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DOCS_DE:201382.1

IN THE UNITED STATES BANKRUPTCY COURT

FOR THE DISTRICT DELAWARE

In re: RESPONSE GENETICS, INC., 1

Debtor.

)))))

Chapter 11 Case No. 15-11663 (LSS) Related Docket No. 39

NOTICE OF FILING OF THE SCHEDULES TO THE ASSET PURCHASE AGREEMENT

On August 14, 2015, the above-captioned debtors and debtors in possession

(collectively, the “Debtors”) filed the Motion for Order (A) Approving Asset Purchase

Agreement and Authorizing the Sale of Substantially All of the Debtor’s Assets; (B) Authorizing

the Sale of Assets Free and Clear of All Liens, Claims, Rights, Encumbrances and Other

Interests Pursuant to Bankruptcy Code Sections 105, 363(b), 363(f) and 363(m); (C) Assuming

and Assigning Certain Executory Contracts and Unexpired Leases; and (D) Granting Related

Relief [Docket No. 39] (the “Sale Motion”) with the United States Bankruptcy Court for the

District of Delaware, 824 Market Street, Wilmington, Delaware 19801.

The Schedules have been agreed to by the parties and, as a result, neither the

Seller nor the Buyer has the right to terminate the Asset Purchase Agreement under Section

7.1(h) of the Asset Purchase Agreement.

Annexed hereto are the Schedules to the Asset Purchase Agreement filed as

Exhibit A to the Sale Motion.

1 The last four digits of the Debtor’s tax identification number are 5548. The location of the Debtor’s

headquarters and service address is 1640 Marengo St., 7th Floor, Los Angeles, CA 90033.

Case 15-11663-LSS Doc 53 Filed 08/24/15 of 2

2 DOCS_DE:201382.1

Dated: August 24, 2015 PACHULSKI STANG ZIEHL & JONES LLP /s/ James E. O’Neill Jeffrey N. Pomerantz (CA Bar No. 143717) Ira D. Kharasch (CA Bar No. 109084) James E. O’Neill (Bar No. 4042) John W. Lucas (CA Bar No. 271038) 919 North Market Street, 17th Floor P.O. Box 8705 Wilmington, DE 19899-8705 (Courier 19801) Telephone: (302) 652-4100 Facsimile: (302) 652-4400 E-mail: [email protected] [email protected] [email protected] [email protected] Proposed Counsel for Debtor and Debtor in Possession

Case 15-11663-LSS Doc 53 Filed 08/24/15 of 2

Schedule 1.1(a)

Real Property Leases

1. Office Lease Agreement, dated September 16, 2004, by and between Health Research

Association, Inc. and the Seller , as amended on February 1, 2006, January 28, 2010, March 31,

2010, March 4, 2011, August 19, 2011, August 30, 2011, May 7, 2012, June 28, 2012, February

3, 2014, and June 30, 2015. (“LA Lease”).

2. Lease of Parking Spaces, dated as of February 3, 2014 and amended effective May 1, 2015, by

and between University of Southern California and the Seller.

Case 15-11663-LSS Doc 53-1 Filed 08/24/15 Page 1 of 44

Schedule 1.1(b)

KL2 2912464.2

Assumed Contracts


Schedule 1.1(b)

KL2 2912464.2


Supplemental Schedule 1.1 (b) Medical-Related



2 of 31



3 of 31



4 of 31



5 of 31



6 of 31



7 of 31



8 of 31



9 of 31



10 of 31



11 of 31



12 of 31



13 of 31



14 of 31



15 of 31



16 of 31



17 of 31



18 of 31



19 of 31



20 of 31



21 of 31



22 of 31



23 of 31



24 of 31



25 of 31


Supplemental Schedule 1.1 (b) Research Studies

26 of 31


Supplemental Schedule 1.1 (b) Third Party-Vendors

27 of 31


Supplemental Schedule 1.1 (b) Third Party-Vendors

28 of 31


Supplemental Schedule 1.1 (b) RGI Corp Agreements

29 of 31


Supplemental Schedule 1.1 (b) Managed Care Contracts

30 of 31


Supplemental Schedule 1.1 (b) Retainer Agrmnts

31 of 31


Schedule 1.1(f)

Included Pharma Receivables

All Accounts Receivable related to pharmaceutical or biotechnology companies in support of

clinical trials.


Schedule 1.1(o)

KL2 2912413.3

Included Avoidance Actions

Each Transferred Employee and each counterparty to each Assumed Contract and each Assumed

Lease.


Schedule 1.2

KL2 2912413.3

Excluded Assets

1. Patent License Agreement dated November 3, 2004 by and between the Seller and Roche.


Schedule 1.3(a)(ii)

KL2 2912413.3

Unpaid Sick Pay, Vacation and Other Paid Time Off

Purchaser will assume only unpaid sick pay, vacation and other paid time off owing by Seller as

of the Closing with respect to Transferred Employees.


Schedule 4.1 (b)

None.


Schedule 4.3 (1)

Access to Information (Employees - Supervised)


Schedule 4.3 (1)

Access to Information (Employees – Unsupervised*)


Schedule 4.6(b)

KL2 2912413.3

Transfer Employee Credit

To the extent that length of employment service is relevant for purposes of eligibility or vesting

under any employee benefit plan, program or arrangement established or maintained by

Purchaser and provided to the Transferred Employees (excluding any equity-related plan,

program or arrangement), Purchaser shall credit the Transferred Employees under such plan,

program or arrangement for service on or prior to the Closing with Seller as service with

Purchaser to the extent Seller recognized such service under any comparable plan, program or

arrangement of Seller.


Schedule 4.8

KL2 2912413.3

Access to Personnel

1. Panna Sharma, President and Chief Executive Officer

2. Edward Sitar, Chief Financial Officer and Treasurer

3. To the extent the following become Transferred Employees, the following individuals:


Seller Disclosure Schedule

Capitalized terms used herein that are not otherwise defined herein shall have the

meaning ascribed to them in that certain Asset Purchase Agreement dated as of

August 9, 2015, by and between Response Genetics, Inc., as Seller, and Cancer Genetics,

Inc., as Purchaser.

Section 2.2: No Conflict; Required Filings and Consents.

