a a TO PTO RRS aa FR
Appicaon Number 121642, 658
INFORMATION DISCLOSURE Filing Date ‘March 15, 2013
‘STATEMENT BY APPLICANT First Named Inventor Jennifer DOUDNA et ai.
(use 28 many sheets as necessary) Examiner Name | Michele K: JOIKE:
‘Arne Becket No” 0064483-00000
shen _t_of_7
U.S. PATENT DOCUMENTS:
=xaminer Jecument Number- lame of Pat ‘or Applicant Fages, Columns, Lines
Sime | "na Coce seed Docent _| Wee eon Pansges
ors-oo20225 4-15-2016 | Fong ZHANG eta
Bors-o0stise 01-26-2018 | Feng ZHANG ot a
[== poiscmnsere 07-23-2015 | Feng ZHANG.
p016-0232882 08-20-2015 | Feng 2HANG ota
Bors.o16439 07-02-2015 | Feng ZHANG ot a
pors.0247150 09-03-2018 | Feng ?HANG eta
[——hors-o232089 08-20-2045 Vames DAFLMAN ofa.
2075-0050609 | 02-19-2015 \Virginijus SIKSNYS et al.
pois.020026% 08-27-2018 |Viginjus SIKSNYS et a.
[9,023,649 (05-05-2015 [Prashant G. MALI et al. ]
pors-007 1680 03-12-2018 [Kran MUSUNURU ot |
pors.0732035 08-20-2018 [Prashant G. MAL al
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Bora.o294773 10-02-2014 [Sian Johan Joze? BROUNS eral
pors-onaaa 01-22-2015 [Sian Johan Joze? BROUNS e
1015-0128307_ 05-07-2015 Lakshmi SASTRY-DENT et al
pois 0728808 05-07-2015 [Lakshmi SASTRV-DENT eta.
ors.0126300| 05-07-2015 [Lakshmi SASTRY-DENTTef al
pots.0240263 "06-27-2015 [Michael HOLMES a. _
f013.0308670 #1212013 [David FRENDEWEY eta.
ois-015s174 36-11-2018 [David FRENDEWEY et a.
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140235033 08-21-2014 Veffey D LEE eta.
bo1s.0031089| 04-28.2018 [Derek Loe LINDSTROM
pore.0386867 12:04-2014 [Brian Jon PETER oto.
pors-021 1086 07-30-2015 ~~ [Carsten-Pefer CARSTENS
ois.0126300 05-07-2016 [Soren WARMING ete.
Boia. 0349405 14-27-2014 erie. SONTHEIMER ofa.
Bois.o2sz60t 08-20-2016 ~~ [Wexandra, GLUGKSMANN ofa
pots-0225601 08-19-2016 [Cong CATatal
075:0250684 08-17-2018 [George M. CHURCH etal.
016.0259704 00-17-2016 [George W. CHURGH eta.
2046.0267776 09-26-2015, jae Keith JOUNG ef
{~ 2015-0267205 09-24-2015 [Steven FROELICH et al.
[ 1015-0291961 10-15-2015, Virginijus SIKSNYS et al.
i015-0265265 10:08:2015 [Sholom PEYMAN
Bois.a2ea727 40-08-2015 [in-So0 Kit ot a.
Bo1s-0287965 70-15-2018 [Fang ZHANG eta.
i016-0297966 10-18-2015 Feng ZHANG et al
pis.0201869 10-15-2018 [Ramesh 6. NAIR ef al.
Same - Owe
Sonus Cone
EXAMINER Taal TTararcn Considered, Whether ot elaton in conformance with MPEP. § 60S. Oraw Tine Urough elation Worn conformance
‘and not considered. Include copy of Ns form with next communication to Applicant
ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. /MKJI‘Siti rtm PTORBIBa ad TOROS Complete Roan
‘pplication Number 197642, 659
INFORMATION DISCLOSURE Filing Date March 15, 2013,
STATEMENT BY APPLICANT First Named inventor “Jennifer DOUDNA ef a
(se a= many sheets as necessan) Examiner Name Michele K JOIKE.
