I
`
`x-"
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`IN RE APPLICATION OF:
`
`YOSHIHIRO FUJIKAWA ET AL
`
`FILED:
`
`HEREWITH
`
`FOR: QUINOLINE TYPE MVALONOLACTONES
`
`REQUEST FOR PRIORITY, 35 U.S.C. S120
`
`HONORABLE COMMISSIONER OF PATENTS AND TRADEMARKS
`WASHINGTON, DC
`20231
`
`SIR:
`
`Full benefit of the filing date of U.s. Application Serial No.
`
`07/233,752,
`
`filed AUGUST 19, 1988,
`
`is claimed pursuant
`
`to the
`
`provisions of 35 U.S.C. §120. Applicants further claim any right
`
`to priority from any earlier filed applications to which they may
`
`be entitled pursuant to the provisions of 35 U.S.C. §119.
`
`Respectfully submitted,
`
`OBLON, SPIVAK, MCCLELLAND,
`MAIER & NEUSTADT, P.C.
`/C/I
`I
`,g 7
`_,,
`ax’ ..V____,..
`/
`/.«'1L’V/V .
`/ .~ ~,—-W71’
`N/I an F."Dblon
`Registration No.:
`
`24,618
`
`Steven B. Kelber
`
`Registration No.:
`Attorneys of Record
`
`30,073
`
`Fourth Floor
`
`1755 South Jefferson Davis Highway
`Arlington, Virginia
`22202
`703-521-5940
`
`Docket:
`
`49-146-0 CONT
`
`Sawai Ex 1003
`
`Page 114 of 175
`
`

`
`.,
`1'
`’
`._
`‘/;:
`
` MAHK u. TlDMAN'
`
`NORMAN V. DBLON
`MARVIN 4. SPIVAK
`C. rr:vIN MCCLELLAND
`GPEGOPV J- MAIER
`ARYHUI? I. NEU5?ADV
`ROGER‘! C« MILLEF
`RICHARD D. KELLY
`JAMES 0. HAM-UCN
`ECKHARO
`K, Kugsfgfis
`ROBERT T. POUS
`DAVID .2. KERA
`CHARLES
`"‘°"°"z
`VVNCENV J. SUI'\'DERO|CK'
`WILLIAM E. enuuom
`STEVEN 5. KELBEli'
`STLAR? D. oworm
`noses? r. GNUSE
`JEAN-EAUL .A\/ALLEVE. PH. 0-
`JEFFREY H. KAUFMAN
`Baum D ANDERSON‘
`HOBENTA
`SvE|fi£N‘
`
`rncosmcx D, VASTINE. PH. 0.0
`MUPRAV 1'ILLMAN°
`rmon-v n. scn-cwA=7z, an. o o
`S'E=r~EN G.BAx1:n, rm. 0.0
`DANIEL E. WVMAN :3
`ALV.N :.7AN:NHoL'rz0
`ROBERT w. uA><:.,P>«. 0.0
`raucmmo g.CHiNN. on. 0.0
`CARL E. SCHL\ER°
`SURINDEFD SACHAR 0
`JAMES A. LISEI-109A‘?
`OF COUNSEL
`NHLYON S1'ERMAN'
`SAMUEL H4 BLECH‘
`JOHN G. TiESANS|(V'
`JOHN H WEBER
`ALYON D. ROLLINS
`
`H: “’
`‘or
`i_,
`<2
`-
`.w’§‘/T‘
`’__
`,1
`1" 5-
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`‘
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`"
`
`4,
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`
`/‘
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`‘
`
`/7
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`
`‘
`
`IvAK,MbCLELLAxD,bhuER & NEUSTADT,RC
`ATTORNEYS AT LAW
`FOURTH FLOOR
`I755 JEFFERSON DAVIS HIGHWAY
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`ARLINGTON, V|R(8NlA 22202 U. S. A.
`TELE F=HONE
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`TELEX
`248855 OF'AT on
`
`PATENT, TRADEMARK AND COPYRIGHT LAW
`AND RELATED FEDERAL AND FTC LlT|GAT|ON
`IRVING MARCUS
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`COUNSEL TO YHE FIRM
`‘BAR MEMBERSNIP O'NEfl THAN VIRGINIA
`GREGISTEFUED PATENT AGENT
`
`/Z/
`
`<
`
`~
`‘
`
`‘
`
`'
`
`DOCKET NO.:
`
`49-146-0 CONT
`
`HONORABLE COMMISSIONER OF PATENTS AND TRADEMARKS
`
`WASHINGTON, DC
`
`20231
`
`IN RE APPLICATION 019-:
`YOSHIHIRO FUJIKAWA ET AL
`SERIAL NUMBER:
`07/631,092
`FILED:
`DECEMBER 19, 1990
`FOR: QUINOLINE TYPE MEVALONOLACTONES
`
`SIR:
`
`Attached hereto for filing are the following papers:
`
`PRELIMINARY
`SECOND
`DECLARATION
`
`AHNDMENT
`
`AND
`
`UNEXCUTED
`
`RULE
`
`132
`
`$ -0- is enclosed covering any
`Our check in the amount of
`required fees.
`In the event of any variance between the amount
`enclosed and the Patent Office Charges, please charge or credit the
`difference to our Deposit Account No. 15-0030. A duplicate copy of
`this letter is enclosed.
`
`Respectfully submitted,
`
`OBLON,SPIVAK,MCCLELLAND,
`MAIER & NEUSTADT, P.C.
`
`Norman F. Oblon
`Registration No.:
`
`24,618
`
`Steven B. Kelber
`Registration No.:
`
`30,073
`
`Sawai Ex 1003
`
`Page 115 of 175
`
`