(a) Required Consents, Notice, Waivers, Right of Termination, Amendment,

Acceleration, Loss of Benefits under Contracts:

i. Credit agreement, dated July 30, 2014, by and between the Seller,

SWK Funding LLC, as the agent, and the lenders (including SWK

Funding LLC) party thereto from time to time, as amended on

February 3, 2015, April 3, 2015, June 25, 2015, and August 4,

2015.

ii. Loan and Security Agreement, dated July 26, 2011, by and

between Silicon Valley Bank and the Seller, as amended “SVB

Loan Agreement”).

iii. Office Lease Agreement, dated September 16, 2004, by and

between Health Research Association, Inc. and the Seller , as

amended on February 1, 2006, January 28, 2010, March 31, 2010,

March 4, 2011, August 19, 2011, August 30, 2011, May 7, 2012,

June 28, 2012, February 3, 2014, and June 30, 2015. (“LA Lease”).

iv. Option and License Agreement (USC File 2860), effective as of

April 19, 2000, by and between the University of Southern

California and the Seller.

v. PCR Patent License Agreement, dated as of November 16, 2004,

by and between Roche Molecular Systems, Inc. and the Seller.

vi. License Agreement, dated as of November 23, 2004, by and

between the Seller and Roche Molecular Systems, Inc.

vii. Clinical Study Agreement (in relation to RealTime MAGEA3

Melanoma Bridging Study, Protocol No. V560-02-11C11-01),

dated as of May 9, 2012, by and between Abbott Molecular Inc.

and the Seller, as amended.

viii. Clinical Study Agreement (in relation to RealTime MAGEA3

NSCLS Bridging Study, Protocol No. V560-02-10C02-01), dated


as of May 24, 2012, by and between Abbott Molecular Inc. and the

Seller.

ix. Second Amended and Restated Master Services Agreement, dated

July 26, 2012 and made effective as of May 15, 2012, by and

between Glaxosmithkline Biologicals S.A. (“GSK Bio”) and the

Seller, as amended.

x. Non-Exclusive License Agreement, entered into March 5, 2010, by

and between GlaxoSmithKline LLC (“GSK US”) and the Seller.

xi. Agreement, effective April 15, 2014, by and between Oregon

Health & Science University, Knight Diagnostic Laboratories

(“OHSU”) and the Seller.

xii. Services Agreement, dated November 21, 2013, by and between

Pfizer Inc. and the Seller.

xiii. Data License Agreement, entered into as of September 17, 2014,

by and between Pfizer Inc. and the Seller, as amended March 1,

2015.

xiv. Agreement of Collaboration, dated March 5, 2007, by and between

Shanghai Biochip Company, Ltd. and the Seller.

xv. Abbott Molecular Reagent Acquisition Agreement, dated

December 15, 2011, by and between Abbott Laboratories Inc. and

the Seller, as amended on May 4, 2012 (supply agreement).

xvi. Managed Care Agreements – Almost all managed care agreements

that the Seller is a party to have anti-assignment provisions that

require the Seller to get consent to assign or transfer the agreement.

i. Allied & Ancillary Provider Agreement, dated March 25,

2013, by and between California Physicians’ Service, dba

Blue Shield of California and the Seller.

ii. Ancillary Medical Services Agreement, dated January 1,

2014, by and between Group Health Cooperative and the

Seller.

iii. Three Rivers Provider Network Agreement, dated as of

August 1, 2013, by and between Three Rivers Provider

Network, Inc. and the Seller.


iv. Blue Cross and Blue Shield of Arizona Standard

Participation Agreement, effective as of October 15, 2013,

by and between Blue Cross and Blue Shield of Arizona,

Inc. (“BCBSAZ”) and the Seller.

v. Provider Agreement for Participation in Maryland Medical

Assistance Program, effective date July 1, 2013, by and

between Maryland Medical Assistance Program and the

Seller.

vi. Participating Provider Agreement, effective as of October

1, 2013, by and between America’s Choice Provider

Network, Inc. d/b/a ACPN and the Seller.

vii. Participating Provider Agreement, effective June 1, 2013,

by and between BlueCross BlueShield of Illinois and the

Seller.

viii. Blue Cross and Blue Shield of Minnesota 2013 Aware

Provider Service Agreement, effective as of October 18,

2013, by and between BlueCross BlueShield BluePlus of

Minnesota and the Seller.

ix. Blue Cross and Blue Shield of Nebraska Provider

Agreement, dated as of November 11, 2013, by and

between Blue Cross and Blue Shield of Nebraska and the

Seller.

x. Master Ancillary Provider Participation Agreement,

effective as of March 6, 2013, by and between Group

Hospitalization and Medical Services, Inc. and CareFirst of

Maryland, Inc. and the Seller.

xi. FedMed Participating Facility Network Agreement, dated

as of September 1, 2013, by and between FedMed, Inc. and

the Seller.

xii. Facility Agreement, dated as of November 1, 2013, by and

between Managed Care, Incorporated dba Galaxy Health

Network and the Seller.

xiii. Network Provider Laboratory Contract, dated November

26, 2013, by and between HealthChoice Employees Group

Insurance Division and the Seller.


xiv. MPI Participating Ancillary Agreement, effective as of July

15, 2013, by and between MultiPlan, Inc. and the Seller.

xv. Provider Participation Agreement, dated November 13,

2013, by and between Prime Health Services, Inc. and the

Seller.

xvi. Agreement for Participation Illinois Medical Assistance

Program, dated May 20, 2013, by and between the Illinois

Department of Healthcare and Family Services and the

Seller.

xvii. Tufts Associated Health Maintenance Organization,

Inc./Total Health Plan, Inc. Allied Health Services Provider

Agreement, dated December 1, 2013, by and between Tufts

Associated Health Maintenance Organization, Inc. and

Total Health Plan, Inc. and the Seller.

xviii. Entity Services Agreement, dated November 21, 2013, by

and between Wellmark, Inc. dba Wellmark Blue Cross and

Blue Shield of Iowa and the Seller.

xix. Entity Services HMO Agreement, dated November 21,

2013, by and between Wellmark Health Plan of Iowa, Inc.

and the Seller, as amended.

xx. Entity Services Agreement, dated November 21, 2013, by

and between Wellmark of South Dakota, Inc. and the

Seller.

xvii. Notice to each Medicare program RGI participates in – notice

xviii. Notice to each state where the Seller is licensed to provide

laboratory services:

i. New York

ii. California

iii. Florida

iv. Rhode Island

v. Pennsylvania


Section 2.3: Seller Products; Permits.

