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College of Medicine
UK OTC Quarterly Patent & Licensing ReportQ3 FY17
Summary
3
College of Medicine FY17TD: By the Numbers
Summary By the Numbers
$ 284,442.36Gross License Income
8Patents Issued
$0Distributed in last quarter to CoM
(based on 2Q income)
14Invention Disclosures
3Patent Applications
7New Licenses Executed
4
Summary Insights
Metric Discussion Trend
Gross License Income:This figure ($284,442.36) is slightly down from its comparable YTD figure after 3 quarters in FY16 ($325,827.80), as a result of lower royalty payments through three quarters from New Ace Research.
Income Distributed Last Quarter:
Income distributed to CoM last quarter was $0, same as the previous two quarters. This is a result of patent and legal expenses exceeding gross license income in those quarters.
Patents Issued:
This is steady from the previous YTD in 2016 at 8 patents issued through three quarters. We can optimistically anticipate an increase in years to come only if invention disclosures and patent applications continue to increase. They were lower in 2016 than the previous 2 years.
Licenses Executed:
We have executed 7 new licenses compared with 3 by the end of the 3rd quarter last year. The new licenses account for 7 out of 10 total new licenses executed by the OTC. This is due to increased disclosures, applications, and follow-on improvements made by CoM inventors related to already-licensed technologies (see Epionc; Drs. Watt/Liu).
Patent Applications: Applications are slightly up in FY17TD due to increased invention disclosures.
Invention DisclosuresInvention disclosures (14) are slightly up through three quarters compared with after three quarters in FY16 (13), which may be a result of various things including the timing of grant funding and increased engagement with our office.
Key: Increase Decrease Neutral
Details
FY17YTD Invention Disclosures
Invention
NumberInvention Title
Disclosure
Date
Disclosure
Status
Patent
Application
Filing #
Patent
Application
Filing Date
Inventors Department
2133
Composition of Synthetic HDL Nanoparticles and Optimized Treatment
Regimen for Sepsis
8/2/2016 Req Provisional App 62/332,345 5/5/2016 xiangan li * Pediatrics
2134Novel formulations of anti-
relapse agent JR220.8/19/2016 Disclosure 62/423,973 11/18/2016
John M Littleton
*;Joseph Wyse
Psychology; Pharmaceutical
Science
2138Novel multi-targeted therapy for cancer
9/6/2016 DisclosureSabine M Brouxhon
*;Todd MillerSurgery
2143
High Throughput Method for Plasma Exosomal Lipid Analysis for Early Cancer
Detection
10/14/2016 Sent to attorney
Sethu Palappiana;Teresa W
Fan;Richard M Higashi;Andrew N
Lane *
Toxicology and Cancer Biology
2149
A Tethered Directional Guiding Sheath for the
Delivery of Endovascular Devices
12/8/2016 Provisional Filed 15/352,358 11/15/2016 David Minion * Surgery
2150A method for creating in-
situ scalloped configuratins in endoluminal devices
12/8/2016 Provisional Filed 15/352,516 11/15/2016 David Minion * Surgery
2153BiOfeedback and brain
stimulation DEvicE (Bodhi)12/12/2016
Preparing to send to attorney
Arit Harvanko;DillonHuffman;Joshua A
Lile *;Michael WesleyBehavioral Science
2154Storage of platelets at
4°C with EGTA1/3/2017 Market Assessment
Zhenyu Li *;Binggang Xiang;Guoying
Zhang
Molecular & Cellular Biochemistry
2156
A Low-cost Loupe-based Intraoperative