`
`MCCLELLAND, MAIER 8: NEUSTADT, P.C.
`
`PATENT, TRADEMARK AND coPYFI|G*<T MW
`AND RELATED FEDERAL AND [TC LITIGAVION
`Invmo MARCUS
`I9I9-I90!
`s1ANL(v P. Flsuta
`COUN5El. TO THE HEM
`'sAa MEMBERSHIF OYI-(ca THAN VIRGINIA
`°RxoIsn:n:o I-Arcrn Accnr
`
`\ F
`
`
`
`.V%,y
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`Arronnavs AT LAW
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`rounrn FLOOR
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`r-6
`H1‘,
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`:‘TEL HONE
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`(mo n.x'A?'2'.-
`MARI
`I-I.1'IouAx_'
`.,,\:,;.I
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`‘l’lN‘E,PP1._D-"._‘;‘:»'
`rncucaocu or
`(703) 52:-osoo
`MURRAY TILLHAN
`'1,‘ {.4 *
`"I
`Tmomv n. scnwmrz, an. 9.6
`rAcsImI_£
`SYEPHEN c. aAx1:n, Du. °<°
`DANIEL I:. wvuAu°
`(703) 4366-2347
`ALVIN E. YANEN-<oUl°
`TELEX
`Roacm w. NA!-1L.PH. o.o
`nvcvuno L-CHINN. rm. 09
`243355 OPAT U9
`CARL E. SCNLIER °
`SURINDER SACHAR°
`.IAM:s A‘ L|$EHOfiA°
`or couuszc
`--non sn:amm'
`sA~uI:L M. aL:cN'
`JOHN o. mI:sA~snv‘
`JOHN FLWEUER
`Aurora 0. ROLLINS
`
`NOHMAN F. oagou
`MARVIN J. Shh/AK
`C- IRVIN MCCLCUAND
`GREGOSV J- MAIIZR
`ARYHUR I. NEUSTADT
`ROBERT C. MILLER
`RICHAM: o. KELLY
`JAME5 o. NAMILTON
`ECII-«ARC N. KUESIERS
`7. I>ous
`ROBERT
`DAVID J. KERA
`CHARLES L.0><OLZ
`VINCENY J. suNo:noIcI\'
`WILLIAM E. BEAUMONT
`STEVEN B. KELE€R'
`SYUART O» OWORK
`noscnr r. GNUSE
`JEAN-PAUL LAVALLEVE. PH. 0.
`JEFFREY H. KAUVNAN
`Baum D. ANDERSON‘
`noetnn s. ants‘
`
`DOCKET NO.:
`
`49-146-0 CONT
`
`HONORABLE COMMISSIONER OF PATENTS AND TRADEMARKS
`
`WASHINGTON, DC
`
`20231
`
`IN RE APPLICATION or:
`YOSHIHIRO FUJIKAWA 31' AL
`
`07/631,092
`SERIAL NUMBER:
`FILED:
`DECEMBER 19, 1990
`FOR: QUINOLINE TYPE HEVALONOLACTONES
`
`SIR:
`
`Attached hereto for filing are the following papers:
`
`PRELIMINARY
`SECOND
`DECLARATION
`
`AMENDHNT
`
`AND
`
`UNEXCUTED
`
`RULE
`
`132
`
`$ -0- is enclosed covering any
`Our check in the amount of
`required fees.
`In the event of any variance between the amount
`enclosed and the Patent Office Charges, please charge or credit the
`difference to our Deposit Account No. 15-0030. A duplicate copy of
`this letter is enclosed.
`
`Respectfully submitted,
`
`OBLON , SPIVAK , MCCLELLAND ,
`MAIER & NEUSTADT, P.C.
`
`Norman F. Oblon
`24,618
`Registration 0.:
`
`j,"/
`C;_________
`Steven BI Kelber
`Registration No.:
`
`30,073
`
`Sawai Ex 1003
`
`Page 116 of 175
`
`

`
` ‘Q.
`
`IN THE
`
`(5)
`R TATES PATENT AND TRADEMARK OFFICE
`
`IN RE APPLICATION OF:
`YOSHIHIRO EUJIKANA ET AL
`
`SERIAL NUMBER:
`
`07/631,092
`
`FILED:
`
`DECEMBER 19, 1990
`
`:
`:
`
`:
`
`:
`
`FOR:
`
`QUINOLINE TYPE MVALONOLACTONES
`
`/J
`GROUP ART UNIT: »12T
`
`EXAMINER: Pi»
`
`~
`
`§ECQND PRELIMINARY AMENDMENT
`
`HONORABLE conMIssIoNER or PATENTS AND TRADEMARKS
`WASHINGTON, DC
`20231
`
`SIR:
`
`Prior to prosecution on the merits, entry of the following
`
`amendments is respectfully requested.
`
`IN THE CLAIMS:
`
`\
`3%
`Claim A&;
`
`line 6, please delete "-COOH, CO0Na, COOR" and
`
`-CH ( OH)——CH2-
`-CH ( OH) -CI-I2—CH ( OH) —CH2-C0O_H,
`
`
`CH OH -CH -COONa
`
`-CH OH -CH -CH OH -CH -COOR
`
`--.
`
`/31
`L,
`
`rs
`
`REMARKS:
`
`Applicants have amended independent Claim 41,
`
`to correct
`
`Sawai Ex 1003
`
`Page 117 of 175
`
`

`
`2
`
`inadvertent
`
`typographical errors
`
`in the original Preliminary
`
`Amendment.
`
`No new matter
`
`is introduced thereby,
`
`the original
`
`disclosure appearing, e.g., in Claim 2 of the application as filed.
`
`Upon entry,
`
`the claims are believed in conformance with the
`
`requirements of Title 35, and in condition for examination on the
`
`merits.
`
`The
`
`same
`
`is respectfully’
`
`requested,
`
`in light of
`
`the
`
`Declaration submitted herewith. Applicants are submitting at this
`
`time, an unexecuted Declaration, an executed Declaration will be
`
`submitted when available.
`
`Respectfully submitted,
`
`OBLON, SPIVAK, MCCLELLAND,
`MAIER & NEUSTADT, P.C.
`
`
`
`Ci
`
`(:5..-
`
`Norman F. Oblon
`
`Registration No.:
`
`24,618
`
`Steven B. Kelber
`
`Registration No.:
`Attorneys of Record
`
`30,073
`
`Fourth Floor
`
`1755 South Jefferson Davis Highway
`Arlington, Virginia
`22202
`703-521-5940
`
`Sawai Ex 1003
`
`Page 118 of 175
`
`

