Broad Change of Counsel

Filed on behalf of: Junior Party, Broad
By:
Steven R. Trybus
Harry J. Roper
Jenner & Block LLP
353 North Clark Street, Chicago, IL 60654
Telephone: 312-222-9350
Facsimile: 312-527-0484
Email: strybus@jenner.com
Paper No. __
UNITED STATES PATENT AND TRADEMARK OFFICE
BEFORE THE PA TENT TRIAL AND APPEAL BOARD
THE BROAD INSTITUTE, INC., MASSACHUSETTS INSTITUTE OF

TECHNOLOGY, and PRESIDENT AND FELLOWS OF HARVARD COLLEGE,
Patents 8,697,359; 8,771,945; 8,795,965; 8,865,406; 8,871,445; 8,889,356: 8,895,308;
8,906,616; 8,932,814; 8,945,839; 8,993,233; and 8,999,641,
Junior Party,
v.
THE REGENTS OF THE UNIVERSITY OF CALIFORNIA, UNIVERSITY
OF VIENNA, and EMMANUELLE CHARPENTIER
Application 13/842,859,
Senior Party.
Patent Interference No. 106,048 (DK)
BROAD MISCELLANEOUS MOTION 1

(for substitution of lead and back-up counsel)
BROAD MISCELLANEOUS MOTION I

2
Junior Party, The Broad Institute, Inc., Massachusetts Institute of Technology and
President and Fellows of Harvard College (collectively "Broad") wishes to change counsel of
record in this Interference and so moves that the Board accept for filing the attached Notice of
Substitute Lead and Back-up Counsel to substitute as Lead and Back-up Counsel in this
interference the following practioners:
Lead Counsel
Steven R. Trybus
Registration No. 32,760
I0
Jenner & Block LLP
11
353 North Clark Street
12
Chicago, Illinois 60654-3456
13
Telephone: 312-222-9350
14
Facsimile: 312-527-0484
15
strybus@jenner.com
16
17
Back-Un Counsel
18
Harry J. Roper
19
20
Jenner & Block LLP
21
22
23
Telephone: 312-222-9350
I
Facsimile: 312-527-0484
hroper@jenner.com
This motion seeks to replace the lead and back-up counsel named in Paper #6, filed January 25,
2016. Counsel for both parties have conferred and Senior Party's counsel advised that this
motion will not be opposed.
Attached is the Notice of Substitute Lead and Backup Counsel including Powers of
Attorney and the 3.73(c) forms for the 12 Broad involved patents pursuant to Bd.R. 108. There
are 31 Powers of Attorney provided in total because each of the Broad involved patents is
I0
currently assigned to both The Broad Institute, Inc. and Massachusetts Institute of Technology
11
and seven of the Broad Involved patents are also assigned to President and Fellows of Harvard
12
College in addition to the other two assignees.
13
Grant of this motion and entry of the attached Notice and associated papers for effecting
14
a change in lead and back-up counsel are respectfully requested.
15
Dated: March 2, 2016
Respectfully submitted,
16
17
18
19
20
21
/Steven R. Trybus/
Steven R. Trybus
Reg. No. 32,760
Counsel for Broad
Jenner & Block LLP
Chicago, IL 60654
Telephone: (312) 222-9350
Facsimile: (312) 527-0484
Email:strybus@jenner.com
22
23
24
CERTIFICATE OF SERVICE
I hereby certify that on the 2nd day of March, 2016, a true and complete copy of the
foregoing BROAD MISCELLANEOUS MOTION 1 (for substitution of lead and back-
up counsel) is being filed via the Interference Web Portal. Pursuant to agreement of the
parties, service copies are being sent, before 8 PM EST today, by e-mail to counsel for
Senior Party as follows:
todd.walters@bipc.com
erin.dunston(ii)bipc.com
travis.bliss@bipc.com
BFairchild@goodwinprocter.com
CStephens@.goodwinprocter.com
/Steven R. Trybus/
Steven R. Trybus
Reg. No. 32,760
Counsel for Broad
Jenner & Block LLP
Chicago, IL 60654
Telephone: (312) 222-9350
Facsimile: (312) 527-0484
Filed on behalf of: Junior Party, Broad

By:
Steven R. Trybus
Harry J. Roper
Jenner & Block LLP
353 North Clark Street, Chicago, IL 60654
Telephone: 312-222-9350
Facsimile: 312-527-0484
Emai I: strybus@j enner .com
Paper No. _ _
UNITED STATES PATENT AND TRADEMARK OFFICE
BEFORE THE PATENT TRIAL AND APPEAL BOARD
THE BROAD INSTITUTE, INC., MASSACHUSETTS INSTITUTE OF

TECHNOLOGY, and PRESIDENT AND FELLOWS OF HARVARD COLLEGE,
Patents 8,697,359; 8,771,945; 8,795,965; 8,865,406; 8,871,445; 8,889,356; 8,895,308;
8,906,616; 8,932,814; 8,945,839; 8,993,233; and 8,999,641,
Junior Party,
v.
THE REGENTS OF THE UNIVERSITY OF CALIFORNIA, UNIVERSITY
OF VIENNA, and EMMANUELLE CHARPENTIER
Application 13/842,859,
Senior Party.
Patent Interference No. I 06,048 (DK)
BROAD NOTICE OF SUBSTITUTE LEAD AND BACK-UP COUNSEL
BROAD NOTICE OF SUBSTITUTE LEAD AND BACK-UP COUNSEL
2
3
Junior Party, The Broad Institute, Inc. et al. ("Broad") hereby provides the following as
a Notice of Substitute Lead and Backup Counsel:
Lead Counsel
Steven R. Trybus
Jenner & Block LLP
10
Telephone: 312-222-9350
11
Facsimile: 312-527-0484
12
strybus@jenner.com
13
14
Back-Up Counsel
15
Harry J. Roper
16
17
Jenner & Block LLP
18
19
20
Telephone: 312-222-9350
21
Facsimile: 312-527-0484
22
hroper(a{jenner.com
Attached hereto are Powers of Attorney and 3.73(c) forms for the 12 Broad involved patents
pursuant to Bd.R. I 08.
Dated: March 2, 2016
Respectfully submitted,
5
6
7
8
9
10
11
12
13
/Steven R. Trybus/
Steven R. Trybus
Reg. No. 32, 760
Lead Counsel for Broad
Jenner & Block LLP
Chicago, IL 60654
Telephone: (312) 222-9350
Facsimile: (312) 527-0484
Email:strybus@jenner.com
CERTIFICATE OF SERVICE
I hereby certify that a true and complete copy of the foregoing BROAD NOTICE
OF SUBSTITUTE LEAD AND BACK-UP COUNSEL is being filed via the Interference
Web Portal. Pursuant to agreement of the parties, service copies are being sent by e-mail to
counsel for Senior Party, before 8 PM EST today, as follows:
todd.walters@bipc.com
erin.dunston@bipc.com
travis.bliss@bipc.com
BFairchild@goodwinprocter.com
CStephens@goodwinprocter.com
/Steven R. Trybus/
Steven R. Trybus
Reg. No. 32,760
Lead Counsel for Broad
Jenner & Block LLP
Chicago, IL 60654
Telephone: (312) 222-9350
Facsimile: (312) 527-0484
U.S. 8,697,359
__
,
PATENT- POWER OF ATTORNEY
OR
REVOCATION OF POWER OF ATTORNEY
WITH A NEW POWER OF ATTORNEY
AND
CHANGE OF CORRESPONDENCE ADDRESS
DA Powtrof AUomey b .-ltted herewith.

OR I hmby appoint l'rKlltlonet(s) woclated -
"''"""""
(Ol-15)
,tpprowd for UM"1fu'ou&h Ol/ll/2011. OM& 0651-ooJS
US. PaW11andTmletnar\ Offkf; U.S. Df:PAATMENT Of COMMUCE
8,697,359
Issue Dita
04-15-2014
First Named Inventor
Feng Zhang, Cambridll'J, MA (US)
Tiiie
CRISPRCAS SYSTEMS AND

METHODS FOR Al.TE RING
EXPRESSION OF GENE PRODUCTS
Attorney Docket No.
55018-100693598
-l!ld
the Customer Number Identified In the box at right as mv/OU#

to cnnsact all bu<lness In the Uniled
18.l .-nov<sJ "'ogent(s)- respect to tha-nt ldenlified

States Patent~ Trademark Office connected therewith:
12574
OR
O'allherellv
apoolnt-ner(s) named below as my/our lttOmev(s) or qent{sl- respc<1 to the patent ldenllfled . - . and to tranmt
business ttte United States Patent and Trademark Off'ite connaaed ttw.with:
In
""'"'-
PractitJananu Name
PJease recognize or ch1nge the correspondence addnus fot the aboveidentified patent tc,
~ Theaddreu assod.ated with tht above-Identified Customer Number.
0 Tht address associated wtlh the Customer Number ldentlfiH In the box at r1aht:
OR
DFlrmor
Individual Name
Add....
I
I ,m I
IStatel
City
tounN
Telephone
! Ernt1il I
lam the:
OAppUcant.
OR
(g]Patentowner.
Slol<m<n< umi<r 31 CFR 3.73(<} (Fomi PTO/AIA/ff) submllfl!d hmwllh or fil<d on
.m
eant or Patent owner
Slanature
@ii-~
Name
Tide and Companv
!!l!Ii: SigMIUNIS of all t&flliolr
.-
--
I Diii
r Tele
one~.-., ~I_..,_
""'
or their repre:stntatiVe(s) are required If more than one slpture

i$ required, submit m.Jltlple forms, check the box bek>w, and Identify thetotill number of forms submltttd In the blank bf!Jow.
0 Atotlll of 2
forms are submitted.
ThG colSleUon ofinfonNtlon IS required: by 37 CFR. l-ll. U2, Ind 1.31. rti. lnfotrNtlon Is ttq11lred to obuln or main a benefit by the publk. whKil b co updatt
patent or ret~ pro.:ecdina- Contidt!nuafity d ~ bv 35 U S.C 122 and 37 CM 11.4 TM colllon u
ntlmauid to m:t J m1ma1u U> compltte, hKludml p1heriftl. PNPirinl. ind wlH'ft\tt:fll Cht 'mplcttd applbllon fcnn tc1 the usm Tim w11, VJry dtpendlnj
IJP04'I thl lndMduat UR My comme111t on the amount ot ume l'JU fIUlnt to tomete thb form aN1/Msugesdons for rdlKi"I this burdln, should bl! sen11a
tht>OIW lnlormatton Officer, U.1 httrlt and Trademark omc., U.S.. 0.1*1mem of Oimmera, P.O. b 1450, Meundria, VA llll114SO. DO NOfSENO FEES Ofl
COMIUTfD FORMS TO THIS ADDRESS. SlflD TO: tolanlls''llW for Plteftb, P.O. In 1AJG. ~ VA IU1J.S"58.
(ft bv the USPTO to process) tM file of a
IJ'/OUllld~/IJ~thtgtht~m.collJ~Jl90tldukctopflotl2
Privacy Act Statement

The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information In connection wtth your
submission ol Iha altachad form related to e patent applicaUon or patent Accordingly, pumuant to the
requirements o1 the Act, please be advised that: (1) the general authority for the collectlon of this Information Is
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The Information provided by you In this form wiH be subfect to the following routine uses:
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A record from this system of records may be disclosed, as a routine use, to a Federal, Slate, or local
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PTOIAIAl96 (011-12)
Under the P
Reduction
of 1995
Approved fol' UH through 01131/2013. 0t.e 06510031

U.S. Patet. .nd Trademark omca: US CEPARTMENT OF COMMEAc&
to a COiiection at lnformallon unllaS It
v
OMB conllOI numbw.
no
STATEMENT UNDER 37 CFR 3.73(cl

ApplicanUPatent owner. The Broad Institute, Inc.
Application NoJPalent No.: 8,697 ,359
Ried/Issue Date: _04_-_1_s-_2_01_4_ _ _ _ _ __
Ttded: CRISPRCAS SYSTEMS AND METHODS FOR ALTERING EXPRESSION OF GENE PRODUCTS
The Broad Institute, Inc.
Not for profit Institution.

8 ~~--~~~~~~~~~~~~~~~~~~(T)llO al Assignee, 1.9.. c:otplll>llon. palUWlhlp, UIMrshy. goverMllnl euercy. e<c.I
states Iha~ for Iha patent appllcaUontpatent Identified above, h Is (choose J1!1!! of options 1, 2, 3 or 4 below):
1.
The assignee of the entlre right, tiUe, and inlefesl
2.
An assignee of less than the entire right, title, and inleresl (check applicable box):
LJ The extenl (by percentage) of ils ownership inlefest is

%. Addlllonal Stalement(s) by the owners
holding the balance of the lnlerest must be oybmjtted ID account for 100% ol the ownership lnleresl.
0 There are unspecified peroentages of ownership. The other parties, Including Inventors, who logether own the entire
right, tille and interest are:
Additional Statemenl(s) by the owner(s) holding the balance of the Interest must be submjtted ID account for the entire
right, title, and Interest.
l1J
3.
The assignee ol an undivided inleresl In the entirely (a complete assignment from one of the joinl invenlors was made).
The other parties, lnduding lnvenlors. who logether own tlhe entire right, Ihle, and interest are:
Massachusetts Institute of Technology
Additional Slatement(s) by lhe owner(s) holding the balance of the Interest must be submittsd to account for the entire
right, tide, and interest
4.
The reclple~ via a court proceedlng or the like (e.g., bari<ruptcy, probate), of .an undivided Interest In the entirely (a
complete transfer of ownership interest was made). The certified dccum"erit(s) sh~the transfer Is attached.
The Interest ldantlfled In option 1, 2 or 3 above (not option 4) Is evidenced by either (choose .Q!1! of options A or 6 below):
A.
l1J
B.
An assignment from the Inventor() of the patent application/patent idenlifled above. The assignmenl was recorded In
the United Stales Patent and Trademark Office at Reel .,,.... os2100 , Frame 11688, 0850
or for which a copy
thereof Is attached.
A chain of ti!le from the lnvenlDr(s), of the patent applicadon/patent Identified above, to the current assignee as follows:
1. From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ T o : - - - - - - - - - - - - - - - The dccument was recorded in the United States Patenl and Trademark Office at
Reel
Frame
or for which a copy lhereol is attached.
2. F r o m : - - - - - - - - - - - - - - - - T o : - - - - - - - - - - - - - - - The document was recorded in the United States Patent and Trademark Office at
Reel
Frame
or lor which a copy thereol is anached.
[Page 1 of 2]
Thi$ collecdon ol lnfonnatlon Is tlQWed by 37 CFf:l 3.73(b). The Information Is rwquired to obtain or 1'81Bln a blnefil by the public which Is to tfe (and t:Jy the USPTO IO
SlfOCftl) an application. conlldentlality is pemed bf 35 U.S.C. 122 and 37 CFR 1.11 and t.14. This COUedlon is estimated to I.aka 12 m1nute1 to complete, Including
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Office. U.S. Oepir1ment al Camme.,., P.O. Box 1450. - V A 223131450. 00 NOT Sl!ND PEES Oil COMPLETED FOAMS TD THIS ADDRESS. SEHi>
10: commissioner,... Plllnts, P.O. Bos 1450, -drla, VA 223lll-1450.
Ifyou nel!d assistance in completing the form, call J.SOOPT09/99 and select option 2.
PTOIAW96 (08-12)
~lot UM thnlugh 01131/2013. 0NS
065l-0031
ll.S.-andT-Ollic:o; U.S. DEPARTMSHT OF COMMERCE

Reductlan Act of 1995 no - - - ate _ ..rad IO -----1aacalledlcn Of lnfonndOn umess 1 1 - - a valid OMS comnN mnbar.
STATEMENT UNDER 37 CFR 3.73fc:)
3.Fram: _______________ To: _ _ _ _ _ _ _ _ _ _ _ _ _ __

The document was recotded In ll1e Uniled States Patent and Trademall< Office at
Reel
, Frame
or tor which a copy thereof ls attached.
4. From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ T o : - - - - - - - - - - - - - - The document was recolded in lhe United Stales Palen! and Trademall< Office al
Reel
Frame
or tor which a copy lhereol is attached.
5. From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ T o : - - - - - - - - - - - - - - The doalment was recorded In lhe Ullited Stales Palen! and Tradernalk Office 81
Reel
Frame
or for which a copy !hereof is attached.
6.Rom: _______________ To: _ _ _ _ _ _ _ _ _ _ _ _ _ __

The document was recotded In lhe United States Patent and Tradernall< Office at
Reel---- Rame _ _ _ _ _. or for which a copy thereol is attached.
Additional documents In the chain cl title are listed on a supplemenlat sheel(s).
As required by 37 CFR 3.73(c)(1 )(i), the documentary evidence Of the chain of tllle from Ille original owner to fhe
assignee was, or concurrently is being. submitted for recordation pursuant 10 37 CFR 3.11.
(NOTE: A separate copy (I.e., a ll'lle copy ol lhe ortglnal asslgnmenl documenl(s)) must be Sllbmitted to Assignment
Division in accordance wilh 37 CFR Part 3, to record lhe assignment In lhe records Of the USPTO. See MPEP 302.08]
The~ title is supplied below) is lllllhorized to act
s~~
Prtnted or Typed Name
on behaH ol lhe assignee.
lft6 l ": 'lo Iv
Ellen Law
.,i ')r t\dviser te tRe DiAactor
(Page 2of 2]
Tille or Registration Number

The Privacy Act of 1974 {P.L. 93-579) requires thal you be given certain Information in connection with your
submission of the attached form related to a patent application or palenl. Accoldingly, pursuant to the
requirements of Iha Acl. please be advised that: (1) Iha general authority for the collection ot this information is 35
u.s.c. 2(b)(2); (2) furnishing of the information solicited is voluntary; and (3) the principal purpose for which the
information Is used by Iha U.S. Patent and Trademark Office is to process and/or examine your submission relatecl
10 a patent application or patent. If you do not furnish the requested Information, the U.S. Patent and Trademark
Office may nol be able to process and/or examine your submission, which may result in termination of proceedings
or abandonment of the applicallon or expiration of the patent.
The Information prOvkled by you In this form wiU be subject to the following routine uses:
1. The information on thiS form wlH be treated confidenlially to the extent allowed under the Freedom of
Information Aci (5 U.S.C. 552) and the Privacy Act (5 U.S.C 552a). Records from this system of reeotds
may be disclosed to the Department of Justice 10 determine whether disclosure of these records Is
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records may be disclosed, as a routine use, to tile International Bureau of the Wo~d Intellectual Property
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6. A recoil! In this system of records may be disclosed, as a routine use, to another federal agency for
purposes of National Security review (35 u.s.c. 161) and for review pursuant to the Atomic Energy Act
(42 U.S.C. 21 S(c)),
7. A record from this system of recolds may be disclosed, as a routine use, to the Administrator, General
Services, or hlslher designee. during an Inspection of records conducted by GSA as part of that agency's
respon&lblHty to recommend improvements In records management practices and programs, under
authority of 44 U.S.C. 2904 and 2906. Such disclosure shall be made In accordance with the GSA
regulations governing lnspeclion of reeotds for this purpose, and any other relevant (i.e., GSA or
Commerce) directive. Such disclosure shall not be used to make determinations about individuals.
a. A recold from this system of records may be disclosed. as a routine use, to Iha public alter either
publlealion of the application pursuant to 35 U.S.C. 122(bJ or issuance of a patent pursuant to 35 U.S.C.
151. Further, a record may be disclosed, subjecl to the Hmitatlons of 37 CFR 1.14, as a rouUne use, to the
public Hthe record was Hied In an application which became abandoned or In which the proceedings were
terminated and which appllcetion Is referenced by either a published application, an appllcadon open to
public Inspection or an Issued patent.
9. A recoil! from this system of records may be disclosed, as a routine use, to a Federal, State, or local lew
enforcement agency, if the USPTO becomes aware of a viOlatlon or potential violation of law or regulation.
,_
'--'-r '-- p------" Da.. u_, __
PTO/AIA/BlA 10215)
Approved for use through 01/31/2018. OMB 0651-0035
U.S. Patent and Trademark Offke; U.S. DEPARTMENT OF COMMERCE
11
1
la""~ vlid-- ------1 nmber
- - - - -n of '-f-m
Ir'""'""
Patent Number
PATENT POWER OF ATIORNEY

OR
REVOCATION OF POWER OF ATIORNEY
WITH A NEW POWER OF ATIORNEY
AND
\.
...
8,697,359
Issue Date
04-15-2014
Feng Zhang , Cambridge, MA (US)
Title
CRISPR-CAS SYSTEMS AND

METHODS FOR ALTERING
Attorney Docket No.
55018-10069-359M
I hereby revoke all previous powers of attorney given in the above-identified patent.
A Power of Attorney ls submitted herewith.
OR I hereby appoint Practitionerfs) associated with the Customer Number identified in the box at right as my/our
lg) attomey(s) or agent(s) with respect to the patent Identified above, and to transact all business in the United
12574
States Patent and Trademark Offtce connected therewith:
OR
D I hereby appoint Practitioner(s) named below as my/our attorney(s) or agent(s) with respect to the patent identified above, and to transact
all business In the United States Patent and Trademark Office connected therewith:
Registration Number
Practitioner(sl Name
Please recognize or change the correspondence address for the above-Identified patent to:
~The address associated with the above-identified Customer Number.

D
The address associated with the Customer Number identified in the box at right:
OR
DFlrmor
Individual Name
Address
c~
1 State
Country
Telephone
1 Emall
tam the:
DAppllcant.
OR
18]Patentowner.
--
,_
Statement under 37 CFR 3. 73(c) (Fbrm PTO/AIN96J submitted herewith or filed on

SiRnature
Name
Title and Company
!OGNA
~,,/
EolA
I Zip 1
leant or Patent Owner
,;.,. ,
MASSACHUSETTS INSTITUTE OF TECHNOLOGY
1 , '-, r,,.//1.I Date
I Telephone I I
NOTE: Signatures of all the applicants or patent owners of the entire Interest or their representative(s) are requl~d. If more than one
Is required, submit multiple forms, check the box below, and Identify the total number of forms submitted In the blank below.
(i]Atotalof 2
1_1-,,.7 ~ -
sfs~afure
This collection of Information Is required by 37 CFR 1.31, 1.32, and 1.33. The Information is required to obtain or retain a benefit by the public, which is to updilte
(and by the US PTO to process) the file of a patent or reeicamination proceeding, Confidentiality Is g<M!rned by 35 U.S.C. 122 and 37 CFR 1.14. This collection Is
estimated to take 3 minutes to complete, including gathering, preparing. and submlttin11 the completed application form to tlie US PTO. Time will wrv depending
upon the Individual case. Any comments on the amount of time yau require to complete this form and/or suuestlons 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. BOK 1450, Ale118ndria, VA 223131450. 00 NOT SEND FEES OR
COMPLETED FORMS TO THIS ADDRESS. 5END TO: Commluloner for htents, P.O. Box 1450, Al..andria, VA 22313-1450.
If you need aSJ/stance in completing the farm, call l800-PT0-9l99 and select option 2.

The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection with your
submission of the attached form related to a patent application or patent. Accordingly, pursuant to the
requirements of the Act, please be advised that: (1) the general authority for the collection of this information is
35 U.S.C. 2(b)(2); (2) furnishing of the information solicited is voluntary; and (3) the principal purpose for which
the information Is used by the U.S. Patent and Trademark Office is to process and/or examine your submission
Trademark Office may not be able to process and/or examine your submission, which may result In termination
of proceedings or abandonment of the application or expiration of the patent.
The Information provided by you in this form will be subject to the following routine uses:
1.
The information on this form will be treated confidentially to the extent allowed under the Freedom of
Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 552a). Records from this system of
records may be disclosed to the Department of Justice to determine whether disclosure of these
records is required by the Freedom of Information Act.
2. A record from this system of records may be disclosed, as a routine use, in the course of presenting
submitting a request involving an individual, to whom the record pertains, when the individual has
requested assistance from the Member with respect to the subject matter of the record.
4. A record in this system of records may be disclosed, as a routine use, to a contractor of the Agency
having need for the information In order to perform a contract. Recipients of information shall be
552a(m).
5. A record related to an International Application filed under the Patent Cooperation Treaty in this
intellectual Property Organization, pursuant to the Patent Cooperation Treaty.
6. A record in this system of records may be disclosed, as a routine use, to another federal agency for
purposes of National Security review (35 U.S.C. 181) and for review pursuant to the Atomic Energy Act
(42 U.S.C. 218(c)).
7. A record from this system of records may be disclosed, as a routine use, to the Administrator, General
Services, or his/her designee, during an inspection of records conducted by GSA as part of that
under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall be made in accordance with the
GSA regulations governing inspection of records for this purpose, and any other relevant (i.e., GSA or
8. A record from this system of records may be disclosed, as a routine use, to the public after either
publication of the application pursuant to 35 U.S.C. 122(b) or issuance of a patent pursuant to 35
U.S.C. 151. Further, a record may be disclosed, subject to the limitations of 37 CFR 1.14, as a routine
use, to the public if the record was filed in an application which became abandoned or in which the
proceedings were terminated and which application is referenced by either a published application, an
application open to public Inspection or an issued patent.
9. 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 USPTO becomes aware of a violation or potential violation of law or
regulation.
PTO/AW96 (08-12)
Approved for use through 01131120 t 3. OMB 0651-0031
U.S. Patent and Tradema~ Offke; U.S. DEPARTMENT OF COMMERCE
Under the P-rwork Reduction Act of 1995, no -rsons are ........ ured to r&"""nd to a col'8ctlon of Information unless it dis....J"'"S a vaHd OMB control number
STATEMENT UNDER 37 CFR 3.73Ccl

ApplicanVPatent Owner: Massachusetts Institute Of Technology
Application No./Patent No.: 8,697,359
Filed/Issue Date: _04_-1_5_-_2_01_4_ _ _ _ _ _ _ __
Titled: CRISPR-CAS SYSTEMS AND METHODS FOR ALTERING EXPRESSION OF GENE PRODUCTS
, a University
------------~~-~
(Name of Assignee)
(Type of Assignee, e.g., corporation, partnership, university, government agency, etc.)
states that, for the patent application/patent identified above, ii Is (choose .!!DI of options 1, 2, 3 or 4 below):
t.
2.
D
D
The assignee of the entire right, title, and interest.

An assignee of less than the entire right, title, and interest (check applicable box):
LJ The extent (by percentage) of Its ownership interest is
%. Additional Statement(s) by the owners

holding the balance of the Interest must be submitted to account for 100% of the ownership interest.
There are unspecified percentages of ownership. The other parties, including inventors, who together own the entire
right, title and interest are:
Additional Statement(s) by the owner(s) holding the balance of the Interest must be submitted to account for lhe entire
right, title, and interest.
3.
The assignee of an undivided interest in the entirety (a complete assignment from one of the joint inventors was made).
The other parties, including inventors, who together own the entire right, title, and interest are:
IThe Broad Institute, Inc.

Additional Statement(s) by the owner(s) holding the balance of the interest must be submitted to account for the entire
4.
The recipient, via a court proceeding or the like (e.g., bankruptcy, probate), of an undivided Interest in the entirety (a
complete transfer of ownership interest was made). The certnied document(s) showing the transfer is attached.
The interest identified in option 1, 2 or 3 above (not option 4) is evidenced by either (choose .!!!ll! of options A or B below):
A.
An assignment from the inventor(s) of lhe patent application/patent identified above. The assignment was recorded in
the United States Patenfand Trademark Office at Reel
031409. 032160
Frame
DBB8. 0850
or far which a copy
thereof is atlached.
8.
A chain of title from the inventor(s), of the patent application/patent identified above, to the current assignee as follows:
The document was recorded in the United States Patent and Trademark Office at
Reel----~
Frame _ _ _ _ _ , or for which a copy thereof is attached.
2.From: ----------------~To:-----------------The document was recorded In the United States Patent and Trademark Office at
Reel
, Fram----~ or for which a copy thereof is attached.

(Page 1 of 2)
This collection of inlormation is required by 37 CFR 3,73(b), The inlormation is required to obtain or retain a benefit by the plblic which Is to file (and by the USPTO to
process) an application. Confideniiality is governed by 35 U.S.C. 122 and 37 CFR 1.11 and 1.14. This collection is estimated to take 12 minutes to complete, Including
~thering, preparing, and submitting the completed application form to the US PTO. Time wBI vary depending upon the individual case. Any comments on !he amount
of time you require to complete this form and/or 8UQIJ8Slions for reducing this burden, should be sent to the Chief lnformatk>n Officer, U.S. Patent and Trademark
Office. U.S. Department of Commerce, P.O. Box 1450, Alexandria, VA 223131450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADO RESS. SEND
TO: Commissioner tor Patents, P.O. Box 1450, Alexend~. VA 22313-1450.
If you need assistance in completing the form. call I-800-PT0-9/99 and select oprion 2.
PTO/AIA.196 (06 12)

Approved for use through 01131/2013. OMS 0651 0031
U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
nd to a collection of information unless it
a valid OMS control number.
Under the Pa
STATEMENT UNDER 37 CFR 3.73!c)

3.From: ----------------~To:-----------------The document was recorded in the United States Patent and Trademark Office at
Reel _ _ _ _ _
Frame----~
or for which a copy thereof is attached.
4.From: ------~~-----~--~To:---~-------~-----The document was recorded in the United States Patent and Trademark Office at
Reel----- Frame _ _ _ _ _, or for which a copy thereof is attached.
5.From: --------~-------~To:-----------------The document was recorded In the United States Patent and Trademark Office at
Reel----- Frame _ _ _ _ _ , or tor which a copy thereof is attached.
S.From: ----------------~To:-~---------------The document was recorded in the United States Patent and Trademark Office at
Reel----~ Frame----~ or for which a copy thereof is attached.
Additional documents in the chain of title are listed on a supplemental sheet(s).
As required by 37 CFR 3.73(c)(1 )(i), the documentary evidence of the chain ot tttle from the original owner to the
assignee was, or concurrently is being, submitted for recordation pursuant to 37 CFR 3. t1.
[NOTE: A separate copy (I.e., a true copy of the original assignment document()) must be submitted to Assignment
Division in accordance with 37 CFR Pan 3, to record the assignment in the records of the USPTO. See MPEP 302.08}
1s supplied below) Is authorized to act on behalf of the assignee.
Date '
Title or Registration Number
Printed or Type
[Page 2 of 2]

requirements of the Act, please be advised that: (1) the general authority for the collection of this information Is 35
U.S.C. 2(b)(2); (2) furnishing of the information solicited is voluntary; and (3) the principal purpose for which the
information is used by the U.S. Patent and Trademark Office is to process and/or examine your submission related
to a patent application or patent. If you do not furnish the requested information, the U.S. Patent and Trademark
Office may not be able to process and/or examine your submission, which may result in termination of proceedings
or abandonment of the application or expiration of the patent.
The information provided by you In this form will be subject to the following routine uses:
1. The information on this form will be treated confidentially to the extent allowed under the Freedom of
Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 552a). Records from this system of records
may be disclosed to the Department of Justice to determine whether disclosure of these records is
required by the Freedom of Information Act.
evidence to a court, magistrate, or administrative tribunal, including disclosures to opposing counsel in the
course of setttement negotiations.
3. A record In this system of records may be disclosed, as a routine use, to a Member of Congress
submitting a request involving an individual, to whom the record pertains, when the Individual has
having need for the information in order to perform a contract. Recipients of information shall be required
to comply with the requirements of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C. 552a(m).
5. A record related to an International Application filed under the Patent Cooperation Treaty in this system of
records may be disclosed, as a routine use, to the International Bureau of the Worid Intellectual Property
Organization, pursuant to the Patent Cooperation Treaty.
(42 U.S.C. 218(c)).
Services, or his/her designee, during an inspection of records conducted by GSA as part of that agency's
responsibility to recommend improvements in records management practices and programs, under
authority of 44 U.S.C. 2904 and 2906. Such disclosure shall be made in accordance with the GSA
regulations governing inspection of records for this purpose, and any other relevant (i.e., GSA or
publication of the application pursuant to 35 U.S.C. 122(b) or issuance of a patent pursuant to 35 U.S.C.
151. Further, a record may be disclosed, subject to the limitations of 37 CFR 1.14, as a routine use, to the
public if the record was filed in an application which became abandoned or in which the proceedings were
terminated and which application is referenced by either a published application, an application open to
public inspection or an issued patent.
9. 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 USPTO becomes aware of a violation or potential violation of law or regulation.
U.S. 8, 771,945
PTOJAIA/&IA (Ol-15}
-- -
~I
PATENT POWER OF ATTORNEY

OR
AND
Appfo'ltd for use tf1roul,h 01/.l1J20l!. OMB 0651.Q03S

V.S. htent and Trademark Office; t.tS. DIPAltTMENT Of COMMEacl
Patent Number
blue Date:
8,771.945
07-08-2014
Feng Zhang, Cllmbrldge, MA (US)

METHODS FOR Al.TERING
Attorney Docket No.
55018-100fl9.!l45B
DA Power of Anomey Is submitted herewith.

OR I llerell'{ appoint Prlaklaner(sj assoclaled wllll lheC......., NUrnber ldenllfild In lite boxat rlfht., rrff/O!Jr
18) anomey(s) or agent(s) with respect ta the patent idtntifltd above, and to transact all business In the United
12574
States Pacenc; and Trademark omce connected th-.with:

OR
named below as my/our attorney(s) or agent(st with respect to the patent ldenttfied above, and to transact
atl business in the United States Patent and Tntdemlf1I: Office tannected therewith:
Prac:titlootrlsl Name
istRUon Number
0I~1;1polnt PnctitkM'Jer(s)
Pklase recognile or chanp the correspondence 1ddrm for tM abow-identlfied patent to:
~The addres.s associated wilh the abov&-IRntHied Cuttorner Number.
0 The address associated wilh me Customer Number identified in the box at right:
OR
oflnnor
ll'divtdual N1me
Address
15'.ttel
lift I
Coun~
Telephone
If- I
lamlhf:
DAppUcant
OR
18)
Patent owner.
St~nt utkkr 37 CFR 3.13(cJ {Form l'TO/AIA/961 JllbmltMI Mnwlth 01 filJ on
s--..
N"""
riti. Ind LlVNllt.IW
ntot
;--!Ii
tmn: Sl&natures of all the applfcant$or patint
tent
...... ~ 1-
: Dot
'Te
iii
hone
Li~"" ~-
'
.INC.
or their repruantltive{t} are requk'1tct tf more thin one siptu rt

is required, submit multiple forms. check the boic below, and kjentlfy the totat number of lorms submitted in the blank below,
[lJAtoalof 2
forms are submlttltd.
T1ds: collecrion of VtftmMtlon Is rtqt.dftd by 31 CM 1 31, 1,32, and l 31. TM !Aformado1HS. rtqWccf to obtain Dr main 11 beneflt by tht pu*, wtu:h is \Cl wPCiatt
(nd by Utt USPTO to proca$) lhc fiftof I palt'nt or rff.Am\nfticllt ~ ConflClflttilltyk aovernedby 15 u.s C, J:Zl Ind 37 CfR 1-14. This ~lion IS
cs&JTM\fll to take 3 minutts co~. ll'ldudlr!J ptl'lerlnl. prepatfnc. and suilmitt!ng the (ompleted ~ form 10 the USl'f'O. Tlmr wllfwry dtPli'dln&
upon Che iftcivldu.I c:ase. Al'ff commtnll on the: amount of drM you require to comsr".de lhiS form tnd/ ffllPStions for red\lctna; 'lh\1 burden, should bt um 10
the Chkrflnformat'4n Officer, U.S.. P~1en' and TrademaR-Offlet, U.S.~ of COmmettt, P.O. Box 1450, AIPM!dria, VA. 22S1J.14SO. 00 NOT SENOffES OR
COMPLETEO FORMS TO THIS ADDRESS. SEND TO: Commtmo.lf for h\tfttl, P.O. tOlf USO. Nbandrla, VA 12111-J450.
If )'OU Medassisfarl IAcomplttlnf fM[otm. mll l.f00.PF0-91ffond~oprtonl.

