UNITED STA1ES PA1ENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`www.uspto.gov
`
`APPLICATION NO.
`
`15/015,571
`
`ISSUE DATE
`
`12/12/2017
`
`PATENT NO.
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`9840491
`
`2012552-0292
`
`7048
`
`11/21/2017
`
`7590
`147361
`FORMA Therapeutics
`CHOATE, HALL & SIEWART LLP
`TWO IN ILRNATIONAL PLACE
`BOSTON, MA 02110
`
`The projected patent number and issue date are specified above.
`
`ISSUE NOTIFICATION
`
`Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)
`(application filed on or after May 29, 2000)
`
`The Patent Term Adjustment is 0 day(s). Any patent to issue from the above-identified application will include
`an indication of the adjustment on the front page.
`
`If a Continued Prosecution Application (CPA) was filed in the above-identified application, the filing date that
`determines Patent Term Adjustment is the filing date of the most recent CPA.
`
`Applicant will be able to obtain more detailed information by accessing the Patent Application Information
`Retrieval (PAIR) WEB site (http://pair.uspto.gov).
`
`Any questions regarding the Patent Term Extension or Adjustment determination should be directed to the
`Office of Patent Legal Administration at (571)-272-7702. Questions relating to issue and publication fee
`payments should be directed to the Application Assistance Unit (AAU) of the Office of Data Management
`(ODM) at (571)-272-4200.
`
`APPLICANT(s) (Please see PAIR WEB site http://pair.uspto.gov for additional applicants):
`
`Stephanos Ioannidis, Natick, MA;
`Forma Therapeutics, Inc., Watertown, MA
`Adam Charles Talbot, Guilford, CT;
`Bruce Follows, Littleton, MA;
`Alexandre Joseph Buckmelter, Acton, MA;
`Minghua Wang, Acton, MA;
`Ann-Marie Campbell, Monroe, CT;
`David R. Lancia JR., Boston, MA;
`
`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 USA offers tremendous
`resources and advantages for those who invest and manufacture goods here. Through SelectUSA, our nation
`works to encourage and facilitate business investment. To learn more about why the USA is the best country in
`the world to develop technology, manufacture products, and grow your business, visit SelectUSA.gov.
`
`IR103 (Rev. 10/09)
`
`Post-Grant Review Petition for US 9,840,491
` EXHIBIT 1009
` Page 1
`
`