`
`
`
`IN RE APPLICATION OF:
`
`YOSHIHIRO FUJIKAWA ET AL
`
`GROUP ART UNIT: 129
`
`SERIAL NUMBER:
`
`07/631,092
`
`FILED:
`
`DECEMBER 19, 1990
`
`:
`
`:
`
`EXAMINER:
`
`to
`
`FOR: QUINOLINE TYPE MEVALONOLACTONES
`
`DECLARATION UNDER 37 CFR 51.132
`
`HONORABLE COHISSIONER OF PATENTS AND TRADEMARKS
`WASHINGTON, DC
`20231
`
`SIR:
`
`I, YOSHIHIRO FUJIKAWA, do hereby declare and state that:
`
`1.
`
`I
`
`am a named co—inventor in the above-captioned patent
`
`application, an employee of Nissan Chemical Industries, Limited,
`
`and a citizen and resident of Japan.
`
`2.
`
`I am familiar with the above-captioned patent application,
`
`and Claims 41 - 45 presented by Amendment therein.
`
`3.
`
`To demonstrate the unobvious superiority of the subject
`
`matter
`
`claimed in Claims
`
`41
`
`-
`
`45,
`
`comparatives
`
`tests were
`
`Sawai Ex 1003
`
`Page 119 of 175
`
`

`
`2
`
`conducted, demonstrating the importance and unobvious superiority
`
`conferred on these compounds by the selection of the cyclopropyl
`
`substituent. These are described as follows:
`
`Data was obtained with regard to the following compound having
`OH
`
`the formula:
`
` Na
`
`g OH
`
`2
`
`5
`
`Tasrumnmm
`
`gggggggg
`
`33
`
`gggpgund No.
`
`Test c
`Test 3
`Test A
`Evaluation Evaluation Evaluation
`
`Compound *
`of this
`
`Invention
`
`c-Pr
`
`I-520
`
`4.2 x 10-9
`
`17.5 x 10-9 55%
`(0.05 mg/kg)
`
`Reference**
`
`Compound
`
`i-Pr
`
`I-51
`
`10 x 10-9
`
`100 x 1o*9
`
`Reference***
`
`Compound
`
`cs-514
`
`cs—514
`
`9.0 x 10-9
`
`350 x 10-9
`
`65%
`(0.2 mg/kg)
`
`55%
`10.0 mg/km
`
`*
`**
`***
`
`Given at page 71 of the specification
`Given at page 41 of the specification
`Given at page 33 of the specification
`
`Temza:
`
`cholesterol
`of
`Inhibition
`biosynthesis from acetate in vitro
`
`This test was carried out as described on pages 28 - 29 of the
`
`specification.
`
`The above numerical values indicate ICN (molar
`
`Sawai Ex 1003
`
`Page 120 of 175
`
`

`
`concentration).
`
`Tem:B:
`
`Inhibition
`
`of
`
`cholesterol
`
`biosygthesis in culture cells
`
`This test was carried out as described on pages 29 to 30 of
`
`the specification. The above numerical values indicate ICW (molar
`
`concentration).
`
`Testcz
`
`Inhibition
`
`of
`
`cholesterol
`
`biosynthesis in vivo
`
`This test was carried out as described on pages 30 to 31 of
`
`the specification. The above numerical values indicate inhibition
`
`percent
`
`and
`
`the
`
`numerical
`
`values
`
`in parenthesis
`
`indicate
`
`"administration amounts" (mg/kg).
`
`In tests A and B, CS—514
`
`is an optical
`
`isomer,
`
`and was
`
`administered in an amount of 1.25 mg. However, the other compounds
`
`are racemic compounds, and were administered in double amounts,
`
`i.e., 2.50 mg.
`
`4.
`
`Based on the data reported above, it can be determined
`
`that the compounds of this invention exhibit unobvious superiority,
`
`and in particular,
`
`sharply enhanced inhibition of cholesterol
`
`Sawai Ex 1003
`
`Page 121 of 175
`
`

`
`4
`
`biosynthesis,
`
`in in vitro, culture cell, and in vivo testing, when
`
`compared with referenced compounds of the prior art, and compounds
`
`having
`
`an
`
`identical
`
`structure
`
`save
`
`for
`
`the
`
`selection of
`
`cyclopropyl, as opposed to isopropyl substituent,
`
`for R5.
`
`This
`
`enhanced activity could not be predicted on the basis of structure,
`
`or information available to those of ordinary skill in the art as
`
`of the effective filing date of this application.
`
`All statements made herein of my own knowledge are true, and
`
`all statements made on information and belief are believed true.
`
`I
`
`am aware
`
`that willful
`
`false statements
`
`and
`
`the like are
`
`punishable by fine,
`
`imprisonment or both, 18 U.S.C. §l001, and that
`
`such willful false statements may jeopardize the validity of the
`
`above-captioned patent application and any patent issuing thereon.
`
`FURTHER,
`
`I SAYETH NOT.
`
`DATE:
`
`YOSHIHIRO FUJIKAWA
`
`Sawai Ex 1003
`
`Page 122 of 175
`
`

