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`SCORE Placeholder Sheet for IFW Content
`
`Application Number: 61992109
`
`Document Date: 05/12/2014
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`The presence of this form in the IFW record indicates that the following document type was received
`in electronic format on the date identified above. This content is stored in the SCORE database.
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`Since this was an electronic submission, there is no physical artifact folder, no artifact folder is
`recorded in PALM, and no paper documents or physical media exist. The TIFF images in the IFW
`record were created from the original documents that are stored in SCORE.
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`At the time of document entry (noted above):
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`• External customers may access SCORE content via PAIR using the Supplemental Content
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`Form Revision Date: August 26, 2013
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`Merck Ex. 1010
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`PTO/AIN14 (03-13)
`Approved for use through 01/31/2014. 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 it contains a valid 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`146393025904
`
`Application Number
`
`Title of Invention
`
`I METHODS OF TREATING CANCER USING PD-1 AXIS BINDING ANTAGONISTS AND TIGIT INHIBITORS
`
`The application data sheet is part of the provisional or nonprovisional application for which it is being submitted. The following form contains the
`bibliographic data arranged in a format specified by the United States Patent and Trademark Office as outlined in 37 CFR 1.76.
`This document may be completed electronically and submitted to the Office in electronic format using the Electronic Filing System (EFS) or the
`document may be printed and included in a paper filed application.
`
`Secrecy Order 37 CFR 5.2
`Portions or all of the application associated with this Application Data Sheet may fall under a Secrecy Order pursuant to
`D 37 CFR 5.2 (Paper filers only. Applications that fall under Secrecy Order may not be filed electronically.)
`Inventor Information:
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`1
`Inventor
`Legal Name
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`I Remove I
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`Prefix Given Name
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`Middle Name
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`Family Name
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`Suffix
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`GROGAN
`Jane
`0 Non US Residency 0 Active US Military Service
`Residence Information (Select One) (!) US Residency
`I State/Province I CA
`I Country of Residence i I US
`City
`San Francisco
`
`Mailing Address of Inventor:
`
`c/o Genentech. Inc.
`
`Address 1
`Address 2
`1 DNA Way
`City
`I South San Francisco
`I 94080-4990
`Postal Code
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`2
`Inventor
`Legal Name
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`I State/Province
`I us
`I Country i
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`I CA
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`I Remove I
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`Prefix Given Name
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`Middle Name
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`Suffix
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`JOHNSTON
`J.
`Robert
`0 Non US Residency O Active US Military Service
`Residence Information (Select One) (!) US Residency
`I State/Province I CA
`I Country of Residence i I US
`City
`San Francisco
`
`Mailing Address of Inventor:
`
`c/o Genentech. Inc.
`
`Address 1
`Address 2
`1 DNA Way
`City
`I South San Francisco
`I 94080-4990
`Postal Code
`
`3
`Inventor
`Legal Name
`
`I State/Province
`I us
`I Country i
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`I CA
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`I Remove I
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`Prefix Given Name
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`Middle Name
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`Family Name
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`Suffix
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`Bryan
`Residence Information (Select One) (!) US Residency
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`IRVING
`0 Non US Residency 0 Active US Military Service
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`EFS Web 2.2.6
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`Merck Ex. 1010
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`PTO/AIN14 (03-13)
`Approved for use through 01/31/2014. 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 it contains a valid 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`146393025904
`
`Application Number
`
`Title of Invention METHODS OF TREATING CANCER USING PD-1 AXIS BINDING ANTAGONISTS AND TIGIT INHIBITORS
`
`City I San Francisco
`
`I State/Province I CA
`
`I Country of Residence i I US
`
`Mailing Address of Inventor:
`
`c/o Genentech, Inc.
`
`Address 1
`Address 2
`1 DNA Way
`City
`I South San Francisco
`Postal Code
`1 94080-4990
`
`4
`Inventor
`Legal Name
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`I State/Province
`1 us
`I Country i
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`I CA
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`I Remove I
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`Prefix Given Name
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`Middle Name
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`Family Name
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`Suffix
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`HACKNEY
`Jason
`0 Non US Residency 0 Active US Military Service
`Residence Information (Select One) (!) US Residency
`I State/Province I CA
`I Country of Residence i I US
`City
`San Carlos
`
`Mailing Address of Inventor:
`
`c/o Genentech, Inc.
`
`Address 1
`Address 2
`1 DNA Way
`City
`I South San Francisco
`Postal Code
`1 94080-4990
`
`Inventor
`5
`Legal Name
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`I State/Province
`1 us
`I Country i
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`I CA
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`I Remove I
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`Prefix Given Name
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`Middle Name
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`Family Name