(b) None

Section 2.4: SEC Filings:

Seller has not filed Form 10-Q for the period ended June 30, 2015.

Section 2.5: Absence of Litigation.

(a) Lisa Bryan v. Response Genetics, Inc.: On March 9, 2015, a former employee

that was terminated in February 2014 filed a complaint in the Superior Court of

the State of California, County of Los Angeles. The complaint alleges wrongful

termination in violation of state and federal disability discrimination laws.

Although we believe the claim has no merit, the claim is covered by the Seller’s

insurance provider at the time of events, CNA, and we have reported the claim to

CNA. The Seller has chosen Littler Mendelson to handle this matter.

(b) Spaulding Science Group LLC v. Response Genetics, Inc.: On May 7, 2014,

Spaulding filed a breach of contract claim with the Superior Court of California,

County of Los Angeles. The claim is for $25,000. It is based on a fee dispute.

Section 2.6: Compliance With Laws.

On June 5, 2015, the Seller received a letter from the Parrish Law Offices alleging that

the Company was not in compliance with the 14-day rule Medicare Regulations. Upon

investigation and both oral and written communication with the Parrish Law Offices, the

Company believes it has effectively addressed the issues alleged in the letter.

Section 2.7: Labor and Employment Matters.

(a) Lisa Bryan v. Response Genetics, Inc.: On March 9, 2015, a former

employee that was terminated in February 2014 filed a complaint in the

Superior Court of the State of California, County of Los Angeles. The

complaint alleges wrongful termination in violation of state and federal

disability discrimination laws. Although we believe the claim has no

merit, the claim is covered by the Seller’s insurance provider at the time of

events, CNA, and we have reported the claim to CNA. The Seller has

chosen Littler Mendelson to handle this matter.

(c) Employment Agreement Related Obligations:


(d) See attached.

(e) List of Separated Employees – See attached.

(f) Refer to schedule 2.7(c). Seller’s outstanding stock options vest/accelerate upon a

change of control per employment agreements. Restricted Stock pursuant to T.

Bologna employment contract also vests upon COC.

(g) None.

(h) See attached.

Section 2.8: Intellectual Property.

(a) No schedule required.

(b) See attached schedules.

Liens or Encumbrances on Intellectual Property:

i. Credit agreement, dated July 30, 2014, by and between the Seller,

SWK Funding LLC, as the agent, and the lenders (including SWK

Funding LLC) party thereto from time to time, as amended on

February 3, 2015 and April 3, 2015.


ii. Loan and Security Agreement, dated July 26, 2011, by and between

Silicon Valley Bank and the Seller, as amended.

(c) Granted License/Royalty:

(i) Option and License Agreement (USC File 2860), effective as of

April 19, 2000, by and between the University of Southern

California and the Seller.

(ii) License Agreement, dated as of November 23, 2004, by and

between the Seller and Roche Molecular Systems, Inc.

(iii) Non-Exclusive License Agreement, entered into March 5, 2010, by

and between GlaxoSmithKline LLC and the Seller.

(iv) Agreement of Collaboration, dated March 5, 2007, by and between

Shanghai Biochip, Ltd. and the Seller.

(e) Third Party Intellectual Property:

As set forth in Section 5.05(a), the Seller is required to obtain consent for

the proposed merger from certain of its licensors such as USC and Roche.

(f) Infringement Letters:

(i) Letter, dated June 24, 2013, from Philipp Hugo of Qiagen.

(ii) Letter, dated September 17, 2012, from Kathryn Kyle of Laboratory

Corporation of America (re. EGFR testing).

(iii) Letter, dated October 24, 2013, from Hunter Stamey of Laboratory

Corporation of America (re. EGFR Testing).

(iv) Letter, dated September 6, 2013, from Mary Kristen Kelly of

BioTheranostics (letter with respect to assets acquired from

Pathwork Diagnostics, Inc.).

(v) Letter, dated October 17, 2013, from Health Discovery Corporation

(re. Assets acquired from Pathwork Diagnostics, Inc.). (Patent troll

as evaluated by counsel).

(g) Infringement of the Seller’s Intellectual Property by Third Parties – None that has

been proven.


Section 2.9: Taxes.

(a) Per the notice received on August 14, 2015 from the City of Los Angeles related

to business taxes due related to the audit period 2009-2015, the Company has

been assessed a one-time fee of $42,561.01, which includes any tax amounts due

plus penalties and interest. All returns have been filed.

(c) Per the notice received on August 14, 2015 from the City of Los Angeles related

to business taxes due related to the audit period 2009-2015, the Company has

been assessed a one-time fee of $42,561.01, which includes any tax amounts due

plus penalties and interest. All returns have been filed.

Section 2.10(a): Real Property; Assets.

1640 Marengo Street, Los Angeles, California (leased space on 4th, 6th and 7th floors).

Section 2.11: Contracts.

(a)

(i) The Seller has already filed all agreements that it deems material for

purposes of Item 601(b)(10) of Regulation S-K with the SEC except that

the Seller did not file all amendments to the SVB Loan Agreement and

LA Lease (each as defined above) with the SEC. These amendments have

been made available to Purchaser through the Seller’s data room.

(ii) Below are listed all agreements that the Seller considers significant

agreements of the Seller . Most of these do not individually rise to the

level of materiality required to be filed with the SEC under Item

601(b)(10) of Regulation S-K but I am listing here for reference. This list

does not include the Seller ’s (A) laboratory services agreements with

hospitals/oncologists/pathologists, (B) pathology services agreements with

pathologists that provide services to the Seller , (C) research collaboration

agreements, (D) mutual or unilateral confidentiality agreements, (E)

ordinary course consulting agreements and (F) few speaker agreements).


(iii) Exclusive subcontractors/distributors:

(iv) the Seller has Lab Services Agreements with no less than 6 parties, which

are considered proprietary.


(v) the Seller has term sheets with various service providers that outline pricing

etc. for the relationship; however, these relationships are not memorialized in

executed contracts.

(b) None.