`
` MARVIN .1. sI=IvA
`
`C. mvm MCCLELLAND
`culccomt J. MAIEI
`Am-nun: ~|'.u51'Aor
`aoatnr C. MILLER
`RICHAIID D. x:I.Lv
`.1AM:s D. HAMILTON
`KCKHAID >«. xuzsrms
`Rout»? Y. vous
`DAVID .1. um:
`CHARLES L, GI-IOL2
`VINCENT J. sunntnoncuv
`WILLIAM :. annuuorrr
`svcvna a. xenon!‘
`SYUART D. DWORK
`ROBUI1 r. (mus:
`JEAN-PAUL uvALL:v:, me. D.
`.1[F'l‘flEY H. KAUFMAN
`QIIAN D. ANDERSON‘
`ROIIRYA 5. am:N'
`wILuA-I a II/AI.-<I:n‘
`
`’
`LINDA H. ow/vest‘
`. "*’g:"'°‘ "°""‘
`Ema: R. run
`MAIIK I-I. ‘|’|DHAN'
`‘Um HOLLER
`LAURA Tim-nu‘
`rasouuc-I D. vasvmnz, Im.o.°
`Mumuv TILLMAN"
`rmornv n. scn-cwurrz. m«.o.°
`svtonnu a. BAXTER, 9-1.0.”
`nA~I|:I. I:. WYMAN‘
`noaurr w. HAHL, FH. D.°
`mc-«Ann L. cu-4-nu, an-4.0.‘
`CARL E. sc><LI[R°
`SURINDEH sAcnAn°
`JAMES A. ulstuolu“
`ANDREW D. ronvntv, PD-1, D,‘
`MAIC n ulaoua, No.0."
`OF COUN$CL
`HILTON sV[IIn1AM'
`SAMUEL u. suzcr-'
`JOHN O. TIIESANSKY‘
`JOHN H. WEBER
`ALTON o. ROLUNS
`
`/1‘ ‘
`
`;¢(9 /
`
`.v
`
`‘-._ "mi!
`
`7
`
`1I
`
`/Q? /
`
`FATKNT, TRADEMARK AND COPVRIGHY LAW
`AND RKLATKD FEDERAL AND IYC LITIOAYION
`Ilvl NO MARCUS
`
`SYANLKV F, FISHER
`COUNSEL TO TN! FIRM
`wtsv coAs'r orrlct
`202: ‘no: ALAMIDA. SUIT: no
`SAN JOSE. CALIFOFNIA 95120
`TELEFHONI
`(403, 345-3590
`FACSIMILE
`(40!) 345-3590
`
`‘BAR Mzuatfisma onus: THAN VIRGINIA
`°IKG'SYI.'fi|2D PATENT AOENY
`
`LON, SPIVAK, MCCLELLAND, MAIER & NEUSTADT, 13.0.
`ATTORNEYS AT LAW
`FOURTHFLOOR
`l755JEFFERSON nAwsInGHwAv
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`248855 OPAT UR
`
`DOCKET NO.:
`
`49-146-0 CONT
`
`J'}i; HONORABLE COMMISSIONER OF PATENTS AND TRADEMARKS
`WASHINGTON, DC
`20231
`
`IN RE APPLICATION OF:
`“5 YOSHIHIRO FUJIKAWA ET AL
`SERIAL NUMBER:
`07/631,092
`FILED: DECEMER 19, 1990
`FOR: QUINOLINE TYPE MVALONOLACTONES
`
`ySIR:
`
`Attached hereto for filing are the following papers:
`
`EXCUTED RULE 132 DECLARATION
`
`is enclosed covering any
`S -0-
`our check in the amount of
`In the event of any variance between the amount
`required fees.
`enclosed and the Patent Office Charges, please charge or credit the
`A duplicate copy of
`difference to our Deposit Account No. 15-0030.
`this letter is enclosed.
`
`Respectfully submitted,
`
`SPIVAK,MCCLELLAND,
`OBLON,
`P.C.
`MAIER & NEUSTADT,
`
`Norman F. Oblon
`Registration Nag:
`~(
`\\
`/é; ".,_\r,
`I
`/ QE'»,f
`1/“
`lksteven B. Kelber
`Registration No.:
`
`24,618
`
`30,073
`
`SawmiExl003
`
`Page123of175
`
`

`
`OBLON, SPIVAK, MCCLELLAND, MAIER & NEUSTADT, ac.
`ATTORNEYS AT LAW
`FOURTHFLOOR
`I755 JEFFERSON DAVIS HIGHWAY
`ARLINGTON. VIRGINIA 22202 U.S.A.
`
`
`
`LE COMMISSIONER or PATENTS AND TRADEMARKS
`
`INGTON, DC
`
`20231
`
`IN RE APPLICATION OF:
`YOSHIHIRO FUJIKAWA ET AL
`
`07/631,092
`SERIAL NUMBER:
`FILED:
`DECEMBER 19, 1990
`FOR: QUINOLINE TYPE MVALONOLACTONES
`
`SIR:
`
`Attached hereto for filing are the following papers:
`
`EXCUTED RULE 132 DECLARATION
`
`$ -0- is enclosed covering any
`Our check in the amount of
`required fees.
`In the event of any variance between the amount
`enclosed and the Patent Office Charges, please charge or credit the
`A duplicate copy of
`difference to our Deposit Account No. 15-0030.
`this letter is enclosed.
`
`Respectfully submitted,
`
`OBLON,SPIVAK,MCCLELLAND,
`MAIER & NEUSTADT, P.C.
`
`Norman P. Oblon
`Registration No5:_ 24,618
`./ 5/‘cg p
`steven B. Kélber
`Registration No.:
`
`30,073
`
`
`
`,0
`
`SawmiEx1003
`
`Page 124 of 175
`
`DAVID A, NOVAII
`uomuu 7. OILON
`uuwm 4‘ IDIVAK
`KINOA M. OWVCR'
`c. Iwvm IIccI.(LI.A~o
`(RIC I3. KAT!
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`IICDIIICK D4 VAST"-It. 951.0.’
`Janna o‘ HAMILTON
`uumuv YILLIIAN'
`ICKHAID n. Kuintns
`vmoh-av R. scnwulfz. an. O.‘
`noatur T. nous
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`wILI.IAu I. Iuuuonv
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`noe_:n1-o~..¢m_Js(
`.ap(~-uuI. I.Ay‘Ieu,:vI:. s-mo. mulc n. LAGOOLD, mac.‘
`OF COUNSEL
`‘.O:rrn:v~-N. Iuwfu
`IIILYON |I'I:nMA~'
`.' Iamu o. Auutaso
`SANUIL n. aLI:c~'
`JOHN O. TRESAN3KY'
`JOHN nu. Wllll
`ALTON 0. IOLLINS
`
`TELEFI-CONE
`(703) 52 I-osoo
`FACSIMILE
`_
`(703) 486 2347
`1-ELEX
`243555 OFAT UR
`
`DOCKET NO.:
`
`49-146-0 CONT
`
`DAYINY, YRADEIIAIK AND convmom LAW
`AND nxuuo rtI:¢IAL Auo Ivc urIoATIo~
`mvma mucus
`IOID-IDOI
`IITANLIV I. H3041!
`counsh. To tut rum
`v-tar COASY ovncx
`Ion YNI’. ALAMCDA. IUITI -00
`SAN Jolt. CALIFORNIA DIIIO
`YELKPNONI
`140!) JAB-JIBO
`PACBIMILI
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`‘IAN Mtunxnsmp ornln THAN VIl0lN|A
`°Ill:oIsVI;RI:o DATINT AGENT
`
`

