Case 3:17-cv-00092-DJH Document 1 Filed 02/15/17 Page 1 of 16 PageID #: 1
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Exhibit A
Case 3:17-cv-00092-DJH Document 1-2 Filed 02/15/17 Page 2 of 25 PageID #: 19
Generated on: This page was generated by TSDR on 2017-02-14 15:35:22 EST Mark: FIREBALL
US Serial Number: 77760567 Application Filing Jun. 16, 2009 Date: US Registration 3734227 Registration Date: Jan. 05, 2010 Number: Filed as TEAS Yes Currently TEAS Yes Plus: Plus: Register: Principal Mark Type: Trademark Status: A Sections 8 and 15 combined declaration has been accepted and acknowledged. Status Date: Feb. 19, 2016 Publication Date: Oct. 20, 2009
Mark Information
Mark Literal FIREBALL Elements: Standard Character No Claim: Mark Drawing 3 - AN ILLUSTRATION DRAWING WHICH INCLUDES WORD(S)/ LETTER(S)/NUMBER(S) Type: Description of The mark consists of Fiery headed, long tailed creature spewing flames under the curved text "FIREBALL". Mark: Color(s) Claimed: Color is not claimed as a feature of the mark. Design Search 01.15.15 - Fire (flames), emanating from objects, words or numbers Code(s): 04.01.25 - Giants; Men, Wizards; Other supernatural, fictional or legendary characters; Paul Bunyan; Robin Hood; Sherlock Holmes; Witches; Wizards; Genies; Pied Piper Related Properties Information
Claimed Ownership 2847730, 2852432, 3550110 and others of US Registrations: Goods and Services
Note: The following symbols indicate that the registrant/owner has amended the goods/services:
Brackets [..] indicate deleted goods/services; Double parenthesis ((..)) identify any goods/services not claimed in a Section 15 affidavit of incontestability; and Asterisks *..* identify additional (new) wording in the goods/services.
For: Whiskey International 033 - Primary Class U.S Class(es): 047, 049 Class(es): Class Status: ACTIVE Basis: 1(a) Case 3:17-cv-00092-DJH Document 1-2 Filed 02/15/17 Page 3 of 25 PageID #: 20
First Use: Apr. 2007 Use in Commerce: Apr. 2007 Basis Information (Case Level)
Filed Use: Yes Currently Use: Yes Amended Use: No Filed ITU: No Currently ITU: No Amended ITU: No Filed 44D: No Currently 44D: No Amended 44D: No Filed 44E: No Currently 44E: No Amended 44E: No Filed 66A: No Currently 66A: No Filed No Basis: No Currently No Basis: No Current Owner(s) Information
Owner Name: SAZERAC BRANDS, LLC Owner Address: 10400 LINN STATION ROAD, SUITE 300 LOUISVILLE, KENTUCKY 40223 UNITED STATES Legal Entity Type: LIMITED LIABILITY COMPANY State or Country DELAWARE Where Organized: Attorney/Correspondence Information
Attorney of Record Attorney Name: Peter J. Willsey Docket Number: 304566-206 Attorney Primary [email protected] Attorney Email Yes Email Address: Authorized: Correspondent Correspondent Peter J. Willsey Name/Address: Cooley LLP 1299 Pennsylvania Avenue, NW, Suite 700 Washington, DISTRICT OF COLUMBIA 20004 UNITED STATES Phone: 202-842-7800 Fax: 202-842-7899 Correspondent e- [email protected] Correspondent e- Yes mail: mail Authorized: Domestic Representative - Not Found Prosecution History
Proceeding Date Description Number Jun. 14, 2016 COUNTERCLAIM OPP. NO. 999999 227653 Mar. 09, 2016 ASSIGNMENT OF OWNERSHIP NOT UPDATED AUTOMATICALLY Feb. 19, 2016 NOTICE OF ACCEPTANCE OF SEC. 8 & 15 - E-MAILED Feb. 19, 2016 REGISTERED - SEC. 8 (6-YR) ACCEPTED & SEC. 15 ACK. 70132 Feb. 18, 2016 CASE ASSIGNED TO POST REGISTRATION PARALEGAL 70132 Jan. 12, 2016 NOTICE OF SUIT Dec. 11, 2015 TEAS SECTION 8 & 15 RECEIVED Nov. 25, 2015 AUTOMATIC UPDATE OF ASSIGNMENT OF OWNERSHIP Sep. 20, 2013 NOTICE OF SUIT Sep. 09, 2013 TEAS CHANGE OF CORRESPONDENCE RECEIVED Mar. 14, 2012 COUNTERCLAIM OPP. NO. 999999 203424 Jan. 05, 2010 REGISTERED-PRINCIPAL REGISTER Oct. 20, 2009 OFFICIAL GAZETTE PUBLICATION CONFIRMATION E-MAILED Oct. 20, 2009 PUBLISHED FOR OPPOSITION Sep. 16, 2009 LAW OFFICE PUBLICATION REVIEW COMPLETED 65864 Sep. 16, 2009 APPROVED FOR PUB - PRINCIPAL REGISTER Sep. 16, 2009 ASSIGNED TO EXAMINER 68625 Aug. 06, 2009 APPLICANT/CORRESPONDENCE CHANGES (NON-RESPONSIVE) ENTERED 65864 Case 3:17-cv-00092-DJH Document 1-2 Filed 02/15/17 Page 4 of 25 PageID #: 21
Aug. 03, 2009 ASSIGNED TO LIE 65864 Jul. 21, 2009 PAPER RECEIVED Jun. 20, 2009 NOTICE OF DESIGN SEARCH CODE MAILED Jun. 19, 2009 NEW APPLICATION OFFICE SUPPLIED DATA ENTERED IN TRAM Jun. 19, 2009 NEW APPLICATION ENTERED IN TRAM Maintenance Filings or Post Registration Information
Affidavit of Section 8 - Accepted Continued Use: Affidavit of Section 15 - Accepted Incontestability: TM Staff and Location Information
TM Staff Information - None File Location Current Location: TMEG LAW OFFICE 108 Date in Location: Feb. 19, 2016 Assignment Abstract Of Title Information
Summary Total Assignments: 4 Registrant: Sazerac Company, Inc. Assignment 1 of 4 Conveyance: SECURITY INTEREST Reel/Frame: 4668/0165 Pages: 79 Date Recorded: Nov. 30, 2011 Supporting assignment-tm-4668-0165.pdf Documents: Assignor Name: SAZERAC COMPANY, INC. Execution Date: Nov. 18, 2011 Legal Entity Type: CORPORATION State or Country LOUISIANA Where Organized:
Name: MAJESTIC DISTILLING COMPANY, INC. Execution Date: Nov. 18, 2011 Legal Entity Type: CORPORATION State or Country MARYLAND Where Organized:
Name: SAZERAC NORTH AMERICA, INC. Execution Date: Nov. 18, 2011 Legal Entity Type: CORPORATION State or Country DELAWARE Where Organized:
Name: JAYBIRD SPIRITS CO., LLC Execution Date: Nov. 18, 2011 Legal Entity Type: CORPORATION State or Country DELAWARE Where Organized: Assignee Name: WELLS FARGO BANK, NATIONAL ASSOCIATION, AS ADMINISTRATIVE AGENT Legal Entity Type: NATIONAL BANKING ASSOCIATION State or Country UNITED STATES Where Organized: Address: 1525 WEST W.T. HARRIS BOULEVARD MAC D1109 019 CHARLOTTE, NORTH CAROLINA 28262 Correspondent Correspondent CHRISTIAN BROSE, ESQ./MCGUIREWOODS, LLP Name: Correspondent 201 NORTH TRYON STREET Address: CHARLOTTE, NC 28202 Domestic Representative - Not Found Assignment 2 of 4 Conveyance: NUNC PRO TUNC ASSIGNMENT EFFECTIVE 01/31/2015 Case 3:17-cv-00092-DJH Document 1-2 Filed 02/15/17 Page 5 of 25 PageID #: 22
Reel/Frame: 5666/0336 Pages: 29 Date Recorded: Nov. 11, 2015 Supporting assignment-tm-5666-0336.pdf Documents: Assignor Name: SAZERAC COMPANY, INC. Execution Date: Nov. 09, 2015 Legal Entity Type: CORPORATION State or Country LOUISIANA Where Organized: Assignee Name: SAZERAC BRANDS, LLC Legal Entity Type: LIMITED LIABILITY COMPANY State or Country DELAWARE Where Organized: Address: 10400 LINN STATION ROAD, SUITE 300 LOUISVILLE, KENTUCKY 40223 Correspondent Correspondent SUSAN P. CHRISTOFF, ESQ. COOLEY LLP Name: Correspondent 1299 PENNSYLVANIA AVENUE, NW, SUITE 700 Address: WASHINGTON, DC 20004 Domestic Representative - Not Found Assignment 3 of 4 Conveyance: TERMINATION AND RELEASE OF SECURITY INTEREST IN U.S. TRADEMARKS Reel/Frame: 5743/0651 Pages: 76 Date Recorded: Mar. 01, 2016 Supporting assignment-tm-5743-0651.pdf Documents: Assignor Name: WELLS FARGO BANK, NATIONAL Execution Date: Mar. 01, 2016 ASSOCIATION, AS ADMINISTRATIVE AGENT Legal Entity Type: NATIONAL BANKING ASSOCIATION State or Country UNITED STATES Where Organized: Assignee Name: SAZERAC COMPANY, INC. Legal Entity Type: CORPORATION State or Country LOUISIANA Where Organized: Address: 3850 NORTH CAUSEWAY BOULEVARD METAIRIE, LOUISIANA 70002
Name: MAJESTIC DISTILLING COMPANY, INC. Legal Entity Type: CORPORATION State or Country MARYLAND Where Organized: Address: 2200 MONUMENTAL AVE. BALTIMORE, MARYLAND 90749
Name: SAZERAC NORTH AMERICA, INC. Legal Entity Type: CORPORATION State or Country DELAWARE Where Organized: Address: 10401 LINN STATIN ROAD, SUITE 300 LOUISVILLE, KENTUCKY 40223
Name: JAYBIRD SPIRITS CO., LLC Legal Entity Type: CORPORATION State or Country DELAWARE Where Organized: Address: 10401 LINN STATION ROAD, SUITE 300 LOUISVILLE, KENTUCKY 40223 Correspondent Correspondent TERRY L. WITCHER, PARALEGAL Name: Correspondent MCGUIREWOODS LLP Case 3:17-cv-00092-DJH Document 1-2 Filed 02/15/17 Page 6 of 25 PageID #: 23
Address: 201 N. TRYON STREET, SUITE 3000 CHARLOTTE, NC 28202 Domestic Representative - Not Found Assignment 4 of 4 Conveyance: NOTICE AND CONFIRMATION OF GRANT OF SECURITY INTEREST IN TRADEMARKS Reel/Frame: 5744/0166 Pages: 44 Date Recorded: Mar. 02, 2016 Supporting assignment-tm-5744-0166.pdf Documents: Assignor Name: SAZERAC COMPANY, INC. Execution Date: Mar. 01, 2016 Legal Entity Type: CORPORATION State or Country LOUISIANA Where Organized:
Name: HERITAGE BRANDS, INC. Execution Date: Mar. 01, 2016 Legal Entity Type: CORPORATION State or Country KENTUCKY Where Organized: Assignee Name: WELLS FARGO BANK, NATIONAL ASSOCIATION, AS ADMINISTRATIVE AGENT Legal Entity Type: NATIONAL BANKING ASSOCIATION State or Country UNITED STATES Where Organized: Address: 1525 WEST W.T. HARRIS BLVD. MAC D1109-019 CHARLOTTE, NORTH CAROLINA 28262 Correspondent Correspondent TERRY L. WITCHER, PARALEGAL Name: Correspondent MCGUIREWOODS LLP Address: 201 N. TRYON STREET, SUITE 3000 CHARLOTTE, NC 28202 Domestic Representative - Not Found Case 3:17-cv-00092-DJH Document 1-2 Filed 02/15/17 Page 7 of 25 PageID #: 24
Generated on: This page was generated by TSDR on 2017-02-14 15:38:16 EST Mark:
US Serial Number: 86365796 Application Filing Aug. 13, 2014 Date: US Registration 4722849 Registration Date: Apr. 21, 2015 Number: Register: Principal Mark Type: Trademark Status: Registered. The registration date is used to determine when post-registration maintenance documents are due. Status Date: Apr. 21, 2015 Publication Date: Feb. 03, 2015
Mark Information
Mark Literal None Elements: Standard Character No Claim: Mark Drawing 2 - AN ILLUSTRATION DRAWING WITHOUT ANY WORDS(S)/ LETTER(S)/NUMBER(S) Type: Description of The mark consists of a fiery headed, long tailed creature spewing flames. Mark: Color(s) Claimed: Color is not claimed as a feature of the mark. Design Search 01.15.15 - Fire (flames), emanating from objects, words or numbers Code(s): 04.01.25 - Giants; Men, Wizards; Other supernatural, fictional or legendary characters; Paul Bunyan; Pied Piper; Sherlock Holmes; Witches; Wizards; Genies; Robin Hood 04.05.01 - Griffons; Dragons Related Properties Information
Claimed Ownership 3734227 of US Registrations: Goods and Services
Note: The following symbols indicate that the registrant/owner has amended the goods/services:
Brackets [..] indicate deleted goods/services; Double parenthesis ((..)) identify any goods/services not claimed in a Section 15 affidavit of incontestability; and Asterisks *..* identify additional (new) wording in the goods/services.
