Ex Parte Bouillot et alDownload PDFPatent Trial and Appeal BoardSep 25, 201813917730 (P.T.A.B. Sep. 25, 2018) Copy Citation UNITED STA TES p A TENT AND TRADEMARK OFFICE APPLICATION NO. FILING DATE FIRST NAMED INVENTOR 13/917,730 06/14/2013 Philippe Michel Rene Bouillot 1095 7590 09/27/2018 NOVARTIS PHARMACEUTICAL CORPORATION INTELLECTUAL PROPERTY DEPARTMENT ONE HEAL TH PLAZA 433/2 EAST HANOVER, NJ 07936-1080 UNITED STATES DEPARTMENT OF COMMERCE United States Patent and Trademark Office Address: COMMISSIONER FOR PATENTS P.O. Box 1450 Alexandria, Virginia 22313-1450 www .uspto.gov ATTORNEY DOCKET NO. CONFIRMATION NO. P AT054499-US-CIP 9743 EXAMINER ROSENTHAL, ANDREWS ART UNIT PAPER NUMBER 1613 NOTIFICATION DATE DELIVERY MODE 09/27/2018 ELECTRONIC Please find below and/or attached an Office communication concerning this application or proceeding. The time period for reply, if any, is set in the attached communication. Notice of the Office communication was sent electronically on above-indicated "Notification Date" to the following e-mail address(es): phip.patents@novartis.com PTOL-90A (Rev. 04/07) UNITED STATES PATENT AND TRADEMARK OFFICE BEFORE THE PATENT TRIAL AND APPEAL BOARD Ex parte PHILIPPE MICHEL RENE BOUILLOT and EMERIC REYNAUD 1 Appeal 2016-006868 Application 13/917,730 Technology Center 1600 Before DEMETRA J. MILLS, TA WEN CHANG, and TIMOTHY G. MAJORS, Administrative Patent Judges. CHANG, Administrative Patent Judge. DECISION ON APPEAL This is an appeal under 35 U.S.C. § 134(a) involving claims to a solid phase oral pharmaceutical composition, which have been rejected as obvious. We have jurisdiction under 35 U.S.C. § 6(b). We AFFIRM. STATEMENT OF THE CASE The Specification states that "SIP receptors belong to a family of closely related, lipid activated G- protein coupled receptors" and that " [ c] ertain S 1 P receptors are associated with diseases mediated by 1 Appellants identify the Real Party in Interest as Novartis AG. (Appeal Br. 2.) Appeal2016-006868 Application 13/917,730 lymphocyte interactions, for example, in transplantation rejections, autoimmune disease, inflammatory diseases, infectious diseases and cancer." (Spec. 1.) According to the Specification, "[t]he present invention relates to formulations of immunosuppressant compounds, and particularly to formulations of S 1 P receptor modulators. More particularly the invention relates to formulations of 1-{ 4-[ 1-( 4-cyclohexyl-3-trifluoromethyl- benzyloxyimino )-ethyl]-2-ethyl-benzyl }-azetidine-3-carboxylic acid ["API"], pharmaceutically acceptable salts, and related compounds." (Id.) Further according to the Specification, "[t]he present invention is predicated at least in part on a finding that ... pharmaceutical compositions having particular excipients are associated with reduced degradation of [ API] as compared to alternative compositions of the same active pharmaceutical ingredient." (Id. at 3.) Claims 1, 4, 6, 7, and 9-13 are on appeal. Claim 1 is illustrative and reproduced below: 1. A solid phase oral pharmaceutical composition comprising glyceryl behenate, 1- { 4-[ 1-( 4-cyclohexyl-3- trifluoromethyl-benzyloxyimino )-ethyl]-2-ethyl-benzyl }- azetidine-3-carboxylic acid ("API") or a pharmacologically acceptable salt, or hydrate thereof, wherein the API is not exposed to a basic compound, with the exclusion of basic forms of the API, itself. (Appeal Br. 13 (Claims App.).) 2 Appeal2016-006868 Application 13/917,730 The Examiner rejects claims 1, 4, 6, 7, and 9-13 under 35 U.S.C. § 103 as being unpatentable over Ciszewski, 2 Reugger, 3 and Ando, 4 as evidenced by Illinois Poison Center. 5 (Ans. 3.) DISCUSSION Issue The Examiner finds that Ciszewski teaches a hemifumarate salt of 1- { 4-[1-( 4-cyclohexyl-3-trifluoromethyl-benzyloxyimino )-ethyl]-2-ethyl- benzyl }-azetidine-3-carboxylic acid ("API"). (Ans. 4.) The Examiner finds that the salt is "formulated in ... crystalline form and provided as a pharmaceutical composition comprising said compound and a pharmaceutically acceptable adjuvant, diluent or carrier." (Id.) The Examiner finds that Ciszewski teaches that its invention can be prepared for oral administration ( e.g., in tablet form) and "comprise excipients that do not necessarily include basic compounds." (Id. at 4--5.) The Examiner finds that Ciszewski teaches, as possible excipients, lubricants such as magnesium stearate. (Id. at 6.) The Examiner finds that Ciszewski does not teach a composition comprising glycerol behenate, as required by claim 1. (Id. at 5.) However, the Examiner finds that Ruegger "teaches a composition comprising sphingosine-1-phosphate (SIP) receptor modulators including, as a preferred 2 Ciszewski et al., WO 2010/080409 Al, published July 15, 2010. 