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`UNITED STATES PATENT AND TRADEMARK OFFIGE
`
`
`
`
`UNITTED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`AlewannabeVininia 22313-1450
`www.usptogov
`
`62/550,484
`
`08/25/2017
`
`Srikanth Sundaram
`
`019835.0002/MAIO1P1-US
`CONFIRMATION NO. 2680
`
`POA ACCEPTANCE LETTER
`
`154006
`FisherBroyles/MAIA/RW
`
`Superior, CO 80027
`
`566 S. McCaslin Bivd Unit 270743 MC
`
`Date Mailed: 04/25/2018
`
`NOTICE OF ACCEPTANCE OF POWER OF ATTORNEY
`
`This is in response to the Power of Attorneyfiled 04/20/2018.
`
`The Power of Attorney in this application is accepted. Correspondencein this application will be mailed to the
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`
`/sleutchit/
`
`
`
`page 1 of 1
`
`Bracco Ex. 2011
`Maia v. Bracco
`
`IPR2019-00345
`
`Bracco Ex. 2011
`Maia v. Bracco
`IPR2019-00345
`
`1
`
`

`

`
`
`a S
`
`IGNATUREof Applicant or Patent Practitioner
`—_|/Rita S. Wu, Ph.D., J.D//
`
`Rita S. Wu, Ph.D., J.D.
`
`Registration
`Number
`
`Doc Code: PA..
`PTO/AIA/82A (07-13)
`Approvedfor use through 11/30/2014. OMB 0651-0051
`DocumentDescription: Power of Attorney
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Underthe Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unlessit displays a valid OMB control number.
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`TRANSMITTAL FOR POWER OF ATTORNEY TO ONE OR MORE
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`First Named Inventor
`
`Srikanth Sundaram
`
`Storage Stable Sincalide Formulations
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`some
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`2
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`Bac Code: PA.
`Decumant Dasoriphor Power of Attorney
`umtion Act af $994, ao persons
`
`Pe
`Anpround tor use through14/8
`Sent and Tred
`
`i herebyrevoke all previous
`f ime bowes below.
`
`powars of attorney giver
`
`in The application identified in alther the atlached tranamiftal latter or
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`Sepdication Number
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`Nixg Date
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`
`
`2047-08-25
`
`rovicdedon form:
`
`PTOVALAB2A3
`
`iihor‘eby againfYe,
`to tranaret al kus
`the ateched :trarsn
`
`PTSt Oye LAIGIAS
`sion pater
`
`
`attiomey{si or agentis), and in transact
`Gin ihe atiached
`ihe natant appttoation referenced in the
`ent and Trade:mark
`4 ieae mote amaim PTSVAMIBSS,
`SALAS24} ar chante:
`.
`Pleaserecognize or chenge the Geafrespondence address for the apolication identified |it5 ihe attached transmittal
`
`letter ar the boxes above fo:
`The adeirwas associated with the akoveman
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`oclated with
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`Ry
`
`ithe Applicant ie a jurist: erdiy,
`
`let the Apolinant name in tre Goxk
`
`
`
`
`vipapaciinied ineaciar {aie nol paqdrad bekav}
`foart is 3 furicihs ently)
`nto Assign ‘prowige sigviar’s hile |
`
`a Sufficient Proprietary interest (e.g.,acettion u ¢ ee FR TAD?) was grantedin the
`nourrenty being fea with Dis docurerd) eorousideneafer’s they
`ig 4 iorisho ent)
`SNATURE of Soplicant for Paient
`cladBBhOW) iSauthorizesJiguact on behalf af the appicant fe.g.. where the 30
`
`
`Date (Qotienall
`
`Srikanth Suridanwn, PH.D.
`
`NOTE: Seprature ~ This
`angandceniications, i:
`
`Htaihyis ave:fred dy BS UE
`oB-gathe: ng. preparing, &ara submit Wy the commated apoio: on f§
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`
`
`Y Palcing tras Durden.
`osmeyou require denompletethis formand.
`F Suesc
`Sroparimannk of Commerce, F.. Sow TS, Alexandig, VA 2
`.
`3.
`ENSOD
`for Patents, M2, Saw 1885, Alacamiss, ¥S TRIAGED.
`you peed adaletance os completing ibe fecat T-SOXRPTO-G 199 and aslect option 2
`
`cuntae chatisyoRNatoH‘Officer, HS.5 PacerandTrader:Sitiow,
`steaks
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`eh FEES OR COMPLETED FORMS TO
`S AGDRE SE, BERD TO: Cowentener
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`3
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`3
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`

