UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address. COMMISSIONER FOR PATENTS
`PO Box 1450
`Alexandria, Vngmia 22313-1450
`wwwusptogov
`
`
`
`F ING OR 371 (C) DATE
`
`
`
`'LIF
`
`>
`
`APPLICATION NUMBER
`
`FIRST NAMED APPLICANT
`
`ATTY. DOCKET NO./TITLE
`
`62/550,484
`
`08/25/2017
`
`Srikanth Sundaram
`
`019835.0002/MA101P1-US
`CONFIRMATION NO. 2680
`
`154006
`
`FisherBroyles/MAlA/RW
`-
`566 S. McCaslin Blvd Unit 270743
`
`Superior, CO 80027
`
`POA ACCEPTANCE LETTER
`
`TTIITITITTllTTTTTllTTTllTTTTITLITTLITTTLITTTIITTlTlTlTTITTITITTTITIITTIITTTTTITITTTIITTIIT
`
`Date Mailed: 04/25/2018
`
`NOTICE OF ACCEPTANCE OF POWER OF ATTORNEY
`
`This is in response to the Power of Attorney filed 04/20/2018.
`
`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.
`
`/s1eutchit/
`
`
`
`page 1 of 1
`
`1
`
`Bracco EX. 2011
`
`Maia V. Bracco
`
`IPR2019-00345
`
`Bracco Ex. 2011
`Maia v. Bracco
`IPR2019-00345
`
`1
`
`

`

`Doc Code: PA..
`
`PTO/AlA/82A (07-13)
`Approved for use through 11/30/2014. OMB 0651-0051
`Document Descrlptlon: Power Of Attorney
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number.
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`TRANSMITTAL FOR POWER OF ATTORNEY TO ONE OR MORE
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`REGISTERED PRACTITIONERS
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`
`First Named Inventor
`
`Srikanth Sundaram
`
`Storage Stable Sincalide Formulations
`
`——
`
`
`
`SIGNATURE of A- olicant or Patent Practitioner
`
`/Rita 8. Wu, Ph.D., J.D./
`
`Name
`
`Rita S. Wu, Ph.D., J.D.
`
`Registration
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`Title (if Applicant is a
`juristic entity)
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`Applicant Name (if Applicant is a juristic entity)
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`*Total of ]
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`forms are submitted.
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`2
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`
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`2
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`

`

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`

`Privacy Act Statement
`
`The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in
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`4
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`

`

`Title of Invention:
`
`Storage Stable Sincalide Formulations
`
`Electronic Acknowledgement Receipt
`
`“—
`
`——
`
`
`
`——
`
`Payment information:
`
`Submitted with Payment
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`no
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`File Listing:
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`Document
`Number
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`Document Descri
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`tion
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`p
`
`File Size(Bytes)/
`Message Digest
`2962597
`
`Pages
`Multi
`Part /.zip (if appl.)
`
`33339
`
`Power of Attorney
`
`O9423_010P1POAexecuted.pdf d99690dedbeOdd44d74dd0c0b67efd48c I
`
`5
`
`

`

`Total Files Size (in bytes)
`
`2962597
`
`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.
`
`the application.
`
`New Applications 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
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`National Stage of an International Application 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
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`national stage submission under 35 U.S.C. 371 will be issued in addition to the Filing Receipt, in due course.
`New International Application 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 1810), a Notification of the International Application Number
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`6
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`

