UNITED STATES PATENT AND TRADEMARK OFFICE
`
`APPLICATION
`NUMBER
`61/253,820
`
`FILING or
`37l(c)DATE
`10/21/2009
`
`GRPART
`UNIT
`
`FIL FEE REC'D
`405
`
`37462
`LANDO & ANASTASI, LLP
`ONE MAIN STREET, SUITE 1100
`CAMBRIDGE, MA 02142
`
`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
`
`ATTY.DOCKET.NO
`C2081-701307
`
`TOT CLAIMS IND CLAIMS
`
`CONFIRMATION NO. 6682
`CORRECTED FILING RECEIPT
`111111111111111111111111]~!1]!~1!~1!~1!~!11~ IHll lllll 111111111111111111
`
`Date Mailed: 03/19/2010
`
`Receipt is acknowledged of this provisional patent application. It will not be examined for patentability and will
`become abandoned not later than twelve months after its filing date. Any correspondence concerning the application
`must include the following identification information: the U.S. APPLICATION NUMBER, FILING DATE, NAME OF
`APPLICANT, and TITLE OF INVENTION. Fees transmitted by check or draft are subject to collection. Please verify
`the accuracy of the data presented on this receipt. If an error is noted on this Filing Receipt, please submit
`a written request for a Filing Receipt Correction. Please provide a copy of this Filing Receipt with the
`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
`
`Applicant( s)
`
`Shinsan Su, Newton, MA;
`Lenny Dang, Boston, MA;
`Stefan Gross, Brookline, MA;
`Shengfang Jin, Newton, MA;
`Power of Attorney:
`Catherine McCarty--54301
`
`If Required, Foreign Filing License Granted: 11/13/2009
`The country code and number of your priority application, to be used for filing abroad under the Paris Convention,
`is US 61 /253,820
`Projected Publication Date: None, application is not eligible for pre-grant publication
`Non-Publication Request: No
`Early Publication Request: No
`** SMALL ENTITY **
`Title
`
`METHODS AND COMPOSITIONS FOR CELL-PROLIFERATION-RELATED-DISORDERS
`
`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 the filing of an international
`application under the Patent Cooperation Treaty (PCT). An international (PCT) application generally has the same
`page 1 of 3
`
`Rigel Exhibit 1049
`Page 1 of 238
`
`

`

`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 not result in a grant of "an international
`patent" and does not eliminate the need of applicants to file additional documents and fees in countries where patent
`protection is desired.
`
`Almost every country has its own patent law, and a person desiring a patent in a particular country must make an
`application for patent in that country in accordance with its particular laws. Since the laws of many countries differ
`in various respects from the patent law of the United States, applicants are advised to seek guidance from specific
`foreign countries to ensure that patent rights are not lost prematurely.
`
`Applicants also are advised that in the case of inventions made in the United States, the Director of the US PTO must
`issue a license before applicants can apply for a patent in a foreign country. The filing of a U.S. patent application
`serves as a request for a foreign filing license. The application's filing receipt contains further information and
`guidance as to the status of applicant's license for foreign filing.
`
`Applicants may wish to consult the USPTO booklet, "General Information Concerning Patents" (specifically, the
`section entitled "Treaties and Foreign Patents") for more information on timeframes and deadlines for filing foreign
`patent applications. The guide is available either by contacting the USPTO Contact Center at 800-786-9199, or it
`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 U.S. 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
`countries such as China, Korea and Mexico. For questions regarding patent enforcement issues, applicants may
`call the U.S. Government hotline at 1-866-999-HAL T (1-866-999-4158).
`
`LICENSE FOR FOREIGN FILING UNDER
`
`Title 35, United States Code, Section 184
`
`Title 37, Code of Federal Regulations, 5.11 & 5.15
`
`GRANTED
`
`The applicant has been granted a license under 35 U.S.C. 184, if the phrase "IF REQUIRED, FOREIGN FILING
`LICENSE GRANTED" followed by a date appears on this form. Such licenses are issued in all applications where
`the conditions for issuance of a license have been met, regardless of whether or not a license may be required as
`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
`license has been issued under 37 CFR 5.15(b). The license is subject to revocation upon written notification. The
`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.
`
`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
`page 2 of 3
`
`Rigel Exhibit 1049
`Page 2 of 238
`
`