`
`#4»
`
` »~
`
`:-.2 '..‘
`
`APPLICATION OF:
`
`In
`5.. 2.1:-':»
`YOSHII-IIRO FUJIKAWA ET AL
`
`SERIAL NUMBER:
`
`07/631,092
`
`FILED:
`
`DECEMBER 19, 1990
`
`:
`
`:
`
`:
`
`:
`
`FOR: QUINOLINE TYPE HEVALONOLACTONES
`
`GROUP ART UNIT: 129
`
`EXAMINER:
`
`SUBMISSION OF EXECUTED DECLARATION
`
`HONORABLE COMMISSIONER OF PATENTS AND TRADEMARKS
`WASHINGTON, DC
`20231
`
`SIR:
`
`Applicants
`
`submit herewith the
`
`executed Declaration of
`
`Kitahara
`
`in
`
`the
`
`above-captioned patent
`
`application.
`
`The
`
`Declaration is identical
`
`to that submitted with the Preliminary
`
`Amendment of February 20, 1991, save for the fact that the name of
`
`the Declarant has been changed from Fujikawa to Kitahara.
`
`The
`
`content of. the Declaration, particularly the demonstration of
`
`unobvious impact of the substuent of R? as cyclopropyl,
`
`to which
`
`Sawai Ex 1003
`
`Page 125 of 175
`
`

`
`all pending claims are limited,
`
`is clearly made out by the
`
`Declaration. Entry and consideration is respectfully requested.
`
`Respectfully submitted,
`
`OBLON, SPIVAK, MCCLELLAND,
`MAIER & NEUSTADT, p.c.
`
`y
`
`/ / .
`..l/C:
`
`./'///',_..«‘‘
`_
`,</xii’
`L,E}_-~
`'&Norman P. Oblon
`Registration No.:
`
`Steven B. Kelber
`Registration No.:
`Attorneys of Record
`
`,
`Fourth Floor
`1755 South Jefferson Davis Highway
`Arlington, Virginia
`22202
`703-521-5940
`
`24,618
`
`30,073
`
`Sawai Ex 1003
`
`Page1260f175
`
`

`
`#4
`
`9995/71
`
`'3
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE'
`
`?
`
`
`APPLICATION OF:
`
`I,‘
`
`*fih0‘
`YOSHIHIRO FUJIKAWA ET AL
`SERIAL NUMBER:
`07/631 [092 /
`FILED:
`DECEMBER 19,
`l990l///
`
`:
`
`:
`:
`:
`
`FOR:
`
`QUINOLINE TYPE MVALONOLACTONES
`
`GROUP ART UNIT: 129
`EXAMINER:
`
`DECLARATION UNDER 37 CFR §l.132
`
`HONORABLE COMMISSIONER OF PATENTS AND TRADEMARKS
`WASHINGTON, DC
`20231
`
`SIR:
`
`I, Masmd Kflahara
`
`, do hereby declare and state that:
`
`1.
`
`I
`
`am a named co-inventor in the above-captioned patent
`
`application, an employee of Nissan Chemical Industries, Limited,
`
`*“«
`
`and a citizen and resident of Japan.
`
`2.
`
`I am familiar with the above—captioned patent application,
`
`and Claims 41 — 45 presented by Amendment therein.
`
`3.
`
`To demonstrate the unobvious superiority of the subject
`
`matter
`
`claimed in Claims
`
`41
`
`~
`
`45,
`
`comparatives
`
`tests were
`
`Sawai Ex 1003
`
`Page 127 of 175
`
`

`
`2
`
`conducted, demonstrating the importance and unobvious superiority
`
`conferred on these compounds by the selection of the cyclopropyl
`
`substituent. These are described as follows:
`
`Data was obtained with regard to the following compound having
`I
`OH
`
`the formula:
`
`9 . OH
`as R5
`
`TEST METHOD
`
`Compgund
`
`5
`3;
`
`Compound No.
`
`Test C
`Test 8
`Test A
`Evaluation Evaluation Evaluation
`
`Compound *
`of this
`Invention
`
`c—Pr
`
`I-520
`
`4.2 x 10-’
`
`17.5 x 10" 55%
`(0.05 mg/kg)
`
`Reference**
`Compound
`
`1-9:
`
`Reference***
`Compound
`
`I-51
`
`10 x 10"
`
`100 x 10-9
`
`cs—514
`
`9.0 x 10-’
`
`350 x 10"
`
`55%
`(0-2 ms/kg)
`
`55%
`10.0 mg/km
`
`5....‘
`
`*
`**
`***
`
`Given at page 71 of the specification
`Given at page 41 of the specification
`Given at page 33 of the specification
`
`Tem:A:
`
`cholesterol
`of
`Inhibition
`biosynthesis from acetate in vitro
`
`This test was carried out as described on pages 28 — 29 of the
`
`specification.
`
`The above numerical values indicate ICw (molar
`
`SawmiExl003
`
`Page128of175
`
`

`
`concentration).
`
`flbst B:
`
`cholesterol
`of
`Inhibition
`biosynthesis in culture cells
`
`This test was carried out as described on pages 29 to 30 of
`
`the specification. The above numerical values indicate 1C“ (molar
`
`concentration).
`
`Testch
`
`of
`Inhibition
`biosynthesis in vivo
`
`cholesterol
`
`This test was carried out as described on pages 30 to 31 of
`
`the specification. The above numerical values indicate inhibition
`
`percent
`
`and
`
`the
`
`numerical
`
`values
`
`in parenthesis
`
`indicate
`
`"administration amounts" (mg/kg).
`
`gm...‘
`
`In tests A and B, CS—514
`
`is an optical
`
`isomer,
`
`and was
`
`administered in an amount of 1.25 mg. However,
`
`the other compounds
`
`are racemic compounds, and were administered in double amounts,
`
`i.e., 2.50 mg.
`
`4.
`
`Based on the data reported above, it can be determined
`
`that the compounds of this invention exhibit unobvious superiority,
`
`and in particular,
`
`sharply enhanced inhibition of cholesterol
`
`Sawai Ex 1003
`
`Page 129 of 175
`
`

`
`4
`
`biosynthesis,
`
`in in vitro, culture cell, and in vivo testing, when
`
`compared with referenced compounds of the prior art, and compounds
`
`having
`
`an
`
`identical
`
`structure
`
`save
`
`for
`
`the
`
`selection of
`
`cyclopropyl, as opposed to isopropyl substituent,
`
`for R5.
`
`This
`
`enhanced activity could not be predicted on the basis of structure,
`
`or information available to those of ordinary skill in the art as
`
`of the effective filing date of this application.
`
`All statements made herein of my own knowledge are true, and
`
`all statements made on information and belief are believed true.
`
`I
`
`am aware
`
`that willful
`
`false statements
`
`and
`
`the
`
`like are
`
`punishable by fine,
`
`imprisonment or both, 18 U.S.C. §1001, and that
`
`such willful false statements may jeopardize the validity of the
`
`above-captioned patent application and any patent issuing thereon.
`
`6*-Au
`
`FURTHER,
`
`I SAYETH NOT.
`
`DATE:
`
`April 9, 1991
`
`ggmgr, Zégkégtgz 1/
`
`Masaki Kitahara
`
`Sawai Ex 1003
`
`Page 130 of 175
`
`