`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Addless. COMMISSIONER FOR PATENTS
`PO Box 1450
`Alexandria, ViJgLnia 22313-1450
`wwwusptogov
`
`APPLICATION
`NUMBER
`
`FILING or
`371(c) DATE
`
`GRP ART
`UNIT
`
`
`
`
`
`F
`
`62/550,484
`
`08/25/2017
`
`FEE REC'D
`
`130
`
`ATTY.DOCKET.NO
`
`TOT CLAHVIS IND CLAIMS
`
`019835.0002/MAIOlP1-US
`CONFIRMATION NO. 2680
`
`60879
`BROWNSTEIN HYATT FARBER SCHRECK, LLP
`410 W. STREET
`SUITE 2200
`
`DENVER, CO 80202
`
`FILING RECEIPT
`
`IIIIIIIIllIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII
`
`Date Mailed: 09/29/2017
`
`It will not be examined for patentability and will
`Receipt is acknowledged of this provisional patent application.
`become abandoned not later than twelve months after its filing date. Any correspondence concerning the application
`must include the following identification information: the US. APPLICATION NUMBER, FILING DATE, NAME OF
`APPLICANT, and TITLE OF INVENTION. Fees transmitted by check or draft are subject to collection. Please verify
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`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
`
`lnventor(s)
`
`Applicant(s)
`
`Srikanth Sundaram, Somerset, NJ;
`
`MAIA Pharmaceuticals, Inc., Princeton, NJ;
`
`Power of Attorney:
`Rita Wu--58285
`
`Permission to Access Application via Priority Document Exchange: Yes
`
`Permission to Access Search Results: Yes
`
`Applicant may provide or rescind an authorization for access using Form PTO/SB/39 or Form PTO/SB/69 as
`appropriate.
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`If Required, Foreign Filing License Granted: 09/28/2017
`The country code and number of your priority application, to be used for filing abroad under the Paris Convention,
`is US 62/550,484
`Projected Publication Date: None, application is not eligible for pre-grant publication
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`** SMALL ENTITY **
`Title
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`Storage Stable Sincalide Formulations
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`Statement under 37 CFR 1.55 or 1.78 for AIA (First Inventor to File) Transition Applications: No
`page 1 of 3
`
`7
`
`

`

`PROTECTING YOUR INVENTION OUTSIDE THE UNITED STATES
`
`Since the rights granted by a US. 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
`effect as a regular national patent application in each PCT-member country. The PCT process simplifies the filing
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`patent" and does not eliminate the need of applicants to file additional documents and fees in countries where patent
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`
`Almost every country has its own patent law, and a person desiring a patent in a particular country must make an
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`Applicants also are advised that in the case of inventions made in the United States, the Director of the USPTO must
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`Applicants may wish to consult the USPTO booklet, "General Information Concerning Patents" (specifically, the
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`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 US. 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
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`call the US. Government hotline at 1-866-999-HALT (1-866-999-4258).
`
`LICENSE FOR FOREIGN FILING UNDER
`
`Title 35, United States Code, Section 184
`
`Title 37, Code of Federal Regulations, 5.11 & 5.15
`
`GRANTED
`
`if the phrase "IF REQUIRED, FOREIGN FILING
`The applicant has been granted a license under 35 U.S.C. 184,
`LICENSE GRANTED" followed by a date appears on this form. Such licenses are issued in all applications where
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`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
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`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.
`
`page 2 of 3
`
`8
`
`

`

`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
`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).
`
`
`SelectUSA
`
`The United States represents the largest, most dynamic marketplace in the world and is an unparalleled location for
`business investment, innovation, and commercialization of new technologies. The US. offers tremendous resources
`and advantages for those who invest and manufacture goods here. Through SelectUSA, our nation works to
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`community; serves as an ombudsman for existing and potential investors; advocates on behalf of US. cities, states,
`and regions competing for global investment; and counsels US. economic development organizations on investment
`attraction best practices. To learn more about why the United States is the best country in the world to develop
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`+1 -202-482—6800.
`
`page 3 of 3
`
`9
`
`

`

`
`
`PTOI'AIA/I4
`US. Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE
`
`
`
`Attorney Docket Number 019835.0002/MAI01P1-US
`
`
`
`
`
`Application Data Sheet 37 CFR 1.76
`
`Application Number
`
`
`
`
`
`Title of Invention
`
`Storage Stable Sincalide Formulations
`
`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 37
`
`El CFR 5.2 (Paper filers only. Applications that fall under Secrecy Order may not be filed electronically.)
`
`Inventor Information:
`
`Inventor
`
`1
`
`Legal Name
`
`Prefixm Middle Name
`
`Suffix ———
`
`Family Name
`
`Residence Information (Select One) @ US Residency
`
`0 Non US Residency
`
`0 Active US Military Service
`
`City
`
`StateIProvince
`
`Countryof Residence '
`
`U5
`
`Mailing Address of Inventor:
`
`Address 1
`
`Address 2
`
`do MAIA Pharmaceuticals, Inc.
`
`707 State Road, Suite 104
`
`All Inventors Must Be Listed — Additional Inventor Information blocks may be generated
`within this form by selecting the Add button.
`
`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.
`
`Customer Number
`
`60879
`
`Email Address
`
`patentdocket@bhfs.com
`
`
`
`
`
`Add Email
`
`Remove Email
`
`Application Information:
`
`Title of the Invention
`
`Storage Stable Sincalide Formulations
`
`Attorney Docket Number
`
`019835.0002/MAIO1P1-U5
`
`Small Entity Status Claimed
`
`g
`
` Subject Matter
`
`
`
`Total Number of Drawing Sheets (if any) Suggested Figure for Publication (if any) 1
`
`
`
`WEB ADS 1.0
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`10
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`10
`
`