`

`Substitute for form 1449/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`Application Number
`
`Filing Date
`
`First Named Inventor
`
`Art Unit
`
`Examiner Name
`
`(Use as many sheets as necessary)
`
`Attorney Docket Number
`
`U.S. PATENT DOCUMENTS
`
`Used in Lieu of PTO/SB/08A/B
`(Based on PTO 11-07 version)
`
`SHEET 1 OF 6
`
`Complete if Known
`15/015,571
`February 4, 2016
`Stephanos Ioannidis
`1624
`Paul V. Ward
`FOTH-014/01US 314575-2090
`
`Examiner
`Initials*
`
`Cite
`No.'
`
`Document Number
`Number-Kind Code (if known)
`
`Publication Date
`MM-DD-YYYY
`
`
`Name of Patentee or
`Applicant of Cited Document
`
`Pages, Columns, Lines, Where
`Relevant Passages or Relevant
`Figures Appear
`
`1.
`
`2.
`3.
`4.
`
`5.
`
`6.
`
`7.
`
`8.
`
`9.
`
`10.
`
`11.
`
`US 2002/0132319
`
`US 2002/0169175 Al
`US 2003/0225269 Al
`
`US 2004/0038994 Al
`
`9/19/2002
`11/14/2002
`
`12/4/2003
`
`Abreo et al.
`
`Gaddam et al.
`Batchelor et al.
`
`2/26/2004
`
`Wilson
`
`US 2004/0116399 Al
`
`6/17/2004
`
`US 2004/0132732 Al
`
`7/8/2004
`
`Zhu et al.
`
`Han et al.
`
`US 2005/0143436 Al
`
`6/30/2005
`
`Batchelor et al.
`
`US 2005/0148534 Al
`
`7/7/2005
`
`Castellino et al.
`
`US 2005/0153992 Al
`
`7/14/2005
`
`Tsutsumi et al.
`
`US 2006/0234909 Al
`
`10/19/2006
`
`Newman et al.
`
`US 2008/0064680 Al
`
`3/13/2008
`
`Bamdad
`
`5/22/2008
`
`Huang et al.
`
`12.
`
`13.
`
`14.
`
`15.
`
`16.
`
`17.
`
`18.
`
`19.
`
`20.
`
`21.
`
`22.
`
`23.
`
`24.
`
`25.
`
`US 2008/0119457 Al
`
`US 2008/0318922 Al
`
`12/25/2008
`
`Nakahira et al.
`
`US 2009/0192129 Al
`US 2009/0192138 Al
`
`US 2009/0253704
`US 2011/0015371 Al
`
`7/30/2009
`
`7/30/2009
`
`10/8/2009
`
`Nakahira et al.
`
`Baeschlin et al.
`
`Koltun et al.
`
`1/20/2011
`
`Bemis et al.
`
`US 2011/0082158 Al
`
`4/7/2011
`
`Gangjee et al.
`
`US
`
`5 Al
`
`2/26/2004
`
`Wilson
`
`2004003901 2
`
`US 2011/0263532 Al
`
`10/27/2011
`
`Keller et al.
`
`US 2012/0122889 Al
`
`US 2012/0165319 Al
`US 2012/0238749 Al
`
`US 2013/0085133 Al
`US 2013/0116241 Al
`
`5/17/2012
`
`6/28/2012
`
`9/20/2012
`
`4/4/2013
`
`5/9/2013
`
`Yuan et al.
`
`Batchelor et al.
`
`Bemis et al.
`
`Severson et al.
`
`Geneste et al.
`
`Changge(5
`rr
`era,
`todocum
`/C1-1J,
`8../11-./zo
`
`7
`
`Examiner Signature:
`
`/PAUL V WARD/
`
`Date Considered
`
`07/25/2017
`
`"EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance and not
`considered. Include copy of this form with next communication to applicant. " CITE NO.: Those application(s) which are marked with an single asterisk (") next
`to the Cite No. are not supplied (under 37 CFR 1.98(a)(2)(iii)) because that application was filed after June 30, 2003 or is available in the IFW. "" CITE NO.:
`Those document(s) which are marked with an double asterisk ("") next to the Cite No. are not supplied because they were previously cited by or submitted to the
`Office in a prior application relied upon in this application for an earlier filing date under 35 U.S.C. 120.
`Applicant's unique citation designation number
`(optional). 2 See Kinds Codes of USPTO Patent Documents at www.usrito.qov or MPEP 901.04. 'Enter Office that issued the document, by the two-letter code
`(WIPO Standard ST.3). 4 For Japanese patent documents, the indication of the year of the reign of the Emperor must precede the serial number of the patent
`document. 5 Kind of document by the appropriate symbols as indicated on the document under WIPO Standard ST.16 if possible. 6 Applicant is to place a check
`mark here if English language Translation is attached.
`
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. /P.V.W/
`
`Post-Grant Review Petition for US 9,840,491
` EXHIBIT 1009
` Page 2
`
`