For: whisky and prepared cocktails consisting primarily of distilled spirits International 033 - Primary Class U.S Class(es): 047, 049 Class(es): Class Status: ACTIVE Basis: 1(a) First Use: Apr. 2007 Use in Commerce: Apr. 2007 Basis Information (Case Level) Case 3:17-cv-00092-DJH Document 1-2 Filed 02/15/17 Page 8 of 25 PageID #: 25
Filed Use: Yes Currently Use: Yes Amended Use: No Filed ITU: No Currently ITU: No Amended ITU: No Filed 44D: No Currently 44D: No Amended 44D: No Filed 44E: No Currently 44E: No Amended 44E: No Filed 66A: No Currently 66A: No Filed No Basis: No Currently No Basis: No Current Owner(s) Information
Owner Name: SAZERAC BRANDS, LLC Owner Address: 10400 LINN STATION ROAD, SUITE 300 LOUISVILLE, KENTUCKY 40223 UNITED STATES Legal Entity Type: LIMITED LIABILITY COMPANY State or Country DELAWARE Where Organized: Attorney/Correspondence Information
Attorney of Record Attorney Name: Todd S. Bontemps Docket Number: 304566-206 Attorney Primary [email protected] Attorney Email Yes Email Address: Authorized: Correspondent Correspondent TODD S. BONTEMPS Name/Address: COOLEY LLP 1299 PENNSYLVANIA AVE NW STE 700 WASHINGTON, DISTRICT OF COLUMBIA 20004-2431 UNITED STATES Phone: 6508435000 Fax: 6508497400 Correspondent e- [email protected] Correspondent e- Yes mail: mail Authorized: Domestic Representative - Not Found Prosecution History
Proceeding Date Description Number Mar. 09, 2016 ASSIGNMENT OF OWNERSHIP NOT UPDATED AUTOMATICALLY Nov. 25, 2015 AUTOMATIC UPDATE OF ASSIGNMENT OF OWNERSHIP Apr. 21, 2015 REGISTERED-PRINCIPAL REGISTER Feb. 03, 2015 OFFICIAL GAZETTE PUBLICATION CONFIRMATION E-MAILED Feb. 03, 2015 PUBLISHED FOR OPPOSITION Jan. 14, 2015 NOTIFICATION OF NOTICE OF PUBLICATION E-MAILED Dec. 27, 2014 LAW OFFICE PUBLICATION REVIEW COMPLETED 69712 Dec. 27, 2014 ASSIGNED TO LIE 69712 Dec. 09, 2014 APPROVED FOR PUB - PRINCIPAL REGISTER Dec. 04, 2014 TEAS/EMAIL CORRESPONDENCE ENTERED 88889 Dec. 03, 2014 CORRESPONDENCE RECEIVED IN LAW OFFICE 88889 Dec. 03, 2014 TEAS RESPONSE TO OFFICE ACTION RECEIVED Nov. 21, 2014 NOTIFICATION OF NON-FINAL ACTION E-MAILED 6325 Nov. 21, 2014 NON-FINAL ACTION E-MAILED 6325 Nov. 21, 2014 NON-FINAL ACTION WRITTEN 69225 Nov. 18, 2014 ASSIGNED TO EXAMINER 69225 Aug. 23, 2014 NOTICE OF DESIGN SEARCH CODE E-MAILED Aug. 22, 2014 NEW APPLICATION OFFICE SUPPLIED DATA ENTERED IN TRAM Aug. 16, 2014 NEW APPLICATION ENTERED IN TRAM TM Staff and Location Information Case 3:17-cv-00092-DJH Document 1-2 Filed 02/15/17 Page 9 of 25 PageID #: 26
TM Staff Information - None File Location Current Location: PUBLICATION AND ISSUE SECTION Date in Location: Apr. 21, 2015 Assignment Abstract Of Title Information
Summary Total Assignments: 2 Registrant: Sazerac Company, Inc. Assignment 1 of 2 Conveyance: NUNC PRO TUNC ASSIGNMENT EFFECTIVE 01/31/2015 Reel/Frame: 5666/0336 Pages: 29 Date Recorded: Nov. 11, 2015 Supporting assignment-tm-5666-0336.pdf Documents: Assignor Name: SAZERAC COMPANY, INC. Execution Date: Nov. 09, 2015 Legal Entity Type: CORPORATION State or Country LOUISIANA Where Organized: Assignee Name: SAZERAC BRANDS, LLC Legal Entity Type: LIMITED LIABILITY COMPANY State or Country DELAWARE Where Organized: Address: 10400 LINN STATION ROAD, SUITE 300 LOUISVILLE, KENTUCKY 40223 Correspondent Correspondent SUSAN P. CHRISTOFF, ESQ. COOLEY LLP Name: Correspondent 1299 PENNSYLVANIA AVENUE, NW, SUITE 700 Address: WASHINGTON, DC 20004 Domestic Representative - Not Found Assignment 2 of 2 Conveyance: NOTICE AND CONFIRMATION OF GRANT OF SECURITY INTEREST IN TRADEMARKS Reel/Frame: 5744/0166 Pages: 44 Date Recorded: Mar. 02, 2016 Supporting assignment-tm-5744-0166.pdf Documents: Assignor Name: SAZERAC COMPANY, INC. Execution Date: Mar. 01, 2016 Legal Entity Type: CORPORATION State or Country LOUISIANA Where Organized:
Name: HERITAGE BRANDS, INC. Execution Date: Mar. 01, 2016 Legal Entity Type: CORPORATION State or Country KENTUCKY Where Organized: Assignee Name: WELLS FARGO BANK, NATIONAL ASSOCIATION, AS ADMINISTRATIVE AGENT Legal Entity Type: NATIONAL BANKING ASSOCIATION State or Country UNITED STATES Where Organized: Address: 1525 WEST W.T. HARRIS BLVD. MAC D1109-019 CHARLOTTE, NORTH CAROLINA 28262 Correspondent Correspondent TERRY L. WITCHER, PARALEGAL Name: Correspondent MCGUIREWOODS LLP Address: 201 N. TRYON STREET, SUITE 3000 CHARLOTTE, NC 28202 Case 3:17-cv-00092-DJH Document 1-2 Filed 02/15/17 Page 10 of 25 PageID #: 27
Domestic Representative - Not Found Case 3:17-cv-00092-DJH Document 1-2 Filed 02/15/17 Page 11 of 25 PageID #: 28
Generated on: This page was generated by TSDR on 2017-02-14 15:37:27 EST Mark:
US Serial Number: 86364457 Application Filing Aug. 12, 2014 Date: US Registration 4742577 Registration Date: May 26, 2015 Number: Register: Principal Mark Type: Trademark Status: Registered. The registration date is used to determine when post-registration maintenance documents are due. Status Date: May 26, 2015 Publication Date: Mar. 10, 2015
Mark Information
Mark Literal None Elements: Standard Character No Claim: Mark Drawing 2 - AN ILLUSTRATION DRAWING WITHOUT ANY WORDS(S)/ LETTER(S)/NUMBER(S) Type: Description of The mark consists of a red fiery headed, long tailed dragon-man creature spewing flames. Mark: Color Drawing: Yes Color(s) Claimed: The color(s) red is/are claimed as a feature of the mark. Design Search 01.15.15 - Fire (flames), emanating from objects, words or numbers Code(s): 04.01.25 - Giants; Men, Wizards; Other supernatural, fictional or legendary characters; Paul Bunyan; Pied Piper; Sherlock Holmes; Witches; Wizards; Genies; Robin Hood 04.05.01 - Griffons; Dragons 29.02.01 - Red or pink (single color used for the entire goods/services) Related Properties Information
Claimed Ownership 3734227 of US Registrations: Goods and Services
Note: The following symbols indicate that the registrant/owner has amended the goods/services:
Brackets [..] indicate deleted goods/services; Double parenthesis ((..)) identify any goods/services not claimed in a Section 15 affidavit of incontestability; and Asterisks *..* identify additional (new) wording in the goods/services.
For: whisky and prepared cocktails consisting primarily of distilled spirits International 033 - Primary Class U.S Class(es): 047, 049 Class(es): Class Status: ACTIVE Basis: 1(a) First Use: Apr. 2007 Use in Commerce: Apr. 2007 Case 3:17-cv-00092-DJH Document 1-2 Filed 02/15/17 Page 12 of 25 PageID #: 29
Basis Information (Case Level)
Filed Use: Yes Currently Use: Yes Amended Use: No Filed ITU: No Currently ITU: No Amended ITU: No Filed 44D: No Currently 44D: No Amended 44D: No Filed 44E: No Currently 44E: No Amended 44E: No Filed 66A: No Currently 66A: No Filed No Basis: No Currently No Basis: No Current Owner(s) Information
Owner Name: SAZERAC BRANDS, LLC Owner Address: 10400 LINN STATION ROAD, SUITE 300 LOUISVILLE, KENTUCKY 40223 UNITED STATES Legal Entity Type: LIMITED LIABILITY COMPANY State or Country DELAWARE Where Organized: Attorney/Correspondence Information
Attorney of Record Attorney Name: Todd S. Bontemps Docket Number: 304566-206 Attorney Primary [email protected] Attorney Email Yes Email Address: Authorized: Correspondent Correspondent TODD S. BONTEMPS Name/Address: Cooley Llp 1299 Pennsylvania Ave NW Ste 700 Washington, DISTRICT OF COLUMBIA 20004-2431 UNITED STATES Phone: 6508435000 Fax: 6508497400 Correspondent e- [email protected] Correspondent e- Yes mail: mail Authorized: Domestic Representative - Not Found Prosecution History
Proceeding Date Description Number Mar. 09, 2016 ASSIGNMENT OF OWNERSHIP NOT UPDATED AUTOMATICALLY Nov. 25, 2015 AUTOMATIC UPDATE OF ASSIGNMENT OF OWNERSHIP May 26, 2015 REGISTERED-PRINCIPAL REGISTER Mar. 10, 2015 OFFICIAL GAZETTE PUBLICATION CONFIRMATION E-MAILED Mar. 10, 2015 PUBLISHED FOR OPPOSITION Feb. 18, 2015 NOTIFICATION OF NOTICE OF PUBLICATION E-MAILED Jan. 30, 2015 LAW OFFICE PUBLICATION REVIEW COMPLETED 77312 Jan. 30, 2015 ASSIGNED TO LIE 77312 Jan. 09, 2015 APPROVED FOR PUB - PRINCIPAL REGISTER Dec. 25, 2014 TEAS/EMAIL CORRESPONDENCE ENTERED 88889 Dec. 24, 2014 CORRESPONDENCE RECEIVED IN LAW OFFICE 88889 Dec. 24, 2014 TEAS RESPONSE TO OFFICE ACTION RECEIVED Nov. 21, 2014 NOTIFICATION OF NON-FINAL ACTION E-MAILED 6325 Nov. 21, 2014 NON-FINAL ACTION E-MAILED 6325 Nov. 21, 2014 NON-FINAL ACTION WRITTEN 69225 Nov. 18, 2014 ASSIGNED TO EXAMINER 69225 Aug. 22, 2014 NOTICE OF DESIGN SEARCH CODE E-MAILED Aug. 21, 2014 NEW APPLICATION OFFICE SUPPLIED DATA ENTERED IN TRAM Aug. 15, 2014 NEW APPLICATION ENTERED IN TRAM Case 3:17-cv-00092-DJH Document 1-2 Filed 02/15/17 Page 13 of 25 PageID #: 30
TM Staff and Location Information
TM Staff Information - None File Location Current Location: PUBLICATION AND ISSUE SECTION Date in Location: May 26, 2015 Assignment Abstract Of Title Information
Summary Total Assignments: 2 Registrant: Sazerac Company, Inc. Assignment 1 of 2 Conveyance: NUNC PRO TUNC ASSIGNMENT EFFECTIVE 01/31/2015 Reel/Frame: 5666/0336 Pages: 29 Date Recorded: Nov. 11, 2015 Supporting assignment-tm-5666-0336.pdf Documents: Assignor Name: SAZERAC COMPANY, INC. Execution Date: Nov. 09, 2015 Legal Entity Type: CORPORATION State or Country LOUISIANA Where Organized: Assignee Name: SAZERAC BRANDS, LLC Legal Entity Type: LIMITED LIABILITY COMPANY State or Country DELAWARE Where Organized: Address: 10400 LINN STATION ROAD, SUITE 300 LOUISVILLE, KENTUCKY 40223 Correspondent Correspondent SUSAN P. CHRISTOFF, ESQ. COOLEY LLP Name: Correspondent 1299 PENNSYLVANIA AVENUE, NW, SUITE 700 Address: WASHINGTON, DC 20004 Domestic Representative - Not Found Assignment 2 of 2 Conveyance: NOTICE AND CONFIRMATION OF GRANT OF SECURITY INTEREST IN TRADEMARKS Reel/Frame: 5744/0166 Pages: 44 Date Recorded: Mar. 02, 2016 Supporting assignment-tm-5744-0166.pdf Documents: Assignor Name: SAZERAC COMPANY, INC. Execution Date: Mar. 01, 2016 Legal Entity Type: CORPORATION State or Country LOUISIANA Where Organized:
Name: HERITAGE BRANDS, INC. Execution Date: Mar. 01, 2016 Legal Entity Type: CORPORATION State or Country KENTUCKY Where Organized: Assignee Name: WELLS FARGO BANK, NATIONAL ASSOCIATION, AS ADMINISTRATIVE AGENT Legal Entity Type: NATIONAL BANKING ASSOCIATION State or Country UNITED STATES Where Organized: Address: 1525 WEST W.T. HARRIS BLVD. MAC D1109-019 CHARLOTTE, NORTH CAROLINA 28262 Correspondent Correspondent TERRY L. WITCHER, PARALEGAL Name: Case 3:17-cv-00092-DJH Document 1-2 Filed 02/15/17 Page 14 of 25 PageID #: 31
Correspondent MCGUIREWOODS LLP Address: 201 N. TRYON STREET, SUITE 3000 CHARLOTTE, NC 28202 Domestic Representative - Not Found Case 3:17-cv-00092-DJH Document 1-2 Filed 02/15/17 Page 15 of 25 PageID #: 32
Generated on: This page was generated by TSDR on 2017-02-14 15:34:17 EST Mark: FIREBALL
US Serial Number: 76337349 Application Filing Nov. 14, 2001 Date: US Registration 2852432 Registration Date: Jun. 15, 2004 Number: Register: Principal Mark Type: Trademark Status: The registration has been renewed. Status Date: Jun. 05, 2014 Publication Date: Mar. 23, 2004
Mark Information
Mark Literal FIREBALL Elements: Standard Character No Claim: Mark Drawing 1 - TYPESET WORD(S) /LETTER(S) /NUMBER(S) Type: Goods and Services
Note: The following symbols indicate that the registrant/owner has amended the goods/services:
Brackets [..] indicate deleted goods/services; Double parenthesis ((..)) identify any goods/services not claimed in a Section 15 affidavit of incontestability; and Asterisks *..* identify additional (new) wording in the goods/services.
For: LIQUEURS International 033 - Primary Class U.S Class(es): 047, 049 Class(es): Class Status: ACTIVE Basis: 1(a) First Use: Sep. 1988 Use in Commerce: Sep. 1988 Basis Information (Case Level)
Filed Use: Yes Currently Use: Yes Amended Use: No Filed ITU: No Currently ITU: No Amended ITU: No Filed 44D: No Currently 44D: No Amended 44D: No Filed 44E: No Currently 44E: No Amended 44E: No Filed 66A: No Currently 66A: No Filed No Basis: No Currently No Basis: No Current Owner(s) Information
Owner Name: SAZERAC BRANDS, LLC Owner Address: 10400 LINN STATION ROAD, SUITE 300 LOUISVILLE, KENTUCKY 40223 UNITED STATES Legal Entity Type: LIMITED LIABILITY COMPANY State or Country DELAWARE Where Organized: Case 3:17-cv-00092-DJH Document 1-2 Filed 02/15/17 Page 16 of 25 PageID #: 33
Attorney/Correspondence Information
Attorney of Record Attorney Name: Todd S. Bontemps Docket Number: 304566-206 Attorney Primary [email protected] Attorney Email Yes Email Address: Authorized: Correspondent Correspondent Todd S. Bontemps Name/Address: COOLEY LLP 1299 Pennsylvania Ave., NW, Suite 700 Washington, DISTRICT OF COLUMBIA 20004-2400 UNITED STATES Phone: (650) 843-5000 Fax: (650) 849-7400 Correspondent e- [email protected] Correspondent e- Yes mail: mail Authorized: Domestic Representative - Not Found Prosecution History