`
`
`
`UNITED STA'l:5 DEPARTMENT OF COMMERCE
`Patent: and Trademark Office
`
`Address
`
`COMMISSIONER OF PATENTS AND TRADEMARKS
`Washington, D.C. 20231
`
`mis application has been examined D Responsive to communication filed on________
`n
`
`__
`
`D This action is made final.
`
`days from the date of this letter.
`‘
`month(s).
`A shonened statutory period for response to this action is set to expire
`Failure to respond within the period lor response will cause the application to become abandoned. 35 U.S.C. 133
`
`Part I
`
`THE FOLLOWING ATTACHMENT(S) ARE PART OF THIS ACTION:
`
`1. [:1 Notice of Relerenws Cited by Examiner. PTO£92.
`3. D Notice olAr1 Cited by Applicant. PT01449.
`5. D information on How to Effect Drawing Changes. PTO-1474.
`
`2. [3 Notice re Patent Drawing, PTO—948.
`4. [:1 Notice of lnlormal Patent Application, Form PTO-152
`6. D __
`
`Part II
`
`SUMMARY OF ACTION
`
`1.
`
`Claims
`
`3) 6‘: I
`
`A
`
`01 the above, claims
`
`______
`
`_ are pending in the application.
`
`are withdrawn from consideration.
`
`2. D Claims__________________,_______j________________
`
`have been cancelled.
`
`3. D Claims
`4.
`Claims
`
`5. D Claims
`
`6. [3 Claims
`
`A
`
`____
`
`__h_
`
`__
`
`are allowed.
`
`are rejected.
`
`are objected to.
`
`are subject to restriction or election requirement.
`
`7. D This application has been filed with informal drawings under 37 C.F.R. 1.85 which are acceptable for examination purposes.
`
`8. E] Formal drawings are required in response to this Office action.
`
`9. D The corrected or substitute drawings have been received on
`are E] acceptable; D not acceptable (see explanation or Notice re Patent Drawing, PTO-948).
`
`. Under 37 C.F.R. 1.84 these drawings
`
`10. D The proposed additional or substitute sheet(s) of drawings. filed on
`examiner; D disapproved by the examiner (see explanation).
`
`. has (have) been CI approved by the
`
`11. eproposeddrawing correction, filed
`
`12.
`
`Acknowledgement is made oi the claim for priority under U.S.C. 119. The certified copy has [3 been received
`Cl been filed in parent application, serial no.
`; filed on
`
`, has been [:1 approved; El disapproved (seeexplanation).
`
`not been received
`
`13. D Since this application apppears to be in condition for allowance except for formal matters. prosecution as to the merits is closed in
`accordance with the practice under Ex parte Quayle, 1935 CD. 11; 453 O.G. 213.
`
`14. D Other
`
`EXAM[.\'ER'S ACTION
`
`Sawai Ex 1003
`
`Page 131 of 175
`
`

`
`Serial No. 67/631692
`
`-2-
`
`Art Unit
`
`1201
`
`§ 103 which forms
`The following is a quotation of 35 U.S.C.
`the basis for all obviousness rejections set forth in this Office
`action:
`
`A patent may not be obtained though the invention is not
`identically disclosed or described as set forth in section
`102 of this title, if the differences between the subject
`matter sought to be patented and the prior art are such that
`the subject matter as a whole would have been obvious at the
`time the invention was made to a person having ordinary
`skill in the art to which said subject matter pertains.
`Patentability shall not be negatived by the manner in which
`the invention was made.
`
`Subject matter developed by another person, which qualifies
`as prior art only under subsection (f) or (g) of section 102
`of this title, shall not preclude patentability under this
`section where the subject matter and the claimed invention
`were, at the time the invention was made, owned by the same
`person or subject to an obligation of assignment to the same
`person.
`
`Claims 36-40 are rejected under 35 U.S.C.
`
`§ 103 as being
`
`unpatentable over applicants admission.
`
`Applicants admit that optical isomers as well as compounds
`
`differing only in the selection of cyclopropyl are already known
`
`in the art.
`
`A declaration has been submitted in support of
`
`unobviousness.
`
`The claimed compounds would have been obvious to
`
`one of ordinary skill because isomers are prima facie obvious.
`
`The declaration will overcome the rejection when signed.
`
`Any inquiry concerning this communication or earlier
`communications from the examiner should be directed to Johann
`Richter whose telephone number is (703) 308-4532.
`
`Any inquiry of a general nature or relating to the status of
`this application should be directed to the Group receptionist
`whose telephone number is (703) 308-1235.
`
`RICHTER:mp
`December 17, 1991
`
`J0flANNF“CHTE3
`EXN%WER
`
`g»K"3‘cT:fl.E3w
`
`Sawai Ex 1003
`
`Page1320f175
`
`

