Technology Transfer FY2012Office annual report

UC SAN DIEGO | TECHNOLOGY TRANSFER OFFICEPage 2

patents(domestic)

173 Initial patents filed74 Secondary U.S. applications filed

678 U.S. applications pending

832 active U.S. patentslicenses

60 total commercial

licenses

94 U.S. patents

issued

*data in graphics are specific to FY2012

Technology Transferat UC San Diego

inventions433

reported by UCSD Inventors

copyrights48

reported

patents(international)

75 First foreign (PCT) applications filed

968 foreign applications pending

801 active foreign patents

70foreign

patents issued

FY2012 ANNUAL REPORT Page 3

A Message from the Assistant Vice Chancellor

I am pleased to report another productive year for the technology transfer program at UC San Diego

for the fiscal period from July 1, 2011 to June 30, 2012. For the fourth consecutive year, more than

400 innovations were reported, reaching an all-time high of 481 innovations (433 inventions and 48

copyrights), compared to 416 in FY2011.

The university’s strong research reputation continues to be bolstered by the increased number of

innovations that originate from UCSD faculty and researchers. These innovations are central to the

more than 700 agreements that were negotiated and executed by the Technology Transfer Office

(TTO) in FY2012. The agreements comprise administrative, letter, option, license, inter-institutional,

inter-office, confidentiality, and outgoing material transfer agreements (MTA). Outgoing MTAs com-

prise the majority with 357 agreements, a slight increase compared to 333 MTAs in FY2011.

TTO entered into 60 licensing agreements (44 inventions and 16 copyrights/trademarks) in FY2012.

Of these licenses, twelve were with newly formed companies adding to the more than 170 start-up

companies founded with university technology. In addition, this year’s report highlights a select

group of repeat inventors who have participated in the technology transfer program. The overall

increased activity is also reflected in an all-time high in the number of issued U.S. Patents of 94,

compared to 87 issued in FY2011. The total income received in FY2012 was $19.6 million, an

increase of nearly $840,000 when compared to FY2011.

In response to comments and suggestions from our academic and industry partners, the TTO is

introducing enhancements to better manage the university’s technology transfer program. To promote

new business development and to increase the speed of licensing technology to start-up companies,

the TTO met with internal university and external industry committees to lay the groundwork for a

streamlined licensing process. Their feedback resulted in the unveiling of the UCSD Express License

for therapeutics at the beginning of FY2013, followed by an express license for physical sciences/

engineering. The express license provides a quick 30-day application review process that can shorten

the time to execution; more information is available on our website. The TTO is also reviewing inter-

nal business processes to increase our efficiencies, provide wider access to tech transfer information

online and electronically, and better accommodate university faculty and researchers as well as our

corporate partners.

We welcome your feedback and continued support of the technology transfer program.

Jane C. Moores, PhD

UC SAN DIEGO | TECHNOLOGY TRANSFER OFFICEPage 4

Dr. Catriona Jamieson, named a “Rock Star of Science” by GQ Magazine for her exuberant approach to medical research, is an outstanding member of a prolific group of university inventors. She continues to push the envelope in stem cell research with new discoveries that can potentially help many people. Her research focuses on myeloproliferative disorders (MPDs) and leukemia–studying mutant stem cells and progenitor cells in myeloprolifera-tive neoplasms that can give rise to cancer stem cells.

As the director for stem cell research at the Moores UCSD Cancer Center, Jamieson has developed several stem cell-related technologies with funding support from the California Institute for Regenerative Medicine (CIRM). Her recent innovations include Biomarkers and Methods to Treat Leukemia (T-ALL) Stem Cells (Tech ID: 22552), Whole Transcriptome Leukemia Stem Cell Signature (Tech ID: 22592), and Therapeutic Approach Targeting Malignant Reprogramming in CML Stem Cells (Tech ID: 22540).

Jamieson received her BS and PhD in microbiology, and MD from the University of British Columbia. Prior to joining the university, she was a research fellow at the Stanford University School of Medicine.

Todd Coleman is associate professor in the department of bioengineering. His research is multi-disciplinary at its core, using tools from information theory, neuroscience, machine learning and bioelectronics to understand – and control – interacting systems with biological and computer parts. His research in developing multi-functional, flexible bio-electronics is enabling wireless health applications that are minimally observable to the user.

Joining the university in 2011, Coleman has hit the ground running with several new inventions reported and licensed at the university. His recent innovations in the fields of brain-computer interaction and neurosciences have garnered media attention, as well as interest from potential commercial partners.

Coleman holds BS degrees in electrical engineering and computer engineering from the University of Michigan and MS and PhD degrees in electrical engineering from the Massachusetts Institute of Technology.

15

inventions reported

since 2007

5

inventions reported

since 2011

TODD P. COLEMAN, PHDAssociate Professor, BioengineeringDirector, Neural Interaction Laboratory

CATRIONA JAMIESON, PHD, MDAssistant Professor, MedicineDirector, Stem Cell ResearchMoores UCSD Cancer Center

In FY2012 more than 400 new inventions and tangible materials were reported to the TTO. We highlight a select group of faculty researchers who reported multiple innovations to our office in FY2012. Their extensive activities fuel the university’s culture of innovation and allow the eventual commercialization of new products and treatments.

