## Cover Letter

Jim Alwood, Attached is the PMN for LoREX Modification E-14-4. We have added the test data as discussed for your reiview. Let us know if you have any questions. Regards, Troy Christensen, PE Otis Institute Cell - 415-734-0186 Fax - 415-276-5896 Zofia Kosim, This is an amendment to the LOREX #X13-0001 to add an additional manufacturing site for Nanosys located at 233 S Hillview Dr Milpitas, CA 95035. This site will have all of the same personnel and environmental controls as listed in the LOREX application for the QD Core. Regards, Troy Christensen, PE Otis Institute Cell - 415-734-0186 Fax - 415-276-5896 PMN Page Section B 3. Impurities Updated
To Whom It Concerns, "LOREX Modification # E-12-0002 was approved. Nanosys has determined that we need to split this LOREX into two separate LOREXs. This is a LOREX covers the first Steps in the manufacture of the QD Matrix in Toluene. This LOREX is for the CdSe Core also known as QD Core. The existing E-12-0002 will be modified to only include the second process of adding the shell to the core known as QD Shell. Another LOREX was submitted for the third process step which is under review X-12-0005. Page 1 SANITIZED SUBMISSION

### If you have any questions regarding this above mentioned change, please do not hesitate to contact Troy

Christensen of Otis Institute. Regards, Tony Soriano Nanosys, Inc. 650-331-2208 Troy Christensen, PE Otis Institute 415-734-0186 Old Cover for historical reasons. Attn: Tom Webb, This copy contains the final change for PMNX120604794312474 per the direction of the EPA/OPPT LoRex Coordinator Scott Prothero and additional recommend changes per Tom Webb. 1. PMN Page 3 Section A,1.b was changed to Tony Soriano (Authorized Official) and Troy Christensen, PE of Otis Institute 2. PMN Page 4 Section B,1.e Chemical Structure Diagram was updated to and matches original 2009 submitted diagram. 3. PMN Page 4a Section B,1.e(2) - Nature of Reaction description modified to add diameter ranges at each part of the reaction. 4. PMN Page 7 Section C, 2.a(1) - Changed category of use per your recommendations 5. Identified material up to its conversion in Section A--Exposure and Release Data page 9a and the corresponding attachments. a. PMN Page 9 (3) added a new worker activity at Row 33 b. Replaced old Row #38 with new worker activity new Row #39 c. Attachment #002 was QD Matrix Production Process was updated with Process Flow - EPA Copy d. Attachment #003 QD_PMN Page 9 Attachment (EPA Submittal) was updated. 6. Update reference from aqueous to non-aqueous in section 8 of safety data sheet. a. Attachment #004 MSDS was updated to SDS document If you have any questions regarding this above mentioned change, please do not hesitate to contact Troy Christensen of Otis Institute. Regards, Tony Soriano Page 2 SANITIZED SUBMISSION

### Nanosys, Inc.

650-331-2208 Troy Christensen, PE Otis Institute 415-734-0186

----------------------------------------------------- To Whom It May Concern: Nanosys respectfully requests a modification to our existing LoRex submittal X-10-0003. The reasons for this modification include: A change in application—The quantum dots will no longer be used in capillaries as prescribed in the original LoRex X-10-0003. The quantum dot material as described in this packet, will now serve as a chemical intermediate. This submittal is the first of two, where this quantum dot matrix identified in this packet will be the precursor to the second quantum dot with ligand submittal in the near future. Volume change—additionally, we anticipate a volume increase and have updated the modification to reflect the new volume projections. If you have any questions regarding the above mentioned changes, please do not hesitate to contact me. Regards, Eric Fuller Nanosys, Inc. 650-331-2227

Page 3 SANITIZED SUBMISSION

### Pay.gov Tracking ID: 25II7BGU Agency Tracking ID: 74711304644 NANO141121179708228 NAN003

X X X

X

X Page 4 SANITIZED SUBMISSION

### X



## X

Page 5 SANITIZED SUBMISSIONTony Soriano Director, Equipment Engineering & Facilities Nanosys Inc 233 S Hillview Drive Milpitas CA 95035 tsoriano@nanosysinc.com Troy Christensen Managing Principal Otis Institute, Inc. 185 Berry Street #5509 San Francisco CA 94107 troy@otisinstitute.com 415-734-0186

Bob Dubrow Director of Chemistry Nanosys Inc 233 S Hillview Drive Milpitas CA 95035 bdubrow@nanosysinc.com 408-240-6711