Fluorescence Imaging Device for the Guidance of
Brain Tumor Surgery
1/9/2017 Market Assessment
Chong Huang;Thomas
Pittman;GuoqiangYu *
Biomedical Engineering;Neurosurge
ry
FY17YTD Invention Disclosures (Cont’d)
Invention
NumberInvention Title
Disclosure
Date
Disclosure
Status
Patent
Application
Filing #
Patent
Application
Filing Date
Inventors Department
2159
Amidated Dopamine Neuron Stimulating Peptides for Protection Against Diseases 2/5/2017 Prepair to send to attorney
Luke H Bradley *;Don M Gash;Greg A Gerhardt
Molecular and Cellular Biochemistry
2160
Peptide Inhibitor of nitrite reductase AniAfor development of new therapeutics against gonorrhea 2/9/2017
Inter. Eval see remarks 62/471,181 3/14/2017
Konstantin Korotkov*;Aleksandra E. Sikora
Molecular and Cellular Biochemistry
2162
Increased cell retention in diseased site when cells encapsulated in Gelatin Methacrylate 2/21/2017 Market Assessment
Ahmed K. abdel-latif;Bradley J Berron;Anuhya Gottipati *;Irina Kalashnikova
Chemical and Materials Engineering; Internal Medicine
2165
Targeting SPHK2 for Treatment and Prevention of Obesity and Diabetes 3/22/2017 Market Assessment Sabire Ozcan *
Molecular and Cellular Biochemistry
2166
Phenylethynyl-substituted Heterocycles for the Treatment of Cancer 3/24/2017 Market Assessment
Chunming Liu;VitaliyM Sviripa;David S Watt *
Molecular and Cellular Biochemistry
12
13
14
15
FY16TD FY17TD
Invention Disclosures
Invention Disclosures
*Compare: FY16TD = 13 disclosures
FY17YTD Patent Applications
UK ID #/FundDate
DisclosedExpense Income
Lic
AgreementsApp # Filing Date Title Inventors Department
2149/0011251425
12/8/2016 $4,475.00 $0.00 N/A 15/352,358 11/15/2016A Tethered Directional Guiding
Sheath for the Delivery of Endovascular Devices
David Minion
Surgery
2150/0011251426
12/8/2016 $4,899.00 $0.00 N/A 15/352,516 11/15/2016A method for creating in-situ
scalloped configuratins in endoluminal devices
David Minion
Surgery
2002/0011251313
9/8/2014 $19,432.20 $0.00 N/A 15/443,226 2/17/2017
Treatment of obesity and obesity-related sequelae by inhibition of the gut hormone
neurotensin
B. Mark Evers, Jing Li, Paul Dobner,
OlleMelander
Surgery
*Compare: FY16TD = 2 patent applications
0
1
2
3
FY16TD FY17TD
Patent Applications
Patent Applications
FY17YTD Patents Issued
UK ID #/FundDate
DisclosedExpense Income Lic Agreements Pat # Issue Date Title Inventors Department
1833/0011251239
12/15/2011 $71,091.25 $0.00 N/A 9,402,875 8/2/2016
Amidated dopamine neuron stimulating peptide restoration of mitochondrial
activity
Luke Bradley, Don Gash, Greg
Gerhardt
Anatomy & Neurobiology; Molecular &
Cellular Biochemistry
1851/0011251233
2/2/2012 $26,869.74 $0.00 N/A 9,410,133 8/9/2016Glucan phosphatase
variants for starch phospharylation
Matthew Gentry, Craig Vander Kooi
Molecular & Cellular
Biochemistry
1790/0011251188
6/10/2011 $38,649.36 $0.00 N/A 9,453,226 9/27/2016
Protection of cells from Alu-RNA-induced degeneratin and inhibitors for protecting
cells
Jayakrishna Ambati, Valeria
Tarallo
Ophthalmology & Visual Science
1736/0011251170
7/8/2010 $29,423.46 $0.00 N/A 9,464,289 10/11/2016Toxic transcripts in age-
related macular degeneration
Jayakrishna Ambati
Ophthalmology & Visual Science
1834/0011251226
12/21/2011 $107,980.83 $0.00 N/A 9,464,322 10/11/2016
Methods for diagnosing and treating Alzheimer?s disease
(AD) using the molecules that stabilize intracellular calcium (Ca2+) release.
