000001
`
`UNILEVER EXHIBIT 1052
`UNILEVER VS. PROCTOR & GAMBLE
`IPR2013-00509
`
`

`
`HOUSEHOLD AND PERSCNAL PRODUCTS INDUSTRY
`’
`Los ANGELES PUBLIC LIBRARY
`
`November 2006
`
`Volume 43, No. 11
`www.Happi.com
`
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`
`._j?a—.....:._:.
`
`DEC 04 2006
`
`CENTRAL LIBRARY
`PERIODICALS
`Covering cosmetics, toiletries, fragrances, soaps, detergents,
`household cleaners and industrial and institutional products.
`
`55 cultural & Ethnic Differences in Beauty
`As they develop global brands, marketers must be mindful of the
`cultural and ethnic differences that exist market by market.
`
`59 Fine Fragrance Trends
`Celebrities hold steady in the fragrance market while organics
`make their way into the perfume arena.
`
`00 VER STUIIY
`
`59 All Washed Up
`Liquid soap reigns as cleanser of choice, while natural and organic
`ingredients emerge as a growing trend.
`
`77 Maintaining Moisturization
`From Rinse-Off Products
`ISP researchers have developed a novel lipid for rinse-off cleansing
`formulas that not only deposits on the skin but also delivers quantifi-
`able, long lasting moisturization.
`
`83 Recent Trends in Hair Care Polymers
`A review of some of the new polymers and polymeric systems that
`continue to drive hair care innovation.
`
`89 Sure It Cleans. ..But is It Green?
`The focus is still on efficacy and value, but more customers want to know
`if the I&I supplies they buy are environmentally-friendly.
`
`102 Cosmetic Chemists Meet in Osaka
`Nearly 2000 cosmetic chemists from around the world gather in Japan for
`the 24th IFSCC Congress.
`
`105 Turning Vision into Execution
`Detergent industry must do a better job on sustainability, insist speakers
`at the 6th World Conference on Detergents.
`
`4
`
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`Belarus
`
`38 Gleams & Nations
`A new emulsion system
`
`40 Euro Trends
`UK and Spain post gains
`in a weak color segment
`
`44 News & 0 inion
`From the
`Id World
`Will Nivea’s new DNA
`be the stuff of life?
`
`49 The Grayson Report
`New product positioning
`is an important tool
`
`COVER DESIGN BY MICHAEL DEL PURGATORIO
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`Recent Trends
`
`In Hair Care Po ymers
`
`New polymers and polymeric systems continue to drive hair care innovation. Heres a
`review, of some of the most interesting chemistries available.
`
`Robert Y. Lochhead
`The Institute for Formulation Science, The School of Polymers & High Performance Materials
`The University of Southern Mississippi
`Hattiesburg, MS
`
`I-IE RECENT patent litera-
`ture is a source of infor-
`mation on the relative
`
`priorities of major compa-
`nies and, therefore, serves
`as a predictor of market
`direction. In this article,
`recent patents and patent
`applications have been
`scrutinized in an attempt to summa-
`rize trends in polymers for hair care
`and put them together in a “snapshot.”
`Maintaining a hairstyle in the rain, or
`even while bathing is a worthwhile
`objective for research and development,
`and L’Oréal researchers have patented
`hair-fixative systems that allow a hair-
`style to be retained upon extended
`exposure to water, yet is easily removed
`by shampooing. The styling polymer
`composition contains 5-40% by weight
`of a water-dispersible linear sulfonic
`polyester with a glass transition tem-
`perature of between 50-100°C (e.g.,
`Diglycol/CHDM/Isophthalates/SIP sold
`under the tradename Eastman AQ
`copolyesters).‘ A second styling system
`is based on a mixture of sulfonic poly-
`esters and high molecular weight non-
`associative polyurethanes,
`sold by
`Noveon, (PPG-17/IPDI/DMPA exempli-
`fied by Noveon’s Avalure UR-450
`polyurethane dispersion)?