Proceeding Date Description Number Jun. 14, 2016 COUNTERCLAIM OPP. NO. 999999 227653 Mar. 09, 2016 ASSIGNMENT OF OWNERSHIP NOT UPDATED AUTOMATICALLY Jan. 14, 2016 COUNTERCLAIM OPP. NO. 999999 224932 Jan. 12, 2016 NOTICE OF SUIT Nov. 25, 2015 AUTOMATIC UPDATE OF ASSIGNMENT OF OWNERSHIP Jun. 05, 2014 NOTICE OF ACCEPTANCE OF SEC. 8 & 9 - E-MAILED Jun. 05, 2014 REGISTERED AND RENEWED (FIRST RENEWAL - 10 YRS) 69471 Jun. 05, 2014 REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED 69471 Jun. 04, 2014 REGISTERED - COMBINED SECTION 8 (10-YR) & SEC. 9 FILED 69471 Jun. 04, 2014 TEAS SECTION 8 & 9 RECEIVED Sep. 20, 2013 NOTICE OF SUIT Sep. 09, 2013 TEAS CHANGE OF CORRESPONDENCE RECEIVED May 07, 2012 NOTICE OF SUIT Mar. 14, 2012 COUNTERCLAIM OPP. NO. 999999 203424 Dec. 07, 2011 ASSIGNMENT OF OWNERSHIP NOT UPDATED AUTOMATICALLY Sep. 04, 2009 REGISTERED - SEC. 8 (6-YR) ACCEPTED & SEC. 15 ACK. 69471 Aug. 10, 2009 ASSIGNED TO PARALEGAL 69471 Aug. 05, 2009 TEAS SECTION 8 & 15 RECEIVED May 20, 2009 ASSIGNMENT OF OWNERSHIP NOT UPDATED AUTOMATICALLY Oct. 07, 2005 ATTORNEY REVOKED AND/OR APPOINTED Oct. 07, 2005 TEAS REVOKE/APPOINT ATTORNEY RECEIVED Jun. 15, 2004 REGISTERED-PRINCIPAL REGISTER Mar. 23, 2004 PUBLISHED FOR OPPOSITION Mar. 03, 2004 NOTICE OF PUBLICATION Jan. 13, 2004 APPROVED FOR PUB - PRINCIPAL REGISTER Nov. 21, 2003 CORRESPONDENCE RECEIVED IN LAW OFFICE Dec. 18, 2003 CASE FILE IN TICRS Nov. 21, 2003 PAPER RECEIVED Sep. 12, 2003 UNRESPONSIVE/DUPLICATE PAPER RECEIVED Sep. 12, 2003 TEAS CHANGE OF CORRESPONDENCE RECEIVED Jun. 12, 2003 PAPER RECEIVED Jul. 08, 2003 LETTER OF SUSPENSION MAILED Jun. 09, 2003 PAPER RECEIVED Jun. 12, 2003 CORRESPONDENCE RECEIVED IN LAW OFFICE May 09, 2003 CORRESPONDENCE RECEIVED IN LAW OFFICE Apr. 01, 2003 PAPER RECEIVED Case 3:17-cv-00092-DJH Document 1-2 Filed 02/15/17 Page 17 of 25 PageID #: 34
Dec. 16, 2002 LETTER OF SUSPENSION MAILED Dec. 12, 2002 ASSIGNED TO EXAMINER 67512 Feb. 04, 2002 NON-FINAL ACTION MAILED Feb. 01, 2002 ASSIGNED TO EXAMINER 67512 Maintenance Filings or Post Registration Information
Affidavit of Section 8 - Accepted Continued Use: Affidavit of Section 15 - Accepted Incontestability: Renewal Date: Jun. 15, 2014 TM Staff and Location Information
TM Staff Information - None File Location Current Location: GENERIC WEB UPDATE Date in Location: Jun. 05, 2014 Assignment Abstract Of Title Information
Summary Total Assignments: 9 Registrant: SAZERAC COMPANY, INC. Assignment 1 of 9 Conveyance: ASSIGNS THE ENTIRE INTEREST Reel/Frame: 2591/0593 Pages: 3 Date Recorded: Sep. 25, 2002 Supporting assignment-tm-2591-0593.pdf Documents: Assignor Name: ANICOM, INC. Execution Date: Aug. 19, 2002 Legal Entity Type: CORPORATION State or Country LOUISIANA Where Organized: Assignee Name: SAZERAC COMPANY, INC. Legal Entity Type: CORPORATION State or Country LOUISIANA Where Organized: Address: 803 JEFFERSON HIGHWAY NEW ORLEANS, LOUISIANA 70152 Correspondent Correspondent BANNER & WITCOFF, LTD. Name: Correspondent JAMES V. CALLAHAN Address: 10 SOUTH WACKER DRIVE CHICAGO, IL 60606 Domestic Representative - Not Found Assignment 2 of 9 Conveyance: CORRECTED RECORDATION FORM COVER SHEET TO CORRECT ASSIGNOR'S NAME, PREVIOUSLY RECORDED AT REEL/FRAME 002591/0593 (ASSIGNS THE ENTIRE INTEREST AND GOODWILL) Reel/Frame: 2715/0392 Pages: 3 Date Recorded: Sep. 12, 2003 Supporting assignment-tm-2715-0392.pdf Documents: Assignor Name: MOHAWK DISTILLED PRODUCTS, L.P. Execution Date: Aug. 19, 2002 Legal Entity Type: LIMITED PARTNERSHIP State or Country No Place Where Organized Found Where Organized: Assignee Case 3:17-cv-00092-DJH Document 1-2 Filed 02/15/17 Page 18 of 25 PageID #: 35
Name: SAZERAC COMPANY, INC. Legal Entity Type: CORPORATION State or Country LOUISIANA Where Organized: Address: 803 JEFFERSON HIGHWAY NEW ORLEANS, LOUISIANA 70152 Correspondent Correspondent BANNER & WITCOFF, LTD. Name: Correspondent JAMES V. CALLAHAN Address: SUITE 3000 TEN SOUTH WACKER DRIVE CHICAGO, IL 60606 Domestic Representative - Not Found Assignment 3 of 9 Conveyance: CORRECTIVE ASSIGNMENT TO CORRECT THE NAME OF THE ASSIGNOR. DOCUMENT PREVIOUSLY RECORDED AT REEL 002591 FRAME 0593. Reel/Frame: 2753/0733 Pages: 3 Date Recorded: Jun. 06, 2003 Supporting assignment-tm-2753-0733.pdf Documents: Assignor Name: MOHAWK DISTILLED PRODUCTS, L.P. Execution Date: Aug. 19, 2002 Legal Entity Type: LIMITED PARTNERSHIP State or Country No Place Where Organized Found Where Organized: Assignee Name: SAZERAC COMPANY, INC. Legal Entity Type: CORPORATION State or Country LOUISIANA Where Organized: Address: 803 JEFFERSON HIGHWAY NEW ORLEANS, LOUISIANA 70152 Correspondent Correspondent BANNER & WITCOFF, LTD. Name: Correspondent JAMES V. CALLAHAN Address: TEN SOUTH WACKER DRIVE SUITE 3000 CHICAGO, IL 60606 Domestic Representative - Not Found Assignment 4 of 9 Conveyance: SECURITY AGREEMENT Reel/Frame: 3988/0971 Pages: 15 Date Recorded: May 13, 2009 Supporting assignment-tm-3988-0971.pdf Documents: Assignor Name: SAZERAC COMPANY, INC. Execution Date: Mar. 24, 2009 Legal Entity Type: CORPORATION State or Country LOUISIANA Where Organized:
Name: BUFFALO TRACE DISTILLERY, INC. Execution Date: Mar. 24, 2009 Legal Entity Type: CORPORATION State or Country KENTUCKY Where Organized: Assignee Name: CAPITAL ONE, NATIONAL ASSOCIATION Legal Entity Type: BANK State or Country UNITED STATES Where Organized: Address: 201 ST. CHARLES AVE., 29TH FLOOR NEW ORLEANS, LOUISIANA 70112 Case 3:17-cv-00092-DJH Document 1-2 Filed 02/15/17 Page 19 of 25 PageID #: 36
Correspondent Correspondent PHILIP DEV. CLAVERIE, SR. Name: Correspondent C/O PHELPS DUNBAR, L.L.P. Address: 365 CANAL STREET, SUITE 2000 NEW ORLEANS, LOUISIANA 70130 Domestic Representative - Not Found Assignment 5 of 9 Conveyance: SECURITY INTEREST Reel/Frame: 4668/0165 Pages: 79 Date Recorded: Nov. 30, 2011 Supporting assignment-tm-4668-0165.pdf Documents: Assignor Name: SAZERAC COMPANY, INC. Execution Date: Nov. 18, 2011 Legal Entity Type: CORPORATION State or Country LOUISIANA Where Organized:
Name: MAJESTIC DISTILLING COMPANY, INC. Execution Date: Nov. 18, 2011 Legal Entity Type: CORPORATION State or Country MARYLAND Where Organized:
Name: SAZERAC NORTH AMERICA, INC. Execution Date: Nov. 18, 2011 Legal Entity Type: CORPORATION State or Country DELAWARE Where Organized:
Name: JAYBIRD SPIRITS CO., LLC Execution Date: Nov. 18, 2011 Legal Entity Type: CORPORATION State or Country DELAWARE Where Organized: Assignee Name: WELLS FARGO BANK, NATIONAL ASSOCIATION, AS ADMINISTRATIVE AGENT Legal Entity Type: NATIONAL BANKING ASSOCIATION State or Country UNITED STATES Where Organized: Address: 1525 WEST W.T. HARRIS BOULEVARD MAC D1109 019 CHARLOTTE, NORTH CAROLINA 28262 Correspondent Correspondent CHRISTIAN BROSE, ESQ./MCGUIREWOODS, LLP Name: Correspondent 201 NORTH TRYON STREET Address: CHARLOTTE, NC 28202 Domestic Representative - Not Found Assignment 6 of 9 Conveyance: TERMINATION OF SECURITY INTEREST (R3988-F0971) Reel/Frame: 4668/0244 Pages: 12 Date Recorded: Nov. 30, 2011 Supporting assignment-tm-4668-0244.pdf Documents: Assignor Name: CAPITAL ONE, NATIONAL ASSOCIATION, AS Execution Date: Nov. 18, 2011 ADMINISTRATIVE AGENT Legal Entity Type: NATIONAL BANKING ASSOCIATION State or Country No Place Where Organized Found Where Organized: Assignee Name: SAZERAC COMPANY, INC. Legal Entity Type: CORPORATION State or Country LOUISIANA Where Organized: Address: 3850 NORTH CAUSEWAY BOULEVARD METAIRIE, LOUISIANA 70002 Case 3:17-cv-00092-DJH Document 1-2 Filed 02/15/17 Page 20 of 25 PageID #: 37
Name: BUFFALO TRACE DISTILLERY, INC. Legal Entity Type: CORPORATION State or Country KENTUCKY Where Organized: Address: 113 GREAT BUFFALO TRACE FRANKFORT, KENTUCKY 40601 Correspondent Correspondent CHRISTIAN BROSE, ESQ./MCGUIREWOODS, LLP Name: Correspondent 201 NORTH TRYON STREET Address: CHARLOTTE, NC 28202 Domestic Representative - Not Found Assignment 7 of 9 Conveyance: NUNC PRO TUNC ASSIGNMENT EFFECTIVE 01/31/2015 Reel/Frame: 5666/0336 Pages: 29 Date Recorded: Nov. 11, 2015 Supporting assignment-tm-5666-0336.pdf Documents: Assignor Name: SAZERAC COMPANY, INC. Execution Date: Nov. 09, 2015 Legal Entity Type: CORPORATION State or Country LOUISIANA Where Organized: Assignee Name: SAZERAC BRANDS, LLC Legal Entity Type: LIMITED LIABILITY COMPANY State or Country DELAWARE Where Organized: Address: 10400 LINN STATION ROAD, SUITE 300 LOUISVILLE, KENTUCKY 40223 Correspondent Correspondent SUSAN P. CHRISTOFF, ESQ. COOLEY LLP Name: Correspondent 1299 PENNSYLVANIA AVENUE, NW, SUITE 700 Address: WASHINGTON, DC 20004 Domestic Representative - Not Found Assignment 8 of 9 Conveyance: TERMINATION AND RELEASE OF SECURITY INTEREST IN U.S. TRADEMARKS Reel/Frame: 5743/0651 Pages: 76 Date Recorded: Mar. 01, 2016 Supporting assignment-tm-5743-0651.pdf Documents: Assignor Name: WELLS FARGO BANK, NATIONAL Execution Date: Mar. 01, 2016 ASSOCIATION, AS ADMINISTRATIVE AGENT Legal Entity Type: NATIONAL BANKING ASSOCIATION State or Country UNITED STATES Where Organized: Assignee Name: SAZERAC COMPANY, INC. Legal Entity Type: CORPORATION State or Country LOUISIANA Where Organized: Address: 3850 NORTH CAUSEWAY BOULEVARD METAIRIE, LOUISIANA 70002
Name: MAJESTIC DISTILLING COMPANY, INC. Legal Entity Type: CORPORATION State or Country MARYLAND Where Organized: Address: 2200 MONUMENTAL AVE. BALTIMORE, MARYLAND 90749
Name: SAZERAC NORTH AMERICA, INC. Case 3:17-cv-00092-DJH Document 1-2 Filed 02/15/17 Page 21 of 25 PageID #: 38
Legal Entity Type: CORPORATION State or Country DELAWARE Where Organized: Address: 10401 LINN STATIN ROAD, SUITE 300 LOUISVILLE, KENTUCKY 40223
Name: JAYBIRD SPIRITS CO., LLC Legal Entity Type: CORPORATION State or Country DELAWARE Where Organized: Address: 10401 LINN STATION ROAD, SUITE 300 LOUISVILLE, KENTUCKY 40223 Correspondent Correspondent TERRY L. WITCHER, PARALEGAL Name: Correspondent MCGUIREWOODS LLP Address: 201 N. TRYON STREET, SUITE 3000 CHARLOTTE, NC 28202 Domestic Representative - Not Found Assignment 9 of 9 Conveyance: NOTICE AND CONFIRMATION OF GRANT OF SECURITY INTEREST IN TRADEMARKS Reel/Frame: 5744/0166 Pages: 44 Date Recorded: Mar. 02, 2016 Supporting assignment-tm-5744-0166.pdf Documents: Assignor Name: SAZERAC COMPANY, INC. Execution Date: Mar. 01, 2016 Legal Entity Type: CORPORATION State or Country LOUISIANA Where Organized:
Name: HERITAGE BRANDS, INC. Execution Date: Mar. 01, 2016 Legal Entity Type: CORPORATION State or Country KENTUCKY Where Organized: Assignee Name: WELLS FARGO BANK, NATIONAL ASSOCIATION, AS ADMINISTRATIVE AGENT Legal Entity Type: NATIONAL BANKING ASSOCIATION State or Country UNITED STATES Where Organized: Address: 1525 WEST W.T. HARRIS BLVD. MAC D1109-019 CHARLOTTE, NORTH CAROLINA 28262 Correspondent Correspondent TERRY L. WITCHER, PARALEGAL Name: Correspondent MCGUIREWOODS LLP Address: 201 N. TRYON STREET, SUITE 3000 CHARLOTTE, NC 28202 Domestic Representative - Not Found Case 3:17-cv-00092-DJH Document 1-2 Filed 02/15/17 Page 22 of 25 PageID #: 39
Generated on: This page was generated by TSDR on 2017-02-14 15:36:31 EST Mark:
US Serial Number: 85677878 Application Filing Jul. 16, 2012 Date: US Registration 4275843 Registration Date: Jan. 15, 2013 Number: Register: Principal Mark Type: Trademark Status: Registered. The registration date is used to determine when post-registration maintenance documents are due. Status Date: Jan. 15, 2013 Publication Date: Oct. 30, 2012
Mark Information
Mark Literal None Elements: Standard Character No Claim: Mark Drawing 2 - AN ILLUSTRATION DRAWING WITHOUT ANY WORDS(S)/ LETTER(S)/NUMBER(S) Type: Description of The mark consists of an image of a fireball. Mark: Color(s) Claimed: Color is not claimed as a feature of the mark. Design Search 01.15.03 - Flames, other than flames emanating from objects, words, numbers, fireplaces or candles; Fire (flames), other than Code(s): emanating from objects, words, numbers, fireplaces or candles Related Properties Information
Claimed Ownership 3734227 of US Registrations: Goods and Services
Note: The following symbols indicate that the registrant/owner has amended the goods/services:
Brackets [..] indicate deleted goods/services; Double parenthesis ((..)) identify any goods/services not claimed in a Section 15 affidavit of incontestability; and Asterisks *..* identify additional (new) wording in the goods/services.