Repeat InnovatorsPropel Our Business

FY2012 ANNUAL REPORT Page 5

MICHAEL KARIN, PHDProfessor, Pharmacology

Sungho Jin, professor of mechanical and aerospace engineering, is a world-renowned researcher in the field of functional materials used in applications ranging from magnetic devices and electronic devices to optical telecommunications networks. Jin is involved in R&D of micro-electro-mechanical-system (MEMS) devices and materials; exploratory bio-materials and devices; carbon nanotube materials on which future nano-scale devices can be based; and sensor/actuator devices and technologies.

The inventor of magnet sensor materials widely used in anti-theft security tags in retail stores, Jin’s recent innovations in the field of functional materials include: Spectrally Selective Coatings for Concentrated Solar Power Systems (Tech ID: 22392), Nanostructured High-Strength Permanent Magnets (Tech ID: 22391), and Inorganically Surface Modified Polymers for Orthopaedic and Spinal Implants (Tech ID: 21954).

Jin received his PhD in materials science and engineering at UC Berkeley in 1974. He joined the UC San Diego faculty in 2002 after a successful career at Bell Laboratories/Lucent Technologies.

Michael Karin, professor of pharmacology, is an acclaimed expert in signaling pathways that enable cells to respond to external influences. As an inspired innovator, Karin uses a wide variety of biochemical and whole animal approaches to examine how growth factors, cytokines, tumor promotors, microbial products, UV radiation and other environmental triggers regulate gene expression by elucidating the precise pathways, checkpoints and molecules involved. One of his latest inventions reported to the university is a New Target to Inhibit Metastasis of Colon Cancer (Tech ID: 22865).

Karin was a cofounder of Signal Pharmaceutical (currently Celgene) and served as a member of its Scientific Advisory Board. He also served as a member of the National Advisory Council for Environmental Health Sciences and has been an American Can-cer Society Research Professor since 1999. In addition to numerous honors, Dr. Karin was recently awarded the Charles Rodolphe Brupbacher Prize for Cancer Research in recognition of his studies on the role of chronic inflammation in the development of tumors and is a member of the National Academy of Sciences and the Institute of Medicine. He received his BSc in biology from Tel Aviv University and his PhD in molecular biology from the University of California, Los Angeles.

82

inventions reported

since 2003

39*

inventions reported

since 1990

SUNGHO JIN, PHDProfessor, Mechanical & Aerospace Engineering and Nanoengineering

731 innovators

participated in the technology transfer disclosure process

* does not include 47 tangible research materials

UC SAN DIEGO | TECHNOLOGY TRANSFER OFFICEPage 6

Surgical oncologist, Dr. Jason Sicklick, stands out among clinical researchers with expertise in treating benign and malignant diseases of the liver, bile ducts, gallbladder, and pancreas, as well as other gastrointestinal cancers and sar-comas. In addition to his clinical practice at the Moores Cancer Center, he and his colleagues are studying the role of developmental signaling pathways such as Hedgehog in cirrhosis and liver cancer development and the role of novel al-losteric kinase inhibitors in the targeting of drug-resistant gastrointestinal stromal tumors and melanoma.

Contributing to the progress of trans-lational medicine, Sicklick is working towards identifying novel therapeutic targets for these conditions and initiating clinical trials to investigate them.

His anticancer research has led to new inventions that involve targets for KIT-driven malignancies. KIT is a gene that encodes for stem cell growth factor receptor.

Sicklick received his MD from Uni-versity of California, Los Angeles, and completed his internship and residency at Johns Hopkins University School of Medicine. He completed a surgical oncology fellowship at Memorial Sloan-Kettering Cancer Center.

J. ANDREW MCCAMMON, PHDDistinguished Professor, Chemistry & Biochemistry and Pharmacology

J. Andrew McCammon is a distinguished professor of chemistry/biochemistry and pharmacology and an investigator with the Howard Hughes Medical Institute. His research is focused on theoretical and computational methods for studying the function of biological molecules. By modeling the structure and dynamics of assemblies of these molecules, McCam-mon’s group develops insights that help in the discovery of new pharmaceuticals.

A consummate inventor, McCammon used advanced computational techniques to help discover protease and integrase inhibitors to fight Human Immunodefi-ciency Virus (HIV). A San Diego company

commercialized these inventions into new drugs that help countless HIV patients. His recent focus has been on neglected diseases resulting in potential new treat-ments for diseases that are more prevalent in other parts of the world, two of which are: Novel Inhibitors of the Trypanosoma cruzi Cysteine Protease Cruzain (Tech ID: 22546) and Potential African Sleeping Sickness Drugs (Tech ID: 22770).

McCammon received his AB in chemistry, mathematics, and physics from Pomona College, AM in physics from Harvard University, and PhD in chemical physics from Harvard University.

JASON SICKLICK, MDAssistant Professor, Surgery

18

inventions reported

since 2002

4

inventions reported

since 2012

95 postdocs

participated in the technology transfer disclosure process

FY2012 ANNUAL REPORT Page 7

Liangfang Zhang, professor of nanoengi-neering, embodies the varied breadth of many university researchers. His research covers a broad scope of multidisciplinary areas including chemical & molecular engineering, materials science, chemis-try, nanotechnology, biotechnology, and medicine. Zhang’s research interests focus on the design, synthesis, characterization, and evaluation of nanostructured biomaterials for healthcare and other medical applica-tions, particularly drug delivery to improve or enable treatments of human diseases. His recent inventions include: Pro-Drug Conjugates Able to Deliver Precise Ratios of Active Drugs (Tech ID: 21302), Bio-logical “Cloaking” of Nanoparticles for

Cancer Drug Delivery (Tech ID: 22192), and pH-Sensitive Stabilization of Lipo-somes (Tech ID: 20798).