`

`PTO/AIA/M (084 5)
`Approved for use through 0473072017. OMB 0651 -0032
`U5. Patent and Trademark Office: US. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
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` Attorney Docket Number
`019835.0002/MAI01P1—US
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`Application Data Sheet 37 CFR 1.76
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`Application Number
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`Title of Invention
`Storage Stable Sincalide Formulations
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`Filing By Reference:
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`Only complete this section when filing an application by reference under 35 U.S.C. 111(c) and 37 CFR 1.57Ia). Do not complete this section if
`application papers including a specification and any drawings are being filed. Any domestic benefit or foreign priority information must be
`provided in the appropriate section(s) below (i.e., "Domestic Benefit/National Stage Information" and ”Foreign Priority Information“).
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`For the purposes ofa filing date under 37 CFR1.53(b), the description and any drawings of the present application are replaced by this
`reference to the previously filed application, subject to conditions and requirements of 37 CFR 1.57(a).
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`Application number of the previously
`filed application
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`Filing date (YYYY—MM-DD)
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`Intellectual Property Authority or Country
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`Publication Information:
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`|:| Request Early Publication (Fee required at time of Request 37 CFR 1.219)
`
`35 U.S.C.
`Request Not to Publish. I hereby request that the attached application not be published under
`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
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`months after filing.
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`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.
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`
`
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`
`
`Please Select One:
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`@ Customer Number
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`0 US Patent Practitioner
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`0 Limited Recognition (37 CFR 11.9)
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`Customer Number
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`60879
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`————
`Registration Number
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`————
`Registration Number
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`Additional Representative Information blocks may be generated within this form by
`selecting the Add button.
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`PTO/AIA/14 (084 5)
`Approved for use through 0473072017. OMB 0651 -0032
`US. Patent and Trademark Office: US. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`
`Application Data Sheet 37 CFR 1.76 Title of Invention
`
`Storage Stable Sincalide Formulations
`
`Domestic Benefit/National Stage Information:
`This section allows for the applicant to either claim benefit under 35 U.S.C. 119(e), 120, 121, 365(c), or 386(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. 1 19(e) or 120, and 37 CFR 1.78.
`When referring to the current application, please leave the application number blank.
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`
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`Application Number
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`Continuity Type
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`T
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`Prior Application Number
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`Filing or 371 (c) Date
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`Prior Application Status
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`7
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`Additional Domestic Benefit/National Stage Data may be generated within this form by
`selecting the Add button.
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`Foreign Priority Information:
`
`This section allows for the applicant to claim priority to a foreign application. Providing this information in the application data sheet
`
`constitutes the claim for priority as required by 35 U.S.C. 1 19(b) and 37 CFR 1.55. When priority is claimed to a foreign application
`that is eligible for retrieval under the priority document exchange program (PDX) theI information will be used by the Office to
`automatically attempt retrieval pursuant to 37 CFR 1.55(i)(1) and (2). Under the PBX program, applicant bears the ultimate
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`responsibility for ensuring that a copy of the foreign application is received by the Office from the participating foreign intellectual
`property office, or a certified copy of the foreign priority application is filed, within the time period specified in 37 CFR 1.55(g)(1).
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` Application Number
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`Additional Foreign Priority Data may be generated within this form by selecting the Add
`button.
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`Filing Date (YYYY—MM—DD)