`
`V.‘
`
`,
`
`\\
`
`‘
`
`¢,_
`
`"
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`.aAM(S o. HAMILTON
`ECKHARB >4. nucsw-tn:
`HOIEIY 1. POUS
`DAVID .1. KIIA
`CNAILIS L. OHOLZ
`vmc:NY .1. suma:nuIc><'
`wm.IAn |:. BEAU!-IONT
`STEVEN 3. KELIII‘
`Muuu D. orwonx
`nonrn-r r. anus:
`JEAN-PAUL LAvAu.cv:. Pa. 0.
`.u:rrnn -4. -uurmw
`IFIIAN o. ANoI:asoN'
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`mcruno >1. Minn‘
`ucrm H. WEI!!!
`DAVID A. NOVAIS
`LINDA M. Dwv|'.II'
`
`H OBLON, SPIVAK, MCCLELLAND, MAIER 8: NEUSTADT, P.C.
`ATTORNEYS AT LAW
`‘
`__ V.’
`PAYKNT, YRAOENAIK AND COPVIIONT LAW
`FOURTH FLOOR
`AND IILATED EEDIHAL AND ITC LITIOAYION
`{gym mourn
`arm n. zouucx
`I755 JEFFERSON DAViS HIGHWAY
`WES!’ COAS? OFFICE
`oturus II. DALIY
`IL I. scnuca
`202! THE ALAIACOA. SUITE I10
`ARLINGTON, V|RGlN|A 22202 U.S.A.
`never: 9. wcmnoucn
`SAN JOSE. CALIVOINIA ISIZB
`au.Ln¢ nuns?‘
`YIZLIBHONK
`F, JAV NINCS
`I40.) 34!-JBBD
`rncouucx o. VASTINI, me. D.‘
`MURRAY WLLMAN‘
`E
`FACBIHILE
`SYEPNIN G. IAXTEI, PH.D.
`nectar w. »AnL. FNADIQ
`Ilncnuln L. CHINN, PM. D.“
`(4081 J4l‘JB9I
`-__._.
`SURINDER 5ACNAH'
`JAMES A. ustnolufl’
`‘IAN Mtultlsnw OYNIII YHAN VIRGINIA
`ANDREW D. Ponvntv, FN.D.'
`°IEOI5?lHlD FAYKNT AGENT
`MARC I. LAIOOLD, nH.o.'
`RICNAID A. NCIPILD, wan.‘
`tucounn ‘r. Pnensou. Man.‘
`J. DKREK NASON, PH. :3.‘
`NLNNCTH a. w:u.s°
`KAREN I. KIUPIN. Pr-<.D.°
`OF COUNSEL
`HILTON 5TEIMAN'
`gamers. H. ILECH‘
`JONN O. TIIIISANSKV’
`AUION D. ROLL-N:
`aonm u.o. cum!‘
`
`TELEPHONE
`(703) 52 ‘.4500
`rA(;5|M|LE
`(703) 486-2 347
`
`248855 OPAT UR
`TEL’-‘Ix
`
`DOCKET NO.:
`
`49-146-0 CONT
`
`HONORABLE COMISSIONER OF PATENTS AND TRADEMARKS
`WASHINGTON, DC
`20231
`
`IN RE APPLICATION or:
`YOSHIHIRO FUJIKAWA ET AL
`SERIAL NUMBER:
`07/631,092
`FILED:
`DECEMBER 19, 1990
`FOR: QUINOLINE TYPE HBVALONOLACTONES
`
`SIR:
`
`Attached hereto for filing are the following papers:
`
`RESPONSE; COPY OF EXECUTED RULE 132 DECLARATION
`COPY OF DATE-STAMPED FILING RECEIPT (4/22/91)
`PETITION FOR EXTENSION OF TIME WITH FEE
`
`is attached covering
`810.00
`Our check in the amount of $
`variance exists between the
`In the event any
`any required fees.
`the above-
`the Patent Office charges for filing
`amount enclosed and
`fees required under 37 CFR 1.136 for
`noted documents, including any
`ke the filing of the attached
`any necessary Extension of Time to ma
`redit the difference to our
`documents timely, please charge or c
`if these papers are not
`Further,
`Deposit Account No. 15-0030.
`hereby made under 37
`then a petition is
`considered timely filed,
`A duplicate copy
`C.F.R. 1.136 for the necessary extension of time.
`of this sheet is enclosed.
`
`Respectfully submitted,
`
`OBLON, SPIVAK, MCCLELLAND,
`T, P.C.
`
`
`
`Registration No.:
`
`24,618
`
`Steven B. Kelber
`Registration No.:
`Attorneys of Record
`
`30,073
`
`SawmiExl003
`
`Page133of175
`
`

`
` ALAN NOLLKR
`
`AIYIIUI I. NIUSTADY
`IOIIRY C. UILLIH
`RICHARD D. -«Lu
`JAOGIS u. uAmL'rou
`ICKNAID M. Nuts?!”
`none? 7. aoul
`cuvno 4. NINA
`CHARLES L. ONOLX
`VINCENT .1. suuotnolcfl
`WILLIAN L IEAUMONY
`uvrvtu n. l(ILIEI'
`svuAnr 0. Dwoll
`IDIIIY I, onus:
`JEAN-HAUL LAvAu.¢v¢. "‘- 0.
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`Damn 0. ANDIlION'
`ROIIITA 3. lane‘
`IVILLIAH I. WALKER‘
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`norm H. wtlll
`DAVID A, NOVAIS
`LINDA 74. Dw'r(n'
`
`MARTIN N. ZOLTICK
`am. 5:. scomn
`Mums I. DALEV
`uxvcn 9. w|:n_unouc-c
`IILLII MUNR?
`F. JAY MINI.
`rnxouucu D. VAIYINE, no.0.‘
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`ITIPHIN o. |Ax1'[u, s~.o.'
`RICHARD L. cums, II-1,0.‘
`Itonxnv w. HANL. Im. a.‘
`(unmet: Lacuna-
`JAMES A. unwoun-
`Auoncw D. ronrnuv, “A a.‘
`nun: Ia. uoaow. ma. 0.‘
`menu-o A. nnrun. DH. 0.‘
`Inc:-«Ann r. Dntlluon. In. 0.‘
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`or COUNSIL
`muon SYIIMAN'
`QAMUIL re. lL:c~'
`JOMN o. 7nI'.sANsKV'
`ALTON D. noums
`JOHN 01.0. CLAIKC‘
`
`OBLON. SPIVAK, MCCLELLAND. MAIER
`ATTORNEYS AT LAW
`FOURTH FLOOR
`I755 JEFFERSON DAVIS HIGHWAY
`ARLINGTON. VIRGINIA 22202 U.S.A.
`
`ac NEUSTADT, P.C.
`
`PATENT. YIADIMARK AND COIVHIOHT LAW
`AND IKLAVIO EIUINAL AND ITC LIYIOAVION
`:._._
`wzst COASY Offlcl
`IOII TNI AIAMIDA. ‘U17! HO
`IAN JOSE. CALIVOINIL OII IO
`
`T‘L‘”"°'“
`VACIHCILI
`moo: 145-SO00
`I40.) I4I~JIII
`.?__
`
`'n:uIsTr.II:o PATINY AGINY
`‘IA! Mlullkaml OTHII THAN VIRGINIA
`
`TELEPHONE
`(703) 521-4500
`(703) 4B5‘Z347
`FACSI M I LE
`TELEX
`243855 OPAT UR
`
`DOCKET NO.:
`
`49-146-0 CONT
`
`HONORABLE COMMISSIONER OF PATENTS AND TRADEMARKS
`WASHINGTON, DC
`20231
`
`IN RE APPLICATION OF:
`YOSHIHIRO FUJIKAWA ET AL
`SERIAL NUMBER:
`07/631,092
`FILED:
`DECEMBER 19, 1990
`FOR: QUINOLINE TYPE HEVALONOLACTONES
`
`SIR:
`
`1
`
`1
`
`Attached hereto for filing are the following papers:
`
`RESPONSE; COPY OF EXECUTED RULE 132 DECLARATION
`COPY OF DATE-STAMED FILING RECEIPT (4/22/91)
`PETITION FOR EXTENSION OF TIME WITH FEE
`
`is attached covering
`810.00
`our check in the amount of $
`In the event any variance exists between the
`any required fees.
`for filing the above-
`amount enclosed and the Patent
`ired under 37 CFR 1.136 for
`noted documents, including any fees requ
`any necessary Extension of Time to make the filing of the attached
`please charge or credit the difference to our
`documents timely,
`if these papers are not
`Further,
`15-0030.
`Deposit Account No.
`hereby made under 37
`then a petition is
`considered timely filed,
`A duplicate copy
`tension of time.
`C.F.R. 1.136 for the necessary ex
`of this sheet is enclosed.
`
`Respectfully submitted,
`
`OBLON,
`MAIE
`
`SPIVAK,
`
`MCCLELLAND,
`PCCI
`
`
`
`Registration No.:
`
`
`24,618
`
`Steven B. Kelber
`Registration No.:
`Attorneys of Record
`
`30,073
`
`Sawai Ex 1003
`
`Page 134 of 175
`
`