`

`Substitute for form 1449/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`Application Number
`
`Filing Date
`
`First Named Inventor
`
`Art Unit
`
`Examiner Name
`
`(Use as many sheets as necessary)
`
`Attorney Docket Number
`
`U.S. PATENT DOCUMENTS
`
`Used in Lieu of PTO/SB/08A/B
`(Based on PTO 11-07 version)
`
`SHEET 3 OF 6
`
`Complete if Known
`15/015,571
`February 4, 2016
`Stephanos Ioannidis
`1624
`Paul V. Ward
`FOTH-014/01US 314575-2090
`
`Examiner
`Initials*
`
`Cite
`No.'
`
`Document Number
`Number-Kind Code (if known)
`
`Publication Date
`MM-DD-YYYY
`
`
`Name of Patentee or
`Applicant of Cited Document
`
`Pages, Columns, Lines, Where
`Relevant Passages or Relevant
`Figures Appear
`
`Fr.J'0
`it.
`
`ChiMge(s
`to CIOCLim
`AM./
`8/14/20
`
`51.
`
`52.
`
`53.
`
`54.
`
`55.
`
`56.
`
`57.
`
`58.
`
`59.
`
`60.
`
`US 6632815 B2
`
`US 6686368 B1
`
`US 6720317 B1
`
`US 6943253
`
`10/14/2003
`
`Zhu et al.
`
`2/3/2004
`
`4/13/2004
`
`Zhu et al.
`
`Zhu et al.
`
`9/13/2005
`
`Juan et al.
`
`US 6,260%5-
`
`,.9 6.0,595
`
`11/1/2005
`
`Pinto et al.
`
`US 6964957
`US 7253204 B2
`
`US 7285565 B2
`US 7288624 B2
`
`US 7557113 B2
`
`11/15/2005
`
`Abreo et al.
`
`8/7/2007
`
`Delorme et al.
`
`10/23/2007
`
`Zhu et al.
`
`10/30/2007
`
`Bemis et al.
`
`7/7/2009
`
`Tsutsumi et al.
`
`Nakahira et al.
`
`61.
`
`62.
`
`63.
`
`64.
`
`65.
`
`66.
`
`67.
`
`68.
`
`69.
`
`70.
`
`71.
`
`72.
`
`73.
`
`74.
`
`75.
`
`US 7601728 B2
`
`US 7745447 B2
`
`US 7772366 B2
`
`US 7790713 B2
`US 7989445 B2
`
`US 8088805 B2
`US 8119631 B2
`
`US 8133998 B2
`
`US 8575114 B2
`
`US 8586619 B2
`
`US 8618115 B2
`
`US 8642609 B2
`US 8841289 B2
`
`US 8859566 B2
`US 8927718 B2
`
`10/13/2009
`
`6/29/2010
`
`8/10/2010
`
`9/7/2010
`
`8/2/2011
`
`1/3/2012
`
`2/21/2012
`
`3/13/2012
`
`11/5/2013
`
`Washburn et al.
`
`Bemis et al.
`
`Batchelor et al.
`
`Scvcrson ct 31. Murata et ;al.
`
`Delorme et al.
`
`Batchelor et al.
`
`Pajouhesh et al.
`
`Liu et al.
`
`11/19/2013
`
`Wu et al.
`
`12/31/2013
`
`Washburn et al.
`
`2/4/2014
`
`Makings et al.
`
`9/23/2014
`
`Ratcliffe et al.
`
`10/14/2014
`
`Palle et al.
`
`1/6/2015
`
`Sasaki et al.
`
`Examiner Signature:
`
`/PAUL V WARD/
`
`Date Considered
`
`07/25/2017
`
`"EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance and not
`considered. Include copy of this form with next communication to applicant. " CITE NO.: Those application(s) which are marked with an single asterisk (") next
`to the Cite No. are not supplied (under 37 CFR 1.98(a)(2)(iii)) because that application was filed after June 30, 2003 or is available in the IFW. "" CITE NO.:
`Those document(s) which are marked with an double asterisk ("") next to the Cite No. are not supplied because they were previously cited by or submitted to the
`Office in a prior application relied upon in this application for an earlier filing date under 35 U.S.C. 120.
`Applicant's unique citation designation number
`(optional). 2 See Kinds Codes of USPTO Patent Documents at www.usrito.qov or MPEP 901.04. 'Enter Office that issued the document, by the two-letter code
`(WIPO Standard ST.3). 4 For Japanese patent documents, the indication of the year of the reign of the Emperor must precede the serial number of the patent
`document. 5 Kind of document by the appropriate symbols as indicated on the document under WIPO Standard ST.16 if possible. 6 Applicant is to place a check
`mark here if English language Translation is attached.
`
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. /P.V.W/
`
`Post-Grant Review Petition for US 9,840,491
` EXHIBIT 1009
` Page 3
`
`

