BASF SEDownload PDFPatent Trials and Appeals BoardJan 19, 20212020003408 (P.T.A.B. Jan. 19, 2021) Copy Citation UNITED STATES PATENT AND TRADEMARK OFFICE 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 APPLICATION NO. FILING DATE FIRST NAMED INVENTOR ATTORNEY DOCKET NO. CONFIRMATION NO. 14/383,665 09/08/2014 Wen Xu 32471/73384 6316 4743 7590 01/19/2021 MARSHALL, GERSTEIN & BORUN LLP 233 SOUTH WACKER DRIVE 6300 WILLIS TOWER CHICAGO, IL 60606-6357 EXAMINER HIRT, ERIN E ART UNIT PAPER NUMBER 1616 NOTIFICATION DATE DELIVERY MODE 01/19/2021 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): mgbdocket@marshallip.com PTOL-90A (Rev. 04/07) UNITED STATES PATENT AND TRADEMARK OFFICE __________ BEFORE THE PATENT TRIAL AND APPEAL BOARD __________ Ex parte WEN XU and MATTHIAS POHLMAN __________ Appeal 2020-003408 Application 14/383,665 Technology Center 1600 __________ Before JEFFREY N. FREDMAN, ULRIKE W. JENKS, and RACHEL H. TOWNSEND, Administrative Patent Judges. FREDMAN, Administrative Patent Judge. DECISION ON APPEAL This is an appeal1,2 under 35 U.S.C. § 134 involving claims to a liquid concentrate formulation containing a pyripyropene insecticide. The Examiner rejected the claims as obvious. We have jurisdiction under 35 U.S.C. § 6(b). We affirm. 1 We use the word “Appellant” to refer to “applicant” as defined in 37 C.F.R. § 1.42. Appellant identifies the Real Party in Interest as BASF SE (see Appeal Br. 3). 2 We have considered the Specification of September 8, 2014 (“Spec.”); Final Office Action of Apr. 18, 2019 (“Final Act.”); Appeal Brief of Oct. 18, 2019 (“Appeal Br.”); Examiner’s Answer of Feb. 3, 2020 (“Ans.”); and Reply Brief of Apr. 2, 2020 (“Reply Br.”). Appeal 2020-003408 Application 14/383,665 2 Statement of the Case Background “The pyripyropene derivative of formula I . . . is known . . . as exhibiting insecticidal activity and being useful for crop protection” (Spec. 1:7–11). “One problem associated with liquid formulations of the pyripyropene derivative of formula I, is their low stability. In particular when trying to provide agricultural formulations comprising the pyripyropene derivative I solubilized in an aromatic hydrocarbon solvent, the formation of a crystalline material is observed upon storage” (id. at 1:23– 26). The Specification teaches “to provide stable liquid concentrate formulations of pyripyropene derivative I which besides an aromatic hydrocarbon solvent or solvent mixture also contain an activity enhancing polyalkoxylated alcohol as adjuvant and which have advantageous properties for applications in invertebrate pest control” (id. at 2:8–12). The Claims Claims 30–34 and 36–56 are on appeal. Claim 30 is an independent claim, is representative, and reads as follows: 30. A liquid concentrate formulation, which comprises a) 2 to 10 wt%, based on the total weight of the formulation, of a compound of formula I; b) 25 to 75 wt%, based on the total weight of the formulation, of an aromatic hydrocarbon solvent or aromatic hydrocarbon solvent mixture, Appeal 2020-003408 Application 14/383,665 3 c) 15 to 50 wt%, based on the total weight of the formulation, of at least one alkoxylated aliphatic alcohol of formula (A) Ra-O-(CmH2mO)x-(CnH2nO)y-(CpH2pO)z-Rb (A) in which Ra represents C8-C36-alkyl, C8-C36-alkenyl or a mixture thereof; Rb represents H or C1-C12-alkyl; m, n, p represent, independently of one another, an integer from 2 to 16; x, y, z represent, independently of one another, a number from 0 to 50; and x+y+z corresponds to a value from 2 to 50, further comprising e) at least one anionic surfactant, and f) at least one non-ionic surfactant S which is selected from the group consisting of C2-C3-polyalkoxylates of C10-C22- hydroxy fatty acid triglycerides and C2-C3-polyalkoxylates of C10-C22-fatty acid mono- or diglycerides, in an amount from 1 to 20 wt%, based on the total weight of the formulation. The Rejections A. The Examiner rejected claims 30–34, 36, 38–44, and 50–56 under U.S.C. § 103(a) as obvious over Horikoshi,3 Rosenfeldt,4 and Arimoto5 (Final Act. 3–7). B. The Examiner rejected claims 37, 38, and 45–47 under U.S.C. § 103(a) as obvious over Horikoshi, Rosenfeldt, Arimoto, and Byrne6 (Final Act. 7–10). 