Zhang received his PhD in chemi-cal engineering from the University of Illinois at Urbana-Champaign and BE and MS degrees in chemical engineer-ing from Tsinghua University in China. Prior to joining the university, he was a postdoctoral associate in the laboratory of Professor Robert Langer at the Massachu-setts Institute of Technology. In addition to publications and patents, Zhang received the 2009 Victor K. LaMer Award from the American Chemical Society and the 2012 Unilever Award from the American Chemical Society.

LIANGFANG ZHANG, PHDProfessor, NanoEngineering

JOSEPH WANG, DScDistinguished Professor, NanoEngineering

translational medicine

nanomedicinestem cells

wire less b iosensors

Joseph Wang, a distinguished professor of nanoengineering, focuses on the field of nanobioelectronics where nanomaterials are applied to the analysis of biomolecules. His research interests include nanomotors and nanoactuators, nanoscale barcodes, nanomedicine, wearable on body sensors and biofuel cells, bioelectronic detection of proteins and nucleic acids, microfab-rication, self-assembly of nanostructures, microfluidic devices (Lab-on-a-chip), nanoparticle-based bioassays, and bionano-materials.

Moreover with a focus on clinical applica-tions, Wang’s innovations can be useful for the management of diabetes, point-of-care clinical development of electrochemical

sensing devices for clinical and environ-mental monitoring, and implementable in vivo glucose biosensors. His recent innovations at the university include: Isolation of Target Biomolecules from Complex Samples Using Nano/Microscale Motors (Tech ID: 21897), Temporary Transfer Electrochemical Biosensors (Tech ID: 22853), Acoustically Triggered Nano/Microscale Propulsion Devices (Tech ID: 22680), and Printed Biofuel Cells (Tech ID: 22380).

Wang was awarded his DSc in chemistry from the Israel Institute of Technology.

signal transduction

nanomaterials

drugdesign

oncology

16

inventions reported

since 2008

17

inventions reported

since 2009

ucsd

(search tags: copy and paste into your search engine of choice)

114 students

participated in the technology

transfer disclosure process

UC SAN DIEGO | TECHNOLOGY TRANSFER OFFICEPage 8

Twelve new companies were founded with university technology in FY2012. Out of the twelve, seven companies targeted the biomedical industry. All the companies are based in San Diego.

linMet Inc. provides pharmaceutical companies with clinically relevant insights

and practical information about drug response and safety using metabolomics for diabetes, kidney disease, obesity and cardiovascular disease.

Leveraging its founder Dr. Kumar Sharma’s extensive work in the area of kidney disease, ClinMet offers specific solutions in the areas of chronic kidney disease (CKD) and diabetic kidney disease. One in nine American adults have chronic kidney disease and more than 485,000 Americans have progressed to end-stage renal disease, requiring dialysis or a kidney transplant to stay alive. Treatments and support for end-stage renal disease is costly, with an estimate cost of $20 billion to Medicare.

In the United States, diabetes continues to be a growing epidemic with approximately 26 million affected individuals – 19 million diagnosed and 7 million undiagnosed, and 79 million with prediabetes. As the seventh leading cause of death in the US, diabetes has been a financial burden on this country with a total cost of $245 billion in 2012. Much of the excess morbidity and mortality associated with diabetes is related to kidney dysfunction. It is estimated that one of every 3 people worldwide will develop diabetes by 2030, total costs for diabetes and CKD will have a staggering global impact.

Sharpening Clinical TrialsThe cost of clinical trials can average over $1.5 billion. Failed trials contribute to these costs and lengthen the process which heightens risks to the pharmaceutical industry. In the current environment of targeting medicine to the individual (aka Personalized/Precision Medicine), pharmaceutical companies are increasingly partnering with companies, like ClinMet, that provide companion diagnostics and related insights to sharpen the clinical trial process. By leveraging its metabolomic platform and expertise in kidney disease, ClinMet also assists large pharmaceutical companies to address the cardiovascular risk associated with diabetes-related drug development.

The ClinMet metabolomics platform specifically addresses:

• Efficacy: Knowing if a drug is impacting a disease and if there are off-target effects

• Safety: Avoiding costs associated with late-stage failure or post-approval withdrawal

• Insight: Gaining novel data into mechanisms of action

ClinMet’s customers are now starting to explore the significant potential the Metabolomics platform has in drug discovery.

CLINICAL METABOLOMICS, INC.