`

`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).
`
`page 3 of 3
`
`Rigel Exhibit 1049
`Page 3 of 238
`
`

`

`Attorney Docket No.: C2081-701307
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Applicant
`Serial No.
`Filed
`Title
`
`Su et al.
`Not Yet Assigned
`Art Unit
`Not yet assigned
`Examiner
`61/253,820
`6682
`Conf. No.
`October 21, 2009
`METHODS AND COMPOSITIONS FOR CELL-PROLIFERATION-RELATED
`DISORDERS
`
`CERTIFICATE OF TRANSMISSION UNDER 37 C.F.R. §1.8(a)
`
`The undersigned hereby certifies that this document is being electronically filed in accordance with
`§ l.6(a)(4) on the 11th day of March, 2010.
`
`/Catherine M. McCarty/
`Catherine M. McCarty, Reg. No. 54,301
`
`Commissioner for Patents
`
`REQUEST FOR CORRECTED FILING RECEIPT
`
`This is a request for correction of the enclosed Updated Official Filing Receipt mailed
`
`February 8, 2010, in connection with the above-identified patent application. Please correct the
`
`application title and the spelling for the inventor Shengf eng Jin. All other inventor information
`
`remains the same.
`
`The corrected filing receipt should read as follows:
`
`Applicant(s):
`
`Shengfang Jin, Newton, MA;
`
`Title:
`
`METHODS AND COMPOSITIONS FOR CELL-PROLIFERATION-RELATED(cid:173)
`
`DISORDERS
`
`A copy of the Official Filing Receipt is enclosed with the corrections indicated in strike(cid:173)
`
`through and underlining. A Supplemental Provisional Cover Sheet correcting the spelling for
`
`inventor Jin's name and the correct title is also being submitted herewith. It is respectfully requested
`
`that the corrected Filing Receipt be issued reflecting the corrections of the above noted errors and
`
`sent to the undersigned as soon as possible.
`
`Rigel Exhibit 1049
`Page 4 of 238
`
`

`

`Serial No.: 61/253,820
`
`- 2 -
`
`No fees are believed to be due. However, the Commissioner is hereby authorized to charge
`
`any deficiencies or overpayments to Deposit Account No. 50-2762, Referencing Attorney Docket
`
`No. C2081-701307
`
`Respectfully submitted,
`
`By:
`
`/Catherine M. McCarty/
`Catherine M. McCarty, Reg. No. 54,301
`LANDO & ANASTASI, LLP
`One Main Street
`Cambridge, Massachusetts 02142
`United States of America
`Telephone: 617-395-7000
`Facsimile: 617-395-7070
`
`March 11, 2010
`
`Rigel Exhibit 1049
`Page 5 of 238
`
`