3 Horikoshi et al., US 2010/0281584 A1, published Nov. 4, 2010 4 Rosenfeldt et al., US 2004/0157743 A1, published Aug. 12, 2004. 5 Arimoto, Y., US 2006/0165748 A1, published July 27, 2006. 6 Byrne et al., US 2008/0300313 A1, published Dec. 4, 2008. Appeal 2020-003408 Application 14/383,665 4 C. The Examiner rejected claims 48 and 49 under U.S.C. § 103(a) as obvious over Horikoshi, Rosenfeldt, Arimoto, and Zhang7 (Final Act. 10– 11). A. 35 U.S.C. § 103(a) over Horikoshi, Rosenfeldt, and Arimoto The issues with respect to this rejection are: (i) Does a preponderance of the evidence of record support the Examiner’s conclusion that Horikoshi, Rosenfeldt, and Arimoto render the claims obvious? (ii) If so, has Appellant provided evidence of unexpected results that outweighs the evidence supporting the prima facie case of obviousness? Findings of Fact 1. Horikoshi teaches, regarding element a), a compound 4 that is identical to the compound of formula I: (Horikoshi ¶ 83). 7 Zhang et al., WO 2011/113052 A2, published Sept. 15, 2011. Appeal 2020-003408 Application 14/383,665 5 2. Horikoshi teaches the “suitable content of the active ingredient in these formulations is generally 1 to 75% by weight for emulsifiable concentrate” (Horikoshi ¶ 60). 3. The Specification teaches, regarding element b), that “[s]uitable aromatic hydrocarbons . . . [include] Solvesso® (ExxonMobil Chemical), in particular Solvesso® 100, Solvesso® 150” (Spec. 5:17–26). 4. Horikoshi teaches a specific formulation in Example 5, reproduced below: The example in the Table shows element a) composed of 1% Compound 4 by weight, element b) an aromatic hydrocarbon solvent, specifically 82.5% Solvesso 150, and element f) a non-ionic surfactant, specifically 8.25% SORPOL CA-42 (Horikoshi ¶ 97). 5. The Specification teaches, regarding element e), that “[e]xamples of such anionic surfactants are . . . alkylarylsulfonates” (Spec. 10:19–24). 6. Horikoshi teaches element e), anionic surfactants, specifically disclosing “[s]urfactants or dispersants usable, for example, for emulsifying, dispersing, or spreading include . . . alkyl(aryl)sulfonic acid salts” (Horikoshi ¶ 57). 7. Horikoshi teaches “compounds of formula (1) or salts thereof as such may be used as an active ingredient of the systemic insecticide, but are generally mixed with . . . liquid carriers . . . and formulated into any suitable Appeal 2020-003408 Application 14/383,665 6 dosage forms, for example . . . emulsifiable concentrates, EW agents, liquid formulations . . . for use as compositions” (Horikoshi ¶ 53). 8. Hirokoshi teaches the “effective amount can be properly determined by taking into consideration, for example, the properties of compounds, the type and amount of the application object, the length of the subsequent systemic translocation step, and the temperature” (Horikoshi ¶ 74). 9. The Examiner acknowledges that “Horikoshi does not expressly teach wherein the composition/concentrate comprises the fatty alcohol alkoxylates of applicant’s formula A in amounts 15 to 50 wt%” (Final Act. 6). 10. Rosenfeldt teaches the “use of fatty alcohol ethoxylates as penetrants for certain active compounds having insecticidal properties” (Rosenfeldt ¶ 1). 11. Rosenfeldt teaches “fatty alcohol ethoxylates of the formula CH3–(CH2)m–CH2–(–O–CH2–CH2–)n–OH (I) in which m represents average values from 8.0 to 13.0, n represents average values from 6.0 to 17.0, can be used as penetrants for insecticidally active compounds” (Rosenfeldt ¶¶ 5–9). 12. Rosenfeldt teaches using “from 0.1 to 30% by weight of fatty alcohol ethoxylate of the formula (I)” (Rosenfeldt ¶ 11). 