`

`INFORMATION DISCLOSURE STATEMENT
`LIST BY APPLICANT
`(Use as many sheets as necessary)
`
`Used in lieu of PTO/SB/08
`
`SHEET 1 OF 5
`
`Application Number
`
`Filing Date
`
`First Named Inventor
`
`Art Unit
`
`Examiner Name
`
`Attorney Docket Number
`
`Complete if Known
`15/015,571
`February 4, 2016
`Stephanos Ioannidis
`1629
`TBA
`FOTH-014/01US 314575-2090
`
`Examiner
`Initials*
`
`Cite
`No.'
`
`Document Number
`Number-Kind Code2 (if
`known)
`
`U.S. PATENT DOCUMENTS
`Name of Patentee or
`Applicant of Cited
`Document
`
`Publication Date
`MM-DD-YYYY
`
`Pages, Columns, Lines, Where
`Relevant Passages or Relevant
`Figures Appear
`
`,
`(5) affitecii
`
`Clang
`to loci
`ment,
`/J-L/
`8/14/2
`01 7
`
`1.
`
`2.
`
`3.
`
`4.
`
`5.
`
`6.
`
`7.
`
`8.
`
`9.
`10.
`
`11.
`
`12.
`
`13.
`
`14.
`
`15.
`
`16.
`
`17.
`
`18.
`
`19.
`
`20.
`
`21.
`
`22.
`
`US 2002/0035128 Al
`US 2003/0153598 Al
`US 2004/0180931 Al
`US 2004/0192732 Al
`US 2004/0214863 Al
`US 2005/0250812 Al
`US 2006/0018839 Al
`US 2006/0135507 Al
`US 2006/0172992 Al
`US 2006/0183776 Al
`US 2007/0053976 Al
`US 2008/0045500 Al
`US 2008/0167343 Al
`US 2008/0312189 Al
`US 2009/0042939 Al
`US 2009/0042940 Al
`US 2009/0118261 Al
`US 2011/0053981 Al
`US 4895841 A
`US 5100901 A
`US 6482838 B2
`US 6576646 B1
`
`Pratt
`03-21-2002
`Pratt
`08-14-2003
`Pratt
`09-16-2004
`Pratt et al.
`09-30-2004
`Pratt
`10-28-2004
`Pratt
`11-10-2005
`leni et al.
`01-26-2006
`06-22-2006 Yokoyama et al.
`08-03-2006 Yokoyama et al.
`Pratt
`08/2006
`10 28 2001
`03-08-2007
`Kazuo La it . 5a La i et
`02-21-2008
`Teramoto et al.
`07-10-2008
`leni et al.
`12-18-2008
`Pratt
`02-12-2009
`leni et al.
`02-12-2009
`leni et al.
`05-07-2009 Aquila
`03-03-2011
`leni et al.
`01-23-1990
`Sugimoto et al.
`03-31-1992
`Sugimoto et al.
`11-19-2002
`Pratt
`06-10-2003
`Pratt
`
`I.
`
`Examiner Signature:
`
`/Paul Ward/ (09/24/2016)
`
`Date Considered
`
`"EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance and not
`considered. Include copy of this form with next communication to applicant.
`Applicant's unique citation designation number (optional). See Kinds Codes of USPTO Patent Documents at www.usoto.gov or MPEP 901.04. Enter Office that
`issued the document, by the two-letter code (WIPO Standard ST.3). 'For Japanese patent documents, the indication of the year of the reign of the Emperor must
`precede the serial number of the patent document. Kind of document by the appropriate symbols as indicated on the document under WIPO Standard ST.16 if possible.
`Applicant is to place a check mark here if English language Translation is attached. This collection of information is required by 37 CFR 1.97 and 1.98. The information
`is required to obtain or retain a benefit by the public which is to file (and by the USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37
`CFR 1.14. This collection is estimated to take 2 hours to complete, including gathering, preparing, and submitting the completed application form to the USPTO. Time
`will vary depending upon the individual case. Any comments on the amount of time you require to complete this form and/or suggestions for reducing this burden, should
`be sent to the Chief Information Officer, U.S. Patent and Trademark Office, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED
`FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`If you need assistance in completing the form, call 1-800-PTO-9199 (1-800-786-9199) and select option 2.
`
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. /P.W./
`
`Post-Grant Review Petition for US 9,840,491
` EXHIBIT 1009
` Page 4
`
`