3 Ruegger et al., WO 2009/048993 A2, published Apr. 16, 2009. 4 Howard Y. Ando et al., Property-Based Drug Design and Preformulation, in REMINGTON: THE SCIENCE AND PRACTICE OF PHARMACY 720 (David B. Troy et al., ed. 2005). 5 Silica Gel, ILLINOIS POISON CENTER, https://illinoispoisoncenter.org/my- child-ate-Silica-Gel (last visited Mar. 24, 2015). 3 Appeal2016-006868 Application 13/917,730 species, [API described in claim 1] and salts thereof such as fumarate salts." (Id.) The Examiner finds that Ruegger teaches combining the API of claim 1 with common excipients such as lubricants selected from the group comprising magnesium stearate and glyceryl behenate. (Id.) The Examiner concludes that a skilled artisan would have found it prima facie obvious to use the glyceryl behanate taught in Ruegger in Ciszewski' s composition to arrive at the invention of claim 1, with a reasonable expectation of success, because Ciszewski teaches the API of claim 1 "in an oral dosage form with non-basic excipients including lubricants such as magnesium stearate," while Ruegger teaches a composition comprising the same active agent as Ciszewski and also teaches that "glyceryl behenate and magnesium stearate are both suitable alternative lubricants." 6 (Id. at 6.) Appellants contend that the cited references do not teach or suggest the limitation, "wherein the API is not exposed to a basic compound," or the use of glyceryl behenate with the API, as required by claim 1. (Appeal Br. 6-8, 11-12.) Appellants contend that they identified a previously unknown problem associated with the stability and degradation of API and that the subject matter of the claims exhibit unexpected results. (Id. at 6-9.) Appellants contend that the Examiner's rejection is based on improper hindsight. (Id. at 10-11.) 6 The Examiner cites Ando only to address certain limitations in dependent claims 6 and 7 (Ans. 5, 7), which were not separately argued by Appellants. Likewise, the Examiner cites Illinois Poison Center only to address a limitation in dependent claim 13 (Ans. 5, 7), which Appellants do not separately argue. 4 Appeal2016-006868 Application 13/917,730 Appellants do not separately argue the claims. We therefore limit our analysis to claim 1. The issues with respect to this rejection are (1) whether the cited prior art combination suggests a composition comprising API and glyceryl behenate wherein "the API is not exposed to a basic compound" other than basic forms of the API itself and, if so, (2) whether Appellants have provided evidence of unexpected results that, when considered together with evidence of obviousness, shows claim 1 to be non-obvious. Findings of Fact 1. Ciszewski relates to a hemifumarate salt of 1-(4-{l-[(E)-4-cyclohexyl-3- trifluoromethyl-benzyloxyimino]ethyl}-2-ethyl-benzyl)- azetidine-3-carboxylic acid[, i.e., API], ... pharmaceutical compositions comprising this salt, . . . processes for forming this salt and to its use in medical treatment[,] ... new polymorphic forms of the hemifumarate salt form of [ API], ... pharmaceutical compositions comprising these polymorphic forms, ... processes for obtaining them, and their use in medical treatment. ( Ciszewski Abstract.) 2. Ciszewski teaches that the hemifumarate salt of the API may be administered orally. (Id. at 20.) 3. Ciszewski teaches that [ s Jo lid dosage forms for oral administration include capsules, tablets, pills, powders and granules. In such solid dosage forms, the hemifumarate salt of [ API] (including any one of its crystalline forms A to E) is typically mixed with at least one inert, pharmaceutically acceptable excipient or carrier such as sodium citrate or dicalcium phosphate and/or one or more: a) fillers or extenders . . . ; b) binders . . . ; c) humectants . . . ; d) disintegrating agents . . . ; e) solution retarding agents 5 Appeal2016-006868 Application 13/917,730 . . . ; f) absorption accelerators . . . ; g) wetting agents ... ; h) absorbents ... and i) lubricants such as talc, calcium stearate, magnesium stearate, solid polyethylene glycols, sodium lauryl sulfate and mixtures thereof. In the case of capsules, tablets and pills, the dosage form may also comprise buffering agents. (Id. at 23.) 