`
`Attorney Docket No. AKBM-33544
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`AKER BIOMARINE AS
`Petitioner
`
`v.
`
`NEPTUNE TECHNOLOGIES AND BIORESSOURCES INC.
`Patent Owner
`
`Case IPR2014-00003
`Patent 8,278,351 B1
`
`AKER BIOMARINE AS’S UPDATED EXHIBIT LIST
`
`Mail Stop “PATENT BOARD”
`Patent Trial and Appeal Board
`United States Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`
`
`Petitioner’s Exhibit List
`Case No: IPR2014-00003
`
`AKBM
`Exhibit No.
`
`Description
`
`1001
`
`1002
`
`1003
`
`1004
`
`1005
`
`1006
`
`1007
`
`1008
`
`U.S. Pat. No. 8,278,351 to Sampalis (“’351”)
`
`WO 00/23546 to Beaudoin (“Beaudoin I”)
`
`Canadian Application 2,251,265 to Beaudoin (“Beaudoin II”)
`
`Certified translation of Ex. 1070: Japanese Unexamined Patent
`Application Publication No. 02-215351, titled Krill Phospholipids
`Fractioning Method (“Maruyama,”); Certificate of Translation
`provided as Ex. 1071.
`
`Certified translation of Ex. 1072: Fisheries Agency, General Report
`on Research and Development of Techniques in Processing and
`Utilization of Marine Products, Chapter 6, Development of
`technology for recovery of valuable substances (astaxanthin) from
`krill, by Takao Fujita, pp. 273-307 (March 1985) (“Fujita”) ;
`Certificate of Translation provided as Ex. 1073.
`
`Fricke et al., Lipid, Sterol, and Fatty Acid Composition of
`Antarctic Krill, Lipids, Vol. 19, No. 11, pp. 821-827 (1984)
`(“Fricke”)
`
`Bottino, N.R., “Lipid Composition of Two Species of Antarctic
`Krill: Euphausia Superba and E. Crystallorophias,” Comp.
`Biochem. Physiol., 1975, Vol. 50B, pp. 479-484 (“Bottino”)
`
`Canadian Patent No. 1098900, titled Method for the Processing of
`Krill to Produce Protein, Lipids and Chitin (“Rogozhin”)
`
`
`
`Petitioner’s Exhibit List
`Case No: IPR2014-00003
`
`Description
`
`Itano Refrigerated Food Co., Ltd., Bio & High Technology
`Announcement and Natural Astaxanthin & Krill Lecithin, pp. 1-16
`(on or before December 28, 1994) (“Itano”)
`
`WO97/39759 to Stoll (“Stoll”)
`
`Final Prospectus dated May 11, 2001 (“Final Prospectus”)
`
`“Neptune Technologies & Bioressources Soon to Obtain a Major
`Patent in Over 30 Countries” (“2011 Press Release,”)
`
`Le Grandois et al., Investigation of Natural Phosphatidylholine
`Sources: Separation and Identification by Liquid Chromatography-
`Electrospray Ionization-Tandem Mass Spectrometry (LC-ESI-
`MS2) of Molecular Species, J. Agric. Food Chem., 57, 6014-20
`(2009) (“Le Grandois”)
`
`Certified translation of Ex. 1074: Japanese Patent No. 60-153779,
`entitled “Nutritional Supplement” (“Fukuoka ”); Certificate of
`Translation provided as Ex. 1075
`
`Certified translation of Ex. 1076: Japanese Patent Publication
`No. H08-231391, entitled “Medicine for Improvement of
`Dementia Symptoms” (“Yasawa”); Certificate of Translation
`provided as Ex. 1077.
`
`Suzuki, T. and Shibata, N., “The utilization of Antarctic krill for
`human food,” Food Rev. Int’l, 6:1, 119-147 (1990) (“Suzuki”)
`
`AKBM
`Exhibit No.
`
`1009
`
`1010
`
`1011
`
`1012
`
`1013
`
`1014
`
`1015
`
`1016
`
`
`
`Petitioner’s Exhibit List
`Case No: IPR2014-00003
`
`AKBM
`Exhibit No.