C CLINMET, INC.3120 Merryfield Row San Diego, CA 92121-1126Email: info@clinmet.comPhone: 858-242-4000http://www.clinmet.comFounded: 2011Employees: 10

SCIENTIFIC ADVISORY BOARDKumar Sharma, MD, FAHA Founder and Chief Scientific Advisor

William Nyhan, MD, PhD Robert R. Henry, MD

CO-FOUNDERS & MANAGEMENTYesh SubramanianPresident & CEO

Shoba Sharma Vice President Data, Analytics & Solutions

Sam HodgesAdvisor

7

inventions reported

since 2008

New Start-upsDrive Our Economy

UCSD TECHNOLOGY INNOVATORKumar Sharma, MD, FAHAProfessor of Medicine Director, Institute of Metabolomic Medicine Director, Center for Renal Translational Medicine

FY2012 ANNUAL REPORT Page 9

IGNYTA, INC.11095 Flintkote AvenueSuite D San Diego, CA 92121Phone: (858) 255-5959General inquiries:info@ignyta.comBusiness development inquiries:bd@ignyta.com http://www.ignyta.comFounded: 2011

Employees: 9

MANAGEMENTJonathan E. Lim, MDChairman, CEO and Co-Founder

David W. Anderson, PhDChief Scientific Officer

Zachary HornbyVice President, Corporate Development

Kurt Krummel, PhDDirector of Molecular Diagnostics and Assay Development

Robert Shoemaker, PhDDirector of Bioinformatics

gnyta, Inc. is a company catalyzing personalized medicine in autoimmune diseases. Ignyta has licensed worldwide

rights from the University of California, San Diego to develop and commercialize cutting-edge work performed in Dr. Gary S. Firestein’s lab.

Rheumatoid arthritis is a highly prevalent disease, affecting about 2 percent of the world’s population. Ignyta applies next generation genomic, epigenomic, and other molecular technologies to identify the best, most accurate biological signatures possible to discover, develop, validate, and commercialize novel diagnostic tests and therapeutic drugs for rheumatoid arthritis (RA) and other autoimmune diseases. While rheumatologists are able to diagnose rheumatoid arthritis in patients with well-established disease, the development of long-term morbidity and mortality associated with rheumatoid arthritis can be prevented by diagnosing and treating patients earlier. As such, there is a current need to develop molecular diagnostic tests to help diagnose patients as early as possible to intervene before serious issues begin to develop.

TechnologyPlatformIgnyta’s Methylome™ is a proprietary database and computational platform that helps accelerate the discovery of novel biomarkers for diagnostic and therapeutic purposes.

Key features:• Identification of biologically relevant

features through epigenetic analysis and advanced statistical algorithms;

• Software quickly accesses and analyzes massive amounts of data from internal and worldwide genomic and epigenomic databases;

• Database contains proprietary genome-wide epigenetic profiles of relevant cell types and blood samples from patients.

Key Benefits:• Massive database of epigenetic data that

are available at one’s fingertips;• Genome-wide data analyses identify

novel biological trends on a global scale;• Generation of multiplexed panels that

reveal biomarkers which accurately diagnose phenotypes and uncover candidate therapeutic targets through novel biological pathway discovery;

• Minimal a priori biological assumptions allow the data to reveal new insights without bias.

IIGNYTA, INC.

UCSD TECHNOLOGY INNOVATORGary S. Firestein, MD Director, Clinical and Translational Research InstituteDean and Associate Vice Chancellor, Translational Medicine

20

inventions reported

since 1995

UC SAN DIEGO | TECHNOLOGY TRANSFER OFFICEPage 10

QUAD GEOMETRICS, LLC

QUAD GEOMETRICS, LLC5042 Wilshire Blvd # 15682Los Angeles, CA 90036Phone: (858) 356-5864http://www.quadgeo.comFounded: 2011

MANAGEMENTMark Zumberge, PhDCo-Founder UCSD TECHNOLOGY INNOVATOR

Mark Zumberge, PhDResearch GeophysicistInstitute of Geophysics and Planetary PhysicsScripps Institution of Oceanography

uad Geometrics, Inc. provides products and services related to the precise mea-surement of various Earth parameters, specifically gravity, sound, pressure, and vibration. The application of

precision metrological principles has yielded substantial and measurable improvements in: • Energy (natural gas field exploration, moni-

toring, and improved recovery rates);• Mining (precious mineral deposit valuation); • Defense & Surveillance (nuclear test detec-

tion and deterrence, border and barrier control);

• Basic Research in academia (geophysics and fundamental constants).

All four of these sectors are capital intensive in nature with increases in efficiency, detec-tion and monitoring translating into millions of dollars in profit or security. With its broad technology base, Quad Geometrics is capable of providing unparalleled visibility and bottom line results, now and into the future.

Q

10

inventions reported

since 1991

Gravity meters in production, onboard, and being deployed for offshore natural gas reservoir monitoring.

468inventors* received

intellectual property income

* does not include TRM or copyright innovators

FY2012 ANNUAL REPORT Page 11

VOROZA, INC.

VOROZA, INC.7479 Collins Ranch TerraceSan Diego, CA 92130-5574Phone: (858) 397-8149Founded: 2011Employees: 3

http://www.voroza.com

MANAGEMENTTruong Nguyen, PhDChief Technical Officer, Co-Founder

Ramsin Khoshabeh, PhDVice President, Research & Development

Jason JuangDirector, Engineering

Rick GessnerAdvisory Board

oroza is advancing video processing us-ing depth-based analysis, either through stereoscopic camera systems or depth sensors. In the 3D field, one of the com-

pany’s targets, it has developed a high-quality, real-time 3D scanning technology utilizing low cost range-sensing devices. This allows both researchers and consumers to easily digitalize objects or scenes into intricate 3D models. Using off-the-shelf imaging systems (e.g., Kinect), the company uses sophisticated algorithms to produce highly accurate depth maps of objects. Aggregating this information from multiple viewing perspectives allows the generation of a full 3D model with a level of detail that can be utilized in a wide array of applications including: gaming, security, healthcare, fashion, and entertainment.