Schedule 2.7(d)

1 of 3


Schedule 2.7(d)

2 of 3


Schedule 2.7(d)

of 3


Schedule 2.7 (e)


Schedule 2.7(h)

Consultants

Name Service Agreement Date

David Gandara, M.D. KOL Oncology 9/1/2012

Eloisa F. Fuentes, M.D. Pathologist Amended & Restated 04/01/15

Gary Kinney Finance 12/24/2014

Gary Zeger, M.D. Pathologist Lab Director 11/1/2013

Raji Pillai, Ph.D R&D 7/8/2014

Dr. Cuauhtemoc Magana

Pathologist

Pathologist 7/17/2015

Dr Aida Rechdouni Pathologist 8/31/2010

Temp Agency Employees

Name Service Agency

Tom Krieg Controller Etonien

Nancy Buckingham Administrative Sincerus Solutions


Schedules 2.8 (b)(i), 2.8 (b)(ii)

September 3, 2014

RESPONSE GENETICS, INC.

Patents and Pending Patent Applications

Patent Family: ERCC1 and cisplatin

U.S. cases:

Ref. No. Application No./ Description Status Title Expiration Date

11220/118 09/796,491, filed March 2, 2001 U.S. Patent No.

6,518,416, issued

February 11, 2003.

Method of determining a

chemotherapeutic regimen

based on ERCC1 expression

March 2, 2021

11220/127 09/877,095, filed June 6, 2001,

a continuation-in-part of

09/796,491 (Matter 118), filed

March 2, 2001

U.S. Patent No.

6,573,052, issued June 3,

2003.




March 2, 2021

11220/145 09/988,784, filed November 20,

2001, continuation-in-part of

09/877,095, filed June 6, 2001,

which is a continuation-in-part

of 09/796,491, filed March 2,

2001

U.S. Patent No.

6,602,670, issued August

5, 2003.




March 2, 2021

11220/197 10/453,784, filed June 4, 2003,

a continuation of 09/988,784,

filed November 20, 2001,


of 09/877,095, filed June 6,

2001, which is a continuation-

in-part of 09/796,491, filed

March 2, 2001

U.S. Patent No.

7,132,238, issued

November 7, 2006




March 2, 20211

Foreign Cases:

Ref. No. Description/Application No. Status Title Expiration Date

11220/133 Taiwan – 90129673, filed

November 30, 2001

Patent No. I321155,

granted March 1, 2010.




November 29, 2021

11220/134 PCT/US01/44519, filed

November 29, 2001

Application Publication

No. WO 02/061128




N/A

11220/184 Australia – 2002249768, filed

November 29, 2001

Patent No. 2002249768

B2, granted April 19,

2007.




November 29, 2021

11220/185 Canada – 2437044, filed

November 29, 2001

Patent No. 2,437,044,

granted March 12, 2013



November 29, 2021

1 A terminal disclaimer was filed with respect to U.S. Patent No. 6,602,670.



Ref. No. Description/Application No. Status Title Expiration Date


11220/186 China - 01822442.3, filed

November 29, 2001

Patent No.

ZL01822442.3 granted

March 7, 2012.




November 29, 2021

11220/187 EP - 01998006.9, filed

November 29, 2001

Patent No. 1364054,

granted September 25,

2013.

Validated in Austria,

Belgium, Switzerland,

Lichtenstein, Germany,

France, UK, Italy, Spain,

Netherlands, Sweden and

Ireland.




November 28, 2021

11220/248 Hong Kong - 05110187.7, filed

November 29, 2001

Patent No. 1078328B,


2012.




November 29, 2021

11220/188 Japan – 2002-561063, filed

November 29, 2001

Patent No. 4503922,

granted April 30, 2010.




November 29, 2021

11220/189 Korea - 10-2003-7007375, filed

November 29, 2001

Patent No.: 10-966271,

granted June 18, 2010.




November 29, 2021

11220/291 Korea – Application No. 2009-

7026317,

DIV of

Korea - 10-2003-7007375

(11220/189)

Patent No. 10-1014345,

granted February 7,

2011.




November 29, 2021

11220/190 Mexico - PA/A/2003/004930,

filed November 29, 2001

Patent No. 287966,

granted July 01, 2011




November 29, 2021

11220/195 Israel – 156272, filed

November 29, 2001

Patent No. 156272,

granted April 1, 2014

Method of determining the

level of ERCC1 expression

and use of chemotherapeutic

regimen selected by a method

in the preparation of a

medicament

November 29, 2021

11220/302 Israel: 215130, filed September

13, 2011

Div of 11220/195 (Israel –

156272)

Pending. Not published

yet.




N/A

11220/196 New Zealand - 526710, filed

November 29, 2001

NZ Patent No. 526710,

granted January 12,

2006.




November 29, 2021



Patent Family: EGFR and Her-2-neu

U.S. cases:

Ref. No. Description/ Application No. Status Title Expiration Date

11220/120 09/877,177, filed June 11, 2001. U.S. Patent No.

6,582,919, issued June

24, 2003.

Methods of Determining

Epidermal Growth Factor

Receptor

and Her2-Neu Gene

Expression and Correlation

of Levels Thereof with Survival Rates

June 11, 2021

Foreign cases:


11220/143 Taiwan – 90129662, filed

November 30, 2001

Patent No. I313711,

granted August 21, 2009. Methods of Determining


Receptor

and Her2-Neu Gene



November 29,

2021

11220/277 ROC (Taiwanese) Application

No. 097112520, filed March 23,

2008

DIV of Taiwan – 90129662

(11220/143)

Patent No.: I312809,

granted August 1, 2009. Methods of Determining


Receptor

and Her2-Neu Gene



November 29,

2021

11220/278 ROC (Taiwanese) Application

No. 097112522, filed March

21, 2008

DIV of Taiwan – 90129662

(11220/143)

Patent Certificate No.

I321156, issued March 1,

2010.



Receptor

and Her2-Neu Gene



November 29,

2021

11220/144 PCT/US01/43035, filed

November 9, 2001


No. WO 02/44413 Methods of Determining


Receptor

and Her2-Neu Gene



N/A

11220/170 Australia -2002232409, filed

November 9, 2001

Patent No.: 2002232409,




Receptor

November 9, 2021

(if reinstated;

ceased on May 24,




and Her2-Neu Gene



2014 due to failure

to pay renewal fee

by November 9,

2013) 11220/171 Canada – 2436910, filed

November 9, 2001

Allowed. Publication

No. 2436910.



Receptor

and Her2-Neu Gene



N/A

11220/173 Europe - 01991929.9, filed

November 9, 2001

European Patent No.

1379686, granted

September 5, 2012.






Ireland.