The Privacy Act of 1974 (P.L. 93-5711) requires that you be given cet1aln lnfonnation In connection with your
submission of the attached form related to a patent application or patent Accordingly, pursuant to the
requirements of the Act, please be advised that: (1) the general authority for the c:ollecflon of this Information Is
35 U.S.C. 2(b)(2); (2) furnishing of the lnformafion solicited Is voluntary; and (3) the principal purpose for which
the Information Is used by the U.S. Patent and Trademark Office Is to process and/or examine your submission
related to a patent appllc1!llon or patent. If you do not hmlsh the requested information. the U.S. Patent and
Trademark Office may not be able to process and/or examine your submission, which may result In tennination
The information provided by you in this form win be subject to the foUowing routine uses:
1. The lnformatfon on this form will be treated conlldentiaUy to the extent allowed under the Freedom of
lnfonna!lon Act (5 U.S.C. 552) and the Privacy Act (5 u.s.c 552a). Records from this system ol
records may be disclosed to the Department of Justice to determine whether dlsctosure of these
2. A record from this system ol records may be disclosed, as a routine use, In the course of presenting
evidence to a coun, magistrate, or administrative tllbunal, including disclosures to opposing counsel In
the course ol setuement negotiations.
submitting a request Involving an Individual, to whom the record pertains, when the lndlvldual has
requested 11$Slstance from the Member with respect to the subject matter ol the record.
4. A record In this system of records may be disclosed, as a routine use, to a contractor of the Agency
having need for the lnfonnatlon In order to perform a contracL Recipients of information shall be
552a(m).
5. A record related to an lntematfonal AppllcaUon flied under the Patent Cooperation Treaty in this
system of records may be disclosed, as a rouUne use, to the lntemational Bureau ol the World
6. A record In this system of records may be disclosed, as a routine use, to another federal agency lor
purposes of National Security review (35 U.S.C. 181) and for review pursuant to the Atomic Ert8f9Y Act
(42 U.S.C. 218(c)).
Serllices, or his/her deslgnee, during an Inspection of records conducted by GSA as part of that
under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall be made In accordance with the
GSA regulations governing inspection of records for this purpose, and any other relevant (I.e., GSA or
Commerce) directive. Such disclosure shall not be used to make determinations abOut lndMduals.
e. A record from this system ol records may be dlscfosed, as a routine use, to the public after either
U.S.C. 151. Further, a record may be disclosed, subject to the Hmltallons of 37 CFR 1.14, as a routine
use, to the public If the record was flied in an application which became abandoned or In which the
proceedings were terminated and which application Is referenced by either a pUbilshed application, an
9. A record from this system of records may be disclosed, as a routine use, to a Federel, State, or local
law enforcement agency, If the USPTO becomes aware of a vlohltlon or potential violation of law or
regulation.
"""""""1or ....
PTOIAIAi9e ~12)
1111aug11Olr.ll/2013.OMll0651<1031
US. Pat... and T - Oltlce, U.S. DePARTMENT OF COMMiRCE
Under1heP-....W Reductlon~ol 1995. no ....- - are ---'-"'to r--- ... toaoollecPonofinlDrmationunlns 11 -'---- avatttOMBcontrol n->---.

Applicant/Patent Owner: The Broad Institute, Inc.
Application NoJPatent No.: 8,771,945
Fdedllssue Date: -'0;.;.7...:-08c:...::-2:::.0c.14'------T4ied: CRISPR-cAS SYSTEMS ANO METHODS FOR ALTERING EXPRESSION OF GENE PRODUCTS
_T_he_B_roa_d_ln_s_u1u_1e_,_Inc_._ _ _ _ _ _ _ , a Not for profit Institution.
(N.,,. ol Anlgneel
(l)p8 of Ass~. ~g.. CCllpO!l1lon. pannot1~. unlve11l1y, _ , . ogency, 81CJ
states that, for the patent appllcatlon/patenl identified above, it Is (choose 2!!! of options 1, 2, 3 or 4 below):
1.
2.
0
0
The assignee of the entire right, title, and Interest
Ao assignee of less than the entire right, tltle. and Interest (check applicable box):
LJ The extent (by paicentage} of its ownership interest Is

holding the balance of the Interest mu91 be submitted 10 accoum for 100"4 of the ownership Interest.
There are unspecified paicentages of ownership. The Olher parties. Including inventors, who together own the entire
right, title and Interest are:
Additional Stalemen~s) by the owner(s) holding the balance of the interest must be subn!llt!!d to account for the entire
right, Ude, and Interest.
3.
The assignee of an undivided interest In lhe entirety (a complete assignment from one of the join! inventors was made).
The other parties, Including ln\/entors, who together own the entire right, title, and Interest are:
IMassachusetts Institute of Technology
Additional Slatemen~s) by the owner(s} holding the balance of the interest must b!! submitted to account for the endre
right, title. and Interest.
4.
The recipie'nt, via a coutt proceeding or the like (e.g., bankruptcy, probate), of an undivided Interest In the entirety (a
complete transfer of ownership inlelesl was made). The cartlfied documem(s) showing the transfer Is attached.
The Interest ldentilled in option 1, 2 or 3 above (not option 4) iS evidenced by either (choose J!lll! of options A or B below):
A.
Ao assignment from lhe inventor(s) ol the paten! applicatlon/palenl identified above. The assignment was recorded In
the United Slates Patent and Trademark Office at Reel 032378
Frame 0001
or for which a copy
B.
A chain of Ude from the in\/entor(s), of the patent applicadon/patem identified above, to the current assignee as follows:
1. From:
To:---------------
The documem was recorded In the United States Patent and Trademark Office at
Reel
2. From:
Frame
or for which a copy thereof Is anached.
To:--------------The document was recorded in the Unked States Patent and Trademark Office at
Reel
Frame
I&-
or lor which a copy thereof Is attached.
[Page 1of2]
Tl!l1s ''lldlon o f , , , _ ls by 37 CFR 3.73(b). The-llOn
IO oblaln or r - - b y tho whicl! Is 10 me {Ind by tho USPTO IO
pmcess} an pplltatlon. ConfidMtlallty ii governed by 35 u.s.c. 122 and 37 CFR 1. t 1 anc:1 t. t4. ms colfdon ts estimated IQ tMe 12 minutes 10 cornpSete, lncll.ldlng
gathering, preparing. and l\ltlmlttlng the compltlecl IPS)ilCatlon form to the USPTO. Tma will vtJI'/ depetdng upon the fndMdual case. My comments on lht amount
of limo you ttqUlre IO compiele this form anci'orsuggestlone tor ftducing this bl.Iden, should be tent to the Chief lnformltlOn Officet, U.S. Patent andTrlemlfk
Ollk:e. u.s. Dopal1ment of c.mmeree, P.O. Box 1450. Aleundrill, VA 22313-1450. 00 NOT SEND Fees OR COMP\.ETED FORMS TO THIS ADDRESS. SEND
TO: COmmlalolllf lor Petenta, P.O. Box 1450, Ale-d~I, YA 22313-14511.
Ifyou need assistance in comple1ing thefonn, call J-800.PT09199 and sel.cr op1ion 2.
.
SJATEMENT UNDER 37 CFR 3.73(cl
3. From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ T o : - - - - - - - - - - - - - - The document was rec:on:led In lhe United States Patent and Trademark Olflce at
Reel _ _ _ _~Frame _ _ _ _~ or forwhitll a copy thereof is attached.
4. From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ T o : - - - - - - - - - - - - - - -
The document was recorded in the Uniled States Palen! and Trademark Office at
Reel----~
~From:
Frame _ _ _ _ , or tor which a copy lllefeof is anached.
_______________ To: _ _ _ _ _ _ _ _ _ _ _ _ _ __
The documenl was rec:orded in the United States Patent and Trademark Office at
Reel
, Frame
or tor which a copy theteof IS attached.
aFtom: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ To: _ _ _ _ _ _ _ _ _ _ _ _ _ __
The doc:umenl was rec:orded In the United States Palent and Trademark Office at
Ree----~
Frame _ _ _ _~ or lorwhich a copy thereof is auached.
Addl!lonal documents In Iha chain of tl11e are llsled on a supplemental sheef(s).
As required by 37 CFR 3.73(c)(1 )(i), the documentary evidence of lhe chain of line from the original owner lo lhe
assignee was. or concurrently is being, submitted for recordatioo pursuant to 37 CFR 3.11.
(NOTE: A separate copy (I.e .. a lrue copy of lhe original assignment documenl(s)) must be submitted to Assignment
Division in accordance with 37 CFR Part 3, to record lhe assignment in the rec:ords ol lhe USPTO. See MPEP 302.0SJ
llen Law
Senior Advisor to the Di'8C:tQr

Ttlle or Registration Number
Printed or Typed Name
[Page 2 of 2)

The Privacy Act ol 1974 (P.L. 93-579) requires that you be given certain Information in connection with your
requirements of the Ac~ please be advised that: (1) the general authority for the collection of this Information is 35
U.S.C. 2(b)(2); (2) furnishing of 1he Information solicited Is voluntary; and (3) the principal purpose for which the
Information Is used by the U.S. Patent and Trademark Office Is to process and/or examine your submission related
to a patent application or patent. If you do not furnish the requested Information, the U.S. Patent and Trademark
The Information provided by you In this form will be subject to the following routine uses:
1. The Information on this form will be treated confidentially to the extent allowed under the Freedom of
Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 5528). Records from this system of records
may be disclosed to the Department of Justice to determine whether disclosure of these records Is
required by the Freedom of Information AcL
evidence to a court, magistrate, or administrative !nounal, Including disclosures to opposing counsel In the
course of settlement negotiations.
submitting a request Involving an Individual, to whom the record pertains, when the Individual has
requested assistance from the Member with re&pect to the subject matter of the recoro.
having need for the Information In order to perform a contract Recipients of Information shall be required
5. A recoro related to an International Application filed under the Patent Cooperation Treaty in this system of
records may be disclosed, as a routine use, to the International Bureau of the World Intellectual Property
6. A record In this system of records may be disclosed, as a routine use, to another federal agency for
(42 U.S.C. 218(c)).
Services, or his/her designee. during an Inspection of recoros conducted by GSA as part of that agency's
responsibility to recommend Improvements In records management practices and programs, under
authority of 44 U.S.C. 2904 and 2906. Such disclosure shall be made In aceo<dance with the GSA
regulations governing Inspection of records for this purpose, and any other relevant (i.e., GSA or
Commerce) directive. Such disdosure shall not be used to make determinations about Individuals.
8. A record trom this system of records may be disclosed, as a routine use, to the public alter either
publication of the application pursuant to 35 U.S.C. 122(b) or Issuance of a patent pursuant to 35 U.S.C.
151. Further, a record may be disclosed, subject to the limitations ol 37 CFR 1.14, as a routine use, to the
public If the record was filed In an application which became abandoned or In which the proceedings were
terminaled and which application Is referenced by either a published application, an application opsn to
public inspection or an Issued patent.
enforcement agency, II the USPTO becomes aware of a violation or potential violation ol law or regulation.
----------
---------------
PTO/AIA/81A (0215)
,__
'--'-- ...__ Pane
ctl"nAct
-~-r
nc a., rnuir

OR
AND
Approved for use thro0u1h 01/31/2018. OMB 0651-0035

U.S. Patent and Trademarl( Office; U.S. DEPARTMENT OF COMMERCE
I ...., . 1- - v""
I
Patent Number
8,771,945
'"
Issue Oate
07-08-2014
first Named Inventor
Title
CRISPR-CAS SYSTEMS ANO

METHODS FDR ALTERI NG
Attorney Docket No.
55018-10069-945M
_)
I hereby revoke all previous powers of attorney given in the above-identlfled patent.
A Power of Attorney Is submitted herewith.
OR J hereby appoint Practltionerfs) associated with tile Customer Number identified in the box at right as my/our
~ attorney(s) or agent(s) with respect to the patent Identified above, and to transact all business in the United
12574
States Patent and Trademark Office connected therewith:

OR
I hereby appoint Practitioner(s) named below as my/our attorney(s} or agent(s) with respect to the patent Identified above, and to transact
all business in the United States Patent and Trademark Office connected therewith:
Registration Number
Practitloner(sJ Name
Please recognize or change the correspondence address for the above-identified patent to:
l2SJ The address associated with the above-identified Customer Number.

OR
The address associated with the Customer Number Identified in the box at right:
OR
OFinnor
Individual Name
Address
I State I
City
Country
Telephone
Email
I Zip I
I am the:
Applicant,
OR
18] Patent owner.

Sratement under 37 CFR 3. 73(c} (Form PTO/Alj./96} submitted herewith orflied on
~I
SiRnature
Name
Title and Compan
~~/Y
NATURE at
cant or Patent owner
-~
MASSACHUSETTS INSTITUTE Of TECHNOl.OGV
'
Date
I " I ..., ,_, /.'""'
(
Telephone I .1_
,'
1 -
'":'li A
NOTE: Signatures of all the applicants or patent owners of the entire Interest or their representative(s) are req'ufre~. If more than
is required, submit multiple forms, check the box below, and Identify the total number of forms submitted in the blank below.
!Z]Atotalof 2
one si{nature
This collection of Jnformoition is requ1rvd by 37 CFR 1.31, 1.32, and 1-33. The Information 1$ required to obtain or retain a benefit by the public, which Is to update
{and by the USPTO to proees.s) the file of a patent or reexamination proceeding. Confldentlallty i$ governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is
estimated to take 3 minutes to complete. Including g;ithering, preparing. and submitting the completed application form to the USPTO. Time will vary depending
upon the individual case. Any comments on the amount af time you require to complete this form and/or suggestions for reducing this burden, should be sent to
thll!: Chief Information Officer, U.S. Patent and Trademark Officll!:, U.S. Department of Commerce, P.O. 8oK l4SO, AleKandrla, VA 223131450. 00 NOT SEND FEES OR
COMPLITI:D FORMS TO THlS ADDRESS. SEND TO: Commbsloner for Patents, P.O. lox 1450, Aleundria, VA UJU.1450.
If ycu rn!ed ossiStance in corrlptetlng fhejorm, call JBOO.PT0-9199 and select option 2.

requirements ol the Act, please be advised that: (1) the general authority lor the collection of this information is
the information is used by the U.S. Patent and Trademark Office is to process and/or examine your submission
Trademark Office may not be able to process and/or examine your submission, which may result in termination
1.
Information Act (5 U.S.C. 552) and lhe Privacy Act (5 U.S.C 552a). Records from this system of
records Is required by the Freedom of information Act.
evidence to a court, magistrate, or administrative tribunal, Including disclosules to opposing counsel in
having need for the information in order to perform a contract. Recipients of information shall be
552a(m).
(42 U.S.C. 218(c)).
agency's responsibility to recommend Improvements in records management practices and programs,
B. A record from this system of records may be disclosed, as a routine use, to the public alter either
use, to the public if the record was .filed in an application which became abandoned or in which the
application open to public inspection or an issued patent.
law enforcement agency, if the US PTO becomes aware of a violation qr potential violation of law or
regulation.
PTO/AIA/96 (08-12)
Approved 1or use through 0113112013. OMB 0651-0031
Under the PBDerwork Reduction Act of 1995 no ....rsons are reauired to resnond to a collection ot information unless it d""""lavs a valid OMB control number.

ApplicanVPatent Owner: Massachusetts Institute of Technology
Titled:
Filed/Issue Date: _0_7_-0_B-_20_1_4_ _ _ _ _ _ _ __
CRISPR-CAS SYSTEMS AND METHODS FOR AlTERING EXPRESSION OF GENE PRODUCTS
Massachusetts Institute ofTechnology
----------------~
a University
(Name ol Assignee)
states that, for the patent application/patent identified above, it is (choose!!!!! of options 1, 2, 3 or 4 below):
1.
2.
D The assignee of the entire right, title, and interest.

D An assignee of less than the entire right, title, and interest (check applicable box):
LJ The extent (by percentage) of its ownership interest is
%. Additional Statement() by the owners
holding the balance of the interest must be submitted to account for tOO'lo of the ownership interest.
Additional Statement() by the owner(s) holding the balance of the interest must be submitted to account for the entire
3.
4.
The recipient, via a court proceeding or the like (e.g., bankruptcy, probate), of an undivided interest in the entirety (a
complete transfer of ownership interest was made). The certified document(s) showing the transfer is attached.
The interest identified in option t, 2 or 3 above (not option 4) Is evidenced by etther (choose.!!!!!! of options A or B below):
A.
B.
An assignment from the inventor(s) of the patent application/patent Identified above. The assignment was recorded in
the Untted States Patent and Trademark Office at Reel 032878
, Frame 0001
, or for which a copy
thereof is attached.
A chain of title from the inventor(), of the patent application/patent identified above, to the current assignee as follows:
The document was recorded In the United States Patent and Trademark Office at
Reel _ _ _ _ _ , Frame _ _ _ _ _ , or for which a copy thereof is attached.
2.From: ----------------~To:~----------------The document was recorded in the Untted States Patent and Trademark Office at
Reel----~

[Page 1 of 2]
This collection of information is required by 37 CFR 3. 73(b). The Information Is required to obtain or retain a benefit by the public which ls 10 file (and by the USPTO to
process) an application. Confidentia!it)' is governed by 35 U.S.C, 122 and 37 CFR 1.11 and t.14. This collection is estimated to lake 12 minutes to complete. including
gathering, preparing, and submitting the comple1'd appllcation form to the USPTO. Time wm vary depending upon the individual case. Any comments on the amount
of lime you require lo complete this form and/or suggestions for reducing !his burden, should be sent to lhe Chief Information Officer, U.S. Patent and Trademark
Office, U.S. Departmentol Commerce, P.O. Box 1450, Alexandria, VA 223131450. DO NOT SEND FEES OR COMPLETED FOAMS TO THIS ADDRESS. SEND
TO: COmmlssloner for Patents, P.0. Box 1450, Alexandria, VA 223131450.
lf yo11 need assistance in completing the form, call 1-800-PT0-9/99 and select option 2.
PTO/AIA/96 (0812)
Approved for use through 01131/2013. OMB 06510031
d to a collection of information unless it d" a s a valid OMB control number.
Under the P

3.From: ----------------~To:-----------------The document was recorded in the United States Patent and Trademar1< Office at
Reel----~
Reel _ _ _ _ _ , Frame-----' or for which a copy thereof is attached.

6.From: ----------------~To:-----------------The document was recorded in the Unlled States Patent and Trademar1< Office at
Reel _ _ _ _ _, Frame _ _ _ _ _ , or for which a copy thereof is attached.
Addltional documents in the chain of title are listed on a supplemental sheet(s).
As required by 37 CFR 3.73(c)(1 )(i), the documentary evidence of the chain of title from the original owner to the
assignee was, or concurrently is being, submitted for recordation pursuant to 37 CFR 3. 11.
(NOTE: A separate copy (i.e., a true copy of the original assignment document(s)) must be submitted to Assignment
Division in accordance with 37 CFR Part 3, to record the assignment in the records of the USPTO. See MPEP 302.08]
Date
LlllL.N.,_
Printed or Ty
[Page 2 of 2]

The Prtvacy Act ol 1974 (P.L. 93-579) requires that you be given certain information in connection with your
requirements of the Act, please be advised that: (t) the general authority for the collection of this information is 35
The information provided by you in this form will be subject to the following routine uses:
t.
2.
3.
4.
5.
6.
7.
8.
9.
A record from this system of records may be disclosed, as a routine use, in the course of presenting
evidence to a court, magistrate, or administrative tribunal, Including disclosures to opposing counsel in the
A record in this system of records may be disclosed, as a routine use, to a Member of Congress
submitting a request involving an Individual, to whom the record pertains, when the individual has
to comply with the requirements of the Privacy Act of t974, as amended, pursuant to 5 U.S.C. 552a(m).
A record related to an International Application tiled under the Patent Cooperation Treaty in this system of
A record in this system of records may be disclosed, as a routine use, to another federal agency for
purposes of National Security review (35 U.S.C. t 8t) and for review pursuant to the Atomic Energy Act
(42 U.S.C. 2t8(c)).
A record from this system of records may be disclosed, as a routine use, to the Administrator, General
responsibility to recommend improvements In records management practices and programs, under
regulations governing inspection of records for this purpose, and any other relevant (i.e.. GSA or
A record from this system of records may be disclosed, as a routine use, to the public after either
publication of the application pursuant to 35 U.S.C. t 22(b) or issuance of a patent pursuant to 35 U.S.C.
t 51. Further, a record may be disclosed, subject to the limitations of 37 CFR t .14, as a routine use, to the
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 USPTO becomes aware ol a violation or potential violation of law or regulation.
U.S. 8, 795,965
PTO/AIA/llAI01-ISI
Approqd l'orUM UlrouJhOl/ll/lOll. OMI06Slo0035
...
U.S. h1cn1 a;nd Trldmlt11 Offk.t; U.S. OEPARtMENT OF COMMlRCE

r
Patent Number
8,795,965
'

OR
AND
ISSut Date
OHS-2014
Fim. Named tnventof
CRISPR-CAS COMPONENT SYSTEMS,

METHODS ANO COMPOSITIONS FOR
SEQUENCE MANIPUlATION
Anorney Do(:ket Na.
55018-10069-9658
DA Power of Attomey Is submitted herewith.

OR I lleteby appoint Practltioner(s) auodated wi1h Che Customer Number Identified In the box at right as my/otJr
l8]1ttomey{s) ot at;tnl{sJ whh respect to the pment identified lbovt. and to transact alt business in the United
12574
States Patent end Trade:m1rk Offke connected therMth:
Oii
hereby appoint Pnatrioner(5} named bektw as my/our anomey(s) or agent(s) with l'e$peCt to the patent Identified ilbove, and to transact
atl business In the United States Patent 1nd Tntdtm1rk Office connected therewith~
)Nome
-don Nu*'"
DI
PJease rec:ognq:e or chanp the c:orrespondem:e address for ihe aboveldt!ntlfled patent to:
~The address associated w;m the above-identified Customer Number.
D The 1ddreu nsodated with the- Customer Number Identified in the box at right:
Oii
ofirmor
lndlvidual Name
Address
I Stote I
I Zi I
COuntrv
Telephone
Emall
I am l:ht:
DAppllcant.
Oii
(RIPat-tnl owner.
....
Stotl!m8lt unrkr 31 CFR 3.13(c} (Form PTO/AIA/96} 1ubmltt~d hmtwlth or prtt on
.....
SlMllturt
Tttlt and Camrianv
,,,.
Qm;Or
r
ft>Jte
/.~
I~-
I Tl-.1.one I '
'
..
,INC
.rQD:: Si&natures of Ill the applicants Of patent owners the entire MeSt or their representative(s) are required, If more than 011e slcnatvre
is required, submit mufti~ forms. cbetk the- box below, and identify the tcnl numbet of fomu submitted in the blank below.
foons are submitted.
AIota! of 2
Ill
"
This coUettiOn of lnforrNtkln 11 r.qulrfi 'by 17 CFR 111. t.32, and 1,33. The lnfomqtlon 1$ rtq\lll'H o!3Qln or main a btMfir tw ''"' pvbtk, wf'lldl b to updMe
find by the USPTO to process) the me Of pat~ni or rttdminat!orl procffdlnt. Confldmlality k aoverl\tdbr 3S u.s.c. lll 1nct 37 CfJI 114. This caltec1'on "
t$llmJlcd Ut I.Ike ! mlnvta ta comp!tt., lnWdlfll'. pdwtfll, ~ Ind SUbmlltlnc the compleld .,pllcltlon form to dlt IJSPTQ, 'fbnt wUl Vlf't ct.pendl"I
UIJOt't the lndlvidull cue, Alff comments" \he amount or tlnw p i ~ctt*c tit compreie drilform ltld/fK Sl.JIFStlon for reduc\tlt 1hls bwrdt11, should k sent to
I.ht ChlfflnformWGROfflc, U.$, PahlntJndTradtmatk Offlet, VS,~ oftommttce. PO. 80Jt l4SD, Aluandrtl, VA mUl4SO. DO NOTS END ,.US Oft
COMPl.MD fOftMS TOTHIS AODMSS. SINDTO: CffNllisdoftef for htents, P.O. I l4SI. Alaandria. VA llllJ..1450.
l/JIOU MHiosslstonct lnc:ompll'tlng tltefor\ coll J..f00.no.91Drmdsdra optton Z.

The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain lnlormallon In connection with your
submission of the attached fOn'n related to a patent appllCalion or patent. Accordingly, pursuant to the
requirements of the Act, please be advlsed that (1) the general authority for the colleclfon of thiS lnfonnat!on Is
35 u.s.c. 2(b){2); (2) furnlshlng of the Information solicited is voluntary; and (3) the principal purpose for which
the lnfonnation IS used by the U.S. Patent and Trademark Office iS to process and/or examine your submiSSlon
related to a patent application or patent. II you do not furnish the requested lnformlll!on. the U.S. Patent and
of proceedings or abandooment of the application or expiration of the patent
The Information provided by you In this form will be subject to the following routine U$88;
1. The Information on this form wlH be treated confidentially to the extent allowed under the Freedom of
Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 552a). Rec:oids from lhiS system of
records may be disclosed to the Department of Justice to determine whether disclosure ol these
records Is required by the Freedom of lnformallon Act.
2. A record from this system of records may be dl&ciosed, as a routine use, In the course of p19Senting
evldel'ICG to a court, magistrate, or administrative lnbunal, Including disclosures to opposing counsel in
the course of selllement negotiations.
3. A record In this system of records may be disclosed, as a routine use. to a Member of Congress
submllllng a raquest Involving an Individual, to whom the record pertains, when the Individual has
requested assistance from the Member with respect to the subjeel matter ol the record.
4. A record In this system ol records may be disclosed, as a routine use, to a contractor of the Agency
having need for the Information in order to perform a contract. Recipients ol information shall be
required to comply with the requirements of the Privacy Act ol 1974, as amended, pursuant to 5 U.S.C.
552a(m).
system ol records may be <isclosed, as a routine use, to the International Bureau of the World
lnleffectual Property Organlzalfon, pursuant to the Patent Cooperation Treaty.
8. A record In this system ol records may be cfisclosed, as a routine use, to another federal agency for
purposes of Nalional Securlly review (35 U.S.C. 181) and for review pursuant to the Atomic Energy Act
(42 u.s.c. 21 B{c)).
Services, or his/her deslgnee, during an lnspecticn of records conducted by GSA as part ol that
agency's responsibiHty to recommend Improvements in records management practices and programs,
GSA regulations governing inspection ol records for this purpose, and any other relevant (i.e., GSA or
a A record from this system of records may be disclosed, as a routine use, to the public after either
U.S.C. 151. Further, a record may be disclosed, subjeel to the limitations ol 37 CFR 1.14, as a routine
use, to the public ff the record was filed In an application which became abandoned or in which the
proceedings were terminated and which appffcation Is referenced by either a published appllcailon, an
application open to public inspection or an Issued patent.
9. A racord from this system ol records may be disclosed, as a routtn11 use, to a Federal, State, or local
law enforcement agency, if the USPTO becomes aware of a viOlatlon or potential violation of law or
regulation.
Reduction Ad of t
STATEMENT UNDER 37 CFR 3.73{cl

AppliCant/Patent Owner. The Broad Institute, Inc.
Appllcalion No.IPatent No.: 8,795,965
Filed/Issue Date:
_os-o
__s-_2_01_4_ _ _ _ _ __
Trtled: CRISPRCAS COMPONENT SYSTEMS, METHODS AND COMPOSITIONS FOR SEQUENCE MANIPULATION
a Not for profit Institution.

--~-----------------~
states that, for the patent appllcation/patent Identified above, It Is (choose .!!!!I of options 1, 2, 3 or 4 below):
1.
The assignee of the entire right, title, and lnte18Sl
2.
All assignee of less than the entire right, tide, and interesl (ched< applicable box):
LJ The extent (by pen:entage) of Its ownership Interest 1$

%. Additional Statement(s) by the OWl18fS
holding the balance of the Interest must be subn!lt!ed to account for 100% of the ownership Interest.
0 There are unspecified percentages ol ownership. The other parties, Including Inventors, who together own the entire
Additional Statement(s) by the owner(s) holding the balance of the Interest must be subffi!tted to account for the entire
3.
The assignee of an undivided Interest in the entirety (a complete assignment from ona of the joint Inventors was made).
The olher parties, including
Inventors, who together own the entire right, title, and Interest are:

Addhlona! Statement(s) by the owner(s) holding the balance of the interest must be submitted to account for the enttre
right, title, and interest
4.
The recipient, via a coun proceeding or the Hke (e.g.. bankruptcy, probate), of an undivided Interest In the entirety (a
complete transfer of ownership Interest was made). The cenffied document(s) showing the transfer iS adached.
The Interest ldantllied In option 1, 2 or 3 above (not option 4) IS evidenced by either (choose
lllll of' options A or B below):
' ,,,
,
A.
All assignment from the lnventor(s) of the patent applicatlonlpatent k!entilied. above. The assignment was recorded In
the United Stetes Patent and Trademark Office at Reel 032943
Frame om
or for which a copy
B.
A chain of tide from the lnveruor(s), of the paten! application/patent identified above, to the cutTenl assignee as follows:
Reel
2. From:
Frame
or for which a copy thereof 1$ attached.
To:--------------The document was recorded In the United States Patent and Trademark Office at
Reel
Frame

(Page 1ol2)
This_al_it_br37CFR3.'3(bl, Thelnformal/OnlS_IO_,n.,._a_bylhep--ls10 ... (andbrtl>oUSPTO.,
,.......) an appllcaUon-COnrodeotiallty Is flO'Wmed 111' 3S U.S.C. 122 and 37 CFR 1.11 and 1.1'. This COliecllon Is Mllmllod IO """' 12mlnules to complete.~
galhetlng. prepedng, and .-ltllng lhe completed IPllltlllOrl lonn 10 Ille USPTO. Tune wHI vary~ upon the lnliYidual ..... Mt cornmenlS on lhe .......
of lime you require IO complete this torm lld suggesliOrlt for red!Jd119 this burden. shoWd bo sent to the Chief lntormation Of1iectl', U.S. p_,,. and T~
Oltlce. U.S.~ of eomm..... P.O. Bo 1450, .. VA 22'1131450. DO NOT SEND Fl!ES ORCOMPLeTEO FORMS TOTHISADllAESS. Sl!ND
TO: Commlutonor for Patonta, P.O. Box 1450, Ale-drta, VA 22313-1450.
If you need assisrance in completing the form. col/ l-8DIJ.PT09199 and se/ecr option 2.
...
Reductkln Act of t
!AJEMENT UNDER '.f1 CFR 3.73{cl

3.From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ To: _ _ _ _ _ _ _ _ _ _ _ _ _ __
The document was recorded In the United States Patent and Trademark Office al
Ree----~ Frame _ _ _ _, or for which a copy !hereof Is attached.
4.Fmm: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ To: _ _ _ _ _ _ _ _ _ _ _ _ _ __
The document was recorded in the United Slates Patent and Trademark Office at
Reel _ _ _ _, Frame _ _ _ _~ or lor whlcb a copy !hereof Is attached.
5. From:--------------- T o : - - - - - - - - - - - - - - The document was recorded in the United States Patent and Trademark Office at
Reel _ _ _ _~ Ftame _ _ _ _~or for which a copy thereof is attacheO.
aFtom: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ To: _ _ _ _ _ _ _ _
~~-----
The document was recorded In the United States Patent and Trademark Office al
Reel
, Frame
or for which a copy thereof is a - .
Additional documents In the chain of title are llsled on a supplemental sheet(s).
As required by 37 CFR 3.~c)(1 )(i), the documentary evidence of the chain ot tiUe tram the original owner to Ille
assignee was, or concurrently is being, submitled lor recordalion pursuant to 37 CFR 3.11.
[NOTE: A separate copy (Le., a true copy of the original assignment document(s)) must be submitted IO Assignment
Division in accordance with 37 CFR Part 3, lo record the assignment In the records of the USPTO. See MPEP 302.08]
~
e
undersigned (
title Is SIJPPlled below) is authorized to acl on behalf of the assignee.
1ito u ,lPtLt
~oa~ta.,..._.::x.~,'""""'"-'"""""-~
Signs
Printed ot Typed
Senior Advisor to the Director
Tltle or Registration Number

(Page 2of 2)

The Privacy Act of 1974 (P.L 93-S79) requires that you be given certain Information In connection with your
submission of the attached form related to a patent application or palenL Accordingly, pursuant to the
requirements of the Act, please be advised that: (1) the general authority for the collecllon ol this information Is 35
U.S.C. 2(b}(2}; (2) furnishing of the information solicited Is volunl&fy; and (3) the principal purpose for which the
Information is used by the U.S. Patent and Trademark Office ls to process and/or examine your submission related
to a palent application or patent If you do not furnish the requested Information, the U.S. Patent and Trademark
OHice may not be able to process and/or examine your submission, which may result in tennlnatlon of proceedings
or abandonment of the application or expiration of the patent
The lnlormatlon provided by you in this form wlll be subject to the following routine uses:
may be disclosed to the Depanment of Justice to determine whether disclosure ol these recon:ls is
required by lhe Freedom of Information Act.
2. A record lrom this syslem ol records may be disclosed, as a routine use, in the course of presenting
evidence to a court, magistrate, or administrative tribunal, lnctudlng disclosures to opposing counsel In the
course ol set11ement negotiations.
submitting a request invOlving an Individual, to whom the recO<d pertains, when the Individual has
4. A record In this system of records may be dlsctosed, as a routine use, to a contractor of the Agency
having need for the Information in order to perform a contract Recipients of Information shall be required
5. A record related to an International Application tiled under the Patent Cooperation Treaty In this system of
records may be dlsclosed, as a routine use, to the International Bureau of the World lnteNectual Property
Organliallon, pursuant to the Patent Cooperation Treaty.
s. A record in this system of records may be disclosed, as a routine use, to another federal agency lor
purposes of National Security revtew (35 U.S.C. 181) and for revtew pursuant to the Atomic Energy Act
(42 U.S.C. 218(c)).
Services. or his/her deslgnee, during an Inspection of records conducted by GSA as pall of that agency's
responsibiHty to recommend Improvements In records management practices and programs, under
Commerce) directive. Such disctosure shall not be used to make determinations about lndMduals.
8. A record from this system of records may be dlsclosed, as a routine use, to the public after etther
publication of the appllcation pursuant to 35 u.s.c. 122(b) or Issuance of a patent pursuant to 35 U.S.C.
public If the record was flied In an application which became abandoned or In which the proceedings were
terminated and which appHcatlon Is referenced by either a published application, an applk:atlon open to
public Inspection or an Issued patenL
enforcement agency, If lhe USPTO becomes aware of a violation or potential violation ol law or regulation.
-----PATENT - POWER OF ATTORNEY
lln"A~thf!
..
r - .,...im
OR
AND
...
PTO/AIA/81A (0215)
Approved for use throuigh 01/31/2018. OMS 0651-0035
U.S. P;itrnt nd Trademark Office; U.S. DEPARTMENT OF COMMERCE
.~
s a - -"
control ,.,umher
;
--A
"
Patent Number
8,795,965
Issue Oate
08-05-2014
Tltle
CRJSPR-CAS COMPONENT SYSTEMS,

METHODS AND COMPOSITIONS FOR
SEQUENCE MANIPULATION
Attorney Docket No.
55018-10069-965M
I hereby revoke all previous powers of attorney given In the above-identified patent.
OR I hereby appoint Practitioner(s) associated with the Customer Number identified In the box at right as my/our
lg} attorney(s) or agent(s) with respect to the patent identified above, and to transact all business In the United
\2574
OR
I hereby appoint Practitloner(s) named below as my/our attorney{s) or agent(s) with respect to the patent Identified above, and to transact
Registration Number
Practitioner(s) Name

OR
The address associated with the Customer Number identified in the box at right:
OR
oFirmor
Individual Name
Address
City
Country
Telephone
l State
Emall
I Zip I
I am the:
0Appllcant.
OR
18]
Patent owner.
Statement under 37 CFR 3.73{c) /Form PTO/AW96) submitted herewith or filed on

/,N
Si11:nature
Name
Title and Company
,,'In
_, / u. 1 ...
IStGNATURE or ApoDcant or Pltent Owner
,,,.
I Cate
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I Telephone I r
SACHUSETIS INSTITUTE OF TECHNOLOGY
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Signatures of all the applicants or patent owners of the entire interest or. their representatlve(s) are required.
If more
than one
signa~Jrre
is required, submit multiple forms, check the box below, and identify the total number of forms submitted In the blank below.
A total of 2
~:
[ZJ
This oollectlon of mform;itJon 1s required by 37 C:FR 1.31, 1.32, and 1.33, The Information is required to obtilln or retain a benefit by the public. whlch is to update
(and by the US PTO to process) the file of ii patent or reeKamin;ition proceeding. Confldentl;illty Ls governed by 35 U.S.C 122 and 37 CfR 1.14. This collection is
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If you nettJ on15ronce In completing the/orm, call l-BOO-PT0-9l99 and selei:t optian 2.