Voroza “Unique Strategic Advantage”• Existing camera and sensors are extreme-

ly underutilized• Voroza is focusing on taking advantage of

the large and growing pool of video data available

• Voroza can introduce new ways of using existing devices, and improve depth infor-mation to:

• Allow interactivity, such as in gaming• Create virtual perspectives, such as in

free-viewpoint visualization• Efficiently transmit 3D videosVoroScan –

3D scanning

V

UCSD TECHNOLOGY INNOVATORTruong Nguyen, PhDVice Chair and ProfessorElectrical and Computer EngineeringCalit2 (now Qualcomm Institute)

55

inventions reported

since 2002

353inventions

earned fees or royalties

49copyrights

earned fees or royalties

50tangible research materials earned fees or royalties

UC SAN DIEGO | TECHNOLOGY TRANSFER OFFICEPage 12

JULY 2011 •Ciencia e Innovacion-Institute of the Americas •Adoneh, LLC•MP Healthcare Venture Management•Patents & Patent Searching-UCSD Staff Education•CONNECT Frontiers in Science and Technology –Back From the Brink•Biocom Open House

AUGUST 2011•Department of Chemistry & Biochemistry-Faculty Outreach•Licensing Executive Society (LES) Summer Social•Department of Mechanical/Aerospace Engineering-Faculty Outreach•Department of Bioengineering-Faculty Outreach•Calit2-Faculty Outreach•Cellular and Molecular Medicine-Faculty Outreach•Translational Medicine-Faculty Outreach•Department of Medicine-Faculty Outreach•UCSD Sharecase

SEPTEMBER 2011 •What It’s Like Being a CEO-Biocom•Department of Anesthesiology-Faculty Outreach•Health Sciences Business Development •What is Left of the San Diego Biotech Industry?-Licensing Executive Society (LES)•Patent Nation: Web Conference Series – New U.S. Patent Reform Law-Foley& Lardner LLP•Althea Technologies and AltheaDx: Successfully Building Two Biotech Companies-The Indus Entrepreneurs (TiE) SoCal•Patents & Patent Searching-UCSD Staff Education•Technology Transfer Roundtable-CONNECT

OCTOBER 2011•Patent Reform Seminar-Morrison Foerster•Patenting & Record Keeping-Division of Biological Sciences•Stem Cell Science and Medicine in Our Community-CIRM•Legal Update: New Patent Reform Law-Knobbe Martens•Resources for Lab to Market-Rady School of Management•Journeys in Discovery-Division of Biological Sciences•CMRR Research Review-Center for Magnetic Recording Research•2nd Annual China Medical City Internation Expo-China Medical City •TPP Global Development (UK) •Building Value into Technologies Before Licensing-Licensing Executive Society (LES)•TTO and Technology Transfer-Faculty Outreach•Something Ventured-The Indus Entrepreneurs (TiE) South Coast•Licensing Panel-SDSU School of Business•Department of Family and Preventative Medicine-Faculty Outreach

NOVEMBER 2011•Cenna Biosciences Open House •UC System Intellectual Property Managers Meeting-UCOP •Decade of Catalyzing Innovation Life Sciences Showcase-von Liebig Entrepreneurism Center•Patent Basics and Technology Transfer-Tau Beta Pi Honor Soci-ety, Engineering School•OutoftheLabandIntotheMarket:TechTransferDemystified-Oklahoma Bioscience Institute and Greater Oklahoma City Chamber•Patents & Patent Searching-UCSD Staff Education•Sanford Consortium “Collaboratory” Opening•Stem Cell Meeting on the Mesa-Sanford Consortium for Regenerative Medicine

DECEMBER 2011•National Renewable Energy Lab (NREL) Tech Portal-von Liebig Entrepreneurism Center•Licensing Executive Society (LES)-San Diego Chapter Meeting•CONNECTPolicyForum-USPatentandTrademarkOffice

JANUARY 2012 •Pathway to Discovery-Janssen Pharmaceuticals•Open House-Janssen Pharmaceuticals•Patents & Patent Searching-UCSD Staff Education•10th Anniversary Celebration Technology Showcase-von Liebig Entrepreneurism Center•Technology Transfer Process: Center of Excellence for Stress and Mental Health (CESAMH)-Faculty Outreach

FEBRUARY 2012•Future Health-calit2•Osage Partners •Biosimilars - Wave of the Future or Child of the Privileged Few?-Licensing Executive Society•Personalized Medicine Symposium-Clearity Foundation•Successful Women Biotech Executives: Opportunities & Challenges-TiE South Coast

MARCH 2012•Department of BioEngineering -Faculty Outreach•Bio and Tech Converge-CONNECT•US Patent Roundtable-Deputy Under Secretary of Commerce for IP -Biocom•10th Anniversary Celebration- 10 Years of Entrepreneurism-von Liebig Entrepreneurism Center•Department of Bioengineering-Faculty Outreach•Department of-Faculty Outreach•A New Approach to IP Management: The Penn State University Research Model •CleanTech/Clean Energy Technology Acceleration Program-von Liebig Entrepreneurism Center•Exit Strategies-TiE South Coast

TTO organizes and participates in events and meetings throughout the year to promote technology transfer and university research. We also host visitors from other groups and institutions to discuss best practices in technology transfer and economic development. Listed are highlights from FY2012.