`
`Cationic polyelectrolytes are usually
`used for their conditioning properties,
`and many hair-fixative polymers and
`preferred
`gellants
`are
`anionic.
`However, attempts to simultaneously
`achieve both attributes by direct combi-
`nation of cationic and anionic polyelec-
`trolytes are often thwarted because
`mixing solutions of cationic polyelec-
`trolyte and anionic polyelectrolyte usu-
`ally causes the two polymers to interact
`and separate from solution as a sym-
`plex. To overcome this incompatibility,
`BASF researchers have premixed
`cationic
`copolymers
`based
`upon
`vinylimidazole with a copolymer con-
`taining acidic groups and then dispers-
`ing this preformed complex in a carrier
`such as a hair gel?
`An alternative approach is to use a
`polyampholyte as one of the compo-
`nents.‘ A polyampholyte is a polymer
`that contains both cationic and anionic
`groups on the same molecule. In this
`context, styling and/or fixing can be
`obtained simultaneously with good
`hair disentangling and feel by combin-
`ing hair fixative polymers with an
`amphoteric starch; e.g., starch modified
`by (2-chloroethyl) aminodipropionic
`acid provided by National Starch.“
`of
`The
`thickening
`properties
`hydrophobically modified
`alkali-
`
`thickeners have
`swellable/soluble
`been improved by combining these
`polymers with a polysaccharide hydro-
`colloid gum (such as xanthan gum).
`This combination alters the gel tex-
`tures from brittle/cuttable to more
`flowable, shear thinning.7
`
`one Shampoo, Multiple Benefits
`Multiple attribute shampoos have been
`the norm for more than a quarter of a
`century. During the past 30 years there
`has been steady improvement on condi-
`tioning shampoos that aid in detan-
`gling, wet-combing and dry combing.
`The original successful conditioning
`shampoos of the 1970s were based on
`the formation of coacervates of cationic
`polymer (such as polyquaternium-10 or
`guar hydroxypropyltrimonium chlo-
`ride) and anionic surfactants. More
`recently, a new cationic ga1actoman-
`nan, cationic cassia, has been intro-
`duced.“ Polycationic/nonionic block
`copolymers synthesized by the new
`technique of living free radical poly-
`merization reportedly confer surface
`deposition,‘’'“’ and improved foaming.“
`Polyquaternium—7 (a copolymer of
`acrylamide and diallyldimethyl ammo-
`nium chloride) is a very old cationic
`polymer that has been used for its qual-
`ities as a hair conditioner. This polymer
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`is solution-polymerized and supplied at
`the relatively low concentration of 8-
`10% as an aqueous solution. Now,
`improved conditioning performance is
`possible from polyquaternium-7 pro-
`duced in the form of beads by inverse
`suspension polymerization.” Comparative
`wet-combing measurements of condi-
`tioned hair form the basis of the
`claimed improvement.
`Anionic surfactants are generally pre-
`ferred for shampoos due to their supe-
`rior cleaning and foaming properties.
`'However, at the levels used in sham-
`poos, these surfactants can be irritating
`to the eyes and the skin. The irritation
`can be ameliorated by combining non-
`ionic, ainphotericm‘-15"‘ and/or cationic
`surfactants with the anionic surfactant
`
`shampoo base. However, this approach
`sacrifices the foamability of the sham-
`
`respect and Akzo Nobel’s Elfacos T210
`and Elfacos T212 are two examples.
`Improved conditioning is due to better
`wet-combing and dry-combing and by
`more uniform and more deposition of
`silicone on the hair surface. The uni-
`
`formity of deposition is deduced from
`X-Ray Photon
`spectroscopy
`and
`Scanning Electron Microscopy of
`treated hair when the amphiphilic
`polymer is included in the conditioner
`formulation. [The word amphiphilic is
`creeping into our scientific jargon like
`a pernicious weed and it is often used
`inaccurately. Amphiphilic—from the
`Greek roots amphi (dual) and philo
`(loving)
`literally means “dual-lov-
`ing—conveying that
`the substance
`interacts favorably with each of the
`oils and water phases. This could
`mean that the substance readily dis-
`
`There has been steady improvement on conditioning shampoos that aid in detangling.