Receptor

and Her2-Neu Gene



November 8, 2021

11220/283 Japan - 2009-000427, filed

January 5, 2009

DIV of Japan - 2002-546761

(1120/174)

Patent No. 4510915,

granted May 14, 2010.



Receptor

and Her2-Neu Gene



November 9, 2021

11220/175 Korean Application No. 10-

2003-7007378, , filed

November 9, 2001

Patent No. 10-946980,




Receptor

and Her2-Neu Gene



November 9, 2021

11220/286 Korean Application No. 2009-

7018726, filed September 8,

2009

DIV of 10-2003-7007378

(11220/175)

Patent No. 10-1014342,

granted February 7,

2011.



Receptor

and Her2-Neu Gene



November 9, 2021

11220/296 Korean- 10-2010-7019342 filed

August 31, 2010.

DIV of Korean Application No.

2009-7018726 (11220/286)

Pending. Publication

number unknown. Methods of Determining


Receptor

and Her2-Neu Gene



N/A




11220/176 Mexico - PA/A/2003/004929, ,


Patent No. 282866,

granted January 14,

2011.



Receptor

and Her2-Neu Gene



November 9, 2021

11220/276 Mexico – MX/a/2008/005896,

filed March 2, 2008

DIV of PA/A/2003/004929

(11220/176)

Patent No. 293677,

granted December 14,

2011.



Receptor

and Her2-Neu Gene



November 9, 2021

11220/191 Israel - 156233, filed November

9, 2001

Patent No. 156233,

granted July 30, 2010.



Receptor

and Her2-Neu Gene



November 9, 2021

11220/282 Application No. 195460, filed

November 23, 2008

DIV of Israel – 156233

(11220/191)

Patent No.: 156233,

granted on December 1,

2012.



Receptor

and Her2-Neu Gene



November 9, 2021


November 9, 2001

New Zealand Patent No.

526709, granted

September 11, 2008.

Declaration re restoration

filed June 14, 2011 in

order to restore the patent

for failure to pay renewal

fees. The patent was

restored by the New

Zealand Commissioner

of Patents, Trademarks

and Designs on October

7, 2011.



Receptor

and Her2-Neu Gene



November 9, 2021

11220/260 New Zealand – 546251, filed

March 30, 2006

DIV of 11220/192;

New Zealand - 526709


546251, granted May 15,

2008.



Receptor

and Her2-Neu Gene



November 9, 2021





March 28, 2006

DIV of 11220/192;

New Zealand - 526709


546252, granted July 10,

2008.



Receptor

and Her2-Neu Gene



November 9, 2021



Patent Family: ERCC1 and TS

U.S. cases:


11220/119 09/877,178, filed June 11, 2001

U.S. Patent No.

7,049,059, issued May

23, 2006.



based on ERCC1 and TS

expression

May 22, 20232

11220/253 11/341,515, filed January 30,

2006;

DIV of 11220/119

U.S. Patent No.

7,560,543, issued July

14, 2009.




expression

April 29, 20223

11220/290 12/502,753, filed July 14, 2009

CON of 11220/253

U.S. Patent No.

7,732,144, issued June 8,

2010.




expression

June 11, 20214

11220/294 Application No.: 12/774,261.

CON of 12/502,753, filed July

14, 2009 (11220/290)

Application filed May 5, 2010.

U.S. Patent No.

8,586,311, issued

November 19, 2013




expression

June 11, 20215

Foreign cases:

Ref. No. Description/ Application

No./Patent No.

Status Title Expiration Date

11220/139 Argentina – 010105561, filed

November 29, 2001

Patent No. AR031442,





expression

November 29, 2021

11220/140 Taiwan - 90/129676, filed

November 30, 2001

Patent No. I317759,

granted December 1,

2009.




expression

November 29, 2021

11220/262 Taiwan – 095115425, filed May

3, 2006

DIV of 90/129676 (11220/140)

Patent No. I327598,





expression

November 29, 2021

11220/141 PCT/US01/43039, filed

November 9, 2001


No. WO 02/057489




expression

N/A

2 U.S. Patent No. 7,049,059 was granted a patent term extension of 710 days under 35 U.S.C. 154(b). 3 U.S. Patent No. 7,560,543 was granted a patent term extension of 322 days under 35 U.S.C. 154(b). 4 NOTE: A terminal disclaimer was filed on December 3, 2009 with respect to U.S. Patent No.

7,049,059 but was disapproved. Another terminal disclaimer was filed on July 8, 2014. 5 Terminal disclaimers were filed with respect to U.S. Patent Nos. 7,049,059 and 7,732,144.




No./Patent No.


11220/177 Australia - 2002246504, filed

November 9, 2001

Patent No. 2002246504,





expression

November 9, 2021

(if reinstated; ceased

on May 24, 2014

due to failure to pay

renewal fee by

November 9, 2013)

11220/178 Canada - 2437038, filed

November 9, 2001

Patent No. 2437038,

granted February 11,

2014




expression

November 9, 2021

11220/179 China - 01822464.4, filed

November 9, 2001

Patent No.

ZL01822464.4, granted

June 22, 2011.




expression

November 9, 2021

11220/180 Europe - 01994073.3, filed

November 9, 2001

European Patent No.

1381691, granted April

24, 2013. Validated in

Austria, Belgium,

Switzerland,




Ireland.




expression

November 8, 2021

11220/181 Japan - 2002-558541, filed

November 9, 2001

To be abandoned.

Publication No. 2004-

535771




expression

N/A

11220/295 Japan- 2010-177164, filed

August 6, 2010.

DIV of Japan - 2002-558541

(11220/181)


No. 2011-004756




expression

N/A

11220/183 Mexico - PA/A/2003/004928,


Mexican Patent No.

264888, granted March

3, 2009.




expression

November 9, 2021

11220/193 Israel - 156232, filed November

9, 2001

Patent No. 156232,

granted October 1, 2010.




expression

November 9, 2021


November 9, 2001

Patent No. 526711,


2006.




expression

November 9, 2021



Patent Family: Chemotherapy and Gene Expression in Primary Tumors

U.S. cases:


No./Patent No.


11220/269 11/731,128, filed March 30,

2007, a divisional of

09/998,333, filed December 3,

2001, now abandoned, which is


application Ser. No.

09/988,784, filed Nov. 20, 2001

now U.S. Pat. No. 6,602,670,


of application Ser. No.