`
`Description
`
`1017
`
`1018
`
`1019
`
`1020
`
`1021
`
`1022
`
`1023
`
`Bergelson (ed.), Lipid Biochemical Preparations, Chapter I.1, pp. 1-
`13 (1980) (“Bergelson”)
`
`WHO News and Activities, Bulletin of the World Health
`Organization, 73(4), pp. 547-51 (1995) (“WHO Bulletin”)
`
`Bell and Dick, Molecular Species Composition of the Major
`Diacyl Glycerophospholipids from Muscle, Liver, Retina and
`Brain of Cod (Gadus morhua), Lipids, Vol. 26, No. 8, pp. 565-
`573 (1991) (“Bell and Dick”)
`
`Henderson et al., Lipid Composition of the Pineal Organ from
`Rainbow Trout (Oncorhynchus mykiss), Lipids, Vol. 29, No. 5,
`pp. 311-317 (1994) (“Henderson ”)
`
`Bell, Molecular Species Analysis of Phosphoglycerides from the
`Ripe Roes of Cod, Lipids, Vol. 24, No. 7 (1989)
`
`Takahashi et al., Compositional Changes in Molecular Species of
`Fish Muscle Phosphatidylcholine During Storage, Bull. Fac. Fish.
`Hokkaido Univ. 37(1), 80-84 1986.
`
`Takahashi et al., Prediction of Relative Retention Value of the
`Individual Molecular Species of Diacyl Glycerolipid on High
`Performance Liquid Chromatography, Bull. Fac. Fish. Hokkaido
`Univ. 38(4), 398-404. 1987
`
`
`
`AKBM
`Exhibit No.
`
`1024
`
`1025
`
`1026
`
`1027
`
`1028
`
`1029
`
`1030
`
`Petitioner’s Exhibit List
`Case No: IPR2014-00003
`
`Description
`
`Lin et al., Effect of Dietary N-3 Fatty Acids Upon the
`PhospholipidMolecular Species of the Monkey Retina, Invest
`Ophthalmol Vis Sci. 1994;35:794-803
`
`Farkas, Composition and Physical State of Phospholipids in
`Calanoid Copepods from India and Norway, LIPIDS, Vol. 23, No. 6
`(1988)
`
`Bell, Molecular Species Composition of Phosphatidylcholine from
`Crypthecodinium cohnii in Relation to Growth Temperature Lipids
`25, 115-118 (1990)
`
`Buda, Structural order of membranes and composition of
`phospholipids in fish brain cells during thermal acclimatization,
`Proc. Natl. Acad. Sci. USA Vol. 91, pp. 8234-8238, August 1994
`
`Takahashi et al., Molecular Species of Fish Muscle Lecithin,
`Bulletin of the Japanese Society of Scientific Fisheries 48(12),
`1803-1814 (1982)
`
`Tocher, Chapter 6, Glycerophospholipid metabolism,
`Biochemistry and molecular biology of fishes, vol. 4, Hochachka
`and Mommsen (eds.)(1995)
`
`Tanaka, Biosynthesis of 1,2-dieicosapentaenoyl-sn-glycero-3-
`phosphocholine in Caenorhabditis elegans, Eur. J. Biochem. 263,
`189±194 (1999)
`
`
`
`Petitioner’s Exhibit List
`Case No: IPR2014-00003
`
`Description
`
`Winther et al., Elucidation of Phosphatidylcholine Composition in
`Krill Oil Extracted from Euphausia superba, Lipids 46(1):25-36
`(2011)(“Winther”)
`
`Eichberg, “Lecithin – It Manufacture and Use in the Fat and Oil
`Industry,” Oils and Soap 51-54, 1939 (“Eichberg”)
`
`Balassa et al., Microencapsulation in the Food Industry, Critical
`Reviews in Food Technology, 2:2, 245-265 (1971)(“Balassa”)
`
`Buchi R-220 Rotovapor® Manual
`
`Johnson and Lucas, Comparison of Alternative Solvents for Oils
`Extraction, JAOCS 60(2):229-242 (1983)
`
`U.S. Pat. No. 4,714,571
`
`Grit et al., Int. J. Pharmaceutics 50:1-6 (1989)
`
`Herman and Groves, Pharmaceutical Research 10(5):774-776
`(1993)
`
`Watanabe et al., Effective Components in Cuttlefish Meal and
`Raw Krill for Improvement of Quality of Red Seabream Pagrus
`major Eggs, Nippon Suisan Gakkaishi 57(4):681-694
`(1991)(“Watanabe”)
`
`Declaration of Dr. Richard van Breemen in Support of Inter Partes
`Review of U.S. Pat. No. 8,278,351 (“Van Breemen”)
`
`AKBM
`Exhibit No.