`
`
`
`
`
`YOSHIHIRO FUJIKAWA ET AL
`
`SERIAL NUMBER:
`
`07/631,092
`
`FILED:
`
`DECEMBER 19, 1990
`
`=
`
`:
`
`:
`
`FOR: QUINOLINE TYPE NEVALONOLACTONES
`
`GROUP ART UNIT: 129
`
`EXAMINER: RICHTER
`
`PETITION FOR EXTENSION
`OF TIN UNDER 37 CFR 51.136
`
`HONORABLE COMMISSIONER OF PATENTS AND TRADEMARKS
`WASHINGTON, DC
`20231
`
`SIR:
`
`It is hereby requested that a THREE—MONTH extension of time
`
`for
`
`responding to the Office Action of DECEMBER 18, 1991, be
`
`granted until JUNE 18, 1992.
`
`The required fee of $810.00 is enclosed herewith by check and
`
`further charges may be made against
`
`the Attorney of Record's
`
`Deposit Account No. 15-0030.
`
`A duplicate copy of this Petition is
`
`enclosed.
`
`.1
`
`Respectfully submitted,
`
`OBLON, SPIVAK, MCCLELLAND,
`MAIER & NEUST T, P.C.
`
`
`
`egistration No.:
`
`24,618
`
`Steven B. Kelber
`Registration No.:
`Attorneys of Record
`
`30,073
`
`Fourth Floor
`
`1755 South Jefferson Davis Highway
`Arlington, Virginia
`22202
`703-521-5940
`
`1&0 TN Db/22/92 0?b3i0?2
`
`1 ii?
`
`8i0.00 Ci
`
`Sawai Ex 1003
`
`Page 135 of 175
`
`

`
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`"7/-/"1'-;"‘» 5 ».“‘>.\
`/:~
`
`.«
`- 49%;1r2s§‘-0 CONT
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
` ufi
`43- 4
`£§§fAPPLICATION or:
`:
`
`'.f
`
`.
`
`YOSHIHIRO FUJIKAWA ET AL
`
`SERIAL NUMBER:
`
`07/631,092
`
`FILED:
`
`DECEMBER 19, 1990
`
`:
`
`:
`
`:
`
`GROUP ART UNIT: 129
`
`EXAMINER: RICHTER
`
`FOR: QUINOLINE TYPE MBVALONOLACTONES
`
`I
`
`PETITION FOR EXTENSION
`OF TIME UNDER 37 CFR $1.135
`
`HONORABLE COMMISSIONER or PATENTS AND TRADEMARKS
`WASHINGTON, DC
`20231
`
`SIR:
`
`It is hereby requested that a THREE-MONTH extension of time
`
`for responding to the Office Action of DECEMBER 18,
`
`1991, be
`
`granted until JUNE 18, 1992.
`
`The required fee of $810.00 is enclosed herewith by check and
`
`further charges may be made against
`
`the .Attorney of Record's
`
`Deposit Account No. 15-0030.
`
`A duplicate copy of this Petition is
`
`enclosed.
`
`Respectfully submitted,
`
`OBLON, SPIVAK, MCCLELLAND,
`NEUST
`.C.
`
`an F. 051
`Registration No.:
`
`24,618
`
`Steven B. Kelber
`
`Registration No.:
`Attorneys of Record
`
`30,073
`
`Fourth Floor
`
`1755 South Jefferson Davis Highway
`Arlington, Virginia
`22202
`703-521-5940
`
`Sawai Ex 1003
`
`Page136of175
`
`

`
`
`
`‘
`
`‘l’...‘f'§".—o com‘
`
`
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`IN RE APPLICATION OF:
`
`YOSHIHIRO FUJIKAWA ET AL
`
`SERIAL NUHER:
`
`07/631,092
`
`FILED: DECEMER 19, 1990
`
`:
`
`:
`
`:
`
`:
`
`FOR: QUINOLINE TYPE MEVALONOLACTONES
`
`RESPONSE
`
`GROUP ART UNIT: 129
`
`EXAMINER: RICHTER
`
`HONORABLE COMISSIONER OF PATENTS AND TRADEMARKS
`WASHINGTON, DC
`20231
`
`SIR:
`
`Responsive to the outstanding Office Action issued December
`
`18, 1991, withdrawal of the rejection of Claims 36-40, all claims
`
`pending, as obvious over applicants’ admission is respectfully
`
`requested,
`
`in light of the executed Declaration pursuant to Rule
`
`132 already of record.
`
`I