4. Ruegger teaches a composition comprising a sphingosine 1 phosphate (SIP) receptor modulator. (Ruegger 1 :4--5.) 5. Ruegger teaches that preferred SIP receptor modulators include "1-{ 4-[ 1-( 4-cyclohexyl-3-trifluoromethyl-benzyloxyimino )-ethyl]-2-ethyl- benzyl }-azetidine-3-carboxylic acid, [i.e., API,] or a prodrug thereof." (Id. at 11:22-23.) 6. Ruegger teaches oral formulations of its invention and further teaches that "[t]he dosage form of a composition of [its] invention ... may be a solid dosage form, e.g., a tablet." (Id. at 11 :29-32.) 7. Ruegger teaches that potentially feasible excipients for its formulation include, e.g., fillers, binders, disintegrants, lubricants, flow regulators, plasticizers, and matrix formers." (Id. at 12:26-28.) Ruegger teaches that typical ranges found in a final formulation comprising a compound described in its disclosure include lubricants from 0.5% to 2%. (Id. at 12:29-34.) 8. Ruegger provides stability data for a formulation containing the compound FTY720, i.e., 2-amino-2-[2-( 4-octylphenyl)ethyl]propane-1,3- diol. (Id. at 17: 1-3.) In this context, Ruegger states that glycerylbehenat (Compritol) is an example of a non-feasible excipient. (Id. at 20: 1-5.) 9. Ruegger claims a stable composition comprising API and one or more excipients, wherein the recited excipients include "[l]ubricants 6 Appeal2016-006868 Application 13/917,730 selected from Hydrogenated castor oil, Glycerol behenate, magnesium stearate, calcium stearate, zinc stearate, mineral oil, silicone fluid, sodium lauryl sulfate, L-leucine, sodium stearyl fumarate." (Id. at 25: 1-26:4 ( claim 1 ), 26:29-33 (claim 4).) Analysis We agree with the Examiner that claim 1 is obvious over the combination of Ciszewski, Ruegger, and Ando, as evidenced by Illinois Poison Center. In particular, Ciszewski teaches a pharmaceutical composition comprising a hemifumarate salt of API in solid dosage forms for oral administration. (FF1-FF3.) While Ciszewski does not explicitly teach including glyceryl behenate in its composition, Ciszewski teaches that in solid dosage forms the hemifumarate salt of API is typically mixed with at least one inert, pharmaceutically acceptable excipient or carrier such as, e.g., lubricants such as magnesium stearate. (FF3.) Ruegger teaches that magnesium stearate and glyceryl behenate are both lubricants that may be used with APL (FF9.) Ruegger thus suggests magnesium stearate and glyceryl behenate to be functional equivalents, and it would have been obvious to substitute one equivalent (glyceryl behenate) for another (magnesium stearate) in Ciszewski's composition. In re Fout, 675 F.2d 297, 301,213 USPQ 532,536 (CCPA 1982) (holding that "[e]xpress suggestion to substitute one equivalent for another need not be present to render such substitution obvious"). As for the negative limitation in claim 1, "wherein the API is not exposed to a basic compound" other than the basic forms of the API itself, Appellants concede that Ciszewski discloses excipients that are non-basic as 7 Appeal2016-006868 Application 13/917,730 well as excipients that are basic, and do not dispute that Ciszewski does not require the inclusion of any particular basic compound in its composition. (Appeal Br. 6-7.) Accordingly, Ciszewski suggests, and renders obvious, compositions that meet this limitation, even if it also suggests compositions that do not meet the limitation. Appellants contend that the cited references do not teach or suggest the limitation, "wherein the API is not exposed to a basic compound," as recited in claim 1 and that "Ciszewski simply does not provide any motivation, teaching or suggestion to only utilize non-basic excipients." (Appeal Br. 6-8; see also Reply Br. 2-3.) We are not persuaded for the reasons already discussed above: Ciszewski teaches compositions wherein API is mixed with one or more excipient from a list of excipients, which Appellants concede include non-basic ingredients. Thus, Ciszewski teaches compositions consisting of API and a