(Black text notes TTO staff presentation/active participation)

Outreach and PartneringBuild Relationships

FY2012 ANNUAL REPORT Page 13

TTO Staff with Canadian Technology Transfer Delegation

TTO organizes and participates in events and meetings throughout the year to promote technology transfer and university research. We also host visitors from other groups and institutions to discuss best practices in technology transfer and economic development. Listed are highlights from FY2012.

(Black text notes TTO staff presentation/active participation)

JULY 2011 •Apposite Capital LLP•Shanghai Delegation

SEPTEMBER 2011 •Canadian Delegation on Intellectual Property Rights-US State Department

NOVEMBER 2011•BADIR Technology Entrepreneurship Support Program in Saudi Arabia-Global CONNECT

DECEMBER 2011•Novo Nordisk•Life Technologies•Shire Pharmaceuticals•Qualcomm Ventures

JANUARY 2012•Ram Photonics Inc. •Intellectual Property Exchange International (IPXI)

FEBRUARY 2012•Dow Chemicals

MARCH 2012•Technology Transfer Best Practices-Arizona

MAY 2012•Osage Partners•Allied Minds•City of San Francisco•Miramar Ventures•Innovega Inc.

Saudi Delegation visit with Global CONNECT and TTO

APRIL 2012 •Research Expo-Jacobs School of Engineering•Patents & Patent Searching-UCSD Staff Education•UCSD TTO Presentation to Executive MBA class, Rady School of Management•Open House-OCGA/COI/TTO •Speed Dating: Finding Your Perfect Career Match?-American Society for Biochemistry and Molecular Biology•UC System Intellectual Property Managers Meeting

MAY 2012 •Technology Licensing from the TTO and Entrepreneur Viewpoints-SDSU School of Business•von Liebig Entrepreneurism Center Seminar•San Diego Incubators: Supporting Company Formation & Development-TiE South Coast•Department of Chemistry/ Biochemistry-Faculty Outreach

JUNE 2012•UCSD TTO Presentation to Fulltime MBA class-Rady School of Management

•Is there life (science) after Prometheus?-Licensing Executive Society (LES)•Connect with CONNECT•Medical Device Summit West: Reducing Risk and Increasing Return through Cutting-Edge Business Strategy and Techno-logical Innovation •National Innovation Showcase-2012 World TechConnect•Department of Medicine-Faculty Outreach •BIO International Convention-Boston, Massachusetts

Formal group and delegation visits

Denise Lew, Senior Licensing Officer, at the California Pavilion during the 2012 BIO International Convention held in Boston, Massachusetts. BIO is one of the largest partnering conference for the life science industry.

UC SAN DIEGO | TECHNOLOGY TRANSFER OFFICEPage 14

Local, National, and Global Impact185 California Active Licenses (at the end of FY2012)

ALAMEDA (6)Berkeley (2)Emeryville (1)

Fremont (3)

CONTRA COSTA (1)

San Ramon (1)

LOS ANGELES (6)Los Angeles (4)Torrance (1)

Inglewood (1)

A select group of California companies that have licensed university technology over the past several years:

MARIN (2)

Novato (2)

MONTEREY (1)

Moss Landing (1)

ORANGE (4)Anaheim (1)Irvine (1)Santa Ana (1)

San Juan Capistrano (1)

RIVERSIDE (1)

Temecula (1)

SACRAMENTO (1)

Sacramento (1)

SAN DIEGO (121)Carlsbad (12)Del Mar (2)La Jolla (26)Oceanside (1)Ramona (2)San Diego (77)

Solana Beach (1)

SAN FRANCISCO (5)

San Francisco (5)

SAN MATEO (11)

Redwood City (1)

South San Francisco (8)

Brisbane (1)

Menlo Park (1)

SANTA BARBARA (1)

Santa Barbara (1)

SANTA CLARA (13)Palo Alto (2)San Jose (4)Santa Clara (2)Los Gatos (2)Mountain View (2)

Sunnyvale (1)

SANTA CRUZ (8)Santa Cruz (7)

Scotts Valley (1)

VENTURA (3)Thousand Oaks (2)

Camarillo (1)

YOLO COUNTY (1)

Davis (1)

Total Licenses

Statewide (185)

127San Diego licenses

68%in

San Diego

FY2012 ANNUAL REPORT Page 15

405 Active Global Licenses by Country

356 Total U.S. Licenses

Alaska (1), Alabama (5), Arizona (5), California (185), Colorado (2), Connecticut (5), DC (1), Delaware (1),

Florida (2), Georgia (1), Iowa (2), Illinois (8), Indiana (2), Kentucky (1), Massachusetts (29), Maryland (6),

Michigan (3), Minnesota (5), Missouri (3), North Carolina (1), New Jersey (9), Nevada (1), New York (16),

Ohio (4), Oregon (1), Pennsylvania (8), Tennessee (2), Texas (9), Utah (2), Virginia (3), Washington (9),

Wisconsin (23), Wyoming (1)

356active U.S. licenses

356 Active U.S. Licenses by State

405 Total Worldwide Licenses

ASIA: China (4), South Korea (1), Japan (8), Thailand (2), Taiwan (1)

AUSTRALIA: Australia (1)

EUROPE: Austria (2), Belgium (4), Denmark (2), France (2), Germany (1), Ireland (1), Italy (2), Netherlands (3), Switzerland (2), United Kingdom (9)

MIDDLE EAST: Israel (3)

NORTH AMERICA: Bermuda (1), United States (356)

2

UC SAN DIEGO | TECHNOLOGY TRANSFER OFFICEPage 16

Technology Transfer Results

AGREEMENTSIn FY2012, all agreements executed totaled 702, nearly flat when compared to 703 agreements executed in FY2011. The agreements comprised licenses, options, outgoing material transfers, confidentiality, letters of intent, and other administrative agreements. The pie chart shows the distribution within the agree-ment types in FY2012.

