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UNITED STATES PATENT AND TRADEMARK OFFICE
`_______________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________
`
`CYANOTECH CORPORATION
`Petitioner
`v.
`THE BOARD OF TRUSTEES OF THE UNIVERSITY OF ILLINOIS
`Patent Owner
`____________
`
`
`Case IPR2013-00401[1]
`
`Patent 5,527,533
`
`
`
`
`Before SCOTT E. KAMHOLZ, SHERIDAN K. SNEDDEN, and
`GEORGIANNA W. BRADEN, Administrative Patent Judges.
`
`____________
`
`
`PETITIONER’S UPDATED EXHIBIT LIST
`
`____________
`
`
`Submitted: July 23, 2014
`
`                                                                 
`[1] Consolidated with Case IPR2013-00404

`
`

`

`Petitioner’s Updated Exhibit List
`
`
`
`
`
`
`Case IPR2013-00401
`Patent No. 5,527,533
`
`PETITIONER’S EXHIBIT LIST
`“CYAN” = CYANOTECH
`U.S. Pat. 5,527,533 (the “’533 patent”)
`
`CYAN EXHIBIT 1001
`
`CYAN EXHIBIT 1002
`
`
`CYAN EXHIBIT 1003
`
`
`CYAN EXHIBIT 1004
`
`
`CYAN EXHIBIT 1005
`
`
`CYAN EXHIBIT 1006
`
`
`
`Grangaud, René, “Astaxanthin Research, New
`Vitamin A Factor”, 69 pp. (Éditions Desoer,
`Liège, 1951), English translation, with
`Translator’s Certificate.
`
`Grangaud, René, “Recherches sur
`l’Astaxanthine, Nouveau Facteur, Vitaminique
`A”, 69 pp. (Éditions Desoer, Liège, 1951), in
`French.
`
`Massonet, Reneé, “Research into the
`Biochemistry of Astaxanthin”, 146 pp.
`(F.Fontana, Algiers, 1960), English translation,
`with Translator’s Certificate.
`
`Massonet, Reneé, “Recherches sur la
`Biochemie de l’Astaxanthine,”, 146 pp.
`(F.Fontana, Algiers, 1960, in French.
`
`Office Actions and Responses (including
`Declarations) in App. No. 08/330,194
`
`
`
`
`

`

`Petitioner’s Updated Exhibit List
`
`
`
`CYAN EXHIBIT 1007
`
`
`CYAN EXHIBIT 1008
`
`
`CYAN EXHIBIT 1009
`
`
`CYAN EXHIBIT 1010
`
`
`
`
`Case IPR2013-00401
`Patent No. 5,527,533
`
`Bibliographic citations and abstracts of the
`Grangaud and Massonet References, including
`exemplary searches in Chemical Abstracts print
`media (1947 to 1965) and online databases
`(available pre-Critical Date)
`
`Massonet, R., Conquy, T., and Grangaud,
`R.R. “The Study of Astaxanthin
`Transformation into Vitamin A in the Albino
`Rat: in vitro Experiments”, Ann. Nutrit.
`Alimentation, Vol. 19 pp. pages C655-C658
`(1965)), English translation, with Translator’s
`Certificate for Exs. 1008, 1010, 1012, 1014,
`1016, and 1018.
`
`Massonet, R., Conquy, T., and Grangaud,
`R.R. “Étude de la transformation de
`l'astaxanthine en vitamine A chez le Rat albinos:
`Expériences ‘in vitro’”, Ann. Nutrit.
`Alimentation, Vol. 19 pp. pages C655-C658
`(1965)), in French.
`
`Grangaud, René; Massonet, Renée; Conquy
`Thérèse; and Ridolfo, Jacqueline,
`“Transformation of Astaxanthin to Vitamin A
`in the Albino Rat: Neoformation in vivo and
`
`
`
`
`