`
`1031
`
`1032
`
`1033
`
`1034
`
`1035
`
`1036
`
`1037
`
`1038
`
`1039
`
`1040
`
`
`
`Petitioner’s Exhibit List
`Case No: IPR2014-00003
`
`AKBM
`Exhibit No.
`
`Description
`
`1041
`
`1042
`
`1043
`
`1044
`
`1045
`
`1046
`
`1047
`
`1048
`
`1049
`
`Declaration of Dr. Suzanne Budge in Support of Inter Partes
`Review of U.S. Pat. No. 8,278,351 (“Budge”)
`
`Declaration of Dr. Thomas Brenna in support of Inter Partes
`Review of U.S. Pat. No. 8,278,351
`
`Expert Witness Report of Dr. Theodore Welch submitted in
`relation to ITC Investigation No. 337-TA-877 (“Welch”)
`
`Declaration of Dr. Jeff Moore in Support of Inter Partes Review of
`U.S. Pat. No. 8,278,351 (“Moore”)
`
`Declaration of Dr. Albert Lee in Support of Inter Partes Review of
`U.S. Pat. No. 8,278,351 (“Lee”)
`
`Declaration of Dr. Ivar Storrø in support of Inter Partes Review of
`U.S. Pat. No. 8,278,351 (“Storrø”)
`
`Declaration of Bjorn Ole Haugsgjerd submitted during inter partes
`reexamination of parent patent U.S. 8,030,348 (“Haugsgjerd ’348
`Decl.”)
`
`Supplemental Declaration of Bjorn Ole Haugsgjerd submitted
`during inter partes reexamination of parent patent U.S. 8,030,348
`(“Haugsgjerd ’348 Supp. Decl.”)
`
`Declaration of Dr. Thomas Gundersen submitted during inter
`partes reexamination of parent patent U.S. 8,030,348 (“Gundersen
`Decl.”)
`
`
`
`Petitioner’s Exhibit List
`Case No: IPR2014-00003
`
`Description
`
`Supplemental Declaration of Dr. Thomas Gundersen submitted
`during inter partes reexamination of parent patent U.S. 8,030,348
`(“Gundersen Supp. Decl.”)
`
`Declaration of Dr. Earl White submitted during prosecution of
`parent patent U.S. 8,030,348 (“2011 White Decl.”)
`
`Supplemental Declaration of Dr. Earl White submitted during
`prosecution of parent patent U.S. 8,278,351 (“White Supp. Decl.”)
`
`Declaration of Dr. Jacek Jaczynski from inter partes reexamination
`of the parent patent U.S. 8,030,348 (“Jaczynski Reexam. Decl.”)
`
`Declaration of Dr. Yeboah submitted during inter partes
`reexamination of parent patent U.S. 8,030,348 (“Yeboah Reexam
`Decl.”)
`
`Supplemental Declaration of Dr. Earl White submitted during inter
`partes reexamination of parent patent U.S. 8,030,348 (“White Supp.
`Reexam. Decl.”)
`
`Declaration of Dr. Shahidi submitted during inter partes
`reexamination of parent patent U.S. 8,030,348 (“Shahidi Reexam.
`Decl.”)
`
`Declaration of Dr. Tina Sampalis submitted during inter partes
`reexamination of parent patent U.S. 8,030,348 (“Sampalis”)
`
`AKBM
`Exhibit No.
`
`1050
`
`1051
`
`1052
`
`1053
`
`1054
`
`1055
`
`1056
`
`1057
`
`
`
`Petitioner’s Exhibit List
`Case No: IPR2014-00003
`
`AKBM
`Exhibit No.
`
`Description
`
`1058
`
`1059
`
`1060
`
`1061
`
`1062
`
`1063
`
`1064
`
`1065
`
`1066
`
`1067
`
`1068
`
`1069
`
`Declaration of Dr. Yeboah submitted during prosecution of parent
`patent U.S. 8,278,351 (“Yeboah ’351 Decl.”)