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`Suffix
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`YU
`Xin
`0 Non US Residency O Active US Military Service
`Residence Information (Select One) (!) US Residency
`I State/Province I CA
`I Country of Residence i I US
`City
`South San Francisco
`
`Mailing Address of Inventor:
`
`c/o Genentech, Inc.
`
`Address 1
`Address 2
`1 DNA Way
`City
`I South San Francisco
`Postal Code
`1 94080-4990
`
`6
`Inventor
`Legal Name
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`I State/Province
`1 us
`I Country i
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`I CA
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`I Remove I
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`Prefix Given Name
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`Middle Name
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`Family Name
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`Suffix
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`EATON
`Dan
`0 Non US Residency 0 Active US Military Service
`Residence Information (Select One) (!) US Residency
`I State/Province I CA
`I Country of Residence i I US
`City
`San Rafael
`
`EFS Web 2.2.6
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`Merck Ex. 1010
`Page 3 of 179
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`PTO/AIN14 (03-13)
`Approved for use through 01/31/2014. 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 it contains a valid 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`146393025904
`
`Application Number
`
`Title of Invention METHODS OF TREATING CANCER USING PD-1 AXIS BINDING ANTAGONISTS AND TIGIT INHIBITORS
`
`Mailing Address of Inventor:
`
`c/o Genentech, Inc.
`
`Address 1
`Address 2
`1 DNA Way
`City
`I South San Francisco
`I 94080-4990
`Postal Code
`
`7
`Inventor
`Legal Name
`
`I State/Province
`I us
`I Country i
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`I CA
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`I Remove I
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`Prefix Given Name
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`Middle Name
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`Family Name
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`Suffix
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`BOWLES
`Kristin
`0 Non US Residency 0 Active US Military Service
`Residence Information (Select One) (!) US Residency
`I State/Province I CA
`I Country of Residence i I US
`City
`South San Francisco
`
`Mailing Address of Inventor:
`
`c/o Genentech, Inc.
`
`Address 1
`Address 2
`1 DNA Way
`City
`I South San Francisco
`I 94080-4990
`Postal Code
`
`8
`Inventor
`Legal Name
`
`I State/Province
`I us
`I Country i
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`I CA
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`I Remove I
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`Prefix Given Name
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`Middle Name
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`Family Name
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`Suffix
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`COMPS-AGRAR
`Laetitia
`0 Non US Residency O Active US Military Service
`Residence Information (Select One) (!) US Residency
`I State/Province I CA
`I Country of Residence i I US
`City
`Foster City
`
`Mailing Address of Inventor:
`
`c/o Genentech, Inc.
`
`Address 1
`Address 2
`1 DNA Way
`I State/Province
`City
`I South San Francisco
`I 94080-4990
`I us
`I Country i
`Postal Code
`All Inventors Must Be Listed - Additional Inventor Information blocks may be
`generated within this form by selecting the Add button.
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`I CA
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`I
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`Add
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`I
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`Correspondence Information:
`Enter either Customer Number or complete the Correspondence Information section below.
`For further information see 37 CFR 1.33(a).
`
`An Address is being provided for the correspondence Information of this application.
`
`(cid:143)
`
`Customer Number
`
`I 25226
`
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`PTO/AIN14 (03-13)
`Approved for use through 01/31/2014. 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 it contains a valid 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`146393025904
`
`Application Number
`
`Title of Invention METHODS OF TREATING CANCER USING PD-1 AXIS BINDING ANTAGONISTS AND TIGIT INHIBITORS
`
`Email Address
`
`patentdocket@mofo.com
`
`Add Email
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`!Remove Email!
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`Application Information:
`METHODS OF TREATING CANCER USING PD-1 AXIS BINDING ANTAGONISTS AND TIGIT
`INHIBITORS
`Attorney Docket Number 146393025904
`
`I Small Entity Status Claimed
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`(cid:143)
`
`Title of the Invention
`
`Application Type
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`Subject Matter
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`Provisional
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`Utility
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`I 29
`
`I Suggested Figure for Publication (if any) I
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`Total Number of Drawing Sheets (if any)
`Publication Information:
`D Request Early Publication (Fee required at time of Request 37 CFR 1.219)
`Request Not to Publish. I hereby request that the attached application not be published under
`D 35 U.S.C. 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 months after filing.
`
`Representative Information:
`
`Representative information should be provided for all practitioners having a power of attorney in the application. Providing
`this information in the Application Data Sheet does not constitute a power of attorney in the application (see 37 CFR 1.32).
`Either enter Customer Number or complete the Representative Name section below. If both sections are completed the customer
`Number will be used for the Representative Information during processing.
`
`Please Select One:
`
`Customer Number
`
`® Customer Number
`25226
`
`I O US Patent Practitioner 10 Limited Recognition (37 CFR 11.9)
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`Domestic Benefit/National Stage Information:
`This section allows for the applicant to either claim benefit under 35 U.S.C. 119(e), 120, 121, or 365(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.
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`Prior Application Status