`

`Petitioner’s Updated Exhibit List
`
`
`
`
`
`
`Case IPR2013-00401
`Patent No. 5,527,533
`
`
`CYAN EXHIBIT 1011
`
`
`CYAN EXHIBIT 1012
`
`
`CYAN EXHIBIT 1013
`
`in vitro”, Comptes Rendus Hebdomadaires des
`Seances de l'Academie des Sciences, Vol. 252,
`pp. 1854-1856 (1961b), English translation.
`
`Grangaud, René; Massonet, Renée; Conquy
`Thérèse; and Ridolfo, Jacqueline,
`“Transformation de l'astaxanthine en vitamine
`A chez le Rat albinos: néoformation in vivo et
`in vitro”, Comptes Rendus Hebdomadaires des
`Seances de l'Academie des Sciences, Vol. 252,
`pp. 1854-1856 (1961b), in French.
`
`Massonet, R., Conquy, T., and Grangaud, R.,
`“Transformation of astaxanthin to vitamin A by
`ocular tissue of the rat in vitro”, Comptes
`Rendus Hebdomadaires des seances de la
`Societe de biologie et de ses filiales, Vol. 155,
`pp. 747-750 (1961a), English translation.
`
`Massonet, R., Conquy, T., and Grangaud, R.,
`“Transformation in vitro de l'astaxanthine en
`vitamine A par le tissu oculaire du Rat”,
`Comptes Rendus Hebdomadaires des seances
`de la Societe de biologie et de ses filiales, Vol.
`155, pp. 747-750 (1961a) , in French.
`
`
`
`
`
`
`

`

`Petitioner’s Updated Exhibit List
`
`
`
`CYAN EXHIBIT 1014
`
`
`CYAN EXHIBIT 1015
`
`
`CYAN EXHIBIT 1016
`
`
`CYAN EXHIBIT 1017
`
`
`
`
`Case IPR2013-00401
`Patent No. 5,527,533
`
`Grangaud, R., and Massonet, R.,
`“Antixerophthalmic effect of the esters of
`astaxanthin”, Comptes Rendus Hebdomadaires
`des seances de la Societe de biologie et de ses
`filiales, Vol. 148, pp. 1392-1394 (1954),
`English translation.
`
`Grangaud, R., and Massonet, R., “Activité
`antixérophtalmique des esters de l'astaxanthine”,
`Comptes Rendus Hebdomadaires des seances
`de la Societe de biologie et de ses filiales, Vol.
`148, pp. 1392-1394 (1954), in French.
`
`Grangaud, René, and Massonet, Renée,
`“Antixerophthalmic Activity of the Carotenoid
`Pigment of the Aristeomorpha foliacea
`(Penæidæ)”, Comptes Rendus Hebdomadaires
`des Seances de l'Academie des Sciences, Vol.
`230, pp. 1319-1321 (March 27, 1950), English
`translation.
`
`Grangaud, René, and Massonet, Renée,
`“Activité antixérophtalmique du pigment
`caroténoïde d'Aristeomorpha foliacea
`(Penæidæ)”, Comptes Rendus Hebdomadaires
`des Seances de l'Academie des Sciences, Vol.
`
`
`
`
`

`

`Petitioner’s Updated Exhibit List
`
`
`
`
`
`
`Case IPR2013-00401
`Patent No. 5,527,533
`
`
`CYAN EXHIBIT 1018
`
`
`CYAN EXHIBIT 1019
`
`
`CYAN EXHIBIT 1020
`
`
`CYAN EXHIBIT 1021
`
`230, pp. 1319-1321 (March 27, 1950) , in
`French.
`
`Grangaud, René, and Massonet, Renée, “The
`Action of Shrimp Oil (Penaeus foliaceus) on
`the Vitamin A Deficient White Rat”, Comptes
`Rendus Hebdomadaires des Seances de
`l'Academie des Sciences, Vol. 227, pp. 568-570
`(1948), English translation.
`
`Grangaud, René, and Massonet, Renée, “Action
`de l'huile de Crevette (Penaeus foliaceus) sur le
`Rat blanc carence en vitamine A”, Comptes
`Rendus Hebdomadaires des Seances de
`l'Academie des Sciences, Vol. 227, pp. 568-
`570 (1948), in French.
`
`Kurashige, M. et al., "Inhibition of Oxidative
`Injury of Biological Membranes by
`Astaxanthin", Physiol. Chem. Phys. and Med.
`NMR, 22, pp. 27-38 (1990).
`
`U.S. Patent No. 5,310,764 (“Treatment of age
`related macular degeneration with beta-
`carotene”), to Baranowitz, et al., issued 10 May
`1994.
`
`
`
`
`