For: whisky International 033 - Primary Class U.S Class(es): 047, 049 Class(es): Class Status: ACTIVE Basis: 1(a) First Use: Apr. 2007 Use in Commerce: Apr. 2007 Basis Information (Case Level)
Filed Use: Yes Currently Use: Yes Amended Use: No Filed ITU: No Currently ITU: No Amended ITU: No Filed 44D: No Currently 44D: No Amended 44D: No Case 3:17-cv-00092-DJH Document 1-2 Filed 02/15/17 Page 23 of 25 PageID #: 40
Filed 44E: No Currently 44E: No Amended 44E: No Filed 66A: No Currently 66A: No Filed No Basis: No Currently No Basis: No Current Owner(s) Information
Owner Name: SAZERAC BRANDS, LLC Owner Address: 10400 LINN STATION ROAD, SUITE 300 LOUISVILLE, KENTUCKY 40223 UNITED STATES Legal Entity Type: LIMITED LIABILITY COMPANY State or Country DELAWARE Where Organized: Attorney/Correspondence Information
Attorney of Record Attorney Name: JOHN PAUL OLEKSIUK Docket Number: 304566-206 Attorney Primary [email protected] Attorney Email No Email Address: Authorized: Correspondent Correspondent JOHN PSUL OLRKSIUK Name/Address: COOLEY LLP 1299 PENNSYLVANIA AVENUE, NW SUITE 700 WASHINGTON, DISTRICT OF COLUMBIA 20004 UNITED STATES Phone: 650 843 5000 Fax: 650 849 7400 Correspondent e- [email protected] Correspondent e- Yes mail: mail Authorized: Domestic Representative - Not Found Prosecution History
Proceeding Date Description Number Mar. 09, 2016 ASSIGNMENT OF OWNERSHIP NOT UPDATED AUTOMATICALLY Nov. 25, 2015 AUTOMATIC UPDATE OF ASSIGNMENT OF OWNERSHIP Feb. 12, 2013 CERTIFICATE OF CORRECTION ISSUED 59136 Feb. 12, 2013 CASE ASSIGNED TO POST REGISTRATION PARALEGAL 59136 Feb. 05, 2013 TEAS SECTION 7 REQUEST RECEIVED Jan. 24, 2013 ASSIGNED TO PETITION STAFF 65294 Jan. 15, 2013 REGISTERED-PRINCIPAL REGISTER Jan. 08, 2013 TEAS CHANGE OF CORRESPONDENCE RECEIVED Jan. 09, 2013 TEAS POST PUBLICATION AMENDMENT RECEIVED 1111 Oct. 30, 2012 OFFICIAL GAZETTE PUBLICATION CONFIRMATION E-MAILED Oct. 30, 2012 PUBLISHED FOR OPPOSITION Oct. 10, 2012 NOTIFICATION OF NOTICE OF PUBLICATION E-MAILED Sep. 22, 2012 APPROVED FOR PUB - PRINCIPAL REGISTER Sep. 21, 2012 ASSIGNED TO EXAMINER 76153 Jul. 24, 2012 NOTICE OF DESIGN SEARCH CODE MAILED Jul. 23, 2012 NEW APPLICATION OFFICE SUPPLIED DATA ENTERED IN TRAM Jul. 19, 2012 NEW APPLICATION ENTERED IN TRAM Maintenance Filings or Post Registration Information
Change in Yes Registration: Correction made to In the statement, line 4, "WHISKEY" should be deleted, and "WHISKY" should be inserted. Registration: Case 3:17-cv-00092-DJH Document 1-2 Filed 02/15/17 Page 24 of 25 PageID #: 41
TM Staff and Location Information
TM Staff Information - None File Location Current Location: POST REGISTRATION Date in Location: Mar. 21, 2013 Assignment Abstract Of Title Information
Summary Total Assignments: 2 Registrant: Sazerac Company, Inc. Assignment 1 of 2 Conveyance: NUNC PRO TUNC ASSIGNMENT EFFECTIVE 01/31/2015 Reel/Frame: 5666/0336 Pages: 29 Date Recorded: Nov. 11, 2015 Supporting assignment-tm-5666-0336.pdf Documents: Assignor Name: SAZERAC COMPANY, INC. Execution Date: Nov. 09, 2015 Legal Entity Type: CORPORATION State or Country LOUISIANA Where Organized: Assignee Name: SAZERAC BRANDS, LLC Legal Entity Type: LIMITED LIABILITY COMPANY State or Country DELAWARE Where Organized: Address: 10400 LINN STATION ROAD, SUITE 300 LOUISVILLE, KENTUCKY 40223 Correspondent Correspondent SUSAN P. CHRISTOFF, ESQ. COOLEY LLP Name: Correspondent 1299 PENNSYLVANIA AVENUE, NW, SUITE 700 Address: WASHINGTON, DC 20004 Domestic Representative - Not Found Assignment 2 of 2 Conveyance: NOTICE AND CONFIRMATION OF GRANT OF SECURITY INTEREST IN TRADEMARKS Reel/Frame: 5744/0166 Pages: 44 Date Recorded: Mar. 02, 2016 Supporting assignment-tm-5744-0166.pdf Documents: Assignor Name: SAZERAC COMPANY, INC. Execution Date: Mar. 01, 2016 Legal Entity Type: CORPORATION State or Country LOUISIANA Where Organized:
Name: HERITAGE BRANDS, INC. Execution Date: Mar. 01, 2016 Legal Entity Type: CORPORATION State or Country KENTUCKY Where Organized: Assignee Name: WELLS FARGO BANK, NATIONAL ASSOCIATION, AS ADMINISTRATIVE AGENT Legal Entity Type: NATIONAL BANKING ASSOCIATION State or Country UNITED STATES Where Organized: Address: 1525 WEST W.T. HARRIS BLVD. MAC D1109-019 CHARLOTTE, NORTH CAROLINA 28262 Correspondent Correspondent TERRY L. WITCHER, PARALEGAL Name: Case 3:17-cv-00092-DJH Document 1-2 Filed 02/15/17 Page 25 of 25 PageID #: 42
Correspondent MCGUIREWOODS LLP Address: 201 N. TRYON STREET, SUITE 3000 CHARLOTTE, NC 28202 Domestic Representative - Not Found Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 1 of 56 PageID #: 43
Exhibit B
Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 2 of 56 PageID #: 44 2/14/2017 06326TTB1336422_20170214034309qstpimg1 (2550×4200)
https://www.ttbonline.gov/colasonline/docs/06326TTB1336422_20170214034309qstpimg1 1/2 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 3 of 56 PageID #: 45 2/14/2017 06326TTB1336422_20170214034309qstpimg1 (2550×4200)
https://www.ttbonline.gov/colasonline/docs/06326TTB1336422_20170214034309qstpimg1 2/2 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 4 of 56 PageID #: 46 2/14/2017 07003TTB1340804_20170214034452qstpimg1 (2550×4200)
https://www.ttbonline.gov/colasonline/docs/07003TTB1340804_20170214034452qstpimg1 1/2 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 5 of 56 PageID #: 47 2/14/2017 07003TTB1340804_20170214034452qstpimg1 (2550×4200)
https://www.ttbonline.gov/colasonline/docs/07003TTB1340804_20170214034452qstpimg1 2/2 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 6 of 56 PageID #: 48 2/14/2017 OMB No. 15130020
OMB No. 15130020 (01/31/2009) FOR TTB USE ONLY DEPARTMENT OF THE TREASURY ALCOHOL AND TOBACCO TAX AND TRADE BUREAU TTB ID APPLICATION FOR AND 10146001000306 CERTIFICATION/EXEMPTION OF LABEL/BOTTLE APPROVAL (See Instructions and Paperwork Reduction Act Notice on Back) 1. REP. ID. NO. (If any) CT OR 691 69
PART I APPLICATION
2. PLANT 3. SOURCE OF 8. NAME AND ADDRESS OF APPLICANT AS SHOWN ON PLANT REGISTRY/BASIC PRODUCT (Required) REGISTRY, BASIC PERMIT OR BREWER'S NOTICE. INCLUDE APPROVED DBA OR TRADENAME IF USED ON LABEL (Required) PERMIT/BREWER'S Domestic NO. (Required) KYI387 Imported BUFFALO TRACE DISTILLERY, INC. 1001 WILKINSON BLVD
4. SERIAL NUMBER 5. TYPE OF PRODUCT FRANKFORT KY 40601 (Required) (Required)
10540A WINE SAZERAC COMPANY, INC. (Used on label)
DISTILLED SPIRITS
MALT BEVERAGE
6. BRAND NAME (Required) 8a. MAILING ADDRESS, IF DIFFERENT FIREBALL
7. FANCIFUL NAME (If any)
9. EMAIL ADDRESS 10. FORMULA/SOP NO. 11. LAB. NO. & DATE / 18. TYPE OF APPLICATION (Check applicable (If any) PREIMPORT NO. & box(es)) DATE (If any) 10130003000069 a. CERTIFICATE OF LABEL APPROVAL 05/13/2010 CERTIFICATE OF EXEMPTION FROM LABEL 12. NET CONTENTS 13. ALCOHOL 14. WINE APPELLATION b. APPROVAL "For sale in ______only" (Fill in State abbreviation.) 200 MILLILITERS CONTENT IF ON LABEL 33% DISTINCTIVE LIQUOR BOTTLE APPROVAL. TOTAL c. BOTTLE CAPACITY BEFORE CLOSURE ______(Fill in amount) 15. WINE VINTAGE 16. PHONE NUMBER 17. FAX NUMBER DATE IF ON LABEL (504) 8305770 (504) 8305810 RESUBMISSION AFTER REJECTION d. TTB ID. NO. ______
19. SHOW ANY WORDING (a) APPEARING ON MATERIALS FIRMLY AFFIXED TO THE CONTAINER (e.g., caps, celoseals, corks, etc.) OTHER THAN THE LABLES AFFIXED BELOW, OR (b) BLOWN, BRANDED OR EMBOSSED ON THE CONTAINER (e.g., net contents etc.). THIS WORDING MUST BE NOTED HERE EVEN IF IT DUPLICATES PORTIONS OF THE LABELS AFFIXED BELOW. ALSO, PROVIDE TRANSLATIONS OF FOREIGN LANGUAGE TEXT APPEARING ON LABELS. LABEL MARKED OTHER IS PRINTED ON THE BACK SIDE OF THE FRONT LABEL AND APPEARS THROUGH THE HOLE OF THE BACK LABEL. PART II APPLICANT'S CERTIFICATION
Under the penalties of perjury, I declare; that all statements appearing on this application are true and correct to the best of my knowledge and belief; and, that the representations on the labels attached to this form, including supplemental documents, truly and correctly represent the content of the containers to which these labels will be applied. I also certify that I have read, understood and complied with the conditions and instructions which are attached to an original TTB F 5100.31, Certificate/Exemption of Label/Bottle Approval.
20. DATE OF 21. SIGNATURE OF APPLICANT OR AUTHORIZED AGENT 22. PRINT NAME OF APPLICANT OR APPLICATION (Application was efiled) AUTHORIZED AGENT 05/26/2010 TINA PROWELL
PART III TTB CERTIFICATE This certificate is issued subject to applicable laws, regulations and conditions as set forth in the instructions portion of https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=10146001000306 1/3 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 7 of 56 PageID #: 49 2/14/2017 OMB No. 15130020 this form. 23. DATE ISSUED 24. AUTHORIZED SIGNATURE, ALCOHOL AND TOBACCO TAX AND TRADE BUREAU 06/05/2010
FOR TTB USE ONLY QUALIFICATIONS EXPIRATION DATE (If any) STATUS THE STATUS IS APPROVED.
CLASS/TYPE DESCRIPTION WHISKY SPECIALTIES
AFFIX COMPLETE SET OF LABELS BELOW Image Type: Brand (front) Actual Dimensions: 2.13 inches W X 3.25 inches H
Image Type: Back Actual Dimensions: 2.13 inches W X 3.25 inches H
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=10146001000306 2/3 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 8 of 56 PageID #: 50 2/14/2017 OMB No. 15130020
Image Type: Other Actual Dimensions: 2.13 inches W X 3.25 inches H
TTB F 5100.31 (6/2006) PREVIOUS EDITIONS ARE OBSOLETE
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=10146001000306 3/3 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 9 of 56 PageID #: 51 2/14/2017 OMB No. 15130020
OMB No. 15130020 (01/31/2009) FOR TTB USE ONLY DEPARTMENT OF THE TREASURY ALCOHOL AND TOBACCO TAX AND TRADE BUREAU TTB ID APPLICATION FOR AND 10293001000164 CERTIFICATION/EXEMPTION OF LABEL/BOTTLE APPROVAL (See Instructions and Paperwork Reduction Act Notice on Back) 1. REP. ID. NO. (If any) CT OR 691 69
PART I APPLICATION
2. PLANT 3. SOURCE OF 8. NAME AND ADDRESS OF APPLICANT AS SHOWN ON PLANT REGISTRY/BASIC PRODUCT (Required) REGISTRY, BASIC PERMIT OR BREWER'S NOTICE. INCLUDE APPROVED DBA OR TRADENAME IF USED ON LABEL (Required) PERMIT/BREWER'S Domestic NO. (Required) DSPKY113 Imported BUFFALO TRACE DISTILLERY, INC. DSPKY12 113 GREAT BUFFALO TRACE , FRANKLIN COUNTY DSPKY24 DSPCA63 FRANKFORT KY 40601 DSPMD11 SAZERAC CO., INC. (Used on label) 4. SERIAL NUMBER 5. TYPE OF PRODUCT (Required) (Required) 100311 WINE
DISTILLED SPIRITS
MALT BEVERAGE
6. BRAND NAME (Required) 8a. MAILING ADDRESS, IF DIFFERENT FIREBALL
7. FANCIFUL NAME (If any) CINNAMON WHISKY
9. EMAIL ADDRESS 10. FORMULA/SOP NO. 11. LAB. NO. & DATE / 18. TYPE OF APPLICATION (Check applicable (If any) PREIMPORT NO. & box(es)) DATE (If any) 101300030000 a. CERTIFICATE OF LABEL APPROVAL 05/13/2010 CERTIFICATE OF EXEMPTION FROM LABEL 12. NET CONTENTS 13. ALCOHOL 14. WINE APPELLATION b. APPROVAL "For sale in ______only" (Fill in State abbreviation.) 1.75 LITERS CONTENT IF ON LABEL 33 DISTINCTIVE LIQUOR BOTTLE APPROVAL. TOTAL c. BOTTLE CAPACITY BEFORE CLOSURE ______(Fill in amount) 15. WINE VINTAGE 16. PHONE NUMBER 17. FAX NUMBER DATE IF ON LABEL (270) 6889240 (270) 6835758 RESUBMISSION AFTER REJECTION d. TTB ID. NO. ______
19. SHOW ANY WORDING (a) APPEARING ON MATERIALS FIRMLY AFFIXED TO THE CONTAINER (e.g., caps, celoseals, corks, etc.) OTHER THAN THE LABLES AFFIXED BELOW, OR (b) BLOWN, BRANDED OR EMBOSSED ON THE CONTAINER (e.g., net contents etc.). THIS WORDING MUST BE NOTED HERE EVEN IF IT DUPLICATES PORTIONS OF THE LABELS AFFIXED BELOW. ALSO, PROVIDE TRANSLATIONS OF FOREIGN LANGUAGE TEXT APPEARING ON LABELS. PRINCIPAL PLACE OF BUSINESS USED IN LIEU BOTTLING LOCATION/S IN ACCORDANCE WITH 5.36(A)(6). CONTAINER MARKED TO INDICATE BOTTLING LOCATION. PART II APPLICANT'S CERTIFICATION
Under the penalties of perjury, I declare; that all statements appearing on this application are true and correct to the best of my knowledge and belief; and, that the representations on the labels attached to this form, including supplemental documents, truly and correctly represent the content of the containers to which these labels will be applied. I also certify that I have read, understood and complied with the conditions and instructions which are attached to an original TTB F 5100.31, Certificate/Exemption of Label/Bottle Approval.
20. DATE OF 21. SIGNATURE OF APPLICANT OR AUTHORIZED AGENT 22. PRINT NAME OF APPLICANT OR APPLICATION AUTHORIZED AGENT https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=10293001000164 1/4 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 10 of 56 PageID #: 52 2/14/2017 OMB No. 15130020 10/20/2010 (Application was efiled) WILLIAM MUDD
PART III TTB CERTIFICATE This certificate is issued subject to applicable laws, regulations and conditions as set forth in the instructions portion of this form. 23. DATE ISSUED 24. AUTHORIZED SIGNATURE, ALCOHOL AND TOBACCO TAX AND TRADE BUREAU 10/20/2010
FOR TTB USE ONLY QUALIFICATIONS EXPIRATION DATE EACH CONTAINER MUST BE CODED TO INDICATE ACTUAL PLACE OF BOTTLING. (If any)
STATUS THE STATUS IS APPROVED.
CLASS/TYPE DESCRIPTION WHISKY SPECIALTIES
AFFIX COMPLETE SET OF LABELS BELOW Image Type: Brand (front) Actual Dimensions: 3.53 inches W X 5.35 inches H
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=10293001000164 2/4 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 11 of 56 PageID #: 53 2/14/2017 OMB No. 15130020
Image Type: Back Actual Dimensions: 4 inches W X 2 inches H
Image Type: Neck Actual Dimensions: 5.46 inches W X 2.56 inches H
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=10293001000164 3/4 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 12 of 56 PageID #: 54 2/14/2017 OMB No. 15130020
TTB F 5100.31 (6/2006) PREVIOUS EDITIONS ARE OBSOLETE
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=10293001000164 4/4 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 13 of 56 PageID #: 55 2/14/2017 OMB No. 15130020
OMB No. 15130020 (01/31/2009) FOR TTB USE ONLY DEPARTMENT OF THE TREASURY ALCOHOL AND TOBACCO TAX AND TRADE BUREAU TTB ID APPLICATION FOR AND 10343001000093 CERTIFICATION/EXEMPTION OF LABEL/BOTTLE APPROVAL (See Instructions and Paperwork Reduction Act Notice on Back) 1. REP. ID. NO. (If any) CT OR 691 69
PART I APPLICATION
2. PLANT 3. SOURCE OF 8. NAME AND ADDRESS OF APPLICANT AS SHOWN ON PLANT REGISTRY/BASIC PRODUCT (Required) REGISTRY, BASIC PERMIT OR BREWER'S NOTICE. INCLUDE APPROVED DBA OR TRADENAME IF USED ON LABEL (Required) PERMIT/BREWER'S Domestic NO. (Required) DSPKY113 Imported BUFFALO TRACE DISTILLERY, INC. DSPKY24 113 GREAT BUFFALO TRACE , FRANKLIN COUNTY DSPKY12 DSPCA63 FRANKFORT KY 40601 DSPMD11 SAZERAC CO. (Used on label) 4. SERIAL NUMBER 5. TYPE OF PRODUCT (Required) (Required) 100442 WINE
DISTILLED SPIRITS
MALT BEVERAGE
6. BRAND NAME (Required) 8a. MAILING ADDRESS, IF DIFFERENT FIREBALL
7. FANCIFUL NAME (If any) CINNAMON WHISKY
9. EMAIL ADDRESS 10. FORMULA/SOP NO. 11. LAB. NO. & DATE / 18. TYPE OF APPLICATION (Check applicable (If any) PREIMPORT NO. & box(es)) DATE (If any) 101300030000 a. CERTIFICATE OF LABEL APPROVAL 05/13/2010 CERTIFICATE OF EXEMPTION FROM LABEL 12. NET CONTENTS 13. ALCOHOL 14. WINE APPELLATION b. APPROVAL "For sale in ______only" (Fill in State abbreviation.) 100 MILLILITERS CONTENT IF ON LABEL 33 DISTINCTIVE LIQUOR BOTTLE APPROVAL. TOTAL c. BOTTLE CAPACITY BEFORE CLOSURE ______(Fill in amount) 15. WINE VINTAGE 16. PHONE NUMBER 17. FAX NUMBER DATE IF ON LABEL (270) 6889240 (270) 6835758 RESUBMISSION AFTER REJECTION d. TTB ID. NO. ______
19. SHOW ANY WORDING (a) APPEARING ON MATERIALS FIRMLY AFFIXED TO THE CONTAINER (e.g., caps, celoseals, corks, etc.) OTHER THAN THE LABLES AFFIXED BELOW, OR (b) BLOWN, BRANDED OR EMBOSSED ON THE CONTAINER (e.g., net contents etc.). THIS WORDING MUST BE NOTED HERE EVEN IF IT DUPLICATES PORTIONS OF THE LABELS AFFIXED BELOW. ALSO, PROVIDE TRANSLATIONS OF FOREIGN LANGUAGE TEXT APPEARING ON LABELS. PRINCIPAL PLACE OF BUSINESS USED IN LIEU OF BOTTLING LOCATION IN ACCORDANCE WITH 5.36(A)(6). CONTAINER MARKED TO INDICATE BOTTLING LOCATION. PART II APPLICANT'S CERTIFICATION
Under the penalties of perjury, I declare; that all statements appearing on this application are true and correct to the best of my knowledge and belief; and, that the representations on the labels attached to this form, including supplemental documents, truly and correctly represent the content of the containers to which these labels will be applied. I also certify that I have read, understood and complied with the conditions and instructions which are attached to an original TTB F 5100.31, Certificate/Exemption of Label/Bottle Approval.