`

`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`APPLICATION
`NUMBER
`61/253,820
`
`FILING or
`37l(c)DATE
`10/21/2009
`
`GRPART
`UNIT
`
`FIL FEE REC'D
`405
`
`37462
`LANDO & ANASTASI, LLP
`ONE MAIN STREET, SUITE 1100
`CAMBRIDGE, MA 02142
`
`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
`
`ATTY.DOCKET.NO
`C2081-701307
`
`TOT CLAIMS IND CLAIMS
`
`CONFIRMATION NO. 6682
`UPDATED FILING RECEIPT
`
`111111111111111111111111]~!1]!~1!~1!~11~!11!1111 !Ill lllll 111111111111111111
`
`Date Mailed: 02/08/2010
`
`Receipt is acknowledged of this provisional patent application. It will not be examined for patentability and will
`become abandoned not later than twelve months after its filing date. Any correspondence concerning the application
`must include the following identification information: the U.S. APPLICATION NUMBER, FILING DATE, NAME OF
`APPLICANT, and TITLE OF INVENTION. Fees transmitted by check or draft are subject to collection. Please verify
`the accuracy of the data presented on this receipt. If an error is noted on this Filing Receipt, please submit
`a written request for a Filing Receipt Correction. Please provide a copy of this Filing Receipt with the
`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
`
`Applicant( s)
`
`Shinsan Su, Newton, MA;
`Lenny Dang, Boston, MA;
`Stefan Gross, Brookline, MA;
`~hongiong Jin, ~I0¥Jton, MA;
`Power of Attorney:
`Catherine McCarty--54301
`
`Shengfang Jin, Newton, MA;
`
`If Required, Foreign Filing License Granted: 11/13/2009
`The country code and number of your priority application, to be used for filing abroad under the Paris Convention,
`is US 61 /253,820
`Projected Publication Date: None, application is not eligible for pre-grant publication
`Non-Publication Request: No
`Early Publication Request: No
`** SMALL ENTITY **
`Title
`METHODS AND COMPOSITIONS FOR CELL-PROLIFERATION-RELATED-DISORDERS
`METHODS AMO COMFOSITIOMS FOR CELL-FROLIFERATIOM RELATED DISORDERS
`
`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 the filing of an international
`application under the Patent Cooperation Treaty (PCT). An international (PCT) application generally has the same
`page 1 of 3
`
`Rigel Exhibit 1049
`Page 6 of 238
`
`

`

`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 not result in a grant of "an international
`patent" and does not eliminate the need of applicants to file additional documents and fees in countries where patent
`protection is desired.
`
`Almost every country has its own patent law, and a person desiring a patent in a particular country must make an
`application for patent in that country in accordance with its particular laws. Since the laws of many countries differ
`in various respects from the patent law of the United States, applicants are advised to seek guidance from specific
`foreign countries to ensure that patent rights are not lost prematurely.
`
`Applicants also are advised that in the case of inventions made in the United States, the Director of the US PTO must
`issue a license before applicants can apply for a patent in a foreign country. The filing of a U.S. patent application
`serves as a request for a foreign filing license. The application's filing receipt contains further information and
`guidance as to the status of applicant's license for foreign filing.
`
`Applicants may wish to consult the USPTO booklet, "General Information Concerning Patents" (specifically, the
`section entitled "Treaties and Foreign Patents") for more information on timeframes and deadlines for filing foreign
`patent applications. The guide is available either by contacting the USPTO Contact Center at 800-786-9199, or it
`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 U.S. 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
`countries such as China, Korea and Mexico. For questions regarding patent enforcement issues, applicants may
`call the U.S. Government hotline at 1-866-999-HAL T (1-866-999-4158).
`
`LICENSE FOR FOREIGN FILING UNDER
`
`Title 35, United States Code, Section 184
`
`Title 37, Code of Federal Regulations, 5.11 & 5.15
`
`GRANTED
`
`The applicant has been granted a license under 35 U.S.C. 184, if the phrase "IF REQUIRED, FOREIGN FILING
`LICENSE GRANTED" followed by a date appears on this form. Such licenses are issued in all applications where
`the conditions for issuance of a license have been met, regardless of whether or not a license may be required as
`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
`license has been issued under 37 CFR 5.15(b). The license is subject to revocation upon written notification. The
`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.
`
`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
`page 2 of 3
`
`Rigel Exhibit 1049
`Page 7 of 238
`
`

`

`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).
`
`page 3 of 3
`
`Rigel Exhibit 1049
`Page 8 of 238
`
`