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`Continuity Type
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`by selecting the Add button.
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`Foreign Priority Information:
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`EFS Web 2.2.6
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`PTO/AIN14 (03-13)
`Approved for use through 01/31/2014. 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 it contains a valid 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`146393025904
`
`Application Number
`
`Title of Invention METHODS OF TREATING CANCER USING PD-1 AXIS BINDING ANTAGONISTS AND TIGIT INHIBITORS
`
`This section allows for the applicant to claim priority to a foreign application. Providing this information in the application data sheet
`constitutes the claim for priority as required by 35 U.S.C. 119(b) and 37 CFR 1.55(d). When priority is claimed to a foreign application
`that is eligible for retrieval under the priority document exchange program (POX) ithe information will be used by the Office to
`automatically attempt retrieval pursuant to 37 CFR 1.55(h)(1) and (2). Under the POX 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 application is filed, within the lime period specified in 37 CFR 1.55(g)(1 ).
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`Application Number
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`Country i
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`Filing Date (YYYY-MM-DD)
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`I Remove I
`Access Codei (if applicable)
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`Additional Foreign Priority Data may be generated within this form by selecting the
`Add button.
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`I Add I
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`Statement under 37 CFR 1.55 or 1.78 for AIA (First Inventor to File) Transition
`Applications
`
`This application (1) claims priority to or the benefit of an application filed before March 16, 2013 and (2) also
`D contains, or contained at any time, a claim to a claimed invention that has an effective filing date on or after March
`16, 2013.
`
`Authorization to Permit Access:
`D Authorization to Permit Access to the Instant Application by the Participating Offices
`If 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 World Intellectual Property Office (WIPO),
`and any other intellectual property offices in which a foreign application claiming priority to the instant patent application
`is filed access to the instant patent application. See 37 CFR 1.14(c) and (h). This box should not be checked if the applicant
`does not wish the EPO, JPO, KIPO, WIPO, or other intellectual property office in which a foreign application claiming priority
`to the instant patent application is filed to have access to the instant patent application.
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`In accordance with 37 CFR 1.14(h)(3), access will be provided to a copy of the instant patent application with respect
`to: 1) the instant patent application-as-filed; 2) any foreign application to which the instant patent application
`claims priority under 35 U.S.C. 119(a)-(d) if a copy of the foreign application that satisfies the certified copy requirement of
`37 CFR 1.55 has been filed in the instant patent application; and 3) any U.S. application-as-filed from which benefit is
`sought in the instant patent application.
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`PTO/AIN14 (03-13)
`Approved for use through 01/31/2014. 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 it contains a valid 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`146393025904
`
`Application Number
`
`Title of Invention METHODS OF TREATING CANCER USING PD-1 AXIS BINDING ANTAGONISTS AND TIGIT INHIBITORS
`
`Applicant Information:
`
`Providing assignment information in this section does not substitute for compliance with any requirement of part 3 of Title 37 of CFR
`to have an assignment recorded by the Office.
`
`I Remove I
`
`Applicant 1
`If the applicant is the inventor (or the remaining joint inventor or inventors under 37 CFR 1.45), this section should not be completed.
`The information to be provided in this section is the name and address of the legal representative who is the applicant under 37 CFR
`1.43; or the name and address of the assignee, person to whom the inventor is under an obligation to assign the invention, or person
`who otherwise shows sufficient proprietary interest in the matter who is the applicant under 37 CFR 1.46. If the applicant is an
`applicant under 37 CFR 1.46 (assignee, person to whom the inventor is obligated to assign, or person who otherwise shows sufficient
`proprietary interest) together with one or more joint inventors, then the joint inventor or inventors who are also the applicant should be
`identified in this section.
`
`Clear
`
`I
`lo Joint Inventor
`
`I
`
`(!) Assignee
`
`lo Legal Representative under 35 U.S.C. 117
`lo
`0 Person to whom the inventor is obligated to assign.
`If applicant is the legal representative, indicate the authority to file the patent application, the inventor is:
`
`Person who shows sufficient proprietary interest
`
`Name of the Deceased or Legally Incapacitated Inventor : I
`
`If the Applicant is an Organization check here.
`
`~
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`Organization Name
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`I Genentech, Inc.
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`Mailing Address Information:
`
`I
`
`Address 1
`
`Address 2
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`City
`Country ii us
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`Phone Number
`
`Email Address
`
`1 DNA Way
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`South San Francisco
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`State/Province
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`CA
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`Postal Code
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`Fax Number
`
`94080
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`Additional Applicant Data may be generated within this form by selecting the Add button.
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`I Add I
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`Non-Applicant Assignee Information:
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`Providing assignment information in this section does not subsitute for compliance with any requirement of part 3 of Tille 37 of CFR to
`have an assignment recorded by the Office.
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`