20. DATE OF 21. SIGNATURE OF APPLICANT OR AUTHORIZED AGENT 22. PRINT NAME OF APPLICANT OR APPLICATION AUTHORIZED AGENT https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=10343001000093 1/3 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 14 of 56 PageID #: 56 2/14/2017 OMB No. 15130020 12/09/2010 (Application was efiled) WILLIAM MUDD
PART III TTB CERTIFICATE This certificate is issued subject to applicable laws, regulations and conditions as set forth in the instructions portion of this form. 23. DATE ISSUED 24. AUTHORIZED SIGNATURE, ALCOHOL AND TOBACCO TAX AND TRADE BUREAU 01/18/2011
FOR TTB USE ONLY QUALIFICATIONS EXPIRATION DATE (If any) STATUS THE STATUS IS APPROVED.
CLASS/TYPE DESCRIPTION WHISKY SPECIALTIES
AFFIX COMPLETE SET OF LABELS BELOW Image Type: Brand (front) Actual Dimensions: 1.5 inches W X 2.75 inches H
Image Type: Back Actual Dimensions: 1.5 inches W X 2.75 inches H
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=10343001000093 2/3 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 15 of 56 PageID #: 57 2/14/2017 OMB No. 15130020
TTB F 5100.31 (6/2006) PREVIOUS EDITIONS ARE OBSOLETE
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=10343001000093 3/3 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 16 of 56 PageID #: 58 2/14/2017 OMB No. 15130020
OMB No. 15130020 (01/31/2009) FOR TTB USE ONLY DEPARTMENT OF THE TREASURY ALCOHOL AND TOBACCO TAX AND TRADE BUREAU TTB ID APPLICATION FOR AND 11032001000040 CERTIFICATION/EXEMPTION OF LABEL/BOTTLE APPROVAL (See Instructions and Paperwork Reduction Act Notice on Back) 1. REP. ID. NO. (If any) CT OR 691 69
PART I APPLICATION
2. PLANT 3. SOURCE OF 8. NAME AND ADDRESS OF APPLICANT AS SHOWN ON PLANT REGISTRY/BASIC PRODUCT (Required) REGISTRY, BASIC PERMIT OR BREWER'S NOTICE. INCLUDE APPROVED DBA OR TRADENAME IF USED ON LABEL (Required) PERMIT/BREWER'S Domestic NO. (Required) DSPKY113 Imported BUFFALO TRACE DISTILLERY, BUFFALO TRACE DISTILLERY, INC. DSPKY12 113 GREAT BUFFALO TRACE , FRANKLIN COUNTY DSPKY24 DSPCA63 FRANKFORT KY 40601 DSPMD11 SAZERAC CO., INC. (Used on label) 4. SERIAL NUMBER 5. TYPE OF PRODUCT (Required) (Required) 110037 WINE
DISTILLED SPIRITS
MALT BEVERAGE
6. BRAND NAME (Required) 8a. MAILING ADDRESS, IF DIFFERENT FIREBALL
7. FANCIFUL NAME (If any) CINNAMON WHISKY
9. EMAIL ADDRESS 10. FORMULA/SOP NO. 11. LAB. NO. & DATE / 18. TYPE OF APPLICATION (Check applicable (If any) PREIMPORT NO. & box(es)) DATE (If any) 10130000000069 a. CERTIFICATE OF LABEL APPROVAL 05/13/2010 CERTIFICATE OF EXEMPTION FROM LABEL 12. NET CONTENTS 13. ALCOHOL 14. WINE APPELLATION b. APPROVAL "For sale in ______only" (Fill in State abbreviation.) 750 MILLILITERS CONTENT IF ON LABEL 33 DISTINCTIVE LIQUOR BOTTLE APPROVAL. TOTAL c. BOTTLE CAPACITY BEFORE CLOSURE ______(Fill in amount) 15. WINE VINTAGE 16. PHONE NUMBER 17. FAX NUMBER DATE IF ON LABEL (270) 6889240 (270) 6835758 RESUBMISSION AFTER REJECTION d. TTB ID. NO. ______
19. SHOW ANY WORDING (a) APPEARING ON MATERIALS FIRMLY AFFIXED TO THE CONTAINER (e.g., caps, celoseals, corks, etc.) OTHER THAN THE LABLES AFFIXED BELOW, OR (b) BLOWN, BRANDED OR EMBOSSED ON THE CONTAINER (e.g., net contents etc.). THIS WORDING MUST BE NOTED HERE EVEN IF IT DUPLICATES PORTIONS OF THE LABELS AFFIXED BELOW. ALSO, PROVIDE TRANSLATIONS OF FOREIGN LANGUAGE TEXT APPEARING ON LABELS. PRINCIPAL PLACE OF BUSINESS USED IN LIEU OF BOTTLING LOCATION IN ACCORDANCE WITH 5.36(A)(6). CONTAINER MARKED TO INDICATE BOTTLING LOCATION. PART II APPLICANT'S CERTIFICATION
Under the penalties of perjury, I declare; that all statements appearing on this application are true and correct to the best of my knowledge and belief; and, that the representations on the labels attached to this form, including supplemental documents, truly and correctly represent the content of the containers to which these labels will be applied. I also certify that I have read, understood and complied with the conditions and instructions which are attached to an original TTB F 5100.31, Certificate/Exemption of Label/Bottle Approval.
20. DATE OF 21. SIGNATURE OF APPLICANT OR AUTHORIZED AGENT 22. PRINT NAME OF APPLICANT OR APPLICATION AUTHORIZED AGENT https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=11032001000040 1/3 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 17 of 56 PageID #: 59 2/14/2017 OMB No. 15130020 02/01/2011 (Application was efiled) WILLIAM MUDD
PART III TTB CERTIFICATE This certificate is issued subject to applicable laws, regulations and conditions as set forth in the instructions portion of this form. 23. DATE ISSUED 24. AUTHORIZED SIGNATURE, ALCOHOL AND TOBACCO TAX AND TRADE BUREAU 03/02/2011
FOR TTB USE ONLY QUALIFICATIONS EXPIRATION DATE EACH CONTAINER MUST BE CODED TO INDICATE ACTUAL PLACE OF BOTTLING. (If any)
STATUS THE STATUS IS APPROVED.
CLASS/TYPE DESCRIPTION WHISKY SPECIALTIES
AFFIX COMPLETE SET OF LABELS BELOW Image Type: Brand (front) Actual Dimensions: 2.63 inches W X 4 inches H
Image Type: Back Actual Dimensions: 2.63 inches W X 4 inches H
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=11032001000040 2/3 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 18 of 56 PageID #: 60 2/14/2017 OMB No. 15130020
TTB F 5100.31 (6/2006) PREVIOUS EDITIONS ARE OBSOLETE
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=11032001000040 3/3 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 19 of 56 PageID #: 61 2/14/2017 OMB No. 15130020
OMB No. 15130020 (01/31/2009) FOR TTB USE ONLY DEPARTMENT OF THE TREASURY ALCOHOL AND TOBACCO TAX AND TRADE BUREAU TTB ID APPLICATION FOR AND 11119001000158 CERTIFICATION/EXEMPTION OF LABEL/BOTTLE APPROVAL (See Instructions and Paperwork Reduction Act Notice on Back) 1. REP. ID. NO. (If any) CT OR 691 69
PART I APPLICATION
2. PLANT 3. SOURCE OF 8. NAME AND ADDRESS OF APPLICANT AS SHOWN ON PLANT REGISTRY/BASIC PRODUCT (Required) REGISTRY, BASIC PERMIT OR BREWER'S NOTICE. INCLUDE APPROVED DBA OR TRADENAME IF USED ON LABEL (Required) PERMIT/BREWER'S Domestic NO. (Required) DSPKY113 Imported BUFFALO TRACE DISTILLERY, BUFFALO TRACE DISTILLERY, INC. DSPKY12 113 GREAT BUFFALO TRACE , FRANKLIN COUNTY DSPKY24 DSPMD11 FRANKFORT KY 40601 DSPCA63 SAZERAC CO. (Used on label) 4. SERIAL NUMBER 5. TYPE OF PRODUCT (Required) (Required) 110198 WINE
DISTILLED SPIRITS
MALT BEVERAGE
6. BRAND NAME (Required) 8a. MAILING ADDRESS, IF DIFFERENT FIREBALL
7. FANCIFUL NAME (If any) CINNAMON WHISKEY
9. EMAIL ADDRESS 10. FORMULA/SOP NO. 11. LAB. NO. & DATE / 18. TYPE OF APPLICATION (Check applicable (If any) PREIMPORT NO. & box(es)) DATE (If any) 10130000000069 a. CERTIFICATE OF LABEL APPROVAL 05/13/2010 CERTIFICATE OF EXEMPTION FROM LABEL 12. NET CONTENTS 13. ALCOHOL 14. WINE APPELLATION b. APPROVAL "For sale in ______only" (Fill in State abbreviation.) 200 MILLILITERS CONTENT IF ON LABEL 33 DISTINCTIVE LIQUOR BOTTLE APPROVAL. TOTAL c. BOTTLE CAPACITY BEFORE CLOSURE ______(Fill in amount) 15. WINE VINTAGE 16. PHONE NUMBER 17. FAX NUMBER DATE IF ON LABEL (270) 6889240 (270) 6835758 RESUBMISSION AFTER REJECTION d. TTB ID. NO. ______
19. SHOW ANY WORDING (a) APPEARING ON MATERIALS FIRMLY AFFIXED TO THE CONTAINER (e.g., caps, celoseals, corks, etc.) OTHER THAN THE LABLES AFFIXED BELOW, OR (b) BLOWN, BRANDED OR EMBOSSED ON THE CONTAINER (e.g., net contents etc.). THIS WORDING MUST BE NOTED HERE EVEN IF IT DUPLICATES PORTIONS OF THE LABELS AFFIXED BELOW. ALSO, PROVIDE TRANSLATIONS OF FOREIGN LANGUAGE TEXT APPEARING ON LABELS. PRINCIPAL PLACE OF BUSINESS USED IN LIEU OF BOTTLING LOCATION IN ACCORDANCE WITH 5.36(A)(6). CONTAINER MARKED TO INDICATE BOTTLING LOCATION. PART II APPLICANT'S CERTIFICATION
Under the penalties of perjury, I declare; that all statements appearing on this application are true and correct to the best of my knowledge and belief; and, that the representations on the labels attached to this form, including supplemental documents, truly and correctly represent the content of the containers to which these labels will be applied. I also certify that I have read, understood and complied with the conditions and instructions which are attached to an original TTB F 5100.31, Certificate/Exemption of Label/Bottle Approval.
20. DATE OF 21. SIGNATURE OF APPLICANT OR AUTHORIZED AGENT 22. PRINT NAME OF APPLICANT OR APPLICATION AUTHORIZED AGENT https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=11119001000158 1/3 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 20 of 56 PageID #: 62 2/14/2017 OMB No. 15130020 04/29/2011 (Application was efiled) WILLIAM MUDD
PART III TTB CERTIFICATE This certificate is issued subject to applicable laws, regulations and conditions as set forth in the instructions portion of this form. 23. DATE ISSUED 24. AUTHORIZED SIGNATURE, ALCOHOL AND TOBACCO TAX AND TRADE BUREAU 06/09/2011
FOR TTB USE ONLY QUALIFICATIONS EXPIRATION DATE TTB has not reviewed this label for type size, characters per inch or contrasting background. The responsible (If any) industry member must continue to ensure that the mandatory information on the actual labels is displayed in the correct type size, number of characters per inch, and on a contrasting background in accordance with the TTB labeling regulations, 27 CFR parts 4, 5, 7, and 16, as applicable.
STATUS THE STATUS IS APPROVED.
CLASS/TYPE DESCRIPTION WHISKY SPECIALTIES
AFFIX COMPLETE SET OF LABELS BELOW Image Type: Brand (front) Actual Dimensions: 2.25 inches W X 3.19 inches H
Image Type: Back Actual Dimensions: 2.25 inches W X 3.19 inches H
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=11119001000158 2/3 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 21 of 56 PageID #: 63 2/14/2017 OMB No. 15130020
TTB F 5100.31 (6/2006) PREVIOUS EDITIONS ARE OBSOLETE
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=11119001000158 3/3 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 22 of 56 PageID #: 64 2/14/2017 OMB No. 15130020
OMB No. 15130020 (01/31/2009) FOR TTB USE ONLY DEPARTMENT OF THE TREASURY ALCOHOL AND TOBACCO TAX AND TRADE BUREAU TTB ID APPLICATION FOR AND 11119001000163 CERTIFICATION/EXEMPTION OF LABEL/BOTTLE APPROVAL (See Instructions and Paperwork Reduction Act Notice on Back) 1. REP. ID. NO. (If any) CT OR 691 69
PART I APPLICATION
2. PLANT 3. SOURCE OF 8. NAME AND ADDRESS OF APPLICANT AS SHOWN ON PLANT REGISTRY/BASIC PRODUCT (Required) REGISTRY, BASIC PERMIT OR BREWER'S NOTICE. INCLUDE APPROVED DBA OR TRADENAME IF USED ON LABEL (Required) PERMIT/BREWER'S Domestic NO. (Required) DSPKY113 Imported BUFFALO TRACE DISTILLERY, BUFFALO TRACE DISTILLERY, INC. DSPCA63 113 GREAT BUFFALO TRACE , FRANKLIN COUNTY DSPKY12 DSPMD11 FRANKFORT KY 40601 DSPKY24 SAZERAC CO. (Used on label) 4. SERIAL NUMBER 5. TYPE OF PRODUCT (Required) (Required) 110199 WINE
DISTILLED SPIRITS
MALT BEVERAGE
6. BRAND NAME (Required) 8a. MAILING ADDRESS, IF DIFFERENT FIREBALL
7. FANCIFUL NAME (If any) CINNAMON WHISKY
9. EMAIL ADDRESS 10. FORMULA/SOP NO. 11. LAB. NO. & DATE / 18. TYPE OF APPLICATION (Check applicable (If any) PREIMPORT NO. & box(es)) DATE (If any) 10130000000069 a. CERTIFICATE OF LABEL APPROVAL 05/13/2010 CERTIFICATE OF EXEMPTION FROM LABEL 12. NET CONTENTS 13. ALCOHOL 14. WINE APPELLATION b. APPROVAL "For sale in ______only" (Fill in State abbreviation.) 375 MILLILITERS CONTENT IF ON LABEL 33 DISTINCTIVE LIQUOR BOTTLE APPROVAL. TOTAL c. BOTTLE CAPACITY BEFORE CLOSURE ______(Fill in amount) 15. WINE VINTAGE 16. PHONE NUMBER 17. FAX NUMBER DATE IF ON LABEL (270) 6889240 (270) 6835758 RESUBMISSION AFTER REJECTION d. TTB ID. NO. ______
19. SHOW ANY WORDING (a) APPEARING ON MATERIALS FIRMLY AFFIXED TO THE CONTAINER (e.g., caps, celoseals, corks, etc.) OTHER THAN THE LABLES AFFIXED BELOW, OR (b) BLOWN, BRANDED OR EMBOSSED ON THE CONTAINER (e.g., net contents etc.). THIS WORDING MUST BE NOTED HERE EVEN IF IT DUPLICATES PORTIONS OF THE LABELS AFFIXED BELOW. ALSO, PROVIDE TRANSLATIONS OF FOREIGN LANGUAGE TEXT APPEARING ON LABELS. PRINCIPAL PLACE OF BUSINESS USED IN LIEU OF BOTTLING LOCATION IN ACCORDANCE WITH 5.36(A)(6). CONTAINER MARKED TO INDICATE BOTTLING LOCATION. PART II APPLICANT'S CERTIFICATION
Under the penalties of perjury, I declare; that all statements appearing on this application are true and correct to the best of my knowledge and belief; and, that the representations on the labels attached to this form, including supplemental documents, truly and correctly represent the content of the containers to which these labels will be applied. I also certify that I have read, understood and complied with the conditions and instructions which are attached to an original TTB F 5100.31, Certificate/Exemption of Label/Bottle Approval.