13. The Examiner finds “it would have been obvious to include [Rosenfeldt’s] fatty acid alkoxylates in the claimed amounts in order to produce emulsion concentrates which are more stable at lower temperatures and which have increased penetration due to the fatty acid ethoxylates of applicant’s component (c) as taught by Rosenfeldt” (Final Act. 6–7). Appeal 2020-003408 Application 14/383,665 7 Principles of Law The Examiner has the initial burden of establishing a prima facie case obviousness under 35 U.S.C. § 103. In re Oetiker, 977 F.2d 1443, 1445 (Fed. Cir. 1992). “The combination of familiar elements according to known methods is likely to be obvious when it does no more than yield predictable results.” KSR Int’l Co. v. Teleflex Inc., 550 U.S. 398, 416 (2007). Prima facie obviousness can be rebutted by presenting evidence of secondary considerations and when such evidence is submitted, all of the evidence must be considered anew. In re Piasecki, 745 F.2d 1468, 1472–73 (Fed. Cir. 1984). Secondary considerations include: long-felt but unsolved needs, failure of others, unexpected results, commercial success, copying, licensing, and praise. In re Rouffet, 149 F.3d 1350, 1355 (Fed. Cir. 1998). Analysis We adopt the Examiner’s findings of fact and conclusion of law (see Final Act. 3–7, FF 1–13) and agree that Horikoshi, Rosenfeldt, and Arimoto render the claims obvious. We address Appellant’s arguments below. Obviousness Appellant contends “nothing in paragraphs [0053] and [0060] of Horikoshi is particularly instructive to the skilled artisan and the artisan is essentially told to formulate Horikoshi compounds in anyway known and to use in essentially any amount conceivable in a formulation” (Appeal Br. 14). We find this argument unpersuasive because Horikoshi teaches, in Formulation Example 5, an insecticide concentrate composed of 1% formula I (compound 4), 82.5% Solvesso 150 (aromatic hydrocarbon solvent), and 8.25% SORPOL CA-42 (non-ionic surfactant S) (FF 4). Horikoshi further Appeal 2020-003408 Application 14/383,665 8 directly suggests the use of anionic surfactants (FF 6) and the Examiner provides persuasive reasons for combining Rosenfeldt’s penetration agent with Horikoshi’s insecticidal formulation (FF 10–13). As to the specific ranges, in “cases involving overlapping ranges, [courts] have consistently held that even a slight overlap in range establishes a prima facie case of obviousness.” In re Peterson, 315 F.3d 1325, 1329 (Fed. Cir. 2003). Horikoshi and Rosenfeldt teach overlapping ranges (FF 2, 4, 12) and exemplify either overlapping or adjacent ranges. See In re Brandt, 886 F.3d 1171, 1177 (Fed. Cir. 2018) (“[P]rima facie rejections may be appropriate ‘where there is a teaching in the prior art that the end points of the prior art range are approximate, or can be flexibly applied.’”) Hirokoshi teaches that an “effective amount can be properly determined by taking into consideration, for example, the properties of compounds, the type and amount of the application object, the length of the subsequent systemic translocation step, and the temperature” (FF 8). Thus, Hirokoshi recognizes that the effective amount of the components may be flexibly applied, depending upon a variety of factors. This is consistent with Appellant’s own Specification, which teaches a “pesticidally effective amount of the formulations and preparations will also vary according to the prevailing conditions such as desired pesticidal effect and duration, weather, target species, locus, mode of application, and the like” (Spec. 28:13–16). Appellant contends As evident from Hirokoshi’s formulations, an emulsifiable concentrate of pyripyropene derivative may include 1 wt% of the active. Given the low solubility of pyripyropene derivative, there is no reasonable suggestion in increasing the amount of the active in an emulsifiable concentrate. Thus, even if the skilled artisan was to include alkoxylated alcohols into Appeal 2020-003408 Application 14/383,665 9 formulations of pyripyropene (I), there is no rational for increasing the amount of pyripyropene (I) in the formulation especially when the alkoxylated alcohols further decrease the solubility of pyripyropene derivatives in the solvent. (Appeal Br. 15). We find this argument unpersuasive as it is inconsistent with the direct teaching of Hirokoshi that the “suitable content of the active ingredient