09/879,217, filed Jun. 13, 2001

now U.S. Pat. No. 7,005,278,



09/877,177, filed Jun. 11, 2001

now U.S. Pat. No. 6,582,919,



09/877,178, filed Jun. 11, 2001

now U.S. Pat. No. 7,049,059.

Patent No. 8,026,062,

issued September 27,

2011.


chemotherapeutic regimen by

assaying gene expression in

primary tumors

August 24, 20226

Foreign case:


No./Patent No.


11220/147 Taiwan - 90/129809

filed December 3, 2001


granted January 1, 2010.


chemotherapeutic regimen by

assaying gene expression in

primary tumors

December 2, 2021

6 U.S. Patent No. 8,026,062 was granted a patent term extension of 439 days under 35 U.S.C. 154(b).



Patent Family: Method of Determining Dihydropyrimidine Dehydrogenase Gene

Expression

U.S. cases:


No./Patent No.


11220/117 09/796,807, filed March 2, 2001 U.S. Patent No.

6,956,111 issued

October18, 2005.

Method of determining

dihydropyrimidine

dehydrogenase gene

expression

March 2, 2021

11220/128 09/842,111 filed April 26, 2001,

continuation-in-part of

09/796,807 (Matter 117), filed

March 2, 2001

U.S. Patent No.

6,905,821, issued June

14, 2005.


dihydropyrimidine

dehydrogenase gene

expression

March 12, 20217

1122/129 09/879,217, filed June 13, 2001,


09/842,111 (Matter 128), filed

April 26, 2001, which is a

continuation-in-part of

09/796,807 (Matter 117), filed

March 2, 2001

U.S. Pat No. 7,005,278,

issued February 28,

2006.


dihydropyrimidine

dehydrogenase gene

expression

March 2, 20218

Foreign cases:


No./Patent No.


11220/156 Argentina - P020100723, filed

February 28, 2002

Patent No.: AR032917,

granted April 30, 2010.


dihydropyrimidine

dehydrogenase gene

expression

February 28, 2022

11220/157 Taiwan – 91103764, filed

March 1, 2002



2007.

.


dihydropyrimidine

dehydrogenase gene

expression

February 28, 2022

11220/155 PCT/US02/05221, filed

February 22, 2002


No. WO 02/070750


dihydropyrimidine

dehydrogenase gene

expression

N/A

11220/199 Australia - 2002 238115, filed

February 22, 2002

Australian Patent No.

2002238115, issued

September 27, 2007.


dihydropyrimidine

dehydrogenase gene

expression

February 22, 2022

11220/200 Canada - 2439313, filed

February 22, 2002

Patent No. 2439313,

granted August 7, 2012.


dihydropyrimidine

dehydrogenase gene

February 22, 2022

7 U.S. Patent No. 6,905,821 was granted a patent term extension of 10 days under 35 U.S.C. 154(b). 8 A terminal disclaimer was filed with respect to U.S. Application Serial No. 09/842,111, now U.S. Patent

No. 6,905,821.




No./Patent No.


expression

11220/201 China - 02809318.6, filed

February 22, 2002

Chinese Patent No.


April 12, 2006.


dihydropyrimidine

dehydrogenase gene

expression

February 22, 2022

11220/257 China - 200610007076.2, filed

February 10, 2006

Divisional of 02809318.6

(11220/201)

Patent No.

ZL200610007076.2,

granted October 6,

2010.


dihydropyrimidine

dehydrogenase gene

expression

February 22, 2022

11220/270 Hong-Kong--07103601.8, filed

February 22, 2002

Based on the Chinese Patent

Application No.

200610007076.2 (11220/257)

Patent No. HK1097571,

granted August 5, 2011


dihydropyrimidine

dehydrogenase gene

expression

February 22, 2022

11220/258 China - 200610007077.7, filed

February 10, 2006

Divisional of 02809318.6

(11220/201)

Patent No.

ZL200610007077.7,

granted December 8,

2010.


dihydropyrimidine

dehydrogenase gene

expression

February 22, 2022

11220/272 Hong Kong--07103602.7

Based on 200610007077.7

(11220/258), which has been

granted December 8, 2010.


granted on September 2,

2011.


dihydropyrimidine

dehydrogenase gene

expression

February 22, 2022

11220/202 Europe - 02704432.0, filed

February 22, 2002

EP Patent 1 409 723 B1,



Switzerland,


France, UK, Netherlands

and Ireland.


dihydropyrimidine

dehydrogenase gene

expression

February 21, 2022

11220/203 Israel -157694, filed February

22, 2002

Patent No. 157694,



dihydropyrimidine

dehydrogenase gene

expression

February 22, 2022

11220/236 Hong Kong

Based on Chinese Patent

Application No. 02809318.6

(11220/201)


granted October 27,

2006.


dihydropyrimidine

dehydrogenase gene

expression

February 22, 2022

11220/284 Japan -2008-278350, filed

October 29, 2008

DIV of 2002-570772

(11220/204)

Patent No. 4690446,


2011.


dihydropyrimidine

dehydrogenase gene

expression

February 22, 2022

11220/298 Japan- 2010-278407, filed

December 14, 2010.

DIV of JP 2008-278350


number unknown.


dihydropyrimidine

dehydrogenase gene

N/A




No./Patent No.


(11220/284) expression

11220/205 Korea - 10-2003-7011484, filed

February 22, 2002

Korean Patent No. 10-

909116, issued July 16,

2009.


dihydropyrimidine

dehydrogenase gene

expression

February 22, 2022

11220/206 Mexico - PA/A/2003/007884,

filed February 22, 2002

Mexican Patent No.

254799, granted

February 15, 2008.


dihydropyrimidine

dehydrogenase gene

expression

February 22, 2022


February 22, 2002


528374, granted May 15,

2008.


dihydropyrimidine

dehydrogenase gene

expression

February 22, 2022



Patent Family: Method of Determining a Chemotherapeutic Regimen Based on GST-pi

Expression

U.S. cases:


No./Patent No.


11220/131 09/879,986, filed June 14, 2001 U.S. Patent No.

6,686,155, issued

February 3, 2004.



based on glutathione-S-

transferase pi expression

July 7, 20219

11220/212 10/654,575, filed September 4,

2003, a divisional of

09/879,986 (Matter 131), filed

June 14, 2001

U.S. Patent No.

7,138,507, issued

November 21, 2006.





December 10,

202110

Foreign cases:


No./Patent No.



May 24, 2002

Patent No. AR034342,

granted January 30,

2012.