20. DATE OF 21. SIGNATURE OF APPLICANT OR AUTHORIZED AGENT 22. PRINT NAME OF APPLICANT OR APPLICATION AUTHORIZED AGENT https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=11119001000163 1/3 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 23 of 56 PageID #: 65 2/14/2017 OMB No. 15130020 04/29/2011 (Application was efiled) WILLIAM MUDD
PART III TTB CERTIFICATE This certificate is issued subject to applicable laws, regulations and conditions as set forth in the instructions portion of this form. 23. DATE ISSUED 24. AUTHORIZED SIGNATURE, ALCOHOL AND TOBACCO TAX AND TRADE BUREAU 06/09/2011
FOR TTB USE ONLY QUALIFICATIONS EXPIRATION DATE TTB has not reviewed this label for type size, characters per inch or contrasting background. The responsible (If any) industry member must continue to ensure that the mandatory information on the actual labels is displayed in the correct type size, number of characters per inch, and on a contrasting background in accordance with the TTB labeling regulations, 27 CFR parts 4, 5, 7, and 16, as applicable. EACH CONTAINER MUST BE CODED TO INDICATE ACTUAL PLACE OF BOTTLING.
STATUS THE STATUS IS APPROVED.
CLASS/TYPE DESCRIPTION WHISKY SPECIALTIES
AFFIX COMPLETE SET OF LABELS BELOW Image Type: Brand (front) Actual Dimensions: 2.81 inches W X 4.13 inches H
Image Type: https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=11119001000163 2/3 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 24 of 56 PageID #: 66 2/14/2017 OMB No. 15130020 Back Actual Dimensions: 2.81 inches W X 4.13 inches H
TTB F 5100.31 (6/2006) PREVIOUS EDITIONS ARE OBSOLETE
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=11119001000163 3/3 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 25 of 56 PageID #: 67 2/14/2017 OMB No. 15130020
OMB No. 15130020 (01/31/2009) FOR TTB USE ONLY DEPARTMENT OF THE TREASURY ALCOHOL AND TOBACCO TAX AND TRADE BUREAU TTB ID APPLICATION FOR AND 12121001000034 CERTIFICATION/EXEMPTION OF LABEL/BOTTLE APPROVAL (See Instructions and Paperwork Reduction Act Notice on Back) 1. REP. ID. NO. (If any) CT OR 691 69
PART I APPLICATION
2. PLANT 3. SOURCE OF 8. NAME AND ADDRESS OF APPLICANT AS SHOWN ON PLANT REGISTRY/BASIC PRODUCT (Required) REGISTRY, BASIC PERMIT OR BREWER'S NOTICE. INCLUDE APPROVED DBA OR TRADENAME IF USED ON LABEL (Required) PERMIT/BREWER'S Domestic NO. (Required) DSPKY24 Imported BUFFALO TRACE DISTILLERY, BUFFALO TRACE DISTILLERY, INC. DSPKY113 113 GREAT BUFFALO TRACE , FRANKLIN COUNTY DSPKY12 DSPCA63 FRANKFORT KY 40601 DSPMD11 SAZERAC CO. (Used on label) 4. SERIAL NUMBER 5. TYPE OF PRODUCT (Required) (Required) 120230 WINE
DISTILLED SPIRITS
MALT BEVERAGE
6. BRAND NAME (Required) 8a. MAILING ADDRESS, IF DIFFERENT FIREBALL
7. FANCIFUL NAME (If any) CINNAMON WHISKY
9. EMAIL ADDRESS 10. GRAPE 11. FORMULA 18. TYPE OF APPLICATION (Check applicable VARIETAL(S) (Wine box(es)) Only) N/A a. CERTIFICATE OF LABEL APPROVAL
12. NET CONTENTS 13. ALCOHOL 14. WINE APPELLATION CERTIFICATE OF EXEMPTION FROM LABEL CONTENT IF ON LABEL b. APPROVAL 1.75 LITERS "For sale in ______only" (Fill in State abbreviation.) 33 DISTINCTIVE LIQUOR BOTTLE APPROVAL. TOTAL 15. WINE VINTAGE 16. PHONE NUMBER 17. FAX NUMBER c. BOTTLE CAPACITY BEFORE CLOSURE ______(Fill in amount) DATE IF ON LABEL (502) 3314819 (502) 3488573 RESUBMISSION AFTER REJECTION d. TTB ID. NO. ______
19. SHOW ANY WORDING (a) APPEARING ON MATERIALS FIRMLY AFFIXED TO THE CONTAINER (e.g., caps, celoseals, corks, etc.) OTHER THAN THE LABLES AFFIXED BELOW, OR (b) BLOWN, BRANDED OR EMBOSSED ON THE CONTAINER (e.g., net contents etc.). THIS WORDING MUST BE NOTED HERE EVEN IF IT DUPLICATES PORTIONS OF THE LABELS AFFIXED BELOW. ALSO, PROVIDE TRANSLATIONS OF FOREIGN LANGUAGE TEXT APPEARING ON LABELS. PRINCIPAL PLACE OF BUSINESS USED IN LIEU OF BOTTLING LOCATION IN ACCORDANCE WITH 5.36(A)(6). CONTAINER MARKED TO INDICATE BOTTLING LOCATION. PART II APPLICANT'S CERTIFICATION
Under the penalties of perjury, I declare; that all statements appearing on this application are true and correct to the best of my knowledge and belief; and, that the representations on the labels attached to this form, including supplemental documents, truly and correctly represent the content of the containers to which these labels will be applied. I also certify that I have read, understood and complied with the conditions and instructions which are attached to an original TTB F 5100.31, Certificate/Exemption of Label/Bottle Approval.
20. DATE OF 21. SIGNATURE OF APPLICANT OR AUTHORIZED AGENT 22. PRINT NAME OF APPLICANT OR APPLICATION (Application was efiled) AUTHORIZED AGENT https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=12121001000034 1/4 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 26 of 56 PageID #: 68 2/14/2017 OMB No. 15130020 04/30/2012 William Renn
PART III TTB CERTIFICATE This certificate is issued subject to applicable laws, regulations and conditions as set forth in the instructions portion of this form. 23. DATE ISSUED 24. AUTHORIZED SIGNATURE, ALCOHOL AND TOBACCO TAX AND TRADE BUREAU 05/24/2012
FOR TTB USE ONLY QUALIFICATIONS EXPIRATION DATE TTB has not reviewed this label for type size, characters per inch or contrasting background. The responsible (If any) industry member must continue to ensure that the mandatory information on the actual labels is displayed in the correct type size, number of characters per inch, and on a contrasting background in accordance with the TTB labeling regulations, 27 CFR parts 4, 5, 7, and 16, as applicable.
STATUS THE STATUS IS APPROVED.
CLASS/TYPE DESCRIPTION WHISKY SPECIALTIES
AFFIX COMPLETE SET OF LABELS BELOW Image Type: Brand (front) Actual Dimensions: 4.00 inches W X 5.60 inches H
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=12121001000034 2/4 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 27 of 56 PageID #: 69 2/14/2017 OMB No. 15130020
Image Type: Back Actual Dimensions: 3.75 inches W X 1.50 inches H
Image Type: Neck Actual Dimensions: 5.47 inches W X 1.73 inches H
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=12121001000034 3/4 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 28 of 56 PageID #: 70 2/14/2017 OMB No. 15130020
TTB F 5100.31 (5/2011) PREVIOUS EDITIONS ARE OBSOLETE
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=12121001000034 4/4 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 29 of 56 PageID #: 71 2/14/2017 OMB No. 15130020
OMB No. 15130020 (07/31/2015) FOR TTB USE ONLY DEPARTMENT OF THE TREASURY ALCOHOL AND TOBACCO TAX AND TRADE BUREAU TTB ID APPLICATION FOR AND 13018001000182 CERTIFICATION/EXEMPTION OF LABEL/BOTTLE APPROVAL (See Instructions and Paperwork Reduction Act Notice on Back) 1. REP. ID. NO. (If any) CT OR 691 69
PART I APPLICATION
2. PLANT 3. SOURCE OF 8. NAME AND ADDRESS OF APPLICANT AS SHOWN ON PLANT REGISTRY/BASIC PRODUCT (Required) REGISTRY, BASIC PERMIT OR BREWER'S NOTICE. INCLUDE APPROVED DBA OR TRADENAME IF USED ON LABEL (Required) PERMIT/BREWER'S Domestic NO. (Required) DSPKY113 Imported BUFFALO TRACE DISTILLERY, BUFFALO TRACE DISTILLERY, INC. DSPKY24 113 GREAT BUFFALO TRACE , FRANKLIN COUNTY DSPCA63 DSPMD11 FRANKFORT KY 40601 DSPKY12 SAZERAC CO. (Used on label) 4. SERIAL NUMBER 5. TYPE OF PRODUCT (Required) (Required) 130054 WINE
DISTILLED SPIRITS
MALT BEVERAGE
6. BRAND NAME (Required) 8a. MAILING ADDRESS, IF DIFFERENT FIREBALL
7. FANCIFUL NAME (If any) CINNAMON WHISKEY
9. EMAIL ADDRESS 10. GRAPE 11. FORMULA 18. TYPE OF APPLICATION (Check applicable VARIETAL(S) (Wine box(es)) Only) N/A a. CERTIFICATE OF LABEL APPROVAL
12. NET CONTENTS 13. ALCOHOL 14. WINE APPELLATION CERTIFICATE OF EXEMPTION FROM LABEL CONTENT IF ON LABEL b. APPROVAL 50 MILLILITERS "For sale in ______only" (Fill in State abbreviation.) 33 DISTINCTIVE LIQUOR BOTTLE APPROVAL. TOTAL 15. WINE VINTAGE 16. PHONE NUMBER 17. FAX NUMBER c. BOTTLE CAPACITY BEFORE CLOSURE ______(Fill in amount) DATE IF ON LABEL (270) 6889240 (270) 6835758 RESUBMISSION AFTER REJECTION d. TTB ID. NO. ______
19. SHOW ANY INFORMATION THAT IS BLOWN, BRANDED, OR EMBOSSED ON THE CONTAINER (e.g., net contents) ONLY IF IT DOES NOT APPEAR ON THE LABELS AFFIXED BELOW. ALSO, SHOW TRANSLATIONS OF FOREIGN LANGUAGE TEXT APPEARING ON LABELS. PRINCIPAL PLACE OF BUSINESS USED IN LIEU OF BOTTLING LOCATION IN ACCORDANCE WITH 5.36(A)(6). CONTAINER MARKED TO INDICATE BOTTLING LOCATION. PART II APPLICANT'S CERTIFICATION
Under the penalties of perjury, I declare; that all statements appearing on this application are true and correct to the best of my knowledge and belief; and, that the representations on the labels attached to this form, including supplemental documents, truly and correctly represent the content of the containers to which these labels will be applied. I also certify that I have read, understood and complied with the conditions and instructions which are attached to an original TTB F 5100.31, Certificate/Exemption of Label/Bottle Approval.
20. DATE OF 21. SIGNATURE OF APPLICANT OR AUTHORIZED AGENT 22. PRINT NAME OF APPLICANT OR APPLICATION (Application was efiled) AUTHORIZED AGENT 01/18/2013 WILLIAM MUDD https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=13018001000182 1/3 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 30 of 56 PageID #: 72 2/14/2017 OMB No. 15130020
PART III TTB CERTIFICATE This certificate is issued subject to applicable laws, regulations and conditions as set forth in the instructions portion of this form. 23. DATE ISSUED 24. AUTHORIZED SIGNATURE, ALCOHOL AND TOBACCO TAX AND TRADE BUREAU 02/15/2013
FOR TTB USE ONLY QUALIFICATIONS EXPIRATION DATE EACH CONTAINER MUST BE CODED TO INDICATE ACTUAL PLACE OF BOTTLING. (If any) TTB has not reviewed this label for type size, characters per inch or contrasting background. The responsible industry member must continue to ensure that the mandatory information on the actual labels is displayed in the correct type size, number of characters per inch, and on a contrasting background in accordance with the TTB labeling regulations, 27 CFR parts 4, 5, 7, and 16, as applicable.
STATUS THE STATUS IS APPROVED.
CLASS/TYPE DESCRIPTION WHISKY SPECIALTIES
AFFIX COMPLETE SET OF LABELS BELOW Image Type: Brand (front) Actual Dimensions: 1.25 inches W X 1.88 inches H
Image Type: Back Actual Dimensions: 1.07 inches W X 1.75 inches H
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=13018001000182 2/3 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 31 of 56 PageID #: 73 2/14/2017 OMB No. 15130020
TTB F 5100.31 (07/2012) PREVIOUS EDITIONS ARE OBSOLETE
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=13018001000182 3/3 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 32 of 56 PageID #: 74 2/14/2017 OMB No. 15130020
OMB No. 15130020 (07/31/2015) FOR TTB USE ONLY DEPARTMENT OF THE TREASURY ALCOHOL AND TOBACCO TAX AND TRADE BUREAU TTB ID APPLICATION FOR AND 13155001000094 CERTIFICATION/EXEMPTION OF LABEL/BOTTLE APPROVAL (See Instructions and Paperwork Reduction Act Notice on Back) 1. REP. ID. NO. (If any) CT OR 691 69
PART I APPLICATION
2. PLANT 3. SOURCE OF 8. NAME AND ADDRESS OF APPLICANT AS SHOWN ON PLANT REGISTRY/BASIC PRODUCT (Required) REGISTRY, BASIC PERMIT OR BREWER'S NOTICE. INCLUDE APPROVED DBA OR TRADENAME IF USED ON LABEL (Required) PERMIT/BREWER'S Domestic NO. (Required) KYI15013 Imported SAZERAC NORTH AMERICA, INC. 10400 LINN STATION RD , SUITE 300
4. SERIAL NUMBER 5. TYPE OF PRODUCT LOUISVILLE KY 40223 (Required) (Required)
130239 WINE SAZERAC CO., INC. (Used on label)
DISTILLED SPIRITS
MALT BEVERAGE
6. BRAND NAME (Required) 8a. MAILING ADDRESS, IF DIFFERENT FIREBALL
7. FANCIFUL NAME (If any)
9. EMAIL ADDRESS 10. GRAPE 11. FORMULA 18. TYPE OF APPLICATION (Check applicable VARIETAL(S) (Wine box(es)) Only) 1182061 N/A a. CERTIFICATE OF LABEL APPROVAL
CERTIFICATE OF EXEMPTION FROM LABEL 12. NET CONTENTS 13. ALCOHOL 14. WINE APPELLATION b. APPROVAL "For sale in ______only" (Fill in State abbreviation.) 1 LITER CONTENT IF ON LABEL 750 MILLILITERS 33 DISTINCTIVE LIQUOR BOTTLE APPROVAL. TOTAL c. BOTTLE CAPACITY BEFORE CLOSURE ______375 MILLILITERS (Fill in amount) 200 MILLILITERS RESUBMISSION AFTER REJECTION 15. WINE VINTAGE 16. PHONE NUMBER 17. FAX NUMBER d. TTB ID. NO. ______DATE IF ON LABEL (502) 3314819 (502) 3488573
19. SHOW ANY INFORMATION THAT IS BLOWN, BRANDED, OR EMBOSSED ON THE CONTAINER (e.g., net contents) ONLY IF IT DOES NOT APPEAR ON THE LABELS AFFIXED BELOW. ALSO, SHOW TRANSLATIONS OF FOREIGN LANGUAGE TEXT APPEARING ON LABELS. PART II APPLICANT'S CERTIFICATION
Under the penalties of perjury, I declare; that all statements appearing on this application are true and correct to the best of my knowledge and belief; and, that the representations on the labels attached to this form, including supplemental documents, truly and correctly represent the content of the containers to which these labels will be applied. I also certify that I have read, understood and complied with the conditions and instructions which are attached to an original TTB F 5100.31, Certificate/Exemption of Label/Bottle Approval.
20. DATE OF 21. SIGNATURE OF APPLICANT OR AUTHORIZED AGENT 22. PRINT NAME OF APPLICANT OR APPLICATION (Application was efiled) AUTHORIZED AGENT 06/04/2013 William Renn
PART III TTB CERTIFICATE This certificate is issued subject to applicable laws, regulations and conditions as set forth in the instructions portion of this form. https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=13155001000094 1/3 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 33 of 56 PageID #: 75 2/14/2017 OMB No. 15130020
23. DATE ISSUED 24. AUTHORIZED SIGNATURE, ALCOHOL AND TOBACCO TAX AND TRADE BUREAU 07/09/2013
FOR TTB USE ONLY QUALIFICATIONS EXPIRATION DATE TTB has not reviewed this label for type size, characters per inch or contrasting background. The responsible (If any) industry member must continue to ensure that the mandatory information on the actual labels is displayed in the correct type size, number of characters per inch, and on a contrasting background in accordance with the TTB labeling regulations, 27 CFR parts 4, 5, 7, and 16, as applicable.
STATUS THE STATUS IS APPROVED.