INNOVATIONS REPORTED

The number of inventions, tangible research materials (TRMs), and copyrights reported during FY2012 was 481, compared to 416 reported dur-ing FY2011. For the fourth year in a row, innova-tions received surpassed the 400-mark. (In the bar graph to the right, TRMs are shown in gold.) The distribution between life science and physi-cal science innovations is similar to prior years, approximately sixty percent life science and thirty percent physical science. The total number of active innovations in the San Diego portfolio was more than 3,000 at the end of FY2012.

LICENSES

In FY2012, a total of 60 license agreements for inventionsandcopyrightswerefinalized.Inthelasteight-year period, the TTO executed between 60 and 85 licenses a year showing a strong level of sus-tained activity despite the economic downturn. The TTO signed agreements with large, medium, and small companies, including 12 startups founded on university technology. The chart shows the distribu-tion of licenses between inventions and copyrights.

322 314 334 345 373 364 428 404 416 481

FY03 FY04 FY05 FY06 FY07 FY08 FY09 FY10 FY11 FY12

FY2012-more than half of the agree-

ments were transfers of research mate-

rialstotheoutsidescientificcommunity

702total

agreements

94U.S. patents

issued

41 56 71 71 85 82 66 60 64 60

FY03 FY04 FY05 FY06 FY07 FY08 FY09 FY10 FY11 FY12

137 «TRMs

133

5998

656396

6432 40

FY2012 ANNUAL REPORT Page 17

In FY2012, as is typical, patent prosecution accounted for approximately half of the total for expenditures. Nearly 64 percent of the patent costs were reimbursed by licensees through invention licensing agreements. The patent cost reimbursement rate averaged 79 percent over the last ten years. Typically, reimbursements are recorded in a year following that in which the costs were incurred. Please see the income and expense charts on page 19.

Patent Activity

PATENTS FY2003 FY2004 FY2005 FY2006 FY2007 FY2008 FY2009 FY2010 FY2011 FY2012 TOTALS

U.S. First Filings* 127 144 133 147 142 127 152 168 155 173 1,468

U.S. Secondary Filings** 45 44 39 35 65 85 73 83 84 74 627

First Foreign Filings*** 69 94 67 89 60 53 61 54 58 75 680

Total Filed 241 282 239 271 267 265 286 305 297 322 2,775

U.S. Patents Issued 51 50 60 44 64 45 54 75 88 94 625

Foreign Patents Issued 69 79 87 148 62 116 97 39 46 70 813

Total Issued 120 129 147 192 126 161 151 114 134 164 1,438

*U.S.firstfilingsaretypicallyprovisionalfilings,andsomeU.S.utilityfilings.**U.S.secondaryfilingsareconversions,continuations(includesdivisionals,continuations-in-part),andrefiledprovisionalpatents.***FirstforeignfilingsarePatentCooperationTreaty(PCT)filings.Note:ForeignNationalStageandU.S.NationalStagefilingsarenotincludedinthetableabove.Sometotalsmaychangefromyear-to-yearduetopostfiscalyear-endadjustments.

The protection of university intellectual property is crucial when companies are licensing technologies and can often be critical when seeking financing for new ventures. The total number of filed and issued patents has increased from prior years. In FY2012, 94 U.S. patents issued compared to 88 issued pat-ents in FY2011. Total U.S. filings in FY2012 were 247 compared to 239 in FY2011.

FY03 FY04 FY05 FY06 FY07 FY08 FY09 FY10 FY11 FY12

UCSD intellectual property income increased in FY2012 to $19.6 million compared to $18.7 million in FY2011. The majorityoflicensingincomewasfrom license issue fees, license maintenance, milestone fees and royalties. Legal cost reim-bursements made up more than 17 percent of the total income in FY2012. Detailed breakdowns for income and expense are on page 19.

(in millions)

(in millions)

Income

UC SAN DIEGO | TECHNOLOGY TRANSFER OFFICEPage 18

Mandatory Distributions of Income FY2003-FY2012The Technology Transfer Office distributed approximately $9.5 million of intellectual property income in FY2012, compared to $14.2 millioninFY2011.Distributionsweremadetoinventors/authors,jointco-ownersofintellectualproperty,participatingacademicunitsfor research support, the campus fund, and the UC General Fund in accordance with UC policies and UC San Diego campus guide-lines. Invention and copyright income distributions are based on income received in the prior fiscal year (FY2011). Material transfer agreement (MTA) income distribution is based on income received in the same fiscal year (FY2012).

(in thousands) FY03 FY04 FY05 FY06 FY07 FY08 FY09 FY10 FY11 FY12FY03-12 TOTALS

Inventor/ Author Share

$4,054 $2,654 $3,727 $6,192 $8,667 $8,609 $9,553 $9,142 $8,829 $5,752 $67,179

Joint Titleholders Share

$297 $295 $77 $393 $127 $398 $432 $466 $335 $403 $3,223

Research Labs/ HAU*/ DEPT Share

$1,271 $1,126 $1,215 $1,747 $2,227 $2,299 $2,404 $2,279 $2,275 $1,506 $18,349

UC General Fund Share†

-$1,219** $1,007 $2,658 $3,382 $2,611 $3,470 $2,570 $2,744 $2,758*** $1,887 $21,868

Total Distributions

$4,403 $5,082 $7,677 $11,714 $13,632 $14,776 $14,959 $14,631 $14,197 $9,548 $110,619

* Home Academic Unit (HAU).