`

`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`APPLICATION NUMBER
`15/015,571
`
`FILING OR 371(C) DATE
`02/04/2016
`
`147361
`FORMA Therapeutics
`CHOATE, HALL & STEWART LLP
`TWO INTERNATIONAL PLACE
`BOSTON, MA 02110
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`PO. Box 1450
`Alexandria, Virginia 22313-1450
`www.uspto.gov
`
`FIRST NAMED APPLICANT
`Stephanos Ioannidis
`
`ATTY. DOCKET NO./TITLE
`2012552-0292
`CONFIRMATION NO. 7048
`37 CFR 1.48(f)
`ACKNOWLEDGEMENT LETTER
`
`1111111111111111111111111
`
`11E1E11 1
`0I00000952I111191
`
`Date Mailed: 11/06/2017
`
`NOTICE OF ACCEPTANCE OF REQUEST UNDER 37 CFR 1.48(f)
`
`This is in response to the applicant's request under 37 CFR 1.48(f) submitted on 11/01/2017.
`
`The request under 37 CFR 1.48(f) to correct the inventorship, to correct or update the name of an inventor, or to
`correct the order of names of joint inventors is accepted.
`
`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.
`
`/hteffera/
`
`page 1 of 1
`
`Post-Grant Review Petition for US 9,840,491
` EXHIBIT 1009
` Page 5
`
`

`

`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`AP PLICATION
`NUMBER
`15/015,571
`
`I
`
`
`FILIN G or
`371(c)
` DATE
`02/04/2016
`
`I G
`UNIT IT
`
`1624
`
`I
`
`FIL FEE RECD
`2940
`
`I
`
`147361
`FORMA Therapeutics
`CHOATE, HALL & STEWART LLP
`TWO INTERNATIONAL PLACE
`BOSTON, MA 02110
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O.Box 1450
`Alexandria, VirgLnia 22313-1450
`www.uspto.gov
`
`ATTY.DOCKET.NO
`2012552-0292
`
`ITOT CLAIMS I IND CLAIMS
`1
`30
`CONFIRMATION NO. 7048
`UPDATED FILING RECEIPT
`
`11111111111111111111111111A14111111gU01111111111111111111111
`
`Date Mailed: 11/06/2017
`
`Receipt is acknowledged of this non-provisional patent application. The application will be taken up for examination
`in due course. Applicant will be notified as to the results of the examination. 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
`I nventor(s)
`
`Stephanos loannidis, Natick, MA;
`Adam Charles Talbot, Guilford, CT;
`Bruce Follows, Littleton, MA;
`Alexandre Joseph Buckmelter, Acton, MA;
`Minghua Wang, Acton, MA;
`Ann-Marie Campbell, Monroe, CT;
`David R. Lancia JR., Boston, MA;
`
`Forma Therapeutics, Inc., Watertown, MA
`
`Applicant(s)
`
`Power of Attorney: The patent practitioners associated with Customer Number 147361
`
`Domestic Priority data as claimed by applicant
`This appin claims benefit of 62/112,487 02/05/2015
`Foreign Applications for which priority is claimed (You may be eligible to benefit from the Patent Prosecution
`Highway program at the USPTO. Please see http://www.uspto.gov for more information.) - None.
`Foreign application information must be provided in an Application Data Sheet in order to constitute a claim to
`foreign priority. See 37 CFR 1.55 and 1.76.
`
`Permission to Access Application via Priority Document Exchange: No
`
`Permission to Access Search Results: No
`
`page 1 of 3
`
`Post-Grant Review Petition for US 9,840,491
` EXHIBIT 1009
` Page 6
`
`