‘Atomey Docket No. ‘0084843-00000%
Sheet_2 of 7
(07010076087 03-25-2070 [Ek J. Sontheimer ot af
[201170180776 (08-04-2011 [Rebecca Terns et al
B11734,256 [72-06-2072 IFugiang Chen
[51758624 04-30-2013 [Fugiang Chen
[61761046 (02-05-2013 [Scott Knight
[p1794,422 03-15-2013 [Scott Knight a]
[b11735,876 12-11-2012 [Blake A. Wiedenheft
[p17799,531 03-15-2013 [Blake A. Wiedenhoft
[517738,355 2-17-2012 (George M. Church 7
[B1779, 169 03-13-2013 Prashant Mali
[611613,373 03-20-2012
611625,420 04-17-2012
(00370186238 0-02-2003 (Alwi st ar
7201070055798 03-04-2010 Thomas R. Battersby
200670234247 70-18-2006 IMadaiah Puttaraju
983,233, (03-31-2015 (Zhang ef al. 7
989,641 (04-07-2015 [Zhang ef al t —
FOREIGN PATENT DOCUMENTS
Foreign Patent Document STATUS
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was’ | commcatgemes | ieans oma EVP ag |] 2] a |osser
Wo H0ToTN6sT08 [05-14-2010 — | Univerly af Goole
WO 20%4/053479” | 06-18-2014 [Montana State Unversiy
Wo 20%1/ta6121 | 1-24-2011 | Sengamo Biosciences Inc
a arn ea Ba ch
NON-PATENT LITERATURE DOCUMENTS
ae THluGe Tare The author (n CAPTTAL LETTERS), te af he acl (when appropiate), ile oe Ram (Boer, magazine
ery ural, seal, symposium, catalog, et), date, poge(6),velumevssue numbers), publisher, ckyenclorcounly where
published
1 [information Disclosure Statement for U.S. Application No, 14/104,990 filed September 4, 2016.
Federal Circuit decision in Dow Chemical Co. v. Nova Chemicals Gorp. Appeal Nos. 2014-1431,
[2014-1462 (Fed. Cir, August 28, 2015) (Dow v. Nova).
3 Baker, Gene Editing at CRISPR Speed, 32(4) NATURE BIOTECHNOLOGY 309-312 (April 4, 2074)
INtukhopadyay, “On the Same Wavelength, ASBMBTODAY (August 2074), available at
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IConnor, "Scientific split- the human genome breakthrough dividing former colleagues,” THE
5 [NOEPENOENT, Friday 25 April 20 14, avaiable
Inttp:siwiww independent.co.uk/news/science/scientiic-split-the-human-genome-breakthrough-
ldividing-former-colleagues-9300456 htmi(printed September 14, 2015).
earner Bate
Signature Considered
FEXANINER: [ial veleratcn Considered, whether o7 not lation in confaimance with HLPLE-P. § 609. Dvaw ine Iiough Glation Waal conformance
fad not considered, Include copy ofthis form with next communication to Applicant.
ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. /MKJ/‘Sate or toms PORES Bad PTOSEORS Campate i Krewe
‘Application Number 13/842,869
INFORMATION DISCLOSURE Filing Date March 15, 2013)
‘STATEMENT BY APPLICANT First Named Inventor ‘Jennifer DOUDNA ef af
(use as many sheets 2s necessary) Examiner Name Michele K. JOKE
‘Atlomey Docket No. (0084443-000001|
3 of 7
NON-PATENT LITERATURE DOCUMENTS
Tihige rare of he aur (a CAPITAL LETTERS), feof the ariel (when sporeprate), ite of he Wei (book magazine
a ‘pura saa oyroostan caldoy et) dae page(s), vue eoun nner pobieer, ety adr county where
aubised
lishimasu et al., Crystal Structure of Staphylococcus aureus Cas9, 162(5) CeLL, 1113-1126 (August|
8 by. 201 §).
7 [Third Party Observations Conceming EP Application No. 13793997.1, September 4, 2015,
8 [information Disclosure Statement for U.S. Application No. 14/105,035 filed September 10, 2016.
[PowerPoint slide entitled “Development and Applications of CRISPR-Caso for Genome Editing”
ldated September 9, 2016.
10 PowerPoint slide entitled "Interview 9 September 2015."
15 _|Selected Claims of Applications Being Interviewed 9 September 2016.
(Bhaya et al, ORISPR/Oas Systems in Bacteria and Archaea Versatile Small RNAS for Adeptive
IDefense and Regulation, 45 ANNUAL REVIEW OF GENETICS 273-297 (2011).
[Deveau ef al, CRISPR/Cas and Ils Role in Phage-Bacteria Interactions, 64 ANNUAL REVIEW OF
IMicroiou, 475-493 (2010).
18 [Office Action issued in Application No. 14/705,719, dated September 2, 2015.
16
7
19 [Preliminary Amendment fled in Application No. 14/683,443, dated June 18, 2015.
[UK intellectual Property Office (UKIPO) Examination Report for GB1420270.9 issued August 17,
12015.
21 _ {Third Party Observations fled for GB1420270.9 on July 13, 2016.
20
23. [Preliminary Amendment filed in Application No. 14/681,510, dated August 19, 2015,
24 [Exhibit 0, Interview Agenda for September 9, 2015 interview.
[Ex E, Zhang/Broad Application No_14/105,031 as Doudna Provisional Application Nos.