`

`Petitioner’s Updated Exhibit List
`
`
`
`
`CYAN EXHIBIT 1022
`
`
`CYAN EXHIBIT 1023
`
`
`CYAN EXHIBIT 1024
`
`
`CYAN EXHIBIT 1025
`
`
`CYAN EXHIBIT 1026
`
`
`
`
`Case IPR2013-00401
`Patent No. 5,527,533
`
`Herisset, Armand, “Antioxidant properties of
`carotenoids and their derivatives”. Comptes
`Rendus Hebdomadaires des Séances de
`l’Académie des Sciences, v.253, pp. 47-49
`(July – December) 1946, English translation,
`with Translator’s Certificate.
`
`Herisset, Armand, “Propriétés antioxygènes des
`carotènoïdes et de leurs derives”. Comptes
`Rendus Hebdomadaires des Séances de
`l’Académie des Sciences, v.253, pp. 47-49
`(July – December) 1946, in French.
`
`Dowling, J.E. and Wald, G., “Vitamin A
`deficiency and night blindness”. (US) PNAS
`44:648, (1958).
`
`Dowling, J.E. and Wald, G., “The Biological
`Function of Vitamin A,” (US) PNAS 46(5),
`587–608 (1960).
`
`Dowling, J.E. and Gibbons, I.R., “The effect of
`vitamin A deficiency on the fine structure of the
`retina”, in The Structure of the Eye, Smelser
`
`
`
`
`

`

`Petitioner’s Updated Exhibit List
`
`
`
`
`
`
`Case IPR2013-00401
`Patent No. 5,527,533
`
`
`CYAN EXHIBIT 1027
`
`
`CYAN EXHIBIT 1028
`
`
`CYAN EXHIBIT 1029
`
`
`CYAN EXHIBIT 1030
`
`
`
`C.K., editor. New York, Academic Press, Inc.,
`p. 85-99 (1961).
`
`Hayes, K.C., “Retinal degeneration in monkeys
`induced by deficiencies of vitamin E or A,”
`Invest. Ophthalmol. Vis. Sci., vol. 13 no. 7,
`499-510 (July, 1974).
`
`Berson, E., “Nutrition And Retinal
`Degenerations: Vitamin A, Taurine, Ornithine,
`and Phytanic Acid,” Retina: Vol.2, Issue 4, pp
`236-255 (Fall 1982)
`
`Reading, V.M., Weale, R.A., Aberration, C.,
`Malinow, M.R., “The Effect of Deficiency of
`Vitamins E And A on the Retina”, Nutrition
`Reviews, Volume 38, Issue 11, pages 386–389
`(Nov. 1980).
`
`Carter-Dawson, L., Kuwabara T., O'Brien P.J.,
`and Bieri JG.: Structural and Biochemical
`Changes in Vitamin A-Deficient Rat Retinas.
`Invest. Ophthalmol. Vis. Sci. 18: 437-446,
`(1979).
`
`
`
`
`

`

`Petitioner’s Updated Exhibit List
`
`
`
`CYAN EXHIBIT 1031
`
`
`
`
`Case IPR2013-00401
`Patent No. 5,527,533
`
`Schiedt et al., “Recent progress on carotenoid
`metabolism in animals”, Pure & Appl Chem,
`Vol. 63, No. 1 pp 89-100 (1991).
`
`
`CYAN EXHIBIT 1032
`
`CYAN EXHIBIT 1033
`
`CYAN EXHIBIT 1034
`
`CYAN EXHIBIT 1035
`
`
`CYAN EXHIBIT 1036
`
`
`CYAN EXHIBIT 1037
`
`Retinal Cross-section and Xanthophyll
`
`Declaration of Florian J. Schweigert
`
`Declaration of Scott Bennett
`
`Zigler, J.S. and Hess H.H., “Cataracts in the
`Royal College of Surgeons Rat: Evidence for
`Initiation by Lipid Peroxidation Products”, Exp.
`Eye. Res., 41:67-76 (1985).
`
`Goto, H. Wu, G-S., Gritz, D.C., Atalia, L.R.A.,
`and Rao, N.A., “Chemotactic activity of the
`peroxidized retinal membrane lipids in
`experimental autoimmune uveitis”, Current Eye
`Res., Vo. 10, No. 11, 1009-1014 (1991).
`
`U.S. Nutraceuticals LLC dba Valensa
`International, and The Board of Trustees of the
`University of Illinois vs. Cyanotech
`Corporation, and Nutrex Hawaii, Inc. Civ.
`
`
`
`
`