`

`Applicant may provide or rescind an authorization for access using Form PTO/SB/39 or Form PTO/SB/69 as
`appropriate.
`
`Projected Publication Date: Not Applicable
`
`Non-Publication Request: No
`
`Early Publication Request: No
`Title
`
`QUINAZOLINONES AND AZAQUINAZOLINONES AS UBIQUITIN-SPECIFIC PROTEASE 7
`INHIBITORS
`
`Preliminary Class
`
`544
`
`Statement under 37 CFR 1.55 or 1.78 for AIA (First Inventor to File) Transition Applications: No
`
`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
`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 USPTO 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-HALT (1-866-999-4258).
`
`page 2 of 3
`
`Post-Grant Review Petition for US 9,840,491
` EXHIBIT 1009
` Page 7
`
`

`

`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
`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 U.S. offers tremendous resources
`and advantages for those who invest and manufacture goods here. Through SelectUSA, our nation works to
`promote and facilitate business investment. SelectUSA provides information assistance to the international investor
`community; serves as an ombudsman for existing and potential investors; advocates on behalf of U.S. cities, states,
`and regions competing for global investment; and counsels U.S. 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
`technology, manufacture products, deliver services, and grow your business, visit http://www.SelectUSA.gov or call
`+1-202-482-6800.
`
`page 3 of 3
`
`Post-Grant Review Petition for US 9,840,491
` EXHIBIT 1009
` Page 8
`
`

`

`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`APPLICATION NUMBER
`15/015,571
`
`FILING OR 371(C) DATE
`02/04/2016
`
`147361
`FORMA Therapeutics
`CHOATE, HALL & STEWART LLP
`TWO INTERNATIONAL PLACE
`BOSTON, MA 02110
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`PO. Box 1450
`Alexandria, Virginia 22313-1450
`www.uspto.gov
`
`FIRST NAMED APPLICANT
`Stephanos Ioannidis
`
`ATTY. DOCKET NO./TITLE
`2012552-0292
`CONFIRMATION NO. 7048
`IMPROPER CFR REQUEST
`1111111111111111111111111CIIIIJII1111[111J111111111111111111111111
`
`Date Mailed: 11/06/2017
`
`RESPONSE TO REQUEST FOR CORRECTED FILING RECEIPT
`
`Power of Attorney, Claims, Fees, System Limitations, and Miscellaneous
`
`In response to your request for a corrected Filing Receipt, the Office is unable to comply with your request
`because:
`
`• The suffixes SR. and JR. will only appear in upper case.
`
`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.
`
`/hteffera/
`
`page 1 of 1
`
`Post-Grant Review Petition for US 9,840,491
` EXHIBIT 1009
` Page 9
`
`