`
`Declaration of Dr. Shahidi submitted during prosecution of parent
`patent U.S. 8,278,351 (“Shahidi ’351 Decl.”)
`
`Declaration of Dr. Jaczynski submitted during prosecution of
`parent patent U.S. 8,278,351 (“Jaczynski ’351 Decl.”)
`
`April 2, 2012 Response to Office Action, ’351 patent
`
`Provisional Application No. 60/307,842 (Priority document for the
`’351 patent)
`
`Office Action dated January 5, 2012, ’351 patent
`
`Action Closing Prosecution, ’348 patent
`
`Grant of Request for Ex parte Reexamination of the ’351 patent
`
`Declaration of Dr. Van Breemen submitted during Ex parte
`Reexamination of the ’351 patent (“Van Breemen ’351
`Reexam. Decl.”)
`
`Declaration of Dr. Van Breemen submitted during Inter partes
`Reexamination of the ’348 patent (“Van Breemen ’348
`Reexam Decl.”)
`
`Medina et al., J. Amer. Oil Chem. Soc. 71(5):479-82 (1994)
`
`U.S. Patent No. 8,030,348
`
`
`
`Petitioner’s Exhibit List
`Case No: IPR2014-00003
`
`Description
`
`Japanese Unexamined Patent Application Publication No. 02-
`215351, titled Krill Phospholipids Fractioning Method; Japanese
`language document
`
`Certification of translation of Ex. 1070: Japanese Unexamined
`Patent Application Publication No. 02-215351
`
`Fisheries Agency, General Report on Research and Development
`of Techniques in Processing and Utilization of Marine Products,
`Chapter 6, Development of technology for recovery of valuable
`substances (astaxanthin) from krill, by Takao Fujita, pp. 273-307
`(March 1985); Japanese language document
`
`Certificate of translation of Ex. 1072: Fisheries Agency, General
`Report on Research and Development of Techniques in Processing
`and Utilization of Marine Products, Chapter 6, Development of
`technology for recovery of valuable substances (astaxanthin) from
`krill, by Takao Fujita, pp. 273-307 (March 1985); Japanese
`language document
`
`Japanese Patent No. 60-153779, entitled “Nutritional Supplement”;
`Japanese language document
`
`Certificate of translation of Ex. 1074: Japanese Patent No. 60-
`153779, entitled “Nutritional Supplement”
`
`AKBM
`Exhibit No.
`
`1070
`
`1071
`
`1072
`
`1073
`
`1074
`
`1075
`
`
`
`AKBM
`Exhibit No.
`
`1076
`
`1077
`
`1078
`
`1079
`
`1080
`
`1081
`
`Petitioner’s Exhibit List
`Case No: IPR2014-00003
`
`Description
`
`Japanese Patent Publication No. H08-231391, entitled “Medicine
`for Improvement of Dementia Symptoms”; Japanese language
`document
`
`Certificate of translation of Ex. 1076: Japanese Patent Publication
`No. H08-231391, entitled “Medicine for Improvement of
`Dementia Symptoms”
`
`Folch, et al., A Simple Method for the Isolation and Purification of
`Total Lipids from Animal Tissues. J. Biol. Chem., 226, 497-509
`(1957)
`
`Declaration of Dr. Chong Lee submitted during inter partes
`reexamination of parent patent U.S. 8,030,348 (“Yeboah Reexam
`Decl.”)
`
`Declaration of Bjorn Ole Haugsgjerd in support of Inter Partes
`Review of U.S. Pat. No. 8,278,351 (“Haugsgjerd”)
`
`Declaration of Leslie M. Schmidt in Support of Motion to Appear
`Pro Hac Vice on behalf of Petitioner Aker Biomarine AS, Aker
`Biomarine AS v. Neptune Technologies and Bioresources, Inc.,
`Patent Trial and Appeal Board Case No. IPR2014-00003 (May 9,
`2014)
`
`
`
`Petitioner’s Exhibit List
`Case No: IPR2014-00003
`
`Description
`
`Declaration of Michael W. DeVries in Support of Motion to
`Appear Pro Hac Vice on behalf of Petitioner Aker Biomarine AS,
`Aker Biomarine AS v. Neptune Technologies and Bioresources,
`Inc., Patent Trial and Appeal Board Case No. IPR2014-00003
`(May 9, 2014)
`
`Email L. Cunningham to A. Hollis re discovery dispute in
`IPR2014-00003 (June 3, 2014)
`
`Email S. Sukenick to M. Hertko re third party discovery consent in
`337-TA-877
`
`Email A. Hollis to L. Cunningham, J. Graves re filing in IPR2014-
`00003
`
`Tou, et al., Krill for Human Consumption: Nutritional Value and
`Potential Health Benefits. Nutrition Reviews®, 65(2), 63-77 (Feb.