## X X X X

Page 6 SANITIZED SUBMISSION

## X

XXX 

## X

XXX 

## X 326682 CAS Expert Inventory Result Sanitized 11142012.pdf 

### XXX 

## X See Attachment 001 (Chemical Structure Diagram - QD Core Final - Sanitized.pdf)

Chemical Structure Diagram - QD Core Final - Sanitized.pdf Page 7 SANITIZED SUBMISSIONXXX

XXX

XXX 

## X

X

X

Page 8 SANITIZED SUBMISSIONPage 9 SANITIZED SUBMISSIONPage 10 SANITIZED SUBMISSIONQuantum Dot

Alkanoic acid, reaction products with cadmium selenide and 1-decanamine XXX XXX XXX 

### X XXX XXX XXX 

### X XXX XXX XXX 

### X

Page 11 SANITIZED SUBMISSION

### 25000 50000



## X

See continuation page. id: <P7SC2bC1> The first chemical synthesis step in producing a down converting phosphor solution for use in an optical filter. 100 10 XXX XXX XXX XXX 

### X

Page 12 SANITIZED SUBMISSIONP7SC2bC1 Part I, Section C, 2.b. Generic use description

The Quantum Dot Core material is the first step in producing Quantum Dots. Quantum Dots material is composed of high efficiency quantum dotphosphors. Larger than a water molecule, but smaller than a virus, these tiny phosphors convert blue light from a standard gallium nitride lightemitting diode into different wavelengths based upon their size. Larger dots emit longer wavelengths (red), while smaller dots emit shorter wavelengths (green). Blending together a mix of dot colors allows Nanosys to engineer a new spectrum of light. This allows liquid crystal display manufacturers to accurately match their light-emitting diode backlight to their light crystal display color filters to achieve the best possible color and efficiency performance. The result is professional photo and cinema level color performance in handheld devices, monitors, televisions, etc.

Page 13 SANITIZED SUBMISSION

## X

10 12 5000 

## 1

XXX 

## X Nanosys - Hillview 233 S Hillview Dr Milpitas Milpitas Santa Clara CA 95035

Page 14 SANITIZED SUBMISSIONSee Attachment 002 (QD Core Gen II Process 201400901 Sanitized Rev 1.pdf)

QD Core Gen II Process 201400901 Sanitized Rev 1.pdf Page 15 SANITIZED SUBMISSIONGEN II Core QD Process All Steps Page 9 Att (EPA Submittal) 20140901 - Sanitized.pdf

XXX XXX XXX 3 .25 255 

### X X XXX XXX XXX 3 .5 255 

### X X See continuation page. id: <P9SA2(1)C1R3> XXX XXX 3 .25 5 

### X XXX XXX XXX 3 .9 255 

### X X See continuation page. id: <P9SA2(1)C1R5> XXX XXX 3 .8 255 

### X See continuation page. id: <P9SA2(1)C1R6> XXX XXX 3 .6 255 

### X See continuation page. id: <P9SA2(1)C1R7> See continuation page. id: <P9SA2(3)C1R7> 0.01% of residual QD (liquid) 3 .5 255 See continuation page. id: <P9SA2(1)C1R8> See continuation page. id: <P9SA2(3)C1R8> 0.01% of residual QD (liquid) 3 .1 255 XXX XXX XXX 1 .25 255 

### X X See continuation page. id: <P9SA2(1)C1R10> XXX XXX 1 .25 255 

### X X Page 16 SANITIZED SUBMISSION

## (1)

XXX XXX XXX 1 .25 255 

### X X See continuation page. id: <P9SA2(1)C1R12> XXX XXX 1 .25 255 

### X See continuation page. id: <P9SA2(1)C1R13> XXX XXX 1 .5 255 

### X GEN II-C8	All tanks and lines are cleaned with a clean in place system using Toluene at 50 C. See continuation page. id: <P9SA2(3)C1R14> 0.01% of residual quantum dots 1 .25 255 See continuation page. id: <P9SA2(1)C1R15> See continuation page. id: <P9SA2(3)C1R15> 0.01% of residual quantum dots 1 .25 255

Page 17 SANITIZED SUBMISSIONP9SA2(1)C1R3 Part II, Section A, 2.(1) Worker Activity, Row 3

LS-C5	Remove thermocouple. Replace septa cap and addition funnels with secured glass stoppers. Bring flask into the glove-box under vacuum.