in these formulations is generally 1 to 75% by weight for emulsifiable concentrate” (FF 2). As we balance a direct teaching of the prior art with attorney argument, we find that “[u]nsubstantiated attorney argument regarding the meaning of technical evidence is no substitute for competent, substantiated expert testimony.” Invitrogen Corp. v. Clontech Labs., Inc., 429 F.3d 1052, 1068 (Fed. Cir. 2005). We therefore conclude that the balance of the evidence supports the Examiner’s position that 2 wt% of active in the concentrate would have been obvious as falling within a disclosed overlapping range and adjacent to a working example. Peterson, 315 F.3d at 1329. Appellant contends that: Given the variation and complexity of formulating lipophilic pesticides such as pyripyropene (I), the Examiner’s reliance that a claimed product can be reconstructed from the broad field of the prior art and one might arrive at it by selecting specific items and conditions is improper as the Examiner’s arguments are at best an invitation to experiment using the prior art. (Appeal Br. 16). We find this argument unpersuasive because “[o]bviousness does not require absolute predictability of success . . . all that is required is a reasonable expectation of success.” In re Kubin, 561 F.3d 1351, 1360 (Fed. Cir. 2009) (citation omitted). Here, Horikoshi expressly suggests the use of Appeal 2020-003408 Application 14/383,665 10 amounts of insecticidal components that overlap those claimed, except for the penetration enhancer, which is suggested by Rosenfeldt (FF 1–13). Appellant provides no evidence that the ordinary practitioner would have had any difficulty in selecting components from those disclosed by the prior art as useful in insecticidal compositions. And “attorney argument [is] not the kind of factual evidence that is required to rebut a prima facie case of obviousness.” In re Geisler, 116 F.3d 1465, 1470 (Fed. Cir. 1997). Appellant contends that the Xu Declaration8 provides further evidence that Horikoshi formulations comprising pyripyropene compound lack solubility (at 5% loading) and stability in the presence of Solvesso 150. Indeed, the data demonstrate that the liquid formulations described in Horikoshi do not exhibit stability even at temperature of 22°C and that the compound of formula (I) of the present invention when formulated as per the Example 5 of Horikoshi does not exhibit solubility and stability in Solvesso 150 at 5% loading. In contrast thereto, the experimental data presented in the present application demonstrate that a formulation comprising the components a) to e) as defined in claim 30 stay stable for a prolonged storage periods. (Appeal Br. 16–17; cf. Reply Br. 3–5). We find this argument and the Xu Declaration unpersuasive for several reasons. First, Dr. Xu asserts to have tested two formulations. The first, Sample A, is identical to the formulation of Example 5 of Horikoshi (FF 4, Xu Decl. ¶ 8). The second, Sample B, purports to combine, by weight, 5% of active agent, 82.5% of Solvesso 150, 8.25% of Tayca Power BC2070M, and 8.25% Soprol CA-42 (see Xu Decl. 9). Adding up these weight percentages 5% + 82.5% + 8.25% + 8.25% results in a total of 104% 8 Declaration of Dr. Wen Xu, dated Jan. 9, 2019. Appeal 2020-003408 Application 14/383,665 11 weight percent. Because the total weight cannot exceed 100% of the total weight, this statement is logically impossible. Therefore, we discount Dr. Xu’s statements9 based on the comparison of Horikoshi’s Example 5 with an impossible to formulate composition because no such comparison is possible. See In re American Academy of Science Tech Center, 367 F.3d 1359, 1370 (Fed. Cir. 2004) (“[T]he Board is entitled to give such weight to declarations as it deems appropriate.”) Second, the Xu Declaration asserts that 1% resulted in a clear solution while 5% resulted in compound of formula (I) not dissolving (see Xu Declaration ¶ 9). However, the Xu Declaration does not measure how much of the compound of formula (I) dissolved in the 5% example. Even if the impossible 5% formulation