`Title of Invention:
`
`Storage Stable Sincalide Formulations
`
`Electronic AcknowledgementReceipt
`
`Application Number:
`
`62550484
`
`International Application Number:
`
`Confirmation Number:
`
`2680
`
`
`
`a
`
`Paymentinformation:
`
`Submitted with Payment
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`File Listing:
`
`Pages
`Multi
`File Size(Bytes)/
`DocumentDescription
`Document
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`
`
`Number Message Digest|Part/.zip|P (if appl.)
`2962597
`
`Power of Attorney
`
`09423_010P1POAexecuted.pdf| d99690dedf00dd44d74dd0cO0b67efd48cq
`
`3aa39
`
`5
`
`

`

`Information:
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`This AcknowledgementReceipt evidences receipt on the noted date by the USPTO ofthe 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 componentsfora filing date (see 37 CFR
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`National Stage of an International Application under 35 U.S.C. 371
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`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
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`
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`
`

`

`
`
`UNITED STATES PATENT AND TRADEMARK OFFIGE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`!
`OX.
`Address: COMMISSIONER FOR PATENTS
`Alexandria, Virginia 22313-1450
`www.uspto.gov
`
`APPLICATION
`NUMBER
`
`FILING or
`371(c) DATE
`
`GRP ART
`UNIT
`
`
`
`
`
`FIL
`
`62/550,484
`
`08/25/2017
`
`FEE REC'D
`
`130
`
`60879
`BROWNSTEIN HYATT FARBER SCHRECK, LLP
`tO TN STREET
`
`SUITE 2200
`DENVER, CO 80202
`
`ATTY.DOCKET.NO
`
`ITOT CLAIMSJIND CLAIMS
`
`019835.0002/MAI01P1-US
`CONFIRMATION NO. 2680
`FILING RECEIPT
`
`NV...0.0
`
`Date Mailed: 09/29/2017
`
`It will not be examined for patentability and will
`Receipt is acknowledged of this provisional patent application.
`become abandonednotlater than twelve monthsafter its filing date. Any correspondence concerning the application
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`any corrections to this Filing Receipt with your reply to the Notice. When the USPTO processesthe reply
`to the Notice, the USPTO will generate another Filing Receipt incorporating the requested corrections
`
`Inventor(s)
`
`Applicant(s)
`
`Srikanth Sundaram, Somerset, Nu;
`
`MAIA Pharmaceuticals, Inc., Princeton, Nu;
`Powerof 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 usedfor 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 U.S. patent extend only throughout the territory of the United States and have no
`effect in a foreign country, an inventor who wishes patent protection in another country must apply for a patent
`in a specific country or in regional patent offices. Applicants may wish to consider thefiling 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
`of patent applications on the same invention in member countries, but does notresult in a grantof "an international
`patent" and doesnoteliminate the needof applicantsto 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 may wish to consult the USPTO booklet, "General Information Concerning Patents”(specifically, the
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`For information on preventing theft of your intellectual property (patents, trademarks and copyrights), you may wish
`to consult the U.S. Government website, http:/Avww.stopfakes.gov. Part of a Department of Commerceinitiative,
`this website includes self-help "toolkits" giving innovators guidance on how to protectintellectual property in specific
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`call the U.S. Governmenthotline 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 issuedin all applications where
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`set forth in 37 CFR 5.15. The scope andlimitations of this license are set forth in 37 CFR 5.15(a) unless an earlier
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`
`page 2 of 3
`
`8
`
`

`

`This licenseis to be retained by the licensee and maybe usedat any time onor 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 grantof a license doesnot in any way lessen the responsibility of a licensee for the security of the subject matter
`as imposed by any Governmentcontract or the provisions of existing laws relating to espionage and the national
`security or the export of technical data. Licensees should apprise themselvesof 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
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`NOT GRANTED
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`No license under 35 U.S.C. 184 has been granted at this time, if the phrase "IF REQUIRED, FOREIGN FILING
`LICENSE GRANTED" DOESNOTappear on this form. Applicant maystill petition for a license under 37 CFR 5.12,
`if a license is desired before the expiration of 6 months from thefiling date of the application. If 6 months has lapsed
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`U.S.C. 181, the licensee mayforeign 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
`businessinvestment, innovation, and commercialization of new technologies. The U.S. offers tremendous resources
`and advantages for those who invest and manufacture goods here. Through SelectUSA, our nation works to
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`technology, manufacture products, deliver services, and grow your business, visit http:/Awww.SelectUSA.govor call
`+1-202-482-6800.
`
`page 3 of 3
`
`9
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`