Page 18 SANITIZED SUBMISSIONP9SA2(1)C1R5 Part II, Section A, 2.(1) Worker Activity, Row 5

LS-C7	Pour off supernatant. Dissolve QD with TDPA Ligands with Hexane 2-4 ml per bottle syringes out and repeated once. Collect on syringed material in one bottle.

Page 19 SANITIZED SUBMISSIONP9SA2(1)C1R6 Part II, Section A, 2.(1) Worker Activity, Row 6

LS-C8	"Prepare 1 mL sample for QAQC testing. Determine absorbance using the UV/vis spectrometer and emission and distribution full width half max using the fluorometer. Sample is prepared in glove box, taken out in a closed cuvette to do a UV-Vis reading. In fume hood, a sample is made using wet hexane to prepare the second reading, using the fluorometer.

Page 20 SANITIZED SUBMISSIONP9SA2(1)C1R7 Part II, Section A, 2.(1) Worker Activity, Row 7

LS-C9	Laboratory glassware is placed into a 30% Potassium Hydroxide (KOH) / 70% Isopropyl Alcohol (IPA) base bath for a minimum of thirty minutes.

Page 21 SANITIZED SUBMISSIONP9SA2(3)C1R7 Part II, Section A, 2.(3) Prot. Equipment, etc., Row 7

Splash protection including gloves (PVC/Butyl/Neoprene outer gloves in combination with inner nitrile gloves), safety glasses, splash shield, lab coat and splash apron.

Page 22 SANITIZED SUBMISSIONP9SA2(1)C1R8 Part II, Section A, 2.(1) Worker Activity, Row 8

LS-C10	Retrieve glassware and pour off any residual base bath and gently submerge into sodium bicarbonate rinse bath to neutralize the 30% Potassium Hydroxide (KOH) / 70% Isopropyl Alcohol (IPA).

Page 23 SANITIZED SUBMISSIONP9SA2(3)C1R8 Part II, Section A, 2.(3) Prot. Equipment, etc., Row 8

Splash protection including gloves (PVC/Butyl/Neoprene outer gloves in combination with inner nitrile gloves), safety glasses, splash shield, lab coat and splash apron.

Page 24 SANITIZED SUBMISSIONP9SA2(1)C1R10 Part II, Section A, 2.(1) Worker Activity, Row 10

GEN II-C4	[Cool system to 80 C and add 9-40 L of toluene to reactor, continue cooling to 50 C; transfer to transfer container when process is complete.]

Page 25 SANITIZED SUBMISSIONP9SA2(1)C1R12 Part II, Section A, 2.(1) Worker Activity, Row 12

GEN II-C6	TFF is operated until process meets specification; the material is then pumped to another transfer vessel.

Page 26 SANITIZED SUBMISSIONP9SA2(1)C1R13 Part II, Section A, 2.(1) Worker Activity, Row 13

GEN II-C7	Prepare 1 mL sample for QAQC testing. Determine absorbance using the UV/vis spectrometer and emission and distribution full width half max using the fluorometer. Sample is prepared in glove box, taken out in a closed cuvette to do a UV-Vis reading. In fume hood, a sample is made using wet hexane to prepare the second reading, using the fluorometer.

Page 27 SANITIZED SUBMISSIONP9SA2(3)C1R14 Part II, Section A, 2.(3) Prot. Equipment, etc., Row 14

This is a closed system and personnel where lab coat, gloves, safety glasses, and face shield with connecting and discounting lines

Page 28 SANITIZED SUBMISSIONP9SA2(1)C1R15 Part II, Section A, 2.(1) Worker Activity, Row 15

GEN II-C9	All Transfer tanks and flexible lines are taking to the stationary pumped cleaning system using Toluene.

Page 29 SANITIZED SUBMISSIONP9SA2(3)C1R15 Part II, Section A, 2.(3) Prot. Equipment, etc., Row 15

This is a closed system and personnel where lab coat, gloves, safety glasses, and face shield with connecting and discounting lines

Page 30 SANITIZED SUBMISSIONGEN II Core QD Process All Steps Page 9 Att (EPA Submittal) 20140901 - Sanitized.pdf