single, non-basic ingredient, which meets the limitation regarding API not being exposed to a basic compound, even if Ciszewski also teaches compositions that might include basic excipients. Put another way, in order to render claim 1 obvious it is not necessary for the prior art to teach forbidding basic excipients, as Appellants contend-the prior art merely needs to teach or suggest a composition that does not contain basic excipients. Likewise, while Ciszewski may not have disclosed combining the hemifumarate salt of the API with non-basic ingredients for the reasons disclosed in the Specification (i.e., to improve the stability of the API in a pharmaceutical composition) (Spec. 12), "neither the particular motivation nor the avowed purpose of the patentee controls" in an obviousness analysis. KSR Int'! Co. v. Teleflex Inc., 550 U.S. 398,419 (2007). Instead, "any need 8 Appeal2016-006868 Application 13/917,730 or problem known in the field of endeavor at the time of invention and addressed by the patent can provide a reason for combining the elements in the manner claimed." Id. at 420. Appellants also contend that "the Examiner has failed to consider the claimed invention as a whole," in that Appellants have "discovered the source of a problem associated with the stability and degradation of certain APis," which may result in a patentable invention "even though the remedy may be obvious once the source of the problem is identified." (Appeal Br. 8-9.) We are not persuaded. This is not a situation where a composition containing API and non-basic excipients is non-obvious until Appellants' alleged discovery of the problem associated with the stability and degradation of certain APis. Thus, Appellants have at most discovered a new property of a composition suggested in the prior art, 7 namely greater stability of the API in the composition, but a "newly-discovered property of the prior art cannot support a patent on that same art." Abbott Labs. v. Baxter Pharm. Products, Inc., 471 F.3d 1363, 1368 (Fed. Cir. 2006). Appellants further argue that the Examiner's rejection is based on improper hindsight. (Appeal Br. 10-11.) In particular, Appellants contend 7 Appellants contend that MPEP 2145 (II), which the Examiner cites to support the principle that "discovery of an additional advantage that would flow naturally from following the suggestions of the prior art is not a basis for patentability," is inapplicable, because "there is no suggestion in the prior art that only non-basic excipients ... should be utilized in a formulation with the APL" (Appeal Br. 3.) As we have already discussed above, however, because Ciszewski teaches that API may be combined with non-basic (as well as basic) excipients, and does not teach any basic excipient to be required, Ciszewski does teach compositions consisting of API and non-basic excipient(s), even if it doesn't explicitly teach excluding basic excipients. 9 Appeal2016-006868 Application 13/917,730 that "Ciszewski teaches no less than 30 different types of excipients suitable for solid oral formulations" but the Examiner's rejection cites only non-basic agents. (Id. at 10.) Appellants contend that, because "Ciszewski ... does not provide any motivation, teaching or suggestion to only utilize non-basic excipients," "the use of non-basic excipients is absent from the cited art and is only present in Applicant's specification." (Id. at 10-11.) Appellants conclude that, given the above, "[i]t logically follows that utilizing only non- basic excipients has been improperly gleaned from Applicant's own specification and ... the Examiner's analysis is an exercise of impermissible hindsight." (Id. at 11.) We are not persuaded for reasons already discussed. As Appellants acknowledge (id. at 10), "[a]ny judgment on obviousness is in a sense necessarily a reconstruction based upon hindsight reasoning, but so long as it takes into account only knowledge which was within the level of ordinary skill at the time the claimed invention was made and does not include knowledge gleaned only from applicant's disclosure, such a reconstruction is proper." In re McLaughlin, 443 F.2d 1392, 1395, 170 USPQ 209,212 (CCP A 1971 ). In this case, Ciszewski teaches that API may be used with one or more excipients, including excipients that are non-basic, even