`
`poo composition. The inclusion of a
`hydrophobically-modified, crosslinked
`anionic acrylic copolymer (identified as
`Carbopol Aqua SF-1" from Noveon) in
`an 8% anionic surfactant base produces
`a composition that gives good foaming
`and cleansing and is substantially free
`of ocular sting.“
`Certain nonionic “amphiphilic” poly-
`mers synergistically improve hair con-
`ditioning from silicone-containing con-
`ditioner compositions.“ Polyether ure-
`thanes are a particularly useful class
`of amphiphilic polymers
`in this
`
`solves in each of the oil and the water
`phases. Amphipathic (the Greek root
`patho means suffering)
`is a more
`appropriate term for a molecule that
`preferentially resides at the oil/ water
`interface and,
`therefore, suffers both
`phases.]
`'
`Polymeric urethane ester quaternary
`compositions have been claimed and
`these are disclosed as bringing about
`hair-conditioning properties.”
`The drive to develop clear condition-
`ing shampoos is distinguished by the
`development of new variants of guar
`
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`llill’l’l 0 November 2006 0 WWW.Happ/.60/77
`
`hydroxypropyltrimonium chloride“
`and the inclusion of microemulsified
`
`silicone droplets into conditioning
`shampoo base.“ Deposition of silicone
`gives conditioning benefits but resid-
`ual silicone can cause the hair to lose
`
`volume and style, which is apparently
`ameliorated by using microemulsified
`silicone droplets.
`
`Multiphase cleansing
`There continues to be a trend toward
`
`products that exist as separate phases
`in the bottle but, when mixed during
`application, provide added benefit.“
`Procter & Gamble researchers devel-
`
`oped multiphase cleansing composi-
`tions in which the phases can be
`arranged to form visually attractive
`patterns inside a transparent contain-
`er.“’”5-2“ Phases comprise an aqueous
`cleansing phase,“ a conditioning-bene-
`fit phase” and a non-lathering struc-
`tured phase.” A recent example of com-
`positions disclosed for moisturizing and
`conditioning“ contains a phase of
`petrolatum in water emulsified with
`Emulsifying wax NF (Polawax from
`Croda) and co-emulsified and struc-
`tured using hydroxypropyl starch phos-
`phate (Structure XL from National
`Starch). The product
`is formed by
`injecting both phases into a bottle that
`rotates at 250rpm during packaging.
`There is a desire to develop condition-
`ing shampoos that bestow both condi-
`tioning and styling benefits. Such
`styling/conditioning shampoos and
`their use are reportedly due to the
`inclusion of an aminosilicone and a
`
`styling polymer.“ The styling polymer
`is described as having a drawing power
`of greater than 5cm when evaluated by
`the TA-TX2 texture analyzer (from
`Stable Micro Systems)?” This “draw-
`ing” measurement
`is performed by
`compressing and penetrating the prod-
`uct with an aluminum disc, vvithdraw-
`ing the disc and measuring the break-
`ing length of the drawn fiber formed as
`the cylinder is withdrawn. This length
`is defined as the “drawing power.”
`These styling shampoo patent applica-
`tions“ cite Ultimer from Ondeo-Nalco
`as an exemplary polymer that displays
`the desired drawing properties. This
`acrylamide and dimethylaminoethyl
`acrylate copolymer is a dispersion poly-
`
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`
`merized in saline. During the past
`decade, the texture analyzer has meas-
`ured the properties of hair fiber assem-
`blygm‘-35 conditioners,“ hair gels” and
`hair fixatives.3*"39
`
`The Role of Polymers
`Polymers play several roles in hair
`color, acting as thickeners for oxidation
`dyes and conditioners and hair-protec-
`tors to mitigate the harsh effects of col-
`oring. Thickeners include a range of
`associative thickeners (anionic, cationic,
`ainphoteric, nonionic and hydrophobi-
`cally-modified alkali swellable as well
`as hydrophobically-modified ethoxylat-
`ed urethanes). Alkylmethicones and
`aminosilicones play a role in color
`retention. Non-associative thickeners
`
`boost hair lightening.