`

`Docket No.: 2012552-0292
`(PATENT)
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`In re Patent Application of:
`FORMA Therapeutics, Inc.
`
`Application No.: 15/015,571
`
`Confirmation No.: 7048
`
`Filed: February 4, 2016
`
`Art Unit: 1624
`
`For: QUINAZOLINONES AND
`AZAQUINAZOLINONES AS UBIQUITIN-
`SPECIFIC PROTEASE 7 INHIBITORS
`
`Examiner: WARD, PAUL V
`
`REQUEST TO CORRECT INVENTOR NAME UNDER 37 C.F.R. §1.48
`
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`Dear Commissioner:
`
`Applicant respectfully submits herewith a Corrected Application Data Sheet (ADS) in
`
`the above-referenced application. The Corrected ADS is submitted to update the name of
`
`inventor 12 and is properly underlined to reflect this change.
`
`Applicant confirms the inventor name should be updated from David Lancia, to
`
`David R. Lancia, Jr.
`
`The Processing Fee of $140.00 under 37 C.F.R. § 1.17(i) is submitted herewith via
`
`Electronic Filing System's credit card payment option. Applicant submits that all fees due are
`
`submitted herewith. Should Applicant be mistaken, however, Applicant hereby authorizes any
`
`fee deficiency to be charged to our Deposit Account No. 03-1721, under Attorney Docket No.
`
`2012552-0292.
`
`8349742v1
`
`Post-Grant Review Petition for US 9,840,491
` EXHIBIT 1009
` Page 10
`
`

`

`Application No.: 15/015,571
`
`2
`
`Docket No.: 2012552-0292
`
`Applicant requests that all pertinent U.S. Patent and Trademark Office records relating to
`
`the subject application be changed to reflect this correction and an Updated Filing Receipt be
`
`issued in this case.
`
`Dated: November 1, 2017
`
`Respectfully submitted,
`
`/Michael A. Shinall/
`Michael A. Shinall
`Registration No.: 72,676
`
`CHOATE, HALL & STEWART LLP
`Two International Place
`Boston, Massachusetts 02110
`(617) 248-5000
`Attorney/Agent For Applicant
`
`8349742v1
`
`Post-Grant Review Petition for US 9,840,491
` EXHIBIT 1009
` Page 11
`
`