CLASS/TYPE DESCRIPTION WHISKY SPECIALTIES
AFFIX COMPLETE SET OF LABELS BELOW Image Type: Brand (front) Actual Dimensions: 3.60 inches W X 5.11 inches H
Image Type: https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=13155001000094 2/3 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 34 of 56 PageID #: 76 2/14/2017 OMB No. 15130020 Neck Actual Dimensions: 2.25 inches W X 0.96 inches H
Image Type: Back Actual Dimensions: 3.60 inches W X 5.11 inches H
TTB F 5100.31 (07/2012) PREVIOUS EDITIONS ARE OBSOLETE
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=13155001000094 3/3 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 35 of 56 PageID #: 77 2/14/2017 OMB No. 15130020
OMB No. 15130020 (07/31/2015) FOR TTB USE ONLY DEPARTMENT OF THE TREASURY ALCOHOL AND TOBACCO TAX AND TRADE BUREAU TTB ID APPLICATION FOR AND 13155001000096 CERTIFICATION/EXEMPTION OF LABEL/BOTTLE APPROVAL (See Instructions and Paperwork Reduction Act Notice on Back) 1. REP. ID. NO. (If any) CT OR 691 69
PART I APPLICATION
2. PLANT 3. SOURCE OF 8. NAME AND ADDRESS OF APPLICANT AS SHOWN ON PLANT REGISTRY/BASIC PRODUCT (Required) REGISTRY, BASIC PERMIT OR BREWER'S NOTICE. INCLUDE APPROVED DBA OR TRADENAME IF USED ON LABEL (Required) PERMIT/BREWER'S Domestic NO. (Required) DSPKY12 Imported BUFFALO TRACE DISTILLERY, BUFFALO TRACE DISTILLERY, INC. DSPKY24 113 GREAT BUFFALO TRACE , FRANKLIN COUNTY DSPKY113 KYI15013 FRANKFORT KY 40601
SAZERAC CO., INC. (Used on label) 4. SERIAL NUMBER 5. TYPE OF PRODUCT (Required) (Required) 130240 WINE
DISTILLED SPIRITS
MALT BEVERAGE
6. BRAND NAME (Required) 8a. MAILING ADDRESS, IF DIFFERENT FIREBALL
7. FANCIFUL NAME (If any)
9. EMAIL ADDRESS 10. GRAPE 11. FORMULA 18. TYPE OF APPLICATION (Check applicable VARIETAL(S) (Wine box(es)) Only) 1182061 N/A a. CERTIFICATE OF LABEL APPROVAL
CERTIFICATE OF EXEMPTION FROM LABEL 12. NET CONTENTS 13. ALCOHOL 14. WINE APPELLATION b. APPROVAL "For sale in ______only" (Fill in State abbreviation.) 1.75 LITERS CONTENT IF ON LABEL 33 DISTINCTIVE LIQUOR BOTTLE APPROVAL. TOTAL c. BOTTLE CAPACITY BEFORE CLOSURE ______15. WINE VINTAGE 16. PHONE NUMBER 17. FAX NUMBER (Fill in amount) DATE IF ON LABEL (502) 3314819 (502) 3488573 RESUBMISSION AFTER REJECTION d. TTB ID. NO. ______
19. SHOW ANY INFORMATION THAT IS BLOWN, BRANDED, OR EMBOSSED ON THE CONTAINER (e.g., net contents) ONLY IF IT DOES NOT APPEAR ON THE LABELS AFFIXED BELOW. ALSO, SHOW TRANSLATIONS OF FOREIGN LANGUAGE TEXT APPEARING ON LABELS. PRINCIPAL PLACE OF BUSINESS USED IN LIEU OF BOTTLING LOCATION IN ACCORDANCE WITH 5.36(A)(6). CONTAINER MARKED TO INDICATE BOTTLING LOCATION. PART II APPLICANT'S CERTIFICATION
Under the penalties of perjury, I declare; that all statements appearing on this application are true and correct to the best of my knowledge and belief; and, that the representations on the labels attached to this form, including supplemental documents, truly and correctly represent the content of the containers to which these labels will be applied. I also certify that I have read, understood and complied with the conditions and instructions which are attached to an original TTB F 5100.31, Certificate/Exemption of Label/Bottle Approval.
20. DATE OF 21. SIGNATURE OF APPLICANT OR AUTHORIZED AGENT 22. PRINT NAME OF APPLICANT OR APPLICATION (Application was efiled) AUTHORIZED AGENT 06/04/2013 William Renn
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=13155001000096 1/3 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 36 of 56 PageID #: 78 2/14/2017 OMB No. 15130020 PART III TTB CERTIFICATE This certificate is issued subject to applicable laws, regulations and conditions as set forth in the instructions portion of this form. 23. DATE ISSUED 24. AUTHORIZED SIGNATURE, ALCOHOL AND TOBACCO TAX AND TRADE BUREAU 07/03/2013
FOR TTB USE ONLY QUALIFICATIONS EXPIRATION DATE TTB has not reviewed this label for type size, characters per inch or contrasting background. The responsible (If any) industry member must continue to ensure that the mandatory information on the actual labels is displayed in the correct type size, number of characters per inch, and on a contrasting background in accordance with the TTB labeling regulations, 27 CFR parts 4, 5, 7, and 16, as applicable. EACH CONTAINER MUST BE CODED TO INDICATE ACTUAL PLACE OF BOTTLING.
STATUS THE STATUS IS APPROVED.
CLASS/TYPE DESCRIPTION WHISKY SPECIALTIES
AFFIX COMPLETE SET OF LABELS BELOW Image Type: Brand (front) Actual Dimensions: 4.00 inches W X 5.00 inches H
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=13155001000096 2/3 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 37 of 56 PageID #: 79 2/14/2017 OMB No. 15130020
Image Type: Back Actual Dimensions: 3.75 inches W X 1.50 inches H
Image Type: Neck Actual Dimensions: 5.50 inches W X 1.70 inches H
TTB F 5100.31 (07/2012) PREVIOUS EDITIONS ARE OBSOLETE
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=13155001000096 3/3 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 38 of 56 PageID #: 80 2/14/2017 OMB No. 15130020
OMB No. 15130020 (07/31/2015) FOR TTB USE ONLY DEPARTMENT OF THE TREASURY ALCOHOL AND TOBACCO TAX AND TRADE BUREAU TTB ID APPLICATION FOR AND 13155001000099 CERTIFICATION/EXEMPTION OF LABEL/BOTTLE APPROVAL (See Instructions and Paperwork Reduction Act Notice on Back) 1. REP. ID. NO. (If any) CT OR 691 69
PART I APPLICATION
2. PLANT 3. SOURCE OF 8. NAME AND ADDRESS OF APPLICANT AS SHOWN ON PLANT REGISTRY/BASIC PRODUCT (Required) REGISTRY, BASIC PERMIT OR BREWER'S NOTICE. INCLUDE APPROVED DBA OR TRADENAME IF USED ON LABEL (Required) PERMIT/BREWER'S Domestic NO. (Required) DSPKY113 Imported BUFFALO TRACE DISTILLERY, BUFFALO TRACE DISTILLERY, INC. DSPKY12 113 GREAT BUFFALO TRACE , FRANKLIN COUNTY DSPKY24 KYI15013 FRANKFORT KY 40601
SAZERAC CO., INC. (Used on label) 4. SERIAL NUMBER 5. TYPE OF PRODUCT (Required) (Required) 130241 WINE
DISTILLED SPIRITS
MALT BEVERAGE
6. BRAND NAME (Required) 8a. MAILING ADDRESS, IF DIFFERENT FIREBALL
7. FANCIFUL NAME (If any)
9. EMAIL ADDRESS 10. GRAPE 11. FORMULA 18. TYPE OF APPLICATION (Check applicable VARIETAL(S) (Wine box(es)) Only) 1182061 N/A a. CERTIFICATE OF LABEL APPROVAL
CERTIFICATE OF EXEMPTION FROM LABEL 12. NET CONTENTS 13. ALCOHOL 14. WINE APPELLATION b. APPROVAL "For sale in ______only" (Fill in State abbreviation.) 100 MILLILITERS CONTENT IF ON LABEL 50 MILLILITERS 33 DISTINCTIVE LIQUOR BOTTLE APPROVAL. TOTAL c. BOTTLE CAPACITY BEFORE CLOSURE ______15. WINE VINTAGE 16. PHONE NUMBER 17. FAX NUMBER (Fill in amount) DATE IF ON LABEL (502) 3314819 (502) 3488573 RESUBMISSION AFTER REJECTION d. TTB ID. NO. ______
19. SHOW ANY INFORMATION THAT IS BLOWN, BRANDED, OR EMBOSSED ON THE CONTAINER (e.g., net contents) ONLY IF IT DOES NOT APPEAR ON THE LABELS AFFIXED BELOW. ALSO, SHOW TRANSLATIONS OF FOREIGN LANGUAGE TEXT APPEARING ON LABELS. PRINCIPAL PLACE OF BUSINESS USED IN LIEU OF BOTTLING LOCATION IN ACCORDANCE WITH 5.36(A)(6). CONTAINER MARKED TO INDICATE BOTTLING LOCATION. PART II APPLICANT'S CERTIFICATION
Under the penalties of perjury, I declare; that all statements appearing on this application are true and correct to the best of my knowledge and belief; and, that the representations on the labels attached to this form, including supplemental documents, truly and correctly represent the content of the containers to which these labels will be applied. I also certify that I have read, understood and complied with the conditions and instructions which are attached to an original TTB F 5100.31, Certificate/Exemption of Label/Bottle Approval.
20. DATE OF 21. SIGNATURE OF APPLICANT OR AUTHORIZED AGENT 22. PRINT NAME OF APPLICANT OR APPLICATION (Application was efiled) AUTHORIZED AGENT 06/04/2013 William Renn
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=13155001000099 1/3 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 39 of 56 PageID #: 81 2/14/2017 OMB No. 15130020 PART III TTB CERTIFICATE This certificate is issued subject to applicable laws, regulations and conditions as set forth in the instructions portion of this form. 23. DATE ISSUED 24. AUTHORIZED SIGNATURE, ALCOHOL AND TOBACCO TAX AND TRADE BUREAU 07/03/2013
FOR TTB USE ONLY QUALIFICATIONS EXPIRATION DATE TTB has not reviewed this label for type size, characters per inch or contrasting background. The responsible (If any) industry member must continue to ensure that the mandatory information on the actual labels is displayed in the correct type size, number of characters per inch, and on a contrasting background in accordance with the TTB labeling regulations, 27 CFR parts 4, 5, 7, and 16, as applicable. EACH CONTAINER MUST BE CODED TO INDICATE ACTUAL PLACE OF BOTTLING.
STATUS THE STATUS IS APPROVED.
CLASS/TYPE DESCRIPTION WHISKY SPECIALTIES
AFFIX COMPLETE SET OF LABELS BELOW Image Type: Brand (front) Actual Dimensions: 1.50 inches W X 2.75 inches H
Image Type: Back Actual Dimensions: 1.50 inches W X 2.75 inches H
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=13155001000099 2/3 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 40 of 56 PageID #: 82 2/14/2017 OMB No. 15130020
TTB F 5100.31 (07/2012) PREVIOUS EDITIONS ARE OBSOLETE
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=13155001000099 3/3 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 41 of 56 PageID #: 83 2/14/2017 OMB No. 15130020
OMB No. 15130020 (07/31/2015) FOR TTB USE ONLY DEPARTMENT OF THE TREASURY ALCOHOL AND TOBACCO TAX AND TRADE BUREAU TTB ID APPLICATION FOR AND 13270001000248 CERTIFICATION/EXEMPTION OF LABEL/BOTTLE APPROVAL (See Instructions and Paperwork Reduction Act Notice on Back) 1. REP. ID. NO. (If any) CT OR 641 22
PART I APPLICATION
2. PLANT 3. SOURCE OF 8. NAME AND ADDRESS OF APPLICANT AS SHOWN ON PLANT REGISTRY/BASIC PRODUCT (Required) REGISTRY, BASIC PERMIT OR BREWER'S NOTICE. INCLUDE APPROVED DBA OR TRADENAME IF USED ON LABEL (Required) PERMIT/BREWER'S Domestic NO. (Required) DSPKY113 Imported BUFFALO TRACE DISTILLERY, BUFFALO TRACE DISTILLERY, INC. DSPKY12 113 GREAT BUFFALO TRACE , FRANKLIN COUNTY DSPMD11 DSPKY24 FRANKFORT KY 40601 DSPCA63 SAZERAC CO. (Used on label) 4. SERIAL NUMBER 5. TYPE OF PRODUCT (Required) (Required) 130381 WINE
DISTILLED SPIRITS
MALT BEVERAGE
6. BRAND NAME (Required) 8a. MAILING ADDRESS, IF DIFFERENT FIREBALL
7. FANCIFUL NAME (If any) CINNAMON WHISKEY
9. EMAIL ADDRESS 10. GRAPE 11. FORMULA 18. TYPE OF APPLICATION (Check applicable VARIETAL(S) (Wine box(es)) Only) 1190546 N/A a. CERTIFICATE OF LABEL APPROVAL
CERTIFICATE OF EXEMPTION FROM LABEL 12. NET CONTENTS 13. ALCOHOL 14. WINE APPELLATION b. APPROVAL "For sale in ______only" (Fill in State abbreviation.) 1.75 LITERS CONTENT IF ON LABEL 1 LITER 33 DISTINCTIVE LIQUOR BOTTLE APPROVAL. TOTAL c. BOTTLE CAPACITY BEFORE CLOSURE ______750 MILLILITERS (Fill in amount)
15. WINE VINTAGE 16. PHONE NUMBER 17. FAX NUMBER RESUBMISSION AFTER REJECTION d. DATE IF ON LABEL (270) 6889240 (270) 6835758 TTB ID. NO. ______
19. SHOW ANY INFORMATION THAT IS BLOWN, BRANDED, OR EMBOSSED ON THE CONTAINER (e.g., net contents) ONLY IF IT DOES NOT APPEAR ON THE LABELS AFFIXED BELOW. ALSO, SHOW TRANSLATIONS OF FOREIGN LANGUAGE TEXT APPEARING ON LABELS. PRINCIPAL PLACE OF BUSINESS USED IN LIEU OF BOTTLING LOCATION IN ACCORDANCE WITH 5.36(A)(6). CONTAINER MARKED TO INDICATE BOTTLING LOCATION. PART II APPLICANT'S CERTIFICATION
Under the penalties of perjury, I declare; that all statements appearing on this application are true and correct to the best of my knowledge and belief; and, that the representations on the labels attached to this form, including supplemental documents, truly and correctly represent the content of the containers to which these labels will be applied. I also certify that I have read, understood and complied with the conditions and instructions which are attached to an original TTB F 5100.31, Certificate/Exemption of Label/Bottle Approval.
20. DATE OF 21. SIGNATURE OF APPLICANT OR AUTHORIZED AGENT 22. PRINT NAME OF APPLICANT OR APPLICATION AUTHORIZED AGENT https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=13270001000248 1/4 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 42 of 56 PageID #: 84 2/14/2017 OMB No. 15130020 09/27/2013 (Application was efiled) WILLIAM MUDD
PART III TTB CERTIFICATE This certificate is issued subject to applicable laws, regulations and conditions as set forth in the instructions portion of this form. 23. DATE ISSUED 24. AUTHORIZED SIGNATURE, ALCOHOL AND TOBACCO TAX AND TRADE BUREAU 10/22/2013
FOR TTB USE ONLY QUALIFICATIONS EXPIRATION DATE TTB has not reviewed this label for type size, characters per inch or contrasting background. The responsible (If any) industry member must continue to ensure that the mandatory information on the actual labels is displayed in the correct type size, number of characters per inch, and on a contrasting background in accordance with the TTB labeling regulations, 27 CFR parts 4, 5, 7, and 16, as applicable. EACH CONTAINER MUST BE CODED TO INDICATE ACTUAL PLACE OF BOTTLING. Other (PLEASE REMOVE WHISKY FROM FANCIFUL NAME SHOWN IN STEP 2 OF APPLICATION FORM.) INFORMATION RETRIEVED FROM THE QR CODE MUST BE IN COMPLIANCE WITH ALL LABELING AND ADVERTISING REGULATIONS.
STATUS THE STATUS IS APPROVED.