** FY03 shows offset due to extraordinary legal expenses.

† Formerly called State General Fund.

*** Includes 2 years of charges for this fund.

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EGF Receptor Antibodies $7,925,000

Firefly Luciferase $3,011,000

Tear Osmometer for Dry $444,000 Eye Disease Diagnosis

reporter assay

head andneck cancer colorectal

cancer

oncology

measurementdry eyediagnostic

b io luminescence

enzymereagent

(search tags: copy and paste into your search engine of choice)

Top-Earning Inventions The UC System reports the top-earning inventions

each fiscal year and in FY2012, three inventions from UC San Diego contrib-

uted to the top 25 inventions. The dollar amounts for these commercialized

inventions include royalty and fee income, but do not include patent/legal

reimbursements.

FY2012 ANNUAL REPORT Page 19

INCOME FY03 FY04 FY05 FY06 FY07 FY08 FY09 FY10 FY11 FY12FY03-12 TOTALS

Invention $6,368 $11,473 $15,496 $21,842 $21,423 $22,694 $22,235 $20,968 $14,048 $15,575 $172,122

Copyright $157 $314 $214 $311 $219 $318 $236 $359 $347 $415 $2,890

Tangible Research Material $474 $405 $578 $310 $329 $586 $255 $281 $200 $171 $3,589

Legal Cost Reimbursement $3,678 $2,896 $5,396 $4,234 $4,080 $7,261 $4,397 $4,403 $4,164 $3,454 $43,963

Extraordinary Income* - - - $1 $193 $23 - - - - $218

Total Income $10,677 $15,088 $21,684 $26,699 $26,244 $30,882 $27,122 $26,011 $18,759 $19,615 $222,782

EXPENSE

Patent Prosecution $4,029 $4,645 $6,132 $6,161 $6,336 $7,126 $6,263 $4,833 $5,036 $5,402 $55,963

Copyright $3 - $4 - - - - - - - $7

TTO Campus Operations $1,981 $2,263 $2,272 $2,691 $2,732 $2,739 $3,079 $2,918 $3,072 $3,304 $27,051

Other Administrative DepartmentCharges∂ - - - - - - - - $354 $238 $592

UCOP & OTT Assessments $902 $877 $892 $879 $461 $65 $65 $375 $65 $45 $4,626

Extraordinary Expenses** $6,567 $2,789 $459 $57 $205 $18 $3 - - - $10,098

UC General Fund*** -$1,219 $1,007 $2,658 $3,382 $2,611 $3,470 $2,570 $2,744 $2,758†

$1,887 $21,868

Total Expense $12,263 $11,581 $12,417 $13,170 $12,345 $13,418 $11,980 $10,870 $11,285 $10,876 $120,205

NET INCOME -$1,586 $3,507 $9,267 $13,529 $13,899 $17,464 $15,142 $15,141 $7,474 $8,739 $102,576

IP MANAGEMENT INCOME AND EXPENSE FY03-FY12 (in thousands)

* Extraordinary income includes nonrecurring items such as legal settlements and /or one-time payments.

** Extraordinary expenses includes unbudgeted expenses for litigation and settlement.

*** UC General Fund was previously called State General Fund.

† Includes 2 years of charges for this fund.

∂Newcampustaxledtoincreasedcostsabsorbedforintellectualpropertyrevenueforthepasttwofiscalyearsandmovingforward.

UCSD intellectual property income increased in FY2012 to $19.6 millioncomparedto$18.7millioninFY2011.Themajorityoflicensing income is from license issue fees, license maintenance and milestone fees/royalties. With a primary mission to transfer technology for the public good, TTO provides fair and equal-access to available technologies and licenses to both large and small companies that are best able to commercialize the innova-tions. When licensing to cash-strapped start-up companies, TTO often receives equity in lieu of upfront fees to lower the entry barriersforthesefledglingbusiness.InFY2012approximately$500,000 was recorded from a stock sale of a UCSD start-up that was founded in 2003.

UCSD’s technology transfer program incurred expenditures of $10.9 million in FY2012 compared to $11.3 million for FY2011. Approximately one-half of expenditures were incurred for patent prosecution, of which approximately 64 percent was reimbursed by licensees through licensing agreements.

In addition, in FY2011, UCSD initiated a new tax on revenue sources to generate campus operating revenue. This expense is reported below as “Other Administrative Department Charges” and is also known as the Auxiliary & Self Supporting Activi-ties (ASSA) charge. The charge was $354,000 in FY2011 and $238,000 in FY2012.

Intellectual Property Income & Expense FY2003-FY2012

expenses$10.9 million

income$19.6 million

distributions$9.5 million

(see page 18)

technology transferPromotes and facilitates the transfer of UC San Diego innovations for the benefit of the University community

and the public.

9500 GILMAN DRIVE, MC 0910, LA JOLLA, CA 92093 | p: 858-534-5815 | f: 858-534-7345

HTTP://INVENT.UCSD.EDU

TECHNOLOGYTRANSFER OFFICE