The Privacy Act ol 1974 (P.L. 93-579) requires that you be given certain information in connection with your
552a(m).
(42 U.S.C. 218(c)).
7. A record from this system of records may be disclosed, as a routine use, lo the Administrator, General
GSA regulations governing Inspection of records for this purpose, and any other relevant (i.e., GSA or
8. A record from this system of records may be disclosed, as a routine use, to the public alter either
U.S.C. 151. Further, a record may be disclosed, subject to the limttations of 37 CFR 1.14, as a routine
use, to the public if the record was filed In an application which became abandoned or in which the
law enforcement agency, n the US PTO becomes aware of a violation or potential violation of law or
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1.
PTOIAIA/96 (OB-12)
Approved for use through 01131 '2013. OMB 0651-0031
Under the Pe.,..rwork Reduction Act of 1995 no mirsons are ...,.,..ulred to r-"'ond to a co&lectlon of information unless it di&-'-- a valid OMB control number.
STATEMENT UNDER 37 CFR 3.73!cl

Filed/Issue Date: _O_B_-0_5-_2_0_1_4_ _ _ _ _ _ __
nled: CRISPR-CAS COMPONENT SYSTEMS, METHODS AND COMPOSITIONS FOR SEQUENCE MANIPULATION
. a University
-----------------~
(Type of Assignee, e.g., corporation, partnership, university. government agency, etc.)
(Name of Assignee)
states that, for the patent application/patent identified above, it is (choose 21!! of options 1, 2, 3 or 4 below):
1.
2.
D
D
The assignee of the entire right, mle, and interest.

LJ The extent (by percentage) of its ownership interest Is

holding the balance of the interest must be submitted to account for 100% of the ownership interest.
There are unspecified percentages of ownership. The other parties, including Inventors, who together own the entire
right, tttle, and interest.
3.
Addltional Statement(s) by the owner(s) holding the balance of the interest must be submittecl to account for the entire
4.
The interest identified in option 1, 2 or 3 above (not option 4) is evidenced by either (choose!!!!!! of options A or B below):
A.
B.
An assignment from the inventor(s) of the patent application/patent identified above. The assignment was recorded in
the United States Patent and Trademark Office at Reel 032843
Frame 0210
Reel _ _ _ _ _ ,
Frame----~
Reel _ _ _ _ _ ,
Frame----~
[Page 1 of 2]
This conectlon of information Is required by 37 CFR 3.73(b). The lntormallon ls required to obtain or retain a benefit by the public whieh Is to file (and by the USPTO to
process) an application. Conti:lentlallty Is governed by 35 U.S.C. 122 and 37 CFR 1.11 and 1.14. This collection is estimated to take 12 minute$ lo complete. including
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PTOIAIA/96 (08-12)
Approved for use lhrough 01/3112013. DMB 0651-0031
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nd to a collection of infonnation unless fl la a vaNd OMS conttol number.
Under the Pa

3. From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ To: - - - - - - - - - - - - - - - - The document was recorded in the United States Patent and Trademark Office at
Reel----~ Frame----- or for which a copy thereof is attached.
4.From: - - - - - - - - - - - - - - - - - T o : - - - - - - - - - - - - - - - - The document was recorded in the United States Patent and Trademark Office at
Reel _ _ _ _ _, Frame----- or for which a copy thereof is attached.
5.From: - - - - - - - - - - - - - - - - - T o : - - - - - - - - - - - - - - - - - The document was recorded in the United States Patent and Trademark Office at
Reel----~
Frame _ _ _ _ _, or for which a copy thereof Is attached.
6.From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ T o : - - - - - - - - - - - - - - - - - The document was recorded in the United States Patent and Trademark Office at
Reel----~
D
0
Additions/ documents in the chain of title are listed on a supplemental sheet(s).
As required by 37 CFR 3.73(c)(1 )(i), the documentary evidence of the chain of tltle from the original owner to the
assignee was, or concurrently is being, submitted for recordatlon pursuant to 37 CFR 3.11.
[NOTE: A separate copy (i.e., a true copy of the original assignment document(s)) must be submitted to Assignment
Division in accordance with 37 CFR Part 3, to record the assignment in the records of the USPTO. See MPEP 302.08)
led below) Is authorized to act on behalf of the assignee .
.Pd~//?.
/
Sign
Date
Printed or Typ
Hie or Registration Number

[Page 2 of 2]

submission of the attached form related to a patent application or patent. Accordingly. pursuant to the
U.S.C. 2(b)(2); (2) furnishing of the information solicited Is voluntary; and (3) the principal purpose for which the
Office may not be able to process and/or examine your submission, which may result In termination of proceedings
The Information provided by you in this form will be subject to the following rouUne uses:
1.
2.
3.
4.
5.
6.
7.
B.
9.
required by the Freeoom of Information Act.
evidence to a court, magistrate, or administrative tribunal, Including disclosures to opposing counsel in the
A record related to an International Application filed under the Patent Cooperation Treaty in this system of
(42 U.S.C. 21B(c)).
responsibility to recommend improvements In records management practices and programs, under
public if the record was fifed in an application which became abandoned or In which the proceedings were
U.S. 8,865,406
PTO/AIA/lllAIOMSI
Approved fw UR tfttoulh 01/Jl/lOSI, OM8 DriSl.0035
U.S. Pnet1t and Tf1de:mari Offb; U.S. DEPARTMENT Of COMMUCE
Patent Number
PATENT- POWER OFAlTORNEY

OR
AND
'
'
8,865,4-06
Issue Dito
10-212014
First Named lnvtntar
Feng Zhang , Cembridge. MA (US)
Title
ENGINEiRING ANO OP'llMIZATION OF

IMPROVl!O SVSTEM$, METHODS AN!)
ENZYME COMPOSITIONE FOR
Atlamey Doc;ket No.
5501 B-10069-4068
A Power of Anamey '5submtaed herewldl.
rEJ attot11ey(s}on1em(I
I herebv
Pl'aetltfoner(s) associaled With the CUstomer Number ktenttfied mthe box at right as rrrt/our
with respect to the patenl ldtnlified above, and to tmlSl<t ill bu>iness In the Unlte<I
appoint
States Patent and Tradtm1rk Office cannected therewilh:
12574
OR
0 IUI hereby
- !'ractltioner(s) named below as "'II""' attorney(sl or acentls) with <espect to the patent ldenlilltd above, and to tramact
business in the United States Patent nd Tntdernlril: Office connected therewith:
Ret:lstredon Number
Practltionerlsl Name
Please recocnize or chanp ttle correspondence address for tM above-ldentfned patent to:
~The lddrus associated with tht aboveoktencmed Ct.momer Number.
The addrus mcdated with tbe Customer Mimber ldentined in the bole at filht:
OR
ofirmor
ktdlvlduel Name
Add<ess
r-
I State I
I ZI I
Coun
IE- I
Telephone
1am1he:
OAjlflllcant
OR
I&]
Patent owner.
,_
-
...
Stall!'mMt undtt 31CF/l3.13(c} (Fotm PTO/~IA/96) submlttrd hfttwlth orflJed on
lWl'nature
Name
ntteand
~.~...
_..
l Date
r! -' . ,,
I Tele..,..one I"'
nc BROAD INSTJtV'l'. INC
est or thllir representatlve(s) are req:ulrad. If more than one sl&nature

is rtqtlired, submit multiple forms, check the box be~, and Identify the tot.I rwmber of farms submitted in the blank belaw
!Qil' Slgnawm ohll
Ill Alolol of 3
fonns are submiU$:1.
Thb ~ of informadon iS required bf 37 CF UL 1..12, 1:ncl 1.31. Tbe infotmadolt u qquired to obta-' or reAln ahfttftt by tht public, whldl Is to uptau:
iand bVthe U$PTO to;rom:sHhe lilt of a patent' l'Hdminatlon ~ Clinftdtntiallty ll sovcmt4~15 U.$,(, U2 ind J7 CFR 1.14. This aJllettkH\ 't
awnated io UU l mtnutts to <cmfle", inducllnc ptileffn& preparin& nd submlttltll the comcileU'd applii;atlon fonn 10 the USPTO. Timt will vary dtpemlna
upon tM indivfdull c.e. Awf comments on tlll amowu ottltM you~ 1e tompWte thlS kw"' ndl IUUffUOns for redvdnf thlS bu~. tlK1Wd be stnt io
heChld lnforl'llltlOn Officer, us Patent.and TrldtmaB: Offlct, u.s, Dep.tirCmtn1 of tommerce. P.O. Bok 1450, AlfqlMfril, VA WUl4SO. DO NOT SEND ffS OA
COMPt.mD FORMS TO THIS AODRESS. SEND TO: CcmlmiJflDMr for PMeaU. P.O. In: 1450. Albandda. VA 2ll1J.l450.
If J'Oll ~~kl complednp tlwfonn. trtll J__,.,ro-ll9:9ondsrltopllon 2

The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain lnfonnatlon In connection with your
submission of the attached form related to a patent application or patent. Accordingly, pursuanl to the
requirements of the Act, please be advised that: (1) the general authority for the colleellon of this lnlormation Is
35 U.S.C. 2(b)(2); (2) furnishing of the Information SOllciled is voluntary; and (3) the principal pu!l)OS8 tor which
the infonnatlon is used by the U.S. Patent and Trademar1< OHlce Is to process and/or examine your submission
related to a patent appllcatlon or patenl. If you do not furnish the requested Information, the U.S. Patent and
Trademaik Office may not be able to process and/or examine your submission, which may result In termination
of proceedings or abandonment ol the applicatlon or expiration al the patent
The Information provided by you In this fonn wlU be subject to the foUowlng routine uses:
1. The lnfonnatlon on this form wUI be treated conlldentlally to the extent allowed under the Freedom of
Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 552a). Records from this system ol
records may be dlsclosed to the Department of Justice ID determine whether disclosure of these
records Is required by the Freedom of Information Act
2. A record from this system of records may be disclosed, as a routine use, In the course of presenting
evidence to a court, magistrale, or adminlslratlve trlbUnal, including disclosures to opposing ccunsel In
the course ol settlement negotiations.
3. A reccrd In this system of records may be disclosed, as a routine use, to a Member of Congress
submitting a reque&t Involving an imflVldual, to whom the racord pertains, when the Individual has
4. A record In lhls system of records may be disclosed, as a routine use, to a contraclor of Iha Agency
having need for the Information in order to perform a contract Recipients of information shall be
required ID comply with the requirements of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C.
552a(m).
5. A record related to an International Applicallon filed under the Patent Cooperation Treaty in this
system of records may be diselosed, as a routine use, ID the International Bureau of the Worid
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purposes of National Securlly review (35 u.s.c. 181) and for review pursuant to the AIDmiC Energy Act
(42 U.S.C. 218(C)).
7. A recoid from this system of records may be disclosed, as a routine use, to the Administrator, General
Services, or his/her designee, during an inspection of records conducled by GSA as part of that
agency's responsibility to reccmmend improvements in records managernent practices and programs,
under authority of 44 U.S.C. 2904 and 2906. Such disclosure shau be made in accordance with the
GSA regulations governing inspeclion of reccrds for this purpose, and any olher relevant (i.e. GSA or
Commerce) directive. Such c:flsclosure shall not be used ID make determinations about Individuals.
a. A record from this system of reccrds may be disclosed, as a t'OUllne use, to the public after either
publlcatlon of the application pursuant to 35 U.s.c. 122(b) or issuance of a patent pursuant ID 35
U.S.C. 151. Further, a record may be disclosed, subject ID the limitations ol 37 CFR 1.14, as a routine
use, to the public II the record was filed In an application which became abandoned or In whieh the
proceedings were tennlnated and which appllcalion is referenced by either a published application, an
applicationopen ID pubHc inspection or an issued patent
law enforcement agency, If !he USPTO becomes awsre of a violation or potenlial violation of law or
regulation.

Applicanl/Palenl Owner: The Broad Institute, Inc.
ApplicaUon NoJPatent No.: 8,865,406
Filed/Issue Dale: ...:1.;;.IJ..;;2...:1...:20...:1_4'--------Tdled: ENGINEERING ANO OPTIMIZATION OF IMPROllED SYSTEMS, METHODS AND ENZYME COM1'0SITIONS FOR SEQUENCE MANIPIJl.ATION
The Broad lnsthute, Inc.
--~-----------------~
(Namt of Assignee)
states that, for Iha patent appllcaUon/palent Identified above, It is (choose.!!!!!! of options 1, 2, 3 or 4 below):
1.
2.
D
D
The assignee of the entire right, tide, and Interest.

An assignee of lass than the enlire righl, titfe, end Interest (check applicable bo):
LJ The extent (by percentage) of its owne~ lnlerest is
%. Additional SUltement(s) by the owners

holding the balance ol the inlefest musJ be submitted to accounl for 100% of the ownership interest.
There are unspecified percentages of owne1Shlp. The other parties, including inventors, who together own the entire
right. title and interest are:
Addillonal Statement(sl by the owner() holding the balance of lhe interest mUSl be sybmil!O!I to account for the enUre
right, Ihle, and lnierest.
3.
The assignee of an undivided Interest in the entirely (a complete assignment lrom one of the joint lnvenlofs was made).
The olher perlles, including inventors, Who together own the entire right, tltle, and interest are:

President and Fellows of Harvard College
Addillonal statement() by the owner(s) holding the balance of the interest must be submitted to account for the entire
right, titfe, and lnlerest.
4. D The recipient, via a court proceeding or lhe like (e.g., bankruptcy, probate), of an undivided intetest In the enllrely (a
complele ltansfer of ownership interest was made). The Cflltifled document() showing the transfer Is attached.
The inlerest ldan!ilied in option 1, 2 or3 above (not option 4) Is evidenced by either (choosellll!! of options A or Bbelow):
A.
An assignment from the invenlor(s) of the palenl application/patent ldentirled above. The assignment was recorded in
the Unhed Stales Palen! and Trademark Office at Reel """""
, Frame om
, or for Which a copy
B.
A chain of titfe from the invenlor(s), of the patent applicadonlpalent identified above, to the current assignee as follows:
1. From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ T o : - - - - - - - - - - - - - - The documenl was recorded in the Unhed Stales Patent and Trademar1< Office at
Reel
Frame
or for which a copy !hereof Is attacl'led.
To:---------------
2. From:
The document was recorded in the United states Patem and Tradem&!k Office at
of- lht-of
Reef
Frame
, or for which a copy lhOfBOf Is atlaehed.
""Y-
[Page 1 of 2J
-by""'
oiq"'8d by rn CFR 3.73(bJ. Tho lnformaton" raqullOd .. -or ......

pul>Hc whlell .... Ne (W by lht USPTO ..
pnx:ess) anappllcallon. ~---by 35U.S.C. t22w37CFR 1.11w1.14. TNs a>lloctlonl. .stlmoled IO Ilk 12 _ , , . ,.....__ , _
gathering. ptepmlng, llld ....,,lttlng
appllcaltcn lcrm 10 Ille USPTO. lime will
'-Iha lnciVldual case. Arif""""""" on Iha arnouol
ot dme you require 10 complete this lonn ard'or suggestions tor tedudng thil butden. lhOUld bit sent to the Chier lnfOnnation OlffOll'. U.S. Patent end Traotmalk
This -
Ofllc:e,u.s.
Commer<e, P.O. Box f~. -..drla, VA 22313+'50. 00 NOT SEND FEES OR COMl'l.STEO FORMS TO THIS ADDRESS. Sl!ND
TO: Comml-ner lor-1111, P.O. lox 1450, Alenndrfa, VA 22313-1450.
Ifyou need assistance in completing the fonn, ca/11-800-PT0-9/99 and select option 2.
Aeduc:tbn Act of 1
STATEMENJ UNDER 37 CFR 3.73(cl
3.From:~~-~------~----To: ~-~-----~-----~
The document was reconled In the United Slates Patent and Tradema11< Office at
Reel
, Frame
4.Ffom: _______________
To:_~--------~---~
The document was recorded In the Untted Stales Palen! end Trademark Office at
Reel
Frame
or for wlllch a copy thereof is attached.
S.From: _______________ To: _______________

Frame _ _ _ _, or lor Which a copy !hereof is attached.
Reel----
6.From:~--------------To: - - - - - - - - - - - - - - The document was reoorded In !he UR!ed Slates Patent and Trademark Office at
Reel
Frame
or lor Which e copy !hereof Is attached.
Addillonal documents In the chain ol ti1!8 are fisted on a supplemental sheet(s).
As required by 37 CFR 3.73(c)(1)~). the documentaty evidence of the chain of uue from the original owner 10 the
assignee was, or concurrently is being, submitted for iecordalion pursuant to 37 CFR 3.11.
(NOTE: A separate copy (I.e., a true copy of Iha original assignment document(s)) must be submitted lo Assignment
Division in accordance with 37 CFR Pan 3, lo record the assignment In the records of the USPTO. See MPEP 302.08]
Printed
TIU or Regislralion Number
(Page2 of 2)

The Privacy Act of 1974 (P.L 93-579) requires that you be given certain information in connection with your
submission of the attached form related to a patent application or patent. Accordingly, pursuanl to the
U.S.C. 2(b)(2); (2) furnishing of the information solicited Is voluntaiy; and (3) the principal purpose for which lhe
inlormatlon is used by the U.S. Patent and Trademark Office Is to process and/or examine your submission related
10 a patent application or patent tt you do not furnish the requested Information, lhe U.S. Patent and Trademark
Office may nol be able to process and/or examine your submission, which may result in termination of proceedings
or abandonment of the applicallon or expiration of the patent.
The information provided by you in this form will be subjecl to the following routine uses:
1. The information on this form will be trealed confidentially to the extent allowed under the Freedom of
Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 5528). Records from this syslem of records
may be disclosed to the Depattment of Justice to determine whelher disclosure of these r8COl'ds is
required by the Freedom of Information Act
evidence to a court, magistrate, or administrative tribunal, Including disclosures to opposing counsel In the
course of sentement negotiations.
submitting a request involving an individual, lo whom the record pertains, when the Individual has
having need for the Information In order to perlorm a contract Recipients of Information shall be required
5. A record relaled to an lntemalional Application filed under the Patent Cooperation Treaty In this system of
records may be disclosed, as a routine use, lo the fntemalional Bureau of the Work! Intellectual Property
Organization, pursuanl to the Patent Cooperation Treaty.
(42 U.S.C. 218(c)).
7. A record from this system of records may be disclosed, as a routine use, 10 the Admlnlstralor, General
Services, or his/her deslgnee, during an Inspection of records conducted by GSA as part of that agency's
responsibility to recommend improvemenlS in records management practices and programs, under
authority of 44 u.s.c. 2904 and 2908. Such disclosure shall be made In accordance with the GSA
regulations governing inspection ol records for this purpose, and any other relevant (i.e., GSA or
Commerce) directive. Such disclosure shall not be used to make determinations about Individuals.
8. A record from this system ol records may be disclosed, as a routine use, to the public after either
publication of the applicaUon pursuant to 35 U.S.C. 122(b) or issuance ol a palent pursuant to 35 U.S.C.
151. Funher, a record may be disclosed, subject to the limitations of 37 CFR 1.14, as a rouUne,use, to the
public If the record was fifed In an application which became abandoned or In which the pniCeedlngs were
terminated and which application Is referenced by either a published appllcatlon, an application open to
public Inspection or an issued patent.
enforcement agency, If the USPTO becomes aware ol a violation or potential violation ol law or regulation.
...-r '-- p----~-~ Re
1-.., ........r--
PTO/AIA/BlA (02-15)
U.S. Piltent i!nd Tradem11r1c Office; U.S. DEPARTMENT Of COMMERCE
f .
10 nl"H-"--'--------"-lnMR
'-mber
-- r--j--.. to - ---.. ta - --1
Patent Number
8,865,406

OR
AND
\,.
Issue Date
10-21-2014
Title
ENGINEERING AND OPTIMIZATION OF

IMPROVED SYSTEMS, METHODS ANO
ENZYME COMPOSITIONS FOR
SEQUENCE MANIPUlATION
Attorney Docket No.
5501B-10069-406M
I hereby revoke all previous powers of attorney given in the above-identified patent.
A Power of Attamey is submitted herewith.
OR I hereby appoint Practltioner(s) associated with the Customer Number Identified in the box at right as my/our
181 attorney(s) or agent(s) wlth respect to the patent identlfled above, and to transact all business Jn the United
!2574
OR
DI hereby appoint Practltioner(s) named below as my/our attorney{s) or agent(s) with respect to the patent Identified above, and to transact
Re1dstration Number
Practltloner(s) Name
~The address associated with the above-Identified Customer Number.
The address associated wl~h the Customer Number Identified in the box at right:
OR
DFirmor
Individual Name
Address
City
Country
Telephone
I State
Emall
l Zia I
lam the:
QAppllcant.
OR
18)
Patent owner.
Statement under 37 CFR 3.73(c) (Form PTO/AIA/96)_pbmitted herewith or filed on

n
Signature
Name
Title and Companv
.I
nt or Patent Owner
~~
Date
Telephone
, l>T
HUSETIS INSTITUTE OF TECHNOLOGY
-.
- 1
,,
IL.
,,,...__
,, .
r1111-7~~"'/
'
NOTE: Signatures of all the applicilnts or patent owners of the entire interest or their representatlve(s) are required. If more than one signature
is required, submit multiple forms, i;heck the box below, and Identify the total number of forms submitted in the blank below.
(l]Atotalof 3
This collection of information is required by 37 CFR 1.31, 1.32, and 1.33. The Information Is "'quired to obtain or retilin a benefit by the p11blic, which is ta update
(and by the US PTO to process) the file of a patent or ree11:aminatian proceeding. Confidentiality is governed by 3S U.S.C. 122 and 37 CFR J.14. This collection l~
estimated ta take 3 minutes to complete, Including gathering, preparing, and submining the completed appltcatlan form 10 the USPTO. Time will Vilry depending
11pan the individual case. Any comments on the amount of time you require ta complete this farm and/or suggestions far reducing this burden, should be sent ta
the Chief Information Officer, U.S. Patent and Trademark Office, U.S. Department of Commerce, P.O. 8011: 1450, Alexandria, VA 22313-14SO. DO NOT SEND FEES OR
COMPLElED ~ORMS TO THIS ADDRESS. SEND TO: CommlSSionec-for Patents, P.O. Boll 1450, A1u1ndria, VA 22313-1450.
If you nttrJ assistance in completing the form, call 1-BOO-PT0-9199 anrJ selw option 2.

1.
submitting a request in~olving an individual, to whom the record pertains, when the Individual has
552a(m).
(42 U.S.C. 218(c)).
under au1hority of 44 U.S.C. 2904 and 2906. Such disclosure shall be made in accordance with the
Commerce) directive .. Such disclosure shall not be used to make determinations about individuals.
8. A record from this system of records may be disclosed, as a routine use, to the public alter either
use, to the public tt the record was filed in an application which became abandoned or in which the
regulation.
PTO/AIA/96 (0612)
Approved for use through 01/3112013. OMB 0651 0031
Under the Paoerwork Reduction Act of 1995 no nArsons are re-:~ed to resoond to a collectlon of information unless it dis"'a""' a valid OMB control number.

Application No./Patent No.: B,865,406
Titled:
Filed/Issue Date: ...:1...:0...:-2:.1:..-2...:0:.1:..4'---------
ENGINEERING ANO OPTIMIZATION OF IMPROVED SYSTEMS. METHODS AND ENZVME COMPOSITIONS FOR SEQUENCE MANIPULATION
, a _u_n_i_ve_rs_ity'---------------------(Type of Assignee, e.g., corporation, partnerShip, uni11E1rsity, government agency, etc.)
(Name of Assignee)
t.
The assignee of the entire right, tltle, and interest.
2.
lJ The extent (by percentage) of its ownership interest is
%. Additional Statemenl(s) by the owners

There are unspecified percentages of ownership. The other parties, Including inventors, who together own the entire
right, tme and interest are:
Addltlonal Statement() by the owner(s) holding the balance of the interest must be submitted to account for the entire
3.
The assignee of an undivided interest in the entirely (a complete assignment from one of the joint inventors was made).
The other parties, Including inventors, who together own the entire right, trtle, and interest are:

Additional Statement(s) by the owner(s) holding the balance of the Interest must be submitted 10 account for the entire
4.
complete transfer of ownership interest was made). The certified documenl(s) showing the transfer is attached.
The interest identified in option 1, 2 or 3 above (nol option 4) is evidenced by either (choose!!!!!! of options A or B below):
A.
B.
, Frame 0322
A chain of title from the inventor(s), of the patent application/patent Identified above, to the current assignee as follows:
Reel - - - - - ' ' Frame----~- or for which a copy thereof is attached.
2. From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ T o : - - - - - - - - - - - - - - - - - The document was recorded In the United States Patent and Trademark Office at
Reel
, Frame
, or for which a copy thereof is attached.
[Page 1 of 2]
This collection of information is required by 37 CFR 3.73(b). The information is required to obtain or retain a benefit by the public which is to file (and by the USPTO to
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gathering, preparing, and submitting the completed application form to the US PTO. Time wKI vary depending upon the individual case. Any comments on the amount
of time yau require to complete this form and/or suggeltions for reel.Icing this burden, should be sent to the Chief Information Officer, U.S. Patent and Trademark
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TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
If you need assistance in completing the form, call 1-800-PT0-9199 and select option 2.
Under the P
PTO/AIA/96 (08-12)
nd to a collection of information unless it dis la s a valid OMB control number.

3.From: ----------------~To:------~----------The document was recorded In the United States Patent and Trademark Office at
Reel _ _ _ _ _, Frame _ _ _ _~ or lor which a copy thereof is attached.
Reel _ _ _ _ _, Frame _ _ _ _ _, or for which a copy thereof is attached.
5.From: ----------------~To:----------------~
6.From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ T o : - - - - - - - - - - - - - - - - - The document was recorded in the United States Patent and Trademark Office at
0
0
Addoional documents in the chain of title are listed on a supplemental sheet(s).
As required by 37 CFR 3.73(c)(1 )(i), the documentary evidence of the chain of title from the original ownerto the
assignee was, or concurrently is being, submitted tor recordatlon pursuant to 37 CFR 3.11.
supplied below) is authorized to act on behalf of the assignee.
Date
Printed or T
(Page 2 of 2]

requirements of the Act, please be advised that: (1) the general authority for the collection of this information is 35
information is used by the U.S. Patent and Trademark Office Is to process and/or examine your submission related
submitting a request Involving an individual, to whom the record pertains, when the individual has
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5. A record related to an International Application flied under the Patent Cooperation Treaty in this system of
purposes of National Security review (35 U.S.C. t 81) and for review pursuant to the Atomic Energy Act
(42 U.S.C. 2t8(c)).
,,. .. "'
U -'ethe Pa
'-
Actot ........ fl!)
Mir"
PTO/AIA/81A (02H1t
Approved for use throueti ()1/31/2018. OMS 06Sl003S
U.S. Patent and Tridemark OUice; U.S. ot:PARTMENT OF COMMERCE
M" ntMI number
ta" cnll"'ia flnf,,rm tf"n !es< i
ultrul tn1 Patent Number

OR
ANO
6,865.406
lswe Date
'
"
10-21-2014
Title
ENGINEERING ANO OPTIMtZATION OF

IMPROVED SYSTEMS. METHODS ANO
Attorney Dodlet No.
55018-10069-406H
I hereby rtvoke ;,II previous powers. of attorney given in the above-identified patent.
A Power or Attorney Is submitted herewith.
OR I hereby appoint Prattitiontt(s) .associated wlth the Customer Number Identified in the box at right as my/our
[El attorney{s) or agent(s) with respect to the patent identified above, and to transact all busine5.s in the United
S~tes P~nt
21nd Trademark Offii::e connl!<ted therewith:
E74
OR
D I hereby appoint Pfactltloner(s) named below as my/our attomey(s) or dfSent{s) with
res~ct to the patent identltied above, and to transact
2111 business In the United States Patent and Trademark Office connected therewith:
Praetitlonetjs) Name
Re_lstration Number
Please recognize or change the correspondence oiddress for the above-idenelfied patent to:
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OR
The address associated With the Customer Number Identified In the box at right:
OR
Dflrmor
Individual Name
Address
CTlv
Countrv
I State
Telephone
Email
l Zip 1
lam the:
0Applkant.
OR
[EJ
Patent owner.
Statement under 37 CFR 3.73(c) {Farm PTO/AIA/96} submitted herewith or filed on
SIG
Sia,.,.ture
Name
Title and Com
I
I
I
--..-
'.:
I Date
I
1 Telephone 1
? .. /~0 {//L
OF tWWARO COLiEGE
'
ali't9c~A~11:~!1J-eAwf~i8tesentat1ve(s) are required. Jf more than one signature
.!!QH: Signatures of
is required, submit multiple forms, died< the ox be
IZJAtotalof 3
,,
URE OT Appilcant or Patent owner
--
ttQtaJ numbe.r of form$ submitted In the blank below.
This. toll lion ofinform;rtton is required by 31 CFR 1.31, l.32, imd l.'.U. The information I$ required to obtain or retain a bt-nefft bv the public, which Ii to updatt
land b>{the USPTO to pmceul the file ofa patent or reexamination proceeding. tonfldenl~ity 1$ f(!Yerned by lS U.S.C. 122 and 31 CfR 1.14. lhis cotlecllon ls
estimated to takt- 3 mlnutll!S to compfete, lru;ludll'lg ga1hefln1, prt!parinc, and sutimtulng the completed appUtatlon. lorm to the USPTO. Time will vary dependins;
upon the lndlvid111I taie. Any comments on the ll!IT!Dunt of ti~ you r111qulre to tomplete thk. form 1md/OT Sl!Jlt'ltWllli for 1adudng lhh burden, shmdd be sent to
tht Chief Information Offk(!t, U.S. Patent and Tr;ademaflt Office, U.S. DeP1rtment of ComrneN:e, P.O. b 1450,Aleitandria, YA 2231314SO. 00 NOT SElfO fEES OR
COMPltTED FORMS fO TtllS ADDRESS. stNO TO: Commlssfoner fot Patents, P.O. lox 14SO, A!ltllandrll, VA 22J1S-14SO.
If J10U nttd osshtance In complftillg lht/rum, can 1BOO-PT0-9199and select o,nkHI 2.