Philip Landfield, Eric Blalock, Kuey-Chu Chen, Olivier
Thibault, Nada Porter
Pharmacology & Nutritional Sciences
1767/00011251189
1/28/2011 $42,159.50 $0.00 N/A 9,468,557 10/18/2016
Even Perfusion pump-Artificial Lung for less
thrombogenic and better performance
Dongfang Wang, Joseph
ZwischenbergerOtolarngology
No Disclosure(filed by licensee)
1/0/1900 $0.00 $0.00 STAMM 9,567,585 2/14/2017
Antisense of Oligonucleotide modulators of serotonin recetor 2C and
uses theresof
Stefan Stamm, Manli Shen, Serne
Josiah
Molecular & Cellular
Biochemistry
1415/0011256000
4/10/2006 $94,329.04 $0.00 N/A 9,586,992 3/7/2017G Peptides: CNS
Dopaminergic Upregulation
Luke Bradley, Don Gash, Greg
Gerhardt
Anatomy & Neurobiology; Molecular &
Cellular Biochemistry
*Compare FY16TD = 8
FY17YTD Gross Licensing Income
Licensee Amount Department
Affymetrix (eBioscience) T586 $3,681.33 Internal Medicine
New Ace Research T0777 $275,761.03 Internal Medicine
Palleon Pharma T1903 $5,000.00 Physiology
*Compare: FY16TD = $326,961.41
$284,442.36
260000
270000
280000
290000
300000
310000
320000
330000
340000
FY16TD FY17TD
Gross Licensing Income
Gross Licensing Rev
FY17TD Licenses Executed
Licensee Inventor Department
Palleon Pharma Inc Steven Estus Physiology
Effective Therapeutics Inc Ambati Ophthalmology
Epionc David Watt Molecular & Cellular Biochemistry
Epionc David Watt Molecular & Cellular Biochemistry
Avast Therapeutics Luke Bradley, Don Gash, Greg Gerhart Anatomy & Neurobiology
Avast Therapeutics Luke Bradley, Don Gash, Greg Gerhart Anatomy & Neurobiology
Caprico Biotechnologies John Thompson, Stephen Brown Internal Medicine
*Compare: FY16TD = 3 new licenses executed through three quarters
Start-Up Summary
Company CoM Faculty Department
License from
UK Tech Market Status
Epionc David WattMolecular and
Cellular BiochemistryMultiple
Drug Discovery and Therapeutics
Development; Testing novel small molecules; fundraising through grants and in China
Avast TherapeuticsLuke Bradley, Don
Gash, Greg GerhartAnatomy &
NeurobiologyMultiple
Pharma and Cosmetics markets
Development; Testing novel small molecules; grant proposal for P1
*This list is not exhaustive, but a snapshot of start-up companies associated with CoM researchers that have been
the most active in the last 12 months
Five Year History
Medicine 2012 2013 2014 2015 2016
Research expenditures $116,909,295 $98,899,471 $103,803,656 $122,485,401 $129,214,153
Disclosures 15 14 34 20 15
Patent Applications 6 7 6 5 2
Patents Issued 3 4 8 8 10
Exclusive Licenses 3 2 2 1 3
Non-ex Licenses 0 0 1 0 0
License Income $173,558.80 $110,770.09 $43,978.67 $59,642.62 $326,960.89
Distribution to COM $1,157.98 $12,725.88 $0.00 $0.00 $0.00
Five Year Trends
0
5
10
15
20
25
30
35
40
2012 2013 2014 2015 2016
Medicine
Disclosures Patent Apps Patents Issued New Licenses Gross License Income
Four Quarter Trends
0
1
2
3
4
5
6
7
8
4Q16 1Q17 2Q17 3Q17
Medicine
Disclosures Patent Apps Patents Issued New Licenses
Appendix: OTC Overview
www.research.uky.edu/otc
Contents
About Us
What’s New at the OTC? (Everything)
1
2
www.research.uky.edu/otc
1 About UsOverview of the Office of Technology Commercialization
www.research.uky.edu/otc
The University of Kentucky
o The University of Kentucky (UK) is a
land grant institution in Lexington,
with over 30,000 students and
academic, research and
economic impact across the
Commonwealth of Kentucky and
nation.
o The University of Kentucky is one of
only 7 universities in the United
States whose College of Medicine,
College of Pharmacy, College of
Agriculture, and College of
Engineering are all on the same
campus.