`

`PART B - FEE(S) TRANSMITTAL
`
`Complete and send this form, together with applicable fee(s), to: Mail Mail Stop ISSUE FEE
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`or Fax (571)-273-2885
`
`INSTRUCTIONS: This form should be used for transmitting the ISSUE FEE and PUBLICATION FEE (if required). Blocks 1 through 5 should be completed where
`appropriate. All further correspondence including the Patent, advance orders and notification of maintenance fees will be mailed to the current correspondence address as
`indicated unless corrected below or directed otherwise in Block 1, by (a) specifying a new correspondence address; and/or (b) indicating a separate "FEE ADDRESS" for
`maintenance fee notifications.
`
`CURRENT CORRESPONDENCE ADDRESS (Note: Use Block 1 for any change of address)
`
`08/02/2017
`7590
`58249
`CHOATE, HALL & STEWART LLP
`TWO INTERNATONAL PLACE
`BOSTON, MA 02110
`
`Note: A certificate of mailing can only be used for domestic mailings of the
`Fee(s) Transmittal. This certificate cannot be used for any other accompanying
`papers. Each additional paper, such as an assignment or formal drawing, must
`have its own certificate of mailing or transmission.
`
`Certificate of Mailing or Transmission
`I hereby certify that this Fee(s) Transmittal is being deposited with the United
`States Postal Service with sufficient postage for first class mail in an envelope
`addressed to the Mail Stop ISSUE FEE address above, or being facsimile
`transmitted to the USPTO (571) 273-2885, on the date indicated below.
`
`(Depositor's name)
`
`(Signature)
`
`(Date)
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`15/015,571
`
`02/04/2016
`
`FOTH-014/O1US
`(2012552-0292)
`TITLE OF INVENTION: QUINAZOLINONES AND AZAQUINAZOLINONES AS UBIQUITIN-SPECIFIC PROTEASE 7 INHIBITORS
`
`Stephanos Ioannidis
`
`7048
`
`APPLN. TYPE
`
`ENTITY STATUS
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE PREY. PAID ISSUE FEE
`
`TOTAL FEE(S) DUE
`
`DATE DUE
`
`nonprovisional
`
`UNDISCOUNTED
`
`$960
`
`$0
`
`$0
`
`$960
`
`11/02/2017
`
`EXAMINER
`
`WARD, PAUL V
`
`ART UNIT
`
`CLASS-SUBCLASS
`
`1624
`
`544-287000
`
`1. Change of correspondence address or indication of "Fee Address" (37
`CFR 1.363).
`q Change of correspondence address (or Change of Correspondence
`Address form PTO/SB/122) attached.
`q "Fee Address" indication (or "Fee Address" Indication form
`PTO/SB/47; Rev 03-02 or more recent) attached. Use of a Customer
`Number is required.
`
`2. For printing on the patent front page, list
`(1) The names of up to 3 registered patent attorneys
`or agents OR, alternatively,
`(2) The name of a single firm (having as a member a
`registered attorney or agent) and the names of up to
`2 registered patent attorneys or agents. If no name is
`listed, no name will be printed.
`
`1 Choate, Hall & Stewart LLP
`
`2 John P. Rearick
`
`3 Michael A. Shinall
`
`3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
`PLEASE NOTE: Unless an assignee is identified below, no assignee data will appear on the patent. If an assignee is identified below, the document has been filed for
`recordation as set forth in 37 CFR 3.11. Completion of this form is NOT a substitute for filing an assignment.
`(A) NAME OF ASSIGNEE
`(B) RESIDENCE: (CITY and STATE OR COUNTRY)
`
`FORMA Therapeutics, Inc.
`
`Watertown, MA
`
`Please check the appropriate assignee category or categories (will not be printed on the patent) :
`
`q Individual ZI Corporation or other private group entity q Government
`
`4a. The following fee(s) are submitted:
`Issue Fee
`q Publication Fee (No small entity discount permitted)
`q Advance Order - # of Copies
`
`
`
`4b. Payment of Fee(s): (Please first reapply any previously paid issue fee shown above)
`q A check is enclosed.
`ZI Payment by credit card. Form PTO-2038 is attached.
`Ej The director is hereby authorized to charge the required fee(s), any deficiency, or credits any
`overpayment, to Deposit Account Number
`(enclose an extra copy of this form).
`
`5. Change in Entity Status (from status indicated above)
`q Applicant certifying micro entity status. See 37 CFR 1.29
`
`q Applicant asserting small entity status. See 37 CFR 1.27
`
`q Applicant changing to regular undiscounted fee status.
`
`NOTE: Absent a valid certification of Micro Entity Status (see forms PTO/SB/15A and 15B), issue
`fee payment in the micro entity amount will not be accepted at the risk of application abandonment.
`NOTE: If the application was previously under micro entity status, checking this box will be taken
`to be a notification of loss of entitlement to micro entity status.
`NOTE: Checking this box will be taken to be a notification of loss of entitlement to small or micro
`entity status, as applicable.
`
`NOTE: This form must be signed in accordance with 37 CFR 1.31 and 1.33. See 37 CFR 1.4 for signature requirements and certifications.
`
`Authorized Signature /Michael A. Shinall/
`
`Typed or printed name Michael A. Shinall
`
`Date
`
`November 1, 2017
`
`Registration No.
`
`72,676
`
`PTOL-85 Part B (10-13) Approved for use through 10/31/2013.
`
`OMB 0651-0033
`
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`
`Page 2 of 3
`
`Post-Grant Review Petition for US 9,840,491
` EXHIBIT 1009
` Page 12
`
`

`

`Electronic Patent Application Fee Transmittal
`
`Application Number:
`
`Filing Date:
`
`15015571
`
`04-Feb-2016
`
`Title of Invention :
`
`QUINAZOLINONES AND AZAQUINAZOLINONES AS UBIQUITIN-SPECIFIC
`PROTEASE