The Privacy Act of 1974 (P.L. 93-679) requires !hat you be given certain Information In connection with your
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requirements of the Act, please be advised that: (1) the general authority for the collection of this Information Is
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The Information provided by you In this form will be subject to the lollDWlng roudne use&:
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7. A record from this system of records may be disclosed, as a routine use, to lhe Administrator, General
Services, or his/her deslgnee, during an Inspection of records conducted by GSA as part of lhat
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under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall be made in accoo:lance with the
GSA regulatlons governing inspection of records for this purpose, and any other relevanl (i.e, GSA or
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8. A record from this system of records may be disclosed, as a roullne use, to the public after either
use, to the public if the record was fifed In an appllcallon which became abandoned or In which the
proceedings were terminated and which appllcarion is referenced by either a published application, an
appllcatlo1rnpen to public inspection or an lssued patent.
9. A record from this system of records may be disclosed, as a routine use, to a Fede111I, State, local
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'
Under the Pa erwork Reduction Act ol 1995, no ersons are re ulred to res
PTO/AIN96 (0812)
Approved for use through 0113112013. OMB 0851-0031
U.S. Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE
ncl lo a collect!onot lntormatlon unless II dis la s a valld OMB control number.
STATEMENT UNDER 37 CFR 3.73(c)

AppllcanVPatent Owner:

Filed/Issue Date: _1_0_-2_1_-2_0_1_4_ _ _ _ _ _ __
Titled: ENGINEERING AND OPTIMIZATION OF IMPROVED SYSTEMS, METHODS AND ENZYME COMPOStT10NS FOR SEQUENCE MANIPULATION
, a university
~~~~~~~~~~~~~~~~~~~~~~~~-
(Name of Assignee)
{Type of Assignee, e.g., corporation, partnership, university, government agency, etc.)
states that, for the patent application/patent identified above, It is (choose one of options 1, 2, 3 or 4 below):
1.
2.
D The assignee of the entire right, title, and interest.

D An assignee of less than the entire right, title, and Interest (check applicable box):
LJ The extent (by percentage) of its ownership Interest Is
holding the balance of the interest must be submitted to account for 100% of the ownership Interest.
Additional Statement(s) by the owner(s) holding the balance of the Interest must be submitted to account for the entire
3.
The assignee of an undivided Interest In the entirety (a complete assignment from one of the joint inventors was made).

4.
complete transfer of ownership interest was made). The certified document(s) showing the transfer Is attached.
The interest identified in option 1, 2 or 3 above (not option 4) is evidenced by either (choose !1!l. of options A or B below):
A.
B.
An assignment from the lnventor(s) of the patent application/patent identified above. The assignment was recorded in
, Frame 0526
Reel _ _ _ _ _ , Frame _ _ _ _ _, or for which a copy thereof Is attached.
2.From: ~~~~~~~~~~~~~~~~~~To:~~~~~~~~~~~~~~~~~The document was recorded in the United States Patent and Trademark Office at
Reel _ _ _ _ _, Frame
, or for which a copy thereof Is attached.

[Page 1 of 2]
This cotrectlon of information Is required by 37 CFR 3.73(b). The information ls required to obtain or retain a benefit by lhe public which is 10 tile (and by the USPTO to
process) an application. Conlfdentla1ity Is governed by 35 U.S.C. 122 and 37 CFA 1.11 and 1.14. This collection is estimated to lake 12 minutes to complete, including
gathering, preparing, and submitting the completed apllcallon form to Iha USPTO. Time will vary depending upon the Individual case. Any comments on the amount
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TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 223131450.
lfyou need assistance in co111pleti11g rite fonn, call 1-800-PT0-9199 and select option 2.
PTOIA1Ml6(0812}
Under the p ....-.-m Reduction Act ot
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U.S. Palen1 and Trademark Olfie&; U.S. DEPARTMENT OF COMMERCE
1995. no--"ns are rAA>ired tote"""""""" to a ooleetion of lofotmallon unless ii ...lla-1a1H: a valld OMS contlcl number.

3.From: ~---------------~To:~---------------The document was recorded in the United States Patent and Trademark Office at
Reel
, Frame
4.From: ~~---------------To:~---------------The document was recorded in the United States Patent and Trademark Office at
Reel
, Frame
5.From: ----------------~To:~---------------The document was recorded in the United States Patent and Trademark Olflce at
Reel----- Frame-----' or for which a copy thereof is attached.

6.From: ~---------------~To:~----------~ . ~-~--~
Reel----~
0
0
As required by 37 CFR 3.73{c)(1)(1), the documentary evidence of the chain of title from the original owner to the
assignee was, or concurrently is being, submitted for recordation pursuant to 37 CFR 3.11.
Division In accordance with 37 CFR Part 3, to record the assignment in the records of the USPTO. See MPEP 302.08]
The undersigned (whose title is supplied below) is authorized to act on behalf of !he assignee.
Signature
!:7st!h;rectPo~~~
Date
Harvard University Office of Technology Development
President and Fellows of Harvard canege

[Page 2 of 2]
U.S. 8,871,445
P'TQJIM/l1A(0215)
Awovfdfor IM. throl.ilh0l/Sl/20J.I. OMI 06S1.()0lS
u 5 Patent ltld TraderMrt Offkc; U.S. DEPARTMENT Of COMMEttCI
-----

OR
AND
DA Power
Patent Number
'
8,871,445
lmieDlt-e
Am N1mld inventor
10-28-2014
Le Cong, Cambridge, MA (US)
CRISf'R.CAS COMPONENT SYSTI!MS,
SEQUENCE MANIPUlATIDN
Anomev Pocket No.
55018-1 OOli9-445B
of Attorney Is submltled herewtth.
OR 1hereby appoint. Practitlonel1t) associated with the Customer Number Identified In the bo# at rtaht as my/our
18lattomey($J., ,....11- respect to the p-t ldentffled above, and to tran<ICI all buslneu In th United
States P1tent and Tf'idemark Office connecttd therewith:
12574
OR
I horlby appoint Practillon<l'iI ...med below as mv/oU< momey(sJ or apot(I with r.._ to the patent ldenllllod above, and to'"""""
alt business in the United States Patent and Tradtmaril Office connected therewith'
Ion Number
Prattltlonerfs\ Name
Please rccosnlze or ch1np the cotreSpondenco addre.u for the bove-1dentifted patent to;
~The lddrtss assodated with the abave-ktendfied Customer Number.

0
The arJdross - I d with the Customer Number Identified In the "'"' ot rqht:
OR
oflrmor
tndivldual NIHM
Address
T-
1-1
I State I
Country
Email
1amlhe:
QAppUcant
OR
18]
Patent owner.
Sloremmr under 37 CFR 3.7J(c/ (Form PTO/AIA/961 lll!mltt<d /l<reWlth orfil<d on
$MM.Stu,.
"""'
Title and Commonv
.....
,,,-_,
~
....
10ate
I~
11-onel"
~~
Ne
l!lm: Sill"'""'"'ohnih'
en or their repreHntatM!(s) re requited. If more thin OM sJanature

is 'equlred, submit multiple fonru, check the box below, and Identify the total number of fMms submittd in the blank below.
IZJAtotalof3
lhb <03lealon of lnfor~ 15 requlrtd by 37 CFR 1.11. 132, d 133- ll'le if'lfomWIOn IS. required to obtlla or main a tieftlftt by mt ~. **-id'l ls to 1111ace
(111d by the! USPTO io pt0qn)tht fi1e. ol a pmnt or reeqt1W11\lon p~ 111. Contldtntilllty h IOVtmltd by lS U.S.C 122 and 37 cFR 1.14. TtiiJ ~tlon ii
tstlmatecl to tne 3 minutes to complete, lndud1111 ~ JntMrtnl. and Stlbmlltlnf the ~plelcd applic.IUon farm 10 the USPTO. Time wtll vary ~dltll
upoa thlt indl\lidui:I use Al't/ comments en the IBIOUI\( ot &imc You ltQUite to complett t;hls fotrn ~- ~ fQr reducing this bunlen, should be: seni to
tM Chief lflklrmlUonOfflcet, U.S.. Pa&ent.and Tndemltk Office, US ~nment of Commem,P.D. Boit 1450,Aluandrla, VJ. 2211:1~1'50. 00 NOTSENO FES OR
COMPlfTED FCRMS TOTHISADDRISS.SINDTO:ComtllbdoMffor htlftlJ, P.O. tu 1450.~ VAWU.ttSO.

lf~Hal~-~itwtm.dJ..fOO.PTCHU9andultrtoptl011l.

The Privacy Act of 1974 (P.L 93-5711) requires that you be given certain Information In connection with your
submission of the attached form related to a patent application or patenL Accordingly, pursuant to the
requirements of the Act, please be advised Iha!: (1) the general authority for the collection of this information is
35 U.S.C. 2(b)(2); (2) furnishing DI the Information solicited is voluntary; and (3) the principal purpose for which
the Information Is used by the U.S. Patent and Trademark Ollice iS to process and/or examine your submission
related to a patent applk:adon or patenL If you do not furnish the requested Information, the U.S. Patent and
Trademark Offk:a may not be able to process and/or examine your submission, which may result in termination
of proceedings or abandonment of the application or expiration of the pallent.
The Information provided by you In this form wHI be subject to the fellowing routine uses:
1. The Information on this form wlll be treated conllden1lally to the extent alloWed under the Freedom of
Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 5528). Records lrom this system of
2.
3.
4.
5.
6.
7.
8.
9.
records ls required by the Freedom of Information Act.

A record lrom this system of records may be disclosed, as a roullne use, lrt the course of presenting
evidence to a court, magistrate, or administrative tribunal, Including disclosures to opposing counsel In
the course of settlement negotiallons.
A record In this 9y&tem of records may be disclosed, as a routine use, to a Member of Congress
A record In this system of records may be disclosed, as a routine use, to a contractor of the Agency
having need for the information in order to perform a contract. Recipients of Information shall be
552a(m).
A record related to an International Appllcatlon flied under the Patent Cooperation Treaty In this
system of records may be disclosed, as a routine use, to the tntemadonal Bureau of the World
A record In this system of records may be disclosed, as a routine use, to another federal agency for
purposes of National Security review {35 U.S.C. 181) end for review pursuant 10 the Atomic Energy Act
{42 U.S.C. 218(c)).
A recoro from this system ol records may be disclosed, as a routine use, to the Administrator, General
Services, or his/her designee, during an Inspection of records conducted by GSA as part of that
agency's responsibility to recommend Improvements In records management practices and programs,
GSA regulations governing lrlspection of records tor this puipose, and any other relevant {I.e., GSA or
Commerce) directive. Such dlsctosure shal not be used to make determinations about Individuals.
A record from this system of records may be disclosed, as a routine use, to the public alter either
U.S.C. 151. Further, a racord may be disclosed, subject to the limltattons ol 37 CFA 1.14, as a routine
use, to the public ff the record was tiled In an application which became abandoned or in which the
proceedings were termlrlated and whlch applk:atton Is referenced by elther a published application, an
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 USPTO becomes aware of a violation or potential violation of Jaw or
regulation.
Reducllon Act of 1995 no
STATEMENT UNDER 37 CFR 3J3(cl

Appllcant/Palenl Owner: The Broad Institute, Inc.
AppliCaliOn NoJPalent No.: 8,871,445
Flied/Issue Date: _1_0-_2_s-_20_14_ _ _ _ _ _ __
Tltled: CRISPR-CAS COMPONENT SYSTEMS, METHODS AND COMPOSITIONS FOR SEQUENCE MANIPULATION
_______________
The Broad lnslllute, Inc.
(NameolAsll-)
, a Not for profit Institution.

CT!l'lalAalgneo,o.g,,_,an,parlnlnhlp.u""""lly.govemmonUgonc:y,elc,)
stales Iha!, for 1he paten! apptlcatiOnipatent identified above, It Is (choose!!!!! of optiOns 1, 2, 3 or 4 below):
1.
2.
0
0
Tha assignee of !he entire rlghl, tl1te, and Interest.
An assignea of le$s than the enlire right, lltle, and Interest (Check applicable box):
%. Additlonal Statement(s) by the owners
holding lhe balanca of lhe interest mu! be sybmltted to aooounl for 100% of !he ownership interest.
0 There are unspecified percentages of ownership. The other pallies. including inventD<S, who together own the entire
LJ The eX1ent (by peteen1age) of its ownership interest Is

right, litle and interest are:
Additional Statement(s) by 1he owner(s) holding the balanca of 1he interesl must be submitted to account tor 1he entire
right title, and interest.
3.
The assignee of an undlvlded Interest in the entirety (a complete assignment from one of the jOlnt inventors was made).
The other parties, Including inventors, who together own the entire righl, title, and interest are:

Additional Statement(sj by 1he owner(s) holding the balance ol lhe Interest must be submitted to account for the entire
right, 11t1e, and Interest.
'
4.
The recipient, via a court proceeding or the like (e.g., bankrup1CY, probate), ol an undMded interest in the entirety (a
complete transfer of ownership Interest was made). The certified document(s) showing the transfer Is attached.
The interest idenlffied in option 1, 2 or 3 above (not option 4) Is evidenced by either (choose l!IJ! Of options
A or 9 -w):
'
_,
A.
An assignment from 1he inventor(s) of the patent appilcationipatent identified above. The assignment was recorded in
the Un~ed States Patent and Trademall< Office at Reel 032738
, Freme 05'/3
or tor which a copy
lhereof Is a11ached.
B.
A chain of tl1le from the lnventor(s), of the patent application/patent identified above, to the current asslgnea as follows:
1. From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ To:--------------The document was recorded in the United States Patent and Tradernalk OHICe at
Reel
Frame
or for which a copy thereof Is attached.
2. From:
To:--------------The document was recorded in lhe Uniled Stales Palen! and Trademall< Offlce al
Reel
Frame
[Page 1of2]
Thial-.,,,
by 37 CFR 3.73(b). The I - I& IOC{Ui'9d ID-or.- o - I by !ho
which la ID lilo (and by !ho USPTOIO
-)onaJ1Plcallon.COnfidonllallyls-by35US.C. 122end37CFR t.11end1.14. Thla-llOl1imatldtollko 12-ID-, 1-.0
Is~
publ~
"'
gathering, preplrillg. and &utlmlalng

completed appllelllon rorm to the USPTO. 1'lnle will vary depenctng upon JM indlvidUal case. Any cornmenl$ on the amount
of lime you require to complete IWs fonn anrUot auggastlona tor redUclng lhls burden. should be sent to the Ctief Wotmatien Officer, U S. Pldenl and Trademartt
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TO: Comml11lonerfor Polents, P.O. -1450, Alexandrlo, VA 22313-1450.
If you need assistance In comp/<1ing the form, call J-800-PT09199 and select oprlon 2.
STATEMENT UNDER 37 CFR 3.73<cl

3.From=--------~---~-~To=----------~---The document was recorded In the United Stales Patent and Trademark Offlce al
Reel
Frame
4.Fmm=--------------~To:
_ _ _ _ _ _ _ _ _ _ _ _ _ __
The document was recorded in the United States Patent and Trademark OQlce at
Reel
, Frame
, or lor whlch a copy thereat ls attached.
5.Fmm: _ _ _ _ _ _ _ _ _ _ _ _ _ _
__________
~To:
~----
The document was recorded In the United Slate$ Patent and Trademark Olflce at
Reel _ _ _ _~ Frame _ _ _ _~ or for which a copy !hereof Is attached.
s. Fmm: _ _ _ _ _ _ _ _ _ _ _ _ _ _ T o : - - - - - - - - - - - - - The document was recorded In the United Stales Patent and Trademark Office at
Reel _ _ _ _ _ Frame _ _ _ _~ or for which a copy !hereof is attached.
AddHlonal documents In the chain of title are listed on a supplemental sheet(s).
As required by 37 CFR 3.73(c)(t )(I), the documentary evidence of the chain of title from the original owner 10 the
assignee was, or concurrenUy Is being, submitted for recordation pursuant to rs? CFR 3.11.
[NOTE: A separata copy (I.e., a true copy of the original assignment document(s)) must be submitted to Assignment
Division In accordance with 37 CFR Part 3, to record the assignment In the records of the USPTO. See MPEP 302.08]
14, '),o/ft
'
PrintedorT~N~
. ..
-~
-- ..
......
(Page 2 of 2]

The Privacy Act Of 1974 (P.L 93-579) requires that you be given certain information In connec11on with your
requiremants of the Act, please be advised lhat: (1) the general authority for the collectlOn ol lhis information IS 35
U.S.C. 2(b)(2); (2) furnishing of the information solicited IS voluntary; and (3) the principal puipose for which the
inlormation IS used by the U.S. Patent and Trademark Office Is 10 process and/or examine your submission related
to a patent application or patent. H you do not furnish the requested Information, the U.S. Patent and Trademark
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The Information provided by you In lhls form will bs subject to the following routine uses:
t. The Information on lhls form will be treated confidentially to the extent allowed under the Freedom of
2.
3.
4.
5.
6.
7.
8.
9.
Information Act (5 u.s.c. 552) and the Privacy Act (5 U.S.C 552a). Records from this system ol records
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A record from this system ol records may be disclosed, as a routine use, to a Federal, Stale, or locel law
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u- ..-r th .. Pa---rk R@ductinn
A ...
-f 199" ""
..
""
PATENT - POWER OF ATTORNEY

OR
AND
PTO/AIA/81A (0215)
Approved for use through 01/31/2018. OMB 06510035
U.S. Patent and Tn1dem1rk Office: U.S. DEPARTMENT OF COMMERCE
- d- - 11--.,nf'-'-m tion""'-ssitdisr:I . ~ u"'ii.I nMA ~..,ntrol n b"
Patent Number
8,871,445
Issue Date
10-28-2014
Title
CRISPR-CAS COMPONENT SYSTEMS,

SEQUENC!' MANIPULATION
Attorney Docket No.
55018-1006~45M
"I hereby revoke all previous powers of attorney given in the above-identified patent.
A Power of Attorney is submitted herewith.
OR I hereby appoint Practltioner(s) associated with the Customer Number identified in the box at right as my/our
18] attorney(s) or agent{s) with respect to the patent identified above, and to transact all business In the United
12574

OR
DI hereby appoint Practltioner(s) named below as my/our attorney(s) or agent(s) with respect to the patent identified above, and to transact
Registration Number
fgl The address associated with the above-identified Customer Number.

OR
The address associated with the Customer Number Identified in the box at right:
OR
ofirmor
Individual Name
Address
City
I State I
Country
Telephone
Email
Zia I
I am the:
0Applicant.
OR
18]
Patent owner.
State"ment under 37 CFR 3.73(cJ (Form PTO/AIA/96} ~bmitted herewith orfikd on
Si1mature
I
Name
I
Title and Com""'"Y
~-~I~
ApnncantorPatentOWner
--~
l ., , I Date
Telephone I
-. .
,_,.IA
.
.
NOTE: Signatures of all the applicants or patent owners of the entire interest or their representatlve(s) are required. If more than one signature
u1"l:.
,11..
OfACE
MASSACHUSETTS INSTITUTE OF TECHNOL.OGY
'
L-1
I,,,,. ., - ,., _..,-
is required, submit multiple forms, check the box below, and identify the total number of forms submitted in the blank below.
forms are submitted,
[{]A total of 3
This collection of Information ts required by 37 CFR 1.31, 1.32, and 1.33. The Information Is required to obtain or retain a benefit by the pubhc, which is to update
(and by the US PTO to process) the file of a patent or reexamination proceedt111. Confltientlillty Is 1overned by 35 U.S.C. 122 and 37 CFR 1.14. This collection is
estimated to take 3 minutes to complete, including gathering, preparing, and submitting the completed applJcatlon form to the US PTO. Time will v;uv depen0in1
upon the individual case. Arrv comments on the amount of time you require to complete this form and/or suggestions for reduclnl this burden, should be sent to
the Chief Information Off1ter, U.S. Patent and Trademark Office, U.S. Department of Commerce, P.O. Boit 1450, Alexandria, VA 2231314SO. DO NOT SEND FEES OR
COMPLETED FORMS TO THIS ADDRESS. 5ENDTO: Commb51oner for Patents, P.O. Box 1450, Alnandril, VA WU-1450.
If you need assistaflCe in completing the form, coll 1-800-PT0-9199and sele'r option 2.

The Privacy Act of 1974 (P.L. 93579) requires that you be given certain information in connection with your
35 U.S.C. 2(b)(2); (2) furnishing of the information solicited is voluntary; and (3) the principal purpose tor which
1.
having need tor the information in order to perform a contract. Recipients of information shall be
552a(m).
5. A record related to an International Application tiled under the Patent Cooperation Treaty in this
(42 U.S.C. 21 B(c)).
Services, or his/her deslgnee, during an inspection of records conducted by GSA as part of that
use, to the public ii the record was filed in an application which became abandoned or in which the
proceedings were 1erminated and which application is referenced by either a published application, an
regulation.
a.
PTO/AIA/96 (0812)
Approved for use through 01/31/2013. OMS 0651 0031
U.S. Patent and TrademarX Offi.ce; U.S. DEPARTMENT OF COMMERCE

Under the pn.........-rk Reduction Act of 1995 no Der.ans are l'tlDUirecl to resoond to a collection of information unless It diso\avs a valid OMB control number.

ApplicanVPatent owner: Massachusetts Institute of Technology
Titled:
Filed/Issue Date: _1_0_-2_s_-_2_0_14_ _ _ _ _ _ _ __
CRISPR-CAS COMPONENT SYSTEMS, METHODS AND COMPOSITIONS FOR SEQUENCE MANIPULATION
, a University
------------~'---~
(Name of Assignee)
(Type of Assignee, e.g., corporation, partnership, unlwrsity, government agency, etc.)
states that, for the patent application/patent identified above, it is (choose !!D! of options 1, 2, 3 or 4 below):
1.
2.
0
0

An assignee of less than the entire right, title, and Interest (check applicable box):
LJ The extent (by percentage) of Its ownership Interest is

There are unspecttied percentages of ownership. The other parties, including inventors, who together own the entire
right, tltle, and interest.
3.
The other parties, including inventors, who together own the entire right, tltle, and interest are:

4.
The interest identified in option 1, 2 or 3 above (not option 4) is evidenced by either (choose!!!!!! of options A or B below):
A.
An assignment.from the inventor() of the patent application/patent identified above. The assignment was recorded in
, Frame om
or far which a copy
B.
A chain of title from the inventor(s), of the patent application/patent identified above, ta the current assignee as follows:
Reel _ _ _ _ _, Frame----~ or for which a copy thereof Is attached.
2.From: ----------------~To:-----------------The document was recorded In the United States Patent and Tractemark Office at
Reel-----' Frame----~ or for which a copy thereof is attached.
[Page 1 of 2]
This collection of tnfOrmation is required by 37 CFR 3.73(b). The Information is required to obtain or retain a benefit by the public which i$ to file (and by the USP TO to
process) an application. Confldentiallty is governed by 35 U.S.C. 122 and 37 CFR 1.11 and 1.14. This collection is estimated to take 12 minutes to complete, including
gathering, preparing, and submitting lhe compJeted application form lo the USPTO. Time will vary depending upon lhe 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 lo the Chief Information Officer, U.S. Patent and Trademark
Off1ee, U.S. Departmen1 of Commerce, P.O. Box 1450, Alexandria, VA 223131450. DO NOT SEND FEES QA COMPLETED FORMS TO THIS ADDRESS. SEND
TO: commissioner for Patents, P.O. Box 1450, Alexandrta, VA 2231:i1450.
Ifyou need assistance in completing the form, call I -800-PT0-9 I 99 and select option 2.
Under the Pa
rwo111. Reduclion Act of 1995, no
rsons are re
ired to re
PTO/AIA/96 (0812)
Approved for use through 0113112013. OMS 0651-0031
ond to a collection of information unless it d' la s a valid OMB control number.
Reel----~
Frame _ _ _ _ _, or for which a copy thereof is attached.
Reel - - - - - ' ' Frame _ _ _ _ _, or for which a copy thereof is attached.
5. F r o m : - - - - - - - - - - - - - - - - T o : - - - - - - - - - - - - - - - - The document was recorded in the United States Patent and Trademark Office at
Reel----~
e.From: - - - - - - - - - - - - - - - - - T o : - - - - - - - - - - - - - - - - - The document was recorded in the United States Patent and Trademark Office at
Reel----~
Addltional documents in the chain of titie are listed on a supplemental sheet(s).
As required by 37 CFR 3.73(c)(1)(i), the documentary evidence of the chain of title from the original owner to the
assignee was, or concurrenUy is being, submitted for recordation pursuant to 37 CFR 3.11.
below) is authorized to act on behalf of the assignee.
,,1p1,#
Date'

[Page 2 of 2]

requirements of the Act, please be advised that (1) the general authority for the collection of this information is 35
1.
2.
3.
4.
5.
6.
7.
8.
9.
A record In this system of records may be disclosed, as a routine use, to a Member of Congress
having need for the Information In order to perform a contract. Recipients of Information shall be required
(42 U.S.C. 21B(c)).
publication ot the application pursuant to 35 U.S.C. 122(b) or issuance of a patent pursuant to 35 U.S.C.
151. Funher, a record may be disclosed, subject to the limitations of 37 CFR 1.14, as a routine use, to the
PTO/AIA/SIA (0115~
Approve.i roruse th(l)Ujh 01/31/2018. OM8~51003S

U,S.
--' th p
R-"''ctlonActof""r
---
P~tent and Trademaric
-"
-r

OR
AND
Patent Number
Office; U.S. DEPARTMENT Of COMMERCf

I
'
8,371,445
lssue Date
102ll2014
Tide
CR!SPR-CAS COMPONENT SYSTEMS,

METHODS AND COMPOSfflONS FOR
Attorney Docket No.
55018-10069-445H
I hereby revoke att previous powers of attorney given In the aboveldentlfied patent.
0 A Power of Attorney ls 51Jbrnltted herewith.

OR I hereby appoint Practitioner(s) associated with the Customer Number identified in the box at right as my/our
j2s14
[RI attorneyb) Of' agent{$} with respect to the patent Identified above, and to transact all business In the United
Sta ti Patent and Trademark Office connected therewith:
OR
I hereby appoint Practitloner(s) named below as my/our attorney{s} or agent(s) with respect to the piilhmt ide"'tlfied above, and to transact
all business In the United States Patent and Trademark Office CO/lfle:cted therewith:
Re11!stratlon Number
Practitioner($} Name
Please recognb:e or change thtt corrttspondenCC! addr~s for the above-identified patenl to:
~The address associated with the aboveldentified Customer Number.
The address associated with the customer Number identified in the box at right:
OR
oflrmor
lndh1idual Name
Addren
I State I
Citv
Countrv
Telephone
I ZIP I
I Email I
I am the:
0Awlicant.
OR
IRJ
Patent owner.
Statement under 37 CFR 3. 73(cJ {Form P10/AJA/96J submittttd herewith or flied on
Shinatute
Name
I
TitleandComoanv I
'"'--~~'
"'""'
11... i. .........
ltv
SI
0
..,
=-n1
~
pw.i.cant or 1"3tent owner
Lt
I Date
enteGE
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-,
,
//C
I Telephone I
NOTE: Signatures of all th~~~liis 8f'i1afi!hWriettfc\'ltl&Ymfil~for their re:presentative(s) are requited. If mote: 1'1ao one signature
ls required, submit multiple form$, check the box below, and Identify the total number of forms submitted In the bl.ank below
[Z]Atotalof 3
forms are submitted,
1hlsto11ttlon of lnform1ticn 1$ rfMluked bv 3'1CFR1.31, 1.32, 11nd 1.33. Thf (nforl'l'lllti~ 11 requlr1td to obUu'I or realn a benefit by the publtc, "'1hich 1s to up1e
(and by the USPTO to pfOCt'n the file- o1 a patentor reexamination proceeding. Contlden1iality is t<Nerned bv 35 USC, 122 and 37 CF!t l.14. Thk coltection is
estlm-ate:dto take 3 mlnutes to compte~. triclud!ng flllhefinc, prup11Me, and submitting thu completflt applkallon form to 11\ce USPTO. Time witl vuy depondlng
upon the lndivklual ca~. Any comments on the arnou11t of time you requlrn to .:omplete this form and/or s1111e.stioru. for reducing this burden. should be Mint to
the Chief tnfonmtlonOffiw, U.S.. Pll~t .al'ld Tra~maril Offite, U.S. Department of Commerce, P.a. 8oit 1450. AleKandria, VA 22313145't DO NOT SEND FEES OR
COMPLETED FORMS TOTHISAOORfSS. SEND TO: commbslOMf for Patenu, P.O. Box 1450, AlexandrliJ, VA 2231314SO.
If you n11ff o"Jstontt In ccmpleting the form, coll lBOO-PT0.9199ond iekct oplii;m 1.
PTO/AIA/96 (0812)
Approved for use through O113112013. OMB 0651 0031
Under the Paoerwork Reduclion Act ol 1995, no oarsons are reauired to resoond to a collection ol Information unless II dlsnlavs a valid OMB control number.
STATEMENT UNDER 37 CFR 3.73!c)

AppllcanVPatent Owner:
Filed/Issue Date: _1_0_-2_8_-2_0_1_4_ _ _ _ _ _ __
Titled: CRISPR-CAS COMPONENT SYSTEMS, METHODS AND COMPOSITIONS FOR SEQUENCE MANIPULATION
_P_re_s_id_e_n_t_an_d_Fe_l_lo_w_s_o_f_H_a_rv_a_rd_C_ol_le-'g_e_, a university
(Name of Assignee)
states that, for the patent application/patent Identified above. it is (choose!!!!!! of options 1, 2, 3 or 4 below):
1.
2.
D
D
The assignee of the entire right, title, and Interest.
LJ The extent (by percentage) of Its ownership Interest Is
%. Additional Stalement(s) by the owners
holding the balance of the interest must be submitted to account for 100/o of the ownership interest.
3.

Additional Statement() by the owner(s) holding the balance of the Interest must be submitted to account for the entire
4.
complete transfer of ownership interest was made). The certified document{s) showing the transfer is attached.
The Interest Identified in option 1, 2 or 3 above (not option 4) Is evidenced by either (choose!!!!!! of options A or B below):
A.
8.
the United States Patent and Trademark Office at Reel 033219 0332 21. 033183 , Frame 0097, 0056, 0432 , or for which a copy
1. From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ To:
Reel-----~ Frame _ _ _ _ _ , or far which a copy thereof is attached.
2. From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ To:
Reel _ _ _ _ _, Frame -----~or for which a copy thereof is attached.
[Page 1 of 2]
This collection ol lnlormation ls required by 37 CFR 3.73(b), The Information is required to obtain or retain a benefit by the publlc which is to file (and by the USPTO to
process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.11 and 1.14. This collection is estimated to take 12 minutes to complete, including
gathering, preparing, and submitting lhe completed application form to lhe USPTO. Time wlU vary depending upon the individual case. Any comments on the amount
of lime you require to complele this form and/or suggestions for reducing this burden, should be sent lo the Chiel Information Officer, U.S. Patent and Trademark
Office, U.S. Oeparlmentol Commerce, P.O. Box 1450, Alexandria, VA 223131450. DO NOT SEND FEES OR COMPLETED FOAMS TO THIS ADDRESS. SEND
TO: Commissioner for Patents, P.O. Box 14501 Alexandria, VA 223131450.
If you need assistance in co1npleti11g thefonn, call 1-800-PT0-9199 and select option 2.
PTO/AIAJ96 {0812)
Approved 10t use throvgh0t131/2013. OMB 06510031
U.S. Patent and Trademmk omce; U.S. DEPARTMENT OF COMMERCE
Under the P-rwori< Reduction Act oi 1995, no ......rsons are -dred to ....,..,.Ad to a colktdion of information unle<ss It ...iw...iavs a valld OMB control number.

3. From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ T o : - - - - - - - - - - - - - - - - The document was recorded in the United States Patent and Trademark Office at
Reel----~ Frame-----' or for which
a copy thereof is attached.
4.From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ T o : - - - - - - - - - - - - - - - - -
The document was recorded in the Unfted States Patent and Trademark Office at
5.From: - - - - - - - - - - - - - - - - - T o : - - - - - - - - - - - - - - - - The document was recorded in the United States Patent and Trademark Office al
Reel _ _ _ _ _, Frame _ _ _ _ _, or for which a copy thereof Is attached.
6.From: - - - - - - - - - - - - - - - - - T o : - - - - - - - - - - - - - - - - The document was recorded In the United Slates Patent and Trademark Office at
R e e l - - - - - Frame----- or for which a copy thereof is attached.
f?l
Additional documents In the chain of title are listed on a supplemental sheet(s).
As required by 37 CFR 3. 73(c)(1 )(I), the documentary evidence of the chain of title from the original owner to the
[NOTE: A separate copy (I.e., a true copy of the original assignment document(s)) must be submitted to Assignment
Division In accordance with 37 CFR Part 3, to record the assignment in the records ol the USPTO. See MPEP 302.081
The undersigned (whose title is supplied below) is authorized to
na~~et
-/:~~
.'ifi
act on behalf ol the assignee.
Si
Mahe
91stant Director of !n!&llecttJal Property
Rrnsdeot aod ~alto"' ef HaF\'8rd Ceffege
., /' //6
~/ ........ .
Dme
Pnnted or Typed Name
[Page 2 of 2]
U.S. 8,889,356
PT0/AJA/81A (0215>
ApprOYfdfor UM Umf~h 01/31/2011. OMI 0651-0035
llJ.J, h'lenl-1t1d Trtdttnark Office; \l.S. OEPARTMENTOf COMMERCE
'1--

OR
WITH A NEW POWER Of ATTORNEY
AND
l Patent Number
1--~-,
8,889,356
11-182014
l Issue Date
' Tllle

CRISPR.cAS NICKASE SYSTEMS,

SEQUENCE MANIPULATION IN
EUKARYOTES
Anorney Docket No.
55018-10069-3568
DA Power of Anomev ts submitted herewith.

OR I hereby appoint Ptactltioner(s) associatedwilh the Customer Number Jdentified Jn the box at right as my/our
18] attorney{s) or 11ent(s) with respect to the patent ldentified MJove, and ta transact all busk\ess k1 the United
12574

OR
DI hereby apl)Olnt Prac:titioner(s) named below u rnvlourattomev(s) or 11ent(s) wl1h respect to the parent Identified above, and to transact
Practltionarlsl Name
11
-istratlon Number
Please recocnlie or chanp the correspondence addre5S for the above-ldenttfled palent to-:
~Tile &ddreu assotiated with the :above-identified CuscomerHumbar.
The addreu associated with the CustomJ:r Number ldefltffted In the box at right:
OR
oflrmor
tndtvldual Name
Address
CilV
Country
l State I
Telephone
lam the:
I fmaU I
oAppu,..t
Oii
18:)
Patent owner.
X statmen< undor 37 aR 3.73(<} (Form PTO/AIA/96l"""ftltt.ih<r1'Wlth orfil<d on
s~re
Name
HQII: Sisnatures of all the
ntle and Company
--
ntorPatent
'
'
I Dltl
I T..a..one F
,, - ,,
'
INSITME.K
lblnli}irecJtopr their repruntatlve(s) are required. If more than one .stanaiure
is required, submit multiple forms, check the box btlow, and Identify the total number of forms submitted In the blank below.
fonm re submitted.
[ZJA-lof 2
Thlt colltctlon Of \nfcmnatlon b required by J7 CFR 131, 1.32. i!lnd 1.33- Thct infamiatlon IS ffiluired to obuin or t1tlli'-l1 benefii by tM publlc:, which 11 to update
land by lht USPTD 10 proceu) the file of a Pl1tM or rnxamlmtlon proceedlna. ConfldeMl1!ay k pvemed by l5 U.S.C Ul a!Mi 17 CfR 1.14. This colle'tlon is
estlntedtoiake 3 minutes lo complete, lndudlnaptherlni, preparlna, Ind submlttinf the compllied 1pp1utlofl fom to th11 USPTO. Time Wiii Vl'Y dependfn1
Llf'Gn lhe indlvldnl case. Any comments on 1he 1moum of tkne yoc11equ!re lo compleW tilts form and/or '"llfldons far redudrw 'this burden.. Jhauld be sent to
tt. Chief Information Officar, U.S. Pa1tnt amdTr1dtm1rk Office, U.S. Department of Commaru. P 0.. lox 1450, Aleundrl1, VA 2.U:Ul4SO. DO NOT SEND FW OR
COMPLETED FOllMS TO THIS ADDRESS. SEND TO: Commlllluer far PlleftU. P.O. 1011 S450. Aleunclr8. YA WU-1450.
If you nnd ossb:kmce In c:ompletlnf th farm. coll J.f00.PTQ..91l5111nrl st/fer opr/on 1

The Privacy Act of 1974 (P.1..113-579) requires that you be given certaln Information In connection with your
submissiOn of the anached lonn related to a patent application or patent. Accotdlngly, pursuant to the
requirements of the Act, please be advised that: (1) the general authority for the collecllOn of this lnlormadon is
35 u.s.c. 2(b)(2); (2) furnishing of the lnlorma!lon solicited is voluntary; and (3) the principal purpose for whtch
the Information IS used by the U.S. Patent and Trademark Office iS to process and/or examine your submission
related to a patent application or patent If you do not furnish the requested lnfonnauon. the U.S. Patent and
Trademark Office may not be abte to process and/or examine your submission, which may result in termination
of proceedings or abandonment of lhe application or expiration of the patenL
The Information provided by you In this form win be subjeet to Iha following routine uses:
1. The Information on this form will be treated confidentially lo the extent allowed under the Freedom of
Information Acl (5 U.S.C. 552) and the Privacy Acl (5 U.S.C 552a). Records from this system of
records may be dlscfosed lo the Department of Justice lo determine whether dlsdosure of these
evidence lo a court, magistrate, or administrative lribunsl, Including disclosures to opposing counsel In
submitting a request lnvoMng an Individual, to whom the record pertains, when the Individual has
requested assistance from the Member with respect to the subjacl matter of the record.
4. A record In this system of records may be disclosed, as a routtne use, to a contractor of the Agency
having need for the Information in order to perform a contract. Recipients ol information shall be
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S81vices, or ltlslher deslgnee, during an Inspection of records conducted by GSA as part of that
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9. A record from this system ol record& may be disclosed, as a routine use, to a Federal, Stale, or local
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Applicant/Patent OWner: The Broad Institute, Inc.
Flied/Issue Date: _1_1-_1_a-_20_1_4_ _ _ _ _ __
lilied: CRISPR-<:AS NICKASE SYSTEMS, METHODS AND COMPOSITIONS FOR SEClUENCE MANIPULATION IN EUKARYOTES
a Not for profit institution.
---'------------------~
states that, lor the patent appllcation/petent Identified above, is (choose !ml! of options 1, 2, 3 or 4 below):
1.
The assignee of the enllre right, ti11e, and Interest.
2.
An assignee of less lhan the entire right title, and lntetest (check applicable box):
LJ The eX1ent (by peroen1age) of its ownersh" Interest is
%. Additional Stalement(s) by the owners

holding the balance of the Interest mus! be subml!!ed to account for 100% of the ownership Interest.
There are unspecified percentages Of owners~. The ollter parties, including inventors. who together own the entire
right, lltle and interest are:
Additional Statement(s) by the owner(s) holding the balance of the illlll<esl must be sul:!nll!!!d to account for lhe entire
right, tifle, and Interest.
3.
The assignee of an undivided interest in the entirely (a complete assignment from one of the joint inventors was mede).
The other parties, including inventors. who together own the enllre right, title, and Interest are:

Additional Statement(s) by the owner(s) hOldlng the balance ot lhe interest mys! be sybmlll!!d toaccount for the entire
right tille, and interest.
4.
The recipient via a court proceeding or the like (e.g.. bankruptcy, probate), of an undivided Interest In the enlilety (a
complete transfer ol ownership interest was made). The cerllfled document(s) showing the transfer Is altaehed.
The Interest Identified In option 1, 2 or 3aboVe (not opllon4) is evidellced by ellhef (choose11111 of options A or B below):
A.
An assignment from the lnventor(s) ol the patent application/patent identified above. The assignment was recorded In
the Unfted Slates Patent and Trademark Office al Reel 033211
, Frame ..,.
or lor which a copy
B.
A chain of title from the lnventor(s), of the patent appllcallon/palent ldentltled above, IO the current assignee as follows:
The document was recorded In the United Slates Patent and Trademark Office a1
Reel
2. From;
or for which a copy thereof IS attached.
Frame
To:--------------The documenl was recorded In the Un~ed States Patent and Trademark Office at
Reel
or for which a copy !hereof is allached.
Frame
[Page 1 Ill 21
Tho""""""""'
'-" -
Tiii$ -of"""""""'"~ roqui'9d by 37 CFR 3.T.l{b).

lS rvquil9d IO by ... public Wblch io file !Ind by lhe IJSPTO IO
prcceu) an appllcatlon.Confidentlllltyll gavemadby ssu.s.c. 122 and37CFR 1.11 and 1.14. Thi& collection Is estirr\&ttdto hike 12minutesto comptete. lndudlng
gattterin;. preparing. and IUbnlttlno the comp6eted application lorm to lhe USPTO. Time will vsy depending upon the lndlvidual case. My QJl'flments on the amount
ot time yoLI require to~ tNI form and/Ol'tuggatlons tor reducing this burdal'!, Should be wet to lhl CNel lnlonnation Olfic:er, U.S. Patent and Trademark
Offlco, US. Depor1mtnl ol Commen:e. P.O. eox 1450, Ale..-, VA 22313-1450. CO NOT SEND FEES OR COMPl.ETED FOAMS TO THIS AODAESS. SEND
TO: Cammi-., for Plltntl, P.O. Box 14llO, Alt-ria, VA 22313-1450.
I/you""" D$Sistance in completing the form, ca// l-800-PT09199 and se/ecr option 2.
PTOIAW9ll (Q&.12)
RecM:tlan
Under!
Appn:wed toruae through 01/3tl2013. OM80851..0Q31

U.S. ,,_and r-.ott Ollk:e, U.S. CEPAATMENT OF COMMERCE
I1
to
collecHonof lntormation
tt
CClf'IUal nll'nber.
SJATEMENT UNDER 37 CFR 3.73{cl
3. F r o m : - - - - - - - - - - - - - - - T o : - - - - - - - - - - - - - - The document was recorded In the United Stales Patent and Trademark Office at
Reel
Frame
or for which a copy thereof ls attached.
4.Fmm: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ To: _ _ _ _ _ _ _ _ _ _ _ _ _ __
Reel _ _ _ _~
~Ftom:
Frame----~' for which
a copy thereof Is attached.
_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ To: _ _ _ _ _ _ _ _ _ _ _ _ _ __
The document was recorded In the United States f'alent and Trademark Office at
Reel----~ Frame----~ or for which a copy thereof Is attached.
6. From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ T o : - - - - - - - - - - - - - - The document was recorded In the United States Patent and Trademark Offic:e at
Reel
0
0
Frame
Additional documents In the chain of title are llsted on a supplemental sheel(s).

As required by 37 CFR 3.73(c)(1 )(i), the documentary evidence of the chain of title from the original owner lo the
assignee was. or concurrently Is being, submitted for recordation pursuant to 37 CFR 3.11.
[NOTE: A separate copy o.e., a true copy of the original assignment document(s)) must be submitted lo Assignment
Division in accordance with 37 CFR Part 3, to record the essignment in the records of the USPTO. See MPEP 302.08)
Printed or Typed
N8ilfl&I I law
Tllle or Regislratlon Number
[Page2 of 21

submission of the attached fonn related to a patent application or patent Accordingly, pursuant to the
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enforcement agency, If the USPTO becomes aware of a violation or potential violation of law or regulation.
PT0/AIA/8lA (OZ-15)
Approved for use through Ol/ll/2018. OMS 06Sl-0035
U.S. Piltent 11nd Trademark Office; U.S. DEPARTMENT OF COMMERCE
'
R_.,,...,.._ 0 -'t of---
" '
i~M

OR
AND
'-
, ..1:..1....
lo
s" Vil, .. '"'""": ~nntml number
'
Patent Number
8,889,356
Issue Date
, 1-18-2014
Feng Zhang , Cambridge, MA (US}
ntle
CRISPR-CAS NICKASE SYSTEMS,

EUKARYOTES
Attorney Docket No.
55018-10069-356M
OR 1hereby appoint Practitloner(s) associated with the Customer Number identified In the bolt at right as mv/our
IEJ attorney(s) or agent(s) with respect to the patent Identified above, and to transact all business in the United
States Patent and Trademark Offlce connected therewith:
12574
OR
DI hereby appoint Practitioner(s) named below as my/our attorney(s) or agent(s) with respect to the patent identified above, and to transact
Re1istration Number
Practitionedsl Name
Please recognize or chanse the correspondence address for the above-identified patent to:
l8J The address associated with the above-Identified Customer Number.

OR
0 The address associated with the Customer Number identified in the bolt at right:
OR
Ofirmor
Individual Name
Address
Citv
I State
Country
Telephone
Emil
I ZID I
I am the:
DApplic:ant.
OR
18]
Patent owner.
Statement under 37 CFR 3. 7~c} (Form PTO/Ally~sutynitted herewith or filed on

I/
SiJ1.nature
Name
Title and Comoanv
IGN
:~'~
///
.,,,,,, REm
-
nt or Patent Owner
v-,~
I Date
I JU111'-
I Telephone I '- /'7-;.;t.!J-I/.
.r;/ / ,
MASSACHUSETTS INSTITIJTE OF TECHNOLOGY
NOTE: Signatures of all th=--71.~m Interest or their represematlve(s) are requlred. If more than one signature
Is required, submit multiple
, e
e ox ow,
1 ent1 the total number of forms submitted Jn the blank below.
0Atotalof 2
This collection of information is required by 37 CFR 1.31, 1.32, and 1.33. The Information is required to obtain or retlln a benefit by the publw:, which 1s to update
(oind by the USPTO to proi:ess) the file of a patent or reenminoition Pl'Oleding. C1:1nfident1alttv b aoverned by 3S U.S.C.122 and 37 CFR 1.14. This collection is
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upon the individual Clise. Arrf comments on the amount of time you require to complete this form and/or suggestions for reducins this burden, should be sent to
the Chief Information Offiter, US. Patent and Trademarlc Office, U.S. Department of Commerce, P.O. BOii 1450, Ale.unclria, VA 223131450. DO NOT SEND FEES OR
COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P,O. Bax 1450, Alllllllndrtl, VAUJlJ-1450.
If you need osslstunce In completing the form, coll J.SOO-PT0-9199and select option 2.
---------- --

The Privacy Act of 1974 (P.L. 93-579) requites !hat you be given certain information in connection with your
requirements of the Act, please be adVised that: (1) the general authority for the collection of this information is
Patent and Trademark Office is to process and/or examine your submission
the information Is used by the
u_s.
1.
2.
3.
4.
5.
6.
552a(m).
A record related to an International Application filed under the Patent Cooperation Treaty in this
21s(c)).
(42
agency's responsibility to recommend improvements iri records management practices and programs,
law enforcement agency, tt the US PTO becomes aware of a violation or potential violation of law or
regulation.
u.s.c_
7.
8.
9.
PTO/AIA/96 (08-12)
Under the p..nerwork Reduction Act of 1995, no .... rsons are ""'"'uired to re1mond to a collection of Information unless it disDla"" a valid OMB control number.

ApplicanVPatent owner: Massachusetts Institute of Technology
Filed/Issue Date: 11-18-2014
-------------~
Titled: CRISPR..CAS NICKASE SYSTEMS, METHODS AND COMPOSITIONS FOR SEQUENCE MANIPULATION IN EUKARYOTES
_M_a_ss_a_ch_u_se_tt_s_ln_s_ti_tut_e_of_T_ec_h_n_o_log=.y_ _ _, a University
(Name of Assignee)
(Type of As$lgnee, e.g., corporation, partnership, university, government agency, etc.)
states that, for the patent application/patent identified above, it Is (choose .2!!! of options 1, 2, 3 or 4 below):
1.
2.
D
D

An assignee of less than the entire right, tltle, and interest (check applicable box):
LJ The extent (by percentage) of its ownership interest Is
%. Addltional Statement(s) by the owners

Addltional Slatement(s) by the owner(s) holding the balance of the interest must be submitted to account for the entire
3.
The other parties, including inventors, who together own the entire right, title, and Interest are:
!The Broad Institute, Inc.
4.
The interest identnied in option 1, 2 or 3 above (not option 4) is evidenced by either (choose!!!!! of options A or 8 below):
A.
8.
, Frame 0626
1. From:
---------------~To:
_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __
The document was recorded in the United States Patent and Trademarl< Office at
Reel-----~- Frame-----~
2.From: ----------------~To:-----------------The document was recorded in the United States Patent and Trademarl< Office at
Reel----~ Frame----~ or for which a copy thereof is attached.
[Page 1 of 2]
This collection of information Is required by 37 CFR 3.73(b). 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 37CFR 1.11 and 1.14. This collection is estimated to take 12 minutes to complete, including
gathering, preparing, and submitting !he completed application form to the US PTO. 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 Ch\ef Information Officer, U.S. Patent and Trademari<
Office, U.S. Department of Commerce, P.O. Bo1e 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND
TO: Commissioner for Petents, P.O. Box 1450, Alaxandrla, VA 22313-1450.
If you need assistance in comp/eling the form, call 1-800-PT0-9/99 and select option 2.
PTO/AIA/96 (08-12)
Approved for use through 01131/2013. OMS 0651-0031
nd to a collection of Information unless it dis
a vaUd OMB control number.

3.From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ To: - - - - - - - - - - - - - - - - The document was recorded in the United States Patent and Trademark Office at
Reel _ _ _ _ _ ,
Frame----~
Reel----~
Frame _ _ _ _ _ , or for which a copy thereof Is attached.
6.From: - - - - - - - - - - - - - - - - - T o : - - - - - - - - - - - - - - - - - The document was recorded In the United States Patent and Trademark Office at
Reel _ _ _ _ _, Frame _ _ _ _ _, or for which a copy thereof Is attached.
As required by 37 CFR 3.73(c)(1 )(i). the documentary evidence of the chain of, tltle from the original owner to the
, [NOTE: A separate copy (i.e., a true copy of the original assignment document()) must be submitted to Assignment
Date '
[Page 2 of 2]

Information is used by the U.S. Patent and Trademark Office is lo process and/or examine your submission related
to a patent application or patent. If you do not furnish the requested information, the U.S. Patent and Trademarl<
Office may not be able lo process and/or examine your submission, which may result in termination of proceedings
1.
2.
3.
4.
5.
6.
7.
8.
9.
having need for the information In order to perform a contract. Recipients of information shall be required
records may be disclosed, as a routine use, to the International Bureau of the Wo~d Intellectual Property
(42 U.S.C. 218(c)).
A record from this system of records may be disclosed, as a routine use, to the public alter either
A record from this system of records may be disclosed, as a routine use, to a Federal, State, or local Jaw
U.S. 8,895,308
vro/MA/BlA 10215)
Apptaytd for use Uaro'Ulh 01/31/2011. DM806Sl-OOS5
U.S. Patcnr Ind Tractemm:Offk~. U,S, DEPARTMENT OF COMMERCE

"---~
Patent Number

OR
AND
'
'
Issue Dita
8,895,308
11-25-2014
Rm Named Inventor
Feng Zhang, Cambridge, MA (US)
Title

IMPROVED SYSTEMS, METHODS AND
ENZVME COMPOSITIONS FOR
SEQUfNCE MANIPULATION
Attorney Docket No.
55018-10069-3088
DA Power of Attomev ls submitted herewith.

OR I hereby appoint Practittoner{s) associated with the Customer Number Identified In the box at rl1ht as my/our
l?!Jttorney(s) or qent(5J wi\h respect to the patent Identified above, and to tnlnHct all buslnas In the United
Stites Patent alUI Trademark Office connected therewith:
12574
OR
DI hereby appoint Practttloner(s} named below as my/our attomey(s) or asent(s, wtth respKt to the patent Identified above, and to transact
all business In the United States Pa!ent and Trademark Office connected therewith:
Practttloneris} Name
R21tstrauon Number
Please recognbe or chlnp the correspondence address for the above-identified patent to:
~ n. addrns associated with the abcwa-ldl!nttfled Customer Number.
D The address assocl8* with the Customer Number Identified In the box at right:
OR
DFlrmor
lndivldual Name
Address
c..
l Zip I
I State I
coun
Telephone
I am the:
Enwlil
0Appllcant.
OR
l8J
Patent owner.
Statl'mcmt unckr 37 CFR 3.73{c} (Form PTO/AIA/961 submitted herewith or filed on
51
ature
Name
rltle and Company
:nJR
.,
/I
- :VS-"
..
Oata
I
I Tel one 1 r
,
.r...- ..-1
'
'. ' - - - 8AOAD INS'l'ITUTl. INC.
eetaMrest or their rtprestntatwt(s) are requited. tf more thin cme s1&na1ure

l!Qll: Silnatures of an
Is requited, submit multlpfe forms. check the box below, and identify the total ntmber of forms submitted In the blank below.
0A-lof3
forms. are submitted.
This colJKtlon of Information ii requited by 37 CfR 1,31, 1.12, Ind 1,33, The information b reqldred to obuin or ~ 1 benefit by the public, whlc:h Is to uPdlte
(and by tho USPTO LO proce1sl Utt me of 1 patent or reextmlNtkln procffilina. Gonfidenlillitv is aovemed ~ 35 u $.t. 122 am 37 CFR 114. Thiiscolk!cilon !
m1m1ted to tlke 3 m1nuw to cornplece, lncludlntpthefin& preparlnf, am subm1mn1 tbs completed 1pplclt1Dn form to the IJSPTO, Time will vary dlpendlnt
upon 1hl lndillldltlll case Any cornmenu on the amount of time you require to complete lhis form and/or s~s fOf rfful:lng this IR.irdcn, should bll 1ent to
d1e Chief lafarmtlon Offker, US. Patent and Trademark Office, U.S. Dep;11rtmeai of Comllll!rtt!, P.O. Bm 1450, Aleuftdrllt, VA 22315-1450 DO NOT SEND FEES OR
COMPLETED FORMS TOTHIS ADDRESS. 51NDTO:
for P1t1nts. P.O. lal.1450, Altundrfa. VAWU.1450.
If~ nnd o.ull:fona In camphrlng rht fam1, alll J..IOO.PJ0.9J.D and Hlect option Z.
Com"""*"'

The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain Information In connection with your
submission of the attached form related lo a patent application or patent. Accordingly, pursuant to the
requirements of the Act, please be advised that: (1) the general authority for the collectlon of this lnformallon Is
relllled to a patent appllcalion or patent. H you do not furnish the requested Information, the U.S. Patent and
Trademark OHlce may not ba able to process and/or examine your submission, which may result In termination
of proceedings or abandonment ol the application or expiration of the patent.
1. The information on this form will be treated conlldentlaly to the extent allowed under the Freedom of
records may be disclosed to the Department of Justice to clelermlne whether disclosure of these
evidence to a court, maglsl!'ate, or administrative tribunal, including disclosures to opposing counsel In
the course of settlement negoHatlons.
3. A record in this system of records may be dlscloaed. as a routine use, to a Member of Congress
submitting a request involving an indlvlduel, to whom the record pertains, when the lndlvldual has
requested assistance from the Member with respect to lhe subject matter of the record.
having need for the information in order to per1orm a contract. Recipients of information shall be
552a(m).
5. A record related to an International Application filed under the Patent Cooparation Treaty In this
Intellectual Property Organization, pursuant to tile Patent Cooperation Treaty.
6. A record In this system of r&COldS may be disclosed, as a routine use, to another federal agency for
purposes of National Security review (35 U.S.C. 181) and for review pursuant to the Alomio Energy Act
(42 U.S.C. 218(c)).
7. A record from thlS system of records may be disclosed, as a routine use, to the Admlnl$trator, General
Services, or his/her deslgnee, during an inspection of records conducted by GSA as pan of that
agency's rasponsibillty to recommend improvements in records management practice& and programs,
under authority of 44 u.s.c. 2904 and 2906. SUch disclosure shall be made in accordance with the
GSA regulations governing inspection of recordS for this purpose, and any other relevant (I.e., GSA or
Commerce) directive. Such disclosure Shall not be used to make determinations about indMduals.
8. A record from this system of records may be disclosed, as a routine use, to the pubHc alter either
publication of the application pursuant to 35 u.s.c. 122(b) or Issuance of a patent pursuant to 35
U.S.C. 151. Funher, a record may be disclosed, subject to the limitations of 37 CFR 1.14, as a routine
use, to the public ff the record was filed in an application which became abandoned or In which the
proceedings were terminated and Which applicatiOn is referenced by ehher a published application, an
9. A record from this system of records may be disclosed, as a routine use, to a Federal, Stale, or local
law enforcement agency, If the USPTO becomes aware of a violation or potential violation of law or
regulation.
PTO'AIA/96(08-12)
Approvod fat use lhnlugh 01131/2013. OM8 Oe&1-0031

U.S.Pafent llllf Tr>demark Offtce;U S. DEPARTMENT OF COMMERCE
i..n..r lhfl P...-....4. ~-....Act of 1995, no oeraons are ..-ilnMI to~ lo a colfettion of Information unless 11..i......... a valid OMB control number.

Applicant/Patent owner: The Broad Institute, Inc.
Filed'lssue Date: _1_1-_25-_2_01_4_ _ _ _ _ __
Tiiied:
ENGINEERING AND OPTIMIZATION OF IMPROVED SYSTEMS. METHODS ANO ENZYME COMPOSmONS FDR SEOUENCE MANIPULATION
, a Not for profit Institution.