May 24, 2022

11220/161 Taiwan – 9111310, filed May

28, 2002







May 28, 2022

11220/159 PCT/US02/15203, filed May

15, 2002


No. WO 02/103055





N/A

11220/218 Australia – 2002305573

(national phase of 11220/159) ,

filed May 15, 2002

Australian Patent No.

2002305573, granted

April 23, 2009.





May 15, 2022

11220/219 Canada – 2450257, filed May

15, 2002

Patent No. 2450257,

granted November 6,

2012.





May 15, 2022

11220/220 China – 02815798.2, filed May

15, 2002

(national phase of 11220/159)

Patent No.


June 3, 2009.





May 15, 2022

9 U.S. Patent No. 6,686,155 was granted a patent term extension of 23 days under 35 U.S.C. 154(b). 10 U.S. Patent No. 7,138,507 was granted a patent term extension of 179 days under 35 U.S.C. 154(b).




No./Patent No.


11220/251 China - 200510107684.6,filed

September 26, 2005, a

divisional of 02815798.2

(11220/220, which is the

national phase of 11220/159)

Patent

ZL200510107684.6,


2007.





May 15, 2022

11220/221 EP – 02734403.5, filed May 15,

2002

(regional phase of 11220/159)

Patent No. 1407047,

granted on January 22,

2014.






Ireland.





May 14, 2022

11220/237 Hong Kong 05103515.5, filed

May 15, 2002

Based on CN Application No.

02815798.2 (11220/220)

Patent No. 1070921,

granted November 13,

2009.





May 15, 2022

11220/222 Israel – 159301, filed May 15,

2002

Patent No. 159301,


2010.





May 15, 2022

11220/223 Japan - 2003-505376, filed May

15, 2002

Patent No. 4303104,






May 15, 2022

11220/281 Japan – 2008-177217, filed July

7, 2008

DIV of 2003-505376

(11220/223)

Patent No. 4308309,






May 15, 2022

11220/224 Korea - 10-2003-7016349, filed

May 15, 2002

Patent No. 10-918927,


2009.





May 15, 2022

11220/225 Mexico - PA/A/2003/011632,

filed May 15, 2002

Patent No. 284095,

granted on February 16,

2011.





May 15, 2022


May 15, 2002

Patent No. 530520,

granted February 8,

2007.





May 15, 2022



Patent Family: Method of Determining a Chemotherapeutic Regimen Based on Loss of

Heterozygosity at the Thymidylate Synthase Locus

Foreign cases:


No./Patent No.



February 26, 2004

Argentine Patent No.

AR043398, granted on

November 30, 2011.

Method of Determining a

Chemotherapeutic Regimen

Based on Loss of

Heterozygosity at the

Thymidylate Synthase Locus

February 26, 2024

11220/228 Taiwan – 93103498, filed

February 13, 2004

Patent No. I346701,




Based on Loss of



February 12, 2024

11220/230 PCT/US2004/004867, filed

February 20, 2004


No. WO 2004/075833



Based on Loss of



N/A

11220/239 Australia – 2004216231, filed

February 20, 2004

Patent No. 2004216231,

granted November 5,

2009.



Based on Loss of



February 20, 2024

11220/240 Canada – 2517384, filed

February 20, 2004

Patent No. 2517384,

granted January 22,

2013.



Based on Loss of



February 20, 2024

11220/242 EP – 04713289.9, filed

February 20, 2004

Patent No. 1597353,

granted November 30,

2011. Validated in

Austria, Belgium,

Switzerland,


France, UK, Spain,

Netherlands and Sweden.



Based on Loss of



February 19, 2024

11220/243 Israel – 170217, filed February

20, 2004

Patent No. 170217,




Based on Loss of



February 20, 2024

11220/245 Korea - 10-2005-7015973, filed

February 20, 2004

Korean Patent Number

10-1109062, granted

January 17, 2012.



Based on Loss of



February 20, 2024




No./Patent No.


11220/246 Mexico - PA/A/2005/009162,

filed February 20, 2004

Patent No. 280353,

granted October 26,

2010.



Based on Loss of



February 20, 2024


February 20, 2004


542500, granted August

14, 2008.



Based on Loss of



February 20, 2024



Patent Family: KRAS Primers and Probes

U.S. Cases:


No./Patent No.

Status Title Estimated

Expiration Date

11220/300US1 U.S. Application Serial No.

13/640,416

Filed October 10, 2012


No. 20130029336

KRAS Primers and Probes October 10,

203211

Foreign Cases:


No./Patent No.


11220/300 PCT Application No.

PCT/US2011/032108,

filed April 12, 2011

Application

Publication No. WO

2011/130265

KRAS Primers and Probes N/A

11220/300AU1 Australia - Application

No. 2011240653, filed

April 12, 2011

Pending KRAS Primers and Probes N/A

11220/300NZ1 New Zealand –

Application No. 602920,

filed April 12, 2011

Allowed on July 7,

2014, waiting for

result of opposition

period ending October

25, 2014 before grant


11220/300CA1 Canada - Application No.

Awaited, filed April 12,

2011


11220/300MX1 Mexico - Application No.

MX/A/2012/011698, filed

April 12, 2011


11220/300EP1 Europe - Application No.

11730469.1, filed April

12, 2011


11220/300IL1 Israel - Application No.

222379, filed April 12,

2011


11220/300CN1 China - Application No.

2011800219009, filed

April 12, 2011


11220/300JP1 Japan - Application No.

2013-505053, filed April

12, 2011

Pending


11 Not considering any patent term extension or terminal disclaimer.



11220/300KR1 Korea - Application No.