`

`Petitioner’s Updated Exhibit List
`
`
`
`
`
`
`Case IPR2013-00401
`Patent No. 5,527,533
`
`
`CYAN EXHIBIT 1038
`
`
`CYAN EXHIBIT 1039
`
`
`CYAN EXHIBIT 1040
`
`
`CYAN EXHIBIT 1041
`
`
`
`CYAN EXHIBIT 1042
`
`
`CYAN EXHIBIT 1043
`
`
`
`CYAN EXHIBIT 1044
`
`
`
`5:12-cv-366-oc-10PRL (M.D.Fla), filed 29
`June 2012.
`
`Cyanotech Corporation vs. U.S. Nutraceuticals,
`LLC /db/a Valensa International, and
`University of Illinois, Civ. No. 1:12-cv-00352-
`JMS-RLP (D.Haw.), filed 20 June 2012.
`
`Supplementary Declaration of Florian J.
`Schweigert
`
`Definitions from Stedman’s Medical Dictionary
`28th Edition (2006)
`
`Declaration of Barbara Schneider-Kempf
`(Staatsbibliothek zu Berlin), in German
`
`Declaration of Barbara Schneider-Kempf
`(State Library of Berlin), English translation
`
`Declaration of Stéphane Alcandre
`(Bibliothèque Nationale de France), in French
`
`Declaration of Stéphane Alcandre (National
`Library of France), in English
`
`
`
`
`

`

`Petitioner’s Updated Exhibit List
`
`
`
`
`
`
`Case IPR2013-00401
`Patent No. 5,527,533
`
`CYAN EXHIBIT 1045
`
`CYAN EXHIBIT 1046
`
`
`CYAN EXHIBIT 1047
`
`
`CYAN EXHIBIT 1048
`
`
`CYAN EXHIBIT 1049
`
`
`CYAN EXHIBIT 1050
`
`
`
`Declaration of C. Kathleen Dorey
`
`Hao et al., “Evidence for two apoptotic
`pathways in light-induced retinal
`degeneration,” Nature Genetics, Vol. 32, pp.
`254-260 (Oct. 2002).
`
`Amarie et al., “Excited state dynamics of the
`astaxanthin radical cation,” Chemical Physics,
`Vol. 373, pp. 8-14 (2010).
`
`Goodwin et al., “Some Observations on
`Astaxanthin Distribution in Marine Crustacea,”
`Biochem. Journal Vol. 45, pp. 268-270 (1949).
`
`Wright et al., “Photoreceptor degeneration:
`genetic and mechanistic dissection of a
`complex trait,” Nature Reviews Genetics, Vol.
`11, pp. 273-284 (Apr. 2010).
`
`Woodruff et al., “Spontaneous activity of opsin
`apoprotein is a cause of Leber congenital
`amaurosis”, Nature Genetics Vol. 35, pp. 158-
`164 (Oct. 2003)
`
`
`
`
`

`

`Petitioner’s Updated Exhibit List
`
`
`
`CYAN EXHIBIT 1051
`
`
`CYAN EXHIBIT 1052
`
`
`CYAN EXHIBIT 1053
`
`
`CYAN EXHIBIT 1054
`
`
`
`
`
`
`Case IPR2013-00401
`Patent No. 5,527,533
`
`Martinez-Fernandez de la Camara et al.,
`“Phosphodiesterase inhibition induces retinal
`degeneration, oxidative stress and inflammation
`in cone-enriched cultures of porcine retina,”
`Experimental Eye Research, Vol. 111, pp. 122-
`133 (June 2013).
`
`Xu et al., “cGMP accumulation causes
`photoreceptor degeneration in CNG channel
`deficiency: evidence of cGMP cytotoxicity
`independently of enhanced CNG channel
`function,” The Journal of Neuroscience, Vol.
`33, pp. 14939-14948 (Sept. 11, 2013).
`
`Tso, “Experiments on visual cells by nature and
`man: in search of treatment for photoreceptor
`degeneration. Friedenwald lecture,”
`Investigative Ophthalmology & Visual Science
`Vo. 30, pp. 2430-2454 (Dec. 1989).
`
`Fernandez et al., “Carotenoid Pigments in the
`Flesh and Carapace of Aristaeomorpha
`Foliacea and Heterocarpus Dorsalis,”
`Comparative Biochemistry and Physiology, Vol.
`69B, pp. 559-575 (1981).
`
`
`
`
`