`Casperson listed the following condi-
`tions of
`thickened oxidation dye
`compositions?”
`1. The formulations must be stable to
`insure a reasonable shelf life.
`
`2. The compositions formed by mixing
`the lotion and developer must have
`rheological properties to allow the
`applied composition to readily distrib-
`ute the dye throughout the hair mass
`and avoid dripping or running from
`the hair during the color development
`period.
`3. The dye mixture, as applied to the
`hair, should allow rapid diffusion of the
`dye precursors from the dye mixture
`into the hair fiber.
`4. The thickened mixture should be
`
`readily rinseable from the hair with
`water.
`5. The mixture should contain condi-
`
`leave the hair
`tioning agents that
`easy to detangle while wet and should
`feel smooth and be readily managed
`when dry.
`6. The lotion and developer should
`preferably, but not necessarily, have
`comparable viscosities in order to facil-
`itate mixing.
`7. The dyeing effect should be rapid,
`with a dyeing time preferably under
`30 minutes.
`
`The oxidation dye compositions are
`usually thickened to localize the dye
`action on the hair and to prevent the
`formula from flowing down the face
`and into the eyes. Originally, thicken-
`ers such as Carbomers,“ hydroxyethyl-
`
`cellulose or low HLB surfactants were
`used but they dulled hair color." The
`original thickeners were replaced with
`several types of associative thickeners“
`to improve the brightness and intensi-
`ty of the colored hair. Indeed one recent
`invention claims that two different
`anionic association thickeners give bet-
`ter stability than one in these composi-
`tions.“ Combinations of acrylates/C10
`30
`alkyl
`acrylate
`crosspolymer
`(Carbopol ETD 2020 from Noveon) and
`acrylates/beheneth-25 methacrylate
`copolymer (Aculyn 22 and 28 from
`Rohm & Haas) are mentioned in the
`patent. Peroxide bleaching similarly
`requires thickened systems that will
`not run into the client’s eyes. This is
`achieved by adding pulverulent bleach-
`ing powder to peroxide prior to applica-
`tion. However, hydrogen peroxide solu-
`tions having a titer of more than 40 vol-
`umes should not be used for cosmetic
`
`use. Nevertheless, there is a temptation
`for hair stylists to increase the bleach-
`ing performance by using stronger
`hydrogen peroxide.
`L’Oréal researchers reported that
`they overcame these drawbacks by dis-
`covering a bleaching powder that is
`storage stable and can form homoge-
`neous, stable, ready-to-use bleaching
`compositions that are easy to apply and
`remain where applied without running
`or diffusing onto the areas of the hair in
`which bleaching is not desired.“ The
`compositions cause intense and homo-
`geneous bleaching without rendering
`the hair coarse. Moreover, these compo-
`sitions encourage safety in the salon,
`because if aqueous hydrogen peroxide
`of greater than 40 volumes is used, the
`thickened compositions are inhomoge-
`neous and unstable; they run and leave
`the hair course. These pulverulent
`bleaching powders contain polymers
`
`Texturize,
`Strengthen
`and Protect
`
`Hair care formulas using
`
`Syntran® PC-5208 provide
`improved texture, strength, curl
`character, luster, comb-out and
`
`thermal restorative capabilities.
`
`Syntran
`
`Empowering formulators to
`
`Create unique products with
`”attributes that differentiate”.
`
`Polymer Platforms
`- Bimodal 0 Olefin Graft
`0 Cationic 0 Resins 0 Film Formers
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`
`lllPl’l 0 November 2006 0 Wwvi/.Happi.com 85
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`

`
`that are described in the patent appli-
`cation
`as
`nonionic
`or
`anionic
`
`amphiphilic polymers and are exempli-
`fied by Ser-ad FX 1100 (now probably
`sold under the tradename Dapro FX
`1100 from Elementis Specialties) and
`Jaguar XC-95/3 from Rhodia.