if it also teaches excipients that are basic. Thus, the obviousness rejection is based, not on Appellants' disclosure that using non-basic ingredients with API improves API stability, but on Ciszewski's teaching that API may be used with particular non-basic excipients. Appellants next contend that the cited references do not teach the use of glyceryl behenate with API, as required by claim 1. (Appeal Br. 11-12; Reply 3--4.) In particular, Appellants contend that Reugger teaches glyceryl 10 Appeal2016-006868 Application 13/917,730 behenate to be a non-feasible excipient. (Appeal Br. 11.) We are not persuaded. As the Examiner points out, Reugger's statement that glyceryl behenate is a non-feasible excipient occurs in the context of another compound (FTY720, i.e., 2-amino-2-[2-( 4-octylphenyl)ethyl]propane-1,3 diol in free form or in a pharmaceutically acceptable salt form) rather than the API of claim 1. (Ans. 15, FF8.) Appellants contend that Reugger makes it clear that the mechanism of "the degradation of compounds ( and by extension what makes [glyceryl behenate] non-feasible)" in the FTY720/glyceryl behenate composition is nucleophilic attack, and the API contains several functional groups that are nucleophiles and thus also subject to nucleophilic attack. (Appeal Br. 12; Reply Br. 4--5.) Accordingly, Appellants contend that "[i]t is entirely plausible ... that Reugger' s teaching of glyceryl behenate as an unfeasible excipient applies to the APL" (Appeal Br. 12.) Appellants' attorney arguments regarding whether a skilled artisan would understand Reugger's disclosure of glyceryl behenate as a non-feasible excipient to apply to API, however, cannot substitute for evidence. Johnston v. IVAC Corp., 885 F.2d 1574, 1581 (Fed. Cir. 1989) ("Attorneys' argument is no substitute for evidence."). Given Reugger's suggestion that its invention may comprise glycerol behenate as a lubricant and given the differences between API and FTY720, we find that the Examiner has established a prima facie case that the prior art combination suggests a composition comprising API and glyceryl behenate and further agree with the Examiner that Appellants have not sufficiently shown that glyceryl behenate would be viewed by the skilled artisan as infeasible for the claimed APL (FF8, FF9, Ans. 15.) 11 Appeal2016-006868 Application 13/917,730 Appellants also argue that the Specification8 shows that magnesium stearate and glyceryl behenate are not substitutable for each other and that "the use of glyceryl behenate was 400% more effective than that of magnesium stearate." (Appeal Br. 12; Reply Br. 5---6.) We are not persuaded. As an initial matter, the question relevant to obviousness is whether a skilled artisan would have understood magnesium stearate and glyceryl behenate to be functional substitutes at the time of the invention. Appellants have not shown that a skilled artisan would have been aware of, at the time of the invention, the data presented in the Specification and relied on by Appellants to show that magnesium stearate and glyceryl behenate are not functional substitutes. Furthermore, to the extent Appellants' argument is that a skilled artisan would have known that glyceryl behenate is more effective than magnesium stearate, such knowledge would have, in fact, provided another motivation to substitute glyceryl behenate for magnesium stearate in Ciszewski' s composition. 9 Finally, Appellants appear to contend that the subject matter of claim 1 exhibits unexpected results, arguing that "one of the important elements of [their] invention is the surprising discovery that using particular excipients are associated with reduced degradation of the APL" (Appeal Br. 6; see also id. at 9, Reply Br. 5---6.) In the Reply Brief, Appellants specifically point to "the marked differences between the use of magnesium stearate and glyceryl 8 In the Appeal Brief, Appellants cite to Bouillot et al., US2013027316I Al ("the '161 Publication"), which is the published version of the patent application at issue in this appeal. (Appeal Br. 12.) 9 To the extent Appellants are arguing unexpected results rather than lack of reason to substitute magnesium stearate with glyceryl behenate, we address Appellants' arguments below. 