`

`Petitioner’s Updated Exhibit List
`
`
`
`CYAN EXHIBIT 1055
`
`
`CYAN EXHIBIT 1056
`
`
`CYAN EXHIBIT 1057
`
`
`CYAN EXHIBIT 1058
`
`
`CYAN EXHIBIT 1059
`
`
`
`
`
`
`Case IPR2013-00401
`Patent No. 5,527,533
`
`Lei et al., “Accumulation and autofluorescence
`of phagocytized rod outer segment material in
`macrophages and microglial cells,” Molecular
`Vision, Vol. 18, pp. 103-113 (2012).
`
`Gupta et al., “Activated microglia in human
`retinitis pigmentosa, late-onset retinal
`degeneration, and age-related macular
`degeneration,” Experimental Eye Research, Vol.
`76, pp. 463-471 (Apr. 2003).
`
`Ferris III et al., “Clinical Classification of Age-
`related Macular Degeneration,” Opthamology,
`Vol. 120, pp. 844-851 (2013).
`
`Sangeetha et al., “Retinol-deficient rats can
`convert a pharmacological dose of astaxanthin
`to retinol: antioxidant potential of astaxanthin,
`lutein, and beta-carotene,” Canadian Journal of
`Physiology and Pharmacology, Vol. 88, pp.
`977-985 (Oct. 2010).
`
`Taylor et al., “Visible light and risk of age-
`related macular degeneration,” Trans. Am.
`Ophthalmol. Soc., Vol. 88, pp. 163-178 (1990).
`
`
`
`
`

`

`Petitioner’s Updated Exhibit List
`
`
`
`CYAN EXHIBIT 1060
`
`
`CYAN EXHIBIT 1061
`
`
`CYAN EXHIBIT 1062
`
`
`CYAN EXHIBIT 1063
`
`
`CYAN EXHIBIT 1064
`
`
`CYAN EXHIBIT 1065
`
`
`
`
`Case IPR2013-00401
`Patent No. 5,527,533
`
`Killingsworth et al., “Macrophages related to
`Bruch's membrane in age-related macular
`degeneration,” Eye (Lond), Vol. 4 (Pt. 4), pp.
`613-621 (1990).
`
`Gerster, “Review: Antioxidant Protection of the
`Ageing Macula,” Age and Ageing, Vol. 20, pp.
`60-69 (1991).
`
`Tso, “Retinal photic injury in normal and
`scorbutic monkeys,” Trans. Am. Ophthalmol.
`Soc., Vol. 85, pp. 498-556 (1987).
`
`Thanos, “Sick photoreceptors attract activated
`microglia from the ganglion cell layer: a model
`to study the inflammatory cascades in rats with
`inherited retinal dystrophy,” Brain Research,
`Vol. 588, pp. 21-28 (1992).
`
`Weiss et al., “Superoxide generation by human
`monocytes and macrophages,” American
`Journal of Hematology, Vol. 4, pp. 1-8 (1978).
`
`Yamada et al., “Superoxide in ocular
`inflammation: human and experimental
`
`
`
`
`

`

`Petitioner’s Updated Exhibit List
`
`
`
`
`
`
`Case IPR2013-00401
`Patent No. 5,527,533
`
`
`CYAN EXHIBIT 1066
`
`
`CYAN EXHIBIT 1067
`
`
`CYAN EXHIBIT 1068
`
`
`CYAN EXHIBIT 1069
`
`
`
`uveitis,” Journal of Free Radicals in Biology &
`Medicine, Vol. 2, pp. 111-117 (1986).
`
`Rohrer et al., “Multidestructive pathways
`triggered in photoreceptor cell death of the rd
`mouse as determined through gene expression
`profiling,” The Journal of Biological Chemistry,
`Vol. 279, pp. 41903-41910 (Oct. 1, 2004).
`
`Langmann, “Microglia activation in retinal
`degeneration,” Journal of Leukocyte Biology,
`Vol. 81, 1345-1351 (June 2007).
`
`Joly et al., “Cooperative phagocytes: resident
`microglia and bone marrow immigrants remove
`dead photoreceptors in retinal lesions,” The
`American Journal of Pathology, Vol. 174, pp.
`2310-2323 (June 2009).
`
`Fain et al., “Photoreceptor Degeneration in
`Vitamin A Deprivation and Retinitis
`Pigmentosa: the Equivalent Light Hypothesis,”
`Experimental Eye Research, Vol. 57, pp. 335-
`340 (1993).
`
`
`
`
`