`2007) (Jaczynski Dep. Ex. 3)
`
`U.S. Patent No. 7,763,717 (Jaczynski Dep. Ex. 4)
`
`Hand drawn image (Jaczynski Dep. Ex. 5)
`
`Hand drawn image (Jaczynski Dep. Ex. 7)
`
`Hand drawn image (Jaczynski Dep. Ex. 8)
`
`AKBM
`Exhibit No.
`
`1082
`
`1083
`
`1084
`
`1085
`
`1086
`
`1087
`
`1088
`
`1089
`
`1090
`
`
`
`AKBM
`Exhibit No.
`
`1091
`
`1092
`
`1093
`
`1094
`
`1095
`
`1096
`
`Petitioner’s Exhibit List
`Case No: IPR2014-00003
`
`Description
`
`Chen, et al., Gelation of Protein Recovered from Whole Antarctic
`Krill (Euphausia superba) by Isoelectric Solubization/Precipitation
`as Affected by Functional Additives. J. Agric. Food Chem., 55,
`1814-1822 (2007) (Jaczynski Dep. Ex. 9)
`
`Hand written “hypothetical claim 33” (Jaczynski Dep. Ex. 12)
`
`Transcript of Deposition of Jacek Jaczynski, Ph.D., In the Matter
`of Certain Omega-3 Extracts from Marine or Aquatic Biomass and
`Products Containing the Same, U.S. I.T.C. Investigation No. 337-
`TA-877 (Oct. 15, 2013) (Jaczynski Dep. Ex. 14)
`
`Transcript of Deposition of Jacek Jaczynski, Ph.D., In the Matter
`of Certain Omega-3 Extracts from Marine or Aquatic Biomass and
`Products Containing the Same, U.S. I.T.C. Investigation No. 337-
`TA-877 (Oct. 16, 2013) (Jaczynski Dep. Ex. 15)
`
`U.S. Department of Health and Human Services, Guidance for
`Industry: Q3C - Tables and List, Revision 2 (Feb. 2012)
`(Jaczynski Dep. Ex. 16)
`
`Chen, et al., Chemical changes in omega-3-enhanced farmed
`rainbow trout (Oncorhynchus mykiss) fillets during abusive-
`temperature storage. Food Control. (2007)
`doi:10.1016/j.foodcont.2007.06.11 (Jaczynski Dep. Ex. 17)
`
`
`
`AKBM
`Exhibit No.
`
`1097
`
`1098
`
`1099
`
`1100
`
`1101
`
`1102
`
`1103
`
`Petitioner’s Exhibit List
`Case No: IPR2014-00003
`
`Description
`
`Transcript of Deposition of Jacek Jaczynski, Ph.D., Aker
`Biomarine AS v. Neptune Technologies and Bioresources, Inc.,
`Patent Trial and Appeal Board Case No. IPR2014-00003 (Aug. 27,
`2015)
`
`Final Report - Identification and Quantification of Phospholipids
`in Beaudoin Oil, No. Lab: 09-1651 (Dec. 22, 2009)
`
`Declaration of Earl White, Ph.D. submitted during Inter partes
`Reexamination of the ‘348 patent (“White ‘348 Reexam Decl.”)
`(White Dep. Ex. 5) (May 31, 2011)
`
`June 27, 2011 Notice of Allowability and Examiner’s Amendment,
`’348 Patent
`
`Acasti Pharma Inc. website product listing for CaPre®
`
`Transcript of Deposition of Richard van Breemen, Ph.D., In the
`Matter of Certain Omega-3 Extracts from Marine or Aquatic
`Biomass and Products Containing the Same, U.S. I.T.C.