CLASS/TYPE DESCRIPTION WHISKY SPECIALTIES
AFFIX COMPLETE SET OF LABELS BELOW Image Type: Brand (front) Actual Dimensions: 4 inches W X 5 inches H
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=13270001000248 2/4 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 43 of 56 PageID #: 85 2/14/2017 OMB No. 15130020
Image Type: Neck Actual Dimensions: 5.5 inches W X 1.7 inches H
Image Type: Back Actual Dimensions: 3.75 inches W X 1.5 inches H
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=13270001000248 3/4 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 44 of 56 PageID #: 86 2/14/2017 OMB No. 15130020
TTB F 5100.31 (07/2012) PREVIOUS EDITIONS ARE OBSOLETE
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=13270001000248 4/4 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 45 of 56 PageID #: 87 2/14/2017 OMB No. 15130020
OMB No. 15130020 (07/31/2015) FOR TTB USE ONLY DEPARTMENT OF THE TREASURY ALCOHOL AND TOBACCO TAX AND TRADE BUREAU TTB ID APPLICATION FOR AND 13270001000254 CERTIFICATION/EXEMPTION OF LABEL/BOTTLE APPROVAL (See Instructions and Paperwork Reduction Act Notice on Back) 1. REP. ID. NO. (If any) CT OR 641 22
PART I APPLICATION
2. PLANT 3. SOURCE OF 8. NAME AND ADDRESS OF APPLICANT AS SHOWN ON PLANT REGISTRY/BASIC PRODUCT (Required) REGISTRY, BASIC PERMIT OR BREWER'S NOTICE. INCLUDE APPROVED DBA OR TRADENAME IF USED ON LABEL (Required) PERMIT/BREWER'S Domestic NO. (Required) DSPKY113 Imported BUFFALO TRACE DISTILLERY, BUFFALO TRACE DISTILLERY, INC. DSPKY12 113 GREAT BUFFALO TRACE , FRANKLIN COUNTY DSPMD11 DSPCA63 FRANKFORT KY 40601 DSPKY24 SAZERAC CO. (Used on label) 4. SERIAL NUMBER 5. TYPE OF PRODUCT (Required) (Required) 130380 WINE
DISTILLED SPIRITS
MALT BEVERAGE
6. BRAND NAME (Required) 8a. MAILING ADDRESS, IF DIFFERENT FIREBALL
7. FANCIFUL NAME (If any) CINNAMON WHISKEY
9. EMAIL ADDRESS 10. GRAPE 11. FORMULA 18. TYPE OF APPLICATION (Check applicable VARIETAL(S) (Wine box(es)) Only) 1190546 N/A a. CERTIFICATE OF LABEL APPROVAL
CERTIFICATE OF EXEMPTION FROM LABEL 12. NET CONTENTS 13. ALCOHOL 14. WINE APPELLATION b. APPROVAL "For sale in ______only" (Fill in State abbreviation.) 750 MILLILITERS CONTENT IF ON LABEL 1 LITER 33 DISTINCTIVE LIQUOR BOTTLE APPROVAL. TOTAL c. BOTTLE CAPACITY BEFORE CLOSURE ______375 MILLILITERS (Fill in amount) 50 MILLILITERS 100 MILLILITERS RESUBMISSION AFTER REJECTION d. TTB ID. NO. ______15. WINE VINTAGE 16. PHONE NUMBER 17. FAX NUMBER DATE IF ON LABEL (270) 6889240 (270) 6835758
19. SHOW ANY INFORMATION THAT IS BLOWN, BRANDED, OR EMBOSSED ON THE CONTAINER (e.g., net contents) ONLY IF IT DOES NOT APPEAR ON THE LABELS AFFIXED BELOW. ALSO, SHOW TRANSLATIONS OF FOREIGN LANGUAGE TEXT APPEARING ON LABELS. PRINCIPAL PLACE OF BUSINESS USED IN LIEU OF BOTTLING LOCATION IN ACCORDANCE WITH 5.36(A)(6). CONTAINER MARKED TO INDICATE BOTTLING LOCATION. PART II APPLICANT'S CERTIFICATION
Under the penalties of perjury, I declare; that all statements appearing on this application are true and correct to the best of my knowledge and belief; and, that the representations on the labels attached to this form, including supplemental documents, truly and correctly represent the content of the containers to which these labels will be applied. I also certify that I have read, understood and complied with the conditions and instructions which are attached to an original TTB F 5100.31, Certificate/Exemption of Label/Bottle Approval. https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=13270001000254 1/4 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 46 of 56 PageID #: 88 2/14/2017 OMB No. 15130020 20. DATE OF 21. SIGNATURE OF APPLICANT OR AUTHORIZED AGENT 22. PRINT NAME OF APPLICANT OR APPLICATION (Application was efiled) AUTHORIZED AGENT 09/27/2013 WILLIAM MUDD
PART III TTB CERTIFICATE This certificate is issued subject to applicable laws, regulations and conditions as set forth in the instructions portion of this form. 23. DATE ISSUED 24. AUTHORIZED SIGNATURE, ALCOHOL AND TOBACCO TAX AND TRADE BUREAU 10/22/2013
FOR TTB USE ONLY QUALIFICATIONS EXPIRATION DATE TTB has not reviewed this label for type size, characters per inch or contrasting background. The responsible (If any) industry member must continue to ensure that the mandatory information on the actual labels is displayed in the correct type size, number of characters per inch, and on a contrasting background in accordance with the TTB labeling regulations, 27 CFR parts 4, 5, 7, and 16, as applicable. EACH CONTAINER MUST BE CODED TO INDICATE ACTUAL PLACE OF BOTTLING. INFORMATION RETRIEVED FROM THE QR CODE MUST BE IN COMPLIANCE WITH ALL LABELING AND ADVERTISING REGULATIONS. Other (PLEASE REMOVE WHISKY FROM FANCIFUL NAME SHOWN IN STEP 2 OF APPLICATION FORM)
STATUS THE STATUS IS APPROVED.
CLASS/TYPE DESCRIPTION WHISKY SPECIALTIES
AFFIX COMPLETE SET OF LABELS BELOW Image Type: Brand (front) Actual Dimensions: 3.36 inches W X 5.12 inches H
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=13270001000254 2/4 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 47 of 56 PageID #: 89 2/14/2017 OMB No. 15130020
Image Type: Neck Actual Dimensions: 2.25 inches W X .92 inches H
Image Type: Back Actual Dimensions: 3.36 inches W X 5.12 inches H
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=13270001000254 3/4 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 48 of 56 PageID #: 90 2/14/2017 OMB No. 15130020
TTB F 5100.31 (07/2012) PREVIOUS EDITIONS ARE OBSOLETE
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=13270001000254 4/4 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 49 of 56 PageID #: 91 2/14/2017 OMB No. 15130020
OMB No. 15130020 (07/31/2015) FOR TTB USE ONLY DEPARTMENT OF THE TREASURY ALCOHOL AND TOBACCO TAX AND TRADE BUREAU TTB ID APPLICATION FOR AND 13325001000011 CERTIFICATION/EXEMPTION OF LABEL/BOTTLE APPROVAL (See Instructions and Paperwork Reduction Act Notice on Back) 1. REP. ID. NO. (If any) CT OR 641 22
PART I APPLICATION
2. PLANT 3. SOURCE OF 8. NAME AND ADDRESS OF APPLICANT AS SHOWN ON PLANT REGISTRY/BASIC PRODUCT (Required) REGISTRY, BASIC PERMIT OR BREWER'S NOTICE. INCLUDE APPROVED DBA OR TRADENAME IF USED ON LABEL (Required) PERMIT/BREWER'S Domestic NO. (Required) DSPKY113 Imported BUFFALO TRACE DISTILLERY, BUFFALO TRACE DISTILLERY, INC. DSPKY12 113 GREAT BUFFALO TRACE , FRANKLIN COUNTY DSPKY24 DSPCA63 FRANKFORT KY 40601 DSPMD11 SAZERAC CO. (Used on label) 4. SERIAL NUMBER 5. TYPE OF PRODUCT (Required) (Required) 130449 WINE
DISTILLED SPIRITS
MALT BEVERAGE
6. BRAND NAME (Required) 8a. MAILING ADDRESS, IF DIFFERENT FIREBALL
7. FANCIFUL NAME (If any) CINNAMON WHISKY
9. EMAIL ADDRESS 10. GRAPE 11. FORMULA 18. TYPE OF APPLICATION (Check applicable VARIETAL(S) (Wine box(es)) Only) 1190843 N/A a. CERTIFICATE OF LABEL APPROVAL
CERTIFICATE OF EXEMPTION FROM LABEL 12. NET CONTENTS 13. ALCOHOL 14. WINE APPELLATION b. APPROVAL "For sale in ______only" (Fill in State abbreviation.) 1.75 LITERS CONTENT IF ON LABEL 750 MILLILITERS 33 DISTINCTIVE LIQUOR BOTTLE APPROVAL. TOTAL c. BOTTLE CAPACITY BEFORE CLOSURE ______1 LITER (Fill in amount)
15. WINE VINTAGE 16. PHONE NUMBER 17. FAX NUMBER RESUBMISSION AFTER REJECTION d. DATE IF ON LABEL (270) 6889240 (270) 6835758 TTB ID. NO. ______
19. SHOW ANY INFORMATION THAT IS BLOWN, BRANDED, OR EMBOSSED ON THE CONTAINER (e.g., net contents) ONLY IF IT DOES NOT APPEAR ON THE LABELS AFFIXED BELOW. ALSO, SHOW TRANSLATIONS OF FOREIGN LANGUAGE TEXT APPEARING ON LABELS. PRINCIPAL LACE OF BUSINESS USED IN LIEU OF BOTTLING LOCATION IN ACCORDANCE WITH 5.36(A)(6). CONTAINER MARKED TO INDICATE BOTTLING LOCATION. PART II APPLICANT'S CERTIFICATION
Under the penalties of perjury, I declare; that all statements appearing on this application are true and correct to the best of my knowledge and belief; and, that the representations on the labels attached to this form, including supplemental documents, truly and correctly represent the content of the containers to which these labels will be applied. I also certify that I have read, understood and complied with the conditions and instructions which are attached to an original TTB F 5100.31, Certificate/Exemption of Label/Bottle Approval.
20. DATE OF 21. SIGNATURE OF APPLICANT OR AUTHORIZED AGENT 22. PRINT NAME OF APPLICANT OR APPLICATION AUTHORIZED AGENT https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=13325001000011 1/4 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 50 of 56 PageID #: 92 2/14/2017 OMB No. 15130020 11/21/2013 (Application was efiled) WILLIAM MUDD
PART III TTB CERTIFICATE This certificate is issued subject to applicable laws, regulations and conditions as set forth in the instructions portion of this form. 23. DATE ISSUED 24. AUTHORIZED SIGNATURE, ALCOHOL AND TOBACCO TAX AND TRADE BUREAU 11/21/2013
FOR TTB USE ONLY QUALIFICATIONS EXPIRATION DATE EACH CONTAINER MUST BE CODED TO INDICATE ACTUAL PLACE OF BOTTLING. (If any) TTB has not reviewed this label for type size, characters per inch or contrasting background. The responsible industry member must continue to ensure that the mandatory information on the actual labels is displayed in the correct type size, number of characters per inch, and on a contrasting background in accordance with the TTB labeling regulations, 27 CFR parts 4, 5, 7, and 16, as applicable.
STATUS THE STATUS IS APPROVED.
CLASS/TYPE DESCRIPTION WHISKY SPECIALTIES
AFFIX COMPLETE SET OF LABELS BELOW Image Type: Brand (front) Actual Dimensions: 4 inches W X 5 inches H
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=13325001000011 2/4 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 51 of 56 PageID #: 93 2/14/2017 OMB No. 15130020
Image Type: Neck Actual Dimensions: 5.5 inches W X 1.7 inches H
Image Type: Back Actual Dimensions: 3.75 inches W X 1.5 inches H
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=13325001000011 3/4 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 52 of 56 PageID #: 94 2/14/2017 OMB No. 15130020
TTB F 5100.31 (07/2012) PREVIOUS EDITIONS ARE OBSOLETE
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=13325001000011 4/4 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 53 of 56 PageID #: 95 2/14/2017 OMB No. 15130020
OMB No. 15130020 (07/31/2015) FOR TTB USE ONLY DEPARTMENT OF THE TREASURY ALCOHOL AND TOBACCO TAX AND TRADE BUREAU TTB ID APPLICATION FOR AND 13325001000013 CERTIFICATION/EXEMPTION OF LABEL/BOTTLE APPROVAL (See Instructions and Paperwork Reduction Act Notice on Back) 1. REP. ID. NO. (If any) CT OR 641 22
PART I APPLICATION
2. PLANT 3. SOURCE OF 8. NAME AND ADDRESS OF APPLICANT AS SHOWN ON PLANT REGISTRY/BASIC PRODUCT (Required) REGISTRY, BASIC PERMIT OR BREWER'S NOTICE. INCLUDE APPROVED DBA OR TRADENAME IF USED ON LABEL (Required) PERMIT/BREWER'S Domestic NO. (Required) DSPKY113 Imported BUFFALO TRACE DISTILLERY, BUFFALO TRACE DISTILLERY, INC. DSPKY24 113 GREAT BUFFALO TRACE , FRANKLIN COUNTY DSPKY12 DSPCA63 FRANKFORT KY 40601 DSPMD11 SAZERAC CO. (Used on label) 4. SERIAL NUMBER 5. TYPE OF PRODUCT (Required) (Required) 130450 WINE
DISTILLED SPIRITS
MALT BEVERAGE
6. BRAND NAME (Required) 8a. MAILING ADDRESS, IF DIFFERENT FIREBALL
7. FANCIFUL NAME (If any) CINNAMON WHISKY
9. EMAIL ADDRESS 10. GRAPE 11. FORMULA 18. TYPE OF APPLICATION (Check applicable VARIETAL(S) (Wine box(es)) Only) 1190843 N/A a. CERTIFICATE OF LABEL APPROVAL
CERTIFICATE OF EXEMPTION FROM LABEL 12. NET CONTENTS 13. ALCOHOL 14. WINE APPELLATION b. APPROVAL "For sale in ______only" (Fill in State abbreviation.) 750 MILLILITERS CONTENT IF ON LABEL 1 LITER 33 DISTINCTIVE LIQUOR BOTTLE APPROVAL. TOTAL c. BOTTLE CAPACITY BEFORE CLOSURE ______375 MILLILITERS (Fill in amount) 200 MILLILITERS 100 MILLILITERS RESUBMISSION AFTER REJECTION 50 MILLILITERS d. TTB ID. NO. ______15. WINE VINTAGE 16. PHONE NUMBER 17. FAX NUMBER DATE IF ON LABEL (270) 6889240 (270) 6835758
19. SHOW ANY INFORMATION THAT IS BLOWN, BRANDED, OR EMBOSSED ON THE CONTAINER (e.g., net contents) ONLY IF IT DOES NOT APPEAR ON THE LABELS AFFIXED BELOW. ALSO, SHOW TRANSLATIONS OF FOREIGN LANGUAGE TEXT APPEARING ON LABELS. PRINCIPAL PLACE OF BUSINESS USED IN LIEU OF BOTTLING LOCATION IN ACCORDANCE WITH 5.36(A)(6). CONTAINER MARKED TO INDICATE BOTTLING LOCATION. PART II APPLICANT'S CERTIFICATION
Under the penalties of perjury, I declare; that all statements appearing on this application are true and correct to the best of my knowledge and belief; and, that the representations on the labels attached to this form, including supplemental documents, truly and correctly represent the content of the containers to which these labels will be applied. I also certify that I have read, understood and complied with the conditions and instructions which are attached to an original TTB F 5100.31, Certificate/Exemption of Label/Bottle Approval. https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=13325001000013 1/4 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 54 of 56 PageID #: 96 2/14/2017 OMB No. 15130020
20. DATE OF 21. SIGNATURE OF APPLICANT OR AUTHORIZED AGENT 22. PRINT NAME OF APPLICANT OR APPLICATION (Application was efiled) AUTHORIZED AGENT 11/21/2013 WILLIAM MUDD
PART III TTB CERTIFICATE This certificate is issued subject to applicable laws, regulations and conditions as set forth in the instructions portion of this form. 23. DATE ISSUED 24. AUTHORIZED SIGNATURE, ALCOHOL AND TOBACCO TAX AND TRADE BUREAU 11/21/2013
FOR TTB USE ONLY QUALIFICATIONS EXPIRATION DATE EACH CONTAINER MUST BE CODED TO INDICATE ACTUAL PLACE OF BOTTLING. (If any) TTB has not reviewed this label for type size, characters per inch or contrasting background. The responsible industry member must continue to ensure that the mandatory information on the actual labels is displayed in the correct type size, number of characters per inch, and on a contrasting background in accordance with the TTB labeling regulations, 27 CFR parts 4, 5, 7, and 16, as applicable.
STATUS THE STATUS IS APPROVED.
CLASS/TYPE DESCRIPTION WHISKY SPECIALTIES
AFFIX COMPLETE SET OF LABELS BELOW Image Type: Brand (front) Actual Dimensions: 3.36 inches W X 5.12 inches H
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=13325001000013 2/4 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 55 of 56 PageID #: 97 2/14/2017 OMB No. 15130020
Image Type: Neck Actual Dimensions: 2.25 inches W X .92 inches H
Image Type: Back Actual Dimensions: 3.36 inches W X 5.12 inches H
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=13325001000013 3/4 Case 3:17-cv-00092-DJH Document 1-3 Filed 02/15/17 Page 56 of 56 PageID #: 98 2/14/2017 OMB No. 15130020
TTB F 5100.31 (07/2012) PREVIOUS EDITIONS ARE OBSOLETE
https://www.ttbonline.gov/colasonline/viewColaDetails.do?action=publicFormDisplay&ttbid=13325001000013 4/4