~~~~~~~~~~~~~~~~~~~~~-
(T)'pt ol Assignee, e.g., corporation, partnerlhlp. uniwnlly, govemrnent agency, IC.)
(Nameo!AuipeJ
states that. for the patent appllcetlon/palent Identified ab01/e, tt Is (choose .111!1 of options 1, 2, 3 or 4 belOw):
1.
2.
0
0
The assignee of the entire right, tllle, and Interest.
An assignee of leSs than the entins right title, and lntensst (Check applicable box):
LJ The extent (by percentage) of Its ownership Interest Is

holding the balance of the Interest must be submitted to account for 100% of the ownership Interest
There are unspecified percentages of ownership. The other parties, including inventors, who together own Iha entlns
right, title end Interest are:
Addhlonal Statemenl(s) by the owner(s) holding the balanca of the Interest must be submitted to account for the entire
right, title, and Interest
3.
The assignee of an undivided interest in the entirety (a complete assignment from one of the joint Inventors was made).
The other parties, including inventors, who together own the entire right, litle, end interest are:

Addhlonal Statement(s) by the owner(s) holding the balance of the interest mus! be submltt@d lo account for the entire
right, title, end Interest.
4.
The recipient, via a court proceeding or the like (e.g., bankruptcy, probate), of an undivided interest in the entire!y (a
complete transfer of ownership Interest wes made). The cenifled document(s) showing the transfer Is attached.
The interest identified In option 1, 2 or 3 above (not option 4) is evldencad by either (Choo6e ll!!I of options A or B below):
'
'
A.
I]
An assignment from the invenlor(s) of the patent appllcallonlpatenl Identified above. The assignment Was recorded In
the Unhed Slates Patent and Trademark Office at Reel 033009
Frame oaoo
or for which a copy
B.
A chain of title from the inventor(s), of the patent appllcallon/patent ldentilled above, to the current assignee as follows:
I. From:
To:---------------The document wes recorded in lhe United States Patent and Trademark Office al
Reel
2. From:
Freme
To:---------------The document was recorded In the Unhed States Patent and Trademark Office at
Reel
Frame
or for which a copy thereof is allached.
[Page 1 ol 2]
Thia co<loc:llon ol fn1am1111lon Is - b y 37 CFR 3.73(b). Tllo Information f& l1lqUinld to oO!alnor_,n a - by the publ~""""' Is to file (od by the USPTO to
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Ifyou need assistance In compltllng th4 form, call 1-800-PT0-9/99 and select option 2.
lor UM
tn-
PT<YAW96 (08-12J
01131/2013. OMB 065Hl031
U.S.P119ntendT-01b;U.S.DEPARTMENTOFCOMMERCE
- of inklrmltlm unlnl It
a Wllid
to a
STATEMENT UNDER 37 CfB 3.73(cl

3.F~m'--~--~~~~~~~--~To:_~--------~-~~~
The document was recolded In lhe United stales Palenl and Trademalk Olfice al
Reel
Frame
or for which a copy lheteof is attached.
4.F~m'~~--~---------~To:~--~-~~~~~-~~~The document was recorded in lhe United Slales Patent and Trademalk Office al
Reel
Frame
or for which a copy lhereof Is attached.
5.~:~-~~~~-~~-~-~~~To:~~~~~~~---~-~-~
Tha document was recolded In Iha United States Patent and Trademarl< Office al
Frame
Reel
6.F~m:~~-~~-~~~~~~~~~To:~------~~~~~-~The document was recolded In Iha United States Patenl and Trademark Office al
Reel----~
Frame _ _ _~, or for which a copy !hereof Is attached.
Additional docum8111S In the chain of !Hie are listed on a supplemental sheel(s).
As required by 37 CFR 3.73(c)(1 )(I), the documenlaly evidence of the chain of lille from the original owner lo the
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Division In accordance with 37 CFR Pail 3, lo racord the assignment in the rscords of the USPTO. See MPEP 302.08)
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tifa
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ernor
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[Page2ol 2)

The Privacy Act of 1974 (P.L 93-579) requires that you be given cerlain Information In connection with your
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ol a violation or potential violaUon of law or regulation.
aw-
~...lahe
PTO/AIA)BlA (0215)
U.S. Patent and Trademark Office; U.S. DEPARTMENT Of COMMERCE
, rn)l--'-"'I of inf
"' la.,. "v" "'""" rontrol
uir....t tn

OR
AND
- '
Patent Number
8,889,356
Issue Date
11-18-2014
Title
CRISPR..cAS NICKASE SYSTEMS,

METHOOS ANO COMPOSITIONS FOR
EUKARYOTES
Attorney Docket No.
55018-10069-356M
,,
I hereby revoke all previous powers of attorney giwn in the above-Identified patent.
18] attorney(s) or agent(s) with respect to the patent identified above, and to transact all business ln the United
!2574
OR
D I hereby appoint Practitioner(s) named below as my/our attorney($) or agent(s) with respect to the patent identified above, and to transact
all business in the Unlted States Patent and Trademark Office connected therewith:
Pract\tioner(s) Name
Re1tstration Number
Please reco&nlze or change the correspondence address for the aboveJdentlfled patent to:

OR
The address anoc\ated with the Customer Number ldentlf1ed In the box at right:
OR
Dfirmor
Individual Name
Address
cm.
I State
Country
Telephone
Email
I Zio l
I am the:
Applicant.
OR
18)
Patent owner.
Im
Statement under 37 CFR 3.73{c} (Form PTO/AIA/96) submitted herewith or flied on

Signature
Name
TitleandCompanv
,,,,,,
SI
..J /
r, r
RE at Aap1lcant ar Patent owner
-MASSACHUSETTSINSTITUTEOFTECHNOLOGY
I -. _,
I Date
I Telephone I / ,_, , - 7 -
'..
_,
-,
NOTE: Signatures of all the appllcants or patent owners of the entire interest or their tepresentative(s) are required. If more than orfe sifn"ature
Is required, submit multiple forms, check the box below, and identify the total number of forms submitted in the blank below.
(i}Atotalof 2
This collectiOn of Information IS required by 37 CFR 1.31, 1.32, and 1.33. The information is required to obtam or retain a benefit by ttre public. which 1s to update
{and by the US PTO to procen) the file of a patent or ree11amlnatlon proceeding. Confidentiality Is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is
estimated to take 3 minutes to ct1mplete, including gathering, preparing, and submittin1 the completed application form to the US PTO. Time 'Nill vary dependln1
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COMPLETED FORMS TO THIS ADDRESS. SEND TO: Cornmiulonerfor Pat.mt, P.O. Bo.1450, AleQndria, VA 22513-1450.
If you need assistance in camp~t/np the/arm, coif l-800-PT0-9199ond select option 2.

The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain inlormation in connection with your
1.
2.
3.
4.
5.
6.
7.
8.
9.
A record from this system of records may be disclosed, as a routine use, In the course of presenting
552a(m}.
A record related to an International Application filed under the Patent Cooperation Treaty in this
(42 U.S.C. 21B(c}).
U.S.C. 151. Further, a record may be disclosed, subject to the limitations of 37 CFR 1. 14, as a routine
law enforcement agency, ii the USPTO becomes aware of a violation or potential violation of law or
regulation.
PTOJAIA/96 (OB-12)
Approved for use through 01/3112013. OMB 0651 0031
Under the p ..nerwork Reduction Act of 1995 no .....rsons are ...,.,ulred to r-""'nd to a collection of Information unless it disolavs a valid OMB control number.

ApplicanVPatent owner: Massachusetts Instilute of Technology
Titled:
Filed'lssue Date: _1_1_-2_5_-2_0_1_4_ _ _ _ _ _ _ __
ENGINEERING AND OPTIMIZATION OF IMPROVED SYSTEMS, METHODS ANO ENZYME COMPOSITIONS FOR SEQUENCE.MANIPULATION
, a _u_n_iv_e_rs_i~ty_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __
(Tp of Assignee, e.g., corporation, partnership, universfty, government agency, etc.J
(Name of Assignee)
states that, for tile patent application/patent identified above, it is (choose 2!!! of options 1, 2, 3 or 4 below):
1.
2.

LJ The extent (by percentage) of ils ownership interest is

holding the balance of the interest must be suPmitted to account for 100% of the ownership interest.
There are unspecHied percentages of ownership. The other parties, including inventors, who together own the entire
Addilional Statement() by tile owner(s) holding the balance of tile Interest must be submitted to account for the entire
3.
The other parties, including Inventors, who together own the entire right, tltle, and Interest are:

Addttional Statement(s) by tile owner(s) holding the balance of the interest must be submitted to account for the entire
4.
D The recipient, via a court proc~edlng or tile like (e.g., bankruptcy, probate), of an undivided interest In the entirety (a
co~lete
transfer of ownership interest was made). The certHied document(s) showing the transfer is attached.
The interest identified in option 1, 2 or 3 above (not option 4) is evidenced by eilher (choose.!!!!! of options A or B below):
A.
Frame 0600
or for which a copy
B.
A chain of title from the inventor(s), of the patent application/patent Identified above, to tile current assignee as follows:
Reel _ _ _ _ _ ,
Frame----~
Reel _ _ _ _~ Frame _ _ _ _ _ , or for which a copy thereof is attached.
[Page 1 of 2]
This collectlon of lnfOl'll\8.tlon is required by 37 CFR 3.73(b). The lnformatkm Is required to obtain or retain a benefit by the public which Is to file (and by the USPTO to
process) an application. Confldentiallty ls governed by 35 u.s.c. 122 and 37 CFR 1.1tand1.14. This collection is estimated to take 12 minutes to complete, including
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TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
If you need as.~istance in completing the form,
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PTO/AIA/96 (OS.12)
Approvedfo1 use through 0113112013. OMB 0651-0031
nd to a collection of information unless it a a valid OMS control number.
Uf\derthe Pa

~From:----------------~ T o : - - - - - - - - - - - - - - - - - The document was recorded In the United States Patent and Trademark Office at
Reel----~
Reel----~
D
0
Addltlonal documents in the chain of title are listed on a supplemental sheet(s).
As required by 37 CFR 3.73(c)(1 )(I), the documentary evidence of the chain of title from the original owner to the
assignee was, or concurrently Is being, submitted for recordation pursuant to 37 CFR 3.11.
[NOTE: A separate copy (I.e., a true copy of the original assignment document(s)) must be submitted to Assignment
Division In accordance with 37 CFR Part 3, to record the assignment in the records of the USPTO. See MPEP 302.08]
upplied below) is authorized to act on behatt of the assignee .
.ffa?/t
Date
Printed or Typ
Lic:entl Office
'
[Page 2 of 2]

The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain Information in connection with your
U.S.C. 2(b)(2); (2) furnishing of the Information solicited is voluntary; and (3) the principal purpose for which the
infonnation is used by the U.S. Patent and Trademark Office is to process and/or examine your submission related
The information provided by you in this fonn will be subject to the following routine uses:
1.
2.
3.
4.
5.
6.
7.
B.
9.
The infonnation on this form will be treated confidentially to the extent allowed under the Freedom of
lnfonnatlon Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 552a). Records from this system of records
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course of setHement negotiations.
having need for the information in order to perfonn a contract. Recipients of information shall be required
A record related to an International Application flied under the Patent Cooperation Treaty In this system of
(42 U.S.C. 21 B(c)).
Commerce) directive. Such disclosure shall not be used to make detenninations about individuals.
publication of the application pursuant to 35 U.S.C. 122(b) or issuance of a patent pursuant to 35 U.S.C .
.151. Further, a record may be disclosed, subject to the limitations of 37 CFR 1 .14, as a routine use, to the
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tenninated and which application is referenced by either a published application, an application open to
P10/AtA/81A (02 lS)
. ..
~
'
'"
s a-r
Approved for use thfoq:h 01/31/20 Ht OMS 0651 00lS

U-S- Patent and Tradcm;irk Offia!; U.S. DEPARTMENT Of COMMERCf.
-'---\I .... A'~ -valid ......... ~Anlrol FTUm~F
fl-'-ri
... a colhN:"'-I
r..dto

OR
AND
Patent Number
8,895,308
lswe Date
11-25-2014
'
Title
ENGINEERING ANO OPTIMIZATION OF

IMPROVED SYSTEMS, METHODS AND
SEQUENCE MANIPULA1'10N
Attorney Docket No,
55018-10069-308H
I hereby revoke all previous powers of attOl'ney given in tl'le ab~ldentified patent.
0 APower of Attorney is submitted hereWlth.

OR I hereby appoint Practilioner{s) associated with the Customer Number Identified in the box at right as my/our
[g] attorney(s) or agent(s.) with respect to the patent identltied above, and to transact all business In the United
States Patent and Trademark Office oonnected therewith:
OR
4 J
I hereby appoint Pfaetitloner(s) named below as my/our attorney{s) or asent{s} with respect to the patent Identified above, and to transact
all business In the United States Patent and Trademark Office eonnccted therewith:
Regls.tratlon Number
Praetltloner{s) Name
Please reeognize or change the correspondence address for the above-identified patent to:
[BJ The address associated with the above-Identified Customer Number.