`
`Two-Part Haircoloring
`Intense, radiant hair color shades with
`low selectivities and good fastness
`toward chemical agents (such as sham-
`poo and permanent waving chemicals)
`or natural agents (such as light or per-
`spiration) are reportedly obtained by
`introducing certain cationic polymers
`into one or both parts of a two-part
`hair-coloring system. The two parts
`are, of course, the composition contain-
`ing the oxidation dye and the oxidizing
`composition. Specifically the cationic
`polymers that provide these benefits
`are
`a
`cationic
`associative
`
`polyurethane“ and a cationic poly
`(vinyllactam).‘“ The poly (vinyllactam)
`that is exemplified in this patent is a
`vinylpyrrolidone/dimethylaminopropy-
`lmethacrylamide/lauryldimethyl-
`methacrylamidoammonium chloride
`terpolymer provided by ISP.
`Similarly, conventional approaches
`for thickening hair bleaching composi-
`tions fall short with respect to bleach-
`ing the hair intensely or sufiiciently
`homogeneously. Moreover, these treat-
`ments also leave the hair feeling
`rough. Again the situation is improved
`by the introduction of cationic poly-
`mer; specifically a cationic associative
`polyurethane
`that
`localizes
`the
`bleaching compositions at the points
`of application and this leads to a more
`homogeneous
`and more
`intense
`bleaching with an added benefit of
`leaving the hair less rough.“ Similar
`benefits are claimed for both bleaching
`and permanent waving.“ Permanent
`waving usually involves longitudinally
`winding the hair on curlers. This
`process conveys more longitudinal
`twisting and stretching of the tip-end of
`the hair rather than the root end and,
`consequently, it exposes the tip-end to
`more mechanical damage. This is exac-
`erbated by the fact that the tip end is
`months older than the root end and it
`
`already has suffered damage due to
`normal cleansing and grooming rou-
`
`tines, chemical treatments and envi-
`ronmental exposure. This degradation
`in structure makes the hair more brit-
`
`tle and more permeable, and it leads to
`deterioration in stylability.
`Current attempts to overcome these
`deleterious effects involve end protec-
`tion by pretreatment with, for example,
`end-papers impregnated with acid or
`oil. Applying superabsorbing polymers
`to protect the hair during the process of
`permanent waving reportedly improves
`performance.5° The polymers have a
`
`certain eatioinic polymers added to a hair
`coloring system provide radiant color:
`
`swollen particle size that is relatively
`large and grainy. These are polymers
`that would typically be used in super-
`absorbing diaper applications and they
`are typified by Arkema’s Aqua-keep D
`or Norsocryl XFS and BASF’s Sanwet
`IM 7015, 3746-5 and Hysorb E1290-O0
`and E 1291-00.
`
`A conditioning treatment for the ends
`of damaged hair involves the use of a
`composition comprising a cationic sur-
`factant (behenyltrimethylammonium
`chloride,
`cetyltrimethylammonium
`chloride, quaternium-83 or quaterni-
`um-87), a modified starch (National
`Starch’s Structure Zea or Structure
`
`Solanace) and a cationic polymer with
`a cationic charge density greater than
`or equal to 5 meq./g (polyquaternium-6,
`polyquaternium-7, polyethyleneimines
`or polyethyleneimine copolymers).
`In semi-permanent hair color, pre-
`formed dye molecules are used but not
`mixed with a developer prior to applica-
`tion. This means that, unlike perma-
`nent hair dyes, the sizes of the dye mol-
`ecules do not change during the dye
`process. Semi-permanent dyes will
`remain on the hair for about six to
`
`twelve shampooings and can provide a
`natural looking blending of gray and
`pigmented hair. However, this type of a
`dye lacks durability and it can develop
`off-tones that differ from the original
`hair color.