`PTO/AIN14 (03-13)
`Approved for use through 01/31/2014. 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 it contains a valid 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`146393025904
`
`Application Number
`
`Title of Invention METHODS OF TREATING CANCER USING PD-1 AXIS BINDING ANTAGONISTS AND TIGIT INHIBITORS
`
`Assignee 1
`
`Complete this section only if non-applicant assignee information is desired to be included on the patent application publication in
`accordance with 37 CFR 1.215(b). Do not include in this section an applicant under 37 CFR 1.46 (assignee, person to whom the
`inventor is obligated to assign, or person who otherwise shows sufficient proprietary interest), as the patent application publication will
`include the name of the applicant(s).
`
`If the Assignee is an Organization check here.
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`(cid:143)
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`Suffix
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`Mailing Address Information:
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`Address 1
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`Address 2
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`City
`Country i
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`I
`Phone Number
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`Email Address
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`I
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`Postal Code
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`Fax Number
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`Additional Assignee Data may be generated within this form by selecting the Add button.
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`Signature:
`NOTE: This form must be signed in accordance with 37 CFR 1.33. See 37 CFR 1.4 for signature requirements and
`certifications
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`Signature
`
`/Jie Zhou/
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`First Name
`
`Jie
`
`I Last Name I Zhou
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`Date (YYYY-MM-DD) 2014-05-12
`
`52395
`Registration Number
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`Additional Signature may be generated within this form by selecting the Add button.
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`This collection of information is required by 37 CFR 1.76. 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 23 minutes to complete, including gathering, preparing, and submitting the completed application data
`sheet 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, U.S. Department of Commerce, 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.
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`The information on this form will be treated confidentially to the extent allowed under the Freedom of Information Act (5 U.S.C. 552)
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`A record from this system of records may be disclosed, as a routine use, to a Federal, State, or local law enforcement agency, if the
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`1 AXIS BINDING ANTAGONISTS AND TIGIT INHIBITORS
`G CANCER USING PD-
`GAN et al
`Title: METHODS OF TREATIN
`Inventors: Jane N~~~et Assign~d
`
`Applicat1onNNo_ .. 146393025904
`Docket o ..
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`1/29
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`Merck Ex. 1010
`Page 10 of 179
`
`