OR
The address associated with the Cus.tomer Number Identified in the box at right:
OR
Dflrmor
Individual Name
Address
Cilv
I State I
COlll'l\ry
Telephone
Email
I Zll> I
I am the:
o""""'"'
OR
[E)Patentowner.
Stclement under 37 CFR 3.73/c) (Form PTO/AIA/96) submftted herewith or ffied on
Sienature
Name
Title and Company
'
......
'
/
;SIGNA
.-.~
--
ofAp
cant or Patent owner
,p
I
I Telephone I
I Date
... ,,, ,,,.- ?
/. ///,,.
: OF MARVARO COLLEGE
NQJI: sianatures of a~IRliutAGSrfj&Naw~rCJol!efJeest or ttlelr representatlve{s) are required. tf more than one signature
is requited, submit multiple forms, check the box below, and identify the total m.imber of forms submitted in the blank below
IZJAtotalol 3
forms are ~ubmitted.
This 10e~Uon oflnfottnatton Is req:lli.red by l? CF!\ 1.31, l.3l, and 1.33. Tht lnformatJOn 1~ rtrQuit'ed to~taln w retain a bentfll by the pi.1blk, whkh is to update
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upon the lndlvJdual ta$!?. Any rommontr.o" the M<lunt cf tlmeyotl reqlJlre to cumplete tNs form V1d/rns11gpstloM for 1educlng this bl.lr~n. ~hould be Sfl\t to
the Chief Information Officer, U.S. f'atnl atid Trlidemark Office, U.S. Dt'P3rtrtlf!nt of Commerce, P.O. Box 1450, Alelti1n6ria, VA 223l-3-14SO, 00 NOT Sf NO ff.ES Of!,
COMPlfT0 FORMS TO THIS AO~ESS. SEND TO: Ccmmlulefler for PatnU, P.O. 8ox 1450, Aktnndria, VA 2231314SO.
l/Yl)U netd en/stance Jn compf'etlng the form, coU l..JIOO.PT0-9199 ond sekfr opth.m 1.
Under the Pa rwork Reduction Act of 1995, no
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PTDIAIN96 (08-12)
Approved for use through 01/3112013. OMB 0651-0031
U.S. Patent and Trademark OHlce; U.S. DEPARTMENT OF COMMERCE
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ApplicanVPatent Owner:

Titled:
Filed/Issue Date: _1_1_-2_5_-_2_0_14

_ _ _ _ _ _ _ __
ENGINEERING AND OPTIMIZATION OF IMPROVED SYSTEMS, METHODS ANO ENZYME COMPOSITIONS FOR SEQUENCE MANIPULATION
a university
~~~~~~~~~~~~~~~~~~~~~~~~~
(Name ol Assignee)
states that, for the patent application/patent Identified above, it is (choose .QM of options 1, 2, 3 or 4 below):
1.
2.
D
D

LJ The extent (by percentage) of Its ownership Interest is
3.
The other parties, including inventors, who together own the entire right, title, and Interest are;

4.
The Interest Identified in option 1, 2 or 3 above (not option 4) is evidenced by either (choose .QM of options A or B below):
A.
, Frame 0526
B.
A chain of title from the inventor(s), of the patent application/patent Identified above, to the current assignee as follows:
Reel ______ , Frame----- or for which a copy thereof is attached.

2.From: ~~~~~~~~~~-~~~~~~-To:~~~~~~~~~~~~~~~~~~
Reel ______, Frame
, or for which a copy thereof Is attached.
[Page 1 of 2]
This collaclion of lnlormaUon Is required by 37 CFA 3.73(b). The information is required to obtain or retain a benefit by Iha publlc which is to file (and by the USPTO to
process) an appllcallon. Conlklentlallty Is governed by 35 U.S.C. 122 and 37 CFA 1.11and1.14. This collecllon Is eslimated to take 12 minutes to complete, Including
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ol time you require to complete this form and/or suggestions lor reducing this burden, should be sent to the Chief Information Officer, U.S. Patent and Trademark
Oftlce, U.S. Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FOAMS TO THIS ADDRESS, SEND
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If you need assistance in co111pleting the fonn, call 1-800-PT0-9199 and select option 2.
PTOIAl/\196 (0812)
Approved lor use through 0113112013. OMa 06510031
U.S. Patent and Trademark Ottiet; U.S. DEPARTMENT OF COMMERCE
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Under the P
STATEMENT UNDER 37 CFR 3.731cl

3.From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ T o : - - - - - - - - - - - - - - - - The document was recorded in the United States Patent and Trademark Office at
Real _ _ _ _ _ , Frame _ _ _ _ _, or for which a copy thereof is auached.
4.From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ T o : - - - - - - - - - - - - - - - - - The document was recorded In the United States Patent and Trademark Office at
Real _ _ _ _ _,
Frame----~
Real _ _ _ _ _ , Fram----~ or for which a copy thereof ls allached.
R e e l - - - - - ' Frame----- or for which a copy thereof ls attached.
Additional documents in the chain of tille are listed on a supplemental sheel(s).
As required by37 CFR 3.73(c)(1)(i), the documentary evidence of the chain of title from the original owner to the
assignee was, or concurrently ls being, submitted for recordatlon pursuant to 37 CFR 3.11.
Division In accordance with 37 CFR Part 3, to record the assignment In the records of the USPTO. See MPEP 302,081
The undersigned (whose liUe Is supplied below) is authorized to act on behalf of the assignee.
//?
>anet Maher
Signature
,/
b~4 f'e
Date
~/2.t.;/6
i'
[Page 2 of 2]
U.S. 8,906,616
PTO/AIA/81A 10"151
Approved for use lhroqh Dl/31/2018. OMB 0651-00JS
,,
\.

OR
AND
U.S. Patent Ind Tradernlrt Office; U.S. DEPARTMENT OF COMMUCE
Patent Number
8,906,616
Issue Otte
12-09-2014
'
Fang Zhang, Csmbridge, MA (US)
11tle
ENGINEERING OF SYSlEMS, METHODS

AND OPTIMIZED GUIDE COMPOSITIONS
FOR SEQUENCE MANIPIJlATION
Attomey Docket No.
55018-10069-6168
DA Power of Attorney ls submitted herewith.

OR I hereby appoint Practltloner(s) associated with the Cwtomer Number Identified In the box at rtsht as my/our
~ attorney(s) or aaent{s) with respect to the patent ldentir.cd above, and to nnsact 111 business in the United
Statu Patent and Trademark OfflCfl: connected therewith:
12574
OR
I hereby appDlnt Practldoner(s) named below as my/our attomey(s) or 11enc(s) with respect to the patent ldentffied above, and to nnsact
au business in the United Slaw Patent and Trademark Office connected therewith:
Pnc:tido11ertsl-
R&11str1tton Number
Please recognlre or change the correspondence address for the above-ldendfled patent to:
~The addms associ.ted with the 11bcmr-ldtntlflad CustOmlr Number.
Thi address associated with the Customer Number kkmtified In the box at right:
OR
DFlrmor
lndlvldU1I Name
Address
J 7m I
I State I
CitY
Coun
Telephone
I Email I
Jam the:
0App11ca.,.
OR
18JPatentowner.
Stotnnentumler J7 CFR 3.73(c] (Form PTO/AIA/96/sulmJJlted hemWlh or filed on
~nature
:ruR
/I
orra&ent
~MtmnN:
net
I ~-
I Tel-II
I Olla
- ." -....
Name
Title and Campeny
!Qli: Signatures of all th appllcanU' or
or thei' raprewntadvt:1s) are requited. tf more than one $lgnature
Is requited, submit multiple forms, check the box below, and Identify the total number of forms submitted In the blank below
[l)Atollllof3
foml5 are submitted.
TNscollKtloll oflnformrion Is rwqulred by 37 CFR J.31, J.32, and L33. The lnfonnatioft IS required to oiltaln or m.illa bent:ifi\ by the publlc:, whfc" lsto update
(and by the U5PTO to ~SS) \he file of a patent orreexarnimltion proceffinl- COnf'JMntialityls soverned by 15 U.S.C. 122 ind 17 CFR 114. This cahcUon ii
atbMttd 10 talce J mlnum to compltle, lnddl& llifliltfJllo prepart.., 1nd submlttlnl the compltted appllQtiOn form to the USf'TO, Time wtti vtry dePff\dl'IC
upon the indivktv.111 QN. Anycommtnts on thl 1mount of tlml Voll requite to ccunptete this form and/ SUQtidons for rcduclna Chis buniim. shoYld be seni to
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If !'OU nnd ou&ronct /II comp/Hirrf fire fornt. td t-BOO-FIV-9199 and s.lrct option 2.
PTOIAIA/9G (DS-12)
App'ovad for use through Ot/3112013. OMB 0651-0031
U.S. Patem andT-OfliCll; U.S. DEPARTMENT OF COMMERCE
to a collection of Information unless it
a
valid OMS
number.
UndertheP

Applicanl/Patent Owner: The Broad Institute, Inc.
Filed/Issue Date: _1_2_,og._2_0_14
_ _ _ _ _ _ __
Tided: ENGINEERING OF SYSTEMS, METHODS ANO OPTIMIZED GUIDE COMPOSITIONS FOR SEQUENCE MANIPULATION
a Not for profit institution.
~---------------------~
(Type of Assigl1eo, e.g., C01P0'"1imo, pannant<p, .........,.,, government agency, otc.)
states that for the patent applicetlonlpatent ldantilled above, It Is (choose l!!l!! of options 1, 2, 3 or 4 below):
1.
2.
D
D
The assignee olthe enllfe rlghl, tide, and Interest.
An assignee of less than the entire rlghl, title, and Interest (check applicable box):
LJ The extent (by percentage) of fts owne111hlp Interest Is

holding the balance of the Interest musr be submlned to account for 100% of the ownership Interest.
There are unspecified percentages of owne111hlp. The other parties, including Inventors, who together own the entire
Additional Statament(s) by the owner(s) holding the balance of the Interest my51 be sybmjttl!d to account for the entire
right title, and Interest.
3.
The assignee of an undivided Interest in the entirety (a complete assignment from one of the joint inventDlll was made).
The other parties, including invento111, who together own the entire rlghl, title, and Interest are:

Additional Statarnent(s) by the owner(s) holding the balance of the Interest must be ubmltt@d to account for the entire
right litle, and interest.
4.
The redpent, ~a a ~urt proceeding or the like (e.g., bankruptcy, probate), of an undivided Interest In the entirety (a
complete transfer of ownership Interest was made). The certified docurnent(s) showing the transfer Is attaci1ed-
The Interest Identified In option 1, 2 or 3 above (not option 4) is evidenced by either (choose 21J!OI options A or B below):
A.
An assignment from the Inventor() of the patent applicalionlpateritld!.~tified above. The assignment was recorded In
the Untted States Patent and Trademark Office at Reel 033219
Frame 0212
or for which a copy
B.
A chain of tllte from the lnventor{s). of the palent applicalion/patent Identified above, to the current assignee as follows:
1. F r o m : - - - - - - - - - - - - - - - - T o : - - - - - - - - - - - - - - - The document was recorded In Iha Unfted States Patent and Trademark Office at
Reel
2. From:
Frame
or for which a copy thereof IS attached.
To:---------------The document was recorded In Iha United Stales Patent and Trademark Office at
Reel
, Frame

[Page 1 of 2]
This CX>llecllon ol lntannallonls requl'8d by 37 CFR 3.73(b~ The lnfoomallon <e l9qOl'9d IO ablaln or ntlaln a bonof~ by lt1e pubic which ls IO fllo tand by "'" USPTO 10
process) an appllcaUon. Confldentiatlty ii governed by 35 u.s.c. 122 and 37 CFR 1.11 and t t4', Thia mll9ctlcnfs esllmaled ta lake 12 mirUle8 to complete, lr.cludlng
gathering, preparing, and stA>mllting the completed applicadon bm tu !ht USPTO, Time wM' Vll'fdepencilng ~the indlvlduat case. My commem on lhe mmowil
of lime you requife to cornplele this fOfm ancVor auggesllons for reducing this burden, 1h0utd be sent lo the Chief lnlormdonOfflcer, U.S. Patent and Trademark
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I/you n..d assisrance in completing the form, call 1-800-PT0-9/99 and select option 2.
PTOIAIMI& (08-12)
"""""""""- ttwcugh 01131/2013. OM80051o0031

U.S. -and-Ollic9; U.S. DEPARTMENT OF COMMERCE
IO
Of inlOJmaUon u
number.
Aclof 1
SIA!EMENT UNDER 37 CFR 3.'73(c\

3.From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ To: _ _ _ _ _ _ _ _ _ _ _ _ _ __
The document was recolded In the United States Patent and Trademark Office at
Reel
, Frame
, or for whieh a copy thereof is attached.
4.From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ Ta: _ _ _ _ _ _ _ _ _ _ _ _ _ __
The document was recorded In lhe United States Patent and Trademark Olfiee at
Reel _ _ _ __,Frame _ _ _ __. or for whieh a copy thereof is attached.
5.From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ To: - - - - - - - - - - - - - - -
The document was recoRled In the United States P - and Trademark Office at
Reel
Ftame
6. Ftom: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ T o : - - - - - - - - - - - - - - The document was recanted In the Unlled States Patent and Trademark Office at
Reel
0
0
, Frame
Addftlonal documerdS In Ille chain
ot lille are Isled on a supplemental sheet(s).
As required by 37 CFR 3.73(c)(1)~). the documentary evidence al the chain of tllle lrom the original owner to the
assignee was, or concurrently Is belng, submitted for recordation pursuant to 37 CFR 3.11.
o.e.,
[NOlE: A separele copy

a true copy of the original assignment documenl(s)) mus1 be submitted to Assignment
Division In accordance with 37 CFR Part 3, lo record the assignment In the records al the USPTO. See MPEP 302.08]
litle Is supplied below) Is authorized to act on beheff of the assignee.
1::b
Date
Printed or Typed Nai!iElhiln
Senior
law
(Page 2 of 2]

The Privacy Act ol 1974 (P.L. 93-579) requires that you be given certain information In connection with your
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The Information provided by you In this form will be subject to the following routine us1111:
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9. A record from this system of records may be disclosed, as a routine use, to a Federal, State, or rocal law
enforcement agency, II the USPTO becomes aware of a violation or potential violation ol laW or regulation.
~.1-1H.~
rti.R,.d"'f
-of,,.....
PTO/AIA/81A (0215)
U.S. Patent and Trademari: Office; U.S. DEPARTMENT OF COMMERCE
. f
'" rtjs
..
---- ---
ndto"
Patent Number
PATENT - POWER OF ATIORNEY

OR
REVOCATION OF POWER OF ATIORNEY
WITH A NEW POWER OF ATIORNEY
AND
'
'
8,906,616
Issue Date
12-09-2014
Title
ENGINEERING OF SYSTEMS, METHODS

ANO OPTIMIZED GUlDE COMPOSITIONS
FOR SEQUENCE MANIPULATION

Attorney Docket No.
55018-10069-616M
"I hereby revoke all previous powers of attorney given ln the above-identified patent.
.I
DA Power of Attorney ls submitte-d herewith.

OR I hereby appoint Practltioner{s) associated with the Customer Number identified In the box at right as my/our
18'.1 attorney(s) or agent(s) with respect to the patent identified above, and to transact all business In the United
12574
OR
I hereby appoint Practitioner(s) named below as my/our attomey(s) or agent(s) with respect to the patent Identified above, and to transact
ftaaistratlon Number
Practltloner(s) Name

D
The address associated wittl the Customer Number identified In the box at right:
OR
DFirmor
Individual Name
Address
City
Country
Telephone
I State
Email
I Zip I
I amthe:
OApplicant.
OR
18]
Patent owner.
Statement under 37 CFR 3.73(c} (Form PTO/Al

Signature
Name
Title and Company
.n
-- _,
,_,,
6 submitted herewith or filed on
EotA
cant or Patent Own1r
'
r"''
I Date
I .L/:?o r,,
I Telephone l/..1r1- ''"" ~--""'""'l'J
',/I - 1
MASSACHUSETTS INSTITIJTE OF TECHNOLOGY
'
NOTE: Signatures of all the w~-~interest orthelr representatlve(s) are required, If more than one signature
is required, submit multlple'tftl,
b'Ox e w, a ti identify the total number of forms submitted In the blank below.
[l)Atotalof 3
This collection of Information is required by 37 CFR 1.31, 1.32, and 1.33. The lnfonnat1on 1.S required to obtam or retam a benefit by the public, which IS to update
{arKI by the USPTO to process) the flle of a patent or reexamination proceeding. Confidentiality Is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is
estimated to take 3 minutes to complete, Including gathering, preparing, and submitting the completed applk:atlon form to the US PTO. Time will vary depending
upon the individual case. Any comments on the amount of time you require to complete th ls form and/or suuestions for redliClns this burden, should be sent to
the Chief lnformatlon 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 THl5 ADDRESS. SEND TO: COmmlssJoner for Patents, P.O. lox 1450, Atwlmlrla, VA 22313-1450.
If you need assi5tarn:e in completing the form, call 1-BOOPT0-9199 and select option 2.

35 U.S.C. 2(b)(2); (2) furnishing of the information solicited is voluntary; and (3) the principal purpose lor which
1.
the course of settlement negotiations'.
552a(m).
(42 U.S.C. 218(c)).
agency's responsibiltty to recommend Improvements in records management practices and programs,
GSA regulations governing Inspection of records for this purpose, and any other relevant (i.e., GSA or
regulation.
PTO/AIN96 (08-12)
U.S. Patent and Tradema111: Office; U.S. DEPARTMENT OF COMMERCE
Under the P........rwork Reduction Act of 1995 no -rsons are renolred to r----nc1 to a collection of Information unless ii dis"'""" a valid OMB control number.

Filed'lssue Date: 12-09-2014
Titied: ENGINEERING OF SYSTEMS, METHODS AND OPTIMIZED GUIDE COMPOSITIONS FOR SEQUENCE MANIPULATION
-------------
_M_a_s_s_a_ch_u_s_e_tt_s_ln_s_ti_tu_te_of_T_e_c_h_n_o_lo.::g.:.y_ _ _, a University
(Name of Assignee)
states that, for the patent application/patent identified above, it is (choose 2!!! of options 1, 2, 3 or 4 below):
1.
2.
D
D

LJ The extent (by percentage) of Its ownership interest Is

There are unspecified percentages of ownership. The other parties, including Inventors, who 1ogether own the entire
right, tttle, and interest.
3.

4.
complete transfer of ownership interest was. made). The certified document() showing the transfer is attached.
The interest identified in option 1, 2 or 3 above (not option 4) is evidenced by either (choose.!!!!!! of options A or B below):
A.
B.
, Frame 0212
1. From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ To: __________________
Reel _ _ _ _ _ , Frame----~ or for which a copy thereof is attached.
[Page 1 of 2]
This collection ol information is required by 37 CFA 3.73(b). 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 1.11 and 1.14. This coltection is estimated to lake 12 minutes to complete, including
gathering, preparing, and submitting the completed appllcation form to the US PTO. Time wjl vary depending upon the individual case. Any comments on the amount
of time you require to complete this form and/or suggestions for reducing thls burden, shouk:I be sent to the Chief Information Officer, U.S. Patent and Trademark
Office, U.S. Department of Commerce, P.0. Box 1450, Alexandria, VA 22313 1450. DO NOT SEND FEES OR COMPLETED FOAMS TO THIS ADDRESS. SEND
TO: Commlsaloner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
If you need assistance in completing the form,
call I-800-PT0-9/99 and select option 2.
Under the Pa erwort!; Reduction Act of 1995 no
rsons are re ulred to re
PTOJAIN96 (08-12)
U.S. Patent and Trademart!; Office; U.S. DEPARTMENT OF COMMERCE
nd to a collection of lnfOfmation unless it di ~ s a valid OMB control number.

Reel----~
4.From: ----------------~To:-----------------The document was recorded In the United States Patent and Trademark Office at
Reel
, Frame
5.From: __________________ T o : - - - - - - - - - - - - - - - - - The document was recorded In the United States Patent and Trademark Office at
Reel----~ Frame----~
6.From: __________________ T o : - - - - - - - - - - - - - - - - - The document was recorded in the United States Patent and Trademark Office at
Reel _ _ _ _ _, Fram----~ or for which a copy thereof is attached.
0
0
As required by 37 CFR 3.73(c)(t)(i), the documentary evidence of the chain of title from the original owner to the
assignee was, or concurrently is being, submitted for recordation pursuant to 37 CFR 3. t 1.
Division in accordance with 37 CFR Part 3, to record the assignment in the records of the US PTO. See MPEP 302.06]
lied below) is authorized to act on behatt ot the assignee.

Date
[Page2 of 2]

requirements of the Act, please be advised that (1) the general authority for the collection of this Information is 35
U.S.C. 2(b)(2); (2) furnishing of lhe information solicited is voluntary; and (3) the principal purpose for which the
or abandonment of the application or expiration of tile patent.
1.
2.
3.
4.
5.
6.
7.
8.
9.
information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 552a). Records from this system of records
(42 U.S.C. 218(c)).
responsibility to recommend Improvements in records management practices and programs. under
publication at the application pursuant to 35 U.S.C. 122(b) or issuance of a patent pursuant to 35 U.S.C.
public if the record was filed 1nan application which became abandoned or in which the proceedings were
public inspection or an issued patent..
enforcement agency, If the USPTO becomes aware of a violation or potential violation of law or regulation.
HndrL
/
' ..
----
PTO/A.IA/81A (02 1SJ

Approved for utt through 01/31/2018, OMS 06SJ003-S
U.S. Patertt lll'ld Tnidem11rk Offlti:; U.S. DEPARTMENT Of COMMERCE
'--a"-._ av~11~
on101----bnr
,,.
- -
,.,

OR
AND
...,
-ft
'
Patent Number
8,906,616
lssire Date
1209-2014
Title
ENGINEERING OF SYSTEMS. METHODS

ANO OPTIMIZED GUIDE COMPOSITIONS
FOR SEQUENCE MANIPULATION
Attorney Oocket No.
55018-10069-616H
I bereby revoke au previous powers of attwney glven in the aboveldentlfied patent.
E74
OR I hereby appoint Practitloner(s) asSOciattd with the Customer Number Identified In the box at right as my/our
~ attorneV(sl or agent(s) with respect to the paten1 identified above, and to \ransact all business in the United
OR
I hereby appoint Praetitioner(s) named below as my/our attomey(.s) or agent(s) with respect to the patent identified above, and to transact
all business In the United States Patent and Trademark Offltl! connected therewith:
Re1istraUon Nutnbf!'r
Ptac:titioner(sl Name
Please recognl%e or change the correspondence address for the above-identified patent to:
{g] The address associated with the above-identified Customer Number.

OR
D The a<ldress associated with the Customer Number idenUf!~ in the~ t right;
_J
OR
Dflnnor
Individual Name
Address
Cit
CC!untrv
Telephone
I State
''"'*
lam the:
1 Zin I
0Applfcant.
OR
[2J
Patent OWt'ler.
Stotemmt under 37 CFR 3.73(c) (Fotm PTO/AIA/96) submitted herewith or filed on

SIG
-,
Tlm:E of Aopllccint or Pat-ent owner
Name
<?fg
Janet Maher
Assistant Director n . o t
Title and Compa.....
narvara un1veni:lty O
Slgnatur
I Date
I Telephone I
,,'Jf'I://///
'
eoe
NOTE: Signatures of all tne ...,.,., ...... teQn

fJMh\1~t or their repre$entat1ve{s) are required If more than one signature
ls required, submit multiple forms, check the box below, and identify the total number of forms submilted in the blank below.
0Atotalof 3
Thlt ,olle<tion of infon'llatm 1$ reQUired by 37 CFR 1.31, l.32, and t.:n. The lnformatum 1s ttqulred to obtam or retain a benefit by the swbllc, whkh Is to upd::itc
{and by the USPTO to proces5} the file of a patent 01 ren.mlnadon proceflflng. Confldellt~llty Is go'lerned by 3S U.S.C.122and17 CF l.14. This oollection i~
Htlmatfldto take 3 minutes to comple1e, lndudlngaatherlng, preparing, arid wbmitllng the eomptete:d applkatlon term to th! USPTO. Tfmewil! vaJYdepending
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the Chtcf Information Officer, U.S. Patent and Tradornark Office, U.S. Ofpar1mnt of ComtMree. P.O. Box l~SO. Aleir:andtia, VA 22113 145!1. DO NO'f SEND FEES OR
COMPUTfO FORMS TO THIS ADDRESS. $ENC> TO: ComminlMet for Patantt. P,O, Box 1450, Alicandtla, VA l231J..1450.
If yiw n~t oult1411fU In c.omplerftiQ ~form, CfJl11800P10.9199 omlJ~lect optlOn z.
PTO/AIAf96(0612)
Approved for use through 0113112013. OMB 06510031
U.S. Palenl and Trademark Ofllce: U.S. DEPARTMENT OF COMMERCE
Under lhe Pa....,rwork Reduction Act of 1995, no oersons are reoulred to resoond lo a collection of Information unless it disolavs a valid OMB control number,


Titled:
Filed/Issue Date: _1_2_-o_s_-_2_0_14_ _ _ _ _ _ _ __
ENGINEERING OF SYSTEMS, METHODS AND OPTIMIZED GUIDE COMPOSITIONS FOR SEQUENCE MANIPULATION

(Name or Assigiee)
(Type of Assignee, e.g., corporallon, partnership, university, government agercy, etc.)
states that, for the patent application/patent identified above, It Is (choose.!!!!!! of options 1, 2, 3 or 4 below):
1.
2.
0
0
LJ
The extent (by percentage) of its ownership Interest Is

o/o. Additional Statement(s) by the owners
3.
The assignee of an undivided interest In the entirety (a complete assignment from one of the joint Inventors was made).

4.
The interest identified in option 1, 2 or 3 above (not option 4) Is evidenced by either (choose .!!!!J! of options A or 8 below):
A.
the United States Patent and Trademark Office at Reel 033507 633 oa.1 1 2~ Frame 0755, 0649, 0526 , or for which a copy
8.
A chain of title from the lnventor(s), of the patent application/patent identified above, to the current assignee as follows:
Reel _ _ _ _ _, Frame _____J or for which a copy thereof is attached.
2.From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ T o : - - - - - - - - - - - - - - - - - The document was recorded In the United States Patent and Trademark Office at
Reel
, Frame
[Page 1 of 2]
This collection of information Is required by 37 CFR 3. 73(b). The lnformallon is required to obtain or retain a benem by the public which Is to me (and by the USPTO to
process) an appllcallon. Confldentlallty rs governed by 35 u.s.c. 122 and 37 CFR 1.11 and 1.14. This collectlon Is estimated to take 12 minutes to complete, lncludlng
gathering, preparing, and submitting the completed application form to !he USPTO. Tlme wm vary depending upon lhe individual case. Any comments on the amount
of time you require lo complete this form al\d/or suggestions lor reducing this burden, should be sent to the Chief Information Officer, U.S. Patent and Trademark
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If you need assistance ill completing the for111, call J-800-PT0-9/99 and select option 2.
PTOIAlA/96 {0812)
Approved for use through (}IJ51/2013. OMB 06510031

U.S. Patent and Trademark Olflce; U.S. OEPARl'MENT OF COMMERCE
Under the p ..nerwolk Fleduction .Ml ol l995, no ,...rsons ate ,...,.,~red to ,...._.nd to a eoHectlori ol tnfonnalion unless tt cffsolavs a valid OMS control number.
3.From: _________________ T o : - - - - - - - - - - - - - - - - The documenl was recorded in the United Slates Patent and Trademai1< Office al
Reel _ _ _ _ _, Frame _ _ _ _ _, or for which a copy thereof is atlached.
4. From: _________________ To:
-------------"~-~-----
The document was recorded In !he Uniled States Patent and Trademark Olllce al
Reel _ _ _ _ _, Frame----- or for which a copy !hereof is atlached.
5.Frorn: _________________ T o : - - - - - - - - - - - - - - - The document was recorded in !he United States Patent and Trademai1< Office at
Reel _ _ _ _ _, Frame-----, or for which a copy !hereof is atlached.
6.Frorn: _________________ T o : - - - - - - - - - - - - - - - - The document was recorded in the United States Patent and Trademai1< Office at
Reel _ _ _ _ _, Frame----- or !or which a copy thereof is atlached.
Additional documents In the chain of title are listed on a supplemental shcet(s).
As required by37 CFR 3.73(cX1)(1), the documentary evidence of the chain of ti!le from !he original owner lo !he
assignee was, or concurren!ly Is being, submitted for recorda!ion pursuant to 37 CFR 3.11.
[NOTE: A separate copy (i.e., a true copy of the original assignment document(s)) mus! be submilted to Assignment
Division in accordance with 37 CFR Part 3, to record !he assignment in the records of the USPTO. See MPEP 302.08]
Signature Asllistant Director of 1ntilectual Property

Harvard University Office or "TI!Chnology Development
presl<tent and FeHows of Harvard College
[Page 2 of 2)
/
Date
Title or Regislration Number
U.S. 8,932,814
F'fO/AIA/llA I021SJ
Appro'ltd far UH throush 01/ll/2018. OM8 0651.QOl!
U.S. Patent andTradml1rk Office; U.S. DEPARTMENT OF COMMERCE
..
...

OR
AND
Patent Number
8,932,814
Issue Dlte
01-13-2015
Le Cong, Cambridge, MA (USI
l"itle
CRISPR-cAS NICKAS& SYSTEMS,

EIJIWIYOTES
Attornev Docket No.
55018-10069-8148
OA Power of Attorney ls submlned herewith.
OR I hereby appoint Practit!oner(s) associated with the Customer Number identified In the box at rflht as my/our
18] attomey(sl or 11=nt{s) wtth respect to the petent Identified .tlove, ind to transact 111 bmlnas in the United
12574

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I hereby appoint Practtttoner(s) named below as my/our attomey(s) orapnt(s) with respect to the patent Identified above, and to transact
an business In the Unltedsmtes Patent and Trademark Office connected therlWilh:
st Name
Reistration Number
Please recognite or chance the correspcndence address for the abave.identifted patent to:
~The address. associated with the above-ldenttned Customer Number.
DThe address assodated with the Customer Number ldenUhed In the Im at riSht:
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oflrmor
Individual Name
Address
I State
CaunN
Te:le phone
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Patent ownltf'.
Slalm<nl Wldt:r 37 Cf'R 3.73(<1 (l'otm PTO/AtA/91!} si-d ,,._Ith ar filed an
si...ture
Name
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!iQll: Slgnatum of an the applbots or patent owners af th entirt lnte-rest Dr their representattve(s) are required If more than one sis nature
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fonns are submitted.
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U.S.
-and
PTO/AIMii (011-12)
"""''9d lot..,. lhoou;h 01131/2013. OMB 0651-0031

T-Offlce; U.S. 0PARTMENT OF COMMERCE
Reduction Ad of 1aru:., no - -.. are r-.iRtd to - - - - to ait:tion ol ~lion unless It .a...J- a valid OMa conttal runber.
Und9t1tie

Applicant/Patent Owner: The Broad lnslilute, Inc.
Filed/Issue Dale: _0_1._1_3-_2_0_1s_ _ _ _ _ __
Tilled: CRISPR.C:AS NICJ<ASE SYSTEMS, METHODS ANO COMPOSITIONS FOR SEQUENCE MANIPULATION IN EUKARYOTES
The Broad lnstltu1e, Inc.
a Not for profit lnsUtuUon.

---------------------~
(Type ol Aaslgnee, e.g., catpOtatlan, pannershlp. univ0111tv. govemment a;ency, etc.)
(Name of Assignee}
s1a1es that, for the patent appUcatlonlpatent identified above, h Is (choose

1.
2.
0
0
of options 1, 2, 3 or 4 below):
The assignee of the entJm right, tltfe, and Interest
An assignee of less than the entire right, titie, and Interest (check applicable box):
U The extent (by percentage) of i1s ownership Interest Is
holding the balance of !he Interest must be subm!Ued to account for 100o/o of the ownership Interest.
right, 11t1e and interest are:
Additional Statement() by the owner(s) holding lhe balance of the interest mu51 be submlll!d to account for the entire
right, tide, and interest.
3.
The assignee of an undivided Interest Jn the entirely (a complete assignment from one of the join! inventors was made).
The other parties, including inventors, who together own the entire right. title, and Interest are:

Additional Statement(s) by the owner(&) holding the balance of the interest must be submitted to a=unt for the entire
right, title, and lnteres1.
4.
The reclpienl, via a court proceeding or lhe Uke (e.g., bankruptcy, probate), of an undivided Interest In lhe endrely (a
complete transfer of ownership interest was made). The certified docattnent(s) showing the transfer Is attached.
The Interest identified In option 1, 2 or 3 above (not option 4) Is evidenced by either (chOOs&
'oJ Gptions A or B below):
A.
An assignment from the lnventor(s) ol tile patent applicatlontpa1ent id8ntlfied above. The assignment was recorded in
the United States Patent and Trademarl< Office at Reel o:IZ728
Frame .,,.
or for which a copy
B.
A chain of title from the lnventor(s), of the patent appllcationlpatent identified above, to the cunent assignee as follows:
1. From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ T o : - - - - - - - - - - - - - - The document was recorded in the United States Patent and Trademark Office at
Reel
Frame
2. From:
To:--------------The dOCtJment was recorded In the United States Patent and Trademark Otlice at
Reel
Frame
, or lor whlch a copy thereof Is attached.
(Page 1of2]
11lfs - o f lllfolmaliQn 11-by 'R CFR 3.n(b~ The lnlOmlBllon II IOqUbed lo-n .......... bonell1 by lho """'~whldl II ID !lit (Ind by11Mt USPTO IC
-anwlc:olllm. Conl-llylOgovomodby 3SUS.C. 122 and'RCFA 1.11and1.14. This - - 1 0 1 , . . 1 2 - locornplele, Inch.dog
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-"II
TO: COrnmllSl-lor Plltnl8, P.O. Box 1450, Alanndrla, YA 22313-1450.
/[you need assinance in completing the/01111, ca// J..SOOPT09199and sele4't option 2.
STATEMENT UNDER 37 CfR 3.73fc)

3.Frcm: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ To: _ _ _ _ _ _ _ _ _ _ _ _ _ __
Frame
Reel
or for which a copy thereol Is attached.
4. From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ T o : - - - - - - - - - - - - - - -
The document was recorded In the United States Patent and Tradematk Office at
Reel----~
s. From:
Frame----- or tor which a copy thereof is attached.
_______________ To:--------------The document was recorded 1n the united States Patent and Trademanc Office at
Reel
, Frame
or for which a copy thereol is attached.
6. From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ T o : - - - - - - - - - - - - - - -
Reel
Ftame
or tor which a copy thereof Is attached.
Addlllonal documents In the chain ol 1ltle are listed on a supplemental sheet(s).

As required by 37 CFR 3.73(c)(1 )(I), the documentary evidence of the chain of title from the original owner to the
ass9nee was, or concurrently Is being, submilted for recornation pursuant to 37 CFR 3.11.
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~whose title ls supplied below) ls authorized to act on behaN of the assignee.
ub "tw,7-rffe-Date
Printed or Typed NJill&ti
LaW
semor l'\uv1""''
"' ...~
TiUe or Registration Number
{Page2of2]

The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection wilh your
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tennine1ed and which application I& referenced by either a published application, an application open to
public Inspection or an Issued paten~
enforcement agency, if lhe USPTO becomes aware of a violation or potential violation of law or regulation.
"".
-~"""'no
tlnderthA

OR
AND
\.
PTO/AIA/BlA (0215)
Approved for use thrciugh 01/31/20l8. OMB 0651-0035
U.S. P'iltent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
1-"-- ...,_nu .
-...I '
Ii-'
Patent Number
8,932,814
Issue Date
01-13-2015
Title
CRISPR-CAS NICKASE SYSTEMS.

EUKARYOTES
Attorney Docket No.
55018-10069-814M
Ihereby revoke all previous powers of attorney given Jn the above-identified patent.
D A Power of Attorney is submitted herewith.
IEJ
12574
attorney(s) or agent(s) with respect to the patent identified above, and to transact all business ln the United
OR
DI hereby appoint Practitioner(s) named below as my/our attorney(s) or agent(s) with respect to the patent identified above, and to transact
Registration Number
Prattltloner(s) Name
18) The address assoclated with the above-identified Customer Number.

OR
D The address associated with the Customer Number identified In the box at right:
OR
Dfirmor
Individual Name
Address
City
I State I
Country
Telephone
I Email I
l Zin I
I am the:
0Applicant.
OR
18]
Patent owner.
Statement under 37 CFR 3.73(c} (Form PTO/AJAbD)jubmitted herewlrh or filed on
Signature
.n""
I ~r7T,,,,.
r
Name
Title and Company
.,,/
51
/u
_J
..
TURE
_,,Ap
nt or Patent Owner
r
MASSACHUSETIS INSTITUTE OF TECHNOLOGY
I
Date
I Telephone I
!'J/ ... .1/_,,_

/..117_
'-"Lf<-/_..-L/-
'
NOTE: Signatures IH, .... ~ .... "'t"plicltnts or patent owners of the entire Interest or their representatlve(s) are required. tf more than one signature
is required, submit
~~d identify the total number of forms submitted in the blank below.
llJ A total of 3
This collettlon of Information is required by 37 CFR 1.31, 1.32, and 1.33. The Information is required to obtain or retain ii benefit by the public, which Is to updaite
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If you need aulstoflCe In comp~t/flfJ tht/Orm, calf l-BOCJ.PT0-9199and sf!/l!l:t apt/on 2.
----------------- --

The Privacy Act of 1974 (P.L. 93579) requires that you be given certain information In connection with your
35 U.S.C. 2(b)(2); (2) furnishing of the information solicited Is voluntary; and (3) the principal purpose for which
1.
552a(m).
(42 U.S.C. 218(c)).
Services. or his/her designee, during an inspection of records conducted by GSA as part of that
agency's responsibility to recommend improvements In records management practices and programs,
u.s.c. 151. Further, a record may be disclosed, subject to the limitations of 37 CFR 1.14, as a routine
use, to the public if the record was filed In an application which became abandoned or in which the
regulation.
PTO/AIA/96 (08-12)
Under the p ....erwork Reduction Act of 1995 no nAJSOnS are re-ired to res""nd to a collection of Information unless it disclavs a valid OMB control number

Applicant/Patent Owner: Massachusetts Institute of Technology
Filed/Issue Date: _o...:1_-1_3_-z_o_1_s_ _ _ _ _ _ _ __
Titled: CRISPR-CAS NICKASE SYSTEMS, METHODS AND COMPOSITIONS FOR SEQUENCE MANIPULATION IN EUKARYOTES
a ..:U::n::.iv::.e::.rs::.i"'ty'------------------{Type of Assignee, e.g., corporation, partnership, university, government agency, etc.)
(Name of Assignee)
states that, for the patent application/patent Identified above, it is (choose !l.!!! of options 1, 2, 3 or 4 below):
1.
2.
D
0
The assignee of the entire righ~, title, and interest.

An assignee of less than the entire right, tme, and interest (check applicable box):

holding the balance of the interest must be submitted to account for 100'% of the ownership interest.
Additional Statement(s) by the owner(s) holding the balance of the interest must be submitted to accounl for the entire
3.
The assignee of an undivided interest in the entirety (a complete assignment from one of the joint inventors wes made).

4.
complete transfer of ownership interest was made). The certified document(s) showing lhe transfer is attached.
The interest identified in option 1, 2 or 3 above (not option 4) is evidenced by either (choose!!!!.! of options A or B below):
A.
B.
An assignment from the inventor(s) of the patent application/patent identified above. The assignment wes recorded in
, Frame 0395
or for which a copy
Reel _ _ _ _ _ ,
Frame----~
Reel
, Frame

[Page 1 of 2]
This collection of Information is required by 37 CFR 3.73(b). 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 1.11 ancl 1.14. This collection is estimated lo take 12 minutes to complete. including
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If you need assistance in completing the form, call 1-800-PT0-9199 and select oprion 2.
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Approved tor use through 01/3,/2013. OMS 0651-0031
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Under the P
3. From: - - - - - - - - - - - - - - - - T o : - - - - - - - - - - - - - - - - The document was recorded in the United States Patent and Trademark Office at
Reel----~ Fram----~ or for which a oopy thereof is attached.
Reel----~
Reel----~ Frame----~ or for which a copy thereof Is attached.
0
[I]
As required by 37 CFR 3.73(c)(1)(i), the documentary evidence of the chain of title from the original owner to the
Division In accordance wtth 37 CFR Part 3, to record the assignment In the records of the USPTO. See MPEP 302.08]

Date 7
SI
Printed or T

[Page 2 of 2]

The Privacy Act of 1974 {P.L. 93-579) requires that you be given certain information in connection with your
1.
2.
3.
4.
5.
6.
7.
8.
9.
records may be disclosed, as a routine use, to the international Bureau of the World Intellectual Property
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A record from this system of records may be disclosed, as a routine use, to the Administrator. General
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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
...
'-
...
. p
ns --
PTO/AIA/BlA (-021S)
Approved for use throughOl/31/2018. OMS.06510035
U.S. Patent and Trademark Office; U.S. OEPAATMNTOF COMMERCE
--'---1 ...

OR
AND
'-
"-,
'
Patent Number
8,932,814
Issue Date
01-13-2015
Tille
CRISPR-CAS NICKASE SYSTEMS,

EUKARYOTES
Attorney Docket No.
55018-10069-!114H
'
I hereby revoke all previous powers of attorney given in the aboveidentlfied patent.
DA Power of Attorney is submltte<I herewith.

OR I heTeby appoint Practitioner($) associated wtth the Customer Number Identified in the box at right as my/our
18') attorney(s) or agent(s) with respect to the patent identified abow, and to transact all business in the United
12574
Oft
D Ihereby appoint Practltioner{s) named below as my/our attorney(s) or agent{s) with respect to the patent identified above, and to transact
Practltione~s} Name
Registration Number
Please recognize or change the correspondence address for the above-ldentlfled patent to:
~The addreuassoclated with the abovelde.ntlfled customer Number.
D The address associated with the Customer Number identified In the box at right:
OR
OFirmor
Individual Name
Address
I Zip I
I State I
City
Counttv
Telephone
lam the:
0Appllcant.
I Email I
OR
18]
Patent owner.
==
Statement under 37 CFR 3, 73(c} (Form PTD/AIA/96) submitted herewith orfiled on
,/
$le.nature
Nome
Janet Maher
SIGNATURE or Anmtt'ant or Patent Owner
J.\SSISu:int UIY1:a.t.Of Or 1n
Ui!l
eu.v
I
I oate
I Telephone I
-_,/ L..A //L
t!PIM!I~~
Title and Company
NOTE: Signatures of alli:he appucantS'Of pali!fit'OW~rS-orth'i!:enMPl~est or thelt representative(s) are required. If more than one-signature
Is required, submit multiple forms, eheck the box below, and identify the total number of forms submitted In the blank below.
[l)Atotalof 3
u111Yeu111.v u111Ce 1111e
This collettkm of Information Is required-by 37CFR 1.31, 1.32, and 1.33. The Information Is mqulred to obtain or retain ;11 ben~t b'( the public, whkh is to update
lnd by the USPTO to process} the me of a patentorreexemlnatlon p~dlng. Confldtntiallty b BOYelTJffd by '35 u.s.c. 122 and 37 CFR 1.14. lhis Wle~tio11 i$
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the Ctllef lnfonnlltlon Offker, U.S. Patent and Ttaclem11k Offit, U.S. DepartmcrttofCOl'l'lrnerte, P,O. Bot 1450,Alexandria, VA 22!U3~14SO. DO NOT SEND FEES OR
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Ifyou need au/$1t1Me m completing the /t111t1, coll .1..SOO.PT09199 and select option 2.
PTO/AIN96 (08-12)
Under the Pa rwork Reduction Act of 1995, no arsons are r ulred to res ond to a collection of inlormatlon unless II dis la a valid OMB con1ro1 number.


Flied/Issue Date: _0_1_-1_3_-_20_1_5_ _ _ _ _ _ __
Titled: CRISPR-CAS NICKASE SYSTEMS, METHODS AND COMPOSITIONS FOR SEQUENCE MANIPULATION IN EUKARYOTES
--------------"-~
(Name of Assignee)
a university
(Type of Assignee, e.g., corporailon, partnership, university, government agency, etc.)
states that, for the patent application/patent identified above, it is (choose !!!l!! of options 1, 2, 3 or 4 below):
1.
2.
0
0

0
/o. Additional Statement{s) by the owners
3.

4.
The interest identified in option 1, 2 or 3 above (not option 4) Is evidenced by either (choose !!!l!! of options A or B below):
A.
B.
An assignment from the Jnventor(s) of the patent application/patent Identified above. The assignment was recorded in
the United States Patent and Trademark Office at Reel 033219, 03322a , Frame 0097, 0056
, or tor which a copy
Reel ______ , Frame _ _ _ _ _, or for which a copy thereof is attached.
2.From: ------------------To:-----------------~
Reel
, Frame

[Page 1 of 2)
This COiiection of Information is required by 37 CFR 3.73(b). The Information Is required to obtain or retain a benellt by the public which Is to file (and by the USPTO to
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STATEMENT UNDER 37 CFR 3.73<cl

Reel----~
Ftame _ _ _ _ _ ,or for which a copy thereof is attached.
4.From: - - - - - - - - - - - - - - - - - T o : - - - - - - - - - - - - - - - - The document was recorded In the United States Patent and Trademark Office at
Reel----- Frame _ _ _ _ _, or for which a ccpy thereof is attached.
5.Frorn: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ T o : - - - - - - - - - - - - - - - - The document was recorded in the United Slates Patent and Trademark Office at
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Reel _ _ _ _ _ , Frame _ _ _ _ _, or for which a copy thereof is allached.
Additional documents In the chain of title are listed on a supplemental sheet(s).
assignee was, or concurrently is being, submitted for recordalion pursuant to 37 CFR 3.11.
(NOTE: A separate copy (I.e., a true copy of the original assignment document(s)) must be submitted to Assignment
Division In accordance with 37 CFR Part 3, to record tile assignment in the records of the USPTO. See MPEP 302.08)
Janet Maher
Assistant Director of Intellectual Property
Printed or TypeJ'ff.WRH''t a11d ,eltows of 1ta1 va1d College
Signature
[Page 2 of 2)
Date
'
U.S. 8,945,839
."
...
F'fO/AtA/llA (02 lSI

Approved for ustthrou&h01/3U201B. OMB 06Sl..()Q35
u.s Paw.11nd Trademark Offlee; U.5, DEPAl\TMENf Of COMMRa
,_
,~
'~

OR
AND
'
Patent Number
8,945,839
Issue Date
02-03-2015
Feng Zhlllg , Cambridge, MA (US)

Title

Attorney Docket No,
550111-10069-8396
APower of Attorney Is submitted herewith.
OR I hereby appoint Prar;dtloner(s) associated with the Customer Number Identified In the bax at right u my/aur
IE]attorney(s) ar egent(s) with respect ta the patent Identified above, and ta transact all business In the Unit~
12574
OR
DI hereby appoint Prattltloner(sJ named below as my/our anomey(sJ or qent{s) with respect to the pawnt Identified aboYI, and to transact
all business In th& United sum Patent and Trademark Office connected therewith:
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Please recognize or change: the correspondence address rorthe above-identmed patent tel
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The address associated with the Customer Number Identified In the bmc at tight,
OR
DF"m'
ll'ldiVldual Name
Address
C""
I State I
Countiy
Telephone
I Emal I
'rm '
l,;i:mthe:
DAppDcant.
OR
(8) Patent owner.
,,., . ..
~
Stot.,,..ntundtr 31 CFR 3.13/c} (Form PTO/AIA/JJI'
s
Name
..
Title and,.._ _
SIGNA
'
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ltted herewith or fihld""

cantor Pa
10...
I Tel
INC
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...
V"--C'I ,,.
Mll(: S'8natutes of all the apptants or patent owners of the entlre Interest or their representative ls I~re required. rt more than one sltnature
15 required, submit mutuplt-fotms, che~ the bm: below, and Identify the tota! number of farms submitted in the blank below
IZJ A totll of 2
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upon the lndlvklu1I CHL Anv comments on ihe amount of tln\I' you require io cmnplet~ this form Hid/or 1UQt$Uol'IS for redw:fnf 1hls burden, should be st:nl 10
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Apploved far use through 01131'/2013. OMB 0651-<J031
U.S. Palent and T - Oftlco; U.& DEPARTMENT OF COMMERCE

nd to a colecUon of Information unless ll
valid OMB cantml number.
SJATEMENJ UNDER 37 CFR 3.73{c)

ApplicanVPatent Owner: The Broad Institute, Inc.
Application No./Patenl No.: 8,945,839
Flied/Issue Date: 02-03-2015
Totled: CRJSPRCAS SYSTEMS AND METHODS FOR ALTERING EXPRESSION OF GENE PRODUCTS
~~~~~~~~~~~-
~~~~~~~~~~~~~~--'
ITIPO ol Alllgnoe, o.g.. - " ' ~ unl"8Qi!y. g-dagency, etc.)
(Name D f - )
states that, for the patent application/patent ldentlfled above, tt is (choose 21!! of options 1, 2. 3 or 4 below):
1.
The assignee of the entire right. dtle, end Interest.
2.
An assignee of less than the entire rlgh~ title, and Interest (check applicable box):
LJ The extent (by percentage) ol tts ownership Interest Is
o/o. Addttlonal Statement(&) by the owners

hokllng the balance of the Interest must be S!Jbmttted to account for 100% of the ownership Interest.
There are unspecified percentages of ownership. The other parties, Including inventors, who together own the entire
Addttlonal Statement(&) by the owner(s) holding the balance of the Interest must be submitted to account for the entire
The assignee of an undivided Interest In the entirety (a complete assignment from one of the joint Inventors was made).
The other parties, Including inventors, who together own the entire right, titie, and interest are:
3.
Additional Statement(s) by the owner(s) holding the balance of the interest must b@ submlttad to account for the entire
right, Utie, end Interest.
4.
The recipient, via a court proceeding or the like (e.g., bankruptcy, probale), of an undivided interest in the entirety (a
complete trenster of ownership Interest was made). The certified document(s) showing the transfer is atteched .
The interest identified In option 1, 2 or 3 above (not option 4) Is evidenced by either (choose!!!!! of options A or B below):
A.
[!]
An assignment fJom the inventor(s) ol the patent application/patent identilied above. The assignment was recorded In
the United States Patent and Trademark Office at Reel "'3236
, Frame 001!
or for which a copy
therecf is attached.
B.
1.Frorn:
To:--------------The document was recorded in the Untted States Patent and Trademark Office at
Reel
2. From:
Frame
To:--------------The document was recorded In the United States Patent and Trademark Office at
Reel
, Frame
, or lor which a copy thereof is attached.
[Page 1 of 2]
This eollectlon of Information Is requirBd by 'J7 CFA 3.73(b). The lnlommtlon le l9qUlr9d IO obtain or ret1<n a bendt by the public which II to flt (and by the USPTO IO
p!OCOSI) on oppllcatlon. Conlldontiallly la governed by 35 U S.C. 122 ond 37 CFR 1.11 ond 1.14. This - Is ostlmalod ID loke 12 mlnut" to complele, meludlng
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""'""'
I/you need assistance in completing ths fonn, ca/11-800-PT0-9199 and select option 2,
Act of 1995 no
... .... .
S!ATEMENT UNDER 37 CFR 3.73(c)
3.From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ To: _ _ _ _ _ _ _ _ _ _ _ _ _ __
The document was recorded In the Unl1ed States Patent end Trademarl< Office at
Heel _ _ _ _~ Frame _ _ _ _~or for which a copy thereof is allached.
4. F r o m : - - - - - - - - - - - - - - - T o : - - - - - - - - - - - - - - The documenl was recorded in the Unlled States Patent and Trademark Office at
Reel _ _ _ _ Flll!l1e - - - - o r for which a copy thereof is attached.

5.From:
--------------To:-------------The document was recorded in the United Slates Patent and Trademark Office at
Reel ----~Flllll1e ----~or for which a copy thereof Is attached.
6.From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ To: _ _ _ _ _ _ _ _ _ _ _ _ _ __
Reel
Frame
or for which a copy lhereof Is attached.
Additional documents In the chain of !Itta are listed on a supplemental sheet(s).
As required by 37 CFR 3.73(c)(1 )(ij, the documentary evidence of the chain of !Ille from the original owner IO Iha
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'
{NOTE: A separate copy Q.e., a true copy ol lhe original assignment document(s)) must be submitted 10 Assignment
DMslon In aocordance with 37 CFR Part 3, lo record lhe assignm8'11 In the records of lhe USPTO. See MPEP 302.08]
':~u~nde:';""ll~~IJ,ll'"""'e title Is supplied below) is authorized to act on behalf of the assignee.
r.,J,y
The1
'Z Lt /
'
Zolt,,
Tdle or Registration Number
[Page 2 of 2)

The Privacy Act of 1974 (P.L 93-579) requires that you be given certain Information In connection whh your
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9, A record from this system of records may be disclosed, as a routine use, to a Federal, Stele, or focal law
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unru.r ..._ p-----r" ....a ~t-- ...... nf 1aac:. no -rc"'n
PTO/AIA/BlA (0215)
Approved for use throu1h 01/31/2018. OMS 0651-0035
U.S. Patent and Trademark OffK:e: U.S. OEPARTMENT OF COMMERCE
"' I
I number
d tn a --n--lon Df
Patent Number
8,945,839
..
d -

OR
AND
'-
..,
Issue Date
02-03-2015
Title

Attornev Docket No.
55018-10069-839M
,,
I herebv revoke all previous powers of attorney given ln the above-Identified patent.
A Power of Attomev is submitted herewith.
OR I herebv appoint Practitloner(s} associated with the Customer Number Identified In the box at right as my/our
(81attorney(s) or agent(s) with respect to the patent identified above, and to transact all business In the United
12574
OR
DI hereby appoint Practltioner(sJ named below as my/our attorney(s) or agent(s) with respect to the patent identified above, and to transact
all business in the United States Patent and Trademark Office connected therewitk:
Practitloner(s) Name
Registration Number
Please recognize or change tile correspondence address for the above-identified patent to:
~The address associated with the above-identlfled Customer Number.
D The address associated with the Customer Number Identified In tile box at right:
OR
OFirmor
Individual Name
Address
City
l State
Country
Telephone
Email
I Zip I
I am the:
OApplicant.
OR
(8)Patentowner,
,,,.,.,.
Statement under 37 CFR 3]J(c) (Form PTO/AIA/jllfsYil!"ftted herewith or filed on

<
Signature
Name
Title and Company
TT
,,,,
II,_
vr .--
.r
,., ,, SIG~Rt.otA
/ U _..J'F
,,,
leant or Patent Owner
MASSACHUSETTS INSTITUTE Of TECHOOLOGY
I Date
I
[ Telephone f
Jl../~/..fJ~
,II'~~-?~
::;-Lt;,//
'
NQ]I: Signatures of all the a~1an1.s or .11atent owners of the entire interest or their representatlve{s) are required. If mare than one signature
is required, submit multiple fa
,
Q l b e total number of forms submitted in the blank below,
[Z)Atatalof 2
This collection of Information Is required by 37 CFR 1.31, 1.32, and t.33. The infDrmation Is required to obtaln or retain a benefit by the p1.1bllc, which Is to update
(and by the OS PTO to proceul the file of a ~enter reexamination proceedlna:. Confidentiality is governed by 3S U.S.C. 122 and 37 CfR 1.14. This collecticin is
estimated to take 3 minutes to complete, lnclUdins satherins, preparins, and 5Ubmittina: the completed applicatkm form to the USPTO. Time wlll vary depending
upon the indlvldual case. Any comments Dn the a1T1Dunt of time you require to c<>mplete this form and/or sugestlons for reducing this burden, should be sent to
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COMPLETED FORMS TO THIS ADDRESS. stND TO: CommlSlioner for Patents, P.O. Box 1450, Aleqndrl-. VA 22.113-1450.
If you need a.sslstance In completing the form, coH l-BOCJ.PT0-9J99 ond select opt/on 2.

submission of the attached form related io a patent application or patent. Accordingly, pursuant to the
1.
The information on this form will be treated confidentiaily to the extent allowed under the Freedom of
records is required by Iha Freedom of Information Act.
submitting a request Involving an individual, to whom the record pertains, when the Individual has
4. A record in this sys1em of records may be disclosed, as a routine use, to a contractor of the Agency
552a(m).
5. A record related to an International Application flied under the Patent Cooperation Treaty in this
6. A record in this sys1em of records may be disclosed, as a routine use, to another federal agency for
(42 U.S.C. 21 B(c)).
7. A record from this system of records may be disclosed, as a routine use. to the Administrator, General
B. A record from this system of records may be disclosed, as a routine use, to the public after either
use, to the public ~ the record was filed in an application which became abandoned or in which the

law enforcement agency, ii the USPTO becomes aware of a violation or potential violation of law or
regulation.
PTO/AIA/96 (OB-12)
Under the p ..~rwork Reduction Act of 1995, no """'tsons are ......,,Ired to res...,..nd to a collection of information unless it dMlalN'I. a valid OMB control number.

Flied/Issue Date: _0_2_-0_3-_2_0_1_5_ _ _ _ _ _ _ __
Titled: CRISPR-CAS SYSTEMS AND METHODS FOR ALTERING EXPRESSION OF GENE PRODUCTS
Massachusetts Institute ofTechnology
(Name of Assignee)
states that, for the patent application/patent identified above, it is (choose!!!!!! of options 1, 2, 3 or 4 below):
1.
2.
D
D

LJ The extent (by percentage) of Its ownership interest ls

3.

Additional Statement(s) by the owner(s) holding the balance of the interest mu! be submitted to account for the entire
4.
The interest identified in option 1, 2 or 3 above (not option 4) is evidenced by either (choose one of options A or 8 below):
A.
, Frame 001s
or for which a copy
B.
A chain of tltle from the inventor(s), of the patent application/patent identified above, to the current assignee as follows:
Reel _ _ _ _ _, Frame----~ or for which a copy thereof is attached.
2.From: ----------------~To:-----------------The documem was recorded in the United States Patem and Trademark Office at
Reel _ _ _ _ _ , Frame _ _ _ _ _, or for which a copy thereof is attached.
[Page 1 of 2]
This colleclion of Information is reqoired by 37 CFR 3. 73(b). The information is required to obtain or retain a benefit by !tie public which is to file (and by the USPTO to
process) an application. Confk:tentlallty Is governed by 35 U.S.C. 122 and 37 CFR 1.11 and 1.14. This coHec1ion is estimated to take 12 minutes to complete, including
gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the Individual case. Any comments on !he amount
of time you require lo complete this form and'or suggestions for reducing this burden, should be senl to the Chief Information Officer, U.S. Patent and Trademark
Office, U.S. Departmenl of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND
lfyo11 need assiSlance in compleiing 1heform, call J-800-PT0-9/99 and selecl op1ion 2.
PTO/AIA.196 (08-12)
nd to a collection of information unless it d'
s a valid OMB control number.

3.From: ----------------~To:----------------~
4.From: ----------------~To:-----------------The document was recorded In the United States Patem and Trademark Office at
Reel-----, Frame _ _ _ _~ or for which a copy thereof is attached.
5.From: ----------------~To:-----------------The document was recorded In the United States Patem and Trademark Office at
Reel _ _ _ _ _, Frame _ _ _ _ _ , or for which a copy thereof is attached.
6.From: -----------~----~To:-----------------The document was recorded in the United States Patent and Trademark Office at
0
[7J
Addltional documents in the chain of title are listed on a supplemental sheet(s).
assignee was1 or concurrently is being, submitted for recordation pursuant to 37 CFR 3.11.
Division in accordance with 37 CFR Part 3, to record the assignment in the records of the USPTO. See MPEP 302.08)
,,. . "',..d below) is authorized to act on behalf of the assignee .
..rd.r
Dat9/

[Page 2 of 2)

(42 U.S.C. 218(c)).
Commerce} directive. Such disclosure shall not be used to make determinations about individuals.
public If the record was filed in an application which became abandoned or in which the proceedings were
terminated and which application Is referenced by either a published application, an application open to
U.S. 8,993,233
PTO/NA/811' (ONSI
Approved roruH ~ 01/Jl/2011- OMB065l<003S
U.S. htellt 1nd l1Mem1tk Office, U 5. DEPARTMENT Of COMMiRct
Patent Number

OR

ANO
ISStle Date
8,993,233
03-31-2016
Feng Zhang, Csmbridgo, MA (US)
Tlrle
ENGINEERING Al4:> OPTIMOV.TION OF

SYSTEMS. METHODS >HC-COMPOSITIONS
FOR SEQUENCE MANIPULATION WITH
FUNCTIONAi. OOMAlNS
Anornev Docket No.
55018-100692338
APower of Attorney is submitted herewith.
OR I hmby appoint Practltloner(s) a5sodaled with Ille cu.tomer Number Identified In lhe box at riaht as my/our
IE] anomevts) or asent{s) with respect to \he patent identlfled above, and to transact aH business in the United
States Patent and Tnidemark Offa Cl:lmected therewilh;
12574
OR
0 I hereby 1PPQlnt Practitlonef(5) named below as my/our 11ttomev(i) or aaent4s) wttb respect to me patent Identified above, ;nd to uansaa
all business in 1he United States Patent 1md Tndemartc Offlct connected therewith:
Pflt'lklonerlsl Name
ration Number
PleaJO recognfte or chance the correJpondence: ddress for the above-Jdentified patent to:
~The address auociated with the above-kMntlfied Cuitomer Number.
Orhe address associated wilh the Customer Number identtfled In the box at right:
OR
oFlrmor
Individual Name
IT- I
I Slate I
eou-
Tele-
EmaH
11rntht:
o-t
OR
18)
Patent owner.
Statemenrundtr 37 CIR 3.73{cJ (Form PTO/AfA/9~J~~tttd hfmvllh orfilJ on

or Patent
I Date
I Tel
Slnature
Nome
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or their representat1vt(s) are required. If more than one $.iinature

51cnatures of all the appllcants or patent OWrHn
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Applicant/Patent OWner: The Broad Institute, Inc.
Appllcauon No.IPatent No.: 8,993.233
TIUed:
Filed/Issue Date: ..;0_3-_3_1-_2_01_s_ _ _ _ _ __
ENGINEERING ANO OPTIMIZATION OF SYSTEMS, MeTH0DS AND COMPOStTIONS FOR SEaU!NCe MANIPULATION WITH FUNCTIONAL DOMAINS
---------------------~
IN11'1'18 OI AUignte)
states that, lor the paient applicaUcn/patent identified above, It Is (choose l!ll! of options 1, 2, 3 or 4 below):
0
2. 0
1.
The assignee of lhe entire right, litle, and Interest.
An assignee of less than the entire right title, and Interest (check applicable box):
LJ The extent (by percentage) or its ownership Interest IS
o/o. Addhlonal Statemenl(s) by the owners

helding the balance of the interest must be submitted to account tor 10Qo/o of the ownership lntenist
Thete are unspecified percentages of owne!Ship. The other parties, including inventors, who together own the entire
righl, title and interest are:
Addhlonal Statement(s) by the owner(s) holding the balance of the interest must ba submitted to account lor the entire
right tille' and interest
3.
The assignee of an undivided Interest in lhe entirely (a complete assignment from one of Iha joint Inventors was made).
The other parties, including inventors, who together own the entire right, litle, and interest are:

Additional SUllement(s) by the owner(s) holding the balance of the interest must be submitted lo account for the entire
4.
The recipient, via a court proceeding or the like (e.g., bankruptcy, probate), ol an undivided interest In the entirety (a
complete transfer of ownership interest was made). The certified document(s) Showing the transfer is .attachad.
The interest Identified In option 1, 2 or 3 above (not option 4) is evidenced by either(choose.!!!11 of aplii>ns Aor B below):
A.
An assignment from !he inventor(s) of the palent applieatlon/patent identified above. The assignment was recorded in
the Unhed States Patent and Trademark Office at Reel 0~1111
, Frame 052&
B.
A chain of tiUe from tha lnventor(s), of the patent application/patent Identified above, to the et11TI1nt assignee as follows:
1. From:
To;--------------The document was recorded in Iha United States Patent and Trademark Office at
Reel
2.From:
or for which a copy thereof Is attachad.
Frame
To:--------------The document was recorded In the United Slates Patent and Trademark Office at
Reel
or for which a copy thereol is attached.
, Frame
[Page 1of21
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Ale-.
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P-1 andT.-..ot< ~;U.S. DEPARTMENT OF COMMERCE
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1 vaJ
II
STATEMENT YNDER 37 CFR 3.73(cl

3.Fmm: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
To: _ _ _ _ _ _ _ _ _ _ _ _ _ __
The document was recorded In 1he United States Patent and Trademark Office at
Reel
, Frame
4. F r o m : - - - - - - - - - - - - - - - T o : - - - - - - - - - - - - - - The document was recorded In the United States Patent and Trademark Office al
Reel
Frame
5.From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
To: _ _ _ _ _ _ _ _ _ _ _ _ _ __
The document was recorded in the United Stales Patent and Trademark Office at
Reel
, Frame
or for Which a oopy thereof is attached.
6.Fmm: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ To: - - - - - - - - - - - - - - - The document was recorded in the United States Patent and Trademark Office al
Reel _ _ _ _, Frame---- or for which aeopy thereof Is attached
0
0
.Additional documents In the chain ol lltle are !Isled on a supptemenlal sheal(s).
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Division in accordance with 37 CFR Part 3, to record the assignment In the records ot the USPTO. see MPEP 302.08]
LThe~~unde~(rsign~!ll.bNhosetille is supplied below) is authorized to act on behalf ol lhe assignee.
d::"eb
Tome
Printed
euen Law
'Zic ( zclft
Tiiie or Registration Number
or
[Page 2 of 2)

requirements of lhe Ac~ please be advised lhat: (1) the general aulhority for the collection ol this information is 35
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PTO/AIA/81A (0215)
Approved for use th.rough 01/31/2018. OMB 0651-0035
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Utl ..... q rnntriil number
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Patent Number
8,993,233
'
PATENT - POWER OF AlTORNEY

OR
REVOCATION OF POWER OF AlTORNEY
WITH A NEW POWER OF AlTORNEY
AND
"
Issue Date
03-31-2015
Feng Zhang, Cambndge, MA (US)
Tltle

SYSTEMS, METHODS AND COMPOSITIONS
FUNCTIONAL DOMAINS
Attorney Dock.et No.
55018-10069-233M
DA
Power of Attorney is submitted herewith.
OR I hereby appoint Practitloner(sJ associated with the Customer Number identified in the box at right as my/our
l8'J attomey(s) or agent(s) with respect to the patent identified above, and to transact all business in the United
12574
states Patent and Trademark Office connected therewith:
OR
DI hereby appoint Practitioner(s) named below as my/our attorney(s) or agent{s) with respect to the patent Identified above, and to transact
Registration Number
Practitloner(s) Name
Please recognize or change the correspondence address for the above~identlfied patent to:
~The address associated with the above-identffled Customer Number.
The address assoclated with the Customer Number Identified Jn the box at right:
OR
Ofirmor
Individual Name
Address
1 State
""
Country
Telephone
I Zip I
I Email I
I am the:
0Appllcant.
OR
(81
Patent owner.
Staremenr under 37 CFR 3.73/f) (Form
Sill.nature
Name
Title and ComDany
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PTO/AfA/9~ ltted herewith or flied on

Bcant or Patent owner
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Date
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MASSACHUSETTS l~TITUTE OF TECHNOLOGY
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NOTE: Signatures of all the app

,
nt owners of the entire Interest or their representatlve{s) are required. If more than one signature
Is required, submit multiple forflJ
.Liltalill~etl total number of forms submitted in tile blank below.
[llAtotalof 3
This colle1on of mformat1on Is required by 37 CFR 1.31, 1.32, and 1.33. The Information IS required to obtain or retain a beriefit by the public, which IS to update
(and by the USPTO to process) the file of a patent or reexamination proceed Ins. Confidentiality Is govitrned by 35 U.S.C. 122 and 37 CFR 1.14. This collection Is
estimated to take 3 minutes to complete, includlnf gathering, prepiirlns, and submltti11g the completed iipplication form to the USPTO. Time will Vilry depending
upon the individual case. Arry commellts on the amount of time you require to complete this form and/or suggestions for reducing this burden, should be $ent to
the Chief Information Officer, U.S. Patent and Trademark Office, U.S. Department of Commen;e, P.O. Box 1450, Alexandria, VA 223131450. DO NOT SEND FEES OR
COMPLETED FORMS TO THIS ADDRESS. 5END TO: Cornmluionerfor Patentt, P.O. 80JI 1450, Almndriri, VA 22313-1450.
tf you need assistance in completing the form, coll 1-800-PT0-9l99 and select option 2.

requirements of the Act, please be advised that; (1) the general authority for the collection of this information is
35 U.S.C. 2(b)(2); (2) furnishing of the Information solicited is voluntary; and (3) the principal purpose for which
552a(m).
(42 U.S.C. 218(c)).
Services, or his/her designee, during an Inspection of records conducted by GSA as part of that
U.S.C. 151. Further. a record may be disclosed, subject to the limitations of 37 CFR 1.14, as a routine
regulation.
1.
- - - - - - - - - --------
Under the P eiwork Reduction Act of 1995 no
rsons are re ulred to re
PTO/AIN96 (08-12)
Approved tor use through 01/3112013. OMB 0651-0031
ond to a collection o1 lntormation unless it di la s a valid OMS control number.

Filed/Issue Date: _0_3_-3_1_-2_D_1_5_ _ _ _ _ _ _ __
Titled: ENGlNEERING AND OPTIMIZATION OF SYSTEMS, METHODS ANO COMPOSITIONS FOR SEQUENCE MANIPULATION WITH FUNCTIONAL DOMAINS
(Name of Assignee)
, a _u_n_iv_e_rs_i._:ty_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __
(Type of Assignee, e.g., corporation, partnership, university, government agency,
etc.)
1.
2.
D
D

LJ The extent (by percentage) of Its ownership interest Is
o/o. Additional Statement() by the owners

right, tiUe, and interest.
3.

The recipient, via a court proceeding or 1he like (e.g., bankruptcy, probate), of an undivided interest in the entirety (a
complete transfer of ownership interest was made). The certttled document() showing the transfer is attached.
4.
The Interest identified in option 1, 2 or 3 above (not option 4) is evidenced by either (choose one of options A or B below):
A.
B.
An assignment from 1he inventor(s) of the patent application/patent identified above. The assignment was recorded in
the United States Patent and Trademark Office at Reel o31111. 031111.o,7H1 , Frame 0425, 0526, 0060 , or for which a copy
A chain of tiUe from the inventor(s), of the patent application/patent identified above, to the current assignee as follows:
Reel _ _ _ _ _ , Frame----~ or for which a copy 1hereof is attached.
2. From:
---------------~~ To: -------~------~--~

Reel------ Frame-----~ or for which a copy thereof is attached.
[Page 1 of 2)
This collection of information Is required by 37 CFA 3.73{b). The informa!ion Is required to obtain or retain a benefit by the Public which is to file {and by the USPTO to
process) an app~catlon. Confdentiality is governed by 35 U,S.C. 122 and 37 CFR 1.11 and 1.14. This collection is estimated to take 12 miootes to complete, including
gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any comments on the amount
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TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313--1450.
If you need assistance in completing the form, call 1-800-PT0-9199 and select option 2.
PTO/AIA/96 (08-12)
nd to a collection of information unless itd"
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Under the P

3. F r o m : - - - - - - - - - - - - - - - T o : - - - - - - - - - - - - - - The document was recorded in the United States Patent and Trademark Office at
Reel----~
Reel _ _ _ _ _ , Frame----- or for which a copy thereof is attached.
0
0
Additional documents in the chain of tltle are listed on a supplemental sheet(s).
As required by 37 CFR 3.73(c)(1 )(i), the documentary evidence of the chain of tltle from the original owner to the
Division in accordance with 37 CFR Part 3, to record the assignment in the records of the USPTO. See MPEP 302.DB]
~s0'gpJled below)
is authorized to act on behalf of the assignee.
J4~),;,
Si
Date'
Printed or T
'

[Page 2 of 2]
-----------------------Privacy Act Statement

requirements of the Act, please be advised that: (1) the general authortty for the collection of this information is 35
U.S.C. 2(b)(2); (2) furnishing of the Information solictted is voluntary; and (3) the principal purpose tor which the
(42 U.S.C. 21 B(c)).
9. A record from this system of records may be disclosed, as a. routine use, to a Federal, State, or local law
.. .. ... /
..
''"

OR
AND
PTO/AJA/81A f02"1.SJ
Approved for use through Ol/Jl/20-18. OMB 05510035
U.S. Patent and Tr~ematk Offiet; lJ..S. DEPAR1MNT Of COMMfRCE
con-11onnf iflfnrm1tl..... "nf..n ....'sn1
Patent Number
8,993,233
lssueOate
03-312015
,,,.~,.
n11ru-
"'"
'
First Named lnventOf
Title

SYSTEMS. METHODS ANO COMPOSITIONS
FUNC'fJONAL DOMAINS
Attorney Docket No.
55018-10069-233H
' I hereby revoke all previous poWel'$ of attorney given In the above-identified patent.
II ,_,,..,
'
A Power of Attorney is submitted herewith,
~I hereby appoint Praciitioner(s) as50Cla.ted with the Customer Number Identified Jn the box at right as my/our
attorney(s) or agent(s) with respect to the patent Identified above, and to transact. all business in the United
States Patent and Trademark Offk:e connected therewith:
:14
OR
I hereby appoint Praclitionerfs) named below as my/our attorney(s} or agent(s) with respe<:t to the patent ldentlfied above, and to transact
all business in the Unlted States Patent and Tr~emark Office connected therewith:
Re1lstration Number
Practitionerfsl Name
I
Ph~ase
recogni2e or change the correspondence addtess for the? aboveidentifled patent to:
~The address assoelated with the above-Identified Customer Number.
The address as.~clated with the Customer Number identified In the box at right:
OR
DFinnar
1ndi\lidua1 Name
Address
Citv
I Slate
I Zk> I
country
Telephone
Email
lam the:
DAppllcant.
OR
[8]
Patent own err.
Statement under 37 CFR 3.73(c} (Form PTO/AlA/96} submitted herewith or filed on
S111:nature
Nome
Title and Company
SIG
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.
J
TUf:l:Eo,
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cant or Pattnt owner
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L~OF HAAYARO COLLEGE
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HQ]I: Signatures of all t~8'a~fi'elf~~or tne1r 1epresentati\le{sl are required. If more than one signature
is required, .submit multiple forms, check the box below, and ~ntify the t 1number or forms submitted In the blank below
[l]Atotalof 3
forms are s.ubmltted.
Thi' collecllon of Information is requited by 37 CFR l.31, l.ll, al'ld l.33. TM inlotm11tion i$ fHjlllN!d to obta1n 01 rttiin a benefit by thll! public. wh!th I~ to update
land by tht USPTO 10 proctSsl tht flle of a: patent or 1eexamlnatlon proceedine. Conlldenttalityb gowtned by 35 U.S.C.122 a11d 37 .C:FR 1.14. This .collecllon Is
ttStimated to take 3 minulH to complete, l11cl11d!ng gathering, preparing, :and $\lbmitting the con'!pleted applkatton lorm to the USPTO. Tlmt! Will vary depending
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1rui Chief lnfonMlion Officer, U.S. Patent and Tradell'llfl Offke, 0.S. Oepatlment of Commerce, P.O. &ox 1450, Aleltandrla, VA 22311-l4SO. DO NOT SEND SEES~
COMPlfTED FORMS TO THIS ADDRESS, SEND TO: Commissioner for Patents, P.O. Bolt 14$0, Aleitandrla, VA 22313-1450.
IJYotl ~1:donlsl1Mr it1compktlng ~form, coll J-800-PT0-9199ond si:led oplitm 1.
PTO/AIA/96 (08-12)
Approved for use through 01/3112013. OMS 0651-0031
U.S. Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE
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Application No/Patent No.: 8,993,233

Titled: ENGINEERING ANO OPTIMIZATION OF SYSTEMS, METHODS AND COMPOSITIONS FOR SEQUENCE MANIPULATION WITH FUNCTIONAL DOMAINS
~~~~~~--~~~~~