LS-C5 0 0.0025 kg/batch Off-site Incineration QD contaminated solvent and wipes are sent to a permitted HW incinerator for disposal. 0 LS-C7 0 0.00 25 kg/batch Off-site Incineration QD contaminated solvent and wipes are sent to a permitted HW incinerator for disposal. 0 LS-C8 0 0.0025 kg/batch Off-site Incineration QD contaminated solvent and wipes are sent to a permitted HW incinerator for disposal. 0 LS-C9 0 0.005kg/bat ch Off-site Incineration QD contaminated solvent and wipes are sent to a permitted HW incinerator for disposal. 0 LS-C10 0 0.0025 kg/batch Off-site Incineration QD contaminated solvent and wipes are sent to a permitted HW incinerator for disposal. 0GEN IIC4 0 0.002 kg/batch Off-site Incineration QD contaminated solvent and wipes are sent to a permitted HW incinerator for disposal. 0GEN IIC5 0 0.002 kg/batch Off-site Incineration QD contaminated solvent and wipes are sent to a permitted HW incinerator for disposal. 0GEN IIC7 0 0.002 kg/batch Off-site Incineration QD contaminated solvent and wipes are sent to a permitted HW incinerator for disposal. 0GEN IIC8 0 0.002 kg/batch Off-site Incineration QD contaminated solvent and wipes are sent to a permitted HW incinerator for disposal. 0 

## X

Page 31 SANITIZED SUBMISSION

## (1)

GEN IIC9 0 0.001 kg/batch QD contaminated solvent and wipes are sent to a permitted HW incinerator for disposal. 0

Page 32 SANITIZED SUBMISSION

### 0

Page 33 SANITIZED SUBMISSIONPage 34 SANITIZED SUBMISSIONPage 35 SANITIZED SUBMISSION001 Chemical Structure Diagram - CBI Chemical Structure Diagram - QD Core Final - Sanitized.pdf Pt.I, Sec.B, 1e. 1 002 Product Process Flow Diagram - Sanitized QD Core Gen II Process 201400901 Sanitized Rev 1.pdf Pt.2, Sec.A, 1d. 4 003 QD_Core Page 9 Attachment (EPA SubmittalSanitized) GEN II Core QD Process All Steps Page 9 Att (EPA Pt.2, Sec.A, End 3 004 CdSe Quantum Dots in Toluene SDS Otis - CdSe Quantum Dot Cores in Toluene.pdf 6 005 CAS Experrt Inventory Result - Sanitized CAS Expert Inventory Result Sanitized 11142012.pdf Pt.I, Sec.B, 1c. 1 006 Santized Core Test Results Santized Core Test Results.pdf Worksheet: Other Property (Additional Test Data Requested By EPA) 5

Page 36 SANITIZED SUBMISSION

## X Measured 5-5.5 Measured
0 Measured 20 Methanol 0 Measured 20

3-7 nanometers Measured XXX 

## X XXX Page 37 SANITIZED SUBMISSIONXXX XXX 

## X Particle diameter with ligand 3-10 nanometers Estimate Solubility Solubale in Hexane Measured Additional Test Data Requested By EPA 

## X 006 See Attachment Measured

Page 38 SANITIZED SUBMISSION

## ATTACHMENT HEADER SHEET Attachment Number 001 Attachment Name Chemical Structure Diagram - CBI 

## Associated PMN Section Number

Pt.I, Sec.B, 1e. Does not contain CBI 

## Report Number NANO141121179708228

## ATTACHMENT HEADER SHEET Attachment Number 002 Attachment Name Product Process Flow Diagram - Sanitized 

## Associated PMN Section Number

Pt.2, Sec.A, 1d. Does not contain CBI 

## Report Number NANO141121179708228

## ATTACHMENT HEADER SHEET Attachment Number 003 Attachment Name QD_Core Page 9 Attachment (EPA Submittal-Sanitized) 

## Associated PMN Section Number

Pt.2, Sec.A, End Does not contain CBI 

## Report Number NANO141121179708228

## ATTACHMENT HEADER SHEET Attachment Number 004 Attachment Name CdSe Quantum Dots in Toluene SDS 

## Associated PMN Section Number

N/A Does not contain CBI 

## Report Number NANO141121179708228

## ATTACHMENT HEADER SHEET Attachment Number 005 Attachment Name CAS Experrt Inventory Result - Sanitized 

## Associated PMN Section Number

Pt.I, Sec.B, 1c. Does not contain CBI 

## Report Number NANO141121179708228

## ATTACHMENT HEADER SHEET Attachment Number 006 Attachment Name Santized Core Test Results 

## Associated PMN Section Number Worksheet: Other Property (Additional Test Data Requested By EPA) Does not contain CBI 

## Report Number NANO141121179708228