10-2012-7028176, filed

April 12, 2011

Pending




Response Genetics, Inc. (39975): Status Report Chart (April 15, 2014) – Hogan Lovell (counsel handling matters)

\\DC - 039975/000001 - 5270156 v1

Docket

Number

CO

Code Application Number Title Status Filing Date Publication No. Comments Due Date

39975-

020110 US 12/853746

METHODS, PRIMERS,

PROBES AND KITS USEFUL

FOR THE DETECTION OF

BRAF MUTATIONS

Pending 8/10/2010 2011-0269124A1

Notice of Allowance issued

11-29-2013

Corrected Filing Receipt Received

4/4/14

Application Pending as of 4-18/14

39975-

022000 PCT PCT/US2010/44997

METHODS, PRIMERS, PROBE

& KITS USEFUL FOR THE

DETECTION OF BRAF

MUTATION

Expired 8/10/2010 WO 2011019704 Expired – February 2013

39975-

022100 AR P100102935



DETECTION OF BRAF

MUTATION

Filed 8/10/2010 AR 077844

9/28/2011

Request for Examination Filed 2013

Waiting on first Office Acton

No Action Due

39975-

022200 AU 2010282632



DETECTION OF BRAF

MUTATION

Filed 8/10/2010 AU 2010282632

3-8-12

First Examination Report Issued –

Response due 3/28/15 with

extensions available until 12/28/15

3/28/15

39975-

022600 CA 2770716



DETECTION OF BRAF

MUTATION

Filed 8/10/2010 CA 2770716

2/17/2011

Declaration Submitted to CIPO on

June 14, 2013

No action due at this time

Next Tax Reminder Due for 4th

year (8-10-2014 to 8-10-2015

8-10-

2014

39975-

022800 CN 201080045765.7


& KITS USEFUL FOR THE Filed 8/10/2010

CN 102575295

7/11/2012

Response to 1st Office Action filed

November 2013




\\DC - 039975/000001 - 5270156 v1

Docket

Number

CO


DETECTION OF BRAF

MUTATION

39975-

023500 JP 2012-524782



DETECTION OF BRAF

MUTATION

Filed 8/10/2010 2013-501523

1/17/2013



No Action Due

39975-

024200 KR 10-2012-7004699



DETECTION OF BRAF

MUTATION

Filed 8/10/2010 KR 20120099630

9/11/2012 Petition for exam due 8/10/2015

39975-

025700 NZ 598166



DETECTION OF BRAF

MUTATION

Filed 8/10/2010 Unpublished Response to Examination Report

due Acceptance Due 2/1/2014

39975-

026500 TW 99126740



DETECTION OF BRAF

MUTATION

Filed 8/10/2010 201111517

4/1/2011



No Action Due

39975-

026600 IL 218021



DETECTION OF BRAF

MUTATION

Filed 8/10/2010 Unpublished

Response to Notification Prior to

Examination Filed 2013

No Action Due at this Time

39975-

026700 EP 10808619



DETECTION OF BRAF

MUTATION

Filed 8/10/2010 2464751

6/20/2012

Response to EP Search report filed

12/20/14




\\DC - 039975/000001 - 5270156 v1

Docket

Number

CO


39975-

027100 HK 13100094



DETECTION OF BRAF

MUTATION

Filed 8/10/2010 Unpublished Request Designation was filed

No action due until EP case Grants

39975-

032000 PCT PCT/US11/032694

PRIMERS, PROBES,

METHODS AND KITS FOR

THE DETECTION OF EML4-

ALK MUTATIONS

Inactive 4/15/2011 WO 2011/13065

12/29/2011

39975-

032100 AR P110101303

PRIMERS, PROBES,



ALK MUTATIONS

Filed 4/15/2011 AR 080913

5/16/12

Request for Examination Due –

Instructions sent to foreign agent to

file request by deadline

4/15/2014

39975-

032500 TW 100113162

PRIMERS, PROBES,



ALK MUTATIONS

Filed 4/15/2011 TW 201202703

1/16/12

Request for Examination Due –

Instructions sent to foreign agent to

file request by deadline

4/15/2014

39975-

042000 PCT PCT/US2012/065877

A NOVEL EML4-ALK

VARIANT: PRIMERS, PROBES,

METHODS, AND KITS FOR

THE DETECTION THEREOF

Filed 11/19/2012 WO 2013/075110

7/18/2013 National Stage Filing Due (30 M)

5-18-

2014

39975-

052000 PCT PCT/US2012/21546

HER3 AND HER4 PRIMERS

AND PROBES FOR

DETECTING HER3 AND HER4

MRNA

Expired – 7-14-13

Did not National Stage File



\\DC - 039975/000001 - 5270156 v1

RESPONSE GENETICS PATENT PORTFOLIO ACQUIRED FROM PATHWORK

STATUS AS OF DECEMBER 3, 2013

Handled by Morgan Lewis

DOCKET

NUMBER

TITLE/NICKNAME COUNTRY SERIAL NUMBER-

FILING

DATE/PATENT

NUMBER-ISSUE

DATE

STATUS ESTIMATED

EXPIRATION

07017100-5001 US

Knowledge-based

Storage of Diagnostic

Models

“Model Precondition”

US 10/861,177

6/4/2004

8,321,137

11/27/12

Issued

3.5 Year

Maintenance Due

May 27, 2016

6/4/24

EP 4789181.7 Abandoned

07017100-5002 US

Systems and Methods for

Detecting Biological

Features

“Likelihood”

US 10/954,443

9/29/2004

Pending

Reply to Office

Action Due

December 19, 2013

6/4/24

07017100-5002-

US01 DIV

US-DIV 13/418,991

3/13/12

Pending



\\DC - 039975/000001 - 5270156 v1

DOCKET

NUMBER


FILING

DATE/PATENT

NUMBER-ISSUE

DATE

STATUS ESTIMATED

EXPIRATION

EP 4816896.7 Instructed to

abandon

EP-DIV 11186729.7 Instructed to

abandon

JP 2006-528327 Instructed to

abandon

07017100-5002 JP

JP-DIV 2012-820

Pending

07017100-5002 SG

Singapore 200602000-2 Issued

Annuity due

September 29, 2014

9/29/2024

07017100-5003 US

Systems and Methods for

Diagnosing A Biological

Specimen Using

Probabilities

“TOO Test”

US 12/378,165

2/10/2009

7,747,547

6/29/2010

Issued

3.5 Year

Maintenance Due

December 29, 2013

10/31/27



\\DC - 039975/000001 - 5270156 v1

DOCKET

NUMBER


FILING

DATE/PATENT

NUMBER-ISSUE

DATE

STATUS ESTIMATED

EXPIRATION

07017100-5004 US

Systems And Methods

For Standardization Of

Microarray Data

“Standardization”

US 12/378,187

2/10/2009

8,473,217

06/25/2013

Issued

3.5 Year

Maintenance Due

December 25, 2016

10/31/27

07017100-5005 US

Systems And Methods

For Phenotypic

Classification Using

Biological Samples Of

Different Sample Types

“FPTE”

US 12/705,443

2/10/2010

Confirmation number

8461

Pending

2/12/30


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