`

`
`
`PTO/AIA/14
`U.S, Patent and TrademarkOffice; U.S. DEPARTMENT OF COMMERCE
`
`
`
`
`
`
`
`
`
`
`Application Data Sheet 37 CFR 1.76
`
`
`
`Attorney Docket Number 019835.0002/MAI01P1-US
`
`Application Number
`
`
`
`Title of Invention
`
`Storage Stable Sincalide Formulations
`
`The application data sheet is part of the provisional or nonprovisional application for whichit is being submitted. The following form contains the
`biblicgraphic data arrangedin a format specified by the United States Patent and TrademarkOffice 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 includedin a paperfiled application.
`
`Secrecy Order 37 CFR 5.2:
`
`Portionsorall of the application associated with this Application Data Sheet may fall under a Secrecy Order pursuant to 37
`
`L CFR 5.2 (Paperfilers only. Applications thatfall under Secrecy Order may notbefiled electronically.)
`
`Inventor Information:
`
`Ta caaleele
`
`1
`
`Legal Name
`
`
`Prefix|GivenNamesiMiddle Name Family Name
`
`Suffix a
`
`©) Active US Military Service
`©) Non USResidency
`(@) US Residency
`Residence Information (Select One)
`
`
`City Country of Residence ||USState/Province
`
`Mailing Address of Inventor:
`
`Address 1
`
`Address 2
`
`c/o 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.
`
`CorrespondenceInformation:
`Enter either Customer Number or complete the Correspondence Information section below.
`For further information see 37 CFR 1.33(a).
`
`[_] An Addressis being provided for the correspondence Informationof this application.
`Customer Number
`60879
`
`
`
`Email Address
`
`patentdocket@bhfs.com
`
`Add Email
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`Remove Email
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`Application Information:
`
`Title of the Invention
`
`Storage Stable Sincalide Formulations
`
`
`
`Attorney Docket Number|019835.0002/MAI01P1-US Small Entity Status Claimed xX]
`
`
`
` Subject Matter
`
`
`
`1Total Numberof Drawing Sheets(if any) Suggested Figure for Publication (if any)
`
`
`
`WEB ADS1.0
`
`10
`
`10
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`

`PTO/AIA/14 (08-15)
`Approved for use through 04/30/2017. OMB 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 OMB control number.
` Application Data Sheet 37 CFR 1.76
`
`019835.0002/MAIO1P1-US
`
`Application Number
`
`
` Title of Invention
`Storage Stable Sincalide Formulations
`
`
`Attorney Docket Number
`
`Filing By Reference:
`
`Only complete this section whenfiling an application by reference under 35 U.S.C. 111(c) and 37 CFR 1.57{a). Do not complete this section if
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`
`For the purposesofa filing date under 37 CFR 1.53(b), the description and any drawings of the present application are replaced by this
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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)
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`CO
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`35 U.S.C.
`Request Not to Publish. | 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
`pp
`ry
`g
`q
`p
`g
`monthsafterfiling.
`
`Representative Information:
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`Representative information should be provided for all practitioners having a power of attorney in the application. Providing
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`Please Select One:
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`© USPatentPractitioner
`
`C) Limited Recognition (37 CFR 11.9)
`
`Customer Number
`
`60879
`
`Prefix|GivenName|Middle Name|FamilyName||Suffix
`Sectseensenens
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`Se
`Registration Number
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`Additional Representative Information blocks may be generated within this form by
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`
`Prior Application Status
`
`Application Number
`
`Continuity Type
`
`Prior Application Number
`
`Filing or 371(c) Date
`(YYYY-MM-DD)
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`PTO/AIA/14 (08-15)
`Approved for use through 04/30/2017. OMB 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 OMB control number.
`
`Storage Stable Sincalide Formulations
`
`Application Data Sheet 37 CFR 1.76 Title of Invention
`
`Domestic Benefit/National Stage Information:
`This section allowsfor the applicantto 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. 119(e} or 120, and 37 CFR 1.78.
`Whenreferring to the current application, please leave the application numberblank.
`
`
`Additional Domestic Benefit/National Stage Data may be generated within this form by
`selecting the Add button.
`
`Foreign Priority Information:
`
`This section allows for the applicant to claim priority to a foreign application. Providing this information in the application data sheet
`constitutesthe claim forpriority as required by 35 U.S.C. 119(b) and 37 CFR 1.55. Whenpriority is claimed to a foreign application
`that is eligible for retrieval under the priority document exchange program (PDX) the information will be used by the Office to
`automatically attemptretrieval pursuant to 37 CFR 1.55(i)(1) and (2). Under the PDX program, applicant bears the ultimate
`
`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 applicationis filed, within the time period specified in 37 CFR 1.55(g)(1).
`
` Application Number
`
`Additional Foreign Priority Data may be generated within this form by selecting the Add
`button.
`
`Filing Date (YYYY-MM-DD)
`
`Access CodeKif applicable)
`
`Statement under 37 CFR 1.55 or 1.78 for AIA (First Inventorto File) Transition
`Applications
`
`This application (1) claims priority to or the benefit of an application filed before March 16, 2013 and (2) also
`contains, or contained at any time, a claim to a claimed invention that has an effectivefiling date on or after March
`[] 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
`
`16, 2013, will be examined underthefirst inventor to file provisions of the AIA.
`
`WEB ADS1.0
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`12
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`12
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`