`

`Petitioner’s Updated Exhibit List
`
`
`
`CYAN EXHIBIT 1070
`
`
`CYAN EXHIBIT 1071
`
`
`CYAN EXHIBIT 1072
`
`
`CYAN EXHIBIT 1073
`
`
`CYAN EXHIBIT 1074
`
`
`CYAN EXHIBIT 1075
`
`
`
`
`Case IPR2013-00401
`Patent No. 5,527,533
`
`Matsuno, “Xanthophylls as precursors of
`retinoids,” Pure & Applied Chemistry, Vol. 63,
`pp. 81-88 (1991).
`
`Deposition Transcript of. Florian J. Schweigert
`(Mar. 13, 2014).
`
`Brian et al., “Serum Retinol and Xerophthalmia
`Among a Prison Population in Papua New
`Guinea,” Ophthalmic Epidermiology, Vol. 18,
`pp. 288-294 (2011).
`
`Schalch, “Carotenoids in the retina – A review
`of their possible role in preventing or limiting
`damage by light and oxygen,” Free Radicals
`and Aging, pp. 280-298 (1992).
`
`Lohr et al., “Multiple, parallel cellular suicide
`mechanisms participate in photoreceptor cell
`death,” Experimental Eye Research, Vol. 83, pp.
`380-389 (Aug. 2006).
`
`Murakami et al., “Photoreceptor cell death and
`rescue in retinal detachment and
`degenerations,” Progress in Retinal and Eye
`Research, Vol. 37, pp. 114-140 (2013).
`
`
`
`
`

`

`Petitioner’s Updated Exhibit List
`
`
`
`
`CYAN EXHIBIT 1076
`
`
`CYAN EXHIBIT 1077
`
`
`CYAN EXHIBIT 1078
`
`
`CYAN EXHIBIT 1079
`
`
`CYAN EXHIBIT 1080
`
`
`
`
`
`
`Case IPR2013-00401
`Patent No. 5,527,533
`
`Nowak, “Oxidative stress, polyunsaturated fatty
`acids-derived oxidation products and
`bisretinoids as potential inducers of CNS
`diseases: focus on age-related macular
`degeneration,” Pharmacological Reports, Vol.
`65, pp. 288-304 (2013).
`
`Di Mascio et al., “Antioxidant defense systems:
`the role of carotenoids, tocopherols, and thiols.”
`The American Journal of Clinical Nutrition,
`Vol. 53, pp. 194S-200S (Jan. 1991).
`
`Wolde-Gabriel et al., “Severe vitamin A
`deficiency in a rural village in the Hararge
`region of Ethiopia,” European Journal of
`Clinical Nutrition, Vol. 47, pp. 104-114 (1993).
`
`Deposition Transcript of Shalesh Kaushal (May
`2, 2014).
`
`Honeywell Int’l, Inc. v. Nikon Corp., No. 04-
`01337, 2009 WL 577274 (D. Del. Mar. 4,
`2009)
`
`
`
`
`

`

`Petitioner’s Updated Exhibit List
`
`
`
`CYAN EXHIBIT 1081
`
`
`CYAN EXHIBIT 1082
`
`
`
`
`Case IPR2013-00401
`Patent No. 5,527,533
`
`Errata Sheet from Deposition Transcript of
`Shalesh Kaushal (May 2, 2014)
`
`Paragraphs 177-179 of “Expert Infringement
`Report of Shalesh Kaushal M.D., Ph.D.” Civ.
`No. 5:12-cv-366-oc-10PRL, M.D. Fla. (July 9,
`2014)
`
`
`
`
`

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