was actually tested as proposed, which we find unlikely, the claim is drawn to a “liquid concentrate formulation, which comprises a) 2 to 10 wt%” of the compound of formula I. The claim does not exclude the presence of undissolved crystals in the liquid concentrate formulation due to the open “comprising” language. See Georgia-Pacific Corp. v. US Gypsum Co., 195 F.3d 1322, 1327 (Fed. Cir. 1999) (The transitional term “comprising” is “inclusive or open-ended and does not exclude additional, unrecited elements or method steps”). The Xu Declaration does not test or determine how much of the 5% of the compound of formula (I) was dissolved, and how much was in crystal form. Thus, the Xu Declaration fails to establish that 2% of formula (I), in an appropriate solvent system, would not dissolve. 9 To be clear, we do not assert that the statements are fraudulent, only erroneous. Appeal 2020-003408 Application 14/383,665 12 Third, to the extent that the Xu declaration is argued as showing unexpected results, it does not. It is unclear whether the composition with Example 5 was a proper comparison. Moreover, even if the composition was somehow reasonable, and somehow included 5% active agent, and showed insolubility, all facts not reasonably in evidence currently, claim 30 encompasses a range from 2 to 10 wt%. Consequently, this result would not overcome the rejection because claim 30 includes amounts of 2 to 4 wt% active as disclosed by Horikoshi (FF 2) that would remain obvious because the results are not commensurate in scope with the claim. Unexpected results must be “commensurate in scope with the degree of protection sought by the claimed subject matter.” In re Harris, 409 F.3d 1339, 1344 (Fed. Cir. 2005). Appellant contends the Examiner has not shown that the skilled artisan would have been motivated to optimize any of the prior art parameters and prepare the claimed formulation. Indeed, the art relied upon does not provide any indication as to which parameters are critical to formulate a lipophilic pyripyropene derivative as claimed in the present application and does not provide any direction as to which of many possible choices is likely to be successful in formulating a pyripyropene derivative. Thus, the fact that the components of claimed combination may fall within the scope of the cited art does not render the claims obvious. (Appeal Br. 17). We find this argument entirely unpersuasive. Claim 30 is nothing more than the combination of components expressly disclosed by Hirokoshi and Rosenfeldt, suggested as useful in insecticidal formulations, and shown by Hirokoshi to be insecticidal (FF 1–13; Hirokoshi Test Examples 1–10). “The combination of familiar elements according to known methods is likely Appeal 2020-003408 Application 14/383,665 13 to be obvious when it does no more than yield predictable results.” KSR, 550 U.S. at 416. As to optimization, Hirokoshi expressly teaches that the effective amount can be optimized (FF 8) and that the amounts of components are optimizable based on the wide ranges disclosed (FF 2, 4, 11). The ordinary artisan is well aware that “discovery of an optimum value of a result effective variable . . . is ordinarily within the skill of the art.” In re Boesch, 617 F.2d 272, 276 (CCPA 1980). Indeed, claim 30 merely “recites a combination of elements that were all known in the prior art, and all that was required to obtain that combination was to substitute one well-known . . . agent for another.” Wm. Wrigley Jr. Co. v. Cadbury Adams USA LLC, 683 F.3d 1356, 1364 (Fed. Cir. 2012). Therefore, it is fair to say that there were a finite number of identified, predictable solutions to the problem of finding functional insecticidal compositions, and the combination of Horikoshi’s compound 4 with the other agents disclosed in Horikoshi, along with the penetration enhancer of Rosenfeldt, was “the product not of innovation but of ordinary skill and common sense.” Id. at 1364–65. Secondary considerations Appellant contends that the data in the specification and in the Declaration support