7852, 086 and 617 falfo Teach or Suggest Claimed Invention
= [Exhibit F, Zneng/Broad Appication No. 14/105,036 as Doudna Provisional Application Nos
2
lexnibit G, Zhang/Broad Application No. 14/704,551 as Doudna Provisional Application Nos.
rOee a m =
Dale
Considered
EXAMINER TVA Wierence considered, whether or not ciation & ha eanfermance wih MPEP. §608. Craw ine Waugh cation nat eanformance
‘ang not considered, Inclice py of is form with next Communication to Applicant
‘ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. /MKJIaes PORE od TODOS Campa Rnown
aon Number 137642,859
INFORMATION DISCLOSURE ng Date March 15, 2013
STATEMENT BY APPLICANT First Named Inventor Jennifer DOUDNA et ai.
(ove as many sheets 28 necessary) Examiner Name Michele K JOKE
‘Attorney Docket No (0084443-000001 J
Sheet 4 of 7
NON-PATENT LITERATURE DOCUMENTS
cane Trude Ta Oe avo e CRPVAC ETERS), sate ATIC When sppropraa), ie eam ook, magazin
marie Vural eet symm cg, sc) ele, eee) vane monastery dor eu were
pub
lExhibit H, Zhang/Broad Application No. 14/497,627 as Doudna Provisional Application Nos.
an 286 Fall'o Teath or Suggest Claimed Invention:
[Exhibitl, ZhangiBroad Application No. 14/104,990 as Doudna Provisional AppIeaton NOS.
Ebi ad Te Ree Pao Tosh or Comer Chained enon
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Ga Bupplementatinformaton Disclosure Statement for Application No, 74705,037 fled Seplember 4,
bots.
34 [Response to Office Action for U.S. Application No. 14/704,651 filed October 2, 2016.
35 [Response to Final Rejection for U.S. Application No, 14/481,338 fled October 2, 2016.
36 [Response to Office Action for U.S. Application No, 14/705,719 fled October 2, 2016,
G7 [ntermation Discosure Slatement ard Inleview Summary for US. Application No, 147104 900 fied
Joctober 2, 2015
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“42 [Emais from Thomas J. Kowalski to USPTO Personnel, dated October 12, 2015 (80 pages)
43 _ [Advisory Action for U.S. Patent Application No. 14/481,399, dated October 23, 2015
“a [Response to Final Office Action and interview Summary for US. Patent Appieation No, 14481,338,
fled October 30, 2018
[Exhibit C5, Zhang/Broad Appicalion No, 147105,035 as A Demonstration thatthe Final Office Action
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during in Vivo Bacterial infection, Ceu. Host & MicROBE 12:177-86 (2012)
Srariner Date
Signature Considered
“EXAMINER. TT H reference considered, whether ar nol aaion eh convommanea wih MPEP, § 608, Draw ine tough cation not conformance
‘2nd not consideree. Include copy of this focm wih net communication to Applicant.
ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH, /MKA![ Sct orfoom PTOI aod PTOSEI Conpiete i Known
‘Applcaon Number 191042859,
INFORMATION DISCLOSURE Fring Date March 16, 2013
STATEMENT BY APPLICANT First Named Inver “Jennifer DOUDNA eta
(use as many shets os nacesany) Examiner Name Wichele K, JOIKE
Atiomey Docket Na ‘0084449-000008
Sheet 5 of 7
NON-PATENT LITERATURE DOCUMENTS
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arin esis, se 6) am, pa) arm nmr) ts ly ear ew
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aa Date
Strate onaaree
EXAMINER [nie Telaronce COnaISarad, whether oF nol ctation in conformande with M-PLEP_ § 608. Dvaw ine Trough elation Wot conformance
‘and not considered. Inlode copy ofthis orm wit next communication to Appian
ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. /MKJ!Soba tam POR and PTOTSEES Complete WKrown
‘Application Number 134842,659
INFORMATION DISCLOSURE Filing Date March 15, 2013
STATEMENT BY APPLICANT First Named inventor Jennifer DOUDNA et
{se se many shee as necessary) Examiner Name Miche'e K. JOKE,
‘Attomey Docket No (0084443-000001
Sheet _6 of 7
NON-PATENT LITERATURE DOCUMENTS.
Donner Thode wate he author (i CAPITAL LETTERS), oof ala (when appropiate), We of ie Rem Book magazin,
— [ural eral, symposium, catalog, et), date, page(s), vlume-ssue rumber(s), publisher, ety andor cour were
published.