12 Appeal2016-006868 Application 13/917,730 behenate in conjunction with the API," arguing that Example 5 of the Specification shows that "the compound is 400% more stable when utilizing glyceryl behenate as opposed to magnesium stearate." (Reply Br. 5.) Appellants contend that, since "the prior art does not disclose at all the [effect of excipients on the] relevant property (i.e., the stability of the API)," "there can be no expectation of any difference in the properties when comparing the prior art and the claimed invention." (Id. at 6.) We are not persuaded. While we agree that "[ o ]ne way for a patent applicant to rebut a prima facie case of obviousness is to make a showing of 'unexpected results,' i.e., to show that the claimed invention exhibits some superior property or advantage that a person of ordinary skill in the relevant art would have found surprising or unexpected," In re Soni, 54 F.3d 746, 750 (Fed. Cir. 1995), "by definition, any superior property must be unexpected to be considered evidence of non-obviousness." Pfizer, Inc. v. Apotex, Inc., 480 F.3d 1348, 1371 (Fed. Cir. 2007). Furthermore, "it is well settled that unexpected results must be established by factual evidence. 'Mere argument or conclusory statements in the specification does not suffice."' In re Geisler, 116 F.3d 1465, 1470 (Fed. Cir. 1997) (quoting In re De Blauwe, 736 F.2d 699, 705 (Fed. Cir. 1984)). Here, the evidence cited by Appellants, at most, shows that a composition consisting of API and glyceryl behenate possesses superior stability when compared to a composition consisting of API and magnesium stearate. The record contains insufficient persuasive evidence, however, that such difference in stability is not merely unknown but unexpected. While the Federal Circuit has held that "when an applicant demonstrates substantially improved results ... and states that the results were 13 Appeal2016-006868 Application 13/917,730 unexpected, this should suffice to establish unexpected results in the absence of evidence to the contrary," In re Soni, 54 F.3d 746, 751 (Fed. Cir. 1995), in this case the only assertion that the invention exhibits unexpected results appear in attorney arguments in the brief. Such attorney arguments, however, cannot take the place of evidence. In re Pearson, 494 F.2d 1399, 1405 (CCPA 1974). 10 Accordingly, we affirm the Examiner's rejection of claim 1. Claims 4, 6, 7, and 9-13, which are not separately argued, fall with claim 1. 37 C.F.R. § 4I.37(c)(l)(iv). 10 We also note that the glyceryl behenate and magnesium stearate compositions compared in Example 5 contain differences other than the identity of the lubricant. For instance, the glyceryl behenate composition contains 5.950 mg glyceryl behenate per 0.25 mg hemifumarate salt of API, while the magnesium stearate composition contains only 0.850 mg magnesium stearate per 0.25 mg hemifumarate salt of APL (Spec. 32, Table 3.) Likewise, the tablet containing glyceryl behenate was not coated in contrast to the coated tablet containing magnesium stearate. (Id.) While the Specification states that the tablet made with glyceryl behenate "were not coated with the moisture protective film coated opadry AMB in order to better demonstrate the stability benefit" (Spec. 31 ), Appellants have not sufficiently explained why the alleged different stability performance was not due to these differences rather than the identity of the lubricant. We also note that "[t]he evidence presented to rebut aprimafacie case of obviousness must be commensurate in scope with the claims to which it pertains." In re Dill, 604 F.2d 1356, 1361 (CCPA 1979). Here, Example 5 compares only the effect of glyceryl benehate and magnesium stearate on a composition of hemifumarate salt of API, even though the claim also encompasses compositions comprising glyceryl benehate and API itself, other pharmacologically acceptable salts, or hydrates thereof. (Appeal Br. 13 (Claims App.).) 14 Appeal2016-006868 Application 13/917,730 SUMMARY For the reasons above, we affirm the Examiner's decision rejecting claims 1, 4, 6, 7, and 9-13 as obvious in view of the cited prior art for the reasons herein and of record. TIME PERIOD FOR RESPONSE No time period for taking any subsequent action in connection with this appeal may be extended under 37 C.F.R. § 1.136(a). AFFIRMED 15 Copy with citationCopy as parenthetical citation