`

`FIG. 2
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`Merck Ex. 1010
`Page 11 of 179
`
`

`

`Title: METHODS OF TREATING CANCER USING PD-1 AXIS BINDING ANTAGONISTS AND TIGIT INHIBITORS
`Inventors: Jane GROGAN et al.
`Application No.: Not Yet Assigned
`Docket No.: 146393025904
`
`3/29
`
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`Merck Ex. 1010
`Page 12 of 179
`
`

`

`FIG. 4
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`Merck Ex. 1010
`Page 13 of 179
`
`

`

`Title: METHODS OF TREATING CANCER USING PD-1 AXIS BINDING ANTAGONISTS AND TIGIT INHIBITORS
`Inventors: Jane GROGAN et al.
`Application No.: Not Yet Assigned
`Docket No.: 146393025904
`
`5/29
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`Merck Ex. 1010
`Page 14 of 179
`
`

`

`Title: METHODS OF TREATING CANCER USING PD-1 AXIS BINDING ANTAGONISTS AND TIGIT INHIBITORS
`Inventors: Jane GROGAN et al.
`Application No.: Not Yet Assigned
`Docket No.: 146393025904
`
`6/29
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`Merck Ex. 1010
`Page 15 of 179
`
`

`

`FIG. 7
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`Merck Ex. 1010
`Page 16 of 179
`
`

`

`Title: METHODS OF TREATING CANCER USING PD-1 AXIS BINDING ANTAGONISTS AND TIGIT INHIBITORS
`Inventors: Jane GROGAN et al.
`Application No.: Not Yet Assigned
`Docket No.: 146393025904
`
`8/29
`
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`Merck Ex. 1010
`Page 17 of 179
`
`

`

`Title: METHODS OF TREATING CANCER USING PD-1 AXIS BINDING ANTAGONISTS AND TIGIT INHIBITORS
`Inventors: Jane GROGAN et al.
`Application No.: Not Yet Assigned
`Docket No.: 146393025904
`
`9/29
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`Merck Ex. 1010
`Page 18 of 179
`
`

`

`Title: METHODS OF TREATING CANCER USING PD-1 AXIS BINDING ANTAGONISTS AND TIGIT INHIBITORS
`Inventors: Jane GROGAN et al.
`Application No.: Not Yet Assigned
`Docket No.: 146393025904
`
`10/29
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`Merck Ex. 1010
`Page 19 of 179
`
`

`

`Title: METHODS OF TREATING CANCER USING PD-1 AXIS BINDING ANTAGONISTS AND TIGIT INHIBITORS
`Inventors: Jane GROGAN et al.
`Application No.: Not Yet Assigned
`Docket No.: 146393025904
`
`11/29
`
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`Merck Ex. 1010
`Page 20 of 179
`
`

`

`Title: METHODS OF TREATING CANCER USING PD-1 AXIS BINDING ANTAGONISTS AND TIGIT INHIBITORS
`Inventors: Jane GROGAN et al.
`Application No.: Not Yet Assigned
`Docket No.: 146393025904
`
`12/29
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`Merck Ex. 1010
`Page 21 of 179
`
`

`

`Title: METHODS OF TREATING CANCER USING PD-1 AXIS BINDING ANTAGONISTS AND TIGIT INHIBITORS
`Inventors: Jane GROGAN et al.
`Application No.: Not Yet Assigned
`Docket No.: 146393025904
`
`13/29
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`LL
`
`'--r-.---"T---,----r-,~-±J§
`
`AN::ll
`
`SNl 6u,ure.1p
`-