`
`Most men’s hair colorants are tempo-
`rary and they are prepared by reducing
`the alkali-levels of permanent hair col-
`orants to inhibit the alteration of the
`natural hair color.
`
`Cationic dyes usually consist of mole-
`cules that are too large to penetrate
`into hair. However,
`their cationic
`charge makes these substances sub-
`stantive to hair“ and, once applied,
`they can usually only be removed by
`multiple shampooings. Complexes of
`cationic dyes with anionic polymers
`reportedly make it possible to prepare
`a temporary coloring system for hair
`that can be easily removed by shampoo.
`This could open the door to “try-on”
`hair coloring products that would allow
`consumers to try a hair color with the
`confidence that
`it could be easily
`removed. It may also appeal to the user
`who wished to change hair color on a
`frequent basis. The disclosed composi-
`tions comprise cationic dyes such as
`Basic Blue 99, Basic Brown 17, Basic
`Brown 16, Basic Red 76, Basic Yellow
`57, Basic Red 51, Basic Yellow 87 and
`Basic Orange 31 combined with a
`water-soluble anionic polymer.“
`
`Target Temperature
`There is a noticeable and growing
`trend in personal care toward poly-
`meric systems that phase-separate or
`gel at particular target
`tempera-
`tures.“ For example,
`temperature-
`triggered thermo-thickening can be
`achieved from water-soluble polymers
`with attached blocks or grafts of poly-
`
`.
`
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`
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`
`mers that display a lower critical solu-
`tion temperature (LCST) in the range
`of usual cosmetic and personal care
`procedures.“ ’1\2vo applications of this
`technology are:
`0 The thickening of acid-solutions in
`this fashion by graft copolymers of N-
`acryloyl
`taurate with commercially
`available macromonomers.“
`
`0 The preparation of multiple emul-
`sions that can be facilitated by the
`use of thermogelling amphipathic
`block copolymers that are prepared
`by end-capping Poloxamers with poly
`(acrylic acid).“*57
`A similar strategy has been applied to
`the deposition of sunscreens from aque-
`ous solutions by synthesizing water-
`soluble polymers containing cinnami-
`doalkylamines and/or benzamidoalky-
`lamines that have a lower critical solu-
`tion temperature (LCST) of 30°C or
`above and cationic groups for enhanced
`substantivity.“ They are readily soluble
`in water at room temperature, but
`above 30°C they phase-separate and
`deposit the sunscreen-containing poly-
`mer on the skin or hair. These UV-
`
`absorbing polymers are purported to
`show excellent substantivity due to
`their cationic charge.“ 0
`
`References
`1. Bebot , C.; Laurent, L.; Vrignaud, S.; United
`States Patent Application 20060188461, August
`24,2006.
`2. Laurent, L.; Benabdillah, K.; United States
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`3. Nguyen-Kim, S; Muller, G.; Wood, C.; Hossel, P.;
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`August
`24,
`2006;
`assigned
`to
`BASF
`Aktiengesellschait
`4. Nguyen-Kimh, S.; Schuch, H.; Kaiser, 'I‘.; Wood,
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`
`;
`11. Yeung, D. W-K .; Bergeron, V.; Bodet, J. F.
`;
`Sivik, M. R.; Kluesener, B. W.
`; Scheper, W. M.
`United States Patent Application 20050113272;
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`12. Lyot , P.; Philibert , 13.; United States Patent
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`13. Lindemann, M. K. O.
`; Kennedy, R. R.;
`Verdicchio , R. J. ; United States Patent 4,110,263;
`August 29, 1978 assigned to Johnson & Johnson
`Baby Products Company.
`14. Verdicchio ,R. J.; Rodon , M. C: United States
`Patent 4,186,113; January 29, 1980; assigned to
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`15. Guth, J.J.; Verdicchio , R. J. ; United States
`Patent 4,443,362; April 17, 1984; assigned to
`Johnson & Johnson Baby Products Company
`16. Verdicchio , R. J.
`; United States Patent
`4,726,915; February 23, 1988; assigned to Johnson
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