERIAL NO.
`61/174,824
`61/347,851
`13/115,764
`14/524,955
`13/969,468
`14/253,965
`15/051,155
`13/969,443
`14/253,137
`15/055,293
`
`FILfNGDATE
`l-May-2009
`25-May-20 I 0
`25-May-2011
`27-0ct-2014
`l 6-Aug-2013
`16-Apr-2014
`23-Feb-2016
`16-Aug-2013
`l 5-Apr-2014
`26-Feb-2016
`
`STATUS/ COMMENTS
`Lapsed Provisional
`Lapsed Provisional
`Abandoned
`Pending
`Abandoned
`Abandoned
`Pending
`Abandoned
`Abandoned
`Pending
`
`Attachment A to Short Form Patent Assignment Agreement
`
`~ ;::("'
`
`q,i'~~
`
`CONFIDENTIAL
`
`AGN_RES1158898
`
`