www.research.uky.edu/otc
Research at the University of Kentucky is a $316.5M Enterprise
52%
26%
17%
5%
Grants & Contracts
Federal State Other Industry
$163.5M
56.5% NIH
13.0% NSF
44th Among public universities69th Among public and private universities
Pharmacy
Drug discovery
Drug development
Drug delivery
Therapeutics
Medicine
Cancer
Diabetes
Cardiovascular Disease
Neurodegenerative diseases
Age-related diseases
Engineering
Energy
Advanced materials
Semiconductor Devices and Materials
Nanotechnology
Digital Imaging
Display technologies
Water Treatment
Agriculture
Animal and crop production
Sustainable agriculture
Food science
Equine research
Animal science
Environment
Pharmacy +
MedicineToxicology
Drug discovery
Medicine +
EngineeringMedical Devices
Bioinformatics
Biomaterials
Tissue Regeneration
Signal Processing
Biosensors
Biophotonics
Wound Healing
Biomechanics
Engineering + AgricultureFood and bioprocessing
Precision agriculture
Bioenvironmental
Environmental control
Biofuels
Agriculture + PharmacyEnvironmental
Plant-based pharmaceuticals
Nutraceutical development
Pharmacy + EngineeringBiopharmaceutical engineering
Drug Delivery Systems
Data Mining
Nano technologies
Opportunities for cross-disciplinary collaborations are numerous
www.research.uky.edu/otc
UK Patent Portfolio
24%
17%
34%
7%
% Patents per CP Class (Top 20) by Class
C12:Biochemistry Beer Spirits Wine Vinegar
Microbiology Enzymology Mutation Or
Genetic Engineering
C07:Organic Chemistry Such Compounds As
The Oxides, Sulfides, Or Oxysulfides Of
Carbon, Cyanogen, Phosgene, Hydrocyanic
Acid Or Salts Thereof C01
A61:Medical Or Veterinary Science Hygiene
G01:Measuring Counting G06M Testing
www.research.uky.edu/otc
The Impact of UK Technology Commercialization
• Converts inventor ideas into technologies and products
that meaningfully benefit society
• Enables increased scientific research via industry
partnerships and economic return
• Attracts and retains talented faculty and students
• Enhances the University brand
• Encourages and supports entrepreneurship
• Creates jobs
• Brings in Revenues (maybe, after many years)
CREATES RENEWABLE RESEARCH
www.research.uky.edu/otc
2 Whats New at the OTC?
(Everything)
www.research.uky.edu/otc
The OTC Can Be a Resource to the Research Process
Patent Office
Investment Bank
Law Firm Auditor
Teacher Bank
www.research.uky.edu/otc
Faculty Education and Patent Research Resources
OTC Faculty Education Program
1. Using Impactful Patent Literature
2. Understanding commercialization
pathways
Patent Research as a Service
1. Help identify relevant research through
patent landscape
2. Help identify white spaces in patent
landscape
3. Help identify relevant research
groups/companies
www.research.uky.edu/otc
The OTC is Making Disclosure Easier
Patent Office
Investment Bank
Law Firm Auditor
Teacher Bank
www.research.uky.edu/otc
New Invention Report Form
• http://www.research
.uky.edu/otc/
• Intellectual Property
Development
• Watch Videos
Please return this form to
the Office of Technology
Commercialization at
• Invention Report
Form
www.research.uky.edu/otc
The OTC is Taking the Evaluation of Invention Disclosures Seriously
Patent Office
Investment Bank
Law Firm Auditor
Teacher Bank
www.research.uky.edu/otc
Market Assessment
ResearchListen Discuss
www.research.uky.edu/otc
Investment bank approach to IP and market analysis
Competitive,
market
research
M&A
transactions
Product-
specific
analysis
Team
knowledge
and expertise
Gather Data From Sources
IP landscape
analysis
Synthesize and Communicate with Inventor
www.research.uky.edu/otc
The OTC is Implementing New Strategies to Protect Research IP
Patent Office
Investment Bank
Law Firm Auditor
Teacher Bank
www.research.uky.edu/otc
Intellectual Property Committee
• New in 2017
• 7 new IPC Members
• Dedicated IPC Member Review and Feedback
• Response within 90 days of Invention Disclosure
www.research.uky.edu/otc
Sophia – The OTC Invention Management System
www.research.uky.edu/otc
The OTC is Introducing a Proactive Approach to Go-to-Market
Patent Office
Investment Bank
Law Firm Auditor
Teacher Bank
www.research.uky.edu/otc
The Push: Target Partnering
StrategyIdentify Pitch
www.research.uky.edu/otc
The Pull: Externally Searchable Technologies
New Services to Cultivate Start-ups
• UKAccel Program
• Executive-in-Residence Roster
• Helping start-up licensees succeed
• Engaging Lexington’s entrepreneurship community