(Name of Assignee)
, a university
~~~~~~~~~~~~~~~~~~~~~~
(Type of Assignee, e.g., corporation, partnership, university, governrnent agency, etc.)
slates that, for the patent application/patent identified above, It is (choose !!!l!! of options 1, 2, 3 or 4 below):
1.
2.
D
D


holding the balance of the interest must be submitted to account for 1OOo/o of the ownership interest.
Additional Statement(s) by the owner(s) holding the balance of !he interest must be submitted to account for !he entire
3.
The assignee of an undivided Interest in the entirety (a complete assignment from one of the joint Inventors was made).
The other parties, including Inventors, who together own the entire right, title, and interest are:

4.
The interest identified in option 1, 2 or 3 above (not option 4) is evidenced by either (choose !!!l!! of options A or B below):
A.
the United States Patent and Trademark Office at Reel 1133219 03 l2 26 03412~ , Frame 0097, 0056, 0526 , or for which a copy
thereof ls attached.
8.
Reel _ _ _ _ _ , Frame----- or for which a copy thereof is attached.
2.From: -~~----~---~~~-~~--To:-~-----~~~-~-~-~~~
Reel _ _ _ _ _, Frame----~ or for which
a copy thereof Is attached.
[Page 1 of 2]
This collection ol lnfonnalion is required by 37 CFA 3.73(b). The lnformalion Is required to obtain or retain a benefit by the public which Is to tile (and by the USPTO 10
process) an appltcaUon. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.11 and 1.14. This collection IS estimated to take 12 minutes to complete. including
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If you need assistance in co111pleting the forrn, call I -800-PT0-9199 and select option 2.
PTO/AIAJ96 {0&-12)
Approved for use lhraugh 01131/2013. OMB 0651-0031
U.S. Patent and Trademark Olf1ee; U.S. DEPARTMENT OF COMMERCE
Under the Parn;rwofk Reduction Act ol 1995, no~ .. are JQnlllred to re"-nl'IM to a colleciion of lnfofmatloo unless ii diW'lhlv<> a varld OMS con1rot numbet.

4. F r o m : - - - - - - - - - - - - - - - - - T o : - - - - - - - - - - - - - - - The document was recorded in Iha United States Patent and Trademark Office at
Reel _ _ _ _ _, Frame _ _ _ _ _, or for which a copy thereo1 is attached.
5. From: _________________ T o : - - - - - - - - - - - - - - - - The document was recorded In tha United States Patent and Trademark Office at
Reel ----~Frame----~ or for which a copy thereof is attached.
6.Frorn: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ T o : - - - - - - - - - - - - - - - - The document was recorded in the United States Patent and Trademark Office at
Reel _ _ _ _ _
Frame----~
or for which a copy thereol ls attached.
As required by 37 CFR 3.73(c)(1)(f), the documentary evidence of the chain of title from the original owner to the
assignee was, or concurrently is being, submitted for recordaUon pursuant to 37 CFR 3.11.
[NOTE: A separate copy {i.e., a true copy of the orlginal assignment document{s)) must be submttted to Assignment
Division in accordance with 37 CFR Part 3, 1o record Iha assignment in the records of the USPTO. See MPEP 302.08]
The undersigned {whose title is supplied below) Is authorized to act on behalf of the assignee.
-~~
Printed'~lii!iifi
Date
ows Of Aarvaid COiiege
[Page 2 of 2]
U.S. 8,999,641
PlO/AIA/llA Col15)
Appnwed for 11$C! Uitot.ish Ol/ll/2011. OMI 0651.00H
tJ-S. Patent Ind ttlOcfMrt Offlal; U.S. DEPARTMENT Of C0MMtRa
..

OR
AND
i8J
Patent Number
tss:ue Dal
8,999,841
04-072015
'
Fang Zhang.
1111<

SYSTEMS, METHOOS ANO COMPOSlllONS
FOR SEQUENCE MANIPIJl.ATION WITH
FUNCTIONAL DOMAINS
Aaomey Dode.et No.
55018-100611-6418
ca~. MA
(US)
A Power of Attorney ts submkted herewith.
I heteb'f appoint Pnctitloner(s) auod1ted with the Customer Number Identified In the box at rl&ht as my/OtJr
attorney(s) or apntfs) with rflPed: to th patent ldtntifted above, ind to ttansact all business in the United
StaW Patent and Tndemark Office conRKltd therewith:
12574
OR
0 I heAby ilpf)Ofnt Pr'ilctitioner(s) named below as my/our attameyfs) or aaentls) with re:spe to the petent ldtntifted above, and to nf1$Kt
all business In the United Stites. Patent and Trademark Offtet connected therewith:
Practlttoneni.1 Name
Reirm:ration Number
Please recognize or dlqe the correspondence address for the above-ldentifled patent to:
~The address associated with the above-Identified Cunomer Number.
D The ~dress associated with the CUstomerNumber la.nttfied In the box at rlshl:
OR
OFlnnor
lndlvld1.&1I Name
CJN
I State
I Zlp I
eounov
Telephone
I amlhe;
EmaU
DAppllca
OR
JEI
Patent owner.
Stattment undtr 37 CFR 3.73/q (FDrm P10/A1A/96JS1llimltr<d h<mrilh orfll<tl an
...-nature
Nam
Tnle and Com
.//
-- . .
I~
tor Patent
r
I Date
IHITIMl. INC.
IF
-.
I'
.. """'t"_f .,..-_, r
ITel-1
or their representatlve(s) are required If mare than oneslrinature

is required, submit multiple forms.check ttte bO below, af'Mf idlfltify thv total numbtro' forms submitted In Lhe blank below.
!Qllc Slpturt$olalthea;i',lt
llJA-of3
forms are submittld.
lhls e1tctiot\ of lnfotmaclon ls-r~ by l7 cm 1.a1, Lll, IM 1.Jl tht Worm.tt:lon b ~!red to obtain 01 retain J bmdit by the publle. wtrch Is to update
Cflld by the \JSFlO to procoss)
of-1 PMtmor ree-amlnadorl procaedi Ccirtfidtntallt.yiS perned by 35 u.s.c Ul Incl 37 ~ 1 14. Thia: coltKtlon is
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upon tht il'ldlllidullc.se Any<ommtfltS on t'-1MOUntoftlml:younqulne ta complete dlb form lindfotSIJIPStlons IOI' nduclnc tbls tNJr'dt!n, "'kt be Rnt ta
d'Ms ChleJ lnfONNitlonOffiw', U.S. Paltm and TRdemarkOfflto. U.S Dtplnment CJfCommera. P.O. Bolt 14SD,A!Hlndril, V,_ 22J1314SO. 00 NOTSUID FW OA
COMPllTfO fOltMS TO THIS ADDRtS&. StNDTO: Commb$toMt for httms, P.0. lol 1450. Altaattdrla, VA ll!ll-1450.
If )'OU netd osiisrcm in ~q rht Jotm, coll .1400-PfO.tln and~ opdon 2.
the:,..

The Privacy Act of 1974 (P.L 93-579) requires that you be given certain lnfonnatton In connection wilh your
requlremenll! of the Act, ptease be advised that: (1) the general authority for the collecllon of this informa~on is
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The lnlormatton provided by you In !his form wl!I be subject to the follDw!ng routine uses:
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STATEMENT UNDER 37 CFR 3.73fcl

Applicant/Patent Owner: The Broad lnstilule, lne.
T dIed:
FllecUlssue Date: 04-07-2015
~----------ENGtNEERINGANO OPTIMIZATtoN OF SYSTEMS. METHOOS AND COMPOSITIONS FOR SEQUENCE

MANIPULATION Wint FUNCtlOf'lAL POMMNS
, 8 _N_o_11_or...p_ro11_t_1ns11_1u_u_on_._ _ _ _ _ _ _ _ _ _ _ __
(Namo al Assignee)
states that, for the patent appllcaUon/patent ldentltled allove, tt Is (choose.!!.!!!! of optlora 1, 2, 3 or 4 below):
1.
2.
An assignee of Jess than the entire rlgh~ title, and interest {check applicable box):
LJ The - (by percentage} of itS owneishlp interest Is

%. Additlonal Statement<} by the owners
holdlng the balance of the interest must be subm!Ued to account for 100% of the ownenihlp Interest.
0 There ere unspecified percentages of ownership. The other parties, including inventors, who together own the entim
right titie and Interest ere:
Addttlonal Statement(s) by the owner(s) holding the balance ol lhe interest must be submitted to account for the entire
3.
The assignee of an undivided interest in the entirety (a oo"1llete assignment from one ol the joint Inventors was made).
The other parties, including inventors, who together own the entire right, title, and interest ere:

Additional Statemenl{s) by the owner{s) holdlng the balance of the Interest myst b@ submitled to account for the entire
righl, title, and Interest.
4.
The recipient, via a court proceeding or the Ike {e.g., bankruptcy, probate), of en undMded Interest In the entirety (a
oomptete transfer of ownership interest was mede). The cettlffed doeumenl{s) showing the transfer Is attached.
.
The interest Identified In oplion l, 2 or 3 above (not option 4) Is evidenced by either (choose l!!JI of options A or B below):
A.
the Untted Stetes Patent and Trademark Office at Reel 033240
Frame 012<0
or for which a copy
B.
A chain of tiUe from the lnventor(s), ol lhe patent applica"on/petent Identified above, to the cunent assignee as follows:
The document was recorded In the United Stales Patent and Trademark Office at
Reel
2.From:
To:--------------The document was recorded In the United States Patent and Trademark Office al
Reel
_lion.
Frame
,Frame
or for whieh a copy lhereol ls attached.
(Page 1of2)
This - o f ltlfolmlllion ls _ b y 37 CFR 3.73(b). lht k>lormalion Is to Dblaln "'-a bontfit by lhepubllc- IJ IO lilo (and by !he USPTOIO
-)an
~ality IJ--'by$ U.$.C. 122 ...037CFR 1.11and1.14. Tiiis COlloctfonls ..,.,,_ .. _
12 ml"""" t o - . Jnc:Wng
gathering. preparing. and submitting the compfllt(l 8Alficalt0n tonn 10 tht USPTO. llme wtn vary d8penc:5ng upon the indMdual case. Atrf eormilnls on the amount
al limo jOU rtQUlre I0-11hls form 6fld/Ot
lor nlducing thll bu-. should bo Hnt IO !he Chief l n l - Olfictt, U.S. and Tnidlmllll<
-lo<IS
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Jfyo11 need assistance in completing the form, call J.8()().P'f0-9199alld select op1lon 2.
... _ _
PTOIAIMl6 (Ol-12)
01~1!,I013.0MB0661-0031
U.S. l'alenl and TradomalO Olllel; U.S. CEPARTM!NT OF CCllJMEJlCE

of In
I.Ion
ii
a val kt OMS conhd number.
IO a
ID
SIATEMENT UNDEB 37 CFR 3.73(cl

3. F r o m : - - - - - - - - - - - - - - - T o : - - - - - - - - - - - - - - The document was rl!<lOfded in the Unlled States Patent and Trademark Office at
Reel
, Frame
or for whicll a copy thereof is attached.
4.From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ To: _ _ _ _ _ _ _ _ _ _ _ _ _ __
The document was recotcled in the United States Patent and Trademark Oftice at
Reel----~
Frame---- or for which a copy thereof ls attached.
5. From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ T o : - - - - - - - - - - - - - - -
Reel
Frame
6. From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ T o : - - - - - - - - - - - - - - The document was recorded in the United States Patent and Trademark Office at
Reel _ _ _~, Fram----~ or for which a copy thereof Is attached.
Additional documents ln the chain of title ara Rsted on a supplemental sheet(s).
As required by 37 CFR 3.73(c)(1 )(Q, the documentary evidence of the chain of HUe from the original owner to the
assignee was, or concurrently Is being, submlUed for rec:ordatlon pursuant to 37 CFR 3.11.
[NOTE: A separate copy Q.e., a INe copy of the original assignment documenl(s)) must be submitted to Assignment
Division In acc:ordance with 37 CFR Part 3, to record the assignment in Iha records ol the USPTO. See MPEP 302.08]
The Uf1dersigned (whose HUe is supplied below) Is authorized 10 act on behalf of Iha assignee.
/A6
Dale
itr 1 "2t>llc.
[Page 2 of 2J

The Privacy Act of 1974 (P.L 93-579) requires that you be given certain information In connection with your
submission of lhe attached form related to a patent application or palent. Accordingly, pursuant to the
requiremenlS of lhe Act, please be advised that: (1) Iha general authority for the collection of lhls Information is 35
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may be disclosed to the Departmenl of Justlce to determine whether di$closure of these records is
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6. A record In this system of records may be disclosed, as a routine use, to another feclerel agency for
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publication of the application pursuant to 35 U.S.C. 122(b) or Issuance of a patent pursuant to 35 u.s.c.
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enforcement agency, If the USPTO becomes aware of a violation or potential violation ol law or regulation.
"
PTO/AIA/81A (02-15)
Approved for use through 01/31/2018. OMS 0651-0035
n" .,. - -- 11
J infor- "-nun-.. it"''-'-!----\'-' nun ~-n..-1-.. -ber
Patent Number
B,999,641
--1--
--
. c

OR
AND
'
Issue Date
04-07-2015
Feng Zhang, Cambrtdge, MA (US)
Title

SYSTEMS. METHODS AND COMPOSITIONS
FOR SEQUENCE MANIPULATION VVITH
FUNCTIONAL DOMAINS
Attorney Docket No.
5501 B 10069-641 M
I hereby revoke all previous powers of attorney &lven in the above-identified patent.
OR I hereby appoint Practitioner(s) associated with the Customer Number Identified In the box at right as my/our
18] attorney(s) or agent(s) with respect to the patent Identified above, and to transact all business In the United
12574
DR
DI
hereby appoint Practitloner(s) named below as my/our attorney(s) or agent(s) with respect to the patent identified above, and to transact
all business In the United States Patent and Trademark. Office connected therewith:
Relllstration Number
Please recognize or change the correspondence address for the atJove..identified patent to:
(8]The address associated with the above-identified Customer Number.

OR
The address associated with the Customer Number Identified In the box at risht:
DR
Dfirmor
lndMdual Name
Address
I State
Cltv
Country
Telephone
I Zip I
I Email I
I am the:
0Appllcant.
DR
18)Patentowner.
Statement under 37 CFR 3. 73(c} (Form PTO/AIA/96.

Signature
.
~
Name
Title and Company
~:
Slsnatures of all the
Is required, submit multiple

[l]Atotalof 3
.1;
mltted herewith or filed on
N
/ 1J/ - ..,.
~,
,-
RE - .,,. ,,.
leant or Patent owner
MASSACHUSETTS INSTITUTE OF TECHNOLOGY
I
I Date
I Telephone I
,~F.,/.,//,
F~'7-,2"i''7'.,..,.,,,,.
r.rr
'
patent owners of the entire interest or their representative(s) are required. If more than one signature
Jailll 1 ~the total number of forms submitted In the blank below.
This collection of lnformatlo11 Is required by 37 CFR 1.31, 1.32, a11d 1.33. The u1format1011 1s required to obtam or reta111 a benefit by the pubbc, which 15 to update
(a11d by the U5PTO to processJ the file of a patentor ree11amlnation proceedin,. Confidentiality 15 governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is
estimated to take 3 minutes to complete, including satherin&, preparing, and submitting the completed application form to the US PTO. Time will vary depending
upon the Individual case. Arrv comments on the amount of time you require to complete this form and/or sugestions for reducing this burden, should be sent to
the Chief lnfomutlon Officer, U.S. Patent and Trademilrlc Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR
COMPLETED FORMS TO THIS ADDRESS. 5ENDTO: Commlssionr lot Ptents, P.O. Box 1450, A111X11ndrl1, VA 221ll1450.
If you need ossfstal!Ce In completing the form, coll l..SOO-PTQ.9l!19 and St!lect option 2.

The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain inlormation in connection with your
submission of the attached form related tc:i a patent application or patent. Accordingly, pursuant to the
related to a patent application or patent. If you do not furnish the requested Information, the U.S. Patent and
1.
required to comply wtth the requirements of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C.
552a(m).
purposes of National Security review (35 U.S.C. 181) and tor review pursuant to the Atomic Energy Act
(42 U.S.C. 21B(c)).
a. A record from this system of records may be disclosed, as a routine use, to the public after either
use, to the public it the record was filed in an application which became .abandoned or in which the
regulation.
PTO/AIA/96 (08-12)
Under the Paoerwork Reduction Act of 1995 no oaraons are '''""ulred to re........i to a collection of information unless it disc lavs a valid OMB control number.

Titled: ENGINEERING ANO OPTIMIZATION OF SYSTEMS, METHODS AND COMPOSITIONS FOR SEQUENCE MANIPULATION WITH FUNCTIONAL DOMAINS
~~~~~~--~~~~~~-
M_a_s_s_ac_h_u_s_etts
__
ln_s_tit_ut_e_o_f_T_e_ch_no_lo-=.gy,___ _,' a ~~~~~~~~~~~~~~~~~~~~~~~~~University
(Name of Assignee)
states that, for the patent application/patent identified above, it is (choose!!.!!! of options t, 2, 3 or 4 below):
t.
The assignee of the entire rtght, title, and Interest.
2.
An assignee of less than the entire rtght, title, and interest (check applicable box):

There are unspElcified percentages cf ownership. The other parties, including inventors, who together own the entire
3. 0 The assignee of an undivided interest in the entirety (a complete assignment from one of the joint inventors was made).

4. 0 The recipient, via a court proceeding or the like (e.g., bankruptcy, probate), of an undivided interest in the entirety (a
The interest identified In option 1, 2 or 3 above (not option 4) is evidenced by either (choose!!!!! of options A or B below):
A.
the United States Patent and Trademark Office at Reel o3324a.onn7.w3333 , Frame 0124, oa21, 0438 , or for which a copy
B.
A chain of title from the inventor(s), of the patent application/patent identified above, to Iha current assignee as follows:
Reel _ _ _ _ _, Frame----~ or for which a copy thereof is attached.
2.From: ~~~~~~~~~~~~~~~~~~-To:~~~~~~~~-~~~~~~~~~~
Reel _ _ _ _ _, Frame

[Page 1 of 2)
This collection of informalion Is required by 37 CFR 3.73(b). The information Is rel'.Jjired to obtain or retain a benefit by the public which is to flle (and by the USPTO to
process) an application. Confidemiality is governed by 35 U.S.C. 122 and 37 CFA 1.11and1.14. This collection is estimated to take 12 minutes to complete, including
gathering, preparirig, and $Ubmitting the completed appllc:atlon form to the USPTO. Time wlll vary depending upon the Individual case. Any commenls on the amount
of time you require 10 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.
If you need assistance in completing the form, call 1-800-PT0-9 / 99 and select option 2.
PTO/AIN96 (06-12)
end lo a collection of information LJnless it d' a s a valid OMS control number.

Reel
Frame
4.From: ----------------~To:-----------------The document was recorded in the Untted States Patent and Trademark Office at
5.From: ----------------~To:-----------------~
The document was recorded in the Unijed States Patent and Trademark Office at
Reel
Frame
6. From: ----------------~ To: - - - - - - - - - - - - - - - - - The document was recorded in the United States Patent and Trademark Office at
Addttional documents in the chain of title are listed on a supplemental sheet(s).
As required by 37 CFR 3. 73(c)(1)(1), the documentary evidence of the chain of title from the original owner to the
assignee was, or concurrently is b~ng, submitted forrecordation pursuant to 37 CFR 3.11.
[NOTE: A separate copy (i.e., a true copy of the original assignment document()) must be submitted to Assignment
Division In accordance wtth 37 CFR Pan 3, to record the assignment in the records of the US PTO. See MPEP 302.08]
uppiied below) is authorized to act on behalf of the assignee.

Date ~I
[Page 2 of 2)

U.S.C. 2(b)(2); (2) furnishing of the Information solicited is voluntary; and (3) the principal purpose for which the
information is used by the U.S. Patent and Trademark OHice is to process and/or examine your submission related
1.
2. A record from this sys1em of records may be disclosed, as a routine use, in the course of presenting
submitting a request involving an individual, 10 whom the record pertains, when the individual has
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'
PTO/AIA/81A IQ21S)
Apptoved for use t111ouiti 01/ll/2018. OMB 06SlOOJS
u.~ Patent and Tnntem;uk Offlte; U.S. DEPARTMENT or COMMERCE
'"'101
I '"""''
...
..
Patent Number

OR
AND
8,999,641
...'
issue Date
04-07-2015
Feng Zhang, CambrlC19e, MA (US)
Tltle

SYSTEMS, METHODS AND COMPOSITIONS
FOR SEQUENCE MANIP\JlATlON WITH
FUNCTIONAL DOMAINS
Attorney Docket No.
55016-10069-641H
"Ihereby revoke all previous powen of attorney given In the above-identified patent.
DA Power
,,,
of Attorney is submitted herewith.
~I hereby appoint Practltioner(s) .associated with the customer Number Identified in the box ;rt rlght as my/our
74
attomey(s) or agent{s) with respect to the patent identifitd above, and to transact all business in the United
OR
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Plr.u;;e recogni:e or change the correspondence address for the aboVeldentilled pat-ent to:
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Orhe adcfrHS assoc lated with the- CU$te>mer Number identified In the box at right:
OR
oflrmor
Individual Name
Address
I State I
Citv
Country
Telephone
I Z!o I
J Email J
famthe:
OAppllcant.
OR
[8.J
Patent owner.
Slotement under 37 CFR 3.'J3(c) (Form PTO/AfA/96) submitted herewith or filed on
Shi.nature
Name
Tltle and Companv
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SIGNATURE~ cant ot Plltent Owner

_,.,,,.,
narvaro _
l Date
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2--
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U1Gi
!iQli: Signatures of all tne appucan'tSOi-""pitent'OWn~;s "oft e entir'iTntfr'eSt or their representative~) ;;-;equlred. If ;~r;"?~-~ on;slgn~~u~~
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Under the Pa erwork Reduction Act of 1995, no
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Approved for use through 0113112013. OMS 0651 0031
rsons are re ulred to res ond to a collection of Information unless It dis la s a valid OMS control number.


Filed/Issue Date: _0_4_-0_7_-2_0_1_5_ _ _ _ _ _ __
Tltled: ENGINEERING ANO OPTIMIZATION OF SYSTEMS, METHODS ANO COMPOSITTONS FOR SEQUENCE MANIPULATION WITH FUNCTIONAL DOMAINS
, a university
~--~------------
(Name of Assignee)
states that, for the patent application/patent identified above, it is (choose .Q!!2 of options 1, 2, 3 or 4 below):
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2.
0
0

%. Additional Statcment(s) by the owners

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The other parties, including inventors, who together own the entire right, title, and Interest are:

Additional Statement() by the owner(s) holding the balance of the interest must be submitted to account for the entire
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Reel ______ , Frame _ _ _ _ _, or for which a copy thereof is attached.
2.From: -----------------~To:-----------------The document was recorded In the United States Patent and Trademark Office at
Reel
, Frame
, or for which a copy thereof ls attached.

[Page 1 of 2]
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STATEMENT UNDER 37 CFR 3.73fcl

3.From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ T o : - - - - - - - - - - - - - - - - The documenl was recorded in the United States Patent and Trademark Office at
Reel _ _ _ _ _ , Frame _ _ _ _ _, or for which a copy thereof is attached.
4. From: - - - - - - - - - - - - - - - - - To: - - - - - - - - - - - - -----------
Reel _ _ _ _ _, Frame _ _ _ _ _, or f-or which a copy thereof is attached.
Reel _ _ _ _ _ Frame _ _ _ _ _, or for which a copy thereof is attached.
6.From: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ T o : - - - - - - - - - - - - - - - - -
Reel ______, Frame----- or for which a copy !hereof Is attached.
Additional documents in lhe chain of title are listed on a supplemental sheet(s).
As required by 37 CFR 3.73(c)(1)(i}, the documentary evidence of the chain of title from the original owner lo the
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[NOTE: A separate copy (I.e., a lrue copy of the original assignment document(s)) must be submitted lo Assignment
Division In accordance with 37 CFR Part 3, to record the asslgnmenl in the records of lhe USPTO. See MPEP 302.08)
The undersigned (whose tille Is supplied below} is authorized to act on behalf of the assignee.
~lstant
c.J,"'$L.
~ftrUellectual
Signat~t Maner
'/.'
Dlrectdf'
Property
Harvard University Offlce of Technology DevelOP!llent
Date
[Page 2 of 2]

Broad Change of Counsel

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Broad Change of Counsel

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Filed on behalf of: Junior Party, Broad

UNITED STATES PATENT AND TRADEMARK OFFICE

BEFORE THE PA TENT TRIAL AND APPEAL BOARD

THE BROAD INSTITUTE, INC., MASSACHUSETTS INSTITUTE OF

Patent Interference No. 106,048 (DK)

BROAD MISCELLANEOUS MOTION 1

BROAD MISCELLANEOUS MOTION I

interference the following practioners:

Registration No. 32,760

Jenner & Block LLP

353 North Clark Street

Chicago, Illinois 60654-3456

Registration No. 22,444

Jenner & Block LLP

353 North Clark Street

Chicago, Illinois 60654-3456

motion will not be opposed.

College in addition to the other two assignees.

a change in lead and back-up counsel are respectfully requested.

Dated: March 2, 2016

Filed on behalf of: Junior Party, Broad

UNITED STATES PATENT AND TRADEMARK OFFICE

BEFORE THE PATENT TRIAL AND APPEAL BOARD

THE BROAD INSTITUTE, INC., MASSACHUSETTS INSTITUTE OF

Patent Interference No. I 06,048 (DK)

BROAD NOTICE OF SUBSTITUTE LEAD AND BACK-UP COUNSEL

BROAD NOTICE OF SUBSTITUTE LEAD AND BACK-UP COUNSEL

Registration No. 32,760

Jenner & Block LLP

353 North Clark Street

Chicago, Illinois 60654-3456

Registration No. 22,444

Jenner & Block LLP

353 North Clark Street

Chicago, Illinois 60654-3456

pursuant to Bd.R. I 08.

Dated: March 2, 2016

DA Powtrof AUomey b .-ltted herewith.

First Named Inventor

Feng Zhang, Cambridll'J, MA (US)

CRISPRCAS SYSTEMS AND

Attorney Docket No.

the Customer Number Identified In the box at right as mv/OU#

18.l .-nov<sJ "'ogent(s)- respect to tha-nt ldenlified

~ Theaddreu assod.ated with tht above-Identified Customer Number.

or their repre:stntatiVe(s) are required If more than one slpture

forms are submitted.

(ft bv the USPTO to process) tM file of a

Privacy Act Statement

Approved fol' UH through 01131/2013. 0t.e 06510031

STATEMENT UNDER 37 CFR 3.73(cl

Ried/Issue Date: _04_-_1_s-_2_01_4_ _ _ _ _ __

The Broad Institute, Inc.

Not for profit Institution.

The assignee of the entlre right, tiUe, and inlefesl

LJ The extenl (by percentage) of ils ownership inlefest is

Massachusetts Institute of Technology

or for which a copy lhereol is attached.

or lor which a copy thereol is anached.

10: commissioner,... Plllnts, P.O. Bos 1450, -drla, VA 223lll-1450.

ll.S.-andT-Ollic:o; U.S. DEPARTMSHT OF COMMERCE

STATEMENT UNDER 37 CFR 3.73fc:)

3.Fram: _______________ To: _ _ _ _ _ _ _ _ _ _ _ _ _ __

or tor which a copy thereof ls attached.