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Eraminer oat
Signature Consideres
SEXARINER Ta Terence consldered,whelher oF Fel Salon in canfannance with MPE
‘F6GO. Draw ine Hough elation Wot conformance
‘and not considered. nude copy of ths form wih next communication to Applicant
ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. /MKA!isn roms PFO and TONERS Campiete TRown
‘Application Number 131842, 859
INFORMATION DISCLOSURE Filing Date March 15, 2013
STATEMENT BY APPLICANT First Named inventor Jennifer DOUDNA af a
{use as many sheets as necessary) Examiner Name Michele K_JOIKE
‘Attorney Docket No (0084443-000001
Sheet_7 of 7
NON-PATENT LITERATURE DOCUMENTS
a TreoGe aie he Bur Te CRPTTAC LETTERS), We Wis aS (wh Sapp), fh Tam ook, agar
ae ia teral spe, alg ee) ete, gee) vre-anve mumae) pba andor eau wre
publ
Vecombinase, 36(17) Nuc, AGIOS RES, 7668-76 (2011)
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ea PCR Applications Manual 3° Eaition, Roche Diagnostics GmbH 1-240 (2006)
Sarit Date
Signature | Michele Joikel Consideros ‘anereots
EXAMINER. Till retarence considered, wale not ciation in conformance wih MPEP. § 608” Draw ine Wirough Gaon Watin conformance
‘and not considered. Incude copy o his form with nest communication to Applicant,
‘ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. /MKJISa on OST oe FORTS Canaan
Fopicaon Nae Tareas
INFORMATION DISCLOSURE Filing Oate ‘March 15, 2013
STATEMENT BY APPLICANT —_[ Fist Naredinvenor [Jenner DOUDNA oa
(ue ermary sheet a essay) Examine Name itchalek JOKE
iitmey Dosket Na 20843-09007
Shoot_t_ot_ 3
U.S. PATENT DOCUMENTS
‘Examiner | Document Number Publication De Name ofPatente or Apaticant | yraaee, counts Tes
‘ao ‘one aeoorne Guest nt van Posies
TB ATT (Fed 07-02-2073) [Fang ZAANG ea.
Bv756 466 (Filed 07-30-2013) [Feng ZHANG et al.
7765046 (Fed 02-25-2013) Feng ZHANG ef a.
7751 a0 (Fed 03-15-2013) eng ZHANG ef a
602.474 | — (Fed 03-15-2013) Feng ZHANG eta.
706 375 (Fed 03-26-2013) Feng ZHANG ef a
Bve14 263 Fed 04-20-2013) [Fong ZHANG of a
SIEKIE (Fed 05-06-2018) Feng ZHANG eta.
Fve2a. 120, (led 05-78-2018) Feng ZHANG eta.
51695.831 (Fed 05-17-2013) Feng ZHANG eta.
Fe36.127 (Fed 05-17-2013) Feng ZHANG eta.
Barina (Fed 0-73-2012) —ir-Soo KM eta
7000.509 (Fed 03-20-2013) —|ih-Soo KiMfet a
Bs1637 461 Fed 06-20-2013) —[in-Soo Kilo
rabee.7e2 (Fed 11-16-2018) [Dou etal
FOREIGN PATENT DOCUMENTS
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NON-PATENT LITERATURE DOCUMENTS
Teannar | te nae dh ao: CABAL LETTERS) le he ae hen oppapiin) Se le Ron fok mga,
ie ib ympsion cng} ete poqtl wane sev ron) ahr ty sr cunt tee pares
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NIH) Research Grant No. 1RO1OKOB7768.01 submited by The Broad insite, Inc, published 6 October
at
‘Campeau ef al_, “A versatile viral system for expression and depletion of proteins in mammalian cells," PLoS
one, s(@), 6529 (2008)
Fnov eta. “Gener edHiig Wit enghieered ave Tiger NICEREEE” Wat Rav. Genel, T1SIES (20T0)
Sriovi la WoaTed gateway ste Tor double snRNA expression and Grex based gene
[eipression* Bide Biotechnol, 11:24 2011)
ang and Sander “TALENG: @ widely applicable tehndlogy Tr argeled genome eaiing? Nat Rav. Mal Ge
Bor 44:49:85 (2013)
[eam oa
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“EXARANER ial WToTSneeconederod, whether 6 at elaon fn eonfomance win MPEP. § 608. Daw ie inveugh Gaon Wnat i cotarmance
‘ndnot considered, Inde copy of form with next conmureatio to Applicant
ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. /MKJ/‘EA Teo PYOSSDEG and TORBIS amelie Row
‘Appiicaion Number ¥97042,059
INFORMATION DISCLOSURE Filing Date ‘March 15, 2073
STATEMENT BY APPLICANT First Named invertor ‘Jennifer DOUDNA of al
(use as many sheets as necessan) Examiner Namo Micnela K.JOIKE
‘Attomay Docket Ne ‘008¢443-000001
Shoot 2 of 3
NON-PATENT LITERATURE DOCUMENTS,
Erammer | induce rare othe alhor fn GAPITAL LETTERS), te fhe aril when appropiate), leo the hem (bak, magazine, joural,
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