that the claimed formulation has unexpectedly superior properties than what the skilled artisan would have expected based on the ingredients of the formulation and based on the prior art relied upon. The Office has not provided a reason to doubt that the observed enhanced stability would be present in the entire scope of the claimed formulation. (Appeal Br. 18). Appeal 2020-003408 Application 14/383,665 14 We find this argument unpersuasive. As already noted above, the evidence of the Xu Declaration suffers from severe flaws, and cannot be relied upon to establish anything, much less unexpected results. As to Examples 3 and 4 in the Specification, these are not commensurate in scope with the claim, as they test single values of 4.98% insecticide, single values of 6% surfactant, and single values of 4% non-ionic surfactant (see Spec. 35:15–19). Harris, 409 F.3d at 1344. In addition, the evidence was not a comparison with the closest cited prior art of Example 5 of Hirokoshi. See In re Baxter Travenol Labs., 952 F.2d 388, 392 (Fed. Cir. 1991) (“[W]hen unexpected results are used as evidence of nonobviousness, the results must be shown to be unexpected compared with the closest prior art.”). Moreover, the Specification never identifies the results as surprising or unexpected. “[A]ny superior property must be unexpected to be considered as evidence of non-obviousness.” Pfizer, Inc. v. Apotex, Inc., 480 F.3d 1348, 1371 (Fed. Cir. 2007). “[I]t is well settled that unexpected results must be established by factual evidence. Mere argument or conclusory statements . . . [do] not suffice.” In re Soni, 54 F.3d 746, 750 (Fed. Cir. 1995) (citation omitted). The only indication that any of these properties constitute an unexpected result is attorney argument in the brief. However, “attorney argument [is] not the kind of factual evidence that is required to rebut a prima facie case of obviousness.” Geisler, 116 F.3d at 1470. Lastly, Appellant provides no evidence that the changes shown are different in kind. See In re Huang, 100 F.3d 135, 139 (Fed. Cir. 1996) (holding that claimed ranges must “produce a new and unexpected result Appeal 2020-003408 Application 14/383,665 15 which is different in kind and not merely in degree from results of the prior art”). The Court explained that a “32–43% increase in stress-rupture life, however, does not represent a ‘difference in kind’ that is required to show unexpected results.” Harris, 409 F.3d at 1344. Here, no evidence of the magnitude of the change is provided, and certainly there is no showing of a “difference in kind.” Appellant does not separately argue the dependent claims (see Appeal Br. 18). Therefore, these claims fall with independent claim 30. 37 C.F.R. § 41.37(c)(1)(iv). Conclusion of Law (i) A preponderance of the evidence of record supports the Examiner’s conclusion that Horikoshi, Rosenfeldt, and Arimoto render the claims obvious. (ii) Appellant has not provided evidence of unexpected results that outweighs the evidence supporting the prima facie case of obviousness. B. and C. U.S.C. § 103(a) rejections including Byrne and Zhang Appellant does not separately argue these further rejections including Byrne or Zhang, instead relying upon overcoming the rejection over Horikoshi, Rosenfeldt and Arimoto (see Appeal Br. 19–20). Having found no deficiency in the rejection of claim 30 based on Horikoshi, Rosenfeldt and Arimoto for the reasons given above, we also find that the further combinations with Byrne and Zhang render the dependent claims obvious for the reasons given by the Examiner (see Final Act. 7–11). Appeal 2020-003408 Application 14/383,665 16 CONCLUSION In summary: Claims Rejected 35 U.S.C. § Reference(s)/Basis Affirmed Reversed 30–34, 36, 38–44, 50–56 103 Horikoshi, Rosenfeldt, Arimoto 30–34, 36, 38–44, 50– 56 37, 38, 45–47 103 Horikoshi, Rosenfeldt, Arimoto, Byrne 37, 38, 45– 47 48, 49 103 Horikoshi, Rosenfeldt, Arimoto, Zhang 48, 49 Overall Outcome 30–34, 36– 56 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 Copy with citationCopy as parenthetical citation