`

`Electronic Acknowledgement Receipt
`
`EFSID:
`
`Application Number:
`
`7190593
`
`61253820
`
`International Application Number:
`
`Confirmation Number:
`
`6682
`
`Title of Invention:
`
`METHODS AND COMPOSITIONS FOR CELL-PROLIFERATION RELATED
`DISORDERS
`
`First Named Inventor/Applicant Name:
`
`Shinsan Su
`
`Customer Number:
`
`37462
`
`Filer:
`
`Catherine M. McCarty
`
`Filer Authorized By:
`
`Attorney Docket Number:
`
`C2081-701307
`
`Receipt Date:
`
`Filing Date:
`
`Time Stamp:
`
`Application Type:
`
`Payment information:
`
`Submitted with Payment
`
`11-MAR-2010
`
`21-OCT-2009
`
`15:55:33
`
`Provisional
`
`I no
`
`File Listing:
`
`Document
`Number
`
`Document Description
`
`File Name
`
`File Size(Bytes)/
`Message Digest
`
`Multi
`Part /.zip
`
`Pages
`(if appl.)
`
`1
`
`Request for Corrected Filing Receipt
`
`C2081 _71307 _Req uest_to_ Cor
`r_FR.pdf
`
`24540
`
`f115f8029b9f567be199dad245aca0aca5d6
`58bf
`
`no
`
`2
`
`Warnings:
`
`Information:
`
`Rigel Exhibit 1049
`Page 9 of 238
`
`

`

`2
`
`Request for Corrected Filing Receipt
`
`C2081 _701307 _Marked_Up_FR
`.pdf
`
`144461
`
`fS Obeee 3d4ef1 7 5 f85 fd d 0928e9d 08234 f4e
`dbOS
`
`no
`
`3
`
`Warnings:
`
`Information:
`
`Total Files Size (in bytes)
`
`169001
`
`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 A~~lications 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 A~~lication 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 A~~lication 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.
`
`Rigel Exhibit 1049
`Page 10 of 238
`
`

`

`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`APPLICATION
`NUMBER
`61/253,820
`
`FILING or
`37l(c)DATE
`10/21/2009
`
`GRPART
`UNIT
`
`FIL FEE REC'D
`405
`
`37462
`LANDO & ANASTASI, LLP
`ONE MAIN STREET, SUITE 1100
`CAMBRIDGE, MA 02142
`
`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
`
`ATTY.DOCKET.NO
`C2081-701307
`
`TOT CLAIMS IND CLAIMS
`
`CONFIRMATION NO. 6682
`UPDATED FILING RECEIPT
`
`111111111111111111111111]~!1]!~1!~1!~11~!11!1111 !Ill lllll 111111111111111111
`
`Date Mailed: 02/08/2010
`
`Receipt is acknowledged of this provisional patent application. It will not be examined for patentability and will
`become abandoned not later than twelve months after its filing date. Any correspondence concerning the application
`must include the following identification information: the U.S. APPLICATION NUMBER, FILING DATE, NAME OF
`APPLICANT, and TITLE OF INVENTION. Fees transmitted by check or draft are subject to collection. Please verify
`the accuracy of the data presented on this receipt. If an error is noted on this Filing Receipt, please submit
`a written request for a Filing Receipt Correction. Please provide a copy of this Filing Receipt with the
`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
`
`Applicant( s)
`
`Shinsan Su, Newton, MA;
`Lenny Dang, Boston, MA;
`Stefan Gross, Brookline, MA;
`Shengfeng Jin, Newton, MA;
`Power of Attorney:
`Catherine McCarty--54301
`
`If Required, Foreign Filing License Granted: 11/13/2009
`The country code and number of your priority application, to be used for filing abroad under the Paris Convention,
`is US 61 /253,820
`Projected Publication Date: None, application is not eligible for pre-grant publication
`Non-Publication Request: No
`Early Publication Request: No
`** SMALL ENTITY **
`Title
`
`METHODS AND COMPOSITIONS FOR CELL-PROLIFERATION RELATED DISORDERS
`
`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 the filing of an international
`application under the Patent Cooperation Treaty (PCT). An international (PCT) application generally has the same
`page 1 of 3
`
`Rigel Exhibit 1049
`Page 11 of 238
`
`