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`Access Codei(ifapplicable)
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`Statement under 37 CFR 1.55 or 1.78 for AIA (First Inventor to File) Transition
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`Applications
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`This application (1) claims priority to or the benefit ofan application filed before March 16, 2013 and (2) also
`contains, or contained at any time, a claim to a claimed invention that has an effective filing date on or after March
`D 16. 2013.
`NOTE: By providing this statement under 37 CFR 1.55 or 1.78, this application, with a filing date on or after March
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`16, 2013, will be examined under the first inventor to file provisions of the AIA.
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`PTO/AIA/14 (084 5)
`Approved for use through 04l30i2017. OMB 0651 -0032
`U5. Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`
`Appllcatlon Data Sheet 37 CFR 1.76 Title of Invention
`
`Storage Stable Sincalide Formulations
`
`Authorization or Opt-Out of Authorization to Permit Access:
`
`When this Application Data Sheet is properly signed and filed with the application, applicant has provided written authority to
`permit a participating foreign intellectual property (IP) office access to the instant application-as-filed (see paragraph A in
`subsection 1 below) and the European Patent Office (EPO) access to any search results from the instant application (see
`paragraph B in subsection 1 below).
`
`Should applicant choose not to provide an authorization identified in subsection 1 below, applicant must opt-out ofthe
`authorization by checking the corresponding box A or B or both in subsection 2 below.
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`
`
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`NOTE: This section of the Application Data Sheet is ONLY reviewed and processed with the INITIAL filing of an application.
`After the initial filing of an application, an Application Data Sheet cannot be used to provide or rescind authorization for access
`bya foreign IP office(s). Instead, Form PTO/SB/39 or PTO/SB/69 must be used as appropriate.
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`1. Authorization to Permit Access by a Foreign Intellectual Property Officels)
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`A. Priority Document Exchange (PDX) - Unless box A in subsection 2 (opt-out of authorization) is checked, the undersigned
`hereby grants the USPTO authority to provide the European Patent Office (EPO), the Japan Patent Office (J P0), the Korean
`Intellectual Property Office (KIPO), the State Intellectual Property Office ofthe People's Republic of China (SIPO), the World
`Intellectual Property Organization (WIPO), and any other foreign intellectual property office participating with the USPTO in a
`bilateral or multilateral priority document exchange agreement in which a foreign application claiming priority to the instant
`patent application is filed, access to: (1) the instant patent application-as-filed and its related bibliographic data, (2) any foreign
`or domestic application to which priority or benefit is claimed by the instant application and its related bibliographic data, and
`(3) the date offiling of this Authorization. See 37 CFR 1.14(h)(1).
`
`
`B. Search Results from U.S. Application to EPO - Unless box B in subsection 2 (opt-out of authorization) is checked, the
`undersigned hereby grants the USPTO authority to provide the EPO access to the bibliographic data and search results from
`the instant patent application when a European patent application claiming priority to the instant patent application is filed. See
`37 CFR1.14(h)(2).
`
`The applicant is reminded that the EPO’s Rule 141(1) EPC (European Patent Convention) requires applicants to submit a copy of
`search results from the instant application without delay in a European patent application that claims priority to the instant
`application.
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`2. Opt-Out of Authorizations to Permit Access by a Foreign Intellectual Property Office(s)
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`|:|
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`A. Applicant DOES NOT authorize the USPTO to permit a participating foreign IP office access to the instant
`application—as—filed. Ifthis box is checked, the USPTO will not be providing a participating foreign IP office with any
`documents and information identified in subsection 1A above.
`
`D B. Applicant DOES NOT authorize the USPTO to transmit to the EPO any search results from the instant patent
`application. If this box is checked, the USPTO will not be providing the EPO with search results from the instant application.
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`NOTE: Once the application has published or is otherwise publicly available, the USPTO may provide access to the application in
`accordance with 37 CFR 1.14.
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`
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`PTO/AIA/14 (084 5)
`Approved for use through 0473072017. OMB 0651 -0032
`U5. Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995. no persons are required to respond to a collection of information unless it contains a valid OMB control number.
`
`Appllcatlon Data Sheet 37 CFR 1.76 Title of Invention
`
`Storage Stable Sincalide Formulations
`
`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.
`
`1
`Applicant
`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 othenNise shows sufficient proprietary in