`Investigation No. 337-TA-877 (Oct. 10, 2013)
`
`Transcript of Deposition of Earl White, Ph.D., In the Matter of
`Certain Omega-3 Extracts from Marine or Aquatic Biomass and
`Products Containing the Same, U.S. I.T.C. Investigation No. 337-
`TA-877 (Aug. 23, 2013)
`
`
`
`Petitioner’s Exhibit List
`Case No: IPR2014-00003
`
`AKBM
`Exhibit No.
`
`Description
`
`1104
`
`1105
`
`1106
`
`1107
`
`1108
`
`1109
`
`1110
`
`1111
`
`1112
`
`1113
`
`1114
`
`St. Jean, “Krill oil production according to the Beaudoin patent,”
`Notebook page, Neptune Technologies & Bioresources (2009)
`
`Iverson, et al., “Comparison of the Bligh and Dyer and Folch
`Methods for Total Lipid Determination in a Broad Range of
`Marine Tissue,” Lipids, Vol. 36, no. 11 (2001)
`
`Image of MegaRed product packaging
`
`FDA submission, 75-Day Premarket Notification of New Dietary
`Ingredietnts re Neptune Krill Oil™ (without translation)
`
`Compilation of deposition testimony cited in Petitioner’s Reply to
`Patent Owner’s Response
`
`Declaration of Richard B. Van Breemen, Ph.D. submitted in
`IPR2014-00003 (September 18, 2014)
`
`Email thread between counsel (ending August 18, 2014)
`
`Email thread between counsel (ending May 22, 2014)
`
`Email thread between counsel (ending May 28, 2014)
`
`Email thread between counsel (ending September 25, 2014)
`
`Petitioners’ Demonstrative Exhibits
`
`
`
`Dated: October 27, 2014
`
`
`
`Petitioner’s Exhibit List
`Case No: IPR2014-00003
`
`Respectfully Submitted,
`
`/Amanda J. Hollis/
`Amanda J. Hollis
`amanda.hollis@kirkland.com
`Reg. No. 55,629
`KIRKLAND & ELLIS LLP
`300 N. LaSalle St.
`Chicago, IL 60654
`Tel: (312) 862-2011
`Fax: (312) 862-2200
`Lead Counsel for Petitioner
`
`J. Mitchell Jones, Ph.D.
`jmjones@casimirjones.com
`Reg. No. 44,174
`CASIMIR JONES SC
`2275 Demin Way, St. 310
`Middleton, WI 53562
`Tel: (608) 662-1277
`Fax: (608) 662-1276
`Back-up Counsel for Petitioner
`
`
`
`Attorney Docket No. AKBM-33544
`
`CERTIFICATE OF SERVICE
`
`
`
`I hereby certify pursuant to 37 C.F.R. §§ 42.6(e) and 42.105(b) that a
`
`complete copy of this Aker Biomarine AS’s Updated Exhibit List, along with
`
`Exhibit 1114 is being served electronically via e-mail (as consented to by the
`
`Patent Owner), on October 27, 2014, the same day as the filing of the above-
`
`identified documents in the United States Patent and Trademark Office (USPTO),
`
`upon:
`
`J. Dean Farmer, Ph.D.
`dfarmer@cooley.com
`zpatdcdocketing@cooley.com
`Cooley LLP
`Attn: Patent Group
`1299 Pennsylvania Ave., NW, Ste. 700
`Washington, D.C.
`Tel: (617) 937-2371
`Fax: (202) 842-7899
`Lead Counsel for Patent Owner
`
`
`Jonathan G. Graves
`jgraves@cooley.com
`zpatdcdocketing@cooley.com
`Cooley LLP
`Attn: Patent Group
`1299 Pennsylvania Ave., NW, Ste. 700
`Washington, D.C.
`Tel: (617) 937-2370
`Fax: (202) 842-7899
`Back-up Counsel for Patent Owner
`
`
`
`
`/Amanda J. Hollis/
`Amanda Hollis
`amanda.hollis@kirkland.com
`Reg. No. 55,629
`KIRKLAND & ELLIS LLP
`300 N. LaSalle St.
`Chicago, IL 60654
`Tel: (312) 862-2011
`Fax: (312) 862-2200
`Lead Counsel for Petitioner