`

`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 not result in a grant of "an international
`patent" and does not eliminate the need of applicants to file additional documents and fees in countries where patent
`protection is desired.
`
`Almost every country has its own patent law, and a person desiring a patent in a particular country must make an
`application for patent in that country in accordance with its particular laws. Since the laws of many countries differ
`in various respects from the patent law of the United States, applicants are advised to seek guidance from specific
`foreign countries to ensure that patent rights are not lost prematurely.
`
`Applicants also are advised that in the case of inventions made in the United States, the Director of the US PTO must
`issue a license before applicants can apply for a patent in a foreign country. The filing of a U.S. patent application
`serves as a request for a foreign filing license. The application's filing receipt contains further information and
`guidance as to the status of applicant's license for foreign filing.
`
`Applicants may wish to consult the USPTO booklet, "General Information Concerning Patents" (specifically, the
`section entitled "Treaties and Foreign Patents") for more information on timeframes and deadlines for filing foreign
`patent applications. The guide is available either by contacting the USPTO Contact Center at 800-786-9199, or it
`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 U.S. 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
`countries such as China, Korea and Mexico. For questions regarding patent enforcement issues, applicants may
`call the U.S. Government hotline at 1-866-999-HAL T (1-866-999-4158).
`
`LICENSE FOR FOREIGN FILING UNDER
`
`Title 35, United States Code, Section 184
`
`Title 37, Code of Federal Regulations, 5.11 & 5.15
`
`GRANTED
`
`The applicant has been granted a license under 35 U.S.C. 184, if the phrase "IF REQUIRED, FOREIGN FILING
`LICENSE GRANTED" followed by a date appears on this form. Such licenses are issued in all applications where
`the conditions for issuance of a license have been met, regardless of whether or not a license may be required as
`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
`license has been issued under 37 CFR 5.15(b). The license is subject to revocation upon written notification. The
`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.
`
`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
`page 2 of 3
`
`Rigel Exhibit 1049
`Page 12 of 238
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`

`

`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).
`
`page 3 of 3
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`Rigel Exhibit 1049
`Page 13 of 238
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`

`

`Attorney Docket No.: C2081-701307
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Applicant:
`Serial No.:
`Filing Date:
`For:
`
`Examiner:
`Art Unit:
`Confirmation No:
`
`Shinsan Su et al.
`61/253,820
`October 21, 2009
`METHODS AND COMPOSITIONS FOR CELL-PROLIFERATION(cid:173)
`RELATED DISORDERS
`Not Yet Assigned
`Not Yet Assigned
`6682
`
`CERTIFICATE OF TRANSMISSION UNDER 37 C.F.R. §1.8(a)
`The undersigned hereby certifies that this document is being electronically filed in accordance with
`§1.6(a)(4) on the 4th day of February 2010.
`
`/Catherine M. McCarty/
`Catherine M. McCarty, Reg. No. 54,301
`
`Commissioner for Patents
`
`Sir:
`
`RESPONSE TO NOTICE TO FILE MISSING PARTS
`
`In response to the Notice to File Missing Parts of Application under 37 CPR § 1.53(b)
`
`mailed November 18, 2009, Applicant submits herewith the following:
`
`1.
`
`2.
`
`3.
`
`filing fee; and
`
`provisional coversheet listing names and residence of inventors, and
`
`1 month extension of time
`
`The fee of $405.00 is being paid concurrently herewith on the Electronic Filing System
`
`(EFS) by way of Deposit Account authorization. It is understood that this perfects the
`
`application and no additional papers or filing fees are required. Please apply any other charges
`
`or credits to Deposit Account No. 50-2762, referencing Attorney Docket No. C2081-701307
`
`1
`
`Rigel Exhibit 1049
`Page 14 of 238
`
`