`

`PTO/AIA/14 (08-15)
`Approved for use through 04/30/2017. OMB 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 OMB control number.
`
`Storage Stable Sincalide Formulations
`
`Application Data Sheet 37 CFR 1.76 Title of Invention
`
`Authorization or Opt-Out of Authorization to Permit Access:
`
`Whenthis Application Data Sheet is properly signed andfiled 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 notto provide an authorization identified in subsection 1 below, applicant must opt-out of the
`authorization by checking the corresponding box A or B or both in subsection 2 below.
`
`NOTE:This section of the Application Data Sheet is ONLY reviewed and processed with the INITIALfiling of an application.
`After the initial filing of an application, an Application Data Sheet cannot be used to provide or rescind authorization for access
`by a foreign IP office(s). Instead, Form PTO/SB/39 or PTO/SB/69 must be used as appropriate.
`
`1. Authorization to Permit Access by a Foreign Intellectual Property Office(s)
`
`
`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 (JPO), the Korean
`Intellectual Property Office (KIPO), the State Intellectual Property Office of the People’s Republic of China (SIPO), the World
`Intellectual Property Organization (WIPO), and any otherforeign intellectual property office participating with the USPTO ina
`bilateral or multilateral priority document exchange agreementin whicha foreign application claiming priority to the instant
`patent applicationis 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 accessto the bibliographic data and search results from
`the instant patent application when a European patent application claiming priority to the instant patent applicationis filed. See
`37 CFR 1.14(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 claimspriority to the instant
`application.
`
`
`
`
`
`2. Opt-Out of Authorizations to Permit Access by a Foreign Intellectual Property Office(s)
`
`[_]
`
`A. Applicant DOES NOT authorize the USPTOto permit a participating foreign IP office access to the instant
`application-as-filed. If this box is checked, the USPTOwill not be providing a participating foreign IP office with any
`documents and information identified in subsection 1A above.
`
`Oo
`
`B. Applicant DOES NOT authorize the USPTO to transmit to the EPO anysearch 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.
`
`NOTE: Oncethe application has published oris otherwise publicly available, the USPTO may provide access to the application in
`accordance with 37 CFR 1.14.
`
`WEB ADS1.0
`
`13
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`13
`
`

`

`PTO/AIA/14 (08-15)
`Approved for use through 04/30/2017. OMB 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 OMB control number.
`
`Storage Stable Sincalide Formulations
`
`Application Data Sheet 37 CFR 1.76 Title of Invention
`
`Applicant Information:
`
`Providing assignmentinformation in this section does not substitute for compliance with any requirementofpart 3 ofTitle 37 of CFR
`to have an assignment recorded by the Office.
`
`Ye)e1is: 11 ae
`If the applicantis the inventor (or the remainingjoint inventor or inventors under 37 CFR 1.45), this section should not be completed.
`Theinformation to be providedin this section is the name and addressof the legal representative who is the applicant under 37 CFR
`1.43; or the name and addressof the assignee, person to whom the inventoris under an obligation to assign the invention, or person
`who otherwise showssufficient proprietary interest in the matter whois the applicant under 37 CFR 1.46. If the applicantis an
`applicant under 37 CFR 1.46 (assignee, person to whom the inventor is obligated to assign, or person who otherwise showssufficient
`proprietary interest) together with one or more joint inventors, then the joint inventoror inventors whoare also the applicant should be
`identified in this section.
`Clear
`
`
`(@) Assignee
`
`
`
`©) Legal Representative under 35 U.S.C. 117
`
`©)
`
`Joint

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