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Read Moderna’s Filing With the United States Patent and Trademark Office

Moderna’s patent application names several employees as the sole inventors of a crucial component of its coronavirus vaccine, excluding three government scientists.

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DOCKET NO.: M1378.70145US07 IN THE UNITED STATES PATENT AND TRADEMARK OFFICE First Named Inventor: Application No.: Confirmation No.: Filed: For: Examiner: Art Unit: Mihir Metkar 17/000,215 4663 August 21, 2020 CORONAVIRUS RNA VACCINES J. J. Zara 1635 Certificate of Electronic Filing under 37 C.F.R. $ 1.8 Thereby certify that this paper (along with any paper referred to as being attached or enclosed) is being transmitted via the Office's electronic filing system in accordance with 37 C.F.R. $ 1.6(a)(4). Dated: July 28, 2021 Electronic Signature for: /Eileen M. Mackenzie/ MAIL STOP AMENDMENT Commissioner for Patents P.O. Box 1450 Alexandria, VA 22313-1450 STATEMENT FILED PURSUANT TO THE DUTY OF DISCLOSURE UNDER 37 C.F.R. S$ 1.56, 1.97 AND 1.98 Dear Commissioner: Pursuant to the duty of disclosure under 37 C.F.R. $$ 1.56, 1.97 and 1.98, the undersigned requests consideration of this Information Disclosure Statement. PART I: Compliance with 37 C.F.R. § 1.97 This Information Disclosure Statement has been filed before the mailing of a first Office Action after the filing of a Request for Continued Examination under 37 C.F.R. § 1.114. No fee or certification is required. PART II: Information Cited The undersigned hereby makes of record in the above-identified application the information listed on the attached form PTO-1449 (modified PTO/SB/08). The order of presentation of the references should not be construed as an indication of the importance of the references. The undersigned hereby makes the following additional information of record in the above-identified application. 9433840.1

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- 2 - Art Unit: 1635 Application No.: 17/000,215 Conf. No.: 4663 Pursuant to 37 C.F.R. § 1.56, Applicants disclose that their collaborators at the National Institutes of Health submitted John Mascola, M.D.; Barney Graham, M.D., Ph.D; and Kizzmekia Corbett, Ph.D. to Applicants as additional co-inventors of this patent application. However, Applicants have reached the good-faith determination that these individuals did not co-invent the mRNAs and mRNA compositions claimed in the present application. The undersigned would like to bring to the Examiner's attention the following co-pending applications that may contain subject matter related to this application: Serial No. Filing Date Inventor(s) Docket No. *16/036,318 07-16-2018 Ciaramella et al. M1378.70002USO5 *16/144,394 09-27-2018 Ciaramella et al. M1378.70002USO7 *17/204,801 03-17-2021 Ciaramella et al. M1378.70002US11 *16/853,973 04-21-2020 Ciaramella et al. M1378.70030US07 *16/850,519 04-16-2020 Ciaramella et al. M1378.70030US08 *A copy of this reference is not provided as the Office has waived the requirement under 37 C.F.R. § 1.98(a)(2)(iii) for submitting a copy of a cited U.S. patent application if it is scanned to the Image File Wrapper system and is available on Private PAIR. The undersigned would like to bring to the Examiner's attention the enclosed search report or other communication from a corresponding or related International or Foreign National Application: Serial No. Docket No. Date of Mailing Type(s) of Communication 05-03-2021 International Search Report and Written Opinion PCT/US2021/015145 M1378.70145W000 PART III: Remarks Documents cited anywhere in the Information Disclosure Statement are enclosed unless otherwise indicated. It is respectfully requested that: 1. The Examiner consider completely the cited information, along with any other information, in reaching a determination concerning the patentability of the present claims;

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- 3 - Art Unit: 1635 Application No.: 17/000,215 Conf. No.: 4663 2. The enclosed form PTO-1449 (modified PTO/SB/08) be signed by the Examiner to evidence that the cited information has been fully considered by the United States Patent and Trademark Office during the examination of this application; 3. The citations for the information be printed on any patent which issues from this application. By submitting this Information Disclosure Statement, the undersigned makes no representation that a search has been performed, of the extent of any search performed, or that more relevant information does not exist. By submitting this Information Disclosure Statement, the undersigned makes no representation that the information cited in the Statement is, or is considered to be, material to patentability as defined in 37 C.F.R. § 1.56(b). By submitting this Information Disclosure Statement, the undersigned makes no representation that the information cited in the Statement is, or is considered to be, in fact, prior art as defined by 35 U.S.C. § 102, or an admission by Applicant as prior art. Notwithstanding any statements by the undersigned, the Examiner is urged to form his or her own conclusion regarding the relevance of the cited information.

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- 4 Art Unit: 1635 Application No.: 17/000,215 Conf. No.: 4663 An early and favorable action is hereby requested. The Director is hereby authorized to charge any deficiency or credit any overpayment in the fees occasioned by the filing of this Information Disclosure Statement to our Deposit Account No. 23/2825 under Docket No. M1378.70145US07 from which the undersigned is authorized to draw. Respectfully submitted, By:__/Helen C. Lockhart/ Helen C. Lockhart Registration No.: 39,248 WOLF, GREENFIELD & SACKS, P.C. 600 Atlantic Avenue Boston, Massachusetts 02210-2206 617.646.8000 Docket No.: M1378.70145US07 Date: July 28, 2021

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