`

`Serial No.: 61/253,820
`
`Attorney Docket No.: C2081-701307
`
`Respectfully submitted,
`
`/Catherine M. McCarty/
`Catherine McCarty, Reg. No. 54,301
`LANDO & ANASTASI, LLP
`One Main Street
`Cambridge, Massachusetts 02142
`United States of America
`Telephone: 617-395-7087
`Facsimile: 617-395-7070
`
`Date: February 4, 2010
`
`2
`
`Rigel Exhibit 1049
`Page 15 of 238
`
`

`

`Doc Code: TR.PROV
`Document Description: Provisional Cover Sheet (SB16)
`
`PTO/SB/16 (04-07)
`Approved for use through 06/30/2010 0MB 0651-0032
`U.S. Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless ii displays a valid 0MB control number
`Provisional Application for Patent Cover Sheet
`This is a request for filing a PROVISIONAL APPLICATION FOR PATENT under 37 CFR 1.53(c)
`
`lnventor{s)
`
`Inventor 1
`
`I Rmrioi,M ?I
`
`Given Name
`
`Middle Name
`
`Family Name
`
`City
`
`State
`
`Country i
`
`Su
`
`Newton
`
`MA
`
`us
`
`Shinsan
`
`Inventor 2
`
`Given Name
`
`Middle Name
`
`Family Name
`
`City
`
`State
`
`Lenny
`
`Inventor 3
`
`Dang
`
`Boston
`
`MA
`
`I R-WfigfWI
`Country i
`
`us
`I Rfilht:M;f I
`
`Given Name
`
`Middle Name
`
`Family Name
`
`City
`
`State
`
`Country i
`
`Gross
`
`Brookline
`
`MA
`
`us
`
`Stefan
`
`Inventor 4
`
`Given Name
`
`Middle Name
`
`Family Name
`
`City
`
`State
`
`Shengfang
`
`Jin
`
`Newton
`
`MA
`
`All Inventors Must Be Listed -Additional Inventor Information blocks may be
`generated within this form by selecting the Add button.
`
`I RfferiQ\/WI
`Country i
`
`us
`
`I
`
`Add
`
`ti
`
`Title of Invention
`
`METHODS AND COMPOSITIONS FOR CELL-PROLIFERATION-RELATED
`DISORDERS
`
`Attorney Docket Number (if applicable)
`
`C2081-701307
`
`Correspondence Address
`
`Direct all correspondence to (select one):
`
`@ The address corresponding to Customer Number 0 Firm or Individual Name
`
`Customer Number
`
`37462
`
`The invention was made by an agency of the United States Government or under a contract with an agency of the United
`States Government.
`
`@ No.
`O Yes, the name of the U.S. Government agency and the Government contract number are:
`
`EFS - Web 1.0.1
`
`Rigel Exhibit 1049
`Page 16 of 238
`
`

`

`Doc Code: TR.PROV
`Document Description: Provisional Cover Sheet (SB16)
`
`PTO/SB/16 (04-07)
`Approved for use through 06/30/2010 0MB 0651-0032
`U.S. Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless ii displays a valid 0MB control number
`
`Entity Status
`Applicant claims small entity status under 37 CFR 1.27
`
`@ Yes, applicant qualifies for small entity status under 37 CFR 1.27
`Q No
`
`Warning
`
`Petitioner/applicant is cautioned to avoid submitting personal information in documents filed in a patent application that may
`contribute to identity theft. Personal information such as social security numbers, bank account numbers, or credit card
`numbers (other than a check or credit card authorization form PTO-2038 submitted for payment purposes) is never required
`by the USPTO to support a petition or an application. If this type of personal information is included in documents submitted
`to the USPTO, petitioners/applicants should consider redacting such personal information from the documents before
`submitting them to USPTO. Petitioner/applicant is advised that the record of a patent application is available to the public
`after publication of the application (unless a non-publication request in compliance with 37 CFR 1.213(a) is made in the
`application) or issuance of a patent. Furthermore, the record from an abandoned application may also be available to the
`public if the appl